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https://openalex.org/W2758859773
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https://europepmc.org/articles/pmc5619715?pdf=render
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Significance of chronic toxoplasmosis in epidemiology of road traffic accidents in Russian Federation
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PloS one
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RESEARCH ARTICLE Significance of chronic toxoplasmosis in
epidemiology of road traffic accidents in
Russian Federation Ekaterina V. Stepanova1, Anatoly V. Kondrashin1, Vladimir P. Sergiev2, Lola F. Morozova2,
Natalia A. Turbabina1, Maria S. Maksimova1, Alexey I. Brazhnikov3, Sergei
B. Shevchenko1, Evgeny N. Morozov2,4* 1 Martsinovsky Institute of Medical Parasitology, Tropical and Vector Borne Diseases, I.M. Sechenov First
Moscow State Medical University, Moscow, Russian Federation, 2 Department of Tropical Medicine and
Parasitic Diseases, I.M. Sechenov First Moscow State Medical University, Moscow, Russian Federation,
3 Department of Epidemiology and Evidence-based Medicine, I.M. Sechenov First Moscow State Medical
University, Moscow, Russian Federation, 4 Department of Tropical, Parasitic Diseases and Disinfectology,
Russian Medical Academy of Continuous Professional Education, Moscow, Russian Federation a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 * emorozov@mail.ru * emorozov@mail.ru Editor: Adriana Calderaro, Universita degli Studi di
Parma, ITALY Copyright: © 2017 Stepanova et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which
permits unrestricted use, distribution, and
reproduction in any medium, provided the original
author and source are credited. Abstract Studies carried out in Moscow residents have revealed that the prevalence of chronic toxo-
plasmosis is very close to those in countries of Eastern and Central Europe. Our findings
also demonstrated a statistically significant relationship between the rate of traffic accidents
and the seroprevalence of chronic toxoplasmosis in drivers who were held responsible for
accidents. The latter was 2.37 times higher in drivers who were involved in road accidents
compared with control groups. These results suggest that the consequences of chronic
toxoplasmosis (particularly a slower reaction time and decreased concentration) might con-
tribute to the peculiarities of the epidemiology of road traffic accidents in the Russian Feder-
ation and might interfere with the successful implementation of the Federal Programme
named “Increase road traffic safety”. Suggestions for how to address overcome this problem
are discussed in this paper. OPEN ACCESS Citation: Stepanova EV, Kondrashin AV, Sergiev
VP, Morozova LF, Turbabina NA, Maksimova MS,
et al. (2017) Significance of chronic toxoplasmosis
in epidemiology of road traffic accidents in Russian
Federation. PLoS ONE 12(9): e0184930. https://
doi.org/10.1371/journal.pone.0184930 Editor: Adriana Calderaro, Universita degli Studi di
Parma, ITALY Introduction Road traffic accidents (RTAs) are very serious health and social problems worldwide. In the
Russian Federation, this problem is particularly acute compared with other countries that have
similar levels of social and economic development. According to the WHO Road Safety Esti-
mations, the road traffic death rate (per 100000 population) in the Russian Federation was
18.9 in 2013, which was two times lower than that in many developing countries [1] but much
higher compared with European countries such as the Netherlands (3.4), Germany (4.3), Fin-
land (4.8), and the Czech Republic (6.1) [2]. Data Availability Statement: All relevant data are
within the paper and its Supporting Information
file. Funding: The authors received no specific funding
for this work. The demographic burden of RTA and their consequences is enormous. According to the
State Statistical Bureau of Russia, during the period 1985–2012, the total number of RTAs in
the Russian Federation exceeded 5 million, with more than 850000 people dead. More than 6 Competing interests: The authors have declared
that no competing interests exist. PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017 1 / 9 Toxoplasmosis in epidemiology of road accidents in Russia million suffered injuries of various degrees of severity. Major trauma, including concomitant
injuries, multi-organ injuries, and composite fractures, represents more than 60% of all inju-
ries and leads to the handicap of more than 6000 persons annually. Reports from the Ministry
of Health reveal that the total number of fatal cases due to RTAs is 12 times higher and that the
number of disabilities is 6–7 times higher compared with that among other causes of injury. The annual economic burden due to the RTA in the Russian Federation is estimated at
approximately 1 trillion rubles (US $ 16.7 billion as of 20.12.2016). The government of the Russian Federation considers road safety to be one of the most
important goals for social and economic development. An appreciation and concern for the
magnitude of the problem is reflected in the allocation of considerable amount of funds to
establish and implement various activities within the framework of the Federal Program
“Increase road traffic safety, 2013–2020” under the lead agency Road Safety Commission of
the Government of Russian Federation. Introduction The aim of the program, at the cost of almost 36 tril-
lion rubles (US $36 billion), is the annual reduction of the number of fatal cases due to RTA by
29% (not more than 8000 cases) by 2020 compared to 2012. Prior to launching the Program,
the epidemiological peculiarities of RTAs in the Russian Federation were ascertained and
appear to be determined by interaction of several factors. One of the most important factors
was believed to be the discordance between the ever-increasing intensity of road traffic (partic-
ularly for the last 15–20 years), followed by the tempo of the construction of new roads and the
proper maintenance of the existing road network. It was also found that the violation of the
National rules of the road was the cause of almost 85% of all RTAs, of which drivers were
responsible for 70%-75% [3]. For 55% of the RTAs, the cause was exceeding the speed limit and breaking the rules at the
regulated intersections (30%). A considerable number of road accidents have been committed
by drivers under the influence of alcohol or drugs. Road traffic deaths involving alcohol
represent 8% of all deaths on the roads [4]. However, one of the factors contributing to the
peculiarities of the epidemiology of RTAs in Russia was not considered. This factor is the con-
sequences of chronic toxoplasmosis among persons involved in RTAs. This was not analyzed,
although a number of publications on the subject have been available abroad since the mid-
1990s [5, 6]. Unlike its acute form, chronic toxoplasmosis is not accompanied by manifested clinical
symptoms of the disease [7]. The chronic form of toxoplasmosis in the Russian Federation is
still considered a phenomenon of asymptomatic carriage, and clinicians do not consider it a
health problem. A previous study revealed that the prevalence of latent toxoplasmosis in the
Russian Federation is 5%-7% in Republic Saha and Omsk province, both of which are in East-
ern Siberia [8]. Investigations in other parts of the country have not been carried out. Worldwide interest and concern for the emerging problem of toxoplasmosis, especially its
chronic form, have been demonstrated over the last 15–20 years, when new dimensions of the
disease were established. The results of monitoring Toxoplasma-infected persons have revealed
behavioral changes among them compared with uninfected persons. The intensity of such
changes is closely correlated with the duration of chronic toxoplasmosis [6,9,10]. PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017 Toxoplasmosis in epidemiology of road accidents in Russia Table 1. Prevalence of chronic toxoplasmosis among the residents of Moscow city (Russian Federation), 2015. Group
Examined
Positive results (ELISA test)
Absolute number
Percent (%)
Total number
1272
323
25.39
Men
497
120
24.14
Women
775
203
26.19
https://doi.org/10.1371/journal.pone.0184930.t001 alence of chronic toxoplasmosis among the residents of Moscow city (Russian Federation), 2015. Table 1. Prevalence of chronic toxoplasmosis among the residents of Moscow city (Russian Federation and Mexico [16,17,18,19]. Subsequent observations among toxoplasmosis-infected persons
conducted in various countries have confirmed significant behavioral changes, including per-
sonality changes, IQ loss and altered psychomotor activity, including an increased risk of
involvement in road traffic accidents [10, 11,13]. and Mexico [16,17,18,19]. Subsequent observations among toxoplasmosis-infected persons
conducted in various countries have confirmed significant behavioral changes, including per-
sonality changes, IQ loss and altered psychomotor activity, including an increased risk of
involvement in road traffic accidents [10, 11,13]. Thus, the objectives of our study were a) to determine the prevalence of chronic toxoplas-
mosis in the city and region of Moscow and b) to establish the probable role of the disease in
the epidemiology of RTAs in the Russian Federation to facilitate the successful implementation
of the Federal Program. Introduction It appears
that the mechanism that determines the personality changes is associated with an increase in
the production of the neurotransmitter dopamine, affecting a person’s motor activity, aggres-
sion and social behavior [11, 12]. Once in the nerve or inside the muscle tissue, the parasite
forms cysts that cause the development of chronic toxoplasmosis [13,14]. It was shown that
Toxoplasma localizes in the nerve cells of the brain and stimulates the production of dopamine. This effect could be responsible for prolongation of person’s reaction time and ability to con-
centrate [15] and also for an increased risk of traffic and working place incidents, as convinc-
ingly demonstrated in epidemiological studies in the Czech Republic, the Republic of Turkey, PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017 2 / 9 Methods The study was performed at the Sechenov First Moscow State Medical University and the Mos-
cow Sklifosovskii Institute of Emergency Medicine during 2015. To establish the general prevalence of chronic toxoplasmosis among residents of Moscow
city, examinations were carried out among persons attending the Outpatient Department at
the Clinical Center of the Sechenov First Moscow State Medical University. No special criteria
were selected for examination in terms of age, sex and occupation. A total of 1272 persons
were examined (Table 1). To address the second objective, we carried out an analytical epidemiological “case-control”
study represented by two groups: experimental and control. The experimental group consisted
of persons in possession of a valid driving license who were hospitalized because of a road traf-
fic accident for which they were responsible. All persons in the experimental group were
patients of the Sklifosovsky Medical Emergency Institute, Moscow. The criteria for inclusion
were a) proof that the admitted person was driving at the time of the accident, b) evidence that
their actions/behavior had led to the occurrence of the accident; and c) age from 18–45 years. The criterion for exclusion was driving at the time of an accident under the influence of
alcohol/drugs. A total of 100 persons constituted the experimental group, with 65 men and 35
women (Tables 2 and 3). The control group consisted of 152 healthy persons aged 18–45 years (82 men and 70 The control group consisted of 152 healthy persons aged 18–45 years (82 men and 70
women), who were undergoing routine medical examinations at the Clinical Centre of Seche-
nov University. women), who were undergoing routine medical examinations at the Clinical Centre of Seche-
nov University. Participants in the experimental and control groups were informed about the purposes of
the study, and informed consent was obtained before enrollment in the study. munoglobulins M and G to Toxoplasma gondii in the experimental group and the control group. Table 2. Comparative prevalence of immunoglobulins M and G to Toxoplasma gondii in the experimental group and the control group. Group
Examined
Absolute number
Positive results (%)
Odds ratio
C.I.95
p-values
IgM
IgG
Case
100
0
45
45.00
2.37
1.34–4.2
0.001
Control
152
0
39
25.66
https://doi.org/10.1371/journal.pone.0184930.t002
PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017
3 / 9 Table 2. Comparative prevalence of immunoglobulins M and G to Toxoplasma gondii in the experimental group and the control group. PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017 Ethical considerations The study was approved by the Research Ethics Board of Health of the Sechenov First Moscow
State Medical University (protocol №04–13, 10.04.2013). Participants in the experimental
and control groups were informed about the purposes of the study, and informed consent was
obtained before enrollment in the study in verbal form. Toxoplasmosis in epidemiology of road accidents in Russia Table 3. Comparative gender prevalence of chronic toxoplasmosis in the experimental group and the control group. Group
Experimental group
Control group
Odds ratio
C.I.95
p-values
Examined
Positive results
Examined
Positive results
Absolute number
Percent (%)
Absolute number
Percent (%)
Men
65
29
44.61
82
22
26.83
2.2
1.04–4.66
0.02
Women
35
16
45.71
70
17
24.28
2.63
1.02–6.8
0.02
https://doi.org/10.1371/journal.pone.0184930.t003 Table 3. Comparative gender prevalence of chronic toxoplasmosis in the experimental group and the contr All study patients were tested for the presence of IgG- and IgM-specific antibodies to Toxo-
plasma gondii. The determination of specific immunoglobulin G and M in the blood serum of
the study groups (experimental and control) were determined using “Vector-Toxo of IgG”
(Vector-Best, Novosibirsk, Russian Federation) and “Vector Toxo-IgM” enzyme-linked
immunosorbent assay (ELISA) test kits, produced by JSC “VECTOR-BEST.” The indicator of
chronic toxoplasmosis in a patient was the presence of IgG in the absence of IgM [13]. The statistical significance of the results in the experimental and control groups was
obtained using the χ criterion, and the odds ratio (OR) was calculated with a level of reliability
not less than 95%. The Statistical Package EpiInfo Version was employed for calculations. Additionally, we used the Pearson Correlation, Partial Correlation, and Mantel-Haenszel
Common Odds Ratio Estimate. Methods Group
Examined
Absolute number
Positive results (%)
Odds ratio
C.I.95
p-values
IgM
IgG
Case
100
0
45
45.00
2.37
1.34–4.2
0.001
Control
152
0
39
25.66 omparative prevalence of immunoglobulins M and G to Toxoplasma gondii in the experimental group and th PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017 3 / 9 PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017 Results and discussion Thus, both our results and those obtained abroad suggest the presence of a link between the
incidence of chronic toxoplasmosis and road traffic accidents. The role of the consequences of chronic toxoplasmosis in the changes of the personality
profile of an infected person has been well established. A slower reaction time and decreased
concentration are most remarkable features among the changes in an infected person [6,23]. These changes are particularly important while driving [16]. The results of studies carried out
among 3890 military drivers (men) in the Czech Republic revealed that persons with high
titers of Toxoplasma antibodies had a 6-fold higher frequency of accidents compared with
uninfected persons [24]. It is believed that the mechanism of such phenomena in general is related to the modulation
of dopamine levels (increased or decreased) as a result of the presence of the parasite in brain
cells [25,26]. The consequences of such modulation can be seen in the changing behavior in
affected individuals, with marked sex differences and similarities. Men with chronic toxoplas-
mosis have higher and women lower concentrations of testosterone [15]. The direction of
toxoplasmosis-associated shift in intelligence, extroversion, suspiciousness, strength of super-
ego, and self-sufficiency differ between men and women. However, no differences in the direc-
tion of such shifts were observed in consciousness, novelty seeking, and the reaction time
impairment and these changes could result in a higher risk of road traffic accidents [5,6,14,27]. The data in Table 3 show that the effect of toxoplasmosis was significant and similar for
men (OR = 2.2, CI95 = 1.04–4.66, p<0.02) and women (OR = 2.6, CI95 = 1.02–6.8,p<0.02). Similar prevalence of seropositive subjects was found in men and women and this was true
both in the experimental and the control group despite the fact that the prevalence of toxoplas-
mosis was about two times higher in the experimental group. To assess the possible confounding effects of sex, we performed also the Mantel-Haenzel
test. The OR adjusted for sex was 2.35 CI95 1.37–4.03. It appears that similarities in the behavioral changes of infected men and women driving on
the roads determines “aggressive driving,” the neglect of driving rules, and ignoring pedestri-
ans. In conjunction with inadequate road conditions, which currently prevail in Russia, these
factors might contribute to an increased risk of road traffic accidents. As of today, the Federal Program is in its 4th year of implementation (2013–2016). Results and discussion The prevalence of chronic toxoplasmosis in the residents of Moscow city is presented in
Table 1. These values were considerably higher (25.39%, n = 1272) in our study than those
obtained earlier in Eastern Siberia in Russia [8]. This could be attributed to the differences in
the living conditions and food preferences of the local population. However, our findings are
quite close to the results obtained in Austria, Croatia, Slovenia, and Switzerland [20,21,22]. The results of the examination of blood serum in the experimental and control groups are
presented in Tables 2 and 3. The results of the examination of blood serum in the experimental and control groups are
presented in Tables 2 and 3. As seen in Table 2, the immunoglobulin M was absent in both groups, whereas immuno-
globulin G was present in 45% of those tested in the experimental group compared to 26% in
the control group. The absence of the immunoglobulin IgM in conjunction with the presence
of IgG suggests the presence of persons with exclusively the chronic form of toxoplasmosis in
both the experimental and control groups. It was found that the number of seropositive sub-
jects with IgG in the experimental group was significantly higher than that in the control
group. Thus, among the persons involved in traffic accidents who were responsible for their
occurrence, the incidence of cases with chronic toxoplasmosis was more than twice that in the
control group. The results of our studies are quite close to those obtained in the Czech Republic, where it
was found that the risk for traffic accidents in subjects with chronic toxoplasmosis was 2.65
times (2.37 in our study) higher than in the control group [16]. 4 / 9 PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017 Toxoplasmosis in epidemiology of road accidents in Russia In Turkey, which has a traffic toll of approximately 7500 persons annually, similar epidemi-
ological studies revealed that the risk of accidents in the experimental group was between 2
and 4 times higher than that in the control group [17,18]. In Turkey, which has a traffic toll of approximately 7500 persons annually, similar epidemi-
ological studies revealed that the risk of accidents in the experimental group was between 2
and 4 times higher than that in the control group [17,18]. PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017 Results and discussion During
that period, the proportion of the federal and regional network of roads that fully correspond
to the national standards has increased from 39% in 2013 to 71% in 2016. However, an appre-
ciable improvement of the road’s standards has not been accompanied by an expected reduc-
tion of the total number of RTA and its consequences, as exemplified by the following data. For example, in 2015, there were total of 151000 serious RTAs, with 19000 fatal cases. Approxi-
mately 190000 persons were injured with traumas of various degrees of severity. Over the first
9 months of 2016, the total reported number of RTAs was more than 133000, in which 16000
persons died and 168000 persons were injured. Thus, these data indicate that the “human fac-
tor”, drunk driving, a low rate of seat-belt wearing, excess speed, a violation of overtaking
rules, inadequate behavior in extreme situations, not keeping a stipulated distance between
vehicles while driving and the probable consequences of chronic toxoplasmosis—continue to
play extremely important roles in the current epidemiology of RTAs in the Russian Federation. The limited scale of our studies did not allow us to precisely calculate the number of RTAs that
were directly related to chronic toxoplasmosis. However, one cannot exclude the probability
that the consequences of the disease might act in conjunction with other factors, for example,
with the presence of alcohol in the blood of the person who caused the RTA. Another factor As of today, the Federal Program is in its 4th year of implementation (2013–2016). During
that period, the proportion of the federal and regional network of roads that fully correspond
to the national standards has increased from 39% in 2013 to 71% in 2016. However, an appre-
ciable improvement of the road’s standards has not been accompanied by an expected reduc-
tion of the total number of RTA and its consequences, as exemplified by the following data. For example, in 2015, there were total of 151000 serious RTAs, with 19000 fatal cases. Approxi-
mately 190000 persons were injured with traumas of various degrees of severity. Over the first
9 months of 2016, the total reported number of RTAs was more than 133000, in which 16000
persons died and 168000 persons were injured. Results and discussion It should be kept in mind, however, that the solution to chronic toxoplasmosis with respect It should be kept in mind, however, that the solution to chronic toxoplasmosis with respect
to road safety lies in the development of efficient specific drugs targeting parasitic cysts. Strength and limitations of the study The results of this study provide very useful information that can be used to educate physicians
in the Russian Federation who are still unaware of the consequences of chronic toxoplasmosis. This information may also be used while assessing the progress of the Federal Program on
road safety in Russia. There are some confounders in our study that might have interfered with the reliability of
the obtained results. This study is limited in terms of the generalizability of the findings, as it
examined the inhabitants of Moscow city only. With respect to the overall prevalence of
chronic toxoplasmosis among the residents of Moscow city, no data on the territorial distribu-
tion within the study area were ascertained. The availability of such data might provide an idea
of whether the distribution of the infection is diffused or focal. With respect to the comparative
prevalence of chronic toxoplasmosis in the experimental and control groups, the limiting fac-
tors could be considered to be as follows. First, the study was confined to drivers who were
held responsible for RTAs. The role of pedestrians involved in RTAs and their responsibility
were not studied. The combined prevalence in drivers and pedestrians might be higher. Sec-
ond, the age groups were limited to only those aged 18–45 years. The inclusion of subject older
than 45 years of age might increase or decrease the prevalence of chronic toxoplasmosis in
both groups. Third, the possibility of different protection against negative effects of toxoplas-
mosis in RTAs among the Rh positive and Rh negative subjects was not established. Fourth,
the decrease of the risk of traffic accidents during the Toxoplasma infection was not studied. Results and discussion Thus, these data indicate that the “human fac-
tor”, drunk driving, a low rate of seat-belt wearing, excess speed, a violation of overtaking As of today, the Federal Program is in its 4th year of implementation (2013–2016). During
that period, the proportion of the federal and regional network of roads that fully correspond
to the national standards has increased from 39% in 2013 to 71% in 2016. However, an appre-
ciable improvement of the road’s standards has not been accompanied by an expected reduc-
tion of the total number of RTA and its consequences, as exemplified by the following data. F
l
i 2015 th
t t l f 151000
i
RTA
ith 19000 f t l
A
i PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017 5 / 9 Toxoplasmosis in epidemiology of road accidents in Russia limiting the possibility to exactly quantify the real impacts of latent toxoplasmosis, e.g. to com-
pute the attributable risk, is the fact that the results of several studies abroad have demon-
strated that th Rh positive subjects, especially the heterozygotes, are protected against many
negative effects of toxoplasmosis, including impairment of reaction times [28] and an
increased risk of traffic accidents [23]. In addition, the impairment of reaction times increases
[23,28] but the risk of traffic accidents decreases with the duration of the Toxoplasma infection
[24]. We strongly feel that the results of our studies clearly indicate the necessity to address the
consequences of chronic toxoplasmosis in the implementation of the Federal Program on
Road Safety in Russian Federation, on par with other factors contributing to the problem of
road accidents. One of the possible steps towards solving the problem might be an entry
screening for toxoplasmosis in every student in every driving school. Licensed drivers should
be tested for toxoplasmosis during routine medical examinations. Considering the magnitude
of road accidents involving pedestrians, Special Programs should be developed to prevent road
accidents, specifically programs targeting school children. To that effect, negotiations with the
national authorities are already in progress. Thus, our experience could be extended to individ-
uals who are engaged in other fields of activity, for example, the screening of conscripts and
members of the military who drive and manage various military equipment, including aircraft. Acknowledgments The authors are very grateful to the medical personnel of the Sklifosovski Institute for their
very valuable assistance during the studies. Author Contributions Conceptualization: Ekaterina V. Stepanova, Anatoly V. Kondrashin, Vladimir P. Sergiev,
Evgeny N. Morozov. Data curation: Ekaterina V. Stepanova, Vladimir P. Sergiev, Lola F. Morozova, Evgeny N. Morozov. Formal analysis: Ekaterina V. Stepanova, Lola F. Morozova, Natalia A. Turbabina, Maria S. Maksimova, Alexey I. Brazhnikov. Investigation: Ekaterina V. Stepanova, Lola F. Morozova, Natalia A. Turbabina, Maria S. Maksimova. Methodology: Vladimir P. Sergiev, Alexey I. Brazhnikov, Evgeny N. Morozov. Project administration: Sergei B. Shevchenko. Resources: Sergei B. Shevchenko, Evgeny N. Morozov. Resources: Sergei B. Shevchenko, Evgeny N. Morozov. Supervision: Vladimir P. Sergiev, Evgeny N. Morozov. Supervision: Vladimir P. Sergiev, Evgeny N. Morozov. Validation: Ekaterina V. Stepanova, Vladimir P. Sergiev, Evgeny N. Morozov. Visualization: Ekaterina V. Stepanova, Anatoly V. Kondrashin, Lola F. Morozova. Writing – original draft: Ekaterina V. Stepanova, Evgeny N. Morozov. Writing – review & editing: Anatoly V. Kondrashin, Vladimir P. Sergiev. Conclusions The results of our studies had revealed that frequency of chronic toxoplasmosis among resi-
dents of the city and region of Moscow in the Russian Federation is very close to those in
many European countries. It was also demonstrated that the statistically significant frequency
of chronic toxoplasmosis among drivers, regardless of gender and the responsibility for road PLOS ONE | https://doi.org/10.1371/journal.pone.0184930
September 28, 2017 6 / 9 Toxoplasmosis in epidemiology of road accidents in Russia accidents, was more than 2 times higher compared with that of the control group. The results
of our studies are consistent with data from similar studies in other countries. We suggest that the results of our research should be taken into consideration during the
implementation of the Federal Road Safety Program. These results show that the effect of latent
toxoplasmosis could play a very important role in the epidemiology of road accidents in the
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English
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Long-lived sterile neutrinos at the LHC in effective field theory
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The Journal of high energy physics/The journal of high energy physics
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cc-by
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Received: November 13, 2020
Accepted: January 29, 2021
Published: March 15, 2021 Received: November 13, 2020
Accepted: January 29, 2021
Published: March 15, 2021 Jordy de Vries,a,b Herbert K. Dreiner,c Julian Y. G¨unther,c Zeren Simon Wangd,e an
Guanghui Zhoua Jordy de Vries,a,b Herbert K. Dreiner,c Julian Y. G¨unther,c Zeren Simon Wangd,e an
Guanghui Zhoua
aAmherst Center for Fundamental Interactions,
Department of Physics, University of Massachusetts,
Amherst, MA 01003, U.S.A. bRIKEN BNL Research Center, Brookhaven National Laboratory,
Upton, NY 11973-5000, U.S.A. cBethe Center for Theoretical Physics & Physikalisches Institut der Universit¨at Bonn,
Nußallee 12, 53115 Bonn, Germany
dDepartment of Physics, National Tsing Hua University,
Hsinchu 300, Taiwan
eAsia Pacific Center for Theoretical Physics (APCTP),
Headquarters San 31, Hyoja-dong, Nam-gu, Pohang 790-784, South Korea
E-mail: jdevries@umass.edu, dreiner@uni-bonn.de,
guenther@physik.uni-bonn.de, wzs@mx.nthu.edu.tw, gzhou@umass.edu Jordy de Vries,a,b Herbert K. Dreiner,c Julian Y. G¨unther,c Zeren Simon Wangd,e and
Guanghui Zhoua
aAmherst Center for Fundamental Interactions,
Department of Physics, University of Massachusetts,
Amherst, MA 01003, U.S.A. bRIKEN BNL Research Center, Brookhaven National Laboratory,
Upton, NY 11973-5000, U.S.A. cBethe Center for Theoretical Physics & Physikalisches Institut der Universit¨at Bonn,
Nußallee 12, 53115 Bonn, Germany
dDepartment of Physics, National Tsing Hua University,
Hsinchu 300, Taiwan
eAsia Pacific Center for Theoretical Physics (APCTP),
Headquarters San 31, Hyoja-dong, Nam-gu, Pohang 790-784, South Korea
E-mail: jdevries@umass.edu, dreiner@uni-bonn.de,
guenther@physik.uni-bonn.de, wzs@mx.nthu.edu.tw, gzhou@umass.edu cBethe Center for Theoretical Physics & Physikalisches Institut der Universit¨at Bonn,
Nußallee 12, 53115 Bonn, Germany dDepartment of Physics, National Tsing Hua University,
Hsinchu 300, Taiwan eAsia Pacific Center for Theoretical Physics (APCTP), Headquarters San 31, Hyoja-dong, Nam-gu, Pohang 790-784, South Korea E-mail: jdevries@umass.edu, dreiner@uni-bonn.de, E-mail: jdevries@umass.edu, dreiner@uni-bonn.de, guenther@physik.uni-bonn.de, wzs@mx.nthu.edu.tw, gzhou@umass.edu Abstract: We study the prospects of a displaced-vertex search of sterile neutrinos at
the Large Hadron Collider (LHC) in the framework of the neutrino-extended Standard
Model Effective Field Theory (νSMEFT). The production and decay of sterile neutrinos
can proceed via the standard active-sterile neutrino mixing in the weak current, as well as
through higher-dimensional operators arising from decoupled new physics. If sterile neu-
trinos are long-lived, their decay can lead to displaced vertices which can be reconstructed. We investigate the search sensitivities for the ATLAS/CMS detector, the future far-detector
experiments: AL3X, ANUBIS, CODEX-b, FASER, MATHUSLA, and MoEDAL-MAPP, and at the
proposed fixed-target experiment SHiP. We study scenarios where sterile neutrinos are pre-
dominantly produced via rare charm and bottom mesons decays through minimal mixing
and/or dimension-six operators in the νSMEFT Lagrangian. We perform simulations to
determine the potential reach of high-luminosity LHC experiments in probing the EFT
operators, finding that these experiments are very competitive with other searches. Keywords: Phenomenological Models Keywords: Phenomenological Models ArXiv ePrint: 2010.07305 Open Access, c⃝The Authors. Long-lived sterile neutrinos at the LHC in effective
field theory JHEP03(2021)148 JHEP03(2021)148 Jordy de Vries,a,b Herbert K. Dreiner,c Julian Y. G¨unther,c Zeren Simon Wangd,e and
Guanghui Zhoua
aAmherst Center for Fundamental Interactions,
Department of Physics, University of Massachusetts,
Amherst, MA 01003, U.S.A. bRIKEN BNL Research Center, Brookhaven National Laboratory,
Upton, NY 11973-5000, U.S.A. cBethe Center for Theoretical Physics & Physikalisches Institut der Universit¨at Bonn,
Nußallee 12, 53115 Bonn, Germany
dDepartment of Physics, National Tsing Hua University,
Hsinchu 300, Taiwan
eAsia Pacific Center for Theoretical Physics (APCTP),
Headquarters San 31, Hyoja-dong, Nam-gu, Pohang 790-784, South Korea
E-mail: jdevries@umass.edu, dreiner@uni-bonn.de,
guenther@physik.uni-bonn.de, wzs@mx.nthu.edu.tw, gzhou@umass.edu Jordy de Vries,a,b Herbert K. Dreiner,c Julian Y. G¨unther,c Zeren Simon Wangd,e and
Guanghui Zhoua Open Access, c⃝The Authors.
Article funded by SCOAP3. A Two-body sterile neutrino production and decay processes A.1 Charged currents A.2 Sterile neutrino decays into neutral pseudoscalar mesons
38 A.2 Sterile neutrino decays into neutral pseudoscalar mesons A.3 Sterile neutrino decays into neutral vector mesons B Sterile neutrino production in three-body decays
40 B.1
Automizing three-body phase space integral calculations
4 B.2
Definition of three-body decay form factors B.2
Definition of three-body decay form factors C Physical parameters, decay constants, and form factors JHEP03(2021)148 C.1
Form factors for B(s) →M′
P C.2
Form factors for D →M′
P C.3
Form factors for B(s) and D decaying into M′
V C.4
The semi-leptonic decay of Ds Jordy de Vries,a,b Herbert K. Dreiner,c Julian Y. G¨unther,c Zeren Simon Wangd,e an
Guanghui Zhoua Article funded by SCOAP3. Open Access, c⃝The Authors. Article funded by SCOAP3. Jordy de Vries,a,b Herbert K. Dreiner,c Julian Y. G¨unther,c Zeren Simon Wangd,e an
Guanghui Zhoua https://doi.org/10.1007/JHEP03(2021)148 Contents
1
Introduction
1
2
Standard model effective field theory extended by sterile neutrinos
3
2.1
The effective neutrino Lagrangian
3
2.2
Rotating to the neutrino mass basis
6
3
Production of sterile neutrinos
8
3.1
Sterile neutrino production in minimal models
8
3.2
Sterile neutrino production from higher-dimensional operators
8
4
Decay of sterile neutrinos
9
4.1
Sterile neutrino decays in minimal models
9
4.2
Sterile neutrino decays from higher-dimensional operators
12
5
Theoretical scenarios
12
6
Collider and fixed-target analysis
14
6.1
SHiP
16
6.2
Experiments at the LHC
17
6.2.1
FASER
17
6.2.2
MATHUSLA
18
6.2.3
ANUBIS
19
6.2.4
CODEX-b
19
6.2.5
MoEDAL-MAPP
19
6.2.6
AL3X
19
6.2.7
ATLAS
20
6.3
Monte-Carlo simulation
21
7
Numerical results
22
7.1
The minimal scenario
23
7.2
Flavor benchmark 1
25
7.3
Flavor benchmark 2
27
7.4
Flavor benchmark 3
28
7.5
Flavor benchmark 4
30
7.6
Flavor benchmark 5
31
8
Discussion and comparison with other probes
32 Contents
1
Introduction
1
2
Standard model effective field theory extended by sterile neutrinos
3
2.1
The effective neutrino Lagrangian
3
2.2
Rotating to the neutrino mass basis
6
3
Production of sterile neutrinos
8
3.1
Sterile neutrino production in minimal models
8
3.2
Sterile neutrino production from higher-dimensional operators
8
4
Decay of sterile neutrinos
9
4.1
Sterile neutrino decays in minimal models
9
4.2
Sterile neutrino decays from higher-dimensional operators
12
5
Theoretical scenarios
12
6
Collider and fixed-target analysis
14
6.1
SHiP
16
6.2
Experiments at the LHC
17
6.2.1
FASER
17
6.2.2
MATHUSLA
18
6.2.3
ANUBIS
19
6.2.4
CODEX-b
19
6.2.5
MoEDAL-MAPP
19
6.2.6
AL3X
19
6.2.7
ATLAS
20
6.3
Monte-Carlo simulation
21
7
Numerical results
22
7.1
The minimal scenario
23
7.2
Flavor benchmark 1
25
7.3
Flavor benchmark 2
27
7.4
Flavor benchmark 3
28
7.5
Flavor benchmark 4
30
7.6
Flavor benchmark 5
31
8
Discussion and comparison with other probes
32
9
C
l
i
34 JHEP03(2021)148 8
Discussion and comparison with other probes 9
Conclusions – i – A Two-body sterile neutrino production and decay processes
36
A.1 Charged currents
36
A.2 Sterile neutrino decays into neutral pseudoscalar mesons
38
A.3 Sterile neutrino decays into neutral vector mesons
39
B Sterile neutrino production in three-body decays
40
B.1
Automizing three-body phase space integral calculations
40
B.2
Definition of three-body decay form factors
42
C Physical parameters, decay constants, and form factors
42
C.1
Form factors for B(s) →M′
P
43
C.2
Form factors for D →M′
P
44
C.3
Form factors for B(s) and D decaying into M′
V
44
C.4
The semi-leptonic decay of Ds
45 A Two-body sterile neutrino production and decay processes
36
A.1 Charged currents
36
A.2 Sterile neutrino decays into neutral pseudoscalar mesons
38
A.3 Sterile neutrino decays into neutral vector mesons
39
B Sterile neutrino production in three-body decays
40
B.1
Automizing three-body phase space integral calculations
40
B.2
Definition of three-body decay form factors
42
C Physical parameters, decay constants, and form factors
42
C.1
Form factors for B(s) →M′
P
43
C.2
Form factors for D →M′
P
44
C.3
Form factors for B(s) and D decaying into M′
V
44
C.4
The semi-leptonic decay of Ds
45 1
Introduction Neutrino oscillations have proven without doubt that neutrinos are massive particles. The
Standard Model of particle physics (SM) contains no right-handed neutrino fields. This
forbids the generation of a neutrino mass via the Higgs mechanism, which generates the
masses of the other elementary particles. This situation can be remedied by adding a
sterile neutrino field to the SM [1–5]. The sterile neutrino, also called heavy neutral lepton
(HNL), is a right-handed gauge-singlet spin-1/2 field and couples to left-handed neutrinos
and the Higgs field through Yukawa interactions. This generates a Dirac neutrino mass
after electroweak symmetry breaking. In general, nothing forbids an additional Majorana mass term for the right-handed
neutrino field, leading to Majorana mass eigenstates and lepton number violation (LNV). However, lepton number can be an (approximate) symmetry of extension beyond the SM
(BSM), such that low-energy LNV signals, e.g. neutrinoless double beta decay (0νββ), is
suppressed. Sterile neutrinos may not only account for neutrino masses, but have also been
linked to explanations of other problems of the SM. Light sterile neutrinos can account for
dark matter [6–9], while sterile neutrinos with a broad range of masses can account for the
baryon asymmetry of the Universe through leptogenesis [10]. Sterile neutrinos are thus a
well-motivated solution to a number of major outstanding issues in particle physics and
cosmology. While the observation of neutrino masses provides a hint for the existence of sterile
neutrinos, it does not specify their mass scale. They might very well be light and accessible
in present-day and near future experiments. A large number of experimental and theoretical
works have gone into the search for sterile neutrinos in so-called minimal scenarios, where
sterile neutrinos only interact with SM fields through renormalizable Yukawa interactions – 1 – (see refs. [11, 12] for a review). Here we take a more general approach. In broad classes
of BSM models, sterile neutrinos appear sterile at lower energies, but interact at higher
energies through the exchange of heavy BSM fields. Examples are left-right symmetric
models [13–15], grand unified theories [16], Z’ models [17], or leptoquark models [18],
which contain new fields that are heavy compared to the electroweak scale. Independent of
the details of these models, at low energies the sterile neutrinos can be described in terms
of local effective operators in the framework of the neutrino-extended Standard Model
effective field theory (νSMEFT) [19, 20]. 1
Introduction In this work, we study relatively light GeV-scale sterile neutrinos (see e.g. refs. [21–23]
for LHC searches for somewhat heavier neutrinos). Such sterile neutrinos can be pro-
duced either via direct production with parton collisions, or via rare decays of mesons
that are copiously produced at the LHC interaction points [24, 25]. For sterile neutrino
masses below the B-meson threshold the primary production mode is through rare decays
of mesons with subleading contributions from partonic processes, which we estimated us-
ing MadGraph5 3.0.2 [26] to be less than 10%. The latter become more important and
even dominant for heavier sterile neutrinos. In this work we choose to focus on the mass
range below about 5 GeV and hence on the rare meson decays, and we leave the direct
production channel for future studies. If the sterile neutrinos are relatively long-lived,
their decays lead to displaced vertices that can be reconstructed in LHC detectors. We
consider a broad range of (proposed) LHC experiments: ATLAS [27]/CMS [28], CODEX-b [29],
FASER [30, 31], MATHUSLA [32–34], AL3X [35], ANUBIS [36], MoEDAL-MAPP [37, 38], as well
as the proposed CERN SPS experiment SHiP [39–41], and discuss their potential in prob-
ing νSMEFT operators. We calculate νSMEFT corrections to sterile neutrino production
and decay processes and perform simulations for the various detectors, to estimate their
search sensitivities. Our simulations show that the experimental reach is strong, probing
dimension-six operators associated to BSM scales up to a hundred TeV. In a simple 3 + 1
model, adding just one sterile neutrino field, we compare our results to existing 0νββ decay
limits, showing that these experiments are complementary. JHEP03(2021)148 This paper is organized as follows. In section 2 we introduce the model framework of
νSMEFT, followed by sections 3 and 4 detailing the calculation of production cross sections
and decay widths of the sterile neutrinos in both the minimal model and from higher-
dimensional operators. Section 5 shows the theoretical scenarios considered by numerical
study in this work, and section 6 goes through the different experiments we study in detail
and briefly introduces the Monte-Carlo simulation procedure. In section 7 we present the
numerical results for both the minimal scenario and a number of flavor benchmarks. These
results are compared with a number of other experimental probes including 0νββ decay in
section 8. 2.1
The effective neutrino Lagrangian We are interested in the production and decay of sterile neutrinos at the LHC. In particular,
we investigate the production of sterile neutrinos in the decay of mesons containing a single
b or c quark, as these are copiously produced and are sufficiently massive to produce GeV
sterile neutrinos. This is an interesting mass range that appears in scenarios of low-scale
leptogenesis [42–48]. The sterile neutrinos are assumed to be singlets under the SM gauge
group and, at the renormalizable level, only interact with SM fields via a Higgs Yukawa
coupling to the lepton doublet. The renormalizable part of the Lagrangian is given by JHEP03(2021)148 L = LSM −
1
2 ¯νc
R ¯
MRνR + ¯L ˜HYννR + h.c.
. (2.1) (2.1) LSM denotes the SM Lagrangian, L is the lepton doublet, and H is the SM complex Higgs
doublet field with ˜H = iτ2H∗. We work in the unitary gauge LSM denotes the SM Lagrangian, L is the lepton doublet, and H is the SM complex Higgs
doublet field with ˜H = iτ2H∗. We work in the unitary gauge H = v
√
2
0
1 + h
v
! ,
(2.2) (2.2) where v = 246 GeV is the Higgs vacuum expectation value of the Higgs real scalar h. νR
is an n × 1 column vector of n right-handed gauge-singlet neutrinos. Yν is a 3 × n matrix
of Yukawa couplings. ¯
MR is a complex symmetric n × n mass matrix. In general we can
work in a basis where the charged leptons and all quarks are in their mass eigenstates,
except the di
L, i = 1, 2, 3, for which we have di
L = V ijdj, mass
L
with V the CKM matrix. Ψc is the charge conjugate field of Ψ with Ψc = C ¯ΨT and C is the charge conjugation
matrix, C = −iγ2γ0, which satisfies the relation C = −C−1 = −CT = −C†. We define
Ψc
L,R = (ΨL,R)c = CΨL,R
T = PR,LΨc, in terms of the projectors PR,L = (1 ± γ5)/2. The Lagrangian in eq. (2.1) can account for the observed active neutrino masses and
mixing angles if n ≥2 (in case of n = 2 the lightest neutrino is massless [49]). As lepton
number is explicitly violated by the Majorana masses,
¯
MR, eq. 2
Standard model effective field theory extended by sterile neutrinos 2
Standard model effective field theory extended by sterile neutrinos 1
Introduction In a set of appendices, we present the details of the production and decay rate
computations, as well as the physical parameters, decay constants, and form factor input
we employ. We conclude and provide an outlook in section 9. – 2 – 2.1
The effective neutrino Lagrangian (2.1) in general leads to
Majorana neutrino mass eigenstates and thus to 0νββ decay and other LNV processes,
unless additional structure is imposed on the matrices ¯
MR and Yν. In various popular extensions of the SM, right-handed neutrinos appear naturally, but
are not completely sterile. For instance, in left-right symmetric models right-handed neutri-
nos are charged under a right-handed SU(2)R gauge group and interact with right-handed
gauge bosons and new scalar fields. If such bosons exist, they must be heavy, with masses
well above the electroweak scale, to avoid experimental constraints. The right-handed neu-
trinos on the other hand, can remain light. From this point of view, the scale separation
suggests the use of an EFT framework where the degrees of freedom are the usual SM fields,
as well as a set of n neutrinos, which are singlets under the SM gauge groups. The interac-
tions in eq. (2.1) form the dimension-four and lower part of a more general Lagrangian con-
taining higher-dimensional operators that is often referred to as the νSMEFT [19, 50–52]. We begin by introducing the higher-dimensional operators at a scale Λ ≫v, where Λ
denotes the scale where we match the microscopic UV theory to the νSMEFT. – 3 – Class 1
ψ2H3
Class 4
ψ4
O(6)
LνH
(¯LνR) ˜H(H†H)
O(6)
duνe
( ¯dγµu)(¯νRγµe)
Class 2
ψ2H2D
O(6)
QuνL
( ¯Qu)(¯νRL)
O(6)
Hνe
(¯νRγµe)( ˜H†iDµH)
O(6)
LνQd
(¯LνR)ϵ( ¯Qd))
Class 3
ψ2H3D
O(6)
LdQν
(¯Ld)ϵ( ¯QνR)
O(6)
νW
(¯LσµννR)τ I ˜HW Iµν
Table 1. νSMEFT dim-6 operators [20] involving one sterile neutrino field. Table 1. νSMEFT dim-6 operators [20] involving one sterile neutrino field. JHEP03(2021)148 The first operators have dimension 5 The first operators have dimension 5 L(5)
νL = ϵklϵmn(LT
k C(5) CLm)HlHn ,
L(5)
νR = −¯νc
R M(5)
R νRH†H . (2.3) L(5)
νL = ϵklϵmn(LT
k C(5) CLm)HlHn ,
L(5)
νR = −¯νc
R M(5)
R νRH†H . (2.3) (2.3) At lower energies, after electroweak symmetry breaking these operators contribute to,
respectively, Majorana mass terms for active and sterile neutrinos. The first operator,
the famous Weinberg operator [53], can for instance be induced by integrating out sterile
neutrinos with masses of O(Λ) usually referred to as a type-I seesaw mechanism. The
second operator, for our purposes, can simply be absorbed in ¯
MR in eq. (2.1). 1Operators with a left-handed neutrino also contribute to the same observables we discuss here, but t
contributions are suppressed by small heavy-light neutrino mixing angles. 2.1
The effective neutrino Lagrangian For n ≥2
there appears a dim-5 transition dipole operator, but we will not consider it here. We are mainly interested in the operators that appear at dimension-6 [20, 54]. We focus
on operators that involve a single right-handed neutrino1 and limit the set of effective
operators to those that lead to hadronic processes at tree level. A more general set of
interactions is left for future work. The operators are presented in table 1. For our
purposes, the operator O(6)
LνH can be absorbed in a shift in Yν in eq. (2.1). The related
Higgs phenomenology was discussed in ref. [55]. This leaves us with the remaining six
operators that, in general, have arbitrary flavor indices although certain couplings can be
suppressed if minimal flavor violation is assumed [56, 57]. We evolve the operators from Λ to the electroweak scale using one-loop QCD anomalous
dimensions. The operators O(6)
Hνe, O(6)
νW , and O(6)
duνe do not evolve under QCD at one loop. The remaining three operators evolve simply as [51] dC(6)
QuνL
d ln µ
=
αs
4π
γS C(6)
QuνL ,
dC(6)
S
d ln µ =
αs
4π
γS C(6)
S
,
dC(6)
T
d ln µ =
αs
4π
γT C(6)
T
, (2.4) where C(6)
S
and C(6)
T
are defined as the linear combinations where C(6)
S
and C(6)
T
are defined as the linear combinations C(6)
S
= −1
2C(6)
LdQν + C(6)
LνQd ,
C(6)
T
= −1
8C(6)
LdQν ,
(2.5) (2.5) and γS = −6CF ,
γT = 2CF ,
(2.6) γS = −6CF ,
γT = 2CF ,
(2.6) (2.6) where CF = (N2
c −1)/(2Nc) and Nc = 3, the number of colors. where CF = (N2
c −1)/(2Nc) and Nc = 3, the number of colors. where CF = (N2
c −1)/(2Nc) and Nc = 3, the number of colors. 1Operators with a left-handed neutrino also contribute to the same observables we discuss here, but the
contributions are suppressed by small heavy-light neutrino mixing angles. – 4 – At the electroweak scale, we integrate out the heavy SM fields (W-, Z-, and Higgs-boson
and top quark) and match to a SU(3)c × U(1)em-invariant EFT. The tree-level matching
relations for νSMEFT operators up to dimension-7 were given in ref. [51] and here we use
a subset of these results. 2.1
The effective neutrino Lagrangian (2.8), we also include the effects of the SM
weak neutral currents that contribute to decay processes of sterile neutrinos L(6)
neutral = −4GF
√
2
¯νi
Lγµνi
L
(
¯eLγµ
−1
2 + sin2 θw
eL + ¯eRγµ(sin2 θw)eR
+ ¯uLγµ
1
2 −2
3 sin2 θw
uL + ¯uR γµ
−2
3 sin2 θw
uR
+ ¯dLγµ
−1
2 + 1
3 sin2 θw
dL + ¯dR γµ
1
3 sin2 θw
dR
+ 1
4(2 −δij)¯νj
Lγµνj
L
)
,
(2.12) (2.12) where i, j are the flavor indices of active neutrinos and θw is the Weinberg angle. where i, j are the flavor indices of active neutrinos and θw is the Weinberg angle. 2.1
The effective neutrino Lagrangian We obtain L = LSM −
1
2 ¯νc
L MLνL + 1
2 ¯νc
R MRνR + ¯νLMDνR + h.c.
+L(6)
∆L=0 + L(6)
∆L=2 + L(7)
∆L=0 ,
(2.7) (2.7) where LSM contains dimension-four and lower operators involving light SM fields. L(6)
∆L=0
includes dim-6 operators that conserve lepton number (∆L = 0) and is given by JHEP03(2021)148 L(6)
∆L=0 = 2GF
√
2
n
¯uLγµdL
h
¯eLγµc(6)
VL νL + ¯eRγµ¯c(6)
VL νR
i
+ ¯uRγµdR ¯eR γµ¯c(6)
VR νR
+¯uLdR ¯eL ¯c(6)
SRνR + ¯uRdL ¯eL ¯c(6)
SLνR + ¯uLσµνdR ¯eLσµν¯c(6)
T νR
o
+ h.c. . (2.8) For the operators in table 1 the Lagrangians L(6)
∆L=2 and L(7)
∆L=0 only contain a single
term each L(6)
∆L=2 = 2GF
√
2
n
¯uLγµdL ¯eLγµ ¯C(6)
VL νc
R
o
+ h.c. ,
L(7)
∆L=0 = 2GF
√
2v
n
¯uLγµdL ¯eL ¯c(7)
VL i←→
D µνR
o
+ h.c. (2.9) (2.9) where ←→
D µ = Dµ−←−
Dµ. In these expressions we have suppressed flavor indices on the Wilson
coefficients. Each Wilson coefficient carries indices ijkl where i, j = {1, 2, 3} indicate the
generation of the involved up-type and down-type quarks, respectively, k = {1, 2, 3} the
generation of the charged lepton (we will often use the labels e, µ, τ instead for clarity)
and l = {1, 2, 3} for c(6)
VL the generation of the active neutrino, while l = {1, . . . , n} for the
remaining Wilson coefficients involving sterile neutrinos. The explicit matching relations are given by ref. [51] ML = −v2C(5) ,
MR = ¯
MR + v2 ¯
M(5)
R ,
MD = v
√
2
Yν −v2
2 C(6)
LνH
,
(2.10) (2.10) for the mass terms in eq. (2.7), and for the mass terms in eq. 2.1
The effective neutrino Lagrangian (2.7), and c(6)
VL = −2V 1 −4
√
2v
g
C(6)
νW V M †
D ,
¯c(6)
VL =
"
−v2C(6)
HνeV −4
√
2v
g
C(6)
νW
†
V Me
#†
,
¯c(6)
VR = v2
C(6)
duνe
†
,
¯c(6)
SR = −v2C(6)
LνQd + v2
2 C(6)
LdQν , – 5 – ¯c(6)
SL = v2
C(6)
QuνL
†
V ,
¯c(6)
T
= v2
8 C(6)
LdQν ,
¯C(6)
VL = −4
√
2v
g
C(6)
νW V M †
R,
¯c(7)
VL = 4
√
2v2
g
C(6)
νW V ,
(2.11) (2.11) for the remaining operators. Here V denotes the CKM matrix, 1 the 3×3 identity matrix in
lepton flavor space, and Me = diag(me, mµ, mτ) is the diagonal matrix of charged lepton
masses. JHEP03(2021)148 The first term in the expression for c(6)
VL denotes the contribution from the SM weak
interaction. All other entries arise from the dimension-6 operators, in some cases with
additional insertions of leptonic mass matrices. The operators with Wilson coefficients
¯C(6)
VL and ¯c(7)
VL are only induced by the dimension-6 operator O(6)
νW . This operator involves
a derivative acting on a charged W ± field which, after integrating out the W ± bosons,
leads to operators involving an explicit derivative (¯c(7)
VL) or an insertion of a lepton mass by
using the equations of motion. C(6)
νW is strictly constrained because it generates neutrino
dipole moments at one-loop [55, 58]. Additionally, if these constraints are avoided N would
decay relatively fast into two body final states via N →νγ [59, 60]. To ensure that N is
long-lived, we suppress O(6)
νW in the following. This effectively implies we do not consider
the effects of ¯C(6)
VL and ¯c(7)
VL. Besides the charged currents listed in eq. 2.2
Rotating to the neutrino mass basis After electroweak symmetry breaking the neutrino masses can be written as Lm = −1
2
¯NcMνN + h.c. ,
Mν =
ML M∗
D
M†
D M†
R
! ,
(2.13) (2.13) where Mν is a ¯n × ¯n symmetric matrix with ¯n = 3 + n and N = (νL, νc
R)T . We use a ¯n × ¯n
unitary matrix, U, to diagonalize the mass matrix where Mν is a ¯n × ¯n symmetric matrix with ¯n = 3 + n and N = (νL, νc
R)T . We use a ¯n × ¯n
unitary matrix, U, to diagonalize the mass matrix U T MνU = mν ≡diag(m1, . . . , m3+n) ,
(2.14) (2.14) – 6 – – 6 – and define N = UNm. In absence of sterile neutrinos, U is the usual PMNS matrix. We
write the Majorana mass eigenstates as ν ≡Nm+Nc
m = νc that appear in the Lagrangian as and define N = UNm. In absence of sterile neutrinos, U is the usual PMNS matrix. We
write the Majorana mass eigenstates as ν ≡Nm+Nc
m = νc that appear in the Lagrangian as Lν = 1
2 ¯νi/∂ν −1
2 ¯νmνν . (2.15) (2.15) We introduce 3 × ¯n and n × ¯n projector matrices We introduce 3 × ¯n and n × ¯n projector matrices P =
I3×3 03×n
,
Ps =
0n×3 In×n
,
(2.16) (2.16) to express the relation between the neutrinos in the flavor and mass basis as to express the relation between the neutrinos in the flavor and mass basis as JHEP03(2021)148 JHEP03(2021)148 νL = PL(PU)ν ,
νc
L = PR(PU ∗)ν ,
νR = PR(PsU ∗)ν ,
νc
R = PL(PsU)ν . (2.17) (2.17) In the mass basis, the operators in eqs. (2.8)–(2.9) become In the mass basis, the operators in eqs. (2.8)–(2.9) become L(6,7)
mass = 2GF
√
2
¯uLγµdL
h
¯eLγµC(6)
VLL ν + ¯eRγµC(6)
VLR ν
i
+ ¯uRγµdR ¯eR γµC(6)
VRR ν
¯uLdR ¯eL C(6)
SRRν + ¯uRdL ¯eL C(6)
SLRν + ¯uLσµνdR ¯eLσµνC(6)
TRRν
+1
v ¯uLγµdL ¯eL C(7)
VLR i←→
D µν
+ h.c. 3.1
Sterile neutrino production in minimal models We begin by discussing sterile neutrino production in minimal models where sterile neu-
trinos interact with SM fields only via mixing. For simplicity, we consider a single sterile
neutrino with mass mN and set n = 1 (n = 4). The production then arises solely from the
first term in eq. (2.18) with (C(6)
VLL)ijk4 = −2Vij Uk4, where V is the CKM matrix and U the
lepton mixing matrix. A broad range of processes are relevant. Naively one might think
that leptonic meson decays M±
ij →N +l±
k would dominate because of phase space suppres-
sion associated to semi-leptonic decays, but CKM factors and powers of meson/neutrino
masses in the amplitude expressions change this picture. To calculate the production rate,
we require the number of mesons produced at the various experiments and the branching
ratio to final states including a sterile neutrino. The former is discussed below, while here
we calculate the latter. For minimal models, these branching ratios have been calculated
in the literature, see refs. [63, 64] for recent discussions, and here we confirm (most of)
these results. We consider leptonic and semi-leptonic decays of D±, D0, Ds, B±, B0, and Bs mesons. For semi-leptonic decays, we consider final-state pseudoscalar and vector mesons. The
decay rate formulae and the associated decay constants and form factors are given in
the appendix. In the left and right panels of figure 1 we depict a selection of branching
ratios for decay processes of D−, Ds, and B−, Bs mesons, respectively. Branching ratios
for analogous decays of neutral D0 or B0 are similar and not shown to not clutter the
plots too much. For these examples we considered a final-state electron and set Ue4 = 1. All branching ratios are in excellent agreement with ref. [63]. From the plots it is clear
that, depending on the mass mN, both leptonic (solid lines) and semi-leptonic processes
(dashed, dotted, and dot-dashed lines) must be included and the latter involve both final-
state pseudoscalar and vector mesons. 3
Production of sterile neutrinos In this section we discuss the production of sterile neutrinos at collider and fixed-target ex-
periments. For concreteness we consider the case where the sterile neutrinos are Majorana
particles. We consider the production through the decay of mesons, produced at the in-
teraction points, containing a single charm or bottom quark. We neglect the subdominant
contribution from Bc, J/Ψ, and Υ mesons although they would allow to probe a larger
neutrino mass range. Production via the decay of pseudoscalar mesons dominates over the
contribution from vector mesons of the same quark composition, due to the much shorter
lifetime of the latter. Sterile neutrino production via direct decays of W-, Z-, and Higgs
bosons is subdominant for O(GeV) neutrinos, mainly because of their smaller production
cross sections [33, 61, 62]. JHEP03(2021)148 2.2
Rotating to the neutrino mass basis ,
(2.1 L(6,7)
mass = 2GF
√
2
¯uLγµdL
h
¯eLγµC(6)
VLL ν + ¯eRγµC(6)
VLR ν
i
+ ¯uRγµdR ¯eR γµC(6)
VR
¯uLdR ¯eL C(6)
SRRν + ¯uRdL ¯eL C(6)
SLRν + ¯uLσµνdR ¯eLσµνC(6)
TRRν
(2.18) where where C(6)
VLL = c(6)
VLPU + ¯C(6)
VLPsU ,
C(6)
VLR = ¯c(6)
VLPsU ∗,
C(6)
VRR = ¯c(6)
VRPsU ∗,
C(6)
SRR = ¯c(6)
SRPsU ∗,
C(6)
SLR = ¯c(6)
SLPsU ∗,
C(6)
TRR = ¯c(6)
T PsU ∗,
C(7)
VLR = ¯c(7)
VLPsU ∗. (2.19) (2.19) Each Wilson coefficient again carries four flavor indices ijkl where i, j, k = {1, 2, 3} indicate
the generation of the involved up quark, down quark, and charged lepton, respectively. l
now denotes the particular neutrino mass eigenstate and runs from {1, . . . , ¯n}. Each Wilson coefficient again carries four flavor indices ijkl where i, j, k = {1, 2, 3} indicate
the generation of the involved up quark, down quark, and charged lepton, respectively. l
now denotes the particular neutrino mass eigenstate and runs from {1, . . . , ¯n}. Finally, we evolve the operators down to the bottom or charm mass. The vector
currents do not evolve while the scalar and tensor dimension-6 and -7 couplings evolve in
the same way as the scalar and tensor currents in eq. (2.4), with C(6)
S
= C(6)
SRR, SLR ,
C(6)
T
= C(6)
TRR . (2.20) (2.20) In what follows we only consider the dimension-six terms in eq. (2.18) and neglect the
dimension-seven operator proportional to C(7)
VLR whose low-energy effects are suppressed by
mb,c/v. Furthermore, as discussed below eq. (2.11), C(7)
VLR is only induced by the νSMEFT
operator C(6)
νW which is strongly constrained by other probes. – 7 – 3.2
Sterile neutrino production from higher-dimensional operators For higher-dimensional operators the quark flavor structure of the Wilson coefficients is
unknown in contrast to the minimal case where the CKM matrix provides the relation
between processes involving different quarks. As such, each flavor structure is independent – 8 – 0.0
0.5
1.0
1.5
2.0
10-4
0.001
0.010
0.100
1
mN[GeV]
BR(D->X+N)
D- →e- + N
D- →e- + π0 + N
D- →e- + K0 + N
D- →e- + K0* + N
Ds →e- + N
Ds →e- + η + N
Ds →e- + η′ + N
Ds →e- + N + ϕ
Ds →e- + K0 + N
0
1
2
3
4
5
10-6
10-5
10-4
0.001
0.010
0.100
mN[GeV]
BR(B->X+N)
B- →e- + N
B- →e- + π0 + N
B- →e- + ρ0 + N
B- →e- + D0 + N
B- →e- + D0* + N
Bs →e- + K+ + N
Bs →e- + K+* + N
Bs →e- + Ds + N
Bs →Ds
* + e- + N
Figure 1. Branching ratios of sterile neutrino production channels through D (left figure) or B
(right figure) mesons in the minimal scenario for final-state electrons and Ue4 = 1. 0
1
2
3
4
5
10-6
10-5
10-4
0.001
0.010
0.100
mN[GeV]
BR(B->X+N)
B- →e- + N
B- →e- + π0 + N
B- →e- + ρ0 + N
B- →e- + D0 + N
B- →e- + D0* + N
Bs →e- + K+ + N
Bs →e- + K+* + N
Bs →e- + Ds + N
Bs →Ds
* + e- + N 0.0
0.5
1.0
1.5
2.0
10-4
0.001
0.010
0.100
1
mN[GeV]
BR(D->X+N) Figure 1. Branching ratios of sterile neutrino production channels through D (left figure) or B
(right figure) mesons in the minimal scenario for final-state electrons and Ue4 = 1. JHEP03(2021)148 unless model assumptions are used. This leads to a large number of possible cases corre-
sponding to several flavor structures for each effective operator in eq. (2.18). All branching
ratios can be calculated from the expressions given in the appendices. Here we discuss a few cases only. We consider the operators with Wilson coefficients
C(6)
SRR, C(6)
TRR, and C(6)
VLR. 3.2
Sterile neutrino production from higher-dimensional operators We consider the flavor structures {ijkl} = 13e4 and {ijkl} = 21e4
that allow for leptonic decays B →N + e and D →N + e, respectively, if the Lorentz
structure permits this. These choices also allow for semi-leptonic decays of the form B →
N + e + X and D →N + e + X where X is a pseudoscalar or vector meson consisting
of just up, down, and strange quarks (strange quarks only if the decaying meson contains
a strange quark as is the case for Bs and Ds mesons). For the plots in this section, we
assume the weak interaction is turned offand consider only one non-zero EFT operator at
a time. The results are depicted in figure 2. The three chosen operators correspond to quark bilinears with different Lorentz struc-
tures (scalar, tensor, and vector, respectively). In the scalar case, leptonic decays are
allowed and these dominate over semi-leptonic decay modes for all considered values of
the sterile neutrino mass. For the tensor operator, however, the leptonic decay mode is
forbidden and a final-state meson must be produced. In these cases, the dominant decay
modes are those with a final-state vector meson. Finally, the C(6)
VLR vector operator has a
similar Lorentz structure as the SM charged weak current, but with different flavor struc-
ture. As was the case in figure 1, depending on the sterile neutrino mass, either leptonic
(solid lines) or semi-leptonic processes (dashed, dotted, and dot-dashed lines) can dominate
the production of sterile neutrinos, and must all be included. 4.1
Sterile neutrino decays in minimal models We begin by considering the minimal scenario, where we assume that the only non-zero term
in eq. (2.18) is (C(6)
VLL)ijk4 = −2Vij Uk4. For concreteness we consider decays of Majorana
sterile neutrinos into final-state electrons and set Ue4 ̸= 0 and Uµ4 = Uτ4 = 0. In addition,
we consider the SM weak neutral current (see eq. (2.12)), which leads to N →ν + f + ¯f
decays where f denotes any SM fermion that is kinematically allowed (in case of quarks,
we consider a final-state neutral meson). These decay rates have all been calculated in the – 9 – 0.0
0.5
1.0
1.5
10-7
10-6
10-5
10-4
0.001
0.010
mN[GeV]
BR(D->X+N)
CSRR=0.1
D- →e- + N
D- →e- + π0 + N
D- →e- + ρ0 + N
Ds →e- + K0 + N
Ds →e- + K0* + N
0
1
2
3
4
5
10-6
10-5
10-4
0.001
0.010
0.100
1
mN[GeV]
BR(B->X+N)
CSRR=0.1
B- →e- + N
B- →e- + π0 + N
B- →e- + ρ0 + N
Bs →e- + K+ + N
Bs →e- + K+* + N
0.0
0.5
1.0
1.5
10-7
10-6
10-5
10-4
0.001
mN[GeV]
BR(D->X+N)
CTRR=0.025
D- →e- + π0 + N
D- →e- + ρ0 + N
Ds →e- + K0 + N
Ds →e- + K0* + N
0
1
2
3
4
5
10-6
10-5
10-4
0.001
0.010
0.100
1
mN[GeV]
BR(B->X+N)
CTRR=0.025
B- →e- + π0 + N
B- →e- + ρ0 + N
Bs →e- + K+ + N
Bs →e- + K+* + N
0.0
0.5
1.0
1.5
10-7
10-6
10-5
10-4
0.001
0.010
mN[GeV]
BR(D->X+N)
CVLR=0.1
D- →e- + N
D- →e- + π0 + N
D- →e- + ρ0 + N
Ds →e- + K0 + N
Ds →e- + K0* + N
0
1
2
3
4
5
10-6
10-5
10-4
0.001
0.010
0.100
1
mN[GeV]
BR(B->X+N)
CVLR=0.1
B- →e- + N
B- →e- + π0 + N
B- →e- + ρ0 + N
Bs →e- + K+ + N
Bs →e- + K+* + N
Figure 2. Branching ratios of D and B mesons in the left and right panels, respectively. Left:
from top to bottom the figures correspond to (C(6)
SRR)21e4 = 0.1, (C(6)
TRR)21e4 = 0.025
and (C(6)
VLR)21e4 = 0.1, respectively. 4.1
Sterile neutrino decays in minimal models Right:
from top to bottom the figures correspond to
(C(6)
SRR)13e4 = 0.1, (C(6)
TRR)13e4 = 0.025 and (C(6)
VLR)13e4 = 0.1, respectively. 0.0
0.5
1.0
1.5
10-7
10-6
10-5
10-4
0.001
0.010
mN[GeV]
BR(D->X+N)
CSRR=0.1
0.0
0.5
1.0
1.5
10-7
10-6
10-5
10-4
0.001
mN[GeV]
BR(D->X+N)
CTRR=0.025
CVLR=0 1 JHEP03(2021)148 0
1
2
3
4
5
10-6
10-5
10-4
0.001
0.010
0.100
1
mN[GeV]
BR(B->X+N)
CVLR=0.1
B- →e- + N
B- →e- + π0 + N
B- →e- + ρ0 + N
Bs →e- + K+ + N
Bs →e- + K+* + N Figure 2. Branching ratios of D and B mesons in the left and right panels, respectively. Left:
from top to bottom the figures correspond to (C(6)
SRR)21e4 = 0.1, (C(6)
TRR)21e4 = 0.025
and (C(6)
VLR)21e4 = 0.1, respectively. Right:
from top to bottom the figures correspond to
(C(6)
SRR)13e4 = 0.1, (C(6)
TRR)13e4 = 0.025 and (C(6)
VLR)13e4 = 0.1, respectively. literature, see e.g. refs. [63–68]. Most results agree with each other and with our findings
given in the appendix, with the exception for decay processes into final-state neutral mesons
where some differences appear. For these cases, our results agree with ref. [64]. We consider N →leptons through both charged and neutral weak currents. The
latter leads to the invisible three-neutrino decay mode. We include decays into a single
pseudoscalar (π, K, η, η′, D, Ds, ηc) and vector meson (ρ, ω, K∗, φ, D∗, D∗
s, J/Ψ). This
effectively also takes into account decay modes into two pions through the intermediate
decays of ρ mesons [63], assuming mN > mρ. For heavier sterile neutrinos other multi-
meson final states become relevant and summing exclusive channels becomes impractical. Instead we follow ref. [63] and estimate the total hadronic decay width by calculating the
decay width to spectator quarks times appropriate loop corrections. The loop corrections
are taken from a comparison to hadronic τ decays 1 + ∆QCD(mτ) ≡
Γ(τ →νe + hadrons)
Γtree(τ →ντ + ¯u + D)) ,
(4.1) (4.1) – 10 – 1
2
3
4
5
0.01
0.05
0.10
0.50
1
mN[GeV]
Γsingle meson /Γquarks
N →all mesons
N →π
N →η,η',ηc
N →ρ
N →ω+ϕ
N →Ds* + Ds
0.01
0.05
0.10
0.50
1
5
10-6
0.001
1
1000
106
mN[GeV]
Ue4
2 cτN [m]
Figure 3. 4.1
Sterile neutrino decays in minimal models Left: Comparison of branching ratios to individual mesons divided by the inclusive
hadronic branching ratio calculated via eq. (4.3). Right: Decay length of the sterile neutrino in
minimal scenarios. 1
2
3
4
5
0.01
0.05
0.10
0.50
1
mN[GeV]
Γsingle meson /Γquarks
N →all mesons
N →π
N →η,η',ηc
N →ρ
N →ω+ϕ
N →Ds* + Ds 0.01
0.05
0.10
0.50
1
5
10-6
0.001
1
1000
106
mN[GeV]
Ue4
2 cτN [m] Figure 3. Left: Comparison of branching ratios to individual mesons divided by the inclusive
hadronic branching ratio calculated via eq. (4.3). Right: Decay length of the sterile neutrino in
minimal scenarios. JHEP03(2021)148 where D denotes a d or s quark and where D denotes a d or s quark and where D denotes a d or s quark and ∆QCD = αs
π + 5.2α2
s
π2 + . . . ,
(4.2) (4.2) where dots denote higher-order corrections. This gives a good description of the inclusive
hadronic τ decay rate and we assume this to hold for sterile neutrino decays in the minimal
scenario as well. That is, we use 1 + ∆QCD(mN) ≡Γ(N →e−/νe + hadrons)
Γtree(N →e−/νe + ¯qq)
,
(4.3) (4.3) to calculate the inclusive hadronic sterile neutrino decay rate through both charged and
neutral weak currents. We find that single meson channels dominate for mN ≲1 GeV, while the decay to
quarks become relevant for larger masses, indicating that multi-meson final states become
significant. We demonstrate this in the left plot of figure 3, which shows branching ratios
to individual mesons, compared to the sum of all single-meson final states, and compared
to quarks, for mN ≳1 GeV. At mN = 5 GeV, the single meson final states make up roughly
20% of the hadronic decay rate. Our results are in good agreement with ref. [63], apart
from decays to neutral vector mesons, which only play a small role. We write the total decay rate as We write the total decay rate as ΓN = θ(1 GeV −mN)ΓN→single meson + θ(mN −1 GeV) [1 + ∆QCD(mN)] ΓN→¯qq
+ΓN→leptons . (4.4) (4.4) In the right panel of figure 3, we show a plot of the scaled proper decay length, U 2
e4cτN, as a
function of mN in the minimal scenario, where c is the speed of light and τN is the proper
lifetime of N. 4.1
Sterile neutrino decays in minimal models The branching ratios to individual mesons, leptons, and three neutrinos
(invisible) for mN < 1 GeV are shown in the left panel of figure 4 while the branching
ratios to quarks, leptons, and invisible for mN > 1 GeV are shown in the right panel of the
same figure. – 11 – 0.05
0.10
0.50
1
0.001
0.005
0.010
0.050
0.100
0.500
1
mN[GeV]
BR
N →invisible
N →leptons
N →π
N →η,η'
N →K* + K
N →ρ
1
2
3
4
5
0.2
0.4
0.6
0.8
1.0
mN[GeV]
BR
N →quarks
N →
leptons
N →invisible
Figure 4. Branching ratios in the minimal scenario for Ue4 = 1 and Uµ4 = Uτ4 = 0. Left:
mN < 1 GeV with decays to individual mesons. Right: mN > 1 GeV and the decays to quarks
correspond to the total hadronic branching ratio. 0.05
0.10
0.50
1
0.001
0.005
0.010
0.050
0.100
0.500
1
mN[GeV]
BR
N →invisible
N →leptons
N →π
N →η,η'
N →K* + K
N →ρ 1
2
3
4
5
0.2
0.4
0.6
0.8
1.0
mN[GeV]
BR
N →quarks
N →
leptons
N →invisible Figure 4. Branching ratios in the minimal scenario for Ue4 = 1 and Uµ4 = Uτ4 = 0. Left:
mN < 1 GeV with decays to individual mesons. Right: mN > 1 GeV and the decays to quarks
correspond to the total hadronic branching ratio. JHEP03(2021)148 4.2
Sterile neutrino decays from higher-dimensional operators The EFT operators in eq. (2.18) involve two quarks and a charged lepton and induce new
channels for sterile neutrinos to decay into hadrons. Depending on the flavor structure
of the operators, typically only one or two single-meson decay modes are relevant. For
instance for an operator (C(6)
VLR)ije4 with ij = 11 we consider decays into a single charged
pion or ρ meson, while for (C(6)
SRR)11e4 only pions are relevant. As is the case for the
minimal scenario, one can imagine multi-meson states to become relevant for larger sterile
neutrino masses (for this flavor choice, such states would be three- or more pions). We
do not include such states here, although we find that decays to quarks become dominant
around mN ≳2 GeV for scalar operators, as we do not have the benchmark of hadronic τ
decays to verify our results for non-SM currents. We only consider decays into individual
mesons. This leads to a potential underestimate of the sterile neutrino decay width and
consequently renders our sensitivity limits for future experiments conservative in the large
decay length regime. As all our results below are given on log scales, we do not expect
significant deviations from our findings. In figure 5 we plot the proper decay length of
N, cτN, against its mass for various choices of Wilson coefficients and flavor assignments. We consider one effective coupling at the time, turn offminimal mixing, and the Wilson
coefficients are set to unity. 5
Theoretical scenarios We stress that the minimal 3 + 1 model leads to two massless active
neutrinos and is thus ruled out by neutrino oscillation experiments, but with its
simplicity it provides a useful benchmark. parameter. We stress that the minimal 3 + 1 model leads to two massless active
neutrinos and is thus ruled out by neutrino oscillation experiments, but with its
simplicity it provides a useful benchmark. 2. In this scenario we extend the minimal 3 + 1 model by interactions generated by
the exchange of leptoquarks. All possible representations of LQs are summarized in
ref. [18]. We focus on the representation ˜R (3, 2, 1/6), which can couple to (sterile)
neutrinos through the Lagrangian 2. In this scenario we extend the minimal 3 + 1 model by interactions generated by
the exchange of leptoquarks. All possible representations of LQs are summarized in
ref. [18]. We focus on the representation ˜R (3, 2, 1/6), which can couple to (sterile)
neutrinos through the Lagrangian LLQ = −yRL
jk ¯dRj ˜RaϵabLb
Lk + yLR
il
¯Qa
Li ˜RaνRl + h.c. ,
(5.1) (5.1) where a, b are SU(2) indices and i, j, k, l are flavor indices, respectively. Note that
l = 1 in the 3 + 1 model. LHC constraints force the leptoquark mass, mLQ, to be
above a few TeV and for low-energy purposes we can integrate it out. At tree level
this leads to the effective operator where a, b are SU(2) indices and i, j, k, l are flavor indices, respectively. Note that
l = 1 in the 3 + 1 model. LHC constraints force the leptoquark mass, mLQ, to be
above a few TeV and for low-energy purposes we can integrate it out. At tree level
this leads to the effective operator L(6)
νR =
C(6)
LdQν
ijkl
¯La
kdj
ϵab
¯Qb
iνRl
+ h.c. ,
(5.2) (5.2) where where
C(6)
LdQν
ijkl =
1
m2
LQ
yLR
il yRL∗
jk
. (5.3) (5.3) We read from eq. (2.11) ¯c(6)
SR = 4¯c(6)
T = v2
2 C(6)
LdQν . (5.4) (5.4) Finally, going to the neutrino mass basis and focusing on the couplings to electrons
and sterile neutrinos, we obtain the matching contributions to the effective operators
in eq. 5
Theoretical scenarios In this work we focus on the production of sterile neutrinos through the decays of B and
D mesons. We consider three classes of scenarios that are representative of the effective
Lagrangian in eq. (2.18). We always consider the case of a single sterile neutrino which is
mixed with the active electron neutrino. The three classes of scenarios are listed below: 1. Here we consider the minimal scenario without higher-dimensional operators and 1
sterile neutrino (a 3 + 1 model). Because of minimal sterile-active mixing, the sterile
neutrino only interacts through charged and neutral SM weak interactions. In the
3 + 1 minimal seesaw model, the mixing angle is related to the ratio of active and
sterile neutrino masses |Ue4|2 ∼mν/mN, but we treat the mixing angle as a free 3 + 1 minimal seesaw model, the mixing angle is related to the ratio of active and
sterile neutrino masses |Ue4|2 ∼mν/mN, but we treat the mixing angle as a free – 12 – 0.1
0.2
0.5
1
2
5
10-6
0.001
1
mN[GeV]
cτN [m]
(CSRR
(6) )11 e4
(CTRR
(6) )11 e4
(CVLR
(6) )11 e4
(CSRR
(6) )12 e4
(CTRR
(6) )12 e4
(CVLR
(6) )12 e4
(CSRR
(6) )21 e4
(CTRR
(6) )21 e4
(CVLR
(6) )21 e4
Figure 5. Proper decay length of sterile neutrinos for various choices of EFT operators and flavor
assignments. The Wilson coefficients are set to unity and the minimal active-sterile mixing is turned
off. 0.1
0.2
0.5
1
2
5
10-6
0.001
1
mN[GeV]
cτN [m]
(CSRR
(6) )11 e4
(CTRR
(6) )11 e4
(CVLR
(6) )11 e4
(CSRR
(6) )12 e4
(CTRR
(6) )12 e4
(CVLR
(6) )12 e4
(CSRR
(6) )21 e4
(CTRR
(6) )21 e4
(CVLR
(6) )21 e4
Figure 5. Proper decay length of sterile neutrinos for various choices of EFT operators and flavor
assignments. The Wilson coefficients are set to unity and the minimal active-sterile mixing is turned
off JHEP03(2021)148 Figure 5. Proper decay length of sterile neutrinos for various choices of EFT operators and flavor
assignments. The Wilson coefficients are set to unity and the minimal active-sterile mixing is turned
off. parameter. We stress that the minimal 3 + 1 model leads to two massless active
neutrinos and is thus ruled out by neutrino oscillation experiments, but with its
simplicity it provides a useful benchmark. parameter. 5
Theoretical scenarios (2.18) Finally, going to the neutrino mass basis and focusing on the couplings to electrons
and sterile neutrinos, we obtain the matching contributions to the effective operators
in eq. (2.18)
C(6)
VLL
ije4 = −2VijUe4 ,
C(6)
SRR
ije4 = 4
C(6)
TRR
ije4 =
¯c(6)
SR
ije1 U ∗
44 ,
(5.5) (5.5) – 13 – – 13 – where i and j denote the up- and down-quark generation, respectively, and Vij el-
ements of the CKM matrix. In this scenario, we have contributions from minimal
mixing proportional to the mixing angle Ue4 and from leptoquark interactions pro-
portional to U ∗
44. We will use the canonical see-saw relations Ue4 ≃
r mν
mN
,
U44 = 1 ,
(5.6) (5.6) and set mν = 0.05 eV as representative for the active neutrino masses. For a specific
quark flavor choice of i and j, this reduces the effective number of free parameters
to two: the sterile neutrino mass mN and the combination of the LQ couplings and
mass yLR
i1 yRL∗
je
/m2
LQ. and set mν = 0.05 eV as representative for the active neutrino masses. For a specific
quark flavor choice of i and j, this reduces the effective number of free parameters
to two: the sterile neutrino mass mN and the combination of the LQ couplings and
mass yLR
i1 yRL∗
je
/m2
LQ. JHEP03(2021)148 3. The final scenario we consider is inspired by models, such as left-right symmetric
models, with right-handed charged gauge bosons, which can mix with W ±. Instead
of implementing the full left-right symmetric model, we take a simplified scenario
and consider the effects of a nonzero C(6)
VLR in eq. (2.18) in combination with the SM
left-handed weak interactions. That is, we consider 3. The final scenario we consider is inspired by models, such as left-right symmetric
models, with right-handed charged gauge bosons, which can mix with W ±. Instead
of implementing the full left-right symmetric model, we take a simplified scenario
and consider the effects of a nonzero C(6)
VLR in eq. (2.18) in combination with the SM
left-handed weak interactions. That is, we consider
C(6)
VLL
ije4 = −2VijUe4 ,
C(6)
VLR
ije4 > 0 . (5.7) (5.7) In left-right symmetric scenarios nonzero C(6)
VRR and C(6)
VRL are generally induced as
well. 5
Theoretical scenarios The resulting phenomenology is very similar to C(6)
VLL and C(6)
VLR and for simplic-
ity we do not consider these effective operators here. They can be easily added to the
analysis if so required. For the active-sterile neutrino mixing parameter, we follow
the leptoquark scenario and set Ue4 =
p
mν/mN. In minimal left-right symmetric
models with exact P or C symmetry, the dependence of the effective operators on the
quark flavor indices ij can be calculated. We do not consider this here and consider
one particular choice of ij at a time. It is straightforward to generalize this choice. 6
Collider and fixed-target analysis We proceed to explore the search possibilities for the above scenarios at the LHC, consider-
ing both existing and proposed experiments, as well as the proposed fixed-target experiment
SHiP at the CERN SPS [39–41]. Currently at the LHC we have the operational experiments
ALICE [69, 70], ATLAS [27], CMS [28], and LHCb [71, 72]. Of these we shall focus on the search
sensitivity for long-lived sterile neutrinos at ATLAS, which is the largest experiment in de-
tector volume, and can thus in principle explore the largest decay lengths. Beyond this, a
series of new experiments has recently been proposed at various locations near the LHC in-
teraction points (IPs), namely in alphabetical order: AL3X [35], ANUBIS [36], CODEX-b [29],
FASER and FASER2 [30, 31], MATHUSLA [32–34], and MoEDAL-MAPP1 and MoEDAL-MAPP2 of the
MoEDAL collaboration [37, 38]. These latter experiments, including SHiP, are all designed
to specifically look for neutral long-lived particles (LLPs). We shall discuss the search
potential of all the above-mentioned experiments specifically for sterile neutrinos. – 14 – In this section, we review briefly the setup of the beam and detector geometries for
each experiment and introduce the Monte Carlo (MC) simulation procedure for the event
simulation. We focus on the production via the rare decay of B- and D-mesons. This can
proceed via either purely leptonic two-body decays, or semi-leptonic three-body decays, as
discussed in section 3. Similarly, for the displaced decay of sterile neutrinos, we consider
both the two-body decay into a charged lepton and a charged meson, and decays into
multiple hadronic states plus a lepton, as explained in section 4. It is worth mentioning
that the heavy meson M1 that is to decay into a sterile neutrino, is produced in the process
pp →M1 + X and decays promptly into e.g. a sterile neutrino (X denotes the remaining
decay products). Such signal events can be observed in the near detector such as ATLAS
with e.g. the prompt lepton accompanying the production of M1. The long-lived sterile
neutrinos decay at a macroscopic distance, where the displaced vertex (DV) is reconstructed
if at least two tracks are observed stemming from the same DV inside the detector. 6
Collider and fixed-target analysis JHEP03(2021)148 We do not study the production of the sterile neutrinos from the decay of lighter mesons
such as π± and kaons as these are only relevant for very light sterile neutrinos, and their
simulation in Pythia 8 [73, 74] is insufficiently validated in the forward direction, which
is relevant for the FASER experiments. In fact, even for D± and B± mesons, we will use
FONLL [75–78] to correct the behavior of Pythia 8 in the very large pseudorapidity regime. Finally, we ignore the vector mesons decays into sterile neutrinos, as their decay width is
typically many orders of magnitude larger than that of pseudoscalar mesons leading to tiny
branching ratios for sterile neutrino production. Instead of performing a detailed study considering different components of the de-
tectors separately, for simplicity we will take the whole detector as the fiducial volume,
and make a comparison between the various experiments. Since the ATLAS detector was
not designed to look for neutral LLPs, we shall add an estimate for the efficiency factor
based on existing neutral LLP searches, which, however, search for heavier candidates than
considered here. One potential issue relates to possible background events which, depending on the
placement of the detector, may consist of long-lived SM hadron decays, cosmic rays,
hadronic interaction with the detector material, etc. All the experiments considered in this
study, except ATLAS, employ a far detector with a distance 5−500 meters away from the IP. The space between the IP and the far detector is usually sufficiently large to allow for the in-
stallation of veto and shielding segments, as argued in refs. [29, 30, 32, 33, 35, 36, 38, 79, 80]. For MATHUSLA the rock and shielding below ground should remove the SM background. As
for cosmic rays, directional cuts will be applied. To assess and compare the sensitivities of
different experiments, we show 3-event isocurves which correspond to 95% confidence level
(C.L.) with zero background. This is not appropriate for the ATLAS detector which has
an almost 4π coverage immediately around the IP, and a large irreducible SM background
is expected. Depending on the signal type, the number of such background events may
vary. Instead of performing an estimate of background events for each scenario, we shall
implement an estimate for the efficiency, which we discuss below. 2In this work, we consider the LHC center-of-mass energy at 14 TeV for all experiments. We assume an
LHC upgrade before the experiments are online. Changing it to 13 TeV would only have a small effect on
our results. 6
Collider and fixed-target analysis In addition, since the detector efficiency of the future experiments is unknown, in
order to make a fair comparison, we assume a 100% reconstruction efficiency for all the
experiments except ATLAS. – 15 – Experiment
SHiP
ATLAS
AL3X
ANUBIS
CODEX-b
Int. Lumi. 2 × 1020 POT
3000 fb−1
100 or 250 fb−1
3000 fb−1
300 fb−1
Angular Cov. 0.89%
100%
13.73%
1.79%
1%
Experiment
FASER
FASER2
MAPP1
MAPP2
MATHUSLA
Int. Lumi. 150 fb−1
3000 fb−1
30 fb−1
300 fb−1
3000 fb−1
Angular Cov. 1.1 × 10−8
1.1 × 10−6
0.17%
0.68%
3.8%
Table 2. Summary of integrated luminosities for the various experiments. “POT” for SHiP stands
for “Protons on Target”. We also list the simple geometric coverage for each experiment. Table 2. Summary of integrated luminosities for the various experiments. “POT” for SHiP stan
for “Protons on Target”. We also list the simple geometric coverage for each experiment. JHEP03(2021)148 The search potential of these experiments, but also of other fixed-target experiments,
has been investigated for example for neutralinos [81–85]. For various other theoretical
scenarios, see ref. [86] for a recent review. We start with a brief introduction of the fixed-target experiment SHiP, as its beam
setup is different from the other experiments, and then discuss the other experiments,
which are all associated to either the ATLAS, CMS, or LHCb IP and the LHC accelerator.2
Since these experiments differ in the projected integrated luminosity, we summarize them
in table 2. 6.1
SHiP The SHiP facility was proposed to make use of the high-intensity CERN SPS beam of
400 GeV protons incident on a fixed target made of e.g. a hybrid material composed of
(solid) molybdenum alloy and pure tungsten [39–41]. It has not been approved yet. With a
center-of-mass energy of approximately 27 GeV, large production rates of D- and B-mesons
are expected. The SHiP experiment is proposed to have a cylindrical detector downstream
at roughly 70 m away from the IP. The experiment is specifically designed for detecting
long-lived neutral particles, which are produced from e.g. charm or bottom meson rare
decays, fly an extended length, and then decay inside the detector chamber downstream,
especially if the lab-frame decay length of the LLP lies within the SHiP sensitivity range. For the lifetime of the SHiP project, a total of 2×1020 protons on target (POT) are planned. At SHiP, the initial meson M1 of sterile neutrinos is produced in a hadronic collision
between the beam protons and the target material. The differential production cross section
is strongly forward peaked, and the M1 will have a significant forward boost. This will
be passed onto the decay products, including N, the sterile neutrino. The active decay
chamber is 68.8 m downstream of the target. It has a cyclindrical shape with a length
of 60 m, where the first 5 m are to be used for placing background suppression vetoes. The front surface has an elliptical shape with semi-axes of 5 m and 2.5 m. The optimal
sensitivity is for particles with 68.8 m < βz
NγNcτN < 123.8 m ,
(6.1) (6.1) 68.8 m < βz
NγNcτN < 123.8 m , 2In this work, we consider the LHC center-of-mass energy at 14 TeV for all experiments. We assume an
LHC upgrade before the experiments are online. Changing it to 13 TeV would only have a small effect on
our results. 2In this work, we consider the LHC center-of-mass energy at 14 TeV for all experiments. We assume an
LHC upgrade before the experiments are online. Changing it to 13 TeV would only have a small effect on
our results. – 16 – where βz
N, γN are the relativistic speed along the beam axis and the Lorentz boost factor
of N, respectively. 6.1
SHiP In order to study sterile neutrinos produced from the decays of D- and B-mesons, we
need to know the total number of these mesons expected at SHiP in its 5 year lifetime:
ND±, ND0, NDs, NB±, NB0, and NBs, respectively. These numbers can be estimated
by following ref. [63]. See also the earlier work in ref. [83]. The c¯c (b¯b) production rate
is 1.7 × 10−3 (1.6 × 10−7) per collision. After the fragmentation factors are taken into
account, the numbers of the heavy-flavor mesons can be estimated and reproduced below
from ref. [63]: JHEP03(2021)148 NSHiP
D± = 1.4 × 1017,
N SHiP
D0
= 4.3 × 1017,
N SHiP
Ds
= 6.0 × 1016,
(6.2)
NSHiP
B±
= 2.7 × 1013,
N SHiP
B0
= 2.7 × 1013,
N SHiP
Bs
= 7.2 × 1012. (6.3) (6.2) (6.3) We note that Bc mesons are in principle also produced and may extend the upper reach
in mN. However, given the much smaller production cross section, we do not take it into
account. Similarly for the other LHC experiments, as discussed below. 6.2
Experiments at the LHC For ATLAS and extended programs at the ATLAS/CMS/LHCb sites, we consider pp collisions
at √s = 14 TeV with equal beam energies. These experiments benefit from a beam energy
that is orders of magnitude higher compared to SHiP. As a result, the mesons and the
therefrom produced sterile neutrinos are much more boosted, leading to good sensitivities
even for detectors that are to be installed hundreds of meters away from the IP. To perform the sensitivity estimate for experiments at ATLAS/CMS/LHCb, it is necessary
to know the inclusive production rate of the heavy-flavor mesons at the HL-LHC with up to
3 ab−1 integrated luminosity. To achieve this, we follow the procedure in refs. [83, 84, 87]. The LHCb collaborations reported D-meson and B-meson production cross sections for a
13 TeV pp-collider, for certain kinematic range. Using the simulation tools FONLL [75–78]
and Pythia 8 we can extrapolate these cross sections to the whole kinematic range. We
find that for 3 ab−1 integrated luminosity over the full 4π solid angle the following list of
numbers of the produced charm and bottom mesons: NHL-LHC
D±
= 2.04 × 1016,
N HL-LHC
D0
= 3.89 × 1016,
N HL-LHC
Ds
= 6.62 × 1015,
(6.4)
NHL-LHC
B±
= 1.46 × 1015,
N HL-LHC
B0
= 1.46 × 1015,
N HL-LHC
Bs
= 2.53 × 1014. (6.5) (6.5) For the estimate of NHL-LHC
D±
, the decay branching ratio of D∗± into D± is included, and for
the number of B-mesons the corresponding fragmentation factors determined by Pythia 8
are used. These numbers will be used not only for the evaluation at the ATLAS experiment,
but also for all the extended programs discussed below with a possible overall re-scaling
by the integrated luminosity. //
/
5The center of the MATHUSLA detector is at about 132 m from the IP. The area of the enclosing sphere
is about 2.2 · 105 m2. The MATHUSLA detector has an base area of about 104 m2 and is tilted roughly at
63◦relative to the radial direction. 104 m2 cos(63◦)/(2.2 · 105 m2) ≈2.1%. In a more precise Monte Carlo
integration we found a coverage of 3.8%. 6.2.1
FASER At the ATLAS IP, the differential cross section for the production of GeV-scale mesons is
strongly peaked at large pseudorapidities, i.e. close to the beam pipe in both directions. – 17 – The production rate of light neutral LLPs, resulting from the decay of the mesons, should
then also be peaked in the large pseudorapidity regime. A far detector known as FASER
(Forward Search ExpeRiment) [30, 31] has been proposed, which is designed to specifically
make use of this feature. It has been officially approved by CERN and should be collecting
data during Run 3 of the LHC.3 It is placed in the existing TI12 tunnel at a distance
of 480 m from the ATLAS IP and has a cylindrical shape exactly aligned with the beam
collision axis, but slightly offof the beam due to the curvature of the accelerator. The
FASER detector has a cylindrical radius of 10 cm and a length of 1.5 m, and the expected
integrated luminosity is 150 fb−1. The corresponding angular coverage is η ∈[9.17, +∞] in
pseudorapidity and full 2π in the azimuthal angle. JHEP03(2021)148 After Run 3 is finished, FASER is currently planned to be upgraded to a larger version
known as FASER2, to be under operation during the HL-LHC era, collecting up to 3 ab−1
of data [31], and located in the same place. Its geometry is specified as a cylinder with 1 m
radius and 5 m length, which is 300x larger by volume, than FASER. The pseudorapidity
coverage is correspondingly enlarged to η ∈[6.86, +∞] while the azimuthal angle remains
fully covered. In this work, we will study the search potential of both FASER and FASER2
for sterile neutrinos as neutral LLPs. As mentioned earlier and discussed in ref. [84], Pythia 8 is not well validated in
the large pseudorapidity regime for the differential production cross section of charm and
bottom mesons. To solve this issue, we re-scale the meson production cross section in
Pythia 8 at different ranges of the transverse momentum and pseudorapidity by using the
more reliable results given by FONLL. 4See also the webpage of the experiment: https://mathusla-experiment.web.cern.ch/.
5 3See the official website of the experiment FASER: https://faser.web.cern.ch/.
4 6.2.4
CODEX-b An external detector extension has also been proposed at the IP8 of the LHCb experiment. CODEX-b (COmpact Detector for EXotics at LHCb) [29] is designed as a cubic box of
dimensions 10 m × 10 m × 10 m. Occupying an empty space with a distance ∼25 m from
the LHCb IP, it covers the pseudorapidity range of η ∈[0.2, 0.6] with the azimuthal angle
coverage of ∼6.4%. The total geometric coverage of the solid-angle is about 1%. 6.2.3
ANUBIS It has recently been proposed [36] to construct a detector, named ANUBIS (AN Underground
Belayed In-Shaft search experiment), in one of the service shafts just above the ATLAS or
CMS IP. Consequently, a total of 3 ab−1 integrated luminosity from the LHC is projected. Similarly to the detectors discussed above, it also has a cylindrical shape however with the
axis oriented in the vertical direction. The cyclinder diameter is 18 m and the length is
56 m. The axis of the cylinder runs from the middle point of the bottom: (xb, yb, zb) =
(0, 24 m, 14 m) to the top (xt, yt, zt) = (0, 80 m, 14 m), where z is along the beam axis, x is
horizontally transverse, and y is vertically transverse, and the IP is at (x, y, z) = (0, 0, 0). Please refer to refs. [36, 62] for a sketch. MC integration finds the angular coverage of
ANUBIS to be 1.79% [87]. JHEP03(2021)148 6.2.2
MATHUSLA A much larger experiment called “MATHUSLA” (MAssive Timing Hodoscope for Ultra Stable
neutraL pArticles) has been suggested to be constructed at the surface above the CMS
experiment [32–34].4 It is proposed to be built for the HL-LHC phase with 3 ab−1 integrated
luminosity. With a box shape, it has a base area of 100 m × 100 m and a height of 25 m. Relative to the CMS IP, the front edge of the detector should be horizontally shifted along
the beam axis by 68 m, and vertically upwards by 60 m. Despite its huge size, the large
distance of MATHUSLA from the IP still leads to a small geometric coverage. It corresponds
to a solid angle or geometric coverage of about 3.8%.5 Nevertheless, it has been shown
to be one of the far detectors at the LHC that may have the strongest reach in the very
small active-sterile neutrino mixing at |Ue4|2 ∼10−9, when only the weak interaction is
considered [34]. – 18 – 6.2.5
MoEDAL-MAPP MAPP (MoEDAL’s Apparatus for Penetrating Particles) is proposed as one sub-detector of
the MoEDAL experiment [37, 38] at the IP8 of LHCb, and designed for searching for neutral
LLPs. Similar to FASER, the MAPP experiment will have a significant upgrade in a second
version. MAPP1 is a rather small detector of volume ∼130 m3, currently under deployment
and expected to collect data during LHC Run 3 with up to 30 fb−1 integrated luminosity. It is roughly 55 m from the IP8 at a polar angle 5◦from the beam. During the HL-LHC
era, the MAPP2 program is planned to be under operation at IP8 until the end of Run 5,
accumulating up to 300 fb−1 of data. It is designed to occupy almost the whole of the UGC8
gallery in the LHC tunnel complex, taking up a volume of about 430 m3. With a larger
integrated luminosity and a bigger volume, MAPP2 is predicted to have higher sensitivity. The two detectors cover about 0.17% and 0.68% of the total solid angle [87], respectively. 6.2.7
ATLAS In the previous sections we have discussed proposed new experiments which are specifically
designed to look for long-lived particles. They are typically placed some distance away from
the various IPs at the LHC or, in the case of SHiP, designed as a fixed-target experiment
with a long decay path. In e.g. ref. [83] some of us considered the search for light long-lived
particles at ATLAS.6 ATLAS can study decays upto a length of about
p
112 + (43/2)2 =
24 m, where 11 m is the cylindrical radius and 24 m is half the detector length. Over this
length, as we discuss below in more detail, the fraction 1−exp[−24 m/(βγcτ)] of the LLP’s
decay where τ and γ denote the LLP lifetime and boost factor, respectively, and β is the
relativistic speed of the particle. However, ATLAS offers almost 4π in angular coverage,
which is significantly larger than the other detectors at the LHC. In ref. [83], we found
that for 100% signal efficiency, an integrated luminosity of 250 fb−1, and assuming zero
background, ATLAS is competitive with or slightly better than SHiP for the LLPs produced
from B-mesons decays, and was somewhat worse in the case of D-mesons. JHEP03(2021)148 Here we describe in more detail the geometrical parameters we use for the fiducial
volume of the ATLAS detector. It has a cylindrical shape with inner (outer) radius of
0.0505 m (11 m) corresponding to the beginning of the inner detector (the end of the muon
spectrometer), and a length of 43 m. In principle, even if a DV is inside the beam pipe, as
long as its distance from the IP is larger than the detector spatial resolution and consists
of displaced tracks, it can be reconstructed. However, to be more conservative, we choose
to include only DVs that are located inside the detector volume. We take 3 ab−1 as the
benchmark value for the integrated luminosity over the lifetime fo the HL-LHC. As we have mentioned, all the above proposed new experiments are specifically designed
to look for light long-lived particles. They are thus further away from the LHC IPs and
shielded from many SM backgrounds generated at the IP. All the same they will all have
separate background issues, depending on where they are located. MATHUSLA is to be
installed on the ground and thus highly susceptible to cosmic rays. 6.2.6
AL3X AL3X (A Laboratory for Long-Lived eXotics) was proposed in ref. [35] to be built at the LHC
IP2 where the ALICE experiment sits. Placed at a horizontal distance along the beam line
of 5.25 m from the IP, the detector has a cylindrical shape aligned with and surrounding the
beam line, corresponding to a full azimuthal coverage. The proposed inner (outer) radius
is 0.85 m (5 m) with the length 12 m. This gives a pseudo-rapidity coverage of η ∈[0.9, 3.7]. The authors of ref. [35] proposed two values of the integrated luminosity, 100 fb−1 and
250 fb−1, in order to accommodate practical concerns including the move of the IP, beam
quality, and investigation of background events. Here we focus on the benchmark value of
250 fb−1 integrated luminosity. – 19 – 6We focus here on the ATLAS experiment, which is by volume the larger experiment. In principle this
study could be performed for CMS, as well. See ref. [88] for a related study on dark photons at LHCb. 6.2.7
ATLAS ANUBIS is in a shaft
which has minimal overhead shielding. FASER is far down along the tunnel, but still close
to the beam pipe. In order to compare these experiments we have for now assumed that
they can tackle the issues concerning background, and assumed zero background for all. The precise design of these detectors is also not yet well-established, except for the first
phase of FASER. We thus furthermore assume 100% signal efficiency. All this does not hold for ATLAS (or CMS, of course). ATLAS is a well-established ex-
periment, operating in the immediate vicinity of the IP. There is purposely no shielding,
as a priori all events are of interest. With respect to light long-lived particles there are
thus large backgrounds which must be dealt with. Any cuts which are imposed to reduce
the background, will also affect the signal efficiency, most likely in a significant manner. In
order to compare a search at ATLAS with the other experiments we must impose a realistic
signal efficiency, to take this into account. To our knowledge at the moment, there is no
dedicated study at ATLAS or CMS for the scenarios we are considering here. We discuss
several related analyses and estimate a signal efficiency based on this. 6We focus here on the ATLAS experiment, which is by volume the larger experiment. In principle this
study could be performed for CMS, as well. See ref. [88] for a related study on dark photons at LHCb. – 20 – In ref. [89], ATLAS considered the following scenario proposed in ref. [90]. A Higgs
boson decays to two dark fermions, which in turn decay to one or two dark photons plus
an invisible hidden lightest stable particle. The dark photons are the long-lived particles
and decay either to a pair of muons, or a pair of electrons/pions (light hadrons). Dark
photon masses between 0.4 and 3.5 GeV are considered, i.e. similar to our sterile neutrino
mass range. However the Higgs boson masses are 125 or 800 GeV and thus the dark photons
would have a much higher boost than our sterile neutrino’s. For the lighter Higgs mass
and the purely hadronic decay of the dark photon ATLAS finds a signal efficiency of at best
5·10−5 for cτ ≈35 mm, and dropping offrapidly for smaller or larger cτ. In ref. [91], ATLAS considered the following scenario. 6.2.7
ATLAS A Higgs boson decays to a pair
of neutral long-lived scalars, which in turn each decay to 2 jets, one in the inner detector
and one in the muon spectrometer, thus utilizing different parts of the ATLAS detector. For
the lightest mass scenario the Higgs boson is 125 GeV and the scalar is 8 GeV. A detector
efficiency of 3·10−5 is found, similar to the other analysis. In ref. [92] ATLAS considered
a related scenario with scalar masses down to 5 GeV. For a Higgs boson of 125 GeV, and
a scalar of 5 GeV with a decay length of 75 cm they find a signal efficiency of 7·10−4,
somewhat better than in the other studies. JHEP03(2021)148 In all these analyses, ATLAS searches for pairs of produced particles. This reduces
background but also efficiency. Overall we have applied a from the ATLAS point of view
somewhat optimistic flat signal efficiency factor of 10−3 to all the ATLAS searches. In
addition we assume that the corresponding cuts reduce the background to zero. 6.3
Monte-Carlo simulation We perform the MC simulation with the tool Pythia 8.243 [73, 74], in order to extract
the kinematics and to estimate the number of signal events. We express the number of
sterile neutrinos, N, produced as Nprod
N
=
X
i
NMi · Br(Mi →N + X),
(6.6) (6.6) where Mi is summed over all mesons that can decay to N in a given scenario. “Br” stands
for decay branching ratio. NMi is the number of initial mesons, Mi, produced in the initial
collisions at the LHC or for SHiP. The number of sterile neutrino decays in a detector volume Ndec
N
can then be esti-
mated by taking into account the boost factor and traveling direction of N, geometries of
the detector, and the decay branching ratio of sterile neutrinos into the signal final-state
particles. For the latter, we consider all the decay channels except for the fully invisible
state, which contains solely three neutrinos, and is mediated by the SM weak interaction. We use the expressions Ndec
N
= Nprod
N
· ⟨P[N in f.v.]⟩· Br(N →signal),
(6.7)
⟨P[N in f.v.]⟩≡
1
NMC
N
NMC
N
X
i=1
P[Ni in f.v.],
(6.8) (6.7) (6.8) – 21 – – 21 – where ⟨P[N in f.v.]⟩denotes the average probability of all the simulated sterile neutrinos to
decay inside the fiducial volume (“f.v.”) and P[Ni in f.v.] is the individual probability of the
i−th simulated sterile neutrino to decay in the f.v., discussed in more detail below. NMC
N
is
the total number of sterile neutrinos N generated in the simulation. For all the experiments
except MAPP1 and MAPP2, we use formulas for calculating the individual decay probability
with the exponential decay distribution, extracted from existing references [62, 83–85]. As
input we use the boosted decay length and the traveling direction of each simulated sterile
neutrino, denoted by λi = βi γi c τN, where βi is the speed and γi the boost factor. For the MoEDAL-MAPP detectors, following ref. [87] we implement a code which deter-
mines whether each simulated sterile neutrino travels in the direction pointing towards the
detector and if so returns L1i and L2i, where L1i denotes the distance from the IP to the
position where the i−th sterile neutrino would enter the detector, and Li2 the distance
the i−th sterile neutrino would travel across the detector, if it leaves the detector without
having decayed. 6.3
Monte-Carlo simulation If the travel direction of the long-lived sterile neutrino points towards the
detector, we compute P[Ni in f.v.] for the MoEDAL-MAPP detectors through JHEP03(2021)148 P[Ni in f.v.] = e−L1i/λi · (1 −e−L2i/λi). (6.9) (6.9) We use the modules “HardQCD:hardccbar” and “HardQCD:hardbbbar” of Pythia 8
to simulate the production of the charm and bottom mesons, respectively, including the
processes q¯q, gg →c¯c/b¯b. For each benchmark scenario, we simulate 106 events of the
corresponding process, and fix the initial-state mesons to decay to the various channels,
mediated by both the SM weak interaction and the EFT operators, with the corresponding
decay branching ratios. From the MC simulation with Pythia 8, we obtain the average
decay probability from which we calculate Ndec
N
in eq. (6.7). We emphasize that for the partial decay widths of the heavy mesons into N and of the
N into light mesons, we take into account the weak interaction via active-sterile neutrino
mixing, the EFT operator(s), and also the interference between them. The computation
for the production and decay processes of sterile neutrinos are presented in sections 3 and 4
and in the appendices. 7
Numerical results To present the results of this collider study in a compact and representative manner we
consider a subset of possible EFT operators and focus on the three scenarios described in
section 5. For scenario 1, the minimal scenario, there is no EFT operator involved, and
we consider the full standard model charged- and neutral-currents mediated via the active-
sterile neutrino mixing. For scenarios 2 and 3, which involve EFT operators, we must
specify their flavor. In these scenarios we consider 5 different flavor assignments. Each
assignment involves two EFT operators of different quark flavors. All EFT operators are
dimension-6, and we drop the (6) superscript in the following. First, we fix the production
mode via the “production operator” (CP)ij, with associated Wilson coefficients. We shall
consider two cases for the indices ij, which indicate the up- and down-type quark genera-
tions considered in a flavor benchmark, respectively. The choices of the flavors should lead – 22 – to charm and bottom meson decays: to charm and bottom meson decays: to charm and bottom meson decays: to charm and bottom meson decays: (
(CP)21 : D →N + e (+X),
(CP)13 : B →N + e (+X). (7.1) Sterile Neutrino Production Modes :
(
(CP)21 : D →N + e (+X),
(CP)13 : B →N + e (+X). (7.1) (7.1) Here X indicates a potential final state meson. See examples below. Second, we simul-
taneously turn on another EFT operator7 the “decay operator” (CD)ij, which leads to
the decay of sterile neutrinos via semi-leptonic processes. Here, the ij indicate the flavor
content of the final state meson. We shall consider several decay modes Here X indicates a potential final state meson. See examples below. Second, we simul-
taneously turn on another EFT operator7 the “decay operator” (CD)ij, which leads to
the decay of sterile neutrinos via semi-leptonic processes. Here, the ij indicate the flavor
content of the final state meson. We shall consider several decay modes
(CD)11 : N →π± + e∓, ρ± + e∓,
(CD)12 : N →K± + e∓, K∗± + e∓,
(CD)21 : N →D± + e∓, D∗± + e∓. (7.2) Sterile Neutrino Decay Modes :
(CD)11 : N →π± + e∓, ρ± + e∓,
(CD)12 : N →K± + e∓, K∗± + e∓,
(CD)21 : N →D± + e∓, D∗± + e∓. 7It is possible to have only one non-vanishing operator e.g. C11
SRR = 4C11
TRR or C11
VRR, leading to ρ±
decaying to N +e± and N decaying to π± +e∓. However, such scenarios probe only a small sterile neutrino
mass range and in addition require the decaying meson to be a vector particle. This results in a too small
sensitivity reach because of the small production rate and large decay width of the vector mesons. 7
Numerical results (7.2) JHEP03(2021)148 (7.2) Both the production and decay will be induced by various operators with associated Wilson
coefficients, which we discuss in detail below. For all scenarios we include the production
and decay of sterile neutrinos via the SM weak interaction (see section 5 for details) and
the corresponding interference terms with the EFT operators. For the theoretical scenarios
2 and 3 we impose the type-I Seesaw relation to include weak interaction contributions
through minimal mixing, see section 5. As indicated in eq. (7.1), we only include sterile neutrino production via B and D
decays, also for lighter sterile neutrinos with masses mN < mK, mπ, the kaon and pion
masses, respectively. We do not include possible production via kaon or pion decays for the
following reasons. Despite the larger production rates of these mesons, the simulation of
soft pions is not well validated in quick MC simulation tools. Furthermore, the kaons are
long-lived, leading to further complications. Finally, sterile neutrinos produced from pions
and kaons are necessarily light, resulting in limited sensitivity reach in mN. To summarize,
while we show results for light sterile neutrinos in the following, these must be taken as
conservative as we underestimate the number of the produced sterile neutrinos from pion
and kaon decays both via the SM weak interaction as well as via the “decay operator” CD. 7.1
The minimal scenario In the minimal scenario, the interactions are purely mediated by the W- and Z-bosons via
the active-sterile neutrino mixing. Using the analytical expressions given in the previous
sections for the production and decay of the sterile neutrino, we estimate the sensitivity
reach of the experiments discussed in section 6. We present the results in figure 6, shown in
the plane |Ue4|2 vs. mN. Here, we lift the requirement of the type-I seesaw relation |Ue4|2 ≃
mνe/mN, and treat the mixing angle and the sterile neutrino mass as two independent free
parameters. The light gray area shows the present bounds obtained by various experiments
including the searches from CHARM [93], PS191 [94], JINR [95], and DELPHI [96]. The dark 7It is possible to have only one non-vanishing operator e.g. C11
SRR = 4C11
TRR or C11
VRR, leading to ρ±
decaying to N +e± and N decaying to π± +e∓. However, such scenarios probe only a small sterile neutrino
mass range and in addition require the decaying meson to be a vector particle. This results in a too small
sensitivity reach because of the small production rate and large decay width of the vector mesons. – 23 – Figure 6. Results for the minimal scenario with the sterile neutrino mixed solely with the electron
neutrino. JHEP03(2021)148 Figure 6. Results for the minimal scenario with the sterile neutrino mixed solely with the electron
neutrino. gray area corresponds to the part excluded by big bang nucleosynthesis (BBN) [97, 98]. We also show a brown band of “Type-I Seesaw target region” for mνe between 0.05 eV and
0.12 eV with the relation |Ue4|2 ≃mνe/mN. These two limits are derived from neutrino
oscillation and cosmological observations, respectively. The former finds that there is at
least one active neutrino mass eigenstate of mass at least 0.05 eV [99] while the latter
imposed an upper limit of 0.12 eV for the sum of the active neutrino masses [100]. The sensitivity reaches of the various experiments have been determined in the lit-
erature [31, 33, 61, 62, 85, 101], except for the MAPP1 and MAPP2 experiments, for which
we present the estimate for the sensitivity reach for the first time. Our estimate for the
ATLAS experiment considers an integrated luminosity of 3 ab−1 and takes 3000 signal events
before taking into account an universal efficiency factor 10−3 as the 95% C.L. exclusion
limit. 7.1
The minimal scenario To the best of our knowledge, a similar estimate for sterile neutrinos in the minimal
scenario produced from heavy-flavor mesons rare decays has not been conducted for ATLAS. See ref. [102] for a related study within the minimal model, with the sterile neutrino pro-
duced from W-decays, however with promptly decaying sterile neutrinos. Furthermore, in
ref. [103] ATLAS investigated a sterile neutrino mixing with νµ and with a delayed decay,
i.e. a displaced vertex, as well as a promptly decaying sterile neutrino, which mixes with νe
however only for mN ≳6 GeV. For the other experiments, we assume zero background and
100% detector efficiency. Hence we take 3 signal events as the 95% C.L. exclusion limit. Comparing the sensitivity reach of the experiments shown in figure 6 with those from the
literature, we find a good agreement in most cases. For the ANUBIS exclusion limits, our
results shown in figure 6 are inferior by a factor ∼3.5, to those given in ref. [62]. This
difference is due to a corrected meson-production-rate and sterile-neutrino-decay-width
calculation. Given the general agreement with the existing results in the literature, we proceed
to evaluate the sensitivities of these experiments to a set of benchmark scenarios, where
the sterile neutrino interactions with the SM particles are enhanced by heavy new physics,
encoded by EFT operators. There are a large number of possibilities for the flavor structure – 24 – of the EFT operators. Here we consider a few representative flavor choices, to get an
understanding of the general features and the sensitivity reach of various experiments. The calculations can easily be repeated for other flavor choices, for instance those inspired
from specific UV-complete scenarios. We note that in the following EFT flavor benchmarks, with the choice of the canonical
type-I Seesaw relation, mN ≲1 GeV appears to be disfavored by BBN considerations. However, the inclusion of the EFT operator CD can reduce the lifetime of the sterile
neutrinos, possibly circumventing BBN constraint and leading to a potential lower bound
on the EFT Wilson coefficients. Different flavor assignments result in different final-state
particles, affecting the primordial helium and deuterium abundances to different extents. A
detailed study is necessary to investigate the limits that can be set from BBN consideration
on EFT operators and we do not present BBN exclusion bands below. JHEP03(2021)148 7.2
Flavor benchmark 1 Summary of flavor benchmark 1 for the theoretical scenarios 2 and 3 of section 5,
respectively. X denotes any additional final state particles. Flavor benchmark 1.2
Flavor benchmark 1.3
production operator: CP
C21
SRR = 4C21
TRR
C21
VLR
decay operator: CD
C11
SRR = 4C11
TRR
C11
VLR
production process via CP
D±/D0/Ds →N + e±(+X)
decay process via CD
N →π± + e∓, ρ± + e∓
Table 3. Summary of flavor benchmark 1 for the theoretical scenarios 2 and 3 of section 5,
respectively. X denotes any additional final state particles. Table 3. Summary of flavor benchmark 1 for the theoretical scenarios 2 and 3 of section 5,
respectively. X denotes any additional final state particles. Table 3. Summary of flavor benchmark 1 for the theoretical scenarios 2 and 3 of section 5,
respectively. X denotes any additional final state particles. mN = 1.0 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CSRR
21 =4· CTRR
21
CSRR
11 =4· CTRR
11
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1
mN = 1.0 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CVLR
21
CVLR
11
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1
0.0
0.5
1.0
1.5
2.0
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CSRR
21 =4· CTRR
21 =CSRR
11 =4· CTRR
11
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1
0.0
0.5
1.0
1.5
2.0
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CVLR
21 =CVLR
11
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1
Figure 7. Results for the sensitivity reach for flavor benchmark 1. On the left we have the
leptoquark-like case, and on the right the VLR case. For each case the upper figure shows CD vs. 7.2
Flavor benchmark 1 CP, where as the lower case is for CP = CD and shows CP vs. mN. The color code for the various
experiments is shown in each figure. mN = 1.0 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CVLR
21
CVLR
11
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1 JHEP03(2021)148 mN = 1.0 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CSRR
21 =4· CTRR
21
CSRR
11 =4· CTRR
11
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1 0.0
0.5
1.0
1.5
2.0
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CVLR
21 =CVLR
11
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1 0.0
0.5
1.0
1.5
2.0
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CSRR
21 =4· CTRR
21 =CSRR
11 =4· CTRR
11
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1 Figure 7. Results for the sensitivity reach for flavor benchmark 1. On the left we have the
leptoquark-like case, and on the right the VLR case. For each case the upper figure shows CD vs. CP, where as the lower case is for CP = CD and shows CP vs. mN. The color code for the various
experiments is shown in each figure. EFT operators becomes sub-leading with respect to the contributions from minimal mix-
ing. This roughly happens for couplings CP,D ≤10−5, indicating that EFT operators can
dominate over minimal interactions for a new physics scale of Λ ∼
p
v2/CP,D = O(80) TeV. This scale does not include possible small dimensionless couplings or loop suppressions of
the EFT operators and is thus only indicative of the sensitivity range. For some experiments (CODEX-b, MAPP1, and FASER), there is no sensitivity in the upper
left corner (small CP and large CD). 7.2
Flavor benchmark 1 We consider the theoretical scenarios 2 and 3 of section 5 for a specific flavor choice. We
focus on sterile neutrino production through decay of D-mesons, and thus consider the
production operator (CP)21. For scenario 2, the leptoquark scenario, for CP and CD we
consider scalar and tensor operators that are related through CSRR = 4CTRR. For scenario
3 corresponding to anomalous vector interactions, the production and decay operators are
both CVLR. The following decays then produce sterile neutrinos D± →e± + N,
D± →π0 + e± + N,
D± →ρ0 + e± + N,
(7.3)
D0 →π± + e∓+ N,
D0 →ρ± + e∓+ N,
Ds →K(∗)0 + e± + N . (7.4) (7.3) (7.4) We are sensitive to sterile neutrino masses mN < mD −me. For the decay operator we
choose (CD)11 resulting in the decays N →e± + π∓,
and
N →e± + ρ∓. (7.5) (7.5) The essential features of this benchmark are summarized in table 3. In addition, we include
production and decay modes via minimal mixing which extends both the upper and lower
reach in mN. Figure 7 presents the sensitivity reach of all considered experiments for the flavor
benchmark 1. The left panels correspond to theory scenario 2 (leptoquark) and the right
panels to scenario 3 (anomalous vector interactions). In the upper row we plot the value
of the decay operator CD vs. the production operator CP for a fixed sterile neutrino mass
mN = 1 GeV. In the bottom row we have fixed CD = CP and show the dependence of the
sensitivity of the experiments on CD = CP and the sterile neutrino mass. Both the top and
bottom panels show that the sensitivity reach in scenarios 2 and 3 are rather similar, indi-
cating that the specific Lorentz structure of the EFT interactions does not greatly affect the
overall sensitivity. In the upper-left and lower-right part of the top plots the curves become
horizontal and vertical, respectively. In this part of the parameter space either the pro-
duction (horizontal, upper left) or decay (vertical, lower right) of sterile neutrinos through – 25 – Flavor benchmark 1.2
Flavor benchmark 1.3
production operator: CP
C21
SRR = 4C21
TRR
C21
VLR
decay operator: CD
C11
SRR = 4C11
TRR
C11
VLR
production process via CP
D±/D0/Ds →N + e±(+X)
decay process via CD
N →π± + e∓, ρ± + e∓
Table 3. 7.2
Flavor benchmark 1 This is caused by the rather weak detector acceptance
of these experiments for the light sterile neutrinos produced from D-mesons decays. In the lower set of plots, we assume equal CP = CD, and vary the sterile neutrino mass
mN and jointly the Wilson coefficients. The plots for scenarios 2 and 3 look rather similar – 26 – although in scenario 2, the sensitivity to smaller sterile neutrino masses is a bit better. The
most sensitive experiment would clearly be SHiP, which reaches roughly CP = CD ∼2·10−5
in the range 0.5 GeV < mN < 1.8 GeV. For couplings at this level, both the production and
decay of sterile neutrinos are still dominated by the EFT operators and minimal mixing
plays a sub-leading role. The sensitivity then depends a lot on the experimental setup
under consideration. FASER reaches couplings at the 10−3 level (corresponding to scales
of roughly 8 TeV in Λ). Next in sensitivity is MAPP1 at 3 · 10−4, and then FASER2, MAPP2,
CODEX-b, and ATLAS at roughly the 10−4 level. MATHUSLA, ANUBIS, and AL3X, should be
sensitive to couplings down to around 5 · 10−5, and finally SHiP at the aforementioned
CP,D ≤2 · 10−5 level. The hierarchy in sensitivity reach shown by the various experiments
is essentially the same in scenarios 2 and 3, and is very similar to the hierarchy in the
minimal scenario (see figure 6) for masses mN < mD. JHEP03(2021)148 Again, the sensitivity reach in mN goes beyond the kinematical thresholds set by the
pion and D-meson masses. For mN < mπ, sterile neutrinos can still decay leptonically
via the weak interaction. Thus larger CP values can still lead to detectable rates of sterile
neutrino production. We stress again that for mN < mπ, we underestimate the production
of sterile neutrinos by omitting production via pions and kaons. For mN > mD, sterile
neutrinos for this benchmark can still be produced from the B-meson decays via the weak
current. If CP and CD are large enough, sufficiently many sterile neutrinos are produced. Furthermore, specifically for AL3X, and SHiP, and to a lesser extent MATHUSLA, the boosted
decay lengths of these sterile neutrinos can fall into the respective geometric sensitivity
ranges. This corresponds to the extended sensitive parameter regions, as shown on the
right-hand side of the two lower plots of figure 7. 7.3
Flavor benchmark 2 In flavor benchmark 2 we choose a different flavor-structure for the decay Wilson coefficient. For the production operator we take again (CP)21 but for the decay now set (CD)12. This
leads to sterile neutrino decay processes N →e± + K∓,
and
N →e± + K∗∓. (7.6) (7.6) Table 4 summarizes the details of this scenario. Table 4 summarizes the details of this scenario. Table 4 summarizes the details of this scenario. The sensitivity limits for this scenario are shown in figure 8 with the same format as
in figure 7. On the left we consider CP = C21
SRR = 4C21
TRR, and on the right CP = C21
VLR. Similarly for the decay we have on the left CD = C12
SRR = 4C12
TRR and on the right CD =
C12
VLR. In the upper row, we show plots in the plane CD vs. CP with mN at 1.2 GeV. Similar features as in the previous scenario are observed and there seems hence to be little
sensitivity in the event rates to the specific final-state meson. The hierarchy in sensitivity of the different experiments is also very similar. In the
lower panels we see some differences compared to flavor benchmark 1. The sensitivity to
lighter mN is reduced due to the need to produce a heavier kaon in the final state. For
mN < mK the EFT operators no longer contribute to the decay rate and the SM weak
interaction becomes the only mechanism for sterile neutrinos to decay and be detected. This – 27 – Flavor benchmark 2.2
Flavor benchmark 2.3
production operator: CP
C21
SRR = 4C21
TRR
C21
VLR
decay operator: CD
C12
SRR = 4C12
TRR
C12
VLR
production process via CP
D±/D0/Ds →N + e±(+X)
decay process via CD
N →K± + e∓, K∗± + e∓
Table 4. Summary of flavor benchmark 2. Table 4 summarizes the details of this scenario. mN = 1.2 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CSRR
21 =4· CTRR
21
CSRR
12 =4· CTRR
12
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1
mN = 1.2 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CVLR
21
CVLR
12
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1
0.0
0.5
1.0
1.5
2.0
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CSRR
21 =4· CTRR
21 =CSRR
12 =4· CTRR
12
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1
0.0
0.5
1.0
1.5
2.0
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CVLR
21 =CVLR
12
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1
Figure 8. Results for flavor benchmark 2. The format is the same as in figure 7. Flavor benchmark 2.2
Flavor benchmark 2.3
production operator: CP
C21
SRR = 4C21
TRR
C21
VLR
decay operator: CD
C12
SRR = 4C12
TRR
C12
VLR
production process via CP
D±/D0/Ds →N + e±(+X)
decay process via CD
N →K± + e∓, K∗± + e∓
Table 4. Summary of flavor benchmark 2. Table 4. Summary of flavor benchmark 2. Table 4. Summary of flavor benchmark 2. Table 4. Summary of flavor benchmark 2. Table 4 summarizes the details of this scenario. mN = 1.2 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
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CVLR
21
CVLR
12
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1 mN = 1.2 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CSRR
21 =4· CTRR
21
CSRR
12 =4· CTRR
12
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1 JHEP03(2021)148 0.0
0.5
1.0
1.5
2.0
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CVLR
21 =CVLR
12
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1 0.0
0.5
1.0
1.5
2.0
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CSRR
21 =4· CTRR
21 =CSRR
12 =4· CTRR
12
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1 Figure 8. Results for flavor benchmark 2. The format is the same as in figure 7. leads to a further reduction in sensitivity. We stress again that our results in this regime
are conservative as we have not considered sterile neutrino production via kaon decays. 7.4
Flavor benchmark 3 We proceed to study a scenario where sterile neutrinos are mainly produced through decays
of B-mesons. Compared to flavor benchmark 1, we keep the same flavor structure for the
decay Wilson coefficient, but turn on C13
P . This leads to the sterile neutrino production
via the decay processes B± →e± + N,
B± →π0 + e± + N,
B± →ρ0 + e± + N,
(7.7)
B0 →π± + e∓+ N,
B0 →ρ± + e∓+ N,
Bs →K(∗)± + e∓+ N. (7.8) B± →e± + N,
B± →π0 + e± + N,
B± →ρ0 + e± + N,
(7.7)
B0 →π± + e∓+ N,
B0 →ρ± + e∓+ N,
Bs →K(∗)± + e∓+ N. (7.8) (7.7) (7.8) The relevant information is summarized in table 5. The relevant information is summarized in table 5. Our results for the sensitivity reach for this benchmark are shown in figure 9. The two
top panels show results for the leptoquark (left) and CVLR (right) scenarios in the CP-CD – 28 – Flavor benchmark 3.2
Flavor benchmark 3.3
production operator: CP
C13
SRR = 4C13
TRR
C13
VLR
decay operator: CD
C11
SRR = 4C11
TRR
C11
VLR
production process via CP
B±/B0/Bs →N + e±(+X)
decay process via CD
N →π± + e∓, ρ± + e∓
Table 5. Summary of flavor benchmark 3. 7.4
Flavor benchmark 3 mN = 2.6 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CSRR
13 =4· CTRR
13
CSRR
11 =4· CTRR
11
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1
mN = 2.6 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CVLR
13
CVLR
11
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CSRR
13 =4· CTRR
13 =CSRR
11 =4· CTRR
11
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
10-8
10-7
10-6
10-5
10-4
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10-2
10-1
mN [GeV]
CVLR
13 =CVLR
11
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1
Figure 9. Results for flavor benchmark 3. The scenarios and the labeling are as in figure 7. Flavor benchmark 3.2
Flavor benchmark 3.3
production operator: CP
C13
SRR = 4C13
TRR
C13
VLR
decay operator: CD
C11
SRR = 4C11
TRR
C11
VLR
production process via CP
B±/B0/Bs →N + e±(+X)
decay process via CD
N →π± + e∓, ρ± + e∓
Table 5. Summary of flavor benchmark 3. Flavor benchmark 3.2
Flavor benchmark 3.3
production operator: CP
C13
SRR = 4C13
TRR
C13
VLR
decay operator: CD
C11
SRR = 4C11
TRR
C11
VLR
production process via CP
B±/B0/Bs →N + e±(+X)
decay process via CD
N →π± + e∓, ρ± + e∓
Table 5. Summary of flavor benchmark 3. Table 5. Summary of flavor benchmark 3. Table 5. Summary of flavor benchmark 3. 7.4
Flavor benchmark 3 mN = 2.6 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CVLR
13
CVLR
11
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1 mN = 2.6 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CSRR
13 =4· CTRR
13
CSRR
11 =4· CTRR
11
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1 JHEP03(2021)148 0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CVLR
13 =CVLR
11
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1 0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CSRR
13 =4· CTRR
13 =CSRR
11 =4· CTRR
11
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1 Figure 9. Results for flavor benchmark 3. The scenarios and the labeling are as in figure 7. plane for fixed mN = 2.6 GeV. The resulting curves are rather different from the scenarios,
where sterile neutrinos are produced via D-meson decays. In the earlier flavor benchmarks,
CP can be turned offand sufficient sterile neutrinos will be produced via minimal mixing
to still detect sterile neutrinos, as long as CD is sufficiently large to ensure sterile neutrinos
decay in the respective detector volumes. This feature has disappeared in this benchmark
scenario and for CP < 10−7 no detection is possible in any of the experiments, even for large
CD. This lack of sensitivity is explained by the fact that the production rates of B-mesons
are smaller than that of D-meson by roughly a factor ∼20 at 14 TeV pp collisions and by
a factor ∼3000 at SHiP. The two lower panels in figure 9 assume CP = CD and show sensitivity curves as a
function of the sterile neutrino mass. 7.4
Flavor benchmark 3 Flavor benchmark 4.2
Flavor benchmark 4.3
production operator: CP
C13
SRR = 4C13
TRR
C13
VLR
decay operator: CD
C12
SRR = 4C12
TRR
C12
VLR
production process via CP
B±/B0/Bs →N + e±(+X)
decay process via CD
N →K(∗)± + e∓
Table 6. Summary of flavor benchmark 4. Table 6. Summary of flavor benchmark 4. Table 6. Summary of flavor benchmark 4. mN = 2.8 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CVLR
13
CVLR
12
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1 mN = 2.8 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CSRR
13 =4· CTRR
13
CSRR
12 =4· CTRR
12
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1 JHEP03(2021)148 0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
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10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CVLR
13 =CVLR
12
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1 0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CSRR
13 =4· CTRR
13 =CSRR
12 =4· CTRR
12
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1 Figure 10. Results for flavor benchmark 4. The plot format is the same as in figure 7. given their larger masses, the B-mesons, are less boosted in the very forward direction,
leading to weakened acceptance of the SHiP detector for the long-lived sterile neutrinos. The hierarchies in sensitivity of the other experiments are the same as in the minimal
scenario and the other flavor benchmarks. However, the overall reach is increased over the
previous flavor benchmarks with the MATHUSLA sensitivity to couplings at the impressive
5 · 10−6 level, corresponding to scales of O(100) TeV. 7.4
Flavor benchmark 3 In the previous flavor benchmarks SHiP showed the
strongest sensitivity, but here it performs worse than MATHUSLA, ANUBIS, and AL3X. The
reason is twofold. First, the ratio between the number of B-mesons produced and that of
D-mesons is much smaller at SHiP than at the 14 TeV pp−collision experiments. Second, – 29 – Flavor benchmark 4.2
Flavor benchmark 4.3
production operator: CP
C13
SRR = 4C13
TRR
C13
VLR
decay operator: CD
C12
SRR = 4C12
TRR
C12
VLR
production process via CP
B±/B0/Bs →N + e±(+X)
decay process via CD
N →K(∗)± + e∓
Table 6. Summary of flavor benchmark 4. mN = 2.8 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CSRR
13 =4· CTRR
13
CSRR
12 =4· CTRR
12
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1
mN = 2.8 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CVLR
13
CVLR
12
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
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10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CSRR
13 =4· CTRR
13 =CSRR
12 =4· CTRR
12
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CVLR
13 =CVLR
12
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1
Figure 10. Results for flavor benchmark 4. The plot format is the same as in figure 7. Flavor benchmark 4.2
Flavor benchmark 4.3
production operator: CP
C13
SRR = 4C13
TRR
C13
VLR
decay operator: CD
C12
SRR = 4C12
TRR
C12
VLR
production process via CP
B±/B0/Bs →N + e±(+X)
decay process via CD
N →K(∗)± + e∓
Table 6. Summary of flavor benchmark 4. 7.5
Flavor benchmark 4 Flavor benchmark 5.2
Flavor benchmark 5.3
production operator: CP
C13
SRR = 4C13
TRR
C13
VLR
decay operator: CD
C21
SRR = 4C21
TRR
C21
VLR
production process via CP
B±/B0/Bs →N + e±(+X)
production process via CD
D±/D0/Ds →N + e±(+X)
decay process via CD
N →D(∗)± + e∓
Table 7. Summary of flavor benchmark 5. Flavor benchmark 5.2
Flavor benchmark 5.3
production operator: CP
C13
SRR = 4C13
TRR
C13
VLR
decay operator: CD
C21
SRR = 4C21
TRR
C21
VLR
production process via CP
B±/B0/Bs →N + e±(+X)
production process via CD
D±/D0/Ds →N + e±(+X)
decay process via CD
N →D(∗)± + e∓
Table 7. Summary of flavor benchmark 5. Table 7. Summary of flavor benchmark 5. Table 7. Summary of flavor benchmark 5. Table 7. Summary of flavor benchmark 5. JHEP03(2021)148 mN = 3.5 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CVLR
13
CVLR
21
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1 mN = 3.5 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CSRR
13 =4· CTRR
13
CSRR
21 =4· CTRR
21
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1 0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CVLR
13 =CVLR
21
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1 0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CSRR
13 =4· CTRR
13 =CSRR
21 =4· CTRR
21
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1 Figure 11. Results for flavor benchmark 5. The format is the same as in figure 7. the reach of CP because of the choice for a slightly larger mass of the sterile neutrino. 7.5
Flavor benchmark 4 The
two lower plots show sensitivity curves in the plane CP = CD vs. mN. Compared to the
lower panels of figure 9, they show similar exclusion limits for mN ≳mK. However, for
lighter sterile neutrinos, since only the decay modes via the weak current and active-sterile
neutrino mixing are open, the sensitivity is significantly reduced. The hierarchies of the
various experiments is the same as in the previous benchmark for both EFT scenarios. 7.5
Flavor benchmark 4 For flavor benchmark 4 the production primarily proceeds via B-meson decay, as for the
previous benchmark, but here sterile neutrinos decay to a kaon through C12
D . The relevant
information is summarized in table 6. Figure 10 shows the numerical results for this benchmark. In the two top panels we
show plots in the CP-CD plane for fixed mN = 2.8 GeV. In general these plots show very
similar features as their counterparts in figure 9, except for an overall small reduction in – 30 – Flavor benchmark 5.2
Flavor benchmark 5.3
production operator: CP
C13
SRR = 4C13
TRR
C13
VLR
decay operator: CD
C21
SRR = 4C21
TRR
C21
VLR
production process via CP
B±/B0/Bs →N + e±(+X)
production process via CD
D±/D0/Ds →N + e±(+X)
decay process via CD
N →D(∗)± + e∓
Table 7. Summary of flavor benchmark 5. mN = 3.5 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CSRR
13 =4· CTRR
13
CSRR
21 =4· CTRR
21
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1
mN = 3.5 GeV
10-7
10-6
10-5
10-4
10-3
10-2
10-1
10-7
10-6
10-5
10-4
10-3
10-2
10-1
CVLR
13
CVLR
21
SHIP:2×1020 POT
ATLAS: 3 ab-1
AL3X: 250 fb-1
ANUBIS: 3 ab-1
CODEX -b: 300 fb-1
FASER: 150 fb-1
FASER2: 3 ab-1
MAPP1: 30 fb-1
MAPP2: 300 fb-1
MATHUSLA: 3 ab-1
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CSRR
13 =4· CTRR
13 =CSRR
21 =4· CTRR
21
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
5.5
10-8
10-7
10-6
10-5
10-4
10-3
10-2
10-1
mN [GeV]
CVLR
13 =CVLR
21
SHIP:2×1020 POT
FASER: 150 fb-1
ATLAS: 3 ab-1
FASER2: 3 ab-1
AL3X: 250 fb-1
MAPP1: 30 fb-1
ANUBIS: 3 ab-1
MAPP2: 300 fb-1
CODEX -b: 300 fb-1
MATHUSLA: 3 ab-1
Figure 11. Results for flavor benchmark 5. The format is the same as in figure 7. 8
Discussion and comparison with other probes JHEP03(2021)148 Our results indicate that proposed experiments to detect long-lived particles are very sen-
sitive to higher-dimensional operators in the νSMEFT Lagrangian. In the mass range
mK < mN < mB the sensitivity curves are rather stable with respect to different EFT
operators in eq. (2.18) and the particular flavor configuration, as long as the sterile neu-
trino can be produced via the decay of D- or B-mesons, and the sterile neutrino can, in
turn, decay semi-leptonically. While each particular choice of EFT operators and flavor
assignment requires a detailed study, we find that FASER is sensitive to Wilson coefficient
couplings of about ∼10−3 (this is extended to ∼10−4 for FASER2), while experiments such
as MATHUSLA, ANUBIS, AL3X, and SHiP can reach down to coupling strengths of ∼5 · 10−6. From the matching relations in eq. (2.11), we see that such limits can be used to constrain
the νSMEFT operators C(6)
Hνe, C(6)
duνe, C(6)
LνQd, C(6)
LdQν, and C(6)
QuνL. Assuming a scaling of
these Wilson coefficients as ∼v2/Λ2, the sensitivities range from Λ ∼8 TeV for FASER up
to Λ ∼100 TeV for the larger experiments. The νSMEFT operators we consider here can also be probed in other experiments. These include meson and tau decays, elastic coherent neutrino-nucleon scattering (ECνNS),
missing transverse energy searches, etc. Depending on the probe, the relevant sterile neu-
trino mass range and the flavor assignment can differ from the cases considered in this
work. For instance, limits from pion decay or from neutron or nuclear beta decay require
sterile neutrino masses below the pion mass or the respective Q value of β decay, consid-
erably lower than the GeV-scale sterile neutrinos considered in this work. Here we briefly
give an overview of the literature. Refs. [104, 105] investigated limits from pion decays, tau decays, and singular leptons
with missing transverse energy. The most restrictive bounds on the new physics scale are
obtained from pion decays with Λ ≳36 TeV. However, tau decays allow for a neutrino
mass range mN more comparable to our studies, while searches for l + E T are largely
independent of sterile neutrino masses. The latter investigations set the new physics scale
to Λ ≳2 −5 TeV. We did not explicitly consider processes involving τ leptons, but there
should be good sensitivity in the appropriate mass range mτ +mπ < mN < mB −mτ. 7.6
Flavor benchmark 5 In flavor benchmark 5, we turn on the operators C13
P and C21
D . In this case, the decay
operator also leads to production of sterile neutrinos, but the resulting sterile neutrinos are
restricted to a mass range where they can only decay via minimal mixing. We summarize
the benchmark features in table 7. Figure 11 shows the resulting sensitivity reach. In – 31 – the upper row we fix the sterile neutrino mass at 3.5 GeV. In general the absolute and
relative sensitivities to CP and CD are comparable to the previous flavor benchmark, but
the sensitivity in the bottom panel drops a bit for mN < mD. In this case sterile neutrinos
only decay via minimal mixing. The exception is SHiP for which the sensitivity grows
for mN < mD, where SHiP becomes the most sensitive experiment in fact, because the
production cross section difference between D- and B-mesons is much larger at SHiP than
at the other experiments. 8
Discussion and comparison with other probes More
quantitative statements require a detailed study that includes sterile neutrino production
via τ decays and an efficiency factor for reconstructing decays of τ mesons in the final states. Refs. [106, 107] consider a larger set of pseudoscalar meson decays corresponding to
several flavor configurations. Additionally, the effects of νSMEFT operators on lepton fla-
vor universality (LFU), CKM unitarity, and β-decays are examined. The most stringent – 32 – bounds are on the operators C(6)
LνQd, C(6)
LdQν, and C(6)
QuνL involving an up quark, a down
(strange) quark and an electron using LFU constraints. The new physics scale is limited
by Λ ≳74 (110) TeV in the limit of massless sterile neutrinos and thus cannot be directly
compared to results obtained here. Bounds on other operators and different flavor com-
binations are in the range of Λ ≳0.5 −8 TeV. Similar sensitivities are found examining
anomalies in the transition b →cτν including light sterile neutrinos (mN ≲100 MeV) [108]. Further, limits from ECνNS based on the COHERENT experiment [109] are considered in
refs. [106, 110, 111]. Sterile neutrinos considered in these works are again much lighter than
the GeV-scale (mN ≲0.5 MeV) and the resulting bounds are at the level of Λ ≳1 TeV. We conclude that the sensitivities of the experiments considered here are competitive with
and complementary to existing constraints. Constraints on dimension-five couplings are
discussed e.g. in refs. [56, 112]. JHEP03(2021)148 In this work we have focused on Majorana neutrinos (although our sensitivity curves
are not affected dramatically if we had considered Dirac neutrinos instead) for which strong
constraints can be set from 0νββ experiments. In ref. [51] some of us developed a framework
to calculate 0νββ decay rates in the presence of light sterile neutrinos and the νSMEFT
Lagrangian. In particular, we investigated the reach of current and future experiments
to probe scenario 2: the 3 + 1 leptoquark model. As sterile neutrinos appear as virtual
states, 0νββ experiments are sensitive to a broad range of neutrino masses with a peak
sensitivity at mN ≃100 MeV, which drops offfor larger or smaller masses. To make a
comparison, we consider the case yLR
11 yRL∗
11
= yLR
21 yRL∗
11
= 1 and yLR
11 yRL∗
11
= yLR
11 yRL∗
31
= 1
and vanishing couplings for other flavors. 8
Discussion and comparison with other probes We can then compare flavor benchmarks 1 and
3 to the sensitivity of 0νββ experiments, which only depend on sterile neutrino couplings
to first-generation quarks and leptons. For these choices of couplings, we can calculate 0νββ decay rates and determine the
LHC and SHiP sensitivity curves as a function of mN and mLQ (0νββ rates have a very
small dependence on phases appearing in the 3 + 1 neutrino mixing matrix and we neglect
this dependence here for simplicity). The results are shown in figure 12. We stress that the
uncertainties associated with hadronic and nuclear matrix elements for 0νββ decay rates
are sizable and not included in the plot, for details we refer to refs. [51, 113]. For flavor
benchmark 1 (left panel of figure 12), the limits from 0νββ are somewhat stronger than
the prospected sensitivity of FASER2 and MATHUSLA, chosen as representative experiments,
in the relevant mass range. For flavor benchmark 3 the prospected MATHUSLA overtakes
current 0νββ limits for masses between 1 and 5 GeV. We stress that the bounds from 0νββ decay experiments are only valid for Majorana
neutrinos and final-state electrons. However, the sensitivity curves for the various LHC
experiments discussed here are (roughly) valid for (pseudo-)Dirac neutrinos, and in the
appropriate mass range also for couplings to muons and, to lesser extent, taus instead of
electrons, and in general to a broader range of quark flavors. They are thus more general
than 0νββ limits albeit in a much small sterile neutrino mass range. – 33 – 0.5
1.0
1.5
2.0
10
20
30
40
50
60
mN [GeV]
mLQ [TeV]
1
2
3
4
5
20
40
60
80
100
mN [GeV]
mLQ [TeV]
Figure 12. Comparison between constraints from neutrinoless double beta decay of
136Xe
(blue) [114] and projected sensitivity of FASER2 (red) and MATHUSLA (yellow) for the leptoquark
scenario. In the left (right) panel we turned on LQ couplings corresponding to flavor benchmark 1
(3). See text for more details. 1
2
3
4
5
20
40
60
80
100
mN [GeV]
mLQ [TeV] 0.5
1.0
1.5
2.0
10
20
30
40
50
60
mN [GeV]
mLQ [TeV] mLQ [TeV] JHEP03(2021)148 Figure 12. Comparison between constraints from neutrinoless double beta decay of
136Xe
(blue) [114] and projected sensitivity of FASER2 (red) and MATHUSLA (yellow) for the leptoquark
scenario. 8
Discussion and comparison with other probes In the left (right) panel we turned on LQ couplings corresponding to flavor benchmark 1
(3). See text for more details. 9
Conclusions The possibility of sterile neutrinos provides one of the main motivations for the search
for long-lived particles (LLPs). Sterile neutrinos provide compelling solutions to major
problems in particle physics and cosmology, such as active neutrino masses and the baryon
asymmetry of the Universe. Sterile neutrinos are in fact predicted in a variety of theoretical
models, ranging from the minimal scenario where they interact with Standard Model (SM)
particles through minimal mixing with active neutrinos, to more exotic scenarios involving
new fields with masses well above the electroweak scale such as left-right symmetric models
or grand unified theories. In this work, we focused on relatively light sterile neutrinos with masses at the GeV
scale, down to about 100 MeV. This mass range is interesting, as it is linked to low-scale
leptogenesis and opens up the possibility of efficiently producing sterile neutrinos through
the decays of pseudoscalar mesons, which are copiously produced in collider experiments. In particular at CERN, besides the ATLAS and CMS LHC collaborations, various proposed
experiments are presently under discussion specifically targeting the detection of LLPs,
such as the fixed-target experiment SHiP and a number of so-called far detectors at various
pp-collision interaction points e.g. FASER and MATHUSLA. A large number of mesons are
expected to be produced at the interaction points of these experiments, which in turn can
decay to sterile neutrinos. We focused on sterile neutrinos which can be produced from
bottom and charm meson decays in hadronic collisions, and investigated the sensitivity
reach of present and future LHC experiments, and SHiP to detect sterile neutrinos. To avoid theoretical bias we approached this problem in the framework of the neutrino-
extended SM effective field theory (νSMEFT). This framework allows for a light gauge-
singlet fermion, a sterile neutrino or heavy neutral lepton, and assumes other BSM fields
to have masses M ≫v, the SM Higgs vacuum expectation value. This framework de-
scribes effective local interactions between sterile neutrinos and SM fields in a systematic
expansion. We considered dimension-6 operators that allow for sterile neutrino produc- – 34 – tion via mesonic decays at tree level. Our framework is general, but for concreteness we
considered specific scenarios where a subset, or only a single, EFT operator is turned on
at the same time. These scenarios are motivated by UV completions like leptoquark or
left-right-symmetric models. 9
Conclusions Other EFT scenarios or specific UV-complete models can be
straightforwardly investigated by using the extensive formulae given in the appendix. To
benchmark our calculations with the literature, we also considered the minimal scenarios
where higher-dimensional operators are turned off. We performed Monte-Carlo simulations to evaluate the sensitivity reach of the con-
sidered experiments: ATLAS, CODEX-b, FASER, MATHUSLA, AL3X, ANUBIS, MoEDAL-MAPP, and
SHiP. For the minimal scenario, the obtained sensitivity curves are in agreement with ex-
isting results with minimal discrepancies, while we obtained sensitivity curves for the two
MoEDAL-MAPP experiments for the first time. For the EFT scenarios we consider active-
sterile neutrino mixing, the EFT operators, and their interference terms simultaneously. For each EFT scenario, we considered a series of different flavor benchmarks, where the
EFT operators induce either D- or B-meson decays into sterile neutrinos, and the sterile
neutrinos decay to an electron and various mesons, N →e+Mij, cf. tables 3–7. For the D-
meson benchmarks, we found that SHiP and MATHUSLA have the most extensive sensitivity
reach. They are sensitive to dimensionless Wilson coefficients at the 10−5 level, for most
of the kinematically allowed sterile neutrino mass range. For such values of couplings, the
production and decay of sterile neutrinos is dominated by the higher-dimensional opera-
tors with minimal sterile-active mixing playing a subleading role. Apart from dimensionless
couplings and potential loop suppressions, the dimensionless Wilson coefficients scale as
v2/Λ2, where Λ is the high-energy scale where the νSMEFT operators are generated. The
sensitivity drops at the edges of the allowed mass range, but does not disappear completely,
even for sterile neutrinos with masses above mD, because of the contributions from SM
weak interactions and active-sterile mixing. Assuming a v2/Λ2 scaling, SHiP and MATHUSLA
could probe scales around 80 TeV. This scale is lowered to 8 TeV for FASER and 25 TeV for
FASER2, which are much smaller experiments. JHEP03(2021)148 For our B-meson benchmarks, because of its much smaller B-meson production rates
and a weaker acceptance, SHiP does not show the best performance. Instead, we found that
MATHUSLA and ANUBIS would be sensitive to Wilson coefficients at the 5 · 10−6 level. The
sensitivity curves appear to be fairly independent of the Lorentz structure and the exact
flavor configuration of the EFT operators, as long as sterile neutrinos can be produced
through D- or B-meson decays and sterile neutrinos can decay semi-leptonically. Acknowledgments We thank Philip Bechtle, Haolin Li, and Vasiliki Mitsou for discussions. JdV is supported
by the RHIC Physics Fellow Program of the RIKEN BNL Research Center. Z. S. W. is
supported partly by the Ministry of Science and Technology (MoST) of Taiwan with grant
number MoST-109-2811-M-007-509, and partly by the Ministry of Science, ICT & Future
Planning of Korea, the Pohang City Government, and the Gyeongsangbuk-do Provincial
Government through the Young Scientist Training Asia Pacific Economic Cooperation pro-
gram of the Asia Pacific Center for Theoretical Physics. The work of H. K. D. is supported
through BMBF grant 05H18PDCA1. 9
Conclusions For our ATLAS study we applied an overall flat efficiency factor of 10−3. Of all the
experiments we have studied here only ATLAS is operational. Thus we strongly encourage
our colleagues at ATLAS and CMS collaborations to perform a proper full analysis of the
scenarios we have presented and investigated here. This should put our approximations on
a much firmer footing. We compared our projected sensitivities with (projected) constraints obtained from
other probes of sterile neutrinos with effective interactions such as light pseudoscalar me-
son decays, tau decays, coherent neutrino-nucleus scattering, LHC searches for missing
transverse energy, and neutrinoless double beta decay. Our results are very competitive – 35 – and complementary. We conclude that searches for displaced vertices of long-lived sterile
neutrinos at the LHC and SHiP are an excellent probe of νSMEFT operators and of sterile
neutrinos in general. A straightforward extension of our work is to final state muons instead of electrons. Here we expect basically the same results, except at the very lowest end of the sterile
neutrino mass we have considered. A more involved extension would be to also consider the
production of sterile neutrinos from the decay of the light K and π mesons. Furthermore
in a future project, we shall consider the case of final state τ’s. This will restrict the
kinematically viable regions, but would also require a proper investigation of the detection
efficiencies. Finally, in this work we have neglected direct sterile neutrino production
through parton collisions which are subleading with respect to rare mesonic decays for
sterile neutrinos masses below, roughly, 5 GeV. It would be interesting to include partonic
processes to investigate the sensitivity of various experiments to heavier sterile neutrinos. JHEP03(2021)148 A.1
Charged currents Sterile neutrinos can decay into a charged meson and a charged lepton by the weak in-
teraction or EFT operators. Pseudoscalar mesons can decay into a two-body final state
for pseudoscalar and axial-vector currents, while vector mesons can decay into a two-body
final state via vector or tensor currents. For pseudoscalar mesons containing an anti-quark
¯qi and a quark qj, we define meson decay constants via ⟨0|¯qiγµγ5qj|M(q)⟩≡iqµfM ,
(A.1) (A.1) where |M(q)⟩is a pseudoscalar meson with momentum q. Current-algebra or leading-order
chiral perturbation theory gives ⟨0|¯qiγ5qj|M(q)⟩= i
m2
M
mqi + mqj
fM ≡ifS
M
(A.2) (A.2) for the pseudoscalar current. The vector and tensor currents only induce two-body final
states for vector mesons. We define ⟨0|¯qiγµqj|M∗(q, ϵ)⟩≡ifV
MmM∗ϵµ ,
⟨0|¯qiσµνqj|M∗(q, ϵ)⟩≡−fT
M(qµϵν −qνϵµ) ,
(A.3) (A.3) – 36 – where |M∗(q, ϵ)⟩denotes a vector meson M∗with mass mM∗, momentum q and polarization
ϵµ. Heavy-quark symmetry relates fT
M ≃fV
M. All decay constants are given below in
appendix C. Armed with these decay constants, we calculate the production and decay rates of
neutrino mass eigenstates starting from eq. (2.18). We begin with neutrino production
via the decay of pseudoscalar mesons M−
ij →l−
k + νl, and the corresponding decay νl →
M+
ij + l−
k where ij denotes the generation of quark flavors that make up the meson (we
drop these indices below for notational convenience), k the charged lepton generation, and
l = {1, . . . , ¯n} the neutrino mass eigenstate. For the decay of the neutrino mass eigenstate
we also include the decay to the charge-conjugate final state which is equally likely due to
the Majorana nature of νl. A.1
Charged currents JHEP03(2021)148 We obtain for the summed-over-spins squared amplitudes for sterile neutrino (N) pro-
duction X
spins
|M(M−→N + l−
k )|2 = G2
F
2
f2
M
C(6)
VLL
2
+
C(6)
VLR −C(6)
VRR
2
fV V,1
+f2
MRe
h
C(6)
VLL(C(6)
VLR −C(6)
VRR)∗i
fV V,2
+(fS
M)2 C(6)
SLR −C(6)
SRR
2
fSS
+fMfS
MijRe
h
C(6)
VLL(C(6)
SLR −C(6)
SRR)∗i
fV S,1
(A.4)
+fMfS
MijRe
h
(C(6)
VLR −C(6)
VRR)(C(6)
SLR −C(6)
SRR)∗i
fV S,2
, X
spins
|M(M−→N + l−
k )|2 = G2
F
2
f2
M
C(6)
VLL
2
+
C(6)
VLR −C(6)
VRR
2
fV V,1 spins where all Wilson coefficients carry flavor indices ijkl and we define the functions where all Wilson coefficients carry flavor indices ijkl and we define the functions fV V,1 ≡m2
M(m2
k + m2
N) −(m2
k −m2
N)2 ,
fV V,2 ≡−4m2
MmkmN ,
fSS ≡m2
M −m2
k −m2
N ,
fV S,1 ≡−2mN(m2
M + m2
k −m2
N) ,
fV S,2 ≡2mk(m2
M −m2
k + m2
N). (A.5) fV S,1 ≡−2mN(m2
M + m2
k −m2
N) ,
fV S,2 ≡2mk(m2
M −m2
k + m2
N). (A.5) (A.5) For sterile neutrino decay, we include the charge-conjugated final states leading to an
additional factor 2 compensating the additional 1/2 from initial-spin averaging. We then
obtain 2 × 1
2
X
spins
|M(N →M + lk)|2 =
X
spins
|M(M →N + lk)|2
fab,i→gab,i
,
(A.6) (A.6) where ab = {V V, SS, V S}, i = {1, 2}, and gab,i = −fab,i. where ab = {V V, SS, V S}, i = {1, 2}, and gab,i = −fab,i. – 37 – Similarly, for processes involving vector mesons we find Similarly, for processes involving vector mesons we find 1
3
X
spins
|M(M∗−→N + l−
k )|2 = G2
F
6
(fV
M∗)2
C(6)
VLL
2
+
C(6)
VLR + C(6)
VRR
2
f∗
V V,1
+(fV
M∗)2Re
h
C(6)
VLL(C(6)
VLR + C(6)
VRR)∗i
f∗
V V,2
+(fT
M∗)2 C(6)
TRR
2
f∗
TT
+fV
M∗fT
M∗Re
h
C(6)
VLLC(6) ∗
TRR
i
f∗
V T,1
(A. A.1
Charged currents +fV
M∗fT
M∗Re
h
(C(6)
VLR + C(6)
VRR)C(6) ∗
TRR
i
f∗
V T,2
, (A.7) (A.7) JHEP03(2021)148 JHEP03(2021)148 where f∗
V V,1 ≡2mM∗4 −m2
M∗
ij(m2
k + m2
N) −(m2
k −m2
N)2 ,
f∗
V V,2 ≡12m2
M∗mkmN ,
f∗
TT ≡16
m4
M∗+ m2
M∗
ij(m2
k + m2
N) −2(m2
k −m2
N)2
,
f∗
V T,1 ≡−24mN(m2
M∗+ m2
k −m2
N) ,
f∗
V T,2 ≡−24mk(m2
M∗−m2
k + m2
N) . (A.8) ,
f∗
TT ≡16
m4
M∗+ m2
M∗
ij(m2
k + m2
N) −2(m2
k −m2
N)2
,
f∗
V T,1 ≡−24mN(m2
M∗+ m2
k −m2
N) ,
f∗
V T,2 ≡−24mk(m2
M∗−m2
k + m2
N) . (A.8) (A.8) For sterile neutrino decay For sterile neutrino decay For sterile neutrino decay 2 × 1
2
X
spins
|M(N →M∗+ lk)|2 =
X
spins
|M(M∗→N + lk)|2
f∗
ab,i→g∗
ab,i
,
(A.9) (A.9) where ab = {V V, TT, V T}, i = {1, 2}, and g∗
V V,i = −f∗
V V,i, g∗
TT = −f∗
TT , g∗
V T,i = f∗
V T,i. The expression for the decay rates is given by The expression for the decay rates is given by Γ =
p
λ(m2
1, m2
2, m2
3)
16πm3
1
1
n
X
spins
|M|2
(A.10) (A.10) where n is the appropriate spin-averaging factor, m1 is the mass of the decaying particle,
and m2 and m3 are the masses of the final-state particles. The phase space function is
defined as λ(m2
1, m2
2, m2
3) ≡m4
1 + m4
2 + m4
3 −2m2
1m2
2 −2m2
1m2
3 −2m2
2m2
3 . (A.11) (A.11) A.2
Sterile neutrino decays into neutral pseudoscalar mesons A.2
Sterile neutrino decays into neutral pseudoscalar mesons We follow ref. [63] and write the neutral weak axial current as JA
Z,µ = −1
√
2
jA
3,µ + 1
√
3jA
8,µ −1
√
6jA
0,µ + 1
√
2jA
ηc,µ + · · ·
,
(A.12) (A.12) – 38 – – 38 – jA
3,µ =
1
√
2(¯uγµγ5u −¯dγµγ5d) ,
jA
8,µ =
1
√
6(¯uγµγ5u + ¯dγµγ5d −2¯sγµγ5s) ,
jA
0,µ =
1
√
3(¯uγµγ5u + ¯dγµγ5d + ¯sγµγ5s)
A
(A.13) (A.13) jA
ηc,µ = ¯cγµγ5c . A.1
Charged currents We define ⟨0|jA
Z,µ|M0
a,P (q)⟩≡−ifM
√
2qµ ,
⟨0|jA
a,µ|M0
a,P (q)⟩≡ifa
Mqµ ,
(A.14) (A.14) JHEP03(2021)148 for a = {0, 3, 8, ηc} and the M subscript labels the final-state pseudoscalar meson. Clearly
we have fM = f3
M + 1
√
3f8
M −1
√
6f0
M + 1
√
2fηc
M . (A.15) (A.15) To clarify the notation: for neutral pions f0
π0 = f8
π0 = fηc
π0 = 0 and fπ0 = f3
π0 = fπ±. For η
and η′ mesons, we have f3
η(′) = fηc
η(′) = 0 (neglecting isospin breaking), but we do need to
take into account η-η′ mixing. We use the phenomenological parametrization in terms of
two mixing angles f8
η f0
η
f8
η′ f0
η′
! =
f8 cos θ8 −f0 sin θ0
f8 sin θ8
f0 cos θ0
! ,
(A.16) (A.16) where the values of θ0,8 and f0,8 are given in table 9. We then obtain fη = f8 cos θ8
√
3
+ f0 sin θ0
√
6
,
fη′ = f8 sin θ8
√
3
−f0 cos θ0
√
6
. (A.17) (A.17) The decay width of N →νe + M0
P can now be written as The decay width of N →νe + M0
P can now be written as Γ(N →νeM0
P ) = 2 × G2
F f2m3
N|Ue4|2
32π
1 −m0
P
2
m2
N
!2
,
(A.18) (A.18) where we add a 2 to account for the Majorana nature of sterile neutrinos, f is given by fη,
fη′, fηc/
√
2 or fπ±, and m0
P is the mass of M0
P . A.3
Sterile neutrino decays into neutral vector mesons We write the vector component of the neutral weak current as jV
Z,µ =
1
2 −4
3 sin2 θw
(¯uγµu + ¯cγµc) +
−1
2 + 2
3 sin2 θw
¯dγµd + ¯sγµs
,
(A.19) (A.19) where θw is the Weinberg angle. We define the currents jV
ρ0,µ =
1
√
2(¯uγµu −¯dγµd) ,
jV
ω,µ =
1
√
2(¯uγµu + ¯dγµd) ,
jV
φ,µ = ¯sγµs ,
jV
J,µ = ¯cγµc ,
(A.20) (A.20) – 39 – which correspond to the neutral vector mesons ρ0, ω, φ, and J/Ψ, respectively. We rewrite which correspond to the neutral vector mesons ρ0, ω, φ, and J/Ψ, respectively. We rewrite jV
Z,µ =
1
√
2(1−2 sin2 θw)jV
ρ0,µ−
√
2
3 sin2 θwjV
ω,µ+
−1
2 + 2
3 sin2 θw
jV
φ,µ+(1
2−4
3 sin2 θw)jV
J/Ψ,
(A.2 (A.21)
The hadronic matrix elements are defined as (
)
The hadronic matrix elements are defined as The hadronic matrix elements are defined as The hadronic matrix elements are defined as ⟨0|jV
a,µ|M0
a,V (q, ϵ)⟩= ifaϵµ ,
(A.22) (A.22) where a = ρ0, ω, φ, J/Ψ. The decay width becomes where a = ρ0, ω, φ, J/Ψ. The decay width becomes where a = ρ0, ω, φ, J/Ψ. The decay width becomes Γ(N →νeM0
a,V ) = 2 × G2
F f2
ag2
a|Ue4|2m3
N
32πma2
1 + 2ma2
m2
N
1 −ma2
m2
N
2
,
(A.23) JHEP03(2021)148 (A.23) where fa and ga are listed in table 10 and ma is the mass of M0
a,V . where fa and ga are listed in table 10 and ma is the mass of M0
a,V . B.1
Automizing three-body phase space integral calculations This work involves a large amount of three-body phase-space computations, which are
straightforward but tedious to evaluate. We briefly discuss here our approach to automize
these computations using Mathematica. In the rest-frame of the decaying pseudoscalar
meson, the decay rate is given by Γ =
1
2M
Z
d3p′
2p′0(2π)3
Z
d3pl
2p0
l (2π)3
Z
d3pN
2p0
N(2π)3
X
|M|2(2π)4δ4(p −p′ −pl −pN) , (B.1) where p, p′, pl, and pN denote the momentum of the decaying meson, outgoing meson, SM
lepton, and sterile neutrino, respectively, and M is the mass of the decaying pseudoscalar
meson. P |M|2 denotes the spin-averaged product of the leptonic and hadronic matrix
element squared. It can be decomposed into a hadronic form factor, which only depends
on q2, where q ≡p −p′, and a function of four-momentum invariant scalar products. The
form factors are defined below and the spin-averaged matrix elements are calculated with
standard techniques and checked with PackageX [115]. We convert to four-dimensional
integrals and write Γ =
1
2M
1
(2π)5
Z
d4p′
Z
d4pl
Z
d4pN δ(p′2 −m2)δ(p2
l −m2
l )δ(p2
N −m2
N)
×
X
|M|2(2π)4δ4(p −p′ −pl −pN) , (B.2) where for notational convenience we have omitted three Heaviside step functions. We
perform the pN integral by setting pN = q −pl and introduce the variable a via a factor of
1 =
R
da δ(a −q2) to obtain Γ =
1
2M
1
(2π)5
Z
da
Z
d4p′
Z
d4pl δ(a −q2)δ(p′2 −m2)δ(p2
l −m2
l )δ((q −pl)2 −m2
N) Γ =
1
2M
1
(2π)5
Z
da
Z
d4p′
Z
d4pl δ(a −q2)δ(p′2 −m2)δ(p2
l −m2
l )δ((q −pl)2 −m2
N)
×
X
|M|2
pN=q−pl
. (B.3) Γ =
1
2M
1
(2π)5
Z
da
Z
d4p′
Z
d4pl δ(a −q2)δ(p′2 −m2)δ(p2
l −m2
l )δ((q −pl)2 −m2
N)
X
|M|2
(B 3) ×
X
|M|2
pN=q−pl
. (B.3) (B.3) – 40 – – 40 – – 40 – Here m, ml, mN denote the masses of the outgoing meson, lepton, and sterile neutrino,
respectively. The hadronic form factor contained in P |M|2 only depends on a and, together
with three of the six scalar products Here m, ml, mN denote the masses of the outgoing meson, lepton, and sterile neutrino,
respectively. B.1
Automizing three-body phase space integral calculations The hadronic form factor contained in P |M|2 only depends on a and, together
with three of the six scalar products p′ · p = 1
2
M2 −a + m2
,
p′ · q = 1
2
M2 −a −m2
,
p · q = 1
2
M2 + a −m2
, (B. can be taken out of the p′ and pl integrals. The last delta function gives the additional
relations pl · q = 1
2
a + m2
l −m2
N
,
pl · p′ = pl · p −1
2
a + m2
l −m2
N
. (B.5) (B.5) JHEP03(2021)148 These relations imply that the spin-averaged matrix element squared can be written in
the form X
|M|2
pN=q−pl
=
N
X
n=0
cn(a)(pl · p)n ,
(B.6) (B.6) where cn(a) are process-dependent functions of a and particle masses, and they also contain
the hadronic form factors. For our calculations we have N ≤2. The remaining integrals
can be explicitly computed. We need IP =
Z
d4p′ δ(p′2 −m2)δ
a −(p −p′)2
= π
2
λ1/2(a, m2, M 2)
M2
,
(B.7) (B.7) and and In =
Z
d4pl δ(p2
l −m2
l )δ
(q −pl)2 −m2
N
(pl · p)n ,
(B.8) (B.8) for n = {0, 1, 2}. A straightforward calculation gives or n = {0, 1, 2}. A straightforward calculation gives I0 = π
2
λ1/2(a, m2
l , m2
N)
a
,
I1 = (pl · q)(p · q)
a
I0
I2 = −1
3a
(p · q)2
a
am2
l −4(pl · q)2
−M2
am2
l −(pl · q)2
I0 ,
(B.9) (B.9) where the scalar products appearing in I1,2 should be evaluated via eqs. (B.4) and (B.5)
and are thus functions of a only. The final decay rate requires one remaining integral over
a = q2 Γ =
1
2M
1
(2π)5
Z (M−m)2
(ml+mN)2 da IP
N
X
n=0
cn(a)In . (B.10) (B.10) We have automized the above procedure in a few lines of Mathematica code. In certain
cases when no or just simple hadronic form factors appear, the integrals can be performed
analytically. When this is possible we have checked our results with the literature. In most
cases, however, the integrals are computed numerically. We have automized the above procedure in a few lines of Mathematica code. B.1
Automizing three-body phase space integral calculations In certain
cases when no or just simple hadronic form factors appear, the integrals can be performed
analytically. When this is possible we have checked our results with the literature. In most
cases, however, the integrals are computed numerically. – 41 – B.2
Definition of three-body decay form factors B.2
Definition of three-body decay form factors A sterile neutrino N can be produced via the decay of a pseudoscalar meson, MP , with
mass M A sterile neutrino N can be produced via the decay of a pseudoscalar meson, MP , with
mass M MP →M′
P/V + e± + N ,
(B.11) (B.11) where M′
P/V is a pseudoscalar or vector meson with mass m. For a final-state pseudoscalar
meson, we require the following form factors: ⟨M′
P (p′)|¯q1γµq2|MP (p)⟩= f+(q2)
(p + p′)µ −M2 −m2
q2
qµ
+ f0(q2)M2 −m2
q2
qµ ,
⟨M′
P (p′)|¯q1q2|MP (p)⟩= fS(q2) ,
⟨M′
P (p′)|¯q1σµνq2|MP (p)⟩=
2i
M + m[pµp′ν −pνp′µ]fT (q2) ,
(B 12) JHEP03(2021)148 JHEP03(2021)148 (B.12) (
)
where qµ = pµ −p′µ. Applying the equations of motion, the scalar form factor becomes fS(q2) = f0(q2) M −m
m1 −m2
,
(B.13) (B.13) where m1 and m2 denote the mass of q1 and q2, respectively. A similar trick for the tensor
form factor gives
2 fT (q2) = (M + m)2
q2
f+(q2) −f0(q2)
,
(B.14) (B.14) which agrees fairly well with lattice computations of ref. [116] in cases where a comparison
is possible. When a vector meson is produced additional form factors are required When a vector meson is produced additional form factors are required ⟨M′
V (p′, ϵ)|¯q1γµq2|MP (p)⟩=ig(q2)ϵµναβϵ∗
νPαqβ ,
⟨M′
V (p′, ϵ)|¯q1γµγ5q2|MP (p)⟩=f(q2)ϵ∗µ + a+(q2)P µϵ∗· p + a−(q2)qµϵ∗· p,
⟨M′
V (p′, ϵ)|¯q1σµνq2|MP (p)⟩=g+(q2)ϵµναβϵ∗
αPβ + g−(q2)ϵµναβϵ∗
αqβ + g0(q2)ϵµναβpαp′
βp · ϵ∗,
⟨M′
V (p′, ϵ)|¯q1γ5q2|MP (p)⟩=fPSϵ∗· p ,
(B
) (B.15) (
)
where ϵ∗µ is the polarization vector of the vector meson, and P µ = pµ + p′µ. The pseudo-
scalar form factor is given by fPS =
1
m1 + m2
f(q2) + a+(q2)(M2 −m2) + a−(q2)q2
. (B.16) (B.16) C
Physical parameters, decay constants, and form factors We list all parameters we use in this paper in this section. The values of relevant CKM
matrix elements are extracted from ref. [117] |Vud| = 0.974,
|Vus| = 0.224,
|Vub| = 0.00394,
|Vcb| = 0.0422. (C.1) |Vcd| = 0.218,
|Vud| = 0.974,
|Vus| = 0.224,
|Vcs| = 0.997,
|Vub| = 0.00394,
|Vcb| = 0.0422. (C.1) |Vcd| = 0.218,
|Vud| = 0.974,
|Vus| = 0.224,
|Vcs| = 0.997,
|Vub| = 0.00394,
|Vcb| = 0.0422. (C.1) (C.1) – 42 – meson MP
fM [MeV]
meson MV
fV
M [MeV]
D±
212 [118]
D∗±
266 [119]
D±
s
249 [118]
D∗±
s
308 [119]
B±
187 [118]
K∗±
230 [120]
B±
c
434 [121]
ρ±
209 [122]
K±
155.6 [118]
π±
130.2 [118]
Table 8. Decay constants for charged pseudoscalar and vector mesons. Table 8. Decay constants for charged pseudoscalar and vector mesons. JHEP03(2021)148 f0
0.148 GeV [123]
f8
0.165 GeV [123]
fηc
0.335 GeV [124]
θ0
-6.9◦[123]
θ8
-21.2◦[123]
Table 9. Decay constants and angles for η, η′ and ηc. Table 9. Decay constants and angles for η, η′ and ηc. meson M
fa [GeV2]
ga
ρ0 [64]
0.171
1 −2 sin2 θw
ω [64]
0.155
- 2
3 sin2 θw
φ [64]
0.232
√
2
−1
2 + 2
3 sin2 θw
J [125]
1.29
√
2
1
2 −4
3 sin2 θw
Table 10. Decay constants and ga of neutral vector mesons. Table 10. Decay constants and ga of neutral vector mesons. Table 10. Decay constants and ga of neutral vector mesons. We use the quark masses at a renormalization scale of µ = 2 GeV in MS md = 4.7 MeV ,
ms = 93 MeV ,
mb = 4.18 GeV . (C.2) mu = 2.2 MeV ,
md = 4.7 MeV ,
ms = 93 MeV ,
mc = 1.27 GeV ,
mb = 4.18 GeV . (C.2) mu = 2.2 MeV ,
md = 4.7 MeV ,
ms = 93 MeV ,
mc = 1.27 GeV ,
mb = 4.18 GeV . (C.2) (C.2) Decay constants for pseudoscalar and vector mesons are given in tables 8. Parameters
to calculate decay constants for the neutral pseudoscalar and vector mesons are given in
tables 9 and 10, respectively. C.2
Form factors for D →M′
P r D →π and D →K transitions, we use the methods of ref. [127]. We write For D →π and D →K transitions, we use the methods of ref. [127]. We write f+/0 =
f(0) + c
z(q2) −z(0)
h
1 + z(q2)+z(0)
2
i
(1 −Pq2)
,
(C.6) (C.6) and list the best-fit parameter values in table 12. and list the best-fit parameter values in table 12. and list the best-fit parameter values in table 12. C.1
Form factors for B(s) →M′
P We apply the Bourrely-Caprini-Lellouch (BCL) method [63, 126] to parameterize the form
factors,
K f+(q2) =
1
1 −q2/m2
pole
K−1
X
k=0
b+
k
(z(q2))k −(−1)k−K k
K z(q2)K
,
f0(q2) =
1
1 −q2/m2
pole
K−1
X
k=0
b0
kz(q2)k ,
(C.3) (C.3) – 43 – – 43 – f
mpole [GeV]
b0
b1
b2
f
B(s)→D(s)
+
∞
0.909
−7.11
66
f
B(s)→D(s)
0
∞
0.794
−2.45
f Bs→K
+
mB∗= 5.325
0.360
−0.828
1.1
f Bs→K
0
mB∗(0+) = 5.65
0.233
0.197
f B→π
+
mB∗= 5.325
0.404
−0.68
−0.86
f B→π
0
∞
0.49
−1.61
Table 11. Best fit parameters values for the form factors in B →D and B →π transitions from
ref. [128]. JHEP03(2021)148 JHEP03(2021)148 Table 11. Best fit parameters values for the form factors in B →D and B →π transitions fro
ref. [128]. Table 11. Best fit parameters values for the form factors in B →D and B →π transitions from
ref. [128]. f
f(0)
c
P [GeV2]
f D→K
+
0.7647
−0.066
0.224
f D→K
0
0.7647
−2.084
0
f D→π
+
0.6117
−1.985
0.1314
f D→π
0
0.6117
−1.188
0.0342 f
f(0)
c
P [GeV2]
f D→K
+
0.7647
−0.066
0.224
f D→K
0
0.7647
−2.084
0
f D→π
+
0.6117
−1.985
0.1314
f D→π
0
0.6117
−1.188
0.0342 Table 12. Best fit parameters for the form factors in D →K and D →π transitions from
refs. [63, 127]. Table 12. Best fit parameters for the form factors in D →K and D →π transitions from
refs. [63, 127]. where z(q2) is the function z(q2) =
p
t+ −q2 −√t+ −t0
p
t+ −q2 + √t+ −t0
,
(C.4) (C.4) th t+ = (M + m)2 and t0 = (M + m)(
√
M −√m)2. We set K = 3 and f+(0) = f0(0). his determines b0 through with t+ = (M + m)2 and t0 = (M + m)(
√
M −√m)2. We set K = 3 and f+(0) = f0(0). This determines b0
2 through
b0
2 = f+(0) −b0
0 −b0
1z(0)
z(0)2
. (C.5) b0
2 = f+(0) −b0
0 −b0
1z(0)
z(0)2
. (C.5) (C.5) The best-fit parameter values are given in table 11. C.2
Form factors for D →M′
P C.3
Form factors for B(s) and D decaying into M′
V Eq. (B.15) contains seven form factors which must be determined. The pseudoscalar form
factor is related to f(q2) and a±(q2) through eq. (B.16). To better present these form factors – 44 – f(0)
fV (0)
fA0(0)
fA1(0)
fA2(0)
fT1(0)
fT2(0)
fT3(0)
D →K∗
1.03
0.76
0.66
0.49
0.78
0.78
0.45
D →ρ
0.9
0.66
0.59
0.49
0.66
0.66
0.31
B →D∗
0.76
0.69
0.66
0.62
0.68
0.68
0.33
B →ρ
0.31
0.30
0.26
0.24
0.27
0.27
0.19
Bs →D∗
s
0.95
0.67
0.70
0.75
Bs →K∗
0.38
0.37
0.29
0.26
0.32
0.32
0.23
Table 13. Part I: Best-fit parameters values for eqs. (C.8)–(C.9) from refs. [63, 129]. Table 13. Part I: Best-fit parameters values for eqs. (C.8)–(C.9) from refs. [63, 129]. σ1
σ1(V )
σ1(A0)
σ1(A1)
σ1(A2)
σ1(T1)
σ1(T2)
σ1(T3)
D →K∗
0.27
0.17
0.30
0.67
0.25
0.02
1.23
D →ρ
0.46
0.36
0.50
0.89
0.44
0.38
1.10
B →D∗
0.57
0.59
0.78
1.40
0.57
0.64
1.46
B →ρ
0.59
0.54
0.73
1.40
0.60
0.74
1.42
Bs →D∗
s
0.372
0.350
0.463
1.04
Bs →K∗
0.66
0.60
0.86
1.32
0.66
0.98
1.42
Table 14. Part II: Best-fit parameters values for eqs. (C.8)–(C.9) from refs. [63, 129]. JHEP03(2021)148 and follow the conventions of ref. [129], we define the following dimensionless combinations and follow the conventions of ref. [129], we define the following dimensionless combinations V (q2) = (M + m)g(q2) ,
A1(q2) =
f(q2)
M + m ,
A2(q2) = −(M + m)a+(q2) ,
A0 =
1
2m
f(q2) + a−(q2)q2 + a+(q2)P · q
,
T1 = −g+(q2) ,
T2(q2) = −g+(q2) −
q2
P · qg−(q2) ,
T3(q2) = g−(q2) −P · q
2
g0(q2) . (C.7) (C.7) and choose the following three-parameter formula and choose the following three-parameter formula f(q2) =
f(0)
(1 −q2/M 2
pole)(1 −σ1q2/M 2
pole + σ2q4/M 4
pole) ,
(C.8) (C.8) to describe V , T1 and A0. M is the pole mass, which is MP (0−) for A0 and MV (1−) for V
and T1. For the remaining form factors A1, A2, T2 and T3, we use the simpler form [129] f(q2) =
f(0)
1 −σ1q2/M 2
V + σ2q4/M 4
V
. (C.9) (C.9) In all scenarios we consider, the transition Bs →D∗
s is only induced by SM weak interac-
tions and we do not list form factors associated to BSM currents. C.3
Form factors for B(s) and D decaying into M′
V The values of the best
fit parameters are given in table 13 to table 15. C.4
The semi-leptonic decay of Ds Through the semi-leptonic decay of Ds meson, η, η′, K0, K∗
0 and φ can be produced. The pseudoscalar mesons η and η′ mix with each other and we can consider them as the – 45 – σ2, mpole
σ2(V ) σ2(A0) σ2(A1) σ2(A2) σ2(T1) σ2(T2) σ2(T3)
MP (GeV)
MV (GeV)
D →K∗
0
0
0.20
0.16
0
1.80
0.34
mDs = 1.968 mD∗s = 2.112
D →ρ
0
0
0
0
0
0.50
0.17
mD = 1.87
mD∗= 2.01
B →D∗
0
0
0
0.41
0
0
0.50
mBc = 6.275 mB∗
c = 6.331
B →ρ
0
0
0.10
0.50
0
0.19
0.51
mB = 5.279
mB∗= 5.325
Bs →D∗
s
0.561
0.600
0.510
0.070
mBc = 6.275 mB∗
c = 6.331
Bs →K∗
0.30
0.16
0.60
0.54
0.31
0.90
0.62
mBs = 5.367 mB∗
s = 5.415
Table 15. Part III: Best-fit parameters for eqs. (C.8)–(C.9) from refs. [63, 129]. Table 15. Part III: Best-fit parameters for eqs. (C.8)–(C.9) from refs. [63, 129]. Ds →ηs(mη)
Ds →ηs(mη′)
Ds →φ
f+
f0
fT
f+
f0
fT
V
A0
A1
A2
T1
T2
T3
f(0)
0.78
0.78
0.80
0.78
0.78
0.94
1.10
0.73
0.64
0.47
0.77
0.77
0.46
σ1
0.23
0.33
0.24
0.23
0.21
0.24
0.26
0.10
0.29
0.63
0.25
0.02
1.34
σ2
0
0.38
0
0
0.76
0
0
0
0
0
0
2.01
0.45
Table 16. Part I: Best-fit parameters for Ds decays from ref. [129]. JHEP03(2021)148 Table 16. Part I: Best-fit parameters for Ds decays from ref. [129]. Ds →K
Ds →K∗
f+
f0
fT
V
A0
A1
A2
T1
T2
T3
f(0)
0.72
0.72
0.77
1.04
0.67
0.57
0.42
0.71
0.71
0.45
σ1
0.20
0.41
0.24
0.24
0.20
0.29
0.58
0.22
−0.06
1.08
σ2
0
0.7
0
0
0
0.42
0
0
0.44
0.68
Table 17. Part II: Best-fit parameters for Ds decays from ref. [129]. Table 17. Part II: Best-fit parameters for Ds decays from ref. [129]. mixtures of ηn ≡¯uu+ ¯dd
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Supporting “time awareness” in self-regulated learning: How do students allocate time during exam preparation?
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© The Author(s) 2023. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits
use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original
author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third
party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the mate‑
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exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://
creativecommons.org/licenses/by/4.0/. Abstract The development of technology enables diverse learning experiences nowadays,
which shows the importance of learners’ self-regulated skills at the same time. Par‑
ticularly, the ability to allocate time properly becomes an issue for learners since time
is a resource owned by all of them. However, they tend to struggle to manage their
time well due to the lack of awareness of its existence. This study, hence, aims to reveal
how learners allocate their time and evaluate the effectiveness of the time allocation
by examining its effects on learners’ performance. We collect the learning logs of 116
seventh-graders from the online learning system implemented in a Japanese pub‑
lic junior high school. We look at the data in the time window of 34 days before the
regular exam. Even though clustering techniques as a Learning Analytics method help
identify different groups of learners, it is seldom applied to group students’ learning
patterns with different levels of indicators extracted from their learning process data. In this study, we adopt the method to cluster students’ patterns of time allocation and
find that better performance can result from the consistency of study time throughout
the exam preparation period. Practical suggestions are then proposed for different
roles involved in digital learning environments to facilitate students’ time management. Collectively, this study is expected to make contributions to smart learning environ‑
ments supporting self-regulated learning in the digital era. 1 Graduate School
of Informatics, Kyoto University,
Yoshidahonmachi, Sakyo Ward,
Kyoto 606‑8501, Japan
2 Academic Center
for Computing and Media
Studies, Kyoto University,
Yoshidahonmachi, Sakyo Ward,
Kyoto 606‑8501, Japan Keywords: Learning analytics, Time awareness, Time allocation, Self-regulated
learning, Time management Smart Learning Environments Smart Learning Environments Hsu et al. Smart Learning Environments (2023) 10:21
https://doi.org/10.1186/s40561-023-00243-z Open Access Open Access 1 Graduate School
of Informatics, Kyoto University,
Yoshidahonmachi, Sakyo Ward,
Kyoto 606‑8501, Japan
2 Academic Center
for Computing and Media
Studies, Kyoto University,
Yoshidahonmachi, Sakyo Ward,
Kyoto 606‑8501, Japan Supporting “time awareness”
in self‑regulated learning: How do students
allocate time during exam preparation?
Chia‑Yu Hsu1* , Izumi Horikoshi2, Huiyong Li2, Rwitajit Majumdar2 and Hiroaki Ogata2 Chia‑Yu Hsu1* , Izumi Horikoshi2, Huiyong Li2, Rwitajit Majumdar2 and Hiroaki Ogata2 *Correspondence:
hsu.chiayu.25t@st.kyoto-u.ac.jp Introductionh The digital era enables various learning experiences. Learners nowadays can make use of
various resources to achieve different learning objectives. With such flexibility in learn-
ing, it also becomes an issue for them to have effective self-regulated learning, which
involves the development of learning strategies and the ability to manage available learn-
ing resources. That is, self-regulated skill seems to be an essential skill for learners to
lead competent and autonomous lives in this era (Manso-Vázquez et al.2016; Ozer &
Yukselir, 2021). Time, in specific, is a common resource owned by everyone. When it comes to making
use of time, it indicates the ways how people allocate their time to different activities. Hsu et al. Smart Learning Environments (2023) 10:21 Hsu et al. Smart Learning Environments (2023) 10:21 Page 2 of 15 This may determine the effectiveness of one’s behavior (Son & Kornell, 2008). In self-
regulated learning, time management becomes a skill determining to what extent one
can allocate time properly. As indicated by Liborius et al., (2017), learners struggle to
develop the good skill of time management in general. Since time is invisible, it gets easy
to miss it. To allocate time properly involves one being aware of the proper amounts of
time allocated in proper activities at the proper time. When such information does not
come into learners’ minds, they tend to have poor skill of time management. Namely,
learners’ awareness of time plays a key role in their time management skills, which has
raised concern about learners’ time allocation in studies related to self-regulated learn-
ing. Huchendorf (1989) explored how students allocate their study time—both con-
cerning which materials they select to study and how long they study them. He et al. (2019) introduced a system, LearnerExp, for both instructors and learners to explore and
explain time management intuitively by visualizing the time allocated to learning activi-
ties per day. These studies make learners’ time allocation visible, increasing time aware-
ness and aiming to facilitate their skills of time management. Good skill of time management enables learners to maximize the net returns from
obtained knowledge with minimized time investment. That is, in addition to showing
how learners allocate their time, the relation between time allocation and performance
could inform whether such behaviors are effective or not. This specifies the support of
learners’ time management skills by indicating what is regarded as proper time alloca-
tion. Literature review The idea of how people allocate time during study rooted before the cognitive revolu-
tion and the derived research topics are key points in various educational psychology
literature (Son & Kornell, 2008). Students’ allocation of study time is regarded as a kind
of investment (Huchendorf, 1989). Serving as the effects of the investment, students get
concerned about how to allocate their time to achieve the best performance. Therefore,
there were several discussions on the relationship between time allocation and perfor-
mance (Nonis & Hudson, 2010). When it comes to learners’ allocation of study time, studies first look into their total
study time, which can be considered as course efforts. In the test of the inventory model
of student time allocation, total study time was found to have a positive and significant
effect on the demand for economic knowledge (Huchendorf, 1989). Beyond total study
time, some studies consider learners’ time allocation from different perspectives. Dol-
ton et al. (2003) divided the study time into the allocation of formal study (lectures and
classes) and self-study. Recognizing that students adopt specific study habits for exams,
Brown et al. (2017) also administered a survey to characterize how students envisioned
spending time during class as well as what activities they expected to complete outside
of class in preparation for exams. Similarly, Bratti and Staffolani (2013) investigated the
effect of lecture attendance and self-study on undergraduate students’ academic perfor-
mance. The results indicated that there might be bias in estimates of the elasticity of
student performance if considering the study time from only one aspect. Another aspect
such as time allocated in specific learning activities could be measured as students’
engagement with effortful study strategies (Jenifer et al., 2022). The study of Delucchi
et al. (1987) showed that the total time indices with achievement did not show signifi-
cant correlations. In the study of Dickinson and O’Connell (1990), weak relationships
with test scores were found for total study time and time spent reviewing. A much
stronger relationship was found for time spent organizing the course content. The previous works can be organized as groups about the inconsistent relationship
between time allocation and performance (Nonis & Hudson, 2010). This may result
from potential factors which affect students’ behavior, such as the difficulty of items,
limited time to study, and so on. Wang et al. Introductionh Delucchi et al. (1987) examined students’ reported total study time, their allocation
of that time to specific study activities, and relationships between such allocations and
achievement. Dickinson and O’Connell (1990) also investigated the relationship between
study time and test scores. The students were required to keep a continuous log of the
amount of time that they spent reading, reviewing, and organizing for the course. In contrast to self-report data, trace data is immediately collected within the actual
environment and could not degrade the accuracy and completeness of learners’ recall,
perceptions, and interpretations of how they learn (Li et al. ; Li et al., 2018). With the
rapid development of smartphones and wearable devices, it is more common to track
fine-grained, time-stamped data from e-learning activities. Learning Analytics (LA)
methods help valid inferences about a learner’s learning from the data of massive vol-
ume and high rate of velocity (Viberg et al., 2020; Raga et al., 2018). Carlson et al. (2013)
used an expectation–maximization approach to extract the error-making and hint-seek-
ing behaviors of each student to characterize their learning strategy. Saint, Gašević, and
Pardo (2018) used process mining techniques to identify strategic and tactical learner
behaviors and found that certain temporal activity traits relate to performance in the
summative assessments attached to the course. The above studies reflect the core characteristics of LA to generate an understanding
of, and support for learners’ learning processes, achieved by high-resolution temporal
data about various types of actions (Knight et al., 2017; Jivet et al., 2018). Time allocation
is a dynamic behavior that occurs over time. Therefore, in this study, we adopt clustering
techniques to measure learners’ time allocation and examine its relation to their per-
formance in the exam preparation period. The objective is to understand how students
allocate their time, and whether their performance is affected by the time allocation. Collectively, these are expected to inform us of practical ways to facilitate learners’ skills Hsu et al. Smart Learning Environments (2023) 10:21 Page 3 of 15 of time management, leading them to autonomous lives in today’s digital environments,
and thus contribute to self-regulated learning in this digital era. Two research questions are: (RQ1) How do students allocate their study time in digital
environments during the period of exam preparation? (RQ2) What effects can different
ways of time allocation have on students’ exam performance? Introductionh To answer the research
questions, we collect students’ learning logs in a digital environment implemented in a
Japanese junior high school, design time allocation indicators, and then use them to find
the association with students’ exam performance. Literature review (2016) investigated factors influencing the
study time allocation of Chinese junior high school students and the age difference in
the effect of habitual responding. Results indicated that agenda and habitual respond-
ing have a combined effect on study time allocation and that the contribution of agenda
is greater than that of habitual responding. Dunlosky and Ariel (2011) considered the
effect of item difficulty in their study. Students often spend more time studying items Hsu et al. Smart Learning Environments (2023) 10:21 Page 4 of 15 difficult to learn (vs. less difficult ones), unless little time is available for study or the
reward for the correct recall is higher for the less difficult items. In the latter contexts,
this shift to focusing on easier items is an effective strategy, and notably, students do not
always make this shift when doing so would be effective. f
Being at different phases, students tend to change their time allocation in different
activities considering the optimization of the achievement. The investigation of Konradt
et al. (2021) revealed four distinct pacing style patterns that correspond to the allocation
of effort over time during exam preparation: effort investment is allocated towards the
deadline, steady, inverted U-shaped, and U-shaped. This emphasizes the importance of
investigating the time allocation in students’ learning processes (Liboriusa et al., 2017). The educational production function is one of the accepted techniques for modeling the
process of exam performance. Dolton et al. (2003) modeled the existence of a university
production function based on individual student data relating to examination perfor-
mance. Krohn and O’Connor (2005) extended the standard education production func-
tion and student time allocation analysis to focus on the interactions between student
effort and performance over the semester. The results suggested that students respond
to higher midterm scores by reducing the number of hours they subsequently allocate
to studying for the course, and that contrary to results based on semester totals, class
attendance is not related to examination scores throughout the semester. Bensnes (2016)
investigated what is in effect random variation in students’ preparation time before high-
stakes exams. The study found that 5 extra days of preparation time increases exam
scores. Figure 1 summarizes the aspects of time allocation which were investigated in the
above studies. Research design In this study, we conduct two analyses to answer the research questions as Fig. 2 shows. Analysis 1 finds groups of patterns to show how students allocate their study time in dig-
ital environments during the period of exam preparation, aimed to answer RQ1. Analy-
sis 2 compares the performance between patterns to show the effects of different ways
of time allocation on students’ exam performance, aimed to answer RQ2. The following
details how the analyses are conducted. Analysis 1 We conduct time series clustering to find groups of patterns in terms of
both study time in different types of materials and study time in different phases ahead
of the exam. Analysis 2 We first look into the relationship between students’ total study time and
performance. Then, we compare the performance between groups clustered in terms of
study time in different types of materials and study time in different phases ahead of the
exam via tests for mean comparison. Literature review In this study, we consider students’ time allocation in three aspects: (1)
total study time, showing total efforts put in courses; (2) study time in different types of
materials, dealing with the effects of different learning activities; (3) study time in differ-
ent phases ahead of the exam, dealing with the effects of different timing during a period. Based on the literature review, it is known that time allocation could be considered in
different aspects, and would lead to different results of the effects on performance. In Fig. 1 Aspects of investigated time allocation and approach to bridge the research gap Fig. 1 Aspects of investigated time allocation and approach to bridge the research gap Hsu et al. Smart Learning Environments (2023) 10:21 Page 5 of 15 addition, time allocation was measured as a summative value among these aspects. There seems to be a research gap where time allocation is measured with learning pro-
cess data and the effects of each aspect on performance are collectively investigated. In
terms of the research gap, this study considers the patterns derived from the learning
logs as the learning process, extracts the features of learners’ time allocation via cluster-
ing, and examines their effects on performance. We expect to bridge the research gap
from the literature with this approach and show the significance of this study. Participants and study context We follow the purposive sampling strategy and include all the students from a Japanese
public junior high school who provided consent as the participants of this study. The
participants cover 116 seventh-graders with an average age of 13 years old. The school
has implemented an online learning system and offered basic courses such as math, Eng-
lish, and Japanese on that platform. During the preliminary investigation of the collected Fig. 2 Research design Fig. 2 Research design Hsu et al. Smart Learning Environments (2023) 10:21 Hsu et al. Smart Learning Environments Page 6 of 15 learning logs, we find that the participants were active in the math course. Hence, we
select the math course in this study to extract their learning processes. Data collection and processing The data logged are from the participants’ daily learning activities conducted in the
online learning system implemented in the school, i.e., the Learning & Evidence Ana-
lytics Framework (LEAF) (Ogata et al., 2018, 2022). Figure 3.a shows the architecture
of LEAF, which consists of a Learning Management System (LMS), an e-book reader
(BookRoll), a Learning Analytics Dashboard (LAD), and a Learning Record Store (LRS). The LMS serves as the access point to BookRoll, which includes various learning materi-
als, and enables different reading interactions. The interaction log data are stored in the
LRS and then processed into learning feedback on the LAD. In the target course, learning materials in BookRoll include three types: textbook,
exercises, and answers. Via personal tablets, students access these materials both at
school and at home. In this study, we consider the hours out of school as the time of
students’ self-regulated learning. Therefore, the reading logs are limited to the data from
6 p.m. to 8 a.m. the next day. Based on the research objective, we look at the data in the
time window of 34 days before the regular exam, taking place on Oct. 1, 2020. We mark
the time 3/2/1/ week(s) before the exam as different phases of the period considering
students were reminded in that way on the school calendar. The data from 116 seventh-
graders are collected and analyzed (Fig. 3b). Measures The objective of this study is to reveal students’ time allocation during the period of
exam preparation and its effects on their performance. With the log data collected from
the digital learning environment, we measure students’ time allocation based on Total
Reading Time (TRT), Daily Reading Time (DRT), and Daily Progress (DP). On the other
hand, we consider Performance Scores (PS) as students’ performance (Fig. 3.c). The fol-
lowing describes the definition of each measure. Fig. 3 Extracting learning data from architecture of the learning & evidence analytics framework (LEAF) Fig. 3 Extracting learning data from architecture of the learning & evidence analytics framework (LEAF) Page 7 of 15 Hsu et al. Smart Learning Environments (2023) 10:21 Hsu et al. Smart Learning Environments (2023) 10:21 Fig. 4 Patterns of daily reading time (DRT) across material types
Fig. 5 Patterns of daily progress (DP) for each material type Fig. 4 Patterns of daily reading time (DRT) across material types Fig. 4 Patterns of daily reading time (DRT) across material types Fig. 5 Patterns of daily progress (DP) for each material type Fig. 5 Patterns of daily progress (DP) for each material type Fig. 5 Patterns of daily progress (DP) for each material type Total reading time (TRT) TRT indicates the sum of the reading time in the whole
period of exam preparation. TRT of each material type is calculated separately. On
average, students read the textbook for 140.83 min (SD = 58.68), did the exercises for
256.76 min (SD = 130.41), and referred to the answers for 44.01 min (SD = 65.73) in
total during the whole period. Daily reading time (DRT) DRT indicates the sum of the reading time in a day. It
forms patterns of the reading time students spent every day during the period. DRT
of each material type is calculated separately. From each student’s reading logs, we
derive separate DRT patterns for each material type (Fig. 4.a). Then, we consider the
patterns as an overall DRT pattern of a student (Fig. 4.b). Daily progress (DP) DP indicates the ratio of the accumulated DRT in a day to TRT
of the period. It forms patterns of the progress students complete every day during
the period. We calculate DP of each material type separately. From each student’s
reading logs, we derive separate patterns of DP in each material type (Fig. 5). Measures Performance scores (PS) PS indicates students’ scores on the final standardized
Math exam administered by the school, which were measured on a 100-point scale. On average, students got 43.84 points (SD = 14.13). Page 8 of 15 Hsu et al. Smart Learning Environments (2023) 10:21 Hsu et al. Smart Learning Environments Students’ time allocation patterns before exam Students’ time allocation patterns before exam We conduct time series clustering to find groups of patterns in terms of both the
overall DRT patterns in the period and the separate patterns of DP in each material
type. For each clustering, two is shown as the optimal number of clusters via the Sil-
houette Analysis Method. Figure 6 shows the difference in the DRT patterns between the two clusters. In the
beginning, (a) both spent time on textbooks, but (b) cluster 1 also spent time doing
exercises. 3 weeks before the exam, (c) both spent time on textbooks and exercises. After 2 weeks before the exam, (d) both focused on doing exercise, and cluster 1 spent
more time than cluster 2. Also, (e) cluster 1 studied the example answers at the same
time. From such patterns, we identified that (f) the students in cluster 1 tend to do
exercises and refer to answers throughout the period, which implies the drill-and-
practice strategy for math learning. Table 1 compares the means of total DRT of each material type in different phases
before the exam between the two clusters. It shows that cluster 1 has significantly
higher means of total DRT in most of the material types across the period than clus-
ter 2. Therefore, we label cluster 1 as active learners (N = 14), while cluster 2 is labeled
as inactive learners (N = 102). Figure 7 shows the difference in the DP patterns between the two clusters. Consid-
ering the slope where students’ daily progress changes, we label students as learn-
ers with the following features studying each material type. The numbers of learners
regarding the textbook and answers were not 116 because there were no logs for some
learners who did not read the textbook or answers during the period of focus in our
analysis. Textbook The early learners (N = 79) are those who complete over half of the pro-
gress before the mid of the beginning, while the late learners (N = 35) are those who
complete over half of the progress after the mid of the beginning. Exercises The quick learners (N = 66) are those who keep a higher percentage of
progress throughout the period, while the slow learners (N = 50) are those who keep a
lower percentage of progress. Fig. 6 Clusters of patterns of daily reading time (DRT) Fig. Students’ time allocation patterns before exam 6 Clusters of patterns of daily reading time (DRT) Page 9 of 15 Hsu et al. Smart Learning Environments (2023) 10:21 Table 1 Total DRT of each Material Type in 4 Phases
Beginning
3 weeks ahead
2 weeks ahead
1 week ahead
Mean
Mean
Mean
Mean
Active learner
(cluster1)
Inactive
learner
(cluster2)
t
p
Active learner
(cluster1)
Inactive
learner
(cluster2)
t
p
Active learner
(cluster1)
Inactive
learners(cluster2)
t
p
Active
learners
(cluster1)
Inactive
learners(cluster2)
t
p
Textbook
105.14
94.46
1.06
47.36
41.79
1.32
1.00
0.78
0.49
0.71
1.95
− 1.28
.30
.20
.63
.20
Exercises
84.79
21.42
3.06
117.43
61.19
2.49
174.50
70.54
6.38
136.57
68.40
3.80
< .01
< .05
< .001
< .01
Answers
30.50
5.09
2.02
23.71
4.36
2.11
44.57
4.05
3.85
56.93
15.18
4.16
.06
.05
< .01
< .01 yp
Beginning
3 weeks ahead
2 weeks ahead
1 week ahead
Mean
Mean
Mean
Mean
Active learner
(cluster1)
Inactive
learner
(cluster2)
t
p
Active learner
(cluster1)
Inactive
learner
(cluster2)
t
p
Active learner
(cluster1)
Inactive
learners(cluster2)
t
p
Active
learners
(cluster1)
Inactive
learners(cluster2)
t
p
Textbook
105.14
94.46
1.06
47.36
41.79
1.32
1.00
0.78
0.49
0.71
1.95
− 1.28
.30
.20
.63
.20
Exercises
84.79
21.42
3.06
117.43
61.19
2.49
174.50
70.54
6.38
136.57
68.40
3.80
< .01
< .05
< .001
< .01
Answers
30.50
5.09
2.02
23.71
4.36
2.11
44.57
4.05
3.85
56.93
15.18
4.16
.06
.05
< .01
< .01 Page 10 of 15 Hsu et al. Smart Learning Environments (2023) 10:2 Hsu et al. Smart Learning Environments Fig. 7 Clusters of patterns of daily progress (DP) Fig. 7 Clusters of patterns of daily progress (DP) Table 2 Difference between DRT Clusters on Performance
M
SD
t
p
Active learners
41.00
14.02
− 0.81
.43
Inactive learners
44.24
14.17 Answers The consistent learners (N = 71) are those who complete half of the progress
2 weeks ahead of the exam (half of the preparation period) and complete the other 50%
in the last half of the period, while the cramming learners (N = 39) are those who com-
plete less than 25% of the progress 1 week ahead of the exam and increase their study
time at the end of the period. Performance difference between clusters We look into the correlation between TRT of each material type and PS separately. As
the effects of single TRT on students’ exam performance, TRT in each material type is
found to be insignificantly correlated to PS. The respective correlation coefficients are rt
(114) = − 0.09, p = 0.34, re (114) = − 0.02, p = 0.83, and ra (114) = 0.06, p = 0.50, ordered
by textbook, exercises, and answers. We then compare the performance between the 2 groups clustered in terms of the
overall DRT patterns in the period and the separate patterns of DP in each material type
via independent samples t-test. The result does not show a significant difference between
the performance of active learners and the others (Table 2). Table 3 summarizes the results of the t-test, comparing the performance between clus-
ters of patterns derived from DP. The results show that consistent learners perform sig-
nificantly better than cramming learners in the case of referring to answers. The students
(early learners) completing over half of the progress on reading the textbook before the
mid of the beginning do not have a significantly different performance from those who
complete after that (later learners). Similar results show in the performance between
quick learners and slow learners doing exercises. Hsu et al. Smart Learning Environments (2023) 10:21 Page 11 of 15 Table 3 Difference between DP clusters on performance
M
SD
t
p
Textbook
Early learners
42.22
13.33
− 1.59
.12
Late learners
46.71
14.20
Exercises
Quick learners
46.00
12.65
1.86
.07
Slow learners
41.00
15.55
Answers
Consistent learners
46.95
14.48
2.02
< .05
Cramming learners
41.31
13.18 Table 3 Difference between DP clusters on performance Implications Research Implications In this study, we measure how students allocate time with their
learning processes data collected from a digital environment. The clustering technique
helps extract different levels of indicators that indicate different aspects of students’ time
allocation. Past studies tend to consider learners’ time allocation from a single perspec-
tive, either the time allocated in certain activities or the time allocated in certain phases. That is, learners’ time allocation is regarded as a summative value. On the other hand,
this study implies that learning process data with LA methods enable multiple perspec-
tives on learners’ time allocation. In addition to a summative value, we consider time
allocation as a pattern that informs how much time is allocated in what activity at which
time point collectively. This not only enables understanding of learners’ time allocation
but also implies another way to assess the skill of time management. Therefore, in terms
of research on time allocation, LA methods could be the approach helping expand into
the unknown. Finally, in terms of the derived patterns, we label the clusters with qualita-
tive interpretation. Future research can focus on representing the patterns with quanti-
tative statistics, such as variance or coefficients, and conducting clustering analysis with
these variables. Then, an examination of whether the results are consistent with this
study can be done to triangulate the features of students’ learning. Practical Implications Based on the clustering analysis, we identify groups of time
allocation patterns and determine their effectiveness, which may also suggest learners’
skills in time management. That is, to facilitate the skill, some potential practice could be
implied by the derived effectiveness. In this study, we find the patterns of students’ study
time have more effects on performance than the amount of time allocated. This implies
different suggestions for different roles involved in a digital learning environment. For
learners, developing learning habits and studying consistently become crucial for effec-
tive learning. For instructors, in terms of performance, keeping students studying seems
to be more effective than informing them how much time they spend. They can guide
them to set goals at the beginning so that the learning patterns would be given mean-
ing. For designers of learning systems, the findings also consolidate the importance of
visualizing students’ learning patterns and providing timely interventions in the learning
processes. Discussion
Key findingsf There have been
inconsistent results regarding the relationship between students’ total study time and Hsu et al. Smart Learning Environments (2023) 10:21 Page 12 of 15 performance since other potential factors, such as the limited amount of time, or the
difficulties of the items, might be affecting the relation (Dunlosky & Ariel, 2011; Nonis
& Hudson, 2010). In this study, we also consider other factors. We find the results of
performance comparison between different learning features in the case of each material
type are inconsistent. This indicates that the types of learning materials might have dif-
ferent effects on the relationship between time allocation and performance (Jenifer et al.,
2022). We find no significant difference between the performance of students with the
time allocation of different tendencies. This implies that the tendencies might not affect
students’ performance. As previous studies suggested, students can have their learning. There is no common strategy applied to all students, but a strategy suitable for a certain
group of students (Schmeck, 1988; Tian et al., 2007; Parra, 2016). This can be the reason
why we did not find a significant difference between the performance. Discussion
Key findingsf Different study time allocation patterns before the exam We consider students’ time
allocation in three aspects. In terms of the whole period, students allocated their time
mainly to doing exercises, followed by reading the textbook and referring to answers. In terms of the tendency of time allocation in material types across the period, students
allocated their time to read the textbook in the early phases and do exercises and refer to
answers across the period. In such a pattern, some students tended to allocate more time
to doing exercises and referring to answers than others. In terms of the phases during
the period, learners with different learning features could be identified from students’
time allocation in each material type. The findings show that doing exercises plays a main role in students’ math learning. This echoes the strategies indicated by Verschaffel et al. (2019). By practicing, students
got more skillful. The findings of the tendency indicate students’ potential strategies for
exam preparation. As indicated by Andergassen et al. (2014), students tended to under-
stand the concepts first by reading the textbook and then doing exercises to strengthen
their understanding. By referring to answers, students review their understanding
(Higgins et al., 2019). We also identify learners with specific features echoing students’
behaviors indicated by Chung and Hsiao (2020). Considering the approaching of the
exam, students might increase their study time to enhance the effects of learning, which
is regarded as cramming behavior. Effects of different study time allocations on exam performance We compare students’
performance between different ways of time allocation. In terms of phases in the period,
consistent learners referring to answers performed significantly better than those clus-
tered as cramming learners, while no significant difference shows between the perfor-
mance of early and late learners in the cases of reading the textbook or quick and slow
learners in the cases of doing exercises. The performance between students’ tendencies
of allocating time in different material types across the phases does not show a signifi-
cant difference. Finally, in terms of the whole period, the time students allocated to each
material type is not significantly correlated to their exam performance. i
We do not find a correlation between the time allocated in the material types and exam
performance. The findings echo what was indicated in previous studies. Implications For example, when a student is identified to show a pattern that might lead to
low performance, the system can send a reminder message to make them closer to the Page 13 of 15 Hsu et al. Smart Learning Environments (2023) 10:21 Hsu et al. Smart Learning Environments pattern with better effects. With these practices, learners are enabled to develop the skill
of time management. Contribution, limitation, and future work Based on the above discussion, we get an insight into learners’ time allocation extracted
from a digital learning environment, proving that LA methods help understand how
learners allocate time in their learning processes. Different ways of time allocation are
shown and found to be consistent with the results of different past studies. This implies
the contribution of this study to reveal the variety of time allocation via a research design
with LA methods. On the other hand, this study shows significance in expanding the use
of LA methods to understand students’ behaviors in math learning, which was discussed
in the study of Li et al. (2021a, 2021b) as well. Practically, the visualization of time alloca-
tion not only enables learners to be aware of their time use but also inspires the design
of interventions motivating them to study consistently (Manso-Vázquez et al., 2016;
He et al., 2019). That is, this study can contribute to the support for developing learn-
ers’ time management skills in practice. Collectively, we expect this study to contribute
to the establishment of smart learning environments in which learners’ self-regulated
learning can be facilitated. On the other hand, some limitations may underlie the research design. First, in this
study, we extract data from the period of a certain exam. If data are retrieved from a
broader window, namely periods of multiple exams, it would be possible to compose an
effective sequence of learning patterns. For example, a sequence of pattern A, effective
in period A, and pattern B, effective in period B, could be a recommendation so that
learners’ learning could be supported from a long-term perspective. Second, we analyze
students’ time allocation and then examine its effects on their performance. It indicates
that different patterns can be categorized based on the effects on performance. However,
another way for the analysis can be dividing students into groups based on their perfor-
mance and then looking into the patterns of the groups. As Nonis and Hudson (2010)
pointed out, personal study habits, such as taking notes, scheduling, and the ability to
concentrate, could be related to students’ performance. The mentioned analysis design
emphasizes the extraction of learning patterns with personal characteristics, which ena-
bles personalized recommendations. Availability of data and materials y
The datasets used and/or analysed during the current study are available from the corresponding author on reasonable
request. Received: 16 September 2022 Accepted: 22 February 2023 Received: 16 September 2022 Accepted: 22 February 2023 Conclusionh This study is aimed to measure learners’ time allocation in digital environments and
determine the effectiveness of such behaviors. We collect learners’ learning process data
and adopt clustering techniques and relationship mining to reveal how learners allocate
their time and whether it affects their performance. We find that: (1) Learners’ time allo-
cation can be considered in terms of the total time allocated in a specific period, the
time allocated in different phases of the period, and the time tended to be allocated in a
specific activity. (2) The phases in which time is allocated could show a difference in the
performance depending on the types of learning materials, while neither the total study
time nor the tendency to certain activities has effects on learners’ performance. f
The findings imply that LA methods help understand time allocation by enabling the
extraction of different levels of indicators. Practical suggestions aiming to maintain the Hsu et al. Smart Learning Environments (2023) 10:21 Page 14 of 15 consistency of study time could also be provided to learners, instructors, and system
designers respectively. The contribution of this study lies in the support for self-regu-
lated learning taking place in digital learning environments by visualizing learners’ time
allocation and evaluating its effectiveness. f
The research design limits the possibility of concrete proposals on the possible design
of the intervention. The results from different analysis designs enable different implica-
tions to support learners’ learning. Therefore, future works can look into learners’ time
allocation from other perspectives with different research designs to enable more pos-
sible solutions to facilitate learners’ skills of time management, helping them with effec-
tive self-regulated learning in smart learning environments. Abbreviations
LA
Learning analytics
LEAF
Learning & evidence analytics framework
LMS
Learning management system
LAD
Learning analytics dashboard
LRS
Learning record store
TRT
Total reading time
DRT
Daily reading time
DP
Daily progress
PS
Performance scores
Acknowledgements
Not applicable
Author contributions
CH performed the data analysis and drafted the manuscript. IH, HL, RM and HO provided insights and reviewed the
manuscript. RM and HO acquired funding for the research. All authors read and approved the final manuscript. Funding
This work is funded by NEDO Special Innovation Program on AI and Big Data JPNP18013, NEDO JPNP20006, JSPS KAK‑
ENHI Grant-in-Aid for Scientific Research (B) 22H03902, JSPS KAKENHI Grant-in-Aid for Early-Career Scientists 20K20131. Funding Funding
This work is funded by NEDO Special Innovation Program on AI and Big Data JPNP18013, NEDO JPNP20006, JSPS KAK‑
ENHI Grant-in-Aid for Scientific Research (B) 22H03902, JSPS KAKENHI Grant-in-Aid for Early-Career Scientists 20K20131. Conclusionh Availability of data and materials
The datasets used and/or analysed during the current study are available from the corresponding author on reasonable
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//d i
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Stereoscopic Rendering via Goggles Elicits Higher Functional Connectivity During Virtual Reality Gaming
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Frontiers in human neuroscience
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Stereoscopic Rendering via Goggles
Elicits Higher Functional Connectivity
During Virtual Reality Gaming Caroline Garcia Forlim 1, Lukas Bittner 1, Fariba Mostajeran 2, Frank Steinicke 2,
Jürgen Gallinat 1 and Simone Kühn 1,3* Caroline Garcia Forlim 1, Lukas Bittner 1, Fariba Mostajeran 2, Frank Steinicke 2,
Jürgen Gallinat 1 and Simone Kühn 1,3* 1Department of Psychiatry and Psychotherapy, University Medical Center Hamburg-Eppendorf (UKE), Hamburg, Germany,
2Department of Human-Computer-Interaction, University of Hamburg, Hamburg, Germany, 3Max Planck Institute for Human
Development, Lise-Meitner Group for Environmental Neuroscience, Berlin, Germany Virtual reality (VR) simulates real-world scenarios by creating a sense of presence
in its users. Such immersive scenarios lead to behavior that is more similar to that
displayed in real world settings, which may facilitate the transfer of knowledge and
skills acquired in VR to similar real world situations. VR has already been used in
education, psychotherapy, rehabilitation and it comes as an appealing choice for training
intervention purposes. The aim of the present study was to investigate to what extent
VR technology for games presented via goggles can be used in a magnetic resonance
imaging scanner (MRI), addressing the question of whether brain connectivity differs
between VR stimulation via goggles and a presentation from a screen via mirror
projection. Moreover, we wanted to investigate whether stereoscopic goggle stimulation,
where both eyes receive different visual input, would elicit stronger brain connectivity
than a stimulation in which both eyes receive the same visual input (monoscopic). To
our knowledge, there is no previous research using games and functional connectivity
(FC) in MRI to address this question. Multiple analyses approaches were taken so
that different aspects of brain connectivity could be covered: fractional low-frequency
fluctuation, independent component analysis (ICA), seed-based FC (SeedFC) and graph
analysis. In goggle presentation (mono and stereoscopic) as contrasted to screen, we
found differences in brain activation in left cerebellum and postcentral gyrus as well as
differences in connectivity in the visual cortex and frontal inferior cortex [when focusing on
the visual and default mode network (DMN)]. When considering connectivity in specific
areas of interest, we found higher connectivity between bilateral superior frontal cortex
and the temporal lobe, as well as bilateral inferior parietal cortex with right calcarine and
right lingual cortex. Furthermore, we found superior frontal cortex and insula/putamen to
be more strongly connected in goggle stereoscopic vs. goggle monoscopic, in line with
our hypothesis. Keywords: virtual reality, stereoscopic and monoscopic goggles, fMRI, seed-based functional connectivity,
fractional amplitude of low-frequency fluctuations, resting-state networks, ICA, graph analysis Stereoscopic Rendering via Goggles
Elicits Higher Functional Connectivity
During Virtual Reality Gaming We assume that the condition that elicits higher brain connectivity values
should be most suited for long-term brain training interventions given that, extended
training under these conditions could permanently improve brain connectivity on a
functional as well as on a structural level. Received: 12 July 2019
Accepted: 27 September 2019
Published: 25 October 2019 Received: 12 July 2019
Accepted: 27 September 2019
Published: 25 October 2019 Received: 12 July 2019
Accepted: 27 September 2019
Published: 25 October 2019
Citation:
Forlim CG, Bittner L, Mostajeran F,
Steinicke F, Gallinat J and Kühn S
(2019) Stereoscopic Rendering via
Goggles Elicits Higher Functional
Connectivity During Virtual
Reality Gaming. Front. Hum. Neurosci. 13:365. doi: 10.3389/fnhum.2019.00365 Edited by:
Praveen Pilly,
HRL Laboratories (United States),
United States Reviewed by:
Joseph Snider,
University of California, San Diego,
United States
Jakub Limanowski,
University College London,
United Kingdom Reviewed by:
Joseph Snider,
University of California, San Diego,
United States
Jakub Limanowski,
University College London,
United Kingdom *Correspondence:
Simone Kühn
s.kuehn@uke.de Specialty section:
This article was submitted to Brain
Imaging and Stimulation, a section of
the journal Frontiers in Human
Neuroscience Specialty section:
This article was submitted to Brain
Imaging and Stimulation, a section of
the journal Frontiers in Human
Neuroscience ORIGINAL RESEARCH
published: 25 October 2019
doi: 10.3389/fnhum.2019.00365 INTRODUCTION In preparation for such training studies using games and
to test to what extent VR technology for games presented
via goggles can be used in a magnetic resonance imaging
scanner (MRI) we conducted the present study. We set out to
investigate whether VR visual stimulation using MRI compatible
goggles with 3D stereoscopic stimulation (in which the image is
rendered separately for each eye creating the illusion of depth
and 3D effect) differs in terms of brain connectivity from more
commonly applied presentation forms using goggles with 2D
monoscopic presentation (in which both eyes receive the same
visual input) and a conventional screen back-projection via a
mirror. Our hypothesis is that the condition that elicits higher
brain connectivity values should be most suited for long-term
brain training interventions given that, extended training under
these conditions could permanently improve brain connectivity. To study potential brain connectivity differences elicited by
3D stereoscopic, 2D monoscopic and screen stimulations,
we chose multiple methods, each of them being able to
reveal different aspects of brain connectivity: independent
component analysis (ICA) a data-driven technique to extract
whole-brain
networks,
seed-based
functional
connectivity
(SeedFC) that calculates the brain network related to specific
regions of interest (ROIs) and graph analysis that characterizes
the topology of the brain networks. Additionally, we tested
brain activation in the domain of low-frequency fluctuation
of the blood-oxygen-level dependent (BOLD) signal using
fractional amplitude of low-frequency fluctuation (fALFF). To our knowledge, there is no previous research using
games and FC in MRI to address this question. Most of the
previous studies either used different stimulus material to
investigate different degrees of spatial presence (Lee et al.,
2005; Baumgartner et al., 2006, 2008; Havranek et al., 2012;
Dores
et
al.,
2013)
and/or
used
electroencephalography
(EEG; Baumgartner et al., 2006; Havranek et al., 2012;
Kober et al., 2012; Slobounov et al., 2015; Dan and Reiner,
2017). Gaebler et al. (2014) employed the same movie as
stimulus delivered in 3D stereoscopic and monoscopic 2D and
evaluated the subject experience and intersubject correlation
of brain activity finding higher immersion and a more realistic
stimulus was associated with higher intersubject correlations. INTRODUCTION Virtual reality (VR) is used in various contexts such as
entertainment, education, psychotherapy, rehabilitation and
other conditions. In these computer-generated environments,
the user can perceive, feel and interact in a manner that is
similar to a physical place, which is usually achieved by a
combination of multiple sensory channels, such as sight, sound
and touch. An essential feature of VR is that it creates a sense
of presence in its users, meaning a sense of being in a virtual
environment that is more engaging than the surrounding world
(Slater and Wilbur, 1997), which in turn leads to behavior that
is more similar to the behavior displayed in real world settings. Importantly this feeling of presence may facilitate transfer of
knowledge and skills acquired in VR to similar real-world
situations, which would make VR an ideal choice for training
intervention purposes. Most interesting for the present endeavor and the question
whether VR elicits higher brain connectivity, is an EEG study that
compared brain signals during navigation either on a desktop PC
(2D) or on a large wall projection in 3D (Kober et al., 2012). The 3D condition was accompanied by higher cortical parietal
activation in the alpha band, whereas the 2D condition was
accompanied by stronger FC between frontal and parietal brain
regions, indicating enhanced communication. In two additional
EEG studies, in which different modes of presentation have been
compared, but in which brain activity instead of connectivity
was the focus of investigation, contradictory evidence has been
gathered. Likewise in a navigation task comparing a condition
in which participants wore 3D glasses and watched a screen vs. a 2D screen condition, higher theta power in frontal midline
structures was observed in the 3D VR condition (Slobounov
et al., 2015). In contrast, a study investigating paper folding
(origami) learning with 3D glasses vs. with a 2D film showed
that the 2D condition displays a higher so-called cognitive
load index computed as the ratio of the average power of
frontal theta and parietal alpha. A last study focused on intra-
hippocampal EEG recordings comparing real-world navigation
vs. VR navigation and demonstrated that oscillations typically
occurs at a lower frequency in virtual as compared to real-world
navigation (Bohbot et al., 2017). INTRODUCTION Brain regions that have repeatedly received attention in the
endeavor to explain differences between VR-related presence
experiences in comparison to 2D or less immersive environments
are the prefrontal cortex (PFC), the parietal cortex as well as
the hippocampus (Baumgartner et al., 2006, 2008; Beeli et al.,
2008; Kober et al., 2012; Bohbot et al., 2017; Dan and Reiner,
2017). For this reason, we used whole-brain connectivity analysis
approaches as well as ROI-based approaches focusing on the
effects of the type of the display (conventional 2D screen,
MRI goggles with monoscopic view effect, MRI goggles with
stereoscopic view effect) which capture two different degrees of
immersion in a technical (Slater and Wilbur, 1997) and subjective
(Gaebler et al., 2014) point of view. Citation: Forlim CG, Bittner L, Mostajeran F,
Steinicke F, Gallinat J and Kühn S
(2019) Stereoscopic Rendering via
Goggles Elicits Higher Functional
Connectivity During Virtual
Reality Gaming. Front. Hum. Neurosci. 13:365. doi: 10.3389/fnhum.2019.00365 October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 1 Higher FC in VR Stereoscopic Rendering Forlim et al. Nevertheless,
the
connectivity
between
brain
areas
was
not investigated. Frontiers in Human Neuroscience | www.frontiersin.org Preprocessing To ensure for steady-state longitudinal magnetization, the first
10 images were discarded. Slice timing and realignment were
performed in the remaining images. The individual anatomical
images T1 were coregistered to functional images and segmented
into white matter, gray matter, and cerebrospinal fluid. Data were
then spatially normalized to Montreal Neurological Institute
(MNI) space and spatially smoothed with an 8-mm FWHM
to improve signal-to-noise ratio. Signal from white matter,
cerebrospinal fluid and movement were regressed. To reduce
physiological high-frequency respiratory and cardiac noise
and low-frequency drift data was filtered in the bandwidth
of (0.01–0.08 Hz) and, finally, detrended. All steps of data
preprocessing were done using SPM12 (Wellcome Department
of Cognitive Neurology) except filtering that was applied using
REST toolbox (Song et al., 2011). In addition, to control for
motion, the voxel-specific mean framewise displacement (FD)
was calculated according to Power et al. (2012). We excluded
from the analyses participants who had an FD above the
recommended threshold of 0.5. Before entering the scanner, the participants were given
information about the gameplay. The participants did not
practice outside the scanner. They were asked to imagine to be
a bee, whose goal is to make the landscape flourish by flying
above it and touching flowers or trees which are surrounded by a
bright halo. That would lead to pollen popping out of the flowers
and new flowers, bushes or trees growing all around. They were
told to follow the path of the flowers and collect as many flowers
as possible, however, they were likewise instructed to not mind
when missing out on a flower. The number of pollinated flowers
was not counted and no score was kept. For this reason, no
behavioral measures of the game were reported. Participants used
an MR compatible button box with four buttons in a row from
Nordic Neuro Lab to navigate in the game. The user had to
hold the controller with both hands and use the two left buttons
for flying upwards and downwards and the other two for flying
to the left and right. Independently of how many flowers were
pollinated, the speed of the flight was kept constant and each run
lasted about 5 min. Game Description and Procedure Game Description and Procedure
While situated in the scanner, participants were exposed to
a game (FlowVR) that was inspired by the game Flower by
Thatgame Company1 and programmed in Unity. The player
flies through a nature scene with the goal of making the
landscape blossom (Figure 1). This can be achieved by the
player flying close to flowers, which are surrounded by a colored
halo, to virtually pollinate them so that more flowers grow in
the surrounding area. Visual and auditory elements associated
with positive affect have been implemented. The task has been
designed with the goal to reduce negative affect and initiate the
experience of flow (Csikszentmihalyi, 2014). Fractional Amplitude of Low-Frequency Fluctuation
(fALFF) Participants underwent three conditions, one in which the
game was projected from a screen via mirror projection, one
in which MRI compatible goggles were used either with a
3D stereoscopic stimulation (in which the image is rendered
separately for each eye creating the illusion of depth and 3D
effect) and a 2D monoscopic presentation (in which both eyes
received the same visual input). MRI compatible goggles used
were the VisuaStim digital2, with a resolution of 800 × 600
(SVGA) and field of view (FoV) of 30◦horizontal and 24◦
vertical. The order of the conditions was randomly assigned
to the participants. Due to subject exclusion the order of
condition, monoscopic-stereoscopic—screen were performed for
three subjects instead of four (23 subjects distributed among six
orders of condition). (
)
fALFF is not a measure of connectivity between areas, but rather
it accounts, voxel-wisely, for changes in the amplitude of low
frequency spontaneous fluctuations in the BOLD imaging signal
in the whole brain. fALFF represents the relative contribution of
low frequency oscillations to the total detectable frequency range
and is calculated taking the power within a frequency range and
dividing it by the total power in the whole detectable frequency
range (Zou et al., 2008). For that, first the voxel time series are
transformed into the power domain, then the amplitudes within a
specific low-frequency bandwidth are summed. Finally, this value
is divided by the sum of the amplitudes in the entire detectable
frequency range. To create standardized maps, each subject maps
is transformed into Z-scores. We calculated the fALFF using
REST toolbox (Song et al., 2011). Subject-specific fALFF maps
were taken to the second level analysis in SPM12. 1http://thatgamecompany.com/flower/
2http://www.mrivideo.com/visuastimdigital.php Participants p
Twenty-six healthy participants were recruited from a local
participant pool. After complete description of the study, the
participants’ informed written consent was obtained. Exclusion
criteria for all participants were abnormalities in MRI, relevant
general medical disorders and neurological diseases. Additional
exclusion criteria were movement above the threshold of 0.5
(Power et al., 2012) during the scanning section and completion
of all three conditions. After the exclusion criteria were applied,
the number of subjects dropped to 23 (mean age = 26.5,
SD = 4.8 years, female:male = 11:12). The protocol was
approved by the local psychological ethics committee of the
University Medical Center Hamburg-Eppendorf, Germany. All
subjects gave written informed consent in accordance with the
Declaration of Helsinki. October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 2 Higher FC in VR Stereoscopic Rendering Forlim et al. voxel size). Resting-state data were acquired after the T1 image. We acquired whole-brain functional images while participants
were asked to keep their eyes closed and relax for 5 min. We used
a T2∗-weighted echo-planar imaging (EPI) sequence (repetition
time = 2,000 ms, echo time = 30 ms, image matrix = 64 × 64,
field of view = 216 mm, flip angle = 80◦, slice thickness = 3.0 mm,
distance factor = 20%, voxel size = 3 × 3 × 3 mm2, 36 axial slices,
using GRAPPA). Images were aligned to the anterior-posterior
commissure line. Scanning Procedure Structural images were collected on a Siemens Prisma 3T
scanner (Erlangen, Germany) and a standard 32-channel
head coil was used. The structural images were obtained
using
a
three-dimensional
T1-weighted
magnetization
prepared
gradient-echo
sequence
(MPRAGE;
repetition
time = 2,500 ms; echo time = 2.12 ms; TI = 1,100 ms, acquisition
matrix = 240 × 241 × 194, flip angle = 9◦; 0.8 × 0.8 × 0.94 mm Independent Component Analysis (ICA)
ICA a data-driven technique to extract whole-brain networks. We examined the resting-state networks given by the spatial
grouping of voxels with temporally coherent activity calculated
in a data-driven fashion using ICA. ICA decomposes blindly,
in multiple independent components, the brain activity. Each
component is a spatial grouping of voxels with temporally
coherent activity (connectivity) and according to this spatial October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 3 Forlim et al. Higher FC in VR Stereoscopic Rendering FIGURE 1 | A screenshot of the player’s view when flying in the virtual landscape. The colorful halos indicate the positions of the next flowers to be “pollinated.” FIGURE 1 | A screenshot of the player’s view when flying in the virtual landscape. The colorful halos indicate the positions of the next flowers to be “pollinated.” using the anatomical automatic labeling atlas (AAL). Seed-based
connectivity maps were obtained by correlating the seed time
series with all voxels in the brain. For that, first we extracted the
time series of all voxels within the corresponding ROI delimitated
by the AAL atlas and then we took the average. Next, we
calculated the Pearson’s correlation coefficient between the seed
time series and all other voxels in the brain. Finally, Fischer
transformation was applied to the individual FC maps obtaining
Z scores to improve normality. The individual seedFC maps were
calculated in MATLAB R2012b4. The Z score maps were taken
to the second level in SPM 12 (Statistical Parametric Mapping
package; Wellcome Department for Imaging Neuroscience,
London, United Kingdom5. grouping of voxels, the components are associated with sources
that can be either related to brain activity or to noise
such as movement, blinking, breathing, and heartbeat. The
main brain activity-related sources resemble discrete cortical
functional networks and are named resting state networks
(RSN). The RSN comprise the default mode network (DMN),
basal ganglia, auditory, visuospatial, sensory-motor, salience,
executive control, language and visual networks. Scanning Procedure Here, ICA was
performed in GIFT software3 using Infomax algorithm. The
number of spatially independent resting-state networks (N) was
estimated by the GIFT software (N = 26). The identification
of the networks was done automatically using predefined GIFT
templates and later the resting-state networks of interested, the
DMN and visual networks, were chosen by two specialists (CGF
and SK). For every resting-network of interest, subject-specific
spatial connectivity maps were taken to the second level analysis
in SPM12. 3http://icatb.sourceforge.net/ 4https://www.mathworks.com/
5http://www.fil.ion.ucl.ac.uk/spm Graph Analysis To examine differences in the topology of the brain networks
we performed graph analysis (Bullmore and Sporns, 2009). The
first step was to construct the FC matrices, where nodes and
links should be defined. Nodes were brain regions created based
on the AAL116 atlas (Tzourio-Mazoyer et al., 2002) and the
links were the connectivity strength between nodes calculated
using Pearson’s correlation coefficient. The node-averaged time
series used to infer the connectivity strength were extracted
for each subject using the REST toolbox (Song et al., 2011). To avoid false-positive links, connectivity values that were not
statistically significant (p-value ≥0.05) were excluded. Once the
functional matrices are built, graph analysis can be applied in
order to characterize their topology. At this stage, thresholding
was applied, namely density threshold ranging from 0.1 to
0.8 in steps of 0.1. Thresholding means that only links with
the highest connectivity strengths are kept until the desired Statistics We were interested in two particular contrasts: (1) VR visual
stimulation using MRI compatible goggles with 3D stereoscopic
stimulation and 2D monoscopic presentation vs. screen via
mirror projection, to investigate for brain differences during
goggles and screen; and (2) 3D stereoscopic stimulation, in which
the image is rendered separately for each eye creating the illusion
of depth and 3D effect vs. 2D monoscopic presentation, most
commonly applied presentation in which both eyes receive the
same visual input, so that we could investigate the effect of
stereoscopic view in the brain. The resulting individual maps of each analysis were taken to
the second level analysis in SPM12 (Statistical Parametric
Mapping
package;
Wellcome
Department
for
Imaging
Neuroscience, London, United Kingdom6) with mean FD
as covariate. Using a family wise error (FWE) threshold on the
cluster level of p < 0.05 (cluster extent = 50) we ran the two
contrasts in both the positive and the negative direction. For
the
graph
analysis,
repeated
measures
one-way
ANOVA
was
used. FDR
was
used
for
multiple
comparison correction. 6http://www.fil.ion.ucl.ac.uk/spm Seed-Based Functional Connectivity (SeedFC) Seed-Based Functional Connectivity (SeedFC)
FC is one of the most popular methods to infer connectivity in
neuroimaging. When FC is calculated by means of the temporal
correlations (Pearson’s correlation) between a ROI to the other
voxels in the whole brain, it is known as seed-based FC (SeedFC). In this way, SeedFC calculates the brain network related to
specific ROIs. We investigated the seed-based connectivity maps,
using as seed the brain ROIs in VR, namely, bilateral superior
and middle frontal cortex, bilateral hippocampus, bilateral
superior and inferior parietal cortex, areas shown in previous
works that may explain differences between VR-related presence
experiences and less immersive environments (Baumgartner
et al., 2006, 2008; Beeli et al., 2008; Kober et al., 2012; Bohbot
et al., 2017; Dan and Reiner, 2017). The seed areas were defined October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 4 Higher FC in VR Stereoscopic Rendering Forlim et al. density is reached, e.g., a threshold of 0.1 means 10% of the
links with the highest connectivity were kept and the remaining
ones were set to 0. Graph analysis was then applied to these
thresholded matrices using the Brain Connectivity toolbox
(brain-connectivity-toolbox.net). The main graph measures were
chosen: betweenness centrality that measures the fraction of
all shortest paths that pass through an individual node;
characteristic path length which accounts for the average shortest
path between all pairs of nodes; efficiency which is the average
inverse shortest paths and transitivity that measures the relative
number of triangles in the graph, compared to total number of
connected triples of nodes. For a complete description of the
graph measures please refer to Bullmore and Sporns (2009) and
Rubinov and Sporns (2010). TABLE 1 | Group differences in fractional amplitude of low-frequency fluctuation (fALFF), independent component analysis (ICA) and seed-based functional connectivity (Seed-FC) analyses. Seed-Based Functional Connectivity (SeedFC) Analysis
Contrast
Labels
MNI coordinates
T
Cluster size (in voxels)
P (cluster level FWE corrected)
fALFF
goggles > screen
Left cerebellum VI
−20 −62 −26
4.32
92
0.007
Left postcentral gyrus
−42 −40 60
4.05
93
0.007
goggles < screen
Right frontal superior orbital
18 56 −4
6.13
72
0.006
ICA Primary visual
goggles < screen
Bilateral cuneus
6 −80 30
6.25
365
<<0.001
Left middle occipital
−18 −98 −2
4.94
108
0.025
goggles > screen
Left calcarine
−8 −94 10
4.6
152
0.018
ICA Higher visual
goggles < screen
Bilateral cuneus
0 −78 24
4.7
232
0.001
goggles > screen
Left lingual
−4 −64 4
6.2
257
<<0.001
ICA
goggles > screen
Bilateral lingual
−2 −66 0
5.1
192
0.003
DMN
Inferior frontal gyrus/precentral gyrus
−34 0 28
5.0
324
<<0.001
SeedFC
goggles > screen
Left superior temporal pole
−48 16 −12
4.7
332
<<0.001
Bilateral superior frontal
stereoscopic > monoscopic
Left insula/putamen
−34 10 10
5.4
237
<<0.001
SeedFC Bilateral inferior parietal
goggles > screen
Right calcarine
18 −98 4
4.5
182
0.002
Bilateral inferior parietal
Right lingual
26 −88 −6
Right calcarine
20 −88 2 RESULTS Since we were mostly interested in the direction of potential
brain connectivity differences between conditions, we employed
multiple different analysis pipelines. We employed four methods
that focus on different aspects of the brain signal, the intrinsic
frequency fluctuation and the connectivity given by the spatial
grouping of voxels with temporally coherent activity and by
the temporal correlations between areas, respectively, fALFF
that measures the amplitude of the low frequency fluctuation
of the BOLD signal, ICA that uncovers the resting-state brain
networks, the seed-based FC that calculates the brain network
related to specific ROIs and graph analysis that characterizes
the topology of the brain networks. Results are summarized
in Table 1. October 2019 | Volume 13 | Article 365 fALFF In fALFF, we found significantly higher fALFF (Figure 2) in
left cerebellum (VI, −20, −62, −26), left postcentral gyrus October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 5 Forlim et al. Higher FC in VR Stereoscopic Rendering FIGURE 2 | 1—Difference of the mean fALFF maps, 1A goggles > screen and 1B goggles < screen. 2—Group differences in fALFF. Higher fALFF (in red) in left
cerebellum and left postcentral gyrus in the goggles (monoscopic + stereoscopic) condition compared with the screen condition. In the reverse contrast (in blue)
there was higher fALFF in right superior orbital frontal cortex. FIGURE 2 | 1—Difference of the mean fALFF maps, 1A goggles > screen and 1B goggles < screen. 2—Group differences in fALFF. Higher fALFF (in red) in left
cerebellum and left postcentral gyrus in the goggles (monoscopic + stereoscopic) condition compared with the screen condition. In the reverse contrast (in blue)
there was higher fALFF in right superior orbital frontal cortex. FIGURE 2 | 1—Difference of the mean fALFF maps, 1A goggles > screen and 1B goggles < screen. 2—Group differences in fALFF. Higher fALFF (in red) in left
cerebellum and left postcentral gyrus in the goggles (monoscopic + stereoscopic) condition compared with the screen condition. In the reverse contrast (in blue)
there was higher fALFF in right superior orbital frontal cortex. more strongly correlated to the signal of the source identified,
respectively, as primary and higher visual network. A decrease
in connectivity was observed in the left middle occipital
(6, −90, 30) in the primary visual network and in the bilateral
cuneus (0, −78, 24) in the higher visual one, which means,
when using goggles, the grouping of voxels in left middle
occipital and in the bilateral cuneus were less correlated to
the signal of the sources identified, respectively, as primary
visual and higher visual network. Investigating the DMN
(Figure 3), we found an increase in the connectivity in the
inferior frontal (−34, 0, 28) and bilateral lingual (−2, −66, 0)
for goggles (monoscopic + stereoscopic) as compared to screen (−42, −40 60) in the goggles (monoscopic + stereoscopic)
condition compared with the screen condition. In the reverse
contrast, we observed higher fALFF in right superior orbital
frontal cortex (−18, 56, −4; all results FWE corrected p < 0.05). ICA In the visual networks (Figure 3), we found increased
connectivity in the primary and higher networks in the
left calcarine (−8, −94, 10) and left lingual (−4, −64, 4),
respectively, in the goggles (monoscopic + stereoscopic) as
compared to screen condition, that is, when using goggles,
the grouping of voxels in left calcarine and left lingual were October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 6 Forlim et al. Higher FC in VR Stereoscopic Rendering FIGURE 3 | Network spatial maps and group differences: default mode network (DMN) and visual. In the primary visual network, there was an increase in
connectivity (in red) in the left calcarine and in the higher visual network in the left lingual in the goggles (monoscopic + stereoscopic) condition as compared to the
screen condition. A decreased in connectivity (in blue) was seen in the left middle occipital in the primary visual network and in the bilateral cuneus in the higher visual
network. In the DMN, we found an increase (in yellow) in the connectivity in the inferior frontal and bilateral lingual for goggles (monoscopic + stereoscopic) as
compared to screen condition. condition, meaning stronger correlation of these areas and
the signal of the source identified as DMN. No significant
difference between the contrast monoscopic vs. stereoscopic
was found in the visual networks nor in the DMN. FDR was
used to account for multiple comparison correction due to
multiple networks. FIGURE 3 | Network spatial maps and group differences: default mode network (DMN) and visual. In the primary visual network, there was an increase in
connectivity (in red) in the left calcarine and in the higher visual network in the left lingual in the goggles (monoscopic + stereoscopic) condition as compared to the
screen condition. A decreased in connectivity (in blue) was seen in the left middle occipital in the primary visual network and in the bilateral cuneus in the higher visual
network. In the DMN, we found an increase (in yellow) in the connectivity in the inferior frontal and bilateral lingual for goggles (monoscopic + stereoscopic) as
compared to screen condition. FIGURE 3 | Network spatial maps and group differences: default mode network (DMN) and visual. SeedFC characteristic path length. Betweenness is a measure, of
centrality, transitivity of segregation and characteristic path
length a measure of integration. This means that for networks
formed by the highest connectivity links during VR, local
information processing (transitivity) was higher, whereas, at the
same time, the global exchange of information (characteristic
path length) in the brain was also increased. In addition,
a higher mean betweenness revealed more central nodes in
the network. The local efficiency of the network was also
higher during VR as compared to screen, when considering
the 30% highest connectivity values as nodes. These results
reported above were not corrected for multiple comparisons. No significant differences were found after correcting for
multiple comparisons. In a ROI-based seed analysis, we used the following ROIs:
bilateral
superior
frontal
cortex,
middle
frontal
cortex,
hippocampus, superior parietal cortex, inferior parietal cortex. We found significant seed-based connectivity (Figure 4)
between bilateral superior frontal cortex and the left superior
temporal lobe (−48, 16, −12) for the MRI goggle contrast
goggles (monoscopic + stereoscopic) > screen and to left
insula and putamen (−34, 10, 10) in the stereoscopic view
contrast (stereoscopic > monoscopic; Figure 4). The bilateral
inferior parietal cortex was more strongly connected to right
calcarine cortex (18, −98, 4; 20, −88, 2) and right lingual cortex
(26, −88, −6) in the goggles vs. screen condition (Figure 5). All
seed-based ROI analysis results were FWE corrected at p < 0.05. To account for multiple comparison correction due to multiple
seeds, FDR was used. ICA There was stronger connectivity between a seed in the bilateral superior frontal cortex and the left superior
temporal lobe for the magnetic resonance imaging (MRI) goggle contrast goggles (monoscopic + stereoscopic) as compared to the screen. (B) Right—Group
differences in stereoscopic vs. monoscopic condition. The stereoscopic view elicited stronger connectivity between the bilateral frontal cortex and left insula and
putamen. FIGURE 4 | (A) Mean seed-based functional connectivity (SeedFC) maps per condition, seed located in the bilateral frontal superior cortex. (B) Left—Group
differences in SeedFC in goggles vs. screen condition. There was stronger connectivity between a seed in the bilateral superior frontal cortex and the left superior
temporal lobe for the magnetic resonance imaging (MRI) goggle contrast goggles (monoscopic + stereoscopic) as compared to the screen. (B) Right—Group
differences in stereoscopic vs. monoscopic condition. The stereoscopic view elicited stronger connectivity between the bilateral frontal cortex and left insula and
putamen. ICA In the primary visual network, there was an increase in
connectivity (in red) in the left calcarine and in the higher visual network in the left lingual in the goggles (monoscopic + stereoscopic) condition as compared to the
screen condition. A decreased in connectivity (in blue) was seen in the left middle occipital in the primary visual network and in the bilateral cuneus in the higher visual
network. In the DMN, we found an increase (in yellow) in the connectivity in the inferior frontal and bilateral lingual for goggles (monoscopic + stereoscopic) as
compared to screen condition. condition, meaning stronger correlation of these areas and
the signal of the source identified as DMN. No significant
difference between the contrast monoscopic vs. stereoscopic was found in the visual networks nor in the DMN. FDR was
used to account for multiple comparison correction due to
multiple networks. October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 7 Forlim et al. Higher FC in VR Stereoscopic Rendering FIGURE 4 | (A) Mean seed-based functional connectivity (SeedFC) maps per condition, seed located in the bilateral frontal superior cortex. (B) Left—Group
differences in SeedFC in goggles vs. screen condition. There was stronger connectivity between a seed in the bilateral superior frontal cortex and the left superior
temporal lobe for the magnetic resonance imaging (MRI) goggle contrast goggles (monoscopic + stereoscopic) as compared to the screen. (B) Right—Group
differences in stereoscopic vs. monoscopic condition. The stereoscopic view elicited stronger connectivity between the bilateral frontal cortex and left insula and
putamen. FIGURE 4 | (A) Mean seed-based functional connectivity (SeedFC) maps per condition, seed located in the bilateral frontal superior cortex. (B) Left—Group
differences in SeedFC in goggles vs. screen condition. There was stronger connectivity between a seed in the bilateral superior frontal cortex and the left superior
temporal lobe for the magnetic resonance imaging (MRI) goggle contrast goggles (monoscopic + stereoscopic) as compared to the screen. (B) Right—Group
differences in stereoscopic vs. monoscopic condition. The stereoscopic view elicited stronger connectivity between the bilateral frontal cortex and left insula and
putamen. FIGURE 4 | (A) Mean seed-based functional connectivity (SeedFC) maps per condition, seed located in the bilateral frontal superior cortex. (B) Left—Group
differences in SeedFC in goggles vs. screen condition. Graph Analysis Within the scope of the present study, we set out to unravel the
effects of VR stimulation presented via goggles on functional
brain connectivity in MRI. In order to do so we used a virtual
game in which the player had the task to fly through a natural
scene with the goal to make the landscape blossom, which was Despite no topological differences consistent across threshold
were found (Figure 6), the threshold 0.1 representing 10% of
the highest connections, goggles condition presented higher
mean betweenness than screen, as well as transitivity and October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 8 Forlim et al. Higher FC in VR Stereoscopic Rendering FIGURE 5 | (A) Mean seed-based functional connectivity (SeedFC) maps per condition, seed located in the bilateral inferior parietal cortex. (B) Group differences in
SeedFC in goggles vs. screen condition. There was stronger connectivity between a seed in the bilateral parietal inferior cortex to right calcarine cortex and to right
lingual cortex for the MRI goggle contrast goggles (monoscopic + stereoscopic) as compared to the screen. FIGURE 5 | (A) Mean seed-based functional connectivity (SeedFC) maps per condition, seed located in the bilateral inferior parietal cortex. (B) Group differences in
SeedFC in goggles vs. screen condition. There was stronger connectivity between a seed in the bilateral parietal inferior cortex to right calcarine cortex and to right
lingual cortex for the MRI goggle contrast goggles (monoscopic + stereoscopic) as compared to the screen. In line with our hypothesis, the goggles and the stereoscopic
contrast revealed stronger brain connectivity for the respective
condition with more immersion in the technical (Slater and
Wilbur, 1997) and subjective (Gaebler et al., 2014) point of
view, that is goggles (stereoscopic and monoscopic) compared
to screen and stereoscopic compared to monoscopic generally
elicited higher brain connectivity. We found higher fALFF in
left cerebellum and postcentral gyrus for goggles compared
to the screen. In the visual networks, we found an increase
in connectivity in the left calcarine and left lingual for the
same contrast, meaning higher correlation of the grouping
of voxels in these areas to the signal associated with visual
networks and in the DMN there was increased connectivity
in the inferior frontal cortex and bilateral lingual gyrus,
which means lower correlation of these areas and the signal
associated with the DMN activity. Graph Analysis Additionally, in the seed-based
analysis, we found higher connectivity between bilateral superior
frontal cortex and the temporal lobe, as well as bilateral
inferior parietal cortex with right calcarine and right lingual
cortex for the two goggle vs. screen conditions. Furthermore,
we found superior frontal cortex and insula/putamen to be
more strongly connected in stereoscopic vs. monoscopic view. When looking at the screen condition, we found higher brain designed with the goal to decrease negative affect and induce
the experience of flow in its players. To disentangle the effects
of presenting the visual stimuli via MRI-compatible goggles, we
compared the goggle stereoscopic and monoscopic condition
with the screen condition. We considered that the goggles,
which are mounted on the user’s head and have the ability to
display stereoscopic images, are objectively more immersive than
a back-projection of a Screen via a mirror system (Slater and
Wilbur, 1997) and therefore can elicit the sense of presence
(Gaebler et al., 2014). As in the back-projection of a screen,
the participant receives only 2D images and can still see the
scanner bore and oftentimes even the staff operating the scanner
next to the presented stimuli. In order to investigate differences
in functional brain connectivity during gaming induced by the
stereoscopic view, namely the fact that the image is rendered
separately for each eye creating the illusion of depth and 3D
effect, we contrasted the stereoscopic and monoscopic condition
directly. With the goal to obtain a comprehensive picture
of brain connectivity we chose four common approaches to
analyze resting state fMRI data, namely the assessment of the
amplitude of low frequency fluctuation (fALFF; Zou et al., 2008),
ICA (Calhoun et al., 2001), seed-based FC analysis and graph
analysis (Bullmore and Sporns, 2009). designed with the goal to decrease negative affect and induce
the experience of flow in its players. To disentangle the effects
of presenting the visual stimuli via MRI-compatible goggles, we
compared the goggle stereoscopic and monoscopic condition
with the screen condition. We considered that the goggles,
which are mounted on the user’s head and have the ability to
display stereoscopic images, are objectively more immersive than
a back-projection of a Screen via a mirror system (Slater and
Wilbur, 1997) and therefore can elicit the sense of presence
(Gaebler et al., 2014). Frontiers in Human Neuroscience | www.frontiersin.org Graph Analysis As in the back-projection of a screen,
the participant receives only 2D images and can still see the
scanner bore and oftentimes even the staff operating the scanner
next to the presented stimuli. In order to investigate differences
in functional brain connectivity during gaming induced by the
stereoscopic view, namely the fact that the image is rendered
separately for each eye creating the illusion of depth and 3D
effect, we contrasted the stereoscopic and monoscopic condition
directly. With the goal to obtain a comprehensive picture
of brain connectivity we chose four common approaches to
analyze resting state fMRI data, namely the assessment of the
amplitude of low frequency fluctuation (fALFF; Zou et al., 2008),
ICA (Calhoun et al., 2001), seed-based FC analysis and graph
analysis (Bullmore and Sporns, 2009). October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org Frontiers in Human Neuroscience | www.frontiersin.org 9 Forlim et al. Higher FC in VR Stereoscopic Rendering FIGURE 6 | Graph analysis. Betweenneess, transitivity, global efficiency, local efficiency and characteristic path length were calculated. ∗Means group differences
before multiple comparison correction (p < 0.05 uncorrected). Group differences were not significant after multiple comparison correction. obal efficiency, local efficiency and characteristic path length were calculated. ∗Means group differences
ed). Group differences were not significant after multiple comparison correction. FIGURE 6 | Graph analysis. Betweenneess, transitivity, global efficiency, local efficiency and characteristic path length were calc
before multiple comparison correction (p < 0.05 uncorrected). Group differences were not significant after multiple comparison c tweenneess, transitivity, global efficiency, local efficiency and characteristic path length were calculated. ∗Means group differences
ection (p < 0.05 uncorrected). Group differences were not significant after multiple comparison correction. FIGURE 6 | Graph analysis. Betweenneess, transitivity, global efficiency, local efficiency and characteristic path length were calculated. ∗Means group differences
before multiple comparison correction (p < 0.05 uncorrected). Group differences were not significant after multiple comparison correction. activity, that is higher fALFF values, in right superior orbital
frontal cortex. (Baumgartner et al., 2008) in adults. Moreover, when focusing on
connectivity between brain areas, the authors report the results
of an effective connectivity analysis from which they conclude
that the right DLPFC is involved in down-regulating the
activation in the dorsal visual processing stream. Graph Analysis Furthermore,
the authors interpret the observed increase of activity in the
dorsal visual stream during present experience as a sign of These results can be viewed as in line with the hypothesis
proposed by Jäncke et al. (2009) stating that PFC is involved in
the experience of presence. In particular bilateral dorsolateral
PFC (DLPFC) activity was shown to be negatively correlated
with the subjective report of the experience of presence October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 10 Higher FC in VR Stereoscopic Rendering Forlim et al. higher action preparation in the VR because the brain responds
to it similarly as in real-life situations (Jäncke et al., 2009). However, on the same dataset, the left DLPFC was shown
to be positively connected to brain regions that are part
of the default-mode network (such as medial PFC, anterior
cingulate cortex, thalamus, brain stem, nucleus caudatus and
parahippocampus). Due to the involvement of the latter brain
regions in self-referential processing the interpretation is that
higher left DLPFC activation when participants experience less
presence leads to an up-regulation of self-referential processing
which reflects the detachment from the VR experience. on a functional as well as a structural level. Our results show
that the majority of contrasts and FC indicators resulting from
different analysis pipelines reveal higher brain connectivity
between brain regions in the goggle condition and the
stereoscopic condition in particular, which we interpret as a hint
that training in VR environments in contrast to environments
displayed on a screen may be superior in eliciting and therewith
facilitating brain connectivity in intervention studies. At present, a major drawback of the implementation of VR in
an MRI environment is the fact that the VR experience is limited
to the stereoscopic input to the eyes without the experience
of movement in space. Usually, the stereoscopic view in VR is
accompanied by the fact that individuals can freely turn their
head and move in space while the visual input is adapted to
the individual’s movements. However, since the head cannot be
freely moved in the MRI scanner, due to its resulting movement
artifacts in the images, the actual differences in brain connectivity
between a VR and a screen presentation of an environment might
be underestimated. Graph Analysis Future research may attempt to use motion
tracking systems to enable this movement related visual feedback,
while at the same time correct for the occurring motion artifacts
in the acquired MRI images (Stucht et al., 2015). The limited field
of view and resolution of the MRI compatible goggles introduces
yet another limitation to such studies. As it can affect the level
of immersion for both monoscopic and stereoscopic conditions. Specifically, to the design of the present study, the question still
remains of whether and how frequently the participants noticed
the 3D effect when, for example, the bee was not flying close
enough to the virtual objects. In contrast to previous studies, in which the focus was on
the subjective feeling of presence and brain activity, we set
out to investigate differences in brain connectivity between
objectively different conditions of stimulation during gaming. A major disadvantage of the previous design, with exception of
one (Gaebler et al., 2014), was that the stimulation used to elicit
different degrees of presence was not the same. In addition, in
all of them, the participants were only passively watching the
displays. For this reason, we confronted participants with the
same interactive VR game in all three conditions with the only
difference being the hardware presentation procedures used to
display the respective environment. y
Our results can be viewed as being in line with the findings
and interpretations shown in association to perceived experience
of presence (Baumgartner et al., 2008; Jäncke et al., 2009),
since we also find more fALFF in right superior orbital frontal
cortex in the 2D screen condition compared to the two goggle
conditions. Next to these previous fMRI results our results can
also be perceived as in line with results from an EEG study
in which the same spatial navigation task in a virtual maze
was compared between a projections onto a large wall which
was supposedly more immersive than a display on a small
Desktop PC screen (Kober et al., 2012). The authors report
stronger FC between frontal and parietal brain regions in the
Desktop display condition. When it comes to comparing only
stereoscopic and monoscopic condition, our results differ from
Gaebler et al. (2014) in terms of brain areas. ETHICS STATEMENT The studies involving human participants were reviewed and
approved by the local psychological ethics committee of the
University Medical Center Hamburg-Eppendorf, Germany. The
patients/participants provided their written informed consent to
participate in this study. However, the rationale for the present study was slightly
different from the studies presented before. We set out to test
whether overall the stereoscopic VR presentation elicits higher
degrees of functional brain connectivity than monoscopic and a
screen display. Graph Analysis This fact cannot
be seen as a surprise considering that they investigated areas
that showed common brain activity across subjects by means
of the intersubject correlations, which were the temporal lobe,
right inferior occipital cortex and right precuneus, whereas we
focused on the connectivity between brain areas. Interestingly,
the direction of the contrast where differences were found was
the same in Gaebler et al. (2014) and in the present study:
stereoscopic > monoscopic, meaning that stereoscopic elicited
higher intersubject correlations as well as higher connectivity as
compared to monoscopic. DATA AVAILABILITY STATEMENT The datasets for this manuscript are not publicly available
because: it was not part of our ethics statement and therefore the
participants were not informed on the fact that the data would
be made public. However, the data can be obtained upon request. Requests to access the datasets should be directed to Prof. Dr. SK,
s.kuehn@uke.de. The data analysis pipelines are fully available
upon request. Frontiers in Human Neuroscience | www.frontiersin.org REFERENCES Lee, J. H., Lim, Y., Wiederhold, B. K., and Graham, S. J. (2005). A functional
magnetic resonance imaging (FMRI) study of cue-induced smoking craving
in virtual environments. Appl. Psychophysiol. Biofeedback 30, 195–204. doi: 10.1007/s10484-005-6377-z Baumgartner, T., Speck, D., Wettstein, D., Masnari, O., Beeli, G., and Jäncke, L. (2008). Feeling present in arousing virtual reality worlds: prefrontal brain
regions differentially orchestrate presence experience in adults and children. Front. Hum. Neurosci. 2:8. doi: 10.3389/neuro.09.008.2008 Power, J. D., Barnes, K. A., Snyder, A. Z., Schlaggar, B. L., and Petersen, S. E. (2012). Spurious but systematic correlations in functional connectivity MRI
networks arise from subject motion. Neuroimage 59, 2142–2154. doi: 10.1016/j. neuroimage.2011.10.018 Front. Hum. Neurosci. 2:8. doi: 10.3389/neuro.09.008.2008 Baumgartner, T., Valko, L., Esslen, M., and Jäncke, L. (2006). Neural correlate
of spatial presence in an arousing and noninteractive virtual reality: an EEG
and psychophysiology study. Cyberpsychol. Behav. 9, 30–45. doi: 10.1089/cpb. 2006.9.30 Rubinov, M., and Sporns, O. (2010). Complex network measures of brain
connectivity:
uses
and
interpretations. Neuroimage
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1059–1069. doi: 10.1016/j.neuroimage.2009.10.003 Beeli, G., Casutt, G., Baumgartner, T., and Jäncke, L. (2008). Modulating presence
and impulsiveness by external stimulation of the brain. Behav. Brain Funct. 4:33. doi: 10.1186/1744-9081-4-33 Slater, M., and Wilbur, S. (1997). A framework for immersive virtual environments
(FIVE): speculations on the role of presence in virtual environments. Presence Teleoper. Virtual Environ. 6, 603–616. doi: 10.1162/pres.1997. 6.6.603 Bohbot, V. D., Copara, M. S., Gotman, J., and Ekstrom, A. D. (2017). Low-
frequency theta oscillations in the human hippocampus during real-world and
virtual navigation. Nat. Commun. 8:14415. doi: 10.1038/ncomms14415 Slobounov, S. M., Ray, W., Johnson, B., Slobounov, E., and Newell, K. M. (2015). Modulation of cortical activity in 2D versus 3D virtual reality environments:
an EEG study. Int. J. Psychophysiol. 95, 254–260. doi: 10.1016/j.ijpsycho.2014. 11.003 Bullmore, E., and Sporns, O. (2009). Complex brain networks: graph theoretical
analysis of structural and functional systems. Nat. Rev. Neurosci. 10, 186–198. doi: 10.1038/nrn2575 Calhoun, V. D., Adali, T., Pearlson, G. D., and Pekar, J. J. (2001). A method for
making group inferences from functional MRI data using independent
component
analysis. Hum. Brain
Mapp. 14,
140–151. doi:
10.1002/
hbm.1048 Song, X. W., Dong, Z. Y., Long, X. Y., Li, S. F., Zuo, X. N., Zhu, C. Z., et al. (2011). REST: a toolkit for resting-state functional magnetic resonance imaging data
processing. PLoS One 6:e25031. doi: 10.1371/journal.pone.0025031 Stucht, D., Danishad, K. REFERENCES A., Schulze, P., Godenschweger, F., Zaitsev, M.,
and Speck, O. (2015). Highest resolution in vivo human brain MRI using
prospective motion correction. PLoS One 10:e0133921. doi: 10.1371/journal. pone.0133921 Csikszentmihalyi, M. (2014). Flow and The Foundations of Positive Psychology. Dordrecht: Springer. Dan, A., and Reiner, M. (2017). EEG-based cognitive load of processing events
in 3D virtual worlds is lower than processing events in 2D displays. Int. J. Psychophysiol. 122, 75–84. doi: 10.1016/j.ijpsycho.2016.08.013 Tzourio-Mazoyer, N., Landeau, B., Papathanassiou, D., Crivello, F., Etard, O.,
Delcroix, N., et al. (2002). Automated anatomical labeling of activations in SPM
using a macroscopic anatomical parcellation of the MNI MRI single-subject
brain. Neuroimage 15, 273–289. doi: 10.1006/nimg.2001.0978 Dores, A. R., Almeida, I., Barbosa, F., Castelo-Branco, M., Monteiro, L., Reis, M.,
et al. (2013). Effects of emotional valence and three-dimensionality of visual
stimuli on brain activation: an fMRI study. NeuroRehabilitation 33, 505–512. doi: 10.3233/NRE-130987 Zou, Q. H., Zhu, C. Z., Yang, Y., Zuo, X. N., Long, X. Y., Cao, Q. J., et al. (2008). An improved approach to detection of amplitude of low-frequency fluctuation
(ALFF) for resting-state fMRI: fractional ALFF. J. Neurosci. Methods 172,
137–141. doi: 10.1016/j.jneumeth.2008.04.012 Gaebler, M., Biessmann, F., Lamke, J., Müller, K., Walter, H., and Hetzer, S. (2014). Stereoscopic depth increases intersubject correlations of brain
networks. Neuroimage
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427–434. doi:
10.1016/j.neuroimage.2014. 06.008 Conflict of Interest: The authors declare that the research was conducted in the
absence of any commercial or financial relationships that could be construed as a
potential conflict of interest. Conflict of Interest: The authors declare that the research was conducted in the
absence of any commercial or financial relationships that could be construed as a
potential conflict of interest. Havranek, M., Langer, N., Cheetham, M., and Jäncke, L. (2012). Perspective
and agency during video gaming influences spatial presence experience
and brain activation patterns. Behav. Brain Funct. 8:34. doi: 10.1186/1744-
9081-8-34 Copyright © 2019 Forlim, Bittner, Mostajeran, Steinicke, Gallinat and Kühn. This
is an open-access article distributed under the terms of the Creative Commons
Attribution License (CC BY). The use, distribution or reproduction in other forums
is permitted, provided the original author(s) and the copyright owner(s) are credited
and that the original publication in this journal is cited, in accordance with accepted
academic practice. No use, distribution or reproduction is permitted which does not
comply with these terms. Jäncke, L., Cheetham, M., and Baumgartner, T. (2009). FUNDING The study has been funded by a grant of the German
Science Foundation (SFB 936/C7). SK has been additionally
funded
by
the
German
Science
Foundation
(Deutsche
Forschungsgemeinschaft, DFG KU 3322/1-1), the European
Union
(European
Research
Council,
ERC-2016-StG-
Self-Control-677804)
and
a
Fellowship
from
the
Jacobs The study has been funded by a grant of the German
Science Foundation (SFB 936/C7). SK has been additionally
funded
by
the
German
Science
Foundation
(Deutsche
Forschungsgemeinschaft, DFG KU 3322/1-1), the European
Union
(European
Research
Council,
ERC-2016-StG-
Self-Control-677804)
and
a
Fellowship
from
the
Jacobs The study has been funded by a grant of the German
Science Foundation (SFB 936/C7). SK has been additionally
funded
by
the
German
Science
Foundation
(Deutsche
Forschungsgemeinschaft, DFG KU 3322/1-1), the European
Union
(European
Research
Council,
ERC-2016-StG-
Self-Control-677804)
and
a
Fellowship
from
the
Jacobs ACKNOWLEDGMENTS We thank Maxi Becker and Karolin Ney for helping in the data
acquisition and recruiting process. AUTHOR CONTRIBUTIONS LB, FM, and FS: game development. JG and SK: experimental
conception and design. CF and LB: data acquisition. CF and SK:
data analysis. CF, LB, FM, FS, JG, and SK: manuscript writing
and revision. Our hypothesis was that the condition that elicits the most
brain connectivity should be most suited for long-term brain
training interventions, assuming that extended training under
these conditions could permanently improve brain connectivity October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 11 Forlim et al. Higher FC in VR Stereoscopic Rendering Foundation (JRF 2016-2018). For this work, FS and FM were
partially funded by the German Science Foundation and the
European Union. REFERENCES Virtual reality and the
role of the prefrontal cortex in adults and children. Front. Neurosci. 3, 52–59. doi: 10.3389/neuro.01.006.2009 Kober, S. E., Kurzmann, J., and Neuper, C. (2012). Cortical correlate of
spatial presence in 2D and 3D interactive virtual reality: an EEG study. Int. J. Psychophysiol. 83, 365–374. doi: 10.1016/j.ijpsycho.2011.12.003 October 2019 | Volume 13 | Article 365 Frontiers in Human Neuroscience | www.frontiersin.org 12
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Seismic Reflection Analysis of AETA Electromagnetic Signals
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applied
sciences
Article
Seismic Reflection Analysis of AETA Electromagnetic Signals
Zhenyu Bao 1 , Shanshan Yong 2, *, Xin’an Wang 1, *, Chao Yang 1 , Jinhan Xie 1 and Chunjiu He 1
1
2
*
Citation: Bao, Z.; Yong, S.; Wang, X.;
Yang, C.; Xie, J.; He, C. Seismic
Reflection Analysis of AETA
Electromagnetic Signals. Appl. Sci.
2021, 11, 5869. https://doi.org/
The Key Laboratory of Integrated Microsystems, Peking University Shenzhen Graduate School,
Shenzhen 518055, China; 1901213009@pku.edu.cn (Z.B.); 1801213329@pku.edu.cn (C.Y.);
xiejinhan0428@pku.edu.cn (J.X.); hechunjiu@pku.edu.cn (C.H.)
Engineering Department, Shenzhen MSU-BIT University, Shenzhen 518055, China
Correspondence: yongshanshan@pku.edu.cn (S.Y.); anxinwang@pku.edu.cn (X.W.); Tel.: +86-0755-2603-3003 (S.Y.)
Abstract: Acoustic and electromagnetics to artificial intelligence (AETA) is a system used to predict
seismic events through monitoring of electromagnetic and geoacoustic signals. It is widely deployed
in the Sichuan–Yunnan region (22◦ N–34◦ N, 98◦ E–107◦ E) of China. Generally, the electromagnetic
signals of AETA stations near the epicenter have abnormal disturbances before an earthquake. When
a significant decrease or increase in the signal is observed, it is difficult to quantify this change using
only visual observation and confirm that it is related to an upcoming large earthquake. Considering
that the AETA data comprise a typical time series, current work has analyzed the anomalism of
AETA electromagnetic signals using the long short-term memory (LSTM) autoencoder method to
prove that the electromagnetic anomaly of the AETA station can be regarded as an earthquake
precursor. The results show that there are 2–4% anomalous points and some outliers exceeding 0.7
(after normalization) in the AETA stations within 200 km of the epicenter of the Jiuzaigou earthquake
(M. 7.0) and the Yibin earthquake (M. 6.0) half a month before the earthquakes. Therefore, the
AETA electromagnetic disturbance signal can be used as an earthquake precursor and for further
earthquake prediction.
Keywords: AETA; anomaly detection; LSTM autoencoder; earthquake precursor; unsupervised learning
10.3390/app11135869
Academic Editors:
Sławomir Nowaczyk,
Mohamed-Rafik Bouguelia and
Hadi Fanaee
Received: 2 June 2021
Accepted: 22 June 2021
Published: 24 June 2021
Publisher’s Note: MDPI stays neutral
with regard to jurisdictional claims in
published maps and institutional affiliations.
Copyright: © 2021 by the authors.
Licensee MDPI, Basel, Switzerland.
This article is an open access article
distributed under the terms and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/).
1. Introduction
Before a large earthquake (M. > 6.0) occurs, there are many abnormal phenomena
related to the earthquake which are called earthquake precursors. The International
Association of Seismology and Physics of the Earth’s Interior (IASPEI) has a subcommittee
that developed a list of such precursors, namely seismic quiescence, a decrease in radon
concentration, other geochemical phenomenon, and changes in ground water levels [1].
Precursor phenomena not included in the IASPEI list have also been confirmed as potential
earthquake prediction tools, such as anomalous electromagnetic field changes, abnormal
animal behavior, and fault creep or continuous strain. With the improvement of computer
computing performance, many data analysts have attempted to utilize earthquake-related
signals with machine learning or deep learning models for earthquake prediction or
warning. However, it is necessary to establish that the signal anomaly is related to seismic
activities before using algorithms to analyze the signal.
The correlation analysis between seismic precursors and earthquake activities has
always attracted the attention of geophysicists, geologists, and data analysts. Precursor
signals with great correlation have stronger interpretability and even better performance
in downstream tasks such as earthquake early warning. Some animals have evolved to
develop a vibration-triggered early warning response, as outlined by Kirschvink, which
acts in the short time interval between the arrival of P and S waves [2]. Kulahci utilized time
series analysis to determine that stress accumulation preceding the earthquake could cause
the radon anomaly [3]. Han, P. et al., who used a method named superposed epoch analysis
(SEA), observed that the ULF geomagnetic anomalies are more likely seen 6–15 days before
Appl. Sci. 2021, 11, 5869. https://doi.org/10.3390/app11135869
https://www.mdpi.com/journal/applsci
Appl. Sci. 2021, 11, 5869
2 of 16
sizeable earthquake events (Es ≥ 108) [4]. The moving median method was used in total
electron content (TEC), land surface temperature (LST), and aerosol optical depth (AOD)
analysis, and the result in Sekertekin’s study confirmed that those data are important
potential precursors for earthquake prediction [5]. Genzano, N. executed a correlation
analysis between significant sequences of thermal anomalies (SSTAs) and M. ≥ 6 Japanese
earthquakes by using robust satellite techniques (RSTs), which address the constraints
concerning space, time, and magnitude [6].
Many such methods have been used in the correlation analysis of seismic precursors.
The LSTM autoencoder (LAE) is an unsupervised neural network that analyzes the anomaly
information of the original data by reconstructing it, and this approach is often used for
anomaly detection of temporal series. Feng et al. used the autoencoder method to explore
the latent space distribution without anomaly analysis from past seismic events, which was
used as input for a subsequent earthquake prediction model [7]. Paul, S. et al. developed
an unsupervised model using the LAE algorithm to mimic the daily activities of employees
to detect anomalous employee behavior of a community [8]. The algorithm was also
used to evaluate 12 representative types of anomalies from 1555 robot-assisted feeding
executions by Park’s team, and, compared with five baseline detectors, the LAE achieved
the best performance [9]. Hashimoto, S. et al. utilized the LAE method to prevent industrial
accidents by taking the sequential skeleton map as the input [10]. LSTM autoencoder
and one-class support vector machines were combined by researchers in synthetic data
and real data of fashion retail, which comprised a multivariate time series, to detect
anomalies; the obtained results led to better performance compared to other machine
learning methods [11]. Khan et al. proposed a hybrid intelligent intrusion detection system,
which was developed using the Spark MLlib and an LSTM autoencoder deep learning
approach; the simulation results significantly outperformed existing intrusion detection
approaches for the ISCX-UNB dataset [12]. A combination of LSTM and variational AE
was used in Kim’s research, which can diagnose abnormal network situations as well
as ensure that the credibility of the diagnosis is estimated via the anomaly score-based
negative log-likelihood [13]. Due to the timing of AETA electromagnetic signals, the aim of
the present study was to confirm, using the LAE algorithm, that the AETA station has an
abnormal electromagnetic disturbance before the earthquake, which can be considered as
an earthquake precursor. The signals have the potential to be used as a tool for researchers
to predict earthquakes.
In Section 2, we introduce the detailed parameters of the AETA equipment developed by our laboratory and the deployment of AETA stations in Sichuan and Yunnan.
In Section 3, the method of LAE and interquartile range (IQR) and the construction of
input samples are described. Section 4 describes the analysis of specific earthquake cases.
Afterwards, the research work of this article is summarized in the Conclusions.
2. AETA System
Acoustic and electromagnetics to artificial intelligence (AETA) is a system designed
by the IMS Laboratory of Peking University for earthquake monitoring and prediction. It
consists of an underground signal acquisition probe, a ground data processing terminal,
a monitoring cloud platform, and a data analysis system, as shown in Figure 1. The
underground part contains electromagnetic and geoacoustic sensor probes, which are
utilized to collect electromagnetic and geoacoustic signals in real time. First, the collected
data are transmitted to the terminal with the function of data processing on the ground.
Processed data are then received by the monitoring cloud platform through the network
for further analysis by the researchers [14].
This article focuses on the anomaly analysis of an impending earthquake based on
AETA electromagnetic data. The design of the AETA electromagnetic sensor is similar to
that of the search-coil magnetometer instrument (IMSC) on the French DEMETER and
that on the Chinese electromagnetic satellite, based on Faraday’s electromagnetic theory.
The induced electromotive force obtained from the magnetic field changing in the vertical
Appl. Sci. 2021, 11, 5869
3 of 16
direction is inputted into the front-end signal processing circuit for amplification, and is
then filtered and processed via digital-to-analog conversion (DAC). The processed signal
passes through the back-end acquisition circuit, which has a strong processing speed,
STM32F407 as the control unit, and a W5300 high-speed Ethernet communication interface
chip as the data transmission module to meet the needs of real-time detection. The parameters of the electromagnetic sensor are as follows: the electromagnetic probe monitors
0.1 Hz~10 kHz, covering very low frequency and ultra-low frequency electromagnetic
bands with a wide dynamic range of 0.1~1000 nT. The device has an 18-bit resolution, a sensitivity of >20 mV/nT@ 0.1 Hz–10 kHz, and a noise level of 0.1–0.2 pT/Hz@ (10 Hz–1 kHz).
Appl. Sci. 2021, 11, x FOR PEER REVIEW
3 of of
16
It has a low frequency sampling rate of 500 Hz and a full frequency sampling rate
30 kHz [15].
Figure 1. Block diagram of AETA system.
So far,
the IMS
laboratory
has installed
more
200 AETAearthquake
devices nationwide,
This
article
focuses
on the anomaly
analysis
ofthan
an impending
based on
◦ N, 98◦ E–107◦ E).
and 150
of them are in data.
the regions
of Sichuan
and Yunnan
(22◦ N–34sensor
AETA
electromagnetic
The design
of the AETA
electromagnetic
is similar to
The reason
for this is that
this area has
high incidence
and more than
that
of the search-coil
magnetometer
instrument
(IMSC)ofonearthquakes,
the French DEMETER
and
200
earthquakes
with
a
magnitude
of
3.5
or
higher
have
occurred
there
since
2017,theory.
which
that on the Chinese electromagnetic satellite, based on Faraday’s electromagnetic
requires
further
investigation.
distribution
of magnetic
all stations
in 4Sichuan
and
Yunnan
is
The
induced
electromotive
forceThe
obtained
from the
field
changing
in the
vertical
Appl. Sci. 2021, 11, x FOR PEER REVIEW
of 16
shown
in
Figure
2.
direction is inputted into the front-end signal processing circuit for amplification, and is
then filtered and processed via digital-to-analog conversion (DAC). The processed signal
passes through the back-end acquisition circuit, which has a strong processing speed,
STM32F407 as the control unit, and a W5300 high-speed Ethernet communication interface chip as the data transmission module to meet the needs of real-time detection. The
parameters of the electromagnetic sensor are as follows: the electromagnetic probe monitors 0.1 Hz~10 kHz, covering very low frequency and ultra-low frequency electromagnetic
bands with a wide dynamic range of 0.1~1000 nT. The device has an 18-bit resolution, a
sensitivity of >20 mV/nT@0.1 Hz–10 kHz, and a noise level of 0.1–0.2 pT/Hz@ (10 Hz–1
kHz). It has a low frequency sampling rate of 500 Hz and a full frequency sampling rate
of 30 kHz [15].
So far, the IMS laboratory has installed more than 200 AETA devices nationwide, and
150 of them are in the regions of Sichuan and Yunnan (22° N–34° N, 98° E–107° E). The
reason for this is that this area has high incidence of earthquakes, and more than 200 earthquakes with a magnitude of 3.5 or higher have occurred there since 2017, which requires
further investigation. The distribution of all stations in Sichuan and Yunnan is shown in
Figure 2.
Figure 2. AETA stations located in Sichuan–Yunnan area.
Figure 2. AETA stations located in Sichuan–Yunnan area.
3. Algorithm and Sample Extraction
3.1. Anomalies of Electromagnetic Signals before the Earthquake
The analyzed cases were selected from earthquakes (M. > 6.0) in the target area (22°
N–34° N, 98° E–107° E) in recent years:
1.
On 8 August 2017, a magnitude 7.0 earthquake occurred in Jiuzhaigou County, Aba
Appl. Sci. 2021, 11, 5869
4 of 16
3. Algorithm and Sample Extraction
3.1. Anomalies of Electromagnetic Signals before the Earthquake
The analyzed cases were selected from earthquakes (M. > 6.0) in the target area
(22◦ N–34◦ N, 98◦ E–107◦ E) in recent years:
1.
2.
On 8 August 2017, a magnitude 7.0 earthquake occurred in Jiuzhaigou County, Aba
Prefecture, Northern Sichuan Province. Figure 3 shows the changes of the electromagnetic disturbance signal of the AETA stations near the epicenter;
On 17 June 2019, a magnitude 6.0 earthquake occurred in Changning County, Yibin
City, Sichuan Province. Figure 4 shows the changes in electromagnetic disturbance
signals of the AETA stations near the epicenter.
3
Figure 3. Electromagnetic signals from three stations near the Jiuzhaigou earthquake.
3
4
4
Figure
4. Electromagnetic signals from three stations near the Yibin earthquake.
The red line at the top of the figure indicates the main shock and the aftershocks
that followed.
It can be seen from Figures 3 and 4 that there are some signal anomalies before
the earthquakes, and we argue that the abnormal change is related to the occurrence of
earthquakes. It is difficult to quantify such anomalies directly from manual observations,
and there may be other undetectable changes 2in addition to this obvious information. These
subtle anomalies mixed with abnormal disturbances
are difficult to detect with the naked
2
Appl. Sci. 2021, 11, 5869
5 of 16
eye. Therefore, a lot of potentially abnormal information will be lost directly through
simple observation. In order to discover the hidden information, we chose the LSTM
autoencoder model to capture anomalies.
3.2. LAE and IQR Method
The autoencoder (AE) is an unsupervised neural network that aims to learn the
reconstruction close to its original input. In general, it consists of two parts, an encoder
network and a decoder network. The encoder reduces the dimension of the input vector
x ∈ Rm and compresses it to the hidden vector h ∈ Rn (n < m), and then the decoder
raises the dimension of the obtained hidden vector h and maps it back to the original input
space to obtain the reconstructed vector x̂ ∈ Rm . The difference between the original input
vector x and the reconstructed vector x̂ is called the reconstruction error L( x, x̂ ) [16]. The
autoencoder updates the weight of the network by minimizing the reconstruction error L:
L=
1
k x − x̂ k2
2∑
x
(1)
The role of the autoencoder is not just to simply copy the input to the output. By
constraining the latent space to have a smaller dimension than the input, i.e., n < m, the
autoencoder is forced to learn the most salient features of the training data [17]. In other
words, the autoencoder has a significant function in that it can find the regular or general
pattern of the input data by reconstructing it.
Common autoencoders include the vanilla autoencoder [18], the convolutional autoencoder [19], the regularized autoencoder [20], and the LSTM autoencoder (LAE). As a
form of sensor monitoring data, the AETA electromagnetic signal is a typical time series.
The ability of LSTM to learn the patterns of long data makes it suitable for time series
prediction or anomaly detection, and it is often used to capture the time dependence
in multivariate data and determine whether data are out of distribution in a long time
series. [21] In an LAE, both the encoder and decoder are LSTM networks. On the one hand,
the fixed number of hidden units limit the model to learning the trivial mapping of the
input; on the other hand, the same LSTM operation is performed recursively on the learned
representation at any stage of decoding, which further hinders the model from learning the
original mapping. This also explains why the LAE algorithm can achieve a reconstructed
signal that presents almost all the input information but with a representation no better
than the input [22]. The structure of the AE and LAE is shown as Figure 5.
The LAE created for AETA electromagnetic anomaly monitoring had two units corresponding to the encoding and decoding parts. The encoder consists of an LSTM layer with
a size of 100 and a repeating module that is used to increase the dimension of the vector
output by the former. There is also an LSTM layer and a flatten layer, which are used to
transform the hidden layer vector from the encoder into reconstruction sequences with the
same dimension as the input. The activation function applied for the LAE model was ReLU,
which is based on a trial and error validation. We chose the Adam optimization as the
optimizer and the mean square error (MSE) shown in Formula (1) as the loss function. The
training data were shuffled for every epoch, and each station was trained for a sufficient
number of epochs, about 200. The learning rate was initialized to 0.001. The weight decay
was set to 0.005 and the dropout at 0.5, for all layers. The model stopped training data
when the loss of validation set did not decrease for 50 consecutive generations.
Quartiles were always used to draw box plots in statistics; that is, all values were
arranged from small to large and divided into four equal parts. The value at the position of
the three division points is the quartile. Interquartile range (IQR) is a method in descriptive
statistics that represents a set of data arranged in order, as well as the difference between
the upper quartile Q3 and the lower quartile Q1 [23]. When the IQR method is utilized for
Appl. Sci. 2021, 11, 5869
words, the autoencoder has a significant function in that it can find the regular or general
pattern of the input data by reconstructing it.
Common autoencoders include the vanilla autoencoder [18], the convolutional autoencoder [19], the regularized autoencoder [20], and the LSTM autoencoder (LAE). As a
6 of 16
form of sensor monitoring data, the AETA electromagnetic signal is a typical time series.
The ability of LSTM to learn the patterns of long data makes it suitable for time series
prediction or anomaly detection, and it is often used to capture the time dependence in
multivariate data and determine whether data are out of distribution in a long time series.
the monitoring of abnormal phenomena, the outliers are usually defined as values less
[21]
an LAE,
both the
encoder
decoder
are LSTM
networks. On the one hand, the
thanIn
Qlower
or greater
than
Qupper ,and
as the
following
formula:
fixed number of hidden units limit the model to learning the trivial mapping of the input;
on the other hand, the same LSTM operation
recursively on the learned repIQR = Qis3 performed
− Q1
(2)
resentation at any stage of decoding, which further hinders the model from learning the
Qlower
Q1 LAE
− 1.5IQR
(3)
original mapping. This also explains
why=the
algorithm can achieve a reconstructed
signal that presents almost all the input information but with a representation no better
Q
= Q3 + 1.5IQR
(4)
than the input [22]. The structure ofupper
the AE and
LAE is shown as Figure 5.
autoencoder
andand
LSTM
autoencoder.
(a) Autoencoder
model;model;
(b) LSTM
Figure 5.
5. The
Thestructure
structureofofthethe
autoencoder
LSTM
autoencoder.
(a) Autoencoder
(b)
LSTM
autoencoder
autoencoder
model.model.
The LAE
reason
for the
robustness
of IQR is that anomaly
up to 25%
of the datahad
cantwo
become
The
created
for
AETA electromagnetic
monitoring
units arbicortrarily
distanced
without
greatly
disturbing
Q
or
Q
so
that
outliers
cannot
affect
this
3 The 1encoder consists of an LSTM layer
responding to the encoding and decoding parts.
standard
[24].
with
a size
of 100 and a repeating module that is used to increase the dimension of the
vector output by the former. There is also an LSTM layer and a flatten layer, which are
3.3. Sample Construction
used to transform the hidden layer vector from the encoder into reconstruction sequences
AETAdimension
signal is highly
time, the
quantity
of data
large,
the
with The
the same
as the correlated
input. Thewith
activation
function
applied
foristhe
LAEand
model
information
contained
in
a
single
point
is
insufficient.
It
is
difficult
for
analysts
who
directly
was ReLU, which is based on a trial and error validation. We chose the Adam optimization
observe
signals or
utilize
machine
learning
methods
to process
data(1)
to as
obtain
valuable
as
the optimizer
and
the mean
square
error (MSE)
shown
in Formula
the loss
funcinformation,
and
they
are
likely
to
fall
into
a
dilemma
that
they
cannot
resolve.
tion. The training data were shuffled for every epoch, and each station was trained for a
sufficient number of epochs, about 200. The learning
rate was initialized to 0.001. The
1 n
weight decay was set to 0.005 and thexdropout
= ∑ at
xi 0.5, for all layers. The model stopped
(5)
n i =1
n represents the total number of AETA electromagnetic data for half an hour.
We selected the electromagnetic disturbance data from 10 June 2017 to 10 December
2020, and, through the above formula, we obtained the average value of electromagnetic
granularity data for 30 min. After that, the sliding window of the feature data processed
from the AETA electromagnetic sensor was used as the input sequence, and the label
had the same nature as the input with the size of 48, which was used to train the model
more accurately, expand the training samples, and seek the abnormal information of the
electromagnetic signal. Generally, since there are mostly samples with small magnitudes
and too few instances with high magnitudes, it is necessary to consider how to handle
class imbalance when performing earthquake prediction or magnitude classification tasks.
However, the current study is an anomaly analysis of the AETA signal before the large
earthquake, and there is no problem of sample imbalance. The sliding window method is
shown in Figure 6, and a total of 58,302 samples were obtained.
Appl. Sci.
Sci. 2021,
2021, 11,
11, x5869
Appl.
FOR PEER REVIEW
16
8 7ofof 16
Figure 6.
6. The
Thesliding
slidingwindow
windowmethod
method used
used to
to obtain
obtain samples.
samples.
Figure
4. Results
Results
4.
4.1. Seismic Case Analysis
4.1. Seismic Case Analysis
During the period from 10 June 2017 to 10 December 2020, 92 earthquakes with
During the period from 10 June 2017 to 10 December 2020, 92 earthquakes with magmagnitudes above 4.0 occurred in the target area (22◦ N–34◦ N, 98◦ E–107◦ E) selected in
nitudes above 4.0 occurred in the target area (22° N–34° N, 98° E–107° E) selected in this
this study. Two earthquakes with a magnitude over 6.0 were chosen for this study through
study. Two earthquakes with a magnitude over 6.0 were chosen for this study through
analyzing the outliers of the difference between reconstructed and original series to verify
analyzing the outliers of the difference between reconstructed and original series to verify
that the abnormal AETA data can reflect an impending large earthquake. The epicenter of
that the abnormal AETA data can reflect an impending large earthquake. The epicenter of
two major earthquakes and nearby stations is shown in Figure 7.
two major earthquakes and nearby stations is shown in Figure 7.
4.1.1. Analysis of Jiuzhaigou M. 7.0 Earthquake
When the Jiuzhaigou M. 7.0 earthquake occurred, there were six effective AETA monitoring stations within 200 km of the epicenter. Table 1 shows the location and installation
date of stations within 200 km of the earthquakes. Figure 8 shows the fitting effect of the
LAE on the electromagnetic data of JZG and SP stations half a month before and one week
after the earthquake. Figure 9 shows the curve fitted by the model on a specific day with or
without anomalies, which can show the fitting ability of the model more clearly.
From Figures 8 and 9, it can be seen that the LAE algorithm has an excellent ability to
reconstruct time series data, which can fit the rising or falling trend of original data well.
Figure 8 shows that both stations showed anomalous phenomena before the earthquake
day (8 August). The anomalies gradually disappeared, and the deviation value tended
to be stable after that day. In particular, the JZG station showed some abnormalities on
1 August and 3 August, and the SP stations showed strong abnormalities on 31 July and
1 August. At other times, the difference between the reconstructed and the raw value was
within the normal range. From the detailed diagram of a single day, the model shows a
strong fitting ability and can reconstruct the input data well, while it can no longer find the
trend of the data, showing a larger deviation from the original input.
In order to enhance the robustness of the conclusion, we counted the number of
outliers in all six stations before and after the earthquake, so that the anomalies of each
station appear more intuitively in mathematical statistics. The abnormal points are defined
as follows:
(
0, i f |y − ŷ| ≤ yupper
∆y =
(6)
y
−
ŷ
ŷ| > ystations.
|
|, i fand
|y −nearby
upper
Figure 7. The epicenter of two major earthquakes
(a) Jiuzhaigou M. 7.0; (b)
Yibin
whereM.y 6.0.
and ŷ represent the input and reconstructed data point, respectively. The deviation
is ∆y, and the IQR threshold value is yupper . When ∆y > 0, the point belongs to an abnormal
4.1.1.
of Jiuzhaigou
M.the
7.0point
Earthquake
point.Analysis
Otherwise,
we consider
as a normal point. If the point ∆y > 0.7, the point
When
the Jiuzhaigou
M.at7.0
thereresults
were are
sixshown
effective
AETA2.
belongs
to “outliers
over 0.7”
theearthquake
same time. occurred,
The statistical
in Table
monitoring
200
the epicenter.
Table 1 shows
and instalIt can stations
be seen within
in Table
2 km
that,ofbefore
the earthquake,
aboutthe
2%location
of the points
had
lation
date ofAmong
stationsthem,
within
200stations
km of the
Figure
8 shows
effect
anomalies.
MX
hadearthquakes.
the most total
outliers,
and,the
forfitting
the class
of
of the LAE on the electromagnetic data of JZG and SP stations half a month before and
Appl. Sci. 2021, 11, 5869
5
8 of 16
outliers exceeding 0.7, SP showed the most with two points. There were only six abnormal
points in QCX with no value exceeding 0.7. In summary, before the Jiuzhaigou earthquake,
the electromagnetic data of all the AETA stations showed abnormal disturbances, and
that the number of anomalous points was irrelevant to the distance from the station to
the epicenter. The reason may be that the electromagnetic waves received by different
stations contain different seismic information that depends on geological structure when
the electromagnetic data are propagated underground.
Figure 7. The epicenter of two major earthquakes and nearby stations. (a) Jiuzhaigou M. 7.0; (b) Yibin M. 6.0.
Table 1. AETA Station within 2003 km of the Jiuzhaigou epicenter.
No.
Station
Installation
Location
Epicenter Distance
—
Epicenter
—
33.20◦ N, 103.82◦ E
0
1
JZG
10 June 2017
33.25◦
E
40 km
2
SP
12 June 2017
32.65◦ N, 103.60◦ E
64 km
8 June 2017
32.41◦
7 June 2017
32.59◦
13 June 2017
31.69◦
13 June 2017
31.48◦
3
4
5
6
PW
QC
MX
WC
N,
104.24◦
N,
104.55◦
E
111 km
N,
105.23◦
E
147 km
N,
103.85◦
E
167 km
N,
103.59◦
E
192 km
Appl. Sci. 2021, 11, 5869
9 of 16
4.1.2. Analysis of Yibin M. 6.0 Earthquake
7
8
When the Yibin M. 6.0 earthquake occurred, there were more than 30 AETA monitoring
stations within 200 km of the epicenter, 27 of which were operating normally and had
robust data. Table 3 shows the location and installation date of stations within 200 km of
the earthquakes. Figure 10 shows the abnormal values after LAE fitting, which can more
intuitively show the abnormality before and after the earthquake.
Figure 8. Electromagnetic disturbance, fitting vector and reconstruction deviation in JZG and SP stations.
Figure 10 shows the statistical abnormal points at the PSFR, GAX and MBXB stations.
Among them, IQR − Diff refers to ∆y in Formula (6), and IQR − Prop is the abnormal point
obtained after we normalized the outlier and recalculated the IQR anomaly. We can see
that some stations exhibited anomalies before the earthquake in the first and last pictures
in Figure 10, and the middle section shows that some stations have abnormal data after the
earthquake. The number or amplitude of the outliers obtained by Diff and Prop are similar,
which further demonstrates the robustness of the method of extracting anomalies from the
results of LAE processing. The IQR-Prop calculation method is defined as follows:
ymin = min( xn )
(7)
ymax = max ( xn )
(8)
y=
(a)
9
4
∆y − ymin
ymax − ymin
(b)
(9)
Appl. Sci. 2021, 11, 5869
10 of 16
(
∆y Prop =
8
i f y ≤ yupper
i f y > yupper
0,
y,
(10)
where xn is the deviation series of LAE input and output, y is the normalized result of xn ,
yupper is the IQR anomaly threshold calculated after the sequence is standardized, and the
anomaly value is ∆y Prop . The number of abnormal points at each station is shown in Table 4.
(a)
(b)
Figure 9. A detailed fitted curve for one day. (a) The fitting curve without anomalies; (b) the fitting curve with anomalies.
9
Table 2. Station abnormal points before the Jiuzhaigou earthquake.
No.
Station
Abnormal Points
Outliers over 0.7
Total Points
Epicenter Distance
4
1
JZG
16
0
1152
40 km
2
SP
17
2
1152
64 km
3
PWX
12
0
1152
111 km
4
QCX
6
0
1152
147 km
5
MX
45
1
1152
167 km
6
WC
12
0
1152
192 km
4.2. Comparison with Principal Component Analysis (PCA) Method
PCA is a method widely used in the field of data mining and data analysis. It has
the advantages of separating different signals and effectively identifying relatively weak
signals and can be used for pre-earthquake electromagnetic disturbance analysis and total
electron content (TEC) anomaly detection [25–27]. Therefore, we compared the results of
the anomaly analysis of the Jiuzhaigou earthquake with those of the LAE using the PCA
method. The results of the PCA are shown in Figure 11.
Figure 11 shows the thermogram of the abnormal values of each monitoring station
from 1 August 2017 to 31 August 2017. The abscissa and the ordinate represent date
and time, respectively. It can be seen from the figure that 5 days before the earthquake a
continuous anomaly band with an increasing level of abnormality appeared at the JZG
monitoring station at 5 ∼ 6 o’clock, and that the value of the abnormal points exceeded two
in the 2 days before the earthquake, which was significantly higher than the other historical
abnormal points in the background. The outlier point appeared at 21 ∼ 22 o’clock on the
day of the earthquake, which means that the anomaly degree of the electromagnetic data
at this time is greater than that at other times of the day. After the earthquake, the anomaly
degree weakened generally, and the abnormal band appeared again at 5 ∼ 6 o’clock and
lasted 15 days. However, other monitoring stations near the seismic epicenter have a
Appl. Sci. 2021, 11, 5869
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relatively small degree of anomaly, and their thermograms do not constitute a continuous
band anomaly.
Table 3. AETA Station within 200 km of the Yibin epicenter.
No.
Station
Installation
Location
Epicenter Distance
—
Epicenter
12 December 2017
28.34◦ N, 104.90◦ E
0
1
2
3
GOX
GAX
YBYX
13 January 2017
28.38◦
13 March 2017
28.44◦
12 December 2017
29.03◦
28.71◦
N,
104.79◦
E
11 km
N,
104.51◦
E
39 km
N,
104.56◦
E
83 km
N,
104.15◦
4
PSFR
12 December 2017
E
84 km
5
ZGDA
21 August 2017
29.38◦ N, 104.78◦ E
115 km
6
MC
11 June 2017
28.96◦ N, 103.90◦ E
119 km
11 October 2018
28.83◦
12 October 2018
28.71◦
8 June 2017
29.21◦
7
8
9
MBXB
MBMZ
JWX
N,
103.73◦
E
126 km
N,
103.64◦
E
129 km
N,
103.94◦
E
134 km
N,
103.59◦
10
MBJS
9 October 2018
28.78◦
E
137 km
11
YJX
11 October 2018
28.70◦ N, 103.52◦ E
140 km
16 October 2018
28.83◦
10 October 2018
28.71◦
12 October 2018
28.99◦
21 August 2017
28.99◦
12
13
14
15
MB
YFZ
MBRD
DZB
N,
103.54◦
E
143 km
N,
103.46◦
E
146 km
N,
103.59◦
E
146 km
N,
103.47◦
E
157 km
N,
103.72◦
16
ZT
21 August 2017
27.32◦
E
162 km
17
SKH
1 August 2018
28.88◦ N, 103.35◦ E
162 km
9 October 2018
29.65◦
1 August 2018
29.58◦
9 October 2018
29.42◦
22 August 2017
27.24◦
18
19
20
21
JY
LSS
LSSW
LD
N,
104.06◦
E
166 km
N,
103.75◦
E
177 km
N,
103.55◦
E
177 km
N,
103.55◦
E
180 km
N,
103.25◦
22
EB
11 April 2017
29.23◦
E
188 km
23
GQZ
1 August 2018
29.52◦ N, 103.43◦ E
194 km
5 June 2017
29.59◦
12 December 2017
29.84◦
1 August 2018
29.58◦
24
25
26
EMS
QSX
HWZ
N,
103.50◦
E
194 km
N,
103.85◦
E
195 km
N,
103.43◦
E
198 km
In short, compared with the PCA method, the LAE can be used to observe the anomaly
time and amplitude of the station more intuitively and conveniently. At the same time, in
terms of the ability to identify seismic anomalies, the LAE method is robust. For example,
for stations such as SP, it can capture anomalies not found by the PCA method. Therefore,
the LAE is more suitable for anomaly analysis of AETA data before earthquakes.
Appl. Sci. 2021, 11, 5869
10
12 of 16
Figure 10. The abnormal values in PSFR, GAX and MBXB stations before the Yibin earthquake.
5
Appl. Sci. 2021, 11, 5869
13 of 16
Table 4. Station abnormal points before the Yibin earthquake.
No.
Station
Abnormal Points
Outliers over 0.7
Total Points
Epicenter Distance
1
GOX
35
5
1152
11 km
2
GAX
11
0
1152
39 km
3
YBYX
12
0
1152
83 km
4
PSFR
12
0
1152
84 km
5
ZGDA
6
0
1152
115 km
6
MC
15
1
1152
119 km
7
MBXB
17
0
1152
126 km
8
MBMZ
5
0
1152
129 km
9
JWX
12
0
1152
134 km
10
MBJS
9
0
1152
137 km
11
YJX
9
2
1152
140 km
12
MB
6
0
1152
143 km
13
YFZ
16
0
1152
146 km
14
MBRD
8
0
1152
146 km
15
DZB
14
0
1152
157 km
16
ZT
35
0
1152
162 km
17
SKH
15
0
1152
162 km
18
JY
4
0
1152
166 km
19
LSS
11
0
1152
177 km
20
LSSW
4
1
1152
177 km
21
LD
20
0
1152
180 km
22
EB
10
0
1152
188 km
23
GQZ
2
0
1152
194 km
24
EMS
16
3
1152
194 km
25
QSX
8
0
1152
195 km
26
HWZ
6
0
1152
198 km
Appl. Sci. 2021, 11, 5869
14 of 16
11Thermogram of abnormal values in stations within 200 km of the Jiuzhaigou epicenter. (a) JZG station; (b) SP
Figure 11.
station; (c) PWX station; (d) QCX station; (e) MX station; (f) WC station.
5. Conclusions
In this study, the LAE and IQR methods were utilized to analyze the electromagnetic
signals of the AETA stations near the Jiuzhaigou and Yibin epicenter. The results show
that the electromagnetic signals of the AETA stations are obviously abnormal before the
two earthquakes. First, the time, value, and number of abnormal points in stations at
different geographical locations are not consistent, which is probably due to the difference
of geological structure and the distance from the epicenter. The stations that were further
away from the epicenter may show stronger anomalies than those closer. In general, there
was obvious abnormal information about half a month before the earthquake. Secondly,
the stations near the seismic epicenter generally exhibited outliers accounting for 2 ∼ 4%
of the total data, and some stations had outliers with anomaly values exceeding 0.7 before
the occurrence of a large earthquake, which shows that the electromagnetic anomaly of
the AETA station has a certain correlation with the earthquake. Finally, comparing the
methods of LAE and PCA through the case of the Jiuzhaigou earthquake, we found that the
abnormal performance of the station is more common based on the LAE method, and that
the ability to respond to abnormalities is also stronger and more intuitive. While the PCA
method has good earthquake reflection performance at the JZG station, the performance of
the other stations is not effective, which further proves the robustness of the LAE method
used in this study.
In summary, the experiment in this study proves that the electromagnetic disturbance
anomalies of the AETA station could imply an upcoming large earthquake, and that AETA
electromagnetic signals can be regarded as a type of earthquake precursor. According
to the experimental results, we believe that if 2% of abnormal points appear in most
6
Appl. Sci. 2021, 11, 5869
15 of 16
monitoring stations within half a month, it means that a certain area has a higher risk of
strong earthquakes.
In the future, we consider using a Generative Adversarial Networks (GAN) approach
to generate several representative anomalous sequences. When the original signal matches
these anomalous sequences, the system can automatically alert, which indicates that a
certain area is facing the risk of high-level earthquakes. In addition, due to the complexity
of actual seismic activity, it is difficult for us to directly estimate the geographical location of
the epicenter from statistical values such as the number and amplitude of anomalous points.
The use of AETA electromagnetic signals for earthquake prediction or early warning is
awaiting further research in the future.
Author Contributions: Conceptualization, Z.B., S.Y. and C.Y.; methodology, Z.B. and C.Y.; software,
Z.B.; validation, Z.B., S.Y. and X.W.; formal analysis, Z.B.; investigation, Z.B. and C.H.; resources,
S.Y. and X.W.; data curation, Z.B., J.X. and C.H.; writing—original draft preparation, Z.B.; writing—
review and editing, S.Y., X.W. and C.Y.; visualization, Z.B. and J.X.; supervision, S.Y., X.W. and C.Y.
All authors have read and agreed to the published version of the manuscript.
Funding: This research was supported by a fundamental research grant from Shenzhen science &
technology, grant number JCYJ20200109120404043 and KQTD20200820113105004.
Institutional Review Board Statement: Not applicable.
Informed Consent Statement: Not applicable.
Data Availability Statement: The data presented in this study are available from the authors upon
reasonable request.
Conflicts of Interest: The authors declare no conflict of interest.
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https://openalex.org/W4240613712
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https://peerj.com/articles/10455v0.2/submission
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English
| null |
Peer Review #1 of "Antibacterial activity of human defensins against Staphylococcus aureus and Escherichia coli (v0.1)"
| null | 2,020
|
cc-by
| 12,884
|
Manuscript to be reviewed Albert Bolatchiev
C 1 Department of Clinical Pharmacology, Stavropol State Medical University, Stavropol, Russian Federation
Corresponding Author: Albert Bolatchiev
Email address: bolatalbert@gmail.com 1 Department of Clinical Pharmacology, Stavropol State Medical University, Stavropol, Russian Federation
Corresponding Author: Albert Bolatchiev
Email address: bolatalbert@gmail.com 1 Department of Clinical Pharmacology, Stavropol State Medical University, Stavropol, Russian Federation 1 Department of Clinical Pharmacology, Stavropol State Medical University, Stavropol, Russian Federation
Corresponding Author: Albert Bolatchiev Corresponding Author: Albert Bolatchiev
Email address: bolatalbert@gmail.com Background. The global problem of antibiotic resistance requires the search for and development of
new methods of treatment. One of the promising strategies is the use of low doses of antimicrobial
peptides, in particular, human defensins HNP-1, hBD-1, and hBD-3, in combination with antibacterial
drugs already used in clinical practice. This approach may be used to increase the effectiveness of
conventional antibiotics. However, this requires thorough study of the effectiveness of defensins in
combination with antibiotics against a large number of bacterial strains with known phenotypes of
antibiotic resistance. The aim of this work was to study the antibacterial effect of HNP-1, hBD-1 and
hBD-3 in combination with rifampicin or amikacin against clinical isolates of Staphylococcus aureus (n =
27) and Escherichia coli (n = 24) collected from hospitalized patients. Methods. The standard checkerboard assay was used to determine minimum inhibitory concentrations
(MICs) of antimicrobials. The combined microbicidal effects of two substances (defensin + conventional
antibiotic) were assessed by the fractional inhibitory concentration index (FICI). Results. The highest anti-staphylococcal activity (including methicillin-resistant strains) among
defensins was demonstrated by hBD-3 that had MIC of 1 (0.5-4) mg/L (hereinafter, MIC values are
presented as median and interquartile range). The MIC of HNP-1 against S. aureus was 4 (2-8) mg/L; the
MIC of hBD-1 was 8 (4-8) mg/L. Against E. coli, the most effective was also found to be hBD-3 that had
MIC of 4 (4-8) mg/L; the MIC of HNP-1 was 12 (4-32) mg/L. The combinations of HNP-1 + rifampicin and
hBD-3 + rifampicin demonstrated synergistic effects against S. aureus. Against E. coli, combinations of
HNP-1 + amikacin and hBD-3 + amikacin also showed synergy of action. Manuscript to be reviewed 1
2 Antibacterial activity of human defensins against
3 Staphylococcus aureus and Escherichia coli
4
5
6
Albert Bolatchiev1
7
8
1 Department of Clinical Pharmacology, Stavropol State Medical University, Russian Federation
9
10
Corresponding Author:
11
Albert Bolatchiev1
12
Mira Street 310, Stavropol, 355000, Russian Federation
13
Email address: bolatalbert@gmail.com
14
15
Abstract
16
Background. The global problem of antibiotic resistance requires the search for and
17
development of new methods of treatment. One of the promising strategies is the use of low
18
doses of antimicrobial peptides, in particular, human defensins HNP-1, hBD-1, and hBD-3, in
19
combination with antibacterial drugs already used in clinical practice. This approach may be
20
used to increase the effectiveness of conventional antibiotics. However, this requires thorough
21
study of the effectiveness of defensins in combination with antibiotics against a large number of
22
bacterial strains with known phenotypes of antibiotic resistance. The aim of this work was to
23
study the antibacterial effect of HNP-1, hBD-1 and hBD-3 in combination with rifampicin or
24
amikacin against clinical isolates of Staphylococcus aureus (n = 27) and Escherichia coli (n =
25
24) collected from hospitalized patients. 26
Methods. The standard checkerboard assay was used to determine minimum inhibitory
27
concentrations (MICs) of antimicrobials. The combined microbicidal effects of two substances
28
(defensin + conventional antibiotic) were assessed by the fractional inhibitory concentration
29
index (FICI). 30
Results. The highest anti-staphylococcal activity (including methicillin-resistant strains) among
31
defensins was demonstrated by hBD-3 that had MIC of 1 (0.5-4) mg/L (hereinafter, MIC values
32
are presented as median and interquartile range). The MIC of HNP-1 against S. aureus was 4 (2-
33
8) mg/L; the MIC of hBD-1 was 8 (4-8) mg/L. Against E. coli, the most effective was also found
34
to be hBD-3 that had MIC of 4 (4-8) mg/L; the MIC of HNP-1 was 12 (4-32) mg/L. The
35
combinations of HNP-1 + rifampicin and hBD-3 + rifampicin demonstrated synergistic effects
36
against S. aureus. Against E. coli, combinations of HNP-1 + amikacin and hBD-3 + amikacin
37
also showed synergy of action. 2 Antibacterial activity of human defensins against
3 Staphylococcus aureus and Escherichia coli
4 15
Abstract
16
Background. The global problem of antibiotic resistance requires the search for and
17
development of new methods of treatment. One of the promising strategies is the use of low
18
doses of antimicrobial peptides, in particular, human defensins HNP-1, hBD-1, and hBD-3, in
19
combination with antibacterial drugs already used in clinical practice. This approach may be
20
used to increase the effectiveness of conventional antibiotics. However, this requires thorough
21
study of the effectiveness of defensins in combination with antibiotics against a large number of
22
bacterial strains with known phenotypes of antibiotic resistance. The aim of this work was to
23
study the antibacterial effect of HNP-1, hBD-1 and hBD-3 in combination with rifampicin or
24
amikacin against clinical isolates of Staphylococcus aureus (n = 27) and Escherichia coli (n =
25
24) collected from hospitalized patients. 26
Methods. The standard checkerboard assay was used to determine minimum inhibitory
27
concentrations (MICs) of antimicrobials. The combined microbicidal effects of two substances
28
(defensin + conventional antibiotic) were assessed by the fractional inhibitory concentration
29
index (FICI). 30
Results. The highest anti-staphylococcal activity (including methicillin-resistant strains) among
31
defensins was demonstrated by hBD-3 that had MIC of 1 (0.5-4) mg/L (hereinafter, MIC values
32
are presented as median and interquartile range). The MIC of HNP-1 against S. aureus was 4 (2-
33
8) mg/L; the MIC of hBD-1 was 8 (4-8) mg/L. Against E. coli, the most effective was also found
34
to be hBD-3 that had MIC of 4 (4-8) mg/L; the MIC of HNP-1 was 12 (4-32) mg/L. The
35
combinations of HNP-1 + rifampicin and hBD-3 + rifampicin demonstrated synergistic effects
36
against S. aureus. Against E. coli, combinations of HNP-1 + amikacin and hBD-3 + amikacin
37
also showed synergy of action. 38
Introduction 1
2 Antibacterial activity of human
3 Staphylococcus aureus and Es
4
5
6
Albert Bolatchiev1
7
8
1 Department of Clinical Pharmacology, Stavropol Stat
9
10
Corresponding Author:
11
Albert Bolatchiev1
12
Mira Street 310, Stavropol, 355000, Russian Federation
13
Email address: bolatalbert@gmail.com
14
15
Abstract
16
Background. The global problem of antibiotic resistan
17
development of new methods of treatment. One of the
18
doses of antimicrobial peptides, in particular, human de
19
combination with antibacterial drugs already used in cl
20
used to increase the effectiveness of conventional antib
21
study of the effectiveness of defensins in combination w
22
bacterial strains with known phenotypes of antibiotic re
23
study the antibacterial effect of HNP-1, hBD-1 and hBD
24
amikacin against clinical isolates of Staphylococcus au
25
24) collected from hospitalized patients. 26
Methods. The standard checkerboard assay was used t
27
concentrations (MICs) of antimicrobials. The combined
28
(defensin + conventional antibiotic) were assessed by t
29
index (FICI). 30
Results. The highest anti-staphylococcal activity (inclu
31
defensins was demonstrated by hBD-3 that had MIC of
32
are presented as median and interquartile range). The M
33
8) mg/L; the MIC of hBD-1 was 8 (4-8) mg/L. Against
34
to be hBD-3 that had MIC of 4 (4-8) mg/L; the MIC of
35
combinations of HNP-1 + rifampicin and hBD-3 + rifa
36
against S. aureus. Against E. coli, combinations of HN
37
also showed synergy of action. 38
Introduction 38
Introduction 1
2 Antibacterial activity of human defensins against
3 Staphylococcus aureus and Escherichia coli
4
5
6
Albert Bolatchiev1
7
8
1 Department of Clinical Pharmacology, Stavropol State Medical University, Russian Federation
9
10
Corresponding Author:
11
Albert Bolatchiev1
12
Mira Street 310, Stavropol, 355000, Russian Federation
13
Email address: bolatalbert@gmail.com
14
15
Abstract
16
Background. The global problem of antibiotic resistance requires the search for and
17
development of new methods of treatment. One of the promising strategies is the use of low
18
doses of antimicrobial peptides, in particular, human defensins HNP-1, hBD-1, and hBD-3, in
19
combination with antibacterial drugs already used in clinical practice. This approach may be
20
used to increase the effectiveness of conventional antibiotics. However, this requires thorough
21
study of the effectiveness of defensins in combination with antibiotics against a large number of
22
bacterial strains with known phenotypes of antibiotic resistance. The aim of this work was to
23
study the antibacterial effect of HNP-1, hBD-1 and hBD-3 in combination with rifampicin or
24
amikacin against clinical isolates of Staphylococcus aureus (n = 27) and Escherichia coli (n =
25
24) collected from hospitalized patients. 26
Methods. The standard checkerboard assay was used to determine minimum inhibitory
27
concentrations (MICs) of antimicrobials. The combined microbicidal effects of two substances
28
(defensin + conventional antibiotic) were assessed by the fractional inhibitory concentration
29
index (FICI). 30
Results. The highest anti-staphylococcal activity (including methicillin-resistant strains) among
31
defensins was demonstrated by hBD-3 that had MIC of 1 (0.5-4) mg/L (hereinafter, MIC values
32
are presented as median and interquartile range). The MIC of HNP-1 against S. aureus was 4 (2-
33
8) mg/L; the MIC of hBD-1 was 8 (4-8) mg/L. Against E. coli, the most effective was also found
34
to be hBD-3 that had MIC of 4 (4-8) mg/L; the MIC of HNP-1 was 12 (4-32) mg/L. The
35
combinations of HNP-1 + rifampicin and hBD-3 + rifampicin demonstrated synergistic effects
36
against S. aureus. Against E. coli, combinations of HNP-1 + amikacin and hBD-3 + amikacin
37
also showed synergy of action. PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) 15
Abstract 16
Background. The global problem of antibiotic resistance requires the search for and
17
development of new methods of treatment. One of the promising strategies is the use of low
18
doses of antimicrobial peptides, in particular, human defensins HNP-1, hBD-1, and hBD-3, in
19
combination with antibacterial drugs already used in clinical practice. This approach may be
20
used to increase the effectiveness of conventional antibiotics. However, this requires thorough
21
study of the effectiveness of defensins in combination with antibiotics against a large number of
22
bacterial strains with known phenotypes of antibiotic resistance. The aim of this work was to
23
study the antibacterial effect of HNP-1, hBD-1 and hBD-3 in combination with rifampicin or
24
amikacin against clinical isolates of Staphylococcus aureus (n = 27) and Escherichia coli (n =
25
24) collected from hospitalized patients. 26
Methods. The standard checkerboard assay was used to determine minimum inhibitory
27
concentrations (MICs) of antimicrobials. The combined microbicidal effects of two substances
28
(defensin + conventional antibiotic) were assessed by the fractional inhibitory concentration
29
index (FICI). 30
Results. The highest anti-staphylococcal activity (including methicillin-resistant strains) among
31
defensins was demonstrated by hBD-3 that had MIC of 1 (0.5-4) mg/L (hereinafter, MIC values
32
are presented as median and interquartile range). The MIC of HNP-1 against S. aureus was 4 (2-
33
8) mg/L; the MIC of hBD-1 was 8 (4-8) mg/L. Against E. coli, the most effective was also found
34
to be hBD-3 that had MIC of 4 (4-8) mg/L; the MIC of HNP-1 was 12 (4-32) mg/L. The
35
combinations of HNP-1 + rifampicin and hBD-3 + rifampicin demonstrated synergistic effects
36
against S. aureus. Against E. coli, combinations of HNP-1 + amikacin and hBD-3 + amikacin
37
also showed synergy of action. PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed In the process of evolution, defense mechanisms have formed that allow first to
66
identify the pathogen and then, if necessary, to exercise adequate control of its further
67
penetration and spread. These tasks are accomplished through the innate immune system which
68
is capable (unlike the adaptive immunity system) of immediately recognizing and destroying
69
infectious agents of various nature (Iwasaki & Medzhitov, 2015). The most important component
70
of innate immunity is antimicrobial peptides (AMPs) with a length of 5 to ~100 amino acid
71
residues. These peptides have a broad spectrum of antimicrobial activity against various
72
infectious agents: bacteria, viruses, fungi and protozoa. Among the six kingdoms (bacteria,
73
archaea, protists, fungi, plants, and animals), more than 3,000 AMPs have been identified by
74
now (Wang, Li & Wang, 2016). Among AMPs, of great interest are human defensins: human
75
neutrophil peptide-1 (HNP-1), human beta-defensin-1 (hBD-1), and human beta-defensin-3
76
(hBD-3), since they have a wide spectrum of antimicrobial activity (Pachón-Ibáñez et al., 2017). 77
Since the outer surface of all bacteria has a negative charge (due to the presence of
78
lipopolysaccharides and/or teichoic acids), positively charged and hydrophobic AMPs (in q
)
64
The human body is in continuous contact with a large number of pathogenic and non-pathogenic
65
microorganisms. In the process of evolution, defense mechanisms have formed that allow first to
66
identify the pathogen and then, if necessary, to exercise adequate control of its further
67
penetration and spread. These tasks are accomplished through the innate immune system which
68
is capable (unlike the adaptive immunity system) of immediately recognizing and destroying
69
infectious agents of various nature (Iwasaki & Medzhitov, 2015). The most important component
70
of innate immunity is antimicrobial peptides (AMPs) with a length of 5 to ~100 amino acid
71
residues. These peptides have a broad spectrum of antimicrobial activity against various
72
infectious agents: bacteria, viruses, fungi and protozoa. Among the six kingdoms (bacteria,
73
archaea, protists, fungi, plants, and animals), more than 3,000 AMPs have been identified by
74
now (Wang, Li & Wang, 2016). Among AMPs, of great interest are human defensins: human
75
neutrophil peptide-1 (HNP-1), human beta-defensin-1 (hBD-1), and human beta-defensin-3
76
(hBD-3), since they have a wide spectrum of antimicrobial activity (Pachón-Ibáñez et al., 2017). Manuscript to be reviewed 39
Rapid and widespread increase in the resistance of microorganisms to antimicrobial drugs is
40
known to present a serious problem and challenge to modern medicine (Roca et al., 2015; Li &
41
Webster, 2018). The threat of increasing antibiotic resistance and methods to combat it are under
42
active discussion at the level of the World Health Organization and the United Nations; in 2016,
43
the "Global action plan to combat antimicrobial resistance" has been published. According to this
44
document, the key objectives to solve this problem are the optimization of the use of
45
antimicrobial drugs, as well as the development of new drugs (Global action plan to combat
46
antimicrobial resistance, 2015). Over the past 10 years, only several new antibacterial drugs have
47
been introduced to the pharmaceutical market (Bassetti et al., 2013; Andrei, Droc & Stefan,
48
2019). An increase in antimicrobial resistance naturally leads to a decrease in the effectiveness of
49
therapy and, as a result, an increase in the duration of treatment, an increase in mortality and
50
financial expenses on treatment (Fair & Tor, 2014; Rolain et al., 2016). For example, 19,000
51
people die annually in the United States from infections caused by methicillin-resistant strains of
52
Staphylococcus aureus (MRSA) (Fischbach & Walsh, 2009), while the annual financial expenses
53
on treatment of this infection comprise $3 billion. According to the latest report from the Centers
54
for Disease Control and Prevention (USA), the financial burden associated with increasing
55
microbial resistance comprises about $55 Billion and 8 Million additional bed days (US CDC,
56
2019). It is estimated that by 2050 more than 10 million people will die annually from infections
57
caused by resistant strains and by that time the global economy will lose about US $100 Trillion
58
due to this problem (O’Neill, 2016). 59
The formation of resistance takes place due to various causes and mechanisms. This is known to
60
be a natural evolutionary process of adaptation of microorganisms to frequent contact with
61
substances possessing antimicrobial properties (Martinez et al., 2009). The wide spread of
62
antibiotic resistance is due to two factors - mutations and horizontal gene transfer (Martinez &
63
Baquero, 2000). q
,
)
64
The human body is in continuous contact with a large number of pathogenic and non-pathogenic
65
microorganisms. Manuscript to be reviewed 79
particular, defensins) nonspecifically "accumulate" on the surface of both gram-positive and
80
gram-negative microorganisms. The antibacterial activity of defensins is believed to be related to
81
membrane permeabilization of microorganisms (Kagan et al., 1990; Wimley & Hristova, 2020). 82
However, some AMPs have been found to use alternative mechanisms of antimicrobial action
83
(Matsuzaki et al., 1991; Mor & Nicolas, 1994; Oren & Shai, 1998; Chan, Prenner & Vogel,
84
2006). It has also been shown that HNP-1 can inhibit the synthesis of the bacterial cell wall by
85
binding to precursor lipid II (Leeuw et al., 2010). 86
Unfortunately, the introduction of native AMPs into clinical practice as a monotherapy for
87
bacterial infections has a number of limitations: high synthesis cost, hemolytic activity,
88
cytotoxicity for macroorganism, immunogenicity, and pharmacokinetic specifics (Moravej et al.,
89
2018; Lei et al., 2019). To solve these problems, two approaches have been proposed: i)
90
modifying native AMPs (or designing new peptides with antimicrobial activity) (Lei et al.,
91
2019), and ii) using native AMPs at low doses in combination with conventional antibiotics
92
(Zharkova et al., 2019). 93
In this work, we investigated the effectiveness of the combined use of human defensins HNP-1,
94
hBD-1, hBD-3 and antibiotics (rifampicin and amikacin) against isolates of Staphylococcus
95
aureus and Escherichia coli collected from hospitalized patients. 96
97
Materials & Methods
98
Peptides and antibiotics
99
We used recombinant AMPs, human defensins HNP-1 (purity ≥ 92%), hBD-1 (purity ≥ 95%),
100
hBD-3 (purity ≥ 98%) (Cloud-Clone, USA), and conventional antibiotics, rifampicin
101
(Belmedpreparaty, Belarus) and amikacin (Sintez, Russia). The amino acid sequences and
102
characteristics of the AMPs used in this work are provided in Table 1. 103
Bacterial isolates
104
Twenty-seven S. aureus isolates and twenty-four E. coli isolates were identified and their
105
antibiotic resistance phenotypes determined at the Department of Clinical Microbiology of the
106
Center of Clinical Pharmacology and Pharmacotherapy (Stavropol, Russia) in accordance with
107
the European Committee on Antimicrobial Susceptibility Testing protocols using the standard
108
disk diffusion test (EUCAST, 2020). The resistance of S. aureus to cefoxitin (with zone diameter
109
breakpoint <22 mm) was considered as a marker of methicillin resistance (EUCAST, 2020). 110
Bacterial strains were collected from patients admitted to the intensive care department of the
111
Stavropol State Regional Clinical Hospital (Russia) in 2020. Manuscript to be reviewed 112
Study of combined antimicrobial action of defensins and conventional antibiotics
113
To determine the minimum inhibitory concentrations of individual substances and to study the
114
combined antimicrobial action of defensins and rifampicin/amikacin, we used the standard
115
checkerboard assay (White et al., 1996; Orhan et al., 2005; Wiegand, Hilpert & Hancock, 2008;
116
Pfaller et al., 2011) modified according to previous work (Bolatchiev et al., 2020). 117
Briefly, pure cultures of bacteria were cultured on solid nutrient media (mannitol salt agar,
118
BioMedia, Russia) for 18-24 h at 37 ºC. A fresh morning culture was used to prepare a saline 79
particular, defensins) nonspecifically "accumulate" on the surface of both gram-positive and
80
gram-negative microorganisms. The antibacterial activity of defensins is believed to be related to
81
membrane permeabilization of microorganisms (Kagan et al., 1990; Wimley & Hristova, 2020). 82
However, some AMPs have been found to use alternative mechanisms of antimicrobial action
83
(Matsuzaki et al., 1991; Mor & Nicolas, 1994; Oren & Shai, 1998; Chan, Prenner & Vogel,
84
2006). It has also been shown that HNP-1 can inhibit the synthesis of the bacterial cell wall by
85
binding to precursor lipid II (Leeuw et al., 2010). 79
particular, defensins) nonspecifically "accumulate" on the surface of both gram-positive and
80
gram-negative microorganisms. The antibacterial activity of defensins is believed to be related to
81
membrane permeabilization of microorganisms (Kagan et al., 1990; Wimley & Hristova, 2020). 82
However, some AMPs have been found to use alternative mechanisms of antimicrobial action
83
(Matsuzaki et al., 1991; Mor & Nicolas, 1994; Oren & Shai, 1998; Chan, Prenner & Vogel,
84
2006). It has also been shown that HNP-1 can inhibit the synthesis of the bacterial cell wall by
85
binding to precursor lipid II (Leeuw et al., 2010). 104
Twenty-seven S. aureus isolates and twenty-four E. coli isolates were identified and their
105
antibiotic resistance phenotypes determined at the Department of Clinical Microbiology of the
106
Center of Clinical Pharmacology and Pharmacotherapy (Stavropol, Russia) in accordance with
107
the European Committee on Antimicrobial Susceptibility Testing protocols using the standard
108
disk diffusion test (EUCAST, 2020). The resistance of S. aureus to cefoxitin (with zone diameter
109
breakpoint <22 mm) was considered as a marker of methicillin resistance (EUCAST, 2020). Manuscript to be reviewed 77
Since the outer surface of all bacteria has a negative charge (due to the presence of
78
lipopolysaccharides and/or teichoic acids), positively charged and hydrophobic AMPs (in PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed For greater accuracy of the experiment, a quadruple control was carried out – three wells
127
in each plate contained: 1) control-1, only 2.1% Mueller-Hinton broth (200 μL, without bacteria
128
and without antimicrobial compounds); 2) control-2, inoculum only (200 μL, without
129
antimicrobial compounds); 3) control-3, defensin at a maximum concentration without inoculum
130
(200 μL); 4) control-4, rifampicin/amikacin at a maximum concentration without inoculum (200
131
μL). All antimicrobial compounds were dissolved in 2.1% Mueller-Hinton broth. In all
132
experiments, the concentration range of antimicrobial substances was from 0 to 64 mg/L. 133
Experiments with each of the microorganisms were carried out in at least three replicates. After
134
the introduction of inoculum and antimicrobial substances, the plates were incubated in a
135
thermostat at 37 °C. In 18-20 h, the presence or absence of growth was visually assessed. The
136
minimum inhibitory concentration (MIC) was taken to be the lowest concentration of the test
137
substance at which the growth of microorganisms was visually completely absent (Milly, Toledo
138
& Ramakrishnan, 2005). 139
The combined microbicidal effect of two substances (A and B) was assessed by the fractional
140
inhibitory concentration index (FICI) (Ruden et al., 2009): FICI = (A/MIC A) + (B/MIC B),
141
where A and B are such concentrations of antimicrobial agents in their mixture that inhibit the
142
growth of bacteria; MIC A and MIC B are the minimum inhibitory concentrations of substances 139
The combined microbicidal effect of two substances (A and B) was assessed by the fractional
140
inhibitory concentration index (FICI) (Ruden et al., 2009): FICI = (A/MIC A) + (B/MIC B),
141
h
A
d B
h
t ti
f
ti i
bi l
t i th i
i t
th t i hibit th 141
where A and B are such concentrations of antimicrobial agents in their mixture that inhibit the
142
growth of bacteria; MIC A and MIC B are the minimum inhibitory concentrations of substances
143
A and B, respectively, when they are applied separately. Depending on the FICI, there are three
144
types of mutual influence of the two investigated antimicrobials on bacteria: 1) FICI ≤ 0,5 –
145
synergism of action; 2) 0.5 < FICI < 4 – no interaction; 3) FICI > 4 – antagonism (Sengupta et
146
al., 2008). 143
A and B, respectively, when they are applied separately. Manuscript to be reviewed Depending on the FICI, there are three
144
types of mutual influence of the two investigated antimicrobials on bacteria: 1) FICI ≤ 0,5 –
145
synergism of action; 2) 0.5 < FICI < 4 – no interaction; 3) FICI > 4 – antagonism (Sengupta et
146
al., 2008). 147
The final MIC and FICI values were calculated as median values of three independent replicates
148
(for each pair of antimicrobial compounds against each bacterial isolate). 147
The final MIC and FICI values were calculated as median values of three independent replicates
148
(for each pair of antimicrobial compounds against each bacterial isolate). Manuscript to be reviewed 119
suspension with the McFarland turbidity standard of 0.5, i.e. the suspension had the
120
concentration of the corresponding microorganism of approximately 1.5×108 CFU/mL. 0.1 mL
121
of the resulting suspension was diluted in 9.9 mL of 2.1% Mueller-Hinton broth (SIFIN Institut
122
für Immunpräparate und Nährmedien, Germany) to produce an inoculum containing about
123
1.5×105 CFU/mL. Then, the inoculum (100 μL per well) was added to the wells of a sterile 96-
124
well plate with a U-shaped bottom (Medpolymer, Russia). After that, serial two-fold dilutions of
125
two combinations of antimicrobial compounds under study (50 μL each) were introduced into the
126
wells. For greater accuracy of the experiment, a quadruple control was carried out – three wells
127
in each plate contained: 1) control-1, only 2.1% Mueller-Hinton broth (200 μL, without bacteria
128
and without antimicrobial compounds); 2) control-2, inoculum only (200 μL, without
129
antimicrobial compounds); 3) control-3, defensin at a maximum concentration without inoculum
130
(200 μL); 4) control-4, rifampicin/amikacin at a maximum concentration without inoculum (200
131
μL). All antimicrobial compounds were dissolved in 2.1% Mueller-Hinton broth. In all
132
experiments, the concentration range of antimicrobial substances was from 0 to 64 mg/L. 133
Experiments with each of the microorganisms were carried out in at least three replicates. After
134
the introduction of inoculum and antimicrobial substances, the plates were incubated in a
135
thermostat at 37 °C. In 18-20 h, the presence or absence of growth was visually assessed. The
136
minimum inhibitory concentration (MIC) was taken to be the lowest concentration of the test
137
substance at which the growth of microorganisms was visually completely absent (Milly, Toledo
138
& Ramakrishnan, 2005). 119
suspension with the McFarland turbidity standard of 0.5, i.e. the suspension had the
120
concentration of the corresponding microorganism of approximately 1.5×108 CFU/mL. 0.1 mL
121
of the resulting suspension was diluted in 9.9 mL of 2.1% Mueller-Hinton broth (SIFIN Institut
122
für Immunpräparate und Nährmedien, Germany) to produce an inoculum containing about
123
1.5×105 CFU/mL. Then, the inoculum (100 μL per well) was added to the wells of a sterile 96-
124
well plate with a U-shaped bottom (Medpolymer, Russia). After that, serial two-fold dilutions of
125
two combinations of antimicrobial compounds under study (50 μL each) were introduced into the
126
wells. Manuscript to be reviewed 110
Bacterial strains were collected from patients admitted to the intensive care department of the
111
Stavropol State Regional Clinical Hospital (Russia) in 2020. 112
Study of combined antimicrobial action of defensins and conventional antibiotics
113
To determine the minimum inhibitory concentrations of individual substances and to study the
114
combined antimicrobial action of defensins and rifampicin/amikacin, we used the standard
115
checkerboard assay (White et al., 1996; Orhan et al., 2005; Wiegand, Hilpert & Hancock, 2008;
116
Pfaller et al., 2011) modified according to previous work (Bolatchiev et al., 2020). 112
Study of combined antimicrobial action of defensins and conventional antibiotics
113
To determine the minimum inhibitory concentrations of individual substances and to study the
114
combined antimicrobial action of defensins and rifampicin/amikacin, we used the standard
115
checkerboard assay (White et al., 1996; Orhan et al., 2005; Wiegand, Hilpert & Hancock, 2008;
116
Pfaller et al., 2011) modified according to previous work (Bolatchiev et al., 2020). 118
BioMedia, Russia) for 18-24 h at 37 ºC. A fresh morning culture was used to prepare a saline 118
BioMedia, Russia) for 18-24 h at 37 ºC. A fresh morning culture was used to prepare a saline PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) 150
Results 151
All S. aureus isolates tested (n = 27) were susceptible to AMPs and rifampicin (Table 2). The
152
MIC of HNP-1 for the studied staphylococci was 4 (2-8) mg/L (hereinafter, MIC and FICI values
153
are presented as median and interquartile range in brackets). The MIC of hBD-1 was 8 (4-8)
154
mg/L; that of hBD-3 – 1 (0.5-4) mg/L; that of rifampicin – 0.008 (0.004-0.016) mg/L. As can be
155
seen, the highest anti-staphylococcal activity among defensins was demonstrated by hBD-3. 156
The results of MIC studies for E. coli isolates (n = 24) are presented in Table 3. In this case, the 156
The results of MIC studies for E. coli isolates (n = 24) are presented in Table 3. In this case, the
157
most effective AMP also was hBD-3 that had MIC of 4 (4-8) mg/L. The MIC of HNP-1 was 12 PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed 158
(4-32) mg/L. hBD-1 was found to be ineffective against 10 out of 24 E. coli isolates; its MIC
159
against susceptible strains was 32 (14-32) mg/L. The MIC of amikacin was 3 (2-4) mg/L. 160
161
We showed that against S. aureus (including MRSA), the combinations of HNP-1 + rifampicin
162
and hBD-3 + rifampicin in most cases demonstrated synergistic effects – the FICI values for both
163
combinations were 0.5 (0.375-0.5) (Table 4). The combination of HNP-1 + rifampicin did not
164
show a synergistic effect against only 3 out of 27 S. aureus isolates (SA-4, SA-6, SA-19). When
165
the combination of hBD-3 + rifampicin was used, the FICI value exceeded 0.5 for three isolates
166
of S. aureus (SA-4, SA-9, SA-21), which indicates the absence of interaction between these
167
substances against these strains. As to the combination of hBD-1 + rifampicin, we showed that
168
only in 3 cases out of 27 there is a synergism of action (against isolates SA-5, SA-13, SA-14, see
169
Table 4), while the median FICI value was 0.75 (0.75-1.25). 170
171
The study of the combined antimicrobial action of defensins with amikacin against E. coli
172
isolates produced similar results. The combinations of HNP-1 + amikacin and hBD-3 + amikacin
173
in most cases demonstrated synergistic action – the FICI values were 0.375 (0.375-0.5) and 0.5
174
(0.375-0.5), respectively (Table 5). The combined use of HNP-1 and amikacin did not show
175
synergy in only 3 cases out of 24 (EC-6, EC-11, EC-13), and the combination of hBD-3 +
176
amikacin – only in 2 cases out of 24 (EC-5, EC-13). The combined use of hBD-1 and amikacin
177
against E. coli isolates did not show a synergistic effect: FICI = 1 (0.75-1.5). Moreover, in 10
178
cases out of 24, it was not possible to calculate the FICI value of this combination of substances,
179
since the MIC of hBD-1 for these 10 isolates was >64 mg/L (Table 5). 180
181
Discussion
182
The results obtained are of interest from several points of view. First, even though studies of the
183
antimicrobial activity of HNP-1, hBD-1 and hBD-3 against S. aureus and E. coli have previously
184
been conducted, a thorough analysis of their MIC and FICI values against a large number of 158
(4-32) mg/L. hBD-1 was found to be ineffective against 10 out of 24 E. Manuscript to be reviewed coli isolates; its MIC
159
against susceptible strains was 32 (14-32) mg/L. The MIC of amikacin was 3 (2-4) mg/L. 160
161
We showed that against S. aureus (including MRSA), the combinations of HNP-1 + rifampicin
162
and hBD-3 + rifampicin in most cases demonstrated synergistic effects – the FICI values for both
163
combinations were 0.5 (0.375-0.5) (Table 4). The combination of HNP-1 + rifampicin did not
164
show a synergistic effect against only 3 out of 27 S. aureus isolates (SA-4, SA-6, SA-19). When
165
the combination of hBD-3 + rifampicin was used, the FICI value exceeded 0.5 for three isolates
166
of S. aureus (SA-4, SA-9, SA-21), which indicates the absence of interaction between these
167
substances against these strains. As to the combination of hBD-1 + rifampicin, we showed that
168
only in 3 cases out of 27 there is a synergism of action (against isolates SA-5, SA-13, SA-14, see
169
Table 4), while the median FICI value was 0.75 (0.75-1.25). 170
171
The study of the combined antimicrobial action of defensins with amikacin against E. coli
172
isolates produced similar results. The combinations of HNP-1 + amikacin and hBD-3 + amikacin
173
in most cases demonstrated synergistic action – the FICI values were 0.375 (0.375-0.5) and 0.5
174
(0.375-0.5), respectively (Table 5). The combined use of HNP-1 and amikacin did not show
175
synergy in only 3 cases out of 24 (EC-6, EC-11, EC-13), and the combination of hBD-3 +
176
amikacin – only in 2 cases out of 24 (EC-5, EC-13). The combined use of hBD-1 and amikacin
177
against E. coli isolates did not show a synergistic effect: FICI = 1 (0.75-1.5). Moreover, in 10
178
cases out of 24, it was not possible to calculate the FICI value of this combination of substances,
179
since the MIC of hBD-1 for these 10 isolates was >64 mg/L (Table 5). 180
181
Discussion
182
The results obtained are of interest from several points of view. First, even though studies of the
183
antimicrobial activity of HNP-1, hBD-1 and hBD-3 against S. aureus and E. coli have previously
184
been conducted, a thorough analysis of their MIC and FICI values against a large number of
185
clinical isolates with heterogeneous antibiotic resistance phenotypes has not been carried out. Manuscript to be reviewed The combined use of HNP-1 and amikacin did not show
175
synergy in only 3 cases out of 24 (EC-6, EC-11, EC-13), and the combination of hBD-3 +
176
amikacin – only in 2 cases out of 24 (EC-5, EC-13). The combined use of hBD-1 and amikacin
177
against E. coli isolates did not show a synergistic effect: FICI = 1 (0.75-1.5). Moreover, in 10
178
cases out of 24, it was not possible to calculate the FICI value of this combination of substances,
179
since the MIC of hBD-1 for these 10 isolates was >64 mg/L (Table 5). 180
181
Discussion
182
The results obtained are of interest from several points of view. First, even though studies of the 158
(4-32) mg/L. hBD-1 was found to be ineffective against 10 out of 24 E. coli isolates; its MIC
159
against susceptible strains was 32 (14-32) mg/L. The MIC of amikacin was 3 (2-4) mg/L. 171
The study of the combined antimicrobial action of defensins with amikacin against E. coli
172
isolates produced similar results. The combinations of HNP-1 + amikacin and hBD-3 + amikacin
173
in most cases demonstrated synergistic action – the FICI values were 0.375 (0.375-0.5) and 0.5
174
(0.375-0.5), respectively (Table 5). The combined use of HNP-1 and amikacin did not show
175
synergy in only 3 cases out of 24 (EC-6, EC-11, EC-13), and the combination of hBD-3 +
176
amikacin – only in 2 cases out of 24 (EC-5, EC-13). The combined use of hBD-1 and amikacin
177
against E. coli isolates did not show a synergistic effect: FICI = 1 (0.75-1.5). Moreover, in 10
178
cases out of 24, it was not possible to calculate the FICI value of this combination of substances,
179
since the MIC of hBD-1 for these 10 isolates was >64 mg/L (Table 5). 180 Manuscript to be reviewed 186
Second, the obtained data can be used to search for and develop new strategies for overcoming
187
resistance to antimicrobial drugs used in clinical practice, since this work shows that, for
188
instance, the MIC values of rifampicin and amikacin decrease by several times when they are
189
used in combination with HNP-1 or hBD-3. 190
191
We showed that antibiotic resistance phenotype (including methicillin resistance) does not affect
192
the sensitivity of the studied bacterial isolates to AMPs (Tables 2 and 3). It can be argued that the
193
mechanism of antimicrobial action of the studied defensins is at least not associated with the
194
targets against which conventional antibiotics are directed. The antimicrobial activity of
195
positively charged defensins is realized when a certain threshold concentration of AMP
196
molecules on the outer surface of the lipid membrane of a bacterial cell is reached, so that the
197
tangential tension is compensated, which ultimately leads to the formation of pores of different 158
(4-32) mg/L. hBD-1 was found to be ineffective against 10 out of 24 E. coli isolates; its MIC
159
against susceptible strains was 32 (14-32) mg/L. The MIC of amikacin was 3 (2-4) mg/L. 160
161
We showed that against S. aureus (including MRSA), the combinations of HNP-1 + rifampicin
162
and hBD-3 + rifampicin in most cases demonstrated synergistic effects – the FICI values for both
163
combinations were 0.5 (0.375-0.5) (Table 4). The combination of HNP-1 + rifampicin did not
164
show a synergistic effect against only 3 out of 27 S. aureus isolates (SA-4, SA-6, SA-19). When
165
the combination of hBD-3 + rifampicin was used, the FICI value exceeded 0.5 for three isolates
166
of S. aureus (SA-4, SA-9, SA-21), which indicates the absence of interaction between these
167
substances against these strains. As to the combination of hBD-1 + rifampicin, we showed that
168
only in 3 cases out of 27 there is a synergism of action (against isolates SA-5, SA-13, SA-14, see
169
Table 4), while the median FICI value was 0.75 (0.75-1.25). 170
171
The study of the combined antimicrobial action of defensins with amikacin against E. coli
172
isolates produced similar results. The combinations of HNP-1 + amikacin and hBD-3 + amikacin
173
in most cases demonstrated synergistic action – the FICI values were 0.375 (0.375-0.5) and 0.5
174
(0.375-0.5), respectively (Table 5). Manuscript to be reviewed 198
structure (Sengupta et al., 2008). The differences in MIC values between different isolates of the
199
same species may be due to differences in the structures of their cell walls. 198
structure (Sengupta et al., 2008). The differences in MIC values between different isolates of the
199
same species may be due to differences in the structures of their cell walls. 200
201
In this work, we did not study the activity of defensins at concentrations above 64 mg/L; there is
202
no need to carry out MIC analysis at such high concentrations, since the use of AMPs in practice
203
has a number of limitations. Implementation of AMPs is complicated by the fact that they are
204
rapidly degraded by peptidases (Steckbeck, Deslouches & Montelaro, 2014). This leads to their
205
short duration of action and significantly affects the pharmacokinetics. Moreover, AMPs can
206
have a cytotoxic effect on eukaryotic cells and cause hemolysis (Matsuzaki, 2009; Takahashi et
207
al., 2010). Another problem with the large-scale use of AMPs is the high cost of their production
208
(Pachón-Ibáñez et al., 2017). To solve these problems, several strategies have been proposed:
209
modification of AMPs or creation of new peptides (with a short amino acid sequence) (Pachón-
210
Ibáñez et al., 2017), stimulation of the production of endogenous AMPs by administration of low
211
molecular weight compounds (Chen et al., 2020), implementation of low doses of AMPs to
212
enhance the antimicrobial activity of conventional antibiotics (Zharkova et al., 2019). 213
214
The effectiveness of AMPs significantly varies in different studies and against different strains of
215
the same species (Ganz et al., 1985; Turner et al., 1998; Schröder, 1999; (Ganz et al., 1985;
216
Turner et al., 1998; Yang et al., 1999; Sahly et al., 2003; Dürr, Sudheendra & Ramamoorthy,
217
2006; Wilmes et al., 2011; Xhindoli et al., 2016). It should be noted that there is still no standard
218
that defines control points (criteria) of susceptibility or resistance of certain species of bacteria to
219
a specific AMP. Therefore, it is necessary to conduct studies of the MIC and FICI values against
220
a large number of clinical isolates. 221
222
Earlier studies by other groups have shown that some natural and novel synthetic AMPs can
223
exhibit synergistic effects in combination with aminoglycosides or rifampicin (Pollini et al.,
224
2017; Wu et al., 2017). 181
Discussion 182
The results obtained are of interest from several points of view. First, even though studies of the
183
antimicrobial activity of HNP-1, hBD-1 and hBD-3 against S. aureus and E. coli have previously
184
been conducted, a thorough analysis of their MIC and FICI values against a large number of
185
clinical isolates with heterogeneous antibiotic resistance phenotypes has not been carried out. 186
Second, the obtained data can be used to search for and develop new strategies for overcoming
187
resistance to antimicrobial drugs used in clinical practice, since this work shows that, for
188
instance, the MIC values of rifampicin and amikacin decrease by several times when they are
189
used in combination with HNP-1 or hBD-3. 190
191
We showed that antibiotic resistance phenotype (including methicillin resistance) does not affect
192
the sensitivity of the studied bacterial isolates to AMPs (Tables 2 and 3). It can be argued that the
193
mechanism of antimicrobial action of the studied defensins is at least not associated with the
194
targets against which conventional antibiotics are directed. The antimicrobial activity of
195
positively charged defensins is realized when a certain threshold concentration of AMP
196
molecules on the outer surface of the lipid membrane of a bacterial cell is reached, so that the
197
tangential tension is compensated, which ultimately leads to the formation of pores of different 182
The results obtained are of interest from several points of view. First, even though studies of the
183
antimicrobial activity of HNP-1, hBD-1 and hBD-3 against S. aureus and E. coli have previously
184
been conducted, a thorough analysis of their MIC and FICI values against a large number of
185
clinical isolates with heterogeneous antibiotic resistance phenotypes has not been carried out. 186
Second, the obtained data can be used to search for and develop new strategies for overcoming
187
resistance to antimicrobial drugs used in clinical practice, since this work shows that, for
188
instance, the MIC values of rifampicin and amikacin decrease by several times when they are
189
used in combination with HNP-1 or hBD-3. PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed 238
combinations of AMPs with antibiotics to
239
would require studies with reference strai
240
number of appropriate clinical isolates. 241
242
It has previously been shown that hBD-3
243
bacterial growth, regulation of inflammat
244
general, the effects of AMPs in vivo are v
245
2020) to the ability to neutralize the letha
246
Defensins can be considered as an effecti
247
(Colavita et al., 2015), since AMPs direct
248
release of pro-inflammatory cytokines, an
249
immune response (Suarez-Carmona et al. 250
should be assessed in in vivo experimenta
251
252
Thinking about further strategies for usin
253
resistance, we suggest that one of the app
254
the search for ways to produce endogenou
255
weight compounds or viral vectors encod
256
conventional antibiotics. On the one hand
257
antibacterial drugs, and on the other hand
258
cheaper way of application of AMPs. 259
260
Conclusions
261
Thus, in this work, we investigated the an
262
and hBD-3 against clinical isolates of S. a
263
defensins, HNP-1 and hBD-3 were the m
264
showed a synergistic effect against most
265
rifampicin and amikacin. 266
Acknowledgements
267
Many thanks to Professor Vladimir Batur
268
Thanks to Dr. Elena Kunitsina for
269
270
directorship of Stavropol State Medical
271
272
Vladimir Koshel and the vice-rector
273
274
excellent facilities for research. 275
276
References
277
Andrei S, Droc G, Stefan G. 2019. FDA a
278
7:e102. DOI: 10.15190/d.2019.15. 279
Bassetti M, Merelli M, Temperoni C, Ast
280
we? Annals of Clinical Microbiology and
PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 O 238
combinations of AMPs with antibiotics to which the bacteria have acquired resistance. This
239
would require studies with reference strains, followed by verification with respect to a large
240
number of appropriate clinical isolates. 241
242
It has previously been shown that hBD-3 can effectively combat MRSA biofilms by suppressing
243
bacterial growth, regulation of inflammation and immune responses in vivo (Zhu et al., 2017). In
244
general, the effects of AMPs in vivo are very diverse: from wound healing (Bolatchiev et al.,
245
2020) to the ability to neutralize the lethal toxin of the anthrax pathogen (Kim et al., 2005). Manuscript to be reviewed The mechanism underlying the synergistic action of HNP-1 / hBD-3 with
225
rifampicin and amikacin is most likely to be related to the fact that AMPs facilitate the
226
penetration of antibiotics into cells (Zharkova et al., 2019). Zharkova et al. have shown that often
227
there is synergy between highly active AMPs targeting membranes (for example, protegrin 1,
228
hBD-3) and antibiotics with intracellular targets (for example, gentamicin, rifampicin), which
229
suggests an increase in bioavailability as the main model of such interaction (Zharkova et al.,
230
2019). 231
232
The implementation of low doses of AMPs can reduce the MICs of some antibiotics, which has
233
been shown in numerous studies. For instance, the combination of hBD-3 and methicillin
234
demonstrates a synergistic effect against clinical strains of MRSA with FICI values in the range
235
of 0.09-0.45 (Midorikawa et al., 2003). This is very interesting because the use of methicillin
236
alone is not effective against MRSA (EUCAST, 2020), thus, hBD-3 can help overcome the
237
resistance of MRSA to beta-lactam antibiotics. Similar results can be obtained for other PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed 241
242
It has previously been shown that hBD-3 can effectively combat MRSA biofilms by suppressing
243
bacterial growth, regulation of inflammation and immune responses in vivo (Zhu et al., 2017). In
244
general, the effects of AMPs in vivo are very diverse: from wound healing (Bolatchiev et al.,
245
2020) to the ability to neutralize the lethal toxin of the anthrax pathogen (Kim et al., 2005). 246
Defensins can be considered as an effective link between innate and adaptive immune responses
247
(Colavita et al., 2015), since AMPs directly stimulate the migration of immune cells, promote the
248
release of pro-inflammatory cytokines, and activate antigen-presenting cells through the Th1
249
immune response (Suarez-Carmona et al., 2015). Thus, it is obvious that synergistic effects
250
should be assessed in in vivo experimental models. 251
252
Thinking about further strategies for using these defensins to solve the problem of antibiotic
253
resistance, we suggest that one of the approaches to future clinical applications of AMPs may be
254
the search for ways to produce endogenous AMPs (for instance, by introducing low molecular
255
weight compounds or viral vectors encoding peptide sequences) in combination with
256
conventional antibiotics. On the one hand, this strategy can help to increase the effectiveness of
257
antibacterial drugs, and on the other hand, the stimulation of endogenous AMPs is a much
258
cheaper way of application of AMPs. 259
260
Conclusions
261
Thus, in this work, we investigated the antimicrobial activity of human defensins HNP-1, hBD-1,
262
and hBD-3 against clinical isolates of S. aureus (n = 27) and E. coli (n = 24). Among the studied
263
defensins, HNP-1 and hBD-3 were the most effective. Moreover, these antimicrobial peptides
264
showed a synergistic effect against most of the studied isolates when applied together with
265
rifampicin and amikacin. 266
Acknowledgements
267
Many thanks to Professor Vladimir Baturin for constructive comments about the manuscript. 268
Thanks to Dr. Elena Kunitsina for
269
providing bacterial strains. Big thanks to the
270
directorship of Stavropol State Medical
271
University represented by the rector Professor
272
Vladimir Koshel and the vice-rector
273
Professor Evgeny Shchetinin for providing
274
excellent facilities for research. 275 238
combinations of AMPs with antibiotics to which the bacteria have acquired resistance. This
239
would require studies with reference strains, followed by verification with respect to a large
240
number of appropriate clinical isolates. Manuscript to be reviewed 246
Defensins can be considered as an effective link between innate and adaptive immune responses
247
(Colavita et al., 2015), since AMPs directly stimulate the migration of immune cells, promote the
248
release of pro-inflammatory cytokines, and activate antigen-presenting cells through the Th1
249
immune response (Suarez-Carmona et al., 2015). Thus, it is obvious that synergistic effects
250
should be assessed in in vivo experimental models. 251
252
Thinking about further strategies for using these defensins to solve the problem of antibiotic
253
resistance, we suggest that one of the approaches to future clinical applications of AMPs may be
254
the search for ways to produce endogenous AMPs (for instance, by introducing low molecular
255
weight compounds or viral vectors encoding peptide sequences) in combination with
256
conventional antibiotics. On the one hand, this strategy can help to increase the effectiveness of
257
antibacterial drugs, and on the other hand, the stimulation of endogenous AMPs is a much
258
cheaper way of application of AMPs. 259
260
Conclusions
261
Thus, in this work, we investigated the antimicrobial activity of human defensins HNP-1, hBD-1,
262
and hBD-3 against clinical isolates of S. aureus (n = 27) and E. coli (n = 24). Among the studied
263
defensins, HNP-1 and hBD-3 were the most effective. Moreover, these antimicrobial peptides
264
showed a synergistic effect against most of the studied isolates when applied together with
265
rifampicin and amikacin. 266
Acknowledgements
267
Many thanks to Professor Vladimir Baturin for constructive comments about the manuscript. 268
Thanks to Dr. Elena Kunitsina for
269
providing bacterial strains. Big thanks to the
270
directorship of Stavropol State Medical
271
University represented by the rector Professor
272
Vladimir Koshel and the vice-rector
273
Professor Evgeny Shchetinin for providing
274
excellent facilities for research. 275
276
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Conclusions 261
Thus, in this work, we investigated the antimicrobial activity of human defensins HNP-1, hBD-1,
262
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263
defensins, HNP-1 and hBD-3 were the most effective. Moreover, these antimicrobial peptides
264
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265
rifampicin and amikacin. 261
Thus, in this work, we investigated the antimicrobial activity of human defensins HNP-1, hBD-1,
262
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263
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264
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265
rifampicin and amikacin. 266
Acknowledgements
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Many thanks to Professor Vladimir Baturin for constructive comments about the manuscript. 268
Thanks to Dr. Elena Kunitsina for
269
providing bacterial strains. Big thanks to the
270
directorship of Stavropol State Medical
271
University represented by the rector Professor
272
Vladimir Koshel and the vice-rector
273
Professor Evgeny Shchetinin for providing
274
excellent facilities for research. 275
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2019. Application of antimicrobial peptides of the innate immune system in PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) 427
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conventional antibiotics-a novel way to combat antibiotic resistance? Frontiers in Cellular and
428
Infection Microbiology 9. DOI: 10.3389/fcimb.2019.00128. 427
conventional antibiotics-a novel way to combat antibiotic resistance? Frontiers in Cellular and
428
Infection Microbiology 9. DOI: 10.3389/fcimb.2019.00128. 427
conventional antibiotics-a novel way to combat antibiotic resistance? Frontiers in Cellular and
428
Infection Microbiology 9. DOI: 10.3389/fcimb.2019.00128. 427
conventional antibiotics-a novel way to combat antibiotic resistance? Frontiers in Cellular and
428
Infection Microbiology 9. DOI: 10.3389/fcimb.2019.00128. 429
Zhu C, Bao NR, Chen S, Zhao JN. 2017. The mechanism of human β-defensin 3 in MRSA-
430
induced infection of implant drug-resistant bacteria biofilm in the mouse tibial bone marrow. 431
Experimental and Therapeutic Medicine 13. DOI: 10.3892/etm.2017.4112. 429
Zhu C, Bao NR, Chen S, Zhao JN. 2017. The mechanism of human β-defensin 3 in MRSA-
430
induced infection of implant drug-resistant bacteria biofilm in the mouse tibial bone marrow. 431
Experimental and Therapeutic Medicine 13. DOI: 10.3892/etm.2017.4112. 431
Experimental and Therapeutic Medicine 13. DOI: 10.3892/etm.2017.4112. PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed Manuscript to be reviewed Manuscript to be reviewed Table 1(on next page) Table 1(on next page) Table 1(on next page) Amino acid sequences and characteristics of defensins used PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed Manuscript to be reviewed Table 2(on next page) Manuscript to be reviewed 1
2
Peptide
Amino acid
sequence
Length
(amino-
acid
residues)
Molecular
weight
Charge
Hydrophobic
residues
HNP-1
ACYCRIPACIAG
ERRYGTCIYQGR
LWAFCC
30
3.45 kDa
+3
53%
hBD-1
DHYNCVSSGGQ
CLYSACPIFTKIQ
GTCYRGKAKCC
K
36
3.94 kDa
+4
36%
hBD-3
GIINTLQKYYCR
VRGGRCAVLSC
LPKEEQIGKCST
RGRKCCRRKK
45
5.17 kDa
+11
33%
Manuscript to be re PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Table 2(on next page) Table 2(on next page) Minimum inhibitory concentration (MIC) of AMPs and rifampicin (RIF) against S. aureus
isolates FOX, cefoxitin; AMP, ampicillin; CIP, ciprofloxacin; LVX, levofloxacin; DOX, doxycycline; ERY,
erythromycin; AZM, azithromycin; GEN, gentamicin; AMN, amikacin; RIF, rifampicin; * –
MRSA. PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed Manuscript to be reviewed Antimicrobial agent MIC (mg/L)
S. aureus
isolates
HNP-1
hBD-1
hBD-3
RIF
Resistance phenotype
SA-1
8
4
4
0.004
AMP, CIP
SA-2
4
8
0.5
0.004
CIP
SA-3
8
16
8
0.008
CIP
SA-4
4
2
0.5
0.004
AMP, CIP, ERY, AZM
SA-5
4
4
1
0.008
CIP, DOX
SA-6
0.5
1
1
0.004
CIP, DOX
SA-7
2
4
0.5
0.004
AMP, ERY, AZM
SA-8
4
8
1
0.008
AMP, AZM
SA-9*
0.5
4
0.5
0.016
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-10*
0.5
8
1
0.016
FOX, GEN, AMN
SA-11*
4
2
4
0.016
FOX, AMP, GEN, AMN
SA-12*
2
16
8
0.016
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-13*
2
4
4
0.008
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-14*
8
4
1
0.008
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-15*
4
8
0.5
0.008
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-16*
4
16
0.5
0.004
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-17*
16
2
1
0.008
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-18*
4
2
0.5
0.004
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-19*
1
2
0.5
0.004
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-20*
4
16
0.5
0.032
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-21*
4
8
1
0.016
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-22*
16
4
4
0.016
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-23*
4
16
0.5
0.004
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-24*
16
8
0.5
0.032
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-25*
4
8
1
0.008
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) 1
SA-26*
16
8
4
0.016
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-27*
4
16
2
0.032
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
Manuscript to be reviewed 1
SA-26*
16
8
4
0.016
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
SA-27*
4
16
2
0.032
FOX, AMP, CIP, LVX, DOX, ERY,
AZM, GEN, AMN
Manuscript to be reviewed 1 PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed Antimicrobial agent MIC (mg/L)
E. coli
isolates
HNP-1
hBD-1
hBD-3
AMN
Resistance phenotype
EC-1
32
>64
8
4
AMP, AMC, CFX, IMP, CFS, GEN,
LVX, CHL
EC-2
16
>64
4
2
AMP, AMC, CFX
EC-3
32
>64
4
4
AMP, AMC, CFX, IMP, LVX, CHL
EC-4
16
>64
4
4
AMP, CFX, CHL
EC-5
8
16
0.5
4
AMP, AMC, CFX, IMP, CHL
EC-6
4
32
1
1
AMP, CHL
EC-7
4
>64
4
4
AMP, CHL
EC-8
16
32
8
4
AMP, AMC, CFX, GEN, CHL
EC-9
8
32
16
4
AMP, CHL
EC-10
32
8
8
4
AMP, AMC, CFX, CHL
EC-11
32
16
4
2
AMP
EC-12
32
>64
2
1
AMP, AMC, CFX
EC-13
8
8
1
2
AMP, CHL
EC-14
4
32
2
4
AMP, AMC, CFX,
EC-15
2
>64
4
4
AMP, AMC, CFX, LVX, CHL
EC-16
4
32
8
2
AMP, CHL
EC-17
4
16
4
4
AMP, AMC, CFX, GEN, CHL
EC-18
8
8
8
2
AMP, CHL
EC-19
16
32
8
1
AMP, AMC, CFX, CHL
EC-20
32
32
4
1
AMP, CHL
EC-21
32
>64
8
2
AMP, AMC, CFX, IMP, LVX, CHL
EC-22
16
32
8
4
AMP
EC-23
8
>64
8
1
AMP, CFX, CHL
EC-24
4
>64
8
2
AMP, AMC, CFX, CHL 1 Table 3(on next page) Table 3(on next page) Minimum inhibitory concentration (MIC) of AMPs and amikacin (AMN) against E. coli
isolates AMP, ampicillin; AMC, amoxicillin-clavulanic acid; CFX, cefotaxime; IMP, imipenem; CFS,
cefoperazone-sulbactam; LVX, levofloxacin; GEN, gentamicin; AMN, amikacin; CHL,
chloramphenicol. PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed Table 4(on next page) Table 4(on next page) PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Table 4(on next page) Fractional inhibitory concentration indexes (FICI) of human defensins in combination
with rifampicin (RIF) against S. aureus isolates * – MRSA; FICI ≤ 0,5 – synergistic effect; 0.5 < FICI < 4 – no interaction; FICI > 4 –
antagonism. PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed FICI
S. aureus
isolates
HNP-1 + RIF
hBD-1 + RIF
hBD-3 + RIF
SA-1
0.5
1.5
0.5
SA-2
0.5
1
0.5
SA-3
0.375
0.75
0.375
SA-4
0.75
0.75
0.875
SA-5
0.375
0.5
0.5
SA-6
0.625
1.5
0.5
SA-7
0.5
1.25
0.5
SA-8
0.5
0.75
0.375
SA-9*
0.375
0.75
0.625
SA-10*
0.5
0.625
0.5
SA-11*
0.375
1.25
0.3125
SA-12*
0.15625
0.75
0.375
SA-13*
0.5
0.5
0.5
SA-14*
0.5
0.5
0.375
SA-15*
0.3125
0.75
0.25
SA-16*
0.28125
0.625
0.5
SA-17*
0.375
0.75
0.375
SA-18*
0.5
1.25
0.5
SA-19*
0.625
1.0625
0.375
SA-20*
0.265625
1.125
0.375
SA-21*
0.375
1.5
0.75
SA-22*
0.25
1.25
0.5
SA-23*
0.5
1.25
0.5
SA-24*
0.5
0.625
0.375
SA-25*
0.5
1.125
0.375
SA-26*
0.3125
1.5
0.375
SA-27*
0.375
0.75
0.5 Manuscript to be reviewed Manuscript to be reviewed Table 5(on next page) PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Table 5(on next page) Table 5(on next page) Fractional inhibitory concentration indexes (FICI) of human defensins in combination
with amikacin (AMN) against E. coli isolates FICI ≤ 0,5 – synergistic effect; 0.5 < FICI < 4 – no interaction; FICI > 4 – antagonism; in some
cases of hBD-1 + AMN combination FICI has not been calculated – since MIC values of hBD-1
were > 64 mg/L. PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) Manuscript to be reviewed FICI
E. coli
isolates
HNP-1 + AMN
hBD-1 + AMN
hBD-3 + AMN
EC-1
0.5
-
0.5
EC-2
0.375
-
0.375
EC-3
0.25
-
0.5
EC-4
0.375
-
0.5
EC-5
0.375
1
0.75
EC-6
0.75
1
0.375
EC-7
0.375
-
0.5
EC-8
0.5
1.5
0.5
EC-9
0.375
0.75
0.375
EC-10
0.5
0.375
0.5
EC-11
0.75
0.75
0.375
EC-12
0.5
-
0.5
EC-13
0.625
1
0.75
EC-14
0.375
0.75
0.5
EC-15
0.5
-
0.5
EC-16
0.5
1
0.5
EC-17
0.25
1.5
0.5
EC-18
0.5
2
0.5
EC-19
0.375
1.5
0.375
EC-20
0.5
1.5
0.5
EC-21
0.375
-
0.5
EC-22
0.25
1.5
0.375
EC-23
0.375
-
0.5
EC-24
0.3125
-
0.375 PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020) PeerJ reviewing PDF | (2020:09:52766:1:0:NEW 20 Oct 2020)
|
https://openalex.org/W2162865238
|
https://cris.unibo.it/bitstream/11585/517623/2/12913_2015_Article_748.pdf
|
English
| null |
Unfolding similarity in interphysician networks: the impact of institutional and professional homophily
|
BMC health services research
| 2,015
|
cc-by
| 7,333
|
Abstract Background: Modern healthcare is characterized by high complexity due to the proliferation of specialties,
professional roles, and priorities within organizations. To perform clinical interventions, knowledge distributed
across units, directorates and individuals needs to be integrated. Formal and/or informal mechanisms may be
used to coordinate knowledge and tasks within organizations. Although the literature has recently considered
the role of physicians’ professional networks in the diffusion of knowledge, several concerns remain about the
mechanisms through which these networks emerge within healthcare organizations. The aim of the present
paper is to explore the impact of institutional and professional homophilies on the formation of interphysician
professional networks. Methods: We collected data on a community of around 300 physicians working at a local health authority within
the Italian National Health Service. We employed multiple regression quadratic assignment procedures to explore
the extent to which institutional and professional homophilies influence the formation of interphysician networks. Results: We found that both institutional and professional homophilies matter in explaining interphysician
networks. Physicians who had similar fields of interest or belonged to the same organizational structure were
more likely to establish professional relationships. In addition, professional homophily was more relevant than
institutional affiliation in explaining collaborative ties. Methods: We collected data on a community of around 300 physicians working at a local health authority within
the Italian National Health Service. We employed multiple regression quadratic assignment procedures to explore
the extent to which institutional and professional homophilies influence the formation of interphysician networks. Results: We found that both institutional and professional homophilies matter in explaining interphysician
networks. Physicians who had similar fields of interest or belonged to the same organizational structure were
more likely to establish professional relationships. In addition, professional homophily was more relevant than
institutional affiliation in explaining collaborative ties. Conclusions: Our findings have organizational implications and provide useful information for managers who are
responsible for undertaking organizational restructuring. Healthcare executives and administrators may want to
consider the structure of advice networks while adopting new organizational structures. Keywords: Homophily, Physicians’ networks, Social network analysis, Organizational theory social networks within communities of professionals
[4-6]. The preponderance of prior research focuses on
the structure and impact of social networks on individ-
ual and organizational outcomes and benefits, such as
quality of care, adoption of innovations and evidence-
based medicine (EBM), patient satisfaction, and prescrib-
ing behavior [7-12]. Mascia et al. BMC Health Services Research (2015) 15:92
DOI 10.1186/s12913-015-0748-9 Mascia et al. BMC Health Services Research (2015) 15:92
DOI 10.1186/s12913-015-0748-9 Open Access Abstract Social network analysis (SNA) has
been used to explain information exchange patterns
among professionals, such as the diffusion of medical in-
novations [3,13,14], physicians’ decision making [15] as
well as organizational culture and hierarchies [2,16]. Despite the wide application of SNA in healthcare, less
attention has been paid to the determinants of social
network formation among physicians [17,18]. Unfolding similarity in interphysician networks:
the impact of institutional and professional
homophily ele Mascia1*, Fausto Di Vincenzo2, Valentina Iacopino3, Maria Pia Fantini4 and Americo Cicchetti3 Daniele Mascia1*, Fausto Di Vincenzo2, Valentina Iacopino3, Maria Pia Fantini4 and Americo Cic * Correspondence: dmascia@rm.unicatt.it
1Department of Public Health and ALTEMS (Graduate School of Health
Economics and Management), Catholic University of the Sacred Heart, Largo
F. Vito 1, 00168 Rome, Italy
Full list of author information is available at the end of the article © 2015 Mascia et al.; licensee BioMed Central. This is an Open Access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly credited. The Creative Commons Public Domain
Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article,
unless otherwise stated. Background Coordination and work in healthcare increasingly occur
through informal networks of relationships rather than
through channels that are tightly prescribed by formal
reporting structures or detailed work processes [1]. Phy-
sicians often establish interpersonal collaborative ties
with colleagues to access and exchange clinical know-
ledge and to solve daily problems or decide on effective
treatments for patients [2,3]. The healthcare manage-
ment literature has widely investigated the relevance of * Correspondence: dmascia@rm.unicatt.it
1Department of Public Health and ALTEMS (Graduate School of Health
Economics and Management), Catholic University of the Sacred Heart, Largo
F. Vito 1, 00168 Rome, Italy
Full list of author information is available at the end of the article Page 2 of 8 Mascia et al. BMC Health Services Research (2015) 15:92 Mascia et al. BMC Health Services Research (2015) 15:92 specific purpose of changing the routine behaviors of
professionals within hospitals. For example, clinical di-
rectorates were introduced into the Italian National
Health System (I-NHS) as an institutional reference
model, with the aim of reorienting activities towards
healthcare processes carried out by divisional units [33]
in charge of making strategic and organizational deci-
sions [34,35]. These intermediate organizational models
manage certain services of large hospitals and resemble
the divisions that are typically adopted in large private
multinational corporations [31,32]. The size of the dir-
ectorate, its degree of autonomy, and the criteria used
for integrating hospital clinical wards may vary consider-
ably across health systems [32]. Hospital executives are
often free to decide how to implement the new model in
hospitals by selecting the specific clinical wards and
medical specialties to be integrated into single depart-
ments. The variety of merged clinical specialties heavily
affects the ability of clinical directorates to influence the
behaviors of physicians, including their propensity to
build collaborative relationships. The propensity to create professional relationships is
strongly driven by homophily that is, the preference of
individuals to choose others who are similar to them-
selves as partners [19]. Increasing interest in this topic is
due to the growing relevance of interactions among indi-
viduals in sociological and organizational issues [20]. Different attributes have been identified as determinants
of homophily, including race and ethnicity, gender, age,
religion, education, occupation and social class, network
positions, behaviors, attitudes, abilities, beliefs, and aspi-
rations [19]. Background For example, belonging to the same med-
ical specialty largely explains the propensity of physicians
to form professional networks in hospital organizations
[29] and to ensure fruitful peer-to-peer communication
[30]. On the other hand, physicians are often enrolled in
separate clusters with highly similar members. Thus, pro-
fessional boundaries may constitute a problem when they
hinder the spread of innovations, guidelines, and clinical
protocols [5]. The social environment—that is, the phys-
ical and institutional spaces where individuals interact—is
a relevant issue affecting homophilous ties, which can
induce similarity in behaviors [8]. In the healthcare sec-
tor, such an institutional space could refer to emerging
organizational models characterizing hospital organizations. In the healthcare sector, professional categories delin-
eate the boundaries of the social space in which collective
norms, rules and behaviors are generated and adopted by
individuals [5]. For example, belonging to the same med-
ical specialty largely explains the propensity of physicians
to form professional networks in hospital organizations
[29] and to ensure fruitful peer-to-peer communication
[30]. On the other hand, physicians are often enrolled in
separate clusters with highly similar members. Thus, pro-
fessional boundaries may constitute a problem when they
hinder the spread of innovations, guidelines, and clinical
protocols [5]. The social environment—that is, the phys-
ical and institutional spaces where individuals interact—is
a relevant issue affecting homophilous ties, which can
induce similarity in behaviors [8]. In the healthcare sec-
tor, such an institutional space could refer to emerging
organizational models characterizing hospital organizations. Many Western healthcare systems (e.g., U.K., Italy,
Australia, France) have implemented healthcare reforms
aimed at the adoption of new organizational models that
focus on fostering patient-centered care and a team-
based approach in the development of clinical activities
[31,32]. These newly adopted models, referred to as
“clinical directorates” or “departments”, are defined by
groups of clinical specialties that are integrated with the Many Western healthcare systems (e.g., U.K., Italy,
Australia, France) have implemented healthcare reforms
aimed at the adoption of new organizational models that
focus on fostering patient-centered care and a team-
based approach in the development of clinical activities
[31,32]. These newly adopted models, referred to as
“clinical directorates” or “departments”, are defined by
groups of clinical specialties that are integrated with the Given this theoretical background, in this paper we as-
sume that the social environment in which physicians
interact is a relevant factor affecting homophilous ties. Background Moreover, homophily has been studied in
several settings, such as voluntary organizations [21], post-
graduate educational programs, universities and schools
[22-25], hospitals [26], workplace organizations [27] and
courthouses [28]. The principle that “similarity breeds connection” [19]
simplifies the process of communication, by mitigating
conflicts and relationship costs and by producing rele-
vant effects in terms of trust and solidarity [20,24,25]. Homophily usually arises from an individual’s choice
(“choice homophily”) or from the specific structure of
the individual’s social world (“induced homophily”) [21]. In the first case, the selection occurs because of the pref-
erence of similar attributes; in the second case, relational
choices are guided by the social context. In other words,
the creation of homophilous ties can be due to individ-
ual preference as well as to social world proposals, even
if the latter are the results of choices and opportunities
along an individual’s life [24]. The understanding of homophilous relationships is
particularly interesting in the healthcare setting, where
the final aim is the integration and standardization of
healthcare processes. Indeed, the organizational models
created to achieve these goals are considered ineffective if
they do not encourage interactions among professionals. It is crucial to investigate the determinants of these inter-
actions and to provide the management with an inform-
ative basis for evaluating the quality of organizational
action. Organizational and social proximity, defined as the
closeness among individuals within a certain context or
network, make physicians more likely to link closely. Given this proximity, linked physicians become progres-
sively similar because of the induced homophily guiding
their choices [24]. For example, Keating et al. [30] showed
that physicians are more likely to be influenced by other
colleagues of the same organization than by clinicians of
other hospitals, suggesting that spatial and geographical
proximities do matter for the creation of ties. This influ-
ence occurs because belonging to the same social context
often means being involved in similar activities or achiev-
ing common goals. This trend has also been observed for
homophilous ties based on gender. Moreover, prior litera-
ture has recorded professional homophilous behaviors
between physicians and other categories of healthcare
professionals [26], as well as among clinicians of different
specialties [5]. In the healthcare sector, professional categories delin-
eate the boundaries of the social space in which collective
norms, rules and behaviors are generated and adopted by
individuals [5]. Background More formally, the aim of the present paper is to explore
the impact of institutional and professional homophilies
on the formation of interphysician professional networks. Page 3 of 8 Mascia et al. BMC Health Services Research (2015) 15:92 Mascia et al. BMC Health Services Research (2015) 15:92 using a questionnaire survey including 17 questions or-
ganized into three main sectionsa. The main purpose of
the first section was to collect attributional data on clini-
cians, including their age, gender, hospital tenure, prior
experience in the I-NHS, specialization, and managerial
role. The second section was designed to collect data on
the information exchange network relationships between
clinicians. Consistent with Burt [41], we used an egocen-
tric social network survey instrument to derive a single
list of people with whom the respondent had ties. Specif-
ically, each physician was asked to name colleagues both
within and outside his/her hospital organization with
whom he/she interacts through a) relationships based on
exchanging consulting and advice, and b) relationships
that are functional for patient assistance. We combined
responses into a summary network, including both types
of ties. In accordance with a previous study [42], in
order to measure the strength of a tie between the re-
spondent and each identified colleague, we asked each
respondent “How strong is the connection you have with
X?” with possible responses ranging on a 5-point scale
from “not at all” (1) to “very much” (5). The purpose of
the third section was to determine each clinician’s pro-
pensity for adopting EBM. This part of the questionnaire
included some questions examining the respondents’
perception of the availability of information and of the
possibility of accessing scientific evidence through cor-
porate information technology support. According to previous literature, people who share similar
interests are more likely to form relationships [36-38]. Moreover, sharing a similar context or institutional en-
vironment increases mutual trust and the perception of
belonging, aspects that influence the formation of intercon-
nections among actors [38,39]. According to this latter
definition, the role of the formal organizational structure
seems to emerge as a relevant predictor in the creation
of interconnections: actors who belong to the same
organization are more likely to interact reciprocally, be-
cause they have similar problems they need to share and
solve. Variables To achieve the aim of the present study, we used a dyadic
approach and assumed the dyad (rather than the individ-
ual) as unit of analysis. We used one-mode squared matri-
ces to appraise the relationships among actors in the
networks, as well as the differences and similarities among
each pair (dyad) of actors [29]. Our dependent variable was relational in nature because
it captured interpersonal collaborative relationships be-
tween the sampled physicians. Unfortunately, ordinary
regression techniques are not suitable to regress the
formation of social networks on several independent vari-
ables (i.e., interphysician collaborative links). We trans-
formed all covariates representing individual attributes Background Thus, we define “institutional homophily” the likeli-
hood that individuals will create ties with others who have
similar interests and are affiliated with similar institutions. On the other side, an individual’s professional back-
ground could influence interconnections among individ-
uals. In particular, similar perspective and social capital
could act as predictors of networks. In this study, we de-
fine “professional homophily” as the likelihood that indi-
viduals will establish relationships with others who are
similar in terms of their field of specialization. We as-
sume that people who generally share a similar back-
ground are more likely to create ties. Research setting A cross-sectional SNA study was conducted on a commu-
nity of physicians affiliated with six hospital sites in Bolo-
gna’s local health authority (LHA), one of the largest
healthcare organizations in the I-NHS. In Italy, LHAs aim
to promote and protect the health of all resident citizens
in a specific jurisdiction. Currently, there are 145 LHAs
representing the basic elements of the I-NHS. Based on
the criteria of efficiency and cost-effectiveness, LHAs pro-
vide care directly through their own facilities or indirectly
by purchasing services from accredited providers, such as
independent public and private structures. Questionnaires were submitted online from February to
November 2007 to all 329 physicians affiliated with the six
hospitals of the LHA. Physicians completed questionnaires
during breaks at work or while at home. Participation was
voluntary, and respondents were assured that their re-
sponses would be confidential and used for research pur-
poses only. According to Italian law, ethics approval was
not necessary because no information concerning patients
was collected and no experimental research was per-
formed. However, all physicians provided written in-
formed consent for their participation in the study. The LHA of Bologna serves approximately 800,000 in-
dividuals residing in 50 municipalities in the province of
Bologna, with more than 80,000 hospitalizations per
year. In Bologna’s LHA, hospital activities are carried
out according to a matrix organizational model. Six
hospital facilities perform hospital activities, which are
provided by three clinical directorates. In this LHA,
moderately heterogeneous clinical wards and medical
specialties are merged into clinical directorates. More-
over, the time elapsed since the new model was formally
adopted is satisfactory to ascertain whether behavioral
changes, such as new patterns of collaboration between
clinicians, are at play. Data collection
d Data used in this paper refer to a previously published
observational study [11,29,40], which was conducted by Page 4 of 8 Mascia et al. BMC Health Services Research (2015) 15:92 into dyadic explanatory variables. This transformation
allowed us to translate attributional data into “relational”
data. Specifically, continuous covariates (age, tenure, etc.)
were entered into the statistical model as absolute differ-
ences between “sender” and “receiver” physician values. Smaller differences indicated greater similarity between
physicians, and values of “0” indicated that the physicians
were identical with respect to a given attribute. In other
words, we assumed that differences in continuous attri-
butes measured the degree of homophily among dyad
members, and that positive (negative) signs for continuous
variables indicated larger (smaller) differences. Thus, the
heterophily (homophily) of physicians positively (nega-
tively) predicted the propensity of physicians to establish
collaborative ties with colleagues. In contrast, individual
attributes represented by categorical covariates (affiliation
with directorates, type of specialization, etc.) or binary co-
variates (gender, managerial role, etc.) were transformed
and entered into the model as binary variables, which took
the value “1” if both members of the dyad belonged to the
same category, and “0” otherwise. that each professional belonged to, measuring the abso-
lute difference (in years) for the dyad. Fourth, we consid-
ered whether each professional covered a managerial
position (director) or not in his/her organization. Be-
cause this attribute was categorical, we assumed the
value of “1” when there was similarity in the managerial
role in the dyad, and the value of “0” otherwise. Professional homophily “Professional homophily” refers
to the likelihood that a professional will establish relation-
ships with others who are similar in terms of professional
interest or who belong to the same field of specialization. Because this attribute was categorical, we reported a value
of “1” when similarity in the field of specialization occurred
in the dyad, and a value of “0” otherwise. Institutional homophily “Institutional homophily” re-
fers to the likelihood that a professional will establish rela-
tionships with others in the same clinical directorate. This
attribute was reported with a value of “1” when both phy-
sicians in the dyad were affiliated with the same clinical
directorate, and a value of “0” otherwise. Dependent variable
Th
i
l Geographical proximity Physical distance can impact
the creation of professional networks and can explain
network characteristics [29]. We considered a control
variable to explain the physical distance of actors. Data
of the respondents’ addresses were obtained, and the ab-
solute value of distances in each dyad were calculated
with the Google Maps utility. The interpersonal collaborative network was included in
our model by considering a measure of relational “strength”
describing the frequency of collaboration among physicians. This dependent variable, named “Professional Network”,
was obtained and used to build an adjacency matrix de-
scribing the strength of the interconnections among profes-
sionals within each dyad with the UCINET 6 software
package [43]. Results
h Table 2 reports the MR-QAP results obtained by regres-
sing all explanatory variables on the professional network. We found that “Professional Homophily (same category)”
and “Institutional Homophily (same category)”, represent-
ing professional and institutional homophily, respectively,
were positively and significantly associated with the
dependent variable. The standardized coefficients reported
in Table 2 allowed us to compare the diverse impact of
the two kinds of homophily. In the model, the coefficient
of “Professional Homophily (same category)” (β = 0.1988;
p < 0.01) was greater than the coefficient of “Institutional
Homophily (same category)” (β = 0.0459; p < 0.01). These
results document that professional homophily loomed
larger than institutional homophily in predicting the for-
mation of interphysician collaborative network ties in
healthcare organizations. The sample consisted of 297 physicians (response rate
was 90%). All data needed for the analyses were available
for the entire sample. Given the relational analytical
framework adopted in this paper, the analysis was con-
ducted on 87,912 dyads.b Table 1 shows the correlation
coefficients for all variables included in the analyses. Pearson coefficients were computed through quadratic
assignment procedures [43]. The network variable was slightly correlated with “Gen-
der (same category)” (r = 0.0207, p < 0.05), whereas it was
positively correlated with “Professional Homophily (same
category)” (r = 0.3414, p < 0.05) and “Institutional Homo-
phily (same category)” (r = 0.2195, p < 0.05). Thus, having
the same specialization or belonging to the same clinical
directorate increased the likelihood that a link would be
observed between two physicians. The network variable
was negatively and significantly associated with “Manager-
ial Role (same category)” (r = −0.0395, p < 0.05) and “Geo-
graphical
Distance”
(r = −0.0663,
p < 0.05). Thus,
physicians who were located further from each other or
who had similar roles in their respective organizations
were less likely to create collaborative links. A strong posi-
tive correlation was found between the variables “Age
(difference in)”, “Years since Graduation (difference in),”
“Tenure I-NHS (difference in)”, and “Tenure LHA (differ-
ence in)”. Therefore, the difference in age between
physicians reflected differences in terms of seniority
academically, within the I-NHS, and within the currently
affiliated organization. “Years since Graduation (difference in)” and “Manager-
ial Role (same category)” were significantly associated with
the dependent variable of the network. The variable “Years
since Graduation (difference in)” was negatively associated
with the professional network (β = −0.0318, p < 0.01). Explanatory variables SNA was performed to analyze the collected relational
data. SNA is a method of collecting and analyzing data
from multiple actors (or nodes) interacting through ties
(or edges) with one another [45]. In our case, each phys-
ician represented a node, and each edge represented the
professional collaboration in service provision. Age Similarity in age occurred when the difference in
age between associates was within a range of ±4 years,
in accordance with Feld [44]. Age, as a continuous attri-
bute, was measured as the absolute difference in age for
each dyad of respondents. We performed a multiple regression-quadratic assign-
ment procedure (MR-QAP) to identify predictors of
interphysician collaborative ties. MR-QAP is a combina-
torial data-analysis procedure adopted routinely in social-
network research [9,29,46]. The purpose of MR-QAP is to
regress a dependent relational matrix on one or more in-
dependent matrices, and to determine whether independ-
ent variables are significant predictors of the dependent
variables. This procedure is used to model a social rela-
tionship matrix by using the values of other relational
matrices and control variables, such as attributes of social
actors. The MR-QAP procedure was used to ensure that
the reported nonparametric estimates would be as robust
as possible with respect to our methodological choices. In
estimating our models through MR-QAP, we adopted the
semi-partially method as reported in Dekker et al. [47], Gender Similarity in gender, as a categorical attribute,
was reported as a value of “1” when a pair of actors had
the same gender, and a value of “0” otherwise. Seniority To ascertain whether similarity in seniority
was a predictor of professional interconnections, we
considered different variables in the model. First, we
measured the number of years since graduation, calcu-
lating the absolute difference (in years) for each dyad. Second, we measured the tenure within the I-NHS,
expressed by the length of service of respondents. Tem-
poral measures were continuous attributes; therefore, we
evaluated the absolute difference (in years) for each
dyad. Third, we considered the tenure within the LHA Page 5 of 8 Mascia et al. BMC Health Services Research (2015) 15:92 (same category)” and “Institutional Homophily (same
category)” (r = 0.2315; p < 0.05). Although the level of cor-
relation was moderate, this finding suggest that a certain
degree of homogeneity encompassed the criteria for mer-
ging clinical wards and hospital specialties into clinical
directorates [32]. Explanatory variables which appears to be reasonably robust against the possible
multicollinearity problem that our data may generate. We
performed MR-QAP analyses using the UCINET 6 soft-
ware package [43]. Results
h Thus, collaborative ties were less likely to be observed be-
tween physicians that exhibited larger differences in the
time elapsed since graduation. This finding may indicate
that attending university during the same time-span can
influence the similarity of physicians’ mental models, blue-
prints, and schemata, which can later affect partner se-
lection within hospital organizations. We believe that this
is an important finding deserving further analysis. The
negative parameter for “Managerial Role” (β = −0.0307,
p < 0.01) indicated that collaborative ties were less likely to
be observed between physicians who had the same role in Interestingly, we observed a positive and significant
correlation between the two variables capturing the differ-
ent types of homophily, namely “Professional Homophily Table 1 Pearson correlation coefficients*
Variable
1
2
3
4
5
6
7
8
9
1
Professional Network
-
2
Age (difference in)
0.004
-
3
Gender (same category)
0.021
−0.030
-
4
Years since Graduation (difference in)
−0.008
0.852
−0.031
-
5
Professional Homophily (same category)
0.341
−0.001
0.035
0.004
-
6
Tenure I-NHS (difference in)
0.003
0.748
−0.024
0.738
−0.004
-
7
Tenure LHA (difference in)
−0.001
0.427
−0.001
0.449
0.006
0.532
-
8
Managerial Role (same category)
−0.039
−0.171
0.024
−0.162
−0.013
−0.205
−0.116
-
9
Institutional Homophily (same affiliation)
0.219
0.052
0.004
−0.014
0.231
−0.012
−0.036
0.007
-
10
Geographical Proximity
−0.066
−0.010
−0.001
−0.016
−0.056
−0.008
−0.008
0.012
−0.186
*QAP correlation coefficients (observations = 87,912 - number of permutations = 1,000). Significant coefficients are reported in bold (p < 0.05). Table 1 Pearson correlation coefficients* Mascia et al. BMC Health Services Research (2015) 15:92 Page 6 of 8 Table 2 MR-QAP estimating factors associated with the
propensity of physicians to collaborate
Estimate†
Significance
Intercept
0.0000
Age (difference in)
0.0096
0.242
Gender (same category)
0.0075
0.081
Years since Graduation (difference in)
−0.0318*
0.003
Professional Homophily (same category)
0.1988*
0.000
Tenure I-NHS (difference in)
0.0152
0.126
Tenure LHA (difference in)
0.0030
0.377
Managerial Role (same category)
−0.0307*
0.000
Institutional Homophily (same category)
0.0459*
0.000
Geographical Proximity
−0.0177
0.056
Observations (No. of dyads)
87,912
Multiple R2 (Adj.)
0.314 (0.311)
p-value
0.000
Number of permutations: 5,000; †Standardized coefficients; *p < 0.01. Results
h Table 2 MR-QAP estimating factors associated with the
propensity of physicians to collaborate We tested how institutional homophily (belonging to
the same clinical directorate) and professional homo-
phily (belonging to the same medical specialty) affect the
propensity of physicians to establish a connection. As
documented, homophily can arise from the social context
(“induced homophily”) or from individual preference
(“choice homophily”) [21]. In our perspective, institutional
homophily clearly correlates with the reference social con-
text, which the management contributed to (re)shape by
introducing a new organizational model. Conversely, pro-
fessional homophily represents a mixed composition of
the two perspectives, as the choice of the medical field is
originally due to an individual choice. Our first result is that homophily matters in the forma-
tion of connections within healthcare organizations. This
finding is consistent with numerous studies in other set-
tings, which have found that homophily strongly affects
connections. People expect, a priori, that self-similar col-
leagues are more likely to accept them, be trustworthy,
and hold similar beliefs, thereby mitigating the potential
conflicts, misunderstandings, and monitoring costs that
come with making connections [19,36]. an organization. Clinicians may be requested to integrate
and combine different types of knowledge, competences,
and responsibilities when establishing collaborative link-
ages with colleagues. Collaborations between individuals
holding different managerial roles may enhance the
achievement of a satisfactory level of complementarity in
daily hospital activities. g
Our second result is that the homophily effect related to
specialty (professional homophily) is stronger than the
effect related to organizational structure (institutional
homophily). This finding is new and may be explained by
the theoretical arguments of professionalism in healthcare. The culture, beliefs, wisdom, and cognitive mental models
of physicians are formed well before they enter healthcare
organizations [48]. As documented by Ferlie et al. [5],
complex organizations contain many different professional
groups, each of which may operate in a distinct commu-
nity of practice. Categories of professionals are typically
separated from each other by social and cognitive bound-
aries, which may be an impediment to the creation of
trustworthy relationships. Medical specialties represent
the first example of professional categories which physi-
cians may belong to. These specialties largely contribute to
explain physicians’ propensity to establish advice networks
and peer-to-peer communication in hospital organizations
[30]. Results
h In this setting, boundaries delineate differences be-
tween categories in terms of professional norms, which
can delay or prevent knowledge sharing and diffusion
among professionals belonging to different knowledge do-
mains [5]. Finally, the coefficient of determination in the model
was moderate in degree. This finding clearly indicated
that other factors not included in the present study can
also explain interphysician collaborative network ties. Prior relationships, friendship ties, and the joint involve-
ment of clinicians in ad hoc organizational task forces or
teams are relevant examples of other predictors that fu-
ture studies should explore. Discussion
h
fl The flow of clinical knowledge and integration across
professional and organizational boundaries is a major
challenge for healthcare administrators in many countries. Throughout the world, numerous organizational and
technological innovations have progressively dictated hos-
pital restructuring, with the aim of guaranteeing multidis-
ciplinary service provision. New models and practices
have been implemented to boost coordination and inte-
gration. Notwithstanding their adoption, these interven-
tions risk remaining largely ineffective if they do not
impact on how physicians communicate and interact [1]. This study aimed to disentangle the formation process of
interactions by examining the professional network in a
community of physicians working in an Italian LHA. Homophily theory and SNA provided the theoretical and
instrumental techniques for identifying theory, measures,
and empirical models. The current study has some limitations. First, network
data were collected and analyzed at one point in time. As observed, network configurations may be influenced
by previous patterns of relationships. Thus, future longi-
tudinal studies are needed to extend the validity of our
results. Second, we demonstrated that people are more
likely to create social ties with self-similar others; how-
ever, no research has investigated whether, over time,
people are more likely to maintain homophilous or Page 7 of 8 Mascia et al. BMC Health Services Research (2015) 15:92 but also should focus on the creation of a need to access
others’ resources [9] (clinical guidelines, clinical audits,
etc.). Second, managers are encouraged to foster collabor-
ation across heterogeneous groups of physicians character-
ized by different specializations: for example, by targeting
and defining group objectives, adopting new organizational
arrangements, or restructuring processes [40]. Another ex-
ample in this direction is the adoption of specific types of
clinical directorates or interdisciplinary and interprofes-
sional groups [35]. Clinical directorates could organize
training programs that encourage multidisciplinarity, as
well as informal occasions of socialization addressed to fos-
ter collaborative relationships among physicians. heterophilous relationships. Third, random sampling was
not used. However, because of the large organizational
context of the study, the characteristics of the investigated
organization, and the quality of the collected data in terms
of compliance, we believe that our results might be ex-
tended to analogous organizations within the I-NHS. Yet,
the generalizability of this piece of evidence to other
healthcare contexts remains limited. Fourth, institutional homophily is likely influenced by
the timing of adoption of new arrangements and models. Authors’ contributions DM and AC contributed to the conception of this paper; DM, MPF and AC
designed the study. FDV and VI selected articles that met the inclusion
criteria. DM, FDV and VI extracted data and conducted the statistical analysis. All authors made substantial contributions to the interpretation of results
and have seen and approved the final version. All authors read and
approved the final manuscript. Discussion
h
fl Professionals are uncertain about the costs and benefits of
a new model at the time of its adoption. As time elapses,
clinicians will be more likely to acknowledge and under-
stand organizational innovations. Moreover, the process of
identifying physicians as relevant partners may change
over time. Homophily is highly dynamic, subject to
change, and influenced by exogenous forces that affect the
processes of individuals’ social identification [49]. The
adoption of new clinical directorates delineates new
organizational boundaries, which will likely affect physi-
cians’ perceptions about who are heterophilous colleagues
and their mental predisposition towards homophilous col-
leagues. The impact of such internal redesign on physi-
cians’ identification and perception of homophily may
eventually overshadow their traditional perception about
homophilous colleagues (i.e., individuals holding the same
clinical specialty). Future studies are encouraged to ex-
plore whether professional and institutional homophilies
have different impacts on partner selection by physicians,
by comparing two or more organizations in which clinical
directorates are adopted at different times. Finally, to test
professional homophily, we only included actors within
the organization under study, and excluded potential links
to physicians outside our setting. Further research should
include actors outside the organization, to see whether the
results are similar to our own. Endnotes a The questionnaire is available from the authors upon
request. b b Relational
data
are
generically
represented
by
squared “n × n” sociomatrices, where “n” is the number
of actors. Our 297 sampled clinicians eventually gener-
ated a sample of 87,912 dyads, which equals “297 × 297”
(excluding the main diagonal of the matrix). Abbreviations
d
b EBM: Evidence-based medicine; I-NHS: Italian National Health Service;
LHA: Local health authority; MR-QAP: Multiple regression quadratic
assignment procedure; SNA: Social network analysis. 1.
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West E, Barron DN, Dowsett J, Newton JN. Hierarchies and cliques in the
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study. Implement Sci. 2010;5:1–10. Conclusions 1Department of Public Health and ALTEMS (Graduate School of Health
Economics and Management), Catholic University of the Sacred Heart, Largo
F. Vito 1, 00168 Rome, Italy. 2Department of Economic Studies, G. d’Annunzio
University, Viale Pindaro 42, 65127 Pescara, Italy. 3Department of Economics
and Management and ALTEMS (Graduate School of Health Economics and
Management), Catholic University of the Sacred Heart, Largo F. Vito 1, 00168
Rome, Italy. 4Department of Public Health, University of Bologna, Via San
Giacomo 12, 40126 Bologna, Italy. This study proposes and applies homophily theory as a
way to capture the formation of professional and institu-
tional networks among physicians. SNA revealed the
interpersonal communication structure, which could not
be visualized by conventional surveys. Our findings have several implications for hospital exec-
utives. Managing intraorganizational networks involves
two opposite management tasks. Managerial interventions
are required because organizations primarily use these
networks to integrate dispersed knowledge. On the other
hand, the networks are strongly self-organizing and emer-
gent in nature, independent from (or even negatively in-
fluenced by) interventions by management [50]. To be
effective, management strategies aimed at increasing net-
working among employees should not focus solely on the
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and take full advantage of:
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Submit your manuscript at
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and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
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Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
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www.biomedcentral.com/submit
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Novalis et le Symbolisme ranc,ais.
NOVALIS ET LE SYMBOLISME FRAN~AIS.
,,On dissimule, ou on ignore que souvent, ~, bien
scruter, les originalit~s d~coneertantes dnune nouvelle
,,mani~re" ne constituent que des retours inconscients,
des reveils de ~ensibilit~, des r~miniscences, qui ont
la fra~cheur d'une aube".
(M. Wilmoffe, ~tade$ critiqua~ sur la Tradigion
~tt6ralre en France. Ch. X: L.'E'$th~tique des Symbolistes, p. 308j.
I.
C'est un fait g~n~ralement reconnu que les grandes r~formes litt~raires
ne s'improvisent pas du jour au iendemain. L'initiative des plus hardis
novateurs resterait sans effet, si eile ne trouvait un terrain pr~par~ de longue
main. Dans le domaine de l'esprit les grandes r~novations ne s'imposent
que par une sorte de collaboration inconsciente de toute une g~n~ration.
Car les influences n'agissent que par ressemblances: les hommes n'acceptent
que les idles et ]es doctrines qui existent d~j/t vaguement, d'une far
latente, en eux-m~mes. C'est ce qui s'est vu darts l'histoire du symbolisme.
Certes, w~es h plus de quarante ans de distance, les querelles entre d~cadents
et symbolistes, se combattant h coups de manifestes et de programmes, nous
semblent bien vaines aujourd'bui. Nous savons trop qu'au plus fort de ia
m~l~e symboliste on n'a pas toujours distingu~ nettement toute la port(}e
de la r~forme litt~raire qui s'accomplissait. Ce qu'on ne voyait pas, et ce
que probablement on ne pouvait pas voir, c'est que le symbolisme ~tait autre
chose et mieux qu'une doctrine esth~tique nouvelle. Or, il y a un point qui
demeure acquis et que personne ne s'avisera plus de r~voquer en doute;
c'est que, grace aux efforts des pontes symbolistes l'apport litt~raire de
1880 ~ '00 a grossi d~finitivement le g~nie franr
de telle sorte que ni la
formule parnassienne, n i l e programme romantique, ni la doctrine naturaliste
ne sauraient plus lui convenir. S'il e n e s t ainsi, il faut eroire que ie symbolisme a fait passer dans le domaine public l'aspiration h une forme de Beaut~
plus vraie, plus pleine et plus complete. Et d~s lors la n~cessit~ s'impose
d'admettre que pour la g~n~ration de 1880 il ne s'agissait pas de savoir si
,,ie vers libre ~tait l'apport le plus clair du symbolisme" 0, mais bel et bien
d'une mani~re nouvelle d'envisager les questions contemporaines, d'un
mode de pens~e ~ part et pourtant g~n~ral, d'une vision toute nouvelle de la
r#alit~.
Le jour of~ Maeterlinck, au cours d'une ~tude sur Novalis, trouva sous
sa plume ces paroles remarquables: . . . . ,,car c'est /~ l'endroit of~ l'homme
semble sur le point de finir que probablement il commence", on pouvait
constater qu'il y avait quelque chose de chang6 dans la temperature morale
de son ~poque.
Affirmer qu'au-dei/~ des bornes du connaissable il y a des r~giong inexplor~es de l'inconscient, c'~tait reconnaltre que jusqu'ici l'art n'avait jamais
embrass~ tout le r~el, c'~tait entrevoir du m~me coup une po~sie capable
~) ,,Ce qui se d~tache nettement comme r~sultat tangible de t'ann~e ~886, ce fur l'instauration du vers libre".
(Oustave Kahn, Le$ Origines da Symbolisrae, Revue Blanche, ler nov. 4_904, p. 340).
Braak.
244
Novalis et le Symbolisme franqais.
de sugg~rer tout l'homme, c'~tait en somme r~int~grer darts la po6sie le
sens du myst~re avec le frisson des inqui~tudes sup~rieures.
Cette po~sie intime, route baign~e de nostalgie, et travers~e d'~lans vers
i'inlini, ,,diese erweiterte Poesie", comme Novalis la caract~rise, n'est pas
seulement un acheminement vers .l'interiorit~, elle est aussi un effort pour
rapprocher l'individu de l'Absolu: elle est l'expression d'une Synth~se.
Ce qui relie entre eux les symbolistes, malgr6 les divergences d'opinion
sur la technique de leur art. c'est un immense besoin de r~g6n~ration par
la vie intense de l'~me.
Le positivisme, en brisant le ressort de l'~me, avait exait~ l'intelligence
au d~triment de la sensibilitY; /t cette doctrine correspondait n~cessairement
une po~sie plastique et picturale, image fiddle du monde objectif. Au rebours
de la doctrine parnassienne les Symbolistes reconnaissent que le monde
de la Vie et de l'Ame ne relive pas, en ce qu'il a d'essentiel et de profond,
de la connaissance scientifique, mais d'une connaissance sp~ciale que le
philosophe Bergson nomme l'intuition. Dans son Essai sur les donn~es imm~diates de la conscience (1889) Bergson affirme ia priorit~ sur l'action r~fl~chie d'une activit~ obscure et plus fiche qui consiste en la facult6 de
saisir imm~diatement la Vie, de sympathiser avec elle. II serait peut-~tre
excessif de pr~tendre que route la doctrine esth~tique du Symbolisme d~rive
de la doctrine bergsonienne; ce qu'on peut avancer sans risquer de se tromper,
c'est que la substance du Symbolisme est renferm~e dans les donn~es imm~diates de la conscience.
C'est ce r~veil de l'intuitionnisme qui apparente le Symbolisme au subjectivisme de Fichte et de Novalis et d'oh d~coule la po~sie romantique
allemande. Car, rechercher derriere le mirage trompeur des apparettces ia
v~rit~ immuable et id~ale, est-ce autre chose enfin que de reconnaitre que
ia r~alit~ est une illusion que nous nous donnons ~ nous-memes, le plus
souvent inconsciemment; accorder A l'intuition la priorit~ sur la pens~e r~fl~chie pour saisir la Vie en route sa plenitude, est-ce autre chose que d'admettre que I'intelligence est purement n~gative et aboutit ~ une continuelle
suppression de la r~alit~ par la r~flexion?
Ainsi, il y a sur deux plans parall~les, entre l'intuitionnisme de Bergson
et le subjectivisme de FichteoNovalis une conformit~ telle que nous nous
sommes demand~ si le Symbolisme, quant /~ son essence m~taphysique,
ne rel~ve pas du romantisme allemand.
La question de savoir s'il existe entre le Symbolisme et le romantisme
allemand non seulement une certaine analogie de forme et de fond, mais
aussi des relations vivantes 1), se rattache ~troitement /~ celle, non moins
importante, de savoir si les romantiques fran~ais, en d~daignant de des1) Apropos de ces relations vraiment ,,vitales" ou ,,causales" dont l'~tude de litt~rature
eompar~e doit tenir le plus grand compte, nous tenons ~ signaler ici une analogie frappante
entre certains vers des Vies encloses de Oeorges Rodenbaeh, dans lesquels le pbete, choisissant
comme ~pigraphe d'une de ses pi~ces une pens~e ~minemment novalisienne: ,,Lesmaladiesdes
pierres sont des v~g(~tations", etc. semble s'inspirer directement du naturisme panth~istique de
Novalis,
C'est ~t l'obligeance de M. le Dr. Frank Baur, Professeur ~. l'Atbdn~e Royal de Oand, que
nous devons cette observation suggestive
Braak.
245
Novalis et le Symbolisme franqais.
cendre jusqu'au dynamisme de la Vie, en faisant une part d~mesur~e /l
I'Imagination et en exaitant une fausse sensibilit~ au ddtriment de l'intelligence, sont les v~ritables continuateurs, les h~ritiers Idgitimes du romantisme allemand. Et si nous nous croyons fond~ de contester
au romantisme francais des droits ~ l'hdritage du romantisme allemand
- - /! moins d'en excepter quelques d i i m i n o r e s - - la question se pose tout
naturellement de savoir s'il y a entre la podsie symboliste et le romantisme
allemand solution de continuit~ ou bien filiation, interrelation v~ritable.
A notre avis on ne sal~rait comprendre route la port~e philosophique de
la r~forme symboliste qu'/l moins de remonter au Moi fichtden, de m~me
que la rdnovation esthdtique poursuivie par ies Symbolistes n'acquiert toute
sa valeur que si on la rattache au v~ritable lyrisme romantique, consid~rd
comme une puissance cr~atrice et divine, seule rdv~latrice des myst~res
qui enveloppent I'existence de I'homme.
Est-ce, pour me servir d'une expression de M. Baldensperger ~) ,,d(~passer
une zone Idgitime d'observation", est-ce ,,introduire une nouvelle finalitd
dans l'dtude du passe" que de ddmontrer qu'apr~s le positivisme parnassien
devait dclore une podsie synthdtique et universeile, proche parente de ceile
qu'apr~s la sdcheresse ddsolante de l',,Aufkl~irung" la gdn~ration de la Sturm
und Drangperiode t~cha de rdaliser, et dont Novalis eut I'intuition g~niale?
Nous ne le croyons pas.
De m~me qu'au sortir du rationalisme de l',,Aufkl~irung" les pontes reprirent
conscience de la mission v~ritable de la podsie: d'etre ,,ein Sttick des Weltgeistes", les Symbolistes, apr~s l'intenectualismearide de l'(~coleparnassienne,
restitu~rent /~ la po6sie son sens universel et cosmique et sa valeur d'art
particuli~re, inddpendante de route autre forme d'expression.
Ainsi, /l quatre-vingts ann~es d'intervalle, nous assistons /l une v([ritable
r~surrection du romantisme allemand, ce qui prouverait une lois de plus
que le romantisme r~pond /i un besoin de la nature humaine et qu'/l des
(~poques diff~rentes - - certaines conjonctures ~tant ~gales ou analogues - les m~mes tendances se manifestent, les m~mes aspirations t~chent de se
r~aliser 3).
II.
A ne considdrer rart symboliste qu'au point de vue de l'affranchissement,
on ne saurait nier qu'il n'existe une certaine analogie entre le romantisme
fran(;ais et le Symbolisme. Seulement cette analogie tout ext(~rieure n'atteint
pas le fondement m~taphysique et esthdtique du symbolisme. II serait m~me
plus exact de dire que le Romantisme, tout en s'opposant au classicisme
par l'abolition des codes et des r~gles, et en renouvelant la langue et la
m~trique, a ngglig~ de renouveler le fond m~me de la po(~sie: l'inspiration
po~tique. Car, cette iibert~ que Victor Hugo ne se lasse pas de revendiquer
1~ F. Baldensperger, Le Mot et et la Chose, Revue de littdratare compar6e, janvier-mars,
t921, p. 25.
2) .,Was einmal tief mit der menschlichen Natur zusammenh~.ngt, wird in irgend einer Form
die Menschheit immer wieder besch~.ftigen. Ja, es wird in endlicher Zeit sogar wieder in
n/imlicher Form erscheinen". Dr. Fritz Ernst, die Romantische Ironie, p. 125 Zfirich, Verlag
Schulthess ~ Co., 1915.
Braak.
246
Novalis et le SymlSolismefran~ais.
pour le Romantisme, d'abord dans sa Pr~]ace des Orientale~: ,,L'art n'a que
faire des lisi0res, des menottes, des batllons", puis dans la Prdtace de Cromwell:
,,La muse moderne se demandera si la raison ~troite et relative de l'artiste
dolt avoir gain de cause sur la raison infinie, absolue du Cr~ateur", et enfin
dans la Preface d'Hernani: ,,Le romantisme, c'est la libert~ dans l'art"
cette libert~ revient en derni~re analyse ~ ce que l'artiste revendique le
droit irr/prescriptible d'affirmer l'individualit~ de son talent darts son o~uvre,
sans se soucier de n'importe quel art po~tique, de n'importe quelle rh~torique.
Ainsi la libert~ de l'art - - on ne saurait trop insister sur ce point - - n'est
au fond qu'un appel ~loquent ~ un individualisme effr~n~. Aussi nous croyons
que Louis Bertrand, dans sa th~se sur La fin du classicisme et le retour d
l'ant(aue a touch~ fort juste en r~duisant le Romantisme, celui d'Hugo du
moins, ~ une renaissance de la Renaissance, c.-~t-d, au classicisme sous sa
premiere forme. On salt que Hugo, dans ses Odes et Ballades s'inspire volontiers des pontes de la Pl~iade, qu'il met ~ contribution les vocabulaires
des m~tiers, proc~d~ d'enrichissement d~j~ pratiqu~ par Ronsard, que son
gofit pour les ajustements fastueux, les chatoiements et les rutilances de
style accuse des affinit~s profondes entre son art exuberant et les grands
peintres de la Renaissance, les Rubens, les Titien, les V~ron0se.
Pour ce qui est de la r~novation du drame par l'aUiance du grotesque et
du sublime, il suffit d'examiner de pros terrains jugements contemporains
pour savoir ~ quoi s'en tenir sur la truculente fac~tie qu'on nomme la bataille
d'Hernani et le succ0s de cette pi0ce, appel~e ~ inaugurer une Ore nouvelle
clans l'~volution du theatre. Ainsi, darts la Revue de Paris, fond~e en 1829,
Charles Nodier, que la gloire bruyante de son a m i n e laisse pas d'offusquer
un peu, ~crit ~ propos du Marino Faliero de Casimir Delavigne:
,le vrai m~rite du style dramatique, c'est le style naturel, et il n'y a rien
de moins naturel que ces phrases ~ pr~tention qui commandent le brouhaha,
quand l'action ne demande que le d~veloppement nail d'un sentiment."
Et, est-il encore permis de douter que ce soit bien r~ellement le drame de
son ami que Nodier vise dans les lignes suivantes?. ,,La trag~die et le drame
de la nouvelle ~cole ne sont gu0re autre chose que des m61odrames, relev~s
de la pompe artificielle du lyrisme." D'ailleurs une lecture m~me superficielle
de la correspondance d'Hugo ~ cette ~poque, suffirait ~ nous convaincre de
l'avortement du drame romantique. Le po0te ne se voit-il pas oblig6 de constater que m~me apr0s I0 ~ 12 representations le public demeure hostile h
sa piece et que le matin, entrant dans son cabinet de travail, il ne peut jeter
un coup d'oeil dans ses journaux sans qu'il y lise des am~nit~s teUes que:
,absurde comme Hernani, niais, faux, ampoul~, pr~tentieux, extravagant
et amphigourique comme Hernani."
Quant au lyrisme d'Hugo, on ne saurait pr~tendre que le po0te pulse son
inspiration aux sources m~mes de la vie. Non que le po0te n'excelle pas h
en faire sentir le mouvement, le grouillement multiforme, l'~panouissement,
l'~clat et les contrastes heurt~s et violents. En revanche, la v~ritable po~sie
intime, baign~e d'ombre et de cr~puscule, modulation d'~tats d'~me et musique int~rieure, il faut convenir qu'elle tient bien peu de place dans son~uvre.
C'est que, ~ mesure que le porte prend conscience de sa vocation, son talent
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Novalis et le Symbolisrae frant;ais.
s'oriente de plus en plus vers la po6sie 6pique et oratoire. Si en un certain
sens routes les po6sies de Goethe sont des po6sies de circ0nstance, cela ne
saurait s'appliquer rigoureusement ~ aucune de ses po6sies. On sait combien
d'ing6niosit6 il a fallu aux commentateurs du grand porte allemand pour
d~m~ler la part du contingent, du fortuit clans des po6sies comme Harzreise
im Winter, An den Mond, etc. C'est que Goethe, grace au prestige de son
g~nie, d6gage du fait isoi6 tout ce qu'il contient d'universel et d'humain,
de telle sorte que pour le lecteur chaque piece devient un microcosme complet.
,,Das lebhafte poetische Anschauen eines beschr~lnkten Zustandes erhebt
ein einzelnes zum zwar begrenzten, doch unumschr~inkten All, so dasz wir
im kleinen Raume die ganze Welt zu sehen glauben".
Comme Bruneti~re fair observer si ~ propos, Hugo ne projette pas sa personnalit6 sur les choses; mais au contraire ce sont les choses qui modifient,
qui fa~onnent, qui ach~vent de d6terminer sa personnalit6 1).
Nous touchons ici /~ une difference fondamentale entre la conception de
la po~sie de Victor Hugo et l'esth6tique romantique, blalgr6 ses pr6tentions
philosophiques le romantisme fran~ais n'a rien innov6 que dans l'ordre
de i'imagination. Aussi l'individualisme, tel que l'entend Hugo tend ~ rien
de moins qu'/~ rompre l'6quilibre entre I'imagination et le sentiment d'un
c6t6 et ia raison de l'autre. C'est encore son imagination qui lui fair prendre
au s6rieux son r61e de porte-flambeau, de proph~te et de pasteur, de ,,vates"
inspir6:
Son ~me aux mille voix que le Dieu qu'il adore
blit au centre de tout comme un ~cho sonore . . . .
Son imagination enfin, esp~ce de lentille grossissante et d6formante, lui
donne sur les objets du monde ext6rieur une vision fantastique, tourment6e
et hallucin6e. Au lieu d'6clore spontan6ment dans l'~me du porte, les m6taphores eties symboles jaillissent de sa fantaisie en 6builition comme des
eataractes de lave de la bouche d'un crat~re et d6bordent de toutes parts
le cadre sentimental du po~me. C'est ainsi qu'~ partir des Contemplation~
la plastique si nette des premiers po~mes s'amollit, se dissout dans la boursouflure du style, et l'on se sent emport6 darts le tourbillon d'une rh6torique
quasi apocalyptique.
Dans l'esth6tique romantique ia po6sie prend un caract~re d'universalit6
qui fait compl~tement d6faut dans I'ceuvre d'Hugo. L'id6al romantique
ailemand tend /i fai~'e de la po6sie ia representation de l'~me en sa totalit6,
,,Darstellung des Gemiiths, der inneren Welt in ihrer Gesammtheit", selon
l'expression de Novalis. Les esth6ticiens romantiques, tels que Schlegel et
$olger consid~rent la po6sie comme une ,,Alipoesie" qui englobe routes les
activit6s humaines: ,,Sie will und soil auch Poesie und Prosa, Genialit~it
und Kritik, Kunstpoesie" und Naturpoesie bald mischen, bald verschmelzen,
die Poesie lebendig und gesellig und das Leben und die Gesellschaft poetisch
machen, den Witz poetisieren und die Formen der Kunst mit gediegenem
Bildungsstoff jeder Art ausfiillen und s~ittigen und durch die Schwingungen
des Humors beseelen" (Schlegel).
1) F. Bruneti~re, L'Evolution de la Po~sie lyrique en France aa X I X e si~cle, I, p. t95.
Braak.
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Novalis et le Symbolisme fran~ais.
L'id6e d'un m61ange ou d'une fusion des arts et de !'~change de leurs
moyens entre eux, est une id6e essentiellement romantique. Cette id6e, les
symbolistes l'ont reprise, parce que, eux aussi, consid6raient la po6sie
comme un art synth6tique 1).
La hantise de fusion des parfums, des sons et des couleurs que Baudelaire
devait traduire dans son fameux sonnet des Correspondances constitue un
lien commun entre ies pontes symbolistes et les peintres impressionnistes.
Personne mieux que Baudelaire n'6tait pr6par6 ~ comprendre route la port6e
de la r~novation dans la technique impressionniste de Claude Monet, de
Pissarro, de Sisley, de Gauguin et de Renoir, lui qui, onze ans avant la publication des Fleurs du real exposa dans son Salon de 1840 les prineipes de
cet art nouveau, en d6finissant l'orchestration de ra couleur, l'action de
l'atmosph~re sur les sutures des plans color6s, les relations de l'harmonie
chromatique /i l'harmonie musicale, la coloration des ombres et la r6action
chromatique des mol6cules. Et c'est aussi pour avoir compris l'unit6 profonde dont les diff~rents arts ne sont que des manifestations diff6rentes
dans un ordre particulier de signes ou de repr6sentation que Baudelaire
devait se passionner pour la dramaturgic de Wagner consid6r~e comme
coincidence de plusieurs arts. s)
Tous ces d6tails nous am~nent/l consid6rer que, bien loin d'etre un ph6nom~ne isol6, le Symbolisme correspond bien r6ellement ~ une vision route
nouvelle de la r6alit6, puisque non seulement la po~sie, mats aussi la peinture
s'en trouvent profond6ment renouvel6es dans leur conception d'art et
leur technique.
Le Romantisme au contraire, en lib6rant la langue po6tique, s'est trouv6
impuissant ~ renouveler l'inspiration po6tique, parce qu'il manquait d'un
fondement m6taphysique. Aussi il n'y a rien d'~tonnant ~ ce que BanviIle
dans son Petit Traitd de po~sie ]ranfaise se vote oblig~ de constater que la
r6volution d'Hugo est rest~e incomplete. En posant le principe de la Rime
puissance absolue, ,,le seul mot qu'on entende dans l e v e r s " , BanviUe fraye
le chemin /l l'~cole Parnassienne, derni~re floraison du Romantisme. Ainsi
le Romantisme franqais s'est fourvoy~ d~s le moment of1 Hugo s'en est fait
le l~gislateur, et force nous sera de remonter aux dii minores pour renouer
la chaine interrompue qui relic les symbolistes au romantisme allemand.
III.
Dans l'avant-propos de sa th~se sur Novalis M. Spenl~, voulant indiquer
dans quel sens s'orientent ses recherches sur le romantisme allemand, nomme
Novalis ,,la clef du romantisme", reprenant pour son compte une assertion
du critique Arnold Ruge: ,,Son time rec~lait en une formule essentietle et
concentr6e, sous forme d'intuition artistique et d'~motion lyrique, toutes
1) ,,Ils ont assimil6 l'art tout entier, sans distinguer entre la couleur, la plastique ou la
sonorit6, ~. un vaste syst~me de similitudes, d'analogies, de correspondanees s'exprimant par
des m~taphores et des allusions aux aspects directs et imm~diats de la vie". Camille Mauclair,
L'Art ind~pendant fran~ais sol~s la 3i~rne R~pttblique, p. 101, 102.
~) L'O~uvre d'art de l'Avenir dans la Revue l~agndrienne de 1885: ,,I1 n'existe en somme
qu'un art; les manifestations en sont diff~rentes, mats une seule peut ~tre e o m p l b t e . . . Le
r~sultat le plus parfait sera done atteint par Faction commune de tousles arts s'efforqant vers le
m~me but".
Braak.
249
Novalis et le Symbolisme frant;ais.
les aspirations qui, de son temps et longtemps apr~s lui, ont agitd la conscience
ailemande dans ses profondeurs, et partout il a touchd droit au cceur de notre
g~n~ration".
Parti de la conception anthropocentrique du monde, Novalis ne tarda
pas ~ reconnaRre que le caract~re strictement rationnel de ia ,,Wissenschaftslehre" de Fichte ne pouvait satisfaire pleinement ses disciples, prOoccupds avant tout de tirer du moi fichtden une esthdtique nouvelle.
Ce qui fait la profonde originalitE de Novalis, c'est d'avoir ~largi en
,,Gemfith" le Moi fichtden, fair de raison pure et de vouloir intelligible;
d'avoir substitu~ ~ l'iddalisme moral du maitre l'iddalisme magique, source
de po~sie et d'dmotion artistique. D'apr~s Novalis nous ne ponvons comprendre le monde que par rintuition de notre Etre intime; et si nous pdndtrons
au profond de nous- mEmes, c'est une ~me obscure, inddfinissable, mystdrieuse
que nous trouvons. Novalis sentait obscur~ment la profondeur du gdnie
podtique; au-del& de la distinction que crde I'analyse, il voulait chercher
i'Unit~; plus loin que les phdnom~nes de surface, la couche profonde de la
vie intdrieure.
Ainsi l'~l~ment rdgOnErateur et vivifiant de la philosophie de Novalis
rOside en la conclusion /l laquelle aboutit sa spOculation:
Le monde est un mirage perpOtuel: des essences 6ternelles s'y rOflOchissent
sans doute, mais leurs images mobiles se confondent, se brouillent et disparaissent. Il ne reste /l l'homme que le choix entre deux espOces d'illusions.
Ou bien il affirme en prenant pour seuls informateurs ses sens corporels,
la rOalit6 absolue de ce monde changeant, inconsistant, illusoire. Ou bien
il affirme par la Foi la rOalit6 d'un monde invisible et idOal: mais c'est un
idOal en lui m~me irrepr~sentable, une V~rit6 informulable, une Essence
/~ qni manque la manifestation directe et adOquate de sa perfection.
La pensOe planerait ainsi, ~ternellement suspendue entre les deux grandes
Illusions, le monde visible et l'univers invisible, si l'homme ne d~couvrait
en lui-mOme une imagination crOatrice qui l'61~ve au rang de dOmiurge.
Cette illusion 6minemment positive et productrice, c'est l'art.
L'art se proclame, en vertu de ia toute-puissance du dOmiurge humain,
la r6alit6 absolue et la moralit6 parfaite.
Or, si i'homme a ie pouvoir de crOer un univers par la seule force de son
imagination, si d'un autre cOt6 rien n'existe qui ne soit un produit de son
imagination, r a r t devient en somme un beau mensonge transcendental, de
m~me que ia Vie - - selon l'expression de Novalis --- se rOduit /~ n'~tre plus
qu'une ,,sch6ne genialische T~iuschung". Puisque l'univers n'est qu'une
vaine apparence, puisqu'il n ' y a de rOalit6 que le Moi de l'artiste, il peut
son gr6 ~tablir et annuler runivers. Se tenant, avec une gOnialit6 divine,
au-dessus de ses crOations qu'il ne prend pas au sOrieux, il peut, d'apr~s
l'expression de Schlegel, se permettre le luxe de la ,,selbstbewuszte Vereitelung des Objektiven, die g0ttliche Frechheit des Urteilens und Absprechens,
ohne sich mit der Sache einzulassen". Cette ,,(3eistesfreiheit", qu'on nomme
ironie romantique 1), qui lone un rOle important darts les M~rchendicl~tungen
x) Benedetto Croce, Esthdtique comme science de dexpression et linguistique gdn6rate, II,
p. 288, 289.
Braak.
250
Novalis et le Symbolismefran~ais.
de Tieck, de Brentano et d'Hoffmann, forme avec l'imagination cr6atrice
la clef de vofite du romantisme allemand.
Que certains pontes romantiques, /l d6faut d'imagination plastique et
de pond6ration artistique, aient durement expi6 leur g6n6reuse folie de
vouloir embrasser tout l'univers, voilA ce qu'on ne saurait contester. Ainsi
Novali~, voulant d6passer Goethe dans son roman inachev6 d'Henri d'Ofterdingen, qui devait ~tre une apoth6ose de la po6sie, 6prouva /l ses d6pens
qu'il y a des bornes que l'esprit de la po6sie ne saurait franchir impun6ment,
et qu'il n'est pas d'ambition plus vaine ,,alle Zeitalter, Stlinde, (3ewerbe,
Wissenschaften und Verh~Utnisse durchschreitend, die Welt zu erobern".
Toujours les Icares payeront ~ la terre la ran~;on de leurs utopies et de
leurs r~ves. Seulement, ce sur qnoi nous voudrions particuli6rement insister,
c'est que l'~me de Novalis, si f6conde en 6motion lyrique, grace ~ son penchant /t l'occulte, grace surtout /t je ne sais quelle aptitude /l p6n6trer dans
la nuit mystique (,,die Geisterwelt") et /l entrer en communion avec l'~me
de monde, 6tait bien faite pour traduire les aspirations de son 6poque.
Son ~me 6fair un foyer ardent off t o u s l e s rayons, toutes les iueurs qui
6clairent pas moments l'obscure conscience du monde viennent converger
comme en un centre unique.
Apr6s le rationalisme aride de l',,Aufkl~irung" Novalis est bien le premier
d6couvrir le sens de la v6ritable Po6sie que, dans ses fragments philosophiques ii devait caract6riser en ces termes: ,,Der Sinn fiir Poesie hat viel mit
crem Sinn fiir Mysticismus gemein; er ist der Sinn fiir das Eigentiimliche,
l~ersonelle, Unbekannte, Geheimniszvolle, zu offenbarende, alas Nothwendigzuf~tllige. Er steilt das Undarstellbare dar; er sieht das Unsichtbare, fiihit
das Unfiihlbare."
C'est encore cet individuaUsme cosmique qui sera une source de r6novation
pour la po6sie symboliste et qui fair de Novalis un v6ritable pr6curseur,
un anc~tre du Symbolisme. Cette force cr6atrice et d6miurgique qui r6side
au fond de la conscience humaine, Novalis en fait jaillir ies eaux vives gr~tce
/l ia baguette magique de son id6alisme.
Nous sommes port6s /l croire que si le jeune Hardenberg efit v6cu, il se
serait tout entier donn6/t la po6sie. Sa carri6re trop courte ne lui a pas permis
de r6aliser cette po6sie de l'Infini qu'il r6vait et dont nous trouv~ns l'intuition g6niale dans les Hymnes ~i la Nuit et les Hymnes spiritueUes. Ces
m6ditations, off un ardent d6sir de vivre s'alUe /t un mystique app6tit de
la mort, oh la nostalgie de la Vie 6ternelle s'exprime par des accents si path6tiques, resteront toujours comme le commentaire vivant de ces vers de Goethe:
W~ir nicht das Auge sonnenhaft,
Die Sonne wfird es nicht erblicken.
Writ nicht in uns des Gottes eigne Kraft,
Wie k6nnt uns GOttliches entzficken.
A regarder d'un peu plus pr6s ce que Novalis entend par ,,tier Sinn ftir
Poesie" on ne peut s'emp6cher de trouver qu'il place l'objet de la po6sie
bien haut. En effet, n'est-ce pas une sorte de gageure que de vouloir rendre
visible l'invisible, repr6senter l'irrepr6sentable, exprimer l'inexprimable?
La r6ponse /~ cette question, nous la trouverons dans les Disciples d Sa'ls;
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Novalis et le Symbolisme franqais.
c'est / l c e s fragments philosophiques que nous empruntons le concept de
,,l'Einffihlung", principe esth~tique f~cond entre tous, puisqu'il forme la
base meme du Symbolisme. Toute la doctrine esthetique du romantisme
allemand repose sur un emploi /i rebours de nos sens, sur ce que Maine de
Biran 1) nomme l',,ordre inverse". Grace /t l'impulsion spontan~e de son
imagination rartiste ne coordonne pas a posteriori les impressions directes
des sens exterieurs en un tableau representatif: poesie, peinture, sculpture;
au contraire ce tableau imaginaire est donn~ a priori, est anterieur aux objets
qui doivent s'y adapter.
Ainsi rartiste produit des idles ou des images sans soilicitation exterieure:
il ,,efflue" en dehors de lui-meme. Par l'intuition il s'identifie /~ la chose
qu'ii veut rendre, ii la vit, il ne fair q u ' u n avec eile, i,l la possede du dedans.
Porte, il ne decrira pas la foret en analysant, en decomposant ses aspects
9et ses formes multiples;,peintre~ il ne prend pas ses tableaux dans le monde
exterieur. Dans l'un et l'autre cas, qu'il se serve du langage des sons ou de
celui des couleurs, l'artiste s'efforce de prendre une vision centrale des
choses, ~ en avoir rintuition plut6t que d'en faire l'analyse. Dans l'un et
l'autre cas, porte symboliste ou peintre impressionniste, il evoqqera l'idee
de la foret par un reve int~rieur qu'il fera passer en nous, grace/l une serie
de suggestions successives et approximatives, s) Voii/t ce que Novalis veut
dire quand il affirme ,,Die Poesie l~st fremdes Dasein im eignen auf". Ce
mim6tisme spirituel est le secret du veritable artiste, car ,,der Kfinstler
macht sich zu allem was er sieht und sein will."
E t / l propos de ce panth~isme immanent qui permet au poete de s'identifier
/i la foret, de ia vivre en quelque sorte, de la sentir, de se meier/l son souffle,
n ' y aurait-il pas tout d'abord un rapprochement curieux /i faire entre tel
passage des Disciples d Sals, of1 Novalis dit que nul .he comprendra
la nature qui, par le moyen de la sensation ne s e m e l e /l t o u s l e s etres de
la nature et ne s'~prouve en eux (,,sich gleichsam aller in sie hineinffihlt") - et relic lettre de Maurice de Guerin qui nous livre le secret du pantheisme
qui court /l travers ie Centaure comme la s~ve se repand darts les moindres
fibres de l'arbre: ,,Si l'on pouvait s'identifier au printemps, forcer cette
pens~e au point de croire aspirer en soi route la vie, tout l'amour qui fermentent dans la nature, se sentir /l la fois fieur, verdure, oiseau, chant,
fraicheur, elasticitY, volupt~, serenitY. Que serait-ce de moi? II y a des moments oh, /l force de se concentrer dans cette idee et de regarder fixement
ia nature, on croit ~prouver quelque chose comme cela". (Journal: Lettre
du 25 avril 1833).
Et ie peintre impressionniste, pour qui, selon i'expression rant de lois
circe d'Amiel s), un paysage est un etat d'~me, se doute-t-ii que cette idle
x) Maine de Biran. La d6composition de la pens6e, ~Eavre$ philosophiques, tome II,
p. 275 - 276.
sj ,,Ainsi l'arl vise /~ imprimer en nous des sentiments plut6t qu'/L les exprlmer; il nous
les sugg~re, et s~ passe volontiers de l'imitation de la nature quand il trouve ties moyens plus
efficaees". Bergson, Donn~es imm6diates de la Conscience, p. t2.
2) :,Un paysage quelconque est un ~tat de l'ame, et qui lit darts t o u s l e s deux est~merveill(~
de retrouver la similitude dans chaque d~tail". Amiel, Fragments d'un Journal intime, 3t oct.
1852, tome I, p. 61.
Braak.
252
Novalis et le Symbolismefran~ais.
se trouve d~j/t chez Novalis? ,,Le paysage somptueux, dit Henri d'Ofterdin.
gen, est pour moi comme une r~verie int~rieure (,,wie eine innere Fantasie").
IV.
Si le courant de cette podsie pure, exposition de la vie intdrieure - - ,,darstellung des Gemflths" - - qui prend sa source dans le romantisme allemand,
s'est brusquement tari dans les sables arides de l'art parnassien, la question
se pose, de plus en plus pressante, si l'on pourrait en retrouver ies traces
dans l'oeuvre des poetae m i n o r e s du Romantisme fran~ais. A p r o p o s du
panth~isme de Maurice de Gudrin nous avons d~jA pu constater une parent6
spirituelle entre lui et Novalis.
On sait d'ailleurs combien l'~ime du porte du Centaure ~tait, scion l'expression de son ami Barbey d'Aurevilly, tourment~e du ,,real de l'infini".
Que, pendant son s~jour/t La Ch~naie Maurice de Gudrin se livr~t volontiers
/t l'~tude des pontes allemands, notamment de Goethe et de Herder, cela ne
fait pas de doute. S~y est-il occup~ de Novalis; a-t-il lu ses po~mes? M. Abel
Lefranc, d a m sa biographic de Maurice, ne l'affirme pas et se borne /t constarer que le jeune porte consacrait ses loisirs studieux A s'assimiler la culture
allemande. Mais, en mati~re litt~raire il y a des hypotheses, ou pour me
servir d'une expression chore /~ Novalis, des ,,Ueberzeugungen" qui valent
des certitudes. Aussi nous croyons refinement qu'une comparaison un peu
fouillde entre le J o u r n a l de Maurice et celui de Novalis ferait d~couvrir que
leurs ~mes hvaient en commun un certain fond de r~sonance qui donne/~
leurs pensdes une tonalit~ pareille. II serait peut-~tre excessif de faire de
Maurice de Gu~rin un pr~curseur du Symbolisme. Toutefois, si la po~sie
intime et personnelle proprement dite tient une place bien modeste dans son
oeuvre, on pourrait y glaner des vers qui, par la fraicheur de l'inspiration,
par une certaine ldg~ret~ d'allure, par l'harmonie du rythme, rappellent la
,,mani~re" de Verlaine. Des vers comme les suivants ne sont-ils pas assez
,,lyriques" pour qu'il convienne de faire quelques rdserves au jugement
par trop exclusif de Robert de Souza: ,,On peut hardiment avancer que
jusqu'/~ Verlaine le v~ritable lyrisme sentimental ne rut point connu en
France." 1)
Aux lours de mer belle et sereir
Elle s'en iratt par la plaine,
ar la plaine humide volant
Avec les oiseaux et la brise
Dont l'aile gracieuse /rise
L'onde pour cueillir en aUant
La /rafcheur que l'onde r~pand.
Pourtant il est juste de reconnaitre que Verlaine, dans ses Po?mes S a t u r n i e n s
et dans L a B o n n e C h a n s o n rut le p r e m i e r / l abandonner la ddfroque exotique
et sublime du romantisme et ~ instaurer une po~sie d'dtats d'~me, harmonieuse et musicale, dont ie rythme suit fid~lement la courbe des pens~es.
Que, si l'on essaye de d~finir le charme myst~rieux, la suggestion invincible
qui se d~gage des vers de ,,ll pleure dans mon cceur . . . . ", ne faut-il pas
t~ Robert de Souza, La Po6sie populaire et le lyrisme sentimental, p. 47.
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253
Novalis et le Symbolisme frant;ais.
avouer que ce charme consiste en la parfaite conformit6 entre le sentiment
et l'image? Quoi de plus suggestif en effet que d~assimiler la tristesse que,
par moments, la Vie distille dans le cceur, et dont le gofit amer se fait sentir
au bord des l~vres:
l l pleure sans raison
Dans ce c~eur qui s'~c~eure
au ruissellement monotone de la pluie! De telles po6sies ont l'air d'avoir
~t6 faites avec rien, d'etre immat6rielles comme l'~lme eile-m~me qui s'exhale
en une plainte doucement sonore.
C'est de cette po6sie que dit Novalis: ,,diese Poesie kann h6chstens einen
allegorischen Sinn im Oroszen und eine indirekte Wirkung wie Musik haben".
Et nous comprenons sans peine pourquoi Verlaine en voulait ~ cette rime
riche parnassienne, ce ,,bijou d'un sou"; pourquoi il remplace la couleur
par ia nuance, et quel merveilleux effet il tire de l'harmonie des consonnes,
du rythme allit6r6 et des fausses rimes ~ l'int6rieur, qui brisent le rythme
uniforme mieux que l'enjambement des romantiques et des parnassiens.
Ecoutons encore le dernier tercet de , M o n r~ve familier":
Son regard est pareil au regard des statues,
E t pour sa voix lointaine, et calme, et grave, elle a
L'inflexion des voix chores qui se sont tues.
Par ces allit6rations ,,blanches et noires" jusqu'/l trois fois alterndes, le
porte ne sugg~re-t-il pas l'impression de pas lents qui s'en vont; puis avec
les deux derniers mots pr6c6dents ressaisis, le vers s'6tend, sans m~me une
c6sure, comme en une longueur de 14 syllabes:
............
Elle a
L'inflexion des voix chores qui se sont tues.
C'est la ligne ind6finie des horizons d'outre-tombe, entrevue darts ,,sa
parole". - - De pareils vers montrent clairement que Verlaine, le plus personnel ~ la fa~on de Baudelaire, pr6cis6ment parce que, selon i'expression
un peu iourde de Bruneti~re ,,il repr6sente l'exasp6ration de la po6sie intime", appartient ~ la grande lign6e des v6ritables n6o-romantiques. Faut=il
s'6tonner de ce que Verlaine a tit6 de l'oubli les po6sies de Mine Desbordes-Vaimore, dont certaines strophes, pour l'accent, le mouvement et le rythme
rappellent exactement sa mani~re? Qu'on 6coute cette plainte m61odieuse
et mis6ricordieuse qui porte le titre de ,,Qu'en avez-vous fait?", que l'on
compare:
comme an pauvre enlant
Quitt~ par sa m~re,
Comme un pauvre enlant
Que rien ne d~1end.
Vous me laissez l~
Dans ma vie am~re
Vous mE laissez l~
E t Dieu volt cela! . . . .
Braak.
254
Novalis et le Symbolisrne fran~;ais.
avec le lyrisme int6rieur de:
Un grand sommeil noir
Tombe sur ma vie:
Dormez tout espoir,
Dvrmez route envie.
Je ne vois plus rien,
Je percls la mdmoire
Du m a l e t clu bien . . . .
0 la triste histoirel 1)
C'est de Marceline Desbordes que Sainte-Beuve darts ses Causeries d u
L u n d i 6crit qu'eile 6tait plus q u ' u n porte, 6tant ia po6sie elle-meme. Miehelet
rendit hommage /l son grand t a l e n t p a r les paroles suivantes: ,,Le po6te
ie plus chaleureux du si6cle est une f e m m e " . E n pronon~;ant ce j u g e m e n t
Michelet a dfi se souvenir de po6sies telles que: R~ve cl'une ]emme, Pridre
de [emme, Souvenir, L a dermdre ]leur, et darts lesquelles le po6te a chant6
route sa tendresse, route sa passion, sa douleur et son deuil en une langue
qui 6tait la po6sie m6me. - - Ce qui fait le charme de ces po6sies, c'est d ' a b o r d
ia fusion parfaite de l'id6e et de l'image, c'est i'absence complete de t o u t
616ment oratoire, c'est enfin l'accent s t r i c t e m e n t personnel qui s'en d6gage.
Ces pogsies n'6veillent jamais l'id6e d ' a v o i r 6t6 faites ,,apr/~s coup", parce
qu'elles ne trahissent aucun effort de composition: elles out 616 r6ellement
v6cues, riles sont de la pogsie personnelle dans route la force du terme ,,Je
persOnlicher, lokaler, temporeller, eigentiimlicher ein Gedicht ist, desto
n~iher s t e h t es dem Centro der Poesie", dit Novalis.
Dans sa belle biographie de Baudelaire Camille Mauclair ~) fair c e t t e
lumineuse remarque: ,,Quand on ose et salt peindre sa vie, on rencontre
forc6ment la Vie". La seule r6serve qu'ii convienne de faire & cette formule,
un peu trop absolue en sa concision, c'est que le porte sache 6couter dans
son &me ce qu'ii y a d'universellement humain, qu'il r6ussisse /l porter
les choses temporelles sur le plan de l'6ternel et & trouver pour ses pens6es
une forme p a r f a i t e m e n t ,,rdvglatrice de l'&me collective".
Cette forme unique, les grands po6tes, tels que Baudelaire et Verlaine
la t r o u v e n t toujours, et presque en se jouant. C'est que le vdritable
po6te suscite en lui-mgme l'infuition de possgder u n Absolu, de participer au
grand frisson de l'ineffable: sa vie intgrieure est un po6me.
- - I1 a peut-6tre manqu6 /l Sainte-Beuve d'6tre un vrai t e m p 6 r a m e n t
lyrique pour rgaliser cette pogsie intime et personnelle qu'il admirait r a n t
chez les grands lakistes, tels que Wordsworth s).
Cette pr6dilection ne s'expliquerait-elle pas p a r le fair que le po6te des Podsies
de J o s e p h Delorme, a m b i t i o n n a n t d'6tre c o m p t 6 / l la suite d ' H u g o et de Lamartine, d u t se r a b a t t r e sur la pogsie pittoresque et famili6re pour se faire un n o m ?
S'il en est ainsi, il est permis de croire que Sainte-Beuve ne se sentait pas attir6
II Verlaine, Sagesse IlL
21 Camille Mauelair. Charles Baudelaire Sa vie, son art, sa l(gende, p. 116.
3~ ,,Les Anglais out une lit[6rature bien sup6rieure /t la n6tre et surtout plus saine, plus
pleine. - Je n'ai ~16 qu'un ruisselet de ces beaux lacs po6tiques, m61ancoliqueset doux"
Lettre '3. M. l'abb6 Constantin Roussel. 1861.
Braak.
2,55
Novalis et le Symbolismefranc,ais.
vers ia po~sie intime par une vocation bien d~termin~e, mais qu'il jouait
son r61e de novateur ~ bon escient. Toutefois les Consolations qui ouvrent
selon lui ,,une veine plus mystique, plus id~ale, plus religieuse et morale",
assignent au porte une place ~ part et bien marquee parmi les dii minores
du romantisme. Quoique ce nouveau recueil soit d~di~ /t Victor Hugo, et
que Sainte-Beuve avec sa flagornerie coutumi~re le pr~sente comme une
~manation de son g~nie, plusieurs pi~ces nous semblent plut6t d~river de la
veine iamartinienne que de la mani~re d'Hugo 1).
Pourtant ie spiritualisme de Sainte-Beuve s'enveloppe d'un mysticisme
sensuel qui fait enti~rement d~faut dans les suaves ~l~gies de Lamartine
Le goflt du p~ch~ est un sentiment tr~s moderne, et c'est peut-~tre ~ cause
de cela que Verlaine reconnaissait en Sainte-Beuve un anc~tre. On sait d'ailieurs qu'en 1844 Baudelaire envoya ses premiers vers ~ Sainte Beuve en
ajoutant: ,,D~cid~ment vous avez raison: Joseph Delorme, c'est ies Fleurs
du mal de la veille. La'comparaison est glorieuse pour moi".
Dans son ~tude sur La Podsie populaire Robert de Souza, voulant
expliquer la banqueroute du romantisme dans la po~sie intime, constate
que ,,ie sentiment inspirateur, s'~tant enfi~, transform~ en ~loquence, avait
fauss6 sa spontan~it~ primitive et cette simplicit~ jamais d~voy~e dans la
plus tragique passion qne garde l'inspiration populaire" ~). Or, on sait que le
romantisme en s'essayant dans la po~sie populaire n'a produit que des paraphrases savantes et de froids pastiches, of~ l'absence de spontan~it~ primitive se fait cruellement sentir. Ni Victor Hugo darts ses Chansons des rues
et des bois, ni B~ranger, ni Pierre Dupont n'ont ~t~ les v~ritables novateurs
de la chanson populaire.
D'abord ils n'avaient pas le sens du myst~re et du merveiileux, od se cornplait I' imagination populaire, et puis, la mesure syllabique de leurs vers
ne tenait aucun compte de la valeur des roots, du jeu secret des rythmes,
et des harmonies infiniment souples et ondoyantes de la po~sie populaire.
C'est encore aux dii minores du romantisme qu'ii faut remonter pour renouer
la chalne qui relie les symbolistes au romantisme allemand. Ainsi G~rard
de Nerval, tr~s sensible au charme des vieilles chansons et ballades de sa
province natale du Valois, comprit tout le parti qu'il y avait ~ tirer du vieux
tr~sor national pour la r6novation de la po~sie.
Dans la Boh~me galante il dit: ,,on parle en ce moment d'une collection
de chants nationaux recueillis et publi~s /~ grands frais. L~ sans doute nous
pourrons ~tudier les rythmes anciens conformes au g~nie primitif de la iangue,
et peut-etre en sortira-t-il queique moyen d'assouplir et de varier ces coupes
belles, mais monotones que nous devons ~t ia r~forme classique." C'est aux
pontes symbolistes que revient I'honneur d'avoir r~alis~ toute la r~novation
r~v~e par G~rard de Nervai, parce que leur cceur palpitait ~ l'unisson de la
conscience de i'univers.
Qu'on se rappelle le grand cri d'alarme jet~ par Hugo en t~te des Orientales
1) Sainte-Beu~eest ici (c.~t.d. dans les Consolations) un Lamartine ~. plusieurs Elvires,
dont la chair veut chanter comme chaniaitl'~tmede I'auire"; (Barbey d'Aurcviny,Le Pays,
14 mai 1861).
2) Ouvragecit6, p. 47.
Braak.
256
Novalis et le Symbolisme fran~ais.
et qu'on veuille bien se rendre compte combien le m~me appel ~ l'ind~pendance est plus sincere clans la bouche de Paul Fort! C'est que pour les Symbolistes il s'agissait d'une libert6 r6elle, d'une rgnovation du fond m~me de la
po6sie, c.-h-d, de I'inspiration po6tique, tandis que Hugo ne r6clamait en
somme que le droit de violet les r~gles classiques. Et la preuve c'est que
les Symbolistes, dgsireux d'affranchir la po6sie de tout ce qui l'entrave
remirent en honneur le lyrisme rustique, la rime assonanc6e des vieilles
ballades, les strophes libres moulges sur l'gmotion du po/~te. Paul Fort clans
ses Ballades trancaises, Gustave Kahn darts ses Palais nomades, Vi616 Griffin
dans sa Cueille d'avril, Morgas darts ses Cantil?nes, Verhaeren darts ses Campagnes hallucindes - - tous ces pontes, en exaltant l'~tme populaire avec son
folklore et ses chansons na'ives, se trouvent en fin de compte avoir r6alis6
ce que Brentano et yon Arnim avaient tent6 darts leur recueil Des Knaben
Wunderhorn.
Ces pontes comprenaient que la po6sie n'est pas, selon i'expression de
Herder ,,ein Privaterbteil einiger feinen gebildeten Manner, sondern eine
Welt-und V01kergabe". L'art parnassien d6g6n6rait en un jeu de mandarins,
dont le but supreme consistait en la difficult6 vaincue. Seuls les symbolistes
comprirent que la pogsie s'6tiole sur les hauteurs de l'intelligence pure, et
que ce n'est qu'en se retrempant aux sources vires de l'&me populaire qu'elle
pousse ses plus belles floraisons et jette son plus vif 6clat. Car, ce qu'on
appelle le divorce de l'art et de la vie, esp~ce de mysticisme esth6tique,
cette tendance fficheuse se manifeste au moment pr6cis o~ le porte cultive
la pogsie en serre chaude, de telle sorte que l'art supreme supplante l'inexistance r6alit6 et devient r6ellement une sorte de refuge contre la Vie.
Cette attitude esth6tique en dehorn te la Vie convenait merveil[eus'ement
Villiers de l'Isle-Adam, ,,cet 6vang6liste du r~ve et de i'ironie" selon l'expression de Remy de Gourmont. Villiers jouissait en spectateur courtois et d6sabus6 de rillusion grossi~re qui s'appelle la Vie, et c'est en composant des
drames philosophiques tels que Claire Lenoir et Ax[l, et des contes fantastiques
clans le genre de Poe qu'il trouva le moyen de supporter le spectacle de la
Vie jusqu'au bout ~).
Claire Lenoir et 4x~l sont construits sur la th~se fichtgenne que le monde
extgrieur n'a de r6alit6 que celle que leur communique notre pens6e. ,,$ache
une fois pour toujours - - dit l'occultiste, maitre Janus h Ax~l - - qu'U n'est
d'autre univers pour toi que la conception m~me qui s'en r6fl6chit au fond de
tes pens6es, car tu ne peux le voir pleinement, ni le connaitre, en distinguer
m6me un seul point tel que ce mystgrieux point doit ~tre en la rgalit6".
Ou encore dans Claire Lenoir: ,,L'id6e est la plus haute forme de la R6alit6.
Le seui contr61e que nous ayons de la r6alit6, c'est i'id6e". Et de nouveau
dans Ax~l: ,,Qui peut rien connaitre sinon ce qu'il reconnaSt? Tu crois
apprendre, tu te retrouves: l'univers n'est qu'un pr6texte/~ ce d6veloppement
de toute conscience." - - Qui ne voit que Fichte et Novalis ont pass6 par l/~?
La derni~re citation n'a-t-elle pas tout l'air d'avoir 6tg inspir6e par Les Disciples ~ 8a[s? En effet, Novalis fair dire /~ un des disciples: ,,Was brauchen
t) Voir l'analyse pgn~trante que, dans ses Prdtextes (p. 186-191) A n d r 6 0 i d e a f a r e de
Vdra des ttistoires Souveraines de Villiers de l'lsle-Adam.
Braak.
257
Novalis et le Symbolisme franqais.
wit die trfibe Welt der sichtbaren Dinge mtihsam zu durchwandern? Die
reinere Welt liegt ja in uns, in diesen Quell. Hier offenbart sich der wahre
Sinn des groszen, bunten, verwirrten Schauspiels; und treten wit von diesen
Blicken voll in die Natur, so ist uns alles wohlbekannt, und sicher kennen
wir jede Gestalt."
II y a dans l'oeuvre po~tique de Mallarm6 un soniaet, dans lequel le Cygne,
faisant de rains efforts pour s'arracher /~ la ,,blanche agonie" de la glace
qui emprisonne son corps, symbolise le porte que la dure r~alit6 qu'il m6prise emp~che d'atteindre sa vision 6blouissante. C'est h ce m6pris de la
Vie que devait n6cessairement aboutir l'esth(~tique d6cadente des ~pigones
du Symbolisme mallarm~en. Leur ferveur pour l'image 6vocatrice et suggestive fut telle qu'ils en arriv~rent / t n e plus consid~rer les objets pour
eux-m~mes, mais pour le mot qui les repr~sente.
Et ainsi, apr~s de multiples avatars, nous voyons le romantisme d6g6n6rer
en un symbolisme herm~tique qui pousse/t l'exc~s le souci de faire myst6rieux
pour faire vrai. ,,Die Bilder der Romantik sollten mehr erwecken als bezeichnen", a dit Heine. Evidemment Heine a voulu dire par I~ que selon
l'esth~tique romantique route expression par l'art de vie directe ou transfigur~e doit tendre au Symbole, c'est h dire /~ la signification qui d~passe
la chose signifi6e. Pour qu'on ne se m6prenne pas sur ses v6ritables intentions
le porte allemand ajoute express~ment: ,,Die Bilder wodurch jene romantischen Geftihle erregt werden sollen, diJrfen ebenso klar und mit ebenso
bestimmten Umrissen gezeichnet sein als die Bilder der plastischen Poesie."
Car ce serait une erreur de croire que, pour exprimer la r6alit~ qui se d~robe
derriere les apparences fugitives, il faille recourir /t ces images flottantes,
impr6cises et vagues, ces ,,verworrene und verschwimmende Bilder", dont
Heine fait justice.
,,Le symbole po6tique, dit Bruneti~re, et nous croyons que nul n'a donn6
une meilleure d~finition du symbole, le symbole po6tique est une fiction
concrete, figur6e, plastique, mouvante et color,e, anim~e de sa vie propre,
personnelle, ind~pendante, capable au besoin de se suffire h elle-m~me, de
s'organiser et de se d6velopper, mais une fiction, dont la ,,correspondance"
est enti/~re avec un sentiment ou une idle qu'elle d~.veloppe". 1)
Le symbole ainsi entendu est le seul mode d'expression qui convienne
une po6sie qui a pour but d'embrasser tout le r6el, en poussant vers les
fronti~res inexplor~es du Moi. Cette po~sie de nuit et de cr6puscule que Novalis a chant6e dens ses Hymnes ~ la nuit, il se trouve qu'/~ quatre-vingts
ans d'intervalle les Symbolistes l'ont r~alis~e. Et eette renaissance du romantisme 6tait devenue in6vitable du moment qu'au sortir de l'art parnassien et positiviste les Symbolistes, en r6int6grant l'id~alisme dans la
conception du monde, retrouv~rent du m~me coup le sens du myst~re et
de l' Inconnaissable.
Cette vraie po6sie, d6gag6e de tout 616ment 6tranger, voil/t ce qui constitue
I'apport d6finitif du Symbolisme. Le romantisme fran~ais, au contraire, en
exaltant une sensibilit6 particuli~re et maladive, en d6daignant de renouveler
s) F. Bruneti~re, Evolution de la Po(~sie lyrique, II, p. 249.
I'/Vol. 7
Braak.
258
Novalis et le Symbolisme franc,ais.
I'inspiratlon po~tique en m~me temps que la forme po~tique, a fait fausse
route avec Hugo. S'il est une po~sie d'int~riorit~, capable de parcourir route
i'~chelle des sensations humaines, depuis l'angoisse pascalienne de Baudelaire
jusqu'~ la sublime tendresse de Verlaine, en passant par la douce et morbide langueur d'Albert Samain, s'il est une po~sie profonddment vraie, exprimanr ia passion sans emphase, aussi riche en modes d'expression qu'elle
est in~puisable en ses motifs, une po~sie enfin capable de ,,sugg~rer tout
l'homme par tout l'art", ce ne sont assur~ment pas les Romantiques qui
l'ont invent~e. De cette po~sie, les dii minores du Romantisme ont eu des
clart~s, des illuminations soudaines. C'est fi eux, e'est ~ G~rard de Nerval,
Maurice de Gu~rin, ~ Sainte-Beuve, A M me Desbordes--Valmore, /t Villiers
de l'Isle-Adam qu'il faut remonter pour r~tablir la filiation entre les symbolistes et le romantisme allemand. C'est dans leurs oeuvres qu'on entend
par moments ie son pur de la vraie podsie lyrique, exempte de fausse sensibilitd et de rh~torique ronflante.
Darts sa Romantisehe Schule H a y m caractdrise en ces termes la grande
pottle de l'oeuvre de Novalis pour la r~novation de la po~sie: ,,mit der gr6szten
Bestimmtheit spricht er es aus, dasz im Grunde das grosze R~ithsel des
$eins yon dem Augenblick an gel6st sei wo der Mensch auf den Einfall gekommen, in sich selbst den absoluten Vereinigungspunkt aller Gegens~itze,
den Mittelpunkt der bish~" getrennten Welten zu suchen".
R~unir en soi, par un magistral effort d'intuition esth6tique, ces mondes
~pars, le monde des formes matdrielles et le monde spiritu'el, constater I'identit~
du Moi et du non-Moi, op~rer la synth~se du r~ve et de I'apparence, c'est
vers ce but que tend tout I'effort du Symbolisme, et c'est par 1/~ que la po6sie
symboliste se relie au romantisme allemand.
C'est en ce sens qu'on peut d~finir le Symbolisme comme un v~ritable
n~o-romantisme. De nos jours il y en a qui regardent le romantisme cornme
un danger pour l'avenir de la po~sie. Les ap{~tres d'une po~sie tout intellectuelle, ceux qui voudraient revenir ~ une esp~ce de n6o-classicisme, feraient
peut-~tre bien de consid~rer qu'il n'y a qu'une po~sie.qui air quelque chance
de durer: celle qui a ses racines profondes darts tout ce que la po~sie de tous
les si~cles a con~u de podsie vraie, celle qui s'inspire de cette parole f~conde
de Novalis:
,,Das Herz ist der Schlfissel der Welt und des Lebens".
S. BRAAK.
Winschoten.
SUR DEUX
VERS
DE GUIDO GUINIZELLI.
Un des sonnets les plus curieux de Guinizelli est adress6 ~ une vieiUe
femme, qu'il accable d'invectives et d'impr6cations. Ces vers sont d'un
r6alisme qui 6tonne chez ce th6oricien de l'amour, et ils justifient jusqu'~ un
certain point l'interpr6tation que Torraca a donn6e du terme de ,,doux style
nouveau". I1 dit ,,Con la scuola del dolce stil novo si ritorna alia vita reale,
alia schiettezza delle impressioni, alia sincerit/t dei sentimenti e deile passioni . . . . Di questo . . . . troviamo i primi indizi nei versi dei bolognese messer
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An approach to the didactics of physics for structural engineering from an artistic perspective
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1 E-mail: henrygallardo@ufps.edu.co E-mail: henrygallardo@ufps.edu.co E-mail: henrygallardo@ufps.edu.co Abstract. The use of physics in structural engineering requires the combination of its logical
strength with social sensitivity. Logical strength is provided by mathematics and physics with
practical solutions and new thinking relationships. Social sensitivity is achieved by inserting this
"hard" knowledge into the solution of community problems. It is desirable that the teaching of
physics and its applications prioritize holistic knowledge over mechanicity and that this process
be similar to the one followed by the artist when he conceives his work: he dreams it, tries it,
feels it, and adjusts and delivers it after having understood it with his whole being. In terms of
curriculum, it is advisable to rethink the contents, encourage the use of majeutics, reduce
standardization, personalize evaluation, and abolish the belief that there can be useless
knowledge. An approach to the didactics of physics for structural
engineering from an artistic perspective J F Márquez Peñaranda1, H J Gallardo Pérez1, and M Vergel Ortega1
1 Universidad Francisco de Paula Santander, San José de Cúcuta, Colombia 2. Being and doing, wisdom and knowledge There is a general confusion about being and doing [5,6]. Most people identify with what they do and
claim that this is what they are. But in reality "being" is essential, while "doing" is circumstantial. Being
is like the sea, while doing is more like the waves. It is very important that the disciple does not lose
sight of the fact that being is what he does and as such he can adapt that doing to the circumstances that
arise. For example, a structural engineer should be able to adapt his knowledge to the real conditions of
each community. It is not fair to specify for a house to be built on the top of a mountain the same
materials, the same construction techniques, and the same rigor that is the norm in the cities, since doing
something like this would impose enormous costs of all kinds on the mountain family. There must be a
connection between being and doing. That connection can be sensitivity. The sensitivity of a structural
engineer recognizes that the mountain family needs a particular solution based on concepts of stability
and resistance of the house to be built. These concepts must involve the materials and labor available in
the mountain, the availability of economic resources and above all the tranquility of the family. The manifestation of being is wisdom, the trace of doing is knowledge. A wise man knows, but not
necessarily a man who knows is wise. Wisdom is the sublimation of knowledge; she is sensitive and
intelligent. Knowledge itself is circumstantial, it is permanently transformed even by denying itself. Wisdom grows even when it denies itself [3,7]. In the example of the mountain house, the structural
engineer may have knowledge, but not necessarily be wise. He or she can become wise if he or she is
humble in the face of doubt, but does not humble himself or herself in the face of fear. 2. Being and doing, wisdom and knowledge For example, if
the engineer recommends using a type of tree to give structure to the house based on his or her
knowledge of the mechanical and physical properties of the tree's dry wood, the homeowners might
argue that such a tree is scarce, or that it is very important for the balance of smaller animals and plants,
or that it represents the spirit of the forest (it is sacred), thus making it clear that they know not only the
structural advantages of the tree, but that they are wise when they accept the uniqueness of that
individual within the ecological and emotional balance of the community. g
y
In this writing, the words master and disciple are used to indicate people who "are" and can choose
to "do", that is, build themselves up as "wise". In contrast, when the words teacher and student are used,
the intention is to indicate that "doing" takes precedence over the idea being presented. 1674 (2020) 012012
doi:10.1088/1742-6596/1674/1/012012 Journal of Physics: Conference Series "defenses" for "dirty" environments; that genetically the teacher is weaker than the student to live in the
country environment; that the teacher's digestive condition was caused by something different from the
consumption of water from the stream he took as a "scapegoat"; that the teacher is inventing a story to
support what he learned theoretically. In short, it is undeniable that the absolute truth that the teacher
intends to teach is not infallible. As in any teaching process, the teaching of physics in structural engineering cannot be detached from
the substrate which is composed of the student's previous intuitive and experimental knowledge and
his/her availability for the use of exact sciences [4]. III International Seminar on Pedagogical Practice
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doi:10.1088/1742-6596/1674/1/012012 1. Introduction Making an analogy with biology and chemistry, it is worth saying that the disciple grows on a substrate
that allows him to feed and subsist within an environment that can be hostile or friendly. That substratum
is made up of the predecessor masters and the contemporary masters who are not only those who are
recognized as having a title but also family members, friends, antagonists and the environment itself
[1,2]. Some of them are sowers, others are reapers. The former protects the disciple's opportunities for
infinite growth while the latter will try to cut off any sprouts of lateral thinking that go outside the norm. Both are necessary and help maintain the balance if they are given in their natural proportion. The
disciple, contrary to what Locke (17th century) maintained, is not a Tabula Rasa, but brings ancestral
knowledge that he permanently adapts according to his current experiences. Recognizing this is
important if one wants to achieve a naturalized teaching, understanding that this expression refers to the
process of awakening in the disciple his capacity to shape his own reality, not a standardized one [3]. As an example, let's think of a classroom where there are two actors called students and teachers. In
reality, they are both disciples because they are each being formed from their own experience, but let us
accept that the teacher has a socially recognized power over the student and that the student accepts that
power because it benefits him in terms of the practical. Let us suppose that the student has grown up in
the field and has drunk without reserve from whatever source he finds. When he arrives at school the
teacher teaches him that all the water must be treated before it is drunk to avoid illness which induces a
doubt in the mind of the student who asks the teacher if he has drunk from a nearby stream. The teacher,
who is a citizen, will say that he or she just arrived but that he or she became ill the next day and had to
be treated for a digestive tract condition. The doubt arises in the student because from experience he
knows that this water does not hurt. Depending on the reason, there would be an endless number of
explanations for this difference: that the teacher grew up in a "clean" environment and did not develop 1 1674 (2020) 012012
doi:10.1088/1742-6596/1674/1/012012 Journal of Physics: Conference Series the collapse of a structure, not only to settle for calculating the numbers. It is necessary to listen to and
respect the emotions of everyone in the classroom and try to understand that consensus does not
necessarily imply renunciation, but rather is a social agreement. In order to speak the same language,
when defining a structural demand in terms of a range of numerical values, it is accepted that it is a brief
representation of the possible threats that the structural element may have rather than an all-
encompassing concept. the collapse of a structure, not only to settle for calculating the numbers. It is necessary to listen to and
respect the emotions of everyone in the classroom and try to understand that consensus does not
necessarily imply renunciation, but rather is a social agreement. In order to speak the same language,
when defining a structural demand in terms of a range of numerical values, it is accepted that it is a brief
representation of the possible threats that the structural element may have rather than an all-
encompassing concept. p
g
p
Physics and metaphysics cannot exist without each other and so the completeness of any knowledge
should be considered [9,10]. For example, the teaching of mechanical physics related to the concept of
force cannot lose sight of the fact that it is a manifestation of something that has not yet been explained
in terms of infallible observations and abstractions. The teacher and his disciple could be justifiably
humble in accepting their ignorance of the first source of what we call force. This humility or awe in the
face of this manifestation, which, although inexplicable, has measurable effects, can give us an example
of how we can integrate (or globalize) the reverie with logic. We could talk about the law and the laws;
it would be very convenient to accept the existence of the Law that we cannot understand and its
manifestation in what we can explain by means of laws that we deduce with logic, from observation. The principle of uncertainty and quantum mechanics are good examples of the advance of physics within
a universe that is more and more alien to reason, but whose effects can be predicted in practical terms
as long as we adequately delineate those terms. 4. Thinking and learning Our thinking machine is highly efficient by applying algorithms that are based on loops [12]. The
processes of structural analysis and design, being logical, demand in the disciple the formation of more
or less stable mental loops that allow to get to propose works that become concrete in the physical world
in the form of buildings and bridges. However, this factory of loops can work very well if the head of
operations is chosen to think holistically with all his sensitivity and openness. In other words, this is
what we have always heard about training professionals in values; this implies helping to awaken
sensitivity in the midst of the whole gear of logical loops. Managing emotions is a key aspect in the training of new professionals because it is necessary that
they grow in real environments without forgetting the ideals [13,6]. The observation and acceptance of
one's own emotions is perhaps the most important step in such management [14]. The next step is linked
to becoming aware of whether that emotion contributes to or hinders the growth that we want to achieve. Finally, we arrive at the adjustment of the emotion. It is curious that the proposed classifications define
more negative emotions than positive ones [8,14]. For example, one widely accepted classification
speaks of five negative emotions and one positive one. This seems to show that perhaps the most
accepted emotion is joy and does not require any subdivisions. Perhaps joy is the ultimate emotion, the
one with the most energy and the one that allows for true learning. In contrast, within the negative
emotions, fear seems to have the greatest power and be the generator of the other four. Here it is
important to emphasize that learning is built on doubt and happy learning based on doubt is possible,
but once fear appears the learning tends to stagnate. Being aware of this is very important when
establishing teaching strategies. Modern education is based on standardization [15]. Content, timetables, forms of evaluation and
social validation have been standardized. This is justified by the large size of the populations that make
up today's societies and by their need to communicate in the same language [10]. However, any excess
is harmful and we have fallen into the idolatry of knowledge, forgetting about wisdom. 1674 (2020) 012012
doi:10.1088/1742-6596/1674/1/012012 The fact that we cannot perceive and measure something
is not irrefutable proof that it does not exist [3,11]. 3. The brain hemispheres: east and west As physical entities we have a command center called the brain which some experts define as "a process
rather than an organ" [8]. Beyond the existing discussion about the veracity of the preference of each
brain hemisphere for logical or recreational activities, in this section an analogy is made and it is used
to raise an important question in the learning of structural engineering. It is said that the right hemisphere
of the brain prefers art while the left one prefers mathematics. In the history of the continents, one can
see that the East has developed fundamentally on cultures based on the intangible (let's say, from
dreaming) while the West has given rise to the civilization of the tangible (which is achieved through
logic). However, globalization is permeating both hemispheres of the world map and is fostering a much
richer experience than that gained from isolated cultures. It is possible to motivate a similar effect in our
teaching work by training ourselves and helping to awaken our disciples from a holistic vision. When
we teach, it is necessary to permanently contextualize the knowledge: if we teach how to calculate the
resistance of a beam, it is important that we insist that this parameter can save many lives by avoiding 2 1674 (2020) 012012
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g
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doi:10.1088/1742-6596/1674/1/012012 being more like that of a machine. Science and paracism seem to admit that we are indeed very refined
machines, although the former is based on observation and the latter on flashes of creativity and lateral
thinking. The conditions are now in place within the thinking of the disciples to admit a balanced fusion
of science and para-science, that is, of the measurable with the dreamable. That is why structural
engineering can continue to rely on materials and techniques that have worked for centuries and
millennia, but it can also ask itself questions about the possibility of "living" materials that grow and
adapt to the immediate demands of the environment: Why not imagine a structure that anticipates its
loads and strengthens its elements and connections according to its own prognosis? Thought is plastic and ductile but typically standardization makes it rigid and fragile [8,9,12]. Thought adapts and can develop without limit if the conditions are present for plasticity and ductility to
be allowed in the teaching process. When a student asks the reason for something, the teacher's answer
should be totally transparent so that those conditions are met; if the teacher "knows" the answer should
accompany his or her answer with the possible origins and shortcomings of that knowledge, it should
include a "but" that shows that nothing is totally true or totally false within what we "know"; if the
teacher "does not know" the answer, he or she should say so and take advantage of that opportunity so
that together with his or her students that knowledge is achieved. Teaching that encourages the plastic
and ductile growth of thought can be positively supported by error and the recognition of the limitations
of what is admitted to be true. When a structural engineering student asks his teacher why only 7 or 11
bar diameters are used within the design and the teacher answers "because that is the way it is", the
opportunity is lost to illustrate during the next minute of class the history and commercial convenience
of bar diameter standardization within the steel industry; a discussion could also be proposed on the
theoretical and practical possibilities it would have if we could develop procedures with which the bar
could be extruded on site according to our most precise design. 1674 (2020) 012012
doi:10.1088/1742-6596/1674/1/012012 This way of communicating what is
known can allow a natural development of what the student can achieve not only with the knowledge of
the state of the art but with his own creativity, with his capacity to dream. All the manifest, all the diversity, is natural but not necessarily convenient. Convenience is a practical
matter, imposing limits to minimize the effort that change and adaptation demand. Particular
convenience does not exist, it is only possible if it occurs collectively and that is why it is an eminently
practical matter that is linked to the way we communicate. On the other hand, collective peace does not
exist because it is an achievement of the individual [5]. The harmony of teaching can only be achieved
if these three concepts are reconciled: everything that is manifest is natural, convenience chooses what
is accepted from the manifest, peace accepts the totality from the individual's point of view. The
recognition of the equality between master and disciple and between disciples is the cornerstone of a
free teaching. The teacher who admits to questions and doubt from his students about what he teaches
without feeling hurt is surely accepting that equality. On the other hand, the diversity of cultural, gender
and religious expressions can bring much richness and encourage reconciliation between nature,
convenience and peace if they are properly reconciled. As a brief reflection on this section, let us think about the familiarity of these words: knowledge =
unknowing (without foundation, mobile, not permanent), reason and co-reason (heart, the companion of
reason, sensitivity and reason). 4. Thinking and learning The obsession
for perfection, the slavery of the measurable, and the anguish for productivity has taken us away from
the enjoyment of knowledge just for the sake of knowing. Today, practically everything a student learns
is a function of his immediate functionality, of his possible productivity. For example, in structural
engineering education it is rare to find teachers who know the history of art and architecture and their
influence on the design of structures. These professors can be highly efficient with their calculations,
but they are not always sensitive to what they teach and to whom they teach, resulting in their work 3 III International Seminar on Pedagogical Practice
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doi:10.1088/1742-6596/1674/1/012012 5.2. Example We want to understand how the structure of a tree behaves in a zone of the tropics. How could this
understanding be induced in a student? It may be helpful to look at an actual tree, a video or photographic
image, or a drawing such as the one shown in Figure 1. Channeling questions might be: What are the
peculiarities of its movement, and how might the fact that it does not fall apart be described numerically? g
y
Within the answers may appear statements such as: the tree has roots that support it, the tree moves
with the wind, there's sound caused by the leaves and by the crunching of some branches, there's leaf
loss in the movement, the tree gets constantly wet and dry, the tree doesn't fall apart because it's stronger
than the wind, to prevent it from falling to pieces, we should express numerically that the resistance of
the tree should always be greater than or equal to what the wind does to it. These answers show that
intuitively the student knows about the need for a foundation (roots), the existence of transitory loads
(wind), the deformability of the tree materials, the energy transformation that occurs in a system (there
is sound and heat), the variability of the load (leaves fall and water can appear and disappear on the
branches and trunk), the need for an equation based on resistance and demand forecasts and many other
concepts useful in the approach of mathematical models of structural engineering. To address the problem in numerical terms, it is advisable to take stock of some previous knowledge
or concepts: density or unit mass, centroid, center of gravity, lever arm, force, momentum, among others. In this state it can be useful to ask questions to improve the knowledge of orders of magnitude of some
physical quantities in the engineering problem being studied: Is the tree heavier or lighter than you, what
happens if the tree falls into a nearby lake, can the tree grow taller than a building. It is possible to
roughly "scale up" the different parts shown in Figure 1 and get "orders of magnitude" that can serve as
a guide for trying some numerical answers. For example, the tree is almost three times the height of an
adult man and the diameter of its trunk can be on the order of twice that of the man's body. 5.1. Some proposals We propose to train initially from the general to the particular and then encourage expertise from the
particular. Before starting the mentioned courses, it is convenient to include a conceptualization course
that includes concepts of the relationship between internal and external forces with the most likely
numerical ranges to be found in any type of structure studied in an undergraduate program. Therefore,
not only will the understanding of the scope of structural engineering be achieved, but also the
representative orders of magnitude will be fixed in the results of the analysis and design. The proposed course will encourage calculation by hand or with basic devices such as scientific
calculators and freehand drawing. This will strengthen the relationship between fine motor skills and
abstraction. Moreover, it will help students to understand that they do not necessarily need complex
devices with inaccessible hardware and software to solve any kind of problem in a responsible way. Accuracy does not necessarily imply efficiency; a student may be very skilled at operating software, but
may not necessarily know what the results and data mean [16,17]. The proposed course could be enriched with the abundant use of images and simple scale models
that can be felt and observed by the students. This experience helps to fix concepts (form general loops)
that can then be "broken down" and structured into smaller, more expert loops. For example, when a
student bends a rubber bar, he or she not only feels the restitution force that is generated, but may also
observe small changes in texture and some heat in some parts which may induce questions about what
effect these developments have on the study of structural analysis. 1674 (2020) 012012
doi:10.1088/1742-6596/1674/1/012012 The study of the above subjects must be consistent, mutually inclusive. The training of a structural
engineer requires an understanding of each of the parts and how they interact: an expert in structural
analysis does not necessarily know when a structure is safe and vice versa, someone who knows how to
design does not necessarily know how to analyze the structure properly. However, here it is worth to
say that the physics, particularly the mechanics, have a paramount importance in the teaching of the
structural teaching. 5. Results Physics is a fundamental part of a typical program of the structural engineering line within the civil
engineering career that basically includes the following subjects with their respective ramifications: (a)
static: it focuses on the relationships between external forces and internal forces in rigid bodies. It studies
balance and stability; (b) strength of materials: it studies the relationship between stress and deformation
at negligible speed of deformable bodies built with materials of known properties; (c) structural analysis:
It combines the concepts of equilibrium and stability with the resistance of materials to predict internal
forces and deformations in structures composed of elements from one or several types of materials; (d)
structural design: It uses the results of structural analysis to guarantee the resistance and rigidity required
in real structures. 4 1674 (2020) 012012
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doi:10.1088/1742-6596/1674/1/012012 words, the tree may measure about 3 × 1.70 m = 5.10 m from base to top and its diameter is about
2 × 0.30 m = 0.60 m. If the solid volume of the branches is of the order of one tenth of that occupied
by the whole tree, then the approximate volume of the "compressed" tree would be of the order of
5.10 × 3.14 × 0.60! × 1.10 = 6.35 m". As the wood weighs around 6 KN m"
⁄
it could be estimated
that the weight of the tree is around 6 × 6.35 = 38.07 KN (about four tons). If the student observes that
due to the wind the tree moves back and forth up to 20 cm in the crown of the tree and if it is accepted
that the center of gravity of the tree is 2/3 of the total height, then it could be said that the center of
gravity moves at a rate of approximately 2 3
⁄ × 20 = 13.33 cm to each side. If these data are used the
moment that demands the trunk in its leg is of the order of 38.07 KN × 0.1333 m = 5.08 KNm which
allows to anticipate that the resistance of the trunk and the root is at least 5.1 KNm. words, the tree may measure about 3 × 1.70 m = 5.10 m from base to top and its diameter is about
2 × 0.30 m = 0.60 m. If the solid volume of the branches is of the order of one tenth of that occupied
by the whole tree, then the approximate volume of the "compressed" tree would be of the order of
5.10 × 3.14 × 0.60! × 1.10 = 6.35 m". As the wood weighs around 6 KN m"
⁄
it could be estimated
that the weight of the tree is around 6 × 6.35 = 38.07 KN (about four tons). If the student observes that
due to the wind the tree moves back and forth up to 20 cm in the crown of the tree and if it is accepted
that the center of gravity of the tree is 2/3 of the total height, then it could be said that the center of
gravity moves at a rate of approximately 2 3
⁄ × 20 = 13.33 cm to each side. 1674 (2020) 012012
doi:10.1088/1742-6596/1674/1/012012 If these data are used the
moment that demands the trunk in its leg is of the order of 38.07 KN × 0.1333 m = 5.08 KNm which
allows to anticipate that the resistance of the trunk and the root is at least 5.1 KNm. The goodness of the calculations can be verified using e.g. finite element software. In this case the
use of software can be very useful for the teaching process because it is used to check what was deduced
mentally [18-22]. Figure 1. Example of conceptual induction of
structural behavior. Figure 1. Example of conceptual induction of
structural behavior. 5.2. Example In other 5 III International Seminar on Pedagogical Practice
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doi:10.1088/1742-6596/1674/1/012012 1674 (2020) 012012
doi:10.1088/1742-6596/1674/1/012012 References ¿Cómo Pudo el Cerebro Generar Emociones, Sentimientos,
eas y el Yo? (Barcelona: Destino) [8]
Damasio A 2010 Y el Cerebro Creó al Hombre. ¿Cómo Pudo el Cerebro Generar Emociones, Sent
Ideas y el Yo? (Barcelona: Destino) Ideas y el Yo? (Barcelona: Destino) [9]
Einsten A 2010 Mis Ideas y Opiniones (Barcelona: Aguilar) rari Y 2018 21 Lecciones para el Siglo XXI (Barcelon [11]
Santaolla J 2016 El Bosson de Higgs no te va a Hacer la Cama. La Física Como Nunca te la Han Contado
(Alcobendas: La esfera de los libros) References El Futuro del Trabajo en la Era de la Automatización
(Barcelona: Debate)
[16]
Botuzova Y 2020 Advantages and disadvantages of using mathematical software in the work of
mathematical circle Випуск Серія: Математичні науки 74 12
[17]
Consortini A 2014 Advantages and disadvantages of using computers in education and research
Proceedings of SPIE Volume 9289, 12th Education and Training in Optics and Photonics Conference
(Porto: SPIE)
[18]
Neves R Neves M, Victor T 2013 Modellus: Interactive Computational Modelling to Improve Teaching of
Physics in the Geosciences Computers & Geosciences 56 119
[20]
Ramma Y, Bholoa A, Watts M, Nadal P 2017 Teaching and learning physics using technology: Making a
case for the affective domain Education Inquiry 9 210
[21]
Bednarova R and Merickova J 2012 Learning and teaching with technology e-learning as a motivation in References
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Márquez-Peñaranda J 2016 Modelo de docencia centrada en el discípulo una propuesta para hacer más
humanizada la docencia Respuestas 6(1) 35
[2]
Savater F 1996 Ética para amador (Barcelona: Ariel)
[3]
Osho 2007 Intuición. El Conocimiento que Trasciende la Lógica (Miami: Editorial DeBolsillo)
[4]
Kaku M 2012 Física de lo Imposible. ¿Podremos ser Invisibles, Viajar en el Tiempo y Teletransportarnos? (Miami: Editorial DeBolsillo)
[5]
Ouspensky P 2008 Tertium Organum: El Tercer Canon del Pensamiento; Una Clave para los Enigmas del
Mundo (Buenos Aires: Kier)
[6]
Tashi, Y 2006 El sentido Común (Buenos Aires: Ediciones Universales)
[7]
Stuart J 1998 La Naturaleza. Filosofía (Madrid: Alianza Editorial)
[8]
Damasio A 2010 Y el Cerebro Creó al Hombre. ¿Cómo Pudo el Cerebro Generar Emociones, Sentimientos,
Ideas y el Yo? (Barcelona: Destino)
[9]
Einsten A 2010 Mis Ideas y Opiniones (Barcelona: Aguilar)
[10]
Harari Y 2018 21 Lecciones para el Siglo XXI (Barcelona: Debate)
[11]
Santaolla J 2016 El Bosson de Higgs no te va a Hacer la Cama. La Física Como Nunca te la Han Contado
(Alcobendas: La esfera de los libros)
[12]
De Bono E 2017 Lógica Fluida. La Alternativa a la Lógica Tradicional (Barcelona: Paidós)
[13]
Bauman Z 2017 Reflexiones Sobre un Mundo Líquido (Barcelona: Paidós) e e e ces
[1]
Márquez-Peñaranda J 2016 Modelo de docencia centrada en el discípulo una propuesta para hacer más
humanizada la docencia Respuestas 6(1) 35
É [7]
Stuart J 1998 La Naturaleza. Filosofía (Madrid: Alianza Editorial) f
(
)
amasio A 2010 Y el Cerebro Creó al Hombre. References References
[1]
Márquez-Peñaranda J 2016 Modelo de docencia centrada en el discípulo una propuesta para hacer más
humanizada la docencia Respuestas 6(1) 35
[2]
Savater F 1996 Ética para amador (Barcelona: Ariel)
[3]
Osho 2007 Intuición. El Conocimiento que Trasciende la Lógica (Miami: Editorial DeBolsillo)
[4]
Kaku M 2012 Física de lo Imposible. ¿Podremos ser Invisibles, Viajar en el Tiempo y Teletransportarnos? (Miami: Editorial DeBolsillo)
[5]
Ouspensky P 2008 Tertium Organum: El Tercer Canon del Pensamiento; Una Clave para los Enigmas del
Mundo (Buenos Aires: Kier)
[6]
Tashi, Y 2006 El sentido Común (Buenos Aires: Ediciones Universales)
[7]
Stuart J 1998 La Naturaleza. Filosofía (Madrid: Alianza Editorial)
[8]
Damasio A 2010 Y el Cerebro Creó al Hombre. ¿Cómo Pudo el Cerebro Generar Emociones, Sentimientos,
Ideas y el Yo? (Barcelona: Destino)
[9]
Einsten A 2010 Mis Ideas y Opiniones (Barcelona: Aguilar)
[10]
Harari Y 2018 21 Lecciones para el Siglo XXI (Barcelona: Debate)
[11]
Santaolla J 2016 El Bosson de Higgs no te va a Hacer la Cama. La Física Como Nunca te la Han Contado
(Alcobendas: La esfera de los libros)
[12]
De Bono E 2017 Lógica Fluida. La Alternativa a la Lógica Tradicional (Barcelona: Paidós)
[13]
Bauman Z 2017 Reflexiones Sobre un Mundo Líquido (Barcelona: Paidós)
[14]
Vaillant G 2009 La Ventaja Evolutiva del Amor. Un Estudio Científico de las Emociones Positivas
(Barcelona: Ridgen Institut Gestalt)
[15]
Openheimer A 2018 ¡Sálvese Quien Pueda! 6. Conclusions The harmony of the master-disciple relationship will manifest from the teacher-student relationship if
the teaching is holistic. It is necessary to rethink the current value systems based on productivity and
standardization to give way to educational processes that allow the plastic and ductile expression of
thought. The harmony of the master-disciple relationship will manifest from the teacher-student relationship if
the teaching is holistic. It is necessary to rethink the current value systems based on productivity and
standardization to give way to educational processes that allow the plastic and ductile expression of
thought. The formation of loops or logical algorithms in the mind of the structural engineering learner is
valuable as long as it serves an open, universal mind. It is not enough to know how to add, it is necessary
that it means that sum in each context in which it is applied. It is proposed to create a course of general
concepts and orders of magnitude that connect common sense with expert knowledge before exposing
students to specific knowledge of the application of physics in structural engineering. This course should
be rich in the use of perceptual resources (visual, auditory, tactile) that allow an experience associated
with each concept to be set as part of the language of a civil engineer dedicated to structural engineering. It is possible to train professionals with robust concepts that make responsible use of software resources
for which it is necessary to insist that the software is at the service of the human, not the contrary. The proposal allows the teacher to develop from the physics class in their student’s skills that
strengthen their mathematical physical thinking from the study of balance, stability, deformation and
design of structures based on mathematical models inherent in physics. 6 6 1674 (2020) 012012
IOP Publishing
doi:10.1088/1742-6596/1674/1/012012 III International Seminar on Pedagogical Practice
Journal of Physics: Conference Series
1674 (2020) 012012
IOP Publish
doi:10.1088/1742-6596/1674/1/0120 (Alcobendas: La esfera de los libros) [12]
De Bono E 2017 Lógica Fluida. La Alternativa a la Lógica Tradicional (Barcelona: Paidós) [13]
Bauman Z 2017 Reflexiones Sobre un Mundo Líquido (Barcelona: Paidós) [
]
f
q
(
)
[14]
Vaillant G 2009 La Ventaja Evolutiva del Amor. Un Estudio Científico de las Emociones Positivas
(Barcelona: Ridgen Institut Gestalt) [15]
Openheimer A 2018 ¡Sálvese Quien Pueda! El Futuro del Trabajo en la Era de la Autom
(Barcelona: Debate) [15]
Openheimer A 2018 ¡Sálvese Quien Pueda! El Futuro del Trabajo en la Era de la Automatización
(Barcelona: Debate) [15]
Openheimer A 2018 ¡Sálvese Quien Pueda! El Futuro del Trabajo en la Era de la Automatización
(Barcelona: Debate)
[16]
Botuzova Y 2020 Advantages and disadvantages of using mathematical software in the work of (Barcelona: Debate)
[16]
Botuzova Y 2020 Advantages and disadvantages of using mathematical software in the work of (Barcelona: Debate)
[16]
Botuzova Y 2020 Advantages and disadvantages of using mathematical software in the work of
mathematical circle Випуск Серія: Математичні науки 74 12 otuzova Y 2020 Advantages and disadvantages of using mathematical software in the work of
athematical circle Випуск Серія: Математичні науки 74 12 [17]
Consortini A 2014 Advantages and disadvantages of using computers in education and research
Proceedings of SPIE Volume 9289, 12th Education and Training in Optics and Photonics Conference
(Porto: SPIE) [18]
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of educational software Procedia-Social and Behavioral Sciences 2 4407
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Therapeutic Potential of TLR8 Agonist GS‐9688 (Selgantolimod) in Chronic Hepatitis B: Remodeling of Antiviral and Regulatory Mediators
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Hepatology
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Therapeutic Potential of TLR8 Agonist
GS-9688 (Selgantolimod) in Chronic
Hepatitis B: Remodeling of Antiviral and
Regulatory Mediators Oliver E. Amin
,1 Emily J. Colbeck,1 Stephane Daffis,2 Shahzada Khan,2 Dhivya Ramakrishnan,2 Divya Pattabiraman,2
Ruth Chu,2 Holly Micolochick Steuer,2* Sophie Lehar,2† Leanne Peiser,2‡ Adam Palazzo,2 Christian Frey,2,§ Jessica Davies,1
Hassan Javanbakht,2¶ William M.C. Rosenberg,3 Simon P. Fletcher
,2 Mala K. Maini
,1 and Laura J. Pallett
1 BACKGROUND AND AIMS: GS-9688 (selgantolimod) is
a toll-like receptor 8 agonist in clinical development for the
treatment of chronic hepatitis B (CHB). Antiviral activity of
GS-9688 has previously been evaluated in vitro in HBV-
infected hepatocytes and in vivo in the woodchuck model of
CHB. Here we evaluated the potential of GS-9688 to boost
responses contributing to viral control and to modulate regu-
latory mediators. BACKGROUND AND AIMS: GS-9688 (selgantolimod) is
a toll-like receptor 8 agonist in clinical development for the
treatment of chronic hepatitis B (CHB). Antiviral activity of
GS-9688 has previously been evaluated in vitro in HBV-
infected hepatocytes and in vivo in the woodchuck model of
CHB. Here we evaluated the potential of GS-9688 to boost
responses contributing to viral control and to modulate regu-
latory mediators. that might enhance antiviral efficacy. Stimulation with GS-
9688 reduced the frequency of CD4+ regulatory T cells and
monocytic myeloid-derived suppressor cells (MDSCs). Residual
MDSCs expressed higher levels of negative immune regula-
tors, galectin-9 and programmed death-ligand 1. Conversely,
GS-9688 induced an expansion of immunoregulatory TNF-
related apoptosis-inducing ligand+ NK cells and degranulation
of arginase-I+ polymorphonuclear MDSCs. CONCLUSIONS: GS-9688 induces cytokines in human
peripheral blood mononuclear cells that are able to activate
antiviral effector function by multiple immune mediators (HBV-
specific CD8+ T cells, CD4+ follicular helper T cells, NK cells,
and mucosal-associated invariant T cells). Although reducing
the frequency of some immunoregulatory subsets, it enhances
the immunosuppressive potential of others, highlighting poten-
tial biomarkers and immunotherapeutic targets to optimize the
antiviral efficacy of GS-9688. (Hepatology 2021;74:55-71). APPROACH AND RESULTS: We characterized the ef-
fect of GS-9688 on immune cell subsets in vitro in periph-
eral blood mononuclear cells of healthy controls and patients
with CHB. GS-9688 activated dendritic cells and mononu-
clear phagocytes to produce IL-12 and other immunomodu-
latory mediators, inducing a comparable cytokine profile in
healthy controls and patients with CHB. GS-9688 increased
the frequency of activated natural killer (NK) cells, mucosal-
associated invariant T cells, CD4+ follicular helper T cells,
and, in about 50% of patients, HBV-specific CD8+ T cells
expressing interferon-γ. Abbreviations: cDC, conventional dendritic cell; CHB, chronic hepatitis B; FOXP3, forkhead box P3; HLA, human leukocyte antigen; ICOS,
inducible T-cell co-stimulator; IFN, interferon; mAb, monoclonal antibody; MAIT, mucosal-associated invariant T cell; MDSC, myeloid-derived
suppressor cells; MEC, minimal effective concentration; MFI, mean fluorescence intensity; M-MDSC, monocytic-MDSC; MNP, mononuclear
phagocyte; NK, natural killer; PBMC, peripheral blood mononuclear cell; PD-1, programmed cell death protein 1; pDC, plasmacytoid dendritic cell;
PD-L1, programmed death-ligand 1; PMN-MDSC, polymorphonuclear-MDSC; REC, Research Ethics Committee; TFH, CD4+ follicular helper T
cell; TLR, toll-like receptor; TRAIL, TNF-related apoptosis-inducing ligand; TREG, CD4+ regulatory T cells. Received June 19, 2020; accepted December 8, 2020. Received June 19, 2020; accepted December 8, 2020.
Additional Supporting Information may be found at onlinelibrary.wiley.com/doi/10.1002/hep.31695/suppinfo.
Supported by Gilead Sciences, Inc.
* Arbutus Biopharma Corporation, Warminster, PA; † Genentech Inc., South San Francisco, CA; ‡ Bristol Myers Squibb, Seattle, WA; § Ideaya
Biosciences Inc., South San Francisco, CA; ¶ SQZ Biotechnologies, Watertown, MA
© 2021 The Authors. Hepatology published by Wiley Periodicals LLC on behalf of American Association for the Study of Liver Diseases. This is
an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium,
provided the original work is properly cited. p
Additional Supporting Information may be found at onlinelibrary.wiley.com/doi/10.1002/hep.31695/suppinfo.
Supported by Gilead Sciences, Inc. Abbreviations: cDC, conventional dendritic cell; CHB, chronic hepatitis B; FOXP3, forkhead box P3; HLA, human leukocyte antigen; ICOS,
inducible T-cell co-stimulator; IFN, interferon; mAb, monoclonal antibody; MAIT, mucosal-associated invariant T cell; MDSC, myeloid-derived
suppressor cells; MEC, minimal effective concentration; MFI, mean fluorescence intensity; M-MDSC, monocytic-MDSC; MNP, mononuclear
phagocyte; NK, natural killer; PBMC, peripheral blood mononuclear cell; PD-1, programmed cell death protein 1; pDC, plasmacytoid dendritic cell;
PD-L1, programmed death-ligand 1; PMN-MDSC, polymorphonuclear-MDSC; REC, Research Ethics Committee; TFH, CD4+ follicular helper T
cell; TLR, toll-like receptor; TRAIL, TNF-related apoptosis-inducing ligand; TREG, CD4+ regulatory T cells.
Received June 19, 2020; accepted December 8, 2020.
Additional Supporting Information may be found at onlinelibrary.wiley.com/doi/10.1002/hep.31695/suppinfo.
Supported by Gilead Sciences, Inc.
* Arbutus Biopharma Corporation, Warminster, PA; † Genentech Inc., South San Francisco, CA; ‡ Bristol Myers Squibb, Seattle, WA; § Ideaya
Biosciences Inc., South San Francisco, CA; ¶ SQZ Biotechnologies, Watertown, MA
© 2021 The Authors. Hepatology published by Wiley Periodicals LLC on behalf of American Association for the Study of Liver Diseases. This is
an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium,
provided the original work is properly cited. pp
y
* Arbutus Biopharma Corporation, Warminster, PA; † Genentech Inc., South San Francisco, CA; ‡ Bristol Myers Squibb,
¶ * Arbutus Biopharma Corporation, Warminster, PA; † Genentech Inc., South San Francisco, CA; ‡ Bristol Myers Squibb, Seattle, WA; § Ideaya
Biosciences Inc., South San Francisco, CA; ¶ SQZ Biotechnologies, Watertown, MA
© 2021 The Authors. Hepatology published by Wiley Periodicals LLC on behalf of American Association for the Study of Liver Diseases. This is
an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium,
provided the original work is properly cited. View this article online at wileyonlinelibrary.com.
DOI 10.1002/hep.31695 Potential conflict of interest: Dr. Khan is employed by Gilead. Dr. Daffis is employed and owns stock in Gilead. Dr. Ramakrishnan is employed and
owns stock in Gilead. Dr. Pattabiraman is employed and owns stock in Gilead. Dr. Chu is employed and owns stock in Gilead. Dr. Steuer owns stock
in Gilead. Dr. Peiser is employed and owns stock in Bristol-Myers Squibb. Dr. Palazzo is employed and owns stock in Gilead. Dr. Frey owns stock in
Gilead. Dr. Javanbakht is employed and owns stock in SQZ Biotechnologies and owns stock in Gilead and Roche. Dr. Fletcher is employed and owns
stock in Gilead. Dr. Maini consults and received grants from Gilead, Hoffman La Roche, and Immunocore. Dr. Pallett consults and received grants
from Gilead. Hepatology, July 2021 AMIN ET AL. TNF-related apoptosis-inducing ligand (TRAIL),
enabling them to engage with and eliminate T cells
expressing the reciprocal receptor, TRAIL-receptor 2
(TRAIL-R2).(7,8) Another mechanism contributing to
the suppression of HBV immunity is the expansion of
arginase+ polymorphonuclear myeloid-derived suppres-
sor cells (PMN-MDSCs), which deplete key nutrients
required by T cells for proliferation and function.(9) causes more than 800,000 deaths a year due to
HBV-related complications such as cirrhosis and
HCC.(1) In the absence of novel treatment strat-
egies, it is projected that new cases of CHB will
rise to three million per year by 2030.(2) Current
approved therapies include long-term antiviral
suppression with nucleos(t)ide analogues and
pegylated interferon-α (IFN-α). These treatments
reduce viremia and improve patient outcomes but
are rarely curative.(3) As a consequence, there is a
pressing need for novel immunotherapeutic strat-
egies to supplement existing direct-acting antivi-
rals to achieve durable immune control. One therapeutic approach in clinical development
for CHB is to engage innate immune receptors such as
toll-like receptors (TLRs), which can exert both direct
and indirect effects on the antiviral T-cell and B-cell
response. A previous therapeutic strategy attempted to
harness TLR7 signaling using the agonist GS-9620
(vesatolimod). GS-9620 induced sustained antiviral
responses in animal models,(10,11) but failed to show
therapeutic efficacy in patients with CHB.(12,13) Control of HBV is dependent on the coordinated
action of both innate and adaptive immunity.(4) A major
obstacle to HBV clearance in CHB is a dysfunctional
adaptive response, characterized by a profound state of
immune exhaustion and HBV-specific T-cell deple-
tion.(5,6) The mechanism by which this dysfunction
occurs is multifaceted, but likely driven by a combina-
tion of ongoing high-dose antigenic stimulation and
the tolerogenic liver environment. Moreover, while the
natural killer (NK) cell compartment can exert direct
and indirect antiviral activity, they may also restrict
effective antiviral immunity by deleting apoptosis-
prone HBV-specific T cells. Specifically, NK cells in
the HBV-infected liver up-regulate the death-ligand More recently, attention has turned to TLR8 acti-
vation due to its anticipated ability to stimulate host
immunity through the induction of pro-inflammatory
and immunomodulatory cytokines. Human TLR8 is
predominantly expressed on the endosomal membrane
of monocytes, macrophages, conventional dendritic
cells (cDCs), and CD4+ regulatory T cells (TREG), and
allows cells to respond to infection through detection
of viral single-stranded RNA.(14-16) GS-9688 (selgan-
tolimod) is an oral selective small-molecule agonist Therapeutic Potential of TLR8 Agonist
GS-9688 (Selgantolimod) in Chronic
Hepatitis B: Remodeling of Antiviral and
Regulatory Mediators Moreover, in vitro stimulation with
GS-9688 induced NK-cell expression of interferon-γ and
TNF-α, and promoted hepatocyte lysis. We also assessed
whether GS-9688 inhibited immunosuppressive cell subsets C C
hronic hepatitis B (CHB) remains a global
health concern with an estimated 260
million people infected worldwide. CHB C
hronic hepatitis B (CHB) remains a global
health concern with an estimated 260
million people infected worldwide. CHB 55 Hepatology, July 2021 Hepatology, July 2021 STUDY COHORT All participants were anti-HCV and anti-HIV
antibody negative. Healthy controls were addition-
ally anti-HBV negative. Participants with CHB were
stratified by HBV viral load (IU/mL; determined by
real-time PCR), HBsAg titer (IU/mL; determined
by Architect; Abbott Laboratories, London, United
Kingdom), HBeAg positivity, and serum alanine trans-
aminase (ALT; IU/L) where appropriate (Supporting
Table S1). ETHICAL APPROVAL This study was approved by the local ethics board
of Brighton & Sussex (Research Ethics Committee
[REC] ref: 11/LO/0421), London Brent (REC ref:
17/LO/0266), and University College London–Royal
Free Biobank (REC ref: 16/WA/0289). All partici-
pants gave written, informed consent. In select exper-
iments, whole blood was obtained from AllCells
(Alameda, CA) and the MT Group (Van Nuys, CA). In this instance, consent was obtained from the donor
or donor’s legal next of kin using internal review
board–approved authorizations. Study protocols con-
formed to the 1975 Declaration of Helsinki guidelines,
and samples/data were stored in compliance with the
Data Protection Act 1998 & Human Tissue Act 2004. MEASUREMENT OF CYTOKINES
BY LUMINEX A total of 1 × 106 PBMCs/well were seeded in
96-well round-bottom plates in 200 µL cRPMI
with GS-9688 or ≤0.1% DMSO vehicle control, at
37°C. After 24 hours, culture supernatants were har-
vested and stored at −80°C. Cytokine concentrations
were determined by Luminex array (Bio-Plex 200
System; Bio-Rad Laboratories, Hercules, CA) or
MAGPIX (Luminex Corporation, Austin, TX) with
the following kits: Th1/Th2 cytokine panel (eBio-
science, Inc., San Diego, CA), cytokine discovery
fixed 45-plex (Bio-Techne, Minneapolis, MN) and
a single-plex IL-12/IL-23p40 (ProcartaPlex; eBio-
science, Inc.). PBMC ISOLATION PBMCs were isolated using Pancoll (PanBiotech
GmbH, Aidenbach, Germany) or Ficoll (GE
Healthcare Sciences, Chicago, IL) by density centrifu-
gation from heparinized blood. Cells were washed and
resuspended in Roswell Park Memorial Institute 1640
medium (Life Technologies, Carlsbad, CA) contain-
ing 10% vol/vol heat-inactivated fetal bovine serum
(HI-FBS, Sigma-Aldrich, St. Louis, MO; or Hyclone,
GE Healthcare Sciences), 100 U/mL penicillin/strep-
tomycin,
4-(2-hydroxyethyl)-1-piperazine
ethane-
sulfonic acid, β-mercaptoethanol, and essential and
non-essential amino acids (cRPMI; all Thermo Fisher
Scientific, Waltham, MA). Accordingly, in this study we have evaluated the
immunomodulatory effects of GS-9688 on various
immune cells in vitro using freshly isolated peripheral
leukocytes from healthy controls and patients with
CHB, to understand its therapeutic potential for CHB. INVESTIGATIONAL DRUG of TLR8 in development for CHB. In vitro studies
have demonstrated that cytokines induced in human
peripheral blood mononuclear cells (PBMCs) by GS-
9688 reduce viral parameters in HBV-infected pri-
mary human hepatocytes.(17) Furthermore, GS-9688
treatment was well tolerated and induced a sustained
antiviral response in a subset of woodchuck hepatitis
virus–infected woodchucks.(18) Although these preclin-
ical studies provide some insight into the antiviral effi-
cacy of GS-9688, they did not provide insight into the
mode of action of GS-9688 on human immune cells. GS-9688 (selgantolimod) is a small-molecule
TLR8 agonist manufactured by Gilead Sciences Inc. (Foster City, CA).(17) Concentrations used are denoted
in the figures/figure legends. ARTICLE INFORMATION: From the 1 Division of Infection & Immunity, Institute of Immunity & Transplantation, University College London, London, United
Kingdom; 2 Gilead Sciences Inc., Foster City, CA; 3 Institute for Liver and Digestive Health, University College London, London,
United Kingdom. ADDRESS CORRESPONDENCE AND REPRINT REQUESTS TO: Laura J. Pallett, Ph.D. Division of Infection & Immunity
Institute of Immunity & Transplantation
University College London Rayne Building, 5 University Street
London, WC1E 6JF, United Kingdom
E-mail: laura.pallett@ucl.ac.uk
Tel.: +44-0-20-3108-2176 Rayne Building, 5 University Street
London, WC1E 6JF, United Kingdom
E-mail: laura.pallett@ucl.ac.uk
Tel.: +44-0-20-3108-2176 56 Hepatology, Vol. 74, No. 1, 2021 AMIN ET AL. Experimental Procedures ETHICAL APPROVAL ASSESSMENT OF MONONUCLEAR
PHAGOCYTES, cDCs, AND
PLASMACYTOID DENDRITIC CELL
PHENOTYPE AND FUNCTION A total of 1 × 106 PBMCs/well were seeded in 96-
well flat-bottom plates in cRPMI with GS-9688 or
≤0.1% DMSO vehicle control at 37°C. After 2 hours,
cells were treated with 50% vol/vol BDGolgiPlug
(BD Biosciences) diluted in 1 × PBS and incubated
at 37°C for 6 hours. Cells were then harvested and
stained for flow cytometric analysis. AMIN ET AL. AMIN ET AL. Gilead Sciences Inc.) with GS-9688 or ≤0.1% DMSO
vehicle control from 0 days. Cells were maintained in
20 IU/mL recombinant human (rh)-IL-2 (Peprotech,
London, United Kingdom) and continually supple-
mented throughout the expansion period. Cells were
restimulated with HBV-OLP for the final 16 hours in
the presence of 1 µg/mL Brefeldin-A (Sigma-Aldrich)
and Monensin (GolgiStop; BD Biosciences, San
Jose, CA) at 37°C, before analysis by flow cytometry
(described subsequently). Where appropriate, replicate
wells were pooled before restimulation. Alternatively,
HBV-specific CD8+ T cells were expanded using
0.1 µg/mL ProMix HBV-OLP, 15-mer peptide
pool of nine human leukocyte antigen (HLA)-A2/
A11/A24-restricted peptides (ProImmune, Oxford,
United Kingdom), or 1 µM HBV-derived HLA-A2-
restricted peptides (core FLPSDFFPSV; envelope
FLLTRILTI, WLSLLVPFV, LLVPFVQWFV, and
GLSPTVWLSV; polymerase GLSRYVARL and
KLHLYSHPI [ProImmune]). HBV-specific CD8+
T cells were detected using HLA-specific multimers,
pooled as appropriate for each patient HLA and mul-
timer type. Briefly, after expansion, cells were resus-
pended in multimer wash buffer (1 × PBS with 2%
human AB serum; Life Technologies), containing a
pool of HLA-restricted multimers (Supporting Table
S2). Cells were stained with multimers for 15 minutes,
at 37°C, before monoclonal antibody (mAb) staining
for flow cytometric analysis. were acquired on a LSRFortessaX20, and data ana-
lyzed using FlowJo (v.10.4.1; BD Biosciences). Single
stain controls and anti-mouse immunoglobulin G
(IgG) CompBeads (BD Biosciences) were used where
appropriate. ASSESSMENT OF MAIT AND
NK CELL PHENOTYPE AND
FUNCTION A total of 0.5-1 × 106 PBMCs/well were seeded
in 96-well round-bottom plates in cRPMI with GS-
9688 or ≤0.1% DMSO vehicle control at 37°C. After
18 hours, cells were resuspended in fresh cRPMI sup-
plemented with 5 μg/mL Brefeldin-A and 5 μg/mL
BDGolgiStop and incubated for a further 5 hours. Cells were then harvested, stained with a panel of
mAbs (Supporting Table S3), and analyzed by flow
cytometry. For cytokine blocking, cells were treated
with 10 µg/mL neutralizing antibodies against IL-
12p70 (clone:24910; R&D Systems, Inc., Minneapolis,
MN), IL-18 (clone 125-2H; MBL USA Corp.,
Ottawa, IL), or isotype control IgG1 (clone 11711;
R&D Systems, Inc.). MULTIPARAMETRIC FLOW
CYTOMETRY For all flow cytometric analysis, cells were washed
before staining in 1 × PBS. Cells were first stained
with a fixable cell viability dye then stained with
mAbs (Supporting Table S3) in brilliant violet buf-
fer (BD Biosciences) for 30 minutes. Once stained,
cells were washed and fixed with BDCytofix (BD
Biosciences) for 20 minutes at 4°C. For intracel-
lular antigens, cells were fixed and permeabilized
using BDCytofix/Cytoperm and further stained with
mAbs against intracellular antigens in 0.1% wt/vol
Saponin (Sigma-Aldrich). For intranuclear antigens,
cells were fixed and permeabilized using the human
forkhead box P3 (FOXP3) buffer (BD Biosciences),
and further stained with mAbs targeting intranuclear
antigens in 1 × PBS for 30 minutes at 4°C. Samples IN VITRO EXPANSION AND
DETECTION OF HBV-SPECIFIC
T CELLS Approximately 0.5-1 ×106 PBMCs/well were
seeded in 96-well round-bottom plates in cRPMI for
7-14 days, at 37°C. Cells were stimulated with 1 µg/mL
pan-genotypic overlapping 15-mer peptides spanning
the HBcAg overlapping peptide (OLP) (provided by 57 Hepatology, July 2021 Hepatology, July 2021 IN VITRO STIMULATION OF
HUMAN PBMC FROM HEALTHY
CONTROLS AND PATIENTS WITH
CHB WITH GS-9688 PRODUCES
IMMUNOMODULATORY
MEDIATORS A total of 0.5-1 × 106 PBMCs/well were seeded in
96-well round-bottom plates in cRPMI and stimulated
with GS-9688 or ≤0.1% DMSO vehicle control at 37°C
for 7 days. Cells were maintained in 500 IU/mL rhIL-
2, continually supplemented throughout. After 7 days,
cells were harvested and analyzed by flow cytometry. To investigate the therapeutic potential of the TLR8
agonist GS-9688, we first assessed its in vitro activity
and potency using human PBMCs isolated from 10
healthy controls. PBMCs were stimulated with GS-
9688, and cell culture supernatants were evaluated by
Luminex array (Fig. 1A). Among the cytokines tested,
GS-9688 induced the immunomodulatory cytokine
IL-12p40, in addition to the antiviral cytokines IL-
6, TNF-α, and interferon-g (IFN-γ) (Fig. 1B and
Supporting Fig. S1A). GS-9688-dependent cytokine
induction occurred in a dose-dependent manner, with
a mean MEC and EC50 of 29/217 nM, 54/326 nM,
and 55/267 nM for IL-12p40, TNF-α and IFN-
γ, respectively (Fig. 1C and Supporting Fig. S1A). Additionally, GS-9688 induced the production of the
pro-inflammatory cytokines IL-1α, IL-1β, and the
anti-inflammatory mediator IL-1RA (Fig. 1B,C and
Supporting Fig. S1A). Conversely, GS-9688 induced
little to no IFN-α, a prototypical cytokine predomi-
nantly produced following engagement of TLR7,(19,20)
consistent with its selectivity for human TLR8(17)
(Fig. 1B,C and Supporting Fig. S1A). Importantly,
there was no significant difference in response in
PBMCs from 10 age-matched patients with CHB,
with comparable MEC, EC50, and Emax for all cyto-
kines tested (Fig. 1C and Supporting Fig. S1A). HepG2 LYSIS ASSAY NK cell cytolytic activity was assessed using a
fluorescence-based killing assay (DELFIA ETDA
Cytotoxicity Assay; PerkinElmer, Waltham, MA). PBMCs were treated with GS-9688 or ≤0.1%
DMSO vehicle control at 37°C. After 16 hours, NK
cells were isolated by negative selection (StemCell
Technologies, Kent, WA). HepG2 cells (HCC cell 58 Hepatology, Vol. 74, No. 1, 2021 AMIN ET AL. AMIN ET AL. Pipeline Pilot v.9.2 (BIOVIA, San Diego, CA). All
statistical analyses were performed in Prism (v.7.0e;
GraphPad Software, San Diego, CA); tests used are
indicated in figure legends (Wilcoxon signed-rank
t test; Kruskal-Wallis test; Friedman test [ANOVA]
with Dunn’s post hoc test; and ANOVA with Sidak’s
post hoc test). All tests were carried out as two-tailed
tests. Significant differences are denoted in all figures
and defined as *P < 0.05, **P < 0.01, ***P < 0.001, and
****P < 0.0001. line [HB-8065]; ATCC, Manassas, VA) were loaded
with the intracellular-specific fluorescence-enhancing
ligand BATDA and incubated for 30 minutes. HepG2
were co-cultured with pretreated, purified NK cells at
a 1:10 target-to-effector ratio in V-bottomed plates
and incubated for a further 2 hours. Culture superna-
tants were then harvested and extracellular release of
BATDA was assessed by fluorescence activity using
Europium solution, measured by a time-resolved fluo-
rometer (VICTOR, PerkinElmer). ASSESSMENT OF MDSC
FREQUENCY, PHENOTYPE, AND
FUNCTION A total of 1 × 106 freshly isolated PBMCs were
stained to determine ex vivo frequencies of MDSC
subsets by flow cytometry. To determine the effect of
GS-9688 on MDSC frequencies in the short term,
1-2 × 106 PBMCs/well were seeded in 48-well plates
in cRPMI and cultured for 24 hours with GS-9688
or ≤0.1% DMSO vehicle control at 37°C. Following
incubation, cells were harvested for analysis by flow
cytometry. Culture supernatants were stored at −80°
for analysis of extracellular arginase-I by ELISA
(Hycult Biotech, Uden, the Netherlands). STATISTICAL ANALYSIS The Emax defines the maximum cytokine level
induced by GS-9688. The minimal effective concen-
tration (MEC) defines the concentration of GS-9688
corresponding to three-fold induction of cytokine
above background (DMSO control). EC50 defines the
concentration of GS-9688 giving 50% of the maximal
response. MEC and EC50 were calculated using the 59 Hepatology, July 2021 AMIN ET AL. FIG. 1. In vitro stimulation with GS-9688 induces secretion of immunomodulatory cytokines by cDCs and MNPs. (A) Experimental
design: evaluation of GS-9688-induced soluble mediators by multiplex array. (B) Concentration of cytokines from PBMC culture
supernatants of healthy controls stimulated for 24 hours with 0.156 µM GS-9688 or vehicle control (DMSO). Bars represents mean
SEM
l
d
b
l
d f ll d
l
f
d ff
b
A
C
D
E
B A
B B A FIG. 1. In vitro stimulation with GS-9688 induces secretion of immunomodulatory cytokines by cDCs and MNPs. (A) Experimental
design: evaluation of GS-9688-induced soluble mediators by multiplex array. (B) Concentration of cytokines from PBMC culture
supernatants of healthy controls stimulated for 24 hours with 0.156 µM GS-9688 or vehicle control (DMSO). Bars represents mean
± SEM; circle radius represents absolute expression; and filled-in circles represent a significant difference between treatment groups
(n = 10; Mann-Whitney U test). (C) Levels of IL-12p40/IL-18/IL-6/TNF-α/IFN-γ/IFN-α following GS-9688 treatment, serial-diluted
from 10 µM, from PBMCs isolated from healthy controls (n = 10) and patients with CHB (n = 10). Data indicate the mean ± SEM. Representative flow cytometric plots (left) and percentage of IL-12p40+ cells (D) and TNFα+ cells (E) by circulating MNPs (Lin1+CD14+),
cDCs (Lin1−HLA-DR+CD123−CD11c+), and pDCs (Lin1−HLA-DR+CD123+CD11c−) from GS-9688 treated healthy control PBMC
(n = 6). Data represent the mean ± SEM. Abbreviations: GM-CSF, granulocyte-macrophage colony-stimulating factor; SSC-A, side
scatter–area. C
D
E C C C D D E E FIG. 1. In vitro stimulation with GS-9688 induces secretion of immunomodulatory cytokines by cDCs and MNPs. (A) Experimental
design: evaluation of GS-9688-induced soluble mediators by multiplex array. (B) Concentration of cytokines from PBMC culture
supernatants of healthy controls stimulated for 24 hours with 0.156 µM GS-9688 or vehicle control (DMSO). Bars represents mean
± SEM; circle radius represents absolute expression; and filled-in circles represent a significant difference between treatment groups
(n = 10; Mann-Whitney U test). STATISTICAL ANALYSIS (C) Levels of IL-12p40/IL-18/IL-6/TNF-α/IFN-γ/IFN-α following GS-9688 treatment, serial-diluted
from 10 µM, from PBMCs isolated from healthy controls (n = 10) and patients with CHB (n = 10). Data indicate the mean ± SEM. Representative flow cytometric plots (left) and percentage of IL-12p40+ cells (D) and TNFα+ cells (E) by circulating MNPs (Lin1+CD14+),
cDCs (Lin1−HLA-DR+CD123−CD11c+), and pDCs (Lin1−HLA-DR+CD123+CD11c−) from GS-9688 treated healthy control PBMC
(n = 6). Data represent the mean ± SEM. Abbreviations: GM-CSF, granulocyte-macrophage colony-stimulating factor; SSC-A, side
scatter–area. 60 Hepatology, Vol. 74, No. 1, 2021 AMIN ET AL. GS-9688 ACTIVATES cDCs AND
MONONUCLEAR PHAGOCYTES TO
PRODUCE IL-12p40 AND TNF-α producing the antiviral cytokine IFN-γ in response to
HBcAg (Fig. 2A,B). A similar proportion of patients
showed no increase in the number of IFN-γ+ HBV-
specific CD8+ T cells following stimulation with GS-
9688 (Fig. 2B). Interestingly, de novo IFN-γ responses
induced by GS-9688 were detected in 3 patients
who lacked a detectable HBV-specific response to
HBV-core OLP stimulation alone. Similarly, when
using a panel of HLA-restricted peptide multimers
(Supporting Table S2) to detect HBV-specific CD8+
T cells after peptide expansion, the response to GS-
9688 was heterogenous. Here, 9 of 23 patients showed
a substantial increase in the proportion of detectable
HBV-specific CD8+ T cells (Fig. 2C). Notably, the
mean fluorescence intensity (MFI) of IFN-γ from
the HBV-specific IFN-γ+ CD8+ T-cell pool showed
a modest increase, suggesting a greater production of
this antiviral cytokine per cell in response to HBV-
core OLP in the presence of GS-9688 (Fig. 2D). Furthermore, when assessing the frequency of poly-
functional CD8+ T cells, we observed an increase
in the proportion of CD8+ T cells producing both
IFN-γ and TNF-α in 10 patients (36%; Fig. 2E). In
contrast, the percentage of CD8+ T cells degranulat-
ing in response to HBV-core OLP only increased in
3 (16%) patients following treatment with GS-9688
(Supporting Fig. S2B). Taken together, these data
support the potential of GS-9688 to enhance the
noncytolytic effector function of pre-existing endog-
enous HBV-specific CD8+ T cells, and to increase the
frequency of antiviral T cells in a subset of patients. To investigate the cellular source of relevant
immunomodulatory cytokines, we examined the
effect of GS-9688 on circulating myeloid cells. Human TLR8 is expressed primarily by cDCs and
mononuclear phagocytes (MNPs), but is absent
on
plasmacytoid
dendritic
cells
(pDCs).(14-16)
Short-term stimulation of PBMCs with GS-9688
increased production of IL-12p40 by Lin1−HLA-
DR+CD123−CD11c+ cDCs, in a dose-dependent
manner (Fig. 1D). Likewise, TNF-α was produced
by cDCs and Lin1+CD14+ MNPs in response to
GS-9688 (Fig. 1E). The cDCs, pDCs, and MNPs
produced minimal IFN-α when treated with GS-
9688, consistent with selective activation of TLR8
by GS-9688 (Supporting Fig. S1B). The activation
and induction of immunomodulatory cytokines was
supported by augmented expression of the activation
marker CD40 on both cDCs and MNPs (Supporting
Fig. S1C). Collectively, these data demonstrate that
GS-9688 activates cDCs and MNPs and is a potent
inducer of the immunomodulatory cytokines IL-12
and TNF-α in vitro. FREQUENCIES OF FUNCTIONAL
HBV-SPECIFIC CD8+ T CELLS
INCREASE IN A SUBSET OF
PATIENTS WITH CHB AFTER
IN VITRO STIMULATION WITH
GS-9688 (C) Representative flow cytometric plots (left) and percentage
of HBV-specific CD8+ T cells identified by staining with a panel of immunodominant HBV-specific HLA-restricted multimers (see
Supporting Table S2) after in vitro expansion with a pool of HBV-derived HLA-restricted peptides ± 0.156 µM GS-9688 or DMSO
(n = 23; Wilcoxon Signed-rank t test). (D) MFI of IFN-γ produced in response to HBV-core OLP (n = 21). (E) Percentage of CD8+ T
cells co-producing IFN-γ and TNF-α in response to HBV-core OLP (n = 28). (F) Stratification of patient non-responders and responders
(defined as a ≥1.2-fold increase in percentage of IFN-γ+ HBV-specific CD8+ T cells in response to HBV-core OLP in the presence of
0.1 µM GS-9688) by baseline HBsAg titer (n = 23). Clinical characteristics of all patients with CHB are detailed in Supporting Table S1. Error bars represent the mean ± SEM. **P < 0.01. C
E
F
D C
D C D C C E
F E F F FIG. 2. GS-9688 increases HBV-specific CD8+ T-cell frequency and function in a subset of patients with CHB. HBV-specific CD8+
T cells were expanded from PBMCs by stimulation with pan-genotypic, overlapping peptides spanning the HBV-core protein (OLP) in
the presence of 0.1 µM GS-9688 or vehicle control (DMSO). Representative flow cytometric plots of a “responder” and “non-responder”
to GS-9688 treatment (A) and percentage of IFN-γ-producing HBV-specific CD8+ T cells for individual patients (B). The percentage
of IFN-γ produced by DMSO-treated CD8+ T cells was subtracted to determine HBV-specific cytokine production (n = 28). Heat map
denotes fold change in percentage of IFN-γ production with GS-9688. (C) Representative flow cytometric plots (left) and percentage
of HBV-specific CD8+ T cells identified by staining with a panel of immunodominant HBV-specific HLA-restricted multimers (see
Supporting Table S2) after in vitro expansion with a pool of HBV-derived HLA-restricted peptides ± 0.156 µM GS-9688 or DMSO
(n = 23; Wilcoxon Signed-rank t test). (D) MFI of IFN-γ produced in response to HBV-core OLP (n = 21). (E) Percentage of CD8+ T
cells co-producing IFN-γ and TNF-α in response to HBV-core OLP (n = 28). (F) Stratification of patient non-responders and responders
(defined as a ≥1.2-fold increase in percentage of IFN-γ+ HBV-specific CD8+ T cells in response to HBV-core OLP in the presence of
0.1 µM GS-9688) by baseline HBsAg titer (n = 23). Clinical characteristics of all patients with CHB are detailed in Supporting Table S1. FREQUENCIES OF FUNCTIONAL
HBV-SPECIFIC CD8+ T CELLS
INCREASE IN A SUBSET OF
PATIENTS WITH CHB AFTER
IN VITRO STIMULATION WITH
GS-9688 Finally, we explored whether the heterogeneity in
the magnitude of the HBV-specific T-cell response
to GS-9688 was associated with any clinical param-
eters in our cohort. In doing so, we noted that a
baseline HBsAg titer less than 2,000 IU/mL was
associated with an increase in the proportion of IFN-
γ-producing HBV-specific T cells in the presence of
GS-9688 (Fig. 2F). In contrast, most patients denoted
“non-responders” (who did not have an increase in
the frequency of IFN-γ+ HBV-specific CD8+ T cells
with GS-9688) had a baseline HBsAg titer greater
than 2,000 IU/mL (Fig. 2F). No clear association in
responsiveness was seen with serum ALT levels or
HBV viral load (Supporting Fig. S2C). CD8+ T cells are critical for the control of HBV
infection, mediated in part through their capacity for
noncytolytic inhibition of HBV replication by the
secretion of antiviral cytokines.(21-23) It is increasingly
recognized that local cytokine environments can shape
adaptive immune responses. Therefore, we tested the
capacity of the cytokines induced by GS-9688 to
indirectly modulate the frequency of functional HBV-
specific CD8+ T cells in response to HBV-OLP using
PBMCs isolated from patients with CHB (clinical
parameters at the time of sampling in Supporting
Table S1 and gating strategy in Supporting Fig. S2A). In 13 of 28 patients examined, treatment with
GS-9688 increased the frequency of CD8+ T cells 61 Hepatology, July 2021
AMIN ET AL. A
C
E
F
D
B Hepatology, July 2021 AMIN ET AL. B A B A C
E
F
D FIG. 2. GS-9688 increases HBV-specific CD8+ T-cell frequency and function in a subset of patients with CHB. HBV-specific CD8+
T cells were expanded from PBMCs by stimulation with pan-genotypic, overlapping peptides spanning the HBV-core protein (OLP) in
the presence of 0.1 µM GS-9688 or vehicle control (DMSO). Representative flow cytometric plots of a “responder” and “non-responder”
to GS-9688 treatment (A) and percentage of IFN-γ-producing HBV-specific CD8+ T cells for individual patients (B). The percentage
of IFN-γ produced by DMSO-treated CD8+ T cells was subtracted to determine HBV-specific cytokine production (n = 28). Heat map
denotes fold change in percentage of IFN-γ production with GS-9688. TREATMENT OF PBMCs WITH
GS-9688 POTENTIATES THE
ACTIVATION AND FUNCTION OF
ANTIVIRAL EFFECTORS eliminate infected hepatocytes.(25) In line with this,
GS-9688 enhanced the cytolytic capacity of NK cells,
as indicated by increased expression of perforin and
granzyme B (Fig. 3C) and the propensity for degran-
ulation, as denoted by CD107a mobilization (Fig. 3D). Moreover, GS-9688-treated, purified NK cells
also increased lysis of the HepG2 hepatoma cell line
(Fig. 3E). Collectively, these data demonstrate that
GS-9688 enhances both the noncytolytic and cyto-
lytic effector functions of NK cells in vitro. Innate effector cells such as NK cells play a dual
role in the setting of viral infection. Although these
immune mediators can exert antiviral activity by direct
or indirect effects (e.g., through modulation of T-cell
responses), emerging data underscore mechanisms by
which they limit antiviral responses through the inhi-
bition or killing of antigen-specific T cells. In CHB,
NK cells can also become defective in their capacity to
produce IFN-γ and TNF-α, resulting in an inability
to effectively exert noncytolytic activity in the HBV-
infected liver.(24,25) Although a role for MAITs (non-classical T cells
characterized by expression of the invariant chain
Vα7.2) in CHB remains unclear, they are highly
enriched in the liver and are potent producers of
IFN-γ in response to TLR8 agonism.(28) GS-9688
activated MAITs in PBMCs, increasing the expres-
sion of IFN-γ and granzyme B (Supporting Fig. S4A-C). Analogous to NK cells, this increase in the
noncytolytic and cytolytic potential of MAITs by GS-
9688 was IL-12/IL-18-dependent in 2 healthy con-
trols (Supporting Fig. S4B,C). To address the functional impact of GS-9688 on
NK cells in vitro, we determined the activation status
of the global NK cell population in response to GS-
9688 treatment of PBMCs from healthy controls and
patients with CHB. GS-9688 activated NK cells in a
dose-dependent manner, increasing the expression of
the activation markers CD69, HLA-DR, and CD38
(gating strategy; Supporting Fig. S3A and Fig. 3A). Activation was evident on both the immature cyto-
kine producing CD56bright population, which has
been described to be preferentially enriched in the
liver,(26) and the cytotoxic, more mature CD56dim
subset (Supporting Fig. S3B,C). In line with their
activation, treatment with GS-9688 augmented the
noncytolytic effector function of NK cells, confirmed
by an increased production of TNF-α and IFN-γ
(Fig. 3B). As expected, the increase in cytokine pro-
duction driven by GS-9688 was largely attributable
to the CD56bright population (Supporting Fig. S3D). FREQUENCIES OF FUNCTIONAL
HBV-SPECIFIC CD8+ T CELLS
INCREASE IN A SUBSET OF
PATIENTS WITH CHB AFTER
IN VITRO STIMULATION WITH
GS-9688 Error bars represent the mean ± SEM. **P < 0.01. 62 AMIN ET AL. AMIN ET AL. Hepatology, Vol. 74, No. 1, 2021 TREATMENT OF PBMCs WITH
GS-9688 POTENTIATES THE
ACTIVATION AND FUNCTION OF
ANTIVIRAL EFFECTORS NK cells do not express TLR8 but can be activated
by TLR8 agonists through the production of IL-12
and IL-18.(27) Consistent with these data, neutraliza-
tion of IL-12/IL-18 abrogated the IFN-γ produc-
tion seen in response to GS-9688 treatment in the 6
individuals tested, at all concentrations of GS-9688
(Fig. 3B). This finding supports a role for GS-9688-
induced cytokines in promoting NK-cell antiviral
function. In CHB, NK cells can also mediate negative reg-
ulatory effects by up-regulating death ligands such
as TRAIL to kill HBV-specific T cells selectively
expressing TRAIL-R2.(7,8) Furthermore, TRAIL-
expressing NK cells have the potential to directly kill
hepatocytes.(7) GS-9688 treatment induced a signif-
icant increase in TRAIL-expressing NK cells (Fig. 3F), which was most evident on the CD56bright subset
(Fig. 3F and Supporting Fig. S3E). Together, these data demonstrate that GS-9688
can enhance the cytolytic and noncytolytic activity of
multiple innate effectors in vitro. IN VITRO GS-9688 REDUCES
THE FREQUENCY OF TREG AND
INCREASES THE FREQUENCY
OF CIRCULATING FOLLICULAR
HELPER CD4+ T CELLS PBMCs from healthy controls (HC) or patients with CHB were treated in vitro with GS-9688 (dose
range or single dose) or vehicle control (DMSO) for 24 hours. (A) Representative flow cytometric plots, percentages of CD69 and HLA-
DR, and MFI of CD38 expression (CHB; all n = 20; Friedman test [ANOVA] with a Dunn’s multiple comparisons test). (B) Percentage
of TNF-α+ (0.156 µM; HC; n = 8) and IFN-γ+ (0.156 µM; HC; n = 14; Wilcoxon signed-rank t test) ± neutralization of IL-12/IL-18 or
isotype control (0.156 µM; HC; n = 6; Wilcoxon signed-rank t test). (C) Percentage of perforin+ (0.156 µM; HC; n = 14) and granzyme
B (0.156 µM; HC; n = 8; Wilcoxon signed-rank t test). (D) Percentage of CD107a+ (0.156 µM; HC; n = 22; Wilcoxon signed-rank t test)
on global CD3−CD56+ NK cells. (E) Schematic of experimental setup and percentage of cell lysis of HepG2 hepatoma cell line (target
cell) following co-culture with purified NK cells pretreated with DMSO or GS-9688 (0.2 µM; HC; n = 6; Wilcoxon signed-rank t test). (F) Representative flow cytometric plots (left) and percentage of TRAIL expression on global CD3−CD56+ NK cells and CD56bright NK
cells (0.1 µM; CHB; n = 20; Wilcoxon signed-rank t test). Error bars represent the mean ± SEM. **P < 0.01; ***P < 0.001; ****P < 0.0001. D
E
F E E D E D F F FIG. 3. In vitro stimulation with GS-9688 increases the cytolytic and noncytolytic potential of NK cells, while increasing TRAIL
expression on the CD56bright subset. PBMCs from healthy controls (HC) or patients with CHB were treated in vitro with GS-9688 (dose
range or single dose) or vehicle control (DMSO) for 24 hours. (A) Representative flow cytometric plots, percentages of CD69 and HLA-
DR, and MFI of CD38 expression (CHB; all n = 20; Friedman test [ANOVA] with a Dunn’s multiple comparisons test). (B) Percentage
of TNF-α+ (0.156 µM; HC; n = 8) and IFN-γ+ (0.156 µM; HC; n = 14; Wilcoxon signed-rank t test) ± neutralization of IL-12/IL-18 or
isotype control (0.156 µM; HC; n = 6; Wilcoxon signed-rank t test). (C) Percentage of perforin+ (0.156 µM; HC; n = 14) and granzyme
B (0.156 µM; HC; n = 8; Wilcoxon signed-rank t test). (D) Percentage of CD107a+ (0.156 µM; HC; n = 22; Wilcoxon signed-rank t test)
on global CD3−CD56+ NK cells. IN VITRO GS-9688 REDUCES
THE FREQUENCY OF TREG AND
INCREASES THE FREQUENCY
OF CIRCULATING FOLLICULAR
HELPER CD4+ T CELLS Follicular helper CD4+ T cells (TFH) play a key
role in promoting adaptive immunity through
the generation of long-lived plasma cells.(29,30) In
contrast, CD4+ TREG cells are potent immuno-
suppressors able to down-regulate adaptive immu-
nity, with previous studies reporting increases in
the proportion of circulating and liver-resident
TREG in patients, that actively inhibit the antiviral Although IFN-γ production by NK cells can pro-
mote antiviral T-cell responses and inhibit viral rep-
lication in hepatocytes, additional anti-HBV activity
of NK cells is attributable to their ability to directly 63 AMIN ET AL. Hepatology, July 2021 FIG. 3. In vitro stimulation with GS-9688 increases the cytolytic and noncytolytic potential of NK cells, while increasing TRAIL
expression on the CD56bright subset. PBMCs from healthy controls (HC) or patients with CHB were treated in vitro with GS-9688 (dose
range or single dose) or vehicle control (DMSO) for 24 hours. (A) Representative flow cytometric plots, percentages of CD69 and HLA-
DR, and MFI of CD38 expression (CHB; all n = 20; Friedman test [ANOVA] with a Dunn’s multiple comparisons test). (B) Percentage
of TNF-α+ (0.156 µM; HC; n = 8) and IFN-γ+ (0.156 µM; HC; n = 14; Wilcoxon signed-rank t test) ± neutralization of IL-12/IL-18 or
isotype control (0.156 µM; HC; n = 6; Wilcoxon signed-rank t test). (C) Percentage of perforin+ (0.156 µM; HC; n = 14) and granzyme
B (0.156 µM; HC; n = 8; Wilcoxon signed-rank t test). (D) Percentage of CD107a+ (0.156 µM; HC; n = 22; Wilcoxon signed-rank t test)
on global CD3−CD56+ NK cells. (E) Schematic of experimental setup and percentage of cell lysis of HepG2 hepatoma cell line (target
cell) following co-culture with purified NK cells pretreated with DMSO or GS-9688 (0.2 µM; HC; n = 6; Wilcoxon signed-rank t test). (F) Representative flow cytometric plots (left) and percentage of TRAIL expression on global CD3−CD56+ NK cells and CD56bright NK
cells (0.1 µM; CHB; n = 20; Wilcoxon signed-rank t test). Error bars represent the mean ± SEM. **P < 0.01; ***P < 0.001; ****P < 0.0001. A
B
D
E
C
F A A B
C B C C C B FIG. 3. In vitro stimulation with GS-9688 increases the cytolytic and noncytolytic potential of NK cells, while increasing TRAIL
expression on the CD56bright subset. IN VITRO GS-9688 REDUCES
THE FREQUENCY OF TREG AND
INCREASES THE FREQUENCY
OF CIRCULATING FOLLICULAR
HELPER CD4+ T CELLS 5A and Supporting Fig. S6C). Although we
noted a marked reduction in M-MDSCs, this coin-
cided with a relative increase in the proportion of
immature myeloid cells with a PMN-MDSC phe-
notype (Supporting Fig. S6C), the absolute fre-
quency of PMN-MDSCs remained unchanged
when evaluated as a percentage of total leukocytes
(Fig. 5A). pp
g
g
Although the overall proportion of CD4+ T
cells remained unchanged (Supporting Fig. S5B),
there was an increase in the frequency of cTFH in
response to GS-9688 at all doses tested (Fig. 4A). Furthermore, GS-9688 altered the phenotype of
cTFH by increasing the expression of inducible T-cell
co-stimulator (ICOS), a marker for TFH differentia-
tion and function(33) (Fig. 4B). Conversely, treatment
with GS-9688 induced a dose-dependent decrease in
the frequency of circulating TREG (Fig. 4C). Despite
reducing the frequency of TREG, GS-9688 had little
impact on the immunosuppressive potential of the
remaining TREG population on the basis of unal-
tered expression of the negative regulator, cytotoxic
T-lymphocyte-associated protein 4 (CTLA4; Fig. 4D) and CD39, the rate-limiting enzyme in the
generation of immunosuppressive adenosine (Fig. 4E). Although the potential for suppression by the
remaining TREG population was unaffected by GS-
9688, the ability of GS-9688 to decrease the fre-
quency of TREG suggests that it may act to reduce
the overall capacity of TREG to limit HBV-specific
T-cell responses in vivo. GS-9688 induced MDSC activation, as determined
by increased expression of CD80 (Fig. 5B) and altered
the immunosuppressive potential of both subsets in
vitro. Short-term GS-9688 exposure decreased expres-
sion of intracellular arginase-I in PMN-MDSCs, while
simultaneously increasing its expression in M-MDSCs,
albeit to a much lower level than the PMN-MDSCs
(Fig. 5C). Expression of CD63, a measure of azuro-
philic granule mobilization to the cell surface,
remained unchanged on PMN-MDSCs but dramat-
ically increased on M-MDSCs (Fig. 5D). These data
are suggestive of active degranulation of MDSC in
vitro triggered by GS-9688, supported by an increased
release of extracellular arginase-I into the culture
media (Fig. 5E). In addition, we observed an increase
in expression of the negative regulators galectin-9 (on IN VITRO GS-9688 REDUCES
THE FREQUENCY OF TREG AND
INCREASES THE FREQUENCY
OF CIRCULATING FOLLICULAR
HELPER CD4+ T CELLS (E) Schematic of experimental setup and percentage of cell lysis of HepG2 hepatoma cell line (target
cell) following co-culture with purified NK cells pretreated with DMSO or GS-9688 (0.2 µM; HC; n = 6; Wilcoxon signed-rank t test). (F) Representative flow cytometric plots (left) and percentage of TRAIL expression on global CD3−CD56+ NK cells and CD56bright NK
cells (0.1 µM; CHB; n = 20; Wilcoxon signed-rank t test). Error bars represent the mean ± SEM. **P < 0.01; ***P < 0.001; ****P < 0.0001. 64 Hepatology, Vol. 74, No. 1, 2021 AMIN ET AL. response and contributes to chronicity in CHB.(31)
Importantly, recent studies have highlighted the
capacity of TLR8 agonists to both reduce the sup-
pressive capacity of TREG in a model of antitumor
immunity(15) and enhance TFH differentiation.(32)
Thus, GS-9688 was examined for its effect on the
frequency and phenotype of circulating TFH (cTFH)
and TREG cells by quantifying their proportions in
PBMCs isolated from patients with CHB or healthy
controls
(TREG:
CD4+CD25hiCD127loFOXP3+;
cTFH: CD4+CXCR5+PD-1+; gating strategy found in
Supporting Fig. S5A) after in vitro culture. and monocytic MDSCs (M-MDSCs).(34) Arginase-I
expressing PMN-MDSCs accumulate in patients
with CHB, where they limit the proliferation and
function of bystander and HBV-specific T cells.(9)
Different TLR8 agonists were recently shown to
reduce M-MDSC frequencies in vitro by selectively
inducing their apoptosis and limiting their immuno-
suppressive activity.(35,36) Consequently, we assessed
the capacity of GS-9688 to modulate the frequency
and functionality of MDSC. and monocytic MDSCs (M-MDSCs).(34) Arginase-I
expressing PMN-MDSCs accumulate in patients
with CHB, where they limit the proliferation and
function of bystander and HBV-specific T cells.(9)
Different TLR8 agonists were recently shown to
reduce M-MDSC frequencies in vitro by selectively
inducing their apoptosis and limiting their immuno-
suppressive activity.(35,36) Consequently, we assessed
the capacity of GS-9688 to modulate the frequency
and functionality of MDSC. y
First, we assessed the effect of GS-9688 on the
frequency of MDSC subsets in patients with CHB,
defining PMN-MDSCs as CD11b+CD33+HLA-
DRloCD14−CD15+
and
M-MDSCs
as
CD11b+CD33+HLA-DRloCD14+CD15−
(gating
strategy found in Supporting Fig. S6A). The ex vivo
frequency of each MDSC subset was quantified as
a percentage of the immature myeloid compartment
(CD11bhiCD33+), revealing that M-MDSCs are the
predominant subset, accounting for approximately
45% of immature myeloid precursors (Supporting
Fig. S6B). In line with previous reports with other
TLR8 agonists, short-term culture with GS-9688
led to a reduction in the frequency of M-MDSCs
(Fig. GS-9688 SIGNIFICANTLY
DECREASES MONOCYTIC
MDSC FREQUENCIES, WHILE
TRIGGERING A RELEASE OF
ARGINASE-I FROM PMN-MDSCs MDSCs are immature myeloid progenitors that
exert potent immune regulation through the manipula-
tion of nutrient availability and expression of inhibitory
ligands like programmed death-ligand 1 (PD-L1).(34)
The MDSC compartment consists of two popula-
tions, polymorphonuclear MDSCs (PMN-MDSCs) 65 AMIN ET AL. Hepatology, July 2021 oth subsets of MDSCs) and PD-L1 (on the remain-
M MDSC )
h h
ld
bl
l
mucin domain containing-3 (Tim-3)-expressing or
d
ll d
h
1 (PD 1)
IG. 4. GS-9688 increases the frequency of cTFH and decreases the frequency of TREG. (A) Representative flow cytometric plots (left
nd percentage of cTFH (CD4+CXCR5+PD-1+; healthy controls (HC); n = 12) as a proportion of global CD3+CD8−CD4+ T cells afte
days of in vitro stimulation with GS-9688 (dose range). Representative flow cytometric plots and summary data depicting ICOS
xpression (MFI; n = 12) (B) and percentage of CD4+ TREG (CD4+CD127loCD25hiFOXP3+; CHB/HC; n = 37) as a proportion of globa
D3+CD8−CD4+ T cells after in vitro stimulation with GS-9688 (dose range) (C). Representative flow cytometric plots and summary
ata depicting CTLA-4 (percentage and MFI; n = 8/14) (D) and CD39 (percentage and MFI; n = 8/14) (E). Data represent the mean ±
EM. *P < 0.5. Freidman test (ANOVA) with a Dunn’s post hoc multiple comparisons test compared with DMSO control. Abbreviation
TLA-4, cytotoxic T-lymphocyte-associated protein 4. A
D
E
B
C C B
C A
B
C A B D D D E E E FIG. 4. GS-9688 increases the frequency of cTFH and decreases the frequency of TREG. (A) Representative flow cytometric plots (left)
and percentage of cTFH (CD4+CXCR5+PD-1+; healthy controls (HC); n = 12) as a proportion of global CD3+CD8−CD4+ T cells after
7 days of in vitro stimulation with GS-9688 (dose range). Representative flow cytometric plots and summary data depicting ICOS
expression (MFI; n = 12) (B) and percentage of CD4+ TREG (CD4+CD127loCD25hiFOXP3+; CHB/HC; n = 37) as a proportion of global
CD3+CD8−CD4+ T cells after in vitro stimulation with GS-9688 (dose range) (C). Representative flow cytometric plots and summary
data depicting CTLA-4 (percentage and MFI; n = 8/14) (D) and CD39 (percentage and MFI; n = 8/14) (E). Data represent the mean ±
SEM. *P < 0.5. Freidman test (ANOVA) with a Dunn’s post hoc multiple comparisons test compared with DMSO control. Abbreviation:
CTLA-4, cytotoxic T-lymphocyte-associated protein 4. mucin domain containing-3 (Tim-3)-expressing or
programmed cell death protein 1 (PD-1)-expressing
HBV-specific T cells(6,37) (Fig. 5F,G). GS-9688 SIGNIFICANTLY
DECREASES MONOCYTIC
MDSC FREQUENCIES, WHILE
TRIGGERING A RELEASE OF
ARGINASE-I FROM PMN-MDSCs both subsets of MDSCs) and PD-L1 (on the remain-
ing M-MDSCs), which could conceivably result in
enhanced suppression of T-cell immunoglobulin and both subsets of MDSCs) and PD-L1 (on the remain-
ing M-MDSCs), which could conceivably result in
enhanced suppression of T-cell immunoglobulin and 66 Hepatology, Vol. 74, No. 1, 2021
AMIN ET AL. Discussion
of dosing with GS-9688 is well tolerated and able to
(18)
FIG. 5. GS-9688 skews the balance of MDSC subsets and alters their immunosuppressive potential in patients with CHB. PBMCs
isolated from patients with CHB were stimulated with a single dose of 0.1 µM GS-9688 or vehicle control (DMSO) for 18 hours. (A)
Percentage of PMN-MDSCs (CD11b+CD33+HLA-DRloCD14−CD15+) and M-MDSCs (CD11b+CD33+HLA-DRloCD14+CD15−)
as a percentage of total live leukocytes (n = 26; Wilcoxon signed-rank t test). PMN-MDSC and M-MDSC expression of CD80 (MFI;
n = 11) (B), intracellular arginase-I (C), and CD63 (MFI; n = 10) (D) (all Wilcoxon signed-rank t tests). (E) Extracellular arginase-I
concentration released into cell culture supernatant measured by ELISA (n = 11). PMN-MDSC and M-MDSC expression of galectin-9
(MFI; n = 10) (F) and PD-L1 (MFI; n = 10) (G) (both Wilcoxon signed-rank t tests). Error bars represent the mean ± SEM. **P < 0.01;
***P < 0.001; ****P < 0.0001. A
B
C
D
E
F
G Hepatology, Vol. 74, No. 1, 2021 AMIN ET AL. AMIN ET AL. A
B A
B B A B E D
E D E E D C C D F G G G F F FIG. 5. GS-9688 skews the balance of MDSC subsets and alters their immunosuppressive potential in patients with CHB. PBMCs
isolated from patients with CHB were stimulated with a single dose of 0.1 µM GS-9688 or vehicle control (DMSO) for 18 hours. (A)
Percentage of PMN-MDSCs (CD11b+CD33+HLA-DRloCD14−CD15+) and M-MDSCs (CD11b+CD33+HLA-DRloCD14+CD15−)
as a percentage of total live leukocytes (n = 26; Wilcoxon signed-rank t test). PMN-MDSC and M-MDSC expression of CD80 (MFI;
n = 11) (B), intracellular arginase-I (C), and CD63 (MFI; n = 10) (D) (all Wilcoxon signed-rank t tests). (E) Extracellular arginase-I
concentration released into cell culture supernatant measured by ELISA (n = 11). PMN-MDSC and M-MDSC expression of galectin-9
(MFI; n = 10) (F) and PD-L1 (MFI; n = 10) (G) (both Wilcoxon signed-rank t tests). Error bars represent the mean ± SEM. **P < 0.01;
***P < 0.001; ****P < 0.0001. GS-9688 SIGNIFICANTLY
DECREASES MONOCYTIC
MDSC FREQUENCIES, WHILE
TRIGGERING A RELEASE OF
ARGINASE-I FROM PMN-MDSCs of dosing with GS-9688 is well tolerated and able to
induce a sustained antiviral response.(18) Here we eval-
uated the immunomodulatory effect of GS-9688 on
various immune cells in vitro using human PBMCs to
understand its therapeutic potential for CHB. AMIN ET AL. Initial experiments confirmed GS-9688 selectivity
for TLR8, revealing the potent induction of immu-
nomodulatory cytokines, such as IL-12, by cDCs and
MNPs, which was preserved in PBMCs from patients
with CHB. In interrogating the effects on correlates
of immune protection, we showed that GS-9688
enhanced the frequency of HBV-specific CD8+ T
cells in a subset of patients. In vitro treatment with
GS-9688 boosted the production of antiviral cyto-
kines, but not cytotoxicity, of HBV-specific CD8+
T cells. The potential for GS-9688 to enhance cel-
lular mediators with antiviral potential in CHB was
further evidenced by increased activation, improved
cytolytic and noncytolytic effector function of NK
cells, and MAITs. In the HBV-infected liver, where
NK cells are greatly enriched and where the virus-
specific T-cell response is limited, it is possible that
GS-9688-activated NK cells could perform a signifi-
cant antiviral role through secretion of cytokines, and
enhanced killing of infected hepatocytes. In line with
other TLR8 agonists, we confirmed that the increase
in antiviral activity by these effectors was driven by
induction of IL-12/IL-18. IL-12 has the potential
to reverse mitochondrial defects of exhausted HBV-
specific CD8+ T cells, allowing for more efficient bio-
energetics and enhanced antiviral functionality.(38-40)
Importantly, the therapeutic benefit of IL-12 has been
demonstrated in HBV transgenic mice, the wood-
chuck model of CHB, and in early clinical trials in
patients with CHB.(41-44) show increased expression of the death ligand TRAIL
on NK cells, particularly on the CD56bright subset
driven by GS-9688, which may further eliminate the
already depleted pool of HBV-specific T cells within
the infected liver.(8) Conversely, these TRAIL+NK
cells may act as antifibrotic mediators in CHB, killing
activated hepatic stellate cells in a TRAIL-dependent
manner or by producing hepatoprotective cytokines.(46) y p
g
p
p
y
A notable finding of this study was GS-9688 mod-
ulation of immunosuppressive cells. GS-9688 reduced
the frequency of TREG, potent immunosuppressors
implicated in CHB.(31) Intriguingly, the decline in
TREG numbers was associated with a corresponding
expansion and activation of cTFH. The observed GS-
9688-driven increase in ICOS expression on cTFH
is significant, as ICOS is critical for IL-21 produc-
tion and the subsequent delivery of improved T-cell
help.(47,48) Although not studied here, we hypothesize
that such an increase in cTFH and TFH-associated
cytokines will improve immune control in CHB by
modulating the frequency of memory B cells and the
production of affinity-matured class-switched anti-
bodies. Discussion GS-9688 is a potent TLR8 agonist in development
for the treatment of CHB. A recent study in the wood-
chuck model of CHB revealed that a short, finite period 67 Hepatology, July 2021 REFERENCES 1) World Health Organization, Global Hepatitis Programme. Global
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Although the therapeutic efficacy of GS-9688 in
combination with nucleos(t)ide treatment remains
to be fully evaluated in patients with CHB, it was
shown to be safe and generally well-tolerated in a
phase 2 placebo-controlled study in virally suppressed
patients, with a subset achieving HBsAg and/or
HBeAg loss.(55) While phase 2 studies are ongoing
(ClinicalTrials.gov NCT03491553/NCT03615066),
our work provides important insights into the immu-
nomodulatory effects of GS-9688 and has important
implications for the rational design of combination
studies with other immunomodulatory agents. Our
data also raise the possibility that in vitro profiling of
PBMC responses to GS-9688 in patients with CHB
may have utility for predicting therapeutic efficacy in
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provided critical review of the manuscript. intestinal absorption is expected to induce TLR8 acti-
vation in the gut and liver, where the immune com-
position is markedly different.(26,52–54) It is likely that
the secretion of immune mediators from the gut into
the portal vein will in turn stimulate cells in the liver. Given the fact that the liver harbors a population of
transcriptionally distant liver-resident NK cells(26) and
memory CD8+ T cells(53,54) future studies will need
to focus on characterizing the intrahepatic immune
response to GS-9688. intestinal absorption is expected to induce TLR8 acti-
vation in the gut and liver, where the immune com-
position is markedly different.(26,52–54) It is likely that REFERENCES Acknowledgment: The authors thank all patients who
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9688 to decrease the frequency of M-MDSCs in vitro. However, this decrease was linked to an initial burst
of arginase-I release from PMN-MDSCs, which may
transiently limit the availability of the conditionally
essential amino acid L-arginine, acting as a crucial
T-cell rheostat.(9) Of further significance is the capac-
ity of GS-9688 to induce expression of PD-L1 and
galectin-9 on the remaining MDSCs, which could
limit HBV-specific CD8+ T cells expressing high lev-
els of PD-1 and Tim-3.(6,37) Intrahepatic PD-L1 and
galectin-9 levels are increased in viral hepatitis, and
our data suggest that they may be further enhanced by
TLR8-induced IFN-γ.(37,51) Collectively, these data
raise the possibility that combination with checkpoint
blockade may improve the antiviral response to GS-
9688 treatment. p
Although promising, it is important to note that
GS-9688 did not induce an effective HBV-specific
CD8+ T-cell response in PBMCs from all patients,
which is typical of many immunotherapeutic strate-
gies in development for CHB using diverse patient
cohorts.(6,37,45) This is reminiscent of the antiviral
response to GS-9688 in the woodchuck model of
CHB, in which only half the animals treated with
3 mg/kg GS-9688 had a sustained reduction in viral
parameters.(18) Consistent with the woodchuck study,
the response of patient HBV-specific CD8+ T cells
in vitro was not associated with age, sex, extent of
liver inflammation, or viral load. However, the mag-
nitude of the in vitro response was associated with a
low-baseline HBsAg titer (<2,000 IU/mL). To elu-
cidate the potential differences in responders and
non-responders, it is important to consider the contri-
bution of potent immunoregulatory leukocytes impli-
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BDNF signaling during the lifetime of dendritic spines
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Abstract Dendritic spines are tiny membrane specialization forming the postsynaptic part of most excitatory synapses. They have been
suggested to play a crucial role in regulating synaptic transmission during development and in adult learning processes. Changes
in their number, size, and shape are correlated with processes of structural synaptic plasticity and learning and memory and also
with neurodegenerative diseases, when spines are lost. Thus, their alterations can correlate with neuronal homeostasis, but also
with dysfunction in several neurological disorders characterized by cognitive impairment. Therefore, it is important to understand
how different stages in the life of a dendritic spine, including formation, maturation, and plasticity, are strictly regulated. In this
context, brain-derived neurotrophic factor (BDNF), belonging to the NGF-neurotrophin family, is among the most intensively
investigated molecule. This review would like to report the current knowledge regarding the role of BDNF in regulating dendritic
spine number, structure, and plasticity concentrating especially on its signaling via its two often functionally antagonistic
receptors, TrkB and p75NTR. In addition, we point out a series of open points in which, while the role of BDNF signaling is
extremely likely conclusive, evidence is still missing. Keywords Brain-derived neurotrophic factor . Dendritic spines . Neurotrophin . TrkB . p75NTR Dendritic spines come in diverse sizes and morphologies
especially regarding head volume, spine neck lengths, and
thickness and are commonly classified, according to these
criteria in three groups, i.e., stubby, thin, and mushroom
spines (Peters and Kaiserman-Abramof 1969), possibly
reflecting different functions. The size of the spine head scales
with the size of the postsynaptic density, the number of neu-
rotransmitter receptors, and synaptic strength. Moreover, the
observation that dendritic spines are extremely dynamic both
in size and shape of pre-existing spines and also in their new
formation and disappearance links them to processes of
activity-dependent synaptic plasticity (Sala and Segal 2014). Indeed, several studies showed activity-dependent changes in
dendritic spine morphology and number occurring after induc-
tion of synaptic plasticity, i.e., long-term potentiation (LTP)
and long-term depression (LTD). Our current knowledge
about dendritic spines indicates their crucial role in synaptic
transmission and plasticity linking their morpho-physiology
with cognition processes such as acquisition of new informa-
tion and its long-term retention (Holtmaat and Caroni 2016). Accordingly, spine dysfunction is related to cognitive decline
in aging (von Bohlen und Halbach et al. Abstract 2006) as well as to
several neuropsychiatric, neurodevelopmental, and neurode-
generative diseases including autisms (Sudhof 2008), mental
retardation (Purpura 1974), and Alzheimer’s disease https://doi.org/10.1007/s00441-020-03226-5
Cell and Tissue Research (2020) 382:185–199 https://doi.org/10.1007/s00441-020-03226-5
Cell and Tissue Research (2020) 382:185–199 REVIEW Marta Zagrebelsky1,2 & Charlotte Tacke1 & Martin Korte1,2 Received: 28 February 2020 /Accepted: 27 April 2020
# The Author(s) 2020
/ Published online: 14 June 2020 BDNF signaling during the lifetime of dendritic spines Marta Zagrebelsky1,2 & Charlotte Tacke1 & Martin Korte1,2 * Marta Zagrebelsky
m.zagrebelsky@tu-bs.de 1
Division of Cellular Neurobiology, Zoological Institute, TU
Braunschweig, Spielmannstr 7, 38106 Braunschweig, Germany 2
Helmholtz Centre for Infection Research, AG NIND, Inhoffenstr. 7,
D-38124 Braunschweig, Germany Introduction Here it should be pointed
out that the effects of an exogenous BDNF application on
spine density are not reproduced in all studies, possibly due
to different culture conditions (Kellner et al. 2014;
Zagrebelsky et al. 2018). Indeed, culture conditions have
been shown to influence the neuronal response to BDNF
(Chapleau et al. 2008).Nevertheless, the physiological rele-
vance of the positive effects of BDNF/TrkB signaling on
dendritic spine formation in vitro is supported by the obser-
vation that scavenging endogenous BDNF in primary hippo-
campalculturesresultsinadecreaseinspinedensity(Kellner
etal.2014).Moreover,inhibitionofTrkBreceptoractivation
with K252a not only blocked the effect of BDNF but further
reduced spine density below control level (Tyler and Pozzo-
Miller 2001). (Dorostkar et al. 2015). Ensuring their crucial physiological
functions and preventing the severe consequences of their
dysfunction under pathological conditions require a very tight
regulation of the processes involved in the different phases of
the life of dendritic spines. Among the many molecules con-
trolling the structure and function of dendritic spines, the
brain-derived neurotrophic factor (BDNF) stands out for its
compelling activities at all stages of a spine’s life. This review will give an overview about the actions
of BDNF signaling, via its receptors in regulating the
dendritic spine formation, maturation, and its need for
the maintenance of the mature spine phenotype and
their plasticity. BDNF is a member of the neurotrophin
family, comprising four closely related secreted proteins
known to regulate survival, growth, and differentiation
of neurons during development as well as activity-
dependent synaptic plasticity and processes of learning
and memory in the mature CNS (Park and Poo 2013;
Zagrebelsky and Korte 2014). Both BDNF and its pre-
cursor proBDNF have been shown to be biologically
active and exert their actions upon their binding to
two transmembrane receptors – the tropomyosin receptor
tyrosine kinase B (TrkB), with a higher affinity for the
mature form of BDNF, and the p75 Neurotrophin recep-
tor (p75NTR) preferentially binding proBDNF (Barbacid
1993; Chao and Hempstead 1995). BDNF is one of the neuroprotective, growth substances
released by neurons under stress or pathological conditions,
and brain pathologies are associated with the reduction in
BDNF release, resulting in lower brain ad blood levels. Thus, BDNF has been suggested as a biomarker for different
brain pathologies and for the efficacy of their therapy. Indeed,
most currently used treatments are accompanied by significant
changes in BDNF expression and release levels. Introduction However,
due to space limitations, this review will not address the cur-
rent knowledge regarding BDNF signaling in the pathophys-
iology and therapy of neurological diseases.
Fig. 1 a Schematic representation of the intracellular signaling cascades
downstream of the binding of BDNF to TrkB and of its precursor
proBDNF to p75NTR. BDNF binding to TrkB promotes dendritic spine
formation and maturation via the Shc site Erk1/2, to control gene
regulation as well as the activation of the PI-3 kinase in order to
promote the insertion of TRPC channels at the membrane. Moreover,
activation of the PLCγ site promotes the formations of IP3 and the
release of Ca2+ from the internal stores. On the contrary, binding of Met
variant of proBDNF or of the BDNF pro-peptide results in dendritic spine
loss via the inhibition of Rac1 and the activation of caspase-3. b
Schematic representation of the signaling initiated by BDNF binding to
TrkB and resulting in the long-lasting enlargement of the spine head in a
process known as structural potentiation (sLTP). BDNF binding to TrkB
induces in this case the polymerization of actin by promoting the activity
of Rac1 and Cdc42 within dendritic spines. Moreover, activation of the
NMDARs results in an increase in local protein synthesis in a CaMKII-
dependent manner possibly also providing the BDNF required to activate
TrkB at spines in an autocrine way. Black arrows indicate activation,
while the red arrows indicate inhibition Introduction Since their first description by Ramon y Cajal (yCajal 1891),
dendritic spines have been postulated to be involved in regu-
lating the communication between neurons. Indeed, these tiny
membranous protrusions, emerging from the dendrites of
most principal neurons, are the postsynaptic site of the major-
ity of excitatory glutamatergic synapses in the brain (Gray
1959). Dendritic spines consist of a bulbous head, containing
the postsynaptic density and connected to the dendrite via a
thin and long neck. Dendritic spines serve as compartments in
which calcium (Muller and Connor 1991) and biochemical
(Guthrie et al. 1991) and electrical signals (Araya et al. 2006; Grunditz et al. 2008) are confined during glutamatergic
transmission, shaping synaptic transmission. * Marta Zagrebelsky
m.zagrebelsky@tu-bs.de
* Martin Korte
m.korte@tu-bs.de
1
Division of Cellular Neurobiology, Zoological Institute, TU
Braunschweig, Spielmannstr 7, 38106 Braunschweig, Germany
2
Helmholtz Centre for Infection Research, AG NIND, Inhoffenstr. 7,
D-38124 Braunschweig, Germany * Marta Zagrebelsky
m.zagrebelsky@tu-bs.de
* Martin Korte
m.korte@tu-bs.de
1
Division of Cellular Neurobiology, Zoological Institute, TU
Braunschweig, Spielmannstr 7, 38106 Braunschweig, Germany
2
Helmholtz Centre for Infection Research, AG NIND, Inhoffenstr. 7,
D-38124 Braunschweig, Germany * Marta Zagrebelsky
m.zagrebelsky@tu-bs.de Cell Tissue Res (2020) 382:185–199 186 neurons (Gottmann et al. 2009; Ji et al. 2005; Tyler and
Pozzo-Miller 2001; for reviews see Zagrebelsky and Korte
2014) and in cerebellar Purkinje cells (Shimada et al. 1998). These growth-promoting effects of BDNF occur in a TrkB-
dependent manner. Indeed, activation of TrkB is induced by
BDNF application protocols known to increase dendritic
spine density (Ji et al. 2010), and the increase in spinedensity
upon BDNF treatment is prevented by simultaneously
inhibiting the Trk receptors using K252a (Tyler and Pozzo-
Miller 2001) or more specifically by TrkB receptor bodies
(Shimada et al. 1998). Accordingly, activation of signaling
pathways downstream of TrkB has been shown to be in-
volved in the effects of BDNF on spine formation (Fig. 1a). The BDNF-induced increase in spine density depends upon
themembraneinsertionoftransientreceptorpotentialcanon-
ical subfamily 3 (TRPC3) channels promoted by the activa-
tion of the TrkB-PLCγ pathway (Amaral and Pozzo-Miller
2007). Also, the activation of MAPK/ERK1/2, downstream
of the TrkB-Shc site, is required for the increase in dendritic
spine density upon BDNF treatment in hippocampal pyrami-
dal neurons (Alonso et al. 2004). Spinogenesis Accordingly, a loss-of-function for
BDNF by application of BDNF scavenging antibodies to pri-
mary hippocampal neurons resulted in a decrease in dendritic
spine head width associated to an increase in length, indicating
a less mature phenotype (Kellner et al. 2014). In addition,
primary hippocampal and cortical pyramidal neurons show a
significant decrease in the proportion of mushroom spines,
associated to an increase in one of the thin spines upon cre-
mediated deletion of bdnf both in vitro (Zagrebelsky et al. 2018) and in vivo (Rauskolb et al. 2010). In vivo, hippocam-
pal pyramidal neurons of a mutant mouse specifically lacking
the dendritic localization of BDNF (bdnf klox/klox) show a
higher density of longer and thinner dendritic spines in layer
2/3 pyramidal neurons of the visual cortex and in the hippo-
campus (An et al. 2008). Furthermore, knocking down specif-
ically the long 3′ UTR, dendritic Bdnf mRNA or blocking its Studying the role of BDNF/TrkB signaling in regulating
dendritic spine formation in vivo is complicated by the fact
that most of the bdnf knockout mice die soon after birth (Jones
et al. 1994). Moreover, the conditional deletion of bdnf result-
ed in contradictory observations. On one side, a forebrain-
specific bdnf knockout mouse (CamKII-BDNFKO), in which
BDNF is lost primarily in the cortex and hippocampus during
early adulthood showed a delayed decrease in dendritic spine
density for layer II/III pyramidal neurons of the visual cortex
(Vigers et al. 2012) suggesting a role of BDNF in maintaining
dendritic spines rather than in their formation. On the other
hand, the complete brain-specific deletion of bdnf in the Tau-
BDNFKO mouse showed a significant reduction in spine den-
sity for medium spiny neurons (MSNs) of the striatum, but not
effects on the spines of hippocampal pyramidal neurons
(Rauskolb et al. 2010). Interestingly, the potassium-chloride
cotransporter KCC2 has been recently shown to increase den-
dritic spine density in a BDNF-dependent manner in the cor-
tex but not in the hippocampus (Awad et al. 2018) further
underlying the possibility that in vivo the BDNF actions on
dendritic spine formation occur in an area-specific manner. Most of the studies addressing the role of BDNF signaling
in regulating dendritic spine formation have been performed
in the hippocampus or the cortex. Spinogenesis However, more recently the
levels of both BDNF and TrkB have been shown to be regu-
lated in the nucleus accumbens shell (NACsh) in a mouse
model for chronic cocaine addiction (Graham et al. 2007;
Graham et al. 2009). Moreover, loss-of-function for either
BDNF or TrkB specifically in the NACsh results in reduction
in cocaine self-administration (Graham et al. 2007; Graham
et al. 2009) suggesting an important role of BDNF/TrkB sig-
naling in this context. Psychostimulant drugs induce a series
of biochemical and morphological alterations especially in the
brain monoamine systems. Treatment with amphetamine or
cocaine increases dendritic spine density of MSNs in
NACsh and on apical dendrites of layer V pyramidal cells in
the prefrontal cortex (Robinson and Kolb 1999). BDNF sig-
naling through TrkB in NACsh is necessary for cocaine-
induced long-lasting dendritic spine formation in MSNs
(Anderson et al. 2017). Intriguingly, while increasing TrkB
expression after chronic cocaine administration reverses the
increase in dendritic spine density, loss-of-function for TrkB
after chronic cocaine self-administration failed to affect spine
density (Anderson et al. 2017) indicating an important role of
BDNF/TrkB signaling in the cocaine-induced formation of
new spines, but not in their maintenance. Spinogenesis Mature dendritic spines have been proposed to develop from
filopodia, long thin and highly motile dendritic protrusions
upon their contact with an axon (Bonhoeffer and Yuste
2002). The maturation process of dendritic spines involves
the progressive increase in their density, associated to a re-
duction in the number of filopodia (Dunaevsky et al. 1999;
Nimchinsky et al. 2002). Several studies have shown that
long-term in vitro treatment with exogenous BDNF in-
creases dendritic spine density in pyramidal hippocampal 187 Cell Tissue Res (2020) 382:185–199 187
Cell Tissue Res (2020) 382:185–199 Cell Tissue Res (2020) 382:185–199 188 density and to an increase in the number of inserted neuro-
transmitter receptors and scaffold proteins (Harris et al. 1992;
Harris and Stevens 1989). These changes are reflected in the
proportion of the different spine types, classified based on
their morphology by confocal imaging. While thin spines,
with their long necks and thin head, are supposed to represent
a more immature stage, stubby and mushroom spines are char-
acterized by larger postsynaptic densities and higher stability
and therefore proposed to be mature spines (Bonhoeffer and
Yuste 2002). Loss- and gain-of-function experiments for
BDNF in vitro affect dendritic spine morphology, thereby
altering the distribution of different spine types. Specifically,
BDNF treatment in organotypic hippocampal cultures result-
ed in an increase in the proportion of stubby and a reduction in
the one of mushroom spines (Tyler and Pozzo-Miller 2003). Moreover, acute and gradual BDNF application in primary
hippocampal neurons resulted respectively in a fast and tran-
sient activation of TrkB and ERK1/2 associated to spine head
enlargement or in a sustained TrkB and ERK1/2 activation
accompanied by spine neck elongation (Fig. 1a; Ji et al. 2010). These observations underlie the importance of how
BDNF itself is delivered. Moreover, it is important to point
out that the effects of an exogenous BDNF application on
dendritic spine maturation in hippocampal neurons depend
on neuronal activity. When BDNF was applied together with
botulinum toxin C to block miniature synaptic neurotransmit-
ter release, the proportion of long and thin possibly immature
spines was increased (Tyler and Pozzo-Miller 2003). Also,
application of BDNF to hippocampal cultures kept in a high
magnesium containing medium showed a significant increase
in the proportion of mature spines with larger heads with a
comparable significant decrease in the proportion of immature
spines with small heads. Dendritic spine maturation and stabilization Recent evidence implicates BDNF in regulat-
ing activity-dependent structural plasticity at spines as
BDNF/TrkB signaling is necessary and sufficient to induce
long-lasting structural changes at dendritic spines upon LTP
induction (Tanaka et al. 2008). Synaptic stimulation by glu-
tamate uncaging was paired with postsynaptic spikes, a pro-
tocol resulting in the gradual and long-lasting spine head
enlargement also known as structural LTP (sLTP;
Matsuzaki et al. 2004). Here the progressive and long-
lasting spine head enlargement upon pre- to postsynaptic
pairing was shown to depend on TrkB (Tanaka et al. 2008). While the secretion of BDNF could not be directly
shown, the authors suggested an autocrine function of
BDNF released from the postsynaptic neuron in this context
(Fig. 1b). More recently, fluorescence resonance energy
transfer-based sensor for TrkB and two-photon fluores-
cence lifetime imaging were combined to monitor TrkB
activity at single dendritic spines of CA1 pyramidal neurons
upon sLTP. The results obtained describe in stimulated
spines a fast, followed by a sustained activation of TrkB
depending on the postsynaptic synthesis of BDNF and its
release at single spines (Harward et al. 2016). While these
results come with the limitation that they are based on the
ectopic overexpression of pHluorin-fused BDNF and pos-
sibly do not represent the endogenous conditions, they are
noteworthy in supporting a crucial role of postsynaptic
BDNF/TrkB signaling not only for functional but also for
structural plasticity at spines. Indeed, BDNF has been
shown to be a newly a synthetized product required for the
maintenance of late LTP (Pang et al. 2004). A dense network of actin cytoskeleton underlies the struc-
f d
d i i
i
d
i
i
d
i
h Overexpression of the postsynaptic density scaffold pro-
tein PSD-95 drives the maturation of glutamatergic excit-
atory synapses and increases dendritic spine density (El-
Husseini et al. 2000). In cortical pyramidal neurons, the
localization of PSD-95 at spines correlates with an increase
in their stability over time (Cane et al. 2014). Interestingly,
the TrkB receptor has been shown to be associated to PSD-
95, and its activation, upon BDNF binding, increases the
recruitment of the postsynaptic density protein to synapses
via the PI3K pathway (Yoshii and Constantine-Paton 2007). Furthermore, BDNF/TrkB signaling increases PSD-95 lo-
calization at dendritic spines by prolonging the microtubule
invasions (Hu et al. 2011). PSD-95 binds many postsynaptic
molecules that can regulate dendritic spine growth. Dendritic spine maturation and stabilization For ex-
ample, PSD-95 binds Kalirin, a neuronal Rho guanine nu-
cleotide exchange factor (Rho-GEF) that facilitates actin
polymerization within spines, thereby increasing both their
number and their size (Penzes et al. 2001). Taken together
these observations suggest a crucial role of BDNF signaling
via its TrkB receptor in promoting dendritic spine matura-
tion and stabilization. On the other hand, it has to be men-
tioned that in developing pyramidal neurons in organotypic
slice cultures of ferret visual cortex, the overexpression of
BDNF resulted in an increase in the remodeling of dendritic
spines, possibly acting through an autocrine loop (Horch
et al. 1999). Dendritic spine maturation and stabilization The results obtained describe in stimulated
spines a fast, followed by a sustained activation of TrkB
depending on the postsynaptic synthesis of BDNF and its
release at single spines (Harward et al. 2016). While these
results come with the limitation that they are based on the
ectopic overexpression of pHluorin-fused BDNF and pos-
sibly do not represent the endogenous conditions, they are
noteworthy in supporting a crucial role of postsynaptic
BDNF/TrkB signaling not only for functional but also for
structural plasticity at spines. Indeed, BDNF has been
shown to be a newly a synthetized product required for the
maintenance of late LTP (Pang et al. 2004). A dense network of actin cytoskeleton underlies the struc- via TrkB. Expression of a dominant negative TrkB receptor in
pyramidal neurons of the visual cortex resulted in the reduced
maintenance of mushroom spines accompanied by an increase
in the density of long and thin spines (Chakravarthy et al. 2006). Also, a recent study showed that copine-6, a C2-
domain-contaning protein mediating calcium-dependent bind-
ing to membrane phospholipids, is recruited to spines upon
BDFN application and promotes BDNF-dependent changes
in dendritic spine morphology by recycling activated TrkB
receptors to the membrane surface (Burk et al. 2018). (Grutzendler et al. 2002; Trachtenberg et al. 2002), provid-
ing the structural correlate for the long-term storage of in-
formation, structural plasticity of dendritic spines is re-
quired for learning and memory formation (Hayashi-
Takagi et al. 2015; Xu et al. 2009; Yang et al. 2014a;
Yang et al. 2009a). Structural plasticity at spines relies upon
the activation of a series of intracellular signaling cascades
mostly regulating the remodeling of the actin cytoskeleton
and protein synthesis. Among the extracellular factors im-
pinging on these intracellular signaling cascades, BDNF is
for several reasons of special interest. BDNF is released by
neurons in an activity-dependent manner (Goodman et al. 1996; Griesbeck et al. 1999) and specifically upon LTP-
inducing electrical stimulation in hippocampal neurons
(Gartner and Staiger 2002). Moreover, BDNF signaling
modulates dendritic spine morphology and is required both
for induction and maintenance of LTP (Korte et al. 1995;
Kovalchuk et al. 2002; Zagrebelsky and Korte 2014) and for
learning and memory processes (Alonso et al. 2002; Petzold
et al. 2015). Dendritic spine maturation and stabilization Dendritic spine maturation is characterized morphologically
by an overall decrease in spine length and motility (Dailey and
Smith 1996; Marrs et al. 2001) and an increase in spine head
volume correlated to an enlargement of the postsynaptic Several lines of evidence indicate that the role of BDNF in
promoting dendritic spine maturation depends on its signaling Cell Tissue Res (2020) 382:185–199 189 (Grutzendler et al. 2002; Trachtenberg et al. 2002), provid-
ing the structural correlate for the long-term storage of in-
formation, structural plasticity of dendritic spines is re-
quired for learning and memory formation (Hayashi-
Takagi et al. 2015; Xu et al. 2009; Yang et al. 2014a;
Yang et al. 2009a). Structural plasticity at spines relies upon
the activation of a series of intracellular signaling cascades
mostly regulating the remodeling of the actin cytoskeleton
and protein synthesis. Among the extracellular factors im-
pinging on these intracellular signaling cascades, BDNF is
for several reasons of special interest. BDNF is released by
neurons in an activity-dependent manner (Goodman et al. 1996; Griesbeck et al. 1999) and specifically upon LTP-
inducing electrical stimulation in hippocampal neurons
(Gartner and Staiger 2002). Moreover, BDNF signaling
modulates dendritic spine morphology and is required both
for induction and maintenance of LTP (Korte et al. 1995;
Kovalchuk et al. 2002; Zagrebelsky and Korte 2014) and for
learning and memory processes (Alonso et al. 2002; Petzold
et al. 2015). Recent evidence implicates BDNF in regulat-
ing activity-dependent structural plasticity at spines as
BDNF/TrkB signaling is necessary and sufficient to induce
long-lasting structural changes at dendritic spines upon LTP
induction (Tanaka et al. 2008). Synaptic stimulation by glu-
tamate uncaging was paired with postsynaptic spikes, a pro-
tocol resulting in the gradual and long-lasting spine head
enlargement also known as structural LTP (sLTP;
Matsuzaki et al. 2004). Here the progressive and long-
lasting spine head enlargement upon pre- to postsynaptic
pairing was shown to depend on TrkB (Tanaka et al. 2008). While the secretion of BDNF could not be directly
shown, the authors suggested an autocrine function of
BDNF released from the postsynaptic neuron in this context
(Fig. 1b). More recently, fluorescence resonance energy
transfer-based sensor for TrkB and two-photon fluores-
cence lifetime imaging were combined to monitor TrkB
activity at single dendritic spines of CA1 pyramidal neurons
upon sLTP. Involvement of BDNF signaling in learning-induced
structural plasticity in vivo 2015) and prevents fear extinction (Peters et al. 2010;
Rosas-Vidal et al. 2014) or consolidation (Chhatwal et al. 2006). Learning and memory processes are associated with
structural alterations at dendritic spines in the hippocampus,
cortex, and amygdala (Heinrichs et al. 2013; Lai et al. 2012;
Leuner and Shors 2004; Moser et al. 1994; Vetere et al. 2011a;
Vetere et al. 2011b), and BDNF modulates dendritic spine
number and structure both during development and in the
adult brain. However, while the evidence for a role for
BDNF in promoting structural plasticity at spines in vivo dur-
ing learning and memory processes is still largely correlative,
one recent study provided direct evidence for a role of BDNF
signaling in promoting formation of new dendritic spines up-
on motor learning. This study analyzed the role of microglia
produced BDNF in this context. Although the major source of
BDNF in the adult brain appears to be neurons (Rauskolb
et al. 2010; Dieni et al. 2012), BDNF can also be detected in
oligodendrocytes, astrocytes, and microglia (Dougherty et al. 2000). Conditional deletion of BDNF from microglia resulted
in the impairment of motor learning associated to an impair-
ment in the learning-induced formation of new dendritic
spines in the motor cortex (Parkhurst et al. 2013) suggesting
a new BDNF-mediated role for microglia in locally modulat-
ing specific subsets of synaptic connections possibly involved
in specific learning tasks. Sustained structural plasticity of spines requires activity-
dependent protein synthesis (Bosch et al. 2014;
Govindarajan et al. 2011; Tanaka et al. 2008). For several
plasticity-relevant proteins (i.e., β-actin and CaMKII;
Miller et al. 2002; Tiruchinapalli et al. 2003), the mRNAs
are bidirectionally transported along microtubule in den-
drites in an activity-dependent manner and stop at the base
of stimulated spines suggesting their regulated local trans-
lation upon sLTP induction (Buxbaum et al. 2015). While it
is not yet conclusively shown that BDNF promotes dendrit-
ic spine morphogenesis upon activity-dependent plasticity
by regulating local protein synthesis, different lines of evi-
dence suggest this possibility. BDNF is now clearly impli-
cated in promoting local protein synthesis by the observa-
tions that its application increases the incorporation of radio
labeled amino acids and promotes the translation of a fluo-
rescent translation reporter also in isolated dendrites and in
synaptosomes (Aakalu et al. 2001; Takei et al. 2004). Involvement of BDNF signaling in learning-induced
structural plasticity in vivo 2010). Cytoskeletal remodeling depends upon the activation
of the small GTPase proteins (Nakahata and Yasuda 2018). Specifically, the precise spatiotemporally coordinated activa-
tion of RhoA, Rac1, and Cdc42 downstream of the Ca2+/cal-
modulin kinase II (CaMKII; Lee et al. 2009; Matsuzaki et al. 2004) underlies sLTP (Bosch et al. 2014; Murakoshi et al. 2011). BDNF signaling modulates the activation of actin
binding proteins (Fass et al. 2004; Gehler et al. 2004) down-
stream of Rho GTPases (Briz et al. 2015). Indeed, exogenous
application of BDNF signaling via TrkB in rat hippocampal
slices promotes actin polymerization resulting in an increase
in the number of dendritic spines containing F-actin, and co-
application of TrkB receptor bodies prevents the actin poly-
merization induced by LTP-inducing theta burst stimulation
(Rex et al. 2007). These results indicate that BDNF is a crucial
component in promoting LTP-related cytoskeletal changes at
dendritic spines. A recent study confirmed this hypothesis by
showing the critical role of BDNF in inducing the coordinated
activation of Rho GTPases during sLTP (Hedrick et al. 2016). Specifically, BDNF signaling via TrkB postsynaptically acti-
vates Cdc42 and Rac1, but not RhoA (Hedrick et al. 2016). Interestingly, this action of BDNF supports the input specific-
ity and the heterosynaptic facilitation typically observed in
sLTP by activating on one side a spine-specific signaling com-
prising BDNF–TrkB–Cdc42, and a diffuse one comprising
BDNF–TrkB–Rac1 signaling. Moreover, these results en-
lighten the facilitation of plasticity observed upon BDNF
treatment by priming spines to sLTP via the activation of
Rho GTPases. A role of BDNF in regulating learning and memory processes
has been suggested by several studies often based on purely
correlative evidence. Indeed, BDNF and TrkB expression
(Gomez-Pinilla et al. 2001; Hall et al. 2000; Silhol et al. 2007) and TrkB phosphorylation (Gooney et al. 2002) are
rapidly induced in the hippocampus upon contextual spatial
learning. And, fear extinction training has been shown to in-
crease BDNF expression in the ventral hippocampus (Peters
et al. 2010; Rosas-Vidal et al. 2014). Gain-of-function ap-
proaches for BDNF and TrkB in the hippocampus improve
spatial learning performance (Cirulli et al. 2004; Koponen
et al. 2004; Nakajo et al. 2008) and in the infralimbic cortex
facilitate fear extinction (Peters et al. 2010). On the contrary,
interfering with the BDNF/TrkB signaling results in impaired
performance in the water maze task (Mu et al. 1999; Petzold
et al. Involvement of BDNF signaling in learning-induced
structural plasticity in vivo Moreover, BDNF application induces a protein synthesis-
dependent form of LTP (Kang and Schuman 1996; Kang
and Schuman 1995) opening the possibility that BDNF pro-
motes structural plasticity at spines both by promoting the
cytoskeletal reorganization and the local protein synthesis
of plasticity promoting proteins. Role of BDNF signaling in activity-dependent struc-
tural plasticity at spines Long-term synaptic plasticity, i.e., LTP and LTD, repre-
sents the cellular mechanism underlying learning and mem-
ory processes. Both LTP and LTD have been shown to be
associated to structural changes at dendritic spines (Engert
and Bonhoeffer 1999; Yuste and Bonhoeffer 2001). Specifically, LTP induction results in long-lasting spine
head enlargement (Matsuzaki et al. 2004), while LTD re-
sults in its shrinkage (Nagerl et al. 2004; Zhou et al. 2004;
for a review see Holtmaat and Svoboda 2009) reflecting
changes in the number of neurotransmitter receptors
(Kopec et al. 2006) and in the spine responsiveness to glu-
tamate (Matsuzaki et al. 2004). While in vivo dendritic
spines have been shown to remain stable over months A dense network of actin cytoskeleton underlies the struc-
ture of dendritic spines and via its dynamics supports the
structural changes at spines during plasticity processes
(Colgan and Yasuda 2014; Hotulainen and Hoogenraad 190 Cell Tissue Res (2020) 382:185–199 Autocrine versus local paracrine BDNF actions BDNF is a sticky, positively charged protein whose biochem-
ical characteristics prevent its diffusion within the target re-
gion and indicate that BDNF is only acting locally at synapses
(few micrometers range; Horch and Katz 2002). Moreover,
defining the locus of BDNF functional secretion is made by
difficult its very low endogenous amounts. Taken together the
low endogenous amounts and the locally restricted actions of
BDNF complicate the distinction between autocrine and local
paracrine signaling. However, a few studies made use of chi-
mera neuronal cultures to address this issue in the context of
the activity of BDNF on neuronal architecture and dendritic
spines and provided strong evidence for a cell autonomous,
autocrine mode of action for BDNF in this context. Particularly, a sparse deletion of BDNF in adult born granule
cells of the dentate gyrus resulted in shorter dendrites and
impaired spino- and synaptogenesis in a cell autonomous
manner (Wang et al., 2015). Accordingly, BDNF overexpres-
sion in pyramidal neurons of the visual cortex induced struc-
tural instability specifically of dendrites and spines in BDNF
expressing neurons (Horch et al. 1999). On the other hand, the
same authors also showed locally restricted increase in den-
drite density upon BDNF overexpression in neighboring, non-
transfected neurons, depending on BDNF release indicating a
local paracrine action of BDNF (Horch and Katz 2002). These
observations suggest the possibility of a self-amplifying auto-
crine BDNF signaling as shown at early stages of axonal de-
velopment (Cheng et al. 2011). Finally, recent studies con-
vincingly demonstrated a spine-autonomous, autocrine mode
of action for endogenous BDNF in regulating structural LTP
at a single spine level (Harward et al., 2016; Hedrick et al. 2016) as well as theta burst-induced LTP (Edelmann et al.,
2015; Brigadski and Lessmann 2020). Impairments in the BDNF/TrkB signaling are highly cor-
related with cognitive impairment and dendritic spine changes
during aging. Indeed, TrkB expression and activation have
been shown to be reduced in aged rodents and humans
(Buhusi et al. 2017; Croll et al. 1998; Gooney et al. 2004;
Webster et al. 2006). However, there is less consensus about
the effect of aging on BDNF levels. In humans, although
increasing age in health individuals has been associated with
reduced levels of serum BDNF and poorer memory perfor-
mance (Shimada et al. 2014; Siuda et al. Autocrine versus local paracrine BDNF actions 2017), no changes in
BDNF mRNA in the hippocampus and temporal cortex were
detected from postmortem brains (Webster et al. 2006). While
in mice, BDNF levels did not change in the hippocampus with
age (Buhusi et al. 2017), aged cognitively impaired rats
displayed a lower increase in training-induced BDNF
mRNA level than aged non-impaired rats in the CA1 region
of the hippocampus (Schaaf et al. 2001). Furthermore, BDNF-
induced LTP and its downstream signaling were significantly
impaired in aged rats (Gooney et al. 2004). Accordingly, aged
mutant mice carrying a deletion in one copy of the BDNF
gene performed significantly worse than controls
(Linnarsson et al. 1997). Cognitive unimpaired aged rats show
no alterations in spine density associated to normal levels of
TrkB expression, activation, and downstream signaling (Zeng
et al. 2012b), and lower levels of TrkB expression, activation,
and downstream signaling are associated with lower spine
density and impaired hippocampus-dependent learning in
aged rats (Zeng et al. 2012b). Intriguingly, the cognitive im-
pairment as well as the decrease in spine number could be
rescued by a treatment with the TrkB agonist 7,8-
sihydroxyflavone (7,8-DHF; Zeng et al. 2012b) strengthening
the link between BDNF/TrkB signaling and spine loss upon
aging. Moreover, proBDNF and P75NTR, exerting a negative Involvement of BDNF in age-dependent dendritic
spine alterations Aging in the CNS is a physiological process characterized by
the progressive decrease in brain volume and decline in brain
function leading to different degrees of cognitive impairment. The cognitive decline seems not to reflect neuronal loss, oc-
curring in fact only in few brain areas (Cabello et al. 2002;
Stranahan et al. 2012; Woodruff-Pak et al. 2010), but rather Cell Tissue Res (2020) 382:185–199 191 subtle structural changes in network connectivity at the level
of dendritic spines. An age-related progressive loss of dendrit-
ic spines was shown for the cerebral cortex and the hippocam-
pus of rodents, non-human primates, and humans (Dumitriu
et al. 2010; Feldman and Dowd 1975; Jacobs et al. 1997;
Luebke et al. 2010; von Bohlen und Halbach et al. 2006)
and is correlated to age-related cognitive impairment in
Rhesus monkeys (Dickstein et al. 2013) and impairment of
hippocampus-dependent spatial learning in aged rodents (von
Bohlen und Halbach et al. 2006; Zeng et al. 2012b). Moreover, cognitively unimpaired aged rats show no alter-
ations in spine density (Zeng et al. 2012b) strengthening the
functional relevance of the age-dependent spine loss. Moreover, some studies described alterations in the proportion
of spine types with a predominance of larger spines in older
animals (Xu et al. 2018) and an increase in their stability
(Mostany et al. 2013). This observation is relevant to the cog-
nitive impairment as smaller, thin spines have been shown to
be especially important for memory storage (Bourne and
Harris 2007). regulation on dendritic spine density and plasticity, are upreg-
ulated in aged mice (Buhusi et al. 2017; Costantini et al. 2005;
Perovic et al. 2013), and hippocampal proBDNF levels are
inversely correlated with spatial memory in aged mice
(Buhusi et al. 2017). In spite of the correlative evidence for
a role of the age-dependent alteration in BDNF/TrkB signal-
ing and dendritic spine loss, studies causally linking these two
events are still lacking, which would be a prerequisite for a
rational therapeutic intervention using BDNF or TrkB
agonists. BDNF/TrkB and proBDNF/p75NTR: functional
antagonisms in regulating dendritic spine structure
and plasticity Intriguingly, slices maintained
in serum media showed a lower p75NTR-to-TrkB expression
level than serum-free slices (Chapleau et al. 2008) supporting
the idea of the opposing functional signaling by on the one
hand of proBDNF/p75NTR and on the other hand of
BDNF/TrkB ligand-receptor interaction. Accordingly, pyra-
midal neurons of the hippocampus of p75NTR knockout mice
have a significantly higher dendritic spine density associated
with a decrease in the proportion of stubby spines
(Zagrebelsky et al. 2005). However, whether proBDNF is
secreted by neurons in vivo under physiological conditions,
it is still under debate. While some studies showed that BDNF
and its pro-peptide are stored in presynaptic dense core vesi-
cles and are secreted together (Dieni et al. 2012) suggesting an
intracellular cleavage (Matsumoto et al. 2008), others showed
proBDNF release by neurons (Yang et al. 2009b) and its
activity-dependent extracellular cleavage (Nagappan et al. 2009; Pang et al. 2004). It is noteworthy that the physiological
relevance of the proBDNF/p75NTR signaling in neuronal plas-
ticity is supported by the observation that a low-frequency
stimulation results in the release of proBDNF (Nagappan
et al. 2009) leading to the p75NTR-dependent facilitation of
LTD (Woo et al. 2005). Moreover, proBDNF/p75NTR signal-
ing was shown to mediate the synaptic depression observed in
neighboring, non-coactive spines upon strengthening of syn-
aptic connections via spontaneous activity in the hippocampus
(Winnubst et al. 2015). To further evaluate the role of the endogenous proBDNF
i
i
d
d i i
i
i
d
h
k
ki y
p
p
y
It was generally believed that after cleavage, the BDNF
pro-peptide is rapidly degraded. But it was shown that in the
hippocampus, the mature BDNF, and its pro-peptide are
stored together in dense core vesicles and are secreted in equi-
molar ratios at a ten times higher concentration than proBDNF
(Dieni et al. 2012). The secretion of the BDNF pro-peptide
from hippocampal neurons in vitro occurs in an activity-
dependent manner (Anastasia et al. 2013; Guo et al. 2016;
Mizui et al. 2015). A common single-nucleotide substitution
in the human bdnf gene results in a Val66Met substitution in
the BDNF pro-peptide sequence and has been shown to affect
activity-dependent BDNF secretion and to be associated with
a decrease in hippocampal volume, impairment of episodic
memory, and increase in depression and anxiety disorders
(Chen et al. 2006; Egan et al. 2003; Soliman et al. 2010;
Verhagen et al. 2010). BDNF/TrkB and proBDNF/p75NTR: functional
antagonisms in regulating dendritic spine structure
and plasticity BDNF is initially synthetized as a precursor proBDNF which
is cleaved to produce the mature protein exerting a series of
positive actions on neuronal structure and plasticity processes Cell Tissue Res (2020) 382:185–199 192 specific secretion of proBDNF upon neuronal stimulation. In
probdnf-HA/+ mice, a significant decrease in dendritic spine
density was observed which was greater than the one shown
by heterozygous bdnf knockout mice indicating that
proBDNF exerts specific negative effects on dendritic spines
density (Yang et al. 2014b). Moreover, while in hippocampal
neurons the constitutive somatic synthesis of BDNF promotes
dendritic spine formation in a TrkB-dependent manner (An
et al. 2008; Orefice et al. 2013), neuronal activity promotes
the translation of dendritic bdnf mRNA and the secretion of its
translation product mostly as proBDNF (Orefice et al. 2016). The proBDNF secreted under these conditions binds to
p75NTR resulting in increased dendritic spine pruning
(Orefice et al. 2016). While no data so far show a role of
proBDNF in modulating structural plasticity at spines in
probdnf-HA/+ mice, theta burst-induced LTP is impaired
and LTD is enhanced (Yang et al. 2014b) showing its ability
to modulate synaptic plasticity. via its specific binding to TrkB. While p75NTR also binds the
mature BDNF, albeit at a lower affinity, it preferentially me-
diates the action of proBDNF (Lee et al. 2001). While the
BDNF/TrkB-induced modulation of dendritic spine structure
and plasticity is well described (see above; Minichiello 2009;
Zagrebelsky and Korte 2014), the role of proBDNF/p75NTR
signaling in this context remains less investigated. The appli-
cation of exogenous uncleavable proBDNF (CR-proBDNF)
in vitro suggests that it exerts opposite effects than mature
BDNF (Cowansage et al. 2010; Lu et al. 2005; Teng et al. 2010). While the treatment of mature hippocampal neurons
with BDNF increases their dendritic spine density, application
of CR-proBDNF significantly reduced it without affecting
neuronal survival (Koshimizu et al. 2009). These opposite
actions of proBDNF and BDNF on dendritic spines are
complemented by the observation that the actions of exoge-
nous BDNF on the pyramidal neurons of slice cultures depend
on the presence of serum in the medium. Indeed, while BDNF
exposure of slices kept in serum-free conditions increases the
proportion of stubby spines, in serum-containing media, the
same treatment induces an increase in the proportion of mush-
room and thin spines and a decrease of one of the stubby
spines (Chapleau et al. 2008). TrkB signaling at dendritic spines in the absence of
neurotrophins BDNF is considered to be the prototypical neurotrophin li-
gand for the TrkB receptor, inducing its dimerization and ac-
tivation by tyrosine phosphorylation. However, TrkB can
autophosphorylate and activate its downstream signaling
without BDNF in a process of transactivation depending on
the Src family of tyrosine kinases (Lee and Chao 2001;
Rajagopal and Chao 2006; Rajagopal et al. 2004). Transactivation of TrkB is mediated by G protein-coupled
adenosine 2A or dopamine D1 receptors (Iwakura et al. 2008; Lee and Chao 2001; Wiese et al. 2007) and by an
EGF-EGF receptor-induced Src-dependent pathway
(Puehringer et al. 2013). In hippocampal neurons, the divalent
cation zinc transactivates TrkB in a BDNF-independent man-
ner and Src family in a kinase-dependent manner resulting in
the potentiation of the mossy fiber-CA3 synapses (Huang
et al. 2008). A recent study provided evidence for a role of
zinc-mediated TrkB transactivation in regulating both dendrit-
ic morphology and spine density in mature primary hippocam-
pal neurons (Zagrebelsky et al. 2018). Moreover, cocaine
treatment has been shown to increase dendritic spine density
in hippocampal neurons by promoting TrkB transactivation
via the Sigma-1 receptor (Ka et al. 2016). Transactivation of
TrkB results in biologically relevant consequences both in the
healthy brain, where it regulates neuronal migration, architec-
ture. and plasticity as well as under pathological conditions,
and it should be further explored as a signaling route utilized
for therapeutic approaches in neurodegenerative diseases as
well as depression. Small-molecule mimetics of BDNF reported to act specif-
ically on TrkB showed beneficial effects in rescuing the symp-
toms of different diseases in animal models; however, only
few studies investigated their ability to prevent or rescue den-
dritic spine pathology. Below we highlight these studies. p
p
gy
g
g
The most studied TrkB agonist is the 7,8-dihydroxyflavone
(7,8-DHF), a member of the flavonoids family shown to cross
the blood-brain barrier and to bind to TrkB with high affinity
(Jang et al. 2010). In vivo studies indicate that peripheral
administration of 7,8-DHF enhances emotional learning and
rescues memory impairment in several rodent models (Andero
et al. 2012; Choi et al. 2012; Liu et al. 2010). Specifically
regarding dendritic spines, in aged rats, administration of
7,8-dihydroxyflavone improved cognitive impairment in the
Morris water maze and rescued spine density in the hippocam-
pus (Zeng et al. 2012b). BDNF/TrkB and proBDNF/p75NTR: functional
antagonisms in regulating dendritic spine structure
and plasticity A recent study provided exciting evi-
dence for a role in vivo of the Met66 BDNF pro-peptide var-
iant by showing that its administration to the ventral hippo-
campus triggers the disassembly of mushroom spines and the
loss of synapses in CA1 pyramidal neurons by mobilizing
different actin regulators through its interaction with the
SorCS2/p75NTR receptor complex, thereby disrupting cued
fear extinction (Giza et al. 2018). that the BDNF pro-peptide and its naturally occurring poly-
morphism are negative regulators of neuronal structure and
functional plasticity. A recent study provided exciting evi-
dence for a role in vivo of the Met66 BDNF pro-peptide var-
iant by showing that its administration to the ventral hippo-
campus triggers the disassembly of mushroom spines and the
loss of synapses in CA1 pyramidal neurons by mobilizing
different actin regulators through its interaction with the
SorCS2/p75NTR receptor complex, thereby disrupting cued
fear extinction (Giza et al. 2018). TrkB signaling at dendritic spines in the absence of
neurotrophins Moreover, treatment with 7,8-DHF
restored dendritic spine density in several brain regions asso-
ciated with fear memory, including the amygdala and prefron-
tal cortex, and improved the performance in a fear condition-
ing tasks to a level similar to the one of young animals (Zeng
et al. 2012a). In two different Alzheimer mouse models, den-
dritic spine loss could be prevented and spatial memory im-
proved by the administration of 7,8-DHF and of its prodrug
R13 (Chen et al. 2018; Gao et al. 2016). Moreover, R13 res-
cued dendritic spine density and promoted spine maturation in
neurons of the perirhinal cortex in a mouse model of the X-
linked cyclin-dependent kinase-like 5 deficiency disorders
(Ren et al. 2019). These structural improvements were accom-
panied by the rescue of LTP and visual recognition memory
(Ren et al. 2019). Finally, postnatal injection with 7,8-DHF in
a mouse model of Down syndrome rescued dendritic spine
number and levels of the presynaptic protein synaptophysin
(Stagni et al. 2017) and was able to ameliorate the
TrkB/p75NTR imbalance, seen in Huntington’s disease
(Garcia-Diaz Barriga et al. 2017). A second well-studied
TrkB agonist, LM22A-4 (Massa et al. 2010), is a small mol-
ecule identified in silico for its high affinity specific binding to
TrkB and has been shown to prevent spine loss in striatal BDNF/TrkB and proBDNF/p75NTR: functional
antagonisms in regulating dendritic spine structure
and plasticity Recently the Met66 variant of the
BDNF pro-peptide has been identified as a new, biologically
active ligand able to modulate neuronal morphology and plas-
ticity. Application of Met66 BDNF pro-peptide to hippocam-
pal neurons resulted in growth cone collapse in a p75NTR-
dependent manner via its interaction with the sortilin-related
Vps10p-domain sorting receptor 2 (SorCS2) known to facili-
tate the interaction of p75NTR with downstream signaling pro-
teins (Anastasia et al. 2013). Moreover, exposure of mature
hippocampal neurons to BDNF pro-peptide significantly re-
duces dendritic spine density via the activation of caspase-3
(Guo et al. 2016). And treatment with purified recombinant
BDNF pro-peptide significantly enhances LTD in a p75NTR-
dependent manner by promoting NMDS-triggered GluA2 en-
docytosis (Mizui et al. 2015). Interestingly, while the Val66
BDNF pro-peptide enhanced LTD, the Met66 variant mark-
edly reduced it (Mizui et al. 2015). Together with the obser-
vation that the Met66 BDNF pro-peptide variant alters its
structure, influencing the interaction with SorCS2 and its bi-
ological activity, the results so far suggest the interesting idea To further evaluate the role of the endogenous proBDNF
in vivo on dendritic spines in depth, a knockin mouse was
generated expressing one mutated, uncleavable probdnf-HA
allele (probdnf-HA/+; Yang et al. 2014b) resulting in the Cell Tissue Res (2020) 382:185–199 193 neurodegenerative, neurodevelopmental, and neuropsychiat-
ric diseases (for review see Duman et al. 2019; Gupta et al. 2013; Li and Pozzo-Miller 2014; Zuccato and Cattaneo 2009),
characterized, among others, by dendritic spine alterations (for
review see Bloss et al. 2011; Qiao et al. 2016; Xu et al. 2014). Thus, the possibility of applying BDNF as a therapeutic agent
has been tested in numerous disease models, and the results
show beneficial effects both in vitro and in vivo (de Pins et al. 2019; Jiao et al. 2016; Khalin et al. 2016; Zuccato and
Cattaneo 2009). However, due to the poor pharmacological
properties of BDNF, clinical trials could not reproduce in
patients the therapeutic efficacy of BDNF observed in animal
models (Lu et al. 2013). Among the possible approaches to
circumvent the poor drug-like properties of BDNF, of rele-
vance, is the development of highly selective TrkB agonists. that the BDNF pro-peptide and its naturally occurring poly-
morphism are negative regulators of neuronal structure and
functional plasticity. Specific TrkB agonists Inhibiting BDNF/TrkB signaling negatively influences den-
dritic spine number (Ji et al. 2010; Kellner et al. 2014; Tyler
and Pozzo-Miller 2001), changes spine morphology towards a
more immature phenotype (Kellner et al. 2014), inhibits long-
term potentiation (Korte et al. 1995; Korte et al. 1998), and
impairs learning and memory processes (Blank et al. 2016;
Heldt et al. 2007). Impaired BDNF/TrkB signaling is associ-
ated with several neurological disorders, including 194 Cell Tissue Res (2020) 382:185–199 MSNs and to improve motor deficits, in a mouse model of
Huntington’s disease (Simmons et al. 2013). Alonso M, Vianna MR, Depino AM, Mello e Souza T, Pereira P, Szapiro
G, Viola H, Pitossi F, Izquierdo I, Medina JH (2002) BDNF-
triggered events in the rat hippocampus are required for both
short- and long-term memory formation. Hippocampus 12:551–560 In summary, the TrkB agonists have shown their propen-
sity to rescue dendritic spine density in aging and in several
disease murine models, contributing to restoring some of the
typical symptoms. In contrast to methods trying to increase
BDNF levels, TrkB agonists have the advantage to avert pos-
sible pleiotropic effects due to binding of BDNF to the
p75NTR, avoiding to activate its negative modulation of spine
structure and plasticity. However, it has to be mentioned that
two independent studies were unable to detect activation of
TrkB signaling by these compounds in vitro (Boltaev et al. 2017; Todd et al. 2014) contradicting previous reports that
propose small molecules as specific TrkB agonists and sug-
gesting that further research is required to identify and screen
molecules. Interestingly, new TrkB agonist monoclonal anti-
bodies have been identified that induce receptor activation in a
manner consistent with the activation profile of BDNF
(Merkouris et al. 2018; Todd et al. 2014) opening new inter-
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The authors declare that they have no conflict of
interest. Conflict of interest
The authors declare that they have no conflict of
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This article does not contain any studies with animals
performed by any of the authors. Ethical approval
This article does not contain any studies with animals
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Attribution 4.0 International License, which permits use, sharing, adap-
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permission directly from the copyright holder. To view a copy of this
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Some properties of (α, β)-fuzzy positive implicative ideals in BCK-algebras
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Acta Scientiarum. Technology/Acta scientiarum. Technology
| 2,013
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Muhammad Zulfiqar1,2 1Department of Mathematics, Quaid-i-Azam University, Islamabad-45320, Pakistan. 2Department of Mathematics, GC University Lahore, Katchery
Road, Lahore-54000, Pakistan. E-mail: mzulfiqarshafi@hotmail.com ABSTRACT. In this paper, by using the concept of belongingness (∈) and quasi-coincidence (q) between
fuzzy points and fuzzy sets, we introduce (α, β)-fuzzy positive implicative ideals in BCK-algebras where α,
β are any of {∈, q, ∈ ˅ q, ∈ ˄ q} with α ≠ ∈ ˄ q. d
C
l
b
b l
i
( )
i
i
id
( ) (
β) f
i i
i
li
i
id
l
(
) Keywords: BCK-algebra; belongingness (∈), quasi-coincidence (q), (α, β)-fuzzy positive implicative ideals, (∈, ∈)-
fuzzy positive implicative ideal. Propriedades de (α, β)-fuzzy positivo ideal implicativo em álgebras BCK RESUMO. O presente estudo utilizou o conceito de pertença (∈) e de quase coincidência (q) entre pontos
fuzzy e conjuntos fuzzy para apresentar o (α, β)-fuzzy positivo ideal implicativo em álgebras BCK, onde α,
β são quaisquer {∈, q, ∈ ˅ q, ∈ ˄ q} com α ≠ ∈ ˄ q. Palavras-chave: álgebra BCK, pertence a, quase coincidência (q), o (α, β)-fuzzy positivo ideal implicativo, ∈ fuz
positivo ideal implicativo. Introduction fuzzy point with a fuzzy set, plays a vital role to
generate some different types of fuzzy subgroups,
called (α, β)-fuzzy subgroups, introduced by
(BHAKAT; DAS, 1996). In particular, (∈, ∈ ∨ q)-
fuzzy subgroup is an important and useful
generalization of the Rosenfeld’s fuzzy subgroups
(ROSENFELD, 1971). (BHAKAT, 1999, 2000)
studied (∈ ∨ q)-level subsets, (∈, ∈ ∨ q)-fuzzy
normal, quasi-normal and maximal subgroups. In
(JUN, 2009), introduced the concept of (∈, ∈ ∨ q)-
fuzzy
subalgebras
in
BCK/BCI-algebras
and
investigated some related results. (ZHAN et al.,
2009) studied (∈, ∈ ∨ q)-fuzzy ideals in BCI-
algebras. (JUN, 2004, 2005) introduced the concept
of (α, β)-fuzzy subalgebras (ideals) of BCK/BCI-
algebras. Recently, (SHABIR et al., 2012) studied
characterizations of hemirings by
)
,
(
q
∨
∈
∈
-fuzzy
ideals. The concept of a fuzzy set, which was published
by (ZADEH, 1965) was applied by many researchers
to generalize some of the basic concepts of algebra. The fuzzy algebraic structures play a vital role in
Mathematics with wide applications in many other
branches such as theoretical physics, computer
sciences, control engineering, information sciences,
coding theory, topological spaces, logic (ZADEH,
2005), set theory, real analysis, measure theory etc. In (Xi, 1991) applied fuzzy subsets in BCK-
algebras and studied fuzzy BCK-algebras. He
defined the concept of fuzzy ideal and fuzzy
positive implicative ideal and he got some
interesting results. The theory of BCK-algebras was initiated by
(IMAI; IS’EKI, 1966). For the general development
of
BCK-algebras,
the
ideal
theory
and
its
fuzzification play an important role. The concept of
implicative ideals in a BCK-algebra was first
introduced by (IS’EKI, 1975) and then the
fuzzification of implicative ideals is studied in (XI,
1991). In (JUN et al., 1994) developed the fuzzy
positive implicative ideals in BCK-algebras. In this paper, we define (α, β)-fuzzy positive
implicative ideals in BCK-algebras where α, β are
any of {∈, q, ∈ ˅ q, ∈ ˄ q} with α ≠ ∈ ˄ q, by using
the concept of belongingness and quasi-coincidence
between fuzzy points and fuzzy sets. http://www.uem.br/acta
ISSN printed: 1806-2563
ISSN on-line: 1807-8664
Acta Scientiarum
Doi: 10.4025/actascitechnol.v35i2.1 http://www.uem.br/acta
ISSN printed: 1806-2563
ISSN on-line: 1807-8664
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ISSN p
ISSN o
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Doi: 10 http://www.uem.br/acta
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ISSN on-line: 1807-8664
Doi: 10.4025/actascitechnol.v35i2.15898 x ∗ y ∈ S, ∀ x, y ∈ S. A fuzzy subset λ of a universe X is a function
from X to the unit closed interval [0, 1], that is λ : X
→ [0, 1]. For a fuzzy set λ of a BCK-algebra X and t
∈ (0, 1], the crisp set A fuzzy subset λ of a universe X is a function
from X to the unit closed interval [0, 1], that is λ : X If we put z = 0, then it follows that I is an ideal. Thus, every positive implicative ideal is an ideal. [
]
→ [0, 1]. For a fuzzy set λ of a BCK-algebra X and t
∈ (0, 1], the crisp set Definition 3.2. (JUN, 1994) A fuzzy set λ of a
BCK-algebra X is called a fuzzy positive implicative
ideal of X if it satisfies (F1) and (F3), where Definition 3.2. (JUN, 1994) A fuzzy set λ of a
BCK-algebra X is called a fuzzy positive implicative
ideal of X if it satisfies (F1) and (F3), where λt = {x ∈ X | λ(x) ≥ t} (
)
(
)
(F1) λ(0) ≥ λ(x),
(F3) λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z),
∀ x, y, z ∈ X. (
)
(
)
(F1) λ(0) ≥ λ(x),
(F3) λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z),
∀ x, y, z ∈ X. is called the level subset of λ (DAS, 1981). is called the level subset of λ (DAS, 1981). A fuzzy set λ of a BCK-algebra X (JUN, 2005)
having the form Clearly z = 0 gives λ is a fuzzy ideal of X. A fuzzy set λ of a BCK-algebra X (JUN, 2005)
having the form Example 3.3. Let X = {0, a, b, c} in which ∗ is
given by Table 1. λ(y) =
≠
=
∈
,
,
0
]1
,0
(
x
y
if
x
y
if
t ∗
0
a
b
c
0
0
0
0
0
a
a
0
0
a
b
b
a
0
b
c
c
c
c
0 is said to be a fuzzy point with support x and value t
and is denoted by xt. is said to be a fuzzy point with support x and value t
and is denoted by xt. Then X is a BCK-algebra (MENG, 1994). λ(x ∗ y) ≥ λ(x) ˄ λ(y), ∀ x, y ∈ X g
g
(1) (x ∗ y) ∗ z = (x ∗ z) ∗ y
(2) (x ∗ z) ∗ (y ∗ z) ≤ x ∗ y
(3) (x ∗ y) ∗ (x ∗ z) ≤ z ∗ y
(4) x ∗ 0 = x
(5) x ∗ (x ∗ (x ∗ y)) = x ∗ y
∀ x, y, z ∈ X. (1) (x ∗ y) ∗ z = (x ∗ z) ∗ y
(2) (x ∗ z) ∗ (y ∗ z) ≤ x ∗ y
(3) (x ∗ y) ∗ (x ∗ z) ≤ z ∗ y (1) (x ∗ y) ∗ z = (x ∗ z) ∗ y
(2) (x ∗ z) ∗ (y ∗ z) ≤ x ∗ y
(3) (x ∗ y) ∗ (x ∗ z) ≤ z ∗ y
(4) x ∗ 0 = x
(5) x ∗ (x ∗ (x ∗ y)) = x ∗ y
∀x y z ∈X Theorem 2.2. (JUN, 2005) Let λ be a fuzzy set
in X. Then λ is a fuzzy subalgebra of X if and only if
λt = {x ∈ X | λ(x) ≥ t} is a subalgebra of X for all
t ∈ (0, 1], for our convenience, the empty set φ is
regarded as a subalgebra of X. ∀ x, y, z ∈ X. A nonempty subset I of a BCK-algebra X is
called an ideal (IS’EKI; TANAKA, 1976) of X if it
satisfies (I1) and (I2), where Preliminaries (MURALI, 2004) defined the concept of
belongingness of a fuzzy point to a fuzzy subset
under a natural equivalence on a fuzzy subset. (PU;
LIU, 1980), give the idea of quasi-coincidence of a Throughout this paper, X always means a BCK-
algebra unless otherwise specified. We also include
some basic aspects that are necessary for this paper. Maringá, v. 35, n. 2, p. 371-377, Apr.-June, 2013 Acta Scientiarum. Technology 372 372 Zulfiqar Zulfiqar By a BCK-algebra (IS’EKI; TANAKA, 1978), we
mean an algebra (X, ∗ , 0) of type (2, 0) satisfying the
axioms: To say that xt ∈ ˅ qλ (xt ∈ ˄ qλ) means that xt ∈ λ
or xtqλ (xt ∈ λ and xtqλ). For all t1, t2 ∈ [0, 1],
min{t1, t2} and max{t1, t2} will be denoted by t1 ˄
t2 and t1 ˅ t2, respectively. (BCK-I)
((x ∗ y) ∗ (x ∗ z)) ∗ (z ∗ y) = 0
(BCK-II)
(x ∗ (x ∗ y)) ∗ y = 0
(BCK-III)
x ∗ x = 0
(BCK-IV)
0 ∗ x = 0
(BCK-V)
x ∗ y = 0 and y ∗ x = 0 imply x = y
∀ x, y, z ∈ X. A fuzzy set λ of a BCK-algebra X is called a fuzzy
ideal (MENG, 1997) of X if it satisfies (F1) and
(F2), where (
)
(F1) λ(0) ≥ λ(x), (F1) λ(0) ≥ λ(x), (F1) λ(0) ≥ λ(x),
(F2) λ(x) ≥ λ(x ∗ y) ˄ λ(y),
∀ x, y ∈ X. (F2) λ(x) ≥ λ(x ∗ y) ˄ λ(y), ∀ x, y, z ∈ X. We can define a partial order ‘‘≤’’ on X by x ≤ y
if and only if x ∗ y = 0. ∀ x, y ∈ X. Let X be a BCK-algebra. A fuzzy set λ in X is said
to be a fuzzy subalgebra (XI, 1991) of X if it satisfies Let X be a BCK-algebra. A fuzzy set λ in X is said
to be a fuzzy subalgebra (XI, 1991) of X if it satisfies Proposition 2.1. (MENG, 1997) In any BCK-
algebra X, the following are true: (1) 3. Fuzzy positive implicative ideals in BCK-algebras (I1) 0 ∈ I, In this section we obtain some properties of
fuzzy positive implicative ideals in BCK-algebras
and investigate their properties. In this section we obtain some properties of
fuzzy positive implicative ideals in BCK-algebras
and investigate their properties. (I2) x ∗ y ∈ I and y ∈ I imply x ∈ I,
∀
X (I2) x ∗ y ∈ I and y ∈ I imply x ∈ I,
∀
X (I2) x ∗ y ∈ I and y ∈ I imply x ∈ I,
∀
X ∀ x, y ∈ X. Definition 3.1. (MENG, 1994) A nonempty
subset I of a BCK-algebra X is called a positive
implicative ideal if it satisfies (I1) and (I3), where A nonempty subset S of a BCK-algebra X is
called a subalgebra (MENG, 1994) of X if it
satisfies (I1) 0 ∈ I,
(I3) (x ∗ y) ∗ z ∈ I and y ∗ z ∈ I imply x ∗ z ∈ I,
∀ x, y, z ∈ X. If we put z = 0, then it follows that I is an ideal. Thus, every positive implicative ideal is an ideal. (I1) 0 ∈ I,
(I3) (x ∗ y) ∗ z ∈ I and y ∗ z ∈ I imply x ∗ z ∈ I,
∀ x, y, z ∈ X. x ∗ y ∈ S, ∀ x, y ∈ S. Acta Scientiarum. Technology is a positive implicative ideal of X. is a positive implicative ideal of X. λ(0) ˅ 0.5 ≥ λ(x)
≥ t
> 0.5 Theorem 3.6. If λ is a fuzzy positive implicative
ideal of a BCK-algebra X, then P = {x ∈ X | λ(x) = λ(0)} P = {x ∈ X | λ(x) = λ(0)} and so is a positive implicative ideal of X. Proof. Straightforward. is a positive implicative ideal of X. λ(0) ≥ t λ(0) ≥ t p
p
Proof. Straightforward. Thus 0 ∈ λt. Let x, y, z ∈ X be such that
(x ∗ y) ∗ z ∈ λt, y ∗ z ∈ λt Thus 0 ∈ λt. Let x, y, z ∈ X be such that
(x ∗ y) ∗ z ∈ λt, y ∗ z ∈ λt x ∗ y ∈ S, ∀ x, y ∈ S. Let s0,
s1, s2 ∈ [0, 1] be such that s0 > s1> s2. We define a
map λ : X → [0, 1] by λ(0) = s0, λ(a) = λ(b) = s1
and λ(c) = s2. Simple calculations show that λ is a
fuzzy ideal of X. But it is not a fuzzy positive
implicative ideal of X, because For a fuzzy point xt and a fuzzy set λ in a set X,
(PU; LIU, 1980), gave meaning to the symbol
xtαλ, where α ∈ {∈, q, ∈ ˅ q, ∈ ˄ q}. A fuzzy
point xt is said to belong to (resp., be quasi-
coincident with) a fuzzy set λ, written as xt ∈ λ
(resp., xtqλ) if λ(x) ≥ t (resp., λ(x) + t > 1). Maringá, v. 35, n. 2, p. 371-377, Apr.-June, 2013 Acta Scientiarum. Technology Some properties of (α, β)-fuzzy positive implicative ideals in BCK-algebras 373 Put x = b, y = a, z = a in (F3) we get
λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z)
λ(b ∗ a) ≥ λ((b ∗ a) ∗ a) ˄ λ(a ∗ a)
λ(a) ≥ λ(a ∗ a) ˄ λ(0)
s1 ≥ λ(0) ˄ λ(0)
≥ s0 ˄ s0
≥ s0
s1 ≥/ s0. (a)
∀ x ∈ X, λ(0) ˅ 0.5 ≥ λ(x)
(b) ∀ x, y, z ∈ X, λ(x ∗ z) ˅ 0.5 ≥ λ((x ∗ y)
∗ z) ˄ λ(y ∗ z). Proof. Suppose that λt is a positive implicative
ideal of X for all t ∈ (0.5, 1]. If there is a ∈ X such
that the condition (a) is not valid, that is, there exist
a ∈ X such that
λ(0) ˅ 0 5 ˂ λ(a) Proof. Suppose that λt is a positive implicative
ideal of X for all t ∈ (0.5, 1]. If there is a ∈ X such
that the condition (a) is not valid, that is, there exist
a ∈ X such that λ(0) ˅ 0.5 ˂ λ(a) λ(0) ˅ 0.5 ˂ λ(a) The Theorem 3.4 is a simple consequence of the
transfer principle described in (KONDO; DUDEK,
2005). then λ(a) ∈ (0.5, 1] and a ∈ λλ(a). But λ(0) ˂ λ(a)
implies 0 ∉ λλ(a), a contradiction. Hence (a) is valid. Suppose that then λ(a) ∈ (0.5, 1] and a ∈ λλ(a). But λ(0) ˂ λ(a)
implies 0 ∉ λλ(a), a contradiction. Hence (a) is valid. Suppose that )
Theorem 3.4. A fuzzy set λ in BCK-algebras X
is a fuzzy positive implicative ideal of X if and only if
for every t ∈ (0, 1], λt = {x ∈ X | λ(x) ≥ t} is a
positive implicative ideal of X, where λt ≠ φ . λ(a ∗ c) ˅ 0.5 ˂ λ((a ∗ b) ∗ c) ˄ λ(b ∗ c) = v for some a, b, c ∈ X. Then v ∈ (0.5, 1] and (a ∗
b) ∗ c ∈ λv, b ∗ c ∈ λv. But a ∗ c ∉ λv since λ(a
∗ c) ˂ v. This is a contradiction, and therefore (b) is
valid. Conversely, suppose that λ satisfies conditions
(a) and (b). Let t ∈ (0.5, 1]. For any x ∈ λt, we
have Corollary 3.5. A fuzzy set λ of a BCK-algebra X
is a fuzzy positive implicative ideal if and only if for
any x0 ∈ X, 0
x
P = {x ∈ X | λ(x) ≥ λ(x0)} 0
x
P = {x ∈ X | λ(x) ≥ λ(x0)} is a positive implicative ideal of X. 4. (α, β)-fuzzy positive implicative ideals in BCK-algebras In what follows let α and β denote any one of ∈,
q, ∈ ˅ q, ∈ ˄ q unless otherwise specified. To say
that xtα λ means that xtαλ does not hold. Then Proposition 4.1. (JUN, 2005) For any fuzzy set
λ in X, the condition (1) is equivalent to the
following condition λ(x ∗ z) ˅ 0.5 ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z)
≥ t ˄ t
≥ t
> 0.5 λ(x ∗ z) ˅ 0.5 ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z)
≥ t ˄ t
≥ t
> 0.5 1tx ,
2ty ∈ λ
2
1
)
(
t
t
y
x
∧
∗
∈ λ
(2) 1tx ,
2ty ∈ λ
2
1
)
(
t
t
y
x
∧
∗
∈ λ
(2)
for all x, y ∈ X and t1, t2 ∈ (0, 1]. (2) for all x, y ∈ X and t1, t2 ∈ (0, 1]. and thus A fuzzy set λ in a BCK-algebra X is said to be an
(α, β)-fuzzy subalgebra of X, where α ≠ ∈ ˄ q, if it
satisfies the following condition (JUN, 2005): λ(x ∗ z) ≥ t, 1tx αλ,
2ty αλ
2
1
)
(
t
t
y
x
∧
∗
βλ
(3) (3) Hence is λt is a positive implicative ideal of X. Definition 4.3. A fuzzy set λ of a BCK-algebra
X is called an (α, β)-fuzzy positive implicative ideal
of X, where α ≠ ∈ ˄ q, if it satisfies for all t1, t2 ∈ (0, 1]. Acta Scientiarum. Technology Maringá, v. 35, n. 2, p. 371-377, Apr.-June, 2013 ∀ t, t1, t2 ∈ (0, 1]. y
(g) λ(0) ≥ λ(x) ˄ 0.5, (g) λ(0) ≥ λ(x) ˄ 0.5,
(h) λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˄ 0.5, (g) λ(0) ≥ λ(x) ˄ 0.5,
(h) λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˄ 0.5, Theorem 4.4. For any fuzzy set λ in BCK-
algebra X, the condition (F1) and (F3) are equivalent
to the conditions ∀ x, y, z ∈ X. Proof. Assume that λ is an (∈, ∈ ∨ q)-fuzzy
positive implicative ideal of X. Let x ∈ X and
suppose that λ(x) ˂ 0.5. If λ(0) ˂ λ(x), then λ(0) ˂ t
˂ λ(x) for some t ∈ (0, 0.5) and xt ∈ λ and 0t ∈ λ. Since λ(0) + t ˂ t, we have 0t q λ. It follows that 0t (e) xt ∈ λ 0t ∈ λ,
(f)
1
)
)
((
t
z
y
x
∗
∗
∈ λ,
2
)
(
t
z
y ∗
∈ λ 2
1
)
(
t
t
z
x
∧
∗
∈ λ, 2
1
)
(
t
t
z
x
∧
∗
∈ λ, ∀ t, t1, t2 ∈ (0, 1]. q
∨
∈
λ, a contradiction. Hence λ(0) ≥ λ(x). Now if λ(0) ≥ 0.5, then x0.5 ∈ λ and thus 00.5 ∈ ˅ Proof. Suppose that (F1) is valid and let x ∈
X and t ∈ (0, 1] be such that xt ∈ λ. Then λ(0)
≥ λ(x) ≥ t, and so 0 ∈ λt. Assume that (e) is true. Since q λ. Thus λ(0) ≥ 0.5. Otherwise λ(0) + 0.5 ˂ 0.5 + 0.5 = 1, a contradiction. Consequently, q
y
λ(0) ≥ λ(x) ˄ 0.5, ∀ x ∈ X. Let x, y, z ∈ X and suppose that
λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˂ 0.5. Then
λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z). If not, then λ(x ∗ z) ˂ t ˂ λ((x ∗ y) ∗ z) ˄ λ(y ∗ q
y
λ(0) ≥ λ(x) ˄ 0.5, ∀ x ∈ X. Let x, y, z ∈ X and suppose that
λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˂ 0.5. Then
λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z). xλ(x) ∈ λ, ∀x ∈ X, If λ(x) ˂ 0.5,
then
λ(0) ≥ λ(x) ˄ 0.5
= λ(x)
≥ t
a contradiction Hence we know that λ(x) ≥0 5 and Then for all t1, t2 ∈ (0, 1]. Theorem 4.2. Let λ be a fuzzy set of a BCK-
algebra X . Then λt is a positive implicative ideal of
X for all t ∈ (0.5, 1] if and only if it satisfies Maringá, v. 35, n. 2, p. 371-377, Apr.-June, 2013 Maringá, v. 35, n. 2, p. 371-377, Apr.-June, 2013 Acta Scientiarum. Technology Acta Scientiarum. Technology Zulfiqar Zulfiqar 374 (c) xtαλ 0tβλ, Proof. Straightforward. Proof. Straightforward. Theorem 4.6. A fuzzy set λ in a BCK-algebra X
is an (∈, ∈ ∨ q)-fuzzy positive implicative ideal of X
if and only if it satisfies condition 2
1
)
(
t
t
z
x
∧
∗
βλ, xλ(x) ∈ λ, ∀x ∈ X, it follows from (e) that 0λ(x) ∈ λ so that it follows from (e) that 0λ(x) ∈ λ so that λ(0) ≥ λ(x), ∀ x ∈ X. λ(0) ≥ λ(x), ∀ x ∈ X. Suppose that the condition (F3) holds. Let x, y, z
∈ X and t1, t2 ∈ (0, 1] be such that z) for some t ∈ (0, 0.5). It follows that z) for some t ∈ (0, 0.5). It follows that
((x ∗ y) ∗ z)t ∈ λ, (y ∗ z)t ∈ λ but (x ∗ z)t ˄ t = (x ∗ )
( ,
)
((x ∗ y) ∗ z)t ∈ λ, (y ∗ z)t ∈ λ but (x ∗ z)t ˄ t = (x ∗ z)t
q
∨
∈
λ, 1
)
)
((
t
z
y
x
∗
∗
∈ λ,
2
)
(
t
z
y ∗
∈ λ. 1
)
)
((
t
z
y
x
∗
∗
∈ λ,
2
)
(
t
z
y ∗
∈ λ. a contradiction. Hence
λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z). Whenever
λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˂ 0.5. If
λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ≥ 0.5,
then
((x ∗ y) ∗ z)0.5 ∈ λ and (y ∗ z)0.5 ∈ λ. This implies that
(x ∗ z)0.5 = (x ∗ z)0.5 ˄ 0.5 ∈ ˅ q λ. Therefore λ(0) ≥ 0.5 because if λ(x) ˂ 0.5,
then
λ(x) + 0.5 ˂ 0.5 + 0.5
= 1,
a contradiction. Hence a contradiction. Hence
λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z). Whenever
λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˂ 0.5. If
λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ≥ 0.5,
then
((x ∗ y) ∗ z)0.5 ∈ λ and (y ∗ z)0.5 ∈ λ. This implies that
(x ∗ z)0.5 = (x ∗ z)0.5 ˄ 0.5 ∈ ˅ q λ. Therefore λ(0) ≥ 0.5 because if λ(x) ˂ 0.5,
then
λ(x) + 0.5 ˂ 0.5 + 0.5
= 1,
a contradiction. Hence
λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˄ 0.5. Conversely, assume that λ satisfies condition (g)
and (h). Let x ∈ X and t ∈ (0, 1] be such that xt ∈ λ. Then λ(x) ≥ t. Suppose that λ(0) ˂ t. ∀ t, t1, t2 ∈ (0, 1]. If not, then λ(x ∗ z) ˂ t ˂ λ((x ∗ y) ∗ z) ˄ λ(y ∗ xλ(x) ∈ λ, ∀x ∈ X, xλ(x) ∈ λ, ∀x ∈ X, Taking Hence λ is an (∈, ∈ ∨ q)-fuzzy positive
implicative ideal of X. Hence λ is an (∈, ∈ ∨ q)-fuzzy positive
implicative ideal of X. t = 2
1 (λ(a ∗ c) + (λ((a ∗ b) ∗ c) ˄ λ(b ∗ c) ˄ 0.5)) Theorem 4.7. Let λ be an (∈, ∈ ∨ q)-fuzzy
positive implicative ideal of X such that λ(x) ˂ 0.5
for all x ∈ X. Then λ is an (∈, ∈)-fuzzy positive
implicative ideal of X. Proof. Straightforward. Proof. Straightforward. Theorem 4.8. A fuzzy set λ in BCK-algebra X is
an (∈, ∈ ∨ q)-fuzzy positive implicative ideal of X if
and only if the set λt = {x ∈ X | λ(x) ≥ t} is a
positive implicative ideal of X for all t ∈ (0, 0.5]. λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˄ 0.5 It follows from Theorem 4.6 that λ is an (∈, ∈ ∨
q)-fuzzy positive implicative ideal of X. Proof. Suppose λ is an (∈, ∈ ∨ q)-fuzzy positive
implicative ideal of X and t ∈ (0, 0.5]. Using
Theorem 4.6(g), we have Proof. Suppose λ is an (∈, ∈ ∨ q)-fuzzy positive
implicative ideal of X and t ∈ (0, 0.5]. Using
Theorem 4.6(g), we have Theorem 4.9. Let P be an positive implicative
ideal of X and let λ be a fuzzy set in BCK-algebra X
such that λ(0) ≥ λ(x) ˄ 0.5 for any x ∈ λt
It follows that λ(0) ≥ λ(x) ˄ 0.5 for any x ∈ λt
It follows that
λ(0) ≥ t ˄ 0.5
= t
So that 0 ∈ λt. Let x, y, z ∈ X be such that
(x ∗ y) ∗ z ∈ λt and y ∗ z ∈ λt. Then
λ((x ∗ y) ∗ z) ≥ t and λ(y ∗ z) ≥ t. Using Theorem 4.6(h), we get
λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˄ 0.5
≥ t ˄ t ˄ 0.5
≥ t ˄ 0.5 (i) λ(x) = 0 for all x ∈ X \ P, (j) λ(x) ≥ 0.5 for all x ∈ P. (j) λ(x) ≥ 0.5 for all x ∈ P. Then λ is a (q, ∈ ∨ q)-fuzzy positive implicative
ideal of X. Proof. Let x ∈ X and t ∈ (0, 1] be such that
xtqλ. Then λ(x) + t > 1 and so x ∈ P. Thus λ(x) ≥
0.5 and t > 0.5. Since 0 ∈ P, it follows that Proof. Let x ∈ X and t ∈ (0, 1] be such that
xtqλ. Then λ(x) + t > 1 and so x ∈ P. Thus λ(x) ≥
0.5 and t > 0.5. Since 0 ∈ P, it follows that λ(0) + t > 0.5 + 0.5
= 1 So 0t ∈ ∨ q λ. Let x, y, z ∈ X and t1, t2 ∈ (0, 1] be
such that and so x ∗ z ∈ λt . Hence λt is a positive implicative
ideal of X. 1
)
)
((
t
z
y
x
∗
∗
∈ ∨ q λ and
2t)
z
y
(
∗
∈ ∨ q λ. Maringá, v. 35, n. 2, p. 371-377, Apr.-June, 2013 Maringá, v. 35, n. Some properties of (α, β)-fuzzy positive implicative ideals in BCK-algebras Some properties of (α, β)-fuzzy positive implicative ideals in BCK-algebras 375 λ(0) + t > 2 λ(0)
≥ 2 (λ(x) ˄ 0.5)
= 1
Thus 0t ∈ ˅ q λ. Let x, y, z ∈ X and t1, t2 ∈ (0, 1]
be such that
1
)
)
((
t
z
y
x
∗
∗
∈ λ and
2
)
(
t
z
y ∗
∈ λ. Then
λ((x ∗ y) ∗ z) ≥ t1 and λ(y ∗ z) ≥ t2. Suppose
λ(x ∗ z) ˂ t1 ˄ t2. If λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˂ 0.5, then
λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˄ 0.5
= λ((x ∗ y) ∗ z) ˄ λ(y ∗ z)
≥ t1 ˄ t2. This is a contradiction, and so
λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ≥ 0.5. It follows that
λ(x ∗ z) + t1 ˄ t2 > 2 λ(x ∗ z)
≥ 2 (λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˄ Conversely, assume that λ is a fuzzy set in X
such that is a positive implicative ideal of X. If there is a ∈ X
such that λ(0) ˂ t ˂ λ(a) ˄ 0.5 for some t ∈ (0, 0.5], and so 0 ∉ λt. This is a
contradiction. Hence λ(0) ≥ λ(x) ˄ 0.5, ∀ x ∈ X. λ(0) ≥ λ(x) ˄ 0.5, ∀ x ∈ X. Assume that there exist a, b, c ∈ X such that
λ(a ∗ c) ˂ λ((a ∗ b) ∗ c) ˄ λ(b ∗ c) ˄ 0.5 0.5) So Acta Scientiarum. Technology Then λ((x ∗ y) ∗ z) ≥ t1 and λ(y ∗ z) ≥ t2. λ((x ∗ y) ∗ z) ≥ t1 and λ(y ∗ z) ≥ t2. It follows from (F3) that
λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z)
≥ t1 ˄ t2 λ((x ∗ y) ∗ z) ≥ t1 and λ(y ∗ z) ≥ t2. It follows from (F3) that
λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z)
≥ t1 ˄ t2 λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ≥ 0.5, λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ≥ 0.5,
then λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z)
≥ t1 ˄ t2 So
2
1
)
(
t
t
z
x
∧
∗
∈ λ. Finally suppose that (f) is
valid. Note that for every x, y, z ∈ X, λ(x) + 0.5 ˂ 0.5 + 0.5
= 1, λ(x) + 0.5 ˂ 0.5 + 0.5
1 ((x ∗ y) ∗ z)λ((x ∗ y) ∗ z)∈ λ and (y ∗ z)λ(y ∗ z)∈ λ = 1, a contradiction. Hence Hence Conversely, assume that λ satisfies condition (g)
and (h). Let x ∈ X and t ∈ (0, 1] be such that xt ∈ λ. Then λ(x) ≥ t. Suppose that λ(0) ˂ t. If λ(x) ˂ 0.5,
then (x ∗ z)λ((x ∗ y) ∗ z) ˄ λ(y ∗ z)∈ λ by (f), (x ∗ z)λ((x ∗ y) ∗ z) ˄ λ(y ∗ z)∈ λ by (f), and thus λ(0) ≥ λ(x) ˄ 0.5
= λ(x)
≥ t λ(0) ≥ λ(x) ˄ 0.5
= λ(x)
≥ t λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z). Theorem 4.5. Every (∈ ∨ q, ∈ ∨ q)-fuzzy
positive implicative ideal is an (∈, ∈ ∨ q)-fuzzy
positive implicative ideal. a contradiction. Hence we know that λ(x) ≥ 0.5 and Maringá, v. 35, n. 2, p. 371-377, Apr.-June, 2013 Acta Scientiarum. Technology Some properties of (α, β)-fuzzy positive implicative ideals in BCK-algebras Then λ((x ∗ y) ∗ z) + t1 > 1 and λ(y ∗ z) + t2 > 1. (3) To consider these results to some possible
applications in computer sciences and information
systems in the future. Thus (x ∗ y) ∗ z ∈ P and y ∗ z ∈ P. Acknowledgements The author is very grateful to referees for their
valuable comments and suggestions for improving
this paper. For, (x ∗ y) ∗ z ∉ P (resp. y ∗ z ∉ P), then
λ((x ∗ y) ∗ z) = 0 (resp. λ(y ∗ z) = 0) Consequently IS’EKI, K.; TANAKA, S. An introduction to the theory of
BCK-algebra. Mathematica Japonica, v. 23, n. 1, p. 1-26,
1978. 2
1
)
(
t
t
z
x
∧
∗
∈ ∨q λ. JUN, Y. B. On (α, β)-fuzzy ideals of BCK/BCI-algebras. Scientiae Mathematicae Japonicae, v. 60, n. 3, p. 613-617,
2004. Hence λ is a (q, ∈ ∨ q)-fuzzy positive implicative
ideal of X. JUN, Y. B. On (α, β)-fuzzy subalgebras of BCK/BCI-
algebras. Bulletin of the Korean Mathematical
Society, v. 42, n. 4, p. 703-711, 2005. Acta Scientiarum. Technology λ(x ∗ z) ≥ λ((x ∗ y) ∗ z) ˄ λ(y ∗ z) ˄ 0.5 2, p. 371-377, Apr.-June, 2013 Acta Scientiarum. Technology 376 Zulfiqar (2) To apply this notion to some other
algebraic structures; References and so t1 > 1 (resp. t2 > 1), a contradiction. Since P
is a positive implicative ideal of X, it follows that x ∗
z ∈ P so that λ(x ∗ z) ≥ 0.5. If t1 ≤ 0.5 or t2 ≤ 0.5,
then BHAKAT, S. K. (
q
∨
∈
)-level subsets. Fuzzy Sets and
Systems, v. 103, n. 3, p. 529-533, 1999. BHAKAT, S. K. (∈,
q
∨
∈
)-fuzzy normal, quasinormal BHAKAT, S. K. (∈,
q
∨
∈
)-fuzzy normal, quasinormal
and maximal subgroups. Fuzzy Sets and Systems,
v. 112, n. 2, p. 299-312, 2000. and maximal subgroups. Fuzzy Sets and Systems,
v. 112, n. 2, p. 299-312, 2000. λ(x ∗ z) ≥ 0.5 ≥ t1 ˄ t2
Hence
2
1
)
(
t
t
z
x
∧
∗
∈ λ. If t1 > 0.5 and t2 > 0.5, then
λ(x ∗ z) + t1 ˄ t2 > 0.5 + 0.5
= 1 λ(x ∗ z) ≥ 0.5 ≥ t1 ˄ t2 BHAKAT, S. K.; DAS, P. (∈,
q
∨
∈
)-fuzzy subgroups. Fuzzy Sets and Systems, v. 80, n. 3, p. 359-368, 1996. DAS, P. S. Fuzzy groups and level subgroups. Journal of
Mathematical Analysis and Applications, v. 84, n. 1,
p. 264-269, 1981. λ(x ∗ z) + t1 ˄ t2 > 0.5 + 0.5
= 1 IMAI, Y.; IS´EKI, K. On axiom systems of propositional
calculi XIV. Proceedings of the Japan Academy, v. 42,
n. 1, p. 19-22, 1966. and so IS’EKI, K. On ideals in BCK-algebras. Mathematics
Seminar Notes Kobe University, v. 3, n. 1, p. 1-12, 1975. 2
1
)
(
t
t
z
x
∧
∗
q λ. 2
1
)
(
t
t
z
x
∧
∗
q λ. IS’EKI, K.; TANAKA, S. Ideal theory of BCK-algebras. Mathematica Japonica, v. 21, n. 4, p. 351-366, 1976. Consequently License information: This is an open-access article distributed under the terms of the
Creative Commons Attribution License, which permits unrestricted use, distribution,
and reproduction in any medium, provided the original work is properly cited. Maringá, v. 35, n. 2, p. 371-377, Apr.-June, 2013 Conclusion In the study of fuzzy algebraic system, we see
that the fuzzy positive implicative ideals with special
properties always play a central role. JUN, Y. B. Generalizations of (∈,
q
∨
∈
)-fuzzy subalgebras in BCK/BCI-algebras. Computers and Mathematics with
Applications, v. 58, n. 7, p. 1383-1390, 2009. In this paper, we define (α, β)-fuzzy positive
implicative ideals in BCK-algebras and give several
properties of fuzzy positive implicative ideals in
BCK-algebras in terms of these notions. JUN, Y. B.; HONG, S. M.; MENG, J.; XIN, X. L. Characterizations of fuzzy positive implicative ideals in
BCK-algebras. Mathematica Japonica, v. 40, n. 3,
p. 503-507, 1994. We believe that the research along this direction
can be continued, and in fact, some results in this
paper have already constituted a foundation for
further
investigation
concerning
the
further
development of fuzzy BCK-algebras and their
applications in other branches of algebra. In the
future study of fuzzy BCK-algebras, perhaps the
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ideals of BCK-algebras. Fuzzy Sets and Systems, v. 89,
n. 2, p. 243-248, 1997. (1) To characterize other classes of BCK-
algebras by using this notion; MURALI, V. Fuzzy points of equivalent fuzzy subsets. Information Sciences, v. 158, n. 1, p. 277-288, 2004. Maringá, v. 35, n. 2, p. 371-377, Apr.-June, 2013 Maringá, v. 35, n. 2, p. 371-377, Apr.-June, 2013 Acta Scientiarum. Technology Some properties of (α, β)-fuzzy positive implicative ideals in BCK-algebras 377 Some properties of (α, β)-fuzzy positive implicative ideals in BCK-algebras PU, P. M.; LIU, Y. M. Fuzzy topology I: neighourhood
structure of a fuzzy point and Moore-Smith convergence. ZADEH, L. A. Toward a generalized theory of uncertainty
(GTU)-an outline. Information Sciences, v. 172, n. 1-2,
p. 1-40, 2005. ZHAN, J.; JUN, Y. B.; DAVVAZ, B. On (∈, ∈ ∨ q)-fuzzy
ideals of BCI-algebras Iranian Journal of Fuzzy
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p. 1-40, 2005. y
g
Journal of Mathematical Analysis and Applications,
v. 76, n. 2, p. 571-599, 1980. ZHAN, J.; JUN, Y. B.; DAVVAZ, B. On (∈, ∈ ∨ q)-fuzzy
ideals of BCI-algebras Iranian Journal of Fuzzy
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M.;
NAWAZ,
Y.;
MAHMOOD,
T. Characterizations of hemirings by
)
,
(
q
∨
∈
∈
-fuzzy ideals, Neural
Computing
and
Applications,
v. 21,
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Toxicological Profile of Nanostructured Bone Substitute Based on Hydroxyapatite and Poly(lactide-co-glycolide) after Subchronic Oral Exposure of Rats
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Nanomaterials
| 2,020
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cc-by
| 13,843
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Received: 28 March 2020; Accepted: 17 April 2020; Published: 9 May 2020 Abstract: Novel three-dimensional (3D) nanohydroxyapatite-PLGA scaffolds with high porosity
was developed to better mimic mineral component and microstructure of natural bone. To perform
a final assessment of this nanomaterial as a potential bone substitute, its toxicological profile was
particularly investigated. Therefore, we performed a comet assay on human monocytes for in vitro
genotoxicity investigation, and the systemic subchronic toxicity investigation on rats being per
oral feed with exactly administrated extract quantities of the nano calcium hydroxyapatite covered
with tiny layers of PLGA (ALBO-OS) for 120 days. Histological and stereological parameters of
the liver, kidney, and spleen tissue were analyzed. Comet assay revealed low genotoxic potential,
while histological analysis and stereological investigation revealed no significant changes in exposed
animals when compared to controls, although the volume density of blood sinusoids and connective
tissue, as well as numerical density and number of mitosis were slightly increased. Additionally,
despite the significantly increased average number of the Ki67 and slightly increased number of
CD68 positive cells in the presence of ALBO-OS, immunoreactive cells proliferation was almost
neglected. Blood analyses showed that all of the blood parameters in rats fed with extract nanomaterial
are comparable with corresponding parameters of no feed rats, taken as blind probe. This study
contributes to the toxicological profiling of ALBO-OS scaffold for potential future application in bone
tissue engineering. Keywords: hydroxyapatite; bone substitute; genotoxicity; subchronic toxicity; biocompatibility nanomaterials nanomaterials nanomaterials nanomaterials Toxicological Profile of Nanostructured Bone
Substitute Based on Hydroxyapatite and
Poly(lactide-co-glycolide) after Subchronic Oral
Exposure of Rats Smiljana Paraš 1, Dijana Triši´c 2
, Olivera Mitrovi´c Ajti´c 3, Bogomir Proki´c 4,
Damjana Drobne 5
, Slavoljub Živkovi´c 2 and Vukoman Jokanovi´c 6,7,* Smiljana Paraš 1, Dijana Triši´c 2
, Olivera Mitrovi´c Ajti´c 3, Bogomir Proki´c 4,
Damjana Drobne 5
, Slavoljub Živkovi´c 2 and Vukoman Jokanovi´c 6,7,* 1
Faculty of Science and Mathematics, University of Banja Luka,
78000 Banja Luka, Republic of Srpska, Bosnia and Herzegovina; sm 2
Faculty of Dental Medicine, University of Belgrade, 11000 Belgrade, Serbia;
dijana.trisic@stomf.bg.ac.rs (D.T.); s.zivkovic@stomf.bg.ac.rs (S.Ž.) 3
Department for Molecular Oncology, Institute for Medical Research, University of Belgrade,
11000 Belgrade, Serbia; oliveram@imi.bg.ac.rs g
g
4
School of Veterinary Medicine, University of Belgrade, 11000 Belgrade, Serbia; bogomirprokic@vet.bg.a y,
y
j
j
,
j
j
,
;
j
j
6
Department of Atomics Physics, Vinˇca Institute of Nuclear Sciences, University of Belgrade,
11000 Belgrade, Serbia 7
ALBOS d.o.o., 11000 Belgrade, Serbia *
Correspondence: vukoman@vinca.rs Received: 28 March 2020; Accepted: 17 April 2020; Published: 9 May 2020 www.mdpi.com/journal/nanomaterials Nanomaterials 2020, 10, 918; doi:10.3390/nano10050918 1. Introduction Increased number of skeletal system disorders, due to the increase of the human lifespan, imposes a
need for a new and more efficient bone healing procedure, since conventional treatments with auto-
and allografts have many drawbacks, such as infections, pain, long-term recovery, and rejection by a Nanomaterials 2020, 10, 918; doi:10.3390/nano10050918 www.mdpi.com/journal/nanomaterials 2 of 21 Nanomaterials 2020, 10, 918 host immune system [1,2]. Tissue engineering, as an interdisciplinary approach integrating biology,
medicine, and engineering, offers an alternative by developing synthetic bone substitutes, which are
able to provide bone repair and regeneration, even at the large scale bone defects [1,3,4]. Biocompatible porous three-dimensional (3D) scaffolds that mimic the natural bone structure
have given the most promising results due to their biostimulative effect on cells proliferation and
neovascularization [1–5]. Besides, these scaffolds have to mimic bone in all biological aspects and
disintegrate at a rate that is similar to the new bone production to achieve the most efficient healing
treatment [6,7]. Among the wide range of biomaterials used for the synthesis of bone scaffolds [8],
hydroxyapatite [HAP, Ca10(PO4)6(OH)2] is one of the most widely utilized, since it possesses structural
and chemical similarity to natural bone. It is biocompatible, bioresorbable, and bioactive, and it enables
excellent cell adhesiveness [4,9–11]. The main drawbacks of HAP represent its lower rate of degradation in comparison to natural
bone, and its mechanical strength, which mostly depends on the microstructure. To overcome it,
HAP was modified due to available nanotechnology and widely combined with synthetic polymers. These composite scaffolds exhibited better mechanical properties and bioactivity, in comparison to
ceramics or polymer alone [9,10,12]. Bearing all that in mind, novel porous bone substitute that is
based on nanostructured HAP covered with thin polymeric film of poly(lactide-co-glycolide) (PLGA)
has been synthesized recently and showed to present excellent biocompatibility through many in vitro
and in vivo investigations, as well as numerous superior characteristics in comparison to commercially
available product [13–15]. However, after being implanted in the tissue, the degradation process of the material in local tissue
occurs, and dissolved products obtain to systematic circulation. The chronical presence of scaffolds’
products in circulation could lead to toxicity, and this aspect of nanostructured HAP has been poorly
investigated so far. 1. Introduction Systemicsubchronictoxicitystudies, usuallyconductedinrodentsbyrepeatedadministrationoftested
compounds for more than 90 days (defined by the international standard ISO 10993: Biological evaluation
of medical devices), are necessary before clinical application of bone substitute, especially at the large
scale bone defects. A combined investigation of genotoxicity in vitro and systemic chronic toxicity could
provide new insights in safety evaluation and potential long-term adverse effects of investigated materials
and its leachable products [16]. The aim of this study was to provide toxicological profile based on in vitro genotoxicity and in vivo
systemic subchronic toxicity. A range of endpoints was evaluated, including biochemical analyses,
and histological and stereological measurements on liver, kidney, and spleen tissues, after 120 days of
oral administration. This study contributes valuable understanding of the novel three-dimensional
(3D) nanohydroxyapatite-PLGA scaffold (ALBO-OS) interaction on the systemic level to organism
under subchronic exposure scenario. 2.1. Test Material A novel composite scaffold that was based on calcium hydroxyapatite and poly(lactide-co-glycolide)
(PLGA), named ALBO-OS, was used for in vivo toxicity study. The detailed procedure of material’s
synthesis and characterization is explained in our previous investigations [13–15], and a summary is given
in this paper. Synthesis and Characterization 2.3. Systemic Subchronic Toxicity Investigation The Ethical Committee of the Faculty of Veterinary Medicine, University of Belgrade and Ministry
of Agriculture and Environment Protection of the Republic of Serbia approved the experimental
protocol (decision number 01-831/2), and realized in accordance with recommendations of European
Good Laboratory Practice (86/609 EEC) related to protection and use of laboratory animals. Synthesis and Characterization Briefly, HAP powder was hydrothermally synthesized from an approximately stoichiometric
mixture of calcium hydroxide (Ca(OH)2) and (NH4)2HPO4 (p.a. Merck KGaA, Darmstadt, Germany). The obtained hydroxyapatite powder was further used for the production of HAP granules. Further,
ceramic slurry was made by mixing HAP granules and starch with water, and then poured over 3 of 21 Nanomaterials 2020, 10, 918 polyurethane foam with the required pore size distribution and dried at room temperature. Finally,
it was heated in an oven at 600 ◦C and sintered at 1200 ◦C for 4 h. The obtained porous HAP
compact was further disintegrated into 300 µm–1 mm granules. Finally, PLGA (Durect Corporation,
Birmingham, AL, USA, 50:50, M = 45,000–70,000) thin film was deposited onto the surface of HA
granules to obtain final product. 2.2. Genotoxicity Investigations In Vitro 2.2.1. Cell Exposure and Viability Evaluation THP-1 cells were seeded in 12-well plates in concentration 15 × 104 cells per well. The next day cells
were exposed to ALBO-OS extract. Extract contained maximal concentrations of Ca2+ ions, which exact
value, was previously exactly ordered by ICP. The concentration corresponded to concentration of released
Ca2+ ions in saturated solution obtained after immersion of 0.05, 5, 10, and 50 mg/mL ALBO OS in
10 mL distilled water with previously adjusted pH at 7.37, during 120 h. For negative control, the cells
were not treated with material, while cells exposed to methyl methanesulfonate (MMS) solution (40 µM)
were used as a positive control. The cells were exposed to various treatments for 1 h, after which they
were centrifuged (200× g, 5 min.) and resuspended in Dulbecco’s phosphate-buffered saline (DPBS,
Sigma-Aldrich, Saint Louis, MO, USA). Prior to alkaline comet assay, Trypan blue exclusion assay [17]
was used for cell viability test. Cells’ viability evaluation was performed by microscopic observation
(AXIO Vert.A1; Carl Zeiss, Jena, Germany) at 400× magnification (with minimum 200 cells/sample). 2.2.2. Alkaline Comet Assay The comet assay (single cell gel electrophoresis assay) was used to detect possible single- strand
DNA breaks, double-strand DNA breaks, alkali labile site, and incomplete excision repair sites [18]. The microscopic slides were pre-coated with 0.5% normal-melting point (NMP) agarose. Cells were mixed
with 1% low-melting point (LMP) agarose and then applied onto slides. After agarose solidification,
the additional layer of 1% LMP agarose was applied, and followed by the slides immersion for 60 min. in alkaline lysis solution (1 M NaCl, 0.1 M EDTA, 10 mM Tris-HCl, 0.1% N-lauroylsarcosine, 1% Triton
X-100, 30 mM NaOH). The slides were further gently washed in distilled water, and immersed for 20 min. in cold electrophoresis buffer (0.3 M NaOH, 1 mM EDTA, pH > 13), followed by the electrophoresis (30 min. at 0.7 V/cm) in the same buffer. At the end of electrophoresis, the slides were neutralized with 0.4 M Tris-HCl
(pH 7.5) and stained with ethidium bromide (10 µg/mL). An epifluorescent microscope (Axio Imager.Z1;
Carl Zeiss, Jena, Germany) at 400× magnification was used for slides analysis. CometAssay software
(developed by Prof. Igor Kononenko research group, Laboratory for Cognitive Modeling, Faculty of
Computer and Information Science, University of Ljubljana) was used to analyze 50 randomly selected
comets per slide. As the DNA damage parameter, the percentage of DNA presence in the comet’s tail
(tail DNA (%)) was used. The measurements were done in three independent repeats. 2.4. Histological and Stereological Analysis The animals were sacrificed by intravenous administration of thiopentone sodium solution
(170 mg/kg). The rats’ livers, kidneys, and spleens were removed, immersed in Buoin’s fixative solution
for 24 h, and, for better absorption, further cut into smaller pieces and then immersed into fresh Buoin’s
solution. Subsequently, all of the dissected organs were prepared for the light microscopy using the
standard tissue preparation procedure. Tissue was embedded in paraffin. Tissue sections of 5 µm
thickness were cut using rotary microtome (Leica rotary Microtome RM 2165, Leica Microsystems,
Wetzlar, Germany). Every fifth section was used for the analysis in order not to repeat the analyzed
structures. Tissue was stained with hematoxylin-eosin (H&E) (Merck KGaA, Darmstadt, Germany). The qualitative analysis of the microscopic slides was performed while using the light microscope
(Leica DM8000 M with MEGA VIEW camera and software system for digital image transfer, Wetzlar,
Germany). For quantitative, stereological analysis, micrographs were acquired in the RGB layout and
converted to binary format. Measurements were made using a stereo-universal test system according to
Cavalier’s principle, while using 16.0 point-counting system (MBF software system Application Suite
3.0.0, MBF Bioscience, Williston, VT, USA), with P2 spacing grid at the maximum 400× magnification. Stained tissue sections of liver, kidney, and spleen were used to measure the number and
volume density (Vv) of epithelial cells. Volume density was calculated through the following formula:
Vv = Pf/Pt (mm0), where Pf represents the number of the desired phase on the test system (epithelial
cells) and Pt represents the total number of points of the test system [19]. The following principle was used for the determination of the number of matches on the test
system: all of the endothelial cells’ nuclei were marked as reference point, while the cells surfaces
were calculated according to the principles: (i) all cells that have a clearly visible contour and nucleus,
(ii) the cells contour do not touch the test system frame, and (iii) the cells contour is clearly visible
without a visible nucleus. The numerical density (Nv) of all epithelial cells was calculated based on the
cell count (Q) in the volume of analyzed tissues (Vo). 2.3.1. Experimental Protocol The investigation included 21 Wistar rats (Ratus norvegicus), at the age 8–12 weeks, and body
weight 240–260 g. Animals were placed in individual cages. During the experiment, the animals were
kept under following conditions: temperature 23 ± 3 ◦C, air humidity 55 ± 5%, 8–12 air changes/h,
and artificial lighting at intervals of 12 h day/night. The animals had free access to food and water. The animal health status was monitored daily during the experiment. 4 of 21 Nanomaterials 2020, 10, 918 Extracts that were obtained after the highest concentration of ALBO OS, obtained during
5 days immersion of material (100 mg/mL) in distilled water (in accordance with the standard ISO
10993-12:2012—Biological evaluation of medical devices—Part 12: Sample preparation and reference
materials) was used for per oral rats feeding. After seven days of adaptation period, the animals
were randomly divided into experimental (n = 12) and control group (n = 9). To the animals in the
experimental group, 1 mL of ALBO-OS extract was per oral fed for 120 days, every day at the same time,
while, for the control group, distilled water was used. During the experiment, control of the health
status, behavior, changes in skin and haircut, food and water consummation, urination, and defecation,
was performed and recorded daily. The body weight of animals was checked after the adaptation
period, and afterward three times through the experiment. 2.3.2. Blood Analysis At the end of the experiment, the blood samples were taken from lateral tail vein for hematological
(leukocytes, thrombocytes, hemoglobin) and biochemical analyses (alanine aminotransaminase (ALT),
aspartate aminotransaminase (AST), urea, creatinine, bilirubin, serum protein, glucose, and alkaline
phosphatase (ALP)). 2.4. Histological and Stereological Analysis The volume of analyzed tissue was evaluated as
the product of the number of counted frames (ΣPi), the space of counted frame (a = 25,002), and the
height factor (h) (the histological section), as presented in the following formula [20]: Nv = Q
Vo=
Q
Pn
i=1 Pi × a × h (mm−3)
(1) (1) MBF software system was used to measure the surface and volume of epithelial cells and nuclei,
by the thickness of their diameters. Measuring the surface of epithelial cells and nuclei enabled the
measurement of the cells, cytoplasm, and nuclei volumes. The ratio between the cells’ nuclei and 5 of 21 Nanomaterials 2020, 10, 918 cytoplasm volumes was used to determine the nucleocytoplasmic ratio (NCO). The mitotic index
was determined as the ratio between the number of cells in mitosis and the total number of cells in
10 visible optical fields per slide, with maximum 200× magnification. 3.1. Genotoxicity Results The results of Trypan blue exclusion assay indicated that none of the nanoHAP-PLGA
concentrations (0.05, 5, 10, and 50 mg/mL) was cytotoxic to THP-1 cells after 1 h exposure. In all tested
samples, cell viability was over 90%. The results of the comet assay showed that none of the used
ALBO-OS concentrations was genotoxic to THP-1 cells (Figure 1). There is no comet tail for any of material’s concentration, which means that there is no damaged
DNK (broken fragments) that would migrate from the “head” during the electrophoresis, like in the
case of positive control, as it can be seen in Figure 1B. 3.2. Systemic Subchronic Toxicity Results 3.2. Systemic Subchronic Toxicity Results 3.2.1. Main Clinical Symptoms and Observations 2.5. Immunohistochemical Analysis For the immunohistochemical analysis, the paraffin tissue sections of rat liver, spleen, and kidney
were analyzed cut at 5 µm, and the slides were heated for 60 min. at 56 ◦C. Prior to the antigen retrieval
step, the sections were deparaffinized and rehydrated through the series of xylenes and alcohols. To block endogenous peroxidase activity, tissue sections were treated with 3% H2O2 solution in PBS. Tor epitope retrieval, tissue sections were heated in microwave oven for 21 min., at 680 W, in 10 mmol/L
citrate buffer, pH 6.0. The tissue sections were incubated with appropriate antibodies (against CD68
(RTU-CD68, Leica, LOT 6000698, Wetzlar, Germany) and Ki67 protein (Monoclonal Mouse Anti-human
Ki67 Antigen, Clone Ki-S5, Sigma-Aldrich, Saint Louis, MO, USA (dilution 1:100)) over night, at +4 ◦C,
in the humid chamber. Streptavidin-biotin technique was used for immunostaining (LSAB+/HRP Kit,
Peroxidase Labeling, K0690, DAKO Cytomation, Glostrup, Denmark). Immunoreactivity complex was
visualized with DAKO Liquid DAB+ Substrate/Chromogen System (Dako, CA, USA, Code No. K3468)
and then counterstained with Mayer’s hematoxylin (Merck, KGaA, Darmstadt, Germany). As negative
control served the tissue sections with omitted primary antibody. For positive control, the tissue
sections that were known to express CD68 and Ki67 were used. CD68 and Ki67 positive cells in tissues
were analyzed by a light microscope (Olympus AX70, Hamburg, Germany) with 40× magnification. In all of analyzed sample of tissue, five hot spots were selected for image analysis in ImageJ
(The National Institutes of Health, Bethesda, MD, USA). Ki67 and CD68 expressions were calculated by
determining the positive Ki67/CD68 areas (brown-colored cells) in microscopic fields (40× magnification),
based on the threshold [21]. Median values of CD68 and Ki67 immunostaining were calculated for each
individual tissue sample and then used for further analysis. 2.6. Statistical Analyses All of the values were presented as mean ± standard deviation. Group comparisons were
performed while using parametric (two-way ANOVA, one-way ANOVA followed by Dunnett’s test
and t-test) or nonparametric tests (Kruskal–Wallis and Mann–Whitney U-test), depending on data
distribution, with significance set at p < 0.05. Statistical software SPSS 20.0 (IBM corp., Armonk, NY,
USA) was used for data processing. 3.2.1. Main Clinical Symptoms and Observations During the course of the exposure, no adverse effects that were related to the behavior of the tested
animals were observed, as investigated at a daily level. No changes in skin and haircut, as well as
changes in food and water consummation, or urinating and defecation, have been reported. Body mass 6 of 21
6 of 22 Nanomaterials 2020, 10, 918
Nanomaterials 2020 10 x FO was measured four times during the experiment, and in all animals it was mildly and consistently
increased through the observation period (Figure 2). mass was measured four times during the experiment, and in all animals it was mildly and
consistently increased through the observation period (Figure 2). mass was measured four times during the experiment, and in all animals it was mildly and
consistently increased through the observation period (Figure 2) Figure 1. (A). Comet assay results: a) first repeat, b) second repeat, c) third repeat. Asterisks denote
the significant differences with respect to the untreated control cells (***p < 0.001; one-way ANOVA,
Dunnett's test). (B). Images of comets for: a) negative control, different concentration of material’s
extract: b) 0.05 mg/ml, c) 5 mg/ml, d) 10 mg/ml, e) 50 mg/ml and f) positive control. Figure 1. (A) Comet assay results: (a) first repeat, (b) second repeat, (c) third repeat. Asterisks denote
the significant differences with respect to the untreated control cells (*** p < 0.001; one-way ANOVA,
Dunnett’s test). (B) Images of comets for: (a) negative control, different concentration of material’s
extract: (b) 0.05 mg/mL, (c) 5 mg/mL, (d) 10 mg/mL, (e) 50 mg/mL and (f) positive control. Figure 1. (A). Comet assay results: a) first repeat, b) second repeat, c) third repeat. Asterisks denote
the significant differences with respect to the untreated control cells (***p < 0.001; one-way ANOVA,
Dunnett's test). (B). Images of comets for: a) negative control, different concentration of material’s
extract: b) 0.05 mg/ml, c) 5 mg/ml, d) 10 mg/ml, e) 50 mg/ml and f) positive control. Figure 1. (A). Comet assay results: a) first repeat, b) second repeat, c) third repeat. Asterisks denote
the significant differences with respect to the untreated control cells (***p < 0.001; one-way ANOVA,
Dunnett's test). (B). Images of comets for: a) negative control, different concentration of material’s
extract: b) 0.05 mg/ml, c) 5 mg/ml, d) 10 mg/ml, e) 50 mg/ml and f) positive control. Figure 1. 3.2.2. Results of Blood Analysis The hemoglobin and thrombocytes values were fairly similar in the experimental and control
group. Significantly higher leukocyte values were found in the control group, p < 0.001 (Table 1). The hemoglobin and thrombocytes values were fairly similar in the experimental and control
group. Significantly higher leukocyte values were found in the control group, p < 0.001 (Table 1). Table 1. Results of blood analysis; values are shown as mean ± SD (*** p < 0.001; t-test). ALBO-OS
Control
Leucocytes
4.12 ± 1.94
6.83 ± 0.77 ***
Hemoglobin
144 ± 8.26
140.8 ± 6.76
Thrombocytes
566.56 ± 269.54
713.20 ± 181.58 Table 1. Results of blood analysis; values are shown as mean ± SD (*** p < 0.001; t-test). ALBO-OS
Control
Leucocytes
4.12 ± 1.94
6.83 ± 0.77 ***
Hemoglobin
144 ± 8.26
140.8 ± 6.76
Thrombocytes
566.56 ± 269.54
713.20 ± 181.58 In Table 2, the results of the analysis of the biochemical parameters are presented. No significant
differences were found for urea, creatinine, and bilirubin values. The ALT level and glucose were
slightly higher in the experimental group when compared to the control, while the AST level was
higher in the control versus the experimental group, all without significant differences. The alkaline
phosphatase values were higher in the experimental group, and this difference was highly statistically
significant (p < 0.003). Table 2. Results of analysis of biochemical parameters; the values are shown as mean ± SD
(*** p < 0.001; t-test). Table 2. Results of analysis of biochemical parameters; the values are show
(*** p < 0.001; t-test). ALBO-OS
Control
ALT
74.50 ± 23.07
71.50 ± 31.11
AST
630.50 ± 637.22
844.32 ± 838.57
Urea
5.68 ± 0.81
5.21 ± 0.36
Creatinine
42.30 ± 5.50
40.00 ± 4.84
Bilirubin
1.12 ± 0.51
1.01 ± 0.32
Glucose
6.23 ± 1.70
5.48 ± 0.99
ALP
81.50 ± 13.91 ***
63.00 ± 9.80
3.2.3. Histological and Stereological Analysis of the Liver Tissue 3.2.3. Histological and Stereological Analysis of the Liver Tissue The morphology of the liver tissue (of animals orally exposed to ALBO-OS extract) was not
significantly different to the control. Hepatocytes and hepatic plaques were normal and neatly placed,
without abnormality in the form of a central vein. There were no pathological changes in liver tissue,
such as cysts, fibrosis, loss of hepatocytes, necrosis, or lymphocyte aggregates, due to inflammatory
reactions, in the experimental or in control group. 3.2.1. Main Clinical Symptoms and Observations (A) Comet assay results: (a) first repeat, (b) second repeat, (c) third repeat. Asterisks denote
the significant differences with respect to the untreated control cells (*** p < 0.001; one-way ANOVA,
Dunnett’s test). (B) Images of comets for: (a) negative control, different concentration of material’s
extract: (b) 0.05 mg/mL, (c) 5 mg/mL, (d) 10 mg/mL, (e) 50 mg/mL and (f) positive control. Figure 1. (A). Comet assay results: a) first repeat, b) second repeat, c) third repeat. Asterisks denote
the significant differences with respect to the untreated control cells (***p < 0.001; one-way ANOVA,
Dunnett's test). (B). Images of comets for: a) negative control, different concentration of material’s
extract: b) 0.05 mg/ml, c) 5 mg/ml, d) 10 mg/ml, e) 50 mg/ml and f) positive control. Figure 2. Average body weights of experimental and control animals during the study of chronic
systemic toxicity of ALBO-OS. 2 2 R
lt
f Bl
d A
l
i
Figure 2. Average body weights of experimental and control animals during the study of chronic
systemic toxicity of ALBO-OS. Figure 2. Average body weights of experimental and control animals during the study of chronic
systemic toxicity of ALBO-OS. Figure 2. Average body weights of experimental and control animals during the study of chronic
systemic toxicity of ALBO-OS. 2 R
lt
f Bl
d A
l
i
Figure 2. Average body weights of experimental and control animals during the study of chronic
systemic toxicity of ALBO-OS. Figure 2. Average body weights of experimental and control animals during the study of chronic
systemic toxicity of ALBO-OS. Figure 2. Average body weights of experimental and control animals during the study of chronic
systemic toxicity of ALBO-OS. Figure 2. Average body weights of experimental and control animals during the study of chronic
systemic toxicity of ALBO-OS. Figure 2. Average body weights of experimental and control animals during the study of chronic
systemic toxicity of ALBO-OS. 7 of 21 Nanomaterials 2020, 10, 918 3.2.2. Results of Blood Analysis 3.2.2. Results of Blood Analysis Further histological and cytological analysis of liver
tissue was based on the comparison of fifteen stereological parameters (Table 3). The number and
numerical density (p < 0.05), and surface area of capillary endothelial cells (p < 0.05) increased in the
experimental group relative to control (Table 3 and Figure 3A). The digital processing of the cross-section of the liver tissue in the RGB program revealed an
increase in the number, numerical density, and number of mitosis in treated group (Figure 3C). The hepatocytes with two nuclei were revealed in experimental group (Figure 3B,D, red circles),
evidencing the higher number of mitosis, in comparison to the control. Although, the increase was not
statistically significant (p > 0.05) (Table 3). 8 of 21 Nanomaterials 2020, 10, 918 Table 3. Stereological parameters of the liver of the control and treated groups of rats; values are shown
as mean ± SD (* p < 0.05; t-test). Parameter
ALBO-OS
Control
Volume density of hepatocytes (mm0)
0.681 ± 0.032
0.656 ± 0.045
Volume density of capillary sinusoids (mm0)
0.204 ± 0.008
0.163 ± 0.005
Volume density of connective tissue (mm0)
0.138 ± 0.004
0.126 ± 0.003
Number of hepatocytes
273,818.2 ± 24,146.0
255,168.4 ± 21,822.7
Numerical density of hepatocytes (mm−3)
47,887.4 ± 3119.6
44,575.3 ± 2632.9
Surface area of hepatocytes (µm2)
152.8 ± 4.1
148.5 ± 2.9
Surface area of hepatic nucleuses (µm2)
49.2 ± 1.9
46.8 ± 2.1
NCO of hepatocytes
0.383 ± 0.022
0.324 ± 0.023
Mitotic index of hepatocytes
1.77 ± 0.234
1.61 ± 0.24
Number of connective tissue cells
138,442.5 ± 16,443.4
127,486.1 ± 17,518.1
Numerical density of connective tissue cells (mm−3)
24,888.3 ± 3084.8
21,934.4 ± 2366.6
Surface area of connective tissue cells (µm2)
103.4 ± 2.4
99.6 ± 3.3
Number of capillary endothelial cells
328,132.2 ± 32,336.3 *
275,915.5 ± 29,079.0
Numerical density of capillary endothelial cells (mm−3)
53,714.3 ± 953.7 *
48,068.5 ± 2806.7
Surface area of capillary endothelial cells (µm2)
84.5 ± 4.6
75.1 ± 3.9
Nanomaterials 2020, 10, x FOR PEER REVIEW
9 of 22
hepatocytes with two nuclei were revealed in experimental group (Figure 3B and 3D, red circles),
evidencing the higher number of mitosis, in comparison to the control. Although, the increase was
not statistically significant (p > 0.05) (Table 3). Figure 3. Micrographs of the histological cross-section of the liver of the control group (a) and treated
group (b), (hematoxylin-eosin (H&E)). (A). 3.2.2. Results of Blood Analysis White arrows show connective tissue and black show
blood vessels. Magnification 20×; (B). Black arrows show hepatocytes’ nuclei, and red circles show
hepatocytes with two nuclei. Magnification 50×; (C). Red scalpers show hepatocytes’ nuclei. Magnification 50×, digitally processed RGB technique; (D). Black arrows show capillary sinusoids,
and red circles show hepatocytes with two nuclei. Magnification 50×. Figure 3. Micrographs of the histological cross-section of the liver of the control group (a) and treated
group (b), (hematoxylin-eosin (H&E)). (A) White arrows show connective tissue and black show blood
vessels. Magnification 20×; (B) Black arrows show hepatocytes’ nuclei, and red circles show hepatocytes
with two nuclei. Magnification 50×; (C) Red scalpers show hepatocytes’ nuclei. Magnification 50×,
digitally processed RGB technique; (D) Black arrows show capillary sinusoids, and red circles show
hepatocytes with two nuclei. Magnification 50×. Table 3. Stereological parameters of the liver of the control and treated groups of rats; values are shown
as mean ± SD (* p < 0.05; t-test). Parameter
ALBO-OS
Control
Volume density of hepatocytes (mm0)
0.681 ± 0.032
0.656 ± 0.045
Volume density of capillary sinusoids (mm0)
0.204 ± 0.008
0.163 ± 0.005
Volume density of connective tissue (mm0)
0.138 ± 0.004
0.126 ± 0.003
Number of hepatocytes
273,818.2 ± 24,146.0
255,168.4 ± 21,822.7
Numerical density of hepatocytes (mm−3)
47,887.4 ± 3119.6
44,575.3 ± 2632.9
Surface area of hepatocytes (µm2)
152.8 ± 4.1
148.5 ± 2.9
Surface area of hepatic nucleuses (µm2)
49.2 ± 1.9
46.8 ± 2.1
NCO of hepatocytes
0.383 ± 0.022
0.324 ± 0.023
Mitotic index of hepatocytes
1.77 ± 0.234
1.61 ± 0.24
Number of connective tissue cells
138,442.5 ± 16,443.4
127,486.1 ± 17,518.1
Numerical density of connective tissue cells (mm−3)
24,888.3 ± 3084.8
21,934.4 ± 2366.6
Surface area of connective tissue cells (µm2)
103.4 ± 2.4
99.6 ± 3.3
Number of capillary endothelial cells
328,132.2 ± 32,336.3 *
275,915.5 ± 29,079.0
Numerical density of capillary endothelial cells (mm−3)
53,714.3 ± 953.7 *
48,068.5 ± 2806.7
Surface area of capillary endothelial cells (µm2)
84.5 ± 4.6
75.1 ± 3.9
Nanomaterials 2020, 10, x FOR PEER REVIEW
9 of 22
hepatocytes with two nuclei were revealed in experimental group (Figure 3B and 3D, red circles),
evidencing the higher number of mitosis, in comparison to the control. Although, the increase was
i i
ll
i
ifi
(
0 05) (T bl 3) Figure 3. 3.2.2. Results of Blood Analysis Micrographs of the histological cross-section of the liver of the control group (a) and treated
group (b), (hematoxylin-eosin (H&E)). (A). White arrows show connective tissue and black show
blood vessels. Magnification 20×; (B). Black arrows show hepatocytes’ nuclei, and red circles show
hepatocytes with two nuclei. Magnification 50×; (C). Red scalpers show hepatocytes’ nuclei. Magnification 50×, digitally processed RGB technique; (D). Black arrows show capillary sinusoids,
and red circles show hepatocytes with two nuclei. Magnification 50×. Figure 3. Micrographs of the histological cross-section of the liver of the control group (a) and treated
group (b), (hematoxylin-eosin (H&E)). (A) White arrows show connective tissue and black show blood
vessels. Magnification 20×; (B) Black arrows show hepatocytes’ nuclei, and red circles show hepatocytes
with two nuclei. Magnification 50×; (C) Red scalpers show hepatocytes’ nuclei. Magnification 50×,
digitally processed RGB technique; (D) Black arrows show capillary sinusoids, and red circles show
hepatocytes with two nuclei. Magnification 50×. 3.2.4. Histological and Stereological Analysis of the Kidney Tissue
3.2.4. Histological and Stereological Analysis of the Kidney Tissue 3.2.5. Histological and Stereological Analysis of the Spleen Tissue 3.2.5. Histological and Stereological Analysis of the Spleen Tissue Histological analysis revealed no pathological changes in the spleen tissue, such as change in the
morphology of the spleen tissue, loss of lymphocytes, cysts, fibrosis, loss of epithelial and radial cells,
necrosis, or large lymphocytes accumulation. Epithelial, endothelial, and connective tissue cells have
increased in their number, volume density, and numerical density in the treated group when compared
to control (Table 5, Figure 5A,B), mostly with no statistical significance, except for the number of
connective tissue cells (p < 0.05). Table 4. Stereological parameters of kidneys of the control group and treated group of rats; values are
shown as mean ± SD (* p < 0.05; t-test). Table 4. Stereological parameters of kidneys of the control group and treated group of rats; values are
shown as mean ± SD (* p < 0.05; t-test). Table 4. Stereological parameters of kidneys of the control group and treated group of rats; values are
shown as mean ± SD (* p < 0.05; t-test). Parameter
ALBO-OS
Control
Volume density of collecting ductus’ epithelial cells (mm0)
0.34 ± 0.04
0.33 ± 0.04
Volume density of blood sinusoids (mm0)
0.26 ± 0.03
0.23 ± 0.03
Volume density of connective tissue (mm0)
0.11 ± 0.01
0.10 ± 0.01
Volume density of glomeruli (mm0)
0.32 ± 0.04
0.30 ± 0.04
Number of collecting ducts’ epithelial cells
139,562 ± 1523
138,147 ± 3332
Numerical density of collecting ducts’ epithelial cells (mm−3)
20,107 ± 4116
19,572 ± 2621
Surface area of collecting ducts’ epithelial cells (µm2)
209 ± 43
204 ± 50
Surface area of collecting ducts’ epithelial cells nucleuses (µm2)
65 ± 3
63 ± 3
NCO of collecting ducts’ epithelial cells
0.28 ± 0.02
0.26 ± 0.03
Number of connective tissue cells
141,133 ± 18,097
134,698 ± 12,922
Numerical density of connective tissue cells (mm−3)
22,990 ± 2366
22,133.4 ± 2982.2
Surface area of connective tissue cells (µm2)
99 ± 11
102 ± 6
Number of capillary endothelial cells
306,126 ± 24,065
296,854 ± 26,658
Numerical density of capillary endothelial cells (mm−3)
39,141 ± 3342
37,645 ± 4459
Surface area of capillary endothelial cells (µm2)
77 ± 4
75 ± 4
Surface area of glomeruli (µm2)
3086 ± 415
4060 ± 535 *
Bowman’s space
49 ± 4
44 ± 4
Table 5. 3.2.4. Histological and Stereological Analysis of the Kidney Tissue
3.2.4. Histological and Stereological Analysis of the Kidney Tissue Histological analysis revealed no pathological changes in kidney tissue, such as the loss of cells
of collecting ducts, loss of glomeruli, cysts, fibrosis, necrosis, or lymphocyte aggregates and nodules. Additionally, there was no infiltration of inflammatory cells, inflammation or edema in glomeruli. The volume densities of the epithelial cells of the collecting ducts, blood capillaries, connective tissue,
and glomeruli were higher in the treated group when compared to the control (Table 4 and Figure
4A), with no statistical significance. The surface area of the epithelial cells, their nuclei, and the NCO
ratio did not change significantly in the experimental group, as compared to the control (p > 0.05,
Table 4, Figure 4B and 4C). Analysis regarding connective tissue and blood sinusoids showed their
slight change in morphology (p > 0.05, Table 4, and Figure 4D). The surface area of glomeruli
significantly decreased in the experimental group relative to the control (p < 0.05), while the surface
of Bowman’s space slightly increased (Table 4 and Figure 4E). Histological analysis revealed no pathological changes in kidney tissue, such as the loss of cells
of collecting ducts, loss of glomeruli, cysts, fibrosis, necrosis, or lymphocyte aggregates and nodules. Additionally, there was no infiltration of inflammatory cells, inflammation or edema in glomeruli. The volume densities of the epithelial cells of the collecting ducts, blood capillaries, connective tissue,
and glomeruli were higher in the treated group when compared to the control (Table 4 and Figure 4A),
with no statistical significance. The surface area of the epithelial cells, their nuclei, and the NCO ratio
did not change significantly in the experimental group, as compared to the control (p > 0.05, Table 4,
Figure 4B,C). Analysis regarding connective tissue and blood sinusoids showed their slight change in
morphology (p > 0.05, Table 4, and Figure 4D). The surface area of glomeruli significantly decreased in
the experimental group relative to the control (p < 0.05), while the surface of Bowman’s space slightly
increased (Table 4 and Figure 4E). 9 of 21 Nanomaterials 2020, 10, 918 3.2.5. Histological and Stereological Analysis of the Spleen Tissue Magnification 20×; (B) Yellow arrows show nuclei, and red arrows show epithelial
cells of collecting ducts. Magnification 50×; (C) Red arrows show the epithelial cells of collecting ducts. Magnification 50×; digitally processed RGB technique; (D) White arrows show the connective tissue of
collecting ducts. Magnification 50×; and, (E) White arrows show the blood sinusoids of the collection
ducts. Magnification 100×. Nanomaterials 2020, 10, x FOR PEER REVIEW
11 of 22
0.217 ± 0.04
0.167 ± 0.05
223847.1 ±
204568.3 ± 33317.8
241697.6 ± 40694.6
223148.5 ± 20204.4
39905.4 ± 3588.8
78.6 ± 2.5
432527.8 ± 37841.8*
348336.9 ± 2334.7 11 of 22
0.217 ± 0.04
0.167 ± 0.05
223847.1 ±
204568.3 ± 33317.8 N
t i l 2020 10
FOR P EER EER EER REVIEW Figure 4. Micrographs of histological cross-sections of the kidney of the control (a) and treated group
(b), (H&E). (A). White arrows show glomeruli, red arrows show blood sinusoids and yellow arrows
show connective tissue. Magnification 20×; (B). Yellow arrows show nuclei, and red arrows show
epithelial cells of collecting ducts. Magnification 50×; (C). Red arrows show the epithelial cells of
collecting ducts. Magnification 50×; digitally processed RGB technique; (D). White arrows show the
connective tissue of collecting ducts. Magnification 50×; and, (E). White arrows show the blood
sinusoids of the collection ducts. Magnification 100×. Figure 4. Micrographs of histological cross-sections of the kidney of the control (a) and treated group (b),
(H&E). (A) White arrows show glomeruli, red arrows show blood sinusoids and yellow arrows show
connective tissue. Magnification 20×; (B) Yellow arrows show nuclei, and red arrows show epithelial
cells of collecting ducts. Magnification 50×; (C) Red arrows show the epithelial cells of collecting ducts. Magnification 50×; digitally processed RGB technique; (D) White arrows show the connective tissue of
collecting ducts. Magnification 50×; and, (E) White arrows show the blood sinusoids of the collection
ducts. Magnification 100×. 241697.6 ± 40694.6
223148.5 ± 20204.4
39905.4 ± 3588.8
78.6 ± 2.5
432527.8 ± 37841.8*
348336.9 ± 2334.7 3.2.5. Histological and Stereological Analysis of the Spleen Tissue
Histological analysis revealed no pathological changes in the spleen tissue, such as change in the
morphology of the spleen tissue, loss of lymphocytes, cysts, fibrosis, loss of epithelial and radial cells,
necrosis, or large lymphocytes accumulation. 3.2.5. Histological and Stereological Analysis of the Spleen Tissue Stereological parameters of the spleen of the control group and treated group; values are Table 5. Stereological parameters of the spleen of the control group and treated group; values are
shown as mean ± SD (* p < 0.05; t-test). Parameter
ALBO-OS
Control
Volume density of epithelial cells (mm0)
0.382 ± 0.036
0.359 ± 0.029
Volume density of lymphocytes (mm0)
0.409 ± 0.036
0.304 ± 0.058
Volume density of connective tissue (mm0)
0.119 ± 0.023
0.115 ± 0.025
Volume density of blood capillaries (mm0)
0.217 ± 0.04
0.167 ± 0.05
Number of epithelial cells
223,847.1 ± 27,129.8
204,568.3 ± 33,317.8
Numerical density of epithelial cells (mm−3)
37,498.5 ± 3318.7
35,641.8 ± 2625.9
Surface area of epithelial cells (µm2)
128.6 ± 2.7
131.5 ± 4.2
Surface area of epithelial cells’ nucleuses (µm2)
48.2 ± 5.3
41.2 ± 3.1
NCO of epithelial cells
0.274 ± 0.045
0.285 ± 0.052
Number of connective tissue cells
149,901.1 ± 6287.0 *
137,006.4 ± 8694.3
Numerical density of connective tissue cells (mm−3)
26,104.9 ± 2169.8
23,146.3 ± 2871.5
Surface area of connective tissue cells (µm2)
110.0 ± 4.6
105.6 ± 5.7
Number of capillary endothelial cells
241,697.6 ± 40,694.6
223,148.5 ± 20,204.4
Numerical density of capillary endothelial cells (mm−3)
39,905.4 ± 3588.8
34,969.4 ± 2599.3
Surface area of capillary endothelial cells (µm2)
78.6 ± 2.5
74.16 ± 2.3
Number of lymphocytes
432,527.8 ± 37,841.8 *
348,336.9 ± 23,324.7
Numerical density of lymphocytes (mm−3)
57,323.4 ± 2201.4 *
49,131.5 ± 3740.2
Surface area of lymphocytes (µm2)
97.2 ± 3.5
96.4 ± 4.9 10 of 21 10 of 21 Nanomaterials 2020, 10, 918
Surface are
Su Figure 4. Micrographs of histological cross-sections of the kidney of the control (a) and treated group
(b), (H&E). (A). White arrows show glomeruli, red arrows show blood sinusoids and yellow arrows
show connective tissue. Magnification 20×; (B). Yellow arrows show nuclei, and red arrows show
epithelial cells of collecting ducts. Magnification 50×; (C). Red arrows show the epithelial cells of
collecting ducts. Magnification 50×; digitally processed RGB technique; (D). White arrows show the
connective tissue of collecting ducts. Magnification 50×; and, (E). White arrows show the blood
sinusoids of the collection ducts. Magnification 100×. Figure 4. Micrographs of histological cross-sections of the kidney of the control (a) and treated group (b),
(H&E). (A) White arrows show glomeruli, red arrows show blood sinusoids and yellow arrows show
connective tissue. 3.2.5. Histological and Stereological Analysis of the Spleen Tissue Epithelial, endothelial, and connective tissue cells have
increased in their number, volume density, and numerical density in the treated group when
compared to control (Table 5, Figure 5A and 5B), mostly with no statistical significance, except for
the number of connective tissue cells (p < 0.05). The number and numerical density of lymphocytes in the experimental group were higher in
comparison to control (p < 0.05, Table 5, Figure 5C and 5D). A large number of mature lymphocytes
in sinusoids and between the star-shaped epithelial cells of the spleen were observed. Lymphocytes
were highly colored, uniformly distributed, with no signs of focal aggregations in tissue. Table 5. Stereological parameters of the spleen of the control group and treated group; values are
shown as mean ± SD (*p < 0.05; t-test). Parameter
ALBO-OS
Control
Volume density of epithelial cells (mm0)
0.382 ± 0.036
0.359 ± 0.029
Volume density of lymphocytes (mm0)
0.409 ± 0.036
0.304 ± 0.058
Volume density of connective tissue (mm0)
0.119 ± 0.023
0.115 ± 0.025
Figure 5. Micrographs of the histological cross-section of the rat spleen of the control (a) and treated
group (b), (H&E). (A). White arrows show connective tissue and red arrows show lymphatic tissue. Magnification 200×; (B). White arrows show epithelial cells. Magnification 50×; (C). White arrows
show lymphocytes and red arrows show blood vessel. Magnification 50× and, (D). Red arrows show
lymphocytes. Magnification 50×; digitally processed RGB technique. 3 3 6 Expression of Proteins Ki67 and CD68 in Liver Kidney and Spleen
Figure 5. Micrographs of the histological cross-section of the rat spleen of the control (a) and treated
group (b), (H&E). (A) White arrows show connective tissue and red arrows show lymphatic tissue. Magnification 200×; (B) White arrows show epithelial cells. Magnification 50×; (C) White arrows
show lymphocytes and red arrows show blood vessel. Magnification 50× and, (D) Red arrows show
lymphocytes. Magnification 50×; digitally processed RGB technique. ereological Analysis of the
revealed no pathological
n tissue, loss of lymphocyte
cytes accumulation. Epith
er, volume density, and
ble 5, Figure 5A and 5B),
tissue cells (p < 0 05) 3.2.5. 3.2.5. Histological and Stereological Analysis of the Spleen Tissue Histological and Ste
Histological analysis
morphology of the spleen
necrosis, or large lympho
increased in their numb
compared to control (Tab
the number of connective Sp Sp 3.2 Spleen Tissue
changes in the spleen tissu
es, cysts, fibrosis, loss of ep
elial, endothelial, and con
numerical density in th
mostly with no statistical ue, such as change in the
pithelial and radial cells,
nective tissue cells have
he treated group when
significance, except for 5B), the number of connective
The number and nu
comparison to control (p
in sinusoids and between
were highly colored, unif
Table 5. Stereological
shown as mean ± SD ( (p
)
umerical density of lymph
< 0.05, Table 5, Figure 5C
n the star-shaped epithelia
formly distributed, with n
parameters of the spleen of
*p < 0.05; t-test). ocy hocytes in the experimenta
and 5D). A large number
al cells of the spleen were
o signs of focal aggregatio
the control group and treat al group were higher in
of mature lymphocytes
observed. Lymphocytes
ns in tissue. ed group; values are Parameter
ALBO-OS
Control
Volume density of epithelial cells (mm0)
0.382 ± 0.036
0.359 ± 0.029
Volume density of lymphocytes (mm0)
0.409 ± 0.036
0.304 ± 0.058
Volume density of connective tissue (mm0)
0.119 ± 0.023
0.115 ± 0.025
Figure 5. Micrographs of the histological cross-section of the rat spleen of the control (a) and treated
group (b), (H&E). (A). White arrows show connective tissue and red arrows show lymphatic tissue. Magnification 200×; (B). White arrows show epithelial cells. Magnification 50×; (C). White arrows
show lymphocytes and red arrows show blood vessel. Magnification 50× and, (D). Red arrows show
lymphocytes. Magnification 50×; digitally processed RGB technique. Figure 5. Micrographs of the histological cross-section of the rat spleen of the control (a) and treated
group (b), (H&E). (A) White arrows show connective tissue and red arrows show lymphatic tissue. Magnification 200×; (B) White arrows show epithelial cells. Magnification 50×; (C) White arrows
show lymphocytes and red arrows show blood vessel. Magnification 50× and, (D) Red arrows show
lymphocytes. Magnification 50×; digitally processed RGB technique. 11 of 21 Nanomaterials 2020, 10, 918 The number and numerical density of lymphocytes in the experimental group were higher in
comparison to control (p < 0.05, Table 5, Figure 5C,D). A large number of mature lymphocytes in
sinusoids and between the star-shaped epithelial cells of the spleen were observed. 3.2.6. Expression of Proteins Ki67 and CD68 in Liver, Kidney, and Spleen The highest average number of Ki67 positive cells was detected in kidney experimental group,
while the smallest number of Ki67 positive cells were detected in liver control group, which indicated
that the proliferation ratio was different in all three investigated organs (Figure 6). According to
our results, the highest average number of immunoreactive CD68 cells was detected in spleen tissue
samples of experimental group, while the smallest average number of cells were detected in the liver
tissue samples (Figure 7). Nanomaterials 2020, 10, x FOR PEER REVIEW
12 of 22
Nanomaterials 2020, 10, x FOR PEER REVIEW
12 of 22 Figure 6. Representative images of Ki67 protein expression in rats’ liver, kidney and spleen tissue
sections of experimental and control group, 40× magnification. Significant expression of Ki67+ cells
was observed in all groups. Figure 6. Representative images of Ki67 protein expression in rats’ liver, kidney and spleen tissue
sections of experimental and control group, 40× magnification. Significant expression of Ki67+ cells
was observed in all groups. Figure 6. Representative images of Ki67 protein expression in rats’ liver, kidney and spleen tissue
sections of experimental and control group, 40× magnification. Significant expression of Ki67+ cells
was observed in all groups. l
k d
d
l Figure 6. Representative images of Ki67 protein expression in rats’ liver, kidney and spleen tissue
sections of experimental and control group, 40× magnification. Significant expression of Ki67+ cells
was observed in all groups. Figure 6. Representative images of Ki67 protein expression in rats’ liver, kidney and spleen tissue
sections of experimental and control group, 40× magnification. Significant expression of Ki67+ cells
was observed in all groups. Figure 6. Representative images of Ki67 protein expression in rats liver, kidney and spleen tissue
sections of experimental and control group, 40× magnification. Significant expression of Ki67+ cells
was observed in all groups. Figure 7. Representative images of CD68 protein expression in rats’ liver, kidney and spleen tissue
sections of experimental and control group, 40× magnification. Mild expression of CD68+
Figure 7. Representative images of CD68 protein expression in rats’ liver, kidney and spleen tissue
sections of experimental and control group, 40× magnification. Mild expression of CD68+
immunoreactive cells was observed in all groups. Figure 7. Representative images of CD68 protein expression in rats’ liver, kidney and spleen
tissue sections of experimental and control group, 40× magnification. Mild expression of CD68+
immunoreactive cells was observed in all groups. Figure 7. 3.2.5. Histological and Stereological Analysis of the Spleen Tissue Lymphocytes were
highly colored, uniformly distributed, with no signs of focal aggregations in tissue. 3.2.6. Expression of Proteins Ki67 and CD68 in Liver, Kidney, and Spleen Representative images of CD68 protein expression in rats’ liver, kidney and spleen tissue
i
f
i
l
d
l
40
ifi
i
Mild
i
f CD68
Figure 7. Representative images of CD68 protein expression in rats’ liver, kidney and spleen tissue
sections of experimental and control group, 40× magnification. Mild expression of CD68+
immunoreactive cells was observed in all groups
Figure 7. Representative images of CD68 protein expression in rats’ liver, kidney and spleen
tissue sections of experimental and control group, 40× magnification. Mild expression of CD68+
immunoreactive cells was observed in all groups. 12 of 21 Nanomaterials 2020, 10, 918 Differences between the average number of Ki67 positive cells was significantly higher in kidney
tissue samples of experimental group in comparison to control (p < 0.05). Additionally, the average
number of Ki67 positive cells was detected in liver (p < 0.05) and spleen (p < 0.05) experimental groups
in comparison to control (Figure 8A). Figure 7. Representative images of CD68 protein expression in rats’ liver, kidney and spleen tissue
sections of experimental and control group, 40× magnification. Mild expression of CD68+
immunoreactive cells was observed in all groups. Figure 8. Percentage area of Ki67 (A) and immunoreactive CD68+ (B) stained cells was calculated with
ImageJ using 3 images per organ. The results were analyzed with a two-way ANOVA, a p value < 0.05
id
d i
ifi
Figure 8. Percentage area of Ki67 (A) and immunoreactive CD68+ (B) stained cells was calculated with
ImageJ using 3 images per organ. The results were analyzed with a two-way ANOVA, a p value < 0.05
was considered significant; * p < 0.05. Figure 8. Percentage area of Ki67 (A) and immunoreactive CD68+ (B) stained cells was calculated with
ImageJ using 3 images per organ. The results were analyzed with a two-way ANOVA, a p value < 0.05
Figure 8. Percentage area of Ki67 (A) and immunoreactive CD68+ (B) stained cells was calculated with
ImageJ using 3 images per organ. The results were analyzed with a two-way ANOVA, a p value < 0.05
was considered significant; * p < 0.05. was considered significant. The differences between the number of immunoreactive CD68 cells was not statistically significant
in all three groups of investigated organs (Figure 8B). 4. Discussion This study aimed to characterize toxicological potential of ALBO OS scaffold by investigating
its potential genotoxicity in vitro and systemic subchronic toxicity after oral exposure, which is very
important for its potential application in dental medicine. Genotoxicity investigation on THP-1 cells using comet assay showed the lack of damaged DNAs
in the cells that were cultivated in material’s extracts up to concentration 50 mg/mL which highly
suggests that there were no changes inside of the cells on the level of DNA. This is in accordance
with previous investigations that also reported low genotoxicity of hydroxyapatite and PLGA alone,
which are the main components of the ALBO-OS [22–24]. The blood analysis showed that there were no significant changes in the hematological parameters
between the experimental and control group. Neither myelotoxic nor autoimmune effects on peripheral
blood cells were detected in the experimental groups. This is in agreement with previous reports on
the low hazard of these material [13,25]. Among the analyzed biochemical parameters, only alkaline
phosphatase was significantly higher in the experimental group, compared to the control. This difference
indicated the potential of the absorption of calcium and phosphates from ALBO OS, which consequently
might led to an increase of ALP serum [26]. The results of histopathological examination of systemic toxicity on liver, kidney and spleen
sacrified rats after their oral exposure to extract of ALBO OS maximal concentration (100 mg/mL)
during 120 days per oral feeding were particularly important for the determination of the toxicological
profile ALBO OS. Accordingly, the liver is chosen due to its vital role in organism being reflected by its physiological
functions, synthesis and detoxification of various metabolites. In other words, any lesions caused
by drugs, chemicals, and pathological status could interrupt its functions [27]. The ALT level,
which is found primarily in the liver, and is released into the circulation from damaged hepatocytes,
was slightly higher in the experimental group, while the AST level, found in the erythrocytes, myocytes,
and kidney cells also, was higher in the control, without significant differences [27]. Similar results of
biocompatibility investigation of Mg-Zn materials were reported, with the assertion that there was no
change in the hepatocyte architecture and morphology of liver lobules [28]. 4. Discussion 13 of 21 Nanomaterials 2020, 10, 918 The increased mitotic index and the number of hepatocytes with two nuclei could be explained by
the liver adaption to the presence of new material in the organism [29]. It could be assumed that, as a
reaction to chronical presence of ALBO OS extract in organism, the physiological reaction of increased
function occurred. It is interesting to note that immunostaining confirmed parenchymal proliferation
over increased expression value of the Ki67, while a number of immunoreactive CD68 positive cells
remained in the physiological range. The increase in Ki-67 protein expression might be caused by the
fact that posttranscriptional regulatory mechanisms suppress protein synthesis until the cells are at the
G1/S boundary playing a critical role in the regulation of mitosis. In this case, like too many similar
evidences published in other research papers, it seems that Ki67 is involved in the regulation of cell
cycle progression, including DNA replication, higher-order chromatin organization, etc. [30,31]. In our previous study, the effect of calcium silicate and calcium aluminate implantation on
systematic subchronic toxicity was evaluated [32]. It was concluded that materials induced normal
and reversible response in the liver. Namely, the proliferation of parenchymal cells in this case was also
reported, with no visible signs of pathological changes or immunological reaction to the materials [32]. reported, with no visible signs of pathological changes or immunological reaction to the materials [32]. An increase in the number and density of capillary endothelial cells (p < 0.05) (obtained as all other
histological and immunohistochemical parameters included in this paper, by observation 12 animals in
experimental group and nine animals in the control group) indicated a statistically significant increased
blood flow through the liver in experimental group, when comparing with control group of rats,
which is characteristic for processes with more intense blood filtration. Additionally, significant increase
the number of endothelial cells (p < 0.05) participating in the formation of new blood sinusoids was
observed, which indicated that the process of the necessary adaptation of the rats’ liver to ALBO-OS is
occurred. As it is well known, the liver sinusoidal endothelial cells (LSEC) constitute the sinusoidal
wall, or endothelial lining. Therefore, they can be observed as unique capillaries that differ from other
capillaries in the body, because of the presence of open pores or fenestrae lacking a diaphragm and a
basal lamina underneath the endothelium. 4. Discussion Fray has developed a mathematical model suggesting the stretch-dependent
influx of extracellular calcium ions into juxtaglomerular cells to account for the pressure control of renin
secretion [40]. In detail, an increase of the renal artery pressure would enhance the circumferential
stretch of the juxtaglomerular cells, thereby causing membrane depolarization. Therefore, a rise of the intracellular calcium concentration inhibits reining secretion from these
cells, as a consequence of the renal glomeruli shrinkage [29,41,42]. Additionally, the change was
reflected in the slight increase in the surface of Bowman’s space as a sign of increased glomerular
filtration. In our study, while the spleen retained a normal physiological architecture, the number of
lymphocytes increased in the treated rats, thus indicating an immune response to ALBO OS extract. While proliferation of lymphocytes was induced by material during four months of oral administration,
lymphocytes were highly colored, uniformly distributed, with no signs of focal aggregations in
spleen tissue, suggesting mature lymphocytes were predominantly in the tissue, with no signs of
tissue hyperplasia. yp
p
Furthermore, number of CD68 positive immune cells in spleen was similar in the experimental
and control group. In previous investigations of systemic toxicity of new endodontic material based
on hydroxyapatite and calcium silicates, the slight hypertrophic changes in white pulp were reported,
with no adverse effect on the spleen function and its immune response activation [36]. Statistical analysis
showed a significant increase (p < 0.05) of the number of connective cells in the spleen of rats, during the
treatment with ALBO-OS, which is a consequence of the increased production of lymphocytes in the
spleen and their increased activity in the blood. Additionally, the increase of the number and numerical
density of lymphocytes in the spleen of rats during the treatment by ALBO OS was also statistically
significant (p < 0.05). Calcium plays an essential role in the activation and maturation of lymphocytes. As a second
messenger, calcium ions are involved in most biochemical processes that transduce the external
signals into cell responses. An increase in Ca2+ ions and subsequent protein kinase C activation is
indispensable for T-lymphocyte proliferation and an increase of their number [43]. Previous studies
reported that increased Ca2+ ions promotes IL-2 mRNA gene expression and protein synthesis and that
IL-2 is a potent T-lymphocyte growth factor [28,44,45]. 4. Discussion The increasing quantity of the Ca2+ ions, interacting with
lipid soluble ionophores, which transport Ca2+ ions across liver cell membranes, can induce increased
transport Ca2+ ions inside of the liver sinusoidal endothelial cells, influencing their contraction and,
consequently blood flow diminishing through them. Therefore, the balance establishing in blood flow
through sinusoids, the new blood sinusoids should be formed, simultaneously leading to the increased
number of the endothelial cells [20,33–35]. The connective tissue cells, as stromal cells, did not change
their structure or density, suggesting no pathological change on liver tissue occurred during four
months of exposure. Similar to our results, in previous studies of systematic toxicity of new endodontic
materials that are based on calcium hydroxyapatite and calcium silicates, an increased mitotic activity
of parenchymal cells was observed and followed by the increased density of the cells and a moderate
increase in the liver sinusoids and hepatocyte surface [36,37]. The serum levels of creatinine, as an indicator of kidney function and the change of renal
histopathology [38], were very similar in the experimental and control group, as well as values of
urea and bilirubin. In the previous study, the absence of any morphological changes in the kidney
tissue due to the implantation of biocompatible Mg-Nd-Zn-Zr material into the bone of the rabbit was
reported [39], which is in accordance with the presented results. The number of epithelial cells in collecting ducts and the connective tissue cells, as well as other
stereological and cytological parameters, were not significant (p > 0.05), while immunostaining revealed
significantly higher number of Ki67 positive cells, indicating cell proliferation in experimental group,
increased kidney activity, and blood flow. In the study of mineral trioxide aggregate effect on the liver
and kidney function, it was reported that the kidney function had subsequently increased after a month,
while the increased liver function was observed during the first week and further increased during the
observed period [29]. Glomeruli, the beneficial components of the kidneys influenced by all matter
in the blood reacted by shrinkage in the presence of material’s products, while its morphology was
preserved. Besides, the area of renal kidney glomeruli of rats (p < 0.05) was statistically significantly
reduced during the treatment by ALBO-OS, probably as a consequence of the increase of filtration 14 of 21 Nanomaterials 2020, 10, 918 blood flow into the them. 4. Discussion Since spleen primarily acts as the main filter
for blood-borne pathogens and antigens, an increased number of lymphocytes could be explained by
higher blood perfusion through spleen and the presence of the materials’ extract at high concentration
in organism during a prolonged time period [46]. Furthermore, haematological analysis revealed
no increase of lymphocytes in systematic circulation in the experimental group, which implied the
transient and physiological nature of increased spleen tissue lymphocytes. An estimate of blood volume in the rat is 4.7 to 8.0 mL per 100 g body volume (BW) (mean value
7.0 mL) [47]. The BW in our case for all rats were 240–260 g, from which follows that blood quantity
following Lee and Blaufox research [47] was probably between 16.8–18.2 mL. Taking in mind that
all of the experimental rats were fed with 1 mL/day of fresh saturated solution of extract obtained
by immersion 100 mg/mL for 120 days, the total quantity of used extract for 120 days is 120 mL,
which is 6.6–7.1 times higher than the total volume of the blood of rats. Although this is exceptionally
high quantity of Ca2+ ions in rat’s blood, the pathological effect expressed over significant changes of
morphology of tissue of the liver, kidney, and spleen were not registered, suggesting that the used
nanomaterial is biocompatible. Appendix A. Appendix A.1. Physicochemical Characterization of the Extract of the ALBO-OS Scaffolds Appendix A.1. Physicochemical Characterization of the Extract of the ALBO-OS Scaffolds X-ray diffraction (XRD) performed phase analysis of HA using a Philips PW 1050 diffractometer
with Cu-Kα1–2 lamp. The data were collected in the 2θ range from 15–65◦, in steps of 5◦, and 2 s per
step time exposure. The microstructure of the ALBO-OS scaffold was investigated by micro-computed tomography
(µCT) (SkyScan, Bruker 1172, Kontich, Belgium), and for the porosity analysis CTAn 1.14.4.1 software
(SkyScan, Bruker) was used. For the analysis of porosity, a classical method, known as the liquid displacement method,
was also used. The absolute ethanol with density ρ was used as displacement liquid because of its
ability to easily penetrate into the scaffolds without inducing the shrinkage or swelling of the PLGA. The samples, pycnometer, and ethanol were kept at 25 ◦C for 4 h prior to testing. A pycnometer
that was filled with ethanol was weighed, W1. A scaffold sample of weight WS was immersed into
the bottle full of ethanol, and the bottle was then slowly surged until the air in the scaffold was all
removed. At last, the pycnometer was refilled with ethanol and was weighed, W2. The scaffold
saturated with ethanol was taken out of the pycnometer and the pycnometer was weighed, W3. The volume of the scaffold sample was calculated vs. = (W1 −W2 + WS)/ρ, as well as the total volume
of the pores: Vp = (W2 −W3 + WS)/ρ. The porosity of the sample can be calculated by using equation:
P = Vp/(Vp + Vs) = (W2 −W3 −WS)/(W1 −W3) [48]. Scanning electron microscopy (SEM) was used to analyze the material microstructure. For SEM
observations samples were fixated in gradient ethanol concentrations (10–100%) and coated with gold
by sputtering and JEOL JSM-5300 microscope was used. In order to determine the rate of the decomposition/degradation of nanoHAP granules, they were
submerged in mixture of the medium of a phosphate buffer (PBS) and Tris buffer (tris (hydroxymethyl)
amino methane) in the ratio 1:1, with pH 7.37. The rate of degradation was determined as the
difference in the calcium ions concentrations in the medium during experiment in comparison to
starting concentration, and measured by inductively coupled plasma mass spectrometry (iCAP 6500
Duo ICP, Thermo Fisher Scientific, Inc. USA). For these purposes, aliquots of 3 mL of the medium were
taken. 5. Conclusions The tested ALBO OS proved that it could immitate natural bone by its arhitecture and mechanical
properties, as well by the rate of resorption, as confirmed by our previous investigations of its structure
and physico mechanical characteristics briefly described in the Appendix A of this paper. In additon,
this material also showed low hazard potential, as determind by in vitro genotoxicity study and sistemic
toxicity study. Genotoxic study confirmed no genotoxic effect, even at the highest concentration of
the 50 mg ALBO OS/mL. Daily oral administration of ALBO OS extract extremely high concentration 15 of 21 Nanomaterials 2020, 10, 918 (100 mg/mL) through a prolonged time period (120 days of their per oral feeding) induced no adverse
and reversible response in rats’ liver, kidney, and spleen. Despite the significant increase average
number of the Ki67 suggesting cell proliferation, a slight increase in number of immunoreactive CD68
positive cells in the presence of ALBO OS, evidencing no difference in number of tissue immunoreactive
cells, although the proliferation of parenchymal and stromal tissue occurred. This study suggests the
good biocompatibility of novel nanostructured scaffold, which could serve as a suitable candidate for
future investigations generally in regenerative medicine. Author Contributions: Conceptualization, S.Ž. and V.J.; Formal analysis, S.P., D.T. and O.M.A.; Funding acquisition,
D.D.; Investigation, S.P., O.M.A., B.P. and D.D.; Methodology, S.P. and B.P.; Project administration, S.Ž. and V.J.;
Resources, O.M.A., B.P. and S.Ž.; Supervision, V.J.; Visualization, S.P. and D.T.; Writing–original draft, S.P., D.T.,
O.M.A., B.P., D.D., S.Ž. and V.J.; Writing–review & editing, D.T., D.D. and V.J. All authors have read and agreed to the
published version of the manuscript. Funding: This study was supported by the Ministry of Education, Science and Technological Development of the
Republic of Serbia (Project No. 172026), and Slovenian research agency (J1-9162). Conflicts of Interest: The authors declare no conflict of interest. The funders had no role in the design of the
study; in the collection, analyses, or interpretation of data; in the writing of the manuscript, or in the decision to
publish the results. Appendix A. The measurement started 10 minutes after immersion of the granules into the mixed medium
and set according to the following schedule: 10 and 30 min., one, four, and eight hours, one, two, five, Nanomaterials 2020, 10, 918 16 of 21 eight, 12, 15, 19, and 22 days. The obtained values are presented in the diagram depending on the
calcium ions concentration. Compressive strength of the granules ALBO-OS was measured after various immersion times in
balanced salt Hanks solution (8 g NaCl, 0.35 g NaHCO3, 0.4 g KCl, 0.06 g KH2PO4, 0.1 g MgCl2 × 6H2O,
0.14 g CaCl2, 0.06 g Na2HPO4 × 2H2O, 0.06 g MgSO4 × 7H2O, 1 g glucose in 1000 mL of dH2O)
with initial pH value 7.4. The samples were immersed into 10 mL of solution at 37 ◦C following
the schedule. For the test of compressive strength, the porous compacts of nanoHAP were used,
with completely equivalent structure of the ALBO-OS granules, with the dimension of 16 × 16 × 10 mm. For the measurement Instron model 4204 (Instron Corp., Canton, MA, USA) was used, with previous
preparation of the samples by polishing with 600 and 1200 grit sandpaper on an automated rotary
grinder, under gently running tap water, after which they were dried with adsorbent paper. The standard
deviation was determined by measuring strength of the 10 samples. Appendix A.2. A Brief Review of ALBO-OS Structural and Physicochemical Characteristics XRD revealed that the phase composition of the HA corresponds to carbonate calcium
hydroxyapatite Ca10(PO4)6(OH)2 (JCPDS 9–432). All characteristic diffraction peaks were present:
(002) at 25.98◦, (120) at 29.03◦, (121) at 31.87◦, (300) at 33.07◦, (310) at 39.94◦, (222) at 2θ, and (123) at
49.54◦(Figure A1A). Very high porosity of ALBO-OS compact was revealed by liquid displacement method and
particularly micro CT analysis (Figure A1B). The total porosity was 75.4%, which was also the value of
the open porosity. Additionally, a significantly high number of connected pores per mm3 was found,
13.6 in value. Micro CT show very wide pore distribution, as shown in the Table A1. From the Table A1, it is visible that although the average pore volume is the smallest for radius
pore in the range 0.06 mm and 0.1 mm, its number is the highest (almost 2/3 total pore number). Most of
them are in the radius range less than 0.02 mm, (83.3% of total pore number). From the other side,
the number of pores with radius in the range higher than 0.4 mm is only about 5.4%. Nanomaterials 2020, 10, x FOR PEER REVIEW
17 of 22
of the open porosity. Additionally, a significantly high number of connected pores per mm3 was
f
d 13 6 i
l
Mi
CT h
id
di t ib ti
h
i
th T bl S Figure S1. (A). XRD pattern of HA; (B). Micro-CT scan of nanoHAP-PLGA. Figure A1. (A) XRD pattern of HA; (B) Micro-CT scan of nanoHAP-PLGA. Figure S1. (A). XRD pattern of HA; (B). Micro-CT scan of nanoHAP-PLGA. Figure A1. (A) XRD pattern of HA; (B) Micro-CT scan of nanoHAP-PLGA. 17 of 21 Nanomaterials 2020, 10, 918 Table A1. Values of ALBO-OS porosity. Appendix A.2. A Brief Review of ALBO-OS Structural and Physicochemical Characteristics Pore Sizes
Total Pore
Volume (%)
Thickness Distribution
of the Scaffold Inner
Walls (%)
Number of Pores with
Average Radius in the
Given Range
Pores of Average Radius
in the Given Range in
Total Number of Pores (%)
0.06 mm–0.1 mm
2.52
8.90
9333
61.6
0.1 mm–0.2 mm
5.60
64.42
3294
21.7
0.2 mm–0.3 mm
5.83
26.68
737
4.8
0.3 mm–0.4 mm
11.66
/
971
6.4
0.4 mm–0.5 mm
17.44
/
379
2.5
0.5 mm–0.6 mm
18.18
/
216
1.4
0.6 mm–0.7 mm
16.96
/
119
0.8
0.7 mm–0.8 mm
15.06
/
72
0.5
More than 0.8
mm
6.75
/
25
0.2 The SEM micrographs clearly showed that the obtained scaffolds had very porous
three-dimensional (3D) macrostructure (Figure A2). SEM examinations show a well-defined internal
geometry, with fine pores of multimodal diameters, which is particularly visible in Figure A2B. The pores much higher than 5 µm and elongated grains sizes of 5–15 µm, can be noticed in the mean
part of figure, while in the fragments given in the figure edges, very fine porosity can also be noticed,
with elongated and spherical grains sizes order of the 120 nm in radius, being interconnected with
surrounding grains, forming among them pores of similar radius (100 to 130 nm), and grains of mean
diameters from 100 to 220 nm (clearly visible in the higher SEM magnification). The particles are
mostly of polygonal shape, being mutually interconnected into clusters with pores in their centers and
edges, forming characteristic micro- and nano-patterns. Appendix A.2.1. Rate of ALBO-OS Degradation Figure A2 provides the obtained results of the rate of degradation of the ALBO-OS. From the
concentration of the calcium ions in saturated part od the solubility curve, the solubility product was
determined. The obtained value of 7.85 · 10−44 was very close to the product solubility of biological
apatite (3.51 · 10−43) (Figure A2C). The rate of ALBO-OS degradation was examined during prolonged-time period (0–428 h), as it
is shown in histogram in Figure A2D. Changes of the solubility rate as a change of concentration of
calcium ions in the time unit show that in static system the rate of solubility is the extremely high for
initial 8 h measured (0.024 mg/l·h), while, after 120 h, it significantly decreases (0.001 mg/l·h). It can be
noticed that the peak of calcium ion release is present during first five days of immersion. Finally after
528 h it is almost neglectable (7.4 · 10−6 mg/l·h), similarly to the biological apatite. Appendix A.2.2. Change of Compressive Strength during ALBO-OS Degradation Appendix A.2.2. Change of Compressive Strength during ALBO-OS Degradation During six weeks of ALBO-OS immersion in Hanks solution, which has a composition close to
the composition of body fluids, it can be noticed that compressive strength is changed from 15.5 MPa
to 7 MPa. Further changes between 13 and 26 weeks were relatively low (Figure A2E). 18 of 21
19 of 22 18 of 21
19 of 22 Nanomaterials 2020, 10, 918
Nanomaterials 2020 10 x FOR Figure S2. The SEM micrographs of nanoHAP-PLGA (A) 5000x, (B) 50.000x; (C) Change of the Ca2+
concentration in solution containing nanoHAP granules with time; (D) The rate of nanoHAP
degradation during prolonged time period (0–428 h); and, (E) Change of compressive strength during
nanoHAP degradation. Figure A2. The SEM micrographs of nanoHAP-PLGA (A) 5000×, (B) 50,000×; (C) Change of the
Ca2+ concentration in solution containing nanoHAP granules with time; (D) The rate of nanoHAP
degradation during prolonged time period (0–428 h); and, (E) Change of compressive strength during
nanoHAP degradation. Figure S2. The SEM micrographs of nanoHAP-PLGA (A) 5000x, (B) 50.000x; (C) Change of the Ca2+
concentration in solution containing nanoHAP granules with time; (D) The rate of nanoHAP
degradation during prolonged time period (0–428 h); and, (E) Change of compressive strength during
nanoHAP degradation. Figure A2. The SEM micrographs of nanoHAP-PLGA (A) 5000×, (B) 50,000×; (C) Change of the
Ca2+ concentration in solution containing nanoHAP granules with time; (D) The rate of nanoHAP
degradation during prolonged time period (0–428 h); and, (E) Change of compressive strength during
nanoHAP degradation. References
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(CC BY) license (http://creativecommons.org/licenses/by/4.0/). © 2020 by the authors. Licensee MDPI, Basel, Switzerland. References
References This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/). © 2020 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).
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Modern engineering and innovative technologies Issue 6 / Part 4 http://www.moderntechno.de/index.php/meit/article/view/meit06-04-069
DOI: 10.30890/2567-5273.2018-06-04-069 УДК 141.572
SPECIFICATION OF POST-COLLATIONAL RESEARCH IN BELARUS
СПЕЦИФІКА ПОСТКОЛОНІАЛЬНИХ ДОСЛІДЖЕНЬ У БІЛОРУСІ
Voropayeva T S / Воропаєва Т С Voropayeva T.S. / Воропаєва Т.С. к.психол.н., доц. / c.p.s., as.prof. ORCID: 0000-0001-8388-7169
Taras Shevchenko National University of Kyiv,
Kyiv, Volodymyrska Street 60, 01601
Київський національний університет імені Тараса Шевченка,
Київ, вул. Володимирська 60, 01601 Анотація. Стаття присвячена вивченню специфіки постколоніальних досліджень у
Білорусії. У статті досліджуються проблеми розвитку постколоніальної теорії, виникнення
якої обумовлено найважливішими історичними реаліями ХХ століття – розпадом
колоніальної системи та утворенням постколоніального простору. Автор розглядає
інституційний розвиток сучасних постколоніальних досліджень, а також деякі аспекти
адаптації постколоніальної теорії на пострадянському просторі. Теорія постколоніальних
досліджень розглядається як відносно нова наукова методологія аналізу пострадянського
простору, зі значним евристичним потенціалом для білоруської соціогуманітаристики. У
статті розглядається категоріальний статус поняття «постколоніалізм», визначається
його сутність і основні риси. Автор аналізує специфічне розуміння постколоніальної
реальності в сучасній Білорусі. Основною рисою постколоніального дискурсу в Білорусі є
дослідження нових видів культурної та соціальної ідентичності, явищ транзитивності та
кордонів, легітимації місцевих національних наративів. У статті аналізується суть
сучасної неоколоніальної політики, що проводиться окремими країнами. Акцентується увага
на важливості адекватних відповідей, які дає білоруський соціум на історичні виклики
сучасної епохи. Крім того, особлива увага приділяється перспективам використання
постколоніальної стратегії для Білорусі. Ключові
слова:
колоніалізм,
постколоніалізм,
постколоніальні
дослідження,
деколонізація, Білорусь. Вступ. ISSN 2567-5273 Issue 6 / Part 4 Нідерландах, Німеччині, США та в інших країнах. Окрім західних розвідок,
доволі відомими є також південно-азійські дослідження субалтернів (Subaltern
studies), які започаткували процес вивчення різноманітних «Інших» (яким у
європейській
традиції
було
відмовлено
у
праві
голосу),
а
також
латиноамериканські дослідження проблем колективної й індивідуальної
ідентичності та специфіки політико-правових й соціально-економічних аспектів
ситуації у різних постколоніальних країнах. Результати постколоніальних
досліджень публікуються у цілому ряді спеціалізованих журналів, серед яких
«Journal of Postcolonial writing», «Interventions: International Journal of
Postcolonial Studies», «Journal of Postcolonial Europe», «Ab Imperio» та ін. p
p
Отже, виникнення постколоніальної теорії обумовлено найважливішими
історичними реаліями ХХ століття – розпадом колоніальної системи та
утворенням постколоніального простору. Ці зміни привели до започаткування
колективної рефлексії над колоніальним досвідом як у колишніх колоніальних
імперіях, так і в колишніх колоніях, заклавши основу для формування
інтелектуальних постулатів, принципів і установок, які стали теоретичним
фундаментом постколоніальних досліджень. Упродовж кінця ХХ – початку
ХХІ
ст. відбувався
активний
інституційний
розвиток
сучасних
постколоніальних досліджень, теорія постколоніальних досліджень стала
відносно новою науковою методологією аналізу пострадянського простору, зі
значним евристичним потенціалом для білоруської соціогуманітаристики,
зокрема. Вступ. у
Відомо, що упродовж останніх 20 – 27 років у науковому середовищі
нових незалежних держав тривають дискусії щодо можливості/неможливості
перенесення постколоніальної теорії на досвід пострадянських країн [5, с. 116-
125]. У центрі цих дискусій стоїть питання про можливість застосування
термінів «колонізація», «деколонізація» та інших до досвіду Російської імперії
та СРСР, а також питання про те, чи доцільно називати пострадянський простір
постколоніальним. Перші міркування на цю тему з’явились у ЗМІ уже в перші
місяці після краху СРСР. Зокрема, 7 лютого 1992 року А. Празаускас зазначив у
часописі «Независимая газета», що СРСР «силою і за допомогою тотального
контролю утримував разом різноплемінний світ, своєрідний євразійський
паноптикум народів, які не мали між собою нічого спільного, окрім родових
властивостей Homo Sapiens і штучно створених лих», підкреслюючи, що на
місці СРСР утворився постколоніальний простір із характерними для
подібних соціумів проблемами [4]. Сьогодні постколоніальні дослідження є загальносвітовим феноменом,
адже відповідні наукові центри існують в Австралії, Великій Британії, ISSN 2567-5273 Technical sciences 100 Modern engineering and innovative technologies Issue 6 / Part 4 Основний текст. А. Матвеєнко підкреслює, що в сучасному білоруському гуманітарному
дискурсі актуалізується пошук нових дослідницьких стратегій і програм. Домінуючим напрямком є вивчення культурних феноменів з використанням
міждисциплінарних підходів західної культурної антропології та культурних
досліджень (Cultural Studies); поступово адаптується постколоніальна теорія у
рамках білоруської соціогуманітаристики; раніше недосліджені або мало
вивчені соціокультурні практики стають предметом дослідження, що веде до
якісного зростання наукового знання та поповнення інтелектуального
інструментарію білоруської науки [3, с. 69-72]. ру
р
ру
у
[
На думку відомого білоруського дослідника І. Бобкова, «постколоніальні
дослідження, постколоніальні студії» – це «сукупність методологічно й
дисциплінарно гетерогенних, але тематично взаємопов’язаних концептуальних
дискурсів, які усвідомлюють себе в єдиній рамці (мережі) критичних проектів і
програм, спрямованих на подолання наслідків економічної, політичної, але
перш за все культурної та інтелектуальної залежності "незахідного світу" від
"західних" зразків і прототипів» [2, с. 597]. Автор підкреслює, що «у країнах
Західної Європи і Північної Америки постколоніальні дослідження локалізовані
переважно в академічних та університетських межах і набувають форми
наукової теорії – "постколоніальних студій"» [2, с. 597]. Вчений зазначає, що у
незахідному світі постколоніальні студії «реалізуються насамперед через
літературну творчість і есеїстську критику. ... Прийнято вважати, що "вибух
постколоніальності" стався у 1979 році, після виходу в світ книги Е. Саїда ISSN 2567-5273 Technical sciences ISSN 2567-5273 101 Modern engineering and innovative technologies Issue 6 / Part 4 "Орієнталізм"» [2, с. 597]. Дослідник підкреслює, що формально слово
«постколоніальний» означає часовий період – період «після колоніалізму», що
зазвичай інтерпретується як період після моменту здобуття незалежності тією
чи іншою країною. І. Бобков стверджує, що дослідницькі групи, які
орієнтуються на постколоніальні типи дискурсів, існують і на пострадянському
просторі, в першу чергу, в Білорусі та Україні. р
р
р у
р у
ру
р
А. Матвеєнко, підтримуючи думку І. Бобкова, зазначає, що під «західним»
впливом маються на увазі «не економічні аспекти, а сфера знання, зокрема
проекти Просвітництва й Модерну, критичним переосмисленням яких багато в
чому став постмодернізм. Одна з базових ідей стратегії постколоніальних
досліджень полягає в тому, що сучасні соціокультурні освіти розглядаються як
радикально детерміновані минулим історичним досвідом та ідеологічним
контекстом, які часто не здатні розвиватися поза заданими метрополією
алгоритмами і парадигмами. Ключовою особливістю є те, що такий вплив
постає в латентній формі, не проявляє себе у вигляді відкритої і явної
експлікації» [3, с. 73-75]. ISSN 2567-5273 Technical sciences Основний текст. Автор підкреслює, що латентний парадигмальний
зв’язок метрополії і периферії незмінно вносить обмеження в еволюцію
«залежної» соціокультурної системи, не дозволяючи їй конструктивно
використовувати адаптивні механізми й практики, які з мінімальними втратами
знімають ризики конфліктів і напруженості в соціумі [3, с. 69-75]. На думку А. Матвеєнка, «найбільший інтерес представляють перспективи
постколоніальної стратегії саме для Білорусі – для розуміння її історії та
культури, реального стану й формування образу майбутнього. В силу багатьох
причин, однією з яких є відносно недавнє отримання Республікою Білорусь
статусу незалежної суверенної держави на міжнародній арені, набули особливої
важливості для молодої країни питання самолегітимації і самоконцептуалізаціі,
пошуку ідентичностей та реконструкції культурних і історичних реалій, які
привели до формування білорусів як нації». Цей концептуальний порядок
денний «багато в чому, якщо не повністю, збігається з основним змістом
постколоніального дискурсу, ... центральними темами постколоніальних
досліджень стали питання націоналізму, орієнталізму, саморепрезентації,
культурної
ідентичності і
мультикультурної особистості»
[3,
с. 73],
постколоніальні дослідження зосередилися також на проблемах кризи
ідентичності, викликаної ситуацією «прикордоння», звернення до своєї
національної культури та цінностей [3, с. 69-75]. Спільними для білоруських
вчених є такі дослідницькі інтереси: вивчення феноменів пограничності,
транзитивності, особливостей співіснування соціокультурних систем, а також
розвиток полікультурного простору на основі міжетнічної та міжконфесійної
взаємодії. Суперечливі й неоднозначні тлумачення та інтерпретації історичних подій
на території Білорусі мають спільну канву: Білорусь формувалась у складних
геополітичних умовах цивілізаційного протистояння Заходу і Сходу, яке не
завжди мало мирний характер і нерідко приводило до ескалації довготривалих
військових конфліктів. Ця специфічна ситуація бачиться «як простір зіткнення
цивілізацій, західно-латинської та православно-європейської, зіткнення, яке ISSN 2567-5273 Technical sciences Technical sciences 102 Modern engineering and innovative technologies Issue 6 / Part 4 призводить не до розлому або провалу, а утворює особливу конфігурацію
цивілізаційної накладки, коли межа західно-латинських впливів збігається із
східним кордоном Білорусі, а православно-візантійських – із західним» [1, с. 39]. Подібне існування своєрідної буферної міжцивілізаційної зони, на думку А. Матвеєнка, не могло б не призвести до утворення особливої конфігурації
соціокультурних практик та ідейно-ідеологічних цінностей, установок та
ідеалів, які і зараз формують національний наратив у всьому його багатстві й
самобутності [3, с. 69-75]. у
[
Варто звернути увагу на особливий інтерес білоруських інтелектуалів до
тлумачення Білорусі як своєрідного соціокультурного порубіжжя [6], що
яскраво проявляється у діяльності Науково-дослідного Центру перспективних
наукових досліджень і освіти в галузі соціальних і гуманітарних наук, який
видає журнал «Перехрестя» [7]. Основний текст. Окремі закономірності становлення й трансформації соціокультурних
систем та соціокультурної динаміки загалом, що були теоретично розроблені й
концептуально оформлені у рамках білоруських постколоніальних досліджень,
пройшли різні етапи верифікації і на даний момент підтверджуються
емпіричними, статистичними та іншими даними. Таким чином, коректне
використання стратегії постколоніальних студій в наукових дослідженнях має
прогностичний потенціал, що дозволяє з досить високою точністю передбачати
як негативні, так і позитивні результати тих чи інших прийнятих рішень,
знаходити причинно-наслідкові зв’язки в подіях і явищах, які часто здаються
простим збігом обставин [3, с. 69-75]. ISSN 2567-5273 Висновки. Отже,
у
статті
було
розглянуто
категоріальний
статус
поняття
«постколоніалізм», визначена його сутність і основні риси, проаналізовано
специфічне розуміння постколоніальної реальності в сучасній Білорусі. Було
з’ясовано, що основною рисою постколоніального дискурсу в Білорусі є
дослідження нових видів культурної та соціальної ідентичності, явищ
транзитивності й порубіжності, легітимації національних наративів тощо. Аналізуючи
справедливе
твердження
І. Бобкова
про
спрямованість
постколоніальних досліджень на подолання наслідків економічної, політичної,
але, перш за все, культурної та інтелектуальної залежності «незахідного світу»
від «західних» зразків і прототипів» варто зауважити, що і Білорусь, і Україна
були географічно розташовані на заході та південному заході як Російської, так
і Радянської імперій, тому білоруські й українські постколоніальні студії, в
першу чергу, мають бути спрямовані на подолання наслідків економічної,
політичної, культурної та інтелектуальної залежності населення західних та
південно-західних (європейських) територій від нав’язаних їм незахідних
зразків і прототипів. р
р
В грудні 2018 року, після загострення білорусько-російських відносин на
тлі чергових складних переговорів Президента РФ В. Путіна і Президента
Білорусі О. Лукашенка, для громадян Білорусі значно актуалізувалась проблема
сучасної неоколоніальної політики, адже в російському уряді вирішили «бити
білоруську карту» і почали апелювати до букви договору про Союзну державу ISSN 2567-5273 Technical sciences Technical sciences 103 Modern engineering and innovative technologies Issue 6 / Part 4 Росії та Білорусі, де, крім «рівних умов», передбачені поява єдиної валюти,
створення спільних митних органів, судової системи і фактичне об’єднання
двох країн. І політики, і експерти підкреслюють, що злиття двох держав
дозволить В. Путіну вирішити «проблему 2024», коли він просто очолить
Союзну державу, в якій Білорусь фактично стане одним із суб’єктів Російської
Федерації. Після цього дедалі голосніше почали лунати заяви і про «повернення
СНД до складу Росії». Росії та Білорусі, де, крім «рівних умов», передбачені поява єдиної валюти,
створення спільних митних органів, судової системи і фактичне об’єднання
двох країн. І політики, і експерти підкреслюють, що злиття двох держав
дозволить В. Путіну вирішити «проблему 2024», коли він просто очолить
Союзну державу, в якій Білорусь фактично стане одним із суб’єктів Російської
Федерації. Після цього дедалі голосніше почали лунати заяви і про «повернення
СНД до складу Росії». Таким чином, сьогодні надзвичайно важливою є наявність адекватних
відповідей, які мусить дати білоруський народ на історичні виклики
постколоніальної доби. Крім цього, особливу увагу варто приділяти
перспективам використання постколоніальних та деколоніальних стратегій для
подальшого цивілізаційного поступу Білорусі. Література: Література: 1. Бабкоў
І. М. Гісторыя
беларускай
думкі:
метадалогія,
дысцыплінарнасць, канон // Национальная философия в современном мире : сб. ст. / Ин-т философии НАН Беларуси. – Минск, 2010. – С. Висновки. 38-49. 2. Бобков И. М. Постколониальные исследования // Постмодернизм :
энцикл. / сост. и науч. ред.: А. А. Грицанов, М. А. Можейко. – Минск :
Интерпрессервис : Кн. дом, 2001. – С. 597-598. 2. Бобков И. М. Постколониальные исследования // Постмодернизм :
энцикл. / сост. и науч. ред.: А. А. Грицанов, М. А. Можейко. – Минск :
Интерпрессервис : Кн. дом, 2001. – С. 597-598. р р
р
3. Матвеенко А. Г. Постколониальные исследования: проблемы и
перспективы // Веснік Беларускага дзяржаўнага універсітэта культуры і
мастацтваў. – 2016. – №1 (25). – С. 69-75. 3. Матвеенко А. Г. Постколониальные исследования: проблемы и
перспективы // Веснік Беларускага дзяржаўнага універсітэта культуры і
мастацтваў. – 2016. – №1 (25). – С. 69-75. 4. Празаускас А. СНГ как постколониальное пространство // Независимая
газета, Москва; 07.02.1992. – University of Alberta. – [Електронний ресурс]. –
Режим доступу: http://www.ualberta.ca/~khineiko/NG 92 93/1141438.htm. 5. Рябчук М. Разновидности колониализма: о возможностях применения
постколониальной методологии к изучению посткоммунистической Европы //
Политическая концептология. – 2013. – № 3. – С. 116-125. 6. Усманова Э. Восточная Европа как новый подчиненный субъект //
Европейская перспектива Беларуси: интеллектуальные модели / Сост. О. Шпарага. – Вильнюс: ЕГУ, 2007. – С. 105-140. 6. Усманова Э. Восточная Европа как новый подчиненный субъект //
Европейская перспектива Беларуси: интеллектуальные модели / Сост. О. Шпарага. – Вильнюс: ЕГУ, 2007. – С. 105-140. 7. Филатов А. Идея «пограничья» как политика идентичности //
Палітычная сфера. – 2008. – № 10. – С. 39–47. References: f
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f
f y
[
p y
World: Sat. Art.], In-t filosofii NAN Belarusi, Minsk, рр. 38-49. рр
2. Bobkov I. M. (2001). Postkolonial'nyye issledovaniya in Postmodernizm: entsiklopediya
[Postmodernism: Encyclopedia], sost. i nauch. red.: A. A. Gritsanov, M. A. Mozheyko. – Minsk :
Interpresservis : Kn. dom, рр. 597-598. 2. Bobkov I. M. (2001). Postkolonial'nyye issledovaniya in Postmodernizm: entsiklopediya
[Postmodernism: Encyclopedia], sost. i nauch. red.: A. A. Gritsanov, M. A. Mozheyko. – Minsk :
Interpresservis : Kn. dom, рр. 597-598. p
рр
3. Matveyenko A. G. (2016). Postkolonial'nyye issledovaniya: problemy i perspektivy
[Postcolonial studies: problems and prospects] in Viesnik Bielaruskaha dziaržaŭnaha univiersiteta
kuĺtury i mastactvaŭ [Bulletin of the Belarusian State University of Culture and Arts], No. 1 (25),
рр. 69-75. p
рр
3. Matveyenko A. G. (2016). Postkolonial'nyye issledovaniya: problemy i perspektivy
[Postcolonial studies: problems and prospects] in Viesnik Bielaruskaha dziaržaŭnaha univiersiteta
kuĺtury i mastactvaŭ [Bulletin of the Belarusian State University of Culture and Arts], No. 1 (25),
рр. 69-75. 4. Prazauskas A. (1992). SNG kak postkolonial'noe prostranstvo [CIS as post-colonial space] ISSN 2567-5273 Technical sciences 104 Modern engineering and innovative technologies Issue 6 / Part 4 Issue 6 / Part 4 in Nezavisimaya gazeta [Nezavisimaya Gazeta], Moscow, 07.02.1992. University of Alberta, URL:
http://www.ualberta.ca/~khineiko/NG 92 93/1141438.htm in Nezavisimaya gazeta [Nezavisimaya Gazeta], Moscow, 07.02.1992. University of Alberta, URL:
http://www.ualberta.ca/~khineiko/NG 92 93/1141438.htm in Nezavisimaya gazeta [Nezavisimaya Gazeta], Moscow, 07.02.1992
http://www.ualberta.ca/~khineiko/NG 92 93/1141438.htm 5. Ryabchuk M. (2013). Raznovidnosti kolonializma: o vozmozhnostyakh primeneniya
postkolonial'noy metodologii k izucheniyu postkommunisticheskoy Evropy [Varieties of
colonialism: about the application of postcolonial methodology for the study of post-Communist
Europe] in Politicheskaya kontseptologiya [Political Conceptology], No. 3, pp. 116-125. pp
p
gy
y
p
Europe] in Politicheskaya kontseptologiya [Political Conceptology], No. 3, pp. 116-125 p
y
p
g y
p
gy
pp
6. Usmanova E. (2007). Vostochnaya Evropa kak novyy podchinennyy sub’ekt [Eastern
Europe as a new subaltern] in Evropeyskaya perspektiva Belarusi: intellektual'nye modeli
[European perspective of Belarus: intellectual patterns]. Sost. O. Shparaga, Vil'nyus, pp. 105-140. References: p
y
p
g y
p
gy
pp
6. Usmanova E. (2007). Vostochnaya Evropa kak novyy podchinennyy sub’ekt [Eastern
Europe as a new subaltern] in Evropeyskaya perspektiva Belarusi: intellektual'nye modeli
[European perspective of Belarus: intellectual patterns]. Sost. O. Shparaga, Vil'nyus, pp. 105-140. p
p
p
p
p
g
y
pp
7. Filatov
A. (2008). Ideya
«pogranich'ya»
kak
politika
identichnosti
[The «borderland» idea as an identity policy] in Palіtychnaya sfera [Political sphere], No.10, pp. 39-47. Abstract. The article is devoted to the study of the specifics of postcolonial studies in Belarus. The article discusses the problems of the development of postcolonial theory, the emergence of
which is due to the most important historical realities of the twentieth century – the collapse of the
colonial system and the formation of postcolonial space. The author examines the institutional
development of modern postcolonial studies, as well as some aspects of the adaptation of
postcolonial theory in the post-Soviet space. The theory of postcolonial research is considered as a
relatively new scientific methodology for the analysis of the post-Soviet space with a significant
heuristic potential for Belarusian social humanities. The article considers the analyses of
categorical status of the notion «post-colonialism», specifies its essence and main features. The
author analyzes a specific understanding of postcolonial reality in contemporary Belarus. The
principal feature of the post-colonial discourse in Belarus is the research of the new types of
cultural and social identities, of phenomena of transitivity and border, legitimation of local national
narratives. The article analyzes the essence of modern neo-colonial policies pursued by individual
countries. The attention is focused on the importance of adequate answers that Belarusian society
gives to the historical challenges of the modern era. In addition, special attention to the
perspectives of the use of the post-colonial strategy for Belarus. Key words: colonialism, post-colonialism, postcolonial research, decolonization, Belarus. Статья отправлена: 26.12.2018 г. © Воропаева Т.С. ISSN 2567-5273 Technical sciences 105
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جودة الحياة المدرسية وعلاقتها بالدافعية للتعلم لدى تلاميذ المرحلة الابتدائية في المدارس الأهلية والحكومية بالسعودية
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IUGJEPS
Vol 31, No 1, 2023, pp 180 - 204 IUGJEPS
Vol 31, No 1, 2023, pp 180 - 204 IUGJEPS
Vol 31, No 1, 2023, pp 180 - 204 IUG Journal of Educational and Psychological Sciences
Peer-reviewed Journal of Islamic University-Gaza
E-ISSN: 2410-3
P-ISSN: 2410-2 Received on (14-05-2022) Accepted on (21-06-2022)
https://doi.org/10.33976/IUGJEPS.31.1/2023/9
The quality of school life and its relationship to the motivation to learn among primary school Pupils in private
and government schools in Saudi Arabia
Zahraa S. Al Suleiman
Psychology of Education Friday Imam Abd al-Rahman bin Faisal, Saudi Arabia *Corresponding Author: Zozobrave5@gmail.com *Corresponding Author: Zozobrave5@gmail.com Abstract: In general, this study aimed to make the relation between the quality of school life and the desire to learn clear among the
primary-level Pupils, the researcher used the comparative linking descriptive approach for the purpose of achieving the
objectives of the study. The researcher also used the quality of life scale which (Williams and Patten ، 1981) prepared, and
the translation of Nawaf al-Osmy (2014), and the motivation scale for learning prepared by Sarayrah (2015), for collecting
study data from upper-grade Pupils in primary schools. Moreover, when talking about the study sample, we notice that
reached (386) students that they are selected in a simple random way. (
)
y
p
y
Finally, the study leads to a series of results ، most notably: the relation between the quality of school life, the desire to
learn, and its sub-dimensions, which represented in (internal & external motivation), among primary-level students is
positive correlation. The results show also that there are no statistically significant differences in the level of the quality
of school life among the upper grades of primary school putting into consideration the school type variable. The results
revealed finally that there are no statistically significant differences in the desire to learn and its sub-dimensions that are
represented in (internal & external motivation) at the level of the high schools Pupils in the primary school putting into
consideration the school type variable. Finally, the results revealed that there is a clear impact on the quality of school
life for learning among pupils of the higher classes in governmental and non-governmental (31.3%)> The researcher introduced many recommendations, most notably: attentions to student activities which contributes to
enhance the social relations among students, which in turn contributes to improving the quality of school life side by side
ongoing awareness of parents through parents councils which contributes in loving learning among children. Keywords: quality of school life, Motivation to learn and the governmental and non-governmental schools جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في المدارس األهلية
والحكومية بالسعودية
زهراء سليمان آل سليمان
علم النفس التربية
جمعة اإلمام عبد الرحمن بن فيصل المملكة العربية السعودية :امللخص م
هدف البحثدإاىباالبف دددااعالالببيندجادةالالحياالبثةدساالودفدادددةدجاتلبدفلدبةدجابذ بذرابدف ا ي ةد الو ذدجا لالد دفليةدج
اا
لاددد تدف داالبحدس هدجالو ا
لبحصدد االالد حس االورسد كاا سالادد تف اا رةسدالحياالبثةساالوفداددةج
اا الاىعفليا(تبةس زاتدس ال1981
()ات ل جانحل الببصددة اا2014) ات رةسداا
(لبفلدبةجابذ بذراىعفليالبصدد لة اا2015) ابج عادةسنستالبحثإالو هلايفا ذ ة لتالبصدد ح الببذةسادسوفلددا
لالد فليةج
اا
غ با فة جالبف سم اأ ساعة جا
(لبدفدلادددجادردفادذ داا386)ا ذ ةد ااا
اا
تندفاأاددد البحثدإاعالا ج ح عدجا الالب دسي ا
أد زهدس:اا
تلحي
ا
عيندجاا حلحد
ا
ذلتايالبدجاى صدددسيةدجادةالالحياالبثةدساا
لوفداةجاتلبفدلجالبفذةجابذفلدبةجابذ بذراتأدبسيهالب عةجالو هذجايفا(لبفلدبةجالبفلخذةج ا
لبفلدبةجالبتسدلةج)ابف ا ي ة الو ذجا لالد فليةج
اا
ا ساا
ّدة
االب سي اأن االا حلفاد تقايفا سدد ح اا
لحياالبثةساالوفداددةجابف ا ي ة البصدد ح الببذةسادسو ذجا
لالد فليةج
ااّدسخ ي ا ة
انحعالوفداددج
كا
ىضدسدجاىباا ساادح اا
درفاأتضدثاالب سي اأن االا حلفاد تقايفالبفدلجالبفذةجابذفلدبةجابذ بذراتأدبسيهسالب عةجالو هذجايفا(لبفلدبةجالبفلخذةج ا
لبفلدبةجالبتسدلةج)ابف ا ي
ة البصدد ح الببذةسادسو ذجا
لالد فليةج
ااّدسخ ي ا ة
انحعالوفداددج اً تأخةّ لادرفاا دد االب سي اأ
ا
ه سكا أثة ًلاتلضددثًسا
(بجحياالبثةساالوفداددةجاما سدد ح البفلدبةجابذ بذرابف ا ذ ة لتالبصدد ح الببذةسادسوفلددالبثفح ةجاتلبهذةجادذ اانسددح ا31ك3
)% اا
تانف ااا
لبحس هجالببفةفا الالب حصدةست اا
أد زهس:اا
لاله سمادسبن دةجالبةيدةجالب اا سسدسهرايفا بزةزالببينستالالل سعةجادةال
اا
لبةيب
اا
ت زةفا الا سد ح الحيااا
لبثةساالوفداددةجابفة ر
اا بكالب حعةجالوسدد اابتبةساالب حدا الاخيما جسباالادساادأاددسبةعالوبس ذجالبحلبفة
جاا
لب اا سسددسهرايفا بزةزا سدد ح اا
يلدبةجالب بذرابف البد ساك
ا :مقدمة وقد يفوق األمر حدود ذلك في بعض الثقافات وذلك باعتبار ال مدارس
،مسؤولة وخاضعة للمساءلة بشأن أداء الطالب"(الكناني2015
.)
( وكشفت نتائج دراسة الكناني2015)عن وجود
عالقة ارتباطيه دالة إحصائيًّا بين التحصيل وجودة الحياة المدرسية لدى
ّالطالب؛ ألن زيادة جودة الحياة المدرسية تؤدي إلى زيادة التحصيل
،الدراسي(الكناني2015
.)
(كما أشارت نتائج دراسة األسود2017
) إلى وجود عالقة ارتباطية دالة إحصائيًّا بين جودة الحياة والدافعية للتعلم، وأنه
يمكن التنبؤ بالدافعية للتعلم من خالل جودة الحياة، كما أظهرت النتائج وجود مستوى مرتفع في كلٍّّ من جودة الحياة والدافعية ل لتعلم
تطوير جودة الحياة النفسية وتعزيز الدافعية للتعلم
لدى طلبة الجامعة، وقد أوصت الدراسة باعتماد مرشدين بالجامعة يعملون عل أنّ حياة التلميذ العملية تبدأ بتواجده في المدرسة، يمضي فيها وقتًا طويًال يتلقى فيها التربية المناسبة جنبًا إلى جنب مع األسرة
لتجعله شخصً ا إيجابيًّا في المجتمع، فإذا لم تكن أركان الحياة المدرسية متكاملة فقد تتأثر دافعية الطفل للتعلم ويتعرض إلى التعثر
.األكاديمي مما قد يؤثر على جودة حياته في المستقبل
وتُعدّ المدرسة البيئة المناسبة التي تقوم بعملية التربية ونقل الثقافة وتوفير الظروف المناسبة للنمو البدني والعقلي والنفسي
واالجتماعي لتلميذاتها، وألنّ التلميذ هو محور العملية التربوية، فإعداده هو الهد ف األسمى للتربية الذي ينبغي أن يكون في قائمة
ًأولويات العاملين في المجال المدرسي، وال يتحقق هذا الهدف إالّ بتضافر الجهود بين جميع العاملين في المؤسسة التعليمية ابتداء
من اإلدارة وانتهاءً بالمعلم لتوفير بيئة إيجابية مشجعة للتعلم، وتواجه التلميذات في جميع ال مراحل التعليمية مشكالت عديدة تقف
،حائالً دون تحصيلهنّ الدراسي وتكيّفهن االجتماعي ونموهنّ السليم (الرايقي2018
.) أنّ حياة التلميذ العملية تبدأ بتواجده في المدرسة، يمضي فيها وقتًا طويًال يتلقى فيها التربية المناسبة جنبًا إلى جنب مع األسرة
لتجعله شخصً ا إيجابيًّا في المجتمع، فإذا لم تكن أركان الحياة المدرسية متكاملة فقد تتأثر دافعية الطفل للتعلم ويتعرض إلى التعثر
.األكاديمي مما قد يؤثر على جودة حياته في المستقبل
أاأوتُعدّ المدرسة البيئة المناسبة التي تقوم بعملية التربية ونقل الثقافة وتوفير الظروف المناسبة للنمو البدني والعقلي والنفسي من هنا تُعدّ المدرسة واحدة من أهم المؤسسات التي يفترض االهتمام بها والعمل على تحسينها وتطويرها؛ نظ رًا لما لها من
أهمية في نقل ثقافة المجتمع وزيادة إنتاجية التالميذ، كما أنّها توفر الظروف المناسبة لنمو شخصيتهم في كافة الجوانب الجسمية
والعقلية واالنفعالية واالجتماعية، إالّ أنّ هناك مصادر أخرى ترتبط بالمدرسة، مثل: فرض النظام، واستخدام النقد والسخرية والتج ،اهل
واستخدام أساليب التعزيز السّ البة، وفرض المطالب والواجبات الكثيرة التي يستجيب لها التالميذ عادة بتجنّبهم الذهاب للمدرسة
وتفقدهم الثقة بالنفس. :مقدمة إنّ المدرسة قد تسهم في خلق التوتر والضيق واالضطراب لدى التالميذ، وذلك بزيادة كثافة الفصول، والقصور
في تجهيز م رافق المدرسة، وعدم توفير المساحات المالئمة لألنشطة المتنوعة، وعدم تهيئة المناخ المناسب للمتعلم، كلّ ذلك يسهم
،في إيجاد بيئة غير محبّبة للتالميذ، بل على العكس تكون البيئة مقلقة ومهدّدة لصحة التالميذ النفسية (العسّ اف2008
.)
ويتعيّن إذن على نظام التعليم أن يهتم أيضً ً ا بصًقل شًخصًية األفراد وتحقيق طاقاتهم
،الكامنة والعيش في بيئة سًليمة من
أجل المسًًًًًاهمة في بناء المجتمع القادر على رفع تحدّيات
،القرن ومن
،هنا
ّفإن نجاح المتعلمين ال ينحصًًًًًر فقط في إنجازاتهم
المدرسية، بل
يتعدّاه إلى تحقيق جودة الحياة في البيئة االجتماعية
،عامة والمدرسية خاصة (Florin 2011)
وترى غوترا وآخرون(Ghotra et al, 2016)
أنّ خلفية المدرسة هي جزء ال يتجزأ من حياة الطفل، وبالتالي نوعية
.المدرسة هو جزء مهم من الجودة الشاملة للحياة التي يمر بها الطفل
و لمعرفة مستوى جودة الحياة المدرسية ال بُدّ من قياسها للحكم على مدى جودتها وذلك بعدة طرق، منها: االستبيان، أو
.المقابلة للتالميذ أو المعلمين أو القائمين على العملية التربوية
عالوة على ذلك "إنّ سبل ووسائل قياس جودة الحياة المدرسية" يختلف باختالف الثقافة التي يتبنّاها المجتمع، فقد تقاس
جودة الحياة المدرسية بمراجعة نتائج االمتحانات، أو توضع مستويات محدّدة لألداء وتقويمه في ضوء مؤشرات جودة الحياة المدرسية
المعتمدة من قبل الجهات الرسمية المختصة بشؤون التعليم. IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 كلمات مفتاحية: جودة الحياة المدرسية، الدافعية للتعلم
، المدارس ال حكومية، المدارس األهلية كلمات مفتاحية: جودة الحياة المدرسية، الدافعية للتعلم
، المدارس ال حكومية، المدارس األهلية 180
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 زهراء سليمان :مقدمة :مقدمة
أنّ حياة التلميذ العملية تبدأ بتواجده في المدرسة، يمضي فيها وقتًا طويًال يتلقى فيها التربية المناسبة جنبًا إلى جنب مع األسرة
لتجعله شخصً ا إيجابيًّا في المجتمع، فإذا لم تكن أركان الحياة المدرسية متكاملة فقد تتأثر دافعية الطفل للتعلم ويتعرض إلى التعثر
.األكاديمي مما قد يؤثر على جودة حياته في المستقبل
وتُعدّ المدرسة البيئة المناسبة التي تقوم بعملية التربية ونقل الثقافة وتوفير الظروف المناسبة للنمو البدني والعقلي والنفسي
واالجتماعي لتلميذاتها، وألنّ التلميذ هو محور العملية التربوية، فإعداده هو الهد ف األسمى للتربية الذي ينبغي أن يكون في قائمة
ًأولويات العاملين في المجال المدرسي، وال يتحقق هذا الهدف إالّ بتضافر الجهود بين جميع العاملين في المؤسسة التعليمية ابتداء
من اإلدارة وانتهاءً بالمعلم لتوفير بيئة إيجابية مشجعة للتعلم، وتواجه التلميذات في جميع ال مراحل التعليمية مشكالت عديدة تقف
،حائالً دون تحصيلهنّ الدراسي وتكيّفهن االجتماعي ونموهنّ السليم (الرايقي2018
.)
من هنا تُعدّ المدرسة واحدة من أهم المؤسسات التي يفترض االهتمام بها والعمل على تحسينها وتطويرها؛ نظ رًا لما لها من
أهمية في نقل ثقافة المجتمع وزيادة إنتاجية التالميذ، كما أنّها توفر الظروف المناسبة لنمو شخصيتهم في كافة الجوانب الجسمية
والعقلية واالنفعالية واالجتماعية، إالّ أنّ هناك مصادر أخرى ترتبط بالمدرسة، مثل: فرض النظام، واستخدام النقد والسخرية والتج ،اهل
واستخدام أساليب التعزيز السّ البة، وفرض المطالب والواجبات الكثيرة التي يستجيب لها التالميذ عادة بتجنّبهم الذهاب للمدرسة
وتفقدهم الثقة بالنفس. :مقدمة وأشًًار ملنتش و بوتيز(Melnic & Botez, 2014)
في دراسًًة الدافع للتعلم أنه أوالً وقبل كلّ شًًيء في قرار اختيار مهنة
المعلم يجب عليه معرفة كيفية تحفيز طالبه على أنها واحدة من أهم الجوانب، فالطالب غير المتحمّسًًًًًًًًًًًًين لن يتعلّموا بفعّالية، ولن
يحتفظوا بالمعلومات ولن يشًًًًاركوا، وقد يصًًًًبم بعضًًًًها مخربًا، وقد يكون الطال ب غير متحمّس لعدة أسًًًًباب: قد يشًًًًعرون بأنهم ال
يهتمّون بالموضًًًًًًًًًًًًًًوق، أو يجًدون طرق المعلم غير جذابة، أو قد تصًًًًًًًًًًًًًًرفهم قوى خارجيًة، قد يبًدو أحيًانًا أنّ الطًالب الذي بدا غير
متحمّس لديه صعوبة في التعلم ويحتاج إلى عناية خاصة، ويوضم البحث الذي أجري في جامعة "جورج باكوفيا" ح قيقة أنّ الطالب
.بدوافع ذاتية يحصلون على نتائج أكاديمية متفوقة حسب النتائج التي أظهرها معامل بيرسون وأشًًار ملنتش و بوتيز(Melnic & Botez, 2014)
في دراسًًة الدافع للتعلم أنه أوالً وقبل كلّ شًًيء في قرار اختيار مهنة
المعلم يجب عليه معرفة كيفية تحفيز طالبه على أنها واحدة من أهم الجوانب، فالطالب غير المتحمّسًًًًًًًًًًًًين لن يتعلّموا بفعّالية، ولن
يحتفظوا بالمعلومات ولن يشًًًًاركوا، وقد يصًًًًبم بعضًًًًها مخربًا، وقد يكون الطال ب غير متحمّس لعدة أسًًًًباب: قد يشًًًًعرون بأنهم ال
يهتمّون بالموضًًًًًًًًًًًًًًوق، أو يجًدون طرق المعلم غير جذابة، أو قد تصًًًًًًًًًًًًًًرفهم قوى خارجيًة، قد يبًدو أحيًانًا أنّ الطًالب الذي بدا غير
متحمّس لديه صعوبة في التعلم ويحتاج إلى عناية خاصة، ويوضم البحث الذي أجري في جامعة "جورج باكوفيا" ح قيقة أنّ الطالب
.بدوافع ذاتية يحصلون على نتائج أكاديمية متفوقة حسب النتائج التي أظهرها معامل بيرسون
وتبعًا لذلك يمكن اإلشًًًًًًارة إلى أنّ من يهتم بدراسًًًًًًة عملية التعلم ودافعية الطالب للتعلم ال بُدّ أن يركز اهتمامه على جودة
الحياة المدرسًية للتالميذ ويخضًعها للبحث و الدراسًة خاصًة وأنّ الوقت الحاضًر يشًهد كثافة في عدد التالميذ في المدارس الحكومية
والخاصًًًًًًة على حدٍّّ سًًًًًًواء، مما قد يؤثر سًًًًًًلبًا على العملية التعليمية إذا لم تكن المدارس مجهّزة بحيث توفر حاجات هؤالء التالميذ
،(العسّ اف2008
.) ّومن هنا تبيّن للباحثة أهمية دراسًًًًًًًًة المتغي رات من أجل التوصًًًًًًًًل لمعرفة العالقة بين نوق المدرسًًًًًًًًة بكلٍّّ من جودة الحياة
.المدرسية ودافعية التعلم في المرحلة االبتدائية ا
ي
:مشكلة البحث :مقدمة إنّ المدرسة قد تسهم في خلق التوتر والضيق واالضطراب لدى التالميذ، وذلك بزيادة كثافة الفصول، والقصور
في تجهيز م رافق المدرسة، وعدم توفير المساحات المالئمة لألنشطة المتنوعة، وعدم تهيئة المناخ المناسب للمتعلم، كلّ ذلك يسهم
،في إيجاد بيئة غير محبّبة للتالميذ، بل على العكس تكون البيئة مقلقة ومهدّدة لصحة التالميذ النفسية (العسّ اف2008
.) (اا
ي)
ويتعيّن إذن على نظام التعليم أن يهتم أيضً ً ا بصًقل شًخصًية األفراد وتحقيق طاقاتهم
،الكامنة والعيش في بيئة سًليمة من
أجل المسًًًًًاهمة في بناء المجتمع القادر على رفع تحدّيات
،القرن ومن
،هنا
ّفإن نجاح المتعلمين ال ينحصًًًًًر فقط في إنجازاتهم
المدرسية، بل
يتعدّاه إلى تحقيق جودة الحياة في البيئة االجتماعية
،عامة والمدرسية خاصة (Florin 2011) عالوة على ذلك "إنّ سبل ووسائل قياس جودة الحياة المدرسية" يختلف باختالف الثقافة التي يتبنّاها المجتمع، فقد تقاس
جودة الحياة المدرسية بمراجعة نتائج االمتحانات، أو توضع مستويات محدّدة لألداء وتقويمه في ضوء مؤشرات جودة الحياة المدرسية
المعتمدة من قبل الجهات الرسمية المختصة بشؤون التعليم. وقد يفوق األمر حدود ذلك في بعض الثقافات وذلك باعتبار ال مدارس
،مسؤولة وخاضعة للمساءلة بشأن أداء الطالب"(الكناني2015
.) أا
ي
ي()
(كما أشارت نتائج دراسة األسود2017
) إلى وجود عالقة ارتباطية دالة إحصائيًّا بين جودة الحياة والدافعية للتعلم، وأنه
يمكن التنبؤ بالدافعية للتعلم من خالل جودة الحياة، كما أظهرت النتائج وجود مستوى مرتفع في كلٍّّ من جودة الحياة والدافعية ل لتعلم
لدى طلبة الجامعة، وقد أوصت الدراسة باعتماد مرشدين بالجامعة يعملون على تطوير جودة الحياة النفسية وتعزيز الدافعية للتعلم
،لدى طلبة الجامعة(األسود2017
.) 181 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان المدارس األهلية والحكومية بالسعودية ويرى فيريرا وآخرون(Ferreira, 2011)
أنه يجب أن ينظر إلى الدافع كعامل مهم جدًّا في عملية التعلم، ح يث يتمتع
التلميذ المتحمّس بالقوة الداخلية للتعلم وتحسين األداء األكاديمي والتكيّف مع متطلبات السياق المدرسي، كما أنّ اإلحساس السلبي
.للمدرسة له تأثير على الدافع للتعلم
ّكما أن الطلبة
ذوي الدافعية المرتفعة كان أداؤهم الدراسي أعلى
من
ذوي الدافعية المنخ ( فضة (Chowdhurly & ويرى فيريرا وآخرون(Ferreira, 2011)
أنه يجب أن ينظر إلى الدافع كعامل مهم جدًّا في عملية التعلم، ح يث يتمتع
التلميذ المتحمّس بالقوة الداخلية للتعلم وتحسين األداء األكاديمي والتكيّف مع متطلبات السياق المدرسي، كما أنّ اإلحساس السلبي
.للمدرسة له تأثير على الدافع للتعلم ّكما أن الطلبة
ذوي الدافعية المرتفعة كان أداؤهم الدراسي أعلى
من
ذوي الدافعية المنخ ( فضة (Chowdhurly &
Shahabuddin, 2007
. :مشكلة البحث تتمثل مشًًًًًًكلة البحث في عالقة جودة الحياة المدرسًًًًًًية بالدافعية للتعلم، وفي ظلّ التحدّيات التي تواجه التالميذ في مجال
التعليم والناتجة عن التطورات العلمية والتقنية المتالحقة، ومن أجل تحقيق مسًًًتوى أفضًًًل لجودة حياتهم المدرسًًًية، فإننا بحاجة إلى
معرفة مستوى دافعيتهم لل .تعلم وعالقته بجودة الحياة المدرسية
ومن واقع وجود البًاحثًة في الميًدان التعليمي في المرحلًة االبتًدائيًة، الحظًت تًدنّي دافعيًة التعلم لًدى التلميًذات، وذلًك من
خالل: الغياب المتكرر، والتأخر الصًًباحي، وتدنّي االهتمام بالواجبات المنزلية، وضًًعف الحماس وانخفاض الرفبة في التعلم، بينما
في السًًًًنوات السًًًًابقة لم تظهر هذه المشًًًًكلة بشًًًًكل كبير بالرغم من أنّ النظام التعليمي في السًًًًابق كان أكثر صًًًًرامة والحياة أكثر
( صًًعوبة؛ لذا قامت الباحثة بتصًًميم اسًًتمارة اسًًتطالق رأي للتأكد من وجود المشًًكلة، ملحق رقم1
)، وطبّقت على تلميذات المرحلة
االبتدائي ة (عينة عشوائية بلغت100
تلميذة) لمعرفة مدى دافعيتهنّ للتعلم تتمثل مشًًًًًًكلة البحث في عالقة جودة الحياة المدرسًًًًًًية بالدافعية للتعلم، وفي ظلّ التحدّيات التي تواجه التالميذ في مجال
التعليم والناتجة عن التطورات العلمية والتقنية المتالحقة، ومن أجل تحقيق مسًًًتوى أفضًًًل لجودة حياتهم المدرسًًًية، فإننا بحاجة إلى
معرفة مستوى دافعيتهم لل .تعلم وعالقته بجودة الحياة المدرسية ومن واقع وجود البًاحثًة في الميًدان التعليمي في المرحلًة االبتًدائيًة، الحظًت تًدنّي دافعيًة التعلم لًدى التلميًذات، وذلًك من
خالل: الغياب المتكرر، والتأخر الصًًباحي، وتدنّي االهتمام بالواجبات المنزلية، وضًًعف الحماس وانخفاض الرفبة في التعلم، بينما
في السًًًًنوات السًًًًابقة لم تظهر هذه المشًًًًكلة بشًًًًكل كبير بالرغم من أنّ النظام التعليمي في السًًًًابق كان أكثر صًًًًرامة والحياة أكثر
( صًًعوبة؛ لذا قامت الباحثة بتصًًميم اسًًتمارة اسًًتطالق رأي للتأكد من وجود المشًًكلة، ملحق رقم1
)، وطبّقت على تلميذات المرحلة
االبتدائي ة (عينة عشوائية بلغت100
تلميذة) لمعرفة مدى دافعيتهنّ للتعلم 182
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0
( جدول رقم1
)
نتائج الدراسة االستطالعية
إجمالي عدد
الحاالت
الحاالت التي
حصلت على9
درجات فأعلى
النسبة ا لمئوية
الحاالت التي
ّحصلت على أقل
من9
درجات
النسبة المئوية
الدرجة الكلية
100
44
44
%
56
56
%
17
( يتضم من الجدول
١ ) أنّ نسبة56
من التلميذات حصلن على أقلّ من%
9
درجات، وتعني أنّ دافعيتهنّ للتعلم جيّدة، وأنّ نسبة
44
من التلميذات حصلن على%
9
درجات فأعلى، وتعني أنّ دافعيتهنّ للتعلم منخفضة، وهي نسبة مرتفعة، وهذا يضعنا أمام سؤال
كبير، فما سبب هذا االنخفاض في الدافعية؟ وهل لجودة الحياة المدرسية بنوعيها األهلية أو
الحكومية دور في ذلك؟ 182
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0
( جدول رقم1
)
نتائج الدراسة االستطالعية
إجمالي عدد
الحاالت
الحاالت التي
حصلت على9
درجات فأعلى
النسبة ا لمئوية
الحاالت التي
ّحصلت على أقل
من9
درجات
النسبة المئوية
الدرجة الكلية
100
44
44
%
56
56
%
17
( يتضم من الجدول
١ ) أنّ نسبة56
من التلميذات حصلن على أقلّ من%
9
درجات، وتعني أنّ دافعيتهنّ للتعلم جيّدة، وأنّ نسبة
44
من التلميذات حصلن على%
9
درجات فأعلى، وتعني أنّ دافعيتهنّ للتعلم منخفضة، وهي نسبة مرتفعة، وهذا يضعنا أمام سؤال
كبير، فما سبب هذا االنخفاض في الدافعية؟ وهل لجودة الحياة المدرسية بنوعيها األهلية أو
الحكومية دور في ذلك؟ IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان اا
المدارس األهلية والحكومية بالسعودية ( ومن منطلق توصيات بعض الدراسات مثل دراسة العصيمي2014
) بإجراء بحوث مقترحة في جودة الحياة المدرسية وعالقتها
بالدافعية، وتوصية دراسة بيترن(Buterin, 2019)
بالتأكيد على أهمية تحسين نوعية الحياة المدرسية وقلّة الدراسات العربية التي
ّتناولت هذا المتغيّر التي عز .زت من أهمية عنوان البحث الحالي
:وبناءً على ما سبق يمكن تحديد مشكلة البحث في السؤال الرئيسي التالي
ما العالقة بين جودة الحياة المدرسية والدافعية
للتعلم ؟ :ويتفرق من هذا السؤال عدّة أسئلة
1
. 183
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaz :مشكلة البحث ما العالقة بين جودة الحياة المدرسية والدافعية للتعلم
لدى تلميذات ال
مدارس(الحكومية-
)األهلية
في المرحلة
االبتدائية؟
2
. ما الفروق في جودة الحياة المدرسية بين تلميذات المدارس (الحكومية واألهلية)؟
3
. ما الفروق في الدافعية للتعلم بين تلميذات المدارس (الحكومية واألهلية)؟ أا 3
. ما الفروق في الدافعية للتعلم بين تلميذات المدارس (الحكومية واألهلية)؟ :يهدف البحث الحالي إلى IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 :دراسات تناولت جودة الحياة المدرسية ( أجرى العصيمي2014) دراسة هدفت إلى
التعرف على العالقة بين جودة الحياة المدرسية وتقدير الذات والتوافق الشخصي
واالجتماعي لدى تالميذ المرحلة االبتدائية بالطائف، والتعرف على إمكانية التنبؤ بتقدير الذات والتوافق الشخصي واالجتماعي من
خالل إدراك التالميذ لجودة الحياة المدرسية. وتكونت عينة البحث م( ن۳۱۹
) تلميذًا من تالميذ الصف السادس، واتبع الباحث المنهج
،الوصفي االرتباطي، كما استخدم مقياس جودة الحياة المدرسية من إعداد (وليامز وباتن1981
) ترجمة الباحث، كما استخدم الباحث
معامل ارتباط بيرسون وتحليل االنحدار البسيط لمعالجة فروض الدراسة، وتوصلت النتائج إلى: وجود عالقة دالة إحصائيًّا بين إدراك
التالميذ لجودة الحياة المدرسية وتقدير الذات والتوافق الشخصي واالجتماعي، كما وجدت إمكانية التنبؤ بتقدير الذات من خالل إدراك
تالميذ المرحلة االبتدائية الجودة الحياة المدرسية، وكذلك وجدت إمكانية التنبؤ بالتوافق الشخصي واالجتماعي من خالل إدراك تالميذ
.المرحلة االبتدائية الجودة الحياة المدرسية ا
بينما أجرت اينال وصادق(Inal & Sadik, 2014)
دراسة هدفت إلى دراسة وجهات نظر المعلمين والتالميذ بعمق فيما
( يتعلق بنوعية حياة المدرسة في مدارس المقاطعة االبتدائية. شارك10
( ) مدرسين و20
) تلميذًا في الدراسة، واعتمد تحليل البيانات
التي تم جمعها من خالل التحليل الوصفي للمقابلة، ثم استخدام تحليل المحتوى، كشفت نتائج الدراسة أنّ مشاعر التالميذ المشاركين
حول المدرسة إيجابية، راضون عن أجواء الصداقة والفرص التعليمية، في حين أنهم غير راضين عن بعض
سلوكيات اإلدارة المدرسية
والمعلمين والتالميذ، في حين أنّ المعلمين المشاركين وجدوا نوعية الحياة المدرسية منخفضة، سلّطوا الضوء على البنية التحتية
للمدرسة، مستوى التالميذ األكاديمي، واإلخفاقات األكاديمية وبعض المسؤوليات اإلضافية بسبب خصائص المدرسة الداخلية؛ وكان
رأي المعلمين اآلخرين ذوي اإلدراك اإليجابي أكثر ارتياحًا للمرافق المادية للمدرسة، وأجواء الصداقة والموقف اإليجابي إلدارة المدر .سة
( وأجرى الكناني2015
) دراسة هدفت إلى التعرف على العالقة بين جودة الحياة المدرسية والتحصيل الدراسي لدى طالب
المرحلة الثانوي ة. واستخدمت الدراسة المنهج الوصفي االرتباطي، والمنهج السببي المقارن. وتمثلت أدوات الدراسة في مقياس جودة
الحياة المدرسية من إعداد الباحث، وتم التحقق من صدق وثبات المقياس. :يهدف البحث الحالي إلى جودة الحياة المدرسية (
(Quality of a School life
: 1
. جودة الحياة المدرسية (
(Quality of a School life
:
التعريف االصطالحي(: عرّفها العصيمي2014
)أنها: "هي العالقة اإليجابية بين التلميذ وجميع مكونات المدرسة، سواء
البشرية من معلمين وإداريين وأقران، أو مكونات مادية كالمناهج وأنظمة التعليم". ( ص18
.)
2
. الدافعية للتعلم (
Motivation to learn
:)
التعريف االصطالحي
: عرّفها
( توق وعدس وقطامي2003
) أنّها "هي حالة داخلية عند المتعلم تدفعه إلى االنتباه للموقف
.التعليمي واإلقبال عليه بنشاط موجه واالستمرار في هذا النشاط حتى يتحقق التعلم" (ص211
)
:دراسات سابقة ر ي
ي
جو(
(
y
التعريف االصطالحي(: عرّفها العصيمي2014
)أنها: "هي العالقة اإليجابية بين التلميذ وجميع مكونات المدرسة، سواء
البشرية من معلمين وإداريين وأقران، أو مكونات مادية كالمناهج وأنظمة التعليم". ( ص18
.)
2
. الدافعية للتعلم (
Motivation to learn
:)
ف اال طال
الت
ّف ا
:(قطا
د
ت ق2003االنت ا لل قف
ند ال ت ل تدف ه إل
الة داخل ة
) أنّ ا "ه 2
. الدافعية للتعلم (
Motivation to learn
:)
التعريف االصطالحي
: عرّفها
( توق وعدس وقطامي2003
) أنّها "هي حالة داخلية عند المتعلم تدفعه إلى االنتباه للموقف
.التعليمي واإلقبال عليه بنشاط موجه واالستمرار في هذا النشاط حتى يتحقق التعلم" (ص211
)
:دراسات سابقة :يهدف البحث الحالي إلى ي
1
. .الكشف عن طبيعة العالقة بين الدافعية للتعلم وجودة الحياة المدرسية
2
. الكشف عن الفروق في جودة الحياة المدرسية بين تلميذات المدارس الحكومية واألهلية في المرحلة.االبتدائية
3
. .الكشف عن الفروق في دافعية التعلم بين تلميذات المدارس الحكومية واألهلية في المرحلة االبتدائية ا :أهمية البحث :األهمية النظرية 1
. تنبثق أهمية هذا البحث من إضافة وإثراء المكتبة العربية بالمعرفة
النظرية حول متغيّرات (جودة الحياة المدرسية، والدافعية
.)للتعلم 1
. تنبثق أهمية هذا البحث من إضافة وإثراء المكتبة العربية بالمعرفة
النظرية حول متغيّرات (جودة الحياة المدرسية، والدافعية
.)للتعلم 1
. تنبثق أهمية هذا البحث من إضافة وإثراء المكتبة العربية بالمعرفة
النظرية حول متغيّرات (جودة الحياة المدرسية، والدافعية
)للت ل 2
. إثراء الدراسات في المجال التعليمي بصفة عامة واإلرشاد الطالبي على وجه الخصوص بمزيد من الفهم حول العالقة بين
نوق المدرسة وجودة الحياة المدرسية والدافعية للتعلم والوقوف على العوامل التي تسهم في تح
سين جودة الحياة المدرسية
.لدى تلميذات المرحلة االبتدائية 2
. إثراء الدراسات في المجال التعليمي بصفة عامة واإلرشاد الطالبي على وجه الخصوص بمزيد من الفهم حول العالقة بين
نوق المدرسة وجودة الحياة المدرسية والدافعية للتعلم والوقوف على العوامل التي تسهم في تح سين جودة الحياة المدرسية
.لدى تلميذات المرحلة االبتدائية ا
3
. يأتي هذا البحث تأكيدًا على ضرورة تطبيق مفهوم الجودة في المجال التربوي
.والتعليمي أ ا
3
. يأتي هذا البحث تأكيدًا على ضرورة تطبيق مفهوم الجودة في المجال التربوي
.والتعليمي 3
. يأتي هذا البحث تأكيدًا على ضرورة تطبيق مفهوم الجودة في المجال التربوي يأ
1
. قد تفيد نتائج البحث الحالي في مجال التوجيه واإلرشاد في تحسين جودة الحياة المدرسية بكلّ أبعادها عن طريق خلق
.اتجاهات إيجابية نحو المدرسة، مما قد يكون نقطة بداية للتغيرات التي تهدف للتطوير 2
. بناءً على نتائج البحث وتوصياته ومقترحاته يمكن أن تسهم في إيجاد حلول لتنمية دافعية التلميذات للتعلم في المرحلة
.االبتدائية :حدود البحث -
:الحدود الموضوعية
.)ويتمثل في متغيرات البحث (جودة الحياة المدرسية، والدافعية للتعلم
-
الحدود البشرية.: يشمل البحث تلميذات المرحلة االبتدائية الصف (خامس وسادس) من المدارس الحكومية واألهلية
-
الحدود الزمنية : تم إجراء هذا البحث في الفصل الدراسي الثاني للعام1441
-
1442
.ًه 183
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 183 -
الحدود المكانية.: جرى البحث على المدارس االبتدائية للبنات (حكومية وأهلية) بغرب الدمام بالمنطقة الشرقية
:مصطلحات البحث :مصطلحات البحث 1
. جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية من حيث االختالفات بين الجنسين، فإنّ اإلحساس باالنتماء المدرسي قد
اختلف بشكل
.كبير لصالم التلميذات، وتفاوتت المشاعر تجاه المدرسة بشكل كبير لصالم التالميذ الذكور ا
وقام قوكلر وآخرون(Gökler at al, 2015)
بدراسة هدفت للتعرف على العالقة بين نوعية الحياة المدرسية والسعادة بين
( طالب الجامعة، وتكونت عينة البحث من326) طالبًا من
خمس كليات مختلفة في جامعة كانكيري كاراتكين، وطبّق عليهم مقياس
لنوعية الحياة المدرسية، ومقياس لنموذج السعادة أكسفورد، وأظهرت النتائج أنّ آراء المشاركين حول نوعية الحياة المدرسية والسعادة
كانت على مستوى معتدل. باإلضافة إلى ذلك تبيّن أنّ كون الطالب في كليات مختلفة ال يُظهر أيّ اختالف كبير في سعادتهم. وقد
،تبيّن أيضً ا في نهاية هذه الدراسة أنّ آراء الطالب حول جودة الحياة المدرسية لم تكن مؤشّ رًا كبيرًا على سعادتهم
وبناءً على هذه
.النتائج تبيّن أنّ سعادة الطالب كانت مستقلة عن جودة حياتهم المدرسية وأجرى بالسًًًًًا(Bilasa, 2016)
دراسًًًًًة هدفت لقياس تصًًًًًورات طالب المدارس المتوسًًًًًطة في أنقرة فيما يتعلق بنوعية
،الحياة المدرسًية، وفقًا للنتائج التي تم الحصًول عليها تبيّن أنّ لدى الطالب تصًورات متوسًطة المسًتوى حول جودة الحياة المدرسًية
ولديهم تصًًًًًورات متدنية حول "إدارة المدرسًًًًًة"، ولديهم ت صًًًًًورات معتدلة حول "الطالب" البعد الذي يتضًًًًًمّن العالقات المتبادلة بين
الطالب، وبالمثل لديهم تصًًًًورات معتدلة حول المشًًًًاعر تجاه المدرسًًًًة التي تتضًًًًمّن عناصًًًًر تتعلق بالصًًًًورة المدرسًًًًية كما يراها
الطالب، وتؤثر إدارة المدرسًًًًًة المسًًًًًؤولة مباشًًًًًرة عن مناخ المدرسًًًًًة وصًًًًًورتها على إدراك نوعية الحياة، وقد وجد أنّ الطالب
في
( فصًًًًًل يتكون من10
-
20
ّ) طالبًا لديهم أعلى جودة الحياة المدرسًًًًًية، على الرغم من أنّ النجاح األكاديمي للطالب يختلف إالّ أن
.إدراكهم لجودة الحياة المدرسية ال تختلف كما أجرى سيتن(Cetin, 2018)
دراسة هدفت للكشف عن العالقة بين ج ودة المعلمين في مرحلة ما قبل الخدمة في
( الحياة الجامعة، ومشاركة الطالب في األنشطة الصفية. وتتألف عينة الدراسة من789
( ) طالبًا يدرسون في7
) جامعات حكومية
( تركية مختلفة في7) مناطق مختلفة في تركيا. تم استخدام مقياس مشاركة الطالب في الفصول الدراسية الذي طوّره
( ناير2015
)
( الستكشاف جودة الحياة المدرسية للطالب، ومقياس جودة الحياة المدرسية الذي طوّره يلماظ وجوكلوك بوكيوغلو2006
ّ) وجد أن
هناك عالقة بين جودة الحياة المدرسية للطالب المشاركين في البحث، ومستوى المشاركة في األنشطة الصفية. ووجد أنّ األبعاد
الفرعية للرضا
عن الكلية، والرضا عن المعلمين، واالرتياح عن العالقات مع الطالب، لها عالقة إيجابية باألبعاد الفرعية لمشاركة
الطالب الصفية. ويرى سيتن أنّ نوعية الحياة المدرسية تنبأ بالدوافع األكاديمية من خالل التأثير على فعالية األهداف والنواتج
التعليمية. جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان ( المدارس االبتدائية العامة والخاصة. شملت العينة650
) تلميذًا من تسع مناطق مدرسية. تم جمع البيانات باستخدام نموذج
المعلومات الش ،خصية الذي أعدّه الباحث، ومقياس جودة الحياة المدرسية من إعداد (ساري2007
) وهو من نوق ليكرت الخماسي
( ويتكون من35
،) عنصرًا ضمن أبعاد، هي: التواصل بين المعلم والتلميذ، والتواصل بين التلميذ والتلميذ، والمشاعر تجاه المدرسة
والمشاعر تجاه إدارة المدرسة، ومقياس ا لحساسية النفسية لالنتماء للمدرسة(goodnwo, 1993)
. كانت درجات جودة الحياة
المدرسية الفرعية الخاصة بالتواصل بين التالميذ ومشاعر الرفض لدى التالميذ الذين التحقوا بالمدارس العامة تختلف اختالفًا كبيرًا
عن التالميذ الذين التحقوا بالمدارس الخاصة. من حيث االختالفات بين الجنسين، فإنّ اإلحساس باالنتماء المدرسي قد
اختلف بشكل
.كبير لصالم التلميذات، وتفاوتت المشاعر تجاه المدرسة بشكل كبير لصالم التالميذ الذكور
وقام قوكلر وآخرون(Gökler at al, 2015)
بدراسة هدفت للتعرف على العالقة بين نوعية الحياة المدرسية والسعادة بين
( طالب الجامعة، وتكونت عينة البحث من326) طالبًا من
خمس كليات مختلفة في جامعة كانكيري كاراتكين، وطبّق عليهم مقياس
لنوعية الحياة المدرسية، ومقياس لنموذج السعادة أكسفورد، وأظهرت النتائج أنّ آراء المشاركين حول نوعية الحياة المدرسية والسعادة
كانت على مستوى معتدل. باإلضافة إلى ذلك تبيّن أنّ كون الطالب في كليات مختلفة ال يُظهر أيّ اختالف كبير في سعادتهم. وقد
،تبيّن أيضً ا في نهاية هذه الدراسة أنّ آراء الطالب حول جودة الحياة المدرسية لم تكن مؤشّ رًا كبيرًا على سعادتهم
وبناءً على هذه
.النتائج تبيّن أنّ سعادة الطالب كانت مستقلة عن جودة حياتهم المدرسية ( المدارس االبتدائية العامة والخاصة. شملت العينة650
) تلميذًا من تسع مناطق مدرسية. تم جمع البيانات باستخدام نموذج
المعلومات الش ،خصية الذي أعدّه الباحث، ومقياس جودة الحياة المدرسية من إعداد (ساري2007
) وهو من نوق ليكرت الخماسي
( ويتكون من35
،) عنصرًا ضمن أبعاد، هي: التواصل بين المعلم والتلميذ، والتواصل بين التلميذ والتلميذ، والمشاعر تجاه المدرسة
والمشاعر تجاه إدارة المدرسة، ومقياس ا لحساسية النفسية لالنتماء للمدرسة(goodnwo, 1993)
. كانت درجات جودة الحياة
المدرسية الفرعية الخاصة بالتواصل بين التالميذ ومشاعر الرفض لدى التالميذ الذين التحقوا بالمدارس العامة تختلف اختالفًا كبيرًا
عن التالميذ الذين التحقوا بالمدارس الخاصة. :دراسات تناولت جودة الحياة المدرسية وتوصلت الدراسة لعدد من النتائج ومنها، وجود عالقة
ارتباطية دالة بين جودة الحياة األكادي مية لدى الطالب والتحصيل لديهم، ووجود عالقة ارتباطية دالة بين جودة الحياة النفسية لدى
الطالب والتحصيل، ووجود عالقة ارتباطية دالة إحصائيًّا بين جودة الحياة االجتماعية ووجود عالقة ارتباطية دالة إحصائيًّا بين جودة
الحياة النفسية لدى الطالب والتحصيل، ووجود عالق .ة ارتباطية دالة بين جودة الحياة البين شخصية
كما قام اليف وتونك(Aliyve & Tunk, 2015)
بدراسة هدفت لتقييم ما إذا كان مفهوم نوعية الحياة المدرسية واإلحساس
باالنتماء للمدرسة يختلف في تالميذ المدارس االبتدائية العامة والخاصة حسب نوق المدرسة والجنس ومستوى الصف
والحالة
الدراسة من تالميذ الصف السادس والسابع والثامن ف
االجتماعية واالقتصادية لألسرة ومستوى تعلي الوالدين، يتألف المشاركون ف اا
كما قام اليف وتونك(Aliyve & Tunk, 2015)
بدراسة هدفت لتقييم ما إذا كان مفهوم نوعية الحياة المدرسية واإلحساس
باالنتماء للمدرسة يختلف في تالميذ المدارس االبتدائية العامة والخاصة حسب نوق المدرسة والجنس ومستوى الصف
والحالة
االجتماعية واالقتصادية لألسرة ومستوى تعليم الوالدين، يتألف المشاركون في الدراسة من تالميذ الصف السادس والسابع والثامن في IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 184 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان المدارس األهلية والحكومية بالسعودية التعليم في المدرسة، على الرغم من وجود اختالف بين التالميذ االصغر سنًّا واألكبر وذو ي اإلنجاز المدرسي العالي والجيّد لصالم
ّالتالميذ األصغر سنًّا وذوي األداء العالي، كما وجد أنّ التالميذ يعبّرون عن مشاعر إيجابية تجاه العالقة مع المعلمين، كما أن
الفتيات ذوات األداء العالي والتلميذات األصغر سنًّا يدركون كفاءتهم المدرسية بشكل أكثر إيجابية من
األوالد واألكبر سنًّا وذوي األداء
الجيّد، وأنّ المشاعر اإليجابية تجاه المدرسة هي مؤشّ ر على رفاهية الطالب وشرط لتطوير كفاءاتهم العاطفية واالجتماعية في
المدرسة التي لها دور مهم في دافعيتهم للتعلم والنجاح في المدرسة، وأوصت الدراسة بأهمية تعزيز اإلحساس بالمجت ،مع المدرسي
الذي يمكن أن يساهم في تصور الطالب للمدرسة وليس فقط كمكان للتدريس واكتساب المعارف، ولكن أيضً ا كمكان حيث يحبّون
.أن يكونوا ويشعروا بالسعادة، وتم التأكيد على أهمية تحسين نوعية الحياة المدرسية وأهمية تعزيز جودة الحياة المدرسية
( وكذلك أجرى أمزيان2020
) دراسًًًًًًة هدفت الكشًًًًًًف عن عالقة اتجاهات األبوين نحو جودة الحياة المدرسًًًًًًية بالتحصًًًًًًيل
الدراسًًًًًًًًًي، عن طريق تقييم اتجاهات األبوين نحو جودة الحياة المدرسًًًًًًًًًية بكلٍّّ من مؤسًًًًًًًًًسًًًًًًًًًة التعليم العمومي ومؤسًًًًًًًًًسًًًًًًًًًة التعليم
الخصًًوصًًي، سًًواء من حيث تقييم العالقات القائمة ب ين األسًًرة والمدرسًًة، أو بين المدرسًًين والتالميذ، أو من حيث تقييم األنشًًطة
( التعليمية أو أسًًًًًاليب وطرائق التدريس. واسًًًًًتخدم المنهج الوصًًًًًفي االرتباطي وتكونت عينة الدراسًًًًًة من50
) من أولياء األمور و
(
276) من تالميذ المرحلة اإلعدادية، وتمثلت أدوات الدراسًًًة في تصًًًميم اسًًًتما رة وزعت على آباء وأولياء التالميذ لتقييم اتجاهاتهم
.نحو جودة الحياة المدرسية ٍ .أما نتائج تحصًًًًًيل التالميذ، فتم االعتماد فيه على درجات معدالتهم العامة في كلٍّّ من مادتي الرياضًًًًًيات واللغة الفرنسًًًًًية
وقد أظهرت نتائج الدراسة تأثير جودة الحياة المدرسية في التحصيل الد راسي للتالميذ، حيث إنّ التالميذ الذين تتميّز اتجاهات آبائهم
باإليجابية تجاه المدرسًين، وتجاه ما توفره المدرسًة من تجهيزات وموارد بشًرية، وما تختاره من أنشًطة تعليمية، كانت نتائجهم عالية
مقارنة مع التالميذ الذين كانت آلبائهم اتجاهات سًًًًًًلبية. وكشًًًًًًفت الدراسًًًًًًة أيضًًًًًً ً ا ع ن وجود فروق ذات داللة إحصًًًًًًائية بين نتائج
التحصًًيل الدراسًًي لتالميذ المؤسًًسًًتين، وذلك لصًًالم تالميذ المؤسًًسًًة الخصًًوصًًية سًًواء في تحصًًيل الرياضًًيات أو في تحصًًيل
.اللغة الفرنسية أ IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية ومن المعتقد أنّ ت حديد آثار نوعية الحياة المدرسية على الدافع األكاديمي سوف يسهم في وضع السياسات لصانعي التعليم
والمدرسين. وقام بيترن(Buterin, 2019)
بدراسة هدفت للبحث عن جودة الحياة المدرسية من وجه نظر تالميذ المدارس االبتدائية
من الصف الخامس إلى الثامن وعددهم433
تلميذًا وتلميذة من ستّ مدارس ابتدائية في (كرواتيا). تم جمع البيانات عن طريق
،استبيان جودة الحياة المدرسية (اينلي1992
( ) بعد تقنينه في كرواتيا عام2009
) وتم تحليل مدى رضا التالميذ بشكل عام عن
المدرسة وإدراكهم لألبعاد المحددة للحياة المدرسية، باإلضافة إلى ال فروق في تقييماتهم فيما يتعلق بالجنس والصف والمدارس وعلى
أساس نتائج البحوث، وتشير النتائج إلى أنّ التالميذ يعبّرون عن مشاعر محايدة تجاه المدرسة ويعبّرون عن تقييم محايد لتجربة IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 185 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية :التعقيب على المحور األول أ
ركزت الدراسات السابقة في مجال جودة الحياة المدرسية على عينة تالميذ المرحلة االبتدائية أكثر من باقي المراحل خاصة
الدراسات األجنبية، مثل دراسة بيترن(Buterin, 2019
، ودراسة اليف وتونك(Aliyve & Tunk, 2015)
، ودراسة اينال
وصادق(Inal & Sadik, 2014). أما العينة في الدراسات العربية فكانت على المرحلة االبتدائية، مثل دراسة العصيمي (
2014
،)
( والمرحلة الثانوية مثل دراسة الكناني2015
( )، والمرحلة اإلعدادية، مثل دراسة أمزيان2020
)، واتفقت جميع الدراسات على
استخدام المنهج الوصفي واستخدمت جميع الدراسات مقياس جودة الحياة المدرسية ما عدا دراسة اينال وصادق(Inal & Sadik,
2014)
استخدمت المقابل ،ة. وركزت دراسات جودة الحياة المدرسة على أهداف تمثلت في نظرة التالميذ لنوعية الحياة المدرسية
ودراسة وجهات نظر التالميذ والمعلمين وأولياء األمور في جودة الحياة المدرسية، والعالقة بين جودة الحياة المدرسية والتحصيل
الدراسي، وتقييم مفهوم نوعية الحياة باختالف ن وق المدرسة، والعالقة بين نوعية الحياة المدرسية والسعادة، والكشف عن العالقة بين
نوعية الحياة الجامعية، ومشاركة الطالب في أنشطة غرفة الصف، ودراسة في العالقة بين جودة الحياة المدرسية وتقدير الذات
،والتوافق الشخصي واالجتماعي، وهي دراسة (العصيمي2014). وتوصلت ا لنتائج إلى أنّ جودة الحياة المدرسية تتأثر بالمتغيّرات
المختلفة لنوق المدرسة والجنس والمستويات التعليمية لآلباء والشعور باالنتماء إلى المدرسة وتتشابه هذه الدراسة مع الدراسات السابق ة
في انها تناولت عينة طالب المرحلة االبتدائية وكذلك استخدمت المنهج الوصفي وتخ تلف انها تبين عالقة جودة الحياة المدرسية
. ونوعية هذه المدرسة بالدافعية للتعلم 186 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان المدارس األهلية والحكومية بالسعودية كما توصلت نتائج دراسة (اينال وصادق) إلى تباين مشاعر كلٍّّ من التالميذ والمعلمين حول نوعية الحياة المدرسية، حيث
إنّ التالميذ يشعرون بمشاعر إيجابية، في حين أنّ المعلمين وجدوا نوعي ة الحياة المدرسية منخفضة. وتوصلت الدراسات لوجود عالقة
.بين التحصيل وجودة الحياة المدرسية، ووجود عالقة بين إدراك جودة الحياة المدرسية وتقدير الذات والتوافق الشخصي واالجتماعي
وتوصل (سيتن) إلى وجود عالقة بين جودة الحياة المدرسية للطالب ومستويات المشاركة في غر فة الصف، بينما كانت نتائج دراسة
(قوكلر) مختلفة، إذ بيّنت أنّ سعادة الطالب كانت مستقلة عن جودة حياتهم المدرسية، وتوصل (بالسا) أنه كلّما قلّ عدد الطالب
،في الفصل، أصبم لديهم أعلى جودة للحياة المدرسية، وأخيرًا أكد (بيترن) على أهمية تحسين نوعية الحياة المدرسية
)ووجد (أمزيان
تأثيرًا لجودة الحياة المدرسية في التحصيل الدراسي للتالميذ الذين تتميّز اتجاهات آبائهم باإليجابية. :التعقيب على المحور األول ومن خالل هذا العرض يتبيّن ق لة
الدراسات العربية التي تناولت جودة الحياة المدرسية، وتم االستفادة من هذه الدراسات باستخدام مقياس جودة الحياة المدر سية للمرحلة
.االبتدائية، وكذلك اتباق المنهج الوصفي واالستعانة بتوصية دراسة (العصيمي) لتعزيز مشكلة البحث
:دراسات تناولت الدافعية للتعلم ( اف
ّ
أجرى العسًًًًًًًًًًًًًً2008
) دراسًًًًًًًًًًًًًًة هًدفًت إلى الكشًًًًًًًًًًًًًًف عن مًدركًات الطلبًة لبيئًة التعلم اآلمنًة، وبيًان عالقتهًا بًالتفًاعًل
االجتماعي بين الط( لبة ودافعيتهم للتعلم، وشًًًملت عينة الدراسًًًة677
) طالبًا وطالبة من طلبة الصًًًف العاشًًًر األسًًًاسًًًي بالمدارس
،الحكوميًة، وتم اختيًارهم بطريقًة طبقيًة عشًًًًًًًًًًًًًًوائيًة، ولجمع البيًانًات قًام البًاحًث بتطوير ثالثًة مقًاييس: مقيًاس بيئًة التعلم اآلمنًة
ومقياس التفاعل االجتماعي، ومقياس الدافعي ة للتعلم. وتم التحقق من صًًًًًًدق المقاييس بعرضًًًًًًها على المحكّمين والتأكد من الثبات
عن طريق إعادة االختبار، وأظهرت النتائج أنّ مسًًًًًًًتوى مدركات الطلبة لبيئة التعلم اآلمنة كان متوسًًًًًًًطًا، كما أظهرت النتائج تفوق
اإلناث على الذكور في مستوى إدراكهنّ لبيئة التعلم اآلمنة، ودلت
النتائج أيضً اعلى وجود فروق ذات داللة إحصائية بين متوسطات
درجات مدركات الطلبة لبيئة التعلم اآلمنة باختالف نوق المدرسًًًًة لصًًًًالم المدارس الخاصًًًًة، وأشًًًًارت النتائج لوجود عالقة إيجابية
دالة إحصًًائيًّا بين مدركات الطلبة لبيئة التعلم اآلمنة ودافعيتهم للتعلم، ووجود عالق ة إيجابية دالة إحصًًائيًّا بين مدركات الطلبة لبيئة
.التعلم اآلمنة وتفاعلهم االجتماع كما قام هينانج وآخرون(Henning, at al, 2010)
بدراسة هدفت لمعرفة عالقة جودة الحياة بالدافعية للتعلم لدى طلبة
سنة رابعة وسنة خامسة طب بجامعة
،أوكالند وقد
استخدم الباحثون مقياس جودة الحياة
بأبعاده)جودة الحياة الجسمية
والنفسية
والعالقات
،االجتماعية وجودة المحيط(، ومقياس الدافعية
،للتعلم
ّوتوصلت النتائج إلى أن)
100 من%
الطلبة
يرون
ّبأن
الحواجز
الشخصية تمثل
لهم ألمًا وضررًا وحرمانًا من النوم؛ فهي
تضعف دافعيتهم للتعل ّم. وأن(61%)
من
الطلبة
يفزعون
ًليال من تجارب
دراستهم التي ينشأ عنها انخفاض مستويات الطاقة
،لديهم لكنّهم
يشعرون بأنهم ال
يدرسون
ٍّّإلى حد مقبول أو
باألحرى بالمقدار الكافي. ّوأن(61%)
يعيشون فترات إيجابية تدفعهم إلى
،التعلم ويعود ذلك إلى تحفيزهم من قبل أطباء آخرين وتشجيعهم لما
يقومون به من
ّعمل يستحق الثناء
ّوالشكر. أي إن الدافعية للتعلم تعود إلى التحفيز والتشجيع من قبل
.اآلخرين
كذلك أجرى فيريرا وآخرون(Ferreira at al, 2011)
دراسًًًًًًة هدفت لمعرفة كيف يؤثر الشًًًًًًعور باالنتماء للمدرسًًًًًًة على
( الًدافع الًداخلي للتعلم، وقًد طبّقًت الًدراسًًًًًًًًًًًًًًة على عينًة مكونًة من403
( ) طًالًب وطًالبًة من المرحلًة الثًانويًة من18
) مًدرسًًًًًًًًًًًًًًة
( بالبرتغال تتراوح أعمارهم بين14
و22) سنة، وطبّق مقياس اإلحساس باالنتماء للمدرسة واستبيا ن الدافع الداخلي للتعلم الذي طورّه
فاليرند وآخرون(Vallerand, 1992)
، وتوصًلت النتائج إلى أنّ الشًعور السًلبي باالنتماء إلى المدرسًة له تأثير سًلبي على الدافع
.الداخلي وعلى التعلم. جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية ( وقد تم اختيار عينة مكونة من570
) تلميذًا وتلميذة بالطريقة
العشوائية الطبقية من القطاعات التعليمية المختلفة بمحلية شرق النيل. وتمثلت أدوات
الدراسة في استمارة المعلومات األولية ومقياس
دا
فعية التعلم، إضافة لمقياس التوافق الدراسي لتالميذ مرحلة التعليم األساسي. : ًوقد توصلت الدراسة لمجموعة من النتائج، أهمها أوال
تتميّز دافعية التعلم باالرتفاق بدرجة دالة. ثانيًا: توجد
عالقة ارتباطية طردية دالة بين دافعية التعليم والتوافق الدراسي. ثالثًا: توجد
عالقة ارتباطية طردية
دالة بين دافعية التعلم ومستوى تعليم األب. رابعًا: ال توجد عالقة ارتباطية دالة بين دافعية التعلم ومستوى
تعليم األم لدى التالميذ. خامسً ا: ال توجد فروق في دافعية التعلم تبعًا
لمتغيّر النوق لدى التالميذ، وأخيرًا ال توجد فروق
في دافعية
التع
لم تبعًا للمستوى الصفي لدى التالميذ. ( بينما أجرت الرايقي2018
) دراسة هدفت للتعرف على العوامل المدرسية المؤدية النخفاض الدافعية للتعلم من وجهة نظر والتقرير الوطني للطلبة. تم اسًًًًًتخدام تحليل االنحدار المتعدد في تحليل البيانات تؤكد النتائج أنّ خصًًًًًائص خلفية الطالب المختلفة
ودوافع التعلم يمكن أن تنبئ بنتائج تعليمية مختلفة. ومع ذلك، ال يمكن لسًًًًًًًًًًلوكيات مشًًًًًًًًًًاركة الطالب أن تتنبأ بشًًًًًًًًًًكل كبير بأنواق
مختلفة من نتائج التعلم عندما يتم تضًمين خلفية الطالب ومتغيّرات تحفيز التعلم. وجدت هذه الدراسًة أيضً ً ا أنّ تخصًصًات الطالب
تلعب دورًا مهمًّا في شرح مخرجات التعلم بشكل عام، تسلّط النتائج الضوء على أهمية الدافع
التعليمي وتشير إلى أنه يمكن للمدربين
.تزويد الطالب بخبرات تعليمية أكثر نجاحًا لضمان مزيد من الثقة في قدراتهم التعليمية يا
( كما أجرت الهازمي2017
) دراسًًًًًة هدفت إلى اكتشًًًًًاف الطرق العملية التي يتبعها المدرسًًًًًون لتحفيز الطالب على التعلم
في إحدى المدارس السًًًًًًًًًًًًًعودية في ال مملكة المتحدة، وكذلك قياس مدى قدرتهم على إدراك مسًًًًًًًًًًًًًتوى الدافعية عند الطالب، واعتمد
البحث الكتشًًًًًًًاف ذلك على عمل مقابالت شًًًًًًًبه منظّمة الثني عشًًًًًًًر طالبًا، وهم6
تالميذ من المرحلة االبتدائية، و3
من المرحلة
المتوسًًًًًًًطة، و3
من المرحلة الثانوية، واثني عشًًًًًًًر معلّمًا، وكذلك الم الحظة داخل الفصًًًًًًًول الدراسًًًًًًًية. وأظهرت النتائج أنّ غالبية
الطالب في هذه المدرسًًًة غير محفّزين للتعلم لألسًًًباب التالية: طريقة تدريس المعلمين، قلّة االهتمام واالسًًًتمتاق بما يطرح، وكذلك
صًًًًعوبة المقررات. كما أظهرت النتائج أنّ المعلمين يميّزون مدى دافعية الطالب للتعلم م ،ن خالل؛ االنتظام في حضًًًًور المدرسًًًًة
إكمال الواجبات والمهام المنزلية، وكذلك مدى انخراط الطالب في عمل الواجبات المعقدة التي تحتاج إلى تفكير. جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان المدارس األهلية والحكومية بالسعودية المدارس األهلية والحكومية بالسعودية
والتقرير الوطني للطلبة. تم اسًًًًًتخدام تحليل االنحدار المتعدد في تحليل البيانات تؤكد النتائج أنّ خصًًًًًائص خلفية الطالب المختلفة
ودوافع التعلم يمكن أن تنبئ بنتائج تعليمية مختلفة. ومع ذلك، ال يمكن لسًًًًًًًًًًلوكيات مشًًًًًًًًًًاركة الطالب أن تتنبأ بشًًًًًًًًًًكل كبير بأنواق
مختلفة من نتائج التعلم عندما يتم تضًمين خلفية الطالب ومتغيّرات تحفيز التعلم. وجدت هذه الدراسًة أيضً ً ا أنّ تخصًصًات الطالب
تلعب دورًا مهمًّا في شرح مخرجات التعلم بشكل عام، تسلّط النتائج الضوء على أهمية الدافع
التعليمي وتشير إلى أنه يمكن للمدربين
.تزويد الطالب بخبرات تعليمية أكثر نجاحًا لضمان مزيد من الثقة في قدراتهم التعليمية
( كما أجرت الهازمي2017
) دراسًًًًًة هدفت إلى اكتشًًًًًاف الطرق العملية التي يتبعها المدرسًًًًًون لتحفيز الطالب على التعلم
في إحدى المدارس السًًًًًًًًًًًًًعودية في ال مملكة المتحدة، وكذلك قياس مدى قدرتهم على إدراك مسًًًًًًًًًًًًًتوى الدافعية عند الطالب، واعتمد
البحث الكتشًًًًًًًاف ذلك على عمل مقابالت شًًًًًًًبه منظّمة الثني عشًًًًًًًر طالبًا، وهم6
تالميذ من المرحلة االبتدائية، و3
من المرحلة
المتوسًًًًًًًطة، و3
من المرحلة الثانوية، واثني عشًًًًًًًر معلّمًا، وكذلك الم الحظة داخل الفصًًًًًًًول الدراسًًًًًًًية. وأظهرت النتائج أنّ غالبية
الطالب في هذه المدرسًًًة غير محفّزين للتعلم لألسًًًباب التالية: طريقة تدريس المعلمين، قلّة االهتمام واالسًًًتمتاق بما يطرح، وكذلك
صًًًًعوبة المقررات. كما أظهرت النتائج أنّ المعلمين يميّزون مدى دافعية الطالب للتعلم م ،ن خالل؛ االنتظام في حضًًًًور المدرسًًًًة
إكمال الواجبات والمهام المنزلية، وكذلك مدى انخراط الطالب في عمل الواجبات المعقدة التي تحتاج إلى تفكير. وأجرى
بالوك (Bullock, 2017)دراسًًة هدفت لمعرفة العوامل المؤثرة في دافعية الطلبة وتحصًًيلهم األكاديمي في العلوم
على عينة م
ن طالب الصًًًًًًًف
،الثامن بما فيها العالقة بين المعلم والطالب والعالقات بين
،الطلبة وتوقعات المعلمين في العلوم
وتفضًًًًيالت الطلبة المختبر مقابل
،المحاضًًًًرة)والعوامل الشًًًًخصًًًًية للمعلمين (الخدمة في
،المدرسًًًًة الخبرة
،المهنية
،المؤهالت
العمر، وإدراك الطلبة لتوقعات المعلمين في
،العلوم وتكونت عينة الدرارسًًًًًًًة من)
150
) فردًا
،مشًًًًًًًتركًا
واعتمد المنهج الوصًًًًًًًفي
،االرتباطي واسًًًًًًًًًًتخدم مقياس الدافعية للتعلم وأظهرت الدراسًًًًًًًًًًة وجود عالقة ارتباطية دالة بين دافعية الطلبة وإدراكهم
لتوقعات
المعلمين والتوقعات الحقيقية للمعلمين وعمر المعلم
والمؤ
هل العلمي للمعلم. ( وأجرى أحمد وفضول2018
) دراسة هدفت لمعرفة العالقة بين دافعية التعلم والتوافق الدراسي لتالميذ مرحلة التعليم األساسي
بمحلية شرق النيل، كما هدفت لمعرفة الفروق في دافعية التعلم وسط التالميذ تبعًا للنوق، والفصل الدراسي ومستوى تعليم
.الوالدين
ولتحقيق هذه األهداف استخدم الباحثان المنهج الوصفي االرتباطي. :التعقيب على المحور األول في المقابل، يؤثر الدافع الداخلي بشكل إيجابي وكبير على التعلم
على حين أجرى هشًًًًًًًي ه(Heish, 2014)
دراسًًًًًًًة هدفت لفهم إمكانية التنبؤ بنتائج التعليم المختلفة من خالل خصًًًًًًًائص
خلفية الطالب المختلفة وأنواق دوافع التعلم وسًلوكيات المشًاركة. تكونت عينة الدراسًة من178
من طلبة المبتدئين في جامعة بحثية
مدتها4
سًًنوات في تايوان، تم تكييف مقاييس الدوافع وا لمشًًاركة ونتائج التعلم المتصًًورة من اإلسًًتراتيجيات المحفّزة السًًتبيان التعلم كما قام هينانج وآخرون(Henning, at al, 2010)
بدراسة هدفت لمعرفة عالقة جودة الحياة بالدافعية للتعلم لدى طلبة
سنة رابعة وسنة خامسة طب بجامعة
،أوكالند وقد
استخدم الباحثون مقياس جودة الحياة
بأبعاده)جودة الحياة الجسمية
والنفسية
والعالقات
،االجتماعية وجودة المحيط(، ومقياس الدافعية
،للتعلم
ّوتوصلت النتائج إلى أن)
100 من%
الطلبة
يرون
ّبأن
الحواجز
الشخصية تمثل
لهم ألمًا وضررًا وحرمانًا من النوم؛ فهي
تضعف دافعيتهم للتعل ّم. وأن(61%)
من
الطلبة
يفزعون
ًليال من تجارب
دراستهم التي ينشأ عنها انخفاض مستويات الطاقة
،لديهم لكنّهم
يشعرون بأنهم ال
يدرسون
ٍّّإلى حد مقبول أو
باألحرى بالمقدار الكافي. ّوأن(61%)
يعيشون فترات إيجابية تدفعهم إلى
،التعلم ويعود ذلك إلى تحفيزهم من قبل أطباء آخرين وتشجيعهم لما
يقومون به من
ّعمل يستحق الثناء
ّوالشكر. أي إن الدافعية للتعلم تعود إلى التحفيز والتشجيع من قبل
.اآلخرين IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 187 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية وأظهرت الدراسة النتائج التالية جاءت العوامل المدرسية المرتبطة بالمعلمة والمؤدية النخفاض الدافعية للتعلم لدى طالبات الم رحلة الثانوية بدرجة موافقة
(متوسطة) من وجهة نظر الطالبات على تلك العوامل ككل، جاءت العوامل المدرسية المرتبطة بالبيئة الصفية والمؤدية النخفاض
الدافعية للتعلم لدى طالبات المرحلة الثانوية بدرجة موافقة (كبيرة) من وجهة نظر الطالبات على تلك العوامل ككل، وتمثل أب :رزها في IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 188 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان المدارس األهلية والحكومية بالسعودية عدم تجهيز الفصول بوسائل تعليمية حديثة، عدم توافق األنشطة المدرسية الصفية مع اهتمامات الطالبات، تهوية الصًًف غير
الجيّدة، الفوضى واإلزعاج داخل الصف. عدم تجهيز الفصول بوسائل تعليمية حديثة، عدم توافق األنشطة المدرسية الصفية مع اهتمامات الطالبات، تهوية الصًًف غير
الجيّدة، الفوضى واإلزعاج داخل الصف. ( في حين أجرت البار وآخرون2019
) دراسة هدفت إلى معرفة دور الخدمات االجتماعية المدرسية في تعزيز الدا فعية
للتعلم لدى تالميذ التعليم االبتدائي من وجهة نظر المعلمين، واتبعت المنهج الوصفي باستخدام التكرارات والنسب المئوية والدوائر
( النسبية وطبّقت الدراسة على عينة من المعلمين12
معلمًا) بمدرسة األمير عبد القادر ببلدية عين الملم بوالية المسيلة، وكذا من
خالل اس تبيان وزق عليهم، وبعد معالجة النتائج تم التوصل إلى أنّ للتغذية المدرسية دورًا كبيرًا في تعزيز الدافعية للتعلم لدى تالميذ
التعليم االبتدائي، والصحة المدرسية تساهم في تعزيز الدافعية للتعلم لدى تالميذ التعليم االبتدائي، وتوفير النقل المدرسي للتالميذ
يساهم بشك .ل فعّال في تعزيز دافعيتهم نحو التعلم ي
ور
ى
يب
تنوعت العينة لجميع المراحل التعليمية تقريبًا في الدراسات السابقة التي تناولت الدافعية للتعلم، كما تناولت دراسة لعينة من
.)الطالب وعينة من المعلمين، مثل دراسة (الهازمي) ودراسة (البار ،وتنوعت األدوات المستخدمة كاالستبيان والمقاييس والمقابلة
واتفقت على استخدام المنهج الوصفي، وركزت األهداف في دراسة الدافعية للتعلم على معرفة دور الخدمات االجتماعية المدرسية في
تعزيز الدافعية للتعلم والعوامل المدرسية المؤدية النخفاض الدافعية، والطرق العملية التي يتبعها المدرسون لتحفيز الطالب وإمكانية
التنبؤ بنتائج التعليم المختلفة من خالل خصائص خلفية الطالب المختلفة والكشف عن مدركات الطلبة لبيئة التعلم اآلمنة، وبيان
عالقتها بالتفاعل االجتماعي بين الطلبة ودافعيتهم للتعلم، ومعرفة العالقة بين دافعية التعلم والتو افق الدراسي للتالميذ وتأثير الشعور
باالنتماء للمدرسة على الدافع الداخلي للتعلم، ومعرفة عالقة جودة الحياة بالدافعية للتعلم وتتشابه هذه الدراسات مع الدراسة الحالي ة
في ان العينة من المرحلة االبتدائية وتستخدم االستبيان كأداة ولكنها تتميز بربطها بجودة الحياة ال . جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية مدرسية
وتوصلت نتائج الدراسات إلى أنه توجد عالقة ارتباطية طردية بين دافعية التعليم والتوافق الدراسي، وأنّ الصحة المدرسية
تساهم في تعزيز الدافعية للتعلم، كما أنّ الدافعية للتعلم تعود إلى التشجيع والتحفيز من قبل اآلخرين، وأنّ الشعور السلبي باالنتما ء
للمدرس ة له تأثير سلبي على الدافع الداخلي وعلى التعلم، وفي المقابل يؤثر الدافع الداخلي بشكل إيجابي وكبير على التعلم، وأظهرت
النتائج أيضً ا تفوق اإلناث على الذكور في مستوى إدراكهنّ لبيئة التعلم اآلمنة، ووجود فروق ذات داللة إحصائية بين مدركات الطلبة
لبيئة التعلم اآل منة باختالف نوق المدرسة لصالم المدارس الخاصة، ووجود عالقة إيجابية بين مدركات الطلبة لبيئة التعلم اآلمنة
ودافعيتهم للتعلم، ووجود عالقة إيجابية بين مدركات الطلبة لبيئة التعلم اآلمنة وتفاعلهم االجتماعي، وأنّ العوامل المدرسية المرتبط ة
بالبيئة الصفية والمؤدية ال نخفاض الدافعية للتعلم كانت بدرجة عالية، واختلفت هذه النتائج مع نتائج دراسة (الهازمي) حيث أرجعت
سبب انخفاض الدافعية إلى طريقة تدريس المعلمين، وقلة االهتمام واالستمتاق بما يطرح، وكذلك صعوبة المقررات، وأخيرًا توصلت
النتائج إلى أنّ خلفية الطالب المختلفة ودواف ع التعلم يمكن أن تنبئ بنتائج تعليمية مختلفة وأهمية الدافع التعليمي، وتشير إلى أنه
يمكن للمدربين تزويد الطالب بخبرات تعليمية أكثر نجاحًا لضمان مزيد من الثقة في قدراتهم التعليمية، وتم االستفادة من هذه الدراسات
.باستخدام مقياس دافعية التعلم
دراسات جمعت ما بين
:الدافعية للتعلم وجودة الحياة المدرسية
( أجرى لي وآخرونLee et al., 2011
) دراسة هدفت إلى التعرف على التأثيرات المباشرة للبيئة والتعلم الصفي على تصورات
( التالميذ حول جودة الحياة المدرسية وشعورهم باالنتماء في المدارس االبتدائية، وقد تكونت العينة من34
ً) تلميذ ا من تالميذ الصف تنوعت العينة لجميع المراحل التعليمية تقريبًا في الدراسات السابقة التي تناولت الدافعية للتعلم، كما تناولت دراسة لعينة من
.)الطالب وعينة من المعلمين، مثل دراسة (الهازمي) ودراسة (البار ،وتنوعت األدوات المستخدمة كاالستبيان والمقاييس والمقابلة
واتفقت على استخدام المنهج الوصفي، وركزت األهداف في دراسة الدافعية للتعلم على معرفة دور الخدمات االجتماعية المدرسية في
تعزيز الدافعية للتعلم والعوامل المدرسية المؤدية النخفاض الدافعية، والطرق العملية التي يتبعها المدرسون لتحفيز الطالب وإمكانية
التنبؤ بنتائج التعليم المختلفة من خالل خصائص خلفية الطالب المختلفة والكشف عن مدركات الطلبة لبيئة التعلم اآلمنة، وبيان
عالقتها بالتفاعل االجتماعي بين الطلبة ودافعيتهم للتعلم، ومعرفة العالقة بين دافعية التعلم والتو افق الدراسي للتالميذ وتأثير الشعور
باالنتماء للمدرسة على الدافع الداخلي للتعلم، ومعرفة عالقة جودة الحياة بالدافعية للتعلم وتتشابه هذه الدراسات مع الدراسة الحالي ة
في ان العينة من المرحلة االبتدائية وتستخدم االستبيان كأداة ولكنها تتميز بربطها بجودة الحياة ال . جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية وأجرى
بالوك (Bullock, 2017)دراسًًة هدفت لمعرفة العوامل المؤثرة في دافعية الطلبة وتحصًًيلهم األكاديمي في العلوم
على عينة م
ن طالب الصًًًًًًًف
،الثامن بما فيها العالقة بين المعلم والطالب والعالقات بين
،الطلبة وتوقعات المعلمين في العلوم
وتفضًًًًيالت الطلبة المختبر مقابل
،المحاضًًًًرة)والعوامل الشًًًًخصًًًًية للمعلمين (الخدمة في
،المدرسًًًًة الخبرة
،المهنية
،المؤهالت
العمر، وإدراك الطلبة لتوقعات المعلمين في
،العلوم وتكونت عينة الدرارسًًًًًًًة من)
150
) فردًا
،مشًًًًًًًتركًا
واعتمد المنهج الوصًًًًًًًفي
،االرتباطي واسًًًًًًًًًًتخدم مقياس الدافعية للتعلم وأظهرت الدراسًًًًًًًًًًة وجود عالقة ارتباطية دالة بين دافعية الطلبة وإدراكهم
لتوقعات
المعلمين والتوقعات الحقيقية للمعلمين وعمر المعلم
والمؤ
هل العلمي للمعلم. ( وأجرى أحمد وفضول2018
) دراسة هدفت لمعرفة العالقة بين دافعية التعلم والتوافق الدراسي لتالميذ مرحلة التعليم األساسي
بمحلية شرق النيل، كما هدفت لمعرفة الفروق في دافعية التعلم وسط التالميذ تبعًا للنوق، والفصل الدراسي ومستوى تعليم
.الوالدين
ولتحقيق هذه األهداف استخدم الباحثان المنهج الوصفي االرتباطي. ( وقد تم اختيار عينة مكونة من570
) تلميذًا وتلميذة بالطريقة
العشوائية الطبقية من القطاعات التعليمية المختلفة بمحلية شرق النيل. وتمثلت أدوات
الدراسة في استمارة المعلومات األولية ومقياس
دا
فعية التعلم، إضافة لمقياس التوافق الدراسي لتالميذ مرحلة التعليم األساسي. : ًوقد توصلت الدراسة لمجموعة من النتائج، أهمها أوال
تتميّز دافعية التعلم باالرتفاق بدرجة دالة. ثانيًا: توجد
عالقة ارتباطية طردية دالة بين دافعية التعليم والتوافق الدراسي. ثالثًا: توجد
عالقة ارتباطية طردية
دالة بين دافعية التعلم ومستوى تعليم األب. رابعًا: ال توجد عالقة ارتباطية دالة بين دافعية التعلم ومستوى
تعليم األم لدى التالميذ. خامسً ا: ال توجد فروق في دافعية التعلم تبعًا
لمتغيّر النوق لدى التالميذ، وأخيرًا ال توجد فروق
في دافعية
التع
لم تبعًا للمستوى الصفي لدى التالميذ. ( بينما أجرت الرايقي2018
) دراسة هدفت للتعرف على العوامل المدرسية المؤدية النخفاض الدافعية للتعلم من وجهة نظر
طالبات المرحلة الثانوية بمدينة جدة، وقد استخدمت الباحثة المنهج الوصفي، وتكونت أدوات الدراسة من (استبيان) قامت
الباحثة
بإعداده كأداة لجمع البيانات، وتكونت عينة الدراسة من633
طالبة واختيرت العينة بطريقة عشوائية من مدارس التعليم العام بمدينة
:جدة. جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية مدرسية با
ما
ي
وتوصلت نتائج الدراسات إلى أنه توجد عالقة ارتباطية طردية بين دافعية التعليم والتوافق الدراسي، وأنّ الصحة المدرسية
تساهم في تعزيز الدافعية للتعلم، كما أنّ الدافعية للتعلم تعود إلى التشجيع والتحفيز من قبل اآلخرين، وأنّ الشعور السلبي باالنتما ء
للمدرس ة له تأثير سلبي على الدافع الداخلي وعلى التعلم، وفي المقابل يؤثر الدافع الداخلي بشكل إيجابي وكبير على التعلم، وأظهرت
النتائج أيضً ا تفوق اإلناث على الذكور في مستوى إدراكهنّ لبيئة التعلم اآلمنة، ووجود فروق ذات داللة إحصائية بين مدركات الطلبة
لبيئة التعلم اآل منة باختالف نوق المدرسة لصالم المدارس الخاصة، ووجود عالقة إيجابية بين مدركات الطلبة لبيئة التعلم اآلمنة
ودافعيتهم للتعلم، ووجود عالقة إيجابية بين مدركات الطلبة لبيئة التعلم اآلمنة وتفاعلهم االجتماعي، وأنّ العوامل المدرسية المرتبط ة
بالبيئة الصفية والمؤدية ال نخفاض الدافعية للتعلم كانت بدرجة عالية، واختلفت هذه النتائج مع نتائج دراسة (الهازمي) حيث أرجعت
سبب انخفاض الدافعية إلى طريقة تدريس المعلمين، وقلة االهتمام واالستمتاق بما يطرح، وكذلك صعوبة المقررات، وأخيرًا توصلت
النتائج إلى أنّ خلفية الطالب المختلفة ودواف ع التعلم يمكن أن تنبئ بنتائج تعليمية مختلفة وأهمية الدافع التعليمي، وتشير إلى أنه
يمكن للمدربين تزويد الطالب بخبرات تعليمية أكثر نجاحًا لضمان مزيد من الثقة في قدراتهم التعليمية، وتم االستفادة من هذه الدراسات
اف ة ال ل
ق ا
ا
ا دراسات جمعت ما بين
:الدافعية للتعلم وجودة الحياة المدرسية
( أجرى لي وآخرونLee et al., 2011
) دراسة هدفت إلى التعرف على التأثيرات المباشرة للبيئة والتعلم الصفي على تصورات
( التالميذ حول جودة الحياة المدرسية وشعورهم باالنتماء في المدارس االبتدائية، وقد تكونت العينة من34
ً) تلميذ ا من تالميذ الصف
الرابع والخامس من المدارس االبتدائية في مدينة شنغهاي شرق الصين ومدينة كونمينج غرب الصين، واستخدمت الدراسة المنهج
االستكشافي، كما استعانت الدراسة بمقياس جودة الحياة المدرسية، ومقياس االتجاهات والسلوكيات الجماعية تجاه التعلم في البيئة
الصفي ة، ومقياس المشاركة الطالبية لقياس الشعور باالنتماء للمدرسة االبتدائية لدى التالميذ، وقد توصلت الدراسة إلى العديد من IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 189 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان النتائج أهمّها أنّ الفصل الدراسي الذي يركز على العملية التعليمية والتعلم من األقران يعتبر مؤشّ رًا قويًّا على تصورات التالميذ حول
جودة الحياة
المدرسية أكثر من الفصل الدراسي الذي يركز على األداء الجيّد. جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية وجود تأثير إيجابي ذي داللة لتصورات التالميذ حول
جودة الحياة المدرسية المتمثلة في الرضا العام والتكامل االجتماعي والعالقات بين التالميذ والمعلمين على شعور التالميذ باالنتماء
إلى المدرسة االبتدائية . كما أنه ال يعتبر الشعور باإلنجاز لدى التالميذ من المؤشرات ذات الداللة على الشعور باالنتماء للمدرسة
االبتدائية، ويساعد الرضا العام لدى التالميذ عن الحياة المدرسية في تحسين مشاركتهم في التعلم، مما يسهم في تحسين النتائج
التعليمية لدى التالميذ في المدارس اال بتدائية. وانخفاض مستوى التأثير المباشر للبيئات التعليمية الصفية على مشاركة التالميذ في
التعلم في المدارس االبتدائية، وتعتبر أهمية البيئات التعليمية الصفية في تعزيز المشاركة الطالبية في التعلم من المحددات الهامة
المتعلقة بتصورات التالميذ حول جودة الحياة في المدارس االبتدائية. كما أوصت الدراسة بالعديد من التوصيات، أهمها: ضرورة
تركيز مديري المدارس والمعلمين على بناء البيئة الصفية التعاونية التي تعزّ ز العالقات اإليجابية بين التالميذ والمعلمين لتحسين
مشاركتهم في عملية التعلم، وكذلك ضرورة إجراء المزيد من الدراسات
.المستقبلية على الطالب في المراحل التعليمية المختلفة
( كما أجرى غريسم وآخرونGherasim et al., 2011
) دراسة هدفت لبحث مدى إسهام األفكار التحفيزية في التنبؤ بالتحصيل
المدرسي والكفاءة المتصورة لدى الطالب أثناء التفاعل في البيئة التعليمية، وقد تكوّن مجتمع الدر اسة من الطالب في الصف السابع
الذين بلغت متوسط أعمارهم13
( عامًا في المدارس الرومانية، واشتملت عينة الدراسة على350
طالبًا189
،من اإلناث161
من
الذكور) واستخدمت الدراسة المنهج المسحي، كما استعانت بمقياس الدافعية الداخلية في الفصول الدراسية، ومقياس أهداف اإل نجاز
من خالل المسم المتعلق بأنماط التعلم التكيفي، ومقياس بيئة التعلم، ومقياس الكفاءة المتصورة لدى الطالب، ومقياس التحصيل
الدراسي، وقد توصلت الدراسة إلى عدة نتائج، أهمها أنه يساعد الترابط الصفي والتوجه نحو المهام في التنبؤ بشكل دال على التحصيل
المدرسي لدى ا لطالب. ويعتبر الترابط والتعاون الصفي من المؤشرات ذات الداللة على الكفاءة المتصورة لدى الطالب. وتساعد
أهداف اإلنجاز القائمة على األسلوب المتعلق باألداء والبراعة في التنبؤ بالتحصيل المدرسي والكفاءة المتصورة لدى الطالب. وعدم
وجود دور وسيط للبيئة التعليمية في تأثير األفكار التحفيزية على التحصيل الطالبي والكفاءة المتصورة لدى الطالب. جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان المدارس األهلية والحكومية بالسعودية توجد عالقة ارتباطية بين المناخ المدرسًي ودافعية التعلم لدى عينة من تالميذ السًنة المتوسًطة وأوصًت بما يلي: (االهتمام بالمناخ
المدرسًًًًًًي من خالل فتم المجال للتالميذ للتعبير عن آرائهم وأفكارهم، وتعزيز العالقات اإلنسًًًًًًانية السًًًًًًليمة بين أفراد الطاقم التربوي
من خالل تبنّي سًًًياسًًًات تقوم على االحترام والمشًًًاركة والثقة المتبادلة. والتقليل من سًًًلبيات المؤسًًًسًًًة التربوية والعمل على توطيد
العالقات االجتماعية السًًًًل يمة. وتعزيز العالقات بين األسًًًًرة والمدرسًًًًة ومختلف المؤسًًًًسًًًًات االجتماعية من أجل ملء الفرا الذي
يعيشه المراهقون، وكذلك دعم األنشطة الالصفية التي من شأنها توطيد العالقات بين التالميذ واألساتذة. والتركيز على التعلم الذاتي
للتالميذ من خالل اإلسًًًًًتراتيجيات التي تركز على المتعلم. وإعداد برامج إرشًًًًًًادية لتنمية دافعية التعلم ومهارات التفكير واالسًًًًًًتذكار
لدى التالميذ. تنوعت العينة للمراحل التعليمية االبتدائية والمتوسًًًًًًًطة والثانوية في الدراسًًًًًًًات السًًًًًًًابقة التي تناولت الدافعية للتعلم وعالقتها بالحيا ة
المدرسًًًية، وجميعها تناولت العينة من الطالب، واقتصًًًرت األدوات على المقاييس فقط دون المقابلة ، واتفقت على اسًًًتخدام المنهج
الوصًًًفي ما عد ا دراسًًًة غريسًًًم حيث اسًًًتخدمت المنهج المسًًًحي. كما أنّ األهداف في هذه الدراسًًًات اهتمت بالتعرّف على عالقة
المناخ المدرسًًًًًًًًًًًًي بالدافعية للتعلم وبيان عالقة الدافعية باالندماج المدرسًًًًًًًًًًًًي وتحديد تأثيرات تصًًًًًًًًًًًًورات الطالب عن جودة الحياة
المدرسًًًًًًية على مسًًًًًًتويات الدافع للتعلم والتعرف على التأثيرات المباشًًًًًًرة للبيئة والتعلم الصًًًًًًفي على تصًًًًًًورات الطالب حول جودة
الحياة المدرسًًية وشًًعورهم باالنتماء، وبحث إلى أيّ مدى تسًًهم األفكار التحفيزية في التنبؤ بالتحصًًيل المدرسًًي والكفاءة المتصًًورة
لًًدى الطالب أثنًًاء التفًًاعًًل في البيئًًة التعليميًًة، كمًًا بيّنًًت نتًًائج درا ،سًًًًًًًًًًًًًًًة (حليم2015
) وجود عالقًًة بين الًًدافعيًًة األكًًاديميًًة
واالندماج المدرسًًي، وتوصًًًلت نتائج دراسًًة (غوسًًترلوقلو) بإمكانية تنبؤ جودة الحياة المدرسًًية بالدافعية للتعلم، وكذلك اتفقت معهم
نتائج دراسًًة (لي) في أنّ الرضًًا العام لدى الطالب عن الحياة المدرسًًية يسًًاعد في تحسًًين مشًًا ركة الطالب في التعلم؛ مما يسًًهم
في تحسًًين النتائج التعليمية، ووجود تأثير إيجابي لتصًًورات الطالب حول جودة الحياة المدرسًًية على شًًعور الطالب باالنتماء إلى
المدرسًًًة، وأنّ الفصًًًل الدراسًًًي الذي يركز على العملية التعليمية والتعلم من األقران يعتبر مؤشًًً ّ رًا قويًّا على تصًًًور ات الطالب حول
،جودة الحياة المدرسًية، ودعمتها نتائج دراسًة (غريسًم2011
) في أنه يسًاعد الترابط الصًفي في التنبؤ بشًكل دال على التحصًيل
المدرسًًًًًًًًي لدى الطالب. جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية كما أوصت
الدراسة بالعديد من التوصيات، أهمها: ضرورة إجراء المزيد من الدراسات المستقبلية التي تتناول العوامل المؤثرة على الدافعية للتعلم
لدى الطالب، وكذلك ضرورة تسليط الضوء على أساليب.تعزيز التحصيل الدراسي والكفاءة المتصورة لدى الطالب في التعلم
( كما قام حليم2015
) بدراسًًًًًًًًًًًًة هدفت إلى التعرف على العالقة بين كلٍّّ من الدافعية األكاديمية واالندماج المدرسًًًًًًًًًًًًي لدى
تالميذ المرحلة اإلعدادية، وقد اسًًًتخدم الباحث المنهج الوصًًًفي، وتكونت أدوات الدراسًًًة من مق ياسًًًي الدافعية األكاديمية واالندماج
( المدرسًًًًًي، وتكونت عينة الدراسًًًًًة من380
) طالبًا وطالبة من المرحلة اإلعدادية، وتوصًًًًًلت النتائج إلى وجود عالقة بين الدافعية
.األكاديمية واالندماج المدرسي وأجرى غوسًترلوقلوKösterelioglu,2015)) دراسًة هدفت إلى تحديد تأثيرات تصًورات
طالب المدارس الثانوية عن جودة
.الحياة المدرسية على مستويات الدافع للتعلم
( وقد أجريت الدراسة على عينة من طالب المدارس الثانوية بلغ عددها2371
) طالبًا
( في مقاطعة أماسًًيا في فصًًل الخريف من العام الدراسًًي2014
). تم اختيار عينة الدراسًًة بمسًًاعدة طريقة أخذ العينات .العنقودية
،تم جمع البيًانًات عبر نموذج المعلومًات الشًًًًًًًًًًًًًًخصًًًًًًًًًًًًًًيًة التي طورهًا البًاحثون، ومقيًاس التحفيز األكًاديمي الًذي طورتًه بوزانوغلو
ومقياس جودة الحياة المدرسًًًًًًية الذي طورته سًًًًًًاري. واسًًًًًًتخدام تحليل االنحدار المتعدد. وتبيّن النتائج بإمكانية تنبؤ جميع متغيّرات
جودة الحياة.المدرسية بالدوافع األكاديمية ( كما قام لكحل2017
) بدراسًًة هدفت إلى التعرّف على عالقة المناخ المدرسًًي بالدافعية للتعلم لدى عينة من تالميذ السًًنة
( رابعة متوسًًًًط. وقد تم االعتماد على المنهج الوصًًًًفي، كما تكوّنت عينة الدراسًًًًة من60) تلميذًا وتلميذة اختيروا بطريقة عشًًًًوا ئية
طبقية، طبّق عليهم مقياس المناخ المدرسًًي ومقياس دافعية التعلم. وبعد المعالجة اإلحصًًائية للمعطيات. أسًًفرت النتائج إلى أنه ال IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 190 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية ويعتبر الترابط والتعاون الصًًًًًًًًفي من المؤشًًًًًًًًرات ذات الداللة على الكفاءة المتصًًًًًًًًورة لدى الطالب، بينما
اختلف مع هذه ا لدراسًًًًًًًات في عدم وجود دور وسًًًًًًًيط للبيئة التعليمية في تأثير األفكار التحفيزية على التحصًًًًًًًيل الطالبي والكفاءة
المتصًًًًًًورة لدى الطالب، واتفقت معه نتائج دراسًًًًًًة (لكحل) التي أظهرت أنه ال توجد عالقة ارتباطية بين المناخ المدرسًًًًًًي ودافعية
.التعلم .التعلم ومن خالل العرض السابق لهذه ال دراسات جميعها تم االستفادة منها في اعتماد المنهج الوصفي الرتباطي، واختيار العينة
من المرحلًة االبتًدائيًة؛ ألنّ البحوث في هًذه العينًة في جودة الحيًاة المًدرسًًًًًًًًًًًًًًيًة في الوطن العربي قليلًة جًدًّا، ومقًارنًة النتًائج بين
المدرسًًًًًة الحكومية واألهلية لمعرفة مسًًًًًتوى الخدمات المقدم ة في هذه المؤسًًًًًسًًًًًات، وحسًًًًًب علم الباحثة لم تظهر دراسًًًًًة من هذه
الدراسًًًًات تناولت مفهوم جودة الحياة المدرسًًًًية وربطتها بمتغيّر الدافعية للتعلم في المرحلة االبتدائية في العالم العربي، وهذا ما دف ع
:الباحثة لدراسة هذا البحث، وتصو الباحثة فروض الدراسة كالتالي
فروض البح :ث 1
. توجًد عالقًة ارتبًاطيًه موجبًة دالًة إحصًًًًًًًًًًًًًًًائيًًّا بين جودة الحيًاة المًدرسًًًًًًًًًًًًًًيًة والًدافعيًة للتعلم لًدى تلميًذات المًدارس
)(الحكومية، واألهلية
2
. .ال توجد فروق ذات داللة إحصائية بين تلميذات المدارس (الحكومية، واألهلية) في جودة الحياة المدرسية
3
. ال توجد فروق ذات داللة.إحصائية بين تلميذات المدارس (الحكومية، واألهلية) في دافعية التعلم 1
. توجًد عالقًة ارتبًاطيًه موجبًة دالًة إحصًًًًًًًًًًًًًًًائيًًّا بين جودة الحيًاة المًدرسًًًًًًًًًًًًًًيًة والًدافعيًة للتعلم لًدى تلميًذات المًد
)(الحكومية، واألهلية
2
. .ال توجد فروق ذات داللة إحصائية بين تلميذات المدارس (الحكومية، واألهلية) في جودة الحياة المدرسية
3
. ال توجد فروق ذات داللة.إحصائية بين تلميذات المدارس (الحكومية، واألهلية) في دافعية التعلم 191
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 المدارس األهلية والحكومية بالسعودية 4
. .يمكن التنبؤ بالدافعية للتعلم من خالل جودة الحياة المدرسية لدى تلميذات المدارس الحكومية واألهلية
منهجية البحث وإجراءاته
:منهج البحث اسًًتخدمت الباحثة (المنهج الوصًًفي) بشًًقّيه (االرتباطيا المقار ن)، "وهو ذلك النوق من أسًًاليب البحث الذي يمكن بواسًًطته
،معرفة ما إذا كانت ثمة عالقة بين متغيّرين أو أكثر، معرفة درجة تلك العالقة". IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 :أوالً : مقياس جودة الحياة المدرسية ،أعدّه (ويليامز وباتين1981)، وترجمه (نواف العصًًًًًًًًًيمي)، ويهدف إلى معرفة جود ة الحياة المدرسًًًًًًًًًية (رضًًًًًًًًًا التلميذ عن
( المدرسًًة)، وقد تكوّن المقياس في صًًورته النهائية من40
ٍّّ) عبارة، وطريقة اإلجابة على المقياس اختيار إجابة من (نعم، إلى حد
( ما، ال)، وتُعطى الدرجة0
( ) لإلجابة بًًًًًً (ال)، والدرجة1
( ) لإلجابة بًًًًًً (إلى حدٍّّ ما)، والدرجة2) لإلجابة
بًًًًًً (نعم)، وينعكس ذلك
( في العبارات السلبية بالمقياس، وهي العبارات رقم12
،
19
،
25
،
35
،
38
،
39
،
40
.) )تم حسًًاب صًًدق المقياس بحسًًاب معامل االرتباط بين درجة كلّ مفردة والدرجة الكلية للمقياس (محذوفًا منها درجة المفردة
ًبًافتراض بقيًة المفردات محكًًّا للمفردة، وقًد وُج د أنّ جميع معًامالت االرتبًاط دالًة إحصًًًًًًًًًًًًًًائيًًّا، وقًد تراوحًت قيم معًامالت االرتبًاط
للمقياس ما بين(
0.618
،
0.721
،)
.وجميعها معامالت ارتباط جيّدة وبالنسًًًًًبة لثبات المقياس فقد تم حسًًًًًاب الثبات للمقياس ككل بطريقة التجزئة النصًًًًًًفية، وكانت معامالت الثبات على النحو
التالي، مع( امل الثبات للمقياس بطريقة سًًًبيرمانا براون تسًًًاوي0.711
( )، وبطريقة جتمان0.648
)، وهي معامالت ثبات عالية
( تدلّ على أنّ الميقاس ككل ثابت، كما تم التحقق من ثبات المقياس باسًًًتخدام طريقة كودر ريتشًًًاردسًًًونK-R21
)، وبلغ معامل
( الثبات0.72
ٍّ)، وهو معامل ثبات عال.للمقياس، ويدلّ على أنّ المقياس ككل ثابت ( تم عرض المقياس بصًًًًًورته األولية على9
) من المحكمين* من أعضًًًًًاء الهيئة التعليمية ت من ذوي التخصًًًًًصًًًًًات التربوية و
ال نفسًًًًًًًًًًًًية في عدد من الجامعات السًًًًًًًًًًًًعودية المختلفة
، كذلك جامعة اإلسًًًًًًًًًًًًكندرية وذلك بهدف الوقوف على أرائهم حول عبارات
. المقياس ومدى مناسبتها ووضوحها وسالمتها اللغوية ا
وبنًاءً على التعًديالت واالقتراحًات التي أبًداهًا المحكّمون، قًامًت البًاحثًة بًإجراء التعًديالت الالزمًة التي اتفق عليهًا غًالبيًة
( المحكّمين، من تعديل بعض العبارات وحذف عبارات أخرى، حتى أصًًًًًًًًًًًًًبم المقياس في صًًًًًًًًًًًًًورته النهائية ملحق رقم4
)، وقد تم
( اإلبقاء على جميع المفردات التي حظت بنسًًًًًًبة موافقة تفوق80.0
،) لألسًًًًًًاتذة المحكّمين، وحذف كلّ مفردة خارج هذه النسًًًًًًبة%
حيث إ( نّ المقياس في صًًًًًًورته األولية كان عدد عباراته46
)، وتم التعديل بناءً على المحكّمين في وضًًًًًًع محاور وأخطاء إمالئية
( وحذف بعض العبارات وتعديل عبارات أخرى ليصًًًًًًًًًًًًًًبم مجموق العبارات40
( ) عبارة، حيث تم حذف العبارات رقم3
،
5
،
10
،
29
،
35
،
37
.) : *أسماء السادة المحكمين
1
-
أ د ا فاطمة خلف الهويش–
أستاذ بجامعة اإلمام عبد الرحمن بن فيصل
2
-
أ د ا سامية األنصاري–
. أستاذ بجامعة اإلسكندرية
3
-
أ د ا أحمد صابر أحمد الشركسي–
أستاذ مشارك . جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية سنوات ونصف •
العينة االستطالعية: تم اختيار عينة مكونة( من196
،) تلميذة من تالميذ المرحلة االبتدائية بغرب الدمام بطريقة عشوائية
بهدف التحقق من الخصًًًًًًائص السًًًًًًيكومترية ألدوات البحث من خالل إيجاد معامالت الصًًًًًًدق والثبات لمقياسًًًًًًي البحث
.وكان التطبيق الكتروني عن بعد •
( العينة األسًًًًاسًًًًية: قامت الباحثة باختيار عينة عشًًًًوائية بسًًًًيطة مكونة من386
) تلميذة من تلميذات المدارس االبتدائية
في الصًًف الخامس والسًًادس (األهلية والحكومي) بغرب الدمام، وقد اعتمدت الباحثة على معادلة سًًتيفن ثامبسًًون لتحديد
( حجم عينة البحث، وقد حصًًًلت الباحثة على386
) اسًًًتجابة مكتملة وجاهزة لعملية التحليل وكان التطبيق الكتروني عن
.بعد :خصائص أفراد عينة البحث
:يتصف أفراد عينة البحث بعدد من الخصائص تتمثل في: نوق المدرسة، الصف الدراسي، نوضحها فيما يلي
1
-
نوق المدرسة :خصائص أفراد عينة البحث
:يتصف أفراد عينة البحث بعدد من الخصائص تتمثل في: نوق المدرسة، الصف الدراسي، نوضحها فيما يلي
1
-
نوق المدرسة ( جدول رقم3
)
:
توزيع عينة البحث وفقًا لمتغيّر نوع المدرسة
ن وع المدرسة
التكرارات
النسبة المئوية
حكومية
354
91.7
أهلية
32
8.3
اإلجمالي
386
100.0 ( يوضًًًًًم الجدول رقم3) توزيع عينة الدراسًًًًًة وفقًا لمتغيّر نوق المدرسًًًًًة، حيث إنّ الغالبية العظمى من أفراد البحث بمدارس
( حكومية بتكرار354
( ) تلميذة وبنسبة91.7
)، في حين%
( أنّ هناك32
( ) تلميذة بنسبة8.3
.) بمدارس أهلية%
( جدول رقم4
)
:
توزيع عينة البحث وفقًا لمتغيّر الصف الدراسي
الصف الدراسي
التكرارات
النسبة المئوية
خامس ابتدائي
194
50.3
سادس ابتدائي
192
49.7
اإلجمالي
386
100.0 ( يوضًًًًًم الجدول رقم3) توزيع عينة الدراسًًًًًة وفقًا لمتغيّر نوق المدرسًًًًًة، حيث إنّ الغالبية العظمى من أفراد البحث بمدارس
( حكومية بتكرار354
( ) تلميذة وبنسبة91.7
)، في حين%
( أنّ هناك32
( ) تلميذة بنسبة8.3
.) بمدارس أهلية%
( جدول رقم4
)
:
توزيع عينة البحث وفقًا لمتغيّر الصف الدراسي
الصف الدراسي
التكرارات
النسبة المئوية
خامس ابتدائي
194
50.3
سادس ابتدائي
192
49.7
اإلجمالي
386
100.0 192 زهراء سليمان المدارس األهلية والحكومية بالسعودية ( يتضًًًًًًًًم من خالل الجدول رقم4
) أنّ هناك(
194
( ) تلميذة يمثلن ما نسًًًًًًًًبته50.3
ّ) بالصًًًًًًًًف الخامس االبتدائي، في حين أن%
( هناك192
( ) تلميذة يمثلن ما نسبته49.7
.) بالصف السادس االبتدائي%
:أدوات البحث جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية (العسًًًً ّ اف2003م، ص283
)، فالمنهج الوصًًًًفي
االرتباطي لمعرفة العالقة بين جودة الحياة المدرسًًًًًًًًًًية والدافعية للتعلم، أما المنهج الوصًًًًًًًًًًفي الم قارن لتحديد الفروق ومعرفة داللتها
.)اإلحصائية بين جودة الحياة المدرسية والدافعية للتعلم تبعًا لمتغيّرات الدراسة (نوق المدرسة، الصف الدراسي
:مجتمع البحث يتكون مجتمع البحث من جميع التلميذات في المدارس االبتدائية في الصًًًًًًًًًًًًف الخامس والسًًًًًًًًًًًًادس (األهلية والحكومية) في
( ّغرب الًدمًام والبًالغ عًددهن9844
( ) بواقع9107
() تلميًذة في المًدارس الحكوميًة و737
) تلميًذة في المًدارس األهليًة توتتراوح
أعمارهن بين11
و12
سنة ومتوسط عمر العينة10
. IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 :أوالً : مقياس جودة الحياة المدرسية بجامعة اإلمام عبد الرحمن بن فيصل
4
-
أ د ا جمال عبد الحميد جادو–
. أستاذ مشارك بجامعة القصيم
5
-
أ د ا حلمي محمد حلمي الفيل–
. :ثانيًا: مقياس الدافعية للتعلم :ثانيًا: مقياس الدافعية للتعلم
( أعده شًًًًًًًًادي الصًًًًًًًًرايرة2015
( ) وطبق على البيئة األردنية و يتكون المقياس في صًًًًًًًًورته النهائية من37) عبارة
تتناول
الدافعية للتعلم، وهي مقسًً ّ مة على بُعدين، حيث يتناول المقياس الدافعية الداخلية والخارجية للتعلم، ويتكون بُعد الدافعية الداخلية من
(
19
( ) عبًًارة وهي1
،
2
،
10
،
18
،
19
،
20
،
21
،
22
،
23
،
24
،
27
،
28
،
30
،
31
،
32
،
33
،
34
،
35
،
36
)، ويتكون
بُعًًد الًًدافعيًًة الخًًارجيًًة
( من18
( ) عبًًارة، وهي3
،
4
،
5
،
6
،
7
،
8
،
9
،
11
،
12
،
13
،
14
،
15
،
16
،
17
،
25
،
26
،
29
،
37
.) وللتحقّق من الخصًائص السًيكومرتية للمقياس قامت الباحثة بعرض المقياس على مجموعة من المحكّمين المتخصً ّ صًين في
علم النفس التربوي والقياس والتقويم واإلرشًاد النفسًي والتربوي، والت ربية الخاصًة بجامعة مؤتة، وفي ضًوء اقتراحاتهم تم حذف بعض
( العبارات وتم التعديل على عبارات أخرى، حتى ظهرت الصورة النهائية من المقياس التي تحتوي على40
.) عبارة
كما قامت الباحثة بالتحقق من صًًًدق االتسًًًاق الداخلي باسًًًتخدام معامل ارتباط بيرسًًًون، حيث تراوحت قيم معامل ا الرتباط
( لعبًًارات المقيًًاس مًًا بين0.31
،
0.56
)، وجميعهًًا موجبًًة، ممًًا يعني وجود عالقًًة ارتبًًاطيًًة موجبًًة ومتوسًًًًًًًًًًًًًًطًًة بين المجًًال
.والعبارات، وذات داللة إحصائية، األمر الذي يدلل على صدق المقياس ا وللتحقّق من الخصًائص السًيكومرتية للمقياس قامت الباحثة بعرض المقياس على مجموعة من المحكّمين المتخصً ّ صًين في
علم النفس التربوي والقياس والتقويم واإلرشًاد النفسًي والتربوي، والت ربية الخاصًة بجامعة مؤتة، وفي ضًوء اقتراحاتهم تم حذف بعض
( العبارات وتم التعديل على عبارات أخرى، حتى ظهرت الصورة النهائية من المقياس التي تحتوي على40
.) عبارة وللتحقّق من الخصًائص السًيكومرتية للمقياس قامت الباحثة بعرض المقياس على مجموعة من المحكّمين المتخصً ّ صًين في
علم النفس التربوي والقياس والتقويم واإلرشًاد النفسًي والتربوي، والت ربية الخاصًة بجامعة مؤتة، وفي ضًوء اقتراحاتهم تم حذف بعض
( العبارات وتم التعديل على عبارات أخرى، حتى ظهرت الصورة النهائية من المقياس التي تحتوي على40
.) عبارة
كما قامت الباحثة بالتحقق من صًًًدق االتسًًًاق الداخلي باسًًًتخدام معامل ارتباط بيرسًًًون، حيث تراوحت قيم معامل ا الرتباط
( لعبًًارات المقيًًاس مًًا بين0.31
،
0.56
)، وجميعهًًا موجبًًة، ممًًا يعني وجود عالقًًة ارتبًًاطيًًة موجبًًة ومتوسًًًًًًًًًًًًًًطًًة بين المجًًال
.والعبارات، وذات داللة إحصائية، األمر الذي يدلل على صدق المقياس
( وللتحقق من ثبات المقياس تم تطبيقه على عينة استطالعية قوامها30) فردًا، وبلغ م( عامل الثبات الكلي للمقياس0.79
،)
( وبلغ لمجًال الًدافعيًة الخًارجيًة0.851
( )، وللًدافعيًة الًداخليًة0.60
،)، هًذا يًدلّ على أنّ المقيًاس يتمتع بًدرجًة مقبولًة من الثبًات
.وبالتالي يمكن االعتماد عليه في التطبيق الميداني للدراسة علم النفس التربوي والقياس والتقويم واإلرشًاد النفسًي والتربوي، والت ربية الخاصًة بجامعة مؤتة، وفي ضًوء اقتراحاتهم تم حذف بعض
( العبارات وتم التعديل على عبارات أخرى، حتى ظهرت الصورة النهائية من المقياس التي تحتوي على40
.) عبارة
كما قامت الباحثة بالتحقق من صًًًدق االتسًًًاق الداخلي باسًًًتخدام معامل ارتباط بيرسًًًون، حيث تراوحت قيم معامل ا الرتباط
( لعبًًارات المقيًًاس مًًا بين0.31
،
0.56
)، وجميعهًًا موجبًًة، ممًًا يعني وجود عالقًًة ارتبًًاطيًًة موجبًًة ومتوسًًًًًًًًًًًًًًطًًة بين المجًًال
.والعبارات، وذات داللة إحصائية، األمر الذي يدلل على صدق المقياس ى
يأا
( وللتحقق من ثبات المقياس تم تطبيقه على عينة استطالعية قوامها30) فردًا، وبلغ م( عامل الثبات الكلي للمقياس0.79
،)
( وبلغ لمجًال الًدافعيًة الخًارجيًة0.851
( )، وللًدافعيًة الًداخليًة0.60
،)، هًذا يًدلّ على أنّ المقيًاس يتمتع بًدرجًة مقبولًة من الثبًات
.وبالتالي يمكن االعتماد عليه في التطبيق الميداني للدراسة وللتحقق من الكفاءة السيكومترية لمقياس جودة ال : حياة المدرسية بالبحث الحالي استخدمت ا ا
( تم عرض المقياس بصًًًًًورته األولية على9
) من المحكمين* من أعضًًًًًاء الهيئة التعليمية ت من ذوي التخصًًًًًصًًًًًات التربوية و
النفسًًًًًًًًًًًًية في عدد من الجامعات السًًًًًًًًًًًًعودية المختلفة
، كذلك جامعة اإلسًًًًًًًًًًًًكندرية وذلك بهدف الوقوف على أرائهم حول عبارات
. :ثانيًا: مقياس الدافعية للتعلم المقياس ومدى مناسبتها ووضوحها وسالمتها اللغوية وبنًاءً على التعًديالت واالقتراحًات التي أبًداهًا المحكّمون، قًامًت البًاحثًة بًإجراء التعًديالت الالزمًة التي اتفق عليهًا غًالبيًة
( المحكّمين، من تعديل بعض العبارات وحذف عبارات أخرى، حتى أصًًًًًًًًًًًًًبم المقياس في صًًًًًًًًًًًًًورته النهائية ملحق رقم6
)، وقد تم
اإلبقاء على جميع المفردات التي حظيت بنسًًًًًبة م( وافقة تفوق80.0
،) لألسًًًًًاتذة المحكّمين، وحذف كلّ مفردة خارج هذه النسًًًًًبة%
( حيًث إنّ المقيًاس في صًًًًًًًًًًًًًًورتًه األوليًة كًان عًدد عبًاراتًه40
( ) عبًارة موزعًة على محورين18
عبًارة الًدافعيًة الخًارجيًة و22
عبارة الدافعية الداخلية)، وتم التعديل بناءً على المحكّمين في وضع محاور وأخ طاء إمالئية وحذف بعض العبارات وتعديل عبارات
أخرى ليصًبم مجموق العبارات37
( عبارة، حيث تم حذف العبارات رقم2
،
15
،
25
)، ليُصًبم عددها في محور الدافعية الخارجية
(
18
( ) عبارة، والدافعية الداخلية19
.) عبارة IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 :أوالً : مقياس جودة الحياة المدرسية أستاذ مشارك بجامعة االسكندرية 193
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 193 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان المدارس األهلية والحكومية بالسعودية 6
-
أ د ا سومية شكري محمد محمود-
.أستاذ مشارك بجامعة اإلمام عبد الرحمن بن فيصل
7
-
أ د
ا فيصل عبد الفتاح–
.أستاذ مشارك بجامعة اإلمام عبد الرحمن بن فيصل
8
-
د ا نعمة محمدعبد السالم–
أستاذ مشارك بجامعة اإلمام عبد الرحمن بن فيصل
9
-أدا مها عبد المنعم أبو القاسم-
أستاذ مساعد بجامعة الملك فيصل ي
قا
ي
تم التأكد من االتسًًًًًًًًًًاق الداخلي لمقياس جودة الحياة المدرسًًًًًًًًًًية باسًًًًًًًًًًتخدام معامل االرتباط بيرسًًًًًًًًًًون بالتطبيق على عينة
( اسًًًًًًًًًًتطالعية مكونة من196
) تلميذة، حيث تم حسًًًًًًًًًًاب معامل االرتباط بين درجة كلّ عبارة من عبارات المقياس بالدرجة الكلية
للبُعد الذي تنتمي إليه العبارة، كما توضم ذلك الجداو.ل التالية ( جدول5
):
معامالت ارتباط بيرسون لعبارات أبعاد مقياس مقياس جودة
= الحياة المدرسية بالدرجة الكلية للمقياس (ن196
)
العبارة
معامل االرتباط
العبارة
معامل االرتباط
العبارة
معامل االرتباط
العبارة
معامل االرتباط
1
0.742
**
11
0.587
**
21
0.527
**
31
0.662
**
2
0.769
**
12
0.715
**
22
0.625
**
32
0.607
**
3
0.729
**
13
0.613
**
23
0.507
**
33
0.635
**
4
0.595
**
14
0.886
**
24
0.595
**
34
0.650
**
5
0.508
**
15
0.587
**
25
0.547
**
35
0.622
**
6
0.655
**
16
0.778
**
26
0.603
**
36
0.621
**
7
0.684
**
17
0.769
**
27
0.519
**
37
0.578
**
8
0.710
**
18
0.731
**
28
0.526
**
38
0.702
**
9
0.554
**
19
0.668
**
29
0.607
**
39
0.739
**
10
0.680
**
20
0.716
**
30
0.823
**
40
0.748
**
دال عند مستوى0.01 194
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4 0
دال عند مستوى0.01
( يتضًًًًًًًًًًًًًًم من خالل الجًدول رقم5
( ) أنّ جميع العبًارات دالًة عنًد مسًًًًًًًًًًًًًًتوى0.01
)، حيًث تراوحًت قيم معًامالت االرتبًاط
( لعبًارات المقيًاس مًا بين0.508
،
0.886
)، وجميعهًا معًامالت ارتبًاط جيًّدة، وهًذا يعطي داللًة على ارتفًاق معًامالت االتسًًًًًًًًًًًًًًاق
.الداخلي، كما يشير إلى مؤشرات صدق مرتفعة وكافية يمكن الوثوق بها في تطبيق أداة الدراسة الحالية
ثبات مقياس جودة الحياة
:المدرسية
قامت الباحثة بقياس ثبات مقياس جودة الحياة المدرسية باستخدام معامل ثبات الفاكرونباخ، والتجزئة النصفية بعد التصحيم
( باستخدام معامل جتمان، والجدول رقم6
:) يوضم معامل الثبات للمقياس، وذلك على النحو التالي
( جدول6
): معامل ألفا كرونباخ
= والتجزئة النصفية لقياس ثبات مقياس جودة الحياة المدرسية (ن196
)
المحور
معامل الثبات
ألفا كرونباخ
جتمان
الثبات الكلي
0.900
0.919
( يوضًًًًًًم الجدول رقم6
) أنّ مقياس جودة الحياة المدرسًًًًًًية يتمتع بمعامالت ثبات مرتفعة يمكن الوثوق بها في تطبيق أداة الدراسًًًًًًة
.الحالية ( يتضًًًًًًًًًًًًًًم من خالل الجًدول رقم5
( ) أنّ جميع العبًارات دالًة عنًد مسًًًًًًًًًًًًًًتوى0.01
)، حيًث تراوحًت قيم معًامالت االرتبًاط
( لعبًارات المقيًاس مًا بين0.508
،
0.886
)، وجميعهًا معًامالت ارتبًاط جيًّدة، وهًذا يعطي داللًة على ارتفًاق معًامالت االتسًًًًًًًًًًًًًًاق
.الداخلي، كما يشير إلى مؤشرات صدق مرتفعة وكافية يمكن الوثوق بها في تطبيق أداة الدراسة الحالية
ثبات مقياس جودة الحياة
:المدرسية 194
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 زهراء سليمان المدارس األهلية والحكومية بالسعودية :ثالثًا: صدق المقارنة الطرفية للتأكد من قدرة مقياس االتجاه نحو الخدمات التعليمية والطالبية على التميز بين استجابات المفحوصين ، استخدمت الباحثة
( طريقة المقارنة الطرفية ، حيث قامت بتطبيق المقياس على العينة االستطالعية مكونة من196
طالبة) تم ترتيب درجاتهن ترتيبا
تنازليا ، وتم الحصول على أعلى27
من درجات أفراد العينة االستطالعية على مقياس الدافعية للتعلم وأدنى%
27
من درجاتهم%
على نفس المقياس ، وبذلك أصبم لدى الباحثة مجموعتين : مجموعة االرباعي األعلى ومجموعة االرباعي األدنى ، وحسبت
الباحثة المتوسط الحسابي واالنحراف المعياري لدرجات كل مج
موعة على المقياس ، والجدول التالي يوضم ذلك . (جدول9
):
(نتائج اختبار (ت) لعينتين مستقلتينindependent sample t-test) بين المجموعات العليا والمجموعات = الدنيا في درجات الطالبات بالعينة االستطالعية على مقياس الدافعية للتعلم (ن106
)
المجموعات
العدد
المتوسط
الحسابي
االنحراف
المعياري
"قيمة "ت
الداللة
اإلحصائية
الدافعية
الداخلية
(
27
)%
أعلى التوزيع
53
25.23
1.72
21.950
0.001
(
27
)%
أدنى التوزيع
53
17.62
1.18
الدافعية
الخارجية
(
27
)%
أعلى التوزيع
53
29.32
1.52
15.635
0.001
(
27
)%
أدنى التوزيع
53
23.87
1.11
الدرجة الكلية
(
27
)%
أعلى التوزيع
53
53.19
2.46
19.745
0.001
53
42.47
1.62 = الدنيا في درجات الطالبات بالعينة االستطالعية على مقياس الدافعية للتعلم (ن106
) ( يالحظ من الجدول السابق أن هناك فروقاً دالة إحصائياً عند مستوى01
,
0
)
بين متوسط درجات مجموعة إلرباعي األعلى و
. متوسط درجات مجموعة اإلرباعي األدنى ، على مقياس الدافعية للتعلم ، وهذا دليل على صدقه وقدرته على التمييز
:ثبات مقياس الدافعية للتعلم
قامت الباحثة بقياس ثبات مقياس الدافعية للتعلم باستخدام معامل ثبات ألفا كرونباخ، وا( لتجزئة النصفية، والجدول رقم10
)
:يوضم معامل الثبات للمقياس، وذلك على النحو التالي
( جدول10
)
:
= معامل ألفا كرونباخ والتجزئة النصفية لقياس ثبات مقياس الدافعية للتعلم (ن196
)
م
المحور
معامل الثبات
ألفا كرونباخ
التجزئة النصفية
1
الدافعية الداخلية
0.867
0.826
2
الدافعية الخارجية
0.805
0.822
الثبات الكلي
0.891
0.835
( يوضًًم الجدول رقم10
.) أنّ مقياس الدافعية للتعلم يتمتع بمعامالت ثبات مرتفعة يمكن الوثوق بها في تطبيق أداة الدراسًًة الحالية
عرض نتائج البحث وتفسيرها:
نتائج البحث المتعلقة بالفرض األول الذي ينصّ على
: "توجد عالقة ارتباطية موجبة دالة إحصًًًًًًًًًًًًًائيًّا بين جودة الحياة ا لمدرسًًًًًًًًًًًًًية
.")والدافعية للتعلم لدى تلميذات المدارس (الحكومية، واألهلية
ية والدافعية للتعل لدى تالميذ المرحلة االبتدائية بغرب الدما ، ت
طبيعة العالقة بين جودة الحياة المدرس
وللتعرف عل ( يالحظ من الجدول السابق أن هناك فروقاً دالة إحصائياً عند مستوى01
,
0
)
بين متوسط درجات مجموعة إلرباعي األعلى و
. IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 :اثانيًا: االتساق الداخلي :ثانيًا: االتساق الداخلي
تم التأكد من االتسًًًًًاق الداخلي لم قياس الدافعية للتعلم باسًًًًًتخدام معامل االرتباط بيرسًًًًًون بالتطبيق على عينة اسًًًًًتطالعية
( مكونًة من196
) تلميًذة، حيًث تم حسًًًًًًًًًًًًًًاب معًامًل االرتبًاط بين درجًة كًلّ عبًارة من عبًارات المقيًاس بًالًدرجًة الكليًة للبُعًد الًذي
.تنتمي إليه العبارة، كما توضم ذلك الجداول التالية IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 195 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان ( جدول7
):
معامالت ارتباط بيرسون لعبارات أبعاد مقياس الدافعية للتعلم
= بالدرجة الكلية لكلّ بُعد من األبعاد (ن196
)
الدافعية الداخلية
الدافعية الخارجية
العبارة
معامل االرتباط
العبارة
معامل االرتباط
1
0.792
**
3
0.851
**
2
0.683
**
4
0.825
**
10
0.774
**
5
0.764
**
18
0.717
**
6
0.711
**
19
0.682
**
7
0.755
**
20
0.661
**
8
0.845
**
21
0.727
**
9
0.861
**
22
0.691
**
11
0.875
**
23
0.728
**
12
0.845
**
24
0.658
**
13
0.746
**
27
0.640
**
14
0.742
**
28
0.730
**
15
0.679
**
30
0.702
**
16
0.750
**
31
0.714
**
17
0.748
**
32
0.717
**
25
0.684
**
33
0.656
**
26
0.815
**
34
0.699
**
29
0.822
**
35
0.822
**
37
0.574
**
36
0.861
**
-
-
ت
ن0 01 ( يتضًًًًم من خالل الجدول رقم7
( ) أنّ جميع العبارات دالة عند مسًًًًتوى0.01
)، حيث تراوحت قيم معامالت االرتباط لبُعد
( الًدافعيًة الًداخليًة مًا بين0.640
،
0.861
( )، وللًدافعيًة الخًارجيًة مًا بين0.574
،
0.875
،)، وجميعهًا معًامالت ارتبًاط جيًّدة
وهذا يعطي داللة على ارتفاق معامالت االتساق الداخلي، كما يشير إلى مؤشّ رات صدق مرتفعة وكافية يمكن الوثوق بها في تطبيق
.أداة الدراسة الحالية جدول (
8
):
معامالت ارتباط بيرسون ألبعاد مقياس الدافعية للتعلم
= بالدرجة الكلية لكلّ بُعد من األبعاد (ن196
)
البُعد
معامل االرتباط
الدافعية الداخلية
0.833
**
الدافعية الخارجية
0.765
**
**
دال عند مستوى0.01 جدول (
8
):
معامالت ارتباط بيرسون ألبعاد مقياس الدافعية للتعلم
= بالدرجة الكلية لكلّ بُعد من األبعاد (ن196
)
البُعد
معامل االرتباط
الدافعية الداخلية
0.833
**
الدافعية الخارجية
0.765
**
**
دال عند مستوى0.01 **
دال عند مستوى0.01 ( يتضم من خالل الجدول رقم8
) أنّ جميع( العبارات دالة عند مستوى0.01
)، حيث تراوحت قيم معامالت االرتباط ألبعاد
( مقيًًاس الًًدافعيًًة للتعلم مًًا بين0.765
،
0.833
)، وجميعهًًا معًًامالت ارتبًًاط جيًًّدة، وهًًذا يعطي داللًًة على ارتفًًاق معًًامالت
االتساق الداخلي، كما يشير إلى مؤشرات صدق مرتفعة وكافية يمكن الوثوق بها في ت.طبيق أداة الدراسة الحالية IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 196 زهراء سليمان IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 :مقترحات البحث ف ي ضًًًًًوء النتائج التي تم التوصًًًًًل إليها تقدّم الباحثة بعض المقترحات لدراسًًًًًات مسًًًًًتقبلية، التي تأمل أن تُسًًًًًاهم في إثراء
:المجال التربوي في ذلك الميدان، وذلك على النحو التالي ا ف ي ضًًًًًوء النتائج التي تم التوصًًًًًل إليها تقدّم الباحثة بعض المقترحات لدراسًًًًًات مسًًًًًتقبلية، التي تأمل أن تُسًًًًًاهم في إثراء
:المجال التربوي في ذلك الميدان، وذلك على النحو التالي ا 1
. إجراء دراسة مماثلة تتناول جودة الحياة المدرسية وعالقتها بالدافعية للتعلم بمراحل دراسية أخرى
اااوبمدن أ 1
. إجراء دراسة مماثلة تتناول جودة الحياة المدرسية وعالقتها بالدافعية للتعلم بمراحل دراسية أخرى.وبمدن أخرى اااأ 2
. إجراء دراسًًًًًًًًًًًًًًة تتنًاول جودة الحيًاة المًدرسًًًًًًًًًًًًًًيًة وعالقتهًا بتقًدير الًذات لًدى تالميًذ المرحلًة االبتًدائيًة في المًدارس األهليًة
.والحكومية بمدينة الدمام 3
. إجراء دراسًًًًًًًًًًًًًًة تتنًاول الدافعيًة للتعلم وعالقتًه بتقًدير الذات لدى تالميًذ المرحلًة االبتًدائيًة في المًدارس األهليًة والحكوميًة
.بمدينة الدمام 3
. إجراء دراسًًًًًًًًًًًًًًة تتنًاول الدافعيًة للتعلم وعالقتًه بتقًدير الذات لدى تالميًذ المرحلًة االبتًدائيًة في المًدارس األهليًة والحكوميًة
.بمدينة الدمام 4
. إجراء دراسًًًة تتناول التوافق األسًًًري وعالقته بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في المدارس األهلية والحكومية
بمدينة.الدمام 4
. إجراء دراسًًًة تتناول التوافق األسًًًري وعالقته بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في المدارس األهلية والحكومية
بمدينة.الدمام 5
. إجراء دراسًًًًًًًة تتناول جودة الحياة المدرسًًًًًًًية وعالقتها بالذكاء االنفعالي لدى تالميذ المرحلة االبتدائية في المدارس األهلية
.والحكومية بمدينة الدمام 5
. إجراء دراسًًًًًًًة تتناول جودة الحياة المدرسًًًًًًًية وعالقتها بالذكاء االنفعالي لدى تالميذ المرحلة االبتدائية في المدارس األهلية
.والحكومية بمدينة الدمام 5
. إجراء دراسًًًًًًًة تتناول جودة الحياة المدرسًًًًًًًية وعالقتها بالذكاء االنفعالي لدى تالميذ المرحلة االبتدائية في المدارس األهلية
.والحكومية بمدينة الدمام :ثالثًا: صدق المقارنة الطرفية متوسط درجات مجموعة اإلرباعي األدنى ، على مقياس الدافعية للتعلم ، وهذا دليل على صدقه وقدرته على التمييز
:ثبات مقياس الدافعية للتعلم ( يوضًًم الجدول رقم10
.) أن مقياس الدافعية للتعلم يتمتع بمعامالت ثبات مرتفعة يمكن الوثوق بها في تطبيق أداة الدراسًًة الحالية
عرض نتائج البحث وتفسيرها:
نتائج البحث المتعلقة بالفرض األول الذي ينصّ على
: "توجد عالقة ارتباطية موجبة دالة إحصًًًًًًًًًًًًًائيًّا بين جودة الحياة ا لمدرسًًًًًًًًًًًًًية
.")والدافعية للتعلم لدى تلميذات المدارس (الحكومية، واألهلية
وللتعرف على طبيعًة العالقًة بين جودة الحيًاة المًدرسًًًًًًًًًًًًًًيًة والًدافعيًة للتعلم لًدى تالميًذ المرحلًة االبتًدائيًة بغرب الًدمًام، تم
( استخدام معامل ارتباط بيرسونPerson Correlation)، وذلك كما يتضم من خالل ال( جدول رقم11
:) G Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 197 زهراء سليمان
جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية
( جدول11
):
نتائج معامل ارتباط بيرسون للعالقة بين جودة الحياة المدرسية
والدافعية للتعلم لدى تالميذ المرحلة االبتدائية بغرب الدمام
م
الدافعية للتعلم
جودة الحياة المدرسية
معامل االرتباط
مستوى الداللة
1
الدافعية الداخلية
0.363
**
0.001
2
الدافعية الخارجية
0.377
**
0.001
الدرجة الكلية للدافعية للتعلم
0.553
**
0.001
( ** دال عند مستوى0.01
)
( يتضًًًًم من خالل الجدول رقم11
( ) أنّ هناك عالقة طردية (إيجابية) ذات داللة إحصًًًًائية عند مسًًًًتوى0.01
) بين جودة
الحياة المدرسًًية والدرجة الكلية للدافعية للتعلم وأبعاده الفرعية المتمثلة في (الدافعية الداخلية، الدافعية الخارجية) لدى تالميذ المرحلة
االبتًًدائيًًة بغرب الًًد( مًًام، حيًًث بلغًًت قيمًًة معًًامًًل ارتبًًاط بيرسًًًًًًًًًًًًًًون لألبعًًاد على التوالي0.363
،
0.377
)، وللًًدرجًًة الكليًًة
(
0.553
)، وتُشًًًير النتيجة السًًًابقة إلى أنّ زيادة مسًًًتوى جودة الحياة المدرسًًًية يُسًًًاهم في زيادة مسًًًتو ة الدافعية للتعلم لدى تالميذ
الصفوف العليا بالمرحلة االبتدائية بغرب الدم.ام
نتـائج البحـث المتعلقـة بـالفرض الثـاني الـذي ينصّ على ،: "ال توجًد فروق ذات داللًة إحصًًًًًًًًًًًًًًائيًة بين تلميًذات المًدارس (الحكوميًة
."واألهلية) في جودة الحياة المدرسية
وللتعرف على إذا ما كانت هناك فروق ذات داللة إحصًًًًًائية في مسًًًًًتوى جودة الحياة لدى تالميذ الصًًًًًفوف العليا بالمرحلة
( االبتدائية بغرب الدمام باختالف متغيّر نوق المدرسًًًًًًة (حكومية، أهلية)، تم اسًًًًًًتخدام اختبار مان ويتنيMann-Whitney
ً) بديال
( عن اختبار (ت) لعينتين مسًتقلتينIndependnat SampLe T-Test
)؛ وذلك لعدم تكافؤ فئات متغيّر نوق المدرسًة، وذلك كما
يتضم من خالل الجدول( رقم12
:)
( جدول12
):
( نتائج اختبار مان ويتنيMann-Whitney
) للفروق في مستوى جودة الحياة المدرسية لدى
تالميذ الصفوف العليا بالمرحلة االبتدائية بغرب الدمام باختالف متغيّر نوع المدرسة
نوع المدرسة
العدد
متوسط الرتب
مجموع الرتب
قيمةZ
مستوى الداللة
حكومية
354
190.39
67396.50
1.827
0.068
أهلية
32
227.95
724.50
(ل ق
الل ال12
(ائ ة
اللة إ
اك ف ق ذا
لا
) أ0 01ال ا
) ف جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية ( جدول11
):
نتائج معامل ارتباط بيرسون للعالقة بين جودة الحياة المدرسية
والدافعية للتعلم لدى تالميذ المرحلة االبتدائية بغرب الدمام
م
الدافعية للتعلم
جودة الحياة المدرسية
معامل االرتباط
مستوى الداللة
1
الدافعية الداخلية
0.363
**
0.001
2
الدافعية الخارجية
0.377
**
0.001
الدرجة الكلية للدافعية للتعلم
0.553
**
0.001
(ت ى
** دال عند0 01
) ( يتضًًًًم من خالل الجدول رقم11
( ) أنّ هناك عالقة طردية (إيجابية) ذات داللة إحصًًًًائية عند مسًًًًتوى0.01
) بين جودة
الحياة المدرسًًية والدرجة الكلية للدافعية للتعلم وأبعاده الفرعية المتمثلة في (الدافعية الداخلية، الدافعية الخارجية) لدى تالميذ المرحلة
االبتًًدائيًًة بغرب الًًد( مًًام، حيًًث بلغًًت قيمًًة معًًامًًل ارتبًًاط بيرسًًًًًًًًًًًًًًون لألبعًًاد على التوالي0.363
،
0.377
)، وللًًدرجًًة الكليًًة
(
0.553
)، وتُشًًًير النتيجة السًًًابقة إلى أنّ زيادة مسًًًتوى جودة الحياة المدرسًًًية يُسًًًاهم في زيادة مسًًًتو ة الدافعية للتعلم لدى تالميذ
الصفوف العليا بالمرحلة االبتدائية بغرب الدم.ام
نتـائج البحـث المتعلقـة بـالفرض الثـاني الـذي ينصّ على ،: "ال توجًد فروق ذات داللًة إحصًًًًًًًًًًًًًًائيًة بين تلميًذات المًدارس (الحكوميًة
."واألهلية) في جودة الحياة المدرسية
وللتعرف على إذا ما كانت هناك فروق ذات داللة إحصًًًًًائية في مسًًًًًتوى جودة الحياة لدى تالميذ الصًًًًًفوف العليا بالمرحلة
( االبتدائية بغرب الدمام باختالف متغيّر نوق المدرسًًًًًًة (حكومية، أهلية)، تم اسًًًًًًتخدام اختبار مان ويتنيMann-Whitney
ً) بديال
( عن اختبار (ت) لعينتين مسًتقلتينIndependnat SampLe T-Test
)؛ وذلك لعدم تكافؤ فئات متغيّر نوق المدرسًة، وذلك كما
يتضم من خالل الجدول( رقم12
:) ( يتضًًًًم من خالل الجدول رقم11
( ) أنّ هناك عالقة طردية (إيجابية) ذات داللة إحصًًًًائية عند مسًًًًتوى0.01
) بين جودة
الحياة المدرسًًية والدرجة الكلية للدافعية للتعلم وأبعاده الفرعية المتمثلة في (الدافعية الداخلية، الدافعية الخارجية) لدى تالميذ المرحلة
االبتًًدائيًًة بغرب الًًد( مًًام، حيًًث بلغًًت قيمًًة معًًامًًل ارتبًًاط بيرسًًًًًًًًًًًًًًون لألبعًًاد على التوالي0.363
،
0.377
)، وللًًدرجًًة الكليًًة
(
0.553
)، وتُشًًًير النتيجة السًًًابقة إلى أنّ زيادة مسًًًتوى جودة الحياة المدرسًًًية يُسًًًاهم في زيادة مسًًًتو ة الدافعية للتعلم لدى تالميذ
الصفوف العليا بالمرحلة االبتدائية بغرب الدم.ام وللتعرف على إذا ما كانت هناك فروق ذات داللة إحصًًًًًائية في مسًًًًًتوى جودة الحياة لدى تالميذ الصًًًًًفوف العليا بالمرحلة
( االبتدائية بغرب الدمام باختالف متغيّر نوق المدرسًًًًًًة (حكومية، أهلية)، تم اسًًًًًًتخدام اختبار مان ويتنيMann-Whitney
ً) بديال
( عن اختبار (ت) لعينتين مسًتقلتينIndependnat SampLe T-Test
)؛ وذلك لعدم تكافؤ فئات متغيّر نوق المدرسًة، وذلك كما
يتضم من خالل الجدول( رقم12
:) ( جدول12
):
( نتائج اختبار مان ويتنيMann-Whitney
) للفروق في مستوى جودة الحياة المدرسية لدى
تالميذ الصفوف العليا بالمرحلة االبتدائية بغرب الدمام باختالف متغيّر نوع المدرسة
نوع المدرسة
العدد
متوسط الرتب
مجموع الرتب
قيمةZ
مستوى الداللة
حكومية
354
190.39
67396.50
1.827
0.068
أهلية
32
227.95
724.50
ااا ( يتضًًًًًًم من خالل الجدول رقم12
( ) أنه ال توجد هناك فروق ذات داللة إحصًًًًًًائية عند مسًًًًًًتوى0.01
) في مسًًًًًًتوى جودة الحياة
المدرسية لدى تالميذ الصفوف العليا بالمرحلة االبتدائية بغرب مدينة الدمام باختالف متغّير نوق المدرسة، حيث بلغت قيمة االختبار
(
Z
( )
1.827
( ) بمتسًًًوى داللة0.068
( )، وهي قيمة أكبر من0.05
) أي غير دالة إحصًًًائيًّا، وتُشًًًير النتيجة السًًًابقة إلى تقارب
مسًًًًتوى جودة الحياة المدرسًًًًية لدى تالميذ الصًًًًفوف العليا بالمرحلة االبتدائية بغرب مدينة الدمام ب المدارس الحكومية واألهلية، وقد
( اتفقت نتيجة الدراسًًًًة الحالية مع نتيجة دراسًًًًة اليف وتونكAliyev & Tunc, 2015
) التي توصًًًًلت إلى عدم وجود فروق ذات
.داللة إحصائية في جودة الحياة المدرسية باستثناء التواصل بين التالميذ باختالف متغيّر نوق المدرسة
نتـائج البحـث المتعلقـة بـالفرض الثـالـث الـذي ينصّ على ،: "ال توجًد فروق ذات داللًة إحصًًًًًًًًًًًًًًائيًة بين تلميًذات المًدارس (الحكوميًة
"داف ة الت ل
األهل ة) ف وللتعرف على إذا ما كانت هناك فروق ذات داللة إحصًًًًائية في مسًًًًتوى دافعية التعلم لدى تالميذ الصًًًًفوف العليا بالمرحلة
االبتدائية بغرب الدمام با( ختالف متغيّر نوق المدرسًًًًًًة (حكومية، أهلية)، تم اسًًًًًًتخدام اختبار مان ويتنيMann-Whitney
ً) بديال IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 198 المدارس األهلية والحكومية بالسعودية ( عن اختبار (ت) لعينتين مسًتقلتينIndependnat SampLe T-Test
)؛ وذلك لعدم تكافؤ فئات متغيّر نوق المدرسًة، وذلك كما
( يتضم من خالل الجدول رقم13
:) (ال ج ول رم
م ن
ي)
( جدول13
):
( نتائج اختبار مان ويتنيMann-Whitney) للفروق في مستوى دافعية التعلم
لدى تالميذ الصفوف العليا بالمرحلة االبتدائية بغرب الدمام باختالف متغيّر نوع المدرسة
األبعاد
نوع المدرسة
العدد
متوسط الرتب
مجموع الرتب
قيمةZ
مستوى الداللة
الدافعية الداخلية
حكومية
354
193.98
68667.50
0.280
0.780
أهلية
32
188.23
6023.50
الدافعية الخارجية
حكومية
354
195.18
69092.00
0.986
0.324
أهلية
32
174.97
5599.00
الدرجة الكلية
حكومية
354
193.72
68576.50
0.128
0.898
أهلية
32
191.08
6114.50
ااا يتضًًًًًم من خالل الجدول( رقم13
( ) أنه ال توجد هناك فروق ذات داللة إحصًًًًًائية عند مسًًًًًتوى0.01
) في الدرجة الكلية للدافعية
للتعلم وأبعًادهًا الفرعيًة المتمثلًة في (الًدافعيًة الًداخليًة، الًدافعيًة الخًارجيًة) لًدى تالميًذ الصًًًًًًًًًًًًًًفوف العليًا بًالمرحلًة االبتًدائيًة بغرب
مدينة الدمام باختالف متغيّر نوق المدرسًة( ، حيث بلغت قيمة االختبارZ
( :) لألبعاد على التوالي0.280
،
0.986
) وللدرجة الكلية
(
0.128
( :) بمسًًًًًًًًًًًًًًتوى داللًة لألبعًاد على التوالي0.780
،
0.324
( )، وللًدرجًة الكليًة0.898
( )، وجميعهًا قيم أكبر من0.05
،)
أي غير دالة إحصًًًًًائيًّا، وتُشًًًًًير النتيجة السًًًًًابقة إلى تقارب مسًًًًًتوى الدا فعية للتعلم لدى تالميذ الصًًًًًفوف العليا بالمرحلة االبتدائية
.بغرب مدينة الدمام بالمدارس الحكومية واألهلية أ
وترى البًاحثًة أنه ربمًا قد ترجع نتيجًة تسًًًًًًًًًًًًًًاوي الدافعيًة للتعلم بين التلميًذات في المًدارس الحكوميًة والتلميًذات في المًدارس
األهليًة إلى أن البحًث جرى في وقت جائحًة ك ورونا حيًث تسًًًًًًًًًًًًًًاوت الظروف بالنسًًًًًًًًًًًًًًبًة للتعليم الحكومي واألهلي فجميع التلميًذات
.يدرسن عن بعد في منازلهن وأشتقن للعودة للمقاعد الدراسية بعد فترة انقطاق
نتائج البحث المتعلقة بالفرض الرابع الذي ينصّ على : "يمكن التنبؤ بالدافعية لتعلم من خالل جودة الحياة المدرسًًًًًًًًية لدى تلميذات
"ة األ ل ة
ال ك
ال ا أ
وللتعرف على إذا مًا كًانًت هنًاك إمكًانيًة للتبنؤ
بًالًدافعيًة للتعلم من خالل مسًًًًًًًًًًًًًًتوى جودة الحيًاة المًدرسًًًًًًًًًًًًًًيًة لًدى تلميًذات
( الصًًًفوف العليا بالمدارس الحكومية واألهلية بغرب الدمام؛ تم اسًًًتخدام تحليل االنحدار البسًًًيطSimple Regrsion
)، وذلك كما
( يتضم من خالل الجدول رقم14
:) (
14
):
( تحليل االنحدار البسيطSimple Regression
) لمدى إمكانية التنبؤ بالدافعية للتعلم من خالل مستوى جودة
الحياة المدرسية لدى تلميذات الصفوف العليا بالمدارس الحكومية واألهلية بغرب الدمام
المتغيّر المستقبل
)(جودة الحياة المدرسية
)المتغيّر التابع (الدافعية للتعلم
قيمةB
الخطأ
المعياري
قيم بيتا قيم ت
مستوى
المعنوية
الثابت
89.237
2.199
40.583
0.001
الدرجة الكلية لجودة الحياة المدرسية
0.071
0.32
0.112
5.209
0.010
= قيمة ف12.878
= مستوى داللتها0.002
= معامل التحديد0.313 199
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0
( يتضًًًم من خالل الجدول رقم14
) أنه يُمكن القول: إنّ نموذج تحليل االنحدار المتعدّد للعالقة بين جودة الحياة المدرسًًًية
" كمتغيّر مسًًًًًًًًًًًًًًتقًل، والًدافعيًة للتعلم كمتغيّر تًابع، يتمتع بمعنويًة إحصًًًًًًًًًًًًًًائيًة مرتفعًة، وذلًك وفق مًا تشًًًًًًًًًًًًًًير إليًه قيمًة اختبًارF
" المدارس األهلية والحكومية بالسعودية (
12.878
( )، ومستوى داللتها0.002
( ) وهي أقلّ من مستوى الداللةα= 0.05
،)مما يعني أنّ النموذج بمتغيّراته المستقلة صالم
:للتنبؤ بقيم المتغيّر التابع، ويمكن صياغة معادلة التنبؤ على النحو التالي
=الدافعية للتعلم89.237
+
0.112× جودة الحياة المدرسية م
ويشًًًًًًًير معامل التحديدR2
(
0.313) إلى أنّ ج ودة الحياة المدرسًًًًًًًية كمتغيّر مسًًًًًًًتقل مسًًًًًًًؤول عن تفسًًًًًًًير ما يقارب من
(
31.3
) من التباين في الدافعية للتعلم لدى تلميذات الصًًًًًًًًًًًفوف العليا بالمدارس الحكومية واألهلية بغرب الدمام، وباقي النسًًًًًًًًًًًبة%
.تعود لعوامل أخرى ( وبإمعان النظر في القيم اإلحصائية في الجدول رقم11
ّ) نجد أن هناك تأثيرًا واضحًا لجودة الحياة المدرسية على مستوى
( )الدافعية للتعلم لدى تلميذات الصفوف العليا بالمدارس الحكومية واألهلية بغرب الدمام، حيث بلغت قيمة (ت5.209
) بمستوى
( داللة0.010
)، وتُشير النتيجة السابقة إلى أنّ زيادة أو انخفاض مستوى جودة الحياة المدرسية لدى تلميذات الصفوف العليا
بالمدارس الحكومية واألهلية بغرب الدمام يؤثر بدرجة كبيرة على مستوى الدافعية للتعلم لديهم، وقد اتفقت نتيجة الدراسة الحالية مع
( نتيجة دراسة غوستر لوقلوKösterelioglu, 2015) التي توصلت إلى إمكانية تنبؤ جميع متغيّرات جودة الحياة المدرس ية بالدوافع
.األكاديمية لدى طالب المدارس الثانوية في مقاطعة أماسيا :في ضوء النتائج التي تم التوصل إليها توصي الباحثة بما يلي
-
توجيه أنظار التربويين إلى أهمية الدافعية للتعلم، وتعليم الطالب، واعتماده كعنصر من عناصر األهداف.التعليمية
-
إعادة النظر بتطبيق مفاهيم الدافعية للتعلم في نظامنا التعليمي الحالي بطرق أكثر جدية، حيث تعتبر عملية تحسين
الدافعية للتعلم من اإلشكاليات التي أولى علماء النفس اهتمامًا كبيرًا لها خاصة فيما يرتبط بكيفية ضمان وصول أغلبية التالميذ إلى
مستويات عالي ة ومتقدمة من التعليم، حيث بلغت هذه الظاهرة حدًّا يستوجب التفكير الجدّي، والتدخل السريع والفعّال بشتّى الوسائل
.والطرق البيداغوجية بغرض تقديم حلول مالئمة للحدّ من تأثيرها السيئ على المردود النوعي والكمي لنظامنا التربوي
-توعية المعلمين بأهمية الدافعية للتعل
مستويات
الحصول عل
م بغرض توجيه التالميذ واالستفادة من قدراتهم ودافعيتهم ف -
توعية المعلمين بأهمية الدافعية للتعل م بغرض توجيه التالميذ واالستفادة من قدراتهم ودافعيتهم في الحصول على مستويات
.أعلى من التحصيل -
توعية المعلمين بأهمية الدافعية للتعل م بغرض توجيه التالميذ واالستفادة من قدراتهم ودافعيتهم في الحصول على مستويات
.أعلى من التحصيل -
.إجراء دراسات مستقبلية للمقارنة بين مراحل دراسية أخرى التي من شأنها أن تظهر تأثير الدافعية في مراحل النمو المختلفة
•
تعزيز مسًًًًتوى جودة الحياة المدرسًًًًية لدى تالميذ ا لصًًًًفوف العليا بالمرحلة االبتدائية بغرب مدينة الدمام، وذلك من خالل
االهتمام بالبيئة المدرسًًًًًية والصًًًًًحة المدرسًًًًًية؛ مما ينعكس إيجابيًّا على مسًًًًًتوى الدافعية للتعلم لديهم، حيث بيّنت النتائج
.العالقة اإليجابية بين المتغيّرين -
.إجراء دراسات مستقبلية للمقارنة بين مراحل دراسية أخرى التي من شأنها أن تظهر تأثير الدافعية في مراحل النمو المختلفة
•
تعزيز مسًًًًتوى جودة الحياة المدرسًًًًية لدى تالميذ ا لصًًًًفوف العليا بالمرحلة االبتدائية بغرب مدينة الدمام، وذلك من خالل
االهتمام بالبيئة المدرسًًًًًية والصًًًًًحة المدرسًًًًًية؛ مما ينعكس إيجابيًّا على مسًًًًًتوى الدافعية للتعلم لديهم، حيث بيّنت النتائج
.العالقة اإليجابية بين المتغيّرين إا
•
االهتمام باألنشًًًطة الطالبية التي تُسًًًاهم في ت عزيز العالقات االجتماعية بين التالميذ، بما يُسًًًاهم في زيادة مسًًًتوى جودة
.الحياة المدرسية لديهم •
التوعية المسًًًتمرة ألولياء األمور من خالل مجالس اآلباء بأسًًًاليب المعاملة الوالدية التي تُسًًًاهم في تعزيز مسًًًتوى دافعية
.التعلم لدى األبناء أ
•
توفير المناخ التعليمي اإليجابي
في المدرسًة وداخل الصًفوف الدراسًية؛ مما يُسًاهم في زيادة مسًتوى جودة الحياة المدرسًية
.والدافعية للتعلم لدى التالميذ •
توفير المناخ التعليمي اإليجابي
في المدرسًة وداخل الصًفوف الدراسًية؛ مما يُسًاهم في زيادة مسًتوى جودة الحياة المدرسًية
.والدافعية للتعلم لدى التالميذ •
إعداد الدورات التدريبية وورش العمل للمعلمين حول طرق تعزيز مسًًًًًًًًًًًتوى دافعية التعلم لدى تالميذ الصًًًًًًًًًًًفوف العليا من
.المرحلة االبتدائية •
إعداد الدورات التدريبية وورش العمل للمعلمين حول طرق تعزيز مسًًًًًًًًًًًتوى دافعية التعلم لدى تالميذ الصًًًًًًًًًًًفوف العليا من
.المرحلة االبتدائية 200 زهراء سليمان
جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية :مقترحات البحث المصادر والمراجع :أوالً: المراجع العربية
( .أحمد، عبد الباقي دفع هللا، وفضول، محمد صالح عوض2018
). دافعية التعلم وعالقتها
.بالتوافق الدراسي، الحلقة األخيرة، مرحلة التعليم األساسي بمحليّة شرق النيل بالخرطوم
مجلة كلية التربية . 10
(
11
)ت
153
-
196
. ( .أحمد، عبد الباقي دفع هللا، وفضول، محمد صالح عوض2018
). دافعية التعلم وعالقتها
.بالتوافق الدراسي، الحلقة األخيرة، مرحلة التعليم األساسي بمحليّة شرق النيل بالخرطوم
مجلة كلية التربية . 10
(
11
)ت
153
-
196
. ( .األسود، الزهرة علي2017
). جودة الحياة كمنبئ للدافعية للتعلم لدى عينة من طلبة
جامعة الوادي
. المجلة التربوية الدولية المتخصصة ). 6
(
12
)ت87
-
95
. ( .أمزيان، محمد2020). اتجاهات اآلباء نحو جودة الحياة المدرسية وعالقتها بالتحصيل
.الدراسي لألبناء.مجلة الطفولة العربية
21
(
82
)ت11
-
31
. ا ( .األسود، الزهرة علي2017
). جودة الحياة كمنبئ للدافعية للتعلم لدى عينة من طلبة
جامعة الوادي
. المجلة التربوية الدولية المتخصصة ). 6
(
12
)ت87
-
95
. ( .أمزيان، محمد2020
). اتجاهات اآلباء نحو جودة الحياة المدرسية وعالقتها بالتحصيل
.الدراسي لألبناء.مجلة الطفولة العربية
21
(
82
)ت11
-
31
. البار، نورة، وسقايت ياسمين، ونعم( .ي، أسماء2019
.)
دور الخدمات االجتماعية
المدرسية في تعزيز الدافعية للتعلم لدى تالميذ التعليم االبتدائي من وجهة نظر المعلمين).( رسالة دكتوراة . جامعة محمد
.بوضياف بالمسيلة، كلية العلوم اإلنسانية واالجتماعية، الجزائر
توقت
( .محيي الدين وعدست عبد الرحمن وقطامي، يوسف2003
). أسس علم النفس
التربوي
. (ط3
.). األردن. عمان: دار الفكر للنشر والتوزيع
( .حليم، شيري مسعد2015). الدافعية األكاديمية وعالقتها باالندماج المدرسي لدى تالميذ
.المرحلة اإلعدادية
مجلة دراسات عربية ،
14
(
1)ت
89
-
162
. ا البار، نورة، وسقايت ياسمين، ونعم( .ي، أسماء2019
.)
دور الخدمات االجتماعية
المدرسية في تعزيز الدافعية للتعلم لدى تالميذ التعليم االبتدائي من وجهة نظر المعلمين).( رسالة دكتوراة . جامعة محمد
.بوضياف بالمسيلة، كلية العلوم اإلنسانية واالجتماعية، الجزائر
توقت
( .محيي الدين وعدست عبد الرحمن وقطامي، يوسف2003
). أسس علم النفس
التربوي
. (ط3
.). األردن. عمان: دار الفكر للنشر والتوزيع
( .حليم، شيري مسعد2015). الدافعية األكاديمية وعالقتها باالندماج المدرسي لدى تالميذ
.المرحلة اإلعدادية
مجلة دراسات عربية ،
14
(
1)ت
89
-
162
. إ
( .الرايقي، وئام بنت حامد2018
). العوامل المدرسية المؤدية النخفاض الدافعية للتعلم من
.وجهة نظر الطالبات: دراسة ميدانية على عينة من طالبات المرحلة الثانوية بمدينة جدة مجلة الدولية للعلوم التربوية
والنفسية( . 11)ت401
–
48
. IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 المصادر والمراجع ( .الصرايرة، شادي عوض2015
.)
دافعية التعلم األكاديمي وعالقتها بالتحصيل لدى
الطلبة ذوي صعوبات التعلم
.( رسالة ماجستير)
.. جامعة مؤتة، مؤتة، األردن ( .الصرايرة، شادي عوض2015
.)
دافعية التعلم األكاديمي وعالقتها بالتحصيل لدى
الطلبة ذوي صعوبات التعلم
.( رسالة ماجستير)
.. جامعة مؤتة، مؤتة، األردن IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 201 زهراء سليمان
جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية
( .العسّ اف، ماجد حمدان ماجد2008
.)
مدركات الطلبة لبيئة التعلم اآلمنة وعالقتها
بتفاعلهم االجتماعي ودافعيتهم للتعلم(. )رسالة دكتورة. .جامعة عمان العربية، عمان، األردن
( .العصيمي، نواف محمد مبارك2014
.)جودة الحياة المدرسية كما يدركها تالميذ
المرحلة االبتدائية بالطائف وعالقتها بتقدير الذات والتوافق الشخصي واالجتماعي ،.( رسالة ماجستير). جامعة الطائف
.السعودية
الكناني، كيالن( .ي عبد الرحمن محمد2015
). العالقة بين جودة الحياة المدرسية والتحصيل
.الدراسي لدى طالب المرحلة الثانوية
مجلة اإلرشاد النفسي( . 41
)ت571
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(
.المناخ المدرسي وعالقته بالدافعية للتعلم لدى عينة من تالميذ
السنة الرابعة متوسط دراسة ميدانية ب
متوسطات دائرة سيدي عامر. ،( رسالة دكتوراة). كلية العلوم اإلنسانية واالجتماعية
.جامعة محمد بوضياف، المسيلة، الجزائر
( .الهازمي، فاطمة عبد هللا2017
). دافعية الطالب للتعلم في إحدى المدارس السعودية في
.المملكة المتحدة
مجلة رابطة التربويين العرب( . 91
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. المدارس األهلية والحكومية بالسعودية ( .العسّ اف، ماجد حمدان ماجد2008
.)
مدركات الطلبة لبيئة التعلم اآلمنة وعالقتها
بتفاعلهم االجتماعي ودافعيتهم للتعلم(. )رسالة دكتورة. .جامعة عمان العربية، عمان، األردن
( .العصيمي، نواف محمد مبارك2014
.)جودة الحياة المدرسية كما يدركها تالميذ
المرحلة االبتدائية بالطائف وعالقتها بتقدير الذات والتوافق الشخصي واالجتماعي ،.( رسالة ماجستير). جامعة الطائف
.السعودية الكناني، كيالن( .ي عبد الرحمن محمد2015
). العالقة بين جودة الحياة المدرسية والتحصيل
.الدراسي لدى طالب المرحلة الثانوية
مجلة اإلرشاد النفسي( . 41
)ت571
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594
. ( لكحل، سالمة2017
(
.المناخ المدرسي وعالقته بالدافعية للتعلم لدى عينة من تالميذ
السنة الرابعة متوسط دراسة ميدانية ب
متوسطات دائرة سيدي عامر. ،( رسالة دكتوراة). كلية العلوم اإلنسانية واالجتماعية
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Q
li
h i A
d
i
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i
l
d
i j
l
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ve ögrenci Görüsleri/The viewsof teachers and students relating to elementary boarding district
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Quality on Their Academic Motivation Levels. academic journals, 10. Lakhal, S. (2017). School climate and its relationship with learning motivation among a sample
of middle fourth-year students: A field study in centers of Sidi Amer district. (in Arabic)
(Doctoral Dissertation). Faculty of Humanities and Social Sciences, of Mohamed Boudiaf
University, M'Sila, Algeria. Lee, J. C. K., Zhang, Z., & Song, H. (2011). Effects of quality of Quality on Their Academic Motivation Levels. academic journals, 10. Lakhal, S. (2017). School climate and its relationship with learning motivation among a sample
of middle fourth-year students: A field study in centers of Sidi Amer district. (in Arabic)
(Doctoral Dissertation). Faculty of Humanities and Social Sciences, of Mohamed Boudiaf
University, M'Sila, Algeria. Lee, J. C. K., Zhang, Z., & Song, H. (2011). 3
IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / school life and classroom environment on student
engagement: A Chinese study. Educational Practice and
Theory, 33(1), 5-27.
Melnic, A., & Botez, N. (2014). Academic learning motivation. Economy Transdisciplinarity
Cognition, 17(2), 56.
Tawq, M., Adas, A. & Qatami, Y. (2003). Foundations of educational psychology(in Arabic). (3rd
Edition), Jordan, Amman: Dar Al-Fikr for Publishing and Distribution. y
Melnic, A., & Botez, N. (2014). Academic learning motivation. Economy Transdisciplinarity
Cognition, 17(2), 56. Tawq, M., Adas, A. & Qatami, Y. (2003). Foundations of educational psychology(in Arabic). (3rd
Edition), Jordan, Amman: Dar Al-Fikr for Publishing and Distribution. :ثانياً: المراجع األجنبية Effects of quality of IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0 جودة الحياة المدرسية وعالقتها بالدافعية للتعلم لدى تالميذ المرحلة االبتدائية في
المدارس األهلية والحكومية بالسعودية زهراء سليمان g
,
( ),
Tawq, M., Adas, A. & Qatami, Y. (2003). Foundations of educational psychology(in Arabic). (3rd
Edition), Jordan, Amman: Dar Al-Fikr for Publishing and Distribution. Tawq, M., Adas, A. & Qatami, Y. (2003). Foundations of educational psychology(in Arabic). (3rd
Edition), Jordan, Amman: Dar Al-Fikr for Publishing and Distribution. Tawq, M., Adas, A. & Qatami, Y. (2003). Foundations of educational psychology(in Arabic). (3rd
Edition), Jordan, Amman: Dar Al-Fikr for Publishing and Distribution. 204 IUG Journal of Educational and Psychology Sciences (Islamic University of Gaza) / CC BY 4.0
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https://openalex.org/W4310967526
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https://rrid.mitpress.mit.edu/pub/78y6i305/download/pdf
|
English
| null |
Review 1: "A single-nucleus and spatial transcriptomic atlas of the COVID-19 liver reveals topological, functional, and regenerative organ disruption in patients"
| null | 2,022
|
cc-by
| 681
|
Rapid Reviews Infectious Diseases
Review 1: "A single-nucleus
and spatial transcriptomic
atlas of the COVID-19 liver
reveals topological,
functional, and
regenerative organ
disruption in patients"
Xinjun Wang1
1Memorial Sloan Kettering Cancer Center Department of Epidemiology and Biostatistics UNITED
STATES
The MIT Press
Published on: Dec 09, 2022
URL: https://rrid.mitpress.mit.edu/pub/78y6i305
License: Creative Commons Attribution 4.0 International License (CC-BY 4.0) Rapid Reviews Infectious Diseases Rapid Reviews Infectious Diseases
Review 1: "A single-nucleus
and spatial transcriptomic
atlas of the COVID-19 liver
reveals topological,
functional, and
regenerative organ
disruption in patients" Rapid Reviews Infectious Diseases
Review 1: "A single-nucleus and spatial transcriptomic atlas of the COVID-19 liver reveals topological, functional,
and regenerative organ disruption in patients Rapid Reviews Infectious Diseases
Review 1: "A single-nucleus and spatial transcriptomic atlas of the COVID-19 liver reveals topological, functional,
and regenerative organ disruption in patients Rapid Reviews Infectious Diseases
Review 1: "A single-nucleus and spatial transcriptomic atlas of the COVID-19 liver reveals topological, functional,
and regenerative organ disruption in patients Review 1: "A single-nucleus and spatial transcriptomic atlas of the COVID-19 liver reveals topological, functional,
and regenerative organ disruption in patients Rapid Reviews Infectious Diseases RR:C19 Evidence Scale rating by reviewer: Reliable. The main study claims are generally justified by its methods and data. The results and conclusions
are likely to be similar to the hypothetical ideal study. There are some minor caveats or limitations, but they
would/do not change the major claims of the study. The study provides sufficient strength of evidence on its
own that its main claims should be considered actionable, with some room for future revision. Reliable. The main study claims are generally justified by its methods and data. The results and conclusions
are likely to be similar to the hypothetical ideal study. There are some minor caveats or limitations, but they
would/do not change the major claims of the study. The study provides sufficient strength of evidence on its
own that its main claims should be considered actionable, with some room for future revision. *************************************** *************************************** Review: In general, this paper studies the changes in the cellular composition and expression states in COVID-19-
infected liver cells by analyzing snRNA-seq and spatial transcriptomic data from the livers of COVID-19
decedents in comparison to healthy controls. The analyses are quite thorough and provide novel insights into
liver function changes in COVID-19. The omics data from those patients, if publicly available, will be great
resources to the field. The major limitation of the study, as discussed in the paper as well, is the relatively small
sample size (17 patients), where the patient heterogeneity (e.g. age) may confound the analysis. Also, since all
patients have a severe COVID-19 phenotype, the conclusion cannot be generalized to other phenotypes. Nevertheless, the paper is overall well-written and good for publication with minor revision. Below are my
comments regarding computational analysis: 1. For doublet detection, the authors applied Scrublet. However, since samples are from different donors, it is
more reasonable to use Demuxlet (Kang, et al., 2018) to detect doublets via genetic variation, which is
considered an approximate ground truth. I suggest the authors apply Demuxlet to remove doublets (replacing
l
b
f ll
i
h
d
f
d)
d
if h
h
i
h
l
i 1. For doublet detection, the authors applied Scrublet. However, since samples are from different donors, it is
more reasonable to use Demuxlet (Kang, et al., 2018) to detect doublets via genetic variation, which is
considered an approximate ground truth. I suggest the authors apply Demuxlet to remove doublets (replacing
l
b
f ll
i
h
d
f
d)
d
if h
h
i
h
l
i 2. Batch effect correction and clustering are important steps that may have a big impact on downstream
analyses. The authors used Harmony to remove the batch effect before clustering, which is well-known for
its computational efficiency. Still, I am a little bit concerned about the choice of Harmony on downstream
analyses. That being said, I suggest the authors try some other methods for batch effect correction before
clustering (e.g. scVI, Seurat) to check the robustness of the results. 2
|
https://openalex.org/W4292574966
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https://hal.science/hal-03788850/document
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English
| null |
Bites by Non-Native Reptiles in France: Species, Circumstances and Outcome
|
Toxins
| 2,022
|
cc-by
| 7,805
|
To cite this version: Gaël Le Roux, Guillaume Grenet, Corinne Schmitt, Sébastien Larréché, Alexis Descatha. Bites by
Non-Native Reptiles in France: Species, Circumstances and Outcome. Toxins, 2022, 14 (8), pp.570. 10.3390/toxins14080570. hal-03788850 Distributed under a Creative Commons Attribution 4.0 International License Gaël Le Roux 1,2,*, Guillaume Grenet 3,4
, Corinne Schmitt 5
, French Poison Control Centers Research Group †,
Sébastien Larréché 6,7 and Alexis Descatha 1,2 1
‘Grand Ouest’ Poison Control Center, University Hospital of Angers, CEDEX 9, 49933 Angers, France Grand Ouest Poison Control Center, University Hospital of Angers, CEDEX 9, 49933 Angers, France
2
Institut de Recherche en Santé, Environnement, Travail (IRSET, INSERM UMR_S 1085, ESTER Team),
CEDEX 1, 49045 Angers, France y
p
g
g
2
Institut de Recherche en Santé, Environnement, Travail (IRSET, INSERM UMR_S 1085, ESTER Team),
CEDEX 1, 49045 Angers, France g
3
Lyon Poison Control Center, HCL, 69003 Lyon, France 4
Laboratory of Biometry and Evolutionary Biology UMR 5558, CNRS, University of Lyon 1, CEDEX,
69622 Villeurbanne, France ‘Sud’ Poison Control Center, APHM, 13005 Marseille, Fran 6
Departement of Medical Biology, Bégin Military Teaching Hospital, 94160 Saint-Mandé, France 7
INSERM UMR-S1144, University of Paris Cité, 75006 Paris, France *
Correspondence: galeroux@chu-angers.fr; Tel.: +33-2-41-35-53-54 †
French Poison Control Centers Research Group: Ramy Azzouz, Patrick Nisse (Lille Poison Control Center,
France), Nathalie Paret, Cécile Chevalier (Lyon Poison Control Center, France), Camille Paradis, Ingrid Blanc,
Audrey Nardon (Bordeaux Poison Control Center, France), Luc de Haro, Nicolas Simon (‘Sud’ Poison Control
Center, France), Nicolas Delcourt, Florent Battefort (Toulouse Poison Control Center, France), Christine
Tournoud, Emmanuel Puskarczyk (‘Est’ Poison Control Center, France), Hervé Laborde, Jérôme Langrand,
Weniko Caré, Dominique Vodovar (Paris Poison Control Center, France), Jérémy Lecot, Marion Legeay, Marie
Deguigne (‘Grand Ouest’ Poison Control Center, France). Abstract: We aimed to make an exhaustive assessment of circumstances of bites by exotic reptiles bred
in France. A retrospective observational study was conducted in all the reported cases from 2000 to
2020 in French poison control centers (PCCs). Two hundred and eighteen cases of bites were recorded. The sex ratio (M/F) of the patients was 1.79 and the mean age of the patients was 29.0 ± 15.8 years. Twenty-two cases (10.1%) occurred during the deep night. One hundred and eighty-six bites (85.7%)
occurred in a private context; however, there were more cases of high severity when it occurred in a
professional setting (60.0% vs. 11.2%, p < 0.01). The feeding/nursing activity accounted for 54.7%
cases. Forty-three species of snake were identified; 28 were considered venomous. There were no
deaths among the patients in the study. Most of the cases (85.8%) were of mild severity. All of the
patients bitten by a venomous reptile were hospitalized: 10 patients received an antivenom; and
2 required surgery. Citation: Le Roux, G.; Grenet, G.;
Schmitt, C.; French Poison Control
Centers Research Group; Larréché, S.;
Descatha, A. Bites by Non-Native
Reptiles in France: Species,
Circumstances and Outcome. Toxins
2022, 14, 570. https://doi.org/
10.3390/toxins14080570
Received: 3 August 2022
Accepted: 19 August 2022
Published: 20 August 2022 Citation: Le Roux, G.; Grenet, G.;
Schmitt, C.; French Poison Control
Centers Research Group; Larréché, S.;
Descatha, A. Bites by Non-Native
Reptiles in France: Species,
Circumstances and Outcome. Toxins
2022, 14, 570. https://doi.org/
10.3390/toxins14080570 Received: 3 August 2022
Accepted: 19 August 2022
Published: 20 August 2022 Keywords: exotic reptile; snakebite; poison control center; antivenom Publisher’s Note: MDPI stays neutral
with regard to jurisdictional claims in
published maps and institutional affil-
iations. Key Contribution: Many exotic reptiles held in captivity can cause severe bites, which may require
the use of antivenom. However, a small number of popular species are frequently found in mild bites. Copyright:
© 2022 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article
distributed
under
the
terms
and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/). Gaël Le Roux 1,2,*, Guillaume Grenet 3,4
, Corinne Schmitt 5
, French Poison Control Centers Research Group †,
Sébastien Larréché 6,7 and Alexis Descatha 1,2 Bites occurred at home and by a small number of popular non-venomous reptile
species (pythons and boas, colubrids). These occurred mainly when handling the animals. The rare
envenomations were mainly by Asian and American crotalids, followed by elapids. One-third of
them were treated with antivenom when available. toxins toxins Citation: Le Roux, G.; Grenet, G.;
Schmitt, C.; French Poison Control
Centers Research Group; Larréché, S.;
Descatha, A. Bites by Non-Native
Reptiles in France: Species,
Circumstances and Outcome. Toxins
2022, 14, 570. https://doi.org/
10.3390/toxins14080570 HAL Id: hal-03788850
https://hal.science/hal-03788850v1
Submitted on 27 Sep 2022 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
scientifiques de niveau recherche, publiés ou non,
émanant des établissements d’enseignement et de
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entific research documents, whether they are pub-
lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License toxins toxins Article
Bites by Non-Native Reptiles in France: Species, Circumstances
and Outcome Gaël Le Roux 1,2,*, Guillaume Grenet 3,4
, Corinne Schmitt 5
, French Poison Control Centers Research Group †,
Sébastien Larréché 6,7 and Alexis Descatha 1,2 2. Results
A tota
eached a m A total of 218 cases of bites by non-native reptiles were recorded in France between 1
January 2000 and 31 December 2020. This represented 10.4 cases per year; however, the
number of cases reached a maximum of 18 in 2016 (Figure 1). This represented an incidence
of 3.8 per one thousand cases involving an animal (min. 0.5; max. 6.9) or 5.9/100,000 cases
managed yearly by the PCCs (min. 0.9; max. 9.2). The bites were reported in all French
regions, as described in Figure 2. A total of 218 cases of bites by non native reptiles were recorded in France
1 January 2000 and 31 December 2020. This represented 10.4 cases per year; how
number of cases reached a maximum of 18 in 2016 (Figure 1). This represente
dence of 3.8 per one thousand cases involving an animal (min. 0.5; max. 6.9) or 5
cases managed yearly by the PCCs (min. 0.9; max. 9.2). The bites were repor
French regions, as described in Figure 2. (
g
)
p
ne thousand cases involving an animal (min. 0.5; max. 6.9) or 5.9/100,000
early by the PCCs (min. 0.9; max. 9.2). The bites were reported in all
described in Figure 2. of 3.8 per one thousand cases involving an animal (min. 0.5; max. 6.9) or 5.9/100,000 case
managed yearly by the PCCs (min. 0.9; max. 9.2). The bites were reported in all Frenc
regions, as described in Figure 2. p
g
cases managed yearly by the PCCs (min. 0.9; max. 9.2). The bites were rep
French regions, as described in Figure 2. Figure 1. Number of annual cases of bites by an exotic reptile. Figure 2. Number and incidence of non-native reptile bites in metropolitan France. O
French regions with the number of inhabitants; the variation in color corresponds to th
On the right, the number of cases (and incidence/100,000 inhabitants) for each region;
0
2
4
6
8
10
12
14
16
18
20
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018
2019
2020
Number of bites
Figure 1. Number of annual cases of bites by an exotic reptile. Figure 1. Number of annual cases of bites by an exotic reptile. Figure 2. Number and incidence of non-native reptile bites in metropolitan France. 1. Introduction Ophidian envenomations are uncommon but potentially serious in Western Europe. They affect 0.4 to 1.1 people per 100,000 inhabitants per year and cause approximately
4 deaths each year [1]. Vipera sensu strictu is the genus most associated with venomous
snakebites. The most common species are: V. berus, which is also the species with the
widest distribution in Europe; followed by V. ammodytes, V. aspis, V. latastei, V. ursinii, and
V. seoanei [2]. https://www.mdpi.com/journal/toxins Toxins 2022, 14, 570. https://doi.org/10.3390/toxins14080570 Toxins 2022, 14, 570
vate bre
i
f 2 of 11 Alongside these native species, many exotic reptiles are kept in professional or private
breeding facilities. A recent study estimated that there are approximately 1250 species of
snakes in international trade [3], including venomous animals. g
y
pp
y
cies of snakes in international trade [3], including venomous animals. The main objective of this study was to describe frequency of bites by exot
in France in terms of the species involved and management
s of the species involved and management. g
The main objective of this study was to describe frequency of bites by exotic reptiles in
France, in terms of the species involved and management. in France, in terms of the species involved and management. 2 Re ult
8 cases of bites by non-native reptiles were recorded in France between
d 31 D
b
2020 Thi
t d 10 4
h
th 2.2. Circumstances of the Exposure 2.2. Circumstances of the Exposure The number of reported bite cases per year has increased over the whole period. The
time of the bites is described in Table 1 alongside the context (private or occupational). The
cases of occupational bites involved the following situations: one involved a professional
breeder; and another, a vet who was nursing a Bitis nasicornis at home. Seven cases
occurred in pet shops, two in a breeding farm, and ten in a vivarium; all of these involved
professionals selling or breeding reptiles. Finally, four cases occurred in the public during
handling in a commercial context (fair, circus, photography studio, street show). The
context was unknown in seven cases. Only six patients admitted alcohol consumption at the time of the bite. One case of a
bite by a venomous animal occurred in a patient who was drunk and high on drugs. The current activity at the time of the bite was known in seventy-five cases (34.4%), as
reported in Table 1. 2. Results
A tota
eached a m On the left, the
French regions with the number of inhabitants; the variation in color corresponds to the population. On the right, the number of cases (and incidence/100,000 inhabitants) for each region; the variation
in color corresponds to the incidence. 2 1 S
i d
hi
0
2
4
6
8
10
12
14
16
18
20
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018
2019
2020
Number of bites
Figure 2. Number and incidence of non-native reptile bites in metropolitan France. On the left, th
French regions with the number of inhabitants; the variation in color corresponds to the populatio
On the right, the number of cases (and incidence/100,000 inhabitants) for each region; the variatio
in color corresponds to the incidence. Figure 1. Number of annual cases of bites by an exotic reptile. 0
2
4
6
8
10
12
14
16
18
20
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018
2019
2020
Number of bites
Figure 1. Number of annual cases of bites by an exotic reptile. of annual cases of bites by an exotic reptile. 003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018
2019
2020 Figure 1. Number of annual cases of bites by an exotic r
Figure 1. Number of annual cases of bites by an exotic reptile. Figure 2. Number and incidence of non-native reptile bites in metropolitan France. On t
French regions with the number of inhabitants; the variation in color corresponds to the p
nd incidence of non-native reptile bites in metropolitan France. On the left, the
the number of inhabitants; the variation in color corresponds to the population. mber of cases (and incidence/100,000 inhabitants) for each region; the variation
to the incidence. Figure 2. Number and incidence of non-native reptile bites in metropolitan France. On the left, the
French regions with the number of inhabitants; the variation in color corresponds to the population. On the right, the number of cases (and incidence/100,000 inhabitants) for each region; the variation
in color corresponds to the incidence. Toxins 2022, 14, 570 3 of 11 2.1. Sociodemographics 2.1. Sociodemographics One hundred and forty (64.2%) of them were male, compared with 78 (35.8%) females. The mean age of the patients was 29.0 ± 15.8 years (ranging from 4 months to 67 years). For
seven patients, the age was unknown. Sixteen (7.3%) were younger than 6 years; 15 (6.9%)
were aged 6–12 years; 19 (8.7%) were aged 13–18 years; and 161 (73.9%) were older than
18 years. The mean age of the patients bitten by a venomous species was higher than
those bitten by a reputedly non-venomous species (39.5 ± 16.6 years vs. 26.7 ± 13.7 years,
p < 0.001) (Table 1). Table 1. Distribution of exotic reptile bites. Variable
Total
PSS * 0/1
PSS * 2/3
p
Age (y.o.)
211
27.5 ± 15.8
37.8 ± 13.3
<0.001
Sex
0.039
Male
140
115
25
Female
78
72
6
Venomous animal
<0.001
Yes
42
18
24
No
168
161
7
Time of bite
N.S. Day
120
101
19
Evening
72
62
10
Deep night
23
21
2
Activity
N.S. Feeding, nursing
41
31
10
Handling
34
31
3
Context
<0.01
Private
187
166
21
Occupational
24
15
9
Location
0.022
At home
186
164
22
At work
20
13
7
Pet shop, fair . . . 5
5
0
* PSS: Poisoning severity score [4]. See Section 6. Table 1. Distribution of exotic reptile bites. 2.2. Circumstances of the Exposure 2.4. Clinical Aspects The bites occurred on the upper limb in 190 cases (87.2%) and on the lower limb in
two cases. In one case, there were multiple bites on both the upper and lower limbs. There
were nine bites to the head, almost exclusively by snakes belonging to the Boidae family
(boids, 7 cases, including a 4-month-old child); however, also by a Pantherophis guttatus in a
child, and a bite to the neck by a “rattlesnake” (unidentified species). Finally, there was one
case of ocular projection of venom by a spitting cobra, Naja mossambica. p
j
y
p
g
j
The bite of Heloderma suspectum caused only localized symptoms (edema, pain), ac-
companied by vomiting and diarrhea. The bites by boids and pythonids were almost all of low severity (PSS 0/1) and
associated with local edema, local pain, and even a hematoma or paresthesia. In one case
of moderate severity (PSS 2), a patient presented with an edema of the whole hand; this
was associated with paresthesia, local pain, and functional impotence of four fingers; and
another had a local cutaneous infection. The patient bitten on the thumb by Thrasops flavigularis experienced a burning and
crushing sensation, followed by an edema that progressed to the forearm with localized pain
along the lymphatic pathway. A diffuse hematoma along the arm was also present. Con-
versely, bites by other colubrids (Lampropeltis spp., Pantherophis spp., and Elaphe schrenckii)
were consistently mild. In two patients, dysesthesia was also observed. The link between
a bite and an infectious syndrome was questioned in two cases; however, no differential
diagnosis was evoked. The bite of Ramphiophis oxyrhynchus had no consequences other than a local cutaneous
edema. On the other hand, in 3/7 cases of bites by Heterodon nasicus, the initial edema was
accompanied by paresthesias of the bitten limb. Finally, in one case, the evolution was not
favorable; at hour 12 of the bite, a phlegmon of the digitalocarpal sheath of the fifth finger
was observed, associated with a septic and necrotic wound at the bite site. The bite by Aspidelaps lumbricus infuscates was only a dry bite, resulting in no symptoms
other than skin puncture. The ocular projection of venom by Naja mossambica resulted in
keratitis without uveitis. Bites by the other elapids (including Oxyuranus microlepidotus)
were all followed by a local syndrome (local edema up, localized external bleeding or
hemorragic lymhedema, and local necrosis). 2.3. Species Involved Finally, in one case, the evolution was not
favorable; at hour 12 of the bite, a phlegmon of the digitalocarpal sheath of the fifth finger
was observed, associated with a septic and necrotic wound at the bite site. The bite by Aspidelaps lumbricus infuscates was only a dry bite, resulting in no symptoms
other than skin puncture. The ocular projection of venom by Naja mossambica resulted in
keratitis without uveitis. Bites by the other elapids (including Oxyuranus microlepidotus)
were all followed by a local syndrome (local edema up, localized external bleeding or
hemorragic lymhedema, and local necrosis). The two cases of Naja naja bites resulted in a
minimal neurotoxic syndrome. The bites by Viperinae had only local consequences, with the notable exception of the
one bite by Proatheris superciliaris. It led to a hematotoxic syndrome characterized by an
edema extending to the groin and necrosis at the bite site. He rapidly developed an acute
kidney injury due to renal artery thrombosis; this also explained the severe abdominal
pain and, above all, a hypertensive crisis. A diagnosis of renal cortical necrosis, following
disseminated intravascular coagulopathy, was finally made. The symptoms reported by
patients bitten by crotalids are listed in Table 3. Among the North American rattlesnake
bites there was one case of a dry bite by a juvenile rattlesnake (undetermined species) The Table 2. Cont. Species
No. of Bites
n = 218
PSS * 0
n = 98
PSS 1
n = 89
PSS 2
n = 23
PSS 3
n = 8
Dipsadidae
6
5
1
1
Heterodon nasicus
7
5
1
1
Lamprophiidae
1
1
Rhamphiophis oxyrhynchus
1
1
* PSS: Poisoning severity score [4]. See ‘Material and methods’ section. Table 2. Cont. 2.3. Species Involved The number of different species involved each year appears to have increased overall
over the study period, with a maximum of 18 in 2016. All of the species involved are
reported in Table 2. Toxins 2022, 14, 570 4 of 11 Species
No. of Bites
n = 218
PSS * 0
n = 98
PSS 1
n = 89
PSS 2
n = 23
PSS 3
n = 8
Lizards
7
4
2
1
“Exotic lizard”
1
1
Pogona vitticeps
1
1
Heloderma suspectum
1
1
Varanus sp. (incl. V. exanthematicus)
3
1
1
Iguana iguana
1
1
Snakes
211
94
87
22
8
“Exotic snake”
1
1
“Snake from Guyana”
1
1
Elapidae
8
1
2
4
1
Aspidelaps lumbricus infuscates
1
1
“African naja”
1
1
Naja mossambica
1
1
Naja annulifera
1
1
Naja atra
1
1
Naja naja
2
1
1
Oxyuranus microlepidotus
1
1
Viperidae: Viperinae
5
1
3
1
Bitis nasicornis
1
1
Cerastes vipera
1
1
Cerastes cerastes
1
1
Daboia palestinae
1
1
Proatheris supercialiaris
1
1
Viperidae: Crotalinae
28
4
10
9
Agkistrodon contortrix
2
1
1
Bothriechis schlegelii
1
1
Bothriopsis taeniata
1
1
Bothrops asper
1
1
Bothrops atrox
1
1
Bothrops moojeni
1
1
Crotalus sp. 2
1
1
Crotalus atrox
1
1
Crotalus adamanteus
1
1
Crotalus durissus (incl. C. d. durissus and unicolor)
3
1
1
1
Crotalus polystictus
1
1
Crotalus viridis oreganus
1
1
Trimeresurus albolabris
6
1
4
1
Trimeresurus flavomaculatus
2
1
1
Trimeresurus schultzei
1
1
Trimeresurus trigonocephalus
2
1
1
Trimeresurus venustus
1
1
Pythonidae
69
37
3
1
Malayophython reticulatus
1
1
Morelia sp. 2
2
Morelia spilota (incl. M. s. cheyeni and M. s. macdowelli)
2
2
Morelia viridis
1
1
Python sp. 26
16
10
Python molurus
5
3
2
Python regius
32
17
14
1
Boidae
43
24
18
1
Boa sp. 20
12
8
Boa constrictor
18
9
8
1
Boa imperator
4
2
2
Eryx colubrinus
1
1
Colubridae
48
27
18
3
“Exotic colubrid”
3
1
2
Elaphe schrenckii
1
1
Lampropeltis sp. 2
1
1
Lampropeltis californiae
4
3
1
Lampropeltis triangulum (incl. L. t. hondurensis and L. t. campbelli)
4
2
2
Pantherophis sp. 2.3. Species Involved 1
1
Pantherophis bairdi
2
1
1
Pantherophis guttatus
29
17
10
2
Pantherophis obsoletus
1
1
Thrasops flavigularis
1
1 Toxins 2022, 14, 570 5 of 11 Table 2. Cont. Species
No. of Bites
n = 218
PSS * 0
n = 98
PSS 1
n = 89
PSS 2
n = 23
PSS 3
n = 8
Dipsadidae
6
5
1
1
Heterodon nasicus
7
5
1
1
Lamprophiidae
1
1
Rhamphiophis oxyrhynchus
1
1
* PSS: Poisoning severity score [4]. See ‘Material and methods’ section. 2.4. Clinical Aspects
The bites occurred on the upper limb in 190 cases (87.2%) and on the lower limb in
two cases. In one case, there were multiple bites on both the upper and lower limbs. There
were nine bites to the head, almost exclusively by snakes belonging to the Boidae family
(boids, 7 cases, including a 4-month-old child); however, also by a Pantherophis guttatus in a
child, and a bite to the neck by a “rattlesnake” (unidentified species). Finally, there was one
case of ocular projection of venom by a spitting cobra, Naja mossambica. The bite of Heloderma suspectum caused only localized symptoms (edema, pain), ac-
companied by vomiting and diarrhea. The bites by boids and pythonids were almost all of low severity (PSS 0/1) and
associated with local edema, local pain, and even a hematoma or paresthesia. In one case
of moderate severity (PSS 2), a patient presented with an edema of the whole hand; this
was associated with paresthesia, local pain, and functional impotence of four fingers; and
another had a local cutaneous infection. The patient bitten on the thumb by Thrasops flavigularis experienced a burning and
crushing sensation, followed by an edema that progressed to the forearm with localized pain
along the lymphatic pathway. A diffuse hematoma along the arm was also present. Con-
versely, bites by other colubrids (Lampropeltis spp., Pantherophis spp., and Elaphe schrenckii)
were consistently mild. In two patients, dysesthesia was also observed. The link between
a bite and an infectious syndrome was questioned in two cases; however, no differential
diagnosis was evoked. The bite of Ramphiophis oxyrhynchus had no consequences other than a local cutaneous
edema. On the other hand, in 3/7 cases of bites by Heterodon nasicus, the initial edema was
accompanied by paresthesias of the bitten limb. 2.5. Care Management All of the patients bitten by a venomous reptile were hospitalized. Only twenty-
eight cases were bitten by an animal that can be treated with an antivenom available
in metropolitan France. Of the patients envenomed, only 10 (35.7%) were administered
antivenom. They had been bitten by Crotalus sp., Crotalus atrox, Crotalus polystictus, Crotalus
durissus, Bothriopsis taeniata, Bothrops asper, and received Antivipmyn Tri® (Bioclon); by
Bothrops moojeni and received Bothrofav® (Sanofi); by Naja naja and Naja annulifera, and
received FAV Afrique® (Sanofi); and by Bitis nasicornis and (Inoserp Panafrica®). The
other patients did not receive any antivenom for one of the following reasons: the grade
of envenomation did not justify the use of antivenom (15 cases); the administration of
antivenom was refused by the patients (four cases); a lack of knowledge of the species
and/or the spectrum of action of the antivenoms (one case); and insufficient paraspecificity
(two cases). Two patients underwent fasciotomy (Crotalus atrox, despite the administration of
six vials of antivenom, and Thrasops flavigularis). There was also a case of surgical amputa-
tion of the forearm (Bothrops asper) and thumb (Naja naja) because of local necrosis. 2.4. Clinical Aspects The two cases of Naja naja bites resulted in a
minimal neurotoxic syndrome. The bites by Viperinae had only local consequences, with the notable exception of the
one bite by Proatheris superciliaris. It led to a hematotoxic syndrome characterized by an
edema extending to the groin and necrosis at the bite site. He rapidly developed an acute
kidney injury due to renal artery thrombosis; this also explained the severe abdominal
pain and, above all, a hypertensive crisis. A diagnosis of renal cortical necrosis, following
disseminated intravascular coagulopathy, was finally made. The symptoms reported by
patients bitten by crotalids are listed in Table 3. Among the North American rattlesnake
bites, there was one case of a dry bite by a juvenile rattlesnake (undetermined species). The
patient reported that the venom glands had been removed prior to purchase. Toxins 2022, 14, 570 6 of 11 Table 3. Reported signs, symptoms and biological disturbances in the patients bitten by crotalids. Reported Signs or Symptoms
Number of Cases
Local signs
Erythema
12
Pain
11
Edema
10
Necrosis, blisters
4
Ecchymosis
4
Bleeding at the skin puncture
1
Compartment syndrome
1
Systemic signs
Extensive edema
3
Adenopathy
3
Tachycardia
2
High blood pressure
2
Paresthesia
1
Organic acute kidney injury
1
Hyperthermia
1
Low blood pressure
1
Extensive ischemia
1
Biological perturbations
Coagulopathy
3
Increased prothrombin time
3
Hyperleukocytosis
3
Thrombocytopenia
2
Rise in CK
2
Hypofibrinogenemia
1 ns, symptoms and biological disturbances in the patients bitten by crotalids. The severity of the cases is summarized in Table 1. There was no reported death
following a bite; however, two cases were left with sequelae, following amputation of a
finger in one case of a bite by Naja naja and of a forearm following a bite by Bothrops asper. 3. Discussion The single case
of envenomation at night by a rattlesnake suggests that the owners of such animals are
more cautious. In just over one in ten cases, the bite occurred in a professional context. The bites were
significantly more serious in this case. Several breeding structures were represented in
our study. Pet shops sometimes employ staff with little knowledge of the dangerousness
of animals and safe care practices [12]. Conversely, the staff of farms for research or
venom collection purposes, as well as vivaria open to the public, are better informed of the
risks they run. All of them host potentially more dangerous animals than at home, either
because of the specific need for certain venoms (for antivenom production) or to meet the
expectations of visitors looking for thrills [12]. The activity at the time of the bite shows that certain situations are risky, namely
nursing, feeding, and handling. These data are consistent with the results of previous
studies in the United States and Australia [10,13]. Food excitement is probably involved in
animals that are well fed, but all the more prone to inoculate venom as the possibility of
escape is reduced [14]. Obviously, handling is all the more likely because the animals are
considered to be non-venomous and not very aggressive. Several avoidable manipulations
could have reduced the number of bite cases, in particular during demonstrations to the
public, photography sessions, etc. Bites occur mainly on the upper limb (87.2% of cases),
in contrast to bites by indigenous snakes [5,15]. Large animals, such as boas, which are
thought to be placid, and which owners deliberately place around their necks, tend to bite
at the head. A total of twenty-three different species were identified, each with a highly variable
number of bite cases. This is probably a consequence of the popularity of these animals. In Europe, the number of reptiles in households is estimated at 7.9 million, with France
leading the way with 2.2 million animals, 1 million more than Germany, Italy or Spain [16]. As has been shown, the market for exotic animals is dominated by a small number of
popular taxa, especially as the possibility of obtaining color variations is important [17]. Currently, the most successful reptiles in the snake category are Pantherophis guttatus and
Boa constrictor. The latter is behaviorally reliable and adapts well to life in captivity. 3. Discussion This work was a comprehensive retrospective study of bites by non-native reptiles re-
ported in French PCCs. In France, bites by native vipers cause between 200 and 300 victims
per year [5]. In 218 cases of bites by exotic reptiles in 20 years, i.e., an estimated incidence
of 3.5 cases per one million inhabitants and less than 5% of the cases of envenomation by
reptiles in France, the phenomenon might seem negligible. Indeed, in other countries, the
number of bites by non-native snakes far exceeds that attributable to native species. For
example, in Hungary, between 1970 and 2006, although the number of bites was compar-
atively lower (97 cases), 62.9% of them were caused by an exotic snake [6]. In the Czech Toxins 2022, 14, 570 7 of 11 7 of 11 Republic, 87 cases of bites by Viperidae or Elapidae were recorded in 15 years (1999–2013);
or 0.06/100,000 inhabitants/year [7]. Finally, in an article published by four French and
German PCC’s, 155 cases of bites by exotic snakes were reported between 1996 and 2006 [8]. Republic, 87 cases of bites by Viperidae or Elapidae were recorded in 15 years (1999–2013);
or 0.06/100,000 inhabitants/year [7]. Finally, in an article published by four French and
German PCC’s, 155 cases of bites by exotic snakes were reported between 1996 and 2006 [8]. y
p
The highest incidence of the reported bites was in the regions of Hauts-de-France,
Grand-Est, and Provence-Alpes-Côte d’Azur. These are highly urbanized and border
regions. According to a WWF report, some retailers’ premises are strategically located and
easily accessible to the residents of neighboring countries. Large fairs in Germany or in the
Netherlands attract large numbers of reptile enthusiasts [9]. The profile of the patients bitten is similar to what has already been reported from
other countries [6,10]. The bite victim was a male patient under 30 years of age. The patients
bitten by venomous animals were older; these animals were likely being kept by people
with more experience in keeping reptiles in captivity. The presence of (sometimes very
young) children in our study is evidence of the presence of animals in the home. Although
rarely asked during telephone consultations or even admitted by patients, fatigue and the
use of alcohol or drugs are factors that favor bites, as already reported [11]. 3. Discussion Thus,
in the present study, we recorded numerous cases of bites by species which are the most
frequently held at home. The maxillary and mandibular glands of the powerful constrictor snakes, boa and
python, are essentially mucous [18]. Nevertheless, the development of powerful teeth can
lead to deep wounds and clinical manifestations; this is sometimes attributed to a toxic
potential, but only due to the location of the bite or a disproportionate human reaction [19]. Moreover, due to their size, these snakes represent a potential danger for humans and
especially for children, for whom a constriction can be fatal [20,21]. The same applies to colubrids which, although lacking Duvernoy’s glands or special-
ized dentition, were likely, in our study as in the literature, to cause a symptomatology that Toxins 2022, 14, 570 8 of 11 goes beyond simple cutaneous effraction. Although this is questionable for Lampropeltis,
Elaphe, or Panterophis, the case of a bite by Thrasops falvigularis (the only one reported in
the literature [22]) should raise caution. This animal belongs to a tribe that also includes
other well-known dangerous species, such as Dyspholidus typus or Thelotornis spp. [23,24]. Close to the Colubridae, Heterodon nasicus (Dipsadidae) causes bites which, although not
followed by signs of systemic envenomation, are responsible for moderate to severe local
signs (edema, ecchymosis, blisters, and a burning sensation) [25]. Thus, for snake bites,
there are clinical manifestations with marked local or even systemic signs in favor of a
real envenomation with aglyphous snakes (Heterodon, Thrasops). Some opisthoglyphous
species with strong posterior maxillary teeth associated with Duvernoy’s glands could
represent an increased risk of envenomation; however, these are very poorly illustrated in
this series as they are rarely kept in captivity in France. The only case we report is the bite
by Rhamphiophis, which did not have the severity that has already been described for this
species [26]. The possibility of microbial infection following snakebites cannot be ruled out. Bacteria
from the oral cavity of snakes such as Gram-negative enterobacteriaceae (e.g., Morganella
morganii, Proteus spp.), can colonize wounds, and lead to local and systemic complications
that can affect the patient’s prognosis [27,28]. Even relying on the kinetics of the onset
of symptoms may not help given the sudden onset of some infections in animal bites
(e.g., Pasteurella) [29]. 3. Discussion g
Patients bitten by Elapidae or Viperidae presented neurotoxic or hematotoxic syn-
dromes of varying intensity, respectively, and were consistent with the pictures already
widely described ([30–34]). Naja mossambica is a species of African cobra whose ophthalmic
effects of venom projection have been well described [35]. Kidney injury caused by the bite
of Proatheris superciliaris is a serious, although usual, consequence of envenomation [36]. The low severity of bites by Trimeresurus, popular Asian crotalids because of their beautiful
colors, is consistent with observations from the regions in which they are native [37,38]. In order to assist clinicians in the management of bites by venomous species, French
breeding centers and PCCs joined forces in 2003 in an association called the ‘Banque des
sérums antivenimeux (BSA)’ [39,40]; the aim of the association is to purchase foreign anti-
venomous serum that meets French standards of safety and efficacy. The financing of the
doses is ensured by the contributions of the breeders themselves. As antivenoms have the
status of medicines, they cannot be held outside a hospital pharmacy. The antivenoms
are thus distributed among four hospital sites in France, allowing the rapid delivery of
the first vials required for treatment. The use of an antivenom has been the only effective
specific treatment for snakebites for almost 120 years [41]. The mortality rate from this type
of envenomation is extremely low in Western countries, even in the absence of antivenom,
probably because of the available means of symptomatic resuscitation [42]. 4. Limitations This work presents the usual limitations of missing data in retrospective studies, for
two different reasons. There is no standardized data collection specific to envenomations. Thus, biological results may be missing; especially if they are normal and circumstantial
data are too infrequently collected, particularly by toxicologists that are not accustomed
to these kinds of cases. Furthermore, despite efforts to complete the data, the questioning
of patients is not always conclusive. For example, few patients admit to using drugs or
alcohol. Similarly, patients might be unfamiliar with the species they hold, especially when
it is acquired through illegal channels or is the result of a crossbreed for aesthetic purposes. 5. Conclusions Most reported venomous reptile encounters involved animals kept in private collec-
tions and handled by men. Most bites involved very popular groups of non-venomous
reptiles, such as pythons, boas, and colubrids. The most frequent venomous snakes were
crotalids from Asia and the Americas, followed by African elapids. A third of venomous Toxins 2022, 14, 570 9 of 11 snakebites lead to antivenom use due to the limited availability of a specific antivenom,
mild symptom severity, or patient refusal. snakebites lead to antivenom use due to the limited availability of a specific antivenom,
mild symptom severity, or patient refusal. 6. Materials and Methods A retrospective observational study was conducted in all the reported cases of snake
bites from 2000 to 2020 in French PCCs. The cases were extracted from the PCC information
system, which compiles all the exposure cases collected by the French PCCs during their
telephone response to toxicological emergencies. 6.1. Selection of Cases All the cases of bites by a reptile animal belonging to the snakes, anguimorphs
(varanids), and iguanids groups, not native to mainland France and reported to the French
PCCs, were included. The following data were analyzed: socio-demographic aspects (age, sex, geographical
region of the case, place, and time of the bite); the species of reptile involved; the location
of the bite; clinical manifestations following the bite; and the severity of the bite. Only the
proteoglyphic and solenoglyphic snakes (Elapidae and Viperidae), and the lizard genus
Heloderma, were considered venomous in the analysis of the cases. y
Severity is calculated from the symptoms, the results of paraclinical examinations, and
some recorded medical management. We used the poisoning severity score (PSS) [4]. The
severity has five levels: PSS 0, no symptoms; PSS 1, mild severity; PSS 2, moderate severity;
PSS 3, high severity; and PSS 4: death. g
y
The treatments used, when they involved the use of antivenom, were also analyzed. Additional information was sought in the records: the patient’s activity at the time of the
bite; the professional or extra-professional context of the bite; and the concomitant use of
substances (alcohol, drugs) that could impair judgment or reflexes. 6.2. Statistics We used R software to compare the qualitative variables using the Chi-squared and
Fisher exact tests. Author Contributions: G.L.R. and A.D., study concept and design; G.L.R. and French Poison Control
Research Group acquisition of the data; G.L.R., drafting of the manuscript; G.G., C.S., S.L. and A.D.,
critical revision of the manuscript; A.D., statistical expertise. All authors have read and agreed to the
published version of the manuscript. Funding: This research received no external funding. Funding: This research received no external funding. Institutional Review Board Statement: The study was carefully reviewed by the local ethics com-
mittee and approved as number 2021-202; date 2 June 2022. Informed Consent Statement: Not applicable. Informed Consent Statement: Not applicable. Data Availability Statement: Not applicable. Data Availability Statement: Not applicable. Acknowledgments: The authors would like to thank the staff of the French poison control centers
and the members of the Antivenom Bank. Acknowledgments: The authors would like to thank the staff of the French poison control centers
and the members of the Antivenom Bank. Acknowledgments: The authors would like to thank the staff of the French poison control centers
and the members of the Antivenom Bank. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. ,
,
[
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29. Talan, D.A.; Citron, D.M.; Abrahamian, F.M.; Moran, G.J.; Goldstein, E.J. Bacteriologic analysis of infected dog and cat bites. Emergency medicine animal bite infection study group. N. Engl. J. Med. 1999, 340, 85–92. [CrossRef] 30. Larréché, S.; Mion, G.; Clapson, P.; Debien, B.; Wybrecht, D.; Goyffon, M. Neurotoxines ophidiennes. Ann. Françaises D’anesth. Réanim. 2008, 27, 310–316. [CrossRef] 31. Chippaux, J.P. Envenimations et empoisonnements par les animaux venimeux ou veneneux. III. Envenimations par elapidae. Med. Trop. 2007, 67, 9–12. Toxins 2022, 14, 570 11 of 11 11 of 11 32. Dijkema, G.H.; Pat, J.J.; Steffens, M.G. Scrotal necrosis after cobra (Naja annulifera) envenomation. Urol. Case Rep. 2021, 39, 101844. [CrossRef] [PubMed] 33. Yeh, H.; Gao, S.-Y.; Lin, C.-C. Wound infections from Taiwan cobra (Naja atra) bites: Determining bacteriology, antibiotic
susceptibility, and the use of antibiotics—A cobra BITE study. Toxins 2021, 13, 183. [CrossRef] 34. Chippaux, J.P. Envenimations et intoxications par les animaux venimeux ou veneneux II. Envenimations par viperidae. Med. Trop. 2006, 66, 423–428. 35. Chu, E.R.; Weinstein, S.A.; White, J.; Warrell, D.A. Venom ophthalmia caused by venoms of spitting elapid and other snakes:
Report of ten cases with review of epidemiology, clinical features, pathophysiology and management. Toxicon 2010, 56, 259–272. [CrossRef] [
]
36. Pourreau, F.; Pinsard, M.; Goyffon, M.; Plasse, F.; Desport, E.; Thierry, A.; Touchard, G.; Bridoux, F. arrell, D.A. Commissioned article: Management of exotic snakebites. QJM 2009, 102, 593–601. [CrossRef] References Bilateral renal cortical necrosis
with end-stage renal failure following envenoming by Proatheris superciliaris: A case report. Toxicon 2014, 84, 36–40. [CrossRef]
[PubMed] 37. Rojnuckarin, P.; Banjongkit, S.; Chantawibun, W.; Akkawat, B.; Juntiang, J.; Noiphrom, J.; Pakmanee, N.; Intragumtornchai, T. Green pit viper (Trimeresurus albolabris and T. macrops) venom antigenaemia and kinetics in humans. Trop. Dr. 2007, 37, 207–210. [CrossRef] [PubMed] 38. Hutton, R.A.; Looareesuwan, S.; Ho, M.; Silamut, K.; Chanthavanich, P.; Karbwang, J.; Supanaranond, W.; Vejcho, S.; Viravan, C.;
Phillips, R.E.; et al. Arboreal green pit vipers (Genus Trimeresurus) of South-East Asia: Bites by T. Albolabris and T. Macrops in
Thailand and a review of the literature. Trans. R. Soc. Trop. Med. Hyg. 1990, 84, 866–874. [CrossRef] p
yg
39. Boels, D.; Harry, P.; de Haro, L.; Quistinic, P.; Clerc, M.-A.; Lourdais, O. La Banque des Sérums Antivenimeux (BSA) et la prise en
charge des envenimations par serpents exotiques en France. Urgence Prat. 2009, 94, 41–44. g
p
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q
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40. Darsonval, A.; Boels, D.; Clerc, M.-A.; De Haro, L.; Penot-Ragon, C.; Moal, F.; Quistinic, P.; Lourdais,
organisation d’une banque des serums antivenimeux en France. Presse Méd. 2010, 39, 865–870. [CrossR g
q
41. World Health Organization. Snakebite Envenoming: A Strategy for Prevention and Control; World Health Organization: Geneva,
Switzerland, 2019. 42. Warrell, D.A. Commissioned article: Management of exotic snakebites. QJM 2009, 102, 593–601. [CrossRef]
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English
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Effects of Composition and Thermal Treatment of Cu-Al-Zn Alloys with Low Content of Al on their Shape-memory Properties
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Materials research
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cc-by
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Received: January 25, 2017; Revised: June 10, 2017; Accepted: July 21, 2017 Two Cu-Zn-Al alloys with variable content of Zn (25 and 30 wt%) and constant Al content (4
wt%) prepared by induction melting of pure metals and hot rolled into strips of 0.5 mm thickness were
thermally processed by using three different heat treatments: direct quenching, step-quenching and up-
quenching with boiling water and room temperature water as the quenchants. The effects of composition
and different methods of heat treatment on the microstructure and transformation temperatures of the
investigated Cu-Zn-Al alloys were investigated using SEM-EDS and DSC techniques. Keywords: Shape memory alloy, Cu-Zn-Al system, Microstructure, DSC. 1. Introduction In this work the shape memory characteristics of two
Cu-Zn-Al alloys with constant content of aluminium (4
wt.%) and variable content of zinc (25 and 30 wt.%) were
studied. Thus, the focus of the current study was on the
Cu-Zn-Al SMAs with low content of aluminium. Effects of
composition and thermal processing on the microstructure
and transformation temperatures of the investigated alloys
were investigated using SEM-EDS and DSC. Shape memory alloys (SMAs) are group of alloys
which can recover their shape when they are heated above
a certain temperature1. The shape memory effect is based
on martensitic transformation (MT) which is a diffusionless
and reversible phase transformation2-4. It occurs between the
high-temperature austenite phase (β) and the low-temperature
martensite phase (β')3-4. It is well known that many copper alloys such as Cu-
Al, Cu-Zn-Al, Cu-Al-Ni and Cu-Al-Mn exhibit shape
memory properties5-7. Cu-based SMAs have attracted much
attention due to their good shape memory capacity, narrow
temperature region of transformation, ease of fabrication
and low production cost8. Zorica Stošića, Dragan Manasijevića*, Ljubiša Balanovića, Tamara Holjevac-Grgurićb, Uroš
Stamenkovića, Milena Premovićc, Duško Minićc, Milan Gorgievskia, Radiša Todorovićd aTechnical Faculty, University of Belgrade, Bor, Serbia
bFaculty of Metallurgy, University of Zagreb, Sisak, Croatia
cFaculty of Technical Sciences, University of Priština, Kosovska Mitrovica, Serbia
dInstitute of Mining and Metallurgy, Bor, Serbia aTechnical Faculty, University of Belgrade, Bor, Serbia
bFaculty of Metallurgy, University of Zagreb, Sisak, Croatia
Faculty of Technical Sciences, University of Priština, Kosovska Mitrovica, Serbia
dInstitute of Mining and Metallurgy, Bor, Serbia * e-mail: dmanasijevic@mts.rs © 2017 © 2017 DOI: http://dx.doi.org/10.1590/1980-5373-MR-2017-0153
Materials Research. 2017; 20(5): 1425-1431 DOI: http://dx.doi.org/10.1590/1980-5373-MR-2017-0153
;
( ) 3.1 Phase equilibria calculations Fig. 2 shows liquidus projection and phase diagram at
800 ºC of the Cu-Zn-Al system calculated using optimized
thermodynamic parameters from Liang and Schmid-Fetzer10
and Pandat software11 with marked overall compositions
of the Cu-25%Zn-4%Al and Cu-30%Zn-4%Al alloys
investigated in this study. Figure 1. Investigated Cu-25%Zn-4%Al alloy strip. Subsequently, they were etched with a solution containing
2.5 g FeCl3 · 6H2O and 1 ml HCl in 48 ml methanol. From Fig. 2a it can be seen that overall compositions of
both investigated alloys belong to the primary crystallization
field of β (Bcc) phase. TESCAN VEGA3 scanning electron microscope with
energy dispersive spectroscopy (EDS) (Oxford Instruments
X-act) was used for microstructure investigation of the
prepared alloys and the analysis was carried out at 20 kV. Overall compositions and compositions of coexisting phases
were determined using EDS area and point analysis. Also, according to the calculated phase diagram of the
Cu-Zn-Al ternary system at 800 ºC presented in Fig. 2b,
overall compositions of both investigated alloys are situated
in the single β (Bcc) phase region although the composition
of the Cu-25%Zn-4%Al is very close to the α + β (Fcc+Bcc)
two-phase region. Overall chemical compositions of the investigated Cu-Zn-
Al alloys in the as-cast state and after heat treatments were
checked using EDS area analysis. Experimentally determined
compositions of the investigated alloys (Cu-24.9±0.5Zn-
4.1±0.2Al and Cu-30.0±0.4Zn-4.2±0.3Al (in wt.%)) were
in good agreement with their nominal compositions. 2. Experimental Procedure Two Cu-Zn-Al alloys with the nominal compositions
Cu-25%Zn-4%Al and Cu-30%Zn-4%Al were prepared by
induction melting of calculated quantities of pure (99.9%)
copper, zinc and aluminium under a charcoal cover. The
alloys were cast into graphite moulds and ingots in the
form of cylindrical bars with about 1 cm diameter and 10
cm length were produced. The ingots were hot rolled into
0.5 mm thick strips (Fig. 1). For the alloys of the ternary Cu-Zn-Al system, the shape
memory effect is only observed within a certain range of
composition which generally contains 16 to 30% of Zn
and 4 to 8% of Al3. Depending on alloy composition and
temperature, three equilibrium phases (α, β and γ) may occur. However, β phase is the only phase that exhibits the shape
memory effect of practical importance. The β phase in the
Cu-Zn-Al alloys is disordered at high temperatures and has
a bcc lattice3,4. During the cooling process and depending
on the alloy composition the parent β-phase can order in
two different superlattice structures β2 (B2) and β3 (L21)3,4. By stress-induced or thermally, the β2 or β3 austenite phases
transform into the β2' or β3' martensitic phases3,4. Cu-Zn-Al
alloys are usually quenched to retain the β phase for further
transformation to martensite9. Heat treatments of prepared Cu-Zn-Al strips included
β-solutionizing at 850 ºC for 30 minutes followed by: Heat treatments of prepared Cu-Zn-Al strips included
β-solutionizing at 850 ºC for 30 minutes followed by: 1) direct quenching into room temperature water; 2) up-quenching - quenching into room temperature
water with subsequent ageing at 100 ºC for 30 minutes before
quenching again into water at room temperature; 3) step-quenching - quenching into boiling water at
100ºC, remaining at this temperature for 15 minutes and
finally cooled in room temperature water; Samples used for the scanning electron microscopy
(SEM) observations were mechanically grinded and polished. Samples used for the scanning electron microscopy
(SEM) observations were mechanically grinded and polished. Stošić et al. Stošić et al. 1426 Materials Research 3 heating runs from room temperature to 100 ºC with heating
rate 5 ºC/min. Figure 1. Investigated Cu-25%Zn-4%Al alloy strip. Martensitic transformation temperatures for directly
quenched sample were studied on DSC analyzer Mettler
Toledo 822e. Measurements were done in inert atmosphere,
through 2 heating/cooling cycles from -50 to 200 ºC with
heating/cooling rates 10 ºC/min. 3.3 Microstructures of the heat treated alloys The microstructure of the Cu-25%Zn-4%Al strip after
direct quenching, up-quenching and step-quenching is shown
in Figs. 4(a)-(c). DSC study was performed several days after the heat-
treatments using a SDT Q600 (TA Instruments) simultaneous
DSC/TGA analyzer. Samples for the DSC measurements
were in the compact thin flat forms which were cut from the
heat treated strips. The mass of the investigated samples was
about 50 mg. DSC measurements were carried out in three
heating runs from room temperature to 100 ºC maintaining
a constant heating rate of 5 ºC/min. Samples of the Cu-25%Zn-4%Al alloy strip that were
directly quenched into water at room temperature and up-
quenched show microstructures that are fully martensitic (Figs. 4a and 4b). Martensitic plates are formed in a V-shape in some
grains while they occur needle-like in others12,13. However,
microstructure of the of the Cu-25%Zn-4%Al sample that
were step-quenched into boiling water for 15 minutes and
subsequently cooled in the room temperature water beside
martensite phase also includes very fine precipitates of the α
phase situated along the grain boundaries and inside the grains
(Fig. 4c). The obtained martensitic microstructures are very
similar to those reported by Aldirmaz et al.13 and De Araújo
and Gonzalez14 for the alloys with chemical compositions
very close to the composition of the Cu-25%Zn-4%Al alloy. Fig. 5 shows the microstructures of the Cu-30%Zn-4%Al
alloy after direct quenching, up-quenching and step-quenching. As it can be seen from Fig. 5 martensite was not obtained
in any of the three differently heat treated samples of the
Cu-30%Zn-4%Al alloy. Microstructures of the samples were
fully austenite (parent β phase), the same as the microstructure Samples of the Cu-25%Zn-4%Al alloy strip that were
directly quenched into water at room temperature and up-
quenched show microstructures that are fully martensitic (Figs. 4a and 4b). Martensitic plates are formed in a V-shape in some
grains while they occur needle-like in others12,13. However,
microstructure of the of the Cu-25%Zn-4%Al sample that
were step-quenched into boiling water for 15 minutes and
subsequently cooled in the room temperature water beside
martensite phase also includes very fine precipitates of the α
phase situated along the grain boundaries and inside the grains
(Fig. 4c). The obtained martensitic microstructures are very
similar to those reported by Aldirmaz et al.13 and De Araújo
and Gonzalez14 for the alloys with chemical compositions
very close to the composition of the Cu-25%Zn-4%Al alloy. Fig. 3.2 Microstructures of as-cast alloys Microstructures and phase compositions of the Cu-25%Zn-
4%Al and Cu-30%Zn-4%Al alloys in the as-cast states (ingot
samples) were investigated using SEM-EDS. Based on the
obtained results it was determined that as-cast Cu-25%Zn- Transformation temperatures were determined by SDT
Q600 (TA Instruments) simultaneous DSC/TGA analyzer. DSC measurements were done in argon atmosphere through Figure 2 . Calculated phase equilibria of the Cu-Zn-Al ternary system using optimized thermodynamic parameters from Liang and
Schmid-Fetzer10 with marked overall compositions (squares) of the investigated Cu-25%Zn-4%Al and Cu-30%Zn-4%Al alloys: (a)
liquidus projection; (b) phase diagram at 800 ºC. Figure 2 . Calculated phase equilibria of the Cu-Zn-Al ternary system using optimized thermodynamic parameters from Liang and
Schmid-Fetzer10 with marked overall compositions (squares) of the investigated Cu-25%Zn-4%Al and Cu-30%Zn-4%Al alloys: (a)
liquidus projection; (b) phase diagram at 800 ºC. Effects of Composition and Thermal Treatment of Cu-Al-Zn Alloys with Low Content of Al on their Shape-
memory Properties Effects of Composition and Thermal Treatment of Cu-Al-Zn Alloys with Low Content of Al on their Shape-
memory Properties 1427 4%Al alloy has two-phase α+β (Fcc+Bcc) microstructure
(Fig. 3a). Microstructure of the as-cast Cu-25%Zn-4%Al
alloy includes dendritic α particles with an Fcc structure
irregularly distributed in the β matrix. As-cast Cu-30%Zn-
4%Al alloy has single β (Bcc) phase microstructure (Fig. 3b). SEM microphotographs of the investigated alloys in
the as-cast states are shown in Fig. 3. of the corresponding alloy in the as-cast condition. Based on
the obtained results it can be concluded that the martensite
start (Ms) temperature for the Cu-30%Zn-4%Al alloy is
below room temperature. 3.4 Thermal analysis of heat-treated Cu-25%Zn-
4%Al alloy Austenite start and finish temperatures (As and Af) for
three differently heat-treated samples of the Cu-25%Zn-
4%Al strip alloy with identified martensitic structures were
determined by means of DSC technique. 3.3 Microstructures of the heat treated alloys 6 shows obtained DSC curves for three heating
runs for directly quenched Cu-25%Zn-4%Al sample with
determined austenite start and finish temperatures. Austenite start temperature (As) was obtained as the
temperature of the extrapolated peak onset while the austenite
finish temperature (Af) was determined as the peak endset
temperature on heating. Fig. 5 shows the microstructures of the Cu-30%Zn-4%Al
alloy after direct quenching, up-quenching and step-quenching. Summary results of DSC analysis are presented in Table 1. From Table 1 it can be seen that the determined austenite
transformation temperature intervals span between 30 to
60 ºC. Austenite start and finish temperatures are slightly
shifted to the higher values after the first heating run in
all three cases. Obtained transformation temperatures for As it can be seen from Fig. 5 martensite was not obtained
in any of the three differently heat treated samples of the
Cu-30%Zn-4%Al alloy. Microstructures of the samples were
fully austenite (parent β phase), the same as the microstructure Figure 3. SEM micrographs of investigated alloys in the as-cast state: (a) Cu-25%Zn-4%Al alloy, (b) Cu-30%Zn-4%Al alloy. Figure 3. SEM micrographs of investigated alloys in the as-cast state: (a) Cu-25%Zn-4%Al alloy, (b) Cu-30%Zn-4%Al alloy. 1428 Stošić et al. Materials Research Figure 4. SEM micrograph of the Cu-25%Zn-4%Al strip alloy after: (a) direct quenching,
(b) up-quenching, (c) step-quenching. Figure 4. SEM micrograph of the Cu-25%Zn-4%Al strip alloy after: (a) direct quenching,
(b) up-quenching, (c) step-quenching. Figure 5. SEM micrograph of the Cu-30%Zn-4%Al alloy after: (a) direct quenching, (b)
up-quenching, (c) step-quenching. Figure 5. SEM micrograph of the Cu-30%Zn-4%Al alloy after: (a) direct quenching, (b)
up-quenching, (c) step-quenching. Effects of Composition and Thermal Treatment of Cu-Al-Zn Alloys with Low Content of Al on their Shape-
memory Properties 1429 Figure 6. DSC thermogram for directly quenched Cu-25%Zn-4%Al alloy first heating run; (b) second heating run; (c) third heating run. Figure 6. DSC thermogram for directly quenched Cu-25%Zn-4%Al alloy first heating run; (b) second heating run; (c) third heating run. ite start and finish temperatures and enthalpy of martensite→austenite transformation obtained by DSC analysis Table 1. Austenite start and finish temperatures and enthalpy of martensite→austenite transformation obtained by DSC analysis
Sample
Transformation temperatures (ºC)
Average enthalpy of
transformation (J/g)
1. heating run
2. heating run
3. 4. Conclusion 1. Dasgupta R. A look into Cu-based shape memory alloys: Present
scenario and future prospects. Journal of Materials Research. 2014;29(16):1681-1698. The effects of heat-treatment on the microstructure and
phase transformations of Cu-25%Zn-4%Al and Cu-30%Zn-
4%Al alloys were investigated in this work. The alloys were
prepared by induction melting of pure metals and hot rolled
into the 0.5 mm thick strips. Obtained alloy strips were
subjected to three different heat treatment procedures: direct
quenching, step-quenching and up-quenching with boiling
water and room temperature water as the quenchants. 2. Guerioune M, Amiour Y, Bounour W, Guellati O, Benaldjia
A, Amara A, et al. SHS of shape memory CuZnAl alloys. International Journal of Self-Propagating High-Temperature
Synthesis. 2008;17(1):41-48. 3. Blanco M, Barragan JTC, Barelli N, Noce RD, Fugivara CS,
Fernández J, et al. On the electrochemical behavior of Cu-
16%Zn-6.5%Al alloy containing the ß'-phase (martensite) in
borate buffer. Electrochimica Acta. 2013;107:238-247. Based on the results of microstructure and thermal
analysis investigations following conclusions can be made: 1) Microstructure of the as-cast Cu-25%Zn-4%Al alloy
consists of β phase in the base and a considerable amount
of irregular dendritic α particles with an FCC structure
distributed in the β matrix. 4. Ahlers M. Martensite and equilibrium phases in Cu-Zn and
Cu-Zn-Al alloys. Progress in Materials Science. 1986;30(3):135-
186. Cu-30%Zn-4%Al alloy in the as-cast state has single-
phase microstructure which includes large polygonal grains
of β phase. 5. Jani JM, Leary M, Subic A, Gibson MA. A review of shape
memory alloy research, applications and opportunities. Materials
and Design (1980-2015). 2014;56:1078-1113. 6. da Silva MR, Gargarella P, Gustmann T, Botta Filho WJ,
Kiminami CS, Eckert J, et al. Laser surface remelting of a
Cu-Al-Ni-Mn shape memory alloy. Materials Science and
Engineering: A. 2016;661:61-67. 2) Direct quenching and up-quenching produce fully
martensitic microstructure in the Cu-25%Zn-4%Al alloy. Martensite was also induced by step-quenching, but
microstructure of the step-quenched Cu-25%Zn-4%Al
sample also includes small precipitate particles of α phase. 7. Lojen G, Gojić M, Anžel I. Continuously cast Cu-Al-Ni shape
memory alloy - Properties in as-cast condition. Journal of Alloys
and Compounds. 2013;580:497-505. 3) Neither one of three heat-treatments performed in this
work did not induce martensite in the Cu-30%Zn-4%Al alloy. These results suggest that the martensite start temperature
(Ms) for this alloy is below room temperature.i 8. Wang Z, Zu X, Fu Y. Review on the temperature memory effect
in shape memory alloys. 3.3 Microstructures of the heat treated alloys heating run
As
Af
As
Af
As
Af
1 (directly quenched alloy)
33.3
53.1
36.0
59.5
36.0
57.2
0.50
2 (up-quenched alloy)
34.2
54.3
34.8
55.7
35.2
56.3
0.49
3 (step-quenched alloy)
32.5
51.3
33.6
54.0
37.8
56.1
0.47 Table 1. Austenite start and finish temperatures and enthalpy of martensite→austenite transformation obtaine Fig. 7 shows DSC curve from the second cooling run. The first transformation is detected as a smaller peak starting
at Ms=41.9 ºC and finishing at Mf= 17.0 ºC. The second
transformation, which starts at Ms'=10.5 ºC and finishes at
Mf'= -25.1 ºC, corresponds to a bigger peak on the DSC
curve. These results imply that martensitic transformation
occurs in two steps during cooling. the Cu-25%Zn-4%Al alloy determined in this work are
somewhat lower than the results of Oliveira et al.15, obtained
for the commercial SMA wire with the nominal composition
Cu-25.3%Zn-4%Al and 0.9 mm diameter, and Prakash and
Harchekar16, who reported a recovery temperature (As) of
about 65 ºC for the Cu-26%Zn-4%Al alloy wire. Average
enthalpy values of austenitic transformations based on
the three heating runs were 0.50 J/g for directly quenched
alloy, 0.49 J/g for the up-quenched alloy and 0.47 J/g for
the step-quenched alloy. Figure 7. Second DSC cooling run for directly quenched Cu-
25%Zn-4%Al alloy. DSC study of the directly quenched Cu-25%Zn-4%Al
alloy has been additionally performed on DSC analyzer
Mettler Toledo 822e in two thermal cycles from -50 to 200
ºC maintaining a constant heating/cooling rate of 10 ºC/min. Transformation temperatures obtained on heating were
in agreement with the results obtained using SDT Q600
device. However, two distinct exothermic peaks were detected
during cooling runs. DSC study of the directly quenched Cu-25%Zn-4%Al
alloy has been additionally performed on DSC analyzer
Mettler Toledo 822e in two thermal cycles from -50 to 200
ºC maintaining a constant heating/cooling rate of 10 ºC/min. Transformation temperatures obtained on heating were
in agreement with the results obtained using SDT Q600
device. However, two distinct exothermic peaks were detected
during cooling runs. Figure 7. Second DSC cooling run for directly quenched Cu-
25%Zn-4%Al alloy. 1430 Materials Research Stošić et al. 4. Conclusion International Journal of Smart and
Nano Materials. 2011;2(3):101-119. 4) Austenite start and finish transformation temperatures
(As, Af) of differently heat-treated Cu-25%Zn-4%Al alloy
were investigated using DSC technique. It was determined
that martensite to austenite transformation for the Cu-
25%Zn-4%Al alloy occurs in the temperature range from
approximately 30 to 60 ºC. Comparison between obtained
values of As and Af temperatures revealed small influence
of applied heat-treatment processes on austenite start and
finish temperatures. 9. Asanovic V, Delijic K, Jaukovic N. A study of transformations of
ß-phase in Cu-Zn-Al shape memory alloys. Scripta Materialia. 2008;58(7):599-601. 10. Liang SM, Schmid-Fetzer R. Thermodynamic assessment of the
Al-Cu-Zn system, Part III: Al-Cu-Zn ternary system. Calphad. 2016;52:21-37. 11. Cao W, Chen SL, Zhang F, Wu K, Yang Y, Chang YA, et
al. PANDAT software with PanEngine, PanOptimizer and
PanPrecipitation for multi-component phase diagram calculation
and materials property simulation. Calphad. 2009;33(2):328-342. 5) Two close thermal effects in the temperature interval
from 42 to -25 ºC were detected during the DSC cooling runs
of directly quenched Cu-25%Zn-4%Al alloy. These could
be due to the formation of different martensitic structures. 12. Dagdelen F, Gokhan T, Aydogdu A, Aydogdu Y, Adigüzel O. Effects of thermal treatments on transformation behaviour in
shape memory Cu-Al-Ni alloys. Materials Letters. 2003;57(5-
6):1079-1085. 15. Oliveira CAN, Gonzalez CH, de Araujo CJ, de Araujo Filho OO,
Urtiga Filho SL. Thermoelastic properties on Cu-Zn-Al shape
memory springs. Materials Research. 2010;13(2):219-223. 16. Prakash K, Harchekar VR. Optimisation of rebetatising time and
temperature for lowering martensitic transformation temperature
in Cu- Zn-4% A1 shape memory alloy. Indian Journal of
Engineering and Materials Sciences. 1997;4(2):67-70. Effects of Composition and Thermal Treatment of Cu-Al-Zn Alloys with Low Content of Al on their Shape-
memory Properties 5. Acknowledgements 13. Aldirmaz E, Celik H, Aksoy I. SEM and X-Ray Diffraction
Studies on Microstructures in Cu-26.04%Zn-4.01%Al Alloy. Acta Physica Polonica A. 2013;124(1):87-89. This study was supported by the Ministry of Education,
Science and Technological Development, Republic of Serbia,
under Project ON 172037. Also, this study was done in the
frame of the bilateral project between University of Belgrade,
Technical Faculty in Bor (Serbia) and University of Zagreb,
Metallurgical faculty in Sisak (Croatia), entitled ''Razvoj
karakterizacija inovativnih legura sa efektom pamćenja oblika
iz sistema Cu-Al-Mn-Me (Me=Ag, Au, Ce)''. This work
has been supported in part by Croatian Science Foundation
under the project IP-2014-09-3405. 14. De Araújo CJ, Gonzalez CH. A two-stage transformation in
Cu-Zn-Al SMA wires. In: Proceedings of COBEM 2005. 18thInternational Congress of Mechanical Engineering ; 2005
Nov 6-11; Ouro Preto, MG, Brazil. Available from: <http://
www.abcm.org.br/anais/cobem/2005/PDF/COBEM2005-0079. pdf>. Access in: 25/7/2017. 1431 Effects of Composition and Thermal Treatment of Cu-Al-Zn Alloys with Low Content of Al on their Shape-
memory Properties
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https://openalex.org/W4302204172
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https://inria.hal.science/hal-01684366/document
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English
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HardIDX: Practical and Secure Index with SGX
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arXiv (Cornell University)
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cc-by
| 13,550
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To cite this version: Ferdinand Brasser, Florian Hahn, Florian Kerschbaum, Ahmad-Reza Sadeghi, Benny Fuhry, et al.. HardIDX: Practical and Secure Index with SGX. 31th IFIP Annual Conference on Data and Ap-
plications Security and Privacy (DBSEC), Jul 2017, Philadelphia, PA, United States. pp.386-408,
10.1007/978-3-319-61176-1_22. hal-01684366 HardIDX: Practical and Secure Index with SGX
Ferdinand Brasser, Florian Hahn, Florian Kerschbaum, Ahmad-Reza Sadeghi,
Benny Fuhry, Raad Bahmani
To cite this version:
Ferdinand Brasser, Florian Hahn, Florian Kerschbaum, Ahmad-Reza Sadeghi, Benny Fuhry, et al..
HardIDX: Practical and Secure Index with SGX. 31th IFIP Annual Conference on Data and Ap-
plications Security and Privacy (DBSEC), Jul 2017, Philadelphia, PA, United States. pp.386-408,
10.1007/978-3-319-61176-1_22. hal-01684366 HardIDX: Practical and Secure Index with SGX
Ferdinand Brasser, Florian Hahn, Florian Kerschbaum, Ahmad-Reza Sadeghi,
Benny Fuhry, Raad Bahmani Distributed under a Creative Commons Attribution 4.0 International License HardIDX: Practical and Secure Index with SGX
Benny Fuhry1, Raad Bahmani2, Ferdinand Brasser2, Florian Hahn1,
Florian Kerschbaum3, and Ahmad-Reza Sadeghi2 Benny Fuhry1, Raad Bahmani2, Ferdinand Brasser2, Florian Hahn1,
Florian Kerschbaum3, and Ahmad-Reza Sadeghi2 1 SAP Research, {benny.fuhry,florian.hahn}@sap.com,
2 Technische Universität Darmstadt,
{r.bahmani,f.brasser,a.sadeghi}@trust.tu-darmstadt.de
3 University of Waterloo, florian.kerschbaum@uwaterloo.ca 1 SAP Research, {benny.fuhry,florian.hahn}@sap.com,
2 Technische Universität Darmstadt, Abstract. Software-based approaches for search over encrypted data are still
either challenged by lack of proper, low-leakage encryption or slow performance. Existing hardware-based approaches do not scale well due to hardware limitati-
ons and software designs that are not specifically tailored to the hardware ar-
chitecture, and are rarely well analyzed for their security (e.g., the impact of
side channels). Additionally, existing hardware-based solutions often have a large
code footprint in the trusted environment susceptible to software compromises. In this paper we present HardIDX: a hardware-based approach, leveraging Intel’s
SGX, for search over encrypted data. It implements only the security critical core,
i.e., the search functionality, in the trusted environment and resorts to untrusted
software for the remainder. HardIDX is deployable as a highly performant en-
crypted database index: it is logarithmic in the size of the index and searches are
performed within a few milliseconds. We formally model and prove the security
of our scheme showing that its leakage is equivalent to the best known searchable
encryption schemes. HAL Id: hal-01684366
https://inria.hal.science/hal-01684366v1
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teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License HardIDX: Practical and Secure Index with SGX
Benny Fuhry1, Raad Bahmani2, Ferdinand Brasser2, Florian Hahn1,
Florian Kerschbaum3, and Ahmad-Reza Sadeghi2
1 SAP Research, {benny.fuhry,florian.hahn}@sap.com,
2 Technische Universität Darmstadt,
{r.bahmani,f.brasser,a.sadeghi}@trust.tu-darmstadt.de
3 University of Waterloo, florian.kerschbaum@uwaterloo.ca 1
Introduction Outsourcing the storage and processing of sensitive data to untrusted cloud environ-
ment is still considered as too risky due to possible data leakage, government intrusion,
and legal liability. The cryptographic solutions Secure Multiparty Computation (MPC)
and in particular Fully Homomorphic Encryption (FHE) [23] offer high degree of pro-
tection by allowing arbitrary computation on encrypted data, but they are impractical
for adoption in large distributed systems [24]. Moreover, there are a number of useful applications that only require a small set
of operations. A prime example of such operations is the search and retrieval in an
encrypted databases without the need to download all data from the cloud. For this
task, different cryptographic schemes have been proposed such as property-preserving
encryption [6, 8], or functional encryption [10] and its special case searchable encryp-
tion [16,29,41]. In this context, performing efficient and secure range queries are com-
monly considered to be very challenging. CryptDB [36] resorts to order-preserving en-
cryption for this purpose which is susceptible to simple ciphertext-only attacks as shown
by Naveed et al. [34]. Many schemes for search over encrypted data supporting range queries require se-
arch time linear in the number of database records. Recently, schemes with polylo-
garithmic search time, based on an index structure, have been proposed [17, 19, 29]. In Sect. 7 and Table 2, we elaborate on the search time, query size, storage size and
leakage problems of those approaches. Designing an efficient searchable encryption
scheme with minimal leakage on the queried ranges remains an open challenge. Another line of research [4, 5] leverages the developments in hardware-assisted
Trusted Execution Environments (TEEs) for search over encrypted data. Although In-
tel’s recently introduced Software Guard Extension (SGX) [2, 15, 26, 31] has inspired
new interest in TEEs, related technologies have been available before, e.g., in ARM pro-
cessors known as ARM TrustZone [3] as well as in academic research [12, 42]. Also,
AMD has recently announced a TEE for their CPUs [27] rising the hope that TEEs will
be widely available in x86 processors, and thus in many relevant environments such as
clouds, in the near future. TEEs have to interact with untrustworthy components within
the same computer system for various reasons. In order to achieve comprehensive secu-
rity, information leakage through those channels has to be considered and taken care of. 1
Introduction Previous SGX based solutions that allow search on encrypted data load and execute the
entire unmodified database management system (DBMS) into an enclave [4,5]. They do
not formally consider information leakage and do not scale well due to limited memory
size of SGX’s enclaves and the large footprint of the code they require in the TEE. Our goal and contribution. We present an efficient scheme for search over encryp-
ted data that can be deployed as a database index. SGX’s protection characteristics are
utilized to achieve an outstanding tradeoff between security, performance and functio-
nality. The currently fastest software-based schemes that support range queries are [17]
and [19]. Our solution significantly improves over these approaches in terms of perfor-
mance and storage. Compared to the latest hardware-based schemes [4,5], we improve
in terms of security and scalability. Our scheme organizes data in a B+-tree structure
that is frequently used for databases indexes in most database management systems
(DMBSs) [37]. Our solution supports searches for single values and value ranges and it
can easily be adapted to many other database (search) operations. We implemented and extensively evaluated our two constructions on SGX-enabled
hardware (see Sect. 6). Both have a very small code and memory footprint in the TEE
compared to other hardware-based approaches [4,5]. Additionally, our solution scales to
arbitrary index sizes as memory usage in the enclave is constant and untrusted resources
are used to store the database itself. Our main contributions are as follows: are used to store the database itself. Our main contributions are as follows: – Our scheme has logarithmic complexity in the size of index and searches are perfor-
med within a few milliseconds. – We formally model and prove our scheme secure showing that its security (leakage)
is comparable to the best known searchable encryption schemes. p
yp
– We provide an implementation and evaluate the performance and functional bottle-
neck of SGX on the basis of two different constructions that are designed specifically
for SGX to reduce the Trusted Computing Base. 2.2
Side Channel Attacks Side channel attacks allow an adversary to extract sensitive information without having
direct access to the information source by observing effects of the processing of the
sensitive information. They have been known for a long time and various variants have
been studied in the past, e.g., hardware side channels, software timing side channels and
cache timing side channels [13,22,45]. All these attacks are noisy and require repeated
execution and measurements to extract the sensitive information. In the context of SGX, there exist a new class of side channels, called deterministic
side channel [44]. As the OS is untrusted, yet still manages the enclave’s resources, it
can observe the enclaves behavior. In particular, the OS can generate a precise trace of
the enclave’s code and data accesses at the granularity of pages. In [44] it is shown that
this allows to extract sensitive information from an SGX enclave. 2.1
Intel Software Guard Extensions (SGX) 2.1
Intel Software Guard Extensions (SGX) 2.1
Intel Software Guard Extensions (SGX) SGX is an extension of the x86 instruction set architecture (ISA) introduced with the
6th Generation Intel Core processors (code name Skylake). We now present a high level
overview of SGX’s features utilized by HardIDX (see [2,15,26,31] for more details). 2 Memory Isolation. On SGX enabled platforms, programs can be divided into two
parts, an untrusted part and an isolated, trusted part. The trusted part, called enclave
in SGX terminology, is located in a dedicated portion of the physical RAM. The SGX
hardware enforces additional protection on this part of the memory. In particular, all
other software on the system, including privileged software like OS, hypervisor and
firmware cannot access the enclave memory. The (untrusted) host process can invoke
the enclave only through a well-defined interface. Furthermore, all isolated code and
data is encrypted while residing outside of the CPU package. Decryption and integrity
checks are performed when the data is loaded inside the CPU. p
Memory Management. SGX dedicates a fixed amount of the system’s main me-
mory (RAM) for enclaves and related metadata. For current systems this memory is
limited to 128 MB which is used for both, SGX metadata and the memory for the encla-
ves themselves. The enclaves can only be deployed in about 96 MB. The SGX memory
is reserved in the early boot phase and is static throughout the runtime of the system. The OS can allocate (parts of) the memory to individual enclaves and change these al-
location during the runtime of the enclaves. In particular, the OS can swap out enclave
pages. SGX ensures integrity, confidentiality and freshness of swapped-out pages. Attestation. SGX has a remote attestation feature which allows to verify the correct
creation of an enclave on a remote system. During enclave creation the initial code
and data loaded into the enclave are measured. This measurement can be provided to
an external party to prove the correct creation of an enclave. The authenticity of the
measurement as well as the fact that the measurement originates from a benign enclave
is ensured by a signature, provided by SGX’s attestation feature (refer to [2] for details). Furthermore, the remote attestation feature allows for establishing a secure channel
between an external party and an enclave. 3.1
HardIDX Overview A value can be any data such as records in a relational database
or files/documents in other database types. The client then encrypts all nodes of the tree
with a secret key SKk and all values with SKv. The encrypted B+-tree and encrypted
values are deployed on the untrusted server in the cloud (see step 1 in Fig. 14). Initially, a client prepares its data values by augmenting it with (index) search keys. We
abbreviate data values as values and the search keys as keys throughout this paper. All
other values and keys (e.g., cryptographic keys) are clearly differentiate if ambiguous. The values are stored at pseudo-random position. The keys are then inserted into a B+-
tree and the storage order of all nodes is also pseudo-random. The tree and values are
linked by adding pointers to the leaves of the tree identifying the random position of the
corresponding values. A value can be any data such as records in a relational database
or files/documents in other database types. The client then encrypts all nodes of the tree
with a secret key SKk and all values with SKv. The encrypted B+-tree and encrypted
values are deployed on the untrusted server in the cloud (see step 1 in Fig. 14). The client uses the SGX attestation feature for authenticating the enclave and esta-
blishing a secure connection between the client and the enclave (see details in Sect. 2.1). Through this connection, the client provisions SKk into the enclave (see step 2 ). This
completes the setup of our scheme, which needs to be executed only once. Now, the client can send (index) search queries to the server that are encrypted with
a probabilistic encryption scheme under SKk. Hence, the untrusted server cannot learn
anything about the query, not even if the same query was send before. When a query
arrives in the enclave, SKk is used to decrypt the query (see step 3 ). In step 4 , the enclave loads the B+-tree structure (tree nodes, but no values) from
the untrusted storage into enclave memory and decrypts it. Given sufficient memory,
the entire tree is loaded into the enclave and the search is performed afterwards (see
step 5 ). As the tree size can exceed the memory available inside the enclave we pro-
vide a second design. 4 For visualization purposes, the tree nodes and values are shown to be encrypted as a block. In
reality each node and value is encrypted individually. 3.1
HardIDX Overview The high level design of our solution is shown in Fig. 1. The design involves three
entities: the client (who is the data owner and therefore trusted), the untrusted SGX
enabled server and the trusted SGX enclave within the server. 3 Provision
Send Query
Return Results
Deploy Tree and Data
K
K
V
Client
Query
SGX enabled Server
Enclave
... K
V
Load Tree
5 Search
Result List
6
K
K
Cloud
Query K
Query
4
V
V
V
1
2
3
7
Fig. 1: High level design
Initially, a client prepares its data values by augmenting it with (index) search keys. We
abbreviate data values as values and the search keys as keys throughout this paper. All
other values and keys (e.g., cryptographic keys) are clearly differentiate if ambiguous. The values are stored at pseudo-random position. The keys are then inserted into a B+-
tree and the storage order of all nodes is also pseudo-random. The tree and values are
linked by adding pointers to the leaves of the tree identifying the random position of the
corresponding values. A value can be any data such as records in a relational database
or files/documents in other database types. The client then encrypts all nodes of the tree
with a secret key SKk and all values with SKv. The encrypted B+-tree and encrypted
values are deployed on the untrusted server in the cloud (see step 1 in Fig. 14). Provision
Send Query
Return Results
Deploy Tree and Data
K
K
V
Client
Query
SGX enabled Server
Enclave
... K
V
Load Tree
5 Search
Result List
6
K
K
Cloud
Query K
Query
4
V
V
V
1
2
3
7
Fig. 1: High level design Client Fig. 1: High level design Fig. 1: High level design Initially, a client prepares its data values by augmenting it with (index) search keys. We
abbreviate data values as values and the search keys as keys throughout this paper. All
other values and keys (e.g., cryptographic keys) are clearly differentiate if ambiguous. The values are stored at pseudo-random position. The keys are then inserted into a B+-
tree and the storage order of all nodes is also pseudo-random. The tree and values are
linked by adding pointers to the leaves of the tree identifying the random position of the
corresponding values. 3.1
HardIDX Overview In this case, only a subset of tree nodes is loaded into the enclave. The tree is traversed starting from the root node and nodes are fetched from the un-
trusted storage if necessary. In both cases the search algorithm eventually reaches a set
of leaf nodes, which holds pointers to values matching the query. This list of pointers,
representing the search result, is passed to the untrusted part (see step 6 ). The untrus-
ted part learns nothing, except for the cardinality of the result set, from this interaction,
because the values are stored in a randomized order. The result of the index search could be processed further, e.g. in combination with
additional SQL operators, in the SGX enclave at the server. In order to complete the end-
to-end secure search, we assume that the server uses the pointers to fetch the encrypted 4 values from untrusted storage and sends them to the client, where they are decrypted
with SKv (see step 7 ). Notably, the plaintext values are never available on the server. They are encrypted
with strong standard cryptography methods (AES-128 in GCM mode in our case) and
never decrypted on the server, not even inside the SGX enclave. SKv is only known to
the client. 3.2
Assumptions and Attacker Model. Due to SGX’s protection, the attacker cannot directly access the enclave. However, side
channels exist through which the attacker could potentially extract sensitive informa-
tion. We assume the attacker has full control over all software on the system running
HardIDX. (1) The attacker can observe all interaction of the enclave with resources
outside the enclave. In particular, the attacker can observe the access pattern to B+-tree
nodes stored outside the enclave. (2) The attacker can use deterministic page-fault side
channel to observe data access inside the enclave at page granularity [44]. Through this
side channel, the attacker can observe access patterns on the B+-tree stored inside the
enclave. (3) The attacker can use cache side channel to learn about code paths or data
access patterns inside the enclave, as SGX does not protect against them [15]. Hardware attacks are out of scope in this paper. Furthermore, we consider denial of
service (DoS) attacks on the cloud server and network out of scope. In this version, we
only assume a passive attacker due to page constraints. We present mitigation strategies
for an active attacker in the long version [20]. We furthermore assume as single user
and the multi user case in Appendix C. 4.1
B+-tree A B+-tree is a balanced, n-ary search tree. So called search keys are utilized to index
values. A B+-tree can be used to search for single values, e.g., unique staff ids are used
to find the corresponding database record (see Fig. 2) or for ranges, e.g., a salary index
that allows to search for all employees falling in a specific salary range. Root Node
Leaf Nodes
Internal Nodes
2
15
40
6
80
0
47
9
13
3
15
39
5
40
43
1
47
53
4
80
83
7
47
Hannes
Larson
... Gord
Batts
... Tristin
Tolle
... Emma
Brando
... Eva
Turner
... Bobb
Allrad
... Charlie
Thurst
... Serren
Pitts
... Lars
Derrick
... Donell
Wray
... Katie
Hamb
... Fig. 2: B+-tree example: the unique staff ids are used as keys and the values are the staff records
(random storage position on the left). Fig. 2: B+-tree example: the unique staff ids are used as keys and the values are the staff records
(random storage position on the left). Three node types are differentiated in a B+-tree: the root node, internal nodes and
leaf nodes. Every node x contains x.#k keys that are stored in a nondecreasing order: 5 x.k1 ≤... ≤x.k(x.#k). At every inner node x (including the root if not the only node),
the keys separate the key domain into (x.#k+1) subtrees that are reachable by (x.#k+
1) child pointers: {x.p0, ..., x.p(x.#k)} = x.p. Every key x.ki has a corresponding
pointer x.pi that points to a node containing elements greater than or equal to x.ki and
smaller than any other tag x.kj ∀j ∈[i+1, x.#k]. x.p0 points to a node containing only
keys, which are smaller than x.k1. No internal node is linked to a value. Instead, every
leaf node x stores x.#k keys and a pointer to its corresponding value (x.p0 is not used
at the leaves). Every node x in the tree has a unique id x.id and a flag x.isLeaf that
stores if the x is a leaf. We denote the B+-tree without the values as B+-tree structure
and pxi as the storage position of xi, i.e., the physical memory address. We use unchained B+-trees, i.e., the leafs are not connected. Linked leaves would
increase the search performance, but it would severely deteriorate the security. 4.1
B+-tree The
reason is that a range query would directly leak the relationship among leaves if links
are followed during a query. With HardIDX, it is not necessary to define the key domain D in advance as in
many other approaches. D can be an arbitrary domain with a defined order relation and
a defined minimal and a maximal element recognizable by the algorithms. These two
elements, denoted as −∞and ∞, fulfill the following: −∞< x.k < ∞∀x.k ∈D. The branching factor b specifies a B+-tree by defining the maximal number of poin-
ters. b also defines the minimal number of pointer for the different node types, but we
do not further elaborate on details. For ease of exposition, we assume that every key
and pointer fits in an 32 bit block, but this is no prerequisite for our constructions. 4.2
Probabilistic Symmetric Encryption: A probabilistic authenticated symmetric encryption consists of three probabilistic
polynomial-time algorithms PASE =
PASE_Gen(1λ), PASE_Enc(SK, v), PASE_Dec(
SK, C)
with the usual definitions of functionality. PASE has to be an authenticated
IND-CCA secure encryption, e.g., AES-128 in GCM mode. 4.3
Hardware Secured B+-tree (HSBT) Based on the presented definition of a B+-tree, we define the notion of a Hardware
Secured B+-tree (HSBT) as follows. We assume that the B+-tree should store a set s
of n key-value pairs: s = ((k1, v1), ..., (kn, vn)). This set consists of n values v =
(v1, ..., vn) and their corresponding keys k = (k1, ...kn). Definition 1 (HSBT). A secure hardware B+-tree scheme is a tuple of six polynomial-
time algorithms
HSBT_Setup, HSBT_Enc, HSBT_Tok, HSBT_Dec, HSBT_SearchRange,
HSBT_SearchRange_Trusted
. Executed at the server on secure hardware: Executed at the server on secure hardware: P ←HSBT_SearchRange_Trusted(τ, X): Take a search token τ as input. Output a
set of pointers P. Definition 2 (Correctness). Let D denote a HSBT-scheme consisting of the six algo-
rithms described in Def. 1. We say that D is correct if for all λ ∈N, for all SK output
by HSBT_Setup(1λ), for all key-value pairs s used by HSBT_Enc(SK, s) to output γ,
for all R used by HSBT_Tok(SK, R) to output τ, for all C′ output by HSBT_Search-
Range(τ, γ), the values v′ output by HSBT_Dec(SK, C′) are all values in s for which
the corresponding keys k′ fall in R, i.e., v′ = {vi|(ki, vi) ∈s ∧ki ∈[Rs, Re] = R}. Our security model, which we define next, is based on a proof framework introduced
by Curtmola et al. in [16]. A description about the proof technique can be found in
Appendix A. At security models of searchable encryption schemes so far, the leakage
only covers the transaction between the client and server. In our scenario, there is an
additional transaction between the server and the secure hardware that can be viewed
by the adversary. Therefore, we extend the CKA2-security to CKA2-HW-security by
introducing a new type of leakage denoted as Lhw. It consists of the inherent leakage
of the used secure hardware and the inputs/outputs to/from the secure hardware. Definition 3 (CKA2-HW-security). Let D denote a HSBT-scheme consisting of the six
algorithms described in Def. 1. Consider the probabilistic experiments RealA(λ) and
IdealA,S(λ), whereas A is a stateful adversary and S is a stateful simulator that gets
the leakage functions Lenc and Lhw. RealA(λ): the challenger runs HSBT_Setup(1λ) to generate a secret key SK. A out-
puts a set of key-value pairs s. The challenger calculates γ ←HSBT_Enc(SK, s)
and passes γ to A. Afterwards, A makes a polynomial number of adaptive queries
for arbitrary ranges R. The challenger returns search tokens τ to A after calcula-
ting τ ←HSBT_Tok(SK, R). A can use γ and the returned tokens at any time to
make queries to the secure hardware. The secure hardware returns a set of pointers
P. Finally, A returns a bit b that is the output of the experiment. IdealA,S(λ): the adversary A outputs a set of key-value pairs s. Using Lenc, S creates
γ and passes it to A. Algorithms executed at the client: SK ←HSBT_Setup(1λ): Take the security parameter λ as input and output a secret
key SK. γ ←HSBT_Enc(SK, s): Take the secret key SK and a set s of key-value pairs as input. Output an encrypted B+-tree γ. τ ←HSBT_Tok(SK, R): Take the secret key SK and a range R = [Rs, Re] as input. Output a search token τ. v′ ←HSBT_Dec(SK, C′): Take the secret key SK and a set of ciphertext C′ as input. Decrypt the ciphertexts and output plaintext values v′. 6 Executed at the server on untrusted hardware: C′ ←HSBT_SearchRange(τ, γ): Take a search token τ and an encrypted tree γ as
input and call the secure hardware function HSBT_SearchRange_Trusted. Output
a set of encrypted values C′. 5.1
Construction 1 We sketch our first correct (according to Def. 2) and secure (according to Def. 3) con-
struction in this section. A more detailed construction can be found in the long version
of the paper [20]. The guiding idea of the construction is that the entire data should
be stored and processed inside the enclave. The client constructs the B+-tree locally,
encrypts the B+-tree structure and the values with SKk and SKv, respectively (see 5.2
for details). Both are sent to the cloud provider and the SGX application consisting of a
trusted and an untrusted part get deployed there. Software measurement as described in Sect. 2.1 is used for remote attestation, i.e.,
to prove to the client that the correct software is deployed on an SGX enabled CPU. During the deployment, the application reserves an SGX protected memory region (see
Sect. 2.1). A secure transfer protocol between client and server (see Sect. 2.1) is used to
deploy SKk inside the enclave. Thus SKk is only known by the enclave’s process and
the client. The cloud provider and all other processes cannot access this key at any point
in time. The next step is to load the B+-tree structure (tree nodes, but no values) from
an untrusted to the isolated memory region and use SKk to decrypt the tree nodes. It
is important to note that the tree is still protected, because all data inside the enclave is
secured by SGX. The values are stored outside of the enclave to save enclave memory. This has no security implications as the values are encrypted with an authenticated IND-
CCA secure encryption scheme and they are stored in a randomized order. The enclave
is then ready to receive search query tokens τ from the client. The untrusted part relays τ to the trusted part. There, the token gets decrypted and
a B+-tree traversal is performed. All pointers that lead to values falling in the queried
range are returned in random order. The untrusted part receives pointers to the values,
loads the values from memory or disk and passes them to the client. This construction suffers from the substantial problem mentioned before: the me-
mory reserved for SGX is limited to 128 MB, and only about 96 MB can be used for
data and code. SGX supports a larger enclave size, but enclave pages have to be swapped
in and out in this case. Executed at the server on secure hardware: Afterwards, A makes a polynomial number of adaptive queries
for arbitrary ranges R. The simulator S creates tokens τ and passes them to A. The
adversary A can use γ and the returned tokens at any time to make queries to S
(that simulates the secure hardware). S is given Lhw and returns a set of pointers P. Finally, A returns a bit b that is the output of the experiment. IdealA,S(λ): the adversary A outputs a set of key-value pairs s. Using Lenc, S creates
γ and passes it to A. Afterwards, A makes a polynomial number of adaptive queries
for arbitrary ranges R. The simulator S creates tokens τ and passes them to A. The
adversary A can use γ and the returned tokens at any time to make queries to S
(that simulates the secure hardware). S is given Lhw and returns a set of pointers P. Finally, A returns a bit b that is the output of the experiment. We say D is
Lenc, Lhw
-secure against adaptive chosen-keyword attacks if for all
probabilistic polynomial-time algorithms A, there exists a probabilistic polynomial-
time simulator S such that |Pr [RealA(λ) = 1] −Pr [IdealA,S(λ) = 1] | ≤negl(λ) 7 5.1
Construction 1 Our evaluation (see Sect. 6) shows that even 50,000,000 values
are possible. A B+-tree, however, is only a small part of a full encrypted DBMS based
on our constructions. Other components would occupy large regions of the restricted
enclave memory and thus further limit the available space. Construction 1 provides a very low leakage (see [20] for details), but it is not usable
in a big data cloud scenario, because of the described limitation. Therefore, we present
a second construction in the next section. 5
Search Algorithms In this section, we will present two different constructions that enable a client to the
search for a single value or a range of values based on keys. We use B+-trees in both
constructions to achieve logarithmic search and SGX to protect the confidentiality and
integrity of the data. 5.2
Construction 2 An almost standard B+-tree
insertion is used for all keys. One difference is that every newly created node x gets
an id according to the creation order, i.e., the first node gets id 0 (x.id = 0), the
second id 1 (x.id = 1) et cetera. After each pair is inserted, the empty position for
keys and pointers in the tree get filled up. More specifically, a node x that contains
x.#k keys from the domain gets filled with (b −1 −x.#k) keys ∞and (b −x.#k)
dummy pointers. Then, all keys and pointers are padded to a length of 32 bit (this is
no prerequisite of our solution). The ids are used by the algorithm to store the nodes
at pseudorandom positions: px = Π(SKk, x.id). Now, we have a B+-tree in which
every node occupies the same storage space and the order of the nodes and values is
random. Finally, PASE_Enc(SKv, ·) is used to encrypt every value and PASE_Enc(
SKk, ·) is used to encrypt every node. The encrypted nodes and values form the
encrypted tree γ, which is protected by an authenticated IND-CPA secure encryption. τ ←HSBT2_Tok(SKk, R): Use input SKk and R = [Rs, Re] to calculate τ ←
PASE_Enc(SKk, Rs||Re) and output τ. Queries for all elements below Re or all ele-
ments above Rs can be created by using Rs = −∞or Re = ∞, respectively. v′ ←HSBT2 Dec(SK
C′): Use input SK to decrypt the encrypted values C′ γ ←HSBT2_Enc(SK, s): Take SK and s = ((k1, v1), ..., (kn, vn)) as input. Start by
storing all values v = (v1, ..., vn) in a random order. An almost standard B+-tree
insertion is used for all keys. One difference is that every newly created node x gets
an id according to the creation order, i.e., the first node gets id 0 (x.id = 0), the
second id 1 (x.id = 1) et cetera. After each pair is inserted, the empty position for
keys and pointers in the tree get filled up. More specifically, a node x that contains
x.#k keys from the domain gets filled with (b −1 −x.#k) keys ∞and (b −x.#k)
dummy pointers. Then, all keys and pointers are padded to a length of 32 bit (this is
no prerequisite of our solution). The ids are used by the algorithm to store the nodes
at pseudorandom positions: px = Π(SKk, x.id). 5.2
Construction 2 In this section, we describe our second correct (according to Def. 2) and secure (accor-
ding to Def. 3) construction. Instead of loading all nodes into the enclave, the main idea 8 is to only load the nodes required to traverse the tree. The challenge is to optimize the
communication bottleneck between the untrusted part and the enclave. We performed
extensive benchmarking and algorithm engineering in order to identify and minimize
the most important run-time consuming tasks, such as switching between the untrusted
part and the enclave. The decisive advantage of our second construction is that the re-
quired memory space inside the enclave is O(1) for a tree of arbitrary size. The trade-off
is that all nodes are stored encrypted inside untrusted main memory or on the untrusted
disk and thus have to be decrypted by the enclave before processing. This also leads
to a slightly larger leakage than in the first construction, namely a finer-granular access
pattern on node instead of page level (details are described by a formal model and proof
later). )
The setup of the HSBT-scheme is slightly different than in the first construction in
order to implement the described features. As before, the B+-tree is constructed and
encrypted at the client and is then transferred to the cloud provider. However, the ap-
plication does not reserves memory for the whole B+-tree structure inside the enclave. Instead, it only reserves a fixed space, denoted as reservedSpace, for on the fly pro-
cessing. The remote attestation and secure key deployment are performed as in the
previous construction. We now describe an HSBT-scheme consisting of six algorithms
HSBT2_Setup,
HSBT2_Enc, HSBT2_Tok, HSBT2_Dec, HSBT2_SearchRange, HSBT2_SearchRange_-
Trusted
that utilizes a pseudorandom permutation Π : {0, 1}λ × {0, 1}log2#x →
{0, 1}log2#x in more detail. Note that all but HSBT2_SearchRange and HSBT2_-
SearchRange_Trusted exactly match the algorithms utilized for Constr. 1. SK ←HSBT2_Setup(1λ): Use input λ to execute PASE_Gen two times and output
SK =
SKk, SKv
. SKv and SKk are kept secret at the client. SKk is additionally
shared with the server enclave using a secure transport and deployment protocol. The
enclave stores SKk inside the isolated enclave. γ ←HSBT2_Enc(SK, s): Take SK and s = ((k1, v1), ..., (kn, vn)) as input. Start by
storing all values v = (v1, ..., vn) in a random order. 5.2
Construction 2 The trivial solution is to pass one
node after another. A problem with this design is that every context switch from
the untrusted to the trusted part or back causes an overhead. We therefore optimized
the number of context switches: transfer as many nodes as currently in the queue,
but not more than fit into reservedSpace. We denote the maximal number of no-
des as maxAmount, which is directly influenced by reservedSpace: maxAmount =
reservedSpace/(o · 128 bit) where o is the number of AES-blocks used by each
node. Nodes are passed until no further are requested. Then output C′ by dereferen-
cing pointers to the values. See Algo. 1 for details. g p
g
P ←HSBT2_SearchRange_Trusted(τ, X): Take a search token τ and nodes X as
input. During the setup phase, SKk was deployed inside the secure hardware. There-
fore, the algorithm is able to decrypt all nodes and the token that are encrypted with
SKk. Then, search all keys falling in the query range, whereby all keys are accessed. Finally, return the corresponding pointers in a random order together with the plain-
text isLeaf tag for each pointer. The tag is necessary, because the untrusted part has
no direct access to this encrypted node information. See Algo. 2 for details. P ←HSBT2_SearchRange_Trusted(τ, X): Take a search token τ and nodes X as
input. During the setup phase, SKk was deployed inside the secure hardware. There-
fore, the algorithm is able to decrypt all nodes and the token that are encrypted with
SKk. Then, search all keys falling in the query range, whereby all keys are accessed. Finally, return the corresponding pointers in a random order together with the plain-
text isLeaf tag for each pointer. The tag is necessary, because the untrusted part has
no direct access to this encrypted node information. See Algo. 2 for details. Algorithm 1 HSBT2_SearchRange(τ, γ)
1: X = ∅
▷FIFO queue
2: X.ENQUEUE(root)
3: results = ∅
4: while X ! 5.2
Construction 2 = ∅do
5:
for i=0; i < X.size && i < maxAmount;
i++ do
6:
Xtmp = X.DEQUEUE( )
7:
end for
8:
resultstmp = HSBT2_SEARCHRANGE_-
TRUSTED(τ, Xtmp)
9:
for (isLeaf, p) in resultstmp do
10:
if isLeaf then
11:
results.ADD(*p)
12:
else
13:
X.ENQUEUE(*p)
14:
end if
15:
end for
16: end while
17: return results
Algorithm 2 HSBT2_SearchRange_Trusted(τ, X)
1: τP lain = PASE_Dec(SKk, τ)
2: parse τP lain as
Rs, Re
3: Xtmp = {PASE_Dec(SKk, *X0), PASE_Dec(
SKk, *X1), ...}
4: P = ∅
5: for x in Xtmp do
6:
if not x.isLeaf and Rs < x.k1 then
7:
P.ADD(x.p0)
8:
end if
9:
for i = 1, i < b −1, i++ do
10:
if (x.ki ≤Rs < x.ki+1) ||
(x.ki ≤Re < x.ki+1) ||
(Rs ≤x.ki && x.ki+1 ≤Re) then
11:
P.ADD(x.pi)
12:
end if
13:
end for
14:
if Re ≥x.kb−1 then
15:
P.ADD(x.pb−1)
16:
end if
17: end for
18: P = random permutation of P
19: return (*P0.isLeaf, P0), (*P1.isLeaf, P1), ... The construction is correct according to Def. 2, because it is based on a textbook B+-
tree traversal. The difference to the textbook algorithm is that the nodes are loaded
inside the enclave after another and that each node is encrypted. These changes do not
influence the correctness, because each node remains accessible to the enclave and the
encryption (at the client) and the decryption (inside the enclave) are based on a correct
PASE
h Algorithm 2 HSBT2_SearchRange_Trusted(τ, X)
1: τP lain = PASE_Dec(SKk, τ)
2: parse τP lain as
Rs, Re
3: Xtmp = {PASE_Dec(SKk, *X0), PASE_Dec(
SKk, *X1), ...}
4: P = ∅
5: for x in Xtmp do
6:
if not x.isLeaf and Rs < x.k1 then
7:
P.ADD(x.p0)
8:
end if
9:
for i = 1, i < b −1, i++ do
10:
if (x.ki ≤Rs < x.ki+1) ||
(x.ki ≤Re < x.ki+1) ||
(Rs ≤x.ki && x.ki+1 ≤Re) then
11:
P.ADD(x.pi)
12:
end if
13:
end for
14:
if Re ≥x.kb−1 then
15:
P.ADD(x.pb−1)
16:
end if
17: end for
18: P = random permutation of P
19: return (*P0.isLeaf, P0), (*P1.isLeaf, P1), ... The construction is correct according to Def. 2, because it is based on a textbook B The construction is correct according to Def. 2, because it is based on a textbook B+-
tree traversal. 5.2
Construction 2 Now, we have a B+-tree in which
every node occupies the same storage space and the order of the nodes and values is
random. Finally, PASE_Enc(SKv, ·) is used to encrypt every value and PASE_Enc(
SKk, ·) is used to encrypt every node. The encrypted nodes and values form the
encrypted tree γ, which is protected by an authenticated IND-CPA secure encryption. 9 C′ ←HSBT2_SearchRange(τ, γ): Take the search token τ and the encrypted tree γ
as input. At the beginning, pass only the root node to the trusted part and receive
pointers to nodes that should be traversed next. The trivial solution is to pass one
node after another. A problem with this design is that every context switch from
the untrusted to the trusted part or back causes an overhead. We therefore optimized
the number of context switches: transfer as many nodes as currently in the queue,
but not more than fit into reservedSpace. We denote the maximal number of no-
des as maxAmount, which is directly influenced by reservedSpace: maxAmount =
reservedSpace/(o · 128 bit) where o is the number of AES-blocks used by each
node. Nodes are passed until no further are requested. Then output C′ by dereferen-
cing pointers to the values. See Algo. 1 for details. C′ ←HSBT2_SearchRange(τ, γ): Take the search token τ and the encrypted tree γ
as input. At the beginning, pass only the root node to the trusted part and receive
pointers to nodes that should be traversed next. The trivial solution is to pass one
node after another. A problem with this design is that every context switch from
the untrusted to the trusted part or back causes an overhead. We therefore optimized
the number of context switches: transfer as many nodes as currently in the queue,
but not more than fit into reservedSpace. We denote the maximal number of no-
des as maxAmount, which is directly influenced by reservedSpace: maxAmount =
reservedSpace/(o · 128 bit) where o is the number of AES-blocks used by each
node. Nodes are passed until no further are requested. Then output C′ by dereferen-
cing pointers to the values. See Algo. 1 for details. C′ ←HSBT2_SearchRange(τ, γ): Take the search token τ and the encrypted tree γ
as input. At the beginning, pass only the root node to the trusted part and receive
pointers to nodes that should be traversed next. 5.2
Construction 2 Now, we can specify the node set Y of X as
Y = {yi | xi ∈M} ∪{yi | xi ∈T ∧x ∈M ∧xi == x→parentj, j ∈[1, h −1]}. The set of directed edges in X is {(yi, yj) | yi, yj ∈Y ∧∃xi, xj ∈T : xi ==
xj→parent1}. The time parameter t defines a snapshot of the random (but fixed)
order of sibling nodes at a given point in time. See Fig. 3 for an illustrative example. The value pointers access pattern ∆(s, T, R, t) is defined as the pointers to the result
values together with the leaf nodes in which these pointers are stored. More formally,
∆(s, T, R, t) = {(x, Px) | x ∈T ∧x.isLeaf ∧∃x.kj ∈R, j ∈[1, b −1] ∧Px =
{x.pl | x.kl ∈R, l ∈[1, b −1]}}. The time parameter t defines a random but fixed
order of the pointers. 0
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64
3
34
39
2
13
21
5
39
42
13
29
31
6
13
16
10
59
61
7
44
53
11
34
35
4
24
25
8
64
69
(a)
0
3
7
11
5
13
1
(b)
3
13
5
11
0
7
1
(c)
Fig. 3: Illustration of nodes access pattern leakage: (a) example B+-tree T (storage positions
on the left), (b) leakage X(s, T, R, t) for R = [33, 55] and B+-tree T at t1, (c) leakage
X(s, T, R, t) for R = [33, 55] and B+-tree T at t2
Theorem 1 (Security). The secure hardware B+-tree construction presented above is
Lenc, Lhw
-secure according to Def. 3. 0
3
7
11
5
13
1
(b)
3
13
5
11
0
7
1
(c) (c) (b) Fig. 3: Illustration of nodes access pattern leakage: (a) example B+-tree T (storage positions
on the left), (b) leakage X(s, T, R, t) for R = [33, 55] and B+-tree T at t1, (c) leakage
X(s, T, R, t) for R = [33, 55] and B+-tree T at t2 The idea of the security proof is to describe how a polynomial-time simulator S
simulates the encrypted B+-tree γ, the token τ and the secure hardware so that a PPT
adversary A can distinguish between RealA(λ) and IdealA,S(λ) with at most negli-
gible probability. The detailed proof can be found in Appendix B. The leakage definition and security proofs for Constr. 5.2
Construction 2 For a more formal
definition, we denote the set of leaf nodes that contain keys from the range as M, i.e.,
M = {x | x ∈T ∧x.isLeaf ∧x.kj ∈R, j ∈[1, b −1]}. Additionally, we define
x→parent1 as the parent node of x and x→parentj denotes the node that is reached
by moving j layers up in the tree starting from x. We denote a node that only contains
the storage position of a node xi as yi. Now, we can specify the node set Y of X as
Y = {yi | xi ∈M} ∪{yi | xi ∈T ∧x ∈M ∧xi == x→parentj, j ∈[1, h −1]}. The set of directed edges in X is {(yi, yj) | yi, yj ∈Y ∧∃xi, xj ∈T : xi ==
xj→parent1}. The time parameter t defines a snapshot of the random (but fixed)
order of sibling nodes at a given point in time. See Fig. 3 for an illustrative example. The value pointers access pattern ∆(s, T, R, t) is defined as the pointers to the result
values together with the leaf nodes in which these pointers are stored. More formally,
∆(s, T, R, t) = {(x, Px) | x ∈T ∧x.isLeaf ∧∃x.kj ∈R, j ∈[1, b −1] ∧Px =
{x.pl | x.kl ∈R, l ∈[1, b −1]}}. The time parameter t defines a random but fixed
order of the pointers. Lhw(s, T, R, t): Given the key-value pairs s, the plaintext B+-tree T, the search
range R and given point in time t, this function outputs the nodes access pattern
X(s, T, R, t) and the value pointers access pattern ∆(s, T, R, t). ( ,
,
, )
p
p
( ,
,
, )
The nodes access pattern X(s, T, R, t) is a tree that contains the storage positions of
all nodes in T that get accessed when searching for the range R. For a more formal
definition, we denote the set of leaf nodes that contain keys from the range as M, i.e.,
M = {x | x ∈T ∧x.isLeaf ∧x.kj ∈R, j ∈[1, b −1]}. Additionally, we define
x→parent1 as the parent node of x and x→parentj denotes the node that is reached
by moving j layers up in the tree starting from x. We denote a node that only contains
the storage position of a node xi as yi. 5.2
Construction 2 The difference to the textbook algorithm is that the nodes are loaded
inside the enclave after another and that each node is encrypted. These changes do not
influence the correctness, because each node remains accessible to the enclave and the
encryption (at the client) and the decryption (inside the enclave) are based on a correct
PASE-scheme. 10 Next, we will prove the security of Constr. 2. The first step is to defi
functions that are based on the attack model described in Sect. 3. Lenc(s): Given the key-value pairs s = ((k1, v1), ...(kn, vn)), this funct
amount n of values, the size of each value and the amount of B+-tree
Lhw(s, T, R, t): Given the key-value pairs s, the plaintext B+-tree
range R and given point in time t, this function outputs the nodes
X(s, T, R, t) and the value pointers access pattern ∆(s, T, R, t). The nodes access pattern X(s, T, R, t) is a tree that contains the stora
all nodes in T that get accessed when searching for the range R. For
definition, we denote the set of leaf nodes that contain keys from the ra
M = {x | x ∈T ∧x.isLeaf ∧x.kj ∈R, j ∈[1, b −1]}. Addition
x→parent1 as the parent node of x and x→parentj denotes the node
by moving j layers up in the tree starting from x. We denote a node tha
the storage position of a node xi as yi. Now, we can specify the node
Y = {yi | xi ∈M} ∪{yi | xi ∈T ∧x ∈M ∧xi == x→parentj, j
The set of directed edges in X is {(yi, yj) | yi, yj ∈Y ∧∃xi, xj ∈
xj→parent1}. The time parameter t defines a snapshot of the rand
order of sibling nodes at a given point in time. See Fig. 3 for an illustr
The value pointers access pattern ∆(s, T, R, t) is defined as the pointe
values together with the leaf nodes in which these pointers are stored. ∆(s, T, R, t) = {(x, Px) | x ∈T ∧x.isLeaf ∧∃x.kj ∈R, j ∈[1,
{x.pl | x.kl ∈R, l ∈[1, b −1]}}. The time parameter t defines a ran
order of the pointers. 5.2
Construction 2 0
29
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1
59
64
3
34
39
2
13
21
5
39
42
13
29
31
6
13
16
10
59
61
7
44
53
11
34
35
4
24
25
8
64
69
(a)
0
3
7
11
5
13
1
(b)
Fig. 3: Illustration of nodes access pattern leakage: (a) example B+-tree T (s
on the left), (b) leakage X(s, T, R, t) for R = [33, 55] and B+-tree T at
X(s, T, R, t) for R = [33, 55] and B+-tree T at t2
Theorem 1 (Security). The secure hardware B+-tree construction pres
Lenc, Lhw
-secure according to Def. 3. The idea of the security proof is to describe how a polynomial-tim
simulates the encrypted B+-tree γ, the token τ and the secure hardwar
adversary A can distinguish between RealA(λ) and IdealA,S(λ) with
gible probability. The detailed proof can be found in Appendix B. The leakage definition and security proofs for Constr. 1 are similar
ference is the granularity of the tree and value pointers access pattern. I
attacker is able to reveal accesses on a node level. In contrast, the attack
is able to reveal accesses on page level, because SGX inherently leaks t
pattern. Next, we will prove the security of Constr. functions that are based on the attack model des
Lenc(s): Given the key-value pairs s = ((k1, v
amount n of values, the size of each value an
Lhw(s, T, R, t): Given the key-value pairs s
range R and given point in time t, this fun
X(s, T, R, t) and the value pointers access pa
The nodes access pattern X(s, T, R, t) is a tr
all nodes in T that get accessed when search
definition, we denote the set of leaf nodes tha
M = {x | x ∈T ∧x.isLeaf ∧x.kj ∈R,
x→parent1 as the parent node of x and x→p
by moving j layers up in the tree starting from
the storage position of a node xi as yi. Now,
Y = {yi | xi ∈M} ∪{yi | xi ∈T ∧x ∈M
The set of directed edges in X is {(yi, yj) |
xj→parent1}. 5.2
Construction 2 The time parameter t define
order of sibling nodes at a given point in time
The value pointers access pattern ∆(s, T, R, t
values together with the leaf nodes in which t
∆(s, T, R, t) = {(x, Px) | x ∈T ∧x.isLea
{x.pl | x.kl ∈R, l ∈[1, b −1]}}. The time p
order of the pointers. 0
29
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64
3
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2
13
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5
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42
13
29
31
6
13
16
10
59
6
7
44
53
11
34
35
4
24
25
8
(a)
Fig. 3: Illustration of nodes access pattern leakage:
on the left), (b) leakage X(s, T, R, t) for R =
X(s, T, R, t) for R = [33, 55] and B+-tree T at t2
Theorem 1 (Security). The secure hardware B
Lenc, Lhw
-secure according to Def. 3. The idea of the security proof is to describ
simulates the encrypted B+-tree γ, the token τ
adversary A can distinguish between RealA(λ
gible probability. The detailed proof can be fou
The leakage definition and security proofs
ference is the granularity of the tree and value p
attacker is able to reveal accesses on a node lev
is able to reveal accesses on page level, becaus
pattern. Next, we will prove the security of Constr. 2. The first step is to define the leakage
functions that are based on the attack model described in Sect. 3. Lenc(s): Given the key-value pairs s = ((k1, v1), ...(kn, vn)), this function outputs the
amount n of values, the size of each value and the amount of B+-tree nodes #x. Lenc(s): Given the key-value pairs s = ((k1, v1), ...(kn, vn)), this function outputs the
amount n of values, the size of each value and the amount of B+-tree nodes #x. amount n of values, the size of each value and the amount of B
tree nodes #x. Lhw(s, T, R, t): Given the key-value pairs s, the plaintext B+-tree T, the search
range R and given point in time t, this function outputs the nodes access pattern
X(s, T, R, t) and the value pointers access pattern ∆(s, T, R, t). The nodes access pattern X(s, T, R, t) is a tree that contains the storage positions of
all nodes in T that get accessed when searching for the range R. 5.3
Side Channels Our implementation is concerned with three types of (side) channels: external re-
source access, page-fault side channel and cache timing side channel (see Sect. 3). By
means of all three channels an adversary can observe access patterns to memory with
the goal of inferring sensitive information from the observed access patterns. By monitoring access to external resources, the attacker tries to gain information
about the tree structure and ultimately the order of values stored in the database. The
only external resources accessed by Constr. 1 are the encrypted values stored at random
positions, which does not leak information. Constr. 2 also accesses B+-tree nodes but
this is explicitly covered in its leakage. The page-fault side channel allows the attacker to reliably observe memory access
patterns at a granularity of 4 kB. All accesses within the same page are indistinguishable
for the attacker and, thus, are not exploitable. The implementation of Constr. 1 explicitly
considers the leakage of the tree structure through this side channel. In Constr. 2, this
side channel does not leak additional information, as nodes are smaller than memory
pages and the nodes access pattern is leaked anyway by storing the B+-tree outside of
the enclave. Cache timing side channel allow finer grained memory access observations while
being less reliable. Nevertheless, assuming an adversary who is able to observe accesses
within a node, the attacker needs to determine which links to child nodes are followed. Our algorithm, however, accesses every key and pointer, whether the pointer is fol-
lowed or not. By this and other fine grained implementation details, we achieve data
independent accesses and thwart the cache timing side channel. Leakage of cryptographic keys are thwarted for page-fault and cache timing side
channel by using leakage resilient implementations and hardware features [7]. For in-
stance, the AES implementation used in HardIDX holds the S-Boxes in CPU registers
instead of RAM to hamper cache side channel attacks [32]. 5.2
Construction 2 1 are similar. The main dif-
ference is the granularity of the tree and value pointers access pattern. In Constr. 2, the
attacker is able to reveal accesses on a node level. In contrast, the attacker in Constr. 1
is able to reveal accesses on page level, because SGX inherently leaks the page access
pattern. 11 Note that the page access leakage is an upper bound in the first construction. Each
page allocates 4 kB and every encrypted node consists of one or multiple AES-blocks. Up to k = 4 kB/(o · 128 bit) nodes are contained in one page if o AES-blocks are
used by each node. Experiments showed that 102 AES-blocks are used for each node if
b = 100 and 32 bit keys and pointers are used. Therefore, even multiple of those huge
nodes fit within a single page. 6
Performance Evaluation In this section, we present our evaluation results collected in a number of experiments
with real SGX hardware. Our evaluation system was equipped with an Intel Core i7-
6700 processor at 3.40 Ghz and 32 GB DDR4 RAM. 64-bit Ubuntu 14.04.1 extended
with SGX support was used as operating system. 6.1
Construction 1 vs. Construction 2 First, we compare the performance of our two constructions. The parameters of the
B+-tree are held constant for this comparison: the branching factor is 10 and the tree
contains 1,000,000 key-value pairs. Queries with five different sizes of the result set 12 are used: 20, 24, 28, 212, 216. The search ranges were selected uniformly at random and
every result size is tested with 1,000 different ranges. Figure 4a depicts the results of
this evaluation, whereby the x-axis shows the size of the result set and the y-axis shows
the median of the run-times in ms. (a)
(b)
Fig. 4: (a) Comparison of constructions and (b) effect of different branching factors (a) (b) (b) Fig. 4: (a) Comparison of constructions and (b) effect of different branching factors The performance difference can be explained by the following effects: – Processor mode switch. Before executing inside an enclave, the processor has to
switch into “enclave mode”. This includes, e.g., storing the current CPU context on
the host process’ stack and loading the CPU context of the enclave. In Constr. 1 only
one switch is required, whereas in the Constr. 2 O(logb n) switches are performed,
as at least each level of the B+-tree is loaded into the enclave. – Data transfer. In Constr. 1, the data transfer between trusted and the untrusted code
is limited to the result set and the query whereas in Constr. 2 also part of the B+-tree
is transferred between the two components. – Access to plain data. In Constr. 1, decryption is a one-time effort after loading the
entire B+-tree into the enclave. During query processing, it has access to plaintext
nodes of the B+-tree. Constr. 2 incrementally loads the B+-tree nodes from untrus-
ted storage. All processed nodes need to be decrypted during query processing. Construction 2, therefore, is slower than Constr. 1 by a small factor at any result size. For an increasing size of the result set, both algorithms search a linearly increasing part
of the tree. Figure 4a shows that the run-times of our two constructions converge (on
a logarithmic scale). This shows that the effects described above diminish compared to
the search time of the algorithm. 6.2
Memory Management In order to identify the limiting parameters in the memory management of our two
constructions, we evaluate B+-trees with different tree sizes (amounts of key-value
pairs) and branching factors. On each tree we ran 1,000 randomly chosen queries with
result set size of 100 and tested with the branching factors 10, 25, 50 and 100. The
results of these evaluation are depicted in Fig. 4b. The x-axis shows the size of the
B+-tree and the y-axis shows the median run-time of the queries. We see a sharp increase of the run-time above a tree size of 106 records. This is due
to the exhausted memory in SGX and the virtual memory mechanism of the operating
system that swaps pages in and out. This is not security critical, since pages remain 13 encrypted and integrity protected by the SGX system, even when they are swapped out
of the SGX protected memory. The figure also reveals a significant difference in the
impact of paging between different branching factors. The reason becomes clear by
considering the number of required page swaps. The lower the branching factor, the
higher the number of nodes in a B+-tree. The higher the number of nodes, the higher
the number of accesses to different memory pages. The higher the number of different
page accesses, the higher the probability of a swapped out page. We also see that Constr. 2 is not affected by paging, albeit supporting an unlimited
tree size. Our data also shows that, as expected, higher branching factors result in better
performance and the runtime approaches the runtime of Constr. 1. 6.3
Comparison with Related Work In this section, we compare our Constr. 2 against the currently fastest approach with
comparable security features and a security proof presented by Demertzis et al. in [17]. The authors present seven different constructions that support range queries. The con-
structions have different tradeoffs regarding security, query size, search time, storage
and false positives. We do not compare against the highly secure scheme with prohibi-
tive storage cost and also exclude the approaches with false positives as our construction
does not lead to false positives. Instead, we compare against the most secure approach
without these problems: Logarithmic-URC. We assume that the OXT construction from [14] is used as underlying symmetric
searchable encryption scheme (SEE) by Logarithmic-URC. Fundamentally, the SSE
scheme is changeable, but the authors of [17] also utilize OXT for the security and per-
formance evaluation. One has to note that a quite equal construction as Logarithmic-
URC was presented independently by Faber et al. in [19]. We implemented the algo-
rithm of [17], but a security and performance comparison to [19] would lead to compa-
rable results. Table 1 compares our Constr. 2 and Logarithmic-URC. In this evaluation, we use
a branching factor of 100 for Constr. 2 and search for a randomly chosen range that
contains 100 results. Every test for the four different tree sizes (100, 1,000, 10,000,
100,000) was performed 1,000 times and the table shows the mean. Table 1: Time comparison of random range queries with Logarithmic-URC [17] and our Constr. 2
Tree Size
100
1,000
10,000
100,000
Logarithmic-URC
0.015 s
0.020 s
0.051 s
1.052 s
Const. 2 (b = 100)
0.119 ms 0.121 ms 0.124 ms 0.125 ms Our construction runs in about a tenth of a millisecond and with very moderate
increase for all tree sizes. In contrast, Logarithmic-URC requires at least multiple milli-
seconds up to a seconds for bigger trees. A reason for the performance difference might
be that OXT construction itself is less efficient then our construction. Furthermore, the
search time of OXT depends on the number of entries. Logarithmic-URC fills the OXT
construction with elements from a binary tree over the domain for every stored key. An increasing domain severely increases the tree height of a binary tree and thus the 14 number of entries for OXT. In contrast, the height of the B+-tree in our construction
increases much slower with the tree size. 6.3
Comparison with Related Work It is not trivial to compare Logarithmic-URC and Constr. 2 regarding security. The
access pattern leakage and the leakage of the internal data structure of Logarithmic-
URC is comparable to our access pattern leakages. However, Logarithmic-URC additi-
onally leaks the domain size, the search range size and the search pattern. The search
pattern reveals whether the same search was performed before, which might be sensitive
information. 7.1
Searchable Encryption Searchable encryption scheme supporting range queries are rare. Table 2 shows a
comparison of different searchable encryption schemes and other schemes that sup-
port range queries. Note that all existing range-searchable encryption schemes leak
the access pattern – including ours. The first range-searchable scheme by Boneh and
Waters in [11] encrypt every entry linear in the size of the plaintext domain. The first
scheme with logarithmic storage size per entry in the domain was proposed by Shi et
al. in [40]. Their security model is somewhat weaker than standard searchable encryp-
tion. The construction is based on inner-product predicate encryption which has been
made fully secure by Shen et al. in [39]. All of these schemes have linear search time. Lu built the range-searchable encryption from [39] into an index in [29]. He enabled
polylogarithmic search time, but his encrypted inverted index tree reveals the order
of the plaintexts and is hence only as secure as order-preserving encryption. Wang et
al. [43] proposed a multi-dimensional extension of Lu [29], but it suffers from the same
problem of order leakage. There is no known searchable encryption schemes for ranges
– until ours – that has polylogarithmic search time and leaks only the access pattern. ORAM can in principle be used to hide the access pattern of searchable encryption. However, Naveed shows that the combination of the two is not straightforward [33]. Special ORAM techniques, like TWORAM [21], are needed. Table 2: Comparison of range-searchable encryption schemes. n is the number of keys, D is the
size of the plaintext domain and R is the query range size. Scheme
Search time
Query Size
Storage Size
Search Pattern Leakage
Order Leakage
Boneh, Waters [11]
O(nD)
O(D)
O(nD)
yes
no
Shi et al. [40]
O(n log D)
O(log D)
O(n log D)
yes
no
Shen et al. [39]
O(n log D)
O(log D)
O(n log D)
no
no
Lu [29]
O(log n log D)
O(log D)
O(n log D)
no
yes
Demertzis et al. [17]
Faber et al. [19]
O(log R)
O(log R)
O(n log D)
yes
no
This papers
O(log n)
O(1)
O(n)
no
no Table 2: Comparison of range-searchable encryption schemes. n is the number of keys, D is the
size of the plaintext domain and R is the query range size. 7.2
Encrypted Databases Encrypted databases, such as CryptDB [36], use property-preserving encryption for ef-
ficient search. Property-preserving encryption has very low deployment and runtime 15 overhead due to the ability to use internal index structures of the database engine in the
same way as on plain data. Order-preserving encryption [1,8,9,28] allows range queries
on the ciphertexts as on the plaintexts. However, Naveed et al. [34] initiated the rese-
arch direction of practical ciphertext-only attacks on property-preserving encryption, in
particular order-preserving encryption, which recover the plaintext in many cases with
very high probability (close to 100%) and further attacks followed [18,25]. Cash et al. [14] introduce a new protocol called OXT that allows evaluation of bool-
ean queries on encrypted data. Faber et al. [19] extend this data structure to support
range queries but either leak additional information on the queried range or the result
set contains false positives. In [17], Demertzis et al. present several approaches for range
queries. We provide an experimental and detailed comparison in Sect. 6.3. 7.3
TEE-Based Applications Trusted Database System (TDB) uses a trusted execution environment (TEE) to operate
the entire database in a hostile environment [30]. While TDB encrypts the entire data-
base storage and metadata, it is not concerned with information leakage from the TEE. Neither does TDB aim at hiding access patterns nor does it consider side channels at-
tacks against the TEE. Furthermore, since the entire DB operates in the TEE the trusted
computing base is very large exposing a very large attack surface. Haven is an approach to shield application on an untrusted system using SGX [5]. The goal of Haven is to enable the execution of unmodified applications inside an SGX
enclave. This technique could be used to isolated off-the-shelf databases with SGX, ho-
wever, Haven does not consider information leakages through memory access patterns
or interactions with the untrustworthy outside world. Furthermore, this approach limits
the size of the database due to limited enclave size. VC3 adapts the MapReduce computing paradigm to SGX [38]. There the data flows
between Mapper and Reducer can leak sensitive information and it is excluded from
their adversary model. In contrast, we focus on information leakage in the interaction
of an enclave with other entities. In [35], SGX protected machine learning algorithms have been adapted to prevent
the exploitation of side channels by the usage of data-oblivious primitives. Access to
external data is addressed by randomizing the data and always accessing all data, i.e.,
their solution has an complexity of O(n), even for tree searches. A
Proof Framework In [16], Curtmola et al. introduced a three step framework to proof the security of se-
archable encryption. The first step is to formulate a leakage, i.e., an upper bound of
the information that an adversary can gather from the protocol. Secondly, one defines
the RealA(λ) and a IdealA,S(λ) game for an adaptive adversary A and a polynomial
time simulator S. RealA(λ) is the execution of the actual protocol and IdealA,S(λ)
utilizes S to simulate the real game by using only the formulated leakage. An adaptive
adversary can use information learned in previous protocol iterations for its queries. Third, a scheme is CKA2-secure if one can show that A can distinguish the output of
the games with probability negligibly close to 0. This in turn means that A does not
learn anything besides the leakage stated in the first step, because otherwise he could
use this additional information to distinguish the games. 8
Conclusion In this paper, we introduce HardIDX – an approach to search for ranges and values
over encrypted data using hardware support making it deployable as a secure index
in an encrypted database. We provide a formal security proof explicitly including side
channels and an implementation on Intel SGX. Our solution compares favorably with
existing software- and hardware-based approaches. We require few milliseconds even
for complex searches on large data and scale to almost arbitrarily large indices. We only
leak the access pattern and our trusted code protected by SGX hardware is very small
exposing a small attack surface. 16 Acknowledgments. This research was co-funded by the German Science Foundation,
as part of project P3 within CRC 1119 CROSSING, the European Union’s Horizon
2020 Research and Innovation Programme under grant agreement No. 644412 (TREDI-
SEC) and No. 643964 (SUPERCLOUD), and the Intel Collaborative Research Institute
for Secure Computing (ICRI-SC). B
Lenc, Lhw
-security Proof In Sect. 5.2, we provide the description of Constr. 2 and the leakage of the construction. We now prove Theorem 1 by describing a polynomial-time simulator S for which a
PPT adversary A can distinguish between RealA(λ) and IdealA,S(λ) with negligible
probability. Proof. The simulator S works as follows:
g – Setup: S creates a new random key g
SK = PASE_Gen(1λ) and stores it. – Setup: S creates a new random key g
SK = PASE_Gen(1λ) and stores it. (
)
– Simulating γ: S gets Lenc and creates #x nodes X =
x1, ..., x#x
filled with
random keys, random pointers and increasing node ids. These nodes are stored in
the pages
ω1, ...ω#ω
. Additionally, S generates n encryptions of random values
C
C
C
i
PASE E
h
b
f
l
d h
i
f h
l – Simulating γ: S gets Lenc and creates #x nodes X =
x1, ..., x#x
filled with
random keys, random pointers and increasing node ids. These nodes are stored in
the pages
ω1, ...ω#ω
. Additionally, S generates n encryptions of random values
C =
C1, ..., Cn
using PASE_Enc, the number of values and the size of the values. Every encrypted value is given a distinct index. S outputs γ = (X, C)
All described operations can be executed by S, because the information required for
the encryption of values is included in the leakage. The simulated γ has the same
size as the output of RealA(λ) and the IND-CCA security of PASE makes the nodes
and values indistinguishable from the output of RealA(λ).
Every encrypted value is given a distinct index. S outputs γ = (X, C) y
yp
g
p
γ
(
,
)
All described operations can be executed by S, because the information required for
the encryption of values is included in the leakage. The simulated γ has the same
size as the output of RealA(λ) and the IND-CCA security of PASE makes the nodes
and values indistinguishable from the output of RealA(λ). ( )
– Simulating τ: The simulator S creates two random values r1 and r2 and encrypts
them: τ ←PASE_Enc(SKk, Rs||Re). S outputs τ. The simulated τ is indistinguishable from the output of RealA(λ) as a result of the
IND-CCA security of PASE. C
Multiple Users So far, we considered a setup comprising one user, but multiple user are directly suppor-
ted by HardIDX. Multiple users are able to concurrently query data without limitations,
as concurrent tree traversals do not influence each other. The only requirement is that
each user has access to the key SKk to create query tokens and SKv to decrypt the re-
sult. It is also possible that each user shares a different key SKk with the enclave. This
would hide the search pattern of one user from all other users, but it requires a small
modification in the protocol: the token has to be accompanied by client information,
because the enclave has to identify the key to use for the token decryption. The nodes
can be encrypted by any key that is known to the enclave. Particularly, it is not required
to be a key shared with any user. B
Lenc, Lhw
-security Proof – Simulating τ: The simulator S creates two random values r1 and r2 and encrypts
them: τ ←PASE_Enc(SKk, Rs||Re). S outputs τ. The simulated τ is indistinguishable from the output of RealA(λ) as a result of the (
,
||
)
p
The simulated τ is indistinguishable from the output of RealA(λ) as a result of the
IND-CCA security of PASE. – Simulating secure hardware: At time t, the simulator S receives encrypted nodes
(denoted as X), a token τ and Lhw. It has to simulate the output of the secure har-
dware enclave. The simulator decrypts every node xi ∈X with PASE_Dec(g
SK, xi). We differentiate between two cases for every xi: 17 1. xi is not leaf: S reads the id of xi and searches the corresponding yi in
X(s, T, R, t). It returns a pointer to all children in the order defined by t. 1. xi is not leaf: S reads the id of xi and searches the corresponding yi in
X(s, T, R, t). It returns a pointer to all children in the order defined by t. A cannot distinguish between the output of RealA(λ) and the simulated output,
because the pointers point to indistinguishable nodes according to the IND-CCA
security of PASE. Furthermore, the results are consistent for different requests of
the same range as the nodes access pattern delivers deterministic results and the
pseudorandom permutation creates unambiguous positions for the simulated no-
des. The same argument applies for queries of distinct or overlapping ranges. 2. x is leaf: S uses the leakage ∆(s, T, R, t) to output all result pointers P =
S
x Px, ∀(x, Px) ∈∆in the order defined by t. 2. x is leaf: S uses the leakage ∆(s, T, R, t) to output all result pointers P =
S
x Px, ∀(x, Px) ∈∆in the order defined by t. x
This output is indistinguishable from the output of RealA(λ) as the number of
result pointers matches and the pointers are consistent because ∆(s, T, R, t) is
unambiguous. The values pointed on are indistinguishable, because they are pro-
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| ERROR: type should be string, got "https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. Structure, variability, and origin of the low-latitude nightglow\ncontinuum between 300 and 1,800 nm: evidence for HO2 emission\nin the near-infrared Stefan Noll1,2, John M. C. Plane3, Wuhu Feng3,4, Konstantinos S. Kalogerakis5, Wolfgang Kausch6,\nCarsten Schmidt2, Michael Bittner2,1, and Stefan Kimeswenger6,7\n1Institut für Physik, Universität Augsburg, Augsburg, Germany\n2Deutsches Fernerkundungsdatenzentrum, Deutsches Zentrum für Luft- und Raumfahrt, Oberpfaffenhofen, Germany\n3School of Chemistry, University of Leeds, Leeds, UK\n4National Centre for Atmospheric Science, University of Leeds, Leeds, UK\n5Center for Geospace Studies, SRI International, Menlo Park, CA, USA\n6Institut für Astro- und Teilchenphysik, Universität Innsbruck, Innsbruck, Austria\n7Instituto de Astronomía, Universidad Católica del Norte, Antofagasta, Chile\nCorrespondence: S. Noll (stefan.noll@dlr.de) Stefan Noll1,2, John M. C. Plane3, Wuhu Feng3,4, Konstantinos S. Kalogerakis5, Wolfgang Kausch6,\nCarsten Schmidt2, Michael Bittner2,1, and Stefan Kimeswenger6,7\n1Institut für Physik, Universität Augsburg, Augsburg, Germany\n2Deutsches Fernerkundungsdatenzentrum, Deutsches Zentrum für Luft- und Raumfahrt, Oberpfaffenhofen, Germany\n3School of Chemistry, University of Leeds, Leeds, UK\n4National Centre for Atmospheric Science, University of Leeds, Leeds, UK\n5Center for Geospace Studies, SRI International, Menlo Park, CA, USA\n6Institut für Astro- und Teilchenphysik, Universität Innsbruck, Innsbruck, Austria\n7Instituto de Astronomía, Universidad Católica del Norte, Antofagasta, Chile\nCorrespondence: S. Noll (stefan.noll@dlr.de) Stefan Noll1,2, John M. C. Plane3, Wuhu Feng3,4, Konstantinos S. Kalogerakis5, W\nCarsten Schmidt2, Michael Bittner2,1, and Stefan Kimeswenger6,7 Abstract. The Earth’s mesopause region between about 75 and 105 km is characterised by chemiluminescent emission from\nvarious lines of different molecules and atoms. This emission was and is important for the study of the chemistry and dynam-\nics in this altitude region at nighttime. However, our understanding is still very limited with respect to molecular emissions\nwith low intensities and high line densities that are challenging to resolve. Based on 10 years of data from the astronomical X-shooter echelle spectrograph at Cerro Paranal in Chile, we have characterised in detail this nightglow (pseudo-)continuum\n5\nin the wavelength range from 300 to 1,800 nm. We studied the spectral features, derived continuum components with similar\nvariability, calculated climatologies, studied the response to solar activity, and even estimated the effective emission heights. The results indicate that the nightglow continuum at Cerro Paranal essentially consists of only two components, which exhibit\nvery different properties. The main structures of these components peak at 595 and 1,510 nm. While the former was previously identified as the main peak of the FeO ‘orange arc’ bands, the latter is a new discovery. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. Structure, variability, and origin of the low-latitude nightglow\ncontinuum between 300 and 1,800 nm: evidence for HO2 emission\nin the near-infrared Laboratory data and theory indicate\n10\nthat this feature and other structures between about 800 and at least 1,800 nm are caused by emission from the low-lying A′′\nand A′ states of HO2. In order to test this assumption, we performed runs with the Whole Atmosphere Community Climate\nModel (WACCM) with modified chemistry and found that the total intensity, layer profile, and variability indeed support this\ninterpretation, where the excited molecules HO2 are mostly produced from the termolecular recombination of H and O2. The identified as the main peak of the FeO ‘orange arc’ bands, the latter is a new discovery. Laboratory data and theory indicate\n10\nthat this feature and other structures between about 800 and at least 1,800 nm are caused by emission from the low-lying A′′\nand A′ states of HO2. In order to test this assumption, we performed runs with the Whole Atmosphere Community Climate\nModel (WACCM) with modified chemistry and found that the total intensity, layer profile, and variability indeed support this\ninterpretation, where the excited molecules HO2 are mostly produced from the termolecular recombination of H and O2. The WACCM results for the continuum component that dominates at visual wavelengths show good agreement for FeO from the re-\n15\naction of Fe and O3. However, the simulated total emission appears to be too low, which would require additional mechanisms\nwhere the variability is dominated by O3. WACCM results for the continuum component that dominates at visual wavelengths show good agreement for FeO from the re-\n15\naction of Fe and O3. However, the simulated total emission appears to be too low, which would require additional mechanisms\nwhere the variability is dominated by O3. 1 1 1\nIntroduction Moreover, part instruments with high resolving power were not able to distinguish individual lines, i.e. it would be a pseudo-continuum. In any\n35\ncase, the observation of such a (pseudo-)continuum is more challenging than the study of well-resolved emission lines. The\napplied instrument needs to have a sufficiently high resolving power to clearly separate the continuum from the well-known\nemission bands and lines. As the continuum can be quite faint compared to the strong lines, even the wings of the line-spread\nfunction and possible straylight inside the instrument can be an issue, together with low signal-to-noise ratios. Moreover, part of the night-sky radiance is related to extraterrestrial light sources and scattering inside the atmosphere (e.g., Leinert et al.,\n40\n1998). In particular, scattered moonlight, integrated and scattered starlight, zodiacal light, and possible light pollution can be\nsignificant sources of radiation. Hence, such components (which might be quite uncertain) need to be subtracted to measure\nthe nightglow continuum (e.g., Sternberg and Ingham, 1972; Noll et al., 2012; Trinh et al., 2013). Despite the potential difficulties Barbier et al (1951) first noted a possible continuum in the green wavelength range In of the night-sky radiance is related to extraterrestrial light sources and scattering inside the atmosphere (e.g., Leinert et al.,\n40\n1998). In particular, scattered moonlight, integrated and scattered starlight, zodiacal light, and possible light pollution can be\nsignificant sources of radiation. Hence, such components (which might be quite uncertain) need to be subtracted to measure\nthe nightglow continuum (e.g., Sternberg and Ingham, 1972; Noll et al., 2012; Trinh et al., 2013). Despite the potential difficulties, Barbier et al. (1951) first noted a possible continuum in the green wavelength range. In Despite the potential difficulties, Barbier et al. (1951) first noted a possible continuum in the green wavelength range. In\nthe subsequent decades, additional constraints were found for a continuum in the visual wavelength range between 400 and\n45\n720 nm (Davis and Smith, 1965; Broadfoot and Kendall, 1968; Sternberg and Ingham, 1972; Gadsden and Marovich, 1973;\nMcDade et al., 1986), where the density of strong emission lines is relatively low. This continuum appeared to have a flux of\nseveral Rayleigh per nanometre (R nm−1) with an increasing trend towards longer wavelengths and a possible local maximum\n(or at least plateau) near 600 nm (e.g., Gadsden and Marovich, 1973). 1\nIntroduction At wavelengths shorter than about 1,800 nm, the Earth’s atmospheric radiation at nighttime is essentially caused by non-\nthermal chemiluminescence, i.e. photon emission by excited atomic and molecular states that are populated as a result of\n20\nchemical reactions. Most of this nightglow emission originates at altitudes between 75 and 105 km in the mesopause region. The most prominent emitting species are hydroxyl (OH) and molecular oxygen (O2), which cause various ro-vibrational bands\nof emission lines from the near-ultraviolet (near-UV) to the near-infrared (near-IR) (Rousselot et al., 2000; Cosby et al., 2006;\nNoll et al., 2012). Especially strong emission is found above 1,400 nm, where OH bands of the electronic ground level with a vibrational level change ∆v of 2, e.g. OH(3-1), are located. Bands with higher ∆v that can be found at shorter wavelengths are\n25\nsignificantly weaker. Strong emission is also related to O2(b-X)(0-0) near 762 nm and O2(a-X)(0-0) near 1,270 nm. However,\nboth bands suffer from strong self-absorption in the lower atmosphere, which makes it particularly challenging to observe any\nemission of the former band from the ground. Intrinsically weaker but not self-absorbed O2 bands are (b-X)(0-1) near 865 nm\nand O2(a-X)(0-1) near 1,580 nm. Moreover, there are many weak O2 bands at near-UV and blue wavelengths (Slanger and Copeland, 2003; Cosby et al., 2006). In addition, especially the visual range shows atomic emission lines. Prominent examples\n30\nare the atomic oxygen (O) lines at 558, 630, and 636 nm and the sodium (Na) doublet at 589 nm (e.g., Cosby et al., 2006; Noll\net al., 2012). Apart from individual emission lines, which have a typical width of a few picometres, the nightglow also includes an under-\nlying continuum component. It could consist of line emissions if there were such a high line density that even spectroscopic instruments with high resolving power were not able to distinguish individual lines, i.e. it would be a pseudo-continuum. In any\n35\ncase, the observation of such a (pseudo-)continuum is more challenging than the study of well-resolved emission lines. The\napplied instrument needs to have a sufficiently high resolving power to clearly separate the continuum from the well-known\nemission bands and lines. As the continuum can be quite faint compared to the strong lines, even the wings of the line-spread\nfunction and possible straylight inside the instrument can be an issue, together with low signal-to-noise ratios. 1\nIntroduction Krassovsky (1951) already proposed that this continuum\ncould be produced by the reaction\n50 the subsequent decades, additional constraints were found for a continuum in the visual wavelength range between 400 and\n45\n720 nm (Davis and Smith, 1965; Broadfoot and Kendall, 1968; Sternberg and Ingham, 1972; Gadsden and Marovich, 1973;\nMcDade et al., 1986), where the density of strong emission lines is relatively low. This continuum appeared to have a flux of\nseveral Rayleigh per nanometre (R nm−1) with an increasing trend towards longer wavelengths and a possible local maximum\n(or at least plateau) near 600 nm (e.g., Gadsden and Marovich, 1973). Krassovsky (1951) already proposed that this continuum the subsequent decades, additional constraints were found for a continuum in the visual wavelength range between 400 and\n45\n720 nm (Davis and Smith, 1965; Broadfoot and Kendall, 1968; Sternberg and Ingham, 1972; Gadsden and Marovich, 1973;\nMcDade et al., 1986), where the density of strong emission lines is relatively low. This continuum appeared to have a flux of\nseveral Rayleigh per nanometre (R nm−1) with an increasing trend towards longer wavelengths and a possible local maximum\n(or at least plateau) near 600 nm (e.g., Gadsden and Marovich, 1973). Krassovsky (1951) already proposed that this continuum could be produced by the reaction\n50\nNO + O →NO2 + hν. (R1) (R1) 2 2 The main peak between 580\n85 which had already been identified by Jenniskens et al. (2000) in the persistent train of a Leonid meteor observed by an airborne\noptical spectrograph. Their laboratory-based spectrum of these FeO ‘orange arc’ bands (see also, West and Broida, 1975;\n65\nBurgard et al., 2006) also matched the OSIRIS spectrum quite well. This interpretation implies that the low-latitude nightglow\nspectrum around 600 nm can mainly be explained by a pseudo-contiuum consisting of various ro-vibrational bands produced\nfrom the FeO electronic transitions D 5∆i and D′ 5∆i to X 5∆i (Cheung et al., 1983; Merer, 1989; Barnes et al., 1995; Gattinger\net al., 2011a). Based on the small OSIRIS data set covering five 24 h periods, Evans et al. (2010) also found a good correlation optical spectrograph. Their laboratory-based spectrum of these FeO ‘orange arc’ bands (see also, West and Broida, 1975;\n65\nBurgard et al., 2006) also matched the OSIRIS spectrum quite well. This interpretation implies that the low-latitude nightglow\nspectrum around 600 nm can mainly be explained by a pseudo-contiuum consisting of various ro-vibrational bands produced\nfrom the FeO electronic transitions D 5∆i and D′ 5∆i to X 5∆i (Cheung et al., 1983; Merer, 1989; Barnes et al., 1995; Gattinger\net al., 2011a). Based on the small OSIRIS data set covering five 24 h periods, Evans et al. (2010) also found a good correlation of the pseudo-continuum and the Na chemiluminescence, which also depends on a reaction with ozone (O3) and involves a\n70\nchemical element supplied by the ablation of cosmic dust (e.g., Plane et al., 2015). Covariations of Fe and Na densities in the\nmesopause region were previously measured by lidar (e.g., Kane and Gardner, 1993). The corresponding results for the layer\nheights of both metals also appear to agree well with the results from the OSIRIS data suggesting a 3 km lower continuum\nemission layer with a peak at about 87 km. The confidence in the FeO scenario further increased by the analysis of nine nights of the pseudo-continuum and the Na chemiluminescence, which also depends on a reaction with ozone (O3) and involves a\n70\nchemical element supplied by the ablation of cosmic dust (e.g., Plane et al., 2015). Covariations of Fe and Na densities in the\nmesopause region were previously measured by lidar (e.g., Kane and Gardner, 1993). https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. The emission produced by this reaction, termed the NO2 air afterglow, was observed in laboratory discharge experiments\nand has a pressure-dependent maximum, which is located around 580 nm for relevant atmospheric densities (Fontijn et al.,\n1964; Becker et al., 1972). Space-based measurements of the emission profile showed a peak between 90 to 95 km (von\nSavigny et al., 1999; Gattinger et al., 2009, 2010; Semenov et al., 2014a). First indicated by ship-based latitude-dependent\n55\nmeasurements (Davis and Smith, 1965) and then studied in more detail with the Optical Spectrograph and Infrared Imaging\nSystem (OSIRIS) onboard the Odin satellite (Gattinger et al., 2009, 2010), the emission is about an order of magnitude weaker\nat low latitudes compared with the polar regions, where typical values near 580 nm are of the order of 10 R nm−1. However, Evans et al. (2010) found that an average OSIRIS spectrum for the low latitude range from 0 to 40◦S did not However, Evans et al. (2010) found that an average OSIRIS spectrum for the low latitude range from 0 to 40 S did not\nmatch the expected spectral distribution of the NO2 air afterglow from Reaction R1 because the data showed a more complex\n60\nstructure with a conspicuous relatively narrow maximum near 600 nm. As an alternative explanation, they proposed emission\nfrom electronically excited iron monoxide (FeO) produced by match the expected spectral distribution of the NO2 air afterglow from Reaction R1 because the data showed a more complex\n60\nstructure with a conspicuous relatively narrow maximum near 600 nm. As an alternative explanation, they proposed emission\nfrom electronically excited iron monoxide (FeO) produced by Fe + O3 →FeO∗+ O2,\n(R2) Fe + O3 →FeO∗+ O2, (R2) which had already been identified by Jenniskens et al. (2000) in the persistent train of a Leonid meteor observed by an airborne which had already been identified by Jenniskens et al. (2000) in the persistent train of a Leonid meteor observed by an airborne\noptical spectrograph. Their laboratory-based spectrum of these FeO ‘orange arc’ bands (see also, West and Broida, 1975;\n65\nBurgard et al., 2006) also matched the OSIRIS spectrum quite well. This interpretation implies that the low-latitude nightglow\nspectrum around 600 nm can mainly be explained by a pseudo-contiuum consisting of various ro-vibrational bands produced\nfrom the FeO electronic transitions D 5∆i and D′ 5∆i to X 5∆i (Cheung et al., 1983; Merer, 1989; Barnes et al., 1995; Gattinger\net al., 2011a). Based on the small OSIRIS data set covering five 24 h periods, Evans et al. (2010) also found a good correlation\nof the pseudo-continuum and the Na chemiluminescence, which also depends on a reaction with ozone (O3) and involves a\n70\nchemical element supplied by the ablation of cosmic dust (e.g., Plane et al., 2015). Covariations of Fe and Na densities in the\nmesopause region were previously measured by lidar (e.g., Kane and Gardner, 1993). The corresponding results for the layer\nheights of both metals also appear to agree well with the results from the OSIRIS data suggesting a 3 km lower continuum\nemission layer with a peak at about 87 km. The confidence in the FeO scenario further increased by the analysis of nine nights\nof sky radiance data obtained from the Echelle Spectrograph and Imager (ESI) at the Keck II telescope on Mauna Kea, Hawaii\n75\n(20◦N) (Saran et al., 2011). The spectral range from 500 to 680 nm showed a structure with a peak at about 595 nm consistent\nwith laboratory data (West and Broida, 1975). A slight shift of these (and also the OSIRIS) data of about 5 nm towards longer\nwavelengths could be explained by a higher effective vibrational excitation due to the low frequency of quenching collisions at\nthe lower pressures in the mesopause region (Gattinger et al., 2011a). To date, the most detailed analysis of the shape of the FeO\norange bands and their variability was reported by Unterguggenberger et al. (2017), based on 3,662 spectra of the X-shooter\n80\nechelle spectrograph (Vernet et al., 2011) of the Very Large Telescope at Cerro Paranal in Chile (24.6◦S, 70.4◦W). Clear\nseasonal variations similar to those of the Na nightglow, which were analysed in the same study, were found. These variations\ncould be characterised by a combination of an annual and a semiannual oscillation (AO and SAO) with relative amplitudes\nof 17 and 27% and maxima in June/July and April/October, respectively. Strong nocturnal trends were not observed. The\nspectrum (after subtraction of other sky radiance components) appeared to have a stable structure. The corresponding results for the layer\nheights of both metals also appear to agree well with the results from the OSIRIS data suggesting a 3 km lower continuum\nemission layer with a peak at about 87 km. The confidence in the FeO scenario further increased by the analysis of nine nights of sky radiance data obtained from the Echelle Spectrograph and Imager (ESI) at the Keck II telescope on Mauna Kea, Hawaii\n75\n(20◦N) (Saran et al., 2011). The spectral range from 500 to 680 nm showed a structure with a peak at about 595 nm consistent\nwith laboratory data (West and Broida, 1975). A slight shift of these (and also the OSIRIS) data of about 5 nm towards longer\nwavelengths could be explained by a higher effective vibrational excitation due to the low frequency of quenching collisions at\nthe lower pressures in the mesopause region (Gattinger et al., 2011a). To date, the most detailed analysis of the shape of the FeO of sky radiance data obtained from the Echelle Spectrograph and Imager (ESI) at the Keck II telescope on Mauna Kea, Hawaii\n75\n(20◦N) (Saran et al., 2011). The spectral range from 500 to 680 nm showed a structure with a peak at about 595 nm consistent\nwith laboratory data (West and Broida, 1975). A slight shift of these (and also the OSIRIS) data of about 5 nm towards longer\nwavelengths could be explained by a higher effective vibrational excitation due to the low frequency of quenching collisions at\nthe lower pressures in the mesopause region (Gattinger et al., 2011a). To date, the most detailed analysis of the shape of the FeO of sky radiance data obtained from the Echelle Spectrograph and Imager (ESI) at the Keck II telescope on Mauna Kea, Hawaii\n75\n(20◦N) (Saran et al., 2011). The spectral range from 500 to 680 nm showed a structure with a peak at about 595 nm consistent\nwith laboratory data (West and Broida, 1975). A slight shift of these (and also the OSIRIS) data of about 5 nm towards longer\nwavelengths could be explained by a higher effective vibrational excitation due to the low frequency of quenching collisions at\nthe lower pressures in the mesopause region (Gattinger et al., 2011a). To date, the most detailed analysis of the shape of the FeO orange bands and their variability was reported by Unterguggenberger et al. Unterguggenberger et al. (2017) did not see clear contributions of the reaction At wavelengths above 900 nm, Sobolev (1978) provided estimates of about 9 R nm−1 at 927 nm and about 17 R nm−1 at\n1,061 nm based on 5 nights of spectroscopic data from Zvenigorod, Russia (57◦N). However, a flux of about 16 R nm−1\nat 821 nm from the same study is distinctly higher than the result of Noxon (1978) for a similar wavelength. On the other 369 to 872 nm. While the region around the FeO main peak (maximum of about 6 R nm−1) looks realistic, the steep rise at the\n105\nlongest wavelengths is obviously related to the low resolving power of only a few hundred. At wavelengths above 900 nm, Sobolev (1978) provided estimates of about 9 R nm−1 at 927 nm and about 17 R nm−1 at\n1,061 nm based on 5 nights of spectroscopic data from Zvenigorod, Russia (57◦N). However, a flux of about 16 R nm−1\nat 821 nm from the same study is distinctly higher than the result of Noxon (1978) for a similar wavelength. On the other hand, the Cerro Paranal sky model provides for about 20 R nm−1 at 1,062 nm. In the range between 1,032 and 1,775 nm, the\n110\ncontinuum model was coarsely derived from a small sample of 26 near-IR spectra from the relatively new medium-resolution\nX-shooter spectrograph (Noll et al., 2014), where the quality of the flux calibration and possible instrument-related continuum\ncontaminations were not yet known. In the set of considered wavelengths, the residual continuum (after subtraction of other sky\nradiance components) shows a minimum (for regions not affected by water vapour absorption) of about 9 R nm−1 at 1,238 nm hand, the Cerro Paranal sky model provides for about 20 R nm−1 at 1,062 nm. In the range between 1,032 and 1,775 nm, the\n110\ncontinuum model was coarsely derived from a small sample of 26 near-IR spectra from the relatively new medium-resolution\nX-shooter spectrograph (Noll et al., 2014), where the quality of the flux calibration and possible instrument-related continuum\ncontaminations were not yet known. In the set of considered wavelengths, the residual continuum (after subtraction of other sky\nradiance components) shows a minimum (for regions not affected by water vapour absorption) of about 9 R nm−1 at 1,238 nm and a maximum of about 87 R nm−1 at 1,521 nm. An increased flux level was also measured by Trinh et al. Unterguggenberger et al. (2017) did not see clear contributions of the reaction Unterguggenberger et al. (2017) did not see clear contributions of the reaction Unterguggenberger et al. (2017) did not see clear contributions of the reaction (R3) Ni + O3 →NiO∗+ O2 with a bluer spectrum (Burgard et al., 2006; Gattinger et al., 2011b), i.e. with an expected rise of the flux between 450 and\n90\n500 nm instead of around 550 nm as in the case of FeO. This is in contrast to the results for an average spectrum of the GLO-1\ninstrument on the Space Shuttle mission STS 53, where a ratio of the NiO and FeO intensities integrated between 350 and\n670 nm of 2.3 ± 0.2 was determined (Evans et al., 2011). However, the same study also investigated OSIRIS mean spectra of\nJune/July over a period of three years, which resulted in much smaller ratios of 0.3±0.1, 0.1±0.1, and 0.05±0.05 that better with a bluer spectrum (Burgard et al., 2006; Gattinger et al., 2011b), i.e. with an expected rise of the flux between 450 and\n90\n500 nm instead of around 550 nm as in the case of FeO. This is in contrast to the results for an average spectrum of the GLO-1\ninstrument on the Space Shuttle mission STS 53, where a ratio of the NiO and FeO intensities integrated between 350 and\n670 nm of 2.3 ± 0.2 was determined (Evans et al., 2011). However, the same study also investigated OSIRIS mean spectra of\nJune/July over a period of three years, which resulted in much smaller ratios of 0.3±0.1, 0.1±0.1, and 0.05±0.05 that better with a bluer spectrum (Burgard et al., 2006; Gattinger et al., 2011b), i.e. with an expected rise of the flux between 450 and\n90\n500 nm instead of around 550 nm as in the case of FeO. This is in contrast to the results for an average spectrum of the GLO-1\ninstrument on the Space Shuttle mission STS 53, where a ratio of the NiO and FeO intensities integrated between 350 and\n670 nm of 2.3 ± 0.2 was determined (Evans et al., 2011). However, the same study also investigated OSIRIS mean spectra of\nJune/July over a period of three years, which resulted in much smaller ratios of 0.3±0.1, 0.1±0.1, and 0.05±0.05 that better agree with Unterguggenberger et al. (2017). Evans et al. Unterguggenberger et al. (2017) did not see clear contributions of the reaction (2011) also fitted the NO2 contribution from Reaction R1 relative to\n95\nFeO and found ratios of 0.6, 0.2, and 0.0 with an uncertainty of 0.1. The correlation of these ratios with those for NiO and the\nextreme variation of the latter suggest large uncertainties with respect to the impact of NiO nightglow. At wavelengths slightly longer than 700 nm, early publications indicated a significant increase of the radiance (Broadfoot At wavelengths slightly longer than 700 nm, early publications indicated a significant increase of the radiance (Broadfoot\nand Kendall, 1968; Sternberg and Ingham, 1972; Gadsden and Marovich, 1973). However, the rocket-based measurement of and Kendall, 1968; Sternberg and Ingham, 1972; Gadsden and Marovich, 1973). However, the rocket-based measurement of\nMcDade et al. (1986) in Scotland (57◦N) only showed a moderate radiance of 5.6 R nm−1 at 714 nm and Noxon (1978)\n100\nmeasured an average of 7 R nm−1 at 857 nm based on 15 nights at the Fritz Peak Observatory in Colorado (44◦N). Low\nsignal-to-noise ratios and the increasing strength of molecular nightglow emission lines (OH and O2) made measurements\nquite challenging. The latter can also be seen in the shape of the nightglow continuum of the Cerro Paranal sky model (25◦S)\nderived by Noll et al. (2012), based on 874 spectra of the FORS 1 spectrograph covering a maximum wavelength range from McDade et al. (1986) in Scotland (57◦N) only showed a moderate radiance of 5.6 R nm−1 at 714 nm and Noxon (1978)\n100\nmeasured an average of 7 R nm−1 at 857 nm based on 15 nights at the Fritz Peak Observatory in Colorado (44◦N). Low\nsignal-to-noise ratios and the increasing strength of molecular nightglow emission lines (OH and O2) made measurements\nquite challenging. The latter can also be seen in the shape of the nightglow continuum of the Cerro Paranal sky model (25◦S)\nderived by Noll et al. (2012), based on 874 spectra of the FORS 1 spectrograph covering a maximum wavelength range from 369 to 872 nm. While the region around the FeO main peak (maximum of about 6 R nm−1) looks realistic, the steep rise at the\n105\nlongest wavelengths is obviously related to the low resolving power of only a few hundred. (2017), based on 3,662 spectra of the X-shooter\n80\nechelle spectrograph (Vernet et al., 2011) of the Very Large Telescope at Cerro Paranal in Chile (24.6◦S, 70.4◦W). Clear\nseasonal variations similar to those of the Na nightglow, which were analysed in the same study, were found. These variations\ncould be characterised by a combination of an annual and a semiannual oscillation (AO and SAO) with relative amplitudes\nof 17 and 27% and maxima in June/July and April/October, respectively. Strong nocturnal trends were not observed. The\nspectrum (after subtraction of other sky radiance components) appeared to have a stable structure. The main peak between 580\n85 orange bands and their variability was reported by Unterguggenberger et al. (2017), based on 3,662 spectra of the X-shooter\n80\nechelle spectrograph (Vernet et al., 2011) of the Very Large Telescope at Cerro Paranal in Chile (24.6◦S, 70.4◦W). Clear\nseasonal variations similar to those of the Na nightglow, which were analysed in the same study, were found. These variations\ncould be characterised by a combination of an annual and a semiannual oscillation (AO and SAO) with relative amplitudes\nof 17 and 27% and maxima in June/July and April/October, respectively. Strong nocturnal trends were not observed. The\nspectrum (after subtraction of other sky radiance components) appeared to have a stable structure. The main peak between 580\n85 orange bands and their variability was reported by Unterguggenberger et al. (2017), based on 3,662 spectra of the X-shooter\n80\nechelle spectrograph (Vernet et al., 2011) of the Very Large Telescope at Cerro Paranal in Chile (24.6◦S, 70.4◦W). Clear\nseasonal variations similar to those of the Na nightglow, which were analysed in the same study, were found. These variations\ncould be characterised by a combination of an annual and a semiannual oscillation (AO and SAO) with relative amplitudes\nof 17 and 27% and maxima in June/July and April/October, respectively. Strong nocturnal trends were not observed. The\nspectrum (after subtraction of other sky radiance components) appeared to have a stable structure. The main peak between 580\n85 3 3 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. and 610 nm with a mean intensity of 23.2 ± 1.1 R contributed 3.3 ± 0.8% to the total emission in the range between 500 and\n720 nm. and 610 nm with a mean intensity of 23.2 ± 1.1 R contributed 3.3 ± 0.8% to the total emission in the range between 500 and\n720 nm. (2015) also estimated that the\n125\npresence of weak OH emission lines in the window used by Maihara et al. (1993) would require a reduction of the radiance by\n65% resulting in about 11 R nm−1. range from 1,519 to 1,761 nm avoiding regions affected by strong emission lines. Oliva et al. (2015) also estimated that the\n125\npresence of weak OH emission lines in the window used by Maihara et al. (1993) would require a reduction of the radiance by\n65% resulting in about 11 R nm−1. The high uncertainties of the nightglow continuum in the near-IR made it difficult to find explanations for the origin of\nthe emission. The apparent rise of the continuum beyond 700 nm led to the assumption that this could be caused by another\nNO-related reaction (Gadsden and Marovich, 1973). As derived by Clough and Thrush (1967) in the laboratory, the reaction\n130 The high uncertainties of the nightglow continuum in the near-IR made it difficult to find explanations for the origin of\nthe emission. The apparent rise of the continuum beyond 700 nm led to the assumption that this could be caused by another\nNO-related reaction (Gadsden and Marovich, 1973). As derived by Clough and Thrush (1967) in the laboratory, the reaction\n130 The high uncertainties of the nightglow continuum in the near-IR made it difficult to find explanations for the origin of\nthe emission. The apparent rise of the continuum beyond 700 nm led to the assumption that this could be caused by another NO-related reaction (Gadsden and Marovich, 1973). As derived by Clough and Thrush (1967) in the laboratory, the reaction\n130\nNO + O3 →NO2 + O2 + hν\n(R4) NO + O3 →NO2 + O2 + hν\n(R4) (R4) would be able to produce a broad continuum with a maximum near 1,200 nm. Later, Kenner and Ogryzlo (1984) also investi-\ngated the reaction would be able to produce a broad continuum with a maximum near 1,200 nm. Later, Kenner and Ogryzlo (1984) also investi-\ngated the reaction NO + O∗\n3 →NO2 + O2 + hν (R5) involving excited O3 with an emission maximum near 800 nm. However, the increasing number of continuum measurements\n135\ndid not support a large contribution from these reactions. Finally, calculations by Semenov et al. Unterguggenberger et al. (2017) did not see clear contributions of the reaction (2013) with the\n115\nAnglo-Australian Telescope in Australia (31◦S) between 1,516 and 1,522 nm. For their sole continuum window, they obtained\n30 ± 6 R nm−1 based on 45 spectra with a resolving power of 2,400, where strong OH lines were suppressed by means of\nfibre Bragg gratings (Ellis et al., 2012). The data of the covered five nights also indicated a faster decrease of the continuum at\nthe beginning of the night than in the case of the OH lines. Maihara et al. (1993) already measured the range between 1,661 4 4 (2014b) suggested that a\nradiance maximum of about 15 R nm−1 for Reaction R1 would lead to emission maxima of about 5.4 R nm−1 for Reaction R4\nand about 0.3 R nm−1 for Reaction R5, i.e. the reactions of NO with O3 should only be minor contributions in the near-\nIR especially at low latitudes, where the NO2 air afterglow near 600 nm tends to be much weaker than given by Semenov involving excited O3 with an emission maximum near 800 nm. However, the increasing number of continuum measurements\n135\ndid not support a large contribution from these reactions. Finally, calculations by Semenov et al. (2014b) suggested that a\nradiance maximum of about 15 R nm−1 for Reaction R1 would lead to emission maxima of about 5.4 R nm−1 for Reaction R4\nand about 0.3 R nm−1 for Reaction R5, i.e. the reactions of NO with O3 should only be minor contributions in the near-\nIR especially at low latitudes, where the NO2 air afterglow near 600 nm tends to be much weaker than given by Semenov et al. (2014b). An alternative proposal for a source of continuum emission was provided by Bates (1993), who suggested\n140\nmetastable oxygen molecules that collide with ambient gas molecules and then form complexes that dissociate by allowed\nradiative transitions. However, there were no follow-up studies of this scenario. Concerning laboratory measurements, Bass\nand Benedict (1952) and West and Broida (1975) showed that FeO does not only produce the orange bands. Probably involving\ndifferent electronic transitions, pseudo-contiuum emission between 400 and 1,400 nm could be measured. It remains uncertain\nhow strong these additional bands could be under atmospheric conditions\n145 et al. (2014b). An alternative proposal for a source of continuum emission was provided by Bates (1993), who suggested\n140\nmetastable oxygen molecules that collide with ambient gas molecules and then form complexes that dissociate by allowed\nradiative transitions. However, there were no follow-up studies of this scenario. Concerning laboratory measurements, Bass\nand Benedict (1952) and West and Broida (1975) showed that FeO does not only produce the orange bands. Probably involving\ndifferent electronic transitions, pseudo-contiuum emission between 400 and 1,400 nm could be measured. It remains uncertain how strong these additional bands could be under atmospheric conditions. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. and 1,669 nm with a resolving power of 1,900 in one night at Mauna Kea (20◦N) and found 32 ± 8 R nm−1. A similar flux of\n120\n36±11 R nm−1 was obtained by Sullivan and Simcoe (2012) between 1,662 and 1,663 nm based on the median of 105 spectra\ntaken with a resolving power of 6,000 at Las Campanas in Chile (29◦S). However, the Cerro Paranal sky model provides here\nonly about 13 R nm−1. Moreover, 2 h of observations with the GIANO spectrograph at the island La Palma (Spain, 29◦N)\nwith the very high resolving power of 32,000 (Oliva et al., 2015) revealed a mean continuum level of about 16 R nm−1 in the and 1,669 nm with a resolving power of 1,900 in one night at Mauna Kea (20◦N) and found 32 ± 8 R nm−1. A similar flux of\n120\n36±11 R nm−1 was obtained by Sullivan and Simcoe (2012) between 1,662 and 1,663 nm based on the median of 105 spectra\ntaken with a resolving power of 6,000 at Las Campanas in Chile (29◦S). However, the Cerro Paranal sky model provides here\nonly about 13 R nm−1. Moreover, 2 h of observations with the GIANO spectrograph at the island La Palma (Spain, 29◦N)\nwith the very high resolving power of 32,000 (Oliva et al., 2015) revealed a mean continuum level of about 16 R nm−1 in the and 1,669 nm with a resolving power of 1,900 in one night at Mauna Kea (20◦N) and found 32 ± 8 R nm−1. A similar flux of\n120\n36±11 R nm−1 was obtained by Sullivan and Simcoe (2012) between 1,662 and 1,663 nm based on the median of 105 spectra\ntaken with a resolving power of 6,000 at Las Campanas in Chile (29◦S). However, the Cerro Paranal sky model provides here\nonly about 13 R nm−1. Moreover, 2 h of observations with the GIANO spectrograph at the island La Palma (Spain, 29◦N)\nwith the very high resolving power of 32,000 (Oliva et al., 2015) revealed a mean continuum level of about 16 R nm−1 in the y\ng\ng p\n(\n)\nrange from 1,519 to 1,761 nm avoiding regions affected by strong emission lines. Oliva et al. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. into different components, the seasonal and nocturnal variations of these components, the impact of the solar activity cycle,\nand an estimate of the effective emission heights. As this analysis revealed that it is necessary to introduce new nightglow\nemission processes, we also explored several possible mechanisms for these emissions by carrying out simulations with the\nWhole Atmosphere Community Climate Model (WACCM) (Sect. 4). Finally, we draw our conclusions in Sect. 5. 2.1\nData set For the UVB and VIS arms, more data of these stars and additional spectra of Feige 110, LTT 7987, and GD 71\n(Moehler et al., 2014) could be used due to the higher flux at shorter wavelengths and the weaker disturbing nightglow emission. the comparison of X-shooter-based spectra of spectrophotometric standard stars and the theoretically expected spectral energy\n170\ndistributions (Moehler et al., 2014). As discussed by Noll et al. (2022a), the NIR-arm spectra were calibrated by means of 10\nmaster response curves derived from data of the stars LTT 3218 and EG 274, which have the highest fluxes in that wavelength\nregime. For the UVB and VIS arms, more data of these stars and additional spectra of Feige 110, LTT 7987, and GD 71\n(Moehler et al., 2014) could be used due to the higher flux at shorter wavelengths and the weaker disturbing nightglow emission. the comparison of X-shooter-based spectra of spectrophotometric standard stars and the theoretically expected spectral energy\n170\ndistributions (Moehler et al., 2014). As discussed by Noll et al. (2022a), the NIR-arm spectra were calibrated by means of 10\nmaster response curves derived from data of the stars LTT 3218 and EG 274, which have the highest fluxes in that wavelength\nregime. For the UVB and VIS arms, more data of these stars and additional spectra of Feige 110, LTT 7987, and GD 71\n(Moehler et al., 2014) could be used due to the higher flux at shorter wavelengths and the weaker disturbing nightglow emission. As this increased the sample from 679 to 1,794 spectra and improved the star-dependent time coverage, there were enough data\n175\nto produce a series of 40 master response curves with a valid period of 3 months on average. This allowed us to better correct\nthe variability of the response, which tends to increase towards shorter wavelengths due to the larger impact of dirt on the\nmirrors. In the UVB arm at 370 nm, the individual response curves show a relative standard deviation of about 9.1%, whereas\nthis percentage is only about 3.5% at 1,700 nm. From the flux-calibrated standard star spectra, we obtain a residual variability of 3.6 and 1.7% for the given UVB- and NIR-related wavelengths. Uncertainties of about 2 to 3% are typical for most of the\n180\nrelevant wavelength range. 145\nAs there is obviously a lack of knowledge of the structure of the unresolved nightglow emission and its variability (especially\nbeyond the visual range), we studied this topic by means of a large sample of well-calibrated X-shooter spectra similar to those\nused by Unterguggenberger et al. (2017) for FeO-related research, i.e. mostly in the wavelength range between 560 and 720 nm. For the current study, we considered a much wider wavelength range from about 300 to 1,800 nm. Moreover, the extended data how strong these additional bands could be under atmospheric conditions. 145\nAs there is obviously a lack of knowledge of the structure of the unresolved nightglow emission and its variability (especially\nbeyond the visual range), we studied this topic by means of a large sample of well-calibrated X-shooter spectra similar to those\nused by Unterguggenberger et al. (2017) for FeO-related research, i.e. mostly in the wavelength range between 560 and 720 nm. For the current study, we considered a much wider wavelength range from about 300 to 1,800 nm. Moreover, the extended data how strong these additional bands could be under atmospheric conditions. 145\nAs there is obviously a lack of knowledge of the structure of the unresolved nightglow emission and its variability (especially\nbeyond the visual range), we studied this topic by means of a large sample of well-calibrated X-shooter spectra similar to those\nused by Unterguggenberger et al. (2017) for FeO-related research, i.e. mostly in the wavelength range between 560 and 720 nm. For the current study, we considered a much wider wavelength range from about 300 to 1,800 nm. Moreover, the extended data set covers 10 instead of 3.5 years, which allowed us to perform a more detailed variability analysis. The data processing\n150\nwas also improved (cf. Noll et al., 2022a). We discuss the data set, basic data processing, and extraction of the nightglow\n(pseudo-)continuum in Sect. 2. In Sect. 3, we then describe the derivation of a mean continuum spectrum, its decomposition set covers 10 instead of 3.5 years, which allowed us to perform a more detailed variability analysis. The data processing\n150\nwas also improved (cf. Noll et al., 2022a). We discuss the data set, basic data processing, and extraction of the nightglow\n(pseudo-)continuum in Sect. 2. In Sect. 3, we then describe the derivation of a mean continuum spectrum, its decomposition 5 5 2.1\nData set The X-shooter spectrograph (Vernet et al., 2011) covers the wide wavelength range between 300 and 2,480 nm with a resolv-\ning power between 3,200 and 18,400 depending on the arm (UVB: 300 to 560 nm, VIS: 550 to 1,020 nm, or NIR: 1,020 to\n160 2,480 nm) and the variable width of the entrance slit with a fixed projected length of 11′′. For standard slits with widths of 1.0′′\n(UVB), 0.9′′ (VIS), and 0.9′′ (NIR), the current nominal resolving power amounts to about 5,400, 8,900, and 5,600, respec-\ntively. The entire X-shooter data archive of the European Southern Observatory from the start in October 2009 until September\n2019 (i.e. 10 years of data) was considered for this study. The NIR-arm data have already been used for investigations focusing 2,480 nm) and the variable width of the entrance slit with a fixed projected length of 11′′. For standard slits with widths of 1.0′′\n(UVB), 0.9′′ (VIS), and 0.9′′ (NIR), the current nominal resolving power amounts to about 5,400, 8,900, and 5,600, respec-\ntively. The entire X-shooter data archive of the European Southern Observatory from the start in October 2009 until September\n2019 (i.e. 10 years of data) was considered for this study. The NIR-arm data have already been used for investigations focusing on OH emission lines (Noll et al., 2022a, 2023b). As described in these studies, the basic data processing was performed\n165\nwith version v2.6.8 of the official reduction pipeline (Modigliani et al., 2010) and pre-processed calibration data. The resulting\ntwo-dimensional (2D) wavelength-calibrated sky spectra were then reduced to one dimension (1D) by averaging along the slit\ndirection and adding possible sky remnants measured in the 2D astronomical object spectrum extracted by the pipeline. The flux calibration was performed by means of master response curves for different time periods, which we derived from l\np\ny\np\np\n,\nthe comparison of X-shooter-based spectra of spectrophotometric standard stars and the theoretically expected spectral energy\n170\ndistributions (Moehler et al., 2014). As discussed by Noll et al. (2022a), the NIR-arm spectra were calibrated by means of 10\nmaster response curves derived from data of the stars LTT 3218 and EG 274, which have the highest fluxes in that wavelength\nregime. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. Excluding very short exposures with less than 10 s and spectra with very wide slits, which are mainly used for the spec-\ntrophotometric standard stars, the final sample comprises about 56,000 UVB, 64,000 VIS, and 91,000 NIR spectra. Although\nthe three arms are usually operated in parallel, the numbers differ due to arm-dependent splitting of observations. Failed pro-\ncessing is another, albeit minor, issue. The exposure times can also be different. In general, the sample is highly inhomogeneous due to different instrumental set-ups, a wide range of exposure times up to 150 min, and different possible residuals of the re-\n90\nmoved astronomical targets. Hence, the selection of a high-quality sample for a specific research goal needs to be done very\ncarefully. 2.2\nExtraction of nightglow continuum For the measurement of the OH line intensities in the NIR arm by Noll et al. (2022a, 2023b), lines and underlying continuum\nwere separated by using percentile filters. For the present investigation of the nightglow continuum, we applied the same\n195\napproach to the other two arms (Fig. 1). As the density and strength of emission lines depends on the wavelength, we used\ndifferent combinations of percentile and window width in order to optimise the separation. Concerning the percentile, we\napplied a median filter in the UVB arm, a first quintile filter in the NIR arm, and stepwise transition between both limiting\npercentiles in the VIS arm. The window width for the major part of the spectral range was 0.008 times the central wavelength For the measurement of the OH line intensities in the NIR arm by Noll et al. (2022a, 2023b), lines and underlying continuum\nwere separated by using percentile filters. For the present investigation of the nightglow continuum, we applied the same\n195\napproach to the other two arms (Fig. 1). As the density and strength of emission lines depends on the wavelength, we used\ndifferent combinations of percentile and window width in order to optimise the separation. Concerning the percentile, we\napplied a median filter in the UVB arm, a first quintile filter in the NIR arm, and stepwise transition between both limiting\npercentiles in the VIS arm. The window width for the major part of the spectral range was 0.008 times the central wavelength (see also Noll et al., 2022a). This width was further modified primarily depending on the line density. In particular, extended\n200\nrelative widths were applied to wavelengths affected by emission bands of O2 (e.g., Noll et al., 2014, 2016) at 865 nm (0.02\ninstead of 0.008), 1,270 nm (0.04), and 1,580 nm (0.02). Nevertheless, remnants of these bands could not be fully avoided (see\nSect. 3.1). Compared to the measurement of lines, the continuum separation was performed after two preparatory steps. First, scattered moonlight, zodiacal light, scattered starlight, and thermal emission of the telescope were calculated using the Cerro Paranal\n205\nsky model (Noll et al., 2012; Jones et al., 2013) and subtracted from the X-shooter spectra (Fig. 1). Note that this is just a\nrough correction with relatively high systematic uncertainties, especially in the UVB arm when the Moon is up. 2.1\nData set A notable exception are wavelengths around 560 nm, which are especially affected by the dichroic\nbeam splitting (Vernet et al., 2011). There, the flux variations amount to about 4 to 5%. Finally, the absolute fluxes could show\nwavelength-dependent constant systematic offsets of a few per cent as a comparison of the results for the different standard\nstars indicate. We removed the differences by taking LTT 3218 as a reference. Hence, the absolute flux calibration depends on\nthe quality of the theoretical spectral energy distribution of this star (Moehler et al 2014)\n185 the quality of the theoretical spectral energy distribution of this star (Moehler et al., 2014). 185 6 2.2\nExtraction of nightglow continuum nightglow\nSeparated continuum\n600\n650\n700\n750\n800\n850\n900\n950\nWavelength [nm]\n0\n20\n40\n60\nRadiance [R nm\n1]\n(b)\n1050\n1100\n1150\n1200\n1250\n1300\n1350\nWavelength [nm]\n0\n50\n100\nRadiance [R nm\n1]\n(c)\n1400\n1450\n1500\n1550\n1600\n1650\n1700\n1750\nWavelength [nm]\n0\n200\n400\nRadiance [R nm\n1]\n(d)\nFigure 1. Extraction of nightglow continuum for an X-shooter example spectrum with an exposure time of 15 min and standard width of\nthe entrance slit for all three arms, i.e. UVB (a), VIS (b), and NIR (c and d). Wavelengths at the margins of the arm-related spectra and\nbeyond 1,790 nm, which are characterised by continuum data of low quality, are not shown. The original sky spectrum is marked by the cyan\n(but mostly covered by the red) curve with the green curve as a base line. The latter indicates the modelled contributions by zodiacal light,\nscattered starlight, and thermal emission of the telescope and instrument. The Moon was below the horizon. Hence, after the subtraction\nof these components, the cyan spectrum (limited by the dotted zero line) marks the nightglow emission. The red spectrum results from\na continuum-optimised correction of the atmospheric extinction, i.e. absorption and scattering. The largest changes compared to the cyan\ncurve are therefore related to wavelength ranges with strong absorption bands. Finally, the black solid curve shows the resulting nightglow\ncontinuum based on the application of percentile filters, where the percentile and the width depended on the wavelength range. 350\n400\n450\n500\n550\nWavelength [nm]\n0\n10\n20\nRadiance [R nm\n1]\nX-shooter, 2011-05-29, 00:27-00:42 LT\n(a)\nSubtracted model\nNightglow spectrum\nExtinction-corr. nightglow\nSeparated continuum\n0\n20\n40\n60\nRadiance [R nm\n1]\n(b) Subtracted model\nNightglow spectrum\nExtinction-corr. nightglow\nSeparated continuum 350\n400\n450\n500\n550\nWavelength [nm]\n0\n10\n20\nRadiance [R nm\n1]\nX-shooter, 2011-05-29, 00:27-00:42 LT\n(a)\nSubtracted model\nNightglow spectrum\nExtinction-corr. 2.2\nExtraction of nightglow continuum On the other\nhand, the sky radiance components related to direct or scattered light of sources from outside the atmosphere are relatively\nweak in the NIR arm. In particular, around 1,500 nm the nightglow clearly dominates. However, the situation deteriorates beyond 1,700 nm, where the non-zero emissivity of the telescope and instrumental optical components leads to a rising thermal\n210\ncontinuum depending on the ambient temperature. The second preparatory step was the correction of the atmospheric extinction\nby scattering and molecular absorption. The former was performed by means of the recipes given by Noll et al. (2012), which\nconsider the change of the reference Rayleigh and Mie scattering from the sky model depending on the wavelength and zenith\nangle. This correction is mostly relevant for the UVB arm, where flux changes by several per cent are frequent, whereas the effect is negligible in the NIR arm. Note that the nightglow brightness even tends to increase for spectra taken close to the\n215\nzenith due to Rayleigh scattering. Molecular absorption especially by water vapour but also by O3, O2, CO2, and CH4 reduces\nthe detected radiance. Here, we also used the sky model for a correction. The continuum transmission curve was calculated\nfor the given zenith distance, given amount of precipitable water vapour (PWV), and otherwise standard conditions at Cerro\nParanal. For PWV values, we used the results from Noll et al. (2022a) based on intensity ratios of OH lines in the NIR arm effect is negligible in the NIR arm. Note that the nightglow brightness even tends to increase for spectra taken close to the\n215\nzenith due to Rayleigh scattering. Molecular absorption especially by water vapour but also by O3, O2, CO2, and CH4 reduces\nthe detected radiance. Here, we also used the sky model for a correction. The continuum transmission curve was calculated\nfor the given zenith distance, given amount of precipitable water vapour (PWV), and otherwise standard conditions at Cerro\nParanal. For PWV values, we used the results from Noll et al. (2022a) based on intensity ratios of OH lines in the NIR arm 7 7 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 350\n400\n450\n500\n550\nWavelength [nm]\n0\n10\n20\nRadiance [R nm\n1]\nX-shooter, 2011-05-29, 00:27-00:42 LT\n(a)\nSubtracted model\nNightglow spectrum\nExtinction-corr. The validity of the correction is supported by the consistent increase of the\ncontinuum flux with increasing zenith angle in the whole wavelength regime for the optimised sample described in Sect. 3.1. After the subtraction of the line emission, the continuum spectra were corrected for the increase of the emission with\nincreasing zenith angle due to a longer geometric path through the emission layer. This van Rhijn effect (van Rhijn, 1921) was After the subtraction of the line emission, the continuum spectra were corrected for the increase of the emission with\nincreasing zenith angle due to a longer geometric path through the emission layer. This van Rhijn effect (van Rhijn, 1921) was increasing zenith angle due to a longer geometric path through the emission layer. This van Rhijn effect (van Rhijn, 1921) was\ncalculated assuming that the origin of the extracted continuum was in the mesopause region. The results only weakly depend\n230\non the reference height, which we set to 90 km. The validity of the correction is supported by the consistent increase of the\ncontinuum flux with increasing zenith angle in the whole wavelength regime for the optimised sample described in Sect. 3.1. calculated assuming that the origin of the extracted continuum was in the mesopause region. The results only weakly depend\n230\non the reference height, which we set to 90 km. The validity of the correction is supported by the consistent increase of the\ncontinuum flux with increasing zenith angle in the whole wavelength regime for the optimised sample described in Sect. 3.1. 2.2\nExtraction of nightglow continuum nightglow\nSeparated continuum\n600\n650\n700\n750\n800\n850\n900\n950\nWavelength [nm]\n0\n20\n40\n60\nRadiance [R nm\n1]\n(b)\n1050\n1100\n1150\n1200\n1250\n1300\n1350\nWavelength [nm]\n0\n50\n100\nRadiance [R nm\n1]\n(c)\n1400\n1450\n1500\n1550\n1600\n1650\n1700\n1750\nWavelength [nm]\n0\n200\n400\nRadiance [R nm\n1]\n(d) 600\n650\n700\n750\n800\n850\n900\n950\nWavelength [nm]\n0\nRad\n1050\n1100\n1150\n1200\n1250\n1300\n1350\nWavelength [nm]\n0\n50\n100\nRadiance [R nm\n1]\n(c)\n1400\n1450\n1500\n1550\n1600\n1650\n1700\n1750\nWavelength [nm]\n0\n200\n400\nRadiance [R nm\n1]\n(d) Figure 1. Extraction of nightglow continuum for an X-shooter example spectrum with an exposure time of 15 min and standard width of\nthe entrance slit for all three arms, i.e. UVB (a), VIS (b), and NIR (c and d). Wavelengths at the margins of the arm-related spectra and\nbeyond 1,790 nm, which are characterised by continuum data of low quality, are not shown. The original sky spectrum is marked by the cyan\n(but mostly covered by the red) curve with the green curve as a base line. The latter indicates the modelled contributions by zodiacal light,\nscattered starlight, and thermal emission of the telescope and instrument. The Moon was below the horizon. Hence, after the subtraction\nof these components, the cyan spectrum (limited by the dotted zero line) marks the nightglow emission. The red spectrum results from\na continuum-optimised correction of the atmospheric extinction, i.e. absorption and scattering. The largest changes compared to the cyan\ncurve are therefore related to wavelength ranges with strong absorption bands. Finally, the black solid curve shows the resulting nightglow\ncontinuum based on the application of percentile filters, where the percentile and the width depended on the wavelength range. 8 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. with very different absorption fractions. The applied relations were previously calibrated by means of local data from a Low\n220\nHumidity And Temperature PROfiler (L-HATPRO) microwave radiometer (Kerber et al., 2012). Note that the simple division\nof a transmission curve does not provide correct results for emission lines as their natural shape is not resolved. However, as\nwe are only interested in the continuum, we can neglect this issue here. As long as the extinction is relatively small, the results\nof the correction are reasonable. Nevertheless, nearly opaque wavelength regions, e.g. around 1,400 nm due to water vapour with very different absorption fractions. The applied relations were previously calibrated by means of local data from a Low\n220\nHumidity And Temperature PROfiler (L-HATPRO) microwave radiometer (Kerber et al., 2012). Note that the simple division\nof a transmission curve does not provide correct results for emission lines as their natural shape is not resolved. However, as\nwe are only interested in the continuum, we can neglect this issue here. As long as the extinction is relatively small, the results\nof the correction are reasonable. Nevertheless, nearly opaque wavelength regions, e.g. around 1,400 nm due to water vapour (Fig. 1), cannot be handled in this way. Even if the extinction was exactly known, small uncertainties in the flux calibration\n225\nand the modelled sky radiance components would make a realistic correction impossible. Hence, the problematic wavelength\nregions had to be excluded from the analysis. (Fig. 1), cannot be handled in this way. Even if the extinction was exactly known, small uncertainties in the flux calibration\n225\nand the modelled sky radiance components would make a realistic correction impossible. Hence, the problematic wavelength\nregions had to be excluded from the analysis. After the subtraction of the line emission, the continuum spectra were corrected for the increase of the emission with\nincreasing zenith angle due to a longer geometric path through the emission layer. This van Rhijn effect (van Rhijn, 1921) was\ncalculated assuming that the origin of the extracted continuum was in the mesopause region. The results only weakly depend\n230\non the reference height, which we set to 90 km. 3.1\nThe mean continuum For the derivation of the mean nightglow continuum and the variability of the continuum, we only selected the most reliable\n235\nspectra. As a basic requirement, data products of all three arms with similar temporal coverage had to be available. In the\ncase of arm-dependent differences in the number of exposures (e.g., by shorter exposure times in the NIR arm than in the\nother arms), the related spectra were averaged, weighted by the exposure time. The most important selection criterion was\nthe minimum exposure time, which was set to 10 min after several tests. The same cut was applied to the VIS-arm sample studied by Unterguggenberger et al. (2017). This criterion ensures that the signal-to-noise ratio is high. However, the most\n240\nimportant effect is the reduction of continuum contamination by bright astronomical sources, which tend to be observed with\nshort exposure times. In order to keep the non-nightglow sky radiance (and the uncertainties of its correction) low, observations\nwith the Moon above the horizon and an illumination of more than 50% were excluded. In the end, these criteria led to 12,723\ncombined spectra, which constitutes a substantial decrease compared to the full sample. In a second selection procedure, various features in the continuum probably belonging to the nightglow continuum, residuals of nightglow lines, or residuals\n245\nof astronomical objects (e.g. the Hα line), and the remaining underlying continuum were measured to identify spectra with\nsuspected artefactual contamination (Fig. 2). The resulting selection limits (e.g. non-negative continuum fluxes), which were\nvalidated by visual inspection of spectra with values close to the limits, led to a sample of 10,850 spectra. In a third step, the\nselection was further refined by the search for abrupt changes in the times series of the continuum flux due to the change of the astronomical target, which suggests a residual contamination. Also validated by visual inspection, this procedure resulted in a\n250\nfinal sample of 10,633 combined spectra. 9 400\n600\n800\n1000\n1200\n1400\n1600\n1800\nWavelength [nm]\n0\n20\n40\n60\n80\nRadiance [R nm\n1]\nMean X-shooter-based nightglow continuum\nMean continuum\nFeature at 595 nm indicating FeO\nFeature at 1,510 nm indicating X\nOther continuum features\nRanges for quality checks\nCerro Paranal sky model (Noll et al., 2012)\nFigure 2. Mean nightglow continuum spectrum at Cerro Paranal from 10,633 combined X-shooter spectra. Wavelength ranges with system-\natic issues were not considered. 3.1\nThe mean continuum in the UVB arm), various bands related to the electronic upper states c, A′, and A of O2 (e.g., Slanger\n5\nand Copeland, 2003; Cosby et al., 2006) are visible. As the bands are only partly resolved in the X-shooter spectra, the major\npart of the emission appears to be present as continuum. The mean of this data set is shown in Fig. 2. The spectrum has gaps in wavelength ranges at the margins of the arms\n(due to high systematic uncertainties) and strong atmospheric absorption (essentially by water vapour). The latter explains the\nspectral upper limit at 1,780 nm, which also avoids wavelengths with strong thermal emission of the telescope (Fig. 1). At spectral upper limit at 1,780 nm, which also avoids wavelengths with strong thermal emission of the telescope (Fig. 1). At\nshort wavelengths (i.e. in the UVB arm), various bands related to the electronic upper states c, A′, and A of O2 (e.g., Slanger\n255\nand Copeland, 2003; Cosby et al., 2006) are visible. As the bands are only partly resolved in the X-shooter spectra, the major\npart of the emission appears to be present as continuum. 255 short wavelengths (i.e. in the UVB arm), various bands related to the electronic upper states c, A′, and A of O2 (e.g., Slanger\n255\nand Copeland, 2003; Cosby et al., 2006) are visible. As the bands are only partly resolved in the X-shooter spectra, the major\npart of the emission appears to be present as continuum. The pronounced step in the continuum at about 555 nm and the peak at about 595 nm indicates the presence of emission\nfrom the FeO orange bands (West and Broida, 1975; Jenniskens et al., 2000; Burgard et al., 2006; Evans et al., 2010; Saran\net al., 2011; Gattinger et al., 2011a; Unterguggenberger et al., 2017). 3.1\nThe mean continuum The plot also shows the wavelength limits for different continuum features and their underlying continua\nthat were used for the sample selection and the scientific analysis. The features centred on 595 nm (red solid line) and 1,510 nm (blue solid\nline) are the main structures for the latter. Other reliable continuum features (or alternative definitions of their extent) are marked by green\ndashed lines. The ranges indicated by yellow dashed lines were only used for quality checks (including the detection of the contamination\nby astronomical objects). They do not mark real nightglow features. For a comparison, the open circles show the mean residual continuum\nof the Cerro Paranal sky model (Noll et al., 2012). 400\n600\n800\n1000\n1200\n1400\n1600\n1800\nWavelength [nm]\n0\n20\n40\n60\n80\nRadiance [R nm\n1]\nMean X-shooter-based nightglow continuum\nMean continuum\nFeature at 595 nm indicating FeO\nFeature at 1,510 nm indicating X\nOther continuum features\nRanges for quality checks\nCerro Paranal sky model (Noll et al., 2012) Mean X-shooter-based nightglow continuum Radiance [R nm\n1] Figure 2. Mean nightglow continuum spectrum at Cerro Paranal from 10,633 combined X-shooter spectra. Wavelength ranges with system-\natic issues were not considered. The plot also shows the wavelength limits for different continuum features and their underlying continua\nthat were used for the sample selection and the scientific analysis. The features centred on 595 nm (red solid line) and 1,510 nm (blue solid\nline) are the main structures for the latter. Other reliable continuum features (or alternative definitions of their extent) are marked by green\ndashed lines. The ranges indicated by yellow dashed lines were only used for quality checks (including the detection of the contamination\nby astronomical objects). They do not mark real nightglow features. For a comparison, the open circles show the mean residual continuum\nof the Cerro Paranal sky model (Noll et al., 2012). The mean of this data set is shown in Fig. 2. The spectrum has gaps in wavelength ranges at the margins of the arms\n(due to high systematic uncertainties) and strong atmospheric absorption (essentially by water vapour). The latter explains the\nspectral upper limit at 1,780 nm, which also avoids wavelengths with strong thermal emission of the telescope (Fig. 1). At\nshort wavelengths (i.e. 3.1\nThe mean continuum The location of the step does not support significant\n260\ncontributions by NiO (Burgard et al 2006; Evans et al 2011; Gattinger et al 2011b) at least from the bluest systems (B-X The pronounced step in the continuum at about 555 nm and the peak at about 595 nm indicates the presence of emission\nfrom the FeO orange bands (West and Broida, 1975; Jenniskens et al., 2000; Burgard et al., 2006; Evans et al., 2010; Saran The pronounced step in the continuum at about 555 nm and the peak at about 595 nm indicates the presence of emission\nfrom the FeO orange bands (West and Broida, 1975; Jenniskens et al., 2000; Burgard et al., 2006; Evans et al., 2010; Saran\net al., 2011; Gattinger et al., 2011a; Unterguggenberger et al., 2017). The location of the step does not support significant\n260\ncontributions by NiO (Burgard et al., 2006; Evans et al., 2011; Gattinger et al., 2011b), at least from the bluest systems (B-X\nand C-X), which would already lead to a rise of the flux below 500 nm. The shape of the continuum in this wavelength range et al., 2011; Gattinger et al., 2011a; Unterguggenberger et al., 2017). The location of the step does not support significant\n260\ncontributions by NiO (Burgard et al., 2006; Evans et al., 2011; Gattinger et al., 2011b), at least from the bluest systems (B-X\nand C-X), which would already lead to a rise of the flux below 500 nm. The shape of the continuum in this wavelength range 10 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. also excludes a significant contribution of NO2 air afterglow (Becker et al., 1972; Gattinger et al., 2009, 2010; Semenov et al.,\n2014a), which is not unexpected as it is usually only bright at high latitudes (see also Sect. 1). Longwards of the peak at 2014a), which is not unexpected as it is usually only bright at high latitudes (see also Sect. 1). Longwards of the peak at\n595 nm, the continuum shows only minor features in the VIS arm with a shallow local maximum at about 800 nm. There,\n265\nthe flux level is not higher than around the FeO main peak and lower than all published continuum measurements in this\nwavelength range (Sect. 1). At 857 nm, where Noxon (1978) obtained a relatively low value of about 7 R nm−1, our mean flux\nis about 5.0 R nm−1. For a comparison, Fig. 2 also shows the mean continuum from the Cerro Paranal sky model of Noll et al. (2012). While up to 770 nm the model continuum is usually only slightly brighter than our X-shooter-based measurements, the\n1i 595 nm, the continuum shows only minor features in the VIS arm with a shallow local maximum at about 800 nm. There,\n265\nthe flux level is not higher than around the FeO main peak and lower than all published continuum measurements in this\nwavelength range (Sect. 1). At 857 nm, where Noxon (1978) obtained a relatively low value of about 7 R nm−1, our mean flux\nis about 5.0 R nm−1. For a comparison, Fig. 2 also shows the mean continuum from the Cerro Paranal sky model of Noll et al. (2012). While up to 770 nm the model continuum is usually only slightly brighter than our X-shooter-based measurements, the subsequent three data points are above 10 R nm−1, which was most probably caused by the use of spectra without sufficient\n270\nresolving power. In the NIR arm, our mean continuum is highly structured. In part, these features are related to residuals of blends of strong\nOH and O2 nightglow emission lines. In particular, remnants of the O2 bands at 1,270 and 1,580 nm related to the transi-\ntions (a-X)(0-0) and (a-X)(0-1) can be identified (e.g., Rousselot et al., 2000; Noll et al., 2014, 2016). Nevertheless, these i\nfeatures only include a very small fraction of the total emissions, which were separated with particularly wide filter windows\n275\nbecause of the relatively high line density (see Sect. 2.2). The feature at about 1,080 nm is probably mainly related to the weak\nO2(a-X)(1-0) band (HITRAN database; Gordon et al., 2022), although the narrow maximum appears to be affected by OH\nresiduals. The most striking continuum feature is certainly the high and narrow peak at about 1,510 nm. It is not related to\nresiduals of strong lines. Hence, it is probably composed of a high number of weak lines, which cannot be resolved with the\nspectral resolving power of X-shooter. A feature with a similar origin appears to be the peak at about 1,620 nm. 280 features only include a very small fraction of the total emissions, which were separated with particularly wide filter windows\n275\nbecause of the relatively high line density (see Sect. 2.2). The feature at about 1,080 nm is probably mainly related to the weak\nO2(a-X)(1-0) band (HITRAN database; Gordon et al., 2022), although the narrow maximum appears to be affected by OH\nresiduals. The most striking continuum feature is certainly the high and narrow peak at about 1,510 nm. It is not related to\nresiduals of strong lines. Hence, it is probably composed of a high number of weak lines, which cannot be resolved with the spectral resolving power of X-shooter. A feature with a similar origin appears to be the peak at about 1,620 nm. 280\nBoth features do not appear to have been discussed previously in the airglow literature. Nevertheless, they are already\nindicated in the coarse residual continuum component of the Cerro Paranal sky model (Noll et al., 2012), which was also\nderived from X-shooter spectra (see Sect. 1). Despite the high uncertainties in the model due to premature processing of only a\nsmall number of spectra, the majority of the measurement points are relatively close to our mean continuum. Notable exceptions spectral resolving power of X-shooter. A feature with a similar origin appears to be the peak at about 1,620 nm. 280\nBoth features do not appear to have been discussed previously in the airglow literature. Nevertheless, they are already\nindicated in the coarse residual continuum component of the Cerro Paranal sky model (Noll et al., 2012), which was also\nderived from X-shooter spectra (see Sect. 1). https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 3.2\nContinuum decomposition Most of the nightglow continuum emission in Fig. 2 does not exhibit clear features. In order to better understand this emission\nand its relation to the identified features, we performed a decomposition of the continuum in different components by means of\nthe wavelength-dependent variability pattern derived from the 10,633 selected spectra. Our approach was to use non-negative\n300\nmatrix factorisation (NMF; e.g., Lee and Seung, 1999), which approximately decomposes an m × n matrix without negative\nentries into two matrices with sizes m × L and L × n also without negative elements. For this analysis, m, n, and L are the\nnumber of wavelength positions, number of spectra, and number of continuum components, respectively. As we sampled the\ncontinuum spectrum with a resolution of 0.5 nm and only included the ranges indicated in Fig. 2, m was 2,479. For L, a reasonable minimum is 4 since the features correlated with the FeO emission in the VIS arm, the unidentified features in the\n305\nNIR arm, the O2 features in the UVB arm, and the residuals related to the O2(a-X) bands in the NIR arm should be treated\nseparately. This definition of basic variability classes is supported by a check of the correlations between the variability of the\ndifferent measured features and continuum windows. In the following, we call these classes FeO(VIS), X(NIR), O2(UVB), and\nO2(NIR). The names refer to the radiating molecule and location (in terms of the X-shooter arm) of the main features of each reasonable minimum is 4 since the features correlated with the FeO emission in the VIS arm, the unidentified features in the\n305\nNIR arm, the O2 features in the UVB arm, and the residuals related to the O2(a-X) bands in the NIR arm should be treated\nseparately. This definition of basic variability classes is supported by a check of the correlations between the variability of the\ndifferent measured features and continuum windows. In the following, we call these classes FeO(VIS), X(NIR), O2(UVB), and\nO2(NIR). The names refer to the radiating molecule and location (in terms of the X-shooter arm) of the main features of each class. It is not excluded that emission of other molecules with a similar variability pattern can contribute. For the application of\n310\nthe NMF, negative fluxes have to be avoided. Despite the high uncertainties in the model due to premature processing of only a\nsmall number of spectra, the majority of the measurement points are relatively close to our mean continuum. Notable exceptions in the NIR-arm range are the fluxes at 1,628 nm (54 R nm−1) and below 1,180 nm. Apart from possible problems with the\n285\nseparation of lines and continuum, the offsets in the latter range suggest systematic issues with the data processing. Data points\nin ranges that we excluded from our analysis should be treated with caution. In Australia, Trinh et al. (2013) coincidentally\nperformed their continuum measurement of 30 ± 6 R nm−1 near the emission peak between 1,516 to 1,522 nm. We find a\nhigher flux of about 50 R nm−1 for the same range. On the other hand, the mean continuum between 1,661 and 1,669 nm in in the NIR-arm range are the fluxes at 1,628 nm (54 R nm−1) and below 1,180 nm. Apart from possible problems with the\n285\nseparation of lines and continuum, the offsets in the latter range suggest systematic issues with the data processing. Data points\nin ranges that we excluded from our analysis should be treated with caution. In Australia, Trinh et al. (2013) coincidentally\nperformed their continuum measurement of 30 ± 6 R nm−1 near the emission peak between 1,516 to 1,522 nm. We find a\nhigher flux of about 50 R nm−1 for the same range. On the other hand, the mean continuum between 1,661 and 1,669 nm in Fig. 2 amounts to about 14 R nm−1, which is clearly lower than the measurements of Maihara et al. (1993) and Sullivan and\n290\nSimcoe (2012). However, it is slightly brighter than a radiance of about 11 R nm−1 proposed by Oliva et al. (2015) after the\ncorrection of the flux of Maihara et al. (1993) for the contamination by faint OH lines. Compared with the mean continuum flux\nof about 16 R nm−1 obtained by Oliva et al. (2015) between 1,519 to 1,761 nm with high resolving power, our corresponding\nflux of about 22 R nm−1 is also slightly higher. Apart from differences in the instrumental properties and the data processing, such discrepancies could also be explained by the different observing sites and observing periods. Oliva et al. (2015) only used\n295\n2 h of data taken at La Palma (29◦N). 11 3.2\nContinuum decomposition We tested different numbers and sizes of the windows. In the end, we used 335 to 359 nm,\n320\n586 to 603 nm, 1,260 to 1,297 nm, and 1,497 to 1,521 nm, which maximised the weight of the main features of the four\nvariability classes. For finding the best scaling factors, we defined a cost function that uses the relative contributions of the\ncomponent spectra to the corresponding feature windows as defined above. A simple arithmetic mean of the four fractions\nfavoured solutions with particular large contributions of the two O2-related components. However, the latter can be seen as the resulting component spectra. We tested different numbers and sizes of the windows. In the end, we used 335 to 359 nm,\n320\n586 to 603 nm, 1,260 to 1,297 nm, and 1,497 to 1,521 nm, which maximised the weight of the main features of the four\nvariability classes. For finding the best scaling factors, we defined a cost function that uses the relative contributions of the\ncomponent spectra to the corresponding feature windows as defined above. A simple arithmetic mean of the four fractions\nfavoured solutions with particular large contributions of the two O2-related components. However, the latter can be seen as the resulting component spectra. We tested different numbers and sizes of the windows. In the end, we used 335 to 359 nm,\n320\n586 to 603 nm, 1,260 to 1,297 nm, and 1,497 to 1,521 nm, which maximised the weight of the main features of the four\nvariability classes. For finding the best scaling factors, we defined a cost function that uses the relative contributions of the\ncomponent spectra to the corresponding feature windows as defined above. A simple arithmetic mean of the four fractions\nfavoured solutions with particular large contributions of the two O2-related components. However, the latter can be seen as contaminations of the FeO(VIS) and X(NIR) components, which are obviously the primary targets of an investigation of the\n325\nnightglow continuum. Hence, we added the fractions with different weights, finally choosing 0.33 for FeO(VIS) and X(NIR)\nand 0.17 for O2(UVB) and O2(NIR). Although this procedure is certainly somewhat arbitrary, this choice had relatively little\nimpact on the structure of the solution. It was only important for easily finding a satisfactory solution. Tests showed that the\ncomponent spectra are relatively similar in wide regions of the parameter space. 3.2\nContinuum decomposition Because of the thorough sample selection procedure described above, the number\nof affected data points was very small and negative values could therefore be replaced by zeros without a significant change\nof the mean spectrum. Only between 1,031 and 1,037 nm (the shortest considered wavelengths in the NIR arm), the mean flux\nincreased by more than 1%. For the derivation of the mean spectrum of each component, we multiplied each of the resulting L component spectra consisting of m data points with the mean of the n corresponding scaling factors. 315\nIn the case of an application of the NMF with L = 4, it turned out that the O2 component in the UVB arm was not separated\nfrom the FeO-related features (similar to L = 3). This failure was probably caused by the weakness of the O2 features compared\nto the other identified continuum structures. As a consequence, we increased the weight of wavelength regions where a crucial\nfeature was relatively strong by the multiplication of suitable factors before the NMF and the division of the same factors in component spectra consisting of m data points with the mean of the n corresponding scaling factors. 315\nIn the case of an application of the NMF with L = 4, it turned out that the O2 component in the UVB arm was not separated\nfrom the FeO-related features (similar to L = 3). This failure was probably caused by the weakness of the O2 features compared\nto the other identified continuum structures. As a consequence, we increased the weight of wavelength regions where a crucial\nfeature was relatively strong by the multiplication of suitable factors before the NMF and the division of the same factors in component spectra consisting of m data points with the mean of the n corresponding scaling factors. 315\nIn the case of an application of the NMF with L = 4, it turned out that the O2 component in the UVB arm was not separated\nfrom the FeO-related features (similar to L = 3). This failure was probably caused by the weakness of the O2 features compared\nto the other identified continuum structures. As a consequence, we increased the weight of wavelength regions where a crucial\nfeature was relatively strong by the multiplication of suitable factors before the NMF and the division of the same factors in the resulting component spectra. While FeO(VIS) dominates almost the entire VIS arm, X(NIR) is the strongest mean component in the NIR characterised by relatively high values (limited to a maximum of 200), although the ratios of the four factors can clearly differ. 340\nThe resulting mean continuum components based on refined simplex search are shown in Fig. 3a. The FeO(VIS) and X(NIR)\ncomponents contribute to the corresponding feature windows with 83.0% and 95.1%, respectively. Other reasonable solutions\ntend to show slightly lower percentages. The dominance of these two components extends to wavelengths far away from the\nmain features. While FeO(VIS) dominates almost the entire VIS arm, X(NIR) is the strongest mean component in the NIR arm. Similar contributions appear to be present at the red end of the VIS arm. Below 500 nm, O2(UVB) becomes important\n345\nwith a dominating contribution of 60.5% in the reference range between 335 and 359 nm. Nevertheless, FeO(VIS) appears to\nstill contribute with non-negligible 25.0% there. In terms of the interpretation of this emission as based on FeO, this result is\nquestionable as Reaction R2 should only be exothermic by about 300 kJ mol−1 (Helmer and Plane, 1994), which corresponds\nto a minimum wavelength of about 400 nm. Although the separation of O2(UVB) and FeO(VIS) shortwards of the FeO main peak seems to be the most uncertain result of the NMF-based continuum decomposition, the FeO(VIS) contributions\n350\nin the UVB arm might support the presence of the blue FeO bands described by West and Broida (1975). With a higher\nsignificance, the high contribution of the component at about 800 nm might be explained by the presence of the FeO IR bands\n(Bass and Benedict, 1952; West and Broida, 1975), although the emission looks smoother than in the laboratory, where it\nwas not produced by Reaction R2. According to the analysis of Gattinger et al. (2011a), the emission of the FeO orange main peak seems to be the most uncertain result of the NMF-based continuum decomposition, the FeO(VIS) contributions\n350\nin the UVB arm might support the presence of the blue FeO bands described by West and Broida (1975). With a higher\nsignificance, the high contribution of the component at about 800 nm might be explained by the presence of the FeO IR bands\n(Bass and Benedict, 1952; West and Broida, 1975), although the emission looks smoother than in the laboratory, where it\nwas not produced by Reaction R2. 3.2\nContinuum decomposition On the other hand, small changes in the scaling factors can lead to a very different regime of solutions. 330 12 12 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. For finding minima of the cost function, we applied a simplicial homology global optimisation (SHGO; Endres et al., 2018)\nalgorithm in the “sobol” mode with 512 sampling points and a limitation of the scaling factors between 1 and 200. The resulting\nlist of local minima for L = 4 suggests an uncertainty in the contribution fractions of several per cent for the windows in the\nUVB and VIS arm and close to 1% for the two windows in the NIR arm. Eventually, we fine-tuned the most promising solution with scaling factors of about 139, 96, 68, and 65 (listed with increasing central wavelength of the feature window) by starting\n335\nan unconstrained simplex search algorithm (Nelder and Mead, 1965) with the given values as initial parameters. The resulting\nfactors were about 1291, 865, 638, and 597, which differ from the initial values only by a nearly constant factor. This points\nto a degeneracy of solutions, related to the fact that the values are much higher than 1, i.e. the NMF results appear to be\nmostly determined by the narrow feature windows. All reasonable local minima found by SHGO in the parameter space are with scaling factors of about 139, 96, 68, and 65 (listed with increasing central wavelength of the feature window) by starting\n335\nan unconstrained simplex search algorithm (Nelder and Mead, 1965) with the given values as initial parameters. The resulting\nfactors were about 1291, 865, 638, and 597, which differ from the initial values only by a nearly constant factor. This points\nto a degeneracy of solutions, related to the fact that the values are much higher than 1, i.e. the NMF results appear to be\nmostly determined by the narrow feature windows. All reasonable local minima found by SHGO in the parameter space are characterised by relatively high values (limited to a maximum of 200), although the ratios of the four factors can clearly differ. 340\nThe resulting mean continuum components based on refined simplex search are shown in Fig. 3a. The FeO(VIS) and X(NIR)\ncomponents contribute to the corresponding feature windows with 83.0% and 95.1%, respectively. Other reasonable solutions\ntend to show slightly lower percentages. The dominance of these two components extends to wavelengths far away from the\nmain features. A survey of the metal-related chemistry in the mesopause region turned out\nthat another abundant Fe-containing reservoir species (Plane, 2003; Feng et al., 2013; Plane et al., 2015) could be a possible\n365 that another abundant Fe-containing reservoir species (Plane, 2003; Feng et al., 2013; Plane et al., 2015) could be a possible\n365 13 0\n20\n40\n60\n80\nRadiance [R nm\n1]\n(a)\n(a)\n(a)\n(a)\n(a)\nNMF decomposition of X-shooter-based nightglow continuum\nMean\nX(NIR)\nFeO(VIS)\nO2(NIR)\nO2(UVB)\n400\n600\n800\n1000\n1200\n1400\n1600\n1800\nWavelength [nm]\n0\n20\nRadiance [R nm\n1]\n(b)\n5 components\n(b)\n5 components\n(b)\n5 components\n(b)\n5 components\n(b)\n5 components\nFigure 3. Decomposition of mean nightglow continuum spectrum at Cerro Paranal (black curve) into (a) four and (b) five components by\nnon-negative matrix factorisation of the selected 10,633 X-shooter spectra. The details of the procedure are discussed in Sect. 3.2. The\nf\ni\nt\nl b ll d X(NIR) F O(VIS) O (NIR)\nd O (UVB)\nhi h i di\nt\nth\nitti\nl\nl (if k\n)\nd\nhttps://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 0\n20\n40\n60\n80\nRadiance [R nm\n1]\n(a)\n(a)\n(a)\n(a)\n(a)\nNMF decomposition of X-shooter-based nightglow continuum\nMean\nX(NIR)\nFeO(VIS)\nO2(NIR)\nO2(UVB)\n400\n600\n800\n1000\n1200\n1400\n1600\n1800\nWavelength [nm]\n0\n20\nRadiance [R nm\n1]\n(b)\n5 components\n(b)\n5 components\n(b)\n5 components\n(b)\n5 components\n(b)\n5 components 0\n20\n40\n60\n80\nRadiance [R nm\n1]\n(a)\n(a)\n(a)\n(a)\n(a)\nNMF decomposition of X-shooter-based nightglow continuum\nMean\nX(NIR)\nFeO(VIS)\nO2(NIR)\nO2(UVB)\n400\n600\n800\n1000\n1200\n1400\n1600\n1800\nWavelength [nm]\n0\n20\nRadiance [R nm\n1]\n(b)\n5 components\n(b)\n5 components\n(b)\n5 components\n(b)\n5 components\n(b)\n5 components\nFigure 3. Decomposition of mean nightglow continuum spectrum at Cerro Paranal (black curve) into (a) four and (b) five components by\nnon-negative matrix factorisation of the selected 10,633 X-shooter spectra. The details of the procedure are discussed in Sect. 3.2. The\nfour main components are labelled X(NIR), FeO(VIS), O2(NIR), and O2(UVB), which indicates the emitting molecule (if known) and\nthe X-shooter arm with the dominating contribution. The fifth component in (b) appears to mainly consist of residuals of strong nightglow\nemission lines. NMF decomposition of X-shooter-based nightglow continuum Figure 3. According to the analysis of Gattinger et al. (2011a), the emission of the FeO orange bands is also less structured in the mesopause region than in the laboratory due to a wider distribution of the vibrational\n355\npopulations. Moreover, it is possible that residuals of other emissions in the X-shooter continuum spectra led to an excessive\nremoval of small-scale features. The direct measurement of the broad feature between 745 and 855 nm (Fig. 2) at least shows\nthat the strength of this structure is well correlated with the peak at 595 nm. The measurements in the laboratory found FeO\nemission up to 1,400 nm. The FeO(VIS) spectrum appears to show a similar extension. However, the uncertainties of the minor contributions in the NIR arm compared to X(NIR) are large. 360\nThe FeO(VIS) component could partly be produced by other metal-bearing molecules if their emission showed a similar\nemission pattern. As already discussed in Sect. 3.1, NiO would be a candidate but the shape of the continuum between 500 and\n600 nm does not seem to allow a major contribution. We searched for other possible molecules that could produce a pseudo-\ncontinuum in the investigated wavelength regime. A survey of the metal-related chemistry in the mesopause region turned out\nthat another ab ndant F containing reser oir species (Plane 2003; Feng et al 2013; Plane et al 2015) co ld be a possible\n365 contributions in the NIR arm compared to X(NIR) are large. 360\nThe FeO(VIS) component could partly be produced by other metal-bearing molecules if their emission showed a similar\nemission pattern. As already discussed in Sect. 3.1, NiO would be a candidate but the shape of the continuum between 500 and\n600 nm does not seem to allow a major contribution. We searched for other possible molecules that could produce a pseudo-\ncontinuum in the investigated wavelength regime. p\ng\np g\ny\ng\ny\ng\nmodification appears to mostly affect O2(NIR) by essentially reducing it to the wavelengths of the two strong O2 bands. The\nrest is mostly described by the additional component, which seems to be sensitive to any other line residuals (e.g. from OH). 380\nNevertheless, the version with L = 4 is considered as the reference as it is more robust with respect to the important FeO(VIS)\nand X(NIR) components, which are slightly weakened in the case of L = 5. Tests with even larger numbers of components\nonly showed a higher complexity without improving the understanding of the nightglow continuum. rest is mostly described by the additional component, which seems to be sensitive to any other line residuals (e.g. from OH). 380\nNevertheless, the version with L = 4 is considered as the reference as it is more robust with respect to the important FeO(VIS)\nand X(NIR) components, which are slightly weakened in the case of L = 5. Tests with even larger numbers of components\nonly showed a higher complexity without improving the understanding of the nightglow continuum. Table 1. Wavelength positions of HO2 emission bands between 1,000 and 1,800 nm observed in the laboratory in comparison to the\nX-shooter-based X(NIR) spectrum Upper statea\nLower statea\nPeakb\nBand originc\nPresence in X(NIR)\n(nm)\n(nm)\n2A′(002)\n2A′′(000)\n1,130\n1,130\nnot measured (gap)\n2A′(001)\n2A′′(000)\n1,270\n1,257\nmoderate strength\n2A′(002)\n2A′′(001)\n(1,290)\n1,280\npossible but blended\n2A′(000)\n2A′′(000)\n1,430\n1,423\nnot measured (gap)\n2A′(001)\n2A′′(001)\n(1,480)\n1,446\nnot clear (partly in gap)\n2A′′(200)\n2A′′(000)\n1,510\n1,505\nvery strong\n2A′(000)\n2A′′(001)\n1,690\n1,670\nno clear feature\n2A′(001)\n2A′′(002)\n1,730\nweak feature a electronic and vibrational (v1v2v3) levels b as given by Becker et al. (1974) for low-resolution data (unresolved bands with calculated\nwavelengths in parentheses) c as measured by Becker et al. (1978) and/or Tuckett et al. (1979) at medium/high resolution If there is only one chemical process that produces the X(NIR) spectrum, the reaction tha If there is only one chemical process that produces the X(NIR) spectrum, the reaction that produces the excited states needs\nto be sufficiently exothermic to explain the derived emission at least between about 900 and 1,800 nm. The solution might\n385\nbe a molecule like OFeOH, where the variability pattern could also be quite different from the FeO emission variations. Decomposition of mean nightglow continuum spectrum at Cerro Paranal (black curve) into (a) fo Figure 3. Decomposition of mean nightglow continuum spectrum at Cerro Paranal (black curve) into (a) four and (b) five components by\ni\ni\nf\ni\ni\nf h\nl\nd\n6\nh\nh\nd\nil\nf h\nd\ndi\nd i\nh Figure 3. Decomposition of mean nightglow continuum spectrum at Cerro Paranal (black curve) into (a) four and (b) five components by non-negative matrix factorisation of the selected 10,633 X-shooter spectra. The details of the procedure are discussed in Sect. 3.2. The\nfour main components are labelled X(NIR), FeO(VIS), O2(NIR), and O2(UVB), which indicates the emitting molecule (if known) and\nthe X-shooter arm with the dominating contribution. The fifth component in (b) appears to mainly consist of residuals of strong nightglow\nemission lines. candidate. Unfortunately, chemiluminescence spectra of these molecules do not appear to exist. Nevertheless, inspection of the\nenergetics of the relevant chemical reactions only left the reaction FeOH + O3 →OFeOH∗+ O2\n(R6) (R6) as sufficiently exothermic with up to 339 kJ mol−1 (Sect. 4.1), i.e. almost the entire wavelength range in Fig. 3 could be\ncovered. We further discuss the possible role of OFeOH emission based on modelling results in Sect. 4.2. as sufficiently exothermic with up to 339 kJ mol−1 (Sect. 4.1), i.e. almost the entire wavelength range in Fig. 3 could be covered. We further discuss the possible role of OFeOH emission based on modelling results in Sect. 4.2. 370\nIn Fig. 3, the residuals of the strong O2 bands at 1,270 and 1,580 nm are clearly identified by their dedicated component\nO2(NIR). Nevertheless, the contributions are always smaller than those related to X(NIR). In the range between 1,260 and\n1,297 nm, the fraction is only 27.9%. This percentage might be underestimated since X(NIR) shows a similar bump, which 14 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. implies that the separation of both components is incomplete. On the other hand, the structure in the mean spectrum is broader implies that the separation of both components is incomplete. On the other hand, the structure in the mean spectrum is broader implies that the separation of both components is incomplete. On the other hand, the structure in the mean spectrum is broader\nthan the O2(a-X)(0-0) band (especially at longer wavelengths), which could suggest that at least a shallow X-related feature is\n375\npresent in this wavelength range. The weak features at about 1,080 and 1,735 nm are not strong enough to be classified with\nthe NMF approach. than the O2(a-X)(0-0) band (especially at longer wavelengths), which could suggest that at least a shallow X-related feature is\n375\npresent in this wavelength range. The weak features at about 1,080 and 1,735 nm are not strong enough to be classified with\nthe NMF approach. We checked how the components change if L is set to 5 (keeping everything else untouched). As indicated by Fig. 3b, this\nmodification appears to mostly affect O2(NIR) by essentially reducing it to the wavelengths of the two strong O2 bands. The\nrest is mostly described by the additional component which seems to be sensitive to any other line residuals (e g from OH)\n380 than the O2(a-X)(0-0) band (especially at longer wavelengths), which could suggest that at least a shallow X-related feature is\n375\npresent in this wavelength range. The weak features at about 1,080 and 1,735 nm are not strong enough to be classified with\nthe NMF approach. We checked how the components change if L is set to 5 (keeping everything else untouched). As indicated by Fig. 3b, this\nmodification appears to mostly affect O2(NIR) by essentially reducing it to the wavelengths of the two strong O2 bands. The\nrest is mostly described by the additional component, which seems to be sensitive to any other line residuals (e.g. from OH). 380\nNevertheless, the version with L = 4 is considered as the reference as it is more robust with respect to the important FeO(VIS)\nand X(NIR) components, which are slightly weakened in the case of L = 5. Tests with even larger numbers of components\nonly showed a higher complexity without improving the understanding of the nightglow continuum. It is\nalso possible that the radiating molecule does not include a metal atom if it is sufficiently complex to be suitable to produce\na pseudo-continuum in a wide wavelength range. Here, hydroperoxyl (HO2) appears to be the best candidate. HO2 is often\ndiscussed in terms of mesospheric chemistry with respect to the reaction If there is only one chemical process that produces the X(NIR) spectrum, the reaction that produces the excited states needs\nto be sufficiently exothermic to explain the derived emission at least between about 900 and 1,800 nm. The solution might\n385\nbe a molecule like OFeOH, where the variability pattern could also be quite different from the FeO emission variations. It is\nalso possible that the radiating molecule does not include a metal atom if it is sufficiently complex to be suitable to produce\na pseudo-continuum in a wide wavelength range. Here, hydroperoxyl (HO2) appears to be the best candidate. HO2 is often\ndiscussed in terms of mesospheric chemistry with respect to the reaction HO2 + O →OH∗+ O2,\n(R7)\n390 (R7) HO2 + O →OH∗+ O2,\n390 15 (R8)\n400\nThe resulting bands up to 1,800 nm listed by Becker et al. (1974) are given by Table 1. The peak wavelengths are complimented\nby band origins derived from higher-resolution data of Becker et al. (1978) and Tuckett et al. (1979). In some cases, the provided\nwavelengths were obtained from the combination of the molecular data of both publications. Most bands in Table 1 are related\nto transitions between the lowest-lying excited electronic state 2A′ and the ground state 2A′′ that involve the v3 O−OH (R8) The resulting bands up to 1,800 nm listed by Becker et al. (1974) are given by Table 1. The peak wavelengths are complimented\nby band origins derived from higher-resolution data of Becker et al. (1978) and Tuckett et al. (1979). In some cases, the provided\nwavelengths were obtained from the combination of the molecular data of both publications. Most bands in Table 1 are related\nto transitions between the lowest-lying excited electronic state 2A′ and the ground state 2A′′ that involve the v3 O−OH stretching vibration of both levels. Interestingly, the excitation energies of 2A′(001) and O2(a1∆g) are almost identical. As a\n405\nconsequence, the resulting near-resonant energy transfer produces the HO2 emission feature near 1,270 nm. This is appealing\nas this would explain our NMF results in this wavelength region. The strongest band in the experiments cannot be checked as\nwavelengths around 1,430 nm corresponding to the (000-000) band were excluded in our analysis due to the strong absorption\nby atmospheric water vapour (see Fig. 1). However, the most promising argument for HO2 as X is the only purely vibrational stretching vibration of both levels. Interestingly, the excitation energies of 2A′(001) and O2(a1∆g) are almost identical. As a\n405\nconsequence, the resulting near-resonant energy transfer produces the HO2 emission feature near 1,270 nm. This is appealing\nas this would explain our NMF results in this wavelength region. The strongest band in the experiments cannot be checked as\nwavelengths around 1,430 nm corresponding to the (000-000) band were excluded in our analysis due to the strong absorption\nby atmospheric water vapour (see Fig. 1). However, the most promising argument for HO2 as X is the only purely vibrational band in the list. The (200-000) transition that involves the OO−H stretching mode peaks near 1,500 and 1,510 nm (e.g.,\n410\nHunziker and Wendt, 1974). The second maximum clearly agrees with the peak of our X(NIR) main feature. The invisibility\nof the first maximum might be caused by systematic uncertainties in the continuum separation near the Q branch of OH(3-1)\n(Fig. 1) combined with a less pronounced dip at the band origin in the nightglow spectrum. Other bands of Table 1 that can be checked should peak near 1,690 and 1,730 nm. While we see a possible weak feature in band in the list. The (200-000) transition that involves the OO−H stretching mode peaks near 1,500 and 1,510 nm (e.g.,\n410\nHunziker and Wendt, 1974). The second maximum clearly agrees with the peak of our X(NIR) main feature. The invisibility\nof the first maximum might be caused by systematic uncertainties in the continuum separation near the Q branch of OH(3-1)\n(Fig. 1) combined with a less pronounced dip at the band origin in the nightglow spectrum. Other bands of Table 1 that can be checked should peak near 1,690 and 1,730 nm. While we see a possible weak feature in band in the list. The (200-000) transition that involves the OO−H stretching mode peaks near 1,500 and 1,510 nm (e.g.,\n410\nHunziker and Wendt, 1974). The second maximum clearly agrees with the peak of our X(NIR) main feature. The invisibility\nof the first maximum might be caused by systematic uncertainties in the continuum separation near the Q branch of OH(3-1)\n(Fig. 1) combined with a less pronounced dip at the band origin in the nightglow spectrum. Other bands of Table 1 that can be checked should peak near 1,690 and 1,730 nm. While we see a possible weak feature in Other bands of Table 1 that can be checked should peak near 1,690 and 1,730 nm. While we see a possible weak feature in\nthe X-shooter spectrum in the latter case, there is no clear structure near 1,690 nm. This result is not necessarily an argument\n415\nagainst HO2 as the vibronic (000-001) band was much weaker than the (001-000) band near 1,270 nm in the experiment of\nFink and Ramsay (1997). A more crucial issue could be the missing evidence for a strong feature near 1,620 nm (Fig. 3) in\nthe laboratory. If HO2 is indeed the correct emitter (i.e. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. which is an alternative production mechanism for vibrationally-excited OH (e.g., Makhlouf et al., 1995; Xu et al., 2012; Panka\net al., 2021). The latest results of Panka et al. (2021) suggest that this pathway contributes significantly to the concentration of\nOH in the lower mesopause region around 80 km, although the resulting vibrational level distribution remains uncertain. The\nabundance of HO2 in the mesosphere has been observed from the ground (Clancy et al., 1994; Sandor and Clancy, 1998) and\nfrom space (Pickett et al., 2008; Baron et al., 2009; Kreyling et al., 2013; Millán et al., 2015) based on individual lines in the\n395\nmicrowave range. While the highest daytime densities tend to be between 75 and 80 km, the weaker nighttime maxima were\nobserved between 80 and 90 km at low latitudes, with the highest altitudes before sunrise (Kreyling et al., 2013). The near-IR\nspectrum of HO2 has been widely investigated in the laboratory (e.g., Hunziker and Wendt, 1974; Becker et al., 1974, 1978;\nTuckett et al 1979; Holstein et al 1983; Fink and Ramsay 1997) Emission was mainly produced by the reaction which is an alternative production mechanism for vibrationally-excited OH (e.g., Makhlouf et al., 1995; Xu et al., 2012; Panka\net al., 2021). The latest results of Panka et al. (2021) suggest that this pathway contributes significantly to the concentration of\nOH in the lower mesopause region around 80 km, although the resulting vibrational level distribution remains uncertain. The\nabundance of HO2 in the mesosphere has been observed from the ground (Clancy et al., 1994; Sandor and Clancy, 1998) and from space (Pickett et al., 2008; Baron et al., 2009; Kreyling et al., 2013; Millán et al., 2015) based on individual lines in the\n395\nmicrowave range. While the highest daytime densities tend to be between 75 and 80 km, the weaker nighttime maxima were\nobserved between 80 and 90 km at low latitudes, with the highest altitudes before sunrise (Kreyling et al., 2013). The near-IR\nspectrum of HO2 has been widely investigated in the laboratory (e.g., Hunziker and Wendt, 1974; Becker et al., 1974, 1978;\nTuckett et al., 1979; Holstein et al., 1983; Fink and Ramsay, 1997). Emission was mainly produced by the reaction 395 HO2 + O2(a1∆g) →HO∗\n2 + O2. In the view of the remaining uncertainties, we do not replace X by\na specific molecule in the following. First, further properties of the unknown emission have to be discussed. with M being an arbitrary collision partner (i.e. N2 and O2 in the mesosphere). Here, the spectrum showed a weaker dependence\nof the intensities of the vibronic (00v′\n3-000) bands on v′\n3 than in the case of collisions with O2(a1∆g). The recombination of H and O2 is also sufficiently exothermic to produce emission potentially as far as about 600 nm. Other chemical reactions\n435\nproducing excited HO2 could also play a role (see Sect. 4). In the view of the remaining uncertainties, we do not replace X by\na specific molecule in the following. First, further properties of the unknown emission have to be discussed. H and O2 is also sufficiently exothermic to produce emission potentially as far as about 600 nm. Other chemical reactions\n435\nproducing excited HO2 could also play a role (see Sect. 4). In the view of the remaining uncertainties, we do not replace X by\na specific molecule in the following. First, further properties of the unknown emission have to be discussed. species X), then the population distributions need to be very different\nin the mesopause region, where the pressure is much lower (3 orders of magnitude) compared to the experiment of Fink and the X-shooter spectrum in the latter case, there is no clear structure near 1,690 nm. This result is not necessarily an argument\n415\nagainst HO2 as the vibronic (000-001) band was much weaker than the (001-000) band near 1,270 nm in the experiment of\nFink and Ramsay (1997). A more crucial issue could be the missing evidence for a strong feature near 1,620 nm (Fig. 3) in\nthe laboratory. If HO2 is indeed the correct emitter (i.e. species X), then the population distributions need to be very different\nin the mesopause region, where the pressure is much lower (3 orders of magnitude) compared to the experiment of Fink and Ramsay (1997). The spectrum of the latter study that covers the wavelength range between 1,200 and 1,800 nm indicates\n420\nweaker emission at 1,510 nm than at 1,270 nm. This could point to an increased importance of purely vibrational transitions\nin the nightglow. Various additional bands might be visible, which could explain the 1,620 nm feature and the relatively high\nemission over a wide wavelength range. In contrast to X(NIR), the laboratory spectrum does not show significant emission\nbetween 1,320 and 1,350 nm as well as below 1,200 nm. The latter is certainly related to Reaction R8, which limits the Ramsay (1997). The spectrum of the latter study that covers the wavelength range between 1,200 and 1,800 nm indicates\n420\nweaker emission at 1,510 nm than at 1,270 nm. This could point to an increased importance of purely vibrational transitions\nin the nightglow. Various additional bands might be visible, which could explain the 1,620 nm feature and the relatively high\nemission over a wide wavelength range. In contrast to X(NIR), the laboratory spectrum does not show significant emission\nbetween 1,320 and 1,350 nm as well as below 1,200 nm. The latter is certainly related to Reaction R8, which limits the 16 3.3\nIntensity climatologies The NMF also returns the scaling factors of each component for each input spectrum. The resulting variability patterns are the The NMF also returns the scaling factors of each component for each input spectrum. The resulting variability patterns are the\nbasis for the separation of the components shown in Fig. 3. Before we discuss the variations of the different components, we\n440\nfocus on a comparison of the variability of the two most interesting, directly measured features. These are the peaks at about\n595 and 1,510 nm, which are closely related to the NMF components FeO(VIS) and X(NIR). The two peaks were measured by\nthe interpolation between 584 and 607 nm as well as 1,485 and 1,550 nm for the derivation of the underlying continuum (see\nFig. 2). The latter feature was then subtracted from the integrated flux in the same wavelength intervals in order to obtain the feature intensity. Unterguggenberger et al. (2017) already measured the FeO main peak with a similar approach using 3,662\n445\nX-shooter VIS-arm spectra taken between October 2009 and March 2013. The continuum spectra were extracted slightly\ndifferently by interpolating between wavelengths significantly affected by line emission and leaving the rest of the spectrum\nuntouched. As that method causes noisier spectra than in the case of the percentile filters used in this study (45th percentile and\na relative width of 0.008 of the filter at the peak-related wavelengths), the positions for the interpolation on both sides of the peak were adapted to the corresponding flux minima in each spectrum. Unterguggenberger et al. (2017) reported a reference\n450\nintensity of the FeO main peak based on a harmonic model of the seasonal variations of 23.2 ± 1.1 R. Our sample shows a\nmean of 27.0 R, which indicates good agreement under consideration of the differences in the sample and the measurement\napproaches. For comparison, the mean of the peak at 1,510 nm amounts to 1,371 R, i.e. it is about 51 times stronger. The ratio\nwould even be higher for wider feature limits around 1,510 nm that would be reasonable for the X(NIR) component in Fig. 3. For example, the interval between 1,472 and 1,591 nm would lead to 1,983 R, i.e. a rise by a factor of 1.45 compared to the\n455\ntighter interval defined in Fig. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. emission below 1,270 nm. Nevertheless, Becker et al. (1974) could measure the vibronic (002-000) band near 1,130 nm (in\n425\na gap in Fig. 3) and explained it by already vibrationally excited HO2 as reaction partner. In a similar way, Holstein et al. (1983) assumed that two subsequent collisions with O2(a1∆g) are required to excite this band and additional weaker bands in\nthe range between 800 and 1,100 nm that involve 2A′ v3 states between 3 and 6. The lower wavelength limit for the observed\nemission would be consistent with the shape of the X(NIR) component. Importantly, Holstein et al. (1983) found that chemiluminescence can also be generated at wavelengths longer than 800 nm\n430\nby the main atmospheric production process of HO2 (e.g., Makhlouf et al., 1995)\nH + O2 + M →HO∗\n2 + M\n(R9) Importantly, Holstein et al. (1983) found that chemiluminescence can also be generated at wavelengths longer than 800 nm\n430\nby the main atmospheric production process of HO2 (e.g., Makhlouf et al., 1995) Importantly, Holstein et al. (1983) found that chemiluminescence can also be generated at wavelengths longer than 800 nm\n430\nby the main atmospheric production process of HO2 (e.g., Makhlouf et al., 1995)\nH + O2 + M →HO∗\n2 + M\n(R9)\nwith M being an arbitrary collision partner (i.e. N2 and O2 in the mesosphere). Here, the spectrum showed a weaker dependence\nof the intensities of the vibronic (00v′ 000) bands on v′ than in the case of collisions with O (a1∆) The recombination of Importantly, Holstein et al. (1983) found that chemiluminescence can also be generated at wavelengths longer than 800 nm\n430\nby the main atmospheric production process of HO2 (e.g., Makhlouf et al., 1995) H + O2 + M →HO∗\n2 + M (R9) with M being an arbitrary collision partner (i.e. N2 and O2 in the mesosphere). Here, the spectrum showed a weaker dependence\nof the intensities of the vibronic (00v′\n3-000) bands on v′\n3 than in the case of collisions with O2(a1∆g). The recombination of\nH and O2 is also sufficiently exothermic to produce emission potentially as far as about 600 nm. Other chemical reactions\n435\nproducing excited HO2 could also play a role (see Sect. 4). 3.3\nIntensity climatologies 2, which we preferred for the measurements in the full spectra in order to avoid the varying\ncontamination by the residuals of the O2(a-X)(0-1) band. For example, the interval between 1,472 and 1,591 nm would lead to 1,983 R, i.e. a rise by a factor of 1.45 compared to the\n455\ntighter interval defined in Fig. 2, which we preferred for the measurements in the full spectra in order to avoid the varying\ncontamination by the residuals of the O2(a-X)(0-1) band. 17 Hence, the uncertainties in the\nregression results do not critically affect the quality of the climatologies. The effective intensities of the two features derived from the final climatologies are 27.3 and 1,386 R, which are very close to the mean values for the individual measurements. 480\nIn order to better understand the quality of the climatologies, we also calculated them for a minimum sample size of 400 for\neach grid point as this was the limit used by Noll et al. (2023b) for a total number of bins of up to 19,570. As the NMF-related\ndata set is distinctly smaller, this choice causes smoother climatologies due to the necessary increase of the selection radius. Between 20:00 and 04:00 LT, its mean is 1.43. On the other hand, larger subsamples can reduce the statistical uncertainties. Despite these differences, the intensity climatologies look very similar. The correlation coefficients for the comparison of the\n485\nversions with lower limits of 200 and 400 bins (only considering grid cells with a nighttime fraction higher than 20%) for the\ntwo features are higher than +0.98. The impact is larger on the climatologies of the solar cycle effect (SCE), i.e. the relations\nbetween the investigated property and the solar radio flux. For this comparison, the coefficients are +0.86 and +0.80 for the\nfeatures at 595 and 1,510 nm. Despite these differences, the intensity climatologies look very similar. The correlation coefficients for the comparison of the\n485\nversions with lower limits of 200 and 400 bins (only considering grid cells with a nighttime fraction higher than 20%) for the\ntwo features are higher than +0.98. The impact is larger on the climatologies of the solar cycle effect (SCE), i.e. the relations\nbetween the investigated property and the solar radio flux. For this comparison, the coefficients are +0.86 and +0.80 for the\nfeatures at 595 and 1,510 nm. As another test, we investigated the impact of the increase of the total sample size on the climatologies. For the two contin-\n490\nuum features, the data selection can be extended as it is only required that they can be measured satisfactorily irrespective of the\nsituation at other wavelengths. As the feature at 1,510 nm is relatively bright, the number of suitable spectra could be increased As another test, we investigated the impact of the increase of the total sample size on the climatologies. In the case of fewer bins, the radius was increased in steps of 0.1 until the criterion was fulfilled. As this issue\nmainly concerns grid points close to twilight, the temporal resolution at the margins of the climatologies is lower than in the\nmiddle of the night. In the LT range between 20:00 and 04:00, the mean relative radius was 1.08. The final climatologies are\nprovided relative to the effective mean, for which the grid point data were averaged weighted by the night contribution (defined points were derived from the average of all bins within a radius of 1 h and 1 average month at least if a minimum of 200 bins\n470\nwere selected. In the case of fewer bins, the radius was increased in steps of 0.1 until the criterion was fulfilled. As this issue\nmainly concerns grid points close to twilight, the temporal resolution at the margins of the climatologies is lower than in the\nmiddle of the night. In the LT range between 20:00 and 04:00, the mean relative radius was 1.08. The final climatologies are\nprovided relative to the effective mean, for which the grid point data were averaged weighted by the night contribution (defined by a minimum solar zenith angle of 100◦) of the surrounding cells. Moreover, they are given for a reference solar radio flux at\n475\n10.7 cm (Tapping, 2013) averaged for 27 days of 100 solar flux units (sfu). This approach compensates for values between 88\nand 110 sfu (with an effective value of 99 sfu) for the different grid points assuming a linear relation between the investigated\nproperty and the solar radio flux. The corrections are of the order of a few per cent at most. Hence, the uncertainties in the\nregression results do not critically affect the quality of the climatologies. The effective intensities of the two features derived by a minimum solar zenith angle of 100◦) of the surrounding cells. Moreover, they are given for a reference solar radio flux at\n475\n10.7 cm (Tapping, 2013) averaged for 27 days of 100 solar flux units (sfu). This approach compensates for values between 88\nand 110 sfu (with an effective value of 99 sfu) for the different grid points assuming a linear relation between the investigated\nproperty and the solar radio flux. The corrections are of the order of a few per cent at most. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. For the study of the variability, we calculated 2D climatologies of local time and day of year in the same way as described\nin Noll et al. (2023b) for OH emission lines. The measured OH line intensities were not directly used (see also Noll et al.,\n2022a). Instead, the time series were divided into bins of 30 min and intensities of data with central times in a certain bin were\n460\naveraged weighted by the exposure time. The reason for this approach was the wide range of exposure times down to 10 s,\nwhich could lead to a high weight of a large number of short low-quality exposures (partly clustered in time) in the resulting\nclimatologies if the individual measurements were used. For the NMF-related sample of this study, this is less problematic\nas only exposures with a minimum length of 10 min were considered. Nevertheless, we also performed this preparatory step for the sake of consistency. Noll et al. (2023b) only selected those bins with a minimum filling of 10 min. This criterion is\n465\nautomatically fulfilled by the NMF-related sample. However, this approach led to a reduction of the number of data points\nfrom 10,633 to 7,971 (75.0%). The climatologies consist of a grid of the centres of the 12 hours between 18:00 and 06:00 LT (the local time related to\nthe solar mean time at Cerro Paranal) and the centres of the 12 months in days of year. The reference values for these grid for the sake of consistency. Noll et al. (2023b) only selected those bins with a minimum filling of 10 min. This criterion is\n465\nautomatically fulfilled by the NMF-related sample. However, this approach led to a reduction of the number of data points\nfrom 10,633 to 7,971 (75.0%). The climatologies consist of a grid of the centres of the 12 hours between 18:00 and 06:00 LT (the local time related to\nthe solar mean time at Cerro Paranal) and the centres of the 12 months in days of year The reference values for these grid points were derived from the average of all bins within a radius of 1 h and 1 average month at least if a minimum of 200 bins\n470\nwere selected. The result correlates very well with the climatology of the small sample with high resolution. The correlation coefficient r is +0.996. On the other hand, the SCE-related climatology indicates an r of only +0.38, probably\npartly caused by a vanished outlier in the case of the large sample. Hence, the details of the SCE with respect to LT and day of\nyear remain uncertain, whereas the intensity-related results appear to be quite robust. to 45,037 including data with minimum exposure times of 3 min (instead of 10 min). This sample resulted in 17,482 30 min\nbins (an increase by a factor of 2.2), which allowed us to calculate an intensity climatology with a minimum subsample size\nof 400 without resolution losses. The result correlates very well with the climatology of the small sample with high resolution. to 45,037 including data with minimum exposure times of 3 min (instead of 10 min). This sample resulted in 17,482 30 min\nbins (an increase by a factor of 2.2), which allowed us to calculate an intensity climatology with a minimum subsample size (\ny\n),\ny\ngy\np\nof 400 without resolution losses. The result correlates very well with the climatology of the small sample with high resolution. 95\nThe correlation coefficient r is +0.996. On the other hand, the SCE-related climatology indicates an r of only +0.38, probably\npartly caused by a vanished outlier in the case of the large sample. Hence, the details of the SCE with respect to LT and day of\nyear remain uncertain, whereas the intensity-related results appear to be quite robust. of 400 without resolution losses. The result correlates very well with the climatology of the small sample with high resolution. 495\nThe correlation coefficient r is +0.996. On the other hand, the SCE-related climatology indicates an r of only +0.38, probably\npartly caused by a vanished outlier in the case of the large sample. Hence, the details of the SCE with respect to LT and day of\nyear remain uncertain, whereas the intensity-related results appear to be quite robust. In the case of the FeO main peak, the extension of the data set was more limited as the feature is distinctly fainter and In the case of the FeO main peak, the extension of the data set was more limited as the feature is distinctly fainter and\nthe sample of VIS-arm spectra is smaller. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nFeature at 595 nm indicating FeO\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nFeature at 1,510 nm indicating X\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\nRelative intensity\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\n1.6\n1.7\n1.8\nRelative intensity\nFigure 4. Climatologies of intensity relative to the mean as a function of local time (step size of 1 h) and day of year (step size of 1 month)\nfor the continuum features at (a) 595 nm and (b) 1,510 nm based on a sample of 7,971 30 min bins and a minimum subsample size of 200. The climatologies are representative of a solar radio flux of 100 sfu. The coloured contours are limited to times with solar zenith angles larger\nthan 100◦. Lighter colours at the left and right margins mark repeated parts of the variability pattern. 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nFeature at 595 nm indicating FeO\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\nRelative intensity 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nFeature at 1,510 nm indicating X\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\n1.6\n1.7\n1.8\nRelative intensity Figure 4. Climatologies of intensity relative to the mean as a function of local time (step size of 1 h) and day of year (step size of 1 month)\nfor the continuum features at (a) 595 nm and (b) 1,510 nm based on a sample of 7,971 30 min bins and a minimum subsample size of 200. The climatologies are representative of a solar radio flux of 100 sfu. The coloured contours are limited to times with solar zenith angles larger\nthan 100◦. Lighter colours at the left and right margins mark repeated parts of the variability pattern. to 45,037 including data with minimum exposure times of 3 min (instead of 10 min). This sample resulted in 17,482 30 min\nbins (an increase by a factor of 2.2), which allowed us to calculate an intensity climatology with a minimum subsample size\nof 400 without resolution losses. For the two contin-\n490\nuum features, the data selection can be extended as it is only required that they can be measured satisfactorily irrespective of the\nsituation at other wavelengths. As the feature at 1,510 nm is relatively bright, the number of suitable spectra could be increased 18 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. Finally, we selected 22,322 intensity measurements with a minimum exposure time\n500\nof 5 min, which were converted into 12,785 bins corresponding to an increase of the sample size by a factor of 1.6. The\nclimatology was then also calculated using a minimum subsample size of 400. The resulting intensity variations show a high\nsimilarity with those of the small sample as an r of +0.986 indicates. Nevertheless, there appears to be an issue with the large\nsample with respect to the effective intensity of the climatology, which turned out to be 11.5% higher than in the case of the the sample of VIS-arm spectra is smaller. Finally, we selected 22,322 intensity measurements with a minimum exposure time\n500\nof 5 min, which were converted into 12,785 bins corresponding to an increase of the sample size by a factor of 1.6. The\nclimatology was then also calculated using a minimum subsample size of 400. The resulting intensity variations show a high\nsimilarity with those of the small sample as an r of +0.986 indicates. Nevertheless, there appears to be an issue with the large\nsample with respect to the effective intensity of the climatology, which turned out to be 11.5% higher than in the case of the small sample. The effective intensity of the 1,510 nm feature only increased by 2.3%. This points to a significant contamination\n505\nby remnants especially of astronomical objects, suggesting that a relaxation of the selection criteria is problematic for the\n595 nm feature. Interestingly, the correlation coefficient for the SCE and the 595 nm feature is +0.76, i.e. it is higher than for\nthe NIR-arm feature. This could be related to a smoother climatology without clear outliers. 19 the chemical set-up appears to be different between\nday and night. Examples of such cases are OH emission especially below 84 km (Marsh et al., 2006; Noll et al., 2023b) due to\ncessation of O2 photolysis, and O2(a-X) emission (Noll et al., 2016) due to the cessation of O3 photolysis. Interestingly, Trinh\net al. (2013) previously reported a decrease of the continuum between 1,516 and 1,522 nm in the first half of the night based on in all months of the year. Only in the middle of the year in the morning, a plateau appears to be reached. This pattern points\n530\nto a loss of the excited radiating molecules with the start of the night, i.e. the chemical set-up appears to be different between\nday and night. Examples of such cases are OH emission especially below 84 km (Marsh et al., 2006; Noll et al., 2023b) due to\ncessation of O2 photolysis, and O2(a-X) emission (Noll et al., 2016) due to the cessation of O3 photolysis. Interestingly, Trinh\net al. (2013) previously reported a decrease of the continuum between 1,516 and 1,522 nm in the first half of the night based on in all months of the year. Only in the middle of the year in the morning, a plateau appears to be reached. This pattern points\n530\nto a loss of the excited radiating molecules with the start of the night, i.e. the chemical set-up appears to be different between\nday and night. Examples of such cases are OH emission especially below 84 km (Marsh et al., 2006; Noll et al., 2023b) due to\ncessation of O2 photolysis, and O2(a-X) emission (Noll et al., 2016) due to the cessation of O3 photolysis. Interestingly, Trinh\net al. (2013) previously reported a decrease of the continuum between 1,516 and 1,522 nm in the first half of the night based on spectra from the Anglo-Australian Telescope (31◦S) taken during five nights in September 2011 (see Sect. 1). The decrease in\n535\nthe evening appeared to be slightly faster than in the case of the Q branch of OH(3-1). This is consistent with our results from\na comparison with the corresponding OH line climatologies from Noll et al. (2023b), which indicated an about 15% higher\nintensity reduction between 19:30 and 21:30 LT for the continuum peak on average. The changes do not exceed 10 to 20% of the mean value in most parts of the\nclimatology. On average, there is a shallow minimum in the middle of the night. The month-dependent nocturnal variations instrument onboard the Thermosphere Ionosphere Mesosphere Energetics Dynamics (TIMED) satellite (Russell et al., 1999)\n520\nfor Cerro Paranal at 89 km analysed by Noll et al. (2019). Unterguggenberger et al. (2017) also investigated the average\nnocturnal patterns in the different seasons and found only weak changes without clear trend. With the larger sample of this\nstudy, these observations can be confirmed. The changes do not exceed 10 to 20% of the mean value in most parts of the\nclimatology. On average, there is a shallow minimum in the middle of the night. The month-dependent nocturnal variations could be related to the impact of tides. The corresponding features are visible more clearly in the O number density at about\n525\n89 km (Noll et al., 2019) and OH emissions especially of lines with relatively high rotational quantum number (Noll et al.,\n2023b), which are not particularly affected by the rapid nocturnal loss of daytime-produced O close to 80 km. The 2D climatology of the continuum feature at 1,510 nm in Fig. 4b is very different from the pattern observed for the\nstructure at 595 nm. There is a striking decrease of the intensity by a factor of 2 to 3 from the beginning to the end of the night could be related to the impact of tides. The corresponding features are visible more clearly in the O number density at about\n525\n89 km (Noll et al., 2019) and OH emissions especially of lines with relatively high rotational quantum number (Noll et al.,\n2023b), which are not particularly affected by the rapid nocturnal loss of daytime-produced O close to 80 km. The 2D climatology of the continuum feature at 1,510 nm in Fig. 4b is very different from the pattern observed for the\nstructure at 595 nm. There is a striking decrease of the intensity by a factor of 2 to 3 from the beginning to the end of the night in all months of the year. Only in the middle of the year in the morning, a plateau appears to be reached. This pattern points\n530\nto a loss of the excited radiating molecules with the start of the night, i.e. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. As illustrated by the previous discussion, the 2D climatologies of the relative intensity variations of the 595 and 1,510 nm\nfeatures can be considered as robust. For the NMF-related sample and a minimum subsample size of 200, these climatologies\n510\nare shown in Fig. 4. The variations of the FeO emission peak in (a) are mainly characterised by a semiannual oscillation (SAO)\nwith maxima in April/May (nightly averaged relative intensity of 1.40) and October (1.17) and minima in January (0.61) and\nJuly/August (0.86). The higher intensities for the maxima and minima in April/May and July/August also indicate an annual\noscillation (AO) with a maximum in austral autumn/winter. This result is in good agreement with the harmonic fits of the smaller X-shooter data set of Unterguggenberger et al. (2017) (see Sect. 1), which only included spectra until March 2013. 515\nWACCM simulations (Feng et al., 2013) suggest that the AO is mainly driven by the Fe concentration, which depends on the\nmeteoric injection rate (maximum in March/April) and subsequent chemical reactions, whereas the SAO is mainly linked to\nthe intra-annual variations of the other FeO-producing reactant, i.e. O3. The concentration maxima of the latter shortly after\nthe equinoxes can also be seen in data of the Sounding of the Atmosphere using Broadband Emission Radiometry (SABER) smaller X-shooter data set of Unterguggenberger et al. (2017) (see Sect. 1), which only included spectra until March 2013. 515\nWACCM simulations (Feng et al., 2013) suggest that the AO is mainly driven by the Fe concentration, which depends on the\nmeteoric injection rate (maximum in March/April) and subsequent chemical reactions, whereas the SAO is mainly linked to\nthe intra-annual variations of the other FeO-producing reactant, i.e. O3. The concentration maxima of the latter shortly after\nthe equinoxes can also be seen in data of the Sounding of the Atmosphere using Broadband Emission Radiometry (SABER) instrument onboard the Thermosphere Ionosphere Mesosphere Energetics Dynamics (TIMED) satellite (Russell et al., 1999)\n520\nfor Cerro Paranal at 89 km analysed by Noll et al. (2019). Unterguggenberger et al. (2017) also investigated the average\nnocturnal patterns in the different seasons and found only weak changes without clear trend. With the larger sample of this\nstudy, these observations can be confirmed. The seasonal variations of the 1,510 nm\nfeature show a main maximum in January (nightly averaged relative intensity of 1.59), a secondary maximum in July/August spectra from the Anglo-Australian Telescope (31◦S) taken during five nights in September 2011 (see Sect. 1). The decrease in\n535\nthe evening appeared to be slightly faster than in the case of the Q branch of OH(3-1). This is consistent with our results from\na comparison with the corresponding OH line climatologies from Noll et al. (2023b), which indicated an about 15% higher\nintensity reduction between 19:30 and 21:30 LT for the continuum peak on average. The seasonal variations of the 1,510 nm\nfeature show a main maximum in January (nightly averaged relative intensity of 1.59), a secondary maximum in July/August (1.02), and minima in April (0.77) and October (0.84). This behaviour is almost the exact opposite of the seasonal variations\n540\nof the FeO main peak. The correlation coefficient for the monthly mean values is −0.90. This anticorrelation does not seem to\nsupport a strong impact of O3 in the production of emitter X. This can be an issue for OFeOH as produced by Reaction R6. On the other hand, the seasonal variability of the 1,510 nm emission is reminiscent of the one expected for atomic hydrogen (1.02), and minima in April (0.77) and October (0.84). This behaviour is almost the exact opposite of the seasonal variations\n540\nof the FeO main peak. The correlation coefficient for the monthly mean values is −0.90. This anticorrelation does not seem to\nsupport a strong impact of O3 in the production of emitter X. This can be an issue for OFeOH as produced by Reaction R6. On the other hand, the seasonal variability of the 1,510 nm emission is reminiscent of the one expected for atomic hydrogen 20 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nNMF comp. 1 indicating X(NIR)\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nNMF comp. 2 indicating FeO(VIS)\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(c)\nNMF comp. 3 indicating O2(NIR)\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(d)\nNMF comp. 4 indicating O2(UVB)\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\n1.6\n1.7\n1.8\n1.9\nRelative scaling factor\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\n1.6\n1.7\nRelative scaling factor\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\n1.6\n1.7\n1.8\n1.9\n2.0\nRelative scaling factor\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\nRelative scaling factor\nFigure 5. Climatologies of the scaling factors of the four continuum components X(NIR) (a), FeO(VIS) (b), O2(NIR) (c), and O2(UVB)\n(d) from non-negative matrix factorisation shown in Fig. 3a. Consistent with Fig. 4, the climatologies are also based on a sample of 7,971\n30 min bins and a minimum subsample size of 200. 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nNMF comp. 1 indicating X(NIR)\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\n1.6\n1.7\n1.8\n1.9\nRelative scaling factor 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nNMF comp. 2 indicating FeO(VIS)\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\n1.6\n1.7\nRelative scaling factor Local time [h] Local time [h] 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(c)\nNMF comp. 3 indicating O2(NIR)\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\n1.6\n1.7\n1.8\n1.9\n2.0\nRelative scaling factor 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(d)\nNMF comp. 4 indicating O2(UVB)\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\nRelative scaling factor NMF comp. 3 indicating O2(NIR) NMF comp. 4 indicating O2(UVB) Local time [h] Figure 5. Climatologies of the scaling factors of the four continuum components X(NIR) (a), FeO(VIS) (b), O2(NIR) (c), and O2(UVB)\n(d) from non-negative matrix factorisation shown in Fig. 3a. Consistent with Fig. 4, the climatologies are also based on a sample of 7,971\n30 min bins and a minimum subsample size of 200. (H) (Mlynczak et al., 2014), which could be an argument for the participation of H in the production of the radiating molecule. Interestingly, this is fulfilled by the HO2 production process given in Reaction R9. Based on our WACCM simulations, we\n5\ndiscuss this topic in Sect. 4.2 in more detail. Interestingly, this is fulfilled by the HO2 production process given in Reaction R9. The decrease of the intensity with increasing LT might complicate the dynamical separation\nof O2(NIR) and X(NIR), which could contribute to the uncertainties around the O2(a-X)(0-0) band at 1,270 nm in Fig. 3. The correlation of the FeO(VIS) component and the 595 nm peak is weaker (+0.926). The\n560\nmain difference in the 2D climatologies is a lower intensity for the NMF component in the evening compared to the morning\n(Fig. 5b). This might be caused by the decreasing nocturnal trend in the stronger X(NIR) component, which partly overlaps\nwith FeO(VIS). Thus, the NMF obviously led to more different climatologies than the direct feature measurements showed. The separation of the two O2-related components probably succeeded due to a relatively weak SAO in the climatologies The separation of the two O2 related components probably succeeded due to a relatively weak SAO in the climatologies\n(panels (c) and (d) of Fig. 5). The climatological patterns are more reminiscent of the case for O (Noll et al., 2019) with\n565\ntidal features that are also visible in OH intensity climatologies (Noll et al., 2023b). This similarity is reasonable as the\nnocturnal production process of these bands is probably related to O recombination (e.g., Slanger and Copeland, 2003) as\nwell as collisions of O2 with excited oxygen atoms in the case of the near-IR emissions (Kalogerakis, 2019). Nevertheless,\nthe correlation coefficient for O2(UVB) and O2(NIR) is −0.22. The largest discrepancy is present in the evening, when the (panels (c) and (d) of Fig. 5). The climatological patterns are more reminiscent of the case for O (Noll et al., 2019) with\n565\ntidal features that are also visible in OH intensity climatologies (Noll et al., 2023b). This similarity is reasonable as the\nnocturnal production process of these bands is probably related to O recombination (e.g., Slanger and Copeland, 2003) as\nwell as collisions of O2 with excited oxygen atoms in the case of the near-IR emissions (Kalogerakis, 2019). Nevertheless,\nthe correlation coefficient for O2(UVB) and O2(NIR) is −0.22. The largest discrepancy is present in the evening, when the intensity of O2(NIR) steeply decreases due to the decay of the O2(a1∆g) population produced by O3 photolysis at daytime\n570\n(e.g., Noll et al., 2016), whereas the intensity of O2(UVB) that is related to electronic states without such a pathway is relatively\nlow. Interestingly, the excess O2(a1∆g) population seems to show an SAO which is consistent with a dependence on the O3\ndensity as in the case of FeO(VIS). Based on our WACCM simulations, we\n545\ndiscuss this topic in Sect. 4.2 in more detail. The two discussed features only cover a small part of the corresponding NMF-related component spectra. In the studied\nwavelength ranges (see Fig. 3), FeO(VIS) and X(NIR) indicate mean intensities of about 2.5 and 9.9 kR (explaining about\n18 and 69% of the mean spectrum), i.e. the features at 595 and 1,510 nm have a contribution of about 1.1 and 13.8%. These 21 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. percentages further decrease if the radiance in the spectral gaps is roughly approximated by a simple linear interpolation, which\n550\nresults in about 2.9 and 11.8 kR for the two components. In particular, the X(NIR) intensity could further increase as the flux\nis still relatively high at the upper wavelength limit of 1,780 nm. Apart from the limited wavelength coverage, these values are\naffected by uncertainties in the separation of the component spectra from other contributions. Nevertheless, the basic structure\nof the FeO(VIS) and X(NIR) components appears to be realistic. The 2D climatology of the 595 nm feature is well correlated percentages further decrease if the radiance in the spectral gaps is roughly approximated by a simple linear interpolation, which\n550\nresults in about 2.9 and 11.8 kR for the two components. In particular, the X(NIR) intensity could further increase as the flux\nis still relatively high at the upper wavelength limit of 1,780 nm. Apart from the limited wavelength coverage, these values are\naffected by uncertainties in the separation of the component spectra from other contributions. Nevertheless, the basic structure\nof the FeO(VIS) and X(NIR) components appears to be realistic. The 2D climatology of the 595 nm feature is well correlated (\n)\n(\n)\np\npp\ngy\nwith the one of the underlying continuum (r = +0.961). Moreover, the integrated flux between minima at 679 and 927 nm\n555\n(Fig. 2) shows a high r of +0.974. For the 1,510 nm feature, the r values are even above +0.99 if they are calculated for the\ncontinuum below the feature or the secondary peak at 1,620 nm measured between 1,596 and 1,662 nm. Even in the continuum\nbelow the O2(a-X)(1-0) band at about 1,080 nm, r is still quite high with +0.966. Although partly forced by the wavelength\nweighting of our NMF procedure, an r of +1.000 is remarkable for the correlation of the X(NIR) component (Fig. 5a) and\nh\n1 510\nk (Fi\n4b) Th\nl i\nf h\nF O(VIS)\nd h\n595\nk i\nk\n( 0 926) Th with the one of the underlying continuum (r = +0.961). Moreover, the integrated flux between minima at 679 and 927 nm\n555\n(Fig. 2) shows a high r of +0.974. For the 1,510 nm feature, the r values are even above +0.99 if they are calculated for the\ncontinuum below the feature or the secondary peak at 1,620 nm measured between 1,596 and 1,662 nm. Even in the continuum\nbelow the O2(a-X)(1-0) band at about 1,080 nm, r is still quite high with +0.966. Although partly forced by the wavelength\nweighting of our NMF procedure, an r of +1.000 is remarkable for the correlation of the X(NIR) component (Fig. 5a) and with the one of the underlying continuum (r = +0.961). Moreover, the integrated flux between minima at 679 and 927 nm\n555\n(Fig. 2) shows a high r of +0.974. For the 1,510 nm feature, the r values are even above +0.99 if they are calculated for the\ncontinuum below the feature or the secondary peak at 1,620 nm measured between 1,596 and 1,662 nm. Even in the continuum\nbelow the O2(a-X)(1-0) band at about 1,080 nm, r is still quite high with +0.966. Although partly forced by the wavelength\nweighting of our NMF procedure, an r of +1.000 is remarkable for the correlation of the X(NIR) component (Fig. 5a) and the 1,510 nm peak (Fig. 4b). The correlation of the FeO(VIS) component and the 595 nm peak is weaker (+0.926). The\n560\nmain difference in the 2D climatologies is a lower intensity for the NMF component in the evening compared to the morning\n(Fig. 5b). This might be caused by the decreasing nocturnal trend in the stronger X(NIR) component, which partly overlaps\nwith FeO(VIS). Thus, the NMF obviously led to more different climatologies than the direct feature measurements showed. The separation of the two O2-related components probably succeeded due to a relatively weak SAO in the climatologies the 1,510 nm peak (Fig. 4b). The correlation of the FeO(VIS) component and the 595 nm peak is weaker (+0.926). The\n560\nmain difference in the 2D climatologies is a lower intensity for the NMF component in the evening compared to the morning\n(Fig. 5b). This might be caused by the decreasing nocturnal trend in the stronger X(NIR) component, which partly overlaps\nwith FeO(VIS). Thus, the NMF obviously led to more different climatologies than the direct feature measurements showed. The separation of the two O2-related components probably succeeded due to a relatively weak SAO in the climatologies the 1,510 nm peak (Fig. 4b). 3.4\nSolar cycle effect\n575 As the X-shooter data set covers 10 years between October 2009 and September 2019, the resulting continuum features can\nalso be investigated with respect to the solar cycle. As already discussed in Sect. 3.3, we also calculated 2D climatologies for\nthe SCE. With respect to the features at 595 and 1,510 nm, it turned out that the structures in these climatologies are relatively\nuncertain. Based on the largest analysed sample for the FeO main peak with 12,785 bins, Fig. 6a indicates the largest positive As the X-shooter data set covers 10 years between October 2009 and September 2019, the resulting continuum features can\nalso be investigated with respect to the solar cycle. As already discussed in Sect. 3.3, we also calculated 2D climatologies for\nthe SCE. With respect to the features at 595 and 1,510 nm, it turned out that the structures in these climatologies are relatively\nuncertain. Based on the largest analysed sample for the FeO main peak with 12,785 bins, Fig. 6a indicates the largest positive\nSCE values around the austral summer solstice and in the austral winter The lowest (and possibly negative) values appear to\n580 As the X-shooter data set covers 10 years between October 2009 and September 2019, the resulting continuum features can\nalso be investigated with respect to the solar cycle. As already discussed in Sect. 3.3, we also calculated 2D climatologies for\nthe SCE. With respect to the features at 595 and 1,510 nm, it turned out that the structures in these climatologies are relatively\nuncertain. Based on the largest analysed sample for the FeO main peak with 12,785 bins, Fig. 6a indicates the largest positive SCE values around the austral summer solstice and in the austral winter. The lowest (and possibly negative) values appear to\n580\nbe present around March. Figure 6b for the sample with 17,482 bins of the 1,510 nm feature shows possible maxima in July\nand November and a minimum in austral autumn, which could possibly be negative. SCE values around the austral summer solstice and in the austral winter. The lowest (and possibly negative) values appear to\n580\nbe present around March. Figure 6b for the sample with 17,482 bins of the 1,510 nm feature shows possible maxima in July\nand November and a minimum in austral autumn, which could possibly be negative. 22 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 3.4\nSolar cycle effect\n575 In any case, the SCEs for both continuum features are relatively small, which may explain the relatively high\nuncertainties in the discussed climatological patterns. In contrast, the O2-related features in the continuum show large effects\nof about +40 % per 100 sfu (e.g., using the ranges 335 to 388 nm and 1,254 to 1,297 nm for the NMF-related sample). For and +7.5 ± 1.4 % per 100 sfu. For the individual measurements, we obtain +4.0 ± 1.2 and +6.7 ± 0.9 % per 100 sfu. The\n585\ndifferences between these results show the uncertainties related to the sample size and the climatological weighting of the\ndata points. In any case, the SCEs for both continuum features are relatively small, which may explain the relatively high\nuncertainties in the discussed climatological patterns. In contrast, the O2-related features in the continuum show large effects\nof about +40 % per 100 sfu (e.g., using the ranges 335 to 388 nm and 1,254 to 1,297 nm for the NMF-related sample). For OH, the X-shooter data set indicates line-specific effective SCEs between +8 and +23 % per 100 sfu (Noll et al., 2023b). On\n590\nthe other hand, chemiluminescent 770 nm potassium (K) emission measured between April 2000 and March 2015 at Cerro\nParanal in spectra of the Ultraviolet and Visual Echelle Spectrograph (UVES; Dekker et al., 2000) resulted in a negative effect\nof −7.4 ± 1.3 % per 100 sfu (Noll et al., 2019). This seems to be related to an even more negative SCE for the K column\ndensity, as shown by WACCM simulations for the long period from 1955 to 2005 (Dawkins et al., 2016). For the latitude range from 0 to 30◦S, about −14.4 % per 100 sfu are given. The same study also provides −4.7 % per 100 sfu for the Fe column\n595\ndensity. Considering that Fe and K react with O3 to form monoxides that are directly (FeO) or indirectly (KO with subsequent\nreaction with O) the basis for the chemiluminescence, the difference in the SCEs for the column density of about 10% would\nsupport a slightly positive value for FeO nightglow, which would be consistent with our measurements (see also Sect. 4.2). from 0 to 30◦S, about −14.4 % per 100 sfu are given. The same study also provides −4.7 % per 100 sfu for the Fe column\n595\ndensity. 3.4\nSolar cycle effect\n575 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nFeature at 595 nm indicating FeO\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nFeature at 1,510 nm indicating X\n0.2\n0.1\n0.0\n0.1\n0.2\n0.3\n0.4\nRelative intensity change per 100 sfu\n0.2\n0.1\n0.0\n0.1\n0.2\nRelative intensity change per 100 sfu\nFigure 6. Climatologies of the solar cycle effect for the continuum features at (a) 595 nm and (b) 1,510 nm. For each grid point (see caption\nof Fig. 4), the given value indicates the change of the intensity relative to the corresponding mean for an increase of the solar radio flux\naveraged for 27 days by 100 sfu. The climatologies were calculated for (a) 12,785 and (b) 17,482 30 min bins and the minimum sample size\nfor each grid point was 400 (cf. Fig. 4). 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nFeature at 595 nm indicating FeO\n0.2\n0.1\n0.0\n0.1\n0.2\n0.3\n0.4 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nFeature at 1,510 nm indicating X\n0.2\n0.1\n0.0\n0.1\n0.2\nRelative intensity change per 100 sfu Figure 6. Climatologies of the solar cycle effect for the continuum features at (a) 595 nm and (b) 1,510 nm. For each grid point (see caption\nof Fig. 4), the given value indicates the change of the intensity relative to the corresponding mean for an increase of the solar radio flux\naveraged for 27 days by 100 sfu. The climatologies were calculated for (a) 12,785 and (b) 17,482 30 min bins and the minimum sample size\nfor each grid point was 400 (cf. Fig. 4). The resulting effective SCEs derived from the averaging of the 595 and 1,510 nm climatologies are +10.7 and +4.2 % per\n100 sfu, respectively. If these percentages are directly derived from the intensities of the 30 min bins, the results are +8.1±1.5 ,\np\ny\np\ng\ny\n,\n+\nand +7.5 ± 1.4 % per 100 sfu. For the individual measurements, we obtain +4.0 ± 1.2 and +6.7 ± 0.9 % per 100 sfu. The\n585\ndifferences between these results show the uncertainties related to the sample size and the climatological weighting of the\ndata points. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 3.5\nEffective emission heights The selection criteria include a minimum exposure time of 3 min, the requirement of positive values\nfor the feature and the underlying continuum (for the latter also an upper limit of 18 R nm−1), and the rejection of additional 88 for the OH-related sample. However, the sample size can easily be increased to 92 bins if the bin filling threshold is set\n615\nslightly lower to 8 min. Then, only three bins of the original OH-related sample are lost, all of them present in the evening. As the 595 nm feature is distinctly weaker and the smaller sample of VIS-arm spectra has to be used, the final sample just\ncomprises 125 spectra. The selection criteria include a minimum exposure time of 3 min, the requirement of positive values\nfor the feature and the underlying continuum (for the latter also an upper limit of 18 R nm−1), and the rejection of additional spectra contaminated by the astronomical targets (identification by visual inspection). Then, the binning results in 63 bins if a\n620\nminimum filling of 8 min is also required (otherwise only 57 bins). The resulting bin-related intensities normalised by the sample mean were fitted as described in Noll et al. (2022a). The fit\nformula f(t,tLT) = c(tLT)\n\u0012\na(tLT)cos\n\u0012\n2π\n\u0012 t\nT −ϕ\n\u0013\u0013\n+ 1\n\u0013\n, os\n\u0012\n2π\n\u0012 t\nT −ϕ\n\u0013\u0013\n+ 1\n\u0013\n,\n(1) (1) contains a cosine with the time t relative to the period T minus a reference phase ϕ for 30 January 2017 12:00 LT. The cosine\n625\nis multiplied by an amplitude c·a and a constant c (which can also be considered as a scaling factor for the mean) is added to\nthis term. As T was set to 44 h, i.e. the optimum derived from the OH data analysed by Noll et al. (2022a), the final fitting\nparameters were ϕ, c, and, a, the latter being the amplitude of the cosine. As the OH time series showed a strong dependence\nof the amplitude c·a on local time, LT intervals with a length of 1 h centred on tLT were fitted separately. First, this was done contains a cosine with the time t relative to the period T minus a reference phase ϕ for 30 January 2017 12:00 LT. 3.4\nSolar cycle effect\n575 Considering that Fe and K react with O3 to form monoxides that are directly (FeO) or indirectly (KO with subsequent\nreaction with O) the basis for the chemiluminescence, the difference in the SCEs for the column density of about 10% would\nsupport a slightly positive value for FeO nightglow, which would be consistent with our measurements (see also Sect. 4.2). 23 3.5\nEffective emission heights Using the X-shooter NIR-arm data set, Noll et al. (2022a) investigated eight nights in 2017 and seven nights in 2019 with\n600\nrespect to the signatures of passing quasi-two-day waves (Q2DWs) in the intensities of OH emission lines. Q2DWs are only\npresent for a few weeks in austral summer but constitute the strongest wave phenomenon at low southern latitudes (Ern et al.,\n2013; Gu et al., 2019; Tunbridge et al., 2011). The particularly strong wave between 26 January and 3 February 2017 was used\nto estimate the effective emission heights of the selected 298 OH lines based on fits of wave phases for a most likely period ofi 44 h. Apart from the line intensities from the X-shooter data, the study also used OH emission profiles from TIMED/SABER\n605\n(Russell et al., 1999) for the derivation of the required phase–height relation. In order to better understand the emission features at 595 and 1,510 nm, which are obviously representative of a large fraction\nof the nightglow continuum (Sect. 3.3), we also attempted to derive wave phases and the related emission heights for these\ntwo features. For a good time coverage during the crucial eight nights, we had to further relax the selection criteria described 44 h. Apart from the line intensities from the X-shooter data, the study also used OH emission profiles from TIMED/SABER\n605\n(Russell et al., 1999) for the derivation of the required phase–height relation. In order to better understand the emission features at 595 and 1,510 nm, which are obviously representative of a large fraction\nof the nightglow continuum (Sect. 3.3), we also attempted to derive wave phases and the related emission heights for these\ntwo features. For a good time coverage during the crucial eight nights, we had to further relax the selection criteria described 44 h. Apart from the line intensities from the X-shooter data, the study also used OH emission profiles from TIMED/SABER\n605\n(Russell et al., 1999) for the derivation of the required phase–height relation. In order to better understand the emission features at 595 and 1,510 nm, which are obviously representative of a large fraction\nf th\ni ht l\nti\n(S\nt 3 3)\nl\ntt\nt d t\nd i\nh\nd th\nl t d\ni i\nh i ht f\nth in Sect. 3.3. Like the investigated OH lines, the 1,510 nm feature is covered by the NIR arm. 3.5\nEffective emission heights With a minimum exposure\n610\ntime of 1 min and only intensities between 200 and 4,800 R, 265 of 388 observations remained in the sample. We manually\nchecked every spectrum and rejected 13 additional spectra with suspicious astronomical targets, i.e. the final sample comprises\n252 intensity measurements. Consistent with Noll et al. (2022a), the intensities of 30 min bins were calculated. If the default\nlower limit of 10 min for the bin filling is used, the resulting sample comprises 82 bins, which is lower than the maximum of in Sect. 3.3. Like the investigated OH lines, the 1,510 nm feature is covered by the NIR arm. With a minimum exposure\n610\ntime of 1 min and only intensities between 200 and 4,800 R, 265 of 388 observations remained in the sample. We manually\nchecked every spectrum and rejected 13 additional spectra with suspicious astronomical targets, i.e. the final sample comprises\n252 intensity measurements. Consistent with Noll et al. (2022a), the intensities of 30 min bins were calculated. If the default\nlower limit of 10 min for the bin filling is used, the resulting sample comprises 82 bins, which is lower than the maximum of 88 for the OH-related sample. However, the sample size can easily be increased to 92 bins if the bin filling threshold is set\n615\nslightly lower to 8 min. Then, only three bins of the original OH-related sample are lost, all of them present in the evening. As the 595 nm feature is distinctly weaker and the smaller sample of VIS-arm spectra has to be used, the final sample just\ncomprises 125 spectra. The selection criteria include a minimum exposure time of 3 min, the requirement of positive values\nfor the feature and the underlying continuum (for the latter also an upper limit of 18 R nm−1), and the rejection of additional 88 for the OH-related sample. However, the sample size can easily be increased to 92 bins if the bin filling threshold is set\n615\nslightly lower to 8 min. Then, only three bins of the original OH-related sample are lost, all of them present in the evening. As the 595 nm feature is distinctly weaker and the smaller sample of VIS-arm spectra has to be used, the final sample just\ncomprises 125 spectra. 4\n2\n0\n2\n4\nDeviation from 30 Jan 2017 12:00 LT [days]\n0.5\n1.0\n1.5\nNormalised intensity\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb, 02:00-03:00 LT)\nFeO(595nm) model (a = 0.337, = 0.322, T = 44h)\nX(1510nm) model (a = 0.470, = 0.485, T = 44h)\nFeO(595nm) obs.\nX(1510nm) obs.\nFigure 7. Relative intensities of the features at 595 nm (blue) and 1,510 nm (red) for the 14 30 min bins in the interval between 02:00 and\n03:00 LT between 26 January and 3 February 2017 and the related fit of a cosine with a period T of 44 h (solid curves with small dots for\nthe effective times of the bins). Measurements and models are given relative to the fitted scaling factor c. The remaining fit parameters a\n(amplitude) and ϕ (phase) are provided in the plot.\nhttps://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 4\n2\n0\n2\n4\nDeviation from 30 Jan 2017 12:00 LT [days]\n0.5\n1.0\n1.5\nNormalised intensity\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb, 02:00-03:00 LT)\nFeO(595nm) model (a = 0.337, = 0.322, T = 44h)\nX(1510nm) model (a = 0.470, = 0.485, T = 44h)\nFeO(595nm) obs. X(1510nm) obs. Figure 7. Relative intensities of the features at 595 nm (blue) and 1,510 nm (red) for the 14 30 min bins in the interval between 02:00 and\n03:00 LT between 26 January and 3 February 2017 and the related fit of a cosine with a period T of 44 h (solid curves with small dots for\nthe effective times of the bins). Measurements and models are given relative to the fitted scaling factor c. The remaining fit parameters a\n(amplitude) and ϕ (phase) are provided in the plot. 4\n2\n0\n2\n4\nDeviation from 30 Jan 2017 12:00 LT [days]\n0.5\n1.0\n1.5\nNormalised intensity\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb, 02:00-03:00 LT)\nFeO(595nm) model (a = 0.337, = 0.322, T = 44h)\nX(1510nm) model (a = 0.470, = 0.485, T = 44h)\nFeO(595nm) obs. X(1510nm) obs. 4\n2\n0\n2\n4\nDeviation from 30 Jan 2017 12:00 LT [days]\n0.5\n1.0\n1.5\nNormalised intensity\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb, 02:00-03:00 LT)\nFeO(595nm) model (a = 0.337, = 0.322, T = 44h)\nX(1510nm) model (a = 0.470, = 0.485, T = 44h)\nFeO(595nm) obs. X(1510nm) obs. Figure 7. Relative intensities of the features at 595 nm (blue) and 1,510 nm (red) for the 14 30 min bins in the interval between 02:00 and\n03:00 LT between 26 January and 3 February 2017 and the related fit of a cosine with a period T of 44 h (solid curves with small dots for\nthe effective times of the bins). Measurements and models are given relative to the fitted scaling factor c. The remaining fit parameters a\n(amplitude) and ϕ (phase) are provided in the plot. For the derivation of the phase, only reliable LT intervals with a good time coverage and small phase uncertainties should be\nused. Noll et al. (2022a) selected four to five LT hours depending on the line. 3.5\nEffective emission heights The cosine\n625\nis multiplied by an amplitude c·a and a constant c (which can also be considered as a scaling factor for the mean) is added to\nthis term. As T was set to 44 h, i.e. the optimum derived from the OH data analysed by Noll et al. (2022a), the final fitting\nparameters were ϕ, c, and, a, the latter being the amplitude of the cosine. As the OH time series showed a strong dependence\nof the amplitude c·a on local time, LT intervals with a length of 1 h centred on tLT were fitted separately. First, this was done for the derivation of the optimum phase, which represents the average for the selected LT hours weighted by the inverse of the\n630\nphase uncertainty. In a second step, the phase ϕ was fixed and the LT-dependent parameters c and a were fitted. 24 4\n2\n0\n2\n4\nDeviation from 30 Jan 2017 12:00 LT [days]\n0.5\n1.0\n1.5\nNormalised intensity\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb, 02:00-03:00 LT)\nFeO(595nm) model (a = 0.337, = 0.322, T = 44h)\nX(1510nm) model (a = 0.470, = 0.485, T = 44h)\nFeO(595nm) obs. X(1510nm) obs. Figure 7. Relative intensities of the features at 595 nm (blue) and 1,510 nm (red) for the 14 30 min bins in the interval between 02:00 and\n03:00 LT between 26 January and 3 February 2017 and the related fit of a cosine with a period T of 44 h (solid curves with small dots for\nthe effective times of the bins). Measurements and models are given relative to the fitted scaling factor c. The remaining fit parameters a\n(amplitude) and ϕ (phase) are provided in the plot. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 4\n2\n0\n2\n4\nDeviation from 30 Jan 2017 12:00 LT [days]\n0.5\n1.0\n1.5\nNormalised intensity\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb, 02:00-03:00 LT)\nFeO(595nm) model (a = 0.337, = 0.322, T = 44h)\nX(1510nm) model (a = 0.470, = 0.485, T = 44h)\nFeO(595nm) obs.\nX(1510nm) obs.\nFigure 7. Relative intensities of the features at 595 nm (blue) and 1,510 nm (red) for the 14 30 min bins in the interval between 02:00 and\n03:00 LT between 26 January and 3 February 2017 and the related fit of a cosine with a period T of 44 h (solid curves with small dots for\nthe effective times of the bins). Measurements and models are given relative to the fitted scaling factor c. The remaining fit parameters a\n(amplitude) and ϕ (phase) are provided in the plot.\nhttps://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. The evening data were always rejected because\nof low wave amplitudes and a relatively small number of bins. For the 1,510 nm feature, the extended sample with 92 bins\nincludes the same 39 bins between 01:00 and 04:00 LT that were also considered for the OH-related fits. In the case of the\n635\n595 nm feature, the sample with 63 entries shows 38 bins in this range. Alternatively, the fits can be restricted to the interval\nbetween 02:00 and 03:00 LT, where all samples include the same (and maximum number of) 14 bins. For the latter case, Fig. 7\nshows the measured intensities and the resulting fits divided by c for both continuum features. This normalisation allows one to\ndirectly read the amplitude a from the plotted wave fit. The amplitude is higher for the 1,510 nm feature (0.47 vs. 0.34). This feature also shows a later phase (0.485 vs. 0.322 relative to T). Concerning the fit quality, it is clearly visible that the deviations\n640\nfor the strong 1,510 nm feature are distinctly smaller than in the case of the 595 nm feature. The root mean square results\nin 0.14 compared to 0.23. Nevertheless, the phase for the FeO main peak does not seem to be less robust since the standard\ndeviation for the independent fits of the three intervals between 01:00 and 04:00 LT indicates 0.033 compared to 0.042 for the\npeak at 1,510 nm. The mean phase from these intervals is slightly higher in both cases (0.489 and 0.339). For both continuum features, Fig. 8 shows the LT-dependent amplitudes c·a and scaling constants c for an optimum phase ϕ\n645\nthat is only based on the interval centred on 02:30 LT. For 595 nm in (a), there were only sufficient data (at least seven bins)\nfor a fit in the LT range between 23:00 and 04:00 LT. Hence, the situation in the evening remains unclear. For the covered time\nrange, the amplitude relative to the mean is about 0.2 with a peak of 0.32 for 02:00 to 03:00 LT, i.e. the decisive interval for\nthe phase derivation. The constant c is around 1, which indicates that there was not a clear trend of the mean with local time. For both continuum features, Fig. 4\n2\n0\n2\n4\nDeviation from 30 Jan 2017 12:00 LT [days]\n0.5\n1.0\n1.5\nNormalised intensity\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb, 02:00-03:00 LT)\nFeO(595nm) model (a = 0.337, = 0.322, T = 44h)\nX(1510nm) model (a = 0.470, = 0.485, T = 44h)\nFeO(595nm) obs.\nX(1510nm) obs.\nFigure 7. Relative intensities of the features at 595 nm (blue) and 1,510 nm (red) for the 14 30 min bins in the interval between 02:00 and\n03:00 LT between 26 January and 3 February 2017 and the related fit of a cosine with a period T of 44 h (solid curves with small dots for\nthe effective times of the bins). Measurements and models are given relative to the fitted scaling factor c. The remaining fit parameters a\n(amplitude) and ϕ (phase) are provided in the plot.\nhttps://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 8 shows the LT-dependent amplitudes c·a and scaling constants c for an optimum phase ϕ\n645\nthat is only based on the interval centred on 02:30 LT. For 595 nm in (a), there were only sufficient data (at least seven bins)\nfor a fit in the LT range between 23:00 and 04:00 LT. Hence, the situation in the evening remains unclear. For the covered time\nrange, the amplitude relative to the mean is about 0.2 with a peak of 0.32 for 02:00 to 03:00 LT, i.e. the decisive interval for\nthe phase derivation. The constant c is around 1, which indicates that there was not a clear trend of the mean with local time. For both continuum features, Fig. 8 shows the LT-dependent amplitudes c·a and scaling constants c for an optimum phase ϕ\n645\nthat is only based on the interval centred on 02:30 LT. For 595 nm in (a), there were only sufficient data (at least seven bins)\nfor a fit in the LT range between 23:00 and 04:00 LT. Hence, the situation in the evening remains unclear. For the covered time\nrange, the amplitude relative to the mean is about 0.2 with a peak of 0.32 for 02:00 to 03:00 LT, i.e. the decisive interval for\nthe phase derivation. The constant c is around 1, which indicates that there was not a clear trend of the mean with local time. 25 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 0.0\n0.5\n1.0\n1.5\nIntensity relative to mean\n(a)\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb) with T = 44 h\nFeO(595nm) ( = 0.322)\nOH(8-5)P2(1) ( = 0.321)\n3\n2\n1\n0\n1\n2\n3\nMean local time of bin [h]\n0.0\n0.5\n1.0\n1.5\nIntensity relative to mean\n(b)\nAmplitude ca\nConstant c\nX(1510nm) ( = 0.485)\nOH(2-0)P1(1) ( = 0.421)\nFigure 8. Amplitudes c·a (magenta solid curves with circles) and scaling constants c (magenta dotted curves with circles) relative to the\nsample mean as a function of local time (step size of 1 h; only intervals with sufficient data) for cosine fits of the Q2DW in 2017 with a\nperiod of 44 h based on intensity data of the (a) 595 nm (sample of 63 bins) and (b) 1,510 nm (sample of 92 bins) features. 4\n2\n0\n2\n4\nDeviation from 30 Jan 2017 12:00 LT [days]\n0.5\n1.0\n1.5\nNormalised intensity\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb, 02:00-03:00 LT)\nFeO(595nm) model (a = 0.337, = 0.322, T = 44h)\nX(1510nm) model (a = 0.470, = 0.485, T = 44h)\nFeO(595nm) obs.\nX(1510nm) obs.\nFigure 7. Relative intensities of the features at 595 nm (blue) and 1,510 nm (red) for the 14 30 min bins in the interval between 02:00 and\n03:00 LT between 26 January and 3 February 2017 and the related fit of a cosine with a period T of 44 h (solid curves with small dots for\nthe effective times of the bins). Measurements and models are given relative to the fitted scaling factor c. The remaining fit parameters a\n(amplitude) and ϕ (phase) are provided in the plot.\nhttps://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. The given phases\nare only based on fits of the interval between 02:00 and 03:00 LT. In addition, the corresponding curves for OH emission lines (green curves\nwith squares) with similar phases ϕ at 30 January 12:00 LT from the same fitting procedure are shown (cf. Noll et al., 2022a). 0.0\n0.5\n1.0\n1.5\nIntensity relative to mean\n(a)\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb) with T = 44 h\nFeO(595nm) ( = 0.322)\nOH(8-5)P2(1) ( = 0.321)\n3\n2\n1\n0\n1\n2\n3\nMean local time of bin [h]\n0.0\n0.5\n1.0\n1.5\nIntensity relative to mean\n(b)\nAmplitude ca\nConstant c\nX(1510nm) ( = 0.485)\nOH(2-0)P1(1) ( = 0.421) Figure 8. Amplitudes c·a (magenta solid curves with circles) and scaling constants c (magenta dotted curves with circles) relative to the\nsample mean as a function of local time (step size of 1 h; only intervals with sufficient data) for cosine fits of the Q2DW in 2017 with a\nperiod of 44 h based on intensity data of the (a) 595 nm (sample of 63 bins) and (b) 1,510 nm (sample of 92 bins) features. The given phases\nare only based on fits of the interval between 02:00 and 03:00 LT. In addition, the corresponding curves for OH emission lines (green curves\nwith squares) with similar phases ϕ at 30 January 12:00 LT from the same fitting procedure are shown (cf. Noll et al., 2022a). We compare these curves with those of an OH line with almost the same phase for the 02:30 LT interval. Note that the given ϕ\n650\nof 0.321 is slightly lower than the value of 0.328 in the data release of Noll et al. (2022b), which is based on several LT hours. The data for OH(8-5)P2(1) indicate a significantly larger maximum amplitude c·a of 0.71 (between 01:00 and 02:00 LT). Even\nif the different scaling factors are considered and only the cosine amplitudes a are compared (0.54 vs. 0.34 between 02:00 and\n03:00 LT), the impact of the Q2DW on OH lines appears to be stronger, which probably reveals dynamical differences if O3 reactions with Fe and H are compared. The remarkable decrease of the wave amplitude towards the beginning of the night is\n655\nnot covered by the data for the 595 nm feature. 4\n2\n0\n2\n4\nDeviation from 30 Jan 2017 12:00 LT [days]\n0.5\n1.0\n1.5\nNormalised intensity\nX-shooter: Q2DW in 2017 (26 Jan - 3 Feb, 02:00-03:00 LT)\nFeO(595nm) model (a = 0.337, = 0.322, T = 44h)\nX(1510nm) model (a = 0.470, = 0.485, T = 44h)\nFeO(595nm) obs.\nX(1510nm) obs.\nFigure 7. Relative intensities of the features at 595 nm (blue) and 1,510 nm (red) for the 14 30 min bins in the interval between 02:00 and\n03:00 LT between 26 January and 3 February 2017 and the related fit of a cosine with a period T of 44 h (solid curves with small dots for\nthe effective times of the bins). Measurements and models are given relative to the fitted scaling factor c. The remaining fit parameters a\n(amplitude) and ϕ (phase) are provided in the plot.\nhttps://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. Hence, a clear difference in the nocturnal trends in the joint LT range is not\nobvious. The 1,510 nm data in Fig. 8b show the entire OH-related night interval. The scaling factor c indicates a clear decrease in the\ncourse of the night, which implies that the average nocturnal behaviour as shown in the climatology in Fig. 4b is also relevant for the eight nights affected by the strong Q2DW. On the other hand, there is no detection of this wave except for the last three\n660\nintervals between 01:00 and 04:00 LT, which explains why only this range was useful for phase fits. There c·a is clearly larger for the eight nights affected by the strong Q2DW. On the other hand, there is no detection of this wave except for the last three\n660\nintervals between 01:00 and 04:00 LT, which explains why only this range was useful for phase fits. There c·a is clearly larger for the eight nights affected by the strong Q2DW. On the other hand, there is no detection of this wave except for the last three\n660\nintervals between 01:00 and 04:00 LT, which explains why only this range was useful for phase fits. There c·a is clearly larger 26 (2022a) also applied a correction that considers differences in the properties of the X-shooter\nand SABER samples. Based on a comparison of phase fits for the vertically integrated emission profiles for both OH-related\nSABER channels and the phases from the X-shooter data weighted for the transmission curves of these channels, a general\n675\nshift of the heights by −0.43 ± 0.13 km was performed. As the phases slightly change if only the LT interval between 02:00\nand 03:00 is used for their derivation as described above, we recalculated this shift and found about −0.79 km. As a result\n(which also considers the systematic decrease in ϕ), the mean effective emission height of all 298 OH lines was 0.10 km\nlower than given by Noll et al. (2022a). If the mean of the phases from the three intervals between 01:00 and 04:00 LT\nis used instead, the resulting offset of −0.45 km is very close to the original value and the mean height decreases just by\n680\n0.05 km. Hence, the change in the calculation of the optimum phase does not appear to have a significant effect on the resulting\nemission heights. Using the SABER-based phase–height relation and X-shooter-based phases for the 02:30 LT interval with the\nestimated corrections (i.e. −0.79 km and +0.1 km to be consistent with the published OH-related heights), we finally obtain\naltitudes of 85.2 and 80.0 km for the 595 and 1,510 nm features, respectively. From the comparison of heights for OH lines\nwith the same or similar ro-vibrational upper levels, Noll et al. (2022a) found uncertainties of several tenths of a kilometre. If\n685\nwe take the reported phase standard deviations of about 0.04 as derived from the LT hours between 01:00 and 04:00 for the\ntwo continuum features as an indicator, then the uncertainties might even be of the order of 1 km. Moreover, the use of the\nfull time series is important for the quality of the results. For example, the heights would be unrealistically high (near 100 km)\nif the first night was excluded from the fits. However, the difference between the values for both features would only slightly\nchange and rejecting the last night would only have a minor effect. 690 2.1 µm channel (Russell et al., 1999), which were taken around Cerro Paranal in the eight relevant nights at about 04:00 LT. However, the difference between the values for both features would only slightly\nh\nd\nj\ni\nh l\ni h\nld\nl h\ni\nff with the same or similar ro-vibrational upper levels, Noll et al. (2022a) found uncertainties of several tenths of a kilometre. If\n685\nwe take the reported phase standard deviations of about 0.04 as derived from the LT hours between 01:00 and 04:00 for the\ntwo continuum features as an indicator, then the uncertainties might even be of the order of 1 km. Moreover, the use of the\nfull time series is important for the quality of the results. For example, the heights would be unrealistically high (near 100 km)\nif the first night was excluded from the fits. However, the difference between the values for both features would only slightly with the same or similar ro-vibrational upper levels, Noll et al. (2022a) found uncertainties of several tenths of a kilometre. If\n685\nwe take the reported phase standard deviations of about 0.04 as derived from the LT hours between 01:00 and 04:00 for the\ntwo continuum features as an indicator, then the uncertainties might even be of the order of 1 km. Moreover, the use of the\nfull time series is important for the quality of the results. For example, the heights would be unrealistically high (near 100 km)\nif the first night was excluded from the fits. However, the difference between the values for both features would only slightly\nh\nd\nj\nti\nth l\nt i ht\nld\nl h\ni\nff\nt\n690 change and rejecting the last night would only have a minor effect. 690\nThe given altitudes are representative of the effective height for the strongest absolute variations related to the passing\nQ2DW. They differ from the effective mean height of the emission. Noll et al. (2022a) found that the average centroid emission\naltitude for the two OH-related SABER channels at Cerro Paranal (Noll et al., 2017) was about 4.07 km higher than in the\ncase of the corresponding variability-related heights. Significant discrepancies are not surprising in this context since the steep change and rejecting the last night would only have a minor effect. 690\nThe given altitudes are representative of the effective height for the strongest absolute variations related to the passing\nQ2DW. They differ from the effective mean height of the emission. Noll et al. The regression for the height range from 80 to 97 km resulted in an intercept of 3.027±0.049 at 0 km and a vertical wavelength\nof 31.74 ± 0.56 km. Noll et al. (2022a) also applied a correction that considers differences in the properties of the X-shooter\nand SABER samples. Based on a comparison of phase fits for the vertically integrated emission profiles for both OH-related SABER channels and the phases from the X-shooter data weighted for the transmission curves of these channels, a general\n675\nshift of the heights by −0.43 ± 0.13 km was performed. As the phases slightly change if only the LT interval between 02:00\nand 03:00 is used for their derivation as described above, we recalculated this shift and found about −0.79 km. As a result\n(which also considers the systematic decrease in ϕ), the mean effective emission height of all 298 OH lines was 0.10 km\nlower than given by Noll et al. (2022a). If the mean of the phases from the three intervals between 01:00 and 04:00 LT is used instead, the resulting offset of −0.45 km is very close to the original value and the mean height decreases just by\n680\n0.05 km. Hence, the change in the calculation of the optimum phase does not appear to have a significant effect on the resulting\nemission heights. Using the SABER-based phase–height relation and X-shooter-based phases for the 02:30 LT interval with the\nestimated corrections (i.e. −0.79 km and +0.1 km to be consistent with the published OH-related heights), we finally obtain\naltitudes of 85.2 and 80.0 km for the 595 and 1,510 nm features, respectively. From the comparison of heights for OH lines with the same or similar ro-vibrational upper levels, Noll et al. (2022a) found uncertainties of several tenths of a kilometre. If\n685\nwe take the reported phase standard deviations of about 0.04 as derived from the LT hours between 01:00 and 04:00 for the\ntwo continuum features as an indicator, then the uncertainties might even be of the order of 1 km. Moreover, the use of the\nfull time series is important for the quality of the results. For example, the heights would be unrealistically high (near 100 km)\nif the first night was excluded from the fits. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. than for the FeO main peak (like a in Fig. 7). We compare the 1,510 nm feature with OH(2-0)P1(1), which shows the highest\nphase for the studied OH lines. The nocturnal trend in c·a of this line seems to be roughly consistent, although the increase\nin the middle of the night starts earlier and is slower. These differences might be related to the remaining ∆ϕ of 0.064. The\ndiscrepancies between the absolute c·a of continuum feature and OH line appear to be mainly related to the different nocturnal\n665\nmean behaviour. The deviation of the 1,510 nm feature with respect to the cosine amplitude a is relatively small at the end of\nthe night (0.54 vs. 0.62 for 03:00 to 04:00 LT), i.e. the responses to the passing Q2DW appear to be comparable. The agreement\nin the nocturnal development of the amplitude also suggests that the high phase value for the 1,510 nm feature is realistic. 665 discrepancies between the absolute c·a of continuum feature and OH line appear to be mainly related to the different nocturnal\n665\nmean behaviour. The deviation of the 1,510 nm feature with respect to the cosine amplitude a is relatively small at the end of\nthe night (0.54 vs. 0.62 for 03:00 to 04:00 LT), i.e. the responses to the passing Q2DW appear to be comparable. The agreement\nin the nocturnal development of the amplitude also suggests that the high phase value for the 1,510 nm feature is realistic. As described by Noll et al. (2022a), the X-shooter-based reference phases of the Q2DW were converted into heights by\nusing the linear phase–height relation derived from altitude-dependent wave fits of 22 OH emission profiles in the SABER\n670 As described by Noll et al. (2022a), the X-shooter-based reference phases of the Q2DW were converted into heights by\nusing the linear phase–height relation derived from altitude-dependent wave fits of 22 OH emission profiles in the SABER\n670\n2.1 µm channel (Russell et al., 1999), which were taken around Cerro Paranal in the eight relevant nights at about 04:00 LT. The regression for the height range from 80 to 97 km resulted in an intercept of 3.027±0.049 at 0 km and a vertical wavelength\nof 31.74 ± 0.56 km. Noll et al. Modelling also suggests that the HO2 density maximises near 80 km (Makhlouf et al., 1995). Such altitudes were also obtained from nocturnal\n710\nmicrowave measurements of HO2, although the density peaks could also be several kilometres higher in the second half of the\nnight (Kreyling et al., 2013; Millán et al., 2015). Overall, the discussed candidates for emitter X appear to produce emission at\nheights consistent with our measurements. With our optimised WACCM simulations, we can discuss the height distributions\nmore quantitatively (see Sect. 4.2). suggests that the HO2 density maximises near 80 km (Makhlouf et al., 1995). Such altitudes were also obtained from nocturnal\n710\nmicrowave measurements of HO2, although the density peaks could also be several kilometres higher in the second half of the\nnight (Kreyling et al., 2013; Millán et al., 2015). Overall, the discussed candidates for emitter X appear to produce emission at\nheights consistent with our measurements. With our optimised WACCM simulations, we can discuss the height distributions\nmore quantitatively (see Sect. 4.2). (2022a) found that the average centroid emission\naltitude for the two OH-related SABER channels at Cerro Paranal (Noll et al., 2017) was about 4.07 km higher than in the\ncase of the corresponding variability-related heights. Significant discrepancies are not surprising in this context since the steep change and rejecting the last night would only have a minor effect. 690\nThe given altitudes are representative of the effective height for the strongest absolute variations related to the passing\nQ2DW. They differ from the effective mean height of the emission. Noll et al. (2022a) found that the average centroid emission\naltitude for the two OH-related SABER channels at Cerro Paranal (Noll et al., 2017) was about 4.07 km higher than in the\ncase of the corresponding variability-related heights. Significant discrepancies are not surprising in this context since the steep\ndecrease of the O number density in the lower parts of the OH emission profile (e.g., Smith et al., 2010) lead to stronger relative\n695\nintensity variations towards lower heights. Nevertheless, the amount of the discrepancy is quite high, which might be explained decrease of the O number density in the lower parts of the OH emission profile (e.g., Smith et al., 2010) lead to stronger relative\n695\nintensity variations towards lower heights. Nevertheless, the amount of the discrepancy is quite high, which might be explained decrease of the O number density in the lower parts of the OH emission profile (e.g., Smith et al., 2010) lead to stronger relative\n695\nintensity variations towards lower heights. Nevertheless, the amount of the discrepancy is quite high, which might be explained 27 4.1\nModel set-up For a better understanding of the X-shooter-based nightglow continuum and its variability as discussed in Sect. 3, we performed\ndedicated WACCM simulations. Community Earth System Model (CESM1, WACCM4) simulations with metal chemistry have\npreviously been used for combined observational and modelling studies of chemiluminescent FeO (Unterguggenberger et al., 2017) and K(42P) emissions (Noll et al., 2019) above Cerro Paranal. Here, we carried out modelling simulations from the\n720\nupdated version of CESM2 (WACCM6) with Na and Fe chemistry to check the FeO-related results and to explore potential\ncandidates for the new pseudo-continuum. CESM2 (WACCM6) is described by Gettelman et al. (2019). Na and Fe chemistry\nis updated based on Plane et al. (2015). The meteoric injection function (MIF) of Fe is from Carrillo-Sánchez et al. (2016),\nwhich is different to that used in Feng et al. (2013). We divided the Fe MIF by 5 to match lidar observations (e.g., Daly et al.,\n2020). Here, we use the specified dynamics version of WACCM6 nudged with NASA’s Modern Era Retrospective Analysis for\n725\nResearch and Application MERRA2 reanalysis data set (Molod et al., 2015). The model has a resolution of 1.9◦in latitude and 2017) and K(42P) emissions (Noll et al., 2019) above Cerro Paranal. Here, we carried out modelling simulations from the\n720\nupdated version of CESM2 (WACCM6) with Na and Fe chemistry to check the FeO-related results and to explore potential\ncandidates for the new pseudo-continuum. CESM2 (WACCM6) is described by Gettelman et al. (2019). Na and Fe chemistry\nis updated based on Plane et al. (2015). The meteoric injection function (MIF) of Fe is from Carrillo-Sánchez et al. (2016),\nwhich is different to that used in Feng et al. (2013). We divided the Fe MIF by 5 to match lidar observations (e.g., Daly et al., 2020). Here, we use the specified dynamics version of WACCM6 nudged with NASA’s Modern Era Retrospective Analysis for\n725\nResearch and Application MERRA2 reanalysis data set (Molod et al., 2015). The model has a resolution of 1.9◦in latitude and\n2.5◦in longitude and contains 88 vertical levels from the surface to 140 km. The simulation covers the period from 1 Jan 2003\nto 28 Dec 2014 (Universal Time). Monthly mean values of selected variables were calculated to save disc space. The model 2020). https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. by the large amplitude of the Q2DW. It is questionable whether the effective emission heights for the continuum features need\nto be shifted by a similar value. However, as OH and FeO are produced by reactions that involve O3, it is not unlikely that\nthe impact of the O profile is similar for the 595 nm peak at least. Moreover, the variability-related height for FeO is well in\nthe range between 81.8 and 89.7 km found for the OH lines by Noll et al. (2022a). Thus, also assuming a shift of 4.07 km, we\n700\nwould obtain a centroid altitude of 89.2 km. This value appears to be close to other observations. For the FeO orange bands,\nEvans et al. (2010) measured with OSIRIS on Odin between 0 and 40◦S in April/May 2003 a centroid emission height slightly\n(up to 1 km) higher than the peak at about 87 km. Modelling of the FeO layer involving FeMOD (Gardner et al., 2005) at\n20◦N in March 2000 even resulted in a peak height of 89.5 km (Saran et al., 2011). Without a good knowledge of the chemistry related to the 1,510 nm feature, the difference between mean centroid and\n705\nQ2DW-related effective emission height is uncertain. If the OH-based shift is applied, the former would be about 84.1 km. This is possibly an upper limit and indicates that the emission layer appears to be lower than the OH and FeO layers. Previ-\nous simulations of the Fe-related layers with WACCM by Feng et al. (2013) showed that the densities of neutral molecular\nreservoir species such as FeO3, FeOH, and Fe(OH)2 can peak several kilometres lower than the FeO density. Modelling also Without a good knowledge of the chemistry related to the 1,510 nm feature, the difference between mean centroid and\n705\nQ2DW-related effective emission height is uncertain. If the OH-based shift is applied, the former would be about 84.1 km. This is possibly an upper limit and indicates that the emission layer appears to be lower than the OH and FeO layers. Previ-\nous simulations of the Fe-related layers with WACCM by Feng et al. (2013) showed that the densities of neutral molecular\nreservoir species such as FeO3, FeOH, and Fe(OH)2 can peak several kilometres lower than the FeO density. 4.1\nModel set-up Here, we use the specified dynamics version of WACCM6 nudged with NASA’s Modern Era Retrospective Analysis for\n725\nResearch and Application MERRA2 reanalysis data set (Molod et al., 2015). The model has a resolution of 1.9◦in latitude and\n2.5◦in longitude and contains 88 vertical levels from the surface to 140 km. The simulation covers the period from 1 Jan 2003\nto 28 Dec 2014 (Universal Time). Monthly mean values of selected variables were calculated to save disc space. The model 28 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. output was also sampled every half an hour for 24◦S and 70◦W near Cerro Paranal and interpolated in the height range from\n40 to 130 km with a step size of 1 km. The latter is used for the analysis in Sect. 4.2. 730 output was also sampled every half an hour for 24◦S and 70◦W near Cerro Paranal and interpolated in the height range from\n40 to 130 km with a step size of 1 km. The latter is used for the analysis in Sect. 4.2. 730 output was also sampled every half an hour for 24◦S and 70◦W near Cerro Paranal and interpolated in the height range from\n40 to 130 km with a step size of 1 km. The latter is used for the analysis in Sect. 4.2. 30 Table 2. Emission from electronically excited Fe-containing molecules Table 2. Emission from electronically excited Fe-containing molecules\nNumbera\nReaction\nRate coefficientb\nReference\n(cm3molecule−1s−1)\nR2\nFe + O3 →FeO∗+ O2\n2.9 × 10−10e−174/T\nFeng et al. (2013)\nR6\nFeOH + O3 →OFeOH∗+ O2\n7.3 × 10−10(−200/T)−1.65\nThis work\nR10\nFeO + O3 →FeO∗\n2 + O2\n3.0 × 10−10e−177/T\nRollason and Plane (2000)\nR11\nOFeOH + O →FeOH + O2\n6.0 × 10−10(−200/T)−1.68\nThis work\nR12\nOFeOH + FeOH →MSPc\n9.0 × 10−10\nThis work\nR13\nOFeOH + OFeOH →MSPc\n9.0 × 10−10\nThis work\na consistent with numbering in text\nb temperature T in Kelvin\nc meteoric smoke particles Table 3. Potential mechanisms for generating HO2 emission\nNumbera\nReaction\nRate coefficient\nReference\n(cm3molecule−1s−1)\nR8\nHO2 + O2(a1∆g) →HO∗\n2 + O2\n1.0 × 10−10\nThis work\nR9\nH + O2 + M →HO∗\n2 + M\nk0(4.4 × 10−32,n = 1.3),\nBurkholder et al. (2015)\nk∞(7.5 × 10−11,m = −0.2)b\nR14\nH + O3 →HO∗\n2 + O\n7.0 × 10−13 (upper limit)\nHoward and Finlayson-Pitts (1980)\nR15\nHO2 + O →OH + O2(a1∆g)\n0.95 × 2.7 × 10−11e222.5/T\nThis workc\nR16\nHO2 + O →OH + O2(X3Σ−\ng )\n0.05 × 2.7 × 10−11e222.5/T\nThis workc\na consistent with numbering in text\nb low- and high-pressure limits with exponents n and m for (Tref/T ) with Tref = 300 K (three-body recombination)\nc c.f. Burkholder et al. (2015) Table 3. Another source of a1∆g at even lower heights could be Reaction R9 if M is O2. However, the efficiency is quite\nuncertain. Hence, we focus on Reaction 16, which also provides a1∆g at heights relevant for HO2. We evaluate this choice in\nSect. 4.2. 770 nighttime production of a1∆g. With a branching ratio of 95%, we explore the maximum possible contribution of this pathway. 755\nFor a better understanding of the impact of this percentage, we also performed a simulation with a relative a1∆g yield of 40%. The main effect is the decrease of the nocturnal HO2 emission due to Reaction R8 around midnight and later in agreement\nwith the reduced percentage. At the beginning of the night, the impact is smaller as a1∆g mainly originates from the daytime\nO3 photolysis, which is considered in WACCM. The decay of this population shows a time constant of the order of 1 hour in nighttime production of a1∆g. With a branching ratio of 95%, we explore the maximum possible contribution of this pathway. 755\nFor a better understanding of the impact of this percentage, we also performed a simulation with a relative a1∆g yield of 40%. The main effect is the decrease of the nocturnal HO2 emission due to Reaction R8 around midnight and later in agreement\nwith the reduced percentage. At the beginning of the night, the impact is smaller as a1∆g mainly originates from the daytime\nO3 photolysis, which is considered in WACCM. The decay of this population shows a time constant of the order of 1 hour in the mesopause region (Noll et al., 2016). There are other possible mechanisms that could contribute to the nighttime a1∆g\n760\npopulation. However, there is a remarkable lack of knowledge with respect to the efficiency of these reactions. The ‘classical’\npathway via O recombination and subsequent collisions (e.g., Barth and Hildebrandt, 1961; Slanger and Copeland, 2003) that\nis important for the production of the b1Σ+\ng and higher electronic states does not appear to lead to a sufficient a1∆g population,\nincluding heights around the peak of the O2(b-X)(0-0) band at 762 nm near 94 km (e.g., Yee et al., 1997). O2(a-X)(0-0) at the mesopause region (Noll et al., 2016). There are other possible mechanisms that could contribute to the nighttime a1∆g\n760\npopulation. However, there is a remarkable lack of knowledge with respect to the efficiency of these reactions. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. is sufficiently exothermic by 339 kJ mol−1 if O2(X3Σ−\ng ) is produced, or 244 kJ mol−1 if O2(a1∆g) is the product (which is\nthe spin-conserving channel). OFeOH has an abundance of low-lying electronic states (eight states below 2.5 eV) which could\nbe involved in emission from the visual to the near-IR. Reaction R11 is exothermic by 60 kJ mol−1. Both reactions should\nnot have significant barriers and hence calculated capture rate coefficients (Georgievskii and Klippenstein, 2005) are assigned\nto these reactions. Reactions R12 and R13 represent polymerisation of OFeOH and FeOH to make meteoric smoke particles,\n740\nwhich are treated as a permanent sink. is sufficiently exothermic by 339 kJ mol−1 if O2(X3Σ−\ng ) is produced, or 244 kJ mol−1 if O2(a1∆g) is the product (which is\nthe spin-conserving channel). OFeOH has an abundance of low-lying electronic states (eight states below 2.5 eV) which could\nbe involved in emission from the visual to the near-IR. Reaction R11 is exothermic by 60 kJ mol−1. Both reactions should\nnot have significant barriers and hence calculated capture rate coefficients (Georgievskii and Klippenstein, 2005) are assigned\nto these reactions. Reactions R12 and R13 represent polymerisation of OFeOH and FeOH to make meteoric smoke particles,\n740\nwhich are treated as a permanent sink. Th fi t th\nti\ni T bl 3\ntit t\nt\nti l\nh\ni\nf\nth\nti\nf\nit d HO\ntt\nti\ndid t is sufficiently exothermic by 339 kJ mol−1 if O2(X3Σ−\ng ) is produced, or 244 kJ mol−1 if O2(a1∆g) is the product (which is\nthe spin-conserving channel). OFeOH has an abundance of low-lying electronic states (eight states below 2.5 eV) which could\nbe involved in emission from the visual to the near-IR. Reaction R11 is exothermic by 60 kJ mol−1. Both reactions should\nnot have significant barriers and hence calculated capture rate coefficients (Georgievskii and Klippenstein, 2005) are assigned\nto these reactions. Reactions R12 and R13 represent polymerisation of OFeOH and FeOH to make meteoric smoke particles,\n740\nwhich are treated as a permanent sink. The first three reactions in Table 3 constitute potential mechanisms for the generation of excited HO2, an attractive candidate\nfor the source of the X(NIR) component of the nightglow continuum measured by X-shooter. Potential mechanisms for generating HO2 emission g\ng\n2\nNumbera\nReaction\nRate coefficient\nReference\n(cm3molecule−1s−1)\nR8\nHO2 + O2(a1∆g) →HO∗\n2 + O2\n1.0 × 10−10\nThis work\nR9\nH + O2 + M →HO∗\n2 + M\nk0(4.4 × 10−32,n = 1.3),\nBurkholder et al. (2015)\nk∞(7.5 × 10−11,m = −0.2)b\nR14\nH + O3 →HO∗\n2 + O\n7.0 × 10−13 (upper limit)\nHoward and Finlayson-Pitts (1980)\nR15\nHO2 + O →OH + O2(a1∆g)\n0.95 × 2.7 × 10−11e222.5/T\nThis workc\nR16\nHO2 + O →OH + O2(X3Σ−\ng )\n0.05 × 2.7 × 10−11e222.5/T\nThis workc b low- and high-pressure limits with exponents n and m for (Tref/T ) with Tref = 300 K (three-body recombination)\nc c.f. Burkholder et al. (2015) b low- and high-pressure limits with exponents n and m for (Tref/T ) with Tref = 300 K (three-body recombination) b low- and high-pressure limits with exponents n and m for (Tref/T ) with Tref = 300 K (three-body recombination)\nc c f Burkholder et al (2015) Table 2 lists potential Fe-related nightglow chemistry that was explored. Reaction R2 generates FeO emission (Feng et al.,\n2013). According to Helmer and Plane (1994), it is exothermic by 301 ± 8 kJ mol−1, i.e. almost the entire wavelength range\nof the X-shooter nightglow spectrum could be covered. Reaction R10 that produces FeO2 indicates a similar exothermicity of\n311±48 kJ mol−1 (Rollason and Plane, 2000). For the other reactions in Table 2, the reaction exothermicities were calculated\nusing the high accuracy complete basis set CBS-QB3 method (Frisch et al., 2016). The production of OFeOH via Reaction R6\n735 735 29 We list the already mentioned\nReaction R8 that is most relevant for the production of chemiluminescent emission in the laboratory and Reaction R9 that 740 The first three reactions in Table 3 constitute potential mechanisms for the generation of excited HO2, an attractive candidate\nfor the source of the X(NIR) component of the nightglow continuum measured by X-shooter. We list the already mentioned\nReaction R8 that is most relevant for the production of chemiluminescent emission in the laboratory and Reaction R9 that also produces chemiluminescence and is the main production process of HO2 (Sect. 3.2). In principle, the direct radiative\n745\nrecombination of H and O2 could also contribute. However, this mechanism is very unlikely to compete with the termolecular\nReaction R9 at the relatively high pressures of the mesopause region. It would need a probability of the order of 10−8 to make\na small contribution at least. As confirmed by tests, the intensity variations from this reaction are very similar to those of the\ntermolecular case. Hence, an estimate of the relevance would be very challenging. We neglect this possible minor channel also produces chemiluminescence and is the main production process of HO2 (Sect. 3.2). In principle, the direct radiative\n745\nrecombination of H and O2 could also contribute. However, this mechanism is very unlikely to compete with the termolecular\nReaction R9 at the relatively high pressures of the mesopause region. It would need a probability of the order of 10−8 to make\na small contribution at least. As confirmed by tests, the intensity variations from this reaction are very similar to those of the\ntermolecular case. Hence, an estimate of the relevance would be very challenging. We neglect this possible minor channel in the following. Lastly, the reaction between H and O3 (Reaction R14) is sufficiently exothermic to produce excited HO2. 750\nHowever, the channel producing HO2 + O is known from experiment to be minor (3%) compared with the channel producing\nOH + O2 (Howard and Finlayson-Pitts, 1980). Reactions R15 and R16 lead to the destruction of HO2 by collisions with O. The difference between both reactions is the\nelectronic state of the resulting O2 molecule. We included this distinction as we consider Reaction R15 as the source of the in the following. Lastly, the reaction between H and O3 (Reaction R14) is sufficiently exothermic to produce excited HO2. 750\nHowever, the channel producing HO2 + O is known from experiment to be minor (3%) compared with the channel producing\nOH + O2 (Howard and Finlayson-Pitts, 1980). Reactions R15 and R16 lead to the destruction of HO2 by collisions with O. The difference between both reactions is the\nelectronic state of the resulting O2 molecule. We included this distinction as we consider Reaction R15 as the source of the Reactions R15 and R16 lead to the destruction of HO2 by collisions with O. The difference between both reactions is the\nelectronic state of the resulting O2 molecule. We included this distinction as we consider Reaction R15 as the source of the\nnighttime production of a1∆g. With a branching ratio of 95%, we explore the maximum possible contribution of this pathway. 755\nFor a better understanding of the impact of this percentage, we also performed a simulation with a relative a1∆g yield of 40%. The main effect is the decrease of the nocturnal HO2 emission due to Reaction R8 around midnight and later in agreement\nwith the reduced percentage. At the beginning of the night, the impact is smaller as a1∆g mainly originates from the daytime\nO3 photolysis, which is considered in WACCM. The decay of this population shows a time constant of the order of 1 hour in\nthe mesopause region (Noll et al., 2016). There are other possible mechanisms that could contribute to the nighttime a1∆g\n760\npopulation. However, there is a remarkable lack of knowledge with respect to the efficiency of these reactions. The ‘classical’\npathway via O recombination and subsequent collisions (e.g., Barth and Hildebrandt, 1961; Slanger and Copeland, 2003) that\nis important for the production of the b1Σ+\ng and higher electronic states does not appear to lead to a sufficient a1∆g population,\nincluding heights around the peak of the O2(b-X)(0-0) band at 762 nm near 94 km (e.g., Yee et al., 1997). O2(a-X)(0-0) at\n1,270 nm shows a mean centroid emission height of about 89 km at Cerro Paranal (Noll et al., 2016). This altitude is similar\n765\nto the centroid emission heights of OH lines, particularly those with relatively high vibrational excitation (Noll et al., 2022a). Therefore, reactions between OH and O might lead to the generation of excited O2 molecules in the altitude range of the OH\nemission. 4.2\nResults from simulations Figure 9 provides an overview of the typical nighttime emission and density profiles of the different relevant species. Only\nprofiles close to local midnight were considered for the calculation of the mean curves. The climatological variations with profiles close to local midnight were considered for the calculation of the mean curves. The climatological variations with\nrespect to local time and day of year for relative intensity of FeO and OFeOH are shown in Fig. 10. For the four HO2-\n790\nrelated emission processes listed in Table 3, the corresponding climatologies are displayed in Fig. 11. The reference intensities\n⟨I⟩for these climatologies are provided in Table 4. They are compared to the corresponding results for the X-shooter-based\nanalysis, which involves the measurement of individual continuum features and the derivation of continuum components. For\nthe intensity, the table also shows the correlation coefficients r for the correlation of the model climatologies of the different respect to local time and day of year for relative intensity of FeO and OFeOH are shown in Fig. 10. For the four HO2-\n790\nrelated emission processes listed in Table 3, the corresponding climatologies are displayed in Fig. 11. The reference intensities\n⟨I⟩for these climatologies are provided in Table 4. They are compared to the corresponding results for the X-shooter-based\nanalysis, which involves the measurement of individual continuum features and the derivation of continuum components. For\nthe intensity, the table also shows the correlation coefficients r for the correlation of the model climatologies of the different analysed emission processes with the variability patterns of the measured continuum features at 595 nm (f06a) and 1,510 nm\n795\n(f15a) that are displayed in Fig. 4. The table also lists average centroid emission heights ⟨hcen⟩from the model-based nighttime\nclimatologies, compared with the ranges indicated from the Q2DW-related analysis of the two continuum features in Sect. 3.5. Finally, the climatology-based effective solar cycle effect ⟨SCE⟩is provided for the modelled and measured intensities. Although the covered time interval from 2003 to 2014 only partly overlaps with the X-shooter sample (Oct 2009 to\nSep 2019), the mean solar radio flux of all nighttime climatological grid points was also very close to this reference value (97 to 107 sfu with a mean of 100 sfu), which caused only very small corrections. We also compared the effective solar cycle effects\n780\nfor the nighttime climatologies of the measured and modelled emissions. The shift of the time interval certainly contributes to\nthe systematic uncertainties but does not appear to significantly increase them. Based on the results for the different calculation\nmethods discussed in Sect. 3.4, we expect total uncertainties of the order of a few per cent per 100 sfu. Apart from intensity\nclimatologies, we also derived climatologies for the centroid heights of the emissions, i.e. emission-weighted heights for the whole range from 40 to 130 km. The typical nighttime emission profiles were mostly well localised in the mesopause region. 785\nFinally, we calculated climatologies for the number densities of different relevant atmospheric species at specific heights. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. To be consistent with the analysis of the nocturnal/seasonal variations in the X-shooter-based measurements (Sect. 3.3), we\nderived model climatologies for the vertically integrated volume emission rates between 40 and 130 km in a similar way. We\nonly considered nighttime data with solar zenith angles larger than 100◦, which reduced the sample from 210,240 to 92,064\ntime steps for 12 years. The time resolution of 30 min is consistent with the binning of the X-shooter data. As the resulting To be consistent with the analysis of the nocturnal/seasonal variations in the X-shooter-based measurements (Sect. 3.3), we\nderived model climatologies for the vertically integrated volume emission rates between 40 and 130 km in a similar way. We\nonly considered nighttime data with solar zenith angles larger than 100◦, which reduced the sample from 210,240 to 92,064\ntime steps for 12 years. The time resolution of 30 min is consistent with the binning of the X-shooter data. As the resulting\nsample is still much larger than those used for the climatologies of the binned measured data, it is was not necessary to partly\n775\ndecrease the resolution to achieve minimum subsample sizes of 200 or 400 for each relevant grid point (Sect. 3.3). Consistent\nwith the X-shooter-related results, the intensity climatologies are given for a fixed solar radio flux averaged for 27 days of\n100 sfu. Although the covered time interval from 2003 to 2014 only partly overlaps with the X-shooter sample (Oct 2009 to\nSep 2019), the mean solar radio flux of all nighttime climatological grid points was also very close to this reference value (97 to sample is still much larger than those used for the climatologies of the binned measured data, it is was not necessary to partly\n775\ndecrease the resolution to achieve minimum subsample sizes of 200 or 400 for each relevant grid point (Sect. 3.3). Consistent\nwith the X-shooter-related results, the intensity climatologies are given for a fixed solar radio flux averaged for 27 days of\n100 sfu. The ‘classical’\npathway via O recombination and subsequent collisions (e.g., Barth and Hildebrandt, 1961; Slanger and Copeland, 2003) that\nis important for the production of the b1Σ+\ng and higher electronic states does not appear to lead to a sufficient a1∆g population,\nincluding heights around the peak of the O2(b-X)(0-0) band at 762 nm near 94 km (e.g., Yee et al., 1997). O2(a-X)(0-0) at 1,270 nm shows a mean centroid emission height of about 89 km at Cerro Paranal (Noll et al., 2016). This altitude is similar\n765\nto the centroid emission heights of OH lines, particularly those with relatively high vibrational excitation (Noll et al., 2022a). Therefore, reactions between OH and O might lead to the generation of excited O2 molecules in the altitude range of the OH\nemission. Another source of a1∆g at even lower heights could be Reaction R9 if M is O2. However, the efficiency is quite\nuncertain. Hence, we focus on Reaction 16, which also provides a1∆g at heights relevant for HO2. We evaluate this choice in\nSect 4 2\n770 30 4.2.1\nFeO and OFeOH emission 8,760 profiles with local times of 23:48 and 00:18) at 24◦S and 0\n10\n20\nVolume emission rate [R km\n1]\n70\n80\n90\n100\nHeight [km]\n(a)\nFe-related emission profiles at midnight\nFeO3 (R2)\nOFeOH (R6)\nFeO2 (R10) 10\n6\n10\n4\n10\n2\n100\n102\n104\nNumber density [cm\n3]\n70\n80\n90\n100\nHeight [km]\n(b)\nFe-related density profiles at midnight\nFe\nFeO\nFeO2\nFeOH\nOFeOH Fe-related density profiles at midnight Height [km] Volume emission rate [R km\n1] Number density [cm\n3] 0\n5\n10\nVolume emission rate [kR km\n1]\n70\n80\n90\n100\nHeight [km]\n(c)\nHO2-related emission profiles at midnight\nHO2 (R8)\nHO2 (R9)\nHO2 (R14) y \n100\n102\n104\n106\n108\nNumber density [cm\n3]\n70\n80\n90\n100\nHeight [km]\n(d)\nHO2-related density profiles at midnight\nHO2\nO2(a1\ng)\nH\nO3 HO2-related emission profiles at midnight HO2-related density profiles at midnight HO2-related density profiles at midnight Height [km] Figure 9. WACCM-related mean profiles of (a) volume emission rates of excited Fe-containing molecules (see Table 2), (b) number densities\nof Fe-containing molecules, (c) volume emission rates of excited HO2 produced by different processes (see Table 3), and (d) number densities\nof species relevant for the production of excited HO2 for local midnight (i.e. 8,760 profiles with local times of 23:48 and 00:18) at 24◦S and\n70◦W. pattern with only slight shifts in the peak positions. Although the moderate nocturnal decrease between austral autumn and pattern with only slight shifts in the peak positions. Although the moderate nocturnal decrease between austral autumn and pattern with only slight shifts in the peak positions. Although the moderate nocturnal decrease between austral autumn and\nspring in the WACCM data is not present in the measured climatology, the overall agreement is nevertheless satisfactory. 805\nThe correlation coefficient r for the grid cells with significant nighttime contribution is +0.81. Table 4 also shows an average\ncentroid height for the FeO emission of Reaction R2 of 87.9 km (see also Fig. 9a), which is located between the low variability-\nbased and maximum centroid emission heights from the analysis of Q2DW-related variations of the 595 nm variations in spring in the WACCM data is not present in the measured climatology, the overall agreement is nevertheless satisfactory. 805\nThe correlation coefficient r for the grid cells with significant nighttime contribution is +0.81. 4.2.1\nFeO and OFeOH emission The best-known structure of the nightglow continuum is the peak at about 595 nm, which is identified to be caused by FeO\n800\nemission (Evans et al., 2010; Saran et al., 2011; Gattinger et al., 2011a; Unterguggenberger et al., 2017). The related WACCM\nclimatology in Fig. 10a shows a primary maximum in May and a secondary one in October, whereas the lowest nocturnal\naverages occur around the turn of the year. The climatology for the 595 nm feature in Fig. 4a shows a similar seasonal variability 31 0\n10\n20\nVolume emission rate [R km\n1]\n70\n80\n90\n100\nHeight [km]\n(a)\nFe-related emission profiles at midnight\nFeO3 (R2)\nOFeOH (R6)\nFeO2 (R10)\n10\n6\n10\n4\n10\n2\n100\n102\n104\nNumber density [cm\n3]\n70\n80\n90\n100\nHeight [km]\n(b)\nFe-related density profiles at midnight\nFe\nFeO\nFeO2\nFeOH\nOFeOH\n0\n5\n10\nVolume emission rate [kR km\n1]\n70\n80\n90\n100\nHeight [km]\n(c)\nHO2-related emission profiles at midnight\nHO2 (R8)\nHO2 (R9)\nHO2 (R14)\n100\n102\n104\n106\n108\nNumber density [cm\n3]\n70\n80\n90\n100\nHeight [km]\n(d)\nHO2-related density profiles at midnight\nHO2\nO2(a1\ng)\nH\nO3\nFigure 9. WACCM-related mean profiles of (a) volume emission rates of excited Fe-containing molecules (see Table 2), (b) number densities\nof Fe-containing molecules, (c) volume emission rates of excited HO2 produced by different processes (see Table 3), and (d) number densities\nof species relevant for the production of excited HO2 for local midnight (i.e. 3.1 and 3.2, this appears to be a\nrobust identification of FeO chemiluminescence However the 595 nm feature is only a very small part of the entire well- LT) of 86.3 and 88.9 km are inside this interval. Moreover, the moderate positive solar cycle effects from the modelled and\n810\nmeasured climatologies of about +16 and +11% per 100 sfu agree quite well within their uncertainties (Sects. 4.1 and 3.4,\nrespectively). Together with the spectral structure of the continuum in the VIS arm discussed in Sects. 3.1 and 3.2, this appears to be a\nrobust identification of FeO chemiluminescence. However, the 595 nm feature is only a very small part of the entire well- robust identification of FeO chemiluminescence. However, the 595 nm feature is only a very small part of the entire well-\ncorrelated FeO(VIS) component plotted in Fig. 3. Table 4 lists a mean intensity of the measured feature of about 27 R, whereas\n815\nthe FeO(VIS) component could emit about 2.9 kR. In contrast, the simulated mean intensity is only 170 R assuming a quantum\nyield (QY) of unity. This value is sufficient for the main peak of the orange bands, which would imply a QY of about 16%. This percentage is consistent with the result of Unterguggenberger et al. (2017) of 13 ± 3 %, which is also based on X-shooter\nmeasurements and WACCM simulations, although the samples and analysis approaches differ. If other features and more correlated FeO(VIS) component plotted in Fig. 3. Table 4 lists a mean intensity of the measured feature of about 27 R, whereas\n815\nthe FeO(VIS) component could emit about 2.9 kR. In contrast, the simulated mean intensity is only 170 R assuming a quantum\nyield (QY) of unity. This value is sufficient for the main peak of the orange bands, which would imply a QY of about 16%. This percentage is consistent with the result of Unterguggenberger et al. (2017) of 13 ± 3 %, which is also based on X-shooter\nmeasurements and WACCM simulations, although the samples and analysis approaches differ. If other features and more correlated FeO(VIS) component plotted in Fig. 3. Table 4 lists a mean intensity of the measured feature of about 27 R, whereas\n815\nthe FeO(VIS) component could emit about 2.9 kR. In contrast, the simulated mean intensity is only 170 R assuming a quantum\nyield (QY) of unity. 4.2.1\nFeO and OFeOH emission Table 4 also shows an average\ncentroid height for the FeO emission of Reaction R2 of 87.9 km (see also Fig. 9a), which is located between the low variability-\nbased and maximum centroid emission heights from the analysis of Q2DW-related variations of the 595 nm variations in 32 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nFeO emission from Fe + O3 (R2)\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nOFeOH emission from FeOH + O3 (R6)\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\nRelative intensity\n0.5\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\nRelative intensity\nFigure 10. Climatologies of intensity relative to the mean for the vertically-integrated WACCM-simulated emission of (a) FeO and (b)\nOFeOH (see Table 2) at 24◦S and 70◦W. The climatologies were derived in a similar way as those in Fig. 4. With 92,064 selected nighttime\ndata points, the subsample size for the relevant grid points was well above the limit of 200 (and even 400) used for the X-shooter data. 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nFeO emission from Fe + O3 (R2)\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\nRelative intensity 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nOFeOH emission from FeOH + O3 (R6)\n0.5\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\nRelative intensity Figure 10. Climatologies of intensity relative to the mean for the vertically-integrated WACCM-simulated emission of (a) FeO and (b)\nOFeOH (see Table 2) at 24◦S and 70◦W. The climatologies were derived in a similar way as those in Fig. 4. With 92,064 selected nighttime\ndata points, the subsample size for the relevant grid points was well above the limit of 200 (and even 400) used for the X-shooter data. ect. 3.5. Even the minimum and maximum values of the simulated climatology (which shows an Sect. 3.5. Even the minimum and maximum values of the simulated climatology (which shows an increase with increasing\nLT) of 86.3 and 88.9 km are inside this interval. Moreover, the moderate positive solar cycle effects from the modelled and\n810\nmeasured climatologies of about +16 and +11% per 100 sfu agree quite well within their uncertainties (Sects. 4.1 and 3.4,\nrespectively). Together with the spectral structure of the continuum in the VIS arm discussed in Sects. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nHO2 emission from HO2 + O2(a1\ng) (R8)\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nHO2 emission from H + O2 + M (R9)\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(c)\nHO2 emission from H + O3 (R14)\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(d)\nHO2 emission from R8 + R9 + R14\n0.3\n0.6\n0.9\n1.2\n1.5\n1.8\n2.1\n2.4\n2.7\n3.0\n3.3\n3.6\n3.9\nRelative intensity\n0.6\n0.8\n1.0\n1.2\n1.4\n1.6\n1.8\n2.0\nRelative intensity\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\nRelative intensity\n0.6\n0.8\n1.0\n1.2\n1.4\n1.6\n1.8\n2.0\n2.2\n2.4\n2.6\n2.8\nRelative intensity\nFigure 11. Climatologies of intensity relative to the mean for the vertically-integrated WACCM-simulated emission of excited HO2 produced\nby three different processes (see Table 3) and the sum of them at 24◦S and 70◦W. Sample and calculation of the climatologies were the\nsame as for Fig. 10. This value is sufficient for the main peak of the orange bands, which would imply a QY of about 16%. This percentage is consistent with the result of Unterguggenberger et al. (2017) of 13 ± 3 %, which is also based on X-shooter\nmeasurements and WACCM simulations, although the samples and analysis approaches differ. If other features and more underlying continuum is added to the calculation of the intensity, the simulated FeO emission budget is consumed quite fast. 820\nAdding just the continuum below the integration range of the 595 nm feature between 584 and 607 nm leads to 148 R for the\nmean continuum and 123 R if only the FeO(VIS) component is considered. Integration of the nightglow spectrum between 560\nand 620 nm and subtraction of a constant flux that was measured at 500 nm returned 221 R. This kind of measurement was\nalready performed by Saran et al. (2011) for ESI spectra taken at Mauna Kea (see Sect. 1). They found intensities up to 157 R underlying continuum is added to the calculation of the intensity, the simulated FeO emission budget is consumed quite fast. 820\nAdding just the continuum below the integration range of the 595 nm feature between 584 and 607 nm leads to 148 R for the\nmean continuum and 123 R if only the FeO(VIS) component is considered. Integration of the nightglow spectrum between 560\nand 620 nm and subtraction of a constant flux that was measured at 500 nm returned 221 R. This kind of measurement was\nalready performed by Saran et al. (2011) for ESI spectra taken at Mauna Kea (see Sect. 1). They found intensities up to 157 R in two nights. A simulation based on FeMOD (Gardner et al., 2005) returned 61 R, which was then compared to a measured\n825\nintensity of about 80 R. Interestingly, their ratio of 1.3 for measurement vs. model is the same that we obtain for our X-shooter in two nights. A simulation based on FeMOD (Gardner et al., 2005) returned 61 R, which was then compared to a measured\n825\nintensity of about 80 R. Interestingly, their ratio of 1.3 for measurement vs. model is the same that we obtain for our X-shooter 33 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. As the climatology in (a) shows a very large dynamical range, the colour scale was cut at a relative intensity of 4, which\nd\nd th\ni\nli\nd\nb\nth\nf\nt\nf 2 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nHO2 emission from HO2 + O2(a1\ng) (R8)\n0.3\n0.6\n0.9\n1.2\n1.5\n1.8\n2.1\n2.4\n2.7\n3.0\n3.3\n3.6\n3.9\nRelative intensity 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nHO2 emission from H + O2 + M (R9)\n0.6\n0.8\n1.0\n1.2\n1.4\n1.6\n1.8\n2.0\nRelative intensity HO2 emission from H + O2 + M (R9) Local time [h] Local time [h] Day of year 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(c)\nHO2 emission from H + O3 (R14)\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\nRelative intensity 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(d)\nHO2 emission from R8 + R9 + R14\n0.6\n0.8\n1.0\n1.2\n1.4\n1.6\n1.8\n2.0\n2.2\n2.4\n2.6\n2.8\nRelative intensity HO2 emission from R8 + R9 + R14 HO2 emission from H + O3 (R14) Local time [h] Local time [h] Figure 11. Climatologies of intensity relative to the mean for the vertically-integrated WACCM-simulated emission of excited HO2 produced\nby three different processes (see Table 3) and the sum of them at 24◦S and 70◦W. Sample and calculation of the climatologies were the\nsame as for Fig. 10. As the climatology in (a) shows a very large dynamical range, the colour scale was cut at a relative intensity of 4, which\ndecreased the visualised range by more than a factor of 2. and WACCM data. Moreover, Unterguggenberger et al. (2017) stated that the FeO main peak only contributes about 3.9% to\nthe entire spectrum of the orange bands calculated by Gattinger et al. (2011a). For our case, this would be a total emission of\n692 R. Unterguggenberger et al. (2017) also measured a fraction of 3.3 ± 0.8% of the main peak contribution to the emission\nbetween 500 and 720 nm. This is consistent with our results. We obtain 2.8% for the full nightglow continuum and 3.1% for\n830\nthe FeO(VIS) component. and WACCM data. Moreover, Unterguggenberger et al. (2017) stated that the FeO main peak only contributes about 3.9% to\nthe entire spectrum of the orange bands calculated by Gattinger et al. (2011a). For our case, this would be a total emission of\n692 R. Unterguggenberger et al. (2017) also measured a fraction of 3.3 ± 0.8% of the main peak contribution to the emission\nbetween 500 and 720 nm. This is consistent with our results. We obtain 2.8% for the full nightglow continuum and 3.1% for\n830\nthe FeO(VIS) component. the entire spectrum of the orange bands calculated by Gattinger et al. (2011a). For our case, this would be a total emission of\n692 R. Unterguggenberger et al. (2017) also measured a fraction of 3.3 ± 0.8% of the main peak contribution to the emission\nbetween 500 and 720 nm. This is consistent with our results. We obtain 2.8% for the full nightglow continuum and 3.1% for\n830\nthe FeO(VIS) component. between 500 and 720 nm. This is consistent with our results. We obtain 2.8% for the full nightglow continuum and 3.1% for\n830\nthe FeO(VIS) component. 830 34 6 for the\nX-shooter-related features) Comparison of nightglow continuum emissions from X-shooter spectra and WACCM simulations of po\nEmissiona\n⟨I⟩b\nrf06a\nc\nrf15a\nd\n⟨hcen⟩e\n⟨SCE⟩f\n(kR)\n(km)\n(10−2 sfu−1)\n595 nm (f06a)\n0.027\n+1.000\n−0.305\n85.2–89.2\n+0.107\nFeO(VIS)\n2.90\n+0.926\n−0.600\nFeO (R2)\n0.170\n+0.807\n+0.116\n87.9\n+0.158\nOFeOH (R6)\n0.220\n+0.867\n−0.190\n82.3\n+0.053\nFeO2 (R10)\n0.0002\n+0.744\n+0.262\n85.8\n+0.102\n1,510 nm (f15a)\n1.37\n−0.305\n+1.000\n80.0–84.1\n+0.042\nX(NIR)\n11.81\n−0.320\n+1.000\nHO2 (R8)\n12.74\n+0.118\n+0.644\n78.0\n+0.083\nHO2 (R9)\n81.52\n+0.008\n+0.852\n80.8\n+0.084\nHO2 (R14)\n7.27\n+0.371\n+0.635\n86.0\n+0.115\nHO2 (sum)\n101.53\n+0.062\n+0.805\n80.8\n+0.087 a continuum feature or component (X-shooter) or emission of given molecule and reaction in\nTables 2 and 3 (WACCM) b mean intensity from nighttime climatologies in Figs. 4, 10, and 11, or continuum component in\nFig. 3 c correlation coefficient for correlation with climatology of 595 nm feature in Fig. 4a d correlation coefficient for correlation with climatology of 1,510 nm feature in Fig. 4b e range of possible centroid emission heights from Q2DW-related analysis in Sect. 3.5 (X-shooter)\nand mean centroid emission heights from nighttime climatologies (WACCM) f\nmean relative solar cycle effect for the intensity for a change of the solar radio flux averaged for\n27 days by 100 sfu from the corresponding nighttime climatologies (plotted in Fig. 6 for the\nX-shooter-related features) Hence, the emissions of the apparent structures of the FeO orange bands in the nightglow continuum are already an issue for\nthe model. Furthermore, the simulated intensity is more than an order of magnitude too low if the entire FeO(VIS) component\nspectrum is compared. This result is difficult to explain as WACCM agrees well with Fe concentrations measured by lidars (Feng et al., 2013). Moreover, the rate coefficient for Reaction R2 has been measured in the laboratory (Helmer and Plane,\n835\n1994) and is close to the capture rate, i.e. the physical upper limit. A possible alternative production pathway of FeO would\nbe the reaction of relatively abundant FeOH (see Fig. 9b) and H. However, this reaction is exothermic by only 61 kJ mol−1,\nwhich is not sufficient to produce the observed spectrum. In principle, the latter would be possible by the sufficiently exothermic\nReaction R10 in Table 2 that produces excited FeO2. However, our simulation indicates that this emission is very faint (Fig. 9a). (Feng et al., 2013). https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. Table 4. Comparison of nightglow continuum emissions from X-shooter spectra and WACCM simulations of potential emission processes\nEmissiona\n⟨I⟩b\nrf06a\nc\nrf15a\nd\n⟨hcen⟩e\n⟨SCE⟩f\n(kR)\n(km)\n(10−2 sfu−1)\n595 nm (f06a)\n0.027\n+1.000\n−0.305\n85.2–89.2\n+0.107\nFeO(VIS)\n2.90\n+0.926\n−0.600\nFeO (R2)\n0.170\n+0.807\n+0.116\n87.9\n+0.158\nOFeOH (R6)\n0.220\n+0.867\n−0.190\n82.3\n+0.053\nFeO2 (R10)\n0.0002\n+0.744\n+0.262\n85.8\n+0.102\n1,510 nm (f15a)\n1.37\n−0.305\n+1.000\n80.0–84.1\n+0.042\nX(NIR)\n11.81\n−0.320\n+1.000\nHO2 (R8)\n12.74\n+0.118\n+0.644\n78.0\n+0.083\nHO2 (R9)\n81.52\n+0.008\n+0.852\n80.8\n+0.084\nHO2 (R14)\n7.27\n+0.371\n+0.635\n86.0\n+0.115\nHO2 (sum)\n101.53\n+0.062\n+0.805\n80.8\n+0.087 Table 4. Comparison of nightglow continuum emissions from X-shooter spectra and WACCM simulations of potential emission processes Table 4. Comparison of nightglow continuum emissions from X-shooter spectra and WACCM simulations o htglow continuum emissions from X-shooter spectra and WACCM simulations of potential emission processes Table 4. Comparison of nightglow continuum emissions from X-shooter spectra and WACCM simulations of potential emission processes\nEmissiona\n⟨I⟩b\nrf06a\nc\nrf15a\nd\n⟨hcen⟩e\n⟨SCE⟩f\n(kR)\n(km)\n(10−2 sfu−1)\n595 nm (f06a)\n0.027\n+1.000\n−0.305\n85.2–89.2\n+0.107\nFeO(VIS)\n2.90\n+0.926\n−0.600\nFeO (R2)\n0.170\n+0.807\n+0.116\n87.9\n+0.158\nOFeOH (R6)\n0.220\n+0.867\n−0.190\n82.3\n+0.053\nFeO2 (R10)\n0.0002\n+0.744\n+0.262\n85.8\n+0.102\n1,510 nm (f15a)\n1.37\n−0.305\n+1.000\n80.0–84.1\n+0.042\nX(NIR)\n11.81\n−0.320\n+1.000\nHO2 (R8)\n12.74\n+0.118\n+0.644\n78.0\n+0.083\nHO2 (R9)\n81.52\n+0.008\n+0.852\n80.8\n+0.084\nHO2 (R14)\n7.27\n+0.371\n+0.635\n86.0\n+0.115\nHO2 (sum)\n101.53\n+0.062\n+0.805\n80.8\n+0.087\na continuum feature or component (X-shooter) or emission of given molecule and reaction in\nTables 2 and 3 (WACCM)\nb mean intensity from nighttime climatologies in Figs. 4, 10, and 11, or continuum component in\nFig. 3\nc correlation coefficient for correlation with climatology of 595 nm feature in Fig. 4a\nd correlation coefficient for correlation with climatology of 1,510 nm feature in Fig. 4b\ne range of possible centroid emission heights from Q2DW-related analysis in Sect. 3.5 (X-shooter)\nand mean centroid emission heights from nighttime climatologies (WACCM)\nf\nmean relative solar cycle effect for the intensity for a change of the solar radio flux averaged for\n27 days by 100 sfu from the corresponding nighttime climatologies (plotted in Fig. Moreover, the rate coefficient for Reaction R2 has been measured in the laboratory (Helmer and Plane,\n835\n1994) and is close to the capture rate, i.e. the physical upper limit. A possible alternative production pathway of FeO would\nbe the reaction of relatively abundant FeOH (see Fig. 9b) and H. However, this reaction is exothermic by only 61 kJ mol−1,\nwhich is not sufficient to produce the observed spectrum. In principle, the latter would be possible by the sufficiently exothermic\nReaction R10 in Table 2 that produces excited FeO2. However, our simulation indicates that this emission is very faint (Fig. 9a). The mean intensity in Table 4 is only 0.2 R. 840 35 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nO3 at 80 km\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nO3 at 85 km\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(c)\nH at 80 km\n0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(d)\nH at 85 km\n0.8\n1.2\n1.6\n2.0\n2.4\n2.8\n3.2\nRelative number density\n0.5\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\nRelative number density\n0.4\n0.6\n0.8\n1.0\n1.2\n1.4\n1.6\n1.8\nRelative number density\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\nRelative number density\nFigure 12. Climatologies of WACCM-simulated relative number density at 80 km (left) and 85 km (right) for the chemically important,\nstrongly variable species O3 (top) and H (bottom) at 24◦S and 70◦W. Sample and calculation of the climatologies were the same as for\nFig. 10. So far, we have not the contribution of both emission processes cannot be distinguished as in the case of the centroid heights. 855\nThese results suggests that OFeOH emission could significantly contribute to the FeO(VIS) component, although the emis-\nsion spectrum (if any) is unknown, and the rate coefficient has not been measured. Here, it is set to the collision frequency, and\na QY of unity is assumed to provide an upper limit to the contribution of this reaction. Despite this, the summed emission of\nReactions R2 and R6 is still too low to explain the full nightglow continuum in the X-shooter VIS arm. So far, we have not succeeded to identify another metal-related or any reaction that could explain the missing emission. In any case, it would be\n860\nessential that the climatological variability pattern is mainly determined by the variations of O3, which is a reactant in both\nFe-related reactions. As shown by Fig. 12b for an altitude of 85 km, the semiannual pattern with maxima near the equinoxes\nand the main minimum in austral summer is a clear indicator of O3 density changes in the mesopause region above Cerro\nParanal. succeeded to identify another metal-related or any reaction that could explain the missing emission. In any case, it would be\n860\nessential that the climatological variability pattern is mainly determined by the variations of O3, which is a reactant in both\nFe-related reactions. As shown by Fig. 12b for an altitude of 85 km, the semiannual pattern with maxima near the equinoxes\nand the main minimum in austral summer is a clear indicator of O3 density changes in the mesopause region above Cerro\nParanal. succeeded to identify another metal-related or any reaction that could explain the missing emission. In any case, it would be\n860\nessential that the climatological variability pattern is mainly determined by the variations of O3, which is a reactant in both\nFe-related reactions. As shown by Fig. 12b for an altitude of 85 km, the semiannual pattern with maxima near the equinoxes\nand the main minimum in austral summer is a clear indicator of O3 density changes in the mesopause region above Cerro\nParanal. 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(a)\nO3 at 80 km\n0.8\n1.2\n1.6\n2.0\n2.4\n2.8\n3.2\nRelative number density 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(b)\nO3 at 85 km\n0.5\n0.6\n0.7\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\n1.5\nRelative number density Relative number density Local time [h] 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(d)\nH at 85 km\n0.8\n0.9\n1.0\n1.1\n1.2\n1.3\n1.4\nRelative number density 0\n100\n200\n300\nDay of year\n4\n2\n0\n2\n4\nLocal time [h]\n(c)\nH at 80 km\n0.4\n0.6\n0.8\n1.0\n1.2\n1.4\n1.6\n1.8\nRelative number density Local time [h] Figure 12. Climatologies of WACCM-simulated relative number density at 80 km (left) and 85 km (right) for the chemically important,\nstrongly variable species O3 (top) and H (bottom) at 24◦S and 70◦W. Sample and calculation of the climatologies were the same as for\nFig. 10. The last imaginable Fe-related emission process would be related to Reaction R6 of FeOH and O3. The resulting OFeOH\nradiation could cover the entire wavelength regime of the FeO(VIS) component, although wavelengths above 500 nm would\nbe more likely (Sect. 4.1). As listed by Table 4, this nightglow process could produce up to 220 R, which is more than in the\ncase of FeO. In order to be relevant for the FeO(VIS) component, the variability needs to be similar to the climatology of\nthe 595 nm feature in Fig. 4a. Indeed, the pattern in Fig. 10b is very similar. The correlation coefficient is +0.87, which is\n845\neven higher that in the case of the simulated FeO emission. Compared to the latter, the OFeOH climatology shows a more 845 36 4.2.2\nHO2 emission\n865 The climatologies of the Fe-related emissions in Fig. 10 are very different from the variations of the 1,510 nm feature in Fig. 4b. The correlation coefficients are close to 0 (Table 4). Hence, we can focus our discussion of the possible emitter of the peak\nat 1,510 nm and the other structures of the X(NIR) continuum on HO2, which appears to be the primary candidate for these\nemission features according to the discussion in Sect. 3.2. The climatologies of the Fe-related emissions in Fig. 10 are very different from the variations of the 1,510 nm feature in Fig. 4b. The correlation coefficients are close to 0 (Table 4). Hence, we can focus our discussion of the possible emitter of the peak\nat 1,510 nm and the other structures of the X(NIR) continuum on HO2, which appears to be the primary candidate for these\nemission features according to the discussion in Sect. 3.2. The mean intensities in Table 4 show that there should be sufficient emission to produce the entire X(NIR) continuum. For\n870\nthe sum of the three reactions of about 102 kR, an effective QY of only about 12% would be necessary if we neglect possible\nemission beyond 1,800 nm (Sect. 3.3). If we only consider Reaction R9, it would be 14%. Although the individual QYs could\nbe quite different, the reaction involving H and O2 appears to be the dominating pathway. The intensity discrepancy is fairly\nlarge (see also Fig. 9c). The mean intensities in Table 4 show that there should be sufficient emission to produce the entire X(NIR) continuum. For\n870\nthe sum of the three reactions of about 102 kR, an effective QY of only about 12% would be necessary if we neglect possible\nemission beyond 1,800 nm (Sect. 3.3). If we only consider Reaction R9, it would be 14%. Although the individual QYs could\nbe quite different, the reaction involving H and O2 appears to be the dominating pathway. The intensity discrepancy is fairly\nlarge (see also Fig. 9c). The mean intensities in Table 4 show that there should be sufficient emission to produce the entire X(NIR) continuum. For\n870\nthe sum of the three reactions of about 102 kR, an effective QY of only about 12% would be necessary if we neglect possible\nemission beyond 1,800 nm (Sect. 3.3). If we only consider Reaction R9, it would be 14%. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. prominent secondary peak in austral spring and a later nocturnal maximum. However, the discrepancies appear to be small\nenough that both emissions could contribute to the same NMF component. A clear difference are the emission profiles as\nshown in Fig. 9a. The mean nighttime centroid emission height for OFeOH is 82.3 km, which is 5.6 km lower than in the\ncase of FeO. It is also clearly lower than the derived range for the 595 nm feature. This is not an issue if this feature is mostly\n850\nproduced by the FeO-related Reaction R2 and the contribution of Reaction R6 between 564 and 680 nm is rather small in\ngeneral. The latter constraint results from the OSIRIS-based emission profile with a peak at about 87 km (Sect. 3.5) that was\nderived for this wavelength range by Evans et al. (2010). The effective solar cycle effect as shown in Table 4 should also mainly\nbe determined by Reaction R2. As the value for Reaction R6 is also not far away from the measurement for the 595 nm feature, 850 the contribution of both emission processes cannot be distinguished as in the case of the centroid heights. 855\nThese results suggests that OFeOH emission could significantly contribute to the FeO(VIS) component, although the emis-\nsion spectrum (if any) is unknown, and the rate coefficient has not been measured. Here, it is set to the collision frequency, and\na QY of unity is assumed to provide an upper limit to the contribution of this reaction. Despite this, the summed emission of\nReactions R2 and R6 is still too low to explain the full nightglow continuum in the X-shooter VIS arm. So far, we have not the contribution of both emission processes cannot be distinguished as in the case of the centroid heights. 855\nThese results suggests that OFeOH emission could significantly contribute to the FeO(VIS) component, although the emis-\nsion spectrum (if any) is unknown, and the rate coefficient has not been measured. Here, it is set to the collision frequency, and\na QY of unity is assumed to provide an upper limit to the contribution of this reaction. Despite this, the summed emission of\nReactions R2 and R6 is still too low to explain the full nightglow continuum in the X-shooter VIS arm. 4.2.2\nHO2 emission\n865 Although the individual QYs could\nbe quite different, the reaction involving H and O2 appears to be the dominating pathway. The intensity discrepancy is fairly\nlarge (see also Fig. 9c). The climatology of Reaction R9 also indicates the best correlation with the climatology of the 1,510 nm feature in Fig. 4b. 875\nThe corresponding r value is about +0.85, whereas these coefficients are close to +0.64 for the two other reactions. The\nreasons for these differences are illustrated in Fig. 11. All reactions show a decrease of the intensity in the course of the night. However, the relatively constant rate of this decrease for (b) and (c) provides a much better agreement with the climatology of\nthe 1,510 nm feature than the steep exponential drop of the intensity from Reaction R8 at the beginning of the night in (a). The The climatology of Reaction R9 also indicates the best correlation with the climatology of the 1,510 nm feature in Fig. 4b. 875\nThe corresponding r value is about +0.85, whereas these coefficients are close to +0.64 for the two other reactions. The\nreasons for these differences are illustrated in Fig. 11. All reactions show a decrease of the intensity in the course of the night. However, the relatively constant rate of this decrease for (b) and (c) provides a much better agreement with the climatology of\nthe 1,510 nm feature than the steep exponential drop of the intensity from Reaction R8 at the beginning of the night in (a). The 37 4\n2\n0\n2\n4\nLocal time [h]\n0.5\n1.0\n1.5\n2.0\n2.5\n3.0\nRelative to midnight\nHO2 (R8)\nHO2 (R9)\nHO2 (R14)\nHO2 (sum)\n1,510 nm\nFigure 13. Climatology-based mean nighttime trend of WACCM HO2 intensities for the individual reactions in Table 3 and the sum of them\nin comparison to the result for the climatology of the 1,510 nm emission plotted in Fig. 4b. All curves are provided relative to the mean\nintensity of the two data points close to midnight. The highest value for the curve for Reaction R8 (see legend), which is partly outside the\nplotted range, is 10.0. The given local times are the averages of the data sets that were used to calculate the climatological grid. The shorter\ntime coverage of the curve for the 1,510 nm feature reflects the lack of observations with central LTs close to twilight. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. 4.2.2\nHO2 emission\n865 At later LTs, O2(a1∆g) is then\n880\nmainly produced by Reaction R15 in our model. For an easier comparison, Fig. 13 shows the mean nocturnal trends from the different climatologies scaled to midnight. Reaction R8 is a clear outlier. Moreover, the intensity from Reaction R14 appears to decrease too slowly compared to the also be coincidence to some extent. A check of the monthly nocturnal trends also indicates clear deviations. The trend for\n885\nthe simulated emission tends to be steeper from November to March and flatter from April to October. Although possible\nsystematic deviations of the model are difficult to estimate, this result favours Reaction R9. The large contribution of the latter\nto the summed intensity means that the nocturnal trends of the summed intensity and due just to Reaction R9 look very similar\nin Fig. 13. The only noteworthy discrepancy occurs at the beginning of the night due to the high intensity related to Reaction R8 also be coincidence to some extent. A check of the monthly nocturnal trends also indicates clear deviations. The trend for\n885\nthe simulated emission tends to be steeper from November to March and flatter from April to October. Although possible\nsystematic deviations of the model are difficult to estimate, this result favours Reaction R9. The large contribution of the latter\nto the summed intensity means that the nocturnal trends of the summed intensity and due just to Reaction R9 look very similar\nin Fig. 13. The only noteworthy discrepancy occurs at the beginning of the night due to the high intensity related to Reaction R8 (see also Fig. 11d). However, the difference is still relatively small at the earliest data point for the 1,510 nm emission. Hence,\n890\nsome contribution of this reaction to the total emission cannot be excluded, but it should not be significantly higher than\nmodelled for equal QYs. This statement refers to the branch of the HO2 production by Reaction R8 related to daytime O3\nphotolysis. The mean intensity after midnight is only 5.0 kR, i.e. 39% of the mean of the full nighttime climatology. However,\nthis value is quite uncertain as our discussion of the nocturnal O2(a1∆g) generation in Sect. 4.1 illustrates. (see also Fig. 11d). However, the difference is still relatively small at the earliest data point for the 1,510 nm emission. 4.2.2\nHO2 emission\n865 Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 4\n2\n0\n2\n4\nLocal time [h]\n0.5\n1.0\n1.5\n2.0\n2.5\n3.0\nRelative to midnight\nHO2 (R8)\nHO2 (R9)\nHO2 (R14)\nHO2 (sum)\n1,510 nm Figure 13. Climatology-based mean nighttime trend of WACCM HO2 intensities for the individual reactions in Table 3 and the sum of them\nin comparison to the result for the climatology of the 1,510 nm emission plotted in Fig. 4b. All curves are provided relative to the mean\nintensity of the two data points close to midnight. The highest value for the curve for Reaction R8 (see legend), which is partly outside the\nplotted range, is 10.0. The given local times are the averages of the data sets that were used to calculate the climatological grid. The shorter\ntime coverage of the curve for the 1,510 nm feature reflects the lack of observations with central LTs close to twilight. latter is related to the decay of the O2(a1∆g) population produced by O3 photolysis at daytime. At later LTs, O2(a1∆g) is then\n880\nmainly produced by Reaction R15 in our model. For an easier comparison, Fig. 13 shows the mean nocturnal trends from the different climatologies scaled to midnight. Reaction R8 is a clear outlier. Moreover, the intensity from Reaction R14 appears to decrease too slowly compared to the\ncurve for the 1,510 nm emission. On the other hand, Reaction R9 seems to match almost perfectly. Of course, this could latter is related to the decay of the O2(a1∆g) population produced by O3 photolysis at daytime. At later LTs, O2(a1∆g) is then\n880\nmainly produced by Reaction R15 in our model. latter is related to the decay of the O2(a1∆g) population produced by O3 photolysis at daytime. At later LTs, O2(a1∆g) is then\n880\nmainly produced by Reaction R15 in our model. For an easier comparison, Fig. 13 shows the mean nocturnal trends from the different climatologies scaled to midnight. Reaction R8 is a clear outlier. Moreover, the intensity from Reaction R14 appears to decrease too slowly compared to the\ncurve for the 1,510 nm emission. On the other hand, Reaction R9 seems to match almost perfectly. Of course, this could latter is related to the decay of the O2(a1∆g) population produced by O3 photolysis at daytime. On the other hand, the corresponding intensity for In any case, the good agreement of the WACCM and SABER time constants indicate that the related temporal variations are\n910\nwell simulated by WACCM. For the integration from 80 to 85 km, the intensities of the exponential component are 71.8 kR\nfor WACCM and 169.9 kR for SABER 60 min after sunset. As these values are 21 to 22% of the corresponding intensities\nfor the whole column, WACCM also performs quite well with respect to the vertical distribution of O2(a-X)(0-0) produced\nby O3 photolysis. However, the WACCM-related intensity is clearly lower. On the other hand, the corresponding intensity for the nighttime production is somewhat higher than the value from SABER. If we assume a constant ratio of the WACCM and\n915\nSABER intensities for the entire night, then the branching ratio in Reaction R15 needs to be lowered to about 33%. Of course,\nthe uncertainties of this comparison are quite high. For example, the height-dependent impact of collisions can play a role. However, the results appear to show that a distinctly higher contribution of Reaction R8 to the generation of excited HO2 in\nthe night than simulated is unlikely, which strengthens the importance of Reaction R9. the nighttime production is somewhat higher than the value from SABER. If we assume a constant ratio of the WACCM and\n915\nSABER intensities for the entire night, then the branching ratio in Reaction R15 needs to be lowered to about 33%. Of course,\nthe uncertainties of this comparison are quite high. For example, the height-dependent impact of collisions can play a role. However, the results appear to show that a distinctly higher contribution of Reaction R8 to the generation of excited HO2 in\nthe night than simulated is unlikely, which strengthens the importance of Reaction R9. The climatology of the 1,510 nm feature in Fig. 4b indicates semiannual variations with a main maximum in austral summer\n920\nand a secondary maximum in winter. The HO2-related climatologies in Fig. 11 show discrepancies with respect to the seasonal\nvariations. Nevertheless, the highest intensities are also present in summer for Reaction R9. If the first few hours of the night are\nexcluded, this also appears to be true for Reaction R8. The climatologies of these reactions are also characterised by minimum\nintensities in May to June slightly depending on LT. 4.2.2\nHO2 emission\n865 Hence,\n890\nsome contribution of this reaction to the total emission cannot be excluded, but it should not be significantly higher than\nmodelled for equal QYs. This statement refers to the branch of the HO2 production by Reaction R8 related to daytime O3\nphotolysis. The mean intensity after midnight is only 5.0 kR, i.e. 39% of the mean of the full nighttime climatology. However,\nthis value is quite uncertain as our discussion of the nocturnal O2(a1∆g) generation in Sect. 4.1 illustrates. In order to obtain a rough estimate of the quality of our assumptions, we made a simple conversion of the O2(a1∆g) densities\n895\nfrom WACCM (mean midnight profile in Fig. 9d) to emission rates assuming a QY of unity and using an effective Einstein-A\ncoefficient of 2.28 × 10−4 s−1 for the O2(a-X)(0-0) band emission at 1,270 nm (Noll et al., 2016). We then compared the In order to obtain a rough estimate of the quality of our assumptions, we made a simple conversion of the O2(a1∆g) densities\n895\nfrom WACCM (mean midnight profile in Fig. 9d) to emission rates assuming a QY of unity and using an effective Einstein-A\ncoefficient of 2.28 × 10−4 s−1 for the O2(a-X)(0-0) band emission at 1,270 nm (Noll et al., 2016). We then compared the 895 38 The seasonal pattern of Reaction R14 is very different as it indicates The climatology of the 1,510 nm feature in Fig. 4b indicates semiannual variations with a main maximum in austral summer\n920\nand a secondary maximum in winter. The HO2-related climatologies in Fig. 11 show discrepancies with respect to the seasonal\nvariations. Nevertheless, the highest intensities are also present in summer for Reaction R9. If the first few hours of the night are\nexcluded, this also appears to be true for Reaction R8. The climatologies of these reactions are also characterised by minimum\nintensities in May to June slightly depending on LT. The seasonal pattern of Reaction R14 is very different as it indicates a semiannual oscillation with maxima around the equinoxes, which explains the low correlation coefficient in Table 4. This\n925\npattern is obviously related to the important role of O3 in the production of HO2. The similarities are clearly visible in the\ntop row of Fig. 12, where the climatologies of the O3 densities at 80 and 85 km are displayed. Moreover, the bottom row\nof the same figure, which shows H for the same heights, explains the location of the seasonal maxima and minima for the\nother reactions. This makes sense as H is the only strongly variable reactant in the production of HO2 via Reaction R9. a semiannual oscillation with maxima around the equinoxes, which explains the low correlation coefficient in Table 4. This\n925\npattern is obviously related to the important role of O3 in the production of HO2. The similarities are clearly visible in the\ntop row of Fig. 12, where the climatologies of the O3 densities at 80 and 85 km are displayed. Moreover, the bottom row\nof the same figure, which shows H for the same heights, explains the location of the seasonal maxima and minima for the\nother reactions. This makes sense as H is the only strongly variable reactant in the production of HO2 via Reaction R9. a semiannual oscillation with maxima around the equinoxes, which explains the low correlation coefficient in Table 4. This\n925\npattern is obviously related to the important role of O3 in the production of HO2. The similarities are clearly visible in the\ntop row of Fig. 12, where the climatologies of the O3 densities at 80 and 85 km are displayed. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. vertically integrated emission rates with those from SABER measurements in the corresponding channel. For this purpose,\nwe used the 4,496 profiles that were collected for Cerro Paranal by Noll et al. (2017). Next, we performed a similar analysis vertically integrated emission rates with those from SABER measurements in the corresponding channel. For this purpose,\nwe used the 4,496 profiles that were collected for Cerro Paranal by Noll et al. (2017). Next, we performed a similar analysis\nof the nocturnal intensity trend as described by Noll et al. (2016), i.e. we fitted an exponential function and a constant for\n900\nthe time after sunset. As the WACCM data set is quite large, we performed this for each month separately and averaged the\nresults. The fit functions were scaled to the mean of the second half of the night. For the intensities for the entire column\nabove 40 km, these reference constants are 29.7 kR for WACCM and 102.0 kR for SABER. However, the vertical emission\ndistribution for O2(a-X)(0-0) with a centroid emission height of about 89 km around midnight (Noll et al., 2016) is quite\ndifferent from the WACCM-based profile shown in Fig. 9d. Hence, we restricted the comparison to the height range between\n905\n80 and 85 km. Then, we obtain reference intensities of 18.4 kR (62%) for WACCM and 15.4 kR (15%) for SABER. For the pi\ny\np\ny\nof the nocturnal intensity trend as described by Noll et al. (2016), i.e. we fitted an exponential function and a constant for\n900\nthe time after sunset. As the WACCM data set is quite large, we performed this for each month separately and averaged the\nresults. The fit functions were scaled to the mean of the second half of the night. For the intensities for the entire column\nabove 40 km, these reference constants are 29.7 kR for WACCM and 102.0 kR for SABER. However, the vertical emission\ndistribution for O2(a-X)(0-0) with a centroid emission height of about 89 km around midnight (Noll et al., 2016) is quite of the nocturnal intensity trend as described by Noll et al. (2016), i.e. we fitted an exponential function and a constant for\n900\nthe time after sunset. As the WACCM data set is quite large, we performed this for each month separately and averaged the\nresults. The fit functions were scaled to the mean of the second half of the night. For the intensities for the entire column\nabove 40 km, these reference constants are 29.7 kR for WACCM and 102.0 kR for SABER. However, the vertical emission\ndistribution for O2(a-X)(0-0) with a centroid emission height of about 89 km around midnight (Noll et al., 2016) is quite different from the WACCM-based profile shown in Fig. 9d. Hence, we restricted the comparison to the height range between\n905\n80 and 85 km. Then, we obtain reference intensities of 18.4 kR (62%) for WACCM and 15.4 kR (15%) for SABER. For the\nexponential component, we fitted time constants of about 74 and 76 min, which are very close to the radiative lifetime of about\n73 min from the Einstein-A coefficient. For the entire vertical column, the lifetimes decrease to 55 and 50 min in agreement\nwith the results from Noll et al. (2016). The change is related to the higher impact of collisional deactivation at lower altitudes. different from the WACCM-based profile shown in Fig. 9d. Hence, we restricted the comparison to the height range between\n905\n80 and 85 km. Then, we obtain reference intensities of 18.4 kR (62%) for WACCM and 15.4 kR (15%) for SABER. For the\nexponential component, we fitted time constants of about 74 and 76 min, which are very close to the radiative lifetime of about\n73 min from the Einstein-A coefficient. For the entire vertical column, the lifetimes decrease to 55 and 50 min in agreement\nwith the results from Noll et al. (2016). The change is related to the higher impact of collisional deactivation at lower altitudes. In any case, the good agreement of the WACCM and SABER time constants indicate that the related temporal variations are\n910\nwell simulated by WACCM. For the integration from 80 to 85 km, the intensities of the exponential component are 71.8 kR\nfor WACCM and 169.9 kR for SABER 60 min after sunset. As these values are 21 to 22% of the corresponding intensities\nfor the whole column, WACCM also performs quite well with respect to the vertical distribution of O2(a-X)(0-0) produced\nby O3 photolysis. However, the WACCM-related intensity is clearly lower. 1\n2\n3\n4\n5\n6\n7\n8\n9\n10\n11\n12\nMonth\n0.5\n1.0\n1.5\n2.0\nRelative to mean\nX-shooter 1,510 nm intensity\nWACCM HO2 (R9) intensity\nWACCM HO2 (R9) emission at 85 km\nWACCM H density at 85 km\nSABER H density at 85 km\nSABER HO2 (R9) emission at 85 km\nFigure 14. Seasonal variations of monthly averages of time series of the X-shooter-based 1,510 nm intensity (7,931 30 min bins), the\nWACCM HO2 intensity for the dominating Reaction R9 (92,064 time steps), the corresponding HO2 emission rate and H density at 85 km,\nand the SABER-based HO2 emission rate and H density at the same altitude (16,079 profiles) for Cerro Paranal. The different curves (see\nlegend) are provided relative to the mean for the 12 months.\nhttps://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 1\n2\n3\n4\n5\n6\n7\n8\n9\n10\n11\n12\nMonth\n0.5\n1.0\n1.5\n2.0\nRelative to mean\nX-shooter 1,510 nm intensity\nWACCM HO2 (R9) intensity\nWACCM HO2 (R9) emission at 85 km\nWACCM H density at 85 km\nSABER H density at 85 km\nSABER HO2 (R9) emission at 85 km\nFigure 14. Seasonal variations of monthly averages of time series of the X-shooter-based 1,510 nm intensity (7,931 30 min bins), the\nWACCM HO2 intensity for the dominating Reaction R9 (92,064 time steps), the corresponding HO2 emission rate and H density at 85 km,\nand the SABER-based HO2 emission rate and H density at the same altitude (16,079 profiles) for Cerro Paranal. The different curves (see\nlegend) are provided relative to the mean for the 12 months. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. 1\n2\n3\n4\n5\n6\n7\n8\n9\n10\n11\n12\nMonth\n0.5\n1.0\n1.5\n2.0\nRelative to mean\nX-shooter 1,510 nm intensity\nWACCM HO2 (R9) intensity\nWACCM HO2 (R9) emission at 85 km\nWACCM H density at 85 km\nSABER H density at 85 km\nSABER HO2 (R9) emission at 85 km Figure 14. Seasonal variations of monthly averages of time series of the X-shooter-based 1,510 nm intensity (7,931 30 min bins), the\nWACCM HO2 intensity for the dominating Reaction R9 (92,064 time steps), the corresponding HO2 emission rate and H density at 85 km,\nand the SABER-based HO2 emission rate and H density at the same altitude (16,079 profiles) for Cerro Paranal. The different curves (see\nlegend) are provided relative to the mean for the 12 months. feature (Table 4). Hence, this pathway (despite some similarities with the Fe-related emissions discussed in Sect. 4.2.1) does\nnot appear to be a suitable contributor to the FeO(VIS) continuum component. In order to also identify H as the main driver of the climatological variations of the 1,510 nm feature, we need to find the\nreason for the missing secondary maximum in the WACCM simulation in winter. Mlynczak et al. (2014) performed global H\n935\nretrievals based on the 2.1 µm channel of SABER (Russell et al., 1999). As a result, they found semiannual seasonal variations\nat 84 km and a latitude of 16.5◦S with a secondary maximum in austral summer. 1\n2\n3\n4\n5\n6\n7\n8\n9\n10\n11\n12\nMonth\n0.5\n1.0\n1.5\n2.0\nRelative to mean\nX-shooter 1,510 nm intensity\nWACCM HO2 (R9) intensity\nWACCM HO2 (R9) emission at 85 km\nWACCM H density at 85 km\nSABER H density at 85 km\nSABER HO2 (R9) emission at 85 km\nFigure 14. Seasonal variations of monthly averages of time series of the X-shooter-based 1,510 nm intensity (7,931 30 min bins), the\nWACCM HO2 intensity for the dominating Reaction R9 (92,064 time steps), the corresponding HO2 emission rate and H density at 85 km,\nand the SABER-based HO2 emission rate and H density at the same altitude (16,079 profiles) for Cerro Paranal. The different curves (see\nlegend) are provided relative to the mean for the 12 months.\nhttps://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. This pattern was confirmed by a comparison\nwith older results at 20◦S from Thomas (1990) based on measurements with the near-IR spectrometer on the Solar Mesosphere\nExplorer. Mlynczak et al. (2018) improved the OH-based retrieval algorithm for O and H, which reduced the densities. We In order to also identify H as the main driver of the climatological variations of the 1,510 nm feature, we need to find the\nreason for the missing secondary maximum in the WACCM simulation in winter. Mlynczak et al. (2014) performed global H\n935\nretrievals based on the 2.1 µm channel of SABER (Russell et al., 1999). As a result, they found semiannual seasonal variations\nat 84 km and a latitude of 16.5◦S with a secondary maximum in austral summer. This pattern was confirmed by a comparison\nwith older results at 20◦S from Thomas (1990) based on measurements with the near-IR spectrometer on the Solar Mesosphere\nExplorer. Mlynczak et al. (2018) improved the OH-based retrieval algorithm for O and H, which reduced the densities. We 935 already used this data set for the years 2002 to 2014 for an analysis of K emissions above Cerro Paranal (Noll et al., 2019). 940\nThis allows us to reuse these data for the study of the seasonal H variations. For this purpose, we calculated simple monthly\nmean values for the SABER and WACCM time series. For an altitude of 85 km, Fig. 14 confirms that there is a weak sec-\nondary maximum in the SABER H density. Moreover, the primary peak in summer is more pronounced than in the WACCM\nsimulation. In the next step, we compared HO2 emission rates. For the dominating Reaction R9, these were calculated from the SABER densities of H and air and the rate coefficients in Table 3. Only the weakly-varying O2 volume mixing ratio was\n945\ntaken from WACCM. The results for 85 km are also presented in Fig. 14. The deviations from the variations of H are small and\nsimilar for both data sets, which illustrates the dominating role of H for the HO2 emission variability. The comparison of the\nWACCM HO2 emission at 85 km and for the entire vertical column indicates a smoothing of the seasonal pattern in the latter\ncase. Moreover, the bottom row\nof the same figure, which shows H for the same heights, explains the location of the seasonal maxima and minima for the\nother reactions. This makes sense as H is the only strongly variable reactant in the production of HO2 via Reaction R9. As Reaction R8 requires the previous generation of HO2, there is also an impact of the H variability on this reaction. It also\n930\nexplains why the climatology of Reaction R14 still better correlates with the variations of the 1,510 nm feature than the 595 nm As Reaction R8 requires the previous generation of HO2, there is also an impact of the H variability on this reaction. It also\n930\nexplains why the climatology of Reaction R14 still better correlates with the variations of the 1,510 nm feature than the 595 nm 39 1\n2\n3\n4\n5\n6\n7\n8\n9\n10\n11\n12\nMonth\n0.5\n1.0\n1.5\n2.0\nRelative to mean\nX-shooter 1,510 nm intensity\nWACCM HO2 (R9) intensity\nWACCM HO2 (R9) emission at 85 km\nWACCM H density at 85 km\nSABER H density at 85 km\nSABER HO2 (R9) emission at 85 km\nFigure 14. Seasonal variations of monthly averages of time series of the X-shooter-based 1,510 nm intensity (7,931 30 min bins), the\nWACCM HO2 intensity for the dominating Reaction R9 (92,064 time steps), the corresponding HO2 emission rate and H density at 85 km,\nand the SABER-based HO2 emission rate and H density at the same altitude (16,079 profiles) for Cerro Paranal. The different curves (see\nlegend) are provided relative to the mean for the 12 months.\nhttps://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. We cannot test the same for the SABER data as the noise in the H retrievals quickly increases at lower altitudes due to the weaker emission of the OH(8-6) and OH(9-7) bands that were essentially used for the derivation of the H density (Mlynczak\n950 40 https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. et al., 2018). This is also the main reason why the decreasing nocturnal trend in the HO2 emission could not be studied in this\nway. Figure 12 indicates that this trend is obviously generated distinctly lower than 85 km. Nevertheless, if we assume that the\nsmoothing in the seasonal pattern in the WACCM data is similar for the observations, it is likely that we would obtain a vari-\nability structure that resembles the curve for the 1,510 nm feature plotted in Fig. 14. Hence, the differences between modelled\nand observed emission variations appear to be mostly caused by the WACCM-based reproduction of temporal changes in the\n955 O, which is crucial for the upper limit of 84 km, is not involved in the chemical production of excited HO2 for this pathway. 960\nThe simulated climatological variations show increasing heights during the night and the highest values in austral summer with\nmaximum deviations from the mean lower than 2 km in most cases. The emission of Reaction R8 just reaches 80 km close\nto sunrise, whereas the centroid heights are even below 70 km at the beginning of the night due to the high concentrations of\nO2(a1∆g) related to daytime O3 photolysis in the lower mesosphere (Noll et al., 2016). Reaction R14 shows a similar vari- ability pattern as Reaction R9 but with a mean value of 86 km the emission is too high. The reason is the impact of O3, which\n965\nshows its density peak at a higher altitude than H in the mesopause region in Fig. 9d. This plot also indicates that the density\ndistribution of all HO2 peaks at 78 km, which is lower than the emission maximum of excited HO2 shown in Fig. 9c. Finally, Table 4 shows that at least the results for Reactions R8 and R9 appear to agree with a positive but weak solar cycle\neffect that was derived for the 1,510 nm feature in Sect. 3.4. Although the uncertainties are of the order of several per cent, the almost doubled deviation from the measured value compared to the other reactions, make Reaction R14 less likely with respect\n970\nto the response to solar activity. Our investigation of the three proposed production mechanisms for excited HO2 shows promising results. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. It is likely that\nHO2 is the radiating molecule X that produces the 1,510 nm feature and the strongly correlated X(NIR) continuum. Moreover,\nthe recombination reaction of H and O2 with participation of an additional collision partner is the most probable production almost doubled deviation from the measured value compared to the other reactions, make Reaction R14 less likely with respect\n970\nto the response to solar activity. Our investigation of the three proposed production mechanisms for excited HO2 shows promising results. It is likely that\nHO2 is the radiating molecule X that produces the 1,510 nm feature and the strongly correlated X(NIR) continuum. Moreover,\nthe recombination reaction of H and O2 with participation of an additional collision partner is the most probable production process for excited HO2. All investigated properties such as total emission, nocturnal and seasonal variations, emission heights,\n975\nand solar cycle effect point to this interpretation. It also helps that chemiluminescence by this mechanism was already observed\nin the laboratory between about 800 and 1,550 nm (Holstein et al., 1983), although an extension to higher wavelengths would\nbe important to test the presence of the 1,620 nm feature (Fig. 3). Reaction R8 that involves O2(a1∆g) can only be a minor\nemission source, otherwise the observed nocturnal trend would not fit. It is also more challenging to produce emission below process for excited HO2. All investigated properties such as total emission, nocturnal and seasonal variations, emission heights,\n975\nand solar cycle effect point to this interpretation. It also helps that chemiluminescence by this mechanism was already observed\nin the laboratory between about 800 and 1,550 nm (Holstein et al., 1983), although an extension to higher wavelengths would\nbe important to test the presence of the 1,620 nm feature (Fig. 3). Reaction R8 that involves O2(a1∆g) can only be a minor\nemission source, otherwise the observed nocturnal trend would not fit. It is also more challenging to produce emission below 1,270 nm for this process. Finally, Reaction R14 that involves O3 shows clear discrepancies in the emission properties which\n980\ncan only be tolerated if the contribution to the total emission is very small. 41 5\nConclusions Own simulations of\nthe chemiluminescence from the reaction of Fe and O3 with WACCM can reproduce most of the measured properties of the and found a weakly positive relation. Using an approach for the estimate of effective emission heights based on the analysis of\n990\na strong passing Q2DW that was initially developed for OH lines, we obtained a range for the mean centroid height between\nabout 85 and 89 km. In previous studies, the feature at 595 nm was identified as the main peak of the FeO orange bands. Own simulations of\nthe chemiluminescence from the reaction of Fe and O3 with WACCM can reproduce most of the measured properties of the emission, which suggests that the NMF component dominating the X-shooter VIS arm could have contributions from various\n995\nFeO bands. However, WACCM returns a maximum mean intensity of only 170 R, whereas the whole correlated spectrum could\nhave 2.9 kR. We discovered that potential OFeOH emission (with unknown spectral distribution) from the reaction between\nFeOH and O3 would have a very similar climatology according to our simulations. Nevertheless, this reaction would only add\nup to 220 R. Therefore, a major discrepancy remains. If there is another emitter, the basic precondition for a good correlation with the 595 nm feature appears to be that the variability is mainly determined by O3. 1000\nThe second continuum component dominates the X-shooter NIR arm. In particular, a strong narrow peak at about 1,510 nm\nand a secondary feature at about 1,620 nm were found, which indicates a complex band system. Our best estimate of the\naverage intensity of the entire system is about 12 kR. The seasonal variations with maxima near the solstices are actually in\nopposition to those of the 595 nm feature. There is also a clear decrease of the intensity in the course of the night for the entire year. The solar cycle effect is only weakly positive and the average effective emission height appears to be most likely between\n1005\nabout 80 and 84 km for the 1,510 nm feature. The most promising candidate for the emitter is HO2. Existing near-IR spectra from the laboratory suggest that the 1,510 nm\nfeature could be the vibrational (200-000) transition of the electronic ground state 2A′′. 5\nConclusions There would also be an explanation\nof the enhanced emission near 1,270 nm, where only a part appears to be due to residual O2 emission. Other features from year. The solar cycle effect is only weakly positive and the average effective emission height appears to be most likely between\n1005\nabout 80 and 84 km for the 1,510 nm feature. The most promising candidate for the emitter is HO2. Existing near-IR spectra from the laboratory suggest that the 1,510 nm\nfeature could be the vibrational (200-000) transition of the electronic ground state 2A′′. There would also be an explanation\nof the enhanced emission near 1,270 nm, where only a part appears to be due to residual O2 emission. Other features from of the enhanced emission near 1,270 nm, where only a part appears to be due to residual O2 emission. Other features from\nthe experiments could not be checked due to gaps in our continuum spectrum. We investigated different potential production\n1010\nprocesses of excited HO2 with WACCM. The recombination reaction between H and O2 under participation of another col-\nlision partner showed the best performance. It is the main production process of HO2 in the mesosphere. With a modelled\nmaximum mean radiance of 82 kR, a moderate quantum yield of the reaction would be sufficient to produce the continuum in\nthe X-shooter NIR arm. Moreover, this process indicates the best agreement with respect to the climatological variations. Re-\nmaining discrepancies (especially a missing secondary peak in austral winter) can be explained by deviations of the modelled\n1015 the experiments could not be checked due to gaps in our continuum spectrum. We investigated different potential production\n1010\nprocesses of excited HO2 with WACCM. The recombination reaction between H and O2 under participation of another col-\nlision partner showed the best performance. It is the main production process of HO2 in the mesosphere. With a modelled\nmaximum mean radiance of 82 kR, a moderate quantum yield of the reaction would be sufficient to produce the continuum in\nthe X-shooter NIR arm. Moreover, this process indicates the best agreement with respect to the climatological variations. Re-\nmaining discrepancies (especially a missing secondary peak in austral winter) can be explained by deviations of the modelled\n1015 the experiments could not be checked due to gaps in our continuum spectrum. We investigated different potential production\n1010\nprocesses of excited HO2 with WACCM. 5\nConclusions Our analysis of the nightglow (pseudo-)continuum with high-quality X-shooter data essentially reveals two contributions in\nthe wavelength range between 300 and 1,800 nm if remnants from different O2 bands are excluded. Our results of the correlation analysis of continuum structures and non-negative matrix factorisation (NMF) of the contin-\n985\nuum variability show that the peak at 595 nm is well correlated with other features and the underlying continuum in a wide\nwavelength range, especially between about 500 and 900 nm. The variations as mainly studied for the feature at 595 nm reveal\na climatology with a mixture of semiannual and annual oscillation with a main maximum in April/May and a main minimum in\nJanuary that confirms previous results based on a smaller sample. For the first time, we estimated the effective solar cycle effect Our results of the correlation analysis of continuum structures and non-negative matrix factorisation (NMF) of the contin-\n985\nuum variability show that the peak at 595 nm is well correlated with other features and the underlying continuum in a wide\nwavelength range, especially between about 500 and 900 nm. The variations as mainly studied for the feature at 595 nm reveal\na climatology with a mixture of semiannual and annual oscillation with a main maximum in April/May and a main minimum in\nJanuary that confirms previous results based on a smaller sample. For the first time, we estimated the effective solar cycle effect and found a weakly positive relation. Using an approach for the estimate of effective emission heights based on the analysis of\n990\na strong passing Q2DW that was initially developed for OH lines, we obtained a range for the mean centroid height between\nabout 85 and 89 km. In previous studies, the feature at 595 nm was identified as the main peak of the FeO orange bands. Own simulations of\nthe chemiluminescence from the reaction of Fe and O3 with WACCM can reproduce most of the measured properties of the and found a weakly positive relation. Using an approach for the estimate of effective emission heights based on the analysis of\n990\na strong passing Q2DW that was initially developed for OH lines, we obtained a range for the mean centroid height between\nabout 85 and 89 km. In previous studies, the feature at 595 nm was identified as the main peak of the FeO orange bands. 5\nConclusions The recombination reaction between H and O2 under participation of another col-\nlision partner showed the best performance. It is the main production process of HO2 in the mesosphere. With a modelled\nmaximum mean radiance of 82 kR, a moderate quantum yield of the reaction would be sufficient to produce the continuum in\nthe X-shooter NIR arm. Moreover, this process indicates the best agreement with respect to the climatological variations. Re- 42 The NIR-arm data were already used for the study of OH emission lines (Noll\net al., 2022a, 2023b). Some results of these investigations, which are available via the public repository Zenodo (Noll et al., 2022b, 2023c),\nwere also considered for this study. We performed dedicated WACCM6 runs with modified chemistry for the years from 2003 to 2014. Data availability. The basic X-shooter data for this project originate from the ESO Science Archive Facility at http://archive.eso.org and are\n1030\nrelated to various observing programmes that were carried out between October 2009 and September 2019. The raw spectra were processed\n(using the corresponding calibration data) and then analysed. The NIR-arm data were already used for the study of OH emission lines (Noll\net al., 2022a, 2023b). Some results of these investigations, which are available via the public repository Zenodo (Noll et al., 2022b, 2023c),\nwere also considered for this study. We performed dedicated WACCM6 runs with modified chemistry for the years from 2003 to 2014. The crucial results are stored at the University of Leeds. We also made use of TIMED/SABER data sets that were already collected for\n1035\nprevious studies for Cerro Paranal from the SABER website at http://saber.gats-inc.com. These are the v2.0 products from 2002 to 2015\nanalysed by Noll et al. (2017) and the improved O and H retrievals described by Mlynczak et al. (2018) for the years 2002 to 2014 that\nwere used by Noll et al. (2019). Results from the study of v2.0 products from January and February 2017 by Noll et al. (2022a) were\nalso considered. A comprehensive collection of data of our analysis (especially with respect to the plotted data) is provided by Zenodo at\nhttps://zenodo.org/record/8335836 (Noll et al., 2023a). 1040 The crucial results are stored at the University of Leeds. We also made use of TIMED/SABER data sets that were already collected for\n1035\nprevious studies for Cerro Paranal from the SABER website at http://saber.gats-inc.com. These are the v2.0 products from 2002 to 2015\nanalysed by Noll et al. (2017) and the improved O and H retrievals described by Mlynczak et al. (2018) for the years 2002 to 2014 that\nwere used by Noll et al. (2019). Results from the study of v2.0 products from January and February 2017 by Noll et al. (2022a) were\nalso considered. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. H densities from those of SABER-based retrievals. The simulated weak solar cycle effect and the average centroid emission\nheight of about 81 km also show good agreement. Finally, the observed chemiluminescence in the laboratory for this mecha-\nnism indicated emission down to about 800 nm, which is consistent with the shape of the derived continuum component. As\nwavelengths above about 1,550 nm were not studied in the only known laboratory experiment, there is no evidence of the exis-\ntence of the 1,620 nm feature, so far. The other studied potential emission processes appear to be much less efficient. Relatively\n020\nweak or even negligible emission rates are probably related to the direct radiative recombination of H and O2, the reaction of\nH and O3, and collisions of HO2 with O2(a1∆g). The latter would produce a steep decline of the emission after dusk due to\nthe decay of the population of excited O2 molecules produced by O3 photolysis, which is not observed in the X-shooter data. The reaction involving H and O3 would generate a very different seasonal variability as observed. H densities from those of SABER-based retrievals. The simulated weak solar cycle effect and the average centroid emission\nheight of about 81 km also show good agreement. Finally, the observed chemiluminescence in the laboratory for this mecha-\nnism indicated emission down to about 800 nm, which is consistent with the shape of the derived continuum component. As\nwavelengths above about 1,550 nm were not studied in the only known laboratory experiment, there is no evidence of the exis- tence of the 1,620 nm feature, so far. The other studied potential emission processes appear to be much less efficient. Relatively\n1020\nweak or even negligible emission rates are probably related to the direct radiative recombination of H and O2, the reaction of\nH and O3, and collisions of HO2 with O2(a1∆g). The latter would produce a steep decline of the emission after dusk due to\nthe decay of the population of excited O2 molecules produced by O3 photolysis, which is not observed in the X-shooter data. The reaction involving H and O3 would generate a very different seasonal variability as observed. tence of the 1,620 nm feature, so far. The other studied potential emission processes appear to be much less efficient. Relatively\n1020\nweak or even negligible emission rates are probably related to the direct radiative recombination of H and O2, the reaction of\nH and O3, and collisions of HO2 with O2(a1∆g). The latter would produce a steep decline of the emission after dusk due to\nthe decay of the population of excited O2 molecules produced by O3 photolysis, which is not observed in the X-shooter data. The reaction involving H and O3 would generate a very different seasonal variability as observed. tence of the 1,620 nm feature, so far. The other studied potential emission processes appear to be much less efficient. Relatively\n1020\nweak or even negligible emission rates are probably related to the direct radiative recombination of H and O2, the reaction of\nH and O3, and collisions of HO2 with O2(a1∆g). The latter would produce a steep decline of the emission after dusk due to\nthe decay of the population of excited O2 molecules produced by O3 photolysis, which is not observed in the X-shooter data. The reaction involving H and O3 would generate a very different seasonal variability as observed. The intriguing discoveries of this study will certainly trigger further investigations for a better understanding of the chemistry\n1025\nand dynamics in the Earth’s mesopause region. The origin of the whole VIS-arm continuum still needs to be solved. The study\nalso revealed that the nighttime production of O2(a1∆g) is not understood well, although these excited molecules are essential\nfor the strong emission at 1,270 nm. These examples illustrate that there are still many things at these altitudes that we do not\nknow. The intriguing discoveries of this study will certainly trigger further investigations for a better understanding of the chemistry\n1025\nand dynamics in the Earth’s mesopause region. The origin of the whole VIS-arm continuum still needs to be solved. The study\nalso revealed that the nighttime production of O2(a1∆g) is not understood well, although these excited molecules are essential\nfor the strong emission at 1,270 nm. These examples illustrate that there are still many things at these altitudes that we do not\nknow. Data availability. The basic X-shooter data for this project originate from the ESO Science Archive Facility at http://archive.eso.org and are\n1030\nrelated to various observing programmes that were carried out between October 2009 and September 2019. The raw spectra were processed\n(using the corresponding calibration data) and then analysed. A comprehensive collection of data of our analysis (especially with respect to the plotted data) is provided by Zenodo at\nhttps://zenodo.org/record/8335836 (Noll et al., 2023a). 1040 The crucial results are stored at the University of Leeds. We also made use of TIMED/SABER data sets that were already collected for\n1035\nprevious studies for Cerro Paranal from the SABER website at http://saber.gats-inc.com. These are the v2.0 products from 2002 to 2015\nanalysed by Noll et al. (2017) and the improved O and H retrievals described by Mlynczak et al. (2018) for the years 2002 to 2014 that\nwere used by Noll et al. (2019). Results from the study of v2.0 products from January and February 2017 by Noll et al. (2022a) were\nalso considered. A comprehensive collection of data of our analysis (especially with respect to the plotted data) is provided by Zenodo at\nhttps://zenodo.org/record/8335836 (Noll et al., 2023a). 1040 Author contributions. SN designed and organised the project, performed the preparation and analysis of the X-shooter spectra, visualised\nthe results based on X-shooter, WACCM, and SABER data, and is the main author of the paper text. The co-authors contributed to the\nimprovement of the paper content. Moreover, JP designed the WACCM runs, investigated the involved chemistry, and significantly influenced\nthe scientific discussion. WF performed the WACCM simulations and a preliminary analysis of the data. KK significantly contributed to the\ndiscussion of the chemistry. In particular, he first proposed HO2 as possible emitter. WK carried out the basic processing of the X-shooter\n1045\nspectra. CS contributed to the discussion of the X-shooter-based analysis. MB was involved in the management of the project. SK managed\nthe infrastructure for the processing and storage of the X-shooter data and contributed to the discussion of the measured continuum features. discussion of the chemistry. In particular, he first proposed HO2 as possible emitter. WK carried out the basic processing of the X-shooter\n1045\nspectra. CS contributed to the discussion of the X-shooter-based analysis. MB was involved in the management of the project. SK managed\nthe infrastructure for the processing and storage of the X-shooter data and contributed to the discussion of the measured continuum features. 43 References H.: Chemiluminescent Reactions\nof Nickel, Iron, and Cobalt Carbonyls with Ozone, Appl. Spectrosc., 60, 99–102, https://doi.org/10.1366/000370206775382730, 2006. kh ld\nS\nd\nS\nAbb\nk\ni\nlb C\nl\nO ki\nil\nh\nd\ni of Nickel, Iron, and Cobalt Carbonyls with Ozone, Appl. Spectrosc., 60, 99–102, https://doi.org/10.1366/000370206775382730, 2006. Burkholder, J. B., Sander, S. P., Abbatt, J., Barker, J. R., Huie, R. E., Kolb, C. E., Kurylo, M. J., Orkin, V. L., Wilmouth, D. M., and Wine,\nP. 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H., Lizon, J.-L., Lucuix,\nC., Mainieri, V., Manuputy, R., Martayan, C., Mason, E., Mazzoleni, R., Michaelsen, N., Modigliani, A., Moehler, S., Møller, P., Norup\nSørensen, A., Nørregaard, P., Péroux, C., Patat, F., Pena, E., Pragt, J., Reinero, C., Rigal, F., Riva, M., Roelfsema, R., Royer, F., Sacco,\nG., Santin, P., Schoenmaker, T., Spano, P., Sweers, E., Ter Horst, R., Tintori, M., Tromp, N., van Dael, P., van der Vliet, H., Venema, L.,\nVidali M\nVinther J\nVola P Winters R\nWistisen D\nWulterkens G\nand Zacchei A : X shooter the new wide band intermediate\n1305 G., Santin, P., Schoenmaker, T., Spano, P., Sweers, E., Ter Horst, R., Tintori, M., Tromp, N., van Dael, P. 1305 Vidali, M., Vinther, J., Vola, P., Winters, R., Wistisen, D., Wulterkens, G., and Zacchei, A.: X-shooter, the new wide band intermediate\nresolution spectrograph at the ESO Very Large Telescope, Astron. Astrophys., 536, A105, https://doi.org/10.1051/0004-6361/201117752,\n2011. von Savigny, C. H. A., McDade, I. C., Shepherd, G. G., and Rochon, Y.: Lower thermospheric nitric oxide concentrations derived from\nWINDII observations of the green nightglow continuum at 553.1 nm, Ann. Geophys., 17, 1439–1446, https://doi.org/10.1007/s00585-\n999-1439-9, 1999. 1310 West, J. B. and Broida, H. P.: Chemiluminescence and photoluminescence of diatomic iron oxide, J. Chem. Phys., 62, 2566–2574,\nhttps://doi.org/10.1063/1.430837, 1975. West, J. B. and Broida, H. P.: Chemiluminescence and photoluminescence of diatomic iron oxide, J. Chem. Phys., 62, 2566–2574,\nhttps://doi.org/10.1063/1.430837, 1975. Xu, J., Gao, H., Smith, A. K., and Zhu, Y.: Using TIMED/SABER nightglow observations to investigate hydroxyl emission mechanisms in\nthe mesopause region, J. Geophys. Res., 117, D02301, https://doi.org/10.1029/2011JD016342, 2012. 51 Yee, J.-H., Crowley, G., Roble, R. G., Skinner, W. R., Burrage, M. D., and Hays, P. B.: Global simulations and observations of O(1S), O2(1Σ)\n1315\nand OH mesospheric nightglow emissions, J. Geophys. Res., 102, 19 949–19 968, https://doi.org/10.1029/96JA01833, 1997. Yee, J.-H., Crowley, G., Roble, R. G., Skinner, W. R., Burrage, M. D., and Hays, P. B.: Global simulations and observations of O(1S), O2(1Σ)\n15\nand OH mesospheric nightglow emissions, J. Geophys. Res., 102, 19 949–19 968, https://doi.org/10.1029/96JA01833, 1997.\nhttps://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. https://doi.org/10.5194/egusphere-2023-2087\nPreprint. Discussion started: 28 September 2023\nc⃝Author(s) 2023. CC BY 4.0 License. Yee, J.-H., Crowley, G., Roble, R. G., Skinner, W. R., Burrage, M. D., and Hays, P. B.: Global simulations and observations of O(1S), O2(1Σ)\n1315\nand OH mesospheric nightglow emissions, J. Geophys. Res., 102, 19 949–19 968, https://doi.org/10.1029/96JA01833, 1997. 52 52"
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High-resolution genome topology of human retina uncovers super enhancer-promoter interactions at tissue-specific and multifactorial disease loci
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Article https://doi.org/10.1038/s41467-022-33427-1 1Neurobiology, Neurodegeneration and Repair Laboratory, National Eye Institute, National Institutes of Health, MSC0610, 6 Center Drive, Bethesda, MD
20892, USA. 2In silichrom Ltd, First Floor, Angel Court, 81 St Clements St, Oxford OX4 1AW, UK. 3These authors contributed equally: Claire Marchal, Nivedita
Singh, Zachary Batz, Jayshree Advani.
e-mail: swaroopa@nei.nih.gov High-resolution genome topology of human
retina uncovers super enhancer-promoter
interactions at tissue-specific and multi-
factorial disease loci Claire Marchal1,2,3, Nivedita Singh1,3, Zachary Batz
1,3, Jayshree Advani1,3,
Catherine Jaeger
1, Ximena Corso-Díaz1 & Anand Swaroop
1 Received: 1 June 2022
Accepted: 16 September 2022
Check for updates Chromatin organization and enhancer-promoter contacts establish unique
spatiotemporal gene expression patterns in distinct cell types. Non-coding
genetic variants can influence cellular phenotypes by modifying higher-order
transcriptional hubs and consequently gene expression. To elucidate genomic
regulation in human retina, we mapped chromatin contacts at high resolution
and integrated with super-enhancers (SEs), histone marks, binding of CTCF
and select transcription factors. We show that topologically associated
domains (TADs) with central SEs exhibit stronger insulation and augmented
contact with retinal genes relative to TADs with edge SEs. Merging genome-
wide expression quantitative trait loci (eQTLs) with topology map reveals
physical links between 100 eQTLs and corresponding eGenes associated with
retinal neurodegeneration. Additionally, we uncover candidate genes for
susceptibility variants linked to age-related macular degeneration and glau-
coma. Our study of high-resolution genomic architecture of human retina
provides insights into genetic control of tissue-specific functions, suggests
paradigms for missing heritability, and enables the dissection of common
blinding disease phenotypes. The three-dimensional (3D) architecture of the human genome is
regulated across multiple levels of organization, yielding precise spa-
tiotemporal patterns of gene expression for morphogenesis and
functional specification1,2. Gene regulation occurs within transcrip-
tional units through productive enhancer-promoter contacts and/or
by inclusion within transcriptionally active membraneless structures,
called phase-separated condensates3–6. The transcriptional units are
contained within megabase-sized self-interacting chromatin structures
known as topologically associated domains (TADs). The boundaries of
TADs are enriched for binding of structural proteins including CTCF
and cohesin7–9. Genome organization also exhibits A (active) and B (inactive) chromatin compartments, which display distinct patterns of
DNA replication and transcription along with differences in regulatory
marks10–13. Across the 3D hierarchy, genome topology undergoes
dynamic and contextual physical alterations in distinct tissues and cell
types14,15. These adaptations correlate with activation of specific cis-
regulatory elements (CREs) that contribute to the establishment of
unique gene expression patterns14,16,17. Cell-type specific gene expres-
sion is further orchestrated by super-enhancers (SEs), regulatory
regions spanning over tens of kilobases that are highly enriched for
master transcription factor (TF) binding and co-localized with the
active histone mark H3K27Ac18–20. 1Neurobiology, Neurodegeneration and Repair Laboratory, National Eye Institute, National Institutes of Health, MSC0610, 6 Center Drive, Bethesda, MD
20892, USA. Results Distinct chromatin interactions at retinal genes suggest their
important role in tissue-specific gene regulation. We then assessed
whether these interactions are conserved between human and mouse
retina. To quantify shared chromatin interactions, we evaluated the
number of gene pairs present in the same TAD in our human and a
previously reported mouse retina Hi-C datasets32. We observed that
21.8% of mouse gene pairs in a mouse TAD are also localized in the
corresponding human TAD (Fig. 2E top panel), and that35.7% of mouse
gene pairs interacting through a chromatin loop in the retina are also
interacting in human (Fig. 2E bottom panel). These numbers likely
represent an underestimate of shared chromatin structure due to the
relatively lower resolution of the mouse retina Hi-C data. As an
example, the PITX2/EGF locus, located in a human/mouse syntenic
region, extends over 3 TADs in the human retina. This region encom-
passes several expressed genes, with EGF and ENPEP genes interacting
together, each at a TAD boundary (Fig. 2F). Self-interacting domains
corresponding to the human TADs (Fig. 2F, dashed lines) are detect-
able in the mouse retina (Fig. 2F), even though not identified as TADs in
the original study. Furthermore, in both species, chromatin loops are
observed between EGF and ENPEP (Fig. 2F). These findings show that
retina-expressed genes exhibit a conserved chromatin topology,
underlining its importance for the regulation of retinal genes and likely
involving tissue-specific CREs. Article Article Over the past decade, millions of human genetic variations have
been cataloged21,22, permitting exploration of evolutionary divergence
as well as healthy and disease phenotypes. Genome-wide association
studies (GWAS) of common multifactorial retinal diseases afflicting
adult human populations, such as age-related macular degeneration
(AMD) and glaucoma, have predominantly identified common variants
in non-coding regions of the genome23,24. However, the biological
relevance of association signals has been difficult to assess because of
the local linkage disequilibrium (LD) in the region of lead variants,
hindering identification of specific causal genes and variants25. Even in
Mendelian retinal diseases with over 200 associated genes identified
(RetNet; https://sph.uth.edu/retnet/disease.htm), causal mutations
can only be identified in about half of the patients (primarily in Eur-
opean population)26 and genotype-phenotype correlations have been
difficult to decipher. Non-coding variants in cis-regulatory regions may
lead to variable penetrance of pathogenic coding mutations in their
target genes27, genetic epistasis28, or account for missing heritability29. Widespread variability in gene expression observed in humans can be
assigned to cis- or trans-acting variants (expression quantitative trait
loci, eQTLs) and epistasis30. Elucidating how trait-associated genetic
variations impact the regulatory landscape and consequently pheno-
types requires understanding the 3D genome topology in relevant
tissues and cell types. qualitatively and quantitatively precise regulation6. We then char-
acterized the loops associated with expressed chromatin at the
genome-wide level. Intra-A compartment loops are shorter compared
to the intra-B (Tukey HSD: p < 0.001; 95% CI 416–449 kb) and the A-B
compartment loops (Tukey HSD: p < 0.001; 95% CI 308–398 kb;
Fig. 1E). These intra-A loops, corresponding to the active chromatin,
span less than 1 Mb on average (Fig. 1E) and are mostly constrained
within TADs (Supplementary fig. 1D). Human retina chromatin topology is tissue-specific and con-
served in mouse To assess whether the identified chromatin features are specific to the
retina, we compared our dataset with Hi-C datasets from human
neurons (anterior cingulate cortex (ACC) neurons)31, GM12878 lym-
phoblastoid immortalized cells (LCL)2, and colon cancer cells (HCT116;
generated in this study). The correlation, as measured by SCC, is the
highest among our four retina samples (Fig. 2A). Retina compartments
reveal high correlation with those of ACC neurons though limited to
few chromosomes, likely because of the improper calling of com-
partments in the low-resolution ACC dataset (Fig. 2B, Supplementary
fig. 2A). The compartments in the non-transformed LCL dataset are
broadly similar with retinal compartments, whereas the cancer cells
exhibit the lowest correlation (Fig. 2B). We hypothesized that regions in the A compartment, which are
detected in retina but not in other tissues, are related to retina-specific
functions. Indeed, retina-specific genes such as OTX2, EYS, PDC are
present in the A compartment only in the retina (Fig. 2C). Given the
high correlation between retina and ACC neurons, we compared the
contact maps of PAX6, OTX2 and CRX between the two datasets. As
predicted, interactions at the PAX6 locus are similar in neurons and
retina concordant with its expression in both tissues (Fig. 2D, left
panel), whereas loci encoding OTX2 and CRX, two key retinal TFs,
demonstrate a high number of local interactions in the retina but not in
neurons (Fig. 2D, central and right panels). Here, we report a high-resolution chromatin contact map of the
adult human retina by performing Hi-C1. Further integration of chro-
matin contacts with histone marks, chromatin accessibility, selected
TF binding, and gene expression datasets reveals targets of CREs and
uncovers properties of 3D chromatin organization of SEs in human
retina. Finally, we combine the resulting retinal genomic regulation
network with eQTLs and genetic variants identified through GWAS of
AMD and glaucoma. Thus, our analysis of regulatory 3D genome
architecture contributes to better understanding of genetic control of
human retinal phenotypes. Nature Communications| (2022) 13:5827 High-resolution genome topology of human
retina uncovers super enhancer-promoter
interactions at tissue-specific and multi-
factorial disease loci 2In silichrom Ltd, First Floor, Angel Court, 81 St Clements St, Oxford OX4 1AW, UK. 3These authors contributed equally: Claire Marchal, Nivedita
Singh, Zachary Batz, Jayshree Advani. e-mail: swaroopa@nei.nih.gov Nature Communications| (2022) 13:5827 Nature Communications| (2022) 13:5827 Nature Communications| (2022) 13:5827 1 https://doi.org/10.1038/s41467-022-33427-1 Deep Hi-C sequencing identifies chromatin structures in human
retina at 5 kb resolution Moreov
active and poised enhancers are enriched at regions upstream to T
C
E
D
B
1
2
3
4
5
6
7
8
9 10 11 12 13 14 15
16
17
18
19
20
21
22
X
1
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3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
X
Compartments
Loops
NRL
ABHD12B
BMP4
OTX2
KCNH5
VSX2
ESRRB
FLRT2
Chr14:17-107 Mb
Chromosome
Chromosome
0
10,000+
0
400+
H3K27Ac
(ChromHMM)
Super-enhancers
(ROSE)
heritability
T
Retinal eQTLs
DHRS2
NRL
PCK2
NOP9
23,750
24,000
24,250
NEDD8
DHRS4
0
28
0
28
74,500
75,000
75,500
76,000
76,500
LIN52
ABCD4
FOS
TTLL5
TGFB3
GPATCH2L
ESRRB
NPC2
YLPM1
NEK9
JDP2
VASH1
PROX2
VSX2
0.1
1
10
Loop size (Mb)
Compartments
A-B
B-B
A-A Super-enhancers
(ROSE) C
B
1
2
3
4
5
6
7
8
9 10 11 12 13 14 15
16
17
18
19
20
21
22
X
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
X
Compartments
NRL
ABHD12B
BMP4
OTX2
KCNH5
VSX2
ESRRB
FLRT2
Chr14:17-107 Mb
Chromosome
Chromosome
0
10,000+
0
400+
(ROSE)
Retinal eQTLs C
B
1
2
3
4
5
6
7
8
9 10 11 12 13 14 15
16
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20
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7
8
9
10
11
12
13
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15
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17
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19
20
21
22
X
Chromosome
Chromosome
0
10,000+
( C
B
1
2
3
4
5
6
7
8
9 10 11 12 13 14 15
16
17
18
19
20
21
22
X
1
2
3
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5
6
7
8
9
10
11
12
13
14
15
16
17
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21
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X
Chr14:17-107 Mb
Chromosome
Chromosome
0
10,000+
(
) B C E
D
1
2
3
4
5
6
7
8
9 10 11 12 13 14 15
16
17
18
19
20
21
22
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12
13
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17
18
19
20
21
22
X
Compartments
Loops
VSX2
ESRRB
FLRT2
Chromosome
DHRS2
NRL
PCK2
NOP9
23,750
24,000
24,250
NEDD8
DHRS4
0
28
0
28
74,500
75,000
75,500
76,000
76,500
LIN52
ABCD4
FOS
TTLL5
TGFB3
GPATCH2L
ESRRB
NPC2
YLPM1
NEK9
JDP2
VASH1
PROX2
VSX2
0.1
1
10
Loop size (Mb)
Compartments
A-B
B-B
A-A E
0.1
1
10
Loop size (Mb)
Compartments
A-B
B-B
A-A D E
1 H3K4me234) and repressive (H3K9me3) histone marks. Deep Hi-C sequencing identifies chromatin structures in human
retina at 5 kb resolution Figure 1A illustrates the design of our study to elucidate regulatory
networks controlling gene expression in the human retina and their
potential disruption by genetic variants associated with clinical phe-
notypes. Briefly, we have generated a high-resolution chromatin con-
tact map of the human retina using Hi-C and integrated this data with
histone marks, chromatin accessibility, CTCF, and binding of selected
TFs. We then explored the genome topology of eQTLs and variants
associated with AMD and glaucoma (Fig. 1A). To decipher the 3D organization of chromatin, we performed Hi-C
analysis of four independent postmortem human retina samples. The
Hi-C data exhibited high similarity among samples with a stratified
correlation coefficient (SCC) of >0.97 for all autosomes. We therefore
combined the data from all samples to obtain a total sequencing depth
of 1.148 billion read pairs. A high proportion of valid interactions (>95%
of the total mapped interactions) and typical percentage of trans-
interactions (23.6%; Supplementary table 1) indicated the high quality
of our dataset. We obtained 704 million valid chromatin contacts
(Supplementary table 1), which are equally distributed among the
chromosomes, attaining a resolution of 3 kb (Fig. 1B, C, Supplementary
fig. 1A). Our data identified 67,841 significant chromatin contacts and
2948 TADs (Fig. 1A, C, D). Retinal SEs overlap with highly expressed tissue-specific genes
and are enriched for accessible retinal TF binding motifs As predicted, the genes expressed in the retina are detected in the
A chromatin compartment, while most silent genes appear in the B
compartment (Fig. 1C; Supplementary Fig. 1B, C). For example, NRL is
expressed in rods, ESRRB in rods and horizontal cells, and VSX2 in
bipolar and Muller glia cells; each of the three genes is present within a
well-defined A compartment TAD and participates in extensive intra-
TAD chromatin looping (Fig. 1D), which is likely required for Chromatin looping plays a crucial role in promoting physical interac-
tions between CREs and their target genes to precisely control gene
expression. To identify retinal CREs, we determined chromatin states
using a Hidden Markov Model (ChromHMM)33 based on chromatin
accessibility (Supplementary fig. Deep Hi-C sequencing identifies chromatin structures in human
retina at 5 kb resolution C
E
D
B
1
2
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Compartments
Loops
NRL
ABHD12B
BMP4
OTX2
KCNH5
VSX2
ESRRB
FLRT2
Chr14:17-107 Mb
Chromosome
Chromosome
0
10,000+
0
400+
Hi-C
H3K4me3
H3K9me3
H3K4me2
H3K27Ac
ATAC-seq
Chromatin states
(ChromHMM)
Super-enhancers
(ROSE)
Promoter
Enhancer
Enhancer
Enhancer
Pol II
y
tili
b
is
s
e
c
c
A
sfi
t
o
M
c
a
7
2
a
3
H
s
r
e
c
n
a
h
n
E
−
r
e
p
u
S
CTCF
Retinal TFs
AMD + Glaucoma
GWAS
Candidate
causal disease
genes
g
regulation in 3D
Identify missing
heritability
A
T
Retinal eQTLs
DHRS2
NRL
PCK2
NOP9
23,750
24,000
24,250
NEDD8
DHRS4
0
28
0
28
74,500
75,000
75,500
76,000
76,500
LIN52
ABCD4
FOS
TTLL5
TGFB3
GPATCH2L
ESRRB
NPC2
YLPM1
NEK9
JDP2
VASH1
PROX2
VSX2
0.1
1
10
Loop size (Mb)
Compartments
A-B
B-B
A-A
Nature Communications| (2022)13:5827 Identify missing
heritability C
E
D
B
1
2
3
4
5
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7
8
9 10 11 12 13 14 15
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8
9
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X
Compartments
Loops
NRL
ABHD12B
BMP4
OTX2
KCNH5
VSX2
ESRRB
FLRT2
Chr14:17-107 Mb
Chromosome
Chromosome
0
10,000+
0
400+
H3K27Ac
Chromatin states
(ChromHMM)
Super-enhancers
(ROSE)
Promoter
Identify missing
heritability
T
Retinal eQTLs
DHRS2
NRL
PCK2
NOP9
23,750
24,000
24,250
NEDD8
DHRS4
0
28
0
28
74,500
75,000
75,500
76,000
76,500
LIN52
ABCD4
FOS
TTLL5
TGFB3
GPATCH2L
ESRRB
NPC2
YLPM1
NEK9
JDP2
VASH1
PROX2
VSX2
0.1
1
10
Loop size (Mb)
Compartments
A-B
B-B
A-A 4me234) and repressive (H3K9me3) histone marks. We set the
el for 10 chromatin states (see Methods, and Supplementary
3B) and performed manual annotation. Of these states, we
oved three with low signal and annotated one as promoters (high
matin accessibility and enriched for all active marks), five as active
active marks except H3K4me3), and one as heterochromatin (enrich
for H3K9me3) (Fig. 3A). Deep Hi-C sequencing identifies chromatin structures in human
retina at 5 kb resolution We set the
model for 10 chromatin states (see Methods, and Supplementary
fig. 3B) and performed manual annotation. Of these states, we
removed three with low signal and annotated one as promoters (high
chromatin accessibility and enriched for all active marks), five as active
or poised enhancers (high chromatin accessibility and enriched for all
active marks except H3K4me3), and one as heterochromatin (enric
for H3K9me3) (Fig. 3A). Promoters and active or poised enhancer
enriched for binding of CTCF and key retinal TFs such as CRX,
OTX2, MEF2D, CREB, and RORB (Supplementary fig. 3C). Moreo
active and poised enhancers are enriched at regions upstream to
whereas promoters are enriched at TSS only (Supplementary fig. Deep Hi-C sequencing identifies chromatin structures in human
retina at 5 kb resolution 3A) and active (H3K4me3, H3K27Ac, Nature Communications| (2022) 13:5827 2 Article https://doi.org/10.1038/s41467-022-33427-1 A
Hi-C
H3K4me3
H3K9me3
H3K4me2
H3K27Ac
ATAC-seq
Chromatin states
(ChromHMM)
Super-enhancers
(ROSE)
Promoter
Enhancer
Enhancer
Enhancer
Pol II
High resolution (3kb)
chromatin contacts
Integrated mapping of retinal
cis-regulatory elements
y
tili
b
is
s
e
c
c
A
sfi
t
o
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a
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a
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a
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n
E
−
r
e
p
u
S
>60,000 loops
CTCF
Retinal TFs
AMD + Glaucoma
GWAS
Candidate
causal disease
genes
Retinal gene
regulation in 3D
Identify missing
heritability
A
T
Retinal eQTLs C
E
D
B
A
1
2
3
4
5
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8
9 10 11 12 13 14 15
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Compartments
Loops
NRL
ABHD12B
BMP4
OTX2
KCNH5
VSX2
ESRRB
FLRT2
Chr14:17-107 Mb
Chromosome
Chromosome
0
10,000+
0
400+
Hi-C
H3K4me3
H3K9me3
H3K4me2
H3K27Ac
ATAC-seq
Chromatin states
(ChromHMM)
Super-enhancers
(ROSE)
Promoter
Enhancer
Enhancer
Enhancer
Pol II
High resolution (3kb)
chromatin contacts
Integrated mapping of retinal
cis-regulatory elements
y
tili
b
is
s
e
c
c
A
sfi
t
o
M
c
a
7
2
a
3
H
s
r
e
c
n
a
h
n
E
−
r
e
p
u
S
>60,000 loops
CTCF
Retinal TFs
AMD + Glaucoma
GWAS
Candidate
causal disease
genes
Retinal gene
regulation in 3D
Identify missing
heritability
A
T
Retinal eQTLs
DHRS2
NRL
PCK2
NOP9
23,750
24,000
24,250
NEDD8
DHRS4
74,500
75,000
75,500
76,000
76,500
LIN52
ABCD4
FOS
TTLL5
TGFB3
GPATCH2L
ESRRB
NPC2
YLPM1
NEK9
JDP2
VASH1
PROX2
VSX2
0.1
1
10
Loop size (Mb)
A B
B B
A A A
Hi-C
H3K4me3
H3K9me3
H3K4me2
H3K27Ac
ATAC-seq
Chromatin states
(ChromHMM)
Super-enhancers
(ROSE)
Promoter
Enhancer
Enhancer
Enhancer
Pol II
High resolution (3kb)
chromatin contacts
Integrate
cis-reg
>60,000 loops
CTCF
Retinal TFs
AM
R A 0
400+
Integrated mapping of retinal
cis-regulatory elements
y
tili
b
is
s
e
c
c
A
sfi
t
o
M
c
a
7
2
a
3
H
s
r
e
c
n
a
h
n
E
−
r
e
p
u
S
AMD + Glaucoma
GWAS
Candidate
causal disease
genes
Retinal gene
regulation in 3D
Identify missing
heritability
A
T
Retinal eQTLs Integrated mapping of retinal
cis-regulatory elements Integrated mapping of retinal
cis-regulatory elements H3K4me234) and repressive (H3K9me3) histone marks. Deep Hi-C sequencing identifies chromatin structures in human
retina at 5 kb resolution Promoters and active or poised enhancers
enriched for binding of CTCF and key retinal TFs such as CRX, N
OTX2, MEF2D, CREB, and RORB (Supplementary fig. 3C). https://doi.org/10.1038/s41467-022-33427-1 Fig. 1 | High-resolution Hi-C identifies human retinal chromatin structures. Fig. 1 | High-resolution Hi-C identifies human retinal chromatin structures. A Schematic of project workflow. Input data on blue backgrounds were generated
in this manuscript; input data on yellow backgrounds were downloaded from
public databases. Hi-C contact maps of observed contacts across (B) all chromo-
somes, (C) the q arm of chromosome 14, and (D) the NRL and VSX2/ESRRB loci. Scale
represents the number of raw contacts. Loops at the NRL and VSX2/ESRRB loci are
plotted on the top; contact maps are below with TADs plotted as black triangles. E Distribution of chromatin loop sizes within and across A/B compartments
(n = 15,441 loops within A compartment, n = 4318 loops within B compartments,
n = 2697 loops in A-B compartments). Boxplots represent the median and inter-
quartile range (IQR); whiskers mark 1.5x the IQR; data beyond 1.5x the IQR are
plotted as individual points. The three groups differ significantly (one-way ANOVA,
F2,22453 = 2232, p < 0.001). Abbreviations: ROSE Rank Ordering of Super-Enhancers,
AMD Age-related macular degeneration, GWAS Genome-wide association study. Fig. 1 | High-resolution Hi-C identifies human retinal chromatin structures. A Schematic of project workflow. Input data on blue backgrounds were generated
in this manuscript; input data on yellow backgrounds were downloaded from
public databases. Hi-C contact maps of observed contacts across (B) all chromo-
somes, (C) the q arm of chromosome 14, and (D) the NRL and VSX2/ESRRB loci. Scale
represents the number of raw contacts. Loops at the NRL and VSX2/ESRRB loci are
plotted on the top; contact maps are below with TADs plotted as black triangles. A Schematic of project workflow. Input data on blue backgrounds were generated
in this manuscript; input data on yellow backgrounds were downloaded from
public databases. Hi-C contact maps of observed contacts across (B) all chromo-
somes, (C) the q arm of chromosome 14, and (D) the NRL and VSX2/ESRRB loci. Scale
represents the number of raw contacts. Loops at the NRL and VSX2/ESRRB loci are
plotted on the top; contact maps are below with TADs plotted as black triangles. represents the number of raw contacts. Loops at the NRL and VSX2/ESRRB loci are
plotted on the top; contact maps are below with TADs plotted as black triangles. F2,22453
2232, p
0.001). Abbreviations: ROSE Rank Ordering of Super Enhancer
AMD Age-related macular degeneration, GWAS Genome-wide association study. https://doi.org/10.1038/s41467-022-33427-1 Mouse Chr3, PITX2/EGF locus
Human Chr4, PITX2/EGF locus
0
10+
0
10+
A
D
F
LCL
Colon cancer
ACC Neuron
Retina 1
Retina 2
Retina 3
Retina 4
Colon cancer
ACC Neuron
Retina 1
Retina 2
Retina 3
Retina 4
LCL
0
1
B
ACC Neuron
Colon cancer
LCL
0.5
0.9
Compartment
Correlation
with Retina
1
2
3
4 5
6
7
8 9 10 11 12 13 14 15 16 17 18 19 20 21 22
Chromosome
<0.5
Retina-enriched genes
DUXB
EYS
GJD2
OTX2
CDH15
PDC
Retina
ACC Neuron
LCL
Colon
cancer
457
182
279
390
310
205
343
119
388
244
306
1,858
347
730
11,477
C
GNGT1
HCN1
IMPG1
PRTG
RARB
RCVRN
E
51,175
(21.8%)
13,824
183,704
Human
Mouse
In TADs
70
(35.7%)
5,125
126
Human
Mouse
In Loops
Conservation of
gene-gene pairs
TMEM260
EXOC5
OTX2-AS1
AP5M1
OTX2
Chr14:56.5-57.4 Mb, OTX2 locus
Chr11:30.9-32.1 Mb, PAX6 locus
DCDC1
DNAJC24
RCN1
IMMP1L
PAX6
Retina
ACC Neuron
CRX
SELENOW
Chr19:47.6-47.9 Mb, CRX locus
0
20+
0
10+
0
10+
Fig. 2 | Retinal chromatin interactions are tissue specific and conserved in
mouse. A Stratum-adjusted correlation coefficient (SCC) showing similarity of
contact maps between tissue types averaged across all autosomal chromosomes. B Chromosome-level correlation of A/B compartments between retina and various
tissues. C Venn diagram of gene transcription start sites present in the A com-
partment across sample types. A selection of retina-enriched genes (see methods)
exclusively identified as A compartment in retina samples are highlighted. D Comparison of Hi-C contact maps for retina and ACC neuron at the PAX6, OTX2
and CRX loci. Scales represent the number of Knight-Ruiz (KR) normalized contact
counts. E Human-mouse conservation of gene-gene shared occupancywithin a TA
(top) and gene-gene contacts via Hi-C loop calls (bottom). Percentages given are
relative to the number of mouse gene-gene pairs. F Hi-C contact maps and loops
a syntenic region of the human and mouse genomes. Solid lines on contact map
indicate computationally called TADs; dashed lines on the mouse contact map
show human TAD boundaries overlaid on mouse genome. Scales represent the
number of KR normalized contacts. Abbreviations LCL Lymphoblastoid B-cell lin
ACC Anterior cingulate cortex, TADs Topologically associating domains. Deep Hi-C sequencing identifies chromatin structures in human
retina at 5 kb resolution We set the
model for 10 chromatin states (see Methods, and Supplementary
fig. 3B) and performed manual annotation. Of these states, we
removed three with low signal and annotated one as promoters (high
chromatin accessibility and enriched for all active marks), five as active
or poised enhancers (high chromatin accessibility and enriched for all active marks except H3K4me3), and one as heterochromatin (enriched
for H3K9me3) (Fig. 3A). Promoters and active or poised enhancers are
enriched for binding of CTCF and key retinal TFs such as CRX, NRL,
OTX2, MEF2D, CREB, and RORB (Supplementary fig. 3C). Moreover,
active and poised enhancers are enriched at regions upstream to TSS,
whereas promoters are enriched at TSS only (Supplementary fig. 3D). Nature Communications| (2022) 13:5827 Nature Communications| (2022) 13:5827 3 Article https://doi.org/10.1038/s41467-022-33427-1 B
ACC Neuron
Colon cancer
LCL
0.5
0.9
Compartment
Correlation
with Retina
1
2
3
4 5
6
7
8 9 10 11 12 13 14 15 16 17 18 19 20 21 22
Chromosome
<0.5 A
LCL
Colon cancer
ACC Neuron
Retina 1
Retina 2
Retina 3
Retina 4
Colon cancer
ACC Neuron
Retina 1
Retina 2
Retina 3
Retina 4
LCL
0
1
B B A D
tin
TMEM260
EXOC5
OTX2-AS1
AP5M1
OTX2
Chr14:56.5-57.4 Mb, OTX2 locus
Chr11:30.9-32.1 Mb, PAX6 locus
DCDC1
DNAJC24
RCN1
IMMP1L
PAX6
Retina
ACC Neuron
CRX
SELENOW
Chr19:47.6-47.9 Mb, CRX locus
0
20+
0
10+
0
10+ D
Colon
ACC
Retina-enriched genes
DUXB
EYS
GJD2
OTX2
CDH15
PDC
Retina
ACC Neuron
LCL
Colon
cancer
457
182
279
390
310
205
343
119
388
244
306
1,858
347
730
11,477
C
GNGT1
HCN1
IMPG1
PRTG
RARB
RCVRN D D C F
E
51,175
(21.8%)
13,824
183,704
Human
Mouse
In TADs
70
(35.7%)
5,125
126
Human
Mouse
In Loops
Conservation of
gene-gene pairs Mouse Chr3, PITX2/EGF locus
Human Chr4, PITX2/EGF locus
0
10+
0
10+ E F counts. E Human-mouse conservation of gene-gene shared occupancywithin a TAD
(top) and gene-gene contacts via Hi-C loop calls (bottom). Percentages given are
relative to the number of mouse gene-gene pairs. F Hi-C contact maps and loops in
a syntenic region of the human and mouse genomes. Solid lines on contact maps
indicate computationally called TADs; dashed lines on the mouse contact map
show human TAD boundaries overlaid on mouse genome. Scales represent the
number of KR normalized contacts. Abbreviations LCL Lymphoblastoid B-cell line,
ACC Anterior cingulate cortex, TADs Topologically associating domains. Fig. 2 | Retinal chromatin interactions are tissue specific and conserved in Fig. 2 | Retinal chromatin interactions are tissue specific and conserved in
mouse. A Stratum-adjusted correlation coefficient (SCC) showing similarity of
contact maps between tissue types averaged across all autosomal chromosomes. B Chromosome-level correlation of A/B compartments between retina and various
tissues. C Venn diagram of gene transcription start sites present in the A com-
partment across sample types. A selection of retina-enriched genes (see methods)
exclusively identified as A compartment in retina samples are highlighted. D Comparison of Hi-C contact maps for retina and ACC neuron at the PAX6, OTX2
and CRX loci. Scales represent the number of Knight-Ruiz (KR) normalized contact Fig. 2 | Retinal chromatin interactions are tissue specific and conserved in
mouse. https://doi.org/10.1038/s41467-022-33427-1 A Stratum-adjusted correlation coefficient (SCC) showing similarity of
contact maps between tissue types averaged across all autosomal chromosomes. B Chromosome-level correlation of A/B compartments between retina and various
tissues. C Venn diagram of gene transcription start sites present in the A com-
partment across sample types. A selection of retina-enriched genes (see methods)
exclusively identified as A compartment in retina samples are highlighted. D Comparison of Hi-C contact maps for retina and ACC neuron at the PAX6, OTX2
and CRX loci. Scales represent the number of Knight-Ruiz (KR) normalized contact Nature Communications| (2022) 13:5827 4 4 A
B
C
E
G
F
H
D
H3K9me3
H3K27Ac
H3K4me3
H3K4me2
ATAC-seq
NRL
OTX1/2
CRX
CREB
RORB
CTCF
24,070 kb
24,100 kb
CPNE6
NRL
PCK2
SE
Genes
20
40
60
% Genes
Overlapping
Non-Retina
Ubiquitous
Retina & Brain
Retina
Horizontal
Bipolar
Cone
Müller
Rod
SE
Random
0
50
100
150
200
100
200
300
SE Size (kb)
SEs
4
8
12
16
Mean FPKM
SE
CRE
Random
0
10
10
10
10
10
10
1
0
5
0
20
0
5
0
50
10
Relative position
ATAC
H3K4me2
H3K4me3
H3K27Ac
H3K9me3
0
Coverage
Promoter
Active or Poised Enhancer
Hetero-
chromatin
R2 = 0.86
0
50
100
250
500
750
1000
1250
Retina−expressed genes
per chromosome
SEs per chromosome
50
100
150
200
250
Chromosome Size (Mb)
0
50
100
SEs per chromosome
R2 = 0.32
Rod expression
Cone expression
SE
0
50
100+
Normalized Expression
C2H2 ZFs
ZBTB18
ZFP82
bZIP
FOS
DBP
JUNB
FOSB
NFE2L2
NFE2L1
MAFG
MAFB
BACH2
NR with C4 ZFs
RORA
NR4A1
ESRRG
NR2C1
ESRRA
ESRRB
NR4A2
HOX
CRX
OTX2
POU2F1
MEIS1
POU3F1
bHLH
NEUROD1
TCF12
TCF3
MADS
MEF2C
MEF2D
MEF2A
HMG
TCF7
FOX
FOXO3
FOXP1
FOXK1
Tryptophan
cluster
SMARCA1
In SE
Out SE
5
10
CRX, no NRL
NRL, no CRX
NRL & CRX
CREB
CRX
MEF2D
NRL
OTX
RORB
Accessible Footprints
Overlapping
ChIP-seq Peak (%)
In SE
Out SE
20
40
Fig. 3 | Retinal SE identification and characterization. A Chromatin states iden-
tified from histone marks and ATAC-seq data (low signal states not shown, see
Fig. S3). Plots in each cell indicate the mean coverage for each mark across the
genomic regions aligned and resized to a 0 to 1 scale, e.g., regions assigned the
heterochromatin state contain uniformly high H3K9me3 coverage across the entire
region and low coverage of all other marks. https://doi.org/10.1038/s41467-022-33427-1 H
Rod expression
Cone expression
SE
bZIP
FOS
DBP
JUNB
FOSB
NFE2L2
NFE2L1
MAFG
MAFB
BACH2
NR with C4 ZFs
RORA
NR4A1
ESRRG
NR2C1
ESRRA
ESRRB
NR4A2
In SE
Out SE
CRX,
NRL, H
Rod expression
Cone expression
SE
0
50
100+
Normalized Expression
C2H2 ZFs
ZBTB18
ZFP82
bZIP
FOS
DBP
JUNB
FOSB
NFE2L2
NFE2L1
MAFG
MAFB
BACH2
NR with C4 ZFs
RORA
NR4A1
ESRRG
NR2C1
ESRRA
ESRRB
NR4A2
HOX
CRX
OTX2
POU2F1
MEIS1
POU3F1
bHLH
NEUROD1
TCF12
TCF3
MADS
MEF2C
MEF2D
MEF2A
HMG
TCF7
FOX
FOXO3
FOXP1
FOXK1
In SE
Out SE
CRX,
NRL,
NR H 0
50
100+
Normalized Expression
C2H2 ZFs
ZBTB18
ZFP82
HOX
CRX
OTX2
POU2F1
MEIS1
POU3F1
bHLH
NEUROD1
TCF12
TCF3
MADS
MEF2C
MEF2D
MEF2A
HMG
TCF7
FOX
FOXO3
FOXP1
FOXK1
Tryptophan
cluster
SMARCA1 Fig. 3 | Retinal SE identification and characterization. A Chromatin states iden-
tified from histone marks and ATAC-seq data (low signal states not shown, see
Fig. S3). Plots in each cell indicate the mean coverage for each mark across the
genomic regions aligned and resized to a 0 to 1 scale, e.g., regions assigned the
heterochromatin state contain uniformly high H3K9me3 coverage across the entire
region and low coverage of all other marks. B Number of SE per chromosome
versus chromosome size (left) and versus number of retina-expressed genes (right). Correlation is measured as Pearson’s r2. C Size distribution of SEs in retina. D Mean
expression of genes with transcription start sites (TSS) in SE (n = 1), CRE (n = 1), and
random SE-sized genomic regions (n = 100). Boxplots represent the median and
interquartile range (IQR); whiskers mark 1.5x the IQR; data beyond 1.5x the IQR are
plotted as individual points. E Percentage of genes in various enrichment groups
(see methods) with at least one TSS located in a SE (n = 1) or random SE-sized region
(n = 100). Boxplots represent the median and interquartile range (IQR); whiskers
mark 1.5x the IQR; data beyond 1.5x the IQR are plotted as individual points. [F] SEs,
histone marks, chromatin accessibility, and TF residency for the NRL locus. Fig. 3 | Retinal SE identification and characterization. A Chromatin states iden- G Percentage of accessible genomic footprints (defined via ATAC-seq) inside and
outside of SEs which contain ChIP-seq narrow peaks for the indicated TF(s). outside of SEs which contain ChIP seq narrow peaks for the indicated TF(s). https://doi.org/10.1038/s41467-022-33427-1 Plots in each cell indicate the mean coverage for each mark across the
genomic regions aligned and resized to a 0 to 1 scale, e.g., regions assigned the
heterochromatin state contain uniformly high H3K9me3 coverage across the entire
region and low coverage of all other marks. B Number of SE per chromosome
versus chromosome size (left) and versus number of retina-expressed genes (right). Correlation is measured as Pearson’s r2. C Size distribution of SEs in retina. D Mean
expression of genes with transcription start sites (TSS) in SE (n = 1), CRE (n = 1), and
random SE-sized genomic regions (n = 100). Boxplots represent the median and
interquartile range (IQR); whiskers mark 1.5x the IQR; data beyond 1.5x the IQR are
plotted as individual points. E Percentage of genes in various enrichment groups
(see methods) with at least one TSS located in a SE (n = 1) or random SE-sized region
(n = 100). Boxplots represent the median and interquartile range (IQR); whiskers
mark 1.5x the IQR; data beyond 1.5x the IQR are plotted as individual points. [F] SEs,
histone marks, chromatin accessibility, and TF residency for the NRL locus. G Percentage of accessible genomic footprints (defined via ATAC-seq) inside a
outside of SEs which contain ChIP-seq narrow peaks for the indicated TF(s). H Selection of TF motifs enriched in SE-overlapping accessible genomic footpri
containing NRL and CRX relative to accessible footprints without NRL or CRX. T
bar on top indicates whether the gene coding for the TF is overlapping a SE (red)
not (grey). The heatmap shows normalized gene expression in rods and cones fr
the Human Protein Atlas. TF families as defined by TFClass are indicated along
bottom edge. Abbreviations ATAC-seq Assay for transposase-accessible chroma
sequencing, SE Super-enhancer, FPKM Fragments per kilobase million, TSS Tra
scription start site, ChIP-seq Chromatin immunoprecipitation sequencing, C2H
ZFs C2H2 zinc finger factors, bZIP Basic leucine zipper factors, NR with C4 ZFs
Nuclear receptors with C4 zinc fingers, HOX Homeodomain factors, bHLH Bas
helix-loop-helix factors, MADS MADS-box factors, HMG High-mobility group
domain factors, FOX Fork head/winged helix factors, RHR Rel homology region
factors. https://doi.org/10.1038/s41467-022-33427-1 Article
https://doi.org/10.1038/s41467-022-33427 https://doi.org/10.1038/s41467-022-33427-1 Article A
B
C
E
G
F
H
D
H3K9me3
H3K27Ac
H3K4me3
H3K4me2
ATAC-seq
NRL
OTX1/2
CRX
CREB
RORB
CTCF
24,070 kb
24,100 kb
CPNE6
NRL
PCK2
SE
Genes
20
40
60
% Genes
Overlapping
Non-Retina
Ubiquitous
Retina & Brain
Retina
Horizontal
Bipolar
Cone
Müller
Rod
SE
Random
0
50
100
150
200
100
200
300
SE Size (kb)
SEs
4
8
12
16
Mean FPKM
SE
CRE
Random
0
10
10
10
10
10
10
1
0
5
0
20
0
5
0
50
10
Relative position
ATAC
H3K4me2
H3K4me3
H3K27Ac
H3K9me3
0
Coverage
Promoter
Active or Poised Enhancer
Hetero-
chromatin
R2 = 0.86
0
50
100
250
500
750
1000
1250
Retina−expressed genes
per chromosome
SEs per chromosome
50
100
150
200
250
Chromosome Size (Mb)
0
50
100
SEs per chromosome
R2 = 0.32
SE
5
10
CRX, no NRL
NRL, no CRX
NRL & CRX
CREB
CRX
MEF2D
NRL
OTX
RORB
Accessible Footprints
Overlapping
ChIP-seq Peak (%)
In SE
Out SE
20
40 B
50
100
150
200
250
Chromosome Size (Mb)
0
50
100
SEs per chromosome
R2 = 0.32 A
0
10
10
10
10
10
10
1
0
5
0
20
0
5
0
50
10
Relative position
ATAC
H3K4me2
H3K4me3
H3K27Ac
H3K9me3
0
Coverage
Promoter
Active or Poised Enhancer
Hetero-
chromatin B C A E
F
D
H3K
H3K
H3K
H3K
G
20
40
60
% Genes
Overlapping
Non-Retina
Ubiquitous
Retina & Brain
Retina
Horizontal
Bipolar
Cone
Müller
Rod
SE
Random
4
8
12
16
Mean FPKM
SE
CRE
Random E D F G
A
R
5
10
CRX, no NRL
NRL, no CRX
NRL & CRX
CREB
CRX
MEF2D
NRL
OTX
RORB
Accessible Footprints
Overlapping
ChIP-seq Peak (%)
In SE
Out SE
20
40 G H
CTCF
Rod expression
Cone expression
SE
0
50
100+
Normalized Expression
C2H2 ZFs
ZBTB18
ZFP82
bZIP
FOS
DBP
JUNB
FOSB
NFE2L2
NFE2L1
MAFG
MAFB
BACH2
NR with C4 ZFs
RORA
NR4A1
ESRRG
NR2C1
ESRRA
ESRRB
NR4A2
HOX
CRX
OTX2
POU2F1
MEIS1
POU3F1
bHLH
NEUROD1
TCF12
TCF3
MADS
MEF2C
MEF2D
MEF2A
HMG
TCF7
FOX
FOXO3
FOXP1
FOXK1
Tryptophan
cluster
SMARCA1
In SE
Out SE
CRX,
NRL,
NRL
Fig. 3 | Retinal SE identification and characterization. A Chromatin states iden-
tified from histone marks and ATAC-seq data (low signal states not shown, see
Fig. S3). https://doi.org/10.1038/s41467-022-33427-1 B Number of SE per chromosome
versus chromosome size (left) and versus number of retina-expressed genes (right). Correlation is measured as Pearson’s r2. C Size distribution of SEs in retina. D Mean
expression of genes with transcription start sites (TSS) in SE (n = 1), CRE (n = 1), and
random SE-sized genomic regions (n = 100). Boxplots represent the median and
interquartile range (IQR); whiskers mark 1.5x the IQR; data beyond 1.5x the IQR are
plotted as individual points. E Percentage of genes in various enrichment groups
(see methods) with at least one TSS located in a SE (n = 1) or random SE-sized region
(n = 100). Boxplots represent the median and interquartile range (IQR); whiskers
mark 1.5x the IQR; data beyond 1.5x the IQR are plotted as individual points. [F] SEs,
histone marks chromatin accessibility and TF residency for the NRL locus
G Percentage of accessible genomic footprints (defined via ATAC-seq) inside an
outside of SEs which contain ChIP-seq narrow peaks for the indicated TF(s). H Selection of TF motifs enriched in SE-overlapping accessible genomic footprin
containing NRL and CRX relative to accessible footprints without NRL or CRX. Th
bar on top indicates whether the gene coding for the TF is overlapping a SE (red) o
not (grey). The heatmap shows normalized gene expression in rods and cones fro
the Human Protein Atlas. TF families as defined by TFClass are indicated along th
bottom edge. Abbreviations ATAC-seq Assay for transposase-accessible chromat
sequencing, SE Super-enhancer, FPKM Fragments per kilobase million, TSS Tran
scription start site, ChIP-seq Chromatin immunoprecipitation sequencing, C2H2
ZFs C2H2 zinc finger factors, bZIP Basic leucine zipper factors, NR with C4 ZFs
Nuclear receptors with C4 zinc fingers, HOX Homeodomain factors, bHLH Basic
helix-loop-helix factors, MADS MADS-box factors, HMG High-mobility group
domain factors, FOX Fork head/winged helix factors, RHR Rel homology region
factors. https://doi.org/10.1038/s41467-022-33427-1 H Selection of TF motifs enriched in SE-overlapping accessible genomic footprints
containing NRL and CRX relative to accessible footprints without NRL or CRX. The
bar on top indicates whether the gene coding for the TF is overlapping a SE (red) or
not (grey). The heatmap shows normalized gene expression in rods and cones from
the Human Protein Atlas. TF families as defined by TFClass are indicated along the
bottom edge. Abbreviations ATAC-seq Assay for transposase-accessible chromatin
sequencing, SE Super-enhancer, FPKM Fragments per kilobase million, TSS Tran-
scription start site, ChIP-seq Chromatin immunoprecipitation sequencing, C2H2
ZFs C2H2 zinc finger factors, bZIP Basic leucine zipper factors, NR with C4 ZFs
Nuclear receptors with C4 zinc fingers, HOX Homeodomain factors, bHLH Basic
helix-loop-helix factors, MADS MADS-box factors, HMG High-mobility group
domain factors, FOX Fork head/winged helix factors, RHR Rel homology region
factors. We then identified 1,325 SEs using the density of H3K27Ac at the
retinal CREs (promoters and active or poised enhancers) after
removing loci corresponding to TSS. The distribution of SEs along
chromosomes is not homogenous and shows a very low correlation
(R2 = 0.31) between the number of SEs per chromosome and the chromosome size (Fig. 3B left panel and Supplementary fig. 3E). Interestingly, however, we detected a high correlation (R2 = 0.86)
between the number of retina-expressed genes and the number of SEs
per chromosome (Fig. 3B, right panel). Retinal SEs also form large
chromatin domains spanning over 10 to 300 kb (Fig. 3C). Nature Communications| (2022) 13:5827 5 https://doi.org/10.1038/s41467-022-33427-1 Article Article Integration of SEs with transcriptome data revealed 2.17x higher
average expression of genes overlapping with SEs compared to those
with CREs and 2.89x higher than 100 sets of random SE-sized loci
(henceforth called “random regions”, see Methods for details) (Fig. 3D,
Supplementary Data 1). Notably, nearly 50% of retina-enriched genes
and 70% of rod-enriched genes show an overlap with a SE compared to
~5% with random regions (Fig. 3E). The key photoreceptor-specific
gene NRL is included within a large SE enriched for active histone
marks and accessible chromatin regions (Fig. 3F). Accessible footprints
within SEs are enriched for binding peaks of retinal TFs such as NRL,
CRX, OTX1/2, CREB and RORB (Fig. 3G). Furthermore, hotspots of TF
binding sites are present predominantly in SEs compared to CREs or
random regions (Supplementary fig. 3F). https://doi.org/10.1038/s41467-022-33427-1 We also confirmed that
accessible chromatin regions in retinal SEs are enriched for binding of
two key photoreceptor TFs, CRX and NRL, alone or in combination
(Fig. 3G, right panel). We discovered that CRX and NRL bound loci are
enriched for binding motifs of other TFs involved in retinal gene reg-
ulation including OTX2, MEF2C, NEUROD1 and MAFG (Fig. 3H, Sup-
plementary fig. 3G, Supplementary Data 2). In addition, we uncovered
an enrichment of motifs for retina-expressed TFs, e.g., ZBTB18, for
which a specific function has not been delineated in retinal cell types
(Fig. 3H, Supplementary Data 2). The genes encoding many of these
TFs with enriched binding motifs also overlap SEs, suggesting their
potential role in maintaining retinal homeostasis (Fig. 3H, Supple-
mentary Data 2). which, for each genomic locus, quantifies the interaction frequency
between neighboring loci; a lower score indicates stronger insulation. Our analysis showed that the presence of SEs at the edge of TADs is
associated with weaker insulation, i.e., increased contact between
neighboring TADs (Fig. 5A, right panel). We then evaluated whether SE
positioning within TADs was associated with the number of inter-TAD
contacts. We identified more chromatin interactions within SE-
containing TADs compared to other TADs, despite no significant dif-
ference in loop size among A-compartment TADs (Fig. 5B). In con-
cordance with the observed weaker insulation, TADs with a SE at one
edge have a significantly higher proportion of loops crossing the TAD
boundary compared to other TADs (Fig. 5B). Next, we looked at the function of the SE target genes, i.e., genes
with TSS overlapping or interacting with SE. We observed that TADs
with edge SEs are enriched for stress response genes indicating the
need for more dynamic and transitional interactions (Fig. 5C), whereas
retinal genes are primarily enriched in TADs with central SEs (Fig. 5C,
Supplementary fig. 5A). The SE overlapping the stress-response gene
FOS is an example of an edge SE within a low insulation TAD that may
be affected by variation in regions extending beyond their own TAD
boundaries (Fig. 5D). Similarly, at the ATF4 locus, a SE lying at the edge
of a lowly insulated TAD is in contact with regions outside of the TAD
(Supplementary fig. 5B). Integration of chromatin loops, SEs and CREs with retinal eQTLs
eQTLs link specific genetic variants to changes in expression of a target
gene (henceforth called “eGene”). SEs are enriched for intra-TAD looping and contacts with reg-
ulatory elements SEs may contact other regulatory regions to form large transcriptional
units capable of regulating multiple genes, as previously observed in
cell lines35,36. Integrated analysis revealed that retinal SEs are enriched
for shorter chromatin loops compared to the random regions
(t99 = 69.46; p < 0.001; Fig. 4A) and show extensive intra-SE looping
(Fig. 4B). Distinctly, nearly all SE-interacting loops are <1 Mb (Fig. 4A)
indicating that SEs primarily harbor interactions within TADs. To vali-
date this observation, we quantified the percentage of intra-TAD loops
overlapping with SEs. We detected an enrichment of loops interacting
within the same TAD compared to the random regions (t99 = −24.76;
p < 0.001), whereas we observed fewer than expected loops interact-
ing across TADs (t99 = −18.81; p < 0.001; Fig. 4C). To quantify the significance of chromatin looping at SEs, we
defined SE interactions as those with another regulatory element or
with a target gene. We discovered that SEs are enriched for regulatory
interactions compared to random regions, making direct contact with
3,059 unique CREs (t99 = −361; p < 0.001), 1,701 unique TSS (t99 = −346;
p < 0.001), and 217 unique SEs (t99 = −651; p < 0.001; Fig. 4D). Remarkably, the genes specifically expressed in the retina and/or brain
are mostly overlapping with SEs, whereas the genes interacting but not
overlapping with SEs are enriched for ubiquitous genes (Supplemen-
tary fig. 4A). Some SEs interact with many CREs and thereby likely play
important roles in coordinating gene expression patterns. For exam-
ple, the SE overlapping with MIR9-2, a non-coding gene crucial for
neuronal development37 localizes at a TAD boundary and contacts
several CREs (Fig. 4E). We also identified several clusters of SEs inter-
acting with one another via chromatin looping near retina-enriched
genes, including VEGFA (Fig. 4F) and UBE4B (Fig. 4G). We then assessed the physical proximity between a variant and
the promoter region (±2.5 kb from TSS) of its eGene, as described39. This analysis allowed us to discriminate between promoter eQTLs,
distal eQTLs, and distal eQTLs interacting with a promoter (pieQTLs,
see methods) (Fig. 6C). We identified 2,374 eQTLs overlapping with a
loop foot; of these, 1,275 are pieQTLs and 100 interact with their own
eGene promoter (Fig. 6D). Among these pieQTLs, 27 are associated
with retinopathies, including 3 that interact with their own eGene
promoter (MYO7A, MERTK and PRPH2 genes). https://doi.org/10.1038/s41467-022-33427-1 To identify eQTLs that are poten-
tially relevant for retinal gene regulation, we incorporated 14,859
previously reported retina eQTLs38 with our dataset and observed that
77% of these localize to the A compartment compared to 18.5% in the B
compartment (Fig. 6A, Supplementary Data 3). Interestingly, the A
compartment includes 82.9% of eQTLs linked to retinopathy genes
(RetNet, https://sph.uth.edu/RetNet/), 90% of those associated with
AMD loci23, and 53.5% eQTLs correlated to glaucoma loci24 (Fig. 6A). eQTLs are enriched for variant-eGene pairs sharing the same TAD
(67.1% of all eQTLs, 75.4% of those in retinopathies, 73.3% AMD-
associated eQTLs, and 79.2% glaucoma eQTLs) compared to randomly
generated TADs (Fig. 6B; Supplementary Data 3). Thus, most retinal
eQTLs are present within the active chromatin compartment and
reside in the same TAD, providing a direct mechanism to explain the
impact of a variant on the eGene. SEs are enriched for intra-TAD looping and contacts with reg-
ulatory elements Finally, 4 pieQTLs are
each
associated
with
AMD
and
glaucoma
loci
(Supplemen-
tary Data 3). Additional analysis identified 2,410 and 880 eQTLs in CREs (CRE-
eQTLs) and SEs (SE-eQTLs), respectively, with 58.5% of CRE-eQTLs and
69.3% of SE-eQTLs also intersecting the associated eGene (Fig. 6E,
Supplementary Data 3). A majority of retinopathy-associated CRE-
eQTLs (39/60) and SE-eQTLs (38/42) overlaps the respective eGene
(Fig. 6E, Supplementary Data 3). Furthermore, we discovered 3 CRE-
eQTLs and 2 SE-eQTLs in AMD-associated loci and 17 CRE-eQTLs and 5
SE-eQTLs in glaucoma-associated loci (Fig. 6E). In accordance with
their potential role in gene regulation, all CRE- and SE-overlapping
eQTLs exhibit prominent H3K27Ac marks, with promoter eQTLs
showing even higher levels compared to distal eQTLs, though not
statistically significant for the disease-associated eQTLs, due to the
lower number of eQTLs (all eQTLs at CREs: t1059.5 = −14.266, p < 2.2e-16, Intra-TAD positioning of SEs is associated with boundary insu-
lation and biological function of target genes Nature Communications| (2022) 13:5827 Intra-TAD positioning of SEs is associated with boundary insu-
lation and biological function of target genes Boxplots represent the median and interquartile ran
(IQR); whiskers mark 1.5x the IQR; data beyond 1.5x the IQR are plotted as individ
points. E–G Chromatin loops, SEs, CREs, TADs, and Hi-C contact maps for the
MIR9-2 (zoom-in on right panel), [F] VEGFA, and [G] UBE4B loci. Abbreviations
Super-enhancer, TAD Topologically associating domain, CRE Cis-regulatory ele
ment, TSS Transcription start site. Intra-TAD positioning of SEs is associated with boundary insu-
lation and biological function of target genes To explore the chromatin landscape around SEs, we assessed physical
properties of the corresponding host TADs. We first compared the
TAD size in relation to the position of SE within the TAD. We observed
that, within the A compartment, TADs containing SEs are larger than
TADs without SEs, except when the SE is located at one of the TAD
edges (Fig. 5A, left panel). We then calculated the insulation score, Nature Communications| (2022) 13:5827 6 https://doi.org/10.1038/s41467-022-33427-1 Article 0
50
100
150
200
250
0
10
20
30
40
Number of Loops
All loopings with
the region
Loopings internal
to the region
100
50
10
1
% of regions
RBP7
UBE4B
KIF1B
SLC25A33
TMEM201
PIK3CDA
CLSTN1
PGD
CENPS
LZIC
NMNAT1
9,750
10,250
10,000
chr1: 9.6-10.5 Mb, UBE4B locus
POLH
GTPBP2
RSPH9
MRPS18A
VEGFA
MRPL14
CAPN11
MYMX
SLC29A1
HSP90AB1
SPATS1
TCTE1
AARS2
TMEM63B
43,750
44,000
44,250
chr6: 43.6-44.4 Mb, VEGFA locus
CETN3
TMEM161B
MIR9-2
MEF2C
88,000
89,000
90,000
chr5: 87.4-90.4 Mb, MIR9-2 locus
MIR9-2
chr5: 88.6-88.9 Mb, MIR9-2 locus
MEF2C
85,600
85,700
85,800
85,900
SEs
Genes
Loops
Contact
Map &
TADs
CREs
SEs
Genes
Loops
Contact
Map &
TADs
CREs
1000
2000
3000
SE-SE
SE-CRE
Unique Pairs
SE-TSS
SE
Random
25
50
75
Within TAD
Across TAD
% SE Loops
105
106
107
SE
Random
Loop size (bp)
A
B
C
E
D
F
G
ig. 4 | SEs display a distinct chromatin looping pattern. A Size distribution of
oops intersecting with at least one SE (n = 14,491 loops) or random SE-sized
enomic region (n = 299,795 total loops across 100 randomly generated regions,
ee methods). Boxplots represent the median and interquartile range (IQR); whis-
ers mark 1.5x the IQR; data beyond 1.5x the IQR are plotted as individual points. B Distribution of loops per SE or random SE-sized genomic region either making
ontact with at least one foot touching an SE/random region (left) or both feet
ontained within a single SE/random region (right). C Percentage of loops in con-
act with SEs (n = 1) or random regions (n = 100) that cross TAD boundaries. Boxplots represent the median and interquartile range (IQR); whiskers mark 1. the IQR; data beyond 1.5x the IQR are plotted as individual points. D Number o
unique pairs of features connected by chromatin looping (n = 1 SEs dataset, n = 1
random regions datasets). Intra-TAD positioning of SEs is associated with boundary insu-
lation and biological function of target genes Article
https://doi.org/10.1038/s41467-022-3342 0
50
100
150
200
250
0
10
20
30
40
Number of Loops
All loopings with
the region
Loopings internal
to the region
100
50
10
1
% of regions
CETN3
TMEM161B
MIR9-2
MEF2C
88,000
89,000
90,000
chr5: 87.4-90.4 Mb, MIR9-2 locus
MIR9-2
chr5: 88.6-88.9 Mb, MIR9-2 locus
MEF2C
85,600
85,700
85,800
85,900
SEs
Genes
Loops
Contact
Map &
TADs
CREs
1000
2000
3000
SE-SE
SE-CRE
Unique Pairs
SE-TSS
SE
Random
25
50
75
Within TAD
Across TAD
% SE Loops
105
106
107
SE
Random
Loop size (bp)
A
B
C
E
D 0
50
100
150
200
250
0
10
20
30
40
Number of Loops
All loopings with
the region
Loopings internal
to the region
100
50
10
1
% of regions
SE
Random
105
106
107
SE
Random
Loop size (bp)
B 0
50
100
150
200
250
0
10
20
30
40
Number of Loops
All loopings with
the region
Loopings internal
to the region
100
50
10
1
% of regions
1000
2000
3000
SE-SE
SE-CRE
Unique Pairs
SE-TSS
SE
Random
25
50
75
Within TAD
Across TAD
% SE Loops
105
106
107
SE
Random
Loop size (bp)
A
B
C
D 25
50
75
Within TAD
Across TAD
% SE Loops
C 105
106
107
SE
Random
Loop size (bp)
A
B 0
50
100
150
200
250
0
10
20
30
40
Number of Loops
All loopings with
the region
Loopings internal
to the region
100
50
10
1
% of regions
SE
Random
25
50
75
Within TAD
cross TA
% SE Loops
B
C 1000
2000
3000
SE-SE
SE-CRE
Unique Pairs
SE-TSS
D D C B A E E CETN3
TMEM161B
MIR9-2
MEF2C
88,000
89,000
90,000
chr5: 87.4-90.4 Mb, MIR9-2 locus
SEs
Genes
Loops
Contact
Map &
TADs
CREs
W
E MIR9-2
chr5: 88.6-88.9 Mb, MIR9-2 locus
MEF2C 85,600
85,700
85,800
85,900 POLH
GTPBP2
RSPH9
MRPS18A
VEGFA
MRPL14
CAPN11
MYMX
SLC29A1
HSP90AB1
SPATS1
TCTE1
AARS2
TMEM63B
43,750
44,000
44,250
chr6: 43.6-44.4 Mb, VEGFA locus
SEs
Genes
Loops
Contact
Map &
TADs
CREs
F RBP7
UBE4B
KIF1B
SLC25A33
TMEM201
PIK3CDA
CLSTN1
PGD
CENPS
LZIC
NMNAT1
9,750
10,250
10,000
chr1: 9.6-10.5 Mb, UBE4B locus
G G F chr1: 9.6-10.5 Mb, UBE4B locus Boxplots represent the median and interquartile range (IQR); whiskers mark 1.5x Fig. 4 | SEs display a distinct chromatin looping pattern. Nature Communications| (2022) 13:5827 Genome topology links target genes to AMD- and Glaucoma-
associated risk variants CFDP1 and AC009054.2 through 6 chromatin loops (Fig. 7B, bottom
panel). We also identified 5 AMD lead variants overlapping with a CRE
and localizing to gene bodies (ARHGAP21, ARMS2/HTRA1, CNN2, APOE
and TNFRSF10A genes) and one AMD lead variant (rs3750846) over-
lapping with a SE and gene bodies of ARMS2 and BX842242.1 (Supple-
mentary Data 4). We then leveraged our dataset to investigate chromatin contacts of 52
and 127 lead GWAS variants identified for AMD and glaucoma,
respectively23,24. We also identified and filtered variants in linkage dis-
equilibrium (LD) with the lead variants (filtered LD variants, see
methods)21 and integrated these with retinal chromatin loops and
regulatory elements. Among glaucoma variants, 12 lead variants and 493 filtered LD
variants overlap a chromatin loop (Fig. 7C, Supplementary Data 4). Of these, 8 lead variants (TRAPPC3, LPP, TFAP2B/PKHD1, PDE7B,
FBXO32, ADAMTS8, RIC8B and LINC00396/COL4A1 loci) and 363 fil-
tered LD variants are in contact with gene bodies or TSS (Fig. 7C,
Supplementary Data 4). In ACC neurons, 10 lead variants and 2,118
filtered LD variants overlap loops; of these, 9 lead variants and 1,890
filtered LD variants are in contact with a gene body or a TSS. For
example, the lead variant rs72904286, associated with TFAP2B/
PKHD1 locus is in contact with the gene body and TSS of TFAP2B
through a chromatin loop (Fig. 7D, top panel). The lead variant
rs1037013, associated with RIC8B locus is in contact with the gene
body of 4 target genes which include RIC8B, RFX4, POLR3B, and
AC079385.1 and with the TSS of RFX4 through chromatin looping
(Fig. 7D, bottom panel). We also detected 16 glaucoma lead variants
overlapping a CRE with 14 of these localizing to gene bodies or TSS,
and 5 glaucoma lead variants overlapping a SE and a gene body or
TSS (Supplementary Data 4). g
y
Among AMD variants, 4 lead and 142 filtered LD variants overlap
with chromatin loops (Fig. 7A, Supplementary Data 4). Of these, 3 lead
variants (C20orf85, CTRB2/CTRB1 and KMT2E/SRPK2 loci) and 136 fil-
tered LD variants distributed among 10 loci [COL8A1, PILRB/PILRA,
TGFBR1, ARHGAP21, RDH5/CD63, ACAD10, RAD51B, C3 (NRTN/FUT6),
APOE (EXOC3L2/MARK4) and SLC16A8 loci] are in contact with gene
bodies or TSS through chromatin loops (Fig. 7A, Supplementary
Data 4). Intra-TAD positioning of SEs is associated with boundary insu-
lation and biological function of target genes A Size distribution of
loops intersecting with at least one SE (n = 14,491 loops) or random SE-sized
genomic region (n = 299,795 total loops across 100 randomly generated regions,
see methods). Boxplots represent the median and interquartile range (IQR); whis-
kers mark 1.5x the IQR; data beyond 1.5x the IQR are plotted as individual points. B Distribution of loops per SE or random SE-sized genomic region either making
contact with at least one foot touching an SE/random region (left) or both feet
contained within a single SE/random region (right). C Percentage of loops in con-
tact with SEs (n = 1) or random regions (n = 100) that cross TAD boundaries. Boxplots represent the median and interquartile range (IQR); whiskers mark 1.5x
the IQR; data beyond 1.5x the IQR are plotted as individual points. D Number of
unique pairs of features connected by chromatin looping (n = 1 SEs dataset, n = 100
random regions datasets). Boxplots represent the median and interquartile range
(IQR); whiskers mark 1.5x the IQR; data beyond 1.5x the IQR are plotted as individual
points. E–G Chromatin loops, SEs, CREs, TADs, and Hi-C contact maps for the [E]
MIR9-2 (zoom-in on right panel), [F] VEGFA, and [G] UBE4B loci. Abbreviations SE
Super-enhancer, TAD Topologically associating domain, CRE Cis-regulatory ele-
ment, TSS Transcription start site. potentially functionally-relevant eQTLs overlapping a SE and in
physical contact with the promoter of their eGene (e.g., PRPH2 and
MYO7A loci; Fig. 6G, top panels) or through chromatin looping
(PRPH2 locus; Fig. 6G, top left panel). We also identified eQTLs
overlapping a CRE, either at the promoter of the eGene (e.g., ABCA1
locus; Fig. 6G, bottom left panel) or by contacting the promoter
through chromatin looping (e.g., PCK2 locus; Fig. 6G, bottom
right panel). retinopathies-associated eQTLs at CREs: t16.603 = −3.6947, p = 0.001861,
glaucoma-associated eQTLs at CREs: t4.0371 = −2.2145, p = 0.09055, all
eQTLs at SEs: t133.15 = −8.3212, p = 9.098e-14, retinopathies-associated
eQTLs at SEs: t8.0834 = −2.8884, p = 0.02003, glaucoma-associated
eQTLs at SEs: t1.0051 = −1.2834, p = 0.4206, Fig. 6F). p
g
Overall, most eQTLs are physically close to their respective
eGene, either overlapping the eGene or its promoter, or being in
contact through chromatin looping. Intra-TAD positioning of SEs is associated with boundary insu-
lation and biological function of target genes Our analysis identified multiple Nature Communications| (2022) 13:5827 7 https://doi.org/10.1038/s41467-022-33427-1 Article A
B
C
D
500
1000
TAD Size (kb)
Compartment
B A A
A
SE Present
-
-
+
+
SE at TAD edge
-
-
-
+
***
***
***
***
***
−0.4
−0.2
Log2Insulation
Compartment
B A A
A
SE Present
-
-
+
+
SE at TAD edge
-
-
-
+
***
***
***
****
***
15
30
Total loops in TAD
Compartment
B A A
A
SE Present
-
-
+
+
SE at TAD edge
-
-
-
+
***
*
******
5
15
25
% Loops crossing
TAD boundaries
B A A
A
-
-
+
+
-
-
-
+
***
***
**
***
**
400
800
Mean Loop Size (Kb)
B A A
A
-
-
+
+
-
-
-
+
***
***
***
HSP90 chaperone cycle for
steroid hormone receptors
Cellular responses to
external stimuli
Cellular responses to stress
Visual phototransduction
The phototransduction
cascade
Non-Edge
Edge
0.0050
0.0001
Adj. p
Gene Ratio
0.025
0.125
SE Position in TAD
Reactome
0.075
0.01
TMED10
FOS
JDP2
NEK9
75,100
75,300
75,500
FOS locus, chr14: 75.1 - 75.5 Mb
Loops
SEs
CREs
Genes
Insulation
TADs
0
20+
Fig. 5 | SEs intra-TAD positioning is linked to TADs biological features. Char-
cterizing TADs fully contained within B compartment or A compartment; A
ompartment TADs are further divided based upon SE presence/absence and SE
position (edge SEs are SEs <5 kb from TAD boundary) (n = 680 TADs in B com-
partment, n = 670 TADs without SE in A compartment, n = 495 TADs with non-
edge SE in A compartment, n = 183 TADs with edge SE in A compartment). These
groups vary in [A] mean TAD size (two-sided, one-way ANOVA, F2,1557 = 270.8,
p < 0.001) and TAD boundary insulation (two-sided, one-way ANOVA,
F2,1548 = 91.01, p < 0.001; lower log2 insulation score corresponds to stronger
nsulation) as well as in [B] the number of chromatin loops in contact with the
TAD (two-sided, one-way ANOVA F3,2722 = 19.85, p < 0.001), mean size of those
loops (two-sided, one-way ANOVA F3,2722 = 75.47, p < 0.001), and percentage of
loops which cross TAD boundaries (two-sided, one-way ANOVA F3,2722 = 18.66,
p < 0.001). * indicates p < 0.05; ** p < 0.01; ***p < 0.001 by ANOVA with Tukey HSD
post-hoc test. Intra-TAD positioning of SEs is associated with boundary insu-
lation and biological function of target genes These
groups vary in [A] mean TAD size (two-sided, one-way ANOVA, F2,1557 = 270.8,
p < 0.001) and TAD boundary insulation (two-sided, one-way ANOVA,
F2,1548 = 91.01, p < 0.001; lower log2 insulation score corresponds to stronger
insulation) as well as in [B] the number of chromatin loops in contact with the loops which cross TAD boundaries (two-sided, one-way ANOVA F3,2722 = 18.66,
p < 0.001). * indicates p < 0.05; ** p < 0.01; ***p < 0.001 by ANOVA with Tukey HSD
post-hoc test. Error bars represent standard error of the mean. C Enriched
Reactome terms among genes with a TSS residing within or in contact via chro-
matin looping with a non-edge or edge SE. D Chromatin loops, SEs, CREs, log2
insulation score, TADs, and Hi-C contact maps for the FOS locus. Abbreviations SE:
Super-enhancer, TAD: Topologically associating domain; CRE: Cis-regulatory
element; TSS: Transcription start site. Intra-TAD positioning of SEs is associated with boundary insu-
lation and biological function of target genes D Chromatin loops, SEs, CREs, log2
insulation score, TADs, and Hi-C contact maps for the FOS locus. Abbreviations SE:
Super-enhancer, TAD: Topologically associating domain; CRE: Cis-regulatory
element; TSS: Transcription start site. B
15
30
Total loops in TAD
Compartment
B A A
A
SE Present
-
-
+
+
SE at TAD edge
-
-
-
+
***
*
******
5
15
25
% Loops crossing
TAD boundaries
B A A
A
-
-
+
+
-
-
-
+
***
***
**
***
**
400
800
Mean Loop Size (Kb)
B A A
A
-
-
+
+
-
-
-
+
***
***
*** B A D
15
30
Total loops in TAD
partment
B A A
A
Present
-
-
+
+
AD edge
-
-
-
+
***
*
******
5
15
25
% Loops crossing
TAD boundaries
B A A
A
-
-
+
+
-
-
-
+
***
***
**
***
**
400
800
Mean Loop Size (Kb)
B A A
A
-
-
+
+
-
-
-
+
***
***
***
TMED10
FOS
JDP2
NEK9
75,100
75,300
75,500
FOS locus, chr14: 75.1 - 75.5 Mb
Loops
SEs
CREs
Genes
Insulation
TADs
0
20+
TAD (two-sided, one-way ANOVA F3,2722 = 19.85, p < 0.001), mean size of those
loops (two-sided, one-way ANOVA F3,2722 = 75.47, p < 0.001), and percentage of
loops which cross TAD boundaries (two-sided, one-way ANOVA F3,2722 = 18.66,
p < 0.001). * indicates p < 0.05; ** p < 0.01; ***p < 0.001 by ANOVA with Tukey HSD
post-hoc test. Error bars represent standard error of the mean. C Enriched
Reactome terms among genes with a TSS residing within or in contact via chro-
matin looping with a non-edge or edge SE. D Chromatin loops, SEs, CREs, log2
insulation score, TADs, and Hi-C contact maps for the FOS locus. Abbreviations SE:
Super-enhancer, TAD: Topologically associating domain; CRE: Cis-regulatory
element; TSS: Transcription start site. D
TMED10
FOS
JDP2
NEK9
75,100
75,300
75,500
FOS locus, chr14: 75.1 - 75.5 Mb
Loops
SEs
CREs
Genes
Insulation
TADs
0
20+ C
D
HSP90 chaperone cycle for
steroid hormone receptors
Cellular responses to
external stimuli
Cellular responses to stress
Visual phototransduction
The phototransduction
cascade
Non-Edge
Edge
0.0050
0.0001
Adj. p
Gene Ratio
0.025
0.125
SE Position in TAD
Reactome
0.075
0.01 C C D 0 Fig. Intra-TAD positioning of SEs is associated with boundary insu-
lation and biological function of target genes 5 | SEs intra-TAD positioning is linked to TADs biological features. Char- TAD (two-sided, one-way ANOVA F3,2722 = 19.85, p < 0.001), mean size of those
loops (two-sided, one-way ANOVA F3,2722 = 75.47, p < 0.001), and percentage of
loops which cross TAD boundaries (two-sided, one-way ANOVA F3,2722 = 18.66,
p < 0.001). * indicates p < 0.05; ** p < 0.01; ***p < 0.001 by ANOVA with Tukey HSD
post-hoc test. Error bars represent standard error of the mean. C Enriched
Reactome terms among genes with a TSS residing within or in contact via chro-
matin looping with a non-edge or edge SE. D Chromatin loops, SEs, CREs, log2
insulation score, TADs, and Hi-C contact maps for the FOS locus. Abbreviations SE:
Super-enhancer, TAD: Topologically associating domain; CRE: Cis-regulatory
element; TSS: Transcription start site. Fig. 5 | SEs intra-TAD positioning is linked to TADs biological features. Char-
acterizing TADs fully contained within B compartment or A compartment; A
compartment TADs are further divided based upon SE presence/absence and SE
position (edge SEs are SEs <5 kb from TAD boundary) (n = 680 TADs in B com-
partment, n = 670 TADs without SE in A compartment, n = 495 TADs with non-
edge SE in A compartment, n = 183 TADs with edge SE in A compartment). These
groups vary in [A] mean TAD size (two-sided, one-way ANOVA, F2,1557 = 270.8,
p < 0.001) and TAD boundary insulation (two-sided, one-way ANOVA,
F2,1548 = 91.01, p < 0.001; lower log2 insulation score corresponds to stronger
insulation) as well as in [B] the number of chromatin loops in contact with the Fig. 5 | SEs intra TAD positioning is linked to TADs biological features. Char
acterizing TADs fully contained within B compartment or A compartment; A
compartment TADs are further divided based upon SE presence/absence and SE
position (edge SEs are SEs <5 kb from TAD boundary) (n = 680 TADs in B com-
partment, n = 670 TADs without SE in A compartment, n = 495 TADs with non-
edge SE in A compartment, n = 183 TADs with edge SE in A compartment). Intra-TAD positioning of SEs is associated with boundary insu-
lation and biological function of target genes Error bars represent standard error of the mean. C Enriched
Reactome terms among genes with a TSS residing within or in contact via chro-
matin looping with a non-edge or edge SE. D Chromatin loops, SEs, CREs, log2
insulation score, TADs, and Hi-C contact maps for the FOS locus. Abbreviations SE:
Super-enhancer, TAD: Topologically associating domain; CRE: Cis-regulatory
element; TSS: Transcription start site. A
500
1000
TAD Size (kb)
Compartment
B A A
A
SE Present
-
-
+
+
SE at TAD edge
-
-
-
+
***
***
***
***
***
−0.4
−0.2
Log2Insulation
Compartment
B A A
A
SE Present
-
-
+
+
SE at TAD edge
-
-
-
+
***
***
***
****
*** B
D
0.4
0.2
ent
B A A
A
ent
-
-
+
+
ge
-
-
-
+
***
***
***
****
***
15
30
Total loops in TAD
Compartment
B A A
A
SE Present
-
-
+
+
SE at TAD edge
-
-
-
+
***
*
******
5
15
25
% Loops crossing
TAD boundaries
B A A
A
-
-
+
+
-
-
-
+
***
***
**
***
**
400
800
Mean Loop Size (Kb)
B A A
A
-
-
+
+
-
-
-
+
***
***
***
Edge
0.0050
0.0001
Adj. p
Gene Ratio
0.025
0.125
on in TAD
0.075
0.01
TMED10
FOS
JDP2
NEK9
75,100
75,300
75,500
FOS locus, chr14: 75.1 - 75.5 Mb
Loops
SEs
CREs
Genes
Insulation
TADs
0
20+
s biological features. Char-
ent or A compartment; A
SE presence/absence and SE
y) (n = 680 TADs in B com-
nt, n = 495 TADs with non-
SE in A compartment). These
ay ANOVA, F2,1557 = 270.8,
one-way ANOVA,
corresponds to stronger
n loops in contact with the
TAD (two-sided, one-way ANOVA F3,2722 = 19.85, p < 0.001), mean size of those
loops (two-sided, one-way ANOVA F3,2722 = 75.47, p < 0.001), and percentage of
loops which cross TAD boundaries (two-sided, one-way ANOVA F3,2722 = 18.66,
p < 0.001). * indicates p < 0.05; ** p < 0.01; ***p < 0.001 by ANOVA with Tukey HSD
post-hoc test. Error bars represent standard error of the mean. C Enriched
Reactome terms among genes with a TSS residing within or in contact via chro-
matin looping with a non-edge or edge SE. Nature Communications| (2022) 13:5827 Genome topology links target genes to AMD- and Glaucoma-
associated risk variants In contrast, no overlap is detected between chromatin loops in
ACC neurons and AMD leadvariants even though 162 of the 196 filtered
LD variants overlapping a loop in ACC are in contact with a gene body
or TSS. Notably, at the KMT2E/SRPK2 locus, the AMD-associated lead
variant rs1142 is in contact with the TSS of KMT2E and SRPK2 and with
the gene body of 7 genes, which include KMT2E, SRPK2, EFCAB10,
LINC01004, PUS7, AC007384.1 and AC005070.3 through 9 chromatin
loops (Fig. 7B, top panel). The lead variant rs72802342, associated with
the CTRB2/CTRB1 locus, connects with the gene bodies and TSS of Nature Communications| (2022) 13:5827 8 rs414285
PRPH2
TBCC
URB2
42,660 kb
42,700 kb
42,740 kb
chr6: 42.6-42.7 Mb, PRPH2 locus
rs2437817
ABCA1
CT70
104,800 kb
105,000 kb
105,200 kb
Loops
eQTLs
SEs
CREs
H3K27Ac
TADs
Genes
chr9:104.7-105.2 Mb, ABCA1 locus
CAPN5
MYO7A
OMP
77,100 kb
77,150 kb
77,200 kb
rs113813737
rs1893759
chr11: 77.1-77.2 Mb, MYO7A locus
Loops
eQTLs
SEs
CREs
H3K27Ac
TADs
Genes
rs11624730
CARMIL3
CPNE6
NRL
PCK2
24,060 kb
24,080 kb
24,100 kb
chr14: 24.0-24.1 Mb, PCK2 locus
1 Mb
Promoter eQTL
TSS
Promoter
Distal eQTL
SE or CRE
Promoter-interacting eQTL
10
100
500
1000
H3K27Ac total signal
CRE
SE
100
1175
1099
eQTL Only
Loop Overlaps:
All
Retinopathies
AMD
Non-eGene
pieQTL
eGene pieQTL
Glaucoma
0
50
100
All
Retinopathies
AMD
% of eQTLs
Comp. A
Comp. B
N/A
Glaucoma
0
40
80
% eQTL-eGene
in same TAD
Random
Real
All
Retinopathies
AMD
Glaucoma
***
***
***
***
B
A
C
E
D
F
G
eQTLs Overlapping
Promoter
Distal
Overlaps eGene
CRE
SE
Retinopathies
All
CRE
SE
CRE
SE
AMD
Glaucoma
3
24
21
4
2
4
8
AMD
CRE
SE
1
2
Retinopathies
CRE
SE
10
30
50
CRE
SE
All
1000
2000
CRE
SE
Glaucoma
8
16
3
ig. 6 | Epigenetic context of retinal eQTLs and eQTLs associated with eye
isease. Proportion of unique eQTLs (variant / eGene pairs) and unique eQTLs
volving genes associated with eye disease (A) overlapping each chromatin com-
artment or (B) share the same observed (n = 1) or random TAD (n = 100; see meth-
ds). Boxplots represent the median and interquartile range (IQR); whiskers mark 1.5x
he IQR; data beyond 1.5x the IQR are plotted as individual points.; *** indicates
< 0.001 by two-sided t-test between observed and random TADs. Genome topology links target genes to AMD- and Glaucoma-
associated risk variants B
N/A
Glaucoma
A E
eQTLs Overlapping
Promoter
Distal
Overlaps eGene
AMD
CRE
SE
1
2
Retinopathies
CRE
SE
10
30
50
CRE
SE
All
1000
2000
CRE
SE
Glaucoma
8
16
3 D E C A eQTL Only
Loop Overlaps:
AMD
Non-eGene
pieQTL
eGene pieQTL
Glaucoma
4
2
4
8 10
100
500
1000
H3K27Ac total signal
CRE
SE
F
Promoter
Distal
Overlaps eGene
CRE
SE
Retinopathies
All
CRE
SE
CRE
SE
AMD
Glaucoma F F Promoter eQTL
TSS
Promoter
Distal eQTL
SE or CRE
Promoter-interacting eQTL
Ret
G
0
40
80
% eQTL-eGene
in same TAD
Random
Real
All
Retinopathies
AMD
Glaucoma
***
***
***
***
B
G B cus
0 kb
cus
CAPN5
MYO7A
OMP
77,100 kb
77,150 kb
77,200 kb
rs113813737
rs1893759
chr11: 77.1-77.2 Mb, MYO7A locus
rs11624730
CARMIL3
CPNE6
NRL
PCK2
24,060 kb
24,080 kb
24,100 kb
chr14: 24.0-24.1 Mb, PCK2 locus
H
CRE
SE
Non-eGene
pieQTL
eGene pieQTL
CRE
SE
CRE
SE
CRE
SE
th-
.5x
f
r-
ith
of
nd
SE
pes
r-
involving genes associated eye disease, overlapping a CRE or SE (n = 1677 eQTLs
overlapping a distal CRE, n = 744 eQTLs overlapping a promoter CRE, n = 12 glaucoma
eQTLs overlapping a distal CRE, n = 5 glaucoma eQTLs overlapping a promoter CRE,
n = 44 retinal disease eQTLs overlapping a distal CRE, n = 16 retinal disease eQTLs
overlapping a promoter CRE, n = 2 AMD eQTLs overlapping a distal CRE; n = 763
eQTLs overlapping a distal SE, n = 121 eQTLs overlapping a promoter SE, n = 3 glau-
coma eQTLs overlapping a distal SE, n = 2 glaucoma eQTLs overlapping a promoter
SE, n = 34 retinal disease eQTLs overlapping a distal SE, n = 8 retinal disease eQTLs
overlapping a promoter SE, n = 2 AMD eQTLs overlapping a distal SE). Boxplots
represent the median and interquartile range (IQR); whiskers mark 1.5x the IQR; data
beyond 1.5x the IQR are plotted as individual points. G Examples of promoters and
pieQTLs associated to retinopathies (PRPH2 locus), glaucoma (MYO7A locus, top
panels), AMD (ABCA1 locus, bottom left panel) and at PCK2 locus (bottom right panel). Tracks represent the chromatin loops, eQTLs variants, SEs, CREs, H3K27Ac coverage,
TADs and genes. Genome topology links target genes to AMD- and Glaucoma-
associated risk variants G rs414285
PRPH2
TBCC
URB2
42,660 kb
42,700 kb
42,740 kb
chr6: 42.6-42.7 Mb, PRPH2 locus
Loops
eQTLs
SEs
CREs
H3K27Ac
TADs
Genes
Retin
Gl
G CAPN5
MYO7A
OMP
77,100 kb
77,150 kb
77,200 kb
rs113813737
rs1893759
chr11: 77.1-77.2 Mb, MYO7A locus rs11624730
CARMIL3
CPNE6
NRL
PCK2
24,060 kb
24,080 kb
24,100 kb
chr14: 24.0-24.1 Mb, PCK2 locus rs2437817
ABCA1
CT70
104,800 kb
105,000 kb
105,200 kb
Loops
eQTLs
SEs
CREs
H3K27Ac
TADs
Genes
chr9:104.7-105.2 Mb, ABCA1 locus Fig. 6 | Epigenetic context of retinal eQTLs and eQTLs associated with eye
disease. Proportion of unique eQTLs (variant / eGene pairs) and unique eQTLs
involving genes associated with eye disease (A) overlapping each chromatin com-
partment or (B) share the same observed (n = 1) or random TAD (n = 100; see meth-
ods). Boxplots represent the median and interquartile range (IQR); whiskers mark 1.5x
the IQR; data beyond 1.5x the IQR are plotted as individual points.; *** indicates
p < 0.001 by two-sided t-test between observed and random TADs. C Schematic of
eQTL annotation depending on the variant position relative to TSS. D Number of
unique eQTLs and unique eQTLs involving genes associated with eye disease over-
lapping with a loop that are not in contact with any TSS (eQTL only), in contact with
any TSS excluding the eGene TSS (non-eGene pieQTL), or in contact with the TSS of
their eGene (eGene pieQTL). E Number of unique eQTLs (variants / eGene pairs) and
unique eQTLs involving eye disease genes with the variant overlapping a CRE or SE
with plain colors indicating the variant position relative to the eGene TSS and stripes
indicating variants overlapping their eGene. F Total H3K27Ac coverage around var-
iants (±100 bp) of each unique eQTLs (variants / eGene pairs) and unique eQTLs Fig. 6 | Epigenetic context of retinal eQTLs and eQTLs associated with eye Fig. 6 | Epigenetic context of retinal eQTLs and eQTLs associated with eye
disease. Proportion of unique eQTLs (variant / eGene pairs) and unique eQTLs
involving genes associated with eye disease (A) overlapping each chromatin com-
partment or (B) share the same observed (n = 1) or random TAD (n = 100; see meth-
ods). Boxplots represent the median and interquartile range (IQR); whiskers mark 1.5x
the IQR; data beyond 1.5x the IQR are plotted as individual points.; *** indicates
p < 0.001 by two-sided t-test between observed and random TADs. Genome topology links target genes to AMD- and Glaucoma-
associated risk variants C Schematic of
QTL annotation depending on the variant position relative to TSS. D Number of
nique eQTLs and unique eQTLs involving genes associated with eye disease over-
pping with a loop that are not in contact with any TSS (eQTL only), in contact with
ny TSS excluding the eGene TSS (non-eGene pieQTL), or in contact with the TSS of
heir eGene (eGene pieQTL). E Number of unique eQTLs (variants / eGene pairs) and
nique eQTLs involving eye disease genes with the variant overlapping a CRE or SE
ith plain colors indicating the ariant position relati e to the eGene TSS and stripes
involving genes associated eye disease, overlapping a CRE or SE (n = 1677 eQTL
overlapping a distal CRE, n = 744 eQTLs overlapping a promoter CRE, n = 12 glauc
eQTLs overlapping a distal CRE, n = 5 glaucoma eQTLs overlapping a promoter
n = 44 retinal disease eQTLs overlapping a distal CRE, n = 16 retinal disease eQT
overlapping a promoter CRE, n = 2 AMD eQTLs overlapping a distal CRE; n = 76
eQTLs overlapping a distal SE, n = 121 eQTLs overlapping a promoter SE, n = 3 g
coma eQTLs overlapping a distal SE, n = 2 glaucoma eQTLs overlapping a prom
SE, n = 34 retinal disease eQTLs overlapping a distal SE, n = 8 retinal disease eQT
overlapping a promoter SE, n = 2 AMD eQTLs overlapping a distal SE). Boxplots
represent the median and interquartile range (IQR); whiskers mark 1.5x the IQR;
beyond 1.5x the IQR are plotted as individual points. G Examples of promoters
pieQTLs associated to retinopathies (PRPH2 locus), glaucoma (MYO7A locus, top
panels), AMD (ABCA1 locus, bottom left panel) and at PCK2 locus (bottom right pa
Tracks represent the chromatin loops eQTLs ariants SEs CREs H3K27Ac co e
Article
https://doi.org/10.1038/s41467-022-334 https://doi.org/10.1038/s41467-022-33427-1 Article 100
1175
1099
eQTL Only
Loop Overlaps:
All
Retinopathies
AMD
Non-eGene
pieQTL
eGene pieQTL
Glaucoma
D
3
24
21
4
2
4
8 1 Mb
Promoter eQTL
TSS
Promoter
Distal eQTL
SE or CRE
Promoter-interacting eQTL
C 0
50
100
All
Retinopathies
AMD
% of eQTLs
Comp. A
Comp. Genome topology links target genes to AMD- and Glaucoma-
associated risk variants C Schematic of
eQTL annotation depending on the variant position relative to TSS. D Number of
unique eQTLs and unique eQTLs involving genes associated with eye disease over-
lapping with a loop that are not in contact with any TSS (eQTL only), in contact with
any TSS excluding the eGene TSS (non-eGene pieQTL), or in contact with the TSS of
their eGene (eGene pieQTL). E Number of unique eQTLs (variants / eGene pairs) and
unique eQTLs involving eye disease genes with the variant overlapping a CRE or SE
with plain colors indicating the variant position relative to the eGene TSS and stripes
indicating variants overlapping their eGene. F Total H3K27Ac coverage around var-
iants (±100 bp) of each unique eQTLs (variants / eGene pairs) and unique eQTLs involving genes associated eye disease, overlapping a CRE or SE (n = 1677 eQTLs
overlapping a distal CRE, n = 744 eQTLs overlapping a promoter CRE, n = 12 glaucoma
eQTLs overlapping a distal CRE, n = 5 glaucoma eQTLs overlapping a promoter CRE,
n = 44 retinal disease eQTLs overlapping a distal CRE, n = 16 retinal disease eQTLs
overlapping a promoter CRE, n = 2 AMD eQTLs overlapping a distal CRE; n = 763
eQTLs overlapping a distal SE, n = 121 eQTLs overlapping a promoter SE, n = 3 glau-
coma eQTLs overlapping a distal SE, n = 2 glaucoma eQTLs overlapping a promoter
SE, n = 34 retinal disease eQTLs overlapping a distal SE, n = 8 retinal disease eQTLs
overlapping a promoter SE, n = 2 AMD eQTLs overlapping a distal SE). Boxplots
represent the median and interquartile range (IQR); whiskers mark 1.5x the IQR; data
beyond 1.5x the IQR are plotted as individual points. G Examples of promoters and
pieQTLs associated to retinopathies (PRPH2 locus), glaucoma (MYO7A locus, top
panels), AMD (ABCA1 locus, bottom left panel) and at PCK2 locus (bottom right panel). Tracks represent the chromatin loops, eQTLs variants, SEs, CREs, H3K27Ac coverage,
TADs and genes. https://doi.org/10.1038/s41467-022-33427-1 Article AMD GWAS lead variants
52 (1196 variants in LD)
Retina SEs
1 (62)
Retina Loops
4 (142)
ACC Neuron Loops
0 (196)
Gene body
TSS
3 (136)
3 (64)
5 (118)
4 (86)
1 (57)
0 (0)
0 (162)
0 (65)
Retina CREs
5 (122)
A
B Glaucoma GWAS lead variants
127 (12,658 variants in LD)
Retina SEs
5 (221)
Retina Loops
12 (493)
ACC Neuron Loops
10 (2118)
Gene body
TSS
8 (363)
3 (157)
14 (368)
8 (180)
5 (221)
5 (221)
9 (1890)
2 (730)
Retina CREs
16 (434)
C
D C A B D 104,000 kb
104,500 kb
105,000 kb
105,500 kb
RELN
ORC5
LHFPL3
PUS7
SYPL1
ATXN7L1
KMT2E
RINT1
SRPK2
EFCAB10
CDHR3
rs1142
Loops
Lead Variant
LD Variants
CTCF
Insulation
SE
CRE
Genes
TADs
chr7: 103.9-106.4 Mb, KMT2E/SRPK2 locus
B 51,000 kb
51,500 kb
52,000 kb
TFAP2D
IL17A
IL17F
TFAP2B
PKHD1
51,000 kb
51,500 kb
52,000 kb
rs72904286
TFAP2D
IL17A
IL17F
TFAP2B
PKHD1
chr6:50.6-52.4 Mb, TFAP2B/PKHD1 locus
D 75,000 kb
75,250 kb
75,500 kb
CTRB2
CHST5
WDR59
CTRB1
TERF2IP
DUXB
ZNRF1
ZFP1
CHST6
TMEM231
KARS1
LDHD
CFDP1
BCAR1
TMEM170A
ADAT1
rs72802342
chr16: 74.9-76.0 Mb, CTRB2/CTRB1 locus
Loops
Lead Variant
LD Variants
CTCF
Insulation
SE
CRE
Genes
TADs 106,500 kb
107,000 kb
rs1037013
CKAP4
POLR3B
RFX4
CRY1
TCP11L2
TMEM263
MTERF2
RIC8B
106,750 kb
106,250 kb
chr12: 106.3-107.1 Mb, RIC8B locus chr12: 106.3-107.1 Mb, RIC8B locus chr16: 74.9-76.0 Mb, CTRB2/CTRB1 locus via chromatin loops in retina or ACC neurons, or residing in retina CREs or SEs. D Chromatin loops, lead variants, LD variants, CTCF binding, SEs, CREs, TADs, and
Hi-C contact maps for two glaucoma GWAS loci. Abbreviations AMD Age-related
macular degeneration, GWAS Genome-wide association study, LD Linkage dis-
equilibrium, TSS Transcription start site, MAF Minor allele frequency, CTCF
CCCTC-binding factor, SE Super-enhancer, TAD Topologically associating domain,
CRE Cis-regulatory element. Fig. 7 | AMD and glaucoma variants are connected to target genes via retinal
chromatin loops. A Count of AMD lead variants and variants in linkage dis-
equilibrium (LD variants; MAF ≥1% & R2 score ≥0.7, shown in parenthesis) con-
tacting genes via chromatin loops in retina or ACC neurons, or residing in retina
CREs or SEs. B Chromatin loops, lead variants, LD variants, CTCF binding,SEs, CREs,
TADs, and Hi-C contact maps for two AMD GWAS loci. C Count of glaucoma lead
and LD variants (MAF ≥1% & R2 score ≥0.7, shown in parenthesis) contacting genes Genome topology links target genes to AMD- and Glaucoma-
associated risk variants Nature Communications| (2022) 13:5827 9 9 104,000 kb
104,500 kb
105,000 kb
105,500 kb
RELN
ORC5
LHFPL3
PUS7
SYPL1
ATXN7L1
KMT2E
RINT1
SRPK2
EFCAB10
CDHR3
rs1142
Loops
Lead Variant
LD Variants
CTCF
Insulation
SE
CRE
Genes
TADs
chr7: 103.9-106.4 Mb, KMT2E/SRPK2 locus
51,000 kb
51,500 kb
52,000 kb
TFAP2D
IL17A
IL17F
TFAP2B
PKHD1
51,000 kb
51,500 kb
52,000 kb
rs72904286
TFAP2D
IL17A
IL17F
TFAP2B
PKHD1
chr6:50.6-52.4 Mb, TFAP2B/PKHD1 locus
75,000 kb
75,250 kb
75,500 kb
CTRB2
CHST5
WDR59
CTRB1
TERF2IP
DUXB
ZNRF1
ZFP1
CHST6
TMEM231
KARS1
LDHD
CFDP1
BCAR1
TMEM170A
ADAT1
rs72802342
chr16: 74.9-76.0 Mb, CTRB2/CTRB1 locus
Loops
Lead Variant
LD Variants
CTCF
Insulation
SE
CRE
Genes
TADs
106,500 kb
107,000 kb
rs1037013
CKAP4
POLR3B
RFX4
CRY1
TCP11L2
TMEM263
MTERF2
RIC8B
106,750 kb
106,250 kb
chr12: 106.3-107.1 Mb, RIC8B locus
AMD GWAS lead variants
52 (1196 variants in LD)
Retina SEs
1 (62)
Retina Loops
4 (142)
ACC Neuron Loops
0 (196)
Gene body
TSS
3 (136)
3 (64)
5 (118)
4 (86)
1 (57)
0 (0)
0 (162)
0 (65)
Retina CREs
5 (122)
Glaucoma GWAS lead variants
127 (12,658 variants in LD)
Retina SEs
5 (221)
Retina Loops
12 (493)
ACC Neuron Loops
10 (2118)
Gene body
TSS
8 (363)
3 (157)
14 (368)
8 (180)
5 (221)
5 (221)
9 (1890)
2 (730)
Retina CREs
16 (434)
A
B
C
D
ig. 7 | AMD and glaucoma variants are connected to target genes via retinal
hromatin loops. A Count of AMD lead variants and variants in linkage dis-
quilibrium (LD variants; MAF ≥1% & R2 score ≥0.7, shown in parenthesis) con-
acting genes via chromatin loops in retina or ACC neurons, or residing in retina
REs or SEs. B Chromatin loops, lead variants, LD variants, CTCF binding,SEs, CREs,
ADs, and Hi-C contact maps for two AMD GWAS loci. C Count of glaucoma lead
nd LD variants (MAF ≥1% & R2 score ≥0.7, shown in parenthesis) contacting genes
via chromatin loops in retina or ACC neurons, or residing in retina CREs or SE
D Chromatin loops, lead variants, LD variants, CTCF binding, SEs, CREs, TADs,
Hi-C contact maps for two glaucoma GWAS loci. Abbreviations AMD Age-relat
macular degeneration, GWAS Genome-wide association study, LD Linkage dis
equilibrium, TSS Transcription start site, MAF Minor allele frequency, CTCF
CCCTC-binding factor, SE Super-enhancer, TAD Topologically associating dom
CRE Cis-regulatory element. Article
https://doi.org/10.1038/s41467-022-3342 https://doi.org/10.1038/s41467-022-33427-1 Discussion We believe this could be due to
differing approaches to insulation score calculation. We measure
boundary insulation based on contacts crossing a TAD boundary
region, as recommended by the 4D Nucleome consortium (i.e., cool-
tools diamond insulation). In contrast, other study normalized this
count using the contacts in adjacent regions44, leading to a bias of
insulation score for adjacent regions rich in local loops (such as the SE-
containing regions). We should point out that TAD boundary locali-
zation varies at the single cell level45,46, therefore the insulation score at
boundaries can also reflect the heterogeneity in the tissue. Thus, we
propose that chromatin architecture could be
more dynamic
around these transcription hotspots. For example, a SE and its asso-
ciated genes could be dynamically targeted to, and released
from subnuclear compartments, temporally disrupting the TAD
boundary in a subset of cells. This would be reflected at the population
level by a lower insulation at the affected TAD boundary. In con-
cordance with this hypothesis, SE at the edge of a TAD could affect the
boundary to a greater extent compared to SE in the middle of a TAD,
leading to a weaker insulation at edge-SE TAD boundaries, as we
observe here. Adult-onset multifactorial diseases affecting retinal function are
the major cause of irreversible vision impairment in humans. GWAS of
Glaucoma and AMD have identified a large number of non-coding
variants, and additional studies including eQTL analysis have provided
further insights; yet, the causal genes and variants continue to be
elusive for many associated loci. Our integrated analysis of adult
human retinal genome topology with GWAS lead and LD variants has
uncovered several previously unidentified genes potentially con-
tributing to glaucoma and AMD. For example, we show a remarkable
long-range interaction leading to identification of the target gene
TFAP2B for glaucoma-associated variant rs72904286 at the TFAP2B/
PKHD1 locus. Disruption of TFAP2B expression in mouse results in a
strong pathologic phenotype consistent with glaucoma51,52. Interest-
ingly, this phenotype is believed to be due to defects in the eye tissues
originating from the neural crest52, while we identified TFAP2B through
data from the retina, originating from the neuroepithelium. It is pos-
sible that this apparent discrepancy is due to a lack of tissue specificity
of the regulatory region containing the variant rs72904286, which
could form non-tissue specific contacts with TFAP2B. Discussion These hubs often connect genomic regions across
long distances (>250 kb); e.g., contacts between the CREs of MEF2C,
VEGFA and CLSTN1 with distant genes Notably at the MIR9-2 locus Most SEs we identified are associated with rod genes reflecting
rod cell-dominance in human retinal samples. However, we also cap-
tured signals from divergent low abundance retinal cell types. For
example, relative to random regions, we observe elevated SE overlap
with bipolar, cone photoreceptor, and Müller glia genes as well as
increased chromatin looping between SEs and horizontal cell genes. Additionally, we noted several retinal pigment epithelial cell markers
with TSS overlapping A Compartment and enriched for active reg-
ulatory marks (e.g., BEST-1, MERTK, RLBP1, MITF, PMEL). A previous
study of human retina identified accessible chromatin and TF binding
peaks assessed by ChIP-seq at regulatory elements of both rod and
non-rod genes34. In contrast, mostly rod-associated gene states were
identified in mouse retina via ChromHMM analysis42, and no robust
chromatin interactions detected between non-rod enhancers/pro-
moters and SE via Hi-C32. As predicted, many chromatin interactions
correlate with tissue-specific expression and are conserved in mouse. Retinal CREs and eQTLs having high resolution chromatin con-
tacts should permit systematic analysis of relevant non-coding reg-
ulating regions for missing heritability and help in addressing issues of
variable penetrance in inherited retinal diseases26. Rare coding variants
in over 200 genes associated with photoreceptor and/or retinal pig-
ment epithelium (RPE) function can lead to vision impairment (RetNet;
https://sph.uth.edu/retnet/); yet, only in few instances, non-coding or
structural alterations have been associated with human retinal
disease34,49. Variants in regulatory elements have been implicated in
altering the effect of coding mutations on phenotypes27,50. We propose
that the analysis of functionally-relevant non-coding regions in rho-
dopsin, ABCA4 and other known retinopathy genes, as identified in this
study, would greatly augment our understanding of Mendelian retinal
diseases. p
p
We demonstrate that the biological function of SE target genes
can be associated with SE localization in TADs as well as TAD boundary
insulation. Notably, SEs themselves show interaction mostly with loci
in close proximity, suggesting strong insulation at the local, sub-TAD
level likely due to the enrichment for CTCF binding and to avoid ran-
dom activation of nearby genes, consistent with previous studies43. Unexpectedly, we detect weaker insulation at SE-containing TAD
boundaries, in contrast to a previous study showing the association of
SEs with increased TAD insulation44. Discussion In contrast, mostly rod-associated gene states were
identified in mouse retina via ChromHMM analysis42, and no robust
chromatin interactions detected between non-rod enhancers/pro-
moters and SE via Hi-C32. As predicted, many chromatin interactions
correlate with tissue-specific expression and are conserved in mouse. We demonstrate that the biological function of SE target genes
can be associated with SE localization in TADs as well as TAD boundary
insulation. Notably, SEs themselves show interaction mostly with loci
in close proximity, suggesting strong insulation at the local, sub-TAD
level likely due to the enrichment for CTCF binding and to avoid ran-
dom activation of nearby genes, consistent with previous studies43. Unexpectedly, we detect weaker insulation at SE-containing TAD
boundaries, in contrast to a previous study showing the association of
SEs with increased TAD insulation44. We believe this could be due to
differing approaches to insulation score calculation. We measure
boundary insulation based on contacts crossing a TAD boundary
region, as recommended by the 4D Nucleome consortium (i.e., cool-
tools diamond insulation). In contrast, other study normalized this
count using the contacts in adjacent regions44, leading to a bias of
insulation score for adjacent regions rich in local loops (such as the SE-
containing regions). We should point out that TAD boundary locali-
zation varies at the single cell level45,46, therefore the insulation score at
boundaries can also reflect the heterogeneity in the tissue. Thus, we
propose that chromatin architecture could be
more dynamic
around these transcription hotspots. For example, a SE and its asso-
ciated genes could be dynamically targeted to, and released
from subnuclear compartments, temporally disrupting the TAD
boundary in a subset of cells. This would be reflected at the population
level by a lower insulation at the affected TAD boundary. In con-
cordance with this hypothesis, SE at the edge of a TAD could affect the
boundary to a greater extent compared to SE in the middle of a TAD,
leading to a weaker insulation at edge-SE TAD boundaries, as we
observe here. Our integrated analysis has uncovered multi-way SE-chromatin
interactions centered around hub-like genomic regions, as observed in
other tissues46–48. For example, the SE overlapping FOS connects large
transcriptional units across multiple TADs and may facilitate rapid
stress response. Discussion enhancer interactions. Our data have a resolution of almost 3 kb, which
means that significant chromatin contacts spanning over just few
kilobases can be identified. We noted a non-homogeneous average
resolution across the genome, with some regions requiring additional
sequencing to reach this resolution whereas others exceeding this at
our sequencing depth. This heterogeneity was considered when sta-
tistically calling significant contacts at each genomic location. Spatial architecture of chromatin is highly dynamic and requires active
control mechanisms40. The adult retina is comprised of non-dividing
and highly-specialized sensory neurons and thus offers a relatively
stable environment for investigating the role of 3D genome in con-
trolling genetic information. Hi-C allows the exploration of 3D genome
architecture by identifying chromatin contacts but can only reveal
pairwise interactions. Thus, it is not possible to determine whether
several regions interacting together in a Hi-C contact map coexist in
each cell of the population, or whether these reflect a heterogeneous
cell population each with unique pairs of interacting regions. At higher
resolution, fine regulatory structures can resolve such promoter- Our deep sequencing of chromatin contacts integrated with
chromatin accessibility and histone marks in human retina has pro-
vided detailed information on contacts of distal regulatory elements,
including SEs, with their cognate promoter regions. Integrating this
regulatory 3D map with CTCF and retinal TF binding and CREs34 has Nature Communications| (2022) 13:5827 Nature Communications| (2022) 13:5827 10 https://doi.org/10.1038/s41467-022-33427-1 Article allowed us to construct a comprehensive gene regulatory network. We
show that retina SEs frequently overlap with retina-enriched genes
coding for key retinal TFs including NRL, CRX, OTX2, RORB and
MEF2D, whereas TFs they encode bind extensively to SEs. This inter-
connected, self-regulating TF network may represent a core tran-
scriptional regulatory circuit for maintaining cell identity as observed
in embryonic stem cells (sensu41). We have taken advantage of this
regulatory architecture to delineate tissue-specific genomic regulation
and identify the link between eQTL variants and eGenes via regulatory
elements and/or chromatin looping. Finally, by combining our findings
with AMD and Glaucoma GWAS, we have uncovered candidate causal
genes contributing to these complex traits. variations could impact retinal homeostasis and disease by targeting
genes over very large distance. allowed us to construct a comprehensive gene regulatory network. We
show that retina SEs frequently overlap with retina-enriched genes
coding for key retinal TFs including NRL, CRX, OTX2, RORB and
MEF2D, whereas TFs they encode bind extensively to SEs. Discussion This inter-
connected, self-regulating TF network may represent a core tran-
scriptional regulatory circuit for maintaining cell identity as observed
in embryonic stem cells (sensu41). We have taken advantage of this
regulatory architecture to delineate tissue-specific genomic regulation
and identify the link between eQTL variants and eGenes via regulatory
elements and/or chromatin looping. Finally, by combining our findings
with AMD and Glaucoma GWAS, we have uncovered candidate causal
genes contributing to these complex traits. Long-range regulation is facilitated by the physical interaction
between regulatory regions and their target genes, providing a prob-
able mechanism for eQTLs to influence expression of eGenes located
far from their variants. By integrating retina eQTLs38 with chromatin
looping, SEs, and CREs, we uncovered multiple variants lying in reg-
ulatory regions interacting with their target eGene including several
pieQTLs, i.e., variants directly contacting the promoter of their eGene. Remarkably, we have identified multiple pieQTLs involving genes
associated with retinal neurodegeneration illustrating the value of
unbiased genetic association studies to identify genes linked to retinal
diseases. Examining the chromatin state at these eQTLs can help
prioritize specific variants for further investigation. For example, the
variant associated with PCK2 is lying in a large CRE enriched for active
histone marks. Despite being almost 100 kb away from PCK2, it is in
direct contact with its promoter through a chromatin loop. Thus, dif-
ferent alleles at this locus could impact PCK2 regulation affecting CRE
efficiency, TF binding, and/or chromatin loop formation or stability. elements and/or chromatin looping. Finally, by combining our findings
with AMD and Glaucoma GWAS, we have uncovered candidate causal
genes contributing to these complex traits. Most SEs we identified are associated with rod genes reflecting
rod cell-dominance in human retinal samples. However, we also cap-
tured signals from divergent low abundance retinal cell types. For
example, relative to random regions, we observe elevated SE overlap
with bipolar, cone photoreceptor, and Müller glia genes as well as
increased chromatin looping between SEs and horizontal cell genes. Additionally, we noted several retinal pigment epithelial cell markers
with TSS overlapping A Compartment and enriched for active reg-
ulatory marks (e.g., BEST-1, MERTK, RLBP1, MITF, PMEL). A previous
study of human retina identified accessible chromatin and TF binding
peaks assessed by ChIP-seq at regulatory elements of both rod and
non-rod genes34. Discussion Indeed, we
demonstrate a similar number of chromatin interactions among
glaucoma associated eQTLs and risk variants in both retina and in
neurons, demonstrating weak tissue specificity for this eye disease. In
contrast, AMD-associated eQTLs and risk variants reveal a strong
enrichment for chromatin looping in the retina compared to neurons,
demonstrating the value of examining genomic architecture of disease
variants in the affected tissue. Our integrated analysis has uncovered multi-way SE-chromatin
interactions centered around hub-like genomic regions, as observed in
other tissues46–48. For example, the SE overlapping FOS connects large
transcriptional units across multiple TADs and may facilitate rapid
stress response. These hubs often connect genomic regions across
long distances (>250 kb); e.g., contacts between the CREs of MEF2C,
VEGFA and CLSTN1 with distant genes. Notably, at the MIR9-2 locus,
MEF2C interacts with the gene CETN3 which is associated with retinitis
pigmentosa and located over 1 Mb away. This suggests that genetic Our study has also led to identification of candidate causal genes
for AMD. For example, we establish CFDP1 as a candidate gene
involved in AMD at the CTRB2/CTRB1 locus. While the lead variant
found at this locus (rs72802342) was previously associated to the
target gene BCAR153, we show association of filtered variants in LD with
rs72802342 to the gene coding for CFDP1. Indeed, the LD region at this Nature Communications| (2022) 13:5827 11 https://doi.org/10.1038/s41467-022-33427-1 Article using a Mr. Frosty container (Invitrogen, CA, USA). CUT&RUN was
performed as previously described57 using 200,000–300,000 cells per
experiment. Briefly, cells were bound to activated concavalin A beads
for 7 min at room temperature. Antibodies against H3K9me3 (Rabbit,
cat.no. ab8898, Abcam, Cambridge, UK), H3K4me3 (Rabbit, cat.no. ab8580, Abcam, Cambridge, UK) and control IgG (Rabbit, cat.no. 011-
000-002, Jackson ImmunoResearch Laboratories, PA, USA) were used
at a concentration of 1:100 in 100 µl overnight at 4 °C. pA-MNase
conjugated to protein A (generous gift of Dr. Steven Henikoff, Howard
Hughes Medical Institute, WA, USA) was used at a concentration of
700 ng/ml for 1 hr at 4 oC and activated with calcium chloride for
30 mins at 0 °C. Released DNA fragments were purified using QIAquick
PCR Purification Kit (QIAGEN, Hilden, Germany). Libraries were pre-
pared with SMARTer® ThruPLEX® DNA-Seq Kit (Takara Bio USA, Inc,
CA, USA) and amplified with 15 PCR cycles (60 °C extension). Discussion Pair-end
sequencing was performed with read length of 50 base pairs using the
HiSeq 2500 platform (Illumina, CA, USA). lead variant is overlapping a retinal SE (chr16:75233500-75267000),
which interacts with CFDP1 through chromatin looping. We suggest
that this variant could alter the expression of CFDP1 by disrupting the
SE structure and the interactions it facilitates. This hypothesis is
strongly supported by the presence of a variant (rs11641532) in this LD
region previously linked to the expression of CFDP1 in TWAS
analysis23,38. Conservation of this genomic region from zebrafish to
mammals54 further underscores the importance of regulatory ele-
ments contained within. Notably, zebrafish mutants of Cfdp1 exhibit a
loss of Neurod1 positive cells in the retina55. Altogether, this places
regulation of CFDP1 expression in the retina as a strong candidate for
AMD risk. This example demonstrates how the integration of reg-
ulatory elements to 3D chromatin interactions can help clarify the
biological impact of variants associated with retinal, and more broadly,
human diseases. Notably, one limitation of the Hi-C approach is that
the physical interaction between candidate enhancers and promoters
does not directly demonstrate a functional relationship with respect to
gene regulation. Additional studies are necessary to validate the sig-
nificance of chromatin interaction on retina-specific gene expression. Hi-C data processing p
g
Hi-C analysis was performed with HiCUP v0.8.059 using Arima-
specific
in
silico digested
hg38
genome
for the
retina
and
HCT116 samples, and MboI in silico digested hg38 genome for the
published neuron and GM12878 samples2. Filtered bam files pro-
duced by HiCUP v0.8.059 were converted to.hic files60 and to
HOMER61,62 tag directories. Retina Hi-C resolution was estimated at
3.06 kb using HiCRes63. Reproducibility between samples as well as
correlation with Hi-C from other tissues were assessed using HiCRep
v1.0.064: by computing the average SCC for chromosomes 1 to 22. Compartments were called with Homer v4.161,62 using 100 kb sliding
windows with a step of 50 kb (using options superRes and res,
respectively). Compartment correlation between different tissues
was computed using R. Loops were called using FitHiC v2.0.765 on the
merged Hi-C datasets, using 5 kb resolution and an FDR threshold of
0.01. TADs calling was performed on the merged samples with
domaincaller66, using raw contact maps of 10 kb bins. Insulation
scores were computed using the diamond insulation tool from
cooltools v0.4.0, using 100 kb windows with 5 kb bins. Assay for Transposase-Accessible Chromatin using sequencing
(ATAC-seq) In summary, we have generated a significant resource for the
human retina, by integrating high resolution Hi-C data with epigenetic
profiles and CREs, thereby facilitating investigations of genomic reg-
ulation, identification of missing heritability in retinopathies, and
candidate causal genes and variants for common blinding diseases
including AMD and glaucoma. Our studies thus provide a framework
for connecting regulatory variants with retinal disease phenotypes and
may assist in design of targeted translational paradigms by modulating
genomic regulation. (
q)
ATAC-seq was performed using fresh dissociated cells from five
retinas (2 females and 3 males of 65–77 years age at the time of
death). Tagmentation and library preparation were carried out as
described58 using Nextera DNA Library Prep kit (FC-121-1030, Illu-
mina, San Diego, CA). Dissociated cells were quantified using a
hemocytometer, and the nuclear fraction of 50,000 cells was incu-
bated with tagmentation reaction mix (5 µl Tn5, 25 µl 2x tagmentation
buffer, 20 µl nuclease-free water) in a thermomix with 600 rpm agi-
tation. The DNA was purified by “MinElute PCR Purification” kit
(Qiagen, 28004) followed by a two-sided size selection using a 0.5
and 1.5 ratio of SPRIselect reagent (Beckman Coulter B233181). All of
the DNA was used to prepare the libraries, which were sequenced
pair-end using the HiSeq 2500 platform (Illumina, CA, USA) at a read
length of 50 base pairs. Hi-C experiment Freshly dissected human retina tissue (from 3 male and 1 female of
75–77 years age at the time of death) was crosslinked with 1% for-
maldehyde in PBS for 10 min, quenched with 125 mM glycine for 5 min
and frozen until use for Hi-C experiments. Before processing for Hi-C,
samples were crosslinked again in 2% formaldehyde for 10 min, then
quenched with 125 mM glycine 5 min at room temperature. Hi-C was
performed on isolated nuclei using Arima-Hi-C kit (Arima Genomics,
CA, USA) and Hyper Prep DNA-seq library prep kit (KK8502; Kapa
Biosciences, MA, USA), following the manufacturers’ instructions. For
HCT116 cell line (ATCC, VA, USA), 7 × 106 cells were crosslinked with 2%
formaldehyde for 10 min, quenched for 5 min with stop solution I,
lysed, and processed for Hi-C using ARIMA-Hi-C kit. All libraries were
sequenced on HiSeq 2500 platform (Illumina, CA, USA) at a read length
of 101 to 126 base pairs with a depth of approximately 300 million read
pairs per sample for retina and 50 million read pairs for HCT116. Retina tissues Five postmortem human donor eyes (from 2 females and 3 males of
65–77 years age at the time of death) were procured from The National
Disease Research Interchange (Philadelphia, PA) (protocol DSWAS
001). Autopsy material from unidentified deceased persons is exclu-
ded from review by Institutional Review Board and does not require an
Office of Human Subjects Research Protections (OHSRP) determina-
tion per 45 CFR 46 and NIH policy (OHSRP ID#: 18-NEI-00619). Eyes
were enucleated within 14 h of death and stored in Dulbecco’s Mod-
ified Eagle Medium (DMEM) (Thermofisher, Waltham, MA) supple-
mented with antibiotics at 4 °C until dissection. Retinas were dissected
and divided into four regions (dorsal, ventral, nasal and temporal) for
further processing. Dorsal regions were used in further experiments. SE characterization Basic SE characteristics were computed using R. Correlation between
SE count and chromosome size or number of retina-expressed genes is
measured as Pearson’s r2 computed with ggpubr v0.4.0. To identify
statistically significant enrichment in SE characteristics, 100 random
region datasets have been generated using bedtools random v2.29.275
with a length corresponding to the median length of SE and the
number of regions per dataset equal to the number of SE. SEs and
random regions have been overlapped with the Hi-C loops using
bedtools PairToBed v2.29.275. Statistics of the overlaps were computed
using R. SEs and random regions were overlapped with all expressed
genes as well as tissue- and cell type-enriched genes from the Human
Protein Atlas73 using bedtools intersect v2.29.275. Genomic regions in
contact with a SE or random region through chromatin were also
overlapped with tissue- and cell type-enriched genes, CREs, and het-
erochromatin regions (from chromHMM33 annotated states) using
bedtools intersect v2.29.275. Characterization of retinal eQTLs The chromatin annotation used for this project is an integration of
public (H3K4me2, H3K27Ac) and lab-produced (H3K4me3, H3k9me3)
chromatin histone marks with our best chromatin accessibility dataset
(see ATAC-seq processing section). This integration was performed by
transforming the read coverage to 500 bp signal and computing
chromatin states using the ChromHMM33 tool v1.19. Models defining
between 5 and 20 chromatin states were tested. For each model, we
calculated the mean correlation between each chromatin state and the
most similar chromatin state in each model with additional states. After 10 chromatin states, this correlation plateaued indicating that
additional chromatin states provide minimal information. For each
state of the 10-states model, the average coverage for the chromatin
marks and accessibility were computed using HOMER61,62 and the
chromatin signatures for each segment were used to manually infer a
biological annotation of each state. The average distributions of each
state around the expressed and non-expressed genes were computed
as a quality control using HOMER61,62, with our previously published list
of expressed genes in human retina38 and all the other genes from
HOMER TSS list as non-expressed genes. The 14,859 eQTLs identified previously38 were classified based on the
location of the variants relative to the canonical TSS of the associated
eGene from Ensembl 102. Expression quantitative trait loci variants
located within ±2.5 kb of the eGene TSS were identified as promoter
eQTLs while those located >2.5 kb from the eGene were identified as
distal eQTLs. One hundred sets of random TADs of the same count and
mean length as the real TADs were generated using regioneR v1.26.179. For each set of TADs, real and random, we determined what propor-
tion of eQTL variants resided within the same TAD as their associated
eGene TSS. Next, eQTL variants which overlap a chromatin loop foot
were classified based on the location contacted by opposite loop foot;
variants in contact with their eGene promoter were identified as eGene
pieQTLs, variants in contact with a promoter other than the eGene as
non-eGene pieQTLs, and variants not in contact with any promoter as
eQTL only. Finally, eQTLs were checked for overlap with CREs and SEs
then subsequently checked if those regions overlapped the associated
eGene. All overlaps were performed using GenomicRanges v1.4280 in R. Identification of linkage disequilibrium (LD) variants for AMD
and Glaucoma GWAS loci Tissue- and cell type-enriched genes Tissue- and cell type-enriched genes Tissue-enriched genes and cell type-enriched gene lists used in
Figs. 2C, 3E and Supplementary Fig. 4 were downloaded from the
Human Protein Atlas73. Article the aligned read pairs by computing the normalized enrichment at TSS
using HOMER61,62, and by computing the fragment size. Retina 1 was
chosen as the best dataset from this QC and used as input for
ChromHMM33 annotation v1.19 (see Chromatin annotation section). Cut&Run processing Cut&Run datasets from one retina were processed by trimming the
adaptors using cutadapt v3.067 and mapping locally with bowtie2
v2.3.5.168, allowing dovetail on a chimeric genome (Human hg38, S. cerevisiae S288C; E. coli ASM584v2). No internal normalization was
performed in these datasets since the proportion of read mapping on
the yeast or on the bacterial genome was too low. Reads mapping on
the human genome were then extracted, filtered for quality, dupli-
cates, and blacklisted regions (ENCODE dataset ENCFF419RSJ) using
samtools v1.969. Quality of the experiment was visualized on IGV
v2.11.970 after conversion to bigwig using deepTools71 (Supplemen-
tary Fig. 6). ChIP-seq data processing Public ChIP-seq datasets from human retina (GSE13731134) were rea-
nalyzed using the same parameters as for Cut&Run, i.e., locally map-
ping the reads and allowing dovetail. Mapped reads were filtered for
quality,
duplicates,
and
blacklisted
regions
(ENCODE
dataset
ENCFF419RSJ) using samtools v1.969. To select only one dataset per
chromatin mark, autocorrelation was assessed using HOMER61,62 and
datasets with the highest same and different strand enrichments and
the ratio same / different strand fold enrichment closer to one were
selected for further analysis. Global quality was visually assessed using
IGV v2.11.970 on mapped reads converted to bigwig using deepTools
v3.3.071 (Supplementary Fig. 6). Chromatin binding peaks of CREB,
CRX, CTCF, MEF2D, NRL, Otx1/2 and RORB were identified using
MACS2 v2.2.7.172. To identify accessible motifs, accessible chromatin loci were identified
using MACS2 v2.2.7.172 on each dataset and the average coverage at
ATAC peaks has been computed as a quality control using HOMER61,62. Footprints have been extracted from each list of accessible loci using
rgt-HINT v0.13.176. Accessible footprint loci less than 20 bp apart have
been merged for all ATAC-seq experiments. Loci found in at least 3
retinas have been kept for motif finding. To control the quality of
accessible footprint discovery, we identified binding motifs present
within these footprints at an FDR < 0.05 using FIMO77 with the motif
database HOCOMOCOv1178. Then, the read coverage from CRX, NRL,
CTCF and Input ChIP-seq around each CRX, NRL or CTCF accessible
motifs were computed using HOMER and plotted using R. Enriched TF binding motifs from Fig. 3H were computed by run-
ning AME from MEME suite v5.4.1 on accessible footprints within SE
and containing CRX and NRL binding sites. SE-overlapping footprints
without NRL or CRX binding sites were used as background. Finally,
motifs from expressed TFs were filtered to those expressed in a pre-
vious retina transcriptome study (GSE115828). ATAC-seq data processing ATAC seq data processing
ATAC-seq from five human retinas was analyzed by trimming the reads
for Nextera transposase sequence and reducing their size to maximum
25 bp using cutadapt v3.067 and FASTX toolkit (FASTX-Toolkit v0.0.14,
RRID:SCR_005534). Trimmed reads were mapped on hg38 using bow-
tie2 v2.3.5.168 and filtered for quality, duplicates and blacklisted regions
(ENCODE dataset ENCFF419RSJ) using samtools v1.969. Two sets of
aligned read pairs were produced: TN5-shifted and non-shifted, to use
with general tools (TN5-shifted) or specialized tools already including a
TN5 shifting step (non-shifted). Quality controls were performed on Cleavage under targets and release using nuclease (CUT&RUN)
Peripheral retina sample (from 1 female of 75 years age at the time of
death) was dissociated using papain as previously described56, cryo-
preserved in HBSS solution containing 10% DMSO and slowly frozen Nature Communications| (2022) 13:5827 12 https://doi.org/10.1038/s41467-022-33427-1 Article Reporting summary 17. Finn, E. H. et al. Extensive heterogeneity and intrinsic variation in
spatial genome organization. Cell 176, 1502–1515 e10 (2019). Further information on research design is available in the Nature
Research Reporting Summary linked to this article. 18. Hnisz, D. et al. Super-enhancers in the control of cell identity and
disease. Cell 155, 934–947 (2013). Figure plots 14. Paulsen, J. et al. Long-range interactions between topologically
associating domains shape the four-dimensional genome during
differentiation. Nat. Genet. 51, 835–843 (2019). Contact maps were plotted using the Washington University Epigen-
ome browser82 or using HOMER61,62 and R v3.6 and v4.0.3. Chromatin
profiles and chromatin loops were plotted using IGV v2.11.970. Graphs
were plotted using R v3.6 and v4.0.3, ggplot2 v3.3.5 and dplyr v1.07
and ComplexHeatmap v2.7.10.9002. 15. Batut, P. J. et al. Genome organization controls transcriptional
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The data that support this study are available from the corresponding
author upon reasonable request. Datasets produced in this study are
accessible in GEO under the accession numbers: GSE202471 (Hi-C),
GSE202472 (ATAC-seq), GSE202473 (Cut&Run) and GSE202474 (full
series). These data can be explored using our user-friendly application
on computer, tablet, or smartphone on http://grn.nei.nih.gov. hg38
genome was used for alignment. Gene expression data are from our
previous study, under the accession GSE11582838. The public ChIP-seq
raw data used in this study are accessible under the following SRA
numbers34:
SRR10172858
(H3K27Ac),
SRR10172898
(H3K4me2),
SRR10172903 (CRX), SRR10172897 (NRL), SRR10172909 (CTCF),
SRR10172910 (MEF2D), SRR10172908 (RORB), SRR10172914 (CREB),
SRR10172882 (OTX1 / OTX2), SRR10172850 (Input). Public Hi-C data
are accessible under the following accession numbers: GSE135465
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neurons31) and SRR1658572 (GM128782). 20. Whyte, W. A. et al. Master transcription factors and mediator
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The closest target genes overlapping with loops, CRE, SE, 52 AMD lead
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variants. For a loop target gene, one foot of the loop overlaps the AMD/
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ces do not. bioRxiv (2021). CREs elements and SEs identification Fifty-two AMD associated variants distributed across 34 loci and 127
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filtered AMD variants and 12,658 filtered glaucoma variants in LD with
MAF ≥1% and r2 ≥0.7 were selected for further analysis. AMD variants and 188,465 glaucoma variants in LD; of these, 1,196
filtered AMD variants and 12,658 filtered glaucoma variants in LD with
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anonymous reviewer(s) for their contribution to the peer review of this
work. Peer review reports are available. Reprints and permission information is available at
http://www.nature.com/reprints We are grateful to Freekje van Asten and Benjamin Fadl for help in dis-
section of retinal tissue, Linn Gieser for assistance with next generation
sequencing, and Matthew Brooks, Laura Campello Blasco, Kamil Kruc-
zek, Anupam Mondal and Zepeng Qu for helpful discussions. This work
was supported by Intramural Research Program of the National Eye
Institute (ZIAEY000450 and ZIAEY000546) and utilized the high-
performance computational capabilities of the Biowulf Linux cluster at
NIH (http://biowulf.nih.gov). Publisher’s note Springer Nature remains neutral with regard to jur-
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licenses/by/4.0/. Nature Communications| (2022) 13:5827 Author contributions Overall Conceptualization, C.M., N.S., X.C.D., and A.S.; Experimental
work, N.S., C.J., and X.C.D.; Data analysis, C.M., Z.B., and J.A.; writing
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Increased Incidence of Herpes Zoster and Postherpetic Neuralgia in Adult Patients following Traumatic Brain Injury: A Nationwide Population-Based Study in Taiwan
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RESEARCH ARTICLE Abstract Citation: Tung Y-C, Tu H-P, Tsai W-C, Chen C-S, Su
C-H, Shi H-Y, et al. (2015) Increased Incidence of
Herpes Zoster and Postherpetic Neuralgia in Adult
Patients following Traumatic Brain Injury: A
Nationwide Population-Based Study in Taiwan. PLoS
ONE 10(6): e0129043. doi:10.1371/journal. pone.0129043 The aims of this study were to estimate the incidences of herpes zoster (HZ) and postherpetic
neuralgia (PHN) in patients after traumatic brain injury (TBI). Furthermore, we aimed to ex-
plore the risk factors of the development of HZ and PHN in patients after TBI. This population-
based, longitudinal analysis was conducted using the Taiwan National Health Insurance
Research Database (consisting of 1,000,000 beneficiaries) from 1996 to 2010. Using the lon-
gitudinal National Health Insurance Research Database, we conducted a retrospective popu-
lation-based cohort study to evaluate the incidence of HZ and PHN in adult TBI patients and
controls. Kaplan-Meier analysis and Cox regression were used to compare differences in the
development of HZ and PHN. The effects of gender, comorbidity and surgery on the risk of
HZ and PHN development were assessed by subgroup analyses. Over a 15-year follow-up,
the cumulative incidence of HZ in 28,234 TBI patients (604.00/100,000 person-years) was
significantly higher than 34,085 controls (322.21/100,000 person-years) (P<0.0001, by log-
rank test). Females showed a significantly higher incidence of HZ than males (p for interaction
= 0.0010). The time to HZ development in the follow-up period was 5.9 years in TBI patients
compared to 9.9 years in the control set (p <0.0001). TBI patients were 2.93 and 2.11 times
likely to develop HZ and PHN, respectively, than the general population. The incidences of
HZ and PHN in TBI patients were also significantly greater than for controls in the CCI = 0
subgroup. To our knowledge, this is the first population-based cohort study to reveal that TBI
is an independent risk factor for HZ and PHN in TBI patients, especially in females. Physician
should pay attention to the possibility of HZ and PHN in TBI patients and be aware that HZ
vaccination early after brain trauma may lower the incidence of HZ and PHN. Academic Editor: Li-Min Huang, National Taiwan
University Hospital, TAIWAN Received: November 28, 2014
Accepted: May 4, 2015
Published: June 11, 2015 Published: June 11, 2015 Copyright: © 2015 Tung et al. * chihlung1@yahoo.com Abstract This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any
medium, provided the original author and source are
credited. Data Availability Statement: All relevant data are
within the paper. Increased Incidence of Herpes Zoster and
Postherpetic Neuralgia in Adult Patients
following Traumatic Brain Injury: A
Nationwide Population-Based Study in
Taiwan Yi-Ching Tung1, Hung-Pin Tu1, Wen-Chan Tsai2, Cheng-Sheng Chen3, Chen-Hsiang Su3,
Hon-Yi Shi4, Chih-Lung Lin5* 1 Department of Public Health and Environmental Medicine, College of Medicine, Kaohsiung Medical
University, Kaohsiung, Taiwan, R.O.C, 2 Departments of Internal Medicine, Kaohsiung Medical University
Hospital, Kaohsiung, Taiwan, R.O.C, 3 Departments of Psychiatry, Kaohsiung Medical University Hospital,
Kaohsiung, Taiwan, R.O.C, 4 Department of Healthcare Administration and Medical Informatics, Kaohsiung
Medical University, Kaohsiung, Taiwan, R.O.C, 5 Department of Neurosurgery, Kaohsiung Medical
University Hospital, Kaohsiung, Taiwan, R.O.C * chihlung1@yahoo.com Introduction Herpes zoster (HZ) is a neurocutaneous disease caused by the reactivation of the latent varicella
zoster virus (VZV). Direct involvement of the ganglia and the destruction of neurons during
VZV reactivation have been suggested in the HZ syndrome. The acute phase is typically signi-
fied by neurologic pain that often subsides spontaneously within 2–4 weeks. Complications of
HZ include bacterial superinfection and postherpetic neuralgia (PHN) in 20–25% of HZ pa-
tients [1–3]. Any complication could increase the cost of HZ-related care, imposing a substan-
tial burden on the health care system [4]. Specific T-cell immunity is responsible for the body’s
defense against VZV infection [3]. Declining cellular immunity due to increasing age or immu-
nosuppression has been known to trigger reactivation of VZV [5]. Thus, HZ has been known
to occur more frequently in patients with malignancies, human immunodeficiency virus (HIV)
infection, transplantation, and immunosuppressive disorders, as well as in those undergoing
treatment with immune suppressants [5]. Various diseases associated with impaired immunity,
for example, rheumatic and peptic ulcer diseases and malignancies, have been reported to be
correlated with an increased risk of HZ [6–8]. However, as many as 90% of HZ cases occur in
immunocompetent individuals [9,10]. Although the HZ vaccine, which can reduce the inci-
dence of HZ, has been available since 2006 for adults, the list of high risk groups that the vacci-
nation would be appropriate for has not been clearly defined [11,12]. Thus, successful
identification of potential predictors of HZ may help to define high risk patients and assist in
the decision-making of administration of HZ vaccinations. With an annual estimate of 10 million victims affected by new traumatic brain injury (TBI)
events, mainly including young adults, TBI is the leading cause of long-term disability and
mortality worldwide [13–16]. Considering its impact, TBI is expected to become the third larg-
est cause of global disease burden by 2020 [15]. The incidence of TBI is estimated to be 200–
558 per 100,000 people, equaling 1.7 million people in the USA, and the overall economic cost
was estimated to be approximately $406 billion USD in 2000 [17–19]. In Taiwan, as many as
52,000 TBIs occur annually, among which, up to 25% are fatal [20,21]. The risk of HZ has been linked to cellular immunity associated with aging and nutrition sta-
tus [22]. Data Availability Statement: All relevant data are
within the paper. Funding: The authors have no support or funding to
report. Competing Interests: The authors have declared
that no competing interests exist. Competing Interests: The authors have declared
that no competing interests exist. 1 / 12 PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 Herpes Zoster and Postherpetic Neuralgia after TBI Introduction Some postulated mechanisms have been reported to explain the association of TBI
with immunosuppression and malnutrition. However, the duration and degree of immunosup-
pression after TBI are still not clear [23]. Previous research has illustrated that patients with
TBI suffer from an increased risk of malnutrition, resulting in altered immunity, which causes
the body to be more susceptible to infections [24]. We therefore hypothesized that patients
might have a greater risk of developing HZ and PHN after TBI. However, to date, statistical ev-
idence regarding the association between TBI and the incidences of HZ and PHN is limited
and therefore worthy of investigation. The Taiwan National Health Insurance Research Database (NHIRD) is an exceptional data-
base from which we could obtain a representative and reliable calculation of the incidences of
HZ and PHN in TBI patients in Taiwan. The aims of this study were to estimate the rates of
HZ and PHN in patients following TBI using the NHIRD and to determine whether individu-
als with TBI were at increased risk for HZ and PHN. Furthermore, we aimed to explore the risk
factors in TBI patients for the development of HZ and PHN. Definitions of TBI, HZ and PHN TBI patients were identified by their associated International Classification of Diseases, 9th re-
vision (ICD-9) codes. The following ICD-9 Clinical Modification (ICD-9-CM) codes were
used to identify the patient records in this study: 800.x for a fracture of the vault and base of
the skull, 803.x-804.x for other skull fractures, and 850.x-854.x for a concussion, brain contu-
sion, or brain hemorrhage. To exclude very mild TBI patients, TBI patients in outpatient data
sets were not included. For the definition of brain surgeries, the relevant procedure codes in-
cluded craniectomy (01.23, 01.25, 01.39, and 02.01), removal of an epidural hematoma (01.24),
removal of an acute subdural hematoma (01.31), removal of a chronic subdural hematoma
(01.31), and removal of an intracerebral hematoma (01.39). Exclusion criteria included codes
for multiple TBI procedures. Incident HZ cases were identified by an auto-matched search for
codes for HZ and HZ complications (ICD-9 code 053.x) present in either an outpatient or in-
patient service claim. Patients who were diagnosed with HZ prior to TBI were excluded from
the analysis of cumulative incidence. PHN cases were identified by ICD-9 code 053.19. Addi-
tionally, we excluded the patients younger than 18 and older than 100 years of age. Controls were selected using pair matching by age, sex and year of cohort entry in a ratio of
approximately 1 to 2 through random selection from the LHID 2010 membership using the
PROC SQL procedure of SAS (SAS Institute, Cary, NC). In addition, we also excluded TBI in-
patients and healthy subjects who had diagnostic codes in the Charlson Comorbidity Index
(CCI) [25] for HIV infection (ICD-9-CM 042.x–044.x), chronic pulmonary disease (416.8,
416.9, 490.x–505.x, 506.4, 508.1, 508.8), rheumatic disease (446.5, 710.0–710.4, 714.0–714.2,
714.8, 725.x), and metastatic solid tumor (196.x–199.x) from the study and control cohorts be-
cause these patients may have been treated with immunosuppressive medication or suffered
from immunosuppressive conditions that lead to the potential development of HZ [7,26]. Therefore, AIDS/HIV infection, chronic pulmonary disease and metastatic solid tumor were
not included in the CCI scores, which included myocardial infarction, congestive heart failure,
peripheral vascular disease, cerebrovascular disease, dementia, peptic ulcer disease, mild liver
disease, diabetes without chronic complications, diabetes with chronic complications, hemiple-
gia or paraplegia, renal disease, any malignancy (including lymphoma and leukemia, except for
malignant neoplasm of the skin), and moderate or severe liver disease. Study design We conducted a retrospective cohort study from 1996–2010 using the Longitudinal Health In-
surance Database (LHID), computed by the Taiwan National Health Insurance program,
which contains one million random subjects. The NHIRD releases sets of sampling files for re-
search purposes. The LHID 2010 contains the original claims of 1,000,000 beneficiaries ran-
domly sampled during the period of Jan. 1, 2010 to Dec. 31, 2010. There were no significant
differences in the sex, age distribution or insured payroll-related amounts between the patients
in the LHID 2010 and those in the original NHIRD. Definitions of TBI, HZ and PHN The CCI scores were
subsequently categorized into three levels: 0, 1, and 2. Ethics Statement The Institutional Review Board of the Kaohsiung Medical University Hospital approved this
study in Taiwan. Written consent from study patients was not obtained because the Taiwan 2 / 12 PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 Herpes Zoster and Postherpetic Neuralgia after TBI Bureau of National Health Insurance (BNHI) is the sole payer in Taiwan and the BNHI dataset
consists of de-identified secondary data for research purposes. Bureau of National Health Insurance (BNHI) is the sole payer in Taiwan and the BNHI dataset
consists of de-identified secondary data for research purposes. Results Table 1 shows the patient characteristics in this study. We identified 28,234 adults with TBI
and 34,085 controls matched by age and gender from 1996 to 2010. The TBI patients had a
lower percentage of CCI scores equal to or greater than 1 based on the dichotomized outcome
of the Charlson scores. The HZ development period was significantly faster in the TBI group
(5.9 years) compared to the control group (9.9 years) during the follow-up period. The 1-, 5-,
10-, and 15-year actuarial rates of HZ were 0.45%, 2.63%, 5.82%, and 9.53% among TBI pa-
tients and 0.00%, 0.43%, 2.23%, and 4.76% among controls, respectively. The cumulative inci-
dence of HZ in TBI patients was significantly higher than that of the control cohorts (Log rank
P <0.0001) over the follow-up period (Fig 1). Table 2 shows that the adjusted hazard ratios (HR) for HZ in males and females in the TBI
group compared to controls were 2.39 (95% CI 2.13–2.69, p<0.0001) and 2.85 (95% CI 2.50–
3.24, p<0.0001), respectively, after adjusting for potential confounders. In addition, the Table 2 shows that the adjusted hazard ratios (HR) for HZ in males and females in the TBI
group compared to controls were 2.39 (95% CI 2.13–2.69, p<0.0001) and 2.85 (95% CI 2.50–
3.24, p<0.0001), respectively, after adjusting for potential confounders. In addition, the Table 1. Characteristics of adult patients with traumatic brain injury and control cohorts in Taiwan, 1996–2010. TBI cases
Controls
P value
n = 28,234
n = 34,085
Age (SD), years
45.6 (16.4)
45.7 (15.3)
0.8399
Age group, n (%)
18–29
5,695 (20.2)
6,268 (18.4)
30–39
6,497 (23.0)
7,848 (23.0)
40–49
5,033 (17.8)
6,554 (19.2)
50–59
5,112 (18.1)
6,528 (19.2)
60–69
3,232 (11.5)
4,488 (13.2)
70
2,665 (9.4)
2,399 (7.0)
0.5045
TBI-surgical cases, n (%)
1,637 (5.8)
Gender, n (%)
Males
16,753 (59.3)
19,991 (58.7)
Females
11,481 (40.7)
14,094 (41.3)
0.0832
Charlson Comorbidity Index, n (%)
0
25,729 (91.1)
17,419 (51.1)
1
1,959 (6.9)
8,092 (23.7)
2
546(1.9)
8,574 (25.2)
<0.0001
Herpes zoster, n (%)
1,466 (5.2)
1,621 (4.8)
<0.0001
Period of developing HZ (SD), years
5.9 (3.6)
9.9 (3.3)
<0.0001
TBI, traumatic brain injury; SD, standard deviation; HZ, herpes zoster
doi:10.1371/journal.pone.0129043.t001 Table 1. Characteristics of adult patients with traumatic brain injury and control cohorts in Taiwan, 1996–2010. ith traumatic brain injury and control cohorts in Taiwan, 1996–2010. Statistical analysis Baseline characteristics were compared by t-tests for continuous data and by Pearson’s chi-
square test for categorical variables. Incidence was calculated as the number of new cases from
1996 through 2010 divided by the total number of person-years in the available records. We 3 / 12 PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 Herpes Zoster and Postherpetic Neuralgia after TBI assessed the annual incidence of HZ in all adult TBI patients during the follow-up period. Dif-
ferences in HZ occurrence between TBI patients and the controls were compared using the
log-rank test. Kaplan–Meier analysis was used to calculate the cumulative incidence of HZ be-
tween the two groups. Cox proportional hazards models were constructed, and a dichotomous
variable denoted whether the patient had HZ or PHN during the study period. Stratified analy-
sis was performed for males and females with HZ after TBI. The covariates used in the models
included age, sex and CCI. Interactions between gender and TBI were analyzed using a multi-
ple Cox proportional hazards model with an added interaction term (gender × TBI) and covar-
iates. All statistical analyses were performed using SAS statistical software, version 9.3 (SAS
Institute, Cary, NC), and the significance level was set at P < 0.05. Results Cox
regression revealed that TBI was an independent predictor for HZ after adjusting for age, sex
and CCI scores (HR 2.61, 95% CI 2.39–2.85, p<0.0001) (Table 2). incidence of HZ in TBI was significantly higher in females than in males (P for interac-
tion = 0.0010). The incidence of HZ in TBI patients (604.00 per 100,000 person-years) was sig-
nificantly greater than that in the control cohort (322.21 per 100,000 person-years). Cox
regression revealed that TBI was an independent predictor for HZ after adjusting for age, sex
and CCI scores (HR 2.61, 95% CI 2.39–2.85, p<0.0001) (Table 2). Among the HZ patients, TBI was a significant predictor for PHN after adjusting for age, sex
and CCI scores (HR 2.00, 95% CI 1.44–2.76, P<0.0001) in both non-surgical (HR 1.97, 95% CI
1.42–2.74, P<0.0001) and surgical cases (HR 2.36, 95% CI 1.16–4.81, 0.0178) (Table 3). Fur-
thermore, our data suggested that the incidence of HZ in TBI patients, in both nonsurgical and
surgical patients, was also significantly greater than in controls in the CCI = 0 subgroup (HR
2.46, 95% CI 2.22–2.72, P<0.0001) or the 1 subgroup (HR 2.94, 95% CI 2.48–3.49,
P<0.0001) (Table 4). Table 5 shows that the incidence of PHN in TBI patients with HZ was
also significantly greater than in controls in the CCI
0 subgroup (HR 1 67 95% CI 1 11 2 50 P<0.0001) (Table 4). Table 5 shows that the incidence of PHN in TBI patients with HZ was
also significantly greater than in controls in the CCI = 0 subgroup (HR 1.67, 95% CI 1.11–2.50, Table 2. Incidence and hazard ratios for herpes zoster during the follow-up period for adult patients with traumatic brain injury versus control
cohorts. HZ
Person-years at
risk
Incidence per 100,000 person-years (95%
CI)
Adjusted HR (95%
CI)
P
P for
interaction
Male cohort set
Controls
891
295,404.64
301.62(282.45–322.09)
1.0
TBI cases
747
144,931.02
515.42(479.75–553.74)
2.39a(2.13–2.69)
<0.0001
Female cohort
set
Controls
730
207,679.32
351.50(326.91–377.95)
1.00
TBI cases
719
97,785.88
735.28(683.45–791.04)
2.85a(2.50–3.24)
<0.0001
0.19, 0.0010
Total cohort set
Controls
1,621
503,083.95
322.21(306.90–338.29)
1.00
TBI cases
1,466
242,716.89
604.00(573.86–635.72)
2.61b (2.39–2.85)
<0.0001
HZ, herpes zoster; CI, confidence interval; HR, hazard ratio; TBI, traumatic brain injury. aAdjusted HRs with 95% CI and their P values. The results were adjusted for age and Charlson comorbidity index using a Cox proportional-hazards
regression model. bAdjusted HRs with 95% CI and their P values. Results haracteristics of adult patients with traumatic brain injury and control cohorts in Taiwan, 1996–2010. PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 4 / 12 Herpes Zoster and Postherpetic Neuralgia after TBI incidence of HZ in TBI was significantly higher in females than in males (P for interac-
tion = 0.0010). The incidence of HZ in TBI patients (604.00 per 100,000 person-years) was sig-
nificantly greater than that in the control cohort (322.21 per 100,000 person-years). Cox
regression revealed that TBI was an independent predictor for HZ after adjusting for age, sex
and CCI scores (HR 2.61, 95% CI 2.39–2.85, p<0.0001) (Table 2). Among the HZ patients, TBI was a significant predictor for PHN after adjusting for age, sex
and CCI scores (HR 2.00, 95% CI 1.44–2.76, P<0.0001) in both non-surgical (HR 1.97, 95% CI
1.42–2.74, P<0.0001) and surgical cases (HR 2.36, 95% CI 1.16–4.81, 0.0178) (Table 3). Fur-
thermore, our data suggested that the incidence of HZ in TBI patients, in both nonsurgical and
surgical patients, was also significantly greater than in controls in the CCI = 0 subgroup (HR
2.46, 95% CI 2.22–2.72, P<0.0001) or the 1 subgroup (HR 2.94, 95% CI 2.48–3.49,
P<0.0001) (Table 4). Table 5 shows that the incidence of PHN in TBI patients with HZ was
also significantly greater than in controls in the CCI = 0 subgroup (HR 1.67, 95% CI 1.11–2.50,
Fig 1. Cumulative incidence of herpes zoster for adult patients with traumatic brain injury and the
general population control cohort. doi:10.1371/journal.pone.0129043.g001
Table 2. Incidence and hazard ratios for herpes zoster during the follow-up period for adult patients with traumatic brain injury versus control
cohorts. HZ
Person-years at
risk
Incidence per 100,000 person-years (95%
CI)
Adjusted HR (95%
CI)
P
P for
interaction Fig 1. Cumulative incidence of herpes zoster for adult patients with traumatic brain injury and the
general population control cohort. doi:10 1371/journal pone 0129043 g001 Fig 1. Cumulative incidence of herpes zoster for adult patients with traumatic brain injury and the
general population control cohort. doi:10.1371/journal.pone.0129043.g001 doi:10.1371/journal.pone.0129043.g001 doi:10.1371/journal.pone.0129043.g001 incidence of HZ in TBI was significantly higher in females than in males (P for interac-
tion = 0.0010). The incidence of HZ in TBI patients (604.00 per 100,000 person-years) was sig-
nificantly greater than that in the control cohort (322.21 per 100,000 person-years). doi:10.1371/journal.pone.0129043.t002 Herpes Zoster and Postherpetic Neuralgia after TBI Table 3. Incidence and hazard ratios for post-herpetic neuralgia during the follow-up period for adult patients with traumatic brain injury among
herpes zoster patients. Total
PHN, n (%)
Person-years at risk
Incidence per 100,000 person-years (95% CI)
Adjusted HR (95% CI)
P
HZ without TBI
1,621
88 (5.43)
7,769.57
1,132.62 (919.06–1,395.81)
1.00
HZ with TBI
Nonsurgical TBI
1,398
141 (10.09)
5,756.38
2,449.46 (2,076.75–2,889.05)
1.97 (1.42–2.74)
<0.0001
Surgical TBI
68
9 (13.24)
238.64
3,771.34 (1,962.26–7,248.29)
2.36 (1.16–4.81)
0.0178
Combined TBI
1,466
150 (10.23)
5,995.02
2,502.08 (2,132.06–2,936.31)
2.00 (1.44–2.76)
<0.0001
PHN, postherpetic neuralgia; CI, confidence interval; HR, hazard ratio; HZ, herpes zoster; TBI, traumatic brain injury; Adjusted HRs with 95% CI and their
P values were adjusted for age, sex and Charlson comorbidity index using a Cox proportional-hazards regression model. r post-herpetic neuralgia during the follow-up period for adult patients with traumatic brain injury among Table 3. Incidence and hazard ratios for post-herpetic neuralgia during the follow-up period for adult patien
herpes zoster patients. nce interval; HR, hazard ratio; HZ, herpes zoster; TBI, traumatic brain injury; Adjusted HRs with 95% CI and their
Charlson comorbidity index using a Cox proportional-hazards regression model. PHN, postherpetic neuralgia; CI, confidence interval; HR, hazard ratio; HZ, herpes zoster; TBI, traumatic brain injury; Adjusted HRs with 95% CI and their
P values were adjusted for age, sex and Charlson comorbidity index using a Cox proportional-hazards regression model. PHN, postherpetic neuralgia; CI, confidence interval; HR, hazard ratio; HZ, herpes zoster; TBI, traumatic b
P values were adjusted for age, sex and Charlson comorbidity index using a Cox proportional-hazards reg P = 0.0130) or the 1 subgroup (HR 2.24, 95% CI 1.33–3.79, P = 0.0026). These results suggest
that TBI is associated with an increased risk of developing HZ and PHN, independent of other
comorbidities (CCI). P = 0.0130) or the 1 subgroup (HR 2.24, 95% CI 1.33–3.79, P = 0.0026). These results suggest
that TBI is associated with an increased risk of developing HZ and PHN, independent of other
comorbidities (CCI). The ratios of hazard ratio (RHR) of HZ in controls and TBI patients with a CCI 1 com-
pared with a CCI = 0 were 1.36 (95% CI 1.22–1.51, P<0.0001) and 1.11 (95% CI 0.94–1.31,
P = 0.2261), respectively (Table 6). Similarly, when we compared patients in the CCI 1 and
CCI = 0 subgroups, the RHRs of PHN in these HZ patients with and without TBI were not sig-
nificantly different (Table 6). These data suggested that TBI is a significant prediction factor
for either HZ or PHN development, independent of the CCI factor. The subgroup of TBI patients with surgical treatment had higher incidences and HRs
for HZ (HR 1.05, 95% CI 0.82–1.34, P = 0.1318) and PHN (HR 1.29, 95% CI 0.66–2.54,
P = 0.4567) when compared with TBI patients without surgical treatment. However, the differ-
ences were not statistically significant (Table 7). Results The results were adjusted for age, sex and Charlson comorbidity index using a Cox proportional-hazards
regression model. P for interaction: a Cox proportional-hazards regression model including a gender x TBI interaction was applied
doi:10.1371/journal.pone.0129043.t002 Table 2. Incidence and hazard ratios for herpes zoster during the follow-up period for adult patients with traumatic brain injury versus control
cohorts. ble 2. Incidence and hazard ratios for herpes zoster during the follow-up period for adult patients with trauma
horts Table 2. Incidence and hazard ratios for herpes zoster during the follow-up period for adult patients with
cohorts. rpes zoster during the follow-up period for adult patients with traumatic brain injury versus control HZ, herpes zoster; CI, confidence interval; HR, hazard ratio; TBI, traumatic brain injury. aAdjusted HRs with 95% CI and their P values. The results were adjusted for age and Charlson comorbidity index using a Cox proportional-hazards
regression model. regression model. bAdjusted HRs with 95% CI and their P values. The results were adjusted for age, sex and Charlson comorbidity index using a Cox proportional-hazards
regression model. f
C bAdjusted HRs with 95% CI and their P values. The results were adjusted for age, sex and Charlson comorbidity index using a Cox proportional-hazards
regression model. PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 5 / 12 Herpes Zoster and Postherpetic Neuralgia after TBI r postherpetic neuralgia during the follow-up period for herpes zoster patients with traumatic brain injury
n comorbidity index = 0 or 1. Table 5. Incidence and hazard ratios for postherpetic neuralgia during the follow-up period for herpes zoster patients with traumatic brain injury
(TBI) versus without TBI with a Charlson comorbidity index = 0 or 1. Total
PHN n (%)
Person years at risk
Incidence per 100 000 person years (95% CI)
HR (95% CI)
P Table 5. Incidence and hazard ratios for postherpetic neuralgia during the follow-up period for herpes zoster patients with traumatic brain injury
(TBI) versus without TBI with a Charlson comorbidity index = 0 or 1. Table 5. Incidence and hazard ratios for postherpetic neuralgia during the follow-up period for herpes zoste
(TBI) versus without TBI with a Charlson comorbidity index = 0 or 1. Table 5. Incidence and hazard ratios for postherpetic neuralgia during the follow-up period for herpes zoster patients with traumatic brain injury
(TBI) versus without TBI with a Charlson comorbidity index = 0 or 1. Total
PHN, n (%)
Person-years at risk
Incidence per 100,000 person-years (95% CI)
HR (95% CI)
P
CCI = 0
HZ patients without TBI
647
31 (4.79)
3,073.66
1,008.57 (709.29–1,434.13)
1.00
HZ patients with TBI
Nonsurgical TBI
1,247
120 (9.62)
5,163.05
2,324.21 (1,943.43–2,779.58)
1.65 (1.10–2.48)
0.0155
Surgical cases TBI
56
9 (16.07)
193.24
4,657.31 (2,423.24–8,951.06)
2.19 (1.00–4.75)
0.0487
Combined TBI
1,303
129 (9.9)
5,356.30
2,408.38 (2,026.65–2,862.01)
1.67 (1.11–2.50)
0.0130
CCI 1
HZ patients without TBI
974
57 (5.85)
4,695.91
1,213.82 (936.29–1,573.63)
1.00
HZ patients with TBI
Nonsurgical TBI
151
21 (13.91)
593.33
3,539.38 (2,307.68–5,428.47)
2.41 (1.43–4.05)
0.0009
Surgical TBI
12
0 (0.0)
45.40
-
-
-
Combined TBI
163
21 (12.88)
638.72
3,287.81 (2,143.66–5,042.64)
2.24 (1.33–3.79)
0.0026
PHN, postherpetic neuralgia; CI, confidence interval; HR, hazard ratio; CCI, Charlson comorbidity index; HZ, herpes zoster; TBI, traumatic brain injury;
HRs with a 95% CI and their P values were calculated using a Cox proportional-hazards regression model. PHN, postherpetic neuralgia; CI, confidence interval; HR, hazard ratio; CCI, Charlson comorbidity index; HZ, herpes zoster; TBI, traumatic brain injury;
HRs with a 95% CI and their P values were calculated using a Cox proportional-hazards regression model. greater risk of developing HZ and PHN than the control cohort. Discussion To our knowledge, this is the first population-based cohort study to assess the risk of HZ and
PHN in an adult population following TBI. In this study, adults with TBI were found to be at Table 4. Incidence and hazard ratios for herpes zoster during the follow-up period for adult patients with traumatic brain injury versus control co-
horts with a Charlson comorbidity index = 0 or 1. Total
HZ, n (%)
Person-years at risk
Incidence per 100,000 person-years (95% CI)
HR (95% CI)
P
CCI = 0
Controls
17,419
647 (3.71)
258,060.22
250.72(232.12–270.80)
1.00
TBI
Nonsurgical TBI
24,386
1,247 (5.11)
215,107.94
579.71(548.41–612.80)
2.47 (2.23–2.70)
<0.0001
Surgical TBI
1,343
56 (4.17)
9,447.50
592.75(456.17–770.23)
2.27 (1.72–2.99)
<0.0001
Combined TBI
25,729
1,303 (5.06)
224,555.44
580.26 (549.59–612.64)
2.46 (2.22–2.72)
<0.0001
CCI 1
Controls
16,666
974 (5.84)
245,023.74
397.51(373.32–423.28)
1.00
TBI
Nonsurgical TBI
2,211
151 (6.83)
16,577.03
910.90(776.60–1,068.42)
2.96 (2.48–3.53)
<0.0001
Surgical TBI
294
12 (4.08)
1,584.42
757.38(430.12–1,333.63)
2.73 (1.54–4.85)
0.0006
Combined TBI
2,505
163(6.51)
18,161.45
897.51 (769.78–1,046.43)
2.94 (2.48–3.49)
<0.0001
HZ, herpes zoster; CI, confidence interval; HR, hazard ratio; CCI, Charlson comorbidity index; TBI, traumatic brain injury; HRs with a 95% CI and their P
values were adjusted for age and sex using a Cox proportional-hazards regression model. / Table 4. Incidence and hazard ratios for herpes zoster during the follow-up period for adult patients with traumatic brain injury versus control co-
horts with a Charlson comorbidity index = 0 or 1. Table 4. Incidence and hazard ratios for herpes zoster during the follow-up period for adult patients with tra
horts with a Charlson comorbidity index = 0 or 1. HZ, herpes zoster; CI, confidence interval; HR, hazard ratio; CCI, Charlson comorbidity index; TBI, traumatic brain injury; HRs with a 95% CI and their P
values were adjusted for age and sex using a Cox proportional-hazards regression model. PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 6 / 12 doi:10.1371/journal.pone.0129043.t005 PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 Herpes Zoster and Postherpetic Neuralgia after TBI r herpes zoster and postherpetic neuralgia during the follow-up period for surgical versus nonsurgical trau- Table 7. Incidence and hazard ratios for herpes zoster and postherpetic neuralgia during the follow-up period for surgical versus nonsurgical trau-
matic brain injury patients. Event
Person-years at risk
Incidence per 100,000 person-years (95% CI)
HR (95% CI)
p
Herpes zoster
Nonsurgical TBI
1,398
231,684.97
603.41(572.59–635.88)
1.00
Surgical TBI
68
11,031.92
616.39(486.00–781.78)
1.05 (0.82–1.34)
0.1318
Post-herpetic neuralgia
Nonsurgical TBI
141
5,756.38
2,449.46 (2,076.75–2,889.05)
1.00
Surgical TBI
9
238.64
3,771.34 (1,962.26–7,248.29)
1.29 (0.66–2.54)
0.4567
CI, confidence interval; HR, hazard ratio; TBI, traumatic brain injury; HRs with a 95% CI and their P values were calculated using a Cox proportional-
hazards regression model. the selected comorbidities was 2.79 compared with the controls (P<0.0001). The data indicate
that TBI is an independent risk factor for HZ, and all of the listed confounding effects of co-
morbidities were excluded. There has been an active discussion of age and immunosuppression factors [30]. The rela-
tionship of these two factors to post-TBI HZ has been excluded by adopting age-adjusted mea-
sures (HRs) in this study and by the exclusion of patients with HIV infection, chronic
pulmonary disease, rheumatic disease, and metastatic solid tumor as participants. According to previous studies, women are at higher risk of HZ development in some, but
not all, age groups [5]. Our study demonstrated that women have a higher incidence of HZ
than men in both the control and TBI groups, with much higher incidence rates in the TBI
group (P for interaction = 0.0010). At the same time, the incidences of HZ among women and
men in the TBI group were 3.4 and 2.6 times those of women and men in the control group, re-
spectively. However, the information from this study is not sufficient to offer possible explana-
tions for this gender difference in HZ incidence after TBI. Although some possibilities have
been mentioned [5], whether women are more vulnerable to HZ than men due to certain psy-
chological, physiological or social differences is worth examining. The incidence of HZ in the TBI group was significantly higher than that in the control
group. Moreover, HZ occurred significantly earlier in the TBI patients than in the controls. Despite statistical evidence re-
vealing TBI to be the leading cause of morbidity and mortality in the below-45 age group in the
industrialized world, TBI is still a growing worldwide medical problem. Globally speaking, the
annual incidence rate of HZ ranges from 1.2 to 3.4 among every 1,000 healthy individuals, with
a higher rate of 3.9–11.8 among the individuals older than 65 [27–29]. Our results were consis-
tent with a previous report and showed that TBI patients were 2.93 times more likely to develop
HZ than the general population with incidences of 604.00 and 322.21 per 100,000 person-years
in TBI and control groups, respectively. The adjusted HR of HZ in TBI patients with none of Table 6. Ratios of hazard ratio for herpes zoster and postherpetic neuralgia for adult patients with a
Charlson comorbidity index (CCI) 1 versus a CCI = 0. CCI 1 versus CCI = 0
RHR (95% CI)
P
HZ
Controls
1.36 (1.22–1.51)
<0.0001
TBI
Nonsurgical TBI
1.13 (0.95–1.34)
0.1646
Surgical TBI
0.97 (0.51–1.83)
0.9259
Combined TBI
1.11 (0.94–1.31)
0.2261
PHN
HZ patients without TBI
1.10 (0.70–1.73)
0.6891
HZ patients with TBI
Nonsurgical TBI
1.23 (0.77–1.97)
0.3895
Surgical TBI
-
-
Combined TBI
1.09 (0.68–1.73)
0.7298
CCI, Charlson comorbidity index; RHR, ratio of hazard ratio; CI, confidence interval; HZ, herpes zoster;
TBI, traumatic brain injury; PHN, postherpetic neuralgia RHRs with a 95% CI and their P values were
adjusted for age and sex using a Cox proportional-hazards regression model. doi:10.1371/journal.pone.0129043.t006 Table 6. Ratios of hazard ratio for herpes zoster and postherpetic neuralgia for adult patients with a
Charlson comorbidity index (CCI) 1 versus a CCI = 0. CCI, Charlson comorbidity index; RHR, ratio of hazard ratio; CI, confidence interval; HZ, herpes zoster;
TBI, traumatic brain injury; PHN, postherpetic neuralgia RHRs with a 95% CI and their P values were
adjusted for age and sex using a Cox proportional-hazards regression model. 7 / 12 PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 Ad-
ditionally, the growth rate was faster and higher in the TBI patients than in the controls from
the beginning until 15 years of the follow-up period. Hence, the risk of HZ should be consid-
ered when the treatment of TBI patients is initiated, and preventive measures for HZ should be
administered early. Complications of HZ include bacterial superinfection and PHN in 20–25% of HZ patients
[1–3]. Any HZ-related complication could substantially increase the cost and burden of medi-
cal care [4]. In the United States, approximately 1 million individuals develop HZ annually,
among which 20% of these cases result in PHN [31]. As far as age is concerned, patients with
HZ have a lower incidence of PHN in the below-60 age group (less than 10%) compared to the
above-60 age group (approximately 40%). Often, the older, more debilitated or immune com-
promised a population is, the higher its risk of PHN is. In this study, TBI patients with HZ
were 2.11 times more likely to develop PHN compared to the general population with HZ. Our
results showed that incidences per 100,000 person-years were 1008.57 and 2408.38 in the con-
trol and TBI groups, respectively. The lower incidences of PHN in our study may be due to the
exclusion of immunocompromised patients in our enrolled cases. The adjusted HRs of PHN in
TBI patients with none of the selected comorbidities was 1.67 compared with the controls 8 / 12 PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 Herpes Zoster and Postherpetic Neuralgia after TBI (P = 0.0130). The data indicate that TBI is associated with an increased risk for developing
PHN even after excluding the potential confounding effects of comorbidities. (P = 0.0130). The data indicate that TBI is associated with an increased risk for developing
PHN even after excluding the potential confounding effects of comorbidities. While considering the impact of comorbidity, patients with a CCI 1 had a significantly
higher risk, compared with those with a CCI = 0, for the development of HZ, but not for PHN,
in the control group. However, regarding both HZ and PHN in the TBI patients, there were no
significant differences between the CCI 1 and CCI = 0 subgroups. Previous studies have
shown that some comorbidities are risk factors of HZ [8]. Our results found the independent
impact of TBI on the development of HZ and PHN. When categorizing the TBI group into sur-
gical and non-surgical subgroups, the surgical subgroup was 1.05 and 1.29 times more likely to
develop HZ and PHN, respectively, than the non-surgical subgroup. However, the differences
were not statistically significant. The small sample size of the subject groups with HZ and PHN
undergoing surgical treatment may have caused the lack of statistical significance. Higher CCI
in the control group compared to TBI group could be a bias in this study. Thus, the result may
underestimate the significance of HZ in the TBI group. Since the HZ vaccine became available for adults in 2006, and for adults in Taiwan in 2014,
its administration has been recommended for immunocompetent individuals aged 60 years or
older. However, vaccination rates of zoster vaccine are low [11,12]. There are various studies
on the possible risk factors for HZ aimed at producing better strategies for HZ vaccination
[6,26]. A recent study by Chen et al. suggested that adults with peptic ulcer disease are at a
higher risk for HZ development compared with the general population; therefore, the benefits
for HZ vaccination need detailed clinical examination in patients with peptic ulcer disease [8]. Despite the evidence that the HZ vaccine is effective in the prevention of HZ, its effect on PHN
is yet to be confirmed. Essentially, if HZ could be prevented, PHZ could also be avoided [29]. Our results showed significantly higher incidences of HZ and PHN in patients following TBI,
and the duration of the development of HZ was shorter compared with the control group. We
also found that TBI is an independent risk factor for HZ and PHN. Thus, TBI patients have a
greater need for vaccination than the general population to lower the incidence of HZ and
PHN. In Taiwan, we implemented massive and free varicella vaccination for children in 2014. The impact of this policy on HZ infection in the general population has not yet been observed. The risk of HZ has been linked to cellular immunity associated with aging and nutrition sta-
tus [22]. In addition, nutritional deficiencies of vitamin C and zinc have also been identified as
predictors for HZ and PHN [32,33]. Possible underlying mechanisms to explain the association
of TBI with HZ, as well as with PHN, could be proposed. In an attempt to determine a possible
mechanism of immunosuppression in post-TBI patients with HZ, many uncertainties have
been demonstrated. PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 First, the CNS has been regarded as an entity that is reactive to peripheral
immune infiltration. Nevertheless, recent studies have proven that the opposite may be true,
central immunoactivation may impose its effect on the periphery, resulting in peripheral im-
munological events [34]. Thus various immunologic mediators of the CNS are suggested to be
involved in the immune functions and may play a role in the host response to endogenous or
exogenous stimuli. Second, in patients suffering from brain injury and undergoing neurosur-
gery, the release of proinflammatory cytokines into the cerebrospinal fluid may occur with no
signs of systemic inflammation, but this has been associated with systemic immunosuppression
and an increased risk of infection [35–37]. Third, the early, delayed, and systemic effects of TBI
are the result of inflammatory mediators that initiate systemic inflammatory response syn-
drome (SIRS), resulting in a vicious cycle of hyperinflammation. Consequently, the hypothala-
mus-pituitary-axis and the sympathetic nervous system provide negative feedback for the
hyperinflammation, resulting in compensatory anti-inflammatory response syndrome
(CARS). However, in the case of acute TBI, the activation of CARS often causes complications
of immunosuppression, such as multi-organ dysfunction syndrome and mortality. Currently, PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 9 / 12 Herpes Zoster and Postherpetic Neuralgia after TBI the duration and degree of immunosuppression after TBI are still elusive [23]. Fourth, previous
studies have illustrated that patients with TBI suffer from an increased risk of malnutrition, an-
other major factor for immunosuppression. The possible causes are multi-factorial, including
poor or imbalanced nutritional intake, decreased mobility, and adverse effects of medication or
treatment plans. Subsequently, malnutrition complicates the clinical progression of such pa-
tients, hence disturbing the immune system and leaving the body more vulnerable to infections
[24]. Other complications of TBI, such as lifelong cognitive, physical and behavioral impair-
ments, may lead to malnutrition, even in patients with mild TBIs [38,39]. In summary, TBI pa-
tients are prone to developing HZ and PHN through the possible common pathways of
impaired cellular immunity and/or depressed nutritional status after TBI. Our study is based on non-biased samples from a nationwide population-based database,
the NHIRD. With approximately 96% of Taiwan’s population enrolled in the database, the re-
sults of our study can be generalized to the population of Taiwan [21]. This study, similar to the situations encountered by studies based on large-scale databases,
has the following limitations. First, the clinical picture of TBI, HZ and PHN obtained by ana-
lyzing insurance claims data without review of medical records is not as precise as that obtained
by analyzing prospective clinical trial data. The difference may be caused by possible errors in
the coding of primary diagnoses and treatment modalities in those databases. Moreover, some
risk factors could not be obtained through the NHIRD; therefore, the relationship between
these factors and the HZ and PHN rates could not be evaluated. Fortunately, given the relative
homogeneity of Taiwan’s population, potential confounding factors induced by racial diversity,
which may be a risk factor for developing HZ, could be reduced [40]. Nonetheless, future
large-scale investigations into other racial groups and geographical regions is needed to deter-
mine whether our results may be applicable to the worldwide population [41]. Second, infor-
mation on nutritional and immunological status of the subjects was not available from our
database. Although we adjusted our data for age, sex and comorbidity to validate the negative
influence of TBI on the incidence of HZ and PHN in the present study, some unknown con-
founding factors might still have impacted our results. A further prospective large-scale study
is needed to evaluate some unknown confounding factors on the impact of the incidence of HZ
and PHN. Third, the Glasgow Coma Scale (GCS) scores and Glasgow Outcome Scale (GOS),
which are important factors in evaluating the severity and outcome of TBI, were not included
in this study due to their unavailability from the NHIRD database. Therefore, the correlation
between the severity and outcome of TBI and the incidences of HZ and PHN could not be es-
tablished. We found that TBI patients following surgery had a higher tendency to develop HZ
and PHN compared with TBI patients without surgery. The patients with surgery were selected
from inpatient clinics with moderate to severe TBIs, excluding most of the patients with mild
or very severe injuries (GCS of 15 or 3, respectively). Therefore, the severity of the TBI could
not be inferred from whether the patient underwent surgery. A further prospective large-scale
study is needed to evaluate the impacts of GCS and GOS on the incidence of HZ and PHN. References 1. Kinchington PR, Leger AJ, Guedon JM, Hendricks RL. (2012) Herpes simplex virus and varicella zoster
virus, the house guests who never leave. Herpesviridae 3:5. doi: 10.1186/2042-4280-3-5 PMID:
22691604 1. Kinchington PR, Leger AJ, Guedon JM, Hendricks RL. (2012) Herpes simplex virus and varicella zoster
virus, the house guests who never leave. Herpesviridae 3:5. doi: 10.1186/2042-4280-3-5 PMID:
22691604 2. Gnann JW Jr., Whitley RJ. (2002) Clinical practice. Herpes zoster. N Engl J Med 347:340–46. PMID:
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cmaj.101137 PMID: 21343261 8. Chen JY, Cheng TJ, Chang CY, Lan KM, Weng SF, Sheu MJ et al. (2013) Increased incidence of her-
pes zoster in adult patients with peptic ulcer disease: a population-based cohort study. Int J Epidemiol
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costs of herpes zoster in Taiwan: a national study 2000 to 2006. Acta Derm Venereol 89:612–16. doi:
10.2340/00015555-0729 PMID: 19997693 10. Lin YH, Huang LM, Chang IS, Tsai FY, Lu CY, Shao PL et al. (2010) Disease burden and epidemiology
of herpes zoster in pre-vaccine Taiwan. Vaccine 28:1217–20. doi: 10.1016/j.vaccine.2009.11.029
PMID: 19944790 11. Rimland D, Moanna A. (2010) Increasing incidence of herpes zoster among Veterans. Clin Infect Dis
50:1000–05. doi: 10.1086/651078 PMID: 20178416 12. Opstelten W, van Essen GA, Hak E. (2009) Determinants of non-compliance with herpes zoster vacci-
nation in the community-dwelling elderly. Vaccine 27:192–96. doi: 10.1016/j.vaccine.2008.10.047
PMID: 18996427 13. Ruff RL, Riechers RG. (2012) Effective treatment of traumatic brain injury: learning from experience. Jama 308:2032–33. doi: 10.1001/jama.2012.14008 PMID: 23168827 14. Washington CW, Grubb RL Jr. Conclusion To our knowledge, this population based cohort study is the first report to assess the risk of HZ
and PHN in an adult population with TBI. In this study, TBI was found to be an independent
risk factor for HZ and PHN. The results from our study could draw the attention of physicians
to the possibility of HZ and PHN in TBI patients and could bring awareness that early HZ vac-
cination after brain trauma may be helpful for TBI patients, especially female patients, to lower
the incidences of HZ and PHN. Early prevention is the best way to prevent post-herpetic com-
plications, improve the quality of life and reduce the medical burden. The effects of vaccination 10 / 12 PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 Herpes Zoster and Postherpetic Neuralgia after TBI in TBI patients are worth evaluating. If the mechanism underlying the association between HZ
and PHN and TBI could be illustrated in further studies, more effective strategies could hope-
fully be implemented. in TBI patients are worth evaluating. If the mechanism underlying the association between HZ
and PHN and TBI could be illustrated in further studies, more effective strategies could hope-
fully be implemented. Author Contributions Conceived and designed the experiments: YCT HPT CLL. Performed the experiments: YCT
HPT WCT CLL. Analyzed the data: YCT HPT WCT CSC CHS HYS CLL. Contributed re-
agents/materials/analysis tools: YCT HPT CLL. Wrote the paper: YCT HPT CLL. Conceived and designed the experiments: YCT HPT CLL. Performed the experiments: YCT
HPT WCT CLL. Analyzed the data: YCT HPT WCT CSC CHS HYS CLL. Contributed re-
agents/materials/analysis tools: YCT HPT CLL. Wrote the paper: YCT HPT CLL. PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 References Dworkin RH, Johnson RW, Breuer J, Gnann JW, Levin MJ, Backonja M et al. (2007) Recommendations
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diabetic neuropathy. Clin J Pain 18:350–54. PMID: 12441828 32. Chen JY, Chang CY, Lin YS, Hu ML. (2012) Nutritional factors in herpes zoster, postherpetic neuralgia,
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traumatic brain injury: a 12-year study in Taiwan. J Neurosurg 118:732–38. doi: 10.3171/2012.12. JNS12693 PMID: 23350773 39. Feigin VL, Theadom A, Barker-Collo S, Starkey NJ, McPherson K, Kahan M et al. (2013) Incidence of
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matic brain injuries: a global perspective. NeuroRehabilitation 22:341–53. PMID: 18162698 16. Chiu HY, Chen PY, Chen NH, Chuang LP, Tsai PS. (2013) Trajectories of sleep changes during the
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PMID: 21800108 27. PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015 References Lancet Neurol 12:53–64. doi: 10. 1016/S1474-4422(12)70262-4 PMID: 23177532 40. Schmader K, George LK, Burchett BM, Pieper CF, Hamilton JD. (1995) Racial differences in the occur-
rence of herpes zoster. J Infect Dis 171:701–04. PMID: 7876622 41. Borkar DS, Tham VM, Esterberg E, Ray KJ, Vinoya AC, Parker JV et al. (2013) Incidence of herpes
zoster ophthalmicus: results from the Pacific Ocular Inflammation Study. Ophthalmology 120:451–56. doi: 10.1016/j.ophtha.2012.09.007 PMID: 23207173 12 / 12 PLOS ONE | DOI:10.1371/journal.pone.0129043
June 11, 2015
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Determining dominant partial waves in photoproduction via moment analysis
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Determining dominant partial waves in photoproduction via moment analysis sität Bonn, Helmholtz-Institut für Strahlen- und Kernphysik, 53115 Bonn, Germany 1Universität Bonn, Helmholtz-Institut für Strahlen- und Kernphysik, 53115 Bonn, Germany Abstract. Important insights into the excitation spectra of baryons are provided by measurements of polar-
ization observables in reactions that involve particles with spin. The photoproduction of a single pseudoscalar
meson constitutes an example-reaction that has been under intense investigation recently. We present the basic
method of moment-analysis for pseudoscalar meson photoproduction, in which just the angular distributions
are analyzed. Using this method, the total angular momentum quantum number of the dominant partial waves
contributing in the data can be extracted quickly. Furthermore, the Legendre-coefficients extracted from the
angular distributions show interesting composition-patterns in terms of multipoles and allow for instructive
comparisons to models. In this contribution, recent results for moment analyses of polarization data for the
photoproduction of pions and eta-mesons are shown. aσ0
n (W) =
ℓmax
ℓ,k=0
A∗
ℓ(W)Cn
ℓkAk(W). (3) In baryon spectroscopy, the extraction of resonance pa-
rameters from scattering data represents the most impor-
tant central problem. A standard-approach to the solution
of this problem, which has taken center stage over the last
50 years, is given by fits of so-called energy-dependent
(ED) partial-wave analysis (PWA-) models. Well-known
examples for such approaches are the Bonn-Gatchina
(BnGa-) model [1], the Jülich-Bonn (JüBo-) model [2, 3],
the MAID-analysis [4] and the SAID-PWA [5]. A com-
prehensive overview of these examples is given in refer-
ence [6]. In each case, a reaction-theory is constructed,
which satisfies the well-established theoretical S -Matrix
principles [7] (analyticity, unitarity and crossing) with
varying degrees of rigor. Within the context of such a
model, resonances are extracted as poles on the second
Riemann-sheet of the scattering amplitude. (3) Here, for the scalar example, the coupling-coefficients
Cn
ℓk in the bilinear equation (3) are well-known and given
by [8, 9] Cn
ℓk = ⟨ℓ, 0; k, 0|n, 0⟩2 (2ℓ+ 1) (2k + 1)
(2n + 1)
. (4) (4) Here, the ⟨ℓ, m; ℓ′, m′|n, M⟩are the usual Clebsch-Gordan
coefficients. The central problem in a SE fit is then to solve for the real-
and imaginary parts of generally phase-constrained1 par-
tial waves. Thus, one first extracts the Legendre-moments
using equation (2). Then, one solves the bilinear equa-
tions (3) and it is this second step in which multiple dis-
crete ambiguities [9, 10] can, and probably will, occur. 1Some kind of constraint has to be introduced on the overall phase of
the partial waves due to the bilinear nature of the equations (3). EPJ Web of Conferences 241, 0300 (2020)
NSTAR 2019
6 EPJ Web of Conferences 241, 0300 (2020)
NSTAR 2019
6 http://doi.org/10.1051/epjconf/202024103006 © The Authors, published by EDP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.0
(http://creativecommons.org/licenses/by/4.0/). ∗e-mail: wunderlich@hiskp.uni-bonn.de © The Authors, published by EDP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.0
(http://creativecommons org/licenses/by/4 0/) DP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.0
ses/by/4 0/) Determining dominant partial waves in photoproduction via moment analysis Such ambiguities require additional theoretical input on
some subset of the partial waves in order to be resolved. However, one could also remain, in a first instance, with
the moment-analysis using (2) and try to use it in order to
learn as much about the present dataset as possible. Another approach to analyze scattering observables is rep-
resented by single-energy (SE) fits, or truncated partial-
wave analyses (TPWAs). The simplest possible example
is given by 2 →2-scattering of spinless particles. The
only possible observable, i.e. the differential cross section
σ0, is defined in terms of the amplitude as σ0 = |A(W, θ)|2. The infinite partial-wave series for the amplitude reads This latter idea can be generalized to more complicated re-
actions involving particles with spin without a lot of addi-
tional effort. The photoproduction of a single pseudoscalar
meson is one example for such a reaction. We write the
process in the most general form as γN −→ϕB, where ϕ is
a pseudoscalar meson and B a recoil-baryon. The follow-
ing formalism can thus be applied to the most commonly
met example of pion-photoproduction ϕB = πN, but also
other reactions such as eta-photoproduction ϕB = ηN or
the production of kaons ϕB = KΛ, . . . may be studied. A(W, θ) =
∞
ℓ=0
(2ℓ+ 1)AℓPℓ(cos θ). (1) (1) In case one truncates this series at some maximal angular
momentum quantum number ℓmax, one obtains the follow-
ing expansion for the cross section (see reference [8]) In case one truncates this series at some maximal angular
momentum quantum number ℓmax, one obtains the follow-
ing expansion for the cross section (see reference [8]) σ0(W, θ) = q
k
2ℓmax
n=0
aσ0
n (W)Pn(cos θ),
(2) (2) The photoproduction reaction is described using 4 ∗e-mail: wunderlich@hiskp.uni-bonn.de ∗e-mail: wunderlich@hiskp.uni-bonn.de Therefore,
we introduce a short-notation [14] for these interference-
blocks, using the spectroscopic notation of S, P, D, . . . for
the angular momenta ℓ= 0, 1, 2, . . .. For example, a con-
tribution coming from an interference-block complex spin-amplitudes, for instance CGLN-amplitudes
{Fi(W, θ), i = 1, . . . , 4} [11], accompanied by 16 polariza-
tion observables [12, 13]. The observables are defined
in terms of the amplitudes as bilinear hermitean forms
and they divide into the subsets of group S observables
{σ0, Σ, T, P} and furthermore three classes of beam-target
(BT ), beam-recoil (BR) and target-recoil (T R) observ-
ables with four quantities each. The CGLN-amplitudes
can be expanded into a well-known partial-wave series us-
ing electric and magnetic multipoles Eℓ±, Mℓ±
[11, 12]. In case one truncates the multipole-series at some ℓmax, the
observables acquire the following standard-form [9, 15],
which is tantamount to the equations (2,3) in the scalar
case: complex spin-amplitudes, for instance CGLN-amplitudes
{Fi(W, θ), i = 1, . . . , 4} [11], accompanied by 16 polariza-
tion observables [12, 13]. The observables are defined
in terms of the amplitudes as bilinear hermitean forms
and they divide into the subsets of group S observables
{σ0, Σ, T, P} and furthermore three classes of beam-target
(BT ), beam-recoil (BR) and target-recoil (T R) observ-
ables with four quantities each. The CGLN-amplitudes
can be expanded into a well-known partial-wave series us-
ing electric and magnetic multipoles Eℓ±, Mℓ±
[11, 12]. complex spin-amplitudes, for instance CGLN-amplitudes
{Fi(W, θ), i = 1, . . . , 4} [11], accompanied by 16 polariza-
tion observables [12, 13]. The observables are defined
in terms of the amplitudes as bilinear hermitean forms
and they divide into the subsets of group S observables
{σ0, Σ, T, P} and furthermore three classes of beam-target
(BT ), beam-recoil (BR) and target-recoil (T R) observ-
ables with four quantities each. The CGLN-amplitudes
can be expanded into a well-known partial-wave series us-
ing electric and magnetic multipoles Eℓ±, Mℓ±
[11, 12].
M,M′={E,M}
p,p′={±}
cM,M′
p,p′
M∗
0pM′
1p′. (8) (8) In case one truncates the multipole-series at some ℓmax, the
observables acquire the following standard-form [9, 15],
which is tantamount to the equations (2,3) in the scalar
case: between S - and P-wave multipoles would be just written
as ⟨S, P⟩. ∗e-mail: wunderlich@hiskp.uni-bonn.de © The Authors, published by EDP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.0
(http://creativecommons.org/licenses/by/4.0/). ess article distributed under the terms of the Creative Commons Attribution License 4.0 EPJ Web of Conferences 241, 0300 (2020)
NSTAR 2019
6 EPJ Web of Conferences 241, 0300 (2020)
6 http://doi.org/10.1051/epjconf/202024103006 Type
ˇΩα
βα
γα
Type
ˇΩα
βα
γα
σ0
0
0
ˇOx′
1
0
S
ˇΣ
2
−2
BR
ˇOz′
2
−1
ˇT
1
−1
ˇCx′
1
0
ˇP
1
−1
ˇCz′
0
+1
ˇE
0
0
ˇTx′
2
−1
BT
ˇG
2
−2
T R
ˇTz′
1
0
ˇH
1
−1
ˇLx′
1
0
ˇF
1
−1
ˇLz′
0
+1
Table 1: We list here the parameters needed to evaluate the angular parametrizations for the 16 polarization observables
of pseudoscalar meson photoproduction given in equations (5) and (6). Such a Table was first published by Tiator [15]
(see also references [9, 14]). Type
ˇΩα
βα
γα
Type
ˇΩα
βα
γα
σ0
0
0
ˇOx′
1
0
S
ˇΣ
2
−2
BR
ˇOz′
2
−1
ˇT
1
−1
ˇCx′
1
0
ˇP
1
−1
ˇCz′
0
+1
ˇE
0
0
ˇTx′
2
−1
BT
ˇG
2
−2
T R
ˇTz′
1
0
ˇH
1
−1
ˇLx′
1
0
ˇF
1
−1
ˇLz′
0
+1
Table 1: We list here the parameters needed to evaluate the angular parametrizations for the 16 polarization observables
of pseudoscalar meson photoproduction given in equations (5) and (6). Such a Table was first published by Tiator [15]
(see also references [9, 14]). Table 1: We list here the parameters needed to evaluate the angular parametrizations for the 16 polarization observables
of pseudoscalar meson photoproduction given in equations (5) and (6). Such a Table was first published by Tiator [15]
(see also references [9, 14]). Table 1: We list here the parameters needed to evaluate the angular parametrizations for the 16 polarization observables
of pseudoscalar meson photoproduction given in equations (5) and (6). Such a Table was first published by Tiator [15]
(see also references [9, 14]). It is a fact that once the matrices C ˇΩα
k
are evaluated, one ob-
serves that in all cases the matrixes decompose into blocks
of interference-terms among multipoles of certain definite
orbital angular momentum quantum number ℓ. ∗e-mail: wunderlich@hiskp.uni-bonn.de Each Legendre-moment generally contains mul-
tiple such blocks and therefore, several of the short-forms
for interference-blocks are added together in order to de-
scribe the partial wave decomposition of a particular mo-
ment (see Table 2). ˇΩα(W, θ) = q
k
2ℓmax+βα+γα
n=βα
aℓmax
ˇΩα
n (W) Pβα
n (cos θ), (5)
aℓmax
ˇΩα
k (W) = Mℓmax (W)
C
ˇΩα
k
Mℓmax (W) . (6) ˇΩα(W, θ) = q
k
2ℓmax+βα+γα
n=βα
aℓmax
ˇΩα
n (W) Pβα
n (cos θ), (5) The question whether or not specific minimal subsets of
the bilinear forms (6) allow for an unambiguous amplitude
extraction in so-called complete experiments has been ad-
dressed in the classic work by Omelaenko [16] and in the
more recent references [9, 17]. (6) where we have adopted a notation by Chiang and Tabakin
[13] to denote the observables ˇΩα and the index α runs
as α = 1, . . . , 16. The Pβα
n (cos θ) are associated Legendre
polynomials. The multipoles which are present in a certain
truncation-order define the vector The formalism outline above allows for moment-analyses
in pseudoscalar meson photoproduction. The following
two main aspects are important: Mℓmax
=
E0+, E1+, M1+, M1−, E2+, E2−, . . . , Mℓmax−
T . (7) (I) ℓmax-analysis: The parametrization (5) of the angular
distribution is fitted for different ℓmax. The χ2/ndf is
compared for different fits, ascending from the lowest
possible order. In case the goodness of fit is unsatis-
factory, one has to increase ℓmax. Once a good fit is
obtained, the resulting ℓmax gives, in a lot of cases, al-
ready quite a good estimate for the maximal angular
momentum detectable in the data. Plots of χ2/ndf vs. energy show ’bumps’ whenever new important contri-
butions from higher angular momenta enter the data (cf. Figures 3,4, top). (I) ℓmax-analysis: The parametrization (5) of the angular
distribution is fitted for different ℓmax. The χ2/ndf is
compared for different fits, ascending from the lowest
possible order. In case the goodness of fit is unsatis-
factory, one has to increase ℓmax. Once a good fit is
obtained, the resulting ℓmax gives, in a lot of cases, al-
ready quite a good estimate for the maximal angular
momentum detectable in the data. Plots of χ2/ndf vs. ∗e-mail: wunderlich@hiskp.uni-bonn.de In case of π0-photoproduction, we consider a dataset
for the observable
ˇE recently measured by the A2-
collaboration at MAMI, and which has been first pub-
lished in the PhD-thesis [18]. The formula (5) reads, when
adapted to the observable ˇE, as follows (see also Table 1) The same effect can be seen in the plot for a ˇE
2 on the
right of Figure 1. The extracted values for the Legendre-
moment show a pronounced cusp right at the pη-threshold. Furthermore, the cusp enters into the BnGa model-curves
once the D-waves are included. Here, this cusp-effect
is due to the ⟨S, D⟩- and ⟨D, D⟩interference-blocks. However, contrary to the results for the moment a ˇE
0 ,
(small) F-wave corrections are important already below
the pη-threshold. ˇE(W, θ) = q
k
2ℓmax
n=0
aℓmax
ˇE
n (W) Pn(cos θ). (9) (9) This expression has been fitted to the data for different
ℓmax and an order of ℓmax = 4 was sufficient to yield a sat-
isfactory fit over the whole measured energy-region. The
plot of χ2/ndf vs. energy, as well as several exemplary
angular distributions, are shown in Figure 3. This expression has been fitted to the data for different
ℓmax and an order of ℓmax = 4 was sufficient to yield a sat-
isfactory fit over the whole measured energy-region. The
plot of χ2/ndf vs. energy, as well as several exemplary
angular distributions, are shown in Figure 3. For the process of η-photoproduction,
we consider
a
dataset
for
the
beam-asymmetry
ˇΣ,
which
has
been
recently
measured
by
the
CBELSA/TAPS-
collaboration [18–20]. When using the general ex-
pression (5) for the observable
ˇΣ, one obtains the
following angular parametrization Furthermore, we show plots of the two selected Legendre-
moments a ˇE
0 and a ˇE
2 in Figure 1 (see also the thesis [18]). In these plots, the energy-region has been zoomed in, in
order to facilitate a more detailed view of the fit-results
for the moments. Furthermore, a model-comparison is
shown for the Bonn-Gatchina solution BnGa 2017_02,
which has been used to re-evaluate both of the moments
using different truncation orders. We see that for a ˇE
0 below
the pη-threshold, i.e. for roughly W < 1500 MeV, BnGa
S - and P-waves are largely sufficient to describe the
fit-results for the moment. Very close to the pη-threshold,
a small correction due to D-waves is needed. ∗e-mail: wunderlich@hiskp.uni-bonn.de for ℓ= 0, 1, 2, . . .. Table 2: The matrix C ˇE
0 which defines the coefficient (a2) ˇE
0 for an expansion of ˇE up to ℓmax = 2 is shown. Every matrix
element defines a particular multipole-interference term. As a generic feature, the matrices C ˇΩα
n
decompose into blocks
of interference terms between multipoles with definite orbital angular momentum quantum number ℓ(cf. equations (6)
and (7)). Therefore, a short-notation for interference-terms is introduced, using the spectroscopic notation of S, P, D, . . . for ℓ= 0, 1, 2, . . .. certain model partial waves. In this way, sometimes one
obtains valuable information on which partial wave in-
terferences are important. Furthermore, one can try to
interpret the results of such comparisons in view of im-
portant physical effects visible in the data. to cusp-like behaviours and they are basically a direct
consequence of the combination of the principles of
analyticity and unitarity. We conclude that this particular
polarization measurement is precise enough to show
such sophisticated theoretical effects directly in the data,
or more precisely in the extracted Legendre-moments. Furthermore, we see in the comparison-plot that for a ˇE
0 ,
the cusp-effect enters due to a ⟨D, D⟩interference-term. ˇ to cusp-like behaviours and they are basically a direct
consequence of the combination of the principles of
analyticity and unitarity. We conclude that this particular
polarization measurement is precise enough to show
such sophisticated theoretical effects directly in the data,
or more precisely in the extracted Legendre-moments. Furthermore, we see in the comparison-plot that for a ˇE
0 ,
the cusp-effect enters due to a ⟨D, D⟩interference-term. The same effect can be seen in the plot for a ˇE
2 on the
right of Figure 1. The extracted values for the Legendre-
moment show a pronounced cusp right at the pη-threshold. Furthermore, the cusp enters into the BnGa model-curves
once the D-waves are included. Here, this cusp-effect
is due to the ⟨S, D⟩- and ⟨D, D⟩interference-blocks. However, contrary to the results for the moment a ˇE
0 ,
(small) F-wave corrections are important already below
the pη-threshold. We commence with the discussion of results obtained from
new data for π0- and η-photoproduction [18–20]. ∗e-mail: wunderlich@hiskp.uni-bonn.de energy show ’bumps’ whenever new important contri-
butions from higher angular momenta enter the data (cf. Figures 3,4, top). A set of parameters which defines the photoproduction
moment-expansion for all 16 observables is given in Ta-
ble 1 (cf. reference [14]). Tiator [15] first published sim-
ilarly formalized expansions for an expansion into powers
of cos(θ). The matrices defining the coefficients (6) as bilinear forms
are hermitean and have dimensions (4ℓmax) × (4ℓmax), for
ℓmax ≥1. We have to report that during the course of the
thesis [9], no closed expression for these matrices has been
found, which would be analogous to the result (4) from the
scalar reactions. However, they can be calculated numer-
ically for each relevant truncation order ℓmax. The results
for group S and BT observables in the order ℓmax = 5
have been collected in the appendices of [9]. As an exam-
ple, the matrix C ˇE
0 is shown in Table 2 for the truncation
order ℓmax = 2. (II) Model-comparisons:
The fitted Legendre-moments
aℓmax
ˇΩα
k
can be compared to the right hand side of equa-
tion (6), i.e. to the definitions of the moments as bilinear
forms in terms of multipoles. The latter can be evalu-
ated using multipoles Mℓstemming from an ED model. These comparisons can be performed switching on/off 2 EPJ Web of Conferences 241, 0300 (2020)
NSTAR 2019
6 EPJ Web of Conferences 241, 0300 (2020)
6 http://doi.org/10.1051/epjconf/202024103006 C ˇE
0 =
⎡⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎢⎣
1
0
0
0
0
0
0
0
0
3
3
0
0
0
0
0
0
3
−1
0
0
0
0
0
0
0
0
1
0
0
0
0
0
0
0
0
6
0
12
0
0
0
0
0
0
−1
0
−3
0
0
0
0
12
0
−3
0
0
0
0
0
0
−3
0
3
⎤⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎥⎦
≡⟨S, S ⟩+ ⟨P, P⟩+ ⟨D, D⟩ Table 2: The matrix C ˇE
0 which defines the coefficient (a2) ˇE
0 for an expansion of ˇE up to ℓmax = 2 is shown. Every matrix
element defines a particular multipole-interference term. As a generic feature, the matrices C ˇΩα
n
decompose into blocks
of interference terms between multipoles with definite orbital angular momentum quantum number ℓ(cf. equations (6)
and (7)). Therefore, a short-notation for interference-terms is introduced, using the spectroscopic notation of S, P, D, . . . ∗e-mail: wunderlich@hiskp.uni-bonn.de Then, for
all energies above the pη-threshold, the BnGa F-waves
are required to correct the continuous curve such that it
coincides with the fitted values for the Legendre-moment. One feature of the shown result is striking: exactly at the
pη-threshold, the fitted values show a pronounces, sudden
change in direction, or ’cusp’. Furthermore, analytic
S -Matrix theory requires amplitudes to have branch-point
singularities precisely at the energies corresponding to
the opening of thresholds [7, 21]. Such singularities lead ˇΣ(W, θ) = q
k
2ℓmax
n=2
aℓmax
ˇΣ
n (W) P2
n(cos θ). (10) (10) The resulting plots of χ2/ndf vs. energy, as well as some
fitted angular distributions, can be seen in Figure 4. Over
the whole fitted energy-region, again a truncation-order of
ℓmax = 4 is found to yield a satisfactory fit quality. As an example for an extracted Legendre-moment, we
consider here the quantity aˇΣ
4. A plot of the extracted val-
ues, as well as a comparison to the Bonn-Gatchina so-
lution BnGa 2014_02, are shown in Figure 2a. The fit-
ted Legendre-moment, which is consistent with zero in
the lower energy region, shows a pronounced rise, which
looks like a cusp-like structure, right at the pη′-threshold. Furthermore, the solution BnGa 2014_02 cannot describe
this structure. As can be seen in some exemplary angu-
lar distributions shown in Figure 2a, the rise of the mo-
ment aˇΣ
4 to values significantly larger than zero is in corre-
spondence with the appearance of a backward-peak in the 3 EPJ Web of Conferences 241, 0300 (2020)
NSTAR 2019
6 EPJ Web of Conferences 241, 0300 (2020)
6 http://doi.org/10.1051/epjconf/202024103006 W [MeV]
1400
1600
1800
b/sr]
μ
[
0
E)
4
(a
1
−
0
1
(a4) ˇE
0 = ⟨S, S ⟩+ ⟨P, P⟩
+⟨D, D⟩+ ⟨F, F⟩
+ ⟨G,G⟩
preliminary
pη
pη′
KΣ
KΛ
multipoles:
BnGa 2017_02
W [MeV]
1400
1600
1800
b/sr]
μ
[
2
E)
4
(a
0.5
−
0
0.5
1
1.5
(a4) ˇE
2 = ⟨P, P⟩+ ⟨S, D⟩
+⟨D, D⟩+ ⟨P, F⟩
+⟨F, F⟩+ ⟨D,G⟩
+ ⟨G,G⟩
preliminary
pη
pη′
KΣ
KΛ
Figure 1: Shown are the two Legendre-moments a ˇE
0 (left) and a ˇE
2 (right), extracted from a recent dataset for the observable
ˇE measured in the reaction γp →π0p by the A2-collaboration at MAMI [18]. The coefficients have been extracted using
equation (9) in the truncation-order ℓmax = 4. ∗e-mail: wunderlich@hiskp.uni-bonn.de The fitted values for the moments are shown as blue dots. Continuous
curves show the respective Legendre-moment, evaluated using multipoles from the recent Bonn-Gatchina solution BnGa
2017_02, up to the finite truncation orders: ℓmax = 1 (green curve), ℓmax = 2 (blue), ℓmax = 3 (red) and ℓmax = 4 (black). The composition of the respective Legendre moment as a bilinear form in the multipoles is written in the short-notation on
the right of the respective plot. Threshold-energies of important photoproduction final-states are illustrated by dash-dotted
vertical lines. (color online) W [MeV]
1400
1600
1800
b/sr]
μ
[
2
E)
4
(a
0.5
−
0
0.5
1
1.5
(a4) ˇE
2 = ⟨P, P⟩+ ⟨S, D⟩
+⟨D, D⟩+ ⟨P, F⟩
+⟨F, F⟩+ ⟨D,G⟩
+ ⟨G,G⟩
preliminary
pη
pη′
KΣ
KΛ W [MeV]
1400
1600
1800
b/sr]
μ
[
0
E)
4
(a
1
−
0
1
(
preliminary
pη
pη′
KΣ
KΛ pη Figure 1: Shown are the two Legendre-moments aE
0 (left) and aE
2 (right), extracted from a recent dataset for the observable
ˇE measured in the reaction γp →π0p by the A2-collaboration at MAMI [18]. The coefficients have been extracted using
equation (9) in the truncation-order ℓmax = 4. The fitted values for the moments are shown as blue dots. Continuous
curves show the respective Legendre-moment, evaluated using multipoles from the recent Bonn-Gatchina solution BnGa
2017_02, up to the finite truncation orders: ℓmax = 1 (green curve), ℓmax = 2 (blue), ℓmax = 3 (red) and ℓmax = 4 (black). The composition of the respective Legendre moment as a bilinear form in the multipoles is written in the short-notation on
the right of the respective plot. Threshold-energies of important photoproduction final-states are illustrated by dash-dotted
vertical lines. (color online) measured angular distribution for ˇΣ. This backward-peak
needs the modulation aˇΣ
4P2
4(cos θ) in order to be described. This will be discussed in more detail in upcoming publi-
cations (for instance [19]). For a comparison of the extracted values for the mo-
ment aˇΣ
4 to a more recent BnGa-solution, see Figure 2b. There, it is seen that the more recent solution BnGa
2017_02 can describe the cusp a lot better and that further-
more, the cusp-structure enters the model-curve once the
G-waves are included, via an ⟨S,G⟩interference-block. ∗e-mail: wunderlich@hiskp.uni-bonn.de For a more involved discussion of the physical meaning
of this cusp-effect in η-photoproduction data, see upcom-
ing publications [19]. We
conclude
that
in
a
new
era
of
polarization-
measurements, the precision of the data has become good
enough to be directly sensitive to singularities in the am-
plitudes as dictated by S -matrix theory. This puts new in-
creased demands to the construction and fit of ED mod-
els. Furthermore, moment-analysis is the ideal method to
make sensitivities to such singularities visible. 4 EPJ Web of Conferences 241, 0300 (2020)
NSTAR 2019
6 EPJ Web of Conferences 241, 0300 (2020)
6 http://doi.org/10.1051/epjconf/202024103006 W [MeV]
1800
1900
2000
b/sr]
μ
[
4
Σ)
4
(a
0.005
−
0
0.005
0.01
(a4)ˇΣ
4 = ⟨D, D⟩+ ⟨P, F⟩
+⟨F, F⟩+ ⟨S,G⟩
+ ⟨D,G⟩+ ⟨G,G⟩
+⟨P, H⟩+ ⟨F, H⟩
+⟨H, H⟩
preliminary
pη′
multipoles: BnGa 2014_02
-1.0
-0.5
0.0
0.5
1.0
-0.1
0.0
0.1
0.2
0.3
cos()
0*[b]
W = 1781 MeV
−−−−−−−−−−−−−−−−→
preliminary
-1.0
-0.5
0.0
0.5
1.0
-0.05
0.00
0.05
0.10
0.15
0.20
cos()
0*[b]
W = 1900 MeV
−−−−−−−→
preliminary
-1.0
-0.5
0.0
0.5
1.0
-0.05
0.00
0.05
0.10
0.15
0.20
cos()
0*[b]
W = 2018 MeV
−−−−−−−−−−−−−−−−−→
preliminary
(a) The Legendre-moments aˇΣ
4, extracted from a recent dataset for the observable ˇΣ measured in the reaction γp →ηp by the
CBELSA/TAPS-collaboration [18–20] is shown at the top. The coefficient has been extracted using equation (10) in the truncation-
order ℓmax = 4. The fitted values are shown as black dots. Continuous curves show the Legendre-moment, evaluated using multipoles
from the Bonn-Gatchina solution BnGa 2014_02, up to the finite truncation orders: ℓmax = 1 (green curve), ℓmax = 2 (blue), ℓmax = 3
(red), ℓmax = 4 (black) and ℓmax = 5 (cyan). The composition of the Legendre moment as a bilinear form in the multipoles is written in
the short-notation on the right of the plot. The threshold-energy of the pη′ final state is illustrated by the dash-dotted vertical line. Furthermore, three angular distributions of the profile function ˇE = σ0E are shown at the bottom of the figure. For the three exemplary
energies, the different contributions from individual Legendre-moments to the fitted function are shown as modulations. In particular,
these are the contributions (cf. ∗e-mail: wunderlich@hiskp.uni-bonn.de equation (10)): aˇΣ
2P2
2(cos θ) (green solid line), aˇΣ
3P2
3(cos θ) (blue solid line), aˇΣ
4P2
4(cos θ) (blue dashed
line), aˇΣ
5P2
5(cos θ) (red solid line), aˇΣ
6P2
6(cos θ) (red dashed line), aˇΣ
7P2
7(cos θ) (black solid line), aˇΣ
8P2
8(cos θ) (black dashed line). Arrows
indicate the corresponding energy-bins in the plot of aˇΣ
4. (color online) -1.0
-0.5
0.0
0.5
1.0
-0.1
0.0
0.1
0.2
0.3
cos()
0*[b]
W = 1781 MeV
−−−−
preliminary -1.0
-0.5
0.0
0.5
1.0
-0.05
0.00
0.05
0.10
0.15
0.20
cos()
0*[b]
W = 2018 MeV
−−−−−
preliminary W = 1781 MeV (a) The Legendre-moments aˇΣ
4, extracted from a recent dataset for the observable ˇΣ measured in the reaction γp →ηp by the
CBELSA/TAPS-collaboration [18–20] is shown at the top. The coefficient has been extracted using equation (10) in the truncation-
order ℓmax = 4. The fitted values are shown as black dots. Continuous curves show the Legendre-moment, evaluated using multipoles
from the Bonn-Gatchina solution BnGa 2014_02, up to the finite truncation orders: ℓmax = 1 (green curve), ℓmax = 2 (blue), ℓmax = 3
(red), ℓmax = 4 (black) and ℓmax = 5 (cyan). The composition of the Legendre moment as a bilinear form in the multipoles is written in
the short-notation on the right of the plot. The threshold-energy of the pη′ final state is illustrated by the dash-dotted vertical line. Furthermore, three angular distributions of the profile function ˇE = σ0E are shown at the bottom of the figure. For the three exemplary
energies, the different contributions from individual Legendre-moments to the fitted function are shown as modulations. In particular,
these are the contributions (cf. equation (10)): aˇΣ
2P2
2(cos θ) (green solid line), aˇΣ
3P2
3(cos θ) (blue solid line), aˇΣ
4P2
4(cos θ) (blue dashed
line), aˇΣ
5P2
5(cos θ) (red solid line), aˇΣ
6P2
6(cos θ) (red dashed line), aˇΣ
7P2
7(cos θ) (black solid line), aˇΣ
8P2
8(cos θ) (black dashed line). Arrows
indicate the corresponding energy-bins in the plot of aˇΣ
4. (color online) Furthermore, three angular distributions of the profile function E = σ0E are shown at the bottom of the figure. For the three exemplary
energies, the different contributions from individual Legendre-moments to the fitted function are shown as modulations. In particular,
these are the contributions (cf. ∗e-mail: wunderlich@hiskp.uni-bonn.de equation (10)): aˇΣ
2P2
2(cos θ) (green solid line), aˇΣ
3P2
3(cos θ) (blue solid line), aˇΣ
4P2
4(cos θ) (blue dashed
line), aˇΣ
5P2
5(cos θ) (red solid line), aˇΣ
6P2
6(cos θ) (red dashed line), aˇΣ
7P2
7(cos θ) (black solid line), aˇΣ
8P2
8(cos θ) (black dashed line). Arrows
indicate the corresponding energy-bins in the plot of aˇΣ
4. (color online) W [MeV]
1800
1900
2000
b/sr]
μ
[
4
)
4
(a
0.005
0
0.005
0.01
W [MeV]
1800
1900
2000
(a4)ˇΣ
4 = ⟨D, D⟩+ ⟨P, F⟩
+⟨F, F⟩+ ⟨S, G⟩
+ ⟨D,G⟩+ ⟨G,G⟩
+⟨P, H⟩+ ⟨F, H⟩
+⟨H, H⟩
preliminary
preliminary
multipoles: BnGa 2014_02
multipoles: BnGa 2017_02
(b) Here, the same Legendre-moment is shown as in Figure 2a (see also references [18, 19]). However, for the two plots different BnGa-
solutions were used in order to evaluate the continuous curves, i.e. the solutions BnGa 2014_02 (left) and BnGa 2017_02 (right). In
particular, in case of BnGa 2017_02, one can see the pη′-cusp in the continuous curves once the G-waves are included. The composition
of the Legendre-moment in terms of the short-notations for interference terms is shown on the right of the plots. The threshold-energy
of the pη′ final state is shown as a dash-dotted vertical line. (color online) multipoles: BnGa 2014_02 multipoles: BnGa 2014_02 multipoles: BnGa 2017_02 (b) Here, the same Legendre-moment is shown as in Figure 2a (see also references [18, 19]). However, for the two plots different BnGa-
solutions were used in order to evaluate the continuous curves, i.e. the solutions BnGa 2014_02 (left) and BnGa 2017_02 (right). In
particular, in case of BnGa 2017_02, one can see the pη′-cusp in the continuous curves once the G-waves are included. The composition
of the Legendre-moment in terms of the short-notations for interference terms is shown on the right of the plots. The threshold-energy
of the pη′ final state is shown as a dash-dotted vertical line. (color online) Figure 2: Plots showing the Legendre-moment aˇΣ
4, extracted from η-photoproduction data [18–20]. Figure 2: Plots showing the Legendre-moment aˇΣ
4, extracted from η-photoproduction data [18–20]. ∗e-mail: wunderlich@hiskp.uni-bonn.de 5 http://doi.org/10.1051/epjconf/202024103006 EPJ Web of Conferences 241, 0300 (2020)
NSTAR 2019
6 EPJ Web of Conferences 241, 0300 (2020)
6 W [MeV]
1200
1400
1600
1800
/ndf
2
χ
0
5
10
15
=1
max
L
=2
max
L
=3
max
L
=4
max
L
[MeV]
γ
E
500
1000
preliminary
(a)
Figure
3:
The
double-
polarization observable
ˇE data
from the A2-collaboration at
MAMI [18], with only statistical
error, was fitted using associated
Legendre polynomials accord-
ing to the Legendre moment
expansions (5,9) and truncating
the expansion at ℓmax = 1, . . . , 4. (a) The resulting χ2/ndf values
for fits with different orders
ℓmax as a function of the center
of mass energy W and photon
LAB-energy Eγ are shown. (b)
12 out of 38 selected angular
distributions of ˇΣ (black points)
are plotted together with fit-
curves for different ℓmax (solid
lines), starting at W= 1484 MeV
up to 1855 MeV. ∗e-mail: wunderlich@hiskp.uni-bonn.de (color online)
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0
0.5
1
1.5
W=1484 MeV
preliminary
(b)
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0
0.5
1
1.5
W=1522 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
1
W=1558 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1
−
0
1
W=1594 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1.5
−
1
−
0.5
−
0
0.5
W=1629 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
3
−
2
−
1
−
0
W=1663 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
2
−
1
−
0
W=1697 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1
−
0.5
−
0
0.5
W=1730 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1762 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1794 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1825 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1855 MeV
preliminary W [MeV]
1200
1400
1600
1800
/ndf
2
χ
0
5
10
15
=1
max
L
=2
max
L
=3
max
L
=4
max
L
[MeV]
γ
E
500
1000
preliminary
(a) Figure
3:
The
double-
polarization observable
ˇE data
from the A2-collaboration at
MAMI [18], with only statistical
error, was fitted using associated
Legendre polynomials accord-
ing to the Legendre moment
expansions (5,9) and truncating
the expansion at ℓmax = 1, . . . , 4. (a) The resulting χ2/ndf values
for fits with different orders
ℓmax as a function of the center
of mass energy W and photon
LAB-energy Eγ are shown. (b)
12 out of 38 selected angular
distributions of ˇΣ (black points)
are plotted together with fit-
curves for different ℓmax (solid
lines), starting at W= 1484 MeV
up to 1855 MeV. ∗e-mail: wunderlich@hiskp.uni-bonn.de (color online) /ndf
2
χ
(a) θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0
0.5
1
1.5
W=1484 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0
0.5
1
1.5
W=1522 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1
−
0
1
W=1594 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1.5
−
1
−
0.5
−
0
0.5
W=1629 MeV
preliminary
sr]
W=1697 MeV
sr]
W=1730 MeV θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0
0.5
1
1.5
W=1484 MeV
preliminary
(b)
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0
0.5
1
1.5
W=1522 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
1
W=1558 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1
−
0
1
W=1594 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1.5
−
1
−
0.5
−
0
0.5
W=1629 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
3
−
2
−
1
−
0
W=1663 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
2
−
1
−
0
W=1697 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1
−
0.5
−
0
0.5
W=1730 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1762 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1794 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1825 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1855 MeV
preliminary θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0
0.5
1
1.5
W=1522 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1.5
−
1
−
0.5
−
0
0.5
W=1629 MeV
preliminary
]
W=1730 MeV θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0
0.5
1
1.5
W=1484 MeV
preliminary
(b)
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0
0.5
1
1.5
W=1522 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
1
W=1558 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1
−
0
1
W=1594 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1.5
−
1
−
0.5
−
0
0.5
W=1629 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
3
−
2
−
1
−
0
W=1663 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
2
−
1
−
0
W=1697 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1
−
0.5
−
0
0.5
W=1730 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1762 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1794 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1825 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W=1855 MeV
preliminary θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0
0.5
1
1.5
W=1484 MeV
preliminary
(b)
W=1594 MeV θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
1
W=1558 MeV
preliminary
θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
3
−
2
−
1
−
0
W=1663 MeV
preliminary
r]
0 5
W=1762 MeV b/sr]
μ
[
E
1 b/sr]
μ
[
E W=1663 MeV b/sr]
μ
[
E θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
1
−
0
1
preliminary
W=1697 MeV b/sr]
μ
[
E b/sr]
μ
[
E θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
2
−
1
−
0
W 1697 MeV
preliminary
W=1794 MeV θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
preliminary
W=1855 MeV b/sr]
μ
[
E
0 b/sr]
μ
[
E
0 θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
E
0.5
−
0
0.5
W 1794 MeV
preliminary 6 6 http://doi.org/10.1051/epjconf/202024103006 EPJ Web of Conferences 241, 0300 (2020)
6 W [MeV]
1800
1900
2000
/ndf
2
χ
0
5
10
15
=1
max
L
=2
max
L
=3
max
L
=4
max
L
[MeV]
γ
E
1200
1400
1600
preliminary
(a)
Figure 4:
The beam-asymmetry
ˇΣ data from the CBELSA/TAPS-
collaboration [18, 19], with only
statistical error, was fitted using
the expansion into Legendre mo-
ments given in equations (5,10) and
truncating the expansion at ℓmax =
1, . ∗e-mail: wunderlich@hiskp.uni-bonn.de . . , 4. (a) The resulting χ2/ndf
values for fits with different or-
ders ℓmax as a function of the cen-
ter of mass energy W and photon
LAB-energy Eγ are shown. (b)
6 out of 11 selected angular dis-
tributions of ˇΣ (black points) are
plotted together with curves corre-
sponding to fits with different ℓmax
(solid lines), starting at W= 1748
MeV up to 2045 MeV. (color on-
line)
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.2
0.4
W=1748 MeV
preliminary
(b)
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
0.3
W=1812 MeV
preliminary
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
W=1873 MeV
preliminary
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0.1
−
0
0.1
0.2
W=1932 MeV
preliminary
b/sr]
μ
[
Σ
0
0.1
0.2
W=1989 MeV
preliminary
b/sr]
μ
[
Σ
0.1
0.2
W=2045 MeV
preliminary W [MeV]
1800
1900
2000
/ndf
2
χ
0
5
10
15
=1
max
L
=2
max
L
=3
max
L
=4
max
L
[MeV]
γ
E
1200
1400
1600
preliminary
(a) Figure 4:
The beam-asymmetry
ˇΣ data from the CBELSA/TAPS-
collaboration [18, 19], with only
statistical error, was fitted using
the expansion into Legendre mo-
ments given in equations (5,10) and
truncating the expansion at ℓmax =
1, . . . , 4. (a) The resulting χ2/ndf
values for fits with different or-
ders ℓmax as a function of the cen-
ter of mass energy W and photon
LAB-energy Eγ are shown. (b)
6 out of 11 selected angular dis-
tributions of ˇΣ (black points) are
plotted together with curves corre-
sponding to fits with different ℓmax
(solid lines), starting at W= 1748
MeV up to 2045 MeV. ∗e-mail: wunderlich@hiskp.uni-bonn.de (color on-
line) /ndf
2
χ
(a) Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.2
0.4
W=1748 MeV
preliminary
(b)
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
0.3
W=1812 MeV
preliminary
b/sr]
μ
[
Σ
0.1
0.2
W=1873 MeV
eliminary
b/sr]
μ
[
Σ
0.1
0.2
W=1932 MeV
eliminary Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.2
0.4
W=1748 MeV
preliminary
(b)
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
0.3
W=1812 MeV
preliminary
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
W=1873 MeV
preliminary
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0.1
−
0
0.1
0.2
W=1932 MeV
preliminary
b/sr]
μ
[
Σ
0
0.1
0.2
W=1989 MeV
preliminary
b/sr]
μ
[
Σ
0
0.1
0.2
W=2045 MeV
preliminary Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.2
0.4
W=1748 MeV
preliminary
(b)
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
0.3
W=1812 MeV
preliminary
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
W=1873 MeV
preliminary
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0.1
−
0
0.1
0.2
W=1932 MeV
preliminary
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0.1
−
0
0.1
0.2
W=1989 MeV
preliminary
Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
W=2045 MeV
preliminary
7 Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.2
0.4
W=1748 MeV
preliminary
(b)
W=1873 MeV Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
0.3
W=1812 MeV
preliminary
W=1932 MeV W=1748 MeV b/sr]
μ
[
Σ
0
(b) (b) W=1932 MeV W=1873 MeV Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
W=1873 MeV
preliminary
W=1989 MeV Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0.1
−
0
0.1
0.2
W=1932 MeV
preliminary
W=2045 MeV b/sr]
μ
[
Σ W=1989 MeV W=2045 MeV Θ
cos
1
−
0.5
−
0
0.5
1
b/sr]
μ
[
Σ
0
0.1
0.2
W=2045 MeV
preliminary b/sr]
μ
[
Σ b/sr]
μ
[
Σ EPJ Web of Conferences 241, 0300 (2020)
NSTAR 2019
6 http://doi.org/10.1051/epjconf/202024103006 References of Bonn (2019). [10] A. Gersten, Nucl. Phys. B 12, p. 537 (1969). [1] A. V. Anisovich, R. Beck, E. Klempt, V. A. Nikonov,
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|
https://openalex.org/W4322629398
|
https://abacus.universidadeuropea.com/bitstream/11268/11846/2/Lado_Cerpa_IJMS_2023.pdf
|
English
| null |
Coarse-Grained Molecular Dynamics of pH-Sensitive Lipids
|
International journal of molecular sciences
| 2,023
|
cc-by
| 7,978
|
Isabel Lado-Touriño * and Arisbel Cerpa-Naranjo Engineering Department, School of Architecture, Engineering and Design, Universidad Europea de Madrid,
28670 Villaviciosa de Odón, Spain
* Correspondence: misabel.lado@universidadeuropea.es Abstract: pH-sensitive lipids represent a class of lipids that can be protonated and destabilized in
acidic environments, as they become positively charged in response to low-pH conditions. They can
be incorporated into lipidic nanoparticles such as liposomes, which are able to change their proper-
ties and allow specific drug delivery at the acidic conditions encountered in some pathological mi-
croenvironments. In this work, we used coarse-grained molecular-dynamic simulations to study the
stability of neutral and charged lipid bilayers containing POPC (1-palmitoyl-2-oleoyl-sn-glycero-3-
phosphocholine) and various kinds of ISUCA ((F)2-(imidazol-1-yl)succinic acid)-derived lipids,
which can act as pH-sensitive molecules. In order to explore such systems, we used a MARTINI-
derived forcefield, previously parameterized using all-atom simulation results. We calculated the
average area per lipid, the second-rank order parameter and the lipid diffusion coefficient of both
lipid bilayers made of pure components and mixtures of lipids in different proportions, under neu-
tral or acidic conditions. The results show that the use of ISUCA-derived lipids disturbs the lipid
bilayer structure, with the effect being particularly marked under acidic conditions. Although more-
in depth studies on these systems must be carried out, these initial results are encouraging and the
lipids designed in this research could be a good basis for developing new pH-sensitive liposomes. Keywords: pH-sensitive lipids; coarse-grained; molecular dynamics Citation: Lado-Touriño, I.;
Cerpa-Naranjo, A. Coarse-Grained
Molecular Dynamics of pH-Sensitive
Lipids. Int. J. Mol. Sci. 2023, 24, 4632.
https://doi.org/10.3390/ijms24054632
Academic Editors: Samuel De Visser
and M. Natália D. S. Cordeiro
Received: 20 January 2023
Revised: 20 February 2023
Accepted: 25 February 2023
Published: 27 February 2023 1. Introduction 2023, 24, 4632 2 of 16 Liposomes are usually formulated using modified natural diacyl-chain phospholipid
components, such as phosphatidylethanolamine (PE), phosphatidylcholine (PC), phos-
phatidylserine (PS) or oleic acid (OA) [18], among others. The phospholipid membrane,
which forms the lipid bilayer of a liposomal structure, consists of two clearly differenti-
ated parts: a hydrophobic tail and a hydrophilic head. Although there are numerous
chemical structures that can act as pH-sensitive hydrophilic headgroups, in this work,
imidazole-derived molecules were chosen for the design of new pH-sensitive lipids, as
they can protonate even in response to weakly acidic pH [19,20]. Specifically, Provent et
al. [21] synthesized one of such molecules, ISUCA ((F)2-(imidazol-1-yl)succinic acid) and
used this new imidazole derivative as a probe agent to measure the extracellular pH in C6
cell gliomas in rat brains. Due to its excellent response to pH changes, we selected the
ISUCA molecule to build the headgroups of our new pH-sensitive lipids. g
p
p
p
Among the different methods that are successfully applied to the study of lipid bi-
layers and liposomes, notable are those based on computational approaches. Thus, all-
atoms simulations have been employed for many years to study and understand a wide
variety of properties related to these systems [21–24]. However, this kind of method is
very compute-intensive and its use is limited to small systems. To study large-scale struc-
tures or processes that need very long time scales to complete, using other type of simu-
lation approaches is mandatory. Coarse-grained (CG) methods seems to be a good alter-
native. They involve grouping together several atoms into single sites, the so-called beads,
and significantly reduce the number of interactions between particles that need to be cal-
culated and hence, computational cost. Thus, many properties of interest in mesoscopic-
scale systems can be studied using CG simulations [25–27]. In conclusion, CG models al-
low for studies of larger systems for longer times, compared with all-atom models. They
are fast enough to simulate processes occurring even at a nanosecond time scale. For all
these reasons, the CG approach has experienced huge success in recent years. Several dif-
ferent CG models have been developed and applied to the study of diverse atomistic sys-
tems [28–31]. Notable among these is the MARTINI forcefield [28]. 1. Introduction Citation: Lado-Touriño, I.;
Cerpa-Naranjo, A. Coarse-Grained
Molecular Dynamics of pH-Sensitive
Lipids. Int. J. Mol. Sci. 2023, 24, 4632. https://doi.org/10.3390/ijms24054632
Academic Editors: Samuel De Visser
and M. Natália D. S. Cordeiro
Received: 20 January 2023
Revised: 20 February 2023
Accepted: 25 February 2023
Published: 27 February 2023 Nanoparticles that are sensitive to a variety of physical and chemical stimuli have
potentially important applications in drug delivery, and currently their development is
an area of intensive research [1–3]. Although there are many different kinds of stimuli-
sensitive nanoparticles, such as those based on polymers, colloids or liquid crystals, it is
worth highlighting among them liposomes, spherical-shaped vesicles that consist mainly
of phospholipids forming a lipid bilayer surrounding an aqueous core [4]. They show
many advantages over other types of nanostructures, such as easy production methods,
good control of liposome size and ease of charge with high drug/lipid ratios. They are
usually made of lipids that mimic biological membranes [5]. Thus, they can be used as
simple models to understand and characterize real cell membranes, which are sometimes
difficult to study. Different activation methods have been used to deliver drugs contained
inside stimuli-sensitive liposomes in a controlled manner, such as light, strain, pH, heat
or magnetic and electric fields, among others [6–12]. Specifically, pH-sensitive liposomes
are able to respond to pH changes. Their structures contain functional groups that proto-
nate/deprotonate as a function of pH value, giving rise to morphological changes in their
lipid bilayers. Thus, alteration in pH (as in tumor tissues, which present low pH due to
an increased glycolysis, which stimulates the production of lactic acid [13]), can cause
release of the entrapped drug, due to instability of the bilayers when changing their struc-
ture [14–17]. This pH change in cancer cells is a key factor for the use of these liposomes
in cancer treatment. Academic Editors: Samuel De Visser
and M. Natália D. S. Cordeiro Academic Editors: Samuel De Visser
and M. Natália D. S. Cordeiro Copyright: © 2023 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article
distributed under the terms and
conditions of the Creative Commons
Attribution
(CC
BY)
license
(https://creativecommons.org/license
s/by/4.0/). www.mdpi.com/journal/ijms Int. J. Mol. Sci. 2023, 24, 4632. https://doi.org/10.3390/ijms24054632 Int. J. Mol. Sci. 1. Introduction This forcefield has been
successfully used to study different biological systems such as lipids [32], liposomes [33],
proteins [34], carbohydrates [35] and amino acids [36]. In this work, we report novel types of lipids derived from the ISUCA molecule and
use them to build models of pure-lipid bilayers (ISUCA and POPC-(1-palmitoyl-2-oleoyl-
sn-glycero-3-phosphocholine)), as well as mixed-lipid bilayers made of POPC and
ISUCA-derived lipids. We studied these new bilayers under neutral and acidic conditions,
using CG molecular dynamics (CGMD).We explored their structural stability by means
of calculation of some characteristic parameters of the lipids, such as the average area per
lipid, hydrophobic thickness, second-rank order parameters and diffusion coefficients. Bearing in mind that the ultimate goal of our research is the design and synthesis of new
pH-sensitive liposomes made of this kind of lipid, we think that we can start our study
through the simulation of the structural and dynamical properties, under different pH-
conditions, of smaller and simpler models, such as those presented herein. If the results
are satisfactory, the best structures may be subsequently used to produce liposomes in the
laboratory. 2.1. Structural Properties: Equlilibrium Area per Lipid, Hydrophobic Thickness and
Second-Rank Order Parameter 2. Results and Discussion The characterization of the lipid bilayers was carried out by computing structural
and dynamical properties from the CGMD trajectory obtained from the simulations. The
results for both kind of properties are presented separately in the following sections: 2.1. Structural Properties: Equlilibrium Area per Lipid, Hydrophobic Thickness and
Second-Rank Order Parameter The equilibrium area per lipid (APL) and the hydrophobic thickness of all lipid bi-
layers considered in this study, are shown in Table 1. The composition of each system is Int. J. Mol. Sci. 2023, 24, 4632 3 of 16 described in the Materials and Methods section, as detailed below. Both properties pro-
vide information about the structure of the lipid bilayer. If, for some reason, this structure
changes, this should be reflected in the values of APL and hydrophobic thickness. described in the Materials and Methods section, as detailed below. Both properties pro-
vide information about the structure of the lipid bilayer. If, for some reason, this structure
changes, this should be reflected in the values of APL and hydrophobic thickness. Table 1. APL and hydrophobic thickness of bilayers. The calculated volumes of the lipid head-
groups are also shown in the last two rows. Model
APL (Å2)
Hydrophobic Thickness (Å)
POPC
67.0 ± 0.1 (exp: 62–68) 1
14.8 ± 1.2
ISUCA-2 Pal
70.3 ± 0.2
15.7 ± 0.4
ISUCA-2 Ol
73.1 ± 0.1
14.4 ± 0.7
ISUCA-Pal Ol
71.3 ± 0.1
14.5 ± 0.5
50:50 POPC/ISUCA-2 Pal
70.3 ± 0.1
14.8 ± 0.6
50:50 POPC/ISUCA-2 Ol
70.4 ± 0.1
11.7 ± 0.4
50:50 POPC/ISUCA-Pal-Ol
70.4 ± 0.2
12.9 ± 0.8
90:10 POPC/ISUCA ISUCA-Pal-Ol
70.4 ± 0.1
13.1 ± 0.5
90:10 POPC/ISUCA+-Pal-Ol
(protonated ISUCA)
70.8 ± 0.1
12.5 ± 0.5
Headgroup
Volume (Å3)
POPC
170
ISUCA
158
1 Depending on the hydration level of the bilayer. Interaction of head groups with surrounding wa-
ter influences APL. Table 1. APL and hydrophobic thickness of bilayers. The calculated volumes of the lipid head-
groups are also shown in the last two rows. The APL is defined as the area of the surface bilayer (perpendicular to the bilayer)
divided by the number of lipids in each monolayer. For instance, the value for POPC (67
Å2) is obtained by multiplying the dimensions of its surface (see Figure 1: 62.4 Å × 62.4 Å)
by the number of lipids in the monolayer (58). It is an important property of biological
and synthetic membranes. 2. Results and Discussion In more ordered systems, the lipids are more densely packed,
which results in smaller distances between them and lower APL values. Thus, it is lower
for more ordered systems and also for lipids with smaller headgroups [37,38]. The APL of
POPC calculated in this work, is close to the experimental value of 68 Å2 at high hydration
levels [39,40]. The number of water molecules per lipid is 63.4 in our models, which means
an elevated hydration level. To rule out the effect of lipid size on the APL (as smaller lipids
usually have lower APL values), the headgroup volume was calculated for both kinds of
lipids (POPC and ISUCA-derived lipids), and is shown in the last two rows of Table 1. Hydrophobic tails are not taken into account, as they are the same for all lipids, that is to
say, what differentiates POPC from ISUCA-derived lipids is only the headgroup. Alt-
hough the ISUCA headgroup is smaller, the APL of ISUCA-derived lipids is larger, which
could indicate less-structured bilayers. The increase in APL values is observed in both
pure and mixed bilayers, although it is much more accentuated in pure systems (see first
four rows in Table 1). Mixed bilayers present APL values falling between those of the pure
bilayers. Furthermore, the effect of introducing an unsaturated fatty acid in the lipid tails,
results in an increase in APL values. The ISUCA-2 Ol bilayer, containing two unsaturated
chains in its structure, present the highest value of all (73.1 Å2). This result is well-known
and has been found by many other authors [41–44] in different lipid bilayers, as unsatu-
rated chains give rise to less-ordered structures, which in turn leads to higher APL values. All mixed bilayers present APL values lower than that of pure POPC. This could indicate
that, when ISUCA-derived lipids are introduced into a POPC membrane, its structure is
somewhat disrupted and its disorder increases. Protonation of the structure leads to a
slight increase in APL. The hydrophobic thickness, the thickness of the hydrocarbon tails, follows the same
trend as that of the APL values. For clarity, Figure 2 shows a schematic representation of
a lipid bilayer, indicating how hydrophobic thickness is defined. It is well known that
ordered structures present higher hydrophobic-thickness values, as they are more rigid Int. J. Mol. Sci. 2023, 24, 4632 4 of 16 4 of 16 and longer [39,41]. 2. Results and Discussion Unsaturated chains decrease hydrophobic thickness. In general, bi-
layers containing ISUCA-derived lipids, both pure or mixed, present lower hydrophobic
thicknesses. The only exception is ISUCA-2 Pal (see second row of Table 1). This could be
because it is the only lipid in this study with two saturated hydrocarbon chains in its
structure, which are longer than unsaturated chains. The effect of concentration and pro-
tonation on the hydrophobic thickness is clearly seen in the last three rows of the table
(only POPC/ISUCA-Pal-Ol bilayers were considered for this study). Increasing the
ISUCA-derived lipid concentration (pure POPC: 14.8 Å; 90% POPC: 13.1 Å; 50% POPC:
12.9 Å) or protonating the imidazole ring (12.5 Å, compare the last two rows of Table 1 for
lipid bilayers containing 90% POPC) shortens the hydrophobic thickness, which points,
once again, to more disordered structures. However, hydrophobic-thickness results must
be taken with caution, as the calculated standard deviations of the data are high. g
As an example, Figure 1 shows the top view (normal for the lipid bilayer) of two of
the bilayers studied (pure POPC and ISUCA-2 Pal) at the end of the simulation. For clarity,
water molecules, located above and below the lipid bilayer, are hidden. As can be seen,
the pure POPC bilayer shows a more regular and ordered distribution of lipids, in accord-
ance with APL and hydrophobic-thickness results. ISUCA-derived lipids heads tend to
agglomerate, resulting in more disorganized structures. Figure 1. Top view of pure POPC and ISUCA-2 Pal lipid bilayers. Grey balls represent hydrocarbon
tails. Figure 1. Top view of pure POPC and ISUCA-2 Pal lipid bilayers. Grey balls represent hydrocarbon
tails. 5 of 16 Int. J. Mol. Sci. 2023, 24, 4632 Figure 2. Schematic representation of a lipid bilayer and hydrophobic thickness. Figure 2. Schematic representation of a lipid bilayer and hydrophobic thickness. The second-rank order parameter, P2, is another way of quantifying the packing and
ordering of lipids. It represents a measure of the alignment of hydrocarbon tails with the
bilayer normal. P2 is defined as P2 = <1/2 (3cos2θ − 1)>
(1) (1) with θ the angle between the direction of a bond (or a vector) and bilayer normal. Perfect
alignment of bonds of the hydrocarbon tails with the lipid bilayer is indicated by P2 = 1,
and a random orientation with P2 = 0 (Figure 3). 2. Results and Discussion In this work, two different P2 parameters
were defined and calculated: the bond order parameter (P2b), for consecutive tail bonds,
and the tail order parameter (P2t), for the vector joining beads C1 and C4 of the hydrocar-
bon tail (see Figure 4). Figure 3. Relationship between P2 and degree of order of a lipid bilayer. Figure 3. Relationship between P2 and degree of order of a lipid bilayer. 6 of 16 Int. J. Mol. Sci. 2023, 24, 4632 Figure 4. Numbering of beads used to calculate order parameters. Figure 4. Numbering of beads used to calculate order parameters. Figures 5 and 6 show the calculated values of both order parameters, P2b and P2t, of
the pure bilayers considered in this study. It must be noted that the results of each indi-
vidual hydrocarbon chain (palmitic- and oleic-acid-derived chains) are presented sepa-
rately for all lipids. Figure 5. P2b for pure lipids: pal = palmitic hydrocarbon chain, ol = oleic hydrocarbon chain. Figure 5. P2b for pure lipids: pal = palmitic hydrocarbon chain, ol = oleic hydrocarbon chain. 7 of 16 Int. J. Mol. Sci. 2023, 24, 4632 7 of 16 Figure 6. P2t for pure lipids: pal = palmitic hydrocarbon chain, ol = oleic hydrocarbon chain. It is well-known, and also found in this work, that the order parameter decreases
with the distance from the headgroup (c1-c2 > c2-c3 > c3-c4), with the bonds closest to the
hydrophilic head being, more ordered than the bonds farther apart. The POPC P2b values
of these bonds are around 0.3. These results agree with typical experimental values found
in reference [45]. The calculated average P2t for POPC (average value for the two hydro-
phobic chains) has a value of 0.31, which is close to the result found by other authors [46]. In the same way, P2b parameters are similar to those calculated in reference [47]. Moreover,
the P2 of the saturated hydrocarbon chains (pal) are greater than those of the unsaturated
chains (ol), which indicates a more regular packing of the former. This result applies to
both P2b and P2t. In addition, in all systems studied in this work, the ISUCA-derived lipids
have a lower degree of order, as evidenced by their smaller P2 values (note the decreasing
trend of the P2 values from left to right in Figures 5 and 6). As expected, the unsaturated
chains show smaller P2 values. Figures 7–9 depict results for 50:50 lipid mixtures. To enable a comparison between
pure and mixed bilayers, P2 values of pure lipids are also shown in these figures. Figure 7. P2t and P2b for POPC/ISUCA-Pal Pal mixtures. Figure 7. P2t and P2b for POPC/ISUCA-Pal Pal mixtures. Int. J. Mol. Sci. 2023, 24, 4632 8 of 16 8 of 16 Figure 8. P2t and P2b for POPC/ISUCA-Pal Ol mixtures. Figure 8. P2t and P2b for POPC/ISUCA-Pal Ol mixtures. Figure 9. P2t and P2b for POPC/ISUCA-Ol Ol mixtures. Figure 9. P2t and P2b for POPC/ISUCA-Ol Ol mixtures. POPC/ISUCA mixtures follow the same trend as that of bilayers made of pure lipids:
a smaller-order parameter for bonds farther away from headgroups (c1-c2 > c2-c3 > c3-c4),
and unsaturated chains. The most remarkable result shown in these figures is the fact that
that both P2t and P2b parameters of pure-lipid bilayers are clearly larger than those of their
respective mixtures. This clearly indicate that mixed bilayers are less ordered than pure
bilayers, as previously found by APL and hydrophobic-thickness calculations. y
p
y
y
y
p
Finally, the effect of lipid-bilayer composition, as well as that of protonation of the
ISUCA moiety in POPC/ISUCA-Pal Ol mixtures, is shown in Figure 10. Finally, the effect of lipid-bilayer composition, as well as that of protonation of the
ISUCA moiety in POPC/ISUCA-Pal Ol mixtures, is shown in Figure 10. 9 of 16 Int. J. Mol. Sci. 2023, 24, 4632 Figure 10. P2t (top) and P2b (bottom) for POPC/ISUCA Pal Ol mixtures of varying composition. Figure 10. P2t (top) and P2b (bottom) for POPC/ISUCA Pal Ol mixtures of varying composition. As expected, both P2t and P2b parameters decrease when the ISUCA-derived lipid
concentration increases (0% > 10% > 50%). What is worth noting is the effect of protonation
(marked with a plus sign in Figure 10). A noticeable reduction in both the P2t and P2b pa-
rameters is observed (compare values for protonated and unprotonated 90 POPC + 10
ISUCA Pal Ol bilayers), which indicates a less-ordered structure in the protonated case. This result is very promising in terms of accomplishing our goals, the design of new pH-
sensitive liposomes, as it shows that a pH change could lead to a variation in the lipid
bilayer structure, towards a more disordered state. In short, the introduction and protonation of ISUCA-derived lipids in a POPC bilayer
causes a significant increase in disorder, as indicated by the values of the three structural
parameters, APL, hydrophobic thickness and P2, calculated in this work. 2.2. Dynamic Properties: Diffusion Coefficient 2.2. Dynamic Properties: Diffusion Coefficient In addition to characterizing the structural parameters of these new membranes, the
dynamics of the lipids was also studied by calculating the lipid lateral-diffusion coeffi-
cient, D. D can also provide information about the structure and ordering of the mem-
brane. It is related to lipid mobility inside each monolayer. Thus, lipid lateral diffusion
reflects the translational motion of lipids along the monolayer. Highly fluctuating and
mobile lipids are indicative of disorder. The packing of lipids and how they are arranged
in the bilayer are important properties that seem to strongly affect the lateral-diffusion
coefficients [48]. In general, a closer packing of the lipids and well-ordered bilayers results
in a decrease in D and reduced lateral diffusivity. D was derived from the slope of the mean squared displacement (MSD) of lipids
versus time plots, assuming Fickian diffusion: 𝑀𝑀𝑀𝑟𝑡𝛥𝛥𝑟𝑟𝑡𝐷𝑡𝑁 𝑀𝑀𝑀𝑀𝑀𝑀= ൻ൫𝑟𝑟𝑖𝑖(𝑡𝑡+ 𝛥𝛥𝛥𝛥) −𝑟𝑟𝑟𝑟(𝑡𝑡)൯
2
ൿ= 4 · 𝐷𝐷· 𝑡𝑡
𝑁𝑁
𝑖𝑖=1
(2) (2) where vector ri(t) is the position of the ith bead at time t, and ri(t + Δt) the position of the
same bead, an interval Δt later. The calculated D values are shown in Table 2. Int. J. Mol. Sci. 2023, 24, 4632 10 of 16 Table 2. Calculated D of the different bilayers studied. Table 2. Calculated D of the different bilayers studied. Model
D (×07 cm2·s−1)
POPC
2.2 (exp.: 1.9)
ISUCA-2 Pal
3.3
ISUCA-2 Ol
5.7
ISUCA-Pal Ol
5.6
50:50 POPC/ISUCA-2 Pal
3.0
50:50 POPC/ISUCA-2 Ol
3.4
50:50 POPC/ISUCA-Pal-Ol
3.4
90:10 POPC/ISUCA ISUCA-Pal-Ol
2.4
90:10 POPC/ISUCA+-Pal-Ol
2.6
(protonated ISUCA) The calculated lateral D of all lipid bilayers are of the order of 10−7 cm2·s−1, typical for
lateral-diffusion rates of lipids in the fluid phase [49]. The POPC diffusion coefficient is
close to the experimental result [50]. The diffusion coefficients of pure systems are larger
for ISUCA-derived lipid bilayers (compare the first four rows of Table 2) and a noticeable
increase is seen when unsaturated chains are introduced into the lipid composition (2 Pal:
3.3; Pal Ol: 5.6; Ol Ol: 5.7). The ISUCA-2 Pal system present a diffusion coefficient that is
larger than that of pure POPC (2.2), but lower than those of the other two mixed bilayers. These results are in accordance with results found in previous investigations [46], which,
moreover, established a relationship between APL and D. Apajalahti et al. 2.2. Dynamic Properties: Diffusion Coefficient [51] also found
a clear positive correlation between D values and disordered structures: the more ordered
the system is, the slower the diffusion. Once again, our results seem to indicate that ISUCA
and oleic acid help to disrupt lipid bilayers, making them more fluid, disordered and dy-
namic. Mixed bilayers present D values falling between those of pure bilayers. The greater
the amount of ISUCA, the greater the D value (pure POPC: 2.2; 90% POPC: 2.4; 50% POPC:
3.4): the protonated structure shows a slightly higher D value (2.6) than that of the unpro-
tonated system (2.4), although the effect of protonation and hydrocarbon-chain composi-
tion on D is less accentuated in mixed systems than in pure systems. Although lipid bilayers are not the ultimate goal of our research, we think that the
use of such simpler models can be useful to study the behavior of more complex systems,
such as liposomes, under different pH conditions. We have found that by using ISUCA-
derived headgroups, changing the composition of the hydrocarbon tails and lowering the
pH, all parameters calculated (APL, P2, D, and hydrophobic thickness) point to an increase
in disorder in the lipid bilayers. This, although not definitive, could be a good starting
point to design new pH-sensitive liposomes made of this kind of lipids. Future work must
focus on varying the proportions of the three ISUCA derivatives, different degrees of pro-
tonation and, of course, the CGMD of liposomes, incorporating the most promising com-
ponents found in our lipid-bilayer simulations. 3. Materials and Methods The models used to represent the lipid bilayers, as well as the computational proce-
dure followed to calculate the properties discussed in the previous section, are presented
below: 3.1. Models The chemical structures used to construct the lipid bilayers are shown in Figure 9. We designed three different ISUCA-derived lipids: they all consisted of a hydrophilic Int. J. Mol. Sci. 2023, 24, 4632 11 of 16 11 of 16 head (ISUCA) and two hydrophobic tails made of hydrocarbon chains derived from pal-
mitic acid (ISUCA-2 Pal), oleic acid (ISUCA-2 Ol) or both (ISUCA-Pal-Ol). The POPC
structure is also shown in Figure 11. Different lipid bilayers were then built from lipids shown in Figure 11: pure lipid
bilayers (POPC and ISUCA-derived lipids), as well as their mixtures in different propor-
tions. Although we are mainly interested in mixed systems, pure bilayers were used in
this study for the sake of comparability. The composition of all models considered in this
study, is shown in Table 3. To study the effect of concentration and protonation, only
ISUCA-Pal Ol structures were used. Table 3. Composition of the bilayers studied by CGMD. Pure Lipids
Mixtures
POPC
50:50 POPC/ISUCA-2 Pal
ISUCA-2 Pal
50:50 POPC/ISUCA-2 Ol
ISUCA-2 Ol
50:50 POPC/ISUCA-Pal-Ol
ISUCA-Pal Ol
90:10 POPC/ISUCA-Pal-Ol
90:10 POPC/ISUCA+-Pal-Ol
(protonated ISUCA)
Figure 11. Chemical structures of POPC and ISUCA-derived lipids used in the construction of the
lipid bilayers. The lipids were represented by beads, as shown in Figure 12. This bead representa-
tion is typical of the MARTINI forcefield and is well documented in reference [28]. The
Martini forcefield was chosen to calculate bead interactions, and has been successfully
applied to the study of numerous systems, including both liposomes [33] and lipid bi- Table 3. Composition of the bilayers studied by CGMD. Table 3. Composition of the bilayers studied by CGMD. Table 3. Composition of the bilayers studied by CGMD. Pure Lipids
Mixtures
POPC
50:50 POPC/ISUCA-2 Pal
ISUCA-2 Pal
50:50 POPC/ISUCA-2 Ol
ISUCA-2 Ol
50:50 POPC/ISUCA-Pal-Ol
ISUCA-Pal Ol
90:10 POPC/ISUCA-Pal-Ol
90:10 POPC/ISUCA+-Pal-Ol
(protonated ISUCA) Figure 11. Chemical structures of POPC and ISUCA-derived lipids used in the construction of the
lipid bilayers. Figure 11. Chemical structures of POPC and ISUCA-derived lipids used in the construction of the
lipid bilayers. Figure 11. Chemical structures of POPC and ISUCA-derived lipids used in the construction of the
lipid bilayers. The lipids were represented by beads, as shown in Figure 12. This bead representa-
tion is typical of the MARTINI forcefield and is well documented in reference [28]. 3.1. Models The
Martini forcefield was chosen to calculate bead interactions, and has been successfully
applied to the study of numerous systems, including both liposomes [33] and lipid bi-
layers [34]. For POPC, the headgroup consisted of two hydrophilic beads to represent the Int. J. Mol. Sci. 2023, 24, 4632 12 of 16 12 of 16 amine group and the phosphate moiety, and two intermediately hydrophilic ones for the
glycerol moiety. Each of the two tails was modeled by four hydrophobic particles. We
took the parameter set for POPC from ref [28]. The tails of the ISUCA-derived lipids were
represented in the same way, while the headgroup consisted of three beads for the imid-
azole group and two beads for glycerol (right panel in Figure 10). Because this structure
was not previously parameterized in the Martini forcefield and because of the lack of ex-
perimental data, bonded parameters for the headgroups of ISUCA-derived lipids were
obtained from all-atoms molecular dynamics. The force-field parametrization procedure
as well as the parameters obtained from the all-atoms calculations that were subsequently
used in our model, are given in the Supplementary Material. The coarse-grained model
used to parameterize the ISUCA headgroup and the atomistic model of the lipid bilayer
are shown in Figure S1 and Figure S2, respectively. Figure S3 depicts a comparison of
structural parameters obtained from both atomistic and CG molecular dynamics simula-
tions. The functional forms and parameters used to describe bonded interactions of the
headgroup of ISUCA-derived lipids are listed in Table S1. Some other parameters for the
imidazole group were taken from reference [29]. The solvent was modeled by individual
hydrophilic particles, each representing four real water molecules. A specific problem of
the CG model used (and which we found in our simulations) is that the water has a freez-
ing temperature that is somewhat too high, compared to real water. This phenomenon is
accentuated in systems containing nucleation sites, confined geometries and periodic con-
ditions, as in our models. This results in the solidification of water and leads to unrealistic
results. To overcome the effects of higher freezing temperatures, we used 30% antifreeze
particles in our calculations, as recommended in reference [28]. Figure 12. Structures of the molecules in the CG model. Figure 12. Structures of the molecules in the CG model. All lipid bilayers contained 116 lipids (58 in each monolayer) and 1840 water beads
(including antifreeze particles). 3.2. Calculation Method All systems were simulated with the Mesocite module [52] of the Materials Studio
7.0 software [53], using periodic boundary conditions (cell parameters are shown in Table
4) in the NPT ensemble (number of particles N, pressure P and temperature T, constant)
and an effective simulation time of 4 μs using a time step of 20 fs. The effective simulation
time is defined as the actual simulation time multiplied by a factor of 4. This scaling factor
was previously found to reproduce both lipid lateral-diffusion rates and the self-diffusion
of water [54]. Monitoring the APL value indicated that the systems had reached equilib-
rium after 4 μs. The temperature was controlled by a Nose thermostat [55] and kept con-
stant at 310K. An Andersen barostat [56] was used to maintain pressure at 1 bar. To cal-
culate Coulomb interactions between charged particles, the Ewald summation method
was used and a bead-based cutoff method was applied for van der Waals interactions. The cutoff distance for both interactions was 12.5 Å. Due to the long computational times
required to characterize the systems, all simulations started in the bilayer state. Before
starting the CGMD simulations, the starting configurations of the lipid bilayers were en-
ergy minimized to remove any possible bad contacts among the atoms. 3.1. Models The composition of each bilayer, as well as the model di-
mensions used in the simulations, are shown in Table 4. Table 4. Number of beads and cell dimensions of the bilayers studied by CGMD. Table 4. Number of beads and cell dimensions of the bilayers studied by CGMD. Model
No. of POPC No. of ISUCA Model Dimensions (Å3)
POPC
116
ISUCA-2 Pal
0
116
63.8 × 63.9 × 90.0
ISUCA-2 Ol
0
116
65.1 × 65.1 × 87.9
ISUCA.-Pal Ol
0
116
64.3 × 64.3 × 89.5
50:50 POPC/ISUCA-2 Pal
58
58
64.3 × 63.4 × 91.9
50:50 POPC/ISUCA-2 Ol
58
58
64.3 × 63.4 × 91.9
50:50 POPC/ISUCA-Pal-Ol
58
58
64.3 × 63.4 × 91.9 Table 4. Number of beads and cell dimensions of the bilayers studied by CGMD. Model
No. of POPC No. of ISUCA Model Dimensions (Å3) Int. J. Mol. Sci. 2023, 24, 4632 13 of 16 90:10 POPC/ISUCA ISUCA-Pal-Ol
104
12
64.3 × 63.5 × 92.0
90:10 POPC/ISUCA+-Pal-Ol
(protonated ISUCA) 1
104
12
64.4 × 63.5 × 91.9 1 Cl− counterions were added to ensure the overall neutrality of the system under acidic conditions
They were represented by a charged Qai particle. Author Contributions: Methodology, I.L.-T. and A.C.-N.; software, I.L.-T.; investigation, I.L.-T. and
A.C.-N.; resources, I.L.-T. and A.C.-N.; writing—original draft preparation, I.L.-T.; writing—review 4. Conclusions Informed Consent Statement: Not applicable. Data Availability Statement: Not applicable. Acknowledgements. We would like to dedicate this work to the memory of Sebastián Cerdán Gar-
cía-Esteller. It would not have been possible without his valuable help. This article is our personal
tribute to him. The authors also want to thank Universidad Europea de Madrid for financial sup-
port. Conflicts of Interest: The authors declare no conflicts of interest. The funders had no role in the
design of the study; in the collection, analyses, or interpretation of data; in the writing of the manu-
script; or in the decision to publish the results. References 1. Drummond, D.C.; Zignani, M.; Leroux, J.-C. Current status of pH-sensitive liposomes in drug delivery. Prog. Lipid Res. 2000, 39,
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layers made of POPC and/or ISUCA-derived lipids, using CGMD simulations. We think
that these new chemical structures can be used as a good starting point to study and, if
the results are promising, synthesize pH-sensitives liposomes made of the lipids studied
in this work. The values obtained for the area per lipid, hydrophobic thickness, order pa-
rameter and diffusion coefficients seem to indicate an increase in disorder of the structures
when ISUCA-derived lipids form part of the bilayer. The area per lipid increases with
increasing concentration of ISUCA-derived lipids and the introduction of unsaturated
bonds in the hydrocarbon tails. The increase in area per lipid is observed in both pure and
mixed bilayers. The same trends are observed for order parameters. They are smaller
when greater amounts of unsaturated ISUCA-derived lipids are present in the structure. Hydrophobic thickness points in the same direction, although due to higher standard de-
viations of the data, these results should be interpreted with caution. Diffusion coefficients
are larger for ISUCA-derived lipid bilayers and a noticeable increase is seen when unsatu-
rated chains are introduced into the lipid composition. Protonating the ISUCA-derived
headgroup probably disrupts the bilayer, as indicated by a marked decrease in the order
parameter compared to the non-protonated structure, a slight increase in the diffusion
coefficient and hydrophobic thickness, and a larger APL value. y
p
g
Although more calculations of more diverse structures, both lipid bilayers and lipo-
somes, with varying concentrations of ISUCA-derived lipids and different degrees of pro-
tonation are required to reach firmer conclusions, we think that these initial results are
encouraging. The introduction of ISUCA disrupts the structure of the POPC bilayer, and
therefore the new lipids designed in this research could be a good basis for developing
new pH-sensitive liposomes. Supplementary Materials: The following supporting information can be downloaded at
https://www.mdpi.com/article/10.3390/ijms24054632/s1. References [29,57–62] are cited in the Sup-
plementary Materials. Author Contributions: Methodology, I.L.-T. and A.C.-N.; software, I.L.-T.; investigation, I.L.-T. and
A.C.-N.; resources, I.L.-T. and A.C.-N.; writing—original draft preparation, I.L.-T.; writing—review Int. J. Mol. Sci. 2023, 24, 4632 14 of 16 14 of 16 and editing, I.L.-T. and A.C.-N. All authors have read and agreed to the published version of the
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A peptide from the staphylococcal protein Efb binds P‐selectin and inhibits the interaction of platelets with leukocytes
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Journal of thrombosis and haemostasis
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Citation for published version:
Wallis, S, Wolska, N, Englert, H, Posner, M, Upadhyay, A, Renne, T, Eggleston, I, Bagby, S & Pula, G 2022, 'A
peptide from the staphylococcal protein Efb binds P-selectin and inhibits the interaction of platelets with
leukocytes', Journal of Thrombosis and Haemostasis, vol. 20, no. 3, pp. 729-741. https://doi.org/10.1111/jth.15613 DOI:
10.1111/jth.15613 DOI:
10.1111/jth.15613 Publication date:
2022 Document Version
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and investigate your claim. Citation for published version:
Wallis, S, Wolska, N, Englert, H, Posner, M, Upadhyay, A, Renne, T, Eggleston, I, Bagby, S & Pula, G 2022, 'A
peptide from the staphylococcal protein Efb binds P-selectin and inhibits the interaction of platelets with
leukocytes', Journal of Thrombosis and Haemostasis, vol. 20, no. 3, pp. 729-741.
https://doi.org/10.1111/jth.15613 Alternative formats
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openaccess@bath.ac.uk General rights
Copyright and moral rights for the publications made accessible in the public portal are retained by the authors and/or other copyright owners
and it is a condition of accessing publications that users recognise and abide by the legal requirements associated with these rights. SHORT TITLE: A novel peptide antagonist of P-selectin
d Stuart Wallis 1,2, Nina Wolska 2, Hanna Englert2, Mareike Posner1,3, Abhishek Upadhyay1,
Thomas Renné2,4, Ian Eggleston5, Stefan Bagby1 and Giordano Pula2§. ed Stuart Wallis 1,2, Nina Wolska 2, Hanna Englert2, Mareike Posner1,3, Abhishek Upadhyay1,
Thomas Renné2,4, Ian Eggleston5, Stefan Bagby1 and Giordano Pula2§. 1Departments of Biology and Biochemistry, University of Bath, United Kingdom; 2Institute
of Clinical Chemistry and Laboratory Medicine, University Medical Center Eppendorf -
Hamburg, Hamburg, Germany; 3Department of Life Sciences, Manchester Metropolitan
University, Manchester, United Kingdom; 4Center for Thrombosis and Hemostasis (CTH),
Johannes Gutenberg University Medical Center, Mainz, Germany, 5Department of
Pharmacy and Pharmacology, University of Bath, United Kingdom. §Corresponding author: University Medical Center Eppendorf Hamburg (UKE), Institute
for Clinical Chemistry and Laboratory Medicine, Martinistrasse 52, 20246 Hamburg,
Germany Email: g pula@uke de Phone: +49 (0) 40 7410 54552
cepted 1Departments of Biology and Biochemistry, University of Bath, United Kingdom; 2Institute
of Clinical Chemistry and Laboratory Medicine, University Medical Center Eppendorf -
Hamburg, Hamburg, Germany; 3Department of Life Sciences, Manchester Metropolitan
University, Manchester, United Kingdom; 4Center for Thrombosis and Hemostasis (CTH),
Johannes Gutenberg University Medical Center, Mainz, Germany, 5Department of
Pharmacy and Pharmacology, University of Bath, United Kingdom. epte §Corresponding author: University Medical Center Eppendorf Hamburg (UKE), Institute
for Clinical Chemistry and Laboratory Medicine, Martinistrasse 52, 20246 Hamburg,
Germany. Email: g.pula@uke.de, Phone: +49 (0) 40 7410 54552. cce MR STUART WALLIS (Orcid ID : 0000-0002-6908-9168)
DR NINA MALGORZATA WOLSKA (Orcid ID : 0000-0002-8982-9741)
DR GIORDANO PULA (Orcid ID : 0000-0002-7769-1140)
cle Article type : Original Article
rt TITLE: A peptide from the staphylococcal protein Efb binds P-selectin and inhibits the
interaction of platelets with leukocytes
A SHORT TITLE: A novel peptide antagonist of P-selectin
d ESSENTIALS
Ac
Efb, an S. aureus protein, binds P-selectin and inhibits the platelet/leukocyte
interaction. A
Efb, an S. aureus protein, binds P-selectin and inhibits the platelet/leukocyte
interaction. A This article has been accepted for publication and undergone full peer review but has not been
through the copyediting, typesetting, pagination and proofreading process, which may lead to
differences between this version and the Version of Record. Please cite this article as doi:
10.1111/JTH.15613
A This article has been accepted for publication and undergone full peer review but has not been
through the copyediting, typesetting, pagination and proofreading process, which may lead to
differences between this version and the Version of Record. Please cite this article as doi:
10.1111/JTH.15613
A 10.1111/JTH.15613 This article is protected by copyright. All rights reserved
Here, we aimed to identity and characterise the Efb motif responsible for P-
selectin binding. e
Efb68-87 binds platelets in a P-selectin-dependent manner without affecting their
activation. le
Efb68-87 binds platelets in a P-selectin-dependent manner without affecting their
activation. le
Efb68-87 inhibits the formation of PLAs and the platelet-dependent stimulation of
NETs in vitro. c ABSTRACT
ti Aims: P-selectin is a key surface adhesion molecule for the interaction of platelets with
leukocytes. We have shown previously that the N-terminal domain of S. aureus
extracellular fibrinogen-binding protein (Efb) binds to P-selectin and interferes with
platelet-leukocyte aggregate formation. Here, we aimed to identify the minimal Efb motif
required for binding platelets and to characterise its ability to interfering with the formation
of platelet-leukocyte aggregates. Art Methods and Results: Using a library of synthetic peptides, we mapped the platelet-
binding site to a continuous 20 amino acid stretch. The peptide Efb68-87 was able to bind
to resting and, to a greater extent, thrombin-stimulated platelets in the absence of
fibrinogen. Dot blots, pull-down assays and P-selectin glycoprotein ligand-1 (PSGL-1)
competitive binding experiments identified P-selectin as the cellular docking site
mediating Efb68-87 platelet binding. Accordingly, Efb68-87 did not bind to other blood cells
and captured platelets from human whole blood under low shear stress conditions. Efb68-
87 did not affect platelet activation as tested by aggregometry, flow cytometry and
immunoblotting, but inhibited the formation of platelet-leukocyte aggregates (PLAs). Efb68-87 also interfered with the platelet-dependent stimulation of neutrophil extracellular
traps (NETs) formation in vitro. epted A Conclusions: We have identified Efb68-87 as a novel selective platelet-binding peptide. Efb68-87 binds directly to P-selectin and inhibits interactions of platelets with leukocytes
that lead to PLA and NET formation. As PLAs and NETs play a key role in
thromboinflammation, Efb68-87 is an exciting candidate for the development of novel
selective inhibitors of the proinflammatory activity of platelets. Acce Word count (abstract): 246
A Word count (abstract): 246
A Word count (abstract): 246
A This article is protected by copyright. All rights reserved This article is protected by copyright. All rights reserved Word count (main text)): 4,113
Number of References: 50
Keywords: thromboinflammation, P-selectin, platelet, leukocyte, platelet-leukocyte
aggregate, neutrophil extracellular trap. le This article is protected by copyright. All rights reserved INTRODUCTION
c Our understanding of the role of platelets in vascular health has significantly progressed
in recent years. In addition to platelets’ established role in haemostasis and thrombosis,
their participation in inflammatory responses has become evident (1). The role of platelet
pro-inflammatory activity for progression of cardiovascular disease has attracted
considerable attention (2). In addition to their ability to release pro-inflammatory cytokines
(3) and modulate the release of cytokines by leukocytes (4), platelets directly interact with
leukocytes to form platelet-leukocyte aggregates (PLAs) (5). PLA formation has been
shown to facilitate leukocyte homing and extravasation at the site of vascular injury, thus
promoting inflammation (6). Inflammation is a key factor in vascular complications and
cardiovascular diseases (7). PLAs are in fact increased in coronary syndromes, in the
form of platelet-monocyte (8-12) and platelet-neutrophil complexes (13). PLA formation
also increases as a consequence of coronary surgical intervention (14). Although CD40-
CD40L interactions (15) and the binding of the leukocyte receptor CD11b/CD18 (Mac-1)
with either platelet glycoprotein receptor GPIBα (16) or platelet integrin αIIbβ3 (17)
participate in the formation of PLAs, the interaction of platelet P-selectin and its
physiological ligand P-selectin glycoprotein ligand-1 (PSGL-1) on leukocytes is critical for
the heterotypic aggregation of these cell types (18). The interaction of platelets with
neutrophils has particularly important pathophysiological consequences. Platelets can
induce the formation of neutrophil extracellular traps (NETs) (19). While NETs have
originally been described in host-defence processes (20), their role in the onset and
progression of venous and arterial thrombosis has been shown in animal models and
clinical studies (21-23). As for PLAs, the binding of P-selectin on platelets with PSGL-1
on leukocytes is a critical step in NET formation (24). ccepted Artic Because of its role in the interaction of platelets with leukocytes, P-selectin has attracted
increasing interest as a drug discovery target to develop pharmacobiological agents able
to control inflammation and vascular degeneration via disruption or reduced formation of
Ac This article is protected by copyright. All rights reserved PLAs and NETs. The clinical potential of P-selectin inhibitors requires further
investigation. We have shown previously that extracellular fibrinogen binding protein
(Efb), a protein secreted by Staphylococcus aureus (S. aureus), directly binds P-selectin
and inhibits its interaction with PSGL-1 (25). INTRODUCTION
c Efb comprises an N-terminal secretion signal, a N-terminal
domain lacking structural organisation (Efb-N, residues Ser30-Thr104), and a tri-helical
bundle C-terminal domain (Efb-C, residues Ile105-Lys165) (29) (Figure 1A). Efb-N
includes two repeated motifs (residues Asn46-Pro67 and Asn77-Ala98) that are
homologous to S. aureus coagulase repeats and that are part of fibrinogen binding sites
comprising
residues
Ser30-Pro67
and
Lys68-Ala98
(30). Efb-C
plays
an
immunosuppressive role by interfering with the complement system (29, 31). In
combination, Efb-N and Efb-C facilitate S. aureus escape from phagocytosis and
increase S. aureus pathogenicity (32). In fact, S. aureus infections are significantly
exacerbated in vivo in the presence of Efb (33). d Article In this study, we mapped the P-selectin-binding site in Efb-N using a peptide scanning
approach. A 20 aa-peptide located within Efb-N between Lys68 and Glu87 bound P-
selectin. We show here that this peptide selectively binds platelets, without affecting their
haemostatic function, and inhibits platelets’ ability both to complex with leukocytes to
form PLAs and to induce NET formation. The therapeutic potential of this Efb-derived
peptide to control thromboinflammation in cardiovascular patients will require further
investigation. pted INTRODUCTION
c In contrast to numerous bacterial proteins
that have been reported to positively modulate platelet function, Efb inhibits platelet
activation and thrombus formation (26, 27), facilitating bacterial survival in the blood and
aggravating infection (28). Efb comprises an N-terminal secretion signal, a N-terminal
domain lacking structural organisation (Efb-N, residues Ser30-Thr104), and a tri-helical
bundle C-terminal domain (Efb-C, residues Ile105-Lys165) (29) (Figure 1A). Efb-N
includes two repeated motifs (residues Asn46-Pro67 and Asn77-Ala98) that are
homologous to S. aureus coagulase repeats and that are part of fibrinogen binding sites
comprising
residues
Ser30-Pro67
and
Lys68-Ala98
(30). Efb-C
plays
an
immunosuppressive role by interfering with the complement system (29, 31). In
combination, Efb-N and Efb-C facilitate S. aureus escape from phagocytosis and
increase S. aureus pathogenicity (32). In fact, S. aureus infections are significantly
exacerbated in vivo in the presence of Efb (33). d Article PLAs and NETs. The clinical potential of P-selectin inhibitors requires further
investigation. We have shown previously that extracellular fibrinogen binding protein
(Efb), a protein secreted by Staphylococcus aureus (S. aureus), directly binds P-selectin
and inhibits its interaction with PSGL-1 (25). In contrast to numerous bacterial proteins
that have been reported to positively modulate platelet function, Efb inhibits platelet
activation and thrombus formation (26, 27), facilitating bacterial survival in the blood and
aggravating infection (28). Efb comprises an N-terminal secretion signal, a N-terminal
domain lacking structural organisation (Efb-N, residues Ser30-Thr104), and a tri-helical
bundle C-terminal domain (Efb-C, residues Ile105-Lys165) (29) (Figure 1A). Efb-N
includes two repeated motifs (residues Asn46-Pro67 and Asn77-Ala98) that are
homologous to S. aureus coagulase repeats and that are part of fibrinogen binding sites
comprising
residues
Ser30-Pro67
and
Lys68-Ala98
(30). Efb-C
plays
an
immunosuppressive role by interfering with the complement system (29, 31). In
combination, Efb-N and Efb-C facilitate S. aureus escape from phagocytosis and
increase S. aureus pathogenicity (32). In fact, S. aureus infections are significantly
exacerbated in vivo in the presence of Efb (33). d Article PLAs and NETs. The clinical potential of P-selectin inhibitors requires further
investigation. We have shown previously that extracellular fibrinogen binding protein
(Efb), a protein secreted by Staphylococcus aureus (S. aureus), directly binds P-selectin
and inhibits its interaction with PSGL-1 (25). In contrast to numerous bacterial proteins
that have been reported to positively modulate platelet function, Efb inhibits platelet
activation and thrombus formation (26, 27), facilitating bacterial survival in the blood and
aggravating infection (28). Blood collection and platelet isolation
d Procedures utilising human blood conformed to the principles outlined in the Declaration
of Helsinki. Human blood was collected at the Institute of Clinical Chemistry and
Laboratory Medicine (University Medical Center Eppendorf - Hamburg) after informed
volunteers’ consent was given in written form. Sodium citrate (0.5% w/v) was used as an
anticoagulant. Platelet-rich plasma (PRP) was separated from whole blood by
centrifugation (250g, 17 minutes) and platelets were separated from PRP by a second
centrifugation step (500g, 10 minutes) in the presence of prostaglandin E1 (PGE1, 40
ng/mL) and indomethacin (10 μM). All centrifugations were performed with soft
deceleration settings. Platelets were resuspended in modified Tyrode’s buffer at a density
of 2×108 platelets/ml throughout the study. cepted Efb46-67
NIVEYNDGTFKYQSRPKFNSTP
Efb46-67 (ctrl) RKVTPSFYQFNITDKNPGESNY
Efb68-76
KYIKFKHDY
Efb68-76 (ctrl) KIDKYYHKF
Efb68-87
KYIKFKHDYNILEFNDGTFE
Efb68-87 (ctrl) YKFEENLFGTNDKDFKIYHI
Efb68-99
KYIKFKHDYNILEFNDGTFEYGARPQFNKPAA
Efb68-99 (ctrl) KNFELAKAGYPQIAHKTNKPGFRFYDDNFIEY
Efb77-99
NILEFNDGTFEYGARPQFNKPAA
Efb77-99 (ctrl) PFYIAPLARAGTNDNEGFFQENK
In order to fluorescently label lysine residues, synthetic peptides (or recombinant Efb-N30-
105) were coupled by direct reaction in 0.1 M sodium carbonate buffer with fluorescein
isothiocyanate (FITC). The reaction mixture was incubated, with gentle agitation, at 4°C
for 15 hours. Free FITC was eliminated by dialysis in PBS using a 500 Da MWCO cut-off
membrane.
Article Efb46-67
NIVEYNDGTFKYQSRPKFNSTP
Efb46-67 (ctrl) RKVTPSFYQFNITDKNPGESNY
Efb68-76
KYIKFKHDY
Efb68-76 (ctrl) KIDKYYHKF
Efb68-87
KYIKFKHDYNILEFNDGTFE
Efb68-87 (ctrl) YKFEENLFGTNDKDFKIYHI
Efb68-99
KYIKFKHDYNILEFNDGTFEYGARPQFNKPAA
Efb68-99 (ctrl) KNFELAKAGYPQIAHKTNKPGFRFYDDNFIEY
Efb77-99
NILEFNDGTFEYGARPQFNKPAA
Efb77-99 (ctrl) PFYIAPLARAGTNDNEGFFQENK
In order to fluorescently label lysine residues, synthetic peptides (or recombinant Efb-N30-
105) were coupled by direct reaction in 0.1 M sodium carbonate buffer with fluorescein
isothiocyanate (FITC). The reaction mixture was incubated, with gentle agitation, at 4°C
for 15 hours. Free FITC was eliminated by dialysis in PBS using a 500 Da MWCO cut-off
membrane. Article Peptide synthesis and labelling
e All peptides were synthesised by KareBay Bio with the following sequences (purity >98%,
Supplementary Figure 1), where (ctrl) designates the scrambled control version:
Efb30-45
SEGYGPREKKPVSINH
Efb30-45 (ctrl) SPGGKHPVNYKSERIE
Efb30-67
SEGYGPREKKPVSINHNIVEYNDGTFKYQSRPKFNSTP
Efb30-67 (ctrl) DTYKINSEYPPVRSPNPGGKQYKFSTINGKHESFRVEN
Acc This article is protected by copyright. All rights reserved Flow cytometry (Efb binding)
c For isolated platelet binding, 107 platelets/ml were incubated in the presence or absence
of 3 mg/ml fibrinogen and 0.2 U/ml thrombin for 10 minutes at room temperature. 1 µM
FITC-Efb peptide, FITC-scrambled Efb peptide or FITC-BSA was then added to the
Ac This article is protected by copyright. All rights reserved platelets followed by another 10 minute incubation. Platelet binding was assessed by flow
cytometry using a FACSAria III (BD Biosciences). e Alternatively, 10 µM FITC-conjugated Efb peptide was incubated for 30 minutes at room
temperature in heparin-anticoagulated (5 U/ml) human blood with CD42b/PE (#561854,
BD Biosciences) and CD45/APC (#555745, BD Biosciences) antibodies. Cells were then
fixed with 1% paraformaldehyde (PFA) for 15 minutes and binding was assessed by flow
cytometry using a FACSCanto II (BD Biosciences). icle Flow cytometry (activation/degranulation markers)
t Heparin-anticoagulated (5 U/ml) human blood was preincubated with the relevant peptide
for 15 minutes at 37°C. Platelets were activated with 1 U/ml thrombin for 15 minutes at
37°C. Samples were then labelled with anti-CD42b/APC (#551061, BD Biosciences),
anti-CD62P/PE (#550561, BD Biosciences), and PAC-1/FITC (#340507, BD Biosciences)
antibodies for 15 minutes at room temperature. Samples were then fixed with 4% PFA for
15 minutes at RT. Directly before measurement, the samples were diluted 1:1 with PBS
and the fluorescence labelling was measured in 10,000 CD42b/APC-positive events,
using a FACSCanto II flow cytometer (BD Biosciences). The mean fluorescence intensity
(MFI) of CD42b/APC-positive events in the PE and FITC spectrum bands was analysed. ed Ar Isolated platelet fluorescence imaging
e Coverslips were coated with 0.01% w/v poly-L-lysine and blocked with 0.1% w/v solution
of BSA in PBS. Isolated platelets (resting, or activated in suspension with 10 µM TRAP6
peptide for 5 minutes at 37°C) were dispensed onto the prepared coverslips at 0.5 x 107
platelets/ml density and incubated for 1h at RT. Platelets were then fixed for 15 minutes
in 4% PFA and stained with 2 μM solution of FITC-labelled peptide (Efb68-87 or Efb68-87
(ctrl)) and, subsequently, with 1 U/ml phalloidin-rhodamine in PBS-Tween20 0.1% v/v. The coverslips were mounted onto the glass slides with Fluoromount mounting medium. Imaging was performed with a Leica TCS SP5 confocal microscope. cept Immunoblotting
A Platelet suspensions prepared as described above were stimulated in the presence of 1
mM EGTA and lysed by adding lysis buffer (12.5 mM Tris, pH 8.3, 97 mM glycine, 2%
sodium dodecyl sulphate (SDS), 0.5% dithiothreitol (DTT), 10% glycerol, and 0.01%
bromophenol blue). Platelet proteins were separated by SDS-polyacrylamide gel
electrophoresis (SDS-PAGE), transferred to polyvinylidene difluoride (PVDF) membrane,
and analysed by immunoblotting for P-selectin (Abcam, #ab182135), thrombospondin 1
(Thermo Fisher Scientific, #MA5-13398), multimerin 1 (Santa Cruz Biotechnologies, #sc-
104427), actin (Merck Millipore #A5441), protein kinase C (PKC) phospho-substrates
(#2261, Cell Signaling Technology) and phospho-Src (R&D Systems, # AF2685). Densitometry was performed using ImageJ 1.47v (Wayne Rasband, National Institute of
Health, US) and presented as intensity ratio over actin staining (i.e. loading control). epted A He
e Pull-down experiments
c Efb68-87 or Efb68-87 (ctrl) was immobilised on CarboxyLink™ Coupling Resin (Thermo
Fisher Scientific), according to the manufacturer’s instructions. Peptide-conjugated resin
was incubated with platelet lysates prepared by sonication from isolated platelet solution. After binding overnight at 4°C, the peptide complexed to platelet proteins was eluted from
the resin according to the manufacturer’s instructions. Eluates were subsequently utilised
for immunoblotting. Arti Dot blots
c 2 µg of Efb peptide (Karebay Bio, USA) was dotted onto nitrocellulose membrane and
dried. The membrane was then blocked with 5% w/v BSA in TBS-T for 30 minutes before
A This article is protected by copyright. All rights reserved This article is protected by copyright. All rights reserved being incubated in 0.1 ug/ml Fc-P-selectin (R&D Systems, # 137-PS-050) for 45 minutes. Subsequently, anti-P-selectin (Abcam, #ab182135) and IRDye® 800CW Donkey anti-
Rabbit IgG (Licor, #926-32213) antibodies were used for staining the membrane. Imaging
was performed with a Licor Odyssey CLx scanner. le PLA quantification
r Heparin-anticoagulated (5 U/ml) human blood was treated with red blood cells (RBC)
lysis solution (Miltenyi Biotec, Germany) and treated with Efb68-87 or Efb68-87 (ctrl) and
collagen-related peptide (CRP) (1 µg/ml), TRAP6 (5 µM) and/or LPS from
Staphylococcus aureus (1 µg/ml) to stimulate platelet-leukocyte aggregation. Anti-
CD42b/PE (#561854, BD Biosciences) and anti-CD45/APC (#555745, BD Biosciences)
antibodies were used to stain platelets and leukocytes, respectively. Following fixation in
1% w/v PFA, all samples were analysed using a FACSCanto II flow cytometer (BD
Biosciences). PLAs were quantified as events positively stained for both markers (see
Figure 5A) and their density was expressed as number of double-positive events over
10,000 events. ted Ar Platelet aggregation
c Platelets resuspended in modified Tyrode’s buffer at a density of 2×108 platelets/ml were
stimulated using a Chrono-Log 490 4+4 aggregometer. Aggregation was induced with 0.1
U/ml human thrombin or 3 µg/ml Horm collagen. Absorbance was measured for 10
minutes and expressed as % change of absorbance. Acc This article is protected by copyright. All rights reserved Platelet adhesion/thrombus formation under flow V
(
e Vena8-Fluoro+ flow chambers were coated with 0.1mg/ml collagen or Efb68-87 or Efb68-87
(ctrl). Blood was taken in 0.25% w/v citrate and 25 µM D-Phenylalanyl-Prolyl-Arginyl
Chloromethyl Ketone (PPACK) and labelled with 1 μM 3,3'-dihexyloxacarbocyanine
iodide (DiOC6) for 10 minutes at 37°C. As indicated in the text, the flow was set to 1000
sec-1 (40 µl/minute) or 200 sec-1 (8 µl/minute). Quantification of platelet adhesion after 5
minutes of flow was obtained by LED fluorescence microscopy (EVOS Fl) and image
analysis using ImageJ 1.47v (Wayne Rasband, National Institute of Health, USA). ticle This article is protected by copyright. All rights reserved NET visualisation and quantification
pt Neutrophils were isolated from human peripheral blood as previously described (34). 5 x
104 neutrophils per well were seeded in 96-well plates and incubated at 37°C for 1 hour
to allow cell adhesion. Platelet suspensions (1 x 107 platelets/ml) were incubated for 15
minutes with 5μM Efb68-87 or Efb68-87 (ctrl) before incubation with TRAP6 (5 µM) for 15
minutes to obtain platelet stimulation. Platelet suspensions were then added to the
neutrophil monolayers (1 x 106 platelets/well) and incubated for 16 hours to induce NET
formation. 0.1 µM phorbol-12-myristate-13-acetate (PMA) was added to positive control
wells. Following fixation with 2% w/v PFA and staining with 1 µM Sytox Green (Life
Technologies), NETs were visualised via fluorescence microscopy (Nikon ECLIPSE
Accep This article is protected by copyright. All rights reserved This article is protected by copyright. All rights reserved Ts2R with Nikon DS-Fi3 camera) and quantified using a microplate reader (Tecan Spark
10M) using 485 nmexc / 535 nmem. e Statistical analysis
l Data normality and homoscedasticity were tested with Shapiro-Wilk and Bartlett’s tests,
respectively. For dual comparisons (i.e. WT vs 3KO) of normal/homoscedastic data,
statistical analysis was performed by unpaired Student’s t-tests. Dual comparisons (i.e. WT vs 3KO) of non-normal/non-homoscedastic data were analysed by non-parametric
Mann-Whitney test. One-way ANOVA with Bonferroni post-test was used for multiple
comparison tests after testing that data are normal and homoscedastic. The software
package GraphPad Prism Version 8.1.0 for Windows 64 bit was used for all statistical
analyses. For the KD estimate, we utilised a sigmoidal regression model for one-site
saturation binding within GraphPad Prism. Throughout the study, the results were
expressed as the mean ± standard error (SEM). Differences were considered significant
at P value < 0.05 (*), 0.01 (**) or 0.001 (***). Artic This article is protected by copyright. All rights reserved Efb68-87 selectively binds platelets and captures them from blood under flow
d Efb68-87 selectively binds platelets and captures them from blood under flow
Amongst blood cells, P-selectin is selectively expressed in platelets. Therefore, we
assessed whether Efb68-87 selectively binds platelets or might interact with other blood
cells. Antibodies for platelet-specific (CD42b) and leukocyte-specific (CD45) markers
were utilised in flow cytometry to identify platelets and leukocytes (white blood cells
(WBCs) and red blood cells (RBCs)) (Figure 3A). FITC-Efb68-87 exclusively bound to
platelets, while binding of WBCs and RBCs was negligible. We then used an adhesion
assay under physiological flow to probe the stability of Efb68-87 binding to platelets,
assessing whether Efb68-87 can be used to capture platelets from whole blood. Platelets
bound to surfaces coated with Efb68-87 at venous (200 sec-1) (Figure 3B), but not arterial
shear stress (1,000 sec-1) (Supplementary Figure 2). Interestingly, platelet adhesion and
thrombus formation on fibrous collagen were not affected by Efb68-87 (Figure 3C),
suggesting that Efb68-87 does not interfere with platelet function. ccepted Efb68-87 binds to platelets via P-selectin
d residues 42-771) and human IgG1 residues 100-330, was immobilised on
nitrocellulose membrane and treated with the library of FITC-labelled Efb peptides. As
detected by fluorescence imaging of the membrane, Efb68-87, Efb68-99 and Efb-N (i.e. Efb30-105), bound to immobilised P-selectin. All other Efb- and scrambled control-peptides
did not exhibit any binding activity to P-selectin. In addition, when immobilised on
agarose beads, Efb68-87 pulled down P-selectin from platelet lysates, whereas it did not
show any binding of thrombospondin-1 or multimerin-1, which were previously identified
and confirmed as Efb-interacting proteins (25) (Figure 2D). The role of P-selectin in the
binding of Efb68-87 was confirmed by competitive binding experiments using a
recombinant chimeric construct of the physiological P-selectin ligand P-selectin
glycoprotein ligand- (PSGL-1) (Figure 2E). In these experiments, the binding of FITC-
Efb68-87 was competitively inhibited by Fc-PSGL-1 (R&D Systems, # 3345-PS-050),
confirming that P-selectin is the binding site for Efb68-87 on platelets. Article Efb68-87 binds to platelets via P-selectin
d Binding experiments identified Efb68-87 (Figure 1A) as the minimal Efb sequence required
to interact with platelets in the absence of fibrinogen (Figure 1B). Platelet stimulation with
thrombin increased platelet-binding of Efb68-87 (Figure 1C). Efb68-99, a longer peptide
including the newly-identified P-selectin-binding motif, displayed the ability to bind platelet
upon platelet stimulation but not in unstimulated platelets. The addition of 3 mg/ml
fibrinogen (i.e. physiological plasma concentration) stimulated binding of both Efb68-87 and
Efb30-67 (Figure 1D), although it did not increase the level of Efb68-87 binding over the
value for unstimulated platelets. Fluorescence microscopy (Figure 2A) and flow cytometry
(Figure 2B) confirmed binding of FITC-Efb68-87 to unstimulated and stimulated platelets
(TRAP6 and thrombin, respectively). The flow cytometry experiments showed that
although the overall amount of bound Efb68-87 peptide is notably higher after platelet
stimulation with thrombin (Figure 2B), the concentration-binding curve indicates a similar
KD for the binding of Efb68-87 to resting and thrombin-stimulated platelets (5.7 μM and 3.4
μM, respectively). The binding site for Efb68-87 on platelets was investigated by dot blot
Accepte This article is protected by copyright. All rights reserved (Figure 2C). Fc-P-selectin, a chimeric construct that allows effective suspension of P-
selectin in aqueous solution, comprising the extracellular domain of human P-selectin
(i.e. residues 42-771) and human IgG1 residues 100-330, was immobilised on
nitrocellulose membrane and treated with the library of FITC-labelled Efb peptides. As
detected by fluorescence imaging of the membrane, Efb68-87, Efb68-99 and Efb-N (i.e. Efb30-105), bound to immobilised P-selectin. All other Efb- and scrambled control-peptides
did not exhibit any binding activity to P-selectin. In addition, when immobilised on
agarose beads, Efb68-87 pulled down P-selectin from platelet lysates, whereas it did not
show any binding of thrombospondin-1 or multimerin-1, which were previously identified
and confirmed as Efb-interacting proteins (25) (Figure 2D). The role of P-selectin in the
binding of Efb68-87 was confirmed by competitive binding experiments using a
recombinant chimeric construct of the physiological P-selectin ligand P-selectin
glycoprotein ligand- (PSGL-1) (Figure 2E). In these experiments, the binding of FITC-
Efb68-87 was competitively inhibited by Fc-PSGL-1 (R&D Systems, # 3345-PS-050),
confirming that P-selectin is the binding site for Efb68-87 on platelets. Article (Figure 2C). Fc-P-selectin, a chimeric construct that allows effective suspension of P-
selectin in aqueous solution, comprising the extracellular domain of human P-selectin
(i.e. Efb68-87 does not interfere with platelet activation and haemostatic function
Ac Collectively, these results confirm that Efb68-87 binding does not interfere with
platelet function. d Article a
p
le Efb68-87 does not interfere with platelet activation and haemostatic function
Ac This article is protected by copyright. All rights reserved This article is protected by copyright. All rights reserved This article is protected by copyright. All rights reserved We investigated functional implications of Efb68-87 for platelet function. Platelet
aggregation in response to the agonists collagen and thrombin was not affected by
platelet pre-treatment with Efb68-87 compared to Efb68-87 (ctrl) (Figure 4A). The
aggregation in response to secondary agonists ADP and U46619 (a stable analogue of
thromboxane A2) was also unaffected by Efb68-87 (Supplementary Figure 3). In addition,
platelet activation and degranulation were tested by flow cytometry. Data showed that the
presence of Efb68-87 did not significantly change integrin αIIbβ3 activation (PAC1 antibody)
or platelet degranulation (P-selectin externalisation) compared to Efb68-87 (ctrl) (Figure
4B). Finally, potential effect of Efb68-87 incubation on intracellular platelets signalling was
tested by immunoblotting (Figure 4C). Basal (resting platelets) and activated (thrombin-
stimulated platelets) levels of PKC activity and Src kinase activation in the presence of
Efb68-87 and Efb68-87 (ctrl) were assessed using an anti-phospho PKC substrate antibody
(detecting various proteins phosphorylated by classical platelet PKC isoforms α and β)
and anti-phospho Src antibody (detecting Src in its active/phosphorylated form). Treatment with Efb68-87 did not affect activity of these two major platelet signalling
pathways. Collectively, these results confirm that Efb68-87 binding does not interfere with
platelet function. d Article We investigated functional implications of Efb68-87 for platelet function. Platelet
aggregation in response to the agonists collagen and thrombin was not affected by
platelet pre-treatment with Efb68-87 compared to Efb68-87 (ctrl) (Figure 4A). The
aggregation in response to secondary agonists ADP and U46619 (a stable analogue of
thromboxane A2) was also unaffected by Efb68-87 (Supplementary Figure 3). In addition,
platelet activation and degranulation were tested by flow cytometry. Data showed that the
presence of Efb68-87 did not significantly change integrin αIIbβ3 activation (PAC1 antibody)
or platelet degranulation (P-selectin externalisation) compared to Efb68-87 (ctrl) (Figure
4B). Finally, potential effect of Efb68-87 incubation on intracellular platelets signalling was
tested by immunoblotting (Figure 4C). Basal (resting platelets) and activated (thrombin-
stimulated platelets) levels of PKC activity and Src kinase activation in the presence of
Efb68-87 and Efb68-87 (ctrl) were assessed using an anti-phospho PKC substrate antibody
(detecting various proteins phosphorylated by classical platelet PKC isoforms α and β)
and anti-phospho Src antibody (detecting Src in its active/phosphorylated form). Treatment with Efb68-87 did not affect activity of these two major platelet signalling
pathways. This article is protected by copyright. All rights reserved Efb68-87 inhibits formation of platelet-leukocyte aggregates and reduces formation
of neutrophil extracellular traps
e The formation of heterotypic cellular complexes between platelets and leukocytes (i.e. platelet-leukocyte aggregates or PLAs) is an important driver of thromboinflammation. Since PLA formation depends on binding of platelet P-selectin to leukocyte PSGL-1, we
tested whether Efb68-87 can block the formation of PLAs in human whole blood. PLAs
were detected by flow cytometry as an event highly stained by both anti-CD42b and anti-
CD45 antibodies (Figure 5A). PLA levels were significantly increased by stimulation of
whole blood with the GPVI receptor agonist CRP, but not the PAR1 agonist TRAP6 or the
Toll-like receptor (TLR) agonist LPS used separately (Supplementary Figure 4). The
study of Efb68-87‘s effect on PLA formation was performed with combined stimulation by
CRP, TRAP6 and LPS. Substantial inhibition of PLA formation was observed at 1 μM or
higher concentrations of Efb68-87 (Figure 5B). Since NET formation is another process
dependent on P-selectin binding to PSGL-1 (24), we next investigated whether Efb68-87
Accept This article is protected by copyright. All rights reserved interferes with the stimulation of NET formation by platelets. Neutrophils isolated from
human peripheral blood were allowed to adhere and were then treated with platelets. Resting platelets were compared to platelets treated with TRAP6 (5 µM). Stimulated
platelets were able to induce a significant formation of NETs (Figure 6), which was
inhibited by Efb68-87, but not with the control peptide for Efb68-87. The incubation of
neutrophils with the above agonists in the absence of platelets did not lead to formation
of NETs. Direct stimulation of NETs by neutrophil treatment with PMA was used as
positive control, which was not affected by Efb68-87 (data not shown). ticle h
e This article is protected by copyright. All rights reserved DISCUSSION
r Discovery of their involvement in inflammatory responses and vascular degeneration has
added an important new chapter in our understanding of the role of platelets in health and
disease. In addition to the release of pro-inflammatory cytokines (35), the function of
platelets in inflammatory processes involves the formation of PLAs, which mediate
homing and extravasation of leukocytes at the site of vascular damage (6, 36). The
interaction of P-selectin with PSGL-1 is the key molecular event for PLA formation (4). Other key surface receptors involved in PLA formation are activated in response to P-
selectin-PSGL-1 interaction. The activation of the leukocyte integrin αMβ2 (macrophage-1
antigen or MAC-1) by P-selectin-PSGL-1 interaction, for example, is a key step in the
formation of heterotypic complexes between platelets and leukocytes (37). In addition to
linking inflammation with platelet activation and thrombus formation, and supporting the
concept of thromboinflammation (38), the formation of PLAs has far-reaching
consequences for cardiovascular health. Formation of heterotypic complexes between
platelets and monocytes regulates the coagulation cascade through the upregulation of
tissue factor (39), which exacerbates the thrombotic risk for patients with a variety of
conditions, including COVID-19 (40). epted Ar The P-selectin/PSGL-1 axis is therefore an attractive target for the development of novel
antiinflammatory and vasculoprotective drugs. Although some reduction of PLAs can be
achieved by traditional antiplatelet therapy (41), it is important to find strategies for
achieving more comprehensive abatement of PLAs and avoiding the bleeding risk
associated with existing antithrombotics. This makes the development of a safe and
efficacious P-selectin antagonist an attractive therapeutic option in cardiovascular
Acc This article is protected by copyright. All rights reserved medicine. Although several P-selectin antagonists have been described and proposed as
candidates for drug development, there is currently no P-selectin inhibitor validated for
clinical use. Recombinantly expressed vimentin (42), synthetic glycomimetics of the N-
terminus of PSGL-1 (43) and anti-P-selectin antibodies (44) have been characterised for
their ability to compete with PLA formation in vitro and in vivo, while a promising small
molecule failed to show any effect in vivo (45). The cost and pharmacokinetic properties
of full recombinant proteins, large post-translationally modified peptides or antibodies
make the search for novel candidate antagonists for P-selectin a relevant, timely and
unresolved challenge for vascular drug discovery. In this study, we therefore followed a
different approach. This article is protected by copyright. All rights reserved DISCUSSION
r Efb68-87 represents a promising candidate for the development of a novel pharmacological
agent with antiinflammatory or antithrombotic properties based on antagonism of P-
selectin and inhibition of PLA formation. This approach would have the advantage of
leaving unaffected the haemostatic function of platelets, which should reduce or abolish
any bleeding side effects. The use of current antiplatelet drugs from acetylsalicylic acid
(ASA) to P2Y12 antagonists (such as Clopidogrel, Prasugrel and Ticagrelor) to integrin
inhibitors (such as Abciximab or Tirofiban) is associated with an increase in
haemorrhagic risk for patients (47, 48). This is likely to be the consequence of targeting a
molecular pathway normally required for haemostasis (i.e. cyclooxygenases, ADP
receptors or integrins). By targeting a surface adhesion molecule such as P-selectin that
is not involved in healthy haemostatic responses, Efb68-87 would selectively diminish or
abolish
the
contribution
of
platelets
to
the
onset
and/or
progression
of
thromboinflammation, with little or no risk of causing haemorrhagic complications. We demonstrated in addition that Efb68 87 does not bind to other blood cells (Figure 3A)
ted Article with multimerin-1 and thrombospondin-1. Since the interaction of Efb-N with multimerin-1
and thrombospondin-1 was detected with the same approach utilised in this study (i.e. peptide conjugation and platelet protein pull-down), the most likely explanation is that the
binding sites for these proteins map outside the Lys68-Glu87 portion of Efb-N. This
observation emphasises the modular and multifunctional nature of Efb, with separate or
overlapping binding sites for multiple target proteins. The modular multifunctionality of Efb
could facilitate further biotechnological applications based on the use of this protein. icle Efb68-87 represents a promising candidate for the development of a novel pharmacological
agent with antiinflammatory or antithrombotic properties based on antagonism of P-
selectin and inhibition of PLA formation. This approach would have the advantage of
leaving unaffected the haemostatic function of platelets, which should reduce or abolish
any bleeding side effects. The use of current antiplatelet drugs from acetylsalicylic acid
(ASA) to P2Y12 antagonists (such as Clopidogrel, Prasugrel and Ticagrelor) to integrin
inhibitors (such as Abciximab or Tirofiban) is associated with an increase in
haemorrhagic risk for patients (47, 48). This is likely to be the consequence of targeting a
molecular pathway normally required for haemostasis (i.e. cyclooxygenases, ADP
receptors or integrins). DISCUSSION
r Based on our previous work showing that the bacterial protein Efb
binds directly to P-selectin, inhibits its interaction with PSGL-1 and interferes with PLA
formation (25), we set out to identify an Efb-derived peptide that retains the ability to bind
P-selectin and inhibit PLA formation. Article The peptide we identified is Efb68-87, a twenty amino acid sequence from the N-terminal
domain of Efb and part of one of two previously identified Efb binding sites for fibrinogen
(30). Efb68-87 binding to platelets is not increased by addition of exogenous fibrinogen and
is therefore fibrinogen-independent (Figure 1D). On the other hand, Efb30-67 interacts with
platelets only in the presence of exogenous fibrinogen. Efb30-67 corresponds to the other
previously identified fibrinogen binding site (30). Interestingly, Efb68-87 shows similar
binding affinity to resting and stimulated platelets, but the Efb68-87 binding capacity of
platelets (i.e. amount of peptide bound per platelet) is significantly increased by
stimulation (Figures 1B and 1C). This binding profile is compatible with a Binding site that
is present at a low level on the surface of resting platelets but that undergoes an
activation-dependent increase in level. This is characteristic of P-selectin levels which
increase on the surface of platelets as a consequence of stimulation-dependent
degranulation (i.e. migration to the cell periphery and fusion with the plasma membrane
of P-selectin-rich alpha granules) (46). These data were supported by dot blot
experiments, which confirmed direct binding of Efb68-87 to P-selectin (Figure 2C). Efb68-99
was also able to bind to P-selectin in the dot blot experiments, although the level of
staining was visibly lower. Further experiments would be required to assess whether the
residues between Tyr88 and Ala99 may interfere with the binding of P-selectin. It is also
noteworthy that contrarily to Efb30-105 (also known as Efb-N) (25), Efb68-87 does not interact
Accepted A This article is protected by copyright. All rights reserved with multimerin-1 and thrombospondin-1. Since the interaction of Efb-N with multimerin-1
and thrombospondin-1 was detected with the same approach utilised in this study (i.e. peptide conjugation and platelet protein pull-down), the most likely explanation is that the
binding sites for these proteins map outside the Lys68-Glu87 portion of Efb-N. This
observation emphasises the modular and multifunctional nature of Efb, with separate or
overlapping binding sites for multiple target proteins. The modular multifunctionality of Efb
could facilitate further biotechnological applications based on the use of this protein. This article is protected by copyright. All rights reserved Conflict of Interest
e The authors declare no conflict of interest. c The authors declare no conflict of interest. c Acknowledgements
e The authors would like to thank the DFG-funded Cytometry and Cell Sorting Core Unit at
the UKE hospital (Hamburg). This work was funded by the British Heart Foundation for
the financial support of SW, SB and GP (FS/17/13/3269), the Werner Otto Foundation for
the financial support of NW and GP (BN3/97) and the European Research Council for the
support of GP (EU project 101025074). pte Author contribution statement
A Author contribution statement
SW, NW, HE, MP and AU performed experiments and part of the data analysis for this
manuscript (the order reflects the level of involvement in this project). TR, IE and SB
provided critical revisions of the manuscript. SB and GP designed the project and
planned the experiments. GP wrote the manuscript. d A DISCUSSION
r By targeting a surface adhesion molecule such as P-selectin that
is not involved in healthy haemostatic responses, Efb68-87 would selectively diminish or
abolish
the
contribution
of
platelets
to
the
onset
and/or
progression
of
thromboinflammation, with little or no risk of causing haemorrhagic complications. ted Arti We demonstrated in addition that Efb68-87 does not bind to other blood cells (Figure 3A)
and that Efb68-87 does not interfere with the activation and function of platelets in
response to physiological stimuli (Figure 4). Efb68-87 can therefore be used as a tool to
selectively label platelets without affecting their responsiveness, which could find
application in research and diagnostic laboratory practice. The ability to sequester
platelets from whole blood (Figure 3B) could be investigated further to develop a novel
platelet isolation method. Since Efb68-87 displayed increased binding to activated platelets
(Figure 2B), it may be possible to develop a method to selectively capture activated
platelets from whole blood. The selective reduction of the count of circulating activated
platelets could find clinical application because an increase in circulating activated
platelets is observed in several cardiovascular diseases and is proposed as a disease
mechanism leading to thrombosis (49, 50). Accept This article is protected by copyright. All rights reserved In summary, we present here the identification and validation of Efb68-87, a novel P-
selectin antagonist derived from the N-terminal domain of the S. aureus protein Efb. In
addition to confirming the selective binding to P-selectin, we have established the ability
of Efb68-87 to interfere with PLA and platelet-induced NET formation in vitro without
affecting platelet signalling and platelet functional responses. As the formation of PLAs
and NETs is critical for the progression of vascular inflammation and its association with
thrombotic complications, Efb68-87 has the potential to become a clinical tool for the
treatment of conditions raging from major blood vessel atherosclerosis to microcirculatory
dysfunction. Future clinical studies on this peptide may lead to the development of a
novel treatment to help in the battle against thromboinflammatory conditions. rticle In summary, we present here the identification and validation of Efb68-87, a novel P-
selectin antagonist derived from the N-terminal domain of the S. aureus protein Efb. In
addition to confirming the selective binding to P-selectin, we have established the ability
of Efb68-87 to interfere with PLA and platelet-induced NET formation in vitro without
affecting platelet signalling and platelet functional responses. DISCUSSION
r As the formation of PLAs
and NETs is critical for the progression of vascular inflammation and its association with
thrombotic complications, Efb68-87 has the potential to become a clinical tool for the
treatment of conditions raging from major blood vessel atherosclerosis to microcirculatory
dysfunction. Future clinical studies on this peptide may lead to the development of a
novel treatment to help in the battle against thromboinflammatory conditions. rticle Data availability statement
c Data in this article will be shared upon reasonable requests to the corresponding author
by email. Ac This article is protected by copyright. All rights reserved This article is protected by copyright. All rights reserved FIGURE LEGENDS
e Figure 1. Synthetic Efb peptides bind human platelets. (A) Structure of Efb and the
design of synthetic peptides representing different regions of the Efb N-terminal domain
(amino acids 30-105). The signal peptide is shown in light blue, the first fibrinogen
binding motif (Fg B1) in red, the second fibrinogen binding motif (Fg B2) in green. Efb
peptide binding to resting (B), thrombin-stimulated (C) or fibrinogen-treated (D) platelets. 1 µM FITC-labelled Efb or scrambled control peptides were incubated with isolated
human platelets and their binding was assessed by flow cytometry. In C), thrombin
stimulation was obtained with 0.1 u/ml human thrombin for 10 minutes, while in D)
platelets were treated with 3 mg/ml fibrinogen for 10 minutes. Values are the median
fluorescence intensity (MFI) from 10,000 events in five independent experiments (mean ±
SEM). Statistical significance was assessed using one-way ANOVA with Bonferroni post-
hoc test; P-value < 0.05 (*), P-value < 0.01 (**), P-value < 0.001 (***). Article Figure 2. Efb68-87 binding to platelet P-selectin. (A) Phalloidin-rhodamine (red, 1 U/ml)
and FITC-labelled Efb68-87 (green, 2 μM) were used to stain human platelets fixed either
before or after stimulation in suspension with TRAP6. FITC-labelled scrambled Efb68-87
was used as control. Images are representative of five independent experiments. The
scale bar indicated in white is 10 μm. (B) Using different concentrations of FITC-Efb68-87
(0.1 – 100 μM), Efb68-87 binding affinity to resting and thrombin-stimulated platelets was
assessed by flow cytometry. Data are % of the maximal binding values and are mean ±
SEM from five independent experiments. (C) The direct interaction of Efb68-87 and P-
selectin was confirmed by dot blot. Fc-P-selectin was dotted onto individual nitrocellulose
membranes and allowed to dry. After blocking with 5% w/v BSA, each FITC-Efb and
FITC-scrambled Efb peptide (0.3 µg/ml of 68-87) was incubated on the membrane. Fluorescence images of the membranes were obtained with a ChemiDoc Scanner (Bio-
Rad) at 488 nmexc. The data are representative of six independent measurements. (D)
Pull-down experiments performed with Efb68-87 conjugated to agarose beads confirmed
P-selectin as the main candidate binding site for this peptide on platelets. Platelet lysate
(lane 1), pull-downs with unconjugated beads (lane 2), pull-downs with beads conjugated
with scrambled Efb68-87 (lane 3) and pull-downs with beads conjugated with Efb68-87 (lane
4) were compared. The immunoblotting was performed with antibodies for human P-
Accepted A This article is protected by copyright. This article is protected by copyright. All rights reserved FIGURE LEGENDS
e All rights reserved This article is protected by copyright. All rights reserved selectin, multimerin-1 or thrombospondin-1. The data are representative of five
independent experiments. (E) Binding competition by Fc-PSGL-1. As described for (B),
the binding of FITC-Efb68-87 to platelets was assessed by flow cytometry in the presence
of different concentrations of Fc-PSGL-1 (0, 10 or 30 µM). Values are the median
fluorescence intensity (MFI) from 10,000 events. Statistical significance was assessed
using one-way ANOVA with Bonferroni post-hoc test: P-value < 0.05 (*), P-value < 0.01
(**), P-value < 0.001 (***). icle Figure 3. Efb68-87 binds to platelets in whole blood without interfering with collagen-
dependent thrombus formation. (A) CD42b/PE and CD45-APC antibodies were used
to distinguish platelets (CD42b+), leukocytes (CD42b-, CD45+) and red blood cells
(CD42b-, CD45-) from human blood by flow cytometry. FITC-Efb68-87 binding to each cell
population was tested by flow cytometry. Data are mean ± SEM of the MFI values from
10,000 events in 6 independent experiments. Statistical significance was assessed using
one-way ANOVA with Bonferroni post-hoc test: P-value < 0.05 (*), P-value < 0.01 (**), P-
value < 0.001 (***). (B) Platelet adhesion to Efb68-87 under physiological flow. Platelet
adhesion to Efb68-87 was tested at shear stress 200 sec-1 (venous) and 1,000 sec-1
(arterial, not shown). In addition, (C) the effect of Efb68-87 (5 μM) on platelet adhesion and
thrombus formation on collagen was tested (1,000 sec-1). Platelets in whole blood were
fluorescently labelled with DiOC6 and their surface coverage was assessed by
fluorescence imaging/densitometry analysis. Data presented are mean ± SEM of the
surface coverage from 6 independent experiments. Statistical significance was assessed
using the paired sample Student t-test (normality was assessed by Shapiro-Wilk test): P-
value < 0.05 (*), P-value < 0.01 (**), P-value < 0.001 (***). pted Art Figure 4. Efb68-87 does not interfere with the normal functions of platelets. (A)
Platelet aggregation induced by thrombin (0.1 U/ml) and collagen (10 μg/ml) was tested
in the presence of 5 µM Efb68-87 or scrambled Efb68-87. Representative examples of
aggregations from 4 independent experiments are shown and a bar graph shows mean ±
SEM. No statistical significance was detected using the paired sample Student t-test. (B)
Flow cytometry analysis of platelet activation and degranulation. Resting and thrombin-
stimulated (1 U/ml) platelets were compared for degranulation (anti-CD42b/APC) and
Acce This article is protected by copyright. All rights reserved This article is protected by copyright. FIGURE LEGENDS
e All rights reserved integrin αIIbβ3 activation (anti-PAC-1/FITC) in the presence of 5 µM Efb68-87 or scrambled
Efb68-87. A representative forward scattering (FSC) / side scattering (SSC) dot plot of
isolated platelets in the presence of Efb68-87 at resting (blue) and thrombin-stimulated
(red) is also shown. The statistical significance between Efb68-87 and the control peptide
was assessed using one-way ANOVA with Bonferroni post-test; P-value < 0.01 (**), P-
value < 0.001 (***), error bars represent mean ± SEM from 4 independent experiments. (C) Platelet signalling was studied by immunoblotting in the presence of Efb68-87 or Efb68-
87 ctrl peptides (10 μM). Platelets were activated with 0.1 U/ml thrombin (in the presence
of 1mM EGTA to avoid platelet aggregation and so facilitate protein extraction). Following
lysis and SDS-PAGE, lysates were immunoblotted for protein kinase C (PKC)
phosphorylated substrates of classical protein kinase C (PKC) isoforms, phosphorylated
Src and actin. Data were quantified by densitometry using ImageJ 1.47v, presented as
intensity ratio over actin staining (i.e. loading control) and are mean ± SEM from five
independent experiments. No statistical significance was detected using a paired sample
Student t-test (normality was assessed by Shapiro-Wilk test). Article Figure 5. Efb68-87 inhibits the formation of PLAs in human whole blood. (A) Human
blood was stimulated with CRP (1 µg/ml), TRAP6 (5 µM) and LPS from Staphylococcus
aureus (1 µg/ml) for 30 minutes. Anti-CD42b/PE and anti-CD45/APC antibodies were
used to stain platelets and leukocytes. PLAs were quantified in the top right quadrant of
the PE/APC plot. (B) Where indicated, 0.1 - 100 μM Efb68-87 (or control peptide) was co-
incubated with the agonists. Data are the number of PLA per 10,000 events (i.e. blood
cells) and represent mean ± SEM from five independent experiments. Statistical
significance was assessed using one-way ANOVA with Bonferroni post-hoc test: P-value
< 0.05 (*), P-value < 0.01 (**), P-value < 0.001 (***). epted Figure 6. Efb68-87 inhibits the formation of platelet-induced NETs. 5 x 104/well
neutrophils were seeded into 96-well plates and incubated at 37 ˚C for 1 hour. 5 µM
Efb68-87, scrambled control peptide and vehicle solution were added to platelets before
stimulation with TRAP6 (5 M). 1 x 106 platelets were added to each well. Negative control
wells were prepared by adding either only neutrophils or only platelets with TRAP6 (5 M). The positive control wells are neutrophils treated with 0.1 µM PMA. This article is protected by copyright. All rights reserved FIGURE LEGENDS
e The plates were
Acc This article is protected by copyright. All rights reserved This article is protected by copyright. All rights reserved incubated for 16 hours at 37 °C with 5% CO2, before fixation in PFA and staining of
NETs with Sytox Green. (A) Representative images of selected conditions from five
independent experiments were obtained by fluorescence microscopy and are shown in
the top panels. (B) The quantification of NET release was obtained by staining of the cell
supernatants by fluorescence microplate reading after addition of Sytox green. Data are
the mean ± SEM from five independent experiments. Statistical significance was
assessed using one-way ANOVA with Bonferroni post-hoc test: P-value < 0.05 (*), P-
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Accepted Artic Acce This article is protected by copyright. All rights reserved This article is protected by copyright. All rights reserved Accepted Article p ted p
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A randomised controlled trial of nurse-managed trial conclusion following early phase cancer trial participation
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British journal of cancer
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A randomised controlled trial of nurse-managed trial conclusion
following early phase cancer trial participation Clinical Studies K Cox*,1, E Wilson1, A Arthur1, R Elkan1 and S Armstrong2 K Cox*,1, E Wilson1, A Arthur1, R Elkan1 and S Armstrong2 K Cox*,1, E Wilson1, A Arthur1, R Elkan1 and S Armstrong2
1School of Nursing, University of Nottingham, Faculty of Medicine and Health Sciences, University of Nottingham, Nottingham NG7 2UH, UK; 2Trent
Institute for Health Services Research, University of Nottingham, Faculty of Medicine and Health Sciences, University of Nottingham, Nottingham NG7
2UH, UK g
1School of Nursing, University of Nottingham, Faculty of Medicine and Health Sciences, University of Nottingham, Nottingham NG7 2UH, UK; 2Trent
Institute for Health Services Research, University of Nottingham, Faculty of Medicine and Health Sciences, University of Nottingham, Nottingham NG7
2UH, UK The effect of a nurse-managed intervention, for early phase cancer trial participants at trial conclusion, on psychosocial outcomes was
evaluated at two cancer centres in the Midlands, England using a randomised controlled trial. It involved 117 patients who were
participating in an early phase cancer clinical trial. It was a nurse-managed trial exit, which included a trial exit interview, trial feedback
information leaflet and telephone follow-up compared with standard care at trial conclusion. Psychological distress at 1 week and 4–
6 weeks post-trial conclusion, patient’s knowledge and understanding and patient’s satisfaction were assessed. The results showed
there was no significant difference between the two groups regarding scores for anxiety and depression at time one and time two. There is some suggestion that the intervention reduced anxiety from trial conclusion to follow-up (P ¼ 0.27). Patients in both groups
felt they had contributed to cancer research through trial participation. However, intervention patients were more likely to feel that
they knew how the trial was going (Po0.001), knew how other people in the trial were doing (P ¼ 0.001), had all the feedback they
needed about the trial they took part in (Po0.01) and knew how they would be followed up (P ¼ 0.02). Patient satisfaction with the
intervention was high (median score ¼ 4.5 where 5 is greatest satisfaction). In conclusion, nurse-managed trial conclusion led to
positive outcomes for patients who had recently completed a clinical trial. p
p
y
p
British Journal of Cancer (2005) 93, 41–45. doi:10.1038/sj.bjc.6602675
www.bjcancer.com p
p
y
p
British Journal of Cancer (2005) 93, 41–45. British Journal of Cancer (2005) 93, 41 – 45
& 2005 Cancer Research UK
All rights reserved 0007 – 0920/05
$30.00 British Journal of Cancer (2005) 93, 41 – 45
& 2005 Cancer Research UK
All rights reserved 0007 – 0920/05
$30.00 British Journal of Cancer (2005) 93, 41 – 45 www.bjcancer.com A randomised controlled trial of nurse-managed trial conclusion
following early phase cancer trial participation EW participated in setting up the study, was
responsible for data collection, management and entry, participated in
the data analysis and helped produce the final report. RE helped analyse
the qualitative data and helped produce the final report. SA provided
advice and support for the randomisation aspects of the study and TA
helped with the statistical analysis and presentation of the data. KC, TA
and EW wrote the paper. All authors commented on all drafts. KC and
EW are the guarantors. Received 18 February 2005; revised 11 April 2005; accepted 24 April
2005; published online 28 June 2005 A randomised controlled trial of nurse-managed trial conclusion
following early phase cancer trial participation doi:10.1038/sj.bjc.6602675
www.bjcancer.com
Published online 28 June 2005
& 2005 Cancer Research UK Keywords: clinical trials; nurse-managed care, randomised controlled trial; trial conclusion The management of trial conclusion is a neglected area. Staff
resource in terms of support, time and information is directed at the
stage of trial recruitment and trial participation. However, trials staff
have an ethical responsibility to ensure appropriate support for those
who have been research participants (Harth and Thong, 1995). Participation in clinical trials of new anticancer drugs has become
an increasingly common treatment experience of individuals with
cancer. This is due, in part, to an increasing societal demand for
new treatments and the need to test these treatments in a
systematic way (DOH, 1992). However, until recently there has
been relatively little attention paid to the impact of the experience
of clinical trials on those who participate in them (Mackillop and
Johnston, 1986; Gotay, 1991; Kodish et al, 1992). There is evidence
from qualitative research that trial conclusion is the most difficult
time for the subjects of clinical research, who often feel abandoned,
want feedback about the trial they took part in and have unmet
information and psychosocial needs (Cox, 2000). p
p
g
One of the ways individuals cope with cancer is that they seek
more information (Weisman, 1979). If information is given
effectively, anxiety and side effects of treatment can be reduced,
enhancing an individuals ability to cope with their illness
(Ridgeway and Matthews, 1982; Slevin et al, 1996). Recognising
and meeting the very specific information and support require-
ments at trial conclusion may be one way that on-going
psychosocial support can be provided to trial patients and enable
them and their families to cope better with trial conclusion. The
study presented in this paper sought to provide an alternative
model of trial conclusion management, which responded to the
issues identified above and establish if this improved the trial
conclusion experience for patients. In this study, trial conclusion is
defined as the point in time when a patient has completed the
planned course of treatment or they were withdrawn due to
unacceptable toxicity or lack of response. *Correspondence: Professor K Cox;
E-mail: Karen.cox@Nottingham.ac.uk
Contributors: KC initiated the study, participated in the study set up,
supervised the training of the trial nurses, helped analyse the data and
produce the final report. Received 18 February 2005; revised 11 April 2005; accepted 24 April
*Correspondence: Professor K Cox;
E-mail: Karen.cox@Nottingham.ac.uk
Contributors: KC initiated the study, participated in the study set up,
supervised the training of the trial nurses, helped analyse the data and
produce the final report. EW participated in setting up the study, was
responsible for data collection, management and entry, participated in
the data analysis and helped produce the final report. RE helped analyse
the qualitative data and helped produce the final report. SA provided
advice and support for the randomisation aspects of the study and TA
helped with the statistical analysis and presentation of the data. KC, TA
and EW wrote the paper. All authors commented on all drafts. KC and
EW are the guarantors. Intervention p
Psychological distress was measured using the Hospital Anxiety
and Depression Scale (HADs) (Zigmond and Snaith, 1983)
generating individual scores for anxiety and depression, both
ranging from 0 to 21 with higher scores indicating a greater degree
of anxiety or depression. Psychological and physical distress was
also measured using the Rotterdam Symptom Checklist (Pruyn
et al, 1980; de Haes et al, 1990). Psychological and physical distress
scores were standardised so they represented a percentage of the
maximum score with higher scores representing greater distress. Hopwood et al (1991) note that the HADs and the RSCL may
screen out different individuals with affective disorders. With these
factors in mind it was appropriate to use both the RSCL and the
HADs in this study in order to assess psychological distress at trial
conclusion. To assess satisfaction with the intervention patients in
the intervention arm of the study also completed the Medical
Interview Satisfaction Scale (MISS) (Wolf et al, 1978). The tool was
designed to measure satisfaction with medical consultations/
interviews. While this tool is acknowledged as being a relatively
crude measure, as responses on these kinds of scales tend to be
skewed towards the satisfied (Ware and Hays, 1988), it was felt that
it would provide some indication of patient’s satisfaction with the
trial exit interview at data point one which could then be
elaborated on in subsequent interviews at data point two. The
reliability and validity of the tool has not been extensively tested
but Kinnersley et al (1996) noted in a comparison of methods to
measure satisfaction with consultations in primary care that levels
of reliability for the overall scale and subscales was fair to good for
the MISS. The tool was adapted for use in this study to refer to
nurses rather than doctors and has 26 items that measure
satisfaction with the affective, behavioural and cognitive aspects
of
medical
encounters. The
adaptation
primarily
involved
substituting the word doctor with nurse and substituting reference
to being ill to being in a trial. The intervention was developed in the light of findings from our
earlier work (Cox, 2000), discussions with consultant oncologists,
trials nurses and patients and families who were asked if they
would comment on ideas and information sheets. This preliminary
work and the findings from the earlier study indicated that the
intervention would consist of three elements (see Box 1). Randomisation A computer-generated list of random codes using block randomi-
sation was generated by SA and held by a research secretary. Participants to our study were randomly allocated following
recruitment to the study. Each participant had an equal chance of
being allocated to the intervention group (nurse-managed follow-
up) or the control group (standard care). Clinical Studies Clinical Studies Intervention In
addition to standard care, the trial exit interview and feedback
leaflet were delivered in the week following trial conclusion and the
telephone call was undertaken 2 weeks after trial conclusion. p
The trial nurses who were to be involved in delivering the
intervention all underwent a short training session to ensure their
understanding of the process of undertaking the trial exit
interview, how to complete the trial feedback sheets and how to
conduct the telephone interviews. These training sessions were led
by KC and EW and were designed to identify any problems with
the intervention, make sure the documentation was appropriate
and also to ensure that there was a consistency in its implementa-
tion. Outcome measures Outcome measures were psychological distress at 1 week and
4–6 weeks post-trial conclusion, patient’s knowledge and under- Box 1
Key components of nurse-managed trial exit intervention
Drug trial exit interview
K Debriefing of decision around completion/withdrawal
K Explanation of further follow-up support
Information leaflet
K A thank you for participating in the trial
K Latest information about the drug being tested
K News about other participants
K Details about the participant’s contribution to cancer research
K Available support after drug trial participation
K Details on further follow-up
Telephone follow-up at 2 weeks postdrug trial exit
K Enquiry as to general health
K Identification of unmet information needs
K Emotional support if required Box 1
Key components of nurse-managed trial exit intervention
Drug trial exit interview
K Debriefing of decision around completion/withdrawal
K Explanation of further follow-up support
Information leaflet
K A thank you for participating in the trial
K Latest information about the drug being tested
K News about other participants
K Details about the participant’s contribution to cancer research
K Available support after drug trial participation
K Details on further follow-up
Telephone follow-up at 2 weeks postdrug trial exit
K Enquiry as to general health
K Identification of unmet information needs
K Emotional support if required Time two
Patients completed repeat HADs and RSCL ques-
tionnaires and took part in an in-depth interview (not reported
here) examining patients’ experience of trial conclusion and
follow-up, their knowledge and understanding of the trial out-
come and their follow-up care, satisfaction with trial involvement
and their care during the trial and adjustment to no longer being
in the trial. METHODS The study was conducted in two cancer centres. All patients who
were currently undergoing participation in all the phase I or II Nurse-managed trial following early phase cancer trial participation
K Cox et al K Cox et al 42 anticancer drug trials underway in the two centres were invited to
participate via a letter and information sheet given to them by their
trials nurse. Those who agreed provided signed consent. It should
be noted that patients offered phase I and II studies are often at the
end of their disease trajectory and as such the patients in this study
had a limited life expectancy. Ethical approval and NHS Trust
approval was granted at each study site. standing and patient’s satisfaction. These were recorded either
at
the
patient’s
home
or
the
cancer
centre
according
to
patient
preference
approximately
7–10
days
following
trial
conclusion and after the intervention for the intervention group
(time one) and approximately 6 weeks following trial conclusion
(time two). Time one
An evaluation questionnaire was specifically designed
for the study. The questionnaire collected data on patients’
experience of trial conclusion and follow-up, their information
requirements, knowledge and understanding of the trial outcome
and their follow-up care, satisfaction with trial involvement and
their care during the trial and adjustment to no longer being in the
trial. Questions ranged from fixed choice, rating scales and likert
scales to open comments. Patients either self-completed or
completed the form with the researcher according to their personal
preference. Standard care For patients allocated to standard care, information, support and
follow-up was offered at the end of the drug trial by their trials
doctor and consisted of a consultation that covered details of
reasons for trial conclusion and a monthly follow-up appointment
back at the cancer centre. Sample size Based on previous work (Cox, 2000) at the time of trial conclusion,
38% of patients had mild to severe anxiety as assessed by the HAD
scale. It was estimated that through the intervention, this would be
decreased by just over half to 15% at time one (taking into account
reported prevalence rates for anxiety and depression in popula-
tions of cancer patients of around 17% (Derogatis et al, 1983)). The British Journal of Cancer (2005) 93(1), 41 – 45 & 2005 Cancer Research UK & 2005 Cancer Research UK Eligible
(n =129)
Nurse-managed
drug trial exit
(n =59)
Standard care
following drug trial
(n =58)
Not randomised
(n =12):
Refused (n =12)
Randomised
(n =117)
Received nurse-
managed care and data
available at time one
(n =46)
Did not receive nurse-managed
care and data unavailable at time
one (n =13):
Died (n = 4)
Too ill (n = 2)
Refused (n =4)
Remained on drug trial (n =2)
Data incomplete (n =1)
Data collected within
7 days of drug trial
(n =49)
Data unavailable at timeone
(n =9):
Died (n = 1)
Too ill (n =5)
Refused (n =1)
Remained on drug trial (n =1)
Data incomplete (n =1)
Data available at time
two
(n =27)
Data unavailable at time
two (n =19):
Unable to contact (n =6)
Died (n = 3)
Too ill (n = 10)
Data available at time
two
(n =37)
Data unavailable at time
two (n =12):
Unable to contact (n =8)
Died (n = 2)
Too ill (n = 2)
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Figure 1
Flow of participants through trial. Nurse-managed trial following early phase cancer trial participation
K Cox et al
4 Nurse-managed trial following early phase cancer trial participation
K Cox et al n 43 Eligible
(n =129) Randomised
(n =117) Clinical Studies Nurse-managed
drug trial exit
(n =59) Standard care
following drug trial
(n =58) Received nurse-
managed care and data
available at time one
(n =46) Data collected within
7 days of drug trial
(n =49) Data available at time
two
(n =37) Data available at time
two
(n =37) Figure 1
Flow of participants through trial. required number of patients in each arm of the study was 57
(a ¼ 0.05 (two sided) with 80% power, Machin et al, 1997). participating. RESULTS Figure 1 reports the flow of participants through the study. Between 1 January 2001 and 1 February 2004, 129 patients were
approached about participating in the study. A total of 12 chose
not to be involved and the remaining 117 (91%) agreed to be part
of the study providing signed written consent. These were
randomly allocated to either the nurse-led follow-up group
(n ¼ 59) or standard care (n ¼ 58). Measures at time one were
collected on 46 out of 59 of the intervention group and 49 out of 58
of the control group. The main reasons for drop out were refusal,
too ill to participate and death. Sample size There was an equal distribution of patients in both
groups across both research sites. There were no obvious
differences between the two groups. Anxiety and psychological distress Differences
between
scores
on
information
received,
infor-
mation
requirements,
knowledge
and
understanding
of
the
trial
outcome,
anxiety
and
depression,
psychological
and
physical distress were compared between groups using the
Mann–Whitney U test because the distribution of the scores
was skewed. Table 2 presents the HADS median scores for anxiety and
depression and the RSCL median scores for psychological and
physical distress at the two data collection points for both the
intervention and the control groups. The median scores for both
anxiety and depression for these patients over the course of trial
participation were within the normal range for both the HADs (0–
7) (Zigmond and Snaith, 1983). The average scores for psychological
distress for these patients were comparable with those published by
de Haes et al (1990) for patients receiving chemotherapy. There was
no significant difference between the two groups regarding scores
for anxiety and depression, psychological distress or physical
distress at trial conclusion or follow-up. In the intervention group
there was a greater reduction in the anxiety scores from baseline to
follow-up (1.2) compared to the control group (0.6), although
this was not statistically significant (P ¼ 0.27). & 2005 Cancer Research UK Satisfaction with the intervention A total of 44 respondents in the intervention group (from a
possible 47) completed the MISS. Satisfaction with all elements
(cognitive, emotional and behavioural) of the trial exit interview
was good. Overall patient satisfaction with the intervention was
high (median score ¼ 4.5 where 5 is greatest satisfaction). Clinical Studies DISCUSSION An individuals
desire for ‘feedback’
and
the provision
of
information about how the trial is going can be seen in
the context of the process of adaptation within the context of
life threatening situations (Turnquist et al, 1988), a kind of
‘search for meaning’. Research in this area suggests that an
individual’s ability to search for and find a meaning in their illness
and treatment may have a significant impact on psychosocial
well-being and adjustment to the impact of cancer on their lives
(Lewis,
1989;
Luker
et
al,
1996). Providing
feedback
and
information about the trial, an individual has participated
in may be one way that on-going psychosocial support for
patients can be offered and the contribution made through
their
trial
participation
acknowledged. This
requirement
is
even more important in this particular group of patients who
are at the end of their disease trajectory, have a limited life Distress and Psychological Distress scores within 7 days of trial exit and after 4–6 weeks Table 2
Anxiety, Depression Physical Distress and Psychological Distress scores within 7 days of trial exit and after 4–6 weeks
Intervention mean (s.d.)
Control mean (s.d.)
P-valuea
HADS Anxiety Scores
Within 7 days
4.7 (4.2) (n ¼ 46)
4.8 (3.9) (n ¼ 49)
4–6 weeks
3.6 (3.8) (n ¼ 27)
4.4 (3.7) (n ¼ 37)
Change over time
1.2 (3.6) (n ¼ 27)
0.6 (2.7) (n ¼ 37)
0.27
HADS Depression Scores
Within 7 days
5.2 (4.3) (n ¼ 46)
4.9 (3.3) (n ¼ 49)
4–6 weeks
5.3 (5.0) (n ¼ 27)
4.7 (3.8) (n ¼ 37)
Change over time
0.2 (2.7) (n ¼ 27)
0.2 (3.3) (n ¼ 27)
0.51
RSCL Physical Distress Scores
Within 7 days
23.8 (13.8) (n ¼ 46)
20.4 (10.5) (n ¼ 49)
4–6 weeks
20.4 (14.7) (n ¼ 27)
18.9 (13.3) (n ¼ 37)
Change over time
2.6 (13.8) (n ¼ 27)
–2.2 (14.0) (n ¼ 37)
0.73
RSCL Psychological Distress Scores
Within 7 days
21.8 (24.0) (n ¼ 46)
23.4 (18.9) (n ¼ 49)
4–6 weeks
18.9 (20.3) (n ¼ 27)
23.0 (20.4) (n ¼ 37)
Change over time
2.3 (20.4) (n ¼ 27)
2.3 (18.4) (n ¼ 37)
0.49
aBetween groups, Mann–Whitney U test. Knowledge and understanding of the trial outcome and
follow-up Table 3 presents respondents views on information needs and
contribution made to cancer research. There were significant
differences
between
those
in
the
intervention
group
when
compared to those in the control group in relation to the
statements; I feel I know how the trial is going (Po0.001), I feel
I know how other people in the trial are doing (P ¼ 0.001), I feel I p
p
Demographic and other characteristics for the two study groups
at drug trial conclusion are reported in Table 1. More men were
included in the study than women, the average age was just under
60 years and the majority was married. Patients were likely to have
one of the common solid tumours. Patients were more likely to
have
been
withdrawn
from
the
trial
in
which
they
were British Journal of Cancer (2005) 93(1), 41 – 45 Table 1
Demographic factors, tumour and clinical trial type by study
group
Intervention
group (n ¼ 59)
Control
group (n ¼ 58)
Gender
Male : female
1.1 : 1
1.4 : 1
Age in years
Mean (s.d.)
59.8 (11.6)
57.4 (10.8)
Marital status n (%)
Living with spouse/partner
53 (89.8)
45 (81.8)
Divorced
3 (5.1)
3 (5.5)
Widowed
1 (1.7)
4 (7.3)
Single
2 (3.4)
3 (5.5)
Missing
3
Tumour type n (%)
Breast
7 (12.1%)
5 (8.6%)
Lung
8 (13.8%)
7 (12.1%)
Upper GI
7 (12.1%)
10 (17.2%)
Ovary
7 (12.1%)
5 (8.6%)
Colorectal
11 (19.0%)
11 (19.0%)
Other
18 (31.0%)
20 (34.5%)
Drug Trial centre n (%)
Centre 1
52 (88.1%)
51 (87.9%)
Centre 2
7 (11.9%)
7 (12.1)
Completed drug trial n (%)
Yes
17 (28.8%)
20 (34.5%)
No
42 (71.2%)
38 (65.5%)
Days spent on drug trial
Mean (s.d.)
96.8 (68.2)
97.8 (54.0)
Nurse-managed trial following early phase cancer trial participation
K Cox et al
44
Clinical Studies Nurse-managed trial following early phase cancer trial participation
K Cox et al have had all the feedback that I need about the trial I took part in
(Po0.01) and I feel I know how I will be followed up now I am no
longer in the trial (P ¼ 0.02) with those in the intervention group
indicating significantly higher levels of agreement with the
statements. Interestingly, both groups felt that they had con-
tributed to cancer research by taking part in the trial with no
difference between the groups (P ¼ 0.11). aMann–Whitney U test. CONCLUSIONS expectancy, have complex needs and who are participating in
a drug trial that is unlikely to have any therapeutic benefit
(Estey et al, 1986; Marsoni et al, 1987; Decoster et al, 1990). With
this underpinning rationale we designed an intervention to
meet these needs. The findings show that nurse-managed trial
conclusion meets patients’ information needs at trial conclusion. The intervention was acceptable to patients and this study
supports previous work in relation to the acceptability of
nurse-managed follow-up and satisfaction with this kind of
care delivery (Moore et al, 2002). It would appear that, while
there was no significant difference between the intervention and
control group in terms of anxiety and depression levels at base
line and follow-up, anxiety was reducing over time for those
individuals in the intervention arm of the study but this requires
further testing. Overall, the intervention was effective in providing
patients with information and feedback about the trial that
had been identified as a specific need at trial conclusion in our
earlier work. expectancy, have complex needs and who are participating in
a drug trial that is unlikely to have any therapeutic benefit
(Estey et al, 1986; Marsoni et al, 1987; Decoster et al, 1990). With
this underpinning rationale we designed an intervention to
meet these needs. The findings show that nurse-managed trial
conclusion meets patients’ information needs at trial conclusion. The intervention was acceptable to patients and this study
supports previous work in relation to the acceptability of
nurse-managed follow-up and satisfaction with this kind of
care delivery (Moore et al, 2002). It would appear that, while
there was no significant difference between the intervention and
control group in terms of anxiety and depression levels at base
line and follow-up, anxiety was reducing over time for those
individuals in the intervention arm of the study but this requires
further testing. Overall, the intervention was effective in providing
patients with information and feedback about the trial that
had been identified as a specific need at trial conclusion in our
earlier work. Providing structured support and information at the end of a trial
ensures information needs are met and is acceptable to patients. The trial conclusion strategy outlined here would therefore appear
to be a simple and effective way to provide on-going psychosocial
support to patients once the trial has completed. REFERENCES Luker K, Beaver K, Leinster SJ, Owens RG (1996) Meaning of illness for
women with breast cancer. J Adv Nurs 23: 1194–1201 Cox K (2000) Enhancing cancer clinical trial management: recommenda-
tions from a qualitative study of trial participants’ experiences. Psycho-
Oncology 9: 314–322 Machin D, Campbell MJ, Fayers PM, Pinol A (1997) Sample Size Tables for
Clinical Studies. Oxford: Blackwell gy
Decoster G, Stein G, Holdener E (1990) Responses and toxic deaths in phase
I clinical trials. Ann Oncol 1: 175–182 Mackillop WJ, Johnston PA (1986) Ethical problems in clinical research: the
need for empirical studies of the clinical trials process. J Chronic Dis
39(3): 177–188 De Haes JC, Van Knippenberg FC, Neijt JP (1990) Measuring physical and
psychological distress in cancer patients: structure and application of the
Rotterdam Symptom Checklist. Br J Cancer 62: 1034–1038 Marsoni S, Hoth D, Simon R, Leyland-Jones B (1987) Clinical drug
development: an analysis of phase II trials, 1970–1985. Cancer Treat Rep
71(1): 71–80 Department of Health (1992) Assessing the effects of Health Technologies:
principles, practice, proposals. Advisory Group on Health Technology
Assessment for the Director of Research and Development London:
Department of Health Moore S, Corner J, Haviland J, Wells M, Salmon E, Normand C, Brada M,
O’Brien M, Smith I (2002) Nurse led follow-up and conventional medical
follow-up in management of patients with lung cancer: randomised trial. Br Med J Nov 16(235): 1145–1152 p
Derogatis LR, Morrow GR, Fetting J (1983) The prevalence of psychiatric
disorders among cancer patients. J Am Med Assoc 249: 751–757 Derogatis LR, Morrow GR, Fetting J (1983) The prevalence of psychiatric
disorders among cancer patients. J Am Med Assoc 249: 751–757
Estey E, Hoth D, Simon R, Marsoni S (1986) Therapeutic response in phase
I trials of anti-neoplastic agents. Cancer Treat Rep 70(9): 1105–1113
(
)
l
l
l
l
d
f
h Br Med J Nov 16(235): 1145–1152 Pruyn JFA, Van Den Heuvel WJA, Jonkers R (1980) Verantwoording van de
klachtenlijst voor kankerpatineten.. Rotterdam: Studiecentrum Sociale
Ongologie Estey E, Hoth D, Simon R, Marsoni S (1986) Therapeutic response in phase
I trials of anti-neoplastic agents. Cancer Treat Rep 70(9): 1105–1113
(
)
l
li i
l
i l
di
i
f
h Gotay CG (1991) Accrual to cancer clinical trials: directions from the
research literature. Soc Sci Med 33(5): 569–577 Ridgeway V, Matthews A (1982) Psychological preparation for surgery: a
comparison of methods. ACKNOWLEDGEMENTS We would like to thank Professor Veronica James, University of
Nottingham for her advice in the early stages of the project. We
also thank Professor James Carmichael, Dr Penella Woll, Dr Mike
Sokal, Dr Chan and Dr David Fyfe (City Hospital Nottingham),
Professor William Steward and Dr Anne Thomas (Leicester Royal
Infirmary) for providing access to their clinics and patients. We
especially thank the Trial Nurses, Lynn Osbourne, Kath Clayton,
Karen Newcombe, Beverly Reynolds, Shameen Asif Suleman,
Beverly Scothern, Carol Tasker, Tania Williamson, Emma Buckby,
Samantha Moore, Louise Clark, Lynn Furber and Caroline Rosario
for providing the nurse led intervention. This project was funded
by Cancer Research UK Grant No. CP1037/0201. One key limitation of this study is the lack of power as a result of
the high attrition between the two time points. This was perhaps
inevitable due the high mortality rate associated with this group of
patients. It may also be a reflection of an overestimation of the
effect of the intervention in our initial sample size calculations. A
further limitation relates to the mode of completion of the
questionnaires. Patients completing their questionnaires with the
help of a researcher may provide different responses to those who
complete alone. CONCLUSIONS It can bridge the
gap between the end of the trial and the next follow-up
appointment and make a difference to the trial conclusion
experience of vulnerable patients. Clinical Studies DISCUSSION Table 2
Anxiety, Depression Physical Distress and Psychological Distress scores within 7 days of trial exit and afte Table 3
Views on information needs and perception of contribution by study group (scores out of five, higher scores indicate greater agreement)
Intervention
group (n ¼ 46) median (IQR)
Control
group (n ¼ 49) median (IQR)
P-valuea
I have contributed to cancer research
5 (5,5)
5 (5,5)
0.11
I know how the trial is currently going
5 (3.75,5)
1 (1,4)
o0.0005
I know how other people on the trial are doing
4 (1,5)
1 (1,4)
0.001
I have had all the feedback that I need about the trial I took part in
5 (4,5)
4 (1,5)
0.009
I know how I will be followed up now I am no longer in the trial
5 (5,5)
5 (1,5)
0.022 needs and perception of contribution by study group (scores out of five, higher scores indicate greater agreement) & 2005 Cancer Research UK British Journal of Cancer (2005) 93(1), 41 – 45 British Journal of Cancer (2005) 93(1), 41 – 45 British Journal of Cancer (2005) 93(1), 41 – 45 Nurse-managed trial following early phase cancer trial participation
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AH, Maguire P (1991) Screening for psychiatric
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y
Ware JE, Hays RD (1988) Methods for measuring patient satisfaction with
specific medical encounters. Med Care 26: 393–402 specific medical encounters. Med Care 26: 393–402 Kodish E, Stocking C, Ratain MJ, Kohrman A (1992) Ethical issues in Phase
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SM J
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psychosocial well being in patients with advanced cancer. J Pyschosoc
Oncol 7: 105–110 Zigmond AS, Snaith RP (1983) The Hospital Anxiety and Depression scale. Acta Psychiatr Scand 67: 361–370 British Journal of Cancer (2005) 93(1), 41 – 45 & 2005 Cancer Research UK
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Effectiveness of the 23-valent pneumococcal polysaccharide vaccine against vaccine serotype pneumococcal pneumonia in adults: A case-control test-negative design study
|
PLoS medicine
| 2,020
|
cc-by
| 9,435
|
PLOS MEDICINE PLOS MEDICINE PLOS MEDICINE RESEARCH ARTICLE Effectiveness of the 23-valent pneumococcal
polysaccharide vaccine against vaccine
serotype pneumococcal pneumonia in adults:
A case-control test-negative design study Hannah LawrenceID1,2, Harry PickID1, Vadsala BaskaranID1,2,3, Priya Daniel4,
Chamira Rodrigo1, Deborah AshtonID1, Rochelle C. Edwards-PritchardID5,
Carmen SheppardID6, Seyi D. EletuID6, David LittID6, Norman K. FryID6,7, Samuel RoseID6,
Caroline Trotter8, Tricia M. McKeever2,3, Wei Shen Lim1* Hannah LawrenceID1,2, Harry PickID1, Vadsala BaskaranID1,2,3, Priya Daniel4,
Chamira Rodrigo1, Deborah AshtonID1, Rochelle C. Edwards-PritchardID5,
Carmen SheppardID6, Seyi D. EletuID6, David LittID6, Norman K. FryID6,7, Samuel RoseID6,
Caroline Trotter8, Tricia M. McKeever2,3, Wei Shen Lim1* Hannah LawrenceID1,2, Harry PickID1, Vadsala BaskaranID1,2,3, Priya Daniel4,
Chamira Rodrigo1, Deborah AshtonID1, Rochelle C. Edwards-PritchardID5,
Carmen SheppardID6, Seyi D. EletuID6, David LittID6, Norman K. FryID6,7, Samuel RoseID6,
Caroline Trotter8, Tricia M. McKeever2,3, Wei Shen Lim1* a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 1 Department of Respiratory Medicine, Nottingham University Hospitals NHS Trust, Nottingham, United
Kingdom, 2 Division of Epidemiology and Public Health, University of Nottingham, Nottingham, United
Kingdom, 3 NIHR Nottingham Biomedical Research Centre, Queen’s Medical Centre, Nottingham, United
Kingdom, 4 Department of Respiratory Medicine, University Hospitals of Derby and Burton NHS Foundation
Trust, Derby, United Kingdom, 5 Division of Respiratory Medicine, University of Nottingham, Nottingham,
United Kingdom, 6 Respiratory and Vaccine Preventable Bacteria Reference Unit, Public Health England–
National Infection Service, Colindale, London, United Kingdom, 7 Immunisation and Countermeasures
Division, Public Health England Colindale–National Infection Service, London, United Kingdom, 8 Disease
Dynamic Unit, Department of Veterinary Medicine, University of Cambridge, Cambridge, United Kingdom OPEN ACCESS * weishen.lim@nuh.nhs.uk Citation: Lawrence H, Pick H, Baskaran V, Daniel P,
Rodrigo C, Ashton D, et al. (2020) Effectiveness of
the 23-valent pneumococcal polysaccharide
vaccine against vaccine serotype pneumococcal
pneumonia in adults: A case-control test-negative
design study. PLoS Med 17(10): e1003326. https://doi org/10 1371/journal pmed 1003326 Academic Editor: Mirjam E. E. Kretzschmar,
Universitair Medisch Centrum Utrecht,
NETHERLANDS Vaccination with the 23-valent pneumococcal polysaccharide vaccine (PPV23) is available
in the United Kingdom to adults aged 65 years or older and those in defined clinical risk
groups. We evaluated the vaccine effectiveness (VE) of PPV23 against vaccine-type pneu-
mococcal pneumonia in a cohort of adults hospitalised with community-acquired pneumonia
(CAP). Received: March 13, 2020
Accepted: August 31, 2020
Published: October 23, 2020 Copyright: © 2020 Lawrence et al. This is an open
access article distributed under the terms of the
Creative Commons Attribution License, which
permits unrestricted use, distribution, and
reproduction in any medium, provided the original
author and source are credited. Background Academic Editor: Mirjam E. E. Kretzschmar,
Universitair Medisch Centrum Utrecht,
NETHERLANDS * weishen.lim@nuh.nhs.uk Methods and findings Using a case-control test-negative design, a secondary analysis of data was conducted
from a prospective cohort study of adults (aged 16 years) with CAP hospitalised at 2 uni-
versity teaching hospitals in Nottingham, England, from September 2013 to August 2018. The exposure of interest was PPV23 vaccination at any time point prior to the index admis-
sion. A case was defined as PPV23 serotype-specific pneumococcal pneumonia and a con-
trol as non-PPV23 serotype pneumococcal pneumonia or nonpneumococcal pneumonia. Pneumococcal serotypes were identified from urine samples using a multiplex immunoas-
say or from positive blood cultures. Multivariable logistic regression was used to derive
adjusted odds of case status between vaccinated and unvaccinated individuals; VE esti-
mates were calculated as (1 −odds ratio) × 100%. Of 2,357 patients, there were 717 PPV23
cases (48% vaccinated) and 1,640 controls (54.5% vaccinated). The adjusted VE (aVE) Data Availability Statement: This study is a
secondary analysis of data from a prospective
observational cohort study. Posting the raw data
would run against our contractual agreement with
the funder of the primary study. Please contact
researchsponsor@nuh.nhs.uk for data requests. Funding: This study is independent research
funded in part by the University of Nottingham’s
2019-20 QR Strategic Priorities Fund and 1 / 17 PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia supported by the Nottingham National Institute for
Health Research Biomedical Research Centre
(NIHR BRC). The study concept was developed
and agreed upon by the authors with no input from
the funding bodies. The data are the sole
responsibility of the authors, and the sponsor for
the study was Nottingham University Hospitals
NHS Trust. The views expressed in this publication
are those of the authors and not necessarily those
of the NHS, the NIHR, JCVI, or PHE. The funders
had no role in study design, data collection and
analysis, decision to publish, or preparation of the
manuscript. estimate against PPV23 serotype disease was 24% (95% CI 5%–40%, p = 0.02). Estimates
were similar in analyses restricted to vaccine-eligible patients (n = 1,768, aVE 23%, 95% CI
1%–40%) and patients aged 65 years (n = 1,407, aVE 20%, 95% CI −5% to 40%), but not
in patients aged 75 years (n = 905, aVE 5%, 95% CI −37% to 35%). Why was this study done? • Streptococcus pneumoniae is the commonest bacterial cause of community-acquired
pneumonia (CAP) worldwide with over 90 different serotypes. • Streptococcus pneumoniae is the commonest bacterial cause of community-acquired
pneumonia (CAP) worldwide with over 90 different serotypes. • A 23-valent pneumococcal polysaccharide vaccine (PPV23) targeting 23 common sero-
types is recommended for use in adults in various countries to protect against pneumo-
coccal infection. • A 23-valent pneumococcal polysaccharide vaccine (PPV23) targeting 23 common sero-
types is recommended for use in adults in various countries to protect against pneumo-
coccal infection. • The long-term vaccine effectiveness (VE) of PPV23 against vaccine serotype pneumo-
coccal CAP in adults in the setting of an established childhood pneumococcal vaccine
programme is not known. Conclusions Competing interests: The authors of this
manuscript have read the journal’s policy and have
the following competing interests: WSL’s
institution has received unrestricted investigator-
initiated research funding from Pfizer for a
multicentre cohort study in which WSL is the Chief
Investigator. WSL is a member of the UK Joint
Committee on Vaccination and Immunisation. NKF
declares: The Public Health England - National
Infection Service, Immunisation and
Countermeasures Division provides vaccine
manufacturers with post-marketing surveillance
reports, which Marketing Authorisation Holders are
required to submit to the UK Licensing authority in
compliance with their Risk Management Strategy. A cost recovery charge is made for these reports. SDE is an employee of Public Health England’s
National Infection Service in the Vaccine
Preventable Bacteria Section (VPBS). The VPBS
conduct contract research for pharmaceutical
industries on behalf of Public Health England. No
personal remuneration is received. The Public
Health England National Infection Service
Immunisation and Countermeasures Division has
provided vaccine manufacturers with post-
marketing surveillance reports, which Marketing
Authorisation Holders are required to submit to the
UK Licensing authority in compliance with their
Risk Management Strategy. A cost recovery charge
is made for these reports. No other conflicts of
interest are declared. In the setting of an established national childhood PCV13 vaccination programme, PPV23
vaccination of clinical at-risk patient groups and adults aged 65 years provided moderate
long-term protection against hospitalisation with PPV23 serotype pneumonia. These find-
ings suggest that PPV23 vaccination may continue to have an important role in adult pneu-
mococcal vaccine policy, including the possibility of revaccination of older adults. Methods and findings The aVE estimate in
relation to PPV23/non-13-valent pneumococcal conjugate vaccine (PCV13) serotype pneu-
monia (n = 417 cases, 43.7% vaccinated) was 29% (95% CI 6%–46%). Key limitations of
this study are that, due to high vaccination rates, there was a lack of power to reject the null
hypothesis of no vaccine effect, and that the study was not large enough to allow robust sub-
group analysis in the older age groups. Introduction Streptococcus pneumoniae is widely accepted as the most common bacterial cause of commu-
nity-acquired pneumonia (CAP) worldwide and is associated with substantial morbidity, mor-
tality, and economic burden [1,2]. Two different types of pneumococcal vaccine are currently
available: the 23-valent pneumococcal polysaccharide vaccine (PPV23) and pneumococcal
conjugate vaccines (PCVs). In the UK, a national pneumococcal vaccination policy with
7-valent PCV was introduced for children under 2 years old in September 2006 and replaced
with the 13-valent PCV in 2010 [3]. Subsequent reductions in invasive pneumococcal disease
(IPD) and nasopharyngeal carriage due to vaccine serotypes in children were observed [4]. Reductions in vaccine type IPD and non-invasive pneumococcal pneumonia (NIPP) in adults
followed, largely due to herd protection effects [4]. However, with the emergence of replace-
ment serotypes in the UK, recent studies have observed increases in the incidence rates of IPD
and pneumococcal pneumonia due to non-PCV13 serotypes [5,6]. Vaccination with PPV23, containing the PCV13 serotypes (except 6A) and 11 additional
serotypes (2, 8, 9N, 10A, 11A, 12F, 15B, 17F, 20, 22F, and 33F) has been available in England to
those 65 years and those in a clinical risk group since 2003, with coverage in those 65 years
at 69.5% in March 2018 [7]. PPV23 vaccination has been found to be effective in preventing
IPD and displays a waning effect with time from vaccination [8,9]. However, the effectiveness
of PPV23 against pneumococcal pneumonia is controversial [10]. There are scant data regard-
ing PPV23 serotype-specific vaccine effectiveness (VE) against NIPP in the setting of a well-
established national infant pneumococcal vaccination programme. Such data are important to
inform future adult vaccination policies [11]. The aim of this work was to evaluate the VE of PPV23 against vaccine-type pneumococcal
pneumonia in adults hospitalised with CAP. Secondary aims were to (i) estimate VE in defined
patient subgroups, (ii) estimate VE against pneumococcal serotypes not covered by herd pro-
tection from PCV13 (PPV23/non-PCV13 pneumonia), and (iii) examine the effect of time
since vaccination on VE. What do these findings mean? • PPV23 vaccination provides moderate long-term protection against hospitalisation with
PPV23 serotype pneumonia. • PPV23 vaccination provides moderate long-term protection against hospitalisation with
PPV23 serotype pneumonia. • PPV23 vaccination may continue to have an important role in national pneumococcal
immunisation policies, including the possibility of revaccination of older adults. • PPV23 vaccination may continue to have an important role in national pneumococcal
immunisation policies, including the possibility of revaccination of older adults. What did the researchers do and find? • We retrospectively analysed data from a cohort of adults hospitalised with CAP in Not-
tingham, England, who had a diagnostic blood or urine test to determine (i) whether
they had pneumococcal disease and (ii) if so, whether or not it was a serotype covered
by the PPV23 vaccine. Abbreviations: aVE, adjusted VE; CAP, community-
acquired pneumonia; COPD, chronic obstructive
pulmonary disease; CPS, common polysaccharide;
IPD, invasive pneumococcal disease; IQR,
interquartile range; NIPP, non-invasive
pneumococcal pneumonia; PCV, pneumococcal
conjugate vaccine; PPV23, 23-valent
pneumococcal polysaccharide vaccine; RCT,
randomised controlled trials; REC, Research Ethics
Committee; STROBE, Strengthening the Reporting
of Observational Studies in Epidemiology; VE,
vaccine effectiveness. • We calculated the VE of PPV23 in our cohort by calculating the odds of infection with
vaccine-type pneumococcal pneumonia (cases) versus pneumonia of an alternate cause
(controls) between vaccinated and unvaccinated individuals. • In our group of 2,357 patients (717 PPV23 cases, 1,640 controls) with an average time of
10 years since PPV23 vaccination, we estimated the VE of PPV23 against PPV23 2 / 17 PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia serotype pneumonia to be 24% after adjustment for patient factors (95% CI 5%–40%, p
= 0.02). Control group A patient with non-PPV23 vaccine serotype pneumococcal disease or nonpneumococcal
pneumonia was defined as a control. This included Bio-plex24 negative cases (pneumonia of
alternate aetiology), Bio-plex24 assay common polysaccharide (CPS)-antigen–only positive
cases, and non-PPV23 vaccine-type S. pneumoniae cases. No matching of cases with controls
was conducted. The control group remained the same for both primary and secondary analy-
ses and was restricted as appropriate for subgroup analyses. Methods
Study design This study is a secondary analysis of data collected from a prospective observational cohort
study of consecutive adult patients with CAP admitted to 2 large university hospitals in PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 3 / 17 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia Nottingham, UK, between September 2013 and August 2018. The primary study was designed
to determine trends in pneumococcal serotypes in adults hospitalised with CAP over time;
study details including epidemiological results arising over the first 10 years of study have been
published previously [6,12]. Ethical approval for the primary study was provided by the Not-
tingham Research Ethics Committee (REC reference 08/H0403/80). For this analysis, as with
previous influenza and pneumococcal vaccine studies estimating VE in a real-world popula-
tion, a nested case-control test-negative design was used [13,14]. The exposure of interest was
PPV23 vaccination prior to the index admission, and the primary outcome was PPV23 vaccine
serotype pneumococcal pneumonia. The study is reported as per the Strengthening the
Reporting of Observational Studies in Epidemiology (STROBE) guideline (S1 Text). Study cohort Study eligibility criteria, recruitment, and microbiological processes have been described in
full previously [6]. Briefly, patients aged 16 years presenting with one or more acute lower
respiratory tract symptoms, evidence of acute infiltrates consistent with respiratory infection
on admission chest radiograph, and treated for a diagnosis of CAP were eligible. Exclusion cri-
teria included prior hospitalisation within 10 days of index admission, a diagnosis of tubercu-
losis, or a diagnosis of post-obstructive pneumonia. Following informed consent, information
on demographics and clinical characteristics (including potential confounders) were collected
using a standardised proforma via researcher interview and medical records. For this analysis,
only patients providing a sample subjected to pneumococcal serotype-specific testing were
included. Pneumococcal serotype was identified using the following: (i) for bacteraemic cases:
slide agglutination tests with latex antisera (ImmuLex Pneumotest kit, SSI Diagnostica, Hil-
lerød, Denmark) or standard factor sera (SSI Diagnostica), or (from October 2017) whole
genome sequencing; (ii) for NIPP cases: multiplex immunoassay (Bio-plex24) applied to urine
samples to detect pneumococcal serotypes 1, 2, 3, 4, 5, 6A, 6B, 7F, 8, 9N, 9V, 10A, 11A, 12F,
14, 15B, 17F, 18C, 19A, 19F, 20, 22F, 23F, 33F and the pneumococcal cell-wall polysaccharide
plus some cross-reactive serotypes [6,15,16]. Case groups The primary case group of interest was patients with pneumococcal pneumonia caused by
PPV23 vaccine serotypes. The secondary case group comprised patients with PPV23/non-
PCV13 serotype pneumonia (2, 8, 9N, 10A, 11A, 12F, 15B, 17F, 20, 22F, 33F); cases caused by
PPV23/PCV13 serotypes were censored from analysis of the secondary group. Statistical analysis The case and control groups and vaccinated and unvaccinated individuals were compared
using the appropriate summary statistic for the variable (proportions for binary variables,
median and interquartile range [IQR] for non-normally distributed continuous variables). Odds ratios with 95% CIs and p-values for significance testing were calculated for binary vari-
ables. Logistic regression and chi-squared tests for trend were used to test associations between
ordered categorical exposure variables (severity category, baseline performance status as
defined by the ECOG Performance Scale) [17] and binary outcomes. Patients with missing
data on vaccine status were excluded from the primary analysis. To investigate reporting bias,
sensitivity analysis was performed by including this group as either vaccinated or unvaccinated
in turn. Adjusted odds ratios were derived using multivariable logistic regression models to describe
the odds of case status between vaccinated and unvaccinated individuals; the outcome variable
was case versus control. For the main analysis following modelling using Directed Acyclic
Graphs (www.dagitty.net) [18], confounders included in the model a priori were age, sex, flu
vaccination status in the past year, and clinical at-risk groups defined in accordance with Pub-
lic Health England’s ‘Immunisation against Infectious Diseases’ (The Green Book) [3]. Influ-
enza vaccination was included as an a priori confounder due to evidence that it is associated
with PPV23 uptake and linked with health-seeking behaviours [19]. Smoking status was tested
as an adjustment variable; it did not alter the results and so was not included. To account for
change in serotype distribution over study years, year of index admission was tested as an
adjustment variable; it did not alter the results and was not included in the final model. Likeli-
hood ratio testing of continuous variables was performed to determine best fit (continuous
versus grouped). VE estimates were calculated as (1 −odds ratio) × 100%. Subgroup analyses
were performed with the whole cohort (cases and controls) restricted to those who were: (i)
vaccine eligible under current UK pneumococcal vaccine policy, (ii) those 65 years old, and
(iii) those 75 years old. A secondary analysis examining the effect of time since vaccination on VE including
patients with confirmed vaccine status only was performed using a categorical variable with 5
levels for time interval between vaccination date and index admission (never vaccinated, vacci-
nated 0–5 years, 5–10 years, 10–15 years, and 15 years prior to admission). Vaccine status At the time of hospital admission, patient self-reported pneumococcal vaccine status was
recorded. Date of vaccination was confirmed from primary care records where available. In
the primary analysis, patients were considered vaccinated if (i) vaccine status was confirmed
via primary care records or (ii) they self-reported having had the vaccine. Details on influenza
vaccination (a potential confounding variable) were also collected. A patient was considered
vaccinated against influenza if they had received the influenza vaccine in the 12 months prior
to index admission only (confirmed and self-reported). Sensitivity analysis of the primary out-
come including only patients with vaccine status confirmed via primary care records was per-
formed. Cases with vaccination less than 14 days prior to disease were excluded. Multiple serotypes identified Where multiple serotypes were identified in a single patient, these were excluded from the pri-
mary analysis if the identified serotypes crossed the case-control definition. For analysis of the PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 4 / 17 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia PPV23/non-PCV13 group, a case was included if one of the identified serotypes fulfilled the
case definition and none of the identified serotypes fulfilled the definition of a control. PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 Cohort description During the 5-year study period, of 2,447 eligible study participants, 54 were excluded as no
vaccine status was available, leaving 2,393 patients. In this cohort of predominantly NIPP,
pneumococcal serotype was detected by Bio-plex24 assay in 968 (40.5%) and by blood culture
in 110 (4.6%) patients, respectively. In 36 patients, multiple serotypes crossing the case-control
definition were detected, leaving 2,357 patients for the primary analysis. The most common
serotypes detected were serotype 3 (n = 197), 8 (n = 192), 12F (n = 60), 15A (n = 54), and 5 (n
= 41). Comparison of the vaccinated versus unvaccinated groups Of 2,357 patients, vaccine status was obtained from primary care records in 1,820 (77.2%)
patients and was self-reported in 537 (32.8%). Mean time between vaccination and index
admission was 10.3 (SD 5.8) and 10.4 (SD 5.2) years in the cases and controls, respectively. The shortest interval between vaccination and index admission was 47 days. Vaccinated
patients were older (74.1 versus 57.4 years, p < 0.001) with a poorer baseline performance sta-
tus (p-trend < 0.0001) and higher severity disease on admission (29.7% versus 15.5% high
severity by CURB65 category; p-trend < 0.001) (S1 Table). They were more likely to have
comorbid diseases except liver disease, alcohol dependence, and asthma. Prior vaccination
with PCV13 in our cohort was very low at <0.5%. Statistical analysis A logistic regres-
sion model was used to derive the odds of being a case in each vaccination category compared
to those never vaccinated. A p-trend across the groups was calculated using the likelihood
ratio test. To further investigate long-term decline in VE, a categorical variable for each PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 5 / 17 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia individual year from vaccination to index admission (up to 24 years) and a cubic spline model
were calculated with knots at 1, 4, and 8 years [9]. All analyses were performed using Stata 16
[20]. The study was conceived in 2017, and a prospective analysis plan was written by HL, TM,
and WSL in March 2019 (S2 Text). Following peer review, a serotype-specific VE analysis and
an analysis of all PPV23 cases excluding serotype 5 were performed. Comparison between cases of PPV23 serotype pneumonia and controls There were 717 cases of PPV23 serotype pneumonia (48% vaccinated) and 1,640 controls
(54.5% vaccinated). Compared to controls, cases were of a similar age (66.5 versus 65.4 years, p
= 0.18) but were less likely to be male (47.6% versus 56.9%, p < 0.0001) (Table 1). Cases had a
better baseline performance status (p-trend = 0.01), had higher severity disease on admission
(26.2% versus 21.5% high severity by CURB65; p-trend = 0.01), were less likely to have malig-
nancy or cardiac disease, but were more likely to be alcohol dependent. Primary analysis: VE against PPV23 serotypes In the primary analysis of all cases of PPV23 serotype disease, the crude VE estimate was 23%
(95% CI 8%–35%) (Table 2). Following adjustment for age, sex, flu vaccination status, and clin-
ical risk factors, estimated VE was 24% (95% CI 5%–40%, p = 0.02). Full model parameters are
available in S2 Table. Adjusted estimates of VE (aVE) were similar in patient subgroups
restricted by (i) vaccine eligibility (n = 1,768, aVE 23%, 95% CI 1%–40%, p = 0.04) and (ii)
age 65 years (n = 1,407, aVE 20%, 95% CI −5% to 40%, p = 0.11). In patients aged 75 years
(n = 905), aVE was only 5% (95% CI −37% to 35%, p = 0.77). The mean times from vaccination
to index admission with CAP for these patient subgroups were 10.4 (SD 5.4) years, 10.8 (SD
5.3) years, and 11.8 (SD 4.8) years, correspondingly. PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 6 / 17 Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia PLOS MEDICINE Table 1. Characteristics of cases and control groups for the primary analysis. Primary analysis: VE against PPV23 serotypes Controls
N (%)
Case PPV23 Disease
N (%)
Odds Ratio
(95% CI)
p-Value
Number
1,640
717
Mean Age (SD)
66.5 (18.3)
65.4 (18.7)
1.00 (0.99–1.00)
0.18
Sex, Male
932 (56.9)
341 (47.6)
0.69 (0.58–0.82)
<0.001
Residential Care
57 (3.5)
24 (3.4)
0.96 (0.59–1.56)
0.88
Baseline Performance Status
0
522 (31.8)
285 (39.8)
1
1
587 (35.8)
229 (31.9)
0.71 (0.58–0.88)
2
291 (17.7)
123 (17.1)
0.77 (0.60–1.00)
3
81 (4.9)
31 (4.3)
0.70 (0.45–1.09)
4
55 (3.4)
16 (2.2)
0.53 (0.30–0.95)
0.009
Missing
104 (6.3)
33 (4.6)
Severity by CURB65 Score
Low
820 (50.0)
313 (43.7)
1
Moderate
467 (28.5)
216 (30.1)
1.21 (0.98–1.49)
Severe
353 (21.5)
188 (26.2)
1.40 (1.12–1.74)
0.009
Comorbidity
Malignancy
168 (10.3)
52 (7.3)
0.68 (0.49–0.95)
0.02
Liver disease
31 (1.9)
19 (2.7)
1.41 (0.79–2.52)
0.24
Cardiac failure
112 (6.8)
33 (4.6)
0.66 (0.44–0.98)
0.04
Cerebrovascular disease
127 (7.7)
52 (7.3)
0.93 (0.67–1.30)
0.68
Renal disease
157 (9.6)
67 (9.3)
0.97 (0.72–1.32)
0.86
Diabetes
266 (16.2)
110 (15.3)
0.94 (0.73–1.19)
0.59
IHD
188 (11.5)
63 (8.8)
0.74 (0.55–1.00)
0.05
Cognitive impairment
55 (3.4)
26 (3.6)
1.08 (0.67–1.74)
0.74
Asthma
163 (9.9)
84 (11.7)
1.20 (0.91–1.59)
0.19
COPD
393 (24.0)
169 (23.6)
0.98 (0.80–1.20)
0.84
Chronic heart disease
277 (16.9)
86 (12.0)
0.67 (0.52–0.87)
0.003
Chronic lung disease
446 (27.2)
192 (26.8)
0.98 (0.80–1.19)
0.83
Hypertension
389 (23.7)
182 (25.4)
1.09 (0.89–1.34)
0.39
Alcohol
34 (2.1)
26 (3.6)
1.78 (1.06–2.99)
0.03
Immunosuppression
75 (4.6)
33 (4.6)
1.01 (0.66–1.53)
0.98 Table 1. Characteristics of cases and control groups for the primary analysis. p-Trend derived from chi-squared test for trend. Secondary analysis: PPV23/non-PCV13 cases and serotype specific aAdjusted for age, sex, receipt of seasonal flu vaccination, and presence or absence of the following risk factors: malignancy, cardiac failure, cerebrovascular disease,
chronic renal disease, chronic liver disease, diabetes, ischaemic heart disease, COPD, other chronic cardiac disease, other chronic lung disease, hypertension, alcohol
dependence, and immunosuppression. bAdjusted for age, sex, receipt of seasonal flu vaccination. cAdjusted for age group over 65, sex, receipt of seasonal flu vaccination, and presence or absence of a clinical risk factor. ed for sex, receipt of seasonal flu vaccination, and presence or absence of a clinical risk factor only. Unadjusted and adjusted results of the primary analysis, subgroup analysis, and the secondary case group analysis in cases against controls. The baseline group for all
analysis is the respective control group. Vaccine exposure confirmed and self-reported yes at any point prior to their index admission. p-Values in bold are <0.05. Abbreviations: aVE, adjusted VE; COPD, chronic obstructive pulmonary disease; PCV, pneumococcal conjugate vaccine; PPV23, 23-valent pneumococcal
polysaccharide vaccine; VE, vaccine effectiveness serotypes 19A and 9N, while a negative aVE was observed for serotypes 5 (aVE −144%, 95% CI
−503% to 1%, p = 0.05) and 11A (aVE −110%, 95% CI −415% to 14%, p = 0.1). serotypes 19A and 9N, while a negative aVE was observed for serotypes 5 (aVE −144%, 95% CI
−503% to 1%, p = 0.05) and 11A (aVE −110%, 95% CI −415% to 14%, p = 0.1). Secondary analysis: PPV23/non-PCV13 cases and serotype specific In the secondary analysis of PPV23/non-PCV13 serotype disease (n = 417, 43.7% vaccinated),
the aVE was 29% (95% CI 6%–46%, p = 0.02) (Table 2). Similar estimates were observed in the
vaccine-eligible (aVE 26%, 95% CI 0%–46%, p = 0.05) and 65-year-old (aVE 24%, 95% CI
−7% to 47%, p = 0.12) subgroups. No vaccine effect was observed in the 75-year-old sub-
group (aVE −2%, 95% CI −65% to 37%, p = 0.93). Serotype-specific aVE estimates varied by
serotype. The highest estimates were seen in serotypes 3 (aVE 40%, 95% CI 14%–59%, p =
0.01), 12F (aVE 39%, 95% CI −20% to 69%, p = 0.15), 19F (aVE 38%, 95% CI −60% to 76%, p =
0.32), and 8 (aVE 34%, 95% CI 1%–55%, p = 0.04) (S3 Table). No vaccine effect was seen for PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 7 / 17 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia Table 2. Unadjusted VE and aVE estimates. Cases N (%)
Controls N (%)
Unadjusted VE % (95% CI)
aVE % (95% CI)
p-Value Adjusted Analysis
Primary Analysis: All PPV23 Serotypes
Whole Cohort
Number
717
1,640
Not vaccinated
373 (52.0)
746 (45.5)
Vaccinated
344 (48.0)
894 (54.5)
23 (8 to 35)
24 (5 to 40)a
0.02
Subgroup: Vaccine Eligible
Number
503
1,265
Not vaccinated
189 (37.6)
416 (32.9)
Vaccinated
314 (62.4)
849 (67.1)
19 (−1 to 34)
23 (1 to 40)b
0.04
Subgroup: 65 Years
Number
414
993
Not vaccinated
133 (32.1)
267 (26.9)
Vaccinated
281 (67.9)
726 (73.1)
22 (0 to 39)
20 (−5 to 40)c
0.11
Subgroup: 75 Years
Number
246
659
Not vaccinated
65 (26.4)
168 (25.5)
Vaccinated
181 (73.6)
491 (74.5)
5 (−33 to 32)
5 (−37 to 35)d
0.77
Secondary Analysis
PPV23/non-PCV13 Serotypes (Whole Cohort)
Number
417
1,640
Not vaccinated
235 (56.4)
746 (45.5)
Vaccinated
182 (43.7)
894 (54.5)
35 (20 to 48)
29 (6 to 46)a
0.02
aAdjusted for age, sex, receipt of seasonal flu vaccination, and presence or absence of the following risk factors: malignancy, cardiac failure, cerebrovascular disease,
chronic renal disease, chronic liver disease, diabetes, ischaemic heart disease, COPD, other chronic cardiac disease, other chronic lung disease, hypertension, alcohol
dependence, and immunosuppression. bAdj
d f
i
f
l fl
i
i Table 2. Unadjusted VE and aVE estimates. Sensitivity analysis: Vaccine-confirmed cases Patients with vaccine status confirmed through primary health records were older (67.9 versus
62.3 years) and more likely to have comorbid disease with higher severity disease on admission
(24.2% versus 18.8% high severity disease) (S4 Table). A higher proportion were vaccinated
with PPV23 (59.6% versus 28.7%). Sensitivity analysis of those with confirmed vaccine status
produced slightly lower aVE estimates for all PPV23 cases (aVE 19%, 95% CI −5% to 37%, p =
0.12) and PPV23/non-PCV13 cases (aVE 21%, 95% CI −10% to 43%, p = 0.16) with confidence
intervals crossing zero in both instances. There was no change in the primary outcome follow-
ing sensitivity analysis of those missing both confirmed and self-reported vaccine status (n =
54). PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 8 / 17 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia Time from vaccination Data on date of vaccination were available for 535 (74.6%) cases of PPV23 serotype disease
and 1,285 (78.3%) controls. The p-trend across time groups was 0.39, suggesting no association
between time since vaccination and being a case (Table 3). For PPV23/non-PCV13 serotype
disease, an association was observed (p-trend = 0.04); the highest aVE seen in those vaccinated
within 5 years (aVE 46%) declining to 5% in those vaccinated 15 years prior (Table 3). A cubic spline model demonstrating change in VE with time since vaccination is shown in
Fig 1. For PPV23 serotype disease, an inverted-U shape was observed suggesting a negative VE
in those most recently vaccinated (Fig 1A). A post hoc descriptive analysis of cases vaccinated
0–5 years prior to admission found that the most commonly identified serotype was serotype 5
(n = 23, 34.6%) equating to 75.8% (23/33) of all serotype 5 cases. When serotype 5 cases were
excluded from the PPV23 serotype case group, the inverted-U shape was not observed (Fig 1C). Discussion The key study findings are that PPV23 vaccination provides moderate long-term protection in
vaccinated individuals against hospitalisation with PPV23 serotype pneumonia (aVE 24%),
with similar levels of protection evident for patient subgroups restricted to those who are vac-
cine eligible according to UK immunisation policy recommendations (aVE 23%) and patients
aged 65 years (aVE 20%) but not for patients aged 75 years (aVE 5%). We also found pro-
tection against hospitalisation with PPV23/non-PCV13 serotype pneumonia to be similar
(aVE 29%). To our knowledge, only 2 other studies have previously reported on the serotype-specific
effectiveness of PPV23 against pneumococcal pneumonia. Slightly higher VE estimates were Table 3. Time from vaccination analysis. Number
Adjusted Odds Ratio
p-Trend
% aVE
(95% CI)
PPV23 Serotypes
Never
736
1
0
>15 years
228
0.9 (0.62 to 1.3)
10 (−30 to 38)
10–15 years
360
0.71 (0.51 to 0.99)
29 (1 to 49)
5–10 years
293
0.7 (0.49 to 0.98)
30 (2 to 51)
0–5 years
203
1.07 (0.74 to 1.54)
0.39
−7 (−54 to 26)
PPV23/non-PCV13 Serotypes Only
Never
641
1
0
>15 years
196
0.95 (0.59 to 1.52)
5 (−52 to 41)
10–15 years
324
0.85 (0.56 to 1.29)
15 (−29 to 44)
5–10 years
264
0.81 (0.53 to 1.24)
19 (−24 to 47)
0–5 years
155
0.54 (0.31 to 0.95)
0.04
46 (5 to 69) Table 3. Time from vaccination analysis. Adjusted odds ratios for case status between vaccinated and unvaccinated individuals in each time from vaccination
group, compared to the baseline never vaccinated group. The p-trend across groups is presented. All estimates are
adjusted for age, sex, receipt of seasonal flu vaccination, and presence or absence of the following risk factors:
malignancy, cardiac failure, cerebrovascular disease, chronic renal disease, chronic liver disease, diabetes, ischaemic
heart disease, COPD, other chronic cardiac disease, other chronic lung disease, hypertension, alcohol dependence,
and immunosuppression. VE estimates are calculated as (1 –adjusted odds ratio) × 100. Abbreviations: aVE, adjusted VE; COPD, chronic obstructive pulmonary disease; PCV, pneumococcal conjugate
vaccine; PPV23, 23-valent pneumococcal polysaccharide vaccine; VE, vaccine effectiveness Adjusted odds ratios for case status between vaccinated and unvaccinated individuals in each time from vaccination
group, compared to the baseline never vaccinated group. The p-trend across groups is presented. https://doi.org/10.1371/journal.pmed.1003326.t003 Discussion Our estimates therefore represent long- PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 10 / 17 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia term VE estimates. Secondly, our study took place in the setting of established PCV13 use
within a strong national childhood vaccination program and resultant herd protection against
these serotypes. In contrast, PCV13 replaced PCV7 in the Japanese childhood vaccination pro-
gram only in the last 6 months of the study by Suzuki and colleagues. A matched case-control study by Kim and colleagues of patients 65 years of age in the
Republic of Korea found similar aVE estimates to ours in those aged 65–75 (aVE 21.0%) but
no effect in those 75 years (aVE −35%) [21]. Of note, the median interval from vaccination
to disease was short at 15 months, representing peak VE, and therefore their estimates are
lower than might be expected. Both Suzuki and colleagues and Kim and colleagues relied on
culture-based techniques of pneumococcal isolates to identify serotype [14,21]. As only a
minority of patients with pneumococcal infection usually have positive respiratory and/or
blood cultures, those studies represent a selected patient group [22]. Our VE estimates are lower than those reported for PPV23 vaccination against IPD. In a
Cochrane review by Moberley and colleagues, the pooled odds of vaccination in cases of IPD
was 0.26 (n = 11 randomised controlled trials [RCTs], 95% CI 0.14–0.45) and in vaccine-type
IPD was 0.18 (n = 5 RCTs, 95% CI 0.1%–0.31%), equating to VE estimates of 74% and 82%,
respectively [8]. As included clinical trials had shorter follow-up periods (2–3 years) compared
to the mean time since vaccination observed in our study (10.4 years), their estimates likely
represent maximal VE post-vaccination. In addition, Moberley and colleagues included older
studies (pre-1970) that predominantly included cohorts of young, healthy individuals for
whom the effect of immunosenescence is less important and consequently where VE estimates
may be expected to be higher. Subgroup analysis by Moberley and colleagues of patients with
known chronic disease from high-income countries found no protective effect, suggesting dif-
ferential VE depending on underlying disease within IPD [8]. Discussion All estimates are
adjusted for age, sex, receipt of seasonal flu vaccination, and presence or absence of the following risk factors:
malignancy, cardiac failure, cerebrovascular disease, chronic renal disease, chronic liver disease, diabetes, ischaemic
heart disease, COPD, other chronic cardiac disease, other chronic lung disease, hypertension, alcohol dependence,
and immunosuppression. VE estimates are calculated as (1 –adjusted odds ratio) × 100. Abbreviations: aVE, adjusted VE; COPD, chronic obstructive pulmonary disease; PCV, pneumococcal conjugate
vaccine; PPV23, 23-valent pneumococcal polysaccharide vaccine; VE, vaccine effectiveness https://doi.org/10.1371/journal.pmed.1003326.t003 9 / 17 PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia reported b Suzuki and colleagues in their stud of PPV23 effecti eness in adults o er the age
Fig 1. VE against time since vaccination using the spline model. VE by time since vaccination (in years) using the
cubic spline model for the following case groups: (A) all PPV23 serotype disease, (B) PPV23/nonPCV13 serotype
disease, and (C) all PPV23 serotype disease excluding serotype 5. Individual estimates for each year are shown but are
based on small participant numbers within each year. PCV, pneumococcal conjugate vaccine; PPV23, 23-valent
pneumococcal polysaccharide vaccine; VE, vaccine effectiveness. https://doi.org/10.1371/journal.pmed.1003326.g001 Fig 1. VE against time since vaccination using the spline model. VE by time since vaccination (in years) using the
cubic spline model for the following case groups: (A) all PPV23 serotype disease, (B) PPV23/nonPCV13 serotype
disease, and (C) all PPV23 serotype disease excluding serotype 5. Individual estimates for each year are shown but are
based on small participant numbers within each year. PCV, pneumococcal conjugate vaccine; PPV23, 23-valent
pneumococcal polysaccharide vaccine; VE, vaccine effectiveness. https://doi.org/10.1371/journal.pmed.1003326.g001 https://doi.org/10.1371/journal.pmed.1003326.g001 https://doi.org/10.1371/journal.pmed.1003326.g001 reported by Suzuki and colleagues in their study of PPV23 effectiveness in adults over the age
of 65 in Japan [14]. Using a similar test-negative design, they estimated PPV23 VE to be 33.5%
(95% CI 5.6%–53.1%) against PPV23 serotypes and 27.4% (95% CI 3.2%–45.6%) against all
pneumococcal pneumonia. There are differences that may account for our lower VE estimate. Firstly, our primary analysis included all vaccinated patients regardless of time of vaccination,
whereas Suzuki and colleagues only considered a patient vaccinated if they had received the
vaccine within 5 years prior to their index admission. PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 Discussion Using more recent UK data,
Djennad and colleagues estimated VE of PPV23 against vaccine-type IPD in patients 65
years to be only slightly higher than those observed in our study of predominantly NIPP (IPD
aVE 27%, 95% CI 17%–35%, bacteraemic pneumonia aVE 29%, 95% CI 17%–40%) [9]. Over-
all, it remains likely that PPV23 VE is greater against IPD than NIPP, but the size of difference
may not be as large as previously estimated. In our cohort of predominantly NIPP, we found the aVE for serotype 3 was 40% (95% CI
14%–59%). This is similar to VE estimates by Suzuki and colleagues (41.2%, 95% CI −10.8% to
68.8%) [14]. These results suggest that moderate direct protection is afforded by PPV23 against
serotype 3 NIPP. Similar direct effects against serotype 3 NIPP in adults have been observed
following PCV13 vaccination [23]. In contrast, in relation to adult IPD, Djennad and col-
leagues found no vaccine effect of PPV23 against serotype 3 [9]. Taken together, these results
suggest that VE of PPV23 against serotype 3 may vary according to type of pneumococcal
disease. PPV23 induces an immune response via B cells in a time- and dose-dependent manner;
due to its T-cell–independent mechanism, it is not expected to provide lifelong immunity via
immunological memory [24]. The duration of protection afforded by the PPV23 vaccine is
estimated at between 3 and 10 years [25,26]. Djennad and colleagues reported a decrease in VE
estimates against PPV23 serotype disease 5 years since vaccination in their IPD cohort (0–2
years VE 41%; 5 years VE 23%) [9]. Our time interval analyses suggest a loss of protection in
those vaccinated 10 to 15 years previously. This represents a longer durability of protection
than might be expected from immunogenicity studies alone. However, our time-dependent
estimates lack precision due to sample size limitations and may be affected by survival bias in
those furthest from vaccination. VE of PPV23 is known to differ by serotype within IPD [9]. In a post hoc analysis, we
observed that serotype 5 was responsible for the largest proportion (34.3%) of cases of PPV23 PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 11 / 17 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia serotype pneumonia within 0–5 years of vaccination. Discussion Since the introduction of PCV vaccines,
serotype 5 has become an uncommon cause of IPD though it continues to be associated with
cases of NIPP both in the UK and the US [6,27,28]. Prior to the introduction of PCV vaccines,
it was considered a low-carriage, high-virulence serotype that could occur in disease outbreaks
[29,30]. In our study, cases of serotype 5 pneumonia were spread evenly across the 5 years of
the study, and we found no evidence for temporal clustering. Pimenta and colleagues recently
reported other Streptococcal strains (S. infantis, S. mitis, and S. oralis) expressing serotype 5
capsule [31]. These pathogens commonly colonise the nasopharynx and mouth although they
are not normally associated with a clinical diagnosis of CAP. The Bio-plex24 assay is highly
sensitive [15]. It is therefore possible that there is a nonpneumococcal provenance for the
detected serotype 5 antigen in our cases. However, such cross-reactivity would not in itself
explain the differential effect in vaccinated and unvaccinated patients. We are not aware of any
previous data, nor mechanism, to suggest that PPV23 vaccination might increase the risk of
serotype 5 pneumonia and are currently unable to explain why 75% of cases of serotype 5
pneumonia occurred within 5 years of PPV23 vaccination in our study cohort. Accepting the
possibility of a serotype 5 outbreak disproportionately affecting vaccinated individuals would
mean that our estimates of PPV23 VE are conservative. Our observations around serotype 5
warrant further study, including confirmation in a separate cohort of patients. PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 Supporting information S1 Text. STROBE checklist. STROBE, Strengthening the Reporting of Observational Studies
in Epidemiology. (DOC) Conclusions In the setting of an established national childhood PCV13 vaccination programme, PPV23
vaccination in clinical at-risk patient groups and adults 65 years of age appears moderately
effective against hospitalisation with PPV23 serotype pneumococcal pneumonia. Implications This study suggests that single-dose adult PPV23 vaccination in the setting of an established
childhood PCV13 vaccination programme provides moderate VE against hospitalisation with
PPV23 serotype pneumonia and that the current UK adult pneumococcal vaccine policy
appropriately identifies clinical at-risk patient groups who benefit from PPV23 vaccination. However, there is a suggestion, consistent with data from other studies, that protection more
than 15 years after vaccination is low. In many countries, the vast majority of adults who
receive PPV23 vaccination do so at, or before, the age of 65 years, while the median age of
adults hospitalised with CAP is around 75 years [36]. This raises questions regarding the tim-
ing of adult pneumococcal vaccination and the role and value of revaccination in the context
of an ageing population [37,38]. Repeat vaccination with PPV23 has been found to safely pro-
duce immunogenic antibody responses with limited evidence of immune hypo-responsiveness
following an interval of 5 years or more; however, studies in high-risk populations have not
been able to show VE against IPD following revaccination [39,40]. Newer multivalent PCV
vaccines are coming to market and may provide alternative options to consider. Strengths and limitations The main strengths of this study are (i) the use of a serotype-specific multiplex urine assay
allowing analysis of VE in both IPD and NIPP across all serotypes included within the
PPV23 vaccine, (ii) analysis based on a large cohort of consecutively consented patients
without knowledge of the causative serotype at the time of recruitment, thereby minimising
selection bias, and (iii) findings set in the background of a strong national PCV13 childhood
vaccination programme providing well-established adult herd protection effects. Vaccine
status, including date of vaccine, was confirmed through primary care records in a high pro-
portion of patients, thus minimising the effect of recall and misclassification bias. The accu-
racy of those with self-reported and confirmed vaccine status was 82.7% for those who self-
reported as ‘vaccinated’ and 56.1% for those who self-reported as ‘not vaccinated’; the direc-
tion of bias when including self-reported vaccine status is therefore towards a more conser-
vative VE estimate [32]. The study is subject to the inherent biases common to case-control studies; however, the
main limitation is lack of power. Due to relatively high vaccination rates in both case and con-
trol groups, our analysis is underpowered to reject the null hypothesis (that there is no vaccine
effect observed); 2,100 patients would be required in each outcome group for 80% power at a
significance level of 0.05 for a VE of 22%, estimated on the vaccine exposure within the whole
cohort. The statistically significant results observed therefore are likely to represent true find-
ings. However, the study sample was not large enough to enable robust subgroup analyses of
VE by age groups above 65 years. Secondly, of those identified as eligible for the cohort study
on which this analysis was conducted, patients in whom study consent was not obtained were
older (median age 82.2 years) with more comorbid disease [6]. Therefore, VE estimates pre-
sented here may be less applicable to persons aged above 80 years [33]. Due to the retrospective
nature of the study, adjusting by time since vaccination is not possible in the unvaccinated
cohort. Our case group were more likely to be female. Close contact with children has previ-
ously been found to be associated with an increased risk of pneumococcal disease [34,35]. The
observed female predominance in cases may reflect sex differences in level of close contact
with children. Strengths and limitations PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 12 / 17 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia S2 Text. Prospective statistical analysis plan—March 2019.
(DOCX) S1 Table. Characteristics of the unvaccinated and vaccinated patient cohorts. Unadjusted
odds ratios with 95% CIs are presented with p-values. The baseline group for all analysis is the
unvaccinated cohort. p-Trend derived from chi-squared test for trend. (DOCX) S2 Table. Estimated model parameters for the primary analysis model. Odds ratios, 95%
CIs, and p-values are displayed. (DOCX) Author Contributions Conceptualization: Hannah Lawrence, Tricia M. McKeever, Wei Shen Lim. Data curation: Hannah Lawrence, Harry Pick. Formal analysis: Hannah Lawrence, Caroline Trotter, Tricia M. McKeever. Investigation: Hannah Lawrence, Harry Pick, Vadsala Baskaran, Priya Daniel, Chamira
Rodrigo, Deborah Ashton, Rochelle C. Edwards-Pritchard, Carmen Sheppard, Seyi D. Eletu, David Litt, Norman K. Fry, Samuel Rose. Methodology: Hannah Lawrence, Caroline Trotter, Tricia M. McKeever, Wei Shen Lim. Project administration: Hannah Lawrence, Wei Shen Lim. Project administration: Hannah Lawrence, Wei Shen Lim. Resources: Seyi D. Eletu. Resources: Seyi D. Eletu. Resources: Seyi D. Eletu. Supervision: Wei Shen Lim. Supervision: Wei Shen Lim. Supervision: Wei Shen Lim. Validation: Rochelle C. Edwards-Pritchard, Carmen Sheppard, Seyi D. Eletu. Writing – original draft: Hannah Lawrence, Tricia M. McKeever, Wei Shen Lim. Writing – review & editing: Hannah Lawrence, Harry Pick, Vadsala Baskaran, Priya Daniel,
Carmen Sheppard, Seyi D. Eletu, David Litt, Norman K. Fry, Caroline Trotter, Tricia M. McKeever, Wei Shen Lim. S2 Table. Estimated model parameters for the primary analysis model. Odds ratios, 95%
CIs, and p-values are displayed.
(DOCX) S3 Table. Unadjusted and adjusted results of the serotype-specific analysis. The baseline
group for all analysis is the respective control group. Vaccine exposure confirmed and self-
reported yes at any point prior to their index admission. Results are adjusted for age, sex,
receipt of seasonal flu vaccination, and presence or absence of a clinical risk factor only. (DOCX) S4 Table. Characteristics of patients in whom the vaccine status was confirmed via primary
care compared to those with self-reports only. p-Trend derived from chi-squared test for
trend. (DOCX) S5 Table. Subanalysis of the cohort restricted to 60- to 75-year-olds with no known risk
factors. Unadjusted and adjusted results of the primary analysis and the secondary case group S5 Table. Subanalysis of the cohort restricted to 60- to 75-year-olds with no known risk
factors. Unadjusted and adjusted results of the primary analysis and the secondary case group PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 13 / 17 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia analysis in cases against controls. The baseline group for all analysis is the respective control
group. Vaccine exposure confirmed and self-reported yes at any point prior to their index
admission. Adjusted for sex only. (DOCX) S6 Table. Subanalysis excluding serotype 5 from the primary analysis group (all PPV23
serotypes). Adjusted for age, sex, receipt of seasonal flu vaccination, and presence or absence
of the following risk factors: malignancy, cardiac failure, cerebrovascular disease, chronic renal
disease, chronic liver disease, diabetes, ischaemic heart disease, COPD, other chronic cardiac
disease, other chronic lung disease, hypertension, alcohol dependence, and immunosuppres-
sion. ^Adjusted for age, sex, receipt of seasonal flu vaccination. COPD, chronic obstructive
pulmonary disease; PPV23, 23-valent pneumococcal polysaccharide vaccine. (DOCX) Acknowledgments The authors would like to thank Nick Andrews, Senior Statistician at Public Health England,
for his support with statistics; the Nottingham Pneumonia Patient and Public Involvement
group for their ongoing input in respiratory infection research; and all participants who gave
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The challenge of immune changes with aging. Seminars in Immunology. 2018; 40:83–94. https://doi. org/10.1016/j.smim.2018.10.010 PMID: 30501873 34. Daniel P, Rodrigo C, Bewick T, Sheppard C, Greenwood S, McKeever TM, et al. Increased incidence of
adult pneumococcal pneumonia during school holiday periods. ERJ open research. 2017; 3(1). Epub
2017/03/23. https://doi.org/10.1183/23120541.00100–2016 PMID: 28326311; PubMed Central
PMCID: PMC5349095 openres.ersjournals.com. 35. Rodrigo C, Bewick T, Sheppard C, Greenwood S, Macgregor V, Trotter C, et al. Pneumococcal sero-
types in adult non-invasive and invasive pneumonia in relation to child contact and child vaccination PLOS Medicine | https://doi.org/10.1371/journal.pmed.1003326
October 23, 2020 16 / 17 PLOS MEDICINE Effectiveness of the PPV23 vaccine against vaccine serotype pneumococcal pneumonia status. Thorax. 2014; 69(2):168–73. Epub 2013/09/21. https://doi.org/10.1136/thoraxjnl-2013-203987
PMID: 24048505. 36. British Thoracic Society B, Lawrence H, Lim WS. National Audit Report: Adult Community Acquired
Pneumonia Audit 2018–2019. Online: 2019. 37. Robert Koch Institut S. Recommentations of the Standing Committee on Vacciantion (STIKO) at the
Robert Koch Institue—2017/2018. 2017:Page 371. 38. Thorrington D, van Rossum L, Knol M, de Melker H, Rumke H, Hak E, et al. Impact and cost-effective-
ness of different vaccination strategies to reduce the burden of pneumococcal disease among elderly in
the Netherlands. PLoS ONE. 2018; 13(2):e0192640. Epub 2018/02/10. https://doi.org/10.1371/journal. pone.0192640 PMID: 29425249; PubMed Central PMCID: PMC5806887. 39. Caya CA, Boikos C, Desai S, Quach C. Dosing regimen of the 23-valent pneumococcal vaccination: a
systematic review. Vaccine. 2015; 33(11):1302–12. Epub 2015/02/11. https://doi.org/10.1016/j. vaccine.2015.01.060 PMID: 25660650. 40. Takashima M, Lambert SB, Paynter S, Ware RS. Relative effectiveness of revaccination with 23-valent
pneumococcal polysaccharide vaccine in preventing invasive pneumococcal disease in adult Aboriginal
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doi.org/10.1016/j.vaccine.2019.01.085 PMID: 30782489. 17 / 17
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1 O’Brien, ‘Self Portrait’, quoted in Eibhear Walshe, Kate O’Brien: A Writing Life (Dublin: Irish Academic
Press, 2008), pp.37-38. 1 O’Brien, ‘Self Portrait’, quoted in Eibhear Walshe, Kate O’Brien: A Writing Life (Dublin: Irish Academic
Press 2008) pp 37 38 ,
Press, 2008), pp.37-38. Kate O’Brien in the Theatre James Moran The New Kate O’Brien The New Kate O’Brien Kate O’Brien first came to public attention through her theatre work rather than her prose
fiction. In 1926, the twenty-eight-year-old O’Brien had abandoned her marriage of less
than a year and was working for a charity in London. Here her social circle included the
actor and fellow UCD graduate, Veronica Turleigh. As O’Brien later remembered: At this time I was mixing with young actors and writers. I used to talk about the
theatre a lot and Veronica Turleigh, who was just out of the Academy of Dramatic
Art, very young, bet me a pound that I wouldn’t write a play in a month to give to
her and I did! She took it to an agent, and paid me the pound which was very
decent of her, and he read it and set me twenty-five pounds on its chances, he
thought so well of it. I never before or since heard of an agent doing that…it was
a young, over-written play, very tragic, very kitchen sink, over-romantic but I do
think it had some merit.1 That period of her life was soon superseded, as O’Brien went on to win acclaim as a
novelist, with her 1931 volume Without My Cloak scooping the James Tait Black, the
Hawthornden, and the Book Society prizes. Her first novel portrays the problems of 1 O’Brien, ‘Self Portrait’, quoted in Eibhear Walshe, Kate O’Brien: A Writing Life (Dublin: Irish Academic
Press, 2008), pp.37-38. bourgeois life in Mellick (a fictional version of O’Brien’s hometown of Limerick), and
her association with the middle-class was highlighted in the 1945 film Brief Encounter, in
which Celia Johnson’s character wishes to visit a library in order to collect ‘the new Kate
O’Brien’.2 Yet before she became known as a novelist, it was Kate O’Brien’s theatre work that had
first seen her exploring the idea of middle-class angst. When she responded to Veronica
Turleigh’s bet, and completed the play Distinguished Villa in 1926, O’Brien created a
work set in the London suburb of Brixton, and portrayed the desperate lives led by the
aspidistra-growing and railway-commuting class. The plot revolves around the
aspirational Mabel Hemworth, who boasts that she and her husband ‘are known round
here as the model of what a married couple should be. y
g (
,
), p
3 O’Brien, Distinguished Villa: A Play in Three Acts (London: Ernest Benn, 1926), pp.20-1. 2 Quoted by Aintzane Legarreta Mentxaka, Kate O’Brien and the Fiction of Identity: Sex, Art and Politics
in Mary Lavelle and Other Writings (Jefferson: McFarland, 2011), p.101. 2 Quoted by Aintzane Legarreta Mentxaka, Kate O’Brien and the Fiction of Identity: Sex, Art and Politics
in Mary Lavelle and Other Writings (Jefferson: McFarland, 2011), p.101.
3 O’Brien, Distinguished Villa: A Play in Three Acts (London: Ernest Benn, 1926), pp.20-1. 4 Ivor Brown, ‘The Theatre: Behind the Lace Curtain’, Saturday Review, 7 August 1926, p.148. y
g
p
5 O’Brien, Distinguished Villa, p.60. 4 Ivor Brown, ‘The Theatre: Behind the Lace Curtain’, Saturday Review, 7 August 1926, p.148.
5 O’Brien, Distinguished Villa, p.60. ,
5 O’Brien, Distinguished Villa, p.60. vor Brown, ‘The Theatre: Behind the Lace Curtain’, Saturday Review, 7 August 1926, p.148. 6 ‘From our London Correspondent, Western Morning News, 21 August 1926, p.6. p
,
g
,
g
, p
7 Eibhear Walshe, Kate O’Brien: A Writing Life, p.38. ,
g
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8 ‘Irish Girl Typist’s Play a London Hit’, New York Times, 14 July 1926, p.19. J.W.G., ‘Distinguish
Villa’ Irish Independent 28 January 1929 p 6 Kate O’Brien in the Theatre We’ve been married over eleven
years, and yet everyone remarks on what a success we are, and what a nice refined home
we keep’.3 But the arrival and then potential departure of a female lodger, Frances
Llewellyn, makes Mabel’s husband realize that he is in fact profoundly miserable. Frances meanwhile has developed a mutually loving relationship with a young man, John
Morris, but their plans for a future together are ruined because John is compelled to
marry another woman who has become pregnant and (untruthfully) claims that he is the
father. The play ends with Mabel’s husband committing suicide in the kitchen. Critics felt broadly impressed by this realistic depiction of a social class that was
not over-represented on the English stage. As Ivor Brown asked, rhetorically, when
reviewing O’Brien’s debut play for the Saturday Review, ‘how many a time have we
settled down at eight-thirty to endure until eleven the company of ill-conditioned
aristocrats whose only occupation is adultery tempered by epigrams?’. Brown declared
himself temperamentally inclined to like any play in which the dramatist had instead
opted to ‘limit the incomes of the characters to six pounds a week, provide each with the
common necessity of doing a day’s work […] I find myself proclaiming a masterpiece
before the curtain has risen’.4 O’Brien had, after all, attempted to show the frustrations of
such six-pound-a-week characters, with Mabel Hemworth’s husband pointing to the
quietly miserable existence of ‘any of the chaps I know’: ‘Same old life eternally. Eight
forty-five train every morning regular. –Same fellows in the carriages. –Same
newspapers. –Same jokes. –Same office. –Same slogging. –Same lunch. –Home again. –
Same station. –Same walk. –Same gossip in the Avenue. –Ethelberta, do’ye think they’re
happy?’5 O’Brien’s play initially appeared for one evening only, on 2 May 1926, at O’Brien’s play initially appeared for one evening only, on 2 May 1926, at O’Brien’s play initially appeared for one evening only, on 2 May 1926, at
London’s Aldwych Theatre, given by the amateur company, The Repertory Players, yet
bad luck nearly doomed the work to utter obscurity. 8 ‘Irish Girl Typist’s Play a London Hit’, New York Times, 14 July 1926, p.19. J.W.G., ‘Distinguis
Villa’, Irish Independent, 28 January 1929, p.6. p
,
g
,
g
7 Eibhear Walshe, Kate O’Brien: A Writing Life, p.38. Kate O’Brien in the Theatre As the Western Morning News later
reported of O’Brien’s script, ‘On the night before the outbreak of the general strike a
remarkable play was produced in London, a play which was undeservingly robbed of its due acclamation owing to the temporary suppression of the newspapers’.6 Nonetheless,
the theatre producers José Levy and Henry Millar learned of O’Brien’s text, and brought
it to professional production at the Little Theatre two months later. This time, a great deal
of press attention came O’Brien’s way. The drama appeared for a two-month run in
London, and then toured across England.7 One newspaper reported that ‘four American
producers were already after the American rights to the play’, and although that US
production never occurred, the play did arrive at the Abbey in Dublin at the start of 1929,
where, according to the Irish Independent it ‘drew a large audience’ despite being ‘by no
means great work’.8 due acclamation owing to the temporary suppression of the newspapers’.6 Nonetheless,
the theatre producers José Levy and Henry Millar learned of O’Brien’s text, and brought
it to professional production at the Little Theatre two months later. This time, a great deal
of press attention came O’Brien’s way. The drama appeared for a two-month run in
London, and then toured across England.7 One newspaper reported that ‘four American
producers were already after the American rights to the play’, and although that US
production never occurred, the play did arrive at the Abbey in Dublin at the start of 1929,
where, according to the Irish Independent it ‘drew a large audience’ despite being ‘by no
means great work’.8 ,
,
y
, p
10 ‘Irish Players’, Irish Independent, 6 September 1926, p.6. ,
,
y
, p
10 ‘Irish Players’, Irish Independent, 6 September 1926, p.6. 9 See ‘Theatres’, The Times, 29 July 1926, p.10. g
,
,
y
, p
13 ‘London Letter’, Gloucester Citizen, 3 May 1926, p.4. y
p
14 ‘Another Irish Playwright’, Northern Whig, 14 July 1926, p.6. ‘Dramatis Personae’, Observer, 25 April
1926, p.15. The Irish playwright T.C. Murray had recently come to prominence in the British theatre, so
may also be implicated in these comments. 9 See ‘Theatres’, The Times, 29 July 1926, p.10. y
p
15 Quoted in Lorna Reynolds, Kate O’Brien: A Literary Portrait (Gerrards Cross: Colin Smythe, 1987),
p.39. 11 Irish Girl Typist s Play a London Hit , New York Times, 14 July 1
12 ‘London Stage Notes’ New York Times 18 July 1926 p X1 y
p
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11 ‘Irish Girl Typist’s Play a London Hit’, New York Times, 14 July 192
12 ‘L
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18 J l 1926
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12 ‘London Stage Notes’, New York Times, 18 July 1926, p.X1. G
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12 ‘London Stage Notes’, New York Times, 18 July 1926, p.X1. y
p
p
Irish Girl Typist’s Play a London Hit’, New York T Sean O’Casey Sean O’Casey The London run of Kate O’Brien’s play began on 12 July 1926, and took place
concurrently with the arrival of Sean O’Casey’s much-anticipated work, The Plough and
the Stars, in the British capital. That year, O’Casey’s drama had its London premiere on
12 May at the Fortune Theatre, and then transferred to the city’s New Theatre about two
weeks before Kate O’Brien’s work opened for its first run. O’Casey’s play had gained
notoriety for causing riotous protests when premiered at Dublin’s Abbey Theatre the
previous February, and in the summer of 1926 London newspapers therefore ran
advertisements for British production of O’Casey’s ‘famous play’ alongside adverts for O’Brien’s Distinguished Villa.9 That first London run of O’Casey’s work came to an end
on Saturday 4 September 1926, on exactly the same day that O’Brien’s Distinguished
Villa finished its spell at the Little Theatre.10 O’Brien’s Distinguished Villa.9 That first London run of O’Casey’s work came to an end
on Saturday 4 September 1926, on exactly the same day that O’Brien’s Distinguished
Villa finished its spell at the Little Theatre.10 Somewhat inevitably, then, when O’Brien was first introduced in the British and
US press she was repeatedly compared with O’Casey. On 14 July, for example, the New
York Times commented that O’Brien’s play was likely to see her ‘Share Fame with Sean
O’Casey’.11 Four days later, another piece in the New York Times announced O’Brien as
‘countrywoman of Sean O’Casey’.12 Meanwhile, in England, the Gloucester Citizen
described how O’Brien’s play Distinguished Villa ‘is sordid only in the sense that “Juno
and the Paycock” is sordid. Indeed, the young Irish playwright, Kate O’Brien, whose first
effort this is, and Sean O’Casey, her countryman, have spiritually much in common’.13
Another implied comparison perhaps came in the Northern Whig’s depiction of O’Brien
as ‘Yet another Irish playwright’, and in the Observer’s description of ‘Another Irish
play’.14 O’Brien even received a telegram from O’Casey himself, declaring, ‘Dublin
ventures to congratulate Limerick’.15 In particular, the biographical description of Kate O’Brien that was provided in
some prominent newspapers appears to have been shaped by the recent introduction that
the press had given to O’Casey. 16 ‘Plight of the Younger Irish Writers: Lecture by Mr. C. O’Leary’, Manchester Guardian, 21 October
1924, p.20. 1924, p.20.
17 ‘Best Literary Work of the Year’, Manchester Guardian, 24 March 1926, p.5. 16 ‘Plight of the Younger Irish Writers: Lecture by Mr. C. O’Leary’, Manchester Guardian, 21 October
1924, p.20.
17 ‘Best Literary Work of the Year’, Manchester Guardian, 24 March 1926, p.5. Sean O’Casey During October 1924 (after O’Casey had seen four of his
plays produced at the Abbey Theatre in Dublin), the Manchester Guardian reported that
O’Casey ‘had stood in a labour exchange queue only last week’.16 In March 1926,
O’Casey then arrived in London to receive the Hawthornden Prize for his play Juno and
the Paycock, and Lady Gregory accompanied him to the ceremony at the Aeolian Hall,
where she made a a widely reported speech to commend his win. The Manchester
Guardian reported what Lady Gregory had said, namely that: In particular, the biographical description of Kate O’Brien that was provided in
some prominent newspapers appears to have been shaped by the recent introduction that
the press had given to O’Casey. During October 1924 (after O’Casey had seen four of his
plays produced at the Abbey Theatre in Dublin), the Manchester Guardian reported that
O’Casey ‘had stood in a labour exchange queue only last week’.16 In March 1926, O’Casey then arrived in London to receive the Hawthornden Prize for his play Juno and
the Paycock, and Lady Gregory accompanied him to the ceremony at the Aeolian Hall,
where she made a a widely reported speech to commend his win. The Manchester
Guardian reported what Lady Gregory had said, namely that: At the age of 14 Mr. O’Casey went to work in a warehouse at 4s. a week and
afterwards got 9s. a week at a newsagent’s. He spent seven years working on the
railway, and worked as a builder for some years. His eyesight was so bad in his
youth that he was not able to learn to read, and he taught himself to read at the age
of 16. When he had saved a few pence he went among the bookstalls and bought
Shakespeare, from which time his dramatic education began.17 Shortly afterwards, that liberally fictionalized version of O’Casey’s biography found its
echo in the initial reporting of Kate O’Brien’s personal circumstances. On 14 July 1926
the Manchester Guardian declared that: The management of the Little Theatre were nonplussed this morning when
pressmen came asking for Miss Kate O’Brien, the young Irish girl whose play,
‘Distinguished Villa’, had last night impressed the audience and critics so
favourably. p
,
,
y
, p
19 ‘Irish Girl Typist’s Play a London Hit’, New York Times, 14 July 1926, p.19. 18 ‘Our London Correspondence’, Manchester Guardian, 14 July 1926, p.8. yp
y
,
,
y
, p
20 ‘The Theatre: Crooks and Cockneys’, Spectator, 6 August 1926, p.11. Sean O’Casey American managers also wanted a word with her about American
rights, but she had forgotten to give the theatre her address, and it was only after a
long search that she was discovered at her daily secretarial work in the office of
the Sunshine League.18 If O’Casey had been queuing at the Labour exchange, the New York Times pointed out
that ‘Miss O’Brien is a graduate of London’s queues, whose lines of patient men and
women who wait hours for the theatres to open in order to buy tickets for inexpensive
seats. “Many a queue have I stood in”, she said today when seen at her employer’s
office’.19 There were also, perhaps, some more meaningful connections between O’Casey
and O’Brien’s early work. For example, the Spectator’s review of Distinguished Villa
called attention to the alliterative effect of parts of O’Brien’s text (‘how grave your
glances grew’), something that offered a potential reminder of one of the most striking
features of O’Casey’s Dublin trilogy.20 And O’Casey and O’Brien had certainly written
plays that depicted the moral challenge of a woman becoming pregnant outside of
marriage. Furthermore, the main character in Distinguished Villa was first brought to life marriage. Furthermore, the main character in Distinguished Villa was first brought to life by Una O’Connor, an actor who had been trained, and first become known as a
performer, at the Abbey, and who would go on to perform in The Silver Tassie during
1929 as well as in the 1937 film of The Plough and the Stars.21 However, as we shall see in this article, that initial press comparison between
O’Brien and O’Casey gave a somewhat misleading impression of what O’Brien was
actually writing and how her theatrical career would develop. As we shall see in this
article, O’Brien’s drama showed a recurring interest in dissecting the sexual dilemmas of
the English middle-classes, a group whose love lives were not primarily of theatrical
interest to O’Casey. Furthermore, even though both O’Casey and O’Brien were interested
in fictionalizing extra-marital sex, O’Brien initially sought to bring such depictions onto
the stage of an English rather than an Irish theatre. Thus, although O’Brien subsequently
became famous for being censored in the Irish state, her earliest stage work shows how
she was first compelled to adjust to the rules of British rather than Irish censorship. 21 In O’Brien’s play, O’Connor played Mabel Hemworth with an impeccable London accent – but had
earlier in 1926 been seen playing the ‘Irish shrew’ in T.C. Murray’s play Autumn Fire at the same theatre.
See Ivor Brown, ‘The Theatre: Behind the Lace Curtain’, Saturday Review, 7 August 1926, p.148, and
Brown, ‘The Theatre: Three Kinds of Playboy’, Saturday Review, 24 April 1926, p.536. See also
Christopher Murray, Sean O’Casey: Writer at Work (Dublin: Gill & Macmillan, 2004), p.207. Rather Frank Passages 22 Sean O’Casey, The Complete Plays of Sean O’Casey, 5 vols (London: Macmillan, 1984), I, 81. y,
p
y
f
y,
(
,
), ,
23 O’Casey, The Complete Plays, I, 214. 22 Sean O’Casey, The Complete Plays of Sean O’Casey, 5 vols (London: Macmillan, 1984), I, 81.
23 O’Casey, The Complete Plays, I, 214. Sean O’Casey Four days later there was a director’s
meeting about O’Casey’s drama, after which Lady Gregory wrote that George O’Brien,
the Irish government’s representative on the Abbey broad (whose presence came with the
Abbey’s subsidy), had also taken offence at that part of O’Casey’s script. According to
Gregory, ‘O’Brien sat up in his chair reiterating at intervals, “That song is
objectionable”’. Gregory added, ‘We had already decided that it must go, but left it as a
bone for him to gnaw at’.24 Shortly afterwards, James B. Fagan directed the British
premiere of The Plough and the Stars in London, and Rosie’s song was originally
included in the typed script that was sent to the British censor. However, the censor
placed a big blue cross next to the song, forbidding it from London performance before a
British licence could be issued on 13 May 1926.25 However, the Abbey directors demanded that the song be cut in performance, and so the
original Irish audiences never saw that provocative, if comically framed, sexual
reference. As Lady Gregory noted in her journal on 20 September 1926, ‘Yeats says
[O’]Casey said about the song that must be removed from his play, “Yes, it’s a pity. It
would offend thousands. But it ought to be there”’. Four days later there was a director’s
meeting about O’Casey’s drama, after which Lady Gregory wrote that George O’Brien,
the Irish government’s representative on the Abbey broad (whose presence came with the
Abbey’s subsidy), had also taken offence at that part of O’Casey’s script. According to
Gregory, ‘O’Brien sat up in his chair reiterating at intervals, “That song is
objectionable”’. Gregory added, ‘We had already decided that it must go, but left it as a
bone for him to gnaw at’.24 Shortly afterwards, James B. Fagan directed the British
premiere of The Plough and the Stars in London, and Rosie’s song was originally
included in the typed script that was sent to the British censor. However, the censor
placed a big blue cross next to the song, forbidding it from London performance before a
British licence could be issued on 13 May 1926.25 When Kate O’Brien’s play Distinguished Villa first appeared on the London
stage, she wished to deal with a similar theme to O’Casey: the subplot of her play
revolves around a woman who has sex with two men and becomes pregnant by one of
them. (
y
,
), p
25 British Library, Lord Chamberlain’s Collection, LCP 1926/21, The Plough and the Stars, fol.I Gregory, quoted in The Years of O Casey, 1921 1926: A Documentary History, ed. by Robert H
Ricahrd Burnham (Gerrards Cross: Colin Smythe, 1992), p.284. 24 Gregory, quoted in The Years of O’Casey, 1921-1926: A Documentary History, ed. by Robert H 24 Gregory, quoted in The Years of O’Casey, 1921-1926: A Documentary History, ed. by Robert Hogan and
Ricahrd Burnham (Gerrards Cross: Colin Smythe, 1992), p.284. Sean O’Casey Nonetheless, in later life, O’Brien remained aware of the restrictions placed upon
Ireland’s theatres, and she would remain a champion of the sexually transgressive figures
of the Irish playhouse during her more mature years. Rather Frank Passages In Juno and the Paycock, Sean O’Casey broached the idea of Mary Boyle’s
pregnancy with such kid-gloved delicacy that, today, members of the audience are
sometimes left bewildered about what exactly the play is revealing: Jerry (passionately). Scorn! I love you, love you, Mary! Mary (rising, and looking him in the eyes). Even though… Mary (rising, and looking him in the eyes). Even though… Jerry. Even though you threw me over for another man; even though you gave
me many a bitter word! Jerry. Even though you threw me over for another man; even though you gave
me many a bitter word! Mary. Yes, yes, I know; but you love me, even though…even
though…I’m…goin’…goin’…(He looks at her questioningly, and fear gathers in
his eyes). Ah, I was thinkin’ so….You don’t know everything! Jerry (poignantly). Surely to God, Mary, you don’t mean that…that…that…
Mary. Now you know all, Jerry; now you know all!22 The meaning may have been veiled, but it did allow O’Casey’s play to appear on the
Dublin stage in 1924 and the London stage in 1925. He encountered more problems
afterwards when he wrote The Plough and the Stars and included a prostitute who was
supposed to sing about unmarried pregnancy. O’Casey wanted the prostitute to sing: We cuddled and kissed with devotion, till th’ night from th’ mornin’ had fled;
An’ there, to our joy, a bright bouncin’ boy We cuddled and kissed with devotion, till th’ night from th’ mornin’ had fled;
An’ there, to our joy, a bright bouncin’ boy Was dancin’ a jig in th’ bed!23 Was dancin’ a jig in th’ bed!23 However, the Abbey directors demanded that the song be cut in performance, and so the
original Irish audiences never saw that provocative, if comically framed, sexual
reference. As Lady Gregory noted in her journal on 20 September 1926, ‘Yeats says
[O’]Casey said about the song that must be removed from his play, “Yes, it’s a pity. It
would offend thousands. But it ought to be there”’. g
y, q
f
y,
y
Ricahrd Burnham (Gerrards Cross: Colin Smythe, 1992), p.284. 24 Gregory, quoted in The Years of O Casey, 1921-1926: A Documentary History, ed. by Robert Hogan and
Ricahrd Burnham (Gerrards Cross: Colin Smythe, 1992), p.284. Sean O’Casey However, O’Brien had to navigate the situation in a different way than O’Casey. His Dublin plays were prepared for the Abbey before transferring to London: so he was
accustomed to navigating Irish sensibilities first. But her Distinguished Villa was
prepared for London before subsequently appearing at the Abbey. This meant that, in the
first instance, O’Brien was preparing her text for a different censorship regime than
O’Casey, as the Irish stage was regulated separately in these matters from the rest of
Britain. From 1737, British theatres were subject to a system of prior censorship, and the
Licensing Act of that year required that any manager who wanted to stage a play first had
to submit it to the Lord Chamberlain. This rule initially applied to London, and British
towns with royal residences, but was extended more widely across the country by 1843, a
situation that was destined to continue until 1968. By contrast (and despite Ireland’s
status as part of the United Kingdom between 1801 and 1922) Ireland never had a pre-
production model of censoring or licensing plays. Instead, half a century after the British
Licensing Act, the Irish parliament approved the Dublin Stage Regulation Act (1786), His Dublin plays were prepared for the Abbey before transferring to London: so he was
accustomed to navigating Irish sensibilities first. But her Distinguished Villa was
prepared for London before subsequently appearing at the Abbey. This meant that, in the
first instance, O’Brien was preparing her text for a different censorship regime than
O’Casey, as the Irish stage was regulated separately in these matters from the rest of
Britain. From 1737, British theatres were subject to a system of prior censorship, and the
Licensing Act of that year required that any manager who wanted to stage a play first had
to submit it to the Lord Chamberlain. This rule initially applied to London, and British
towns with royal residences, but was extended more widely across the country by 1843, a
situation that was destined to continue until 1968. By contrast (and despite Ireland’s
status as part of the United Kingdom between 1801 and 1922) Ireland never had a pre-
production model of censoring or licensing plays. Instead, half a century after the British
Licensing Act, the Irish parliament approved the Dublin Stage Regulation Act (1786), which instituted a regime of patented theatres for Dublin city and county. (
y,
,
1926/21, The Plough and the Stars, fol.I.17); Mrs Gogan’s description ‘Orange bitch’ (fol.III.4); Bessie’s
descriptions ‘bloody’ (fol.III.5), ‘backside’ (fol.III.13) and ‘bitch’ (fol.IV.17); and Peter’s thrice repeated 26 This potentially meant editing the script for a British production. In 1925 the Lord Chamberlain did
approve the printed Macmillan script of O’Casey’s Juno and the Paycock, after the show had appeared in
Dublin, without correction (British Library, Lord Chamberlain’s Collection, LCP 1925/41, Juno and the 26 This potentially meant editing the script for a British production. In 1925 the Lord Chamberlain did
approve the printed Macmillan script of O’Casey’s Juno and the Paycock, after the show had appeared in
Dublin, without correction (British Library, Lord Chamberlain’s Collection, LCP 1925/41, Juno and the
Paycock). However, the following year the Lord Chamberlain demanded a number of changes to the
typescript he received of The Plough and the Stars before it could be seen on the British stage: as well as 26 This potentially meant editing the script for a British production. In 1925 the Lord Chamberlain Dublin, without correction (British Library, Lord Chamberlain s Collection, LCP 1925/41, Juno and the
Paycock). However, the following year the Lord Chamberlain demanded a number of changes to the
typescript he received of The Plough and the Stars before it could be seen on the British stage: as well as
deleting Rosie’s song about pregnancy, the British censor also forbade London audiences from hearing
Jack Clitheroe’s line ‘don’t mind that old bitch’ (British Library, Lord Chamberlain’s Collection, LCP
1926/21 Th Pl
h
d h S
f l I 17) M
G
’ d
i i
‘O
bi h’ (f l III 4) B
i ’ Paycock). However, the following year the Lord Chamberlain demanded a number of changes to the
typescript he received of The Plough and the Stars before it could be seen on the British stage: as well as
deleting Rosie’s song about pregnancy, the British censor also forbade London audiences from hearing 26 This potentially meant editing the script for a British production. In 1925 the Lord Chamberlain did
approve the printed Macmillan script of O’Casey’s Juno and the Paycock, after the show had appeared in
Dublin, without correction (British Library, Lord Chamberlain’s Collection, LCP 1925/41, Juno and the
Paycock). However, the following year the Lord Chamberlain demanded a number of changes to the
typescript he received of The Plough and the Stars before it could be seen on the British stage: as well as
deleting Rosie’s song about pregnancy, the British censor also forbade London audiences from hearing
Jack Clitheroe’s line ‘don’t mind that old bitch’ (British Library, Lord Chamberlain’s Collection, LCP
1926/21, The Plough and the Stars, fol.I.17); Mrs Gogan’s description ‘Orange bitch’ (fol.III.4); Bessie’s
descriptions ‘bloody’ (fol.III.5), ‘backside’ (fol.III.13) and ‘bitch’ (fol.IV.17); and Peter’s thrice repeated 26 This potentially meant editing the script for a British production. In 1925 the Lord Chamberlain did
approve the printed Macmillan script of O’Casey’s Juno and the Paycock, after the show had appeared in deleting Rosie’s song about pregnancy, the British censor also forbade London audiences from hea
Jack Clitheroe’s line ‘don’t mind that old bitch’ (British Library, Lord Chamberlain’s Collection, L ‘lowsey bastard’ (fol.III.15). The British censor also questioned whether the barmen should say ‘bloody’
(fol.II.13); whether Rosie should deliver her line ‘You louse, you louse you […] If I was a man, or you
were a woman, I’d bate th’ puss o’ you!’ (fol.II.16); whether the Covey should deliver his line describing
the deaths of the British Lancers in ‘a volley from th’ Post Office that stretched half o’ them’ (fol.III.3);
Lieutenant Langon’s wounded line about ‘Everyone else escapin’ an’ me getting’ th’ belly ripped asundher
[…] My God, it must be me own blood!’ (fol.III.18); and Nora’s two offstage screams of pain (fol.III.21).
27 ‘Irish Lady’s Play’, Irish Independent, 12 July 1926, p.8. [
]
y
,
(
);
27 ‘Irish Lady’s Play’, Irish Independent, 12 July 1926, p.8. ‘lowsey bastard’ (fol.III.15). The British censor also questioned whether the barmen should say ‘bloody’
(fol.II.13); whether Rosie should deliver her line ‘You louse, you louse you […] If I was a man, or you
were a woman, I’d bate th’ puss o’ you!’ (fol.II.16); whether the Covey should deliver his line describing
the deaths of the British Lancers in ‘a volley from th’ Post Office that stretched half o’ them’ (fol III 3); g
y
p
g
g
y
pp
[…] My God, it must be me own blood!’ (fol.III.18); and Nora’s two offstage screams of pain (fol.III.21). wsey bastard’ (fol.III.15). The British censor also questioned whether the barmen should say ‘blood
l II 13)
h h
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i
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[
] If I Sean O’Casey In preparing to
put his work on at the Abbey, then, O’Casey and his collaborators had to ensure that they
did not put at risk the permission granted for the premises – the Abbey’s physical
building in Dublin. Only secondarily, after the work was slated for the London stage, did
O’Casey have to worry about acquiring any licence for the dramatic work itself by
submitting his writing to the Lord Chamberlain in the British capital 26 By contrast, Kate O’Brien needed to make sure that, straight away, the sexual
descriptions spoken by her actors would be acceptable to the British Lord Chamberlain,
Lord Cromer. Indeed, the opening night of her first work on 12 July was almost cancelled
because of the reservations of Cromer, and on the Friday before the piece was due
onstage the following Monday, the producers at the Little Theatre had to engage in some
emergency negotiation with him. As O’Brien explained after the premiere, her play: […] was sent to the Lord Chamberlain last week. Unfortunately, owing to a rush,
a copy, containing some rather frank passages, which had been deleted for the
production, was used, and the Lord Chamberlain’s department said that it would
be impossible to pass the play for production on Monday, as it would have to go
before the Advisory Committee. On Friday we wrote to the Lord Chamberlain
himself, enclosing a properly cut copy and explaining our mistake. He very kindly
read it himself on the same day, and communicated his permission on Friday.27 It appears that the Lord Chamberlain’s objections were withdrawn because O’Brien, or
someone acting on her behalf, made a series of changes to the script, toning down the
piece’s references to extra-marital sex and to unwanted pregnancy. In the play Distinguished Villa, the suggestively named character of Gwen
Tupman sleeps with two men, Alec Webberley and John Morris, and realizing that she is
pregnant, confronts Alec. In the script that was revised on 9 July 1926 for submission to
the Lord Chamberlain we therefore find the following exchange between Gwen (who is
impregnated) and Alec (who is in denial), in which it is worth noting exactly what is
erased: Gwen. (Suddenly quiet again). Look, I tell you I’m going to have your child and
all you can do is gasp at me that it isn’t true! What good is that going to do? Oh. Sean O’Casey Alec – I was sporting with you. I know we were both only having a bit of fun – I
meant it just like you did. I wasn’t a bit huffed when you didn’t ring me up – you
gave me a good time. and I liked you – but I wanted to stick to John. I’m fond of
him – I am, honestly – and I know you’re fearfully sweet on Miss Llewellyn –
you never made any bones about that. But it’s all different now, I’m going to have
a baby! We’ve get to see it through; We must stick together Alec, We will, won’t
we? Alec. Gwen. I beg of you to talk quietly. I don’t believe, to begin with, that you
are going to have a child. [all of this]. It’s hysteria. And, secondly, if [it’s true]
you are I deny that I am responsible. You are engaged to a man whom you like far
better than you ever liked me – and – well, I don’t want to be rotten – but you
know – well, you once admitted to me, when we were friends……that he…. Gwen. Oh I know, I told you – I remember – but Alec, that was nothing. It was
only once. Never before or since, never [long, long ago] – and I know – I swear to
you, Alec – that it’s you. I know, I tell you. I’m telling you the truth.28 These erasures were evidently designed to enable the play to reach the public stage in
London. As Sos Eltis has correctly pointed out, ‘The Lord Chamberlain’s Office
remained wary of theatrical treatments of female sexuality, especially where any explicit
reference to biological or medical facts was involved’.29 Hence, the revisions made to
O’Brien’s original text deleted some of the specific details of Gwen’s pregnancy and the
acts that led to it (doing away with the lines, ‘I’m going to have a baby!’, ‘you are going
to have a child’, ‘we were both only having a bit of fun’, and ‘It was only once’). In addition, some of the revisions that were made in order to satisfy the Lord
Chamberlain were also made in the text that was prepared for publication in London. 28 British Library, Lord Chamberlain’s Collection, LCP 1926/28, Distinguished Villa: ‘REVISED
VERSION July 9th 1926’, fol.12.
29 Eltis, Acts of Desire: Women and Sex on Stage 1800-1930 (Oxford: Oxford University Press, 2013),
p.206. Gwen (Crawling against the armchair by the fire) 28 British Library, Lord Chamberlain’s Collection, LCP 1926/28, Distinguished Villa: ‘REVISED
VERSION July 9th 1926’ fol 12 VERSION July 9 1926 , fol.12.
29 Eltis, Acts of Desire: Women and Sex on Stage 1800-1930 (Oxford: Oxford University Press, 20
p.206. VERSION July 9 1926 , fols 17 18.
31 O’Brien, Distinguished Villa: A Play in Three Acts (London: Ernest Benn, 1926), p.55. 30 British Library, Lord Chamberlain’s Collection, LCP 1926/28, Distinguished Villa: ‘REVISED
VERSION July 9th 1926’ fols 17 18 30 British Library, Lord Chamberlain’s Collection, LCP 1926/28, Distinguished Villa: ‘REVISED
VERSION July 9th 1926’, fols 17-18. 30 British Library, Lord Chamberlain’s Collection, LCP 1926/28, Distinguished Villa: ‘REVISED
VERSION July 9th 1926’, fols 17-18. y,
,
,
g
VERSION July 9th 1926’, fols 17-18. 30 British Library Lord Chamberlain’s Collection LCP 1926/28 Distinguished Villa: ‘REVISED y
,
y
, p
33 O’Brien, The Land of Spices (London: Heinemann, 1941), p.157.
34 32 Reynolds, Kate O’Brien: A Literary Portrait, p.75. Sean O’Casey This printed text did not need to pass before the eyes of the Lord Chamberlain, although
potentially could have been prosecuted for lewdness or immorality under the Obscene
Publications Act of 1857. Thus, we find a passage such as the following has been
corrected for performance on the stage: Gwen (Crawling against the armchair by the fire) I’m afraid, I don’t know anything about a baby! I can’t have a baby all by myself
– I must be married – I must, I must – I’m [a] respectable girl, I tell you, If I tell
this lie to John I’ll never be able to be good again – I’ll hate my baby! I don’t
want to be sick, and hurt and ugly – I was a fool ever to go with you – but you
said it would be all right – Alec – you swore it was all right. Alec. Hush I tell you, Don’t rave at me [Look here] Gwen. I can’t help you […]30 Alec. Hush I tell you, Don’t rave at me [Look here] Gwen. I can’t help you […]30 Most of those alterations also occur in the published version of O’Brien’s text, where we
find the same passage rendered as follows: Most of those alterations also occur in the published version of O’Brien’s text, where we
find the same passage rendered as follows: Gwen (crawling against the arm-chair by the fire): I’m afraid! I don’t know
anything about a baby! I can’t have a baby all by myself. I must be married – I
must, I must! I’m a respectable girl, I tell you. You said it would be all right. Alec, you swore it was all right! Alec: Hush! I tell you. Don’t rave at me, Gwen. I can’t help you; it’s up to Morris,
you see – and he’ll do it.31 Thus, in the printed text of the play – just as in the version that was staged in the
playhouse – we find an erasure of Gwen’s regretful thoughts about her potential child (I’ll hate my baby’) and of her thoughts about sex (‘I was a fool ever to go with you’). Kate O’Brien certainly included these words in her original manuscript, but they never
reached any audience. (I’ll hate my baby’) and of her thoughts about sex (‘I was a fool ever to go with you’). f p
(
) p
34 Aintzane Legarreta Mentxaka, p.9. ,
f p
(
34 Aintzane Legarreta Mentxaka, p.9. 35 J.W.G., ‘Distinguished Villa’, Irish Independent, 28 January 1929, p.6. Sean O’Casey Kate O’Brien certainly included these words in her original manuscript, but they never
reached any audience. One of the best-known ideas about O’Brien’s career, then, is that she was stymied
by repressive attitudes in Ireland. As Lorna Reynolds puts it, ‘Apart from the damage to
her own reputation which the vagaries of the new Calvinism in Irish society caused, Kate
O’Brien did not like the illiberal, self-complacent and Puritanic society that developed in
Ireland in the thirties and forties of this century’.32 Certainly, in later years her 1936
novel Mary Lavelle and her 1941 novel The Land of Spices were notoriously banned
under Ireland’s 1929 Censorship of Publications Act. Famously, Mary Lavelle depicts
adultery between a married Spanish man and a young Irish woman, as well as an
indication of lesbian attraction; whilst The Land of Spices contains the line ‘She saw
Etienne and her father, in the embrace of love’.33 As Aintzane Legarreta Mentxaka
writes, an ‘important consequence of the ban on Mary Lavelle and The Land of Spices
was that Kate O’Brien became a sort of unofficial hero for those readers – particularly for
the artists among them – who felt oppressed by the Irish government’s intervention on
arts and culture from the 1930s to the 1950s, and for those who disagreed with Irish
policies and the role of the church in the following decades’.34 Yet, as we can see from
her travails with Distinguished Villa, O’Brien had been aware of censorship for longer than that. And if we look at her earliest stage work we can see that it was the rules of
British rather than Irish censorship that O’Brien was first compelled to navigate. than that. And if we look at her earliest stage work we can see that it was the rules of
British rather than Irish censorship that O’Brien was first compelled to navigate. g ,
,
, p
38 Irish Independent, 2 June 1927, p.8. ‘Entertainments’, The Times, 1 June 1927, p.14. 39 The Bridge appeared in London at the Arts Theatre Club, an organization set up for dramatic short runs
and possible transfers elsewhere, which had opened on 20 April 1927. In the first weeks of that club, the
actors performed as their third ever show O’Brien’s The Bridge, for just six performances (including a
matinee), from 31 May to 4 June 1927. Suburban Sex In addition, although the newspapers’ initial comparison of Kate O’Brien with
Sean O’Casey may have helped to highlight certain aspects of her work and biography,
that association with him ultimately set up some false expectations about the kind of
writing that O’Brien was creating and about the overall development of her career. O’Casey’s early work, after all, was attempting to chronicle Dublin tenement life,
whereas O’Brien’s breakthrough play had attempted to describe middle-class existence in
a suburb of the English capital. In fairness to the Irish press, its reporters did not
generally follow the comparison with O’Casey made by the British and US newspapers. Indeed, the Irish Independent saw more of a connection between Kate O’Brien’s drama
and the work of Lennox Robinson. The newspaper suggested that O’Brien’s focus on the
middle-class was ‘an attempt to give dramatic shape to what is, on the English stage at
any rate, new material’, but that on the Irish stage such an approach looked less original,
with Lennox Robinson having demonstrated ‘his fondness for knocking out the front of a
redbrick villa for our amusement’.35 At the time that her first play appeared she did consider moving her future
playwriting to an Irish location, telling journalists about her plan for scripting a drama called The Silver Roan, which would be set in Limerick and would be concerned with the
Limerick Horse Show. But that play never emerged for the public.36 Instead, in 1927 she
produced as her second play The Bridge, a drama set in a house in the English called The Silver Roan, which would be set in Limerick and would be concerned with the
Limerick Horse Show. But that play never emerged for the public.36 Instead, in 1927 she
produced as her second play The Bridge, a drama set in a house in the English
countryside where another Englishwoman endures the frustrations of sex. This time, the
lead character is Lisa Mordaunt, who feels bored with her husband. He, in turn, feels born
with her, and flirts with Lisa’s friend. Other relatives feel similarly sexually unfulfilled,
until a visiting Irish engineer arrives on the scene. Lisa then realizes that she loves this
newcomer, but ultimately decides that she cannot leave her husband.37 Evidently, countryside where another Englishwoman endures the frustrations of sex. This time, the
lead character is Lisa Mordaunt, who feels bored with her husband. y
,
y
, p
37 ‘The Bridge’, The Era, 8 June 1927, p.4. 36 Reynolds, Kate O’Brien: A Literary Portrait, p.39. y
,
y
37 ‘The Bridge’, The Era, 8 June 1927, p.4. 36 Reynolds, Kate O’Brien: A Literary Portrait, p.39.
3 y
p
ridge’, The Era, 8 June 1927, p.4. 40 O’Brien, Gloria Gish: A Comedy in Three Acts, National Library of Ireland, MS 36,179, fol.93. Suburban Sex He, in turn, feels born
with her, and flirts with Lisa’s friend. Other relatives feel similarly sexually unfulfilled,
until a visiting Irish engineer arrives on the scene. Lisa then realizes that she loves this
newcomer, but ultimately decides that she cannot leave her husband.37 Evidently, elements of the plot recycled what O’Brien had done with Distinguished Villa (which
also saw a stranger arriving in an English household and making a married couple aware
of the romantic possibilities outside their marriage). However, her second play did not
achieve the acclaim of O’Brien’s debut, with critics pointing to a kind of awkwardness in
the dialogue. One Irish critic complained that the characters of The Bridge ‘talk in a
stilted, bookish way’, whilst an English critic declared that O’Brien should not ‘labour so
hard after an epigrammatic smartness in dialogue, which she rarely attains’.38 In the end,
the script never transferred beyond a limited run in a London fringe venue.39 elements of the plot recycled what O’Brien had done with Distinguished Villa (which
also saw a stranger arriving in an English household and making a married couple aware
of the romantic possibilities outside their marriage). However, her second play did not
achieve the acclaim of O’Brien’s debut, with critics pointing to a kind of awkwardness in
the dialogue. One Irish critic complained that the characters of The Bridge ‘talk in a
stilted bookish way’ whilst an English critic declared that O’Brien should not ‘labour so Despite those critical comments, in her next solo-authored theatre script, O’Brien
returned to an English setting, and again set about imagining the sexual frustrations of
another Englishwoman. This tightly plotted play, called Gloria Gish and written in about 1931, is set in the prosperous suburb of Surrey during the 1920s. It revolves around a
beautiful married woman from Ealing, Gladys, who is a kind of modern-day Helen of
Troy and who wishes to become a movie star. She begins an adulterous affair with a
figure going by the phallic name of ‘Vivien Rodd’, who apparently intends to produce
films with her in them, claiming that he will turn her into the next ‘Gloria Gish’ (a
fictional composite of Gloria Swanson and Lilian Gish). The play shows how Vivien
plans to seduce Gladys by getting her alone in his apartment: Judy – She’ll be worth waiting for – you’ll see. Where are you going tonight? ,
y
,
y
,
,
,
41 O’Brien, Gloria Gish: A Comedy in Three Acts, National Library of Ireland, MS 36,179, fol.97 ,
y
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43 O’Brien, Gloria Gish: A Comedy in Three Acts, National Library of Ireland, MS 36,179, fol.137 42 O’Brien, Gloria Gish: A Comedy in Three Acts, National Library of Ireland, MS 36,179, fol.75. Suburban Sex Vivien – Dining at my flat. Judy (with a soft laugh). Ah, Viv! What am I to wish you? Bonne nuit?40 After this scene where Vivien explains his scheme, O’Brien intended that her audience
would see the start of his planned seduction of Gladys, with the stage direction specifying
that ‘Vivien takes her suddenly and kisses her. She yields at once to him, their kiss is long
and close. When they move apart their manner has changed, has grown passionate and
uneasy’. Gladys then promises Vivien, ‘We’ve hours and hours before us’, and they steal
away to have sex, leaving Gladys’s husband abandoned.41 Nonetheless, towards the end
of the play, Vivien Rodd forsakes Gladys, and the narrative suggests that perhaps
Gladys’s husband will be able to repair the marriage. Yet that expectation is denied during the final moments of the play, when Gladys receives a telephone call from a
second film producer, ‘a very charming and wealthy man’.42 As Gladys’s own husband
remains within earshot, she plans what is presumably another adulterous liaison, with this
producer who calls her ‘lovely’, and who responds to her desire for ‘cheering up’ by
inviting her out to meet him in town.43 Sadly, this drama, Gloria Gish, was never performed onstage, and remains one of
the unpublished jewels of the O’Brien archive. Instead, in 1931, the publication of her
first novel Without My Cloak heralded a formal change in direction, selling 50,000 copies
in only a few months, and ensuring that from then on she would be known primarily as a
novelist rather than a dramatist. Today, few people remember O’Brien’s playwriting. Indeed, like her contemporaries Norah Hoult and Teresa Deevy, O’Brien’s finely
wrought writing in general became scandalously neglected during the later twentieth
century, as critics of Irish literature focused on a canon of largely male writers. y
y
44 Anthony Roche, ‘The Ante Room as Drama’, in Eibhear Walshe, ed., Ordinary People Dancing: Essays
on Kate O’Brien (Cork: Cork University Press, 1993), pp.85-100, p.89. y
y
g
p
46 Brooks Atkinson, ‘At the Theatre’, New York Times, 23 November 1949, p.18. Atkinson had been a great
supporter of Sean O’Casey throughout the previous decade. By contrast with Atkinson’s cutting remarks
about O’Brien, two months earlier he had reviewed a revival of O’Casey’s The Silver Tassie which he
praised as an early example of a ‘trend of the drama […] away from naturalism’, and as a play ‘by an
Irishman who had Irish music ringing in his head’. Atkinson, ‘The Silver Tassie’, New York Times, 4
September 1949, p.45. 45 Mannock, ‘Which Play Failure did you most regret?’, The Era, 31 December 1936, p.16. September 1949, p.45. 47 ‘O’Casey Bans Festival Production’, Irish Times, 24 August 1961, p.6. p
p
50 ‘Irish Writers Recognised Abroad’, Irish Independent, 9 December 1963, p.3. ,
,
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y
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49 ‘Famous Novelist Home in Limerick’, Limerick Leader, 28 April 1962, p.3.
50 y
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g
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48 O’Brien, Letters, Irish Times, 24 February 1958, p.6. An Irresistible Force O’Brien did, nonetheless, retain her affinity with the theatre for many years. As
Anthony Roche has correctly observed, her second novel The Ante-Room (1934) owes a
great deal to Ibsen, and as Roche puts it, ‘the lessons learned as a dramatist by Kate
O’Brien found their way into her writing of prose narrative’.44 Yet when her novelistic work did appear in the mouths of actors it tended to bring distinctly underwhelming
results. In 1936, for example, her novel The Ante-Room was dramatized by John Perry for
production at London’s Queen’s Theatre, and was largely regarded as a failure. P.L. Mannock of the Daily Herald wrote rather wistfully, ‘On the whole the play failure I
regret most during 1936 was Kate O’Brien’s “Ante Room”. It wanted strengthening in
several ways, but its texture was fine’.45 Similarly, in 1949, O’Brien herself decided to
dramatize her seventh novel That Lady (1946), and when it arrived in production at New
York’s Martin Beck Theater this historical drama set in Spain also proved a critical
failure. The New York Times critic, Brooks Atkinson, who expressed a preference for
more formally experimental fare – such as that which Sean O’Casey was now creating –
declared, ‘Miss O’Brien’s writing is commonplace. She says the stock things with no
distinction […] “That Lady” is ordinary stuff’.46 By the late 1950s, then, O’Brien grew more recognisable as a commentator about
theatre rather than as a writer of plays. In 1958, the organizers of a tourist-friendly tourist
event in Dublin, An Tóstal (‘a gathering’) had welcomed the submission of a new play by
Sean O’Casey, but they then baulked at the Catholic hierarchy’s hostility towards
O’Casey, and asked him to make ‘structural alterations’ to his work. Predictably,
O’Casey took umbrage and withdrew the piece, with such developments reported excitedly in the press.47 In county Galway, Kate O’Brien kept an eye on these events, and
on 21 February 1958 wrote a wry response in the Irish Times. She commented: excitedly in the press.47 In county Galway, Kate O’Brien kept an eye on these events, and
on 21 February 1958 wrote a wry response in the Irish Times. She commented: The Tostal Council will not have heard it, but during these days we in the West
keep hearing a noble growl from a grave under Ben Bulben. And indeed, indeed,
we have disgraced ourselves again. Ah, what is the use? Macmillan, 1980), p.1021.
52 ‘Late Late Tribute to Great Man of Theatre’, Sunday Independent, 26 October 1969, p.4. 51 O’Casey, The Letters of Sean O’Casey: Volume II, 1942-1954, ed. by David Krause (New York
Macmillan, 1980), p.1021. An Irresistible Force Cast a cold eye. And, horsemen, pass by – we entreat you.48 Here O’Brien was evidently quoting Yeats’s ‘Under Ben Bulben’, but she was also citing
the famous words that Yeats had spoken to the rioting audience members during the first
run of O’Casey’s The Plough and the Stars at the Abbey: ‘You have disgraced yourselves
again; is this to be the recurring celebration of the arrival of Irish genius?’ Having had
two of her own novels banned in Ireland, O’Brien must have known something of the
frustration articulated by O’Casey, about whom she continued to describe in admiring
terms. Indeed, in 1962, four years after the fuss over An Tóstal, O’Brien told one reporter
that like ‘our other great writers, George Bernard Shaw and Sean O’Casey’, she intended
to return to live in England, which she then did.49 The following year, in 1963, she gave a
lecture in London in which she praised O’Casey, along with Joyce and Shaw, as being
‘the giants’.50 Yet, by the mid-twentieth-century, her admiration was not entirely
reciprocated. Perhaps O’Casey had noticed O’Brien’s recurrent concern with the English middle-class, and told Frank McCarthy that O’Brien ‘shocks me a little with her
pretentions. But then writers have to earn a living, & it’s a hard job nowadays’.51 Nonetheless, in old age, O’Brien’s thoughts about the theatre repeatedly appeared
in the Irish media. Perhaps most notably, in autumn 1969 O’Brien attended the Dublin
birthday celebrations for the co-founder of the Gate Theatre, Micheál Mac Liammóir,
which involved the two of them appearing together on television for what the Sunday
Independent described as ‘one of the most moving “Late Late Shows” ever’.52 Her
subsequent correspondence reveals the depth of her warmth and affection for Mac
Liammóir, who had recently been suffering from ill health. As O’Brien wrote to him: Ah, dear boy, how good you are – which is part of what I was trying to insist on
over the birthday celebrations. But I expect as many people love you – and that’s
a great many – know as well as I do that the base of all your graces and gifts lies
deep, deep in your goodness […] Anyway, in a few hours from now, during the
dawn of Wednesday, 3rd December (Feast of St. Francis Xavier) I shall have
completed all of 72 years in human life. Extraordinary. An Irresistible Force Such an extraordinary
waste of time which one ought to have understood was short and precious. However, there it is, gone – and much of it seemed so good while one was in it. Oh – I’ve been interrupted too often + now it’s late and the fire is dead. I’ll
continue when I’ve entered my 73rd year. Meantime – you know all my wishes for Ah, dear boy, how good you are – which is part of what I was trying to insist on
over the birthday celebrations. But I expect as many people love you – and that’s
a great many – know as well as I do that the base of all your graces and gifts lies
deep, deep in your goodness […] Anyway, in a few hours from now, during the
dawn of Wednesday, 3rd December (Feast of St. Francis Xavier) I shall have
completed all of 72 years in human life. Extraordinary. Such an extraordinary
waste of time which one ought to have understood was short and precious. However, there it is, gone – and much of it seemed so good while one was in it. Oh – I’ve been interrupted too often + now it’s late and the fire is dead. I’ll you, pet - + how I resent this wretched suffering, + so deeply love + admire your
gaiety of spirit –
Love + kisses –
goodnight, sweet prince –
Kate.53 you, pet - + how I resent this wretched suffering, + so deeply love + admire your
gaiety of spirit –
Love + kisses –
goodnight, sweet prince –
Kate.53 you, pet - + how I resent this wretched suffering, + so deeply love + admire your Love + kisses – Kate.53 Kate.53 O’Brien would die in 1974, and her final years were far from comfortable, as she
struggled with both alcohol and poverty. Yet she continued to champion Irish theatre
during that final, difficult decade of her life, and her theatrical advocacy was still
influential enough to appear in the press. For example, in 1969 she wrote an Irish Times
article mourning the death of the actor Brid Lynch, an Abbey theatre actor from Kerry. 53 O’Brien letter to Mac Liammóir, National Library of Ireland, Mac Liammóir papers, MS 41,303 p
p
p
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54 O’Brien, ‘Long Distance’, Irish Times, 3 November 1969, p.10. y
correspondence with people mostly associated with the theatre. ,
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y
, p
56 O’Brien, ‘The Great BBC Row’, Irish Times, 2 March 1970, p.14. ,
g
,
,
, p
55 O’Brien, ‘Long Distance’, Irish Times, 5 January 1970, p.8. 53 O’Brien letter to Mac Liammóir, National Library of Ireland, Mac Liammóir papers, MS 41,303/1
correspondence with people mostly associated with the theatre.
54 O’Brien ‘Long Distance’ Irish Times 3 November 1969 p 10 57 O’Brien, ‘Long Distance’, Irish Times, 7 April 1971, p.10. p
g
p
by Joe Cleary (Cambridge: Cambridge University Press, 2014), 111-27, p.120. 59 Eibhear Walshe, ‘The Importance of Staging Oscar: Wilde at the Gate’, in The Oxford Handbook of
Modern Irish Theatre, ed. by Nicholas Grene and Christopher Morash (Oxford: Oxford University Press,
2016), pp.217-30, p.218. ,
g
,
,
p
, p
58 Levitas, ‘Modernist Experiments in Irish Theatre’, in The Cambridge Companion to Irish Moder ,
g
,
,
p
, p
58 Levitas, ‘Modernist Experiments in Irish Theatre’, in The Cambridge Companion to Irish Modernism, ed.
by Joe Cleary (Cambridge: Cambridge University Press 2014) 111-27 p 120 y (
g
g
y
,
),
, p
Eibhear Walshe, ‘The Importance of Staging Oscar: Wilde at the Gate’, in The Oxford Handbook of n, ‘Long Distance’, Irish Times, 7 April 1971, p.10. O Brien, Long Distance , Irish Times, 7 April 1971, p.10.
58 Levitas, ‘Modernist Experiments in Irish Theatre’, in The Cambridge Companion to Irish Modernism, ed.
by Joe Cleary (Cambridge: Cambridge University Press, 2014), 111-27, p.120.
59 Eibhear Walshe, ‘The Importance of Staging Oscar: Wilde at the Gate’, in The Oxford Handbook of
Modern Irish Theatre, ed. by Nicholas Grene and Christopher Morash (Oxford: Oxford University Press,
2016), pp.217-30, p.218. 60 O’Brien, ‘Long Distance’, Irish Times, 7 April 1971, p.10. An Irresistible Force O’Brien observed that Lynch ‘gave a very special and precious gift to the art of the
theatre – in Ireland, and wherever in the world she played for Ireland […] in her death
Ireland has indeed lost a rare and special child’.54 At the start of 1970, O’Brien praised
‘the peculiar strength of Irish acting’ in the Irish Times.55 In the same newspaper she
subsequently lauded the radio for giving her the freedom to listen ‘to Beckett – in
uninterrupted peace’.56 But it was the management of the Gate Theatre that remained the
subject of some of her highest theatrical praise. In 1971 she wrote in the Irish Times
about her delighted reaction to: […] the reports that came over of Dublin’s Theatre Festival. Now, taken all over,
it seems to be pretty damn good. The high light of course was the most happy, and
almost unhoped-for, re-opening of the Gate Theatre. That was indeed an occasion
– and how fortunate for those who were there to see and rejoice in it! Michael and
Hilton back again on their old stamping ground, all newly beautified and
refreshed for them.57 […] the reports that came over of Dublin’s Theatre Festival. Now, taken all over,
it seems to be pretty damn good. The high light of course was the most happy, and
almost unhoped-for, re-opening of the Gate Theatre. That was indeed an occasion
d h
f
t
t f
th
h
th
t
d
j i
i it! ,
g
,
,
p
, p
61 Mac Liammóir to O’Brien 7 April 1971, National Library of Ireland, Mac Liammóir Papers, MS
41,288/20. 62 Mac Liammóir to O’Brien 7 April 1971, National Library of Ireland, Mac Liammóir Papers, MS
41,288/20. An Irresistible Force Mi h
l
d One might perhaps find it counter-intuitive that Kate O’Brien, whose own dramatic
writing had focused upon achieving a realistic stage effect, would become so insistent a
supporter of Micheál Mac Liammóir and Hilton Edwards, two men at the Gate, as Ben
Levitas puts it, who ‘revelled in the opportunity to present full-blooded expressionist
productions, opening by degrees to a wider vocabulary of theatrical presentation, and
specifically intent on exposing naturalism as merely another formal style’.58 Yet, as we
have already seen, O’Brien had a longstanding interest in connecting the stage world with
a set of transgressive sexual energies, and evidently felt drawn Mac Liammóir and
Edwards, who are correctly described by Eibhear Walshe as having ‘survived, and even
flourished, as Ireland’s only visibly gay couple’.59 O’Brien felt a great affinity with Mac
Liammóir and Hilton, and praised them in the Irish Times by saying that: […] they are an irresistible force, and that what they have given to Ireland is
irrefutable and forever. They will please forgive me if I say of them, both such
mad artists, that they have been a most strong educative force in the too-green
island. Ireland owes to those two men far more than she can ever measure – and
now thank God, she is going to go on to owe them more. The Gate is back, and
that is extremely important and good news for Ireland’.60 Mac Liammóir read those words ‘with delight’ and he and Hilton Edwards wished to
thank ‘dearest Kate’ ‘a thousand times for remembering us’.61 Thus, Kate O’Brien may have felt disillusioned with the direction that de Valera’s
Ireland had taken, as she expressed in novels such as Pray for the Wanderer (1938) and
The Last of Summer (1943). But she continued, demonstratively, to cherish and champion
the actors, directors, and theatre makers of the Irish stage. As a young woman, she had
explored the subversive potential of the stage by writing dramatic descriptions of female
sexuality, whilst in older age she supported the disruptive energies of the Gate Theatre. She did much of her theatrical work in England, wrote plays about English settings, and
needed to adjust her drama according to the dictates of the censor in London. Yet her
non-fictional writings about theatre reveal her continuing commitment to the drama of her home country. An Irresistible Force As Mac Liammóir wrote to her, on behalf of himself and Hilton
Edwards, ‘we both thank you, and you so far away too!’62 her home country. As Mac Liammóir wrote to her, on behalf of himself and Hilton
Edwards, ‘we both thank you, and you so far away too!’62 her home country. As Mac Liammóir wrote to her, on behalf of himself and Hilton
Edwards, ‘we both thank you, and you so far away too!’62
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1. Introduction graph 𝐺can be expressed as 𝜏(𝐺) = (1/𝑝) ∏𝑝−1
𝑘=1(𝑑−𝜆𝑘),
where 𝜆0 = 𝑑, 𝜆1, 𝜆2, . . . , 𝜆𝑝−1 are the eigenvalues of the
corresponding adjacency matrix of the graph. However, for a
few special families of graphs there exist simple formulas that
make it much easier to calculate and determine the number of
corresponding spanning trees especially when these numbers
are very large. One of the first results is due to Cayley [3]
who showed that the complete graph on 𝑛vertices, 𝐾𝑛has
𝑛𝑛−2 spanning trees, 𝑛≥2. Another result is that 𝜏(𝐾𝑝,𝑞) =
𝑝𝑞−1𝑞𝑝−1, 𝑝, 𝑞≥1, where 𝐾𝑝,𝑞is the complete bipartite graph
with bipartite sets containing 𝑝and 𝑞vertices, respectively. It is well known, as in, for example, [4, 5]. Another result is
due to Sedl ́a ̌cek [6] who derived a formula for the wheel on
𝑛+1 vertices, 𝑊𝑛+1; he showed that 𝜏(𝑊𝑛+1) = ((3+√5)/2)𝑛+
((3 −√5)/2)𝑛−2, for 𝑛≥3. Sedlacek [7] also later derived a
formula for the number of spanning trees in a Mobius ladder,
𝑀𝑛, 𝜏(𝑀𝑛) = (𝑛/2)[(2 + √3)𝑛+ (2 −√3)𝑛+ 2] for 𝑛≥2. Another class of graphs by Boesch et al., for which an explicit
formula has been derived, is based on a prism [8, 9]. In this work we deal with simple and finite undirected graphs
𝐺= (𝑉, 𝐸), where 𝑉is the vertex set and 𝐸is the edge set. For a graph 𝐺, a spanning tree in 𝐺is a tree which has the
same vertex set as 𝐺. The number of spanning trees in 𝐺, also
called the complexity of the graph, denoted by 𝜏(𝐺), is a well-
studied quantity (for long time). A classical result of Kirchhoff
[1], can be used to determine the number of spanning trees for
𝐺= (𝑉, 𝐸). Let 𝑉= {V1, V2, . . . , V𝑛}; then the Kirchhoff matrix
𝐻defined as 𝑛×𝑛, characteristic matrix, 𝐻= 𝐷−𝐴, where 𝐷
is the diagonal matrix whose elements are the degrees of the
vertices of 𝐺. While 𝐴is the adjacency matrix of 𝐺, 𝐻= [𝑎𝑖𝑗]
is defined as follows: (i) 𝑎𝑖𝑗= −1V𝑖and V𝑗are adjacent and 𝑖̸= 𝑗,
(ii) 𝑎𝑖𝑗equals the degree of vertex V𝑖if 𝑖= 𝑗,
(iii) 𝑎𝑖𝑗= 0 otherwise. (i) 𝑎𝑖𝑗= −1V𝑖and V𝑗are adjacent and 𝑖̸= 𝑗, (ii) 𝑎𝑖𝑗equals the degree of vertex V𝑖if 𝑖= 𝑗, (iii) 𝑎𝑖𝑗= 0 otherwise. All of the cofactors of 𝐻are equal to 𝜏(𝐺). There are other
methods for calculating 𝜏(𝐺). Hindawi Publishing Corporation
Journal of Applied Mathematics
Volume 2013, Article ID 673270, 25 pages
http://dx.doi.org/10.1155/2013/673270 Hindawi Publishing Corporation
Journal of Applied Mathematics
Volume 2013, Article ID 673270, 25 pages
http://dx.doi.org/10.1155/2013/673270 Hindawi Publishing Corporation
Journal of Applied Mathematics
Volume 2013, Article ID 673270, 25 pages
http://dx.doi.org/10.1155/2013/673270 S. N. Daoud1,2 1 Department of of Mathematics, Faculty of Science, Taibah University, Al Madinah 344, Saudi Arabia
2 Department of Mathematics, Faculty of Science, El-Menoufia University, Shebeen El-Kom, Egypt Correspondence should be addressed to S. N. Daoud; salamadaoud@gmail.com Received 2 June 2013; Revised 29 July 2013; Accepted 12 August 2013 Academic Editor: Roberto Barrio Copyright © 2013 S. N. Daoud. This is an open access article distributed under the Creative Commons Attribution License, which
permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. The number of spanning trees in graphs (networks) is an important invariant; it is also an important measure of reliability of a
network. In this paper, we derive simple formulas of the complexity, number of spanning trees, of products of some complete and
complete bipartite graphs such as cartesian product, normal product, composition product, tensor product, and symmetric product,
using linear algebra and matrix analysis techniques. 1. Introduction Let 𝜇1 ≥𝜇1 ≥⋅⋅⋅≥𝜇𝑝
denote the eigenvalues of 𝐻matrix of a 𝑝point graph. Then
it is easily shown that 𝜇𝑝= 0. Furthermore, Kelmans and
Chelnokov [2] have shown that 𝜏(𝐺) = (1/𝑝) ∏𝑝−1
𝑘=1𝜇𝑘. The
formula for the number of spanning trees in a d-regular Now, we can introduce the following lemmas. Lemma 1 (see [10]). Consider 𝜏(𝐺) = (1/𝑛2) det(𝑛𝐼−𝐷+ 𝐴)
where 𝐴and 𝐷are the adjacency and degree matrices of 𝐺
and the complement of 𝐺, respectively, and 𝐼is the 𝑛× 𝑛unit
matrix. 2
Journal of Applied Mathematics Journal of Applied Mathematics 2 Lemma 2. Let 𝐸𝑛(𝑥) be 𝑛× 𝑛matrix, 𝑥≥2 such that
Lemma 3. Let 𝐴, 𝐵∈𝐹𝑛×𝑛and 𝐹∈𝐹𝑘𝑛×𝑘𝑛such that Lemma 2. Let 𝐸𝑛(𝑥) be 𝑛× 𝑛matrix, 𝑥≥2 such that
Lemma 3. Let 𝐴, 𝐵∈𝐹𝑛×𝑛and 𝐹∈𝐹𝑘𝑛×𝑘𝑛such that Lemma 3. Let 𝐴, 𝐵∈𝐹𝑛×𝑛and 𝐹∈𝐹𝑘𝑛×𝑘𝑛such that 𝐸𝑛(𝑥) =
(
(
(
(
(
(
𝑥
1
⋅⋅⋅⋅⋅⋅⋅⋅⋅1
1 d d d d
... ... d d d d
... ... d d d d ... ... d d d d 1
1 ⋅⋅⋅⋅⋅⋅⋅⋅⋅
1
𝑥
)
)
)
)
)
)
. (1)
𝐹=
(
(
(
(
(
(
𝐴
𝐵
⋅⋅⋅⋅⋅⋅⋅⋅⋅𝐵
𝐵d d d d
... ... d d d d
... ... d d d d
... ... d d d d 𝐵
𝐵⋅⋅⋅⋅⋅⋅⋅⋅⋅
𝐵
𝐴
)
)
)
)
)
)
. (4)h (4) Then, Then, Then, det 𝐹= [det (𝐴−𝐵)]𝑘−1 det [𝐴+ (𝑘−1) 𝐵] . (5) (5) det (𝐸𝑛) = (𝑥+ 𝑛−1) (𝑥−1)𝑛−1. (2) (2) Lemma 4 (see [11]). Let 𝐴∈𝐹𝑛×𝑛, let 𝐵∈𝐹𝑛×𝑚, let 𝐶∈𝐹𝑚×𝑛,
and let 𝐷∈𝐹𝑚×𝑚; assume that 𝐴, 𝐷are nonsingular matrices. Then Proof. From the definition of the circulant determinants, we
have det (𝐸𝑛(𝑥)) = det
(
(
(
(
(
(
𝑥
1
⋅⋅⋅⋅⋅⋅⋅⋅⋅1
1 d d d d ... ... d d d d
... ... d d d d
... ... d d d d 1
1 ⋅⋅⋅⋅⋅⋅⋅⋅⋅
1
𝑥
)
)
)
)
)
) det (𝐴𝐵
𝐶𝐷) = (−1)𝑛𝑚det (𝐴−𝐵𝐷−1𝐶) det 𝐷
= (−1)𝑛𝑚det 𝐴det (𝐷−𝐶𝐴−1𝐵) . (6) (6) Formulas in Lemmas 2, 3, and 4 give some sort of
symmetry in some matrices which facilitates our calculation
of determinants. =
𝑛
∏
𝑗=1
(𝑥+ 𝜔𝑗+ 𝜔2
𝑗+ 𝜔3
𝑗+ ⋅⋅⋅+ 𝜔𝑛−1
𝑗
)
= (𝑥+ 1 + 1 + ⋅⋅⋅+ 1) 2. Number of Spanning Trees of
Cartesian Product of Graphs The Cartesian product, 𝐺1 × 𝐺2, is the simple graph with
vertex set 𝑉(𝐺1 × 𝐺2) = 𝑉1 × 𝑉2 and edge set 𝐸(𝐺1 × 𝐺2) =
[(𝐸1 × 𝑉2) ∪(𝑉1 × 𝐸2)] such that two vertices (𝑢1, 𝑢2) and
(V1, V2) are adjacent in 𝐺1 × 𝐺2 if and only if either 𝑢1 = V1
and 𝑢2 is adjacent to V2 in 𝐺2 or 𝑢1 is adjacent to V1 in 𝐺1 and
𝑢2 = V2 [12]. [(𝐸1 × 𝑉2) ∪(𝑉1 × 𝐸2)] such that two vertices (𝑢1, 𝑢2) and
(V1, V2) are adjacent in 𝐺1 × 𝐺2 if and only if either 𝑢1 = V1
and 𝑢2 is adjacent to V2 in 𝐺2 or 𝑢1 is adjacent to V1 in 𝐺1 and
𝑢2 = V2 [12]. Theorem 5. For 𝑛, 𝑚≥1, we have d d
d
d
d d
1
... d d
... ... d d
1
1
⋅⋅⋅⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑚+ 2
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 det
(
(
(
(
(
(
(
(
(
(
𝑛+ 2
2
⋅⋅⋅
2
1
⋅⋅⋅⋅⋅⋅
1
2
d d
... ... d d
... ... d d
2
... d d
... 2
⋅⋅⋅
2
𝑛+ 2
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
𝑚+ 2
2
⋅⋅⋅
2
... d d
... 2
d d
... ... d d
... ... d d
2
1
⋅⋅⋅⋅⋅⋅
1
2
⋅⋅⋅
2
𝑚+ 2
)
)
)
)
)
)
)
)
)
)
× det
(
(
(
(
(
(
(
(
(
(
𝑛+ 2
0
⋅⋅⋅
0
−1
⋅⋅⋅⋅⋅⋅
−1
0
d d
... ... d d
... ... d d
0
... d d
... 0
⋅⋅⋅
0
𝑛+ 2
−1
⋅⋅⋅⋅⋅⋅
−1
−1
⋅⋅⋅⋅⋅⋅
−1
𝑚+ 2
0
⋅⋅⋅
0
... d d
... 0
d d
... ... d d
... ... d d
0
−1
⋅⋅⋅⋅⋅⋅
−1
0
⋅⋅⋅
0
𝑚+ 2
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 det ( 𝐴
𝐵
𝐵𝑇𝐶) × det ( 𝐷𝐸
𝐸𝑇𝐹)
=
1
4(𝑚+ 𝑛)2 × det 𝐴det (𝐶−𝐵𝑇𝐴−1𝐵) × det 𝐷det (𝐹−𝐸𝑇𝐷−1𝐸)
=
1
4(𝑚+ 𝑛)2 det (
𝑛+ 2
2
⋅⋅⋅
2
2
d d
... ... d d
2
2
⋅⋅⋅
2
𝑛+ 2
)
𝑚×𝑚 × det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
𝑛+ 2
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
d
d
d d
... ... d d
1
... d d
... ... d d
d
d
d d
... 1
⋅⋅⋅
1
𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
... d d
d
d
d d
... Theorem 5. For 𝑛, 𝑚≥1, we have 0
⋅⋅⋅⋅⋅⋅
0
𝑚+ 2
1
⋅⋅⋅
1
... d d
d
d
d d
... ... d d
... 1
d d
... ... d d
d
d
d d
... ... d d
... ... d d
1
... d d
d
d
d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑚+ 2
1
⋅⋅⋅⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
1
0
0
1
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅⋅⋅⋅
1
𝑛+ 2
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
d
d
d d
... 1
d d
... ... d d
... ... d d
d
d
d d
... ... d d
1
... d d
... ... d d
d
d
d d
... 1
⋅⋅⋅
1
𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
... d d
d
d
d d
... 0
d d
0
𝑚+ 2
1
⋅⋅⋅
1
... d d
d
d
d d
... ... d d
... 1
d d
... ... d d
d
d
d d
1
... d d
... ... d d
1
1
⋅⋅⋅⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑚+ 2
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 det
(
(
(
(
(
(
(
(
(
(
𝑛+ 2
2
⋅⋅⋅
2
1
⋅⋅⋅⋅⋅⋅
1
2
d d
... ... d d
... ... d d
2
... d d
... 2
⋅⋅⋅
2
𝑛+ 2
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
𝑚+ 2
2
⋅⋅⋅
2
... d d
... 2
d d
... ... d d
... ... d d
2
1
⋅⋅⋅⋅⋅⋅
1
2
⋅⋅⋅
2
𝑚+ 2
)
)
)
)
)
)
)
)
)
)
× det
(
(
(
(
(
(
(
(
(
(
𝑛+ 2
0
⋅⋅⋅
0
−1
⋅⋅⋅⋅⋅⋅
−1
0
d d
... ... d d
... ... d d
0
... d d
... 0
⋅⋅⋅
0
𝑛+ 2
−1
⋅⋅⋅⋅⋅⋅
−1
−1
⋅⋅⋅⋅⋅⋅
−1
𝑚+ 2
0
⋅⋅⋅
0
... d d
... 0
d d
... ... d d
... ... Theorem 5. For 𝑛, 𝑚≥1, we have 𝜏(𝐾2 × 𝐾𝑚,𝑛) = 𝑚𝑛−1𝑛𝑚−1(𝑚+ 2)𝑛−1
× (𝑛+ 2)𝑚−1 (𝑛+ 𝑚+ 2) . (7) (7) We can generalize the previous lemma as follows. P We can generalize the previous lemma as follows. × (𝑛+ 2)𝑚−1 (𝑛+ 𝑚+
Proof Applying Lemma 1 we have We can generalize the previous lemma as follows. We can generalize the previous lemma as follows. × (𝑛+ 2)𝑚−1 (𝑛+
Proof. Applying Lemma 1, we have We can generalize the previous lemma as follows. Proof. Applying Lemma 1, we have Proof. Applying Lemma 1, we have 𝜏(𝐾2 × 𝐾𝑚,𝑛)
=
1
(2 (𝑚+ 𝑛))2 det (2 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
4(𝑚+ 𝑛)2 𝜏(𝐾2 × 𝐾𝑚,𝑛)
=
1
(2 (𝑚+ 𝑛))2 det (2 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
4(𝑚+ 𝑛)2 Journal of Applied Mathematics 3 nal of Applied Mathematics
× det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
𝑛+ 2
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
d
d
d d
... ... d d
1
... d d
... ... d d
d
d
d d
... 1
⋅⋅⋅
1
𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
... d d
d
d
d d
... 0
⋅⋅⋅⋅⋅⋅
0
𝑚+ 2
1
⋅⋅⋅
1
... d d
d
d
d d
... ... d d
... 1
d d
... ... d d
d
d
d d
... ... d d
... ... d d
1
... d d
d
d
d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑚+ 2
1
⋅⋅⋅⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
1
0
0
1
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅
⋅⋅⋅⋅⋅⋅
1
𝑛+ 2
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
d
d
d d
... 1
d d
... ... d d
... ... d d
d
d
d d
... ... d d
1
... d d
... ... d d
d
d
d d
... 1
⋅⋅⋅
1
𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
... d d
d
d
d d
... 0
d d
0
𝑚+ 2
1
⋅⋅⋅
1
... d d
d
d
d d
... ... d d
... 1
d d
... ... Theorem 5. For 𝑛, 𝑚≥1, we have d d
0
−1
⋅⋅⋅⋅⋅⋅
−1
0
⋅⋅⋅
0
𝑚+ 2
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 det ( 𝐴
𝐵
𝐵𝑇𝐶) × det ( 𝐷𝐸
𝐸𝑇𝐹)
=
1
4(𝑚+ 𝑛)2 × det 𝐴det (𝐶−𝐵𝑇𝐴−1𝐵) × det 𝐷det (𝐹−𝐸𝑇𝐷−1𝐸)
=
1
4(𝑚+ 𝑛)2 det (
𝑛+ 2
2
⋅⋅⋅
2
2
d d
... ... d d
2
2
⋅⋅⋅
2
𝑛+ 2
) =
1
4(𝑚+ 𝑛)2 det ( 𝐴
𝐵
𝐵𝑇𝐶) × det ( 𝐷𝐸
𝐸𝑇𝐹) =
1
4(𝑚+ 𝑛)2 × det 𝐴det (𝐶−𝐵𝑇𝐴−1𝐵) × det 𝐷det (𝐹−𝐸𝑇𝐷−1𝐸) =
1
4(𝑚+ 𝑛)2 × det 𝐴det (𝐶−𝐵𝑇𝐴−1𝐵) × det 𝐷det (𝐹−𝐸𝑇𝐷−1𝐸) =
1
4(𝑚+ 𝑛)2 det (
𝑛+ 2
2
⋅⋅⋅
2
2
d d
... ... d d
2
2
⋅⋅⋅
2
𝑛+ 2
)
𝑚×𝑚 Journal of Applied Mathematics 4 Journal of Ap
× det
(
(
(
(
(
𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
𝑛+ 2𝑚
2𝑛+ 3𝑚
𝑛+ 2𝑚
⋅⋅⋅
2𝑛+ 3𝑚
𝑛+ 2𝑚
2𝑛+ 3𝑚
𝑛+ 2𝑚
d
d
... ... d
d
2𝑛+ 3𝑚
𝑛+ 2𝑚
2𝑛+ 3𝑚
𝑛+ 2𝑚
⋅⋅⋅
2𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
𝑛+ 2𝑚
)
)
)
)
)𝑛×𝑛
× det (
𝑛+ 2
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
𝑛+ 2
)
𝑚×𝑚
× det
(
(
(
(
(
𝑛(𝑚+ 2) + (𝑚+ 4)
𝑛+ 2
−𝑚
𝑛+ 2
⋅⋅⋅
−𝑚
𝑛+ 2
−𝑚
𝑛+ 2
d
d
... ... d
d
−𝑚
𝑛+ 2
−𝑚
𝑛+ 2
⋅⋅⋅
−𝑚
𝑛+ 2
𝑛(𝑚+ 2) + (𝑚+ 4)
𝑛+ 2
)
)
)
)
)𝑛×𝑛
=
1
4(𝑚+ 𝑛)2 × 2𝑚det (
(
(
𝑛+ 2
2
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑛+ 2
2
)
)
)𝑚×𝑚
× (2𝑛+ 3𝑚
𝑛+ 2𝑚)
𝑛
det (
(
(
𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
2𝑛+ 3𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
2𝑛+ 3𝑚
)
)
)𝑛×𝑛
× det (
𝑛+ 2
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
𝑛+ 2
)
𝑚×𝑚
× ( −𝑚
𝑛+ 2)
𝑛
det (
(
(
𝑛(𝑚+ 2) + (𝑚+ 4)
−𝑚
1
⋅⋅⋅
1
1
d d
... ... Theorem 5. For 𝑛, 𝑚≥1, we have d d
1
1
⋅⋅⋅
1
𝑛(𝑚+ 2) + (𝑚+ 4)
−𝑚
)
)
)𝑛×𝑛
=
1
× 2𝑚× (𝑛+ 2 + 𝑚−1) (𝑛+ 2 −1)
𝑚−1 ⋅⋅⋅
2𝑛+ 3𝑚
𝑛+ 2𝑚
d
... d
2𝑛+ 3𝑚
𝑛+ 2𝑚
2𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
𝑛+ 2𝑚
)
)
)
)
)𝑛×𝑛 × det
(
(
(
(
(
𝑛(𝑚+ 2) + (𝑚+ 4)
𝑛+ 2
−𝑚
𝑛+ 2
⋅⋅⋅
−𝑚
𝑛+ 2
−𝑚
𝑛+ 2
d
d
... ... d
d
−𝑚
𝑛+ 2
−𝑚
𝑛+ 2
⋅⋅⋅
−𝑚
𝑛+ 2
𝑛(𝑚+ 2) + (𝑚+ 4)
𝑛+ 2
)
)
)
)
)𝑛×𝑛 =
1
4(𝑚+ 𝑛)2 × 2𝑚det (
(
(
𝑛+ 2
2
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑛+ 2
2
)
)
)𝑚×𝑚 =
1
4(𝑚+ 𝑛)2 × 2𝑚det (
(
(
𝑛+ 2
2
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑛+ 2
2
)
)
)𝑚×𝑚
× (2𝑛+ 3𝑚
𝑛+ 2𝑚)
𝑛
det (
(
(
𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
2𝑛+ 3𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
2𝑛+ 3𝑚
)
)
)𝑛×𝑛
× det (
𝑛+ 2
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
𝑛+ 2
)
𝑚×𝑚 × ( −𝑚
𝑛+ 2)
𝑛
det (
(
(
𝑛(𝑚+ 2) + (𝑚+ 4)
−𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑛(𝑚+ 2) + (𝑚+ 4)
−𝑚
)
)
)𝑛×𝑛
=
1
4(𝑚+ 𝑛)2 × 2𝑚× (𝑛+ 2
2
+ 𝑚−1) (𝑛+ 2
2
−1)
𝑚−1
× (2𝑛+ 3𝑚
𝑛+ 2𝑚)
𝑛
× (𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
2𝑛+ 3𝑚
+ 𝑛−1) × ( −𝑚
𝑛+ 2)
𝑛
det (
(
(
𝑛(𝑚+ 2) + (𝑚+ 4)
−𝑚
1
⋅⋅⋅
1
1
d d
... ... Theorem 5. For 𝑛, 𝑚≥1, we have d d
1
1
⋅⋅⋅
1
𝑛(𝑚+ 2) + (𝑚+ 4)
−𝑚
)
)
)𝑛×𝑛
=
1
4(𝑚+ 𝑛)2 × 2𝑚× (𝑛+ 2
2
+ 𝑚−1) (𝑛+ 2
2
−1)
𝑚−1
× (2𝑛+ 3𝑚
𝑛+ 2𝑚)
𝑛
× (𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
2𝑛+ 3𝑚
+ 𝑛−1) Journal of Applied Mathematics
5 Journal of Applied Mathematics 5 × (𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
2𝑛+ 3𝑚
−1)
𝑛−1
× (𝑛+ 2)𝑚× (−𝑚
𝑛+ 2)
𝑛
× (−𝑛(𝑚+ 2) + (𝑚+ 4)
𝑚
+ 𝑛−1) × (−𝑛(𝑚+ 2) + (𝑚+ 4)
𝑚
−1)
𝑛−1
. (8) × (𝑛(𝑚+ 2) + 𝑚(2𝑚+ 3)
2𝑛+ 3𝑚
−1)
𝑛−1
× (𝑛+ 2)𝑚× (−𝑚
𝑛+ 2)
𝑛
× (−𝑛(𝑚+ 2) + (𝑚+ 4)
𝑚
+ 𝑛−1) × (−𝑛(𝑚+ 2) + (𝑚+ 4)
𝑚
−1)
𝑛−1
. (8) Theorem 6. For 𝑚, 𝑛≥1, we have Theorem 6. For 𝑚, 𝑛≥1, we have Theorem 6. For 𝑚, 𝑛≥1, we have us,
Theorem 6. For 𝑚, 𝑛≥1, we have us,
Theorem 6. For 𝑚, 𝑛≥1, we have Thus, 𝜏(𝐾2 × 𝐾𝑚,𝑛) = 𝑚𝑛−1𝑛𝑚−1(𝑚+ 2)𝑚−1(𝑛+ 2)𝑚−1
× (𝑛+ 𝑚+ 2) . (9)
particular,
𝜏(𝐾3 × 𝐾𝑚,𝑛) = 3𝑛𝑚−1𝑚𝑛−1(𝑚+ 3)2𝑛−2(𝑛+ 3)2𝑚−2
× (𝑛+ 𝑚+ 3)2. (11) 𝜏(𝐾3 × 𝐾𝑚,𝑛) = 3𝑛𝑚−1𝑚𝑛−1(𝑚+ 3)2𝑛−2(𝑛+ 3)2𝑚−2
× (𝑛+ 𝑚+ 3)2. (11) (11) In particular, 𝜏(𝐾2 × 𝐾𝑛,𝑛) = 2𝑛2𝑛−2 (𝑛+ 1) (𝑛+ 2)2𝑛−2;
𝑛≥1. (10)
Proof. Applying Lemma 1, we have 𝜏(𝐾2 × 𝐾𝑛,𝑛) = 2𝑛2𝑛−2 (𝑛+ 1) (𝑛+ 2)2𝑛−2;
𝑛≥1. (10)
Proof. Applying Lemma 1, we have 𝜏(𝐾3 × 𝐾𝑚,𝑛)
=
1
9(𝑚+ 𝑛)2 det (3 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
9(𝑚+ 𝑛)2 9(𝑚+ 𝑛)2
× det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
𝑛+ 3
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
𝑛+ 3
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
𝑚+ 3
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
... ... d d
... Theorem 5. For 𝑛, 𝑚≥1, we have 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑚+ 3
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
𝑛+ 3
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
𝑛+ 3
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1 9(𝑚+ 𝑛)
× det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
𝑛+ 3
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
𝑛+ 3
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
𝑚+ 3
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑚+ 3
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
𝑛+ 3
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... Theorem 5. For 𝑛, 𝑚≥1, we have d d
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
𝑛+ 3
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1 6 Journal of Applied Mathematics 6 Journal of A
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1
𝑚+ 3
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
𝑚+ 3
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
0
1
⋅⋅⋅⋅⋅⋅
1
𝑛+ 3
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... Theorem 5. For 𝑛, 𝑚≥1, we have 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
𝑛+ 3
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
𝑚+ 3
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑚+ 3
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
=
1
9(𝑚+ 𝑛)2 det (
𝐴𝐵𝐵
𝐵𝐴𝐵
𝐵𝐵𝐴
) =
1
9(𝑚+ 𝑛)2 [det (𝐴−𝐵)]2 [det (𝐴+ 2𝐵)]
=
1
9(𝑚+ 𝑛)2
(
(
(
(
(
(
(
(
(
(
det
(
(
(
(
(
(
(
(
(
(
𝑛+ 3
0
⋅⋅⋅
0
−1
⋅⋅⋅⋅⋅⋅
−1
0
d d
... ... d d
... ... d d
0
... d d
... 0
⋅⋅⋅
0
𝑛+ 3
−1
⋅⋅⋅⋅⋅⋅
−1
−1
⋅⋅⋅⋅⋅⋅
−1
𝑚+ 3
0
⋅⋅⋅
0
... d d
... 0
d d
... ... d d
... ... d d
0
−1
⋅⋅⋅⋅⋅⋅
−1
0
⋅⋅⋅
0
𝑚+ 3
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
2
× det
(
(
(
(
(
(
(
(
(
(
𝑛+ 3
3
⋅⋅⋅
3
2
⋅⋅⋅⋅⋅⋅
2
3
d d
... ... d d
... ... d d
3
... d d
... 3
⋅⋅⋅
3
𝑛+ 3
2
⋅⋅⋅⋅⋅⋅
2
2
⋅⋅⋅⋅⋅⋅
2
𝑚+ 3
3
⋅⋅⋅
3
... d d
... 3
d d
... ... d d
... ... d d
3
2
⋅⋅⋅⋅⋅⋅
2
3
⋅⋅⋅
3
𝑚+ 3
)
)
)
)
)
)
)
)
)
) 1
9(𝑚+ 𝑛)2
(
(
(
(
(
(
(
(
(
(
det
(
(
(
(
(
(
(
(
(
(
𝑛+ 3
0
⋅⋅⋅
0
−1
⋅⋅⋅⋅⋅⋅
−1
0
d d
... ... d d
... ... d d
0
... d d
... 0
⋅⋅⋅
0
𝑛+ 3
−1
⋅⋅⋅⋅⋅⋅
−1
−1
⋅⋅⋅⋅⋅⋅
−1
𝑚+ 3
0
⋅⋅⋅
0
... d d
... 0
d d
... ... Theorem 5. For 𝑛, 𝑚≥1, we have d d
... ... d d
0
−1
⋅⋅⋅⋅⋅⋅
−1
0
⋅⋅⋅
0
𝑚+ 3
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
2 Journal of Applied Mathematics
7 Journal of Applied Mathematics 7 =
1
9(𝑚+ 𝑛)2 (det ( 𝐴
𝐵
𝐵𝑇𝐶))
2
× det ( 𝐷𝐸
𝐸𝑇𝐹) =
1
9(𝑚+ 𝑛)2 (det ( 𝐴
𝐵
𝐵𝑇𝐶))
2
× det ( 𝐷𝐸
𝐸𝑇𝐹) =
1
9(𝑚+ 𝑛)2 × (det 𝐴)2(det (𝐶−𝐵𝑇𝐴−1𝐵))
2 × det 𝐷det (𝐹−𝐸𝑇𝐷−1𝐸) . (12) (12) Thus,
𝜏(𝐾3 × 𝐾𝑚,𝑛) =
1
9(𝑚+ 𝑛)2 (det (
𝑛+ 3
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
𝑛+ 3
)
𝑚×𝑚
)
2
×
(
(
(
(
(
det
(
(
(
(
𝑛𝑚+ 3𝑛+ 2𝑚+ 9
𝑛+ 3
−𝑚
𝑛+ 3
⋅⋅⋅
−𝑚
𝑛+ 3
−𝑚
𝑛+ 3
d
d
... ... d
d
−𝑚
𝑛+ 3
−𝑚
𝑛+ 3
⋅⋅⋅
−𝑚
𝑛+ 3
𝑛𝑚+ 3𝑛+ 2𝑚+ 9
𝑛+ 3
)
)
)
)𝑛×𝑛
)
)
)
)
)
2
× det (
𝑛+ 3
3
⋅⋅⋅
3
3
d d
... ... d d
3
3
⋅⋅⋅
3
𝑛+ 3
)
𝑚×𝑚
× det
(
(
(
(
(
(
𝑛𝑚+ 3𝑛+ 3𝑚2 + 5𝑚
𝑛+ 3𝑚
3𝑛+ 5𝑚
𝑛+ 3𝑚
⋅⋅⋅
3𝑛+ 5𝑚
𝑛+ 3𝑚
3𝑛+ 5𝑚
𝑛+ 3𝑚
d
d
... ... d
d
3𝑛+ 5𝑚
𝑛+ 3𝑚
3𝑛+ 5𝑚
𝑛+ 3𝑚
⋅⋅⋅
3𝑛+ 5𝑚
𝑛+ 3𝑚
𝑛𝑚+ 3𝑛+ 3𝑚2 + 5𝑚
𝑛+ 3𝑚
)
)
)
)
)
)𝑛×𝑛
=
1
9(𝑚+ 𝑛)2 (𝑚+ 3)2𝑚× ( −𝑚
𝑛+ 3)
2𝑛
× (
(
(
det (
(
(
𝑚𝑛+ 3𝑛+ 2𝑚+ 9
−𝑚
1
. . . 1
1
d d
... ... d d
1
1
. . . 1
𝑚𝑛+ 3𝑛+ 2𝑚+ 9
−𝑚
)
)
)
)
)
)
2
× 3𝑚× det (
(
(
𝑛+ 3
3
1
. . . 1
1
d d
... ... d d
1
1
. . . 1
𝑛+ 3
3
)
)
)𝑚×𝑚
× (3𝑛+ 5𝑚
𝑛+ 3𝑚)
𝑛 Thus,
𝜏(𝐾3 × 𝐾𝑚,𝑛) =
1
9(𝑚+ 𝑛)2 (det (
𝑛+ 3
0
⋅⋅⋅
0
0
d d
... ... Theorem 5. For 𝑛, 𝑚≥1, we have (15) 𝜏(𝐾3 × 𝐾𝑛,𝑛) = 3𝑛2𝑛−2(2𝑛+ 3)2(𝑛+ 3)4𝑛−4;
𝑛≥1. (15) Theorem 5. For 𝑛, 𝑚≥1, we have d d
0
0
⋅⋅⋅
0
𝑛+ 3
)
𝑚×𝑚
)
2
×
(
(
(
(
(
det
(
(
(
(
𝑛𝑚+ 3𝑛+ 2𝑚+ 9
𝑛+ 3
−𝑚
𝑛+ 3
⋅⋅⋅
−𝑚
𝑛+ 3
−𝑚
𝑛+ 3
d
d
... ... d
d
−𝑚
𝑛+ 3
−𝑚
𝑛+ 3
⋅⋅⋅
−𝑚
𝑛+ 3
𝑛𝑚+ 3𝑛+ 2𝑚+ 9
𝑛+ 3
)
)
)
)𝑛×𝑛
)
)
)
)
)
2
× det (
𝑛+ 3
3
⋅⋅⋅
3
3
d d
... ... d d
3
3
⋅⋅⋅
3
𝑛+ 3
)
𝑚×𝑚 Journal of Applied Mathematics 8 8 × det
(
(
(
(
(
𝑚𝑛+ 3𝑛+ 2𝑚2 + 5𝑚
3𝑛+ 5𝑚
1
. . . 1
1
d d
... ... d d
1
1
. . . 1
𝑚𝑛+ 3𝑛+ 2𝑚2 + 5𝑚
3𝑛+ 5𝑚
)
)
)
)
)
. (13) (13) × [(𝑛+ 3𝑚) × 𝑛𝑚−1 ×
1
(𝑛+ 3𝑚)𝑛
× (6𝑛𝑚+ 3𝑛2 + 3𝑚2)
×(𝑛𝑚+ 3𝑚2)
𝑛−1]
= 3𝑛𝑚−1𝑚𝑛−1(𝑚+ 3)2𝑛−2 (𝑛+ 3)
2𝑚−2(𝑛+ 𝑚+ 3)2. (14) × [(𝑛+ 3𝑚) × 𝑛𝑚−1 ×
1
(𝑛+ 3𝑚)𝑛
× (6𝑛𝑚+ 3𝑛2 + 3𝑚2)
×(𝑛𝑚+ 3𝑚2)
𝑛−1] Using Lemma 2, we have 𝜏(𝐾3 × 𝐾𝑚,𝑛)
=
1
9(𝑚+ 𝑛)2 × (𝑛+ 3)2𝑚× ( −𝑚
𝑛+ 3)
2𝑛
× [−𝑛𝑚+ 3𝑛+ 2𝑚+ 9
𝑚
+ 𝑛−1]
2
× [−𝑛𝑚+ 3𝑛+ 2𝑚+ 9
𝑚
−1]
2𝑛−2
× 3𝑚(𝑛+ 3
3
+ 𝑚−1)
× (𝑛+ 3
3
−1)
𝑚−1
× (3𝑛+ 5𝑚
𝑛+ 3𝑚)
𝑛
× [𝑛𝑚+ 3𝑛+ 3𝑚2 + 5𝑚
3𝑛+ 5𝑚
+ 𝑛−1]
× [𝑛𝑚+ 3𝑛+ 3𝑚2 + 5𝑚
3𝑛+ 5𝑚
−1]
𝑛−1
=
1
9(𝑚+ 𝑛)2 (𝑛+ 3)2𝑚
× [
1
(𝑛+ 3)2𝑛× (3𝑛+ 3𝑚+ 9)2
× (𝑛𝑚+ 3𝑛+ 3𝑚+ 9)2𝑛−2] 𝜏(𝐾3 × 𝐾𝑚,𝑛)
=
1
9(𝑚+ 𝑛)2 × (𝑛+ 3)2𝑚× ( −𝑚
𝑛+ 3)
2𝑛
× [−𝑛𝑚+ 3𝑛+ 2𝑚+ 9
𝑚
+ 𝑛−1]
2
× [−𝑛𝑚+ 3𝑛+ 2𝑚+ 9
𝑚
−1]
2𝑛−2
× 3𝑚(𝑛+ 3
3
+ 𝑚−1)
× (𝑛+ 3
3
−1)
𝑚−1
× (3𝑛+ 5𝑚
𝑛+ 3𝑚)
𝑛
× [𝑛𝑚+ 3𝑛+ 3𝑚2 + 5𝑚
3𝑛+ 5𝑚
+ 𝑛−1]
× [𝑛𝑚+ 3𝑛+ 3𝑚2 + 5𝑚
3𝑛+ 5𝑚
−1]
𝑛−1
=
1
9(𝑚+ 𝑛)2 (𝑛+ 3)2𝑚
× [
1
(𝑛+ 3)2𝑛× (3𝑛+ 3𝑚+ 9)2
× (𝑛𝑚+ 3𝑛+ 3𝑚+ 9)2𝑛−2] = 3𝑛𝑚−1𝑚𝑛−1(𝑚+ 3)2𝑛−2 (𝑛+ 3)
2𝑚−2(𝑛+ 𝑚+ 3)2. (14) In particular, 𝜏(𝐾3 × 𝐾𝑛,𝑛) = 3𝑛2𝑛−2(2𝑛+ 3)2(𝑛+ 3)4𝑛−4;
𝑛≥1. 3. Number of Spanning Trees of
Normal Product of Graphs d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑚+ 2
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 det
(
(
(
(
(
(
(
(
(
(
2𝑛+ 2
2
⋅⋅⋅
2
0
⋅⋅⋅⋅⋅⋅
0
2
d d
... ... d d
... ... d d
2
... d d
... 2
⋅⋅⋅
2
2𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 2
2
⋅⋅⋅
2
... d d
... 2
d d
... ... d d
... ... d d
2
0
⋅⋅⋅⋅⋅⋅
0
2
⋅⋅⋅
2
2𝑚+ 2
)
)
)
)
)
)
)
)
)
)
× det
(
(
(
(
(
(
(
(
(
(
2𝑛+ 2
0
⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
d d
... ... d d
... ... d d
0
... d d
... 0
⋅⋅⋅
0
2𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 2
0
⋅⋅⋅
0
... d d
... 0
d d
... ... d d
... ... d d
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅
0
2𝑚+ 2
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 det (
2𝑛+ 2
2
⋅⋅⋅
2
2
d d
... ... d d
2
2
⋅⋅⋅
2
2𝑛+ 2
)
𝑚×𝑚
× det (
2𝑚+ 2
2
⋅⋅⋅
2
2
d d
... ... d d
2
2
⋅⋅⋅
2
2𝑚+ 2
)
𝑛×𝑛
× det (
2𝑛+ 2
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
2𝑛+ 2
)
𝑚×𝑚
× det (
2𝑚+ 2
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
2𝑚+ 2
)
𝑛×𝑛 Journal of Applied Mathematics
× det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
2𝑛+ 2
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... 1
d d
... ... d d
... ... d d
1
... d d
... ... d d
1
... d d
... 3. Number of Spanning Trees of
Normal Product of Graphs 1
⋅⋅⋅
1
2𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 2
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
... d d
1
1
d d
... ... d d
... 1
d d
... ... d d
... ... d d
1
... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑚+ 2
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
2𝑛+ 2
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... 1
d d
... ... d d
... ... d d
1
... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 2
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... 1
d d
... ... d d
... ... d d
1
... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑚+ 2
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 det
(
(
(
(
(
(
(
(
(
(
2𝑛+ 2
2
⋅⋅⋅
2
0
⋅⋅⋅⋅⋅⋅
0
2
d d
... ... d d
... ... d d
2
... d d
... 2
⋅⋅⋅
2
2𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 2
2
⋅⋅⋅
2
... d d
... 2
d d
... ... d d
... ... d d
2
0
⋅⋅⋅⋅⋅⋅
0
2
⋅⋅⋅
2
2𝑚+ 2
)
)
)
)
)
)
)
)
)
)
× det
(
(
(
(
(
(
(
(
(
(
2𝑛+ 2
0
⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
d d
... ... d d
... ... d d
0
... d d
... 0
⋅⋅⋅
0
2𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 2
0
⋅⋅⋅
0
... d d
... 0
d d
... ... d d
... ... 3. Number of Spanning Trees of
Normal Product of Graphs The normal product, or the strong product, 𝐺1 ∘𝐺2, is the
simple graph with 𝑉(𝐺1 ∘𝐺2) = 𝑉1 × 𝑉2, where (𝑢1, 𝑢2) and
(V1, V2) are adjacent in 𝐺1 ∘𝐺2 if and only if either 𝑢1 = V1 and
𝑢2 is adjacent to V2, 𝑢1 is adjacent to V1 and 𝑢2 = V2, or 𝑢1 is
adjacent to V1 and 𝑢2 is adjacent to V2 [13]. Theorem 7. For 𝑛, 𝑚≥1, we have
𝜏(𝐾2 ∘𝐾𝑚,𝑛) = 22𝑚+2𝑛−2 × 𝑛𝑚−1
× 𝑚𝑛−1 × (𝑛+ 1)𝑚× (𝑚+ 1)𝑛. (16) (16) × 𝑚𝑛−1 × (𝑛+ 1)𝑚× (𝑚+ 1)𝑛. (1 Proof. Applying Lemma 1, we have 𝜏(𝐾2 ∘𝐾𝑚,𝑛)
=
1
4(𝑚+ 𝑛)2 det (2 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
4(𝑚+ 𝑛)2 Journal of Applied Mathematics 9 Journal of Applied Mathematics
× det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
2𝑛+ 2
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... 1
d d
... ... d d
... ... d d
1
... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
2𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 2
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
... d d
1
1
d d
... ... d d
... 1
d d
... ... d d
... ... d d
1
... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑚+ 2
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
2𝑛+ 2
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... 1
d d
... ... d d
... ... d d
1
... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 2
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... 1
d d
... ... d d
... ... d d
1
... d d
... ... 3. Number of Spanning Trees of
Normal Product of Graphs d d
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅
0
2𝑚+ 2
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 det (
2𝑛+ 2
2
⋅⋅⋅
2
2
d d
... ... d d
2
2
⋅⋅⋅
2
2𝑛+ 2
)
𝑚×𝑚
× det (
2𝑚+ 2
2
⋅⋅⋅
2
2
d d
... ... d d
2
2
⋅⋅⋅
2
2𝑚+ 2
)
𝑛×𝑛
× det (
2𝑛+ 2
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
2𝑛+ 2
)
𝑚×𝑚
× det (
2𝑚+ 2
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
2𝑚+ 2
)
𝑛×𝑛 × det
(
(
(
(
(
(
(
(
(
(
2𝑛+ 2
0
⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
d d
... ... d d
... ... d d
0
... d d
... 0
⋅⋅⋅
0
2𝑛+ 2
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 2
0
⋅⋅⋅
0
... d d
... 0
d d
... ... d d
... ... d d
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅
0
2𝑚+ 2
)
)
)
)
)
)
)
)
)
) =
1
4(𝑚+ 𝑛)2 det (
2𝑛+ 2
2
⋅⋅⋅
2
2
d d
... ... d d
2
2
⋅⋅⋅
2
2𝑛+ 2
)
𝑚×𝑚
× det (
2𝑚+ 2
2
⋅⋅⋅
2
2
d d
... ... d d
2
2
⋅⋅⋅
2
2𝑚+ 2
)
𝑛×𝑛 Journal of Applied Mathematics 10 =
1
4(𝑚+ 𝑛)2 × 2𝑚(𝑛+ 𝑚) 𝑛𝑚−1 × 2𝑛(𝑛+ 𝑚) 𝑚𝑛−1 × 2𝑚(𝑛+ 1)𝑚× 2𝑛(𝑚+ 1)𝑛
= 22𝑚+2𝑛−2 × 𝑛𝑚−1 × 𝑚𝑛−1 × (𝑛+ 1)𝑚× (𝑚+ 1)𝑛. =
1
4(𝑚+ 𝑛)2 × 2𝑚(𝑛+ 𝑚) 𝑛𝑚−1 × 2𝑛(𝑛+ 𝑚) 𝑚𝑛−1 × 2𝑚(𝑛+ 1)𝑚× 2𝑛(𝑚+ 1)𝑛 (17) In particular,
𝜏(𝐾2 ∘𝐾𝑛,𝑛) = 24𝑛−2 × 𝑛2𝑛−2 × (𝑛+ 1)2𝑛;
𝑛≥1. (18)
Theorem 8. For 𝑚, 𝑛≥1, we have
𝜏(𝐾3 ∘𝐾𝑚,𝑛) = 33𝑚+3𝑛−2 × 𝑛𝑚−1 × 𝑚𝑛−1
× (𝑛+ 1)2𝑚× (𝑚+ 1)2𝑛. (19)
Proof. Applying Lemma 1, we have 𝜏(𝐾3 ∘𝐾𝑚,𝑛) = 33𝑚+3𝑛−2 × 𝑛𝑚−1 × 𝑚𝑛−1 In particular, (19) 𝑛2𝑛−2 × (𝑛+ 1)2𝑛;
𝑛≥1. (18)
× (𝑛+ 1)2𝑚× (𝑚+ 1)2𝑛. (19) 𝐾2 ∘𝐾𝑛,𝑛) = 24𝑛−2 × 𝑛2𝑛−2 × (𝑛+ 1)2𝑛;
𝑛≥1. (18)
× (𝑛+ 1)2𝑚× (𝑚 Theorem 8. For 𝑚, 𝑛≥1, we have Theorem 8. 3. Number of Spanning Trees of
Normal Product of Graphs For 𝑚, 𝑛≥1, we have 𝜏(𝐾3 ∘𝐾𝑚,𝑛)
=
1
9(𝑚+ 𝑛)2 det (3 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
9(𝑚+ 𝑛)2 𝜏(𝐾3 ∘𝐾𝑚,𝑛)
=
1
9(𝑚+ 𝑛)2 det (3 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
9(𝑚+ 𝑛)2
× det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
3𝑛+ 3
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
3𝑛+ 3
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 3
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑚+ 3
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
3𝑛+ 3
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑛+ 3
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0 11 Journal of Applied Mathematics 11 pplied Mathematics
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
... ... d d
... 3. Number of Spanning Trees of
Normal Product of Graphs 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 3
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
3𝑚+ 3
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑛+ 3
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑛+ 3
0
⋅⋅⋅⋅⋅⋅
0
0
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 3
1
⋅⋅⋅
1
1
d d
... ... d d
... 1
d d
... ... d d
1
... d d
... ... d d
1
1
⋅⋅⋅
1
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑚+ 3
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
=
1
9(𝑚+ 𝑛)2 det (
𝐴𝐵𝐵
𝐵𝐴𝐵
𝐵𝐵𝐴
) =
1
9(𝑚+ 𝑛)2 [det (𝐴−𝐵)]2 [det (𝐴+ 2𝐵)]
=
1
9(𝑚+ 𝑛)2
(
(
(
(
(
(
(
(
(
(
det
(
(
(
(
(
(
(
(
(
(
3𝑛+ 3
0
⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
d d
... ... d d
... ... d d
0
... d d
... 0
⋅⋅⋅
0
3𝑛+ 3
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 3
0
⋅⋅⋅
0
... d d
... 0
d d
... ... d d
... ... 3. Number of Spanning Trees of
Normal Product of Graphs d d
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅
0
3𝑚+ 3
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
2
× det
(
(
(
(
(
(
(
(
(
(
3𝑛+ 3
3
⋅⋅⋅
3
0
⋅⋅⋅⋅⋅⋅
0
3
d d
... ... d d
... ... d d
3
... d d
... 3
⋅⋅⋅
3
3𝑛+ 3
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 3
3
⋅⋅⋅
3
... d d
... 3
d d
... ... d d
... ... d d
3
0
⋅⋅⋅⋅⋅⋅
0
3
⋅⋅⋅
3
3𝑚+ 3
)
)
)
)
)
)
)
)
)
) Journal of Applied Mathematics 12 12 2
Journal of Applied Mathematics
=
1
9(𝑚+ 𝑛)2 (det (
3𝑛+ 3
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
3𝑛+ 3
)
𝑚×𝑚
)
2
× (det (
3𝑚+ 3
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
3𝑚+ 3
)
𝑛×𝑛
)
2
× det (
3𝑛+ 3
3
⋅⋅⋅
3
3
d d
... ... d d
3
3
⋅⋅⋅
3
3𝑛+ 3
)
𝑚×𝑚
× det (
3𝑚+ 3
3
⋅⋅⋅
3
3
d d
... ... d d
3
3
⋅⋅⋅
3
3𝑚+ 3
)
𝑛×𝑛
. (20) =
1
9(𝑚+ 𝑛)2 (det (
3𝑛+ 3
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
3𝑛+ 3
)
𝑚×𝑚
)
2
× (det (
3𝑚+ 3
0
⋅⋅⋅
0
0
d d
... ... d d
0
0
⋅⋅⋅
0
3𝑚+ 3
)
𝑛×𝑛
)
2
× det (
3𝑛+ 3
3
⋅⋅⋅
3
3
d d
... ... d d
3
3
⋅⋅⋅
3
3𝑛+ 3
)
𝑚×𝑚
× det (
3𝑚+ 3
3
⋅⋅⋅
3
3
d d
... ... d d
3
3
⋅⋅⋅
3
3𝑚+ 3
)
𝑛×𝑛
. (20) (20) Using Lemma 2, we have Using Lemma 2, we have 𝜏(𝐾3 ∘𝐾𝑚,𝑛) =
1
9(𝑚+ 𝑛)2 × (3𝑛+ 3)2𝑚× (3𝑚+ 3)2𝑛
× (3𝑚× (𝑛+ 𝑚) × 𝑛𝑚−1)
× (3𝑛× (𝑛+ 𝑚) × 𝑚𝑛−1)
= 33𝑚+3𝑛−2 × 𝑛𝑚−1 × 𝑚𝑛−1
× (𝑛+ 1)2𝑚× (𝑚+ 1)2𝑛. 𝜏(𝐾3 ∘𝐾𝑚,𝑛) =
1
9(𝑚+ 𝑛)2 × (3𝑛+ 3)2𝑚× (3𝑚+ 3)2𝑛 4. Number of Spanning Trees of Composition
Product of Graphs × (3𝑚× (𝑛+ 𝑚) × 𝑛𝑚−1)
× (3𝑛× (𝑛+ 𝑚) × 𝑚𝑛−1)
= 33𝑚+3𝑛−2 × 𝑛𝑚−1 × 𝑚𝑛−1
× (𝑛+ 1)2𝑚× (𝑚+ 1)2𝑛. × (3𝑚× (𝑛+ 𝑚) × 𝑛𝑚−1) The composition, or lexicographic product, 𝐺1[𝐺2], is the
simple graph with 𝑉1 × 𝑉2 as the vertex set in which the
vertices (𝑢1, 𝑢2) and (V1, V2) are adjacent if either 𝑢1 is adjacent
to V1 or 𝑢1 = V1 and 𝑢2 is adjacent to V2 in 𝐺2 [13]. (21) (21) Theorem 9. For 𝑛, 𝑚≥1, we have
𝜏(𝐾2 [𝐾𝑚,𝑛]) = 4(𝑚+ 𝑛)2
× (𝑚+ 2𝑛)2𝑚−2(𝑛+ 2𝑚)2𝑛−2. (23) Theorem 9. For 𝑛, 𝑚≥1, we have 𝜏(𝐾2 [𝐾𝑚,𝑛]) = 4(𝑚+ 𝑛)2 (23) × (𝑚+ 2𝑛)2𝑚−2(𝑛+ 2𝑚)2𝑛−2. (23) × (𝑚+ 2𝑛)2𝑚−2(𝑛+ 2𝑚)2𝑛−2. (23 In paricular, In paricular, 𝜏(𝐾3 ∘𝐾𝑛,𝑛) = 36𝑛−2 × 𝑛2𝑛−2 × (𝑛+ 1)4𝑛;
𝑛≥1. (22)
Proof. Applying Lemma 1, we have Proof. Applying Lemma 1, we have 𝜏(𝐾2 [𝐾𝑚,𝑛])
=
1
4(𝑚+ 𝑛)2 det (2 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
4(𝑚+ 𝑛)2 𝜏(𝐾2 [𝐾𝑚,𝑛])
=
1
4(𝑚+ 𝑛)2 det (2 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
4(𝑚+ 𝑛)2 𝜏(𝐾2 [𝐾𝑚,𝑛])
=
1
4(𝑚+ 𝑛)2 det (2 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
4(𝑚+ 𝑛)2 13 Journal of Applied Mathematics 13 × det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
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(
(
(
(
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(
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(
(
(
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(
(
𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
𝑚+ 2𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑛+ 2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... 4. Number of Spanning Trees of Composition
Product of Graphs 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑚+ 2𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
... d d
... ... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑛+ 2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0 rticular,
𝜏(𝐾2 [𝐾𝑛,𝑛]) = 16 × 34𝑛−4 × 𝑛4𝑛−4;
𝑛≥1. (25)
Theorem 10. For 𝑚, 𝑛≥1, we have
𝜏(𝐾3 [𝐾𝑚,𝑛]) = 34(𝑚+ 𝑛)4(3𝑚+ 2𝑛)3𝑛−3(3𝑛+ 2𝑚)3𝑚−3. (26)
Proof. Applying Lemma 1, we have particular,
𝜏(𝐾2 [𝐾𝑛,𝑛]) = 16 × 34𝑛−4 × 𝑛4𝑛−4;
𝑛≥1. (25)
Theorem 10. For 𝑚, 𝑛≥1, we have
𝜏(𝐾3 [𝐾𝑚,𝑛]) = 34(𝑚+ 𝑛)4(3𝑚+ 2𝑛)3𝑛−3(3𝑛+ 2𝑚)3𝑚−3. (26) In particular, × 34𝑛−4 × 𝑛4𝑛−4;
𝑛≥1. (25)
𝜏(𝐾3 [𝐾𝑚,𝑛]) = 34(𝑚+ 𝑛)4(3𝑚+ 2𝑛)3𝑛−3(3𝑛+ 2𝑚)3𝑚−3. (26) (26) Proof. Applying Lemma 1, we have =
9(𝑚+ 𝑛)2
× det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
3𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... ... d d
... 1
⋅⋅⋅
1
3𝑛+ 2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... 4. Number of Spanning Trees of Composition
Product of Graphs d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
𝑚+ 2𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑛+ 2𝑚+ 1
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 (det (
𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑚+ 2𝑛+ 1
)
𝑚×𝑚
)
2
× (det (
𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑛+ 2𝑚+ 1
)
𝑛×𝑛
)
2 14
Journal of Applied Mathematics
=
1
4(𝑚+ 𝑛)2 (2𝑛+ 2𝑚)2(𝑚+ 2𝑛)2𝑚−2 × (2𝑛+ 2𝑚)2(𝑛+ 2𝑚)2𝑛−2
= 4(𝑚+ 𝑛)2(𝑚+ 2𝑛)2𝑚−2(𝑛+ 2𝑚)2𝑛−2. (24) Journal of Applied Mathematics 14 (24) In particular,
𝜏(𝐾2 [𝐾𝑛,𝑛]) = 16 × 34𝑛−4 × 𝑛4𝑛−4;
𝑛≥1. (25)
Theorem 10. For 𝑚, 𝑛≥1, we have
𝜏(𝐾3 [𝐾𝑚,𝑛]) = 34(𝑚+ 𝑛)4(3𝑚+ 2𝑛)3𝑛−3(3𝑛+ 2𝑚)3
Proof. Applying Lemma 1, we have
𝜏(𝐾3 [𝐾𝑚,𝑛])
=
1
9(𝑚+ 𝑛)2 det (3 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
9(𝑚+ 𝑛)2
× det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
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3𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... ... d d
... 1
⋅⋅⋅
1
3𝑛+ 2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
... ... d d
... 4. Number of Spanning Trees of Composition
Product of Graphs d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑛+ 2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
... d d
... ... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑚+ 2𝑛+ 1
)
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)
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=
1
9(𝑚+ 𝑛)2
(
(
(
(
(
(
(
(
(
(
det
(
(
(
(
(
(
(
(
(
(
3𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
3𝑛+ 2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑚+ 2𝑛+ 1
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
3
=
1
9(𝑚+ 𝑛)2 (det (
3𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
3𝑛+ 2𝑚+ 1
)
𝑚×𝑚
)
3
× (det (
3𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
3𝑚+ 2𝑛+ 1
)
𝑛×𝑛
)
3
. (27 Journal of Applied Mathematics
15
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
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... ... d d
... ... d d
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... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 4. Number of Spanning Trees of Composition
Product of Graphs 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
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... ... d d
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... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... ... d d
... 1
⋅⋅⋅
1
3𝑚+ 2𝑛+ 1
0
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0
0
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0
0
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0
3𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
0
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0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑛+ 2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
... d d
... ... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
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1
3𝑚+ 2𝑛+ 1
)
)
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=
1
9(𝑚+ 𝑛)2
(
(
(
(
(
(
(
(
(
(
det
(
(
(
(
(
(
(
(
(
(
3𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
3𝑛+ 2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑚+ 2𝑛+ 1
)
)
)
)
)
)
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)
)
)
)
)
)
)
)
)
)
)
)
)
3
=
1
9(𝑚+ 𝑛)2 (det (
3𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
3𝑛+ 2𝑚+ 1
)
𝑚×𝑚
)
3
× (det (
3𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
1
d d
... 4. Number of Spanning Trees of Composition
Product of Graphs d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑚+ 2𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
... d d
... ... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
3𝑛+ 2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
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0
0
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0
0
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0
0
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0
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0
... d d
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... 0
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0
0
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0
0
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0
0
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0
0
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0
0
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0
... d d
... ... d d
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... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0 Journal of Applied Mathematics 15 Journal of Applied Mathematics
15
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑚+ 2𝑛+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... ... d d
... 1
⋅⋅⋅
1
3𝑚+ 2𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
3𝑛+ 2𝑚+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... 4. Number of Spanning Trees of Composition
Product of Graphs ... d d
1
1
⋅⋅⋅
1
3𝑚+ 2𝑛+ 1
)
𝑛×𝑛
)
3
. (27) (27) Journal of Applied Mathematics 16 (V1, V2) are adjacent in 𝐺1 ⊗𝐺2 if and only if 𝑢1 is adjacent to
V1 in 𝐺1 and 𝑢2 is adjacent to V2 in 𝐺2 [13]. Using Lemma 2, we have Lemma 11. For 𝑚, 𝑛≥1, we have 𝜏(𝐾2 ⊗𝐾𝑚,𝑛) = 0. (30) (30) In particular, 𝜏(𝐾3 ⊗𝐾𝑚,𝑛) = 3 × 23𝑚+3𝑛−5
× 𝑛3𝑚−1 × 𝑚3𝑛−1. (31) 𝜏(𝐾3 ⊗𝐾𝑚,𝑛) = 3 × 23𝑚+3𝑛−5 = 3 × 23𝑚+3𝑛5
× 𝑛3𝑚−1 × 𝑚3𝑛−1. (31) (31) 5. Complexity of Tensor Product of Graphs × 𝑛3𝑚−1 × 𝑚3𝑛−1. (31) The tensor product, or Kronecker product, 𝐺1 ⊗𝐺2, is the
simple graph with 𝑉(𝐺1 ⊗𝐺2) = 𝑉1 × 𝑉2, where (𝑢1, 𝑢2) and Proof. Applying Lemma 1, we have Proof. Applying Lemma 1, we have 𝜏(𝐾3 ⊗𝐾𝑚,𝑛)
=
1
9(𝑚+ 𝑛)2 det (3 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
9(𝑚+ 𝑛)2
× det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
2𝑛+ 1
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
1
d d
... ... d d
... ... ... d d
1
... d d
... ... 1
⋅⋅⋅
1
2𝑛+ 1
1
⋅⋅⋅⋅⋅⋅
1
1
1
⋅⋅⋅⋅⋅⋅
1
2𝑚+ 1
1
⋅⋅⋅
1
0
... d d
... 1
d d
... ... ... d d
... ... d d
... ... 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
2𝑚+ 1
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
2𝑛
... d d
... ... d d
... 1
... d d
... ... d d
... ... 1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
... d d
... ... d d
... ... ... d d
... ... d d
... ... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
... d d
... ... d d
... ... ... d d
... ... d d
... ... 1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
... d d
... ... d d
... ... ... d d
... ... d d
... ... 5. Complexity of Tensor Product of Graphs d d
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅
0
2𝑚
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
2
× det
(
(
(
(
(
(
(
(
(
(
2𝑛+ 3
3
⋅⋅⋅
3
1
⋅⋅⋅⋅⋅⋅
1
3
d d
... ... d d
... ... d d
3
... d d
... 3
⋅⋅⋅
3
2𝑛+ 3
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
2𝑚+ 3
3
⋅⋅⋅
3
... d d
... 3
d d
... ... d d
... ... d d
3
1
⋅⋅⋅⋅⋅⋅
1
3
⋅⋅⋅
3
2𝑚+ 3
)
)
)
)
)
)
)
)
)
) 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... ... d d
... 1
⋅⋅⋅
1
2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
2𝑛+ 1
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑛+ 1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
2𝑚+ 1
1
⋅⋅⋅
1
... d d
... ... d d
... 1
d d
... ... d d
... ... d d
... ... 5. Complexity of Tensor Product of Graphs 0
0
1
1
0 𝜏(𝐾3 ⊗𝐾𝑚,𝑛)
=
1
9(𝑚+ 𝑛)2 det (3 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
9(𝑚+ 𝑛)2 9(𝑚+ 𝑛)
× det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
2𝑛+ 1
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... ... d d
... 1
⋅⋅⋅
1
2𝑛+ 1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
2𝑚+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
2𝑛+ 1
1
⋅⋅⋅
1
... d d
... ... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0 17 Journal of Applied Mathematics 17 Applied Mathematics
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 5. Complexity of Tensor Product of Graphs 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
2𝑚+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... ... d d
... 1
⋅⋅⋅
1
2𝑚+ 1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
2𝑛+ 1
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑛+ 1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
2𝑚+ 1
1
⋅⋅⋅
1
... d d
... ... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
2𝑚+ 1
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
=
1
9(𝑚+ 𝑛)2 det (
𝐴𝐵𝐵
𝐵𝐴𝐵
𝐵𝐵𝐴
) =
1
9(𝑚+ 𝑛)2 [det (𝐴−𝐵)]2 [det (𝐴+ 2𝐵)]
=
1
9(𝑚+ 𝑛)2
(
(
(
(
(
(
(
(
(
(
det
(
(
(
(
(
(
(
(
(
(
2𝑛
0
⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
d d
... ... d d
... ... d d
0
... d d
... 0
⋅⋅⋅
0
2𝑛
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
2𝑚
0
⋅⋅⋅
0
... d d
... 0
d d
... ... d d
... ... 5. Complexity of Tensor Product of Graphs d d
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
2𝑚+ 1
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
=
1
9(𝑚+ 𝑛)2 det (
𝐴𝐵𝐵
𝐵𝐴𝐵
𝐵𝐵𝐴
) =
1
9(𝑚+ 𝑛)2 [det (𝐴−𝐵)]2 [det (𝐴+ 2𝐵)]
=
1
9(𝑚+ 𝑛)2
(
(
(
(
(
(
(
(
(
(
det
(
(
(
(
(
(
(
(
(
(
2𝑛
0
⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
d d
... ... d d
... ... d d
0
... d d
... 0
⋅⋅⋅
0
2𝑛
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
2𝑚
0
⋅⋅⋅
0
... d d
... 0
d d
... ... d d
... ... d d
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅
0
2𝑚
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
2
× det
(
(
(
(
(
(
(
(
(
(
2𝑛+ 3
3
⋅⋅⋅
3
1
⋅⋅⋅⋅⋅⋅
1
3
d d
... ... d d
... ... d d
3
... d d
... 3
⋅⋅⋅
3
2𝑛+ 3
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
2𝑚+ 3
3
⋅⋅⋅
3
... d d
... 3
d d
... . . . )
)
)
)
)
)
)
)
)
) 18
Journal of Applied Mathematics
=
1
9(𝑚+ 𝑛)2 det ( 𝐴
𝐵
𝐵𝑇𝐶) × det ( 𝐷𝐸
𝐸𝑇𝐹) =
1
9(𝑚+ 𝑛)2
× (det 𝐴)2(det (𝐶−𝐵𝑇𝐴−1𝐵))
2 × det 𝐷det (𝐹−𝐸𝑇𝐷−1𝐸) . (
) Journal of Applied Mathematics 18 18 =
1
9(𝑚+ 𝑛)2 det ( 𝐴
𝐵
𝐵𝑇𝐶) × det ( 𝐷𝐸
𝐸𝑇𝐹) =
1
9(𝑚+ 𝑛)2
× (det 𝐴)2(det (𝐶
𝐵𝑇𝐴−1𝐵))
2 × det 𝐷det (𝐹
𝐸𝑇𝐷−1𝐸) =
1
9(𝑚+ 𝑛)2 det ( 𝐴
𝐵
𝐵𝑇𝐶) × det ( 𝐷𝐸
𝐸𝑇𝐹) =
1
9(𝑚+ 𝑛)2 9(𝑚+ 𝑛)
(
𝐶)
(
)
9(𝑚+ 𝑛)
× (det 𝐴)2(det (𝐶−𝐵𝑇𝐴−1𝐵))
2 × det 𝐷det (𝐹−𝐸𝑇𝐷−1𝐸) . × (det 𝐴)2(det (𝐶−𝐵𝑇𝐴−1𝐵))
2 × det 𝐷det (𝐹−𝐸𝑇𝐷−1𝐸) . (32) (32) (32) Thus,
𝜏(𝐾3 ⊗𝐾𝑚,𝑛) =
1
9(𝑚+ 𝑛)2 (det (
2𝑛
0
⋅⋅⋅
0
0
d d
... 5. Complexity of Tensor Product of Graphs d d
1
1
⋅⋅⋅
1
𝑛(4𝑚+ 6) + 6𝑚2 + 8𝑚
6𝑛+ 8𝑚
)
)
)
)𝑛×𝑛
. (33) (33) Using Lemma 2, we have Using Lemma 2, we have
𝜏(𝐾3 ⊗𝐾𝑚,𝑛) =
1
9(𝑚+ 𝑛)2 (2𝑛)2𝑚
× [( 𝑚
2𝑛)
2𝑛
× (−3𝑛)2 × (−4𝑛)2𝑛−2]
× [3𝑚(2𝑛+ 3𝑚
3
) × (2𝑛
3 )
𝑚−1
]
× (6𝑛+ 8𝑚
2𝑛+ 3𝑚)
𝑛
× [(4𝑛𝑚+ 6𝑛+ 6𝑚2 + 8𝑚
6𝑛+ 8𝑚
+ 𝑛−1)
×(4𝑛𝑚+ 6𝑛+ 6𝑚2 + 8𝑚
6𝑛+ 8𝑚
−1)
𝑛−1
]
= 3 × (2𝑛)2𝑚−2𝑛× 𝑚3𝑛−1
× 𝑛2𝑛+𝑚−1 × 25𝑛+𝑚−5 = 3 × 23𝑚+3𝑛−5 × 𝑛3𝑚−1 × 𝑚3𝑛−1. 𝜏(𝐾3 ⊗𝐾𝑚,𝑛) =
1
9(𝑚+ 𝑛)2 (2𝑛)2𝑚 (34) In particular, 𝜏(𝐾3 ⊗𝐾𝑛,𝑛) = 3 × 26𝑛−5 × 𝑛6𝑛−2;
𝑛≥1. (35) (35) 6. Number of Spanning Trees of
Symmetric Product of Graphs The symmetric product, 𝐺1 ⊕𝐺2, is the simple graph with
𝑉(𝐺1 ∘𝐺2) = 𝑉1 × 𝑉2, where (𝑢1, 𝑢2) and (V1, V2) are adjacent
in 𝐺1 ⊕𝐺2 if and only if either 𝑢1 is adjacent to V1 in 𝐺1 and 𝑢2
is not adjacent to V2 in 𝐺2, or 𝑢1 is not adjacent to V1 in 𝐺1and
𝑢2 is adjacent to V2 in 𝐺2 [13]. 5. Complexity of Tensor Product of Graphs ... d d
0
0
⋅⋅⋅
0
2𝑛
)
𝑚×𝑚
)
2
×
(
(
(
(
(
det
(
(
(
(
(
𝑚(4𝑛−1)
2𝑛
−𝑚
2𝑛
⋅⋅⋅
−𝑚
2𝑛
−𝑚
2𝑛
d
d
... ... d
d
−𝑚
2𝑛
−𝑚
2𝑛
⋅⋅⋅
−𝑚
2𝑛
𝑚(4𝑛−1)
2𝑛
)
)
)
)
)𝑛×𝑛
)
)
)
)
)
2
× det (
2𝑛+ 3
3
⋅⋅⋅
3
3
d d
... ... d d
3
3
⋅⋅⋅
3
2𝑛+ 3
)
𝑚×𝑚
× det
(
(
(
(
(
𝑛(4𝑚+ 6) + 6𝑚2 + 8𝑚
2𝑛+ 3𝑚
6𝑛+ 8𝑚
2𝑛+ 3𝑚
⋅⋅⋅
6𝑛+ 8𝑚
2𝑛+ 3𝑚
6𝑛+ 8𝑚
2𝑛+ 3𝑚
d
d
... ... d
d
6𝑛+ 8𝑚
2𝑛+ 3𝑚
6𝑛+ 8𝑚
2𝑛+ 3𝑚
⋅⋅⋅
6𝑛+ 8𝑚
2𝑛+ 3𝑚
𝑛(4𝑚+ 6) + 6𝑚2 + 8𝑚
2𝑛+ 3𝑚
)
)
)
)
)𝑛×𝑛
=
1
9(𝑚+ 𝑛)2 (2𝑛)2𝑚× (−𝑚
2𝑛)
2𝑛
× (
(
(
det (
(
(
𝑚(4𝑛−1)
−𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑚(4𝑛−1)
−𝑚
)
)
)𝑛×𝑛
)
)
)
2
× 3𝑚× det (
(
(
2𝑛+ 3
3
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
2𝑛+ 3
3
)
)
)
× (6𝑛+ 8𝑚
2𝑛+ 3𝑚)
𝑛 × det
(
(
(
(
(
𝑛(4𝑚+ 6) + 6𝑚2 + 8𝑚
2𝑛+ 3𝑚
6𝑛+ 8𝑚
2𝑛+ 3𝑚
⋅⋅⋅
6𝑛+ 8𝑚
2𝑛+ 3𝑚
6𝑛+ 8𝑚
2𝑛+ 3𝑚
d
d
... ... d
d
6𝑛+ 8𝑚
2𝑛+ 3𝑚
6𝑛+ 8𝑚
2𝑛+ 3𝑚
⋅⋅⋅
6𝑛+ 8𝑚
2𝑛+ 3𝑚
𝑛(4𝑚+ 6) + 6𝑚2 + 8𝑚
2𝑛+ 3𝑚
)
)
)
)
)𝑛×𝑛
=
1
9(𝑚+ 𝑛)2 (2𝑛)2𝑚× (−𝑚
2𝑛)
2𝑛
× (
(
(
det (
(
(
𝑚(4𝑛−1)
−𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑚(4𝑛−1)
−𝑚
)
)
)𝑛×𝑛
)
)
)
2 Journal of Applied Mathematics
19
× det
(
(
(
(
𝑛(4𝑚+ 6) + 6𝑚2 + 8𝑚
6𝑛+ 8𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑛(4𝑚+ 6) + 6𝑚2 + 8𝑚
6𝑛+ 8𝑚
)
)
)
)𝑛×𝑛
. (33) Journal of Applied Mathematics 19 × det
(
(
(
(
𝑛(4𝑚+ 6) + 6𝑚2 + 8𝑚
6𝑛+ 8𝑚
1
⋅⋅⋅
1
1
d d
... ... Theorem 13. For 𝑛, 𝑚≥1, we have 𝜏(𝐾2 ⊕𝐾𝑚,𝑛) = (𝑚+ 𝑛)2(𝑚+𝑛−1). (36) (36) Proof. Applying Lemma 1, we have 𝜏(𝐾2 ⊕𝐾𝑚,𝑛)
=
1
4(𝑚+ 𝑛)2 det (2 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
4(𝑚+ 𝑛)2 𝜏(𝐾2 ⊕𝐾𝑚,𝑛)
=
1
4(𝑚+ 𝑛)2 det (2 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
4(𝑚+ 𝑛)2 20 Journal of Applied Mathematics × det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
𝑚+ 𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑚+ 𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
𝑚+ 𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
d d
0
𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... Theorem 13. For 𝑛, 𝑚≥1, we have d d
1
1
⋅⋅⋅
1
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
𝑛+ 𝑚
)
)
)
)𝑛×𝑛
. × det
(
(
(
(
(
(
(
(
(
(
𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
−1
⋅⋅⋅⋅⋅⋅
−1
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
𝑚+ 𝑛+ 1
−1
⋅⋅⋅⋅⋅⋅
−1
−1
⋅⋅⋅⋅⋅⋅
−1
𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
1
−1
⋅⋅⋅⋅⋅⋅
−1
1
⋅⋅⋅
1
𝑚+ 𝑛+ 1
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 (𝑚+ 𝑛+ 1 + 𝑚+ 𝑛−1) (𝑚+ 𝑛+ 1 −1)𝑚+𝑛−1 × det ( 𝐴
𝐵
𝐵𝑇𝐶)
= 1
2(𝑚+ 𝑛)𝑚+𝑛−2 × det 𝐴det (𝐶−𝐵𝑇𝐴−1𝐵)
= 1
2(𝑚+ 𝑛)𝑚+𝑛−2 × (2𝑚+ 𝑛) (𝑚+ 𝑛)𝑚−1 × det
(
(
(
(
(
(
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
(𝑛+ 2𝑚)
𝑛+ 𝑚
𝑛+ 2𝑚
⋅⋅⋅
𝑛+ 𝑚
𝑛+ 2𝑚
𝑛+ 𝑚
𝑛+ 2𝑚
d
d
... ... d
d
𝑛+ 𝑚
𝑛+ 2𝑚
𝑛+ 𝑚
𝑛+ 2𝑚
⋅⋅⋅
𝑛+ 𝑚
𝑛+ 2𝑚
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
(𝑛+ 2𝑚)
)
)
)
)
)
)𝑛×𝑛
= 1
2(𝑚+ 𝑛)2𝑚+𝑛−3 × (2𝑚+ 𝑛) × ( 𝑛+ 𝑚
𝑛+ 2𝑚)
𝑛
× det
(
(
(
(
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
𝑛+ 𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
𝑛+ 𝑚
)
)
)
)𝑛×𝑛
. (37) × det
(
(
(
(
(
(
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
(𝑛+ 2𝑚)
𝑛+ 𝑚
𝑛+ 2𝑚
⋅⋅⋅
𝑛+ 𝑚
𝑛+ 2𝑚
𝑛+ 𝑚
𝑛+ 2𝑚
d
d
... ... Theorem 13. For 𝑛, 𝑚≥1, we have d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
𝑚+ 𝑛+ 1
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
𝑚+ 𝑛+ 1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
1
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
𝑚+ 𝑛+ 1
)
)
)
)
)
)
)
)
)
)
)
)
)
) 21 21 Journal of Applied Mathematics × det
(
(
(
(
(
(
(
(
(
(
𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
−1
⋅⋅⋅⋅⋅⋅
−1
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
𝑚+ 𝑛+ 1
−1
⋅⋅⋅⋅⋅⋅
−1
−1
⋅⋅⋅⋅⋅⋅
−1
𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
1
−1
⋅⋅⋅⋅⋅⋅
−1
1
⋅⋅⋅
1
𝑚+ 𝑛+ 1
)
)
)
)
)
)
)
)
)
)
=
1
4(𝑚+ 𝑛)2 (𝑚+ 𝑛+ 1 + 𝑚+ 𝑛−1) (𝑚+ 𝑛+ 1 −1)𝑚+𝑛−1 × det ( 𝐴
𝐵
𝐵𝑇𝐶)
= 1
2(𝑚+ 𝑛)𝑚+𝑛−2 × det 𝐴det (𝐶−𝐵𝑇𝐴−1𝐵)
= 1
2(𝑚+ 𝑛)𝑚+𝑛−2 × (2𝑚+ 𝑛) (𝑚+ 𝑛)𝑚−1
× det
(
(
(
(
(
(
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
(𝑛+ 2𝑚)
𝑛+ 𝑚
𝑛+ 2𝑚
⋅⋅⋅
𝑛+ 𝑚
𝑛+ 2𝑚
𝑛+ 𝑚
𝑛+ 2𝑚
d
d
... ... d
d
𝑛+ 𝑚
𝑛+ 2𝑚
𝑛+ 𝑚
𝑛+ 2𝑚
⋅⋅⋅
𝑛+ 𝑚
𝑛+ 2𝑚
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
(𝑛+ 2𝑚)
)
)
)
)
)
)𝑛×𝑛
= 1
2(𝑚+ 𝑛)2𝑚+𝑛−3 × (2𝑚+ 𝑛) × ( 𝑛+ 𝑚
𝑛+ 2𝑚)
𝑛
× det
(
(
(
(
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
𝑛+ 𝑚
1
⋅⋅⋅
1
1
d d
... ... Theorem 13. For 𝑛, 𝑚≥1, we have d
d
𝑛+ 𝑚
𝑛+ 2𝑚
𝑛+ 𝑚
𝑛+ 2𝑚
⋅⋅⋅
𝑛+ 𝑚
𝑛+ 2𝑚
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
(𝑛+ 2𝑚)
)
)
)
)
)
)𝑛×𝑛
= 1
2(𝑚+ 𝑛)2𝑚+𝑛−3 × (2𝑚+ 𝑛) × ( 𝑛+ 𝑚
𝑛+ 2𝑚)
𝑛
(
𝑛2 + (3𝑚+ 1) 𝑛+ 2𝑚2 + 𝑚
𝑛+ 𝑚
1
⋅⋅⋅
1
) (37) Thus,
In particular,
(𝐾
𝐾
)
(2 )2(2𝑛−1)
1
(39) Thus, (39) 𝜏(𝐾2 ⊕𝐾𝑚,𝑛) = 1
2(𝑚+ 𝑛)2𝑚+𝑛−3 × (2𝑚+ 𝑛)
× ( 𝑛+ 𝑚
𝑛+ 2𝑚)
𝑛
× (2𝑛+ 2𝑚) (𝑛+ 2𝑚)𝑛−1
= (𝑚+ 𝑛)2(𝑚+𝑛−1). (38)
,
Theorem 14. For 𝑚, 𝑛≥1, we have
𝜏(𝐾3 ⊕𝐾𝑚,𝑛) = 3(2𝑚+ 𝑛)3𝑚−3
× (2𝑛+ 𝑚)3𝑛−3(𝑚2 + 𝑛2 + 3𝑚𝑛)
2. (40) 𝜏(𝐾2 ⊕𝐾𝑚,𝑛) = 1
2(𝑚+ 𝑛)2𝑚+𝑛−3 × (2𝑚+ 𝑛)
× ( 𝑛+ 𝑚
𝑛+ 2𝑚)
𝑛
× (2𝑛+ 2𝑚) (𝑛+ 2𝑚)𝑛−1
= (𝑚+ 𝑛)2(𝑚+𝑛−1). (38)
Theorem 14. For 𝑚, 𝑛≥1, we have
𝜏(𝐾3 ⊕𝐾𝑚,𝑛) = 3(2𝑚+ 𝑛)3𝑚−3
× (2𝑛+ 𝑚)3𝑛−3(𝑚2 + 𝑛2 + 3𝑚𝑛)
2. (40)
Proof Applying Lemma 1 we have 𝜏(𝐾2 ⊕𝐾𝑚,𝑛) = 1
2(𝑚+ 𝑛)2𝑚+𝑛−3 × (2𝑚+ 𝑛) Theorem 14. For 𝑚, 𝑛≥1, we have
𝜏(𝐾3 ⊕𝐾𝑚,𝑛) = 3(2𝑚+ 𝑛)3𝑚−3 𝜏(𝐾3 ⊕𝐾𝑚,𝑛) = 3(2𝑚+ 𝑛)3𝑚−3 (40) × (2𝑛+ 𝑚)3𝑛−3(𝑚2 + 𝑛2 + 3𝑚𝑛)
2. (40) (38) 𝜏(𝐾3 ⊕𝐾𝑚,𝑛)
=
1
9(𝑚+ 𝑛)2 det (3 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
9(𝑚+ 𝑛)2 𝜏(𝐾3 ⊕𝐾𝑚,𝑛)
=
1
9(𝑚+ 𝑛)2 det (3 (𝑚+ 𝑛) 𝐼−𝐷+ 𝐴)
=
1
9(𝑚+ 𝑛)2 22 Journal of Applied Mathematics 22 × det
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
(
2𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... ... d d
... 1
⋅⋅⋅
1
2𝑚+ 𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
2𝑛+ 𝑚+ 1
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
... ... d d
... Theorem 13. For 𝑛, 𝑚≥1, we have 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑛+ 𝑚+ 1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
2𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
... d d
... ... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
2𝑚+ 𝑛+ 1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
... d d
... ... d d
... ... d d
... ... d d
... ... d d
... ... d d
... 0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
2𝑛+ 𝑚+ 1
1
⋅⋅⋅
1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... ... d d
... 1
⋅⋅⋅
1
2𝑛+ 𝑚+ 1
1
⋅⋅⋅⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅⋅⋅⋅
1
2𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
0
⋅⋅⋅⋅⋅⋅
0
... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
... d d
... Theorem 13. For 𝑛, 𝑚≥1, we have 1
⋅⋅⋅⋅⋅⋅
1
1
⋅⋅⋅
1
2𝑚+ 𝑛+ 1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
2𝑛+ 𝑚+ 1
1
⋅⋅⋅
1
... d d
... ... d d
... 1
d d
... ... d d
... ... d d
... ... d d
1
0
⋅⋅⋅⋅⋅⋅
0
0
⋅⋅⋅⋅⋅⋅
0
1
⋅⋅⋅
1
2𝑛+ 𝑚+ 1
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
) 23 Journal of Applied Mathematics nal of Applied Mathematics
=
1
9(𝑚+ 𝑛)2 det (
𝐴𝐵𝐵
𝐵𝐴𝐵
𝐵𝐵𝐴
) =
1
9(𝑚+ 𝑛)2 [det (𝐴−𝐵)]2 [det (𝐴+ 2𝐵)]
=
1
9(𝑚+ 𝑛)2
(
(
(
(
(
(
(
(
(
(
det
(
(
(
(
(
(
(
(
(
(
2𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
−1
⋅⋅⋅⋅⋅⋅
−1
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
2𝑚+ 𝑛+ 1
−1
⋅⋅⋅⋅⋅⋅
−1
−1
⋅⋅⋅⋅⋅⋅
−1
2𝑛+ 𝑚+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
1
−1
⋅⋅⋅⋅⋅⋅
−1
1
⋅⋅⋅
1
2𝑛+ 𝑚+ 1
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
2
× det
(
(
(
(
(
(
(
(
(
(
2𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
2
⋅⋅⋅⋅⋅⋅
2
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
2𝑚+ 𝑛+ 1
2
⋅⋅⋅⋅⋅⋅
2
2
⋅⋅⋅⋅⋅⋅
2
2𝑛+ 𝑚+ 1
1
⋅⋅⋅
1
... d d
... 3
d d
... ... d d
... ... Theorem 13. For 𝑛, 𝑚≥1, we have d d
1
2
⋅⋅⋅⋅⋅⋅
2
1
⋅⋅⋅
1
2𝑛+ 𝑚+ 1
)
)
)
)
)
)
)
)
)
)
=
1
9(𝑚+ 𝑛)2 (det ( 𝐴
𝐵
𝐵𝑇𝐶))
2
× det ( 𝐷𝐸
𝐸𝑇𝐹) =
1
9(𝑚+ 𝑛)2 × (det 𝐴)2(det (𝐶−𝐵𝑇𝐴−1𝐵))
2
× det 𝐷det (𝐹−𝐸𝑇𝐷−1𝐸)
= (3𝑚+ 𝑛)2(2𝑚+ 𝑛)2𝑚−2
9(𝑚+ 𝑛)2
×
(
(
(
(
(
(
(
det
(
(
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛+ 3𝑚
⋅⋅⋅
𝑛+ 2𝑚
𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛+ 3𝑚
d
d
... ... d
d
𝑛+ 2𝑚
𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛+ 3𝑚
⋅⋅⋅
𝑛+ 2𝑚
𝑛+ 3𝑚
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 3𝑚
)
)
)
)
)
)𝑛×𝑛
)
)
)
)
)
)
)
2
× (3𝑚+ 𝑛) (2𝑚+ 𝑛)𝑚−1
× det
(
(
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 −𝑚
𝑛+ 3𝑚
𝑛−𝑚
𝑛+ 3𝑚
⋅⋅⋅
𝑛−𝑚
𝑛+ 3𝑚
𝑛−𝑚
𝑛+ 3𝑚
d
d
... ... d
d
𝑛−𝑚
𝑛+ 3𝑚
𝑛−𝑚
𝑛−𝑚
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 −𝑚
)
)
)
)
)
) =
1
9(𝑚+ 𝑛)2 det (
𝐴𝐵𝐵
𝐵𝐴𝐵
𝐵𝐵𝐴
) =
1
9(𝑚+ 𝑛)2 [det (𝐴−𝐵)]2 [det (𝐴+ 2𝐵)]
=
1
9(𝑚+ 𝑛)2
(
(
(
(
(
(
(
(
(
(
det
(
(
(
(
(
(
(
(
(
(
2𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
−1
⋅⋅⋅⋅⋅⋅
−1
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
2𝑚+ 𝑛+ 1
−1
⋅⋅⋅⋅⋅⋅
−1
−1
⋅⋅⋅⋅⋅⋅
−1
2𝑛+ 𝑚+ 1
1
⋅⋅⋅
1
... d d
... 1
d d
... ... d d
... ... d d
1
−1
⋅⋅⋅⋅⋅⋅
−1
1
⋅⋅⋅
1
2𝑛+ 𝑚+ 1
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
)
2
× det
(
(
(
(
(
(
(
(
(
(
2𝑚+ 𝑛+ 1
1
⋅⋅⋅
1
2
⋅⋅⋅⋅⋅⋅
2
1
d d
... ... d d
... ... d d
1
... d d
... 1
⋅⋅⋅
1
2𝑚+ 𝑛+ 1
2
⋅⋅⋅⋅⋅⋅
2
2
⋅⋅⋅⋅⋅⋅
2
2𝑛+ 𝑚+ 1
1
⋅⋅⋅
1
... d d
... 3
d d
... ... d d
... ... References [1] G. G. Kirchhoff, “Uber die Auflosung der Gleichungen, auf
welche man be ider Untersuchung der Linearen Verteilung
galvanischer Storme gefuhrt wird,” Annual Review of Physical
Chemistry, vol. 72, pp. 497–4508, 1847. [2] A. K. Kelmans and V. M. Chelnokov, “A certain polynomial of a
graph and graphs with an extremal number of trees,” Journal of
Combinatorial Theory B, vol. 16, pp. 197–214, 1974. In particular, In particular, 𝜏(𝐾3 ⊕𝐾𝑛,𝑛) = 25 × 36𝑛−5 × 𝑛6𝑛−2;
𝑛≥1. (43) [3] G. A. Cayley, “A theorm on trees,” Quarterly Journal of Mathe-
matics, vol. 23, pp. 276–378, 1889. [4] L. Clark, “On the enumeration of spanning trees of the complete
multipartite graph,” Bulletin of the Institute of Combinatorics and
its Applications, vol. 38, pp. 50–60, 2003. Theorem 13. For 𝑛, 𝑚≥1, we have d d
1
1
⋅⋅⋅
1
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 2𝑚
)
)
)
)𝑛×𝑛
)
)
)
)
2
× (3𝑚+ 𝑛) (2𝑚+ 𝑛)𝑚−1
× ( 𝑛−𝑚
𝑛+ 3𝑚)
𝑛
det
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 −𝑚
𝑛−𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 −𝑚
𝑛−𝑚
)
)
)
)𝑛×𝑛
. (41) 24 = (3𝑚+ 𝑛)2(2𝑚+ 𝑛)2𝑚−2
9(𝑚+ 𝑛)2
× (𝑛+ 2𝑚
𝑛+ 3𝑚)
2𝑛(
(
(
(
det
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 2𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 2𝑚
)
)
)
)𝑛×𝑛
)
)
)
)
2
× (3𝑚+ 𝑛) (2𝑚+ 𝑛)𝑚−1 (
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 2𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 2𝑚
)
)
)
)𝑛×𝑛
)
)
)
)
2 × (3𝑚+ 𝑛) (2𝑚+ 𝑛)𝑚−1 × ( 𝑛−𝑚
𝑛+ 3𝑚)
𝑛
det
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 −𝑚
𝑛−𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 −𝑚
𝑛−𝑚
)
)
)
)𝑛×𝑛
. (41) (41) Using Lemma 2, we have interesting from a mathematical (computational) perspective
but is also an important measure of reliability of a network
and designing electrical circuits. Some computationally hard
problems such as the travelling salesman problem can be
solved approximately by using spanning trees. Due to the
high dependence of the network design and reliability on the
graph theory, we introduced the above important theorems
and lemmas and their proofs. interesting from a mathematical (computational) perspective
but is also an important measure of reliability of a network
and designing electrical circuits. Some computationally hard
problems such as the travelling salesman problem can be
solved approximately by using spanning trees. Due to the
high dependence of the network design and reliability on the
graph theory, we introduced the above important theorems
and lemmas and their proofs. Acknowledgments The author is deeply indebted and thankful to the deanship
of the scientific research for its help and to the distinct team
of employees at Taibah University, Al Madinah Saudi Arabia.h (42) p y
y
This research work was supported by Grant No. 3070/1434. Theorem 13. For 𝑛, 𝑚≥1, we have d d
1
1
⋅⋅⋅
1
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 −𝑚
𝑛−𝑚
)
)
)
)𝑛×𝑛
. (41)
Using Lemma 2, we have
𝜏(𝐾3 ⊕𝐾𝑚,𝑛) =
1
9(𝑚+ 𝑛)2 (3𝑚+ 𝑛)2(2𝑚+ 𝑛)2𝑚−2
× (𝑛+ 2𝑚
𝑛+ 3𝑚)
2𝑛
1
(𝑛+ 3𝑚)2𝑛
× (3𝑛2 + 3𝑚2 + 9𝑛𝑚)
2
× (2𝑛2 + 3𝑚2 + 7𝑛𝑚)
2𝑛−2
× (3𝑚+ 𝑛) (2𝑚+ 𝑛)𝑚−1
× ( 𝑛−𝑚
𝑛+ 3𝑚)
𝑛
×
1
(𝑛−𝑚)𝑛
× (3𝑛2 + 3𝑚2 + 6𝑛𝑚)
× (2𝑛2 + 3𝑚2 + 7𝑛𝑚)
𝑛−1
= 3(2𝑚+ 𝑛)3𝑚−3(2𝑛+ 𝑚)3𝑛−3
× (𝑚2 + 𝑛2 + 3𝑚𝑛)
2. (42)
In particular,
𝜏(𝐾3 ⊕𝐾𝑛,𝑛) = 25 × 36𝑛−5 × 𝑛6𝑛−2;
𝑛≥1. (43)
7. Conclusion
interesting from a mathematical (computational) perspective
but is also an important measure of reliability of a network
and designing electrical circuits. Some computationally hard
problems such as the travelling salesman problem can be
solved approximately by using spanning trees. Due to the
high dependence of the network design and reliability on the
graph theory, we introduced the above important theorems
and lemmas and their proofs. Acknowledgments
The author is deeply indebted and thankful to the deanship
of the scientific research for its help and to the distinct team
of employees at Taibah University, Al Madinah Saudi Arabia. This research work was supported by Grant No. 3070/1434. References
[1] G. G. Kirchhoff, “Uber die Auflosung der Gleichungen, auf
welche man be ider Untersuchung der Linearen Verteilung
galvanischer Storme gefuhrt wird,” Annual Review of Physical
Chemistry, vol. 72, pp. 497–4508, 1847. [2] A. K. Kelmans and V. M. Chelnokov, “A certain polynomial of a
graph and graphs with an extremal number of trees,” Journal of
Combinatorial Theory B, vol. 16, pp. 197–214, 1974. [3] G. A. Cayley, “A theorm on trees,” Quarterly Journal of Mathe-
matics, vol. 23, pp. 276–378, 1889. [4] L. Clark, “On the enumeration of spanning trees of the complete
multipartite graph,” Bulletin of the Institute of Combinatorics and
its Applications, vol. 38, pp. 50–60, 2003. “h Journal of Applied Mathematics Journal of Applied Mathematics
= (3𝑚+ 𝑛)2(2𝑚+ 𝑛)2𝑚−2
9(𝑚+ 𝑛)2
× (𝑛+ 2𝑚
𝑛+ 3𝑚)
2𝑛(
(
(
(
det
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 2𝑚
1
⋅⋅⋅
1
1
d d
... ... Theorem 13. For 𝑛, 𝑚≥1, we have d d
1
2
⋅⋅⋅⋅⋅⋅
2
1
⋅⋅⋅
1
2𝑛+ 𝑚+ 1
)
)
)
)
)
)
)
)
)
)
=
1
9(𝑚+ 𝑛)2 (det ( 𝐴
𝐵
𝐵𝑇𝐶))
2
× det ( 𝐷𝐸
𝐸𝑇𝐹) =
1
9(𝑚+ 𝑛)2 × (det 𝐴)2(det (𝐶−𝐵𝑇𝐴−1𝐵))
2
× det 𝐷det (𝐹−𝐸𝑇𝐷−1𝐸)
= (3𝑚+ 𝑛)2(2𝑚+ 𝑛)2𝑚−2
9(𝑚+ 𝑛)2
×
(
(
(
(
(
(
(
det
(
(
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛+ 3𝑚
⋅⋅⋅
𝑛+ 2𝑚
𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛+ 3𝑚
d
d
... ... d
d
𝑛+ 2𝑚
𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛+ 3𝑚
⋅⋅⋅
𝑛+ 2𝑚
𝑛+ 3𝑚
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 3𝑚
)
)
)
)
)
)𝑛×𝑛
)
)
)
)
)
)
)
2
× (3𝑚+ 𝑛) (2𝑚+ 𝑛)𝑚−1
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2
𝑚
𝑛
𝑚
𝑛
𝑚
) ×
(
(
(
(
(
(
(
det
(
(
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛+ 3𝑚
⋅⋅⋅
𝑛+ 2𝑚
𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛+ 3𝑚
d
d
... ... d
d
𝑛+ 2𝑚
𝑛+ 3𝑚
𝑛+ 2𝑚
𝑛+ 3𝑚
⋅⋅⋅
𝑛+ 2𝑚
𝑛+ 3𝑚
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 3𝑚
)
)
)
)
)
)𝑛×𝑛
)
)
)
)
)
)
)
2 × (3𝑚+ 𝑛) (2𝑚+ 𝑛)
× det
(
(
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 −𝑚
𝑛+ 3𝑚
𝑛−𝑚
𝑛+ 3𝑚
⋅⋅⋅
𝑛−𝑚
𝑛+ 3𝑚
𝑛−𝑚
𝑛+ 3𝑚
d
d
... ... d
d
𝑛−𝑚
𝑛+ 3𝑚
𝑛−𝑚
𝑛+ 3𝑚
⋅⋅⋅
𝑛−𝑚
𝑛+ 3𝑚
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 −𝑚
𝑛+ 3𝑚
)
)
)
)
)
)𝑛×𝑛 24
Journal of Applied Mathematics
= (3𝑚+ 𝑛)2(2𝑚+ 𝑛)2𝑚−2
9(𝑚+ 𝑛)2
× (𝑛+ 2𝑚
𝑛+ 3𝑚)
2𝑛(
(
(
(
det
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 2𝑚
1
⋅⋅⋅
1
1
d d
... ... d d
1
1
⋅⋅⋅
1
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 + 2𝑚
𝑛+ 2𝑚
)
)
)
)𝑛×𝑛
)
)
)
)
2
× (3𝑚+ 𝑛) (2𝑚+ 𝑛)𝑚−1
× ( 𝑛−𝑚
𝑛+ 3𝑚)
𝑛
det
(
(
(
(
2𝑛2 + 𝑛(7𝑚+ 1) + 3𝑚2 −𝑚
𝑛−𝑚
1
⋅⋅⋅
1
1
d d
... ... 7. Conclusion [5] S. N. Qiao and B. Chen, “The number of spanning trees and
chains of graphs,” Applied Mathematics E-Notes, vol. 9, pp. 10–
16, 2009. The number of spanning trees 𝜏(𝐺) in graphs (networks) is an
important invariant. The evaluation of this number is not only 25 Journal of Applied Mathematics Journal of Applied Mathematics [6] J. Sedl´aˇcek, “Lucas numbers in graph theory,” in Mathematics
(Geometry and Graph Theory), pp. 111–115, Univerzita Karlova,
Prague, Czech Republic, 1970. [7] J. Sedlacek, “On the skeleton of a graph or digraph,” in
Combinatorial Structures and Their Applications, R. Guy, M. Hanani, N. Saver, and J. Schonheim, Eds., pp. 387–391, Gordon
and Breach, New York, NY, USA, 1970. [8] F. T. Boesch and Z. R. Bogdanowicz, “The number of spanning
trees in a Prism,” International Journal of Computer Mathemat-
ics, vol. 21, pp. 229–243, 1987. [9] F. T. Boesch and H. Prodinger, “Spanning tree formulas and
Chebyshev polynomials,” Graphs and Combinatorics, vol. 2, no. 3, pp. 191–200, 1986. [10] S. N. Daoud, “Chebyshev polynomials and spanning tree
formulas,” International Journal of Mathematical Combinatorics,
vol. 4, pp. 68–79, 2013. [11] M. Marcus, A Servy of Matrix Theory and Matrix Inequalities,
Allyn and Bacon, Boston, Mass, USA, 1964. [12] J. L. Gross and T. W. Tucker, Topological Graph Theory, John
Wiley & Sons, New York, Ny, USA, 1987. [13] R. Balakrishnan and K. Ranganathan, A textbook of Graph
Theory, Springer, New York, NY, USA, 2000.
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https://link.springer.com/content/pdf/10.1007/s43681-023-00333-1.pdf
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Lustre and shadows: unveiling the gaps in South African University plagiarism policies amidst the emergence of AI-generated content
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AI and ethics
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cc-by
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AI and Ethics
https://doi.org/10.1007/s43681-023-00333-1 AI and Ethics
https://doi.org/10.1007/s43681-023-00333-1 AI and Ethics https://doi.org/10.1007/s43681-023-00333-1 ORIGINAL RESEARCH Abstract In recent years, artificial intelligence (AI) has become a key technology in the field of academic integrity. However, there
is a lack of a comprehensive understanding of the legal dimensions of plagiarism in the context of AI. In this study, a theo-
retical framework that combines the social construction of technology and the legal dimension of plagiarism was used to
explore the current construction of plagiarism in South African university plagiarism policies. This study aims to highlight
the inadequacy of current plagiarism policies, which primarily focus on the act of copying from others and emphasize the
need for a broader perspective that addresses the challenges posed by artificial intelligence in academic integrity in the era of
AI-generated content. The author used confirming sampling and data saturation was reached with a sample of ten university
plagiarism policies. The findings revealed an inadequacy of the policies on the coverage of AI-generated content and there-
fore justifying the need to redefine plagiarism in the context of the artificial intelligence revolution. The author concludes
by redefining plagiarism and justifying the utility of the recommended definition. Keywords University plagiarism policies · Plagiarism · AI-generated content · South Africa Lustre and shadows: unveiling the gaps in South African University
plagiarism policies amidst the emergence of AI‑generated content Kudzayi Savious Tarisayi1 Received: 21 June 2023 / Accepted: 16 August 2023
© The Author(s) 2023 1
Curriculum Studies, Stellenbosch University, Stellenbosch,
South Africa * Kudzayi Savious Tarisayi
kudzayit@gmail.com 2 Theoretical framework: redefining
plagiarism in the context of artificial
intelligence This discord echoes past responses to new technologies like
the calculator. The question remains whether AI constitutes
plagiarism and if current policies suffice. Analyzing pla-
giarism policies of ten South African universities, this arti-
cle argues AI raises integrity concerns but likely does not
qualify as plagiarism under current definitions. This study on redefining plagiarism in the context of AI
utilized a theoretical framework that combines two key per-
spectives: the social construction of technology and legal
dimensions of plagiarism. This framework will provide a
comprehensive understanding of the complex interplay
between technology, societal norms, and the legal implica-
tions associated with plagiarism in the era of AI. The social
construction of technology perspective emphasizes the
mutually shaping relationship between society and technol-
ogy. The social construction of technology is a theory within
the field of Science and Technology Studies that explains
how social factors influence the development of technology
[1]. It emphasizes the importance of social context and cul-
tural values in shaping technological design and innovation
[1, 7]. In this study, this perspective helped analyze how AI,
as a technological innovation, influences the conceptualiza-
tion of plagiarism and the development of university pla-
giarism policies. By examining the social processes through
which AI technologies are adopted, used, and regulated, this
framework will shed light on the evolving nature of plagia-
rism in response to AI advancements. The legal dimensions
of plagiarism encompass the legal framework and policies
that define and address plagiarism [3]. This aspect of the
framework explores the existing South African university
plagiarism policies to examine how they define plagiarism
within the context of AI. It also helps analyze the legal lan-
guage, provisions, and interpretations within these policies
to determine their adequacy in addressing the challenges
posed by AI-generated content. Additionally, there is con-
sideration of copyright laws, intellectual property rights, and
fair use doctrines, which underpin the legal ramifications
associated with plagiarism and AI. By integrating these two
theoretical perspectives, the study provides a holistic under-
standing of how the societal and legal aspects of plagiarism
intersect with the technological advancements of AI. This
framework enabled a comprehensive analysis of the sample
of university plagiarism policies in South Africa, exploring
how they currently define plagiarism in relation to AI and
identifying potential gaps and limitations in addressing this
emerging issue. 1 Introduction guide institutional problems, but current ones lack AI speci-
ficity, necessitating comprehensive policies. The arrival of artificial intelligence (AI) in academia, spe-
cifically ChatGPT, has elicited varying reactions. Tlili et al. [8] explain that as an advanced AI application, ChatGPT has
gained widespread attention globally. Views are mixed on
AI’s role in South African higher education. These reactions
mirror previous responses to technological advances like the
internet and calculators. Just as Socrates questioned writ-
ing's impact millennia ago, today's AI scepticism continues
an intergenerational discussion on technology's influence. Arguments against AI have focused on implications for pla-
giarism and integrity. This analysis of university plagiarism
policies contends they require redefinition in light of AI. Kashkur et al. [9] note that as plagiarism has spread, detec-
tion methods must adapt. This need is greater with AI. Most
tools cannot detect AI content, blurring ethical boundaries. Previously robust policies seem inadequate now. Policies i
This analysis explores plagiarism's nature, impacts, and
prevention strategies in South African university policies. It covers traditional manifestations like copying, copyright
infringement, and paraphrasing without attribution. How-
ever, AI content generation tests these definitions. With
accessible AI tools, reliance on copying as the sole plagia-
rism criterion overlooks AI’s nuances. AI can create original
text undetectable to current methods. The definition needs
expansion to address emerging challenges. Merkel [4] highlights policies as critical plagiarism refer-
ences for students and faculty. However, some argue policies
should educate rather than police students. Clarity is essen-
tial for comprehension. They must provide meaningful guid-
ance amidst AI. Policies uphold integrity and ethics by ban-
ning plagiarism. Their rules promote originality and proper
citation, communicating expectations. This fosters commit-
ment to integrity and deep appreciation for honesty and attri-
bution. However, AI has rendered some policies inadequate,
necessitating updates for the changing landscape. Views on AI in academia vary. While some celebrate its
potential, many critique its threat to integrity, like Chom-
sky's denouncement of ChatGPT as “high-tech plagiarism.” (0121 3456789)
3 3456789)
3 AI and Ethics 2 Theoretical framework: redefining
plagiarism in the context of artificial
intelligence It also provides insights into the implica-
tions of the legal dimensions of plagiarism for the develop-
ment of more effective policies and practices that promote
academic integrity in the context of AI. Overall, this theo-
retical framework contributed to a nuanced understanding
of the challenges posed by AI in redefining plagiarism and
the necessary adaptations that university policies need to f 3 Research methodology In this section, the author presents the definitions of pla-
giarism according to the sampled 10 university policies. The section further unpacks the policies in the light of the
adequacy to cover the use of AI-generated content. The aim of the study was to justify the redefining of pla-
giarism in South African university plagiarism policies. giarism in South African university plagiarism policies. South Africa has 26 public universities and each of these
has a plagiarism policy. Therefore, the population for this
study was 26 university plagiarism policies. The author
used confirming and disconfirming sampling in this
study. The major factor that was considered in the con-
firming sampling was a plagiarism policy’s definition of
plagiarism. Moser and Korstjens [5, p. 10] state “confirm-
ing and disconfirming cases sampling supports checking
or challenging emerging trends or patterns in the data.”
This sampling approach aims to ensure that the chosen
participants possess the necessary knowledge, experience,
or attributes to provide valuable and relevant insights to
the study. The advantage of criterion sampling is that it
allows researchers to focus on specific characteristics or
qualities that are of interest to the study. By selecting
participants who possess these attributes, researchers can
gather in-depth and meaningful data that aligns with their
research objectives. The author used confirming sampling
and, data saturation was reached with a sample of 10 pla-
giarism policies. The sampled universities were Univer-
sity of Cape Town (UCT), Rhodes University; University
of KwaZulu-Natal (UKZN); University of South Africa
(UNISA); University of Johannesburg; Cape Peninsula
University of Technology (CPUT); Stellenbosch Uni-
versity; Central University of Technology; University of
Pretoria and University of Venda. Moser and Korstjens
[5], p. 11) explain “Data saturation means the collection
of qualitative data to the point where a sense of closure
is attained because new data yield redundant information. Data saturation is reached when no new analytical infor-
mation arises anymore, and the study provides maximum
information on the phenomenon.” The author utilized
pseudonyms for all the universities that were included
in this analysis. 3 Research methodology The University of Pretoria policy elaborates, "Plagiarism
is the presentation of someone else’s work, words, images,
ideas, opinions, discoveries, artwork, music, recordings or
computer-generated work (including circuitry, computer pro-
grams or software, websites, the Internet or other electronic
resources) whether published or not, as one’s own work,
or alternatively appropriating the work, words, images,
ideas, opinions, discoveries, artwork, music, recordings or
computer-generated work (including circuitry, computer
programs or software, websites, the Internet or other elec-
tronic resource) of others, without properly acknowledging
the source" (University of Pretoria (2019, p. 3). The Stellenbosch University policy states, "Plagiarism:
The use of the ideas or material of others without acknowl-
edgement, or the re-use of one’s own previously evaluated
or published material without acknowledgement (self-pla-
giarism)" (Stellenbosch University, 2016, p. 2). The University of Cape Town policy states, "Plagiarism
is using someone else’s ideas or words and presenting them
as if they are your own. It is therefore a form of academic
cheating, stealing or deception" (University of Cape Town,
2014, p. 1). The University of Venda policy states, "Plagiarism is “the
act of taking another person's writing, conversation, song,
or even idea and passing it off as your own. This includes
information from web pages, books, songs, television shows,
email messages, interviews, articles, artworks or any other
medium" (University of Venda, n.d., p. 1). The Rhodes University policy states "Plagiarism, in an
academic, university context, may be defined as taking and
using the ideas, writings, works or inventions of another,
from any textual or internet-based source, as if they were
one’s own" (Rhodes University, 2008, p. 3). The University of KwaZulu-Natal policy states, "Actions
constituting plagiarism refer to, but are not limited to: Pre-
senting the ideas of another as if they are your own; Rep-
resenting the words or works of another as they were your
own; Utilisation of the ideas, words or work of another with-
out appropriate acknowledgement" (University of Kwazulu-
Natal, 2014, p. 2). 1.1 Origins of plagiarism The word "plagiarism" is believed to have originated from
the Latin word "plagiarius," which means "kidnapper" or
"abductor" (Online Etymology Dictionary, 2023). Plagia-
rism traces its origins to the Latin word "plagiarius," which
translates to kidnapper. The term emerged in the English
language in 1621, primarily used to describe the theft of
someone else's words. The word evolved from "plagiarius"
to "plagiary," denoting a literary thief or plagiarist, before
morphing into its current form, "plagiarism." This linguistic
evolution reflects the act's negative connotations: the theft
of someone else's intellectual property. Essentially, the term
"plagiarism" in the seventeenth century English language
described the act of literary theft. This seventeenth century
can be argued to be still central in most university plagia-
rism policies as the act of plagiarism is constructed as theft. Today, it is commonly used to describe the act of using
someone else's work without proper attribution, whether it
be written, visual, or auditory. The first English copyright
law, established in 1709, aimed to protect the rights of pub-
lishers and authors against unauthorized printing and piracy
Bhattathiripad [11]. However, as the concept of author's
rights evolved, it became imperative to address plagiarism
to safeguard the rights of individuals today. According to
Bhattathiripad [11], in the first English copyright law there
was much to do with protecting the rights of publishers
against book piracy as it did with protecting the author's
rights against unscrupulous printers, but author's rights
developed very quickly. James Boswell, better known as
Samuel Johnson's biographer, was a lawyer who argued one
of the most important cases over how long copyrights lasted
for an author and his or her heirs (it was twenty-one years at
the time) Bhattathiripad [11]. Additionally, the etymology
of plagiarism underscores its central theme: unauthorized
appropriation of another's work. From its Latin roots signify-
ing kidnapping to its modern-day implications in copyright
infringement and academic dishonesty, the term carries sig-
nificant weight across various spheres—literary, academic,
or professional. As technology continues to evolve, under-
standing and combating new forms of plagiarism will remain
a crucial task for preserving intellectual integrity. 1 3 3 AI and Ethics 5.1 Educational approach The plagiarism policies of UCT, Rhodes, UKZN, and
Unisa emphasize "presenting someone else's work/ideas as
one's own" or similar phrasing. This language assumes the
original source is human. AI systems are not human, so it
could be debated whether passing off AI-generated content
as one's own would technically constitute plagiarism under
these definitions. The University of Johannesburg policy
stands out because it defines plagiarism as "presenting
other people's ideas or material as one's own when they
are not one's own." This does not assume the source has
to be human. The phrase "when they are not one's own"
leaves room to interpret AI-generated content as falling
under this definition of plagiarism. The author considers
the CPUT policy more far-reaching because it includes
"copying from print or electronic sources into one's own
work." This encompasses online and digital sources, which
could include be argued to include AI systems. The Rhodes University policy states "Departments need to
acknowledge the importance of their own role in students’
acquisition of academic discourse and are responsible for
taking active steps to provide students with an explana-
tion as to why, as well as how, sources may be used and
cited in building academic knowledge" (Rhodes Univer-
sity, 2008, p. 4). This reflects an educational approach
focused on teaching students proper citation practices. The
UKZN policy mentions "Prevention of plagiarism requires
attention to opportunities for education and awareness of
plagiarism and information about this policy including
mechanisms and procedures for detection" (University
of KwaZulu-Natal, 2014, p. 7). It emphasizes plagiarism
education and awareness. The educational approach can
be considered more comprehensive and supportive for
students' academic development especially in the era of
AI. By providing resources, tips, and guidance on proper
citation practices, this policy equips students with the nec-
essary skills to engage in academic writing with integrity. It recognizes that students may unintentionally commit
plagiarism due to a lack of knowledge or understanding,
and it seeks to address this through education rather than
punitive measures alone. Furthermore, an educational
approach acknowledges that plagiarism is a multifaceted
issue that extends beyond mere rule breaking. It recog-
nizes that students can benefit from a deeper understanding
of academic integrity, critical thinking, and responsible While the other policies do not seem to explicitly cover
AI-generated content, the general principles of properly
acknowledging sources and not misrepresenting authorship
would likely still apply in practice. 4.1 Presentation of findings Based on the analysis of the ten sampled university
plagiarism policies, two main themes can be identified
regarding the conceptualization and coverage of plagia-
rism in the context of AI-generated content. The author
utilizes these themes to argue that the current university
policies are inadequate in the era of AI. The University of South Africa policy states "The appro-
priation of another's work, whether intentionally or unin-
tentionally, without proper acknowledgement" (University
of South Africa, 2005, p. 2). The Central University of Technology policy states
"Plagiarism is the appropriation of another person’s ideas,
text, theories, opinions, illustrations, creations or work 1 3 AI and Ethics 5 Educational approach vs. policing
approach without properly acknowledging the original source and
having obtained permission to use such information or
material" (Central University of Technology, 2016, p. 1). The University of Johannesburg states "Plagiarism is
passing off ideas however expressed, including in the form
of phrases, words, images, artefacts, sounds, or other intel-
lectual or artistic outputs, as one's own when they are not
one's own; or such passing off, as an original contribution,
of ideas that are one's own but have been expressed on a
previous occasion for assessment by any academic institu-
tion or in any published form, without acknowledgement
of the previous expression" (University of Johannesburg,
2013, p. 3). The second theme revolves around the approach taken by
the plagiarism policies, specifically in terms of their ori-
entation toward either education or policing. Leung and
Cheng [10] argue that there are two approaches to plagia-
rism policies: educational and policing. The educational
approach to plagiarism policies focuses on teaching stu-
dents about plagiarism, its consequences, and how to avoid
it. It aims to foster a deeper understanding of academic
integrity and ethical writing practices. This approach
emphasizes formative assessment, promoting academic
integrity, and focusing on knowledge and understanding. The policing approach to plagiarism policies involves
enforcing plagiarism policies and ensuring compliance
with academic integrity standards. It may involve using
plagiarism detection software, imposing penalties, or con-
sequences for instances of plagiarism, and policy enforce-
ment. The aim is to deter students from engaging in pla-
giarism through the threat of punishment. The Cape Peninsula University of Technology policy
states "Plagiarism is the representation of another per-
son’s ideas, research, expressions, computer code, design
artefacts, or work as one’s own. Examples of plagiarism
include (but are not limited to): copying from print or
electronic sources into one’s own work; imitating exist-
ing designs in one’s own work; copying another student’s
assignment or part thereof; overuse of sources; disguising
copying by substitution of wording; paraphrasing without
citation" (Cape Peninsula University of Technology, 2012,
p. 2). 5.1 Educational approach However, the language
itself centres around human sources and does not address
the complexities of AI authorship. The UJ and CPUT poli-
cies come closest to a definition applicable to AI systems,
though there is still room for ambiguity. Revising plagia-
rism policies to directly address AI-generated content
would help clarify expectations around proper attribution
when leveraging these emerging technologies. 1 3 3 AI and Ethics concerns of plagiarism. The principle of legality states that
individuals should have fair notice of what conduct is pro-
hibited and the consequences of engaging in such conduct. This principle ensures that laws are not arbitrary or vague,
and that individuals are not subjected to punishment or sanc-
tions without prior knowledge of the offense. Additionally,
the argument also emphasizes the importance of clear policy
guidelines. Policies provide a framework for decision-mak-
ing within organizations or institutions. If a particular action
is prohibited by policy, it is crucial that the policy explicitly
outlines the prohibition, so individuals are aware of what
is expected of them and can act accordingly. Essentially, if
the use of AI is to be prohibited or regulated in universities
in South Africa, the policy needs to be made more explicit. Additionally, students and staff should be given fair notice
of this prohibition and regulatory position. However, cur-
rently the policies being relied upon can be considered an
overstretching of the policy and that might expose universi-
ties to litigation. Drawing on the principle of legality, it is
worth noting that the underlying rationale behind this argu-
ment is to safeguard individuals' rights and ensure that they
are not penalized for engaging in conduct that is not clearly
defined as illegal or prohibited by law or policy. By demand-
ing clarity and specificity in the law and policy, individuals
can be better informed about what is permitted and what
is not, allowing them to conform to the established rules
and regulations. Furthermore, the principle of legality also
extends to the notion of due process. If a university were to
take disciplinary action against a student for alleged plagia-
rism involving the use of ChatGPT, it would be important to
ensure that the student was given fair notice of the specific
rules and regulations regarding AI usage. Without explicit
policies in place, the student may argue that they were not
aware that using ChatGPT in a particular manner could be
considered plagiarism. 5.1 Educational approach Furthermore, the author argues that
the policy should clearly state the instrument(s) that will
be used to check AI-generated content. On the other hand,
the flipside of the principle of legality is informed by ethics
and morality. From an ethical standpoint, it can be argued
that despite the absence of a clear policy on AI, individuals
have a responsibility to act within the boundaries of what is
morally acceptable, even in the absence of explicit guidance. It is common knowledge that one can only take ownership
of content that they have created and therefore using AI-
generated content goes against that long-held view. Ethical
considerations often go beyond legal or policy requirements
and encourage individuals to exercise good judgment and
adhere to commonly accepted principles and values. While there is a plethora of AI-generated content detec-
tors their performance has been under scrutiny due to lack research practices. By emphasizing growth and improve-
ment, this approach encourages students to take ownership
of their learning journey, develop their writing skills, and
cultivate a genuine appreciation for originality and ethical
scholarship. 5.2 Policing approach The UCT policy notes "Should prima facie evidence of pla-
giarism exist, a formal investigation will follow" (University
of Cape Town, 2012, p. 2). This indicates enforcement and
investigation for policy compliance. The Unisa policy states
"A student or an employee who is guilty of the infringe-
ment of copyright or unethical practice will be subject to the
applicable disciplinary code" (University of South Africa,
2005, p. 2). This reflects consequences for violations. While
this approach aims to uphold academic integrity, it may cre-
ate an environment where students are primarily driven by
fear of punishment rather than a genuine understanding of
the importance of originality and ethical writing practices. A more policing-oriented approach may inadvertently create
an atmosphere of distrust and apprehension among students. While deterrence and enforcement are essential components
of maintaining academic integrity, an overemphasis on pun-
ishment without sufficient educational support may hinder
the development of students' writing abilities and their
understanding of plagiarism as a complex issue. In the era of AI, it is important for universities to focus
more on the educational approach to plagiarism policies. As
Leung and Cheng [10] argue, students need to be empow-
ered with the knowledge and skills to properly cite sources
into their academic work in an ethical manner. A punitive,
policing approach may discourage plagiarism in the short
term but does not cultivate the deeper understanding needed
for proper AI attribution. An educational approach will be
more effective in equipping students to utilize AI tools
responsibly. 7 Recommendations Based on the analysis of the reviewed policies and the chal-
lenges posed by AI-generated content, a suggested definition
of plagiarism that encompasses AI-generated content could
be as follows: Plagiarism, in an academic context, refers to
the act of taking and using ideas, writings, works, inven-
tions, or any form of intellectual or creative output, whether
generated by a human or artificial intelligence, without
proper attribution or acknowledgement, and presenting it
as one's own original work.i This definition acknowledges that plagiarism extends
beyond the traditional understanding of "someone else's
work" to include any content, whether produced by humans
or AI systems, that is not appropriately credited or acknowl-
edged. It recognizes the unique challenges posed by AI-gen-
erated content, such as ChatGPT, and emphasizes the impor-
tance of proper attribution and acknowledgment in all forms
of academic work. By adopting a definition that explicitly
considers AI-generated content as a potential source of
plagiarism, academic institutions can address the evolving
landscape of content creation and ensure fair and consist-
ent treatment of cases involving AI-generated content. This
definition encourages responsible use of AI technologies,
promotes academic integrity, and provides clear guidance
for students, staff, and faculty members in identifying and
avoiding plagiarism in the context of AI-generated content. In conclusion, the author reviewed a sample of plagia-
rism policies in South African universities. Drawing from
the reviewed plagiarism policies the authors argues that most
universities in South Africa do not have a legal standing
to police the use of AI content by both staff and students. Relying on the current plagiarism policies leads to several
questions around the principles of legality and due process. While it can be argued that the flipside of the principle of
legality entails debates around morality and ethics, there is
still a need for a clear policy on the use of AI and penalties
for contravention thereof. To effectively address the impact
of AI on plagiarism, universities must adopt a more compre-
hensive and flexible approach. Redefining plagiarism within
the context of AI should encompass not only direct copy-
ing but also the misuse or unethical use of AI tools. This
includes instances where AI-generated content is submitted
without proper attribution or when AI is used to manipulate
or fabricate data. Alongside redefining plagiarism, educa-
tional institutions should prioritize educating students and
staff about the ethical use of AI tools. 7 Recommendations By providing guid-
ance and clear policies on the responsible application of AI
technologies, universities can foster a culture of academic
integrity that adapts to the evolving digital landscape. The
rise of AI technology poses new challenges for academic
integrity and the definition of plagiarism. Current university
plagiarism policies, primarily focused on copying, fail to
adequately address the complexities introduced by AI. To
ensure the preservation of academic integrity, it is crucial
to redefine plagiarism within the context of students and
staff using AI. A comprehensive approach should encompass
the ethical use of AI tools and acknowledge the nuances
involved in detecting AI-generated content. By adopting Acknowledgements Not applicable. Funding Open access funding provided by Stellenbosch University. The author did not receive any funding for this study. Availability of data and materials The datasets used and/or analyzed
during the current study are available from the corresponding author
on reasonable request. 6 Conclusions The author argues from the foregoing analysis of the current
plagiarism policies at the selected universities that plagia-
rism policy review should be expediated. Alternatively, AI
policies need to be put in place to empower staff to engage
with AI-generated content. Penalizing students using the
current plagiarism policies can be viewed as contravening
the principles of legality and due process. The principle
of legality can be applied to the debates around the use of
ChatGPT in academia, particularly in relation to issues of
plagiarism. In this context, the principle suggests that aca-
demic institutions should provide clear policies and guide-
lines regarding the use of AI tools like ChatGPT to address While there is a plethora of AI-generated content detec-
tors, their performance has been under scrutiny due to lack
of consistence and reliability. Mujezinovic [6] questioned
the veracity of AI content detectors such as Writer, GPTZero
among others. Experiments and testing of some of these 1 3 1 3 AI and Ethics AI-content detectors have yielded discouraging results, with
some being a source of comic relief. An example of a test
that was carried out on the efficacy of GPTZero by Bar-
see ruled that the US Constitution was written by AI (see
below). Another experiment by Islam [2] revealed discrepan-
cies in the AI content detection using Writer and ChatGPT
classifier. Therefore, the author casts aspersions on the use
of AI detector in their current state to determine the fate and
ultimately the future of students. Additionally, there are sev-
eral YouTube videos and online tutorials demonstrate how
to fool AI cheat detectors and thus exacerbating the chal-
lenge for AI detectors. Hence, it is imperative that universi-
ties invest in research on the efficacy of AI detectors before
unfairly penalizing students using faulty tools. Universities
would have failed the due process test if they rely on faulty
AI content detectors to police the use of AI in university
assessments. Notable progress needs to be acknowledged in
the case of the Turnitin plug-in. Other AI content detectors
required users to paste or upload their content to check but
Turnitin has saved academics from this routine by using a
platform there are already familiar with. such a perspective, universities can adapt to the changing
academic landscape and foster a culture that upholds integ-
rity in the age of AI. Declarations Conflict of interest The author declares that they have no competing
interests. Open Access This article is licensed under a Creative Commons Attri-
bution 4.0 International License, which permits use, sharing, adapta-
tion, distribution and reproduction in any medium or format, as long
as you give appropriate credit to the original author(s) and the source,
provide a link to the Creative Commons licence, and indicate if changes
were made. The images or other third party material in this article are
included in the article’s Creative Commons licence, unless indicated
otherwise in a credit line to the material. If material is not included in
the article’s Creative Commons licence and your intended use is not
permitted by statutory regulation or exceeds the permitted use, you will 1 3 3 3 AI and Ethics need to obtain permission directly from the copyright holder. To view a
copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. 6. Mujezinovic, D.: AI content detectors don’t work, and that’s a big
problem. https://www.makeuseof.com/ai-content-detectors-dont-
work/ (2023) (
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7. Song, J.: Ethical adaptation and legal regulation of modern tech-
nology. Cultures of Science 4(3), 169–178 (2021). https://doi.org/
10.1177/20966083211053085 6. Mujezinovic, D.: AI content detectors don’t work, and that’s a big
problem. https://www.makeuseof.com/ai-content-detectors-dont-
work/ (2023) References 8. Tlili, A., Shehata, B., Adarkwah, M.A., Bozkurt, A., Hickey,
D.T., Huang, R., Agyemang, B.: Smart learning environments
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Through Technology (Advances in Personal Relationships), pp. 31–47). Cambridge University Press, Cambridge (2020). https://
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Through Technology (Advances in Personal Relationships), pp. 31–47). Cambridge University Press, Cambridge (2020). https://
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Cases and Plagiarism Detection Methods. Scientific J. Riga Tech-
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org/10.2478/v10143-010-0055-1 2. Islam, M.: Are AI content detectors reliable in 2023? Meta Minds. https://www.linkedin.com/pulse/ai-content-detectors-reliable-
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10. Leung, C.H., Cheng, S.C.L.: An instructional approach to practi-
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11. Bhattathiripad, V. P. (2014). Judiciary-Friendly Forensics of Soft-
ware Copyright Infringement. Hershey, PA: IGI Global. 4. Merkel, W.: Collage of confusion: an analysis of one university’s
multiple plagiarism policies. System 96, 1–11 (2020). https://doi.
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Northern Goshawk
Inventory and Monitoring
Technical Guide
United States
Department
of Agriculture
Forest Service
Gen. Tech. Report WO-71
July 2006
Medicine Lake
Mt. Shasta
Intermountain
Great Basin
Cascade Sierra
West Coast
Colorado Plateau
and SW Mtns Northern Goshawk
Inventory and Monitoring
Technical Guide Cascade Sierra West Coast Intermountain
Great Basin Colorado Plateau
and SW Mtns Northern Goshawk
Inventory and Monitoring
Technical Guide
Brian Woodbridge and Christina D. Hargis
Northern Goshawk Inventory and Monitoring Design Team
Brian Woodbridge
Christina D. Hargis
Richard T. Reynolds
James A. Baldwin
Gregory D. Hayward
Kimberly Titus
Alan Franklin
Sarah R. Dewey
Christopher W. Schultz
Alan L. Williamson
Douglas A. Boyce, Jr.
John J. Keane
U.S. Department of Agriculture, Forest Service, Washington Office
Ecosystem Management Coordination Staff
Watershed, Fish, Wildlife, Air, and Rare Plants Staff United States
Department
of Agriculture
Forest Service
Gen. Tech. Report WO-71
July 2006 Brian Woodbridge and Christina D. Hargis Northern Goshawk Inventory and Monitoring Design Team Northern Goshawk Inventory and Monitoring Design Team Richard T. Reynolds
Kimberly Titus
Christopher W. Schultz
John J. Keane Christina D. Hargis
Gregory D. Hayward
Sarah R. Dewey
Douglas A. Boyce, Jr. Proper citation for this document is as follows: Woodbridge, B.; Hargis, C.D. 2006. Northern goshawk inventory and monitoring technical guide. Gen. Tech. Rep. WO-71. Washington, DC: U.S. Department of Agriculture, Forest Service. 80 p. Woodbridge, B.; Hargis, C.D. 2006. Northern goshawk inventory and monitoring technical guide. Gen. Tech. Rep. WO-71. Washington, DC: U.S. Department of Agriculture, Forest Service. 80 p. Woodbridge, B.; Hargis, C.D. 2006. Northern goshawk inventory and monitoring technical guide. Gen. Tech. Rep. WO-71. Washington, DC: U.S. Department of Agriculture, Forest Service. 80 p. Cover Photo: The concept of bioregional monitoring is conveyed through three photos superimposed
on a digital elevation model of the Western United States, including portions of the Pacific Coast
and Intermountain Great Basin bioregions. The overlaid images depict three levels of the bioregional
monitoring design: a sample of contiguous PSUs in northern California (top), a PSU with call point
transect lines (middle), and a northern goshawk nest (bottom). Photo credit: Brian Woodbridge. Composite
image designed by Dave LaPlante. The U.S. Department of Agriculture (USDA) prohibits discrimination in all its programs and activities
on the basis of race, color, national origin, age, disability, and where applicable, sex, marital status,
familial status, parental status, religion, sexual orientation, genetic information, political beliefs, reprisal,
or because all or part of an individual’s income is derived from any public assistance program. (Not
all prohibited bases apply to all programs.) Persons with disabilities who require alternative means for
communication of program information (Braille, large print, audiotape, etc.) should contact USDA’s
TARGET Center at (202) 720-2600 (voice and TDD). To file a complaint of discrimination, write USDA,
Director, Office of Civil Rights, 1400 Independence Avenue, S.W., Washington, D.C. 20250-9410, or call
(800) 795-3272 (voice) or (202) 720-6382 (TDD). USDA is an equal opportunity provider and employer. The U.S. Department of Agriculture (USDA) prohibits discrimination in all its programs and activities
on the basis of race, color, national origin, age, disability, and where applicable, sex, marital status,
familial status, parental status, religion, sexual orientation, genetic information, political beliefs, reprisal,
or because all or part of an individual’s income is derived from any public assistance program. Northern Goshawk Inventory and Monitoring Design Team (Not
all prohibited bases apply to all programs.) Persons with disabilities who require alternative means for
communication of program information (Braille, large print, audiotape, etc.) should contact USDA’s
TARGET Center at (202) 720-2600 (voice and TDD). To file a complaint of discrimination, write USDA,
Director, Office of Civil Rights, 1400 Independence Avenue, S.W., Washington, D.C. 20250-9410, or call
(800) 795-3272 (voice) or (202) 720-6382 (TDD). USDA is an equal opportunity provider and employer. The U.S. Department of Agriculture (USDA) prohibits discrimination in all its programs and activities
on the basis of race, color, national origin, age, disability, and where applicable, sex, marital status,
familial status, parental status, religion, sexual orientation, genetic information, political beliefs, reprisal,
or because all or part of an individual’s income is derived from any public assistance program. (Not
all prohibited bases apply to all programs.) Persons with disabilities who require alternative means for
communication of program information (Braille, large print, audiotape, etc.) should contact USDA’s
TARGET Center at (202) 720-2600 (voice and TDD). To file a complaint of discrimination, write USDA,
Director, Office of Civil Rights, 1400 Independence Avenue, S.W., Washington, D.C. 20250-9410, or call
(800) 795-3272 (voice) or (202) 720-6382 (TDD). USDA is an equal opportunity provider and employer. Acknowledgments We gratefully acknowledge the previous work of several individuals in the realm of
goshawk monitoring; their ideas, field work, and publications are the basis of this
technical guide. In particular, we acknowledge the contributions made by S.R. Dewey,
S.M. Joy, J.J. Keane, P.L. Kennedy, V. Penteriani, R.T. Reynolds, and D.W. Stahlecker. The bioregional monitoring design presented in chapter 2 was created by the North-
ern Goshawk Inventory and Monitoring Design Team, whose members are listed on
the title page of this technical guide. We give special recognition to J.A. Baldwin for
contributing substantial time toward developing the bioregional design and preparing
all the statistical text in chapter 2. We are grateful to D. LaPlante and B. Allison for
spatial analyses of primary sampling unit (PSU) size and for preparing figures and to
J. Wilson and H. Wang for preparing the figure in Appendix C. We thank the follow-
ing individuals who substantially improved the quality of this technical guide through
their review of earlier versions: D.E. Andersen, P.H. Geissler, T.A. Max, A.R. Olson,
M.G. Raphael, L.F. Ruggiero, H.T. Schreuder, and J.R. Squires. Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide Authors Brian Woodbridge is supervisor of the Forest Resources Branch, U.S. Fish & Wildlife
Service, Yreka, CA. Christina D. Hargis (name changed to Christina D. Vojta) is a wildlife ecologist,
Watershed, Fish, Wildlife, Air, and Rare Plants Staff, USDA Forest Service,
Washington Office, Washington, DC. Christina D. Hargis (name changed to Christina D. Vojta) is a wildlife ecologist,
Watershed, Fish, Wildlife, Air, and Rare Plants Staff, USDA Forest Service, Washington Office, Washington, DC. iii iii Northern Goshawk Inventory and Monitoring Technical Guide iv iv Contents 1.1 Overview This technical guide provides information on all aspects of inventory and monitoring
related to the northern goshawk (Accipiter gentilis) and is to be used by the U.S. De-
partment of Agriculture (USDA) Forest Service consistent with national direction, lo-
cal priorities, and available funding, and also by interested partners and collaborators. When the protocols described in this technical guide are implemented, the resulting
data will meet standards of the Data Quality Act and, therefore, will be legally and
scientifically defensible and consistent with data collected elsewhere using the same
protocols. The technical guide is divided into three chapters: an overview, a bioregional
monitoring design, and a description of inventory and survey methodologies. The
technical guide was written for bioregional monitoring coordinators and their survey
teams, biologists at forest and district levels, and any other agencies and organizations
interested in northern goshawk inventory and monitoring activities. This introductory chapter provides an overview of the technical guide and
describes the business needs that motivate the USDA Forest Service to inventory
and monitor goshawks. This chapter also describes the roles and responsibilities of
implementing this technical guide and provides the context of goshawk monitoring in
relation to other Federal inventory and monitoring programs. Contents Acknowledgments.......................................................................................iii
Contents..........................................................................................................v
Chapter 1. Overview..................................................................................1-1
1.1 Overview...................................................................................................... 1-1
1.2 Background and Business Needs................................................................. 1-1
1.3 Key Concepts................................................................................................ 1-3
1.4 Roles and Responsibilities............................................................................ 1-5
1.4.1 National Responsibilities...........................................................1-5
1.4.2 Regional Responsibilities...........................................................1-5
1.4.3 Forest Responsibilities...............................................................1-5
1.5 Relationships to Other Federal Inventory and Monitoring Programs.......... 1-6
1.5.1 Forest Service Programs............................................................1-6
1.5.2 Programs in Other Federal Agencies..........................................1-6
1.6 Quality Control and Assurance..................................................................... 1-7
1.7 Change Management.................................................................................... 1-7
Chapter 2. Bioregional Monitoring Design..........................................2-1
2.1 Objective....................................................................................................... 2-1
2.2 Planning and Design..................................................................................... 2-3
2.2.1 Goshawk Natural History Relevant to the Bioregional
Sampling Design................................................................................. 2-3
2.2.2 Description and Rationale for Monitoring Design............................. 2-5
2.3 Data Collection........................................................................................... 2-14
2.3.1 Data Collection Methods and Rationale........................................... 2-14
2.3.2 Quality Control/Quality Assurance................................................... 2-17
2.3.3 Data Entry Forms.............................................................................. 2-19
2.3.4 Survey Logistics................................................................................ 2-19
2.4 Data Storage and Management................................................................... 2-20
2.5 Data Analysis.............................................................................................. 2-21
2.5.1 Estimating the Bioregional Frequency of Occurrence
of Goshawks..................................................................................... 2-21
2.5.2 Assessing Changes in Goshawk Frequency of Occurrence
Over Time......................................................................................... 2-22
2.5.3 Evaluating Change in Occupancy Rate in Relation to Change
in Habitat or Other Environmental Variables.................................... 2-23 Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide 2.6 Reporting.................................................................................................... 2-24
2.6.1 Expected Reports.............................................................................. 2-24
2.6.2 Reporting Schedule........................................................................... 2-24
Chapter 3. Goshawk Survey Techniques................................................ 3-1
3.1 Objectives..................................................................................................... 3-1
3.2 Planning and Design..................................................................................... 3-1
3.2.1 Aspects of Goshawk Natural History Related to Survey
Methodology...........................................................................................3-1
3.2.2 Sampling Designs............................................................................... 3-5
3.3 Data Collection............................................................................................. 3-6
3.3.1 Survey Methods.................................................................................. 3-6
3.3.2 Quality Control/Quality Assurance................................................... 3-18
3.4. Data Storage.............................................................................................. 3-19
3.5. Data Analysis and Interpretation of Survey Results.................................. 3-19
3.5.1 Presence........................................................................................... 3-20
3.5.2 Occupancy........................................................................................ 3-20
3.5.3 Breeding........................................................................................... 3-21
3.5.4 Successful Nest................................................................................ 3-22
3.5.5 Fledging Rate................................................................................... 3-22
3.6 Survey Applications................................................................................... 3-23
3.6.1 Territory Monitoring Application..................................................... 3-23
3.6.2 Small Area Survey Application......................................................... 3-25
3.6.3 Large Area Survey Application......................................................... 3-26
3.7 Reporting.................................................................................................... 3-27
Appendix A. Literature Cited....................................................................... A-1
Appendix B. Interactive Spreadsheet for Determining
Bioregional Sample Size......................................................B-1
Appendix C. Sample PSU Map....................................................................C-1
Appendix D. Guidelines for Constructing Field Data
Collection Forms.................................................................... D-1 vi vi Northern Goshawk Inventory and Monitoring Technical Guide 1.2 Background and Business Needs The northern goshawk has attracted substantial interest over the past two decades
because management activities in forest environments have the potential to affect
nesting habitat and, hence, population levels of this species. Goshawks tend to nest
in mature forests (conifer in the West, deciduous in the East), building large nests
that are used by the original pair or successors for many years (Squires and Reynolds
1997). A variety of forest types and structural stages are used as foraging habitat, but
the important role of mature forests as long-term nesting sites has placed consider-
able attention on the goshawk. The goshawk has been designated a sensitive species in six of the eight USDA
Forest Service administrative regions within its geographic range. Because of sensi-
tive species status, 71 national forests are required by USDA Forest Service policy
(Forest Service Manual [FSM] 2670 and 2672) (USDA Forest Service 1995, USDA
Forest Service 1991) to evaluate the effects of proposed management actions on 1-1 1-1 Northern Goshawk Inventory and Monitoring Technical Guide goshawks and document the findings in a biological evaluation that is specific to
each proposed action. Any decisions made by a line officer “must not result in loss of
species viability or create significant trends toward Federal listing” (FSM 2670.32). Forest supervisors are given the responsibility to “determine distribution, status, and
trend of threatened, endangered, proposed, and sensitive species and their habitat on
Forest lands” (FSM 2670.45). Regional foresters are to identify sensitive species that
qualify for conservation agreements (FSM 2672.12). In addition to sensitive species status, 53 national forests (as of 2004) have
designated the goshawk as a “management indicator species” (MIS) in their land and
resource management plans developed under the National Forest Management Act. The combined designation of the goshawk as both a sensitive species and an MIS has
resulted in a need for information on the status and trend of goshawk populations and
habitats throughout its range. The broad geographic distribution of the goshawk has
resulted in a need for greater consistency in how this information is collected. The goshawk has also received attention from members of the public. Environ-
mental organizations submitted petitions in 1991 (Babbitt et al. 1991, Silver et al. 1991) and in 1997 (USFWS 1998a) to list the northern goshawk as threatened or
endangered in the Western United States. The U.S. Northern Goshawk Inventory and Monitoring Technical Guide 1.2 Background and Business Needs Fish & Wildlife Service (USFWS)
concluded that listing was not warranted, based on the best available information
(USFWS 1996, 1998a).The status review team that assembled information for this
finding, however, noted that information was not cohesive and they made several
recommendations for acquiring more information on population and habitat trends. One of the recommendations was that “land managers should improve inventory and
monitoring of goshawk populations. Improvements should include a standardized
protocol to conduct goshawk surveys.” (USFWS 1998b). The Queen Charlotte goshawk, a recognized subspecies occurring in southeast
Alaska, was petitioned for listing in 1994. The USFWS concluded that listing was
not warranted (USFWS 1997), but interest remains high regarding conservation of
this subspecies. The northern goshawk is also protected under the Migratory Bird Treaty
Act. Executive Order 13186 of 2001 clarified responsibilities of Federal agencies
regarding migratory bird conservation, and these responsibilities include inventory
and monitoring. In summary, the USDA Forest Service needs information on status and trends of
northern goshawk populations and habitats for the following reasons: In summary, the USDA Forest Service needs information on status and trends of
northern goshawk populations and habitats for the following reasons: •
The goshawk is a sensitive species. Forest Service Manual (FSM) 2670.45
(USDA Forest Service 1995) requires forest supervisors to collect information on
sensitive species in order to determine when change in management is warranted. •
Habitat and population information is needed by national forests that have
designated the goshawk as an MIS. 1-2 Northern Goshawk Inventory and Monitoring Technical Guide •
The USFWS may receive new petitions to list the goshawk and will call on the
USDA Forest Service again for information on status and trends of populations
and habitats. •
Many public entities, including environmental groups and forest product
industries, will continue to ask the USDA Forest Service for information on the
status of goshawks on National Forest System lands, because this species, along
with mature forests, remains a topic of interest. Most national forests have partial information on goshawk territories and suitable
habitat, and some national forests also have multiyear data on goshawk nest activ-
ity. Standardized field protocol for goshawk nest area surveys have been published
(Dewey et al. 2003, Joy et al. 1994, Kennedy and Stahlecker 1993, Penteriani 1999)
and USDA Forest Service biologists frequently use them. 1.2 Background and Business Needs Inventory and monitoring
data, however, usually are not comparable across forests because of different defini-
tions for nest and territory occupancy, different levels of survey efforts, and different
definitions of habitat. Furthermore, a lack of sampling design, either within a given
forest or across administrative units, precludes the ability to evaluate trends in either
populations or habitats. Consequently, most existing information is limited to the spa-
tial occurrence of nests and a rough estimate of territory size and distribution. To obtain consistent, reliable information on the status and trend of goshawk
populations and habitats, USDA Forest Service biologists, research scientists, and
members of the academic community identified a need for the following: •
Bioregional population monitoring in relation to habitat changes. •
Forest-level monitoring of the local effects of management actions. •
Inventory and survey standards that are based on published field protocol. This technical guide was developed to fulfill these information needs. Northern Goshawk Inventory and Monitoring Technical Guide 1.3 Key Concepts The term “protocol” is often used to refer to standards for collecting field data. The
Inventory and Monitoring Issue Team of the USDA Forest Service has recommended
a broader interpretation of protocols to include all aspects of an inventory or monitoring
plan: sampling design, data collection, data analysis, and reporting. This technical
guide follows this recommendation and includes all of these topics in the chapters
that follow. The term “procedures” is used for describing steps within a specific pro-
tocol. For example, the procedures for establishing a sampling frame and setting up
strata are specific steps in the sampling design protocol. Two key concepts related to goshawk monitoring is the notion that goshawks
maintain territories and that territoriality influences, in part, the spacing of goshawk 1-3 1-3 breeding activity and the use of resources. Ecologically, the term “territory” is usually
defined as an area that is defended, but since defensive behavior is rarely observed,
another definition is “any exclusive area” (Ricklefs 1979). The area used by
goshawks for nesting and fledging of young is exclusive and is therefore a territory. Average territory size is estimated after the breeding history in an area has been
established for many years. This estimation is done by determining the location of
alternate nests associated with each territory, finding the geometric centroid of each
cluster, and calculating the distance between clusters. A territory is said to be occupied
if adult goshawks are present, but additional criteria for determining territory
occupancy can be found under subheading B of section 3.5. Within an occupied
territory, any given nest site can be active or inactive, depending on whether a nesting
effort is currently in progress. The terms “active” and “inactive” refer to nest site
status, whereas the terms “occupied” and “unoccupied” refer to territory status. The bioregional monitoring design in chapter 2 is not intended to track goshawk
territories, nor does it depend on previous knowledge of territory location to be
implemented. The sampling design, however, is based on the concept of territories in
order to sample at a scale that is appropriate for this species. An important distinction exists between goshawk presence, as defined in the
bioregional monitoring design, and territory occupancy. Goshawk presence can be
determined by the detection of an individual, whereas territory occupancy requires
that two or more criteria are met (section 3.5). 1.4.2 Regional Responsibilities In cooperation with other regional offices— In cooperation with other regional offices— •
Identify a bioregional monitoring coordinator to oversee the bioregional
monitoring program. Ensure coordination of data collection, analysis, and
reporting with adjacent administrative regions that share the same bioregion •
Work across administrative lines to maintain, to the extent possible, the
bioregional boundaries as identified in this technical guide. •
Work cooperatively with States and nongovernmental organizations to
disseminate and share information regarding goshawk population and habitat
trends. •
Identify current status and future funding needs of the bioregional goshawk
monitoring program in the region’s Inventory and Monitoring Program Plan. •
Provide training to field personnel as needed for data collection, storage, analysis,
and reporting. •
Ensure that monitoring results are distributed to participating national forests and
other monitoring collaborators in a timely fashion. 1.3 Key Concepts In most wildlife studies, however, the
term “site occupancy” is used to indicate simple presence of one or more individuals
in an area (Geissler and Fuller 1987). Because of the more rigorous definition of
occupancy in the context of goshawk territory status, this technical guide uses “presence” as the variable of interest in the bioregional monitoring design rather than
“site occupancy.” Specific criteria for determining goshawk presence are in chapter 2
under the bioregional monitoring design, whereas criteria for territory occupancy and
nest activity are in chapter 3, section 3.5. A third key concept of goshawk monitoring, particularly for the bioregional
monitoring design, is presence/absence. In the recent past, biologists referred to
presence/absence as present/not detected, because absence cannot be absolutely
determined. This term, however, confuses the state of being present or not present
with the activity of either detecting or not detecting an organism. This technical guide
adopts the term presence/absence with the argument that although absence cannot
be determined, it can be estimated statistically using a known or estimated detection
probability. More details are presented in chapter 2, but it is introduced here as a key
concept of the bioregional monitoring design. 1-4 Northern Goshawk Inventory and Monitoring Technical Guide 1.4.1 National Responsibilities •
Develop the Northern Goshawk Inventory and Monitoring Technical Guide and
update as needed. •
Ensure that data standards, data fields, and data analysis capabilities are built into
the National Resource Information System (NRIS) Fauna application in order to
carry out goshawk inventory and monitoring activities. •
Ensure flow of information with USFWS as directed under Executive Order
13186. •
Encourage cooperative efforts and partnerships with other agencies and
organizations to monitor goshawks. •
Assist USDA Forest Service administrative regions with attaining adequate
funding for bioregional monitoring. Northern Goshawk Inventory and Monitoring Technical Guide 1.4.3 Forest Responsibilities •
Contribute to the bioregional monitoring program either indirectly through
funding, or with field personnel and equipment. •
Conduct area inventories and project surveys using the survey protocols described
in chapter 3. •
Provide stewardship of the NRIS Fauna module for forest and district-level
goshawk data. 1-5 Northern Goshawk Inventory and Monitoring Technical Guide 1-5 1.5.1 Forest Service Programs Before the development of this technical guide, the USDA Forest Service did not
have a national protocol for northern goshawk inventories or monitoring. Monitoring
has been the responsibility of individual national forests, with guidance from region-
al offices. In addition, monitoring has been conducted as part of established research
programs on several national forests, often funded by the national forests as adminis-
trative studies. Long-term monitoring and/or in-depth research studies have occurred
on the Klamath, Modoc, Beaverhead/Deerlodge, Inyo, Tahoe, Sawtooth, Targhee,
Tongass, Kaibab, and Dixie National Forests. Recently, national forests in Utah, in
collaboration with Brigham Young University, have undertaken several studies that
address goshawk dispersal and movements (Rodriguez 2004). The Rocky Mountain Research Station has an ongoing research study of north-
ern goshawks that has been in place on the Kaibab National Forest since 1991 (Reyn-
olds and Joy 1998). This study has provided knowledge of goshawk life history,
reproductive patterns, and detection rates that were instrumental in formulating the
bioregional monitoring design (Reynolds 2002). The study also contributed to the
design of a standard survey protocol that has been adopted in this technical guide
(Joy et al. 1994). The goshawk bioregional design described in this technical guide relies on broad
scale habitat information from the Forest Inventory and Analysis (FIA) program in
order to look for correlations between broad scale habitat characteristics and gos-
hawk populations. Each bioregion can also use data derived from the Common Stand
Exam protocol to evaluate habitat changes. The USDA Forest Service developed a technical guide for the Multiple Species
Inventory and Monitoring (MSIM) protocol. The MSIM provides a framework for
collecting presence/absence data on a variety of terrestrial vertebrate species, includ-
ing raptors, over broad spatial extents. The goshawk bioregional monitoring design
is complementary to the MSIM because it has a similar monitoring objective and
obtains data at a similar spatial scale. Northern Goshawk Inventory and Monitoring Technical Guide 1.5.2 Programs in Other Federal Agencies The U.S. Geological Survey Patuxent Wildlife Research Center has spearheaded a
continent-wide Breeding Bird Survey (BBS) since 1966 (Robbins et al. 1986, Sauer
et al. 2001). Although trend data are available from the BBS for many bird species,
the research center has concluded that data on northern goshawks are not sufficient
for determining trends, either survey-wide or for any individual state or province, 1-6 due to low detections of goshawks per survey route and low numbers of survey routes
with goshawk detections. Most States and provinces have fewer than five survey
routes with goshawk detections (Sauer et al. 2001). There are no other Federal pro-
grams for collecting data on northern goshawk populations or habitats. 1.6 Quality Control and Assurance The inventory and monitoring protocols described in this technical guide are based
on published field protocols (Joy et al. 1994, Kennedy and Stahlecker 1993). The
bioregional monitoring design was designed by researchers and statisticians with
substantial knowledge of goshawk ecology and principles of sampling design. The technical guide was reviewed by six qualified professionals, including four
statisticians both within and outside the USDA Forest Service. The bioregional
monitoring design underwent a separate peer-review and has been published (Hargis
and Woodbridge 2006). Quality control and assurance for implementing the bioregional monitoring
design is discussed under the heading of Data Collection in chapter 2. Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide 2.1 Objective Information is needed on the status and trend of northern goshawk populations
and their habitats to meet a variety of information needs described in chapter 1. This chapter describes a monitoring design that will enable the Forest Service and
collaborating partners to (1) estimate the frequency of occurrence of territorial adult
goshawks over large geographic areas; (2) assess changes in frequency of occurrence
over time; and (3) determine whether changes in frequency of occurrence, if any, are
associated with changes in habitat. The goal is to monitor goshawks annually into the
long-term future, with analyses of change every 5 years. Goshawk populations experience some level of change in abundance from year
to year due to changes in a combination of environmental factors, most notably
climate and prey abundance. The USDA Forest Service is specifically interested
in population changes that exceed normal fluctuations and that may be due to
management-induced habitat changes. The range of normal fluctuations in goshawk
abundance is currently not known, nor is the exact magnitude of change that can be
detected with monitoring. The monitoring design described in this chapter, however,
is intended to be used with a sample size sufficient to detect a 20-percent change
in relative abundance over a 5-year monitoring period. If a 20-percent decline were
observed within a bioregion, this percentage would represent a trigger point for
assessing whether an immediate change in land management within that bioregion
was warranted. Given the mobility of goshawks and the wide range of forest types they use, it is
difficult, if not impossible, to define discrete breeding populations. The USDA Forest
Service has chosen to monitor goshawks within fairly large geographic areas that
are referred to here as bioregions. Generally speaking, a bioregion is a large spatial
extent defined by coarse scale similarity in ecological conditions. Descriptions of
bioregions and rationale for boundaries are described under section 2.2.2 of Planning
and Design. The indicator used to determine the frequency of occurrence of goshawks is P,
the proportion of primary sampling units (PSUs) (Levy and Lemeshow 1999) with
goshawk presence, or in other words, the frequency of presence. A PSU is a square
sampling unit of 600 ha. The sampling frame for each bioregion consists of a grid of
PSUs laid over all potential goshawk nesting and forested foraging habitat, both on
USDA Forest Service lands and on lands of all collaborators in the bioregion. 1.7 Change Management This technical guide is considered a draft until the bioregional monitoring design has
been implemented for at least 1 year in at least one bioregion. After the first year, the
design team anticipates several changes in the technical guide. The description of
creating a sampling frame for bioregional monitoring is currently sketchy, and more
details will be added based on the first bioregion’s experience. The Data Storage
section will be expanded to describe in detail the structure of the bioregional database
and the data fields that will be routinely migrated to NRIS Fauna. Guidelines for
constructing a field data entry form might be revised for better efficiency and/or
clarity. The Data Analysis section will be augmented with analytical tools available
either on a CD or a Web site. This technical guide will be reviewed 5 years after the first year’s revision
to determine if additional changes are warranted. Population monitoring at the
bioregional scale will likely remain unchanged, but more details on FIA data and
landscape habitat variables might be added. An additional chapter on nesting-
effort monitoring might also be added to provide a method for national forests to
quantitatively evaluate changes in goshawk breeding efforts over time. 1-7 1-7 Northern Goshawk Inventory and Monitoring Technical Guide 1-8 Northern Goshawk Inventory and Monitoring Technical Guide 2.1 Objective Each
bioregion will estimate P from a stratified random sample of PSUs, using a sample 2-1 2-1 Northern Goshawk Inventory and Monitoring Technical Guide size that is sufficient for attaining an estimate that is within 10 percent of the actual
frequency 90 percent of the time. The ability to detect changes in frequency of presence is currently unknown, be-
cause it will depend on the persistence of goshawks from one year to the next in each
individual PSU that is sampled. An examination of the data after 2 years will allow
for an estimation of the amount of change that can be detected with specified power. To look for possible correlations between changes in population and habitat,
two types of habitat data will be used: (1) Forest Inventory and Analysis (FIA) data
summarized for all FIA points in the sampling frame, and (2) landscape pattern
data for all PSUs, obtained from Geographic Information System (GIS) analysis. Selected habitat variables from both sources will be used as covariates in a logistic
model to evaluate relationships between goshawk presence and habitat. These habitat
variables also will be included in models to evaluate change in P between 2 or more
years. Habitat variables will likely differ between bioregions, reflecting geographic
differences in goshawk habitat relations. Each bioregion will identify a bioregional coordinator to oversee the goshawk
monitoring program. The coordinator can be affiliated with any agency, research
facility, or university, either under salary or under a contract. The bioregional coor-
dinator will work with biologists and biometricians to establish the sampling frame,
determine sampling intensity, select relevant habitat variables, provide training for
field personnel, oversee data collection, analyze the data, and prepare annual reports. This monitoring design was created for the USDA Forest Service, but
collaboration with other agencies and land owners is strongly encouraged, because
the larger sample size attained through collaboration will yield better estimates of
status and change over time. Once a monitoring program is in place, however, adding
PSUs is not recommended, due to the difficulty in evaluating year-to-year differences
when the sampling frame has changed. Later collaboration is possible, but the added
PSUs would need to be evaluated separately. The following paragraphs describe recognized limitations of the bioregional
monitoring program. First, although the boundaries of each bioregion include all
land ownerships, the sampling frame is composed of only national forest lands and
the lands of any monitoring collaborators. Northern Goshawk Inventory and Monitoring Technical Guide 2.1 Objective Therefore, inferences from goshawk
population trends are applicable only to the lands within the sampling frame and not
to the entire bioregion. Second, this monitoring design does not provide a means of estimating total
population size in a bioregion. A goshawk detection may or may not represent the
presence of a breeding pair, and further efforts beyond this sampling design would be
needed to establish the location of active nests. Furthermore, this monitoring program
is not designed to provide information on nesting efforts or reproductive success. 2-2 2-2 Northern Goshawk Inventory and Monitoring Technical Guide Finally, this design could be limited in the ability to detect population trends
if either the precision of each annual estimate is low or if the specific PSUs with
goshawk presence change every year. In either case, it might be difficult to detect
small but potentially meaningful trends in P. The power to detect change will not be
known until 2 or 3 years of data are available. Northern Goshawk Inventory and Monitoring Technical Guide 2.2 Planning and Design 2.2.1 Goshawk Natural History Relevant to the Bioregional Sampling Design
The northern goshawk is a wide-ranging forest raptor found in boreal and temperate
forests of the Holarctic zone. In North America, two subspecies are recognized by
the American Ornithologists’ Union (1957): Accipiter gentilis laingi, which occurs
along the insular coast from Vancouver Island north to Icy Strait and Lynn Canal in
Alaska, and A. g. atricapillus, which occurs throughout the rest of the species range. Goshawks in southern Arizona and the mountains of central Mexico have been
proposed as a third subspecies, but this proposal is currently under debate (Whaley
and White 1994). Differences among the subspecies represent subtle breaks in clinal
variation (Squires and Reynolds 1997). Goshawks use a variety of forest types for nesting and foraging. Across the entire
breeding range, goshawks nest in a broad range of vegetative communities, from
extensive mature coniferous forest in coastal regions to small patches of aspen and
pine in Great Basin shrubsteppe communities (Squires and Reynolds 1997). Within
their home ranges, goshawks use a diverse array of habitats for foraging, both in
terms of vegetation type and the degree of openness (Squires and Reynolds 1997). At
the scale of nest-site selection, goshawks nest in the densest stands available, given
the capability of the forest type; high canopy closure also appears to be an important
habitat characteristic for the species (Hayward and Escano 1989). The size of forest
patches used for nest areas appears to be highly variable across the species’ range. Goshawk habitat selection theoretically follows a modified model of ideal free
distribution that is limited by territorial behavior (Fretwell 1972). Under the ideal
free distribution model, individuals choose to occupy the best habitats first and will
settle into secondary habitat only when competition for resources in primary habitat
outweighs the lesser availability of resources in secondary habitat. When a species
is territorial, the presence of dominant individuals forces greater use of secondary
habitats even before resources become limiting. It appears that goshawks follow
this model because high-quality habitats contain a fairly fixed number of territories
(Reynolds and Joy 1998), and no evidence supports the idea that increases in prey
result in increased density of breeding pairs in these habitats. 2-3 2-3 Where forest habitats are continuous, the spacing between the nests of breeding
pairs is fairly regular. 2.2.2 Description and Rationale for Monitoring Design This section describes the bioregions’ boundaries and provides guidance for
establishing the sampling frame within a bioregion. Each subsection consists of the
Procedure, which is the protocol for carrying out this bioregional monitoring design,
and the Rationale, which describes the scientific basis for the protocol. 2.2 Planning and Design On the Kaibab Plateau of Arizona, mean nearest-neighbor
distance for 103 nesting pairs was 3.9 km (SD = 0.32) (Reynolds and Joy 2006). On
the Klamath National Forest, the distance was 3.3 km ± 0.3 SE for 59 nesting pairs
(Woodbridge and Detrich 1994), and similar spacing was observed in northeastern
California on the Modoc National Forest (Woodbridge 1998). Within territories, goshawks typically shift their breeding sites among several
alternate nests up to 1.8 km apart (Squires and Reynolds 1997, Woodbridge and Det-
rich 1994). Although most alternate nests are grouped within a forest stand or cluster
of adjacent forest stands, a search radius of 1 km is required to locate 95 percent of
alternate nests used over a period of several years (Reynolds et al. 2005). It is important to understand how territoriality and habitat quality can influence
the ability to detect changes in goshawk abundance over time. During a population
increase, goshawk density in high-quality habitats would remain fairly constant due
to territorial spacing. More goshawks might be detected in these habitats, but this
increase would be due to the presence of “floaters” rather than to an increased density
of territories. In contrast, we predict that goshawk numbers would increase in habitats
of secondary or marginal quality as surplus individuals who are unable to find vacant
territories in high-quality habitats establish new territories. Nevertheless, overall
density might be lower than that of high-quality habitats due to limitations in the
availability of nesting stand structure or to prey resources. During periods of population declines, it is likely that marginal habitats would be
the first to show a drop in numbers, with prime territories remaining fairly constant. A decline in goshawk abundance in high-quality habitats is likely to represent either
a dramatic overall population decline or a decline in the quality of the primary habitat
itself, either through changes in nesting site availability or food resources. Nesting
site availability could decline as a result of succession, climate, or management
actions. Food resources could decline from a combination of changes in habitat, food,
predators, competitors, disease, or weather. Because of the different population responses that are expected in habitats of
different quality, it is important that all potential habitats are included in a monitoring
design, not simply the high-quality habitat. 2-4 2-4 Northern Goshawk Inventory and Monitoring Technical Guide Procedure The Toiyabe and Inyo National Forests both are split between two bioregions. Figure 2.3. The Toiyabe and Inyo National Forests both are split between two bioregions. g
y
y
p Procedure The ecological basis for the bioregions is the Forest Service National Hierarchical
Framework of Ecological Units (Bailey 1980, McNab and Avers 1994), overlaid
with the geographic range of the northern goshawk (Squires and Reynolds 1997). By aggregating neighboring polygons of similar adjacent ecological provinces,
the boundaries of 10 goshawk bioregions were delineated: 8 in the coterminous
United States and 2 in Alaska (table 2.1, figure 2.1). If a relatively small polygon
of one ecological province was enclosed within a larger polygon of a different
ecological province, it was included in the bioregion of the larger province (figure
2.2). Boundaries were also influenced by the configuration of national forests, so
that no national forest would be split between two bioregions. Exceptions to this
rule occurred with the Toiyabe and Inyo National Forests, both of which occur in the
Cascade-Sierra and Intermountain Great Basin bioregions (figure 2.3). These national
forests will have separate data from each of the two bioregions. Table 2.1. Goshawk bioregions. Goshawk bioregion
Area (km2)
Pacific
121,590
Cascade Sierra
1,181,072
Intermountain Great Basin
620,861
Northern Rocky Mountains/Blue Mountains
480,028
Central Rocky Mountains
317,891
Colorado Plateau and Southwestern Mountains
514,700
Great Lakes
490,500
Northeast and Central Appalachian Mountains
517,225
Coastal Alaskan Forests
173,700
Interior Alaskan Forests
697,545 2-5 Northern Goshawk Inventory and Monitoring Technical Guide 2-5 Figure 2.1. Goshawk bioregions. Figure 2.1. Goshawk bioregions. Figure 2.2. A polygon of an ecological province (342) that is embedded in the Northern
Rockies bioregion is included in that bioregion to smooth bioregional boundaries. Figure 2.1. Goshawk bioregions. Northern Goshawk Inventory and Monitoring Technical Guide
Figure 2.2. A polygon of an ecological province (342) that is embedded in the Northern
Rockies bioregion is included in that bioregion to smooth bioregional boundaries. Northern Goshawk Inventory and Monitoring Technical Guide
Figure 2.2. A polygon of an ecological province (342) that is embedded in the Northern
Rockies bioregion is included in that bioregion to smooth bioregional boundaries. Figure 2.2. A polygon of an ecological province (342) that is embedded in the Northern
Rockies bioregion is included in that bioregion to smooth bioregional boundaries. Figure 2.2. A polygon of an ecological province (342) that is embedded in the Northern
Rockies bioregion is included in that bioregion to smooth bioregional boundaries. Northern Goshawk Inventory and Monitoring Technical Guide 2-6 Figure 2.3. The Toiyabe and Inyo National Forests both are split between two bioregions gure 2.3. Northern Goshawk Inventory and Monitoring Technical Guide Rationale The bioregional scale was selected for monitoring northern goshawk populations
and habitats after considering two other possible scales: each individual national
forest and the entire range of the northern goshawk. The national forest scale was
considered too small for both ecological and sampling reasons. Goshawks using a
specific national forest are not isolated from goshawks on adjacent forests and other
neighboring lands, so “population” trends for a given forest might not be meaningful. Also, because of the inherent variability in population estimates, the sample size
required to detect a significant change in abundance at the national forest scale would
be unaffordable for most national forests. The entire range of the goshawk was considered too large for aggregating and
interpreting population and habitat data due to potentially wide variation in goshawk
habitat relations across the species’ range. Climatic, physiographic, and ecological
factors influencing goshawk populations differ among bioregions, potentially
resulting in dissimilar population abundance and trends. Bioregions represent the
largest scale at which data should be aggregated, analyzed, and summarized. Range-
wide trends will be estimated through a composite analysis of the bioregional trends. 2-7 2-7 The 10 bioregions delineated for the purpose of broad-scale population
monitoring are arbitrary, with movements between bioregions likely and, in some
cases, documented. For example, goshawks from the Kaibab Plateau in the Colorado
Plateau bioregion have been recaptured on the Dixie National Forest, in the
Intermountain Great Basin bioregion (Reynolds 2002). The delineation of bioregional
boundaries, however, is primarily based on differences in ecological conditions that
could affect goshawk status and trend. The bioregions are truncated at the Canadian border (with the possible exception
of binational collaboration in the Great Lakes bioregion), and the artificial nature
of these boundaries is acknowledged. Transnational movement of goshawks will be
considered when population trends are reported for the four bioregions that border
Canada. Procedure The PSUs are a grid of squares, each approximately 600 ha, and are spatially
oriented to nest within the grid framework used by the FIA program. The FIA
grid is a coast-to-coast coverage of 2,402.7 ha hexagons that was established to
conduct forest inventories on Federal and private lands. Ideally, the grid of PSUs is
created by starting with the FIA grid and nesting the goshawk grid within it. If the
bioregional coordinator cannot obtain access to the FIA grid, the PSU grid can be
established from a randomly selected x, y coordinate within the bioregion. Although
the orientation of the FIA grid in relation to the PSU coverage will not be known, the
relationship will be roughly four PSUs for each FIA hexagon. Northern Goshawk Inventory and Monitoring Technical Guide Rationale The size and shape of the PSU reflect ecological factors and sampling considerations. Although each PSU is not intended to represent a goshawk territory, the size is
approximately the same as a territory so that a detection in a PSU will roughly
correspond to one breeding pair. If the PSU is too small, several adjacent PSUs could
constitute one territory, and sampling in each would not be independent. If the PSU is
too large, more than one nesting pair could be present, yielding an underestimation of
goshawk occurrence. The PSU size will— •
Maximize the probability of a PSU containing one territory. •
Reduce the probability of a PSU containing more than one territory. •
Be logistically feasible and cost-effective to survey. To determine optimal size, we compared the spacing of goshawk territories in
three geographical areas. Mean nearest-neighbor distances among goshawk territories To determine optimal size, we compared the spacing of goshawk territories in
three geographical areas. Mean nearest-neighbor distances among goshawk territories 2-8 on the Kaibab Plateau (AZ), Southern Cascades Mountains (CA), and Modoc Plateau
(CA) are remarkably similar, ranging from 3 to 4 km. One-half of this distance, a
radius of 1.5 to 2 km, yields an area of 761 to 1,017 ha. Using this information, we
created a range of potential PSU sizes from 405 to 1,214 ha, at 202.3 ha increments,
and overlaid them in a GIS with several maps of goshawk territories at known density
and spacing. The results indicated that, while the proportion of PSUs with goshawk
territories increased with increasing plot size, PSUs with multiple territories began to
appear when PSU size was at 607 ha (table 2.2). Thus, PSU sizes above 607 ha might
underestimate goshawk relative abundance, because two territories rather than just
one could be present in a PSU. Another consideration in PSU size was the desire to make the sampling design
compatible with the framework developed by the FIA program. FIA grid cells
are too large for adequate goshawk sampling, but a “densified” grid, in which the
number of grid points is doubled, falls within the range of goshawk PSU sizes that
was determined through interterritory distance. A densified grid is already used by
the FIA program in the States within the Great Lakes goshawk bioregion and is also
used by USDA Forest Service Region 1, which includes part of the Northern Rockies
goshawk bioregion. Northern Goshawk Inventory and Monitoring Technical Guide Rationale The Multiple Species Inventory and Monitoring Protocol is also designed around
the FIA grid and was tested in California on a densified grid. This protocol uses
several detection methods to survey for a variety of terrestrial species, many of which
are prey of goshawks. There are benefits in designing the goshawk sampling frame to
be compatible with that used for potential prey. Plot shape may influence survey results through edge effects. Compared with
linear or rectangular plots, circular or square PSUs provide the lowest perimeter to
area ratio, thereby decreasing the potential for miscounting individuals occurring near
the boundary of a PSU (Krebs 1989). A square plot also facilitates the use of line
transects for individual call points. Table 2.2. PSU size in relation to the number of goshawk territory core areas (cores) within it. PSU size
Number of
Percentage of PSUs
(ha)
PSUs
0 cores
1 core
2 cores
405
429
85.3
14.7
0.0
607
292
78.8
20.9
0.3
809
229
73.4
25.8
0.9
1,011
182
67.6
30.2
2.2
1,214
158
64.6
31.6
3.2
PSU = primary sampling unit. Table 2.2. PSU size in relation to the number of goshawk territory core areas (cores) within it. Northern Goshawk Inventory and Monitoring Technical Guide 2-9 2-9 Procedure In order for a grid cell to become a PSU in the bioregional sampling frame, it must
meet two criteria: (1) some portion of the grid cell must contain potential goshawk
breeding habitat (for nest sites or forested foraging), and (2) most of the grid cell
must consist of USDA Forest Service lands or lands of monitoring cooperators. Each grid cell receives a numeric address and is classified as goshawk habitat or
nonhabitat, based on a GIS classification from remotely sensed data. The rule set
used to classify goshawk habitat versus nonhabitat will be developed separately
by each bioregion. The broadest classification would simply be forested versus
nonforested, but a bioregion could use elevation, cover type classifications, or other
criteria to eliminate certain forested lands with no potential for goshawk use during
the breeding season. Procedure All PSUs in the bioregional sampling frame are classified into two strata based on
habitats (primary and marginal) and two additional strata based on survey costs (high
and low). In general, the primary habitat category should be similar to habitats that
are currently used by most territorial goshawks in the bioregion. Classification can
be accomplished by characterizing the PSUs that currently contain known goshawk
territories and using these characteristics to identify all other PSUs with these same
characteristics. Marginal habitat is any potential habitat that does not meet the
characterization of primary habitat. During the test of the bioregional design on the San Juan and Rio Grande National
Forests, primary habitat was identified as follows (Joy et al. 2003). A GIS layer of all
nests known to be used within the past 10 years was constructed for each national forest
separately. The GIS analyst then centered a 688 ha square on each nest site and ex-
tracted a number of habitat attributes associated with this square. (At that time, PSU
size was set at 688 ha rather than 600 ha.) Some of the key habitat attributes were the
proportion of the square occupied by different vegetation cover types, average basal
area and average canopy cover of all stands in the square, percentage of shrub cover,
horizontal diversity, elevation, and slope. The GIS analyst then randomly selected a
number of 688 ha squares on each forest, commensurate with the number of nest site
squares for that forest, and extracted the same habitat attributes. Using separate stepwise logistic regressions for each national forest, the analyst
determined which habitat attributes distinguished the nest site squares from the
randomly selected squares. The attributes were slightly different for each national
forest, primarily because of difference in aspen use between the two national forests. The GIS analyst then applied the specific attributes of nest site squares on a national
forest to all PSUs on that national forest and assigned PSUs to the primary habitat
category if they fell within cutoff values for all the key attributes identified. Cost categories were not used during the testing phase of the bioregional design,
but they will be defined by bioregional coordinators based on road access and travel
distance. Rationale The target population is territorial goshawks on lands administered by the USDA
Forest Service and cooperating landowners within each bioregion. Therefore, the
sampling frame for goshawk monitoring is not the entire grid described above, but
only the portions of the grid that meet the specified criteria. The two criteria for including a grid cell in the sampling frame are worded
differently in terms of the amount of area needed to meet the criteria. For the first
criteria, the portion of the grid cell that contains potential goshawk breeding habitat
can be quite low and still be included because goshawks are known to use small
patches of habitat in otherwise unsuitable habitat, such as small aspen (Populus
tremuloides) stands surrounded by montane shrublands and patches of late seral
forest in burned or harvested areas (Squires and Reynolds 1997). The bioregional
estimate of goshawk frequency of occurrence could be calculated too low if PSUs
with small patches of habitat were not included. Due to bioregional differences, the
protocol does not contain a specific threshold for the amount of habitat needed in a
PSU in order to be included. The bioregional coordinators are encouraged, however,
to set a very low threshold based on local landscape pattern. On the other hand, it is extremely important to eliminate from the sampling
frame any grid cells that cannot be adequately surveyed due to land ownership and
access issues, as addressed in the second criteria. Once again, the protocol does not
contain a specific threshold, but in this case it is best to err toward requiring that
most of the grid cell be accessible in order to include it. Whereas the first criteria
eliminates unsuitable habitat from the survey, the second criteria could inadvertently
eliminate large blocks of suitable habitat where goshawk might be present but cannot
be detected due to accessibility. Including such PSUs could result in a low estimate 2-10 Northern Goshawk Inventory and Monitoring Technical Guide of goshawk frequency of occurrence simply because PSUs with potential habitat
were only partly surveyed. Ideally, all of each PSU must be accessible in order in
include it, but bioregions with checkerboard patterns of land ownership might need to
establish a lower threshold in order to obtain the desired sample size of PSUs. Northern Goshawk Inventory and Monitoring Technical Guide Procedure The high-cost category would include PSUs that fall in wilderness and
unroaded areas and in roaded PSUs that are three or more hours’ drive from expected
starting points (district offices and field stations). 2-11 After the PSUs are assigned to the habitat and cost categories, they are placed
into one of the following four strata: •
Stratum 1. Primary habitat, low survey costs. •
Stratum 2. Primary habitat, high survey costs. •
Stratum 3. Marginal habitat, low survey costs. •
Stratum 4. Marginal habitat, high survey costs. Rationale The purpose of stratification is to increase the precision of the estimate of P, given a
fixed budget for monitoring. If sampling were based on the proportional representation
of primary and marginal habitats, a random sample might overemphasize marginal
habitat and contribute little to an understanding of goshawk trends over time. Also, a
random sample could result in a substantial proportion of PSUs with difficult access,
raising the costs or lowering the sample size of the monitoring effort. With stratifica-
tion based on habitat and costs, all potential habitats are sampled, but more emphasis
is placed on habitats with higher probability of goshawk presence and with lower
survey costs. Currently, most goshawk survey work is associated with proposed projects, and
biologists tend to survey those habitats within project areas that have the highest
probability of goshawk presence, based on current knowledge. Additional surveys
tend to occur in roaded areas in the absence of any sampling design and, as such,
are classic examples of convenience sampling. The stratification described above
ensures that unroaded areas and marginal habitats are specifically included in the
total sample. Even if the distinction between primary and marginal habitats is poorly
understood, stratification ensures that the monitoring program includes more than just
primary habitats and that surveys are performed in the context of a sampling design. As mentioned above, stratification is preferred over a simple random sample
because of the potential for marginal habitats to be unoccupied. If monitoring
resources were unlimited, the vast extent of marginal habitats could be tackled by
funding an expansive monitoring program. Funding limitations and the need to
be strategic in the use of limited funds, however, require that efforts in potentially
unproductive habitats be limited. Finally, it must be understood that the delineation of primary and marginal
habitats for monitoring purposes should absolutely not be used for forest planning
and management decisions. The purpose of stratification is to provide better
efficiency in goshawk surveys, but the results of the surveys could greatly change
our understanding of habitats used by goshawks. Certain habitats that are initially
classified as marginal will gain importance if surveys yield detections in these
habitats. Rationale The sample size of surveyed PSUs will vary by bioregion, depending on the
representation of total PSUs in each of the four strata, the average cost of surveying a
PSU in each stratum, and the probability of goshawk presence in each stratum. An accurate assessment of the sample sizes required to estimate a change from
one year to the next, or for estimating a trend over several years, with a desired and
stated precision requires knowing the persistence of presence and absence at PSUs. Those characteristics cannot be estimated until at least 2 years of data are collected. The sample size for estimating change over time, however, will be larger than the
sample size needed for a single year estimate of P, so multiyear needs must be kept in
mind when running the interactive spreadsheet. Rationale 2-12 Northern Goshawk Inventory and Monitoring Technical Guide To maintain consistency in the monitoring program, a habitat that is initially
classified as marginal will remain in that category even if goshawks are found to be
present, but the habitat will be correctly shown as occupied in any post-monitoring
reports, reflecting new knowledge gained from the monitoring effort. It is the
outcome of the monitoring effort, rather than the pre-monitoring stratification maps,
that should be used for planning and management. Procedure Appendix B displays an interactive spreadsheet (available on the CD on the back
cover) to calculate the sample size needed to estimate P and to allocate the sample
among strata. Pilot data specific to the bioregion are needed to provide an estimate of
cost and the probability of goshawk presence. Northern Goshawk Inventory and Monitoring Technical Guide Multiyear Design This monitoring plan employs a 100 percent annual remeasurement design wherein
a fixed number of sites are repeatedly sampled each year, with every PSU sampled
each year. This design was determined to be preferable to designs incorporating an-
nual sample selection (augmented serially alternating panel: Urquhart and Kincaid
1999) because of sample size and logistical considerations. Variance is lower in 100
percent annual remeasurement designs, requiring lower sample sizes to attain similar
precision in estimates of P. From a logistical perspective, 100 percent annual remea-
surement allows for increased efficiency as sampled PSUs and best access routes
become more familiar over a period of years. Under annual random selection, each
year provides new logistical challenges as new PSUs are initiated into the sample. Annual Design Each bioregion will obtain information on the presence of goshawks using two visits
per sampled PSU, with each visit occurring during a specific stage in the breeding
season. Visit 1 will be conducted during the nestling stage (generally late May
through late June or early July), and visit 2 will be conducted during the fledgling
stage (late June through mid-August). Depending on spring snow depth, it may not
be possible to initiate surveys until June in some PSUs; survey schedules need to be
flexible to accommodate this variability. Surveys may be conducted from dawn to
dusk; it is anticipated that 1 to 7 days will be required to survey one PSU. If a detection is not made during the first visit, then a second visit is required. If a detection is made during the first visit, however, a second visit is required for a 2-13 Northern Goshawk Inventory and Monitoring Technical Guide randomly selected subsample of PSUs in order to derive detection rates used for es-
timating P, as described in section 2.5.1. In other words, it is important to know what
proportion of PSUs with detections in visit 1 did not yield detections in visit 2. This
subsample should consist of at least 30 PSUs to provide reasonable confidence in the
detection rates that are calculated. Within this subsample, each PSU in which an ac-
tive nest was discovered during the first visit will automatically be given a detection
history of “11”, because the nest will either still be active or will show signs of recent
activity during the second visit, and the outcome will always be a detection (see sec-
tion 2.3.1). The bioregional coordinator should not purposefully select all PSUs with
active nests as part of the subsample for the second visit, however, because doing so
would result in an inflated estimate of the detection rate. If funding is adequate, the
bioregional coordinator can choose to conduct a second visit at all PSUs except those
with active nests rather than select a random subsample. Procedure PSUs will be sampled using broadcast calls of northern goshawks, following
established standardized protocols based on Kennedy and Stahlecker (1993), USDA
Forest Service (2000), and Joy et al. (1994). Specifics regarding the Broadcast
Acoustical Survey design are found in chapter 3. Although the Broadcast Acoustical
Survey is the selected method for PSU sampling, other methods such as Dawn
Acoustical Surveys or Stand Searches (chapter 3) may be used before the first official 2-14 Northern Goshawk Inventory and Monitoring Technical Guide visit to identify those portions of the PSU in which goshawk detections are most
likely. Any goshawk detections resulting from such presampling efforts will not be
counted as part of the bioregional sampling effort but will simply be used to increase
survey efficiency within the PSU. In other words, if a goshawk is detected before the
first official visit but is not detected during the official bioregional monitoring effort,
the survey outcome for that PSU is no detection. The sampling grid in each PSU comprises 120 call stations located on 10
transects that are 250 m (meters) apart, with 12 call stations per transect. Call stations
along each transect are 200 m apart, and adjacent transect stations are offset 100 m
to maximize coverage. PSU size and call station spacing are not perfectly matched,
resulting in slightly uneven spacing of call stations relative to all four PSU boundaries
(appendix C). The objective is to provide complete survey coverage of the PSU so
that all suitable goshawk habitats are within auditory detection distance (roughly
150 m) of a call point. Transect lines and call points are permanently marked and
locations recorded with a GPS. The procedure is to survey all potential goshawk habitats in the PSU until a
detection is made or until all potentially suitable habitat within the PSU is completely
surveyed. For efficiency, surveyors start in areas of the PSU with the highest
likelihood of goshawk presence. Areas of unsuitable habitat (talus slopes, shrubland,
lakes) are excluded from survey. Call points are not surveyed if more than 50 percent
of the coverage area around the point is unsuitable habitat or is on slopes greater than
60 percent. The actual number of call points within a PSU will therefore vary based
on the extent of suitable habitat. Northern Goshawk Inventory and Monitoring Technical Guide Rationale The Broadcast Acoustical Survey was selected for bioregional monitoring based
on detection rate, logistical feasibility, and applicability under a wide range of
conditions. Although numerous methods have been devised to obtain detections of
nesting goshawks, only three are supported by rigorous field testing and statistical
assessment of detection rates. The primary methods available for bioregional
monitoring are Broadcast Acoustical Survey, Dawn Acoustical Survey, and Intensive
Search Survey (chapter 3). Detection rates of all three methods are high (0.89 to
1.00 for the two-visit protocol); however, the costs in terms of effort per detection
vary significantly. Dawn Acoustical and Intensive Search Survey methods are most
applicable to focused surveys of habitat patches, whereas the Broadcast Acoustical
Survey is most suitable for systematic surveys of large areas. See chapter 3 for
detailed descriptions and a comparison of these methods. This protocol is based on two visits to account for imperfect detectability and
enable estimation of detection rates (the proportion of times that a goshawk is
detected when it is present). Two visits, however, will also increase the probability
of making a detection, especially in occupied, nonbreeding territories, including
territories where breeding was initiated but failed. Field tests indicate that one visit
will yield detections in approximately 64 percent of these territories, whereas the
detection rate for two visits is 87 percent (Keane and Woodbridge 2002). When
goshawks are actively breeding, there is less difference in the detection rate, with 90
percent for one visit and 94 percent for two visits (Keane and Woodbridge 2002). (See table 3.2 in chapter 3.) Procedure Transect lines and call points are established with GIS before field work begins,
and surveyors can use GPS units to obtain the most efficient and economical survey
coverage rather than systematically walking transect lines. Surveyors should avoid
using roads to walk or drive between call points, however, because part of the survey
method involves looking and listening for goshawk or any goshawk signs, such as
nests, plucking posts, molted feathers, and whitewash, between call points. Active
nests and freshly molted feathers found during one of the two official visits are
counted as detections, but an unused nest is not a detection. If a detection occurs, the PSU is recorded as having goshawk presence and the
survey is ended. If a detection does not occur, the surveyors continue to survey at
call points with increasingly less likelihood of goshawk presence. A freshly molted
goshawk feather is considered a detection, but surveyors are encouraged to continue
to survey the PSU with broadcast calls because of the additional information
associated with an aural response or visual detection. For bioregional monitoring, data collected during surveys at each PSU will
consist solely of detection/no detection of goshawks. If national forests wish to locate 2-15 the nest for management purposes, detections can be used to inform an Intensive
Search Survey after the PSU has been surveyed. Habitat Data Bioregional coordinators will acquire two sets of habitat data: (1) FIA data for the
entire bioregion, and (2) landscape pattern data for all PSUs that are surveyed. FIA data are collected by trained crews supervised by the FIA program, using field
protocols that are not described here. The bioregional coordinator acquires data from
all FIA plots within the bioregional sampling frame by making a request through
the appropriate FIA regional office, which is associated with the USDA Forest
Service Research and Development branch. (See http://fia.fs.fed.us.) The bioregional
coordinator can request FIA personnel to provide summary information on stand
structural variables that characterize overall habitat condition (e.g., basal area, stand
density, dbhq). These data are available after each period of FIA data collection 2-16 Northern Goshawk Inventory and Monitoring Technical Guide (usually annually). The coordinator uses the summary information to assess changes
in habitat condition over time and to look for possible correlations between changes
in the bioregional estimate of goshawk occurrence and changes in habitat. Landscape pattern data are collected in all PSUs that are surveyed in order
to compare landscape pattern with and without goshawk detections. These data
are obtained through remote sensing and GIS, under the bioregional coordinator’s
leadership. Landscape variables are derived from the best available vegetation and
road coverages with pixel resolution between 20 to 30 m (i.e., from Landsat 5 or 7). These variables are (1) number of vegetation patches; (2) number of vegetation cover
types; (3) size of largest vegetation patch (including area of the patch extending
beyond the circle or PSU boundary); (4) percentage of PSU in primary, marginal, and
unsuitable habitat, as defined by the initial PSU stratification procedure; (5) estimated
proportion of the PSU that has been thinned or burned under prescription in the past
20 years; (6) estimated proportion of the PSU that has been harvested in the past
20 years (commercial thinning, overstory removal or clearcut); and (7) straight-line
distances from the PSU center to the nearest permanent water (including springs),
road (regardless of use status), trail, and meadow edge. Other Environmental and Management Factors Bioregional coordinators should investigate other environmental and management
factors that could influence goshawk abundance, such as snow pack, spring
precipitation, spring temperatures, prey abundance, overall road density, recreational
areas (e.g., skis areas, campgrounds), and other managed areas (e.g., mining, utility
corridors). Many forms of climatic and weather data are available and could prove
useful in goshawk trend analyses. It would be challenging to obtain prey data for an
entire bioregion, but to the extent that prey abundance is affected by weather, the
weather data might be a useful surrogate. In some areas, cone crop data is available
and could serve as a correlate for squirrel populations (Keane 1999). The areal extent
of disease and insect infestations, obtained from the Forest Health program, might
also lead to productive analyses. Northern Goshawk Inventory and Monitoring Technical Guide Method Validation The Broadcast Acoustical Survey technique was field validated using known nest sites
and survey crews that were unfamiliar with nest locations (USDA Forest Service 2000). With a two-visit protocol, crews detected 94 percent of occupied, breeding territories
and 87 percent of occupied, nonbreeding territories. (See table 3.1 in chapter 3.) 2-17 The bioregional monitoring design was field tested in 2003 on the San Juan
and Rio Grande National Forests in southern Colorado. Of the 20 PSUs that
were sampled, 18 were sampled twice, using two field crews. Eight of the PSUs
were known to contain territories prior to the field test. The sampling resulted
in two detections and the discovery of 2 additional territories and 12 additional
inactive nests (Ferland et al. 2006). This test was conducted during a year of low
breeding activity. The methodology was judged to be practical and efficient, and no
modifications to the sampling design or data collection techniques were proposed. National Level Standardized training materials have been developed and are available on the
CD located on the back cover of this technical guide. Training materials include
identification of vocalizations of goshawks and species with similar vocalizations,
identification of goshawks and other forest raptors, and identification of molted
feathers of forest raptors. Chapter 3 provides detailed descriptions of survey protocol
implementation. Bioregional Level A bioregional coordinator with at least 2 years of similar supervisory experience
will be responsible for survey implementation, training, and performance evaluation. If survey work is accomplished under contract, the bioregional coordinator will be
responsible for contract inspection and monitoring of data quality. Annual field crews
will consist of two-person teams. Each crew should have at least one member who
has field experience with goshawks and knowledge of goshawk vocalizations, sign,
and behavior and who can serve to train inexperienced partners. The bioregional
coordinator will conduct a 1-week training session each spring to standardize
understanding of survey protocols, goshawk identification and vocalizations, and
data recording procedures. Training sessions should be conducted in association with
goshawk study sites where nesting goshawks may be observed by trainees. At the completion of each PSU survey visit, data entry forms and maps will be
assembled and reviewed for inconsistencies or incomplete data by the survey crew
leader. Following this review, the survey outcome data will be entered into National
Resource Information System (NRIS) Fauna and transmitted to the bioregional
coordinator. The bioregional coordinator shall be responsible for reviewing and
compiling data and for arranging for statistical analyses. 2-18 Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide Critical Areas of Standardization Success of the bioregional monitoring design largely depends on obtaining
high-quality data, so most aspects of data collection are considered critical for
standardization. Broadcasting equipment must meet the criteria stated in chapter
3. Field personnel must be alert and vigilant, not only at the call points, but when
walking between call points. Weather conditions must be favorable (no rain and no
wind stronger than 15 mph) for a survey to be valid. Surveyors must not use vehicles
to travel between call points, because the time spent walking between call points is
part of the survey. Dawn Acoustical Surveys can be used to acquire information on territory status
before bioregional monitoring commences, but results from these surveys are not
included with the bioregional results. The bioregional monitoring design must adhere
to a two-visit Broadcast Acoustical Survey protocol in order to achieve consistent
results among all sampled PSUs. The overall design is also critical: PSU size, as well as distances between
transects and call points, should not be altered. 2.3.3 Data Entry Forms A standardized field data collection form (appendix D) will be created by each
bioregional coordinator and used to record data during surveys. At each call point,
the time, call point number, and goshawk detection codes will be entered, providing
a detailed narrative of the survey visit progress. Station numbers on the data entry
form will be referenced on an attached PSU map. When all call points in a PSU are
finished, the results for each of the two visits in the PSU will be entered or uploaded
into the PSU relational database (described in an appendix of future updates of
this technical guide). Data input fields include PSU ID number, visit date, observer
names, weather conditions, visit start time, and visit end time. At each numbered call
station, start time and detection code will be recorded. For each PSU, a survey map will be created and maintained in a GIS. Using the
most recent digital orthophotoquad as a base layer, the survey map should clearly
display PSU boundaries, transect routes, and numbered call points. A printed copy of
this map (scale = 1:15000: 8.5x11” sheet) will accompany the field data collection
form during each visit. Use of this standardized map will facilitate orientation of
surveyors within the PSU, and the recording of detection locations. 2-19 Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide 2.3.4 Survey Logistics Before the monitoring program begins, the bioregional coordinator will develop an
annual plan of operation that will address, at a minimum, the following logistical
considerations for administering and conducting surveys: •
Facility and equipment needs—acquisition and maintenance of CD players and
amplifiers, batteries, compasses, maps, and other field equipment. •
Transportation and access management—acquisition of vehicles, management
of fueling and mechanical maintenance; arrangements for specialized licenses or
authorization for use of all terrain vehicles; arrangements for spring clearing of
road obstructions or chainsaw safety training for survey crews. •
Safety plan and equipment—development of a job hazard analysis for all aspects
of surveys and review for needed revisions annually; acquisition of first-aid kits
and training for survey crews. •
Radio communications—radio frequencies, procedures for contacting the
dispatch center, radio communications procedures. •
Flagging and marking schemes—scheme for identifying transects and call
stations; coordination with other resource units to avoid overlapping marking. •
Permits and handling procedures—according to State and Federal guidelines
under the Institutional Animal Care and Use Committee, the use of broadcast
surveys does not require permitting. •
Agreements and memorandums of understanding (MOUs)—access agreements
(if needed) with adjacent landowners; MOU with cooperating agencies and
landowners. •
Contract administration (if work is done under contract)—frequency and mode
of contact with contractor, inspection schedule, delivery schedule, and payment
schedule. Job hazard analyses should address risks associated with driving, off-trail hiking,
high decibel amplifiers, illegal drug activities on public lands, and any local hazards. Regarding high decibel amplifiers, the bioregional coordinator should ensure that
broadcast acoustical equipment does not exceed the Occupational Safety and Health
Standards, 29 CFR 1910.95 (U.S. Department of Labor, Occupational Safety and
Health Administration 1974). Equipment can be tested prior to the field season with a
dosimeter attached to the lapel of someone holding the equipment. 2-20 Northern Goshawk Inventory and Monitoring Technical Guide 2.4 Data Storage and Management The database manager is the bioregional coordinator, and the data will be housed
wherever that coordinator is located (university, research station, or other location). In addition, survey results will be entered into NRIS Fauna for the national forests
where sampled PSUs are located, following current NRIS Fauna data entry protocols
for features, surveys, and observations. 2.5 Data Analysis 2.5.1 Estimating the Bioregional Frequency of Occurrence of Goshawks
The parameter of interest is P, the proportion of all PSUs in a bioregion with
goshawk presence. P is estimated from the proportion of all sampled PSUs with
goshawk presence in each of the four strata, or Northern Goshawk Inventory and Monitoring Technical Guide Where N1 , N2 , N3 , and N4 are, respectively, the total number of PSUs in each of
the four strata and P1 , P2 , P3 , and P4 are, respectively, the proportion of PSUs with
goshawk presence in each of the four strata. The data are binary because the outcome of each visit is either goshawk presence
or absence. Data from each sampled PSU are independent, because the sampled PSUs
were randomly selected within each stratum. Data from each visit are independent,
because the outcome of the first visit does not change the probability of detecting
presence during the second visit, assuming that the presence status remains constant
throughout each year’s sampling season. Each visit has a constant probability of missing presence when a goshawk is pres-
ent, but those probabilities (qn and qf ) might differ between visit 1 and visit 2 because
of differences in goshawk behavior between the nestling and fledgling stages. The
detection probability is 1 – qn for the nestling stage and 1 – qf for the fledgling stage. To estimate P, the bioregion must first estimate six parameters: the proportion
of PSUs with goshawk presence for each of the four strata— P1 , P2 , P3 , and P4—and
the two probabilities of missing presence— qn and qf. These parameters are derived
from the particular sequence of presence/absence data recorded for two visits to
each site, which can be one of the following sequences: 00, 01, 1•, 10, or 11. The
sequence labeled “1•” means visit 1 resulted in a detection and a second visit did
not take place. To provide data for sequences 11 and 10, a proportion, r, of all PSUs 2-21 with detections during visit 1 must be randomly selected and visited a second time
(see the Annual Design subsection under section 2.2.2). The bioregional coordinator
may choose to include all PSUs (i.e., r = 1) with detections rather than a proportion
of them, if funding is adequate. If not all PSUs have two surveys, then r needs to be
selected to provide a minimum of 30 PSUs that are surveyed a second time. The probability that selected PSU j in stratum i will have a particular sequence
of presence status (xij) follows (ignoring any adjustments related to sampling without
replacement from a finite population) (Baldwin 2004, MacKenzie et al. 2002): The likelihood function will be the product of all the individual probabilities with the log of the likelihood equal to The estimation procedure results in values for P1, P2, P3, P4, qf, and qn, that
maximize log L. Maximizing either the likelihood function or the log of the likelihood results in
the same values of the parameter estimates, but it is numerically more convenient
to use the log of the likelihood function. Standard errors will be estimated using a
bootstrap process. Additional visits and missing values will almost certainly occur due to weather,
snowpack, fire, lack of available crews, and other factors, but adjustments can
be made to the definition of f to allow for such occurrences. For now the above
formulas are adequate for planning purposes. Northern Goshawk Inventory and Monitoring Technical Guide 2.5.2 Assessing Changes in Goshawk Frequency of Occurrence Over Time 2.5.2 Assessing Changes in Goshawk Frequency of Occurrence Over Time
The ability to detect changes in frequency of occurrence will depend on the
persistence of goshawk presence from one year to the next in each sampled PSU. In a
2-year sampling period, there are four possible outcomes, expressed in the following
contingency table, with probabilities p1, p2, p3, and p4 summing to 1 (table 2.3). 2-22 Northern Goshawk Inventory and Monitoring Technical Guide Table 2.3. Two-way contingency table of goshawk PSU survey outcomes. Table 2.3. Two-way contingency table of goshawk PSU survey outcomes. Year one
Year two
Present
Not present
Present
p1
p2
Not present
p3
p4
PSU = primary sampling unit. PSU = primary sampling unit. The off-diagonal probabilities, p2 and p3, represent the total proportion of sampled
PSUs that switch from one outcome to the other between years 1 and 2 and are a
measure of the variability in frequency of occurrence between the two years. As the
difference between these off-diagonal values increases, the power to detect change
between years decreases. Each bioregion will examine their data after 2 years to
evaluate the amount of change that can be detected with specified power. If the
amount of change and associated power are acceptable to the bioregion, then changes
in goshawk frequency of occurrence can be evaluated at the end of 5 years and every
subsequent 5 years of the monitoring program. In a 2-year comparison, the analysis for difference between years is done with
McNemar’s t-test (two-tailed), a test for differences between paired proportions
(O’Brien 1998). After multiple years, the analysis is a logistic regression. If a change in frequency of occurrence is 20 percent or greater for any 5-year
period, the bioregional coordinator should assemble a team of line officers, biologists,
and research scientists to assess whether an immediate change in land management
within that bioregion is warranted. Northern Goshawk Inventory and Monitoring Technical Guide Other Environmental Variables A recommended procedure for evaluating the influence of habitat in goshawk
population changes is to create a logistic model with habitat parameters entered as
covariates. Other environmental factors may be examined, such as precipitation, prey
abundance, or recreational use. Akaike’s Information Criterion (AIC) (Akaike 1973,
1974) is a useful tool for selecting a best-fitting model from several alternatives, each
with different covariates. The AIC provides a relative measure to rank and compare
competing models (Burnham and Anderson 2002). PSU landscape pattern variables serve as the primary measures of habitat. These
variables represent landscape characteristics that are likely to influence goshawk
abundance. In addition, vegetation data collected under the FIA program can serve as habitat
data when relevant vegetation measures are analyzed. This analysis must take place
at the bioregional scale, because data collected at specific FIA points in proximity 2-23 Northern Goshawk Inventory and Monitoring Technical Guide to goshawk detections will likely not be representative of the habitat used by the
detected goshawk. 2.6.1 Expected Reports Results from each bioregional monitoring program will be summarized in an annual
report using the standard format for scientific reports: Introduction, Methods,
Results, and Discussion. The Introduction should present information and objectives
specific to the bioregion. The Methods section can briefly outline the methods
described in this technical guide and in Hargis and Woodbridge (2006), but it should
also contain methods specific to the bioregion: how the sampling frame was stratified,
number of PSUs in each stratum, and the range of dates for each of the two survey
visits. The Results and Discussion will be specific to the bioregion. The annual
report and subsequent publications are intended for use in the forest monitoring
and evaluation reports of each forest in the bioregion. The bioregional coordinator
may also choose to publish results after one or more years of monitoring in a peer-
reviewed journal. When two or more bioregions have completed at least 5 years of monitoring,
the USDA Forest Service National Headquarters Washington Office will prepare a
comprehensive report of these monitoring results. The national report will display
and compare results from each bioregion where monitoring has occurred. 2.6.2 Reporting Schedule 1. Years 1 through 4 1. Years 1 through 4 •
GIS bioregional map of PSUs, showing PSUs selected for sampling. •
Annual survey results for each sampled PSU, in tabular form and in GIS (and
migrated to NRIS Fauna). •
Annual estimate of goshawk frequency of occurrence (P) for the bioregion. •
Statistical comparison of landscape pattern in surveyed PSUs with and
without detections. At the end of year 3, sample size requirements will be
recalculated based on empirical estimates of P1 to determine whether the
sample size is adequate for estimating P at the desired level of precision. If
funding is available, sample sizes will be increased if they are inadequate. 2-24 Northern Goshawk Inventory and Monitoring Technical Guide 2. Year 5 •
Preliminary analysis of trend in goshawk frequency of occurrence. •
Logistic regression of goshawk presence in relation to habitat characteristics
from FIA data. •
Updated comparison of landscape pattern in surveyed PSUs with and without
goshawk presence. 3. Years 6 through 9 3. Years 6 through 9 •
Updated annual estimate of trend in goshawk frequency of occurrence. •
Updated annual estimate of trend in goshawk frequency of occurrence. 4. Year 10 •
Estimated trend in goshawk frequency of occurrence. At year 10, power
should be adequate to detect trends. •
Estimated trend in goshawk frequency of occurrence in relation to habitat
changes, using habitat characteristics from FIA data. 5. Products beyond 10 years Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide 5. Products beyond 10 years •
Estimates of changes in goshawk frequency of occurrence will likely improve
with continued monitoring over time. Correlations of goshawk presence
with landscape pattern and vegetation will become more apparent, enabling
scientists to improve existing models of goshawk habitat relationships. 2-25 Northern Goshawk Inventory and Monitoring Technical Guide 2-26 3.1 Objectives This chapter describes the survey protocols adopted by the Forest Service for
detecting goshawk presence, locating nests, and determining various stages of nesting
and reproductive success. Most protocols described here are from published sources
and are also used by other land management agencies and landowners throughout the
range of the northern goshawk. The primary objectives of this chapter are to describe— The primary objectives of this chapter are to describe— •
Protocols adopted by the USDA Forest Service for conducting goshawk surveys. •
Rationale for selecting certain protocols to effectively and efficiently meet
specific objectives. Northern Goshawk Inventory and Monitoring Technical Guide 3.2.1 Aspects of Goshawk Natural History Related to Survey Methodology 3.2.1 Aspects of Goshawk Natural History Related to Survey Methodology
At the geographic scale, goshawks reproduce in a broad range of vegetative
communities, ranging from extensive mature coniferous forest in coastal regions
to small patches of aspen and pine in Great Basin shrubsteppe communities. At the
landscape or home range scale, goshawks use a diverse array of habitat for foraging,
both in vegetation type and degree of openness (Squires and Reynolds 1997). At
the scale of nest-site selection, goshawks nest in the densest stands available, given
the capability of the forest type; relatively high canopy closure also appears to be a
uniformly important habitat characteristic across the range of the species (Hayward
and Escano 1989). The size of forest patches used for nesting and the degree of forest
heterogeneity within occupied landscapes appear to be highly variable across the
species’ range. Nevertheless, numerous habitat studies and modeling efforts have
found nest sites to be associated with similar factors, including proximity to water or
meadow habitat, forest openings, level terrain or ‘benches’ of gentle slope, northerly
aspects, and patches of larger, denser trees. Where forest habitats are well distributed, goshawk density is limited by territorial
behavior, resulting in fairly regular spacing between the nests of breeding pairs. (See
section 2.2.1.) Within territories, goshawks typically make between-year movements
among several alternate nests up to 1.8 km apart (Squires and Reynolds 1997, Wood-
bridge and Detrich 1994). Although most alternate nests are grouped within a stand
or cluster of adjacent stands, a search radius of 0.5 km is required to locate about 75 3-1 3-1 Northern Goshawk Inventory and Monitoring Technical Guide percent of alternate nests used over a period of several years, and a search radius of 1
km is required to locate about 95 percent of alternate nests (Reynolds et al. 2005). Phenology of migratory movements, territory occupancy, and breeding exerts an
important influence on survey timing and methods. Goshawk populations in boreal
regions, the Great Basin, and portions of the Rocky Mountain region are at least
partially migratory, whereas goshawks in Oregon, California, and the Southwest
may remain in the vicinity of their territories year round (Keane 1999, Squires and
Reynolds 1997). Adult goshawks typically return to nesting territories during March
and early April (Squires and Reynolds 1997), and nest construction commences soon
thereafter. Eggs are usually laid in mid-April to early May. 3.2.1 Aspects of Goshawk Natural History Related to Survey Methodology Incubation lasts about
30 days, resulting in hatching dates from mid-May through early June. Nestlings
remain in the nest for 36 to 42 days, typically fledging from late June through late
July. Newly fledged goshawks remain close to the nest tree for 2 to 3 weeks and then
begin making longer movements until dispersal in mid- to late August (Kennedy et
al. 1994, Squires and Reynolds 1997). Although notorious for their aggressive defense of nest sites, breeding goshawks
are typically secretive and nest sites are often difficult to locate. At specific times,
goshawks can be quite vocal in the vicinity of active nests, and this characteristic
enables the use of taped vocalizations for locating them. Goshawks do not “sing,”
however, so surveyors cannot depend on stereotyped behavioral responses to
territorial calls—a technique used successfully to census owls. For goshawks,
broadcast calling methods depend on eliciting defensive responses from adults
or food-begging responses from fledglings or the adult female. Compared with
territorial song responses, these responses vary much more and depend highly on
reproductive chronology and status. Direct visual and auditory detectability of goshawks varies during the
reproductive cycle. Before egg laying begins, detectability is high due to courtship
vocalizations and over-canopy flights. During incubation and the early nestling
stage, however, adult females are often unresponsive and detectability is very low. Defensive behavior by adult goshawks increases later in the nestling stage and
throughout the fledgling stage, resulting in increased detectability. As fledglings
reach 2 to 3 weeks of age, they begin to respond to food-begging calls, and their
highly vocal responses account for most detections late in the season (July to August)
(USDA Forest Service 2000). Survey methods also depend on indirect detection of goshawks through signs
such as old nest structures, molted feathers, feces, and remains of prey. Abundance
of signs tends to increase steadily throughout the breeding season, and signs may be
detected at territories occupied by nonbreeding goshawks. 3-2 3-2 Northern Goshawk Inventory and Monitoring Technical Guide Female goshawks begin molting primaries and secondaries during incubation;
males molt later in the summer (Henny et al. 1985). Molting results in scattered
feathers that are visible on the ground in the immediate vicinity of active nests or
roost areas beginning in May and increasing through the breeding season. Detection
of multiple feathers from an adult female goshawk is strongly indicative of an active
nest site nearby. Northern Goshawk Inventory and Monitoring Technical Guide 3.2.1 Aspects of Goshawk Natural History Related to Survey Methodology 3-3 3-3 •
Food delivery call—a short, guttural kuk, usually given singly or widely spaced,
given by the male goshawk upon entering the nest area with prey. This call
typically elicits wailing and frantic begging from the female goshawk and older
nestlings and from fledglings during the postfledging dependency period. •
Food delivery call—a short, guttural kuk, usually given singly or widely spaced,
given by the male goshawk upon entering the nest area with prey. This call
typically elicits wailing and frantic begging from the female goshawk and older
nestlings and from fledglings during the postfledging dependency period. The ability of any particular survey method to determine territory occupancy
or reproductive status is affected by the probability that a territory is occupied or by
the probability of a territory having an active or successful nest. Work conducted
to date indicates that northern goshawks exhibit high degrees of annual variation
in reproduction (Keane 1999; Reynolds and Joy 1998, 2006). Less work has been
conducted on determining annual variation in territory occupancy, largely because
determining occupancy in territories without successful nests requires intensive and
extensive surveys early in the breeding period and adult goshawks on territories
without successful nests are difficult to detect. Representative data from the Sierra
Nevada and Kaibab Plateau indicate the magnitude of annual variation observed
(table 3.1) (Keane 1999, Reynolds and Joy 1998). The proportion of territorial pairs
with active nests varied from 22 to 86 percent on the Kaibab Plateau in Arizona
during the 1990s (Reynolds and Joy 1998). Annual variation in reproduction is
associated with variation in prey and weather (Keane 1999). Annual variation in reproduction can have a large impact on the outcome of
surveys. For example, if a survey relies solely on Broadcast Acoustical Surveys
conducted during the nestling and fledgling stages, such survey efforts could have
very low probabilities of locating territories and/or determining occupancy and
reproductive status because response rates of nonbreeding territorial adult goshawks
or pairs with failed nests is unknown and probably lower and more variable than at
territories with successful nests. Table 3.1. Variation in territory occupancy, nest activity, and nest success for northern goshawks observed in the Lake Tahoe
Region, California, and Kaibab Plateau, Arizona, during 1992–96. 2 Percentage of all occupied territories fledging at least one young. g
pl
g g
y
g
Sources: Lake Tahoe Region data: Keane (1999). Kaibab Plateau data: Reynolds and Joy (1998). 1 Percentage of territories meeting criteria for “confirmed” occupancy. (See 3.5.2). 3.2.1 Aspects of Goshawk Natural History Related to Survey Methodology Molted feathers of male goshawks tend to be more widely scattered. Goshawks forcefully eject their feces, resulting in long white streaks
(“whitewash”) on the forest floor and downed trees near favored perch sites and active
nests. While these deposits are not reliably diagnostic of occupancy by goshawks,
they do indicate regular presence of a large raptor and areas deserving focused
searches. During incubation, female goshawks defecate from perch sites away from
the nest; detectable accumulations of whitewash do not occur at the nest until the
nestlings are about 10 days old and begin defecating over the nest edge (typically late
May to early June). Remains of prey items are another important source of signs used in goshawk
surveys. Goshawks frequently pluck or dismantle their prey on exposed sites such
as downed logs, stumps, or snags, leaving patches of feathers and fur. These sites,
known as “plucking posts,” can be scattered throughout the territory, but a few
typically occur near nest areas, often upslope from the nest or in an adjacent opening. Detection of patches of feather or fur pulled from medium- to large-sized prey
species such as squirrels, hares, grouse, woodpeckers, and jays is highly suggestive of
goshawk presence, and such areas deserve focused surveys. During courtship and early nest building, goshawks will add fresh material
to multiple nests before settling on a single nest for the breeding effort. Dawn
courtship vocalizations may occur at these extra nests, although the active nest may
be hundreds of meters’ distance. Detection of nests built-up with new sticks and
green sprigs, in combination with other signs such as molted feathers and whitewash,
indicates an occupied territory. Such nests are frequently misclassified as abandoned
or failed nests during survey and monitoring efforts. Largely silent outside of the breeding season, goshawks become quite vocal
during courtship and nesting. At least four distinct vocalizations may be detected
during goshawk surveys. •
Alarm call—a harsh kak-kak-kak repeated many times, typically directed toward
intruders near the nest but occasionally used between pair members. •
Wail call—a loud, plaintive, drawn-out call used in communication between pair
members. During nesting, female goshawks often wail from the nest, possibly a
form of food begging. •
Food begging call—a thin, plaintive wail given by nestling and fledgling
goshawks to solicit food delivery or express hunger. territories fledging at least one young. 3.2.1 Aspects of Goshawk Natural History Related to Survey Methodology Variable
Lake Tahoe Region
Kaibab Plateau
1992
1993
1994
1995
1992
1993
1994
1995
1996
Number of territories
17
17
19
24
37
64
82
88
100
Percent occupied1
100.0
82.4
84.2
87.5
95.3
89.0
38.6
75.0
64.5
Percent active nests
100.0
76.5
47.4
70.8
86.5
76.6
22.0
48.9
39.0
Percent successful nests2
82.4
47.1
36.8
58.3
59.0
62.5
15.8
37.5
29.0
1 Percentage of territories meeting criteria for “confirmed” occupancy. (See 3.5.2). 2 P
t
f ll
i d t
it
i
fl d i
t l
t Table 3.1. Variation in territory occupancy, nest activity, and nest success for northern goshawks o
Region, California, and Kaibab Plateau, Arizona, during 1992–96. ry occupancy, nest activity, and nest success for northern goshawks observed in the Lake Tahoe
ab Plateau, Arizona, during 1992–96. g
pl
g g
y
g
urces: Lake Tahoe Region data: Keane (1999). Kaibab Plateau data: Reynolds and Joy (1998). Northern Goshawk Inventory and Monitoring Technical Guide 3-4 During courtship and nest building, goshawks are highly susceptible to human
disturbance and have been recorded to abandon nest areas following human intrusion. Incubating females often appear to be unmoved by human intrusion near their nest,
but they may interrupt incubation for extended periods to defend the nest. Surveys
involving physical entry into potential nesting habitat should not be conducted
until late May to June. Early confirmation (but no earlier than May 15) of territory
occupancy should be determined by Dawn Acoustical Surveys or rapid visual checks
of known nests from a distance. 3.3.1 Survey Methods This section describes four basic methods for conducting surveys for northern
goshawks. The relative advantages and disadvantages of each method depend on the
objectives of a given survey. Dawn Acoustical and Intensive Search Surveys are time-
and labor-intensive methods with high detection rates; they are most appropriate
for surveys focused on known goshawk sites and patches of high-quality habitat. Broadcast Acoustical Surveys, on the other hand, are better suited for covering large
areas efficiently. These methods can be used singly or in combination to achieve a
variety of objectives. Examples of three common objectives and standardized survey
approaches are described under section 3.6 Survey Applications. 3.2.2 Sampling Designs The survey methods described in this chapter are intended for a variety of purposes,
and the design used for each purpose will vary. If the objective is to conduct an inven-
tory over a large area, the sampling design can be a stratified random sample or sys-
tematic sample from a randomly selected start point within a predetermined inventory
area. The importance of using a specific sampling design and ensuring randomization
cannot be overemphasized for large area inventories. Convenience sampling in roaded
areas and within proposed projects does not constitute an area inventory. The biore-
gional monitoring design described in chapter 2 provides a useful framework for large
area inventories, because sample units are based on approximate size of goshawk
territories and stratification provides an efficient use of inventory funds. In general, a specific sampling design is needed if the objective is to obtain
an estimate from a sample of goshawk nests or territories rather than to conduct
a complete census. If the objective is to determine whether goshawks are actively
nesting within a proposed project area, the design will be more in keeping with a
census, because it will be necessary to survey all potential habitats with a variety of
survey techniques to maximize the likelihood of finding an active nest. The rigor of a
sampling design is less important than the survey outcome, and randomization is not
needed. It is important, however, to ensure that habitats considered to be of marginal
quality are included in the survey to minimize the probability of missing a nest. If the objective is to map the distribution of goshawk territories within a
prescribed area, such as a ranger district, the approach will depend on the amount
of knowledge acquired before the mapping effort. If little is known about goshawk
distribution and the area is large, a stratified random sample is recommended initially. After certain territories are known and mapped, the location of further surveys can
be based on gaps between known territories, using approximate territory size and the
physical layout of potential habitat in the unsurveyed area. See section 3.6.3 Large
Area Survey Application for details. Northern Goshawk Inventory and Monitoring Technical Guide 3-5 Northern Goshawk Inventory and Monitoring Technical Guide 3-5 Dawn Acoustical Survey This method is based on detection of courtship vocalizations and flight displays of
goshawks at their nest sites. It consists of establishing “listening stations” in close
proximity to known nest stands or patches of suitable habitat and conducting 1½-
hour listening periods at dawn during the early breeding season (Dewey et al. 2003,
Penteriani 1999). Protocol 1. Establishment of survey stations. Listening stations should be positioned within
150 m (meters) of all habitats to be surveyed. Use aerial photographs to determine
point locations providing optimal coverage of suitable habitat within a radius of 150
m (7.1 ha [hectares]). To reduce attenuation of sound by surrounding vegetation or
landforms, locate stations on slightly elevated positions, whenever possible, but not
on ridges or in large openings. Efficiency may be increased by location of stations
on roads; however, tradeoffs with position may occur within habitat patches. Stations
must be clearly marked to allow for finding their location in darkness. Whenever possible, establish multiple stations approximately 300 m apart to
achieve simultaneous coverage of entire survey area by multiple observers. 2. Timing of surveys Seasonal timing. To coincide with the peak of courtship vocalizations by
goshawks at their nest sites, surveys should be conducted during the month
preceding egg laying. Reproductive chronology likely varies between
geographic regions and elevations, and local information should be used to
estimate egg-laying dates. Backdating from estimated ages of nestlings can
be used to determine reproductive chronology; use Boal (1994) to estimate Seasonal timing. To coincide with the peak of courtship vocalizations by
goshawks at their nest sites, surveys should be conducted during the month
preceding egg laying. Reproductive chronology likely varies between
geographic regions and elevations, and local information should be used to
estimate egg-laying dates. Backdating from estimated ages of nestlings can
be used to determine reproductive chronology; use Boal (1994) to estimate 3-6 Northern Goshawk Inventory and Monitoring Technical Guide ages of nestlings, and add 33 days incubation period. For example, if nestlings
are typically 15 days old on June 15, surveys should be conducted in the area
between March 15 and April 28. Note that during years with particularly cold or
wet spring weather, onset of incubation may be delayed for up to 1 month. If no detections of goshawks are heard during the first listening session, a
repeat session should be conducted before May 1. Two sessions are required to
assign “unoccupied” status to the area surveyed. Session timing. The observer should arrive and be settled at the listening station
at least 45 minutes before sunrise. The listening session should continue until
1½ hours after sunrise. Plan carefully so that the entire listening session can be
conducted without interruptions for moving position, warming, eating, potty
breaks, and other distractions. 3. Listening session methods. During each listening session, record start and stop
time, actual sunrise onset, time and duration of goshawk vocalizations, type of
goshawk vocalizations, and direction (bring compass) and estimated distance of
goshawk vocalizations. To ensure consistency of data collection, a standard field data
collection form (appendix D) should be used. Dewey and others (2003) reported a variety of calls detected during dawn
acoustical surveys in Utah. Calls included variations of the alarm call (kak-kak-kak)
(Squires and Reynolds 1997) and plaintive wail call (Squires and Reynolds 1997). Length of vocalizations varied from short, one-note call segments to series of alarm
calls and wails lasting up to 10 seconds. 4. Locating nest sites. Northern Goshawk Inventory and Monitoring Technical Guide 2. Timing of surveys Auditory detection of goshawks during courtship indicates
occupancy of the surveyed forest patch; subsequent location of the nest should not be
attempted until after the estimated date of hatching. Intensive Search Surveys should
be employed to locate nests. 5. Observer training. The principal requirement of this method is familiarity with
vocalizations of goshawks and other species likely to be detected during surveys. Taped examples of goshawk alarm and wail calls, as well as vocalizations of the
pileated woodpecker (Dryocopus pileatus), northern flicker (Colaptes auratus),
sapsuckers (Sphyrapicus spp.), and Cooper’s hawk (Accipiter cooperii) should be
memorized and reviewed before conducting surveys. An important aspect of Dawn Acoustical Surveys is observer transportation
during early spring when snow conditions may limit access to many survey areas. Safety and logistical feasibility are important concerns when using snowmobiles and
skis before sunrise, often in rugged terrain. Prior experience with forest carnivore,
great gray owl (Strix nebulosa), and goshawk surveys has shown, however, that safe, 3-7 3-7 efficient access is possible under these conditions, particularly if observers work
in pairs. Training in snowmobile use, winter travel safety, and communications is
essential for employment of this method. Rationale Primary advantages. Surveys can be conducted early (February to April), about 2
to 4 months before Broadcast Acoustical Surveys can be initiated, and these surveys
have a very high probability of detecting goshawks if they are present (Dewey et
al. 2003, Penteriani 1999). In addition, because surveys are conducted during early
courtship, results are less affected by nest failure. Only one to two listening sessions
are required to obtain detections (Dewey et al. 2003). Penteriani (1999) reported detection rates of 100 percent at occupied goshawk
nests in hardwood forests of southern France. Validation studies by Dewey et al. (2003) demonstrated a 90-percent detection rate at listening points less than 152 m
from 20 occupied goshawk nests during March and April in conifer/conifer-aspen
forests in Utah. Goshawks were detected during Dawn Acoustical Surveys at 19 of
20 (95 percent) occupied nest stands in northern California (Keane and Woodbridge
2002). Six of the occupied sites contained nonbreeding pairs. Primary disadvantages. First, this method may be logistically difficult to apply
in areas where access is limited by snow during the period when surveys would be
conducted; however, prior success with forest carnivore surveys suggest that use of
snowmobiles and skis need not represent an obstacle. Second, listening points survey
a limited area (150-m radius); therefore, many stations may be required to cover
large areas such as timber sales. If only 1 year of survey is used, this method may not
identify nest stands that are unoccupied during the year of survey. Only one station
(17.1 ha) can be surveyed per observer per day. 3-8 3-8 Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide Intensive Search Survey This method combines visual searches for signs of goshawk presence (nests, white-
wash, prey remains, molted feathers) along closely spaced (20 to 30 m) transects
(Reynolds 1982), with Broadcast Acoustical Surveys. Goshawk calls are broadcast
along within-stand transects simultaneously while visual searches are taking place. This method is best applied to smaller units of area (4 to 40 ha), following stratifica-
tion of habitat quality (Reynolds 1982, USDA Forest Service 2000). Northern Goshawk Inventory and Monitoring Technical Guide Protocol 1. Transect routes and coverage. Use aerial photographs and transportation maps
to determine placement and direction of transects for optimal coverage of habitat
to be surveyed. Determine compass bearing to be used in each survey. Number of
observers (and simultaneous transects) is determined by size of habitat patch or
unit to be surveyed; typically a minimum of three observers is required. Attempt to
‘anchor’ start and end points of transects on roads, trails, streams, or other features. 2. Timing of surveys. Intensive Search Surveys require presence of multiple
observers within nesting habitat and are likely to cause excessive disturbance to
breeding goshawks if conducted too early in the nesting period. Do not initiate
surveys before the estimated hatching date. The effectiveness of Intensive Search Surveys increases as the breeding season
progresses, as nestling goshawks become more vocal, and as whitewash, molted
adult feathers, and other signs accumulate in the vicinity of the nest. Intensive
Search Surveys are most effective during late June through August. Searches may be
conducted until snowfall; however, detections will increasingly depend on signs as
adult and young goshawks move out of the nest area in the fall, and signs are lost due
to precipitation and leaf fall. 3. Number of surveys. If conducted by experienced observers during late June, July,
or August, a single Intensive Search Survey may be sufficient to determine goshawk
presence within a habitat patch. If any sign of the presence of goshawks (feathers,
old nests) is detected during searches, however, repeated surveys are necessary to
determine nest core location (unless occupied territory status is assumed). Data from Keane and Woodbridge (2002) indicate that single-visit detection rates
obtained with this method are about 97 percent at goshawk sites with active nests,
73 percent at sites with occupied nonbreeding status, and 43 percent at unoccupied
historical nest stands (table 3.1). If survey objectives require detection of sites with
nonbreeding adults, then two visits are required to achieve detection rates greater than
90 percent. 3-9 3-9 Northern Goshawk Inventory and Monitoring Technical Guide 4. Equipment needed. Broadcast system, self-sealing bags and labels, flagging,
compass, and reference feather collection. 4. Equipment needed. Broadcast system, self-sealing bags and labels, flagging,
compass, and reference feather collection. 5. Conducting intensive searches. Protocol Following a predetermined compass bearing,
observers should walk parallel transects spaced 20 to 30 m apart (30 m spacing may
be used in open, tall-canopied stands where visibility is high). Mark the start point
of each transect with individually marked flagging to allow retracing of the survey. The middle of the three observers should broadcast recorded goshawk vocalizations
at points every 250 m along the transect, on every third transect line (all observers
follow procedure 3 under Broadcast Acoustical Survey). Surveyors should attempt to
maintain 250x250 m spacing of broadcast stations. Searches should be conducted at a leisurely pace, allowing ample time for
scanning the ground for signs, logs and low limbs for plucking sites, and all trees for
nest structures. Any signs encountered (feathers, prey remains) should be collected
in self-sealing bags labeled by transect location. Visual or auditory detections
of goshawks should be recorded by transect location and detection type. Careful
attention to the location of adjacent observers, especially the middle (broadcasting)
observer, and to the compass bearing is important for maintaining consistent spacing
of individual transects. At the end of each individual transect, each observer should stop, flag the
transect end point, and move to the start point of the next transect. If transects are
directed back into the same habitat patch, the “hinge” or end observer should space
the new transect no more than 20 m from the previous transect; this spacing reduces
the potential of unsurveyed strips of habitat between transect groups. To ensure
consistency of data collection, a standard field data collection form (appendix D)
should be used. 6. Postsurvey activity. After completing a survey, the observers’ notes, data forms,
and collections should be immediately reviewed. Any collected feathers should be
identified by comparison with reference samples. The USDA Forest Service guide,
Feathers of Western Forest Raptors and Look-Alikes, located on the CD inside the
back cover of this technical guide, can be used to aid in identifying feathers collected
during surveys. Prey remains should be identified and the frequency of occurrence of
each prey type should be assessed for each transect area. Any reports of whitewash
and prey remains should be mapped, based on transect location notes. The entire area
actually surveyed should be mapped. Northern Goshawk Inventory and Monitoring Technical Guide Protocol Although whitewash and/or prey remains may indicate presence of other
raptors, whitewash and remains of typical goshawk prey (e.g., snowshoe hare [Lepus
americanus], Steller’s jay (Cyanocitta stelleri), northern flicker, and various species
of grouse and tree squirrel) are suggestive of goshawk presence and trigger “possible 3-10 Northern Goshawk Inventory and Monitoring Technical Guide presence status” and followup survey of the suitable habitat surrounding (min. 300-
m radius) the site. This need for a followup survey is particularly true if the initial
survey was conducted early in the season, before July. Because female goshawks molt during incubation and nest attendance, their molted
flight feathers are typically found in the immediate vicinity of occupied nests. Male
goshawks molt later in the season, and their feathers may be found over a larger area. Detection of goshawk feathers triggers “occupied status” and followup surveys of the
suitable habitat surrounding the site (min. 300-m radius) to locate the active nest. If visual or auditory detection of a goshawk is made during an Intensive Search
Survey and signs are present in the stand surveyed, the area should be considered oc-
cupied. (See section 3.5.) To locate the nest, followup surveys of the suitable habitat
surrounding the site (300-m radius) should be conducted 1 to 2 weeks after the initial
survey. Visual or auditory detection of a goshawk made during an Intensive Search
Survey, but with no signs encountered in the stand, suggests that a nesting area may
be located adjacent to the area searched. Broadcast Acoustical Surveys of the stand
and adjacent stands should be conducted. Rationale Primary advantages. Compared to the Broadcast Acoustical Survey, the Intensive
Search Survey yields a higher probability of identifying nest stands when goshawks
are not currently breeding or nests have failed (table 3.2), and it can detect alternate
but inactive nest stands. If experienced observers conduct surveys, this method
may be completed within one breeding season and provide high confidence that the
area searched does not contain a goshawk breeding site. Conclusions drawn from
searches conducted within a limited area during a single season, however, may not be
applicable to surrounding habitat. Northern Goshawk Inventory and Monitoring Technical Guide
3-11
Table 3.2. Comparison of detection rates of two survey methods for northern goshawks. Method
Territory plot status
Nesting
Occupied nonnesting
Unoccupied–old nests1
Broadcast Acoustical Survey
One visit
0.90
0.64
0.36
Two visits
0.94
0.87
0.59
Three visits2
1.00
0.96
0.73
Intensive Stand Search Survey
One visit
0.97
0.74
0.43
Two visits
1.00
0.93
0.67
Three visits
1.00
0.98
0.81
1 Rate is for detection of old nests at unoccupied territory plots. 2 Three-visit probability calculated using binomial expansion of one-visit detection p. Source: Keane and Woodbridge (unpublished data). Table 3.2. Comparison of detection rates of two survey methods for northern goshawks. 1 Rate is for detection of old nests at unoccupied territory plots. 3-11 Primary disadvantages. Intensive Search Surveys are labor intensive and best suited
to assessment of small patches of habitat 4 to 40 ha in size. A survey requires a
minimum of three people to be effective. This method is not likely to detect goshawks
if the nest is farther than 200 m from the area being surveyed. The effectiveness
of this method also can vary depending on the time of the breeding period during
which it is conducted. In general, the effectiveness of this method increases with time
during the breeding season as more signs may be present in occupied nest stands later
in the breeding period. Surveys conducted later in the breeding period, however, may
be less effective in territories with early nest failures, particularly in regions where
summer monsoons can reduce detection of whitewash. This method depends highly on detection of signs and nest structures, but
these signs may be present regardless of current goshawk reproductive status. For
this reason, detecting signs or nests triggers an “occupied” status for the stand
surveyed and surrounding area, regardless of current reproductive status. Northern Goshawk Inventory and Monitoring Technical Guide Rationale Additional
surveys during 1 or more years may be required to locate the nest site and establish
appropriate management zones. 3-12 Northern Goshawk Inventory and Monitoring Technical Guide Broadcast Acoustical Survey This method is based on broadcast of taped goshawk calls at points along transect
routes to elicit responses from defensive territorial adult goshawks and their young. Often termed the “Kennedy-Stahlecker Protocol,” it is currently the standard method
used by the USDA Forest Service and many others. The efficacy of this method
has been evaluated in terms of response rates at known successful nests (Joy et al. 1994, Kennedy and Stahlecker 1993, Watson et al. 1999), and recently at territories
occupied by nonbreeding goshawks (Keane and Woodbridge 2002). Protocol The protocol is based on the methods described by Kennedy and Stahlecker (1993),
with refinements from Joy et al. (1994) and Watson et al. (1999). Adjustments to the
number of surveys required and spacing of calling stations were made to optimize
probability of detection and survey effort and cost. 1. Establishment of survey transects and stations. Before initiating surveys, use
aerial photographs and topographic maps to determine optimal placement of survey
transects. Draw detailed maps of survey routes and station location and provide
them to crews conducting surveys. When possible, establish start and end points of
transects along existing roads, trails, streams, or other landforms. The maximum
distance between parallel transects should be 250 m. Minimize number of stations
located on roads, unless roads are entirely within the habitat of interest. Call stations should be located 200 m apart along each transect. To increase
coverage, offset station locations on adjacent transects by 100 m. The most important
factor in transect and station placement is completeness of coverage; to achieve
acceptable confidence in survey results, all suitable habitat should be within 150 m of
a calling station. For project surveys, the survey area should include the proposed project area plus
an additional buffer beyond the project boundary. For projects involving significant
modification of forest structure (e.g., commercial thinning), the survey should extend
800 m beyond the project boundary. This distance corresponds to the mean radius
of the postfledging area (about 200 ha) and will allow for detection of territories
that overlap the project area. For projects that involve minor modification of forest
structure (underburning, light underthinning, light salvage) surveys need extend only
400 m beyond the project boundary. 2. Timing of surveys. Surveys should be conducted during the nestling and fledgling
stages, including early postfledging dependency. This period corresponds to June 1
to August 15 over much of the range of the northern goshawk. When possible, use 3-13 Northern Goshawk Inventory and Monitoring Technical Guide local information on nestling ages and dates to estimate hatching dates. After August
15, many fledgling goshawks will have moved out of the immediate vicinity of the
nest stand, making location of the actual nest more difficult. Survey results might be
unreliable after August 30. Surveys may begin half an hour before sunrise and should
cease half an hour before sunset. 3. Calling procedure. Protocol At each calling station, broadcast at 60 degrees from the
transect line for 10 seconds, then listen and watch for 30 seconds. Repeat this
sequence two more times, rotating 120 degrees from the last broadcast. Repeat the
three-call sequence again. After the last sequence, move to the next station. Move
(walk) between stations at an easy pace, listening and watching carefully for goshawk
calls and signs. The majority of time will be spent walking between stations, so it
is important to be alert for goshawks approaching, often silently, to investigate the
surveyor. Do not survey from vehicles or use vehicles to move between stations. Use
of two observers will likely enhance the probability of visual detections of goshawks;
however, experienced surveyors may conduct surveys singly (unless it is part of the
bioregional monitoring design, in which case two surveyors is mandatory). To avoid
misidentifying broadcasts of coworkers, simultaneous surveys should be conducted
no closer than two transect widths apart. •
During the nestling stage, broadcast the adult alarm call. •
During the late nestling and fledgling stages, broadcast the juvenile begging or
wail call. This call is more likely to elicit responses from juvenile goshawks. Do not survey under conditions such as high winds (greater than 15 mph) or rain
that may reduce ability to detect goshawk responses. Record the detection type, compass bearing, station number, and distance
from transect of any responses detected. Attempt to locate the goshawk visually
and determine the sex and age (adult versus juvenile/fledgling) of the responding
individual. To ensure consistency of data collection, a standard field data collection
form (appendix D) should be used. 4. Number of surveys. Surveys should be conducted at least twice during a given
year. Detection rates of one-, two-, and three-visit surveys are given in table 3.1. Depending on the survey objective, surveys may need to be conducted during 2
consecutive years. See section 3.6 Survey Applications for discussion of multiyear
surveys. 5. Equipment. Effective coverage of a survey area depends on the surveyor’s ability
to broadcast sound that can be detected at least 200 m from the source. Kennedy
and Stahlecker (1993) and Fuller and Mosher (1987) recommend using equipment 3-14 Northern Goshawk Inventory and Monitoring Technical Guide producing at least 80 to 110 dB output at 1 m from the source. Protocol Regardless of the type
of equipment used, broadcast goshawk calls should be audible at least 200 m from the
calling station. Until recently, the most commonly used broadcast equipment has been a small
personal cassette player connected to a small megaphone. Recent developments
include CDs and MP3 players as storage media and improved digital amplifiers that
store goshawk calls on internal chips. Other equipment required for surveys include compass, binoculars, flagging or
other station markers, and self-sealing bags and labels for feathers and prey remains. 6. Preparation for survey. Study the appearance and typical flight patterns of
goshawks and similar species before conducting surveys. Recent field guides should
be consulted to review the field marks of male, female, and juvenile goshawks, as
well as those of Cooper’s hawks and red-tailed hawks (Buteo jamaicensis). Practice recognizing goshawks under field conditions before conducting
surveys. Training sessions should include visits to a few known nests to enable
survey personnel to develop familiarity with goshawk behavior and vocalizations. Identification of goshawk nests, plucking posts, feathers, whitewash patterns, and
typical prey remains are also important aspects of survey preparation. The USDA
Forest Service guide, Feathers of Western Forest Raptors and Look-Alikes, located on
the CD inside the back cover of this technical guide, may be used to aid in identifying
feathers collected during surveys. Learn the typical vocalizations of goshawks and species with similar calls by
listening to recorded examples. Examples of high-quality recordings of goshawks
and sound-alikes are available from the Cornell Laboratory of Ornithology program,
Birds in Forested Landscapes, and from the USDA Forest Service recording, Voices
of Western Forest Raptors, included in the CD located inside the back cover of
this technical guide. Field experience is important in learning to distinguish the
vocalizations of goshawks from those of mimics such as gray jays (Perisoreus
canadensis) and Steller’s jays. These species are capable of producing excellent
imitations of goshawk calls, particularly the female wail and juvenile begging
call, and often respond to broadcast calls. Pileated woodpeckers, northern flickers,
sapsuckers, and Cooper’s hawks also have calls similar to those of goshawks. 7. Interpretation of goshawk responses. Surveyors should be aware of different
types of responses likely to be encountered during surveys. Joy et al. (1994) classified
responses into three categories: vocal nonapproach, silent approach, and vocal
approach. The frequency of each response type varies between sexes, ages, nesting
stage, and vocalization broadcasted. Northern Goshawk Inventory and Monitoring Technical Guide Protocol Northern Goshawk Inventory and Monitoring Technical Guide 3-15 Northern Goshawk Inventory and Monitoring Technical Guide •
Vocal nonapproach—goshawks may respond by perching away from the
surveyor, often at the nest, and vocalizing. This response is commonly elicited
from older nestlings and juveniles as begging calls, in response to broadcast of
either alarm or food-begging calls. •
Silent approach—goshawks, particularly adult males, will frequently fly silently
in the direction of the surveyor to investigate and may be visible only briefly. Silent approach by female goshawks during the nestling and fledgling stages
typically indicates an active nest within 200 m, but male responses may be long
distances from the nest. Failure to detect this common response is a likely cause
of false negative survey results. •
Vocal approach—commonly in response to broadcast of alarm calls, adult female
goshawks (and, less often, males) frequently fly toward the surveyor while
vocalizing alarm calls. This response typically indicates the active nest is within
200 m, particularly if the adult goshawk remains in the vicinity of the surveyor. 8. Locating active nests. Searches for active nests may be conducted immediately
following goshawk detections (particularly vocal approaches or attacks); however,
it is often necessary to review the results from multiple surveys and stations from
a larger area to approximate the likely areas to search. Response type, distance
and direction from transect, and distribution of habitat should be plotted on aerial
photographs, and the Intensive Search Survey method should be employed. 8. Locating active nests. Searches for active nests may be conducted immediately
following goshawk detections (particularly vocal approaches or attacks); however,
it is often necessary to review the results from multiple surveys and stations from
a larger area to approximate the likely areas to search. Response type, distance
and direction from transect, and distribution of habitat should be plotted on aerial
photographs, and the Intensive Search Survey method should be employed. Northern Goshawk Inventory and Monitoring Technical Guide Rationale Primary advantages. The Broadcast Acoustical Survey is a commonly used,
standardized protocol with estimates of effectiveness at breeding and nonbreeding
sites and with a known rate of effort and cost (Joy et al. 1994, Watson et al. 1999). It
is efficient (table 3.2) and applicable to large areas of land. In the protocol described
here, minor adjustments to the number of surveys required and spacing of calling
stations were made to optimize probability of detection and survey effort and cost. Primary disadvantages. Effectiveness has been studied largely at active nests
(Watson et al. 1999, Kimmel and Yahner 1990, Kennedy and Stahlecker 1993). Effectiveness is likely reduced at nonbreeding or failed sites (Keane and Woodbridge
2002) (table 3.2). Studies of territory occupancy, breeding, and success rates
suggest that 20 to 80 percent of territories could be missed in a given year due to
nonbreeding or failed reproductive status if detection rates are low at these sites. A
high proportion of responses are from fledglings, which are not present at failed or
nonbreeding sites. Multiple years of surveys may partially mitigate this factor. Recent
work reported by Watson et al. (1999) suggest that increased numbers of surveys per
year or closer spacing of sample points (compared to Kennedy and Stahlecker 1993)
may be needed to increase probabilities of detecting active nest sites. 3-16 Northern Goshawk Inventory and Monitoring Technical Guide Watson et al. (1999) reported that the probability of detecting an active nest was
affected by the distance from the call point and the number of broadcast samples
conducted at a call point. They reported single-visit probability of detections of 42
percent at 100 m from active nests, 25 percent at 250 m, and 20 percent at 400 m. Based on cumulative response curves, they estimated that single visits to nests had
probability of detections of 60 percent at 100 m and 38 percent at 250 m. Kennedy
and Stahlecker (1993) reported detection rates of 73 percent during the nestling
stage and 77 percent during the fledgling stage at 100 m from active nests based on
single visits. Little is known about the probability of detecting nonbreeding adult
goshawks at inactive territories or territories with failed breeding attempts (Kennedy
and Stahlecker 1993, Kimmel and Yahner 1990, Watson et al. 1999). Northern Goshawk Inventory and Monitoring Technical Guide Aerial Nest Survey Primary advantages. In coniferous and mixed-forest ecosystems, visibility of
goshawks is strongly limited by dense evergreen forest canopies, and survey
methods require visual searches from beneath the canopy. Surveys from airplanes
and helicopters, however, may be employed in some deciduous forest types in which
nests are not concealed by vegetation. This method has been successfully used to
locate occupied goshawk nests in pure stands of quaking aspen (Populus tremuloides)
in the Great Basin (Herron et al. 1985, Younk and Bechard 1994). Studies of the
effectiveness of aerial surveys for goshawks have not been conducted, and detection
rates are unknown. Primary disadvantages. Aerial searches for tree-nesting raptors must be conducted at
slow speeds (45 to 70 km/hr: Fuller and Mosher 1987) to allow visual access to the
most trees within a stand. For this reason, helicopters and ultralight craft are probably
best suited for goshawk surveys under typical conditions. Younk and Bechard (1994)
used helicopters to survey widely spaced, relatively small stands of riparian aspen
in Nevada. Their surveys were conducted before the emergence of aspen catkins in
April and consisted of systematic searches for stick nests with signs of breeding
activity. Foot searches were later employed to confirm goshawk presence and
breeding status at nests identified from the air. It is unknown whether aerial surveys
may be applicable in other deciduous forest systems, such as the Great Lakes Region,
where stands of aspen may be intermixed with coniferous forest types. Rationale Keane and
Woodbridge (2002) reported single-visit detection rates of 64 percent at occupied
territories with failed nests or nonbreeding adults, compared with 90 percent at
sites with active nests (table 3.1). Response rates are lower and more highly variable
at territories with failed reproductive attempts, and particularly at territories with
nonbreeding adults, relative to territories with active and successful nests. Several issues require further consideration and research. First, further research
is needed to evaluate the relationship between detection rates and distances between
sample points. Second, given uncertainty regarding the efficacy of this method
in detecting nonbreeding goshawks or failed nest attempts, multiyear surveys are
required to have a high confidence in locating active nests (DeStefano et al. 1994). Third, this method is likely very sensitive to observer bias (observer experience
and motivation). Finally, the method is labor intensive and can be difficult to fully
implement in steep, rugged terrain. 3-17 Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide 3.4 Data Storage All data on goshawk observations and surveys will be entered into the National
Resource Information System (NRIS) Fauna application of the USDA Forest
Service using NRIS Fauna version 1.3.1 or later versions as they become available. The Feature, Observation, and Survey tools are to be used for entering goshawk
observation and survey data. Refer to the NRIS Fauna User Guide and Web site
(http://www.fs.fed.us/emc/nris/fauna/) for instructions on how to enter data into NRIS
Fauna. Both classroom and Web conference training sessions are available and may
be tailored, on request, to specifically discuss entry of goshawk monitoring data. The capability of NRIS Fauna may be expanded in the future to include a Goshawk
Observation and Survey Tool. Method Validation Protocols for goshawk surveys are well established, and standardized surveys have
been conducted on this species for more than 12 years (Joy et al.1994, Kennedy and
Stahlecker 1993, USDA Forest Service 2000). No evaluations of the potential bias introduced from observer variation on
northern goshawk survey methods and results have been conducted. Observer
variation has been demonstrated to influence the effectiveness of wildlife surveys
(Verner 1985, Verner and Milne 1989). Experience and motivational levels of
observers conducting the fieldwork likely have significant effects on the efficacy of
northern goshawk surveys. Surveys are often conducted by seasonal technicians with little or no experience
with northern goshawk behavior, identification, or survey methodologies. Keane
and Woodbridge (2002) compared detection rates of experienced and inexperienced
teams conducting Broadcast Acoustical and Intensive Search survey protocols. 3-18 Northern Goshawk Inventory and Monitoring Technical Guide Detection rates of inexperienced observers in this study were initially lower than
those of experienced observers but rapidly improved to roughly the same levels by
early July following visits to numerous occupied goshawk territories. Detection rates of inexperienced observers in this study were initially lower than
those of experienced observers but rapidly improved to roughly the same levels by
early July following visits to numerous occupied goshawk territories. Personnel Qualifications and Training Standardized training materials should be developed and provided to field personnel
planning to conduct goshawk surveys. Training materials should include identification
of vocalizations of goshawks and sound-alikes, identification of goshawks and other
forest raptors, identification of molted feathers of forest raptors, and a detailed
description of survey protocol implementation. Voices of Western Forest Raptors
and Sound-Alikes and Feathers of Western Forest Raptors and Look-Alikes are two
products distributed with this technical guide for the purposes of training and field
survey use. Training sessions should be conducted in association with goshawk study
sites where trainees can observe breeding goshawks. Survey crews should consist of two people with one person assigned as crew
leader. The survey crew leader should have field experience with goshawks and
knowledge of goshawk vocalizations, signs, and behavior, and the ability to train
inexperienced partners. At the completion of each survey visit, data entry forms and
maps should be assembled and reviewed for inconsistencies or incomplete data by the
survey crew leader. Northern Goshawk Inventory and Monitoring Technical Guide 3.5.1 Presence Simple determination of whether goshawks are present or absent in a given area may
be adequate for broad-scale monitoring (i.e., the Bioregional Monitoring Design)
in which information on nest site location or reproductive status are not required. Presence is one criterion used to establish territory occupancy, but presence can also
represent subadult or nonterritorial goshawks (“floaters”). The following types of evidence are used to determine presence: The following types of evidence are used to determine presence: •
Goshawks seen or heard in the survey area. •
Presence of goshawk molts (feathers) in the survey area. 3.5 Data Analysis and Interpretation of Survey Results Survey results (detections of goshawks and their signs) must be evaluated with
specific criteria for determining the status of a territory or survey area. Even 3-19 with clearly defined criteria, some ambiguity will always be present in status
determinations because of the high mobility and secretive nature of nesting
goshawks. Positive data such as vocal responses and molted feathers are easily
interpreted, whereas negative or scant data are difficult to prove. Status determinations are strongly influenced by the intensity and areal extent
of survey efforts. Conducting a brief Intensive Search Survey may be adequate
to determine lack of goshawk presence within a 50-acre nest stand; however, this
determination cannot be extrapolated to an entire territory or watershed. Status determinations are also influenced by the objectives of the survey. For
project surveys, lack of detections may mean that goshawks do not inhabit the
project area or that the surveys were conducted within a goshawk home range but not
within the defended core area. It is important to establish a priori whether surveys
are for simple presence or for occupied nest sites within some prescribed area. The
following categories of area or territory status are used to describe outcomes of
goshawk surveys and should be used in effects determination under the National
Environmental Policy Act (NEPA). 3.5.2 Occupancy Occupancy is defined by the presence of territorial adult goshawks within a nesting
area, regardless of reproductive status. Types of evidence used to determine
occupancy are similar to those used for presence/absence, except that more evidence
of consistent use is required to determine territorial occupancy. For demographic
studies, Reynolds and Joy (2006) defined an occupied territory as (1) a territory in
which goshawks were observed on two or more occasions or (2) a single observation
of an adult goshawk combined with the presence of molted feathers, feces, and new
nest construction in a season. These criteria are applied annually to survey results
obtained at goshawk territories with a previous history of occupancy. In areas without
a previous history of goshawk occupancy, however, determination of occupancy 3-20 Northern Goshawk Inventory and Monitoring Technical Guide should include evidence that goshawks detected are in fact within a territory and did
not originate outside of the survey area. should include evidence that goshawks detected are in fact within a territory and did
not originate outside of the survey area. should include evidence that goshawks detected are in fact within a territory and did
not originate outside of the survey area. should include evidence that goshawks detected are in fact within a territory and did
not originate outside of the survey area. The following types of evidence indicate occupancy: •
Goshawks exhibiting defensive behavior in the survey area. •
Goshawks seen or heard in the survey area. •
Presence of goshawk molts in the survey area. •
New construction (greenery) and/or down on nest structure. •
Goshawk feces in the survey area. •
Presence of prey remains in the survey area. Determination of confirmed occupancy requires at least one of the following: •
Detection of adult goshawks exhibiting defensive behavior (alarm calls,
approaching observer while vocalizing). •
Any combination of three of the six evidence types listed above in the survey area. •
Combination of visual/auditory detection and molted feathers, visual/auditory
detection and new nest construction, or molted feathers and new nest construction
observed in the survey area. Determination of possible occupancy requires at least one of the following: •
Location/observation of a visual/auditory detection, molted feathers, or new nest
construction. •
Combination of prey remains and feces in the survey area. Assignment of “nonoccupied” status to a survey area is problematic because of
the intensive effort required to support this determination. 3.5.2 Occupancy If survey results are not
compelling, it is preferable to categorize areas without detections as “surveyed with
no detection.” To determine occupancy status more precisely, see section 3.3.1 Survey
Methods for the level of effort and detection rates used for determining occupancy
status for each method. Northern Goshawk Inventory and Monitoring Technical Guide 3.5.4 Successful Nest Active nests are considered successful if one or more fledglings survive to the
branching or fledging stage (more than 34 days old). Active nests are considered successful if one or more fledglings survive to the
branching or fledging stage (more than 34 days old). Active nests are considered successful if one or more fledglings survive to the branching or fledging stage (more than 34 days old). Direct evidence of fledged young includes the following: •
Observation of one or more young goshawks judged to be at least 34 days old on
nest or within the nest area. •
Auditory detection of more than one goshawk giving begging calls near a nest
with signs of recent fledging (copious feces on ground, down on nest) after the
usual fledging date (early July to August). Indirect evidence of fledged young includes the following: Indirect evidence of fledged young includes the following: •
Observation of an active nest with signs of recent fledging (copious feces on
ground, down on nest, molted feathers, prey remains). •
Observation of remains of predated fledglings (more than 34 days old based on
length of primary or tail feathers) in the nest area. If nest checks are made while nestlings are younger than 34 days old, the nest
may be classified as “active with young,” but nest success remains unknown. 3.5.3 Breeding Breeding status is indicated by a nest that has supported a reproductive attempt in the
current breeding year. Nonreproducing goshawks may reconstruct or add greenery to
one or more nests during the courtship period; therefore, a determination of breeding
requires evidence of egg laying. Direct evidence of egg laying includes observation of the following: Direct evidence of egg laying includes observation of the following: •
Eggs (during climb to nest, from upslope, or with a mirror). •
Nestlings. •
Fledglings in the nest tree or nest area. 3-21 Northern Goshawk Inventory and Monitoring Technical Guide Indirect evidence of egg laying includes the following: •
Observation of adult female in incubation posture (sitting low on the nest, often
barely visible) on 2 or more separate days. •
Presence of eggshell fragments below nest or near nest tree (fragments may be
from failed eggs as well as after hatching). •
Presence of dime-sized nestling feces below the nest tree (typically found when
nestlings are more than 4 days old). 3.5.5 Fledging Rate Accurate determination of the number of fledglings produced at goshawks nests is
made difficult by the variability in fledging dates and behaviors of male and female
fledglings. Male goshawks may leave the nest up to 10 days earlier than females,
and fledglings may or may not return to the nest to roost and feed. Recently fledged
goshawks are often lost to predation and are likely to be overlooked in fledgling
counts. Simple counts of late-stage nestlings (28 to 34 days old) have the potential to
miss early-fledging males or individuals laying down low in the nest cup, especially
in larger broods. If productivity data are desired, it is preferable to use counts of large nestlings
(24 to 30 days old) as a surrogate for actual number fledged. If counts are made from
the ground (nest tree not climbed), they should be repeated at least once to increase 3-22 Northern Goshawk Inventory and Monitoring Technical Guide the probability of detecting all individuals. At nests with limited visibility, such
counts are unlikely to consistently provide accurate information. 3.6 Survey Applications Goshawk survey protocols may be used individually or in combination to address
a variety of objectives. It is often desirable to vary the intensity or areal extent of
surveys to most efficiently achieve specific objectives, depending on the type of
goshawk data required, timing of projects, budgetary constraints, and logistical
considerations. The most common objectives of goshawk surveys are territory monitoring, small-
area surveys for forest management projects, and large-area surveys for assessments
or broad-scale management projects. The survey protocol applications provided
below are designed to increase efficiency by maximizing detection rates and focusing
survey effort. 3.6.1 Territory Monitoring Application This application is for monitoring territory occupancy, determining nest locations,
and determining reproductive success and productivity. The application is a stepwise
process, based on the use of three survey protocols that are described in detail in
section 3.3.1. To maximize efficiency, the stepwise procedure uses intensive methods
early in the season, on areas most likely to contain the active nest. If goshawks are not
detected during the first survey steps, more extensive methods are employed to locate
new, widely spaced alternate nests. The periodic relocation of nest sites is an important and often overlooked aspect
of goshawk-breeding behavior. Monitoring efforts focused on one or two known
alternate nests are unlikely to accurately determine occupancy and breeding status
of entire territories, which often encompass alternate nests scattered over an 800-ha
area. If budgetary or logistical constraints limit survey efforts to a smaller area, the
status determination must be made at that scale and not extrapolated to the entire
territory. Northern Goshawk Inventory and Monitoring Technical Guide Level 1 Survey (option 1) Conduct the Dawn Acoustical Survey protocol at points within 200 m of known nest
sites, starting with the last known nest. •
If goshawks are detected, status = occupied. •
If goshawks are detected, status = occupied. •
Conduct the Intensive Search Survey around the detection area during the
incubation or nestling stage to determine the breeding status. •
If goshawks are not detected, go to the Level 2 Survey. Level 2 Survey Conduct the Intensive Search Survey protocol of all forest habitats within 500 m of
last known nest. Conduct the Intensive Search Survey protocol of all forest habitats within 500 m of
last known nest. •
If an active goshawk nest is found, status = breeding. Stop. •
If goshawks or signs are found but an active nest is NOT found, status =
occupied. Repeat the survey in the area of detection in 2 weeks. If goshawks or signs are
NOT found, go to the Level 3 Survey. Protocol Preparation. Using recent aerial photographs or digital orthophotoquad maps,
superimpose a grid (100x100 m cell size) over the “territory area”; a 0.6-km radius
surrounding the last known nest or geometric center of all known alternate nests
in a territory. In particular, this map should display roads, streams, drainages, and
openings that will be helpful for locating plotted nests, areas to be searched, and
broadcasting stations in the field. 3-23 Northern Goshawk Inventory and Monitoring Technical Guide Level 1 Survey (option 2) Conduct the Intensive Search Survey protocol of all forested areas within a 100-m
radius of all known nests with known territories. Start with the last known nest. The
survey should be conducted after hatching through 3 weeks of postfledging or about
late May through mid-August. Surveys may be conducted earlier (during incubation)
but will likely be less effective due to lack of signs and lack of defensive behavior by
incubating females. •
If an active goshawk nest is found (with an incubating hawk or nestlings), status
= breeding. Stop. •
If goshawks or signs (minimum criteria for signs are molted feathers associated
with multiple patches of whitewash and/or a nest showing signs of recent
reconstruction) are found, but an active nest is NOT found, status = occupied. To
locate an active nest, go to the Level 2 Survey. •
If the initial Intensive Search Survey protocol was conducted during the
incubation period (late April to mid-May), observers may repeat the Level 1
Survey in 2 to 3 weeks instead of conducting the Level 2 Survey. •
If the initial Intensive Search Survey protocol was conducted during the
incubation period (late April to mid-May), observers may repeat the Level 1 Survey in 2 to 3 weeks instead of conducting the Level 2 Survey. •
If goshawks or signs are NOT found, go to the Level 2 Survey. Rationale Effort-intensive methods such as Dawn Acoustical Surveys and Intensive Search
Surveys have higher detection rates and may be conducted earlier in the breeding
season than Broadcast Acoustical Surveys. Early-season surveys are critical for
detecting breeding attempts that fail during incubation and before Broadcast
Acoustical Surveys are typically implemented. If early failures are undetected,
territories will incorrectly be classified as nonbreeding. If intensive methods focused in known nest cores and high-priority habitat fail
to detect goshawks or signs, more extensive methods must be employed to locate
alternate nests, which may be up to 2 km from known nest sites. Without these
extensive Broadcast Acoustical Surveys, determination of status cannot be made for
the entire territory. The status determinations made within this stepwise approach are not
absolute; they have an associated confidence estimate based on field data. Long-
term monitoring data from the Kaibab Plateau (Reynolds et al. 2005) indicate that
searching a 0.5 km radius around known nests will capture about 75 percent of
the alternate nests within a territory. A radius of 1 km yields around a 95 percent
likelihood of capturing all alternate nests within a territory. Level 3 Survey Conduct the Broadcast Acoustical Survey protocol (two visits) within a 1,600-m
(1-mile) radius of the last known nest. Delete from the Level 3 Survey those areas
previously searched in the Level 1 & 2 Surveys. This technique is most effective after
the eggs hatch, typically after late May or early June, depending on the location. 3-24 Northern Goshawk Inventory and Monitoring Technical Guide •
If an active goshawk nest is found, status = breeding. Stop. •
If an active goshawk nest is found, status = breeding. Stop. •
If goshawks or signs are found but an active nest is NOT found, status = occupied
nonbreeding. Stop. •
If goshawks or signs are found but an active nest is NOT found, status = occupied
nonbreeding. Stop. •
If goshawks or signs are NOT found, status = unoccupied. Stop. Northern Goshawk Inventory and Monitoring Technical Guide 3.6.2 Small Area Survey Application Many land management activities occur at scales considerably smaller than goshawk
territories or home ranges. The analysis of environmental effects for such projects
may require knowledge of goshawk nest site locations only within a limited area
(4 to 160 ha). Project surveys typically are employed to address two information
needs: location of territory “cores” for long-term habitat management and location of
currently active nests for mitigation or avoidance of disturbance. Habitat management. For projects that involve removal or adverse modification of
goshawk nesting habitat, managers are interested in knowing whether the project area con-
tains goshawk nest sites, regardless of whether they are active during the year of project
implementation. Survey methods used in this case must be capable of detecting nonbreed-
ing goshawks or signs and unused nests. Mitigation of disturbance. For projects that do not involve significant modification
of goshawk habitat, impacts to goshawks may still occur in the form of disturbance of
nesting goshawks. For such projects, managers are often interested in knowing whether 3-25 Northern Goshawk Inventory and Monitoring Technical Guide goshawks are actually nesting during the year of project implementation, so that seasonal
restrictions may be applied to mitigate disturbance. Survey methods used in this case are
geared toward efficiently locating currently active nests as early in the breeding season as
possible. For either survey objective, Dawn Acoustical Surveys provide a very high
probability of detecting goshawks regardless of breeding status. If access to the
survey area is feasible during early spring and the patches of suitable habitat to be
surveyed are relatively small, Dawn Acoustical Surveys are the preferred method for
early detection of occupancy by goshawks. Detections with this method are usually
obtained in March and April, and a brief search of the detection area during the late
incubation or (preferably) nestling stage is required to determine the location of an
active nest. If early spring access is not feasible, Intensive Search Surveys should be used
during the nestling and/or fledgling stages. Compared with Broadcast Acoustical
Surveys, single-visit detection probabilities are higher for this method (table 3.2), as
is the likelihood of locating goshawk signs, unused nests, or other indications of a
territory core. 3.6.3 Large Area Survey Application Broad scale surveys for goshawks may be required for watershed analyses, Broad scale surveys for goshawks may be required for watershed analyses,
population research projects, or analyses of environmental effects for extensive forest
management projects. In most cases, information is available to enable managers
to focus intensive surveys early in areas most likely to be occupied by goshawks,
reducing the need for more extensive methods later in the breeding season. This
application provides a step-down survey plan to reduce the area requiring physical
surveys and maximize efficiency in surveying specific habitats. Use data from known goshawk territories in the area (same bioregion, forest
type) to create a descriptive model of suitable (likely to be occupied) habitat versus
low-quality habitat. Model parameters should include forest structure (species
composition, size class, density), as well as patch size, topographic features (slope,
aspect), and hydrologic features (meadows, riparian habitats) that are often associated
with goshawk nest areas. In a Geographic Information System, use this model to
classify a vegetation data layer into high-priority survey areas (suitable nesting
habitat) and low-priority survey areas. Plot the locations of previously known goshawk territory centers (or last known
nests) onto the habitat map and create a buffer of 1600-m radius around each point. The area requiring surveys can be reduced by deleting these buffers from the survey
area. This radius is likely to contain the current nest site and is unlikely to contain an
additional territory. 3-26 Northern Goshawk Inventory and Monitoring Technical Guide After removing known territory buffers from the survey area, develop a step-
down survey plan for the remaining area. The selection of survey protocols and the
timing of survey efforts should be based on the amount, distribution, and patch size
of suitable nesting habitat and feasibility of early spring access. Step 1. If access into the survey area is feasible in early spring, use Dawn Acousti-
cal Surveys in patches of high-priority habitat, patches with past goshawk sightings, and
historic nest areas. Focusing on these areas enables early deletion of newly discovered
occupied areas from the survey area and allows early inclusion of goshawk management
into project planning. If Dawn Acoustical Surveys are not feasible, use Intensive Search
Surveys as early as possible in high-priority patches. Step 2. Conduct Intensive Search Surveys in all high-priority habitat patches
during the nestling stage (May to June). 3.6.3 Large Area Survey Application Start with habitat patches located 2.5 to 5 km
from currently known territory centers. If detections are not obtained in areas of high-
priority habitat, repeat the Intensive Search Survey in at least 2 weeks or move to the
Broadcast Acoustical Survey in step 3. Step 3. If large areas of suitable habitat remain to be surveyed, establish transects
for Broadcast Acoustical Surveys to cover the entire area. Surveys should be
conducted twice, once during the nestling stage and again during the fledgling stage. Northern Goshawk Inventory and Monitoring Technical Guide 3.7 Reporting When reporting results of goshawk surveys and determination of territory or survey
area status, it is important to describe the protocol or application employed, extent
and intensity of survey efforts, and the criteria used to determine status. These
descriptions are particularly important when decisions are based on negative survey
results. These data should be considered as support for project design standards and
for determinations of environmental effects. This information is frequently lacking in
project files or, subsequently, the administrative record for projects that are assessed
for NEPA or National Forest Management Act compliance. Estimates of confidence in status determinations may be derived from detection
rate information in table 3.2. For example, a timber sale unit receiving a single
Broadcast Acoustical Survey visit (to protocol) would have a 64 percent probability
of being correctly classified if occupied by goshawks. 3-27 Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide 3-28 Appendix A. Literature Cited Akaike, H. 1973. Information theory as an extension of the maximum likelihood
principle. In: Petrov, B.N.; Csaki, F., eds. Second international symposium on
information theory. Budapest, Hungary: Akademiai Kidao: 267-281. Akaike, H. 1974. A new look at the statistical model identification. IEEE Transactions
on Automatic Control. 19: 716-723. American Ornithologists’ Union. 1957. Check-list of North American birds. 5th ed. American Ornithologists’ Union. 1957. Check-list of North American birds. 5th ed. American Ornithologists’ Union. Baltimore, MD: Lord Baltimore Press. 691 p. American Ornithologists’ Union. Baltimore, MD: Lord Baltimore Press. 691 p. Babbitt, C.; Galvin, P.; Hitt, S.M.; Hoffman, S.W.; MacFarlane, A.; Rait, K.; Sandell,
C.I.; Sauber, M.; Schulke, T.; Wardwell, G. 1991. Letter to the Department of Interior
requesting to amend a petition to list the northern goshawk. Phoenix, AZ: Maricopa
Audubon Society. 5 p. Bailey, R.G. 1980. Description of the ecoregions of the United States. U.S. Bailey, R.G. 1980. Description of the ecoregions of the United States. U.S. Department of Agriculture Misc. Pub. 1391. Washington, DC: U.S. Department of
Agriculture. 77 p. Department of Agriculture Misc. Pub. 1391. Washington, DC: U.S. Department of
Agriculture. 77 p. Baldwin, J. 2004 (May 7). Personal communication. Research statistician. U.S. Department of Agriculture, Forest Service, Pacific Southwest Research Station,
Albany, CA. Boal, C.W. 1994. A photographic and behavioral guide to aging nestling northern
goshawks. Studies in Avian Biology. 16: 32-40. Burnham, K.P.; Anderson, D.R. 2002. Model selection and multimodel inference: a
practical information-theoretic approach. 2nd ed. New York: Springer-Verlag. 488 p. DeStefano, S.S.; Daw, S.K.; Desimone, S.M.; Meslow, E.C. 1994. Density and
productivity of northern goshawks: implications for monitoring and management. Studies in Avian Biology. 16: 88-91. Dewey, S.R.; Kennedy, P.L.; Stephens, R.M. 2003. Are dawn vocalization surveys
effective for monitoring goshawk nest-area occupancy? Journal of Wildlife
Management. 67: 390-397. Ferland, C.F.; Forsman, E.D.; Hargis, C.D. 2006. The northern goshawk bioregional
monitoring design: What will it cost? Wildlife Society Bulletin. 34: 215-217. A-1 A-1 Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide Fretwell, S.D. 1972. Populations in a seasonal environment. Princeton, NJ: Princeton
University Press. 217 p. Fretwell, S.D. 1972. Populations in a seasonal environment. Princeton, NJ: Princeton
University Press. 217 p. Fuller, M.A.; Mosher, J.A. 1987. Raptor survey techniques. In: Giron Pendleton, Fuller, M.A.; Mosher, J.A. 1987. Raptor survey techniques. In: Giron Pendleton,
B.A.; Millsap, B.A.; Cline, K.W.; Bird, D.M., eds. Raptor management techniques
manual. Appendix A. Literature Cited National Wildlife Federation Scientific and Technical Series 10. Washington,
DC: National Wildlife Federation: 37-65. Geissler, P.H.; Fuller, M.R. 1987. Estimation of the proportion of an area occupied by
an animal species. In: Proceedings of the section on survey research methods of the
American Statistical Association. Alexandria, VA: American Statistical Association:
533-538. Hargis, C.D.; Woodbridge, B. 2006. A design for monitoring northern goshawks
(Accipiter gentilis) at the bioregional scale. Studies in Avian Biology. 31: 275-288. Hayward, G.D.; Escano, R.E. 1989. Goshawk nest-site characteristics in western
Montana and northern Idaho. Condor. 91: 476-479. Henny, C.J.; Olson, R.A.; Fleming, T.L. 1985. Breeding chronology, molt, and
measurements of accipiter hawks in northeastern Oregon. Journal of Field
Ornithology. 56: 97-112. Herron, G.B.; Mortimore, C.A.; Rawlings, M.S. 1985. Northern goshawk. Nevada
raptors: their biology and management. Biology Bulletin No. 8. Reno, NV: Nevada
Department of Wildlife. 114 p. Joy, S.M.; Reich, R.M.; Thomas, V.L. 2003. Northern goshawk inventory and
monitoring: developing sampling strata for the Colorado-Wyoming bioregion. Final
report. Fort Collins, CO: Geoquanta. 30 p. Joy, S.M.; Reynolds, R.T.; Leslie, D.G. 1994. Northern goshawk broadcast surveys:
hawk response variables and survey cost. Studies in Avian Biology. 16: 24-30. Keane, J.; Woodbridge, B. 2002. Unpublished data. On file with: USDA Forest
Service, Sierra Nevada Research Center, 2121 Second Street, Suite A101, Davis, CA. Keane, J.J. 1999. Ecology of the northern goshawk in the Sierra Nevada, California. Davis, CA: University of California. 134 p. Ph.D. dissertation. Kennedy, P.L.; Stahlecker, D.W. 1993. Responsiveness of nesting northern goshawks
to taped broadcasts of 3 conspecific calls. Journal of Wildlife Management. 57: 249-
257. A-2 Northern Goshawk Inventory and Monitoring Technical Guide Kennedy, P.L.; Ward, J.M.; Rinker, G.A.; Gessaman, J.A. 1994. Post-fledging areas in
northern goshawk home ranges. Studies in Avian Biology. 16: 75-82. Kimmel, J.T.; Yahner, R.H. 1990. Response of northern goshawks to taped conspecific
and great horned owl calls. J. Raptor Research. 23: 107-112. Krebs, C.J. 1989. Ecological methodology. New York: Harper and Row. 654 p. Levy, P.S.; Lemeshow, S. 1999. Sampling of populations: methods and applications. 3rd ed. New York: John Wiley & Sons. 420 p. MacKenzie, D.I.; Nichols, J.D.; Lachman, G.B.; et al. 2002. Estimating site occupancy
rates when detection probabilities are less than one. Ecology. 83: 2248-2255. McNab, W.H.; Avers, P.E. 1994. Ecological subregions of the United States: section
descriptions. USDA Forest Service Administrative Publication WO-WSA-5. Washington, DC: U.S. Department of Agriculture, Forest Service. 267 p. Appendix A. Literature Cited O’Brien, R.G. 1998. A tour of UnifyPow: a SAS module/macro for sample size
analysis. In: SAS Institute, ed. Proceedings of the 23rd SAS Users Group International
Conference. Cary, NC: SAS Institute: 1346-1355. Penteriani, V. 1999. Dawn and morning goshawk courtship vocalizations as a method
for detecting nest sites. Journal of Wildlife Management. 63: 511-516. Reynolds, R.T. 1982. North American accipiter hawks. In: Davis, D.E., ed. Handbook
of census methods for terrestrial vertebrates. Boca Raton, FL: CRC Press: 288-289. Reynolds, R.T. 2002 (April 10–12). Personal communication. Research wildlife
biologist. Fort Collins, CO: U.S. Department of Agriculture, Forest Service, Rocky
Mountain Research Station. Reynolds, R.T.; Joy, S.M. 1998. Distribution, territory occupancy, dispersal, and
demography of northern goshawks on the Kaibab Plateau, Arizona. Final Report
for Arizona Game and Fish, Heritage Project No. 194045. Forest Collins, CO: U.S. Department of Agriculture, Forest Service, Rocky Mountain Research Station. 76 p. Reynolds, R.T.; Joy, S.M. 2006. Demography of northern goshawks in northern
Arizona, 1991–1996. Studies in Avian Biology. 31: 63-75. Reynolds, R.T.; Wiens, J.D.; Joy, S.M.; Salafsky, S.R. 2005. Sampling considerations
for demographic and habitat studies of northern goshawks. Journal of Raptor
Research. 39: 274-285. A-3 Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide Ricklefs, R.E. 1979. Ecology. 2nd ed. New York: Chiron Press. 966 p. Robbins, C.S.; Bystrak, D.; Geissler, P.H. 1986. The Breeding Bird Survey: its first
fifteen years, 1965–1979. U.S. Fish & Wildlife Service Resources Publication 157. Washington, DC: U.S. Fish & Wildlife Service. 196 p. Rodriguez, R.L. 2004 (October 17). Personal communication. Forest biologist. U.S. Department of Agriculture, Forest Service, Dixie National Forest, Cedar City, UT. Sauer, J.R.; Hines, J.E.; Fallon, J. 2001. The North American Breeding Bird Survey,
results and analysis 1966–2000. Version 2001.2. Laurel, MD: USGS Patuxent
Wildlife Research Center. http://www.mbr-pwrc.usgs.gov/bbs/bbs.html. [Date
accessed unknown]. Silver, R.D.; Galvin, P.; Hirsch, S.; Hitt, S.M.; Hoffman, S.W.; MacFarlane, A.;
Sandell, C.I.; Sauber, M.; Schulke, T.; Wardwell, G.; Wotkyns, S. 1991. Letter to the
Department of Interior petitioning to list the northern goshawk (Accipiter gentilis)
in Utah, Colorado, New Mexico, and Arizona under the Endangered Species Act. Phoenix, AZ: Maricopa Audubon Society. 61 p. Squires, J.R.; Reynolds, R.T. 1997. Northern goshawk (Accipiter gentilis). In: Poole,
A.; Gill, F., eds. The birds of North America, No. 298. Philadelphia, PA: Academy of
Natural Sciences; Washington, DC: American Ornithologists’ Union. 32 p. Urquhart, N.S.; Kincaid, T.M. 1999. Appendix A. Literature Cited Trend detection in repeated surveys of ecological
responses. Journal of Agricultural, Biological and Environmental Statistics. 4: 404-414. U.S. Department of Agriculture (USDA), Forest Service. 1991. Planning for
management and recovery. FSM 2672 Amend. 2600-91-4. Washington, DC: U.S. Department of Agriculture, Forest Service. USDA Forest Service. 1995. Threatened, endangered and sensitive plants and
animals. FSM 2670 Amend. 2600-95-7. Washington, DC: U.S. Department of
Agriculture, Forest Service. USDA Forest Service. 2000. Survey methodology for northern goshawks in the
Pacific Southwest Region. Vallejo, CA: U.S. Department of Agriculture, Forest
Service, Pacific Southwest Region. 148 p. U.S. Department of Labor, Occupational Safety and Health Administration. 1974. 29
CFR Part 1910: Occupational safety and health standards. Subpart G. Occupational
health and environmental control. Federal Register 39: 23,502. A-4 Northern Goshawk Inventory and Monitoring Technical Guide U.S. Fish & Wildlife Service (USFWS). 1996. 50 CFR Part 17: Endangered and
threatened wildlife and plants; 90-day finding for a petition to list the northern
goshawk in the Western United States. Federal Register 61 (110): 28,834-28,835. USFWS. 1997. 50 CFR Part 17: Endangered and threatened wildlife and plants; 12-
month finding for a petition to list the Queen Charlotte goshawk as endangered and
to designate critical habitat. Federal Register 62 (171): 46,710-46,712. USFWS. 1998a. 50 CFR Part 17: Endangered and threatened wildlife and plants;
notice of 12-month finding on a petition to list the northern goshawk in the
contiguous United States west of the 100th meridian. Federal Register 63 (124):
35,183-35,184. USFWS. 1998b. Status review of the northern goshawk in the forested West. Office
of Technical Support-Forest Resources. Unpublished report. Portland, OR: U.S. Fish
& Wildlife Service. 250 p. Verner, J. 1985. Assessment of counting techniques. Current Ornithology. 2: 247-302. Verner, J.; Milne, K. 1989. Coping with sources of variability when monitoring
population trends. Annales Zoologici Fennici. 26: 191-199. Watson, J.W.; Hays, D.W.; Pierce, D.J. 1999. Efficacy of northern goshawk broadcast
surveys in Washington State. Journal of Wildlife Management. 63: 98-106. Whaley, W.H.; White, C.M. 1994. Trends in geographic variation of Cooper’s hawk
and northern goshawk in North America: a multivariate analysis. Proceedings of the
Western Foundation of Vertebrate Zoology. 5: 161-209. Woodbridge, B. 1998. Unpublished data. On file with: U.S. Fish & Wildlife Service,
Yreka Fish & Wildlife Office, 1829 S. Oregon Street, Yreka, CA. Woodbridge, B.; Detrich, P.J. 1994. Territory occupancy and habitat patch size of
northern goshawks in the southern Cascades of California. Northern Goshawk Inventory and Monitoring Technical Guide Appendix A. Literature Cited Studies in Avian Biology. 16: 83-87. Younk, J.V.; Bechard, M.J. 1994. Breeding ecology of the northern goshawk in high-
elevation aspen forests of northern Nevada. Studies in Avian Biology. 16: 119-121. A-5 A-5 Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide A-6 Appendix B. Interactive Spreadsheet for Determining Bioregional Sample Size
Stratum
Habitat
Accesss
Number
of PSUs
in Stra-
tum
Pro-
por-
tion of
PSUs
with
Pres-
ence
Average
Cost per
PSU Vist
Expected
Number of
Visits per
PSU
1st
Visit
Detec-
tion
Prob-
ability
2nd De-
tection
Prob-
ability
Propor-
tion of
sites
with 2nd
Visit
after
Presence
in 1st
Visit
Asymptotic
Variance
of a Single
PSU
Optimal
Sample
Size
Arbitrary
Sample Size
Total
Arbitrary
Sample
Size
1
Primary
Easy
942
0.9
$652.00
1.88
0.65
0.65
0.8
0.373779586
30
57
79
2
Primary
Difficult
211
0.9
$692.00
1.88
0.65
0.65
0.8
0.373779586
7
2
3
Marginal
Easy
2,053
0.05
$652.00
1.99
0.65
0.65
0.8
0.063265533
26
13
4
Marginal
Difficult
1,239
0.05
$692.00
1.99
0.65
0.65
0.8
0.063265533
15
7
4,445
0.2705
$100,000.00
$100,439.07
0.038656257
78
0.049230421
$99,139.30
N
Mean
Propor-
tion
Total Cost
Actual Cost
Overall
Standard
Error
Total
Sample
Size
Arbitrary
Standard
Error
Arbitrary
Total Cost
a Version 1.1. 2005 October 20. Written by Jim Baldwin. Pacific Southwest Research Station USDA Forest Service. An interactive version is on the CD. b Calculation of Optimal Sample Size. You can fill in any of the shaded areas. All other areas are protected and change depending on your input to the shaded cells. c Disclaimer. Every effort is made to provide accurate and useful information. However, the U.S. Government, U.S. Department of Agriculture, the USDA Forest Service and their employees and
contractors assume no legal liability for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed herein. Neither the U.S. Government, U.S. Department of
Agriculture, the USDA Forest Service, nor their employees and contractors makes any warranty, express or implied, including the warranties of merchantability and fitness for a particular purpose with
respect to documents or information available from this server. All indirect, consequential, implied, punitive and special damages are deemed waived if you use the information in this workbook in any
manner. The sole remedy is the price paid or, at the seller’s choice, replacement or repair of the defective information. Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide Northern Goshawk Inventory and Monitoring Technical Guide Appendix A. Literature Cited B-1 Northern Goshawk Inventory and Monitoring Technical Guide B-1 B-2 Appendix C. Sample PSU Map Photo credit: Janice Wilson and Hui Wang. Photo credit: Janice Wilson and Hui Wang. Photo credit: Janice Wilson and Hui Wang. C-1 C-1 Northern Goshawk Inventory and Monitoring Technical Guide C-2 Appendix D. Guidelines for Constructing Field Data
Collection Forms Data collected during field surveys can be recorded and stored in a variety of ways,
including paper data forms, audio recording devices, and electronic data recorders. The advantages and disadvantages of each method vary in accordance with the field
conditions, technical capabilities, and personal preferences of survey teams. For
these reasons we do not propose a single, standardized data collection form for either
the Bioregional Monitoring Design or any other survey effort. Rather, this appendix
provides guidelines for creating a data collection form by recommending the
elements that should be included and providing standard codes for certain data types. Three general categories of information are collected during goshawk surveys:
general information about the survey, spatial data describing the exact location
of survey points and goshawk detections, and response data describing the nature
of goshawk detections. Generalized forms of these data are entered into National
Resource Information System (NRIS) Fauna, but information that is specific to
goshawk management or monitoring must be collected in the field. In the future,
a goshawk tool might be available in NRIS Fauna, but currently the specific
goshawk information must be stored elsewhere. This appendix describes the specific
information that should be collected in the field. 1. General Survey Information This information serves to describe the type of survey and conditions encountered
during the survey. At minimum, these fields should include the survey date, survey
objective, survey type, start and stop times, weather conditions, and names and
experience categories of the observers conducting the survey. The visit number (first,
second, third visit) should be clearly denoted on the form (table D.1). Northern Goshawk Inventory and Monitoring Technical Guide 2. Spatial Information Each survey area should be given an identifying number and “address” consisting
of geospatial coordinates, and every survey form or data input screen must contain a
field for this identifying number. For bioregional monitoring programs, each primary
sampling unit (PSU) will have an identifying number. For project-level surveys, the
survey points may be established first and then buffered in a Geographic Information
System (GIS) to create a survey polygon. The location accuracy must be specified. Survey points should be mapped, individually numbered, and recorded in NRIS
Fauna or a similar spatial database. Data collection forms should contain fields
(usually in tabular form) enabling observers to record observations relating to each
survey point and to the routes between points. D-1 Northern Goshawk Inventory and Monitoring Technical Guide D-1 A map depicting the PSU or survey area boundaries and locations of numbered
survey points should be associated with each survey. These maps may be easily
created in a GIS environment, incorporating features such as topography, vegetation,
and roads that facilitate orientation of observers in the field and accurate plotting of
goshawk detections. Observations of goshawks distant from survey points should be
marked on the map and keyed to entries in the data form. 3. Response Data Detections made during the survey should be clearly described and linked to their
spatial location. The start and stop time at each survey station (regardless of result)
and the time of any goshawk detection should be recorded. The type of response
(visual, auditory) and description of response (age, sex, behavior, and location of
goshawks) must be recorded; this recording may be accomplished using a system
of codes (table D.2) or in narrative form. Observations of goshawk signs (molted
feathers, whitewash, prey remains, old nests) may be recorded in the same fields. Northern Goshawk Inventory and Monitoring Technical Guide
Table D.1. General survey information codes and instructions for field survey form. General survey information
Site/PSU
PSU number or survey area name/number
Date
Month/day/year
Visit number
First, second, or third survey visit in a given year
Survey method
Broadcast Acoustical, Intensive Search, or Dawn Acoustical
Team
Names of individuals conducting survey
Wind code
1 = smoke rises (<1 mph); 2 = smoke drifts due to breeze (1–3
mph); 3 = leaves rustle, breeze felt on face (4–7 mph); 4 = leaves
and small twigs in constant motion (8–12 mph); 5 = raises dust,
small branches in motion (>12 mph)
Cloud cover code
Estimated cloud cover at midpoint of survey: 1 = <5%; 2 = 5–20%;
3 = 21–40%; 4 = 41–60%; 5 = 61–80%; 6 = 81–100%
Temperature
Estimated temperature at beginning and end of survey
Survey time
Time of start and end of survey in military time
Intensive nest
If a detection triggers a nest search, record the start and end time
search time
of the search
Post-survey review
Data sheet complete
Immediately following survey, double check data sheet for
completeness and legibility—Y/N; make corrections
Map of PSU/survey
Y = yes; after stapling map of PSU or survey area showing
area attached? locations of detections to the data sheet
Detections mapped? Y = yes; after marking all locations on PSU/survey area map and
crosschecking numbers on data sheet Northern Goshawk Inventory and Monitoring Technical Guide
Table D.1. General survey information codes and instructions for field survey form. Northern Goshawk Inventory and Monitoring Technical Guide 3. Response Data General survey information
Site/PSU
PSU number or survey area name/number
Date
Month/day/year
Visit number
First, second, or third survey visit in a given year
Survey method
Broadcast Acoustical, Intensive Search, or Dawn Acoustical
Team
Names of individuals conducting survey
Wind code
1 = smoke rises (<1 mph); 2 = smoke drifts due to breeze (1–3
mph); 3 = leaves rustle, breeze felt on face (4–7 mph); 4 = leaves
and small twigs in constant motion (8–12 mph); 5 = raises dust,
small branches in motion (>12 mph)
Cloud cover code
Estimated cloud cover at midpoint of survey: 1 = <5%; 2 = 5–20%;
3 = 21–40%; 4 = 41–60%; 5 = 61–80%; 6 = 81–100%
Temperature
Estimated temperature at beginning and end of survey
Survey time
Time of start and end of survey in military time
Intensive nest
If a detection triggers a nest search, record the start and end time
search time
of the search
Post-survey review
Data sheet complete
Immediately following survey, double check data sheet for
completeness and legibility—Y/N; make corrections
Map of PSU/survey
Y = yes; after stapling map of PSU or survey area showing
area attached? locations of detections to the data sheet
Detections mapped? Y = yes; after marking all locations on PSU/survey area map and
crosschecking numbers on data sheet D-2 Table D.2. Sample codes for recording response data in field survey form. Code
Code description
Point
Survey point number
ID#
Unique number given to each detection
Marked
ID# marked on map? Yes/No
Description of detection
SWW
Single patch of whitewash
MWW
Multiple patches of whitewash
SPR
Single prey remains (single prey item)
MPR
Multiple prey remains (as in plucking post)
SMF
Single molted feather from goshawk
MMF
Multiple molted feathers from goshawk
SGOS
Silent visual detection of goshawk
VGOS
Vocal detection of goshawk
BGOS
Both vocal and visual detection of goshawk
OSN
Inactive stick nest—goshawk characteristics
ANY
Active goshawk nest with young
ANF
Active nest with young already fledged
Age of bird(s) detected
A
Adult
J
Juvenile
N
Nestling
U
Age unknown
Location of detections
DIST
Estimate or pace distance to initial detection
D-LOC
Location of detection
CP
Detection occurred at call station
TL
Detection occurred along transect
ICB
Compass bearing to initial detection of goshawk
LCB
Compass bearing of direction of travel of departing goshawk Northern Goshawk Inventory and Monitoring Technical Guide D-3 D-4
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Preparation of Porous Liquid Based on Silicalite-1
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Materials
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Yutong Liu 1, 2, Yang Bai 1 and Tao Tian 1,* 1 Key Laboratory of Groundwater Resources and Environment, Ministry of Education, College of
Environment and Resource, Jilin University, Changchun 130012, China; tiantao@jlu.edu.cn
2 Jilin Engineering Normal University; liuyt841011@163.com 1 Key Laboratory of Groundwater Resources and Environment, Ministry of Education, College of
Environment and Resource, Jilin University, Changchun 130012, China; tiantao@jlu.edu.cn
2 Jilin Engineering Normal University; liuyt841011@163.com
* Correspondence: tiantao@jlu.edu.cn Abstract: Solid porous materials, like zeolites, have been widely used in a variety of fields such as
size and shape-selective absorption/separation and catalysis because of their porosity. But there are
few liquid materials exhibit permanent porosity. Porous liquids are a novel material that combine the
properties of fluidity and permanent porosity. It has potential applications in many fields such as gas
separation, storage and transport. Herein, we report a novel Type 1 porous liquid prepared based on
Silicalite-1. The pore size of this porous liquid was determined by positron annihilation lifetime
spectroscopy (PALS), and the CO2 capacities was determined by the intelligent gravimetric analyser
(IGA). The unique properties of this porous liquid can promote its application in many fields such as
gas storage and transport. Keywords: porous liquid; Silicalite-1; CO2 capacities; gas storage Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 15 November 2019 Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 15 November 2019 doi:10.20944/preprints201911.0181.v1 Communication 2.1. Synthesis of nanosized Silicalite-1 Nanosized S-1 zeolite has been synthesized under direct hydrothermal conditions [20]. The
initial solutions were prepared by mixing tetraethyl orthosilicate (98%, Aldrich) and
tetrapropylammonium hydroxide (1 M aqueous solution, Aldrich). The chemical composition is 9
TPAOH: 25 SiO2: 480 H2O. The silica alkoxides were hydrolyzed under slow stirring (50 rpm) for 24
h at room temperature. The obtained clear solutions were transferred in polypropylene bottles and
subjected to hydrothermal treatment in a conventional oven. The syntheses were performed at 90 °C
for 96 h. After the treatment, the zeolite suspensions were purified in a series of four steps consisting
of high-speed centrifugation (10000 rpm, 20min), removal of the mother liquor, and washed by water
for several times. After that, the sample was dried at 80 ℃ in the oven overnight and calcined at
600 ℃ for 6 h to remove organic impurity. 1. Introduction Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 15 November 2019 doi:10.20944/preprints201911.0181
Peer-reviewed version available at Materials 2019, 12, 3984; doi:10.3390/ma12233984 doi:10.20944/preprints201911.0181.v1 (TEM). The positron annihilation lifetime spectroscopy (PALS) and CO2 capacities determined by the
intelligent gravimetric analyser (IGA) were used to demonstrate its porosity. (TEM). The positron annihilation lifetime spectroscopy (PALS) and CO2 capacities determined by the
intelligent gravimetric analyser (IGA) were used to demonstrate its porosity. 2. Materials and Methods The Type 1 porous liquid (S-1-Liquid) was prepared in a three-step synthetic procedure, as
shown in Scheme 1. Scheme 1. Preparation of Porous Liquid with Nanosized Silicalite-1 Zeolite. Scheme 1. Preparation of Porous Liquid with Nanosized Silicalite-1 Zeolite. 2.1. Synthesis of nanosized Silicalite-1 2.2. Surface sol-gel process (SSP) on Silicalite-1 The SSP on S-1 surface was based on literature reports [21]. Typically, 1.0 g of predried S-1 zeolite
powder was added into a reactor under an anhydrous condition. Subsequently, 5 mL of titanium(IV)
butoxide (97%, Aldrich) in a mixture of 10 mL of anhydrous toluene (99.8%, Aldrich) and 10 mL of
anhydrous methanol (99.8%, Aldrich) was added into the reactor through a syringe. After 30 min, the
precipitate was separated and washed with anhydrous methanol to remove the unreacted
titanium(IV) butoxide. After that, an excess amount of water was mixed with the resulting sample to
hydrolyze the monolayer of titanium oxide. Finally, the sample was washed with anhydrous
methanol several times and dried at 40 ℃ in a vacuum oven. 1. Introduction Zeolites, a family of microporous aluminosilicates characterized by a regular system of inner
channels and uniform open pores [1,2], have been widely used in size and shape-selective
absorption/separation [3-11] and catalysis [12-15] due to their sharp pore size distribution, large
surface area and thermal/hydrothermal stability. When zeolites are used as adsorbents, they have
high adsorption capacity and selectivity for a variety of gas such as He [4], CO2 [7], O2 [10], N2, CH4,
C2H6 [11], and so on. As solid adsorbents, they have many advantages, such as lower energy penalties in adsorption-
desorption cycles, but they are difficult to apply in conventional liquid processes because of their
solid properties [16,17]. One way to solve this problem is liquefied the zeolites into porous liquids
that combine the properties of fluidity and permanent porosity. There are three types of porous liquids proposed by James et al. based on the nature of the host
systems [16]. Type 1 is neat liquid hosts that cannot collapse or interpenetrate, type 2 and 3 are rigid
hosts or particles of microporous frameworks dispersed in sterically hindered solvents, respectively. By now, there are several porous liquids have been reported. Dai’s group had reported a Type 1
porous liquid using hollow silica spheres as hosts (denoted by OS@HS), and determined the gas
separation for N2/CO2 [18]. Although the gas permeability and selectivity are moderately low, the
good tunability of this hybrid system affords ample choices for further optimization. James and co-
workers had prepared “porous liquids” by dissolving rigid organic cage molecules into a sterically
hindered solvent, the solubility of methane gas in this liquid has increased for about 8 times [17]. We
have reported a class of Type 3 porous liquids synthesized by solution mixing of porous hosts (ZIF-
8, ZSM-5 and Silicalite-1) and rationally designed ionic liquids [19]. The CO2 capacities measurements
confirm the permanent porosity in these liquids. These liquids have potential applications in many
fields such as gas separation, storage and transport. Herein, a Type 1 porous liquid based on nanosized silicalite-1 (S-1) zeolite, denoted as S-1-
Liquid, has been successfully prepared. The compound was characterized by Fourier-transform
infrared
(FT-IR),
thermogravimetric
analysis
(TGA),
X-ray
diffraction
(XRD),
N2
adsorption/desorption, scanning electron microscopy (SEM) and transmission electron microscopy (TEM). The positron annihilation lifetime spectroscopy (PALS) and CO2 capacities determined by the
intelligent gravimetric analyser (IGA) were used to demonstrate its porosity. 2.3. Preparation of S-1-Liquid 3. Results and Discussion The Fourier-transform infrared (FT-IR) spectra of products in each step are presented in Figure
1a. For the nanosized S-1 zeolite, the absorption peak at 799 cm-1 is due to the symmetric stretching
vibrations of the Si–O–Si bonds of zeolite and the bands at 1074 cm-1 and 1225 cm-1 are attributed to
the asymmetric stretching vibrations of the Si–O–Si bonds. The IR spectrum of S-1 after SSP is closely
related to that of S-1 (Figure S1). After surface modification, some featured bands assigned to the OS
moiety are clearly visible in the OS@S-1 spectrum, such as the stretching and bending vibrations of -
CH2- backbones at 2928 cm-1, 2870 cm-1 and 1470 cm-1. The bands at 799 cm-1, 1074 cm-1 and 1225 cm-1,
which are attributed to the stretching vibrations of the Si–O–Si bonds of zeolite, are further enhanced. In the spectrum of the S-1-Liquid, additional bands such as 2868 cm-1, 1724 cm-1, 1186 cm-1, 1094 cm-1
are attributed to the aliphatic, phenyl, sulfonate and ether, respectively. It means that the OS@S-1 is
surrounded by the PEGS completely to obtain the S-1-Liquid. q y
p
y Figure 1. FT-IR spectra (a) and TGA trace (b) of S-1, OS@S-1 and S-1-Liquid. Figure 1. FT-IR spectra (a) and TGA trace (b) of S-1, OS@S-1 and S-1-Liquid. Figure 1b shows the thermogravimetric analysis (TGA) of S-1, OS@S-1, and S-1-Liquid. There is
about 2.7% of mass loss during heating until the temperature reaches 700 ℃ for the S-1, according
to the removal of the adsorption water. The S-1 after treated by SSP has a mass loss of about 2.8%
(Figure S2), similar to the S-1, which means that there are no organic groups residue on S-1 surface
after SSP. For the OS@S-1, the loss weight is about 13.3%, corresponding to the decomposition of OS. In comparison, when the S-1 before treated by SSP reacts with the OS, the mass loss is about 6.8%,
much lower than OS@S-1 (Figure S2). It is demonstrating that the S-1 after SSP has more surface
hydroxyl compared to the S-1 to react with the OS. It means that the surface sol-gel process is efficient
to increase the surface hydroxyl of S-1. There is no significant mass loss during heating until the
temperature reaches approximately 190 ℃, demonstrating that the S-1-Liquid is solvent-free. 2.3. Preparation of S-1-Liquid 1.0 g of S-1 was dispersed in 20 mL deionized water and sonicated for 10 min. Then, 2.0 mL of
organosilane (OS), (CH3O)3Si(CH2)3N+(CH3)(C10H21)2Cl, was added into the suspension under
vigorous stirring. Subsequently, the mixture was aged at room temperature for 24 h. After that, the
pricipitate, denoted as OS@S-1, was washed with water for three times and with ethanol for three doi:10.20944/preprints201911.0181.v1 times, respectively, and dried at 100 ℃ overnight. Finally, the OS@S-1 was treated by 15.0 mL
poly(ethylene glycol) tailed sulfonate (PEGS, 16.5%, C9H19-C6H4-(OCH2CH2)20O-(CH2)3SO3K+) at 70 ℃
for 24 h. The mixture was dried at 70 ℃ and dispersed in 15.0 mL acetone for three times to remove
the KCl by-product. The sample was dried at 70 ℃ for 24 h to obtain the S-1-Liquid. The S-1-Liquid
was kept at 40 ℃ under vacuum for use. In the beginning, nanosized S-1 zeolite was used directly to prepare the S-1-Liquid, as shown in
Scheme 1(a). But disappointingly, after the replace of chloride anion of the OS by PEGS, we can’t
obtain a stable liquid phase. It is probably because there are too few hydroxy groups on the surface
of the S-1 zeolite. Then we changed the strategy. The surface sol-gel process (SSP) was used to
increase the surface hydroxy groups of S-1 zeolite before the surface modification by OS, as shown
in Scheme 1(b), yielding an optically transparent zeolite-based porous liquid (S-1-Liquid) at room
temperature. 3. Results and Discussion From
190 ℃ to 460 ℃, there is 67% of mass loss for S-1-Liquid, corresponding to the decomposition of
organic groups around the S-1 surfaces. The final loss weight is 66.5% when the temperature
approached 700 ℃. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 15 November 2019 doi:10.20944/preprints201911.0181.v1
Peer-reviewed version available at Materials 2019, 12, 3984; doi:10.3390/ma12233984 doi:10.20944/preprints201911.0181.v1 As shown in Figure 2a, the X-ray diffraction patterns of S-1 and S-1-Liquid show the similar
peaks characteristic of the MFI-type zeolite, indicating the structure of S-1 has been preserved in the
liquid. To confirm that the pores of S-1 zeolite remained empty after OS modification, OS@S-1 was
also characterized by N2 adsorption/desorption isotherms (Figure 2b). There was no significant
change in the N2 adsorption/desorption isotherm for OS@S-1, compared to S-1 zeolite. It means that
the pores of S-1 zeolite remained empty after surface modification by OS. This is an important result
to demonstrate that the OS@S-1 still has empty pores for gas transport or storage. Figure 2. XRD patterns of S-1 and S-1-Liquid (a) and N2 adsorption/desorption isotherms of S-1 and
OS@S-1 samples (b). Figure 2. XRD patterns of S-1 and S-1-Liquid (a) and N2 adsorption/desorption isotherms of S-1 and
OS@S-1 samples (b). Figure 3. SEM (a) and TEM images (b) of S-1-Liquid. Figure 3. SEM (a) and TEM images (b) of S-1-Liquid. The nanostructure of S-1-Liquid was imaged by scanning electron microscopy (SEM) and
transmission electron microscopy (TEM). As observed in Figure 3, the S-1 nanocrystals are defined
well in the PEGS to form a liquid-like polymeric medium. These nanocrystals are combined together
to form large agglomerates through the strong interaction among the surface functional groups. Positron annihilation lifetime spectroscopy (PALS) was then used to determine the average size
of the pores contained within the studied S-1-Liquid. The PALS technique measures the lifetime and
intensity of positions that annihilate in materials when the material of interest is exposed to a positron
source, which is
22NaCl in this study. Once entering the materials, positrons experience
thermalization, diffusion, and finally are trapped and annihilated by electrons. The positron lifetime
is dependent on the overlap of the positron wavefunction with the wavefunctions of the electrons in
materials. Therefore, the electron density distribution in materials, in particular the presence of open
volume can be obtained by using this technique. Peer-reviewed version available at Materials 2019, 12, 3984; doi:10.3390/ma12233984 Figure 4. The positron lifetime traces of S-1-Liquid collected at 298 K. Figure 4. The positron lifetime traces of S-1-Liquid collected at 298 K. Figure 4 shows the recorded positron lifetime spectrum as well as the fitting curve by applying
3-component analysis. The first lifetime (τ1) indicates the positrons being annihilated in the bulk of
the materials (< 200 ps). The second lifetime, τ2, is attributed to the positrons being annihilated in
defects (300-500 ps). The third lifetime, τ3, refers to ortho-positronium (o-Ps), a parallel spin complex
of a positron and electron, which forms in low electron density regions, such as free volumes, holes,
interfaces, and pores. The o-Ps lifetime and intensity are often associated with the size and
concentration, respectively, of the open volume in materials. From the fitting procedure one obtains
positron lifetimes and intensities. The o-Ps lifetime, τ3, is typically related to the average radius of a
free volume element, r, which is assumed to be spherical, by Tao-Eldrup model, t 3 = 1
2 1-
r
r + Dr + 1
2p sin 2p
r
r + Dr
é
ëê
ù
ûú
æ
èç
ö
ø÷
-1
(1) (1) where r is the empirical electron layer thickness, which is taken to be 1.66 Å[23, 24]. By applying equation (1), the o-Ps lifetime of 2.251ns correlates to an average pore size of 0.61
nm in the S-1-Liquid, this is consistent with the pore size of S-1 zeolite. where r is the empirical electron layer thickness, which is taken to be 1.66 Å[23, 24]. where r is the empirical electron layer thickness, which is taken to be 1.66 Å[23, 24]. By applying equation (1), the o-Ps lifetime of 2.251ns correlates to an average pore size of 0.61
nm in the S-1-Liquid, this is consistent with the pore size of S-1 zeolite. By applying equation (1), the o-Ps lifetime of 2.251ns correlates to an average pore size of 0.61
in the S-1-Liquid, this is consistent with the pore size of S-1 zeolite. Figure 5. CO2 adsorption-desorption isotherms of S-1-Liquid and PEGS collected below 10 bar at 298
K Figure 5. CO2 adsorption-desorption isotherms of S-1-Liquid and PEGS collected below 10 bar at 298
K To further prove that the pores of S-1 are still empty in the S-1-Liquid, the CO2 capacities of it
was determined by an Intelligent Gravimetric Analyser. 3. Results and Discussion The positron lifetime is defined as the time interval
between the injection of positions into the materials (indicated by a birth gamma ray of 1.274MeV)
and the decay of the positron-electron pairs (indicated by two 0.511MeV gamma rays traveling in
opposite directions). Data were collected using a digital oscilloscope with a system timing resolution
of 173 ps. More details about the PALS system could be found in Ref. [22]. doi:10.20944/preprints201911.0181.v1 4. Conclusions In summary, a Type 3 porous liquid S-1-Liquid was synthesized in a three-step synthetic
procedure. This porous liquid is stable and homogeneous at room temperature. It exhibits enhanced
CO2 adsorption capacity due to the permanent porosity, which was also confirmed by PALS results. We believe that this porous liquid has potential applications in many fields such as gas storage and
transport. Supplementary Materials: The following are available online at www.mdpi.com/xxx/s1, Figure S1: FT-IR
spectra of S-1 and S-1 treated by SSP; Figure S2: TGA trace of S-1, S-1 after SSP, OS@S-1 and OS@S-1 after SSP. Author Contributions: conceptualization, T.T.; methodology, T.T.; investigation, Y.L.; resources, T.T.; data
curation, Y.L.; writing—original draft preparation, Y.L.; writing—review and editing, T.T.; visualization, Y.B.;
funding acquisition, T.T. Author Contributions: conceptualization, T.T.; methodology, T.T.; investigation, Y.L.; resources, T.T.; data
curation, Y.L.; writing—original draft preparation, Y.L.; writing—review and editing, T.T.; visualization, Y.B.;
funding acquisition, T.T. Funding: This work was funded by National Natural Science Foundation of China (21771080), Science and
Technology Project of the “13th Five-Year Plan” of Jilin Provincial Department of Education (JJKH20180166KJ). Funding: This work was funded by National Natural Science Foundation of China (21771080), Science and
Technology Project of the “13th Five-Year Plan” of Jilin Provincial Department of Education (JJKH20180166KJ). Acknowledgments: We are thankful for support of this work by the State Key Laboratory of Inorganic Synthesis
& Preparative Chemistry, Jilin University. Acknowledgments: We are thankful for support of this work by the State Key Laboratory of Inorganic Synthesis
& Preparative Chemistry, Jilin University. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. Peer-reviewed version available at Materials 2019, 12, 3984; doi:10.3390/ma12233984 The CO2 uptake capacity of S-1-Liquid is
enhanced compared to the PEGS, as shown in Figure 5. The CO2 uptake value of S-1-Liquid is 0.474
wt.% at the pressure of 1 bar, while the uptake value of PEGS is 0.261 wt.%. When the pressure
increases to 10 bar, the CO2 uptake value of S-1-Liquid is 2.524 wt.%, which remains higher than that
of PEGS (2.261 wt.%). Both the S-1-Liquid and PEGS have hysteresis loops. The S-1-Liquid remains doi:10.20944/preprints201911.0181.v1 more CO2 as the pressure decreases during the desorption process due to the permanent porosity. The CO2 uptake value of S-1-Liquid is 1.406 wt.% at 1 bar, much higher than that of PEGS (0.809
wt.%). There is 55.7% wt.% of CO2 remains in the S-1-Liquid, demonstrating the potential application
for CO2 storage. more CO2 as the pressure decreases during the desorption process due to the permanent porosity. The CO2 uptake value of S-1-Liquid is 1.406 wt.% at 1 bar, much higher than that of PEGS (0.809
wt.%). There is 55.7% wt.% of CO2 remains in the S-1-Liquid, demonstrating the potential application
for CO2 storage. References 1. Corma, A. Inorganic Solid Acids and Their Use in Acid-Catalyzed Hydrocarbon Reactions. Chem. Rev. 1995,
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Absorption Fine Structure. J. Am. Chem. Soc. 2005, 127, 12924-12932. Preprints (www.preprints.org) | NOT PEER-REVIEWED | Posted: 15 November 2019 doi:10.20944/preprints201911.0181.v1 Peer-reviewed version available at Materials 2019, 12, 3984; doi:10.3390/ma12233984 14. Janda, A.; Vlaisavljevich, B.; Bell, A.T.; et al. Effects of Zeolite Structural Confinement on Adsorption
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Efficacy of Nano-Encapsulated Mandarin Oil using (Polyethylene Oxide/Polyacrylamide) and Gamma Irradiation against Culex pipiens Larvae
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Egyptian Academic Journal of Biological Sciences. F, Toxicology and Pest Control
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Vol. 16 No. 1 (2024)
www.eajbs.eg.net
Citation: Egypt. Acad. J. Biolog. Sci. (F. Toxicology& Pest control) Vol.16(1) pp51-61 (2024)
DOI: 10.21608/EAJBSF.2024.345753
Egypt. Acad. J. Biology. Sci., 16(1):51-61(2024)
Egyptian Academic Journal of Biological Sciences
F. Toxicology & Pest Control
ISSN: 2090 - 0791
http://eajbsf.journals.ekb.eg/
Efficacy of Nano-Encapsulated Mandarin Oil using (Polyethylene
Oxide/Polyacrylamide) and Gamma Irradiation against Culex pipiens Larvae
Reda S. Hassan1; Thanaa M. Sileem1; Waheed A. A. Sayed1 and Mohamed M.
Ghobashy 2
1
Biological Applications Department, Nuclear Research Centre- Egyptian Atomic Energy
Authority. Cairo, Egypt.
2
Radiation Research of Polymer Chemistry Department, National Center of Radiation
Technology, Egyptian Atomic Energy Authority, Cairo, Egypt.
*E. Mail : redahassan28812@yahoo.com ; thanaasileem@yahoo.com ;
waheed.sayed@eaea.org.eg ; Mohamed.ghobashy@eaea.org.eg
________________________________________________________________________________
ARTICLE INFO
ABSTRACT
Article History
Nano-encapsulation of essential plant oils may prove to be the most
Received:8/2/2024
effective approach to overcome their application challenges against insect
Accepted:14/3/2024 pests. Larvicidal properties of polyethylene oxide/polyacrylamide
Available:18/3/2024 (PEO/PAAM) nanogels of mandarin essential oil (MEO) against Culexpipiens
_______________
larvae were investigated. The nano-gel was prepared using an intramolecular
Keywords:
crosslinking method initiated by gamma irradiation. The resulting mandarin
Nano-gel,
essential oil (PEO/PAAm) nanogel (MEON) exhibited monodispersity, a
mosquito,
relatively small size distribution, and a low negative surface charge of -1.1 mV,
Larvicide,
suggesting enhanced stability and reduced electrostatic interactions. The 2nd
mortalityinstar larvae were more sensitive to MEON than the 3rd and 4th instar larvae at
responses,
the lower doses of 10 and 15 ppm. The LC50 and LC99 for the MEON were
physical
(11.5 and 18.4 ppm) for 2nd instar larvae; (14.5 and 23.6 ppm) for 3rd instar
larvae; and (15.3 and 33.8 ppm) for the 4th instar larvae, respectively, at 48
characteristics.
hours after treatment. These results shed light on MEON's physical attributes,
surface qualities, and biological assay and suggest that it might be a useful
substance for Culex pipiens management.
INTRODUCTION
Culex mosquitoes are known to spread important diseases to humans, for instance,
elephantiasis by the transmission of Lymphatic filariasis and West Nile, Rift Valley fever,
and encephalitis by the transmission of arboviruses (Madeira et al., 2024). Culex pipiens is
the most abundant mosquito worldwide and is widely distributed in urban and suburban
regions (Villena et al., 2024). Excessive use of chemical insecticides has caused
environmental pollution and vector resistance (Hillary et al., 2024). Essential oils (EOs)
were reported as effective toxic materials against mosquito larvae (Vivekanandhan et al.,
2023). The United States Authority for Food and Drugs has classified orange oils as safe.
The oil contains many constituents such as limonene, monoterpenes, α-pinene, βpinene,
terpinolene, and octanal (de Jesus Oliveira et al., 2024). Citrus reticulata, a mandarin EO
that is a member of the Rutaceae family, has been the subject of numerous attempts to
Citation: Egypt. Acad. J. Biolog. Sci. (F. Toxicology& Pest control) Vol.16(1) pp51-61 (2024)
DOI: 10.21608/EAJBSF.2024.345753
52
Reda S. Hassan et al.
demonstrate the insecticidal action of orange essential oils (EOs) against various insect pest
species (Sayed et al., 2020; Marouf and Harras, 2022). (Brah et al., 2023).
Although EOs have a toxic action against insect pests, they should be formulated to
avoid the vaporization of volatile chemicals to preserve their actions (Osanloo et al., 2022).
The submicron emulsion of nano-encapsulated essential oils (EOs) has been suggested as a
potentially effective pesticide formulation; these formulations improve the solubility of
poorly water-soluble oils (Ibrahim, 2020). Many nanoencapsulations of EOs were reported
as pesticide formulations against mosquitoes (Esmaili et al., 2021). Nano-gels, as a class of
nanoscale hydrogels, have attracted significant attention in recent years due to their unique
properties and promising applications in various fields, including biomedicine and drug
delivery. One of the key challenges in nano-gel synthesis is achieving a controlled and
uniform size distribution, which is crucial for their performance and effectiveness in specific
applications. Various methods have been explored for nano-gel synthesis, including
chemical crosslinking, self-assembly, and radiation-induced crosslinking (Matusiak et al.,
2020a). The ideal intramolecular crosslinking method for synthesizing nanogels has been
highlighted (Rosiak et al., 2005). Because gamma irradiation can both start and control
crosslinking reactions in aqueous polymer systems, it has become a potential process for
creating nano encapsulation. This technique offers advantages such as simplicity, scalability,
and the absence of the need for initiators or additional chemicals. Specifically, the use of
gamma irradiation in the intramolecular crosslinking process has demonstrated potential in
the production of nano-gels with a restricted size distribution, a high crosslinking density,
and a semi-permeable membrane (Alshangiti et al., 2019). For crosslinked hydrogel
(Ghobashy et al., 2021b) to be used as a template (Ghobashy et al., 2021a) and blend
polymer (Ghobashy et al., 2017) hydrogel points to utilize as green renewable assets to
protect the environment from negative effects (Madani et al., 2022). Previous studies from
our laboratory have indicated that irradiation treatment is a useful method for these hydrogel
points. In order to boost the larvicidal efficacy of mandarin essential oil and expand its
application against Culex pipiens, the current trial intends to create a unique formulation of
the oil.
MATERIALS AND METHODS
Insects and Chemicals:
Mosquito larvae were reared in the insectary of the nuclear reach center, Inshas,
Egypt. The larvae were reared under optimum humidity (75 ± 5%), temperature (25 ± 2◦C),
and a photoperiod of 12:12 light/dark hours. Mandarin essential oil was purchased from the
"Binsib Company for Agriculture Development" in Cairo, Egypt. PEO was obtained from
Loba-chemieindoaustranal Co., Mumbai, India. Acrylamide monomer (AAm) was obtained
from Sigma-Aldrich Co. Hydrochloric acid (35.5 wt.%) and sodium hydroxide flakes were
supplied from the market.
Gamma-Irradiation-Induced Polymerization of (PEO/PAAm) Nanogel:
The optimum intramolecular crosslinking technique is used in the particular instance
of the synthesis of polyethylene oxide/polyacrylamide (PEO/PAAm) nanogel, with gamma
irradiation catalyzing radical polymerization processes. The experimental procedure
involves preparing a 0.5 wt% solution of the AAm monomer and a 0.1 wt% solution of PEO
by dissolving 0.05 g and 0.01 g of PEO in 10 ml of distilled water. The resulting mixture is
then subjected to sonication for 5 minutes, which promotes the mixing and dispersion of the
components within the solution. The pH of the solution is adjusted to 1 using a 35.5 wt%
hydrochloric acid (HCl) solution. The pH adjustment is crucial for the subsequent
polymerization reaction. Following the pH adjustment, the solution is exposed to gamma
Efficacy of Nano-Encapsulated Mandarin Oil using and Gamma Irradiation against Culex pipiens Larvae
53
irradiation, which serves as the initiator of radical polymerization reactions. The irradiation
dose employed in this synthesis is 5 kGy. The synthesis is conducted using a 60Co source
established at NCRRT, EAEA, in Cairo, Egypt. The gamma irradiation triggers the
crosslinking of the polymers, leading to the formation of the PEO/PAAm nanogel.
Encapsulation of Mandarin Oil Inside (PEO/PAAm) Nanogel:
The pH of the resulting suspension solution of PEO/PAAm) nanogel was adjusted
to 6 by adding a concentrated solution of NaOH (added slowly while stirring at 150 rpm,
allowing the nanogel particles to agitate). The resulting clear solution (A) was taken to the
ultrasonic bath (70 w) for 15 minutes at room temperature. For the encapsulation of mandarin
oil inside the PEO/PAAm) nano-gel, the emulsion solution of oil (B) was prepared by
dissolving 5 ml of oil with 1 ml of tween 80 in 10 ml of distilled water, stirring at 350 rpm
for 10 minutes, and keeping at 4 ºC for 24 hours. Then, both solutions (A) and (B) were
mixed gradually with stirring for 10 minutes, and the pH of the solution was adjusted to 4
using HCl solution (35.5 wt. %). The pH adjustment is crucial for maintaining the stability
and properties of the encapsulated mandarin oil within the nanogel. The resulting mixture
now contains the encapsulated mandarin (MEO) essential oil within the PEO/PAAm)
nanogel (MEON).
Characterization of (PEO/PAAm)/MEO Nano-gel (MEON):
Transmission Electron Microscope (TEM):
The structure of the MEO nanogel was examined by transmission electron
microscopy (H-7650, Hitachi, Japan); the prepared formulation was already diluted with
distilled water before the examination. One drop of the MEON formulation was put on a
film-coated copper grid before staining with a (2% w/v) phosphotungstic acid solution. The
grid was allowed to dry for 10 minutes at ambient temperature before visualization under a
transmission electron microscope.
Dynamic Light Scattering (DLS) and Zeta Potential:
The particle size (PS) and polydispersity index (PDI) were investigated using
Zetasizer Nano ZS (Ver.6.12, Malvern Instruments Ltd., Worcestershire, England) using the
dynamic light scattering technique at room temperature. MEON was previously diluted with
distilled water (100-fold) before any measurements. The structure of the MEON was
examined by transmission electron microscopy (H-7650, Hitachi, Japan); the prepared
formulation was already diluted with distilled water before the examination. One drop of the
EO-loaded formulation was put on a film-coated copper grid before staining with a (2% w/v)
phosphotungstic acid solution. The grid was allowed to dry for 10 minutes at ambient
temperature before visualization under a transmission electron microscope.
Bioassay Tests:
A bioassay was performed using second, third, and fourth instar larvae of Culex
pipiens kept at a temperature of 25 ± 2 °C and a relative humidity of 75 ± 5%. The larvae
were treated with different concentrations of PEO, PAAM, and MEO nanogel according to
the standard protocol. Four concentrations of nanogel (0, 10, 15, 20, 25, and 30 ppm) were
used. For each treatment, five replicates of twenty-five larvae were used. Mortality was
recorded after 24- and 48-hours post-treatment.
Statistical Analysis:
Lethal concentrations were determined at the 95% confidence level using a probit
regression line. LC50 and LC99 were calculated (Finney, 1971). The percentages of larval
mortality were calculated for each concentration of the tested samples. Correction for control
mortality was conducted using Abbott's formula. A one-way ANOVA followed by Tukey's
multiple comparison tests (P < 0.05) was carried out to illustrate the significance of the tested
samples from the control groups. All statistical analysis was conducted using the statistical
package for social science (SPSS) software version 14.
54
Reda S. Hassan et al.
RESULTS AND DISCUSSION
Characterization of (PEO/PAAm)/MEO Nano-gel:
Figure 1, shows a transmission electron microscopy (TEM) image of MEON
particles. The nano-gel particles appear monodisperse, meaning they have a uniform size
distribution as seen in the TEM image. The diameters of the nano-gel particles are reported
to be in the range of 130–160 nm based on the scale bar in the TEM micrograph.
Fig. 1: Transmission electron microscopy (TEM) of MEON.
The monodispersity and relatively small nano-gel particle diameters suggest the
nano-gel may be suitable for various biomedical applications. The hydrodynamic diameter
and distribution of encapsulated mandarin oil were determined by the dynamic light
scattering (DLS) technique (Fig. 2.a). To deliberate the size distribution profile and
polydispersity of the synthesized nanogel of mandarin oil, the particle size distribution of
the MEON particles, as measured using a particle size analyzer, is reported to be 205 nm.
This indicates that the nanogel has a relatively uniform size distribution centered on this
value.
Fig. 2: particle size analyzer (a) particle size distribution = 205 nm and Zeta potential = -1.1
mV (b) of MEON.
Efficacy of Nano-Encapsulated Mandarin Oil using and Gamma Irradiation against Culex pipiens Larvae
55
The zeta potential of the nanogel indicates that all of the samples were negatively
charged. The absolute value of the zeta potential reached a maximum when the amount of
nanogel was 4.2 × 10−2% w/v. The zeta potential value of encapsulated mandarin oil was
23 mV (Fig. 2.b), which indicates the strong repulsion between particles and the increasing
stability of the encapsulated oil.
The gamma irradiation technique enables the synthesis of nano-gels in a one-step,
simple, and scalable manner. Water-soluble polymers can be intramolecularly crosslinked
by radiation to create nano-gels (Matusiak et al., 2020). Based on the research of Rosiak et
al. (2005), the optimal intermolecular crosslinking technique uses high-energy, low-LET
(linear energy transfer) ionizing radiation to cause aqueous polymers to crosslink. This
method results in nano-gels with a high degree of crosslinking and a narrow size distribution
(Ashfaq et al., 2021). Radiation-induced crosslinking of polymers can be used to create
hydrogels and their nanoscale counterparts, nano-gels (Dispenza et al., 2017). To develop
botanical biopesticides for use in plant protection, numerous studies have attempted to create
EO-based nano-emulsions (Campolo et al., 2020). Nano-emulsions are kinetically stable
systems with droplets ranging in size from 50 to 200 nm (Lakshmayya et al., 2023). Nanoencapsulation using polymers is a well-known method for the preservation of essential oils.
It offers plenty of benefits, including improved water solvency, compelling assurance against
degradation, the avoidance of volatile component evaporation, and tightly controlled and
targeted release (Lammari et al., 2020).
Bioassay
Figure 3, shows the mortality of 2nd instar larvae of C. pipines at 24 h after treatment
with MEON concentrations. Significant mortalities were obtained in the cases of 15, 20, and
25 ppm of MEON compared to concentrations of 0.0 and 10 ppm (F(4, 24) = 2464.2, P< 0.05).
Fig. 3: Mortality percentages of different concentrations (ppm) of MEON against 2nd instar
larvae of C. pipines at 24 and 48 h post treatments.
While after 48 hours, mortality increased gradually by increasing the concentration
levels (F(4,24) = 29.5, P< 0.05). The higher mortalities (96.0, 99.2, and 99.9%) were observed
at the tested concentrations (15, 20, and 25 ppm), respectively.
Similarly, higher mortality (99.7%) was obtained for 3rd larvae treated for 25 ppm
concentration after 24 h treatments than the mortalities recorded for the other tested
concentrations (F(4,24) = 461.6, P< 0.05) (Fig. 4). While within 48 h after treatment, the
mortality at 10 ppm concentration was still drastically low compared to 15, 20, and 25 ppm
(F(4,24) = 682.5, P< 0.05). Obtained data revealed that the mortalities of the 3rd larvae were
lower than those of the 2nd larvae.
56
Reda S. Hassan et al.
Fig. 4. Mortality percentages of different concentrations (ppm) of MEON against 3rd instar
larvae of C. pipines at 24 and 48 h post treatments.
As shown in Figure 5, the mortality percentages of treated 4th larvae at 20 ppm
were relatively lower (50.4%) compared to 25 ppm (99.56%) at 24 h after treatment (F (4,24)
= 433.1, P< 0.0005), while they were highly increased to 68.0% at 20 ppm, and the same
percentage of mortality (99.56%) was obtained at 25 ppm for 48 h after treatment (F(4,24) =
249.3, P< 0.0005). Moreover, the percentage of mortality increased from 7.2 to 15.2 for 24
and 48 hours at 10 ppm, respectively. Indeed, many trials indicated that orange EOs have
toxic effects on mosquito vector diseases, for instance, anopheles mosquitoes (Umar et al.,
2024), Culex quinquefasciatus (Suwansirisilp et al., 2013), Culex pipiens (Michaelakis et
al., 2009), and Aedes albopictus (Li et al., 2023). The obtained results indicated that the
MEON concentration (25 ppm) exhibited more than 99 % mortality in C. pipiens instars
larvae, which was drastically lower than those recorded for bulk orange EOs in the previous
studies, which ranged from 300 to 1000 ppm (M. Azmy et al., 2019a) (Manimaran et al.,
2012). It was demonstrated that mandarin EO inhabited the acetylcholine esterase, carboxyl
esterase, acid phosphatase, and alkaline phosphatase of C. pipiens larvae (Badawy et al.,
2018). It was found that over 2000 secondary metabolites have been identified from orange
essential oils, with the most important active ingredients being diterpenes, monoterpenes,
terpenes, and sesquiterpenes, which may refer to the toxicological effects of the orange EOs
against insect pests (Brah et al., 2023). The current study is comparable with several studies
on nanoemulsions based on EOs as effective insecticides (Sogan et al., 2023; Abdel-Baki et
al., 2021). Because the EOs have destitute water solubility, larvicides utilized to manage
mosquito larvae ought to be dissolvable in water since they are aquatic life forms. To bypass
this natural barrier, EOs should be formed into nanoemulsions (Sharifiyan et al., 2024). The
obtained results in the concentration mortality bioassays were satisfactorily described by the
probit model (Fig. 6).
Efficacy of Nano-Encapsulated Mandarin Oil using and Gamma Irradiation against Culex pipiens Larvae
57
Fig. 5: Mortality percentages of different concentrations (ppm) of MEON against 4th instar
larvae of C. pipines at 24 and 48 h post treatments.
Fig. 6: Mortality-responses of C. pipines larvae (2nd, 3rd and 4th) for different concentrations
(ppm) of MEON at 48 h post treatments.
58
Reda S. Hassan et al.
The LC50 was (11.5, 14.8 and 15.3 ppm) for the 2nd instar, 3rd and 4th instar,
respectively (Fig. 6). Also, the LC99 was (18.4, 23.6 and 33.8 ppm) for the 2nd instar, 3rd and
4th instar, respectively. The results indicated that LC50 the fourth instar was more resistant
to treatment, but the second instar was much more vulnerable to MEON (no overlap in 95%
fiducial limits), according to the LC50 and LC99 values. As shown in Figure 6, a
concentration-dependent association between MEON and larval mortality was demonstrated
via regression analysis. Insecticidal properties of orange oils were reported for larvicidal
activity against C. pipiens in a previous study that suggested it might be because of transanethole, the main component of the EO (Kamaraj et al., 2023). The orange EO
nanoemulsion's larvicidal action could be attributed to limonene, the main ingredient, which
Saad (2013) showed has insecticidal qualities. Our results are in line with several studies on
nanoformulations that use essential oils (EOs) as effective pesticides (Duarte et al., 2015;
Barradas and de Holanda e Silva, 2021). Our results are consistent with those of SaneiDehkordi et al. (2022), who discovered that the LC50 and LC90 of nano orange EO for the
third larvae of Anopheles stephensi and Culex quinquefasciatus, respectively, were the low
concentrations (6.63 and 12.29 µg/mL) and (4.9 and 16.4 µg/mL), respectively. The results
we obtained are in agreement with those reported by Theochari et al. (2020), who observed
that a concentration of 27.4 ppm of nanoemulsion orange EO was reported as an LC50 against
C. pipines larvae in their third instar. Based on our research, it appears that the MEON could
be the most effective way to address the issues with using EO against C. pipiens. It does this
by preventing rapid evaporation and degradation in the environment, offering a well-soluble
formulation, and lowering the dosage required. To guarantee this novel material's safety for
the environment and non-target creatures, more investigation is necessary for the risk
evaluation of the material. Studying field applications and challenges related to economic
feasibility is also necessary.
CONCLUSIONS
Orange essential oils have become one of the major bio-pesticides against mosquito
vector diseases due to their known toxicity and their environmental benefits. However, it is
essential to preserve the orange essential oils by maintaining their stability against
environmental conditions since they are chemically unstable and can degrade when exposed
to air, light, moisture, and mild temperatures. High doses and poor water solubility are also
significant considerations when using essential oils. The designated emphasis in this trial is
using nano-gel as a green encapsulation of mandarin essential oil in the hope of
revolutionizing their application challenges. The aqueous polymer polyethylene
oxide/polyacrylamide was crosslinked by gamma irradiation, producing polyethylene
oxide/polyacrylamide nano-gels as a result. Mandarin essential oil (MEO) was used to
dissolve the solution and create mandarin essential oil nano-gel (MEON), which has a
restricted size distribution and a high degree of cross-linking. The resulting MEON
presented spherical shapes with homogeneous surfaces. The average size of MEON particles
ranged from 130 to 160 nm; a low negative zeta potential of −23.0 mV indicated high
stability of the emulsion. The results demonstrated that the dose of 25 ppm of MENO
exhibited 99.9% mortality in the three instar larvae of C. pipiens. Further research on the
risk assessment of MENO is required for its safety properties.
Ethics Approval and Consent to Participate: Not applicable.
Competing interests: The authors declare no conflict of interest.
Authors Contributions: I hereby verify that all authors mentioned on the title page have
made substantial contributions to the conception and design of the study, have thoroughly
reviewed the manuscript, confirm the accuracy and authenticity of the data and its
interpretation, and consent to its submission.
Funding: No funding was received.
Efficacy of Nano-Encapsulated Mandarin Oil using and Gamma Irradiation against Culex pipiens Larvae
59
Availability of Data and Materials: The authors declare that they have no objection to the
availability of data and materials.
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Dual roles of astrocytes in plasticity and reconstruction after traumatic brain injury
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Cell communication and signaling
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© The Author(s). 2020 Open Access This article is licensed under a Creative Commons Attribution 4.0 International License,
which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give
appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if
changes were made. The images or other third party material in this article are included in the article's Creative Commons
licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons
licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain
permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/.
The Creative Commons Public Domain Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the
data made available in this article, unless otherwise stated in a credit line to the data. Dual roles of astrocytes in plasticity and
reconstruction after traumatic brain injury nxiang Zhou1†, Anwen Shao2*†, Yihan Yao1, Sheng Tu3, Yongchuan Deng1 and Jianmin Zhang Abstract Traumatic brain injury (TBI) is one of the leading causes of fatality and disability worldwide. Despite its high
prevalence, effective treatment strategies for TBI are limited. Traumatic brain injury induces structural and functional
alterations of astrocytes, the most abundant cell type in the brain. As a way of coping with the trauma, astrocytes
respond in diverse mechanisms that result in reactive astrogliosis. Astrocytes are involved in the physiopathologic
mechanisms of TBI in an extensive and sophisticated manner. Notably, astrocytes have dual roles in TBI, and some
astrocyte-derived factors have double and opposite properties. Thus, the suppression or promotion of reactive
astrogliosis does not have a substantial curative effect. In contrast, selective stimulation of the beneficial astrocyte-
derived molecules and simultaneous attenuation of the deleterious factors based on the spatiotemporal-
environment can provide a promising astrocyte-targeting therapeutic strategy. In the current review, we describe
for the first time the specific dual roles of astrocytes in neuronal plasticity and reconstruction, including
neurogenesis, synaptogenesis, angiogenesis, repair of the blood-brain barrier, and glial scar formation after TBI. We
have also classified astrocyte-derived factors depending on their neuroprotective and neurotoxic roles to design
more appropriate targeted therapies. Keywords: Astrocyte, Traumatic brain injury, Reconstruction, Neurogenesis, Blood-brain barrier, Glial scar Keywords: Astrocyte, Traumatic brain injury, Reconstruction, Neurogenesis, Blood-brain barrier, G Zhou et al. Cell Communication and Signaling (2020) 18:62
https://doi.org/10.1186/s12964-020-00549-2 Zhou et al. Cell Communication and Signaling (2020) 18:62
https://doi.org/10.1186/s12964-020-00549-2 (2020) 18:62 Zhou et al. Cell Communication and Signaling
https://doi.org/10.1186/s12964-020-00549-2 Background
b of TBI made in the past few decades, few effective ther-
apies for TBI are available [6–8]. Traumatic brain injury (TBI) refers to a sudden trauma
caused by traffic accidents, wars, violence, terrorism,
falls, and sporting activity [1]. TBI is currently the pri-
mary cause of human death in young adults and one of
the leading causes of fatality and disability across all ages
worldwide, resulting in annual global economic losses of
amounting to $US400 billion [2–4]. The high mortality
and morbidity of TBI and the substantial economic
burden affect the patients, families, and society, and have
attracted public attention [5]. To date, more than 1000
clinical trials on TBI have been registered on clinicaltri
als.gov. In spite of the immense efforts on the treatment One of the reasons for the failure is because most pre-
vious studies have targeted neuronal cells, whereas
emerging evidence shows that glial cells also play signifi-
cant roles in the pathogenesis of TBI [9–11]. Astrocytes,
a type of glial cells, are involved in the homeostasis and
blood flow control of the central nervous system (CNS)
[12]. TBI is known to induce astrocyte activation (react-
ive astrogliosis), which is involved in tissue remodeling
processes such as neurogenesis, synaptogenesis, repair of
the blood-brain barrier (BBB), regulation of synaptic
plasticity, and formation of glial scar and extracellular
matrix (ECM), weighing a lot to the patient outcome
[13–15]. However, reports on the effects of reactive
astrogliosis are not consistent [10, 16–18]. The current
review summarizes the existing knowledge on the role of
astrocytes in TBI. We particularly elaborate on the * Correspondence: 21118116@zju.edu.cn; anwenshao@sina.com
†Yunxiang Zhou and Anwen Shao contributed equally to this work. 2Department of Neurosurgery, The Second Affiliated Hospital, School of
Medicine, Zhejiang University, Province, Zhejiang 310009, Hangzhou, China
Full list of author information is available at the end of the article Zhou et al. Cell Communication and Signaling (2020) 18:62 Page 2 of 16 Page 2 of 16 Zhou et al. Cell Communication and Signaling Zhou et al. Cell Communication and Signaling (2020) 18:62 (2020) 18:62 peripheral cells, continuous activation of resident glial
cells, and aggravated neuronal damage [28, 32]. Disrup-
tion of the BBB integrity and the neurovascular unit
(Fig. 1) can occur as a result of the initial injury or arise
secondarily to the extensive neuroinflammation, astro-
cytic dysfunction, and metabolic disturbances. These
damages result in vascular leakage, brain edema, cerebral
hemorrhage, and hypoxia [27, 29, 33–35]. Neuronal
apoptosis also significantly contributes to secondary in-
jury [36, 37]. In addition to apoptosis, necroptosis, a re-
cently
identified
programmed
cell
death
bearing
resemblance to both apoptosis and necrosis, has also
been demonstrated to play an indispensable role in sec-
ondary neuronal cell death and neuroinflammation post-
TBI [38, 39]. Mechanically, upon pathogenic stimuli fol-
lowing TBI, TNF-α-induced receptor-interacting protein
1 activation contributes to the formation of the so-called
necrosome, a complex necessary for necroptosis [40, 41]. And after necroptosis, inflammatory factors released
from damaged cells flow into the extracellular space,
boosting the neuroinflammation [41–43]. All these pri-
mary or secondary pathologic mechanisms contribute to
cell death, tissue loss, structural and metabolic abnor-
malities, and an ultimate neurological dysfunction in the
patients [15, 44]. And whether neural structure and
function can be restored determines the final outcome
of the TBI patients [36]. various roles of astrocytes and astrocytes-derived mole-
cules in plasticity and reconstruction and explore the
possibility of using astrocytes to optimize their thera-
peutic benefit while attenuating the harmful effects of
them. Overview of TBI and astrocyte
Traumatic brain injury Traumatic brain injury is a prevalent disease, with a glo-
bal annual burden of approximately $US400 billion [2,
3]. According
to
statistics
by
the
World
Health
Organization, TBI affiliated mortalities and disability will
surpass that of many diseases as from the year 2020 [19]. However, there are currently no effective therapies for
TBI [6, 7]. And the main form of clinical treatment is re-
stricted to surgical interventions and supportive manage-
ments,
including
hyperbaric
oxygen,
task-oriented
functional
electrical
stimulation,
non-invasive
brain
stimulation, and behavioral therapy [6, 20]. One of the
main challenges of treating TBI is the heterogeneity of
its
pathologic
and
pathogenic
mechanisms. Conse-
quently, an in-depth elucidation of the underlying patho-
physiological mechanisms is required to provide new
therapeutic targets. The pathophysiology of TBI Traumatic
brain
injury
is
characterized
by
instant
damage to mechanical force and delayed damage to the
subsequent
pathophysiological
processes
[21]. The
mechanical force directly leads to neuronal or diffuse
axonal damage and vascular disruption, followed by sec-
ondary injury mediated by extensive neuroinflammation,
dysfunction of the BBB, oxidative stress, and apoptosis
[22–26]. While the immediate primary injury is consid-
ered untreatable, the delayed secondary injury gives a
window for intervention and has, therefore, attracted a
lot of attention [27]. Astrocyte reaction after TBI onset Astrocyte reaction after TBI onset
Among brain resident glial cells such as astrocytes
(astroglia), oligodendrocytes and microglia, astrocytes
are the most abundant [45]. Astrocytes are characterized
by the presence of glial fibrillary acidic protein (GFAP),
a unique structural protein [45]. Under normal physio-
logical
conditions,
astrocytes
are
involved
in
the
homeostasis and blood flow control of the CNS [12]. As-
trocytes structurally support neurons and separate the
CNS from the meninges, blood vessels, and perivascular
spaces by the creation of a functional barrier named glia
limitans, which is formed via the interaction of astrocytic
foot processes with the parenchymal basement mem-
brane [46]. In addition, astrocytes provide functional
support for neurons, including the recycling of the
neurotransmitter glutamate, the most potent neurotoxin
in the brain, via glutamate transporters (Fig. 2), the
glutamate-glutamine shuttle system, and cystine–glu-
tamate antiporter system [47–49]. Astrocytes play a role
in the release of neurotrophic factors and gliotransmit-
ters such as glutamate, ATP, γ-aminobutyrate (GABA),
and D-serine [1, 15, 50]; the synthesis of glutamine,
cholesterol, superoxide dismutases, glutathione, ascor-
bate and thrombospondin (TSP)-1 and 2 [9, 51, 52]. As-
trocytes are also involved in the regulation of energy
metabolism by the conversion of glucose into lactate Following the initial injury, local environment changes
and damaged cells release intracellular components, trig-
gering the activation and recruitment of resident glial
cells in the brain as well as the production of various cy-
tokines, chemokines, and excitotoxins; then the periph-
eral immune cells are recruited into the brain with
further release of signaling factors to induce a robust
sterile immune reaction [28–30]. A broad range of lit-
erature data has reported the up-regulated expression of
cytokines including interleukin (IL)-1β, tumor necrosis
factor (TNF)-α, transforming growth factor-β (TGF-β),
interferon γ (IFNγ), IL-6, IL-10 and IL-12 as well as the
chemokines such as chemokine (C-C motif) ligand
(CCL)2, CCL3, CCL4, chemokine (C-X-C motif) ligand
(CXCL)1, CXCL2, CXXL4, CXCL8/IL-8 and CXCL10 in
the early stages post-TBI, which boost the sterile inflam-
mation [28, 31]. These lead to additional attraction of (2020) 18:62 Zhou et al. Cell Communication and Signaling (2020) 18:62 Page 3 of 16 Zhou et al. Cell Communication and Signaling Fig. 1 Schematic illustration of the neurovascular unit under normal physiological conditions and TBI pathological conditions. Astrocyte reaction after TBI onset The neurovascular
unit encompasses neurons, glial cells (astrocytes, oligodendrocytes and microglia), vascular cells (pericytes, endothelial cells and vascular smooth
muscle cells) and the basal lamina matrix. Following TBI, disruption of the neurovascular unit arises from and further aggravates the
pathophysiological processes of TBI, which include BBB compromise, neuronal death, neuroglial dysfunction, neuroinflammation, and
metabolic disturbances Fig. 1 Schematic illustration of the neurovascular unit under normal physiological conditions and TBI pathological conditions. The neurovascular Fig. 1 Schematic illustration of the neurovascular unit under normal physiological conditions and TBI pathological conditions. The neurovascular
unit encompasses neurons, glial cells (astrocytes, oligodendrocytes and microglia), vascular cells (pericytes, endothelial cells and vascular smooth
muscle cells) and the basal lamina matrix. Following TBI, disruption of the neurovascular unit arises from and further aggravates the
pathophysiological processes of TBI, which include BBB compromise, neuronal death, neuroglial dysfunction, neuroinflammation, and
metabolic disturbances [53–55] and the regulation of neuronal activation and
water homeostasis through extracellular ion concentra-
tions [56–59]. Given the multifunctional roles of astro-
cytes in the CNS, they can affect neuronal activity,
modulate plasticity, and participate in CNS regeneration
after brain injury [60–64]. receptors related to inflammatory and immune pro-
cesses,
including
Toll-like
receptors,
purinergic
receptors,
mannose
receptors,
scavenger
receptors,
nucleotide-binding
oligomerization
domain
proteins,
double-stranded RNA dependent protein kinase, and
components of the complement system, through which
they sense a wide range of endogenous and exogenous
signals and respond dynamically to sterile injuries and
infectious non-self [29, 65–67]. Therefore, danger signals
post-TBI can trigger inflammasomes and innate immune
response via their interaction with the receptors on the
innate immune neuroglia. Mechanically, when the local Microglia are cells of myeloid origin and are consid-
ered “the CNS professional macrophages”, which express
a large repertoire of pattern-recognition receptors and
are often the first cells responding to any inflammatory
events [29, 65]. Importantly, more and more lines of evi-
dence suggests that astrocytes also express a series of Zhou et al. Cell Communication and Signaling (2020) 18:62 Page 4 of 16 (2020) 18:62 Zhou et al. Cell Communication and Signaling Fig. 2 Schematic illustration of the glutamate-glutamine cycle in astrocytes. Astrocytes play a crucial role in the glutamate cycle of glutamate-
glutamine. After the presynaptic membrane releases neurotransmitter glutamate, astrocytes can take in glutamate from the synaptic cleft through
the glutamate receptor and synthesize glutamine with the catalysis of glutamine synthetase. Astrocyte reaction after TBI onset And the glutamine can cross the cell membrane
into the cytoplasm of presynaptic membrane and be deaminated by glutaminase to produce glutamate Fig. 2 Schematic illustration of the glutamate-glutamine cycle in astrocytes. Astrocytes play a crucial role in the glutamate cycle of glutamate-
glutamine. After the presynaptic membrane releases neurotransmitter glutamate, astrocytes can take in glutamate from the synaptic cleft through
the glutamate receptor and synthesize glutamine with the catalysis of glutamine synthetase. And the glutamine can cross the cell membrane
into the cytoplasm of presynaptic membrane and be deaminated by glutaminase to produce glutamate scar is considered the main hindrance to axonal regen-
eration and recovery of neuronal connectivity [76, 77]. This shows one of the Janus-like effects of astrocytes. Controversy also remains as to whether reactive astro-
gliosis is beneficial for the maintenance of BBB integrity
after TBI [21, 78], since astrocytes can largely affect
BBB integrity and water homeostasis [79] as detailed
below: (1) the BBB is sheathed by perivascular astrocyte
foot processes [80]; (2) the glymphatic system is formed
by astrocytes [81]; (3) the perivascular aquaporin-4
(AQP4) is densely and exclusively expressed in astro-
cyte end-feet [82]; (4) the permeability of the BBB can
be affected by astrocyte-derived factors [78]; and (5) the
concentration of extracellular ions is controlled by as-
trocytes [9]. These “irrational” phenomena can be
caused by an overreaction and dysfunction of reactive
astrocytes after brain injury, or due to the release of
neurodeleterious molecules [78]. Astrocytes, therefore,
hold both neuroprotective and neurodeleterious effects
following TBI, making it a double-edged sword for neu-
rorestoration [83–85]. This also indicates that we can-
not simply suppress or promote reactive astrogliosis,
but should selectively stimulate the beneficial effects
and ameliorate the deleterious ones in the astrocyte-
targeting therapy [78]. biochemical environment changes following the onset
of TBI, danger signals induce the structural and func-
tional alterations of astrocytes, including hypertrophy
and increased expression of the intermediate filaments
(nestin, vimentin, and GFAP), resulting in astrocyte ac-
tivation (reactive astrogliosis) [15, 68]. Other cells such
as brain-resident microglia are also activated [31]. Both
astrocytes and microglia react within 24 hours and peak
around day 3-7, however, microglia rapidly decline to
control levels approximately 21 days after the lesion
while astrocytes exhibit a long-lasting proliferative re-
sponse, at least, 28 days after TBI [69–71]. (2020) 18:62 Page 5 of 16 (2020) 18:62 Zhou et al. Cell Communication and Signaling Zhou et al. Cell Communication and Signaling (2020) 18:62 The neurogenesis-promoting effects of astrocytes g
p
g
y
Some studies suggested a beneficial effect of astrocytes
in neurogenesis, both through the instruction of neur-
onal fate commitment and the promotion of prolifera-
tion of adult neural stem cells [88]. In addition, the
neurogenesis-promoting effect of astrocytes has regional
characteristics:
hippocampal-derived
astrocytes
retain
this potential, whereas astrocytes from the adult spinal
cord do not [88]. Currently, some potential mechanisms
concerning astrocytes-induced neurogenesis have been
proposed. Astrocytes produce the neurotrophic and
mitogenic protein S100β in vivo. Intraventricularly ad-
ministration of S100β enhances neurogenesis within the
hippocampus and improves cognitive function recovery
following TBI. These improvements are mediated by the
facilitation of neuronal differentiation, proliferation, and
survival of hippocampal progenitor cells [89, 90]. Heme
oxygenase induced by astrocytes after TBI catalyzes
heme to carbon monoxide (CO), ferrous iron, and bili-
verdin. Notably, low concentrations (lower than 250
ppm possibly) of CO exert promotive effects on neuro-
genesis, as well as synaptic plasticity and angiogenesis
[91]. Moreover, previous studies reported that mature
astrocytes might regress to an immature phenotype and
show stem cell characteristics [92]. Garber et al. revealed that astrocytes impaired neur-
onal progenitor cell homeostasis via the up-regulated ex-
pression
of
IL-1,
thus
hindering
hippocampal
neurogenesis in West Nile virus neuroinvasive disease,
which could be reversed by IL-1R1 antagonist [83]. Up-
regulated IL-1β is also found to aggravate excitotoxicity
and seizures post-TBI, although the latter can develop
independently from the neurotoxic effects [102, 103]. Interestingly, Barkho et al. suggested that IL-1β and IL-6
could promote neuronal differentiation of neural stem/
progenitor cells at relatively low concentrations and thus
they
proposed
a
concentration-depending
effect
of
astrocyte-derived pro-inflammatory cytokines. They also
indicated that three other astrocyte-derived molecules:
insulin-like growth factor (IGF) binding protein 6 and
decorin, which inhibit IGF and TGF-β respectively, and
opioid receptor agonist enkephalin, could inhibit neuro-
genesis [104]. The neurogenesis-suppressing effects of astrocytes The neurogenesis-suppressing effects of astrocytes
However, under certain pathological conditions, such as
severe TBI with devastating excitotoxicity and inflamma-
tory response, the microenvironment of neurogenic
niche may lose its homeostasis [21, 96]. Correspond-
ingly, some studies proposed that knockout/knockdown
of molecules produced by astrocytes or suppression of
astrocyte-related signaling enhances neurogenesis. Mice
devoid of GFAP and vimentin are found to be develop-
mentally normal with increased hippocampal neurogen-
esis and axonal regeneration post-TBI, despite that
GFAP is essential for astrocyte activation and acute cel-
lular stress handling [97–100]. This disparity may be due
to the mechanism that differentiation of uncommitted
neural progenitor cells is skewed towards neuronal
lineage under the null of GFAP gene condition, and in-
hibition of Sirt1 expression may strengthen this inclin-
ation [101]. The effects and mechanisms of several
GFAP suppressors have also been evaluated in experi-
mental TBI [45]. Neurogenesis Emerging evidence has indicated that astrocytes play
a vital role in neurogenesis, which is attributed to the
regulation
of the microenvironment of
neurogenic
niche [87, 88]. Astrocyte reaction after TBI onset The activa-
tion and proliferation of glial cells, in turn, have utility
in releasing signaling factors and triggering a robust
sterile immune reaction that consists of brain-resident
as well as peripherally recruited inflammatory cells. This reaction is initiated to exert neuroprotective ef-
fects and promote wound healing, but may become
maladaptive over time [29, 72]. As the inflammatory response progresses, local astro-
glial progenitors around the injured tissue form the
glial scar that isolates the damaged area, contains the
spread of inflammatory cells, provides a favorable envir-
onment for surviving neurons, and maintains the integ-
rity of the BBB [46, 68, 73–75]. Nonetheless, the glial Page 5 of 16 Dual roles of astrocytes in plasticity and
reconstruction after TBI composed of co-ultramicronized palmitoylethanolamide
and luteolin was found to promote this process [94, 95]. Additionally, pituitary adenylate cyclase-activating pep-
tide expressed by astrocytes plays a significant role in
the support and survival of new neurons post-TBI [93]. Both the enhanced neurogenesis and long-lasting sur-
vival of newborn neurons result in a better neurological
recovery. As previously mentioned, all the primary and secondary
pathologic mechanisms underlying TBI contribute to cell
death, tissue loss, structural and metabolic abnormality,
and ultimately lead to neurological dysfunction of TBI
patients [15, 44]. And the ability to restore neural struc-
ture and function determine the outcome of the patients
[36, 86]. Thus, promoting the astrocytes/astrogliosis-in-
duced neuroprotective effects/molecules or attenuating
the
neurodeleterious
ones
in
terms
of
neuronal
regeneration and tissue reconstruction may represent a
promising therapeutic target for TBI. Below, we will de-
scribe the astrocytes and a range of astrocyte-derived
molecules, as well as their roles in neurogenesis, synap-
togenesis, angiogenesis, blood-brain barrier repair, and
glial scar formation after neurotrauma. The synaptogenesis-promoting effects of astrocytes The synaptogenesis-promoting effects of astrocytes
Several studies have reported the beneficial role of astro-
cytes in synaptogenesis, which is reflected in its involve-
ment in synaptic formation, metabolic support, and
neurotransmitter release [9, 110]. For instance, astro-
cytes regulate the expression and localization of agrin,
one of matrix metalloproteinase (MMP)-3 substrates,
which induces reactive synaptogenesis and neurological
recovery [111]. And astrocytes support ovarian steroids
estradiol-enhanced neurite outgrowth, although this can
be antagonized by activated microglial-induced proges-
terone [112]. Remarkably, astrocytic signal transducer
and activator of transcription-3 (STAT3) is capable to
regulate the process formation and re-expression of
TSP-1 of perineuronal astrocytes [18]. Furthermore,
STAT3 supports neuronal integrity and mediates anti-
inflammatory reactions [18, 113, 114]. The augmentation
of STAT3 discloses a neuroprotective effect, whereas the
conditional ablation of STAT3 has the opposite effect
[113, 114]. Nevertheless, Christopherson et al. demon-
strated that TSP-induced excitatory synapses are post-
synaptically silent, which owes to the lack of functional
α-amino-3-hydroxy-5-methyl-4-isoxazole propionic acid
(AMPA) receptors [115]. Similarly, Kucukdereli et al. demonstrated that hevin, another matricellular protein
secreted by astrocytes, could induce the same type of
synapse as TSP [116]. On the contrary, the homologous
sequence protein, secreted protein acidic and rich in
cysteine (SPARC) inhibits hevin-induced synapse forma-
tion [116–118]. Other astrocyte-derived molecules such
as glypicans [119], TGF-β [120, 121], and brain-derived
neurotrophic factor [122] can induce excitatory synapse
formation, while γ-protocadherin can induce the forma-
tion of either excitatory or inhibitory synapse via a
contact-dependent mechanism [123]. Matrix metalloproteinases cleave ECM and are in-
volved in the modulation of synaptogenesis. However,
the definite role of MMPs in neurological recovery post-
TBI remains elusive, since it depends on where and
when it is activated [138]. After severe TBI, astrocytes
induce the expression of MMP-3 in a higher and more
persistent pattern, resulting in maladaptive synaptogene-
sis and poor recovery of neural function, while MMP in-
hibitor FN-439 is shown to attenuate the activity of
MMP-3 and then facilitate functional recovery [139]. Moreover, persistent expression of another MMP, a dis-
tintegrin and metalloproteinase-10 (ADAM-10), parallels
the attenuation of the N-cadherin level, which is critical
to synapse stability, and consequently contributing to re-
duced functional recovery; whereas inhibition of MMP
shifts the expression of ADAM-10 and N-cadherin to-
wards an adaptive pattern and facilitates the synapse for-
mation [17]. The synaptogenesis-promoting effects of astrocytes The synaptogenesis-suppressing effects of astrocytes
Following the breakdown of the BBB, an influx of serum
elements, and the inflammatory cytokines, including IL-
1, TGF-β trigger the formation of a glial scar to cope
with injury. Nonetheless, the glial scar is considered the
main hindrance to axonal regeneration and neuronal
connectivity recovery, due to the production of growth-
inhibitory components and the formation of physical
and chemical barriers that hinder axon elongation [30,
76, 77, 124]. Among the inhibitory components, chon-
droitin sulfate proteoglycans (CSPGs), one of the ECM Synaptogenesis Besides stimulating stem cell genesis, astrocytes also
contribute to the prolonged survival of newborn neurons
[93]. Neurotrophic factors secreted by astrocytes are
closely involved in neuronal support and survival, and
intraperitoneal
administration
of
a
formulation Astrocytes also play a crucial role in synaptic plasticity,
remodeling, and regeneration post-TBI [105, 106]. As
mentioned earlier, astrocytes are involved in the bio-
chemical synthesis, metabolism, and secretion of many
molecules. Some of these molecules, such as TSP-1 and Page 6 of 16 Page 6 of 16 Zhou et al. Cell Communication and Signaling (2020) 18:62 Zhou et al. Cell Communication and Signaling (2020) 18:62 Zhou et al. Cell Communication and Signaling (2020) 18:62 molecules produced by astrocytes, are of prime import-
ance as they are predominantly responsible for the non-
permissive characteristic of glial scar and have been
extensively studied [125–128]. The major brain CSPGs
include lecticans (neurocan, brevican, versican, and
aggrecan), phosphacans, and transmembrane NG2; they
surround and affect the perineuronal nets (PNNs), which
are comprised of rich ECM and cell adhesion proteins
and have been found to stabilize synapses [129, 130]. The class IIa/Leukocyte common antigen-related (LAR)
family [131] and the NOGO receptors NgR1 and NgR3
[132] have been identified as CSPG receptors and convey
subsequent axonal growth inhibition. However, heparan
sulfate proteoglycans (HSPGs), another ligand for the
LAR family receptors promotes axon extension [133]. This role of HSPGs may result from the switch of axonal
endings between states of growth and inactivity via the
oligomerization status of PTPσ (a member of the LAR
family) [76]. Therefore, agents targeting these receptors
or that mimic HSPG binding may mitigate the inhibitory
environment of glial scar and augment neuronal regen-
eration, thus suggesting multiple candidates of thera-
peutic application for TBI [134, 135]. For instance, the
hepatocyte growth factor, which exhibits pleiotropic
functions in the CNS has been shown to suppress the
expression of CSPGs after brain injury, as well as block
the secretion of TGF-β1 and β2 and the subsequent in-
duction of the glial scar [124]. Another ECM compo-
nent,
tenascin-C,
was
also
shown
to
inhibit
axon
outgrowth and therefore represents a target for interven-
tion [136, 137]. TSP-2, promote synaptogenesis, while molecules, in-
cluding trophic factors and cholesterol, preserve syn-
apse
maturation
and
maintenance
[106–108]. Reversely, these mechanisms (and others) are also po-
tentially critical for eliciting pathological responses
during and after TBI [87, 109]. Synaptic plasticity In addition to the number of synapses, synaptic plasticity
is also necessary for learning and memory formation. Synaptic plasticity can be influenced by activation and Page 7 of 16 Page 7 of 16 Zhou et al. Cell Communication and Signaling (2020) 18:62 Zhou et al. Cell Communication and Signaling (2020) 18:62 (2020) 18:62 Zhou et al. Cell Communication and Signaling most of the ECM molecules produced by astrocytes elicit
both restrictive and permissive effects on axonal sprout-
ing post-lesion [79]. Indeed, studies demonstrated that
ablation of astrogliosis in transgenic mice disrupted scar
formation, which in turn exacerbated the spread and
persistence of inflammation response, vasogenic edema,
neuronal loss, demyelination, and functional recovery
[159–162]. Furthermore, blocking scar formation in
STAT3 deletion mice has similar effects of inducing ex-
tensive lesions and increasing neuronal loss and loco-
motor deficits after CNS injury, while enhancing scar
formation in protein suppressor of cytokine signaling 3
deletion mice has the opposite effects [113, 114]. These
findings strongly suggest that astrogliosis and glial scar
formation may be neuroprotective against brain damage
under particular circumstances, highlighting a dichotom-
ous role again. localization of glutamate receptor, synaptic strength,
intracellular calcium levels, neurotrophic factors, and cy-
tokines following TBI [140–142]. Considering the in-
volvement
of
astrocytes
in
the
pathophysiological
processes including supporting neuronal metabolism, se-
creting different molecules that induce the formation of
excitatory synaptic structure and function, and releasing
gliotransmitters that affect the balance of neural network
as well as synaptic potentiation or depression, astrocyte
may be a promising target for modulating synaptic plas-
ticity [87]. Following TBI, the general role of astrocytes
in synaptic plasticity again remains obscure. For in-
stance, the sphingosine 1-phosphate (S1P) receptor 1 an-
tagonist
siponimod
preserves
neural
plasticity
via
attenuating activation of astrocytes, microglia, and other
inflammatory cells [143]. On the contrary, minocycline
influences neuronal plasticity and improves neurological
recovery by increasing the astrogliosis following experi-
mental stroke [144]. localization of glutamate receptor, synaptic strength,
intracellular calcium levels, neurotrophic factors, and cy-
tokines following TBI [140–142]. Considering the in-
volvement
of
astrocytes
in
the
pathophysiological
processes including supporting neuronal metabolism, se-
creting different molecules that induce the formation of
excitatory synaptic structure and function, and releasing
gliotransmitters that affect the balance of neural network
as well as synaptic potentiation or depression, astrocyte
may be a promising target for modulating synaptic plas-
ticity [87]. Synaptic plasticity Following TBI, the general role of astrocytes
in synaptic plasticity again remains obscure. For in-
stance, the sphingosine 1-phosphate (S1P) receptor 1 an-
tagonist
siponimod
preserves
neural
plasticity
via
attenuating activation of astrocytes, microglia, and other
inflammatory cells [143]. On the contrary, minocycline
influences neuronal plasticity and improves neurological
recovery by increasing the astrogliosis following experi-
mental stroke [144]. The synaptic stability-suppressing effects of astrocytes
Astrocytes play a crucial role in regulating excitatory
chemical transmission via glutamate transporters (Fig. 2), glutamate-glutamine shuttle system, and cystine–glu-
tamate antiporter system. However, the impairment of
astrocytic glutamate uptake and GABA release lead to
glutamate excitotoxicity as well as ion and water imbal-
ance post-TBI [1, 9]. Glutamate is the primary excitatory
neurotransmitter and the most potent neurotoxin once
concentrated in the extracellular space of CNS. Notably,
the homeostasis of glutamate is closely associated with
synaptic plasticity [47–49]. Ephrin-A3, a member of the
ephrin family, is expressed in astrocytes and is involved
in the regulation of glial glutamate transporters. Ephrin-
A3 is required for maintenance of long-term potenti-
ation via its interaction with the A-type Eph receptor,
namely EphA4, and thus influences synaptic plasticity. Once Ephrin-A3 is over-expressed following TBI, it de-
creases glutamate transporters and increases glutamate
excitotoxicity, hence prolonging neuronal depolarization
and focal dendritic swelling [163–165]. Therefore, inhib-
ition of Ephrin-A3 represents a potential therapeutic
strategy. Besides, the glutamate receptor antagonist MK-
801 has also been shown to enhance synaptic integrity
and improve cognitive outcomes [138, 139]. The BBB integrity-promoting effects of astrocytes The BBB integrity-promoting effects of astrocytes
The integrity of the BBB is determined by the endothe-
lial tight junctions and the basal lamina. While endothe-
lial tight junctions are formed by proteins such as
claudin, occludin and zonula occluden (ZO), the basal
lamina forms the basement membrane of ECM and in-
cludes laminin, collagen, and fibronectin [177, 178]. Astrocyte-derived
factors
including
angiopoietin-1
(ANG-1) [179–181], sonic hedgehog (SHH) [182–185],
glial-derived neurotrophic factor (GDNF) [186–188], ret-
inoic acid (RA) [189–191], and IGF-1 [192, 193] have
been demonstrated to promote recovery of the BBB by
protecting endothelial cells and/or enhancing tight junc-
tion reassembly, via signaling mediated by their recep-
tors, tie-2, patched-1, GDNF receptor alpha-1 and
alpha-2, nuclear RA receptor, and IGF-1 receptor, re-
spectively [78, 79] (Table. 1). Besides, the astrocyte-
secreted apolipoprotein E (APOE) isoforms APOE2,
APOE3, and APOE4, are also closely involved in the
regulation of BBB integrity [194]. Notably, APOE exerts
its regulation in an isoform-dependent manner [195]. Despite that APOE3 protects against BBB disruption via
the suppression of a cyclophilin A (CypA)-nuclear
factor-κB (NFκB)-MMP-9 pathway, APOE4 activates the The study by Prager et al. indicates that S1P binds to
and activates five G protein-coupled receptors. Among
these receptors, S1P receptor 1 (S1PR1) primarily pre-
serves BBB integrity while the S1P receptor 2 damages
integrity [222] and correspondingly, agents activating
S1PR1 such as artesunate and isoflurane have been dem-
onstrated to preserve the BBB integrity [223, 224]. How-
ever, several antagonists which suppress the activation of
S1PR1 have also been found to preserve the BBB integ-
rity [143, 222]. Remarkably, the S1PR1 antagonist fingo-
limod (FTY720) can also possibly induce S1P1 activation
[225]. These observations suggest that S1PR1 plays a
dual role in BBB permeability, depending on the ligand,
which is in line with the assumption proposed by Schuh-
mann et al. [226]. The synaptic stability-promoting effects of astrocytes Cell Communication and Signaling hyperphysiologic TNF-α in post-traumatic epileptogenesis
has also been revealed [169, 170]. In addition to its influ-
ences on glutamatergic transmission and synaptic plasti-
city, TNF-α also has an important role in the initial
activation of microglia and astrocytes and the disruption
of the BBB; and the biologic TNF antagonist etanercept
was shown to improve the outcomes of experimental TBI
[171]. Furthermore, astrogliotic upregulation of enzyme
adenosine kinase also contributes to epileptogenesis [172]. Notably, TBI is also an important risk factor for the devel-
opment of many neurodegenerative diseases such as Alz-
heimer’s
disease,
chronic
traumatic
encephalopathy,
amyotrophic lateral sclerosis, and etcetera; the deposition
and accumulation of amyloid-beta and tau are considered
as part of the pathological mechanisms [173–176]. pathway and results in neuronal dysfunction and degen-
eration [196]. Overall, APOE tends to maintain BBB in-
tegrity
and
promote
neurological
recovery. While
APOE-deficiency provokes BBB dysfunction, exogen-
ously administered APOE or its mimetic peptides pre-
serve BBB integrity in experimental studies [197–203]. The BBB integrity-suppressing effects of astrocytes
Despite that some astrocyte-derived factors maintain the
BBB function, some astrocyte-derived factors damage
the BBB by inducing endothelial cell apoptosis or de-
creasing the expression of endothelial tight junction-
related proteins, which include vascular endothelial
growth factor (VEGF) [204–207], glutamate [208–210],
endothelins (ETs) [21, 211, 212], MMP [208, 213, 214],
and nitric oxide (NO) [215, 216] (Table 1). As zinc-
endopeptidases, MMPs can directly degrade endothelial
tight junction-related proteins and ECM molecules,
which promotes angiogenesis whereas simultaneously
increases BBB permeability [78, 217, 218]. And it is
through the signaling pathway activating or suppressing
MMPs that many other factors such as APOE, NO, and
ETs get to affect the BBB integrity [201, 212, 215]. Al-
though both NO and glutamate can decrease endothelial
tight junction-related proteins, NO may have inconsist-
ent effects on apoptosis through different pathways
[219]. Furthermore, glutamate also exacerbates vascular
permeability via the activation of glutamate receptors
[220], and cytokines such as TNF-α are strictly related
to BBB disruption [171, 211, 221]. BBB repair Although TBI-induced astrogliosis and glial scar seem to
promote the BBB repair [30], astrocytic dysfunction is
one of the main pathological mechanisms giving rise to
the BBB disruption post-TBI [27, 29, 33]. The dual roles
of reactive astrogliosis owe to the distinct functions of
various astrocyte-derived molecules in BBB integrity [78]
(Table 1). Furthermore, these astrocyte-derived factors
also regulate cell adhesion molecules on the endothelial
cells, thereby controlling the leukocyte infiltration influx
to the CNS, and participate in one or more pathophysio-
logical processes including angiogenesis, neurogenesis,
and neuroplasticity [78]. The synaptic stability-promoting effects of astrocytes The synaptic stability-promoting effects of astrocytes
The previously mentioned neurogenesis-promoting CO
also facilitates synaptic plasticity [91]. Besides, the synap-
togenic factor TSP-1 can also suppress MMP-9-induced
cleavage of extracellular matrix molecules and synaptic
instability [145, 146]. AQP4, which is the main water
channel of astrocytes and exclusively expressed on astro-
cytes, plays a critical role in synaptic plasticity and mem-
ory encoding [147]. Moreover, AQP4 is also highly
correlated with the balance of water, the function of
glymphatic pathway and the integrity of the BBB while
the role of AQP4 may, however, depend on the stage of
TBI progression [147, 148]. The study by Zhang et al. revealed that lack of AQP4 could lead to the accumula-
tion and removal of excess water in the brain during
acute and late stages of TBI, respectively [149], making
AQP4-targeting therapy a great challenge. Although the glial scar is regarded as the main impedi-
ment to axonal regeneration and neuronal connectivity
recovery, it initially acts as a barrier isolating the dam-
aged area, containing the spread of inflammatory cells,
providing a favorable environment for surviving neurons
and maintaining the BBB [30, 76, 150, 151]. Moreover,
despite the detrimental roles mentioned above, CSPGs
may help restrict inflammation by shifting monocytes to-
wards resolving phenotype and enhancing the expression
of anti-inflammatory cytokines, such as IL-10, as well as
help stabilize the ionic microenvironment by limiting
diffusion of cations, such as potassium, calcium, and so-
dium [152, 153]. Furthermore, CSPGs [154, 155] and
TNF-α [156–158] have been demonstrated to alter the
level or mobility of AMPA receptors in a beneficial man-
ner, which are critical in synaptic plasticity. Consistent
with these findings, several studies have reported that Traumatic brain injury constitutes one of the most
common causes of acquired epilepsy [166]. Epileptogen-
esis can be induced by several pathological processes, in-
cluding glial scar, ECM remodeling, axonal plasticity
alteration, excitation/inhibition imbalance, cell death,
and neuronal heterotopia [167]. Once the structural in-
tegrity of PNNs is compromised by astrocyte-derived
ECM molecules, dysfunctional PNNs around the fast-
spiking inhibitory interneurons might underlie excita-
tion/inhibition imbalance and lead to the development
of post-traumatic epilepsies [168]. The involvement of Zhou et al. Cell Communication and Signaling (2020) 18:62 Page 8 of 16 Page 8 of 16 Zhou et al. Cell Communication and Signaling (2020) 18:62 Zhou et al. Cell Communication and Signaling (2020) 18:62 Zhou et al. Usage of astrocyte and astrocyte-derived
molecules as therapeutic targets As a result, all of the described neuroprotective and neu-
rodeleterious molecules, as well as their upstream and
downstream factors, represent potential therapeutic tar-
gets (Fig. 3 and Table 1). However, both astrocytes and
astrocyte-derived molecules can only act as targets for
particular subtypes, specific damage regions, and certain Page 9 of 16 Zhou et al. Usage of astrocyte and astrocyte-derived
molecules as therapeutic targets Cell Communication and Signaling (2020) 18:62 Table 1 Dual roles of astrocyte-derived factors in the BBB integrity after TBI (Continued)
Astrocyte-
derived
factors
Characters
Receptors
Role in
BBB
post-TBI
Mechanisms
Related agents
Other functions
References
ETs
Potent
endogenous
vasoconstrictors
Endothelin
receptor
type A/B
Damage Exacerbate BBB
inflammation; enhance
MMPs activation; degrade
TJ-related proteins
S-0139 (selective ETA
receptor antagonist);
BQ788 (selective ETB
receptor antagonist)
Induce expression of cell
adhension molecules;
regulate endothelial
function
21, 211,
212
S1P
A biologically
active lipid
S1PR 1-5
Dual
Regulate VEGF activation
and TJ-related proteins
Siponimod, fingolimod,
TASP0277308 (antagonists
of S1PR 1); artesunate,
isoflurane (agonists of
S1PR 1)✝
Regulate synaptic
plasticity
143, 222-
226
*APOE exerts its regulation of BBB integrity in an isoform-dependent manner, APOE4 activates the activity of MMP-9 and accelerates the BBB permeability195, 196
**Some studies suggested that blockade of AMPA receptor did not promote glutamate-mediated BBB breakdown210
✝Both the antagonists which suppress the activation of S1PR 1 and agonists which activate S1PR 1 have been demonstrated to preserve the BBB
integrity143, 222-226
Abbreviations: ANG-1 angiopoietin-1, TJ tight junction, VEGF vascular endothelial growth factor, BBB blood-brain barrier, TBI traumatic brain injury, SHH sonic
hedgehog, GDNF glial-derived neurotrophic factor, RA retinoic acid, IGF-1 insulin-like growth factor-1, APOE apolipoprotein E, MMP matrix metalloproteinases, ECM
extracellular matrix, NO nitric oxide, cGMP cyclic guanosine, NMDA N-methyl-D-aspartate, ETs endothelins, S1P sphingosine 1-phosphate, AMPA α-amino-3-hydroxy-
5-methyl-4-isoxazolepropionic acid, S1PR S1P receptor g
y
Abbreviations: ANG-1 angiopoietin-1, TJ tight junction, VEGF vascular endothelial growth factor, BBB blood-brain barrier, TBI traumatic brain injury, SHH sonic
hedgehog, GDNF glial-derived neurotrophic factor, RA retinoic acid, IGF-1 insulin-like growth factor-1, APOE apolipoprotein E, MMP matrix metalloproteinases, ECM
extracellular matrix, NO nitric oxide, cGMP cyclic guanosine, NMDA N-methyl-D-aspartate, ETs endothelins, S1P sphingosine 1-phosphate, AMPA α-amino-3-hydroxy-
5-methyl-4-isoxazolepropionic acid, S1PR S1P receptor stages of TBI. Therefore, therapeutic strategies must
focus on the enhancement of neuroprotective effects and
blockage of the neurodeleterious effects of the different
factors under specific conditions. inflammatory responses such as minocycline and etaner-
cept have also been proposed as potential candidates for
neuroprotection [144, 171]. We have previously reviewed the advance of stem cell
treatment for TBI, which has not reached a general suc-
cess in clinic application [86]. Given the vital roles of
astrocyte-secreted factors in the neurogenesis and neural
differentiation, a combination of stem cell treatment and
astrocytic functions may present a novel therapeutic
strategy. Usage of astrocyte and astrocyte-derived
molecules as therapeutic targets Besides, non-coding RNAs also hold thera-
peutic potential as astrocytes express various non-coding
RNAs, which in turn control astrocytic functions [236–
238]. And hypertonic saline has been found to elicit neu-
roprotection by regulating the expression of non-coding
RNAs [239]. Besides targeting astrocyte-derived molecules, stimu-
lating the function of astrocyte-related receptors is also
promising for the restoration of neuronal plasticity and
reconstruction. Some astrocyte-derived molecules such
as S1P and ETs also act as ligands of astrocytic recep-
tors, and the probable therapeutic drugs are shown in
the Table 1. Other receptors such as Toll-like receptors
[127], purinergic receptor [227], glutamate receptor
[228], hormone receptor [10, 229], and cannabinoid re-
ceptor [230] have also attracted widespread attention. Although we previously mentioned that MK-801, one of
the glutamate receptor antagonists, had been shown to
enhance synaptic integrity and improve cognitive out-
come in the experimental study; but regrettably, clinical
trials concerning the glutamate receptor antagonists
have been widely carried out but failed to provide a sta-
tistically significant benefit for TBI patients [231]. Ac-
cording to Ikonomidou et al., the failure could be
attributed to the attenuation of synaptic transmission,
which impedes neuronal survival [228]. Usage of astrocyte and astrocyte-derived
molecules as therapeutic targets Cell Communication and Signaling (2020) 18:62 Table 1 Dual roles of astrocyte-derived factors in the BBB integrity after TBI
Astrocyte-
derived
factors
Characters
Receptors
Role in
BBB
post-TBI
Mechanisms
Related agents
Other functions
References
ANG-1
Glycoprotein
Tie-2
Protect
Promote endothelial cells,
vascular remodeling, and
stability; increase TJ-
related proteins
Exogenous ANG-1 or ANG-
1 mimetic peptides
Promote angiogenesis;
suppress VEGF-induce ex-
pression of cell adhesion
molecules and leukocyte
infiltration
179-181
SHH
Glycoprotein
Patched-1
Protect
Attenuate endothelial cells
apoptosis; increase TJ-
related proteins
Exogenous SHH
Promote angiogenesis;
promote normal pattern
formation and cellular
differentiation in the
developing CNS; suppress
cell adhesion molecules
expression and leukocyte
infiltration
182-185
GDNF
Neurotrophic
factor
GDNF
receptor α-
1 and -2
Protect
Increase TJ-related
proteins
Exogenous GDNF
Promote the normal
postnatal development of
BBB, neuronal survival and
angiogenesis; axon
guidance and synapse
formation; control
endothelial functions;
186-188
RA
Active
metabolite
synthesized
from retinol by
retinaldehyde
dehydrogenase
Nuclear RA
receptors
Protect
Increase TJ-related pro-
teins and vascular endo-
thelial cadherin
Exogenous RA
Promote growth and
development in the CNS;
regulate synaptic
plasticity; suppress the
expression of cell
adhesion molecules
189-191
IGF-1
A member of
insulin gene
family
IGF-1
receptors
Protect
Attenuate endothelial cells
apoptosis
Exogenous IGF-1
Promote neurogenesis;
reduce cell death; support
injury repair; regulate
synaptic neuroplasticity
78, 192,
193
APOE
A member of
the
apolipoprotein
family
\
Protect*
Suppress the activity of
MMP-9; increase TJ-related
proteins
APOE-mimetic peptide
COG1410
Support lipid transport
and injury repair
194-203
VEGF
An
angiogenetic
factor
VEGFR-1
and
VEGFR-2
Damage Decrease TJ-related
proteins
SU5416 (VEGFR-2
inhibitor); cavtratin (a
selective inhibitor of VEGF-
A)
Promote endothelial
proliferation and
differentiation for
angiogenesis; induce cell
adhesion molecules
expression and leukocyte
infiltration
204-207
MMP
Zinc-
endopeptidases
\
Damage Enhance endothelial cell
apoptosis; degrade TJ-
related proteins and ECM
molecules
Ro32–3555 (a broad
spectrum MMP inhibitor)
Promote angiogenesis;
regulate expression of cell
adhesion molecules and
subsequent leukocyte
infiltration
208, 213,
214
NO
A potent
vasodilator
synthesized
from L-arginine
by NO synthase
\
Damage Enhance MMPs activation;
decrease TJ-related pro-
teins; induce apoptosis
through cGMP
monophosphate-
independent pathways,
suppress apoptosis
through cGMP pathway
Nomega-Nitro-L-arginine
methyl ester (a non-
specific NOS inhibitor)
Regulate blood flow for
neuronal activity;
exacerbate inflammatory
reaction
78, 215,
216
Glutamate A major
excitatory
transmitter and
NMDA
receptor
and the
AMPA
receptor
Damage Induce excessive vascular
permeability via activation
of NMDA receptors;
decrease TJ-related
proteins
MK-801 (non-competitive
NMDA receptor
antagonist); CGS-19755
(competitive NMDA recep-
tor antagonist); NBQX,
DNQX (competitive AMPA
Regulate synaptic
plasticity and formation;
induce vasodilatation;
regulate neuronal survival
208-210 Page 10 of 16 Zhou et al. Conclusion and perspectives In this article, we describe for the first time the detailed
dual roles of astrocytes in the field of neuronal plasticity
and reconstruction including neurogenesis, synaptogene-
sis, angiogenesis, BBB repair, glial scar formation after
TBI, and attempt to classify astrocyte-derived factors by
neuroprotection and neurotoxicity to make the targeted
therapy more relevant and meaningful. However, not
only astrocytes have a dual role, but some factors de-
rived from astrocytes also have double-sided properties,
which may due to the distinct microenvironment and
molecular mechanisms underlying the different subtypes,
different
damage
zone,
and
different
stages
of
neurotrauma. For example, mild TBI and severe TBI will
induce different physiological and pathological mecha-
nisms
as
well
as
different
astrocytic
reaction;
hippocampus-derived astrocytes and spinal cord-derived
astrocytes boost different effects on neurogenesis; the
acute and the late stages post-TBI elicit different roles of
AQP4. Therefore, simply suppressing or promoting Modulating the maladaptive microenvironment post-TBI
is also a considerable therapeutic strategy [140–142]. Rele-
vantly, agents for reducing the glutamate excitotoxicity by
enhancing glutamate transporters such as parawexin 1 and
certain β-lactam antibiotics could be of therapeutic benefit
[232, 233]. Other potential therapeutic mediators include
agents for the restoration of ionic and water balance by tar-
geting Na+/H+ transporters, Na+/K+/2Cl−cotransporters,
or Na+/Ca2+ exchangers such as fluorenyl drugs [234, 235]
and agents that promote neuronal survival and function
such as recombinant neurotrophins or peptidomimetics [9]. Agents that alter the lesion environment by modulating Zhou et al. Cell Communication and Signaling (2020) 18:62
Page 11 of 16 Zhou et al. Cell Communication and Signaling (2020) 18:62 Page 11 of 16 (2020) 18:62 Zhou et al. Cell Communication and Signaling Fig. 3 Potential therapeutic targets regarding astrocyte-derived molecules following TBI. Following TBI, damaged cells release danger signals. And
stressed intermediate filaments networks within astrocytes activate ion influx through the mechanosensitive ion channel, resulting in the further
release of danger signals. These signals serve to activate neuroglia and induce a robust sterile immune reaction and other secondary TBI
pathogenesis. Reactive astrocytes secrete a wide range of factors that affect neurogenesis, synaptogenesis and synaptic stability, and
angiogenesis, which may represent the therapeutic targets. Modulating the maladaptive microenvironment caused by neuroinflammation,
excitotoxicity and oxidative stress post-TBI is also a considerable therapeutic strategy. Author details
1 23. Hayes JP, et al. Mild traumatic brain injury is associated with reduced cortical
thickness in those at risk for Alzheimer's disease. Brain. 2017;140(3):813–25. 1Department of Surgical Oncology, The Second Affiliated Hospital, Zhejiang
University School of Medicine, No. 88, Jiefang Road, Zhejiang 310009,
Hangzhou, China. 2Department of Neurosurgery, The Second Affiliated
Hospital, School of Medicine, Zhejiang University, Province, Zhejiang 310009,
Hangzhou, China. 3State Key Laboratory for Diagnosis and Treatment of
Infectious Diseases, Collaborative Innovation Center for Diagnosis and
Treatment of Infectious Diseases, The First Affiliated Hospital, College of
Medicine, Zhejiang University, Zhejiang, Hangzhou, China. 24. Lin C, et al. Melatonin attenuates traumatic brain injury-induced
inflammation: a possible role for mitophagy. J Pineal Res. 2016;61(2):
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inflammation: a possible role for mitophagy. J Pineal Res. 2016;61(2):
177–86. 25. Menge T, et al. Mesenchymal stem cells regulate blood-brain barrier
integrity through TIMP3 release after traumatic brain injury. Sci Transl Med. 2012;4(161):161ra150. 26. Wu H, et al. Melatonin attenuates neuronal apoptosis through up-regulation
of K(+) -Cl(-) cotransporter KCC2 expression following traumatic brain injury
in rats. J Pineal Res. 2016;61(2):241–50. Received: 19 December 2019 Accepted: 6 March 2020 27. Shlosberg D, et al. Blood-brain barrier breakdown as a therapeutic target in
traumatic brain injury. Nat Rev Neurol. 2010;6(7):393–403. 27. Shlosberg D, et al. Blood-brain barrier breakdown as a the
traumatic brain injury. Nat Rev Neurol. 2010;6(7):393–403. Abbreviations 6. Dang B, et al. Rehabilitation Treatment and Progress of T ADAM-10: a distintegrin and metalloproteinase-10; AMPA: α-amino-3-
hydroxy-5-methyl-4-isoxazolepropionic acid; ANG-1: Angiopoietin-1;
APOE: Apolipoprotein E; AQP4: Aquaporin-4; BBB: Blood-brain barrier;
CCL: Chemokine (C-C motif) ligand; cGMP: Cyclic guanosine; CNS: Central
nervous system; CO: Carbon monoxide; CSPGs: Chondroitin sulfate
proteoglycans; CXCL: Chemokine (C-X-C motif) ligand; CypA: Cyclophilin A;
ECM: Extracellular matrix; ETs: Endothelins; GDNF: Glial-derived neurotrophic
factor; GFAP: Glial fibrillary acidic protein; HSPGs: Heparan sulfate
proteoglycans; IFN: Interferon; IGF-1: Insulin-like growth factor-1;
IL: Interleukin; MMP: Matrix metalloprotein; NFκB: Nuclear factor-κB;
NMDA: N-methyl-D-aspartate; NO: Nitric oxide; PNNs: Perineuronal nets;
RA: Retinoic acid; S1P: Sphingosine 1-phosphate; S1PR: S1P receptor;
SHH: Sonic hedgehog; SPARC: Secreted protein acidic and rich in cysteine;
STAT3: Signal transducer and activator of transcription-3; TBI: Traumatic brain
injury; TGF-β: Transforming growth factor-β; TJ: Tight junction; TNF: Tumor
necrosis factor; TSP: Thrombospondin; VEGF: Vascular endothelial growth
factor; ZO: Zonula occluden Injury Dysfunction. Neural Plast. 2017;2017:1582182. 7. Roozenbeek B, Maas AI, Menon DK. Changing patterns in the epidemiology
of traumatic brain injury. Nat Rev Neurol. 2013;9(4):231–6. of traumatic brain injury. Nat Rev Neurol. 2013;9(4):231–6. 8. Khaksari M, Soltani Z, Shahrokhi N. Effects of Female Sex Steroids
Administration on Pathophysiologic Mechanisms in Traumatic Brain Injury. Transl Stroke Res. 2018;9(4):393–416. 9. Colangelo AM, et al. Targeting reactive astrogliosis by novel
biotechnological strategies. Biotechnol Adv. 2012;30(1):261–71 10. Arbo BD, Bennetti F, Ribeiro MF. Astrocytes as a target for neuroprotection:
Modulation by progesterone and dehydroepiandrosterone. Prog Neurobiol. 2016;144:27–47. 11. Shields J, et al. Therapeutic targeting of astrocytes after traumatic brain
injury. Transl Stroke Res. 2011;2(4):633–42. 11. Shields J, et al. Therapeutic targeting of astrocytes after traumatic brain
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Cognitive Recovery. Cell Transplant. 2017;26(4):555–69. Conclusion and perspectives Cell Communication and Signaling (2020) 18:62 (2020) 18:62 6. Dang B, et al. Rehabilitation Treatment and Progres
Injury Dysfunction. Neural Plast. 2017;2017:1582182. 6. Dang B, et al. Rehabilitation Treatment and Progress of Traumatic Brain Authors' contributions 14. Wu Y, et al. Implantation of Brain-Derived Extracellular Matrix Enhances
Neurological Recovery after Traumatic Brain Injury. Cell Transplant. 2017;
26(7):1224–34. All the authors participated in analyzing and discussing the literature,
commenting on and approving the manuscript. AWS supervised the
research, led the discussion, wrote and revised the manuscript. All authors
read and approved the final manuscript. 15. Perez EJ, et al. Enhanced astrocytic d-serine underlies synaptic damage after
traumatic brain injury. J Clin Invest. 2017;127(8):3114–25. 15. Perez EJ, et al. Enhanced astrocytic d-serine underlies synaptic damage after
traumatic brain injury. J Clin Invest. 2017;127(8):3114–25. 16. Furman JL, et al. Blockade of Astrocytic Calcineurin/NFAT Signaling Helps to
Normalize Hippocampal Synaptic Function and Plasticity in a Rat Model of
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l
bl 21. Hostenbach S, et al. The pathophysiological role of astrocytic endothelin-1. Prog Neurobiol. 2016;144:88–102. Conclusion and perspectives ANG-1, angiopoietin-1; CCL, chemokine (C-C motif) ligand;
CXCL, chemokine (C-X-C motif) ligand; GFAP, glial fibrillary acidic protein; HMGB1, high mobility group protein B1; HSP, heat shock proteins;
HSPGs, heparan sulfate proteoglycans; IFN, interferon; IGFBP-6, insulin-like growth factor binding protein 6; IL, interleukin; MMP, matrix
metalloprotein; PACAP, pituitary adenylate cyclase-activating peptide; SHH, sonic hedgehog; SPARC, secreted protein acidic and rich in cysteine;
STAT3, signal transducer and activator of transcription-3; TBI, traumatic brain injury; TGF-β, transforming growth factor-β; TNF, tumor necrosis
factor; TSP, thrombospondin; VEGF, vascular endothelial growth factor Fig. 3 Potential therapeutic targets regarding astrocyte-derived molecules following TBI. Following TBI, damaged cells release danger signals. And
stressed intermediate filaments networks within astrocytes activate ion influx through the mechanosensitive ion channel, resulting in the further
release of danger signals. These signals serve to activate neuroglia and induce a robust sterile immune reaction and other secondary TBI
pathogenesis. Reactive astrocytes secrete a wide range of factors that affect neurogenesis, synaptogenesis and synaptic stability, and
angiogenesis, which may represent the therapeutic targets. Modulating the maladaptive microenvironment caused by neuroinflammation,
excitotoxicity and oxidative stress post-TBI is also a considerable therapeutic strategy. ANG-1, angiopoietin-1; CCL, chemokine (C-C motif) ligand;
CXCL, chemokine (C-X-C motif) ligand; GFAP, glial fibrillary acidic protein; HMGB1, high mobility group protein B1; HSP, heat shock proteins;
HSPGs, heparan sulfate proteoglycans; IFN, interferon; IGFBP-6, insulin-like growth factor binding protein 6; IL, interleukin; MMP, matrix
metalloprotein; PACAP, pituitary adenylate cyclase-activating peptide; SHH, sonic hedgehog; SPARC, secreted protein acidic and rich in cysteine;
STAT3, signal transducer and activator of transcription-3; TBI, traumatic brain injury; TGF-β, transforming growth factor-β; TNF, tumor necrosis
factor; TSP, thrombospondin; VEGF, vascular endothelial growth factor for the pharmacotherapy of TBI, but related clinical tri-
als are rare and the existing ones have failed to show
promise for long-term prognosis. Future research should
focus more strictly on distinguishing the various func-
tions of astrocyte-derived molecules in a clear subtype,
region, and stage of TBI. In addition, more clinical trials
concerning astrocyte-targeting therapy are warranted. reactive astrogliosis does not have a satisfying curative
effect, whereas selectively stimulating the beneficial
astrocyte-derived molecules while attenuating the dele-
terious ones based on the spatiotemporal-environment
represents a promising astrocyte-targeting therapeutic
strategy. As far, there are a number of related animal ex-
periments that provide some novel therapeutic targets Page 12 of 16 Page 12 of 16 Page 12 of 16 Zhou et al. Ethics approval and consent to participate
Not applicable. Ethics approval and consent to participate
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Supplementary Figure S3 from Whole-Exome Sequencing Analysis of the Progression from Non–Low-Grade Ductal Carcinoma <i>In Situ</i> to Invasive Ductal Carcinoma
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upplementary Figure S3. Copy number profiles of ductal carcinomas in situ (DCIS)
vasive ductal carcinomas of no special type (IDC-NST), and frequency of most comm upplementary Figure S3. Copy number profiles of ductal carcinomas in situ (DCIS)
vasive ductal carcinomas of no special type (IDC-NST), and frequency of most comm Supplementary Figure S3. Copy number profiles of ductal carcinomas in situ (DCIS) and
invasive ductal carcinomas of no special type (IDC-NST), and frequency of most commonly
mutated genes in DCIS, compared to luminal B IDC-NSTs, and according to ER/HER2 status (A) Heatmap illustrating copy number alterations in pure DCIS (n=7), and in synchronously diagnosed
DCIS (n=27) and IDC-NSTs (n=26). Clinicopathologic characteristics are shown in phenobars (left). (B-
I) Frequency plots and Fisher's exact test corrected for multiple testing comparing copy number gains
and losses (left) and amplifications and homozygous deletions (right) in (B) synchronous DCIS (n=27)
and IDC-NSTs from this study (n=26), (C) synchronous DCIS (n=27) and IDC-NSTs from TCGA
matched to DCIS from this study by age, menopausal status and ER/HER2 status at a 3:1 ratio (n=81),
(D) synchronous ER-positive DCIS from this study (n=20) and ER-positive luminal B IDC-NSTs from
TCGA matched to the synchronous ER-positive DCIS from this study by age, menopausal status and
HER2 status (n=60), (E) synchronous DCIS (n=27) and pure DCIS (n=7) from this study, (F) grade 2
DCIS (n=14) and grade 3 DCIS (n=20) from this study, (G) ER-positive/HER2-negative DCIS (n=21)
and ER-negative/HER2-negative DCIS (n=6) from this study, (H) ER-positive/HER2-negative DCIS
(n=21) and HER2-positive DCIS (n=7) from this study, and (I) ER-negative/HER2-negative DCIS (n=6)
and HER2-positive DCIS (n=7) from this study. The frequency of gains/amplifications (green bars) or
losses/homozygous deletions (purple bars) for each gene is plotted on the y-axis according to genomic
position (x-axis). Inverse Log10 values of the Fisher's exact test P values are plotted according to
genomic location (lower panels). (J-K) Comparison of the most frequently mutated cancer genes of the
MSK-IMPACT panel identified in (J) synchronous ER-positive DCIS from this study (n=20) and in ER-
positive luminal B IDC-NSTs from TCGA (n=60) matched to the synchronous ER-positive DCIS from
this study by age, menopausal status and HER2 status at a 3:1 ratio, and in (K) ER-positive/HER2-
negative DCIS from this study (n=21), ER-negative/HER2-negative DCIS (n=6) and HER2-positive
DCIS (n=7) from this study. Cases are shown in columns and genes in rows. Fisher's exact test. ER,
estrogen receptor; DCIS, ductal carcinoma in situ; IDC-NST, invasive ductal carcinoma of no special
type; indel, insertion and deletion; SNV, single nucleotide variant; WES, whole-exome sequencing.
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Lifestyle modification practice and associated factors among diagnosed hypertensive patients in selected Hospitals in West Arsi Zone, Oromia Regional State, Ethiopia
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Lifestyle Modification Practice and Associated
Factors among Diagnosed Hypertensive Patients in
Selected Hospitals in West Arsi Zone, Oromia
Regional State, Ethiopia Hika Wakjira
(
hikawakjira@gmail.com
)
West Arsi Zone health Office ,Oromia region, Ethiopia
Tesfaye Gobena
Haramaya University
Hirbo Shore
Haramaya University Tesfaye Gobena
Haramaya University
Hirbo Shore
Haramaya University Research Article Research Article
Keywords: Lifestyle modification, Hypertension, practices, Ethiopia
Posted Date: March 2nd, 2021
DOI: https://doi.org/10.21203/rs.3.rs-244665/v1
License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Page 1/18 Abstract Background: Globally 1.13 billion peoples were living with hypertension, Out of this two-thirds of them
were living in low and middle-income countries. In Ethiopia, Non Communicable Disease deaths are
estimated at around 42%. However, it remain widely undetected and poorly controlled. To resolve these,
lifestyle modification approach that often overlooked are corner stone of the prevention and management
of hypertension. Objective: To assess lifestyle modification practice and associated factors among hypertensive patients
in selected hospitals in West Arsi Zone, Oromia Regional, Ethiopia December 7 to 21, 2019. Method: Hospital-based cross-sectional study was conducted in the selected public hospital among 299
hypertensive patients. Systemic random sampling method were used to select the study participants. Data were collected by face-to-face interviews using a structured questionnaire by trained data collectors. Data were analyzed using descriptive statistics and multivariate logistic regression method to identify
predictors of the outcome (p<0.05). Results: Of the total participants, only 25.2% (95% CI: 18.8-32.9) of the patients were practice
recommended lifestyle modifications. Patients Age older than 65 years (AOR=2.9, 95% CI: 1.17-7.0), the
patients with 2-5 years’ time since diagnoses hypertension (AOR=0.26, 95%CI: 0.07-0.9), multiple co-
morbidity (AOR=2.7, 95% CI: 1.25-5.8) and their knowledge on hypertension management (AOR=14.6, 95%
CI: 4.6-45.9) have an independently associated with recommended lifestyle modification. Conclusion: Lifestyle modification practices among hypertensive patients were low in this study. Age,
comorbidity, time since diagnoses of hypertension and knowledge of lifestyle were identified as
predictors of the outcome. Introduction Hypertension is defined as when increased blood pressure, the force of blood flowing through blood
vessels is consistently too high. Which occurs when systolic blood pressure is greater than or equals to
140 mmHg or diastolic blood pressure greater than or equals to 90 mmHg. So that, hypertension is when
blood pressure is reading 140/90 mmHg (American heart association, 2017,). High blood pressure, also
known as hypertension, is a major contributor to the global disease burden and was responsible for 17.9
million deaths each year globally. However, it remain widely undetected, undertreated and poorly
controlled. Globally 1.13 billion peoples were living with hypertension, these means 1 in 4 men and 1 in 5
women had hypertension. Out of this two-thirds of them were living in low and middle-income countries
(WHO, 2019). The prevention and management of hypertension are major public health challenges, (Joint, 2004). For
example, globally only fewer than 1 in 5 people with hypertension have the problem under control. These
is due to the sharing of four major risk factors: tobacco use, unhealthy diets, harmful use of alcohol, and Page 2/18 Page 2/18 physical inactivity. To address this World Health Organization (WHO) developed an action plan to help
translate these commitments into action. This global action plan for prevention and control of NCDs for
2013-2020 emphasizes addressing population-based risk factors and the integrated management of
NCDs at the primary healthcare level which recommended lifestyle modification for hypertensive patients
(World Health Organization, 2013). As member state of the WHO, Ethiopia adopted the global strategy
and developed the national NCD strategy for 10 years (FMOH, 2014). But fewer is known about magnitude health lifestyles since many of the study were conducted on NCD
especially Hypertension in Ethiopia were focus on the pharmacological managements of hypertension
and its prevalence but not on non-pharmacological managements (lifestyles modification).That means
there are only few studies done on the practice of lifestyles modification and associated factors of
hypertension to show the gap and magnitude of the problem in this study area. So these study that considers the practice of lifestyles modification and associated factors will guide
actions to initiate for greater practice of good lifestyle modification among the hypertensive patients by
providing the evidence to understanding the magnitude of the problem. So this study was to assess
adherence to lifestyle modification practice and its associated factors among diagnosed hypertensive
patients in the study area. Study area and period The study was conducted in West Arsi zone on selected public hospitals. West Arsi Zone found in Oromia
regional state, Ethiopia. It is located 251 km from Addis Ababa. The zone has 13 rural woredas and 2
administrative towns with a total population of 2,696,430 male 1330 488 and female 1365942. Moreover,
divided into three main agro-climatically zones, highland, midland, and lowland, which comprises of
45.5%, 39.6%, and 14.9% respectively(Abu et al., 2018). Data will be collected from December 7 to 21,
2019. Study design Hospital based cross-sectional study was conducted. Study population Randomly Selected hypertensive patients who fulfilled the inclusion criteria’s and were available during
the time of data collection. Source population All hypertensive patients who were on follow up at hospitals in West Arsi Zone Inclusion and exclusion criteria Page 3/18 All hypertensive patients who are 18 years and older, and on medical treatment (antihypertensive) at least
for 1 months period before commencement of the study was recruited were included and Patients with
cognitive impairment and those less than 18 years old were immediately excluded from the study. All hypertensive patients who are 18 years and older, and on medical treatment (antihypertensive) at least
for 1 months period before commencement of the study was recruited were included and Patients with
cognitive impairment and those less than 18 years old were immediately excluded from the study. Independent variables Independent variables Socio-Economic variables: Age, sex, income, marital status, educational status, religion, occupation,
ethnicity, residence. Socio-Economic variables: Age, sex, income, marital status, educational status, religion, occupation,
ethnicity, residence. Health profile of the patients: - Time since diagnosis, presence of co-morbidity, family history of
hypertension. Individual factors: - knowledge of lifestyle modification practice. Sample size determination Sample size was calculated using a single population proportion formula by assuming that 23%
proportion of the patients practiced lifestyle modifications (Mengistu et al., 2017) with 95% confidence
interval and 5% margin of error. Therefore, 272 + (272 x 10%) non response rate =299 hypertensive
patients was included in the study. Sampling procedure In the zone, there are 7 hospitals that offer chronic follow-up services. First, out of 7 public hospitals,
three was selected by simple random sampling. Then, the sample size was allocated to three hospitals
proportionally (based on the number of patients reporting per month). Study subjects were selected by
using systematic random sampling method; every second hypertensive patient visiting the facilities at
chronic follow-up departments who were known to be hypertensive.(figure :3) Dependent variable The practice of lifestyles modifications The practice of lifestyles modifications Data collection method Page 4/18
Data was collected using standardized pre-tested interviewer administered questionnaire. Which was
adapted from hypertension self-care practice questions recommended by joint national committee ( JNC
7) and WHO STEPS questionnaires(WHO,2016).The questionnaire was translated into Afan Oromo and
back to English by language experts to ensure its consistency. The interview was conducted by eight BSc
Nurse by using face to face interview method and two health officer supervisor was assigned to each
hospital. The socio-demographic, health profiles of participants, Physical characteristics (height and
weight) were measured. Weight and height of the patients was measured and BMI was calculated and Page 4/18 classified using WHO guideline as normal weight, overweight and obese. Weight and height
measurements was taken during data collection. In addition, the patient medical record was reviewed to
collect data of co-morbidity and time since diagnosis of hypertension. classified using WHO guideline as normal weight, overweight and obese. Weight and height
measurements was taken during data collection. In addition, the patient medical record was reviewed to
collect data of co-morbidity and time since diagnosis of hypertension. Adherence to lifestyle modifications practice: Were Measured based on respondents who adhere to Adherence to lifestyle modifications practice: Were Measured based on respondents who adhere to
(DASH) diet they usually or always consumed a diet rich in vegetables, grains and fruits; rarely or never
consumed salt at least 3 times per week, aerobic exercise for >30 minutes per day; at least three times per
week, stop smoking, and Keep daily alcohol intake below 30 mL net Alcohol according to JNC 7
recommendations. In this study the respondents who adhere to all this five healthy lifestyle were
considered as adherent unless non-adherent. Co-morbidity: respondents with one or more other medical condition in addition to hypertension Diet-related adherence: Who usually or always consumed a diet rich in vegetables, fibers wholegrain,
protein and fruits; rarely or never consumed salt; at least 3 times per week. Diet-related adherence: Who usually or always consumed a diet rich in vegetables, fibers wholegrain,
protein and fruits; rarely or never consumed salt; at least 3 times per week. Exercise-related adherence: Such as running, riding bicycle, swimming and other aerobic exercise for >30
minutes per day; at least five times per week. Exercise-related adherence: Such as running, riding bicycle, swimming and other aerobic exercise for >30
minutes per day; at least five times per week. Smoking-related adherence: respondents who self-reported, they either never smoked or stopped smoking
before 12 months. Smoking-related adherence: respondents who self-reported, they either never smoked or stopped smoking
before 12 months. Salt-related Adherence: The daily consumption of salt less than 5g or 1 teaspoon or never consume per
food palate Alcohol -related adherence: Either never consumed alcohol or Keep daily alcohol intake below 30 mL net
Alcohol. Body mass index: calculated from the weight and height (kg/m2) normal weight (18.5 ≤ BMI < 24),
overweight (24 ≤ BMI < 28), and obese (BMI ≥ 28) (WHO, 2016) Body mass index: calculated from the weight and height (kg/m2) normal weight (18.5 ≤ BMI < 24),
overweight (24 ≤ BMI < 28), and obese (BMI ≥ 28) (WHO, 2016) Knowledge of healthy lifestyle: Respondents with score above the mean value on hypertension evaluation
of lifestyle and management (HELM) scale were taken as having good knowledge about lifestyle
modification. Operational definition Lifestyle modification is a practice which was recommended by JNC 7 as non-pharmacological
managements of hypertension measured using physical exercise, low salt diet, and moderation of
alcohol intake, stop smoking, and maintaining health weight. Data Quality Assurance Data Quality Assurance Page 5/18 Page 5/18 Both the data collectors and supervisors were trained for two days on the objective and methodology of
the research, data collection approach. The questionnaire was translated to Afaan Oromo language and
back-translated into English by another person to check for consistency. A pretest was conducted in
15(5%) of the samples in a health care institution that was not included in the final study. The data
collection instruments were assessed for completeness, consistency, and applicability and was ratified
accordingly. Double data entry was done by two data clerks and consistency was checked. Finally,
multivariate analysis was done to control all possible confounders. The study procedures was protect the
patient's privacy by allowing anonymous and voluntary participation. Both the data collectors and supervisors were trained for two days on the objective and methodology of
the research, data collection approach. The questionnaire was translated to Afaan Oromo language and
back-translated into English by another person to check for consistency. A pretest was conducted in
15(5%) of the samples in a health care institution that was not included in the final study. The data
collection instruments were assessed for completeness, consistency, and applicability and was ratified
accordingly. Double data entry was done by two data clerks and consistency was checked. Finally,
multivariate analysis was done to control all possible confounders. The study procedures was protect the
patient's privacy by allowing anonymous and voluntary participation. Ethical consideration Ethical clearance was obtained from Institutional Health Research Ethics Review Committee (Ref. No. IHRERC/119/2020) of the College of Health and Medical Science Harar Campus and an official letter was
sent to the selected public hospitals. After getting permission from the hospitals to participate in the
study, informed, voluntary, written and signed consent was obtained for willingness of both head of
hospitals and patients to participate. The patients‟ privacy was maintained by conducting the interview
in a private place and they will be informed that there won’t be any incentive or harm for their
participation in this study. Finally, participants‟ identity was kept anonymous throughout the data
collection and analysis process. Data Processing and Analysis Data were coded, checked, cleaned and entered into Epidata version 3.1 software, then exported to SPSS
version 24.0 software for analysis. Data was checked for incomplete and inconsistent before analysis. Bivariate analysis was used to check associations between independent and dependent variables to
identify factors which was associated with the outcome variable. Those variables which was found to
have an association (p< 0.25) with the outcome variable was entered to multivariate logistic regression to
test for independent association. The association between the different independent variables in relation
to dependent was measured using odds ratios and 95% confidence interval (CI) and P values below 0.05
were considered to be statistically significant. Factors associated with adherence to lifestyle modifications practices The results of the bivariate analysis shows that age, Co-morbidity, time since diagnosis of Hypertension,
those who has formal education and knowledge of lifestyle modification were become significant
association with dependent Variable. After controlling possible confounding effects of other covariates, age, time since diagnosis, co-morbidity
and knowledge about the disease were significantly affecting the adherence to healthy lifestyle
modification among hypertensive patients. Patients older than 65 years was 3 times more likely to be
adherent to recommended healthy lifestyle modification practices than patients younger than 64 years
old (AOR=2.9, 95% CI: 1.17-7.0). Those respondents who had good knowledge were 15 times more likely
to be adherent (AOR=14.6, 95% CI: 4.6-45.9) compared to the non-knowledgeable respondents. Additionally, the patients with 2-5 years since times of diagnosis were 74% times less likely practicing
healthy lifestyle modification (AOR=0.26,95%CI:0.07-0.9) as compared to those on treatment for greater
than 6 years of treatment. Also, patients who were with co-morbidity were 2.7 more likely to practice
healthy lifestyle modification (AOR=2.7, 95% CI: 1.25-5.8) as compared to those without comorbidity
(Table 4). After controlling possible confounding effects of other covariates, age, time since diagnosis, co-morbidity
and knowledge about the disease were significantly affecting the adherence to healthy lifestyle
modification among hypertensive patients. Patients older than 65 years was 3 times more likely to be
adherent to recommended healthy lifestyle modification practices than patients younger than 64 years
old (AOR=2.9, 95% CI: 1.17-7.0). Those respondents who had good knowledge were 15 times more likely
to be adherent (AOR=14.6, 95% CI: 4.6-45.9) compared to the non-knowledgeable respondents. Adherence to recommended lifestyle modification practices among hypertensive patient According to the finding of these study, 25.2 %( 95 % CI: 18.8-32.9) of patients practice all recommended
lifestyle modifications. As age increase the adherence to healthy lifestyles were also increase (Figure 1 &
2). Of the total participants, 63.4% do not engage in regular physical exercise for at least 3 days of the
week with a minimum of 30 min duration. One hundred forty five (48.5%) of study subjects were adhere
to limitation of alcohol intake and more than half (52.5%) of them practices recommended low salt diet. Additionally, majority of participants were not ever smoking 225(75.2%) and 10% of hypertensive patients
were smoke cigarettes. Nearly half, 142(47.5%) of study participants were practicing recommended
health weight managements. Only 45% of respondent has knowledge’s of recommended lifestyle
modification practices (Table 3) Socio-demographic Characteristics of Study Participants A total 299 hypertensive patients were included in the study with response rate of 98%. The mean age ±
standard deviation of the participant was 55 ±13.3 years. More than half, 172(57.4%) of the study
participants were male, and 213(71.3%) were married. Over 1 in five of respondents had no formal
education. Over one in five (21.8%) and 58(23.8%) Participants were government employee and in merchant, respectively. over three-quarter (76.2%) were
Oromo Ethnicity and 121(40.6%) were Muslims. (Table 1). Page 6/18 Page 6/18 Clinical characteristics of Study participants From participants, the majority 144(48%) of them were less than 2 years since when they are diagnosed
as hypertensive patients and 62(20.8%) patients diagnosed before 6 years on treatments. From the total,
158(53%) patients were overweight whereas 30(9.9%) were Obese. Over Two third (62.3%) of respondents
had co-morbidity especially Diabetic mellitus and 117(39.1%) has family history of hypertension. (Table
2) Discussion Even though healthy lifestyle modification is one of important hypertension management, poor
adherence to healthy lifestyle is one of the reasons for serious complication and uncontrolled Page 7/18 Hypertension in addition to wastage of health care resources. So, Control of hypertension requires both
pharmacological and non-pharmacological treatments. Since the adherence to healthy lifestyle and
medication is ultimate strategies to control hypertension, this study was aimed to asses’ lifestyle
modification practices and associated factors among diagnosed hypertensive patients. According to the Main intention results of these study only 75(25.2%) participants were practicing the
recommended lifestyle modification. Nearly comparable results 27.3% Adherence were revealed
according to study conducted in Ethiopia in Durame and Nigist Elleni memorial hospital (Siyum et al.,
2017). In contrast, the study conducted in USA shows that 50% of participants were engaged in healthy
lifestyle practices (Abu et al., 2018). This might be due to difference educational back ground of patients
and level of awareness about lifestyle modification and its advantages. It also might be due to patients
relay only on medication without considering effects of healthy lifestyle modification on hypertension
control. From the participants three fourth of them were non-smokers and half of them were abstained from any
type of alcohol drinking or less than 30 mL net alcohol daily consumption. This is supported by study
finding which is done in Malaysia and Ghanaian on hypertensive patients (Afia et al., 2014, Tahmina et
al., 2018). This could be due to social and cultural practices that discourage alcohol drinking and
smoking. In these study less than half of participants were adherent to Performing recommended physical exercise
for 30 minute per day. But similar studies results from India and Thailand found (53%) and (40%)
respectively (Lipilekha et al., 2017, Zahid et al., 2017). The possible explanation could be related to low
awareness, socio-economic variation and lack of organized setup in living areas in developing countries
like Ethiopia. In these study less than half of participants were adherent to Performing recommended physical exercise
for 30 minute per day. But similar studies results from India and Thailand found (53%) and (40%)
respectively (Lipilekha et al., 2017, Zahid et al., 2017). The possible explanation could be related to low
awareness, socio-economic variation and lack of organized setup in living areas in developing countries
like Ethiopia. Discussion Among lifestyle modification two fourth of the participants practicing limited salt diet ( ≤ 1 tsp/day of
table salt) and nearly half of them were practicing maintaining’s of a healthy weight using recommended
diets (DASH) including more fruits, vegetable, grains, and beans in the diet and reading nutritional facts
on food labels. Similar study finding from Saudi Arabia shows that the 79.3% of patient practice low salt
diet and 59.9% practicing maintaining’s of a healthy weight (Lama et al., 2017). The discrepancy between
these study and the study from Saudi Arabia could be due to the economic class, the difference in the
dietary habits and easy access of recommended diets. Older age respondents were found to be more adherent to health lifestyle than younger age groups. The
study from kingdom of Sued Arabia support this finding ,in that age >65 years old more likely in
practicing recommended lifestyle modification (Abubaker, 2015). This could be due to older persons have
more education and cognitive function and have more comorbidities which may make them visit health
care providers more frequently. Another explanation might be younger patients were less likely eager to
control their blood pressure by practicing the lifestyle modification. Page 8/18 On the other hand, Knowledge is also significantly associated with adherence to healthy lifestyle
modification. Knowledgeable hypertensive patients about healthy lifestyle were more adherent to
recommended healthy lifestyle modifications. This is supported by the finding from the study in Ethiopia
at the cardiac clinic of Ayder comprehensive specialized hospital and USA ,Maryland (Abu et al., 2018,
Yirga et al., 2019). Explanation might be as knowledge status increase practice and motivation of
lifestyle modification practice will also increase. It may be due to access to information sources like
fosters, leaflets and similar written material about hypertension managements and controls A study conducted in Addis Ababa found out that people with comorbidities were more likely to be
adherent to healthy lifestyle recommendations (Abu et al., 2018, Mengistu et al., 2017). Surprisingly the
finding of these study also depicting respondents having one or more comorbidity were found more likely
to be adherent to all the healthy lifestyle recommendations. Patients with comorbidities visit health care
providers more frequently and pay more attention to their health conditions, as this was evidenced by
better adherence to lifestyle modifications. Conclusion This study revealed lifestyle modification practice is low among the hypertensive patients. Of the studied
variables, age, duration of the hypertension diagnosis, knowledge about lifestyle and comorbidity were
factors significantly associated with health lifestyle modification practice. Out of this factors duration of
the hypertension diagnosis (time since diagnosis) were negatively associated with lifestyle modification
and the rests age, knowledge about healthy lifestyle and comorbidity were positively associated with
lifestyle modification. Discussion Hypertensive Patients with greater than 6 years times since diagnoses were more likely to practice
healthy lifestyle modification as compared to those on treatment for less 2 years treatment. This finding
is supported by different studies that show patients on longer duration of treatment had good lifestyle
modification practice (Durai and R, 2015, Siyum et al., 2017). This might be due to continued counseling’
and health education. The limitation is that the study didn’t include hypertensive patients who were attending follow up in
private health facilities in study area. Also, research methodologies involving self-reported measures
depend largely on individuals‟ memory, and recall bias may exist. Abbreviations AOR: Adjusted Odd Ratio, BP: Blood pressure, HELM: Hypertension Evaluation of Lifestyle and
Management Scale. CVD: Cardiovascular Disease, DALY: Disability Adjusted life years, DASH: Diet
Allowance to stop Hypertension, DBP: Diastolic blood pressure, ETB: Ethiopian birr, FMO: Federal ministry
of health, HELM: Hypertension Evaluation of Lifestyle and Management Scale, JNC7: 7the Joined
National Committee .NCD: Non communicable Disease, SBP: Systolic blood pressure Page 9/18 Author’s contributions HW, TG and HS made a substantial contribution to the conception design, acquisition and interpretation
of data. HW drafted the manuscript and carried out rigorous editorial work. All authors revised the paper
critically for the intellectual contents. All authors read and approved the final manuscript. ACKNOWLEDGEMENTS First of all I am very grateful to God. Next, I would like to thank both my advisors Associate Professor
Tesfaye Gobena and Mr.Hirbo Shore (MPH) for their unreserved guidance and constructive suggestions
and comments, at each step of the research development. Next I would like to thank the participants of
this thesis for their cooperation and Haramay University for giving me this chance. Author’s information HW1, 2 Shala District health office West Arsi Zone, Oromia, Ethiopia. TG1, HS1 College Health and Medical
science, Haramaya University, Harar, Ethiopia. Conflict of interest: The authors declare that they have no competing interests. References ABUBAKER, E. 2015. Level Of Adherence To Lifestyle Changes And Medications Among Male
Hypertensive Patients In Two Hospitals In Taif; Kingdom Of Saudi Arabia International Journal of
Pharmacy and Pharmaceutical Sciences 7, 168-172 ABUBAKER, E. 2015. Level Of Adherence To Lifestyle Changes And Medications Among Male
Hypertensive Patients In Two Hospitals In Taif; Kingdom Of Saudi Arabia International Journal of
Pharmacy and Pharmaceutical Sciences 7, 168-172 ABU, H., ABOUMATAR, H., CARSON, K., GOLDBERG, R. & L., C. 2018. Hypertension knowledge, heart
healthy lifestyle practices and medication adherence among adults with hypertension. European Journal
for Person Centered Healthcare, 6, 108-114. ABU, H., ABOUMATAR, H., CARSON, K., GOLDBERG, R. & L., C. 2018. Hypertension knowledge, heart
healthy lifestyle practices and medication adherence among adults with hypertension. European Journal
for Person Centered Healthcare, 6, 108-114. AMERICAN HEART ASSOCIATION 2017,. Guideline for the Prevention, detection, evaluation and
management of high Blood Pressure in adults,. AMERICAN HEART ASSOCIATION 2017,. Guideline for the Prevention, detection, evaluation and
management of high Blood Pressure in adults,. AFIA, T, F., O, M. & S, I. I. 2014. Ghanaian hypertensive patients understanding of their medicines and life
style modification for managing hypertension. International Journal of Pharmacy and Pharmaceutical
Sciences, 6, 165-170 DURAI, V. & R, A. 2015. Knowledge and Practice on lifestyle modifications among males with
hypertension. Indian journal of community health, 27, 143-149. FMOH 2014. National strategic action plan for the prevention and control of NCDs in Ethiopia 2014 -
2016. . Page 10/18 Page 10/18 Page 10/18 JOINT, T. S. R. O. T. C. N. 2004. prevention, detection, evaluation, and treatment of high blood pressur. National Institutes of Health, U.S. Department of Health and Human Services. LAMA, A., ALSHIMAA, A., MARADI, A. & RANA, M. 2017. Awareness and Knowledge on Hypertension and
its Self-Care Practices Among Hypertensive Patients in Saudi Arabia. Annals of International Medical and
Dental Research,, 3, 58-63. LIPILEKHA, P., KALYAN, K., SUMITRA, P. & TRILOCHAN, S. 2017. Lifestyle Pattern and Hypertension
Related Knowledge, Attitude and Practices among Diagnosed Patients of Hypertension Attending a
Tertiary Care Hospital. Journal of Cardiovascular Disease Research, 8, 108-111. MENGISTU, D., TIBEBU, A. & NEGESA, L. 2017. Adherence to recommended lifestyle modifications and
factors associated for hypertensive patients attending chronic follow-up units of selected public hospitals
in Addis Ababa, Ethiopia,. Patient Preference and Adherence, 11, 323-330. SIYUM, E., KELBISO, L. & OLANA, R. 2017. Lifestyle modification practice andassociated factors among
diagnosedhypertensive patients in selected hospitals,South Ethiopia, . Clinical Hypertension 23, 1-9. TAHMINA, N, H., K, K. & M, R. 2018. Lifestyle modification practice in rural community at Kedah in
Malaysia. Journal of Basic, Clinical and Applied Health Science, 1, 19-26 WORLD HEALTH ORGANIZATION, G. 2013. A global brief on hypertension. WHO 2005. Clinical guidelines for the management of hypertension WHO 2005. Clinical guidelines for the management of hypertension WHO 2016. WHO STEPwise Approach to Chronic Disease Risk-Factor Surveillance 2016. WHO STEPwise Approach to Chronic Disease Risk-Factor Surveillance YIRGA, L., SEID, I., KASSA, T. D. & ASGEDOM, S. W. 2019. Practice and predictors of self-care behaviors
among ambulatory patients with hypertension in Ethiopia. PLoS ONE 14(6), 1-16. ZAHID, H. M., MOST, L., SATYA, P. & MARIF 2017. Knowledge, attitude and practice of life style
modification in the management of hypertension. Obese Eat Disorder,, 3, 21. Table 1 Socio-demographic characteristics of participants West Arsi Zone, Ethiopia, 2019 Table 3 Adherence to recommended lifestyle modifications practice among hypertensive patients attending chronic follow up units
of selected hospitals in West Arsi zone, Ethiopia, 2019 Table 4: - Predictors of lifestyle modification practices among hypertensive patients attending chronic follow up units of selected
hospitals in West Arsi zone, Ethiopia, 2019 Tables Page 11/18 Page 11/18 Frequency
Percent (%) Age in year
(18-40 ) Early adulthood
50
16.8
(41-64 ) Middle Adulthood
132
44.1
( ≥65 ) Late Adulthood
117
39.1
Sex
Female
127
42.6
Male
172
57.4
Marital status
Single
8
3
Divorce
39
12.9
Widowed
39
12.9
Married
213
71.3
Educational status
Secondary
46
15.3
Primary
47
15.8
Able to read and write
56
18.8
No formal education
63
20.8
College and above
87
29.2
Employment status
Daily laborer
27
9.4
Housewife
36
11.9
Retired
42
13.9
Private employee
58
19.3
Government employee
65
21.8
Merchant
71
23.8
Religion
Other(wakefata,jovh)
15
3.5
Catholic
28
6.4
Protestant
74
16.8
Muslim
182
40.6
Orthodox
61
32.6
Ethnicity
Wolayita and Others
28
9.4
Amhara
43
14.4
Oromo
228
76.2
Average monthly income
<999 ETB
7
2.5
1000-1999ETB
40
13.4
No regular income
61
20.3
2000-2999ETB
86
28.7
>3000ETB
105
35.1 Table 2:- Health profiles of respondents among hypertensive patients attending chronic follow up units of selected hospitals in
West Arsi zone, Ethiopia, 2019 Page 12/18 Page 12/18 Variables categories Frequency percent (%)
Time since diagnosis
less than 2 years
144
48
2-5 years
93
31.2
greater than 6 years
62
20.8
Body mass index(kg/m2)
Normal(18-24)
111
37.1
Overweight(24-28)
158
53
Obese(≥28)
30
9.9
Multiple Comorbidities
present
186
62.3
Absent
113
37.6
Family history of hypertension
Yes
117
39.1
No
182
60.9 Page 13/18 Variables
frequency
Percent (%)
Maintain a healthy weight
Good
142
47.5
Bad
157
52.5
Limit alcohol intake
Yes (daily net alcohol intake below 30 mL )
145
48.5
No (daily net alcohol intake Above 30 mL)
154
51.5
Perform recommended physical exercise (30 min/day)
Yes
109
36.6
No
190
63.4
Status of tobacco use
Ever not used
225
75.2
Still smoking
30
10
Stopped smoking
44
14.8
Practice recommended low salt diet
Yes (about ≤ 1 tsp/day of table salt). 157
52.5
No (greater than 1 tsp/day of table salt). Tables 142
47.5
Adherence to all recommended healthy lifestyle
Adherent
75
25.2
Non adherent
224
74.8
Knowledgeable about healthy lifestyle
poor
135
45
good
164
55 frequency
Percent (%) Variables Table 4: - Predictors of lifestyle modification practices among hypertensive patients attending chronic follow up units of selected
hospitals in West Arsi zone, Ethiopia, 2019 Page 14/18 Page 14/18 Variables
Healthy Lifestyle adherence
Adherent
N (%)
Non-adherent N (%)
COR(95% CI)
AOR(95%CI)
Age in year
18-40
22(29.4)
34(15.2)
1
41-64
19(25.5)
92 (41.1)
0.59 (0.4-3.6)
1.4 (0.4 - 4.6)
≥65
34(45.1)
98(43.7)
1.6 (1.01-4.97)*
2.9(1.17-7.0)*
Sex
Male
35(47)
90(40.3)
1
Female
40(53)
134(59.6)
0.764(0.70-2.48)
1.13(0.5-2.3)
Marital status
Married
59(78.4)
154(68.8)
1
Divorce
10(13.7)
34(15.2)
0.76 (0.40-2.67)
0.9 (0.36-2.6)
Widowed
6(8)
36(15.9)
2.1(0 .68,-6.5)
1.9 (0.6-6.5)
Educational status
No formal education
6(7.8)
56(25.1)
1
Formal education
69(92.1)
168(74.8)
3.8 (1.15-9.57)*
1.7 (0.5-5.6)
Average monthly income
no regular income
10(13.7)
50(22.5)
1
1000-1999ETB
6(8)
42(18.5)
0.40(0.16- 1.1)
1 (0.26-4.4)
2000-2999ETB
28(37.2)
58(25.8)
0.35(0.21-0.58)
0.4 (0.15-1.2)
>3000ETB
31(41)
74(33)
1.18(0 .3-4.5)
0.48 (0.17-1.3)
Knowledgeable about healthy lifestyle
Poor
16(21.5)
148(66.2)
1
Good
59(78.4)
76(33.7)
7.1(3.4-15.07)*
14.6(4.6-45.9)**
Time since diagnosis
less than 2 years
44(58.8)
99(44.3)
1
2-5 years
19(25.5)
74(33.1)
0.57 (0.074-0.85)*
0.26(0.07-0.9)*
greater than 6 years
12(15.6)
50(22.5)
0 .86(0.272-2.76)
0.4(0.1- 1.45)
Multiple Comorbidities
Absent
25(31.6)
126(58.6)
1
Present
54(68.3)
89(41.3)
3.05(1.771-5.28)*
2.7(1.25-5.8)**
atistically significant at P<0.05, **AOR=statistically significant at P<0.001, istically significant at P<0.05, **AOR=statistically significant at P<0.001, Figures Page 15/18 Figure 1
Adherence to healthy lifestyle among hypertensive patients attending chronic follow up units of selected
hospitals in West Arsi zone, Ethiopia, 2019 Figure 1 Adherence to healthy lifestyle among hypertensive patients attending chronic follow up units of selected
hospitals in West Arsi zone, Ethiopia, 2019 Adherence to healthy lifestyle among hypertensive patients attending chronic follow up units of selected
hospitals in West Arsi zone, Ethiopia, 2019 Page 16/18 Figure 2 Figure 2
Adherence to healthy lifestyle by age group among hypertensive patients attending chronic follow up
units of selected hospitals in West Arsi zone, Ethiopia, 2019 Figure 2 Adherence to healthy lifestyle by age group among hypertensive patients attending chronic follow up
units of selected hospitals in West Arsi zone, Ethiopia, 2019 Adherence to healthy lifestyle by age group among hypertensive patients attending chronic follow up
units of selected hospitals in West Arsi zone, Ethiopia, 2019 Page 17/18 Page 17/18 Figure 3
Schematic presentation of sampling techniques used to select study subjects from public health
hospitals in West Arsi Zone, 2019 Figure 3 Schematic presentation of sampling techniques used to select study subjects from public health
hospitals in West Arsi Zone, 2019 Page 18/18
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First Experience with Fluorescence in Pediatric Laparoscopy
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European journal of pediatric surgery reports
| 2,019
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cc-by
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Abstract Background
The use of intraoperative fluorescence images with indocyanine green
(ICG) has recently been described as an aid in decision-making during surgical
procedures in adults. We present our first experiences with different laparoscopic procedures performed in
children using ICG fluorescence images. Material and Method
We have used ICG fluorescence imaging technique in varico-
cele ligation, two nephrectomies, cholecystectomy, and one case of aortocoronary
fistula closure. All procedures were performed through a minimally invasive approach. A high definition camera equipped with a visible infrared light source and gray-scale
vision technology was used. After injection of ICG before or during the laparoscopic procedure, precise identifica-
tion of vascular anatomy and bile duct architecture were easily identified. Fluorescence
helped to assess blood flow from the spermatic vessels, define the variability of renal
vascularization, and determine the precise location of the aortocoronary fistula. Biliary
excretion of the ICG allowed the definition of the biliary tract. Conclusion
Fluorescein-assisted images allowed a clear definition of the anatomy and
safe surgical maneuvers during surgical procedures. The ICG imaging system seems to
be simple and safe. Larger and more specific studies are needed to confirm its
applicability, expand its indications, and address its advantages and disadvantages. Case Report
e43 Case Report
e43 Case Report First Experience with Fluorescence in Pediatric
Laparoscopy Beatriz Fernández-Bautista1
David Peláez Mata1
Alberto Parente1
Ramón Pérez-Caballero2
Juan Carlos De Agustín3 Address for correspondence Beatriz Fernández-Bautista, Department
of Pediatric Surgery, Hospital General Universitario Gregorio
Maranon, St/ O’Donnell, 48, Madrid 28009, Spain
(e-mail: bea.bfb89@gmail.com). Address for correspondence Beatriz Fernández-Bautista, Department
of Pediatric Surgery, Hospital General Universitario Gregorio
Maranon, St/ O’Donnell, 48, Madrid 28009, Spain
(e-mail: bea.bfb89@gmail.com). Address for correspondence Beatriz Fernández-Bautista, Department
of Pediatric Surgery, Hospital General Universitario Gregorio
Maranon, St/ O’Donnell, 48, Madrid 28009, Spain
(e-mail: bea.bfb89@gmail.com). 1Department of Pediatric Surgery, Hospital General Universitario
Gregorio Maranon, Madrid, Spain
2Department of Cardiovascular Surgery, Hospital General
Universitario Gregorio Maranon, Madrid, Madrid, Spain
3Department of Pediatric Surgery, Gregorio Marañon University
Hospital, Madrid, Spain Eur J Pediatr Surg Rep 2019;7:e43–e46. New Insights and the Importance for the Pediatric Surgeon The ability to visualize the vascular structures or the bile duct allows us to approach laparoscopic techniques of different
complexities, with greater safety for the patient. We have verified its use in children. DOI https://doi.org/
10.1055/s-0039-1692191. ISSN 2194-7619. DOI https://doi.org/
10.1055/s-0039-1692191. ISSN 2194-7619. received
February 18, 2019
accepted after revision
April 29, 2019 Fluorescence Use in Pediatric Laparoscopy
Fernández-Bautista et al. e44 Case 2 A 13-year-old boy was scheduled for varicocelectomy. He had
a clinical history of asymmetry and testicular pain. Umbilical,
and right and left flank trocars (5 mm) were introduced for
lens and instruments, respectively. We present our experience in different laparoscopic pro-
ceduresperformed inchildren using ICGfluorescence imaging. After intravenous (IV) injection of ICG, the arterial vessels
were initially visualized following by the venous vessels. Thereafter, ligation of the spermatic cord was performed in
block, ensuring selection of all vessels and avoiding the section
of lymphatics that are not filled in this phase (►Fig. 2). Case 3 A 13-year-old girl was admitted because of cholelithiasis and
recurrent abdominal pain. She required two previous hospi-
tal admissions. Laparoscopic cholecystectomy was sched-
uled few days after admission. Fifteen minutes after ICG IV
injection, the biliary tree was perfectly drawn, allowing clear
identification of cystic artery, common bile duct, and hepatic
duct. Safe dissection of the bile duct and artery was per-
formed, completing cholecystectomy with total control of all
surgical maneuvers (►Fig. 3). Fig. 1
Aortocoronary fistula ligation. The image shows vascular
permeability of the fistula, clearly demonstrated with the uptake of
indocyanine green through it. Case Reports A high-definition camera (10 mm) (Stryker) equipped with a
visible infrared light source (800 nm) was used. The laparoscopy camera used includes 3 CMOS chip
technology, 1920 1080 p resolution, DVI, and S-VHS out-
puts and interval of 1/60 (1/50)-1/50000 seconds. Case 1 A 14-year-old girl presented with aortocoronary fistula,
which caused a decreased coronary flow during diastole. Her clinical condition worsened during exercise. Right three-
port (3 mm) thoracoscopy was performed in upright posi-
tions. The fistulous tract was readily identified and dissected
on arrival at the right atrium. The presence of this rare
vascular
anomaly
was
confirmed
by
fluorescence
by
immediate injection of ICG (dose of 0.2 mg/kg), allowing
better visualization and secure ligature (►Fig. 1). The current use of new techniques has allowed the recent
introduction of indocyanine green (ICG), which has facili-
tated the approach and the prevention of intraoperative
complications in adults. It provides greater clarity and depth
image visualization and reduces surgical time.1 Regarding
cholecystectomy, it helps to better identify the bile duct
anatomy, and in case of urological or oncological surgery, it
allows to define the vascular anatomy, reducing the number
of iatrogenic lesions2 TheexperiencewiththeuseofICGfluorescenceinadultshas
shown multiple applications in recent years (colorectal, vas-
cular, hepatobiliary, or tumor surgery)3; however, the experi-
ence and bibliography described in pediatric cases are specific. We present our experience in different laparoscopic pro-
ceduresperformed inchildren using ICGfluorescence imaging. TheexperiencewiththeuseofICGfluorescenceinadultshas
shown multiple applications in recent years (colorectal, vas-
cular, hepatobiliary, or tumor surgery)3; however, the experi-
ence and bibliography described in pediatric cases are specific. Introduction The ENV (endoscopic near-infrared visualization) mode is
used as a light source. Since the 1980s, minimally invasive surgery has provided
technological advances in different areas of surgery. European Journal of Pediatric Surgery Reports
Vol. 7
No. 1/2019 Fluorescence Use in Pediatric Laparoscopy
Fernández-Bautista et al. Fluorescence Use in Pediatric Laparoscopy
Fernández-Bautista et al. e45 Fluorescence Use in Pediatric Laparoscopy
Fernández-Bautista et al. e45 ICG has an exclusively biliary excretion; therefore, its
most logical application in the visualization of biliary tree
anatomy during laparoscopic cholecystectomy,2 as shown in
our case. After injection of ICG, the cystic artery could be
initiallyobserved, and 15 minutes later, the common hepatic,
common bile duct, and cystic duct were identified. In addi-
tion, this allowed better visualization and anatomical dis-
section, avoiding injury to the biliary tree. This technique
also
avoids
performing
intraoperative
cholangiography
when bile duct injury is suspected during the procedure.4 Fig. 3 Cholecystectomy. Thanks to the fluorescence, contrast uptake
can be observed initially in the cystic artery (A) and later in the cystic
duct (C). In the image, we are in a late phase of fluorescence since both
structures can be visualized. ICG has many other applications already described in the
literature; it allows identification of sentinel node in breast
tumors, melanoma, and prostate cancer among others. It also
facilitates lymphadenectomy in tumors with lymphatic
spread by local injection.5 Fig. 3 Cholecystectomy. Thanks to the fluorescence, contrast uptake
can be observed initially in the cystic artery (A) and later in the cystic
duct (C). In the image, we are in a late phase of fluorescence since both
structures can be visualized. In colorectal surgery, it facilitates intestinal resections
and is used to verify the adequate vascularization of the
intestinal anastomoses, demonstrating a lower rate of post-
operative complications.6,7 Fig. 4
Nephrectomy. The image shows the renal artery (A) and
periureteral vessels (U). Without fluorescence, the differentiation
between the ureter and the vessels is difficult. Thanks to the fluor-
escence, we can identify them more easily since the ureter does not
present contrast uptake. Other applications have been described in surgery, such as
liver resections, nephrectomies, and splenectomies.8,9 In
summary, ICG images are recommended for interventions
in which visualization of the vascular anatomy is necessary
to differentiate between anatomical and vascular var-
iants,3,10 as describe in our series of patients. The ICG imaging system seems to be simple and safe. Its
application in adult surgery is wide and contrasted. The
ability to visualize the vascular structures or the bile duct
anatomy allows us to approach laparoscopic techniques of
different complexities with greater safety for the patient. We have verified its use in children. Fluorescence Use in Pediatric Laparoscopy
Fernández-Bautista et al. Larger and more
specific studies are needed to confirm its applicability,
expand its indications, and address its advantages and
disadvantages. Fig. 4
Nephrectomy. The image shows the renal artery (A) and
periureteral vessels (U). Without fluorescence, the differentiation
between the ureter and the vessels is difficult. Thanks to the fluor-
escence, we can identify them more easily since the ureter does not
present contrast uptake. Conflict of Interest
None. Conflict of Interest
None. vascularization of the ureter. This technique definitively
facilitated safe dissection of the renal hilum (►Fig. 4). In all cases, we initially administrated ICG dye through a
peripheral venous access at a standard dose of 0.2 mg/kg. References No adverse effects were present during or after IV ICG
injections. 1 Boni L, David G, Mangano A, et al. Clinical applications of
indocyanine green (ICG) enhanced fluorescence in laparoscopic
surgery. Surg Endosc 2015;29(07):2046–2055 1 Boni L, David G, Mangano A, et al. Clinical applications of
indocyanine green (ICG) enhanced fluorescence in laparoscopic
surgery. Surg Endosc 2015;29(07):2046–2055 All patients were observed for 30 minutes to 1 hour in the
recovery room, except the patient with aortocoronary fistula
who was in the pediatric intensive care unit overnight. 2 Hiwatashi K, Okumura H, Setoyama T, et al. Evaluation of laparo-
scopic cholecystectomy using indocyanine green cholangiogra-
phy including cholecystitis: a retrospective study. Medicine
(Baltimore) 2018;97(30):e11654 2 Hiwatashi K, Okumura H, Setoyama T, et al. Evaluation of laparo-
scopic cholecystectomy using indocyanine green cholangiogra-
phy including cholecystitis: a retrospective study. Medicine
(Baltimore) 2018;97(30):e11654 3 Ueno M, Hayami S, Sonomura T, et al. Indocyanine green fluor-
escence imaging techniques and interventional radiology during
laparoscopic anatomical liver resection (with video). Surg Endosc
2018;32(02):1051–1055 European Journal of Pediatric Surgery Reports
Vol. 7
No. 1/2019 Cases 4 and 5 Two children aged 3 and 6 years, respectively, had steroid-
resistant hypertension and renal failure. Nephrectomy was
indicated in each of them, which was performed by retro-
peritoneal laparoscopy. In both cases, intraoperative injec-
tion of indocyanine dye allowed renal vascular anatomy to
be
identified
with
certainty,
showing
the
peripheral Fig. 1
Aortocoronary fistula ligation. The image shows vascular
permeability of the fistula, clearly demonstrated with the uptake of
indocyanine green through it. Fig. 2 Ligation of spermatic vessels in varicocele. After the injection of the contrast, the vessels are filled (arterial and venous) and its correct
ligature is verified, thanks to the infrared light of the fluorescence that indicates the vascular tree. Fig. 2 Ligation of spermatic vessels in varicocele. After the injection of the contrast, the vessels are filled (arterial and venous) and its correct
ligature is verified, thanks to the infrared light of the fluorescence that indicates the vascular tree. European Journal of Pediatric Surgery Reports
Vol. 7
No. 1/2019 9 Numanoglu A, Millar AJ. Necrotizing enterocolitis: early conven-
tional and fluorescein laparoscopic assessment. J Pediatr Surg
2011;46(02):348–351 10 Schlottmann F, Patti MG. Evaluation of gastric conduit perfusion
during esophagectomy with indocyanine green fluorescence
imaging.
J Laparoendosc
Adv
Surg
Tech
A
2017;27(12):
1305–1308 7 Ioannidis A, Wexner SD. Role of indocyanine green fluorescence
imaging in preventing anastomotic leak in colorectal surgery:
what lies ahead? Dis Colon Rectum 2018;61(11):1243–1244
8 Hong SK, Suh KS, Kim HS, et al. Pediatric living donor liver
transplantation using a monosegment procured by pure 3D
laparoscopic left lateral sectionectomy and in situ reduction.
J Gastrointest Surg 2018;22(06):1135–1136 7 Ioannidis A, Wexner SD. Role of indocyanine green fluorescence
imaging in preventing anastomotic leak in colorectal surgery:
what lies ahead? Dis Colon Rectum 2018;61(11):1243–1244 European Journal of Pediatric Surgery Reports
Vol. 7
No. 1/2019 (
)
8 Hong SK, Suh KS, Kim HS, et al. Pediatric living donor liver
transplantation using a monosegment procured by pure 3D
laparoscopic left lateral sectionectomy and in situ reduction.
J Gastrointest Surg 2018;22(06):1135 1136 Discussion ICG is an anionic molecule that is soluble in water, with a
molecular mass of 776 daltons. After IV injection, ICG binds
rapidlytoplasmaproteins,especiallytolipoproteins(albumin). Under near-infrared light, the released fluorescence can
be detected using a specifically designed camera.1 ICG is an anionic molecule that is soluble in water, with a
molecular mass of 776 daltons. After IV injection, ICG binds
rapidlytoplasmaproteins,especiallytolipoproteins(albumin). 4 Mattone E, Latteri S, Teodoro M, et al. Dystopic retrohepatic gall-
bladder and cholecysto-choledocho lithiasis: the rendez-vous and
indocyanine green fluorescence. Clin Case Rep 2018;6(03):522–526 Under near-infrared light, the released fluorescence can
be detected using a specifically designed camera.1 5 Papadia A, Buda A, Gasparri ML, et al. The impact of different doses
of indocyanine green on the sentinel lymph-node mapping in
early stage endometrial cancer. J Cancer Res Clin Oncol 2018;144
(11):2187–2191 Not every laparoscopic equipment includes or is compa-
tible for usage of an infrared light source, nor all equipment
have the same technology for doing that. 6 Son GM, Kwon MS, Kim Y, Kim J, Kim SH, Lee JW. Quantitative
analysis of colon perfusion pattern using indocyanine green (ICG)
angiography in laparoscopic colorectal surgery. Surg Endosc
2019;33(05):1640–1649 We advise the use of devices that allow a vision with gray-
scale functionality compared with those that only have
black-and-white vision. European Journal of Pediatric Surgery Reports
Vol. 7
No. 1/2019 Fluorescence Use in Pediatric Laparoscopy
Fernández-Bautista et al. e46 Fluorescence Use in Pediatric Laparoscopy
Fernández-Bautista et al.
e46 Fluorescence Use in Pediatric Laparoscopy
Fernández-Bautista et al. e46
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<i>In-situ</i> tensile test under microtomography to characterize mechanical behavior of ethmoid bone: a preliminary study
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Computer methods in biomechanics and biomedical engineering
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cc-by
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In-situ tensile test under microtomography to
characterize mechanical behavior of ethmoid bone: a
preliminary study In-situ tensile test under microtomography to
characterize mechanical behavior of ethmoid bone: a
preliminary study Vincent Serantoni, Noura Faraj, Gérard Subsol, Eric Rondet, Léa Ollier,
Guillaume Captier, Franck Jourdan, Valentin Favier Vincent Serantoni, Noura Faraj, Gérard Subsol, Eric Rondet, Léa Ollier,
Guillaume Captier, Franck Jourdan, Valentin Favier To cite this version: Vincent Serantoni, Noura Faraj, Gérard Subsol, Eric Rondet, Léa Ollier, et al.. In-situ tensile test
under microtomography to characterize mechanical behavior of ethmoid bone: a preliminary study. Computer Methods in Biomechanics and Biomedical Engineering, 2020, 23 (sup1), pp.S279-S281. 10.1080/10255842.2020.1816292. hal-03345431 Distributed under a Creative Commons Attribution 4.0 International License 2.3. Analysis plan Ultimate stress at fracture and Young’s modulus (E)
were evaluated using formulae of linear elasticity: ru ¼ Fu
S
(1)
r ¼ Ee
(2) (1)
(2) In-situ tensile test under
microtomography to characterize
mechanical behavior of ethmoid
bone: a preliminary study displacement accuracy is 0.01 mm. Bone sample had a
random geometry and thin walls (approx. 100 mm)
which prevents from obtaining standard shapes for
tensile test. Moreover, the small size and fragility of
the samples, required to design a dedicated attach-
ment device for the transport and sealing to the load-
ing cell (Figure 1). Fixing was done with common
glue between the two clamps. Tensile test was carried
out until bone fracture, originally intended before
80 N. A micro-CT scan of a region comprising the
whole sample and clamps was performed at each step
of 20 N. Voxel size was set to 2,75 mm isotropically. displacement accuracy is 0.01 mm. Bone sample had a
random geometry and thin walls (approx. 100 mm)
which prevents from obtaining standard shapes for
tensile test. Moreover, the small size and fragility of
the samples, required to design a dedicated attach-
ment device for the transport and sealing to the load-
ing cell (Figure 1). Fixing was done with common
glue between the two clamps. Tensile test was carried
out until bone fracture, originally intended before
80 N. A micro-CT scan of a region comprising the
whole sample and clamps was performed at each step
of 20 N. Voxel size was set to 2,75 mm isotropically. V. Serantonia, N. Farajb, G. Subsolb, E. Rondetc,
L. Ollierc, G. Captierd, F. Jourdana and V. Favierd V. Serantonia, N. Farajb, G. Subsolb, E. Rondetc,
L. Ollierc, G. Captierd, F. Jourdana and V. Favierd aLaboratoire de Mecanique et Genie Civil (LMGC), Research-
Team Biotic, University of Montpellier, CNRS, Montpellier,
France; bLaboratoire d’Informatique, Robotique et
Microelectronique (LIRMM), Research-Team ICAR, University of
Montpellier, CNRS, Montpellier, France; cUMR QUALISUD,
University of Montpellier, CIRAD, Montpellier, France; dAide a
la Decision Medicale Personnalisee, EA2415, Departement
MIPS, Universite Montpellier, Montpellier, France 2.1. Bone samples Bone samples were extracted from a skull of the
laboratory of anatomy of Montpellier, and preserved
frozen without any chemical fixation. 1. Introduction (2) (2) Mechanical properties of the ethmoid bone are not
well
understood
due
to
its
complex
geometry
(referred as a ‘labyrinth’), and its deep location in the
skull base. However, it is of particular interest for sur-
geons to appraise the force range they can apply dur-
ing endoscopic procedures and know what kind of
haptic feedback should be produced by a simulation
device in order to be realistic for trainees (Favier
et al. 2019). Ethmoid bone lamellae have a mainly
cortical structure (Berger et al. 2013) which has no
equivalent in the human body. The aim of this study
was to describe a protocol of in-situ tensile test under
microtomography (micro-CT) to characterize ethmoid
bone behavior. where r represent the stress (Pa), F the load in (N), S
the section area (m2), E is the Young’s Modulus (Pa),
and e the strain (no unit). Subscript u stand for
ultimate at fracture. Section area and displacement of
some landmarks were assessed using 3D micro-CT
images at each step by using ImageJ# software. 3. Results and discussion The largest dimensions of the bone samples were
8 7 1 mm. Complete load evolution during the
tensile test is shown in Figure 2. Each micro-CT scan
lasted 2h30; therefore, the total experiment lasted 8 to
10 hours. As a consequence, a creep phenomenon
seems to appear during CT scanning, causing relax-
ation which is visible in the curve. The tensile test
was stopped at 80 N and, because the bone was not
fractured yet, the tensile test was extended above 80 N
several hours after the last scan, leading to some
relaxation at 80 N higher than previous steps. The
bone section area, where fracture occurs, was close to
5 mm2 and the load during fracture was about 85 N. Using Equation 1, the ultimate stress at failure was
estimated close to 17 MPa. Fracture ignition (micro
cracks) was observed for a strain of 0.96% and a com-
plete fracture was observed after a strain of 1.25%
(Figure 2). It was possible to estimate the extension of 2020 The Author(s). Published by Informa UK Limited, trading as Taylor & Francis Group
This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0/), which permits
unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. 2020 The Author(s). Published by Informa UK Limited, trading as Taylor & Francis Group
This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org
unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. HAL Id: hal-03345431
https://hal.science/hal-03345431v1
Submitted on 15 Sep 2021 L’archive ouverte pluridisciplinaire HAL, est
destinée au dépôt et à la diffusion de documents
scientifiques de niveau recherche, publiés ou non,
émanant des établissements d’enseignement et de
recherche français ou étrangers, des laboratoires
publics ou privés. HAL is a multi-disciplinary open access
archive for the deposit and dissemination of sci-
entific research documents, whether they are pub-
lished or not. The documents may come from
teaching and research institutions in France or
abroad, or from public or private research centers. Distributed under a Creative Commons Attribution 4.0 International License COMPUTER METHODS IN BIOMECHANICS AND BIOMEDICAL ENGINEERING
2020, VOL. 23, NO. S1, S279–S281
https://doi.org/10.1080/10255842.2020.1816292 COMPUTER METHODS IN BIOMECHANICS AND BIOMEDICAL ENGINEERING
2020, VOL. 23, NO. S1, S279–S281
https://doi.org/10.1080/10255842.2020.1816292 In-situ tensile test under
microtomography to characterize
mechanical behavior of ethmoid
bone: a preliminary study In-situ tensile test under
microtomography to characterize
mechanical behavior of ethmoid
bone: a preliminary study Disclosure statement No
potential
conflict
of
interest
was
reported
by
the authors. 4. Conclusions the bone between the load-free CT scan and the 80 N
CT scan by tracking some geometrical landmarks,
easy to locate. The extension of the bone was eval-
uated at 38.5 lm, and the initial distance between the
clamp was approximately 5 mm, leading to an estima-
tion of E at 2.08 Gpa (Eq. 2). In-situ tensile test under microtomography was used
to characterize mechanical behavior of ethmoid bone. These preliminary encouraging results allow us to
propose the following protocol: use of frozen bones,
tensile test with a micro-CT acquisition at each 20 N
step, estimation of displacement based on 3D images. The continuation of the study, with the coupling of
automatic tracking of landmarks and Finite Element
Analysis, will allow us to gain more detailed access to
the mechanical properties of these types of bone. Cortical
bone
is
stiffer
than
trabecular
bone,
mainly due to a higher density (Helgason et al. 2008). For cortical bones, several studies revealed a
E range from 10 to 20 GPa under tensile tests
(Hoffler et al. 2000; Nyman et al. 2006) whereas our
first result seems much smaller. However, in the
anterior skull base, a random pattern of osteons was
reported (Dempster 1967) which may indicate that
the ethmoid bone is not comparable to long bones
were osteons are consistently oriented according to
their long axis (Boruah et al. 2017). 2.2. In-situ tensile test under micro-CT A Brucker# SkyScan 1272 with the material testing
stage was used to perform both micro-CT scans and
tensile tests. The load force cell can reach values of
up to 440 N with an accuracy of ± 4.4 N. The S280
ABSTRACT Figure 2. Load evolution during tensile test. Dotted lines indi-
cated were scans occurred. Point A indicates crack ignition
and B complete failure. Figure 1. Bone samples and micro-CT loading cell. Figure 2. Load evolution during tensile test. Dotted lines indi-
cated were scans occurred. Point A indicates crack ignition
and B complete failure. Figure 1. Bone samples and micro-CT loading cell. Acknowledgements Authors want to acknowledge Mr. Quentin Michelas for its
preliminary work and the anatomy laboratory of Montpellier
University and Mrs. Maud Moulin for technical support. This
work was partly funded by Montpellier University of
Excellence (MUSE) – Call for project ‘TAKE OFF’. In upcoming works, other ethmoid bone samples
will be tested and a complete 3D geometrical model
of bones will be reconstructed from micro-CT scans. This model will be used in a Finite Element Analysis
framework to corroborate our first results. An inverse
method could provide better estimations of the E,
Poisson’s coefficient and ultimate stress at failure. Furthermore, it will be interesting to associate to
these tests a study of ethmoid bone microstructure. KEYWORDS Ethmoid; cortical bone; in-situ tensile test;
microtomography; mechanical behavior References Berger G, Eviatar E, Kogan T, Landsberg R. 2013. The nor-
mal uncinate process: histology and clinical relevance. Eur Arch Otorhinolaryngol. 270(3):959–964. This study admits some limitations. There is only
one exploitable test for the moment, which requires
that the results should be considered with caution. It
is also necessary to consider the conditions under
which the tests are carried out: in the open air and
over a long period of time, thus drying out the sam-
ples which normally become ‘more brittle’ (Nyman
et al. 2006). It should also be noted that the Young’s
modulus was estimated under the assumption of pure
tension, which is relatively coarse, given the geometry
of the sample. Boruah S, Subit DL, Paskoff GR, Shender BS, Crandall JR,
Salzar RS. 2017. Influence of bone microstructure on the
mechanical properties of skull cortical bone: a combined
experimental and computational approach. J Mech Behav
Biomed Mater. 65:688–704. Dempster WT. 1967. Correlation of types of cortical grain
structure with architectural features of the human skull. Am J Anat. 120(1):7–31. Favier
V,
Gallet
P,
Subsol
G,
Captier
G. 2019. Understanding the biomechanical properties of skull base
tissues is essential for the future of virtual reality COMPUTER METHODS IN BIOMECHANICS AND BIOMEDICAL ENGINEERING vincent.serantoni@gmail.com KEYWORDS Ethmoid; cortical bone; in-situ tensile test;
microtomography; mechanical behavior
vincent.serantoni@gmail.com endoscopic sinus and skull base surgery simulators. Clin
Exp Otorhinolaryngol. 12(2):231–232. COMPUTER METHODS IN BIOMECHANICS AND BIOMEDICAL ENGINEERING S281 endoscopic sinus and skull base surgery simulators. Clin
Exp Otorhinolaryngol. 12(2):231–232. Nyman JS, Roy A, Shen X, Acuna RL, Tyler JH, Wang X. 2006. The influence of water removal on the strength
and
toughness
of
cortical
bone. J
Biomech. 39(5):
931–938. Nyman JS, Roy A, Shen X, Acuna RL, Tyler JH, Wang X. 2006. The influence of water removal on the strength
and
toughness
of
cortical
bone. J
Biomech. 39(5):
931–938. Nyman JS, Roy A, Shen X, Acuna RL, Tyler JH, Wang X. 2006. The influence of water removal on the strength
and
toughness
of
cortical
bone. J
Biomech. 39(5):
931–938. Helgason B, Perilli E, Schileo E, Taddei F, Brynjolfsson S,
Viceconti M. 2008. Mathematical relationships between
bone density and mechanical properties: a literature
review. Clin Biomech (Bristol, Avon). 23(2):135–146. Hoffler CE, Moore KE, Kozloff K, Zysset PK, Brown MB,
Goldstein SA. 2000. Heterogeneity of bone lamellar-level
elastic moduli. Bone. 26(6):603–609. vincent.serantoni@gmail.com
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Patient experiences in retinal trials: a cross-sectional study
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BMC ophthalmology
| 2,015
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cc-by
| 6,476
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Abstract Background: Patient-centered care recognizes the obligation to understand and meet patient’s expectations. An
individual’s satisfaction has been found to affect health-related decisions and treatment-related behaviours, which
in turn affect medical compliance, follow-up, the success of treatment and the appropriate use of services. We
studied the expectations, experiences and satisfaction of patients who participated in clinical trials for retinal
diseases at the Sydney Eye Hospital. Methods: The study was undertaken at the research clinic of the major public quaternary eye hospital in New
South Wales, Australia. A 37-question survey was conducted on patients enrolled in or who had finished a clinical
trial for macular disease in the 12 months preceding this study in November 2012. Patient satisfaction was assessed
using close-ended, multiple choice questions. First, the decision making process for entering into the clinical trial
was evaluated. Then the level of patient understanding and experience during the study was assessed. Finally, there
was a series of questions to gauge the participants’ perception of trial outcomes and overall impression gained
from the experience. Results: Eighty patients completed the questionnaire. Overall patient satisfaction was high with the majority of
patients stating they would recommend participation in a retinal clinical trial (94 %) and participate in a subsequent
trial (78 %). Most patients rated themselves as the most important factor in making the decision to join a trial. Patients felt well informed and expectations were generally felt to be met, however 14 % did not believe that they
could withdraw from the study voluntarily. The most common reasons for trial participation were to contribute to
medical science and to have improved treatment outcomes. Conclusions: We found that patients generally found participation in retinal clinical trials to be a positive
experience. Factors contributing to dissatisfaction mainly related to inconvenience experienced by transportation
and waiting times. We also found that patients felt well informed about the study, but some did not have a
complete understanding of their rights, which had been communicated to them when they entered the study. There were both altruistic and self-motivated reasons behind patients’ decisions to join a retinal trial. Keywords: Patient satisfaction, Experiences, Clinical trials, Retinal, Macular Moreover, an individual’s satisfaction has been found to
affect health-related decisions and treatment related be-
haviors, which in turn affect medical compliance, follow-
up, the success of treatment and the appropriate use of
service [4–7]. Abstract Previous surveys suggest that patients
positively view their experience of ophthalmology clinics
[8–12]. Patient satisfaction has been linked to participa-
tion in decision-making, clinicians’ communicative be-
havior, treatment outcome and patients’ expectations
regarding psychosocial support as well as therapeutic lis-
tening [13–20]. However, this has not been examined © 2015 Au et al. This is an Open Access article distributed under the terms of the Creative Commons Attribution License
(http://creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and reproduction in any medium,
provided the original work is properly credited. The Creative Commons Public Domain Dedication waiver (http://
creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Au et al. BMC Ophthalmology (2015) 15:80
DOI 10.1186/s12886-015-0071-6 Au et al. BMC Ophthalmology (2015) 15:80
DOI 10.1186/s12886-015-0071-6 Patient experiences in retinal trials:
a cross-sectional study Cheryl Pui-Yan Au1,2, Nicole Fardell2, Maria Williams3, Samantha Fraser-Bell3, Anna Campain3 and Mark Gillies2,3* Cheryl Pui-Yan Au1,2, Nicole Fardell2, Maria Williams3, Samantha Fraser-Bell3, Anna Campain3 an * Correspondence: mark.gillies@sydney.edu.au
2Sydney Medical School, University of Sydney, Sydney, Australia
3Macular Research Group, Room 116, Level 1, Save Sight Institute, Campus of
Sydney Eye Hospital, 8 Macquarie St, Sydney, NSW 2000, Australia
Full list of author information is available at the end of the article Background Clinical trials are considered the ‘gold standard’ by
which clinicians decide if treatments are safe and effect-
ive. Patient satisfaction, defined as the fulfilment of ex-
pectations and needs, incorporates patients’ perceptions
and preferences when evaluating the success of medical
treatments
and
healthcare
delivery
systems
[1–3]. * Correspondence: mark.gillies@sydney.edu.au
2Sydney Medical School, University of Sydney, Sydney, Australia
3Macular Research Group, Room 116, Level 1, Save Sight Institute, Campus of
Sydney Eye Hospital, 8 Macquarie St, Sydney, NSW 2000, Australia
Full list of author information is available at the end of the article Au et al. BMC Ophthalmology (2015) 15:80 Page 2 of 7 authors of the present study after a literature review of
previous surveys [8–20], and after discussion with
medical, nursing and paramedical staff, to ensure face
validity. The questions were chosen to represent a wide
range of areas of concern that might affect patient satis-
faction in retinal clinical trials. The development of this
questionnaire was guided by the evidence base for selec-
tion of rating scales [25–27]. Rating scales had a simple
question format, with categories that included frequency,
severity and global ratings. These rating scale categories
were presented in a clear progression and were concep-
tually exhaustive, using a Likert scale to scale responses
allowing for one response [28, 29]. For the small number
of questions that allowed for multiple responses, the per-
centage of each response was calculated by dividing the
total number of each response by 80. Responses left
blank were censored as missing data. specifically in the context of retinal clinical trials, which
may be more labour intensive than interventions for
other medical conditions. The objective of our study was to understand what
motivated patients to participate in clinical trials for ret-
inal disease, and to determine if the experience was a
satisfactory one. This is important, as patient satisfaction
is linked to patient compliance with therapy [21, 22],
which is necessary for optimal long term outcomes, as
well as increased number of hospital recommendations
by patients to others and improved reputation [23, 24]
We anticipated that the information gained from this
study might identify ways to improve the clinical trial
process and aid in patient recruitment. Information
gathered about level of understanding and decision-
making process is also relevant to understanding patient
consent. Survey administration Research staff identified eligible patients upon their
arrival at the clinic and gave them an information sheet
on the study along with the questionnaire. The surveys
were either self completed or were completed with the
help of an accompanying friend, family member or inter-
preter. Large font versions of the questionnaire were
available for those who were visually impaired. The sur-
vey was filled out anonymously with only generic demo-
graphic data collected. Patients returned their completed
surveys to a sealed box in the clinic area. Reasons for participating in the trial varied, but the
two most popular responses were that participants
‘wanted to contribute to medical science’ and they
wanted their ‘eyes to be more closely monitored’ (Fig. 1). None of the participants felt they had been pressured to
join or were unable to ascribe a reason for joining. A
total of 246 responses were obtained for this question. Decision-making process and entry into the trial g p
y
The majority of patients (88 %) stated that their main
source of information for entering the trial was from
medical staff (doctors and nurses), and 96 % of patients
thought they received adequate information about the
trial. More than half of the patients (55 %) stated that
they themselves were the most influential in their deci-
sions to join the trial, while 30 % thought that doctors
were the most influential. Most patients (84 %) made
their decisions to participate within one day. Description of the clinical trials Participants in 14 retinal clinical trials were eligible for
the study. Most of the retinal clinical trials compared
the outcomes of two different drugs, although some
compared the effect of a drug versus a placebo. A full
description of each trial is provided in Additional file 2. The survey was completed by 96 % of the eligible sub-
jects approached. Of the three patients who declined the
survey, two could not read English and one had poor vi-
sion and did not have an accompanying carer. Of the 80
participants, approximately half (53 %) were male, with
the median age within the 61 and 70 age selection range. Half the patients surveyed (51 %) were born outside
Australia and English was a second language for 30 % of
participants. Approximately a third (36 %) of the 80 par-
ticipants had been in a previous retinal trial at the
Sydney Eye Hospital. This was a cross-sectional study of all patients currently
enrolled in, and those who had completed clinical trials
for retinal disease in the preceding 12 months at the
start of the study in November 2012, in the Macular
Research clinics at the Sydney Eye Hospital. The Sydney
Eye Hospital is a quaternary referral unit located within
the Central Business District of Sydney. Participants
were available from 14 retinal clinical trials. Eighty con-
secutive patients who were attending the research clinics
were recruited for this exploratory, non-comparative
study. Ethics The study was approved by the Human Research Ethics
Committees of Royal Prince Alfred Hospital (LNR/12/
RPAH/382). Patients read the participant consent form
and verbal consent was obtained by the research staff. Participation was voluntary. Perceived benefits and problems with trial participation Perceived benefits and problems with trial participation
Patients were also allowed multiple responses when de-
scribing perceived benefits of trial participation. The ma-
jority of patients (76 %) stated the goal of participation
within their particular clinical trial was to improve med-
ical care for future patients, half (50 %) described partici-
pation was to benefit themselves and a third (35 %) also
felt that the goal was to give doctors experience with a
new drug. Ninety percent of patients agreed that the trial
provided important information to medical science. The
vast majority of patients (95 %) agreed that staff kept
them up to date on the study progress. Table 1 Trial outcomes from the patients’ perspectives
Question
Response
n (%)
How did you benefit from
participating in the trial? (N = 187 responses)
More frequent contact
with my doctor
33 (41 %)
Free medical care and
services
35 (44 %)
Remediationa
12 (15 %)
More knowledge about
my eye condition
68 (85 %)
Improved health
23 (29 %)
Interaction with others
with my condition
11 (14 %)
Other
5 (6 %)
How have you felt since
having the treatment? Much better
32 (40 %)
Somewhat better
18 (23 %)
About the same
15 (19 %)
Somewhat worse
3 (4 %)
Much worse
0 (0 %)
Have you experienced any
side effects from the treatment? Yesb
11 (14 %)
No
50 (63 %)
Unsure
5 (6 %)
aRemediation refers to correction of visual health as defined by the specific
retinal trial
bSide effects listed by patients included pain, increased appetite, hair hanging
in eye, headaches, cataract, blurred vision, smell, burning and gritty sensation
in eye, small tingles in eye, and glaucoma Table 1 Trial outcomes from the patients’ perspectives
Question
Response
n (%) When asked about problems with trial participation, a
sizeable minority of patients (24 %) thought too much
time was spent at the clinic. Other problems highlighted
included transport difficulties (13 %), parking problems
(8 %), unclear directions to the appointment location
(3 %), difficulty getting off work for appointments (3 %)
and changes of clinical staff (1 %). Fourteen percent of
patients thought they could not withdraw from the trial,
which was incorrect. The majority of patients did not
think there were too many follow up visits (74 %) or
forms to complete (78 %). Data analysis
Th
f The survey format consisted of a 37 item questionnaire
(Additional file 1). Questions were formulated by the Page 3 of 7 Au et al. BMC Ophthalmology (2015) 15:80 Fig. 1 Reasons for joining a retinal clinical trial at the Sydney Eye Hospital Fig. 1 Reasons for joining a retinal clinical trial at the Sydney Eye Hospital Trial outcomes
S bj
i bSide effects listed by patients included pain, increased appetite, hair hanging
in eye, headaches, cataract, blurred vision, smell, burning and gritty sensation
in eye, small tingles in eye, and glaucoma Subjective outcomes of participation in the clinical trials
were generally positive, as outlined in Table 1. Sixty Page 4 of 7 Au et al. BMC Ophthalmology (2015) 15:80 Table 2 Overall impression of the retinal clinical trial
Question
Response
n (%)
How important do you feel taking part
in this trial is to your condition? Very important
68 (85 %)
Fairly important
5 (6.25 %)
Slightly important
3 (3.75 %)
Not at all important 2 (2.5 %)
Missing data
2 (2.5 %)
Would you recommend participation
in this trial? Yes
75 (93.75 %)
No
2 (2.5 %)
Unsure
2 (2.5 %)
Missing data
1 (1.25 %)
Volunteer for another trial? Yes
62 (77.5 %)
No
3 (3.75 %)
Unsure
14 (17.5 %)
My expectations of joining the trial were Met
50 (62.5 %)
Somewhat met
18 (22.5 %)
Somewhat unmet
2 (2.5 %)
Unmet
2 (2.5 %)
Unsure
3 (3.75 %)
Missing data
5 (6.25 %)
How would you rate the overall quality
of care and services provided in the
clinical trial? Excellent
59 (73.75 %)
Good
16 (20 %)
Fair
1 (1.25 %)
Poor
0 (0 %)
Missing data
4 (5 %)
Would you return to the Sydney Eye
Hospital should the need arise? Yes
73 (91.25 %)
No
0 (0 %)
Unsure
4 (5 %)
Missing data
3 (3.75 %) three percent of participants stated that they felt much
or somewhat better as a result of participating in the
study while only 4 % felt somewhat worse. Overall patient impression of the clinical trial Table 2 outlines patients’ overall impression of their clin-
ical trials, which was mostly positive. The overwhelming
majority of patients felt that taking part in the trial was
important for their condition and would recommend
participation to another person. Relationship with medical staff Overall, patients had a positive impression of medical
staff: 93 % thought staff always treated them with cour-
tesy and respect and 96 % thought staff were always
helpful. From the patient’s perspective, clinical staff
always (86 %) or usually (9 %) worked well together as a
team. Seventy six percent of patients always felt valued
and appreciated as a patient, while a further 15 %
thought that this was the case usually. Eighty six percent
of patients never had any doubts about the ability of
their treating doctors, although 6 % sometimes had
doubts and 2 % usually had doubts. However, no patient
always had doubts about their doctors’ abilities. Since
enrolment in a clinical trial, the patient’s relationship
with their doctor improved in over half (58 %) of cases,
in 38 % the relationship remained unchanged and no
patient described trial participation worsening their rela-
tionship with the treating medical team. Discussion
l Increasingly, participant experience studies are under-
taken as part of clinical trials to improve recruitment, as
well as the delivery and conduct of future trials [30]. Most of these studies, not in the field of ophthalmology,
have focused on patients’ understandings and experi-
ences and how these might influence recruitment, re-
tention and adherence to the investigated intervention
[31–34]. Ophthalmology
patient
satisfaction
studies
have mainly been in the areas of cataract and refractive
surgeries [8–11], as well as in for oculoplastics and
glaucoma surgeries [12, 35]. Our study provides insight
into patient experiences and satisfaction in clinical trials
in the context of translational retinal research. good trial recruitment and retention, an understanding
of what makes the experience satisfactory for the patient
is likely to be helpful. To address this need, our study in-
vestigated the reasons for trial participation, expectations
and measures of satisfaction. In a study including inpa-
tients and outpatients after cataract surgery from three
facilities, Nijkamp et al. found that satisfaction with regard
to the quality of care, judgments about the counseling,
and meeting patients’ preoperative expectation concerning
the medical outcome were predictors of overall patient
satisfaction [14]. Predictors were consistent among the in-
vestigated settings and overall satisfaction scores also did
not significantly differ. Jackson et al. also reported that
understanding and meeting initial expectations is an im-
portant component of achieving a satisfactory patient ex-
perience in a general medicine walk-in clinic [36]. In this study we surveyed 80 consecutive patients par-
ticipating in various clinical trials for retinal diseases. We found that participants generally found their experi-
ence in retinal clinical trials to be positive and satisfying. These findings are reassuringly consistent with other
studies of patient satisfaction within the clinical trial en-
vironment in ophthalmology as well as other fields of
medicine [9, 13–15, 32, 33]. We examined the decision making process to enter
clinical trials of retinal disease in terms of patient Recruiting and maintaining participants in clinical tri-
als is vital and often challenging. In order to achieve Au et al. BMC Ophthalmology (2015) 15:80 Au et al. BMC Ophthalmology (2015) 15:80 Page 5 of 7 Another aspect of assessing participant satisfaction
was the patient response to services and caregivers. We
found that the vast majority of patients within the retinal
research clinics studies were very satisfied with services
and staff, with 74 % rating them as ‘excellent’. Discussion
l Previous
studies have consistently demonstrated the importance
of communication between patients and their caregivers
and the value of providing relevant information such
as regarding operative processes or diagnostic tests
[16, 38–43]. Our study corroborated these findings, with
patient interaction with staff likely playing an important
role in achieving overall high satisfaction. The impact of
study participation on relationship with staff was also
demonstrated by the fact that 58 % of patients thought
their relationship with their doctors improved through
participating in the clinical trial. Further qualitative re-
search may be warranted to elucidate the specific im-
portant aspects of this relationship with patients. A
qualitative study using focus groups by Dawn et al. iden-
tified 6 areas of expectations for eye care that were im-
portant to patients: honesty, information about diagnosis
and prognosis, explanation in clear language, ophthal-
mologists’ experience and reputation, empathy and lis-
tening and addressing concerns [19]. understanding and reasoning. We found that the pri-
mary source of trial information came from medical
staff, with the majority of patients (96 %) feeling that ad-
equate information had been given to them. This em-
phasises that ophthalmologists and other clinical staff
have an important role to increase patient participation
in trials, since they are by far the primary source of in-
formation about the study. However, most patients rated
themselves as the most important factor in making the
decision, with the decision usually made within 24 h;
this emphasizes that recruitment in clinical trials should
be patient-focussed with the amount and level of infor-
mation geared appropriately towards patients. understanding and reasoning. We found that the pri-
mary source of trial information came from medical
staff, with the majority of patients (96 %) feeling that ad-
equate information had been given to them. This em-
phasises that ophthalmologists and other clinical staff
have an important role to increase patient participation
in trials, since they are by far the primary source of in-
formation about the study. However, most patients rated
themselves as the most important factor in making the
decision, with the decision usually made within 24 h;
this emphasizes that recruitment in clinical trials should
be patient-focussed with the amount and level of infor-
mation geared appropriately towards patients. It is noted that 14 % of patients did not feel they could
withdraw from the study. Discussion
l This is an inaccurate perception
which demonstrates the potential for misunderstanding in
the consent process, possibly resulting from language bar-
riers and the use of lengthy consent documentation. Par-
ticipants might have been more focused on the actual
treatment and side effects or visit scheduling information
and the decision making of whether to enter a clinical
trial, and less on other issues such as withdrawing. The
conduct of verbal consent, the conduct of the survey on
site, and the signing of the consent for retinal studies
all in one day may all be unintentional subtle sources
of undue influence. Nevertheless, this highlights the im-
portance of clearly explaining to patients their rights
when entering the study as well as their obligations,
and not ‘flooding’ patients with too much information
simultaneously. g
g
We also sought to identify areas of dissatisfaction in
order to understand if these could be addressed to im-
prove the patient experience and whether these elements
of dissatisfaction were related to the trial experience. The main problem identified was prolonged wait time in
the clinic, transport and parking problems. Communica-
tion and information provision to health consumers, es-
pecially in relation to waiting times, have been shown to
have positive effects on satisfaction levels, resulting in
significant falls in complaint levels [44]. A discussion
and briefing regarding wait times is indeed performed
with patients in the clinics studied. While wait times
remain a source of discontent, it is possible that the
communication that takes place around these times mit-
igates
their
impact
on
overall
patient
satisfaction,
reflected in the fact that 93 % of patients remained will-
ing to return to the public outpatient clinics at the con-
clusion of the study. Further, patients did not feel their
time was being generally wasted, as three-quarters of
them did not think there were too many follow up visits
or that there were too many forms to complete. The lat-
ter may be because data collection was predominantly
performed by study staff rather than patients. There
were very few studies that asked patients to complete
forms. We found that there were both strong altruistic and
self-motivated reasons behind patients’ decision to par-
ticipate in trials. The most popular responses as to why
they participated in a clinical trial were ‘to assist medical
science’ and ‘to have (their) condition more closely
monitored’. Discussion
l These findings were corroborated by mea-
sures for patient satisfaction, with the most common
benefit described by patients as increased knowledge of
their particular medical condition. Other popular re-
sponses were free medical care and services and in-
creased contact with the treating team. Consistent with other studies, there appears to be a
desire amongst a significant proportion of patients to
feel actively involved in their care, expressed by a desire
for greater knowledge and greater contact with staff
[37]. This increased involvement can lead to improved
patient outcomes as well as satisfaction. It is acknowl-
edged that those who had volunteered for trials were
more likely to have this desire for participation. In terms
of advocating trial involvement, it can be seen from our
study that those who joined largely described a desire
for a greater sense of knowledge, involvement and fre-
quency of care, and that expectations were largely satis-
fied through the trial process. Access to the clinic was a major cause of patient dis-
satisfaction. Since the hospital is a quaternary referral
service, as is likely to be the case for other centres where
clinical trials of retinal disease are performed, patients
usually were not travelling from the immediate locality. Au et al. BMC Ophthalmology (2015) 15:80 Page 6 of 7 on the providers’ success at meeting health consumers’
values and expectations. The results of this study indicate
that most patients were satisfied with their experiences
and outcomes from participating in a retinal clinical trial
at the Sydney Eye Hospital, despite dissatisfaction with
some aspects of the clinical trial process and a small
percentage of patients experiencing some side effects. Gaining a better understanding of patients’ expectations
in ophthalmic clinical trials may help better guide efforts
to educate patients, to reduce unreasonable expectations
and, ultimately, to improve their experience. Sponsored clinical trials would have the means to pro-
vide adequate reimbursement for travel and parking to
the investigational site, but this may not be feasible for
investigator initiated trials. The major limitations of this study are those inherent
in cross-sectional, ‘self-reporting’ questionnaire surveys. Patients who are more satisfied with care are less
likely to return questionnaires, thus potentially under-
estimating satisfaction levels [45]. Despite this, the re-
sponse rate of our survey was high at 96 %, with those
few declining mainly citing language difficulties. Authors’ contributions CPA had full access to all the data in the study and takes responsibility for
the integrity of the data and the accuracy of the data analysis. CPA
contributed to the study design and acquisition of data, analysed the data
and wrote and revised the manuscript. NF contributed to the study design
and wrote the manuscript. MW contributed to the study design, coordinated
data collection and reviewed and edited the manuscript. SF-B contributed to
the study design and reviewed and edited the manuscript. AC contributed
to the statistical analysis and edited the manuscript. MG designed the study,
supervised data acquisition, contributed to the analysis and interpretation of
data, the discussion and reviewed and edited the manuscript. All authors
approve the final version to be published. Tendency for respondents to bias towards positive re-
sponses and use acquiescent replies was minimized by
adopting positively or negatively worded, specific ques-
tions [25, 46, 47]. However, one question was con-
structed with a positive bias: “How did you benefit from
participating in the study?” This question did not offer a
neutral or negative response option, and thus it was un-
surprising that a high majority of respondents described
this study as beneficial. This could have been avoided if
a more vigorous question selection process had been
undertaken, that would include multiple pilot tests,
focus groups and interviews to enhance content validity
[48, 49]. Other questions appropriately included the full
range of response options. In addition, while the specific
and limited range of responses allowable assisted in giv-
ing a good overview of quantifiable data, further qualita-
tive research would likely be of benefit to explore
further patient views and level of understanding. It is
conceded that if we had studied patients who were
approached for participation in clinical trials rather than
those who had already consented to join, we may well
have found different responses to some questions. Acknowledgements
h
h
ld l k The authors would like to thank all the study and clinical staff at Sydney Eye
Hospital. This research is supported by the Save Sight Institute, Sydney Eye
Hospital, Sydney, Australia. Discussion
l Never-
theless, we could not assess the differences in baseline or
clinical characteristics between the responders and non-
responders. Furthermore, there was the potential undue
influence of patients being handed the survey by research
staff and the expectation to complete it on site. A lower
response rate might have been attained if the survey was
not allowed to be completed on site, however this ap-
proach would cause greater inconvenience to patients
and would yield a much lower response rate. Another
limitation of this study was that the distribution of pa-
tients across the 14 retinal trials was not known, as we
did not collect this information from the questionnaire. We confirmed that they were from at least one of the
listed studies only. Our population was a consecutive
sample and included patients from a number of different
trials. Our clinics are not differentiated based on which
clinical trials the patients are part of. Additional files Additional file 1: The study questionnaire. (DOCX 138 kb)
Additional file 2: A brief description of each clinical trial. (DOCX 82 kb) Additional file 1: The study questionnaire. (DOCX 138 kb)
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f Submit your next manuscript to BioMed Central
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Submit your manuscript at
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Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
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• Immediate publication on acceptance
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• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of: Submit your next manuscript to BioMed Central
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Review of: "[Review] Redefining the Concept of e-Government Program. A Review of the Literature"
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Qeios, CC-BY 4.0 · Review, July 25, 2023
Review of: "[Review] Redefining the Concept of eGovernment Program. A Review of the Literature"
Rocio Andrea Rodriguez1
1 Universidad Abierta Interamericana
Potential competing interests: No potential competing interests to declare.
The article proposes to analyze the dimensions that eGovernment should include, proposing to incorporate aspects that
have already been incorporated by various authors (such as transparency, citizen participation...). He arrives at a
definition that does not raise anything new. It would make more sense to approach the subject as a state of the art where
already existing frameworks and their dimensions are compared. On the other hand, in literature reviews, articles from the
last 5 years are usually considered. In the work references there are no articles from 2020 to 2023. However, previous
years there are articles that show that the dimensions that the author wants to incorporate were already considered. In
case the author is interested in an article from 2009 where aspects raised in this article were already taken into account:
Rodríguez, R. A., Estévez, E. C., Giulianelli, D. A., & Vera, P. M. (2009). Assessing e-governance maturity through
municipal websites–measurement framework and survey results. In XV Congreso Argentino de Ciencias de la
Computación.
http://sedici.unlp.edu.ar/handle/10915/21013
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Desempenho e termorregulação de porcas lactantes alojadas em diferentes localizações no interior de um galpão com sistema de resfriamento evaporativo em ambiente tropical
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Arquivo Brasileiro de Medicina Veterinária e Zootecnia/Arquivo brasileiro de medicina veterinária e zootecnia
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http://dx.doi.org/10.1590/1678-4162-11370
Arq. Bras. Med. Vet. Zootec., v.71, n.5, p.1750-1758, 2019
J. Rigo
https://orcid.org/0000-0003-0386-8967,
M.R.B.M. Nascimento*
https://orcid.org/0000-0003-4324-5262,
N.A.M. Silva
https://orcid.org/0000-0003-2318-1791
Comunicação
[Communication]
Desempenho e termorregulação de porcas lactantes alojadas em diferentes
localizações no interior de um galpão com sistema de resfriamento
evaporativo em ambiente tropical
[Performance and thermoregulation of lactating sows housed in different
locations inside a shed with an evaporative cooling system
in a tropical environment]
E.J. Rigo, M.R.B. Mattos Nascimento*, N.A.M. Silva
Universidade Federal de Uberlândia ˗ Uberlândia, MG
Conhecer a zona termoneutra dos suínos é
importante. Os animais criados sob temperatura
ambiente ideal têm menor gasto energético para
manter o equilíbrio térmico e, consequentemente,
sua produção, reprodução e bem-estar não são
prejudicados.
Williams
et
al.
(2013)
consideraram termoneutralidade temperaturas de
18 a 20°C e, como estresse por calor, de 24 a
30°C, para fêmeas suínas durante a gestação,
lactação e pós-desmame. A umidade do ar ideal é
de 50 a 70%, não devendo ultrapassar 70%
(Sampaio et al., 2004), e o valor do índice de
temperatura e umidade (ITU) até 74 é
considerado sem estresse por calor (Wegner et
al., 2016).
resfriamento evaporativo com pressão negativa
foi mais eficiente que os de resfriamento na nuca
e manejo de cortina na redução da temperatura
do ar (Morales et al., 2013). No verão, Justino et
al. (2015) verificaram que o resfriamento
direcionado à região da cabeça da porca em
lactação auxiliou na sua termorregulação e
aumentou a massa corporal dos leitões ao
desmame em relação ao grupo de fêmeas
mantidas na mesma sala de maternidade, porém
sem receber o resfriamento da cabeça. Perin et
al. (2016) concluíram que fêmeas suínas
lactantes que receberam resfriamento da nuca
apresentaram desempenho superior às matrizes
alojadas em galpão com manejo de cortinas.
Efeitos negativos das altas temperaturas sobre as
matrizes
suínas
lactantes
levaram
ao
desenvolvimento de alguns sistemas de
resfriamento, por exemplo: o uso do sistema de
ventilação por pressão positiva, resfriamento da
cabeça da porca e resfriamento evaporativo
combinado com ventilação por pressão negativa.
Esses sistemas têm a finalidade de melhorar a
condição térmica, reduzir os efeitos das altas
temperaturas e melhorar o bem-estar dos
animais, para, assim, diminuir perdas na
produtividade.
Entretanto, não foram encontradas, na literatura
consultada, pesquisas que tivessem avaliado a
uniformidade do ambiente térmico ao longo do
galpão com sistema de resfriamento evaporativo
combinado com pressão negativa para matrizes
suínas lactantes. Portanto, objetivou-se neste
estudo avaliar o ambiente térmico em diferentes
localizações no interior de um galpão, próximo
ao pad cooling (leste), centro e próximo aos
exaustores (oeste) de um galpão de maternidade
e as variáveis fisiológicas de termorregulação,
desempenho reprodutivo e produtivo de matrizes
suínas e da leitegada, no verão.
Estudos têm investigado os diferentes sistemas
de controle do ambiente térmico em galpões de
fêmeas suínas em lactação. O sistema de
Recebido em 18 de março de 2019
Aceito em 19 de março de 2019
*Autor para correspondência (corresponding author)
E-mail: maran@ufu.br
O estudo foi aprovado, com o registro CEEA068/2016,
pelo
Comitê
de
Ética
e
Experimentação Animal da Universiade de
Uberaba-Uniube. Esta pesquisa foi realizada em
Desempenho e termorregulação...
uma granja comercial produtora de suínos
desmamados (UPD), localizada em Bom Jesus
dos Campos, MG, (latitude 20º 46´ 01.4"S,
longitude 46º 12' 26.4"W, e altitude 830m),
Brasil, em janeiro de 2017.
Trinta e quatro matrizes suínas de composição
genética 50% Landrace/50% Large White, todas
da linhagem comercial Topigs 20®, foram
alojadas em um galpão de maternidade com,
respectivamente, 111,00; 10,20 e 2,95m de
comprimento, largura e pé direito, coberto com
telha de barro com beiral de 1,10m, mureta de
0,80m de altura, com as laterais de telas
metálicas e cortinas e forro de face prata. Este
era constituído de resfriamento evaporativo
combinado com pressão negativa, com quatro
exaustores de 1,30 metro de diâmetro no lado
oeste, e dois painéis evaporativos com 7,17m x
1,90m, instalados no lado leste, nas laterais norte
e sul. O sistema de refrigeração evaporativo era
ligado e desligado automaticamente quando a
temperatura do ar atingia, respectivamente, 26 e
24ºC. O sistema era ajustado para manutenção da
umidade entre 60 e 80%.
A edificação era composta por três linhas de
celas parideiras, com piso plástico totalmente
ripado, com uma área central para as fêmeas
(0,70m x 2,20m), e, nas laterais, com duas áreas
exclusivas para os leitões (0,43m x 2,20m). Cada
gaiola possuía um escamoteador (1,00m x
0,45m) com piso aquecido.
As matrizes suínas híbridas foram escolhidas
aleatoriamente nas três linhas de gaiolas, nas
seguintes localizações: próximo aos painéis
evaporativos: 12 fêmeas com ordem de parto
(OP) de um a sete; no meio do galpão: 11 com
OP de três a oito; e próximo aos exaustores: 11
com OP de um a seis. Elas receberam ração de
lactação à base de milho e farelo de soja, com
19,6% de proteína bruta e 3.469,73kcal de EM
por kg. No dia do parto, a ração não foi
oferecida; do segundo ao sétimo dia de lactação,
a quantidade foi crescente, quando se estabilizou,
e, a partir deste momento, a matriz recebeu, em
média, 0,649kg/leitão. A dieta foi fracionada e
fornecida automaticamente às sete, 10, 12 e 15
horas. Diariamente, o consumo de ração foi
calculado pela diferença entre a quantidade de
alimento fornecido e a sobra, e calculou-se o
Arq. Bras. Med. Vet. Zootec., v.71, n.5, p.1750-1758, 2019
consumo médio diário. As matrizes e os leitões
receberam água à vontade, em bebedouro tipo
nipple.
As variáveis fisiológicas medidas na matriz suína
foram realizadas de manhã e à tarde, em seis dias
não consecutivos, iniciando um dia antes do
parto previsto até o dia do desmame, realizadas
pelo mesmo observador, após uma hora do
arraçoamento das matrizes, totalizando 12
medidas por animal, por variável. A frequência
respiratória foi medida pela contagem dos
movimentos do flanco, com as matrizes em
repouso, sem estarem amamentando e em
decúbito. A temperatura superficial foi obtida
atrás da orelha, no meio da escápula, na região
mediana do dorso e no meio do pernil, com
termômetro infravermelho (Instrutemp, modelo
DT 8530), com variação de -20°C a 530°C, e
calculou-se a média. Após 40 a 60 minutos da
ingestão de ração, mediu-se a temperatura retal
com termômetro clínico digital (Tech Line,
modelo TS-101), faixa de 32°C a 42,9°C a cinco
centímetros de profundidade, por dois minutos.
Um dia antes do parto e no dia do desmame,
mediu-se espessura de toucinho na posição P2
(na altura da última costela), aproximadamente a
6,5cm da coluna vertebral com ultrassom
(Microem, modelo MTU-100), com 2MHz
pulsado. Registrou-se também o intervalo
desmame-estro.
Depois da uniformização, que ocorreu 24 horas
após o nascimento, fez-se a pesagem da leitegada
em balança digital (Saint; 0,010kg a 50kg), bem
como no desmame (Açores; 2kg a 300kg), para
se obter o ganho médio diário de massa corporal.
A temperatura do ar, a umidade relativa e a
temperatura de ponto de orvalho foram medidas
a cada 30 minutos, por data loggers
(Instrutherm, modelo HT-500), fora e dentro do
galpão, nos seis dias das coletas das variáveis
fisiológicas, durante o dia. Para isso, instalaramse nove data loggers, a 0,60m de altura,
divididos igualmente, próximo aos pads, ao
centro e perto dos exaustores, e um data logger,
fora do galpão, no abrigo termométrico. A
velocidade do vento foi medida com anemômetro
(Instruterm AD-250), colocado próximo das
matrizes (Fig. 1). Calculou-se o índice de
temperatura e umidade (ITU) conforme Thom
(1959).
1751
Rigo et al.
Figura 1. Representação esquemática mostrando os locais onde foram colocados os data loggers ( ) nas
diferentes localizações: próximo aos painéis evaporativos (setor leste, S1); no meio do galpão (meio, S2)
e próximo aos exaustores (setor oeste, S3).
Os dados de desempenho produtivo foram
avaliados pela ANCOVA, sendo ordem de parto
e número de desmamados considerados
covariáveis, após verificação do pressuposto de
normalidade (teste de Lilliefors) e pressupostos
de homogeneidade de variâncias (teste de
Bartlett), e as médias foram comparadas pelo
teste F. Para as variáveis que não alcançaram os
pressupostos, mesmo após serem transformadas,
utilizou-se o teste de Kruskal-Wallis, exceto
dados fisiológicos de termorregulação de manhã
e à tarde, em que se usou o teste de Wilcoxon.
Realizou-se a correlação entre as variáveis
fisiológicas de termorregulação com as variáveis
temperatura e umidade do ar. Em todos os casos,
α=0,05.
meio do galpão e próximo aos exaustores (Tab.
1). O valor da Ta encontrados próximo aos pads
cooling ficou dentro da zona termoneutra,
entretanto, no centro e próximo aos exaustores,
os valores da temperatura do ar estiveram no seu
limite, conforme Auvigne et al. (2010), que
citaram, para matrizes suínas, valor de até
25,0ºC. No entanto, em todas as localizações do
galpão, a temperatura esteve acima da zona de
termoneutralidade, conforme Williams et al.
(2013), que consideraram valores ideais de 18 a
20ºC. O valor de ITU foi tido como normal
(seguro), de acordo com Botto et al. (2014),
porém, segundo Wegner et al. (2016) no meio do
galpão e próximo aos exaustores seria
classificado como crítico (>74-79) uma vez que
estes autores classificaram sem estresse ITU ≤74.
Os valores médios da temperatura do ar e do ITU
foram menores no setor leste em comparação ao
Tabela 1. Média, desvio-padrão, mínimo (Mín) e máximo (Máx) das variáveis do ambiente térmico em
três localizações, em um galpão de maternidade para suínos, com resfriamento evaporativo combinado
com pressão negativa, no verão, em ambiente tropical
Próximo aos pads
N2
Meio - S2
Próximo aos exaustores- S3
P
coolling- S1
valor
Média
Média
Média
Mín Máx
Mín Máx
Mín
Máx
(desvio)
(desvio)
(desvio)
Ta (°C)1
450
22,38 (1,16)a
20,6
24,2
24,56 (1,62)b
22,6
26,9
25,00 (1,45)b
23,1
27,4
<0,01
1
UR (%)
450
94,64 (2,21)b
88,7
96,8
86,70 (2,90)a
79,7
90,3
87,29 (3,66)a
79,6
92,0
<0,01
ITU1
450
71,84 (1,89)a
69,3
74,0
74,82 (2,47)b
71,5
77,1
75,62 (2,12)b
72,3
77,7
<0,01
1
Médias seguidas pela mesma letra, na linha, diferem entre si pelo teste de Kruskal-Wallis. Ta –
temperatura do ar; UR – umidade relativa; ITU – índice de temperatura e umidade. 2N – número de
observações.
Independentemente da localização dentro do
galpão de maternidade, o comportamento da
temperatura do ar e do ITU aumentou do período
da manhã para o da tarde (Fig. 2A e 2C). A
1752
temperatura externa teve comportamento
semelhante, porém com maior amplitude térmica
(Fig. 2D).
Arq. Bras. Med. Vet. Zootec., v.71, n.5, p.1750-1758, 2019
Desempenho e termorregulação...
O comportamento da umidade relativa foi
inverso ao da temperatura e do ITU (Fig. 2B).
Esse resultado era esperado, uma vez que a sua
variação ocorre por causa das alterações na
temperatura. A umidade nas três localizações
esteve acima da condição ideal para suínos, que
não deve ultrapassar 70% (Sampaio et al., 2004).
Também Morales et al. (2013) verificaram maior
valor médio de umidade em galpões com painéis
evaporativos em comparação àqueles com
resfriamento sobre a cabeça e com manejo de
cortina (88,3; 74,5; 73,6%, respectivamente). A
velocidade do vento na altura das matrizes foi
nula.
A) Temperatura (°C) (dentro do galpão)
B) Umidade relativa (%) (dentro do galpão)
C) ITU (dentro do galpão)
D) Data logger (fora do galpão)
Figura 2. Ambiente térmico a cada 30 minutos, dentro e fora do galpão de maternidade, para matrizes
suínas no período diurno (S1= próximo aos pads cooling; S2= meio do galpão e S3= próximo aos
exaustores).
Matrizes alojadas próximo aos pads cooling
apresentaram
frequência
respiratória
e
temperatura superficial menores que aquelas
localizadas no centro e próximo aos exaustores
(Tab. 2). Esses resultados eram esperados, uma
vez que a Ta e o ITU próximo aos pads foram
menores que nos demais locais do galpão. A
temperatura superficial é influenciada pela
Arq. Bras. Med. Vet. Zootec., v.71, n.5, p.1750-1758, 2019
temperatura do ar e pela vasodilatação periférica
que ocorre em resposta à temperatura ambiente
elevada, e, quando a diferença entre a
temperatura superficial e a do ambiente for
maior, então, maior será a dissipação de calor
pelos mecanismos sensíveis de calor. Já a
frequência respiratória é uma boa medida para
verificar se os animais estão ou não sob estresse
1753
Rigo et al.
por calor, e, no setor leste (pads), o ambiente
térmico esteve dentro da zona termoneutra.
Justino et al. (2014), ao estudarem o
resfriamento da nuca de porcas em lactação,
observaram redução da frequência respiratória e
da temperatura superficial de animais sob
resfriamento da região da cabeça em comparação
àqueles que receberam somente ventilação
natural na cabeça (46,68 vs. 62,55 mov.min-1 e
34,33 vs. 34,79ºC, respectivamente). Portanto, o
sistema de resfriamento pode influenciar na
frequência respiratória e na temperatura
superficial.
inferiores às encontradas por Martins et al.
(2008), que foram de 74,8mov.min-1 a uma Ta
média de 27,8°C e umidade de 75,3% em galpão
de maternidade, com cortinas laterais (abertas às
7h30 e fechadas às 18h), e equipado com
ventiladores (acionados, rotineiramente, das 11
às 16h). Os valores da frequência respiratória
observada por Justino et al. (2014) em porcas em
lactação, com resfriamento da região da cabeça
(46,68mov.min-1), foram próximos aos obtidos
no presente estudo, em matrizes alojadas
próximo aos pads coolling, e abaixo dos obtidos
nos animais do meio e próximo aos exaustores.
O valor da FR neste estudo foi superior aos
encontrados por Williams (2009) em porcas sob
conforto térmico (18 a 20ºC) (33,74mov.min-1),
primíparas, Landrace e Landrace x Large White,
em câmara climática, porém inferior àquelas sob
estresse por calor (24 a 30ºC) (62,90mov.min-1).
Então, as divergêngias observadas para FR
podem ser explicadas, em parte, pelo uso de
diferentes sistemas de resfriamento.
O valor de frequência respiratória das matrizes
próximas aos pads foi inferior ao encontrado por
Corassa et al. (2014) em matrizes no último
estágio de lactação (48,06mov.min-1), criadas em
galpão com ventilação natural manejado por
abertura e fechamento de cortinas (Ta de
26,97°C e UR de 78,86%), e superior ao
encontrado em animais alojados no meio e
próximo aos exaustores. As médias de FR foram
Tabela 2. Média, desvio-padrão, mínimo (Mín) e máximo (Máx) das variáveis fisiológicas de fêmeas
suínas lactantes em diferentes localizações, em um galpão de maternidade com resfriamento evaporativo
combinado com pressão negativa, no verão, em ambiente tropical
Próximo aos pads
Meio do galpão
Próximo aos exaustores
coolling
P
valor
Média
Média
Média
Mín Máx
Mín Máx
Mín Máx
(desvio)
(desvio)
(desvio)
FR (mov.m1
)
TS (°C)
43,67
(18,28)a
29,51 (2,55)a
TR (°C)
38,40 (0,37)a
12
108
21,2
35,5
52,04
(19,30)b
32,02 (1,56)b
38,0
40,3
38,48 (0,55)a
16
96
27,9
35,5
56,38
(19,66)b
32,56 (1,65)b
37,5
40,9
38,93 (0,58)b
16
112
<0,01
27,8
36,2
<0,01
38,0
40,8
<0,01
Médias seguidas pela mesma letra, na linha, diferem entre si pelo teste de Kruskal-Wallis. FR – frequência
respiratória; mov.m-1 – movimentos respiratórios por minuto; TS – temperatura superficial; TR – temperatura retal.
A temperatura retal das matrizes alojadas
próximo aos pads cooling e ao centro foi inferior
às localizadas próximo aos exaustores (Tab. 2).
Apesar de todos os valores dessa variável
estarem dentro da normalidade para a espécie,
seu maior valor em matrizes alojadas próximo
aos exaustores pode ter sido uma ineficiência na
sua termorregulação. Os valores observados
neste estudo foram superiores ao verificado por
Malmkvist et al. (2012) em matrizes suínas
lactantes, de primeira a terceira ordem de parto,
criadas sob temperatura ambiente de 20ºC
(38,0ºC), entretanto foram inferiores ao de
matrizes criadas a 25ºC (39,0ºC). Williams et al.
(2009) encontraram valores de 39,22 e 39,44°C,
respectivamente, para porcas sob conforto (18 a
1754
20ºC) e sob estresse por calor (24 a 30ºC),
primíparas, Landrace e Landrace x Large White,
valores esses superiores aos obtidos no presente
estudo. Robinson (2004) cita valor de 39,1°C, e
Martins et al. (2008) de 39,2°C a uma Ta média
de 27,8°C e UR de 75,3%, valores superiores aos
obtidos neste estudo.
Justino et al. (2014), ao avaliarem as respostas
fisiológicas em fêmeas suínas lactantes em
sistema de resfriamento da cabeça, encontraram
temperatura retal de 38,8°C, temperatura de
superfície de 34,3°C e frequência respiratória de
46,7mov.min-1 (temperatura do ar de 24,2ºC e
umidade de 79,5%), valores próximos aos
encontrados no presente estudo, em que foi
Arq. Bras. Med. Vet. Zootec., v.71, n.5, p.1750-1758, 2019
Desempenho e termorregulação...
usado o SRE com pad cooling. Malmkvist et al.
(2012) também observaram aumento das
temperaturas retal e superficial e da frequência
respiratória quando a temperatura ambiente da
maternidade aumentou de 15,0 para 25,0ºC.
Também Kiefer et al. (2010), que estudaram
suínos castrados mantidos em ambiente quente
(32ºC), verificaram maior temperatura retal em
relação àqueles mantidos em ambiente de 21ºC e
concluíram que essas variáveis fisiológicas
aumentaram proporcionalmente com a elevação
da temperatura ambiente.
A localização da matriz suína dentro do galpão
com sistema de resfriamento evaporativo pad
cooling não influenciou na espessura de
toucinho, no intervalo desmame-estro, no
consumo de ração, na massa corporal inicial e
final dos leitões, no número de desmamados e no
ganho de massa corporal diário dos leitões (Tab.
3). Esses resultados podem ser explicados,
primeiro, possivelmente porque o consumo
diário de ração bem como os seus nutrientes
foram suficientes para o bom desempenho,
segundo, porque os efeitos do estresse por calor
dependem da duração e de sua intensidade,
portanto o ambiente térmico no centro e próximo
aos exaustores, apesar de ter influenciado
negativamente as variáveis de termorregulação,
não foi suficiente para prejudicar o desempenho.
Entretanto, ao se considerar o bem-estar animal
(BEA), em que uma das cinco liberdades é o
conforto, as fêmeas suínas no centro e próximo
aos exaustores possivelmente tiveram BEA
prejudicado. É importante mencionar também
que as condições meteorológicas dentro do
galpão com o SRE pad cooling foram mais
adequadas que as encontradas no meio externo
(Fig. 2D), portanto esse sistema amenizou a
influência dos fatores climáticos. Justino et al.
(2015) também verificaram que matrizes criadas
em sistema de ventilação natural e em sistema de
resfriamento da cabeça, criadas no mesmo
galpão, apresentaram desempenhos produtivo e
reprodutivo semelhantes. Entretanto, Farmer et
al. (2007) verificaram maior consumo de ração
sob 21ºC em comparação às porcas lactantes
mantidas sob 29ºC (4,6 vs. 3,8kg.dia-1). Uma
explicação para essa divergência de resultados
pode ser a intensidade do estresse, que foi acima
da temperatura média observada no presente
estudo, e também a duração do estresse. Outra
possível explicação é quanto à quantidade e aos
nutrientes da ração, que provavelmente foram
suficientes para o bom desempenho no presente
estudo. O consumo médio diário de ração
esteve acima do encontrado por Campos et al.
(2008) para matriz lactante híbrida, que foi de
6,520kg, em Ta média de 23,5ºC.
Tabela 3. Média, desvio-padrão, mínimo (Mín) e máximo (Máx) das variáveis de desempenho de fêmeas
suínas lactantes em três locais (setor), em um galpão com resfriamento evaporativo combinado com
pressão negativa, no verão, em ambiente tropical
Próximo ao pad cooling
Próximo aos exaustores –
Meio do galpão –S2
(S1)
S3
PMédia
Média
Média
valor
Mín
Máx
Mín
Máx
Mín
Máx
(desvio)
(desvio)
(desvio)
ET parto2(mm)
ET desm.2(mm)
Dif. 2(mm)
IDE (dias)
CMD 2 (kg)
MCI leit.2 (kg)
2
MCF leit. (kg)
4
N° desm.
GMC leit.2
(kg/dia)
16,92
(4,14)
16,42
(2,87)
-0,50 (2,47)
4,1 (0,5)
7,366
(0,291)
1,413
(0,246)
5,100
(0,890)
12,0 (0,85)
0,184
(0,403)
11,00
26,00
19,73 (4,65)
15,00
28,0
11,00
20,00
19,00 (5,44)
12,00
26,0
-6,0
4,0
2,0
5,0
-5,0
4,0
5,0
10,0
6,833
7,690
6,156
7,500
0,918
1,720
0,985
1,874
3,989
6,730
3,293
6,884
11,0
13,0
8,0
16,0
0,134
0,265
-0,73 (3,04)
5,0 (2,3)
6,902
(0,477)
1,501
(0,285)
5,590
(0,930)
10,9 (2,3)
0,209
(0,412)
0,121
0,279
19,18
(4,02)
17,45
(3,24)
-1,73 (1,74)
5,0 (1,5)
7,388
(0,525)
1,431
(0,317)
5,470
(1,050)
12,7 (1,6)
0,189
(0,325)
12,0
24,0
ns3
11,0
21,0
ns
-4,0
4,0
2,0
9,0
ns
ns
6,386
8,159
ns
0,778
1,744
ns
3,574
6,753
ns
10,0
15,0
0,133
0,232
ns
2
Médias comparadas pelo teste F. ET – espessura de toucinho; desm- desmama; Dif. – diferença entre ET parto e ET
desm.; IDE – intervalo desmame-estro; CMD – consumo médio diário; MCI leit. – massa corporal inicial da
leitegada; MCF leit. – massa corporal final da leitegada; N° desm. – número de desmamamdos; GMC leit. – ganho de
massa corporal médio diário da leitegada. 3ns= não significativo. 4Covariável.
Arq. Bras. Med. Vet. Zootec., v.71, n.5, p.1750-1758, 2019
1755
Rigo et al.
Leitões nas diferentes localizações apresentaram
massa corporal ao desmame e ganho médio
diário semelhantes (Tab. 3). Esse resultado pode
ser explicado, em parte, pelo fato de o consumo
de alimentos das matrizes não ter diferido entre
si e também por se manter normal e em
quantidade adequada para lactação. Morales et
al. (2013) expuseram um grupo de matrizes
lactantes em galpão com sistema de resfriamento
evaporativo com pressão negativa (SRE) a
23,1ºC, um grupo com resfriamento na nuca
(RN) a 26,8ºC e em galpão com manejo de
cortinas (MC) a 26,8ºC. Os autores verificaram
que o consumo de ração foi maior nos animais
em SRE (5,1kg.dia-1) e RN (5,2kg.dia-1) em
relação à MC (4,7kg.dia-1), apesar de a
temperatura do ar ser igual entre RN e MC, e
explicaram que o maior consumo em RN foi por
causa do ar fresco sobre a cabeça, que auxiliou
na termorregulação e no conforto das porcas.
Observaram ainda que a massa corporal dos
leitões ao desmame não diferiu entre grupos e foi
de 6,152kg para SRE, 6,209kg para RN e
5,977kg para MC. No entanto, Perin et al. (2016)
observaram maior consumo de ração em porcas
lactantes sob sistema de resfriamento na nuca
(25,8ºC) em relação às criadas sob sistema
convencional (26,1ºC) (4,8 vs. 5,8kg) e
explicaram que o melhor desempenho dos leitões
das matrizes alojadas sob o sistema de
resfriamento na nuca se deveu ao melhor
conforto térmico promovido pelo ar frio sobre os
animais, conclusão semelhante à de Morales et
al. (2013). A utilização do sistema de
resfriamento evaporativo tem ação direta na
redução dos efeitos das altas temperaturas sobre
as variáveis ligadas à termorregulação em porcas
em lactação durante os períodos quentes do ano e
proporciona melhores pesos dos leitões ao
desmame (Justino et al., 2015; Perin et al.,
2016).
As médias de todas as variáveis fisiológicas, da
Ta e do ITU foram menores no período da
manhã em comparação ao período da tarde (Tab.
4). Possivelmente, o aumento das variáveis de
termorregulação ocorreu em razão do acréscimo
da Ta, que possui uma ação direta sobre a
produção
e
a
dissipação
de
calor.
Adicionalmente, observou-se correlação positiva
e significativa entre as variáveis fisiológicas e a
Ta (Tab. 5), o que indica que o aumento de Ta
leva ao acréscimo das variáveis fisiológicas de
termorregulação.
Tabela 4. Média e desvio-padrão de variáveis ambientais e fisiológicas de fêmeas suínas lactantes em três
localizações, em um galpão com resfriamento evaporativo combinado com pressão negativa, de manhã e
à tarde
FR
UR (%)
ITU
TS (°C)
TR (°C)
Ta (°C)
(mov.min-1)
Manhã
48,71a (20,71)
30,26a (3,88)
38,43a (3,82)
91,85b (3,41)
22,70a (1,09)
72,16a (1,33)
Tarde
52,11b (20,19)
32,33b (4,83)
38,76b (5,42)
87,56a (4,84)
25,17b (1,53)
75,90b (1,79)
P valor
0,0443
<0,01
<0,01
<0,01
<0,01
<0,01
Médias seguidas por letras minúsculas na mesma coluna diferem pelo teste de Wilcoxon, a 5%. FR – frequência
respiratória; mov.min-1 – movimentos respiratórios por minuto; TS – temperatura superficial; TR – temperatura retal;
UR – umidade relativa; Ta – temperatura do ar; ITU – índice de temperatura e umidade.
Tabela 5. Coeficiente de correlação entre as variáveis fisiológicas de matrizes suínas e variáveis do
ambiente térmico
Ta
(temperatura do ar)
FR (frequência respiratória)
0,305*
TS (temperatura superificial)
0,679*
TR (temperatura retal)
0,437*
*P<0,001, em que: < 0,5, baixa; 0,5 a 0,8, média;
superficial e TR= temperatura retal.
UR
ITU
(umidade relativa) (índice de temperatura e umidade)
-0,242*
0,308*
-0,569*
0,685*
-0,345*
0,438*
> 0,8, alta. FR= frequência respiratória; TS= temperatura
Justino et al. (2014) encontraram frequência
respiratória e temperatura superficial menores
em fêmeas suínas lactantes sob sistema de
resfriamento da cabeça (46,68mov.min-1 e
34,33ºC, respectivamente) em relação ao sistema
de ventilação natural (62,55mov.min-1 e
34,79ºC), e a temperatura retal não diferiu entre
os sistemas de resfriamento (38,81 vs. 38,97ºC).
1756
Arq. Bras. Med. Vet. Zootec., v.71, n.5, p.1750-1758, 2019
Desempenho e termorregulação...
A temperatura ambiente no galpão de
resfriamento da nuca (24,15ºC) foi menor que
com ventilação natural (26,25ºC). A hora do dia
influencia as variáveis fisiológicas, assim
Corassa et al. (2014), em galpão de maternidade
com ventilação natural, sob temperaturas de
24,94 a 30,81ºC, obtiveram frequência
respiratória para porcas em lactação de 64,35;
49,00; 38,60 e 28,35mov.min-1, respectivamente,
à tarde, de manhã, à noite e na madrugada. A
temperatura retal foi maior nos horários de 15h
(39,24ºC) e 21h (39,32ºC) em relação aos
horários de nove horas (38,67ºC) e três horas
(38,87ºC). Os mesmos autores esclareceram que,
nos horários mais quentes do dia, essas variáveis
se mantêm elevadas, na tentativa de o animal
ajustar sua homeotermia. Gourdine et al. (2006),
em Guadalupe, latitude 16°N e longitude 61°W,
encontraram maior temperatura retal em fêmeas
suínas lactantes na estação muito quente
(novembro a abril) em relação à estação quente
(maio a outubro) (38,9 vs. 38,6°C), com
temperaturas ambientes médias de 26,0 e 24,1°C,
respectivamente.
Os valores de umidade foram superiores de
manhã em relação à tarde (Tab. 4). Também
Morales et al. (2013) observaram flutuações que
alcançaram 90,5% e 85,5% para os períodos
matutino e vespertino, respectivamente, em
galpão com SRE com pressão negativa. As
correlações entre as variáveis fisiológicas com a
Ta e o ITU (Tab. 5) foram significativas,
positivas e de baixa a média magnitude. Também
Brown-Brandl et al. (2012) verificaram que,
quando há um aumento da temperatura do ar
acima de 22°C (no presente estudo, no centro e
próximo aos exaustores), ocorre um aumento na
frequência respiratória, a qual contribui para o
aumento da perda de calor por evaporação, o que
auxilia no controle da temperatura corporal
profunda. As correlações entre umidade e
parâmetros fisiológicos foram significativas,
negativas e de baixa a média magnitude,
indicando que um aumento da umidade pode
levar a maiores valores das variáveis fisiológicas.
Em ambiente tropical, no verão, as condições
meteorológicas num galpão de maternidade para
matrizes suínas, com sistema de resfriamento
evaporativo pad cooling com pressão negativa,
não são homogêneas. No verão, no período
diurno, a localização próxima aos pads coolings
caracteriza um ambiente termoneutro, no entanto
o centro e o próximo aos exaustores caracterizam
desconforto térmico. O ambiente térmico no
meio e próximo aos exaustores influencia
negativamente os parâmetros fisiológicos de
termorregulação, porém não prejudica o
desempenho das matrizes e da leitegada.
Palavras-chave: suíno, Sus scrofa,
termoneutra, temperatura retal, leitão
zona
ABSTRACT
The effects of housing lactating sows at different locations in a shed with evaporative cooling system
(ECS) on their thermoregulation and reproductive and productive performance of the sow and the litter
in summer were determined. 34 females were used in the three lines of cages at these locations: near the
pad cooling; in the middle of the shed and near the exhaust fans. The air temperature and the
temperature and humidity index (THI) were lower near the pad cooling (22.38ºC, 71.84) than the middle
(24.56ºC, 74.82) and near the exhaust fans (25.00°C, 75.62). Respiratory rate, rectal and surface
temperatures were lower in sows near the pad cooling (43.67 breaths.min -1, 38.40°C; 29.51°C) than in
the center (52.04 breaths.min-1; 38.48ºC; 32.02ºC) and near the exhaust fans (56.38 breaths.min-1,
38.93ºC; 32.52ºC). The backfat thickness, the weaning-estrus interval and daily average consumption of
the sows, number of weaning piglets, corporal mass and daily average gain of the piglets were not
influenced by the location of housing in the shed. Lactating sows housed in the middle and near the
exhaust fans in the ECS presented increased thermoregulation physiological variables, however, this did
not impair the performance.
Keywords: swine, Sus scrofa, thermoneutral zone, rectal temperature, piglet
Arq. Bras. Med. Vet. Zootec., v.71, n.5, p.1750-1758, 2019
1757
Rigo et al.
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Comprehensive target geometric errors and margin assessment in stereotactic partial breast irradiation
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Radiation oncology
| 2,017
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cc-by
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* Correspondence: Xuejun.Gu@utsouthwestern.edu
†Equal contributors
1Department of Radiation Oncology, The University of Texas Southwestern
Medical Center, Dallas, TX 75390, USA
Full list of author information is available at the end of the article Comprehensive target geometric errors and
margin assessment in stereotactic partial
breast irradiation Xin Zhen1,2†
, Bo Zhao1†, Zhuoyu Wang3, Robert Timmerman1, Ann Spangler1, Nathan Kim1, Asal Rahimi1
and Xuejun Gu1* Zhen et al. Radiation Oncology (2017) 12:151
DOI 10.1186/s13014-017-0889-6 Zhen et al. Radiation Oncology (2017) 12:151
DOI 10.1186/s13014-017-0889-6 © The Author(s). 2017 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. * Correspondence: Xuejun.Gu@utsouthwestern.edu Treatment delivery, target localization, and tracking Treatment delivery, target localization, and tracking
Daily target positioning before the delivery of each radi-
ation fraction was achieved by aligning the position of
the fiducials on two orthogonally acquired x-ray images
to their reference positions on the DRRs derived from
the planning CT. Treatment delivery was supported by
the Cyberknife Synchrony® Respiratory Tracking System. A typical S-PBI takes about 40 min or more, including
patient positioning (~5 mins), robot positioning (~20–
30 min) to deliver multiple non-coplanar beams, image
acquisition and motion modeling (~5–10 min for an en-
tire fraction treatment), and beam delivery (~7 mins
beam-on time). The internal fiducial positions identified
on the paired orthogonal x-ray images (Fig. 1a) were
correlated with external optical marker positions to es-
tablish a respiratory correlation model. Paired orthog-
onal
x-ray
images
were
acquired
before
treatment
delivery to build a correlation model and throughout the
treatment delivery to continually verify the model every
minute and update if needed. The Cyberknife robotic
arm then dynamically moved the beam during delivery
to account for the respiration motion based on this cor-
relation model [16]. The captured paired x-ray image se-
quences
were
recorded
and
used
to
assess
target
geometric errors. An institutional review board (IRB) approved phase-I
S-PBI clinical trial using Cyberknife® (Accuray Incorpo-
rated, Sunnyvale, CA, USA) [9] was initiated at our insti-
tution in 2010. Enrolled patients were treated with
fiducial markers, implanted near the target as target sur-
rogates and monitored by orthogonal kV images every
minute during beam delivery. The purpose of this study
is to analyze breast target geometric errors, both rigid
and non-rigid, using these recorded fiducial positions
and estimate treatment margins. Furthermore, clinical
factors correlated to target geometric errors were inves-
tigated with univariate and multivariate analysis. Abstract Zhen et al. Radiation Oncology (2017) 12:151 Page 2 of 8 Abstract Background: Recently developed stereotactic partial breast irradiation (S-PBI) allows delivery of a high biologically
potent dose to the target while sparing adjacent critical organs and normal tissue. With S-PBI tumoricidal doses,
accurate and precise dose delivery is critical to achieve high treatment quality. This study is to investigate both rigid
and non-rigid components of target geometric error and their corresponding margins in S-PBI and identify
correlated clinical factors. Methods: Forty-three early-stage breast cancer patients with implanted gold fiducial markers were enrolled in the study. Fiducial positions recorded on the orthogonal kV images on a Cyberknife system during treatment were used to estimate
intra-fraction errors and composite errors (including intra-fraction errors and residual errors after patient setup). Both rigid
and non-rigid components of intra-fraction and composite errors were analyzed and used to estimate rigid and non-rigid
margins, respectively. Univariate and multivariate linear regressions were conducted to evaluate correlations between
clinical factors and errors. Results: For the study group, the intra-fraction rigid and non-rigid errors are 2.0 ± 0.6 mm and 0.3 ± 0.2 mm,
respectively. The composite rigid and non-rigid errors are 2.3 ± 0.5 mm and 1.3 ± 0.8 mm, respectively. The rigid
margins in the left-right, anterior-posterior, and superior-inferior directions are estimated as 2.1, 2.4, and 2.3 mm,
respectively. The estimated non-rigid margin, assumed to be isotropic, is 1.7 mm. The outer breast quadrants are
more susceptible to composite errors occurrence than the inner breast quadrants. The target to chest wall distance is
the clinical factor correlated with target geometric errors. Conclusions: This is the first comprehensive analysis of breast target geometric rigid and non-rigid errors in S-PBI. Upon the estimation, the non-rigid margin is comparable to rigid margin, and therefore should be included in
planning target volume as it cannot be accounted for by the Cyberknife system. Treatment margins selection also
need to consider the impact of relevant clinical factor. Keywords: Stereotactic partial breast irradiation, Cyberknife, Fiducial, Margin © The Author(s). 2017 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Background fiducial marker was 3-mm in length and 1.2-mm in
diameter. These strategically placed fiducial markers
were meant to serve as surrogates for the tumor bed it-
self to localize targets and track target motion. Accelerated partial breast irradiation (APBI) is an effect-
ive alternative to standard whole breast irradiation
(WBI) in selected early-stage breast cancer patients
undergoing breast conservation therapy [1–6]. Recently
developed stereotactic partial breast irradiation (S-PBI)
allows 1–5 treatment fractions by delivering a high bio-
logically potent dose to the target, while sparing adjacent
critical organs and normal tissue [1, 7–9]. With S-PBI
tumoricidal doses, accurate and precise dose delivery is
critical to achieve high treatment quality. Treatment simulation and planning Computer tomography (CT) simulation was conducted
on each enrolled patient to obtain three-dimensional
(3D) anatomic images for treatment planning. During
simulation, the patients were set in a supine position
with both arms above the head and immobilized by a
Vac Loc® bag secured in an immobilization frame. CT
scans were started either at or above the mandible, and
were extended several centimeters below the inframam-
mary fold (including the entire lung) with a 1.5-mm
axial slices spacing. The CT images were imported into
the CyberKnife MultiPlan® treatment planning system
for target delineation and treatment planning. The clin-
ical target volume (CTV) was defined by uniformly
expanding the lumpectomy cavity volume by 10 mm. The PTV was defined as the CTV plus a 5.0-mm margin
by excluding the chest wall, the pectoralis muscles, and
the region within 5.0-mm distance to the skin. Critical
structures were also delineated, such as the heart, the
lung, the ipsilateral and contralateral whole breast, and
etc. Fiducials identified on the CT images were projected
on digitally reconstructed radiographs (DRRs) for subse-
quent use during treatment set up. The primary challenge in accurate and precise dose
delivery is treatment volume definition [10–14], defining
regions clinically at risk and accounting for setup errors
and intra-fractional motion uncertainties. In this report,
we are concerned with the later. In breast irradiation,
the soft and deformable nature of breast tissue makes
setup and tracking of the breast targets particularly chal-
lenging. Inter-fractional setup errors, caused by daily
setup variations, are difficult to control. Although the
rigid component can be mostly corrected with couch
maneuvers prior to beam on, the non-rigid component
currently has no effective method to be compensated. Intra-fractional motion, including both respiratory mo-
tion and patient movement, is unconscious and unlikely
to be eliminated. Intra-fractional errors must be moni-
tored ideally in real-time or close to real-time to justify
small planning target volume (PTV) margins. Rigid com-
ponents of the intra-fractional error can be corrected
using robotic delivery system (Cyberknife); however, the
non-rigid components cannot be corrected. Data structure Depending on the duration of fractional treatment delivery,
7–73 pairs (with average 29) of x-ray images (512 × 512
with a resolution of 0.4mm × 0.4mm), called image pairs at
node 0, 1…) were acquired. Node 0 refers to the images ac-
quired right after fiducials (the target) was aligned and be-
fore the first beam delivery. There were 6105 nodes and
215 fractions for 43 patients (5 fractions for each patient). Statistical analysis was performed at different data levels, in-
cluding node, fraction, and patient levels. The node level
was analyzed from the data extracted from the images at
each node; the fraction level was conducted on the data av-
eraged over the nodes in each fraction, and the patient level
was performed on the data averaged over the nodes of each
patient. The patient level data was used to estimate margin
and study its correlation to clinical factors. Analysis
Data struc positions. Intra-fraction error is defined as the target
geometric deviation between the target position at node
0 of each treatment fraction, and subsequent treatment
target position (Fig. 1c). Composite error is defined as
the target geometric deviation between the planning CT
and each treatment node 0, node 1, …, node n. In the
time domain, the composite error includes both intra-
fraction error after treatment start and inter-fraction re-
sidual setup errors after initial kV-kV alignment. In the
spatial domain, breast target geometric errors (called
total errors) consist of rigid and non-rigid errors. Non-
rigid error is noted when fiducials failed to align in pos-
ition relative to one another that would reconstitute
their relationship to the tumor cavity at simulation. Rigid and non-rigid errors (Fig. 1b) are analyzed separ-
ately. Rigid errors were calculated using 3–5 fiducials’
3D coordinates through a Horn’s quaternion-based 3D
point matching algorithm [17], where the 3D fiducial po-
sitions were calculated with paired two-dimensional
(2D) fiducial coordinates identified on real-time paired
x-ray images (Fig. 1a). Specifically, the rigid component Patients and fiducial marker placement Forty-three patients were randomly selected from the
cohort enrolled at our institutional clinical trial, which is
a
single-arm, prospective 5-fraction dose escalation
stereotactic radiotherapy study conducted on Cyberknife
system. For each enrolled patient, four to five gold fidu-
cial markers (CIVCO Medical Solutions, Orange City,
IA) were systematically implanted at least 2-cm apart at
the edge of the lumpectomy cavity [15]. Each gold Zhen et al. Radiation Oncology (2017) 12:151 Page 3 of 8 Fig. 1 a Paired orthogonal kV X-ray images acquired during S-PBI treatment. The red squares indicate the identified fiducials. b Illustration of rigid
and non-rigid errors. Rigid error is calculated with rigid registration. Non-rigid error accounts for absolute fiducial residual distance after rigid
registration. Non-rigid error of a patient is estimated by averaging residual distances over the implanted fiducials. c Illustration of intra-fraction
error and composite error Fig. 1 a Paired orthogonal kV X-ray images acquired during S-PBI treatment. The red squares indicate the identified fiducials. b Illustration of rigid
and non-rigid errors. Rigid error is calculated with rigid registration. Non-rigid error accounts for absolute fiducial residual distance after rigid
egistration. Non-rigid error of a patient is estimated by averaging residual distances over the implanted fiducials. c Illustration of intra-fraction
error and composite error Fig. 1 a Paired orthogonal kV X-ray images acquired during S-PBI treatment. The red squares indicate the identified fiducials. b Illustration of rigid
and non-rigid errors. Rigid error is calculated with rigid registration. Non-rigid error accounts for absolute fiducial residual distance after rigid
registration. Non-rigid error of a patient is estimated by averaging residual distances over the implanted fiducials. c Illustration of intra-fraction
error and composite error Impact on breast target geometric errors Breast target geometric errors may be affected by a
number of clinical factors: ①target location; ②mean
CT number of breast (CTB, in Hounsfield Units (HUs),
indicator of breast density); ③breast volume (BV, in
cm3); ④distance of the target centroid to the chest wall
(Dchest, in mm); ⑤distance of the target centroid to
the skin (Dskin, in mm) (④and ⑤are indicators of in-
fluence from breathing motion); ⑥PTV-to-breast vol-
ume ratio (PBR, relative tumor size); ⑦ipsilateral breast
side (left or right), and ⑧patient age (PA). Margin estimation Target margins are derived from composite errors and
should account for rigid and non-rigid components. Calculations of the rigid margin, the non-rigid margin
and the total margin are detailed in Additional file 1:
Appendix B. assessed by univariate linear regression. Multivariate lin-
ear regression was also performed to predict the target
geometric errors with the listed clinical factors (see Add-
itional file 1: Appendix C for details). Statistical compu-
tations and univariate linear regression were performed
on the SPSS 19.0 software (SPSS Inc., Chicago, IL). Multivariate regression was accomplished using the stat-
istical computing platform R (version 3.3.0) [19] with
the
‘rjags’
library
[20]. P=0.05
indicated
statistical
significance. Error analysis The quadrant division is centered at the
nipple; b Cumulative frequency histogram of fiducial composite error
in four breast quadrants (similar to cumulative dose volume histogram
fashion). Here, we use point O as an example to explain the curve. The
point O represents 8% of time lower inner fiducial has an error at least
5.0 mm or greater Error analysis In the longitudinal time domain, breast target geometric
errors can be defined with different reference target Zhen et al. Radiation Oncology (2017) 12:151 Page 4 of 8 of target error was computed as T + R, where T is the
translational error amplitude and R is the rotation contrib-
uted error amplitude. The translational error amplitude is
given by T ¼
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
x2 þ y2 þ z2
p
, where x, y, and z are the
translation
errors
in
the
Left-Right
(LR),
Anterior-
Posterior (AP), and Superior-Inferior (SI) direction. We
used the following equation R ¼
ffiffiffi
2
p
s
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
∅2 þ θ2 þ φ2
q
pro-
posed in [18] to convert the contribution of angular rota-
tion ∅(roll), θ(yaw), and φ(pitch) to the error amplitude,
where s is the radius of the target. In this study, we chose
the largest eligible tumor size s = 30 mm. Non-rigid errors
are the fiducial point residual errors after rigid regis-
tration. The amplitude of non-rigid error is estimated
by averaging all the k individual fiducial residual mo-
tions (Δxk, Δyk, Δzk) after rigid registration, calculated
as N ¼ 1=k P
k
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Δxk þ Δyk þ Δzk
p
. The total error is
therefore the combination of the above rigid and non-
rigid errors, given by T + R + N. The 2D-3D fiducial coord-
inate conversion is described in detail in Additional file 1:
Appendices A. Note that considering the negligible fiducial
migration (mean 0 mm) in breast reported in previous
study [11], fiducial migration was ignored in this study. Fig. 2 a Breast quadrants. The quadrant division is centered at the
nipple; b Cumulative frequency histogram of fiducial composite error
in four breast quadrants (similar to cumulative dose volume histogram
fashion). Here, we use point O as an example to explain the curve. The
point O represents 8% of time lower inner fiducial has an error at least
5.0 mm or greater Fig. 2 a Breast quadrants. The quadrant division is centered at the
nipple; b Cumulative frequency histogram of fiducial composite error
in four breast quadrants (similar to cumulative dose volume histogram
fashion). Here, we use point O as an example to explain the curve. The
point O represents 8% of time lower inner fiducial has an error at least
5.0 mm or greater Fig. 2 a Breast quadrants. Intra-fractional and composite error The rigid and non-rigid components of intra-fraction
and composite errors were evaluated on different data
levels. The mean and SD of intra-fraction and composite
breast errors are listed in Table 1. For the intra-fraction,
rigid error was 2.0–2.2 mm, the non-rigid error was
~0.3 mm, and the total error was 2.3–2.5 mm. Also, 65%
of the patients, 59% of the fractions, and 54% of the
nodes presented total error greater than 2.0 mm. For the
composite, rigid error was 2.3–2.6 mm, non-rigid error
was ~1.3 mm, and total error was 3.6–3.9 mm. In 98%
of the patients, 95% of the fractions, and 90% of the
nodes, the total error was greater than 2.0 mm. For both To assess the relationship between target geometric
errors and location, the breast was segmented into four
quadrants: upper inner, upper outer, lower inner, and
lower outer (Fig. 2a). Fiducial markers were categorized
based on their location with the four quadrants. The
composite total error was used to characterize the quad-
rant target geometric error. Spearman’s rho was used for the correlation analysis
between the listed clinical factors (2–8) and the target
geometric errors. The factors found to be significantly
correlated to the target geometric errors were further Zhen et al. Intra-fractional and composite error Radiation Oncology (2017) 12:151 Page 5 of 8 Table 1 Intra-fraction and composite breast target geometric errors* calculated at patient, fraction, and node levels
Data
level
Rotation(0)
Translation (mm)
Rigid (mm)
Non-rigid
(mm)
Total (mm)
Roll
Yaw
Pitch
LR
AP
SI
Intra-
fraction
Patient
0.5 ± 0.3
(1.6)
0.0 ± 0.0
(0.2)
0.2 ± 0.2
(1.2)
0.8 ± 0.3
(1.9)
1.1 ± 0.4
(2.0)
1.0 ± 0.4
(2.3)
2.0 ± 0.6
(3.9)
0.3 ± 0.2
(0.8)
2.3 ± 0.7
(4.5)
Fraction 0.5 ± 0.7
(4.2)
0.0 ± 0.1
(0.6)
0.2 ± 0.3
(3.1)
0.8 ± 0.6
(2.9)
1.1 ± 0.6
(3.6)
1.0 ± 0.6
(3.5)
2.1 ± 0.9
(6.0)
0.3 ± 0.3
(2.3)
2.3 ± 1.0
(6.6)
Node
0.5 ± 0.7
(6.7)
0.1 ± 0.1
(1.1)
0.2 ± 0.4
(5.0)
0.8 ± 0.8
(6.9)
1.1 ± 1.0
(8.6)
1.0 ± 1.0
(7.0)
2.2 ± 1.4
(10.8)
0.3 ± 0.3
(3.8)
2.5 ± 1.5
(11.2)
Composite
Patient
0.5 ± 0.3
(1.4)
0.1 ± 0.1
(0.3)
0.3 ± 0.2
(1.0)
1.0 ± 0.3
(1.9)
1.3 ± 0.4
(2.2)
1.1 ± 0.4
(2.5)
2.3 ± 0.5
(3.6)
1.3 ± 0.8
(3.1)
3.6 ± 1.0
(5.8)
Fraction 0.5 ± 0.6
(3.8)
0.1 ± 0.1
(0.4)
0.3 ± 0.3
(2.8)
1.0 ± 0.6
(3.1)
1.3 ± 0.6
(3.2)
1.1 ± 0.7
(6.2)
2.4 ± 0.9
(6.8)
1.3 ± 1.0
(5.6)
3.7 ± 1.3
(7.7)
Node
0.5 ± 0.7
(6.9)
0.1 ± 0.1
(0.8)
0.3 ± 0.4
(4.5)
1.0 ± 0.8
(6.5)
1.3 ± 1.0
(6.4)
1.1 ± 1.0
(8.6)
2.6 ± 1.3
(11.5)
1.3 ± 1.0
(6.6)
3.9 ± 1.6
(13.1)
*Numbers in the parentheses indicate the maximum values; rigid, non-rigid, and total errors are reported as amplitudes 0.00) and BV (ρ = 0.535 , p < < 0.00). No significant cor-
relations were found for either rigid component or total
error. the intra-fraction and the composite, AP direction was
the largest in rigid errors, followed by SI and LR direc-
tions. Rotation was small with mean values less than
0.50 in all three directions. Roll rotation was the largest
followed by pitch, while yaw was negligible. Intra-fractional and composite error For the composite, a significant correlation was ob-
served between non-rigid component and predictors
Dchest (ρ = 0.572 , p < < 0.00) and BV (ρ = 0.566 , p < <
0.00), and between total error and Dchest (ρ = 0.504 , p
= 0.001) and BV (ρ = 0.42 , p = 0.005). No significant cor-
relation was found with clinical predictors and rigid
component. Margin estimation The rigid margins in the LR, AP, and SI directions were
estimated as 2.1, 2.4, and 2.3 mm, respectively, while the
non-rigid
margin
was
estimated
as
1.7
mm. For
Cyberknife-based S-PBI, with the rigid error corrected
during beam delivery, the margins could be non-rigid
only, 1.7 mm, in all directions. For treatment platform
that do not offer frequent intra-fractional error detection
and correction (e.g. conventional LINAC based S-PBI),
in which both rigid and non-rigid margins need to be
considered, the total margins in the LR, AP, and SI di-
rections were 3.8, 4.1, and 4.0 mm, respectively. Univariate linear regressions of Dchest and BV with
the composite errors, non-rigid component and total,
are illustrated in Fig. 3. Although errors increased with
increased Dchest and BV, the 95% prediction bands
allowed a large range of motion prediction. The quality
of the fits was moderate, as indicated by R2 equal to 0.37
and 0.29 for the composite non-rigid error, and 0.28 and
0.23 for the composite total error, for Dchest and BV, re-
spectively. These results indicate that breast target geo-
metric errors are complex and may be influenced by
multiple factors. Impact of different clinical factors on errors The relationship between the composite error (or the
composite total error) and the target location in different
breast quadrants was plotted using a cumulative frequency
illustration, representing smaller error by lower curves
(Fig. 2b). The averaged error was 3.3 ± 2.2 mm (0.1 mm
to 16.3 mm) in quadrant I, 3.7 ± 2.6 mm (0.1 mm to
20.2 mm) in quadrant II, 2.9 ± 1.4 mm (0.3 mm to
7.9 mm) in quadrant III, and 3.7 ± 2.4 mm (0.1 mm to
13.8 mm) in quadrant IV. These findings implied that the
error in the inner breast quadrants was smaller than that
in the outer breast quadrants (I vs II and III vs IV, p <
0.0001). Smaller error was also seen in lower quadrant III
than in upper quadrant I, while lower quadrant IV and
upper quadrant II errors were similar (p = 0.58). To further analyze correlation between the target
geometric error and the listed clinical factors (2–8),
multivariate linear regression was adopted. The multi-
variate linear regression showed that only Dchest is
statistically significant correlated to composite errors. For the non-rigid component, the estimated Dchest
coefficient was 0.03 with a 95% CI of (0.01–0.05); for
the total, the estimated coefficient was 0.03 with a
95% CI of (0.01–0.06). We observed that the SDs of
the patient-specific random effect (σ1), the treatment-
specific random effect (σ2), and the error term (σ3)
were respectively estimated (95% CI) as 0.54 (0.42–
0.75), 0.44 (0.03–0.74), and 0.57 (0.04–0.78) for the
non-rigid error, and as 0.70 (0.49–0.98), 0.50 (0.04–
1.05), and 0.84 (0.031.06) for the composite total
error. For the intra-fraction, statistically significant correla-
tions were found between the non-rigid component and
predictors Dchest (Spearman coefficient ρ = 0.574 , p < < Zhen et al. Radiation Oncology (2017) 12:151 Page 6 of 8 Fig. 3 Univariate linear regressions of Dchest (a and c) and BV (b and d) with the composite errors, non-rigid component and total. The grey
areas indicate the 95% confidence interval and the grey lines encompass the 95% prediction bands Fig. 3 Univariate linear regressions of Dchest (a and c) and BV (b and d) with the composite errors, non-rigid component and total. The grey
areas indicate the 95% confidence interval and the grey lines encompass the 95% prediction bands 3.5mm × 3.5mm in [21]). Impact of different clinical factors on errors In contrast, the near real-time fi-
ducial positions logged by the Cyberknife kV imaging sys-
tem offer complete data set on breast target geometric
changes during the course of treatment, allowing a com-
prehensive study of breast target geometric errors. Discussion In this study, we analyzed breast target geometric errors
at different data levels (node, fraction, and patient), at
different time frames (intra and composite), and with
different components (rigid, non-rigid, and total). Upon
data analysis, margins were estimated and clinical factors
impacting the errors were identified. p
y
g
g
In contrast to other studies [10, 11, 21, 23, 24] that
mainly focused on rigid error, we analyzed the non-rigid
component. We found that the non-rigid component of
intra-fraction errors is small, with a mean of 0.3 mm on
all data levels. These results are not surprising, since dia-
phragmatic breathing motion is mostly detected in the
abdomen, displacing abdominal organs like the liver
more than chest wall structures like the breast. Our find-
ings are consistent with those reported in a previous
study [10]. The non-rigid component of composite er-
rors has a mean of 1.3 mm, which is mainly caused by
breast deformation during daily setup. We used non-
rigid component of composite errors to further estimate
non-rigid margins and found that they were similar to
rigid margins (1.7 mm vs. ~2.3 mm). Breast target setup error and motion has been studied by
other researchers [10, 11]. Yue et al. [10] investigated
breast intra-fraction motion using fiducial positions ex-
tracted from orthogonal kV images before and after treat-
ment. Park et al. [11] evaluated intra−/inter-fraction
respiratory motion and fiducial stability using pre- and
post-treatment 4D CT images and daily online MV orthog-
onal images. Because the kV/MV image pairs cannot be ac-
quired simultaneously on a conventional LINAC, the 3D
fiducial positions extracted from the images already imply
a level of uncertainty. Moreover, pre- and post-treatment
acquisitions cannot capture intra-fractional breast motion. Real-time magnetic resonance image (MRI) has also been
reported to track breast motion [21, 22], though MRI can
provide superior soft-tissue contrast of the tumor bed, the
reported studies are merely focused on intra-fractional mo-
tion using 2D MRI images with limited resolution (e.g. The geometric errors investigated in this study are ap-
plicable to fiducial-based S-PBI both with and without
real-time motion tracking/error correction. The com-
posite total errors essentially represent the variation Zhen et al. Radiation Oncology (2017) 12:151 Page 7 of 8 Page 7 of 8 observed in conventional LINAC-based S-PBI (with
image-guidance but without real-time motion tracking/
error correction). Competing interests
f Competing interests
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Medical Center, Dallas, TX 75390, USA. 2Department of Biomedical
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A Prospective Study: Current Problems in Radiotherapy for Nasopharyngeal Carcinoma in Yogyakarta, Indonesia
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PloS one
| 2,014
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cc-by
| 5,977
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Abstract The funders had no role in study design, data collection and
analysis, decision to publish, or preparation of the manuscript. Competing Interests: Co-author P. Wildeman is affiliated to ValueCare BV, an auditing company. There are no patents, products in development or marketed
products to declare. This does not alter the authors’ adherence to all the PLOS ONE policies on sharing data and materials. * E-mail: i.tan@nki.nl Sharon D. Stoker1, Maarten A. Wildeman1,2, Renske Fles1, Sagung R. Indrasari3, Camelia Herdini3,
Pieter L. Wildeman4, Judi N. A. van Diessen5, Maesadji Tjokronagoro6, I. Bing Tan1,2,7* Sharon D. Stoker1, Maarten A. Wildeman1,2, Renske Fles1, Sagung R. Indrasari3, Camelia Herdini3,
Pieter L. Wildeman4, Judi N. A. van Diessen5, Maesadji Tjokronagoro6, I. Bing Tan1,2,7* 1 Department of head and neck oncology and Surgery, The Netherlands Cancer Institute, Amsterdam, The Netherlands, 2 Department of otorhinolaryngology, Academic
Medical Centre, Amsterdam, the Netherlands, 3 Department of otorhinolaryngology, Dr Sardjito General Hospital/Faculty of Medicine Universitas Gadjah Mada,
Yogyakarta, Indonesia, 4 ValueCare BV, Utrecht, The Netherlands, 5 Department of radiation and oncology, The Netherlands Cancer Institute, Amsterdam, The
Netherlands, 6 Department of radiotherapy, Dr Sardjito General Hospital/Faculty of Medicine, Universitas Gadjah Mada, Yogyakarta, Indonesia, 7 Department of oral and
maxillofacial surgery, Academic Medical Centre, Amsterdam, the Netherlands Abstract Introduction: Nasopharyngeal carcinoma (NPC) has a high incidence in Indonesia. Previous study in Yogyakarta revealed a
complete response of 29% and a median overall survival of less than 2 years. These poor treatment outcome are influenced
by the long diagnose-to-treatment interval to radiotherapy (DTI) and the extended overall treatment time of radiotherapy
(OTT). This study reveals insight why the OTT and DTI are prolonged. Method: All patients treated with curative intent radiotherapy for NPC between July 2011 until October 2012 were included. During radiotherapy a daily diary was kept, containing information on DTI, missed radiotherapy days, the reason for missing
and length of OTT. Results: Sixty-eight patients were included. The median DTI was 106 days (95% CI: 982170). Fifty-nine patients (87%)
finished the treatment. The median OTT for radiotherapy was 57 days (95% CI: 57–65). The main reason for missing days was
an inoperative radiotherapy machine (36%). Other reasons were patient’s poor condition (21%), public holidays (14%),
adjustment of the radiation field (7%), power blackout (3%), inoperative treatment planning system (2%) and patient related
reasons (9%). Patient’s insurance type was correlated to DTI in disadvantage for poor people. Conclusion: Yogyakarta has a lack of sufficient radiotherapy units which causes a delay of 3–4 months, besides the OTT is
extended by 10–12 days. This influences treatment outcome to a great extend. The best solution would be creating
sufficient radiotherapy units and better management in health care for poor patients. The growing economy in Indonesia
will expectantly in time enable these solutions, but in the meantime solutions are needed. Solutions can consist of radiation
outside office hours, better maintenance of the facilities and more effort from patient, doctor and nurse to finish treatment
in time. These results are valuable when improving cancer care in low and middle income countries. Received June 21, 2013; Accepted November 29, 2013; Published January 23, 2014 opyright: 2014 Stoker et al. This is an open-access article distributed under the terms of the Creative Commons Attribution L
restricted use, distribution, and reproduction in any medium, provided the original author and source are credited. ker et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits
tion, and reproduction in any medium, provided the original author and source are credited. Funding: This work was supported by the Dutch Cancer Foundation, project number 2008-4233. PLOS ONE | www.plosone.org Citation: Stoker SD, Wildeman MA, Fles R, Indrasari SR, Herdini C, et al. (2014) A Prospective
Carcinoma in Yogyakarta, Indonesia. PLoS ONE 9(1): e85959. doi:10.1371/journal.pone.0085959 Citation: Stoker SD, Wildeman MA, Fles R, Indrasari SR, Herdini C, et al. (2014) A Prospective Study: Current Problems in Radiotherapy for Nasopharyngeal
Carcinoma in Yogyakarta, Indonesia. PLoS ONE 9(1): e85959. doi:10.1371/journal.pone.0085959 Statistical Analysis The major statistical endpoint of this study was the total number
of radiotherapy days wherein all fractions of radiotherapy were
administered. An assessment was made on the number of missed
days and why this delay occurred. A comparison was made
between patient and hospital related factors. Data Collection Two important problems encountered in the studies in
Yogyakarta were a diagnosis-to-treatment-interval of approxi-
mately 4 months and an overall radiotherapy treatment time of 62
days, which is 15–17 days too long. Optimally, a total dose of 66 to
70 Gray should be given in 33 to 35 fractions in a maximum 45 to
47 days. For each day by which radiotherapy treatment is
extended, effective dose is lost, and the success rate declines rapidly
[9–11]. The diagnosis-to-treatment interval (DTI) was calculated from
the date a positive biopsy was obtained to the date radiotherapy
was initiated. The overall treatment time (OTT) was calculated
from time of radiotherapy initiation to the last day the patients
received radiotherapy. During radiotherapy treatment, a nurse
monitored daily the treatment of each patient and collected these
data in a record form. This contained information on age,
insurance type, the start date of radiotherapy and information on
which days the patient did or did not get radiated. If the patient
missed a treatment day, the reason for the missing day was
recorded. As greater insight into the current problems in Indonesia’s
cancer-care system might support the search for solutions, this
study aims to explore reasons for the extended overall radiother-
apy treatment time (OTT). Also the actual length of the OTT and
the diagnose-to-treatment interval (DTI) are evaluated and factors
that influenced these will be identified. In particularly, the
association with type of insurance was investigated, since there is
a wide variation in patient’s financial resources and these might
have a great impact on DTI and OTT. Methods Secondary endpoint of this study was the length of the DTI. Both DTI and OTT were evaluated for correlation to insurance
type. The insurance system in Indonesia is complex and differs per
district. In general Yogyakarta has three types of insurances;
jamkesmas (insurance for poor people), askes (insurance for civil
servants) and patients with self-finance health care. Jamkesmas is a
tax-funded health insurance, providing free health services in
community health centres (puskesmas) and 3rd class (basic level)
wards in government hospitals and some designated private
hospitals. Expenses of health care will be paid if the head of the
area confirms that the patient and the family have no resources
and when the responsible doctor clarifies the need for health care. These approvals are time consuming and can cause a delay in
diagnosis and treatment. Askes insurance is for civil servants, they
contribute two per cent of their salaries and the government
matches the contribution and covers almost all the diagnostic
procedures and treatments [12]. Almost half of the Indonesian
health care expenses are private health expenditures. This includes
out of the pocket payment, private social insurance and other
private insurance [13]. In this study we refer to these patients with
the term ‘self-finance’. Table 1. Patient and tumor characteristics. Table 1. Patient and tumor characteristics. To test for differences in distribution between the three
insurance types the Kruskal Wallis test was used. When a
difference was found the Mann-Whitney U was used to identify
which group differed. For statistic analysis SPSS version 20 was
used and a p-value of less than p = 0.05 was defined as significant. Introduction minority reported about the actual problems [3–5]. Before cancer
care in these countries can be improved, research should focus on
the current limitations in these health-care systems. Cancer is the leading cause of death worldwide. About 70% of
all cancer deaths occur in middle and low-income countries [1]. Although this burden increases every year, health-care systems in
these countries are even at present not prepared for the high
number of patients. In high-income countries survival rates are
increasing due to improving treatment facilities and protocols,
while low-income countries lack facilities and medication. Besides,
funding for research on how to cope with these limitations is
missing. The gap in treatment results between high-income and
low-income countries is therefore widening [2]. Indonesia is a low to middle-income country in which
nasopharyngeal cancer (NPC) is one of the commonest types of
cancer. Although NPC is highly sensitive to radiotherapy and
chemo-radiotherapy, a previous study in Yogyakarta, Indonesia
showed that the complete treatment response was less than 29%
directly after therapy, compared to a 3-year-disease-free survival of
70% in international studies. Furthermore, the median overall
survival in Yogyakarta was less than 2 years (21 months),
compared to a 3-year overall survival of 80% in international
literature [6–8]. While many politicians and scientists have emphasized the need
to improve cancer care in low and middle-income countries, only a January 2014 | Volume 9 | Issue 1 | e85959 1 PLOS ONE | www.plosone.org January 2014 | Volume 9 | Issue 1 | e85959 Patient Population p
An official letter with confirmation of exemption of review was
obtained from the medical ethical board of Dr. Sardjito Hospital,
Universitas Gadjah Mada, Yogyakarta. All patients treated with
curative intent radiotherapy for NPC in the period from July 2011
until October 2012 in Dr. Sardjito Hospital were included in this
study. Sixty-eight patients were analyzed for inclusion. One
patient never started radiotherapy and was excluded from all
analysis. A total of 67 patients met the inclusion criteria. Information on patient characteristics was obtained by the medical
chart. All data was analyzed anonymously. In table 1, patient
characteristics and stage of disease are shown. Staging was
performed by CT-scan of the head and neck, ultrasound of the
abdomen, x-ray of the thorax and a bone scan. The median age
was 47 years. Stage at diagnosis was available for 60 patients,
advanced stage was predominantly seen. All patients were treated
with 2D and/or 3D external beam radiotherapy in fractions of 2
Gray to a total dose 60–72 Gray. Table 1. Patient and tumor characteristics. Category
Subcategory
N = 67
Sex
Male
47
70%
Female
20
30%
Median age
47
IQR 40-60
Insurance type
Jamkesmas
insurance (poor)
15
22%
Askes insurance
(civil servants)
14
21%
Self finance
38
57%
AJCC-stage
I
1
1%
IIa
1
1%
IIb
4
6%
II
22
33%
IVa
11
16%
IVb
21
31%
Missing
7
10%
IQR = inter quartile range. doi:10.1371/journal.pone.0085959.t001 Overall Treatment Time This is the first study showing that the DTI and the OTT for
radiotherapy in Indonesia are extended compared to international
standards. This can be an explanation for the poor treatment
outcome of NPC in Yogyakarta. At present, the answer to locally
advanced NPC, which is one of the most common cancers in
Indonesia, is concurrent chemo-radiation. Chemotherapy can be
administered in most well equipped hospitals within Indonesia,
whereas radiotherapy for most patients is limited. In several
centres radiotherapy can be administered according to interna-
tional standards, but the scarcity makes this only available for a
very limited number of patients. In 2008 there were 25 units
(accelerator and cobalt) available in Indonesia with a population of
229 million, whereas 6 were under commission, resulting in 0.13
units per million inhabitants [14]. This is in stark contrast with
Europe, where in high-resource countries 5.5 accelerators are
available per million inhabitants, 3.5 in medium-resource coun-
tries, and 2 per million in low resource countries [15]. The
recommended number of treatment units per population differs
widely; European guidelines recommend on average 5.9 units per
million inhabitants [16,17]. For 59 patients the OTT was analysed. The median OTT was
57 days. In total 584 days were missed, with a mean of 10 days per
patient. A difference in median and mean OTT was seen between
the different types of insurance, in favour of the patients with self
finance (table 4, and figure 2). Kruskal Wallis test showed no
significant difference (p = 0.28). One patient with jamkesmas
insurance (*37 in figure 2) had an OTT of 144 days due to a poor
physical condition. Excluding his patient did not change the
significance of OTT versus insurance type. Table 5 presents the reasons for the missed days of treatment
per category. An inoperative radiotherapy machine was the most
frequent seen reason for missing treatment days. On 31 days the
treatment planning system (TPS) was inoperative or there was a
power black out. Forty-three patients (73%) missed one or more
days because of problems with the facilities; an inoperative
radiotherapy machine, TPS or a power black out. The poor physical condition of the patient was the next most
frequent reason for treatment extension, 23 patients (39%) were
delayed because of their clinical condition. In all these cases the
poor condition was related to therapy or treatment. Diagnosis-to-treatment Interval The precise date of biopsy proven diagnosis of NPC could not
be retrieved in 3 patients. These patients were excluded for
calculation of DTI. The median DTI was 106 days (IQR 53-66). Table 2 presents the median DTI and the start day of the
radiotherapy treatment. Table 3 presents the day on which the
radiotherapy was initiated. A difference in median and mean DTI was seen between the
different types of insurance (table 2, figure 1). Kruskal Wallis test
showed a significant difference between the three types of
insurance (p = 0.003). Mann-Whitney U test showed that patient’s
with jamkesmas insurance had a significant longer DTI than
patients who had askes insurance (p = 0.016) and who financed
their health care themselves (p = 0.001). Although a difference of
68 days between askes and self finance was seen, no significant
difference was found (p = 0.325). One patient with private
insurance had an interval to radiotherapy of 922 days (*62 in
figure 1). She went first for alternative treatment with herbal
medicine. Excluding this patient will make the differences between
the insurance types stronger, although for askes versus self finance
still no significance was achieved (p = 0.243). When 2-dimension radiotherapy is given the radiation field has
to be adjusted after 40 Gray to protect the spinal cord, 26 patients
(44%) missed one or more days because of these adjustments. Patient related causes for a prolonged treatment were seen in
10,5%. Reasons were an extra day off after calendar holidays
(n = 7, 17 days), to take care of their family (n = 2, 3 days), because
of lack of financial resources to pay for the treatment or transport
to the hospital (n = 4, 29 days) and 1 patient had a motor accident
(n = 1, 6 days). Other reasons were miscommunications about the
moment when facilities were in progress again (n = 2, 2 days), a
shift from 2 dimensional radiation to 3 dimensional radiation
(n = 1, 1 day) or problems with the chemotherapy (n = 2, 7 days). Patients Sixty-eight patients were evaluated for inclusion in this study. One patient was excluded because she never started radiotherapy
because of a poor physical condition, accordingly 67 patients were
included. The median age was 47 years (range 9–81, inter quartile
range (IQR) 40–60). Type of insurance was distributed as followed; 38 patients (57%)
financed their health care themselves, 15 patients (22%) had
jamkesmas insurance and 14 patients (21%) had askes insurance. Type of insurance was distributed as followed; 38 patients (57%)
financed their health care themselves, 15 patients (22%) had
jamkesmas insurance and 14 patients (21%) had askes insurance. Fifty-nine
patients
finished
radiotherapy
treatment. Eight
patients did not finish treatment; of them 4 patients refused
further treatment due to anxiety for side effects, 1 patient went to
another hospital, 1 patient died after 12 fractions of radiotherapy
and 2 patients never returned to the hospital for unknown reason. Fifty-nine
patients
finished
radiotherapy
treatment. Eight
patients did not finish treatment; of them 4 patients refused
further treatment due to anxiety for side effects, 1 patient went to
another hospital, 1 patient died after 12 fractions of radiotherapy
and 2 patients never returned to the hospital for unknown reason. One patient received 18 Gray from March to April 2011, but
then stopped for unknown reasons and started treatment again in PLOS ONE | www.plosone.org 2 January 2014 | Volume 9 | Issue 1 | e85959 Radiotherapy Problems for Nasopharyngeal Carcinoma Table 3. Day of initiation of the radiotherapy treatment. Start day (n = 67)
Number of patients (percentage)
Monday
26 (39%)
Tuesday
13 (19%)
Wednesday
15 (22%)
Thursday
12 (18%)
Friday
1 (2%)
doi:10.1371/journal.pone.0085959.t003 Table 3. Day of initiation of the radiotherapy treatment. September 2011 and received another 70 Gray. In this case, for
calculation of DTI the start date of the first treatment was used. For OTT and analysis of the missed days the second course was
used. January 2014 | Volume 9 | Issue 1 | e85959 Overall Treatment Time The third
most frequent reason was calendar holidays, 39 patients (66%)
were delayed for this matter. The vast lack of equipment, inadequate treatment procedures
and preferential treatments for patients with self finance insurance
results in excessive waiting lists. The very wealthy patients choose
to receive their treatment in hospitals abroad, resulting in an
outflow of substantial health care dollars to adjacent countries such
as Malaysia, Singapore, and Australia [18]. Due to this loss in
health care dollars, the less fortunate individuals cannot receive
this quality of treatment. Currently, the Indonesian government
offers a reimbursement for lower incomes, placing even more
pressure on waiting lists [12]. Table 2. Diagnosis-to-treatment interval. DTI in days
Median in days
Mean in days
Total (n = 64)
106 (IQR 38–176)
134 (95% CI: 982170)
Jamkesmas insurance (poor)
192 (IQR 125–279)
214 (95% CI: 1432284)
Askes insurance (civil servants) 122 (IQR 51–143)
107 (95% CI: 722143)
Self finance
54 (IQR 24–136)
111 (95% CI: 552167)
DTI = diagnosis-to-treatment interval. doi:10.1371/journal.pone.0085959.t002 Table 2. Diagnosis-to-treatment interval. DTI in days
Median in days
Mean in days
Total (n = 64)
106 (IQR 38–176)
134 (95% CI: 982170)
Jamkesmas insurance (poor)
192 (IQR 125–279)
214 (95% CI: 1432284)
Askes insurance (civil servants) 122 (IQR 51–143)
107 (95% CI: 722143)
Self finance
54 (IQR 24–136)
111 (95% CI: 552167)
DTI = diagnosis-to-treatment interval. doi:10.1371/journal.pone.0085959.t002 Table 2. Diagnosis-to-treatment interval. In this study the median DTI was 3 to 6 months (95% CI for all
patients). This is too long when comparing to international
standards, with quality indicators of DTI of maximum 1 month
[19]. Chen at al. showed in a systematic review that a delay in
starting radiotherapy for head and neck cancer was significantly
associated with higher recurrence rates and lower survival. They January 2014 | Volume 9 | Issue 1 | e85959 PLOS ONE | www.plosone.org 3 Radiotherapy Problems for Nasopharyngeal Carcinoma Figure 1. Distribution of diagnose-to-treatment interval and insurance type. doi:10.1371/journal.pone.0085959.g001
Figure 2. Distribution of overall treatment time and insurance type. The dark line in the middle of the b
top of the boxes indicate the 25th and the 75th percentile. The T-bars are the inner fences of all subjects and ex
inter quartile range. * are outliers until 3 times the inter quartile range. 0 are outliers exceeding 3 times the qu
doi:10.1371/journal.pone.0085959.g002
py Figure 1. Distribution of diagnose-to-treatment interval and insurance type. doi:10.1371/journal.pone.0085959.g001 Figure 1. Radiotherapy Problems for Nasopharyngeal Carcinoma With the intervals presented in
our study and the high number of patients with already advanced
disease at diagnosis, the risk on recurrence and poor survival is
expectantly even higher, since the higher possibility of disease
progression to an even more advanced stage [21,22]. In a sequel
study we would like to reveal the disease progression during the
waiting time, since we expect that a number of patients might have
progression to a incurable stage. found an absolute increase in the risk of local recurrence of 3,7%
per month delay [20]. The median intervals presented in those
studies were all less than 2 months. With the intervals presented in
our study and the high number of patients with already advanced
disease at diagnosis, the risk on recurrence and poor survival is
expectantly even higher, since the higher possibility of disease
progression to an even more advanced stage [21,22]. In a sequel
study we would like to reveal the disease progression during the
waiting time, since we expect that a number of patients might have
progression to a incurable stage. The next most frequent reason for an extended OTT was the
patient’s physical condition due to the disease and side effects of
the treatment. A next study has to investigate the actual physical
problems, to find interventions to keep the patients fitter during
treatment. By our experience we know that the nutritional status of
some patients is poor and might worsen due to low intake by
swallowing problems due to side effects of the treatment. To
decrease the number of missed days due to patient’s condition,
protocols to be more aggressive with earlier start of tube feeding
and/or anti-fungal treatment of oral mucositis might give
improvement. The length of DTI was associated with type of insurance. Poor
patients with jamkesmas insurance had significantly longer delay
to treatment, varying between 5 to 9 months (95% CI). This might
be caused by the management of healthcare within jamkesmas
insurance. After the positive biopsy for NPC, staging has to be
performed by CT-scan of the head and neck region, ultra sound of
the abdomen, bone scan and x-ray of the thorax. With jamkesmas
insurance the government and treating doctor have to give
approval for every diagnostic investigation and treatment. A
solution to overcome this problem could be a diagnostic package
deal, including all needed studies when biopsy is proven positive
for NPC. Overall Treatment Time Distribution of diagnose-to-treatment interval and insurance type. doi:10.1371/journal.pone.0085959.g001 Figure 2. Distribution of overall treatment time and insurance type. The dark line in the middle of the boxes is the median. The bottom and
top of the boxes indicate the 25th and the 75th percentile. The T-bars are the inner fences of all subjects and extend to a maximum of 1.5 times the
inter quartile range. * are outliers until 3 times the inter quartile range. 0 are outliers exceeding 3 times the quartile range. doi:10.1371/journal.pone.0085959.g002 Figure 2. Distribution of overall treatment time and insurance type. The dark line in the middle of the boxes is the median. The bottom and
top of the boxes indicate the 25th and the 75th percentile. The T-bars are the inner fences of all subjects and extend to a maximum of 1.5 times the
inter quartile range. * are outliers until 3 times the inter quartile range. 0 are outliers exceeding 3 times the quartile range. doi:10.1371/journal.pone.0085959.g002 January 2014 | Volume 9 | Issue 1 | e85959 PLOS ONE | www.plosone.org 4 Radiotherapy Problems for Nasopharyngeal Carcinoma Radiotherapy Problems for Nasopharyngeal Carcinoma Table 4. Overall treatment time and missed days. start within 2 weeks. Adaptations in the management for the poor
will be beneficial in reducing the delay to complete diagnosis, but
the absence of sufficient radiation units will still be a problem. OTT in days (n = 59)
Median in days
Mean in days
Total
57 (IQR 53266)
61 (95% CI: 57–65)
Jamkesmas insurance (poor)
59 (IQR 57266)
68 (95% CI: 53–83)
Askes insurance
(civil servants)
58 (IQR 51266)
58 (95% CI: 52–64)
Self finance
56 (IQR 52264)
59 (95% CI: 55–63)
Number of missed days
per patient
8 (IQR 4213)
10 (95% CI: 8–12)
Dose (in Gray)
66 (range 60–72)
67 (95% CI: 66-68)
OTT = overall treatment time, IQR = inter quartile range, CI = confidence
interval. doi:10.1371/journal.pone.0085959.t004 The OTT was 57 days, 10–12 days longer than recommended. Optimally, a total dose of 66 to 70 Gray should be given in 33 to
35 fractions and the best therapy response is achieved when the
total dose is administered in 45 to 47 days. Each day of
prolongation of the radiotherapy has a detrimental effect by a
loss of the effective dose. During prolonged intervals tumour cells
repopulate and will therefore influence the treatment success to a
great extent [9,10,23]. Platek et al. presented in patients treated
with radiation for head and neck cancer, an 8-fold increase on
loco-regional progression if treatment time was prolonged to .57
days gave. Their results are in accordance to literature were the
detrimental effect of treatment interruption on survival and local
control vary between 1–5% per day [23]. The main reasons for the prolonged OTT were the radiother-
apy facilities being intermittently operational (48% of the days
were missed due to inoperative radiotherapy machines or
treatment planning system, power black out and readjustment of
radiation field). The hospital is already aware of the intermittently
operating radiotherapy facility and got a maintenance contract for
the radiation unit 4 months before start of this study. This contract
is still going on. We see some improvement when comparing to
earlier data of an OTT of 62 days, although better maintenance is
still needed [6]. found an absolute increase in the risk of local recurrence of 3,7%
per month delay [20]. The median intervals presented in those
studies were all less than 2 months. Radiotherapy Problems for Nasopharyngeal Carcinoma Patient-related delay accounted for only a small fraction of the
delay, although still 22% of the patients missed days due to this
reason (in total 55 days for 13 patients). Remarkable is that the
OTT of 57 days is 5 days shorter than in the previous study
conducted
in Yogyakarta. This can be
the result
of the
maintenance contract for the radiotherapy facilities as noted
before or of a reduction in patient related delay, due to the
committed attention of the monitoring nurse, who phoned the
patient when they did not show up for treatment. With more
awareness of the patients on the importance of a short OTT, the
number of patient-related missed treatment days can be reduced
further. repeated after the long waiting time, just before start of
radiotherapy, since patients with distant metastasis are beyond
cure and will be better served with adequate palliation. By only
treating patients with a fair chance for cure the waist of limited
resources can be prevented and shorten the waiting time. The best way to address the current concerns in Indonesia
should be to create sufficient radiotherapy facilities with well-
trained staff, and raise awareness on the effect of an extended DTI
and OTT. The growing economy in Indonesia will expectantly in
time, enable these solutions, although it will take at least a decade
to accomplish this, since also bunkers has to be build and doctors,
nurses and technical staff have to be trained. In the meantime
small-scale and easy to implement solutions are needed. Possible
solutions could be more radiation hours per treatment unit outside
office hours, in weekends and on holidays, better maintenance of
the treatment units and planning system, including a power back
up system and more awareness and dedication of the doctor,
patient and nurse to complete the treatment in 47 days. We think
that the problems found in this study are not specific for the
treatment of nasopharyngeal cancer in Yogyakarta, Indonesia
only. Also when treating other types of cancer which need
radiation treatment or in other regions with comparable health
systems, the same problems might be encountered. Therefore,
these results can be helpful when facing the challenges in
improving the treatment of cancer in other low- and middle
income countries. Differences between the types of insurance were found for
OTT, although not significant (56, 58, 59 days, respectively self
finance, askes and jamkesmas). References 11. Kwong DL, Sham JS, Chua DT, Choy DT, Au GK, et al. (1997) The effect of
interruptions and prolonged treatment time in radiotherapy for nasopharyngeal
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adjusted life-years in 12 world regions. Lancet 380: 1840–1850. 12. Satriana S, Schmitt V (2012) Social protection assessment based national
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2010. Lancet Oncol 12: 387–398. g
14. Gondhowiardjo S, Prajogi G, Sekarutami S (2008) History a 14. Gondhowiardjo S, Prajogi G, Sekarutami S (2008) History and growth of
radiation oncology in Indonesia. Biomed Imaging Interv J 4: e42. 5. Farmer P, Frenk J, Knaul FM, Shulman LN, Alleyne G, et al. (2010) Expansion
of cancer care and control in countries of low and middle income: a call to
action. Lancet 376: 1186–1193. 15. Slotman BJ, Cottier B, Bentzen SM, Heeren G, Lievens Y, et al. (2005)
Overview of national guidelines for infrastructure and staffing of radiotherapy. ESTRO-QUARTS: work package 1. Radiother Oncol 75: 349–354. 6. Wildeman MA, Fles R, Herdini C, Indrasari SR, Vincent AD, et al. (2013)
Primary treatment results of Nasopharyngeal Carcinoma (NPC) in Yogyakarta,
Indonesia. PLoS One ‘‘in press’’. 16. Bentzen SM, Heeren G, Cottier B, Slotman B, Glimelius B, et al. (2005)
Towards evidence-based guidelines for radiotherapy infrastructure and staffing
needs in Europe: the ESTRO QUARTS project. Radiother Oncol 75: 355–365. 7. Author Contributions Conceived and designed the experiments: SS MW MT IBT. Performed the
experiments: SS SI CH. Analyzed the data: SS MW RF PW JvD IBT. Contributed reagents/materials/analysis tools: SS. Wrote the paper: SS
MW PW JvD IBT. Gave their critical vision on the text manuscript: RF SI
CH MT. Conceived and designed the experiments: SS MW MT IBT. Performed the
experiments: SS SI CH. Analyzed the data: SS MW RF PW JvD IBT. Contributed reagents/materials/analysis tools: SS. Wrote the paper: SS
MW PW JvD IBT. Gave their critical vision on the text manuscript: RF SI
CH MT. Radiotherapy Problems for Nasopharyngeal Carcinoma This implies that all patients suffer
in the same amount from the factors contributing to an extended
OTT. There might be a significant difference when the study
population is larger, since there is a trend in benefit for the self
finance group. The reason for this benefit could be that these
wealthier patients might have more counselling during treatment,
accordingly physical deterioration will be noticed earlier and they
have sufficient resources for supplemental nutrition and blood
transfusions. Patient related reasons, like no money for transport
will also be less among the richer patients. With
radiotherapy
remaining
the
cornerstone
of
cancer
treatment today, the results found here confirm that patient with
NPC cannot be treated effectively. Probably, this also holds for the
majority of other cancer patients, because most types of cancers
need radiotherapy [24]. At the moment of initiation of radiother-
apy the stage of disease might already be incurable. Full dose
radiotherapy schedules for these patients have to be prevented. Future projects have to analyse if the current diagnostic system
needs adjustments. Screening for distant metastasis should be Radiotherapy Problems for Nasopharyngeal Carcinoma This will shorten the DTI cause patients can be put on
the waiting list for radiation earlier. Other causes for the delay in OTT were poor efficiency
regarding calendar holidays. There were no schedule adaptations,
like radiation in weekends or two times daily, to compensate for
these days. Besides, half of the patients started on a Wednesday or
later in the week. When 30-33 radiation days are needed, it is
better to start on Monday or Tuesday, since the OTT will extend
with two extra days by including an extra weekend in the schedule. Another reason for the difference between the insurance types is
that more resourced patients get a priority treatment. There is a
different waiting list for radiotherapy for every type of insurance. Patients who can pay the treatment out of the pocket can even Table 5. Reasons for missed treatment days. Table 5. Reasons for missed treatment days. Reason for missed days (n = 59)
Number of missed
days
Percentage of total
missed days
Number of
patients
Percentage number
of patients
Radiation system was inoperative
212
36.3%
40
67.8%
TPS was inoperative
11
1.9%
9
15.3%
Black out
20
3.4%
14
23.7%
Patient’s poor physical conditions
125
21.4%
23
39.0%
Calendar holiday
83
14.2%
39
66.1%
Adjustment of radiation field
40
6.8%
26
44.1%
Patient related
55
9.4%
13
22.0%
Other
10
1.7%
4
6.8%
Unknown
28
4.8%
3
5.1%
TPS = treatment planning system. doi:10.1371/journal.pone.0085959.t005
PLOS ONE | www.plosone.org
5
January 2014 | Volume 9 | Issue 1 | e85959 January 2014 | Volume 9 | Issue 1 | e85959 Radiotherapy Problems for Nasopharyngeal Carcinoma 23. Marks LB, Dewhirst M (1991) Accelerated repopulation: friend or foe?
Exploiting changes in tumor growth characteristics to improve the ‘‘efficiency’’
of radiotherapy. Int J Radiat Oncol Biol Phys 21: 1377–1383. 24. Barton MB, Frommer M, Shafiq J (2006) Role of radiotherapy in cancer control
in low-income and middle-income countries. Lancet Oncol 7: 584–595. References Al Sarraf M, LeBlanc M, Giri PG, Fu KK, Cooper J, et al. (1998)
Chemoradiotherapy versus radiotherapy in patients with advanced nasopha-
ryngeal cancer: phase III randomized Intergroup study 0099. J Clin Oncol 16:
1310–1317. 17. Rosenblatt E, Izewska J, Anacak Y, Pynda Y, Scalliet P, et al. (2013)
Radiotherapy capacity in European countries: an analysis of the Directory of
Radiotherapy Centres (DIRAC) database. Lancet Oncol 14: e79–e86. 8. Wee J, Tan EH, Tai BC, Wong HB, Leong SS, et al. (2005) Randomized trial of
radiotherapy versus concurrent chemoradiotherapy followed by adjuvant
chemotherapy in patients with American Joint Committee on Cancer/
International Union against cancer stage III and IV nasopharyngeal cancer of
the endemic variety. J Clin Oncol 23: 6730–6738. 18. Jakarta Globe (2012) SBY Tells Indonesians To Stop Seeking Medical
Treatment Abroad. Available at: http://www.thejakartaglobe.com/health/
sby-tells-indonesians-to-stop-seeking-medical-treatment-abroad/534677. Ac-
cessed April 2013. 19. Waaijer A, Terhaard CH, Dehnad H, Hordijk GJ, van Leeuwen MS, et al. (2003) Waiting times for radiotherapy: consequences of volume increase for the
TCP in oropharyngeal carcinoma. Radiother Oncol 66: 271–276. 9. Akimoto T, Mitsuhashi N, Hayakawa K, Sakurai H, Murata O, et al. (1997)
Split-course accelerated hyperfractionation radiotherapy for advanced head and
neck cancer: influence of split time and overall treatment time on local control. Jpn J Clin Oncol 27: 240–243. 20. Chen Z, King W, Pearcey R, Kerba M, Mackillop WJ (2008) The relationship
between waiting time for radiotherapy and clinical outcomes: a systematic
review of the literature. Radiother Oncol 87: 3–16. 10. Platek ME, McCloskey SA, Cruz M, Burke MS, Reid ME, et al. (2012)
Quantification of the effect of treatment duration on local-regional failure after
definitive concurrent chemotherapy and intensity-modulated radiation therapy
for squamous cell carcinoma of the head and neck. Head Neck;35(5): 684–8. 21. Ho AC, Lee VH, To VS, Kwong DL, Wei WI (2011) Natural course and tumor
doubling time of nasopharyngeal carcinoma. A study of 15 patients. Oral Oncol
47: 742–746. 22. Wei WI, Sham JS (2005) Nasopharyngeal carcinoma. Lancet 365: 2041–2054. 22. Wei WI, Sham JS (2005) Nasopharyngeal carcinoma. Lancet 365: 2041–2054. PLOS ONE | www.plosone.org January 2014 | Volume 9 | Issue 1 | e85959 6 January 2014 | Volume 9 | Issue 1 | e85959 Radiotherapy Problems for Nasopharyngeal Carcinoma PLOS ONE | www.plosone.org January 2014 | Volume 9 | Issue 1 | e85959 PLOS ONE | www.plosone.org 7 7
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https://openalex.org/W2088103275
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https://journals.plos.org/plosone/article/file?id=10.1371/journal.pone.0031583&type=printable
|
English
| null |
LKB1 Destabilizes Microtubules in Myoblasts and Contributes to Myoblast Differentiation
|
PloS one
| 2,012
|
cc-by
| 9,665
|
Abstract Background: Skeletal muscle myoblast differentiation and fusion into multinucleate myotubes is associated with dramatic
cytoskeletal changes. We find that microtubules in differentiated myotubes are highly stabilized, but premature
microtubule stabilization blocks differentiation. Factors responsible for microtubule destabilization in myoblasts have not
been identified. Findings: We find that a transient decrease in microtubule stabilization early during myoblast differentiation precedes the
ultimate microtubule stabilization seen in differentiated myotubes. We report a role for the serine-threonine kinase LKB1 in
both microtubule destabilization and myoblast differentiation. LKB1 overexpression reduced microtubule elongation in a
Nocodazole washout assay, and LKB1 RNAi increased it, showing LKB1 destabilizes microtubule assembly in myoblasts. LKB1
levels and activity increased during myoblast differentiation, along with activation of the known LKB1 substrates AMP-
activated protein kinase (AMPK) and microtubule affinity regulating kinases (MARKs). LKB1 overexpression accelerated
differentiation, whereas RNAi impaired it. Conclusions: Reduced microtubule stability precedes myoblast differentiation and the associated ultimate microtubule
stabilization seen in myotubes. LKB1 plays a positive role in microtubule destabilization in myoblasts and in myoblast
differentiation. This work suggests a model by which LKB1-induced microtubule destabilization facilitates the cytoskeletal
changes required for differentiation. Transient destabilization of microtubules might be a useful strategy for enhancing and/
or synchronizing myoblast differentiation. Editor: Cara Gottardi, Northwestern University Feinberg School of Medicine, United States of America itor: Cara Gottardi, Northwestern University Feinberg School of Medicine, United States of America Received August 8, 2011; Accepted January 9, 2012; Published February 14, 2012 Copyright: 2012 Mian et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Funding: This work was funded from startup funds from the University of Connecticut Health Center. The funder had no role in study design, data collection and
analysis, decision to publish, or preparation of the manuscript. Funding: This work was funded from startup funds from the University of Connecticut Health Center. The fund
analysis, decision to publish, or preparation of the manuscript. Competing Interests: The authors have declared that no competing interests exist. * E-mail: tirnauer@uchc.edu Competing Interests: The authors have declared that no competing interests exist. * E-mail: tirnauer@uchc.edu . These authors contributed equally to this work. . These authors contributed equally to this work. Isma Mian1., Willythssa Ste´phie Pierre-Louis1., Neha Dole1, Rene´e M. Gilberti1, Kimberly Dodge-Kafka2,
Jennifer S Tirnauer1* 1 Center for Molecular Medicine and University of Connecticut Health Center, Farmington, Connecticut, United States of America, 2 Calhoun Center for Cardiology,
University of Connecticut Health Center, Farmington, Connecticut, United States of America PLoS ONE | www.plosone.org February 2012 | Volume 7 | Issue 2 | e31583 Microtubule stabilization prevents myoblast
differentiation Differentiated myotubes show dramatically stabilized microtu-
bules. If simple microtubule stabilization were responsible for the
cell shape changes that precede cell fusion, microtubule stabilizing
drugs might be expected to accelerate the process. We tested this
by differentiating C2C12 cells in the absence and presence of the
microtubule stabilizing drug Taxol. Cells were grown in standard
growth media until they reached near-confluence, followed by
replacement with media containing 2% horse serum (differentia-
tion media). The differentiation media was supplemented with the
dilution vehicle alone or 100 nM Taxol, a potent microtubule-
stabilizing drug. In control undifferentiated myoblasts, single
microtubules were organized in a radial array (Figure 1A). In
control differentiated myotubes, microtubules were arranged in an
array of dense, linear bundles consistent with massive stabilization,
and they expressed the differentiation marker muscle myosin
heavy
chain
(Figure
1B). The
addition
of
Taxol
during
differentiation also created a dense microtubule array, but it
prevented cell elongation and fusion and caused reduced myosin
expression (Figure 1C). Thus, rather than promoting myoblast
differentiation, hyperstabilization of microtubules with Taxol
completely prevented it. Dramatic muscle phenotypes have not been reported in human
PJS patients or in mouse models of germline LKB1 deletion. Together with the finding that LKB1 gene knockout in skeletal
muscle did not produce an obvious phenotype in young animals
[24], this data gave the impression that LKB1 did not play a major
role in muscle development. Subsequent genetic data, however,
has shown important roles for LKB1 in muscle. This includes the
finding
that
both
skeletal
and
cardiac
muscle
phenotypes
developed in older LKB1 knockout mice, with decreased voluntary
running, type II muscle fiber atrophy, and loss of hind limb muscle
function [25]. LKB1 was also shown to affect the differentiation of
mouse embryonic fibroblasts (MEFs) into myofibroblasts, contrac-
tile cells that express smooth muscle actin and show acto-myosin
contractility [26,27]. Finally, activation of the LKB1 downstream
kinase AMPK was impaired in LKB1 skeletal muscle knockouts
[24], and running ability was reduced due to diminished muscle
function [28]. These data suggest that LKB1 has a role in muscle
function and might contribute to muscle development and/or
homeostasis. We next tested whether a shorter period of exposure to
microtubule-altering drugs affected myoblast differentiation. We
cultured C2C12 cells in differentiation media containing vehicle,
200 nM Taxol, or 200 nM Nocodozole. After two days of this
incubation, culture was continued in differentiation media lacking
drugs. Microtubule stabilization prevents myoblast
differentiation We found that treatment with both Nocodazole and Taxol
prevented cell elongation and fusion, consistent with an important
role for microtubules in these processes (Figure S1). Within six
hours after drug washout, cells treated with Taxol remained
rounded, but cells treated with Nocodazole showed dramatic
elongation, similar to controls. By 24 hours, cells treated with
Nocodazole differentiated as well as controls, as assessed by
morphology in phase contrast images (data not shown). This
experiment showed that exposure to Nocodazole followed by drug
washout was more conducive to differentiation than was exposure
to Taxol followed by drug washout, and could potentially be used
to synchronize cells prior to fusion. It also suggested the possibility
that microtubule destabilization could contribute to myoblast
differentiation. Mechanisms by which LKB1 could control muscle differenti-
ation include promoting changes in cell polarity or microtubule
stability [29,30,31,32,33,34,35]. LKB1 is proposed to be at or near
the top of a network for polarity establishment in some systems
including epithelial and neuronal cells [36]. LKB1 has been
reported
to
reduce
the
stability
of
microtubules,
because
introduction of LKB1 into LKB1-null mouse embryonic fibro-
blasts (MEFs) was able to suppress microtubule growth in an assay
that measured the elongation of microtubules following washout of
the microtubule destabilizing drug Nocodazole [37]. How or
whether these roles of LKB1 in cell polarity and microtubule
destabilization are linked is not completely clear. In this study, we asked whether microtubule destabilization
plays a role in skeletal myoblast differentiation, and we tested the
role of LKB1 in myoblast microtubule elongation and myoblast
differentiation. We found that forced microtubule stabilization
blocks myoblast differentiation, suggesting that stabilization alone
is insufficient to drive the cytoskeletal changes associated with this
process. We found that myoblast differentiation is associated with
an initial reduction in microtubule stability that precedes the
microtubule reorganization and pronounced stabilization seen in
myotubes. We further found that LKB1 suppresses microtubule
assembly in C2C12 myoblasts, making it a potential candidate to
facilitate this reduction in microtubule stability and/or microtu-
bule reorganization. LKB1 RNAi reduced differentiation in
C2C12 cells, and LKB1 overexpression enhanced it, supporting
a positive role for LKB1 in myoblast differentiation. LKB1 is thus
a candidate to promote myoblast differentiation by reducing Results Liver kinase B1 (LKB1) is a serine-threonine kinase that was
originally identified as the product of the tumor suppressor gene
mutated in the familial Peutz-Jeghers cancer syndrome (PJS) [17]. Patients who inherit a germline mutation in a single allele of the
STK11 gene that encodes LKB1 develop a syndrome of
gastrointestinal polyps; malignant tumors of the gastrointestinal
tract and other tissues; and skin pigmentation [18,19]. Somatic
mutations of LKB1 have been observed in other tumor types
(reviewed in [20,21,22]). Germline deletion of the gene encoding
LKB1 is lethal during embryogenesis, and mouse models of
heterozygous germline LKB1 mutation have been established in
which the animals develop tumors of a similar distribution to
human PJS [23]. Introduction cytoskeleton. Microtubule organization completely changes - from
a radial array of individual microtubules that emanate from a
single central microtubule organizing center (MTOC) in myoblasts
- to a dense longitudinal linear array that originates from a diffuse,
perinuclear microtubule organizing network and/or non-centro-
somal, cytoplasmic sites in myotubes [4,5,6,7,8]. The mechanisms
of this microtubule reorganization and stabilization remain
incompletely understood, but it is clear that they play an important
role in (and are not merely a byproduct of) differentiation, because
both anti-microtubule drugs and loss of microtubule regulatory
proteins greatly impair or prevent differentiation [9,10,11,12,13,
14,15]. Muscle fibers form in the developing embryo through the fusion
of myoblasts into multinucleate myotubes. In adult tissues, muscle
stem cells known as satellite cells line the surface of muscle fibers
and provide a source of myoblasts for muscle homeostasis,
hypertrophy, and repair of injury [1]. In response to differentiation
signals, myoblasts withdraw from the cell cycle, re-organize their
cytoskeleton, and ultimately fuse into multinucleate myotubes
(reviewed in [2]). Upregulation of the transcription factors MEF2
and MyoD occurs early in the process, and this is followed by
expression of myocyte specific proteins such as muscle myosin. This differentiation process has been modeled in vitro using
myoblast cell lines, which differentiate upon switching from
standard growth media containing fetal calf serum to differenti-
ation media, which contains a lower percentage of adult horse
serum, over the course of three to four days [3]. Myotubes
contain
a
population
of
elongated,
stabilized
microtubules with reduced turnover. The microtubule binding
proteins
demonstrated
to
have
positive
roles
in
myoblast
differentiation (MAP4, EB1, EB3) all act to stabilize microtubules
and promote their elongation [10,13,14]. Thus, forced microtu-
bule stabilization might be expected to promote differentiation. However, the converse is true: treatment of myoblasts with the One of the most dramatic changes observed in cultured
myoblasts
during
differentiation
occurs
in
the
microtubule February 2012 | Volume 7 | Issue 2 | e31583 1 February 2012 | Volume 7 | Issue 2 | e31583 LKB1 Role in Myoblasts LKB1 Role in Myoblasts microtubule stabilizing drug Taxol is reported to block differen-
tiation
([16]
and
our
data
presented
here). Thus,
simple
microtubule stabilization is likely to be insufficient to produce this
stable, reorganized microtubule array. microtubule stability early in the differentiation process, analogous
to factors that reduce microtubule stability early in mitosis to
facilitate formation of the mitotic spindle. PLoS ONE | www.plosone.org Differentiating myoblasts show transient microtubule
destabilization To test the possibility that microtubule destabilization contrib-
utes to differentiation, we assayed for changes in microtubule
stability using immunofluorescence. The alpha-subunit of tubulin
in stabilized microtubules undergoes reversible post-translational
removal of its C-terminal tyrosine (detyrosination) to expose
glutamate as the terminal residue [38]. Glu-tubulin specific
antibodies can be used to recognize microtubules containing
detyrosinated tubulin that serve as a marker of microtubule
stabilization. We found that undifferentiated myoblasts showed a
small proportion of glu-tubulin-containing microtubules, as has
been previously reported for L6 myoblasts [8]. Within the first day
of differentiation, the abundance of glu-tubulin became reduced,
and this reduction was then followed by a dramatic increase in PLoS ONE | www.plosone.org February 2012 | Volume 7 | Issue 2 | e31583 February 2012 | Volume 7 | Issue 2 | e31583 2 LKB1 Role in Myoblasts Figure 1. Forced microtubule stabilization prevents differentiation. Differentiation and Taxol treatment both resulted in stable,
longitudinally bundled microtubules, but Taxol-treated cells fail to elongate or fuse. C2C12 cells were allowed to proliferate in growth media or
cultured in differentiation media for 3 days in the presence of vehicle alone or 100 nM Taxol. Cells were fixed and immunofluorescence for myosin
heavy chain (red) and microtubules (green) performed, with imaging at 46(A) or 1006(B) magnification. Undifferentiated cells lacked myosin heavy
chain expression (A) and microtubules were organized in a radial array (B). Differentiated cells treated with vehicle alone became elongated and
multinucleate, expressed abundant myosin heavy chain (A), and microtubules were organized in a longitudinally bundled array (B). Cells treated with
Taxol during differentiation expressed myosin heavy chain (A) and organized microtubules in longitudinal bundles (B), but they failed to elongate or
become multinucleate. C. Taxol treatment stabilizes C2C12 cell microtubules. Cells were treated with vehicle alone or 100 nM Taxol, followed by
microtubule depolymerization with 5 mM Nocodazole for 1 hour. Cells were fixed and immunofluorescence for tubulin (green) performed. Control
cells showed a radial array of single microtubules, whereas cells treated with Taxol showed microtubules organized in longitudinal bundles. Control
cells treated with Nocodazole showed complete microtubule depolymerization, whereas Taxol-treated cells treated with Nocodazole showed
resistance to this depolymerization. Bars: A, 100 mm; B and C, 10 mm. doi:10.1371/journal.pone.0031583.g001 Figure 1. Forced microtubule stabilization prevents differentiation. Differentiation and Taxol treatment both resulted in stable,
longitudinally bundled microtubules, but Taxol-treated cells fail to elongate or fuse. Differentiating myoblasts show transient microtubule
destabilization C2C12 cells were allowed to proliferate in growth media or
cultured in differentiation media for 3 days in the presence of vehicle alone or 100 nM Taxol. Cells were fixed and immunofluorescence for myosin
heavy chain (red) and microtubules (green) performed, with imaging at 46(A) or 1006(B) magnification. Undifferentiated cells lacked myosin heavy
chain expression (A) and microtubules were organized in a radial array (B). Differentiated cells treated with vehicle alone became elongated and
multinucleate, expressed abundant myosin heavy chain (A), and microtubules were organized in a longitudinally bundled array (B). Cells treated with
Taxol during differentiation expressed myosin heavy chain (A) and organized microtubules in longitudinal bundles (B), but they failed to elongate or
become multinucleate. C. Taxol treatment stabilizes C2C12 cell microtubules. Cells were treated with vehicle alone or 100 nM Taxol, followed by
microtubule depolymerization with 5 mM Nocodazole for 1 hour. Cells were fixed and immunofluorescence for tubulin (green) performed. Control
cells showed a radial array of single microtubules, whereas cells treated with Taxol showed microtubules organized in longitudinal bundles. Control
cells treated with Nocodazole showed complete microtubule depolymerization, whereas Taxol-treated cells treated with Nocodazole showed
resistance to this depolymerization. Bars: A, 100 mm; B and C, 10 mm. doi:10.1371/journal.pone.0031583.g001 glu-tubulin as cells elongated and fused (Figure 2). This finding is
consistent with a role for a transient reduction in microtubule
stability prior to the subsequent reorganization of the microtubule
array and ultimate microtubule stabilization seen in myotubes. controls, consistent with a previous report in non-muscle cells
(data not shown) [37]. We then performed Nocodazole washout
experiments to determine whether LKB1 could regulate microtu-
bule re-growth, a more sensitive assay of microtubule stabilization. Microtubules in cells treated with the control or LKB1 virus were
depolymerized with Nocodazole for one hour, followed by drug
washout for a brief interval and rapid fixation in methanol. The
size of the resulting microtubule asters was measured using tubulin
immunofluorescence. This showed that asters in cells treated with
a control virus had a mean diameter of 10.0 mm 7 minutes after
Nocodazole washout, while cells treated with the LKB1 virus had
a mean aster diameter of 4.6 mm, a 54 percent reduction (Figure 3). Thus, excess LKB1 reduced microtubule elongation. PLoS ONE | www.plosone.org LKB1 destabilizes microtubules in C2C12 myoblasts Several microtubule regulatory proteins are candidates to
destabilize
microtubules
during
the
myoblast
differentiation
process. One of these is LKB1, which was reported to prevent
microtubule elongation in embryonic fibroblasts following Noco-
dazole washout [37]. To determine whether LKB1 regulates
microtubules in myoblasts, we manipulated LKB1 levels and
assayed microtubule elongation in C2C12 cells following Noco-
dazole washout. We did the converse experiment of measuring microtubule re-
growth in cells with reduced LKB1 levels, using RNA interference
(RNAi). Cells transfected with an siRNA targeting LKB1 did not
show any obvious differences in the microtubule array compared
to cells transfected with a nonspecific siRNA (data not shown). However, following Nocodazole treatment and washout, micro-
tubule elongation was greater in cells with LKB1 RNAi compared
to controls. Cells treated with a control siRNA had a mean aster We increased LKB1 levels in C2C12 cells using adenoviral
overexpression. Cells were infected with an adenovirus encoding
LKB1 or a control virus encoding green fluorescent protein (GFP). We first imaged microtubules in asynchronously growing cells to
determine whether LKB1 overexpression altered the microtubule
array, and we found no appreciable difference in the appearance
of microtubules in cells overexpressing LKB1 compared to February 2012 | Volume 7 | Issue 2 | e31583 3 LKB1 Role in Myoblasts Figure 2. Myoblasts show a transient reduction in stable microtubules prior to an ultimate increase in microtubule stabilization. Cells were differentiated by serum switch for the indicated times, fixed, and immunofluorescence for detyrosinated (glu-) tubulin, a marker of
stabilized microtubules, and tyrosinated microtubules, a marker of more dynamic microtubules, was performed. Upper panel shows detyrosinated
tubulin, which was reduced at the 24 hour time point and then progressively increased over the next two days. Short linear structures visible with
this antibody at 24 hours are primary cilia. Bottom panel shows glu- and tyrosinated tubulin immunofluorescence merged with DNA staining. Bar,
10 mm. doi:10 1371/journal pone 0031583 g002 Figure 2. Myoblasts show a transient reduction in stable microtubules prior to an ultimate increase in microtubule stabilization. Cells were differentiated by serum switch for the indicated times, fixed, and immunofluorescence for detyrosinated (glu-) tubulin, a marker of
stabilized microtubules, and tyrosinated microtubules, a marker of more dynamic microtubules, was performed. Upper panel shows detyrosinated
tubulin, which was reduced at the 24 hour time point and then progressively increased over the next two days. LKB1 destabilizes microtubules in C2C12 myoblasts Short linear structures visible with
this antibody at 24 hours are primary cilia. Bottom panel shows glu- and tyrosinated tubulin immunofluorescence merged with DNA staining. Bar,
10 mm. doi:10 1371/journal pone 0031583 g002 diameter of 4.8 mm 2 minutes after Nocodazole washout, whereas
cells treated with LKB1 RNAi had a mean aster size of 8.0 mm, a
67 percent increase. This result of greater microtubule elongation
in cells with reduced LKB1 is also consistent with a role for LKB1
in suppressing microtubule elongation in myoblasts. LKB1 translocates to the cytoplasm and phosphorylates
downstream kinases during myoblast differentiation We next investigated the regulation of LKB1 in myoblast
differentiation. We first tested whether LKB1 levels changed
during differentiation, by Western blotting for LKB1 at serial time
points of a differentiation time course. We confirmed differenti-
ation using phase contrast imaging, as well as Western blotting and
immunofluorescence for muscle myosin heavy chain. Western
blotting for LKB1 showed that LKB1 levels increased by 56%
within the first day of differentiation and remained elevated
throughout the differentiation time course (Figure 4A). This early
increase in a factor that reduces microtubule elongation further
supports a role for reduced microtubule stability prior to eventual
microtubule stabilization that occurs in the differentiation process. Figure 3. Overexpression of LKB1 suppresses microtubule
assembly, and LKB1 RNAi increases it. (A) C2C12 cells were
infected with a control adenovirus (control AV) or an adenovirus that
drives expression of wild type human LKB1 (LKB1 AV) for 24 hours. Cells
were treated with Nocodazole for 1 hour followed by a 7 minute
washout, fixation, and microtubule immunofluorescence. Representa-
tive microtubule asters are shown. (B) Quantification of aster diameter
for A, expressed as mean diameter+/2s.e.m. (C) C2C12 were cells
transfected with a control siRNA or an siRNA that targets expression of
LKB1 and treated with Nocodazole for 1 hour followed by a 2 minute
washout, fixation, and microtubule immunofluorescence. Representa-
tive asters are shown. (D) Quantification of aster diameter for C. At least
two experiments were done for each condition. See Fig. 4 for LKB1
levels. doi:10 1371/journal pone 0031583 g003 Mechanisms of LKB1 activation are not completely understood;
however, activation is known to be associated with translocation
from the nucleus to the cytoplasm, where LKB1 can phosphorylate
target proteins [39,40]. Thus, we also assayed LKB1 localization
during the differentiation process. LKB1 destabilizes microtubules in C2C12 myoblasts LKB1 levels
increase by day 1 and peak at day 2 of differentiation. Levels of the phosphorylated forms of LKB1 substrates AMPK and MARK increase by day 1. Tubulin is shown as a loading control. (B, C) Cells were transfected with GFP-LKB1 as described in text. Representative images from undifferentiated
cells (B) and cells cultured in differentiation media for three days (C) are shown. The mean ratio of nuclear to cytoplasmic fluorescence was 3.0 in
undifferentiated cells and 1.2 in differentiated cells. Bars, 50 mm. doi:10.1371/journal.pone.0031583.g004 Figure 4. LKB1 levels and substrate activation increases, and LKB1 redistributes to the cytoplasm during differentiation. (A) Western
blotting was done on samples from the indicated days of differentiation. Myosin heavy chain (myosin) expression increases progressively. LKB1 levels
increase by day 1 and peak at day 2 of differentiation. Levels of the phosphorylated forms of LKB1 substrates AMPK and MARK increase by day 1. Tubulin is shown as a loading control. (B, C) Cells were transfected with GFP-LKB1 as described in text. Representative images from undifferentiated
cells (B) and cells cultured in differentiation media for three days (C) are shown. The mean ratio of nuclear to cytoplasmic fluorescence was 3.0 in
undifferentiated cells and 1.2 in differentiated cells. Bars, 50 mm. doi:10.1371/journal.pone.0031583.g004 Interestingly, the amount of tubulin in cells overexpressing LKB1
was reduced to 53% of control virus-infected cells on Day 1 of
differentiation. Thus, LKB1 positively controls differentiation,
with supraphysiologic LKB1 levels enhancing the degree of
differentiation over cells with endogenous LKB1 levels. compartment and an increase in cytoplasmic LKB1 activity during
differentiation. LKB1 phosphorylates several substrates of the AMP-activated
protein kinase (AMPK) family, including AMPK and microtubule
affinity regulating kinases (MARKs), among others [21,33]. To test
whether the increase in LKB1 levels and cytoplasmic translocation
was associated with biologically relevant evidence of LKB1
activation, we assayed for phosphorylation of these substrates
during differentiation using Western blotting with phospho-specific
antibodies. This revealed a dramatic increase in the phosphoryla-
tion of both AMPK (at threonine 172, a known site of activating
phosphorylation) and MARK kinases, by day one of differentiation
(Figure 4A). On day 1 of differentiation, AMPK phosphorylation
increased to 2.3 times and MARK phosphorylation increased to 1.3
times their levels at day 0. Thus, these LKB1 substrates become
activated early in differentiation, in parallel with increases in LKB1
abundance and cytoplasmic translocation. LKB1 destabilizes microtubules in C2C12 myoblasts We were unable to assess LKB1
localization by indirect immunofluorescence using commercially
available anti-LKB1 antibodies, so we transfected C2C12 cells with
a plasmid encoding GFP-LKB1 [41]. Imaging of GFP fluorescence
showed that undifferentiated myoblasts had abundant GFP-LKB1
in the nucleus, consistent with reduced LKB1 kinase activity in the
cytoplasm (Fig. 4B). To image GFP fluorescence in multinucleate
myotubes, we took advantage of our own observation that cells
treated with Nocodazole in differentiation media could be
differentiated rapidly by washing out the Nocodazole. This allowed
us to circumvent the brief window of GFP-LKB1 expression and the
difficulty of transfecting multinucleate myotubes. We treated cells
with Nocodazole in differentiation media for two days, transfected
them with the plasmid encoding GFP-LKB1, washed out the
Nocodazole to allow cell fusion, and imaged GFP-LKB1 the next
day. In contrast to undifferentiated myoblasts, multinucleate
myotubes expressing GFP-LKB1 showed a greater proportion of
GFP fluorescence in the cytoplasm, such that nuclear and
cytoplasmic abundance of GFP-LKB1 were equivalent (Fig. 4C). We quantified this by measuring the ratio of nuclear to cytoplasmic
GFP fluorescence. In undifferentiated cells, this ratio was 3.0+/
21.5 (n = 24), as opposed to 1.2+/20.3 (n = 19) in differentiated
cells. This is consistent with a shift of LKB1 to the cytoplasmic Figure 3. Overexpression of LKB1 suppresses microtubule
assembly, and LKB1 RNAi increases it. (A) C2C12 cells were
infected with a control adenovirus (control AV) or an adenovirus that
drives expression of wild type human LKB1 (LKB1 AV) for 24 hours. Cells
were treated with Nocodazole for 1 hour followed by a 7 minute
washout, fixation, and microtubule immunofluorescence. Representa-
tive microtubule asters are shown. (B) Quantification of aster diameter
for A, expressed as mean diameter+/2s.e.m. (C) C2C12 were cells
transfected with a control siRNA or an siRNA that targets expression of
LKB1 and treated with Nocodazole for 1 hour followed by a 2 minute
washout, fixation, and microtubule immunofluorescence. Representa-
tive asters are shown. (D) Quantification of aster diameter for C. At least
two experiments were done for each condition. See Fig. 4 for LKB1
levels. doi:10.1371/journal.pone.0031583.g003 February 2012 | Volume 7 | Issue 2 | e31583 4 LKB1 Role in Myoblasts Figure 4. LKB1 levels and substrate activation increases, and LKB1 redistributes to the cytoplasm during differentiation. (A) Western
blotting was done on samples from the indicated days of differentiation. Myosin heavy chain (myosin) expression increases progressively. LKB1 enhances myoblast differentiation We next tested whether LKB1 activation plays a positive role in
myoblast differentiation. We used LKB1 overexpression and
RNAi as described above, followed by differentiation using the
serum switch assay. For overexpression, C2C12 cells were infected
with the control or LKB1 adenovirus and grown in differentiation
media,
and
differentiation
was
assayed
by
phase
contrast
microscopy and Western blotting for myosin expression. This
showed that LKB1 overexpression (16 fold over endogenous levels)
caused an increase in differentiation as compared to control virus
treatment, with an average of 1.8 fold increased myosin heavy
chain expression in cells overexpressing LKB1 as compared to
controls (Figure 5). Phosphorylation of AMPK at threonine 172
was increased in cells overexpressing LKB1 at 1.5 times control. LKB1 destabilizes microtubules in C2C12 myoblasts Taken together, these
findings support the conclusion that myoblast differentiation is
associated with LKB1 activation, and associated activation of
downstream kinases AMPK and MARKs. g
We next tested whether reduced LKB1 levels impair differen-
tiation. We used an siRNA that reduced LKB1 levels to 86% of
control on day 1 (Figure 6). During differentiation, LKB1 levels in
both control and LKB1 siRNA cells rose over the 4 days of the
assay, so that by day 4 of differentiation, LKB1 level in the RNAi
sample was 39% of control; this increase probably represented a
combination of increased expression due to differentiation and
diminution of the siRNA effect. Phase contrast microscopy,
immunofluorescence for myosin, and Western blotting for myosin
were used to assay morphological and biochemical features of
differentiation, and these showed that cells with reduced LKB1
had reduced differentiation (Fig. 6). By Western blotting, the
myosin heavy chain level in the LKB1 RNAi sample was 59 and
64 percent of control on days 3 and 4, respectively. LKB1 RNAi
caused a reduction in the activation of AMPK, as detected by
blotting with phospho-threonine 172 antibodies (43 percent of
control at day 4). Unlike controls, cells with LKB1 RNAi showed
increased tubulin levels, such that lysates on day 4 of LKB1 RNAi
had 1.6 times as much tubulin as on day 1. These assays showed
that LKB1 RNAi reduced myoblast differentiation and further
support a positive role for LKB1 in the differentiation process that
correlates with its ability to phosphorylate substrates. PLoS ONE | www.plosone.org Implications for human muscle diseases Muscle differentiation is not just important during embryogen-
esis. Muscle undergoes continuous regeneration, through the
differentiation of satellite cells to myoblasts, and subsequent
myoblast differentiation into myotubes and muscle fibers [48]. When muscles are injured, satellite cells are mobilized for repair
by activating new fiber formation. Thus, insights into muscle
differentiation might prove useful for enhancing muscle homeo-
stasis and repair in adults. Development of small molecules to Mechanism of LKB1 effects on myotube formation Samples
from the indicated days were probed for LKB1, myosin heavy chain
(myosin), and phosphorylated AMPK; tubulin, actin, and GAPDH were
probed as loading controls. doi:10.1371/journal.pone.0031583.g005 differentiation with cell fusion. These findings support the
conclusion that simple microtubule stabilization, which is seen in
fully differentiated myotubes, is alone insufficient to positively
impact myoblast differentiation. Based on our findings that (1)
microtubule depolymerization followed by re-growth can lead to
rapid differentiation, (2) microtubule detyrosination, a marker of
stabilization, transiently decreases before it increases, and (3)
LKB1, which reduces microtubule elongation, promotes C2C12
differentiation; we favor a model in which early microtubule
destabilization might be an important step in a differentiation
process
that
ultimately
culminates
in
marked
microtubule
stabilization (Figure 7). This might be similar to the initial
destabilization of microtubules that is essential to their reorgani-
zation and subsequent stabilization during formation of mitotic
and meiotic spindles [42,43]. Similar to mitosis, it is likely that an
array of microtubule regulatory proteins contribute to the
reduction and subsequent increase in microtubule stability that
occur during myoblast differentiation [44]. Live cell imaging
experiments with finer temporal resolution will allow us to test the
timing and mechanism of a transient reduction in microtubule
stability that we believe precedes eventual microtubule reorgani-
zation and stabilization seen in myotubes. Successful myoblast polarization has been proposed to be a
prerequisite for fusion competence [14]. LKB1 has roles in both
cell polarization and microtubule destabilization, and the degree
to which these roles are separable is not completely clear. Thus,
LKB1 could be required for myoblast fusion through its effects on
microtubules, cell polarization, or both, and its regulation of the
two could bifurcate at many regulation points, or could be
coupled. While our study does not address this level of mechanistic
detail, it does suggest a useful model system in which these
questions could be tested. LKB1 Role in Myoblasts Figure 5. LKB1 overexpression accelerates differentiation. (A)
Phase contrast pictures of C2C12 cells uninfected (no virus), infected
with an adenovirus overexpressing CRE recombinase and GFP (control
AV), or infected with an adenovirus expressing human LKB1, and grown
in differentiation media for the indicated number of days. Cells with
LKB1 overexpression showed enhanced differentiation. (B) Western
blotting shows increased myosin upon LKB1 overexpression. Samples
from the indicated days were probed for LKB1, myosin heavy chain
(myosin), and phosphorylated AMPK; tubulin, actin, and GAPDH were
probed as loading controls. doi:10.1371/journal.pone.0031583.g005 differentiation, because LKB1 RNAi reduces differentiation, and
LKB1 overexpression enhanced it. While several microtubule
stabilizing factors have been shown to contribute to myoblast
differentiation, we believe LKB1 is the first destabilizing factor
demonstrated
to
contribute
to
the
differentiation
process
[10,13,14]. This finding that a microtubule destabilizing factor
promotes myoblast differentiation is not at odds with studies that
show
critical
roles
for
microtubule
stabilizing
proteins
in
differentiation. Rather, we believe that LKB1-induced microtu-
bule
destabilization
could
precede
microtubule
stabilization
effected by EB1, EB3, and MAP4, and that a combination of
stabilizing and destabilizing factors is likely to be needed to fine-
tune the changes in microtubule organization and membrane
events in differentiating myoblast elongation and fusion. Mechanism of LKB1 effects on myotube formation Based on the known downstream functions of LKB1 and the
known changes required for myotube formation, there are
several
mechanisms
by
which
LKB1
could
facilitate
the
differentiation process. Our study establishes microtubule desta-
bilization and reduced cell fusion by LKB1, although it does not
rule out other contributions of LKB1 to the process. LKB1 is
likely to destabilize microtubules indirectly, as it does not bind to
myoblast microtubules in vitro (data not shown). Its role is likely
to be associated with LKB1 kinase activity, because LKB1
substrate phosphorylation happens early (by the first day) of
differentiation. There are several LKB1 substrates that could mediate its role in
differentiation, and our work does not determine which substrate(s)
are involved. Potential mediators include several members of the
AMPK family, including AMPK itself and MARKs. Several
AMPK substrates are known to regulate microtubule polymeriza-
tion dynamics, including the microtubule+tip protein CLIP-170
[45] and the microtubule stabilizing protein Tau [46,47]. However, in contrast to our model, in which the ultimate effect
of LKB1 activation was to destabilize microtubules, AMPK was
shown to increase the rate of microtubule polymerization, an effect
that would be expected to stabilize microtubules, in Vero cells
[45]. Additional LKB1 substrates must also be tested. LKB1 could
also reduce microtubule stability by suppressing tubulin expres-
sion, as lysates from cells with excess LKB1 contained less tubulin
than control lysates, and lysates from cells with LKB1 RNAi
showed progressive increases in tubulin levels. Further analysis of
this possibility is also needed. Figure 5. LKB1 overexpression accelerates differentiation. (A)
Phase contrast pictures of C2C12 cells uninfected (no virus), infected
with an adenovirus overexpressing CRE recombinase and GFP (control
AV), or infected with an adenovirus expressing human LKB1, and grown
in differentiation media for the indicated number of days. Cells with
LKB1 overexpression showed enhanced differentiation. (B) Western
blotting shows increased myosin upon LKB1 overexpression. Samples
from the indicated days were probed for LKB1, myosin heavy chain
(myosin), and phosphorylated AMPK; tubulin, actin, and GAPDH were
probed as loading controls. doi:10.1371/journal.pone.0031583.g005 Figure 5. LKB1 overexpression accelerates differentiation. (A)
Phase contrast pictures of C2C12 cells uninfected (no virus), infected
with an adenovirus overexpressing CRE recombinase and GFP (control
AV), or infected with an adenovirus expressing human LKB1, and grown
in differentiation media for the indicated number of days. Cells with
LKB1 overexpression showed enhanced differentiation. (B) Western
blotting shows increased myosin upon LKB1 overexpression. A model for microtubule changes during myoblast
differentiation Our results show that microtubule stabilization with Taxol
prevents myoblast differentiation, whereas microtubule destabili-
zation with Nocodazole followed by drug washout promotes rapid PLoS ONE | www.plosone.org February 2012 | Volume 7 | Issue 2 | e31583 5 LKB1 Role in Myoblasts Materials and Methods LKB1 has been shown to play a role in the differentiation of
neurites [30]. Now with our study showing a role in the
differentiation of myoblasts, it would be interesting to see whether
LKB1 could promote differentiation of other cell types as well. In a
mouse model of the PJS cancer syndrome, LKB1 deletion in
myofibroblasts appears to be sufficient to cause a polyposis LKB1 positively affects myoblast differentiation Our experiments show that LKB1, which destabilizes microtu-
bule elongation from centrosomes, is a positive mediator of PLoS ONE | www.plosone.org February 2012 | Volume 7 | Issue 2 | e31583 6 LKB1 Role in Myoblasts Figure 6. LKB1 RNAi reduces differentiation. (A) Phase contrast pictures of C2C12 cells transfected an siRNA directed against mouse LKB1 (LKB1
RNAi) and controls were and grown in differentiation media for the indicated number of days. (B) Immunofluorescence for myosin and DNA staining
done at day 3 of differentiation show reduced myosin expression in cells with LKB1 RNAi as compared to controls. (C) Western blotting shows
reduced myosin expression upon LKB1 RNAi, as well as reduced phosphorylated AMPK (phosho-AMPK) and phosphorylated MARK (phospho-MARK). Tubulin and GAPDH were probed as loading controls. doi:10.1371/journal.pone.0031583.g006 Figure 6. LKB1 RNAi reduces differentiation. (A) Phase contrast pictures of C2C12 cells transfected an siRNA directed against mouse LKB1 (LKB1
RNAi) and controls were and grown in differentiation media for the indicated number of days. (B) Immunofluorescence for myosin and DNA staining
done at day 3 of differentiation show reduced myosin expression in cells with LKB1 RNAi as compared to controls. (C) Western blotting shows
reduced myosin expression upon LKB1 RNAi, as well as reduced phosphorylated AMPK (phosho-AMPK) and phosphorylated MARK (phospho-MARK). Tubulin and GAPDH were probed as loading controls. doi:10.1371/journal.pone.0031583.g006 syndrome [49]. This raises the possibility that introduction of
myofibroblasts with wild-type LKB1 expression might play a role
in preventing tumorigenesis in these patients. manipulate LKB1 activity would be helpful for further investigat-
ing and altering the temporal control of differentiation. Another
implication of our study is that transient use of microtubule
destabilizing drugs might be useful for synchronizing muscle
differentiation in vitro or in vivo. Reagents and antibodies Taxol and Nocodazole were purchased from Sigma Aldrich (St. Louis, MO, USA) and resuspended as 10 mM stock solutions in
DMSO. All other chemicals were from Sigma unless otherwise
noted. Figure 7. Model. Myoblasts contain a radial microtubule array that is a mixture of dynamic microtubules (identified in vivo by the presence of a C-
terminal tyrosine on alpha-tubulin; depicted here as thin green lines) and stabilized microtubules (identified by post-translational detyrosination;
depicted here as thick green lines). Fully differentiated myotubes show a linear microtubule array consisting of abundant detyrosinated/stable
microtubules. Our data shows that simple microtubule stabilization blocks the formation of myotubes, and a transient decrease in microtubule
stabilization precedes cell elongation and fusion into myotubes. We propose a model in which transient microtubule destabilization facilitates
microtubule reorganization, and this is then followed by microtubule stabilization. We suggest that LKB1 plays a role in this microtubule
destabilization and/or reorganization, which accounts for its role in the differentiation process. doi:10.1371/journal.pone.0031583.g007 Figure 7. Model. Myoblasts contain a radial microtubule array that is a mixture of dynamic microtubules (identified in vivo by the presence of a C-
terminal tyrosine on alpha-tubulin; depicted here as thin green lines) and stabilized microtubules (identified by post-translational detyrosination;
depicted here as thick green lines). Fully differentiated myotubes show a linear microtubule array consisting of abundant detyrosinated/stable
microtubules. Our data shows that simple microtubule stabilization blocks the formation of myotubes, and a transient decrease in microtubule
stabilization precedes cell elongation and fusion into myotubes. We propose a model in which transient microtubule destabilization facilitates
microtubule reorganization, and this is then followed by microtubule stabilization. We suggest that LKB1 plays a role in this microtubule
destabilization and/or reorganization, which accounts for its role in the differentiation process. doi:10.1371/journal.pone.0031583.g007 Figure 7. Model. Myoblasts contain a radial microtubule array that is a mixture of dynamic microtubules (identified in vivo by the presence of a C-
terminal tyrosine on alpha-tubulin; depicted here as thin green lines) and stabilized microtubules (identified by post-translational detyrosination;
depicted here as thick green lines). Fully differentiated myotubes show a linear microtubule array consisting of abundant detyrosinated/stable
microtubules. Our data shows that simple microtubule stabilization blocks the formation of myotubes, and a transient decrease in microtubule
stabilization precedes cell elongation and fusion into myotubes. We propose a model in which transient microtubule destabilization facilitates
microtubule reorganization, and this is then followed by microtubule stabilization. Reagents and antibodies We suggest that LKB1 plays a role in this microtubule
destabilization and/or reorganization, which accounts for its role in the differentiation process. doi:10.1371/journal.pone.0031583.g007 February 2012 | Volume 7 | Issue 2 | e31583 PLoS ONE | www.plosone.org 7 LKB1 Role in Myoblasts MD, USA) according to the manufacturer’s protocol, in Solution
V
with
program
T-017. Approximately
26106
cells
were
transfected per reaction with 7–8 mg of siRNA. Controls were
treated identically with a control siRNA (Sigma) or omission of the
siRNA. MD, USA) according to the manufacturer’s protocol, in Solution
V
with
program
T-017. Approximately
26106
cells
were
transfected per reaction with 7–8 mg of siRNA. Controls were
treated identically with a control siRNA (Sigma) or omission of the
siRNA. Antibodies for Western blotting included anti-LKB1 (clone
D60C5, Cell Signaling Technology, Danvers, MA, USA) anti-
Myosin heavy chain (Developmental Studies Hybridoma Bank;
under the auspices of the NICHD and maintained by The
University of Iowa, Department of Biology; Iowa City, Iowa,
USA), anti-AMPK-alpha (Santa Cruz Biotechnology, Santa Cruz,
CA, USA), anti-phospho-AMPK (Clone 40H9, which recognizes
phospho-threonine 172, Cell Signaling), anti-MARK (Abcam,
Cambridge, MA, USA), anti-phospho-MARK activation loop
(Cell Signaling), anti-tubulin (clone DM1A, Sigma), anti-beta-actin
(Sigma), and anti-GAPDH (Santa Cruz). MD, USA) according to the manufacturer’s protocol, in Solution
V
with
program
T-017. Approximately
26106
cells
were
transfected per reaction with 7–8 mg of siRNA. Controls were
treated identically with a control siRNA (Sigma) or omission of the
siRNA. Antibodies for Western blotting included anti-LKB1 (clone
D60C5, Cell Signaling Technology, Danvers, MA, USA) anti-
Myosin heavy chain (Developmental Studies Hybridoma Bank;
under the auspices of the NICHD and maintained by The
University of Iowa, Department of Biology; Iowa City, Iowa,
USA), anti-AMPK-alpha (Santa Cruz Biotechnology, Santa Cruz,
CA, USA), anti-phospho-AMPK (Clone 40H9, which recognizes
phospho-threonine 172, Cell Signaling), anti-MARK (Abcam,
Cambridge, MA, USA), anti-phospho-MARK activation loop
(Cell Signaling), anti-tubulin (clone DM1A, Sigma), anti-beta-actin
(Sigma), and anti-GAPDH (Santa Cruz). MD, USA) according to the manufacturer’s protocol, in Solution
V
with
program
T-017. Approximately
26106
cells
were
transfected per reaction with 7–8 mg of siRNA. Controls were
treated identically with a control siRNA (Sigma) or omission of the
siRNA. GFP-LKB1 encoded in a plasmid was purchased from Addgene
(Cambridge, MA, USA). Transfection of undifferentiated cells was
done by nucleofection as above with 3 mg of DNA. Nocodazole washout and microtubule elongation assay Cells grown on glass coverslips were incubated in growth media
with 10 mM Nocodazole for 1 hour, washed with pre-warmed PBS
and pre-warmed media, and incubated in pre-warmed media
without Nocodazole for the indicated times (from first PBS wash to
ice-methanol fixation). They were fixed by immersion in ice-cold
methanol and processed for immunofluorescence as described
below. The washout time was counted from the first PBS wash to
fixation. Controls from different experiments are not comparable
because of pre-warming of PBS and media in some experiments. Microtubules formed upon washout of Nocodazole were imaged
by tubulin immunofluorescence. Approximately 50 randomly
chosen 206 fields were imaged, for a total of ,350–400 cells
per condition for LKB1 overexpression and ,125 cells per
condition for LKB1 RNAi. Asters formed from the elongation of
microtubules outward in all directions from the cell’s centrosome. The diameter of each aster was measured by drawing a line across
the aster at its maximum diameter in a single focal plane using the
region measurements tool in MetaMorph software. Because the
asters were small and the cells flat, a single focal plane contained
the entire length of the microtubules. Values are expressed as
mean+/2standard error of the mean. GFP-LKB1
expression
in
nucleus
versus
cytoplasm
was
calculated
by
measuring
the
average
pixel
intensity
in
a
background-subtracted 20620 pixel square placed over the
nucleus or cytoplasm and taking a ratio for each individual cell,
using the region measurements tool in MetaMorph software. GFP-LKB1
expression
in
nucleus
versus
cytoplasm
was
calculated
by
measuring
the
average
pixel
intensity
in
a
background-subtracted 20620 pixel square placed over the
nucleus or cytoplasm and taking a ratio for each individual cell,
using the region measurements tool in MetaMorph software. Adenoviral LKB1 overexpression Adenoviral LKB1 overexpression
LKB1
overexpression
was
done
by
adenoviral
infection
according
to
an
institutional
biosafety
committee-approved
protocol with a virus encoding human LKB1 (Ad-STK11, Vector
Biolabs, Philadelphia, PA, USA). Control cells were infected with a
control virus (CRE-GFP, Vector Biolabs). Cells were infected at a
multiplicity of infection (MOI) of ,5 viral particles per cell in
differentiation media at the start of the experiment. Differentiation
media was changed as needed without re-addition of virus. Immunofluorescence, microscopy, and analysis Differentiation was induced when cells reached near-confluence
using a standard media switch assay. Cells were washed three
times with PBS and grown in DMEM with 2% horse serum
(Invitrogen) instead of FCS. This induced differentiation within 3–
4 days, depending on confluence at the time of the switch and the
passage number. These were both matched between controls and
other manipulations in all experiments. For immunofluorescence
experiments, cells were plated on glass coverslips and allowed to
adhere in growth media before differentiation was induced. For phase contrast pictures, cells were imaged in tissue culture
plates using an inverted microscope (Nikon Instruments, Melville,
NY, USA) at 46magnification. Random regions of the well were
imaged to avoid bias. For immunofluorescence, cells were grown on glass coverslips
and fixed in ice-cold methanol for 5 minutes or in freshly made
4% formaldehyde at room temperature for 20 minutes. Cells were
permeabilized in Tris-buffered saline (TBS) with 0.1% Triton
X100 and blocked in 2% bovine serum albumin (BSA, Fisher
Scientific) in TBS/0.1% Triton X100 for 1 hour at room
temperature. Primary and secondary antibodies were diluted in
block solution and incubated for 1 hour at room temperature. DNA was stained with Hoechst 33342 (Sigma) at 10 mg/ml for
2 minutes. Coverslips were mounted in media containing 0.5% 0-
phenylenediamine in 20 mM Tris pH 8.8 and 90% glycerol and
sealed with nail polish. Images were acquired at 46, 606, or 1006
magnification with a Yokogawa CSU-10 spinning disk confocal
head (Perkin Elmer, Wellesley, MA) onto an ORCA AG CCD
camera (Hamamatsu Photonics, Bridgewater, NJ). Image acqui-
sition, processing, and analysis were done using MetaMorph
software (Molecular Devices Corp, Sunnyvale, CA). All low-power
fields were selected randomly to avoid bias. Cell culture The mouse myoblast cell line C2C12 was purchased from
ATCC (Manassas, VA, USA) and grown in DMEM with 10%
fetal calf serum (FCS, not heat inactivated; Atlanta Biologicals,
Lawrenceville, GA, USA). Cells were not allowed to exceed 70%
confluence during passaging and were discarded after 20 passages
(40 days), to minimize depletion of myoblasts from the culture. PLoS ONE | www.plosone.org Reagents and antibodies For
differentiated cells, cells were grown in differentiation media in
the presence of 200 nM Nocodazole to prevent cell fusion,
transfected with 3 mg of DNA, and plated in differentiation media
without Nocodazole for one day prior to imaging, at which point
cells had fused as well as controls that were differentiated for the
same time period in the absence of Nocodazole. Antibodies for immunofluorescence included FITC-conjugated
anti-tubulin
(DM1A,
Sigma)
and
anti-myosin
heavy
chain
(Developmental Studies Hybridoma bank), anti-tyrosinated tubu-
lin (clone YL1/2, Millipore, Temecula, CA), and anti-detyrosi-
nated (glu) tubulin (Millipore). Species-specific secondary antibod-
ies conjugated to Alexa-488 and -568 fluors were used (Invitrogen,
Carlsbad, CA, USA). Antibodies for immunofluorescence included FITC-conjugated
anti-tubulin
(DM1A,
Sigma)
and
anti-myosin
heavy
chain
(Developmental Studies Hybridoma bank), anti-tyrosinated tubu-
lin (clone YL1/2, Millipore, Temecula, CA), and anti-detyrosi-
nated (glu) tubulin (Millipore). Species-specific secondary antibod-
ies conjugated to Alexa-488 and -568 fluors were used (Invitrogen,
Carlsbad, CA, USA). Western blotting Cells were washed in PBS and either scraped into lysis buffer
(150 mM NaCl, 50 mM Hepes pH 7.4, 2 mM EGTA, 2 mM
MgCl2, 0.1% Triton X100, with protease inhibitors PMSF, NaF,
NaVO4, pepstatin, chymostatin, and leupeptin) or trypsinized,
pelleted, and stored at 280uC, followed by lysis in this buffer for
30 min on ice. (Of note, trypsinization activated phosphorylation
of AMPK on threonine 172, the same epitope phosphorylated by
LKB1, presumably through calcium-calmodulin dependent pro-
tein kinase kinase (CAMKK). Overexpression of LKB1 and Transfections for LKB1 RNAi and GFP-LKB1 expression
LKB1 RNAi was done with an siRNA oligo that targets the
mouse LKB1 coding sequence with the sequence 59-GGGUA-
CUUCCGCCAGCUGAtt-39 (Sigma). Cells were electroporated
with the siRNA using a nucleofector (Lonza USA, Walkersville, PLoS ONE | www.plosone.org February 2012 | Volume 7 | Issue 2 | e31583 8 LKB1 Role in Myoblasts LKB1 Role in Myoblasts LKB1 Role in Myoblasts Nocodazole cause cell rounding and prevent myoblast fusion, but
washout of Nocodazole is associated with more substantial cell
elongation than washout of Taxol. (B) Corresponding immuno-
fluorescence images were done on cells fixed 6 hours following
drug washout. Insets show higher magnification images of
multinucleate cells in controls and Nocodazole treated cultures,
and cells with single nuclei in Taxol treated cells. This shows that
cells treated with both drugs express myosin heavy chain (MHC,
red), but only cells treated with Nocodazole show substantial cell
fusion, even at 6 hours following washout. Bar, 50 mm. (C) Fusion
index from the same time point as shown in B. Ten random 206
fields were imaged for myosin heavy chain and DNA, and number
of cells with one nucleus or more than one nucleus was counted. This showed that 60 percent of control cells expressing myosin
heavy chain had fused, while only 24 percent of Taxol treated and
40 percent of Nocodazole treated cells had fused. (TIF) growth in differentiation media further increased this phosphor-
ylation over and above that seen with trypsinization). Lysates were
cleared by centrifugation at 14,000 G, and protein was assayed
with Bradford reagent (Biorad, Hercules, CA, USA). Adenovirus-
infected cells were lysed by washing with PBS and scraping directly
into sample buffer, followed by bath sonication to shear DNA and
loading of equal lysate volume. References 1. Zammit PS (2008) All muscle satellite cells are equal, but are some more equal
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serine/threonine kinase gene defective in Peutz-Jeghers syndrome. Nature 391:
184–187. 1. Zammit PS (2008) All muscle satellite cells are equal, but are some more equal
than others? Journal of Cell Science 121: 2975–2982. 2. Mohun T (1992) Muscle differentiation. Current Opinion in Cell Biology 4:
923–928. 2. Mohun T (1992) Muscle differentiation. Current Opinion in Cell Biology 4:
923–928. 18. van Lier MG, Wagner A, Mathus-Vliegen EM, Kuipers EJ, Steyerberg EW, et
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771–781. 25. Thomson DM, Hancock CR, Evanson BG, Kenney SG, Malan BB, et al. (2010)
Skeletal muscle dysfunction in muscle-specific LKB1 knockout mice. J Appl
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of microtubule dynamics and myogenic differentiation by MURF, a striated
muscle RING-finger protein. Journal of Cell Biology 150: 771–784. 26. Hinz B (2010) The myofibroblast: paradigm for a mechanically active cell. Journal of Biomechanics 43: 146–155. 27. Vaahtomeri K, Ventela¨ E, Laajanen K, Katajisto P, Wipff PJ, et al. (2008) Lkb1
is required for TGFbeta-mediated myofibroblast differentiation. Journal of Cell
Science 121: 3531–3540. 12. Chang W, Webster DR, Salam AA, Gruber D, Prasad A, et al. (2002) Alteration
of the C-terminal amino acid of tubulin specifically inhibits myogenic
differentiation. Journal of Biological Chemistry 277: 30690–30698. 28. Thomson DM, Porter BB, Tall JH, Kim HJ, Barrow JR, et al. (2007) Skeletal
muscle and heart LKB1 deficiency causes decreased voluntary running and
reduced muscle mitochondrial marker enzyme expression in mice. Am J Physiol
Endocrinol Metab 292: E196–202. 13. Zhang T, Zaal KJ, Sheridan J, Mehta A, Gundersen GG, et al. (2009)
Microtubule plus-end binding protein EB1 is necessary for muscle cell
differentiation, elongation and fusion. Journal of Cell Science 122: 1401–1409. 29. Baas AF, Kuipers J, van der Wel NN, Batlle E, Koerten HK, et al. (2004)
Complete Polarization of Single Intestinal Epithelial Cells upon Activation of
LKB1 by STRAD. Cell 116: 457–466. 14. Straube A, Merdes A (2007) EB3 regulates microtubule dynamics at the cell
cortex and is required for myoblast elongation and fusion. Current Biology 17:
1318–1325. 15. Conacci-Sorrell M, Ngouenet C, Eisenman RN (2010) Myc-nick: a cytoplasmic
cleavage product of Myc that promotes alpha-tubulin acetylation and cell
differentiation. Cell 142: 480–493. 30. Asada N, Sanada K, Fukada Y (2007) LKB1 regulates neuronal migration and
neuronal differentiation in the developing neocortex through centrosomal
positioning. Journal of Neuroscience 27: 11769–11775. 31. Supporting Information We thank Kevin Claffey and Vladimir Rodionov for helpful comments on
the manuscript. We thank Kevin Claffey and Vladimir Rodionov for helpful comments on
the manuscript. Figure S1
Microtubule destabilization is more condu-
cive to differentiation than is microtubule stabilization. C2C12 cells were treated with vehicle (control), 200 mm Taxol, or
200 mm Nocodozole and cultured differentiation media for two
days, followed by washout and continued differentiation. (A) Phase
contrast images at differentiation day 2 (in the presence of drugs)
and day 3 (one day after drug washout) show that both Taxol and Western blotting g
q
y
Samples were separated on 10% SDS-PAGE gels, transferred to
PVDF membranes, and blocked in 2% BSA in Tris buffered saline
(TBS) with 0.1% Tween and 0.1% Sodium Azide. Primary
antibodies were incubated for 1–2 hours at room temperature or
overnight at 4uC, and secondary antibodies were incubated for
1 hour at room temperature. The Enhanced Chemiluminescence
Fempto reagent (Thermo Scientific, Rockford, IL, USA) was used
to develop blots. Signal was imaged digitally on either a Genesnap
(Syngene USA, Frederick, MD, USA) or Biorad (Biorad) system
within the gray range of the camera. Blots were multiply probed
for proteins of different masses without stripping. Author Contributions Conceived and designed the experiments: JST KDK. Performed the
experiments: IM WPL ND RMG. Analyzed the data: JST. Contributed
reagents/materials/analysis tools: KDK. Wrote the paper: JST. Conceived and designed the experiments: JST KDK. Performed the
experiments: IM WPL ND RMG. Analyzed the data: JST. Contributed
reagents/materials/analysis tools: KDK. Wrote the paper: JST. References Barnes AP, Lilley BN, Pan YA, Plummer LJ, Powell AW, et al. (2007) LKB1 and
SAD kinases define a pathway required for the polarization of cortical neurons. Cell 129: 549–563. 16. Antin PB, Forry-Schaudies S, Friedman TM, Tapscott SJ, Holtzer H (1981)
Taxol induces postmitotic myoblasts to assemble interdigitating microtubule-
myosin arrays that exclude actin filaments. Journal of Cell Biology 90: 300–308. PLoS ONE | www.plosone.org February 2012 | Volume 7 | Issue 2 | e31583 February 2012 | Volume 7 | Issue 2 | e31583 9 LKB1 Role in Myoblasts LKB1 Role in Myoblasts 32. Shelly M, Cancedda L, Heilshorn S, Sumbre G, Poo MM (2007) LKB1/
STRAD promotes axon initiation during neuronal polarization. Cell 129:
565–577. 42. Belmont LD, Hyman AA, Sawin KE, Mitchison TJ (1990) Real-time
visualization of cell cycle-dependent changes in microtubule dynamics in
cytoplasmic extracts. Cell 62: 579–589. 33. Shelly M, Poo MM (2011) Role of LKB1 - SAD/MARK pathway in neuronal
polarization. Developmental Neurobiology: Epub ahead of print. y p
43. Belmont LD, Mitchison TJ (1996) Identification of a Protein that Interacts with
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34. Amin N, Khan A, St Johnston D, Tomlinson I, Martin S, et al. (2009) LKB1 34. Amin N, Khan A, St Johnston D, Tomlinson I, Martin S, et al. (2009) LKB1
regulates polarity remodeling and adherens junction formation in the Drosophila
eye. Proc Natl Acad Sci U S A 106: 8941–8946. 44. Maiato H, Sampaio P, Sunkel CE (2004) Microtubule-associated proteins and
their essential roles during mitosis. International Review of Cytology 241:
53–153. y
35. Zhang S, Schafer-Hales K, Khuri FR, Zhou W, Vertino PM, et al. (2008) The
tumor suppressor LKB1 regulates lung cancer cell polarity by mediating cdc42
recruitment and activity. Cancer Research 68: 740–748. 45. Nakano A, Kato H, Watanabe T, Min KD, Yamazaki S, et al. (2010) AMPK
controls the speed of microtubule polymerization and directional cell migration 45. Nakano A, Kato H, Watanabe T, Min KD, Yamazaki S, et al. (2010) AMPK
controls the speed of microtubule polymerization and directional cell migration
through CLIP-170 phosphorylation. Nature Cell Biology 12: 583–590. 36. Baas AF, Smit L, Clevers H (2004) LBK1 tumor suppressor protein: PARtaker
in cell polarity. Trends in Cell Biology 14: 312–319. through CLIP-170 phosphorylation. Nature Cell Biology 12: 583 46. Vingtdeux V, Davies P, Dickson DW, Marambaud P (2011) AMPK is
abnormally activated in tangle- and pre-tangle-bearing neurons in Alzheimer’s
disease and other tauopathies. Acta Neuropathol 121: 337–349. 37. Kojima Y, Miyoshi H, Clevers HC, Oshima M, Aoki M, et al. (2007)
Suppression of tubulin polymerization by the LKB1-microtubule-associated
protein/microtubule affinity-regulating kinase signaling. Journal of Biological
Chemistry 282: 23532–23540. 47. Greco SJ, Sarkar S, Johnston JM, Tezapsidis N (2009) Leptin regulates tau
phosphorylation and amyloid through AMPK in neuronal cells. Biochem
Biophys Res Commun 380: 98–104. y
38. LKB1 Role in Myoblasts Verhey KJ, Gaertig J (2007) The tubulin code. Cell Cycle 6: 2152–2160. y
Verhey KJ, Gaertig J (2007) The tubulin code. Cell Cycle 6: 2152–21 39. Dorfman J, Macara IG (2008) STRADalpha regulates LKB1 localization by
blocking access to importin-alpha, and by association with Crm1 and exportin-7. Molecular Biology of the Cell 19: 1614–1626. 48. Zammit PS, Partridge TA, Yablonka-Reuveni Z (2006) The skeletal muscle
satellite cell: the stem cell that came in from the cold. Journal of Histochemistry
and Cytochemistry 54: 1177–1191. gy
40. Baas AF, Boudeau J, Sapkota GP, Smit L, Medema R, et al. (2003) Activation of
the tumour suppressor kinase LKB1 by the STE20-like pseudokinase STRAD. EMBO Journal 22: 3062–3072. 49. Katajisto P, Vaahtomeri K, Ekman N, Ventela¨ E, Ristima¨ki A, et al. (2008)
LKB1 signaling in mesenchymal cells required for suppression of gastrointestinal
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41. Karuman P, Gozani O, Odze RD, Zhou XC, Zhu H, et al. (2001) The Peutz-
Jegher gene product LKB1 is a mediator of p53-dependent cell death. Molecular
Cell 7: 1307–1319. PLoS ONE | www.plosone.org February 2012 | Volume 7 | Issue 2 | e31583 10
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3 Die ›Übersetzung‹ von Finnegans Wake
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3 Die ›Übersetzung‹ von Finnegans Wake
Das vorhergehende Kapitel zeigte, wie Arno Schmidt im ›Übersetzungsfehler‹, der
ihm in seinem publizistischen Werk der 1950er-Jahre vielfach Anlass zu wüster
Polemik ist, ein poetisch-sprachspielerisches Potenzial entdeckt hat, das als Technik
zur sprachspielerischen Multiplikation der Bedeutungsebenen eingesetzt werden
kann. Denn in der Latenz der Fremdsprache ist die eigentliche Bedeutung der falschen Übersetzung weiterhin vorhanden. Handelte es sich dabei um eine erste Vorahnung der Möglichkeiten, die im wilden Übersetzen liegen, so widmet sich dieses
Kapitel der Entdeckung des wilden Übersetzens durch Arno Schmidt. In den Jahren
1960 und 1961, also chronologisch genau zwischen der publizistischen ›Übersetzungskritik‹ und der Arbeit an Zettel’s Traum, liegt Arno Schmidts intensive Auseinandersetzung mit Finnegans Wake von James Joyce.41 Dabei entwickelt Schmidt
nicht nur eine eigenwillige Interpretation dieses Texts, sondern unternimmt auch
den Versuch, als einer der ersten diesen Text – zumindest in Teilen – ins Deutsche
zu übersetzen. Auch wenn dieses Unternehmen aus verschiedenen, teils auch verlegerischen Gründen im Verlauf des Jahres 1961 gescheitert ist,42 liegt zumindest
eine kleinere Zahl von Typoskript-Blättern mit Übersetzungsproben vor. Dabei steht
der genaue Status der Texte im Wake-Typoskript allerdings von Beginn weg infrage:
Schmidt bezeichnet sie einerseits als ›Übersetzung‹, nennt sie aber auch eine Lesbarmachung von Finnegans Wake, mit der sich eine reduktionistische Interpretation des Werks von James Joyce verbindet: Arno Schmidt glaubt, entdeckt zu haben,
41 Eine positivistische Chronik aller Zeugnisse von Arno Schmidts Beschäftigung mit James Joyce
und seinem Werk bietet Rathjen 2020b, 9–31. Schmidts Beschäftigung mit dem Ulysses und die Kritik an der Übersetzung fällt in die Jahre 1956–57 (10–13). Nach Übersetzung von Stanislaus Joyce’ My
Brothers’s Keeper im Jahr 1959 (14–17) beginnt Arno Schmidt im Frühsommer 1960 in Vorbereitung
für einen Radioessay, den er Heißenbüttel versprochen hat, Finnegans Wake zu lesen (19–20) und
entwickelt bald schon seine ›Entdeckung‹, die These des Bruderzwistes.
42 Im Winter 1960–61 gab Arno Schmidt mehreren Verlegern gegenüber Auskunft, eine Übersetzung von Finnegans Wake sei kaum machbar (Rathjen 2020b, 24–26), kündigte Ende Februar jedoch
Hans Dieter Müller vom Goverts-Verlag an, er sehe sich, nachdem er einige kürzere Übersetzungsproben erstellt habe, nun doch in der Lage, eine gute Übersetzung von Finnegans Wake versprechen zu können (Rathjen 2020b, 26). Als der Goverts-Verlag kurz darauf absagte, suchte Schmidt
nach Publikationsmöglichkeiten für die Produkte seiner Übersetzungsarbeit (Rathjen 2020b, 27).
Allerdings zerschlug sich sowohl der Plan, Übersetzungsproben in der ZEIT abzudrucken (Rathjen
2015, 23), als auch die Suche nach einem Verlag, weil Schmidt erfuhr, dass der Rhein-Verlag zusammen mit dem Neske-Verlag eine deutsche Übersetzung von Finnegans Wake publizieren wolle
und ihm der Suhrkamp-Verleger Siegfried Unseld aus Zürich mitteilte, er komme für die Verleger
als Übersetzer nicht infrage (Rathjen 2015, 23).
Open Access. © 2023 bei dem Autor, publiziert von De Gruyter.
Dieses Werk ist lizenziert unter
der Creative Commons Namensnennung 4.0 International Lizenz. https://doi.org/10.1515/9783111001692-016
318
III Arno Schmidt
dass es sich beim gesamten Text – den er teils heftig kritisiert43 – um einen stark
chiffrierten Schlüsselroman handle, der in jeder einzelnen Szene eine aggressive
Abrechnung mit James’ Bruder, Stanislaus Joyce, enthält.44 Schmidts ›Übersetzung‹
steht ganz im Dienst dieser Interpretation. Immer wieder werden beim Übersetzen
einzelne zentrale Stellen gewaltsam durch Fehlübersetzungen umgeschrieben,
womit Schmidts Deutung des Wake auf scharfe Kritik stoßen wird.45
Schmidts Typoskript hat eine eigene literarische Qualität. Nicht Erzählen steht
im Zentrum, sondern intensive Spracharbeit. In einem Versuch, die Arbeit doch
noch zu verwerten, werden einzelne Abschnitte dieser Übersetzung in einer Selbstkompilation neu zusammengestellt. Material daraus ist nicht nur in Zeitungsessays
und Funkdialogen verwendet worden, sondern auch in den Ländlichen Erzäh
lungen.46 Damit wurden einzelne Abschnitte in einer dichten, expressionistischen
Prosa gestaltet, welche die Materialität der Sprache in den Vordergrund stellt. Zu
diesem Zweck wurden die Bruchstücke der ›Übersetzung‹ zum Teil weiterbearbeitet. Zugleich findet innerhalb der literarischen Texte eine Reflexion der Tatsache
statt, dass diese Passagen übersetzt sind.
Meine These ist also, dass Schmidt in der scheiternden Arbeit an Finnegans
Wake das poetische Potenzial des Übersetzens entdeckt, wenn es von seinen
43 Jäger 2009, 113: »Verglichen mit den uneingeschränkt positiven, wo nicht euphorischen Würdigungen des ›Ulysses‹ fällt die stellenweise vernichtende Kritik an Joyce’ letztem Roman auf,
die umso überraschender erscheint, wenn man bedenkt, mit welchem Zeit- und Arbeitsaufwand
Schmidt sich mit dem Text auseinandergesetzt und welchen Stimulus ›Finnegans Wake‹ für sein
literarisches Schaffen ab 1960 dargestellt haben muss.«
44 BA II/2, 447: »Und während James sich selbst als Heiligen – mit einigen liebenswürdigen Schwächen – dafür aber mit ganz ungewöhnlich langer & harter Märtyrerzeit porträtiert hat, / richtet
sich die volle Wut seiner Natur, die ganze Genialität seiner Niedertracht, gegen ihn, der langsam in
den Vordergrund des literarischen Interesses zu schreiten beginnt: gegen Kain, gegen Stanislaus,
seines Bruder’s Hüter!« Senn 1970, 272 rezensiert Der Triton mit dem Sonnenschirm (1969), Schmidts
gesammelte Essays zu Finnegans Wake, folgendermaßen: »The book makes good reading once the
particular bias is noticed, and the author does not make it difficult to notice the bias: Finnegans
Wake is best approached as autobiography, and its basic theme is James taking Stanislaus to task,
a spiteful settling of old accounts.« Für Jäger 2009, 112 liegt der Grund in den »verbalen Attacken
gegen die Person James Joyce« darin, dass Schmidt zu Stanislaus eine »persönliche Affinität entwickelt« habe.
45 Gradmann 1988, 162. Einen retrospektiven Überblick über den Forschungsstand in den 1960erJahren und die Kontroverse, die die Schmidt’schen Wake-Deutung ausgelöst hat, bieten Reichert
und Senn 1993, 7–10.
46 Stellennachweise in Rathjen 1988, Rathjen 1995 sowie Rathjen 2020b, 97–160. Während die
ersten beiden Bände alle James Joyce-Zitate und Anspielungen, chronologisch geordnet nach dem
Auftauchen in Arno Schmidts Werk präsentiert, präsentiert die neu erschienene Materialsammlung
dieselben Zitate geordnet nach ihrer Quelle bei James Joyce.
3 Die ›Übersetzung‹ von Finnegans Wake
319
üblichen Fesseln (semantische Äquivalenz, Orientierung an Textintention, keine
Zusätze etc.) befreit wird. Gerade weil der Versuch scheiterte, Finnegans Wake ins
Deutsche zu übersetzen, öffnen sich Möglichkeiten zur Umdeutung, wobei die Produkte des Übersetzens zum Zweck der eigenen literarischen Produktion zweckentfremdet wurden. Dieses Kapitel beschäftigt sich mit Schmidts Auseinandersetzung
mit diesem fremdsprachigen Text und dem literarischen Schaffen zweiter Stufe im
Anschluss daran.
Im Zentrum dieses Kapitels steht das Wake-Typoskript, um das sich eine Reihe
von weiteren Texten von Schmidt versammeln, die in denselben Jahren entstanden
sind. Diese Konstellation ist ein großer Glücksfall, insofern Schmidts Auseinandersetzung mit Finnegans Wake auf unterschiedlichen Ebenen überliefert ist. Dies
erlaubt es nicht nur, eine kontextbezogene Funktionalisierung von Textabschnitten
zu rekonstruieren, sondern ermöglicht auch einen Einblick in Zwischenstufen des
Übersetzungsprozesses. Das Kapitel versucht zunächst, die vorhandenen Texte und
Materialien dieser produktionsästhetischen Konstellation überblickend zu erfassen, um sich danach den Textstücken im Wake-Typoskript nacheinander aus drei
unterschiedlichen Perspektiven zu nähern und es als Übersetzung von Finnegans
Wake, als Kommentar dieses Werks sowie abschließend als eigenständige Textfragmente zu verstehen.
Die Materialien dieser Konstellation lassen sich in fünf distinkten Stufen der Bearbeitung assemblieren: der englische Text, die handschriftlichen Anmerkungen in
Schmidts Arbeitsexemplar, das eigentliche Typoskript mit den ›Übersetzungsproben‹, die Veröffentlichungen in Radio und Zeitung sowie die literarischen Texte
Schmidts, in die übersetztes Material aus Finnegans Wake eingegangen ist. Dazu
kommen zusätzlich die vor allem biografische Sekundärliteratur zu James Joyce
und Finnegans Wake in Schmidts Bargfelder Bibliothek,47 sowie verschiedene
Briefwechsel und Tagebucheinträge, die eine chronologische Verortung erlauben.
Die Grundlage für den Arbeitsprozess stellt der Text von Finnegans Wake von
James Joyce dar. Arno Schmidts Exemplar ist 1950 bei ›Faber and Faber‹ in London
erschienen und wurde von diesem gemäß Besitzvermerk auf dem Vorsatzblatt des
Buches im Jahr 1956 erworben.48 Diese Textausgabe stellt den Referenzpunkt für
jede Auseinandersetzung von Schmidt mit Finnegans Wake dar; seine Seiten- und
Zeilenzählung bezieht sich durchwegs darauf. Eine zweite Ebene stellen die hand-
47 Verzeichnet in: Gätjens und Jürgensmeier 2003.
48 Gätjens und Jürgensmeier 2003, 390: »549.6. Finnegans Wake. London, Faber and Faber, (1950).
2 Bl., 628 S., 1 Bl. Orig.-Leinen. (B 10.6.32/St. 2)«. Zitiert wird die Ausgabe nach dem Faksimile von
Arno Schmidts Arbeitsexemplar (A. Schmidt 1984) unter der Sigle FW.
320
III Arno Schmidt
schriftlichen Annotationen und Anmerkungen mit Blei- und Buntstiften dar, die
Schmidt direkt in sein Arbeitsexemplar von Finnegans Wake eingetragen hat. Diese
Kommentare zeigen eine intensive Auseinandersetzung mit dem ganzen englischsprachigen Text; es findet sich kaum eine Seite ohne handschriftliche Eintragung.49
Zu den Strategien, die dazu eingesetzt werden, den Text lesbar und verständlich zu
machen, gehören nicht nur die Kommentierung einzelner Worte am Seitenrand,
sondern auch die Segmentierung satzlogischer Einheiten, die Markierung von
rekurrierenden Wörtern sowie die Auszeichnung von Passagen, die als direkte Rede
gedeutet werden. Drittens ist ein separates Konvolut vorhanden, das gemäß dem
Deckblatt eine »Übersetzung ins Deutsche sowie Anmerkungen und ein Nachwort«
zu Finnegans Wake von Arno Schmidt enthält.50 Schmidt hat daran zwischen Mitte
Februar und Mai 1961 gearbeitet, die Entstehung des Texts auf dem Deckblatt jedoch
auf das Jahr 1960 zurückdatiert.51 Erhalten sind 24 großformatige52 Typoskript-Blätter mit Übersetzungen einzelner Passagen, wobei jede Typoskriptseite genau einer
Druckseite in Schmidts Arbeitsexemplar entspricht. Die Blätter sind einseitig mit
Schreibmaschine beschrieben und in unterschiedlichem Maße mit Text gefüllt; die
Spanne reicht von einigen wenigen Zeilen bis zur Wiedergabe der vollen Seite. Von
den 628 Druckseiten in Schmidts Wake-Ausgabe wurden 7 Seiten vollständig und
zusätzliche 12 Seiten partiell übersetzt; 5 Seiten des Typoskripts enthalten keine
Übersetzungen. Zum Typoskript gehören zusätzlich das Deckblatt sowie eine Seite
mit Vorbemerkungen, die das Vorgehen beim Übersetzen und die formalen Eigenheiten der Textpräsentation erläutern. Eine weitere Seite enthält keine Übersetzung
im engeren Sinn, sondern kommentierendes »Material« (FW-Ü 142).53 Zwei weitere
49 Man vergleiche die polychrome Wiedergabe dieser Eintragungen im Faksimile des Arbeitsexemplars: A. Schmidt 1984.
50 A. Schmidt 1984, s. pag. [Titelblatt]. Das Faksimile der Typoskript-Blätter ist der Reproduktion
von Schmidts Arbeitsexemplar lose beigelegt und wird unter der Sigle FW-Ü zitiert. Die ›Titelseite‹
und die ›Vorbemerkungen‹ des Typoskripts sind unpaginiert; ich zitiere sie im Fließtext jedoch mit
den kleinen römischen Ziffern, also als FW-Ü i und ii.
51 Rathjen 2015, 22.
52 Diese Blätter weisen ein ungewöhnlich langes und schmales Papierformat von 30,2 × 59,8 cm
auf (Angabe im Innendeckel von Schmidt 1984, das Faksimile gibt die Blätter »etwas verkleinert[]«
(Rathjen 2015, 22) wieder. Das Format war in seiner Breite durch die Öffnung von Arno Schmidts
12-Zoll-Schreibmaschine (12″ = 30,48 cm) beschränkt, während die Höhe des Bogens genug Platz lässt
für eine Kopfzeile und 36 Zeilen mit doppeltem Durchschuss. Das Papier ist also deutlich größer
als im Tagebucheintrag vom 16.2.1961 angekündigt: »Einfall zur Beschaffung von billigen Din A 3
Seiten, für FW=Übersetzung und Lilienthal.« (Rauschenbach 1996, 28; Hinweis Rathjen 2015, 22).
53 So enthält das Blatt zu Seite 402 unter anderem eine tabellarische Auflistung von zwölf Figuren,
die auf der entsprechenden Seite erwähnt werden, und die Schmidt als Statthalter für die zwölf
Monate dechiffriert.
3 Die ›Übersetzung‹ von Finnegans Wake
321
Bogen sind fast vollständig leer: Es handelt sich, wenn es überhaupt gestattet ist, das
Wort zu benutzen, um die ›Übersetzung‹ der Titelei zum dritten Teil des Buches. In
der Mitte von Seite 401 prangt deshalb eine stolze römische Drei, während das Blatt
zu Seite 402 neben der Kopfzeile, wie in der Vorlage, überhaupt keinen Text enthält.
Die Schmidt’schen Übersetzungsproben umfassen nur einen kleinen Bruchteil der
Textmenge von Finnegans Wake.54 Kriterien bei der Auswahl der übersetzten Textstellen lassen sich kaum identifizieren; auffällig ist aber Schmidts Verzicht darauf,
bei der Übersetzung am Anfang zu beginnen. Einzelne der übersetzten Seiten von
Finnegans Wake zeichnen sich durch besondere Merkmale aus, wie die Kritzeleien
auf Seite 308; andere, wie der größere Block der Seiten 401–406, gehen mit dem
Beginn des dritten Buchteils einher. Andere Abschnitte werden ohne Regel ausgewählt. So beginnt die erste übersetzte Passage auf Seite 30 nicht nur mitten in
einem Absatz, sondern gar mitten in einem Satz.
Vom Typoskript zu unterscheiden sind, viertens, die verschiedenen interpretativen und publizistischen Texte, die Schmidt im Zuge seiner Beschäftigung mit Fin
negans Wake in Form von Funkdialogen und Feuilletonartikeln veröffentlicht hat.
In diese deutschsprachigen Texte sind in unterschiedlichem Umfang kürzere
Übersetzungen und Kommentare von einzelnen Passagen aus dem Wake eingegangen. Dabei handelt es sich um die folgenden Texte, chronologisch geordnet nach
dem Zeitpunkt ihrer Entstehung:55 Schmidts erster Text zu Finnegans Wake ist der
Entwurf »Der Meister des Odysseus« (Niederschrift: Juni/Juli 1960)56 für einen von
Helmut Heißenbüttel erbetenen Radiobeitrag über James Joyce, den er verwirft,
um das Thema konziser zu fassen,57 und an dessen Stelle der Rundfunkdialog »Das
Geheimnis von Finnegans Wake« (Niederschrift: Juli 1960)58 und eine in Fließtext
umgearbeitete Artikelserie für die ZEIT mit demselben Titel treten (Niederschrift:
Nov. 1960).59 Diese Texte waren also schon gedruckt, bevor das Wake-Typoskript
entstanden ist. Im Jahr darauf, nach der Entstehung des Wake-Typoskripts, ent-
54 Der größte zusammenhängende Abschnitt umfasst die ersten Seiten des dritten Teils von Finne
gans Wake; weitere Abschnitte finden sich in den Kapiteln 1,2 (FW 30–31 und 39), 1,3 (FW 63–64), 1,6
(FW 166–167) und 1,7 (FW 182–184); 2,1 (FW 244–245; 259) und 2,2 (FW 308) sowie 3,1 (FW 401–406).
55 Die Chronologie der Texte folgt der Darstellung von Rathjen 2015, 19–24.
56 Vgl. BA S/1, 216–241, 387–388 [Anm.].
57 Rathjen 2015, 19–20.
58 Vgl. BA II/2, 433–473, 489 [Anm.]; zu den direkten Joyce-Zitaten, Rathjen 1988, 19, 46–50.
59 Vgl. BA III/4, 32–54, 470 [Anm.]. Diese Texte wurden als Artikelserie in der ZEIT veröffentlicht:
1. Das Geheimnis von Finnegans Wake. Eine neue Interpretation des Alterswerkes von James Joyce.
Von Arno Schmidt. In: Die Zeit vom 2.12.1960. 2. Seines Bruders Schmäher. Das Geheimnis von Finnegans Wake (II). Von Arno Schmidt. In: Die Zeit vom 9.12.1960. 3. Der Höllenschlüssel. Das Geheimnis
von Finnegans Wake. In: Die Zeit vom 16.12.1960; zu den Joyce-Zitaten, Rathjen 1988, 50–74.
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standen der Dialog »Der Triton mit dem Sonnenschirm« (Niederschrift: Juni 1961),60
worin große Teile der Wake-Übersetzung verwertet wurden, sowie der exegetische
Aufsatz »Kaleidoskopische Kollidier=Eskapaden« (Niederschrift: September 1961),61
der zu zwei Dritteln aus einer stichwortartigen kommentierenden Inhaltszusammenfassung des Texts besteht und der erst 1969 als Teil des Sammelbandes Triton
mit dem Sonnenschirm erschienen ist.
Die fünfte und letzte Schicht umfasst Schmidts literarische Texte, in die einzelne Bruchstücke aus den Joyce-Übersetzungen in unterschiedlichem Umfang
eingegangen sind. Dies gilt für den Erzählband Ländliche Erzählungen (1964). Insbesondere in den beiden Erzählungen Kundisches Geschirr und Piporakemes! zeigt
sich dabei eine ausgeprägte metatranslatologische Selbstreflexivität.62
Von Arno Schmidts Arbeitsexemplar von Finnegans Wake existiert ein Faksimile.63 Weitere grundlegende Materialien inklusive einer Chronologie und einer
Zusammenstellung von Joyce-Zitaten in Schmidts veröffentlichten Texten wurden
in zwei philologischen Publikationen von Friedhelm Rathjen erschlossen. Ferner
hat Rathjen bereits in den 1990er-Jahren einen Aufsatz zu Schmidts Wake-Übersetzung veröffentlicht, der versucht, eine Ehrenrettung des Texts vorzunehmen,
indem er die literarischen Qualitäten der Texte für sich betont und den Wake zu
einem »Textgenerator« erklärt, der eigene, neue Texte entstehen lässt64 und in
dieser Hinsicht den Boden für meine Überlegungen bereitet. Neben Rathjens Veröffentlichungen gibt es kaum substanzielle Publikationen zu Schmidts Auseinandersetzung mit Finnegans Wake.65
Schmidts intensive Auseinandersetzung mit Finnegans Wake, deren Chronologie Rathjen rekonstruiert hat, fällt vornehmlich in die Jahre 1960–1961. Dabei ist
es schlagend, wie sich Schmidts Selbsteinschätzung in Bezug auf den Wake innerhalb von wenigen Monaten grundlegend wandelt. Noch im Frühsommer 1960 hat
Schmidt das Gefühl, sich mit dem Text zu wenig auszukennen, um einen Radiotext
darüber zu verfassen, während er im Herbst bereits überzeugt ist, mit seiner These
vom verschlüsselten Bruderzwist über eine innovative Interpretation des Werks
60 Vgl. BA II/3, 31–69, 394 [Anm.]. Der Text des Dialogs mit dem in Klammern gesetzten Untertitel: »Überlegungen zu einer Lesbarmachung von FINNEGANS WAKE von James Joyce« wurde
1969 bei Stahlberg zusammen mit weiteren Schriften zu Joyce unter dem Titel »Der Triton mit dem
Sonnenschirm« (A. Schmidt 1969) veröffentlicht; dazu Rathjen 1988, 78–93.
61 Vgl. BA III/4, 115–129, 473 [Anm.] Der Text erschien zum ersten Mal in TmS (Triton mit dem
Sonnenschirm. Stahlberg 1969); Rathjen 1988, 95–99.
62 Zu letzterem Text, vgl. R. Simon 2014a.
63 A. Schmidt 1984.
64 Rathjen 2010b, 133.
65 Relevante Sekundärliteratur: Rathjen 2015; Hildesheimer 2006; Armonies 1995; Rathjen 1991;
(wieder in: Rathjen 2010b); Weninger 1986.
3 Die ›Übersetzung‹ von Finnegans Wake
323
zu verfügen, die zu einer grundlegenden Publikation führen wird.66 Im Frühjahr
darauf verfertigt er seine Übersetzungsproben, ohne aber vom Verlag einen Auftrag
und die Rechte zur Übersetzung erhalten zu haben.67 Damit setzt die Phase der
literarischen Textverwertung ein.
In dieser komplizierten Konstellation stellt das Typoskript den zentralen Nexus
dar, denn Material daraus gelangt in viele der publizierten Texte. Wenngleich ein
Blick auf die Chronologie zeigt, dass nicht alle Schmidt’schen Übersetzungen direkt
daraus hervorgegangen sein können,68 stellt das Typoskript die Schaltstelle dar,
welche die verschiedenen Publikationen mit dem englischsprachigen Ausgangstext
verknüpft.
Trotz der Charakterisierung als ›Übersetzung‹ ist der textuelle Status von Schmidts
Wake-Typoskript nicht so eindeutig, wie man dies erwarten könnte. Dies zeigt sich
nicht nur in der typografischen Textdarbietungsstrategie, die Kommentaren und
Anmerkungen einen zentralen Platz in einer zweiten Textspalte einräumt (s. u.),
sondern auch in der Charakterisierung des Typoskripts in den »Vorbemerkungen«.
Darin räumt Schmidt der Idee großen Platz ein, Finnegans Wake sei prinzipiell in
seiner Gesamtheit zu entschlüsseln. Sei man erst einmal »darauf [ge]kommen«,
dann sei die »Lösung« nicht selten »sehr 'einfach'« (FW-Ü ii). Überdies bezeichnet
Schmidt das Dokument – in polemischer Abgrenzung zu Georg Goyerts heftig kritisierter Übersetzung des Ulysses – als eine »Lesbarmachung« des englischen Texts,
die nicht mehr als eine »erste Näherung[]« (FW-Ü ii) sein könne. Der Begriff der Lesbarmachung wird auch in Schmidts publizistischen Texten zum Wake verwendet,
wobei Schmidt ihn zum Gegenteil einer Übersetzung erklärt, die ihm bei einem Text
wie Finnegans Wake als unmöglich erscheint:
Eine ‹Übersetzung› im normalen Sinne des Begriffes ist nicht möglich; da wohl noch Rhythmus
& Vokalharmonie, niemals aber die hoffnungslos auf englischer Orthografie & Aussprache
aufgebauten Wortwitze unter genauer Erhaltung ihres Doppel= und Dreifachsinns in einer
anderen Sprache wiederzugeben wären. Was jedoch sehr möglich wäre – und längst hätte
geschehen sollen: […] das wäre eine seiten= und zeilengetreue ‹Entzerrung ins Deutsche›;
eine Lesbarmachung unter Zugrundelegung eines der erwähnten Lesemodelle. (BA III/4, 128)
66 Rathjen 2015, 20–23.
67 Rathjen 2015, 23. Vgl. auch Drews 2014c, 58: »Unglücklicherweise wurde in den Jahren um 1960
trotz großer Bemühungen Schmidts nichts aus jenem großen Übersetzungsprojekt […]. Damals
schrieb Schmidt einen Brief an mehrere deutsche Verlage mit dem Angebot, ›Finnegans Wake‹ von
James Joyce in etwa drei- bis fünfjähriger Arbeit für ein Honorar von 36 000 Mark zu übersetzen.«
68 Den Artikel »Das Geheimnis von Finnegans Wake« (BA III/4, 32–54) publizierte Arno Schmidt in
drei Teilen im Dezember 1960 in der ZEIT (vgl. Müther 2019, 920–921). Dieser Text enthält bereits
Übersetzungen einzelner Sätze, obgleich der Artikel publiziert wurde, bevor die Typoskript-Blätter
entstanden sind.
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III Arno Schmidt
Eine so definierte Lesbarmachung bringt demnach immer eine Reduktion der
Bedeutungsmöglichkeiten des Texts mit sich, insofern die ›Übersetzung‹ bereits
vor dem Hintergrund eines bestimmten Lesemodells, das heißt, einer bestimmten
interpretatorischen Position erfolgt. Von den verschiedenen Lesarten eines Mehrfachsinns werden damit nur jene aufgegriffen, die sich in dieses Modell integrieren
lassen, was – dies scheint zumindest die Hoffnung zu sein – zu einem kohärenten
und verständlichen Text führen soll. Nun ist der Aufsatz Kaleidoskopische Kolli
dier=Eskapaden, aus dem dieses Zitat stammt, erst ein halbes Jahr nach dem WakeTyposkript entstanden und reflektiert damit bereits die praktische Erfahrung der
übersetzerischen Auseinandersetzung mit Finnegans Wake. Gleichwohl scheint der
Begriff der Lesbarmachung bereits zu diesem früheren Punkt ähnlich konzipiert
gewesen zu sein, denn die Idee der Lesemodelle tauchte schon im Herbst zuvor auf,
als Schmidt dem »kultischen« Lesemodell (BA III/4, 34) aus dem Skeleton Key von
Campbell und Robinson ein »zweites Lesemodell« (BA III/4, 35) entgegenzustellen
versucht, das in jedem Satz des Wake den tiefen Bruderzwist zwischen James und
Stanislaus Joyce verschlüsselt sieht, sodass es sich dabei um »eines der infamsten
Pasquille der Weltliteratur handle« (BA III/4, 36). Dabei bleibt es offen, wie weit der
Geltungsanspruch von Schmidts These geht. Zunächst ist von einem in »sich widerspruchsfreie[n] Lesemodell[]« (BA III/4, 34) die Rede. Dies lässt es zu, dass auch in
Schmidts Perspektive zwei (oder mehr) Lesemodelle gleichwertig nebeneinanderstehen können. Der Nachdruck, mit dem sich Schmidt in der Folge aber gegen das
kultische Lesemodell von Campbell und Robinson wendet, deutet darauf hin, dass
er für sein eigenes Lesemodell exklusive Geltung beansprucht.
Schmidts Wake-Typoskript, insofern es einer Lesbarmachung des Texts im Sinne
eines bestimmten Lektüremodells verpflichtet ist, ist Übersetzung und Kommentar
zugleich. Es überführt den Text in eine andere Sprache, verfolgt aber eine eigene
Agenda: Ziel ist es, Verstecktes zu entschlüsseln und an die Oberfläche zu holen.
Dabei findet beim Übersetzen eine Umkehrung der üblichen Texthierarchie statt.
Das Übersetzen stellt sich nicht in den Dienst des ursprünglichen Texts, sondern ist
erster Linie der Interpretation verpflichtet. Fasst man Schmidts Bruderzwist-Theorie als Fehl- und Überinterpretation69 des Texts auf, so liegt hier ein Fall vor, in dem
der unrechtmäßige Gebrauch eines Texts im Sinne Ecos tatsächlich in Kombination
mit dem wilden Übersetzen stattfindet. So wie die Schmidt’sche Interpretation die
Grenzen der hermeneutischen Billigkeit überschreitet, so überschreitet sein Wake69 Die Rezension von Senn 1970, 272 steht stellvertretend für die gesamte englischsprachige JoyceForschung, in der die Bruderzwist-These als indiskutabel gilt: »This book may mislead unWaked
German readers, but Joyceans who are unlikely to be shaken in their fundamental beliefs by the
somewhat lopsided views put forth with great vigour, and who can take some erratic readings in
their stride, may find it amusing after all the trite notes that we tend to provide.«
3 Die ›Übersetzung‹ von Finnegans Wake
325
Text die Normen des regulären Übersetzens, wobei beide Transgressionen mit Blick
auf dasselbe argumentative Ziel erfolgen.70
Als zwei Modi des Umgangs mit einem fremden Text laufen ›Übersetzen‹ und
Kommentieren bis zu einem gewissen Punkt kongruent zueinander. Beide haben
das Ziel, einem Publikum einen Text zugänglich zu machen, der diesem aufgrund
von Differenzen im sprachlichen und kulturellen Code unzugänglich ist. Dennoch
unterscheiden sich die Funktionen im Einzelnen markant. Wo das Übersetzen auf
einen einzigen Text abzielt und daher die diversen Polysemien des Ausgangstexts
in sich aufnehmen muss, zielt der Kommentar auf deren explizite Offenlegung und
dabei in vielen Fällen auf Vereindeutigung. Ebendarum bietet es sich an, Schmidts
Beschäftigung mit Finnegans Wake unter diesen beiden Aspekten gesondert darzustellen. Damit gehen auch unterschiedliche Blickrichtungen einher: Die übersetzungskritische Perspektive nimmt den englischsprachigen Text als Ausgangspunkt
und erschließt sich den deutschen Text erst vor diesem Maßstab und nach der
Maßgabe der impliziten Erwartungen an eine reguläre Übersetzung. Die Kommentarperspektive führt zu einer Umkehrung der Verhältnisse und zu einer Lektüre des
englischen Texts vor dem Hintergrund des Deutschen. Diese beiden Perspektiven
nehmen den Text in seinem Bezug auf den jeweils anderen Text wahr. Es bietet
sich darum an, Schmidts Wake-Typoskript noch in einer dritten Hinsicht zu untersuchen: Als einen für sich stehenden Text, bei dem sich die Frage nach seiner Literarizität stellt. In den nächsten drei Abschnitten soll je eine der drei Perspektiven auf
das Wake-Typoskript eingenommen werden: Zunächst die Perspektive der Übersetzungskritik und jene des Kommentars, um schließlich das Wake-Typoskript für
sich allein zu untersuchen.
3.1 Das Wake-Typoskript als Übersetzung
Die übersetzungskritische Perspektive fragt, was von Finnegans Wake in Schmidts
Typoskript erhalten bleibt. Die Entscheidung, keine Übersetzung im engeren Sinne,
sondern eine Lesbarmachung des Texts vorzunehmen, führt – wie sich zeigen wird –
dazu, dass sowohl die Mehrsprachigkeit als auch die Polysemie des Ausgangstexts
zurückgenommen werden. Gleichwohl wird das Konvolut von Typoskriptblättern
auf dem Deckblatt als eine »Übersetzung ins Deutsche« (FW-Ü i) deklariert, was
die Erwartung an den Text entscheidend prägt. In den »Vorbemerkungen« zum
Typoskript werden das Vorgehen beim Prozess der Übertragung und die formale
70 Vgl. Eco 1990a, 47–48, darauf die Entgegnung von Culler 1994, der sich für ›Überinterpretation‹
ausspricht.
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III Arno Schmidt
Konzeption des Wake-Typoskripts ausführlich dargestellt, wobei das Augenmerk
auf der Explikation der typografischen Gliederung der einzelnen Seiten liegt. Dabei
wird das Konvolut ausdrücklich als Übersetzung präsentiert, wobei die minutiösen
Bemerkungen den Eindruck höchster philologischer Exaktheit vermitteln. So wird
festgelegt, die Übersetzung erfolge »seiten= und zeilengetreu« (FW-Ü ii), sodass
zur deutschsprachigen Übersetzung auch die englischsprachige Sekundärliteratur
herangezogen werden könne. Auch wird am linken Rand des Haupttexts eine Zeilenzählung eingefügt. Diese enge formale Bindung an den Ausgangstext ist zwar für
die künftige Leserschaft, die sich den englischen Text mithilfe dieser Übersetzung
erschließen will, von großem Nutzen, insofern die parallele Lektüre beider Texte
vereinfacht wird. Gleichzeitig stellt sie aber eine übersetzerische Herausforderung
dar. Durch den engen zeilenweisen Bezug zwischen Ausgangs- und Zieltext, dürfte
der Text zu einer starken Ausrichtung an der Syntax und am Wortlaut der Vorlage
tendieren. Angesichts der vielfach langen Sätze in der englischen Vorlage und der
sparsam eingesetzten Interpunktion ist dies allerdings nicht leicht zu realisieren.
Hinzu kommt, wie Schmidt in seinen übersetzungskritischen Publikationen der
Fünfzigerjahre selbst festhält,71 dass eine deutsche Übersetzung aus dem Englischen
aufgrund der unterschiedlichen Wort- und Satzlängen der beiden Sprachen übers
Ganze gesehen etwas mehr Platz einnimmt als die Vorlage. Als heuristisches Instrument zur Beurteilung der Qualität von Übersetzungen definiert Schmidt einen auf
die Zahl der Buchstaben bezogenen »Vergrößerungsfaktor«, der bei »sorgfältig
gearbeiteten Übersetzungen« vom Englischen ins Deutsche bei 1,1 zu liegen habe
(BA III/4, 9).72 Liegt der Faktor darunter, dann sei dies ein Indiz von Kürzungen, liege
er darüber, sei der Text bei der Übersetzung »verwässert« worden (BA III/4, 350).
In den Übersetzungsproben, die Schmidt im Triton abdruckt, unterbietet er diese
Vorgabe. Kaum je kommt er über einen Faktor von 1,04 hinaus; in zwei Abschnitten
71 Diese »jedem Leser bei der Beurteilung von Übersetzungen aus dem Angelsächsischen anzuempfehlende Klugheitsregel« (BA III/4, 9) findet sich zuerst in Von deutscher Art und Kunst (1959); Schmidt
selbst bezeichnet sie bereits dort den »Schmidt’schen Vergrößerungsfaktor« (BA III/4, 9). Die Faustregel wird dann in vielen weiteren Besprechungen angelsächsischer Übersetzungen von Schmidt
verwendet, um die Qualität einer Übersetzung zu beurteilen, so in seinem Essays Das Buch Mormon
(BA III/3, 69), Schutzrede für ein Graues Neutrum (BA III/3, 349). Ausdrücklich an Arno Schmidt angelehnt, versuchte Stalph 1994, 485 nach demselben quantitativen Prinzip auch für Übersetzungen
vom Japanischen ins Deutsche einen »Äquivalenzwert« als Bewertungsmaßstab festzulegen.
72 Die bemerkenswerte Kürze der Wake-Übertragungen bemerkt Rathjen 1988, 204, Schmidts
Vermögen, Finnegans-Wake so »ohne nennenswerten Mehrbedarf an Wörtern in eine deutsche
Fassung zu bringen, verlangt dem Wortstatistiker ein Staunen ab«, und er schließt daraus, dass
Schmidt notwendigerweise semantische Einbußen in Kauf genommen haben müsse, denn es sei
unbestritten, dass eine Übersetzung von Finnegans Wake, die »auch nur annähernd alle im Urtext
vorhandenen Sinnbezüge bewahren will, additive Verfahren anwenden« müsse (Rathjen 1988, 205).
3 Die ›Übersetzung‹ von Finnegans Wake
327
werden sogar weniger Zeichen verwendet als im Ausgangstext. Bedenkt man, dass
Wortspiele mehrere Bedeutungsebenen übereinanderlegen und damit Informationen im Text weiter verdichten, so stellt sich der formalistische Anspruch auf eine
zeilengetreue Wiedergabe des Texts noch schwieriger zu erfüllen dar.73 Rathjens
begründet dies mit der Feststellung, Schmidt habe den Wake regelmäßig in verkürzender Weise übersetzt, auf Wortreihungen und lange Komposita weitgehend
verzichtet und damit die komplexen Mehrfachbedeutungen des Wake im Haupttext
seiner Übersetzung nicht immer hinreichend wiedergegeben. Diese Reduktion des
mehrfachen Schriftsinns, die Rathjen anhand der Übersetzungsproben im Triton
diagnostiziert, dürfte sich nicht zuletzt durch die formal-typografische Vorgabe der
Zeilentreue im Typoskript erklären, in dem die rechte Spalte zumindest konzeptuell
für Bedeutungsdifferenzierungen vorgesehen ist.74
Diese Parallelisierung zielt darauf ab, die Übersetzung so zu konzipieren, dass
sie nicht für sich allein konsultiert wird, sondern ein permanentes Vergleichen mit
der Vorlage nahelegt. Bereits diese formale Ausgangslage hält dazu an, die Übersetzung als eine Art Krücke zu verstehen, die einem Publikum, das die englische
Sprache beherrscht, von der sprachlichen Komplexität des Wake aber überfordert
ist, einen leichteren Zugang hin zu einem ersten Verständnis des Texts ermöglicht.
Die Tendenz zum Kommentar ist dem Typoskript unmittelbar eingeschrieben.
Trotzdem ist dieser Hinsicht auf das Typoskript eine übersetzungskritische Perspektive entgegenzustellen, die genau in die andere Richtung geht und versucht,
sich die Konstellation vom englischen Text her zu erschließen. Diese Blickrichtung
muss, wenn sie den Erwartungen und Gesetzen des regulären Übersetzens verpflichtet ist, die klassische Frage nach Gewinn und Verlust beim Übersetzen stellen,
das heißt, welche Bedeutungspotenziale und sprachlichen Eigenheiten von Finne
gans Wake sich auch im Typoskript wiederfinden lassen. Sie kann sich nicht auf
das Typoskript allein verlassen, sondern muss sich die Bedeutungspotenziale von
Finnegans Wake selbstständig erschließen.
Das Ideal einer solchen Übersetzungskritik verlangt danach, dass alle Bedeutungsmöglichkeiten des Ausgangstexts bekannt sind, um im Vergleich dazu die
Differenz zu markieren. Hier stellt sich das methodologische Problem, dass ein
umfassendes Verständnis dieses Texts nicht zu erreichen ist. Es scheint auch im
Sinne einer historisch adäquaten Rekonstruktion angemessen, diese Untersuchung
darauf zu beschränken, bei der Rekonstruktion der einzelnen Textstellen aus-
73 So kommt man für die mittlere Spalte in Schmidts Typoskript, die den übersetzten Text enthält,
knapp über 80 Zeichen pro Zeile (inklusive Leerzeichen); während selbst eine eng gedruckte Druckzeile in Schmidts Wake-Ausgabe von Faber & Faber kaum mehr als 60 Zeichen enthält.
74 Tabelle bei Rathjen 1988, 204.
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III Arno Schmidt
schließlich auf jene Werke der Sekundärliteratur zum Wake zurückzugreifen, die
auch Arno Schmidt zum Zeitpunkt der Entstehung des Übersetzungstyposkripts
nachweislich zur Verfügung standen.75 Im direkten Vergleich einzelner Passagen
lassen sich dabei hinsichtlich der Veränderungen klare Tendenzen feststellen,
die bei der übersetzerischen Bearbeitung des Texts entstanden sind. Dazu gehört
die sprachliche Vielfalt, genauer: die Semiodiversität76 des Ausgangstexts, die in
Schmidts Typoskript nur in geringem Maße wiedergegeben wird. Selbst in Fällen,
in denen eine Nachbildung eines Worts in deutscher Sprache problemlos möglich
wäre, wird das Wort im Typoskript in vielen Fällen durch eine generische Form
wiedergeben, die zwar den Begriffsgehalt abbildet, die außergewöhnliche Wortwahl des Ausgangstexts aber gänzlich ignoriert.
So wird das Wort »ethnarch«, bei James Joyce aus gr. ἔθνος (Volk) und ἀρχός
(Herrscher) zusammengesetzt, schlichtweg mit »König[]« (FW-Ü 30:20) wiedergegeben, das Wort »obscuritads« mit seinen spanischen Anklängen trotz der Existenz
des deutschen Worts ›Obskuritäten‹ mit »Finsternissen« (FW-Ü 244:15); desgleichen
wird »scielo«, das dem spanischen ›cielo‹ (Himmel) den Anlaut des englischen ›sky‹
verpasst und beiden Wörtern damit eine gemeinsame etymologische Wurzel einschreibt, geradezu banal als »mein Himmel« übersetzt (FW-Ü 244:25) Die vielfältige
Sprachigkeit77 der Wörter unterschlägt Schmidt durchwegs, sie wird auch in der
Randspalte kaum benannt. Diese Übersetzungen verletzen zwar nicht das Prinzip
denotativer Äquivalenz, geben den Text aber trotzdem nicht adäquat wieder, insofern sie den Wake von seiner sprachlichen Vielfalt befreien.
Deutlich zeigt sich die Tendenz hin zur Monolingualität des Deutschen auch
bei der Wiedergabe der eröffnenden Passagen des dritten Teils. Dieser beginnt, so
rekonstruieren Campbell und Robinson im Skeleton Key, mit nächtlichem Glocken-
75 Es gibt zwei Quellen, um zu rekonstruieren, auf welche Sekundärliteratur Schmidt zugreifen
konnte: Erstens, das Abkürzungsverzeichnis am Ende der Vorbemerkungen des Typoskripts selbst;
zweitens, die verzeichnete Sekundärliteratur in Arno Schmidts Bibliothek mit einem Erscheinungsdatum oder einem Datumseintrag auf dem Vorsatzblatt vor Mai 1961. Unter den 11 Titeln im »Verzeichnis der Abkürzungen« finden sich vor allem die anderen literarischen Texte von James Joyce
(inkl. »'Scribbledehobble' (J.J.'s Notizbuch)«, zum Wake [FW-Ü ii]) und Stanislaus Joyce’ My Brothers
Keeper, plus die Biografien von Gorman 1957; und Ellmann 1959 sowie, ganz zuoberst, den Skeleton
Key von Robinson und Campbell 1944, der mit großer Wahrscheinlichkeit den einzigen Stellenkommentar zum Wake darstellt, den Schmidt konsultierte. Im Bibliotheksverzeichnis finden sich ein
Band einer Ausgabe der Briefe von James Joyce (Gilbert 1957), die Memoiren von Colum und Colum
1959, die beiden literaturwissenschaftlichen Schriften von Tindall 1959 sowie Atherton 1959. Ein
kommentiertes Verzeichnis von Schmidts Joyce-Handbibliothek bietet der Materialienband von
Rathjen 2020b, 53–95, der auch Schmidts Rezeptionsspuren darin verzeichnet.
76 Dembeck 2021, 360, 347–348 (zum Begriff ›Semiodiversität).
77 Vgl. Arndt, Naguschewski und Stockhammer 2007, 26, siehe S. 54 (Anm. 121).
3 Die ›Übersetzung‹ von Finnegans Wake
329
schlag und der Stimme des Nachtwächters, der die Stunden ausruft, während das
Elternpaar im Bett liegt.78
Hark!
Tolv two elf kater ten (it can’t be) sax.
Hork!
Pedwar pemp foify tray (it must be) twelve.
(FW 403:1–4)
Die nächtliche Stunde ist nicht zu bestimmen; die Zahlen gehen wild durcheinander,
nicht nur in ihrer Folge, sondern auch in ihrer sprachlichen Herkunft, als seien sie
halb geträumt. So scheint auch Schmidt die Szene aufzufassen, der in der rechten
Spalte des Wake-Typoskripts in einer handschriftlichen Anmerkung die beiden einzelnen Wörter als Schnarchlaute deutet und der Person einen »¾=Schlaf« attestiert;
eine Kontextualisierung, die mit der Deutung im Skeleton Key weitgehend übereinstimmt.79
Die handschriftlichen Eintragungen in Schmidts Arbeitsexemplar von Fin
negans Wake erlauben es im Detail zu rekonstruieren, wie die Passage im Zuge
des Übersetzens einer Entschlüsselung unterzogen wurde. Links neben dem Wort
»pedwar« ist mit Bleistift vermerkt: »Welsch 4«, über »pemp«, dem zweiten Wort
in dieser Zeile wird verzeichnet: »Armenisch 5«. Am oberen Seitenrand finden sich
darüber hinaus die beiden ungeordneten Zahlenreihen, die als das semantische
Gerüst dieses Abschnitts identifiziert wurden, denn die beiden Ausrufe und auch
die Klammerbemerkungen werden ausgelassen.
12
4
2
5
11
5
4
3
10
…
6
12
Indem zur Wiedergabe arabische Ziffern eingesetzt werden, präsentieren sich die
beiden Zeilen übersprachlich: Die Zahlen werden konzeptuell dargestellt, ohne
dass festgelegt wird, in welcher Sprache sie auszusprechen sind. Die sprachliche
Diversität der Passage wird in den handschriftlichen Anmerkungen zwar gekennzeichnet, gleichzeitig wird davon abstrahiert, indem als Kern des Abschnittes eine
reine Zahlenreihe präsentiert wird. Und so ist die Übersetzung im Haupttext fast
durchgehend deutsch.
78 Robinson und Campbell 1944, 258: »This chapter opens with the night sounds of bells tolling an
unidentifiable hour, and the voice of the watch. We view the parental couple in bed.«
79 Robinson und Campbell 1944, 258.
330
III Arno Schmidt
Haarrch !*
Zwölf; Zwei; Elf; Quater; Zehn; (es kann nicht) Sex sein.
Horrch !
Viere; Pümpf; Fümmewe; Drei; (es muß wohl) Zwölf sein.
(FW-Ü 403:1–4)
Das schwedische Wort »tolv« wird in dieser Liste genauso auf seinen reinen Zahlenwert reduziert, wie auch die englischsprachigen Zweit-Lesarten zu den deutschen
Zahlwörtern »elf« (›Elfe‹/›Alb‹) und »tray« (›Tablett‹) in dieser Übersetzung vollständig nivelliert werden. Die einzige Information, die in diesem Kontext für die Übersetzung als relevant gesetzt wurde, scheint das verquere Zählen zu sein, während
alle anderen Aspekte irrelevant zu sein scheinen. Im englischen Text findet zwischen dem ersten und dem letzten Element der mehrsprachigen Zahlenwörterreihe ein textinterner Übersetzungsvorgang statt: Das schwedische ›tolv‹ wird ins
englische ›twelve‹ überführt. Auch dies wird in der Übersetzung in keiner Weise
repräsentiert: Hier sind das erste und das letzte Wort der Reihe identisch. Doch die
Entscheidung zur Reduktion auf die reine Denotation der Begriffe wird gleichwohl
nicht konsequent durchgeführt.
Gewisse Verfremdungen werden auch im Zieltext aufgegriffen. Dabei wird
jedoch, mit einer Ausnahme, darauf verzichtet, auf Elemente zurückzugreifen, die
aus anderen Sprachen als der Deutschen entstammen. Vielmehr wird die entfallene
sprachliche Diversität zumindest in der zweiten Zahlenreihe durch einige gemäßigte dialektale Abweichungen vom Standarddeutschen kompensiert. Der Grad
der Verschlüsselung wird dadurch reduziert. Während »Pedwar« und »pemp« sich
vor dem Hintergrund des lexikalischen Inventars der englischen Sprache abheben,
sind »Pümpf« und »Fümmewe« problemlos auf ›fünf‹ zurückzuführen. Selbst im
einzigen Fall, in dem die fremdsprachige Wortform per se erhalten bleibt, wird
das damit verbundene Wortspiel beseitigt. In Schmidts Übersetzung wird zwar das
lateinische Iterativzahlwort »Quater« (=viermal) erhalten, die Orthografie wird im
Vergleich zum Ausgangstext aber normalisiert und vereindeutigt: Im englischen
Text von Finnegans Wake kann das lateinische Zahlwort aufgrund seiner veränderten Orthografie (»kater«) hingegen auch mit dem Schlüssel der deutschen Sprache
gelesen werden. Im Wake-Typoskript hingegen findet sich von dieser männlichen
Katze keine Spur mehr. Dabei gibt es keinen zwingenden Grund dafür, dieses Wortspiel, das sich einem deutschen Publikum leichter erschließt als einem englischen,
im Übersetzungsprozess zu tilgen. Selbst die Etablierung einer zweiten parallelen
Spalte, welche die nicht wiederzugebenden Aspekte polysemer Passagen aufnehmen könnte, wird in diesem Abschnitt nicht dafür genutzt, diese zusätzlichen
Informationen aufzunehmen. Durch all diese Anpassungen wird im Übersetzungsprozess performativ eine klare Unterscheidung etabliert: Zwischen relevanten
Aspekten des englischen Texts einerseits und solchen, die diesem nur akzidentell
3 Die ›Übersetzung‹ von Finnegans Wake
331
zukommen. Zum ersten Teil werden semantische Grundstrukturen (wie die wirre
Zahlenreihe im vorliegenden Beispiel) gezählt, während Aspekte der rhetorischen
Durchformung des Texts (wie Wortspiele, Mehrdeutigkeiten und Wechsel zwischen
Sprachen) im Typoskript nicht widergespiegelt werden. Die Bearbeitung zeigt also
eine Präferenz, auf die Ebene der Signifikate zu gelangen, während die Polyvalenz
der Signifikanten unbeachtet bleibt.
Geht in den besprochenen Beispielen im Übersetzungsprozess durchweg Information verloren, bleibt noch der Fall der Wiedergabe des letzten Zahlworts in der
ersten Zeile. Das Wort »sax« (FW 403) unterscheidet sich vom Zahlwort ›six‹ nur
durch den Vokal. Es bedeutet, lateinisch aufgefasst, ›Stein‹; alternativ bezeichnet es
eine Hiebwaffe sowie das Instrument ›Saxofon‹. Obwohl genau dieselben drei Buchstaben im Deutschen über dasselbe Bedeutungsspektrum verfügen, entscheidet sich
Schmidt dagegen, es entsprechend wiederzugeben. An dessen Stelle verändert er
die Lautung und setzt »Sex« (FW-Ü 403) ein. Dadurch unterstellt er dem Wake eine
erotisch-sexuelle Dimension, die diesem zumindest an dieser Stelle nicht gegeben
ist. Wenngleich dieses Verfahren im Wake-Typoskript nur selten zum Einsatz
kommt, wird genau diese Form der entlarvenden Übersetzung, die die im Text versteckte Perversion an die Oberfläche zu heben versucht, im Zuge der Auseinandersetzung mit Edgar Allan Poes literarischem Werk in Zettel’s Traum eine zentrale
Rolle spielen. Trotzdem bemerkt auch Rathjen, Schmidts Übersetzungen erlaubten
sich im Vergleich mit anderen Übersetzern von Finnegans Wake in den »kreativen
Momenten wesentlich mehr Freiheiten gegenüber dem Original«.80 Rathjen verweist dabei auf extreme Fälle »bis hin zur absichtlichen Nasführung des Lesers,
die aus ›Asia in Ireland‹ ›Asia in Zornland‹ macht«;81 weil sich darin das englische
Wort ›ire‹ (Zorn) verbirgt. Genauso entscheidend sind die kleinen Abweichungen
beim Übersetzen, die in beiläufiger Zugabe und Umstellung einzelner Buchstaben
geschehen. Diese sprachspielerische Kreativität zeigt sich nicht nur wie oben beim
Wort »Sex«, sondern auch bei der Übersetzung der Phrase »for behemuth and
mahamoth« (FW 36), worin Schmidt einerseits die anagrammatische Vertauschung
der Endsilben korrigiert, sodass sich das hebräische Ungeheuer »Behemoth« nicht
mehr nur in der Latenz des Wortspiels befindet (FW-Ü 36); dem anderen Wort verpasst er aber zusätzlich an der Stelle des ›h‹ ein Doppel-›m‹, sodass das Mammut
zum »Mammamut« (FW-Ü 36) wird, wodurch aus diesem eine Instanz der großen
Mutter wird.
Ähnlich wild übersetzt Schmidt in gewissen Fällen, indem er gänzlich darauf
verzichtet, die literale Bedeutung zu übersetzen, sodass nur ein Wortspiel seinen
80 Rathjen 1988, 210.
81 Rathjen 1988, 206.
332
III Arno Schmidt
Weg in die Übersetzung findet. Ein solches Beispiel findet sich im Falle der folgenden Dialogsequenz – »where’s he? At house, to’s pitty.« (FW 244:19–20), wobei in
Schmidts Arbeitsexemplar ein Bleistifteintrag das ›s‹ und ›p‹ über das Spatium
hinweg mit einem Bogen verbindet. Schmidt übersetzt im Typoskript: »wo ist er ?
Zuhaus; zum Spucken speien« (FW-Ü 244:19–20). Diese Übersetzung, ganz gleich in
welcher Variante, ergibt sich nur, wenn man das ›s‹ direkt an das folgende Wort
anschließt und den Leerschlag dazwischen ignoriert, obwohl es in diesem Fall grammatisch weitaus naheliegender wäre, das apostrophierte ›s‹ als umgangssprachliche
Verkürzung des Personalpronomens ›his‹ aufzufassen. Die Auskunft müsste daher
lauten, der männliche Protagonist sei zu Hause, und zwar zu seinem Leidwesen (›to
his pity‹); schließlich könnte er ja auch im Wirtshaus oder sonst wo sitzen.
Schmidt reduziert in seiner Übersetzung nicht nur die Mehrsprachigkeit,
sondern auch die semantische Mehrdeutigkeit und gibt dem Text stellenweise
gezielt eine neue Ausrichtung. Dass diese mit den klassischen Erwartungen an
eine Übersetzung kaum zur Deckung zu bringen ist, versteht sich von selbst. Die
Reaktionen auf Schmidts Umgang mit dem Wake werden am Ende des nächsten
Abschnittes thematisiert. Zunächst aber gilt es, die ›Lesbarmachung‹ des Wake von
der anderen Seite her zu betrachten: in seiner Funktion als Kommentar zum englischen Text.
3.2 Das Wake-Typoskript als ›Lesbarmachung‹
Schmidt folgt im Typoskript einer Idee, die sich auch in allen begleitenden publizistischen Texten findet: dass Finnegans Wake ein einfaches Modell von Chiffrierung
und De-Chiffrierung zugrunde liege. Dass also Joyce eine oder mehrere Bedeutungen in den Text hineingelegt und die sprachliche Oberfläche artifiziell verdunkelt
habe, was die Lektüre zwar erschwere, aber nicht unmöglich mache. Der notwendige Prozess der Entschlüsselung wird als hermeneutische Herausforderung dargestellt, die noch nicht vollständig gemeistert sei, die im Prinzip jedoch durchaus
geleistet werden könne.
Den Anmerkungen wird im Wake-Typoskript viel Platz eingeräumt. Gemäß
Schmidts »Vorbemerkungen« (FW-Ü i–ii) ist der rechte Rand der Typoskript-Seite
für Kommentare und Anmerkungen zu einzelnen Formulierungen im Haupttext
reserviert, die mit einem Asterisk gekennzeichnet werden. Für diese Marginalien
werden vier unterschiedliche Funktionen spezifiziert: Sie dienen erstens dazu,
weitere Bedeutungsebenen von englischen Wörtern zu verzeichnen, die sich im
Haupttext der Übersetzung nicht unterbringen lassen. Diese Varianten werden
durch ein ›V:‹ eingeleitet. Angesichts der wortspielerischen Sprache in Finnegans
Wake treten diese Explikationen von Polysemie in Schmidts Typoskript bemerkens-
3 Die ›Übersetzung‹ von Finnegans Wake
333
wert selten auf.82 Zweitens werden die Marginalien für »Anmerkungen des Übersetzers« im engeren Sinne verwendet, die durch runde Klammern gekennzeichnet
sind. Diese Anmerkungen dienen teils dem klassischen Sachkommentar. Sie werden
daneben aber auch zur Aufschlüsselung von Wortspielen in der Übersetzung eingesetzt, und um den Literalsinn einer im Text geschilderten Konstellation zu benennen, der aus der Darstellung erst rekonstruiert werden muss.83 Schließlich werden
die Anmerkungen an wenigen Stellen sogar für direkte Lektüre-Anweisungen – an
Schmidt selbst oder ans Publikum? – verwendet, wie in FW-Ü 30:14, wo es heißt:
»ab hier Doppelsinnigkeit beachten !« Drittens werden die Marginalien dazu eingesetzt, im Finnegans Wake motivisch verwendete »Symbolworte« (FW-Ü ii)84 zu
kennzeichnen; viertens wird ein Nummerncode etabliert, um das Auftauchen von
wichtigen Figuren im Text zu verzeichnen. Die letzten beiden Punkte dienen dazu,
die schnelle Erschließung des Texts zu erleichtern.
Der Einsatz mehrspaltiger Textlayouts ist in literarischen Texten von Arno
Schmidt nichts Außergewöhnliches, im Jahr 1961 aber noch etwas recht Neues,
denn Kaff auch Mare Crisium, das die Simultaneität unterschiedlicher Handlungsstränge und -perspektiven zum ersten Mal durch eine typografische Parallelisierung abbildete, erschien im Jahr zuvor.85 Dennoch unterscheidet sich die rechte
Spalte der Wake-Übersetzung von diesen früheren Mehrspaltentexten, insofern
die geschlossene narrative Darstellung in kleinste Anmerkungen zerteilt wird. In
diesem fragmentierten Zustand nehmen die marginalen Vermerke das Mehrspal-
82 So wird beispielsweise das Wort »earwuggers« in der mittleren Spalte als »Ohrwürmer« wiedergegeben; dazu kommen in der Marginalie zwei weitere Lektürevarianten »V.: Einflüsterungen,
'Ohrenbläsereien'« (FW-Ü 31:11). Bei der Übersetzung dieser Passage ist die Herausforderung, dass
es sich bei jener kleinen Episode um einen humoristischen Versuch handelt, zu erklären, wie
»Humphrey Chimpden Earwicker« zu seinem Namen gekommen ist, was Schmidt dem Skeleton
Key (Robinson und Campbell 1944, 56) hätte entnehmen können. In diesem textinternen ›etymologischen‹ Zusammenhang scheint es weitgehend vernachlässigbar zu sein, dass »earwuggers« auch
»Einflüsterungen« sein können; wenn der entscheidende Bezug in der Materialität der Sprache
beim Übersetzen verdeckt wird.
83 So wird der Satz »Gleich bricht ein Nachher x| an, im Bruchteil einer Sekunde, kraft des Zufalls=Weistums | seines Aus=Tickers«, die ›Übersetzung‹ von FW 308, »Mox soonly will be in a
split second per the chancellory of his exticker«, mit einem Sternchen zum Schluss durch eine in
doppelte Klammern gehüllte Marginalie erklärt: »Die Uhr schlägt« (FW-Ü 308:2–4).
84 Schmidt erläutert dies in den Vorbemerkungen (FW-Ü ii) wie folgt: »Immerwiederkehrende
Symbolworte – z. B. HUT, STOCK, SUKKOTH, BLACK % TAN, undsoweiter – werden als solche
kurz wiederholt, mit einem '!' Ausrufungszeichen dahinter.« Auch in seinen Essays zu Finnegans
Wake spricht Arno Schmidt von ›Symbolworten‹ und meint damit bestimmte Wortfelder (z. B. die
»Gruppe der ‹Phallen› Flöte; Stock; Pipette«, BA III/4, 116), die in seiner Lesart durchgehend auf eine
andere – zumeist sexuelle – Bedeutung stehen.
85 Wirth 1998, 52.
334
III Arno Schmidt
tenprinzip von Zettel’s Traum vorweg, in dem sich in der rechten Spalte ebenfalls
einzelne Bruchstücke und Fragmente von Materialien finden – Zitate, Nachweise,
Worterklärungen, implizite Anmerkungen, Dialogfetzen –, die in ein komplexes
assoziatives Verhältnis mit dem links davon stehenden Text geraten, gleichzeitig
aber auch immer wieder mit den Textfetzen auf derselben Seite interagieren. Der
Haupttext der Wake-Übersetzung wird durch die Komplexität und schiere Gleichzeitigkeit des Texts überlastet. Dies führt dazu, dass nicht alle Aspekte in die Linearität des sprachlichen Syntagmas integriert werden können, sodass der Text notgedrungen zu den Rändern des Texts hin ausfransen muss. Was sich im Falle der
Arbeit an Finnegans Wake jedoch noch als Konsequenz des Übersetzungsprozesses
aufgedrängt hat, ist in Zettel’s Traum zu einer gezielt eingesetzten Textdarbietungsstrategie geworden.
Folgt man den textgenetischen Spuren des Typoskripts zurück in Schmidts
Arbeitsexemplar, so zeigt sich, dass die typografische Trennung zwischen der ›Übersetzung‹ im Haupttext und dem Kommentar in der rechten Spalte nicht immer so
konsequent durchgehalten wurde, wie dies die Rigorosität der Vorbemerkungen
glauben macht: Immer wieder sind Elemente mit einer kommentierenden Funktion
in den Haupttext hineingerutscht. Dies gilt zum Beispiel für eine Passage zu Beginn
von Kapitel I,2. Hier ist von einem Gärtner die Rede, der sich »under his redwoodtree« (FW 30:14) ausgeruht habe. Im Arbeitsexemplar findet sich zum letzten Wort
eine handschriftliche Anmerkung, in der das lateinische Genus dieses Baumes verzeichnet wird: »Sequoia ~giganteá« (FW 30:14). An der entsprechenden Stelle im
Typoskript lautet der Abschnitt im Kontext:
Wir vernehmen daselbst […] daß […] der große alte Gärtner* das Tageslicht baß nützte,
unter seinem Rotholzbaum* (Sequoia immer=gigantea), und der Sabbath=Nachmittag war
schwül […] (FW-Ü 30:13–14)86
Die englische Bezeichnung des Baums wird zunächst in seine Bestandteile zerlegt –
man könnte sagen, zu Kleinholz gehackt –, die allesamt einzeln und wortwörtlich
übersetzt werden. Statt die lateinische Bezeichnung für jenen kalifornischen Baum,
der im deutschen Sprachraum ob seines Wuchses als ›Mammutbaum‹ bekannt ist,
in den Kommentar zu setzen, wird die Bezeichnung um das Adverb ›immer‹ ergänzt
in den Haupttext integriert, was diesem die Anmutung eines wissenschaftlichen
Texts verleiht. Der Asterisk im Text verweist wohl auf einen Kommentar in den
86 Der Asterisk im Text verweist zwar darauf, dass sich dazu am rechten Rand eine Anmerkung
finde; diese bezieht sich allerdings nicht auf den »Rotholzbaum«, sondern verweist auf die von hier
an zu beachtende »Doppelsinnigkeit« (FW-Ü 30:14) des Textes.
3 Die ›Übersetzung‹ von Finnegans Wake
335
Marginalien, hingegen nicht auf eine Anmerkung zum ›redwoodtree‹. Vielmehr
wird darauf verwiesen, auf die »Doppelsinnigkeit« (FW-Ü 30:14) des Texts achtzugeben – gemeint ist wohl die Parallelisierung der Szene mit der biblischen Vertreibung aus dem Paradies. Diese Integration von Elementen des Kommentars in
den Haupttext ruft Effekte hervor, die auch das kommentierende Übersetzen in der
Geschichtklitterung zeigte. Einerseits wird durch diese Vergrößerung des Paradigmas das Narrativ suspendiert und andererseits die Zahl der Möglichkeiten zur textinternen Verknüpfung multipliziert, gerade auch auf der Ebene der sprachlichen
Materialität. Gleichzeitig schreibt sich in diesen Abschnitten eine zweite Stimme in
den Text ein, die in der Vorlage noch nicht vorhanden war. Schmidt übt als Übersetzer keine Zurückhaltung, indem er sich selbst respektvoll in der rechten Spalte
marginalisiert. Vielmehr schreibt er sich ohne Scheu direkt in den Text von James
Joyce ein. Die philologische Selbstdisziplinierung, die er in den Vorbemerkungen
ausführlich inszenierte, bleibt kaum mehr als ein Vorwand.
Gleichzeitig bedient sich auch Schmidts Interpretation von Finnegans Wake im
Zuge der Entwicklung des Lesemodells ›Bruderstreit‹ selbst immer wieder sprachlicher Deutungsverfahren, die kaum anders denn als wilde Übersetzungen zu
beschreiben sind. Dabei werden verschiedene in Finnegans Wake prominent platzierte Motive und Wörter über komplexe sprachliche Transformationsketten dahin
gehend manipuliert, dass sie sich schließlich als mehrfach verschlüsselte Bezeichnungen für Stanislaus Joyce aufweisen lassen. In seinen Rekonstruktionen bedient
sich Schmidt diverser Verfahren, um ›Äquivalenz‹ zwischen zwei Bezeichnungen zu
etablieren: Dazu gehören semantische Übersetzungen zwischen unterschiedlichen
Sprachen, metonymische Verhältnisse zwischen zwei Begriffen sowie verschiedene
anagrammatische und paronomastische Operationen im Sprachmaterial.
Ein prototypisches Beispiel für dieses Deutungsverfahren führt auf die außergewöhnliche Buchseite 308 von Finnegans Wake, welche diverse Möglichkeiten der
Abweichung zum typografischen Normalzustand des Blocksatzes erprobt. In deren
Zentrum steht eine Liste von zehn einsilbigen Wörtern, die im Skeleton Key auf die
zehn Sephirot der Kabbala bezogen und in je eine himmlische, eine menschliche
und eine physische Trinität der männlichen Gottheit gegliedert werden – plus die
Null/Zehn, die das weibliche Prinzip symbolisiere.87 In der Fußnote zum fünften
Element in dieser Liste, »Cush« (FW 308:9), die ein integraler Bestandteil dieser
Buchseite ist, heißt es »1Kish is for anticheirst, and free my hand to him«. Links
der Fußnote ist eine minimalistische Zeichnung abgedruckt, die das Zeigen einer
langen Nase darstellt: Eine Hand, deren Daumen in Richtung des Hakens geführt
87 Robinson und Campbell 1944, 193–195.
336
III Arno Schmidt
wird, der die Nase symbolisiert, die vier anderen Finger nach rechts zur Fußnote
hin ausgestreckt.88
Im Wake-Typoskript werden die einsilbigen Wörter der englischen Ausgabe
nicht wiedergegeben, sondern durch die einfachen deutschen Zahlwörter eins
bis zehn ersetzt. Allerdings ergänzt Schmidt zwei weitere Spalten, die zu jedem
der Wörter jeweils zwei Deutungen hinzustellen, die eine »ehrsam«, die andere
»obszön« (FW 308:4–5).89 Die Fußnote wird im Wake-Typoskript hingegen weitgehend wörtlich wiedergeben:
»Kish* steht für Anti=Christ**, und hiermit mach' ich ihm 'ne lange Nase !« (FW 308: FN).
Links davon findet sich im Typoskript eine recht präzise gezeichnete Kopie der
Skizze im Wake, rechts davon die folgenden beiden Kommentare:
* 2 (Weidenkorb=wicker=basket=wicked basker=böser Badender–!)/** Var:Gegen=Händer(a la
'Antipode) =2« (FW-Ü 308)
Wie diese komprimierte Notation zu lesen ist, schließt der Blick in den Aufsatz Das
Geheimnis von Finnegans Wake auf. Dort wird dasselbe Gleichungssystem in voller
Länge ausgeführt und erläutert.90 Darin argumentiert Schmidt dafür, ›Kish‹ als
eine mehrfach verschlüsselte Maskierung für Stanislaus Joyce aufzufassen, sodass
die Aussage dahin gehend gelesen werden kann, dass dieser der Antipode und Antichrist sei, dem eine lange Nase gedreht werde (BA III/4, 41). Zum ›Kish‹, so versucht Schmidt spekulativ zu beweisen, sei Stanislaus durch die folgende Kette von
Assoziationen und Transformationen geworden:
St[anislaus] schwamm, wusch sich, badete sich, sonnte sich, gern […] er war also ein ‹basker›,
(heute heißt das nur noch ‹Sonnenbaden› allgemein; zur Shakespearezeit aber noch, und
wer hätte das gewußt, wenn nicht James Joyce, ‹baden›). Aber St war, von J aus gesehen, ein
‹böser Badender›, ein ‹wicked basker›! Nun schüttele man die Endkonsonanten; dann wird aus
‹wicked basker› ein ‹wicker basket›, ein ‹Weidenkorb›: der aber heißt auf Irisch ‹KISH›: quod
erat demonstrandum!). (BA III/4, 41)
88 Robinson und Campbell 1944, 194–195 [Anm. 71]. »Joyce’s footnote on Cush (p. 308) is highly
important, indicating as it does that the descending power splits at the fifth rung into two opposing
forces, Cush and Kish (brother battle again). The diagram thumbs the nose at Kish, Antichrist, Shem.
The five fingers of the hand represent rung [sic!] five, and symbolize the incarnate Son. There are
two sides to the hand, front and back. The word ›Antichrist‹ is transformed into ›anticheirst‹ (contra-hand); and the comment is a contemptuous ›back of my hand to him‹.«
89 So wird etwa »Cush« mit dem Wort »Fünf« wiedergegeben; daneben findet sich als ehrsame
Lesart »Bargeld !« (via: ›Cash‹), als obszöne jedoch »Gib Effet !« (FW-Ü 308:9).
90 Dies belegt, dass Überlegungen aus dieser frühen Publikation direkt in die Arbeit am Typoskript
eingeflossen sind.
3 Die ›Übersetzung‹ von Finnegans Wake
337
Um diese Verbindung herzustellen, ist eine Kette mit einem halben Dutzend Zwischenschritten vonnöten. Dabei ist zu beachten, dass die Reihenfolge der Elemente,
die Schmidt in diesem Aufsatz wählt, jene des verschlüsselnden Gedankenprozesses ist, von dem er unterstellt, dass James Joyce ihn durchlaufen haben müsse.
Schmidts Entschlüsselung würde dabei genau dem umgekehrten Pfad folgen. Sie
beginnt mit der Entscheidung, ›Kish‹ nicht mit einer biblischen Figur in Verbindung
zu bringen, sondern als Wort der irisch-gälischen Sprache aufzufassen und darum
einer interlingualen Übersetzung ins Englische zu unterziehen. Schmidt, in dessen
Bibliothek kein irisch-gälisches Wörterbuch stand, hat die Übersetzung vermutlich
dem sogenannten Muret-Sanders entnommen, seinem präferierten englisch-deutschen Wörterbuch.91 In der von Schmidt benutzten fünften Auflage finden sich
dafür vier Lemmata:
Kish1 (kiſch) npr. Kis m (1. Sam. 9,1)
Kish2 ſchott. (kiſch) npr., dim. von Christian1, Christopher. – Vgl. ~1, 3 und 4.
kish3 irl. (kiſch) s. großer Korb.
kish4 ⚙ irl. (kiſch) [dtſch Kies] s., metall. Bor=, Eiſen=ſchaum m.92
Unter diesen Varianten wählt Schmidt nicht einen der beiden Eigennamen, sondern
greift, vermutlich mit Blick auf James Joyce’ irische Herkunft, den dritten Eintrag
heraus. Die darin angegebene deutsche Übersetzung wird, assoziativ nachvollziehbar, sowohl im Typoskript als auch im Aufsatz zum Weidenkorb konkretisiert, was
Schmidt sogleich wieder ins Englische übersetzt: »wicker basket«. Nur diese Form
erlaubt es, durch eine anagrammatische Permutation die letzten Konsonanten
91 Vergleiche die Selbstauskunft Schmidts zur Qualität unterschiedlicher Wörterbücher: »MURET=
SANDERS hieß das alte große Englisch=Deutsche Wörterbuch –: unser neuer LANGENSCHEIDT ist
schlechter. Ist sogar beträchtlich unzulänglicher; (ich habe rund 20 Bände aus dem Angelsächsischen
ins Deutsche übersetzt und weiß, was ich tu, wenn ich’s ausspreche: ich lege mir grundsätzlich den
Alten neben die Schreibmaschine oder die Lektüre!). Denn er enthält mehr deutsche Ausdrücke zur
Auswahl; mehr ältliche & Dialekt=Worte; hat Homonyme, die im neuen ganz fehlen; (und die immer
wichtiger werden: da sieht man’s mit 1 Blick, wieso einem Engländer bei ‹vale› auch ‹vail› und
‹veil› – vielleicht sogar ‹whale›? – mit=einfällt: einfallen muß: er kann nicht anders! (Wer je JOYCE
gelesen hat, wird wissen, wie ich hier auf praktisch die ganze zukünftige Literatur anspiele.)« (BA
III/4, 408). Schmidt benützte den Muret-Sanders so intensiv, dass sich die Bindung zu lösen begann
und er dasselbe Werk im Jahr 1971 ein zweites Mal antiquarisch erwarb und folgende Bemerkung
im Vorsatz eintrug: »Arno Schmidt 3.VII.1971 (gekauft – (aus Bochum) – da mein altes Exemplar,
(erstanden 1955, bei Bläschke i Darmstadt), sich infolge langen=fleißigen Übersetzer-Gebrauches
ziemlich in lose Blätter aufgelöst hatte)« (zit. n. Gätjens und Jürgensmeier 2003, 27).
92 Muret und Sanders 1925, 1215; vgl. den Eintrag im Bibliotheksverzeichnis: Gätjens und Jürgensmeier 2003, 27; Nr. 49.
338
III Arno Schmidt
der beiden Wörter umzustellen, sodass daraus der ominöse »wicked basker« entsteht.93 Dies wird von Schmidt im Typoskript als ›böser Badender‹ übersetzt, wohl
wissend, dass diese Wortbedeutung im Englischen des 20. Jahrhunderts längst nicht
mehr gebräuchlich ist.94 Beide Attribute aber werden im letzten Schritt als Eigenschaften von Stanislaus Joyce bezeichnet, sodass die Entschlüsselung des Worts mit
der Identifikation von Stanislaus Joyce als dem Referenten dieser Beschreibung
endlich abgeschlossen ist. Diverse Schritte in diesem Prozess verstoßen gegen die
Kriterien hermeneutischer Billigkeit. Es steht außer Zweifel, dass das Ziel dieser
entschlüsselnden Interpretation längst festgelegt war und das Auffinden der Kettenglieder eine ingeniöse kreative (und nicht: hermeneutische) Leistung darstellt,
durch die der Bruder mit ›Kish‹ gleichgesetzt wird. Wie kontingent der Prozess ist,
zeigt sich, wenn man sich alternativer Wörter erinnert, um die Eigenschaften ›böse‹
und ›Badender‹ in der englischen Sprache zu bezeichnen: statt ›basker‹ vielleicht
›bather‹ oder ›swimmer‹, statt ›wicked‹ eher ›evil‹, ›vicious‹, ›sinister‹ oder ›bad‹.
Selbst wenn am Anfang dieses wilden Übersetzungsprozesses, wie Schmidt ihn
konstruiert hat, wirklich der Name ›Stanislaus‹ sein sollte, dann hätte jede noch
so minimale Abweichung vom rekonstruierten Pfad zu einem gänzlich anderen
Resultat geführt. Die wilde Übersetzung wird in diesem Zusammenhang zu einem
mehrfach eingesetzten Verfahren im Dienst einer spekulativen Hermeneutik des
Verdachts. Nach exakt demselben Schema erklärt Schmidt auch das wiederholt auftretende Motiv des »Türken« zu einem chiffrierten Verweis auf Stanislaus Joyce,
die über die Paronomasie der beiden Wörter ›muscle=man‹ und ›Muselmann‹ vermittelt wird – eine Übersetzung zwischen dem Deutschen und dem Englischen nach
dem Prinzip materialer Äquivalenz. Der sportliche Stanislaus wird dazu metonymisch zum Muskelmann erklärt; während dem verkürzten deutschen Stereotyp
folgend Muselmann und Türke als Synonyme behandelt werden.95 Dadurch lässt
sich die Kette schließen, wobei Schmidts Rekonstruktion dieser Verschlüsselung
auch in diesem Fall genauso fragwürdig wie interessant ist.
Die interessantesten Verschlüsselungen treten auf: ‹Türke› wird Bruder St genannt; denn ein
‹Türke› ist ein ‹Muselmann›; dies, schluderig=englisch ausgesprochen, wird zum »muscle=
man«; und Stanislaus war Sportler, Schwimmer, vierschrötiger Athlet. (BA III/4, 40)
93 Um ein reines Anagramm der Buchstaben handelt es sich wohlgemerkt nicht; Schmidt behandelt Fortis (t) und Lenis (d), zumal im Auslaut, als gleichwertige Laute.
94 Das nomen agentis ›basker‹ ist im Muret-Sanders nicht verzeichnet, wohl aber das Verb ›bask‹
mit denselben Bedeutungen, die auch Schmidt aufführt, mit eingeschlossen der Hinweis, die Bedeutung »warm baden« sei nicht mehr gebräuchlich; vgl. Muret und Sanders 1925, 206.
95 Vgl. die Beispiele in 1DWB 12,2737, die genau dieselbe Gleichsetzung vornehmen.
3 Die ›Übersetzung‹ von Finnegans Wake
339
Diese interpretative Strategie wird im Text immer wieder einer gewissen Selbstironisierung unterzogen, die dem antizipierten Vorwurf zu begegnen versucht,
marginale Indizien würden allzu schnell mit Beweisen verwechselt. Ein skeptisches
›Wir‹, einem antiken Chor vergleichbar, darf sich in Klammern äußern und den
vorschnell als Beweis präsentierten Schlüssen plausiblere Erklärungen entgegenstellen, wenn aus dem Vorhandensein von Apfelsinenschalen allein ein Bezug auf
›Stanislaus‹ etabliert wird, nur weil dieser die Frucht angeblich gerne aß.96 Diese
inszenierten Einwände zeigen zwar an, dass ein Bewusstsein bezüglich der Unzulänglichkeit des interpretativen Verfahrens im Umgang mit dem Wake vorhanden
ist, dienen aber in erster Linie der Abwehr. Denn die interpretativen Prämissen, die
diese wilden Übersetzungsketten bei der Deutung hervorgebracht haben, haben
auch die übersetzerische Arbeit am Typoskript beeinflusst. So spricht Rathjen von
einer Tendenz zur didaktisierenden Vereinfachung des Texts, die sich im Zuge
der Übersetzung im Typoskript immer wieder finden lasse. Zusammen mit einer
gewissen Flüchtigkeit im Umgang mit dem Wortlaut des fremden Texts führen diese
gezielten Eingriffe immer wieder dazu, dass aus dem »Impuls des verdeutlichenden
Zitierens ein Korrigieren des Originals« werde.97
Doch bereits in den Ketten selbst zeigen sich die Abweichungen vom Prinzip des
regulären Übersetzens. Technisch äußert sich dies in der Vielfalt von sprachlichen
und semantischen Transformationsverfahren, die dabei zur Anwendung kommen.
Fast entscheidender ist allerdings die veränderte Haltung dem Text gegenüber: Es
findet eine Selbstermächtigung des Übersetzers und Interpreten statt. Statt sich
dem Text hierarchisch unterzuordnen, erlaubt sich dieser, mit dem Text zu machen,
was immer ihm gefällt.
Dass Arno Schmidt dabei über ein Bewusstsein dafür verfügt, wie wild die
Prinzipien der Übersetzung sind, die diesen Interpretationen zugrunde liegen,
zeigt eine kleine Episode aus dem Funkdialog Der Triton mit dem Sonnenschirm.
Beim vorliegenden Beispiel handelt es sich aber gerade nicht um eine Textstelle aus
Finnegans Wake, sondern um ein kleines, hintersinniges Beispiel, das Sprecher B,
der im Gespräch die Rolle des Skeptikers übernimmt, der Gruppe präsentiert. Dabei
werden unterschiedliche Verfahren des wilden Übersetzens ausprobiert, um dem
Satz »dii currendum serum« eine Auslegung in deutscher Sprache zu geben.
96 Vgl. BA III/4, 43: »in diesem Müll lagen Apfelsinenschalen, die Hülle der Frucht, die St notorisch gern aß: BEWEIS! (Wir freilich würden sagen: im Apfelsinenlande ein recht ‹unzureichender
Grund›.)«; BA III/4, 43: daß das Blatt ‹Tee=Flecke› aufwies. Und St trank notorisch gern Tee: BEWEIS!!! (Wir freilich würden zweifeln: in einem Haushalt, wo vermutlich Alle gern Tee tranken? …).
(Ebenfalls in BA II/4, 53 resp. 54).
97 Rathjen 1988, 202.
340
III Arno Schmidt
B. […] Aber geben Sie doch selbst zu ..... oder nein; ich schreib’ was auf ..... (kleine Pause,
während der er kritzelt; dann): So. Entziffern Sie mir doch mal das. Sie besitzen ja so viel – wie
spricht das Buch? – »mirror=minded curiosity«.
A. (erstaunt=lateinisch murmelnd): ‹dii currendum serum› .....? – Hm...... Also das erste Wort
wohl von ‹Dii›: Götter.
C. (eifrig): Oder ‹dies›; der Tag?
A.: Oder ‹dies›; ja. – ‹currendum› einwandfrei ‹laufen=hasten=eilen›. Vielleicht kämen aber
auch ‹Kurrende=Sänger› mit ins Spiel? – Und ‹serum› endlich: ‹Heil=Serum›.
C.: Oder, italienisch, ‹la sera›, der Abend.
A.: Oder la sera; ‹en una sera, cosí serena›. – (laut): Ja; also, da gibt es mehrere .....
C. (bittend): Dürfte ich eventuell ....? – ‹Dii currendum serum›: ‹Der Tag eilt dem Abend zu›.
B. (hüstelt lediglich).
C.: Oder eben auch: ‹Götter eilen mit Heilung herbei›. Oder aber, beide Lösungen ineinander
gearbeitet: ‹Der Tagesgott eilt singend dem heilsamen Abend zu›. Übertragen: ‹Die Sonne geht
unter›! Und ‹tönt nach alter Weise›.
B. (hüstelt; wie gehabt).
A. (lobend): Sehr brav! Typisch C&R übrigens, die auch nur immer, unveränderlich=rührend,
auf die feinsinnigste Auslegung verfallen. – Ich jedoch, nicht nur durch das mokante Hüsteln
unseres Freundes hier gewarnt, sondern auch auf eine ad=absurdum=Führung gefaßt, nehme
mein Herz in beide Hände; und wähle die dritte, jute=fädige, Möglichkeit: (mit Nachdruck):
‹Die Kuh rennt um’m See rum!›
B. (anerkennend): Es ist natürlich ein uralter ‹Meidinger›, und Sie könnten’s gewußt haben –
aber ich bin beruhigt […] (BA II/3, 44)
Vor der Schlusspointe, in der als endgültige und korrekte Wiedergabe des pseudolateinischen Satzes »dii currendum serum« eine Übersetzung ins Deutsche nach
dem Prinzip der materialen Äquivalenz präsentiert wird, werden eine Reihe von
weiteren Deutungsversuchen präsentiert, die ebenfalls verschiedene Verfahren des
wilden Übersetzens zur Anwendung bringen.98 Gerade deshalb ist es spannend,
welche Tricks die anderen Gesprächsteilnehmer anwenden, um den Satz trotzdem
ins Deutsche zu übersetzen. Nachdem die Sprache des Satzes unmittelbar als Latein
identifiziert wurde, werden ganz zu Beginn verschiedene Vorschläge für Übersetzungen einzelner Wörter eingesammelt, wobei das Ganze mehr einem Wörterraten
als einem methodischen Vorgehen gleicht. So werden mehrfach Übersetzungsvorschläge aufgeführt, die auf die vorhandenen Formen nicht wirklich passen. So gibt
es keine flektierte Form des lateinischen Worts dies (Tag), die zur Form passt, die
zu übersetzen ist. Auch die lateinische Grammatik bleibt in diesem Ratespiel unbeachtet. Wortarten werden umgebogen, die Gesetze der lateinischen Morphologie
spielen bei der Übersetzung keine Rolle, und auch die Syntax wird weitgehend ignoriert. Statt die einzelnen Wörter aufgrund ihrer morphologischen Gestalt im Satz
98 Der Witz des ›lateinischen‹ Satzes ist die Tatsache, dass er sich nach den Regeln der Kunst gar
nicht übersetzen lässt, weil es sich dabei gar nicht um einen grammatisch korrekten Satz handelt.
3 Die ›Übersetzung‹ von Finnegans Wake
341
ins Verhältnis zu setzen, werden sie aneinandergereiht und dann aufgrund ihrer
angenommenen Bedeutung ins Satzgefüge eingegliedert. Evident wird dies bei der
Wiedergabe des Worts serum: Das Wort wird in den deutschen Satz »Götter eilen mit
Heilung herbei« integriert, als handle es sich dabei um eine Art Ablativ, auch wenn
die lateinische Wortform eine solche Deutung in keiner Weise zulässt. Übersetzt
man das Wort aber – wie hier geschehen – als »Heil=Serum«, dann legt die Semantik
des Worts es jedoch durchaus nahe, es in dieser Weise in den Satz zu integrieren.
An einer weiteren Stelle wird im Übersetzungsprozess die unterstellte Ausgangssprache ausgewechselt: Während die restlichen Wörter weiterhin als lateinische
Wörter behandelt werden, wird das Wort sera zusätzlich auch durch die Perspektive
des Italienischen interpretiert. Würde dieses Prinzip konsequent auch auf weitere
Sprachen ausgedehnt, würde sich die Zahl der potenziellen Übersetzungen weiter
multiplizieren. In beiden Fällen kommen typische Verfahren des wilden Übersetzens zur Anwendung. Dadurch werden zwei unterschiedliche deutschsprachige
Versionen – man könnte auch sagen: Lesarten – des pseudolateinischen Satzes hervorgebracht. Um eine finale Fassung zu produzieren, werden diese übereinandergelegt. Es kommt nicht zur Selektion einer bestimmten Variante, vielmehr werden
diese alle gleichberechtigt nebeneinandergestellt und miteinander kombiniert,
sodass das volle Spektrum aller möglichen Übersetzungen in einen einzelnen Satz
integriert wird: »Der Tagesgott eilt singend dem heilsamen Abend zu«.
Diese Übersetzung soll als Resultat einer überschießenden Interpretation kritisiert werden, die im Textstück Bedeutungen zu erkennen glaubt, die darin gar
nicht vorhanden sind. Es handelt sich dabei, so legt dies der Text nahe, um eine
interpretative Fata Morgana, eine feinsinnige Überinterpretation, wie sie den Interpreten von Finnegans Wake ständig unterlaufe.
Durch den Kunstgriff, diese Übersetzungsoperation als Rätsel zu präsentieren,
kann die Bedeutung des Textfetzens eindeutig aufgelöst und geklärt werden. Erst
dies macht es rhetorisch möglich, das interpretative Vorgehen bei der Lektüre des
Wake satirisch zu verspotten. Beim Satz »dii currendum serum«, so die Pointe der
Sequenz, handelt es sich um keinen sinnvollen lateinischen Ausdruck, den man
dem Sinn nach übersetzen könnte. Vielmehr versteckt sich hinter diesem uralten
›Meidinger‹ ein deutscher Satz, der in lateinische Wörter gekleidet wurde und sich
nach demselben Prinzip auch wieder entschlüsseln lässt: »Die Kuh rennt um’m See
rum!«. Durch die vermeintlich absurde und allzu simple Auflösung der hermeneutischen Krux des lateinischen Satzes wird aber nicht Kritik am wilden Übersetzen per
se geübt. Stattdessen wird durch die Wahl des Beispiels dabei das semantische Äquivalenzprinzip vollständig aufgegeben und ersetzt, indem der Satz als eine homophone Übersetzung von der deutschen in die lateinische Sprache entlarvt wird.
Schmidts Selbstermächtigung als Interpret und Übersetzer des Wake stößt
unter Übersetzerkollegen auf Widerstand. Dies zeigt sich an der teils massiv ein-
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III Arno Schmidt
gesetzten moralisierenden Sprechweise, die von der Kritik eingesetzt wird, um
Schmidts Umgang mit Finnegans Wake zu beschreiben. Überliefert sind etwa die
Protestbriefe Wolfgang Hildesheimers, selbst Übersetzer eines Wake-Kapitels, an
die Darmstädter Akademie. Diese hatte das Buch Der Triton mit dem Sonnenschirm
(1969)99, in dem 1969 verschiedene Joyce-Studien Arno Schmidts versammelt publiziert wurden, zum ›Buch des Monats‹ gekürt, was Hildesheimer, der Schmidts Übersetzungsbeispiele zu einer »Vulgärversion des Textes«100 erklärte, heftig kritisiert:
Wenn ich mir Schmidts Synopsis dieses Kapitels betrachte, vergeht mir der Atem, ich frage
mich, wie das möglich ist. Ich wäre jederzeit bereit, gegen ihn anzutreten, öffentlich, im Funk
oder auch – warum nicht – in einer Akademieveranstaltung. Ein Duell: er darf die Waffe
wählen, sagen wir 15 Zeilen Text, und ich werde versuchen, seinem Fagott ein paar andere
Stimmen beizugeben.101
Zu einer ähnlichen Einschätzung kommt auch Friedhelm Rathjen, der behauptet,
Schmidts Wake-Typoskript sei als Übersetzung kaum mehr als »ein Witz«.102 Es
zeigt sich, wie der selbsterklärte Anspruch, eine ernst gemeinte Interpretation und
Übersetzung von James Joyce’ Finnegans Wake zu liefern, mit den gesellschaftlichen
Erwartungen an das interpretatorische und übersetzerische Ethos der Redlichkeit
kollidiert, die an eine solche Tätigkeit gestellt werden. Gemessen an den Erwartungen, die an eine reguläre Übersetzung gestellt werden, ist Arno Schmidts Versuch,
Finnegans Wake zu übersetzen, nicht nur quantitativ, bezogen auf die geringe Zahl
an übersetzten Seiten, sondern auch qualitativ gescheitert. Es stellt sich damit die
Frage, ob es eine andere Perspektive gibt, mit der die Konstellation angemessen
erfasst werden kann.
3.3 D
as Wake-Typoskript als neuer, eigenständiger Text
Es ist noch eine dritte Perspektive auf das Wake-Typoskript möglich, wie auch auf
alle anderen Texte, die daraus entstanden sind. Diese Perspektive betrachtet den
Text für sich allein, ohne ihn ins Verhältnis zu seiner Vorlage zu setzen. Damit fällt
der Maßstab des anderen Texts weg. Die einzelnen Abschnitte des Wake-Typoskripts
können damit als eigenständige Textfragmente für sich selbst untersucht werden,
was es auch erlaubt, sie nach gänzlich anderen Kriterien zu bewerten. Insofern es
99 A. Schmidt 1969.
100 Hildesheimer 2006, 11.
101 Hildesheimer 2006, 13.
102 Rathjen 2010b, 127 (Neuabdruck von Rathjen 1991).
3 Die ›Übersetzung‹ von Finnegans Wake
343
sich bei der ›Übersetzung‹ um einen literarischen Text handelt, stellt sich die Frage
nach dessen Poetizität.
Auch Rathjen ist zum Schluss gekommen, es sei unzutreffend, den Text des Typoskripts als Übersetzung von Finnegans Wake zu charakterisieren.103 Nur wenn man
einen neuen Text für sich und ohne Vergleich mit der Vorlage untersuche, gewännen
dessen Qualitäten an Profil, während sie bei der Konfrontation mit dem Wake ihre
Wirkung verlören, »weil sie dann naturgemäß doch wieder an übersetzerischen
Forderungen gemessen werden, denen sie ja gerade nicht hinreichend genügen können.«104 Dabei kommt Rathjen zu einer genauso starken wie überraschenden These:
Die Textproben aus Schmidts ›Triton‹-Essay und die zusätzlichen Proben, die sich in den Loseblattbeigaben zum Wake-Arbeitsexemplar finden, sind keine Joyce-Übersetzung, sondern
eigenständige Schmidt-Texte – so eigenständig, daß ich von den autonomsten Texten sprechen
möchte, die Schmidt jemals schrieb.105
Nach Rathjen ist dieser Text frei von außerliterarischen Referenzen und hat sich von
der Wirklichkeitsabbildung emanzipiert, weil Sprache darin zu einem autonomen
Agens werde.106 Während Schmidt in seinen anderen Texten letztlich immer einer
realistischen »Abbild- und Konformitätsforderung« verpflichtet sei, sei dies hier
nicht mehr gegeben.107 Die fehlende Übereinstimmung der einzelnen Abschnitte
mit den jeweiligen Vorlagen sei kein Problem, da es sich »gar nicht um Übersetzungen« handle. Zugleich verschaffe die fehlende Konformität zur außertextlichen
Objektwelt dem Text »Qualitäten«, die »in Schmidts Gesamtwerk ansonsten außerordentlich rar sind.«108 Dazu stellt Rathjen eine produktionsästhetische These,
welche die Herausforderung zum Ausgang nimmt, einen Text ohne Gegenstand zu
verfassen.109 Hier werde Finnegans Wake für Schmidt zum »Textgenerator«, der
neue Texte entstehen lässt,110 weil er ein Arsenal von Wörtern darstelle, mit denen
gespielt werden könne. Schmidt nehme also, so rekonstruiert es Rathjen, »Satz für
103 Rathjen 2010b, 131.
104 Rathjen 2010, 134.
105 Rathjen 2010b, 128.
106 Rathjen 2010, 131.
107 Rathjen 2010b, 128. Genau diese Dissoziierung setzt Rathjen mit den Poetiken der »vordersten
Modernisten-Riege« gleich, gegen die Schmidt noch im Spätwerk die Etymtheorie setze, mit der
»noch die verwegensten Textpartikel« als Abbildungen psychischer Realitäten gefasst werden
könnten (128).
108 Rathjen 2010, 134. Auf diese Weise glaubt Rathjen, die »Ehre der Schmidtschen Pseudoübersetzungen gerettet« (134) zu haben.
109 Rathjen 2010b, 132.
110 Rathjen 2010b, 133.
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III Arno Schmidt
Satz in der gegebenen Abfolge, lässt sich zu jedem Wort ein möglichst abseitiges
deutsches Wort einfallen und setzt diese deutschen Wörter hintereinander.«111
Rathjens Charakterisierung des Texts nennt diverse Phänomene, die für das wilde
Übersetzen typisch sind, denn er folgt ebenfalls der Idee, dass die transformativen
Prozesse, die anstelle der Übersetzungsarbeit stehen, textgenerativen Charakter
haben. Das heißt, dass die Verfahren des wilden Übersetzens einen Mechanismus
darstellen, der die Produktion von Texten ermöglicht, die sich nicht durch die Darstellung eines Gedankeninhalts strukturiert, sondern sich ganz aus der Orientierung an der Materialität der Sprache eines anderen Texts speist. Dadurch entstehen
Texte, die über außergewöhnliche literarische Qualitäten verfügen.
Allerdings wäre Rathjens Modell aus Sicht der Theorie des wilden Übersetzens
in drei Aspekten anzupassen. Zunächst ist es unpräzise, den englischen Text von
Finnegans Wake als »Textgenerator« für den entstehenden Text zu beschreiben.
Diese Aufgabe wird von den spezifischen wilden Übersetzungsverfahren erfüllt,
die bei der Transformation zum Einsatz kommen, während der Ausgangstext selbst
nur das generative Material darstellt, das in diesem Prozess verarbeitet wird.112
Zweitens betont zwar auch Rathjen die Orientierung dieses Verfahrens am Ausgangstext, der Satz für Satz abgearbeitet wird, es fehlt aber in Rathjens Beschreibung die ausdrückliche Bezugnahme auf die sprachliche Materialität des Ausgangstexts, obwohl diese Aspekte das Vorgehen von Arno Schmidt, wie bereits gezeigt
wurde, entscheidend geprägt haben. Schließlich verwendet Rathjen mit der Textautonomie, die er als Nichtkonformität des Texts mit außerliterarischen Referenten
definiert, einen Begriff, der nicht dazu geeignet scheint, die konkreten Umstände
des Wake-Typoskripts angemessen zu beschreiben, denn damit lassen sich die
komplexen intertextuellen Verhältnisse nur unzureichend erfassen, die zwischen
wilden Übersetzungen und ihren Vorlagen im Allgemeinen herrschen.113
111 Rathjen 2010, 132–133.
112 Dabei ist jedoch kaum zu bestreiten, dass ein Text wie Finnegans Wake ein Ausweichen auf
alternative Übersetzungsverfahren begünstigt, da die spezifische Art des Umgangs mit Sprache im
Wake nach wilden Übersetzungsverfahren verlangt.
113 Dabei verzichtet Rathjen darauf, konkrete Argumente für die Autonomie dieser Texte theoretisch zu formulieren. Vielmehr setzt er zur Gänze darauf, dass die verschiedenen, teils sehr langen
Textbeispiele aus dem Wake-Typoskript selbst Evidenzmomente entfalten. Wenngleich Rathjen dies
mit rhetorischen Fragen immer wieder suggeriert, sind diese Evidenzen nicht immer überzeugend.
So fragt Rathjen 2010b, 124 am Ende des Eingangszitats, das FW-Ü 30–31 umfasst: »Ja, was ist das
nun? Ist dieser Text Arno Schmidts eine Finnegans-Wake-Übersetzung?« Auch das zweite Zitat wird
nicht nur mit dem Verweis auf die Evidenz des Beispiels selbst eingeleitet: »Und nun hören wir,
zum Beweis der engen Verwandtschaft, dies« (Rathjen 2010b, 131), das Zitat wird auch erneut mit
einer rhetorischen Frage beendet: »Erinnert das überhaupt an was? Jedenfalls nicht an Schmidts
Forderung nach konformer Weltabbildung. Das war, natürlich, wieder ein kleiner Ausschnitt aus
Schmidts Wake-Übersetzung« (Rathjen 2010b, 131).
3 Die ›Übersetzung‹ von Finnegans Wake
345
Um nachzuvollziehen, wie die Produkte der Finnegans Wake-Übersetzung für sich
allein funktionieren, bietet es sich an, ein Textbeispiel genauer zu untersuchen, das
auch Rathjen als Evidenz für seine Thesen anführt. Dabei zitiere ich direkt aus dem
Typoskript und übernehme auch die Marginalien, da diese einen integrale Bestandteil des Texts darstellen:
................. die authentischste Fassung, der Dumlat*, man
lese | die Schriften von Hofed=ben=Edar* nach, besagt,
daß es sich also zutrug. Wir | vernehmen daselbst, wie
es im Anfang geschah, daß – darin dem Kohl=Bauer
Cincinnatus gleich – der große alte Gärtner* das Tageslicht baß nützte, unter seinem | Rotholzbaum* (Sequoia
immer=gigantea), und der Sabbath=Nachmittag war
schwül, gleichsam Chevy=Jagd=Vorabend**, |und er
schritt, in paradiesischem Vor=Falls=Frieden, dem Pfluge
nach, rüsselnd & rodend, im | Hinter=Garten von Mob=
Haus, der altbekannten Seefahrer=Raststätte, als durch
einen Läufer verkündet wurde, einem Mitglied des
königlichen Hauses* habe es gefallen, draußen auf | der
Landstraße zu halten, auf der ein Bummler von Fuchs=
Männchen* seine Duftmarkierung abgesetzt hatte, ge- |
folgt, gleichfalls im Schritttempo, von einer Koppel
von Stöber=Hunde=Damen.* Indem | er über seiner
offenbaren Vasallenpflicht als Lehnsmann des Königs*
schlechthin Alles vergaß, | versäumte Humphrey oder
Harold* sich nicht lange mit jochen & satteln; sondern
stolperte hinaus, erhitzten Gesichts | wie er war, (sein
Kopftuch,* sauren Schweißes voll, los' aus der Rocktasche), in Hast | den Vorhöfen der Herberge zu, in Topi*,
Packgurt, Sonnenschal und | Plaid, weitbauschenden
Knickerbockern,* Putties** und Planierungs=Fußwerk,
schier zinnobern gerötet von | flagranti=duftendem
Mergel, rüstig rasselnd mit Schlagbaum=Schlüsseln; so
trug er mitten unter die Jagdgesellschaft, die Picken bei
Fuß stand, eine hohe Stange herein, ob ihr zu schauen
ein Blumentopf, erdwärts gekehrt, mit Umsicht befestigt.
(FW 30:10–31:3)
* (wenden :'Talmud')
* ('Ben Edair'=kelt. Name
von Kap Howth) = 2 1
* 2 Garten! =2
* (ab hier Doppelsinnigkeit
beachten !)/**HCE; auch
Eva & Austreibung aus
dem Paradies
*1
* John Peel Kreis !
*4
*1
*2
* Hut
* Hut ! (ostindisch)
* vgl. S. 404/
** (ostind.: Gamaschen)
Der Abschnitt, der allerersten Typoskriptseite des Wake-Konvoluts entnommen,
beginnt mitten in einem Satz; die siebzehn Auslassungspunkte kennzeichnen den
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III Arno Schmidt
Text als Fragment. Dabei verweisen sie auf etwas, das im Text nicht manifest wird,
darin aber unterschwellig vorhanden ist: Der Beginn des Satzes, der Beginn des
Texts ist anderswo. Beim verbliebenen Satzrest handelt es sich um eine Quellenberufung auf einen fremden Text, den ›Dumlat‹ (oder ›Talmud‹), der die ›authentischste Fassung‹ der Gegebenheiten enthalte, die im Anschluss geschildert werden.
Sowohl in seiner formalen Präsentation als auch in seinem Inhalt verweist der Text
über sich hinaus. Er ist gerade nicht abgeschlossen, sondern markiert die Offenheit
seiner Ränder offensiv. Durch diese ausdrückliche Verweistätigkeit auf andere Texte
wird bereits in der allerersten Zeile des Wake-Typoskripts implizit die Bezogenheit
dieses Texts auf einen anderen markiert; wodurch die Bedingungen der Textentstehung thematisiert werden. Dabei ist die Wahl genau dieses Anfangs besonders signifikant, da angesichts der spezifischen Bedingungen der Textproduktion mit ihren
spezifischen Einschränkungen die Selektion eines bestimmten Textabschnitts eine
der wenigen Entscheidungen ist, die gänzlich in der Verfügungsgewalt des Textproduzenten liegen. Sollte Textautonomie bedeuten, dass dabei der Text, und nichts
als der Text selbst zählt, der in sich selbst abgeschlossen ist und seinen eigenen
Gesetzen gehorcht, so markiert allein dieser Beginn, dass der Text sich gerade nicht
als autonom präsentiert.
Der Text selbst beginnt im folgenden Satz mit einer vergleichsweise konventionellen kleinen Erzählung. So werden zunächst sowohl Zeit (›im Anfang‹), als
auch Ort (›unter dem Rotholzbaum‹) und Protagonist (›der große alte Gärtner‹)
eingeführt. Dabei wird das Gattungsmodell der pastoralen Idylle evoziert, überblendet mit Anspielungen auf den Paradiesgarten der Genesis. Nach dieser Exposition kommt in einem zweiten Schritt gar so etwas wie eine Handlung in Gang:
Ein Läufer verkündet, ein Mitglied des Königshauses sei auf der Landstraße, was
den Gärtner in seiner Vasallenpflicht dazu anspornt, unverzüglich aufzubrechen,
um sich mit seiner Standarte, einem an einer hohen Stange aufgehängten Blumentopf, der königlichen Jagdgesellschaft zu präsentieren. Zwischen diesen handlungstragenden Elementen finden sich in langen und verschachtelten, aber keinesfalls
ungrammatischen Sätzen kleinere Zusätze, so unter anderem eine Beschreibung
der verschiedenen Figuren auf der Straße und eine Aufzählung der ausgefallenen Kleidungsstücke des Gärtners. Insgesamt gibt es in diesem Textabschnitt nur
weniges, was rätselhaft bliebe, und sich nicht im Kontext der jeweils geschilderten
Konstellation sinnvoll eingliedern ließe.114 Auch finden sich immer wieder direkte
114 So bleibt zwar vielleicht unklar, was genau ein »Chevy=Jagd=Vorabend« (FW-Ü 30:14) oder
eine Koppel »Stöber=Hunde=Damen« (FW-Ü 30:19) darstellen sollen, doch im Kontext wird absolut
deutlich, dass es sich im ersten Fall um eine Zeitangabe, im zweiten aber um eine Gruppe von wandernden Tieren auf der Landstraße handeln muss.
3 Die ›Übersetzung‹ von Finnegans Wake
347
Referenzen auf Gegenstände außerhalb des Texts.115 Man kann also nicht nur eine
in sich kohärente Szene rekonstruieren, sondern sogar eine rudimentäre narrative Sequenz. Es wird demnach eine in sich konsistente Fiktion etabliert, die dabei
immer wieder über sich hinaus verweist. Gleichzeitig aber zeigt der Textabschnitt
diverse Artefakte eines literarischen Produktionsprozesses, der keiner Norm konventionellen Erzählens entspricht.
Im Falle des Wake sind es die langen Sätze in der Vorlage, die zu verfremdenden
Effekten führen. Gerade in der deutschen Bearbeitung des Texts, die sich eng an die
Struktur der Vorlage hält, führt dies dazu, dass die einzelnen Sätze mit einer Unzahl
von Zusätzen und Ergänzungen überladen werden, die sie kaum zu tragen vermögen. Obwohl an keiner Stelle eklatante Verstöße gegen die Regeln der Grammatik
festzustellen sind, werden die Grenzen dessen, was in einer Sprache gebräuchlich
ist, weit ausgedehnt. So machen es die zahlreichen Hyperbata im deutschen Text,
durch die Subjekt und Prädikat nicht selten weit auseinandergerissen werden,
unmöglich, den Text linear zu lesen, da diese Lücken selbst bei schnellstem Lesen
innerhalb der aktiven Aufmerksamkeitsspanne nicht geschlossen werden können.
Das permanente Aufschieben der grammatischen und semantischen Auflösung
führt zur Orientierungslosigkeit. Das Lesen dieses Texts bringt eine Maulwurfperspektive mit sich, die es erschwert, einen Überblick zu gewinnen, und sei es
auch nur über einen einzelnen Satz. Dadurch erzwingt der Text einen Wechsel im
Lesemodus: Statt der linearen Lektüre ist eine Vogelperspektive nötig, in der die
einzelnen Satzglieder wie in einem Puzzle analysiert und zusammengefügt werden
können.
In gewissen Passagen führt der Transformationsprozess dazu, dass Sprache in
ein freies Flottieren kommt, ohne dass es noch möglich wäre, feste Referenten zu
etablieren. Dadurch wird der Text kryptisch, wobei die obscuritas dieser Abschnitte
vermutlich aber das Resultat seiner unentwirrbaren Bezogenheit auf die Vorlage
ist. Gewisse Elemente im Text lassen sich nur angemessen verstehen, wenn man
den Text von Finnegans Wake als Referenz danebenlegt. Daher stellt sich die Frage,
ob das Typoskript für sich allein stehen kann, wenn viele Elemente darin Reaktionen auf interpretative Probleme darstellen, die darin zwar bearbeitet, aber gar
nicht mehr wiederholt werden. Evident wird dies am Beispiel der Kommentare in
der rechten Textspalte. Die Passagen lassen sich ohne das Wissen, worauf sie im
Ausgangstext reagieren, kaum sinnvoll lesen. Dies wird am folgenden Beispiel klar,
in dem die Bügelfalte einer Hose wie folgt beschrieben wird:
115 Etwa die gelehrte Anspielung auf L. Quinctius Cincinnatus, der sein Amt als römischer Diktator
frühzeitig niederlegte, um sich um seinen Acker zu kümmern (Liv., 3,27–28), oder der Verweis auf
den wissenschaftlichen Namen der Sequoia gigantea.
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III Arno Schmidt
Wie absolut nnnninng * zum Küssen ! **), wie sie über den Knöchel fiel […]
(FW-Ü 404:32)
Das Wort vor dem Asterisk wurde von Schmidt mit schwarzem Stift durchgestrichen
und ist nicht mehr zu entziffern. Zu beiden Stellen, die mit einem Asterisk markiert
sind, gibt es je eine Anmerkung, die jeweils eine mögliche Lesart oder Variante zur
jeweiligen Stelle vorschlagen: »* V: Ameise ! / ** Persse ! und grob«. In welchem
Verhältnis »Ameise« zum durchgestrichenen Wort – oder vielleicht auch zum Wort
»absolut« steht, ist aufgrund der im Typoskript vorhandenen Informationen unklar.
Auch der zweite Kommentar ist zur Erläuterung von »Küssen« allein weitgehend
nutzlos. Ohne Rückgriff auf das Wissen, das nur eine eingehende Beschäftigung
mit dem (englischen) Text von Finnegans Wake bieten kann, ist es nicht einmal klar,
ob es sich bei »Persse« tatsächlich um ein Wort handelt. Nur wer die Ballade von
Persse O’Reilly schon kennt, einen Song aus dem ersten Teil des Wake (FW 44–47),
die von Gerüchten über eine angebliche Transgression von H. C. E berichtet, kann
das Wort deuten; der Bezug zur konkreten Stelle bleibt allerdings weiter unklar. Ein
wenig Aufklärung bringt tatsächlich erst die Konsultation der englischen Parallelstelle: »how amsolookly kersse!«. Die ›Ameise‹ steht mit dem ersten Wort zumindest
in einem lockeren paronomastischen Zusammenhang; die Variante ›grob‹ ergibt
sich daraus, dass Schmidt in ›kersse‹ das englische Wort ›coarse‹ entdeckt hat.
Neben Persse, den Schmidt hinter dem Wort ebenfalls entdeckt hat, findet sich im
Wake auch eine Geschichte von einem Schneider namens ›Kersse‹ (FW 311), der
mit seinem Namensvetter ›Persse‹ jedoch große Ähnlichkeiten hat.116 Es zeigt sich
erneut, wie locker der Bezug zwischen dem wortspielerischen englischen Text und
der deutschen Lesbarmachung ist: Während es nachvollziehbar ist, ›armsolootely‹
an der vorliegenden Stelle als ›absolutely‹ zu lesen, stellt sich die Frage, wie genau
›kersse‹ mit den ›Küssen‹ in Verbindung steht. Die Unverständlichkeit des Texts wird
mithin potenziert, wenn der Bezug zur Vorlage verloren geht. Das bedeutet, dass
die englischen Wortspiele in der deutschen Übertragung zumindest in der Latenz
weiter erhalten bleiben. Allein die fremden Wörter, die sich gar nicht mehr im Text
befinden, sind in der Lage, die einzelnen Wörter darin wieder zusammenzuführen.
Hinter dem Text des Wake-Typoskripts liegt ein zweiter Text, der zwar verborgen
ist, aber immer wieder durchscheint, und damit dem Text eine dahinterliegende
zweite, nur virtuelle Ebene der Bedeutung stiftet.
Um damit die Kritik an der Sprechweise von der Textautonomie, wie sie laut
Rathjen durch Pseudoübersetzungen wie jene des Wake-Typoskripts entsteht, aus
116 Tindall 1959, 190: »it is likely that Kersse is Persse O’Reilly, who, as a Scandinavian invader, is
also a sailor. Sailor and tailor are twins of a sort«.
3 Die ›Übersetzung‹ von Finnegans Wake
349
der Perspektive des wilden Übersetzens zu verallgemeinern: Die Produkte dieses
Transformationsprozesses genügen in zwei unterschiedlichen Hinsichten nicht
dem Ideal eines autonomen Texts. Erstens sind sie, obwohl sie für sich allein gelesen
werden können, durchwegs und aufs engste mit den Texten verknüpft, aus denen
sie entstanden sind. Zweitens aber ist es zwar möglich, dass die Texte, die dabei
entstehen, sich durch eine Textualität auszeichnen, die keine Konformität mit der
außertextuellen Wirklichkeit anstrebt. Dies ist jedoch kein zwingendes Produkt des
Transformationsprozesses.
Der Alternativvorschlag der Theorie des wilden Übersetzens ist es, die spezifische sprachliche Qualität der Texte, die durch dieses Verfahren zustande kommen,
nicht über deren Konformität mit einem (außerliterarischen) Referenzgegenstand zu fassen, sondern über die Art und Weise, durch die der Text von einem
Element auf das nächste kommt und dabei ein Wort an das nächste, einen Satz
an den nächsten reiht. Während die interne Struktur des Texts sonst durch die an
einer Handlungslogik orientierte Gesetzmäßigkeit der Narration oder durch die
logischen Zusammenhänge einer Argumentation zustande kommt, ist es im Fall
des wilden Übersetzens allein die Reihenfolge der fremden sprachlichen Zeichen in
der Vorlage, die das Schreiben gliedert. In dieser Hinsicht handelt es sich bei wilden
Übersetzungen um Texte, die andere Texte zum Gegenstand haben, während die
Darstellung einer Situation oder einer Handlung immer erst in zweiter Linie, das
heißt, nur vermittelst des Bezugstexts geschieht.
Damit stellt sich auch hier die Frage nach der Intentionalität der Abweichung
im Übersetzungsprozess. Soll das wilde Übersetzen als eine gezielte Abweichung
und Subvertierung der Regeln des regulären Übersetzens konzipiert werden, dann
wäre auch in diesem Fall vorausgesetzt, dass Arno Schmidt spätestens während
der Arbeit am Wake-Typoskript neue Absichten mit dem Text hatte. Mit Blick auf
die Charakterisierung des Texts als einer Lesbarmachung scheint dies aber nicht
der Fall zu sein. Zwar kommen gewisse Verfahren der Übersetzung, die der wilden
Sorte zuzuordnen sind, bei der Entschlüsselung einzelner Wortspiele in Finnegans
Wake zum Einsatz und werden von Schmidt theoretisch reflektiert. Doch dieses Vorgehen wird auf ein hermeneutisches Ziel hin funktionalisiert, die Rekonstruktion
der Textbedeutung. Zwar findet im Zuge dieser Auseinandersetzung eine Selbstermächtigung gegenüber dem Ausgangstext statt, aber ohne dies direkt fürs Schreiben eines eigenen Texts zu benutzen. Mit Blick auf das Wake-Typoskript allein ist
kaum von einer wilden Übersetzung als einer gezielten Wendung gegen die Regeln
des Übersetzens zu sprechen.
Nachdem die Arbeit am Typoskript längst abgeschlossen war und sich für Schmidt
die Aussicht zerschlagen hatte, die Übersetzungsrechte zu erhalten oder eine monografische Joyce-Publikation veröffentlichen zu können, kommt es zu einer Zweit-
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III Arno Schmidt
verwertung, insofern einzelne Formulierungen und Abschnitte aus der Wake-Übersetzung in verschiedene Texte der Ländlichen Erzählungen eingebaut wurden.117
In verschiedene Texte werden systematisch einzelne Übersetzungssplitter eingebaut, insgesamt gibt es in sieben der zehn Erzählungen mehr als ein Dutzend
Formulierungen, die dem Wake-Typoskript entstammen.118 Diese zeichnen sich,
im Vergleich zu den Abschnitten, die sie umgeben, durch spezifische stilistische
Eigenheiten aus, die in diesen Erzählungen unterschiedlichen Funktionen dienen.
Sie werden dazu eingesetzt, die innere Wahrnehmung der Welt durch die Protagonisten in verdichteter und sprachlich überraschender Weise darzustellen. Diese
Neukontextualisierung von Textabschnitten aus dem Wake-Typoskript impliziert
eine Umdeutung. Ganz egal, was zuvor deren Status war: An ihrer neuen Stelle
handelt es sich bei diesen Sätzen um Literatur. Und so wird die fragwürdige ›Übersetzung‹ von Finnegans Wake einer neuen Aufgabe zugeführt.
Wie diese literarische Weiterverwendung von Text aus dem Wake-Typoskript
in den Ländlichen Erzählungen umgesetzt wird, soll exemplarisch an einem Beispiel
aus der Erzählung Kundisches Geschirr aufgezeigt werden. Rathjen beschränkt sich
in seinen Aufsätzen weitgehend darauf, die einzelnen Stellen in den Ländlichen
Erzählungen, in denen sich Material aus dem Wake findet, knapp zu verzeichnen
und sie mit wenigen Worten zu kommentieren. Das vorliegende Beispiel beschreibt
er als die »längste und vielleicht raffinierteste Übernahme«, die durch eine »komprimierte und variierte Auslese« von Textabschnitten einer einzelnen Typoskriptseite
(FW-Ü 244) zustande gekommen ist.119 Diese Passage ist innerhalb der Erzählung
Kundisches Geschirr prominent platziert, ganz zu Beginn des Texts. Die Erzählung
beginnt damit, dass sich der Protagonist im allerfrühsten Morgengrauen auf die
Veranda setzt und die unmittelbare Umgebung des Hauses wahrzunehmen beginnt:
117 Rathjen 2015, 24: »Aber noch eine letzte Verwertungsmöglichkeit fällt Schmidt ein, und wieder
kommen die ›Ländlichen Erzählungen‹ ins Spiel. Unter den erhaltenen Zetteln zu Schmidts ›Caliban
über Setebos‹ ist dieser: ›Idee / in alle Geschichten etwas von der Joyce=Übers. zu mixen!‹. Wann
Schmidt diese Idee notiert hat, ist ungewiss«. Überblick über die übernommenen Stellen: Rathjen
2015, 24–26.
118 Rathjen 2015, 24.
119 Rathjen 2015, 25, der die Stelle als Rückverweis auf Schmidts Übersetzungsarbeit deutet:
»›Kundisches Geschirr‹ verweist also planmäßig zurück auf jene Situation, in der Schmidt seine
Übersetzungsarbeit anging«; vgl. zur Stelle und dem Montageprinzip auch Rathjen 2019, 116, der
betont, dass Schmidt erst jetzt den »enormen Witz der Textur von Finnegans Wake […] in seiner
ganzen Dimension zu erkennen und anzuerkennen« bereit sei und die »Zitatmontage den Wechsel
zu jenem mehrsprachigen und mehrstimmigen Schreiben ankündigt, das fürs Spätwerk prägend
wird« (Rathjen 2019, 116).
3 Die ›Übersetzung‹ von Finnegans Wake
351
Ruhe faltet die Fluren aus: Stillst’n Dank, 1 τ! (Das muß ich übersetzen? ‹1 τ = ein Tau = a
dew = Adieu›: Sag’ lang, Frau Nacht! Da Lord Sun die Augen öffnet. So viele, uns wunderlich
untertane Buchstaben.) Und Weizenkätzchen harren atemlos. Kleinstes plappert. (BA 1/3, 371)
Dieser Text ist größtenteils aus verschiedenen knappen Fragmenten zusammengesetzt, die alle von einer einzigen Seite des Wake-Typoskripts (FW-Ü 244) stammen.
Entnommen wurden dieser Seite die folgenden Abschnitte, denen jeweils die englischen Entsprechungen beigestellt werden:
1. »Kleinstes plappert !« – »Tiny tattling!« (FW 244:1)
2. »Und Weizenkätzchen harren atemlos.« – »And wheaten bells bide breathless«
(FW 244:22)
3. »Sag lang, mein Himmel !« – »Say long, scielo!« (FW 244:25)
4. »Und Ruhe faltet die Fluren ein. Stillst’n Dank. Adieu *« – »Quiet takes back her
folded fields. Tranquille thanks. Adew.« (FW-Ü 244:28–29)
5. »Da Lord Leu* die Augen geschlossen hält.« – »As Lord the Laohun is sheutseuyes.« (FW 244:31–32)
Bei der Erstellung des neuen Texts bedient sich Arno Schmidt einer Art Collagetechnik: Nach ihrer Selektion und Transformation werden die Textfetzen durch Umstellung und Neukombination in eine andere Ordnung gebracht (in der Reihenfolge
4–3–5–2–1 in der obigen Zählung). Das Vorgehen gleich dabei in vielen Aspekten
dem intertextuellen Prinzip des Centos, insofern durch das textuelle Neuarrangement der einzelnen Elemente ein neuer Textsinn entsteht, der eine kohärente
Lektüre des ganzen Abschnittes möglich macht. Dazu werden allerdings kleine
inhaltliche Eingriffe in den Text vorgenommen: Dabei werden Nacht und Sonne
in den Text integriert, indem »mein Himmel« durch »Frau Nacht« und »Lord Leu«
durch »Lord Sun« ersetzt werden; beides ist aber im Ausgangstext bereits angelegt,
schwebt doch am »scielo« die »Selene«, während sich hinter »Lord the Laohun« mit
seinen »shutseuyes« tatsächlich die Sonne verbergen könnte. Eine letzte Änderung
deutet die ursprüngliche Nachtszene zum Tagesanbruch um: die geschlossenen
Augen der Sonne öffnen sich. Insgesamt sind die Eingriffe in den Text gering; es
wird weitgehend mit dem beim Übersetzungsprozess generierten Sprachmaterial
operiert.
Im Abschnitt davor wird geschildert, wie der Protagonist, selbst Übersetzer,120
sich frühmorgens an die Arbeit setzt und dabei beobachtet, wie das Morgengrauen
120 Dass der Ich-Erzähler von Kundisches Geschirr ein Übersetzer ist, wird aus den Gesprächen
und Unterhaltungen deutlich, so in BA I/3, 374: »›Sie übersetzen–‹ fing sie an; ›Onkel Martin hat
die Bücher ja alle. […]‹« und erneut in BA I/3, 390: »Und hielt es nur=mir, dem Übersetzer, hin: ?!«.
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III Arno Schmidt
anbricht: Es ist die versprachlichte Perzeption des Übersetzers, die aus dem übersetzten Wake-Material zusammengestellt wird und sich in einer schnellen, mehrsprachigen Kette von Übersetzungen der sinnlich wahrgenommenen Dinge äußert:
Der morgendliche »Tau« verabschiedet die »Nacht«, während die aufgehende
Sonne »ihre Augen öffnet« und die Natur, eben noch in »Ruhe« erstarrt, langsam
in Bewegung gerät. Die Passage fügt sich nahtlos in den narrativen Kontext des
Texts ein. Nur in ihrer sprachlichen Faktur unterscheidet sie sich von ihrer Umgebung. In den ersten Worten des Abschnitts wird der Übersetzungsprozess auch als
solcher explizit benannt. Es handelt sich dabei nicht nur um eine Thematisierung
des textinternen Übersetzungsprozesses, sondern auch um eine metapoetologische
Markierung der tatsächlichen Bedingungen, unter denen der Text dieses Abschnitts
entstanden ist. Gleichzeitig geschieht dies auch in der Performanz der Inszenierung: Es handelt sich dabei um eine textinterne Übersetzungsbewegung, die aus
zwei kryptischen Zeichen über eine kurze Reihe von Transformationen durch
mehrere Sprachen hindurch eine kleine poetische Erkenntnis über die erzählte
Welt gewinnt und sogleich entfaltet: Der Tau, der sich frühmorgens auf ruhigen
Fluren niederschlägt, ist das Zeichen des Abschieds von der personifizierten Nacht.
Während die einzelnen Übersetzungen von der Schrift in die Sprache und über die
Sprachgrenzen hinweg die Progression des Gedankens ermöglicht, finden sich die
semantischen Kippstellen in den einzelnen Wörtern selbst. Das Prinzip der Übersetzung, das die zusammengestellten Textstücke erst hervorgebracht hat, wird in
selbstreferenzieller Weise auf sich selbst angewendet. Der Text beginnt, sich selbst
zu übersetzen, und geht dabei über das vorgefundene Material hinaus. Er wird in
der Transformation schöpferisch, indem er das Prinzip der Übersetzung von den
sprachlichen Zeichensystemen in die Grafie überträgt, und die Grenze zwischen
den Schriften überwindet: »1 τ«. Die arabische Ziffer 1 und der griechische Buchstabe Tau werden dabei gewissermaßen zu einem kryptischen Symbol der ganzen
Übersetzungskonstellation, die sich darauf aufbaut; sie repräsentieren in sich das
semantische Potenzial, das durch den anschließenden Übersetzungsprozess aufgefaltet werden kann. Es lohnt sich, die Funktionsweise dieser inszenierten Übersetzung des Texts genauer zu studieren. So ist »ein Tau« zunächst die deutschsprachige Vokalisierung der arabischen Ziffer und des griechischen Buchstabens. Was
in abstrakter Weise geschrieben stand, wird in die Lautung der deutschen Sprache
übersetzt. Diesem Ausdruck wohnt, anders als den beiden Schriftzeichen, eine neue
semantische Polyvalenz inne, da Tau nicht nur einen griechischen Buchstaben,
sondern auch Seil und kondensierten Niederschlag bezeichnet. Alle drei Lesarten
sind darin gleichwertig, die Selektion einer davon wird erst durch die nächste Übersetzung ins Englische festgelegt. Und obwohl das Wort in beiden Sprachen eigentlich
nicht zählbar ist, wird im Zuge der Transformation festgelegt, dass es sich dabei um
die Tröpfchen des Morgentaus handelt. Durch Paronomasie aber wird das englische
3 Die ›Übersetzung‹ von Finnegans Wake
353
Wort, mitsamt seinem Artikel, ein weiteres Mal in seiner Bedeutung umgekippt. Es
resultiert, noch immer in britischer Aussprache, der französische Abschiedsgruß.
Dieses Adieu wird jedoch, nach dem abschließenden Doppelpunkt, zum Abschied
an die Nacht gerichtet. Es ist der englische Abschiedsgruß ›say long‹, aus dem die
Formel »Sag’ lang« ihre Bedeutung zieht. Die Mehrsprachigkeit der Zeichenkonstellation, die im Wake-Typoskript getilgt wurde, wird in diesem literarischen Kontext
wieder aufs Neue in den Text hineingebracht.
Die Elemente in diesem vielgliedrigen sprachlichen Gleichungssystem haben
ihren Ursprung allesamt im Übersetzungsprozess an Finnegans Wake. Es handelt
sich dabei aber nicht um Produkte, die dem endgültigen Haupttext des Wake-Typoskripts entstammen. Ganz im Gegenteil verkörpern sie unterschiedliche Stufen des
wilden Übersetzungsprozesses. Die verschiedenen Elemente im Paradigma der
unterschiedlichen Übersetzungsschritte kommen in diesem Text nebeneinanderzustehen. An der Wurzel der Kette steht dabei ein einzelnes Wortspiel aus Finnegans
Wake, dessen Potenzial in dieser Passage zu seiner Gänze aufgefaltet wird und das
als Fluchtpunkt bis in den vorliegenden Text hineinwirkt, obwohl es darin selbst
gar nicht vorhanden ist: Es ist das Wort »Adew« (FW 224:29). Im Wake-Manuskript
findet sich dazu die Übersetzung als Abschiedsgruß: »Adieu«; in den Marginalien
hingegen wird dazu als zweite Lesart »Oh, Tau« verzeichnet, wobei das ›O‹ handschriftlich über ein getipptes ›A‹ geschrieben ist.
Hierin versteckt sich eine weitere Lesart, in der das ›A‹ nicht als unbestimmter
Artikel, sondern als Interjektion aufgefasst wird. Diese Umdeutung des englischen
Worts aber macht den letzten Schritt der vorliegenden Übersetzungskette erst
möglich. Denn während diese Formen eins zu eins aus den verschiedenen Produktionsstufen der Arbeit an Finnegans Wake entnommen wurden, ist der allererste
Schritt in der Kette, der Aufhänger der ganzen Konstellation, eine spezifische Ergänzung für diesen Text. Dabei wird das semiotische Spektrum an Zeichenordnungen
innerhalb der Übersetzung entscheidend erweitert, insofern die interlinguale
Übersetzung um die Transformation zwischen unterschiedlichen Schriftsystemen
ergänzt wird. Dadurch wird die gesamte Konstellation weiter in Richtung der
Anagrammatik geführt. Auch diese Buchstäblichkeit der wahrgenommenen Welt
wird im Text ausdrücklich thematisiert, in einer seltsamen, zwischen den einzelnen
Übersetzungsfragmenten eingefügten Bemerkung: »So viele, uns wunderlich untertane Buchstaben.« (BA 1/3, 371)
Liest man den Abschnitt im sensus literalis als eine Beschreibung einer frühmorgendlichen ländlichen Szenerie, so wirkt die Bemerkung merkwürdig und fehl
am Platz. Viel besser lassen sich diese Worte als Kommentar auf den sprachlichen
Transformationsprozess verstehen, durch den der vorliegende Text entstanden ist:
Die Buchstaben – und damit stellvertretend auch: die Sprache – unterstehen in
dieser Vision ganz der Verfügungsgewalt des Schreibenden. Wider Erwarten sind
354
III Arno Schmidt
sie, unter allen möglichen Kombinationen, die in diesem Prozess denkbar wären,
genau in jene Konfiguration gefallen, die an dieser Stelle passt. Die Widerständigkeit der Sprache in ihrer Eigengesetzlichkeit, die dieses geglückte Resultat zu einer
wunderlichen Überraschung macht, wird anerkannt. Nur weil es sich nicht von
selbst versteht, dass die gegebenen Buchstaben so zueinander fallen, dass eine
kohärente Schilderung entsteht, ist der Ausruf hier angebracht. Eine direkte Wiedergabe der Wirklichkeit wird damit nicht gegeben. Vielmehr ist es die Arbeit in
der Sprache, die Transformation und Kombination gegebener Buchstaben, die das
generative Moment dieser Episode ist. Dass daraus eine in sich kohärente Schilderung entsteht, die sich im Kontext perfekt einfügt, ist erst ein sekundärer Effekt.
Arno Schmidts Auseinandersetzung mit Finnegans Wake und sein Versuch
einer Übersetzung dieses Texts ist aus der Perspektive einer Theorie des wilden
Übersetzens absolut faszinierend. Dies weniger, weil es sich beim Typoskript selbst
um eine ausgewachsene wilde Übersetzung handelt, obwohl sich verschiedene
Abschnitte in den Kommentaren, ausmachen ließen, die sich entsprechender
Verfahren bedienen. Vielmehr war es möglich, das Wildwerden der Übersetzung
systematisch zu rekonstruieren. Man kann dem Autor und Übersetzer Schmidt
regelrecht dabei zuschauen, wie er im Zuge der scheiternden Übersetzung das
poetische Potenzial dieser Schreibweise entdeckt und in den Ländlichen Erzäh
lungen zum ersten Mal funktionalisiert. Bei diesem kleinen Abschnitt handelt es
sich tatsächlich um eine wilde Übersetzung, also um ein Stück Text, das durch die
Anwendung einer Reihe von Verfahren, die dem Übersetzungsprozess entnommen
wurden, aus einem anderen, fremdsprachigen Text entstanden ist. Was wichtiger
ist: Der Text weiß darum und stellt dieses Wissen ganz ausdrücklich dar. Die wilde
Übersetzung ist von Beginn weg selbstreflexiv. Thematisiert wird die Entdeckung
des poetischen Potenzials von falsch übersetzten Texten. Was bislang weitgehend
zufällig geschehen ist, wird in der Folge zu einem eigentlichen Prinzip in der literarischen Produktion Arno Schmidts werden. Die Verfahren, die im Zuge der Arbeit
an Finnegans Wake entdeckt wurden, werden für die Arbeit an Zettel’s Traum für
den genuin literarischen Gebrauch operationalisiert. Gleichzeitig werden sie mit
fragwürdigen psychoanalytischen Theoremen autorisiert, um als sogenannte Etymtheorie für ein realistisches Erzählen eingesetzt zu werden. In dieser Hinsicht spielt
die Wake-Übersetzung für die Frage der Genese des wilden Übersetzens in Schmidts
Werk eine entscheidende Rolle.
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English
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Effect of CO2 phase on its water displacements in a sandstone core sample: experimental study
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Mağallaẗ al-buḥūṯ wa-al-dirāsāt al-nafṭiyyaẗ
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No.19
Journal of Petroleum Research & Studies (JPR&S)
Effect of CO2 phase on its water displacements in a sandstone core sample:
experimental study
ﺗﺄﺛﻴﺮ
ﻁﻮﺭ
ﺛﺎﻧﻲ ﻏﺎﺯ
ﺍﻭﻛﺴﻴﺪ
ﺍﻟﻜﺎﺭﺑﻮﻥ
ﻋﻠﻰ
ﺇﺯﺍﺣﺘﻪ
ﻟﻠﻤﺎء
ﻣﻦ
ﻧﻤﻮﺫﺝ
ﺭﻣﻠﻲ
:
ﺩﺭﺍﺳﺔ
ﻣﺨﺒﺮﻳﺔ
Ebraheam Al-Zaidi*, Xianfeng Fan**
*Institute for Materials and Processes, School of Engineering, The University of Edinburgh, King’s
Buildings, Mayfield Road, Edinburgh, EH9 3JL, United Kingdom
**Corresponding author. Tel.: +44 0 131 6505678; fax: +44 0131 6506551.
E-mail address: x.fan@ed.ac.uk (X. Fan). No.19
Journal of Petroleum Research & Studies (JPR&S)
Effect of CO2 phase on its water displacements in a sandstone core sample:
experimental study
ﺗﺄﺛﻴﺮ
ﻁﻮﺭ
ﺛﺎﻧﻲ ﻏﺎﺯ
ﺍﻭﻛﺴﻴﺪ
ﺍﻟﻜﺎﺭﺑﻮﻥ
ﻋﻠﻰ
ﺇﺯﺍﺣﺘﻪ
ﻟﻠﻤﺎء
ﻣﻦ
ﻧﻤﻮﺫﺝ
ﺭﻣﻠﻲ
:
ﺩﺭﺍﺳﺔ
ﻣﺨﺒﺮﻳﺔ
Ebraheam Al-Zaidi*, Xianfeng Fan**
*Institute for Materials and Processes, School of Engineering, The University of Edinburgh, King’s
Buildings, Mayfield Road, Edinburgh, EH9 3JL, United Kingdom
**Corresponding author. Tel.: +44 0 131 6505678; fax: +44 0131 6506551. E-mail address: x.fan@ed.ac.uk (X. Fan). No.19
Journal of Petroleum Research & Studies (JPR&S)
Effect of CO2 phase on its water displacements in a sandstone core sample:
experimental study
ﺗﺄﺛﻴﺮ
ﻁﻮﺭ
ﺛﺎﻧﻲ ﻏﺎﺯ
ﺍﻭﻛﺴﻴﺪ
ﺍﻟﻜﺎﺭﺑﻮﻥ
ﻋﻠﻰ
ﺇﺯﺍﺣﺘﻪ
ﻟﻠﻤﺎء
ﻣﻦ
ﻧﻤﻮﺫﺝ
ﺭﻣﻠﻲ
:
ﺩﺭﺍﺳﺔ
ﻣﺨﺒﺮﻳﺔ
Ebraheam Al-Zaidi*, Xianfeng Fan**
*Institute for Materials and Processes, School of Engineering, The University of Edinburgh, King’s
Buildings, Mayfield Road, Edinburgh, EH9 3JL, United Kingdom
**Corresponding author. Tel.: +44 0 131 6505678; fax: +44 0131 6506551. E-mail address: x.fan@ed.ac.uk (X. Fan). No.19 Journal of Petroleum Research & Studies (JPR&S) Introduction
1 CO2 capture and storage (CCS) is considered to be one of the promising techniques to reduce CO2
emissions to the atmosphere. The captured CO2 is stored into deep saline aquifers, depleted oil and gas
reservoirs [1], or unminable coal beds [2, 3]. The injected CO2 can also be utilized as a working fluid to
enhance hydrocarbon recovery from oil and gas reservoirs, to enhance methane production from coal
beds, or to extract geothermal heat from subsurface formations [2, 4]. In these subsurface formations,
the injected CO2 can exist in gas, liquid or supercritical phase as shown in Fig. (1) [5-7]. CO2 capture and storage (CCS) is considered to be one of the promising techniques to reduce CO2
emissions to the atmosphere. The captured CO2 is stored into deep saline aquifers, depleted oil and gas
reservoirs [1], or unminable coal beds [2, 3]. The injected CO2 can also be utilized as a working fluid to
enhance hydrocarbon recovery from oil and gas reservoirs, to enhance methane production from coal
beds, or to extract geothermal heat from subsurface formations [2, 4]. In these subsurface formations,
the injected CO2 can exist in gas, liquid or supercritical phase as shown in Fig. (1) [5-7]. CO2 phase has a significant impact on its wettability, and the interactions between CO2, reservoir rock
and the fluids in reservoir pore space. For example, the supercritical CO2 has an ability higher than gas
and liquid CO2 to alter reservoir rocks towards less water-wetting state [8, 9]. An abrupt change in CO2
phase can result in a significant change in its viscosity and density [3, 10]. Therefore, the change in
CO2 phase might have a significant impact on the differential pressure, entrance pressure, CO2 injection
rate, CO2 displacement rate, CO2 migration, and finally the stability of sored CO2 and the efficiency of
enhanced oil and gas recovery [5, 11]. CO2 phase has a significant impact on its wettability, and the interactions between CO2, reservoir rock
and the fluids in reservoir pore space. For example, the supercritical CO2 has an ability higher than gas
and liquid CO2 to alter reservoir rocks towards less water-wetting state [8, 9]. An abrupt change in CO2
phase can result in a significant change in its viscosity and density [3, 10]. Abstract CO2 capture and storage have been considered as a key strategy to tackle CO2 high concentrations in
the atmosphere. The captured CO2 is injected into deep saline aquifers, depleted hydrocarbon reservoirs
and coal beds as gas, liquid, and/or supercritical phase. The CO2 phase may affect its injection,
migration, and displacement efficiency. Research work on CO2 storage has mainly focused on the
trapping mechanism, risk assessment, storage site selection, etc. However, CO2 phase effect on its
injection and displacement efficiency has largely been neglected. In this paper, experimental work was
designed to investigate the impact of CO2 phase on the pressure and production profiles as the
experimental pressure increases. The results show that CO2 phase significantly affects the differential pressure profile, relative
permeability of CO2, and residual water saturation in a sandstone core sample. The differential pressure
profiles of gaseous CO2 and supercritical CO2 phases were significantly different from that of liquid
CO2 phase, particularly before the CO2 breakthrough. The increase in the experimental pressure caused
an increase in the differential pressure profile of the sub critical CO2 phases (gaseous and liquid CO2)
but a reduction in that of the supercritical phase. The relative permeabilities of the three CO2 phases
were in the range of 11-21 % while the residual water saturations (Swr) were in the range of 36 to 42 %. In general, the relative permeabilities of both gaseous and supercritical CO2 phases are quite close. The
relative permeabilities of liquid CO2 phase are higher. The increase in pressure caused an increase in
the relative permeability and a decline in the Swr. The scale of the change depends on CO2 phase. Thus,
our results reveal the high impact of CO2 phase on its injection, and displacements efficiency. E 76 No.19 (JPR&S) sandstones, Tako sandstone, Bentheimer sandstone, Rothbach sandstone [4, 5, 7, 13-25]; [26, 27]. sandstones, Tako sandstone, Bentheimer sandstone, Rothbach sandstone [4, 5, 7, 13-25]; [26, 27]. However, the extensive research has been focused on various aspects of supercritical CO2. For
example, Herring et al. investigated the capillary pressure-saturation for supercritical CO2 (scCO2) and
brine at 37.5 0C and 83 bars [13]. Saeedi et al. [25] investigated scCO2-brine displacements in different
sandstone samples with the emphasis on the effect of cyclic CO2-brine on differential pressure and
saturation profiles. Chang et al. [28] conducted both drainage and imbibition CO2-core flooding of
supercritical CO2 and water on low permeability sandstone core samples under a pressure higher than
80 bars and at a temperature of 40 oC to study the dynamic drainage process of water by supercritical
CO2. To the authors’ best knowledge, there is no such investigations into the effect of CO2 pressure on the
differential pressure profile and production performance as a function of CO2 phase. In this paper,
laboratory dynamic CO2-water drainage experiments were performed to investigate the impact of CO2
pressure on the differential pressure profile, relative permeability of CO2, and residual water saturation. The drainage floodings have been conducted injecting pure gaseous CO2, liquid and supercritical CO2
phase into the deionised water saturated core sample. The results would provide important insights
about the impact of CO2 phase on its injectivity, water or oil production rate, CO2-water displacement
and CO2 migration in a sandstone reservoir. Introduction
1 Therefore, the change in
CO2 phase might have a significant impact on the differential pressure, entrance pressure, CO2 injection
rate, CO2 displacement rate, CO2 migration, and finally the stability of sored CO2 and the efficiency of
enhanced oil and gas recovery [5, 11]. Fig. (1) The pressure and temperature ranges at which saline aquifers are found underground [12]. ressure and temperature ranges at which saline aquifers are found underground [12]. Fig. (1) The pressure and temperature ranges at which saline aquifers are found undergr Extensive experimental and numerical research work has been designed to investigate CO2 wetting and
interfacial tensions under different pressure and temperature, relative permeability, capillary pressure-
saturation, the impact of porosity heterogeneity on CO2 migration and injection, CO2 level and
distribution, the sealing efficiency of caprocks, the effect of viscous stability on CO2-brine flood front
during immiscible displacements, and the optimization of CO2 injection to maximize both CO2 storage
and enhance oil recovery (EOR), etc. The investigations have been conducted in a wide range of
sandstone and carbonate core samples, such as: feldspar-rich sandstone, Berea sandstone, Nugget E 77 No.19 2.1 Experimental Setup Fig. (3) Shows the core-flooding setup used to conduct the CO2 (gas-liquid-supercritical)–water
displacements. The experimental system consists of two high-pressure syringe pumps (Teledyne ISCO,
Lincoln, NE, United States) with flowrate ranging from 0.0001 to 25 ml/min for CO2 injection and CO2
collection, a core holder, a water bath (GD 100) to control the temperature, a confining pressure pump
(CM400) and a vacuum pump (Edwards, Model E2M5). A LabVIEW program was built to record the
readings from the pressure transducers (UNIK 5000 pressure-sensor, 0-100bar) at the inlet and the
outlet of the core sample. Fig. (3) The experimental setup for CO2 (gas-liquid-supercritical)–water displacements. Fig. (3) The experimental setup for CO2 (gas-liquid-supercritical)–water displacements. Materials and Experimental Setup
2 The unsteady state dynamic drainage experiments (CO2-water displacements) were conducted on a
prototypical sandstone core sample from Guillemot A Field in the North Sea. The core sample is 1 inch
in diameter and 3 inches in length as shown in Fig. (2). The average porosity and absolute water permeability of the core sample were about 14% and 15.8mD,
respectively. Before the CO2-water displacement, the pore volume, porosity and absolute water
permeability were determined. The weight difference between the dry and the wet core sample was
used to calculate the core sample pore volume and porosity. The absolute water permeability was
calculated by using the average pressure difference and the water flowrate under quasi-steady state
conditions. The water used in this study was deionized. E 78 No.19 No.19 No.19
Journal of Petroleum Research & Studies (JPR&
Fig. (2) Core sample used in this study nal of Petroleum Research & Studies
Fig. (2) Core sample used in this study Journal of Petroleum Research & Studies (JPR&S) Fig. (2) Core sample used in this study Journal of Petroleum Research & Studies (JPR&S) The core sample was wrapped into a shrinkable Teflon tube followed by a rubber sleeve and then
placed inside the core holder. The core holder was mounted horizontally inside the water bath. The
confining pressure was maintained at about 135 bars, which is always higher than the pore pressure to
prevent fluid bypassing. Prior to each flooding experiment, a constant pressure was applied to the entire system using the
syringe pump at each end. The water bath was set to the required temperature. During the experiment, the fluid flowrate and pressure were controlled by two high pressure syringe
pumps (Teledyne ISCO, Lincoln, NE, United States) placed under room conditions. The transient
behavior of the inlet pressure, the outlet pressure and the outlet fluid (water and CO2) flowrate were
closely monitored and analyzed. The inlet and the outlet pressure transducer readings were recorded
every six seconds using the LabVIEW software, in order to calculate the pressure difference between
the inlet and the outlet. At the end of each experiment, the core sample weight was measured using a
Sartorius weighing scale with a resolution of 0.0001g. The residual water saturation (Swr) with respect
to the injected CO2 was calculated as the ratio of the produced water to the total core pore volume. It should be noticed that since the injecting and collecting pumps are placed under room temperature,
the injected CO2 experiences an expansion. The density of the injected CO2 varies as the CO2 enters the
water bath. The density ratio (defined in Equation 1) suggested by Perrin and Benson [29] has been
used to calculate the real injection rate inside the core sample. For instance, at experimental pressure of
40 bars, a flowrate of 1 cm3/min at 20°C becomes 1.108cm3/min at 33°C. However, at experimental
pressure of 70 bars, it becomes 3.288cm3/min. ௗೀమమబǡరబ್ೌೝ
ௗೀమయయǡరబ್ೌೝ (1) CO2- water displacement procedure
3 The unsteady state CO2-WATER displacements, gasCO2-WATER displacement, LiquidCO2-WATER
displacement and supercriticalCO2-WATER displacement were conducted on a sandstone core sample. E 79 No.19 Results and discussions
4 To gain a deep insight into the CO2-WATER dynamic drainage displacements and the effect of CO2
phase, the inlet and outlet pressure, outlet CO2 and water flow rates, the estimated residual water
saturation and endpoint relative CO2 permeability were measured and analyzed. Journal of Petroleum Research & Studies (JPR&S) the first period. During the first period, the differential pressure profile of liquid CO2 characterized by a
quasi-pressure reduction while that of gaseous and supercritical CO2 phases characterized by a high
reduction. The results also show that the response of the differential pressure profile to the increase in the
experimental pressure is a function of CO2 phase, too. For sub critical CO2 phases (gaseous and liquid
CO2), the increase in the experimental pressure led to an increase the differential pressure profile while
for supercritical phase the increase in the pressure caused a reduction in the pressure differential
pressure profile. Fig. (4) shows that the increase in the experimental pressure led to an increase in the rate of the
pressure difference (PD) oscillation, a rise in the maximum-pressure difference (Pdmax), a rise in the
quasi-pressure difference, and a reduction in the time required to achieve the maximum pressure
difference (corresponding time). The quasi pressure difference in this study refers to the pressure
difference at the end of the core flooding. The rate of the change in the PD oscillations, pressure
differences, and corresponding time depend on the magnitude of the experimental pressure. The highest
change occurred as the experimental pressure increased from low (40 and 50 bars) to higher pressure
displacements (70 bars). For illustration, as the experimental pressure increased from 40 to 50 bars, the rate of PD oscillations
increased by around 33% and the Pdmax by about 2.50 % while the quasi pressure difference was
constant at around 1 bar. The corresponding time declined by approximately 17 %. However, as the
pressure increased from 50 to 70 bars, the PD oscillations increased by 225%, the Pdmax by around
9%, and the quasi pressure difference by 165%. The corresponding time dropped considerably by
around 78%. The high reduction in the corresponding time as the pressure increased from 50 to 70 bars
can be related mainly to gas density and CO2 injection rate. As pressure increases, the gaseous CO2
became denser and the injection rate increased due to temperature difference, for more information see
page 80. Hence, gaseous CO2 needed much less time to be compressed to the required pressure. On the
other hand, the high increase in the quasi pressure difference can be related mainly to the increase in
the applied viscous forces due to increasing viscosity and the injection injection rate because of gas
expansion. 4.1
Effect of CO2 phase on the differential pressure profile as experimental pressure increases. Fig. (4) to Fig. (6) Show that the differential pressure profile is characterized by a high reduction,
mainly during the first period (i.e before CO2 breakthrough). This reduction occurs as the CO2/water
interface proceeds along the core sample, thereby a more viscous fluid (water) is being replaced by a
less viscous fluid (CO2) [30]. The results indicate that the differential pressure profile is a function of CO2 phase, particularly during The results indicate that the differential pressure profile is a function of CO2 phase, pa ate that the differential pressure profile is a function of CO2 phase, particularly during E 80 No.19 No.19 No.19 Journal of Petroleum Research & Studies The maximum pressure differences can be related to the pressure drop due to viscous forces and that
due to interfacial tension forces. As the experimental pressure increases, the pressure drop due to
viscous forces increases while that due to interfacial forces reduces. This is because the increase in
pressure causes an increase in gas viscosity and CO2 injection rate as well as a reduction in the CO2- E 81 Journal of Petroleum Research & Studies (JPR&S) Journal of Petroleum Research & Studies (JPR&S) water IFT tension and increase in the contact angle because of increasing CO2 solubility [31, 32]. Hence, the observed increase in the maximum pressure difference with increasing pressure is because
viscous forces became larger than interfacial forces. It should be noticed that the observed fluctuations in the differential pressure profile (PD oscillations)
are due to the ratio of the interfacial forces to viscous forces. The phenomenon of PD oscillations
occurs when the interfacial forces becomes large enough to overcome viscous forces. The result is a
complete blocking of water production until the pressure builds up to overcome the interfacial forces
and open closed flow paths [30]. The complete blocking of production occurs due to the occurrence of
the re-imbibition process. It has been observed by Plug and Bruining that an alternate drainage and
imbibition process occurs during CO2 injection when the measurements close to the critical point of
CO2. This has been attributed to small perturbations that change the density and viscosity of CO2 and
temporary CO2-wet behaviour [3]. The phenomenon of PD oscillations has been investigated in depth
in a different study. Fig. (4) Effect of pressure on the differential pressure profile of gas CO2-water displacements
conducted at 0.4 ml/min, 33 oC. -0.4
-0.2
0
0.2
0.4
0.6
0.8
1
0
20
40
60
80
100
Pressure difference (bar)
Time (min)
70bars
50bars
40bars Fig. (4) Effect of pressure on the differential pressure profile of gas CO2-water displacements
conducted at 0.4 ml/min, 33 oC. Fig. (5) shows that as the experimental pressure of liquid CO2 increased, the maximum pressure difference
increased by 17% (from 0.463 to 0.543 bar), and the quasi-pressure difference by around 5% (from 0.222
to 0.233 bars). The corresponding time was small and constant at around 0.5 min. Interestingly, the PD
oscillations disappeared. E 82 No.19 (JPR&S) The disappearance of the oscillations and the small and constant corresponding time can be related to the
dense nature of liquid CO2 and the negligible impact of interfacial forces. The dense nature means that the
pressure drop due to viscous forces is always higher than that due to interfacial forces, thereby no PD
oscillations. Moreover, the dense nature of liquid CO2 means much less corresponding time is required to
reach the maximum pressure difference in comparison to gaseous CO2. For instance, as the CO2 phase
changed from gaseous to liquid CO2 state, the corresponding time decreased by around 71 % (from 1.7 to
0.5 min) as shown in Fig. (4) and Fig. (5). Fig. (5) Effect of pressure on the differential pressure profile of liquid CO2-water displacements
conducted at 0.4ml/min, and 20 0C. 0
0.1
0.2
0.3
0.4
0.5
0.6
0
10
20
30
40
50
60
Pressure difference (bar)
Time (min)
70bars
60bars 70bars
60bars Fig. (5) Effect of pressure on the differential pressure profile of liquid CO2-water displacements
conducted at 0.4ml/min, and 20 0C. On the other hand, Fig. (6) reveals that increasing pressure caused a significant reduction in the
maximum and quasi pressure differences and the corresponding time of supercritical CO2 phase. As the
pressure raised from 75 to 90 bars, the maximum-pressure difference dropped by around 47 %, the
quasi-pressure difference by around 39 %, and the corresponding time by around 68%. The largest change in the maximum and the quasi-pressure differences occurred as the pressure
increased from 80 to 90 bars. When the pressure increased from 75, 77, 80 to 90 bars, the maximum
pressure difference decreased from around 1.121, 0.9275, 0.767, to 0.599 bars, and the quasi-pressure
difference declined from 0.363, 0.3045, 0.281 to 0.221 bars. However, the corresponding times are 1.9,
0.8, 0.4, and 0.6 mins. Fig. (6) suggest also that as the pressure increases, the differential pressure profile of supercriticalCO2-
water displacement transformed from the likeness of a gaseous CO2 behaviour to a liquid CO2
behaviour. For instance, the differential pressure profile of the 75 bars-experiment is very similar to that E 83 No.19 Journal of Petroleum Research & Studies (JPR&S) (JPR&S) of a typical high-pressure gasCO2-water displacement while that of 90 bars is virtually identical to that
of a typical liquid CO2-water displacement. The similarity to a gaseous or liquid CO2 behaviour has
been decided based on the differential pressure profile, mainly during the first period. The differential
pressure profile of the experiments conducted at gaseous CO2 conditions characterizes by a sharp
pressure reduction during the first period. On the other hand, the differential pressure profile of the
experiments conducted at liquid CO2 conditions characterizes by a quasi-stable pressure profile during
the first period. The reduction in the differential pressure profile can be related mainly to the reduction in the interfacial
tension forces due to the drop in the CO2-water interfacial tension and the increase in contact angle
because of the increase in CO2 solubility [32, 33]. The transformation of the differential pressure profile with increasing pressure proposes that the
interfacial and viscous properties of supercritical CO2 phase become similar to that of gaseous CO2
phase at low pressures and similar to that of liquid CO2 phase at high pressures. The liquid CO2
characterized by a higher impact of viscous forces and a lesser impact of interfacial forces forces in
comparison to gaseous CO2. With increasing pressure, the impact of the viscous forces become higher
while the impact of the interfacial forces become lesser. This because the increase in the experimental
pressure leads to an increase in the CO2 density and viscosity as well as a decrease in the interfacial
tension and an increase in the contact angle due to increasing CO2 solubility [3, 5]. For instance, as the
pressure increased from 75 to 90 bars, the scCO2 density increased from 410.255 to 666.69 kg/m3, the
CO2 injection rate decreased from 0.798 to 0.506 ml/min, the viscosity increased from 33.3095 to
53.837 [ 10-6 (Pa s)], and the CO2-water interfacial tension reduced from around 28 to 25 mN/m (34). The transformation of the differential pressure profile with increasing pressure proposes that the
interfacial and viscous properties of supercritical CO2 phase become similar to that of gaseous CO2
phase at low pressures and similar to that of liquid CO2 phase at high pressures. The liquid CO2
characterized by a higher impact of viscous forces and a lesser impact of interfacial forces forces in
comparison to gaseous CO2. (JPR&S) With increasing pressure, the impact of the viscous forces become higher
while the impact of the interfacial forces become lesser. This because the increase in the experimental
pressure leads to an increase in the CO2 density and viscosity as well as a decrease in the interfacial
tension and an increase in the contact angle due to increasing CO2 solubility [3, 5]. For instance, as the
pressure increased from 75 to 90 bars, the scCO2 density increased from 410.255 to 666.69 kg/m3, the
CO2 injection rate decreased from 0.798 to 0.506 ml/min, the viscosity increased from 33.3095 to
53.837 [ 10-6 (Pa s)], and the CO2-water interfacial tension reduced from around 28 to 25 mN/m (34). Moreover, it is expected also that as the pressure increases, the wettability of liquid and supercritical
CO2 phases might become very close at high pressure conditions. For supercritical CO2, a potential
wettability alteration towards hydrophobic wetting state might occur as pressure increases [32]. However, for liquid CO2, the potential hydrophobic wetting state might occur due to phase
transformation [8]. Yang et al. 2005 observed that as gaseous CO2 phase transformed to liquid CO2, the
wetting state becomes hydrophobic [8]. Moreover, it is expected also that as the pressure increases, the wettability of liquid and supercritical
CO2 phases might become very close at high pressure conditions. For supercritical CO2, a potential
wettability alteration towards hydrophobic wetting state might occur as pressure increases [32]. However, for liquid CO2, the potential hydrophobic wetting state might occur due to phase
transformation [8]. Yang et al. 2005 observed that as gaseous CO2 phase transformed to liquid CO2, the
wetting state becomes hydrophobic [8]. E 84 No.19 No.19 Journal of Petroleum Research & Studies Journal of Petroleum Research & Studies (JPR&S) (JPR&S) Fig. (6) Effect of pressure on the differential pressure profile of supercritical CO2-water
displacements conducted at 0.4ml/min, and 33 0C. 2 Effect of CO2 phase on residual water saturation and relative permeability as
i
t l
i
0
0.2
0.4
0.6
0.8
1
1.2
0
20
40
60
80
100
Pressure difference (bar)
Time (min)
75bars
77bars
80bars
90bars Fig. (6) Effect of pressure on the differential pressure profile of supercritical CO2-water
displacements conducted at 0.4ml/min, and 33 0C. 0
0.2
0.4
0.6
0.8
1
1.2
0
20
40
60
80
100
Pressure difference (bar)
Time (min)
75bars
77bars
80bars
90bars Fig. (JPR&S) (6) Effect of pressure on the differential pressure profile of supercritical CO2-water
displacements conducted at 0.4ml/min, and 33 0C. 4.2 Effect of CO2 phase on residual water saturation and relative permeability as
i
t l
i At the end of the core floodings, the volume of the produced water was measured, the system was
depressurized to the atmospheric pressure to allow total degassing of the CO2, and the core sample was
weighed to obtain the residual water saturation. To calculate the relative CO2 permeability using
Darcy’s law, the average differential pressure and the average CO2 flow rate of the last period were
used. The CO2 viscosity at the experimental pressure and temperature was calculated using NIST
CHEMISTRY Webbook website [35]. The relative permeability of the CO2 is calculated at the residual
water saturation. The determination of the relative permeability of CO2 and its variation with the
investigated parameters is of practical interest for CO2 sequestration in subsurface formations [36]. Table (1) reveals that the relative permeability of the three CO2 phases were in the range of 11-21%
while the residual water saturations in the range of 36-42%. Both gaseous and supercritical CO2 gave
close relative permeabilities. Liquid CO2 gave the highest relative permeabilities. The increase in the
experimental pressure led to an increase in the relative permeability of CO2 (KrCO2) and a decline in the
residual water saturation (Swr). The scale of change depends on CO2 phase. The increase in the KrCO2
can be attributed mainly to the increase in the CO2 injection rate due to the high impact of gas
expansion, for more information see page 80. The increase in injection rate might result in forcing the E 85 No.19 (JPR&S) CO2 to flow through a wider range of pores of the core sample. The reduction in the Swr can be
attributed to the increase in the capillary number (Ca) and the reduction in mobility ratio (M). CO2 to flow through a wider range of pores of the core sample. The reduction in the Swr can be
attributed to the increase in the capillary number (Ca) and the reduction in mobility ratio (M). For gaseous CO2, increasing pressure from 40 to 70 bars at 33 oC caused the KrCO2 to increase by
around 5.4 %, and the Swr to decrease by around 4.7 %. The largest increase in KrCO2 and the highest
reduction in the Swr occurred as the pressure increased from low pressure displacements (40 and 50
bars) to high pressure displacements (70 bars). This can be attributed to a relatively high increase in the
Ca and a high reduction in M. For liquid CO2, as the pressure increased from 40 to 70 bars at 20 oC, the KrCO2 increased very slightly
by around 0.6 %, and the Swr decreased by around 2.2 %. However, for supercritical CO2, as the
pressure increased from 75 to 90 bars at 33 oC, the KrCO2 increased significantly by around 8 %, and the
Swr decreased by around 1.5 %. Journal of Petroleum Research & Studies (JPR&S) 5 Conclusion In this paper, the effect of CO2 phase on the pressure and production profiles of CO2-water drainage
floodings has been investigated as the experimental pressure increases. The investigations were
conducted for the three phases of CO2 (gas, liquid, and supercritical). The results indicate a
considerable influence of the CO2 phase on the differential pressure profile, relative permeability of
CO2, and residual water saturation. The relative permeabilities of the three CO2 phases were in the
range of 11-21% while the residual water saturations were in the range of 36 to 42%. Both gaseous and
supercritical CO2 gave close relative permeabilities. Liquid CO2 gave the highest relative
permeabilities. The increase in the experimental pressure led to an increase in the relative permeability
of CO2 (KrCO2) and a decline in the residual water saturation (Swr). The scale of change depends on CO2
phase. The differential pressure profile is a function of CO2 phase, particularly before CO2 breakthrough. The
differential pressure profile of liquid CO2 characterized by a quasi-pressure reduction while that of
gaseous and supercritical CO2 phases characterized by a high reduction. The response of the differential pressure profile to the increase in the experimental pressure is a
function of CO2 phase, too. For sub critical CO2 phases (gaseous and liquid CO2), the increase in
pressure led to an increase the differential pressure profile while for supercritical phase the increase in
the pressure led to a reduction in the pressure differential pressure profile. For gaseous CO2 phase, the increase in the experimental pressure led to an increase in the rate of the
pressure difference (PD) oscillation, a rise in the maximum-pressure difference (Pdmax), an increase in
the quasi-pressure difference, and a reduction in the time required to reach the Pdmax (the
corresponding time). The highest change occurred as the pressure increased from low to high pressure
(70 bars) displacements. As the experimental pressure increased from 40 to 50 bars, the rate of PD
oscillations increased by around 33% and the Pdmax by about 2.50 % while the quasi pressure
difference was constant at around 1 bar. The corresponding time declined by approximately 17 %. However, as the pressure increased from 50 to 70 bars, the PD oscillations increased by 225 %, the
Pdmax by around 9 %, and the quasi pressure difference by 165 %. The corresponding time dropped
considerably by around 78%. Journal of Petroleum Research & Studies (JPR&S) Table (1) Effect of pressure on the end-point relative permeability of CO2, and residual water
saturation. Table (1) Effect of pressure on the end-point relative permeability of CO2, and residual water
saturation. Table (1) Effect of pressure on the end-point relative permeability of CO2, and residual water
saturation. Parameter
Experiment
Effective
permeabi
lity (mD)
Relative
permeabi
lity (%)
Residual
water
Mobility
ratio
Capillary
number
Gaseous
CO2
40-0.4ml/min-33 oC
1.768
11.3
42.44
46.26
5.265E-08
50-0.4ml/min-33 oC
1.987
12.7
40.89
44.56
6.250E-08
70-0.4ml/min-33 oC
2.613
16.7
37.79
36.10
2.504E-07
Liquid CO2
60-0.4ml/min-20 oC
3.188
20.3
36.9
14.3315
2.174E-07
70-0.4ml/min-20 oC
3.248
20.7
36.3
13.3996
2.734E-07
Supercritica
l CO2
75-0.4ml/min-33 oC
1.858
11.849
37.2
22.48
2.566E-07
77-0.4ml/min-33 oC
2.207
14.077
37.4
19.53
2.594E-07
80-0.4ml/min-33 oC
2.388
15.228
37.2
16.32
2.645E-07
90-0.4ml/min-33 oC
3.128
19.949
35.7
13.91
2.965E-07 E 86 No.19 5 Conclusion For liquid CO2 phase, increasing the experimental pressure from 60 to 70 bars caused the maximum
pressure difference to increase by 17% and the quasi-pressure difference by around 5%. The
corresponding time was constant at around 0.5 min. The differential pressure profile does not show
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displacement to transform from the likeness of gas-displacement performance to that of liquid-
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https://figshare.com/ndownloader/files/279706
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Latin
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An Excess of Gene Expression Divergence on the X Chromosome in Drosophila Embryos: Implications for the Faster-X Hypothesis
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PLOS genetics
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cc-by
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D. melanogaster
D. simulans
D. ananassae
D. persimilis
D. pseudoobscura
D. virilis
D. melanogaster
D. simulans
D. yakuba
D. ananassae
D. pseudoobscura
D. mojavensis
D. virilis
X
Autosomes
Embryos
Adults D. melanogaster
D. simulans
D. ananassae
D. persimilis
D. pseudoobscura
D. virilis
D. melanogaster
D. simulans
D. yakuba
D. ananassae
D. pseudoobscura
D. mojavensis
D. virilis
X
Autosomes
Embryos
Adults D. melanogaster
D. simulans
D. yakuba
D. ananassae
D. pseudoobscura
D. mojavensis
D. virilis
X
Autosomes
Adults Adults Embryos D. melanogaster
D. simulans
D. ananassae
D. persimilis
D. pseudoobscura
D. virilis
Embryos X
Autosomes Autosomes
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https://openalex.org/W2806490002
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https://www.beilstein-journals.org/bjnano/content/pdf/2190-4286-9-159.pdf
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English
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Nitrogen-doped carbon nanotubes coated with zinc oxide nanoparticles as sulfur encapsulator for high-performance lithium/sulfur batteries
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Beilstein journal of nanotechnology
| 2,018
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cc-by
| 4,820
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Email: * Corresponding author Keywords: Abstract Nitrogen-doped carbon nanotubes coated with zinc oxide nanoparticles (ZnO@NCNT) were prepared via a sol–gel route as sulfur
encapsulator for lithium/sulfur (Li/S) batteries. The electrochemical properties of the S/ZnO@NCNT composite cathode were eval-
uated in Li/S batteries. It delivered an initial capacity of 1032 mAh·g−1 at a charge/discharge rate of 0.2C and maintained a revers-
ible capacity of 665 mAh·g−1 after 100 cycles. The coulombic efficiency of the cathode remains unchanged above 99%, showing
stable cycling performance. X-ray photoelectron spectroscopy analysis confirmed the formation of S–Zn and S–O bonds in the
composite. This indicates that an enhanced cycling and rate capability of the S/ZnO@NCNT composite could be ascribed to advan-
tages of the ZnO@NCNT matrix. In the composite, the active ZnO-rich surfaces offer a high sulfur-bonding capability and the
NCNT core acts as a conductive framework providing pathways for ion and electron transport. The as-prepared S/ZnO@NCNT
composite is a promising cathode material for Li/S batteries. Nitrogen-doped carbon nanotubes coated with
zinc oxide nanoparticles as sulfur encapsulator for
high-performance lithium/sulfur batteries
Yan Zhao1, Zhengjun Liu1, Liancheng Sun1, Yongguang Zhang*1, Yuting Feng2
Xin Wang*3, Indira Kurmanbayeva4 and Zhumabay Bakenov4 Full Research Paper
Open Access
Address:
1School of Materials Science & Engineering, Research Institute for
Energy Equipment Materials, Hebei University of Technology, Tianjin
300130, China, 2Synergy Innovation Institute of GDUT, Heyuan,
Guangdong Province, China, 3International Academy of
Optoelectronics at Zhaoqing, South China Normal University, China
and 4Institute of Batteries LLC, National Laboratory Astana,
Nazarbayev University, 53 Kabanbay Batyr Avenue, Astana 010000,
Kazakhstan
Email:
Yongguang Zhang* - yongguangzhang@hebut.edu.cn; Xin Wang* -
xin.wang@zq-scnu.org
* Corresponding author
Keywords:
batteries; nanocomposites; sol–gel processes; sulfur; zinc oxide
(ZnO)
Beilstein J. Nanotechnol. 2018, 9, 1677–1685. doi:10.3762/bjnano.9.159
Received: 29 July 2017
Accepted: 21 May 2018
Published: 06 June 2018
Associate Editor: N. Motta
© 2018 Zhao et al.; licensee Beilstein-Institut. License and terms: see end of document. Introduction batteries [1]. Additionally, sulfur is naturally abundant, has low
cost and is environmentally friendly. But it is not conductive,
and it dissolves into the electrolyte in the form of lithium poly- batteries [1]. Additionally, sulfur is naturally abundant, has low
cost and is environmentally friendly. But it is not conductive,
and it dissolves into the electrolyte in the form of lithium poly- Due to its high theoretical specific capacity of 1672 mAh·g−1
and energy density of 2600 Wh·kg−1, sulfur has been consid-
ered as a promising cathode material for lithium/sulfur (Li/S) 1677
1677 Beilstein J. Nanotechnol. 2018, 9, 1677–1685. cathode material for Li/S battery in the literature. Here, we
present a composite S/ZnO@NCNT cathode exhibiting stable
performance and its structural and electrochemical analysis and
evaluation. sulfides (Li2Sn, 4 ≤ n ≤ 8) during battery operation [2]. This is
one of the major challenges in the commercialization of Li/S
batteries. To overcome this problem, a rational design of the
sulfur-based cathode is required, such as the addition of porous
conductive materials that could “attract” or ”confine” the S
atoms in the cathode, and, therefore, reduce any losses of S. Results and Discussion Figure 1 shows the XRD patterns of sulfur, ZnO@NCNT and
S/ZnO@NCNT composite. It can be seen that S is successfully
incorporated into the composite. The ZnO patterns can be
assigned to hexagonal wurtzite (JCPDS no. 36-1451). For the
patterns of ZnO@NCNT and S/ZnO@NCNT, the peaks at
about 31.1°, 34.4°, 36.3°, 47.5°, 56.6°, 62.8° and 68° corre-
spond to ZnO [17], and the broad peaks at around 23.8° are as-
sociated with NCNT [18]. The size of the ZnO nanoparticles
was calculated based on the (101) peak using the Scherrer equa-
tion [13,19] and was found to be around 6.2 nm. As an excellent conductive agent, carbon-based materials, e.g.,
carbon black, graphene and carbon nanotubes (CNTs), have
been widely used in Li/S composite cathode materials [3]. In
addition, by doping with N and a precise control of its morphol-
ogy, these carbon materials can also play an active role in S
confinement [4]. For example, it has been reported that the
functional nitrogen groups in N-doped graphene (NG) sheets
have a good binding capability for lithium polysulfides, which
can greatly enhance the life of Li/S batteries [5]. Another
popular strategy to reduce polysulfides from dissolution is using
metal oxides, such as TiO2 [6], ZnO [7], MnO2 [8], and SiO2
[9], as the additives or coating layer in the S-cathode. This is
because metal oxides can provide strong binding sites with S
and reduce the shuttling effect [10]. In addition, metal oxides
can be easily synthesized in various morphologies, e.g., hollow
structures, to “hold” S [11]. Similar to S, metal oxides are, how-
ever, not conductive [12]. Therefore, an efficient approach is to
use hybrids/composites of carbon materials and metal oxides, as
they could provide strong binding sites to sulfur while simulta-
neously improving the conductivity of the electrode. Figure 1: XRD patterns of S, ZnO@NCNT and S/ZnO@NCNT com-
posite. We previously reported the synthesis of ZnO nanoparticles on
NCNT as anode material for Li-ion batteries [13], and focused
on the effect of NCNT on ZnO nanoparticles. A high concentra-
tion of nucleation sites in NCNT allows ZnO to uniformly grow
on its surface with a small size. Also, NCNT has a higher elec-
trical conductivity due to its additional free electron pairs com-
pared to CNT without nitrogen doping. The ZnO@NCNT com-
posite showed excellent electrochemical properties in lithium-
ion batteries with a reversible capacity of 664 mAh·g−1 after
100 cycles at a current density of 100 mA·g−1. Inspired by these
results, we decided to use the ZnO@NCNT composite as a
part of cathode in Li/S batteries, focusing on the effect of
ZnO@NCNT on the absorption of polysulfides. Figure 1: XRD patterns of S, ZnO@NCNT and S/ZnO@NCNT com-
posite. In order to determine the sulfur content in the S/ZnO@NCNT
composite, the samples were studied by thermogravimetric
analysis (TGA) in nitrogen gas. Figure 2 shows that the sulfur
content in the S/ZnO@NCNT composite is about 74.7 wt %,
which agrees well with the precursors proportions used during
preparation. It can be concluded that the adopted technique,
ball-milling followed by heat treatment, enables preparation of
a high-performance composite of sulfur and ZnO@NCNT as it
is shown in the following experiments. Accordingly, in this work, we synthesized nanocomposites of
zinc oxide-coated nitrogen-doped carbon nanotubes with sulfur
(S/ZnO@NCNT). ZnO was chosen because it is cheap, non-
toxic and stable [14,15]. More importantly, ZnO demonstrates a
strong affinity to polysulfides. In addition, NCNT was used due
to its good conductivity and the ability of active nitrogen sites
to enhance the electrochemical performances of Li/S batteries
[13,16]. To the best of our knowledge, such uniquely structured
S/ZnO@NCNT composites have been rarely reported as Figure 3 illustrates the morphology and element distribution for
the as-obtained ZnO@NCNT composite before S loading. ZnO@NCNT exhibits a bamboo-like shape, ZnO nanoparticles
are uniformly coated on the NCNT walls, and most of the nano-
particles have a diameter of less than 10 nm (Figure 3c), which 1678 Beilstein J. Nanotechnol. 2018, 9, 1677–1685. Figure 2: TGA curve of the S/ZnO@NCNT composite. represent different planes of ZnO, revealing the polycrystalline
structure of the as-prepared ZnO@NCNT. Morphology and
structure of the ZnO@NCNT before S loading are similar to
those in our previous studies, and were discussed in our
previous work [13]. After loading with S, the morphology of resulting
S/ZnO@NCNT composite was again characterized by SEM and
TEM (Figure 4). These images show that, although there are
some large ZnO particles, the NCNT walls are coated by fine
ZnO particles. Moreover, the EDX mapping confirms the suc-
cessful loading and homogeneous distribution of S in the com-
posite (Figure 4f). As can be seen from Figure 4g, the
S/ZnO@NCNT composite still maintains a bamboo-shaped
structure, but the material is agglomerated and cross-linked to
each other, facilitating the transport of ions. Figure 2: TGA curve of the S/ZnO@NCNT composite. is consistent with the results of our previous research [13]. Energy-dispersive X-ray spectroscopy (EDX) also confirms the
presence and even distribution of C, Zn, O and N in
ZnO@NCNT (Figure 3d–g). The crystal lattice fringes with a
d-spacing of 0.26 and 0.25 nm were observed in the HRTEM
image of the ZnO@NCNT composite (Figure 3a), which corre-
spond to the (002) and (101) planes of ZnO, respectively. Figure 3b shows the selected area electron diffraction (SAED)
patterns of the ZnO@NCNT composite. The diffraction rings Some of the ZnO planes in the SAED patterns (Figure 3b), e.g.,
(101) and (112), are non-polar surfaces. They have been re-
ported to have a much higher surface energy and therefore to be
more active than the polar (100) plane [20]. Moreover, the high-
Miller-index surface (103) observed in SAED pattern is usually
more active than a low-Miller-index surface [21]. Therefore,
one can expect that these active ZnO surfaces in the Figure 3: (a) HRTEM image; (b) SAED patterns; (c) TEM image; (d–g) EDX mapping images of the ZnO@NCNT composite. Figure 3: (a) HRTEM image; (b) SAED patterns; (c) TEM image; (d–g) EDX mapping images of the ZnO@NCNT composite. 1679 Beilstein J. Nanotechnol. 2018, 9, 1677–1685. Figure 4: (a) SEM image; (b–f) EDX mapping; (g,h) TEM images of S/ZnO@NCNT composite. Figure 4: (a) SEM image; (b–f) EDX mapping; (g,h) TEM images of S/ZnO@NCNT composite. ZnO@NCNT composite can exhibit a strong bonding capacity
for S. This will reduce the S losses to the electrolyte, and thus
improve the cycling performance of the Li/S battery. In fact, the
S–Zn and S–O bonds were confirmed by X-ray photoelectron
spectroscopy (XPS) of the as-obtained S/ZnO@NCNT compos-
ite (Figure 5). In the S 2p spectrum, one major peak located at
161.9 eV actually corresponds to the S 2p in ZnS (Figure 5d)
[22]. This suggests that, after S loading, S–Zn bonds were
formed. The other two major peaks located at 163.1 and
164.1 eV in the S 2p spectrum could be identified as S 2p3/2 and
S 2p1/2 species. Moreover, two weak peaks at 163.6 and 165 eV
are associated with S–O bonds, and another weak peak located
around 169.5 eV can be attributed to S=O bonds, which might
result from S oxidation or S–O bonding on the ZnO surface
[23]. An obvious C–N/C–S bonding was found at 285.2 eV in
the C 1s spectrum (Figure 5c) [24]. Regarding the Zn 2p spec-
trum, the peaks located at 1022.2 and 1045.3 eV are the 2p3/2
and 2p1/2 states, respectively (Figure 5b) [25]. Since Zn–O
and Zn–S have a similar XPS bonding energy in the
two Zn states, they are not distinguishable in the Zn 2p spec-
trum. configuration. Figure 6 shows the discharge/charge potential
profiles at 0.2C. Two typical plateaus appear during the dis-
charge process. The plateau at 2.35 V can be related to the for-
mation of long-chain polysulfides (Li2Sn, n ≥ 4), another
plateau at 2.1 V is associated with the electrochemical transi-
tion of Li2Sn to lithium sulfide (Li2S) [26]. The S/ZnO@NCNT
composite delivers an initial specific discharge capacity of
1032 mAh·g−1. There is a slight capacity fading and it drops to
905 mAh·g−1 in the third cycle. The potential plateaus were
maintained in the first three cycles. The cycling performance of the S/ZnO@NCNT cathode is
presented in Figure 7. The results show that after 100 cycles the
cathode still maintains a discharge capacity of 665 mAh·g−1. The coulombic efficiency of the S/ZnO@NCNT cathode
remains unchanged above 99% after the 100th cycle, i.e., the
S/ZnO@NCNT cathode exhibits very stable cycling perfor-
mance. The long-term cycling behavior of the S/ZnO@NCNT
cathode is presented in Figure 8. One can see that the system
exhibits an extremely steady performance even after 300 cycles
at 1C. The performance of the as-prepared S/ZnO@NCNT composite
as a cathode in Li/S batteries was evaluated in lithium half-cell It is suggested that such a good performance originates from a
strong bonding capacity of the reactive ZnO planes in the com- 1680 Beilstein J. Nanotechnol. 2018, 9, 1677–1685. Figure 5: XPS spectra of S/ZnO@NCNT composite. Figure 6: Discharge/charge voltage profiles of the S/ZnO@NCNT
cathode for the initial three cycles at 0.2C. The discharge/charge potential profiles of the
various rates also confirm the excellent stability
S/ZnO@NCNT composite cathode (Figure 11). The
show that there is only a slightly fading of the potential p
with increasing rate. More importantly, it can be observ
there is only a small polarization of the electrode,
demonstrates highly reversible features of Li ion insertio
tion in the S/ZnO@NCNT composite at various cycling Figure 10: Rate capability of the S/ZnO@NCNT composite cathode. Figure 8: Long-term cycle life of the S/ZnO@NCNT cathode at 1C. Figure 10: Rate capability of the S/ZnO@NCNT composite cathode. g
g
y
@
Figure 9: The performance comparison of S/ZnO@NCNT electrodes
with sulfur loadings of 2.5, 3.25, 4.0 and 4.75 mg·cm−2 at the 10th
cycle at 0.2C. which both enhanced charge transfer and conductivity. Along
with this, the NCNT network provides a large micro-scaffold in
the S/ZnO@NCNT composite to accommodate S and Li ions,
and, therefore, to buffer the volume expansion/shrinkage caused
by the fast Li insertion/deletion. Moreover, small size ZnO
nanoparticles provide abundant active sites for Li ion insertion
and deletion and can also “buffer” the structural damage of the
composite. In our previous work [13], it has been demonstrated
that NCNT network and ZnO nanoparticles in ZnO@NCNT
have these advantageous properties for the use in Li-ion
batteries. The discharge/charge potential profiles of the cell at
various rates also confirm the excellent stability of the
S/ZnO@NCNT composite cathode (Figure 11). The results
show that there is only a slightly fading of the potential plateaus
with increasing rate. More importantly, it can be observed that
there is only a small polarization of the electrode, which
demonstrates highly reversible features of Li ion insertion/dele-
tion in the S/ZnO@NCNT composite at various cycling rates. Figure 9: The performance comparison of S/ZnO@NCNT electrodes
with sulfur loadings of 2.5, 3.25, 4.0 and 4.75 mg·cm−2 at the 10th
cycle at 0.2C. sulfur tends to agglomerate, and this negatively affects the cycle
performance of the cell as well. Figure 11: Discharge/charge voltage profiles of S/ZnO@NCNT com-
posite cathode at various rates. The rate capability of the S/ZnO@NCNT cathode at rates from
0.1C to 2C was studied as well (Figure 10). Although the dis-
charge capacity of the S/ZnO@NCNT cathode gradually
decreases with the cycling rate, at each individual rate
from 0.2C to 2C, the composite cathode exhibit a relatively
steady reversible capacity. Figure 7: Cycling performance of the S/ZnO@NCNT cathode at 0.2C. Figure 5: XPS spectra of S/ZnO@NCNT composite. Figure 5: XPS spectra of S/ZnO@NCNT composite. Figure 6: Discharge/charge voltage profiles of the S/ZnO@NCNT
cathode for the initial three cycles at 0.2C. Figure 7: Cycling performance of the S/ZnO@NCNT cathode at 0.2C. posite. As confirmed by the XPS analysis, the exposed active
surfaces on ZnO can “hold” a large amount of S species through
Zn–S and O–S bonds and therefore contribute to the observed
excellent cycling performance. posite. Figure 9 shows the comparison of discharge capacity at
the tenth cycle at a current density of 0.2C for the samples with
different S loading. It can be seen that the discharge capacity in-
creases initially, and a high value of 805 mAh·g−1 was deliv-
ered after ten cycles at a S loading of 3.25 mg·cm−2. However,
as the loading increased further, the capacity value reduced sig-
nificantly. For example, at a high S loading of 4.75 mg·cm−2,
the material could deliver a capacity of 723 mAh·g−1. This
capacity decrease could be due to a reduced conductivity of the
electrodes related to the excessive content of S. Furthermore, In a Li/S cell, the amount of sulfur loading is critical and
strongly influences its electrochemical performance. Therefore,
we fabricated S/ZnO@NCNT electrodes with various S load-
ings of about 2.50, 3.25, 4.00 and 4.75 mg·cm−2, and investigat-
ed the effect of loading on the discharge capacity of the com- 1681 Beilstein J. Nanotechnol. 2018, 9, 1677–1685. Figure 10: Rate capability of the S/ZnO@NCNT composite cathode. Figure 8: Long-term cycle life of the S/ZnO@NCNT cathode at 1C. Figure 9: The performance comparison of S/ZnO@NCNT electrodes
with sulfur loadings of 2.5, 3.25, 4.0 and 4.75 mg·cm−2 at the 10th
cycle at 0.2C. Figure 10: Rate capability of the S/ZnO@NCNT composite cath
which both enhanced charge transfer and conductivity
with this, the NCNT network provides a large micro-sca
the S/ZnO@NCNT composite to accommodate S and
and, therefore, to buffer the volume expansion/shrinkage
by the fast Li insertion/deletion. Moreover, small si
nanoparticles provide abundant active sites for Li ion in
and deletion and can also “buffer” the structural damag
composite. In our previous work [13], it has been demo
that NCNT network and ZnO nanoparticles in ZnO@
have these advantageous properties for the use in
batteries. Preparation of S/ZnO@NCNT composite The as-prepared ZnO@NCNT was mixed with nano-sulfur in a
molar ratio of 1:3 by ball-milling at 350 min−1 for 3 h to obtain
the sulfur composite precursor. The S/ZnO@NCNT composite
was obtained by heating the precursor at 155 °C for 10 h, in
argon flow with a heating rate of 5 °C·min−1. The sulfur-doping
method was described in our previous study [33]. Conclusion Nitrogen-doped carbon nanotubes coated with zinc oxide
(ZnO@NCNT) were successfully prepared via a sol–gel synthe-
tic route. They exhibit a unique ability to absorb polysulfides
and, thus, to improve electrochemical properties of a S cathode. The S/ZnO@NCNT cathode has shown excellent cycling
stability and rate capability in Li/S batteries. This enhanced
electrochemical performance originates from its active ZnO sur-
faces, which can provide a strong bonding capability for S
atoms. Moreover, it is believed that the large micro-scaffold in
the NCNT network not only improves the conductivity of the
composite, but also facilitates the modulation of S and Li ions,
buffering the volume expansion/shrinkage caused by the fast Li
insertion/deletion. At 2C, a reversible capacity of
650 mAh·g−1 was reached. When the current rate was changed
back to 0.1C, the capacity of the S/ZnO@NCNT cathode recov-
ered to 822 mAh·g−1. This indicates that the as-prepared
S/ZnO@NCNT composite is very stable and can tolerate the
abusive condition of high-rate Li ion insertion and deletion. In
addition to a strong S “confinement” effect of the active ZnO
surface, this might also be attributed to the NCNT network and
the small size of ZnO nanoparticles (6.2 nm) in the composite, Figure 11: Discharge/charge voltage profiles of S/ZnO@NCNT com-
posite cathode at various rates. 1682 Beilstein J. Nanotechnol. 2018, 9, 1677–1685. Table 1 compares the performance data reported for Li/S
batteries with the results of this work. The S/ZnO@NCNT elec-
trode prepared in this work displays superior electrochemical
performance, even with the higher sulfur loadings. The S/INC
composite reported in our previous research work is based on
INC, which has a high specific surface area and a large number
of mesopores. Unlike ZnO@NCNT reported in the current
work, which binds sulfur to the surface, INC encapsulates sulfur
inside the pore structure and therefore provides a higher specif-
ic capacity. However, INC does not have ZnO-rich active sites
and is prone to damage upon the intercalation/deintercalation of
Li ions, so the cycle performance of this system is not as good
as that of S/ZnO@NCNT. Therefore, the results of this study
demonstrate that the NCNT core and the smaller size of the
ZnO nanoparticles are effective to remarkably improve the elec-
trochemical performance of the S/ZnO@NCNT electrode. (C2H5OH, ≥99.7%). Meanwhile, 1.508 g lithium hydroxide
(LiOH·H2O, ≥90%) was dissolved in another 260 mL of
ethanol. The molar ratio of Zn(CH3COO)2 and LiOH·H2O was
1.3:1. These solutions were magnetically stirred until the
reagents were completely dissolved. After that, the LiOH and
Zn(CH3COO)2 solutions were mixed together and stirred for
20 min. Then, 0.17 g of nitrogen-doped multi-walled carbon
nanotubes (NCNT, N content of 2.98%, Beijing Dk Nano Tech-
nology) was added to the above mixture solution under magnet-
ic stirring for a week. The resulting black sol product was
centrifuged and washed several times with deionized water and
ethanol, then dried in a vacuum oven at 70 °C for 12 h to obtain
the ZnO@NCNT composite. Materials characterization Powder X-ray diffraction (XRD, SmartLab, Rigaku Corpora-
tion) with Cu Ka radiation was used to analyze the crystal struc-
ture of the S/ZnO@NCNT sample. The chemical status and
elemental compositions of the sample were investigated by
X-ray photoelectron spectroscopy (XPS, Shimadzu Axis Ultra). Scanning electron microscopy (SEM) images were collected on
a Hitachi S4800 scanning electron microscope. High-resolution
transmission electron microscopy (HRTEM) images were
recorded with a JEOL JEM-2100F transmission electron
microscope. The elements distribution images were detected by
using TEM at 160 kV. Thermogravimetric analysis (TA
Universal Analysis 2000, SDT2960) was conducted from room
temperature to 500 °C with a heating rate of 10 °C·min−1 in
nitrogen. Electrochemical measurements 13.Li, H.; Liu, Z.; Yang, S.; Zhao, Y.; Feng, Y.; Bakenov, Z.; Zhang, C.;
Yin, F. Materials 2017, 10, 1102. doi:10.3390/ma10101102 13.Li, H.; Liu, Z.; Yang, S.; Zhao, Y.; Feng, Y.; Bakenov, Z.; Zhang Yin, F. Materials 2017, 10, 1102. doi:10.3390/ma10101102 The cathode was fabricated by mixing 80 wt % as-prepared
S/ZnO@NCNT composite, 10 wt % acetylene black and
10 wt % polyvinylidene fluoride (PVDF) in N-methyl-2-pyrroli-
done (NMP). The resulting homogeneous slurry was coated on
nickel foam and subsequently dried at 75 °C overnight. Metallic
lithium foil served as a counter and reference electrode, and
micro-porous polypropylene film (Cellgard 2300) was used as a
separator. The electrolyte was 1 M lithium bistrifluoromethane-
sulfonamide (LiTFSI) in tetraethylene glycol dimethyl ether as
a solvent. The CR2025 coin cells assembly was carried out in
an argon-filled glovebox (Mikrouna, Shanghai). The charge/dis-
charge cycling performances was investigated using a battery
testing system (Neware, Shenzhen) in the potential range of
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seas Chinese Scholars, Ministry of Human Resources and
Social Security of China (Grant No. CG2015003002) and the
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531–537. doi:10.1016/j.matchemphys.2014.04.011 Preparation of ZnO@NCNT composite Preparation of ZnO@NCNT composite The ZnO@NCNT composite was synthesized by sol–gel syn-
thesis [13,34]. In a typical synthesis, 7.717 g zinc acetate
(Zn(CH3COO)2, ≥99%) was dissolved in 260 mL ethanol Table 1: Performance comparison of different electrodes for Li/S batteries. material
reversible capacity
(mAh·g−1)
cycle number
current density
applied potential
range (V)
sulfur loading
(mg·cm−2)
reference
MWNT@ZIF-S
380
25
0.1C
1.0–3.0
0.6
[27]
Al-ZnO@C/S
544
300
0.5C
1.8–2.6
3.3
[28]
S/PPy
503
100
0.1C
1.5–3
4
[26]
Fe2O3/S
442.3
100
0.5C
1.0–3.0
0.56
[29]
A-TiO2-xNSs-S
610
100
0.1C
1.7–2.8
1.17
[30]
Meso-C/S
470.2
300
0.5C
1.7–2.7
2.0
[31]
S/NGC
572
100
0.2C
1.7–2.8
3.4
[32]
S/INC
702
50
0.1C
1.0–3.0
3.0
[33]
S/ZnO@NCNT
665
100
0.2C
1.0–3.0
3.25
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12886–12890. doi:10.1002/anie.201506972 12.Zhou, W.; Xiao, X.; Cai, M.; Yang, L. Nano Lett. 2014, 14, 5250. doi:10.1021/nl502238b 1684 Beilstein J. Nanotechnol. 2018, 9, 1677–1685. License and Terms
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The level of knowledge and awareness of teachers in the province of Kayseri for type 1 diabetes mellitus, the adequacy of schools in diabetes mellitus management
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Health Sciences Quarterly, Volume: 4 / Issue: 1 / Year: 2024
Volume: 4
Issue: 1
2024
E-ISSN: 2791-6022
https://journals.gen.tr/jsp
Received: 2023-07-31
Accepted: 2023-11-08 Health Sciences Quarterly, Volume: 4 / Issue: 1 / Year: 2024
Volume: 4
Issue: 1
2024
E-ISSN: 2791-6022
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Received: 2023-07-31
Accepted: 2023-11-08 ORIGINAL ARTICLE The level of knowledge and awareness
of teachers in the province of Kayseri for
type 1 diabetes mellitus, the adequacy of
schools in diabetes mellitus management Serkan Bilge Koca Division of Pediatric Endocrinology, Department of Pediatrics, Kayseri City Hospital, Health Sciences University. Kayseri / Türkiye Citation: Koca SB. The level of knowledge and awareness of teachers in the province of Kayseri for type 1 diabetes mellitus, the adequacy of
schools in diabetes mellitus management. Health Sci Q. 2024;4(1):1-9. https://doi.org/10.26900/hsq.2121 Corresponding Author:
Serkan Bilge Koca
Email: kocaserkanbilge@yahoo.com.tr Abstract Type 1 Diabetes Mellitus (T1DM) is an important chronic health problem of childhood. Cooperation of parents
and teachers is necessary in diabetes management. In our cross-sectional study, a 3-part questionnaire evaluating
the educational status of teachers for T1DM was used. Questions consisting of 4 factors were asked about the level
of knowledge, awareness, living with diabetes, and school life with diabetes. In scoring the answers given to the
questions in the first part, each correct answer was recorded as +1 point, each incorrect answer as -1 point, and ‘I
have no idea’ as 0 points. The total score ranged from -21 to +21 points. Those who scored 11 points or more were
considered to have a sufficient level of knowledge and awareness about T1DM. The validity of the first part of the
scale, KMO and Bartlett’s test score, was found to be 0.94. The reliability of the first part of the scale, Cronbach’s alpha
value, was 0.91. The mean score of the first part of the scale was 9.3±5.1, and range was between -3 to 19 points. In
our study, the number of those who scored 11 points or more in the questions measuring the level of knowledge
and awareness about diabetes were 268 (46.4%). We observed that the level of knowledge and awareness about
diabetes in schools in our province is not sufficient. Keywords: Diabetes mellitus, knowledge, school, teacher, type 1 diabetes Citation: Koca SB. The level of knowledge and awareness of teachers in the province of Kayseri for type 1 diabetes mellitus, the adequacy of
schools in diabetes mellitus management. Health Sci Q. 2024;4(1):1-9. https://doi.org/10.26900/hsq.2121 This work is licensed under a Creative Commons
Attribution 4.0 International License. Corresponding Author:
Serkan Bilge Koca
Email: kocaserkanbilge@yahoo.com.tr Corresponding Author:
Serkan Bilge Koca
Email: kocaserkanbilge@yahoo.com.tr 1 Koca and nurses in schools were determined. Teachers
were asked to attend the training and take part in
diabetes management. In a study that audited the
effectiveness of the “Diabetes Program at School”
and evaluated the knowledge and attitude scores
of teachers throughout Turkey, the lowest scores
were found in Central Anatolia and Southeastern
Anatolia regions, and it was determined that
the level of knowledge and awareness of school
staff about T1DM showed regional differences
[4]. Abstract In our study, we evaluated the knowledge
level and awareness of teachers in public and
private schools operating under the Provincial
Directorate of National Education in the province
of our city in the Central Anatolian region, and
the adequacy of the school equipment, with a
scale consisting of 3 parts. Introduction Type 1 Diabetes Mellitus (T1DM) is an important
chronic health problem of childhood. Many
countries around the world have clear legal
guidelines to support chronically ill children,
especially diabetics, in the education system
[1]. In a study published in Türkiye in 2017,
the national prevalence and incidence of T1DM
were found to be 0.75/1000 and 108/100.000,
respectively [2]. Support from family, doctor,
nurse, dietitian, and psychologist is of great
importance in childhood diabetes management. Depending on the age, some responsibilities
can be given to the child. With the school
age, the time spent in the home environment
decreases, and a large part of the day is spent
at school. Mostly parents, sometimes school
nurses and teachers support the child who
continues his or her diabetes management and
daily life with blood sugar monitoring, insulin
administration, nutrition, and sports activities. ‘Diabetes Prevention and Control Program in
Türkiye’ is a program that has been carried out
since 2010 to prevent the development of type
2 diabetes mellitus (T2DM), early detection
of T1DM and T2DM, and improve diabetes
care. ‘Childhood Diabetes Control Program’ is
included as a separate subject in this program. As part of this program, with the cooperation
of the Ministry of Health and the Ministry of
National Education and with the contributions
of the Turkish Pediatric Endocrinology and
Diabetes Association, “Diabetes Program at
School” was started and this program continues
actively throughout Türkiye [3]. The main
purposes of this program are to increase the level
of knowledge and awareness about T1DM in
schools and teachers, to provide early detection
of diabetes mellitus, to improve diabetes
management, to reduce the frequency of diabetic
ketoacidosis complications, and to prevent the
development of obesity by developing healthy
eating attitudes. ‘A guide to school exams for
children with diabetes’, ‘Individualized Diabetes
Management Plan’ (DMP), and ‘School Action
Plan’ were prepared and sent to schools. In
October 2020, a directive was published by the
Turkish Ministry of National Education and the
duties and responsibilities of families, teachers, Study Design The study was approved by the clinical research
ethics committee of Kayseri City Training and
Research Hospital (2022-607). Survey records
were obtained online between 30 May and 30
June 2022. Research ethical principles were
conducted in accordance with the Declaration
of Helsinki. In our cross-sectional study, a 3-part
questionnaire evaluating the educational status of
teachers for T1DM was used. The scale consisted
of 43 questions. In the first section, questions
consisting of 4 factors were asked about the level
of knowledge, awareness, living with diabetes,
and school life with diabetes. The answers were
determined as ‘True’, ‘Wrong’, and ‘No idea’. In scoring the answers given to the questions in
the first part, each correct answer was recorded
as +1 point, each incorrect answer as -1 point,
and ‘I have no idea’ as 0 points. The total score
ranged from -21 to +21 points. Those who scored
11 points or more (those whose scores are above
average) were considered to have a sufficient
level of knowledge and awareness about T1DM. In the second part, multiple choice questions
measuring the level of direct knowledge of
the teachers about the treatments used in
diabetes management were asked and the rate
of choosing the correct answer from 4 options
was evaluated. In the third part, questions were
asked to measure the school’s responsibilities
and equipment adequacy for diabetes care. The 2 Health Sciences Quarterly, Volume: 4 / Issue: 1 / Year: 2024 answers were determined as ‘Yes’, ‘No’, and ‘No
idea’. Statement 2 and Statement 9, which are among
the items in this section, were excluded from the
validity analysis due to their low factor loads. The mean score of the answers given to the
questions in the first part of the scale was 9.3±5.1
and the range was between -3 and 19 points. In our study, the number of those who scored
11 points or more in the questions measuring
the level of knowledge and awareness about
diabetes was 268 (46.4%). Questions containing
general information about T1DM treatment
management are shown in Table 2. The study was approved by the clinical research
ethics committee. The date of approval is March
10, 2022, and the number is 607. Statistical Analysis The validity of the first part of the scale was
evaluated by factor analysis and after the
analysis, 2 statements were removed from
the scale, and the final KMO and Bartlett’s test
score were found to be 0.94. It was statistically
significant. (p<0.001). The questions in the scale
were collected in 4 factors and the cumulative
variance was 53.7%. The questions in the first
part of the scale were also evaluated with
reliability analysis. Cronbach’s alpha value was
0.91. As such, the scale was found to be a valid
and reliable scale. The answers given by the
individuals to the questions in the second and
third parts (categorical variables) are shown
as numbers and percentages. According to the
answers given to the questions in Table 3, the
scores obtained by the participants in the first
part were also compared by ANOVA analysis
and Bonferroni as a Post-Hoc method. A p-value
less than 0.05 was considered statistically
significant. Study Design The conditions of
the Ministry of National Education for scientific
research were fulfilled, and a questionnaire form
was created to be answered electronically, with
the approval of the Provincial Directorate of
National Education and the Provincial Health
Directorate. This survey was shared for around
20,700 teachers working in the province. As
a random method, educators were asked to
fill out the surveys on a voluntary basis. The
participation rate in the survey was around 3%. The questions related to T1DM management
and equipment adequacy at school are shown in
Table 3. According to the answers given to the
questions in Table 3, the scores obtained by the
participants in the first part were also compared. The scores of those who answered ‘‘Yes’’ (first
part score 11.5±4.6) to the question of whether
there was anyone who had received education on
diabetes at school were significantly higher than
those who answered ‘‘I have no idea’’ (first part
score 9±5.2; p= 0.001) and those who answered
‘‘No’’ (first part score 9.25±5.2; p= 0.008). The
scores of those who answered ‘‘Yes’’ (first part
score 10.6±5.0) to the question of whether there is
a child with diabetes in the institution I work in/
around me were significantly higher than those
who answered ‘‘I have no idea’’ (first part score
8.2±5.5; p< 0.001) and those who answered ‘‘No’’
(first part score 9.4±4.9; p= 0.04). Results A total of 577 teachers, 320 (55.5%) female, and
257 (44.5%) male, participated in our study. The distribution of teachers by age range was
as follows: 29 teachers of aged 20-29 (5%), 240
teachers of aged 30-39 (41.6%), 190 teachers of
aged 40-49 (32.9%), 106 teachers of aged 50-59
(18.4%), and 12 teachers of aged over 60 (2.1%). The responses given to the statements evaluating
the level of knowledge, awareness, daily life, and
school life about diabetes were shown in Table 1. 3 Koca The responses given to the statements evaluated the level of knowledge, awareness, daily life, and school
life about diabetes. b e . e espo ses g ve to t e state e ts eva uated t e eve o
ow edge, awa e ess, da y
e,
nd school life about diabetes. life about diabetes. Items
Answers
(number/percentage)
Correct
Wrong
No idea
1
The most common diabetes in the world is T1DM. 213
(36.9%)
104
(18%)
260
(45.1%)
2
T1DM is caused by consuming too many sugary (carbohydrate)
foods. 184
(31.9%)
256
(44.4%)
137
(23.7%)
3
The most common diabetes in childhood is T1DM
282
(48.9%)
33
(5.7%)
262
(45.4%)
4
A child with T1DM can eat whatever they want like a healthy
child. 32
(5.5%)
446
(77.3%)
99
(17.2%)
5
Children with T1DM should not participate in sports/physical
education activities. 28
(4.9%)
419
(72.6%)
130
(22.5%)
6
When the blood glucose (sugar) level drops (hypoglycemia) in
children with T1DM, some symptoms may occur. 396
(68.6%)
7
(1.2%)
174
(30.2%)
7
T1DM should not effect the child's school life (participation in
class, socialization). 250
(43.3%)
216
(37.4%)
111
(19.2%)
8
Drinking a lot of water, frequent urination and weight loss are the
findings that can be observed at the time of diagnosis in T1DM. 435
(75.4%)
17
(2.9%)
125
(21.7%)
9
T1DM can resolve spontaneously over time. 34
(5.9%)
367
(63.6%)
176
(30.5%)
10
There
is
no
individualized
treatment
plan
(nutrition/insulin/exercise) specific to every child with T1DM. 39
(6.8%)
406
(70.4%)
132
(22.9%)
11
All children with T1DM can manage their treatment plan and do
not need adult support. 53
(9.2%)
408
(70.7%)
116
(20.1%)
12
Changes
in
the
blood
glucose
(sugar)
level
(hypoglycemia/hyperglycemia) of a child with T1DM may effect
exam success, school performance, and attendance at school. tions: T1DM: type 1 diabetes mellitus. The correct answers are shown in bold.
Abbreviations: T1DM: type 1 diabetes mellitus. The correct answers are shown in bold. Results 393
(68.1%)
57
(9.9%)
127
(22%)
13
A child with T1DM should not be allowed to want something to
eat during class (citing blood sugar). 69
(12%)
403
(69.8%)
105
(18.2%)
14
Findings such as weakness, fatigue, pallor, sweating, and
confusion are observed when blood glucose level decreases (<70
mg/dL). 395
(68.5%)
8
(1.4%)
174
(30.2%)
15
The family and the child are responsible for the problems
(hypoglycemia/hyperglycemia) that the child with T1DM may
experience at school. It is not the responsibility of the school and
the teacher. 48
(8.3%)
390
(67.6%)
139
(24.1%)
16
The child with T1DM has special needs and therefore, peer
bullying, neglect, and abuse are more common. 237
(41.1%)
129
(22.4%)
211
(36.6%)
17
If T1DM is not treated correctly and appropriately, it can lead to
eye, kidney, cardiovascular, and vascular health problems. 438
(75.9%)
7
(1.2%)
132
(22.9%)
18
Children with T1DM can also live healthy years, be successful in
their lives, and achieve good academic standing. 475
(82.3%)
5
(0.9%)
97
(16.8%)
19
A child with T1DM can measure blood glucose without piercing
the fingertip (measurement with a glucometer) and her family can
monitor it remotely. 244
(42.3%)
44
(7.6%)
289
(50.1%)
20
A child with T1DM cannot do professional sports or become a
licensed athlete. 34
(5.9%)
268
(46.4%)
275
(47.7%)
21
The activities of a child with T1DM in the school environment and
the social environment can effect the blood glucose (sugar) level. 310
(53.7%)
73
(12.7%)
194
(33.6%)
22
The target blood glucose (sugar) targets of a child with T1DM do
not change throughout life. 38
(6.6%)
316
(54.8%)
223
(38.6%)
23
A child with T1DM should be allowed to take his or her needs such
as simple carbohydrates (sugar, juice), insulin, blood glucose
meter, dipstick, glucagon, and insulin pump when taking the exam. 436
(75.6%)
8
(1.4%)
133
(23.1%)
Items 2 and 9 were excluded from the validity analysis due to their low factor loads. 4 Health Sciences Quarterly, Volume: 4 / Issue: 1 / Year: 2024 s or become a
34
(5.9%)
268
(46.4%)
275
(47.7%)
vironment and
(sugar) level. 310
(53.7%)
73
(12.7%)
194
(33.6%)
with T1DM do
38
(6.6%)
316
(54.8%)
223
(38.6%)
her needs such
blood glucose
king the exam. 436
(75.6%)
8
(1.4%)
133
(23.1%)
ue to their low factor loads. correct answers are shown in bold. 20
A c
licen
Discussion 21
The activities of a child with T1DM in the scho
the social environment can effect the blood glu
22
The target blood glucose (sugar) targets of a c
not change throughout life. 23
A child with T1DM should be allowed to take h
as simple carbohydrates (sugar, juice), insu
meter, dipstick, glucagon, and insulin pump wh
Items 2 and 9 were excluded from the validity analy
Abbreviations: T1DM: type 1 diabetes mellitus. Statement 2 and Statement 9, which are among th
analysis due to their low factor loads. The mean
part of the scale was 9.3±5.1 and the range was
those who scored 11 points or more in the quest
about diabetes was 268 (46.4%). Questions co
management are shown in Table 2. In our study, we evaluated teachers’ awareness
and knowledge about T1DM with a valid and
reliable questionnaire. As far as we know, it is
the first study conducted in our province. In
our country, as in some countries, guidelines
for diabetes management at school have been
published. There is an increase in the incidence
and prevalence of childhood diabetes in the
world. In our study, the level of knowledge,
awareness, and the place of life with diabetes in
school life was evaluated by the teachers with
an appropriate questionnaire and almost half
of the participants could answer almost half
of the questions correctly (46.4%). In a study
conducted with school staff, although 80% of
them stated that their experience is sufficient Table 2. Questions containing general information about type 1 diabetes treatment management. Table 2. Questions containing general information about type 1 diabetes treatment management. Table 2. Questions containing general information about type 1 diabetes treatment management. Table 2. Questions containing general information about type 1 diabetes treatment management. Questions
Answers
(number/percentage)
What is the blood glucose level of a child
with T1DM usually like at the time of
diagnosis? I am not sure (284, 49.2%)
Within normal ranges (20, 3.5%)
Low (72, 12.5%)
High (201, 34.8%)
How does insulin effect blood glucose
(sugar) levels? I am not sure (186, 32.2%)
Does not effect (6, 1%)
Level down (271, 47%)
Level up (114, 19.8%)
In
which
way/ways
can
insulin
be
administered? I am not sure (130, 22.5%)
Oral pill (7, 1.2%)
Oral pill and injection (into the skin) (269, 46.6%)
Injection and pump therapy (171, 29.6%)
What can be used in the treatment of T1DM? Results ms in this section, were excluded from the validity
e of the answers given to the questions in the first
ween -3 and 19 points. In our study, the number of
measuring the level of knowledge and awareness
ning general information about T1DM treatment
for the management of T1DM in children and
adolescents, 90% of them can work comfortably
in schools where children with T1DM are
present, and only 47.1% of the school staff
are observed to be aware of the methods and
practices used in diabetes management [5]. In diabetes management, family, child, and
school should be in coordination. Psychological
problems (depression, eating disorders) are more
common in children with T1DM. The prevalence
of depression in adolescent diabetics is 2-3 times
higher than in healthy individuals [6]. In addition,
the fear of hypoglycemia can be observed in the
family or teachers. Problems attending school and
staying at home due to fear of hypoglycemia are
more common in children with diabetes. These
conditions can cause problems such as making 20
A c
licen
Discussion In our study, it was
questioned whether there were any children
with diabetes in the school and this rate was I am not sure (258, 44.7%)
Mixed carbs (sandwich, cake) (19, 3.3%)
le carbohydrates (sugar cubes, fruit juice, etc…)
(269, 46.6%)
Insulin (31, 5.4%)
correct answers are shown in bold. ipment adequacy at school are shown in Table 3. able 3, the scores obtained by the participants in
who answered ‘‘Yes’’ (first part score 11.5±4.6)
ad received education on diabetes at school were
e no idea’’ (first part score 9±5.2; p= 0.001) and
2; p= 0.008). The scores of those who answered
of whether there is a child with diabetes in the
gher than those who answered ‘‘I have no idea’’
wered ‘‘No’’ (first part score 9 4±4 9; p= 0 04)
stated to be 28.9%. The presence of an educator
who received training on diabetes at school was
11.3%, and the status of being a nurse at school
was 3.8% in our questionnaire. In our study,
the status of the child with diabetes receiving
support from the school/teacher in cases such
as insulin administration and additional meal
adjustment was found to be around 23.2%, and
this rate was observed to be below 20% in a
study in which the sub-dimensions of support
were also questioned throughout the country (4). In a study conducted in Istanbul, it was observed
that more than 80% of the schools did not have
nurses, and 50% of the educators were not aware
of the emergency treatment of hypoglycemia and
had difficulties in administering insulin at school
[10]. Although having a nurse at school has an
advantage in diabetes management, different
results have been observed in studies conducted Table 3. Questions related to type 1 diabetes management and adequacy of equipment in school. Table 3. Questions related to type 1 diabetes management and adequacy of equipment in school. Questions
Answers
Yes
No
No idea
Is there anyone in school who has been trained in
diabetes? 65 (11.3%)
167 (28.9%)
345 (59.8%)
Is there a nurse at the school? 22 (3.8%)
539 (93.4%)
16 (2.8%)
Is lunch available for students who are at school all day? 111 (19.2%)
429 (74.4%)
37 (6.4%)
Is there an area/room where the child with T1DM can
administer the insulin injection? 20
A c
licen
Discussion Surgery (6, 1%)
Oral pill (24, 4.2%)
Oral pill and insulin (379, 65.7%)
Insulin (168, 29.1%)
What should a child with low blood glucose
(sugar) levels do? I am not sure (193, 33.4%)
Consuming sugar (270, 46.8%)
Consuming protein (13, 2.3%)
Insulin (101, 17.5%)
What should be done in case of confusion,
fainting, or seizure that can be observed in a
child with T1DM? I am not sure (320, 55.5%)
Oral sugar should be given (29, 5%)
Glucagon injection should be given (116, 20.1%)
Insulin should be administered (112, 19.4%)
What should be done if the blood glucose
(sugar) level of a child with T1DM is below
70 mg/dL? I am not sure (258, 44.7%)
Mixed carbs (sandwich, cake) (19, 3.3%)
Simple carbohydrates (sugar cubes, fruit juice,
etc…) (269, 46.6%)
Insulin (31, 5.4%)
Abbreviations: T1DM: type 1 diabetes mellitus. The correct answers are shown in bold. Abbreviations: T1DM: type 1 diabetes mellitus. The correct answers are shown in bold. 5 Koca What should be done if the blood glucose
(sugar) level of a child with T1DM is below
70 mg/dL? S
Abbreviations: T1DM: type 1 diabetes mellitus. T
The questions related to T1DM management and
According to the answers given to the questions
the first part were also compared. The scores of th
to the question of whether there was anyone wh
significantly higher than those who answered ‘‘I
those who answered ‘‘No’’ (first part score 9.25
‘‘Yes’’ (first part score 10.6±5.0) to the questi
institution I work in/around me were significantl
(fi
)
d h
h
insufficient insulin or skipping insulin doses. In
long-term studies, early parental responsibility
for diabetes management was associated with
poor adherence to treatment and poor glycemic
control. Therefore, regardless of age, diabetes
management mostly depends on the problem-
solving skills of the parents [7]. Problems such
as socioeconomic inadequacies, inability to
reach a healthy meal, low parental education
level, insufficient school infrastructure or lack
of knowledge and experience of the educator
at school, problems in attending school, and
frequent school changes also cause weakening
of academic achievement. Hypoglycemia or
hyperglycemia of a child with T1DM during
stress and exam periods may also affect their
cognitive abilities [8,9]. 20
A c
licen
Discussion Some of the important results of our
study are that most of the teachers do not know
the practices to be done for low blood sugar, and
they are not aware of the effect of insulin and
the way it is applied. When asked what should
be done if the blood glucose (sugar) level of a
child with T1DM is below 70 mg/dL, 5.4% of
the participants answered ‘‘insulin’’. Similarly,
19.4% of the participants answered ‘‘insulin’’
when asked what to do in case of confusion,
fainting, or seizures that can be observed in a
child with T1DM. It is understood from these
results that more emphasis should be placed on
awareness and management of hypoglycemia. While some of the participants answered ‘‘I am
not sure’’ or oral pills to the question of which
way insulin can be administered, 29.6% chose
injection or pump therapy as the correct answer. As we revealed in our study, having a child with
diabetes at school and having received education
on diabetes significantly contribute to the
level of knowledge and awareness in diabetes
management [13]. We did not question the
practical applications of teachers separately, but
the literature revealed that teachers should take a
more active role in blood glucose measurement,
insulin administration, and intervention of A review of diabetes care in the United States
published in 2022 found that around 20% of
schools did not have locking refrigerators for
storing glucagon, insulin, or syringes [16]. The
rate of students not being allowed to administer
insulin in the classroom is around 79% [16,17]. The rates of schools where students were
not allowed to check their blood sugar in the
classroom were observed at a rate of 51% [16,18]
to 52% [16,17], and the rate of not allowing insulin
administration in the classroom was observed at
around 79% [16,17]. The rate of being asked to
go to school health offices for procedures such
as insulin administration or blood sugar control
was observed at a rate of 26.7% [16,19]. Our study had some limitations. Firstly, it has a
relatively small sample size, and the participation
rate among educators was around 3%. Secondly,
whether the schools are private or public, the
number of schools, and the teachers expertise
were not questioned. Thirdly, the questionnaires
were obtained through an online system, not
face-to-face. 20
A c
licen
Discussion In the literature, there are limited number of
survey studies evaluating the knowledge level
of teachers about diabetes [20]. More research
is needed to make the scales universally usable
due to regional and educational differences
and limitations such as the intelligibility of the
questions. As we revealed in our study, having a child with
diabetes at school and having received education
on diabetes significantly contribute to the
level of knowledge and awareness in diabetes
management [13]. We did not question the
practical applications of teachers separately, but
the literature revealed that teachers should take a
more active role in blood glucose measurement,
insulin administration, and intervention of
hypoglycemia, especially in young children
[14,15]. 20
A c
licen
Discussion 166 (28.8%)
310 (53.7%)
101 (17.5%)
Does the child with T1DM have a cabinet for insulin,
glucagon, and spare measuring instruments, preferably
with a cold storage feature? 239 (41.4%)
228 (39.5%)
110 (19.1%)
Does the child with T1DM receive support from the
school/trainer in situations such as insulin administration
or additional meal adjustments? 134 (23.2%)
157 (27.2%)
286 (49.6%)
Does the child with T1DM have the opportunity to
measure blood sugar and administer insulin in the
classroom? 197 (34.1%)
154 (26.7%)
226 (39.2%)
When a child with T1DM faints, the first thing that comes
to mind is low blood sugar (hypoglycemia). In this case,
urgent intervention is required, the first thing to do is to
turn the child on his/her side and administer a glucagon
injection (intramuscular) and measure blood sugar at the
same time. In this case, is the nearest teacher responsible
for making this application? 183 (31.7%)
83 (14.4%)
311 (53.9%)
There is a child with T1DM in the institution where I
work. 167 (28.9%)
230 (39.9%)
180 (31.2%)
Abbreviations: T1DM: type 1 diabetes mellitus. Abbreviations: T1DM: type 1 diabetes mellitus. Questions related to type 1 diabetes management and adequacy of equipment in school. uestions related to type 1 diabetes management and adequacy of equipment in school. management and adequacy of equipment in school. nagement and adequacy of equipment in school. diabetes mellitus. Abbreviations: T1DM: type 1 diabetes mellitus. 6 Health Sciences Quarterly, Volume: 4 / Issue: 1 / Year: 2024 measuring instruments, preferably with a cold
storage feature?’’ The answer to the question
was ‘‘No’’ by 39.5%. in schools with nurses in the literature. The
experience level of the nurse and whether she/he
has received any previous education on diabetes
are important [11]. These results show us that
diabetes education should be repeated at regular
intervals. It has been suggested to include these
topics in school or university curricula [12]. In
our research, it was observed that there were
no nurses in 93.4% of the schools, no meals
were provided in the school in 74.4%, and no
place was arranged for insulin administration
in 53.7%. When asked whether there is a lunch
for students who are at school all day, 19.2% of
the participants answered ‘‘Yes’’. This rate was
found to be 40% in another study conducted in
Turkey [4]. Funding appraisals of maternal involvement in coping
with diabetes: enhancing our understanding
of adherence, metabolic control, and quality
of life across adolescence. J Pediatr Psychol. 2005;30(2):167-78. doi: 10.1093/jpepsy/jsi004. appraisals of maternal involvement in coping
with diabetes: enhancing our understanding
of adherence, metabolic control, and quality
of life across adolescence. J Pediatr Psychol. 2005;30(2):167-78. doi: 10.1093/jpepsy/jsi004. The author did not receive any financial support
from any public or private source for this study. Conclusion As a result, we observed that the level of
knowledge and awareness about diabetes in
schools in our city is not sufficient. We think
that in diabetes education, the management of
hypoglycemia should be handled more carefully,
teachers should be encouraged about practical
applications, and awareness should be increased. It is necessary to make up for the deficiencies of
schools following children with diabetes and to
re-train teachers at regular intervals to keep their
knowledge up-to-date. In our research, “Is there an area/room where
the child with T1DM can administer the insulin
injection?’’ The answer to the question was
‘‘No’’ by 53.7%. ‘‘Does the child with T1DM
have a cabinet for insulin, glucagon, and spare 7 Koca Koca Conflict of interest The author declares that there is no conflict of
interest. 8. Blackman JD, Towle VL, Sturis J, Lewis
GF, Spire JP, Polonsky KS. Hypoglycemic
thresholds for cognitive dysfunction in
IDDM. Diabetes. 1992;41(3):392-9. doi:
10.2337/diab.41.3.392. 8. 9. Cox DJ, Kovatchev BP, Gonder-Frederick
LA, Summers KH, McCall A, Grimm KJ, et al. Relationships between hyperglycemia and
cognitive performance among adults with
type 1 and type 2 diabetes. Diabetes Care. 2005;28(1):71-7. doi: 10.2337/diacare.28.1.71. 7. Wiebe DJ, Berg CA, Korbel C, Palmer DL,
Beveridge RM, Upchurch R, et al. Children’s 16. An R, Li D, Cole M, Park K, Lyon AR, References 1. Lange K, Jackson C, Deeb L. Diabetes
care
in
schools--the
disturbing
facts. Pediatr Diabetes. 2009;10(13): 28-36. doi:
10.1111/j.1399-5448.2009.00613.x. 10. Akesen E, Turan S, Güran T, Atay Z, Save
D, Bereket A. Prevalence of type 1 diabetes
mellitus in 6-18-yr-old school children
living in Istanbul, Turkey. Pediatr Diabetes. 2011;12(6):567-71. doi:
10.1111/j.1399-
5448.2010.00744.x. 2. Yeşilkaya E, Cinaz P, Andıran N, Bideci A,
Hatun Ş, Sarı E, et al. First report on the
nationwide incidence and prevalence of
Type 1 diabetes among children in Turkey. Diabet Med. 2017;34(3):405-10. doi: 10.1111/
dme.13063. 11. Kobos E, Imiela J, Kryczka T, Szewczyk A,
Knoff B. Actual and perceived knowledge
of type 1 diabetes mellitus among school
nurses. Nurse Educ Today. 2020;87:104304. doi: 10.1016/j.nedt.2019.104304. 3. Hatun Ş. Diabetes program at schools in
Turkey. J Clin Res Pediatr Endocrinol. 2012;4(2):114-5. doi: 10.4274/jcrpe.516. 4. Gökçe T, Sakarya S, Muradoğlu S, Mutlu GY,
Can E, Cemhan K, et al. An evaluation of
the knowledge and attitudes of school staff
related to diabetes care at school: The 10th
year of the “diabetes program at school” in
Turkey. Pediatr Diabetes. 2021;22(2):233-240. doi: 10.1111/pedi.13157. 12. Januszczyk RL, Staples HE, Mellor D. Knowledge and awareness of type 1 diabetes
among
primary
school
initial
teacher
trainees. J. Diabetes Nurs. 2016;20(8):280-4. y
doi: 10.1111/pedi.13157. 13. Gutzweiler RF, Neese M, In-Albon T. Teachers’ perspectives on children with type
1 diabetes in German kindergartens and
schools. Diabetes Spectr. 2020;33(2):201-9. doi: 10.2337/ds19-0054. 5. Schwartz FL, Denham S, Heh V, Wapner
A, Shubrook J. Experiences of children and
adolescents with type 1 diabetes in school:
Survey of children, parents, and schools. Diabetes Spectr. 2010;23:47-55. doi: 10.2337/
diaspect.23.1.47. 14. Nabors L, Lehmkuhl H, Christos N,
Andreone TL. Children with diabetes:
perceptions of supports for self-management
at school. J Sch Health. 2003;73(6):216-21. doi:
10.1111/j.1746-1561.2003.tb06563.x. 6. Grey M, Boland EA, Davidson M, Li J,
Tamborlane WV. Coping skills training for
youth with diabetes mellitus has long-lasting
effects on metabolic control and quality
of life. J Pediatr. 2000;137(1):107-13. doi:
10.1067/mpd.2000.106568. 15. Marks A, Wilson V, Crisp J. The management of
type 1 diabetes in Australian primary schools. Issues Compr Pediatr Nurs. 2014;37(3):168-
82. doi: 10.3109/01460862.2014.932860. 7. Wiebe DJ, Berg CA, Korbel C, Palmer DL,
Beveridge RM, Upchurch R, et al. Children’s 16. An R, Li D, Cole M, Park K, Lyon AR, 8 Health Sciences Quarterly, Volume: 4 / Issue: 1 / Year: 2024 White
NH. References Implementation
of
school
diabetes care in the United States: A scoping
review. J Sch Nurs. 2022;38(1):61-73. doi:
10.1177/10598405211026328. 17. Stefanowicz A, Stefanowicz J. The role of
a school nurse in the care of a child with
diabetes mellitus type 1 - the perspectives of
patients and their parents: Literature review. Zdr Varst. 2018;57(3):166-74. doi: 10.2478/
sjph-2018-0021. 18. Williams LF, Russ M, Perdue BJ. Exploration
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THE LEGAL RESPONSIBILITY OF THE PHYSICIAN FOR THE UNBORN CHILD.CHAIRMAN'S ADDRESS IN THE SECTION ON OBSTETRICS AND DISEASES OF WOMEN, AT THE FIFTY-SEVENTH ANNUAL SESSION OF THE AMERICAN MEDICAL ASSOCIATION. BOSTON, 1906.
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JAMA
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public-domain
| 5,166
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INTRODUCTORY. All physicians, as well as other biologists, must regard
the child in the womb
as much
a human being while
still in the womb as after its expulsion. Although de-
pendent on its mother for nourishment and for protec-
tion from injury and cold, it is still a living being and
as much
an independent existence
as,
for example,
an intestinal parasite which depends on its host for pro-
tection and nourishment. That it lacks
some of the
functions of the individual ex utero, for example, the
respiratory does not disprove its independence
or its
human nature. The infant also lacks functions that
are possessed by the adult. The self-conscience of the
fetus is only in abeyance because not aroused. The
embryo or fetus is then to the biologist a separate human
individual and not a pars viscerum like the ovary or the
appendix. Since the last session of the Association in Portland,
our Section has lost by death two of its Ex-chairmen,
Drs. Dudley and Dunning, both of whom were members
of the Executive Committee of the Section. Dr. Augustus Palmer Dudley was born at Phillips-
burg, Me., July 4, 1853, and died in Liverpool, England,
July, 15, 1905, of tuberculosis, at the age of 53. After
completing a high school course he served an apprentice-
ship in an iron and steel manufactory, where he became
a skilled mechanic. Then he began the study of medi-
cine in the office of Dr. Seth Gordon and graduated at
the Dartmouth Medical School, in 1877. After practic-
ing four years in Portland, Me., he took the course of
an interne in the Woman's Hospital, of New York. After a short service as assistant surgeon in the Woman's
Hospital, in San Francisco, he returned to New York in
1884; this city was his home until his death. During
this period he was Professor of Gynecology in the Post-
graduate Medical School and in the Dartmouth Medical
School and was connected with several hospitals. appendix. We must regard this human being as just
as inde-
pendent at the beginning of its intrauterine life as after
it has reached a stage where it can live outside of the
uterus. THE LEGAL RESPONSIBILITY OF THE PHY-
SICIAN FOR THE UNBORN CHILD. CHAIRMAN'S
ADDRESS IN
THE
SECTION
ON
OBSTETRICS
AND DISEASES OF WOMEN, AT THE FIFTY-SEVENTH
ANNUAL
SESSION
OF
THE
AMERICAN MEDICAL
ASSOCIATION. BOSTON, 1906. always
In the name of this Section I desire to express here
the highest appreciation for the earnest and faithful
work of these men who have been our worthy leaders,
and the deepest and most sorrowful regret for their loss. INTRODUCTORY. The old legal distinction
between
a
fetus
animaius and inanimatus has, of
course,
no biologic
foundation, although the statutes of certain states give
a kind of authority for the perpetuation of these terms
which are now in reality meaningless. The preception
by the mother of fetal movements does not prove or dis-
prove the life of the child any
more than would
a
lack of consciousness of movements of other parasites
which exist in her body disprove their existence. Like-
wise, there is no biologic basis for the ancient legal dis-
tinction which gave different vital and human attri-
butes on the fetus formahts and the fetus informatus. hospitals. Dr. Dudley was a skillful operator and a successful
teacher. He also made many and important original con-
tributions to the literature of his specialty, the most im-
portant of which
were his papers
on "Conservative
Treatment of the Uterine Appendages."
He
was
a
Fellow of the American Gynecological Society, the Brit-
ish Gynecological Society and
a member of the state
and local societies, as well as the American Medical As-
sociation. He was also
a very active member of the
International Congress of Obstetrics and Gynecology
and did much for it as the American secretary. Dr. Dudley left a wife and two daughters. He was not only
a good, physician and a good teacher, but he was also a
good citizen and a good fellow, kind to all, loved by all
who knew him,
a most devoted husband and father. His social qualities were characteristic. THE LEGAL RESPONSIBILITY OF THE PHY-
SICIAN FOR THE UNBORN CHILD.
CHAIRMAN'S
ADDRESS IN
THE
SECTION
ON
OBSTETRICS
AND DISEASES OF WOMEN, AT THE FIFTY-SEVENTH
ANNUAL
SESSION
OF
THE
AMERICAN MEDICAL
ASSOCIATION. BOSTON, 1906. cians and Gynecologists, as well as of his county, state
and national societies. His numerous contributions to
the literature of his specialty were of a practical char-
acter. He
was
a careful, conservative and judicious
man, whose influence in the community and in the pro-
fession was always for the best. cians and Gynecologists, as well as of his county, state
and national societies. His numerous contributions to
the literature of his specialty were of a practical char-
acter. He
was
a careful, conservative and judicious
man, whose influence in the community and in the pro-
fession was always for the best. LEGAL STATUS OF FETUS. The theory of the courts was that life, in
contemplation of the law, begins when the child is able
to stir in the womb and prior to this time the child does
not exist as capable of being the object of criminal in-
tent or action. Hence, when the mother gives her con-
sent, the operation could only be considered as a wrong
against something that does not iegally exist. only incidentally. Surgeons of all kinds are learning to appreciate more
and more the importance of having a definite under-
standing or contract with the patients on whom they
operate. If the patient is not in condition to give con-
sent or is not -old enough to decide, the contract should
be made with the legal representatives of the patient. In case no verbal or written or implied contract is made
the surgeon operates at his own risk. When a contract,
exists he is still liable if he does more or differently than
arranged for. Of course under any circumstances he is
responsible for his management of the case if it is not
skillful or if he is negligent. against something
iegally
This was the common law till shortly before the sep-
aration of the colonies from the mother country. This
common law was the basis of the law of this country. In many states, this theory of the legal nonenity of the
unquickened fetus was held by the courts to be the law
and the early statutes of some states particularly or im-
pliedly approved this theory. Now, however, this pro-
vision of the common law has been superseded by the
statutes which have been passed by the several states. These statutes, in most of the states, make no distinction
between the commission of an offense on the child before
or after quickening, although some states still provide
a more serious punishment when the act is committed
after quickening. negligent. The risks of the obstetrician are perhaps still greater. Many of the recent malpractice suits occur in obstet-
rical cases. The laity are coming to believe that puer-
peral infection is preventable and that its occurrence is
due to malpractice. Obstetrical operations are exposed
to the same risks as surgical operations. LEGAL STATUS OF FETUS. But operations
involving the destruction of life of the fetus introduce a
question that is quite different from any that can come
before the surgeon and involve an additional risk. It
is to this special risk or responsibility of the obstetrician
that I wish to call attention as the subjective side of the
question. qu c e
g
It will not be possible for me to go into an examin-
ation of the statutes of the different states, and I must
content myself with calling your attention to the prac-
tical abrogation of the common law, the substitution of
statutary regulations as just outlined, which practically
recognize certain rights of the fetus, although they do
not place it in the same category with the individual
ex utero. I shall pass by
a number of interesting questions
which do not pertain strictly to the subject, for example,
the responsibilities of the mother, and briefly refer to
the general provisions that have a bearing on the legal
status of the fetus as concerns the physician. f
b
i
f quest o
There is another classification of intrauterine life that
might seem more natural and reasonable than those al-
ready mentioned, namely, that based on the viability or
non-viability of
the
child. Some
may
ask,
is
the
destruction of a viable child, especially one near or at
term, a more serious matter than that of an unformed
embryo, or even than the destruction of a 24-weeks' fetus
that can live out of the uterus at most only a few hours ? On mature consideration such a question will probably
be found to have no biologic basis. As to the juristic
side of the question it appears that in most states in this
country the law makes no distinction in the legal rights
of children in utero. p y
At common law, procurement of
an abortion after
quickening, with the mother's consent
was forbidden,
but was not a crime punishable with imprisonment. If,
however, the mother died as the result of the abortion
the one who performed the act was guilty of murder. p
g
y
The statutes of the several states generally provide
that any attempt to procure an abortion, either by the
administration of drugs or by the employment of in-
struments, is punishable by imprisonment, unless the act
is necessary to preserve the life of the mother. LAWS
OF
VARIOUS
COUNTRIES
AND
STATES. We shall be much disappointed if we expect to find
that the laws of the country or of any states form a body
of well-digested and consistent and logical rules of ac-
tion. Logical consistency is hardly
a characteristic of
any law. The law rather expresses the common opinion
or judgment of the people, and this expression must
conform to the conflicting variety of sentiments held by
people of all stages of mental and moral development. If the law is ahead of the people or imposed on them by
outside authority, it is apt to be executed indifferently
or not at all, or it may raise opposition that leads to its
annulment. In this country,
as well
as in England,
whence our laws originally came, the laws are self-made
and are generally an index'of popular sentiment. A
di slaughter
pu s ab e
Before considering the question of most interest to us. namely, that of the justification of the act, a moment's
attention should be given to a few side questions of im-
portance. For example, how far is one responsible for
advice to take medicine or to use means to produce an
abortion. It is held that one is responsible for such ad-
vice if it is acted on, but not otherwise. The question
also arises concerning the efficiency of the means em-
ployed. Here it is held that the intent governs. This
ruling shows that the object of the law is not only or not
so much to protect the fetus as to protect'the life and
health of the mother from the consequences of the at-
tempts at abortion. This also explains, in part at least,
the ruling that the viability of the fetus is not necessary
to commission of the crime, although,
no doubt, the
vitality of the fetus at term, is
a very important con-
sideration in determining the justification of
an ob-
stetrical operation. g
y
p p
According to the ancient English common law, by
which we mean the ancient precedents, the decisions or
dicta of courts not founded
on legislative enactment,
the embryo or fetus before the term of quickening had
no legal rights whatever. Up to the time of quicken-
ing no offense could be committed by an operation that
led to tire destruction or premature delivery of the fetus. LAWS
OF
VARIOUS
COUNTRIES
AND
STATES. If the woman gave consent, the bringing about of an
abortion
was not recognized
as
a punishable offense. Abortion produced without her consent was punishable LEGAL STATUS OF FETUS. When
the death of the mother results the crime becomes man-
slaughter and is punishable as such. LEGAL STATUS OF FETUS. The legal status of the child in utero does not conform
to its biologic status. All human beings ex utero are on
the same plane and neither a physician or any one else
has the right to take the life of one for the benefit of
another or for any reason whatever, unless the state,
through its judicial officers, declares the life of an indi-
vidual forfeited because of his crimes and because its ex-
tinction is necessary for the welfare of the state. The
unborn child has not the same legal protection. Under
certain circumstances its life may be taken. The laws
of most states and countries justify feticide when it is
necessary to save the life of the mother. The provisions q
Dr. Lehmann H. Dunning died at his home in In-
dianapolis, Ind., from heart disease, Jan. 4, 1906, at the
age of 55. He graduated at Rush Medical College, Chi-
cago, in 1872. For
a number of years he had been
Professor of Diseases of Women in the Medical College
of Indiana and surgeon in the Indianapolis City Hos-
pital and gynecologist in the Deaconess Hospital. He
was a member of the American Association of Obstetri- Downloaded From: http://jama.jamanetwork.com/ by a University of New South Wales User on 05/18/2015 of these laws
are of great importance to the medical
profession and should be well known. Every physician
should understand his legal responsibilities, rights, and
obligations in this connection. The religious and ethical
questions involved will not be considered in this discus-
sion or only incidentally. of these laws
are of great importance to the medical
profession and should be well known. Every physician
should understand his legal responsibilities, rights, and
obligations in this connection. The religious and ethical
questions involved will not be considered in this discus-
sion or only incidentally. as assault. The theory of the courts was that life, in
contemplation of the law, begins when the child is able
to stir in the womb and prior to this time the child does
not exist as capable of being the object of criminal in-
tent or action. Hence, when the mother gives her con-
sent, the operation could only be considered as a wrong
against something that does not iegally exist. as assault. POINT DECIDED BY MEDICOLEGAL SOCIETY OF FRANCE. One important point has been discussed and decided
by the medicolegal society of France. A physician is
not compelled to make
a destructive operation against
his own judgment or conscience. In other words, if a
physician advices
a Cesarean secton or
a symphyseot-
omy or pubiotomy and this operation is refused by the
patient or her husband or guardian, he can not be com-
pelled to substitute an embryotomy for the operation he
proposes, even if he be the only physician in the place. Such
a rule would undoubtedly
be followed in this
country, although I do not know that any case of the
kind has ever been decided. It is inconceivable that a
court would hold
a physician responsible for the death
of a woman because he refused to perform an embryot-
omy on her living child, and he certainly could not be
convicted of civil malpractice in such a case. Of course,
the physician has no right to leave his patient who has
refused his advised conservative operation and he de-
mands an embryotomy until some other physician has
arrived,
or until he is summarily dismissed from the
case. living
Just what is comprehended in the provision, "neces-
sary to preserve the life of the mother," must be deter-
mined by the court in each case, and decisions have var-
ied in some points. In some states the statutes require
that the advice of two physicians ,be secured to determine
the necessity of an abortion. Where such
a rule holds
it is, of course, necessary to show that the physician acts
in good faith, in calling a consultant who is not in col-
lusion with him to perform a criminal act. Where the
rule does not hold, consultation is not neccssarv. but al-
ways desirable. It is always necessary to show that the
physical condition of the mother requires the abortion. Fear of suicide or of remote results, developing from a
possible nervous condition, does not justify the perform-
ance of the act. The practice of many physicians who
make the probable injury to health
an indication for
the induction of abortion, is not justified by law and
might lead to trouble in the event that such a case wrere
brought before
a strict constructionist court. INDICATIONS
FOR
OPERATION. It is not in my province to enumerate the various in-
dications for the operation, any more than it was my
plan to discuss the different pathologic states that re-
quired the induction of abortion. In general, it might
be affirmed that the indications for destructive opera-
tions
are becoming contracted
and many pathologic
states that previously
were treated by embryotomy,
would not now be accepted as indications. POINT DECIDED BY MEDICOLEGAL SOCIETY OF FRANCE. It has
sometimes been held that the burden of proving the ne-
cessity of the abortion falls on the physician and some-
times that the absence of necessity must be proven by the
state. No doubt the circumstances in individual cases
would have some bearing here, while in different states
the practice varies. As to the legal justification of a destructive operation,
probably the same can be said as was stated in regard to
therapeutic abortion. In some states it might be neces-
sary for the physician to prove that the operation was
necessary to save the mother's life, while in most states
the burden of proof would be on the state to prove that
the operation was not necessary. practice
So far, our attention has been addressed chiefly to the
rights of the non-viable fetus and to the responsibilities
incurred by the physician in its destruction. Neither
the statutes nor the decisions of the courts in this coun-
try have fixed the status of the viable child in utero,
except as it has been included with all intrauterine life
in the provisions already discussed. INDICATIONS
FOR
EMBRYOTOMY. All obstetrical writers in discussing the indications
for embrvotomy of the living child have laid down cer-
tain rules based
on their
own conclusions concerning
the justifiability of the practice. Nearly all admit that
the operation should be clone at times. A few, like Pin-
ard, would do away with it entirely. In general, the
operation is admitted in cases in which delivery is im-
possible without
Cesarean
section
or
some operation
to enlarge the pelvic girdle, and when the latter proce-
dure is refused by the mother. The question is var-
iously discussed from the usual religious
and social
standpoints, but rarely, or never, is the legal standpoint
presented. The individual views of each writer
are
given and they generally coincide with those of others,
so that the two or three sentences devoted to the subject
are practically the same in all text-books. I have been
able to find nothing authoritative in English concerning
the legal status of the operation. Sippel, studying the
German criminal law, concludes that :
"In practice, the p
LEGAL
JUSTIFIABILITY
OF
FETICIDE. Whether this popular opinion or this expression of it in
the statutes is morally justifiable or not, is not within
the limits of my subject to discuss. We are simply con-
cerned to learn definitely what the law provides. There
seems to be no doubt of the far-reaching consequences
of this provision concerning the necessity of preserving
the life of the mother at the expense of her child. It is
on this provision that the physician probably must rely
for exemption in
case of mutilating obstetrical opera-
tions made on the living child. p
LEGAL
JUSTIFIABILITY
OF
FETICIDE. We now come to the most vital question of the legal
justifiability of feticide. In some wording or other all
statutes provide for exemption from punishment for recognized
punishable
Abortion produced without her consent was punishable Downloaded From: http://jama.jamanetwork.com/ by a University of New South Wales User on 05/18/2015 destruction of the life of the child by the induction of
abortion or by embryotomy in order to save that of the
mother, is not a punishable offense, and modern criminal
law practice agrees in this respect. In theory, however,
jurisprudence has reached no conclusion as to whether
this destruction of fetal life should be allowed or con-
demned, nor as to how this destruction should be leg-
ally construed."
Both Kossmann and von Franqué call
attention to the fact that in Germany a physician who
destroys
a living fetus may be in danger from an un-
friendly court. In this country, there 'is little or
no
doubt that the destructive operation, if necessary to save
the life of the mother, would always be justified by the
courts. abortion in case it is necessary to preserve the life of the
mother. This provision expressly implies that in the
eyes of the law there is
a difference in the value of
human lives. It is the codification or the reflection of
the popular belief or popular conscience that the moth-
er's life is worth more than that of the child in utero. Whether this popular opinion or this expression of it in
the statutes is morally justifiable or not, is not within
the limits of my subject to discuss. We are simply con-
cerned to learn definitely what the law provides. There
seems to be no doubt of the far-reaching consequences
of this provision concerning the necessity of preserving
the life of the mother at the expense of her child. It is
on this provision that the physician probably must rely
for exemption in
case of mutilating obstetrical opera-
tions made on the living child. abortion in case it is necessary to preserve the life of the
mother. This provision expressly implies that in the
eyes of the law there is
a difference in the value of
human lives. It is the codification or the reflection of
the popular belief or popular conscience that the moth-
er's life is worth more than that of the child in utero. E.
C. ELLETT, M.D.
MEMPHIS, TENN. Among the less common diseases of the cornea is that
known as dendritic keratitis, to apply the name which
its appearance suggests,
or mycotic keratitis,
a name
more in accord with its etiology. This disease appears,
when fully developed,
as
a finely branched ulceration
of the cornea, running a rather protracted course. In
my personal observation it has almost always appeared
as
a complication of acute malaria, though the
same
picture has been occasionally seen in patients who had
no malarial manifestations, and who had not suffered
from malaria at any time sufficiently recent for it to
have any possible bearing on the eye trouble. The subjective symptoms
are usually marked, the
sensation of
a foreign body being present, with
some
deeper aching pain. I have not noticed the supraorbital
neuralgia at the beginning, of which Kipp speaks, but
neuralgic pains in all the branches of the fifth are not
rarely present during the course of the attack. Some
patients suffer very little. The ball is injected and
photophobia usually marked. It can not be said that
there are any characteristic changes in the sensibility of
the cornea. The tension is not altered. y p
g
The disease is not common. Even in malarial dis-
tricts it is not one of the commoner eye diseases, and
when compared with the large number of persons who
have malaria, it is seen to be an unusual complication
of that disease. I can only state the case thus vaguely, as
I have no means of arriving at accurate statistics. The
following remarks apply to its characteristics
as
seen
by me: y
It is decidedly more common in the late summer and
fall, corresponding to the time of the greatest prevalence
of malaria. It is rare to have an opportunity to see it
prior to the ulcerative stage, though Kipp of Newark
has described it as beginning as a series of small sub-
epithelial lymphoid papules, which quickly break down
just
as phlyctenuloe may do. Judging from the size
of the lesions when it is what might be called fully de-
veloped, these initial papules must be of almost mi-
croscopic size. The rapid coalescence of several lesions
results in a fine shallow linear ulcer, with a tendency
to branch, this giving the characteristic dendritic ar-
rangement. The amount of infiltration of the surround-
ing tissue is variable. CONCLUSION. The moral responsi-
bilities of the physician for the child in utero are greater
than his legal responsibilities. It is hard to dispute
Pinard
when
he holds that neither
the father,
the
mother, the physician,
nor any other person has the
right of life and death over the fetus. The frequency
and boldness with which that right is claimed by the
father
or by the relatives of the mother should
meet
with firm resistance. I see no ground on which the phy-
sician can stand when he decides to destroy the fetus,
except
a kind of implied authorization by the state,
which agrees to uphold the right of the mother to self-
preservation when her life is endangered by that of the
fetus. hardly
anything
Late in the course of the disease and possibly some-
what influenced by treatment, if energetic, the loss of
the epithelium may become very considerable, as much
as one-half of the cornea being denuded. I have never
seen the lesions suppurate, and while
a moderate de-
gree of iritis may occur, it is never more than moder-
ate, and hypopyon is never seen. The lesion is rarely or
never multiple. No matter how extensive, it will be
found that the ulcération is all a part of a single system
or tree, though as healing progresses the bridging of the
ulcer here and there may leave separate denuded areas. The history is always given of
a preceding chill
or
chills. It is very rare in chronic forms of malaria and
in those unaccompanied by chills. The course tends to
be protracted when untreated. In spite of treatment
some cases will last for weeks or even months, the cor-
neal picture changing daily. One attack predisposes to
others, but
one attack is not necessarily followed by
' others. Still I have seen many patients in whom every
attack of malaria "settles in the eye."
From the super-
ficial character of the lesions, serious damage to the
cornea is not unusual. Nebulae are usually left, and if
central or nearly central, the opacity itself and the re-
sultant irregular astigmatism frequently
reduces the
vision to from 20/40 to 20/100. That the changes of
curvature are
a more potent factor in this result than
the opacity, is shown by the improvement of vision by
cylindrical lenses. CONCLUSION. This review of the legal status of the child in utero
has led probably to less results than were expected. I
have been disappointed in finding less material than was
expected. It shows, I believe, that the legal responsi-
bilities of the physician are comparatively simple. No
physician need be in doubt in any case. If he believes
that the preservation of the life of the mother requires
the sacrifice of the child he may operate without fear. It is always better, however, to fortify his opinions by
consultation with a reputable colleague. The law does
not recognize that the life of the child in utero is of
equal value with that of the mother. ibili i equal
In deciding on his moral responsibilities, however, the Downloaded From: http://jama.jamanetwork.com/ by a University of New South Wales User on 05/18/2015 abrasion of the epithelium, this being especially true of
recent lesions, but frequently it has
a gray border or
base rendering it more conspicuous. A proper concep-
tion of its extent only can be obtained by staining with
fluorescin. We might even say that the characteristic
arrangement of the ulcer is not suggested until made
conspicuous by staining. When
seen in the earlier
stages, with the ulcer involving the epithelium only, and
arrested by Bowman's membrane, the unstained cornea
fails to show any more than a little roughness. Later,
the infiltration of the substantia propria at least suggests
the character and extent of the condition, but at all
stages fluorescin definitely outlines the denuded
area
so clearly and so sharply as to present a picture which
can hardly be confused with anything else. L
i
h
f
ibl physician may have much greater difficulty. The statute
law is frequently behind or at variance with the ethical
law and the variance seems to be marked in this case. Many operations would be legally safe that would be un-
doubtedly wrong. physician may have much greater difficulty. The statute
law is frequently behind or at variance with the ethical
law and the variance seems to be marked in this case. Many operations would be legally safe that would be un-
doubtedly wrong. y
g
It is difficult to deny to the human fetus the innate
right of every human being the equal right to life. On
the protection of this moral law the child in utero must
chiefly rely for its preservation. Read
in
the
Section
on
Ophthalmology
of
the
American
Medical Association, at the Fifty-seventh Annual Session, June, 1906. CONCLUSION. It is rare for both eyes to be at-
tacked, even when the disease recurs. k d Downloaded From: http://jama.jamanetwork.com/ by a University of New South Wales User on 05/18/2015 E.
C. ELLETT, M.D.
MEMPHIS, TENN. Often the lesion is merely an It seems to me that this is not the disease described
by Horner as herpes cornea?, but is the same,
as Kipp
suggests,
as that described by Hansen Grut and Era-
mert under the name of dendritic keratitis or keratitis
exulcerans dendritica mycotica, respectively. It is con-
venient to tell the patient he has "fever blisters on his
eye," but from the observations which it has been' possi-
ble to make on this disease in its early stages, and from
watching its development and the formation of
new
buds and off-shoots from the original furrow, I am sat-
isfied that the lesions are not vesicular, but
are sub-
epithelial lymphoid collections, resembling phlyctenules,
but very much smaller. As far as my personal obser-
vation goes, I have only seen this corneal lesion in it? typical form in one case where no malarial history was Downloaded From: http://jama.jamanetwork.com/ by a University of New South Wales User on 05/18/2015
|
https://openalex.org/W2610638708
|
https://www.scielo.br/j/isz/a/NWZDXSg9kwZfnnKT9vyGZQt/?lang=pt&format=pdf
|
Portuguese
| null |
Lista das espécies de Hippoboscoidea (Diptera) no estado de Mato Grosso do Sul, Brasil
|
Iheringia. Série zoologia/Iheringia. Série Zoologia
| 2,017
|
cc-by
| 5,720
|
Lista das espécies de Hippoboscoidea (Diptera)
no estado de Mato Grosso do Sul, Brasil s Biológicas e da Saúde, Universidade Federal de Mato Grosso do Sul, Caixa Postal 549, 79070-900, Campo Grande, Mato Grosso do Sul,
ahoo com br) 1. Centro de Ciências Biológicas e da Saúde, Universidade Federal de Mato Grosso do Sul, Caixa Postal 549, 79070-900, Campo Grande
Brasil. (ggraciolli@yahoo.com.br) Brasil. (ggraciolli@yahoo.com.br)
2. Departamento de Zoologia, Instituto de Biociências, Universidade de São Paulo. Rua do Matão, Travessa 14, nº 101 Cidade Universitária, 05508-900, São Paulo,
São Paulo Brasil (ggraciolli@yahoo.com.br)
rtamento de Zoologia, Instituto de Biociências, Universidade de São Paulo. Rua do Matão, Travessa 14, nº 101 Cidade Universitária, 05508-
aulo Brasil (gg
y
)
2. Departamento de Zoologia, Instituto de Biociências, Universidade de São Paulo. Rua do Matão, Travessa 14, nº 101 Cidade Universitária, 05508-900, São Paulo,
São Paulo, Brasil. (
)
2. Departamento de Zoologia, Instituto de Biociências, Universidade de São Paulo. Rua do Matão, Travessa 14, nº 101 Cida
São Paulo, Brasil. Recebido 18 novembro 2016
Aceito 6 fevereiro 2017 Recebido 18 novembro 2016 Aceito 6 fevereiro 2017 DOI: 10.1590/1678-4766e2017137 ABSTRACT. Checklist of Hippoboscoidea (Diptera) of the state of Mato Grosso do Sul, Brazil. A checklist of the species of Hippoboscidae, Nycteribiidae
and Streblidae and their hosts and localities in the state of Mato Grosso do Sul, based on literature and specimens deposited in scientifi c collections, is
presented. Fifty-three species are recorded, being Xenotrichobius noctilionis Wenzel, 1976 reported for fi rst time in Brazil. KEYWORDS. Biota-MS Program, Cerrado, Pantanal, Floresta Atlântica, host. RESUMO. Uma listagem das espécies de Hippoboscidae, Nycteribiidae e Streblidae, seus hospedeiros e localidades no estado de Mato Grosso do
Sul, baseada em dados de literatura e no acervo de coleções científi cas, é apresentada. Cinquenta e três espécies são registradas, sendo Xenotrichobius
noctilionis Wenzel, 1976 reportada pela primeira vez no Brasil. PALAVRAS-CHAVE. Programa Biota-MS, Cerrado, Pantanal, Floresta Atlântica, hospedeiro. Na superfamília Hippoboscoidea estão arroladas
quatro famílias de moscas caliptradas, Glossinidae,
Hippoboscidae, Nycteribiidae e Streblidae (McAlpine,
1989). Glossinidae compreende moscas hematófagas restritas
à Região Etiópica, enquanto as outras três famílias incluem
moscas hematófagas, ectoparasitas de aves e mamíferos e
com distribuição cosmopolita. Hippoboscidae são moscas
ectoparasitas de aves e mamíferos (artiodáctilos, lêmures
e cangurus) (Maa, 1969). No continente americano foram
registradas 49 espécies de 12 gêneros e no Brasil 30 espécies
de 10 gêneros (Maa, 1969). Nycteribiidae e Streblidae são
formadas por espécies exclusivamente ectoparasitas de
morcegos (Dick & Miller, 2010; Graciolli, 2010). Lista das espécies de Hippoboscoidea (Diptera)
no estado de Mato Grosso do Sul, Brasil No
continente americano foram registradas dois gêneros e 53
espécies de nicteribiídeos (Graciolli, 2010) e 27 gêneros
e 159 espécies de estreblídeos (Dick & Graciolli, 2008;
Graciolli & Azevedo, 2011; Graciolli & Dick, 2012;
Poinar & Brown, 2012), sendo um gênero e espécie fóssil
(Poinar & Brown, 2012). No Brasil, são conhecidas até o
momento dois gêneros e 26 espécies (Graciolli et al., 2007)
e 20 gêneros e 74 espécies (Aguiar et al., 2006; Eriksson
et al., 2011; Graciolli et al., 2008, 2010; Graciolli &
Azevedo, 2011; Graciolli & Dick, 2012) de nicteribiídeos
e estreblídeos, respectivamente. das espécies das famílias Hippoboscidae, Nycteribiidae e
Streblidae no Estado de Mato Grosso do Sul. Série Zoologia
www.scielo.br/isz
e-ISSN 1678-4766
Iheringia
Iheringia Série Zoologia
www.scielo.br/isz
e-ISSN 1678-4766
Iheringia
Iheringia Fundação Zoobotânica do Rio Grande do Sul
Museu de Ciências Naturais Fundação Zoobotânica do Rio Grande do Sul
Museu de Ciências Naturais MATERIAL E MÉTODOS A listagem foi feita a partir de dados de literatura
e de espécimes depositados na Coleção Zoológicas de
Referência da Universidade Federal de Mato Grosso do
Sul (ZUFMS) e na Coleção Entomológica da Universidade
Para o Desenvolvimento do Estado de Mato Grosso do
Sul (Uniderp/Anhanguera), ambas em Campo Grande. Na listagem as famílias, assim como subfamílias, gêneros
e espécies em cada família são apresentadas em ordem
alfabética. Para cada espécie as seguintes informações são
apresentadas: espécie hospedeira, município e a localidade
onde o díptero hipoboscoídeo foi coletado sobre a espécie
hospedeira e a fonte da informação (referência bibliográfi ca
e/ou coleção científi ca). A espécie hospedeira ou a localidade
precisa no estado pode estar ausente. Os nomes científi cos
dos hospedeiros estão apresentados em ordem alfabética. As
localidades, identifi cadas por algarismos, estão representadas
em um mapa (Fig. 1). i Em relação aos hospedeiros, os nomes subespecífi cos
não foram utilizados. Para os nomes válidos e sinonímias
das espécies de aves seguiu-se a Lista das Aves do Brasil, Nesta contribuição é apresentada uma listagem Iheringia, Série Zoologia, 107(supl.): e2017137. 2017. 1 Lista das espécies de Hippoboscoidea (Diptera)... Graciolli et al. Fig. 1. MATERIAL E MÉTODOS Localidades, com coordenadas geográficas, onde foram coletados espécimes de Hippoboscoidea no Estado do Mato Grosso do Sul, Brasil: 1, Porto
Índio - 17°40’08.70”S, 57°45’21.40”O; 2, Fazenda Recreio - 18°13’00.00”S, 54°40’00.00”O; 3, Fazenda Guanabara - 18°14’06.50”S, 55°45’00.90”O; 4,
Coxim - 18°30’13.98”S, 54°44’50.00”O; 5, Fazenda Campo Neta - 18°45’38.80”S, 56°17’48.30”O; 6, Fazenda Nhumirim - 18°59’15.70”S, 56°37’09.30”O;
7, Maciço do Urucum - 19°12’16.10”S, 57°30’20.20”O; 8, Fazenda Santa Maria - 19°19’47.48”S, 55°22’50.62”O; 9, Fazenda Santa Terezinha -
19°22’39.70”S, 56°03’21.80”O; 10, Fazenda Olhos d’água - 19°26’00.52”S, 55°12’08.71”O; 11, Fazenda Santa Emília/IPPAN Uniderp - 19°30’23.24”S,
55°36’46.10”O; 12, Fazenda Rio Negro - 19°34’22.00”S, 56°14’36.00”O; 13, Fazenda São Bento/Base de Estudos do Pantanal UFMS - 19°34’38.90”S,
57°01’09.10”O; 14, Forte Coimbra - 19°54’49.60”S, 57°47’19.40”O; 15, Estância Caiman - 19°57’56.00”S, 56°18’37.00”O; 16, Fazenda Serra Negra I -
20°00’32.76”S, 54°27’44.64”O; 17, Fazenda Guaicurus - 20°04’49.96”S, 56°28’55.05”O; 18, Fazenda Furnas d’água - 20°09’06.70”S, 55°24’13.03”O;
19, Salobra - 20°11’52.00”S, 56°30’17.00”O; 20, Fazenda São Cristóvão/Miranda - 20°20’06.29”S, 56°22’53.90”O; 21, Campo Grande - 20°28’51.43”S,
54°37’04.51”O; 22, Lagoa do Ouro - 20°30’01.48”S, 54°19’48.54”O; 23, Fazenda São Vicente - 20°31’25.37”S, 56°24’56.63”O; 24, Gruta das Fadas/
Bodoquena - 20°34’04.76”S, 56°43’32.02”O; 25, Gruta “Seu” Natal e Complexo de Grutas do Córrego Azul - 20°45’46.96”S, 56°45’10.02”O; 26,
Fazenda Serrinha – 20°50’00.00”S, 54°49’00.00”O; 27, Fazenda Princesinha – 21°05’00.00”S, 57°29’00.00”O; 28, Fazenda Saltinho – 21°24’00.00”S,
54°25’00.00”O; 29, Fazenda Campo Verde – 21°24’48.00”S, 56°46’32.00”O; 30, Fazenda Sismório Corrêa – 21°28’00.00”S, 55°10’00.00”O; 31,
Maracaju - 21°37’07.00”S, 55°10’02.00”O; 32, Fazenda Inho – 21°54’00.00”S, 54°32’00.00”O; 33, Fazenda Lagoão – 22°01’00.00”S, 54°47’00.00”O;
34, Porto Murtinho - 22°01’31.80”S, 57°54’15.70’’O; 35, Fazenda Manjolo – 22°05’00.00”S, 54°35’00.00”O. Fig. 1. Lipopteninae p p
1. Lipoptena guimaraesi Bequaert, 1957. Ozotoceros
bezoarticus (Linnaeus, 1758), Corumbá (6) (Graciolli
et al., 2011). MATERIAL E MÉTODOS Localidades, com coordenadas geográficas, onde foram coletados espécimes de Hippoboscoidea no Estado do Mato Grosso do Sul, Brasil: 1, Porto
Índio - 17°40’08.70”S, 57°45’21.40”O; 2, Fazenda Recreio - 18°13’00.00”S, 54°40’00.00”O; 3, Fazenda Guanabara - 18°14’06.50”S, 55°45’00.90”O; 4,
Coxim - 18°30’13.98”S, 54°44’50.00”O; 5, Fazenda Campo Neta - 18°45’38.80”S, 56°17’48.30”O; 6, Fazenda Nhumirim - 18°59’15.70”S, 56°37’09.30”O;
7, Maciço do Urucum - 19°12’16.10”S, 57°30’20.20”O; 8, Fazenda Santa Maria - 19°19’47.48”S, 55°22’50.62”O; 9, Fazenda Santa Terezinha -
19°22’39.70”S, 56°03’21.80”O; 10, Fazenda Olhos d’água - 19°26’00.52”S, 55°12’08.71”O; 11, Fazenda Santa Emília/IPPAN Uniderp - 19°30’23.24”S,
55°36’46.10”O; 12, Fazenda Rio Negro - 19°34’22.00”S, 56°14’36.00”O; 13, Fazenda São Bento/Base de Estudos do Pantanal UFMS - 19°34’38.90”S,
57°01’09.10”O; 14, Forte Coimbra - 19°54’49.60”S, 57°47’19.40”O; 15, Estância Caiman - 19°57’56.00”S, 56°18’37.00”O; 16, Fazenda Serra Negra I -
20°00’32.76”S, 54°27’44.64”O; 17, Fazenda Guaicurus - 20°04’49.96”S, 56°28’55.05”O; 18, Fazenda Furnas d’água - 20°09’06.70”S, 55°24’13.03”O;
19, Salobra - 20°11’52.00”S, 56°30’17.00”O; 20, Fazenda São Cristóvão/Miranda - 20°20’06.29”S, 56°22’53.90”O; 21, Campo Grande - 20°28’51.43”S,
54°37’04.51”O; 22, Lagoa do Ouro - 20°30’01.48”S, 54°19’48.54”O; 23, Fazenda São Vicente - 20°31’25.37”S, 56°24’56.63”O; 24, Gruta das Fadas/
Bodoquena - 20°34’04.76”S, 56°43’32.02”O; 25, Gruta “Seu” Natal e Complexo de Grutas do Córrego Azul - 20°45’46.96”S, 56°45’10.02”O; 26,
Fazenda Serrinha – 20°50’00.00”S, 54°49’00.00”O; 27, Fazenda Princesinha – 21°05’00.00”S, 57°29’00.00”O; 28, Fazenda Saltinho – 21°24’00.00”S,
54°25’00.00”O; 29, Fazenda Campo Verde – 21°24’48.00”S, 56°46’32.00”O; 30, Fazenda Sismório Corrêa – 21°28’00.00”S, 55°10’00.00”O; 31,
Maracaju - 21°37’07.00”S, 55°10’02.00”O; 32, Fazenda Inho – 21°54’00.00”S, 54°32’00.00”O; 33, Fazenda Lagoão – 22°01’00.00”S, 54°47’00.00”O;
34, Porto Murtinho - 22°01’31.80”S, 57°54’15.70’’O; 35, Fazenda Manjolo – 22°05’00.00”S, 54°35’00.00”O. Lista das espécies de Hippoboscoidea e de seus
hospedeiros para o estado de Mato Grosso do Sul. instituída pelo Comitê Brasileiro de Registros Ornitológicos
(CBRO, 2011), para os de cervídeos Tiepolo & Tomas (2011)
e para os de morcegos Gardner (2007), com exceção para
as espécies de Natalus Gray, 1838 para as quais adotou-se
Garbino & Tejedor (2013). HIPPOBOSCIDAE Lipopteninae Streblinae 15. Metelasmus pseudopterus Coquillett, 1907. Artibeus
planirostris Spix, 1823, Jardim (29) (ZUFMS, Eriksson
et al., 2011). 16. Strebla chrotopteri Wenzel, 1976. Chrotopterus auritus
(Peters, 1856), Jardim (29) (ZUFMS, Eriksson et
al., 2011). 17. Strebla curvata Wenzel, 1976. Glossophaga soricina
(Pallas, 1766), Bodoquena (24) (ZUFMS), Jardim (29)
(Eriksson et al., 2011). 5. Microlynchia crypturelli Bequaert, 1938. Crypturellus
parvirostris (Wagler, 1827), Coxim (2) (Bequaert,
1955). 18. Strebla diaemi Wenzel, 1966. Diaemus youngi (Jentink,
1893), Aquidauana (9) (Uniderp/Anhanguera). 6. Microlynchia pusilla (Speiser, 1902). Crypturellus sp.,
Maracaju (31) (Bequaert, 1955). 19. Strebla guajiro (García & Casal, 1965). Carollia
perspicillata (L., 1758), Bodoquena (24, 25) (ZUFMS),
Corumbá (7) (ZUFMS); Jardim (29) (ZUFMS,
Eriksson et al., 2011). Glossophaga soricina, Corumbá
(14) (ZUFMS). 7. Olfersia bisulcata Macquart, 1847. Cathartes aura,
Maracaju (31) (Bequaert, 1957). 8. Olfersia coriacea Wulp, 1903. Crax sp. Maracaju
(31) (Bequaert, 1957). Mesembrinibis cayennensis
(Gmelin, 1789), Coxim (4) (Bequaert, 1957). 20. Strebla hertigi Wenzel, 1966. Phyllostomus discolor
Wagner, 1843, Corumbá (6, 13) (Carvalho, 2007;
ZUFMS). 9. Ornithoctona erythrocephala (Leach, 1817). Elanus
leucurus (Vieillot, 1818), “Rio Paraná” (Bequaert,
1954). 21. Strebla mirabilis (Waterhouse, 1879). Lophostoma
silvicolum d’Orbygny, 1836, Corumbá (14) (ZUFMS). 10. Pseudolynchia brunnea (Latreille, 1812). Hydropsalis
albicollis (Gmelin, 1789), Miranda (19) (Bequaert,
1955). 22. Strebla tonatie (Kessel, 1924). Lophostoma brasiliense
Peters, 1866, Corumbá (13) (ZUFMS). 23. Strebla wiedemanni Kolenati, 1856. Desmodus
rotundus (E. Geoffroy, 1810), Aquidauana (11)
(Uniderp/Anhanguera), (12) (ZUFMS, Carvalho,
2007), Corumbá (6, 7, 13,14) (Carvalho, 2007,
ZUFMS), Jardim (29) (ZUFMS, Eriksson et al.,
2011). Glossophaga soricina, Jardim (29) (ZUFMS). Lophostoma silvicolum, Corumbá (13) (ZUFMS). Platyrrhinus lineatus, Corumbá (7) (ZUFMS). Sturnira lilium (E. Geoffroy, 1810), Aquidauana (12)
(Carvalho, 2007). Trichobiinae 11. Pseudolynchia canariensis (Macquart, 1839). Hospedeiro não determinado, Campo Grande (21)
(ZUFMS) RESULTADOS E DISCUSSÃO “fulvous-bellied
kite”, Maracaju (31) (Bequaert, 1955). Gampsonyx
swainsonii Vigors, 1825, Miranda (19) (Bequaert,
1955). Heterospizias meridionalis (Latham, 1790),
Coxim (2) (Bequaert, 1955). Comentário. A
identificação na língua inglesa “Fulvous-bellied Kite”
em Bequaert (1955) não é um nome reconhecido entre
os ornitólogos e provavelmente este denominação trata-
se de uma descrição rápida da ave feita pelo coletor de
I. nigra em Maracaju. “Kites” são denominados em
gaviões (Accipitridae) de pequeno tamanho corporal
(às vezes de médio) e “fulvous-belly” seria alguma
ave apresentado uma “barriga amarronzada”. Os
hospedeiros de I. nigra em Maracaju poderiam ser
Leptodon cayanensis (Latham, 1790) e Chondrohierax
uncinatus (Temminck, 1822), considerando as espécies
de gaviões morfologia e/ou fases de plumagem que
poderiam ser caracterizado por apresentar um ventre
amarronzado e que ocorrem na região de Maracaju
(Fernando Costa Straube, Hori Consultoria Ambiental,
com. pessoal). 14. Basilia speiseri (Miranda Ribeiro, 1907). Myotis
albescens, Aquidauana (9, 11) (Uniderp/Anhanguera),
Corumbá (6) (ZUFMS). Myotis nigricans, Aquidauana
(9) (Uniderp/Anhanguera); Corumbá (5) (Uniderp/
Anhanguera), (6) (ZUFMS, Carvalho 2007), 13
(ZUFMS); Miranda (15) (Uniderp/Anhanguera). Myotis simus Thomas, 1901, Corumbá (13) (ZUFMS). Platyrrhinus lineatus, Corumbá (13) (ZUFMS). RESULTADOS E DISCUSSÃO Foram encontradas 11 espécies de Hippoboscidae, três
de Nycteribiidae e 39 de Streblidae, totalizando 53 espécies. Xenotrichobius noctilionis é registrada pela primeira vez
no Brasil, aumentando para 21 e 75 o número de gêneros
e espécies, respectivamente, de estreblídeos registrados em
território brasileiro. 2. Lipoptena mazamae (Rondani, 1878). Ozotoceros
bezoarticus, Corumbá (6) (Graciolli et al., 2011). Hospedeiro não determinado, Miranda (19) (Bequaert,
1957); espécimen volante capturado em armadilha Malaise, Campo Grande (21) (ZUFMS). Ornithomyinae Iheringia, Série Zoologia, 107(supl.): e2017137, 2017. 2 Lista das espécies de Hippoboscoidea (Diptera)... Graciolli et al. (Uniderp/Anhanguera), Campo Grande (22) (Uniderp/
Anhanguera) e Corumbá (13) (Uniderp/Anhanguera,
ZUFMS). Myotis nigricans (Schinz, 1821), Aquidauana
(9) (UNIDERP/Anhanguera) (12) (ZUFMS, Carvalho,
2007), Bodoquena (23) (Uniderp/Anhanguera), Campo
Grande (22) (Uniderp/Anhanguera) e Corumbá (5)
(Uniderp/Anhanguera), (6, 13) (ZUFMS). Myotis
riparius Handley, 1960, Corumbá (5) (Uniderp/
Anhanguera). (Uniderp/Anhanguera), Campo Grande (22) (Uniderp/
Anhanguera) e Corumbá (13) (Uniderp/Anhanguera,
ZUFMS). Myotis nigricans (Schinz, 1821), Aquidauana
(9) (UNIDERP/Anhanguera) (12) (ZUFMS, Carvalho,
2007), Bodoquena (23) (Uniderp/Anhanguera), Campo
Grande (22) (Uniderp/Anhanguera) e Corumbá (5)
(Uniderp/Anhanguera), (6, 13) (ZUFMS). Myotis
riparius Handley, 1960, Corumbá (5) (Uniderp/
Anhanguera). 3. Icosta albipennis (Say, 1823). Eurypyga helias (Pallas,
1781), “Rio Paraná” (Bequaert, 1955). 3. Icosta albipennis (Say, 1823). Eurypyga helias (Pallas,
1781), “Rio Paraná” (Bequaert, 1955). 4. Icosta nigra (Perty, 1833). Accipiter bicolor pileatus
(Temminck, 1823), Coxim (2) (Bequaert, 1955). Caracara plancus (Miller, 1777), Bodoquena (24)
Bequaert, 1955). Cathartes aura (Linnaeus, 1758),
Maracaju (31) (Bequaert, 1955). “fulvous-bellied
kite”, Maracaju (31) (Bequaert, 1955). Gampsonyx
swainsonii Vigors, 1825, Miranda (19) (Bequaert,
1955). Heterospizias meridionalis (Latham, 1790),
Coxim (2) (Bequaert, 1955). Comentário. A
identificação na língua inglesa “Fulvous-bellied Kite”
em Bequaert (1955) não é um nome reconhecido entre
os ornitólogos e provavelmente este denominação trata-
se de uma descrição rápida da ave feita pelo coletor de
I. nigra em Maracaju. “Kites” são denominados em
gaviões (Accipitridae) de pequeno tamanho corporal
(às vezes de médio) e “fulvous-belly” seria alguma
ave apresentado uma “barriga amarronzada”. Os
hospedeiros de I. nigra em Maracaju poderiam ser
Leptodon cayanensis (Latham, 1790) e Chondrohierax
uncinatus (Temminck, 1822), considerando as espécies
de gaviões morfologia e/ou fases de plumagem que
poderiam ser caracterizado por apresentar um ventre
amarronzado e que ocorrem na região de Maracaju
(Fernando Costa Straube, Hori Consultoria Ambiental,
com. pessoal). 4. Icosta nigra (Perty, 1833). Accipiter bicolor pileatus
(Temminck, 1823), Coxim (2) (Bequaert, 1955). Caracara plancus (Miller, 1777), Bodoquena (24)
Bequaert, 1955). Cathartes aura (Linnaeus, 1758),
Maracaju (31) (Bequaert, 1955). NYCTERIBIIDAE 12. Basilia bequaerti Guimarães & d’Andretta, 1956. Eptesicus brasiliensis (Desmarest, 1819), Rio Brilhante
(32); Nova Alvorada do Sul (28); Sidrolândia (26)
(Graciolli et al., 2006). Eptesicus furinalis (d’Orbigny,
1847), Aquidauana (18) (Uniderp/Anhanguera). 13. Basilia carteri Scott, 1936. Molossus molossus
(Pallas, 1766) e Platyrrhinus lineatus (E. Geoffroy,
1810), Aquidauana (9) (UNIDERP/Anhanguera). Myotis albescens (E. Geoffroy, 1806), Aquidauana (9) Trichobiinae 24. Aspidoptera falcata Wenzel, 1976. Artibeus planirostris
(Spix, 1823), Aquidauana (12) (Carvalho, 2007). Carollia perspicillata (Linnaeus, 1758), Jardim (29) 24. Aspidoptera falcata Wenzel, 1976. Artibeus planirostris
(Spix, 1823), Aquidauana (12) (Carvalho, 2007). Carollia perspicillata (Linnaeus, 1758), Jardim (29) Iheringia, Série Zoologia, 107(supl.): e2017137, 2017. 3 Lista das espécies de Hippoboscoidea (Diptera)... Graciolli et al. (ZUFMS, Eriksson et al., 2011). Desmodus rotundus
(E. Geoffroy, 1810), Aquidauana (12) (Carvalho,
2007). Glossophaga soricina (Pallas, 1766), Jardim
(29) (ZUFMS, Eriksson et al., 2011). Platyrrhinus
lineatus, Aquidauana (12) (Carvalho, 2007). Sturnira lilium (E. Geoffroy, 1810), Aquidauana
(9) (Uniderp/Anhanguera), (12) (Carvalho, 2007;
ZUFMS), Bodoquena (20, 23) (Uniderp/Anhanguera),
Corumbá (6, 13) (ZUFMS, Carvalho, 2007), Itaporã
(33) (ZUFMS, Graciolli et al., 2006), Jardim (29)
(ZUFMS, Eriksson et al., 2011); Sidrolândia (30)
(Graciolli et al., 2006). Corumbá (14) (ZUFMS). Myotis riparius, Corumbá
(5) (Uniderp/Anhanguera). Phyllostomus hastatus,
Miranda (17) (Uniderp/Anhanguera). Platyrrhinus
lineatus, Aquidauana (12) (Carvalho, 2007), Corumbá
(1) (ZUFMS). Sturnira lilium, Corumbá (7) (ZUFMS),
Douradina (35) (Graciolli et al., 2006). 29. Megistopoda proxima (Séguy, 1926). Artibeus
planirostris, Aquidauana (12) (Carvalho, 2007). Carollia perspicillata, Jardim (29) (ZUFMS, Eriksson
et al., 2011). Desmodus rotundus, Aquidauana (12)
(Carvalho, 2007). Glossophaga soricina, Corumbá (7)
(ZUFMS), Jardim (29) (ZUFMS, Eriksson et al., 2011). Sturnira lilium, Aquidauana (9) (Uniderp/Anhanguera),
(12) (Carvalho, 2007), Bonito (27) (Graciolli et al.,
2006), Corumbá (6, 7, 13) (Carvalho, 2007; ZUFMS),
Douradina (35) (ZUFMS), Jardim (29) (ZUFMS,
Eriksson et al., 2011), Sidrolândia (26, 30) (ZUFMS,
Graciolli et al., 2006). 25. Aspidoptera phyllostomatis (Perty, 1833). Artibeus
lituratus (Olfers, 1818), Aquidauana (12) (Carvalho,
2007), Corumbá (6, 13) (ZUFMS, Carvalho, 2007). Artibeus planirostris, Aquidauana (8, 9, 10, 18)
(Uniderp/Anhanguera), (12) (ZUFMS, Carvalho,
2007), Bodoquena (23) (Uniderp/Anhanguera), Bonito
(27) (Graciolli et al., 2006), Corguinho (16) (Uniderp/
Anhanguera), Corumbá (5) (Uniderp/Anhanguera),
(6, 13, 14) (ZUFMS, Carvalho, 2007), Jardim (29)
(ZUFMS, Eriksson et al., 2011), Nova Alvorada do Sul
(28) (Graciolli et al., 2006). Carollia perspicillata,
Jardim (29) (Eriksson et al., 2011). Desmodus
rotundus, Jardim (29) (ZUFMS, Eriksson et al. 2011). Diaemus youngi, Corumbá (5) (Uniderp/Anhanguera). Platyrrhinus lineatus, Corumbá (1) (ZUFMS). Sturnira
lilium, Aquidauana (12) (Carvalho, 2007). 30. Noctiliostrebla aitkeni Wenzel, 1966. Noctilio
albiventris Desmarest, 1818, Aquidauana (9) (Uniderp/
Anhanguera). Noctilio leporinus (L., 1758), Aquidauana
(11) (Uniderp/Anhanguera). 31. Noctiliostrebla dubia (Rudow, 1871). Noctilio
leporinus, Aquidauana (9, 11) (Uniderp/Anhanguera). 32. Noctiliostrebla maai Wenzel, 1966. Noctilio
albiventris, Aquidauana (9) (Uniderp/Anhanguera),
(12) (ZUFMS, Carvalho, 2007); Corumbá (6, 7,
13, 14) (Carvalho, 2007; ZUFMS), Miranda (15)
(Uniderp/Anhanguera). Trichobiinae Noctilio leporinus, Aquidauana
(9) (Uniderp/Anhanguera); Corumbá (13) (ZUFMS). Platyrrhinus lineatus, Corumbá (1) (ZUFMS). 26. Exastinion clovisi (Pessôa & Guimarães, 1937). Anoura geoffroyi Gray, 1838, Aquidauana (18)
(Uniderp/Anhanguera). Platyrrhinus lineatus, Corumbá (1) (ZUFMS). 33. Paradyschiria parvula Falcoz, 1931. Artibeus
planirostris, Corumbá (13, 14) (ZUFMS). Eumops
auripendulus (Shaw, 1800), Corumbá (5) (Uniderp/
Anhanguera). Lophostoma silvicolum, Aquidauana
(9) (Uniderp/Anhanguera). Noctilio albiventris,
Aquidauana (9) (Uniderp/Anhanguera), (12) (ZUFMS,
Carvalho, 2007); Corumbá (1, 6, 7, 13, 14) (ZUFMS,
Carvalho, 2007). Noctilio leporinus, Aquidauana
(9) (Uniderp/Anhanguera); Corumbá (13) (ZUFMS). Phyllostomus hastatus, Aquidauana (9) (Uniderp/
Anhanguera). Platyrrhinus lineatus, Corumbá (1)
(ZUFMS). 27. Mastoptera minuta (Costa Lima, 1921). Artibeus
planirostris, Corumbá (14) (ZUFMS). Glossophaga
soricina, Corumbá (14) (ZUFMS). Lophostoma
brasiliense Peters, 1866, Aquidauana (12) (Carvalho,
2007), Corumbá (13) (ZUFMS). Lophostoma silvicolum,
Aquidauana (9) (Uniderp/Anhanguera), (12) (ZUFMS,
Carvalho, 2007), Corumbá (3) (Uniderp/Anhanguera),
(6, 13, 14) (ZUFMS, Carvalho, 2007); Porto Murtinho
(34) (ZUFMS). Phyllostomus hastatus (Pallas, 1767),
Corumbá (6) (Carvalho, 2007). Platyrrhinus helleri
(Peters, 1866), Corumbá (13) (ZUFMS). 28. Megistopoda aranea (Coquillett, 1899). Artibeus
lituratus, Aquidauana (12) (Carvalho, 2007), Corumbá
(6, 7) (ZUFMS, Carvalho, 2007). Artibeus planirostris,
Aquidauana (9, 11, 18) (Uniderp/Anhanguera),
(12) (ZUFMS, Carvalho, 2007), Bodoquena (23)
(Uniderp/Anhanguera), Bonito (27) (Graciolli et
al., 2006), Campo Grande (21) (ZUFMS), Corguinho
(16) (Uniderp/Anhanguera), Corumbá (1, 6, 7, 13, 14)
(ZUFMS, Carvalho, 2007), Itaporã (33) (Graciolli et
al., 2006), Jardim (29) (ZUFMS, Eriksson et al., 2011),
Nova Alvorada do Sul (28) (Graciolli et al., 2006),
Porto Murtinho (34) (ZUFMS). Carollia perspicillata,
Corumbá (7) (ZUFMS), Jardim (29) (ZUFMS,
Eriksson et al., 2011). Diaemus youngi, Corumbá
(5) (Uniderp/Anhanguera). Glossophaga soricina, 34. Paratrichobius longicrus (Miranda Ribeiro, 1907). Artibeus lituratus, Bodoquena (23) (Uniderp/
Anhanguera); Campo Grande (21) (ZUFMS). Platyrrhinus lineatus, Bonito (27) (Graciolli et al.,
2006), Campo Grande (21) (ZUFMS), Jardim (29)
(ZUFMS), Miranda (17) (Uniderp/Anhanguera). 35. Pseudostrebla greenwelli Wenzel, 1966. Hospedeiro
não determinado, Aquidauana (12) (ZUFMS). 36. Pseudostrebla ribeiroi Costa Lima, 1921. Lophostoma
silvicolum, Aquidauana (9) (Uniderp/Anhanguera),
(12) (ZUFMS), Corumbá (6, 13) (ZUFMS, Carvalho,
2007); Porto Murtinho (34) (ZUFMS). 37. Speiseria ambigua Kessel, 1925. Carollia perspicillata,
Corumbá (7) (ZUFMS), Jardim (29) (ZUFMS, Iheringia, Série Zoologia, 107(supl.): e2017137, 2017. 4 Lista das espécies de Hippoboscoidea (Diptera)... Graciolli et al. Eriksson et al., 2011). Glossophaga soricina, Corumbá
(6) (ZUFMS); Jardim (29) (ZUFMS, Eriksson et al.,
2011). discolor, Corumbá (5) (Uniderp/Anhanguera). Phyllostomus hastatus, Aquidauana (9, 11, 18) (Uniderp/
Anhanguera), (12) (Carvalho, 2007); Bodoquena (25)
(ZUFMS); Corumbá (13) (ZUFMS), Miranda (17)
(Uniderp/Anhanguera). Promops centralis Thomas,
1915, Corumbá (5) (Uniderp/Anhanguera). 38. Trichobiinae Trichobioides perspicillatus (Pessôa & Galvão, 1936). Phyllostomus discolor, Aquidauana (9) (Uniderp/
Anhanguera), (12) (ZUFMS, Carvalho, 2007),
Corumbá (6, 13, 14) (ZUFMS, Carvalho, 2007);
Miranda (17) (Uniderp/Anhanguera). Phyllostomus
elongatus (E. Geoffroy, 1810), Corumbá (13) (ZUFMS). 48. Trichobius parasiticus Gervais, 1844. Chrotopterus
auritus, Aquidauana (12) (Carvalho, 2007). Desmodus
rotundus, Aquidauana (11) (Uniderp/Anhanguera),
(12) (Carvalho, 2007). Corumbá (13, 14) (ZUFMS). Platyrrhinus helleri, Corumbá (13) (ZUFMS). 39. Trichobius affinis Wenzel, 1976. Lophostoma
brasiliense, Aquidauana (12) (Carvalho, 2007). 40. Trichobius angulatus Wenzel, 1976. Artibeus
planirostris, Corumbá (13) (ZUFMS). Glossophaga
soricina, Corumbá (6) (Carvalho, 2007), Jardim (29)
(ZUFMS). Platyrrhinus lineatus, Aquidauana (12)
(ZUFMS), Bodoquena (23) (Uniderp/Anhanguera);
Corumbá (13) (ZUFMS); Jardim (29) (ZUFMS,
Eriksson et al., 2011). 49. Trichobius persimilis Wenzel, 1976. Sturnira lilium,
Aquidauana (12) (Carvalho, 2007). 40. Trichobius angulatus Wenzel, 1976. Artibeus
planirostris, Corumbá (13) (ZUFMS). Glossophaga
soricina, Corumbá (6) (Carvalho, 2007), Jardim (29) 50. Trichobius silvicolae Wenzel, 1976. Lophostoma
brasiliense, Corumbá (13) (ZUFMS). Lophostoma
silvicolum, Aquidauana (9) (Uniderp/Anhanguera), (12)
(Carvalho, 2007); Corumbá (3) (Uniderp/Anhanguera),
(6, 13, 14) (Carvalho, 2007). Phyllostomus hastatus,
Corumbá (6) (Carvalho, 2007). (ZUFMS). Platyrrhinus lineatus, Aquidauana (12)
(ZUFMS), Bodoquena (23) (Uniderp/Anhanguera);
Corumbá (13) (ZUFMS); Jardim (29) (ZUFMS,
Eriksson et al., 2011). 41. Trichobius costalimai Guimarães, 1938. Phyllostomus
discolor, Aquidauana (9, 11) (Uniderp/Anhanguera),
(12) (Carvalho, 2007); Corumbá (6, 13, 14) (ZUFMS,
Carvalho, 2007); Miranda (17) (Uniderp/Anhanguera). Phyllostomus elongatus, Corumbá (13) (ZUFMS). 51. Trichobius tiptoni Wenzel, 1976. Anoura caudifer,
Bodoquena (25) (ZUFMS); Jardim (29) (ZUFMS). 52. Trichobius uniformis Curran, 1935. Artibeus
planirostris, Corumbá (6) (ZUFMS). Glossophaga
soricina, Aquidauana (9) (Uniderp/Anhanguera),
(12) (Carvalho, 2007); Bodoquena (24) (ZUFMS);
Corumbá (14) (ZUFMS); Jardim (29) (ZUFMS,
Eriksson et al., 2011). Sturnira lilium, Jardim (29)
(Eriksson et al., 2011). 42. Trichobius diaemi Wenzel, 1976. Diaemus youngi,
Aquidauana, (9) (Uniderp/Anhanguera). Myotis
albescens, Corumbá (5) (Uniderp/Anhanguera). 43. Trichobius dugesii Townsend, 1891. Diaemus youngi,
Aquidauana (12) (Carvalho, 2007). Glossophaga
soricina, Aquidauana (12); Corumbá (6) (Carvalho,
2007); Jardim (29) (ZUFMS, Eriksson et al., 2011). 53. Xenotrichobius noctilionis Wenzel, 1976. Noctilio
albiventris, Corumbá (13) (ZUFMS). 44. Trichobius galei Wenzel, 1966. Micronycteris sanborni
(Simmons, 1996), Corumbá (14) (ZUFMS). Natalus
macrourus (Gervais, 1856), Corumbá (14) (ZUFMS). Comentários sobre a lista, riqueza do estado
comparado com outras regiões. Os estados com maior de
número de espécies de Hippoboscoidea são Paraná e São
Paulo com 57 e 56 espécies registradas, respectivamente. Trichobiinae O
Mato Grosso do Sul é o terceiro estado (53); no entanto o
número de espécies de Nycteribiidae é somente três, número
inferior a outras unidades da Federação como Santa Catarina,
onde há oito espécies registradas. Esta informação evidencia
que o conhecimento sobre a distribuição geográfica das
três famílias de Hippoboscoidea nos estados e regiões do
Brasil não é uniforme, sendo normalmente o número de
Hippoboscidae inferior ao de Nycteribiidae e Streblidae.l 45. Trichobius joblingi Wenzel, 1966. Anoura caudifer
(E. Geoffroy, 1818), Jardim (29) (Eriksson et al.,
2011). Artibeus planirostris, Corumbá (7) (ZUFMS),
Jardim (29) (ZUFMS, Eriksson et al., 2011). Carollia perspicillata, Aquidauana (12) (Carvalho
2007), (18) (Uniderp/Anhanguera); Bodoquena (23)
(Uniderp/Anhanguera), (24, 25) (ZUFMS); Bonito
(27) (Graciolli et al., 2006); Campo Grande (21)
(ZUFMS); Corumbá (7, 13, 14) (ZUFMS); Jardim (29)
(ZUFMS, Eriksson et al., 2011); Nova Alvorada do Sul
(28) (Graciolli et al., 2006, ZUFMS). Glossophaga
soricina, Aquidauana (9) (Uniderp/Anhanguera), (12)
(Carvalho, 2007); Corumbá (6, 7, 14) (ZUFMS); Porto
Murtinho (34) (ZUFMS). Lophostoma silvicolum,
Corumbá (14) (ZUFMS). Mimon bennettii (Gray, 1838),
Aquidauana (18) (Uniderp/Anhanguera). Platyrrhinus
lineatus, Aquidauana (12) (Carvalho, 2007); Campo
Grande (21) (ZUFMS); Jardim (29) (ZUFMS). Sturnira
lilium, Jardim (29) (ZUFMS, Eriksson et al., 2011). Tonatia bidens (Spix, 1823), Aquidauana (18) (Uniderp/
Anhanguera). 45. Trichobius joblingi Wenzel, 1966. Anoura caudifer
(E. Geoffroy, 1818), Jardim (29) (Eriksson et al.,
2011). Artibeus planirostris, Corumbá (7) (ZUFMS),
Jardim (29) (ZUFMS, Eriksson et al., 2011). Carollia perspicillata, Aquidauana (12) (Carvalho
2007), (18) (Uniderp/Anhanguera); Bodoquena (23)
(Uniderp/Anhanguera), (24, 25) (ZUFMS); Bonito
(27) (Graciolli et al., 2006); Campo Grande (21)
(ZUFMS); Corumbá (7, 13, 14) (ZUFMS); Jardim (29)
(ZUFMS, Eriksson et al., 2011); Nova Alvorada do Sul
(28) (Graciolli et al., 2006, ZUFMS). Glossophaga
soricina, Aquidauana (9) (Uniderp/Anhanguera), (12)
(Carvalho, 2007); Corumbá (6, 7, 14) (ZUFMS); Porto
Murtinho (34) (ZUFMS). Lophostoma silvicolum,
Corumbá (14) (ZUFMS). Mimon bennettii (Gray, 1838),
Aquidauana (18) (Uniderp/Anhanguera). Platyrrhinus
lineatus, Aquidauana (12) (Carvalho, 2007); Campo
Grande (21) (ZUFMS); Jardim (29) (ZUFMS). Sturnira
lilium, Jardim (29) (ZUFMS, Eriksson et al., 2011). Tonatia bidens (Spix, 1823), Aquidauana (18) (Uniderp/
Anhanguera). Um dos fatores que pode estar influenciando esta
diferença é que hipoboscídeos parasitam aves e cervídeos,
enquanto nicteribíideos e estreblídeos são encontrados em
morcegos. REFERÊNCIAS BIBLIOGRÁFICAS Das 35 localidades onde foram coletados espécimes
de Hippoboscoidea, 16 estão localizadas no Pantanal, o
mesmo número no Cerrado e três na Mata Atlântica (Fig. 1). Das 35 localidades onde foram coletados espécimes
de Hippoboscoidea, 16 estão localizadas no Pantanal, o
mesmo número no Cerrado e três na Mata Atlântica (Fig. 1). Aguiar, L. M. de S. & Antonini, Y. 2011. Descriptive ecology of bat flies
(Diptera: Hippoboscoidea) associated with vampire bats (Chiroptera:
Phyllostomidae) in the cerrado of Central Brazil. Memórias do Instituto
Oswaldo Cruz 106:170-176. O Pantanal é o bioma com maior número de espécies
de Hippoboscoidea registradas, quatro de Hippoboscidae,
duas de Nycteribiidae e 33 de Streblidae, totalizando 39
táxons. Para o Cerrado foram registradas sete espécies de
Hippoboscidae, duas de Nycteribiidae e 20 de Streblidae,
totalizando 29 espécies; e para a Floresta Atlântica foram
encontradas uma de Nycteribiidae e três de Streblidae,
perfazendo quatro espécies. Oswaldo Cruz 106:170-176. Aguiar, L. M. de S.; Camargo, W. R. & Portella, A. de S. 2006. Occurrence of white-winged vampire bat, Diaemus youngi (Mammalia,
Chiroptera), in the Cerrado of Distrito Federal, Brazil. Revista
Brasileira de Zoologia 23:893-896. l Brasileira de Zoologia 23:893-896. Bequaert, J. 1954. The Hippoboscidae or louse-flies (Diptera) of mammals
and birds Part II. Taxonomy, evolution and revision of American genera
and species. Entomologica Americana, News Series 34:1-232. l Bequaert, J. 1955. The Hippoboscidae or louse-flies (Diptera) of mammals
and birds Part II. Taxonomy, evolution and revision of American genera
and species. Entomologica Americana, New Series 35:233-416.l Principais lacunas de conhecimento. Embora em
comparação com o restante do país Mato Grosso do Sul seja
o terceiro estado com o número de espécies, o conhecimento
sobre a distribuição nos biomas e os hospedeiros de
Hippoboscoidea neste estado ainda é incipiente. Com exceção
de algumas localidades na Serra da Bodoquena e na região de
Passo do Lontra no Pantanal, os registros aqui apresentados
são de coletas realizadas de forma não sistemática e ocasional. Embora seja o bioma melhor amostrado, a maior parte do
Pantanal continua não amostrada, assim como, grande
parte do Cerrado, especialmente a região nordeste e leste. Enquanto isso, a Floresta Atlântica possui a maior lacuna
de amostragem e conhecimento (Fig. 1). Bequaert, J. 1957. The Hippoboscidae or louse-flies (Diptera) of mammals
and birds. Part II. Taxonomy, evolution and revision of American genera
and species. Entomologica Americana, New Series 36:417-611. Carvalho, L. F. A. C. 2007. REFERÊNCIAS BIBLIOGRÁFICAS Riqueza e diversidade de dípteros
ectoparasitos de morcegos no Pantanal da Nhecolândia. Dissertação
de Mestrado. Campo Grande, Universidade Federal de Mato Grosso
do Sul. CBRO - Comitê Brasileiro de Registros Ornitológicos 2011. Listas das
aves do Brasil. 10ed, 25/1/2011. Disponível em <http://www.cbro. org.br>. Acessado em 14/05/2012. Dias, P. A.; Santos, C. L. C. dos S.; Rodrigues, F. S.; Rosa, L. C.; Lobato,
K. S. & Rebêlo, J. M. M. 2009. Espécies de moscas ectoparasitas
(Diptera, Hippoboscoidea) de morcegos (Mammalia, Chiroptera) no
estado do Maranhão. Revista Brasileira de Entomologia 53:128-133. Dick, C. W. & Graciolli, G. 2008. Checklist of the World Streblidae
(Diptera: Hippoboscoidea). Disponível em: <http://fm1.fieldmuseum. org/aa/Files/cdick/Streblidae_Checklist_18sep08.pdf> . Acessado em
01/08/2012. Perspectivas de pesquisa para os próximos 10 anos. Para Mato Grosso do Sul é esperada uma grande diversidade
de espécies, visto que o estado possui extensas áreas de três
biomas brasileiros. Por isso, espera-se um intenso aumento no
conhecimento sobre as famílias de Hippoboscoidea no estado
e no país, caso as seguintes medidas sejam realizadas: (a)
continuação e ampliação de programas sobre biodiversidade
(por exemplo, AER da Serra da Bodoquena, AER Taboco e
BIOTA/MS) que incentivem a realização de inventários em
regiões pouco estudadas; (b) formação de taxonomistas que
produzam chaves de identificação para gêneros e espécies de
fácil utilização por outros pesquisadores como ornitólogos
e mastozoólogos, além de outros profissionais e (c) maior
participação de ornitólogos e mastozoólogos na coleta dos
ectoparasitos, pois são os pesquisadores que normalmente
estão em contato com aves e mamíferos em campo e têm
condições de garantir uma identificação específica confiável
dos mesmos. Já seria um grande auxílio a revisão visual e
a remoção dos parasitos apenas dos espécimes que serão
coletados e incluídos em coleções científicas. Dick, C. W. & Miller, J. A. 2010. Streblidae. In: Brown, B. V.; Borkent,
A.; Cumming, J. M.; Wood, D. M.; Woodley, N. E. & Zumbado, M. A. eds. Manual of Central American Diptera. vol. 2. Ottawa, NRC
Research Press, p.1249-1260. l A. eds. Manual of Central American Diptera. vol. 2. Ottawa, NRC
Research Press, p.1249-1260. l Eriksson, A.; Graciolli, G. & Fisher, E. 2011. Bat flies on phyllostomid
hosts in the Cerrado region: component community, prevalence and
intensity of parasitism. Memórias do Instituto Oswaldo Cruz
106(3):274-278. Garbino, G. S. T. & Tejedor, A. 2013. Natalus macrourus (Gervais, 1856)
(Chiroptera: Natalidae) is a senior synonym of Natalus espirosantensis
(Ruschi, 1951). Mammalia 77:237-240. Gardner, A. L. 2007. Trichobiinae Pela facilidade de captura e de manipulação
do hospedeiro e a melhor visualização dos dípteros sobre
o corpo de morcegos, vários artigos têm sido publicados
sobre a ocorrência de dípteros ectoparasitos de morcegos
no Brasil (por exemplo, Dias et al., 2009; Eriksson et al.,
2011; Graciolli & Bianconi, 2007; Graciolli et al.,
2010; Lourenço & Esbérard, 2011; Aguiar & Antonini,
2011). Além disso, artigos recentes sobre a taxonomia
dessas famílias de dípteros ectoparasitos de morcegos
têm facilitado a identificação dos gêneros e das espécies e
despertado o interesse de estudantes e pesquisadores (Dick 46. Trichobius johnsonae Wenzel, 1966. Natalus
macrourus, Bodoquena (24) (ZUFMS). 46. Trichobius johnsonae Wenzel, 1966. Natalus
macrourus, Bodoquena (24) (ZUFMS). 47. Trichobius longipes (Rudow, 1871). Phyllostomus 47. Trichobius longipes (Rudow, 1871). Phyllostomus heringia, Série Zoologia, 107(supl.): e2017137, 2017. 5 Lista das espécies de Hippoboscoidea (Diptera)... Graciolli et al. & Miller, 2010; Graciolli, 2004; 2010; Graciolli &
Azevedo, 2011; Graciolli & Carvalho, 2001a; 2001b;
Graciolli & Dick, 2012; Graciolli & Moura, 2005),
enquanto importantes contribuições sobre a taxonomia de
hipoboscídeos neotropicais são mais escassos (Graciolli &
Carvalho, 2003; Wood, 2010), sendo os mais importantes
publicados a mais 40 anos (Bequaert, 1954; 1955; 1957;
Maa, 1969; Peterson & Maa, 1970), por exemplo. A Fundação Ao Conselho Nacional de Desenvolvimento Científico e
Tecnológico (CNPq) (Proc. 475487/2010-9) pelo auxílio conferido ao
projeto “Estutura de comunidades de artrópodos ectoparasitos de morcegos
no Pantanal sul-matogrossense: uma análise por modelos nulos” e pela
bolsa de produtividade de GG. À CAPES pela bolsa de mestrado de CLS
e de doutorado de LFACC. À FAPESP pela bolsa (Proc. 2011/16621-9) de
mestrado de DMCA. A Fernando Costa Straube e Rudi Ricardo Laps pelas
informações sobre localidades e hospedeiros de hipoboscídeos. REFERÊNCIAS BIBLIOGRÁFICAS Mammals of South America. Marsupials,
xenartharns, shrews, and bats. vol. 1. Chicago, The University
Chicago Press. 669p. g
p
Graciolli, G. 2004. Nycteribiidae (Diptera, Hippoboscoidea) no Sul do ,
y
(
p
,
pp
)
Brasil. Revista Brasileira de Zoologia 21:971-985. _____. 2010. Nycteribiidae. In: Brown, B. V.; Borkent, A.; Cumming, J. M.; Wood, D. M.; Woodley, N. E. & Zumbado, M. A. eds. Manual
of Central American Diptera. vol. 2. Ottawa, NRC Research Press,
p.1261-1266. Graciolli, G.; Autino, A. G. & Claps, G. L. 2007. Catalogue of American
Nycteribiidae (Diptera, Hippoboscoidea). Revista Brasileira de
Entomologia 51:142-159. Agradecimentos. A Fundação de Apoio ao Desenvolvimento do
Ensino, Ciências e Tecnologia do Estado de Mato Grosso do Sul (Fundect)
e a Superintendência de Ciências e Tecnologia do Estado de Mato Grosso
do Sul (Sucitec/MS) pelo convite de participação neste fascículo especial
da Iheringia, Série Zoologia e o suporte financeiro para sua publicação. Graciolli, G. & Azevedo, A. A. 2011. Ectoparasites of bats (Chiroptera,
Furipteridae), with a description of a new species of Synthesiostrebla
Twonsend (Diptera, Streblidae) from Brazil. Revista Brasileira de
Entomologia 55:501-504. Iheringia, Série Zoologia, 107(supl.): e2017137, 2017. 6 Lista das espécies de Hippoboscoidea (Diptera)... Graciolli et al. Graciolli, G.; Zórtea, M. & Carvalho, L. F. A. C. 2010. Bat flies (Diptera,
Streblidae and Nycteribiidae) in a Cerrado area of Goiás state, Brazil. Revista Brasileira de Entomologia 54:511-514. Graciolli, G.; Azevedo, A. A.; Arzua, M.; Barros-Battesti, D. M. & Linardi, P. M. 2008. Artrópodos Ectoparasitos de Morcegos no
Brasil. In: Pacheco, S. M.; Marques, R. V. & Esbérard, C. E. L. org. Morcegos no Brasil. Biologia, sistemática, ecologia e conservação. Porto Alegre, Armazém Digital, p.123-138. Revista Brasileira de Entomologia 54:511-514. Graciolli, G.; Zucco, C. A.; Cançado, P. H. D. & Mourão, G. 2011. Parasitism rates of Lipoptena guimaraesi and a new record of Lipoptena
mazamae on Ozotoceros bezoarticus from the Central Pantanal wetlands
in Brazil. Revista Brasileira de Parasitologia Veterinária 20:178-180. Graciolli, G. & Bianconi, G. V. 2007. Moscas ectoparasitas (Diptera,
Streblidae e Nycteribiidae) em morcegos (Mammalia, Chiroptera) em
área de Floresta com Araucária no estado do Paraná, sul do Brasil. Revista Brasileira de Zoologia 24:246-249. Lourenço, E. C. & Esbérard, C. E. L. 2011. Reinfestation of Streblidae
ectoparasites (Diptera) in Carollia perspicillata (Linnaeus, 1758)
(Chiroptera). Revista Brasileira de Parasitologia Veterinária 20:325-
330. Graciolli, G., Cárceres, N. C. & Bornschein, M. R. 2006. REFERÊNCIAS BIBLIOGRÁFICAS Novos
registros de moscas ectoparasitas (Diptera, Streblidae e Nycteribiidae)
de morcegos (Mammalia, Chiroptera) em áreas de transição cerrado-
floresta estacional no Mato Grosso do Sul, Brasil. Biota Neotropica
6(2):1-4. Maa, T. C. 1969. A revised checklist and concise host index of Hippoboscidae
(Diptera). Pacific Insects Monographies 20:25-204. i McAlpine, J. F. 1989. Phylogeny and classification of the Muscomorpha. In:
MacAlpine, J. F. & Wood, D. M. eds. Manual of Neartic Diptera. vol. 3. Ottawa, Minister of Suply and Services. Monograph, 28, p.1397-1518. Graciolli, G. & Carvalho, C. J. B. 2001a. Moscas ectoparasitas (Diptera,
Hippoboscoidea, Nycteribiidae) de morcegos (Mammalia, Chiroptera)
do Estado do Paraná, Brasil. I. Basilia, taxonomia e chave pictórica
para as espécies. Revista Brasileira de Zoologia 18(Supl.1):33-49. Peterson, B. V. & Maa, T. C. 1970. A new Lipoptena from Chile, with a
key to New World species (Diptera – Hippoboscidae). The Canadian
Entomologist 102:1117-1122. il Graciolli, G. & Carvalho, C. J. B. 2001b. Moscas ectoparasitas (Diptera,
Hippoboscoidea) de morcegos (Mammalia, Chiroptera) do estado do
Paraná. II. Streblidae: chave pictórica para gêneros e espécies. Revista
Brasileira de Zoologia 18:907-960. Poinar, G. & Brown, A. 2012. The first fossil streblid bat fly, Enischnomyia
stegosoma n. g., n. sp. (Diptera: Hippoboscoidea: Streblidae). Graciolli, G. & Carvalho, C. J. B. 2003. Hippoboscidae (Diptera,
Hippoboscoidea) no estado do Paraná, Brasil: chaves de identificação,
hospedeiros e distribuição geográfica. Revista Brasileira de Zoologia
20:667-674. Systematic Parasitology 81:79-86. Tiepolo, L. M. & Tomas, W. M. 2011. Ordem Artiodactyla. In: Reis, N. R. dos; Peracchi, A. L.; Pedro, W. A. & de Lima, I. P. orgs. Mamíferos
do Brasil. 2ed. Londrina, Nélio R. dos Reis, p.293-313. Tiepolo, L. M. & Tomas, W. M. 2011. Ordem Artiodactyla. In: Reis, N. R. dos; Peracchi, A. L.; Pedro, W. A. & de Lima, I. P. orgs. Mamíferos dos; Peracchi, A. L.; Pedro, W. A. & de Lima, I. P. orgs. Mamíferos
do Brasil. 2ed. Londrina, Nélio R. dos Reis, p.293-313. do Brasil. 2ed. Londrina, Nélio R. dos Reis, p.293-313. Graciolli, G. & Dick, C. W. 2012. Description of the second species of
Joblingia Dybas & Wenzel. Systematic Parasitology 81:187-193. Wood, M.W. 2010. Hippoboscidae. In: Brown, B. V.; Borkent, A.;
Cumming, J. M.; Wood, D. M.; Woodley N. E. & Zumbado, M. A. eds. Manual of Central American Diptera. vol. 2. Ottawa, NRC
Research Press, p.1241-1248. Graciolli, G. & Moura, M. O. 2005. Basilia quadrosae sp. nov. (Diptera:
Nycteribiidae), member of the ferruginea group, from Southern Brazil. Zootaxa 1087:33-38. Iheringia, Série Zoologia, 107(supl.): e2017137, 2017.
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Impactos Socioeconômicos das Plantações Florestais no Niassa, Moçambique
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Socioeconomic Impacts of Forest Plantations in Niassa, Mozambique Socioeconomic Impacts of Forest Plantations in Niassa, Mozambique Teresa Guila Nube1, Anadalvo Santos Juazeiro dos Santos2,
Romano Timofeiczyk Junior2*, Ivan Crespo Silva3 Teresa Guila Nube1, Anadalvo Santos Juazeiro dos Santos2,
Romano Timofeiczyk Junior2*, Ivan Crespo Silva3 1Ministério da Agricultura, Direção Nacional de Terras e Florestas, Maputo, Moçambique. 2Departamento de Economia Rural e Extensão, Universidade Federal do Paraná – UFPR, Curitiba/PR, Brasil. 3Departamento de Ciências Florestais, Universidade Federal do Paraná – UFPR, Curitiba/PR, Brasil. Floresta e Ambiente 2016; 23(1): 52-60
http://dx.doi.org/10.1590/2179-8087.038813
ISSN 1415-0980 (impresso)
ISSN 2179-8087 (online)
Artigo Original Floresta e Ambiente 2016; 23(1): 52-60
http://dx.doi.org/10.1590/2179-8087.038813
ISSN 1415-0980 (impresso)
ISSN 2179-8087 (online)
Artigo Original Floresta e Ambiente 2016; 23(1): 52-60
http://dx.doi.org/10.1590/2179-8087.038813
ISSN 1415-0980 (impresso)
ISSN 2179-8087 (online) Floresta e Ambiente 2016; 23(1): 52-60
http://dx.doi.org/10.1590/2179-8087.038813
ISSN 1415-0980 (impresso)
ISSN 2179-8087 (online) Artigo Original Impactos Socioeconômicos das Plantações Florestais no
Niassa, Moçambique Niassa, Moçambique Resumo O objetivo deste trabalho foi avaliar os impactos socioeconômicos das plantações florestais nas
comunidades da província do Niassa, Moçambique. Foram realizadas entrevistas semiestruturadas
com 423 chefes de famílias residentes no entorno das empresas florestais. Os dados foram obtidos
mediante aplicação de questionários direcionados aos gestores das empresas florestais e membros
do governo, e analisados com uso de estatística descritiva, tendo-se considerado o período
anterior e posterior à instalação das empresas florestais. Os resultados evidenciaram melhorias
de condições de vida das famílias, sobretudo aquelas que têm emprego nas empresas florestais. Porém, a presença das empresas florestais reduziu a dependência e a acessibilidade das famílias
em relação aos recursos florestais devido ao aumento das distâncias das fontes de obtenção. Palavras-chave: Empresas florestais, plantações em Moçambique, comunidades
rurais. 1. INTRODUÇÃO com um alto índice de diversidade de espécies, mas
com baixo índice de valor econômico (White, 1983,
Gauslaa, 1989). Esse fato contribui para que o valor de
Direito de Uso e Aproveitamento da Terra (DUAT),
que é pago pelas empresas, seja muito baixo. Moçambique está localizado na África Austral,
possui uma superfície total de 799.380 km2 e uma
população estimada de 23,7 milhões de habitantes, dos
quais cerca de 80% dependem dos recursos florestais
para sua subsistência. A população moçambicana
cresce em média 2,8% ao ano e apresenta altos índices
de analfabetismo, com 55% das pessoas vivendo abaixo
da linha da pobreza, onde a incidência da pobreza é
muito maior nas zonas rurais. Com a grande procura de terras pelas empresas
florestais para o estabelecimento de plantios com fins
industriais e comerciais na província do Niassa, as
comunidades locais providenciaram extensas áreas na
expectativa de benefícios de emprego nessas empresas. Entretanto, existe pouca informação sobre os benefícios
das empresas florestais para as comunidades, porém
há necessidade de saber se os custos de abdicação das
terras em troca de emprego nas empresas florestais são
compensatórios. Por outro lado, existe um reconhecimento
de que a maior parte da mão de obra utilizada pelas
empresas florestais provém das comunidades locais,
porém, informações sobre a influência dessas empresas
na melhoria do nível de vida das referidas comunidades
é quase inexistente. A agricultura é o setor fundamental para a economia
do país, onde 85% da população depende dela para seu
sustento (PNUD, 2012). Como consequência, cerca de
220 mil hectares de florestas perdem-se anualmente pelo
desmatamento, tornando Moçambique um dos países
com alta taxa de desmatamento, causado principalmente
pela extração de madeira, lenha e fabricação de carvão,
queimadas descontroladas, agricultura itinerante ou
abertura de pequenas áreas de machambas dentro de
florestas (Sitoe et al., 2012). Dentro desse contexto, este trabalho teve como
objetivo principal avaliar os impactos socioeconômicos
das plantações florestais em três distritos na província do
Niassa. Os objetivos específicos procuraram caracterizar
sob ponto de vista socioeconômico a situação das
famílias antes e depois da instalação das empresas
florestais; diagnosticar a situação socioeconômica das
famílias com e sem emprego nas empresas florestais,
e demonstrar os impactos das diferenças salariais no
nível de vida das famílias. 1. INTRODUÇÃO Para reduzir a pressão sobre a floresta nativa, o
governo de Moçambique decidiu em meados da década
de 2000, através da apresentação do documento da
Estratégia Nacional de Reflorestamento, promover as
plantações florestais com espécies de rápido crescimento. Esta decisão começou a catalisar interesse das empresas
privadas estrangeiras em investir em silvicultura. O grande atrativo para as empresas são as condições
edafoclimáticas favoráveis para o desenvolvimento da
silvicultura intensiva aliada à disponibilidade de terra. Estima-se que existem aproximadamente 7 milhões de
hectares de terra aptas para plantios florestais, sendo
a província do Niassa que detém maior área, com
2,4 milhões de hectares. Abstract The aim of this research was to assess the socioeconomic impacts of forest plantations in the
householders’ livelihood in the Niassa province communities, northern Mozambique. Were
conducted semi-structured interviews with 423 households in communities around the forest
companies, forest plantation managers and the govern local senior members of the govern. The data collected were analyzed using descriptive statistics, considering the period before and
after implementation of forestry companies. The results showed improvements in the livelihood
of the householders, especially those who are employed in forestry companies. The presence of
forestry companies reduced dependence and accessibility of families in relation to forest resources
due to increasing distances from the sources of production. Keywords: Forestry companies, plantations in Mozambique, rural communities. Impactos Socioeconômicos das Plantações Florestais.. Floresta e Ambiente 2016; 23(1): 52-60 53 2.1. Descrição do local do estudo A terra é o grande atrativo para os investimentos
florestais, não somente pela sua disponibilidade mas também
pelo fato de que, segundo a legislação moçambicana,
a terra pertence ao Estado e as comunidades rurais
têm o direito de uso e aproveitamento das mesmas
(Oram, 2010; Serra & Chicue, 2005). Normalmente
as terras disponibilizadas pelas comunidades rurais
para o reflorestamento são improdutivas para a prática
da agricultura e com poucas ou nenhuma espécie de
valor madeireiro (Landry, 2009). A zona norte de
Moçambique é predominantemente coberta pelas
savanas do miombo (Marzoli, 2007), que são florestas O estudo foi realizado na província do Niassa,
localizada no noroeste de Moçambique, com uma área
de 129 mil km2 e constituída por 16 distritos (Figura 1). A área de estudo foi identificada com base na
existência dos seguintes fatores: (i) empresa florestal,
(ii) população residente na área onde se encontram as
plantações e (iii) pessoas da comunidade que trabalham
nas empresas florestais. Foram selecionados os distritos
de Lichinga, Lago e Sanga, regiões onde operam as
empresas Floresta de Niassa, Chikweti Forest of Niassa
e Niassa Green Resources, SA, respectivamente. Floresta e Ambiente 2016; 23(1): 52-60 4
Nube TG, Santos ASJ, Timofeiczyk R Jr, Silva IC 54 Figura 1. Localização da área de estudo. Figure 1. Localization of the study area. Figura 1. Localização da área de estudo. Figure 1. Localization of the study area. semiestruturadas direcionadas aos chefes dos agregados
familiares com base em uma amostragem. Segundo Gil
(2007), a entrevista, além de poder ser aplicada a um
grande número de pessoas, permite colher informação
de pessoas que não sabem ler nem escrever, visto
que permite auxílio ao entrevistado e análise do seu
comportamento não verbal. A amostragem conduzida
foi de forma aleatória e toda a população teve a
mesma probabilidade de ser selecionada. A unidade
de amostragem é o agregado familiar. Segundo a classificação de Köppen, o clima da
região é tropical úmido com verões quentes e chuvosos,
invernos secos e friosaa. A precipitação média anual
varia de 1.200 a 1.350 mm. As temperaturas médias
anuais são de 21 a 23o C. A formação florestal nativa
predominante na área é miombo decíduo seco e tardio. O miombo distingue-se de outras formações florestais
e das savanas africanas pela predominância de três
espécies da família Fabaceae, subfamília Caesalpinoideae,
particularmente dos gêneros Brachystegia, Julbernardia
e Isoberlinia (Frost, 1996; Ribeiro et al., 2008). a Exceto o distrito de Lichinga, que é influenciado pela
altitude. 2.1. Descrição do local do estudo Para o efeito de amostragem, usou-se como base a
população, assumindo que esta é homogênea em termos
de atividades de produção e de renda. O tamanho da
amostra foi calculado com base na fórmula de Rea &
Parker (1997), que leva em consideração o erro amostral,
o tamanho da população e o grau de confiança de 95%
(Equação 1). O miombo constitui o tipo de vegetação mais
importante da África Austral, cobrindo uma área de cerca
de 2,7 milhões de km2 em sete países, nomeadamente:
Angola, Congo RD, Malawi, Moçambique, Tanzânia,
Zâmbia e Zimbábue, que fazem parte da lista dos
países mais pobres dos do mundo (Chidumayo, 1993;
Campbell et al., 1996; Dewees et al., 2010). 2
2
2
*(0,25)*
*(0,25)
(
1)*
Z
N
n
Z
N
C p
=
+
−
α
α
(1)
Em que: 2
2
2
*(0,25)*
*(0,25)
(
1)*
Z
N
n
Z
N
C p
=
+
−
α
α
(1) 2
2
2
*(0,25)*
*(0,25)
(
1)*
Z
N
n
Z
N
C p
=
+
−
α
α (1) 2.2 Coleta de dados Em que: Em que: Os dados primários foram obtidos mediante
aplicação de questionários direcionados aos gestores das
empresas florestais e membros do governo, entrevistas n - tamanho da amostra calculada n - tamanho da amostra calculada Cp - intervalo de confiança em termos de proporçãoi Cp - intervalo de confiança em termos de proporção
Zα - proporções da variação do nível de confiança
(95%, 1.96) Cp - intervalo de confiança em termos de proporção Zα - proporções da variação do nível de confiança
(95%, 1.96) Zα - proporções da variação do nível de confiança
(95%, 1.96) a Exceto o distrito de Lichinga, que é influenciado pela
altitude. N - número de famílias N - número de famílias Floresta e Ambiente 2016; 23(1): 52-60 Impactos Socioeconômicos das Plantações Florestais.. 55 moçambicana, pelo fato de os dados (tipos de bens)
coletados se adequarem facilmente ao uso do critério. A partir da fórmula sugerida por Rea & Parker
(1997), foi calculado o tamanho total da amostra
(n=365) com base no número total da população
(N=6316). A disponibilidade de recursos financeiros e
as condições técnicas encontradas no campo permitiram
entrevistar 432 chefes de famílias, número relativamente
superior ao tamanho da amostra calculado. Assim,
com o tamanho da amostra utilizado, o erro padrão é
mínimo para a precisão desejada, o que significa que
os dados têm valor estatístico. Para a classificação da população em classes
econômicas de posses de bens, usou-se o critério ABEP
(2012), que ajudou definir o nível socioeconômico
dos chefes dos agregados familiares, residentes nos
diferentes distritos. Assim, os pesos dos diferentes bens
que os chefes dos agregados familiares possuem foram
ajustados à realidade moçambicana, tomando como
base o critério Brasil. Aos bens de difícil aquisição,
devido aos preços elevados, foram também atribuídos
maior pontuação, sucessivamente, conforme mostra
a Tabela 1. Os dados secundários, necessários para complementar
a informação dos entrevistados, como para confrontar
com a informação obtida no campo, foram obtidos
das pesquisas bibliográficas em livros encontrados em
bibliotecas, nas empresas florestais e em documentos
providenciados pelas autoridades governamentais, bem
como da pesquisa em bibliotecas virtuais, repositórios
e bases de dados. Na sequência, foram definidas três classes sociais
a partir dos pesos atribuídos aos bens na Tabela 1, que
foram usados para definir as classes sociais na Tabela 2. 2.2 Coleta de dados Foi aplicado o teste qui-quadrado para testar as
seguintes hipóteses nulas de pesquisa: H10 = Não existem diferenças significativas na
posse de bens entre os chefes de agregados familiares
que trabalham e os que não trabalham em empresas
florestais; H20 = A posse de bens não é determinada
pelo nível salarial. Este trabalho tem carácter exploratório e descritivo,
portanto, para o processamento e análise de dados
recorreu à estatística descritiva. Os dados coletados
foram processados no pacote Excel e programa SPSS. 18 (Statical Package for Social Science), em função do
requerimento dos programas e das análises a serem feitas. A fim de analisar as diferenças salariais dos chefes
dos agregados familiares que trabalham em empresas
florestais, fez-se uma classificação dos salários baseada
no salário mínimo estipulado pelo Governo para
o setor agrícola, situando-se em 2.300,00 meticais
(US$ 83). Todos os que recebem um valor abaixo do
salário mínimo foram classificados com o nível salarial
baixo, e acima do salário mínimo nível salarial alto, e
os restantes classificados como de nível salarial médio. 3.1. Caracterização sociodemográfica e
econômica das famílias O número total de famílias no entorno das empresas
florestais é de 6.361 agregados. Do estudo foram feitas
entrevistas com 432 chefes de agregados, dos quais
328 (74%) são chefiadas por homens e 104 (26%) por
mulheres. A faixa etária com maior representatividade
foi a dos adultos com idade igual ou superior a 40 anos
ocupando 52% da amostra. Em relação ao nível de
escolaridade, 37% chefes dos agregados familiares
foram identificados como sendo analfabetos e 63%
frequentaram a escola, sendo que a maioria frequentou
até apenas 3ª classe e não sabem ler e escrever. Landry
(2009) também encontrou resultados semelhantes aos
colhidos neste trabalho, nos distritos de Lago e Sanga. Os resultados obtidos nesta pesquisa confirmam
as assertivas de Enosse et al. (2009) e Landry (2009)
sobre as principais culturas agrícolas produzidas na
região. Observa-se que não houve nenhuma mudança na
proporção e nem nas variedades de culturas produzidas
antes e depois da implantação das empresas florestais. 3.4. Produtos florestais coletados pelas
famílias Na Figura 3, apresentam-se os principais produtos
florestais coletados pelos chefes dos agregados familiares. Observa-se que houve um decréscimo na procura
desses produtos com a implantação das empresas
florestais, com exceção da lenha. Isso deve-se ao fato 3.2. Origem da renda Atualmente, as principais atividades das famílias
em torno das empresas florestais são produção agrícola
e trabalho formal. Antes da instalação das empresas
florestais, a adoção da agricultura era de 88,2% e
atualmente é de 62,3%. Esta situação justifica-se pela
presença dos projetos florestais que proporcionam
emprego, com as pessoas abdicando da agricultura
como atividade principal e passando para o emprego
remunerado. Falcão (2009), Salomão & Matose (2007),
Enosse et al. (2009) e Landry (2009) afirmam que, em
Moçambique, 80% da população pratica a atividade
agrícola como a principal fonte de renda Figura 2. Principais culturas agrícolas produzidas pelos
chefes dos agregados familiares nos diferentes distritos Figura 2. Principais culturas agrícolas produzidas pelos
chefes dos agregados familiares nos diferentes distritos
estudados. Figura 2. Principais culturas agrícolas produzidas pelos
chefes dos agregados familiares nos diferentes distritos
estudados. A comercialização de produtos agrícolas e florestais,
trabalhos domésticos, caça, trabalhos em empresas
florestais, são as principais atividades praticadas pelos
chefes dos agregados familiares nas regiões estudadas. Esperava-se que, com a presença das empresas florestais,
ocorresse uma mudanças das atividades praticadas
pelos chefes dos agregados familiares, o que não foi
verificado, provavelmente devido ao reduzido número
dos chefes de agregados familiares que trabalham em
empresas florestais (aproximadamente 48%). Figure 2. Main agricultural crops produced by the
households in the different districts Sampled. Figure 2. Main agricultural crops produced by the
households in the different districts Sampled. Figura 3. Principais produtos florestais coletados pelos
chefes dos agregados familiares. Figure 3. Main Forest Products collected by the
householders. 3. RESULTADOS E DISCUSSÃO (Solanum tuberosum L.). O milho é produzido por
100% das famílias e base de alimentação, e 98% das
famílias cultivam o feijão-manteiga, sendo esta cultura
de grande importância para o sustento local e para o
incremento da renda (Figura 2). 2.3. Análise de dados Para a análise das diferenças entre as classes
socioeconômicas, foi usado o critério de avaliação de
renda em vigor no Brasil (ASSOCIAÇÃO BRASILEIRA
DE EMPRESAS DE PESQUISA - ABEP, 2012). Justifica‑se a adequação deste critério à realidade Tabela 1. Pesos atribuídos aos bens que os chefes dos agregados familiares possuem. Table 1. High score assigned to goods that the households own. DESIGNAÇÃO
PESOS
DESIGNAÇÃO
PESOS
DESIGNAÇÃO
PESOS
Casa melhorada
8
Gado
5
Rádio
2
Machamba
7
Bicicleta
4
Conta bancária
1
Motorizada
6
Telemóvel
3
Aves
1
Tabela 2. Definição de classes sociais. Table 2. Definition of classes. CLASSES
DESIGNAÇÃO
PONTOS
Média
A1
>18,0-37,0
Pobre
A2
>10,0-18,0
Paupérrima
B
0,0-10,0 Tabela 1. Pesos atribuídos aos bens que os chefes dos agregados familiares possuem. Table 1. High score assigned to goods that the households own. Tabela 1. Pesos atribuídos aos bens que os chefes dos agregados familiares possuem. Table 1. High score assigned to goods that the households own. Tabela 2. Definição de classes sociais. Table 2. Definition of classes. CLASSES
DESIGNAÇÃO
PONTOS
Média
A1
>18,0-37,0
Pobre
A2
>10,0-18,0
Paupérrima
B
0,0-10,0 Floresta e Ambiente 2016; 23(1): 52-60 Nube TG, Santos ASJ, Timofeiczyk R Jr, Silva IC 56 56 Figure 3. Main Forest Products collected by the
householders. 3.3. Produtos agrícolas cultivados Figura 3. Principais produtos florestais coletados pelos
chefes dos agregados familiares. Figura 3. Principais produtos florestais coletados pelos
chefes dos agregados familiares. As principais culturas agrícolas produzidas pelas
famílias na área de estudo são milho (Zea mays L),
feijão-manteiga (Phaseolus vulgaris, L.) e batata-reno g g
Figure 3. Main Forest Products collected by the
householders. Floresta e Ambiente 2016; 23(1): 52-60 Impactos Socioeconômicos das Plantações Florestais... 57 de os chefes familiares possuírem uma fonte de renda
capaz de adquirir outros produtos substitutos mais
duráveis, tais como casas de alvenaria, e terem acessos
às unidades sanitárias. Recentemente, empresas de telefonia móvel estão se
estabelecendo nas zonas rurais e disponibilizando o
sinal de comunicação. Enosse et al. (2009) relatam
que apesar de a rede de telefonia móvel ainda não ser
extensiva nos distritos, as pessoas que possuem telefone
celular usam quando se deslocam para a capital da
província do Niassa ou alguns pontos dos distritos
com sinal para se comunicarem com os familiares. O aumento de 1% para 26% do número de chefes de
agregados familiares com conta bancária deve-se ao
fato de as empresas abrirem as contas para todos os
funcionários, como forma de garantir segurança no
pagamento dos salários. Com a presença das empresas florestais, foi verificada
redução na produção de carvão vegetal. Este fato está
associado ao emprego formal, uma vez que as pessoas
trabalhando nas empresas florestais não dispõem de
tempo para se dedicarem a esta atividade e, por outro
lado, as empresas aumentaram das distâncias para o
alcance da matéria-prima para a produção de carvão
vegetal devido às restrições impostas às famílias nas
áreas ao redor delas. Com a introdução das empresas florestais, verificou-se
um aumento em aproximadamente 23,5% dos chefes dos
agregados de famílias nas classes médias, e uma redução
em 30% na classe paupérrima, indicativo de melhoria
do nível de vida nas comunidades rurais (Figura 5). Segundo van Bodegom et al. (2008), em Moçambique,
bem como em muitos outros países, existe uma forte
concepção de que as empresas florestais ajudaram na
redução da pobreza em zonas rurais, pela maximização
de uso das terras não produtivas. As plantações florestais
também podem ajudar a reduzir a pressão nas florestas
nativas e providenciar benefícios ambientais. Garlipp &
Foelkel (2009) relatam que as plantações florestais têm
importante papel para mitigar ou reduzir a pobreza,
tanto em países em desenvolvimento como em áreas
de países desenvolvidos. 3.5. 3.3. Produtos agrícolas cultivados A evolução socioeconômica das famílias
antes e depois da instalação das empresas Como se pode observar na Figura 4, a presença
das empresas florestais propiciou mudanças na vida
das comunidades rurais, particularmente em termos
de aquisição de bens. Fica evidente que quase todos
chefes de famílias que trabalham em empresas
florestais aumentaram a aquisição dos bens, sendo a
casa melhorada, conta bancária e telefone celular os
bens que apresentaram maior variação. As pessoas
com emprego formal têm oportunidade de promover
melhorias em suas casas, pois a casa melhorada não
acarreta custos anuais adicionais, como desembolso
na compra de capim. Em Moçambique, a qualidade da
habitação de uma família é um indicador aceito para
a definição de riqueza, representando maior valor de
investimentos em bens duráveis (Moçambique, 2010). Figura 5. Desempenho das classes sociais-económicas
dos chefes de famílias no período anterior e posterior à
instalação das empresas florestais. Figure 5. Performance of socio-economic classes of
householders in the period before and after Forest
Companies. Atualmente verifica-se um crescimento em 37,5%
de famílias na posse de telefones celulares (Figura 4). Esta situação não está diretamente relacionada com a
chegada das empresas florestais, mas sim pelo surgimento
de novas tecnologias de comunicação e informação. Figura 4. Principais bens das famílias. Figure 4. Major household possessions. Figura 5. Desempenho das classes sociais-económicas
dos chefes de famílias no período anterior e posterior à
instalação das empresas florestais. Figura 5. Desempenho das classes sociais-económicas
dos chefes de famílias no período anterior e posterior à
instalação das empresas florestais. Figure 5. Performance of socio-economic classes of
householders in the period before and after Forest
Companies. l
Figure 5. Performance of socio-economic classes of
householders in the period before and after Forest
Companies. Figura 4. Principais bens das famílias. Figure 4. Major household possessions. Figure 4. Major household possessions. Floresta e Ambiente 2016; 23(1): 52-60 Nube TG, Santos ASJ, Timofeiczyk R Jr, Silva IC 58 58 empresas florestais (α = 0,049*10-3**). Este aspecto é
relevante entre as classes pobre e paupérrima e isto
está relacionado com a renda baixa, variável e instável,
quando comparados com os que possuem emprego
nas empresas florestais e assim têm renda maior e fixa. Por outro lado, o teste χ² mostrou que não existem
diferenças significativas para refutar a hipótese nula,
quando a análise é feita entre os trabalhadores das
empresas florestais (α = 0,097ns). 3.3. Produtos agrícolas cultivados A Tabela 3 apresenta as classes sociais das famílias
com e sem emprego nas empresas florestais em cada
distrito. Observa em todos os distritos a existência
das três classes sociais para as famílias sem emprego. Para as famílias com emprego, a classe social paupérrima
deixou de existir, ou seja, nenhuma pessoa com emprego
formal pertence a esta classe social. Isto porque os
trabalhadores das empresas florestais se beneficiam
de emprego e recebem um salário que lhes permite
sair da classe paupérrima, uma vez que passam a ter
mais recursos financeiros para o consumo de bens. Observa-se também que a classe paupérrima não
existe em todos os distritos, quando comparados aos
trabalhadores das empresas florestais. Landry (2009),
na sua pesquisa realizada no distrito de Lago, já havia
advertido sobre a possibilidade da presença das empresas
florestais criarem uma grande defasagem entre ricos e
pobres, se todos os chefes de famílias não tivessem as
mesmas oportunidades, o que se observa em todas as
áreas onde as empresas florestais operam. Observa-se ainda que, para as famílias sem emprego,
as classes pobre e paupérrima ocorrem com mais
frequência. O distrito de Sanga se apresenta com maior
percentagem (34,9%) de famílias da classe paupérrima,
e Lago se apresenta com maior percentagem (25,6%)
da classe média. Este cenário revela a condição de vida
das famílias sem a intervenção dos projetos florestais. Em todos os distritos, a classe média encontra-se
acima de 30%, com maior destaque para Lichinga, onde
esta classe é maior 60%. Esta situação está relacionada
com o fato de Lichinga ser a capital do distrito e os
trabalhadores têm mais oportunidades de reinvestir o
dinheiro que recebem das empresas florestais e gerar
novas rendas. l
No = Numbers of householders; SE = householders whidought employment in forest companies; E = householders with
ent in the forest companies. em empresas florestais.
Where: No = Numbers of householders; SE = householders whidought employment in forest companies; E = householders with
employment in the forest companies. e: No = Números de famílias; SE = Chefes de famílias sem emprego em empresas florestais; E = Chefes de famílias com empr
mpresas florestais. 3.6. Impactos das diferenças salariais no nível
de vida A Tabela 4 apresenta as classes sociais dos
trabalhadores dos três distritos e os respectivos níveis
salariais. Observa-se que a maioria (52 trabalhadores)
auferem salário médio, 45 trabalhadores possuem valor
abaixo de um salário mínimo estipulado pelo governo
de Moçambique para o setor agrícola, e uma minoria
tem um salário alto. Esta situação está associada ao
baixo nível de escolaridade das comunidades, uma
vez que o salário é pago de acordo a categoria dos
trabalhadores, com os de elevado nível de escolaridade
auferindo alto salário. Para verificar as diferenças estatísticas, com base
nos dados observados em campo, foi feito um teste
estatístico χ² para os três distritos, baseando-se na hipótese
nula de que não existem diferenças entre as classes de
posse de bens nos três distritos. Estatisticamente há
evidências significativas para rejeitar a hipótese nula
quando comparadas as pessoas que não trabalham em Tabela 3. Classes sociais dos chefes dos agregados familiares com e sem emprego nas empresas por distrito. Table 3. Householders social classes with and whedought employment. Table 3. Householders social classes with and whedought employment. DISTRITO
CLASSES SOCIAIS
LICHINGA
LAGO
SANGA
TOTAL
Abs
%
Abs
%
Abs
%
Abs
%
SE
Média
6
7,4
40
25,6
10
12,0
56
13,0
Pobre
62
76,5
77
49,4
44
53,0
183
42,4
Paupérima
13
16,0
39
25,0
29
34,9
81
18,8
TOTAL
81
156
83
320
E
Média
15
60,0
21
42,0
12
32,4
48
11,1
Pobre
10
40,0
29
58,0
25
67,6
64
14,8
TOTAL
25
50
37
112l Floresta e Ambiente 2016; 23(1): 52-60 Impactos Socioeconômicos das Plantações Florestais... 59 Tabela 4. Classes sociais e níveis salariais dos trabalhadores nos três distritos. Table 4. Social classes and salary levels in the three districts. NÍVEL SALARIAL
DISTRITOS
CLASSES
SOCIAIS
ALTO
MÉDIO
BAIXO
TOTAL
Abs
(%)
Abs
(%)
Abs
(%)
Abs
(%)
LICHINGA
Média
2
13,3
4
7,7
9
20
15
13,4
Pobre
0
0,0
0
0,0
10
22,2
10
8,9
LAGO
Média
8
53,3
12
23,1
1
2,2
21
18,8
Pobre
0
0,0
24
46,2
5
11,1
29
25,9
SANGA
Média
4
26,7
2
3,8
6
13,3
12
10,7
Pobre
1
6,7
10
19,2
14
31,1
25
22,3
TOTAL
15
52
45
112
Abs – Valor absoluto. Abs – Absolute values. •
As empresas florestais trouxeram benefícios
para as populações rurais e contribuem para
a melhoria da qualidade de vida das famílias,
sobretudo aquelas que trabalham nas empresas. *AUTOR(ES) PARA CORRESPONDÊNCIA Romano Timofeiczyk Junior
Departamento de Economia Rural e Extensão,
Universidade Federal do Paraná – UFPR, CEP
80420-030, Curitiba, PR, Brasil
e-mail: romano.timo@gmail.com Romano Timofeiczyk Junior
Departamento de Economia Rural e Extensão,
Universidade Federal do Paraná – UFPR, CEP
80420-030, Curitiba, PR, Brasil
e-mail: romano.timo@gmail.com STATUS DA SUBMISSÃO Recebido: 16 abr. 2013
Aceito: 25 jun. 2015 3.6. Impactos das diferenças salariais no nível
de vida O distrito de Lago é o que se evidencia, apresentando‑se
com elevada percentagem de trabalhadores (53,3%)
pertencendo à classe social média com salário alto; por
outro lado, tem menor percentagem (2,2%) na classe
média com salário baixo. O nível salarial predominante
nos distritos de Lichinga e Sanga são baixos. O resultado
aqui encontrado reforça a constatação anteriormente
referida, no que diz respeito à ampliação da classe
média das famílias do distrito de Lago. •
A instalação das empresas florestais possibilitou
o aumento da classe média e a redução da classe
social paupérrima. •
De forma geral, observa-se a melhoria das
condições dos chefes dos agregados familiares
após a implementação das empresas florestais. Em geral, pode-se afirmar que em todos os distritos
há uma tendência de os salários altos serem auferidos
por uma minoria, e isto está relacionado com elevados
níveis de analfabetismo, conforme referido anteriormente. No entanto, pelo teste estatístico qui-quadrado, partindo
da hipótese nula de que “a posse de bens não é determinada
pelo nível salarial”, constatou-se que para o nível de
probabilidade (P ≤ 0,05), se comparado com os valores
de alfa calculado (α = 0,033*10-8**; α = 0,08*10-34** e
α = 0,011*10-26**) para os distritos de Lichinga, Lago
e Sanga, respectivamente, que estatisticamente não foi
encontrada nenhuma evidência suficiente para refutar
que a posse de bens está associada ao nível salarial
(rejeitou-se a hipótese nula). 4. CONCLUSÕES Associação Brasileira de Empresas de Pesquisas – ABEP. Critério de classificação econômica Brasil [online]. 2012
[citado em 2012 jul. 26]. Disponível em: http://www.abep. org/novo/Utils/FileGenerate.ashx?id=19 De acordo com os resultados obtidos na pesquisa,
concluiu-se que: •
As empresas florestais aumentaram a distância
para o acesso aos recursos florestais, bem como
diminuiu a dependência das comunidades em
relação estes. Campbell B, Frost P, Byron N. Miombo woodlands and
their use: overview and key issues. In: Campbell B, editor. The Miombo in transition: woodlands and welfare in Africa. Bogor, Indonesia: CIFOR; 1996. Floresta e Ambiente 2016; 23(1): 52-60 0
Nube TG, Santos ASJ, Timofeiczyk R Jr, Silva IC 60 Moçambique. Ministério da Planificação e Desenvolvimento. Direcção Nacional de Estudos e Análise de Políticas. Pobreza
e o bem estar em Moçambique: terceira avaliação nacional. Maputo: Ministério da Planificação e Desenvolvimento;
2010. Chidumayo EN. Silvicultural characteristics and management
of miombo woodland. In: Piearce GD, Gumbo DJ, editores. Proceedings of an International Syposium of the Ecology
and Management of Indigenous Forests in Southern Africa;
1992 July 27-29; Victoria Falls. Harare: Zimbabwe Forestry
Commission; 1993. Chidumayo EN. Silvicultural characteristics and management
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and Management of Indigenous Forests in Southern Africa;
1992 July 27-29; Victoria Falls. Harare: Zimbabwe Forestry
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Delimitação de Terras Comunitárias. Maputo: ORAM; 2010. Organization for Refuge, Asylum & Migration – ORAM. Documento de Apresentação na Reunião Nacional sobre
Delimitação de Terras Comunitárias. Maputo: ORAM; 2010. Dewees PA, Campbell BM, Katerere Y, Sitoe A, Cunningham
AB, Angelsen A, et al. Managing the Miombo woodlands
of Southern Africa: policies, incentives and options for the
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PNUD. Indicadores rápidos de Moçambique: unidade de
análises de políticas e economia [online]. Brasília: PNUD;
2012 [citado em 2012 out. 2]. Disponível em: http//:www. undp.org.mz/.../Indicadores%20Rápidos%20de% Enosse C, Pangaya F, Nhambirre G. Estudo sócio econômico
da área da Malonda TreeFarm Distrito de Sanga, Posto
administrativo de Unango. Lichinga; 2009. Rea L, Parker R. Designing and conducting survey reserch:
a comprehensive guide. San Francisco: Jossey-Bass
Publishers; 1997. Rea L, Parker R. Designing and conducting survey reserch:
a comprehensive guide. San Francisco: Jossey-Bass
Publishers; 1997. Falcão MP. Política agrícola e política Agrária: experiência
Moçambicana. 4. CONCLUSÕES In: Almeida J, organizador. Políticas Públicas
e Desenvolvimento Rural: percepções e perspectivas no Brasil
e Moçambique. Porto Alegre: UFRGS; 2009. Falcão MP. Política agrícola e política Agrária: experiência Moçambicana. In: Almeida J, organizador. Políticas Públicas Ribeiro NS, Shugart HH, Swap RJ, Okin GS. Five-years
period of fire regime in the Miombo woodlands of Niassa
Reserve, Mozambique. International Journal of Wildland
Fire; 2008:101-133. Frost P. The ecology of Miombo woodlands. In: Campbell
B, editor. The Miombo in transition: woodland and welfare
in Africa. Bogor, Indonesia: CIFOR; 1996. Salomão A, Matose F. Towards community based forest
management of miombo woodlands in Mozambique
[online]. Bogor: CIFOR; 2007. [citado em 2012 mar. 22]. Disponível em: http//www.cifor.org/miombo/docs/
CBNRMMozambique1207.Pdf Garlipp R, Foelkel C. O papel das florestas plantadas para
atendimento das demandas futuras da sociedade. In: Anais
do XIII Congresso Florestal Mundial/FAO; 2009; Buenos
Aires. Buenos Aires: Sociedade Brasileira de Silvicultura;
2009. p. 1-18. [citado em 2012 maio 22]. Disponível em:
http://www.sbs.org.br/destaques_POSITIONPAPER.pdf Serra C jr, Chicue. J. Lei de Florestas e Fauna Bravia
Comentada. Maputo: Centro de Formação Jurídica e
Judiciária; 2005. Serra C jr, Chicue. J. Lei de Florestas e Fauna Bravia
Comentada. Maputo: Centro de Formação Jurídica e
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woodlands with special reference to Tanzanian conditions:
a literature review. Lidia 1989; 2:37-112. Sitoe A, Salomão A, Wertz-Kanounnikoff S. O contexto
de REDD+ em Moçambique: causas, actores e instituições. Bogor: CIFOR; 2012. Publicação Ocasional n. 76. Gil AC. Como elaborar projectos de pesquisa. 4. ed. São
Paulo: Atlas; 2007. Landry, J. Analysis of the potential socio-economic impact
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of establishing plantation forestry on rural communities in
Sanga District, Niassa province, Mozambique [Dissertação]. Cidade do Cabo: Universidade de Stellenbosch; 2009. van Bodegom, AJ, van den Berg J, van der Meer P. Forests
plantations for sustainable production in the tropics: key
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2008:1-11. Sanga District, Niassa province, Mozambique [Dissertação]. Cidade do Cabo: Universidade de Stellenbosch; 2009. Marzoli A. Inventário florestal nacional: avaliação integrada
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UNESCO; 1983.
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English
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Timing of Allocentric and Egocentric Spatial Processing in Human Intracranial EEG
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Brain topography
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Brain Topography (2023) 36:870–889
https://doi.org/10.1007/s10548-023-00989-2 Brain Topography (2023) 36:870–889
https://doi.org/10.1007/s10548-023-00989-2 ORIGINAL PAPER Abstract Spatial reference frames (RFs) play a key role in spatial cognition, especially in perception, spatial memory, and naviga
tion. There are two main types of RFs: egocentric (self-centered) and allocentric (object-centered). Although many fMRI
studies examined the neural correlates of egocentric and allocentric RFs, they could not sample the fast temporal dynamics
of the underlying cognitive processes. Therefore, the interaction and timing between these two RFs remain unclear. Taking
advantage of the high temporal resolution of intracranial EEG (iEEG), we aimed to determine the timing of egocentric and
allocentric information processing and describe the brain areas involved. We recorded iEEG and analyzed broad gamma
activity (50–150 Hz) in 37 epilepsy patients performing a spatial judgment task in a three-dimensional circular virtual
arena. We found overlapping activation for egocentric and allocentric RFs in many brain regions, with several additional
egocentric- and allocentric-selective areas. In contrast to the egocentric responses, the allocentric responses peaked later
than the control ones in frontal regions with overlapping selectivity. Also, across several egocentric or allocentric selective
areas, the egocentric selectivity appeared earlier than the allocentric one. We identified the maximum number of egocen
tric-selective channels in the medial occipito-temporal region and allocentric-selective channels around the intraparietal
sulcus in the parietal cortex. Our findings favor the hypothesis that egocentric spatial coding is a more primary process,
and allocentric representations may be derived from egocentric ones. They also broaden the dominant view of the dorsal
and ventral streams supporting egocentric and allocentric space coding, respectively. Keywords Intracranial EEG · High-frequency gamma activity · Reference frames · Allocentric · Egocentric · Spatial
judgment ranial EEG · High-frequency gamma activity · Reference frames · Allocentric · Egocentric · Spa Sofiia Moraresku1,2
· Jiri Hammer3
· Radek Janca4
· Petr Jezdik4
· Adam Kalina3
· Petr Marusic3
·
Kamil Vlcek1 Sofiia Moraresku1,2
· Jiri Hammer3
· Radek Janca4
· Petr Jezdik4
· Adam Kalina3
· Petr Marusic3
·
Kamil Vlcek1 Received: 8 December 2022 / Accepted: 10 July 2023 / Published online: 21 July 2023
© The Author(s) 2023 Introduction 2020), the perception-action
model still provides a useful framework for understanding
the visuospatial functions. with its egocentric form, i.e. the inability of patients to per
ceive space on the contralesional side of their body, while
lesions including the occipito-temporal areas were related to
the allocentric neglect, i.e. inability of patients to perceive
the contralesional side of individual objects, independently
of their own position (Chechlacz et al. 2012; Grimsen et al. 2008). However, a few fMRI studies found no clear distinction
between dorsal and ventral stream activity for egocentric
and allocentric processing, respectively. In an experimental
paradigm with only a verbal description of spatial relations
and without the visual presentation of the task, Zaehle et al. (2007) found that inferior and superior parietal lobules (dor
sal areas) were more active in the allocentric task compared
to the egocentric one. The greater allocentric activation in
the parietal cortex may be associated with additional efforts
to mentally translate object-relative (i.e. allocentric) spa
tial locations into new egocentric positions, needed for the
behavioral response (Filimon 2015). Weniger et al. (2010)
studied spatial navigation in a virtual maze without any
landmarks, whereby forcing participants to use an egocen
tric strategy, and found activation in the parahippocampal
and lingual gyri (i.e., in the ventral stream). Other studies
linked the hippocampal activation with egocentric-updating
processes (Gomez et al. 2012, 2014). For instance, a patient
with bilateral hippocampal damage had difficulties with
tasks requiring processing and integration of egocentric
self-motion information, while his performance in allocen
tric tasks was comparable to the control group (Gomez et al. 2012). Also, a recent meta-analysis (Li et al. 2021) examin
ing neural representations of RFs during spatial navigation
in humans found a stronger activation for the allocentric
RF in the middle frontal gyrus and cerebellar culmen, and
common clusters of activation in the parahippocampal and
lingual gyri, as well as the precuneus. In addition, according
to another recent meta-analysis, activity associated with the
allocentric and egocentric RFs across various experimen
tal paradigms converges in the right parietal and the right
frontal cortex (Derbie et al. 2021a). Therefore, neural pro
cesses underlying egocentric and allocentric RFs seem to be
at least partially overlapping, with both visual streams and
frontal cortex engaged in two RFs. Introduction Communicated by Paul Sauseng. Spatial reference frames (RFs) shape our understanding
of many cognitive processes involved in spatial cogni
tion, such as perception, performing actions in space, and
navigation. RFs also play a crucial role in spatial memory
allowing information storage to be organized into various
coordinate systems. Broadly speaking, in the egocentric RF,
the locations of objects are encoded with respect to the posi
tion and heading of the subject, while in the allocentric RF,
they are encoded relative to each other or to environmental
landmarks and do not depend on the position of the subject
(Klatzky 1998). Sofiia Moraresku
sofiia.moraresku@fgu.cas.cz Kamil Vlcek
kamil.vlcek@fgu.cas.cz 1
Laboratory of Neurophysiology of Memory, Institute of
Physiology, Czech Academy of Sciences, Videnska 1083,
142 20, Prague, Czechia 2
Third Faculty of Medicine, Charles University, Prague,
Czechia 3
Department of Neurology, Second Faculty of Medicine,
Charles University and Motol University Hospital, Prague,
Czechia It has been suggested that separate neural circuits support
these two types of spatial coding. The well-known percep
tion-action model (Goodale and Milner 1992; Goodale et
al. 2004) implicates that the dorsal (in the parietal cortex) 4
Department of Circuit Theory, Faculty of Electrical
Engineering, Czech Technical University in Prague, Prague,
Czechia 1 3 Brain Topography (2023) 36:870–889 871 and ventral (in the temporal cortex) streams process visual
information for different purposes, i.e., for motor action and
conscious perception, respectively. According to this model,
the dorsal stream needs to compute the exact position of
the target relative to the subject to perform accurate goal-
directed actions in real-time. For example, to grasp a cup
of coffee successfully, one needs to know its exact position
relative to themselves. However, the dorsal stream is not
unitary; it seems to consist of three sub-pathways with dis
tinct functions (Kravitz et al. 2011). The parieto-prefrontal,
parieto-premotor, and parieto-medial temporal pathways
presumably support both conscious and non-conscious
visuospatial processing, including spatial working memory,
visually guided action, and navigation, respectively. In con
trast, the ventral stream computes the size, location, or ori
entation of an object primarily with respect to other objects
or landmarks in the environment to perceive or remember
that object. Therefore, this model associates egocentric and
allocentric coding with the dorsal and ventral visual streams,
respectively. Although recent studies suggest the two
streams are interconnected and more integrated (Hutchison
and Gallivan 2018; Ray et al. Stimuli and Task We used an Unreal Editor (UT 2004 EpicGames, 2004) to
create 3D scenes of the virtual environment of a circular
arena (imitating Morris water maze, see e.g., Fajnerova et
al. 2014) containing three objects: a yellow mark located at
the wall and red and white balls (see Fig. 1). A total of 128
unique images of 3D scenes were produced with variable
mark and ball positions and a variable point of view. Dur
ing the experiment, patients were asked to judge which ball
was closer to their current point of view (egocentric condi
tion) or closer to the yellow mark (allocentric condition). In
addition, we employed a control condition with similar low-
level visual, attentional, and motor components, irrelevant
for the reference frame use, whereby patients were asked to
judge which ball was red. Each image was used three times,
i.e., under egocentric, allocentric, and control conditions,
respectively. To prevent the subjects from using alternative
non-spatial strategies (e.g., making a choice based on appar
ent object-size characteristics or two-dimensional (2D) on-
screen distances), we created several types of images that
differed in terms of the strategies patients may potentially
employ instead of spatial estimates. For example, in half
of the images, egocentric and allocentric distance estima
tion was congruent: the same ball was closer to the patients
and the yellow mark. In contrast, in the other half of the
images, egocentric and allocentric distance estimation did
not correspond: the ball that was closer to the subject was
further from the yellow mark (supplementary Fig. S1A). In
some images, allocentric estimation was the same in three-
dimensional space and the two-dimensional coordinates of
the screen (Allo 3D = 2D), while in others, it differed - the
ball that was closer to the yellow mark in three-dimensional
space was further in two-dimensional coordinates of the
screen (Allo 3D ≠ 2D, supplementary Fig. S1B, Fig. S2). Furthermore, the images differed in the relative size of the
correct ball within the egocentric coordinates - in some
images, the ball that was closer to the subject was larger, but
in others, it was smaller (supplementary Fig. S1C). Simi
larly, the images differed in terms of the allocentric coor
dinates - the smaller or larger ball was closer to the yellow
mark (supplementary Fig. S1D). Stimuli and Task We expected the estimates
using a three-dimensional mental model of the scene to be
the only consistently successful strategy in such an experi
mental design. Th
i
l
d
i
l
30
i
d In the current study, taking advantage of the high tempo
ral resolution of iEEG, we aimed to disentangle the timing
of egocentric and allocentric information processing across
brain regions involved in spatial perception and ascertain
whether they show dissociated timing patterns for egocen
tric and allocentric RFs analogous to PPA. Thus, our objec
tive was to broaden the results of Bastin et al. (2013) study
on other brain regions. We employed a spatial distance esti
mation task, similar to previous studies (Committeri et al. 2004; Bastin et al. 2013), but here using a three-dimensional
(3D) circular virtual arena. The task for the subjects was to
estimate which of the two objects on the floor was closer (i)
to a landmark at the wall, assuming allocentric RF, or (ii)
to the subject, assuming egocentric RF. In our analysis, we
focused on broadband gamma activity (BGA, 50–150 Hz)
as it has a strong positive correlation with the fMRI blood-
oxygen-level-dependent (BOLD) signal (Mukamel et al. 2005) and local neuronal firing rate (Manning et al. 2009),
and has also been used as a general index of cortical pro
cessing (Lachaux et al. 2012) in many cognitive and motor
tasks (Bastin et al. 2013; Musch et al. 2014; Hammer et al. 2016; Vlcek et al. 2020). Assuming partially overlapping
neural processes underlying egocentric and allocentric RFs,
we expected to find BGA responses evoked by both ego
centric and allocentric RFs in frontal, temporal and parietal
areas, with temporally separated processes for egocentric
and allocentric RFs, similarly to scene processing stages
found in PPA (Bastin et al. 2013). More specifically, in this
fronto-temporo-parietal network, we expected to observe a
delayed activity for the allocentric RF compared to the ego
centric RF, based on the premise that, during scene visual
processing, allocentric representations are derived via men
tal transformations of primary egocentric ones (Byrne et al. 2007; Filimon 2015). Similarly, we expected to find the ear
lier egocentric selectivity in the egocentric-selective regions
than the allocentric selectivity in allocentric-selective brain
regions. The experiment lasted approximately 30 min and con
sisted of 384 test trials (128 per condition) divided into eight
sessions. Each session included three blocks consisting of
16 trials. Materials and Methods intracranial EEG (iEEG) study has investigated the encod
ing of RFs in iEEG, concentrating mostly on the parahip
pocampal place area (PPA). The authors described several
scene processing stages, with a common phase for allocen
tric and egocentric processing at 400–600 ms after stimulus
onset, followed by a specific allocentric processing stage at
600–800 ms (Bastin et al. 2013). Still, it is unclear whether
other brain areas involved in spatial processing, especially
those with overlapping activity for egocentric and allocen
tric RFs, share timely separated processes as in PPA. Introduction The distinction between
neural circuits underlying egocentric and allocentric RFs
and their localization in the dorsal and ventral streams is
thus still inconclusive.f The results of many studies have shown evidence sup
porting this association between two visual streams and two
spatial RFs. A series of fMRI studies investigated neural
correlates of allocentric and egocentric RFs during spatial
judgment and navigation tasks and showed the involve
ment of separate brain areas for two types of spatial cod
ing. Specifically, egocentric RF use was accompanied by
dominant activity in the superior parietal lobule, precuneus,
superior, middle and inferior frontal gyri (Committeri et al. 2004; Galati et al. 2000; Parslow et al. 2004; Rosenbaum et
al. 2004; Ruotolo et al. 2019; Saj et al. 2014), while allo
centric RF use was supported by activation in the lateral
and ventromedial occipito-temporal cortex (Committeri et
al. 2004; Galati et al. 2000; Ruotolo et al. 2019; Saj et al. 2014), and also in the hippocampus in spatial navigation
studies (Hirshhorn et al. 2012; Iaria et al. 2007; Jordan et
al. 2004; Maguire et al. 1998; Rodriguez 2010; Spiers and
Maguire 2007; see also review Moraresku and Vlcek 2020). Egocentric and allocentric coding are tightly connected with
spatial attentional control, which in the healthy brain has
been linked to the activation of a distributed frontoparietal
attention network (Corbetta and Shulman 2002; Szczepan
ski et al. 2010). The influence of spatial attention control on
the two types of spatial processing has been shown in stud
ies of brain-damaged patients suffering from hemispatial
neglect. Hemispatial neglect is characterized by the inability
to direct attention to the contralateral visual field. Lesions
only to the fronto-parietal areas were more often associated Moreover, egocentric and allocentric RFs may also differ
in the temporal profile of neural processing. Almost all the
previous studies about egocentric and allocentric RFs used
functional neuroimaging methods with an inherently slow
temporal resolution, which mostly showed only the involve
ment of specific brain areas but not the temporal dynam
ics of the underlying cognitive processes. To date, only one 1 3 Brain Topography (2023) 36:870–889 872 Stimuli and Task Each block was assigned to one particular con
dition (control, egocentric, or allocentric), but the order of 1 3 1 3 Brain Topography (2023) 36:870–889
Fig. 2 The plot of all 4586 recorded channels (including also hetero
topic cortex channels with inaccurate MNI coordinates, excluded from
all analyses) across 37 patients on a standard MNI brain in the (A)
sagittal, (B) coronal, and (C) axial plane. In total, 546 active channels
showing a significant response relative to the baseline to at least one
condition - control, egocentric, or allocentric - are plotted in shades
of red (the darker shade represents the higher response magnitude);
non-responding channels are plotted in black. P, posterior; A, anterior;
L, left; and R, right
Fig. 1 The experimental design of the task. Stimuli were delivered in
blocks; each block was assigned to one particular condition: control,
egocentric, or allocentric. The task was to judge which ball was closer
to the current point of view of the participant (egocentric) or closer
to the yellow mark (allocentric). In the control condition, participants
were required to choose which ball was red. The subjects pressed
either a left or right arrow on the keyboard to indicate the ball of their
choice. The lower timeline shows the timing of each trial
873 Brain Topography (2023) 36:870–889 873 Fig. 1 The experimental design of the task. Stimuli were delivered in
blocks; each block was assigned to one particular condition: control,
egocentric, or allocentric. The task was to judge which ball was closer
to the current point of view of the participant (egocentric) or closer to the yellow mark (allocentric). In the control condition, participants
were required to choose which ball was red. The subjects pressed
either a left or right arrow on the keyboard to indicate the ball of their
choice. The lower timeline shows the timing of each trial o hetero
ded from
the (A)
channels
least one
condition - control, egocentric, or allocentric - are plotted in shades
of red (the darker shade represents the higher response magnitude);
non-responding channels are plotted in black. P, posterior; A, anterior;
L, left; and R, right Fig. 2 The plot of all 4586 recorded channels (including also hetero
topic cortex channels with inaccurate MNI coordinates, excluded from
all analyses) across 37 patients on a standard MNI brain in the (A)
sagittal, (B) coronal, and (C) axial plane. Patients A total of 37 patients (23 women; from 19 to 54 years old,
median age 32 years old; education level: four primary
school, 24 secondary school, and nine college) with drug-
resistant epilepsy participated in our study from the Motol
Epilepsy Center in Prague. The patients underwent intracra
nial EEG (iEEG) monitoring for precise localization of the
epileptic seizure onset zone before surgery. All the patients
signed an informed consent to participate and the study was
approved by the Ethics Committee of Motol University
Hospital. All the patients had normal or corrected to normal
vision. We focused on the analysis of broadband gamma activity
(BGA, 50–150 Hz) as it has a strong positive correlation
with the fMRI BOLD signal (Mukamel et al. 2005; Oje
mann et al. 2010) and local neuronal firing rate (Manning et
al. 2009). Instantaneous amplitude was estimated using the
following procedure (the same as in Vlcek et al. 2020): the
entire recording dataset was band-pass filtered in consecutive
non-overlapping 5 Hz frequency bands in the broad gamma
range (e.g., 50–55, 55–60, …, 145–150 Hz). For each fre
quency band, the amplitude envelope was extracted using a
Hilbert transform; the obtained envelope was downsampled
to 64 Hz, resulting in a time resolution of 15.625 ms. Subse
quently, the envelope of each band was divided by its mean
value over the entire recording session, effectively whiten
ing the broad frequency band and compensating for the 1/f Stimuli and Task At the end of each
block, the patients were given feedback on their perfor
mance including the number of correct responses and their
average reaction time to motivate them to perform the task
correctly. The test trials were preceded by a training session
with shortened blocks consisting of five trials per condition
and feedback for the patients after each trial. Because of the
large interindividual variability between the patients dur
ing the training session, these data were not included in the
analysis and were not counted in the 384 test trials. iEEG Analysis We used a custom package developed in our laboratory
(freely available at https://github.com/kamilvlcek/iEEG_
scripts/releases/tag/v2.0.0) in MATLAB 9.4 (Mathworks,
Inc.) to perform the time-frequency analysis of iEEG data
(Vlcek et al. 2020). First, we resampled all the data to 512 Hz
and excluded the electrode contacts with obvious artifacts
from further analysis. From the entire iEEG recording, we
computed bipolar derivations between adjacent contacts to
suppress contributions from distant neuronal assemblies
and considered bipolar iEEG signals originating from a
cortical volume centered between two contacts. Here, we
refer to one bipolar contact pair as a ‘channel’. When the
channel was derived from two contacts in a different brain
structure, we labeled it with the structure with a larger uni
lateral response. In total, iEEG activity was recorded from
4586 bipolar channels (see Fig. 2) from 37 patients, with the
prevalent number of recording sites in the right hemisphere
(3302, 72%). Visual stimuli were delivered using the PsychoPy 1.84
environment (Peirce et al. 2019) on a 15.6-inch TFT note
book monitor with a refresh rate of 60 Hz. The monitor was
positioned approximately 60 cm from the subject’s eyes,
making the stimuli cover 10° of the visual field. The stimu
lus presentation and the EEG recording were synchronized
using TTL pulses sent to an EEG acquisition PC with each
stimulus. Stimuli and Task In total, 546 active channels
showing a significant response relative to the baseline to at least one
condition - control, egocentric, or allocentric - are plotted in shades
of red (the darker shade represents the higher response magnitude);
non-responding channels are plotted in black. P, posterior; A, anterior;
L, left; and R, right condition - control, egocentric, or allocentric - are plotted in shades
of red (the darker shade represents the higher response magnitude);
non-responding channels are plotted in black. P, posterior; A, anterior;
L, left; and R, right Fig. 2 The plot of all 4586 recorded channels (including also hetero
topic cortex channels with inaccurate MNI coordinates, excluded from
all analyses) across 37 patients on a standard MNI brain in the (A)
sagittal, (B) coronal, and (C) axial plane. In total, 546 active channels
showing a significant response relative to the baseline to at least one 1 3 1 3 1 3 Brain Topography (2023) 36:870–889 874 the suspected origin of their seizures. Each electrode had a
diameter of 0.8 mm and consisted of eight to 18 contacts of
2 mm in length, 1.5 mm apart (DIXI Medical Instruments). Postimplantation CT coregistered to preimplantation MRI
was used to identify the positions of electrode contacts
in each patient. The anatomical positions of the electrode
contacts were visually verified by an experienced neurolo
gist. The contact positions were normalized to the Montreal
Neurological Institute (MNI) space using standard Statisti
cal Parametric Mapping algorithms (SPM 12). All coordi
nates (x, y, z) are given in MNI space. The iEEG signal was
recorded using two different video-EEG monitoring sys
tems: Natus NicoleteOne (in 22 patients) or Natus Quantum. The data were sampled at 512, 2048, or 8000 Hz, depending
on the amplifier, using a reference electrode located in the
white matter. blocks was counterbalanced, with a pause between them of
a subject-controlled length. At the beginning of each block,
the patients received simple on-screen instructions about the
condition in the upcoming block. The patients were required
to press a key to start the block; after which a series of six
teen 3 s trials followed. Each trial included the presenta
tion of a three-dimensional scene for 1.5 s, followed by the
presentation of a white fixation cross for 1.5 s. The patients
answered the question using the arrows on a keyboard: left
ball = left arrow, right ball = right arrow. 1 3 Electrode Implantation and Intracranial EEG
Recordings not within
3s after the stimulus) behavioral response and the blocks
of trials if the mean accuracy of that block was below 75%,
implying that the patient did not understand the instruction
of the block and responded close to the chance level. of channels ‘allocentric-selective’, i.e., channels showing a
significantly higher response for allocentric than for egocen
tric condition and channels showing a significantly higher
response for allocentric than for control condition but at the
same time, without a significant difference between egocen
tric and control conditions (see Fig. 4B). The same prin
ciple was behind labeling ‘egocentric-selective’ channels
(see Fig. 4A). The third category, labeled ‘spatial-selective’,
consisted of channels in which both allocentric and egocen
tric responses were significantly higher than the control (see
Fig. 4C). We grouped these three categories of channels based on
their anatomical locations (neurology labels from a neurolo
gist according to Mai et al. 2015 and MNI coordinates) into
nine brain regions (regions of interest, ROIs, listed with
details in the Results section). To ensure the inter-subject
reproducibility of our results, we further focused only on
areas that included channels from at least three different
patients (Lachaux et al. 2012). This left us with a set of
channels of interest (ChOIs), which were used in the fol
lowing two analyses. For these nine ROIs, we applied the χ²
test to check whether the proportion of egocentric-selective,
allocentric-selective, and spatial-selective channels was the
same in each brain region. p
We used BGA responses to identify ‘active’ channels
showing a significant response for at least one condition
compared to the baseline. For each channel, we compared
the average BGA for all trials of the respective condition
during the pre-stimulus interval (-500–0 ms) with all the
time points during the post-stimulus period (0–1500 ms)
using a Wilcoxon signed-rank test corrected for multiple
comparisons across the time samples (because of the non-
normal data distribution and similar to Bastin et al. 2013;
Musch et al. 2014; Vlcek et al. 2020) with a false discovery
rate (FDR) procedure (Genovese et al. 2002). As a conser
vative estimate, we used a sliding window of six samples
(93.75 ms) with the highest p-value. If there was a signifi
cant difference at any time point relative to the baseline for
a selected condition, the channel was considered active. We found 801 such channels. Electrode Implantation and Intracranial EEG
Recordings Of these, we excluded 255
channels localized in the white matter or heterotopic cortex
and those showing very late response connected to the key
press (i.e., when the BGA peak was more than 800 ms after
the stimulus onset, and on the plot of all individual epochs
appeared aligned to the key press time) or containing obvi
ous artifacts. The remaining 546 channels comprised the
pool of active channels (see Fig. 2 for their positions in the
brain). g
Using the ChOIs, we performed a second analysis to
characterize the responses to each condition across the
ROIs, independent of the channel selectivity. To specify
the time course of responses, we applied two measures of
temporal dynamics based on our BGA sampling frequency
(64 Hz): onset latency - the first time bin at which a signifi
cant p-value was observed relative to the baseline (tsig), and
peak latency - the time when the power change of response
reached 90% of its maximum relative to the baseline for
the first time (t90). Also, we compared the magnitude of the
response - the maximal increase of BGA in the percentage
of baseline activity - across brain regions. To compare all
these measures, we used two-way mixed ANOVA (similar
to Bastin et al. 2013; Musch et al. 2014; Vlcek et al. 2020)
with the within-subject factor Condition and between-sub
ject factor ROI with a post hoc Tukey HSD test to correct
for multiple comparisons (Abdi & Williams 2010) with a
significance level of p < 0.05. In the third analysis, also using the ChOIs, we more accu
rately characterized the temporal dynamics associated with
egocentric and allocentric coding during the post-stimulus
period. To avoid the jitter in the BGA temporal profile and
arrive at a statistically more robust estimate of the temporal
dynamics, we averaged the response in each condition over
100 ms time bins (similar to Bastin et al. 2013 and Vlcek et
al. 2020). Then, we performed a three-way mixed ANOVA
with within-subject factors Time Bin (ten average 100 ms
time bins after stimulus onset) and Condition (control, Then, we performed three types of analyses of the BGA
responses. Firstly, we directly compared BGA responses
between conditions in each active channel separately. Electrode Implantation and Intracranial EEG
Recordings IEEG was recorded with stereotactically implanted multi-
contact electrodes, often also referred to as stereo-EEG
(sEEG). Recording sites were selected on an individual
basis, strictly according to the medical requirements of the
presurgical evaluation of epileptic zones, with no reference
to the present study. Eleven to 15 semi-rigid electrodes
were implanted per patient intracerebrally, depending on 1 1 3 Brain Topography (2023) 36:870–889 875 frequency decay of EEG signals (Miller et al. 2014). All the
bands were then averaged together and multiplied by 100
to obtain a single time series of BGA power for each chan
nel expressed in the percentages of the mean value, and this
signal was divided into epochs of between -500 and 1500
ms relative to the stimulus onset. The mean of the prestimu
lus interval (-50 to 0 ms) was subtracted from each epoch
to remove signal changes independent of the respective
stimulus. We excluded epochs in each channel containing
interictal epileptiform discharges, which were identified by
a spike detector implemented in MATLAB (https://github. com/EpiReC-ISARG/IED_detector, Janca et al. 2015) from
further analysis. Also, from the iEEG analysis, we excluded
trials (median 38, range 3-191 of all 384 trials across the
37 patients) with an incorrect or too slow (i.e. not within
3s after the stimulus) behavioral response and the blocks
of trials if the mean accuracy of that block was below 75%,
implying that the patient did not understand the instruction
of the block and responded close to the chance level. frequency decay of EEG signals (Miller et al. 2014). All the
bands were then averaged together and multiplied by 100
to obtain a single time series of BGA power for each chan
nel expressed in the percentages of the mean value, and this
signal was divided into epochs of between -500 and 1500
ms relative to the stimulus onset. The mean of the prestimu
lus interval (-50 to 0 ms) was subtracted from each epoch
to remove signal changes independent of the respective
stimulus. We excluded epochs in each channel containing
interictal epileptiform discharges, which were identified by
a spike detector implemented in MATLAB (https://github. com/EpiReC-ISARG/IED_detector, Janca et al. 2015) from
further analysis. Also, from the iEEG analysis, we excluded
trials (median 38, range 3-191 of all 384 trials across the
37 patients) with an incorrect or too slow (i.e. Behavioral Results One-way ANOVA revealed that there was a significant
effect of the Condition on accuracy (F(2, 72) = 42.46,
p < 0.05) and reaction time (F(2, 72) = 313.01, p < 0.05)
(see Fig. 3). The post hoc Tukey HSD test revealed that the
patients were more successful in the control condition (here
and further, results are reported in mean ± standard error of
the mean form: 97.6 ± 0.5% correct) compared with both the
egocentric (88.2 ± 1.6% correct, p < 0.001) and allocentric
conditions (86.8 ± 1.4% correct, p < 0.001), but there was
no significant difference between egocentric and allocentric
conditions (p = 0.473). Reaction times significantly differed
between all three conditions: patients were fastest in the
control condition (688 ± 22 ms), slower in the egocentric
condition (885 ± 30 ms), and slowest in the allocentric con
dition (967 ± 23 ms) (see Fig. 3). We grouped these 164 condition-selective channels into
the brain regions described below. However, some of them
were widely distributed in various brain areas where we
could not record from at least three different patients and
use them in the statistical analysis. Individual channels in
the hippocampus (1 allocentric-selective and 1 egocentric-
selective), entorhinal cortex (1 allocentric-selective), tem
poral pole (5 allocentric-selective), posterior angular gyrus
(1 egocentric-selective), precuneus (1 allocentric-selective),
retrosplenial cortex (1 egocentric-selective), anterior cin
gulum (2 egocentric-selective and 1 allocentric-selective),
frontal operculum (1 egocentric-selective), and medial supe
rior frontal gyrus (3 egocentric-selective) were excluded
(see supplementary Fig. S3). Therefore, the final pool for
analysis included 137 ChOIs, used for all the subsequent Electrode Implantation and Intracranial EEG
Recordings We
used a Wilcoxon signed-rank test with FDR correction
across the time samples and all active channels to compare
BGA response in the post-stimulus period (0-1500 ms) for
all individual time points between any two conditions (allo
centric vs. egocentric, egocentric vs. allocentric, allocentric
vs. control, egocentric vs. control). We labeled two types 1 3 Brain Topography (2023) 36:870–889 876 difference between conditions (382), and they probably
responded to the general presentation of virtual scenes and
objects. Of these 546 channels, only 164 were condition-
selective (allocentric-, egocentric-, or spatial-selective). Out
of these 164, nine were labeled as ‘epileptic’, either located
in the seizure onset zone or manifesting strong interictal
epileptiform activity. To compare the response magnitude
and peak latency in epileptic and non-epileptic channels,
we performed a two-way mixed ANOVA with the within-
subject factor Condition and between-subject factor Epi
Activity. We found no differences either in the magnitude of
response (F(1, 162) = 1.37, p = 0.24), or in the peak latency
(F(1, 162) = 2.32, p = 0.13). So, the epileptic activity was
not related to our task. Therefore, we included these chan
nels in further analyses. Note, however, that all epochs
showing interictal spikes were excluded (see the Materials
and Methods section). egocentric and allocentric), and the between-subject factor
ROI with the post hoc Tukey HSD test. In the Results and
Discussion sections, we name the first 100 ms bin, when the
BGA response to two conditions began to differ, as the ‘time
of discrimination’. Three Categories of Task-Related Responses In A and B, the
left column shows the response with
a significant direct difference between
the allocentric and egocentric condi
tions, while the right column shows the
response with a significant difference
between the respective condition and
the control, but not between the control
and another condition. The upper panel
shows the mean ± SEM over frequency
bands 50–150 Hz in the percentages
of baseline activity; responses to the
egocentric condition are in green, to
the allocentric condition are in red, and
to the control are in gray. The asterisks
mark time points with the significant
difference between conditions by FDR
corrected Wilcoxon signed-rank at
p < 0.05: green - between the egocentric
and control, red - between the allocentric
and control, and blue - between the allo
centric and egocentric (both directions);
the corresponding contrasts are written
in the bottom left corner: ego ‘X’ ctrl,
allo ‘X’ ctrl and allo ‘X’ ego, respec
tively. The panel below shows the BGA
power responses in the frequency range
of 50–150 Hz to all three conditions. Legend: SMG, supramarginal gyrus;
LG, lingual gyrus; mTempO, medial
temporal-occipital cortex; AngG, angular
gyrus; IPS, intraparietal sulcus; ITG,
inferior temporal gyrus; LTC, lateral
temporal cortex; MFG, middle frontal
gyrus; Precentr, precentral region
1 3 59 were spatial selective (see
in the
egory:
nd
e
h
een
i
s the
ce
nd
ntrol
anel
ency
s
e
o
and
isks i
nt
DR
ntric
entric
allo
ons);
tten
trl,
c
BGA
ange
s. s;
al
ngular
G,
al
ntal Fig. 4 Examples of BGA responses in the
individual channels, divided by category:
egocentric- (A), allocentric- (B), and
spatial-selective (C). In A and B, the
left column shows the response with
a significant direct difference between
the allocentric and egocentric condi
tions, while the right column shows the
response with a significant difference
between the respective condition and
the control, but not between the control
and another condition. The upper panel
shows the mean ± SEM over frequency
bands 50–150 Hz in the percentages
of baseline activity; responses to the
egocentric condition are in green, to
the allocentric condition are in red, and
to the control are in gray. Three Categories of Task-Related Responses We found 546 active channels showing a significant
response relative to the baseline to any condition. However,
the majority of these channels did not show a significant Fig. 3 Behavioral results, accuracy (A), and reaction time (B),
obtained from 37 patients for all three conditions (control, egocentric,
and allocentric), showing significant differences between them in both
measures. Each graph shows the mean and standard error of the mean;
black circles represent individual data points. The red asterisk indi
cates a significant difference between conditions (one-way ANOVA
with post hoc test, p < 0.05) black circles represent individual data points. The red asterisk indi
cates a significant difference between conditions (one-way ANOVA
with post hoc test, p < 0.05) black circles represent individual data points. The red asterisk indi
cates a significant difference between conditions (one-way ANOVA
with post hoc test, p < 0.05) Fig. 3 Behavioral results, accuracy (A), and reaction time (B),
obtained from 37 patients for all three conditions (control, egocentric,
and allocentric), showing significant differences between them in both
measures. Each graph shows the mean and standard error of the mean; black circles represent individual data points. The red asterisk indi
cates a significant difference between conditions (one-way ANOVA
with post hoc test, p < 0.05) 1 Brain Topography (2023) 36:870–889 877 analyses (Fig. 5A). Of them, 24 were egocentric-selective
(4 of them with the significant contrast ego > allo, see the
examples in Fig. 4A), 54 were allocentric-selective (3
of them with the significant contrast allo > ego, see the
examples in Fig. 4B), while 59 were spatial-selective (see the example in Fig. 4C, and the detailed explanation about
channel types in the Materials and Methods section). Over
all, we obtained about twice as many allocentric-selective
channels as egocentric-selective channels. all, we obtained about twice as many allocentric-selective
channels as egocentric-selective channels. examples in Fig. 4A), 54 were allocentric-selective (3
of them with the significant contrast allo > ego, see the
examples in Fig. 4B), while 59 were spatial-selective (see
Fig. 4 Examples of BGA responses in the
individual channels, divided by category:
egocentric- (A), allocentric- (B), and
spatial-selective (C). Allocentric and Egocentric Selectivity in the Brain
Regions Most of the ROIs analyzed above contained channels with
all three types of selectivity (allocentric-, egocentric-, and
spatial-selective channels). Therefore, in the second set of
analyses, we focused on mapping different characteristics
of egocentric and allocentric responses across the brain
regions independently of the individual channel selectivity. We compared the response magnitude and temporal char
acteristics of responses to each condition, such as peak and
onset latency, across the brain regions.if The selective channels were not evenly distributed across
the brain regions (χ²(16,N=137) = 50.89, p < 0.001) (Table 1). For example, the most frequent were allocentric-selective
channels in the OC (4/8: 3 in the MOG and 1 in the CUN),
LTC (11/21: 5 in the ITG, 5 in the MTG, and 1 in the STG),
and AIC (3/6). The IPS region contained only allocentric-
selective channels (8 channels in total). Furthermore, out of
all the allocentric-selective channels, 3 showed significance
in the contrast allo > ego: 1 in the AnG (from the IPS), 1
in the MTG (from the LTC), and 1 in the MFG (from the
Precentr). The prevailing numbers of egocentric-selective
channels were found in the mTempO (9/16: 7 in the LG,
1 in the LPHT and 1 in the FuG), and the SMG (4/8). In
addition, 4 of them showed significance in the contrast
ego > allo: 3 in the LG (from the mTempO), and 1 in the
SMG. The spatial-selective channels, i.e., responding to
both egocentric and allocentric tasks compared to the con
trol, were most frequent in the frontal cortex: Precentr
(21/43), Afront (9/17), and IFG (6/10), but their notable
numbers were also found in the mTempO (7/16), and LTC
(10/21). y,
g
To find differences in the BGA responses between each
condition and brain region, we first examined the response
magnitudes (the maximum increase of BGA in the percent
age of baseline activity) (see Fig. 6A). To this end, we used
two-way mixed ANOVA with the within-subject factor Con
dition and between-subject factor ROI with the post hoc
Tukey HSD test. This analysis showed a significant effect
of both main factors (factor Condition: F(2, 256) = 33.9,
p < 0.01; factor ROI: F(8, 256) = 3.2, p < 0.01) and their
interaction (F(16, 256) = 5.4, p < 0.01). After applying the
post hoc test, we found differences between allocentric and
egocentric responses only in two ROIs: IPS and mTempO. Three Categories of Task-Related Responses The asterisks
mark time points with the significant
difference between conditions by FDR
corrected Wilcoxon signed-rank at
p < 0.05: green - between the egocentric
and control, red - between the allocentric
and control, and blue - between the allo
centric and egocentric (both directions);
the corresponding contrasts are written
in the bottom left corner: ego ‘X’ ctrl,
allo ‘X’ ctrl and allo ‘X’ ego, respec
tively. The panel below shows the BGA
power responses in the frequency range
of 50–150 Hz to all three conditions. Legend: SMG, supramarginal gyrus;
LG, lingual gyrus; mTempO, medial
temporal-occipital cortex; AngG, angular
gyrus; IPS, intraparietal sulcus; ITG,
inferior temporal gyrus; LTC, lateral
temporal cortex; MFG, middle frontal
gyrus; Precentr, precentral region 1 1 3 Brain Topography (2023) 36:870–889 878 We mapped these 137 ChOIs into the following nine
brain regions (ROIs) (see also Table 1; Fig. 5): OC – occipi
tal cortex but without the primary visual cortex – cuneus,
middle occipital gyrus, temporo-occipital transition zone;
mTempO – medial temporal-occipital cortex – mainly the
posterior parts of lingual and fusiform gyri and the lingual-
parahippocampal transition area; LTC – lateral temporal
cortex – the inferior, middle, and superior temporal gyri;
IPS – the area near the posterior part of the intraparietal sul
cus – the superior parietal lobule and angular gyrus; SMG
- supramarginal gyrus; Precentr – precentral region – the
posterior part of the frontal cortex, combining the precen
tral gyrus and the posterior parts of the middle frontal and
superior frontal gyri (with MNI ‘y’ < 20); Afront - anterior
frontal cortex, combining the anterior parts of the middle
frontal and superior frontal gyri (with MNI ‘y’ > 20); IFG
- inferior frontal gyrus: the opercular and triangular parts;
AIC - anterior insular cortex. strategies that patients may use (see supplementary Fig. S1 and Supplementary Results). Summarizing both behav
ioral (see supplementary Table S1) and iEEG results (see
supplementary Table S2) of this analysis across the dif
ferent images used in the test, we are able to consider the
egocentric-selective activation in the mTempO and SMG
to be associated with true egocentric spatial coding and the
allocentric-selective activation in the OC, LTC, and IPS to
be associated with true allocentric spatial coding. 1 3 Allocentric and Egocentric Selectivity in the Brain
Regions In the IPS, the average response peak was higher for the
allocentric task, while in the mTempO, it was higher for
the egocentric task (see also their time-frequency responses
in 50–150 Hz in supplementary Fig. S4). In the frontal cor
tex (Precentr, Afront), the response peak was higher for
both allocentric and egocentric conditions compared to the
control. It may be questioned in simple images like the ones used
in our test whether the subject used ‘true’ egocentric and
allocentric strategies for estimating distances within the pre
sented scene. Instead of forming a three-dimensional mental
image containing objects in the scene and using it for the
spatial decision, one could use non-spatial strategies, like
‘the larger object is closer to me’ or others (see a description
of other strategies in the Materials and Methods section). To check whether the allocentric-selective channels in the
IPS, OC, and LTC regions represent true allocentric cod
ing and the egocentric-selective channels in the mTempO
and SMG regions represent true egocentric coding, we per
formed an additional analysis of all the potential non-spatial Subsequently, we compared the peak latency across ROIs
and conditions (see Fig. 6B). The interaction of two fac
tors (Condition x ROI) was significant (F(16, 256) = 1.84,
p < 0.05), but the post hoc test did not reveal a significant
difference between egocentric and allocentric conditions in
any ROI. However, in the frontal cortex, the response peak
was delayed (Precentr, Afront, IFG) for an allocentric con
dition compared to the control, and there was no difference
in response peak time between the egocentric and control
conditions. Furthermore, the Afront region (all conditions)
differed from almost all other regions (vs. Allocentric and Egocentric Selectivity in the Brain
Regions OC, mTempO, 1 3 Brain Topography (2023) 36:870–889 879 Table 1 Characteristics of brain regions containing the 137 channels of interest
Brain region
P
N
Spatial-
selective
Allocentric-selective
Egocentric-selective
Brain structures
MNI coordinates, range
Abs (X)
Y
Z
OC
5
8
3(2)
4(4)
1(1)
MOG: 5, TOTZ:
2, CUN: 1
[19, 42]
[-81, -71]
[10, 33]
mTempO
8
16
7(5)
0
9(4): 3
LG: 8, FuG: 6,
LPHT: 2
[15, 40]
[-72, -18]
[-25, 12]
LTC
6
21
10(2)
11(5): 1
0
MTG: 13, ITG: 7,
STG: 1
[38, 55]
[-63, -2]
[-35, 15]
IPS
4
8
0(0)
8(4): 1
0
AngG: 4, SPL: 4
[9, 37]
[-62, -47]
[43, 54]
SMG
4
8
1(1)
3(2)
4(3): 1
SMG: 8
[37, 63]
[-33, -20]
[25, 45]
Precentr
14
43
21(11)
17(10): 1
5(4)
PreG: 21, MFG:
14, SFG: 8
[18, 59]
[-15, 15]
[21, 60]
Afront
6
17
9(4)
7(4)
1(1)
MFG: 12, SFG: 5
[23, 41]
[20, 54]
[14, 44]
IFG
6
10
6(3)
1(1)
3(3)
IFG: 10
[31, 51]
[13, 37]
[2, 23]
AIC
4
6
2(1)
3(3)
1(1)
INS: 6
[33, 38]
[2, 24]
[-2, 22]
Brain region, ROI; P, number of patients; N, number of channels in each brain region in total; the spatial-selective, allocentric-selective, and egocentric-selective columns show the number
of corresponding channels with the number of patients in parentheses; additional numbers in the allocentric-selective and egocentric-selective columns after the colon show the number of
channels with a significant difference in the contrast allo vs. ego; the brain structures column lists anatomical labels for all channels in the brain region, with the number of channels. The last
three columns show the range ([min, max]) of X, Y, and Z MNI coordinates of each brain region. Abbreviations used: OC, occipital cortex; MOG, middle occipital gyrus; TOTZ, temporo-
occipital transition zone; CUN, cuneus; mTempO, medial temporal-occipital cortex; LG, lingual gyrus; FuG, fusiform gyrus; LPHT, lingual-parahippocampal transition area; LTC, lateral
temporal cortex; MTG, middle temporal gyrus; ITG, inferior temporal gyrus; STG, superior temporal gyrus; IPS, intraparietal sulcus; AngG, angular gyrus; SPL, superior parietal lobule;
SMG, supramarginal gyrus; Precentr, precentral region; PreG, precentral gyrus; MFG, middle frontal gyrus; SFG, superior frontal gyrus; Afront, anterior frontal cortex; IFG, inferior frontal
gyrus; AIC, anterior insular cortex; and INS, insula 1 1 3 1 3 Brain Topography (2023) 36:870–889 880 Brain Topography (2023) 36:870–889
g. Allocentric and Egocentric Selectivity in the Brain
Regions 5 The positions of 137 channels of interest plotted in the stan
ard MNI brain template, marked by channel category (A) or by ROI
B). The top, middle, and bottom panels show sagittal, coronal, and
xial views, respectively. The size of each point corresponds to the
aximum magnitude of each channel’s response, with the scale at the
ottom left in percent signal change. The adult MNI-ICBM152 head
model was used as a background (Dempsey et al. 2015; http://www. ucl.ac.uk/dot-hub). Legend: OC, occipital cortex; mTempO, medial
temporal-occipital cortex; LTC, lateral temporal cortex; IPS, intrapa
rietal sulcus; SMG, supramarginal gyrus; Precentr, precentral region;
Afront, anterior frontal cortex; IFG, inferior frontal gyrus; and AIC,
anterior insular cortex
80 Fig. 5 The positions of 137 channels of interest plotted in the stan
dard MNI brain template, marked by channel category (A) or by ROI
(B). The top, middle, and bottom panels show sagittal, coronal, and
axial views, respectively. The size of each point corresponds to the
maximum magnitude of each channel’s response, with the scale at the
bottom left in percent signal change. The adult MNI-ICBM152 head model was used as a background (Dempsey et al. 2015; http://www. ucl.ac.uk/dot-hub). Legend: OC, occipital cortex; mTempO, medial
temporal-occipital cortex; LTC, lateral temporal cortex; IPS, intrapa
rietal sulcus; SMG, supramarginal gyrus; Precentr, precentral region;
Afront, anterior frontal cortex; IFG, inferior frontal gyrus; and AIC,
anterior insular cortex Fig. 5 The positions of 137 channels of interest plotted in the stan
dard MNI brain template, marked by channel category (A) or by ROI
(B) Th
t
iddl
d b tt
l
h
itt l
l
d model was used as a background (Dempsey et al. 2015; http://www. ucl.ac.uk/dot-hub). Legend: OC, occipital cortex; mTempO, medial
temporal-occipital cortex; LTC, lateral temporal cortex; IPS, intrapa
rietal sulcus; SMG, supramarginal gyrus; Precentr, precentral region;
Afront, anterior frontal cortex; IFG, inferior frontal gyrus; and AIC,
anterior insular cortex Fig. 5 The positions of 137 channels of interest plotted in the stan
dard MNI brain template, marked by channel category (A) or by ROI
(B). The top, middle, and bottom panels show sagittal, coronal, and
axial views, respectively. The size of each point corresponds to the
maximum magnitude of each channel’s response, with the scale at the
bottom left in percent signal change. Allocentric and Egocentric Selectivity in the Brain
Regions The adult MNI-ICBM152 head 1 3 1 881 Brain Topography (2023) 36:870–889 p g p y (
)
response was later in the AIC than in several other brain
regions, such as the mTempO and LTC. LTC, Precentr): on average, the response peak was later
in this brain area. In addition, the peak of the allocentric
Fig. 6 Measures of the magnitude
(A), peak latency (B), and onset
latency (C) of the BGA responses
to individual test conditions
(allocentric, egocentric, control)
of all 137 channels of interest
(egocentric-, allocentric-, and
spatial-selective together) sorted
by ROI. Plots A and B show
the results of a post hoc test on
two-way interaction, p < 0.05
(Condition x ROI). Plot C shows
the post hoc test results on the
main factor ROI, p < 0.05 (all
conditions are shown together). The blue asterisk (*) reflects the
difference between allocentric
and egocentric conditions, the red
rhombus (◊) between allocen
tric and control conditions, and
the green square (■) between
egocentric and control, within the
same ROI. The violet asterisk (*)
reflects the difference between
ROIs for all conditions, while the
violet symbol † shows the differ
ence between ROIs only for the
allocentric condition
1 3 sures of the magnitude
atency (B), and onset
of the BGA responses
al test conditions
c, egocentric, control)
hannels of interest
-, allocentric-, and
ctive together) sorted
ots A and B show
of a post hoc test on
nteraction, p < 0.05
x ROI). Plot C shows
c test results on the
r ROI, p < 0.05 (all
are shown together). sterisk (*) reflects the
between allocentric
ntric conditions, the red
◊) between allocen
ntrol conditions, and
quare (■) between
and control, within the
The violet asterisk (*)
difference between
l conditions, while the
bol † shows the differ
en ROIs only for the
condition Fig. 6 Measures of the magnitude
(A), peak latency (B), and onset
latency (C) of the BGA responses
to individual test conditions
(allocentric, egocentric, control)
of all 137 channels of interest
(egocentric-, allocentric-, and
spatial-selective together) sorted
by ROI. Plots A and B show
the results of a post hoc test on
two-way interaction, p < 0.05
(Condition x ROI). Plot C shows
the post hoc test results on the
main factor ROI, p < 0.05 (all
conditions are shown together). Allocentric and Egocentric Selectivity in the Brain
Regions The blue asterisk (*) reflects the
difference between allocentric
and egocentric conditions, the red
rhombus (◊) between allocen
tric and control conditions, and
the green square (■) between
egocentric and control, within the
same ROI. The violet asterisk (*)
reflects the difference between
ROIs for all conditions, while the
violet symbol † shows the differ
ence between ROIs only for the
allocentric condition response was later in the AIC than in several other brain
regions, such as the mTempO and LTC. LTC, Precentr): on average, the response peak was later
in this brain area. In addition, the peak of the allocentric LTC, Precentr): on average, the response peak was later
in this brain area. In addition, the peak of the allocentric response was later in the AIC than in several other brain
regions, such as the mTempO and LTC. response was later in the AIC than in several other brain
regions, such as the mTempO and LTC. 1 3 3 3 882 Brain Topography (2023) 36:870–889 during the whole post-stimulus period. To this end, we per
formed three-way mixed ANOVA with within-subjects fac
tors Time Bin (ten average 100 ms time bins after stimulus
onset) and Condition (control, egocentric and allocentric),
and the between-subject factor ROI with the post hoc Tukey
HSD test. We used such an approach to dissociate the time
course of averaged BGA across all conditions in all nine
ROIs (see Fig. 7). The interaction of three factors (Condi
tion x Time Bin x ROI) was significant F(144, 2304) = 2.54,
p < 0.001. The post hoc test revealed four brain regions in
which the allocentric response was higher than the egocen
tric one at least at one 100 ms time bin: OC, IPS, LTC, and
Precentr. In the IPS, the allocentric BGA response dissoci
ated from the egocentric one earlier than in other regions,
at the time window of 400–700 ms. Then in the Precentr,
the response to the allocentric condition was higher than the
egocentric one at 500–600 ms, although in this region, both
the allocentric and egocentric responses began to differ from To further specify the time course of spatial coding, we
also compared onset latency (the first time bin at which a
significant p-value was observed relative to the baseline,
tsig). Allocentric and Egocentric Selectivity in the Brain
Regions A two-way mixed ANOVA showed that the interac
tion of two factors (Condition x ROI) was not significant
for tsig (F(16, 234) = 0.86, p = 0.61), but the main factor
ROI was significant (F(8, 117) = 7.42, p < 0.01). The post
hoc test revealed that, regardless of the condition, the BGA
response emerged significantly later in the Afront region
and the AIC than in the OC, mTempO, LTC, and Precentr
(see Fig. 6C). Temporal Dynamics of Egocentric and Allocentric
Coding Next, we aimed to analyze in more detail the complete time-
course of the response to the three conditions, to determine
how the time course of their responses differs and develops Fig. 7 The time course of the group averaged BGA response
(mean ± SEM) to individual test conditions (allocentric, egocentric,
control) for all 137 channels of interest (egocentric-, allocentric-, and
spatial-selective together) as a function of ROI and stimulus type. Significance markers (*) reflect the difference between the response
to three conditions in each 100-ms time interval: red - between allo
centric and control, green - between egocentric and control, blue -
between allocentric and egocentric conditions (both directions), three-
way ANOVA with post hoc test, p < 0.05. The x-axis labels show the
upper boundary of each time interval Fig. 7 The time course of the group averaged BGA response
(mean ± SEM) to individual test conditions (allocentric, egocentric,
control) for all 137 channels of interest (egocentric-, allocentric-, and
spatial-selective together) as a function of ROI and stimulus type. Significance markers (*) reflect the difference between the response to three conditions in each 100-ms time interval: red - between allo
centric and control, green - between egocentric and control, blue -
between allocentric and egocentric conditions (both directions), three-
way ANOVA with post hoc test, p < 0.05. The x-axis labels show the
upper boundary of each time interval 1 3 Brain Topography (2023) 36:870–889 883 the control task at 300 ms after stimulus onset. Later, the
allocentric response began to differ from the egocentric one
in the OC and LTC at the time window of 600–700 ms. desk. The participants made egocentric judgments (such
as ‘Which object was closest to you?’) much faster than
allocentric ones (such as ‘Which object was closest to the
Cube?’). The authors also interpreted such a result that ego
centric coding is primary and occurs almost automatically,
while in the allocentric RF, spatial information is encoded
effortfully, and additional attentional resources are required. Furthermore, post hoc test results revealed one brain
region in which the egocentric response differed from the
allocentric one, namely in the mTempO at 300–1000 ms
after stimulus onset. None of the other regions showed any
difference between allocentric and egocentric responses,
probably due to the low number of selective channels there,
but they differed in the time of discrimination from the con
trol task. Discussion Our study provides insight into the temporal dynamics of
brain areas associated with allocentric and egocentric spa
tial RFs using iEEG. The presented analyses document sev
eral important findings. i
g
First, our results support the view of primary egocentric
and secondary allocentric representations and that allocen
tric representations are derived by translation of the egocen
tric ones during visual scene encoding (Byrne et al. 2007;
Filimon 2015). In our task, both types of representations
need to be constructed in each trial, as the scene configura
tion is variable. In agreement with this view and repeated
egocentric to allocentric translations, our data documented
later response peaks for allocentric responses compared to
the control in all frontal regions (Precentr, Afront, IFG) and,
in contrast, no later response peaks for egocentric responses
in these regions. It is worth noting, however, that the dif
ference between egocentric and allocentric response peaks
did not reach statistical significance, probably due to the
small number of channels and related low statistical power. Moreover, we found that the selectivity to the egocentric
condition in the egocentric-selective region mTempO began
earlier than the selectivity to allocentric condition in allo
centric-selective brain regions such as IPS, OC and LTC. Behavioral data in our study also showed that patients per
formed the egocentric task faster than the allocentric one. Several behavioral studies demonstrated a similar tendency
(Ruggiero et al. 2009, 2016). In a task similar to ours but
using real 3D objects, Ruggiero et al. (2009, 2016) asked
subjects to make egocentric and allocentric spatial judg
ments of the distance between objects presented on a Temporal Dynamics of Egocentric and Allocentric
Coding In two fronto-parietal regions, the SMG and IFG,
the egocentric response began to differ from the control ear
lier (in both regions at 400 ms) than the allocentric response
from the control (at 500 and 600 ms, respectively). In the
AIC, both allocentric and egocentric responses began to dif
fer from the control at 500 ms, but the duration of this differ
ence was not the same: for the egocentric response, it ended
at 800 ms, while for the allocentric one at 1000 ms. f
y
q
Second, our results broaden the dominant view of the
dorsal and ventral streams supporting the egocentric and
allocentric space coding, respectively (Goodale et al. 2004;
Committeri et al. 2004; Zaehle et al. 2007). Despite the
large overlap in allocentric and egocentric selectivity,
we identified several brain areas preferably responsive to
the allocentric or egocentric conditions. A high number
of allocentric-selective channels was found in the IPS in
the parietal cortex, and the maximum number of egocen
tric-selective channels was found in the mTempO region
consisting mainly of lingual and fusiform gyri. Our data
complement several other studies, suggesting the role of
the medial temporal cortex in egocentric and parietal cor
tex in allocentric coding, as discussed below. In addition,
besides the large overlap, we found a higher number of
allocentric-selective regions than egocentric-selective ones,
and also more allocentric-selective than egocentric-selec
tive channels. These proportions agree with the view that
allocentric coding is supported by most of the egocentric-
related regions but with additional brain areas involved. A
similar tendency was also observed in several fMRI studies
(Committeri et al. 2004; Zaehle et al. 2007) and a recent
meta-analysis (Li et al. 2021) showing less activation in the
egocentric compared to the allocentric task. Temporal Processing of Allocentric and Egocentric
Spatial Information In agreement with our hypothesis, we observed differences
in the temporal processing scheme for allocentric and ego
centric RFs, specifically in the brain regions with a major
proportion of channels responding to both RFs. By showing
an earlier temporal profile of the egocentric response com
pared to the allocentric one, these findings favor the hypoth
esis that egocentric spatial coding is the primary process,
and allocentric representations are derived from egocen
tric transformations (Filimon 2015; Ruggiero et al. 2009). Our data document these different temporal profiles in both
response peak latency and 100 ms time bins analysis. In
the frontal regions (Precentr, IFG, Afront), the allocentric
condition showed a later response peak than the control. By contrast, the egocentric condition did not differ in the
response peak time from the control. In addition, the ego
centric response in the IFG and SMG regions began to dif
fer significantly from the control earlier than the allocentric 1 1 3 Brain Topography (2023) 36:870–889 884 egocentric BGA response here was higher than the allocen
tric one at 300–1000 ms after stimulus onset. This finding is
unique, as none of the previous electrophysiological studies
focusing on egocentric coding reported any specific timing
of this information processing (Bastin et al. 2013; Kunz
et al. 2021). Bastin and his colleagues (2013) described a
common phase for allocentric and egocentric processing
at 400–600 ms after stimulus onset in the PPA, located
more anteriorly than the mTempO. Notably, in our study,
the selectivity to the egocentric response in the mTempO
began earlier (at 300 ms) than the selectivity to allocentric
response in allocentric-selective brain regions (IPS at 400
ms, OC and LTC at 600 ms). Although in the ventral stream
(see Byrne et al. 2007), this difference seems to favor the
hypothesis that egocentric spatial coding is a more primary
process relative to allocentric coding (Filimon 2015). responses (at 400 and 600 ms after stimulus onset, respec
tively). The difference in peak latency may potentially be
affected by the difference in the reaction time of behavioral
responses, as the participants were faster in control than in
the allocentric condition. However, we discarded from our
analysis all late responses with the BGA peak after 800 ms
and those apparently aligned to the key press time on the
plot of all individual epochs. Temporal Processing of Allocentric and Egocentric
Spatial Information Therefore, we suppose that
these EEG responses were not related to the movement but
rather to the stimulus and spatial RF processing.i Importantly, our findings suggest an interaction between
the three allocentric-selective brain regions, with at least
three processing stages. In the first stage, the OC region
responds similarly to all three conditions at about 300 ms
after the stimulus onset. The location of the task-responsive
channels in the OC region corresponds to the MNI coor
dinates of the scene-selective occipital place area (OPA)
(Dilks et al. 2013; Nakamura et al. 2000). Furthermore,
its response time is similar to the time of discrimination of
scenes from objects observed in our previous iEEG study
(242 ms, Vlcek et al. 2020) in the OPA and to the latency
of scene presentation in a magnetoencephalography study
(MEG) in a region close to the OPA (300 ms, Sato et al. 1999). Thus, the first processing stage might be involved in
encoding general spatial layout information in our task. The
second processing stage was observed in the IPS at 400–700
ms after stimulus onset, where the difference between allo
centric and egocentric responses first emerged, with larger
allocentric ones. In contrast, selectivity to the allocentric
condition in the OC region appeared rather late, at 600–700
ms after stimulus onset; similar latency of the allocentric-
selective response was also found in the LTC, the third
region with a higher proportion of allocentric-selective
channels. The IPS is a part of the dorsal attentional network
(DAN) and has been linked to attentional selection (Ptak
2012). The IPS might send top-down attentional modula
tions to the OPA and LTC, triggering a BGA increase at the
third processing stage, although additional studies involv
ing functional connectivity methods are required to test this
hypothesis. For OPA, this top-down effect may be repre
sented in guiding participants’ attention to the position of
the yellow mark located on the border between the floor and
walls. The OPA seems to represent environmental bound
aries regardless of their configuration (Kamps et al. 2016;
Julian et al. 2016). In our task, the participants could use the
distance from the arena wall to make allocentric judgments,
a strategy accompanied by BGA responses in the OPA. Temporal Processing of Allocentric and Egocentric
Spatial Information In the dorsolateral prefrontal cortex (the Afront region),
the onset latency of the BGA response and its peak for all
conditions was delayed (by about 150 ms) compared to
almost all other regions. At later stages of information pro
cessing, the dorsolateral prefrontal cortex may coordinate
and integrate the functioning of other brain regions involved
in spatial processing (Tanji and Hoshi 2008). 1 3 Cortical Regions Selective for Egocentric and
Allocentric Spatial Coding Our results broaden the dominant view of egocentric and
allocentric coding being associated with the dorsal and
ventral visual streams, respectively (Goodale et al. 2004). Regarding the egocentric selectivity, besides several ego
centric-selective channels in the SMG, we found their maxi
mal proportion in the ventral stream, in the mTempO region
consisting mainly of lingual and posterior fusiform gyri. It
seems unexpected to observe activity associated with the
egocentric RF in the ventral occipito-temporal cortex (ven
tral visual stream) as the opposite results for the allocentric
task were found in several fMRI studies (Committeri et al. 2004; Galati et al. 2000), although more anteriorly (includ
ing PPA). However, our finding of egocentric-selective
channels in this region is supported by several facts. Firstly,
we cannot consider activity observed in mTempO arte
factual as responses in these channels were obtained from
four patients. Secondly, three channels in this region, in the
posterior lingual gyrus, were more selective than most ego
centric-selective channels showing a significantly higher
response magnitude for the egocentric condition than for the
allocentric one. There were only four channels with these
characteristics in total. Thirdly, two of the four patients
having egocentric-selective channels in the mTempO most
likely used a true egocentric strategy rather than other strat
egies, e.g., based on apparent object-size features. In the Furthermore, our data indicate early egocentric process
ing in the ventral visual stream. The mTempO was the region
with the maximal proportion of egocentric-selective chan
nels and the only one with a phase of egocentric response
selectivity, as discussed in the next section. The average 1 3 Brain Topography (2023) 36:870–889 885 supplementary analysis, we found no differences in their
behavioral response accuracy between any image type in
the egocentric condition. Similarly, in at least two egocen
tric-selective channels in the mTempO region obtained from
two patients, we did not find differences in the magnitude of
BGA across all image types. All these data seem to confirm
the involvement of the mTempO region in egocentric spatial
coding in our task. one channel showing a significant difference in the contrast
allo > ego. Furthermore, the response magnitude was higher
for an allocentric than for an egocentric condition only in
the IPS. Surprisingly, we did not find any egocentric-selec
tive channels in the IPS, contrasting with the results of other
studies (Ruotolo et al. 2019; Chechlacz et al. 2010). Cortical Regions Selective for Egocentric and
Allocentric Spatial Coding (
;
)
Our finding of allocentric-selective channels in IPS is
supported by several facts. Firstly, we are able to exclude
the possibility of observing these allocentric-selective
channels as an individual specific-finding, as we obtained
eight such channels from four different patients. Secondly,
our supplementary analysis suggests that patients with
allocentric-selective channels in the IPS used a true allo
centric strategy rather than other strategies. We found that
two patients with channels in the IPS showed no difference
in behavioral response accuracy between image types sup
porting different non-spatial strategies. In addition, in the
IPS allocentric-selective channels, the iEEG data showed
greater activation for the allocentric than for the egocentric
condition in almost all image types, except when the three-
dimensional and two-dimensional distance did not corre
spond to each other (Allo 3D ≠ 2D, i.e., the ball that was
closer to the yellow mark in the three-dimensional space
was more distant from it in the two-dimensional coordinates
of the screen). This exception may suggest IPS involvement
only when the subjects use a two-dimensional strategy. It
contrasts, however, with fMRI studies showing a critical
role in the integration of multiple depth cues and, therefore,
in a representation of the 3D surface geometry of objects of
posterior portions of the IPS (Grefkes and Fink 2005; Tsut
sui et al. 2005). The lack of any difference in Allo 3D ≠ 2D
trial types may probably be explained by low statistical
power, as the subset of Allo 3D ≠ 2D images included a very
small number of epochs. The involvement of the medial temporal-occipital cortex
in egocentric representations was shown in several lesion
studies (Nyffeler et al. 2005; Weniger and Irle 2006). In a
single case study in a patient with the destruction of the
parahippocampal, fusiform, lingual, and medial occipito-
temporal gyri, and using a paradigm of memory-guided
saccades, apart from an obvious allocentric deficit, Nyffeler
et al. (2005) detected an additional impairment of the ego
centric coordinate frame. The role of the parahippocampal
cortex was also documented in studies using a virtual maze
without any landmarks where participants presumably used
an egocentric navigation strategy. During navigation in this
maze, the parahippocampal and lingual gyri were active
(Weniger et al. 2010), and patients with lesions to the right
posterior parahippocampal gyrus had difficulties finding the
goal (Weniger and Irle 2006). Cortical Regions Selective for Egocentric and
Allocentric Spatial Coding This parahippocampal activa
tion may be potentially associated primarily with analyz
ing the appearance of important navigation decision points
(Janzen and van Turennout 2004). In addition, a recent
paper using single-cell recordings in epileptic patients
identified egocentric bearing cells in the medial temporal
lobe with their highest proportion in the parahippocampal
cortex (Kunz et al. 2021). These neurons were discovered
during a virtual navigation spatial memory task and are con
sidered to encode egocentric directions and distances from
the observer toward reference points in space and, there
fore, may represent the basis for egocentric representations. Finally, in a scalp EEG study using sparse augmented real
ity mazes where healthy participants navigated while being
blindfolded, the lingual gyrus theta EEG power decreased
across trials during spatial learning (Miyakoshi et al. 2021). According to the authors, this theta power reduction may
represent a shift from the initial use of egocentric represen
tations of the maze built on local proprioceptive and sensory
feedback signals to the use of allocentric map-like represen
tations. Notably, MNI coordinates of the cluster showing a
decrease in theta band overlapped with egocentric-selective
channels in the posterior lingual gyrus in our iEEG study. Moreover, several other studies indicate that processes
related to object-centered RFs may occur in the parietal cor
tex. In an fMRI experiment with the verbal description of
spatial relations between objects, Zaehle and his colleagues
(2007) found that parts of the inferior and superior pari
etal lobules expressed greater activation for the allocentric
compared to the egocentric task. Significant responses in
the right IPS unique to allocentric spatial coding (for the
contrast allo > control, but not for ego > control, similar to
our results) were also documented in a more recent func
tional near-infrared spectroscopy study (fNIRS) during a
two-dimensional spatial discrimination task (Derbie et al. 2021b). According to the hypothesis that allocentric object-
centered RFs are derived via mental transformations of pri
mary egocentric RFs (Filimon 2015), IPS activation may
be associated with additional attentional resources required
to mentally shift egocentric spatial locations of each object
into new, mentally transformed, object-relative positions. In Regarding the allocentric selectivity, besides allocentric-
selective channels observed in the ventral stream areas
such as OC and LTC, we found their maximal proportion
in the IPS in the parietal cortex. Cortical Regions Selective for Egocentric and
Allocentric Spatial Coding This region, on a bound
ary between the angular gyrus and superior parietal lobule,
contained only allocentric-selective channels, including 1 3 Brain Topography (2023) 36:870–889 886 activations from at least three different patients. Therefore,
we are convinced that our data reflect primarily physiologi
cal mechanisms. an fMRI study explicitly focused on attentional orienting,
the IPS showed the most pronounced increase of activity
associated with object-centered relative to the viewer-cen
tered RF (Wilson et al. 2005). The low proportion of selective channels from all that
were implanted is noteworthy. Of the 4586 implanted chan
nels, 546 were responsive in our task (11.9%). This pro
portion is similar to other iEEG studies (Vidal et al. 2010;
Vlcek et al. 2020), where around 17% of channels were
responsive. The slightly lower proportion in our current
study is probably connected to the specificity of our stimuli,
which were all very similar spatial scenes. Of these respon
sive channels, only 164 were condition-selective (4% of all
implanted), which we expected given the identical visual
stimuli and conditions differing only in the type of question
presented before. (
)
In our iEEG study, we did not find any allocentric-selec
tive channels in the PPA and medial occipitotemporal cortex
more generally, although an fMRI (Committeri et al. 2004)
and another follow-up iEEG study (Bastin et al. 2013)
showed posterior parahippocampal involvement during
the allocentric task. Possibly, medial occipitotemporal cor
tex, including PPA, is only involved in the world-centered
allocentric RF use and may reflect the coding of the cur
rent spatial relationships between the viewer and the whole
environmental geometry (see reviews Galati et al. 2010 and
Moraresku and Vlcek 2020). In contrast, the LTC seems to
be associated with object-centered RF, as our experimental
design included the object-centered allocentric condition
in which the subjects did not need to focus on the whole
environmental geometry but rather on the local spatial rela
tionships between objects. Our finding of BGA responses
to the allocentric condition in the LTC is consistent with
the results of several fMRI studies (Committeri et al. 2004;
Saj et al. 2014; Zaehle et al. 2007). For instance, Commit
teri et al. (2004) observed greater activation in the bilateral
lateral occipitotemporal cortex, including inferior temporal
and occipital gyri, in the contrast object-centered relative
to viewer-centered condition, i.e., when participants judged
which of two objects was closer to the target object ignoring
the surrounding environment. Cortical Regions Selective for Egocentric and
Allocentric Spatial Coding To some extent, our results can be influenced by our
experimental design. In the test images, we used a first-
person view, which is more natural for humans and usually
used during real navigation. However, in a bird-eye view,
allocentric estimation of distance could be potentially easier
than in a first-person view because of more visible distances
that might be reflected in iEEG results. Also, our results can be potentially affected by the sub
jects’ position during the experiment. While in fMRI stud
ies, participants lie in a scanner, the iEEG study enables
patients to perform the experimental task in an upright posi
tion, i.e., while sitting in bed. This difference may poten
tially affect neural activities, as sitting in an upright position
may facilitate the translation of body coordinates for spatial
coding. One MEG study has already revealed differences
in neural activity between lying supine and sitting upright
(Lifshitz et al. 2017). Source-localization analysis showed
that sitting upright versus lying supine was associated with
higher beta and gamma activity in the broad parietooccipi
tal region and lower activity in prefrontal regions across a
range of bandwidths. To sum up, our data, together with other recent studies,
suggest that the medial temporal-occipital cortex could also
be involved in egocentric coding of space and the parietal
cortex – in allocentric coding. Study Limitations General complication with human iEEG is the limited cov
erage of the brain. Although we recorded data from 4586
bipolar channels in 37 patients, some brain areas were still
covered sparsely, such as the posterior parts of the occipital
and the parietal cortex. Furthermore, the right hemisphere
was covered quite densely (72% of all recording sites) as
opposed to the left hemisphere. Because of the unequal
distribution of selective channels in both hemispheres, we
grouped and analyzed them together that limited us in find
ing any laterality in BGA responses.l 1 3 References Abdi H, Williams LJ, United States (2010) Tukey’s honestly signifi
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Information The
online
version
contains
supplementary material available at https://doi.org/10.1007/s10548-
023-00989-2. Chechlacz M, Rotshtein P, Bickerton WL, Hansen PC, Deb S, Hum
phreys GW (2010) Separating neural correlates of allocentric and
egocentric neglect: distinct cortical sites and common white mat
ter disconnections. Cogn Neuropsychol 27(3):277–303. https://
doi.org/10.1080/02643294.2010.519699 Acknowledgements We would like to thank all the patients who par
ticipated in this study and Nad’a Bednárová, Helena Buchtová, Lucie
Paterová, Iveta Fajnerová, Tereza Nekovářová, and Jana Kalinová for
their help with collecting the iEEG data. Chechlacz M, Rotshtein P, Humphreys GW (2012) Neuroanatomical
dissections of unilateral visual neglect symptoms: ALE Meta-
analysis of lesion-symptom mapping. Front Hum Neurosci 6:230. https://doi.org/10.3389/fnhum.2012.00230 Author Contributions S.M.: Software, Formal analysis, Investigation,
Data Curation, Writing - Original Draft, Writing - Review & Editing,
Visualization. J.H.: Conceptualization, Software, Validation, Writing
- Review & Editing. R.J.: Software, Formal analysis. P.J.: Software,
Formal analysis. A.K.: Data Curation, Resources. P.M.: Conceptualiza
tion, Validation, Resources, Writing - Review & Editing, Supervision,
Project administration, Funding acquisition. K.V.: Conceptualization,
Methodology, Software, Validation, Formal analysis, Investigation,
Resources, Data Curation, Writing - Review & Editing, Supervision,
Project administration, Funding acquisition. Committeri G, Galati G, Paradis AL, Pizzamiglio L, Berthoz A,
LeBihan D (2004) Reference frames for spatial cognition: dif
ferent brain areas are involved in viewer-, object-, and landmark-
centered judgments about object location. J Cogn Neurosci
16(9):1517–1535. https://doi.org/10.1162/0898929042568550 Corbetta M, Shulman GL (2002) Control of goal-directed and stimu
lus-driven attention in the brain. Nat Rev Neurosci 3(3):201–215. https://doi.org/10.1038/nrn755 Dempsey LA, Cooper RJ, Roque T, Correia T, Magee E, Powell S,
Hebden JC (2015) Data-driven approach to optimum wavelength
selection for diffuse optical imaging. J Biomed Opt 20(1):016003. https://doi.org/10.1117/1.JBO.20.1.016003 Funding This study was funded by the Grant Agency of Czech Repub
lic (GACR) grant 19-11753S and the Grant Agency of Charles Uni
versity (GAUK) grant 248122. Institutional support for IPHYS was
provided by RVO: 67985823. Conclusion In our study, we documented the temporal and regional
interactions between egocentric and allocentric spatial cod
ing in the human brain. The egocentric selectivity in our
egocentric-selective region, the medial temporal-occipital
cortex, began earlier than the allocentric selectivity in our
allocentric-selective brain regions, the intraparietal sulcus,
occipital and lateral temporal cortex. In the frontal regions,
allocentric responses also peaked later. Furthermore, we
found a large overlap between egocentric and allocentric
coding in the spatial domain, both at the level of individual
bipolar channels and brain regions, as well as in the tem
poral domain. Still, we identified several egocentric- and The iEEG data may reflect the abnormal brain activity
of epileptic patients. However, we excluded all trials show
ing interictal epileptiform discharges, and channels labeled
‘epileptic’ differed from non-epileptic channels neither in
the magnitude of response nor in the peak latency. More
over, for each brain region analyzed, we required iEEG 1 3 Brain Topography (2023) 36:870–889 887 included in the article’s Creative Commons licence and your intended
use is not permitted by statutory regulation or exceeds the permitted
use, you will need to obtain permission directly from the copyright
holder. To view a copy of this licence, visit http://creativecommons. org/licenses/by/4.0/. allocentric-selective brain areas, which, however, were not
confined to the dorsal and ventral visual streams, respec
tively. Overall, our findings indicated that there were more
regions and channels that were selective to allocentric than
egocentric reference frame, which supports the idea that
allocentric coding is supported by most egocentric-related
regions but with additional brain areas involved. Our results
favor the hypothesis that egocentric spatial coding is more
primary and occurs almost automatically, while allocentric
representations are likely derived from egocentric ones and
require additional attentional resources. Future studies may
also address the functional connectivity between these areas
and clarify the information flow involved in the egocentric
and allocentric networks. References Derbie AY, Chau BKH, Wong CHY, Chen LD, Ting KH, Lam BYH,
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Biogenesis and Dynamics of Mitochondria during the Cell Cycle: Significance of 3′UTRs
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PloS one
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| 11,152
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INTRODUCTION human pathologies with quite different phenotypic presentations
[16], that include physiological ageing [17]. The provision of
metabolic energy by oxidative phosphorylation (OXPHOS) is the
best characterized function of mitochondria. In the process of
oxidative phosphorylation, ATP is synthesized from ADP and Pi
by the mitochondrial H+-ATP synthase [18], a rotatory engine
complex of the inner mitochondrial membrane that utilizes as
driving force the proton electrochemical gradient generated by the
respiratory chain [19]. The catalytic activity of the H+-ATP
synthase is located in the b-subunit of the water-soluble F1 portion
(b-F1-ATPase) of the complex which is encoded in the nuclear
genome [20]. The regulation of the expression of b-F1-ATPase is
exerted at the level of translation [21–25]. The b-F1-ATPase
mRNA (b-mRNA) further provides an example of a mitochondria-
localized
mRNA
in
both
mammalian
[26–29]
and
lower
eukaryotic cells [30,31] whose efficient translation depends on
the 39 non-translated region (39UTR) of the mRNA [24,30,32,33]. Translation masking of b-mRNA occurred both in the fetal liver
[24] and in hepatomas [25], compromising the biogenesis of
mitochondria during development and in oncogenesis [34,35]. Cellular proliferation is an energy consuming activity that is
stringently controlled by checkpoints of the cell cycle [1]. Transition from one phase of the cycle to the next is coordinated
by the expression of specific cyclins and the sequential activation
and inactivation of cyclin-dependent protein kinases [2]. Un-
controlled proliferation is one of the hallmarks of the cancer cell
[3] that most often results from genetic alterations and/or the
inactivation of master regulators of the cell cycle [4]. Cells that
make the decision to divide must be therefore metabolically
prepared to deal with the energetic demand imposed by pro-
liferation. Alternatively, the cells can become reversibly arrested at
the G1/S boundary (restriction point) of the cell cycle. In fact,
compromising the cellular ATP levels by inhibition of mitochon-
drial oxidative phosphorylation [5,6] or by limiting the availability
of glucose [1] or by genetic alterations that compromise the
bioenergetic activity of mitochondria [7] result in G1 arrest of the
cells. The G1/S arrest is triggered by a metabolic stress checkpoint
of the cycle that is controlled by the activation of AMP-activated
protein kinase (AMPK) [1] which is a metabolic sensor of the
energy charge in higher eukaryotic cells [8]. Biogenesis and Dynamics of Mitochondria during the
Cell Cycle: Significance of 39UTRs Marta Martı´nez-Diez, Gema Santamarı´a, A´ lvaro D. Ortega, Jose´ M. Cuezva* Marta Martı´nez-Diez, Gema Santamarı´a, A´ lvaro D. Ortega, Jose´ M. Cuezva* e Biologı´a Molecular, Centro de Biologı´a Molecular Severo Ochoa, Universidad Auto´noma de Madrid, Madrid, Spain Departamento de Biologı´a Molecular, Centro de Biologı´a Molecular Severo Ochoa, Universidad Auto´noma de Mad Nowadays, we are facing a renaissance of mitochondria in cancer biology. However, our knowledge of the basic cell biology
and on the timing and mechanisms that control the biosynthesis of mitochondrial constituents during progression through the
cell cycle of mammalian cells remain largely unknown. Herein, we document the in vivo changes on mitochondrial morphology
and dynamics that accompany cellular mitosis, and illustrate the following key points of the biogenesis of mitochondria during
progression of liver cells through the cycle: (i) the replication of nuclear and mitochondrial genomes is synchronized during
cellular proliferation, (ii) the accretion of OXPHOS proteins is asynchronously regulated during proliferation being the
synthesis of b-F1-ATPase and Hsp60 carried out also at G2/M and, (iii) the biosynthesis of cardiolipin is achieved during the S
phase, although full development of the mitochondrial membrane potential (DYm) is attained at G2/M. Furthermore, we
demonstrate using reporter constructs that the mechanism regulating the accretion of b-F1-ATPase during cellular
proliferation is controlled at the level of mRNA translation by the 39UTR of the transcript. The 39UTR-driven synthesis of
the protein at G2/M is essential for conferring to the daughter cells the original phenotype of the parental cell. Our findings
suggest that alterations on this process may promote deregulated b-F1-ATPase expression in human cancer. Citation: Martı´nez-Diez M, Santamarı´a G, Ortega A´ D, Cuezva JM (2006) Biogenesis and Dynamics of Mitochondria during the Cell Cycle: Significance
of 39UTRs. PLoS ONE 1(1): e107. doi:10.1371/journal.pone.0000107 PLoS ONE | www.plosone.org Received
September
8, 2006;
Accepted
November 24, 2006;
Published
December 20, 2006 Academic Editor: Ju¨rg Ba¨hler, Wellcome Trust Sanger Institute, United Kingdom
Received
September
8, 2006;
Accepted
November 24, 2006;
Published
December 20, 2006 INTRODUCTION The activation of
AMPK promotes the phosphorylation of p53 at Ser15 [1],
a modification that prevents its degradation and results in the
cellular accumulation of p53 and cell-cycle arrest. Various studies
have shown that entry of cells into the G1 phase of the cycle is
associated with a burst of mitochondrial activity [5,9]. However, it
appears that progression through the cycle is supported by non-
respiratory modes of energy generation [10–12]. In fact, very
recent findings in cells of mammals indicate that cyclin D1 which
is involved in the phosphorylation and inactivation of the
retinoblastoma protein, marking the entry of cells into the S
phase of the cycle, inhibits mitochondrial function [13] and
represses the activity of NRF-1 [14], a nuclear factor that masters
the transcriptional expression of nuclear-encoded mitochondrial
genes [15]. Academic Editor: Ju¨rg Ba¨hler, Wellcome Trust Sanger Institute, United Kingdom
Received
September
8, 2006;
Accepted
November 24, 2006;
Published
December 20, 2006 g
,
g
,
g
Received
September
8, 2006;
Accepted
November 24, 2006;
Published
December 20, 2006 Received
September
8, 2006;
Accepted
November 24, 2006;
Published
December 20, 2006 Copyright: 2006 Martı´nez-Diez et al. This is an open-access article distributed
under the terms of the Creative Commons Attribution License, which permits
unrestricted use, distribution, and reproduction in any medium, provided the
original author and source are credited. Funding: M.M-D, G.S. and A.D.O are/were recipients of predoctoral fellowships
from the Ministerio de Educacio´n/Ciencia, Spain. This work was supported by
grants from the Ministerio de Sanidad (PI041255), Educacio´n y Ciencia (SAF-2005-
4001 and BMC2001-0710)and Fundacio´n Mutua Madrilen˜a, Spain. The CBMSO is
the recipient of an institutional grant from Fundacio´n Ramo´n Areces. Competing Interests: The authors have declared that no competing interests
exist. Mitochondria participate in a large number of essential cellular
functions. Genetic or epigenetic alterations that impact on
mitochondrial functions are thus involved in the development of * To whom correspondence should be addressed. E-mail: jmcuezva@cbm.uam. * To whom correspondence should be addressed. E-mail: jmcuezva@cbm.uam. * To whom correspondence should be addressed. E-mail: jmcuezva@cbm.uam. es * To whom correspondence should be addressed. E-mail: jmcuezva@cbm.uam. es PLoS ONE | www.plosone.org December 2006 | Issue 1 | e107 1 Biogenesis of Mitochondria The biogenesis of mitochondria is a complex cellular event
requiring the concerted expression of two physically separated
genomes [15,35–37]. Biosynthesis of mitochondrial constituents during
the cell cycle Subconfluent cultures of liver C9 cells were synchronized by
metabolic arrest at the beginning of the S phase (see Fig. S1 in
Supporting Information). The arrest of the cell cycle promoted
a significant increase in the proportion of cells in G0/G1
concurrent with a reduction of the proportion of cells in S and
G2/M (Fig. S1). At various times (0–10 h) after release from the
metabolic block cells were recovered and the relative cellular
content of mtDNA (Fig. 1A) and mitochondrial proteins (Fig. 1B)
determined. It should be noted that at 4h after release from the
arrest the percentage of cells in the different phases of the cycle
were basically the same (Fig. S1) being the percentage of cells in
G2/M 2-fold and 5-fold higher than that of non-arrested and
arrested cells, respectively (Fig. S1). The relative cellular content
of mitochondrial DNA (mtDNA), as determined by the ratio of
the mitochondrial 12S rRNA gene to the nuclear b-F1-ATPase
gene did not show significant deviations from the initially
observed value (dotted line in Fig. 1A), suggesting that synthesis
of nuclear and mitochondrial DNA is coordinated during cell
cycle progression. Contrary to this finding, we observed that the
relative
cellular
content
of
the
catalytic
subunit
of
the
mitochondrial H+-ATP synthase (b-F1-ATPase/tubulin ratio)
and of the structural heat shock protein 60 (hsp60) (hsp60/ Figure 1. Changes in mitochondrial constituents during the cell cycle. Synchronized C9 cells (A–C) were recovered at the indicated time intervals
and the relative cellular content of mtDNA (A) and proteins (B–C) determined. No significant changes in the cellular abundance of the mitochondrial
12S gene are observed. However, the cellular content of b-F1-ATPase, Hsp60 and cyclin B1 showed a significant increase at 4 h after release from the
metabolic arrest. Representative experiments are shown (A–C). * and **, P,0.05 and ,0.005 when compared with 0–2 h. D, The fluorescence
intensity of the NAO probe was used to determine changes on mitochondrial mass during the cell cycle of non-synchronized C9 cells. The results
shown are the means6SEM of three experiments. *, P,0.05 when compared with cells in G0/G1. doi:10.1371/journal.pone.0000107.g001 Figure 1. Changes in mitochondrial constituents during the cell cycle. Synchronized C9 cells (A–C) were recovered at the indicated time intervals
and the relative cellular content of mtDNA (A) and proteins (B–C) determined. No significant changes in the cellular abundance of the mitochondrial
12S gene are observed. INTRODUCTION However, and despite the relevant role
played by mitochondria in the onset and progression of human
pathology, our knowledge of the timing of the biosynthesis of
the different mitochondrial constituents and on the mechanisms
that regulate their biosynthesis during cellular proliferation are
scarce or remain largely unknown. Even less explored are the
dynamics and changes in mitochondrial morphology during
mitosis, a process that is likely to impact on the development of
mitochondrial function and on the segregation of the organelles
during progression through the cell cycle. Because of the
renaissance of mitochondrial studies in cancer biology [38–41],
in this work we have studied the timing of the biosynthesis of
different mitochondrial constituents during progression through
the cell cycle and the changes on mitochondrial morphology and
dynamics that accompany cellular mitosis. Mechanistically, we
document the relevance that the 39UTR (39 non-translated region)
of b-mRNA has for the synthesis of the protein at G2/M and
illustrate the role that a regulatory mRNA sequence has for the
appropriate biogenesis of mitochondria in the daughter cells with
the same bioenergetic phenotype than that of the parental cell. This discovery highlights a previously unappreciated relationship
between the control of translation at G2/M and the biogenesis of
mammalian mitochondria that is likely to influence the cancer
field. Asynchronous accretion of mitochondrial proteins
during the cycle g
To test the possibility that changes in the translation efficiency of
b-mRNA could trigger the accumulation of the protein during
progression through the cycle we studied the expression of a gfp
reporter derived from a construct that contained the 39UTR
regulatory element of b-mRNA translation [24,32]. However, and
because of the cytotoxic effect of gfp when it is expressed in the
cytoplasm [33] the development of stable cellular clones by this
approach resulted unsuccessful. Therefore, we decided to target
gfp to the mitochondria by inframe fusion at the N-terminal of gfp
the presequence of the rat liver b-F1-ATPase precursor protein. This
strategy
allowed
the
generation
of
stable
clones
of
mammalian cells that express gfp in their mitochondria (Fig. 3A)
as assessed by confocal (Fig. 3B) and immunoelectron (Fig. 3C)
microscopy. Interestingly, it was not possible to detect significant
amounts of the pb-gfp chimeric protein in cellular extracts of the
C9-pbGFP39b clone (see Fig. 3D, lane 1), suggesting a fast and
efficient in vivo import of the chimeric protein in this cell line. However, when transfecting the same construct into BHK cells we
detected the pb-gfp precursor (Fig. 3D, lane 2). Moreover,
treatment of these cells with carbonyl cyanide p-trifluoro-
methoxy-phenylhydrazone (FCCP), a drug that collapses DYm
and prevents the import of precursor proteins into the organelle,
revealed the rapid accumulation of pb-gfp in BHK cellular
extracts (Fig. 3D, lanes 3). Upon removal of FCCP from the
culture medium, the pb-gfp precursor was rapidly imported into
mitochondria and processed to mature gfp (Fig. 3D, lane 4). These
results illustrate cell-type specific differences in the import pathway
of proteins into mitochondria in cells of mammals. To test the possibility that changes in the translation efficiency of
b-mRNA could trigger the accumulation of the protein during
progression through the cycle we studied the expression of a gfp
reporter derived from a construct that contained the 39UTR
regulatory element of b-mRNA translation [24,32]. However, and
because of the cytotoxic effect of gfp when it is expressed in the
cytoplasm [33] the development of stable cellular clones by this
approach resulted unsuccessful. Therefore, we decided to target
gfp to the mitochondria by inframe fusion at the N-terminal of gfp
the presequence of the rat liver b-F1-ATPase precursor protein. g
y
The cellular content of various mitochondrial proteins was further
analyzed by flow cytometry in non-synchronized C9 cells (see Fig. Asynchronous accretion of mitochondrial proteins
during the cycle S2 in Supplementary Information for controls of cytometry and
representative experiments for each of the protein markers
assayed). We observed that whereas the nuclear (COXIV) and
mitochondrial (COXI) encoded subunits of respiratory complex
IV (cytochrome c oxidase subunits IV and I, respectively)
accumulated almost entirely during S phase (Figs. 2A and S2),
the accumulation of b-F1-ATPase and hsp60 occurred throughout
the cycle with a significant increase at G2/M when compared to
cells in S phase (Figs. 2A and S2). The preferential build up of b-
F1-ATPase and hsp60 at G2/M, and parallel accretion of these
two proteins during the cycle, was further confirmed by western
blotting of cells sorted according to their DNA content as revealed
by the sharp increase in b-F1/COXIV ratio at G2/M (Fig. 2B)
and the lack of significant deviations in b-F1/hsp60 ratio (Fig. 2B),
respectively. Functional differentiation of mitochondria during
the cell cycle To assess the stage of functional differentiation of mitochondria
during the cell cycle, changes in the mitochondrial membrane
potential (DYm) were determined by FACS analysis using the
TMRM+ probe. The mean fluorescence intensity of TMRM-
stained cells increased significantly in S phase when compared to
cells in G0/G1 (Fig. 2D). However, and contrary to the results
observed with the NAO probe (Fig. 1D), the mean fluorescence
intensity of TMRM-stained cells further showed a significant
increase at G2/M (Fig. 2D), indicating that full development of
DYm is attained only after G2/M-dependent events have been
completed. To assess the build up of the inner mitochondrial membrane
during progression through the cycle changes in the amount of
cardiolipin
were
determined
by
flow
cytometry
using
the
fluorescent NAO probe (Fig. 1D). The mean fluorescence intensity
of NAO-stained cells increased significantly in S phase when
compared to cells in G0/G1 (Fig. 1D). No further significant
changes were observed in NAO fluorescence in the cells at G2/M
(Fig. 1D), indicating that the biosynthesis of the phospholipid of
the inner membrane is completed in S phase. Biosynthesis of mitochondrial constituents during
the cell cycle However, the cellular content of b-F1-ATPase, Hsp60 and cyclin B1 showed a significant increase at 4 h after release from the
metabolic arrest. Representative experiments are shown (A–C). * and **, P,0.05 and ,0.005 when compared with 0–2 h. D, The fluorescence
intensity of the NAO probe was used to determine changes on mitochondrial mass during the cell cycle of non-synchronized C9 cells. The results
shown are the means6SEM of three experiments. *, P,0.05 when compared with cells in G0/G1. doi:10.1371/journal.pone.0000107.g001 December 2006 | Issue 1 | e107 PLoS ONE | www.plosone.org 2 Biogenesis of Mitochondria tubulin ratio) showed a significant increase at 4 h (Fig. 1B). Analysis of the cellular expression level of cyclin B1 (cyclin B1/
tubulin ratio), that is known to peak at mitosis, also revealed
a significant increase 4h after initiation of the cell cycle (Fig. 1C),
suggesting
that
mitosis
is
the
cell-cycle
phase
where
the
preferential synthesis of these mitochondrial proteins is taking
place. The preferential synthesis of b-F1-ATPase at G2/M
occurs in the absence of changes in mRNA
abundance To explore the possibility that b-F1-ATPase mRNA abundance
could be regulated during the cycle gearing the synthesis and
accumulation of the protein we determined the relative cellular
content of b-mRNA in synchronized C9 cells at various times
after release from the metabolic block. The expression of b-
mRNA was determined (Fig. 2C) in the same cultures where
the protein expression was assessed (Fig. 1B). No significant
changes in the relative cellular content of b-mRNA (as assessed
by any of the following ratios: b-mRNA/18S rRNA, b-mRNA/
ATPase 6–8 mRNA and b-mRNA/12S rRNA) was observed
(Fig. 2C). Furthermore,
we
also
determined
the
relative
expression of b-mRNA in cells sorted according to their DNA
content and found the lack of significant changes in the
normalized expression of b-mRNA in the different phases of the
cycle (1.0060.10, 0.8360.12 and 1.2160.10 for cells in G0/
G1, S and G2/M, respectively). Overall, the results suggest that
the accumulation of the protein during cellular proliferation
(Figs. 1B, 2A and 2B) is mainly controlled at the level of
translation although it cannot be excluded that mechanisms that
control the subcellular localization of the mRNA [26–29,31]
might as well contribute to the observed accretion of the protein
during the cell cycle. Gfp derived from the C9-pbGFP39b clone is
preferentially synthesized at G2/M The results shown are the means6SEM of three experiments. *, P,0.05 when compared with cells in G0/G1. doi:10.1371/journal.pone.0000107.g002 Figure 2. Asynchronous accumulation of mitochondrial proteins and development DYm during the cell cycle. A, Determination of the expression
level of b-F1-ATPase (b-F1), Hsp60 and cytochrome c oxidase subunits I (COXI) and IV (COXIV) in C9 cells in the different phases of cell cycle by flow
cytometry. Open bars, G0/G1; grey bars, S and black bars, G2/M. The results shown are the means6SEM of four experiments. * and #, P, 0.05 when
compared with cells in G0/G1 and S, respectively. B, C9 cells were sorted by flow cytometry according to their DNA content and the protein extracts
fractionated and blotted with the indicated antibodies. The two bands shown under each condition are from two independent experiments. The
results shown in the graph are the means6SEM of three experiments. *, P,0.05 when compared with cells in S phase. C, Synchronized C9 cells were
recovered at the indicated time intervals and the relative cellular content of b-F1-ATPase mRNA determined by Northern-blot analysis. The
mitochondrial encoded ATPase 6–8 mRNA and 12S rRNA and the nuclear encoded 18S rRNA were also determined. The results shown are the
means6SEM of four experiments. D, FACS determination of the mitochondrial membrane potential (DYm) in C9 cells in the different phases of the
cell cycle. The results shown are the means6SEM of three experiments. *, P,0.05 when compared with cells in G0/G1. doi:10.1371/journal.pone.0000107.g002 clones of the C9 cell line in which the 39UTR of b-mRNA was
replaced by the 39UTR of mitochondrial transcription factor A
(Tfam). The 39UTR of Tfam lacks translation enhancing activity
when compared to the activity of the 39UTRs of other OXPHOS
transcripts [33]. Consistent with this, we observed that the
expression of gfp in C9-pbGFP39Tfam cells was much less than Gfp derived from the C9-pbGFP39b clone is
preferentially synthesized at G2/M p
y y
Analysis of the relative cellular expression level of gfp in non-
synchronized C9-pbGFP39b cells, as assessed by the gfp/tubulin
ratio, revealed a constant expression level of the protein as cells
proliferate (data not shown). In contrast, the same analysis in
synchronized C9-pbGFP39b cells revealed a significant and
preferential accumulation of gfp at 4 h after release from the
metabolic block (Fig. 4A), indicating that the synthesis of gfp
driven from the construct that contains the presequence and
39UTR of b-mRNA coincides with that of the endogenous b-F1-
ATPase (Fig. 1B) and is preferential at the time of mitosis (Fig. 1C). Determination of the relative cellular content of the chimeric gfp-
mRNA in synchronized C9-pbGFP39b cells revealed a constant
expression level of this mRNA during the cycle (Fig. 4B),
suggesting that the accumulation of gfp at G2/M is controlled at
the level of translation. PLoS ONE | www.plosone.org PLo December 2006 | Issue 1 | e107 PLoS ONE | www.plosone.org 3 Biogenesis of Mitochondria Th
39UTR
f b
RNA
t
l th
l ti
f
clones of the C9 cell line in which the 39UTR of b mRNA was
Figure 2. Asynchronous accumulation of mitochondrial proteins and development DYm during the cell cycle. A, Determination of the expression
level of b-F1-ATPase (b-F1), Hsp60 and cytochrome c oxidase subunits I (COXI) and IV (COXIV) in C9 cells in the different phases of cell cycle by flow
cytometry. Open bars, G0/G1; grey bars, S and black bars, G2/M. The results shown are the means6SEM of four experiments. * and #, P, 0.05 when
compared with cells in G0/G1 and S, respectively. B, C9 cells were sorted by flow cytometry according to their DNA content and the protein extracts
fractionated and blotted with the indicated antibodies. The two bands shown under each condition are from two independent experiments. The
results shown in the graph are the means6SEM of three experiments. *, P,0.05 when compared with cells in S phase. C, Synchronized C9 cells were
recovered at the indicated time intervals and the relative cellular content of b-F1-ATPase mRNA determined by Northern-blot analysis. The
mitochondrial encoded ATPase 6–8 mRNA and 12S rRNA and the nuclear encoded 18S rRNA were also determined. The results shown are the
means6SEM of four experiments. D, FACS determination of the mitochondrial membrane potential (DYm) in C9 cells in the different phases of the
cell cycle. The 39UTR of b-mRNA controls the accumulation of
the protein at G2/M The
migration of the pb-gfp chimera is also indicated. In lane 3, BHK cells have been previously treated with FCCP (4 mM) plus oligomycin (2 mM) for
1 hour. Note the accumulation of pb-gfp. In lane 4, BHK cells treated as in lane 3 were washed for 40 minutes before fractionation. Note the
processing of pb-gfp to mature gfp. doi:10.1371/journal.pone.0000107.g003 apoptosis [6,44], Ca2+ signaling [45], viral infection [46] and
impact on various human pathologies [47]. However, the timing
of the morphological changes experienced by mitochondria during
mitosis in cells of mammals is unknown. In this regard, the
generation of mammalian cell lines with green mitochondria
allowed us to visualize in vivo the morphology and dynamics of
mitochondria during mitosis (see supporting video S1 and Fig. S3)
as well as within the context of elements of the cytoskeleton (Fig. 5). that
in
C9-pbGFP39b
cells
(Fig. 4C). However,
the
C9-
pbGFP39Tfam clone also efficiently targeted gfp to mitochondria
in C9 cells showing no cellular accumulation of the pb-gfp
chimera (Fig. 4C, and data not shown). To assess the role of the 39UTRs in the synthesis of gfp during
the cycle we determined the relative changes in gfp fluorescence of
the C9-pbGFP39b and C9-pbGFP39Tfam cells (Fig. 4D). In both
clones the mean fluorescence intensity of the cells increased as they
progress through the cycle (Fig. 4D). However, the relative
increase in cellular fluorescence observed in C9-pbGFP39b cells
exceeded by far that determined in C9-pbGFP39Tfam cells both
in S phase and at G2/M (Fig. 4D). In fact, C9-pbGFP39Tfam cells
did not synthesize the amount of gfp that is required for
appropriate cellular division into daughter cells with the same
maternal gfp phenotype (Fig. 4D). Therefore, the results support
that the 39UTR of b-mRNA is the core controlling element
required for the biosynthesis of b-F1-ATPase and for the appro-
priate biogenesis of mitochondria during cellular proliferation. y
(
g
)
The analysis of synchronized C9-pbGFP39b cells at 4h after
release from the metabolic block confirmed that a large proportion
of the cells (.40%) were undergoing mitosis (Fig. 5). The
morphology of mitochondria in cells in interphase is that of
threads, or of a tubular network, that it is intertwined with the
tubulin and actin cytoskeleton. Mitochondria in cells in interphase
are preferentially clustered around the nucleus, although some
mitochondria are also located in the cell periphery (Fig. 5). The 39UTR of b-mRNA controls the accumulation of
the protein at G2/M In order to define which of the two b-mRNA elements
(presequence and 39UTR) is responsible for the preferential
synthesis of the protein at G2/M we generated additional stable PLoS ONE | www.plosone.org December 2006 | Issue 1 | e107 December 2006 | Issue 1 | e107 4 Biogenesis of Mitochondria Figure 3. The presequence of b-F1-ATPase precursor targets gfp to mitochondria. The expression of gfp in C9 (A,B) and BHK (C) cells was assessed
by fluorescence (A), immunofluorescence (B) and immunoelectron (C) microscopy. A, Illustrates by phase contrast (upper panel) and
immunofluorescence (lower panel) the same low magnification field of C9-pbGFP39b cells. B, C9-pbGFP39b cells analyzed by immunofluorescence
microscopy using anti-b-F1-ATPase antibody at 636 magnification. Upper panel, green gfp fluorescence; middle panel, red b-F1-ATPase
immunostaining; lower panel, yellow merged image. C, Specific immunogold labeling (10 nm gold) of BHK mitochondria (m). Note the lack of gold
labeling of other structures in the cytoplasm or in the nucleus (n) of the cell. D, Western blots of C9 (lane 1) and BHK cells (lanes 2–4) transfected with
the pbGFP39b construct. Fractionated proteins from the cellular extracts were probed with anti-gfp and anti-tubulin, the later as loading control. The
migration of the pb-gfp chimera is also indicated. In lane 3, BHK cells have been previously treated with FCCP (4 mM) plus oligomycin (2 mM) for
1 hour. Note the accumulation of pb-gfp. In lane 4, BHK cells treated as in lane 3 were washed for 40 minutes before fractionation. Note the
processing of pb-gfp to mature gfp. doi:10.1371/journal.pone.0000107.g003 Figure 3. The presequence of b-F1-ATPase precursor targets gfp to mitochondria. The expression of gfp in C9 (A,B) and BHK (C) cells was assessed
by fluorescence (A), immunofluorescence (B) and immunoelectron (C) microscopy. A, Illustrates by phase contrast (upper panel) and
immunofluorescence (lower panel) the same low magnification field of C9-pbGFP39b cells. B, C9-pbGFP39b cells analyzed by immunofluorescence
microscopy using anti-b-F1-ATPase antibody at 636 magnification. Upper panel, green gfp fluorescence; middle panel, red b-F1-ATPase
immunostaining; lower panel, yellow merged image. C, Specific immunogold labeling (10 nm gold) of BHK mitochondria (m). Note the lack of gold
labeling of other structures in the cytoplasm or in the nucleus (n) of the cell. D, Western blots of C9 (lane 1) and BHK cells (lanes 2–4) transfected with
the pbGFP39b construct. Fractionated proteins from the cellular extracts were probed with anti-gfp and anti-tubulin, the later as loading control. The 39UTR of b-mRNA controls the accumulation of
the protein at G2/M By the
time cells enter mitosis the mitochondrial tubular network is
disorganized and fission of the thread-like organelles had occurred
with some of the mitochondria already appearing as punctuate
organelles (especially in metaphase) (Fig. 5). During the early
stages of mitosis mitochondria are excluded from the cellular space
where the mitotic spindle is being assembled (prophase) as well as
from the equator of the spindle where the chromosomes line up
(metaphase) (Fig. 5). During anaphase mitochondria still display
a punctuate morphology appearing evenly distributed in the cell
periphery (Fig. 5). By the time of late-anaphase or early-telophase Dynamics of the mitochondrial network during
mitosis The mitochondrial network is a dynamic structure that is
permanently subjected to remodeling by changes in the morphol-
ogy and subcellular localization of the organelles [42]. Organelle
changes are relevant for cellular metabolism [43], the execution of December 2006 | Issue 1 | e107 PLoS ONE | www.plosone.org 5 Biogenesis of Mitochondria Figure 4. The 39UTR of b-F1-ATPase mRNA controls the accumulation of the protein at G2/M. Synchronized C9-pbGFP39b cells (A,B) were
recovered at the indicated time intervals and the relative cellular content of gfp protein (gfp/tubulin ratio) (A) and gfp mRNA (gfp/12S ratio) (B)
determined. The results shown are the means6SEM of three (A) and four (B) experiments. A significant accumulation of gfp protein was observed at
four h after release from the metabolic arrest. *, P,0.0005 when compared with 0–2 h. No significant changes in the cellular abundance of gfp mRNA
was observed during cellular proliferation. C, The upper panel shows a merged image of the immunofluorescence microscopy of C9-pbGFPTfam cells
that illustrates the co-localization of gfp and b-F1-ATPase, thus revealing the efficient targeting of gfp to mitochondria in this cellular clone (for other
details see Fig. 3B). The lower panel shows the western blots of fractionated proteins from cellular extracts of parental C9 (C9), C9-pbGFP39b (39b) and
C9-pbGFPTfam (Tfam) cells simultaneously probed with anti-gfp and anti-tubulin. D, Analysis of gfp expression in C9-pbGFP39b (closed bars) and C9-
pbGFP39Tfam (open bars) cells in the different phases of the cell cycle by flow cytometry. The results shown are the means6SEM of four experiments. *, P,0.05 when compared with C9-pbGFP39b cells and #, P,0.05 when compared S with G2/M in C9-pbGFP39b cells. doi:10.1371/journal.pone.0000107.g004 Figure 4. The 39UTR of b-F1-ATPase mRNA controls the accumulation of the protein at G2/M. Synchronized C9-pbGFP39b cells (A,B) were
recovered at the indicated time intervals and the relative cellular content of gfp protein (gfp/tubulin ratio) (A) and gfp mRNA (gfp/12S ratio) (B)
determined. The results shown are the means6SEM of three (A) and four (B) experiments. A significant accumulation of gfp protein was observed at
four h after release from the metabolic arrest. *, P,0.0005 when compared with 0–2 h. No significant changes in the cellular abundance of gfp mRNA
was observed during cellular proliferation. Dynamics of the mitochondrial network during
mitosis C, The upper panel shows a merged image of the immunofluorescence microscopy of C9-pbGFPTfam cells
that illustrates the co-localization of gfp and b-F1-ATPase, thus revealing the efficient targeting of gfp to mitochondria in this cellular clone (for other
details see Fig. 3B). The lower panel shows the western blots of fractionated proteins from cellular extracts of parental C9 (C9), C9-pbGFP39b (39b) and
C9-pbGFPTfam (Tfam) cells simultaneously probed with anti-gfp and anti-tubulin. D, Analysis of gfp expression in C9-pbGFP39b (closed bars) and C9-
pbGFP39Tfam (open bars) cells in the different phases of the cell cycle by flow cytometry. The results shown are the means6SEM of four experiments. *, P,0.05 when compared with C9-pbGFP39b cells and #, P,0.05 when compared S with G2/M in C9-pbGFP39b cells. doi:10.1371/journal.pone.0000107.g004 DISCUSSION some punctuate mitochondria initiate the repopulation of the
spindle equator after the segregation of the daughter chromosomes
had occurred (Fig. 5). In late-telophase, just before cytokinesis,
mitochondria initiate their change in morphology also appearing
as thread-like structures (Fig. 5). Overall, the cellular distribution
of mitochondria during mitosis appears not to be co-distributed
with the majority of the tubulin and b-actin cytoskeleton (Fig. 5). Of note is the enrichment of b-actin in the cell cortex (the red layer
beneath the plasma membrane) during mitosis (Figs. 5g, 5h) that
governs the formation of filopodia (the thin red stiff protrusions on
Fig. 5g) responsible for promoting the dramatic changes in cell
shape during mitosis (see phase contrast images on supporting
video S1 and Fig. S3). The timing of the biosynthesis of mtDNA in cells of mammals
during progression through the cell-cycle is nowadays a matter of
debate. In this regard, the replication of mtDNA has been
described to proceed continuously during the cycle [48,49] or to
occur at a specific stage of the cycle (late S-G2/M) after most
nDNA synthesis has been completed [50,51]. The lack of
significant changes on the cellular representation of mtDNA in
liver cells during cellular proliferation suggests that mtDNA and
nDNA synthesis is coordinated and supports a concerted trans-
activation of the replication of both genomes [52]. The synchron-
ous replication of both genomes is not incompatible with localized PLoS ONE | www.plosone.org PLoS ONE | www.plosone.org December 2006 | Issue 1 | e107 6 Biogenesis of Mitochondria Figure 5. Morphological changes in the cellular mitochondrial network during mitosis. Synchronized mitochondria-tagged C9-pbGFP39b
were analyzed by immunofluorescence microscopy at four hours after release from the metabolic block. Typical morphologies of cells in inter
(a,f), prophase (b), metaphase (c,g), anaphase (d) and telophase (e,h) are shown at 606magnification. The red fluorescence identifies the cytosk
proteins a-tubulin (a–e) and b-actin (f–h). The green fluorescence identifies mitochondria. The blue fluorescence reveals the stained nuclear DNA
the To-Pro probe. doi:10.1371/journal.pone.0000107.g005 Figure 5. Morphological changes in the cellular mitochondrial network during mitosis. Synchronized mitochondri
were analyzed by immunofluorescence microscopy at four hours after release from the metabolic block. Typical morpho
(a,f), prophase (b), metaphase (c,g), anaphase (d) and telophase (e,h) are shown at 606magnification. The red fluorescen
proteins a-tubulin (a–e) and b-actin (f–h). The green fluorescence identifies mitochondria. The blue fluorescence reveals t
the To-Pro probe. doi:10.1371/journal.pone.0000107.g005 Figure 5. Biogenesis of Mitochondria [53] or delocalized synthesis of mtDNA [49] which might
represent events of mtDNA turnover and/or repair of the
nucleoid. deficiency [30] although such phenotype has been attributed to
a defective import of b-F1-ATPase rather than to the activity of
the 39UTR on translation. Consistent with this essential role of the
39UTR of the transcript in the synthesis of b-F1-ATPase our
efforts to develop a mouse with a genetic deletion on the 39UTR of
the b-F1-ATPase gene by homologous recombination (IngenKO,
Australia) have resulted unsuccessful (data not shown). Consistent with the prominent role played by cardiolipin in
translation of mitochondrial proteins and on the biogenesis of
OXPHOS
complexes
([54–56]
and
references
therein)
we
observed that synthesis of the mitochondrial encoded COXI
protein is fully accounted in S phase concurrently with the
synthesis of cardiolipin and of the nuclear-encoded counterpart
subunit COXIV. However, we observed that a fully developed
DYm is not attained until G2/M (Fig. 2D) [57]. The assembly and
oligomerization of the H+-ATP synthase has been shown to play
a critical role in the folding of the inner membrane into cristae
morphology [58–60]. Moreover, in yeast cells the activity of
the ATPase has been shown to be strictly required for the
maintenance of mitochondrial integrity and mtDNA [61]. It is
thus reasonable to suggest that the synthesis of b-F1-ATPase, and
perhaps of other nuclear-encoded OXPHOS components whose
synthesis is driven at G2/M, could rate-limit the development of
a functional organelle during cellular proliferation. The trans-acting factors of the 39UTR of b-mRNA that have
been shown to control the translation of the mRNA during liver
development [24] and in oncogenesis [25] have poly A binding
activity [70]. Unfortunately, the molecular nature of these RNA
binding proteins still remains elusive. However, we have recently
observed that both a reduced environment and a low ATP/ADP
ratio favor the binding of these proteins to its target [70] what
results in translation masking of the mRNA [22,24,25]. A burst of
mitochondrial respiration has been noted upon serum stimulation
of quiescent mammalian cells [9]. However, progression through
the cell cycle is stringently controlled by the regulation of the
metabolic pathways involved in energy generation [10,11,71]. Biogenesis of Mitochondria Essentially, the ‘‘metabolic cycle’’ during cellular proliferation
alternates between a first oxidative phase that is characterized by the
biosynthesis of many cellular components (G1 phase) and is
supported by the energy derived from mitochondrial activity
followed by a reductive phase were the replication of DNA and the
biosynthesis of mitochondria (S/G2/M phases) is supported by
non-respiratory modes of energy generation [10,11,71]. The
operation of the metabolic cycle in cells of mammals have received
recent support after the observation that cyclin D1 represses
mitochondrial function in vivo [13,14]. We therefore suggest that
control of b-mRNA translation in the reductive phase that prevails
at G2/M should have additional players that control the
interactions of trans-acting factors of the 39UTR with its target
to allow the translation of the mRNA in such unfavorable
metabolic situation. Since the expression of b-F1-ATPase is
down-regulated in most human cancers [38,72] contributing to
tumor progression [38,39,73] we believe that such regulators are
responsible for promoting deregulated b-F1-ATPase expression in
the cancer cell. The regulation of the expression of nuclear and mitochondrial
genes during the cell cycle has been described at both the level of
transcription [15,62,63] and by changes in the half-life of the
mRNAs [15,63–65]. However, the buildup of b-F1-ATPase
during cellular proliferation occurs in the absence of changes in
the cellular abundance of its mRNA consistent with the stringent
translational
control
described
for
this
transcript
[21–25]. Moreover, the expression of a reporter driven from a chimeric
mRNA containing the regulatory 39UTR of b-mRNA recapitu-
lated the same pattern and mechanism of expression of the
endogenous protein during cellular proliferation, providing the
first indication that translation at G2/M is also required for
the synthesis of an essential component of mitochondria, and
supporting that cell-cycle regulated changes in the translational
efficiency of some OXPHOS transcripts play a prominent role in
the biogenesis of mitochondria. It is well established that cap-dependent translation is inhibited
at mitosis as a result of multiple events that lead to the disruption
of the eIF4F complex [66]. At this stage of the cycle cap-
independent translation drives the synthesis of relevant cellular
proteins from a set of internal ribosome entry site (IRES)-
containing mRNAs [67–69]. Consistent with the synthesis of b-F1-
ATPase at G2/M, the translation of b-mRNA has been shown to
have a lesser dependence on eIF4E than other cellular mRNAs
[32]. Biogenesis of Mitochondria Moreover, the 39UTR of b-mRNA acts as a translation
enhancing sequence [24,33] that displays IRES-like activity in
dicistronics constructs [32]. Therefore, an important conclusion
resulting from this work is that the 39UTR-located IRES of
b-mRNA is the target of cell cycle-dependent translational
regulation. Finally, we presume that the rapid changes in mitochondrial
morphology and dynamics that accompany mitosis might be of
relevance for the appropriate segregation of the organelles and
mtDNA into daughter cells during proliferation. We showed that
fission of mitochondria is an early event of mitosis that might be
triggered in response to the signaling cascades that accompany
progression through the cell cycle. In fact, similar rapid fission
events on the mitochondrial network are observed after treatment
of the cells with an inhibitor of protein kinases [6]. Fission of the
organelle is likely to be triggered by proteasomal degradation of
mitofusins [74]. Functionally, fission of mitochondria assures
a stochastic distribution of the organelles within the two daughter
cells by a process that might be actively controlled and mediated
by microtubules [75]. However, it has been reported that after
mitochondrial fission 25–40% of the organelles lack mtDNA [76]. This situation could contribute to the asymmetric segregation of
mtDNA into daughter cells explaining certain mtDNA depletion
syndromes [47]. However, the fusion of mitochondria in late
telophase, just before citokinesis, a process that is controlled by
mitofusins and the development of DYm [77], is likely to
ameliorate the possible unequal distribution of mtDNA during
cellular proliferation. The mammalian b-mRNA was the first nuclear-encoded
transcript of the mitochondria shown to be localized and attached
to the outer mitochondrial membrane [26–28]. Localization/
translation
of the mRNA requires two
cis-acting elements
respectively located in the ORF and in the 39UTR of the mRNA
[29]. The cis-acting element located on the ORF exerts a negative
control on mRNA translation ([24] and Santamaria and Cuezva,
unpublished observation). For efficient translation of b-mRNA it is
required the IRES-like translation enhancing activity of the
39UTR [24,32]. Such translation enhancing activity of the
39UTR of b-mRNA has also been observed in the 39UTRs of
other transcripts involved in the OXPHOS system of mammals
[33] and yeast [31] cells. DISCUSSION Morphological changes in the cellular mitochondrial network during mitosis. Synchronized mitochondria-tagged C9-pbGFP39b cells
were analyzed by immunofluorescence microscopy at four hours after release from the metabolic block. Typical morphologies of cells in interphase
(a,f), prophase (b), metaphase (c,g), anaphase (d) and telophase (e,h) are shown at 606magnification. The red fluorescence identifies the cytoskeletal
proteins a-tubulin (a–e) and b-actin (f–h). The green fluorescence identifies mitochondria. The blue fluorescence reveals the stained nuclear DNA with
the To-Pro probe. doi:10.1371/journal.pone.0000107.g005 December 2006 | Issue 1 | e107 PLoS ONE | www.plosone.org 7 7 Biogenesis of Mitochondria Cell cultures Rat liver clone 9 (C9) and BHK (Baby Hamster Kidney) cells
were grown at 37uC in DMEM with 10% fetal calf serum (FCS)
[6]. Liver C9 cells were arrested at the beginning of S phase by
a double thymidine block. In brief, subconfluent cultures were
treated with 2 mM thymidine for 10 h. Afterwards, the cells
were washed twice with DMEM and then grown for 6 hours in
drug-free medium supplemented with 24 mM 29-deoxycytidine. Cells were arrested for a second time with 2 mM thymidine
for
10 h
and
after
grown
in
DMEM
containing
24 mM
29-deoxycytidine. Flow Cytometry Analysis For the determination of the cellular content of mitochondrial
proteins in the different phases of the cell cycle, ,16106 C9 cells
were washed in ice-cold staining buffer (1% BSA, 1% FCS and
0.01% sodium azide in PBS) and further incubated with primary
monoclonal antibodies against b-F1-ATPase (Molecular Probes,
0.02 mg/ml), Hsp60 (Stressgene, 0.01 mg/ml), COXI and COXIV
(Molecular
Probes,
both
at
0.04 mg/ml)
in
staining
buffer
supplemented with 0.3% saponin. The cells were then washed in
ice-cold PBS-saponin buffer and incubated in the dark for 20 min
with goat anti-mouse IgG conjugated to Alexa 488. Finally, the
cells were resuspended in PBS-staining buffer containing 5 mg/ml
of propidium iodide (Sigma) and 100 mg/ml RNase A and further
incubated for 20 min at 37uC. Mitochondrial membrane potential (DYm) and
mitochondrial mass The fluorescent TMRM+ and NAO probes (Molecular Probes,
Eugene, Oregon) were used to analyze DYm and mitochondrial
mass by flow cytometry, respectively [6]. The cellular fluorescence
intensity was measured using a FACScan flow cytometer (Becton-
Dickinson, San Jose´, CA.). For each analysis 10,000 events were
recorded. Biogenesis of Mitochondria In fact, ablation of the 39UTR in the
yeast
b-F1-ATPase
gene
resulted
in
cells
with
respiratory Overall, we have provided a comprehensive picture of the
biogenesis of mammalian mitochondria during cellular prolifera-
tion and illustrated the relevance of translational control by the
39UTR of an OXPHOS mRNA for the appropriate biogenesis of PLoS ONE | www.plosone.org December 2006 | Issue 1 | e107 8 Biogenesis of Mitochondria Biogenesis of Mitochondria the organelle during cell cycle progression. We hope that these
findings will contribute to the understanding of certain human
pathologies that impinge on organelle malfunction as a result of
deregulated cellular proliferation. DNA constructs and cellular cloning The pJMI-b-F1 plasmid [24], that contains the full-length rat liver
b-F1-ATPase cDNA, was digested with Ban I for obtaining the
fragment encoding the mitochondrial targeting sequence of b-F1-
ATPase. The resulting cDNA fragment was cloned in the Eco 47
III site of plasmids CDL-GFP-b-39UTR and CDL-GFP-Tfam-
39UTR [33], that express chimaeric RNAs of GFP with the 39-
UTRs of b-F1-ATPase and Tfam mRNAs, respectively. The
sequence of the resulting plasmids pb-GFP-b-39UTR and pb-
GFP-Tfam-39UTR, both expressing the same fusion protein
between the mitochondrial targeting sequence of b-F1-ATPase
and GFP (pb-gfp), was verified by automated DNA sequencing. Cells were transfected at 60–80% confluence using 1 ml of
FUGENE 6 (Boehringer Mannheim, Germany) and 0.5 mg of
DNA/16105 cells in 1 ml of culture medium [33]. Positive cells
expressing gfp in their mitochondria were selected by incubation
with 40 mg/ml of geneticin (G-418) (GIBCO) and cloning
cylinders (868 mm). Nucleic acids hybridizations For the determination of the cellular content of the expressed
gfp in C9-pbGFP39b and C9-pbGFP39Tfam cells, ,16106 cells
were fixed with 0.25% paraformaldehyde in PBS for 5 min. After,
the cells were resuspended in 70% ice-cold ethanol, collected by
centrifugation and finally incubated for 30 min at 37uC in PBS
containing 100 mg/ml of RNase A and 20 mg/ml of propidium
iodide. The mean fluorescence intensity of the cells was de-
termined after excitation at a wavelength of 488nm on a FACScan. For computer analysis only the signals from single cells were
considered (10,000 cells/assay). Data analysis was carried out
using Flow Jo 6.4.1 for Mac. DNA and RNA were extracted from C9 cells and processed for
hybridization of nucleic acids onto nylon membranes (GeneSc-
reen) [33]. Membranes were incubated with [32P]dCTP-labeled
DNA probes [25], exposed to X-ray films and analyzed by
densitometry. Cytoplasmic RNA of sorted cells was extracted with
RNeasy mini kit (Qiagen) following the manufacturer instructions. RNA quality was assessed previously to retro-transcription (RT)
with High-Capacity cDNA Archive Kit (Applied Biosystems). qPCR
was
carried
out
on
three
different
RT
reactions. Oligonucleotides used for qPCR amplification were: 59-gcaat-
tattccccatgaacg-39 and 59-gggacttaatcaacgcaagc-39 for 18S rRNA;
59-ggtatggaatcctgtggcatccatgaaa-39 and 59-gtgctaaaacgcagctcag-
taacagtcc-39 for b-Actin mRNA and 59-aaagctggtgcccctgaag-39
and 59-ggagatggtcatagtcacctgct-39 for b-F1-ATPase mRNA. For
qPCR, 5 ng of cDNA (template) and 0.5 mM of each primer
together with Power Sybr Green PCR Master Mix (Applied
Biosystems) were used following the protocol: 109695uC followed
by 20–40 cycles of denaturation (150695uC) and annealing-
elongation (19660uC) with fluorescence acquisition at 60uC. A
melting
curve
(150695uC,
150660uC
and
150695uC)
with
fluorescence acquisition at 60u to 95uC was included in each
qPCR. The amplification efficiency of each primer was empirically
determined and applied to the relative quantification of the data
using qbase software (http://medgen.ugent.be/qbase/). For the separation of the cells in G0/G1, S and G2/M phases of
the cycle, cells were stained for 10 minutes with 5 mg/ml of Hoescht
33342 added to the culture media. Cells (,56106 cells/ml) were
resuspended in PBS containing 5 mM EDTA, 25 mM HEPES
pH 7.0 and the cellular aggregates removed by filtration through
70 mm pore filters. Cells were sorted in a FACSCVantage SE (BD
Biosciences, Erembodegen, Belgium) according to their DNA
content and collected in 0.5 ml of FCS. The purity of each fraction
was assessed in an aliquot of propidium iodide stained cells. Western-blots Cells were recovered from the plates by trypsin treatment, washed
twice with PBS and boiled in loading buffer. Cellular proteins were
fractionated on SDS-12% PAGE and then transferred onto PVDF
membranes for immunoblot analysis [25]. The primary monoclonal
antibodies used were: anti-GFP (Clontech, 1:1000), anti-a-tubulin
(Sigma, 1:1000), anti-hsp60 (Stressgene SPA807, 1:3000), anti-
COXIV (Molecular Probes, 1:100) and anti-cyclin B1 (Santa Cruz
Biotechnology, 1:100). The primary polyclonal antibody used was
anti-b-F1-ATPase (1:30000) [38]. Peroxidase-conjugated anti-mouse
or anti-rabbit IgGs (Nordic Immunology, 1:3000) were used as
secondary antibodies. The blots were developed using the ECLH
reagent (Amersham Pharmacia Biotech, Little Chalfont, U.K.). microscopy py
Cells were fixed in freshly prepared 4% paraformaldehyde in
0.1 M So¨rensen phosphate buffer, pH 7.2, for 2 h at 4uC. The
free-aldehyde groups were quenched with 50 mM ammonium
chloride in PBS for 60 min at 4uC. Samples were dehydrated in
acetone and finally processed for embedding in Lowicryl K4M
(Polysciences Europe, Eppelheim, Germany) [27]. Ultrathin
sections were collected in collodion/carbon-coated nickel grids. Grids were incubated for 5 min with PBS containing 1% BSA and
then incubated with anti-gfp (1:100). After three washes with PBS,
grids were incubated for 45 min with goat anti-rabbit IgGs
conjugated with 10 nm colloidal gold (British BioCell, Cardiff,
UK). The grids were washed twice in PBS and distilled water, and
air-dried. Counterstaining was performed with 2% aqueous uranyl
acetate (6 min) and Reynolds lead citrate (45 s). Observation was
performed in a Jeol 1010 electron microscope under 80 kV
accelerating voltage. Figure S3
Changes in cellular morphology and on the mitochon-
drial network during mitosis. Different time-frames of phase contrast
(left panel) and fluorescence (right panel) images taken from the
supporting video 1 illustrate the changes in cellular morphology and
of the mitochondrial network during mitosis, respectively. a,
interphase; b, prophase; c, prometaphase; d, metaphase; e, anaphase
and f, telophase. Phase contrast images allowed the visualization of
filopodia (b,c) and chromosomes (d,e,f). Found at: doi:10.1371/journal.pone.0000107.s003 (0.65 MB TIF) Figure S3
Changes in cellular morphology and on the mitochon-
drial network during mitosis. Different time-frames of phase contrast
(left panel) and fluorescence (right panel) images taken from the
supporting video 1 illustrate the changes in cellular morphology and
of the mitochondrial network during mitosis, respectively. a,
interphase; b, prophase; c, prometaphase; d, metaphase; e, anaphase
and f, telophase. Phase contrast images allowed the visualization of
filopodia (b,c) and chromosomes (d,e,f). Found at: doi:10.1371/journal.pone.0000107.s003 (0.65 MB TIF) Video S1
Changes in cellular morphology and on the mito-
chondrial network during mitosis. Phase contrast (left panel) and
fluorescence (right panel) images from mitochondria-tagged gfp
C9 cells were obtained every 3 min. The cellular shape changes
dramatically during mitosis. In prophase/prometaphase, the
plasma membrane promotes the protrusion of thin filopodia for
cellular detachment triggering the clustering of mitochondria
towards the cell nuclei. Fission of thread-like mitochondria is
observed as a very early event of the initiation of mitosis (,12–
15 min) and is clearly finalized in metaphase. ACKNOWLEDGMENTS We thank Drs. Carlo M. Di Liegro (University of Palermo) and Fernando
Martı´n (Parque Cientı´fico de Madrid) for his contributions in the initial
development of this project. We thank Mrs. M. Chamorro for technical
assistance. Online supplementary material For live imaging presented in the supplementary video, mito-
chondria-tagged gfp C9 cells were grown on glass plates and live
images were taken in a Cell Observer Zeiss equipment using
a Zeiss Axiovert 200 inverted microscope equipped with a Cool-
snap FX CCD camera (Roper Scientific). Phase contrast and
fluorescence images were taken every 3 min for 20 frames (1 h)
with a 406 objective and a gfp filter. The Metamorph 6.1r6
(Universal Imaging) program was used for image processing. 4. Vogelstein B, Kinzler KW (2004) Cancer genes and the pathways they control.
Nat Med 10: 789–799.
5. Van den Bogert C, Muus P, Haanen C, Pennings A, Melis TE, et al. (1988)
Mitochondrial biogenesis and mitochondrial activity during the progression of
the cell cycle of human leukemic cells. Exp Cell Res 178: 143–153. SUPPORTING INFORMATION Figure S1
Analysis of the level of synchrony in cell cultures. C9
cells were treated as described to induce the arrest of the cell cycle
at the G0/G1-S transition. After the release from the arrest, cells
were grown and analyzed by flow cytometry at different time-
points after DNA staining with propidium iodide. The panels
illustrate the cell cycle profiles of representative experiments for
control, arrested and 2-h and 4-h after the release from the arrest. The graph summarizes the analysis of cell distribution during the
cell cycle of four independent synchronization experiments. Open
squares, control non-arrested cells; closed circles, arrested cells and
closed triangles cells at 4 h after release from the arrest. The results microscopy Some images
representing individual frames of the movie are shown in Fig. S3. Found at: doi:10.1371/journal.pone.0000107.s004 (5.04 MB AVI) Author Contributions Conceived and designed the experiments: JC MM GS AO. Performed the
experiments: MM GS AO. Analyzed the data: JC MM GS AO. Contributed reagents/materials/analysis tools: MM GS AO. Wrote the
paper: JC. 1. Jones RG, Plas DR, Kubek S, Buzzai M, Mu J, et al. (2005) AMP-activated protein
kinase induces a p53-dependent metabolic checkpoint. Mol Cell 18: 283–293.
2. Deshpande A, Sicinski P, Hinds PW (2005) Cyclins and cdks in development and
cancer: a perspective. Oncogene 24: 2909–2915.
3. Hanahan D, Weinberg RA (2000) The hallmarks of cancer. Cell 100: 57–70. Immunofluorescence/confocal microscopy Fluorescence and indirect immunofluorescence microscopy was
performed on mitochondria-tagged gfp C9 cells as recently
described in detail [6]. The primary antibodies used were mouse December 2006 | Issue 1 | e107 PLoS ONE | www.plosone.org 9 Biogenesis of Mitochondria monoclonal anti-a-tubulin and anti-b-actin (both from Sigma,
1:200). The primary polyclonal antibody used was anti-b-F1-
ATPase (1:1000) [38]. After three PBS rinses, the cells were
incubated for 1 h in the dark with goat anti-mouse or goat anti-
rabbit IgGs conjugated to Alexa 594 (Molecular Probes) at 1:1000
dilution. The nuclei were stained with ToPro3 (Molecular Probes). Cellular fluorescence was analyzed by confocal microscopy using
a Biorad Radiance 2000 Zeiss Axiovert S100TV using the following
excitation/emission wave lengths: green (498/516 nm), red (590/
617 nm) and blue (642/661 nm). The fluorescence emission of gfp
was also analyzed in a Leica DMIRB fluorescence microscope
equipped with a gfp excitation filter (Leica, BP 470/40). shown are the means6S.E.M. * and {, P,0.01 when compared
with control and arrested cells, respectively. Found at: doi:10.1371/journal.pone.0000107.s001 (0.17 MB TIF) Figure S2
Accumulation of mitochondrial proteins during the
cell cycle. Determination of the expression level of mitochondrial
proteins was carried out by flow cytometry after the staining of the
cells with specific antibodies against b-F1-ATPase, Hsp60, COXI
and COXIV. Irrelevant isotype-specific IgGs and antibodies
against the T-cell receptor complex (TCRVb 8) were used as
controls. The
histograms
in
(a)
show
the
overlay
of
the
fluorescence intensity of each of the primary antibodies used (in
blue) with the signal provided by the secondary antibody (in red)
for the entire cell population analyzed. The histograms in (b) show
the fluorescence intensity of the cells in G0/G1 (in red), S (in blue)
and G2/M (in green) phases of the cell cycle. The mean
fluorescence intensity for each cellular subpopulation is shown. Representative histograms are shown for each of the conditions
tested. The results illustrate the lack of overlapping of the
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Insights into the Mechanism of Homeoviscous Adaptation to Low Temperature in Branched-Chain Fatty Acid-Containing Bacteria through Modeling FabH Kinetics from the Foodborne Pathogen Listeria monocytogenes
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Frontiers in microbiology
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Keywords: FabH, psychrotolerance, fatty acid biosynthesis, membrane fluidity, kinetic modeling, listeriosis,
branched-chain carboxylic acids HYPOTHESIS AND THEORY
published: 07 September 2016
doi: 10.3389/fmicb.2016.01386 Reviewed by:
Hélène Simonin,
Agrosup Dijon, France
Haihong Wang,
South China Agricultural University,
China
Diego De Mendoza,
Universidad Nacional de Rosario,
Argentina Reviewed by:
Hélène Simonin,
Agrosup Dijon, France
Haihong Wang,
South China Agricultural University,
China
Diego De Mendoza,
Universidad Nacional de Rosario,
Argentina *Correspondence:
Craig Gatto
cgatto@ilstu.edu Specialty section:
This article was submitted to
Food Microbiology,
a section of the journal
Frontiers in Microbiology
Received: 12 May 2016
Accepted: 22 August 2016
Published: 07 September 2016
Citation:
Saunders LP, Sen S, Wilkinson BJ and
Gatto C (2016) Insights into the
Mechanism of Homeoviscous
Adaptation to Low Temperature in
Branched-Chain Fatty
Acid-Containing Bacteria through
Modeling FabH Kinetics from the
Foodborne Pathogen Listeria
monocytogenes. Front. Microbiol. 7:1386. doi: 10.3389/fmicb.2016.01386 Specialty section:
This article was submitted to
Food Microbiology,
a section of the journal
Frontiers in Microbiology Received: 12 May 2016
Accepted: 22 August 2016
Published: 07 September 2016 Edited by:
Christophe Nguyen-The,
Institut National de la Recherche
Agronomique, France The psychrotolerant foodborne pathogen Listeria monocytogenes withstands the stress
of low temperatures and can proliferate in refrigerated food. Bacteria adapt to growth
at low temperatures by increasing the production of fatty acids that increase membrane
fluidity. The mechanism of homeoviscous increases in unsaturated fatty acid amounts in
bacteria that predominantly contain straight-chain fatty acids is relatively well understood. By contrast the analogous mechanism in branched-chain fatty acid-containing bacteria,
such as L. monocytogenes, is poorly understood. L. monocytogenes grows at low
temperatures by altering its membrane composition to increase membrane fluidity,
primarily by decreasing the length of fatty acid chains and increasing the anteiso to
iso fatty acid ratio. FabH, the initiator of fatty acid biosynthesis, has been identified
as the primary determinant of membrane fatty acid composition, but the extent
of this effect has not been quantified. In this study, previously determined FabH
steady-state parameters and substrate concentrations were used to calculate expected
fatty acid compositions at 30◦C and 10◦C. FabH substrates 2-methylbutyryl-CoA,
isobutyryl-CoA, and isovaleryl-CoA produce the primary fatty acids in L. monocytogenes,
i.e., anteiso-odd, iso-even, and iso-odd fatty acids, respectively. In vivo concentrations
of CoA derivatives were measured, but not all were resolved completely. In this case,
estimates were calculated from overall fatty acid composition and FabH steady-state
parameters. These relative substrate concentrations were used to calculate the expected
fatty acid compositions at 10◦C. Our model predicted a higher level of anteiso lipids
at 10◦C than was observed, indicative of an additional step beyond FabH influencing
fatty acid composition at low temperatures. The potential for control of low temperature
growth by feeding compounds that result in the production of butyryl-CoA, the
precursor of SCFAs that rigidify the membrane and are incompatible with growth at low
temperatures, is recognized. INTRODUCTION Such outbreaks are
very expensive, the costs of a 2008 outbreak in Canada being
estimated at $242 million Canadian dollars (Thomas et al., 2015). The
mechanisms
involved
in
changes
in
fatty
acid
composition resulting in increased membrane fluidity are
very different depending on whether the fatty acids of the
bacterium are a mixture of straight-chain saturated fatty acids
(SCFAs) and straight-chain unsaturated fatty acids (SCUFAs), or
are predominately BCFAs. Species that contain primarily SCFAs
and SCUFAs, which include many Gram-negative and some
Gram-positive species, predominately alter fluidity via chain
length and the ratio of SCFA to SCUFA (Zhang and Rock, 2008). In contrast, species with a high proportion of BCFAs, which are
predominately Gram-positive species, alter chain length and the
ratio of anteiso to iso fatty acids (Suutari and Laakso, 1994). Our work is involved in attempting to further understand the
mechanisms underlying changes in fatty acid composition in
L. monocytogenes that allow growth at low temperatures that
may have applicability to BCFA-containing bacteria in general. A critical aspect of L. monocytogenes in its role as a foodborne
pathogen is its ability to grow at refrigeration temperatures and
below to temperatures as low as −0.1◦C (Walker et al., 1990). We have been interested in understanding the mechanisms
underlying how L. monocytogenes copes with the stress of
low temperatures over several years. A critical aspect of the
psychrotolerance of the organism is to adjust its membrane fatty
acid composition to maintain membrane fluidity. The fatty acids
of L. monocytogenes are composed almost entirely of branched-
chain fatty acids (BCFAs), with the three major fatty acids being
the odd-numbered anteiso fatty acids anteiso C15:0 and anteiso
C17:0, and odd-numbered iso fatty acid iso C15:0 (Annous
et al., 1997; Nichols et al., 2002; Zhu et al., 2005). When the
bacterium is grown at low temperatures the content of anteiso
C15:0 rises markedly through a combination of reduction in
fatty acid chain length and branching switching from iso to
anteiso fatty acids (Annous et al., 1997; Nichols et al., 2002; Zhu
et al., 2005). Anteiso fatty acids, which have a methyl branch on
the antepenultimate carbon atom, disrupt the close packing of y
y
g
g
The mechanism by which SCFA- and SCUFA-containing
bacteria increase the proportion of SCUFAs is understood
in considerable detail in Escherichia coli. The major fatty
acids in E. Citation: Saunders LP, Sen S, Wilkinson BJ and
Gatto C (2016) Insights into the
Mechanism of Homeoviscous
Adaptation to Low Temperature in
Branched-Chain Fatty
Acid-Containing Bacteria through
Modeling FabH Kinetics from the
Foodborne Pathogen Listeria
monocytogenes. September 2016 | Volume 7 | Article 1386 Frontiers in Microbiology | www.frontiersin.org 1 Modeling of L. monocytogenes FabH Enzyme Kinetics Saunders et al. INTRODUCTION fatty acyl chains (Willecke and Pardee, 1971; Poger et al., 2014),
resulting in increased membrane fluidity (Edgcomb et al., 2000),
in what is termed homeoviscous adaptation (Sinensky, 1974). The
foodborne
Gram-positive
bacterial
pathogen
Listeria
monocytogenes is the cause of the potentially serious disease
listeriosis that is characterized by a high fatality rate. Detection
of food contamination with L. monocytogenes continues to lead
to large scale food product recalls. Recently, there has been a
multistate outbreak of listeriosis linked to frozen vegetables
(http://www.cdc.gov/listeria/outbreaks) that has resulted in an
extensive recall of 358 consumer frozen vegetable and fruit
products sold under 42 separate brands. Such outbreaks are
very expensive, the costs of a 2008 outbreak in Canada being
estimated at $242 million Canadian dollars (Thomas et al., 2015). A critical aspect of L. monocytogenes in its role as a foodborne
pathogen is its ability to grow at refrigeration temperatures and
below to temperatures as low as −0.1◦C (Walker et al., 1990). We have been interested in understanding the mechanisms
underlying how L. monocytogenes copes with the stress of
low temperatures over several years. A critical aspect of the
psychrotolerance of the organism is to adjust its membrane fatty
acid composition to maintain membrane fluidity. The fatty acids
of L. monocytogenes are composed almost entirely of branched-
chain fatty acids (BCFAs), with the three major fatty acids being
the odd-numbered anteiso fatty acids anteiso C15:0 and anteiso
C17:0, and odd-numbered iso fatty acid iso C15:0 (Annous
et al., 1997; Nichols et al., 2002; Zhu et al., 2005). When the
bacterium is grown at low temperatures the content of anteiso
C15:0 rises markedly through a combination of reduction in
fatty acid chain length and branching switching from iso to
anteiso fatty acids (Annous et al., 1997; Nichols et al., 2002; Zhu
et al., 2005). Anteiso fatty acids, which have a methyl branch on
the antepenultimate carbon atom, disrupt the close packing of The
foodborne
Gram-positive
bacterial
pathogen
Listeria
monocytogenes is the cause of the potentially serious disease
listeriosis that is characterized by a high fatality rate. Detection
of food contamination with L. monocytogenes continues to lead
to large scale food product recalls. Recently, there has been a
multistate outbreak of listeriosis linked to frozen vegetables
(http://www.cdc.gov/listeria/outbreaks) that has resulted in an
extensive recall of 358 consumer frozen vegetable and fruit
products sold under 42 separate brands. Data Modeling Data were modeled according to the Briggs-Haldane mechanism
for all substrates simultaneously using Scheme 1: ES1
k1 ↑↓k−1
k2
−→E + P1
E + S1 + S2 + S3
k−5 ↑↓k5
k3⇄
k−3
ES2
k4
−→E + P2
Scheme 1
ES3
k6
−→E + P3 in which FabH is E; S and P refer to the different substrates and
products, respectively, and k1/k−1, k3/k−3, k5/k−5 refer to the
forward and reverse rates associated with the KM. The values k2,
k4, and k6 are the kcat rate constants for chemical conversion of
the various substrates to their corresponding products. As the
concentration of malonyl-acyl carrier protein, i.e., the second
substrate, was constant for all experiments (Singh et al., 2009), it
was incorporated into the KM and kcat values, reducing the kinetic
mechanism to the Briggs-Haldane equation. Reaction rates were
determined from Singh et al. (2009) with a reverse catalytic rate
of zero. Rates for the initial equilibrium were modeled from the
KM by setting the forward reaction rate to a constant for all
substrates and varying the reverse reaction rate to account for KM
value. Changes to the forward reaction rate did not significantly
affect results (Figure 2B). Not all acyl-CoA substrates could be
separated via HPLC in Singh et al. (2009); thus, temperatures
were compared both under equal substrate conditions and under
the values reported for in vivo conditions. The first condensation reaction in fatty acid biosynthesis is
catalyzed by FabH, which plays a major role in determining
the fatty acids produced by bacteria. The major fatty acids in
L. monocytogenes, which contains almost exclusively BCFAs,
are anteiso odd, iso odd, and iso even fatty acids, which
are biosynthesized from 2-methylbutyryl-CoA (2MB-CoA),
isovaleryl-CoA
(IV-CoA),
and
isobutyryl-CoA
(IB-CoA),
respectively, produced through the activities of branched-chain
amino acid transaminase and branched-chain α–keto acid
dehydrogenase on the branched-chain amino acids isoleucine,
leucine and valine, respectively. Interestingly, a non-native
FabH will switch an organism’s fatty acid composition to
reflect that of the organism from which it originated (Choi
et al., 2000; Li et al., 2005), showing that FabH substrate
specificity plays a major role in fatty acid composition. INTRODUCTION coli grown at 37◦C are C16:0 (45%), C16:119
(35%), and C18:1111 (18%) (Cronan and Rock, 2013). As
growth temperature drops the percentage of C16:0 drops
and C18:119 increases, thereby increasing the proportion of
unsaturated fatty acids and membrane fluidity. The 1 position
of E. coli phospholipids is primarily occupied by C16:0 and
C18:1111 and the C2 position by C16:119. At lower growth
temperatures, C18:119 amounts increase at position 1 and C16:0
decreases (Figure 1). SCUFAs are produced by the activities
of FabA and FabB. FabA dehydrates 3-hydroxyacyl-ACP to FIGURE 1 | Possible structure of phsophatidyl glycerol from (A) predominantly SCFA/SCUFA-containing bacteria and (B) predominantly
BCFA-containing bacteria with particular reference to growth at low temperatures. The fatty acids esterified at the 1- and 2-carbon positions are C18:1111
and C16:119, respectively in (A) and anteiso C15:0 in both positions in (B). FIGURE 1 | Possible structure of phsophatidyl glycerol from (A) predominantly SCFA/SCUFA-containing bacteria and (B) predominantly
BCFA-containing bacteria with particular reference to growth at low temperatures. The fatty acids esterified at the 1- and 2-carbon positions are C18:1111
and C16:119, respectively in (A) and anteiso C15:0 in both positions in (B). September 2016 | Volume 7 | Article 1386 Frontiers in Microbiology | www.frontiersin.org Frontiers in Microbiology | www.frontiersin.org 2 Modeling of L. monocytogenes FabH Enzyme Kinetics Saunders et al. trans-2-enoyl-ACP during fatty acid elongation and at the
10-carbon stage trans-2-deconyl-ACP is isomerized to cis-3-
decenoyl-ACP by FabA (Heath and Rock, 1996). cis-3-decenoyl-
ACP is elongated by FabB rather than the FabF condensing
enzyme to form C16:1-ACP, which is then elongated to 18:1-
ACP prior to its incorporation into phospholipids by FabF. FabF
is subject to thermal regulation and is responsible for increased
C18:1111 in cells grown at low temperatures (de Mendoza et al.,
1983). however, endogenous substrate concentrations measured directly
from L. monocytogenes show that all three branched-chain acyl
Co-A derivatives are present under physiological conditions. Thus, competition exists between these substrates and therefore
the in vivo kinetics must differ from the in vitro determined
kinetic values obtained from individual substrates. In this paper,
we extend the analysis in Singh et al. (2009) via calculations
and simulations to estimate the in vivo kinetic parameters and
preferences of LmFabH. These in vivo substrate preferences
can then be compared to the overall fatty acid composition of
L. monocytogenes, which has been measured under a variety of
conditions. INTRODUCTION Homeoviscous
adaptation
in
BCFA-containing
bacteria
appears to revolve around increasing the content of fatty acid
anteiso C15:0 as exemplified by L. monocytogenes (Annous et al.,
1997), Bacillus subtilis (Klein et al., 1999) and other BCFA-
containing bacteria (Suutari and Laakso, 1994). Unsaturated
fatty acids do not play a major role in homeoviscous lipid
adaptation in BCFA-containing bacteria, which lack the fabA
and fabB genes required for their synthesis (Lu et al., 2004). A cold-inducible system that introduces double bonds into
existing phospholipids in B. subtilis is probably of minor
significance (Cybulski et al., 2002) in long term cold adaptation. In BCFA-containing bacteria including S. aureus, anteiso C15:0
preferentially occupies position 2 in phospholipid molecules and
anteiso C17:0 position 1 (Kaneda, 1991; Parsons et al., 2011). Fatty acid anteiso C15:0 rises to 65% or more of the total fatty
acids in low temperature grown L. monocytogenes (Annous
et al., 1997). It is likely that some of the anteiso C17:0 fatty acid
on position 1 is replaced by anteiso C15:0 (Figure 1). Anteiso
C15:0 then plays a similar role to the SCUFAs in fluidizing the
membrane at low temperatures. We have much less knowledge
of the mechanisms involved in increasing the proportion of
anteiso fatty acids than SCUFAs. Frontiers in Microbiology | www.frontiersin.org RESULTS FabH can utilize both straight- (acetyl-CoA; Ac-CoA) and
branched- (IV-CoA, 2MB-CoA, and IB-CoA) chain substrates;
however, LmFabH greatly prefers branched-chain substrates. The
specific activity of FabH with Ac-CoA is greater than 10-fold
lower than with the three branched substrates (Singh et al., 2009). Simulations based on Scheme 1 show that negligible amounts
of Ac-CoA are utilized when all four substrates are present
in equal concentrations (Figure 2). The presence of Ac-CoA
therefore has nearly no impact on FabH substrate utilization and
was not analyzed in subsequent simulations. FabH’s low affinity
for Ac-CoA agrees well with the native fatty acid composition
of L. monocytogenes, as there are negligible amounts of SCFAs
in its membrane. As Ac-CoA is present at relatively high
concentrations (18.0 µM at 30◦C), lack of this precursor is not
preventing L. monocytogenes from making SCFAs. Rather, our
data suggest that FabH substrate selectivity results in the lack of
SCFAs. FabH can utilize both straight- (acetyl-CoA; Ac-CoA) and
branched- (IV-CoA, 2MB-CoA, and IB-CoA) chain substrates;
however, LmFabH greatly prefers branched-chain substrates. The
specific activity of FabH with Ac-CoA is greater than 10-fold
lower than with the three branched substrates (Singh et al., 2009). Simulations based on Scheme 1 show that negligible amounts
of Ac-CoA are utilized when all four substrates are present
in equal concentrations (Figure 2). The presence of Ac-CoA
therefore has nearly no impact on FabH substrate utilization and
was not analyzed in subsequent simulations. FabH’s low affinity
for Ac-CoA agrees well with the native fatty acid composition
of L. monocytogenes, as there are negligible amounts of SCFAs
in its membrane. As Ac-CoA is present at relatively high
concentrations (18.0 µM at 30◦C), lack of this precursor is not
preventing L. monocytogenes from making SCFAs. Rather, our
data suggest that FabH substrate selectivity results in the lack of
SCFAs. Simulations show FabH prefers 2MB-CoA as a substrate at
both 30◦C and 10◦C with equal substrate concentrations of 2MB-
CoA, IV-CoA, IB-CoA, and Ac-CoA (Figure 2, Table 1). 2MB-
CoA produces anteiso fatty acids, the predominant membrane
fatty acids in L. monocytogenes. The next best substrates only
produce ∼75% (IV-CoA) and ∼50% (IB-CoA) of the 2MB-CoA
product at 30◦C and 10◦C, respectively (Figure 2). Interestingly,
IV-CoA is the second best utilized substrate at 30◦C, but is not
preferred over IB-CoA at 10◦C. RESULTS Forward rates for the pre-kcat equilibrium varied from 0.1 s−1 to 10 s−1
and are color coded from light to dark. LmFabH concentration was 1 µM. Ac-CoA substrate is not shown as it is off scale for the duration of the
experiment; its product is gray (at 0 µM). (B) Rates of substrate hydrolysis and
product formation with equal substrate concentrations (10 µM) at 10◦C. IB-CoA is orange and its product purple; IV-CoA is black and its product red;
2MB-CoA is green and its product blue. Forward rates for the pre-kcat
equilibrium were set to 10 s−1. LmFabH concentration was 1 µM. FIGURE 2 | Rates of FabH activity with branched substrates at 30◦C In the simplest model for the determination of fatty acid
composition, only FabH contributes to fatty acid composition
and that composition reflects the substrate concentrations and
FabH’s enzymatic properties. This hypothesis is described by
Scheme 1. To determine the validity of this hypothesis, substrate
concentrations are needed for FabH’s three main substrates. While Singh et al. (2009) measured endogenous substrate
concentrations in vivo, not all substrates were resolved. For
instance, butyryl-CoA (B-CoA) could not be separated from
IB-CoA, and 2MB-CoA could not be separated from IV-
CoA. Substrate concentrations were therefore varied within
the range of values measured in Singh et al. (2009) to
see if the data from the substrate concentrations, enzymatic
parameters, and fatty acid composition could be described by
the model (Scheme 1). As SCFAs (i.e., the products from B-
CoA) are present only in low amounts in L. monocytogenes,
B-CoA is not expected to contribute significantly to the
fatty acid profile. Thus, the in vivo amount of IB-CoA
can be estimated directly from the membrane fatty acid
composition. and using the Briggs-Haldane rather than the Michaelis-Menten
constants. Data Modeling We
have examined the kinetics of LmFabH at high and low
temperatures and have provided evidence that the enzyme
shows an increased preference for 2MB-CoA at 10◦C compared
to 30◦C, which likely contributes to increased production
of anteiso fatty acids at low temperatures (Singh et al.,
2009). Composite steady-state parameters were calculated from the
steady-state parameters of the individual substrates in Singh et al. (2009) using the equation: VS1
[E] =
Vmax[S1]
[S1] + KM1(1 + [S2]
KM2 + [S3]
KM3 )
(1) (1) in which VS1 is the velocity of hydrolysis of substrate 1 and S
and KM correspond to the concentration and measured KM of
the species denoted in the subscript, respectively. This equation
is modified from the equation for two competitive inhibitors
(Segel, 1975) by replacing the inhibitors with substrates 2 and 3 Singh et al. (2009) measured LmFabH kinetics and substrate
concentrations at 30◦C and 10◦C to determine the role of
FabH in the changes in relative fatty acid proportions at low
temperatures in L. monocytogenes. These kinetic data describe
the mechanism of FabH when only one substrate is present; September 2016 | Volume 7 | Article 1386 3 Modeling of L. monocytogenes FabH Enzyme Kinetics Saunders et al. FIGURE 2 | Rates of FabH activity with branched substrates at 30◦C
and 10◦C. (A) Rates of substrate hydrolysis and product formation with equal
substrate concentrations (10 µM) at 30◦C. IB-CoA is orange and its product
purple; IV-CoA is black and its product red; 2MB-CoA is green and its product
blue. Forward rates for the pre-kcat equilibrium varied from 0.1 s−1 to 10 s−1
and are color coded from light to dark. LmFabH concentration was 1 µM. Ac-CoA substrate is not shown as it is off scale for the duration of the
experiment; its product is gray (at 0 µM). (B) Rates of substrate hydrolysis and
product formation with equal substrate concentrations (10 µM) at 10◦C. IB-CoA is orange and its product purple; IV-CoA is black and its product red;
2MB-CoA is green and its product blue. Forward rates for the pre-kcat
equilibrium were set to 10 s−1. LmFabH concentration was 1 µM. RESULTS As IV-CoA is converted into iso-
odd fatty acids, this modeled decrease in preference likely reveals
the reason for observed lower proportion of these fatty acids at
low temperatures (Annous et al., 1997; Nichols et al., 2002; Zhu
et al., 2005). FIGURE 2 | Rates of FabH activity with branched substrates at 30◦C
and 10◦C. (A) Rates of substrate hydrolysis and product formation with equal
substrate concentrations (10 µM) at 30◦C. IB-CoA is orange and its product
purple; IV-CoA is black and its product red; 2MB-CoA is green and its product
blue. Forward rates for the pre-kcat equilibrium varied from 0.1 s−1 to 10 s−1
and are color coded from light to dark. LmFabH concentration was 1 µM. Ac-CoA substrate is not shown as it is off scale for the duration of the
experiment; its product is gray (at 0 µM). (B) Rates of substrate hydrolysis and
product formation with equal substrate concentrations (10 µM) at 10◦C. IB-CoA is orange and its product purple; IV-CoA is black and its product red;
2MB-CoA is green and its product blue. Forward rates for the pre-kcat
equilibrium were set to 10 s−1. LmFabH concentration was 1 µM. FIGURE 2 | Rates of FabH activity with branched substrates at 30◦C
and 10◦C. (A) Rates of substrate hydrolysis and product formation with equal
substrate concentrations (10 µM) at 30◦C. IB-CoA is orange and its product
purple; IV-CoA is black and its product red; 2MB-CoA is green and its product
blue. Forward rates for the pre-kcat equilibrium varied from 0.1 s−1 to 10 s−1
and are color coded from light to dark. LmFabH concentration was 1 µM. Ac-CoA substrate is not shown as it is off scale for the duration of the
experiment; its product is gray (at 0 µM). (B) Rates of substrate hydrolysis and
product formation with equal substrate concentrations (10 µM) at 10◦C. IB-CoA is orange and its product purple; IV-CoA is black and its product red;
2MB-CoA is green and its product blue. Forward rates for the pre-kcat
equilibrium were set to 10 s−1. LmFabH concentration was 1 µM. FIGURE 2 | Rates of FabH activity with branched substrates at 30◦C
and 10◦C. (A) Rates of substrate hydrolysis and product formation with equal
substrate concentrations (10 µM) at 30◦C. IB-CoA is orange and its product
purple; IV-CoA is black and its product red; 2MB-CoA is green and its product
blue. Determination of Fatty Acid Composition L. monocytogenes strain 10403S was grown in Brain Heart
Infusion (BHI) media at 30◦C, under conditions identical
to those in Sen et al. (2015). L. monocytogenes was grown
concurrently in unsupplemented BHI and BHI supplemented
with increasing amounts of the lipid precursors 2-methylbutyrate
(2MB), isovalerate (IV), isobutyrate (IB), and butyrate (B), that
act as precursors for biosynthesis of odd-numbered anteiso, odd-
numbered iso, even-numbered iso BCFAs and even-numbered
SCFAs, respectively (Julotok et al., 2010). L. monocytogenes
cultures were harvested in exponential phase and the fatty acid
compositions were determined as described by Zhu et al. (2005). Figure 3 shows a model depicting the expected relative
concentrations of fatty acids for varying IV-CoA and 2MB-CoA
concentrations. As IB-CoA concentration is not changing,
the amount of iso-even fatty acids produced changes much
less than either anteiso- or iso-odd fatty acids. An IB-CoA Frontiers in Microbiology | www.frontiersin.org September 2016 | Volume 7 | Article 1386 4 Modeling of L. monocytogenes FabH Enzyme Kinetics Saunders et al. TABLE 1 | Normalized amount of product produced at various temperatures and substrate concentrations by FabH activity. Temperature (◦C)
Substrate
Independent calculations
Dependent calculations
Dependent calculations
(Singh et al., 2009) (%)
(3 substrate model) (%)
(2 substrate model) (%)
30
IV-CoA
29.8
33.3
n/a
2MB-CoA
53.2
51.4
80.5
IB-CoA
17.0
15.3
19.6
10
IV-CoA
14.3
9.0
n/a
2MB-CoA
57.1
63.7
71.1
IB-CoA
28.6
27.4
28.9
Calculations were done using Equation (1), with no substrate inhibition, equal amounts of 2MB-CoA and IV-CoA (i.e., 2.85 µM 2MB-CoA and 2.85 µM IV-CoA at 30◦C), and the extreme
case in which only 2MB-CoA is present with no IV-CoA. | Normalized amount of product produced at various temperatures and substrate concentrations by FabH activity. FIGURE 3 | Percent product produced by FabH with varying
concentrations of IV-CoA and 2MB-CoA. (A) Fraction of product based on
concentrations and kinetic parameters at 30◦C. Product amounts are
calculated from Equation (1). Total IV-CoA and 2MB-CoA concentration is
5.7 µM, thus the [2MB-CoA] = 5.7µM – [IV-CoA]. IB-CoA concentration is
0.9 µM. (B) Fraction of product based on concentrations and kinetic
parameters at 10◦C. Product amounts are calculated from Equation (1). Total
IV and 2MB concentration is 0.8 µM, thus the [2MB-CoA] = 0.8µM – [IV-CoA]. IB-CoA concentration is 0.149 µM. concentration of 0.9 µM would result in the observed amount
of ∼5% even-numbered iso-fatty acids at 30◦C (Figure 3A). Determination of Fatty Acid Composition At 10◦C, an equivalent ratio of IB-CoA:B-CoA was used to
model lipid composition which resulted in slightly higher
iso-even
fatty
acid concentrations of
∼10% (Figure 3B). This is a higher concentration of iso-even fatty acids than
is observed experimentally (Annous et al., 1997; Nichols
et al., 2002; Zhu et al., 2005). Therefore, while the model
can describe experimental data obtained at 30◦C, the model
cannot describe the fatty acid composition experimentally
observed
at
both
temperatures
without
changes
in
the
relative substrate concentrations. Specifically, iso-even fatty
acid levels have never been reported as high as 10% as
predicted by the model at 10◦C (Figure 3B); thus, the easiest
resolution to this discrepancy is that in vivo an additional
step regulates either the supply of acyl-CoA precursors to
FabH or the incorporation of iso-even fatty acids into the lipid
bilayer. y
As for the 2MB-CoA and IV-CoA concentrations, in BHI
media at 30◦C, the proportions of anteiso and iso odd fatty
acids are 81.5 and 13.8%, respectively, giving a product ratio
of 5.9 (Zhu et al., 2005). Modeling at 30◦C suggests this
product ratio of fatty acids occurs at 1.4 µM IV-CoA and
4.3 µM 2MB-CoA, a substrate ratio of 3.0. Thus, there is
good agreement between the model and measured fatty acid
content at 30◦C. If changes in FabH’s substrate preferences
alone are responsible for the differences in the lipid profile,
then the 10◦C fatty acid ratio (i.e., 7.5) should correspond to
the same substrate ratio (3.0). However, at 10◦C a substrate
ratio of 3.0 (i.e., 0.2 µM IV-CoA, 0.6 µM 2MB-CoA) produces
a calculated fatty acid product ratio of 19.5, which greatly
exceeds what is observed (Annous et al., 1997; Nichols et al.,
2002; Zhu et al., 2005). This dichotomy between the model
and the actual fatty acid composition measured suggests that
FabH, although critical in determining final membrane fatty
acid content, may not be the sole regulatory step involved. The simplest explanation for the substantial overestimated
anteiso fatty acid content predicted by the model is that an
additional regulatory step alters either the concentration of
acyl-CoA precursors, or a later regulatory step regulates the
amount of anteiso fatty acids that get incorporated into the FIGURE 3 | Percent product produced by FabH with varying
concentrations of IV-CoA and 2MB-CoA. (A) Fraction of product based on
concentrations and kinetic parameters at 30◦C. Product amounts are
calculated from Equation (1). DISCUSSION B-CoA appears to be a
better FabH substrate than Ac-CoA, as more of it is incorporated
into the membrane fatty acids than predicted from Ac-CoA y g
In order to model fatty acid composition with additional
substrates in the growth media, one must have an estimate of
the amount of available cellular substrate. Millimolar quantities
of fatty acid precursors are usually added to produce fatty
acid composition changes (Julotok et al., 2010). This implies
that only low levels of fatty acid precursors are converted into
fatty acids, consistent with our finding that only ∼0.2% of
exogenously supplemented precursors was available to FabH. It is not yet known whether this limitation is due to slow
precursor uptake by the cell or another slow enzymatic step in
producing the CoA derivatives of the various precursors. All four
exogenous precursors appear to be equally available to FabH, as
the percentage of available substrate was the same for all four
substrates. This percentage would be expected to change if the
substrate concentrations were tightly regulated, so it appears that
there is little regulation of substrate concentrations at 30◦C. FIGURE 4 | Membrane fatty acid composition changes upon fatty acid
precursor addition. 0, 25, 75, 250, and 500 uM of 2MB (green), IV (black), IB
(red), and B (blue) were added to L. monocytogenes cultures and the fatty acid
compositions were determined. The increase in the fatty acid precursor’s fatty
acid product was measured and modeled using FabH substrate preferences
(triangles, lighter colors). g
An increase in anteiso fatty acids at the expense of iso-
odd fatty acids at lower temperatures is clearly shown in
our model; however, the extent of replacement predicted by
the model exceeds that seen in vivo. Our model assumes
no change in the relative amounts of IV-CoA and 2MB-
CoA under different temperature conditions; however, the
concentrations of IV-CoA and 2MB-CoA were not separable
in Singh et al. (2009). Thus, the deviation from the model
may reflect alterations in relative substrate amounts, which
would be compatible both with the data and our model. Alternatively, an upstream step from FabH that leads to the
production of the CoA substrates may also be temperature
dependent. The IV-CoA pool must increase from ∼1/3 at 30◦C
to ∼2/3 of the IV-CoA / 2MB-CoA pool at 10◦C to fit the
ratio seen in the fatty acid composition data. DISCUSSION To further investigate the effects of FabH, L. monocytogenes
was cultured in medium supplemented with fatty acid precursors
and the effects on fatty acid composition were observed. Concentrations of fatty acid precursors were small enough that
no effect on bacterial growth was observed (data not shown). The amount of exogenously added short-chain carboxylic
acid made available to FabH as the corresponding CoA
derivative is uncertain which hampers our calculations. Thus,
we necessarily assume that the partitioning of the substrate
is a consistent percentage of the exogenously added precursor
which becomes available to FabH. This percentage of available
substrate was added to the model as an additional variable
in our calculations (i.e., 2MB + x%∗[exogenous 2MB]) and
simulations of fatty acid composition were run using this
equation. FabH plays an integral role in determining membrane fatty
acid composition in L. monocytogenes, as it does for other
bacteria (Choi et al., 2000; Cronan, 2003). In this report, we
modeled the activity of FabH at both 30◦C and 10◦C and found
a qualitative explanation for the fatty acid profile change that
occurs in this organism between high and low temperatures. This provides confidence that FabH is one of the enzymes that
promotes growth at low temperatures for L. monocytogenes via
increases in membrane fluidity. However, our model does not
quantitatively mimic the exact distribution fractions of fatty
acids at both temperatures, suggesting that another enzyme
combines with FabH to produce the final membrane composition
in L. monocytogenes. The effect of precursor addition (i.e., 2MB, IV, IB, and
B) on the fatty acid composition of L. monocytogenes was
measured, and the amount of available substrate was calculated
from fatty acid composition. Based on our model, 0.2% of the
exogenously added substrate is available to FabH under steady-
state conditions, and substrate identity does not affect substrate
availability (Figure 4). The increase in the associated product was
measured for each fatty acid precursor added, and the data are
well described by the model (Figure 4). As the kinetic parameters
for B were not measured in Singh et al. (2009), the Ac-CoA
parameters were instead used in the fitting. Determination of Fatty Acid Composition Total IV-CoA and 2MB-CoA concentration is
5.7 µM, thus the [2MB-CoA] = 5.7µM – [IV-CoA]. IB-CoA concentration is
0.9 µM. (B) Fraction of product based on concentrations and kinetic
parameters at 10◦C. Product amounts are calculated from Equation (1). Total
IV and 2MB concentration is 0.8 µM, thus the [2MB-CoA] = 0.8µM – [IV-CoA]. IB-CoA concentration is 0.149 µM. FIGURE 3 | Percent product produced by FabH with varying
concentrations of IV-CoA and 2MB-CoA. (A) Fraction of product based on
concentrations and kinetic parameters at 30◦C. Product amounts are
calculated from Equation (1). Total IV-CoA and 2MB-CoA concentration is
5.7 µM, thus the [2MB-CoA] = 5.7µM – [IV-CoA]. IB-CoA concentration is
0.9 µM. (B) Fraction of product based on concentrations and kinetic
parameters at 10◦C. Product amounts are calculated from Equation (1). Total
IV and 2MB concentration is 0.8 µM, thus the [2MB-CoA] = 0.8µM – [IV-CoA]. IB-CoA concentration is 0.149 µM. FIGURE 3 | Percent product produced by FabH with varying
concentrations of IV-CoA and 2MB-CoA. (A) Fraction of product based on
concentrations and kinetic parameters at 30◦C. Product amounts are
calculated from Equation (1). Total IV-CoA and 2MB-CoA concentration is
5.7 µM, thus the [2MB-CoA] = 5.7µM – [IV-CoA]. IB-CoA concentration is
0.9 µM. (B) Fraction of product based on concentrations and kinetic
parameters at 10◦C. Product amounts are calculated from Equation (1). Total
IV and 2MB concentration is 0.8 µM, thus the [2MB-CoA] = 0.8µM – [IV-CoA]. IB-CoA concentration is 0.149 µM. September 2016 | Volume 7 | Article 1386 Frontiers in Microbiology | www.frontiersin.org 5 Modeling of L. monocytogenes FabH Enzyme Kinetics Saunders et al. kinetic parameters. 2MB-CoA, IV-CoA, and IB-CoA percentages
are well described by FabH preference. kinetic parameters. 2MB-CoA, IV-CoA, and IB-CoA percentages
are well described by FabH preference. lipid bilayer. As with IB-CoA, the model describes the data at
30◦C, but cannot describe the data at both temperatures, and
thus another step must be involved in determining fatty acid
composition. REFERENCES acid composition of Listeria monocytogenes at 37 and 10◦C. Appl. Environ. Microbiol. 76, 1423–1432. doi: 10.1128/AEM.01592-09 acid composition of Listeria monocytogenes at 37 and 10◦C. Appl. Environ. Microbiol. 76, 1423–1432. doi: 10.1128/AEM.01592-09 Annous, B. A., Becker, L. A., Bayles, D. O., Labeda, D. P., and Wilkinson, B. J. (1997). Critical role of anteiso-C15:0 fatty acid in the growth of Listeria
monocytogenes at low temperatures. Appl. Environ. Microbiol. 63, 3887–3894. Kaneda, T. (1991). Iso- and anteiso-fatty acids in bacteria: biosynthesis, function,
and taxonomic significance. Microbiol. Rev. 55, 288–302. Klein, W., Weber, M. H. W., and Marahiel, M. A. (1999). Cold shock response
of Bacillus subtilis: isoleucine-dependent switch in the fatty acid branching
pattern for membrane adaptation to low temperature. J. Bacteriol. 181,
5341–5349. Choi, K. H., Heath, R. J., and Rock, C. O. (2000). β-ketoacyl-acyl carrier protein
synthase III (FabH) is a determining factor in branched-chain fatty acid
biosynthesis. J. Bacteriol. 182, 365–370. doi: 10.1128/JB.182.2.365-370.2000 Cronan, J. E. (2003). Bacterial membrane lipids: where do we stand? Annu. Rev. Microbiol. 57, 203–224. doi: 10.1146/annurev.micro.57.030502.090851 Li, Y., Florova, G., and Reynolds, K. A. (2005). Alteration of the fatty acid profile
of Streptomyces coelicolor by replacement of the initiation enzyme 3-ketoacyl Li, Y., Florova, G., and Reynolds, K. A. (2005). Alteration of the fatty acid profile
of Streptomyces coelicolor by replacement of the initiation enzyme 3-ketoacyl
acyl carrier protein synthase III (FabH). J. Bacteriol. 187, 3795–3799. doi:
10.1128/JB.187.11.3795-3799.2005 Cronan, J. E., and Rock, C. O. (2013). Biosynthesis of membrane lipids. EcoSal Plus
3, 1–44. doi: 10.1128/ecosalplus.3.6.4 acyl carrier protein synthase III (FabH). J. Bacteriol. 187, 3795–3799. doi:
10.1128/JB.187.11.3795-3799.2005 Lu, Y.-J., Zhang, Y.-M., and Rock, C. O. (2004). Product diversity and regulation
of type II fatty acid synthases. Biochem. Cell Biol. 82, 145–155. doi: 10.1139/
o03-076 Cybulski, L. E., Albanesi, D., Mansilla, M. C., Altabe, S., Aguilar, P. S., and
de Mendoza, D. (2002). Mechanism of membrane fluidity optimization:
isothermal control of the Bacillus subtilis acyl-lipid desaturase. Mol. Microbiol. 45, 1379–1388. doi: 10.1046/j.1365-2958.2002.03103.x Nichols, D. S., Presser, K. A., Olley, J., Ross, T., and McMeekin, T. A. (2002). Variation of branched-chain fatty acids marks the normal physiological range
for growth in Listeria monocytogenes. Appl. Environ. Microbiol. 68, 2809–2813. doi: 10.1128/AEM.68.6.2809-2813.2002 de Mendoza, D., Klages Ulrich, A., and Cronan, J. E. (1983). Thermal regulation
of membrane fluidity in Escherichia coli. Effects of overproduction of beta-
ketoacyl-acyl carrier protein synthase I. J. Biol. Chem. 258, 2098–2101. FUNDING This work was supported by grant R15-AI099977 from the
National Institute of Health to BW and R15-GM61583 to CG. This work was supported by grant R15-AI099977 from the
National Institute of Health to BW and R15-GM61583 to CG. DISCUSSION This requires a
significant change in an earlier step in fatty acid production,
and thus an additional enzyme that helps control fatty acid
composition in L. monocytogenes. If substrate concentrations
are not temperature dependent, a downstream step from
FabH could selectively prefer iso-odd fatty acids at lower
temperatures to regulate a possible overproduction of anteiso
fatty acid precursors by the enzyme. The lower than predicted FIGURE 4 | Membrane fatty acid composition changes upon fatty acid
precursor addition. 0, 25, 75, 250, and 500 uM of 2MB (green), IV (black), IB
(red), and B (blue) were added to L. monocytogenes cultures and the fatty acid
compositions were determined. The increase in the fatty acid precursor’s fatty
acid product was measured and modeled using FabH substrate preferences
(triangles, lighter colors). September 2016 | Volume 7 | Article 1386 Frontiers in Microbiology | www.frontiersin.org 6 Modeling of L. monocytogenes FabH Enzyme Kinetics Saunders et al. incorporation of anteiso fatty acids could be an adaptation for
a rapid response to temperature change; when the temperature
decreases, e.g., the cells need additional anteiso fatty acids,
and FabH’s preference for 2MB-CoA could be modulated via a
feedback mechanism once the appropriate level of anteiso fatty
acids are synthesized. regulated. FabH substrate preference plays a significant role in
L. monocytogenes survival at low temperatures, and methods
can be devised to exploit this step to control L. monocytogenes
growth. Similarly, identifying the enzymatic processes in
addition to FabH that control the levels of lipid bilayer
BCFA content may also reveal potential targets for controlling
growth of this organism at low temperatures. For example,
fatty acid composition can be modified by manipulation of
precursor concentrations (Julotok et al., 2010) and encouraging
the biosynthesis of SCFAs that are derived from B-CoA
would decrease the growth of L. monocytogenes at low
temperatures. CONCLUSION No other studies have measured endogenous FabH substrate
concentrations, so there is no basis for comparison to determine
how well FabH substrate preference in other organisms compares
to final fatty acid composition. In this study, fatty acid
composition was calculated from FabH substrate preferences
and composition, and the differences between this model and
the actual fatty acid compositions of L. monocytogenes were
compared. The data presented here suggest that FabH is the
primary controller of fatty acid composition in L. monocytogenes. FabH preference can be used to predict fatty acid composition
at 30◦C with and without added substrates, and qualitatively
predict temperature induced changes in fatty acid composition. However, an additional control step beyond FabH alone is
required to adequately predict fatty acid composition changes at
lower temperatures. AUTHOR CONTRIBUTIONS CG: Designed experiments, evaluated and interpreted data,
contributed extensively to the writing of the manuscript,
supported
the
science
with
grant
funds. BW:
Designed
experiments,
evaluated
and
interpreted
data,
contributed
extensively to the writing of the manuscript, supported the
science with grant funds. LS: Developed the kinetic model,
ran simulations, evaluated and interpreted data, contributed
extensively to the writing of the manuscript. SS: Grew strains
of L. monocytogenes, carried out fatty acid analyses, helped with
data interpretation. Further in the type II fatty acid biosynthesis pathway
is the rate limiting enzyme FabI (enoyl-ACP reductase). Schiebel et al. (2012) reported the ratio of specificity constants
of FabI from S. aureus (a BCFA-containing gram-positive
bacterium) was 1:24:1, straight: iso: anteiso. This is a potential
candidate for a further control point that could be temperature REFERENCES Parsons, J. B., Frank, M. W., Subramanian, C., Saenkham, P., and Rock, C. O. (2011). Metabolic basis for the differential susceptibility of Gram-positive
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13560 Copyright © 2016 Saunders, Sen, Wilkinson and Gatto. This is an open-access article
distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the
original author(s) or licensor are credited and that the original publication in this
journal is cited, in accordance with accepted academic practice. No use, distribution
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Review
published: 18 January 2016
doi: 10.3389/fpsyt.2015.00188 Review published: 18 January 2016
doi: 10.3389/fpsyt.2015.00188 Theory of Mind in Bipolar Disorder,
with Comparison to the impairments
Observed in Schizophrenia Rachel L. C. Mitchell* and Allan H. Young
Institute of Psychiatry, Psychology & Neuroscience, King’s College London, London, UK Our ability to make sense of information on the potential intentions and dispositions of
others is of paramount importance for understanding their communicative intent, and
for judging what an appropriate reaction might be. Thus, anything that impinges on this
ability has the potential to cause significant social impairment, and compromise an indi-
vidual’s level of functioning. Both bipolar disorder and schizophrenia are known to feature
theory of mind impairment. We conducted a theoretical review to determine the extent
and types of theory of mind impairment in bipolar disorder, and evaluate their relationship
to medication and symptoms. We also considered possible mediatory mechanisms, and
set out to discover what else could be learnt about the impairment in bipolar disorder
by comparison to the profile of impairment in schizophrenia. The literature established
that in bipolar disorder (i) some form of theory of mind impairment has been observed
in all mood states, including euthymia, (ii) the form of theory of mind assessed and task
used to make the assessment influence the impairment observed, and (iii) there might
be some relationship to cognitive impairment, although a relationship to standard clinical
variables was harder to establish. What also became clear in the literature on bipolar
disorder itself was the possible relationship of theory of mind impairment to history of
psychotic symptoms. Direct comparative studies, including patients with schizophrenia,
were thus examined, and provided several important directions for future research on
the bases of impairment in bipolar disorder. Particularly prominent was the issue of
whether theory of mind impairment could be considered a candidate endophenotype
for the psychoses, although current evidence suggests that this may be premature. The
differences in impairment across schizophrenia and bipolar disorder may, however, have
genuine differential effects on social functioning and the likely success of remediation. Edited by:
Tamsyn Elizabeth Van Rheenen,
University of Melbourne, Australia Reviewed by:
Peter Kirsch,
Zentralinstitut für Seelische
Gesundheit, Germany
Casimiro Cabrera Abreu,
Queen’s University and Providence
Care, Canada *Correspondence:
Rachel L. C. Mitchell
rachel.mitchell@kcl.ac.uk *Correspondence:
Rachel L. C. Mitchell
rachel.mitchell@kcl.ac.uk Specialty section:
This article was submitted to Affective
Disorders and Psychosomatic
Research,
a section of the journal
Frontiers in Psychiatry
Received: 23 October 2015
Accepted: 27 December 2015
Published: 18 January 2016
Citation:
Mitchell RLC and Young AH (2016)
Theory of Mind in Bipolar Disorder,
with Comparison to the Impairments
Observed in Schizophrenia. Front. Psychiatry 6:188. doi: 10.3389/fpsyt.2015.00188 Keywords: bipolar disorder, psychoses, schizophrenia, social cognition, theory of mind “Social cognition” describes the mental operations that underlie social interactions, including
perceiving, interpreting, and generating responses to the intentions, dispositions, and behaviors of
others (1). “Theory of mind” is a crucial facet of social cognition, and can be defined as the ability
to infer and predict the intentions, thoughts, desires, intuitions, behavioral reactions, plans, and
beliefs of other people (1–3), through an awareness that others have a mind with mental states,
information, and motivations that may differ from one’s own (4, 5). Here, cognitive theory of mind
refers to the ability to make inferences about other people’s beliefs, whereas affective theory of mind
refers to the ability to make inferences about other people’s feelings. A prominent feature of bipolar
disorder is its significant negative impact on work-related, interpersonal, and leisure activities (6). As “Social cognition” describes the mental operations that underlie social interactions, including
perceiving, interpreting, and generating responses to the intentions, dispositions, and behaviors of
others (1). “Theory of mind” is a crucial facet of social cognition, and can be defined as the ability
to infer and predict the intentions, thoughts, desires, intuitions, behavioral reactions, plans, and
beliefs of other people (1–3), through an awareness that others have a mind with mental states,
information, and motivations that may differ from one’s own (4, 5). Here, cognitive theory of mind
refers to the ability to make inferences about other people’s beliefs, whereas affective theory of mind
refers to the ability to make inferences about other people’s feelings. A prominent feature of bipolar
disorder is its significant negative impact on work-related, interpersonal, and leisure activities (6). As Edited by:
Tamsyn Elizabeth Van Rheenen,
University of Melbourne, Australia Edited by:
Tamsyn Elizabeth Van Rheenen,
University of Melbourne, Australia Edited by:
Tamsyn Elizabeth Van Rheenen,
University of Melbourne, Australia Citation: Mitchell RLC and Young AH (2016)
Theory of Mind in Bipolar Disorder,
with Comparison to the Impairments
Observed in Schizophrenia. Front. Psychiatry 6:188. doi: 10.3389/fpsyt.2015.00188 January 2016 | Volume 6 | Article 188 Frontiers in Psychiatry | www.frontiersin.org 1 Bipolar Disorder – Theory of Mind Mitchell and Young theory of mind is so central to human life, any impairment of this
cognitive capacity can only be detrimental to social functioning
(7). The initial aim of this review is to further characterize the
socio-cognitive profiles of patients with bipolar disorder by con-
ducting a critical review of theory of mind in this patient group. This aim will be achieved via the presentation and synthesis of
currently available published evidence. In recent years, a number
of reviews have either had to present broad overviews of theory of
mind and other related social skills (8–12), or evaluate evidence
from a range of related diagnostic groups (13, 14). However, the
recent surge of publications focused on theory of mind in bipolar
disorder allows us to now present a more focused synopsis. In
order to collate this evidence, a systematic search of the literature
was conducted using the PsychINFO and Medline databases,
covering the period from 1975 up to September 2015. The search
terms used in examining these databases were [bipolar AND
(disorder OR depression)] OR (mania OR manic) OR (euthymia
OR euthymic) OR [(mood OR affective) AND disorder] AND
[(“theory of mind”) OR mindedness OR mentalizing OR mental-
izing]. Review articles touching on social cognition in bipolar
disorder were also examined to check for studies not captured
by the search above, through backward citation searching. After
reviewing the literature gathered by these means, the following
areas of discussion were identified.i first tackle this question by reviewing studies of bipolar disorder,
which have compared the profile of impairment of theory of mind
in bipolar patients who do and do not present with psychosis. We
then move on to assessing studies that have explicitly contrasted
theory of mind in schizophrenia vs. those in bipolar disorder. It
is clear that theory of mind impairments in schizophrenia appear
more severe than those in bipolar disorder. Reasons for the pos-
sible difference in size of impairment is examined, including both
symptom and neurocognitive mediators. Citation: Close examination of
the similarities and differences in theory of mind is important
because of the impact of these deficits on social functioning,
which in turn, might help explain the differences in outcome
between schizophrenia and bipolar disorder (16). We conclude the review by suggesting implications for clinical
management and propose next steps for research on theory of
mind in bipolar disorder and its possible role as a trait marker
for psychosis. IMPAIRMENTS OF THEORY OF MIND IN
BIPOLAR DISORDER Given that impaired social cognition in patients with serious
mental illness impacts on increased symptom severity, prolonged
course of illness, higher rates of relapse, and daily functioning,
characterization of the extent of these deficits is important (14, 17,
18). Although bipolar disorder is commoner than schizophrenia,
theory of mind in this condition has been under-explored relative
to its study in schizophrenia (7). We summarize current literature
for the reader in Table 1. In the first part of the paper, we tackle the question of whether
impaired theory of mind is characteristic across the mood states
and whether it persists after symptomatic remission. Similarly,
we ask whether it is present in both bipolar I disorder and bipolar
II disorder and consider whether it can be detected in related
“high-risk” or “sub-syndromal” populations. We also examine
the evidence for such impairments in pediatric samples. We then
assess methodological factors that may have confounded previous
research, such as the type of assessment used and demographic
influences. Here, we also highlight the seemingly varying scale
of the problem and its breadth across different types of theory
of mind. In the final section of part one, we seek to establish
what the antecedents of impaired theory of mind are in bipolar
disorder and what the symptom correlates of these deficits are. Medication effects are also considered. In achieving our initial
aim, the hope is to generate information for clinicians who work
with this patient group to help improve clinical outcomes (15). Frontiers in Psychiatry | www.frontiersin.org The Clinical Generalizability of
Impairments across Sub-Groups One issue that has complicated the study of theory of mind in
bipolar disorder is that this diagnostic label actually comprises
a group of disorders with heterogeneous clinical presentation,
course, and outcome (43, 44). Not only does the clinical course
change as a patient cycles through recurrent depressive, manic,
and sometimes mixed mood states (45), there are subtypes of
bipolar disorder based on the severity of mania experienced,
variable occurrence of psychosis within these subtypes (46), and
related sub-syndromal bipolar subtypes to contend with (47). There has as yet been little systematic comparison of impairments
in theory of mind across all subtypes, even though the vari-
ability in clinical presentation might seem to necessitate it (35). It is likely that inconsistent results in the past may have partly
reflected the heterogeneous presentation of bipolar disorder (10),
the mixed nature of samples, and even indiscriminate mixing of
samples with other affective disorders, such as major depression
(24, 28). While the socio-cognitive profile of bipolar disorder
across mood states is somewhat unclear (14), currently available
evidence suggests that some form of impairment exists whatever
the symptomatic phase of illness (48).i In the second part of the paper, the aim is to review evidence
on whether impaired theory of mind can be considered a trait
marker for psychosis across both affective and non-affective
psychoses. Specifically, we ask whether patients with bipolar
disorder and those with schizophrenia present with similar
impairments. Here, we do not set out to serve as a review of
schizophrenic theory of mind per se, nor to make narrative
comparisons between the separate literatures on theory of mind
in the two disorders. Rather the purpose of this part of this paper
is to establish the significance of data studies that have directly
and quantitatively compared theory of mind abilities in the two
disorders. Given the poorly understood origin of theory of mind
deficits in bipolar disorder, we evaluate the possibility that a link
to psychosis should be an important line of enquiry (13). Looking
beyond the question of origin, could impaired theory of mind
serve as a useful endophenotype of proneness to psychosis? We In one of the first studies to compare the performance of
patients experiencing a depressed vs. manic mood state, the per-
formance of both groups was impaired relative to healthy controls
(26). ability to
alse belie
Pas reco The Clinical Generalizability of
Impairments across Sub-Groups Atypical
antipsychotic (6/43); antidepressant (2/43);
mood stabilizer only (28/43); mood stabilizer
and anticonvulsant (9/43); mood stabilizer and
antipsychotic (6/43)
The Reading the Mind in the Eyes Task;
the Hinting Task
EUTH impaired on both ToM tasks. No effec
gender or drug treatment, clinical variables,
nor history psychosis. Some correlations wit
executive function
Mood stabilizer (11/25); anticonvulsant (22/25);
antidepressants (14/25); typical antipsychotics (3/25);
atypical antipsychotics (18/25); sedatives (22/25); no
medication (1/25)
The Reading the Mind in the Eyes Task
BP impaired. Performance associated with
illness duration. Performance not associated
with social functioning
All patients receiving medication. Antidepressants
(49/50); typical antipsychotic (6/50); atypical
antipsychotic (4/50)
Custom-made picture sequencing
task using caricatures and verbal
descriptions, followed by first- and
second-order ToM questions
AFF impaired on second-order ToM only. No
correlations with IQ
All patients receiving mood stabilizers. Majority
Two stories examined ability to i
Significantly lower performance in all ToM ToM, and
her numb
orrelation
ative to
with globa
s. No effe
variables
elations w
ated with
associate
M only. N
all ToM n all T
C. On
hymi The Clinical Generalizability of
Impairments across Sub-Groups In a first-order “false-belief” task, the ability to understand January 2016 | Volume 6 | Article 188 2 ing patients with bipolar disorder without direct comparison to patients with schizophrenia. edication details
Taskb
Key results
ood stabilizers (10/12), atypical antipsychotics (5/12),
datives (4/12)
The Reading the Mind in the Eyes Test;
the Faux Pas Recognition Test
Trend toward impaired cognitive ToM, and
trend toward association with higher number
depressive episodes
Affective ToM not impaired. No correlation
between functionality and ToM
ot specified
The Hinting Task
Patients’ verbal ToM impaired relative to
HC. Performance not correlated with global
functioning
patients treated with mood stabilizers. Atypical
tipsychotic (6/43); antidepressant (2/43);
ood stabilizer only (28/43); mood stabilizer
d anticonvulsant (9/43); mood stabilizer and
tipsychotic (6/43)
The Reading the Mind in the Eyes Task;
the Hinting Task
EUTH impaired on both ToM tasks. No effect
gender or drug treatment, clinical variables,
nor history psychosis. Some correlations with
executive function
ood stabilizer (11/25); anticonvulsant (22/25);
tidepressants (14/25); typical antipsychotics (3/25);
ypical antipsychotics (18/25); sedatives (22/25); no
edication (1/25)
The Reading the Mind in the Eyes Task
BP impaired. Performance associated with
illness duration. Performance not associated
with social functioning
patients receiving medication. Antidepressants
9/50); typical antipsychotic (6/50); atypical
tipsychotic (4/50)
Custom-made picture sequencing
task using caricatures and verbal
descriptions, followed by first- and
second-order ToM questions
AFF impaired on second-order ToM only. No
correlations with IQ
patients receiving mood stabilizers. Majority
o received antipsychotics, antidepressants or
nzodiazepines
Two stories examined ability to
appreciate first-order false beliefs; the
Hinting Task; the Faux Pas recognition
task
Significantly lower performance in all ToM
tests during acute phases vs. HC. Only
impaired on Faux Pas test in euthymic phase
Faux Pas test impairments not significant
when neuropsychological performance
accounted for
(Continu essing patients with bipolar disorder without direct comparison to patients with schizophrenia. Medication details
Taskb
Key results
Mood stabilizers (10/12), atypical antipsychotics (5/12),
sedatives (4/12)
The Reading the Mind in the Eyes Test;
the Faux Pas Recognition Test
Trend toward impaired cognitive ToM, and
trend toward association with higher numbe
depressive episodes
Affective ToM not impaired. No correlation
between functionality and ToM
Not specified
The Hinting Task
Patients’ verbal ToM impaired relative to
HC. Performance not correlated with global
functioning
All patients treated with mood stabilizers. tment, cl
is. Some
mance a
formance
ng
cond-ord
erforman
phases vs
as test in
rments n
ogical pe nifican
ts duri
paired
ux Pas
en neu
counte nifican
ts duri
paired
ux Pas
en neu
counte nifican
ts duri
paired
ux Pas
en neu
counte o stories
preciate
ting Tas
k abilizers. Major
antidepressant ts receiving mo
ved antipsycho
zepines tics
Medication details
Taskb
Key results
age
55%
Mood stabilizer (47/48-collapsed across groups)
MAN: antipsychotics (20/20); antidepressants (1/20);
anticonvulsants (5/20)
DEP: antipsychotics (7/15), antidepressants (4/15);
anticonvulsants (3/15)
EUTH: antipsychotics (4/13), antidepressants (1/13);
anticonvulsants (1/13)
Six stories examined ability to appreciate
first- and second-order false beliefs
and deceptions. Stories read aloud
with concurrent presentation cartoon
drawings depicting action sequences
Impaired first- and second-order ToM
performance for DEP and MAN even when
memory controlled for. MAN performance
worse than DEP. EUTH not impaired
age
52.5%
n age
46.7%
ge
46.7%
mean
ars;
.7% F
No between-group differences in mean number drugs
received
Regarding type, EUTH with psychosis received mood
stabilizer and antipsychotic combination with higher
frequency than EUTH without
Patients without psychosis on mood stabilizers with
higher frequency than EUTH with psychosis
The Strange Stories Task
Performance similar in bipolar patients with or
without psychosis. Both impaired relative to
HC. Impairments partly explained by general
cognitive deficit
ut
mean
ars;
.5% F
ge
33.3%
age
44.5%
All patients receiving mood stabilizers. Additionally 36%
were receiving antidepressants, 48% benzodiazepines,
and 54% antipsychotics. BP had higher exposure
to antipsychotics than BP2. No differences between
BP1 and BP2 in exposure to other psychotropic
medications. BP1 had higher dose antipsychotics BP2
The Faux Pas test; the Reading the
Mind in the Eyes Task
Both BP1 and BP2 impaired relative to
HC. When neurocognitive impairments
and exposure to medications controlled,
performance did not predict whether patient
or HC. Impaired ToM partly mediated by
executive function deficits and exposure to
psychotropic medications
age
22.3%
ge
35.3%
n age
28.6%
All patients receiving medication. Mood stabilizer
(7/14); anticonvulsants (6/14); antipsychotics (8/14);
antidepressants (7/14); sedatives (10/14); stimulant
(1/14)
Custom-made test with scenarios
describing complex social situations
such as faux pas, followed by first- and
second-order ToM questions
Patients impaired on cognitively demanding
second-order ToM. Reduced performance
associated with longer illness duration, and
increased symptom severity
ge
35.7%
n age
34.5%
ge
44.8%
All patients receiving medication. ng medication.
sant (17/29); aty
ssant (11/29); s 4)
patients r
9); antic
29); anti Mood stabilizer
(9/29); anticonvulsant (17/29); atypical antipsychotic
(13/29); antidepressant (11/29); sedatives (2/29)
The Movie for the Assessment of Social
Cognition
EUTH performed worse than HC for cognitive
ToM, but not for affective ToM. EUTH showed
higher “undermentalizing” but not higher
“overmentalizing”. Number manic episodes
correlated with “undermentalizing” and
affective ToM severity
orse than HC for c
ctive ToM. EUTH
izing” but not high
umber manic epis
ermentalizing” an
( cial sis
dditionally 36%
zodiazepines,
exposure
es between
otropic
sychotics BP2
The F
Mind
tabilizer
tics (8/14);
stimulant
Custo
desc
such
seco
tabilizer
tipsychotic
s (2/29)
The M
Cogn sis
dditionally 36%
zodiazepines,
exposure
es between
otropic
sychotics BP2
The F
Mind
tabilizer
tics (8/14);
; stimulant
Cust
desc
such
seco
tabilizer
tipsychotic
s (2/29)
The M
Cogn han EUTH with
ng mood stabi
idepressants, 4
hotics. BP had
han BP2. No d
xposure to oth
had higher dos
ng medication. ants (6/14); an higher frequ
All patients r
were receivi
and 54% an
to antipsych
BP1 and BP
medications
All patients r
(7/14); antic 4)
atients r
9); antic
29); anti cs
Medication details
Taskb
Key results
age
6.7%
Stable medication regime for 6 weeks. Number of
years’ exposure to psychotropic medications recorded
but not reported. Medication effects not examined
due to different combinations mood stabilizers,
antidepressants, and antipsychotics
The Strange Stories Task. Also a
custom-made cartoon comprehension
task that required ToM to interpret
correctly
Impaired relative to HC on verbal ToM. Although performance comparable to HC
for non-verbal ToM, responses slower. ToM
did not correlate with social or occupational
functioning, but some correlations with
executive function
e
6.1%
age
5%
Mean number of psychotropic medications currently
taken, including anticonvulsants, mood stabilizers,
antipsychotics, stimulants, antidepressants, and
sedatives = 2.04
The Reading the Mind in the Eyes Task
EUTH responded faster in comparison to HC. Performance accuracy no different though. Faster response times predicted increased
overall life functioning impairment
e
6%
of
M-IV
NA
The Strange Stories Task; the Picture
Sequencing Task; the Reading the Mind
in the Eyes Task
BP impaired on verbal ToM, but not visual or
higher-order ToM tasks
e
2%
e
5%
Medication-free at least 1 week prior to testing
Custom-made measure false-belief
understanding (“Affective Story
Task”). Stories of emotionally-charged
situations read aloud, participants
asked false-belief question to assess
whether understood potential for
misunderstanding. BP impaired relative to HC in positive and
negative conditions of Affective Story Task. BP also worse than HC on Hinting Task. Performance associated with younger age,
earlier illness onset, and manic symptoms
The Hinting Task
ge
8.8%
Majority patients medicated but receiving different
classes medications (atypical antipsychotics, mood
stabilizers, or both)
The Reading the Mind in the Eyes Task;
the Cognitive and Emotional Perspective
Taking Task
BD1 worse than HC on Reading Mind in the
Eyes Task, and cognitive (but not emotional)
condition of Cognitive and Emotional
Perspective-Taking Task
ge
00%
e T M T M s rec
me oM, but not affe
ted to performa
Mood stabilizin
on ToM ed cognit
mance no
ognitive t
had no e d
receding
The Social Sto mainly moo
le during p ication-free
ority patient
ses medica
ilizers, or b rec
me sub- Medication details
Taskb
Key results
A
The Yoni task. Males: mood vitality and excitement su
predicted performance
Females: no sub-scales predicted
performance
ntipsychotics (31/49); antidepressants (15/49); mood
tabilizers (16/49); sedatives (10/49)
The Picture Sequencing Task
BP performed worse than HC for ToM-
relevant false-belief stories, but not on
stories. No differences in performance
symptomatic vs. euthymic patients, or
vs. BD2
ntipsychotics (33/51); antidepressants (16/51); mood
tabilizers (16/51); sedatives (10/51)
The Picture Sequencing Task
Neurocognition associated with ToM, b
social cognition not associated with em
regulation
8% lifetime exposure to psychotropic medications
ToM subtest of NEPSY II (developmental
neuropsychological assessment)
No differences between BP and HC
Mood stabilizers (18/33), atypical antipsychotics
28/33), antidepressants (15/33)
Comic-strip task based in part on the
Picture Sequencing Task, in which
participants sequence cartoon stories
and asked questions about characters’
mental states
BP and all clinical sub-groups impaired
measures, but did not differ from each
in most ToM scores. Poorer performan
on executive tasks did not fully explain
impairments
polar II disorder; BPnos, bipolar disorder not otherwise specified, BPsub, sub-syndromal bipolar disorder; DEP, depressed bipolar patients, DEPsub,
polar patients; HC, healthy adult controls, MDD, major depressive disorder; MAN, manic bipolar patients; MIX, bipolar patients showing signs of both cation details
Taskb
Key results
The Yoni task. Males: mood vitality and excitement su
predicted performance
Females: no sub-scales predicted
performance
sychotics (31/49); antidepressants (15/49); mood
izers (16/49); sedatives (10/49)
The Picture Sequencing Task
BP performed worse than HC for ToM
relevant false-belief stories, but not on
stories. No differences in performance
symptomatic vs. euthymic patients, or
vs. BD2
sychotics (33/51); antidepressants (16/51); mood
izers (16/51); sedatives (10/51)
The Picture Sequencing Task
Neurocognition associated with ToM, b
social cognition not associated with em
regulation
lifetime exposure to psychotropic medications
ToM subtest of NEPSY II (developmental
neuropsychological assessment)
No differences between BP and HC
d stabilizers (18/33), atypical antipsychotics
3), antidepressants (15/33)
Comic-strip task based in part on the
Picture Sequencing Task, in which
participants sequence cartoon stories
and asked questions about characters’
mental states
BP and all clinical sub-groups impaired
measures, but did not differ from each
in most ToM scores. ental stat
d, BPsub
ve disord ychotics
zers (16/
fetime e
stabilize
), antide
II disord
patients; used the “Yoni task” to assess the ability of healthy adults
to attribute cognitive and emotional mental states on the basis
of verbal cues and gaze direction (37). In the Yoni task (58), a
trial comprises a cartoon outline of the face of a character named
Yoni, and four colored pictures of objects belonging to a single
category (e.g., fruits, chairs) or faces, one in each corner of the
computer screen. The participant’s task is to point to the correct
answer (the image Yoni is referring to), based on a sentence that
appears at the top of the screen, and available cues, such as Yoni’s
eye gaze and Yoni’s facial expression. With this task, Terrien
et al. demonstrated that mood volatility showed a relationship
with theory of mind performance collapsed across cognitive and
affective theory of mind, but only in men. These findings raise the
important issue of whether it is possible to detect impaired theory
of mind in populations at increased risk of developing bipolar
disorder, either through possession of traits and behaviors related
to particular clinical dimensions, or through a genetic predisposi-
tion to developing bipolar disorder. Does theory of mind impair-
ment constitute a useful cognitive endophenotype for bipolar
disorder? In this vein, Reynolds et al. detected impaired theory
of mind in first-degree relatives of patients with bipolar disorder A more tractable means of assessing whether theory of mind
deficits in bipolar disorder represent a trait marker independ-
ent of mood state, has been to adopt the study of remitted or
asymptomatic patients that are euthymic at the time of testing. While one might expect subtler theory of mind impairments
in euthymic patients, the effects observed are certainly not
negligible. Two important meta-analytic pieces of work have
estimated that the effects sizes for theory of mind impairment
in the euthymic state are in the medium range (0.5 < d < 0.8)
(8, 48). While the majority of studies of theory of mind in
euthymic patients have found evidence of impairment (19, 21,
30, 31), this has not universally been the case. Kerr et al. were
not able to detect any difference in performance between their
group of euthymic patients and healthy controls (26). Purcell
et al. Thus, beyond there being evidence
of theory of mind impairment across the different symptomatic
phases, which is suggestive of a potential trait marker, there is
currently insufficient evidence to support the existence of a
differential profile of impairment across the depressed, manic,
hypomanic, or mixed mood states. score <7 on the Hamilton Depression Rating Scale [HDRS; (21,
55)), a HDRS score <14 and a YMRS <5 (30), or a HDRS score
<12 and YMRS <12 (31). These studies are, thus, potentially
confounded by residual mood effects. Thus, a distinction has
thus been made between the performance of “sub-syndromal”
patients who score >7 but <15 on the HDRS, and truly euthymic
patients who score <7 on the HDRS, with the performance of the
former being more impaired than the latter (29). Nevertheless,
beyond their theoretical importance, socio-cognitive deficits
during euthymia are of notable clinical significance, given evi-
dence that such disturbances constitute an important obstacle for
social reintegration and rehabilitation (19). In the current Diagnostic and Statistical Manual of Mental
Disorders classification system (56), the severity of mania expe-
rienced by a patient with bipolar disorder has specific diagnostic
implications. Patients who have experienced a manic or mixed
episode that has lasted at least a week, or those who have experi-
enced mania that is so severe that it has required hospitalization,
are defined as having Bipolar 1 Disorder. By contrast, patients
who have experienced less-intense elevated (hypomanic) moods,
but no full-blown manic or mixed episodes, are defined as having
Bipolar 2 Disorder. Most studies have so far focused on the theory
of mind impairment in Bipolar 1 Disorder, however, some more
recent studies have included comparisons between Bipolar 1 and
Bipolar 2 Disorders on the Picture Sequencing Task, the Reading
the Mind in the Eyes Task, and the Cognitive and Affective
Perspective Taking Task in which participants assess written
scenarios and attribute characters’ mental state or belief based
on cognitive or emotional information (57). So far, none of these
studies have found any evidence to support a differential theory
of mind impairment (28, 35, 39).f While differential theory of mind impairment have not yet
been demonstrated based on categorization of bipolar disorder
according to severity of mania, links have been found between
theory of mind impairment and the severity of certain aspects of
hypomania, e.g., mood lability. Specifically, the study by Terrien
et al. Poorer performan
on executive tasks did not fully explain
impairments
r II disorder; BPnos, bipolar disorder not otherwise specified, BPsub, sub-syndromal bipolar disorder; DEP, depressed bipolar patients, DEPsub
r patients; HC, healthy adult controls, MDD, major depressive disorder; MAN, manic bipolar patients; MIX, bipolar patients showing signs of bot r patie
owing II (develo
sessmen
d in part o
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patients; Bipolar Disorder – Theory of Mind Mitchell and Young that someone can hold a belief that is different from the actual
state of affairs is assessed, whereas in a second-order false-belief
task, participants have to infer the (false) beliefs of one character
about the (false) beliefs of a second character (49). Kerr et al.’s
data from such a False Belief Task showed that both groups were
less able than healthy controls to correctly attribute mistaken
beliefs about an object’s location to predict or explain someone’s
behavior. Similarly both patients in manic and depressed phases
have demonstrated impairments (relative to healthy controls)
on another classic theory of mind task known as the “Picture
Sequencing Task”(50), in which participants sequence a series
of cartoon picture stories that depict cooperation and deception,
followed by explicit questions about characters’ mental states (42). These deficits persisted even when differences in age, intelligence,
and executive function were accounted for. Elsewhere, mixed
manic/depressed patients have shown impaired performance
on a series of theory of mind tasks relative to healthy controls
(25), including a false-belief task, the “Hinting task” that requires
participants to infer from a subsequent hint what a character in a
dialog really meant (51), and the “Faux Pas Recognition Test” (52)
in which participants have to recognize from a short text when a
character commits a social error and says something it would be
better not to say. However, no differences in performance were
found in exploratory analyses of the effects of mixed/manic mood
state vs. depressed and euthymic states in another study using the
Picture Sequencing Task (39). Frontiers in Psychiatry | www.frontiersin.org Whereas
the affective theory of mind questions required first-order mental
state understanding and empathy (e.g., “how does the character
feel”), the cognitive theory of mind questions entailed more
advanced mental state reasoning and false-belief understanding
(e.g., “how a character might be misled into believing something
is false based on false information from someone else”). Therefore
at present, it cannot be ruled out that differential impairment of
cognitive vs. affective theory of mind might simply reflect a dif-
ference in degree of complexity or a difference in demand for lin-
guistic processing. Overall, findings from a recent meta-analysis
of performance of cognitive vs. affective theory of mind tasks by
patients with bipolar disorder demonstrate that the differences
noted above have not yet attained statistical significance across
the body of current literature (48). using the “Strange Stories Task” (59) in which participants read
a series of stories and answer questions about characters’ mental
states or physical events (33). However, in another relevant study,
children and adolescents with a parent with bipolar disorder who
themselves exhibited some mood dysregulation but did not meet
the diagnostic criteria for bipolar disorder, appeared unimpaired
according to a task measuring recognition of mental states and
identification of false beliefs (41). The predictive value of theory
of mind impairments in “at risk” populations is, therefore, not
yet clear (9), and further study of whether this deficit antedates
bipolar disorder or not is required. Work that searches to identify
potential “early warning” signs is important, because identifica-
tion of earlier stages of bipolar disorder, prior to the first manic
episode, may help develop interventions to prevent or delay its
onset (60). In this section, we have seen that there is a reasonable level of
evidence to indicate that theory of mind impairment is a feature
of all mood states in bipolar disorder, although robust differential
patterns across the various subtypes are not yet supported. That
is not necessarily to say that there are no such effects, at this early
stage in the literature it may simply be that there has not yet been
enough research. What are now needed are more systematic,
well-controlled investigations. However, given the existence of
any evidence of mood-state-related impairments, heterogeneity
needs to be taken into account in future research (12). Ideally,
such investigation would be longitudinal and entail a patient
acting as their own control while experiencing different mood
states. were also unable to detect impaired theory of mind when
their euthymic patients performed the Reading the Mind in the
Eyes Task, in which participants attempt to match photos of the
eye region during facial expressions with the corresponding
emotional mental state word, thereby constituting a form of
affective theory of mind (32, 53). Elsewhere, the deficits shown
by euthymic patients performing the Reading the Mind in the
Eyes affective theory of mind task became non-significant once
neurocognitive impairments were controlled for (28). Studies of
theory of mind in the euthymic state are, however, confounded by
variable definitions of euthymia that have, for example, included
a score <6 on the Young Mania Rating Scale [YMRS; (54)] and a January 2016 | Volume 6 | Article 188 Frontiers in Psychiatry | www.frontiersin.org 7 Bipolar Disorder – Theory of Mind Mitchell and Young to index affective theory of mind and the Faux Pas test to index
cognitive theory of mind, Barrera et al. directly compared the
performance of euthymic patients on these two forms of theory
of mind. Whereas the patients with bipolar disorder did show
impairment relative to healthy controls on the cognitive theory
of mind test, they were not impaired on the affective theory of
mind test (19). Here, the authors argued that the lack of impair-
ment for affective theory of mind might reflect the relative lack
of mood disturbance in euthymic patients. This suggestion is in
accord with findings in three more-controlled studies of a greater
impairment of cognitive theory of mind in bipolar disorder than
affective theory of mind using questions about feeling vs. think-
ing within the same task (30, 35, 36). However, in the Schenkel
et al. study, the patients were experiencing an acute episode of
bipolar disorder, not euthymia (35). Hence, the lack of current
affective disturbance typically associated with euthymia cannot
explain the lack of affective theory of mind impairment in that
study. However, even though the cognitive and affective questions
comprised part of the same task in the Schenkel et al. study, these
questions still required different cognitive operations. Via such endeavors, a more well-grounded picture of the
socio-cognitive profile of bipolar disorder across mood states
will emerge (31). The recent longitudinal study by Ioannidi et al. examining cognitive theory of mind impairment across both
the remitted and symptomatic state is an excellent start in this
respect (25). Irrespective of theoretical implications, monitoring
of theory of mind impairment in euthymic as well as symptomatic
states has significant clinical value, since it might potentially prove
a useful indicator of relapse potential in euthymia (9, 15, 37, 42). Longitudinal analyses would also provide valuable information
on the course of impact that theory of mind impairment has. Early
work already suggests an association between affective theory of
mind impairment and social functioning 1 year later (32). Differing processing demands are also relevant to the incon-
sistent impairments according to the tasks used to index the
ability to make mental state inferences. For example, in one study,
while patients with Bipolar 1 Disorder showed impairments on
a first-order false-belief task, the Hinting Task, and the Faux Pas
Test, only impaired performance on the Faux Pas Test persisted
when patients later transitioned into euthymia (25). Similarly,
in another study, first-degree relatives of patients with bipolar
disorder demonstrated impairment on the Happé Strange Stories
Test, but not the Reading the Mind in the Eyes Task, nor the
Picture Sequencing Task (33). These differential task-dependent
impairments have recently been quantified in a task-specific
meta-analysis. In that work, small but significant effect sizes
were obtained for differences in performance between patients
and healthy controls with the Hinting and Reading the Mind in
the Eyes Tasks (0.27 and 0.45, respectively), but a medium effect
size was obtained for the difference in performance on the Faux
Pas test (0.58). One of the more common explanations for this
task-dependency has been differences in the complexity of theory
of mind processing being assessed (10). False-belief tasks have
become the gold standard for assessing young children’s under-
standing of mind, but these tasks only index basic mentalizing,
and for typically developing children, performance is significantly Frontiers in Psychiatry | www.frontiersin.org Methodological Generalizability Methodological Generalizability
Just as for the heterogeneity of mood states associated with
bipolar disorder, the tasks used to assess theory of mind are
heterogeneous in both content and form. To some extent, this
has been a necessary evil, since theory of mind is not a unitary
construct (10, 48). Hence in this section, we consider both the
pattern of differential impairment across different forms of
theory of mind, and the possible influence of the theory of mind
test used. It would perhaps be premature to assume that cogni-
tive and affective theory of mind are equally affected by bipolar
disorder, given the putative evidence for the (partial) separability
in functional neuroanatomy (61) of these two types, and their
differing component sub-processes. Indeed, there is evidence
for differential behavioral impairment in other populations,
including old age, schizophrenia, autism, and neurodegenerative
disease (62–64). Using the Reading the Mind in the Eyes Task January 2016 | Volume 6 | Article 188 Frontiers in Psychiatry | www.frontiersin.org 8 Bipolar Disorder – Theory of Mind Mitchell and Young between cognitive demand and theory of mind may not be
surprising given the inherent overlap between neurocognition
and social cognition (11). So, what are the neuropsychological
correlates of the theory of mind impairments? There are two
important aspects to this question, first do impairments persist
when neurocognitive performance is controlled for, and second,
how does neurocognitive performance correlate with patients’
capacity for theory of mind. Many correlations were reported
between performance of the Reading the Mind in the Eyes task
and neurocognitive function in the first such study, including
correlations with sustained attention, verbal fluency, and psy-
chomotor speed (21). Furthermore, global cognitive impairment
(reduced IQ) has been shown to correlate significantly with
theory of mind impairment in a recent meta-analysis (48). The
co-existence of theory of mind impairments with impairments
of executive functions, such as inhibitory control, has received
further support from later research with comprehensive neu-
rocognitive batteries (40, 42), and correlations with sustained
attention impairments seem particularly strong (27). These
findings co-exist with demonstrations whereby supposed theory
of mind deficits disappears once differences in neurocognition
such as attention, verbal memory, and visuo-spatial memory are
controlled for (25, 28). However, this mediating role for executive
functions is not a universal finding (33). Methodological Generalizability Furthermore, in theory
of mind studies that have incorporated matched cognitive control
conditions, impaired theory of mind does not necessarily co-
occur with impaired performance in that control condition (26,
39). Questions, therefore, remain as to why this relationship is
not universal. Careful more extensive research with well-powered
samples is required, perhaps with neurocognitive tests that more
specifically assess individual domains of executive function (31). above chance by the age of four (65). Although understanding
false-beliefs marks an important milestone in theory of mind
development, it does not equip children with all they need to
know about people’s lives and minds. Advanced theory of mind
skills develop later, i.e., during middle childhood and beyond
(66), and are necessitated by more complex aspects of social inter-
actions. These more advanced forms not only require participants
to understand differences in belief between characters, but also
require them to detect and comprehend more subtle constructs,
such as white lies, jokes, irony, and faux pas. An inter-related
distinction also used to explain task-dependent impairments of
theory of mind in bipolar disorder has been that between verbal
and non-verbal tasks (10). For example, first-degree relatives of
patients with bipolar disorder have demonstrated impaired ver-
bal theory of mind (on the Happé Strange Stories Task), but no
impairment on visual theory of mind tasks (Picture Sequencing
Task, Reading the Mind in the Eyes Task) (33). This result was
explained by the authors as reflecting the more demanding nature
of the two visual tasks (cognitively and affectively demanding,
respectively). It is, therefore, a recapitulation of the distinction
above, albeit in altered form. A second distinction used to explain task-dependent theory
of mind impairments is that of decoding vs. reasoning. Whereas
decoding more closely approximates the perception of mental
state cues, the latter places higher demands on domain-general
cognitive resources, such as working memory and executive
function (9). This particular distinction provides an alternative
explanation of why some studies might have failed to detect
impaired affective theory of mind in euthymia, but still have evi-
denced impaired cognitive theory of mind (19, 28). The affective
theory of mind task used in these two studies – the Reading the
Mind in the Eyes Task – is essentially a measure of the ability to
decode likely emotional state on the basis of perceptual informa-
tion. Methodological Generalizability By contrast, the cognitive theory of mind task – the Faux
Pas Test – is a much more complex test requiring reasoning about
whether someone said something that someone else might not
want to hear. These results, therefore, suggest that perceptually
based theory of mind impairments may not always be detected,
while reasoning-based theory of mind impairments may be easier
to detect. We next turn to consider clinical correlates of theory of mind
impairments in bipolar disorder. Here, the evidence is patchy,
inconsistent, and incomplete, although currently available evi-
dence does not favor reliable links with basic clinical variables
(48). The only positive findings that exist so far are a possible
association between performance of theory of mind tasks and
illness duration (29, 42). Taken at face value, this suggests that
theory of mind impairment is progressive, and that further study
might be wise to determine in which direction the effects occur. However, elsewhere demonstration of this association has not
been repeated (28), and meta-analysis of the links between socio-
cognitive impairment and length of illness in bipolar disorder
suggests that there is insufficient evidence to take the relation-
ship between theory of mind impairment and illness duration
seriously (12). Other attempts to link basic clinical variables with
theory of mind impairment in bipolar disorder have failed to find
support for an association with the number of illness episodes
experienced (21, 28, 29), or age of onset (21, 29, 42).i In this section, we have seen that the results of prior literature
on theory of mind impairments in bipolar disorder cannot be
taken at face value without considering the influence of meth-
odological choices such as (i) the level of complexity of theory
of mind being assessed and (ii) the generic cognitive demands
of the task used for assessment. In particular, some tasks are
not able to detect the subtle impairments that might present in
euthymic patients (31). Therefore in the future, a broader array
of theory of mind tasks is warranted (35). In research on other
populations, there have been calls for theory of mind tasks to
become more ecological in nature and better mimic real-life
scenarios (3, 67, 68). Perhaps more surprising has been the failure to find support
for the impact of theory of mind impairment on social function-
ing as discussed elsewhere for other psychiatric disorders (11,
18, 69, 70). Methodological Generalizability In the first study of this type, although patients with
bipolar disorder in remission were impaired on a verbal theory
of mind measure, the impairments showed no relationship with
social and occupational functioning as indexed by the Life
Functioning Questionnaire (31). Generalizability was widened Cognitive and Clinical Correlates In the previous section, it was suggested that the cognitive demand
of different theory of mind tasks might influence the patterns
of deficits observed in bipolar disorder. Indeed, a relationship January 2016 | Volume 6 | Article 188 Frontiers in Psychiatry | www.frontiersin.org 9 Bipolar Disorder – Theory of Mind Mitchell and Young with the demonstration by Barrera et al. using different theory
of mind and social functioning measures in which they observed
that neither scores on the Reading the Mind in the Eyes Task nor
scores on the Faux Pas Test correlated with global functioning
according to the Functioning Assessment Short Test (19). These
two studies did, however, test euthymic patients, who are perhaps
less likely to show sizeable functional impairments relative to
symptomatic patients, and both assessed only a small sample of
patients (N = 12 and N = 15, respectively). Yet similar patterns
have emerged in larger datasets from symptomatic patients. In
a study by Cusi et al., performance on the Reading the Mind
in the Eyes Task did not correlate with any social domain on
the Social Adjustment Self-Report Scale in a mixed sample of
Bipolar 1 Disorder patients with varying levels of depressive
symptoms (22). Furthermore, a subsequent study by Benito et al. uncovered no evidence for an association between performance
of the Hinting Task and global functioning according to the
Functioning Assessment Short Test (20). However, a prospective
study by Purcell et al. produced the interesting finding that abnor-
mally short response times on the Reading the Mind in the Eyes
Task predicted greater life functioning impairment as assessed by
the Life Functioning Questionnaire (32). Thus, while theory of
mind impairment might not predict concurrent social function-
ing, it may be able to predict the likelihood of further decline. Alternatively, as suggested by the authors, since the prospective
relationship was with response times on the theory of mind
task rather than accuracy, it may be the case that quick mental
state inferences are more helpful in understanding functional
impairment. theory of mind performance (41). A more definitive study by
Bora et al. examined correlations between serum lithium levels
and theory of mind performance on both the Reading the Mind
in the Eyes Task and the Hinting Task in euthymic patients with
Bipolar 1 Disorder, but did not detect any such relationship (21). Cognitive and Clinical Correlates Medication effects on theory of mind have also been quantified
and compared, using the Clinical Scale of Intensity, Frequency,
and Duration of Psychopharmacological Treatment, to index cur-
rent exposure to different classes of medication on a scale from 0
to 5. While that study also failed to find evidence of medication
effects in either Bipolar 1 or Bipolar 2 disorder on the Reading
the Mind in the Eyes Task, a significant correlation was observed
with performance on the Faux Pas test (28). Furthermore, once
exposure to benzodiazepines was controlled for, performance on
the Faux Pas test no longer allowed the prediction of whether a
participant was a patient or healthy control. There is currently a
lack of optimism as to whether psychotropic medications, such
as those prescribed for bipolar disorder, improve social cognition
(71, 72). However, as to whether these drugs worsen social cogni-
tions, such as theory of mind, further research is required. y
q
In this section, we have seen evidence that theory of mind
impairment often co-exists alongside cognitive impairments,
particularly those relating to executive functions. Furthermore,
some of these cognitive impairments correlate with, or predict,
the degree of theory of mind impairment. Thus, there is now a
sufficient evidence base to warrant further investigation to flesh
out our understanding of the relationship between the two, and
how the mechanism of effects fits together (7, 10). For both thera-
peutic purposes and theoretical reasons, it is particularly impor-
tant to establish whether theory of mind impairment in bipolar
disorder is primary in origin, or simply secondary to cognitive
impairment. Regarding medication effects on theory of mind, not
only are they of interest in their own right, but they also present
an important confound to the comparison of results from prior
studies (8). Yet, often studies only provide broad information on
the drug classes being received, without identifying the name of
the specific medicine being received. This needs to be rectified,
although the separate effects of specific drugs will always be
difficult to tease apart where patients are concurrently in receipt
of multiple medications. Regarding clinical correlates, theory
of mind studies in bipolar disorder are now accumulating, but
they do not always examine the relation between social cognition
and clinical variables (10). Cognitive and Clinical Correlates Future research that focused on core
issues, concerning the evolution of theory of mind impairment
in response to changes in clinical course, could enable more
responsive, dynamic, and individualized patient care in social
and occupational contexts (22). As lamented by others (10), only a handful of studies have
investigated the potential influences of medication on theory of
mind performance, such as duration of exposure, dose effects,
or the type of medication being taken. Yet, as can be seen from
Table 1, the medication profile of participant samples is often
markedly heterogeneous, both across- and within-studies,
and receipt of multiple medications is common. This poses a
major potential confound. Often studies are underpowered to
make statistical comparisons of the effects of different classes
of medication, analyses are cursory and retrospective, with
possible medication effects frequently being cited as study
limitations. This has, in part, resulted from the challenges
associated with accessing unmedicated samples of patients
with bipolar disorder and from variations in medication profile
inherent to the heterogeneity of bipolar disorder. Perhaps not
surprisingly, the results of ad hoc analyses have been negative
where attempted. Shamay-Tsoory et al. divided their patients
into three groups according to the medications being received:
lithium (N = 9), carbamazepine (N = 6), and sodium valproate
(N = 4). However, these three sub-groups did not differ in either
cognitive or affective theory of mind performance (36). Post hoc
analyses by Van Rheenen et al. also failed to detect an influence
on theory of mind performance according to whether a patient
was on vs. off antipsychotics, antidepressants, mood stabilizers,
or benzodiazepines (39). Elsewhere, among people at high-risk
for bipolar disorder, previous lifetime exposure to psychotropic
medication (self-report) has also been shown not to influence Frontiers in Psychiatry | www.frontiersin.org COMPARATIVE ASSESSMENTS OF
THEORY OF MIND IN BIPOLAR DISORDER
AND SCHIZOPHRENIA In some populations, e.g., older
adults, it has even been demonstrated that impairments of social
cognition are reduced in magnitude when more life-like assess-
ments are used (84, 85). Related to this is the predominant use
of static photographs at present. By contrast, dynamic stimuli
are also ecologically valid and are information-rich, which
facilitates more accurate understanding (86–89). Evaluating the
performance of patients with bipolar disorder when responding
to theory of mind cues in more realistic situations will allow us
to better understand how these impairments might translate into
impairments in daily living. For example, the video modality
adopted by Montag et al. for the purposes of evaluating more
subtle impairments, in which participants view a film showing
two women and two men spending an evening together, with the
instruction to try to understand the feelings, thoughts, and inten-
tions of the characters, for the purposes of answering a series of
multiple-choice questions (30). Fourth, more longitudinal stud-
ies are needed. In addition to the benefits discussed earlier, this
endeavor would facilitate a better understanding of whether the
deficits are static or progressive, which has important implica-
tions for characterizing the natural history of bipolar disorder, its
clinical management, and more accurate prediction of the likely
functional deficits ahead. This might be enhanced by parallel
studies of changes in functional neuroanatomy over time, to help
establish the underlying mechanisms of change (23). In terms of the type of symptoms within bipolar disorder that
might associate with theory of mind impairments, there have
been a number of suggestions, including impulsivity (14, 32)
and affect (21, 29). However, the most prevalent discussions have
centered on a possible association with psychotic symptoms or
history of psychosis. Indeed, it has been claimed that theory of
mind impairment is characteristic of all the major psychoses,
irrespective of diagnosis (13, 90). This makes sense given the
partial overlap in symptoms across schizophrenia and bipolar
disorder (91–93), and the common occurrence of psychosis in
the manic state (94–96). The hypothesis that theory of mind
impairments might present in both schizophrenia and bipolar
disorder is further motivated by the partial overlap in genetic
basis between the two disorders (97, 98). Therefore, we now turn
to more substantive methodology, and evaluate theory of mind
studies that have directly compared patients with diagnoses of
bipolar disorder against those with diagnoses of schizophrenia. Clinical Implications and Next Steps Clinical Implications and Next Steps
It has been recognized for some time now that establishing a clear
pattern of theory of mind deficits in bipolar disorder may have
profound implications for the clinical management of patients. Difficulties in understanding the mental state of others can result
in the misreading of social cues, resulting in a reduced ability
to accurately comprehend social interactions (73). Patients with
impaired theory of mind are, therefore, unlikely to understand January 2016 | Volume 6 | Article 188 Frontiers in Psychiatry | www.frontiersin.org 10 Bipolar Disorder – Theory of Mind Mitchell and Young COMPARATIVE ASSESSMENTS OF
THEORY OF MIND IN BIPOLAR DISORDER
AND SCHIZOPHRENIA We summarize reports of direct comparisons of theory of mind
impairment in these two patient groups in Table 2. Here, we do
not seek to serve a review of literature on theory of mind impair-
ments in schizophrenia per se. For that the interested reader is
referred to works elsewhere (99–103). COMPARATIVE ASSESSMENTS OF
THEORY OF MIND IN BIPOLAR DISORDER
AND SCHIZOPHRENIA for the purposes of evaluating more
subtle impairments, in which participants view a film showing
two women and two men spending an evening together, with the
instruction to try to understand the feelings, thoughts, and inten-
tions of the characters, for the purposes of answering a series of
multiple-choice questions (30). Fourth, more longitudinal stud-
ies are needed. In addition to the benefits discussed earlier, this
endeavor would facilitate a better understanding of whether the
deficits are static or progressive, which has important implica-
tions for characterizing the natural history of bipolar disorder, its
clinical management, and more accurate prediction of the likely
functional deficits ahead This might be enhanced by parallel the impact of their behavior on others, and this may contribute
to their willingness to indulge in reckless or dangerous activities
(74, 75). Moreover, difficulty in understanding the perspective of
others may be an impediment to some psychological interven-
tions (76, 77). Regarding the next phase of research, we make
the following suggestions. First, the adoption of standardized
task design would be prudent where possible, as has become
commonplace for the study of child populations (78, 79), or as
afforded by well-validated tests, e.g., “The Awareness of Social
Inference Test” (80, 81), which has been extensively normed
across adolescent, young- and middle-aged populations, and
assessed for reliability, practice effects, and education- and
IQ-independent consistency. This latter test assesses the ability
to perceive social inferences both with (minimal context) and
without the benefit of additional information revealing the
protagonist’s true thoughts or feelings (enriched context), in
order to assess whether participants are able to integrate and
use explicit contextual information regarding speaker beliefs. Second, comprehensive neuropsychological batteries should be
administered routinely alongside the theory of mind paradigms,
e.g., the International Society for Bipolar Disorders-Battery for
Assessment of Neurocognition (ISBD-BANC) (82), to separate
out the effects of cognitive impairment and theory of mind
impairment. Third, further research should adopt more ecologi-
cal theory of mind tests, e.g., incorporating video-based material
or virtual reality scenarios (68, 83). We do not suggest that these
should replace use of the controlled simplistic tasks currently
in use, as these have the capacity to isolate specific individual
aspects of the impairment. On the other hand, although percep-
tion of cues from isolated modalities is of theoretical interest,
such an approach lacks the ecological validity of multi-modal
cues in naturalistic settings. COMPARATIVE ASSESSMENTS OF
THEORY OF MIND IN BIPOLAR DISORDER
AND SCHIZOPHRENIA the impact of their behavior on others, and this may contribute
to their willingness to indulge in reckless or dangerous activities
(74, 75). Moreover, difficulty in understanding the perspective of
others may be an impediment to some psychological interven-
tions (76, 77). Regarding the next phase of research, we make
the following suggestions. First, the adoption of standardized
task design would be prudent where possible, as has become
commonplace for the study of child populations (78, 79), or as
afforded by well-validated tests, e.g., “The Awareness of Social
Inference Test” (80, 81), which has been extensively normed
across adolescent, young- and middle-aged populations, and
assessed for reliability, practice effects, and education- and
IQ-independent consistency. This latter test assesses the ability
to perceive social inferences both with (minimal context) and
without the benefit of additional information revealing the
protagonist’s true thoughts or feelings (enriched context), in
order to assess whether participants are able to integrate and
use explicit contextual information regarding speaker beliefs. Second, comprehensive neuropsychological batteries should be
administered routinely alongside the theory of mind paradigms,
e.g., the International Society for Bipolar Disorders-Battery for
Assessment of Neurocognition (ISBD-BANC) (82), to separate
out the effects of cognitive impairment and theory of mind
impairment. Third, further research should adopt more ecologi-
cal theory of mind tests, e.g., incorporating video-based material
or virtual reality scenarios (68, 83). We do not suggest that these
should replace use of the controlled simplistic tasks currently
in use, as these have the capacity to isolate specific individual
aspects of the impairment. On the other hand, although percep-
tion of cues from isolated modalities is of theoretical interest,
such an approach lacks the ecological validity of multi-modal
cues in naturalistic settings. In some populations, e.g., older
adults, it has even been demonstrated that impairments of social
cognition are reduced in magnitude when more life-like assess-
ments are used (84, 85). Related to this is the predominant use
of static photographs at present. By contrast, dynamic stimuli
are also ecologically valid and are information-rich, which
facilitates more accurate understanding (86–89). Evaluating the
performance of patients with bipolar disorder when responding
to theory of mind cues in more realistic situations will allow us
to better understand how these impairments might translate into
impairments in daily living. For example, the video modality
adopted by Montag et al. Frontiers in Psychiatry | www.frontiersin.org Relative Scale of Impairment One of the most prominent issues among studies, comparing
performance on theory of mind tasks across bipolar disorder
and schizophrenia, is the question of whether the impairments
are of equal magnitude. The use of traditional theory of mind
tests, such as the Reading the Mind in the Eyes and the Faux Pas
Tests, provides some evidence that the impairments observed in
schizophrenia might be greater than those in patients with bipolar
disorder (16, 105). However, the results are not always positive. In
one study, no differences in performance were observed between
patients with schizophrenia vs. bipolar disorder performing the
Happé Strange Stories task (112). Similarly, while patients with
schizophrenia, and bipolar patients with and without psychosis
all showed deficits on the Reading the Mind in the Eyes and
Hinting tasks, the level of impairment for each task was similar
across the three patient groups (115). One explanation is that if
the theory of mind impairment is linked to current psychosis, the
deficit should show a relationship to symptom severity irrespec-
tive of diagnosis, and therefore between-group differences might
not necessarily be expected. There is certainly some supporting
evidence for this (90, 109). A second explanation for the variable support for theory
of mind impairments being greater for schizophrenia than for
bipolar disorder is that as mentioned above, these simple tests
lack ecological validity (107), which has promoted other studies
wishing to compare the impairments in schizophrenia and bipo-
lar disorder to use more ecological tests. Here, the evidence for
greater impairment in schizophrenia is more convincing, which January 2016 | Volume 6 | Article 188 Frontiers in Psychiatry | www.frontiersin.org 11 ssessing patients with bipolar disorder with direct comparison to patients with schizophrenia. characteristics
Details of medication supplied
ToM Taskb
Key results
age 36.1 years; 86.7%
MAN/DEP: mood stabilizers, antipsychotics
and/or antidepressants
SCHIZ: antipsychotics
The Versailles-Situational
Intention Reading task (V-SIR):
video excerpts depicting
complex real-life scenes social
interactions. Also non-verbal
comic-strip task (see Sarfati
entry below)
MAN impaired relative to HC. Performance of MAN and DEP
not distinguishable. Trend toward
SCHIZ performing worse than
MAN. Relative Scale of Impairment No effect of group for comic-
strip task
ge 46.7 years; 50% M/50% F
age 35.4 years; 12M/3F
e 30.1 years; 5M/10F
age 42.2 years; 22.2%
age 42.5; 80% M/20% F
e 36.1; 33.3% M/66.7% F
EUTH: atypical antipsychotic (16/18); typical
antipsychotic (3/18); mood stabilizer (18/18);
antidepressant (8/18); sedative (5/18)
The Reading the Mind in the
Eyes Task; the Faux Pas test
Both SCHIZ and EUTH performed
worse than HC. SCHIZ performed
worse than EUTH in both tasks
SCHIZ: atypical antipsychotic (19/30); typical
antipsychotic (11/30); Mood stabilizer (4/30);
antidepressant (2/30); sedative (8/30)
e 44.8 years; 54.5%
BP: 269.8 mg chlorpromazine equivalents
SCHIZ: 555.9 mg chlorpromazine equivalents
The Reading the Mind in the
Eyes Task; the Hinting Task
BP impaired on Reading the Mind
in the Eyes Task; performance
comparable to SCHIZ. More subtle
impairment in BP relative to SCHIZ
for Hinting Task
age 41.1 years; 72.3%
e 37.5 years; 39.9%
ge 42.3 years, 8.3%
Not specified
The Sally-Anne Task (first-order
ToM); the Ice-Cream Van Test
(second-order ToM)
Both SCHIZ and AFF performed
Sally-Anne Task normally. SCHIZ
impaired on Ice-Cream Van Test,
but not AFF
age 46.3 years; 60.7%
e 20.4 years; 45% M/55% F
e 21.7 years; 27% M/73% F
AD: mean age 22.8 years;
F
BP: antipsychotic (24/40); antidepressant
(24/40); mood stabilizer (16/40)
The Reading the Mind in the
Eyes Task
SCHIZ/FEP/SAD more impaired
than BP. Across diagnostic
groups, performance correlated
with psychotic but not affective
symptoms
SCHIZ/FEP/SAD: antipsychotic (20/23);
antidepressant (3/23); mood stabilizer (1/23)
e 38.6 years; 37% M/63% F
BP and SCHIZ: receiving unspecified
pharmacological treatment
The Hinting Task
SCHIZ performed worse than BP
and HC. BP also worse than HC
age 40.4 years; 57.1%
e 43.3 years; 42% M/58% F
e 43.9 years; 54.4%
age 44.7 years; 55.3%
e 41.4 years; 55.6%
BP: antipsychotic (41/68); lithium (13/68)
SCHIZ: antipsychotic (38/38)
The Awareness of Social
Inference Test
On lie and sarcasm sub-scales,
BP not impaired relative to HC, but
SCHIZ performed better than BP
and SCHIZ
(C
ti
d ng the Mind in the
g Task
ness of Social
Test Mind in the
inting Task
Task (first-order
eam Van Test
oM) e Readi
es Task
e Hintin
e Aware
erence T essa
/23)
zer (1 haracteristics
Details of medication supplied
ToM Taskb
Key results
e 41.7 years; 40% M/60% F
age 28.3 years; 86.7%
34.3 years; 66.7%
AFF: antidepressant only (9/15); antidepressant
and typical antipsychotic (5/15); antidepressant
and atypical antipsychotic (1/15)
The Hinting Task
BP not impaired relative to
HC. SCHIZ worse than HC
and AFF. Across diagnostic
groups, performance correlated
with psychotic (delusions and
hallucinations) but not negative
symptoms
SCHIZ: typical antipsychotic only (4/15);
typical antipsychotic and anticholinergic (5/15);
atypical antipsychotic only (5/15); atypical
antipsychotic and anticholinergic
10.8 years; 78.3%
N/A
The Reading the Mind in the
Eyes Task
SCHIZ impaired, but BP no
different to HC
age 10.6 years; 71.4%
10.6 years; 55.2%
e 32.2 years; 100% F
Not specified, but mothers undergoing current
treatment for a psychiatric condition excluded
Five-minute video recordings
of unstructured play session
with baby coded
Relative to HD, DEP less likely to
comment on baby’s mental state. SCHIZ interactional behavior no
different to HC
e 29.0 years; 100% F
age 30.5 years; 100% F
30.5 years; 100% F
e 38.3 years; 40% M/60%
age 36.5 years; 63.3%
35.9 years; 65.5%
MAN: mood stabilizer (5/28); atypical
antipsychotic (5/28); typical antipsychotic
(1/28); mood stabilizer and atypical
antipsychotic (8/28); mood stabilizer and
antidepressant (4/28); typical antipsychotic
and atypical antipsychotic and anticonvulsant
(1/28); atypical antipsychotic and
The Strange Stories Task
Both patient groups equally
impaired. Reduced ToM
performance correlated with
delusion severity in MAN only eristics
Details of medication supplied
ToM Taskb
Key results
years; 40% M/60% F
3 years; 86.7%
ears; 66.7%
AFF: antidepressant only (9/15); antidepressant
and typical antipsychotic (5/15); antidepressant
and atypical antipsychotic (1/15)
The Hinting Task
BP not impaired relative to
HC. SCHIZ worse than HC
and AFF. Across diagnostic
groups, performance correlated
with psychotic (delusions and
hallucinations) but not negative
symptoms
SCHIZ: typical antipsychotic only (4/15);
typical antipsychotic and anticholinergic (5/15);
atypical antipsychotic only (5/15); atypical
antipsychotic and anticholinergic
ears; 78.3%
N/A
The Reading the Mind in the
Eyes Task
SCHIZ impaired, but BP no
different to HC
6 years; 71.4%
ears; 55.2%
years; 100% F
Not specified, but mothers undergoing current
treatment for a psychiatric condition excluded
Five-minute video recordings
of unstructured play session
with baby coded
Relative to HD, DEP less likely to
comment on baby’s mental state. SCHIZ interactional behavior no
different to HC
years; 100% F
5 years; 100% F
ears; 100% F
years; 40% M/60%
5 years; 63.3%
ears; 65.5%
MAN: mood stabilizer (5/28); atypical
antipsychotic (5/28); typical antipsychotic
(1/28); mood stabilizer and atypical
antipsychotic (8/28); mood stabilizer and
antidepressant (4/28); typical antipsychotic
and atypical antipsychotic and anticonvulsant
(1/28); atypical antipsychotic and
antidepressant (1/28); anticonvulsant and
antidepressant (1/28); no medication (3/28)
The Strange Stories Task
Both patient groups equally
impaired. Reduced ToM
performance correlated with
delusion severity in MAN only
SCHIZ: atypical antipsychotics (21/30); typical
antipsychotics (7/30); no medication (2/30)
years; 54.3%
6 years; 57.1%
%; 50% M/50% F
BP1: antipsychotic (2/33); mood stabilizer
(7/33); antipsychotic and mood stabilizer
(10/33); antidepressant and mood stabilizer
(7/33); antipsychotic and antidepressant and
mood stabilizer (2/33)
SCHIZ: antipsychotic (18/56); antipsychotic
and antidepressant (18/56); antipsychotic
and mood stabilizer (5/56); antipsychotic and
antidepressant and mood stabilizer (7/56)
The Awareness of Social
Inference Test
Both BP1 and SCHIZ impaired,
SCHIZ worse than BP1
(Continued ristics
Details of medication supplied
ToM Taskb
Key results
ears; 40% M/60% F
3 years; 86.7%
ears; 66.7%
AFF: antidepressant only (9/15); antidepressant
and typical antipsychotic (5/15); antidepressant
and atypical antipsychotic (1/15)
The Hinting Task
BP not impaired relative to
HC. SCHIZ worse than HC
and AFF. Across diagnostic
groups, performance correlated
with psychotic (delusions and
hallucinations) but not negative
symptoms
SCHIZ: typical antipsychotic only (4/15);
typical antipsychotic and anticholinergic (5/15);
atypical antipsychotic only (5/15); atypical
antipsychotic and anticholinergic
ars; 78.3%
N/A
The Reading the Mind in the
Eyes Task
SCHIZ impaired, but BP no
different to HC
6 years; 71.4%
ears; 55.2%
years; 100% F
Not specified, but mothers undergoing current
treatment for a psychiatric condition excluded
Five-minute video recordings
of unstructured play session
with baby coded
Relative to HD, DEP less likely to
comment on baby’s mental state. SCHIZ interactional behavior no
different to HC
years; 100% F
5 years; 100% F
ears; 100% F
years; 40% M/60%
5 years; 63.3%
ears; 65.5%
MAN: mood stabilizer (5/28); atypical
antipsychotic (5/28); typical antipsychotic
(1/28); mood stabilizer and atypical
antipsychotic (8/28); mood stabilizer and
antidepressant (4/28); typical antipsychotic
and atypical antipsychotic and anticonvulsant
(1/28); atypical antipsychotic and
antidepressant (1/28); anticonvulsant and
antidepressant (1/28); no medication (3/28)
The Strange Stories Task
Both patient groups equally
impaired. Reduced ToM
performance correlated with
delusion severity in MAN only
SCHIZ: atypical antipsychotics (21/30); typical
antipsychotics (7/30); no medication (2/30)
ears; 54.3%
6 years; 57.1%
50% M/50% F
BP1: antipsychotic (2/33); mood stabilizer
(7/33); antipsychotic and mood stabilizer
(10/33); antidepressant and mood stabilizer
(7/33); antipsychotic and antidepressant and
mood stabilizer (2/33)
SCHIZ: antipsychotic (18/56); antipsychotic
and antidepressant (18/56); antipsychotic
and mood stabilizer (5/56); antipsychotic and
The Awareness of Social
Inference Test
Both BP1 and SCHIZ impaired,
SCHIZ worse than BP1 g
groups, performance correlated
with psychotic (delusions and
hallucinations) but not negative
symptoms
the
SCHIZ impaired, but BP no
different to HC
ngs
ion
Relative to HD, DEP less likely to
comment on baby’s mental state. SCHIZ interactional behavior no
different to HC
Both patient groups equally
impaired. Reduced ToM
performance correlated with
delusion severity in MAN only
Both BP1 and SCHIZ impaired,
SCHIZ worse than BP1
(Continu 60% M/40%
ars; 33.3%
years; 20%
3.3%
ge 37.6 years;
n age
; 66%
6% M/54% F
ge 37.6 years;
n age
; 66%
rder; DEP, depr
ophrenia. aired, Both BP1 and SCHIZ
SCHIZ worse than BP sant (1/28); anticonvulsant and
sant (1/28); no medication (3/28)
ypical antipsychotics (21/30); typical
otics (7/30); no medication (2/30)
sychotic (2/33); mood stabilizer
psychotic and mood stabilizer
ntidepressant and mood stabilizer
psychotic and antidepressant and
bilizer (2/33)
tipsychotic (18/56); antipsychotic
pressant (18/56); antipsychotic
stabilizer (5/56); antipsychotic and
sant and mood stabilizer (7/56) Not specif
treatment f
F
60%
MAN: moo
antipsycho
(1/28); moo
antipsycho
antidepres
and atypic antidepres
antidepres
SCHIZ: at
antipsych
BP1: antip
(7/33); an
(10/33); a
(7/33); an
mood sta
SCHIZ: an
and antid
and mood
antidepre s; 54.3%
ears; 57.1%
% M/50% F Details of medication supplied
ToM Taskb
Key results
60% M/40%
MAN: antipsychotic (9/10)
SCHIZ: antipsychotic (24/25)
No difference in dose between groups
Custom-made comic-strip
task; participants select card
(from four) most likely to be
last cartoon drawing
No impairments
with disorganizat
worst
ars; 33.3%
years; 20%
.3%
e 37.6 years;
n age
BP1 with psychosis: antipsychotic (14/24);
anticonvulsant (13/24); antidepressant (10/24);
mood stabilizer (5/24)
The Reading the Mind in the
Eyes Task; the Hinting Task
All clinical groups
than HC, but at s
another
BP1 without psychosis: antipsychotic (8/24);
anticonvulsant (8/24); antidepressant (10/24);
mood stabilizer (2/24)
66%
SCHIZ: antipsychotic (29/30); anticonvulsant
(19/30); antidepressant (13/30); mood stabilizer
(2/30)
% M/54% F
e 37.6 years;
n age
66%
BP with psychosis: antipsychotic (8/24);
anticonvulsant (8/24); antidepressant (10/24);
mood stabilizer (2/24)
The Reading the Mind in the
Eyes Task; the Hinting Task. ToM only predict
capacity for SCH
BP without psychosis: antipsychotic (14/24);
anticonvulsant (13/24); antidepressant (10/24);
mood stabilizer (5/24)
SCHIZ: antipsychotic (29/30); anticonvulsant
(19/30); antidepressant (13/30); mood stabilizer
(2/30)
rder; DEP, depressed bipolar patients, DYS, Dysthymia; EUTH, euthymic bipolar patients; FEP, First-episode Psychosis; HC,
ophrenia. Symptomatic and Cognitive Mediators of
the Differences Given that patients with schizophrenia are sometimes more
impaired than patients with bipolar disorder, the question
becomes what is driving these differences? In cross-diagnosis
theory of mind studies, differences between the patients with
schizophrenia and bipolar disorder with respect to various basic
clinical factors often occur, including substance abuse (105) and
number of hospitalizations (115). Beyond striving to match such
basic clinical variables, another important target is to match for
generic severe mental illness pathology, so that any differences in
theory of mind impairment can then be attributed to the disorders
themselves rather than generic differences in symptom severity. When theory of mind in patients with schizophrenia and bipolar
disorder have been analyzed taking account of broad symptom
variables, such as depression, positive, and negative symptoms,
these types of factors are not always significant predictors of
impairment (108, 116). Moreover, differences in theory of mind
performance often remain significant after statistically control-
ling for differences in these broad measures (16). gf
Matching for level of positive symptoms at the recruitment
rather than statistical analysis stage has further facilitated evalua-
tion of theory of mind impairment according to disorder. When
this approach was adopted, patients with schizophrenia still
showed a greater theory of mind impairment than patients with
bipolar disorder (112), implying that factors other than psychosis
must also contribute to differences in performance between the
patient groups. Yet weight to a cross-diagnostic link between
theory of mind impairment and specific positive symptoms has
been provided by Marjoram et al., who evidenced such a rela-
tionship across patients with schizophrenia and a mixed group
of patients with unipolar or bipolar depression. Rather than
the theory of mind impairment being disease specific and only
occurring in patients with schizophrenia, they observed a cross-
diagnostic symptom-specific relationship between performance
of the Hinting task and positive symptoms as indexed by severity
of hallucinations/delusions (109). A similar story emerges from
other comparisons, such as the demonstration by Guastella et al. that performance of the Reading the Mind in the Eyes Test was
a strong predictor of global positive symptoms across patients
with likely psychotic vs. bipolar illness (90). Interestingly, when
the theory of mind performance of patients with schizophrenia
who did vs. ask. cap
rst-episode Ps ask. cap
st-episode P (
);
p
(
);
mood stabilizer (2/24)
y
BP without psychosis: antipsychotic (14/24);
anticonvulsant (13/24); antidepressant (10/24);
mood stabilizer (5/24)
SCHIZ: antipsychotic (29/30); anticonvulsant
(19/30); antidepressant (13/30); mood stabilizer
(2/30)
essed bipolar patients, DYS, Dysthymia; EUTH, euthymic bipolar (
)
p
(
)
mood stabilizer (2/24)
y
BP without psychosis: antipsychotic (14/24);
anticonvulsant (13/24); antidepressant (10/24);
mood stabilizer (5/24)
SCHIZ: antipsychotic (29/30); anticonvulsant
(19/30); antidepressant (13/30); mood stabilizer
(2/30)
essed bipolar patients, DYS, Dysthymia; EUTH, euthymic bipolar mood sta
BP withou
anticonvu
mood sta
SCHIZ: an
(19/30); a
(2/30)
ssed bipola Bipolar Disorder – Theory of Mind Mitchell and Young with bipolar disorder, it was only performance of the schizo-
phrenic patients with thought disorder that was impaired relative
to healthy controls (114). The performance of the patients with
schizophrenia without thought disorder was comparable to that
of patients with bipolar disorder, again suggesting a link between
theory of mind impairment and specific symptoms of psychosis,
rather than a general increase in impairment in schizophrenia.h implies that patients with schizophrenia might only show greater
theory of mind impairments than those in bipolar disorder on
more demanding or more life-like tests (108, 113). The Versailles-
Situational Intention Reading task (V-SIR) also comprises video
excerpts, and requires participants to rate the probabilities of
affirmations of the intentions of different characters. With this
task, a similar story emerges, and patients with schizophrenia
again showed greater deficits than patients with bipolar disorder,
but while the difference between schizophrenic and depressed
patients was significant, the difference between schizophrenic
and manic patients was not quite significant (104). Thus, there may be two co-existing patterns of results, namely
a symptom-specific relationship between theory of mind impair-
ment and certain positive symptoms that are independent of
diagnosis, and another unidentified cause of the differences. As
to what the likely cause is of this other unidentified contribution
to the differences, there are a number of candidates. Attributional
style has been explored in patients with schizophrenia and bipolar
disorder, and while both groups showed evidence of hostile socio-
cognitive biases, theory of mind impairment on the Hinting Task
was still greater in patients with schizophrenia than those with
bipolar disorder, thus ruling attribution style out as a possible
mediator (107). Emotion regulation has also been investigated. While patients with schizophrenia showed significantly greater
theory of mind impairment than those with bipolar disorder,
and distinct patterns of cognitive strategies were used to regulate
emotion in the two patient groups (schizophrenia: more likely to
engage in catastrophizing and rumination; bipolar disorder: more
likely to blame themselves and less likely to engage in positive
reappraisal), associations between theory of mind performance
and affect regulation were not observed in either group (113). On
the possibility of whether differences in medication dose or type
between patients with schizophrenia and bipolar disorder influ-
ence differences in theory of mind impairment, variability and
multiplicity in the medications being taken, makes comparison
of respective medication effects difficult (112, 116). However,
it is perhaps unlikely that medication differences might drive
differences in theory of mind performance. First, antipsychotic
equivalence dosage appears to have no effect on theory of mind
performance, i.e., there is no evidence of correlation between the
two (16, 109, 114). Second, use of antipsychotic medication did
not alter the predictive power of performance on the Reading the
Mind in the Eyes Test in relation to severity of positive symptoms
(90). Third, when the theory of mind performance of bipolar
patients taking antipsychotics is compared to the performance of
bipolar patients not taking antipsychotics, no significant differ-
ences were observed (108). Frontiers in Psychiatry | www.frontiersin.org January 2016 | Volume 6 | Article 188 Symptomatic and Cognitive Mediators of
the Differences did not show evidence of thought disorder (another
positive symptom) was compared to the performance of patients Another potential mediator of differences in theory of mind
performance worthy of consideration is the differences in cogni-
tive impairment between these two patient groups (117–119). This is a factor that comparative studies of theory of mind
across bipolar disorder and schizophrenia do not always control
for, leaving the door open for differences in cognitive function
between the two groups to confound differences in theory of mind
impairment. In the direct comparative literature, both differences
in theory of mind impairment and in cognitive function in the
verbal memory, episodic memory, working memory, attentional,
visual learning, reasoning, and processing speed domains have
been shown to co-exist in patients with schizophrenia vs. bipolar
disorder, but the impact of specific cognitive differences on dif-
ferences in theory of mind performance have not been analyzed January 2016 | Volume 6 | Article 188 15 Mitchell and Young Bipolar Disorder – Theory of Mind Despite the uncertain nature of the association of theory of
mind impairment across the two affective and non-affective
psychoses, given the potential for socio-cognitive deficits to
impact on social and occupational function, their comparison
remains important, because it may partly explain differences
in outcome between the disorders (16). For this same reason,
reliably identified differences among diagnoses may be crucial
to pinpoint treatment planning, medication management, and
long-term patient care (115). Establishing differences in social
functioning might also be indicative of the likely success of reme-
diation through recent socio-cognitive training schemes that aim
to improve abilities, such as theory of mind (124–127). It has
been claimed that socio-cognitive impairments, such as theory
of mind, may be less of a determinant of functioning in bipolar
disorder than in schizophrenia, and therefore that non-social
cognitive remediation may be better suited for bipolar disorder
(108). However, there has been little direct comparison of the
links between theory of mind impairment and social functioning
in the two patient groups. In the study by Caletti et al., patients
with bipolar disorder showed greater social functioning accord-
ing to the DSM General Assessment of Functioning Scale (56),
level of functioning was then shown to correlate with theory of
mind score, and impairments on the Reading the Mind in the
Eyes Test and Faux Pas Test were worse in schizophrenia than
in bipolar disorder (105). The Implications of Differential
Impairments p
In the literature focusing exclusively on bipolar disorder, moves
to link the experience of psychosis with increased theory of mind
impairment, although derived from a strong rationale, have not
yet been particularly productive. Bora et al. found no impact of
history of psychosis on performance of the Hinting Task when
comparing 26 patients with such a history to 17 patients with no
past history, but at the time of testing the patients were euthymic
(21). However, in another study, performance of that task by
symptomatic patients showed no difference between patients
with and without past history of psychosis (20). The same pattern
has been noted for other theory of mind tests, such as the Happé
Strange Stories Task (27), and for the relationship of history of
psychosis to cognitive and affective theory of mind (19), and for
both Bipolar 1 and Bipolar 2 Disorders (28). It might, therefore,
be concluded that theory of mind deficits do not constitute a
vulnerability marker for psychosis. However, in schizophrenia
itself, theory of mind deficits lessen when patients are in
remission (101, 120). Thus, seeking to link deficits to a history
of psychosis once bipolar patients are no longer experiencing
psychosis may be less likely to succeed than if testing patients
currently experiencing psychosis. We might not yet be using the
most optimal methods to evaluate the research questions being
pursued in this field.i In the first part of this review, we considered whether theory
of mind impairment could be a trait marker for bipolar disorder
across different mood states. Here, the question is could a theory
of mind impairment go one step further, and serve as a useful
cognitive endophenotype of proneness to psychosis? There are
certainly examples of non-social cognition being accepted as can-
didate endophenotypes for bipolar disorder and schizophrenia
(121, 122), and if theory of mind impairments prove to be an
endophenotype for the psychoses, this knowledge could ulti-
mately aid in efforts to identify risk-related genes for this group
of disorders, as well as in prevention and early intervention. At
present, yes theory of mind impairments are present in both
schizophrenia and bipolar disorder, but attempts to link these
findings as originating from a common (genetic) cause have not
yet been as successful as was hoped (108). Symptomatic and Cognitive Mediators of
the Differences It can be inferred from these data that
the impact of theory of mind impairment on functioning that
patients with schizophrenia experience might be greater than
that experienced in bipolar disorder, simply because they have a
greater theory of mind deficit. Although the correlations were not
examined separately in each patient group, this was performed
in a separate study in which better theory of mind performance
predicted better functioning, but only for the patients with
schizophrenia, not for those with bipolar disorder (116). So, the
early signs are that theory of mind impairment does indeed have
more of an impact on everyday functioning in schizophrenia than
in bipolar disorder. (16, 105, 108). The evidence for a differential influence of general
cognitive ability initially appears a little stronger, since IQ has
been shown to correlate with performance of the Reading the
Mind in the Eyes Test in patients with schizophrenia but not in
patients with bipolar disorder, and vice versa for performance of
the Hinting Task (16). However, the inclusion of IQ when analyz-
ing differences in theory of mind does not tend to change the
pattern of differences observed for the two disorders (16, 112). The Implications of Differential
Impairments It remains to be proven
unequivocally that theory of mind impairment in bipolar disor-
der and schizophrenia occurs specifically because the two are
both types of psychosis (108). Future studies might benefit from
expanding the comparisons to explore theory of mind impair-
ment in other related disorders, such as schizoaffective disorder,
schizophreniform disorder, and schizotypal personality disorder
(13, 123). Frontiers in Psychiatry | www.frontiersin.org CONCLUSION This theoretical review has attempted to synthesize the existing
data examining the ability of people with bipolar disorder to
deduce the feelings and intentions of other minds via “theory of
mind,” and what has been learned from the comparative study vs. the abilities of people with schizophrenia. In drawing the literature
together, a number of themes were identified. In part one, these
included the generalizability of impairments across different pres-
entations of bipolar disorder, changes in impairment according to
the type of theory of mind and the task used for assessment, the
influence of cognitive impairment and relationship to illness vari-
ables, and the prominent suggestion of a relationship to history
of psychotic symptoms. Then in part two, the prominent themes
included a smaller theory of mind impairment in patients with
bipolar disorder vs. schizophrenia, the relationship to differences
in symptoms and cognitive impairments between the disorders,
and the likely consequences of the differences in theory of mind
impairment for the clinical management of patients with bipolar
disorders vs. schizophrenia. January 2016 | Volume 6 | Article 188 Frontiers in Psychiatry | www.frontiersin.org 16 Bipolar Disorder – Theory of Mind Mitchell and Young increasingly sophisticated methods, the question of interest then
becomes what other factor is protecting patients with bipolar
disorder against the potential for theory of mind impairment to
compromise functional outcome. As to the question of what should
be done about theory of mind impairments in bipolar disorder,
by understanding the cognitive mechanisms that underlie theory
of mind impairment, reformulations as to how to remediate these
skills are facilitated. There is certainly optimism about possible
remediation in the literature on theory of mind in bipolar disorder
(23, 35), just as there has been for the improvement of theory of
mind in schizophrenia. Here, close examination of developments
in the literature on social cognition remediation in schizophrenia
will likely be of great inspiration. Indeed, there has already been
one successful report of the benefits of a remediation program
originally developed for use with patients with schizophrenia
being transferable to patients with a diagnosis of bipolar disorder
(127). CONCLUSION If the neurodevelopmental nature of schizophrenia and its
timing mitigate against acquisition of theory of mind to some
degree (5), the less pronounced neurodevelopmental processes
behind adult forms of bipolar disorder could be taken to indicate
an even greater potential for therapeutic success in attempts to
remediate theory of mind impairment in bipolar disorder. Given
our increased understanding of the neurobiological networks
involved in theory of mind, neuroimaging research will help
elucidate the dysfunctional underlying brain mechanisms across
the psychoses, and thereby further contribute to new advances in
the treatment of bipolar disorder. Due to many of the complexities discussed during this theo-
retical review, our understanding of theory of mind impairment
in bipolar disorder is not yet complete or consolidated, and
further research will be required before our knowledge reaches
the advanced state of the literature relating to schizophrenia. However, currently available data suggest the following trends. First, although consistent differences in impairment between the
mood states remain elusive, there is convincing evidence that
theory of mind is impaired in some way across the mood states,
and into the supposedly asymptomatic state of euthymia. It may,
therefore, be considered a trait rather than state impairment, i.e.,
one that is an enduring correlate of bipolar disorder. Given that
the structural neuroanatomical abnormalities associated with
bipolar disorder include regions crucial for the mediation of
theory of mind, e.g., medial prefrontal cortex (128), this is perhaps
not surprising. Genome-wide association studies have similarly
identified an enduring genetic association between the ZNF804A
risk-variant known to increase susceptibility for bipolar disorder
and the phentotype for (ab)normal functional connectivity dur-
ing theory of mind (129). As to methodological generalization,
given that the processing of emotion cues and some of the com-
mon neurocognitive sub-processes, e.g., “representing mental
states with propositional content” needed for any form of meta-
representation (130), are compromised in patients with bipolar
disorder (38, 131–133), it is likely that further research with sensi-
tive methodology will likely demonstrate impairment across both
cognitive and affective theory of mind. We further predict that the
possible inter-dependence of impairments in executive functions
and theory of mind will eventually prove fruitful given the strong
evidence elsewhere for a deterministic relationship between the
two processes throughout normal development (134, 135). FUNDING This review of current literature was conducted without fund-
ing. However, Dr. RM is currently supported by a NARSAD
Young Investigator Grant from the Brain & Behavior Research
Foundation. Prof. AY is currently supported by the National
Institute for Health Research (NIHR) Biomedical Research
Centre at South London and Maudsley NHS Foundation Trust
and King’s College London. The posts of both Dr Mitchell and
Prof Young are both supported by the Higher Education Funding
Council for England. AUTHOR CONTRIBUTIONS Dr. RM conducted the literature review and drafted the manu-
script. Prof. AY subsequently provided invaluable comments and
direction on that manuscript. Although this review was wide-ranging, it has highlighted a
number of pertinent gaps in the field, and has identified a number
of possible future directions. A more comprehensive understand-
ing of theory of mind impairments in bipolar disorder will be of
great clinical utility in devising improved psychological or cogni-
tive therapies that assist patients with everyday life skills. While
early studies of bipolar disorder have not yet established a clear
relationship between these impairments and functional outcome,
it is known from other patient populations that impaired theory
of mind is a crucial factor underlying poor life skills, poor social
cognition, and some aspects of psychosis. Based on this wider evi-
dence set, a phenomenon with this potential impact is deserved of
further study. Ultimately, if a lack of relationship between theory
of mind impairment and functional outcome was perpetuated by disorder. J Clin Exp Neuropsychol (2013) 35:655–68. doi:10.1080/13803395
.2013.809700 4. Sabbagh MA. Understanding orbitofrontal contributions to theory-of-mind
reasoning: implications for autism. Brain Cogn (2004) 55:209–19.
doi:10.1016/j.bandc.2003.04.002 disorder. J Clin Exp Neuropsychol (2013) 35:655–68. doi:10.1080/13803395
.2013.809700
4. Sabbagh MA. Understanding orbitofrontal contributions to theory-of-mind
reasoning: implications for autism. Brain Cogn (2004) 55:209–19.
doi:10.1016/j.bandc.2003.04.002
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fpsyg.2014.00388 Copyright © 2016 Mitchell and Young. This is an open-access article distributed
under the terms of the Creative Commons Attribution License (CC BY). The
use, distribution or reproduction in other forums is permitted, provided the
original author(s) or licensor are credited and that the original publication in
this journal is cited, in accordance with accepted academic practice. No use,
distribution or reproduction is permitted which does not comply with these
terms. Bipolar Disorder – Theory of Mind January 2016 | Volume 6 | Article 188 Frontiers in Psychiatry | www.frontiersin.org REFERENCES Distinguishing bipolar and
major depressive disorders by brain structural morphometry: a pilot study. BMC Psychiatry (2015) 15:298. doi:10.1186/s12888-015-0685-5 134. Devine RT, Hughes C. Relations between false belief understanding and
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85:1777–94. doi:10.1111/cdev.12237 114. Sarfati Y, Hardy-Bayle MC. How do people with schizophrenia explain the
behaviour of others? A study of theory of mind and its relationship to thought January 2016 | Volume 6 | Article 188 Frontiers in Psychiatry | www.frontiersin.org 20 Bipolar Disorder – Theory of Mind Mitchell and Young Bipolar Disorder – Theory of Mind 135. Moriguchi Y. The early development of executive function and its relation
to social interaction: a brief review. Front Psychol (2014) 5:388. doi:10.3389/
fpsyg.2014.00388 Conflict of Interest Statement: The authors declare that the research was con-
ducted in the absence of any commercial or financial relationships that could be
construed as a potential conflict of interest. January 2016 | Volume 6 | Article 188 Frontiers in Psychiatry | www.frontiersin.org 21
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The assessment of quality of groundwater used for drinking by the population of the Republic of Dagestan, Russia
|
Ûg Rossii: èkologiâ, razvitie
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cc-by
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Юг России: экология, развитие 2023 Т. 18 N 2 Юг России: экология, развитие 2023 Т. 18 N 2 Геоэкология Оригинальная статья / Original article
УДК 504:43; 550.4; 614:79
DOI: 10.18470/1992‐1098‐2023‐2‐92‐101 Оригинальная статья / Original article
УДК 504:43; 550 4; 614:79 Д
;
;
DOI: 10.18470/1992‐1098‐2023‐2‐92‐101 Оценка качества подземных вод, используемых в
хозяйственно‐питьевых целях в Республике Дагестан
Тамила О. Абдулмуталимова1,2, Омари М. Рамазанов1, Алибек Б. Алхасов1, Иса М. Газалиев2
1Институт проблем геотермии и возобновляемой энергетики – филиал Объединённого института высоких температур
Российской академии наук, Махачкала, Россия
2Институт геологии Дагестанского федерального исследовательского центра Российской академии наук, Махачкала, Россия Формат цитирования Результаты. В некоторых горных населенных пунктах выявлены
повышенные значения жесткости (до 14), а также практически
повсеместно дефицит йодидов. В подземных водах равнинных
населенных пунктов выявлено повышенное содержание фенолов,
кадмия и мышьяка. Получена 26 октября 2022 г. Прошла рецензирование 2 февраля 2023 г. Принята 6 февраля 2023 г. Заключение. Использование
населением
подземных
вод
для
питьевых целей в горных районах возможно с предварительным
проведением соответствующих мероприятий по смягчению воды и
профилактических мероприятий среди населения, связанных с
восполнением дефицита йода. Подземные воды равнинных районов
не соответствуют гигиеническим требованиям по содержанию
мышьяка, кадмия и фенолов, а канцерогенные риски для населения
находятся на уровне, недопустимом для населения. © 2023 Авторы. Юг России: экология, развитие. Это статья открытого доступа в соответствии с условиями Creative Commons
Attribution License, которая разрешает использование, распространение и воспроизведение на любом носителе при условии
правильного цитирования оригинальной работы. Резюме Тамила О. Абдулмуталимова, кандидат
биологических наук, старший научный
сотрудник, лаборатория энергетики, Институт
проблем геотермии и возобновляемой
энергетики ‐ филиал Объединённого института
высоких температур Российской академии наук;
367030 Россия, г. Махачкала, просп. И. Шамиля, 39а. Цель. Особенности геологического строения региона обуславливают
разнообразие химического состава подземных вод, представленных
родниками в горной части республики до артезианских вод в
равнинной части. Содержание некоторых контаминантов в питьевых
водах может сказываться на здоровье населения и иметь негативные
последствия. Целью работы является проведение сравнительного
анализа региональных особенностей подземных вод и обоснование
соответствия их гигиеническим нормативам, предъявляемым к
качеству питьевых вод. Тамила О. Абдулмуталимова, кандидат
биологических наук, старший научный
сотрудник, лаборатория энергетики, Институт
проблем геотермии и возобновляемой
энергетики ‐ филиал Объединённого института
высоких температур Российской академии наук;
367030 Россия, г. Махачкала, просп. И. Шамиля, 39а. Тел. +79034244344
Email tamila4@mail.ru
ORCID https://orcid.org/0000‐0003‐4743‐6154 Email tamila4@mail.ru
ORCID https://orcid.org/0000‐0003‐4743‐6154 Email tamila4@mail.ru
ORCID https://orcid.org/0000‐0003‐4743‐6154 Материалы и методы. Более 500 проб питьевой воды отобраны на
территории республики и проанализированы в аналитических
лабораториях Института проблем геотермии и возобновляемой
энергетики – филиала Объединённого института высоких температур
Российской академии наук и Института геологии Дагестанского
федерального исследовательского центра Российской академии наук. Оценки канцерогенных рисков для здоровья населения проведена
согласно Руководству 2.1.10.1920‐04. Формат цитирования
Абдулмуталимова Т.О., Рамазанов О.М., Алхасов
А.Б., Газалиев И.М. Оценка качества подземных
вод, используемых в хозяйственно‐питьевых
целях в Республике Дагестан // Юг России:
экология, развитие. 2023. Т.18, N 2. C. 92‐101. DOI: 10.18470/1992‐1098‐2023‐2‐92‐101 Ключевые слова Подземные воды, питьевое водоснабжение, геогенные химические
элементы, гигиенический норматив, канцерогенные риски здоровью
населения, Республика Дагестан. © 2023 Авторы. Юг России: экология, развитие. Это статья открытого доступа в соответствии с условиями Creative Commons
Attribution License, которая разрешает использование, распространение и воспроизведение на любом носителе при условии
правильного цитирования оригинальной работы. ecodag.elpub.ru/ugro/issue/current 92 South of Russia: ecology, development 2023 Vol. 18 no.2 Geoecology How to cite this article Abdulmutalimova T.O., Ramazanov O.M., Alhasov
A.B., Gazaliev I.M. The assessment of quality of
groundwater used for drinking by the population of
the Republic of Dagestan, Russia. South of Russia:
ecology, development. 2023, vol. 18, no. 2, pp. 92‐
101. (In Russian) DOI: 10.18470/1992‐1098‐2023‐2‐
92‐101 Results. In some mountainous settlements increased values of hardness
(up to 14) were revealed, as well as iodide deficiency almost everywhere. In the underground waters of lowland settlements, an increased content
of phenols, cadmium and arsenic was revealed. Received 26 October 2022
Revised 2 February 2023
Accepted 6 February 2023 Received 26 October 2022
Revised 2 February 2023
Accepted 6 February 2023 Conclusion. The use of groundwater by the population for drinking
purposes in mountainous areas is possible with the preliminary
implementation of appropriate water softening measures and preventive
measures among the population related to the replenishment of iodine
deficiency. The underground waters of the lowland areas do not meet the
hygienic requirements for content of arsenic, cadmium and phenols and
the carcinogenic risks for the population are at a level unacceptable for
the population. Email tamila4@mail.ru
ORCID https://orcid.org/0000‐0003‐4743‐6154 Email tamila4@mail.ru
ORCID https://orcid.org/0000‐0003‐4743‐6154 Email tamila4@mail.ru
ORCID https://orcid.org/0000‐0003‐4743‐6154 Materials and methods. More than 500 samples of drinking water were
taken on the territory of the republic and analysed in the analytical
laboratories of the Institute for Problems of Geothermy and Renewable
Energy, a branch of the Joint Institute for High Temperatures of the
Russian Academy of Sciences and the Institute of Geology of the Dagestan
Federal Research Center of the Russian Academy of Sciences. Assessment
of carcinogenic risks to public health was carried out in accordance with
Guideline 2.1.10.1920‐04. Abstract Tamila O. Abdulmutalimova, PhD in Biology, Senior
Researcher, Laboratory of Geoenergetics, Institute
of Geothermal Problems and Renewable Energy,
Branch of Joint Institute of High Temperatures,
Russian Academy of Sciences; 39a Prospect
I. Shamilya, Makhachkala, Russia, 367030. Tel. +79034244344 Aim. Features of the geological structure of the region determine the
diversity of the chemical composition of groundwater, represented by
springs in the mountainous part of the Republic of Dagestan and artesian
waters in the plains. The content of some contaminants in drinking water
can affect public health and have negative consequences. The purpose of
the work is to conduct a comparative analysis of the regional
characteristics of groundwater and substantiate their compliance with
hygienic standards for the quality of drinking water. © 2023 The authors. South of Russia: ecology, development. This is an open access article under the terms of the Creative Commons
Attribution License, which permits use, distribution and reproduction in any medium, provided the original work is properly cited. ВВЕДЕНИЕ ресурсов страны и обеспечивают около 20% всех
потребностей страны в хозяйственно‐питьевой воде. Прогнозные
эксплуатационные
ресурсы
питьевых
(пресных и солоноватых) подземных вод, оценённых по
бассейнам рек, составляют 317,2 км3 в год. Из
подземных гидрогеологических резервуаров ежед‐
невно добывается по 40 млн м3 воды (14,6 млрд м3 в
год) и этой водой обеспечиваются потребности 60%
городского и 85% сельского населения. Наиболее
удобны для этих целей воды артезианских бассейнов,
из которых они подаются с напором при помощи
скважин [10]. ВВЕДЕНИЕ
Подземные воды, характеризуясь особыми условиями
миграции и разнообразными условиями формирования
химического
состава,
являются
составной
частью
единой гидросферы Земли. В настоящее время пресные
подземные
воды
играют
значительную
роль
в
хозяйственно‐питьевом
водоснабжении
населения
многих стран. При этом отмечается тенденция к
увеличению
использования
подземных
вод
для
водоснабжения. Это объясняется тем, что подземные
воды, как источник водоснабжения, имеют ряд
преимуществ по сравнению с поверхностными водами. Подземные воды, как правило, обладают лучшим
качеством, более надежно защищены от загрязнения и
заражения,
меньше
подвержены
сезонным
и
многолетним колебаниям и в большинстве случаев их
использование не требует дорогостоящих мероприятий
по водоочистке. Дагестан, как один из самых водообеспеченных
регионов страны, обладает достаточными прогнозными
ресурсами пресных подземных вод хозяйственно‐
питьевого и производственно‐технического назначения. Подземные
воды
играют
существенную
роль
в
водоснабжении сельских населенных пунктов респуб‐
лики (62%) и, частично, городов Дербент, Кизляр,
Хасавюрт, Буйнакск, Южно‐Сухокумск (12–50%). Доля
подземных вод в общем балансе хозяйственно‐питье‐
вого водоснабжения в 2021г. составила более 27% [11]. На
формирование
качественного
состава
подземных
вод
влияют
геолого‐структурные
особенности
района,
его
металлогения,
литогео‐
химическая специализация горных пород, литолого‐
минералогические особенности, а также физико‐
химические
условия
миграции
элементов
и
их
комплексных соединений. По состоянию на 01.01.2022г. по предвари‐
тельным данным государственного баланса запасов
разведаны и оценены 56 месторождений (участков)
подземных
вод
с
суммарными
утвержденными
запасами в количестве 324,13 тыс. м3/сут, в том числе
около половины запасов (134 тыс. м3/сут) – для
водоснабжения таких городов, как Кизляр, Дербент,
Буйнакск и Хасавюрт. Согласно данным статистической
отчетности (форма № 4‐ЛС и 2‐ТП «Водхоз»), на
территории республики суммарная добыча подземных
вод составила 234,14 тыс. м3/сут, в том числе на
месторождениях 57,21 тыс. м3/сут (в эксплуатации
находилось 40 месторождений (участков), на участках с
неутвержденными запасами – 176,93 тыс. м3/сут. Степень освоения запасов составила 17,7% [12; 13]. В мировом масштабе использование подземных
вод покрывает примерно 50% потребности в питьевой
воде и 43% потребности орошения, а экономический
вклад подземных вод в сельское хозяйство оценивается
в 230 млрд долл. США в год. Key Words y
Groundwater, drinking water supply, natural chemical elements,
permissible level, human health, Republic of Dagestan. © 2023 The authors. South of Russia: ecology, development. This is an open access article under the terms of the Creative Commons
Attribution License, which permits use, distribution and reproduction in any medium, provided the original work is properly cited. ecodag.elpub.ru/ugro/issue/current ecodag.elpub.ru/ugro/issue/current 93 Юг России: экология, развитие 2023 Т. 18 N 2 Т.О. Абдулмуталимова и др. ВВЕДЕНИЕ С развитием мировой
экономики спрос на пресную воду растет, а загряз‐
ненные
пресные
поверхностные
источники
не
удовлетворяют всех потребностей мирового хозяйства. Как показали документы Всемирного саммита в
Йоханнесбурге (2002), Третьего Всемирного водного
форума
(2003–2022
гг.),
а
также
предложенная
Европейским
Союзом,
так
называемая,
Водная
инициатива, внимание мировой общественности все
больше привлекают проблемы качества и рациона‐
льного использования водных ресурсов. Растущая
техногенная
нагрузка
на
окружающую
среду,
стремительное уменьшение запасов питьевой воды на
планете, ухудшение ее качества сказываются на
здоровье
людей,
разнообразии
животного
и
растительного
мира. Известно,
что
основными
загрязняющими подземные воды веществами являются
фенолы, нефтепродукты, соединения меди, цинка,
нитратный азот, мышьяк, ртуть, марганец и т.д. [1–4],
которые образуются в результате деятельности различ‐
ных предприятий и функционирования населенных
пунктов [5; 6]. Рост городов и стремительное развитие
промышленности уже в XX веке привели Россию к
довольно сложной ситуации в отношении качества
питьевых вод. Поэтому антропогенное воздействие
является главной причиной снижения биосферных
функций,
изменения
физического
и
химического
состояния подземных вод [7]. В структуре подземных вод Дагестана следует
выделить южную горную часть и северную равнинную, в
которых сосредоточена основная их масса. Подземные
воды горной части оцениваются модулем родникового
стока. Подземные
воды
равнинных
территорий
представлены высоконапорными артезианскими водами,
входящими в состав крупнейшего резервуара пресных вод
Восточно‐Предкавказского артезианского бассейна [14]. Благополучная в целом по республике ситуация с
количественной
обеспеченностью
водопотребности
ресурсами пресных подземных вод омрачается фактами
загрязнения
подземной
гидросферы
некоторыми
вредными компонентами, нерациональным водополь‐
зованием и большой вероятностью проникновения в
водоносные
пласты
высокоминерализованных
вод
глубоких горизонтов с содержанием токсичных элементов
[15]. Зачастую концентрации контаминантов оказываются
выше установленных гигиенических нормативов (ГН),
предъявляемых к качеству питьевой воды. Общая откартированная площадь загрязнения
подземных
вод
в
пределах
Республики
Дагестан
составляет 3,8 тыс. км2 [12]. Во
многих
европейских
странах:
Австрия,
Бельгия, Германия, Венгрия, Дания, Румыния, Швей‐
цария использование подземных вод превышает 70% от
общего водопотребления. Россия обладает огромным
водно‐ресурсным потенциалом, масштабы и основные
характеристики которого во многом уникальны. 20%
мировых ресурсов пресной воды (без учета ледников и
подземных вод) приходится на Россию [8; 9]. Подзем‐
ные воды составляют значительную часть водных В ходе проведенных исследований было выявлено
повышенное содержание некоторых токсичных компо‐
нентов, дифференцированных по классу опасности: I – чрезвычайно опасные – мышьяк; II – высокоопасные – кадмий, бром, кремний, бор, барий;
III – опасные – марганец, железо, аммоний; ecodag.elpub.ru/ugro/issue/current 94 South of Russia: ecology, development 2023 Vol. 18 no.2 T.O. Abdulmutalimova et al. IV – умеренно опасные – фенолы, сульфаты, общая
жесткость воды. МАТЕРИАЛЫ И МЕТОДЫ ИССЛЕДОВАНИЯ Исследования заключаются в проведении полевых и
лабораторных работ. В ходе полевых работ были
отобраны
образцы
питьевой
подземной
воды
в
населённых пунктах Республики Дагестан, а также
проанализированы литературные источники Института
геологии [12; 15] и аналитического центра коллективного
пользования ДФИЦ РАН [16; 17] по качеству подземных
водоисточников, что позволило сопоставить данные и
получить полную картину качественного состава питьевых
подземных вод республики. Сравнение полученных
результатов с нормативными требованиями, предъяв‐
ляемых к качеству питьевой воды [18–20], позволило
выявить несоответствие по некоторым компонентам. Исследования заключаются в проведении полевых и
лабораторных работ. В ходе полевых работ были
отобраны
образцы
питьевой
подземной
воды
в
населённых пунктах Республики Дагестан, а также
проанализированы литературные источники Института
геологии [12; 15] и аналитического центра коллективного
пользования ДФИЦ РАН [16; 17] по качеству подземных
водоисточников, что позволило сопоставить данные и
получить полную картину качественного состава питьевых
подземных вод республики. Сравнение полученных
результатов с нормативными требованиями, предъяв‐
ляемых к качеству питьевой воды [18–20], позволило
выявить несоответствие по некоторым компонентам. В ходе данного исследования образцы воды,
используемой
населением
для
питьевых
целей,
отбирались непосредственно из скважин и впоследствии
доставлялись в аналитическую лабораторию Института
проблем геотермии и возобновляемой энергетики –
филиала Объединенного института высоких температур
Российской академии наук (ИПГВЭ ОИВТ РАН) для
проведения соответствующих анализов. На протяжении
5 лет (2015–2019 гг.) в разные сезоны года были отобраны
более 500 проб питьевой воды с целью оценки динамики
изменения концентраций некоторых контаминантов и
влияния сезонных изменений на качественный состав
подземных вод. Следует отметить, что все обнаруженные токсич‐
ные элементы имеют природное происхождение
[23–25]. Точное объяснение причин их нахождения в
подземных водах на сегодняшний день неизвестно, но,
предположительно, фенолы, обнаруженные в Ногайс‐
ком районе, могут быть связаны с месторождениями
термальных
вод
и
глубинными
тектоническими
разломами в этой области, которая характеризуется
сейсмичностью. А возникновение кадмия и мышьяка,
вероятно, связано с минералами, в состав которых они
входят. Следует также отметить, что распространение
фенола и кадмия имеет более локальный характер, в то
время как мышьяк был обнаружен в 97% образцов. При проведении оценки канцерогенных рисков
для здоровья населения согласно Руководству 2.1.10.1920‐
04 [21] использовались данные, полученные в результате
химического
анализа
и
анкетирования
населения
(100 человек), в ходе которого выявлены региональные
факторы водопотребления. Учитывая, что мышьяк относится к I группе
опасности и является доказанным канцерогеном, было
проведено исследование его содержания в питьевых
подземных водах. С помощью геоинформационных
систем
была
составлена
карта
пространственного
распространения мышьяка с ранжированием по уровню
его содержания (рис. 4). ВВЕДЕНИЕ практически во всех проанализированных образцах, что
подтверждает
эндемичность
региона
по
такому
заболеванию, как диффузный, или узловой зоб. Проблему дефицита йода можно решить употреб‐
лением в пищу йод содержащих продуктов, в частности
йодированной
соли,
а
уменьшение
жесткости
возможно
благодаря
использованию
смягчающих
фильтров. Таким образом, использование подземных
вод в горной части республики допустимо, однако в
некоторых районах необходимо проведение мероприя‐
тий среди населения по восполнению дефицита йода, а
также информирование населения о необходимости
использования фильтров для смягчения воды перед её
употреблением. Согласно
ВОЗ,
80%
заболеваний
вызвано
потреблением
некачественной
питьевой
воды. И,
очевидно,
что
изучение
качества
питьевой
воды,
проведение мероприятий по его улучшению обуславли‐
вает
санитарно‐эпидемиологическое
благополучие
населения. Целью настоящего исследования является оценка
качества
подземных
вод
Дагестана,
используемых
населением
в
качестве
источников
хозяйственно‐
питьевого водоснабжения в аспекте влияния на здоровье
населения. Задачами исследования явились: Анализ данных по качеству питьевой воды,
образцы которой были отобраны в артезианских
скважинах равнинного Дагестана, выявил повышенные
концентрации мышьяка, кадмия и фенолов (рис. 1–3). Обнаруженные концентрации не вызывают острого
токсического
воздействия
на организм человека,
однако при длительном воздействии даже малых доз
возможно возникновение патологических изменений. Так, например, при длительном пероральном поступ‐
лении кадмия возможно нарушение функции почек. Токсическое воздействие фенолов сказывается на
желудочно‐кишечном тракте, центральной нервной
системе и способно вызывать нарушения в развитии
детей. Наибольшую
обеспокоенность
вызывает
мышьяк, обнаруженный практически во всех исследо‐
ванных образцах питьевой воды, что свидетельствует о
повсеместном загрязнении подземных вод. Мышьяк
относится к 1 группе канцерогенов и при хроническом
пероральном воздействии вызывает ряд системных
нарушений в организме человека, вплоть до развития
злокачественных
новообразований
[22]. Таким
образом,
население
Северного
Дагестана
общей
численностью более 700 тыс. человек вынуждено на
протяжении длительного времени использовать эти
воды для питьевых целей и подвергается риску
развития ряда заболеваний. ‐ оценка качества подземных вод, используемых
населением Дагестана для питьевых нужд; населением Дагестана для питьевых нужд; ‐ выявление наиболее опасных контаминантов; ‐оценка
канцерогенных
рисков
здоровью
населения при использовании подземных вод для
питьевых нужд. МАТЕРИАЛЫ И МЕТОДЫ ИССЛЕДОВАНИЯ Среднее содержание мышьяка
превышает допустимый норматив в 19 раз, максимальное
содержание – в 50 раз. Пространственный анализ
распространения мышьяка позволяет выявить высокую
контрастность его гидрохимических аномалий [25]. ecodag.elpub.ru/ugro/issue/current ПОЛУЧЕННЫЕ РЕЗУЛЬТАТЫ И ИХ ОБСУЖДЕНИЕ Анализ образцов питьевой воды в горной части
Дагестана и сопоставление с результатами анализов,
полученных другими исследователями, выявил незна‐
чительные повышенные значения жесткости, суль‐
фатов, а также дефицит содержания йодидов, калия,
магния, кальция, фторидов. По всем остальным
показателям подземные воды отвечают гигиеническим
требованиям,
предъявляемым
к
питьевой
воде. Следует отметить, что дефицит йода наблюдается ecodag.elpub.ru/ugro/issue/current 95 Юг России: экология, развитие 2023 Т. 18 N 2 Т.О. Абдулмуталимова и др. Т.О. Абдулмуталимова и др. Юг России: экология, развитие 2023 Т. 18 N 2
Рисунок 1. Содержание кадмия в образцах питьевой воды в населенных пунктах
Северного Дагестана (ГН – 0,001 мг/л)
Figure 1. Cadmium concentration in drinking water samples from Northern Dagestan
districts (hygienic standard – 0.001 mg/L)
Рисунок 2. Содержание фенолов в образцах питьевой воды в населенных пунктах
Северного Дагестана (ГН – 0,001 мг/л)
Figure 2. Phenol concentration in drinking water samples from Northern Dagestan
districts (hygienic standard – 0.001 mg/L)
Э
б
К Рисунок 1. Содержание кадмия в образцах питьевой воды в населенных пунктах
Северного Дагестана (ГН – 0,001 мг/л)
Figure 1. Cadmium concentration in drinking water samples from Northern Dagestan
districts (hygienic standard – 0.001 mg/L) Рисунок 2. Содержание фенолов в образцах питьевой воды в населенных пунктах
Северного Дагестана (ГН – 0,001 мг/л)
Figure 2. Phenol concentration in drinking water samples from Northern Dagestan
districts (hygienic standard – 0.001 mg/L) Рисунок 2. Содержание фенолов в образцах питьевой воды в населенных пункта
Северного Дагестана (ГН – 0,001 мг/л)
Figure 2. Phenol concentration in drinking water samples from Northern Dagestan
districts (hygienic standard – 0.001 mg/L) Канцерогенная опасность мышьяка рассчитана
на основе индивидуальных канцерогенных рисков с
учётом его среднесуточного поступления. Результаты
индивидуальных канцерогенных рисков приведены в
таблице 2. Предварительно был проведен опрос среди
экспонированного населения с целью выявления
региональных факторов водопотребления, которые
использовались в расчётах. Экспонированная
часть
населения
была
также
дифференцирована по уровню содержания мышьяка в
питьевой воде. Большая часть населения потребляет
питьевую воду с содержанием мышьяка с превыше‐
нием ГН до 5 раз и около 3% населения используют для
питья воду с содержанием мышьяка в 40–50 раз выше
допустимого норматива (табл. 1). Превышение гигиенического норматива в 20 и
более раз выявлено в 12 населенных пунктах с общей
численностью населения 15,8 тыс. человек. ecodag.elpub.ru/ugro/issue/current 96 South of Russia: ecology, development 2023 Vol. 18 no.2 T.O. Abdulmutalimova et al. South of Russia: ecology, development 2023 Vol. 18 no.2
T.O. Abdulmutalimova et al. Рисунок 3. ПОЛУЧЕННЫЕ РЕЗУЛЬТАТЫ И ИХ ОБСУЖДЕНИЕ – индивидуальный
дополнительный канцерогенный риск при среднем значении содержания мышьяка в питьевой воде
Note: ICR min – individual cancer risk (As content – 0.01 mg/L); ICR max – individual cancer risk (As content – 0.5 mg/L)
ICR medium – individual cancer risk (As content – 0.09 mg/L) воде 0,01–0,5 мг/л) популяционные канцерогенные
риски для населения численностью 309,7 тыс. человек
при наиболее низких и высоких концентрациях составят
от 2 до 95 дополнительных случаев рака в год. Общий
популяционный канцерогенный риск для населения
исследуемых районов при средней концентрации
мышьяка (0,19 мг/л) в питьевой воде составит
36 дополнительных случаев заболеваний в год. Фактически численность населения Северного Дагес‐
тана, потребляющего питьевую воду с высоким
содержанием мышьяка, значительно выше, и при
экстраполяции данных на всё население популя‐
ционные риски также будут на порядок выше. воде 0,01–0,5 мг/л) популяционные канцерогенные
риски для населения численностью 309,7 тыс. человек
при наиболее низких и высоких концентрациях составят
от 2 до 95 дополнительных случаев рака в год. Общий
популяционный канцерогенный риск для населения
исследуемых районов при средней концентрации
мышьяка (0,19 мг/л) в питьевой воде составит
36 дополнительных случаев заболеваний в год. Фактически численность населения Северного Дагес‐
тана, потребляющего питьевую воду с высоким
содержанием мышьяка, значительно выше, и при
экстраполяции данных на всё население популя‐
ционные риски также будут на порядок выше. При содержании мышьяка в питьевой воде до 0,2 мг/л,
что в 20 раз превышает допустимый гигиенический
норматив, индивидуальный канцерогенный риск нахо‐
дится на уровне 10
‐3, свыше 0,2 мг/л – на уровне 10
‐2. Согласно классификации уровней рисков, величины
индивидуальных
рисков
находятся
на
уровне,
недопустимом для населения. Кроме того, учитывая численность прожи‐
вающего на исследуемой территории населения, были
рассчитаны популяционные канцерогенные риски для
выделенных субпопуляций в виде ожидаемого числа
дополнительных случаев онкологических заболеваний
в год. Полученные результаты расчёта популяционных
канцерогенных рисков позволяют выявить субпопу‐
ляции с высоким и низким уровнями рисков. Для
субпопуляции
численностью
108
тысяч
человек,
проживающей на территории с содержанием мышьяка
в питьевой воде в 10–19 раз выше допустимого уровня,
характерен
наибольший
популяционный
канцеро‐
генный риск, который составляет от 7 до 13 допол‐
нительных случаев рака в год в данной популяции. Низкие показатели популяционных канцерогенных
рисков (примерно 1 случай рака в год) характерны для
субпопуляции, численностью около 17 тыс. человек и
потребляющей воду с содержанием мышьяка выше
допустимого уровня в 5–9 раз. ПОЛУЧЕННЫЕ РЕЗУЛЬТАТЫ И ИХ ОБСУЖДЕНИЕ Содержание мышьяка в образцах питьевой воды в населенных пунктах
Северного Дагестана (ГН – 0,01 мг/л)
Figure 3. Arsenic concentration in drinking water samples from Northern Dagestan
districts (hygienic standard – 0.01 mg/L) Рисунок 3 Содержание мышьяка в образцах питьевой воды в населенных пунктах Рисунок 3. Содержание мышьяка в образцах питьевой воды в населенных пунктах
Северного Дагестана (ГН – 0,01 мг/л)
Figure 3. Arsenic concentration in drinking water samples from Northern Dagestan
districts (hygienic standard – 0.01 mg/L) ecodag elpub ru/ugro/issue/current
97
Рисунок 4. Пространственное распространение мышьяка на территории Северного Дагестана
Figure 4. Arsenic distribution in the Northern Dagestan area Рисунок 4. Пространственное распространение мышьяка на территории Северного Дагестана
Figure 4. Arsenic distribution in the Northern Dagestan area Рисунок 4. Пространственное распространение мышьяка на территории Северного Дагестана
Figure 4. Arsenic distribution in the Northern Dagestan area 97 Юг России: экология, развитие 2023 Т. 18 N 2 Т.О. Абдулмуталимова и др. Таблица 1. Содержание мышьяка в питьевой воде из подземных источников водоснабжения
и численность экспонированного населения
Table 1. Arsenic contamination in groundwater used for drinking and the exposed population
№
Содержание
мышьяка в питьевой
воде, мг/л
(ГН 0,01мг/л)
Arsenic contamination
in drinking water, mg/L
(Hygienic standard
0,01 mg/L)
Частота
распределения
концентраций
мышьяка,
%
Frequency of arsenic
occurrence in water
samples, %
Численность
экспонированного
населения,
тыс. чел. Exposed population,
thousand people
Доля от общей численности
населения исследованных
районов Северного
Дагестана
(309,7 тыс. чел.), %
Percentage of total exposed
population (309.7 thousand
people) in North Daghestan
1
0,01–0,04
15,8
167134
53,9
2
0,05–0,09
24,7
16985
5,5
3
0,1–0,19
36,8
108147
34,9
4
0,2–0,3
17,9
9023
2,9
5
0,4–0,5
4,8
8444
2,8
0,01–0,5
100
309733
100
Таблица 2. Индивидуальные канцерогенные риски
Table 2. Individual cancer risks
№
Концентрация As (C), мг/л
As concentration (C), mg/L
Индивидуальные канцерогенные риски, ICR
Individual cancer risks, ICR
C min
C max
C сред. C, medium
ICR min
ICR max
ICR, среднее
значение
ICR, medium
1
0,01
0,04
0,025
4,29E‐04
1,71E‐03
1,07E‐03
2
0,05
0,09
0,07
2,14E‐03
3,86E‐03
3,00E‐03
3
0,1
0,19
0,14
4,29E‐03
8,14E‐03
6,00E‐03
4
0,2
0,3
0,25
8,57E‐03
1,29E‐02
1,07Е‐02
5
0,4
0,5
0,4
1,71E‐02
2,14E‐02
1,71E‐02
Примечание: ICR min – индивидуальный дополнительный канцерогенный риск при указанной минимальной
концентрации мышьяка в питьевой воде; ICR max – индивидуальный дополнительный канцерогенный риск
при указанной максимальной концентрации мышьяка в питьевой воде; ICR сред. ПОЛУЧЕННЫЕ РЕЗУЛЬТАТЫ И ИХ ОБСУЖДЕНИЕ – индивидуальный
дополнительный канцерогенный риск при среднем значении содержания мышьяка в питьевой воде
Note: ICR min – individual cancer risk (As content – 0.01 mg/L); ICR max – individual cancer risk (As content – 0.5 mg/L);
ICR medium – individual cancer risk (As content – 0.09 mg/L) Таблица 1. Содержание мышьяка в питьевой воде из подземных источников водоснабжения
и численность экспонированного населения
Table 1. Arsenic contamination in groundwater used for drinking and the exposed population
№
Содержание
мышьяка в питьевой
воде, мг/л
(ГН 0,01мг/л)
Arsenic contamination
in drinking water, mg/L
(Hygienic standard
0,01 mg/L)
Частота
распределения
концентраций
мышьяка,
%
Frequency of arsenic
occurrence in water
samples, %
Численность
экспонированного
населения,
тыс. чел. Exposed population,
thousand people
Доля от общей численности
населения исследованных
районов Северного
Дагестана
(309,7 тыс. чел.), %
Percentage of total exposed
population (309.7 thousand
people) in North Daghestan
1
0,01–0,04
15,8
167134
53,9
2
0,05–0,09
24,7
16985
5,5
3
0,1–0,19
36,8
108147
34,9
4
0,2–0,3
17,9
9023
2,9
5
0,4–0,5
4,8
8444
2,8
0,01–0,5
100
309733
100 Таблица 1. Содержание мышьяка в питьевой воде из подземных источников водоснабжения
и численность экспонированного населения
Table 1 Arsenic contamination in groundwater used for drinking and the exposed population Таблица 2. Индивидуальные канцерогенные риски
Table 2. Individual cancer risks Таблица 2. Индивидуальные канцерогенные риски
Table 2. Individual cancer risks
№
Концентрация As (C), мг/л
As concentration (C), mg/L
Индивидуальные канцерогенные риски, ICR
Individual cancer risks, ICR
C min
C max
C сред. C, medium
ICR min
ICR max
ICR, среднее
значение
ICR, medium
1
0,01
0,04
0,025
4,29E‐04
1,71E‐03
1,07E‐03
2
0,05
0,09
0,07
2,14E‐03
3,86E‐03
3,00E‐03
3
0,1
0,19
0,14
4,29E‐03
8,14E‐03
6,00E‐03
4
0,2
0,3
0,25
8,57E‐03
1,29E‐02
1,07Е‐02
5
0,4
0,5
0,4
1,71E‐02
2,14E‐02
1,71E‐02
Примечание: ICR min – индивидуальный дополнительный канцерогенный риск при указанной минимальной
концентрации мышьяка в питьевой воде; ICR max – индивидуальный дополнительный канцерогенный риск
при указанной максимальной концентрации мышьяка в питьевой воде; ICR сред. – индивидуальный
дополнительный канцерогенный риск при среднем значении содержания мышьяка в питьевой воде
Note: ICR min – individual cancer risk (As content – 0.01 mg/L); ICR max – individual cancer risk (As content – 0.5 mg/L);
ICR medium – individual cancer risk (As content – 0.09 mg/L) Примечание: ICR min – индивидуальный дополнительный канцерогенный риск при указанной минимальной
концентрации мышьяка в питьевой воде; ICR max – индивидуальный дополнительный канцерогенный риск
при указанной максимальной концентрации мышьяка в питьевой воде; ICR сред. ecodag.elpub.ru/ugro/issue/current South of Russia: ecology, development 2023 Vol. 18 no.2 Геологические, гидрогеологические и инженерно‐
геологические исследования на участке расчистки русла реки
Медведицы // Машиностроение и безопасность
жизнедеятельности. 2011. N 2. С. 22–25. 6. Ошкин М.И., Полозова И.А., Голубева Ю.С., Желтобрюхов
В.Ф. Геологические, гидрогеологические и инженерно‐ 6. Ошкин М.И., Полозова И.А., Голубева Ю.С., Желтобрюхов
В.Ф. Геологические, гидрогеологические и инженерно‐
геологические исследования на участке расчистки русла реки
Медведицы // Машиностроение и безопасность
жизнедеятельности. 2011. N 2. С. 22–25. ‐
изучение
и
применение
медицинских
препаратов с использованием хелатирующей и/или
антиоксидантной терапии, повышающих адаптацио‐
нные возможности организма. 3) по работе с населением через информи‐
рование о возможных рисках для здоровья: 7. Шарапов Р.В. Глобальные экологические катастрофы: миф
или реальность? // Машиностроение и безопасность
жизнедеятельности. 2011. N 1. С. 14–16. 7. Шарапов Р.В. Глобальные экологические катастрофы: миф
или реальность? // Машиностроение и безопасность
жизнедеятельности. 2011. N 1. С. 14–16. ‐
распространение
информации
среди ‐
распространение
информации
среди
экспонируемого населения об источниках поступления
токсичных компонентов и возможных последствиях его
воздействия; 8. Шойгу С.К. и др. Атлас природных и техногенных
опасностей и рисков чрезвычайных ситуаций в Российской 8. Шойгу С.К. и др. Атлас природных и техногенных
опасностей и рисков чрезвычайных ситуаций в Российской Федерации. М.: «Издательство «Феория»», 2011 г. Карта воды
России. URL: http://watermap.zdorovieinfo.ru/karta‐zagraznenii‐
pdk?zoom=4&page=1&CenterX=47. Федерации. М.: «Издательство «Феория»», 2011 г. Карта воды
России. URL: http://watermap.zdorovieinfo.ru/karta‐zagraznenii‐
pdk?zoom=4&page=1&CenterX=47. ‐ организация мероприятий по пропаганде
здорового образа жизни, усилению мотивации населе‐
ния к сохранению собственного здоровья. 726749&CenterY=58.759918#20]. (дата обращения: 14.01. 2023)
9. Качество подземных вод России и их загрязнение. URL:
http://www.protown.ru/information/hide/2832.html (дата
обращения: 14.01. 2023) 726749&CenterY=58.759918#20]. (дата обращения: 14.01. 2023)
9. Качество подземных вод России и их загрязнение. URL:
http://www.protown.ru/information/hide/2832.html (дата
обращения: 14.01. 2023) ПОЛУЧЕННЫЕ РЕЗУЛЬТАТЫ И ИХ ОБСУЖДЕНИЕ Таким образом, расчет канцерогенных рисков
показал,
что
исследованные
питьевые
воды
в
гидрогеохимической
провинции
на
территории
Северного Дагестана, при условии их постоянного
длительного
использования
формируют
высокие
уровни канцерогенного риска [26; 27] для здоровья
населения. Проведенные исследования питьевых подземных вод
позволили разработать ряд практических рекомен‐
даций о проведении следующих мероприятий: 1) организационных и санитарно‐технических:
мониторинг качества питьевых вод; 1) организационных и санитарно‐технических:
‐ мониторинг качества питьевых вод;
‐проведение
углубленных
эпидемио‐ логических
исследований
в
районах
гидрогео‐
химической аномалии; Следует также отметить, что при сохраняющихся
условиях экспозиции (содержание мышьяка в питьевой ecodag.elpub.ru/ugro/issue/current ecodag.elpub.ru/ugro/issue/current 98 South of Russia: ecology, development 2023 Vol. 18 no.2 South of Russia: ecology, development 2023 Vol. 18 no.2 T.O. Abdulmutalimova et al. исследований оценки воздействия некоторых токсич‐
ных компонентов на здоровье населения [28; 29]. ‐ инвентаризация существующих артезианских
скважин и организация их зон санитарной охраны;
‐ обеспечение кранового режима эксплуа‐
тации самоизливающихся артезианских скважин;
‐ разработка технологий очистки питьевых вод
от токсичных компонентов, оптимальных для регио‐
нальных
особенностей
территории,
эффективных,
экономически выгодных и удобных в эксплуатации для
больших групп населения; ‐ инвентаризация существующих артезианских
скважин и организация их зон санитарной охраны;
‐ обеспечение кранового режима эксплуа‐
тации самоизливающихся артезианских скважин;
‐ разработка технологий очистки питьевых вод
от токсичных компонентов, оптимальных для регио‐
нальных
особенностей
территории,
эффективных,
экономически выгодных и удобных в эксплуатации для
больших групп населения; ‐ инвентаризация существующих артезианских
скважин и организация их зон санитарной охраны; ‐ инвентаризация существующих артезианских
скважин и организация их зон санитарной охраны; ‐ инвентаризация существующих артезианских
скважин и организация их зон санитарной охраны;
‐ обеспечение кранового режима эксплуа‐ ‐ обеспечение кранового режима эксплуа‐
тации самоизливающихся артезианских скважин;
б
й БИБЛИОГРАФИЧЕСКИЙ СПИСОК
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эффективных,
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работников
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клинике
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ранней
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вод
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населением
подземных
вод
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предварительным
проведением
соответствующих
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энергетика: проблемы и перспективы. Актуальные проблемы
освоения возобновляемых энергоресурсов. Материалы VI
Международной конференции «Возобновляемая энергетика:
проблемы и перспективы» и XII школы молодых ученых
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Дагестана (горные районы). Махачкала: АЛЕФ, 2019. 154 с. ‐ подземные воды равнинных районов не
соответствуют
гигиеническим
требованиям
по
содержанию
мышьяка,
кадмия
и
фенолов. Канцерогенные риски для населения, вызванные
длительным потреблением этих вод в питьевых целях,
находятся на уровне, недопустимом для населения,
следовательно,
необходимо
проведение
целевых
мероприятий по очистке от мышьяка и других
загрязняющих компонентов, либо поиска альтер‐
нативных источников водоснабжения. ‐ подземные воды равнинных районов не
соответствуют
гигиеническим
требованиям
по
содержанию
мышьяка,
кадмия
и
фенолов. Канцерогенные риски для населения, вызванные
длительным потреблением этих вод в питьевых целях,
находятся на уровне, недопустимом для населения,
следовательно,
необходимо
проведение
целевых
мероприятий по очистке от мышьяка и других
загрязняющих компонентов, либо поиска альтер‐
нативных источников водоснабжения. 13. Алхасов А.Б., Алхасова Д.А., Алишаев М.Г., Рамазанов
А.Ш., Рамазанов М.М. Освоение геотермальной энергии. Под
ред. Академика РАН В.Е. Фортова. М.: Физматлит, 2022. 318 с. 14. Алхасов А. Б., Алхасова Д. А. Комплексное использование
низкопотенциальных термальных вод юга России для тепло‐,
водоснабжения и решения экологических проблем //
Теплоэнергетика. 2019. N 5. C. 82–88. 13. Алхасов А.Б., Алхасова Д.А., Алишаев М.Г., Рамазанов
А.Ш., Рамазанов М.М. Освоение геотермальной энергии. Под
ред. Академика РАН В.Е. Фортова. М.: Физматлит, 2022. 318 с. 14. Алхасов А. Б., Алхасова Д. А. Комплексное использование
низкопотенциальных термальных вод юга России для тепло‐,
водоснабжения и решения экологических проблем //
Теплоэнергетика. 2019. N 5. C. 82–88. 15. Газалиев И.М., Самедов Ш.Г. Качественные показатели
подземных вод горного Дагестана // Труды Института
геологии Дагестанского научного центра РАН. 2021. N 3(86). С. 33–49. DOI: 10.33580/2541‐9684‐2021‐86‐3‐33‐49 Полученные в ходе данного исследования
результаты и разработанные рекомендации подтверж‐
дают
актуальность
проблемы
изучения
качества
питьевых подземных вод на территории республики и
свидетельствуют о перспективности более детальных 16. Магдиев А.М., Абдуллаев М.Ш., Гафуров М.М., Амиров
А.М., Кубатаев З.Ю. Химический анализ питьевых вод
Дагестана (горные районы). Махачкала: АЛЕФ, 2019. 154 с. 99 Юг России: экология, развитие 2023 Т. 18 N 2 Т.О. Абдулмуталимова и др. 17. Абдуллаев М.Ш., Магдиев А.М., Гафуров М.М., Кубатаев
З.Ю., Ахмедов А.М. Согласно полученным результатам, можно сделать
следующие выводы: Гигиенические требования к качеству воды
централизованных систем питьевого водоснабжения. Питьевая вода. Гигиенические требования к качеству воды
централизованных систем питьевого водоснабжения. Контроль качества (рег. N 3011). М.: Госкомсанэпиднадзор
России. 2001. 62 с. 20. Санитарные правила и нормы СанПиН 1.2.3685‐21
"Гигиенические нормативы и требования к обеспечению
безопасности и (или) безвредности для человека факторов
среды обитания" (рег. N 62296). М.: Госкомсанэпиднадзор
России, 2021. 1025 с. 5. Grigoryuk E.N. The impact of wastewater of chemical industry
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6. Oshkin M.I., Polozova I.A., Golubeva Ju.S., Zheltobryuhov V.F. Geological, hydrogeological and geoengineering researches on the
riverbed area Medvedicy. Mashinostroenie i bezopasnost'
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воздействии химических веществ, загрязняющих 7. Sharapov R.V. Global ecological disasters: mif or reality? Mashinostroenie i bezopasnost' zhiznedeyatel'nosti [Engineering
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8. Shojgu S.K. et al. Atlas prirodnykh i tekhnogennykh opasnostei
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Республике Дагестан // В сборнике: Возобновляемая
энергетика: проблемы и перспективы. Актуальные проблемы
освоения возобновляемых энергоресурсов. Материалы VI
Международной конференции «Возобновляемая энергетика:
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«Актуальные проблемы освоения возобновляемых
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20. AUTHOR CONTRIBUTIONS Омари М. Рамазанов, Иса М. Газалиев разрабатывали
план статьи, маршрут полевых исследований, проводили
отбор образцов питьевой воды. Алибек Б. Алхасов
проанализировал полученные данные и разработал
рекомендации; Тамила О. Абдулмуталимова рассчитала
канцерогенные риски, разработала анкету для опроса
населения с последующим проведением анкетирования
и написала рукопись. Все авторы в равной степени несут
ответственность при обнаружении плагиата,
самоплагиата или других неэтических проблем Omari M. Ramazanov and Isa M. Gazaliev developed the
plan, road map of the study and collected water samples. Alibek B. Alhasov analysed data and gave final
recommendations. Tamila O. Abdulmutalimova calculated
cancer risks, developed the population exposure
questionnaire, conducted interviews and wrote the
manuscript. All authors are equally responsible for
plagiarism, self‐plagiarism and other ethical transgressions. NO CONFLICT OF INTEREST DECLARATION
The authors declare no conflict of interest. REFERENCES 2018, no. 1, pp. 37–40. (In Russian) 27. Abdulmutalimova T.O., Revich B.A., Gazaliev I.M. Arsenic in
artesian water used for drinking by population in North Daghestan
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subsoil guard]. 2018, no. 1, pp. 37–40. (In Russian)
28. Ramazanov A.Sh., Kasparova M.A., Saraeva I.V., Alhasov A.B.,
Ramazanov O.M., Ahmedov M.I. Ecological problems solving with
complex using of geothermal mineralized water of North
Daghestan. South of Russia: ecology, development, 2016, vol. 11,
no. 4, pp. 129–138. (In Russian) https://doi.org/10.18470/1992‐
1098‐2016‐4‐129‐138 27. Abdulmutalimova T.O., Revich B.A., Gazaliev I.M. Arsenic in
artesian water used for drinking by population in North Daghestan
and human health risks. Razvedka i okhrana nedr [Exploration and
subsoil guard]. 2018, no. 1, pp. 37–40. (In Russian)
28. Ramazanov A.Sh., Kasparova M.A., Saraeva I.V., Alhasov A.B.,
Ramazanov O.M., Ahmedov M.I. Ecological problems solving with
complex using of geothermal mineralized water of North
Daghestan. South of Russia: ecology, development, 2016, vol. 11,
no. 4, pp. 129–138. (In Russian) https://doi.org/10.18470/1992‐
1098‐2016‐4‐129‐138 28. Ramazanov A.Sh., Kasparova M.A., Saraeva I.V., Alhasov A.B.,
Ramazanov O.M., Ahmedov M.I. Ecological problems solving with
complex using of geothermal mineralized water of North 28. Ramazanov A.Sh., Kasparova M.A., Saraeva I.V., Alhasov A.B.,
Ramazanov O.M., Ahmedov M.I. Ecological problems solving with
complex using of geothermal mineralized water of North 21. Rukovodstvo po otsenke riska dlya zdorov'ya naseleniya pri
vozdeistvii khimicheskikh veshchestv, zagryaznyayushchikh
okruzhayushchuyu sredu. Р 2.1.10.1920‐04 [Human health risk
assessment from environmental chemicals. Р 2.1.10.1920‐04]. Moscow, Federal Center of State Sanitary and Epidemiological
Supervision of the Ministry of Health of the Russian Federation
Publ., 2004, 143 p. (In Russian) Daghestan. South of Russia: ecology, development, 2016, vol. 11,
no. 4, pp. 129–138. (In Russian) https://doi.org/10.18470/1992‐
1098‐2016‐4‐129‐138 Daghestan. South of Russia: ecology, development, 2016, vol. 11,
no. 4, pp. 129–138. (In Russian) https://doi.org/10.18470/1992‐
1098‐2016‐4‐129‐138 29. Alhasov A.B, Badavov G.B., Belan S.I., Ninalalov S.A. Renewable energy sources using in Dagestan republic. Regional'nye problemy preobrazovaniya ekonomiki [Regional
problems of economy improvement]. 2015, no. 9 (59), pp. 36–42. (In Russian) 29. Alhasov A.B, Badavov G.B., Belan S.I., Ninalalov S.A. Renewable energy sources using in Dagestan republic. Regional'nye problemy preobrazovaniya ekonomiki [Regional
problems of economy improvement]. 2015, no. 9 (59), pp. 36–42. (In Russian) 22. Toxicological profile for arsenic. U.S. department of health and
human services public health service agency for toxic substances
and disease registry. Atlanta, Georgia, 2007, 559 p. 23. КОНФЛИКТ ИНТЕРЕСОВ Авторы заявляют об отсутствии конфликта интересов. REFERENCES Sanitarnye pravila i normy SanPiN 1.2.3685‐21 "Gigienicheskie
normativy i trebovaniya k obespecheniyu bezopasnosti i (ili)
bezvrednosti dlya cheloveka faktorov sredy obitaniya".[SanPiN
1.2.3685‐21. Sanitary rules and standards. Hygienic standards and
requirements to human safety from environmental factors]. Moscow, State Committee of Sanitary and Epidemiological
Supervision Publ., 2021, 1025 p. (In Russian)
21. Rukovodstvo po otsenke riska dlya zdorov'ya naseleniya pri
vozdeistvii khimicheskikh veshchestv, zagryaznyayushchikh
okruzhayushchuyu sredu. Р 2.1.10.1920‐04 [Human health risk
assessment from environmental chemicals. Р 2.1.10.1920‐04]. Moscow, Federal Center of State Sanitary and Epidemiological
Supervision of the Ministry of Health of the Russian Federation
Publ., 2004, 143 p. (In Russian)
22. Toxicological profile for arsenic. U.S. department of health and
human services public health service agency for toxic substances
and disease registry. Atlanta, Georgia, 2007, 559 p. 23. Abdulmutalimova T.O., Ramazanov O.M., Kunzhueva K.G. Rezul'taty monitoringa kachestva pit'evykh podzemnykh vod v 18. Gigienicheskie trebovaniya k okhrane podzemnykh vod ot
zagryazneniya. Sanitarnye pravila SP 2.1.5.1059‐01 [Hygienic
requirements for the protection of groundwater from pollution. Sanitary rules. SP 2.1.5.1059‐01]. Moscow, Ministry of health of
Russian Federation Publ., 2001, 14 p. (In Russian)
19. Sanitarnye pravila i normy. SanPiN 2.1.4.1274‐01. Pit'evaya
voda. Gigienicheskie trebovaniya k kachestvu vody
tsentralizovannykh sistem pit'evogo vodosnabzheniya. Kontrol'
kachestva. [SanPiN 2.1.4.1274‐01. Sanitary rules and standards. Drinking water. Hygienic requirements to drinking water supply
quality. Quality control]. Moscow, State Committee of Sanitary
and Epidemiological Supervision Publ., 2001, 62 p. (In Russian)
20. Sanitarnye pravila i normy SanPiN 1.2.3685‐21 "Gigienicheskie
normativy i trebovaniya k obespecheniyu bezopasnosti i (ili)
bezvrednosti dlya cheloveka faktorov sredy obitaniya".[SanPiN
1.2.3685‐21. Sanitary rules and standards. Hygienic standards and
requirements to human safety from environmental factors]. Moscow, State Committee of Sanitary and Epidemiological
Supervision Publ., 2021, 1025 p. (In Russian)
21. Rukovodstvo po otsenke riska dlya zdorov'ya naseleniya pri
vozdeistvii khimicheskikh veshchestv, zagryaznyayushchikh 25. Kurbanova L.M., Samedov Sh.G., Gazaliev I.M., Abdulmutalimova T.O. Arsenic I groundwater of North Daghestan
artesian bassin. Geochemistry, 2013, no. 3, pp. 262. (In Russian)
DOI: 10.7868/S0016752513030047 26. Abdulmutalimova T.O. Cancer risks assessment of using for
drinking groundwater with high arsenic content in Daghestan. Toksikologicheskii vestnik [Toksikological bulletin]. 2019, no. 6
(159), pp. 39–44. (In Russian) 26. Abdulmutalimova T.O. Cancer risks assessment of using for
drinking groundwater with high arsenic content in Daghestan. 27. Abdulmutalimova T.O., Revich B.A., Gazaliev I.M. Arsenic in
artesian water used for drinking by population in North Daghestan
and human health risks. Razvedka i okhrana nedr [Exploration and
subsoil guard]. ORCID ORCID
Тамила О. Абдулмуталимова / Tamila O. Abdulmutalimova https://orcid.org/0000‐0003‐4743‐6154
Омари М. Рамазанов / Omari M. Ramazanov https://orcid.org/0009‐0008‐6228‐7795
Алибек Б. Алхасов / Alibek B. Alhasov https://orcid.org/0000‐0001‐5493‐689X
Иса М. Газалиев / Isa M. Gazaliev https://orcid.org/0009‐0006‐6590‐634X ecodag.elpub.ru/ugro/issue/current ecodag.elpub.ru/ugro/issue/current 101
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English
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Deep Learning to Evaluate Secure RSA Implementations
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IACR transactions on cryptographic hardware and embedded systems
| 2,019
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cc-by
| 14,591
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Mathieu Carbone1, Vincent Conin1, Marie-Angela Cornélie2, François
Dassance3, Guillaume Dufresne3, Cécile Dumas2, Emmanuel Prouff4 and
Alexandre Venelli3 1 SERMA Safety and Security, France, {m.carbone,v.conin}@serma.com
2 CEA LETI, France, {cecile.dumas,marie-angela.cornelie}@cea.fr
3 Thales ITSEF, France,
francois.dassance,guillaume.dufresne,alexandre.venelli}@thalesgroup.com
4 ANSSI, France, emmanuel.prouff@ssi.gouv.fr Abstract. This paper presents the results of several successful profiled side-channel
attacks against a secure implementation of the RSA algorithm. The implementation
was running on a ARM Core SC 100 completed with a certified EAL4+ arithmetic
co-processor. The analyses have been conducted by three experts’ teams, each
working on a specific attack path and exploiting information extracted either from the
electromagnetic emanation or from the power consumption. A particular attention
is paid to the description of all the steps that are usually followed during a security
evaluation by a laboratory, including the acquisitions and the observations pre-
processing which are practical issues usually put aside in the literature. Remarkably,
the profiling portability issue is also taken into account and different device samples
are involved for the profiling and testing phases. Among other aspects, this paper
shows the high potential of deep learning attacks against secure implementations of
RSA and raises the need for dedicated countermeasures. Keywords: Side-Channel Attacks · RSA · Deep Learning Keywords: Side-Channel Attacks · RSA · Deep Learning Licensed under Creative Commons License CC-BY 4.0.
IACR Transactions on Cryptographic Hardware and Embedded Systems ISSN 2569-2925,
Vol. 2019, No. 2, pp. 132–161
DOI:10.13154/tches.v2019.i2.132-161 1
Introduction Side-channel analysis (SCA) is a class of cryptanalytic attacks that exploit the physical
environment of a cryptosystem implementation to recover some leakage about its secrets. It is often much more efficient than a cryptanalysis mounted in the so-called black-box
model where no leakage occurs, and dedicated countermeasures are usually implemented to
protect the execution of cryptographic algorithms on embedded systems. In most of secure
products like smart-cards, the security is achieved by combining techniques applied at
the software level (e.g. masking/blinding [Cor99] or shuffling [MOP07]) with mechanisms
acting at the hardware level (e.g. clock jittering, white noise addition or power consumption
balancing [MOP07]). This is especially true for RSA implementations where resistance
against side-channel attacks is achieved by defining a secure exponentiation algorithm (at
software level) on the basis of a secure arithmetic co-processor (e.g. implementing a fast
Montgomery modular arithmetic while limiting information leakage) [BMV05, BÖPV03]. Side-channel analysis (SCA) is a class of cryptanalytic attacks that exploit the physical
environment of a cryptosystem implementation to recover some leakage about its secrets. It is often much more efficient than a cryptanalysis mounted in the so-called black-box
model where no leakage occurs, and dedicated countermeasures are usually implemented to
protect the execution of cryptographic algorithms on embedded systems. In most of secure
products like smart-cards, the security is achieved by combining techniques applied at
the software level (e.g. masking/blinding [Cor99] or shuffling [MOP07]) with mechanisms
acting at the hardware level (e.g. clock jittering, white noise addition or power consumption
balancing [MOP07]). This is especially true for RSA implementations where resistance
against side-channel attacks is achieved by defining a secure exponentiation algorithm (at
software level) on the basis of a secure arithmetic co-processor (e.g. implementing a fast
Montgomery modular arithmetic while limiting information leakage) [BMV05, BÖPV03]. When it comes to assess the robustness of an RSA implementation against the SCA
threat, several attacks are performed by experts, usually after a leakage characterization
step. To help security evaluators, some technical reports like the AIS-46 published by
BSI [fIS18] give overviews and recommendations on the relevant side-channel attacks that
have to be applied against implementations. Among them, the so-called family of profiled When it comes to assess the robustness of an RSA implementation against the SCA
threat, several attacks are performed by experts, usually after a leakage characterization
step. Deep Learning to Evaluate Secure RSA
Implementations Mathieu Carbone1, Vincent Conin1, Marie-Angela Cornélie2, François
Dassance3, Guillaume Dufresne3, Cécile Dumas2, Emmanuel Prouff4 and
Alexandre Venelli3 2A certified arithmetic co-processor comes with guidelines that detail how to use the crypto-coprocessor
in a secure manner. As a cautionary note, we alert the reader on the fact that we did not have access to
the code in order to verify the compliance with these guidelines. Moreover, as discussed in the conclusion
of the paper, the software part of the targeted RSA implementation does not embed specific security
mechanisms to defeat horizontal or address-bit side-channel attacks. This choice has been done deliberately
by CryptoExperts’ team (https://www.cryptoexperts.com/) who was responsible for the development of
the RSA software part. Actually, the latter implementation was part of a challenge organized by ANSSI’s
laboratory of hardware security for industrial partners. This paper shows that the application of advanced
profiling attacks like those based on Deep Learning renders security mechanisms against horizontal and
address-bit attacks mandatory to achieve a high level of security. 1In this case, [SW14a] shows that the secret RSA parameter may be efficiently reconstruct from several
randomized representations if the random value used for the blinding has bit-length 64, which is common
in today implementations. Related Works Many studies have been published to argue on the efficiency of profiled attacks against
(secure) block cipher implementations (see e.g. [BLR13, GHO15, HZ12, HGM+11, LBM14,
LMBM13, LPB+15, PSB+18] for the most recent ones). However, few works have been
published on asymmetric cryptographic implementations like ECDSA or RSA. Some like
[MAB+18] have followed a machine learning approach to demonstrate successful detection
of state-of-the-art cache-based SCAs. Other profiled attacks (like e.g. [LBM14]) have
been tested against RSA but the targeted implementation was not secure (neither on
the software nor on the hardware level). The main challenge when attacking secure RSA
implementations is that the attack must be able to recover more than 90% of the secret
parameter from a single execution1 (due to exponent randomization [Cor99]) without
knowing neither the message nor the modulus which are processed (due to input and
modulus randomizations [Gir06]). The so-called class of horizontal collisions attacks has
been introduced to specifically address this issue [Wal01]. However, even if the subsequent
works like [BJPW13, CFG+10, PZS17, vWWB11] have improved the original idea, none
of them has been shown to be efficient against an implementation running on a defensive
arithmetic co-processor (like e.g. those whose security has been certified in a Common
Criteria framework [Arr18]). 1
Introduction To help security evaluators, some technical reports like the AIS-46 published by
BSI [fIS18] give overviews and recommendations on the relevant side-channel attacks that
have to be applied against implementations. Among them, the so-called family of profiled Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 133 SCA is recognized as the most effective ones since the underlying adversary is assumed
to priorly use an open copy of the final target to precisely tune all the parameters of the
attack. It includes Templates Attacks [CRR02] and Stochastic modelling (a.k.a. Linear
Regression Analysis) [DPRS11, Sch08, SLP05]. This attack strategy where the adversary
precedes the attack by a supervised training phase may be viewed as a classical Machine
Learning problem and a recent line of works has started to build connections between the
world of side-channel analysis and the world of Machine Learning (with a particular focus
on Deep Learning). Contributions To the best of our knowledge, this paper presents the first full profiled attack against an
RSA implementation running on a certified arithmetic co-processor and equipped with
classical side-channel countermeasures (blinding of the message, blinding of the exponent
and blinding of the modulus as e.g. detailled in [Cor99]).2 Several attacks, exploiting either
the electromagnetic emanation or the power consumption measured during the processing,
are presented that combine the principles of address-bit DPA attacks [IIT02, MDS99b]
and horizontal attacks [BJPW13] with machine learning techniques like Convolutional
Neural Networks (CNN) to accurately recover the value of the exponent bits. A special
attention is paid to the description of the acquisition campaigns and of the pre-processing
of the measured traces, as the latter steps are known to pose practical difficulties when it
comes to attack arithmetic co-processors (e.g. synchronization issues, size of the traces Deep Learning to Evaluate Secure RSA Implementations 134 and choice of the sampling rate, few information on the details of the hardware processing,
etc.). Also, the question of profiling portability (i.e. the ability to apply a profiling done
on a device A to attack a device B with the same architecture) is addressed by using
different device samples. Our results practically demonstrate that, in our context, the latter
portability does not significantly impact the effectiveness of our attacks. More generally,
our work shows that the ability of the deep learning algorithms to efficiently operate on
highly-dimensional inputs (which are leakage measurements in our context) even in the
presence of signal jittering makes them a tool of choice for the secure evaluation of RSA
implementations (in addition to the methods already in the toolbox of the evaluator – see
e.g. [fIS18] –). Paper Organization Section 2 is dedicated to the presentation of the software and hardware aspects of the
target RSA implementation and the identification of two attack paths. Then, we de-
scribe in Section 3 the acquisitions’ campaigns that have been launched to measure the
power consumption and the electromagnetic emanation during the RSA processing. A
leakage characterization analysis has afterwards been done on the measured traces. It is
discussed in Section 4. Eventually, Section 5 presents our profiled attacks’ results and
our main observations related to the application of deep learning attacks against RSA
implementations. 2.1.1
Brief Hardware Description The hereby target of evaluation is a software RSA SFM (StraightForward Mode in opposition
to the Chinese Remainder Mode) running on a 0.13um 32-bit Contact Smartcard IC. The
IC has been EAL4+ certified in Asia (out of the European SOG-IS scheme [Mem18]). It
features an ARM core SC 100 with 18 KB of RAM, 8 KB of ROM and 548 KB of FLASH. An overview of the IC die and of the main blocks is given in Figure 1. Figure 1: General view of the die after sample opening; mag 50X Figure 1: General view of the die after sample opening; mag 50X The RSA multiplications and squarings are performed with the same operation of the
embedded arithmetic co-processor which includes a dedicated memory area, the so-called Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 135 crypto-RAM, composed of 8 segments of 64 words (2048 bits). Moreover, to speed-up
the processing, the modular arithmetic routines of the library are based on Montgomery
arithmetic. It is detailed here-after. 2.1.2
Low Level Library and Montgomery Arithmetic The co-processor of the device studied in this paper implements the so-called Montgomery
arithmetic (see e.g. [BSS05] for a clear and short introduction). Roughly speaking, the
core idea of this arithmetic is to replace several costly modular reductions with the same
modulus by some pre-processing and then efficient divisions by a well-chosen power of 2
(we recall that such divisions simply consist in right binary shifts). Let N denote a modulus and let us assume that we want to compute a sequence
of operations in the form x · y mod N for x, y ∈Z/NZ. Thanks to the arithmetic co-
processor, this processing is done by calling a so-called Montgomery multiplication. Before
running such a multiplication, the operands must be normalized, i.e. put in Montgomery
representation ex = x·R mod N and ey = y ·R mod N, where R is the Montgomery constant
defined in our context by R .= 2ω mod N with ω being the smallest multiple of 32 which is
greater than or equal to log2(N). Then, a hardware routine computing u · v · R−1 mod N
is executed for u = ex and v = ey. It may be checked that the following equality holds: ex · ey · R−1 mod N = (x · y) · R mod N = ez , so that the output is indeed the Montgomery representation of z = x · y mod N. Once the initial operands of a sequence of modular multiplications have been put in
Montgomery representation, all operations are performed under this representation. In
particular, modular multiplications are replaced by Montgomery multiplications with the
pre-defined RSA modulus N and the Montgomery constant R. In our context, this is
actually done through the procedure MMM(idest, i1, i2) which stores in the segment of index
idest the result of the Montgomery multiplication between values stored in segments of
indexes i1 and i2. The output and input values are in Montgomery representation. When
the computation is over, the final result is put back in its natural integer form (which
simply consists in multiplying the result by R−1 modulo N). 2.2
Target Presentation: Software Part The targeted RSA implementation is based on a Left-to-Right Square & Multiply Always
exponentiation algorithm [Cor99] combined with three countermeasures: input randomiza-
tion, modulus randomization and exponent randomization. Moreover the code is branch-less
as the exponent bit is not tested and since no conditional jump is performed. 2.2.1
Countermeasures Modulus Randomization. This technique is based on the following equality: md mod N = (md mod k0 · N) mod N,
(1) (1) md mod N = (md mod k0 · N) mod N, where k0 is any (random) positive integer co-prime to N. Note that any integer lower
than p and q is co-prime to N, and in particular, any integer of bit-length 64 (or less) is
co-prime to N. The modulus randomization technique then simply consists (1) in picking
up a random integer k0, (2) in computing the exponentiation modulo k0 · N and (3) in
reducing the result modulo N. where k0 is any (random) positive integer co-prime to N. Note that any integer lower
than p and q is co-prime to N, and in particular, any integer of bit-length 64 (or less) is
co-prime to N. The modulus randomization technique then simply consists (1) in picking
up a random integer k0, (2) in computing the exponentiation modulo k0 · N and (3) in
reducing the result modulo N. 136
Deep Learning to Evaluate Secure RSA Implementations 136 Deep Learning to Evaluate Secure RSA Implementations Input Randomization. The input randomization technique involved in our target imple-
mentation can only be used jointly with the modulus randomization technique. It is based
on the following equation: md
mod N = ((m + k1 · N)d
mod k0 · N)
mod N,
(2) (2) where k0 and k1 are any (random) positive integers, k0 being co-prime to N. The input
randomization technique hence consists in picking a random integer k1 and adding k1 · N
to the input m, before the exponentiation (modulo k0 · N). where k0 and k1 are any (random) positive integers, k0 being co-prime to N. The input
randomization technique hence consists in picking a random integer k1 and adding k1 · N
to the input m, before the exponentiation (modulo k0 · N). Exponent Randomization. This technique is based on the following equality: md
mod N = md+k2·φ(N)
mod N,
(3) md
mod N = md+k2·φ(N)
mod N, (3) where φ denotes the Euler’s totient function, and where k2 is any (random) positive integer. In case of an RSA modulus N = p · q (with p and q prime), we have φ(N) = (p −1)(q −1). 2.2.1
Countermeasures The principle of the exponent randomization countermeasures is to pick a random integer
k2 and evaluate the RSA exponentiation with exponent d′ = d + k2 · φ(N). Final Implementation. Values p and q are prime integers of bit-length 512. So the
modulus N is a 1024-bit integer. The combination of the three masking countermeasures
corresponds to the following computation: ((m + k1 · N)d+k2·φ(N)
mod k0 · N)
mod N,
(4) (4) where m is the plaintext in Montgomery representation, k0, k1 and k2 are some random
positive integers of bit-length 64. By consequence, the masked input m′ .= m + k1 · N,
the masked modulus N ′ .= k0 · N used to perform the MMMs, the masked exponent d′ and
all the values involved in the modular exponentiation have size n = 1024 + 64 = 1088
bits. This implementation is completed by the first step that transforms the plaintext in
Montgomery representation m 7→˜m = m/R mod N ′) and the last step doing the inverse
operation putting back the result in its natural integer form to obtain the ciphertext (see
Sect. 2.1 for more details). 2.2.2
Implementation of the modular exponentiation The detailed implementation is given in Algorithm 1. It is based on a classical Square &
Multiply Always strategy to get a processing flow which is independent of the exponent
value. It uses 4 memory segments that respectively contain the input of the exponentiation
and the intermediate values resulting from the bit-by-bit exponentiation precessing. These
addresses are denoted by @(j) with j ∈[1..4]. At each loop, a squaring then a multiplication are always executed. So two computations
are processed during the exponentiation: the true one is stored at address @(j) with
j = segacc, whereas the dummy one is stored at address @(j) with j = segdum. The values
of the two indices segacc and segdum vary according to the value of the exponent bit which
is treated. Their updating is done without conditional branch thanks to the use of a third
index segfree. Moreover the input is stored at address @(j) with j = segin and the value of
segin does not vary during the processing. After the processing of Algorithm 1, the result is reduced modulo N to get the correct
signature as described in (4). 2.3
Attack Paths It is here important to remember
that, in both cases, the challenging point is to be able to successfully apply the attack
to recover almost all the secret exponent bits by exploiting a single leakage trace (after
profiling). This will be discussed in the second part of the paper. vertically (i.e. with several executions of the RSA processing). He has to mount an attack
horizontally (i.e. with a single trace). The target implementation described in previous
sections contains two main vulnerabilities which can be exploited in a profiled attack
scenario. The first one focuses on the address indices manipulation and may be viewed
as an example of address-bit DPA [IIT02, MDS99a], while the second one focuses on the
operands’ manipulation and exploits the same principles as the horizontal collision attacks
[BJPW13]. They are detailed in the next two sections. It is here important to remember
that, in both cases, the challenging point is to be able to successfully apply the attack
to recover almost all the secret exponent bits by exploiting a single leakage trace (after
profiling). This will be discussed in the second part of the paper. 2.3
Attack Paths As the use of randomization techniques breaks the dependency between the intermediate
values of the processing and the side-channel observations, an attacker cannot work Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 137 Algorithm 1 Modular Exponentiation Square & Multiply Always Algorithm 1 Modular Exponentiation Square & Multiply Always Require: the masked input m′ in Montgomery representation, the masked exponent d′
of size n bits, the function MMM initialized with the modulus N ′ and the Montgomery
factor R, and four memory segments @(j) with j ∈[1..4]. Ensure: address @(1) contains m′ d′ mod N ′ 1: @(1) ←m
2: @(2) ←1
3: segin ←1
4: segacc ←2
5: segdum ←3
6: for i = 0 to n −1 do
7:
s ←d′[n −1 −i]
▷Read from left to right
8:
segfree ←9 −segacc −segdum
9:
MMM(segfree, segacc, segacc)
▷SQUARE
10:
segacc ←segfree
11:
segfree ←9 −segacc −segdum
12:
MMM(segfree, segacc, segin)
▷MULTIPLY
13:
segacc ←s × segfree + (1 −s) × segacc
14:
segdum ←s × segdum + (1 −s) × segfree
15: @(segdum) ←1
16: MMM(segacc, segacc, segdum)
▷Montgomery representation to integer normal form
17: @(1) ←@(segacc) 1: @(1) ←m
2: @(2) ←1
3: segin ←1
4: segacc ←2
5: segdum ←3
6: for i = 0 to n −1 do
7:
s ←d′[n −1 −i]
▷Read from left to right
8:
segfree ←9 −segacc −segdum
9:
MMM(segfree, segacc, segacc)
▷SQUARE
10:
segacc ←segfree
11:
segfree ←9 −segacc −segdum
12:
MMM(segfree, segacc, segin)
▷MULTIPLY
13:
segacc ←s × segfree + (1 −s) × segacc
14:
segdum ←s × segdum + (1 −s) × segfree
15: @(segdum) ←1
16: MMM(segacc, segacc, segdum)
▷Montgomery representation to integer normal form
17: @(1) ←@(segacc) ▷Read from left to right ▷MULTIPLY vertically (i.e. with several executions of the RSA processing). He has to mount an attack
horizontally (i.e. with a single trace). The target implementation described in previous
sections contains two main vulnerabilities which can be exploited in a profiled attack
scenario. The first one focuses on the address indices manipulation and may be viewed
as an example of address-bit DPA [IIT02, MDS99a], while the second one focuses on the
operands’ manipulation and exploits the same principles as the horizontal collision attacks
[BJPW13]. They are detailed in the next two sections. 3Our SNR characterization of the EM measurements show that the sampling rate could have been
maybe smaller without too much impacting the attack efficiency, but we did not experimentally validate
this observation. 2.3.2
Operands’ Manipulations Another attack path is based on a property of the algorithm Square & Multiply Always. Indeed, when the exponent bit d′[n −1 −i] treated at loop index i is zero, then the
multiplication is useless and hence, the result is thrown. This implies that the subsequent
operation (a squaring) shares an operand with the previous multiplication. If, at the
opposite, d′[n −1 −i] equals 1, then the multiplication and the subsequent squaring are
not likely to share the same operand because the result of one is the entry of the other one. This property is convenient to retrieve the involved bit of the secret exponent. Indeed, if
we denote by asq. i
(resp. amult. i
) the left-hand side operand of the squaring at loop index i
(resp. of the multiplication at loop index i), this attack path consists in comparing amult. i
and asq. i+1 in order to retrieve the bit exponent d′[n −1 −i] at loop i. 2.3.1
Address Indices Manipulation. segfree = #offset + #dec(i)
segfree = #offset + #dec(i)
0
0
2 + 2
2 + 0
1
0
2 + 1
2 + 2
2
1
2 + 0
2 + 1
3
1
2 + 0
2 + 1
4
1
2 + 0
2 + 1
5
0
2 + 0
2 + 1
6
1
2 + 2
2 + 0
7
1
2 + 2
2 + 0
8
0
2 + 2
2 + 0
9
0
2 + 1
2 + 2 Table 1: Registers Manipulation (Example). i
d′[n −1 −i]
segfree during squaring
segfree during mult. segfree = #offset + #dec(i)
segfree = #offset + #dec(i)
0
0
2 + 2
2 + 0
1
0
2 + 1
2 + 2
2
1
2 + 0
2 + 1
3
1
2 + 0
2 + 1
4
1
2 + 0
2 + 1
5
0
2 + 0
2 + 1
6
1
2 + 2
2 + 0
7
1
2 + 2
2 + 0
8
0
2 + 2
2 + 0
9
0
2 + 1
2 + 2 as follows: as follows: #dec(i + 1) =
#dec(i) −(1 −d′[n −1 −i]) mod 3
, for the squaring
#dec(i) + 2(1 −d′[n −1 −i]) mod 3
, for the multiplication
, (5) (5) with #dec(0) equalling 2 and 0 respectively for the squaring and the multiplication. with #dec(0) equalling 2 and 0 respectively for the squaring and the multiplication. Table 1 gives an illustration of the dependency between the exponent bits and the
consecutive values of #dec(i) when the 10 most significant bits of d′ equal 0011101100. Table 1 gives an illustration of the dependency between the exponent bits and the
consecutive values of #dec(i) when the 10 most significant bits of d′ equal 0011101100. 2.3.1
Address Indices Manipulation. The exponentiation Square & Multiply Always described in Algorithm 1 contains a potential
vulnerability related to the manipulation of the index segfree (that is linked to the memory
address where the result of the Montgomery multiplication is stored). It may be observed that the address index segfree can take three different values
(theoretically unknown); in other terms, segfree successively belongs to three different
classes during the whole modular exponentiation. Remarkably, the sequence of classes
depends on the exponent bits, and we will see that this dependency may be exploited to
recover sensitive information. More precisely, segfree stays unchanged for two consecutive
exponentiation loop indices i and i + 1 if and only if the corresponding exponent bit
d′[n −1 −i] equals 1. Thus, by knowing whether segfree stays in the same class or not, an
attacker may learn the values of all the exponent bits except the last one. From a more formal point of view, it may be checked that the value of segfree at input
of the MMM processing during the ith squaring (resp. during the ith multiplication) takes
the form 2+#dec(i) where, for every i in [0..n−2], the value #dec(i) is recursively defined Deep Learning to Evaluate Secure RSA Implementations 138 Table 1: Registers Manipulation (Example). i
d′[n −1 −i]
segfree during squaring
segfree during mult. segfree = #offset + #dec(i)
segfree = #offset + #dec(i)
0
0
2 + 2
2 + 0
1
0
2 + 1
2 + 2
2
1
2 + 0
2 + 1
3
1
2 + 0
2 + 1
4
1
2 + 0
2 + 1
5
0
2 + 0
2 + 1
6
1
2 + 2
2 + 0
7
1
2 + 2
2 + 0
8
0
2 + 2
2 + 0
9
0
2 + 1
2 + 2 Table 1: Registers Manipulation (Example). i
d′[n −1 −i]
segfree during squaring
segfree during mult. 3
Presentation of the Acquisitions Campaign For the two attack paths identified in previous section, it is important to precisely identify
in each trace/observation the sub-parts corresponding to the MMM processings. In the next
sections, we show how this can be done for both the power consumption and electromagnetic
measurements, in the context of a defensive arithmetic co-processor. In the first (Icc) case,
the measurements correspond to the full RSA processing, while they only correspond to
the processing of the 7 MSB of the exponent in the second (EM) case. This difference is a
direct consequence of the fact that our EM attacks (that target internal operations of the
co-processor) required measurements at a much greater sampling rate than that needed
for our Icc attacks (namely 2.5 GS/s versus 50 MS/s).3 Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 139 3.1
Power Consumption Measurements A first acquisition campaign has been launched to measure the power consumption
(Icc) during the processing of the RSA implementation described in previous section
(namely Algorithm 1 with masked exponents, masked messages and masked moduli of
size n = 1088 = 1024 + 64). The power consumption (Icc) was measured at 50 MS/s
using a Lecroy WaveRunner 625Zi oscilloscope. This (low) sampling rate suggests that
an alternative to the traditional bench-top oscilloscope, e.g. a PC oscilloscope such as
Picoscope, could have been used in the present case. p ,
p
Each acquisition, denoted by L, was composed of around 25, 000, 000 time samples
that have been split into 2n sub-traces L0, ..., L2n−1. This splitting has been done by
following a so-called correlation pattern matching [VKMJ10] approach (i.e. the signal
pattern corresponding to the MMM is correlated as a sliding window with the full trace,
then the maximums of correlation allow the extraction of the different occurrences of
patterns from the trace). A new set has been rebuilt with these patterns ensuring a per
multiplication fast resynchronization (see Figure 2a and Figure 2b). Afterwards, each of
these multiplication patterns has been pre-processed, i.e. decimated by a factor 5 after
being filtered by a linear low pass filter (see Figure 2c). The resulting MMM processing
sub-traces Lj are each composed of around 2, 247 time samples after this pre-processing
step. Note that the pre-processing step, e.g. the choice of the decimation parameter,
was guided by the strength of the resulting univariate first-order leakage assessment (see
Subsubsection 4.1.1). This allows us to get a stronger leakage strength for the attacks
with a lower computation cost. Finally all the MMM processing sub-traces Lsq. i
corresponding to a squaring (i.e. defined
s.t. Lsq. i
= L2i) have been gathered into a same set, and the same processing has been done
for the sub-traces Lmult. i
corresponding to a multiplication (i.e. defined s.t. Lmult. i
= L2i+1). The fact that the mean of 100 sub-traces does not fade away (see Figure 2c) was considered
as a valuable experimental validation of our resynchronization effectiveness. The campaign and the pre-treatment have been repeated on several smart-cards. 3.2
Electromagnetic Measurements A second acquisition campaign has been launched to measure the electromagnetic
emanations during the processing of the seventh most significant bits of the masked
exponent of the RSA. The implementation was similar to that targeted in previous section
(namely the masked modulus, the masked message and the masked exponent were all of
size 1088 bits). The signal has been acquired with a 2.5 GS/s sampling rate over 200 µs
(see Figure 3 for the processing of the 7 first MSB of the exponent). Each acquired trace
was composed of 5, 000, 000 time samples which correspond to the 7 MSB of the masked
exponent. A standard laboratory equipment has been used to perform the campaign
(Lecroy WaveRunner 625Zi oscilloscope and Langer ICR EM probe). An example of
measurement is plotted in Figure 3. As done for the power consumption campaign, each trace has been roughly split into sub-
traces Lj corresponding to MMM processings. Then, the latter traces have been reorganized
to group all the sub-traces Lsq. i
corresponding to a squaring in one set and all sub-traces
Lmult. i
corresponding to a multiplication in another set (due to the regularity of Algorithm 1,
Lsq. i
= L2i and Lmult. i
= L2i+1). In the following, we however continue to use the notation
Lj when the discussion is valid whatever the nature of the operation. As it may be observed in Figure 4, two peculiar types of patterns can be identified in
each sub-trace Lj: the first one corresponds to the initialization of the operation which Deep Learning to Evaluate Secure RSA Implementations 140 (a) Illustration of a part of the signal, with
the succession of squaring and multiplication
by MMM processing. (b) A single MMM. (c) Mean of 100 MMM processing patterns
after filtering and decimation by a factor 5. Figure 2: Alignment steps of the MMM processing traces. (a) Illustration of a part of the signal, with
the succession of squaring and multiplication
by MMM processing. (b) A single MMM. (a) Illustration of a part of the signal, with
the succession of squaring and multiplication
by MMM processing. (b) A single MMM. (c) Mean of 100 MMM processing patterns
after filtering and decimation by a factor 5. (c) Mean of 100 MMM processing patterns
after filtering and decimation by a factor 5. Figure 2: Alignment steps of the MMM processing traces. e.g. 3.2
Electromagnetic Measurements includes Steps 7, 8, 10 and 11 in Algorithm 1, while the second one corresponds to
the multi-precision MMM operation itself (squaring or multiplication). These two patterns
are likely to contain information on the processed secret bit and they have therefore been
analyzed. MMM initialization alignment. The parts corresponding to the MMM initialization have been
extracted from each Lj. Each part contained around 30, 000 time samples. Figure 5a
shows the overlapping of 10 such parts. A desynchronization is clearly observable, in
particular around the two large EM peaks marked in red. Figure 5 presents the different
resynchronization steps that have been followed to correct this issue. A first alignment
step has been applied by fixing a threshold EM amplitude value and by aligning all EM
traces when they reach this threshold. The dotted line in Figure 5 refers to the selected
threshold. Figure 5b shows the traces after this first alignment step and it may be observed
that the traces are indeed correctly aligned on the first large EM peaks (marked in green). However, a timing desynchronization is still present as EM peaks on the right part of the
figure are clearly not aligned. Hence, another alignment step is required. Figure 5c shows
traces after the application of a so-called sliding correlation alignment method which may
be viewed as a variant of the correlation pattern matching approach [VKMJ10] applied in
previous section. It first consists in selecting a small timing window on a reference EM
trace and in setting maximum shift offsets. Then, for each shift, Pearson’s correlation is
computed between the current trace to align and the reference trace for the given window. The maximum correlation value implies that a correct shift has been found. Then, the
window slides over time and the algorithm is re-applied. This technique allows for the
realigning of traces in cases where the desynchronization changes over time. Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 141 Figure 3: Sequence of MMM processings for the first MSBs of the exponent. Figure 4: EM emanation during a single loop of Algorithm 1. Figure 3: Sequence of MMM processings for the first MSBs of the exponent. Figure 3: Sequence of MMM processings for the first MSBs of the exponent. Figure 4: EM emanation during a single loop of Algorithm 1. Figure 4: EM emanation during a single loop of Algorithm 1. MMM operation alignment. 3.2
Electromagnetic Measurements The EM patterns corresponding to the MMM squaring operation
have also been extracted from each sub-trace Lsq. i
and then resynchronized. The size
of those patterns was roughly 300, 000 time samples (ten times more compared to the
initialization). Figure 6 presents the different resynchronization steps needed to obtain
aligned traces. Figure 6a shows the overlapping of 10 extracted patterns. As expected,
it may be observed that the MMM multi-precision operation is composed of small sub-
operations (marked in black) which correspond to the arithmetic co-processor unitary
operations. Figure 6b shows a zoom on some of these sub-operations. As previously, a
timing desynchronization is observable. Hence, the same sliding correlation alignment
technique has been applied. Figure 6c presents some overlapped traces after this alignment,
zoomed on some sub-operations. The sub-operations are clearly aligned with each others
and over time during the whole MMM operation. After all realignment steps, no trace was discarded for both the dataset containing the
MMM-initialization patterns and the dataset containing the MMM-operation patterns. This is
due to the fact that no strong desynchronization countermeasures are implemented. The
campaign and the pre-treatment have been repeated on several smart-cards. Figure 5: Alignment steps of the MMM pre-processing traces. not clear whether the address indices leak during their manipulation by the CPU or by the
arithmetic co-processor (without full open access to the code, such a conclusion is actually
difficult to draw). Secondly, we have verified that the EM sub-traces (and more precisely
the portion related to the MMM processing part) contain enough information to test the
attack related to the operand’s manipulation (Subsubsection 2.3.2). 4
Leakage Assessment To verify that the (Icc and EM) sub-traces pre-processed as detailed in Subsection 3.1
and Subsection 3.2 contain information that are exploitable to test the attack paths
presented in Subsection 2.3, a leakage assessment has been done. First, we have verified
that both Icc and EM sub-traces could be used to perform the attack related to the
address indices manipulation (Subsubsection 2.3.1). From this leakage assessment, it is Deep Learning to Evaluate Secure RSA Implementations 142 (a) Raw traces overlapped. (b) Traces after the first alignment step. (c) Traces after the second alignment step. Figure 5: Alignment steps of the MMM pre-processing traces. (b) Traces after the first alignment step. (c) Traces after the second alignment step. (c) Traces after the second alignment step. Figure 5: Alignment steps of the MMM pre-processing traces. 4.1.1
Power Consumption To characterize the information leakage, a univariate first-order leakage assessment related
to the first attack path identified in Subsection 2.3 has been launched on 2, 016 RSA
processing observations pre-treated as described in Subsection 3.1. This led to two labelled
databases of sub-traces (Lsq. i )i⩽1088×2016 and (Lmult. i
)i⩽1088×2016 respectively corresponding
to squarings and multiplications with the MMM routine. By using the fact that the random
masks and the secret exponents were known, the Normalized Inter-Class Variance (NICV)
[BDGN14] has been estimated for all the 2, 247 time samples composing the sub-traces in
each dataset. The goal is to detect statistical dependency with the value of the memory
index segfree. We recall that the NICV at time sample t, denoted by NICV[t], is defined as: NICV[t] .=
1
1
SNR[t] + 1 ,
with
SNR[t] = Vsegfree[E[Lsq. | segfree]]
Esegfree[V[Lsq. | segfree]] or SNR[t] = Vsegfree[E[Lmult. | segfree]]
Esegfree[V[Lmult. | segfree]] ,
where Lsq. (res. Lmult.) denotes the random variable associated to the observations (Lsq. i )i
(resp. (Lmult. i
)i). NICV[t] .=
1
1
SNR[t] + 1 , with SNR[t] = Vsegfree[E[Lsq. | segfree]]
Esegfree[V[Lsq. | segfree]] or SNR[t] = Vsegfree[E[Lmult. | segfree]]
Esegfree[V[Lmult. | segfree]] , where Lsq. (res. Lmult.) denotes the random variable associated to the observations (Lsq. i )i
(resp. (Lmult. i
)i). where Lsq. (res. Lmult.) denotes the random variable associated to the observations (Lsq. i )i
(resp. (Lmult. i
)i). The NICV has also been computed with respect to the value of the masked exponent bit
associated to a multiplication processing (i.e. dataset (Lmult. i
)i). For comparison purpose,
the three characterizations are plotted on top of each other in Figure 7. Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 143 (a) Raw traces overlapped. (b) Zoom on some sub-operations. (c) Aligned traces zoomed on some sub-
operations. Figure 6: Alignment steps of the MMM operations traces. Figure 7: Icc Campaign – NICV scores w.r.t. time samples; in blue, segfree values for Lsq.,
in orange segfree values for Lmult., in magenta the exponent bit values for Lmult.. (a) Raw traces overlapped. (b) Zoom on some sub-operations. (c) Aligned traces zoomed on some sub-
operations. Figure 6: Alignment steps of the MMM operations traces. (a) Raw traces overlapped. (b) Zoom on some sub-operations. (c) Aligned traces zoomed on some sub-
operations. Figure 6: Alignment steps of the MMM operations traces. (a) Raw traces overlapped. 4.1.1
Power Consumption (b) Zoom on some sub-operations. (a) Raw traces overlapped. (c) Aligned traces zoomed on some sub-
operations. (c) Aligned traces zoomed on some sub-
operations. Figure 6: Alignment steps of the MMM operations traces. Figure 6: Alignment steps of the MMM operations traces. Figure 7: Icc Campaign – NICV scores w.r.t. time samples; in blue, segfree values for Lsq.,
in orange segfree values for Lmult., in magenta the exponent bit values for Lmult.. Figure 7: Icc Campaign – NICV scores w.r.t. time samples; in blue, segfree values for Lsq.,
in orange segfree values for Lmult., in magenta the exponent bit values for Lmult.. The most significant information leakage (orange trace) is found for segfree and a MMM
processing corresponding to a multiplication (i.e. random variable Lmult.). This makes
segfree as a leakage of choice to perform SCA: leakages related to segfree during a squaring
(blue trace) is significantly smaller and also leakages related to the bits of the randomized
exponent associated to the multiplications patterns (magenta trace). The NICV computations performed on another cards reveal similar leakages and no
significant difference has been found. Deep Learning to Evaluate Secure RSA Implementations 144 4.1.2
Electromagnetic First order univariate leakage assessment has also been conducted on 45, 000 electro-
magnetic traces acquired as described in Subsection 3.2. For both sets of sub-traces
(Lsq. i )i<7×45,000 and (Lmult. i
)i<7×45,000, a SNR characterization has been performed w.r.t. the value of register index segfree. Exploiting the observation reported in Subsection 3.2,
the SNR has only been computed on the first 30, 000 points of the sub-traces (which
correspond to the MMM initializations). Figure 8 shows, on top and for temporal reference,
an original aligned EM trace of the initialization part of the Lsq. i
sub-traces and, on bottom,
the corresponding SNR results. Figure 8: EM Campaign – SNR result for the segfree value versus the squaring initialization
(bottom) and original EM trace (top). Figure 8: EM Campaign – SNR result for the segfree value versus the squaring initialization
(bottom) and original EM trace (top). The SNR is around 55.10−2 for the best points of interest. The corresponding points
will be used in our deep learning attacks reported in Subsection 5.2. A similar leakage
assessment has also been performed on another card. The SNR results are very similar
between the two cards. However, a temporal shift between SNR peaks has been observed
(see Figure 9). This shift is due to a clock frequency variation between cards. This difference has
to be compensated in order to be able to utilize traces from different cards during the
side-channel analysis. It can be done by detecting every electromagnetic peak of every
original trace and recreating a new trace by concatenating same length intervals around
the peaks. 4Since this operand is assumed to have size 1088 = 34 × 32, the number of 32-bits words per 1088-bits
operand, and hence the number of guessed bits, is 34. 4.2
Operands’ Manipulations In order to apply the attack path described in Subsubsection 2.3.2 on EM leakages, one
must be able to recover enough information on the left-hand side operand value of each
MMM operation from the corresponding sub-traces Lmult. i
and Lsq. i
pre-treated as explained
in Subsection 3.2 (50, 000 traces have been used, each composed of around 300, 000 time
samples). Since the co-processor performs elementary operations on 32-bits words, it seemed to be
sound to focus on a specific 32-bit (sub)-word of each target operand (whose bit-length
was 1088 for our experiments). In Figure 10 (top), it may first be observed that the
leakage of the 32 bits of a single word of the left-hand side operand during a MMM processing Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 145 Figure 9: EM Campaign – SNR results on MMM initialization traces using segfree value
on 2 different cards. Figure 9: EM Campaign – SNR results on MMM initialization traces using segfree value
on 2 different cards. is unbalanced. Indeed the amplitude of the SNR for the 12th less significant bit of the
word is almost hundred times greater than that of the others. Moreover, and as expected,
this bit leaks at many different locations. Figure 10 (bottom) secondly shows that these
characteristics are true for all the 32-bits words composing the MMM operand. It also shows
that the SNRs corresponding to the 12th bit of the 34 words are not exactly located at
the same time samples. Due to our first observation, we decided to restrict the recovery to the most leaking bits,
i.e. all the 12th bits of the 32-bits words composing the operand.4 As a consequence of
our second observation, a different set of points of interest has been recorded for the 12th
bit of each operand word. Deep Learning to Evaluate Secure RSA Implementations 146 Figure 10: Monobit SNRs (on 50, 000 traces) for the first operand of the MMM. Top: 32
SNR traces for each bit of the least significant 32-bit word. Bottom: 34 SNR traces for all
the 12th bit of each 32-bit sub-word of the operand. Figure 10: Monobit SNRs (on 50, 000 traces) for the first operand of the MMM. Top: 32
SNR traces for each bit of the least significant 32-bit word. Bottom: 34 SNR traces for all
the 12th bit of each 32-bit sub-word of the operand. 5.1
Registers Manipulation (Power Consumption) To exploit the information revealed by the characterization described in Subsubsection 4.1.1,
several acquisition campaigns with a RSA masked modulus of bit-length n = 1088 have
been launched with a sampling rate equal to 50 MS/s. Three different samples of the
target smart-card have been used, which led to split the acquisitions sets as follows: • Set C0: the card #0 is used for the profiling/training stage over the 100 first
multiplication patterns from the modular exponentiation. The power consumption
has been measured for 2, 016 RSA execution. Hence, the set is composed of 201, 600 =
2, 016 × 100 multiplication patterns. • Set C1: the card #1 is used as an evaluation/validation set for the training of deep
learning algorithms. The 100 first multiplication patterns of 30 traces have been
recorded. The set is hence composed of 3, 000 multiplication patterns. • Set C2: the power consumption of a full randomized modular exponentiation has
been measured on card #2. It is the attacked set for the exploitation/testing stage. The set is composed of 1088 multiplication patterns. For comparisons, several profiled approaches have been tested on the campaigns. They
have been performed on a 256 Gb RAM calculation server with NVIDIA Tesla P100-
PCIE-16Gb. The scores listed in the following table for all the attacks correspond to
the percentage of all the 1088 exponent bits which are revealed once the attack has been
performed against segfree for a single trace in our set C2. Some of the attacks listed above are very impacted by the size of the sub-traces on
which they are applied (e.g. TA or KNN). To get a fair comparison, all the profiled attacks
have hence been performed after reducing the sub-traces Lmult. i
to 9 Points of Interest
(POI for short) selected thanks to the characterization described in Subsubsection 4.1.1
(see Figure 7). We insist here on the fact that, after resynchronization, this is exactly
the same points which are kept for all the sub-traces (used for profiling or for attack). Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 147 Table 2: Attacks success rates (left), loss and accuracy for the CNN training (right). 5.2
Registers Manipulation (EM) To exploit the information revealed by the characterization described in Subsubsection 4.1.2,
deep learning attacks targeting the value of the register segfree have then been applied on
the electromagnetic measurements. For this attacks’ campaign, taking into account the
comparisons’ results presented in previous section, we chose to only test MLP and CNN
architectures. Since it was no longer needed to scale the dimension of the exploited traces
to comply with the capacity of other profiling techniques, this choice allowed us to test
the efficiency of the latter models almost directly on the squaring initialization sub-traces
identified in Subsection 3.2. In other words we did not select a small number of POI and
directly took the 13, 000 first time samples among 30, 000 in the MMM initialization pattern
of each sub-trace (the SNR characterization reported in Subsection 4.2 indeed shows that
the amount of useful information in the second half of the sub-traces is much less than
that in the first half). The training and testing have been done on a high-end desktop PC,
composed notably of 128 Gb RAM and an NVIDIA TITAN Xp graphics card. Similarly as reported in Subsection 5.1, the architectures and the hyper-parameters
have been searched by exhaustively testing all values in specific intervals carefully chosen
to bound the overall computational effort. First, the profiled attacks have been tested on
the sub-traces re-aligned as described in Subsection 3.2. Then, to validate the robustness
of CNN models to de-synchronization effects, they have also been tested on raw sub-traces
without specific re-alignment. Aligned traces. For the training phase, datasets of 750, 000 aligned traces acquired on
the 3 different cards have been grouped to form the training dataset C0 and the validation
dataset C1 (10% of the training dataset). For the testing phase, a dataset C2 of 10, 000
aligned traces acquired on a fourth card has been built. The whole 13, 000 first time
samples of the sub-traces described in Subsection 3.2 are used to input the models. A first standardization step [GBCB16, Section 12.2.1] has been applied on the datasets
in order to help the training by cancelling the mean of each sample and by equalizing
the covariances (see also [LBOM12]). To get a rough idea of the impact of the different
architectures and hyper-parameters tuning on the model accuracy, the generation of ten
random models has been launched. 5.1
Registers Manipulation (Power Consumption) Attack type
Best score
Template attack (TA) [CJRR99]
83.4%
Random Forest [MLB11]
93.1%
Support Vector Machine [HGM+11, ZGLG14]
97.1%
MLP [HGM+11, MDM16]
98.38%
K-Nearest Neighbors (KNN) [Bis07]
98.7%
Extreme Gradient Boosting [Bis07]
98.7%
Convolutional Neural Network [Bis07]
99.31% Table 2: Attacks success rates (left), loss and accuracy for the CNN training (right). y
g ( g
) For template attacks, and following the analysis done in [FR14], different considerations
regarding the covariance matrix have been tested: no covariance matrix (i.e. replaced by
identity matrix), a covariance matrix for each class, common “pooled” covariance matrix
(i.e. average of the covariance matrices over all the classes). Neural networks and machine
learning parameters have been optimized using various approaches such as grid search
and Bayesian optimization (see e.g. [BB12] for an argumentation of this approach). More
specifically hyperas/hyperopt library [Pum18, Ber18] was used for CNN. The CNN has been trained with the acquisitions in set C0. The acquisitions in C1
have been used as an evaluation set. The obtained training accuracy is 99.64% while the
accuracy for the evaluation set is 99.27%. The figure in Table 2 gives the evolution of the
accuracy and the loss as a function of the number of epochs, for both the training and
validation sets. We recall that the accuracy evaluates how accurate is the model prediction
compared to the given (true) labelling, while the loss (which is the value that aims to be
minimized during the training) is a summation of the errors made when comparing the
trained algorithms outputs and the (true) labels. Remarkably, the results immediately
converge around 99% and over-fitting on the validation set quickly arises; it is thus decided
to stop the learning very quickly, at epoch 7. After the recovery of 99.31% of the full randomized exponent, the wrong guesses can be
corrected thanks to [SW14b]. To apply the latter correction, the attack has to be repeated
against 15 full randomized exponents (i.e. 15 full RSA processings) to reveal the secret
exponent in clear. The architectures of the trained MLP and CNN models are given in Figure 11 and
Figure 12. Figure 11: Architecture of the best trained MLP Figure 11: Architecture of the best trained MLP Deep Learning to Evaluate Secure RSA Implementations 148 Figure 12: Architecture of the best trained CNN Figure 12: Architecture of the best trained CNN 5.2
Registers Manipulation (EM) Each model has been trained over 3 epochs and this
process has been done for both MLP and CNN architectures. Then, different metrics (as
e.g. the accuracy and the loss) have been involved to compare them and to eventually
select the best parameters. For each of the ten networks, these metrics have been analysed
in order to assess the performance of the networks with regards to their architecture
(number of layers, number of neurons per layers, etc.) and their hyper-parameters (learning Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 149 rate, regularization rate, etc.). This analysis has allowed us to identify the best network
parameters and hyper-parameters amongst the randomly generated ones. In a second step, the selected MLP and CNN models have been selected and directly
applied to the 10, 000 sub-traces in dataset C1. The accuracy of the best MLP model and
CNN model was respectively 99.87%, and 99.7%. The architecture of the best MLP model
is given in Figure 13a and the best CNN model is given in Figure 13b. (a) Best MLP architecture
(b) Best CNN architecture
Figure 13: Best neural networks architectures on aligned traces. (a) Best MLP architecture (a) Best MLP architecture (b) Best CNN architecture (b) Best CNN architecture (a) Best MLP architecture Figure 13: Best neural networks architectures on aligned traces. A more in-depth tuning of the hyper-parameters has been launched on the best CNN
model in order to improve it. In particular, the number of epochs, the batch size, the
optimizer algorithms have been tested thoroughly. Finally, different initialization weights
have been set for the architectures, hence resulting in different initial conditions for the
networks. An ensemble learning technique [Zho12, Section 4.2] has then been applied
on the different initialized networks. Several copies of the same network with different
initializations have eventually been trained and their results have been averaged (aka
cross-validated). The best CNN model has then been repeated 3 times using this ensemble
learning method. This technique gave the best accuracy for our CNN model, namely
99.91%. Raw traces. One of the main advantages of the CNN models is the temporal invariance
of the convolution layers. This theoretically allows neural networks to be immune against
desynchronization. Therefore, CNN models have also been trained on 750, 000 electro-
magnetic traces without the alignment steps (corresponding to Figure 5b) and applied to
10, 000 traces from another card. 5.2
Registers Manipulation (EM) Contrary to the aligned traces case, the standardization pre-processing technique has
no sense on desynchronized traces. Hence, the datasets values have only been scaled in the
range [0, 1]. Then, a random search over 20 networks has been launched. The training has
been performed over 10 epochs (instead of 3 due to the greater difficulty for the networks
in finding relevant patterns in desynchronized data). On aligned traces, most of randomly
generated architectures gave significant results. Here, only a few of the 20 generated
architectures gave high accuracies (> 90%). The best model accuracy was only 93.3%. To improve it, a new layer called batch normalization [IS15] has been integrated. This
additional layer has been included in the random architecture search and 10 new neural
networks have been generated. Using the batch normalization layers in CNN models, the
best model accuracy was 97.7%. The architecture of the best CNN model with batch normalization is given in Figure 14. Table 3 summarizes the accuracy of the deep learning attacks targeting the register The architecture of the best CNN model with batch normalization is given in Figure 14
Table 3 summarizes the accuracy of the deep learning attacks targeting the registe Deep Learning to Evaluate Secure RSA Implementations 150 Figure 14: Best CNN with batch normalization architecture on raw traces. Figure 14: Best CNN with batch normalization architecture on raw traces. manipulation on the electromagnetic traces. The percentage corresponds to the ability
of the trained model to recover a bit of the masked exponent. A success rate of 97%
(or greater) is considered to be sufficient to recover the full exponent with non-negligible
probability (possibly combined with techniques as in [SW14a]). manipulation on the electromagnetic traces. The percentage corresponds to the ability
of the trained model to recover a bit of the masked exponent. A success rate of 97%
(or greater) is considered to be sufficient to recover the full exponent with non-negligible
probability (possibly combined with techniques as in [SW14a]). Table 3: Attacks summary. Attack type
Best score
Multi-Layer Perceptron on aligned traces
99.7%
Convolutional Neural Network on aligned traces
99.91%
Convolutional Neural Network on raw traces
97.7% Table 3: Attacks summary. Attack type
Best score
Multi-Layer Perceptron on aligned traces
99.7%
Convolutional Neural Network on aligned traces
99.91%
Convolutional Neural Network on raw traces
97.7% 5.3
Values Manipulation (EM) Based on the analysis recalled in Subsection 4.2, the goal is to recover, from two EM
leakages Lmult. i
and Lsq. i+1, the twelve bit of each of the 34 words composing the two
left-hand side operands amult. i
and asq. i+1 of consecutive MMM processings, before performing
a comparison between the two bit sets and decide whether amult. i
equals asq. i+1 or not (which
directly gives the corresponding exponent bit, see Subsubsection 2.3.2). First stage: training. For the reasons discussed in Subsection 4.2, for each of the 34
words, a new model has been trained to recover the 12th bit from a single observation. The
database C0 for the training was composed of 10, 000 traces, each of size of 300, 000 time
samples corresponding to a single MMM processing. Since the latter size was unnecessarily
too high, the SNR characterization reported in Subsection 4.2 has been priorly used to
reduce them to 5, 000 points of interest, which were different for each word. This led to the
definition of 34 training databases of 10, 000 traces composed of 5, 000 samples: the first
8, 000 traces were dedicated to the training, while the remaining 2, 000 traces were used
for validation. The traces in the i-th database are labelled by the 12th bit of the i-th word
of the left-hand side operand of the corresponding MMM processing. Then, the CNN model
depicted on Figure 15 has been trained onto each database. As for previous trainings, we
observed that the validation accuracy quickly converged to the training accuracy (after
only 2 epochs). Second stage: guessing values. The 34 trained models have then then been tested on
a new test database C2 composed of 1, 400 traces corresponding to different single MMM Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 151 Figure 15: CNN architecture. Figure 15: CNN architecture. processings. Before each of the 34 tests, the traces have been reduced to 5, 000 samples by
selecting the corresponding points of interest identified during the signal characterization. For the 1, 400 traces, the success rate of our 34 models ranges from 88% to 99.5%, with an
average of 95%. Third stage: recovering the exponent bit. Eventually, the attack is performed on a
single trace. 5.3
Values Manipulation (EM) For each exponent bit d′[n −1 −i], i ∈[1..n −1], two values have to be
recovered, so the 34 trained models are applied twice, on Lmult. i
and on Lsq. i+1. Before each
of the 2×34 attacks, the two targeted sub-traces are reduced to 5, 000 samples by selecting
the same points of interest. Based on the 2 × 34 guessed bits, our purpose was to decide if
the left-hand side operands collide or not. Given the average accuracy of our 34 models (to correctly recover the twelve bit of a
given 32-bits word), it may be checked that only 26 bits (or more) among the 34 ones
have to be equal in order to accurately decide that there is a collision or a non-collision,
and hence that the corresponding exponent bit is 1 or 0 (a detailed argumentation of this
point is given in Appendix A). Eventually, with a recovering of 34 bits of each operand
with an average success rate of 95%, we were able to recover all the exponent bits with
a success rate close to 100% (except for the least significant one which was recovered by
exhaustive testing). 6
Conclusion A careful analysis of the security
and efficiency of these countermeasures and/or the design of new ones are open avenues
for further research. 6
Conclusion In this paper, the results of several profiled/supervised side-channel attacks against a
secure implementation of the RSA algorithm have been described and discussed. The
implementation was running on a ARM Core SC 100 with a secure arithmetic co-processor. The work has been co-jointly done by three different teams, each working on a specific
attack path. For completeness, and because this information is often missing in the
literature while being of important practical interest, we have detailed all the attack steps
(identification of the attack paths, acquisitions, pre-processing, attacks) that are usually
followed to evaluate the security of an implementation in a security laboratory. The
attacks results, which exploit different types of leakages measured either through the power
consumption or the electromagnetic emanation of the devices, show the high potential of 152 Deep Learning to Evaluate Secure RSA Implementations deep learning attacks (and in particular CNN models) against secure implementations of
RSA. The architectures of the best trained models are given for information. They however
strongly depend on the device, the targeted algorithm and the measurements campaigns,
and even if some general design principles may be reused, it is very likely that they cannot
be directly applied on a context differing on one of the latter points. Usually, a EAL4+
certified arithmetic co-processor leaks much less information than what was observed in this
paper. We hence expect the attack to be more difficult to directly apply on devices certified
in the SOG-IS scheme, especially if the security guidelines of the chip are correctly followed
(which is verified by the evaluation laboratory during the testing of the software part). To
remove the first attack path exploiting the dependence between the secret exponent bits
and the variable addresses, countermeasures exist like e.g. the randomization of the roles
of the registers used during the exponentiation [IIT03]. Dealing with the second attack
path is more tricky. Replacing the Square & Multiply Always exponentiation algorithm by
another one, like for instance the Montgomery Ladder [JY02, Mon87], is not a solution
since collisions are still exploitable (as argued in [BJPW13]). A possible approach is to
frequently re-randomize the internal state as proposed in [BJPW13] or to re-randomize
the output of each modular operations as proposed in [DV11]. Another possibility is to
mix (in a random order) several exponentiation routines. Acknowledgements The target implementation used in this paper to present the different attacks is part of a
challenge organized by ANSSI’s laboratory of hardware security for industrial partners. It
has been developed by CryptoExperts (https://www.cryptoexperts.com/) who delib-
erately did not include countermeasures against horizontal and address-bit attacks. We
would like to thank them, and also people who were involved in the project at ANSSI:
Soline Renner, Manuel San-Pedro, Adrian Thillard and Jérôme Vidal. Eventually, we
thank Victor Lomné from Ninjalab (https://ninjalab.io/) who performed preliminary
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Optimal Number of Binary Collisions to Decide on the
Operands’ Equality i+1 from the equality of
the 34 targeted bits (event named T) is estimated by: τ(T) ≈1
2
α34 + 1 −1
234
(6) (6) The probability to correctly guess that amult. i
= asq. i+1 and amult. i
̸= asq. i+1 from the equality of
only c bits among the 34 targeted bits (event named S(c) c ∈[0..34]) is estimated by: τ(S(c)) ≈1
2
X
c≤j≤34
34
j
αj(1 −α)34−j + 1 −
P
c≤j≤34
34
j
234
(7) (7) The success rates are drawn for several guessing probabilities p in Figure 16. We remark
that guessing a operand bit with more than 83% success is enough to achieve at least 90%
success to recover the bit exponent. Deep Learning to Evaluate Secure RSA Implementations 158 Figure 16: Evolution of the success rate τ(S(c)) (ordinate) in function of c (abscissa) for
different probabilities p (colors). A zoom is drawn in the box. Figure 16: Evolution of the success rate τ(S(c)) (ordinate) in function of c (abscissa) for
different probabilities p (colors). A zoom is drawn in the box. Proof. The two values that collide or not are represented by the random variables X ∈M
and Y ∈M where M = {0, . . . , 2n −1}. The values of the corresponding bits are
represented by the random variables Xi and Yi where i ∈B = {0, . . . , n −1}. We suppose
that the distribution of the masked exponent bits is almost uniform, so the collision (bit
equal to 0) has same probability than the non-collision (bit equal to 1). Proof. The two values that collide or not are represented by the random variables X ∈M
and Y ∈M where M = {0, . . . , 2n −1}. The values of the corresponding bits are
represented by the random variables Xi and Yi where i ∈B = {0, . . . , n −1}. We suppose
that the distribution of the masked exponent bits is almost uniform, so the collision (bit
equal to 0) has same probability than the non-collision (bit equal to 1). Pr [X = Y ] = Pr [X ̸= Y ] = 1
2. (8) (8) We also suppose that the realizations of X and Y are uniformly distributed between
0 and 2n −1. This is not exactly correct because they are modular values. A
Optimal Number of Binary Collisions to Decide on the
Operands’ Equality So ∀x ∈
M, Pr [X = x] =
1
2n and ∀y ∈M, Pr [Y = y] =
1
2n . This implies: Pr [X = x and Y = x|X = Y ] = 1
2n ,
(9) (9) and and Pr [X = x and Y = y|X ̸= Y ] =
1
22n −2n =
1
2n(2n −1). (10) (10) The two guessed values are represented by the random variables GX ∈M and GY ∈M. The values of the corresponding bits are represented by the random variables GXi and
GY i where i ∈B. Here we only guess the bit number 12 of the 32-bit words, so we define
the set of these bit indexes B12 = {j|j ∈B and j mod
n
32 = 12}. 3
We denote pi(a, b) the probability to predict that the bit GXi (resp. GY i) equals to b
knowing that it equals to a in reality. So ∀i ∈B and ∀(a, b) ∈{0, 1}2: pi(a, b) = Pr [GXi = b|Xi = a] = Pr [GY i = b|Yi = a]
(11) (11) Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli
159 159 The following probabilities are defined ∀i ∈B and will be used later: αi = Pr [GXi = GY i|Xi = Yi]
= 1
2
X
(a,b)∈{0,1}2
pi(a, b)2
(12)
γi = Pr [GXi ̸= GY i|Xi = Yi]
=
X
a∈{0,1}
pi(a, 0)pi(a, 1)
(13)
βi = Pr [GXi = GY i]
= 1
4
X
(a,a′,b)∈{0,1}3
pi(a, b)pi(a′, b)
(14)
δi = Pr [GXi ̸= GY i]
= 1
2
X
(a,a′)∈{0,1}2
pi(a, 0)pi(a′, 1)
(15) αi = Pr [GXi = GY i|Xi = Yi]
= 1
2
X
(a,b)∈{0,1}2
pi(a, b)2
(12)
γi = Pr [GXi ̸= GY i|Xi = Yi]
=
X
a∈{0,1}
pi(a, 0)pi(a, 1)
(13)
βi = Pr [GXi = GY i]
= 1
4
X
(a,a′,b)∈{0,1}3
pi(a, b)pi(a′, b)
(14)
δi = Pr [GXi ̸= GY i]
= 1
2
X
(a,a′)∈{0,1}2
pi(a, 0)pi(a′, 1)
(15) (12) (13) (15) First we compute the probability of predicting a collision knowing that the two values
really collide. We suppose that the 68 attacks are independent, so the probability of
guessing one bit GXi or GY i only depends on the true value, i.e. it does not depend on
the others bits. A
Optimal Number of Binary Collisions to Decide on the
Operands’ Equality Pok(B′) = 1
2n
X
bi∈{0,1}
∀i∈B12
2n−|B12|
X
xi∈{0,1}
∀i∈B12
Pr [GB′((bi)i∈B12)|X = Y = x]
(19)
=
1
2|B12|
X
bi∈{0,1}
∀i∈B12
X
xi∈{0,1}
∀i∈B′
X
xj∈{0,1}
∀j /∈B′
Pr [∀i ∈B′, GXi = GY i = bi|X = Y = x]
× Pr
∀j /∈B′, GXj = bj, GY j = 1 −bj|X = Y = x
(20) (19) j /
Pr [∀i ∈B′, GXi = GY i = bi|X = Y = x]
× Pr
∀j /∈B′, GXj = bj, GY j = 1 −bj|X = Y = x
(20) (20) We separate the terms related to bits in B′: Pok(B′) =
1
2|B12|
X
bi∈{0,1}
∀i∈B′
X
xi∈{0,1}
∀i∈B′
Y
i∈B′
Pr [GXi = bi|Xi = xi]2
×
X
bj∈{0,1}
∀j /∈B′
X
xj∈{0,1}
∀j /∈B′
Y
j /∈B′
Pr
GXj = bj|Xj = xj
× Pr
GY j = 1 −bj|Yj = xj
(21) Pok(B′) =
1
2|B12|
X
bi∈{0,1}
∀i∈B′
X
xi∈{0,1}
∀i∈B′
Y
i∈B′
Pr [GXi = bi|Xi = xi]2
×
X
bj∈{0,1}
∀j /∈B′
X
xj∈{0,1}
∀j /∈B′
Y
j /∈B′
Pr
GXj = bj|Xj = xj
P
G
1
b |Y
× Pr
GY j = 1 −bj|Yj = xj
(21) (21) Deep Learning to Evaluate Secure RSA Implementations 160 After factorization, we have:
Pok(B′) =
1
2|B12|
Y
i∈B′
X
bi∈{0,1}
X
xi∈{0,1}
pi(xi, bi)2
×
Y
j /∈B′
X
bj∈{0,1}
X
xj∈{0,1}
pj(xj, bj)pj(xj, 1 −bj)
(22)
=
1
2|B12|
Y
i∈B′
2αi ·
Y
j /∈B′
2γj
(23)
Pok(B′) =
Y
i∈B′
αi
Y
j /∈B′
γj
(24) After factorization, we have:
Pok(B′) =
1
2|B12|
Y
i∈B′
X
bi∈{0,1}
X
xi∈{0,1}
pi(xi, bi)2
×
Y
j /∈B′
X
bj∈{0,1}
X
xj∈{0,1}
pj(xj, bj)pj(xj, 1 −bj)
(22)
=
1
2|B12|
Y
i∈B′
2αi ·
Y
j /∈B′
2γj
(23)
Pok(B′) =
Y
i∈B′
αi
Y
j /∈B′
γj
(24) After factorization, we have: After factorization, we have:
Pok(B′) =
1
2|B12|
Y
i∈B′
X
bi∈{0,1}
X
xi∈{0,1}
pi(xi, bi)2
×
Y
j /∈B′
X
bj∈{0,1}
X
xj∈{0,1}
pj(xj, bj)pj(xj, 1 −bj)
(22)
=
1
2|B12|
Y
i∈B′
2αi ·
Y
j /∈B′
2γj
(23)
Pok(B′) =
Y
i∈B′
αi
Y
j /∈B′
γj
(24) (22) (23) (24) Given a subset B′ ⊆B12 of correct guessed bits, the probability of predicting a collision
knowing this is false is: Pko(B′) = Pr [GB′((bi)i∈B12)|X ̸= Y ]
(25)
=
X
bi∈{0,1}
∀i∈B12
X
(x,y)∈M2
x̸=y
Pr [X = x and Y = y|X ̸= Y ]
× Pr [GB′((bi)i∈B12)|X = x and Y = y]
(26) (25) (26) We separate the collisions: We separate the collisions: We separate the collisions: Pko(B′) =
1
2n(2n −1)
X
bi∈{0,1}
∀i∈B12
X
(x,y)∈M2
Pr [GB′((bi)i∈B12)|X = x and Y = y]
−
X
x∈M
Pr [GB′((bi)i∈B12)|X = x and Y = x]
! A
Optimal Number of Binary Collisions to Decide on the
Operands’ Equality For a subset of bits B′ ⊆B12 and for a set of correct bit values (bi)∀i∈B12, we define
GB′((bi)i∈B12) the fact of correctly guessing the bits of the subset and of being wrong
about the others. GB′((bi)i∈B12) ⇔
∀i ∈B′, GXi = GY i = bi
and ∀j /∈B′, GXj = bj, GY j = 1 −bj
(16) (16) Given a subset B′ ⊆B12 of correct guessed bits, the probability of predicting a collision
knowing this is true is: Pok(B′) = Pr [GB′((bi)i∈B12)|X = Y ]
(17)
=
X
bi∈{0,1}
∀i∈B12
X
x∈M
Pr [X = x|X = Y ] Pr [GB′((bi)i∈B12)|X = Y = x]
(18) (17) (17)
(18) (17) (18) The sum on all possible values x ∈M can be rewritten as multiple sums on each bit
xi ∈{0, 1} of x. A
Optimal Number of Binary Collisions to Decide on the
Operands’ Equality ( Pko(B′) =
1
2n(2n −1)
X
bi∈{0,1}
∀i∈B12
X
(x,y)∈M2
Pr [GB′((bi)i∈B12)|X = x and Y = y] Pko(B′) =
1
2n(2n −1)
X
bi∈{0,1}
∀i∈B12
X
(x,y)∈M2
Pr [GB′((bi)i∈B12)|X = x and Y = y]
−
X
x∈M
Pr [GB′((bi)i∈B12)|X = x and Y = x]
! (27)
After binary rewritting, we have:
Pko(B′) = 22·n−2|B12|
2n(2n −1)
X
(bi,xi,yi)∈{0,1}3
∀i∈B′
Y
∀i∈B′
pi(xi, bi)pi(yi, bi)
×
X
(bj,xj,yj)∈{0,1}3
∀j /∈B′
Y
∀j /∈B′
pj(xj, bj)pj(yj, 1 −bj)
−
2n−|B12|
2n(2n −1)
X
(bi,xi)∈{0,1}2
∀i∈B′
Y
∀i∈B′
pi(xi, bi)2
×
X
(bj,xj)∈{0,1}2
∀j /∈B′
Y
∀j /∈B′
pj(xj, bj)pj(xj, 1 −bj)
(28) −
X
x∈M
Pr [GB′((bi)i∈B12)|X = x and Y = x]
! (27) (27) After binary rewritting, we have: Pko(B′) = 22·n−2|B12|
2n(2n −1)
X
(bi,xi,yi)∈{0,1}3
∀i∈B′
Y
∀i∈B′
pi(xi, bi)pi(yi, bi)
×
X
(bj,xj,yj)∈{0,1}3
∀j /∈B′
Y
∀j /∈B′
pj(xj, bj)pj(yj, 1 −bj)
−
2n−|B12|
2n(2n −1)
X
(bi,xi)∈{0,1}2
∀i∈B′
Y
∀i∈B′
pi(xi, bi)2
×
X
(bj,xj)∈{0,1}2
∀j /∈B′
Y
∀j /∈B′
pj(xj, bj)pj(xj, 1 −bj)
(28) (28) Carbone, Conin, Cornélie, Dassance, Dufresne, Dumas, Prouff, Venelli 161 After simplification with the above defined probabilities, we have: Pko(B′) = 22·n−2|B12|
2n(2n −1)
Y
∀i∈B′
4βi
!
Y
∀j /∈B′
4δj
−
2n−|B12|
2n(2n −1)
Y
∀i∈B′
2αi
!
Y
∀j /∈B′
2γj
(29)
=
2n Q
i∈B′ βi
Q
j /∈B′ δj −Q
i∈B′ αi
Q
j /∈B′ γj
2n −1
(30) (29) =
2n Q
i∈B′ βi
Q
j /∈B′ δj −Q
i∈B′ αi
Q
j /∈B′ γj
2n −1
(30) (30) If the size n is such that 2n ≫1, we approximate: Pko(B′) ≈
Y
i∈B′
βi
Y
j /∈B′
δj
(31) (31) So we deduce the probabilities of prediction with all bits in case of collision or not: So we deduce the probabilities of prediction with all bits in case of collision or not: Pr [T|X = Y ] = Pok(B12)
(32)
Pr [T|X ̸= Y ] = Pko(B12)
(33) (32)
(33) (33) and the probabilities of prediction with a minimum number of identical bits in case of
collision or not: Pr [S(c)|X = Y ] =
X
s∈Sc
Pok(s)
(34)
Pr [S(c)|X ̸= Y ] =
X
s∈Sc
Pko(s)
(35) (34) (35) where P(B12) is the set of subsets of B12, c ∈{1 . . . A
Optimal Number of Binary Collisions to Decide on the
Operands’ Equality |B12|} and Sc = {s|s ∈P(B12) and |s| ≥
c} where P(B12) is the set of subsets of B12, c ∈{1 . . . |B12|} and Sc = {s|s ∈P(B12) and |s| ≥
c}. }
These computations can be simplified if the probabilities pi are the same for all the bits. If for all i ∈B12, pi(0, 0) = pi(1, 1) = p then αi = α = p2 + (1 −p)2 and γi = γ = 2p(1 −p)
and βi = β = δi = δ = 1
2. The above probabilities become: Pr [T|X = Y ] = α34
(36)
Pr [T|X ̸= Y ] ≈
1
234
(37)
Pr [S(c)|X = Y ] =
X
c≤j≤34
34
j
αj(1 −α)34−j
(38)
Pr [S(c)|X ̸= Y ] ≈
X
c≤j≤34
34
j
1
234 =
P
c≤j≤34
34
j
234
(39) (36) (37) (38) (39) At last, the success rates τ(T) and τ(S(c)), representing the probabilities that the
predictions T and S(c) are correct, are estimated by: At last, the success rates τ(T) and τ(S(c)), representing the probabilities that the
predictions T and S(c) are correct, are estimated by: τ(T) = Pr [X = Y ] Pr [T|X = Y ] + Pr [X ̸= Y ] Pr [not T|X ̸= Y ]
1
1 τ(T) = Pr [X = Y ] Pr [T|X = Y ] + Pr [X ̸= Y ] Pr [not T|X ̸= Y ]
≈1
2
α34 + 1 −1
234
(40) τ(T) = Pr [X = Y ] Pr [T|X = Y ] + Pr [X ̸= Y ] Pr [not T|X ̸= Y ]
≈1
2
α34 + 1 −1
234
(40)
τ(S(c)) ≈1
2
X
c≤j≤34
34
j
αj(1 −α)34−j + 1 −
P
c≤j≤34
34
j
234
(41) (40) τ(S(c)) ≈1
2
X
c≤j≤34
34
j
αj(1 −α)34−j + 1 −
P
c≤j≤34
34
j
234
(41) (41)
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Pneumatosis Intestinalis in the Setting of COVID-19: A Single Center Case Series From New York
|
Frontiers in medicine
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Article: Miyara, S.J., Becker, L.B., Guevara, S. et al. (23 more authors) (2021) Pneumatosis
intestinalis in the setting of COVID-19: a single center case series from New York. Frontiers in Medicine, 8. 638075. ISSN 2296-858X https://doi.org/10.3389/fmed.2021.638075 Reuse This article is distributed under the terms of the Creative Commons Attribution (CC BY) licence. This licence
allows you to distribute, remix, tweak, and build upon the work, even commercially, as long as you credit the
authors for the original work. More information and the full terms of the licence here:
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center case series from New York. White Rose Research Online URL for this paper:
https://eprints.whiterose.ac.uk/190635/ Version: Published Version Version: Published Version Takedown If you consider content in White Rose Research Online to be in breach of UK law, please notify us by
emailing eprints@whiterose.ac.uk including the URL of the record and the reason for the withdrawal request. eprints@whiterose.ac.uk
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https://eprints.whiterose.ac.uk/ eprints@whiterose.ac.uk
https://eprints.whiterose.ac.uk/ CASE REPORT
published: 04 June 2021
doi: 10.3389/fmed.2021.638075 CASE REPORT Citation: Miyara SJ, Becker LB, Guevara S,
Kirsch C, Metz CN, Shoaib M,
Grodstein E, Nair VV, Jandovitz N,
McCann-Molmenti A, Hayashida K,
Takegawa R, Shinozaki K, Yagi T,
Aoki T, Nishikimi M, Choudhary RC,
Cho YM, Zanos S, Zafeiropoulos S,
Hoffman HB, Watt S, Lumermann CM,
Aronsohn J, Shore-Lesserson L and
Molmenti EP (2021) Pneumatosis
Intestinalis in the Setting of COVID-19:
A Single Center Case Series From
New York. Front. Med. 8:638075. doi: 10.3389/fmed.2021.638075 Keywords: pneumatosis intestinalis, COVID-19, SARS-CoV-2, mesenteric ischemia, ischemia-reperfusion injury,
molecular targeted therapy, tocilizumab, IL-6 inhibitor Pneumatosis Intestinalis in the
Setting of COVID-19: A Single Center
Case Series From New York Santiago J. Miyara 1,2†, Lance B. Becker 1,2,3,4,5†, Sara Guevara 3,4, Claudia Kirsch 6,
Christine N. Metz 1,2, Muhammad Shoaib 2,4,5, Elliot Grodstein 3, Vinay V. Nair 7,
Nicholas Jandovitz 3,8, Alexia McCann-Molmenti 3, Kei Hayashida 2,4, Ryosuke Takegawa 2,4,
Koichiro Shinozaki 2,4, Tsukasa Yagi 2,4, Tomoaki Aoki 2,4, Mitsuaki Nishikimi 2,4,
Rishabh C. Choudhary 2,4, Young Min Cho 3, Stavros Zanos 1,2, Stefanos Zafeiropoulos 1,2,
Hannah B. Hoffman 3, Stacey Watt 9, Claudio M. Lumermann 5,10, Judith Aronsohn 5,10,
Linda Shore-Lesserson 5,10 and Ernesto P. Molmenti 3,4,5* Edited by: 1 Elmezzi Graduate School of Molecular Medicine, Manhasset, NY, United States, 2 Feinstein Institutes for Medical Research,
Manhasset, NY, United States, 3 Department of Surgery, North Shore University Hospital, Manhasset, NY, United States,
4 Department of Emergency Medicine, North Shore University Hospital, Manhasset, NY, United States, 5 Donald and Barbara
Zucker School of Medicine at Hofstra/Northwell, Hempstead, NY, United States, 6 Department of Radiology, North Shore
University Hospital, Manhasset, NY, United States, 7 Department of Medicine, North Shore University Hospital, Manhasset,
NY, United States, 8 Department of Pharmacy, North Shore University Hospital, Manhasset, NY, United States, 9 Jacobs
School of Medicine and Biomedical Sciences, University at Buffalo, Buffalo, NY, United States, 10 Department of
Anesthesiology, North Shore University Hospital, Manhasset, NY, United States Edited by:
Jiapeng Huang,
University of Louisville, United States Reviewed by:
Andre M. Japiassu,
Oswaldo Cruz Foundation
(Fiocruz), Brazil
Tadamitsu Kishimoto,
Osaka University, Japan This case series reviews four critically ill patients infected with severe acute respiratory
syndrome coronavirus 2 (SARS-CoV-2) [coronavirus disease 2019 (COVID-19)] suffering
from pneumatosis intestinalis (PI) during their hospital admission. All patients received the
biological agent tocilizumab (TCZ), an interleukin (IL)-6 antagonist, as an experimental
treatment for COVID-19 before developing PI. COVID-19 and TCZ have been
independently linked to PI risk, yet the cause of this relationship is unknown and under
speculation. PI is a rare condition, defined as the presence of gas in the intestinal wall,
and although its pathogenesis is poorly understood, intestinal ischemia is one of its
causative agents. Based on COVID-19’s association with vasculopathic and ischemic
insults, and IL-6’s protective role in intestinal epithelial ischemia–reperfusion injury, an
adverse synergistic association of COVID-19 and TCZ can be proposed in the setting of
PI. To our knowledge, this is the first published, single center, case series of pneumatosis
intestinalis in COVID-19 patients who received tocilizumab therapy. *Correspondence:
Ernesto P. Molmenti
emolmenti@northwell.edu *Correspondence:
Ernesto P. Molmenti
emolmenti@northwell.edu †These authors have contributed
equally to this work †These authors have contributed
equally to this work †These authors have contributed
equally to this work †These authors have contributed
equally to this work Specialty section:
This article was submitted to
Intensive Care Medicine and
Anesthesiology,
a section of the journal
Frontiers in Medicine Received: 05 December 2020
Accepted: 08 March 2021 Received: 05 December 2020
Accepted: 08 March 2021
Published: 04 June 2021 Keywords: pneumatosis intestinalis, COVID-19, SARS-CoV-2, mesenteric ischemia, ischemia-reperfusion injury,
molecular targeted therapy, tocilizumab, IL-6 inhibitor Edited by:
Jiapeng Huang,
University of Louisville, United States
Reviewed by:
Andre M. Japiassu,
Oswaldo Cruz Foundation
(Fiocruz), Brazil
Tadamitsu Kishimoto,
Osaka University, Japan
*Correspondence:
Ernesto P. Molmenti
emolmenti@northwell.edu
†These authors have contributed
equally to this work INTRODUCTION Pneumatosis intestinalis (PI) is a rare condition (prevalence ∼0.03%) defined as the presence of
gas in the wall of the small or large intestine (1–3). PI can represent an incidental, benign finding
(primary or idiopathic PI, 15% of cases) or a potentially life-threatening gastrointestinal disease
(secondary PI, 85% of cases) (4). Secondary PI is frequently associated with chronic obstructive
pulmonary disease (COPD) as well as ischemic, necrotic, and obstructive gastrointestinal insults
(5, 6). PI is a radiographic sign characterized by linear and/or curvilinear gas collections in the June 2021 | Volume 8 | Article 638075 Frontiers in Medicine | www.frontiersin.org Miyara et al. Pneumatosis Intestinalis in COVID-19 intestinal wall and is often indicative of systemic or local
pathological processes affecting the bowel wall (7, 8). Secondary
PI is frequently associated with different clinical scenarios, such
as premature newborns with necrotizing enterocolitis, adults
with obstructive pulmonary diseases as well as ischemic, necrotic,
infectious, and obstructive gastrointestinal insults, celiac disease,
amyloidosis, AIDS, rheumatic diseases, and certain drugs,
particularly steroids, chemotherapeutics, glucosidase inhibitors,
laxatives (lactulose), and molecular targeted agents such as
tocilizumab (TCZ) (5, 7, 9–13). The clinical manifestations
of PI depend on the bowel segments involved. When PI
affects the small intestine, vomiting, abdominal distension,
weight loss, and abdominal discomfort/pain are the most
common manifestations. Less frequently, diarrhea, anorexia,
and constipation can be present. When PI involves the large
intestine, diarrhea, hematochezia, abdominal discomfort/pain,
and distension are the most common signs and symptoms. Less
frequently, constipation, weight loss, and tenesmus may occur
(1, 14, 15). The pathogenesis of PI is poorly understood; however,
clinical and preclinical studies suggest that PI results from a
complex combination of abnormal biochemical, microbiological,
and mechanical aspects of intestinal functioning (16). the first case series presenting the detailed clinical course of four
COVID-19 patients who all received TCZ and developed PI. Frontiers in Medicine | www.frontiersin.org CASE PRESENTATION 1 A 65-year-old man with a past medical history (PMH) of
asthma, hypertension (HTN), hyperlipidemia (HLD), insulin
resistance, and obstructive sleep apnea (OSA) was admitted
to the hospital due to dyspnea, tachypnea [respiratory rate
(RR), 22/min], cough, fever (103◦F), and hypoxia [blood oxygen
saturation levels (SpO2), 81%] after having a 2-week period of
fever, chills, and body aches. Symptoms had worsened in the
last 72 h before admission. On admission, the patient was placed
on a non-rebreather mask (NRB) at 11 L/min (LPM) due to
respiratory distress, which partially improved hypoxia from SpO2
81 to 91%. Three days after admission, the respiratory status
worsened revealing diffuse bilateral ground-glass opacification
on chest CT scan, along with increased counts of neutrophils in
plasma, lymphopenia, and transaminitis. Labs showed increased
ferritin and C-reactive protein (CRP) levels (Table 1), features
compatible with the cytokine release-like syndrome associated
with COVID-19 (39, 40). Based on his clinical condition with
pending COVID-19 testing results, the patient was started
on albuterol, meropenem, hydroxychloroquine, ascorbic acid,
thiamine, TCZ, and enoxaparin prophylaxis. One day later, due to
decreased oxygen saturation, the patient was placed in pronation. Upon worsening hypoxia, severe dyspnea, positive polymerase
chain reaction (PCR) COVID-19 swab testing, and meeting the
criteria for acute respiratory distress syndrome (ARDS), the
patient was intubated. Furthermore, prophylactic enoxaparin was
switched to intravenous (IV) heparin 1,500 U/h, and an IL-
1 inhibitor (anakinra) was started. Shortly, a vasoplegic shock
refractory to adjustments in sedative medications prompted
onset of vasopressors (norepinephrine). Since admission, the
patient had no bowel movements despite the use of laxatives
(lactulose), prokinetics (metoclopramide), and enemas (saline
laxative). Progressive abdominal distension warranted a CT scan
demonstrating extensive colon and small bowel pneumatosis
with mesenteric and portal venous gas, raising suspicions
of bowel ischemia (Figures 1A–D). Based on the patient’s
clinical and pathological characteristics, lactate levels of 2.0
mmol/L, and no increased vasopressor requirement, surgical
resection was not considered the best course of action at the
time. Laxative regimen was enhanced with polyethylene glycol
and senna. Monitoring of intra-abdominal pressure ranged
from 13 to 19 mmHg, which suggested a likely abdominal
compartment syndrome (41). Six days after initiation of
mechanical ventilation, the patient developed non-oliguric acute
kidney injury (AKI) likely secondary to COVID-19 sepsis and
acute tubular necrosis (ATN) from hemodynamic instability. CASE PRESENTATION 1 The
patient was approached in a conservative, non-surgical fashion
including switching propofol to ketamine, adjusting IV fluids,
using piperacillin–tazobactam for enteric bacteria, and holding
potential nephrotoxic agents. A repeated CT scan 12 days after
the initial scan showed changes consistent with bowel ischemia,
as well as signs suggestive of peritonitis, complicated by bowel A 65-year-old man with a past medical history (PMH) of
asthma, hypertension (HTN), hyperlipidemia (HLD), insulin
resistance, and obstructive sleep apnea (OSA) was admitted
to the hospital due to dyspnea, tachypnea [respiratory rate
(RR), 22/min], cough, fever (103◦F), and hypoxia [blood oxygen
saturation levels (SpO2), 81%] after having a 2-week period of
fever, chills, and body aches. Symptoms had worsened in the
last 72 h before admission. On admission, the patient was placed
on a non-rebreather mask (NRB) at 11 L/min (LPM) due to
respiratory distress, which partially improved hypoxia from SpO2
81 to 91%. Three days after admission, the respiratory status
worsened revealing diffuse bilateral ground-glass opacification
on chest CT scan, along with increased counts of neutrophils in
plasma, lymphopenia, and transaminitis. Labs showed increased
ferritin and C-reactive protein (CRP) levels (Table 1), features
compatible with the cytokine release-like syndrome associated
with COVID-19 (39, 40). Based on his clinical condition with
pending COVID-19 testing results, the patient was started
on albuterol, meropenem, hydroxychloroquine, ascorbic acid,
thiamine, TCZ, and enoxaparin prophylaxis. One day later, due to
decreased oxygen saturation, the patient was placed in pronation. Upon worsening hypoxia, severe dyspnea, positive polymerase
chain reaction (PCR) COVID-19 swab testing, and meeting the
criteria for acute respiratory distress syndrome (ARDS), the
patient was intubated. Furthermore, prophylactic enoxaparin was
switched to intravenous (IV) heparin 1,500 U/h, and an IL-
1 inhibitor (anakinra) was started. Shortly, a vasoplegic shock
refractory to adjustments in sedative medications prompted
onset of vasopressors (norepinephrine). Since admission, the
patient had no bowel movements despite the use of laxatives
(lactulose), prokinetics (metoclopramide), and enemas (saline
laxative). Progressive abdominal distension warranted a CT scan
demonstrating extensive colon and small bowel pneumatosis
with mesenteric and portal venous gas, raising suspicions
of bowel ischemia (Figures 1A–D). Based on the patient’s
clinical and pathological characteristics, lactate levels of 2.0
mmol/L, and no increased vasopressor requirement, surgical
resection was not considered the best course of action at the
time. Laxative regimen was enhanced with polyethylene glycol
and senna. CASE PRESENTATION 1 Neutrophilia (83%), lymphopenia (11.4%)
Increased D-dimer (453 ng/mL), fibrinogen (894 mg/dL), BNP
(1,164 pg/mL), CRP (45.34 mg/dL), procalcitonin (0.20 ng/mL),
ferritin (1,196 ng/mL), and creatinine (2.01 mg/dL)
Hyperglycemia (210 mg/dL), transaminitis (AST; 57 U/L)
Hyperlactemia (5.1 mmol/L), hypokalemia (3.2 mEq/L)
Oliguria (200 mL/24 h), eGFR (32 mL/min)
Hypoxia (ABG∼PaO2, 51 mmHg)
LDH (646 U/L)
Metabolic alkalosis (pH 7.48, HCO−
3 30 mEq/L, BE 6.2 mmol/L)
AZI
CP
Enoxaparin
MP
TCZ
11 days
Case #3
HTN
Dyspnea
Cough (non-productive)
Hypoxia (SpO2, 85%)
Fever (100.9◦F)
Fatigue
Non-bloody diarrhea
Abd. CT scan: diffuse
small and large bowel
pneumatosis
(Figures 3A–D). Neutrophilia (83.9%), lymphopenia (10.5%)
Respiratory alkalosis (pH 7.51, HCO−
3 24 mEq/L, pCO2
30 mmHg)
Hypoxia (ABG ∼PaO2, 61 mmHg)
Hypoalbuminemia (2.8 g/dL), transaminitis (AST; 161 U/L, ALT;
109 U/L). Increased D-dimer (394 ng/mL), CRP (21.15 mg/dL),
LDH (639 U/L), and ferritin (7,378 ng/mL)
Anakinra
Enoxaparin
HCQ
MP
TCZ
3 days
Case #4
HTN, DM, Stroke
AMS
Upper respiratory
symptoms (N/A)
Abd. CT scan: presence
of gas in the portal vein
and mesenterium as well
as extensive bowel
pneumatosis
(Figures 4A–D). Abd. CT scan: diffuse
small and large bowel
pneumatosis
(Figures 3A–D). Abd. CT scan: air
presence in the portal vein
and superior mesenteric
artery, as well as cecal and
small bowel pneumatosis
(Figures 2A–D). CASE PRESENTATION 1 Monitoring of intra-abdominal pressure ranged
from 13 to 19 mmHg, which suggested a likely abdominal
compartment syndrome (41). Six days after initiation of
mechanical ventilation, the patient developed non-oliguric acute
kidney injury (AKI) likely secondary to COVID-19 sepsis and
acute tubular necrosis (ATN) from hemodynamic instability. The
patient was approached in a conservative, non-surgical fashion
including switching propofol to ketamine, adjusting IV fluids,
using piperacillin–tazobactam for enteric bacteria, and holding
potential nephrotoxic agents. A repeated CT scan 12 days after
the initial scan showed changes consistent with bowel ischemia,
as well as signs suggestive of peritonitis, complicated by bowel In December 2019, a novel coronavirus [severe acute
respiratory
syndrome
coronavirus
2
(SARS-CoV-2)]
was
identified in Wuhan, China as the primary cause of a potentially
fatal and multisystemic disease [coronavirus disease 2019
(COVID-19)] (17–19). Since then, three meta-analyses reported
that ∼15% of COVID-19 patients had GI symptoms, most
commonly diarrhea (20–22). GI manifestations in COVID-19
have been acknowledged as early signs of severe/critical disease,
usually preceding respiratory symptoms (23, 24). How COVID-
19 affects the GI tract is still an open question. Nonetheless,
a growing body of evidence suggests that the interaction
between SARS-CoV-2 and angiotensin-converting enzyme 2
(ACE2) receptors may result in impaired gut microbiome and
immunity (24–26). Furthermore, hypoxia, which putatively
has a physiological role in intestinal homeostasis, can be
altered as a consequence of COVID-19-induced hypoxia
(24, 27). Systematic reviews and other large observational studies
have discussed the association of GI complications in patients
undergoing TCZ treatment; however, PI after TCZ use has
been recognized by a small number of reports (9, 28, 29). Intestinal perforation is particularly an infrequent but feared
complication during TCZ therapy. The exact mechanism of TCZ
and GI insults is unknown, but interleukin (IL)-6 antagonism,
the primary mechanism of action of TCZ, may impair intestinal
homeostasis and recovery capacity after intestinal ischemia (9,
30–33). Remarkably, a history of diverticulitis, non-steroidal
anti-inflammatory drugs (NSAIDs), and glucocorticoids use has
also been recognized as a risk factor for GI perforation during
TCZ treatment (30, 34). Only four independent case reports have described PI in
COVID-19 patients (35–38). Importantly, although TCZ is
being utilized as an experimental treatment for COVID-19, the
two together may have adverse synergistic effects resulting in
increased risk for PI and other related complications. This is June 2021 | Volume 8 | Article 638075 2 Frontiers in Medicine | www.frontiersin.org Miyara et al. Abd. CT scan: presence
of gas in the portal vein
and mesenterium as well
as extensive bowel
pneumatosis
(Figures 4A D) HTN, arterial hypertension; HLD, hyperlipidemia; IR, insulin resistance; OSA, obstructive sleep apnea; DM, diabetes mellitus; CRP, C-reactive protein; HCQ, hydroxychloroquine; TCZ, Tocilizumab; AZI, azithromycin; MP, methylprednisolone;
CP, convalescent plasma; AMS, altered mental status; AKI, acute kidney injury; N/A, not available; ARDS, acute respiratory distress syndrome; ABG, arterial blood gases; LDH, lactate dehydrogenase; AST, aspartate aminotransferase;
ALT, alanine aminotransferase; BE, base excess; eGFR, estimated glomerular filtration rate. CASE PRESENTATION 1 TABLE 1 | Pneumatosis intestinalis in the setting of COVID-19: case series summary. Past medical
history
Initial clinical features
Abdominal imaging
Case #1
HTN, HLD,
ASTHMA, IR, OSA
Dyspnea
Tachypnea
Hypoxia (SpO2, 81%)
Cough (non-productive)
Fever (103◦F)
Chills
Body aches
ARDS
Abd. CT scan: extensive
colon and small bowel
pneumatosis with
mesenteric and portal
venous gas
(Figures 1A–D). Case #2
HTN, HLD, DM,
OSA
Dyspnea
Tachypnea (RR, 40/min)
Hypoxia (SpO2, 76%)
Cough (productive)
Fever (103.9◦F)
Chest pain
Chills
Myalgias
Hyporexia
ARDS
Abd. CT scan: air
presence in the portal vein
and superior mesenteric
artery, as well as cecal and
small bowel pneumatosis
(Figures 2A–D). Case #3
HTN
Dyspnea
Cough (non-productive)
Hypoxia (SpO2, 85%)
Fever (100.9◦F)
Fatigue
Non-bloody diarrhea
Abd. CT scan: diffuse
small and large bowel
pneumatosis
(Figures 3A–D). Case #4
HTN, DM, Stroke
AMS
Upper respiratory
symptoms (N/A)
Abd. CT scan: presence
of gas in the portal vein
and mesenterium as well
as extensive bowel
pneumatosis
(Figures 4A–D). HTN, arterial hypertension; HLD, hyperlipidemia; IR, insulin resistance; OSA, obstructive sleep apnea
CP, convalescent plasma; AMS, altered mental status; AKI, acute kidney injury; N/A, not available;
ALT, alanine aminotransferase; BE, base excess; eGFR, estimated glomerular filtration rate. Medicine | www.frontiersin.org
3
June 2021 | Volume 8 | Article 6 TABLE 1 | Pneumatosis intestinalis in the setting of COVID-19: case series summary. Past medical
history
Initial clinical features
Abdominal imaging
Laboratory results during admission
Experimental
“COVID-19 drugs”
received
TCZ administration to
PI manifestation (days)
Case #1
HTN, HLD,
ASTHMA, IR, OSA
Dyspnea
Tachypnea
Hypoxia (SpO2, 81%)
Cough (non-productive)
Fever (103◦F)
Chills
Body aches
ARDS
Abd. CT scan: extensive
colon and small bowel
pneumatosis with
mesenteric and portal
venous gas
(Figures 1A–D). Neutrophilia (88.8%), lymphopenia (5.2%)
Hypokalemia (3.3 mmol/L), transaminitis (AST 64 U/L, ALT 47
U/L)
Increased anion gap (18 mmol/L), D-dimer (2,986 ng/mL), CRP
(14.17 mg/dL), LDH (545 U/L), and ferritin (1,013 ng/mL)
Hypoxia (ABG ∼PaO2, 73 mmHg)
Anakinra
Ascorbic acid
Enoxaparin
HCQ
TCZ
Thiamine
3 days
Case #2
HTN, HLD, DM,
OSA
Dyspnea
Tachypnea (RR, 40/min)
Hypoxia (SpO2, 76%)
Cough (productive)
Fever (103.9◦F)
Chest pain
Chills
Myalgias
Hyporexia
ARDS
Abd. CT scan: air
presence in the portal vein
and superior mesenteric
artery, as well as cecal and
small bowel pneumatosis
(Figures 2A–D). CASE PRESENTATION 1 FIGURE 1 | (A–D) Case presentation of 65-year-old male patient with COVID-19, 5 days after tocilizumab (TCZ), non-contrast abdominal CT. (A,B) Axial, (C) coronal,
and (D) 3D reconstruction, pneumatosis intestinalis (PI) involving ascending colon (yellow arrows), with dilated multiple right lower quadrant small bowel loops with
mesenteric and portal venous gas (yellow arrowheads). 4 weeks prior, and 2 weeks prior to admission, he received
a course of azithromycin and oseltamivir. One week prior to
admission, the patient visited the ED for myalgias, chills, and
cough but was discharged with a normal chest X-ray (CXR). The physical examination during the second ED visit was
remarkable for severe respiratory distress and bilateral basilar
crackles. His hypoxia initially improved with 6 LPM nasal
cannula (NC) from SpO2 of 76–91%, albeit later requiring 6 L
NRB (SpO2, 76–95%). CXR revealed bilateral infiltrates, and
a CT angiogram with contrast confirmed lung parenchyma
compromise with extensive bilateral ground-glass opacities in
both lungs. Pulmonary embolism (PE) could not be excluded due
to motion associated with the hyperdynamic state. Lab workup
revealed positive COVID-19 PCR test through nasal swabbing,
lymphopenia, increased D-dimer (453 ng/mL), brain-derived
natriuretic peptide (BNP) (1,164 pg/mL), and procalcitonin
(0.20 ng/mL) (Table 1). During the first night of admission, the
patient became severely hypoxic (PaO2, 51%), with improvement
in
SpO2
from
80
to
88%
after
aggressive
resuscitation
with steroids (IV methylprednisolone, 100 mg), diuretics (IV perforation, pneumoperitoneum, small bowel obstruction (SBO),
enterocutaneous fistulas, and abscess formation. Additionally,
the patient developed hematochezia and melena, requiring
aggressive resuscitation, including multiple blood and frozen
plasma transfusions, as well as repeated drainage procedures
to address the intra-abdominal collections. Noteworthy, a CT
angiogram ruled out active bleeding at the time of melena and
hematochezia. The patient slowly and progressively recovered
and was finally discharged for rehabilitation, 90 days after
admission. In a delayed fashion, he underwent a right colectomy. Currently, he is alive and well. CASE PRESENTATION 1 Leukocytosis (13.76 × 109/L)
Increased D-dimer (3,136 ng/mL), procalcitonin (0.70 ng/mL),
CRP (3.64 mg/dL), and LDH (982 U/L)
Hyperlactemia (8.6 mmol/L), hyperkalemia (5.6 mEq/L)
Hyperglycemia (478 mg/dL), hypertriglyceridemia (918 mg/dL)
Hypoalbuminemia (3.1 g/dL)
Uremia (serum creatinine, 3.85 mg/dL/BUN, 150 mg/dL)
eGFR (16 mL/min), oliguria (155 mL/24 h)
Mixed acidosis (pH 7 14 HCO−18 mEq/L pCO 56 mmHg)
HCQ
MP
Remdesivir
TCZ
10 days
edicine | www.frontiersin.org
3
June 2021 Laboratory results during admission
Experimental
“COVID-19 drugs”
received
TCZ administration to
PI manifestation (days)
Neutrophilia (88.8%), lymphopenia (5.2%)
Hypokalemia (3.3 mmol/L), transaminitis (AST 64 U/L, ALT 47
U/L)
Increased anion gap (18 mmol/L), D-dimer (2,986 ng/mL), CRP
(14.17 mg/dL), LDH (545 U/L), and ferritin (1,013 ng/mL)
Hypoxia (ABG ∼PaO2, 73 mmHg)
Anakinra
Ascorbic acid
Enoxaparin
HCQ
TCZ
Thiamine
3 days
Neutrophilia (83%), lymphopenia (11.4%)
Increased D-dimer (453 ng/mL), fibrinogen (894 mg/dL), BNP
(1,164 pg/mL), CRP (45.34 mg/dL), procalcitonin (0.20 ng/mL),
ferritin (1,196 ng/mL), and creatinine (2.01 mg/dL)
Hyperglycemia (210 mg/dL), transaminitis (AST; 57 U/L)
Hyperlactemia (5.1 mmol/L), hypokalemia (3.2 mEq/L)
Oliguria (200 mL/24 h), eGFR (32 mL/min)
Hypoxia (ABG∼PaO2, 51 mmHg)
LDH (646 U/L)
Metabolic alkalosis (pH 7.48, HCO−
3 30 mEq/L, BE 6.2 mmol/L)
AZI
CP
Enoxaparin
MP
TCZ
11 days
Neutrophilia (83.9%), lymphopenia (10.5%)
Respiratory alkalosis (pH 7.51, HCO−
3 24 mEq/L, pCO2
30 mmHg)
Hypoxia (ABG ∼PaO2, 61 mmHg)
Hypoalbuminemia (2.8 g/dL), transaminitis (AST; 161 U/L, ALT;
109 U/L). Increased D-dimer (394 ng/mL), CRP (21.15 mg/dL),
LDH (639 U/L), and ferritin (7,378 ng/mL)
Anakinra
Enoxaparin
HCQ
MP
TCZ
3 days
Leukocytosis (13.76 × 109/L)
Increased D-dimer (3,136 ng/mL), procalcitonin (0.70 ng/mL),
CRP (3.64 mg/dL), and LDH (982 U/L)
Hyperlactemia (8.6 mmol/L), hyperkalemia (5.6 mEq/L)
Hyperglycemia (478 mg/dL), hypertriglyceridemia (918 mg/dL)
Hypoalbuminemia (3.1 g/dL)
Uremia (serum creatinine, 3.85 mg/dL/BUN, 150 mg/dL)
eGFR (16 mL/min), oliguria (155 mL/24 h)
Mixed acidosis (pH 7.14, HCO−
3 18 mEq/L, pCO2 56 mmHg)
HCQ
MP
Remdesivir
TCZ
10 days June 2021 | Volume 8 | Article 638075 Miyara et al. Pneumatosis Intestinalis in COVID-19 FIGURE 1 | (A–D) Case presentation of 65-year-old male patient with COVID-19, 5 days after tocilizumab (TCZ), non-contrast abdominal CT. (A,B) Axial, (C) coronal,
and (D) 3D reconstruction, pneumatosis intestinalis (PI) involving ascending colon (yellow arrows), with dilated multiple right lower quadrant small bowel loops with
mesenteric and portal venous gas (yellow arrowheads). Frontiers in Medicine | www.frontiersin.org CASE PRESENTATION 3 A 64-year-old man with PMH of HTN, insulin-dependent
type 2 DM, and stroke 3 years prior with no residual
deficits was admitted to an out-of-network hospital due
to altered mental status and acute kidney injury (serum
creatinine, 2.2 mg/dL). The family reported upper respiratory
symptoms 1 week before admission. No acute changes were
observed in the patient’s head CT scan. Due to concerns
of a potential non-ST-segment elevation myocardial infarction
(NSTEMI) in the setting of uncontrolled HTN, the patient
was started on aspirin, clopidogrel, and a heparin drip. Based on a positive COVID-19 PCR nasal swabbing at
admission and concerns for a potential bacterial pneumonia,
hydroxychloroquine, remdesivir, ceftriaxone, and doxycycline
were initiated. Worsening kidney function parameters (serum
creatinine, 2.2–4.2 mg/dL) after antibiotic and antiviral treatment
prompted suspension of these medications. One week after
admission, the patient received a single dose of TCZ and was
started on steroids (IV methylprednisolone, 40 mg every 8 h). By hospital day 10, despite non-invasive ventilation (BiPAP),
the progressive worsening of the respiratory status required
intubation and mechanical ventilation. One day later, the
patient was transferred to our hospital upon family request. On initial assessment, the patient was found to be hypotensive,
with oliguria (155 mL/24 h), mixed acidosis (pH 7.04, HCO−
3
17 mEq/L, pCO2
56 mmHg), hyperkalemia (5.6 mEq/L), A 64-year-old man with a PMH of HTN was admitted
for 1 week history of dyspnea, cough, fever (100.9◦F), and
fatigue. Pulse oximetry revealed hypoxia (SpO2, 85%), which
initially improved to SpO2 of 90% with NC at 6 LPM, and
later on to SpO2 of 92–94% with 10 LPM NRB. A CXR
showed bilateral ground-glass opacities. On the second day
of admission, the patient developed non-bloody diarrhea. With pending results from PCR COVID-19 nasal swabbing,
a
presumptive
diagnosis
of
COVID-19
pneumonia
was
established, and the patient was started on a regimen of PO
hydroxychloroquine 200 mg twice daily, IV methylprednisolone
50 mg twice daily, SC prophylactic enoxaparin 40 mg daily,
anakinra (IL-1 inhibitor, SC 100 mg every 6 h), and inhaled
albuterol. Lab
work
revealed
neutrophilia,
lymphopenia,
respiratory alkalosis, hypoalbuminemia, transaminitis, as well
as increased d-dimer, CRP, lactate dehydrogenase (LDH), and
ferritin (Table 1). Despite initial improvement, 5 days after
admission, he presented with a nocturnal crisis of hypoxia
(SpO2, ∼60%), which improved after pronation. CASE PRESENTATION 2 A 61-year-old man with a PMH of HTN, HLD, diabetes mellitus
(DM), and OSA was admitted to the hospital after presenting
with dyspnea, tachypnea (RR, 40/min), hypoxia (SpO2, 76%),
worsening cough (productive, non-bloody), fever (103.9◦F),
chills, myalgias, hyporexia, and chest pain. Symptoms began June 2021 | Volume 8 | Article 638075 4 Pneumatosis Intestinalis in COVID-19 Miyara et al. furosemide, 40 mg), oxygen (15 LPM NRB), and pronation. On second day of admission, the patient was transferred to
the ICU, received one dose of TCZ, and was started on IV
methylprednisolone, 50 mg twice daily, IV furosemide, 40 mg
daily, inhaled albuterol every 6 h, prophylactic enoxaparin, and
non-invasive ventilation (BiLevel 18/14). On the second day of
ICU admission, the patient received convalescent plasma (plasma
from recovered COVID-19 patients). One week after admission,
upon worsening hypoxia and hemodynamic instability, the
patient underwent endotracheal intubation for mechanical
ventilation and was started on a double regimen of vasopressors
(vasopressin, 0.04 U/min and norepinephrine, 0.9 mcg/kg/min). The patient suffered two episodes of arterial thrombosis
despite proper anticoagulation with argatroban. Five days after
initiating mechanical ventilation, physical examination revealed
a protuberant abdomen and dark output from the nasogastric
tube (NGT). Further workup showed increased lactate and
leukocytosis, hyperkalemia (5.8 mEq/L), increased creatinine
(2.01 mg/dL), and oliguria. Abdominal CT scan reported gas in
the portal vein and superior mesenteric artery, as well as cecal
and small bowel pneumatosis (Figures 2A–D). The benefit of
a surgical intervention was considered very low in the setting
of an unstable patient with multiorgan failure; hence, it was
approached conservatively, including antibiotics (metronidazole
and vancomycin), proton-pump inhibitors (pantoprazole), renal
replacement therapy [continuous veno-venous hemofiltration
(CVVH)], fluid optimization, and metabolic support. On the
10th day of ICU admission, the patient developed refractory
cardiopulmonary arrest associated with metabolic acidosis and
lactate levels of 24 mmol/L. sedation, endotracheal intubation, and mechanical ventilation. At this point, the patient was transferred to another ICU and,
upon arrival, was found to have an unsecure airway, raising
concern for potential aspiration. Based on this, the patient was
started on a regimen of IV piperacillin–tazobactam and one dose
of vancomycin. Nine days after initial hospital admission, the
patient developed septic shock and prerenal acute kidney injury,
which prompted hemodynamic support with a norepinephrine
drip (0.02 mcg/kg/min). Enoxaparin was switched to IV sodium
heparin due to a D-dimer of 987 ng/mL. CASE PRESENTATION 2 Additionally, the
patient received a single dose of TCZ. Three days after TCZ
administration, routine physical examination showed abdominal
distension and tympanism with digital percussion. An abdominal
X-ray revealed features compatible with colonic ileus or pseudo-
obstruction. Subsequent CT scan showed diffuse small and
large bowel pneumatosis (Figures 3A–D). This was found in
the setting of worsening kidney and liver function, increased
ventilation requirements, acidosis (pH 7.17), and leukocytosis
(35,000 WBC/mL). Due to broad multiorgan failure, the patient
was not deemed a good surgical candidate for segmental
resection. CXR showed additional bilateral consolidations in the
lower lobes, along with worsening respiratory status, suggesting
a superimposed pneumonia. At this point, with the diagnosis
of septic shock and multiorgan failure, and considering the
ominous prognosis, the family decided to prioritize comfort over
other aggressive measures. The patient was withdrawn from
mechanical ventilation and developed a cardiopulmonary arrest
4 min thereafter. Frontiers in Medicine | www.frontiersin.org CASE PRESENTATION 3 Four hours
later, the patient (without any relevant psychiatric/neurological
history) developed intermittent episodes of delirium, agitation,
and altered mental status, which was treated with haloperidol. Subsequently, due to worsening hypoxia, the patient underwent June 2021 | Volume 8 | Article 638075 5 Miyara et al. Pneumatosis Intestinalis in COVID-19 FIGURE 2 | (A–D) Case presentation of a 61-year-old male COVID-19 patient with respiratory failure on TCZ with rising lactate, abdominal ileus, abdominal CT with
intravenous and oral contrast, (A) axial, (B) coronal, (C) sagittal, and (D) 3D reconstruction, with ileus and small and large bowel dilatation, with small bowel and cecal
pneumatosis (yellow arrows) with portal gas (yellow arrowheads), and splenic and mesenteric vein gas. FIGURE 2 | (A–D) Case presentation of a 61-year-old male COVID-19 patient with respiratory failure on TCZ with rising lactate, abdominal ileus, abdominal CT with
intravenous and oral contrast, (A) axial, (B) coronal, (C) sagittal, and (D) 3D reconstruction, with ileus and small and large bowel dilatation, with small bowel and cecal
pneumatosis (yellow arrows) with portal gas (yellow arrowheads), and splenic and mesenteric vein gas. hyperglycemia (478 mg/dL), hypertriglyceridemia (918 mg/dL),
hypoalbuminemia (3.1 g/dL), and uremia [serum creatinine
3.85 mg/dL, blood urea nitrogen (BUN) 150 mg/dL], which
prompted continuous renal replacement therapy (Table 1). Intensive resuscitation with albumin, bicarbonate, insulin,
norepinephrine, and vancomycin was initiated. Propofol was
discontinued and switched to dexmedetomidine. The patient
also received IV pantoprazole 40 mg, polyethylene glycol,
lactulose, senna, and methylnaltrexone. Subsequently, the patient
developed fever (101.4◦F), leukocytosis (33.16 × 109/L), and low
platelets (85 × 109/L). Due to concerns of potential heparin-
induced thrombocytopenia, heparin was suspended and replaced
with argatroban. Despite intensive supportive care, vasopressor
requirements increased prompting the addition of vasopressin
at 0.04 U/min. Leukocytes count and lactate further increased
(33.16 × 109/L to 40 × 109/L; 2.7–8.6 mmol/L, respectively). One week after the hospital transfer, abdominal distension on
physical exam prompted a CT scan that revealed gas in the portal
vein and mesentery as well as extensive intestinal pneumatosis
(Figures 4A–D). Surgical assessment dismissed a potential bowel resection since the risks were considered greater than any
potential benefit. The patient developed refractory septic shock
and, 1 day later, a cardiopulmonary arrest. DISCUSSION Pneumatosis intestinalis is thought to result from a complex
combination of biochemical, microbiological, and mechanical
insults to the intestine (16). The biochemical hypothesis argues
that PI originates from excessive hydrogen production by enteric
bacteria through chyme fermentation. Support of this hypothesis
includes observational studies demonstrating that patients with
PI have elevated levels of hydrogen in their breath compared
with control patients (42, 43). The microbiological or bacterial
hypothesis suggests that gas forming bacteria, such as Clostridium
species, infringe upon the mucosa through breaches, reaching the
submucosa and subsequently forming intramural gas collections
(44). Experimental models supporting this hypothesis include the
improvement and resolution of the aforementioned intramural June 2021 | Volume 8 | Article 638075 Frontiers in Medicine | www.frontiersin.org 6 Miyara et al. Pneumatosis Intestinalis in COVID-19 FIGURE 3 | (A–D) Case presentation of a 63-year-old male patient, with dyspnea, cough, fever from COVID-19, with bloody diarrhea, and abdominal distention 3
days after receiving TCZ, abdominal CT with oral contrast only, (A) axial, (B) coronal, (C) sagittal, and (D) 3D reconstruction with consolidation seen along lung bases,
and pneumatosis of small bowel loops (yellow arrows) with dilated small and large bowel loops consistent with ileus. FIGURE 3 | (A–D) Case presentation of a 63-year-old male patient, with dyspnea, cough, fever from COVID-19, with bloody diarrhea, and abdominal distention 3
days after receiving TCZ, abdominal CT with oral contrast only, (A) axial, (B) coronal, (C) sagittal, and (D) 3D reconstruction with consolidation seen along lung bases,
and pneumatosis of small bowel loops (yellow arrows) with dilated small and large bowel loops consistent with ileus. to elemental diet for mild symptoms, to antibiotics, oxygen
therapy, and hospitalization for severe cases. Notably, clinical
judgement is an instrumental component of the decision-making
process (7, 45, 52–54). gas collections by antibiotic treatment (45). An alternative
mechanical hypothesis states that gas can reach the submucosal
compartment of the intestinal wall either through breaks in the
mucosa (intraluminal source) or the serosal surface (extraluminal
source). Indeed, common conditions associated with mucosal
disruption are consistently related with PI, such as necrotizing
enterocolitis, inflammatory bowel disease, gastrointestinal (GI)
tract infections, irritant ingestion, and intestinal ischemia (1). Gas originating extraluminally can be traced to conditions where
air can diffuse through tissues, as occurs in COPD (46). Frontiers in Medicine | www.frontiersin.org DISCUSSION There are foci of air
in mesenteric vessels in the right lower quadrant, with portal venous gas (yellow arrowheads). FIGURE 4 | (A–D) Case presentation of a 64-year-old male patient, with altered mental status, acute kidney injury, DM2, stroke, bacterial pneumonia with COVID-19,
single-dose TCZ, hypotensive, oliguric, non-contrast abdominal CT only, (A) axial, (B) coronal, (C) sagittal, and (D) 3D reconstruction with pneumatosis of distal
transverse colon, cecum, terminal ileum, and mesenteric venous gas adjacent to the terminal ileum (yellow arrows) concerning for bowel ischemia. There are foci of air
in mesenteric vessels in the right lower quadrant, with portal venous gas (yellow arrowheads). endothelial
cells,
resulting
in
endothelialitis,
endothelial
dysfunction,
and
thrombosis
(69–72);
(2)
capillary
viscometry
showed
hyperviscosity
in
critically
ill
COVID-19
patients
(73);
(3)
platelet
activation
and
platelet–monocyte
aggregation
formation
in
severe
COVID-19
patients
was
documented
(74);
and
(4)
thromboelastography (TEG) parameters (decreased R and
K values, increased K angle, and MA) consistent with a
hypercoagulability
state
have
been
found
in
COVID-19
patients (75). sarilumab, siltuximab (all anti-IL-6), and anakinra (anti-IL-
1), have been conducted worldwide1. TCZ is an evidence-
based treatment for rheumatoid arthritis; however, there are
no clear benefits in the setting of COVID-19. At the time
of writing, double-blind, randomized, clinical trials have failed
to prove any benefit from these drugs in COVID-19 (65,
66). An observational study that included a cohort of 1,351
COVID-19 patients showed that patients receiving TCZ had
a decreased risk of invasive mechanical ventilation and death
compared to matched controls (67). Another study suggested that
TCZ was associated with decreased vasopressor requirements
(68). Although PI and gastrointestinal perforation have been
recognized as potential adverse effects of TCZ, the mechanisms
are completely unknown (9, 30). endothelial
cells,
resulting
in
endothelialitis,
endothelial
dysfunction,
and
thrombosis
(69–72);
(2)
capillary
viscometry
showed
hyperviscosity
in
critically
ill
COVID-19
patients
(73);
(3)
platelet
activation
and
platelet–monocyte
aggregation
formation
in
severe
COVID-19
patients
was
documented
(74);
and
(4)
thromboelastography (TEG) parameters (decreased R and
K values, increased K angle, and MA) consistent with a
hypercoagulability
state
have
been
found
in
COVID-19
patients (75). In short, this case series portrays four critically ill patients
who, in the setting of ARDS due to severe COVID-19,
received TCZ as an experimental treatment, and all developed
complex clinical courses of PI, which subsequently resulted
in perforation, sepsis, hemodynamic instability, multiorgan
failure, and death in three out of four patients. 1Available
online
at:
https://clinicaltrials.gov/ct2/results?cond=&term=
tocilizumab$+$covid-19&cntry=&state=&city=&dist=. DISCUSSION Since March 11th of 2020, when the global COVID-19
pandemic was formally declared, a growing body of evidence
has shown the systemic and extrapulmonary compromise that
can potentially occur in the setting of COVID-19 (55). The
involvement of neurological, cardiovascular, gastrointestinal,
hematopoietic, endocrine, and immune systems have been
described in many studies (56–59). Additionally, the ischemic
damage seen during COVID-19 infection has also been described
in several systematic reviews (60–63). Indeed, observational
studies have shown the association of COVID-19 with abdominal
ischemia; nonetheless, its pathophysiology remains unknown
(64). Research has shown a clear association between high levels
of proinflammatory cytokines and inflammatory markers with
severe, critical, and fatal forms of COVID-19 (40). Under the
logic of specifically targeting the COVID-19-associated “cytokine
storm”, trials with specific cytokine inhibitors, such as TCZ, g
It should be acknowledged that PI is not a disease itself, but
rather the imaging manifestation of an underlying pathology or
combination of pathologies. As such, the underlying etiology
(e.g., ischemia, drugs, infections) must always be addressed
accordingly prior to specific treatments (47–49). When PI
is accompanied with signs of peritonitis, pH <7.3, HCO−
3
<20 mEq/L, lactate >2.0 mmol/L, and/or portal venous gas,
emergent exploratory laparotomy should be considered (50, 51). Treatment is usually based on the severity of symptoms and
can range from repeated imaging in asymptomatic patients June 2021 | Volume 8 | Article 638075 7 Miyara et al. Pneumatosis Intestinalis in COVID-19 FIGURE 4 | (A–D) Case presentation of a 64-year-old male patient, with altered mental status, acute kidney injury, DM2, stroke, bacterial pneumonia with COVID-19,
single-dose TCZ, hypotensive, oliguric, non-contrast abdominal CT only, (A) axial, (B) coronal, (C) sagittal, and (D) 3D reconstruction with pneumatosis of distal
transverse colon, cecum, terminal ileum, and mesenteric venous gas adjacent to the terminal ileum (yellow arrows) concerning for bowel ischemia. There are foci of air
in mesenteric vessels in the right lower quadrant, with portal venous gas (yellow arrowheads). FIGURE 4 | (A–D) Case presentation of a 64-year-old male patient, with altered mental status, acute kidney injury, DM2, stroke, bacterial pneumonia with COVID-19,
single-dose TCZ, hypotensive, oliguric, non-contrast abdominal CT only, (A) axial, (B) coronal, (C) sagittal, and (D) 3D reconstruction with pneumatosis of distal
transverse colon, cecum, terminal ileum, and mesenteric venous gas adjacent to the terminal ileum (yellow arrows) concerning for bowel ischemia. REFERENCES 7. Heng Y, Schuffler MD, Haggitt RC, Rohrmann CA. Pneumatosis intestinalis:
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1198-2 12. Ezuka A, Kawana K, Nagase H, Takahashi H, Nakajima A. Improvement
of
pneumatosis
cystoides
intestinalis
after
steroid
tapering
in
a 12. Ezuka A, Kawana K, Nagase H, Takahashi H, Nakajima A. DISCUSSION Herein, we
highlight a potential correlation between an infectious disease
(COVID-19), an experimental drug in this setting (TCZ),
and a rare GI complication (PI). COVID-19 and TCZ have
been independently associated with PI (9, 36–38). Intestinal Several hypotheses argue in favor of a prothrombotic,
microangiopathic,
and
therefore
ischemic
effect
of
COVID-19:
(1)
SARS-CoV-2
virus
can
directly
invade June 2021 | Volume 8 | Article 638075 Frontiers in Medicine | www.frontiersin.org 8 Pneumatosis Intestinalis in COVID-19 Miyara et al. ischemia is a well-established cause of PI; however, the
causative mechanism of PI during TCZ treatment is unknown. Preclinical studies suggested that IL-6 plays a critical role in
intestinal epithelial proliferation and repair after ischemia–
reperfusion, traumatic, and microbiological insults (30, 76). Clinical studies have shown IL-6’s pivotal role in vascular
endothelial growth factor production, as well as angiogenesis and
wound healing (31–33). resulting in an uncertain number of potential confounders. Additionally, two patients (Cases 3 and 4) received initial care at
an outside hospital, and although the hospital course summary
was accessible, the variability of clinical setting may hide
unknown confounders. Therefore, it is complex and not possible
for the authors to establish any definite cause–effect connection
between the described variables (COVID-19 and TCZ) with the
highlighted clinical outcome (PI). Further preclinical and clinical
research addressing interactions between COVID-19 and TCZ
with PI is warranted. Taken together, we venture to think that a possible negative
and devastating synergy occurs between the microvascular insults
from COVID-19, along with the lack of epithelial protection
and vascular support from IL-6 blocking, ultimately resulting in
intestinal wall damage, epithelium dysfunction, and intraluminal
gas diffusion (Pneumatosis Intestinalis). However, it must be
acknowledged that COVID-19 may affect intestinal homeostasis
by other complex mechanisms involving gut microbiome and
barrier functioning (24). To the best of our knowledge, this
is the first case series of PI in COVID-19 patients, as well
as the first reported from the same institution, and the first
report of COVID-19 patients treated with TCZ who subsequently
developed PI. DATA AVAILABILITY STATEMENT The original contributions presented in the study are included
in the article/supplementary material, further inquiries can be
directed to the corresponding author. LIMITATIONS SM, LB, SG, CK, KH, and EM prepared the manuscript’s
first draft. SM, LB, and EM retrieved and corroborated the
data. CK prepared the figures and edited the manuscript. LS-L, JA, TA, KS, EG, VN, NJ, CM, TY, RT, YC, MS,
RC, SW, HH, MN, and SZaf collaborated in the discussion. AM-M, SZan, and CL collaborated in the review. All authors
contributed to manuscript revision, read, and approved the
submitted version. SM, LB, SG, CK, KH, and EM prepared the manuscript’s
first draft. SM, LB, and EM retrieved and corroborated the
data. CK prepared the figures and edited the manuscript. LS-L, JA, TA, KS, EG, VN, NJ, CM, TY, RT, YC, MS,
RC, SW, HH, MN, and SZaf collaborated in the discussion. Discussions regarding the causal relationship between COVID-
19 and TCZ with PI are beyond the scope of this publication. However, it is important to acknowledge that some medications
that patients received (methylprednisolone and lactulose) may
be linked to PI development (1, 13, 79–81). Furthermore,
these four critically-ill patients received intensive care support,
which inherently adds numerous variables, including known
and unknown interactions between each other and the host, AM-M, SZan, and CL collaborated in the review. All authors
contributed to manuscript revision, read, and approved the
submitted version. ETHICS STATEMENT The studies involving human participants were reviewed
and
approved
by
Study
approved
by
IRB
#:
20-0884,
Feinstein Institutes for Medical Research. Written informed
consent for participation was not required for this study
in
accordance
with
the
national
legislation
and
the
institutional requirements. Written informed consent was
not obtained from the individual(s) for the publication
of any potentially identifiable images or data included in
this article. At the time of writing, COVID-19 is a novel entity with
poorly understood pathology. Experimental, emergency, and
compassionate use of drugs in COVID-19 has been the object of
recent discussions. It should always be cautioned that deleterious
interactions between drug-related adverse effects and intrinsic
features of an infectious disease, in this case COVID-19, can lead
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24:100418. doi: 10.1016/j.eclinm.2020.100418 June 2021 | Volume 8 | Article 638075 Frontiers in Medicine | www.frontiersin.org 11
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More Active Internet-Search on Google and Twitter Posting for COVID-19 Corresponds with Lower Infection Rate in the 50 U.S. States
|
Research Square (Research Square)
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cc-by
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More Active Internet-Search on Google and Twitter
Posting for COVID-19 Corresponds with Lower
Infection Rate in the 50 U.S. States Jiachen Sun
Sun Yat-sen University
Peter Gloor
(
pgloor@mit.edu
)
MIT Center for Collective Intelligence Introduction “At every crucial moment, American officials were weeks or months behind the reality of the outbreak. Those delays likely cost tens of thousands of lives”. NYT June 26, 2020 [1] “At every crucial moment, American officials were weeks or months behind the reality of the outbreak. Those delays likely cost tens of thousands of lives”. NYT June 26, 2020 [1] Since the beginning of January 2020, the world has been turned upside down. Nothing is like it was
before since the novel coronavirus disease was first reported in Wuhan, China, in December 2019 [2]. After
initial blunders, China took energetic measures to combat the virus (e.g. the Wuhan shutdown) [3] while
the Western world was still mostly complacent. Although epidemiologists have already warned at the end
of January that COVID–19 would probably turn into a global crisis [4], politicians and the population in
the US and Western Europe alike initially ignored the problem. The virus was seen as something far away,
that like SARS and the avian flu would be active mostly in the high-density populations of Asia and then
go away. And even when Italy was shaken with a virulent COVID–19 outbreak in February [5], which
closed down the northern industrial heartland of Veneto, the US authorities were still mostly ignoring the
problem [6]. Only when in mid-March New York started seeing soaring infection rates, did the population
and the politicians start taking the disease seriously. This behavior is perfectly reflected in the Google
search trend and the Twitter activity, motivating our research question: Is a state or political entity better
capable of dealing with an infectious disease if the collective awareness is raised early on in the course
of the disease? Does a population actively searching for information about COVID–19, and showing a
robust dialog on Twitter about this topic deal more efficiently with the disease? It has been illustrated that data from the online social media and Internet searches are correlated with
several epidemics that have previously happened, such as seasonal influenza epidemics [7], Dengue [8],
MERS [9] and H1N1 [10]. Regarding COVID–19, several works [11–14] have demonstrated significant
correlation between the Internet search and the pandemic spreading among different countries. However,
it still remains unclear what regional factors the Internet’s predictive abilities may relate to, and whether
they are useful surveilling the spread of the disease. Research Article License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Page 1/13 Abstract As the novel coronavirus disease 2019 (COVID-19) continues to rage worldwide, the United States has
become the most affected country with more than 2.5 million total confirmed cases up to now (June 2,
2020). In this work, we investigate the predictive power of online social media and Internet search for the
COVID-19 pandemic among 50 U.S. states. By collecting the state-level daily trends through both Twitter
and Google Trends, we observe a high but state-different lag correlation with the number of daily
confirmed cases. We further find that the predictive accuracy measured by the correlation coefficient is
positively correlated to a state’s demographic, air traffic volume and GDP development. Most importantly,
we show that a state’s early infection rate is negatively correlated with the lag to the previous peak in
Internet search and tweeting about COVID-19, indicating that the earlier the collective awareness on
Twitter/Google in a state, the lower is the infection rate. Introduction If there is indeed predictive power in the Google
search and tweeting behavior of a US polity such as a state or a city, it will give invaluable input to Page 2/13 Page 2/13 policymakers, governments, and healthcare providers to better prepare and deal with potential future
waves of the COVID–19 and other epidemics. policymakers, governments, and healthcare providers to better prepare and deal with potential future
waves of the COVID–19 and other epidemics. In this work, using the data from 50 states of the United States, we conduct a comparative study about
the role of online social media and search trends in the COVID–19 epidemic. We show that the daily
number of COVID–19 related tweets in Twitter exhibits a strong but state-different lag correlation with
newly confirmed cases. The same can be observed on the Google Trends index using coronavirus-related
search terms. These state-differences in predictive capabilities in terms of correlation strength and lag are
closely related to a state’s demographics, quantitively measured by a state’s population size and density,
air traffic volume and economic development. Further, our analysis on the state-level early COVID–19
incidents demonstrates a significantly negative correlation between the lag and the early infection rate,
implying that an actively engaged population that searches for information and tweets about COVID–19
more ahead of the outbreak indicates a lower infection rate. Predictive Power for Google Trend and Twitter Predictive Power for Google Trend and Twitter We focus on COVID–19 infections, Twitter tweets and Google search data for all 50 U.S. states, excluding
Puerto Rico and the District of Columbia since some Internet data for these two regions are unavailable. Specifically, we collect the state-level daily COVID–19 confirmed cases from the New York Times. The
number of COVID–19 related tweets in each individual state is extracted from an open COVID–19 Twitter
chatter dataset [15]. We obtain the Google Trends index by using a combination of one of three keywords
(‘coronavirus’, ‘COVID’ and ‘COVID19’) and a state’s full name as an integrated search term (e.g. ‘coronavirus Massachusetts’, ‘COVID California’), given that residents are usually more concerned about
their local situation of the pandemic. More details of data used in this study are described in the Methods
section. ‘coronavirus Massachusetts’, ‘COVID California’), given that residents are usually more concerned about
their local situation of the pandemic. More details of data used in this study are described in the Methods
section. In Fig. 1, we illustrate a comparison among the daily confirmed cases, number of COVID–19 related
tweets and the Google Trends indexes (with different search terms) in New York, Massachusetts, Iowa
and California. One can observe that the overall graph patterns are different between states. We then
investigate the relationship between the COVID–19 pandemic spreading and the Internet data in all 50
U.S. states. Fig. 2 shows the lagged Spearman correlation between the Internet data from Twitter and
Google Trends and the reported COVID–19 cases for the selected 4 states. To quantify the predictive
power of the tweeting behavior and the search activity for an individual state, we denote 𝑐∗ as the
highest correlation coefficient and 𝑙∗ as the optimal lag achieving 𝑐∗. In principle, a larger 𝑐∗ indicates a
higher accuracy in predicting the state-specify pandemic. A larger 𝑙∗ corresponds to an earlier peak of
Internet searches and tweeting about COVID–19, indicating that residents start being active on the
Internet earlier. We find that 𝑐∗ and 𝑙∗ are quite different among different states and between Google
Trends and Twitter (see Fig. 2). For instance, for New York, 𝑐∗ is merely 0.60 with 𝑙∗ = 15 using the
Twitter data but is up to 0.95 with 𝑙∗ = 19 for tracking ‘coronavirus New York’ on Google Trends. Predictive Power for Google Trend and Twitter For Page 3/13 Page 3/13 Page 3/13 California, the 𝑐∗ of Twitter and of ‘coronavirus California’ on Google Trends are 0.67 and 0.81,
respectively, while the 𝑙∗ for both is above 30 days. Fig.3 presents the distribution of 𝑐∗ and 𝑙∗ for Twitter and Google Trends for all 50 U.S. states. The
average of 𝑐∗ from Twitter is 0.64, while for Google Trend using the keyword ‘COVID’ 𝑐∗ is nearly 0.70. These results imply that the tweeting activity and search interest indeed have the capability to predict the
COVID–19 spreading. On the other hand, the average 𝑙∗ on Twitter is about 26 days, revealing a smaller
delay of the Twitter platform. Indeed, we find that 𝑐∗ and 𝑙∗ on Twitter are significantly correlated with
𝑝<0.001 (see the correlation coefficient between 𝑐∗ and 𝑙∗ in Supplementary Table 1), meaning that
earlier collective tweeting may result in more accurate prediction. For Google Trends, the average 𝑙∗ of the
keyword ‘coronavirus’ (27.0) is somehow larger than both ‘COVID’ (21.3) and ‘COVID–19’(24.5). An
explanation could be that the majority of people searched by the word ‘coronavirus’ since the pandemic
initially was reported under this name, while the names ‘COVID’ and ‘COVID–19’ were formally proposed
by the World Health Organization at the end of February 2020. Correlation between 𝒄∗ and state conditions Correlation between 𝒄∗ and state conditions We find that the wide difference of 𝑐∗ among the 50 states is partially related to a state’s economic and
social conditions. Specifically, we consider population demographics, air traffic flow and the economic
development level, which can be quantitively characterized by the following proxies. A state’s population
size as of 2019 is estimated by the U.S. Census Bureau, along with the population density measured by
number of residents per square mile. The air traffic flow is measured by enplanement (i.e., the number of
passengers boarding) in 2017 and 2018 (see details in the Methods Section). Besides, we collect each
state’s gross domestic product (GDP) as well as the GDP per capita as of 2019 4th quarter to measure
economic output. We calculate the Spearman correlation coefficient between these six variables and the 𝑐∗of Twitter
volume and Google Trends index, finding a significantly positive correlation, as shown in Table 1. In
particular, the more people, the higher population density, the higher air traffic and wealth a state has, the more
accurate the Twitter and Google Trends predict the COVID–19 pandemic. This makes intuitive sense, as
higher income is correlated with higher education, and higher geographic mobility leads to a higher
information exchange, both raising early awareness of the pandemic. There is no significant correlation
between 𝑙∗ and the states’ demographic variables. Page 4/13 c*
Twitter
Google Trend
(coronavirus)
Google Trend
(COVID)
Google Trend
(COVID-19)
Population size (2019)
0.505***
0.210
0.340*
0.573***
Population density (2019) 0.374**
0.302*
0.414**
0.473***
Enplanements (2018)
0.303*
0.355*
0.416**
0.609***
Enplanements (2017)
0.301*
0.360*
0.421**
0.610***
GDP (2019 Q4)
0.535***
0.229
0.374**
0.599***
GDP per capita (2019 Q4)
0.244
0.379**
0.517***
0.432** Table 1. Correlation coefficient between c* and states’ variables in terms of population demographics, air
traffic flow and the economic development level (N = 50). The significance level is denoted by stars in red:
* 𝑝<0.05, ** 𝑝<0.01, *** 𝑝<0.001 Table 1. Correlation coefficient between c* and states’ variables in terms of population demographics, air
traffic flow and the economic development level (N = 50). The significance level is denoted by stars in red:
* 𝑝<0.05, ** 𝑝<0.01, *** 𝑝<0.001 Correlation between early infected rate and 𝒄∗/𝒍∗ We further figure out the effect of an actively engaged population on the outbreak of the infection. We further figure out the effect of an actively engaged population on the outbreak of the infection. Conclusion In conclusion, this study showed that there is a high but state-different correlation between the results of
Google search and tweeting about COVID–19 related keywords and the number of confirmed COVID–19
cases among 50 U.S. states. These significant correlations occur as early as 27 days before confirmation
of the infections, indicating the usefulness of Internet search and online social media tracking to surveil
the pandemic’s outbreak locally. We further found that the differences in predictive power between these
states are closely related to a state’s demographics characterized by population size and density, air
traffic and economic development. Most importantly, we discovered that if there is an actively tweeting
population which leads a vibrant dialog on Twitter about COVID–19, the early infection rate will be lower. Similarly, the more ahead of the outbreak a population starts googling for COVID–19 information, the
lower the early infection rate. Correlation between 𝒄∗ and state conditions Specifically, we focus on the early stage of the COVID–19 outbreak in the 50 U.S. states, a period when
the government had not started yet to take serious control measures. The infection rate in this stage is a
reasonable proxy to measure the extent to which a state’s residents rely on their individual awareness to
protect themselves again the pandemic. Quantitively, we define the early infection rate as the proportion
of residents being infected in the earliest 𝑇 days since the state-level first case was confirmed (see the
distribution of the early infection rate among 50 states in the Supplementary Figure 2). Having both the predictive capacity of Internet search and Twitter data and the early infection rate, we are
able to find the relationship between the two. Surprisingly, we discover a strong negative correlation
between 𝑙∗ and the early infection rate, with 𝑇 varying from 1 week to 3 weeks, as shown in Table 2. This
relationship indicates that the earlier people start tweeting and searching, the lower is the infection rate. In
other words, the earlier the collective awareness on Twitter and on Google search, the less people get
infected when the virus outbreaks. Moreover, we also find a significantly negative correlation between 𝑐∗
and the infection rate using the Twitter data and Google Trends for the terms ‘COVID’ and ‘COVID- 19’ on Page 5/13 selected 𝑇′𝑠 (see Table 2), implying that the more predictive pro-active Internet-search behavior is, the
lower the initial infected rate. Table 2. Correlation coefficient between early infection rate for different T (number of days) and l* an
c* from Internet data (N = 50). Similar to Table 1, the red stars represent the significance level. Early infection rate
T=7
T=14
T=21
l*
Twitter
-0.371**
-0.405**
-0.416**
Google Trend
(coronavirus)
-0.471***
-0.517***
-0.500***
Google Trend
(COVID)
-0.473***
-0.517***
-0.505***
Google Trend
(COVID-19)
-0.445**
-0.516***
-0.522***
c*
Twitter
-0.566***
-0.593***
-0.476***
Google Trend
(coronavirus)
-0.139
-0.08
-0.100
Google Trend
(COVID)
-0.371**
-0.374**
-0.167
Google Trend
(COVID-19)
-0.543***
-0.510***
-0.270 relation coefficient between early infection rate for different T (number of
net data (N = 50). Similar to Table 1, the red stars represent the significanc Methods Page 6/13 C - Cases in U.S. We collect the COVID–19 confirmed cases from the New York Times
(https://www.nytimes.com/), based on reports from state and local health agencies. 50 U.S. states’ daily
number of cases are used in this study. For each state, the study period is from the date of the first
confirmed case in this state to June 2, 2020. CTwitter ata. The COVID–19 tweets on Twitter are acquired from an open COVID–19 Twitter chatter
dataset [15], which is a collection of the identifiers of tweets specifically using coronavirus-related
keywords (coronavirus, 2019nCoV, COVD19, CoronavirusPandemic, CoronaOutbreak, etc.), starting from
January 27, 2020. After hydrating the full JSON objects from these tweets’ identifiers, we extract the daily
number of tweets in the U.S. at state level according to a tweet’s location. Specifically, we first identify all
geo-located tweets (i.e., tweet associated with a geographic place), only retaining tweets with a location
in the US. Then we assign a tweet to a state using its specific location, such as city and town (see the
heatmap of the number of available geo-located tweets in 50 U.S. states in the Supplementary Figure 1). Google Trends and Keywords. As the most used search engine in U.S., Google Trends
(https://www.google.com/trends) provides an excellent proxy for Internet-search trends. The Google
Trends index measures the search activity of a term compared to the most actively searched keyword for
a selected region. In this work, we use the pytrends API to track three respective keywords, ‘coronavirus’,
‘COVID’ and ‘COVID19’ on Google Trends among 50 U.S. states. For each individual state, we use a
combination of a coronavirus-related keyword and the state’s full name as an integrated search term
throughout this paper. The time parameter is set to two weeks earlier than the COVID–19 outbreak date in
each state. Google Trends and Keywords. As the most used search engine in U.S., Google Trends Correlation analysis. The Spearman correlation is employed in this study using Python’s SciPy function. Specifically, we conduct lagged correlation analyses to assess the temporal relationships between
Internet data and COVID–19 pandemic. For each state, we right-shift the daily Internet data from Twitter
and Google Trends (with different search terms) by a variable lag and calculate the Spearman correlation
to the daily reported COVID–19 cases. The maximum lag is set to 40 days. Methods Spearman correlation is also
used to examine the correlation between the 𝑐∗ and the state’s variables, and between the 𝑐∗/𝑙∗ and the
early infection rate, at significance levels from *𝑝<0.05 to ***𝑝<0.001. Proxy of air traffic flow. Using the Air Carrier Activity Information System database
(https://www.faa.gov/airports/planning_capacity/passenger_allcargo_stats/passenger/collection/),, we
obtain the enplanement data at every commercial service airport in U.S. for 2017 and 2018. As a proxy of
a state’s air traffic flow we calculate the sum of the enplanements of all airports located in a state. Declarations
Code availability Page 7/13 Sourcecodesandallprocesseddatausedinthisstudyisavailableat
https://www.researchgate.net/profile/Jiachen_Sun2/publications Sourcecodesandallprocesseddatausedinthisstudyisavailableat
https://www.researchgate.net/profile/Jiachen_Sun2/publications Author Contribution P. G. conceived the project. J. S. designed the experiments and analyzed the results. J. S. and P. G. wrote
the manuscript. Additional information Competing interests. The authors declare no competing interests. p.19386. p.19386. 11. Effenberger, M., Kronbichler, A., Shin, J.I., Mayer, G., Tilg, and Perco, P., 2020. Association of the
COVID-19 pandemic with internet search volumes: a google trendstm analysis. International Journal
of Infectious Diseases. 12. i, C., Chen, .J., Chen, X., Zhang, M., Pang, C.P. and Chen, H., 2020. Retrospective analysis of the
possibility of predicting the COVID-19 outbreak from Internet searches and social media data, China,
2020. Eurosurveillance, 25(10), p.2000199. 12. i, C., Chen, .J., Chen, X., Zhang, M., Pang, C.P. and Chen, H., 2020. Retrospective analysis of the
possibility of predicting the COVID-19 outbreak from Internet searches and social media data, China,
2020. Eurosurveillance, 25(10), p.2000199. 13. in, H., iu, C.H. and Chiu, Y.C., 2020. Google searches for the keywords of “wash hands” predict the
speed of national spread of COVID-19 outbreak among 21 countries. Brain, Behavior, and Immunity. 13. in, H., iu, C.H. and Chiu, Y.C., 2020. Google searches for the keywords of “wash hands” predict the
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Katya, Tutubalinа, Elena and Chowell, Gerardo. 2020. A large-scale COVID-19 Twitter chatter dataset
for open scientific research - an international collaboration. doi: 10.5281/zenodo.3723939. http://www.panacealab.org/covid19/ Figures References 1. Watkins, , Holder, J., Glans J., Cai, W., Carey, B. and White J., How the virus won. New York Times. https://www.nytimes.com/interactive/2020/us/coronavirus-spread.html 2. Zhu, , Zhang, D., Wang, W., i, X., Yang, B., Song, J., Zhao, X., Huang, B., Shi, W., u, R. and Niu, P., 2020. A
novel coronavirus from patients with pneumonia in China, 2019. New England Journal of Medicine. 3. Tian, H., iu, , i, Y., Wu, C.H., Chen, B., Kraemer, M.U., i, B., Cai, J., Xu, B., Yang, Q. and Wang, B., 2020. An
investigation of transmission control measures during the first 50 days of the COVID-19 epidemic in
China. Science, 368(6491), pp.638-642. 4. i, , Pei, S., Chen, B., Song, Y., Zhang, T., Yang, W. and Shaman, J., 2020. Substantial undocumented
infection facilitates the rapid dissemination of novel coronavirus (SARS-CoV-2). Science, 368(6490),
pp.489-493. 5. Remuzzi, A. and Remuzzi, G., 2020. COVID-19 and Italy: what next?. The Lancet. 6. ipton, E., Sanger, D., Haberman, M., Shear, D.M., Mazzetti, M. and Branes, E.J., He could have seen
what was coming: behind Trump’s failure on the virus. New York Times. https://www.nytimes.com/2020/04/11/us/politics/coronavirus-trump-response.html 7. Ginsberg, J., Mohebbi, M.H., Patel, R.S., Brammer, ., Smolinski, M.S. and Brilliant, ., Detecting
influenza epidemics using search engine query data. Nature, 457(7232), pp.1012-1014. 8. de Almeida Marques-Toledo, , Degener, C.M., Vinhal, ., Coelho, G., Meira, W., Codeço, C.T. and Teixeira,
M.M., 2017. Dengue prediction by the web: Tweets are a useful tool for estimating and forecasting
Dengue at country and city level. PLoS neglected tropical diseases, 11(7), p.e0005729. 9. Shin, Y., Seo, D.W., An, J., Kwak, H., Kim, S.H., Gwack, J. and Jo, M.W., 2016. High correlation of
Middle East respiratory syndrome spread with Google search and Twitter trends in Korea. Scientific
reports, 6, p.32920. 9. Shin, Y., Seo, D.W., An, J., Kwak, H., Kim, S.H., Gwack, J. and Jo, M.W., 2016. High correlation of
Middle East respiratory syndrome spread with Google search and Twitter trends in Korea. Scientific
reports, 6, p.32920. 10. Wilson, , Mason, K., Tobias, M., Peacey, M., Huang, Q.S. and Baker, M., 2009. Interpreting “Google Flu
Trends” data for pandemic H1N1 influenza: the New Zealand experience. Eurosurveillance, 14(44), 10. Wilson, , Mason, K., Tobias, M., Peacey, M., Huang, Q.S. and Baker, M., 2009. Interpreting “Google Flu
Trends” data for pandemic H1N1 influenza: the New Zealand experience. Eurosurveillance, 14(44), Page 8/13 Page 8/13 Figures Page 9/13 Figure 1
Number of COVID-19 related tweets, Google Trends index using different COVID-19 keywords (integrated
with the state’s full name) and daily infected number in 4 states. The values of each curve are normalize
to [0, 100] for comparison. Figure 1 Figure 3 Distribution of 𝑐∗ and 𝑙∗ over 50 states for (a) Twitter and (b-d) Google Trends with different keywords. Distribution of 𝑐∗ and 𝑙∗ over 50 states for (a) Twitter and (b-d) Google Trends with different keywords. Figure 1 Number of COVID-19 related tweets, Google Trends index using different COVID-19 keywords (integrated
with the state’s full name) and daily infected number in 4 states. The values of each curve are normalized
to [0, 100] for comparison. Page 10/13 gure 2
ustration of lagged correlation between new confirmed COVID-19 infections and data from Google
rends and Twitter in selected 4 states. Figure 2 Illustration of lagged correlation between new confirmed COVID-19 infections and data from Google
Trends and Twitter in selected 4 states. Page 11/13 Figure 3 Figure 3
Distribution of 𝑐∗ and 𝑙∗ over 50 states for (a) Twitter and (b-d) Google Trends with different keywords. Figure 3 Page 12/13
This is a list of supplementary files associated with this preprint. Click to download. This is a list of supplementary files associated with this preprint. Click to d Page 12/13
This is a list of supplementary files associated with this preprint. Click to download. COVID19PredictionSI.pdf COVID19PredictionSI.pdf COVID19PredictionSI.pdf Page 13/13
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Reported Cases and Deaths of National Notifiable Infectious Diseases — China, January 2023*
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Chinese Center for Disease Control and Prevention China CDC Weekly China CDC Weekly Notifiable Infectious Diseases Reports Notifiable Infectious Diseases Reports Notifiable Infectious Diseases Reports
Reported Cases and Deaths of National Notifiable Infectious
Diseases — China, January 2023*
Diseases
Cases
Deaths
Plague
0
0
Cholera
0
0
SARS-CoV
0
0
Acquired immune deficiency syndrome†
1,815
1,777
Hepatitis
89,719
32
Hepatitis A
523
0
Hepatitis B
74,790
18
Hepatitis C
12,785
13
Hepatitis D
17
0
Hepatitis E
1,144
1
Other hepatitis
460
0
Poliomyelitis
0
0
Human infection with H5N1 virus
0
0
Measles
18
0
Epidemic hemorrhagic fever
217
2
Rabies
5
15
Japanese encephalitis
4
0
Dengue
1
0
Anthrax
19
0
Dysentery
1,924
0
Tuberculosis
53,730
327
Typhoid fever and paratyphoid fever
184
0
Meningococcal meningitis
6
0
Pertussis
883
0
Diphtheria
0
0
Neonatal tetanus
6
0
Scarlet fever
276
0
Brucellosis
2,318
0
Gonorrhea
4,762
0
Syphilis
28,708
3
Leptospirosis
6
0
Schistosomiasis
0
0
Malaria
149
2
Human infection with H7N9 virus
0
0
Influenza
15,270
0
Mumps
2,370
0
Rubella
40
0 ted Cases and Deaths of National Notifiable Infectious
Diseases — China, January 2023* Reported Cases and Deaths of National Notifiable Infectious
Diseases — China, January 2023* CCDC Weekly / Vol. 5 / No. 30 674 Continued
Diseases
Cases
Deaths
Acute hemorrhagic conjunctivitis
1,156
0
Leprosy
14
0
Typhus
33
0
Kala azar
17
0
Echinococcosis
240
0
Filariasis
0
0
Infectious diarrhea§
42,950
0
Hand, foot and mouth disease
2,484
0
Total
249,324
2,158
* According to the National Bureau of Disease Control and Prevention, not included coronavirus disease 2019 (COVID-19). † The number of deaths of acquired immune deficiency syndrome (AIDS) is the number of all-cause deaths reported in the month by
cumulative reported AIDS patients. § Infectious diarrhea excludes cholera, dysentery, typhoid fever and paratyphoid fever. The numbers of cases and cause-specific deaths
refer to data recorded in National Notifiable Disease Reporting System in China, which includes both clinically-diagnosed cases and
laboratory-confirmed cases. Only reported cases of the 31 provincial-level administrative divisions in Chinese mainland are included in the
table, whereas data of Hong Kong Special Administrative Region, Macau Special Administrative Region, and Taiwan, China are not
included. Monthly statistics are calculated without annual verification which is usually conducted in February of the next year for de-
duplication and verification of reported cases in annual statistics. Chinese Center for Disease Control and Prevention doi: 10.46234/ccdcw2023.060 Notifiable Infectious Diseases Reports Therefore, 12-month cases could not be added together directly to
calculate the cumulative cases because the individual information might be verified via National Notifiable Disease Reporting System
according to information verification or field investigations by local CDCs. China CDC Weekly China CDC Weekly Continued Acute hemorrhagic conjunctivitis Infectious diarrhea§ Hand, foot and mouth disease Hand, foot and mouth disease Total * According to the National Bureau of Disease Control and Prevention, not included coronavirus disease 2019 (COVID-19). † The number of deaths of acquired immune deficiency syndrome (AIDS) is the number of all-cause deaths reported in the month by
cumulative reported AIDS patients. § Infectious diarrhea excludes cholera, dysentery, typhoid fever and paratyphoid fever. The numbers of cases and cause-specific deaths
refer to data recorded in National Notifiable Disease Reporting System in China, which includes both clinically-diagnosed cases and
laboratory-confirmed cases. Only reported cases of the 31 provincial-level administrative divisions in Chinese mainland are included in the
table, whereas data of Hong Kong Special Administrative Region, Macau Special Administrative Region, and Taiwan, China are not
included. Monthly statistics are calculated without annual verification which is usually conducted in February of the next year for de-
duplication and verification of reported cases in annual statistics. Therefore, 12-month cases could not be added together directly to
calculate the cumulative cases because the individual information might be verified via National Notifiable Disease Reporting System
according to information verification or field investigations by local CDCs. * According to the National Bureau of Disease Control and Prevention, not included coronavirus disease 2019 (COVID-19). † The number of deaths of acquired immune deficiency syndrome (AIDS) is the number of all-cause deaths reported in the month by
cumulative reported AIDS patients. § Infectious diarrhea excludes cholera, dysentery, typhoid fever and paratyphoid fever. The numbers of cases and cause-specific deaths
refer to data recorded in National Notifiable Disease Reporting System in China, which includes both clinically-diagnosed cases and
laboratory-confirmed cases. Only reported cases of the 31 provincial-level administrative divisions in Chinese mainland are included in the
table, whereas data of Hong Kong Special Administrative Region, Macau Special Administrative Region, and Taiwan, China are not
included. Monthly statistics are calculated without annual verification which is usually conducted in February of the next year for de-
duplication and verification of reported cases in annual statistics. Notifiable Infectious Diseases Reports Therefore, 12-month cases could not be added together directly to
calculate the cumulative cases because the individual information might be verified via National Notifiable Disease Reporting System
according to information verification or field investigations by local CDCs. (
)
mune deficiency syndrome (AIDS) is the number of all-cause deaths reported in the month by of acquired immune deficiency syndrome (AIDS) is the number of all-cause deaths reported in the month by
patients. † The number of deaths of acquired immune deficiency syndrome (AIDS) is the number of all-cause deaths reported in the month by
cumulative reported AIDS patients. § Infectious diarrhea excludes cholera, dysentery, typhoid fever and paratyphoid fever. The numbers of cases and cause-specific deaths
refer to data recorded in National Notifiable Disease Reporting System in China, which includes both clinically-diagnosed cases and
laboratory-confirmed cases. Only reported cases of the 31 provincial-level administrative divisions in Chinese mainland are included in the
table, whereas data of Hong Kong Special Administrative Region, Macau Special Administrative Region, and Taiwan, China are not
included. Monthly statistics are calculated without annual verification which is usually conducted in February of the next year for de-
duplication and verification of reported cases in annual statistics. Therefore, 12-month cases could not be added together directly to
calculate the cumulative cases because the individual information might be verified via National Notifiable Disease Reporting System
according to information verification or field investigations by local CDCs. doi: 10.46234/ccdcw2023.060 CCDC Weekly / Vol. 5 / No. 30 675 Chinese Center for Disease Control and Prevention
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PC3 Human Prostate Carcinoma Cell Holoclones Contain Self-renewing Tumor-Initiating Cells
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A
B
Holo
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Li et al fig. S2
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SA-ßgal
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Chlorido(<i>η</i><sup>4</sup>-cycloocta-1,5-diene)(<i>N</i>,<i>N</i>′-diethylthiourea-κ<i>S</i>)rhodium(I)
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Acta crystallographica. Section E
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Related literature Supplementary data and figures for this paper are available from the
IUCr electronic archives (Reference: NG5033). For coordination modes of thiourea and thiourea-based
ligands, see: Wilkinson (1987); Gibson et al. (1994); Robinson
et al. (2000). For the application of thioureas as ligands for
metal precursors in asymmetric catalysis, see: Breuzard et al. (2000). For related Rh(I) complexes containing thiourea
ligands, see: Cauzzi et al. (1995, 1997). For structural data of
the N,N0-diethylthiourea ligand, see: Ramnathan et al. (1995). Giovanna Brancatelli,* Dario Drommi, Giuseppe Bruno
and Felice Faraone Dip. di Chimica Inorganica Chimica Analitica e Chimica Fisica, Universita´ degli Studi
di Messina, Via Salita Sperone 31, I-98166 Vill. S. Agata - Messina, Italy
Correspondence e-mail: gbrancatelli@unime.it Received 15 September 2010; accepted 4 October 2010
Key indicators: single-crystal X-ray study; T = 293 K; mean (C–C) = 0.003 A˚;
R factor = 0.016; wR factor = 0.042; data-to-parameter ratio = 16.1. Received 15 September 2010; accepted 4 October 2010 Key indicators: single-crystal X-ray study; T = 293 K; mean (C–C) = 0.003 A˚;
R factor = 0.016; wR factor = 0.042; data-to-parameter ratio = 16.1. D—H A
D—H
H A
D A
D—H A
N1—H1 Cl1
0.86
2.39
3.152 (3)
148
N2—H2 Cl1i
0.86
2.89
3.356 (3)
116
Symmetry code: (i) x þ 1; y; z. In the title rhodium(I) complex, [RhCl(C8H12)(C5H12N2S)],
N,N0-diethylthiourea acts as a monodenate S-donor ligand. In the title rhodium(I) complex, [RhCl(C8H12)(C5H12N2S)],
N,N0-diethylthiourea acts as a monodenate S-donor ligand. The rhodium(I) coordination sphere is completed by the Cl
atom and the COD [= 1,5-cyclooctadiene] ligand interacting
through the -electrons of the double bonds. If the midpoints
of these two bonds are taken into account, the Rh atom
exhibits a distorted square-planar coordination. The syn
conformation of the N,N0-diethylthiourea ligand with respect
to the Cl atom is stabilized by an intramolecular N—H Cl
hydrogen bond. Aweak intermolecular N—H Cl interaction
links molecules along the a axis. Data collection: COLLECT (Nonius, 1998); cell refinement:
DIRAX/LSQ
(Duisenberg,
1992);
data
reduction:
EVALCCD
(Duisenberg et al., 2003); program(s) used to solve structure: SIR2004
(Burla et al., 2005); program(s) used to refine structure: SHELXL97
(Sheldrick, 2008); molecular graphics: XP in SHELXTL (Sheldrick,
2008); software used to prepare material for publication: WinGX
(Farrugia, 1999). The authors would like to thank the University of Messina
and the MIUR (Ministero dell’Istruzione, dell’Universita´ e
della Ricerca) for financial support. metal-organic compounds metal-organic compounds = 94.765 (5)
V = 759.7 (7) A˚ 3
Z = 2
Mo K radiation
= 1.42 mm1
T = 293 K
0.60 0.24 0.16 mm
Data collection
Bruker–Nonius Kappa APEXII
CCD diffractometer
Absorption correction: multi-scan
(SADABS; Bruker, 2001)
Tmin = 0.540, Tmax = 0.710
12830 measured reflections
2656 independent reflections
2585 reflections with I > 2(I)
Rint = 0.015
Refinement
R[F 2 > 2(F 2)] = 0.016
wR(F 2) = 0.042
S = 0.97
2656 reflections
165 parameters
H-atom parameters constrained
max = 0.41 e A˚ 3
min = 0.35 e A˚ 3 = 1.42 mm1
T = 293 K
0.60 0.24 0.16 mm Acta Crystallographica Section E
Structure Reports
Online
ISSN 1600-5368 Acta Crystallographica Section E
Structure Reports
Online
ISSN 1600-5368 m1368
Brancatelli et al. S1. Comment Thiourea and thiourea-based ligands form complexes with a number of transition metals (Wilkinson, 1987; Gibson et al.,
1994; Robinson et al., 2000) and their application as ligands for metal catalyst in styrene hydroformylation has been
recently shown (Breuzard et al., 2000). In order to investigate the coordination chemistry of symmetrically substituted thiourea derivatives as ligands for metal
complexes applicable in asymmetric catalysis, the reaction between chloro(η4-1,5-cyclooctadiene)rhodium(I) dimer and
N,N′-diethylthiourea has been performed in dichloromethane. The obtained crystals were identified as the title compound
by single-crystal X-ray diffraction. Figure 1 shows that in the compound (I) structure the N,N′-diethylthiourea acts as a
monodenate S-donor ligand. Therefore the rhodium(I) coordination sphere is completed by a chlorine atom and COD [=
1,5-cyclooctadiene] ligand interacting with the metal center through the π-electrons of the double bonds. If the midpoints
of these two bonds are taken into account the rhodium atom displays a distorted square planar coordination, as evidenced
by the angles at Rh(1) [M(2)—Rh(1)—S(1) 86.4 (8)°, M(1)—Rh(1)—Cl(1) 88.9 (8)°, M(2)—Rh(1)—M(1) 87.8 (1)°, S(1)
—Rh(1)—Cl(1) 96.97 (3)°]. In the thiourea moiety the distance S(1)—C(1) [1.732 (2) Å] is slightly longer than that
found in the crystallographic structure of the N,N′-diethythiourea [1.707 (3) Å] (Ramnathan et al., 1995). This
lengthening of the S—C bond is consistent with the decreasing double bond character due to the coordination at the metal
center. Further the C(1)—S(1)—Rh(1) bond angle value [115.00 (8)°] indicates that the thiourea sulfur is bound to
rhodium(I) primarily via a lone pair in a non-bonding sp2 sulfur orbital. C(1)—N(1) and C(1)—N(2) bond lengths
[1.331 (3)Å and 1.343 (3) Å] are almost equivalent as expected for symmetrically substituted thiourea molecules. The
value of Rh—S bond [2.403 (1) Å] is comparable with those found in similar complexes (Cauzzi et al., 1995, 1997). The
syn conformation of the substituent on the sulfur with respect to the chlorine atom is stabilized by the intramolecular N(1)
—H(1)···Cl(1) hydrogen bonding interaction. The crystal packing arrangement is stabilized by van der Walls forces and the very weak intermolecular N(2)—
H(2)···Cl(1) A hydrogen interaction along the a axis (Fig. 2) between the thioamide N(2) and the Cl(1) A of the neighbor
complex molecule generated by applying the crystallographic (x + 1, y, z) symmetry operation. The crystal packing arrangement is stabilized by van der Walls forces and the very weak intermolecular N(2)—
H(2)···Cl(1) A hydrogen interaction along the a axis (Fig. References Breuzard, J. A. J., Tommasino, M. L., Touchard, F., Lemaire, M. & Bonnet,
M. C. (2000). J. Mol. Catal. A, 156, 223–232. Bruker (2001). SADABS. Bruker AXS Inc., Madison, Wisconsin, USA. Breuzard, J. A. J., Tommasino, M. L., Touchard, F., Lemaire, M. & Bonnet,
M. C. (2000). J. Mol. Catal. A, 156, 223–232. M. C. (2000). J. Mol. Catal. A, 156, 223–232. Bruker (2001). SADABS. Bruker AXS Inc., Madison, Wisconsin, USA. (
)
Bruker (2001). SADABS. Bruker AXS Inc., Madison, Wisconsin, USA. Burla, M. C., Caliandro, R., Camalli, M., Carrozzini, B., Cascarano, G. L., De
Caro, L., Giacovazzo, C., Polidori, G. & Spagna, R. (2005). J. Appl. Cryst. 38,
381–388. Experimental
Crystal data
[RhCl(C8H12)(C5H12N2S)]
Mr = 378.76
Triclinic, P1
a = 7.295 (5) A˚
b = 8.705 (5) A˚
c = 12.602 (5) A˚
= 101.727 (5)
= 102.058 (5)
m1368
Brancatelli et al. doi:10.1107/S Cauzzi, D., Costa, M., Gonsalvi, L., Pellinghelli, M. A., Predieri, G.,
Tiripicchio, A. & Zanoni, R. (1997). J. Organomet. Chem. 541, 377–389. Cauzzi, D., Lanfranchi, M., Marzolini, G., Predieri, G., Tiripicchio, A., Costa,
M. & Zanoni, R. (1995). J. Organomet. Chem. 488, 115–125. Duisenberg, A. J. M. (1992). J. Appl. Cryst. 25, 92–96. Duisenberg, A. J. M. (1992). J. Appl. Cryst. 25, 92–96. Duisenberg, A. J. M., Kroon-Batenburg, L. M. J. & Schreurs, A. M. M. (2003). J. Appl. Cryst. 36, 220–229. Farrugia, L. J. (1999). J. Appl. Cryst. 32, 837–838. Gibson, V. C., Redshaw, C., Clegg, W. & Elsegood, M. R. J. (1994). J. Chem. Gibson, V. C., Redshaw, C., Clegg, W. & Elsegood Gibson, V. C., Redshaw, C., Clegg, W. & Elsegood, M. R. J. (1994). J. Chem. Soc. Chem. Commun. pp. 2635–2636. pp
Nonius (1998). COLLECT. Nonius BV, Delft, The Netherlands. Ramnathan, A., Sivakumar, K., Subramanian, K., Janarthanan, N., Ramadas, Ramnathan, A., Sivakumar, K., Subramanian, K., Janarthanan, N., Ramadas,
K & Fun H -K (1995) Acta Cryst C51 2446–2450 Ramnathan, A., Sivakumar, K., Subramanian, K., Janarth K. & Fun, H.-K. (1995). Acta Cryst. C51, 2446–2450. Robinson, S. D., Sahajpal, A. & Steed, J. W. (2000). Inorg. Chim. Acta, 306,
205–210. Sheldrick, G. M. (2008). Acta Cryst. A64, 112–122. Wilkinson, G. (1987). Comprehensive Coordination Chemistry, ch. 16.6, pp. 639–640. Oxford: Pergamon Press. Acta Cryst. (2010). E66, m1368 Acta Cryst. (2010). E66, m1368 doi:10.1107/S1600536810039644 supporting information Giovanna Brancatelli, Dario Drommi, Giuseppe Bruno and Felice Faraone S1. Comment S2. Experimental The compound was prepared by reacting [Rh(COD)(µ-Cl)]2 (0.050 g, 0.10 mmol) with the N,N′-diethylthiourea ligand
(0.0264 g, 0.2 mmol) in CH2Cl2 solution at room temperature for 30 min. After evaporation of the solvent in vacuo, the
residue was dissolved in dichloromethane. Recrystallization from CH2Cl2/hexane gave orange crystals of the complex. S3. Refinement S3. Refinement S1. Comment 2) between the thioamide N(2) and the Cl(1) A of the neighbor
complex molecule generated by applying the crystallographic (x + 1, y, z) symmetry operation. supporting information Acta Cryst. (2010). E66, m1368 [https://doi.org/10.1107/S1600536810039644]
Chlorido(η4-cycloocta-1,5-diene)(N,N′-diethylthiourea-κS)rhodium(I)
Giovanna Brancatelli, Dario Drommi, Giuseppe Bruno and Felice Faraone Acta Cryst. (2010). E66, m1368 [https://doi.org/10.1107/S1600536810039644] Giovanna Brancatelli, Dario Drommi, Giuseppe Bruno and Felice Faraone Refinement 0 restraints
H-atom parameters constrained
w = 1/[σ2(Fo2) + (0.0121P)2 + 1.6925P]
where P = (Fo2 + 2Fc2)/3
(Δ/σ)max = 0.01
Δρmax = 0.41 e Å−3
Δρmin = −0.35 e Å−3 0 restraints
H-atom parameters constrained
w = 1/[σ2(Fo2) + (0.0121P)2 + 1.6925P]
where P = (Fo2 + 2Fc2)/3
(Δ/σ)max = 0.01
Δρmax = 0.41 e Å−3
Δρmin = −0.35 e Å−3 Refinement on F2
Least-squares matrix: full
R[F2 > 2σ(F2)] = 0.016
wR(F2) = 0.042
S = 0.97
2656 reflections
165 parameters S3. Refinement E66, m1368 supporting information 2656 independent reflections
2585 reflections with I > 2σ(I)
Rint = 0.015
θmax = 25°, θmin = 3.4°
Refinement
Refinement on F2
Least-squares matrix: full
R[F2 > 2σ(F2)] = 0.016
wR(F2) = 0.042
S = 0.97
2656 reflections
165 parameters
Special details
Geometry. All s.u.'s (except the s.u. in the dihedral
matrix. The cell s.u.'s are taken into account indivi
correlations between s.u.'s in cell parameters are on
(isotropic) treatment of cell s.u.'s is used for estima
Refinement. Refinement of F2 against ALL reflect
conventional R-factors R are based on F, with F se
only for calculating R-factors(gt) etc. and is not rel
are statistically about twice as large as those based
Fractional atomic coordinates and isotropic or equ
x
y
C1
0.6141 (3)
0.3714 (2)
C2
0.6911 (3)
0.6516 (2)
H2A
0.678
0.6272
H2B
0.8245
0.6631
C3
0.6120 (3)
0.8048 (2)
H3A
0.6701
0.8867
H3B
0.6381
0.8348
H3C
0.4778
0.7899
C4
0.8012 (3)
0.1765 (2)
H4A
0.6878
0.1021
H4B
0.8673
0.1429
C5
0.9280 (3)
0.1800 (3)
H5A
0.8697
0.2283
H5B
0.9458
0.0738
H5C
1.0484
0.24
C6
0.1778 (3)
0.4127 (3)
H6
0.1543
0.5227
C7
0.0334 (3)
0.3011 (3)
H7
−0.0725
0.3469
C8
−0.0210 (3)
0.1390 (3)
H8A
−0.1559
0.108
H8B
0.0066
0.1461
C9
0.0857 (3)
0.0111 (3) 2656 independent reflections
2585 reflections with I > 2σ(I)
Rint = 0.015
θmax = 25°, θmin = 3.4°
Refinement
Refinement on F2
Least-squares matrix: full
R[F2 > 2σ(F2)] = 0.016
wR(F2) = 0.042
S = 0.97
2656 reflections
165 parameters
S
i l d t il 2656 independent reflections
2585 reflections with I > 2σ(I)
Rint = 0.015
θmax = 25°, θmin = 3.4° h = −8→8
k = −10→10
l = −14→14 S3. Refinement Several H atoms were located in a difference Fourier map and placed in idealized positions using the riding-model
technique with C—H = 0.93Å and N—H = 0.86Å for aliphatic and thioamide H atoms, respectively. Several H atoms were located in a difference Fourier map and placed in idealized positions using the riding-model
technique with C—H = 0.93Å and N—H = 0.86Å for aliphatic and thioamide H atoms, respectively. sup-1 Acta Cryst. (2010). E66, m1368 supporting information pp
g
Figure 1
ORTEP view of compound (I) showing atomic labeling scheme and displacement ellipsoids at 50% probability for non-H
atoms. Figure 1
ORTEP view of compound (I) showing atomic labeling scheme and displacement ellipsoids at 50% probability for non-H Figure 1
ORTEP view of compound (I) showing atomic labeling scheme and displacement ellipsoids at 50% probability for non-H
atoms. g
ORTEP view of compound (I) showing atomic labeling scheme and displacement ellipsoids at 50% probability for non-H
atoms. sup-2 Acta Cryst. (2010). E66, m1368 sup-2 supporting information Figure 2 Figure 2
View of the molecular rows along the a axis generated by N(2)—H(2)···Cl(1) intermolecular interaction. Figure 2
View of the molecular rows along the a axis generated by N(2)—H(2)···Cl(1) intermolecular interaction. Figure 2
View of the molecular rows along the a axis generated by N(2)—H(2)···Cl(1) intermolecular interaction. Chlorido(η4-cycloocta-1,5-diene)(N,N′- diethylthiourea-κS)rhodium(I) Chlorido(η4-cycloocta-1,5-diene)(N,N′- diethylthiourea-κS)rhodium(I) Crystal data
[RhCl(C8H12)(C5H12N2S)]
Mr = 378.76
Triclinic, P1
Hall symbol: -P 1
a = 7.295 (5) Å
b = 8.705 (5) Å
c = 12.602 (5) Å
α = 101.727 (5)°
β = 102.058 (5)°
γ = 94.765 (5)°
V = 759.7 (7) Å3
Z = 2
F(000) = 388
Dx = 1.656 Mg m−3
Mo Kα radiation, λ = 0.71069 Å
Cell parameters from 93 reflections
θ = 5.3–22.3°
µ = 1.42 mm−1
T = 293 K
Plate, orange
0.60 × 0.24 × 0.16 mm
Data collection
Bruker–Nonius Kappa APEXII CCD
diffractometer
Graphite monochromator
ω scans
Absorption correction: multi-scan
(SADABS; Bruker, 2001)
Tmin = 0.540, Tmax = 0.710
12830 measured reflections Z = 2
F(000) = 388
Dx = 1.656 Mg m−3
Mo Kα radiation, λ = 0.71069 Å
Cell parameters from 93 reflections
θ = 5.3–22.3°
µ = 1.42 mm−1
T = 293 K
Plate, orange
0.60 × 0.24 × 0.16 mm Absorption correction: multi-scan
(SADABS; Bruker, 2001)
Tmin = 0.540, Tmax = 0.710
12830 measured reflections sup-3 sup-3 Acta Cryst. (2010). supporting information pp
g
H9B
0.0104
−0.0398
0.2578
0.02*
C10
0.2795 (3)
0.0767 (2)
0.32166 (18)
0.0133 (4)
H10
0.3337
0.0055
0.2693
0.016*
C11
0.4153 (3)
0.1802 (3)
0.40867 (18)
0.0146 (4)
H11
0.5463
0.1679
0.4052
0.018*
C12
0.3872 (3)
0.2309 (3)
0.52713 (18)
0.0189 (5)
H12A
0.5085
0.2448
0.5797
0.023*
H12B
0.3058
0.1479
0.542
0.023*
C13
0.2989 (3)
0.3865 (3)
0.54479 (18)
0.0193 (5)
H13A
0.222
0.3849
0.5988
0.023*
H13B
0.3993
0.4745
0.5753
0.023*
N1
0.5883 (2)
0.52268 (19)
0.16738 (14)
0.0110 (3)
H1
0.5065
0.5463
0.2062
0.013*
N2
0.7506 (2)
0.3357 (2)
0.08595 (14)
0.0121 (4)
H2
0.8134
0.4123
0.0699
0.014*
S1
0.47935 (7)
0.22159 (6)
0.17216 (4)
0.01184 (11)
Cl1
0.18218 (7)
0.52815 (6)
0.21639 (4)
0.01583 (11)
Rh1
0.27945 (2)
0.309577 (18)
0.295374 (13)
0.00866 (6)
Atomic displacement parameters (Å2)
U11
U22
U33
U12
U13
U23
C1
0.0092 (10)
0.0124 (10)
0.0074 (9)
−0.0004 (8)
0.0005 (8)
0.0020 (8)
C2
0.0123 (10)
0.0113 (10)
0.0160 (11)
−0.0002 (8)
0.0036 (8)
0.0049 (8)
C3
0.0151 (11)
0.0120 (10)
0.0190 (11)
0.0001 (8)
0.0026 (9)
0.0041 (9)
C4
0.0173 (11)
0.0115 (10)
0.0147 (11)
0.0053 (8)
0.0064 (9)
0.0040 (8)
C5
0.0199 (11)
0.0212 (11)
0.0150 (11)
0.0092 (9)
0.0090 (9)
0.0078 (9)
C6
0.0155 (11)
0.0165 (11)
0.0138 (11)
0.0033 (9)
0.0081 (9)
0.0004 (9)
C7
0.0115 (10)
0.0195 (11)
0.0137 (10)
0.0037 (8)
0.0074 (8)
0.0027 (9)
C8
0.0150 (11)
0.0210 (12)
0.0159 (11)
−0.0029 (9)
0.0072 (9)
0.0035 (9)
C9
0.0195 (11)
0.0161 (11)
0.0148 (11)
−0.0030 (9)
0.0067 (9)
0.0048 (9)
C10
0.0179 (11)
0.0107 (10)
0.0148 (10)
0.0038 (8)
0.0074 (9)
0.0062 (8)
C11
0.0135 (10)
0.0186 (11)
0.0147 (11)
0.0047 (9)
0.0038 (8)
0.0086 (9)
C12
0.0196 (11)
0.0260 (12)
0.0100 (10)
0.0004 (9)
0.0007 (9)
0.0055 (9)
C13
0.0198 (12)
0.0225 (12)
0.0127 (11)
−0.0033 (9)
0.0052 (9)
−0.0016 (9)
N1
0.0119 (9)
0.0085 (8)
0.0139 (9)
0.0010 (7)
0.0073 (7)
0.0012 (7)
N2
0.0140 (9)
0.0088 (8)
0.0160 (9)
0.0013 (7)
0.0076 (7)
0.0046 (7)
S1
0.0144 (3)
0.0085 (2)
0.0149 (3)
0.00119 (19)
0.0084 (2)
0.00302 (19)
Cl1
0.0110 (2)
0.0151 (3)
0.0245 (3)
0.00368 (19)
0.0050 (2)
0.0100 (2)
Rh1
0.00837 (9)
0.00896 (9)
0.00903 (9)
0.00087 (6)
0.00293 (6)
0.00200 (6)
G
t i
t
(Å º) H9B
0.0104
−0.0398
0.2578
0.02*
C10
0.2795 (3)
0.0767 (2)
0.32166 (18)
0.0133 (4)
H10
0.3337
0.0055
0.2693
0.016*
C11
0.4153 (3)
0.1802 (3)
0.40867 (18)
0.0146 (4)
H11
0.5463
0.1679
0.4052
0.018*
C12
0.3872 (3)
0.2309 (3)
0.52713 (18)
0.0189 (5)
H12A
0.5085
0.2448
0.5797
0.023*
H12B
0.3058
0.1479
0.542
0.023*
C13
0.2989 (3)
0.3865 (3)
0.54479 (18)
0.0193 (5)
H13A
0.222
0.3849
0.5988
0.023*
H13B
0.3993
0.4745
0.5753
0.023*
N1
0.5883 (2)
0.52268 (19)
0.16738 (14)
0.0110 (3)
H1
0.5065
0.5463
0.2062
0.013*
N2
0.7506 (2)
0.3357 (2)
0.08595 (14)
0.0121 (4)
H2
0.8134
0.4123
0.0699
0.014*
S1
0.47935 (7)
0.22159 (6)
0.17216 (4)
0.01184 (11)
Cl1
0.18218 (7)
0.52815 (6)
0.21639 (4)
0.01583 (11)
Rh1
0.27945 (2)
0.309577 (18)
0.295374 (13)
0.00866 (6) sup-5
Acta Cryst. Special details Geometry. All s.u.'s (except the s.u. in the dihedral angle between two l.s. planes) are estimated using the full covariance
matrix. The cell s.u.'s are taken into account individually in the estimation of s.u.'s in distances, angles and torsion angles;
correlations between s.u.'s in cell parameters are only used when they are defined by crystal symmetry. An approximate
(isotropic) treatment of cell s.u.'s is used for estimating s.u.'s involving l.s. planes. Refinement. Refinement of F2 against ALL reflections. The weighted R-factor wR and goodness of fit S are based on F2,
conventional R-factors R are based on F, with F set to zero for negative F2. The threshold expression of F2 > σ(F2) is used
only for calculating R-factors(gt) etc. and is not relevant to the choice of reflections for refinement. R-factors based on F2
are statistically about twice as large as those based on F, and R- factors based on ALL data will be even larger. Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2)
x
y
z
Uiso*/Ueq
C1
0.6141 (3)
0.3714 (2)
0.14001 (16)
0.0101 (4)
C2
0.6911 (3)
0.6516 (2)
0.13529 (18)
0.0130 (4)
H2A
0.678
0.6272
0.0552
0.016*
H2B
0.8245
0.6631
0.1708
0.016*
C3
0.6120 (3)
0.8048 (2)
0.17068 (19)
0.0156 (4)
H3A
0.6701
0.8867
0.143
0.023*
H3B
0.6381
0.8348
0.2505
0.023*
H3C
0.4778
0.7899
0.1409
0.023*
C4
0.8012 (3)
0.1765 (2)
0.05213 (18)
0.0137 (4)
H4A
0.6878
0.1021
0.0172
0.016*
H4B
0.8673
0.1429
0.1169
0.016*
C5
0.9280 (3)
0.1800 (3)
−0.02977 (18)
0.0170 (5)
H5A
0.8697
0.2283
−0.088
0.026*
H5B
0.9458
0.0738
−0.0614
0.026*
H5C
1.0484
0.24
0.0086
0.026*
C6
0.1778 (3)
0.4127 (3)
0.43845 (18)
0.0150 (4)
H6
0.1543
0.5227
0.4421
0.018*
C7
0.0334 (3)
0.3011 (3)
0.36521 (18)
0.0143 (4)
H7
−0.0725
0.3469
0.3272
0.017*
C8
−0.0210 (3)
0.1390 (3)
0.38650 (19)
0.0172 (5)
H8A
−0.1559
0.108
0.3576
0.021*
H8B
0.0066
0.1461
0.4662
0.021*
C9
0.0857 (3)
0.0111 (3)
0.33158 (18)
0.0165 (4)
H9A
0.1004
−0.0689
0.3752
0.02* Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2)
x
y
z
Uiso*/Ueq l atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2) sup-4 Acta Cryst. (2010). E66, m1368 Acta Cryst. (2010). E66, m1368 supporting information (2010). E66, m1368
Cl1
0.18218 (7)
0.52815 (6)
0.21639 (4)
0.01583 (11)
Rh1
0.27945 (2)
0.309577 (18)
0.295374 (13)
0.00866 (6)
Atomic displacement parameters (Å2)
U11
U22
U33
U12
U13
U23
C1
0.0092 (10)
0.0124 (10)
0.0074 (9)
−0.0004 (8)
0.0005 (8)
0.0020 (8)
C2
0.0123 (10)
0.0113 (10)
0.0160 (11)
−0.0002 (8)
0.0036 (8)
0.0049 (8)
C3
0.0151 (11)
0.0120 (10)
0.0190 (11)
0.0001 (8)
0.0026 (9)
0.0041 (9)
C4
0.0173 (11)
0.0115 (10)
0.0147 (11)
0.0053 (8)
0.0064 (9)
0.0040 (8)
C5
0.0199 (11)
0.0212 (11)
0.0150 (11)
0.0092 (9)
0.0090 (9)
0.0078 (9)
C6
0.0155 (11)
0.0165 (11)
0.0138 (11)
0.0033 (9)
0.0081 (9)
0.0004 (9)
C7
0.0115 (10)
0.0195 (11)
0.0137 (10)
0.0037 (8)
0.0074 (8)
0.0027 (9)
C8
0.0150 (11)
0.0210 (12)
0.0159 (11)
−0.0029 (9)
0.0072 (9)
0.0035 (9)
C9
0.0195 (11)
0.0161 (11)
0.0148 (11)
−0.0030 (9)
0.0067 (9)
0.0048 (9)
C10
0.0179 (11)
0.0107 (10)
0.0148 (10)
0.0038 (8)
0.0074 (9)
0.0062 (8)
C11
0.0135 (10)
0.0186 (11)
0.0147 (11)
0.0047 (9)
0.0038 (8)
0.0086 (9)
C12
0.0196 (11)
0.0260 (12)
0.0100 (10)
0.0004 (9)
0.0007 (9)
0.0055 (9)
C13
0.0198 (12)
0.0225 (12)
0.0127 (11)
−0.0033 (9)
0.0052 (9)
−0.0016 (9)
N1
0.0119 (9)
0.0085 (8)
0.0139 (9)
0.0010 (7)
0.0073 (7)
0.0012 (7)
N2
0.0140 (9)
0.0088 (8)
0.0160 (9)
0.0013 (7)
0.0076 (7)
0.0046 (7)
S1
0.0144 (3)
0.0085 (2)
0.0149 (3)
0.00119 (19)
0.0084 (2)
0.00302 (19)
Cl1
0.0110 (2)
0.0151 (3)
0.0245 (3)
0.00368 (19)
0.0050 (2)
0.0100 (2)
Rh1
0.00837 (9)
0.00896 (9)
0.00903 (9)
0.00087 (6)
0.00293 (6)
0.00200 (6)
Geometric parameters (Å, º)
C1—N1
1.331 (3)
C7—H7
0.98
C1—N2
1.342 (3)
C8—C9
1.543 (3)
C1—S1
1.732 (2)
C8—H8A
0.97
C2—N1
1.469 (3)
C8—H8B
0.97
C2—C3
1.518 (3)
C9—C10
1.519 (3) Atomic displacement parameters (Å2) Geometric parameters (Å, º)
C1—N1
1.331 (3)
C7—H7
0.98
C1—N2
1.342 (3)
C8—C9
1.543 (3)
C1—S1
1.732 (2)
C8—H8A
0.97
C2—N1
1.469 (3)
C8—H8B
0.97
C2—C3
1.518 (3)
C9—C10
1.519 (3) supporting information supporting information supporting information C2—H2A
0.97
C9—H9A
0.97
C2—H2B
0.97
C9—H9B
0.97
C3—H3A
0.96
C10—C11
1.411 (3)
C3—H3B
0.96
C10—Rh1
2.120 (2)
C3—H3C
0.96
C10—H10
0.98
C4—N2
1.466 (3)
C11—C12
1.530 (3)
C4—C5
1.526 (3)
C11—Rh1
2.130 (2)
C4—H4A
0.97
C11—H11
0.98
C4—H4B
0.97
C12—C13
1.543 (3)
C5—H5A
0.96
C12—H12A
0.97
C5—H5B
0.96
C12—H12B
0.97
C5—H5C
0.96
C13—H13A
0.97
C6—C7
1.401 (3)
C13—H13B
0.97
C6—C13
1.514 (3)
N1—H1
0.86
C6—Rh1
2.149 (2)
N2—H2
0.86
C6—H6
0.98
S1—Rh1
2.4026 (10)
C7—C8
1.525 (3)
Cl1—Rh1
2.4111 (11)
C7—Rh1
2.160 (2)
N1—C1—N2
118.06 (18)
C8—C9—H9B
109
N1—C1—S1
122.42 (16)
H9A—C9—H9B
107.8
N2—C1—S1
119.52 (16)
C11—C10—C9
124.75 (19)
N1—C2—C3
109.49 (17)
C11—C10—Rh1
71.01 (12)
N1—C2—H2A
109.8
C9—C10—Rh1
110.88 (14)
C3—C2—H2A
109.8
C11—C10—H10
114.1
N1—C2—H2B
109.8
C9—C10—H10
114.1
C3—C2—H2B
109.8
Rh1—C10—H10
114.1
H2A—C2—H2B
108.2
C10—C11—C12
123.07 (19)
C2—C3—H3A
109.5
C10—C11—Rh1
70.20 (12)
C2—C3—H3B
109.5
C12—C11—Rh1
114.30 (15)
H3A—C3—H3B
109.5
C10—C11—H11
114
C2—C3—H3C
109.5
C12—C11—H11
114
H3A—C3—H3C
109.5
Rh1—C11—H11
114
H3B—C3—H3C
109.5
C11—C12—C13
112.13 (18)
N2—C4—C5
108.76 (17)
C11—C12—H12A
109.2
N2—C4—H4A
109.9
C13—C12—H12A
109.2
C5—C4—H4A
109.9
C11—C12—H12B
109.2
N2—C4—H4B
109.9
C13—C12—H12B
109.2
C5—C4—H4B
109.9
H12A—C12—H12B
107.9
H4A—C4—H4B
108.3
C6—C13—C12
112.96 (18)
C4—C5—H5A
109.5
C6—C13—H13A
109
C4—C5—H5B
109.5
C12—C13—H13A
109
H5A—C5—H5B
109.5
C6—C13—H13B
109
C4—C5—H5C
109.5
C12—C13—H13B
109
H5A—C5—H5C
109.5
H13A—C13—H13B
107.8
H5B—C5—H5C
109.5
C1—N1—C2
123.97 (17)
C7—C6—C13
124.7 (2)
C1—N1—H1
118
C7—C6—Rh1
71.44 (12)
C2—N1—H1
118 Acta Cryst. (2010). E66, m1368 sup-6 supporting information supporting information pp
g
C13—C6—Rh1
111.45 (15)
C1—N2—C4
125.27 (17)
C7—C6—H6
113.9
C1—N2—H2
117.4
C13—C6—H6
113.9
C4—N2—H2
117.4
Rh1—C6—H6
113.9
C1—S1—Rh1
115.00 (8)
C6—C7—C8
122.7 (2)
C10—Rh1—C11
38.78 (8)
C6—C7—Rh1
70.61 (12)
C10—Rh1—C6
97.75 (8)
C8—C7—Rh1
112.66 (14)
C11—Rh1—C6
81.39 (9)
C6—C7—H7
114.4
C10—Rh1—C7
82.10 (8)
C8—C7—H7
114.4
C11—Rh1—C7
90.31 (9)
Rh1—C7—H7
114.4
C6—Rh1—C7
37.95 (8)
C7—C8—C9
112.29 (17)
C10—Rh1—S1
83.28 (6)
C7—C8—H8A
109.1
C11—Rh1—S1
89.52 (7)
C9—C8—H8A
109.1
C6—Rh1—S1
163.50 (6)
C7—C8—H8B
109.1
C7—Rh1—S1
156.79 (6)
C9—C8—H8B
109.1
C10—Rh1—Cl1
159.79 (6)
H8A—C8—H8B
107.9
C11—Rh1—Cl1
160.89 (6)
C10—C9—C8
113.14 (18)
C6—Rh1—Cl1
87.71 (7)
C10—C9—H9A
109
C7—Rh1—Cl1
90.67 (6)
C8—C9—H9A
109
S1—Rh1—Cl1
96.98 (3)
C10—C9—H9B
109
C13—C6—C7—C8
1.3 (3)
C12—C11—Rh1—C10
−118.3 (2)
Rh1—C6—C7—C8
105.03 (19)
C10—C11—Rh1—C6
113.96 (14)
C13—C6—C7—Rh1
−103.7 (2)
C12—C11—Rh1—C6
−4.32 (16)
C6—C7—C8—C9
−92.6 (2)
C10—C11—Rh1—C7
76.94 (13)
Rh1—C7—C8—C9
−11.7 (2)
C12—C11—Rh1—C7
−41.35 (16)
C7—C8—C9—C10
29.4 (3)
C10—C11—Rh1—S1
−79.85 (12)
C8—C9—C10—C11
47.8 (3)
C12—C11—Rh1—S1
161.87 (15)
C8—C9—C10—Rh1
−33.1 (2)
C10—C11—Rh1—Cl1
169.87 (14)
C9—C10—C11—C12
4.0 (3)
C12—C11—Rh1—Cl1
51.6 (3)
Rh1—C10—C11—C12
106.7 (2)
C7—C6—Rh1—C10
−66.43 (14)
C9—C10—C11—Rh1
−102.7 (2)
C13—C6—Rh1—C10
54.45 (16)
C10—C11—C12—C13
−92.5 (3)
C7—C6—Rh1—C11
−101.71 (14)
Rh1—C11—C12—C13
−11.1 (2)
C13—C6—Rh1—C11
19.17 (15)
C7—C6—C13—C12
50.9 (3)
C13—C6—Rh1—C7
120.9 (2)
Rh1—C6—C13—C12
−30.8 (2)
C7—C6—Rh1—S1
−158.94 (17)
C11—C12—C13—C6
27.4 (3)
C13—C6—Rh1—S1
−38.1 (3)
N2—C1—N1—C2
4.4 (3)
C7—C6—Rh1—Cl1
94.03 (13)
S1—C1—N1—C2
−175.86 (15)
C13—C6—Rh1—Cl1
−145.09 (15)
C3—C2—N1—C1
174.37 (18)
C6—C7—Rh1—C10
113.53 (14)
N1—C1—N2—C4
178.38 (18)
C8—C7—Rh1—C10
−4.79 (15)
S1—C1—N2—C4
−1.3 (3)
C6—C7—Rh1—C11
75.50 (14)
C5—C4—N2—C1
166.75 (19)
C8—C7—Rh1—C11
−42.81 (16)
N1—C1—S1—Rh1
−9.74 (19)
C8—C7—Rh1—C6
−118.3 (2)
N2—C1—S1—Rh1
169.97 (13)
C6—C7—Rh1—S1
164.99 (12)
C9—C10—Rh1—C11
120.9 (2)
C8—C7—Rh1—S1
46.7 (2)
C11—C10—Rh1—C6
−65.76 (14)
C6—C7—Rh1—Cl1
−85.41 (13)
C9—C10—Rh1—C6
55.16 (16)
C8—C7—Rh1—Cl1
156.27 (15) sup-7 Acta Cryst. (2010). E66, m1368 supporting information
C11—C10—Rh1—C7
−100.44 (14)
C1—S1—Rh1—C10
−160.61 (10)
C9—C10—Rh1—C7
20.48 (15)
C1—S1—Rh1—C11
−122.23 (10)
C11—C10—Rh1—S1
97.64 (13)
C1—S1—Rh1—C6
−66.0 (2)
C9—C10—Rh1—S1
−141.43 (15)
C1—S1—Rh1—C7
148.12 (16)
C11—C10—Rh1—Cl1
−170.40 (13)
C1—S1—Rh1—Cl1
39.75 (8)
C9—C10—Rh1—Cl1
−49.5 (3)
Hydrogen-bond geometry (Å, º)
D—H···A
D—H
H···A
D···A
D—H···A
N1—H1···Cl1
0.86
2.39
3.152 (3)
148
N2—H2···Cl1i
0.86
2.89
3.356 (3)
116
Symmetry code: (i) x+1, y, z. supporting information C11—C10—Rh1—C7
−100.44 (14)
C1—S1—Rh1—C10
−160.61 (10)
C9—C10—Rh1—C7
20.48 (15)
C1—S1—Rh1—C11
−122.23 (10)
C11—C10—Rh1—S1
97.64 (13)
C1—S1—Rh1—C6
−66.0 (2)
C9—C10—Rh1—S1
−141.43 (15)
C1—S1—Rh1—C7
148.12 (16)
C11—C10—Rh1—Cl1
−170.40 (13)
C1—S1—Rh1—Cl1
39.75 (8)
C9—C10—Rh1—Cl1
−49.5 (3) Hydrogen-bond geometry (Å, º)
D—H···A
D—H
H···A
D···A
D—H···A
N1—H1···Cl1
0.86
2.39
3.152 (3)
148
N2—H2···Cl1i
0.86
2.89
3.356 (3)
116
Symmetry code: (i) x+1, y, z. sup-8 sup-8 Acta Cryst. (2010). supporting information E66, m1368
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Stool as a novel biomarker for arsenic exposure through diet: a case-control study in a West Bengal population
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Stool as a novel biomarker for arsenic exposure
through diet: a case-control study in a West Bengal
population Soma Ghosh Soma Ghosh Research Article License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. d
ll License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Page 1/27 Page 2/27 Abstract Geogenic groundwater arsenic (As) contamination is a persistent health threat in the district of Nadia,
West Bengal India. Despite provision of safe piped water, local populations in these areas are still
exposed to As through diet as the cultivation is majorly dependent on As contaminated shallow
groundwater causing significant As accumulation in agricultural foodstuffs. Although urine is an
established biomarker for As exposure through drinking water yet, it does not reflect the actual exposure
through diet. Hence, stool-As concentration of exposed population should be evaluated to assess the true
exposure through diet. The present case-control study evaluates As concentration in stool samples of
exposed (n = 24) and unexposed (n = 36) populations. Average stool-As concentration found was 234 ±
207 µg/kg in exposed population while only 66 ± 22 µg/kg in control samples; comparable to those of
urine samples of case and control; respectively. Positive Pearson correlation and a significant difference
of variance through ANOVA (p = 0.01; Fcrit= 1.65) among stool-As, urine-As, groundwater-As, age and BMI
found for case samples indicate that stool also presents comparable and measurable As concentrations
upon exposure. Mann-Whitney U test confirms that random values of stool-As in case samples varied
significantly (p < 0.001) than those of control samples. Besides, multi-metal analysis of stool digest
indicated that stool-As correlated negatively with most of the metals in case and positively with control
samples. These observations along with ease of collection and detection due to higher concentration in
the matrix, suggest that stool may act as a decisive biomarker of As exposure through diet. To the best of
our knowledge, this is a pioneering study to establish stool as a reliable and significant biomarker for
assessing As exposure as limited investigations exist focused on human faecal samples on long term
naturally exposed adult human population. 1. Introduction Arsenic (As), classified as a group V toxic metalloid, is recognized as a potent carcinogen, posing various
carcinogenic and non-carcinogenic health risks to populations (IARC, 2012). Geogenic As contamination
in groundwater has been majorly documented from India, Bangladesh and other South East Asian
countries along with few countries of Latin America and Europe as well (Bhowmick et al., 2013; Podgorski
and Berg, 2020). Arsenic concentration above 10 µg/L has been considered as an unsafe limit in drinking
water by WHO (WHO, 2011). Naturally occurring As in sediments and their continuous mobilization into
the aqueous phase causes groundwater contamination in the Ganga Brahmaputra Meghna (GBM) delta
plain in India (Bhowmick et al., 2013; Ghosh and Sar, 2019). The dimension of the As devastation caused
in West Bengal, India and Bangladesh was so high that WHO (2001) termed it as the “biggest natural As
calamity in the world” (Rana et al., 2012). Nine districts covering seventy-five blocks in West Bengal, India,
with an As exposed population of 10.9 million people in an area of 38,865 km2, have been reported as
severely affected (PHED, 2020). Arsenic exposure through groundwater has been known to be the primary
source of exposure in the last three decades (Bhowmick et al., 2018; Chatterjee et al., 2010). However,
higher levels of awareness campaigns coupled with installations of As removal technologies in some of
the affected areas of West Bengal, have somewhat lessened the impacts of As toxicity. Treated piped Page 3/27 Page 3/27 water has been supplied to the locales in villages of As endemic regions in West Bengal for the last 6–7 y
and hence, exposure through drinking of groundwater has been partially minimized (Mazumder et al.,
2014). Although several educational and awareness efforts are being taken and provision of treated
piped water are being made available in these endemic regions, yet it might be apprehended that not all
rural populations drink water from piped water sources, as intended and still partially depend on
groundwater for daily consumption. Moreover, this highly contaminated groundwater (As > 50 ug/L) is
continuously being used for irrigational purposes and other household activities (such as cooking)
(Halder et al., 2014). Crops and cereals growing in the agricultural fields of these endemic regions are
loaded with high As concentrations as reported by previous studies (Chowdhury et al., 2018; Rahaman et
al., 2022). 1. Introduction Hence, mounting evidences indicate that diet is now considered as another major source of As
exposure (Biswas et al., 2021; Chowdhury et al., 2020; Halder et al., 2013). The primary source of As
exposure still remains obscure as few studies have reported that drinking As contaminated water could
be the major source of exposure despite consuming of As contaminated foodstuffs (Chung et al., 2014;
van Geen and Duxbury, 2009). However, other studies have established diet to be the primary source of
exposure when As concentration in drinking water is considerably low (Halder et al., 2013; Nachman et al.,
2017). Mazumder et al. (2014) documented significant positive correlation of urinary As with daily As
intake from water and diet for people consuming water tainting As < 50µg/L. Simultaneously they found
no correlation and positive correlation of urinary As with As intake from water and diet, respectively for
people consuming water with As below 10 µg/L suggesting that dietary As is a potential pathway of As
exposure. Moreover, urinary As showed more significant positive correlation with As exposed people with
skin lesion than without skin lesion. Hence, certainly it is indisputable that the exposure to As through
dietary sources constitutes a significant route for any given population and thus, reevaluation of the
definitive biomarkers for assessing As exposure is highly warranted. Among the established biomarkers, blood As has been known to be reflective of As exposure as it bears a
strong correlation with the amount of ingested As (Hall et al., 2006). However, due to extremely low blood
As concentrations, difficulty in sample availability and As detection using regular analytical instruments
(such as atomic absorption spectrophotometric techniques), short half-life of As in blood and invasive
nature of sample collection, makes it a less used biomarker for As-based epidemiological studies. Urinary
As has been a very well established biomarker of As as it provides evidence of recent exposure since As is
rapidly metabolized and excreted through urine (Buekers et al., 2023; Chung et al., 2014). Besides these
markers, human hair and toe nail act as reliable biomarkers for As exposure and micronuclei assay has
been considered as a biomarker of effect (Marchiset-Ferlay et al., 2012). 1. Introduction However, given the recurrent
establishment of diet as a significant contributor to As exposure, it would be reasonable to assess the
excretion of As through human faecal sample to determine whether it can provide more insights into As
exposure. The gut microflora is known to harbour trillions of bacteria composed of a very complex
community with several of them having As metabolizing abilities which can potentially biotransform the
ingested inorganic As through diet (Luo et al., 2023). There have been studies that have shown As
excretion through faecal route in animal subjects such as in naturally exposed goat, cow and
experimentally exposed mice (Das et al., 2021; Luo et al., 2023; Patra et al., 2012; Rana et al., 2012). Page 4/27 Page 4/27 However, till date no investigation has been performed on human faecal samples on long-term naturally
exposed adult human population from As endemic regions to substantiate whether stool may be
considered as a critical biomarker even when exposure through drinking water is minimized. However, till date no investigation has been performed on human faecal samples on long-term naturally
exposed adult human population from As endemic regions to substantiate whether stool may be
considered as a critical biomarker even when exposure through drinking water is minimized. Hence, in the present study, we aimed at determining adult human faecal As concentrations from As
endemic and non-endemic regions of West Bengal through a case-control study and evaluated their
correlation with several confounding factors for demonstrating human stool as a reliable and decisive
biomarker of As exposure. The overarching objective of this study was to assess the viability of fecal
matter as a reflective indicator of As intake, especially through diet and serve as a viable means for
biomonitoring As exposure. To the best of our knowledge, this represents the first report of adult human
fecal As concentration being regarded as a potential and conclusive biomarker for populations exposed
to As. 2.2 Experimental Study In this study, 60 subjects (24 subjects from exposed area and 36 from unexposed area) with male and
female genders in the age range of 28–60 y were randomly chosen among 150 subjects registered from
both endemic and non-endemic zones. Information regarding diet preference, health status and use of
any possible antibiotics or other medications was obtained from the questionnaire survey. Height and
weight of the subjects were recorded to calculate their BMI. Use of any antibiotic within 15 days was a
compulsive exclusion criterion maintained for this study as it could have deleterious effect on the gut
microbiome: thus, upsetting As metabolism in the gut (Dahiya and Nigam, 2023). 2.1 Location and plan of sample collection: Nadia and Paschim Medinipore districts of West Bengal, India were chosen as the As endemic and non-
endemic area, respectively for the present study based on several survey studies previously reported by
our research group (Biswas et al., 2021; Das et al., 2021a; Das et al., 2021b; Joardar et al., 2021; Joardar
et al., 2022). In particular, residents of Kadambagachhi, Dakshin Panchpota and Haringhata village of
Chakdaha block of Nadia district were considered as cases, while control subjects were from Solatutbar,
Kharkushma, Taldanga, Manglapota village of Garhbeta-1 block, Paschim Medinipore. Subject for the
present study was recruited by organizing survey health camps at block level with necessary permission
from responsible authorities. Each batch of subject recruitment and sample collection was done based
on a 3-day programme and was planned as follows: Day1: Field sensitization of the local population with the help of ground level health workers explaining
the impacts of long-term effects of As exposure and identifying potentially impacted patients Day 2: Organization of a health camp where participants were diagnosed by experienced physician for As
induced skin lesions and registered as cases or controls (without skin lesions). The selection criteria for
the study were that the subject must have resided in the area for last 10–15 y, age range between 18–60
y, and preferably one subject from a family. The objective of the study were explained to each of the
participants and after obtaining written consent for their voluntary participation, stool collection
procedure was verbally demonstrated and the stool collection kit was distributed among the selected
subjects. Day 3: The field team visited the residence of each of the selected participants. A short questionnaire
survey was conducted and stool and spot urine samples, along with groundwater samples from
tubewells were collected from the households. Page 5/27 2.3 Sample collection Registered subjects were provided with a stool collection kit containing a sterile stool collecting vial
(Himedia) and a sterilized autoclavable plastic sheet that has to be spread on the toilet floor of the
participant on the day of collection. The participants were requested to defaecate on the sterile sheet and
collect an aliquot of the stool in the collecting vial, and store it in a dark and cool place. The stored stool
samples were collected by the field team from individual residences and immediately stored in iceboxes
until transferred to laboratory to be stored at -20oC. Spot urine samples was collected in acid washed
polypropylene bottles, and was transported in ice box from field to laboratory and stored at -20oC until
analysis. Groundwater from tubewells located inside the participant’s house premises were also collected
in acid washed polypropylene bottles and was preserved at 4oC. Both urine and groundwater were
acidified in the field with 0.1% HNO3 (pH < 2) (Biswas et al., 2021). 2.6 Statistical analysis The data was statistically interpreted using MS Excel, PAST 3 and online available software
https://www.statskingdom.com/170median_mann_whitney.html for Mann-Whitney U test or rank sum
test. Descriptive analysis of the data on the basis of gender within case and control samples was
performed using Data Analysis package of MS Excel. Correlation, Principal Component Analysis and
ANOVA analysis among As concentrations of groundwater, urine and stool samples were performed
using PAST 3. 2.5 Quality control and assurance The analytical accuracy and precision of the work was performed by estimating As content in SRM
(standard reference material). For the stool samples, the SRM used in this study was River Sediment
1645 (NBS, Washington, DC 20234) and was prepared following the identical procedure as that of the
stool samples. Analysis of the SRM showed 99 to 103% recovery against the certified value of 66 mg/kg. Quality control of the work was also performed by careful standardization of instrument, duplicate
sample analysis and recovery estimation of spiked digested samples. The detailed information regarding
analysis and recovery of As in SRM samples was described in our earlier publications (Chowdhury et al.,
2018; Das et al., 2021b). In case of drinking water and urine analysis, drinking water SRM (NIST SRM 1640a) and spiked urine
samples were used for quality assurance. The detailed quality control procedure adopted has been
described in our previous report (Biswas et al., 2021). 2.4 Sample preparation and As estimation Frozen stool samples were thawed to room temperature and aliquoted on pre-labelled sterile petri-dishes
aseptically within a laminar air-flow unit. The sample containing petri dishes were covered and allowed
for drying under sunlight to remove the moisture content of the stool samples. The petri plates were
exposed to sunlight for 6 hours a day for 5 days continuously and were then sealed with a parafilm to
prevent further moisture contamination. The solid dried stool samples were acid digested in hot-plate
using HNO3 and H2O2. About 0.1–0.8 g of dried stool samples were mixed in a solution of concentrated
HNO3 (69%) and H2O2 (30% v/v) in a ratio of 2:1 and digested at 90° C for 1 h on a hot plate. The volume
of acid-digested solution was reduced by evaporating, finally made up to a volume of 4 ml with double
distilled water and filtered using a filter paper (Whatman 42) and stored until total As estimation. The
detailed information reading the digestion methodology has been described in Joardar et al. (2021). The
acid digested stool samples were analyzed for As in Hydride Generation Atomic Absorption
Spectrophotometry (HG-AAS). The estimation of As concentration in the stool were performed using the
digestion facility and HG-AAS instrument available at School of Environmental Studies, Jadavpur
University. The description of HG-AAS instrument and the sample preparation and methodology for As
analysis has been detailed in earlier publications (Das et al., 2021a; Joardar et al., 2022). Page 6/27 Acidifed urine and groundwater samples were thawed to room temperature and filter sterilized through
0.2µ PTFE membrane filters (Whatmann). The samples were further diluted and prepared following the
methodology mentioned in Biswas et al. (2021) and analysed using inductively coupled plasma mass
spectrometry (ICP-MS, Perkin Elmer, NexION 300X) available in CSIR- NEERI, Nagpur. 2.7 Institutional ethical approval The ethics committee of CSIR- National Environmental Engineering Research Institute approved the study
under the Ref. No. Eth.Com./002/IEC/EISD/05/2019 dated 07-05-2019. 3.2 Arsenic concentration in urine and stool samples The results obtained in this study indicated that the average As concentration in stool samples of
enrolled subjects as case was 234 ± 207 µg/kg whereas those as control was 66 ± 23 µg/kg. Mean
urinary As was also found to be approximately 200 fold higher in case i.e. 142 ± 109 µg/L as compared to
control i.e. 0.61 ± 0.43 µg/L (Table 1). Figure 1 shows the concentration of As in stool and urine samples
collected from each subject enrolled as case or control plotted against the concentration of As in
groundwater samples to which they are exposed. Concentration of As detected in stool samples is
comparable to that in respective urine samples in majority of the subjects irrespective of their enrolment
as case or control. Thus, the low As content in drinking water juxtaposed with the relatively high
concentration of urinary As in cases suggests that the populations in As affected areas continue to be
exposed to As through diet (Biswas et al., 2021). Categorizing the As levels, our results shows that the mean As concentration in urine of male and female
subjects for cases was 145 ± 121 and 139 ± 98 µg/L, respectively and that in stool was 240 ± 222 µg/kg
and 226 ± 197 µg/kg, respectively. In case of control, the mean urinary As concentration for male and
female subjects were found to be 0.77 ± 0.45 µg/L and 0.58 ± 0.43 µg/L, respectively, whereas, that of
stool was found to be 70 ± 25.21 and 65 ± 22 µg/kg, respectively (Table 2). The As concentration in stool
and urine of males were found to be consistently higher than that of females, irrespective of level of
exposure or the sample investigated. This may be attributed to the higher intake of food and water by
males than females. It is interesting to note that the average As concentration in stool and urine for control populations were
comparable in both the age group, i.e. 71 ± 25 µg/kg and 57 ± 13 µg/kg for control stool samples and
0.58 ± 0.45 µg/L and 0.68 ± 0.42 µg/L for control urine samples. 3.1 Demographic details: A total of 24 subjects from case and 36 subjects from control were selected randomly among 150
subjects. The basic characteristics of the study population are shown in Table 1. Cases comprised of 13
males and 11 female members whereas, control subjects included 7 male and 29 female subjects. The
majority i.e. 88% of the members of cases was within normal BMI range and the remaining (12%) had
BMI below 18. None of the cases showed BMI above 25. Among the control subjects, 58% showed BMI
within 18–25, 14% below 18 and around 28% of them had BMI above 25. Although groundwater of the Page 7/27 exposed area was found to be highly contaminated with As with average As concentration of 154.68
µg/L, while sampling it could be noted that the usage of such groundwater by the participants was
occasional and the villagers mostly relied upon piped water for drinking purposes. The average
concentration of As found in water samples collected from control sites was 1.61 µg/L (Table 1). The
subjects among case and control were divided into age range of 28–44 y and 45–60 y. The number of
subjects enrolled as control in the age group 28–44 y was 23 and 45–60 y was 13; whereas case
subjects counted 8 and 16 in the same age group, respectively (Table 2). 3.2 Arsenic concentration in urine and stool samples On the contrary, average As
concentration in the biological specimen of exposed populations was found to be considerably high in
the older age range of 45–60 y i.e 266 ± 237 µg/kg and 168 ± 149 µg/L in stool and urine samples,
respectively as compared to that of the age range 28–44 y i.e. 171 ± 118 µg/kg and 91 ± 59 µg/L,
respectively (Table 2). This can be attributed to the higher education levels and increased As awareness
among the younger populations compared to older individuals who exhibit a greater propensity towards
habitual use of As tainted water for both drinking and cooking purposes. Pearson correlation analysis among various parameters such as As concentration of stool, urine and
groundwater with age and BMI indicated a positive correlation of stool As with urinary As (r = 0.52); Page 8/27 Page 8/27 groundwater As (r = 0.19); age (r = 0.18) and BMI (r = 0.24) for exposed populations (Table 3). However, for
control samples, only groundwater As concentration showed positive correlation (r = 0.25) with stool As
concentration whereas, no correlation could be established for stool As concentration with urinary As (r =
0.00), and a negative correlation with age (r= -0.27) and BMI (r= -0.27) were found. A two-way ANOVA was performed to compare the effect of stool As concentration as the dependent
variable and, urinary and groundwater As concentration along with age and BMI as the independent
variables for both case (n = 24) and control (n = 36). An ANOVA test for the parameters (i.e stool As,
urinary As, groundwater As, age and BMI) tested for case and control populations showed a P value of
0.00 with Fcrit= 2.47 and 2.44, respectively at α = 0.05, indicating that there is a statistically significant
difference between stool As concentration and urinary As, groundwater As, age and BMI for both case
and control samples. Notably, significant difference was found among the members of the case group
when the individual stool, urine, groundwater As and age and BMI were compared statistically through a
two-way ANOVA (p = 0.01; Fcrit= 1.65); however no such significant difference exists in the control group
(p = 0.93, Fcrit= 1.51) (Table 3). Mann-Whitney U test was also performed with the stool As concentration of both case and control
subjects including the outlier values (Table 4). 3.2 Arsenic concentration in urine and stool samples The P- value was found to be < 0.001 which clearly
suggested that the randomly selected value for the case population was significantly different compared
to the randomly selected value of the control population. The median stool As value for the case
population was 173 µg/kg whereas, that for control population was 63 µg/kg. The standardized effect
size is 0.51 which is considered to be large and indicates that the magnitude of difference between case
and control is large. The observed common language effect size is 0.81 which indicates that the
probability of stool As value for case is greater than that of a control population (Bilici et al., 2021). Thus,
the Mann-Whitney U test and the two-way ANOVA test proves significant differences in the As
concentration levels of stool samples for populations from As endemic and non-endemic areas,
respectively. Such results along with significant correlation of urinary and stool As for cases implies that
population exposed to As have higher As levels in their excreted stool and thus, can be a reflection of an
individual As exposure. 3.3 Multi-metal analysis of stool digested samples On the contrary, As had a little positive impact on the major component for control
samples, respectively. For control subjects, Fe along with Zn and Cu were the strongest regulators of the
major component of PCA. This clearly shows that As in stool digests of cases is significantly different
from that of control. 3.3 Multi-metal analysis of stool digested samples Multi-metal estimation for Cu, Cr, Zn, Pb, Cd, Ni, Fe, and As (case = 22 and control = 36) detected available
concentrations of these heavy metals in the stool digest samples through ICP-OES. Average
concentration of Cu, Cr, Zn, Pb, Cd, Ni and Fe were found to be 9.61 ± 6.78, 1.08 ± 0.80, 63.84 ± 34.96, 0.37
± 0.38, 0.14 ± 0.14, 2.60 ± 1.62 and 105.10 ± 80.18 mg/kg, respectively for control samples whereas, 6.57
± 2.88, 0.8 ± 0.45, 28.09 ± 14.73, 0.04 ± 0.25, 0.04 ± 0.04, 0.72 ± 0.38, 87.97 ± 81.22 mg/kg, respectively, in
case samples (Table 5). Pearson correlation analysis among the multi-metals detected in stool digest samples of case and
control i.e. Cu, Cr, Zn, Pb, Cd, Ni, Fe and As indicated that As bears the minimum correlation with other
heavy metals detected both in case and control subjects. However, the correlation is found to be mostly Page 9/27 Page 9/27 negative in case samples and weakly positive for control samples, except for Cd (rcase = 0.07 and rcontrol =
-0.05), respectively (Fig. 2). Among other metals, a strong positive correlation was found for Cu with Cr (r
= 0.61), Zn (r = 0.67), Ni (r = 0.65); Cr with Fe (r = 0.82) and Zn with Ni (r = 0.77). Other metals showed a
weak to moderately positive correlation among themselves with r values ranging within 0.14–0.51. In
control subjects, correlation was found to be strongly positive for Cu with Zn (r = 0.96), Cd (r = 0.73), Ni (r
= 0.84), Fe (r = 0.79); Zn with Cd (r = 0.71), Ni (r = 0.83), Fe (r = 0.75) and Cd with Ni (r = 0.73). Correlations
among rest of the metals was found to be moderately to weakly positive with r in the range of 0.12–0.54. Principal component analysis (Fig. 3) of the multi-metal concentrations of the stool digested samples
were performed for both case and control samples. The plot explains a variance of 96.75% in case
subjects and 90.602% in control subjects with a maximum positive and negative variance of Zn and Fe,
respectively, with respect to component 1 in both case and control subjects. However, for case subjects,
variance of both Zn and Fe with respect to As concentration was found to be highly reduced as compared
to control samples. 3.3 Multi-metal analysis of stool digested samples The loadings plot based on correlation for case/ exposed subjects revealed a
negative impact of As and Pb on the major component of PCA whereas, Cu, Cr, Zn, Pb, Cd, Ni and Fe had
a positive impact. In case of exposed subjects, Fe and Cr are the strongest positive contributors of the
major component. On the contrary, As had a little positive impact on the major component for control
samples, respectively. For control subjects, Fe along with Zn and Cu were the strongest regulators of the
major component of PCA. This clearly shows that As in stool digests of cases is significantly different
from that of control. negative in case samples and weakly positive for control samples, except for Cd (rcase = 0.07 and rcontrol =
-0.05), respectively (Fig. 2). Among other metals, a strong positive correlation was found for Cu with Cr (r
= 0.61), Zn (r = 0.67), Ni (r = 0.65); Cr with Fe (r = 0.82) and Zn with Ni (r = 0.77). Other metals showed a
weak to moderately positive correlation among themselves with r values ranging within 0.14–0.51. In
control subjects, correlation was found to be strongly positive for Cu with Zn (r = 0.96), Cd (r = 0.73), Ni (r
= 0.84), Fe (r = 0.79); Zn with Cd (r = 0.71), Ni (r = 0.83), Fe (r = 0.75) and Cd with Ni (r = 0.73). Correlations
among rest of the metals was found to be moderately to weakly positive with r in the range of 0.12–0.54. Principal component analysis (Fig. 3) of the multi-metal concentrations of the stool digested samples
were performed for both case and control samples. The plot explains a variance of 96.75% in case
subjects and 90.602% in control subjects with a maximum positive and negative variance of Zn and Fe,
respectively, with respect to component 1 in both case and control subjects. However, for case subjects,
variance of both Zn and Fe with respect to As concentration was found to be highly reduced as compared
to control samples. The loadings plot based on correlation for case/ exposed subjects revealed a
negative impact of As and Pb on the major component of PCA whereas, Cu, Cr, Zn, Pb, Cd, Ni and Fe had
a positive impact. In case of exposed subjects, Fe and Cr are the strongest positive contributors of the
major component. 4. Discussion Hair and nails have also been used as biomarkers of past As exposure as adsorbed As accumulates in
such keratin-rich biological tissues and also, because of having an added advantage of non-invasive
collection process (Katz, 2019; Rasheed et al., 2019; Rehman et al., 2019; Signes-Pastor et al., 2021). The present study has been performed with an aim to investigate whether human stool may act as a
reliable biomarker for As exposure, especially through diet. For this, subjects from district of Nadia were
considered as case and Medinipore as control based on the observations of Mondal et al., 2010 who
documented higher As exposure through cooked rice in the districts of Nadia (0.50 µg/kg/d) and
Murshidabad (0.84 µg/kg/d) as compared to less or negative exposure in Medinipore (0.30 µg/kg/d). We
also calculated a tentative ADD and HQ for population of Nadia and Murshidabad based on the previous
observations by our group Biswas et al., 2021 and obtained an average HQ of 2.23 and 0.38, respectively
(Supplementary Table 1). This observation is corroborated by Joardar et al., 2023 who also found an HQ
> 1 in the exposed population of Gaighata. An HQ of less than 1 is considered to be acceptable (Bleam,
2016). Hence, the HQ for exposed population is much higher than the acceptable limit which establishes
the fact that the case population is severely exposed to As through diet. Hence, considering stool besides
urine as a biomarker of As exposure needs attention. Arsenic exposure through contaminated groundwater in Nadia district of West Bengal, India has already
been well studied and documented (Bhowmick et al., 2018). As a precautionary measure, most of the
villages has been provided with As free piped water since last 5–8 y. Piped water in these areas have
been reported to have As concentrations in the range of 0.2 µg/L to 8.3 µg/L, which is far below the WHO
permissible limit i.e 10 µg/L (Biswas et al., 2021). Hence, acute exposure through groundwater has been
minimized however, the local people continue to use groundwater for cooking and other daily household
purposes (Halder et al., 2014; Biswas et al., 2021). As a result, a complex scenario has now been shaped
where the population is still exposed to As but through diet. There has been several studies that have
documented elevated concentrations of As in local food stuff, such as rice, pulses, vegetables etc. 4. Discussion More than 200 million people in 108 countries worldwide are at risk of As poisoning mostly through
groundwater contamination (Shaji et al., 2021). Among the Asian nations, India has experienced the
greatest impact of As crisis, with a population exceeding 70.4 million people facing the risk of As
poisoning (Chakraborti et al., 2016). Apart from groundwater, entry of As into the food chain also poses a
significant risk to humans and ecological systems (Chen et al., 2009; Biswas et al., 2021; Halder et al.,
2013). Groundwater As contamination in the state of West Bengal in India has been investigated by
several researchers and an estimated 26 million people could be at risk of As toxicity (Chakraborty et al.,
2009; Bhowmick et al., 2018). Various biomarkers have been used to assess As exposure in the humans. Among the biomarkers of
exposure, effect and susceptibility, biomarkers of exposure have received the maximum amount of
attention (Marchiset-Ferlay et al., 2012). Despite having a short half-life of 39–59 hours (Buchet et al.,
1981), urinary As is most commonly used as a biomarker of exposure as it correlates positively with As
intake in exposed populations (Takamaya et al., 2021; Wang et al., 2017; Wei et al., 2017; Zhang et al.,
2020; Rasheed et al., 2019) (Calderon et al., 1999; Hopenhayn-Rich et al. 1996; Buekers et al., 2023). Blood As is not regarded as a reliable biomarker of As exposure as it is cleared from the blood stream
within a few hours after its absorption (Marchiset-Ferlay et al., 2012) and generally has a poor
relationship with low As exposure levels (WHO, 2001). Furthermore, blood poses challenges as a matrix Page 10/27 Page 10/27 for analysis compared to urine, and the collection of blood samples is intricate and invasive in nature. Hair and nails have also been used as biomarkers of past As exposure as adsorbed As accumulates in
such keratin-rich biological tissues and also, because of having an added advantage of non-invasive
collection process (Katz, 2019; Rasheed et al., 2019; Rehman et al., 2019; Signes-Pastor et al., 2021). Significant correlations have been found between As levels in drinking water and hair and nail species in
population-based studies (Rasheed et al., 2019; Kumar et al., 2021; Rivera-Núñez et al., 2012; Normandin
et al., 2014). 4. Discussion However, a major deterrent for using hair and nails as biomarkers is both these biological
specimens have the tendency to accumulate and adsorb As from external sources (Hindmarsh, 2002)
and thus, it might complicate the exposure analysis. Although there have also been studies that have
reported salivary As as a biomarker of As exposure (Bhowmick et al., 2013; 2014); the low As
concentration in saliva has mostly hindered the widespread use of this biological fluid for As
epidemiological studies. Till date, there has only been a handful studies in humans that have reported As
eliminated through the faecal route in normal individuals (Mohri et al., 1990). Studies by Bettley and
O’Shea (1975) and Pomroy et al. (1980) also measured As eliminated through both urine and faeces after
administration of As compounds in human subjects with arsenical carcinoma and healthy volunteers. for analysis compared to urine, and the collection of blood samples is intricate and invasive in nature. Hair and nails have also been used as biomarkers of past As exposure as adsorbed As accumulates in
such keratin-rich biological tissues and also, because of having an added advantage of non-invasive
collection process (Katz, 2019; Rasheed et al., 2019; Rehman et al., 2019; Signes-Pastor et al., 2021). Significant correlations have been found between As levels in drinking water and hair and nail species in
population-based studies (Rasheed et al., 2019; Kumar et al., 2021; Rivera-Núñez et al., 2012; Normandin
et al., 2014). However, a major deterrent for using hair and nails as biomarkers is both these biological
specimens have the tendency to accumulate and adsorb As from external sources (Hindmarsh, 2002)
and thus, it might complicate the exposure analysis. Although there have also been studies that have
reported salivary As as a biomarker of As exposure (Bhowmick et al., 2013; 2014); the low As
concentration in saliva has mostly hindered the widespread use of this biological fluid for As
epidemiological studies. Till date, there has only been a handful studies in humans that have reported As
eliminated through the faecal route in normal individuals (Mohri et al., 1990). Studies by Bettley and
O’Shea (1975) and Pomroy et al. (1980) also measured As eliminated through both urine and faeces after
administration of As compounds in human subjects with arsenical carcinoma and healthy volunteers. for analysis compared to urine, and the collection of blood samples is intricate and invasive in nature. 4. Discussion However, recently few studies have reported significant As concentrations in excreted faeces of children
suggesting faecal matter could be one of the important excretion route of dietary As (Bilici et al., 2021;
Vega Millan et al., 2021). Till date, the scientific investigation for As in human stool is still very few
although stool could be an important excretion route for several environmental contaminants (Astolfi et
al., 2019; Bilici et al., 2021; Hardy et al., 2023; States et al., 2011; Yi et al., 2020). As for example, Bilici et
al. (2021) have reported decisive levels of As in blood and stool samples of children with functional
gastrointestinal disorder. Karagas et al. (2022) found increased levels of butyrate, propionate, cholate,
tryptophan, asparagine, isoleucine, leucine, malonate, and uracil concentrations in infant fecal samples
with doubling of urinary As concentrations. foodstuffs in their studied population in Nadia district, West Bengal. The study further demonstrated As
exposure by assessing As concentration in urine (ranging between 154 and 276 µg/L), and an overall As
retention of 50–60% was predicted. Our study reports an average of 142 µg/L of urinary As in the case or
exposed population and 0.61 µg/L of urinary As in control or unexposed population which corroborates
well with previous reports from similar study area (Biswas et al., 2021; Joardar et al., 2021). A case-
control study by Guha Mazumdar et al. (2012) reported similar findings with 119.4 µg/L of urinary As in
As exposed populations from Nadia district and 16.71 µg/L in unexposed populations of Hooghly district
of West Bengal. In another study, Vega Millan et al. (2021) reported an elevated urinary As in children of
three Yaqui villages of Sonora, Mexico with average concentration of 79.39 µg/L and found close
associations with altered levels of biomarkers of lung inflammation and negative respiratory outcomes of
serum levels of club cell secretory protein (CC16) and an increase in the expression of matrix
metalloproteinase-9 (MMP-9). However, our investigation regarding excretion of As in human adults
through faecal route revealed an average faecal As concentration of 233.96 ± 207.02 µg/kg for case and
65.9 ± 22.45 µg/kg in control subjects, which has not been reported earlier. Our data corroborates with the
values of As concentration obtained for goat faecal samples (1.283 ± 0.323 mg/kg; n = 30) exposed to As
through drinking water, rice and grass as reported by Rana et al. (2012). 4. Discussion Our data corroborates with the
values of As concentration obtained for goat faecal samples (1.283 ± 0.323 mg/kg; n = 30) exposed to As
through drinking water, rice and grass as reported by Rana et al. (2012). Urine has long been established
as a biomarker for acute As exposure (Choi et al., 2022; Marchiset-Ferlay et al., 2012; WHO 2005). However, recently few studies have reported significant As concentrations in excreted faeces of children
suggesting faecal matter could be one of the important excretion route of dietary As (Bilici et al., 2021;
V
Mill
l 2021) Till d
h
i
ifi i
i
i
f
A i
h
l i
ill
f However, recently few studies have reported significant As concentrations in excreted faeces of children
suggesting faecal matter could be one of the important excretion route of dietary As (Bilici et al., 2021;
Vega Millan et al., 2021). Till date, the scientific investigation for As in human stool is still very few
although stool could be an important excretion route for several environmental contaminants (Astolfi et
al., 2019; Bilici et al., 2021; Hardy et al., 2023; States et al., 2011; Yi et al., 2020). As for example, Bilici et
al. (2021) have reported decisive levels of As in blood and stool samples of children with functional
gastrointestinal disorder. Karagas et al. (2022) found increased levels of butyrate, propionate, cholate,
tryptophan, asparagine, isoleucine, leucine, malonate, and uracil concentrations in infant fecal samples
with doubling of urinary As concentrations. In this study, As level in both urine and stool samples were measured in As exposed and un-exposed
populations. We found higher stool As concentration in exposed population (233.96 ± 207.02 µg/kg)
compared to that of control (65.9 ± 22.45 µg/kg). Similarly, the mean urinary As concentration for the
exposed group (142.43 ± 108.6 µg/L) was also higher than the control subjects (0.61 ± 0.43 µg/L). Our
data shows notable correlations among stool As, urinary As and groundwater As. Like urinary As, stool As
concentration also correlated positively with groundwater As concentrations in both case and control
samples with r = 0.19 and 0.25, respectively. However, urinary As correlated more strongly to groundwater
As than stool As in case samples. This may be due to the fact that urine majorly represents As exposure
through water while stool represents that through diet. However, significant correlation between urinary
and stool As i.e. 4. Discussion (Biswas et al., 2021; Biswas et al., 2012; Mondal et al., 2021; Rana et al., 2012; Samal et al., 2011). Samal
et al. (2011) reported a total intake of 560 µg of As day− 1 by adults and 393 µg day− 1 by children from (Biswas et al., 2021; Biswas et al., 2012; Mondal et al., 2021; Rana et al., 2012; Samal et al., 2011). Samal
et al. (2011) reported a total intake of 560 µg of As day− 1 by adults and 393 µg day− 1 by children from Page 11/27 Page 11/27 foodstuffs in their studied population in Nadia district, West Bengal. The study further demonstrated As
exposure by assessing As concentration in urine (ranging between 154 and 276 µg/L), and an overall As
retention of 50–60% was predicted. Our study reports an average of 142 µg/L of urinary As in the case or
exposed population and 0.61 µg/L of urinary As in control or unexposed population which corroborates
well with previous reports from similar study area (Biswas et al., 2021; Joardar et al., 2021). A case-
control study by Guha Mazumdar et al. (2012) reported similar findings with 119.4 µg/L of urinary As in
As exposed populations from Nadia district and 16.71 µg/L in unexposed populations of Hooghly district
of West Bengal. In another study, Vega Millan et al. (2021) reported an elevated urinary As in children of
three Yaqui villages of Sonora, Mexico with average concentration of 79.39 µg/L and found close
associations with altered levels of biomarkers of lung inflammation and negative respiratory outcomes of
serum levels of club cell secretory protein (CC16) and an increase in the expression of matrix
metalloproteinase-9 (MMP-9). However, our investigation regarding excretion of As in human adults
through faecal route revealed an average faecal As concentration of 233.96 ± 207.02 µg/kg for case and
65.9 ± 22.45 µg/kg in control subjects, which has not been reported earlier. Our data corroborates with the
values of As concentration obtained for goat faecal samples (1.283 ± 0.323 mg/kg; n = 30) exposed to As
through drinking water, rice and grass as reported by Rana et al. (2012). Urine has long been established
as a biomarker for acute As exposure (Choi et al., 2022; Marchiset-Ferlay et al., 2012; WHO 2005). 4. Discussion Urine has long been established
as a biomarker for acute As exposure (Choi et al., 2022; Marchiset-Ferlay et al., 2012; WHO 2005). However, recently few studies have reported significant As concentrations in excreted faeces of children
suggesting faecal matter could be one of the important excretion route of dietary As (Bilici et al., 2021;
Vega Millan et al., 2021). Till date, the scientific investigation for As in human stool is still very few
although stool could be an important excretion route for several environmental contaminants (Astolfi et
al., 2019; Bilici et al., 2021; Hardy et al., 2023; States et al., 2011; Yi et al., 2020). As for example, Bilici et
al. (2021) have reported decisive levels of As in blood and stool samples of children with functional
gastrointestinal disorder. Karagas et al. (2022) found increased levels of butyrate, propionate, cholate,
tryptophan, asparagine, isoleucine, leucine, malonate, and uracil concentrations in infant fecal samples
with doubling of urinary As concentrations. exposure by assessing As concentration in urine (ranging between 154 and 276 µg/L), and an overall As
retention of 50–60% was predicted. Our study reports an average of 142 µg/L of urinary As in the case or
exposed population and 0.61 µg/L of urinary As in control or unexposed population which corroborates
well with previous reports from similar study area (Biswas et al., 2021; Joardar et al., 2021). A case-
control study by Guha Mazumdar et al. (2012) reported similar findings with 119.4 µg/L of urinary As in
As exposed populations from Nadia district and 16.71 µg/L in unexposed populations of Hooghly district
of West Bengal. In another study, Vega Millan et al. (2021) reported an elevated urinary As in children of
three Yaqui villages of Sonora, Mexico with average concentration of 79.39 µg/L and found close
associations with altered levels of biomarkers of lung inflammation and negative respiratory outcomes of
serum levels of club cell secretory protein (CC16) and an increase in the expression of matrix
metalloproteinase-9 (MMP-9). However, our investigation regarding excretion of As in human adults
through faecal route revealed an average faecal As concentration of 233.96 ± 207.02 µg/kg for case and
65.9 ± 22.45 µg/kg in control subjects, which has not been reported earlier. 4. Discussion r = 0.52 in exposed group establishes the fact that similar to urine, stool can also behave
as biomarkers of As exposure. The present study is one of the first investigations on faecal As
concentration of human adult populations with long history of As exposure and continuous intake of As
through diet. However, it must be noted that there is variation in the amount of As excreted through urine concentration of human adult populations with long history of As exposure and continuous intake of As
through diet. However, it must be noted that there is variation in the amount of As excreted through urine Page 12/27 Page 12/27 and stool. The maximum average volume of daily stool and urine in human adult is 250 g and 1.7 l,
respectively (Haarst et al., 2004; Britannica, 2023). Hence, considering the average data of exposed
subjects, an average of 58.5 µg of As is excreted through stool per day as compared to 241.4 µg of As
excreted through urine per day in an exposed adult. This well corroborates with previous studies where
authors found that a higher percentage is excreted through urine than through faeces (Pomroy et al.,
1979). Nevertheless, Mohri et al. (1990) detected fairly high proportion of excreted As through feces in
male. In this context, the critical factor lies in the concentration of As present in both of these biomarkers. Stool exhibits a higher concentration of As compared to urine, which may offer analytical advantages for
assessing As levels. Moreover, Das et al., 2023 reported that the most significant factor regulating health
risk is ‘concentration of As’ which will be better assessed by analyzing As concentration in stool matrix as
it presents higher concentration than all other biomarkers. However, the challenges associated with the
digestion of solid stool for measurement should not be overlooked. Statistical analysis through a two-way ANOVA for stool As and urinary As with groundwater As, age and
BMI individually revealed similar observations. No significant difference in variance of control or
unexposed subjects could be obtained for both stool As as well as urinary As with respect to other
parameters with pstool= 0.93 and purine= 0.82. However, exposed subjects in the case group indicated
statistically significant differences in the variances of stool and urinary As with respect other observed
parameters with pstool= 0.01 and purine= 0.02. 4. Discussion Besides, Pearson correlation indicated that age and BMI
may play an important role in releasing of As through stool in exposed group as it correlated negatively
with stool As. Gender and age has already been proved to behave as major factors influencing As
metabolism in As exposed Bangladeshi population with an urinary As concentration in the range of 0.5–
1994 µg/L; and a median value of 77 µg/L. Recently Das et. al. (2023) reported that As deposition in
biomarkers such as hair, nail and urine appeared to be dependent on age; and independent of sex
although, women in their childbearing age were found to bear higher As methylation capacity than men
suggesting the role of sex hormones in inorganic As metabolism (Lindberg et al., 2008). No scientific data
could be retrieved for role of BMI as a factor for release of As in stool. Nevertheless, BMI has been found
to be one of the crucial factor in inorganic As metabolism on an additive scale (Hudgens et al., 2016;
Zhang et al., 2020). Women with higher BMI showed higher rates of As methylation in a study on
Bangladeshi adults and adolescents (Abuawad et al., 2021). The underlying mechanism of enhanced
rates of methylation in women with higher BMI is that body fat influences estrogen levels which in turn
enhances choline synthesis. Choline, thus formed, can act as a methyl donor increasing As methylation
rates. Moreover, results from the Mann-Whitney U test also confirms that the random values of stool As of
exposed populations were greater than that of unexposed population. This finding also corroborated with
Mann-Whitney U- test for urinary As of case and control where a random value of case was not equal to
that of control. Mann–Whitney U test is considered to be an appropriate analysis for our data as it is the
true nonparametric counterpart of the t-test which estimates the significance almost accurately,
especially when sample sizes are small and/or when the data is not normally distributed (Smalheiser
2017). Urinary As has already been established as a biomarker of exposure as discussed above. Hence,
similar trend of variations and statistical correlations and significance of stool As with that of urinary As, especially when sample sizes are small and/or when the data is not normally distributed (Smalheiser
2017). Urinary As has already been established as a biomarker of exposure as discussed above. 4. Discussion Hence,
similar trend of variations and statistical correlations and significance of stool As with that of urinary As, Page 13/27 Page 13/27 especially in case of exposed subjects, make it obvious that stool can also be considered as a reliable
biomarker of As especially when exposure is through diet. We also performed multi-metal analysis for the collected stool samples to understand the correlation of
presence of As along with other heavy metals in stool samples. Pearson’s correlation of stool As with the
other heavy metals showed a negative correlation except for Cd in case subjects. However, for control
subjects, the correlation values of metals analysed was completely opposite to that of As where, As
showed a positive correlation with all other metals except Cd with a negative correlation. This was also
evident from the PCA analysis where the loadings plot clearly indicates that As and Pb has a negative or
opposite impact on the component in case of exposed subjects whereas, in unexposed subjects As has a
little positive impact on the component. However, it must be noted that the loadings plot does not show
direct correlation of the variables but, actually reflects the variable that impacts the component
maximally. However, multi-metal analysis of the stool digest samples and their correlation analysis
clearly indicates that concentration of As along with Cd is a notable factor in exposed/case samples
which is not true for unexposed/control samples. It is a well documented fact that people residing in
Nadia and adjacent North 24 Paraganas are unavoidably exposed to As and Cd through their diet with As
and/or contaminated rice grown in their own fields being their staple food (Biswas et al., 2023,
Roychowdhury et al., 2018). Hence, stool As concentrations can be actually reflective of As exposure
through diet. Not much literature is available on heavy metal excretion through fecal route, however a
recent study by Ruth and Frances (2022) on young women fed with different iron concentrations found
that the absorption for the intakes lay between 18 and 25% and the value for gastrointestinal iron in
faeces lay between 0.12 and 0.27 mg. Thus, there is an immense gap in our understanding whether
faecal samples can be considered as reliable biomarker for heavy metal exposure. 4. Discussion Hence, to understand
the excretion of heavy metals through faecal route, an in-depth study is needed with a larger exposed
populations to various heavy metals individually or in groups at varying doses to obtain statistically
significant result. 5. Conclusion In conclusion, despite the provision of As free piped water in most of the As endemic villages of West
Bengal, populations in these areas are still exposed to As through food chain which can be easily
assessed through analysis of faecal samples. The As content of urine samples indicate both exposure
from water as well as diet. However, As content in faecal matter is truly indicative of As exposure through
diet. The present study proves the significance of stool As in case samples through several statistical
analysis which establishes that stool As may play a distinguishing or characterising factor for exposed
population. Hence, stool can be considered as a reliable and decisive biomarker for As exposure through
diet. All the authors declare that they do not have any competing interests to disclose All the authors declare that they do not have any competing interests to disclose 4. Discussion Hence, to understand
the excretion of heavy metals through faecal route, an in-depth study is needed with a larger exposed
populations to various heavy metals individually or in groups at varying doses to obtain statistically We also performed multi-metal analysis for the collected stool samples to understand the correlation of
presence of As along with other heavy metals in stool samples. Pearson’s correlation of stool As with the
other heavy metals showed a negative correlation except for Cd in case subjects. However, for control
subjects, the correlation values of metals analysed was completely opposite to that of As where, As
showed a positive correlation with all other metals except Cd with a negative correlation. This was also
evident from the PCA analysis where the loadings plot clearly indicates that As and Pb has a negative or
opposite impact on the component in case of exposed subjects whereas, in unexposed subjects As has a
little positive impact on the component. However, it must be noted that the loadings plot does not show
direct correlation of the variables but, actually reflects the variable that impacts the component
maximally. However, multi-metal analysis of the stool digest samples and their correlation analysis
clearly indicates that concentration of As along with Cd is a notable factor in exposed/case samples
which is not true for unexposed/control samples. It is a well documented fact that people residing in
Nadia and adjacent North 24 Paraganas are unavoidably exposed to As and Cd through their diet with As
and/or contaminated rice grown in their own fields being their staple food (Biswas et al., 2023,
Roychowdhury et al., 2018). Hence, stool As concentrations can be actually reflective of As exposure Roychowdhury et al., 2018). Hence, stool As concentrations can be actually reflective of As exposure
through diet. Not much literature is available on heavy metal excretion through fecal route, however a
recent study by Ruth and Frances (2022) on young women fed with different iron concentrations found
that the absorption for the intakes lay between 18 and 25% and the value for gastrointestinal iron in
faeces lay between 0.12 and 0.27 mg. Thus, there is an immense gap in our understanding whether
faecal samples can be considered as reliable biomarker for heavy metal exposure. Author contribution Soma Ghosh: Conceptualization; Data curation; Formal analysis; Funding acquisition; Investigation;
Methodology; Project administration; Resources; Validation; Visualization; original draft; review & editing.,
Manuscript preparation and compilation, Arijit Chakraborty: Data curation, Formal analysis; Investigation;
Methodology; Subhamoy Bhowmick: Data curation; Formal analysis; Investigation; Methodology;
Resources; Validation; review & editing Antara Das, Madhurima Joardar and Tarit Roy Chowdhury: Formal
analysis; Investigation; Methodology; Manuscript preparation; review & editing Sangeeta
Bhunia: Methodology, Kunal Kanti Majumdar: Data curation; Project administration; review & editing
Sreemanta Pramanik: Data curation; Project administration; review & editing; Manuscript preparation and
compilation Acknowledgements Financial support from the Department of Biotechnology, Government of India (Project No. BT/PR31826BIC/101/1211/2019) is sincerely acknowledged. Financial support from the Department of
Biotechnology, Government of India (Project No. BT/PR25850/BCE/8/1423/2017) is also acknowledged. KRC, CSIR-NEERI is duly acknowledged for checking the manuscript through the anti-plagiarism software,
iThenticate (KRC No: CSIR-NEERI/KRC/2024/ JAN/KZC/3). We would like to express our gratitude to
Director, CSIR-NEERI for giving the necessary permission to carry out the research. We are grateful to all
the participants for their support and giving time for this study and providing us with the necessary
samples. All the authors declare that they do not have any competing interests to disclose Page 14/27 Page 14/27 Data availability statement Associate data have been provided as electronic supplementary file. Further data can be provided upon
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http://www.wbphed.gov.in/main/index.php/vision-2020 81. Rahaman, M. S., Mise, N., & Ichihara, S. (2022). Arsenic contamination in food chain in Bangladesh:
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speciation analysis of saliva and urine samples from individuals living in a chronic arsenicosis area
in China. Environmental health and preventive medicine, 22, 1-9. doi: 10.1186/s12199-017-0652-5. 100. Wang, Y.-H., Yeh, S.-D., Shen, K.-H., Shen, C.-H., Juang, G.-D., Hsu, L.-I., Chiou, H.-Y., Chen, C.-J., 2009. A
significantly joint effect between arsenic and occupational exposures and risk genotypes/diplotypes
of CYP2E1, GSTO1 and GSTO2 on risk of urothelial carcinoma. Toxicol Appl Pharmacol 241, 111–
118. doi: 10.1016/j.taap.2009.08.008. 101. Wei, B., Yu, J., Wang, J., Yang, L., Li, H., Kong, C., ... & Wu, K. 2017. The relationships between arsenic
methylation and both skin lesions and hypertension caused by chronic exposure to arsenic in
drinking water. Environmental Toxicology and Pharmacology, 53, 89-94. doi:
10.1016/j.etap.2017.05.009. 102. WHO (2005) A field guide for detection, management and surveillance of arsenicosis cases. In:
Caussy D (ed) Technical publication no. 30 clinical aspects of arsenicosis. WHO Regional Office for
South East Asia, New Delhi, pp 5–9 103. WHO, 2011. Arsenic in Drinking-Water, Background Document for Development of WHO Guidelines
for Drinking-Water Quality. 104. Yi Y, Gao S, Xia J, Li C, Zhao Y, Zhang Y, Liang A, Ji, S. 2020. Study of the accumulation and
distribution of arsenic species and association with arsenic toxicity in rats after 30 days of oral
realgar administration. J Ethnopharmacol 247:111576. doi: 10.1016/j.jep.2018.10.037. 105. Zhang, Q., Hou, Y., Wang, D., Xu, Y., Wang, H., Liu, J., ... & Sun, G. 2020. Interactions of arsenic
metabolism with arsenic exposure and individual factors on diabetes occurrence: Baseline findings
from Arsenic and Non-Communicable disease cohort (AsNCD) in China. Environmental Pollution,
265, 114968. doi: 10.1016/j.envpol.2020. Page 24/27 Page 24/27 Tables Tables 1 to 5 are available in the Supplementary Files section. Tables 1 to 5 are available in the Supplementary Files section. Figure 1 Stool and urinary arsenic concentrations of subjects against groundwater As concentration; case (a),
control (b) Stool and urinary arsenic concentrations of subjects against groundwater As concentration; case (a),
control (b) Page 25/27 Page 25/27 Figure 2
Pearson Correlation of multi metal concentrations in stool digests of case (a) and control (b) samples Figure 3 Principle Component Analysis and Loadings plot (inset a and b) based on correlation of multi metal
concentrations in stool digests of case (a) and control (b) samples Principle Component Analysis and Loadings plot (inset a and b) based on correlation of multi metal
concentrations in stool digests of case (a) and control (b) samples Figure 2 Pearson Correlation of multi metal concentrations in stool digests of case (a) and control (b) samples Pearson Correlation of multi metal concentrations in stool digests of case (a) and control (b) samples Pearson Correlation of multi metal concentrations in stool digests of case (a) and control (b) samples Page 26/27 Figure 3
Principle Component Analysis and Loadings plot (inset a and b) based on correlation of multi metal
concentrations in stool digests of case (a) and control (b) samples Figure 3 Supplementary Files This is a list of supplementary files associated with this preprint. Click to download. Tables.pptx Page 27/27
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German
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Tabak
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European food research & technology
| 1,909
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public-domain
| 627
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Patente. Dr. Johannes Sarti~; in Nikolassee b. Berlin : V e r f a h r e n z u r E n ~ n i k o t i n i s i e r n n g
von Tabak. DR.P. 197159 veto 18. M/~rz 1906. (['atentbl. 1908, '29, 1462.)- Die Ent-
nikotinisierung des Tabaks erfolgt nach vorliegender Erfindung unter Abschlui~ yon Luft oder
Sauerstoff, wobei jegliche Oxydatlon der im Tabak befindlichen ~ubstanzen verhinder~, besonders
eine Verunreinigung des behandelten Tabaks mit Oxydationsprodukten des Nikotins und s~,-
~enannten verharzten Substanzen ausgeschlossen wird, w~hrend gleichzei~ig das wertvolle
Nikotin im unzersetzten Zustande gewonnen werden kann. Das Verfahren se]bst ist folgendes:
Der Tabak wird in losen Schichten oder Btischel[~ in emen geeigneten Apparat gebracht, durch
den man fiberhi/zten Wasserdampf ]eitet. Die Temperaiur des iiberhitzten Wasserdampfes
sell fiber 100 ° C, aber unte~halb 150 o C ]iegen, well bei letztel'er Temperatur schon die Zer-
setzung der Holzsubstanz beginnen wtirde. Zweckm~Sig wahlt man daher beispielsweise die
Temperatur yon utlgef~hr' 140 o C. Damit keine Abkiihlung and Wasserkondensation inner-
halb des Apparates stattfinden kann, wird derselbe gleichzeitig in geeigneler Weise von aufien
und zwaY auf die gleiche Temioeratur. in diesem Falle also auf ungeffihr 140 ° C, erhitzt. Der
dut'ch den Apparat und somit dnreh den Tabak geleitete (iberhitzte Wasserdampf bewirkt,
unterstiitzt von der Aafienbeheizung des Ap~oarates, eine Verfllichtigung des in dem Tabak
t,efindlichen NJkotins and fiihrt dasselbe unzerzetzt mit sich forL. Die eotweichenden D~mpfe
w~rden durch ein Rohr abge]eitet und kSnaen dureh elnen KfihlapparaL kondensiert and auf-
gefangen werden. ])as wi~ssdge Destillat enthaIt das unzersetzte Nikotin. Papier-Industrie Akt.- Ges.OI!eschau in Nieder-Eisenberg, M/ihren : V e rfahre n
zur Eerstellung
von Zigarettenpapier. D.R.P. 196789 vom I. Dezember 1906. ~?atentblat~ 1908, 29, 1352.) -- Die Erfindung betrifft eine Neuernng bei dem bekannteo Ver-
fahren zur l~erstellung yon Zigarettenpapier aus Ftachs- und t~atfllasern und Tabakabfi~llen
dutch meehanische Bearbeitung mit Quetschwalzen bei Gegenwart von AIkalilauge. Diese Neue-
rung besteht darin, daft die Bearbeitung dec genannten Fasern und 'l'ab,kabfalle mit den
Quetschwalzen ohr~e/~u~ere W/~rmezufuhr stattfindet und dabei Alkali in konzentrierter LSsung
anaewendet wird. Es sol1 sieh hierdurch die Tabakmasse mit dem aus den ~ ]aehs- und Leinen-
fasern bestehenden Gemenge ianig verfilzen und ein gleichmafliges, homogenes Papierb]att
bilden. A. Oelker. p
]
A. Oelker. 7~5 7~5 I8. Baud. I
]5.Deze~ber 1909.J Referate. -- Tabak. -- Bier. Tabak. ]t. Marcelet: Uber die Bestilnmung des Kohlenoxyds,
insbesondere
im Tabakr~uch. (Bull. Soc. Chim. de France 1908, 8~ 556--558.) -- Die gaso-
metrische Bestimmung des Kohlenoxyds im Tabakrauch ergab bei Zigaretten ffir 1 g
Tabak 20--80 ccm, bei ]?feifentabak ffir 1 g 53--100 ccm Kohlenoxyd. Mit dem
Verfahren von L~vy und P~coul (Z. 1906, 11~ 691; 1907, 18~ 435) konnten
hiermit fibereinstimmende Resultate nur erzielt werden, wenn das die ¥erbrennungs-
gase des Tabaks enthaltende Gemisch so stark mit Luft verdfinnt wurde, da~ tier
GehaIt an Kohlenoxyd 0,8--1°/o betrug, nod der Apparat derart abgeandert wurde,
da~ das Gas eine dickere Schicht von Jodsiiure zu durehstrelchen hatte. G. Sonntag. Bier. ~. Emslander:
Oberfl~.cheneinflfisse
beim
Diastase-Prozelk
(Zeitsehr. f. Chem. u. Ind. d. Kolloide 1907/08, 2, 308--310.) -- Bier und Reaktions-
gemisehe des Maischprozesses enthalten Stoffe in kolloidalem Zustand, auf die Ober-
fi~cheneinfl6sse sieh geltend machen miissen. Verf. hat im Anschlul3 an friihere Ver-
suche (Z. 1905, 10, 372) Untersuchungen angestellt, um solche :Einflfsse, die auger
festen KSrpern auch Gasen (der Luft) und anderen, nicht misehbaren Flfissigkeiten
(Chloroform, Benzol, Toluol) zukommen, beim Diastaseproze~ nachzuweisen. Versuche,
iu denen Malz einerseits wie tiblich, andererseits mit einer dfinnen Schicht von Toluol
oder VaselinS1 bedeckt gemaiseht wurde, ergaben deutlich das Vorhandensein yon
Oberfl/icheneinfliissen. Durch Ersetzen der Oberfliiche Maische-Luft durch die Be-
rfihrungsfl~iche Maische-Toluol oder-VaselinS1 wurde der Dextringehalt im Extrak~
gesteigert, der Maltose- and Eiweil3gehalt verringert. -- Die Erh6hung des Prozent-
gehaltes der Ausschlagswfirze durch andauerndes Rfihren w~hrend des Maisehprozesses
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Latin
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Model SEIR Penyebaran Covid-19 dengan Parameter Penggunaan Masker Kesehatan dan Vaksinasi
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Jurnal Riset Matematika
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cc-by
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Article history : Creative Commons Attribution-
NonCommercial-ShareAlike 4.0
International License. Volume
: 3
No. : 1
Halaman : 1-12
Terbitan
: Juli 2023 Kata Kunci : Covid-19; Model SEIR; Titik Ekuilibrium. Kata Kunci : Covid-19; Model SEIR; Titik Ekuilibrium. Model SEIR Penyebaran Covid-19 dengan Parameter
Penggunaan Masker Kesehatan dan Vaksinasi
Shahnaz Afia, Yani Ramdani* Prodi Matematika, Fakultas Matematika dan Ilmu Pengetahuan Alam, Universitas Islam Bandung, Indonesia. Prodi Matematika, Fakultas Matematika dan Ilmu Pengetahuan Alam, Universitas Islam Bandung, Indonesia. @ 2023 Jurnal Riset Matematika Unisba Press. All rights reserved. Corresponding Author : *yaniramdani66@gmail.com
Indexed : Garuda, Crossref, Google Scholar
DOI : https://doi.org/10.29313/jrm.v3i1.1731 A R T I C L E I N F O A R T I C L E I N F O
Article history :
Received : 6/2/2023
Revised
: 11/6/2023
Published : 17/7/2023
Creative Commons Attribution-
NonCommercial-ShareAlike 4.0
International License. Volume
: 3
No. : 1
Halaman : 1-12
Terbitan
: Juli 2023 Dalam bidang Matematika, penelitian mengenai penyebaran penyakit dapat
dilakukan dengan membentuk model epidemiologi. Salah satu jenis model
epidemiologi adalah model SEIR. Pada penelitian ini, model SEIR
dikembangkan untuk mengetahui pengaruh penggunaan masker kesehatan dan
vaksinasi terhadap penyebaran penyakit Covid-19. Keseluruhan populasi dibagi
menjadi enam kompartemen, yaitu kompartemen rentan yang tidak
menggunakan masker kesehatan, kompartemen rentan yang menggunakan
masker kesehatan, kompartemen terpapar, kompartemen terinfeksi yang tidak
menggunakan masker kesehatan, kompartemen terinfeksi yang menggunakan
masker kesehatan, dan kompartemen sembuh. Model penyebaran Covid-19
dibentuk dengan menyusun diagram kompartemen penyebaran penyakit Covid-
19 dengan parameter penggunaan masker kesehatan dan vaksinasi terlebih
dahulu. Setelah model Matematika terbentuk, dilakukan penentuan titik
ekuilibrium bebas penyakit, titik ekuilibrium endemik, dan Basic Reproduction
Number. Kemudian, dilakukan simulasi numerik. Hasil dari penelitian ini
menunjukkan bahwa titik ekuilibrium bebas penyakit bersifat stabil asimtotik
lokal saat nilai basic reproduction kurang dari satu. Sementara itu, titik
ekuilibrium endemik bersifat stabil asimtotik lokal saat nilai Basic Reproduction
Number lebih dari satu. Selain itu, penelitian ini juga menunjukkan bahwa
penggunaan masker kesehatan dan vaksinasi berperan dalam penurunan nilai
Basic Reproduction Number. Article history :
Received : 6/2/2023
Revised
: 11/6/2023
Published : 17/7/2023 Article history :
Received : 6/2/2023
Revised
: 11/6/2023
Published : 17/7/2023 A B S T R A C T In Mathematics, research on the spread of a disease can be carried out by
establishing an epidemiological model. One type of epidemiological model is the
SEIR model. In this study, the SEIR model was developed to determine the effect
of mask wearing and vaccination on the spread of Covid-19. The entire
population was divided into six compartments, mask wearing and non mask
wearing susceptible compartments, exposed compartment, mask wearing and non
mask wearing infected compartments, and recovered compartment. The model
for the spread of Covid-19 was formed by compiling a compartment diagram for
the spread of Covid-19 disease with the parameters of mask wearing and
vaccination first. Then, disease-free equilibrium point, endemic equilibrium
point, and Basic Reproduction Number are determined. After that, numerical
simulation was carried out. The results of this study indicate that the disease-free
equilibrium point is locally asymptotically stable when the Basic Reproduction
Number is less than one. Meanwhile, the endemic equilibrium point is locally
asymptotically stable when the Basic Reproduction Number is larger than one. In
addition, this study also shows that mask wearing and vaccinations reduce the
value of Basic Reproduction Number. Keywords : Covid-19; SEIR Model; Equilibrium Point. Keywords : Covid-19; SEIR Model; Equilibrium Point. Corresponding Author : *yaniramdani66@gmail.com
Indexed : Garuda, Crossref, Google Scholar
DOI : https://doi.org/10.29313/jrm.v3i1.1731 1/12 Shahnaz Afia et al. Model SEIR Penyebaran Covid-19 dengan Parameter Penggunaan Masker Kesehatan,... . A.
Pendahuluan Coronavirus disease (Covid-19) merupakan penyakit sistem pernapasan yang disebabkan oleh virus
severe acute respiratory syndrome coronavirus 2 (SARS-Cov-2) [1][2]. Sejak kasus penyakit Covid-19
pertama kali ditemukan di Wuhan, Cina pada bulan Desember 2019, penyakit ini telah menyebar secara luas
dan menginfeksi jutaan orang di berbagai negara sehingga ditetapkan sebagai pandemi global oleh World
Health Organization [3]. Pandemi Covid-19 terjadi di berbagai belahan dunia, tidak terkecuali di Indonesia. Para peneliti dari berbagai bidang mencoba memahami pandemi yang sedang berlangsung ini melalui bidang
ilmunya masing-masing. Salah satu bidang ilmu yang dapat berperan serta dalam memahami pandemi ini
adalah Matematika melalui model Matematika. Model Matematika merupakan salah satu bidang Matematika yang digunakan untuk mempresentasikan
dan menjelaskan berbagai permasalahan yang terjadi di kehidupan sehari-hari. Model Matematika dapat
digunakan untuk memahami dinamika penyebaran penyakit melalui model-model epidemiologi. Model
kompartemen digunakan untuk mendeskripsikan penularan suatu penyakit. Salah satu model epidemiologi
yang dikenal ialah model epidemi SEIR. Pada dasarnya, model epidemi SEIR membagi populasi ke dalam
empat kompartemen, yaitu susceptible atau rentan, exposed atau terpapar, infected atau terinfeksi, dan
recovered atau sembuh. Dalam berbagai penelitian yang telah dilakukan, model SEIR mengalami
pengembangan berupa penambahan kompartemen dan parameter. Penambahan kompartemen dan parameter
dilakukan untuk memahami pengaruh dari berbagai tindakan pada dinamika penyebaran penyakit. Pada penelitian ini, dilakukan pembentukan model SEIR menggunakan enam kompartemen dengan
parameter penggunaan masker kesehatan dan vaksinasi. Penelitian ini dilakukan untuk mengetahui kestabilan
titik ekuilbrium bebas penyakit dan titik ekuilibrium endemik serta pengaruh penggunaan masker kesehatan
dan vaksinasi terhadap penyebaran penyakit Covid-19 di Indonesia. B.
Metode Penelitian Penelitian ini merupakan penelitian kuantitatif dan kualitatif. Langkah-langkah yang dilakukan dalam
penelitian pembentukan model Matematika dari penyebaran penyakit Covid-19 dengan parameter penggunaan
masker dan vaksinasi meliputi: (1) Studi Literatur; (2) Pembuatan Asumsi; (3) Konstruksi Model; (4)
Penentuan Titik Ekuilibrium dan Basic Reproduction Number; (5) Estimasi Parameter, dan (6) Simulasi Hasil. Asumsi Pembentukan Model Pembuatan asumsi merupakan penyusunan kondisi-kondisi yang menjadi dasar pertimbangan dalam
pembentukan model Matematika. Pembuatan asumsi dilakukan untuk menyederhanakan permasalahan yang
akan dibuat modelnya agar model Matematika yang dibentuk berada dalam ruang lingkup yang ingin dikaji
oleh pembuat model. Asumsi-asumsi pembentukan model SEIR penyebaran Covid-19 dengan parameter
penggunaan masker kesehatan dan vaksinasi terdiri dari: (1) Virus penyebab penyakit Covid-19 adalah virus SARS-Cov-2; (2) Populasi tertutup, yaitu ukuran
populasi konstan selama periode penelitian di mana tidak terjadi penambahan individu melalui migrasi maupun
pengurangan individu melalui emigrasi; (3) Parameter kelahiran dan kematian dalam populasi diasumsikan
sama. Hal tersebut berarti jumlah total populasi adalah konstan; (4) Setiap kelompok atau sub populasi dapat
mengalami kematian alami atau kematian yang tidak disebabkan oleh penyakit Covid-19; (5) Kematian yang
diakibatkan penyakit Covid-19 diabaikan; (6) Parameter vaksinasi menyatakan persentase populasi yang telah
melakukan vaksinasi sampai dengan dosis ketiga; (7) Setiap individu berpeluang sama besar untuk melakukan
kontak dengan individu lain dalam satu populasi yang berarti populasi dianggap bercampur dengan homogen;
(8) Individu baru lahir dan belum melaksanakan vaksinasi hingga dosis ketigaanakan termasuk ke dalam
kelompok rentan yang tidak menggunakan masker kesehatan (𝑆1); (9) Individu dalam populasi 𝑁 yang telah
divaksin akan termasuk ke dalam kelompok sembuh (𝑅); (10) Individu yang termasuk ke dalam kelompok
rentan terhadap penyakit Covid-19 yang menggunakan masker kesehatan (𝑆2) tidak dapat tertular virus
penyebab penyakit Covid-19; (11) Individu yang termasuk ke dalam kelompok rentan terhadap penyakit Volume 3, No. 1, Juli 2023 2/12 Jurnal Riset Matematika (JRM) Covid-19 yang menggunakan masker kesehatan (𝑆2) akan termasuk ke dalam kelompok rentan terhadap
penyakit Covid-19 yang tidak menggunakan masker kesehatan (𝑆1) apabila berhenti menggunakan masker;
(12) Individu dalam kelompok terjangkit penyakit Covid-19 yang menggunakan masker kesehatan (𝐼2) akan
termasuk ke dalam kelompok terjangkit penyakit Covid-19 yang tidak menggunakan masker kesehatan (𝐼1)
apabila berhenti menggunakan masker; (13) Tidak ada interaksi yang terjadi antara kelompok rentan terhadap
penyakit Covid-19 yang menggunakan masker kesehatan (𝑆2) dan kelompok pengguna masker kesehatan yang
terjangkit penyakit Covid-19 (𝐼2); (14) Infeksi virus SARS-Cov-2 melalui kontak antara individu rentan
terhadap penyakit Covid-19 dengan individu terinfeksi virus SARS-Cov-2; (15) Setiap individu yang terjangkit
penyakit Covid-19 dapat sembuh dari penyakit Covid-19; (16) Individu yang dinyatakan sembuh dari penyakit
Covid-19 dianggap memiliki kekebalan terhadap penyakit Covid-19 sehingga tidak dapat terjangkit penyakit
Covid-19 kembali; (17) Individu yang telah divaksin dianggap memiliki kekebalan terhadap penyakit Covid-
19 sehingga tidak dapat terjangkit penyakit Covid-19. Asumsi Pembentukan Model Variabel-variabel yang digunakan model SEIR penyebaran Covid-19 di Indonesia dengan parameter
penggunaan masker kesehatan dan vaksinasi terdapat pada tabel 1. Parameter yang digunakan dalam model
penyebaran Covid-19 dengan parameter penggunaan masker dan vaksinasi dapat dilihat pada tabel 2. Tabel 1. Variabel Model SEIR Penyebaran Covid-19
No. Variabel
Syarat
Keterangan
Satuan
1. 𝑆1(𝑡)
𝑆1(𝑡)
≥0
Jumlah individu rentan terhadap penyakit Covid-19 yang tidak
menggunakan masker kesehatan pada waktu ke-t. Individu
2. 𝑆2(𝑡)
𝑆2(𝑡)
≥0
Jumlah individu rentan terhadap penyakit Covid-19 yang
menggunakan masker kesehatan pada waktu ke-t. Individu
3. 𝐸(𝑡)
𝐸(𝑡)
≥0
Jumlah individu yang terpapar virus korona pada waktu ke-t. Individu
4. 𝐼1(𝑡)
𝐼1(𝑡)
≥0
Jumlah individu terjangkit penyakit Covid-19 yang tidak
menggunakan masker kesehatan pada waktu ke-t. Individu
5. 𝐼2(𝑡)
𝐼2(𝑡)
≥0
Jumlah individu terjangkit penyakit Covid-19 yang menggunakan
masker kesehatan pada waktu ke-t. Individu
6. 𝑅(𝑡)
𝑅(𝑡)
≥0
Jumlah individu yang sembuh dari penyakit Covid-19 pada waktu
ke-t. Individu
Tabel 2. Parameter Model SEIR Penyebaran Covid-19
No. Parameter
Syarat
Keterangan
Satuan
1. 𝜇
𝜇≥0
Parameter kelahiran dan kematian alami. Per hari
2. 𝑢1
𝑢1 ≥0
Parameter penggunaan masker kesehatan. Per hari
3. 𝑢2
𝑢2 ≥0
Parameter pelepasan masker kesehatan. Per hari
4. 𝛽
𝛽≥0
Parameter penularan penyakit atau
perubahan individu rentan menjadi
individu terpapar setelah melakukan
kontak dengan individu terinfeksi. Per individu per hari
5. 𝛼
𝛼≥0
Parameter perubahan individu terpapar
menjadi individu terinfeksi. Individu per hari
6. 𝛾
𝛾≥0
Parameter kesembuhan individu yang
terinfeksi menjadi individu sembuh. Individu per hari Tabel 1. Variabel Model SEIR Penyebaran Covid-19 e-ISSN 2798-6306 | p-ISSN 2808-313X 3/12 hahnaz Afia et al. Model SEIR Penyebaran Covid-19 dengan Parameter Penggunaan Masker Kesehatan,. Lanjutan Tabel 3. Parameter Model SEIR Penyebaran Covid-19
No. Parameter
Syarat
Keterangan
Satuan
7. 𝑣
𝑣≥0
Parameter pemberian vaksinasi kepada
individu dalam kelompok rentan. Konstruksi Model
Secara skematis, penyebaran Covid-19 di Indonesia dengan penggunaan masker kesehatan dan vaksinasi
adalah sebagai berikut:
Gambar 1. Diagram Kompartemen Model SEIR Penyebaran Covid-19 di Indonesia dengan Parameter
Penggunaan Masker Kesehatan dan Vaksinasi Lanjutan Tabel 3. Parameter Model SEIR Penyebaran Covid-19
No. Parameter
Syarat
Keterangan
Satuan
7. 𝑣
𝑣≥0
Parameter pemberian vaksinasi kepada
individu dalam kelompok rentan. Lanjutan Tabel 3. Parameter Model SEIR Penyebaran Covid-19 No. Parameter
Syarat
Keterangan
Satuan
7. 𝑣
𝑣≥0
Parameter pemberian vaksinasi kepada
individu dalam kelompok rentan. Asumsi Pembentukan Model Konstruksi Model
Secara skematis, penyebaran Covid-19 di Indonesia dengan penggunaan masker kesehatan dan vaksinasi
adalah sebagai berikut: Konstruksi Model Secara skematis, penyebaran Covid-19 di Indonesia dengan penggunaan masker kesehatan dan vaksinasi
adalah sebagai berikut: Gambar 1. Diagram Kompartemen Model SEIR Penyebaran Covid-19 di Indonesia dengan Parameter
Penggunaan Masker Kesehatan dan Vaksinasi Gambar 1. Diagram Kompartemen Model SEIR Penyebaran Covid-19 di Indonesia dengan Parameter
Penggunaan Masker Kesehatan dan Vaksinasi Model Matematika yang terbentuk dari diagram kompartemen pada gambar di atas merupakan sistem
persamaan diferensial sebagai berikut: 𝑑𝑆1
𝑑𝑡= (1 −𝑣)𝜇𝑁+ 𝑢2𝑆2 −𝑢1𝑆1 −𝛽𝑆1𝐼1 −𝜇𝑆1
(1)
𝑑𝑆2
𝑑𝑡= 𝑢1𝑆1 −𝑢2𝑆2 −𝜇𝑆2
𝑑𝐸
𝑑𝑡= 𝛽𝑆1𝐼1 −𝛼𝐸−𝜇𝐸
𝑑𝐼1
𝑑𝑡= 𝛼𝐸+ 𝑢2𝐼2 −𝑢1𝐼1 −𝛾𝐼1 −𝜇𝐼1
𝑑𝐼2
𝑑𝑡= 𝑢1𝐼1 −𝑢2𝐼2 −𝛾𝐼2 −𝜇𝐼2
𝑑𝑅
𝑑𝑡= 𝑣𝜇𝑁+ 𝛾𝐼1 + 𝛾𝐼2 −𝜇𝑅 (1) Di mana 𝑁(t) merupakan jumlah total populasi pada waktu 𝑡 di mana Di mana 𝑁(t) merupakan jumlah total populasi pada waktu 𝑡 di mana Di mana 𝑁(t) merupakan jumlah total populasi pada waktu 𝑡 di mana 𝑁(𝑡) = 𝑆1(𝑡) + 𝑆2(𝑡) + 𝐸(𝑡) + 𝐼1(𝑡) + 𝐼2(𝑡) + 𝑅(𝑡)
(2) 𝑁(𝑡) = 𝑆1(𝑡) + 𝑆2(𝑡) + 𝐸(𝑡) + 𝐼1(𝑡) + 𝐼2(𝑡) + 𝑅(𝑡)
(2) (2) Untuk penyederhanaan penulisan, misalkan Untuk penyederhanaan penulisan, misalkan Untuk penyederhanaan penulisan, misalkan Untuk penyederhanaan penulisan, misalkan 𝑁(𝑡) = 𝑁, 𝑆1(𝑡) = 𝑆1, 𝑆2(𝑡) = 𝑆2, 𝐸(𝑡) = 𝐸, 𝐼1(𝑡) = 𝐼1, 𝐼2(𝑡) = 𝐼2, 𝑅(𝑡) = 𝑅 4/12 Volume 3, No. 1, Juli 2023 Jurnal Riset Matematika (JRM) Jurnal Riset Matematika (JRM) Dari sistem (1) diketahui bahwa Dari sistem (1) diketahui bahwa 𝑑𝑁
𝑑𝑡= 𝑑𝑆1
𝑑𝑡+ 𝑑𝑆2
𝑑𝑡+ 𝑑𝐸
𝑑𝑡+ 𝑑𝐼1
𝑑𝑡+ 𝑑𝐼2
𝑑𝑡+ 𝑑𝑅
𝑑𝑡
𝑑𝑁
𝑑𝑡= 𝜇𝑁−𝜇𝑆1 −𝜇𝑆2 −𝜇𝐸−𝜇𝐼1 −𝜇𝐼2 −𝜇𝑅
𝑑𝑁
𝑑𝑡= 𝜇𝑁−𝜇(𝑆1 + 𝑆2 + 𝐸+ 𝐼1 + 𝐼2 + 𝑅)
𝑑𝑁
𝑑𝑡= 𝜇𝑁−𝜇𝑁
𝑑𝑁
𝑑𝑡= 0 Hasil tersebut menunjukkan bahwa model Matematika yang dibentuk telah memenuhi asumsi jumlah
total populasi adalah konstan. Sistem (1) dapat dibentuk ke dalam model non dimensional [4]. Asumsi Pembentukan Model Untuk
menyederhanakan sistem persaaman tersebut, proporsi jumlah individu dalam masing-masing sub populasi
dapat dinyatakan sebagai berikut: 𝑠1 = 𝑆1
𝑁, 𝑠2 = 𝑆2
𝑁, 𝑒= 𝐸
𝑁, 𝑖1 = 𝐼1
𝑁, 𝑖2 = 𝐼2
𝑁, 𝑟= 𝑅
𝑁
(3) (3) Dari persamaan (3) dapat diperoleh Dari persamaan (3) dapat diperoleh Dari persamaan (3) dapat diperoleh 𝑠1 + 𝑠2 + 𝑒+ 𝑖1 + 𝑖2 + 𝑟= 𝑆1
𝑁+ 𝑆2
𝑁+ 𝐸
𝑁+ 𝐼1
𝑁+ 𝐼2
𝑁+ 𝑅
𝑁= 1 Berdasarkan persamaan (3), sistem (1) dapat dibentuk ke dalam model non dimensional sehingga menjadi 𝑑𝑠1
𝑑𝑡= (1 −𝑣)𝜇+ 𝑢2𝑠2 −𝑢1𝑠1 −𝛽𝑠1𝑖1 −𝜇𝑠1
(4)
𝑑𝑠2
𝑑𝑡= 𝑢1𝑠1 −𝑢2𝑠2 −𝜇𝑠2
𝑑𝑒
𝑑𝑡= 𝛽𝑠1𝑖1 −𝛼𝑒−𝜇𝑒
𝑑𝑖1
𝑑𝑡= 𝛼𝑒+ 𝑢2𝑖2 −𝑢1𝑖1 −𝛾𝑖1 −𝜇𝑖1
𝑑𝑖2
𝑑𝑡= 𝑢1𝑖1 −𝑢2𝑖2 −𝛾𝑖2 −𝜇𝑖2
𝑑𝑟
𝑑𝑡= 𝑣𝜇+ 𝛾𝑖1 + 𝛾𝑖2 −𝜇𝑟 (4) (4) Selanjutnya, dapat dilihat pada sistem persamaan (4) bahwa variabel 𝑟 tidak berpengaruh pada
persamaan laju perubahan jumlah individu terjadap waktu dalam sub populasi lain. Oleh karena itu, persamaan
𝑟 dapat diabaikan dari sistem untuk sementara sehingga sistem persamaan (4) dapat ditulis menjadi e-ISSN 2798-6306 | p-ISSN 2808-313X 5/12 Shahnaz Afia et al. Model SEIR Penyebaran Covid-19 dengan Parameter Penggunaan Masker Kesehatan,... . 𝑑𝑠1
𝑑𝑡= (1 −𝑣)𝜇+ 𝑢2𝑠2 −𝑢1𝑠1 −𝛽𝑠1𝑖1 −𝜇𝑠1
(5)
𝑑𝑠2
𝑑𝑡= 𝑢1𝑠1 −𝑢2𝑠2 −𝜇𝑠2
𝑑𝑒
𝑑𝑡= 𝛽𝑠1𝑖1 −𝛼𝑒−𝜇𝑒
𝑑𝑖1
𝑑𝑡= 𝛼𝑒+ 𝑢2𝑖2 −𝑢1𝑖1 −𝛾𝑖1 −𝜇𝑖1
𝑑𝑖2
𝑑𝑡= 𝑢1𝑖1 −𝑢2𝑖2 −𝛾𝑖2 −𝜇𝑖2 (5) Sistem persamaan (5) merupakan sistem persamaan diferensial non linear yang menggambarkan
penyebaran penyakit Covid-19 dengan parameter penggunaan masker kesehatan dan vaksinasi. Titik Ekuilibrium dan Basic Reproduction Number Titik ekuilibrium merupakan titik yang nilainya tidak berubah terhadap waktu. Titik ekuilibrium diperoleh
apabila laju perubahan jumlah individu terhadap waktu pada setiap sub populasi adalah sama dengan nol
sehingga dari sistem persamaan (4) diperoleh (1 −𝑣)𝜇+ 𝑢2𝑠2 −𝑢1𝑠1 −𝛽𝑠1𝑖1 −𝜇𝑠1 = 0
(5)
𝑢1𝑠1 −𝑢2𝑠2 −𝜇𝑠2 = 0
(6)
𝛽𝑠1𝑖1 −𝛼𝑒−𝜇𝑒= 0
(7)
𝛼𝑒+ 𝑢2𝑖2 −𝑢1𝑖1 −𝛾𝑖1 −𝜇𝑖1 = 0
(8)
𝑢1𝑖1 −𝑢2𝑖2 −𝛾𝑖2 −𝜇𝑖2 = 0
(9) (9) Titik Ekuilibrium Bebas Penyakit Titik Ekuilibrium Bebas Penyakit Titik ekuilibrium bebas penyakit diperoleh pada kondisi dimana tidak terdapat individu yang terjangkit
penyakit dalam populasi atau 𝑖1 = 𝑖2 = 0. Dengan kata lain, kondisi tersebut menunjukkan tidak terjadinya
penularan penyakit dalam populasi. Melalui proses substitusi, diperoleh titik ekuilibrium bebas penyakit 𝑃1(𝑠1, 𝑠2, 𝑒, 𝑖1, 𝑖2) dengan
𝑠1 =
(1 −𝑣)(𝜇+ 𝑢2)
𝜇+ 𝑢1 + 𝑢2
𝑠2 =
𝑢1 ((1 −𝑣)(𝜇+ 𝑢2)
𝜇+ 𝑢1 + 𝑢2
)
𝜇+ 𝑢2
𝑒= 0, 𝑖1 = 0, 𝑖2 = 0 dengan Basic Reproduction Number e-ISSN 2798-6306 | p-ISSN 2808-313X e-ISSN 2798-6306 | p-ISSN 2808-313X 7/12 naz Afia et al. Model SEIR Penyebaran Covid-19 dengan Parameter Penggunaan Masker Kesehatan,... . Pencarian nilai eigen dari matriks 𝑇𝛴−1 dimana basic reproducion number merupakan radius spektral
atau nilai eigen terbesar dari matriks 𝑇𝛴−1 sehinga diperoleh 𝑅0 =
𝛼𝛽(1 −𝑣)(𝜇+ 𝑢2)(𝜇+ 𝑢2 + 𝛾)
(𝜇+ 𝑢1 + 𝑢2)(𝜇+ 𝛼)(𝜇+ 𝛾)(𝜇+ 𝑢1 + 𝑢2 + 𝛾) Basic Reproduction Number Basic Reproduction Number Basic Reproduction Number atau bilangan reproduksi dasar menyatakan jumlah individu rentan yang dapat
terinfeksi penyakit setelah melakukan kontak dengan individu yang terinfeksi [5]. Besaran Basic Reproduction
Number tidak memiliki dimensi dan bernilai ambang satu (𝑅0 = 1). Berikut kemungkinan-kemungkinan yang
berkaitan dengan nilai 𝑅0 beserta artinya: (1) Nilai 𝑅0 > 1 berarti individu terinfeksi menularkan penyakit
kepada lebih dari satu individu rentan selama masa infeksinya sehingga tercipta kondisi wabah. Volume 3, No. 1, Juli 2023 6/12 Jurnal Riset Matematika (JRM) Jurnal Riset Matematika (JRM) Titik ekuilibrium endemik bersifat stabil asimtotik lokal saat 𝑅0 > 1 [6]; (2) Nilai 𝑅0 < 1 berarti
interaksi antara individu terinfeksi dan individu rentan tidak menghasilkan penularan sehingga tercipta kondisi
bebas penyakit. Titik ekuilibrium bebas penyakit bersifat stabil asimtotik lokal saat 𝑅0 < 1 [6]. Titik ekuilibrium endemik bersifat stabil asimtotik lokal saat 𝑅0 > 1 [6]; (2) Nilai 𝑅0 < 1 berarti
interaksi antara individu terinfeksi dan individu rentan tidak menghasilkan penularan sehingga tercipta kondisi
bebas penyakit. Titik ekuilibrium bebas penyakit bersifat stabil asimtotik lokal saat 𝑅0 < 1 [6]. Penentuan Basic Reproduction Number dari model penyebaran Covid-19 dengan parameter penggunaan
masker kesehatan dan vaksinasi pada sistem (4) dilakukan menggunakan metode next generation matrices
dengan langkah-langkah sebagai berikut: Pembentukan sub sistem terinfeksi, Sub sistem terinfeksi terdiri dari persamaan-persamaan yang
merepresentasikan terjadinya kasus terinfeksi dan perubahan kompartemen terinfeksi dalam sistem persamaan. Dari sistem (4), persamaan-persamaan yang membentuk subsistem terinfeksi tersebut terdiri dari persamaan-
persamaan berikut 𝑑𝑒
𝑑𝑡= 𝛽𝑠1𝑖1 −𝛼𝑒−𝜇𝑒
𝑑𝑖1
𝑑𝑡= 𝛼𝑒+ 𝑢2𝑖2 −𝑢1𝑖1 −𝛾𝑖1 −𝜇𝑖1
𝑑𝑖2
𝑑𝑡= 𝑢1𝑖1 −𝑢2𝑖2 −𝛾𝑖2 −𝜇𝑖2 𝑑𝑒
𝑑𝑡= 𝛽𝑠1𝑖1 −𝛼𝑒−𝜇𝑒
𝑑𝑖1
𝑑𝑡= 𝛼𝑒+ 𝑢2𝑖2 −𝑢1𝑖1 −𝛾𝑖1 −𝜇𝑖1
𝑑𝑖2
𝑑𝑡= 𝑢1𝑖1 −𝑢2𝑖2 −𝛾𝑖2 −𝜇𝑖2 Linearisasi sub sistem terinfeksi di sekitar titik ekuilibrium bebas penyakit sehingga diperoleh matriks
Jacobian. Linearisasi sub sistem terinfeksi dilakukan di sekitar titik ekuilibrium bebas penyakit sehingga
diperoleh matriks Jacobian sebagai berikut 𝐽(𝑠1,𝑠2,𝑒,𝑖1,𝑖2) =
[
−(𝛼+ 𝜇)
𝛽(1 −𝑣)(𝜇+ 𝑢2)
𝜇+ 𝑢1 + 𝑢2
0
𝛼
−(𝑢1 + 𝛾+ 𝜇)
𝑢2
0
𝑢1
−(𝑢2 + 𝛾+ 𝜇)] Dekomposisi matriks Jacobian menjadi matriks 𝑇 dan matriks 𝛴 dimana Dekomposisi matriks Jacobian menjadi matriks 𝑇 dan matriks 𝛴 dimana 𝐽(𝑠1,𝑠2,𝑒,𝑖1,𝑖2) = 𝑇+ 𝛴. 𝐽(𝑠1,𝑠2,𝑒,𝑖1,𝑖2) = 𝑇+ 𝛴. Matriks 𝑇 merupakan matriks transmisi yang menggambarkan penularan penyakit atau munculnya
infeksi baru. Sementara itu, matriks 𝛴 merupakan matriks transisi yang menggambarkan perubahan pada
kompartemen terinfeksi. Titik Ekuilibrium Endemik Titik ekuilibrium endemik diperoleh pada kondisi dimana 𝑖1 > 0 dan 𝑖2 > 0 atau terdapat individu terjangkit
penyakit dalam populasi. Hal tersebut dapat diartikan juga bahwa terjadi penyebaran penyakit dalam populasi. Melalui proses substitusi, diperoleh titik ekuilibrium endemik yaitu 𝑃2(𝑠1∗, 𝑠2∗, 𝑒∗, 𝑖1
∗,𝑖2
∗) dengan dengan 𝑠1∗=
(𝛼+ 𝜇)(𝛾+ 𝜇)(𝛾+ 𝜇+ 𝑢1+𝑢2)
𝛼𝛽(𝑢2 + 𝛾+ 𝜇)
𝑠2∗= 𝑢1𝑠1∗
𝜇+ 𝑢2
𝑒∗= 𝛽𝑠1∗𝑖1
∗
𝛼+ 𝜇
𝑖1
∗= 𝜇
𝛽(𝛼𝛽(𝑢2 + 𝛾+ 𝜇)(1 −𝑣)(𝑢2 + 𝜇) −(𝑢1 + 𝑢2 + 𝜇)(𝛾+ 𝜇)(𝛾+ 𝜇+ 𝑢1 + 𝑢2)(𝛼+ 𝜇)
(𝛾+ 𝜇)(𝛾+ 𝜇+ 𝑢1 + 𝑢2)(𝛼+ 𝜇)(𝜇+ 𝑢2)
)
𝑖2
∗=
𝑢1𝑖1
∗
𝑢2 + 𝛾+ 𝜇 𝜇
𝑖1
∗= 𝜇
𝛽(𝛼𝛽(𝑢2 + 𝛾+ 𝜇)(1 −𝑣)(𝑢2 + 𝜇) −(𝑢1 + 𝑢2 + 𝜇)(𝛾+ 𝜇)(𝛾+ 𝜇+ 𝑢1 + 𝑢2)(𝛼+ 𝜇)
(𝛾+ 𝜇)(𝛾+ 𝜇+ 𝑢1 + 𝑢2)(𝛼+ 𝜇)(𝜇+ 𝑢2)
)
𝑖2
∗=
𝑢1𝑖1
∗
𝑢2 + 𝛾+ 𝜇 Simulasi Numerik Sebelum dilakukan simulasi numerik menggunakan software Maple 18, dilakukan penentuan nilai awal
variabel serta estimasi nilai-nilai parameter yang akan digunakan dalam proses simulasi numerik. Tabel 3
menampilkan nilai awal variabel Tabel 4. Nilai Awal Variabel
Variabel
𝑁(0)
𝑠1(0)
𝑠2(0)
𝑒(0)
𝑖1(0)
𝑖2(0)
Nilai Awal 275800000
0.6
0.5
0.3
0.15
0.2
Sumber
[7]
Asumsi Asumsi Asumsi Asumsi Asumsi
Tabel 4 menampilkan estimasi nilai parameter 𝜇, 𝛽, 𝛼, dan 𝛾 Tabel 4. Nilai Awal Variabel
Variabel
𝑁(0)
𝑠1(0)
𝑠2(0)
𝑒(0)
𝑖1(0)
𝑖2(0)
Nilai Awal 275800000
0.6
0.5
0.3
0.15
0.2
Sumber
[7]
Asumsi Asumsi Asumsi Asumsi Asumsi
Tabel 4 menampilkan estimasi nilai parameter 𝜇, 𝛽, 𝛼, dan 𝛾 Tabel 4 menampilkan estimasi nilai parameter 𝜇, 𝛽, 𝛼, dan 𝛾 Tabel 5. Estimasi Nilai Parameter 𝜇, 𝛽, 𝛼, dan 𝛾
Parameter
𝜇
𝛽
𝛼
𝛾
Nilai
6.25 × 10−3 0.62 × 10−8 0.1972387 0.06578947
Sumber
[8]
[8]
[9]
[9] Tabel 5. Estimasi Nilai Parameter 𝜇, 𝛽, 𝛼, dan 𝛾 8/12 Volume 3, No. 1, Juli 2023 Volume 3, No. 1, Juli 2023 Jurnal Riset Matematika (JRM) Tabel 5 menampilkan estimasi nilai parameter 𝑢1, 𝑢2, dan 𝑣 Tabel 5 menampilkan estimasi nilai parameter 𝑢1, 𝑢2, dan 𝑣 Tabel 6. Estimasi Nilai Parameter 𝑢1, 𝑢2, dan 𝑣
Parameter
𝑢1
𝑢2
𝑣
Nilai 1
70%
30%
10%
Nilai 2
30%
70%
50%
Sumber
Asumsi Asumsi Asumsi Tabel 6. Estimasi Nilai Parameter 𝑢1, 𝑢2, dan 𝑣 Tabel 6. Estimasi Nilai Parameter 𝑢1, 𝑢2, dan 𝑣
Parameter
𝑢1
𝑢2
𝑣
Nilai 1
70%
30%
10%
Nilai 2
30%
70%
50%
Sumber
Asumsi Asumsi Asumsi Hasil simulasi numerik untuk nilai parameter 𝑢1 = 70%, 𝑢2 = 30%, dan 𝑣= 10% dapat dilihat pada
gambar 2 berikut Gambar 2. Titik Ekuilibrium Bebas Penyakit untuk 𝑢1 = 70%, 𝑢2 = 30%, dan 𝑣= 10% Gambar 2. Titik Ekuilibrium Bebas Penyakit untuk 𝑢1 = 70%, 𝑢2 = 30%, dan 𝑣= 10% Nilai Basic Reproduction Number untuk nilai parameter 𝑢1 = 70%, 𝑢2 = 30%, dan 𝑣= 10% diperoleh
sebesar 7.929831694 × 10−9 di mana 𝑅0 < 1. Dari hasil simulasi numerik pada gambar 2 di atas, dapat
diketahui bahwa kondisi stabil asimtotik lokal terjadi pada nilai proporsi 𝑠1 = 0.2739130435, 𝑠2 =
0.6260869565, 𝑒= 0, 𝑖1 = 0, 𝑖2 = 0, dan 𝑟= 0.1. Jumlah masing-masing sub populasi adalah 𝑆1 =
75545217, 𝑆2 = 172674783, 𝐸= 0, 𝐼1 = 0, 𝐼2 = 0, dan nilai 𝑅= 27580000. Hasil simulasi numerik untuk nilai parameter 𝑢1 = 30%, 𝑢2 = 70%, dan 𝑣= 50% dapat dilihat pada
gambar 3 berikut Gambar 3. Titik Ekuilibrium Bebas Penyakit untuk 𝑢1 = 30%, 𝑢2 = 70%, dan 𝑣= 50% Gambar 3. Titik Ekuilibrium Bebas Penyakit untuk 𝑢1 = 30%, 𝑢2 = 70%, dan 𝑣= 50% e-ISSN 2798-6306 | p-ISSN 2808-313X 9/12 Shahnaz Afia et al. Model SEIR Penyebaran Covid-19 dengan Parameter Penggunaan Masker Kesehatan,... . Nilai Basic Reproduction Number untuk nilai parameter 𝑢1 = 30%, 𝑢2 = 70%, dan 𝑣= 50% diperoleh
sebesar 2.108260708 × 10−8 di mana 𝑅0 < 1. Dari hasil simulasi numerik pada gambar 3 di atas, dapat
diketahui bahwa kondisi stabil asimtotik lokal terjadi pada nilai proporsi 𝑠1 = 0.3509316770, 𝑠2 =
0.1490683230, 𝑒= 0, 𝑖1 = 0, 𝑖2 = 0, dan 𝑟= 0.5. Jumlah masing-masing sub populasi adalah 𝑆1 =
96786957, 𝑆2 = 41113043, 𝐸= 0, 𝐼1 = 0, 𝐼2 = 0, dan 𝑅= 137900000. Tabel 5. Estimasi Nilai Parameter 𝜇, 𝛽, 𝛼, dan 𝛾 Dari hasil simulasi numerik yang terlihat pada gambar 2 dan gambar 3, dapat diketahui bahwa titik
ekuilibrium bebas penyakit stabil asimtotik lokal pada saat nilai 𝑅0 < 1. Hal tersebut dapat diartikan bahwa
penyakit akan hilang dari populasi pada kondisi-kondisi tertentu yang menyebabkan 𝑅0 < 1. Pada
kenyataannya, parameter 𝛽 sulit untuk diestimasi karena penularan suatu penyakit dalam suatu populasi
dipengaruhi oleh faktor-faktor seperti manusia (usia dan kondisi sosial ekonomi), lingkungan (cuaca, kondisi
udara, dan budaya), dan waktu (waktu dan durasi penelitian) [10]. Pada simulasi numerik berikutnya, parameter 𝛽 diasumsikan adalah sebesar 𝛽= 0.8 sehingga diperoleh
hasil simulasi numerik untuk nilai parameter 𝑢1 = 70%, 𝑢2 = 30%, dan 𝑣= 10% dapat dilihat pada gambar
4 berikut Gambar 4. Titik Ekuilibrium Endemik untuk 𝑢1 = 70%, 𝑢2 = 30%, dan 𝑣= 10% Gambar 4. Titik Ekuilibrium Endemik untuk 𝑢1 = 70%, 𝑢2 = 30%, dan 𝑣= 10% Nilai Basic Reproduction Number untuk nilai parameter 𝑢1 = 70%, 𝑢2 = 30%, dan 𝑣= 10% diperoleh
sebesar 1.023204090 di mana 𝑅0 > 1. Dari hasil simulasi numerik pada gambar 4 di atas, dapat diketahui
bahwa kondisi stabil asimtotik lokal terjadi pada nilai proporsi 𝑠1 = 0.2677012791, 𝑠2 =
0.6118886380, 𝑒= 0.0006268801098, 𝑖1 = 0.0005956406851
𝑖2 = 0.001120710336,
dan
𝑟=
0.1180668518. Jumlah masing-masing sub populasi adalah 𝑆1 = 73832013, 𝑆2 = 168758886, 𝐸=
172894, 𝐼1 = 164278, 𝐼2 = 309092, dan 𝑅= 32562838. Hasil simulasi numerik untuk nilai parameter 𝑢1 =
30%, 𝑢2 = 70%, dan 𝑣= 50% dapat dilihat pada gambar 5 berikut Gambar 5. Titik Ekuilibrium Endemik untuk 𝑢1 = 30%, 𝑢2 = 70%, dan 𝑣= 50% Gambar 5. Titik Ekuilibrium Endemik untuk 𝑢1 = 30%, 𝑢2 = 70%, dan 𝑣= 50% Volume 3, No. 1, Juli 2023 10/12 Jurnal Riset Matematika (JRM) Jurnal Riset Matematika (JRM) Nilai Basic Reproduction Number untuk nilai parameter 𝑢1 = 30%, 𝑢2 = 70%, dan 𝑣= 50% diperoleh
sebesar 2.720336399 di mana 𝑅0 > 1. Dari hasil simulasi numerik pada gambar 5 di atas, dapat diketahui
bahwa
kondisi
stabil
asimtotik
lokal
terjadi
pada
nilai
proporsi
𝑠1 = 0.1290030443, 𝑠2 =
0.05479775333, 𝑒= 0.009711816985, 𝑖1 = 0.0191420908, 𝑖2 = 0.007441022056,
dan
𝑟=
0.7798971542. Jumlah masing-masing sub populasi adalah 𝑆1 = 35579040, 𝑆2 = 15113220, 𝐸=
2678519, 𝐼1 = 5281352, 𝐼2 = 2052234, 𝑅= 215095635. Tabel 5. Estimasi Nilai Parameter 𝜇, 𝛽, 𝛼, dan 𝛾 Berdasarkan hasil simulasi numerik yang terlihat pada gambar 4 dan gambar 5, dapat diketahui bahwa
titik ekuilibrium endemik stabil asimtotik lokal pada saat nilai 𝑅0 > 1. Hasil tersebut dapat diartikan bahwa
apabila kondisi-kondisi dalam populasi menyebabkan nilai 𝑅0 > 1, maka penyakit akan tetap ada dalam
populasi dan akan menjadi endemik. D.
Kesimpulan Dari penjabaran hasil di atas, dapat disimpulkan bahwa (1) Jika 𝑅0 < 1, maka titik ekuilibrium bebas
penyakit bersifat stabil asimtotik lokal. Dengan kata lain, penyakit akan hilang dari populasi pada kondisi-
kondisi yang menyebabkan nilai 𝑅0 < 1; (2) Jika 𝑅0 > 1, maka titik ekuilibrium endemik bersifat stabil
asimtotik lokal. Hal tersebut dapat diartikan bahwa penularan penyakit akan tetap terjadi dalam populasi,
penyakit tetap ada dan tidak hilang dalam populasi sehingga terjadi kondisi endemik pada kondisi-kondisi
yang menyebabkan nilai 𝑅0 > 1; (3) Penggunaan masker kesehatan dan pelaksanaan vaksinasi berperan dalam
penurunan nilai Basic Reproduction Number. Hasil yang diperoleh dapat diartikan bahwa penggunaan masker
kesehatan dan pelaksanaan vaksinasi dapat menekan penyebaran penyakit Covid-19 dalam populasi. [10]
A. Aschengrau and G. R. Seage, Essentials of Epidemiology in Public Health. 2020. Shahnaz Afia et al. Model SEIR Penyebaran Covid-19 dengan Parameter Penggunaan Masker Kesehatan,... . Daftar Pustaka [1]
S. Kashte, A. Gulbake, S. F. El, A. Iii, and A. Gupta, “COVID - 19 vaccines : rapid development ,
implications , challenges and future prospects Indian Council of Medical Research,” Human Cell, vol. 34, no. 3. pp. 711–733, 2021. [2]
M. A. Alfiansyah and E. Kurniati, “Analisis Portofolio Saham Syariah di Masa Pandemi Covid-19
dengan Mengunakan Multi Indeks Model,” Jurnal Riset Matematika, pp. 30–36, Jul. 2022, doi:
10.29313/jrm.v2i1.795. [3]
A. Gupta, S. Kashte, M. Gupta, H. C. Rodriguez, S. S. Gautam, and S. Kadam, “Mesenchymal stem
cells and exosome therapy for COVID-19: current status and future perspective,” Hum Cell, vol. 33,
no. 4, pp. 907–918, 2020, doi: 10.1007/s13577-020-00407-w. [4]
M. Manaqib, I. Fauziah, and M. Mujiyanti, “Mathematical Model for MERS-COV Disease
Transmission with Medical Mask Usage and Vaccination,” InPrime: Indonesian Journal of Pure and
Applied Mathematics, vol. 1, no. 2, pp. 97–109, 2019, doi: 10.15408/inprime.v1i2.13553. [5]
F. Brauer, C. Castillo-Chavez, and Z. Feng, Mathematical Models in Epidemiology. New York:
Springer, 2019. doi: 10.1007/978-1-4939-9828-9_17. [6]
C. Castillo-Chavez, Z. Feng, and W. Huang, “On The Computation of R0 and Its Role on Global
Stability,” no. February, 2001. [7]
BPS,
“Jumlah
Penduduk
Pertengahan
Tahun
(Ribu
Jiwa),
2020-2022.”
https://www.bps.go.id/indicator/12/1975/1/jumlah-penduduk-pertengahan-tahun.html [8]
S. Annas, Muh. I. Pratama, Muh. Rifandi, W. Sanusi, and S. Side, “Stability analysis and numerical
simulation of SEIR model for pandemic COVID-19 spread in Indonesia,” no. January, 2020. [9]
J. A. Spencer et al., “Epidemiological parameter review and comparative dynamics of influenza,
respiratory syncytial virus, rhinovirus, human coronavirus, and adenovirus,” medRxiv, p. 2020.02.04.20020404, 2020. e-ISSN 2798-6306 | p-ISSN 2808-313X 11/12 [10] 12/12 Volume 3, No. 1, Juli 2023 Volume 3, No. 1, Juli 2023
|
W4307834406.txt
|
https://www.nature.com/articles/s41598-022-21783-3.pdf
|
en
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Revealing low-temperature plasma efficacy through a dose-rate assessment by DNA damage detection combined with machine learning models
|
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OPEN
Revealing low‑temperature plasma
efficacy through a dose‑rate
assessment by DNA damage
detection combined with machine
learning models
Amal Sebastian1,2, Diana Spulber1,2,3, Aliaksandra Lisouskaya1 & Sylwia Ptasinska1,2*
Low-temperature plasmas have quickly emerged as alternative and unconventional types of
radiation that offer great promise for various clinical modalities. As with other types of radiation, the
therapeutic efficacy and safety of low-temperature plasmas are ubiquitous concerns, and assessing
their dose rates is crucial in clinical settings. Unfortunately, assessing the dose rates by standard
dosimetric techniques has been challenging. To overcome this difficulty, we proposed a dose-rate
assessment framework that combined the predictive modeling of plasma-induced damage in DNA
by machine learning with existing radiation dose-DNA damage correlations. Our results indicated
that low-temperature plasmas have a remarkably high dose rate that can be tuned by various process
parameters. This attribute is beneficial for inducing radiobiological effects in a more controllable
manner.
Low-temperature plasmas (LTPs), generated from an electrical discharge at atmospheric pressure and room
temperature, are reservoirs of diverse physical and chemical components that can be delivered to and significantly affect any biological target. The reactive ability and tunability of plasma properties have triggered a surge
in scientific interest in basic and applied interdisciplinary research on LTPs. In their applications, LTPs have
been integrated into modern strategies for medical treatments in which plasma can act as a unique source of
radiation1–3. The potential of LTPs now extends to the inactivation of the SARS-CoV-2 v irus4–6, in addition to
its already proven clinical efficacy in cancer t herapy7–9 and wound h
ealing10,11.
One critical aspect that dictates the therapeutic efficacy and safety of irradiation is the dose rate, which is the
radiation energy absorbed per unit of mass of the target within a unit of time. The rate spans an extensive range
of values of grays per second (Gy/s) in medical settings12. Different radiation dose rates are deliberately used for
different medical purposes because there is a strong correlation between the dose-rate level and the biological
effects, such as cell survival, DNA damage, and gene e xpression13. In practice, the dose rate of the specific type
of radiation is measured by detectors or dosimeters, or calculated, or both. Different types of dosimeters are
used depending on several factors, such as the nature of the radiation, the dosimeter’s physical form, and the
mechanisms employed to detect the dosimeter’s response to radiation. For example, chemical dosimeters, such as
the Fricke dosimeter, are used as a primary standard of the dose absorbed in water and are valid to calibrate the
absorbed dose in liquids, or the so-called water-equivalent dose. If potential health effects need to be assessed, a
biodosimeter such as the alanine dosimeter is used because its composition is similar to living tissue. Thus, the
so-called tissue-equivalent dose can be obtained with this type of dosimetry. A dosimeter is chosen according
to its properties that evolve as a function of the dose rate delivered to the target exposed to ionizing radiation.
Traditional chemical dosimetry13–17 and b
iodosimeters18 have been employed to assess the radiation dose
from LTPs. However, they were mostly limited to quantifying the specific species typically generated from water
radiolysis (Fricke dosimetry) and persistent radicals derived from the amino acid (alanine dosimetry).
The properties of LTPs, and, therefore, the physical, chemical, and biological responses resulting from its
radiation, can be combined and tuned by changing numerous plasma process parameters, such as the type of
1
Radiation Laboratory, University of Notre Dame, Notre Dame, IN 46556, USA. 2Department of Physics and
Astronomy, University of Notre Dame, Notre Dame, IN 46556, USA. 3Department of Applied and Computational
Mathematics and Statistics, University of Notre Dame, Notre Dame, IN 46556, USA. *email: sptasins@nd.edu
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electrical discharge, pulse voltage characteristics, irradiation time, composition of the feed gas and its flow rate,
and even ambient conditions, to name a few19–23. Another methodology used the equivalent total oxidation potential, which relies on all reactive oxygen and nitrogen species and UV emissions produced by LTP to determine
the plasma dose24. Thus, in the context of LTP radiation, which results in various effects, there are limitations
and uncertainties related to the usage of a specific dosimeter to measure the plasma dose rate.
Moreover, in contrast to other types of radiation, LTP has a complex composition of species, in which there
is a synergistic interplay between plasma energetics and chemistry. This restricts the possible computational
methods that can be used to calculate the plasma dose rate as conventionally defined in radiation research.
Therefore, new strategies for the routine determination of delivered plasma doses remain a challenge, and it
is an emerging need to translate LTP applications from lab-based research into clinical treatment3,9,25.
In this work, we developed an innovative strategy by building a supervised machine learning (ML) framework that incorporated an extensive experimental database obtained in our laboratory, literature-based dose
rates reported for different types of radiation, and specific deep learning algorithms for generating physically
consistent predictive models. The framework consisted of a task workflow that aimed to predict the plasma dose
rate from the extent of DNA damage, an indicator of the biological efficacy of LTP, which occurred at specific
plasma parameters. The workflow involved finding the irradiation time that corresponded to the extent of DNA
damage in the aqueous solution induced by LTP and then comparing it with those times obtained from the correlation between absorbed dose and aqueous DNA damage induced by other known types of radiation. Thus,
the dose rate for LTP modeled at any combination of plasma process parameters would allow us to assess the
ability of plasma to offer competent therapeutic efficacy with ensured radiation safety14,26–29. We also measured
the LTP dose rates using two traditional dosimeters at a given set of process parameters and compared the values
obtained with those computed using the framework.
Results
Generation of predictive models and LTP dose‑rate extraction. First, we generated a robust predictive model that provided the extent of plasma-induced DNA damage for a given set of process parameters.
The experimental data used to create the predictive model were acquired through the approach of design of
experiments (DoE) using a helium-fed LTP source and the plasmid DNA as a biomolecular target20,22 (see Supplementary Information (SI) Fig. S1). For the DoE, we assessed the impact of four crucial LTP process parameters, such as the applied voltage, frequency, irradiation time, and feed gas flow rate, on plasma-induced DNA
damage which we analyzed using electrophoresis (Fig. S2, Table S1). The data obtained and incorporated into
the DoE matrix were split into training and testing data, and predictive modeling was implemented following the
standard supervised ML workflow (Fig. S3). The data distribution for the DNA damage (Fig. S4) revealed many
rare values, most of which corresponded to DNA damage at relatively short irradiation times. The rare values
that correspond to the minority data were oversampled at the refining stage of the ML algorithm model (Fig. S5)
using the synthetic minority oversampling algorithm30 (Fig. S6).
Our experimental studies showed an increase in the extent of DNA damage with longer irradiation times for
all combinations of other process parameters (Fig. S7). As expected, this occurred due to more interactions of
plasma species, especially radicals with the t arget9. This physical phenomenon showed a linear dependence in
a specific time regime, after which a slower accumulation of damage appeared. Therefore, to develop predictive
models that obey this time-dependence correlation, we considered a physics-guided neural network (PGNN)31,
which is a sophisticated deep learning algorithm based on an artificial neural network model (Fig. 1a). The
implemented PGNN incorporated a physical loss function (Fig. 1a) that captured any violation in the data that
showed any deviation from this time dependence. Then, we evaluated the test data set using the cross-validated
model acquired from hyperparameter optimization (Fig. S5). The test data evaluation scores and cross-validation
(CV) scores for PGNN, as well as those for other implemented ML algorithms, are summarized in Fig. 1b,c.
Based on these scores, we identified three algorithms with the best performance for the predictive model: a gradient boosting regressor (GBR); support vector regression (SVR), and PGNN. However, our further inspection
indicated that, although GBR and SVR offer impressive CV and evaluation performance, they fail to preserve
the physical consistency for irradiation times shorter than 10 s and longer than 40 s, respectively (Fig. 1d,e,
Fig. S8). In contrast, PGNN, in addition to providing the best scores (Fig. 1f), obeys the physical consistency for
time dependence (Fig. 1d,e). Thus, PGNN was selected and used as a predictive model for the next task of the
framework, which was to extract the dose rate for LTP radiation.
Next, we created a LTP dose-rate extraction framework that combined the predictive model and the correlation between the absorbed dose and radiation-induced DNA damage (hereafter denoted as dose-DNA damage) for particulate and electromagnetic radiation, including electrons, ions, gamma rays, X-rays, and UV rays
(Fig. S9). Based on the initial assumption that these dose-DNA damage correlations corresponded to the extent
of DNA damage for LTP radiation, we collected the dose-DNA damage data from the rich body of literature
reported over decades by several research groups (see Methods), and the data for plasma-induced DNA damage were systematically measured in our laboratory. In this task, we generated an irradiation time finder (ITF)
console, which predicted the irradiation time in which LTP will cause the same extent of DNA damage as other
types of radiation. For example, Fig. 2 shows the workflow that we implemented to find the dose rate for LTP
from the data in the existing literature for dose-DNA damage for gamma rays (see Methods). These data were
then fed into the ITF console, which operated by blending the predictive model with the dose database. Specifically, it provided the irradiation time (for LTP radiation, at a given set of three process parameters: voltage,
frequency, and flow rate), which is the time at which plasma produced the equivalent extent of DNA damage
(Fig. 2a) corresponding to the highlighted point in the dose-DNA damage database (Fig. 2b). Then, following
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Figure 1. Overview of the predictive modeling. (a) Schematic diagram of the implementation of PGNN.
Summary of evaluation scores on the test data (b) and cross-validation scores (c) for the different ML models.
The metrics include root-mean-squared error (RMSE) and mean absolute error (MAE). Time dependence for
DNA damage was modeled for two sets of process parameters: 10 kV, 4 kHz, and 2 standard liters per minute
(slm) (d), and 11 kV, 3 kHz, and 2 slm (e), indicating physical violation for GBR and SVR. (f) Evaluation plot of
the un-augmented test data for PGNN. Evaluation scores are R
2 = 0.976, RMSE = 2.45, and MAE = 2.2.
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Figure 2. Workflow for the extraction of dose-rate values. (a) LTP-induced DNA damage versus irradiation
time as modeled using PGNN for process parameters: 8 kV, 1 kHz, and 2 slm. (b) Dose-DNA damage
correlations for gamma rays obtained from the literature. (c) Illustration of the ITF console used to obtain the
dose-rate value for a selected data point, which is highlighted by the blue square in (b). Dose rates versus DNA
damage obtained from the ITF console (d), and the transformed graph when clustering was performed (f). The
clustering revealed four different clusters, represented by color: yellow, cyan, red, and purple (Table S2). Dose
rate versus absorbed dose before (e) and after clustering (g).
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our initial assumption of the equivalency of dose-DNA damage correlations for both types of radiation, the LTP
dose rate was approximated as in Eq. (1):
dose
LTP dose rate voltage, frequency, flow rate =
,
tirr
(1)
where tirr is the irradiation time estimated through the ITF console (Fig. 2c) for the highlighted point in the doseDNA damage plot (Fig. 2b). We repeated this procedure for each data point in the dose-DNA damage database
(Fig. 2b), which resulted in generating LTP dose rates corresponding to the equivalent extent of DNA damage
and the absorbed dose as seen in Fig. 2d,e. Both plots revealed that the estimated dose-rate values are spread
over a wide range from 0.1 to 15 Gy/s. Therefore, we needed to cluster the dose-rate values into four distinct
data groups (Fig. 2f,g). We accomplished this by incorporating a clustering console to convert the dose rates into
clusters through K-means clustering of the dose-rate values followed by outlier treatment for each cluster. We
then computed the centroid (i.e., the mean of each cluster) and standard deviation in dose rates for each cluster
(Table S2). Similarly, we encountered spread patterns in dose-rate plots for other types of radiation (Fig. S10),
and we followed the clustering procedure to obtain the values for all clusters, as summarized in Table S3. It is
important to note that formation of clusters in a wide range of dose rates can be attributed to different types of
DNA and buffers used, as well as other experimental factors in the data reported in the literature which were
incorporated into our modeling.
LTP dose‑rate dependence on plasma process parameters. Our LTP dose-rate framework evalu-
ated the dose rate for LTP at a given set of process parameters; however, plasma-induced DNA damage evolves
when these parameters are varied. Therefore, we investigated the evolution of dose rates for different process
parameters in our experiments. For example, Fig. S11 shows the effect of voltage and frequency on the dose-rate
values at a constant flow rate of 2 standard liter per minute (slm) for LTP, at which the extent of DNA damage at
the specific irradiation time is equivalent to the damage by gamma radiation. With an increase in frequency, a
centroid of dose-rate values increases up to as much as 20 Gy/s for this case (Fig. S11b,c, Movie S1). Although an
increase in the dose-rate with voltage also occurs, the effect is less significant than the one observed with a rise
in frequency (Fig. S11d,e, Movie S2).
Similarly, we computed the evolution of the dose-rate dependence with voltage and frequency if the DNA
damage by LTP is equivalent to the effects from other radiation types. Figure 3 and Fig. S12 represent the average dose rate estimated for clusters with the lowest dose rate for LTP compared with different radiation types.
Generally, in radiation research, the dose-rate effect is associated with the yield of specific reactive species, which
induce chemical alterations in the biomolecular t arget13. Using a traditional chemical dosimeter in our previous
study, we observed an increase in the total amount of reactive species as a function of frequency and voltage
for the same LTP source15. Thus, the increase in the estimated dose rate with a frequency and voltage in this
study can be related to the increase in the number and/or type of plasma species responsible for DNA damage.
However, our ML framework has not yet included calculations on any possible chemical reactions upon LTP
irradiation. Nevertheless, the prospect of adjusting the dose rate of LTP by tuning the process parameters offers
great potential for a wide range of applications in medical t reatments32,33.
Comparison of modeled and measured LTP dose‑rate values. The above described LTP dose-rate
extraction framework was based on the initial assumption that the effects of LTP on DNA damage would correspond with the one from the dose-DNA damage correlation by finding the irradiation time for a given radiation
type. Therefore, this assumption could possibly insinuate that the estimated value of the dose rate for LTP will be
the same as the measured dose rate for the type of radiation used for finding this value. However, as will be further shown, that is not the case. In addition, the LTP dose rate evolves with different process parameters (Fig. 3).
Thus, to determine how the estimated dose rate for LTP relates to other radiation types, we introduced a comparative task into the ML framework. We created metrics of the estimated doses and evaluated their deviation
from the dose-rate values found in the literature for a given radiation type. Heat maps in Fig. 4a–d represent the
obtained relative deviation with dose-rate values reported for four types of radiation for the cluster with lowest
dose-rate value. The heat maps for different process parameters show the maximum disparity at a high voltage (>
9 kV) and frequency (> 2 kHz), because these parameter combinations generated high estimated dose rates for
LTP (Fig. 3). Table S4 summarizes the other metric values used for dose-rate comparison, including the ratio of
the minimum estimated dose rate of LTP for the cluster with the lowest dose rate and the dose rate found in the
literature for a given radiation type reported for DNA irradiation. The bar chart in Fig. 4e represents the average
and minimum relative deviations of the LTP dose rate and the literature values, indicating the slightest deviation
between LTP and the proton’s dose rates and the maximum disparity with X-rays. The closest match between
the minimum LTP dose rate estimated through our modeling is with the dose rate for protons. This minimum
dose rate for LTP has a magnitude of 0.2 Gy/s, which is remarkably high compared to other types of radiation.
We measured the LTP dose rates with two dosimeters, the Fricke and alanine dosimeters (Fig. 4f). We
selected these two methods because the former is used typically to estimate dose rates of liquids and yields of
water products and the latter for biological efficacy; thus, they were relevant to the type and form of our target,
an aqueous DNA.
Both dosimeters were irradiated by LTP at the same plasma conditions, which corresponded to the process
parameters for which the dose-rate values were estimated using the ML framework (Tables S2, S3). A Fricke
(ferrous-ferric ion) chemical dosimeter is widely used in radiation chemistry for the overall detection of water
radiolysis products such as the hydroxyl radical, hydrogen superoxide/hydrogen radical, and hydrogen peroxide34.
In this method, during ionizing radiation, a ferrous ion (Fe2+) is oxidized to a ferric ion (Fe3+), which has optical
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Figure 3. Dose-rate dependence with frequency and voltage. The plot of average dose rate (centroid) versus
frequency for the lowest dose-rate cluster as modeled using dose-DNA damage correlation for gamma rays (a),
alpha particles (b), protons (c), and X-rays (d) at three different applied voltages (7 kV, 8 kV, and 9 kV). The
frequency was varied from 0.5 to 4 kHz at increments of 0.25 kHz.
Figure 4. Comparison of LTP dose rates with dose rates for other types of radiation. Heat maps of the relative
deviation of the estimated dose rate of LTP with the literature values for protons (a), gamma rays (b), ions (c),
and X-rays (d) for the lowest dose-rate cluster. (e) Summary of the minimum relative deviation of dose rate and
average relative deviation of dose rate for different radiation types. See the SI about excluding UV rays, electrons,
and alpha particles in our dose-rate comparison. (f) The experimental results of LTP dose-rate measurements
using the Fricke and alanine dosimetries irradiated at the following process parameters, 8 kV, 1 kHz, and 2 slm.
See the “Methods” section and Figs. S13 and S14 for the detailed methodology and data analysis.
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absorption at ~ 304 nm; therefore, the absorbed dose can be determined based on the concentration of Fe3+35,36.
This method indicated a substantially high dose rate of approximately 0.76 Gy/s, four times higher than the
minimum dose rate for LTP of 0.2 Gy/s as stated above, obtained from the modeling for the same plasma process
parameters.
Alanine dosimetry is based on radical detection using an electron paramagnetic resonance (EPR)
spectroscopy37 that can be used over a wide dose range of 1 Gy to 150 kGy for all radiation types38. The dose
rate obtained using alanine was 0.01 Gy/s, nearly two orders of magnitude lower than the dose rate obtained by
Fricke dosimetry. The difference indicated that the two traditional dosimetry methods for assessing LTP dose
rates gave inconsistent results and that alternative methods were therefore needed.
Discussion
LTP is an emerging type of radiation that has shown already significant potential in various therapeutic applications. It could soon be used in clinical practice if the plasma radiation dose could be established. The commonly
used dosimetric procedures in radiation research, which have been utilized for decades for high-energy ionizing
radiation, have proven to be insufficient for providing accurate measurements of the LTP dose rate, which is a key
quantity of any radiation source in clinical usage. Strategies have been proposed to overcome this challenge by
defining the plasma dose in new ways3. We showed that using two different dosimetric methodologies resulted
in two distinctive dose-rate values and this was caused by several factors. The primary factors were different
mechanisms of radiation responses due to plasma irradiation and the fact that the plasma species’ penetration
and diffusivity depend on the physical form of dosimeters. For example, we measured a lower absorbed dose
rate for the alanine dosimeter, which is a solid target, compared to the Fricke dosimeter, which is a liquid target,
that was most likely attributed to lower penetration depths in solids compared to liquids. In addition, the dose
rates were slightly, but noticeably, different when the Fricke solution was stirred or unstirred during irradiation.
Also, the ionic strength of the Fricke solution and the aeration conditions39 could affect the reaction rates for the
formation of water radiolytic products. With alanine dosimetry, we observed better reproducibility of the results;
however, the solid form of this dosimeter limited the diffusion and penetration of plasma species, causing EPR
signal saturation relatively quickly.
Therefore, in this work, we proposed an alternative method that could improve our determination of the LTP
dose rates by using aqueous DNA and the damage to it; this would be an indicator of radiobiological efficacy for a
dosimeter that combines the characteristics of water- and tissue-dose equivalency. To elucidate this, we generated
a dose-rate assessment ML framework that incorporated a predictive model of plasma-induced DNA damage
based on our experimental data with the correlations of dose-DNA damage identified in the existing literature.
In this framework, we implied the equivalency of the extent of DNA damage induced by LTP with other types of
radiation having a known absorbed dose. Then we obtained the LTP dose rates by finding the irradiation times
that corresponded to this equivalency. The predictive model, which obeyed physical consistency, unraveled the
dose-rate evolution of LTP over a wide range of two process parameters, applied voltage and frequency. Varying
dose rates of plasma are of potential interest in therapeutic applications in which specific biological effects can
be targeted. The strategy in which deep learning algorithms were incorporated for generating predictive control
models was recently utilized in a prototypical setup for the delivery of a safe dose of p
lasma40.
Furthermore, we extended our methodology to show the effectiveness of LTP for DNA damage in relation
to that of different radiation types by comparing the estimated plasma dose rate with the rates reported in the
literature. We also compared the modeled values with those measured by two common dosimetric techniques.
Our experimental studies and ML framework did not include the effects of other factors (e.g., the type of
DNA and buffer used) or other plasma process parameters (e.g., the duty cycle of the plasma pulse) on DNA
damage. Thus, our framework excluded any deviations that could arise because of a change in these parameters.
More investigations should be performed in future to assess these parameters’ effect on the dose-rate estimation.
Nevertheless, our conclusion that LTP can provide high dose rates (0.2 Gy/s), even higher than those of
protons, is a promising and striking outcome. It revealed a value between those obtained from two dosimetric
methods.
Despite the high dose-rate effect of LTP, it is considered a safe radiation source for treatment14,26–29. Therefore,
LTP is a beneficial therapeutic tool for diverse clinical applications, particularly for situations in which high
dose-rate radiation is required to induce specific biological outcomes.
Methods
Plasma‑induced DNA damage and dosimetry: experiment. The helium-fed, LTP source used for
our experiments was operated based on a dielectric barrier discharge, and it had the same design (Fig. S1) as the
one implemented in our previous studies41. We used pUC18 plasmid DNA (Thermo Fisher Scientific, Waltham,
MA) as a target for LTP irradiation. Plasmid DNA was placed under the tube orifice for LTP irradiation at several different sets of process parameters. After irradiation, we collected DNA and loaded it to the agarose gel for
further processing electrophoresis technique (Biorad Inc, Hercules, CA) and imaging methods to quantify the
extent of plasma-induced DNA damage, that is the percentage of strand breaks in the DNA and its denaturation.
We followed the methodology described in the SI.
Finally, we incorporated the data into the design of the experiments matrix for the generation of the dataset,
which we used for predictive modeling.
We used a Fricke dosimeter that contains 1.4 mM F
e2+ (iron (II) sulfate heptahydrate from Sigma Aldrich Inc,
St. Louis, MO) in 0.4 M H
2SO4 saturated with O
2. We used alanine pellets (GEX corporation, Centennial, CO)
having a 4 mm diameter and 2.35 mm thickness, and a composition of 93% of pure l-ɑ-alanine.
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We carried out EPR measurements using Bruker EMXplus spectrometer (Bruker Corporation, Billerica,
MA) with ER4119HS standard resonator in X-band (9.77 GHz). Next, we determined the response of alanine
dosimeters to plasma irradiation by comparing them to those after 60Co gamma-ray irradiation.
Generation of dose‑DNA damage database. Our proposed dose-rate assessment framework for
extracting dose rates for LTP radiation at various combinations of process parameters used the correlations
from the literature reported between the absorbed dose and radiation-induced DNA damage (denoted as doseDNA damage) for different types of radiation (Fig. S9). The first step for executing the proposed strategy was to
create the database of dose-DNA damage correlation by performing a literature survey. The extensive literature
survey consisted of dose-DNA damage correlations for the following types of radiation: alpha particles, gamma
rays, X-rays, ions such as carbon, iron, and helium, protons, electrons, and UV rays. Based on the literature data,
we generated the dose-DNA damage correlations for all types of radiation (alpha particles, gamma rays, ions,
protons, UV rays, electrons and X-rays) that were implemented into the workflow of LTP dose-rate extraction.
Supervised machine learning (ML) models. We used the standard supervised ML workflow to perform predictive modeling of the total plasma-induced damage to DNA damage (Fig. S3). Initially, the overall
data acquired from DoE were split into training and test data folds (75:25 ratio). Then, the training data were
entered into an ML algorithm, and the refinement/learning using cross-validation was performed on the training data. The ML algorithms chosen for modeling included linear regression, decision tree regression, ensemblebased algorithms (random forest regression, gradient boosting regression, AdaBoost regression), support vector
regression, etc.
The oversampling of the data was done during the model refinement stage, in which the minority data region
(Fig. S4) in each training fold was augmented by the synthetic minority oversampling technique (SMOTE). The
potential class imbalances that could occur during the augmentation of the minority regions were counterbalanced by sufficiently oversampling the majority region of the data. Model refining using hyperparameter tuning
of the ML algorithm was performed in the learning phase and was implemented via grid-search cross-validation
(CV). A fivefold grid-search CV was performed on the training data with SMOTE applied individually after
the training and validation fold split (Fig. S5). We recorded the best CV scores for different ML algorithms and
conducted the final assessment of the model by evaluating the refined cross-validated model on the unaugmented
test data (Fig. S3).
One of the ML algorithms that we used to model plasma-induced DNA damage was a P
GNN31. The extent
of DNA damage increased as the irradiation time was extended (Fig. S7), causing a larger number of plasma
interactions with DNA that provides one of the physical effects observed in our experiments. Therefore, we
included the time dependence of DNA damage in our predictive modeling using PGNN. Any physical inconsistency could be captured because PGNN functions incorporated an extra loss term, namely the physical loss
function (PHYLOSS), into the pure ANN loss function. In other words, any violation to the time dependence
of total plasma-induced DNA damage can be eliminated in the modeling. Next, we used similar procedures to
refine the model and for grid-search cross-validation, as we did for other ML algorithms; the only difference was
that the extra physical loss function was incorporated to produce physically consistent predictions. We found
that a three hidden-layer model architecture with 50 neurons provided supreme prediction performance and
physical consistency from the hyperparameter tuning process using grid-search CV. More details on modeling
are presented in the SI.
Data availability
The datasets used and/or analyzed during the current study are available from the corresponding author on
reasonable request.
Code availability
Python codes that were used in the analysis are available on request from the authors (S. Ptasinska and A.
Sebastian).
Received: 8 July 2022; Accepted: 4 October 2022
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Acknowledgements
This work was supported by the U.S. Department of Energy Office of Science, Office of Basic Energy Sciences
under Award Number DE-FC02-04ER15533. This is contribution number NDRL 5347 from the Notre Dame
Radiation Laboratory.
Author contributions
A.S. and S.P. proposed and devised the idea; D.S. did the literature survey for the dose data; A.S. did the experiments and designed the machine learning models, including physics guided neural networks; A.S. and D.S. did
the dose rate deviation calculations, and visualization; A.L. conducted the Fricke and alanine dosimetries; all
authors discussed the results and wrote the manuscript.
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Competing interests
The authors declare no competing interests.
Additional information
Supplementary Information The online version contains supplementary material available at https://doi.org/
10.1038/s41598-022-21783-3.
Correspondence and requests for materials should be addressed to S.P.
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© The Author(s) 2022
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https://www.cambridge.org/core/services/aop-cambridge-core/content/view/CBEC92E1B0E380C2813FEBC60A244947/S1742360023000606a.pdf/div-class-title-fear-generalization-and-mnemonic-injustice-div.pdf
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English
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Fear Generalization and Mnemonic Injustice
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Episteme
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Abstract This paper focuses on how experiences of trauma can lead to generalized fear of people,
objects and places that are similar or contextually or conceptually related to those that
produced the initial fear, causing epistemic, affective and practical harms to those who
are unduly feared and those who are intimates of the victim of trauma. We argue that
cases of fear generalization that bring harm to other people constitute examples of injust-
ice closely akin to testimonial injustice, specifically, mnemonic injustice. Mnemonic injust-
ice is a label that has been introduced to capture how injustice can occur via the operation
of human memory systems when stereotypes shape what is remembered. Here we argue
that injustices can also occur via memory systems when trauma leads to a generalized
fear. We also argue that this calls for a reformulation of the notion of mnemonic injustice. Keywords: Memory; injustice; mnemonic injustice; epistemic injustice; fear; fear generalization;
marginalization; vulnerability Episteme (2024), 1–27
doi:10.1017/epi.2023.60 Marina Trakas1†
and Katherine Puddifoot2*† Marina Trakas1†
and Katherine Puddifoot2*† 1Instituto de Investigaciones Filosóficas (IIF), Consejo Nacional de Investigaciones Científicas y Técnicas
(CONICET) / Sociedad Argentina de Análisis Filosófico (SADAF), Bulnes 642, CP: 1176, CABA, Argentina
and 2Durham University, Durham DH1 3HN, UK *Corresponding author: Katherine Puddifoot; Email: katherine.h.puddifoot@durham.ac.uk (Received 25 May 2023; revised 26 September 2023; accepted 18 November 2023) © The Author(s), 2024. Published by Cambridge University Press. This is an Open Access article, distributed under the
terms of the Creative Commons Attribution licence (http://creativecommons.org/licenses/by/4.0/), which permits unre-
stricted re-use, distribution and reproduction, provided the original article is properly cited. †These authors contributed equally to this work. †These authors contributed equally to this work.
1These quotes are from a qualitative study of experiences of parenting in people with PTSD (Christie
et al. 2023).
© The Author(s), 2024. Published by Cambridge University Press. This is an Open Access article, distributed under the
terms of the Creative Commons Attribution licence (http://creativecommons.org/licenses/by/4.0/), which permits unre-
stricted re-use, distribution and reproduction, provided the original article is properly cited. 1. Introduction It was really difficult, I think because she wasn’t going to be with me. And I was
going to have to entrust her to another human being, and I didn’t want to. She
would have to be on her own with a person that I didn’t know for hours, and
she was toilet training. I was so worried something was going to happen…. (PID 020, mother) (Christie et al. 2023). Oh no, no. I didn’t want him to become harmed in any way, so I wouldn’t take
him to ice hockey or things. I just wouldn’t go. It was just sheer anxiety. I was
so concerned for his [child] safety…I’d already had one accident and that was
the only time I’d had an accident and I certainly didn’t want to have another
one. (PID 007, father) (Christie et al. 2023).1 †These authors contributed equally to this work. 1 1These quotes are from a qualitative study of experiences of parenting in people with PTSD (Chri
al. 2023). https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press Marina Trakas and Katherine Puddifoot 2 Fear generalization occurs when a person experiences a fear response that spreads, and
fear is triggered by items that differ, sometimes significantly, from the original object
that caused the fear. This paper explores the impact of the pathological spread of fear
on those who interact or live with people experiencing this pathology, such as children
of parents who are overprotective because of their past traumatic and fear-inducing
experiences. We argue that the effect on other people of overgeneralized fear can be
an injustice, specifically, a mnemonic injustice. Fear overgeneralization brings significant costs to the person who directly experi-
ences the fear. The costs can be affective because of the fear that is experienced but
also because people experiencing generalized fear can suffer from stress and anxiety. They can be practical, as people experiencing fear that generalizes can fail to gain social
and economic benefits, for example, due to withdrawing from situations in which their
fear may be elicited. There can also be epistemic costs associated with experiencing fear
that generalizes, as we shall see in more detail below (section 4 and see also Puddifoot
and Trakas 2023). However, our primary focus in this paper is specifically on the harms
inflicted on other people as a result of a person’s overgeneralized fear that occurs due to
trauma. 2We leave open the question whether there can be mnemonic injustice in the absence of independently
wrongful acts. We will have achieved our aim of showing that there can be mnemonic injustice via fear
generalization if in this paper we show that where there is wrongdoing there is injustice. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 1. Introduction We argue that these indirect harms of fear overgeneralization can be injustices. More
specifically, when one person’s fear generalizes, the spreading of the fear can be impli-
cated in injustice towards others. To clarify, we do not take the person who experiences
the fear, or their cognitive mechanisms, to be responsible for the injustice. Instead, we
view their memory systems to be a vehicle through which injustice occurs. We also do
not mean to say that on any occasion where a person is harmed by another person’s
overgeneralized fear there is an injustice. Instead, we make space for the idea that
there can be mnemonic injustices via fear overgeneralization by arguing that generalized
fear can be implicated in injustice when the initial fear is due to wrongdoing and those
affected by the overgeneralized fear are in a situation of vulnerability.2 Children of over-
protective parents can be vulnerable, for example, as can otherwise marginalized indi-
viduals. We will provide details of this vulnerability and how it can be a source of
injustice below. Because fear generalization is an extension of a conditioned fear response that
spreads, it is an effect of non-declarative memory. The injustice that we identify is there-
fore a mnemonic injustice where this is broadly conceived as an injustice that occurs
where the operation of one person’s memory mechanisms both prevents that person
from gaining knowledge and brings epistemic and/or practical harms, and wrongs, to
other people. The label mnemonic injustice has been introduced to capture how stereo-
types shape what people remember about their personal pasts (Puddifoot forthcoming). In this paper, we will argue that there are sufficient similarities between stereotype-
driven cases of mnemonic injustice and some examples of pathological fear generaliza-
tion that the latter should be classified as mnemonic injustices. Accepting that there can
be mnemonic injustice in these types of cases involves accepting some modifications to
how mnemonic injustice has previously been conceived, not least accepting that it can
happen via non-declarative memory in addition to declarative episodic or semantic
memory. 2We leave open the question whether there can be mnemonic injustice in the absence of independently
wrongful acts. We will have achieved our aim of showing that there can be mnemonic injustice via fear
generalization if in this paper we show that where there is wrongdoing there is injustice. 2. The original notion of mnemonic injustice and the parity claim There has been extensive work outlining how societies can cultivate collective amnesia
or ignorance and thus bring injustice to (some of) their members (e.g. Beiner 2018;
Blustein 2008; Connerton 2009; Jacoby 1975; Mills 2007; Stone and Hirst 2014). In
recent work exemplifying this approach, for example, Tanesini (2018) argues that
there are injustices that occur when, in response to trauma, societies engage in a process
of destroying objects that may be reminders of the trauma, cultivating a form of collect-
ive amnesia or ignorance. However, there has been a relative paucity of discussion of
how individuals’ memory systems can be implicated in injustices towards others with-
out the injustice involving collective remembering or amnesia. Only recently has
Puddifoot (forthcoming) analysed one specific way in which an individual’s personal
memories can be implicated in injustices towards other people. Puddifoot has surveyed
psychological research suggesting that stereotypes can shape how events in one’s per-
sonal past are remembered and argued that memories of this kind can be implicated
in injustices. She has labelled injustices of this type, occurring due to personal memory
mechanisms, mnemonic injustices. One main goal of this paper, then, is to show that
cases of fear generalization can also be cases of mnemonic injustice. To understand the value of this claim, it is important to first see how the notion of
mnemonic injustice has previously been used (Puddifoot forthcoming). Central to the
case for taking mnemonic injustice seriously is a parity claim: cases where memories are
implicated in injustice are often similar in both kind and severity to cases of testimonial
injustice. Testimonial injustice has been studied extensively and taken extremely ser-
iously as a source of injustice (see, e.g. Fricker 2007; Kidd et al. 2017), so mnemonic
injustice should also be. This section outlines the basis of this parity claim, and in
the process defines the contours of mnemonic injustice as described in previous work. The parity claim was formulated in response to psychological findings demonstrat-
ing how stereotypes shape what is remembered about social actors and events
(Puddifoot forthcoming). 1. Introduction https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press Episteme 3 The structure of the paper is as follows. In section 2 we introduce the notion of mne-
monic injustice, and highlight its usefulness. In section 3 we provide more detail about
fear generalization and lay out the basic structure of the argument in support of there
being mnemonic injustice that occurs via pathological fear generalization. Section 4
outlines epistemic costs from fear generalization for the person whose memory systems
are directly impacted by the fear. Section 5 outlines how other people who are unduly
feared can undergo epistemic, affective and practical costs. Section 6 describes how inti-
mates of people who experience generalized fear can also experience each of these types
of cost. Section 7 makes the case that the costs outlined in 5 and 6 are harms that con-
stitute wrongs. Section 8 compares fear generalization to previously identified forms of
mnemonic injustice and testimonial injustice to consolidate the claim that the phenom-
enon can usefully be classified as a mnemonic injustice. Section 9 draws out the impli-
cations of acknowledging the mnemonic injustice of fear generalization for the search
for an understanding of the relationship between individuals’ memories and injustice. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 2. The original notion of mnemonic injustice and the parity claim These findings demonstrate two relevant biases: sometimes
people remember features of a person who is remembered (behaviours or personal
traits) that are consistent with a stereotype of their social identity better than features
that are inconsistent with a stereotype, and sometimes the reverse effect is found
(Djiksterhuis and Van Knippenberg 1995; Fyock and Stangor 1994; Hastie 1981;
Hastie and Kumar 1979; Rojahn and Pettigrew 1992; Srull 1981; Stangor and Marina Trakas and Katherine Puddifoot 4 McMillan 1992). Under conditions where a stereotype influences what is remembered
in either of these ways, a false impression can be formed about an individual social actor
or event that reflects either the stereotypical or non-stereotypical information better
than other information about the particular social actor or event. The person remem-
bering can consequently form false beliefs, fail to acquire knowledge and be ignorant
about what really happened in the past. They can suffer epistemic costs because of
the way that stereotypes shape their memory. Puddifooot (forthcoming) has argued that the epistemic costs suffered by the person
whose memories are shaped by stereotypes can be accompanied by epistemic and/or
practical costs for those who are misremembered. It is also likely to often bring affective
costs such as stress, anxiety and depression. Having one’s behaviours, attributes or per-
sonal contributions misremembered can bring substantial harms. Take for example, a
case where a manager misremembers who contributed most to a project, falsely recal-
ling, due to the influence of a stereotype, that a white male employee was a driving force
behind a project led by a black female employee. If the manager’s subsequent judge-
ments about who to promote are shaped by the stereotype-driven memory, this is an
injustice. The injustice is both epistemic, because the person who made the contribution
is misremembered to their disadvantage, and not given credit for their cognitive labour
and any knowledge and expertise that they provide; and practical, because she does not
get rewarded when promotion decisions are made. There may be an additional epi-
stemic cost to the person who is not promoted: a lack of understanding of why their
work has not been rewarded. In addition to this, there is likely to be an affective
harm: for example, a sense of being disheartened, disappointed, stressed or anxious. Each of these harms occurs because of the ignorance displayed by the manager due
to their memory biases. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 2. The original notion of mnemonic injustice and the parity claim We are now in a position to see why cases where memories are shaped by stereotypes
should be treated on a par with cases of testimonial injustice, as injustices, but of a mne-
monic type. In cases of testimonial injustice, a hearer fails to get knowledge via testi-
mony because of the influence of a stereotype on their receipt of the testimony. They
give testimony less credibility than it is due, failing to give uptake to credible testimony
that could have provided them with knowledge (Fricker 2007). In cases of stereotype-
driven mnemonic injustice, people fail to get knowledge via memory because of the
influence of a stereotype. The epistemic and practical harms that follow for those
who are the target of the stereotype are extremely similar. Both involve people receiving
a lack of recognition, either for the quality of their testimony, or the quality of their
attributes and behaviours. Testimonial injustice has been argued to have substantial
practical costs, and mnemonic injustice can too. Therefore, there is reason to think
that mnemonic injustice, like testimonial injustice, should be viewed as a serious injust-
ice, worthy of tackling. As in testimonial injustice (Anderson 2012; Fricker 2017), mnemonic injustice can
be tackled through changes to human psychology, social or institutional structures
(Puddifoot forthcoming). Where stereotypes influence what is remembered, it is pos-
sible to reduce the negative impact of the stereotypes on memory by changing people’s
psychologies in ways that reduce the extent to which they harbour stereotypes and apply
those in a specific context. People may also learn to critically reflect upon their memory
and consequently adjust the credence given to the memory to reflect the possibility that
it has been influenced by stereotypes. These psychological strategies can be complemen-
ted with structural and institutional measures that aim to reduce the presence and
prevalence of stereotypes, and their influence on people’s thoughts and memories. Episteme Episteme 5 For example, social and political measures to challenge the stereotype associating scien-
tific expertise with males and not females can reduce the distorting effect of this com-
mon stereotype on memory. It is also possible to reduce mnemonic injustice by
modifying how social institutions work so that decision-making, for example about hir-
ing and promotions, is less driven by personal memory and therefore less susceptible to
the influence of memory bias. 2. The original notion of mnemonic injustice and the parity claim For example, social and political measures to challenge the stereotype associating scien-
tific expertise with males and not females can reduce the distorting effect of this com-
mon stereotype on memory. It is also possible to reduce mnemonic injustice by
modifying how social institutions work so that decision-making, for example about hir-
ing and promotions, is less driven by personal memory and therefore less susceptible to
the influence of memory bias. At this point, it is worthwhile briefly clarifying further the relationship between
mnemonic injustice and epistemic injustice. Cases where stereotypes shape what is
remembered have been argued to be mnemonic injustices because of their similarities
to a specific type of epistemic injustice, i.e. testimonial injustice. The notion of epistemic
injustice has gained a great deal of traction since Miranda Fricker’s seminal 2007 work
Epistemic Injustice: Power and the Ethics of Knowing. It would therefore be easy to take
this paper as providing a description of a variety of epistemic injustice. However, mne-
monic injustice is not to be interpreted as a variety of epistemic injustice, although it
will sometimes involve people experiencing epistemic injustice as a part of the injustice. Instead, mnemonic injustice is an injustice that occurs due to the way that one person’s
memory systems can place a barrier to them gaining knowledge, and by the same mech-
anism bring epistemic, but also affective and practical harms, and wrongs, to other peo-
ple. Even where the harms to others from fear generalization are not primarily epistemic
harms, there can still be mnemonic injustice. In the rest of this paper, we aim to show that the concept of mnemonic injustice
ought to be applied more broadly than it has been previously, and a larger number
of cases where memory systems lead to injustice should be recognized, taken seriously
and addressed by both psychological and social interventions. We focus here on cases of
pathological fear generalization, where people’s non-declarative memory mechanisms
operate in such a way that those people experience fear in response to non-threatening
people, places and things. We show how in these cases many of the features of
stereotyping-based mnemonic injustice are present – enough to merit treating cases
of fear generalization as cases of mnemonic injustice. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 3. Fear generalization and mnemonic injustice: the basics Let us now consider in some more detail the nature of fear generalization and why it
should be taken seriously as a site for mnemonic injustice. Fear generalization is an
extension of a conditioned fear response. Under one lens, this phenomenon is highly
adaptive for survival, as it enables learned aversive responses to threats to transfer to
items more or less similar to those previously experienced as threatening (Dunsmoor
et al. 2009; Shepard 1987). However, it can become maladaptive. Although it may
not be possible to establish a clear boundary between adaptive and maladaptive fear
generalization, it can be categorized as maladaptive when fear overgeneralizes to a
wide range of objects and situations that pose no genuine threat or danger (Asok
et al. 2019). In such cases, this extended fear response tends to incur more costs
than benefits for the organism’s self-preservation. Pathological fear overgeneralization
is exemplified by the case of Little Albert, who, as an 11-month-old, was exposed to
the pairing of the stimulus of a white rat and a jarring sound (Watson and Rayner
1920). Albert developed a fearful reaction to the white rat, which could be seen as adap-
tive within the laboratory setting. However, he also exhibited this fear response to other
items that shared perceptual similarities with the rat, such as a dog, a rabbit, a fur coat,
cotton wool and even a Santa Claus hat, despite these items not posing any actual threat Marina Trakas and Katherine Puddifoot 6 to him. In this case, the child displayed a conditioned fear response that extended to a
wide range of objects beyond the initial trigger of his fear, leading to what can be
described as maladaptive fear generalization. Although in Little Albert’s case the fear
spread to items that are perceptually similar to the original elicitor of the fear, at
other times fear spreads to items that are conceptually linked to the initial experience
of fear, or to similar contexts (Bennett et al. 2015; Dunsmoor and Murphy 2015;
Dunsmoor et al. 2009; Dymond et al. 2015, 2018). Our focus here is then on cases
where the fear that overgeneralizes is pathological and is derived from an experience,
or experiences, of trauma imposed by other individuals or institutions (see also
Puddifoot and Trakas 2023).3 Fear conditioning and fear generalization are considered to be a kind of non-
declarative memory, more specifically, associative learning. 3. Fear generalization and mnemonic injustice: the basics In the standard model of
memory, long-term memory systems are often distinguished into declarative and non-
declarative (Squire 1992; Squire and Zola-Morgan 1988). Declarative memory systems
include episodic memory and semantic memory. There is much debate about how to
define episodic and semantic memory, but in general terms, episodic memory refers
to memory of events personally experienced and semantic memory refers to memory
of facts or general knowledge (Tulving 1972, 1985). Our focus here, however, is on
the category of non-declarative memory. Non-declarative memory is a broad category
that includes an array of phenomena such as memory of procedural tasks, like riding
a bike, classical conditioning of responses, such as fear conditioning, habituation, prim-
ing and other forms of implicit memory (Roediger III et al. 2017). As Milner et al. (1998) put it, ‘non-declarative memory […] underlies changes in skilled behaviour,
and the ability to respond appropriately to stimuli […] as a result of conditioning or
habit learning. It also includes […] priming’ (450). Because fear generalization involves
associative learning of a conditioned fear response, and is a matter of changes in behav-
iour and responses to stimuli so that they are considered to be fearful, the phenomenon
fits squarely into the category of non-declarative memory. In fact, several models of
emotional memory assume a dissociation between the verbally accessible memory of
the emotional event and the implicit and non-declarative memory of the emotional
event, which encodes emotionally arousing information automatically activated through
appropriate situational cues (Krikorian and Layton 1998; LeDoux 1993, 1996; Nicolas
1996; Phelps 2004; Tobias et al. 1992; for a review, see also Trakas 2021). Our focus
in this paper is on fear generalization that we suggest fits into the latter category of
memory effects. y
Although primarily a mnemonic phenomenon, there is also, of course, an affective
element to fear generalization and the harms and wrongs it produces. The person who
experiences fear that generalizes – and indeed some others who are impacted by the gen-
eralized fear in the ways we will outline below – could be classified as experiencing an
affective injustice on a broad definition of this injustice, e.g. ‘An affective injustice, […]
we can understand broadly as an injustice faced by someone specifically in their capacity
as an affective being’ (Archer and Mills 2019). 3From this point forward, whenever we mention ‘fear generalization’ or ‘generalized fear’, we will spe-
cifically be referring to the condition of pathological fear overgeneralization. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 3. Fear generalization and mnemonic injustice: the basics However, unlike previously discussed cases
of affective injustice, the injustice described at the heart of this paper is not solely or pri-
marily the injustice of having an apt affective response that one cannot express without
risking one’s prudential concerns (Srinivasan 2018). Nor is the injustice solely or primar-
ily constituted of the harms that a person can face when there is a demand for them to https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press Episteme Episteme 7 modulate an apt affective response (Archer and Mills 2019). Similarly, the injustice does
not involve a failure to give uptake to the meaning of an affective response like anger
(Whitney 2018). Instead, we are primarily concerned here with how one person’s affective
response can be implicated in wrongs towards others via the process of fear conditioning
and the spreading of the fear – that is, via non-declarative mnemonic effects. For this rea-
son, we adopt the label mnemonic injustice rather than affective injustice although, as we
shall see further below, there are aspects of the effect that we describe that will look very
much like affective injustice. Why, then, should we think that this memory effect should count as an injustice, and
specifically a mnemonic injustice? Here is the argument in a nutshell. In some cases of
pathological fear generalization: (i) the people who directly experience the fear undergo
epistemic costs because of the actions of those who inflict the fear on them – they miss
out on knowledge; (ii) marginalized individuals who unduly become the objects of fear
that overgeneralizes can experience significant epistemic and non-epistemic harms,
including affective and practical harms; (iii) other people, who are intimates of the per-
son
who
experiences
the
fear,
can
experience
significant
epistemic
and
non-epistemic harms, including affective and practical harms. It can be added to this
picture that in our target cases, i.e. those that we argue here are mnemonic injustices,
not only are people who are unduly feared or intimates of the person experiencing
the generalized fear harmed, they are also wronged by those people who inflict the
fear that becomes generalized. They are wronged first because they face a risk of
harm due to a wrongful act, i.e. the act that imposed the original trauma on the person
who experiences fear that generalizes. 3. Fear generalization and mnemonic injustice: the basics We argue that the wrongdoing of those who
impose the trauma extends beyond the initial target of the traumatic experience, to
others who are epistemically and non-epistemically harmed by the generalized fear. Second, they are wronged because they experience a disproportionate risk of harm
due to their existing marginalization or other vulnerabilities. Where an already vulner-
able individual experiences a disproportionately high risk of harm due to another’s
choice to engage in wrongdoing, we would argue that this is an injustice. In the
cases we describe this type of injustice occurs via the memory mechanisms of people
who experience fear that generalizes due to the wrongful trauma imposed on them. It is therefore a mnemonic injustice. Sections 4–7 flesh out the details of this argument. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 4. Epistemic harm to the person who experiences fear Let us begin, then, by considering how people who directly experience fear generaliza-
tion can undergo epistemic harms due to the actions of others that lead them to experi-
ence generalized fear (i.e. (i)) (see also Puddifoot and Trakas 2023), that is, how they
can miss out on knowledge. Fear generalization can happen after a traumatic event. People who experience trauma can have an extreme fear response to events, items, peo-
ple and contexts that are conceptually, perceptually or contextually related to the
trauma-inducing experience(s) (Bennett et al. 2015; Dunsmoor and Paz 2015;
Dymond et al. 2018). They can consequently engage in ‘situation management’
(Archer and Mills 2019), managing the situations that they find themselves in to regu-
late their emotions, specifically avoidance behaviour, avoiding settings which they think
are likely to trigger a fear response in them. Situation management has been described
in the literature on affective injustice, where it has been argued that a demand for mar-
ginalized individuals to attenuate their emotions by controlling the situations that they
enter can lead to further marginalization and injustice (Archer and Mills 2019). It might Marina Trakas and Katherine Puddifoot 8 therefore be said that people experiencing fear generalization due to trauma-inducing
experiences undergo an affective injustice. However, for current purposes, because we
are aiming to identify the harms and injustices suffered by other people as a result of
one person’s overgeneralized fear, the most important point is that this avoidance
behaviour due to fear generalization brings a significant epistemic cost for the person
whose memory mechanisms are implicated in injustice (for other epistemic costs see
Puddifoot and Trakas 2023). People who withdraw from settings in which they believe that they might experience
a fear response radically reduce their epistemic horizons. Perhaps the clearest cases
where people’s epistemic horizons are limited are those where young people who
experience sexual assault in educational settings consequently experience a negative
impact on their educational attainment (Duffy et al. 2004; Hill and Silva 2005;
Mengo and Black 2016). They may avoid particular buildings, skip classes, drop an
entire course, and even leave school or college, missing out on a basic level of education
that is available to most other people. This is a clear epistemic cost. 4. Epistemic harm to the person who experiences fear But other cases of
fear generalization also limit people’s epistemic horizons and prevent them from gain-
ing knowledge that can be considered to be necessary to support their objective needs
such as health, wellbeing, financial security, and autonomy. For example, people who
have experienced trauma may avoid social situations. They sometimes avoid interacting
with people with certain social identities (e.g. men or people from certain ethnic
groups), where those identities become associated with a fear response. They can
thereby miss out on gaining information that could be acquired through entering
those social settings and interacting with a wider variety of people. The information
missed can be information about trivial matters, but sometimes can be more crucial,
such as job-relevant knowledge. For instance, people who are in positions of authority
are often men, and women who have experienced sexual assault by a man can develop
problems communicating with their male bosses (Easteal 1994), losing the opportunity
to gain insider knowledge. Furthermore, victims of sexual assault often avoid sexual
encounters for a long period (Herman 1992; van Wijk and Harrison 2014), and this
prevents them from gaining knowledge about their own sexual pleasure and sexual
self, especially if they were virgin when raped. The limits placed on people’s epistemic horizons bring the additional epistemic cost
that people do not receive information that can disconfirm their negative expectations
and limit how far their fear generalizes. Some evidence suggests that people’s fear
responses can, in certain cases, be reduced on exposure to stimuli that would tend to
elicit a fear response, if they experience the stimuli as safe (Dunsmoor and Paz 2015;
Ehlers et al. 2004; Foa and Kozak 1986). Going back to school and being warmly wel-
comed by friends and teachers, talking and socialising with friendly and respectful men The limits placed on people’s epistemic horizons bring the additional epistemic cost
that people do not receive information that can disconfirm their negative expectations
and limit how far their fear generalizes. Some evidence suggests that people’s fear
responses can, in certain cases, be reduced on exposure to stimuli that would tend to
elicit a fear response, if they experience the stimuli as safe (Dunsmoor and Paz 2015;
Ehlers et al. 2004; Foa and Kozak 1986). https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 4. Epistemic harm to the person who experiences fear Going back to school and being warmly wel-
comed by friends and teachers, talking and socialising with friendly and respectful men
– each of these experiences can provide information incompatible with the fear mem-
ories and reduce fear generalization. However, individuals who avoid places, people or
items that may elicit fear, due to their fear spreading, will not be exposed to the evidence
that may help to disconfirm their fear. The limit placed on their horizons can therefore
prevent them from modulating their fear responses, and thereby removing or reducing
the limits on their horizons. The epistemic costs associated with fear generalization
therefore include both those produced by the initial limits placed on people’s horizons
and them having their horizons limited for a longer period. These are all ways in which
the epistemic agency of the person undergoing fear generalization is curbed. – each of these experiences can provide information incompatible with the fear mem-
ories and reduce fear generalization. However, individuals who avoid places, people or
items that may elicit fear, due to their fear spreading, will not be exposed to the evidence
that may help to disconfirm their fear. The limit placed on their horizons can therefore
prevent them from modulating their fear responses, and thereby removing or reducing
the limits on their horizons. The epistemic costs associated with fear generalization
therefore include both those produced by the initial limits placed on people’s horizons
and them having their horizons limited for a longer period. These are all ways in which
the epistemic agency of the person undergoing fear generalization is curbed. Note here that for there to be a mnemonic injustice the person whose memory
mechanisms
are
directly
impacted
by
a
phenomenon
(stereotyping
or
fear Episteme 9 generalization) does not have to be experiencing an injustice themselves. For example,
the person whose memories are shaped by social stereotypes, such that they fail to
remember the strong contribution played by a woman of colour in a work project,
experiences epistemic costs due to the effect, but it is far from obvious that they are sub-
ject to an injustice. It is the woman whose contributions are not remembered, recog-
nized and rewarded who is wronged and is subject to a mnemonic injustice. 4. Epistemic harm to the person who experiences fear However, some people who experience fear generalization are wronged – they are
wronged by individuals who decide to impose trauma on them, for example, via sexual
assault or rape, leading to fear that spreads, limiting, among other things, their epi-
stemic horizons. We have argued elsewhere that the wrongs that lead to limits to epi-
stemic horizons should be classified as epistemic injustices and examples of epistemic
oppression (Puddifoot and Trakas 2023). However, for current purposes what is
important to note is that sometimes people experience significant epistemic costs due
to the mnemonic effect that is fear generalization, and sometimes these epistemic
costs are the result of wrongful actions of others. In other words, people who are sub-
jected to trauma are sometimes epistemically harmed by those who impose fear in them
that generalizes. The latter point will be increasingly important in the following sections
as we come to understand the injustices experienced by others. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 5. Epistemic and non-epistemic harms to wrongful objects of fear Angela’s brother-in-law and a new neigh-
bour, who had nothing to do with the abuse she suffered, come to personify her abusers Marina Trakas and Katherine Puddifoot 10 to her, permanently reminding her of the abuse. Because she projects her fear onto
these two men, they are perceived by her as a threat and she may reject them even
when they attempt to be friendly and supportive. This experience of rejection is just one example of how being perceived as a threat
can have undesirable consequences. Those who become objects of fear may lose confi-
dence in their approachability. They may feel constrained in how they can behave
because they suspect that certain behaviours that they might otherwise display would
elicit a fear response. Many are likely to feel a sense of injustice because they have
not done anything to warrant the fear response. All of this may occur against a back-
ground of ignorance about why they are being perceived as fearful and/or being
rejected. There can therefore be accompanying epistemic harms of a lack of understand-
ing of their own experience and why it is happening. In some cases, it may be the partners of those who experience fear generalization to
whom fear is unduly spread, and in such cases there are additional specific practical and
epistemic harms that may ensue. Disturbances in sexual life and avoidance of sexual
encounters are very frequent after sexual abuse or harassment. Avoidance of sexual
intercourse – even with established partners – is common, because rape victims fre-
quently re-encounter not only specific stimuli that produce disturbing flashbacks but
also a more general feeling of being pressured or coerced that acts as a reminder of
the rape (Herman 1992; Remer and Elliott 1988; van Wijk and Harrison 2014). In
many situations, the partner of the victim does not understand the impact of what hap-
pened to them. A rape victim explains that ‘when I had that reminder [of the rape] I
couldn’t sleep with my husband without remembering what happened to me. My hus-
band didn’t understand what was happening to me’ (Easteal 1994: 102). If a victim of
assault avoids sexual encounters, this may negatively impact the partner’s self-
perception, leading them to falsely see themselves as unloved or not desirable, especially
when the reason for the avoidance of the sexual encounters is not known. 5. Epistemic and non-epistemic harms to wrongful objects of fear Next let us consider how one person’s pathological fear overgeneralization can harm
others. We can begin to do this by focusing on how the process of fear generalization,
through which fear spreads from the original object of fear to other perceptually similar,
or conceptually or contextually related objects, can lead some individuals or whole
groups of people to be unduly perceived as frightening (i.e. (ii)). As mentioned in
section 3, fear can generalize to items, individuals and places that have a physical
resemblance to the item that originally elicited the fear. It can also generalize to
items that are not perceptually similar but conceptually or contextually related to the
original item (Bennett et al. 2015; Dunsmoor and Murphy 2015; Dymond et al. 2015, 2018). What this means is that people who are physically similar to someone
who has, for example, posed a threat of physical violence, are likely to be an object
of fear even if they themselves do not pose a threat. Similarly, fear may spread to people
who are conceptually or contextually related to a person who is an original object of
fear. For example, a person’s fear may spread from an initial object of fear to others
who are viewed to be members of the same social group as this individual, even if
they and the original object of fear are not perceptually similar. Alternatively, fear
may spread to other members of the same social group but only in certain contexts
or situations, such as in social events or in dark streets at night, or to members of
the social group of people who were only circumstantially related to the traumatic
past event. It is clear that the spread of fear to people with certain characteristics or conceptually
or contextually related to the initial object of fear can be practically and epistemically
costly for those who become unduly feared. It is possible to begin to see this by con-
sidering the case of Angela in Kappler (2012). Angela is a rape victim who was sexually
abused by family members as a child. She does not get along with her new partner’s
family members with whom she is sharing a house because they remind her of her
own family from whom she suffered abuse. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 5. Epistemic and non-epistemic harms to wrongful objects of fear p
(
)
Against this background of understanding from the literature on microaggressions, it
is possible to see how strangers may be harmed by other people’s generalized fear: a
person may be harmed by the evasive action of another who fears them due to fear gen-
eralization. The target of the fear may experience emotional or psychological distress,
such as embarrassment or stress, due to the specific action. But in addition to this, a
person who is avoided through evasive action may be harmed because they experience
the evasive action as a part of a pattern of similar slights or insults. Take for example a
Black man in the UK who has experienced throughout his lifetime people crossing the
road to avoid him. Imagine a woman crossing the road due to a generalized fear that is
brought about due to a previous fear-inducing experience. The woman may cross the
road due to a generalized fear of all men, or all men in a particular setting, such as
in a dark street at night. However, for this specific Black man, the evasive behaviour
could be experienced as if it was a part of a general pattern of evasive racial microag-
gressions, with the act contributing to a significant cumulative harm. The specific eva-
sive behaviour may simply combine with other experiences that the man has had,
leading to a larger harm, or it may intensify his experiences of other similar acts in
the future. Experiences of cumulative harms like this could be shared by people of sev-
eral demographic groups, e.g. Muslims, working class men, those with mental health
issues. The cumulative harm that is caused to strangers to whom fear has spread will often
be non-epistemic. These harms involve emotional or psychological distress, and damage
to self-esteem. Like people who experience fear generalization, strangers who experience
being feared might place new constraints on their behaviour, e.g. they may avoid being
in similar situations where they suspect they will be deemed a threat by strangers. However, it is likely that there will be associated epistemic harms. y
p
Due to the fact that small, subtle acts of evasion like those found in microaggressions
can be attributed various different plausible explanations (Wang et al. 2011), those who
are feared may struggle to establish with any certainty whether or why they are being
avoided. 5. Epistemic and non-epistemic harms to wrongful objects of fear The falsity of
the belief and the misperception involved are epistemic harms, but at the same time are
likely to bring significant emotional and psychological harms. Fear does not only spread to and harm those who are close to the person who experi-
ences fear generalization. Fear can spread to, and consequently harm, anyone who is
wrongly the object of fear, by leading them to be perceived as threatening. Take, for
example, the actions of a person who has suffered sexual assault and becomes distressed
when seeing someone who is similar to the person who assaulted them. Let us assume
that the person undergoing the fear generalization takes evasive action, e.g. leaving an
enclosed space (e.g. a lift) that they share with the person who is unduly the object of
their fear, or crossing the street to get away from them. This type of evasive action may
contribute to harm, especially if it is experienced as a part of a more general pattern of
experiences of being treated as threatening and avoided. To illustrate this point, it is useful to turn to the literature on microaggressions. Microaggressions are ‘subtle yet harmful forms of discriminatory behaviour experienced
by members of oppressed groups’ (Friedlaender 2018: 5). They take the form of slights
or insults that may be imperceptible to people who are not sufficiently attuned to them. The harms that are caused by microaggressions might in some cases be small if they
occurred in isolation but can be experienced as significant where they occur within a
broad pattern of similar experiences that are due to systems of oppression. As Rini
puts the point, a microaggression is ‘a relatively minor insulting event made dispropor-
tionately harmful by taking part in an oppressive pattern of insults’ (Rini 2018: 332). Just some of the harms that are associated with the accumulation of microaggressive Episteme 11 experiences are stress, anxiety, depression, high blood pressure, insomnia, eating disor-
ders, social withdrawal, PTSD, suicidal ideation (Friedlaender 2018). The harms of
microaggressions can accumulate in different ways. The harms of various microaggres-
sions experienced by the same person (or group) may accumulate by simply adding
together until they reach some threshold of more significant harm. Alternatively, the
harms may intensify each other, with earlier harms both adding to and intensifying
harms experienced at a later time (Friedlaender 2018). https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 5. Epistemic and non-epistemic harms to wrongful objects of fear They may fail to reach the level of confidence in their beliefs to achieve knowl-
edge. This ‘attributional ambiguity’ (Wang et al. 2011) makes people who experience
small, subtle acts of evasion susceptible to forming false beliefs about why they are
taken to be threatening. This point is illustrated by the example of a Black man who
experiences evasive behaviours because of his gender or due to the context in which
he is encountered. He might reasonably, based on his past experiences, interpret the
evasive behaviour as a racial microaggression. In addition to this, in cases where people
are the target of evasive behaviour due to other people’s fear, it may be difficult for those
who experience being avoided to articulate the harm that they have experienced. Unless
there are shared hermeneutical resources within a socio-epistemic environment that can
be used to capture and articulate the harms associated with being avoided due to being
unduly feared, those who have the experience may struggle to articulate the harm that
they experience (see Fatima 2020, for a discussion of how similar effects can be found in
cases of microaggression). Experiencing avoidance behaviour due to being unduly Marina Trakas and Katherine Puddifoot 12 feared can therefore bring significant epistemic harms. It can place those who are feared
and avoided in a situation in which they struggle to know what they have experienced
and why they have experienced it, as well as struggling to articulate what they have
experienced to others. Although we have focused here on evasive behaviours that are akin to racial micro-
aggressions – small, subtle acts that could be viewed to be minor and are attributionally
ambiguous – fear generalization has the potential to produce other, less subtle forms of
harm to those who are unduly the object of fear. If someone is feared by a potential
employer, they may not be given a job opportunity. If they are feared by a teacher,
they may not be given the educational support that they require, and that others receive. If someone is feared by a judge or juror, they may not be given a fair hearing in a crim-
inal trial, and so on. More generally, where those people who have experienced fear that
has spread are in positions of power or influence over those who they fear, there can be
significant negative impacts for the latter. 5. Epistemic and non-epistemic harms to wrongful objects of fear What this suggests is another way in which
the negative impact of being feared is disproportionately spread across different social
groups. Those who are members of marginalized and otherwise disadvantaged groups
are more likely to be on the less powerful side of a power imbalance, and therefore more
likely to be harmed because people who have power and influence over them unduly
fear them. There is a further set of costs that members of marginalized groups may experience
more than others due to being unduly feared. As Srinivasan (2018) notes, members of
marginalized groups can face additional penalties, over and above those experienced by
the general population, if they display negative affective responses like anger, even when
those affective responses are apt. They can be forced into a situation in which they can-
not express their apt emotions without compromising their prudential ends. The case of
fear generalization seems to be no exception. Members of marginalized groups who
express their disappointment or discontent at being unduly feared, or because they
face adverse consequences as a result of being unduly feared, may face especially
harsh penalties from others, such as being dismissed as oversensitive and suffering
social exclusion. Consequently, they may be forced to choose between expressing an
apt affective response and achieving other important goals – what has been described
by Srinivasan (2018) as an affective injustice. What we have found in this section, then, is that there are multiple ways that people
can be harmed due to unduly being an object of fear. When they are falsely viewed as an
object of fear, they are misperceived and, through this process of misperception, can
experience significant harm. The misperception happens due to the way that human
memory systems operate in response to traumatic and fear-inducing events. This is
the same memory process through which the person experiencing fear generalization
undergoes the epistemic harms outlined in section 4. What this means is that in
cases of fear generalization the object of fear can experience significant epistemic and
non-epistemic harms due to the operation of memory mechanisms that prevent the
person directly experiencing the effect from gaining knowledge in general, and more
specifically leads that person to misperceive the object of fear. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 6. Epistemic and non-epistemic harms for others In many cases, then, where a person is harmed as a result of another person experien-
cing fear generalization, the harm occurs as a result of the former person unduly being
the object of fear. At other times, however, people may suffer from practical, affective https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press Episteme 13 and epistemic harms without being the object of fear that has generalized (i.e. (iii)). In
this section, we show that the same fear-spreading mechanism that harms the primary
subject of fear generalization can also bring epistemic and non-epistemic harms to peo-
ple close to them. This means that the actions of people who induce trauma and fear on
a victim can indirectly harm those who are close to the victim. It is possible to begin to see how people other than the object of fear can be harmed
by considering the overprotective behaviour that people who experience fear that
spreads sometimes display towards their children. As described in the opening quotes
from parents displaying generalized fear (Christie et al. 2023), the spread of the fear can
lead parents to close off opportunities for their children, due to fear that they will be
harmed. This is true of people who have experienced accidents, but also those who
have had trauma imposed on them by others, such as women who have been raped
(see e.g. Easteal 1994: 32). Rape victims can display overprotective behaviour as the
result of fear generalization: these rape victims do not only fear for themselves but
also for those they love and consider to be in need of protection. They fear that their
children will have the same experiences that they have had. The overprotective behav-
iour can be expressed in the control of their children’s social contacts, or in refusing to
leave their children with other people. The behaviour can cause substantial practical,
affective and epistemic harms to the children. p
For instance, children of rape victims may have both their social lives and epistemic
horizons deeply affected. They may be forbidden from spending time with certain
friends and prevented from visiting friends at their parental homes. They may be for-
bidden from going out to certain places, such as specific neighbourhoods, parties, pubs
and concerts. If this happens, they will miss the opportunity to gain experiences and
social knowledge that could be acquired in these contexts. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 6. Epistemic and non-epistemic harms for others Because rape victims project
their own fears into their children’s life, they sometimes distort their children’s reality,
making the children believe that they are weaker than they are and keeping them in a
permanent but unnecessary state of alarm (Kappler 2012). Children may perceive the
world as a dangerous place and become fearful and insecure, and feel extremely lonely. In fact, restriction of childhood experiences can facilitate later development of fear and
anxiety (Pittig et al. 2018). Prior exposure to stimuli before they become feared, a phe-
nomenon known as ‘latent inhibition’ (Vervliet et al. 2010), attenuates subsequent fear
acquisition and fear generalization related to those stimuli. Because parental overpro-
tective and controlling behaviours may prevent children from interacting with certain
people and frequenting certain places, children may fail to acquire information that
can serve as a form of latent inhibition that buffers against the potential later develop-
ment of fears. What is more, because most children do not know anything about their
mothers’ past traumatic experiences, they may fail to understand the restrictions that
their mothers impose on them as well as their overprotective attitude. This lack of
understanding may lead to the formation of false beliefs that their mother is irrational,
incoherent and not always functional (Kappler 2012). These epistemic harms can bring
more practical harms: children may distance themselves from their parents, for
example. It is not only children who can be indirect victims of the fear generalization that
occurs due to trauma. Other family members and people close to a trauma survivor
may be infected with and mimic the traumatic symptoms of the direct victim. This
may result from identification with the primary victim (Emm and McKenry 1988;
Schwerdtfeger et al. 2008). Although it is true that feelings of anger and guilt are the
most common reactions by family members of victims of trauma, some people, Marina Trakas and Katherine Puddifoot 14 especially partners, present PTSD symptoms associated with their connection with the
trauma survivor (Christiansen et al. 2012; Remer and Elliott 1988; Russin and Stein
2021; Schwerdtfeger et al. 2008). Hypervigilance, fear generalization and fear reactions
can be among the symptoms. This means that the fear generalization suffered by the
primary victim can spread beyond the victim and infect people close to her. Fear gen-
eralization can thus also be acquired by vicarious experience (Pittig et al. 2018;
Rachman 1977). 6. Epistemic and non-epistemic harms for others A veteran’s wife, for example, became as sensitive to external stimuli
as his partner: ‘I hear a noise and it disturbs me’ (Dekel et al. 2005: 28). In this case,
she is indirectly affected by her husband’s generalized fear: she vicariously experiences
stimuli as threatening and dangerous because of the trauma experienced by her hus-
band. This is likely to bring about affective and practical harms, negatively impacting
her well-being and performance of everyday tasks, as well bringing the epistemic
harms of perceiving and judging external stimuli in the wrong way, for example, per-
ceiving and judging certain people, places and other stimuli as dangerous when they
are not. Eventually, this may also lead her to avoid certain people and contexts, and
lose opportunities to get information and gain epistemic goods. pp
g
g
p
g
Although the kinds of harms described in this section differ from those experienced
by people who are unduly feared, we have shown that people emotionally close to the
primary victim of a traumatic event can also suffer significant harms. In both cases, due
to the fear generalizing memory mechanism, the person who originally undergoes fear
generalization misses out on knowledge and another person is harmed. When the per-
son harmed is an object of fear, the epistemic harms mainly relate to self-knowledge
and the understanding of their own experiences. When the person harmed is not feared,
the epistemic harms are more related to misperceptions and misbeliefs about the dan-
gerousness of other people and situations, and missed opportunities to gain epistemic
goods. In this sense, the latter is similar to the epistemic harms suffered by the primary
victim who suffers from fear generalization. g
In sum, the examples mentioned above show that practical, affective and epistemic
harms can be experienced by a person as a result of the way another person’s memory
operates after a traumatic event: by overgeneralizing fear. These harms can be experi-
enced by those who are unduly feared and by relatives and people close to the primary
victim who do not become the object of fear. 7. From harms to wrongs Sections 3–6 have shown that cases of fear generalization share the following features
with stereotype-based mnemonic injustice, and testimonial injustice: a person misses
out on knowledge and, via the same cognitive mechanism, other people are epistemi-
cally, affectively and practically harmed. What cases of fear generalization lack, however,
is the role of stereotypes or prejudice in the production of the epistemic, affective and
practical harms. Testimonial injustice arguably seems so unjust because of its discrim-
inatory aspect: people are disbelieved due to a systematic prejudice against those who
have their social identity, where others, with a different social identity, would be
believed (see e.g. Fricker 2017). Similarly, stereotype-based mnemonic injustice argu-
ably seems so unjust because people’s actions and attributes are misremembered to
their disadvantage due to an aspect of their social identity, and others with different
social identities do not face the same risk of this happening to them. To make it
seem convincing that cases of fear generalization involve injustice, it would therefore
be useful to show that there are similar perniciously discriminatory outcomes that hap-
pen in some cases of fear generalization, even in the absence of stereotypes, and that
these pernicious outcomes are the result of wrongful acts that lead to the fear that
spreads. Let us commence with the second point. The fear generalization that leads to the
epistemic, affective and practical harms described below can be the result of the inde-
pendently wrongful actions of others, and these epistemic, affective and practical harms
are a part of the consequences of these wrongful actions.5 We have argued elsewhere
that generalized fear and the epistemic costs it brings to the person directly experiencing
the fear should be deemed wrongful if they have their source in the wrongful act of
choosing to impose trauma via actions like rape or sexual assault (Puddifoot and
Trakas 2023; see also section 4). Here we argue that the wrong extends beyond the ini-
tial target of the traumatic experience, who experiences fear that generalizes, and that
others who are epistemically, affectively and practically harmed by the generalized
fear also count as wronged. Our suggestion is that the latter individuals experience epi-
stemic, affective and practical harms due to people’s wrongful choices to inflict trau-
matic experiences like rape or assault. There is a wrongful action committed, so these
harms are not the result of mere bad luck. 6. Epistemic and non-epistemic harms for others It is worth highlighting that these harms
do not necessarily take place every time that the person who suffers from fear general-
ization is epistemically harmed: for any case of fear generalization there is likely to be
far more contexts and situations where the primary victim is harmed than those where
others are harmed by her fear generalization.4 Nonetheless, the harms to others are
significant and worth marking. 4However, it’s important to note that these harms are not entirely distinct and separate in all cases: there
are always interconnections between the harms of the primary and the secondary victims (Remer and
Elliott 1988). Much as the harm experienced by the primary victim impacts their immediate family mem-
bers, the harm endured by these relatives often reciprocally affect the primary victim. For example, in some
cases, the epistemic harms experienced by relatives and others close to the victim can simultaneously main-
tain and even exacerbate the symptoms of the victim. Overprotective behaviour towards a victim is a com-
mon reaction among family members too, particularly when the victim is a child or a rape survivor
(Christiansen et al. 2012; Emm and McKenry 1988; Gregory et al. 2017b). This overprotective behaviour
can be exacerbated by the family members experiencing vicarious fear. Certain people, places and contexts
can be perceived and judged as threatening not solely or necessarily for the secondary victim himself or
herself, but instead for the original victim. The overprotective attitude that this can produce or maintain https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 15 Episteme Episteme increased monitoring behaviour, excessive involvement in the victim’s activities, increased restrictions and
the victim being denied autonomy. Each of these things has the potential to affect the victim’s interests and
well-being as well as limit their epistemic horizons, preventing them from gaining knowledge that would be
available to them in contexts from which they are excluded. The information that is missed could include
knowledge that would modulate their fear responses, so this process can sustain and even reinforce the epi-
stemic harms and exclusion suffered by them. 7. From harms to wrongs Therefore, these individuals, akin to the pri-
mary victims of these traumatic experiences, are also wronged, and this wrongfulness
constitutes an injustice. In fact, the idea that the harm can extend beyond the primary
victim is widely accepted in psychiatry: the idea of ‘secondary victim’ or ‘secondary sur-
vivor’ of trauma has been widely used for some time (Christiansen et al. 2012; Remer
and Elliott 1988; Remer and Ferguson 1998). More recently, the Diagnostic and
Statistical Manual of Mental Disorders (5th ed.; DSM–5; American Psychiatric
Association 2013) has explicitly recognized that PTSD symptoms can develop after increased monitoring behaviour, excessive involvement in the victim’s activities, increased restrictions and
the victim being denied autonomy. Each of these things has the potential to affect the victim’s interests and
well-being as well as limit their epistemic horizons, preventing them from gaining knowledge that would be
available to them in contexts from which they are excluded. The information that is missed could include
knowledge that would modulate their fear responses, so this process can sustain and even reinforce the epi-
stemic harms and exclusion suffered by them. y
5As Sartorio (2016) claims, ‘The standard view on wrongness is that its being wrong for S to do A
amounts to, or at least entails that, S ought to have refrained from A-ing’ (24), and it is uncontroversial
that in cases like sexual assault and rape the perpetrators of the act morally ought to have refrained
from the actions that they engaged in. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press Marina Trakas and Katherine Puddifoot 16 ‘learning that the traumatic event(s) occurred to a close family member or close friend’. In the legal system of some countries secondary victims are also treated as if they are
wronged, for example, in the US relatives of a sexual assault and child abuse victims
can also claim for victim compensation benefits (see e.g. South Dakota Department
of Public Safety n.d.; State of Connecticut Judicial Branch n.d.). Here, we have embraced
the notion that the wrong of the trauma goes beyond the impact on the primary victim
and extends to the impact on those in their immediate surroundings. Thus, it is not
only the primary victim who is wronged when someone inflicts trauma. But we have
taken this idea a step further to include individuals who may not have a close connec-
tion to the primary victim. 7. From harms to wrongs They too, we suggest, are also indirectly wronged by the fear-
inducing act because they are unduly feared. g
y
y
Concerning the perniciously discriminatory outcomes, as in cases of stereotype-
based mnemonic injustice and testimonial injustice, some people are, due to their mar-
ginalized or otherwise ‘more than ordinarily vulnerable’ (Sellman 2005: 4) social iden-
tities, more susceptible than the general population to experiencing the negative effects
of other people’s fear generalization due to the disparity of risk that they face. This point
finds support in the discussion found in sections 5 and 6 where it was shown that there
are disparities in the impact of fear generalization. Members of marginalized groups are
more likely than others to be harmed by the subtle acts of avoidance (e.g. leaving a lift,
crossing a road) because they are more likely to experience the avoidance behaviour
within a broader pattern of exclusion and oppression. In addition to this, marginalized
society members are more vulnerable to the negative reactions of people in power
whose decisions are shaped by their fears. Where they live more precarious lives as a
part of their marginalized status, they may also suffer more from others by being over-
looked. Because there is an unjust distribution of the risk of harm, marginalized indi-
viduals are more susceptible to harm due to their already marginalized status. This disproportionate risk of harm can be explained in terms of vulnerability. Members of marginalized groups are vulnerable due to their having less ability to pro-
tect their own interests (Goodin 1985). Not only do they experience the ‘inherent vul-
nerability’ (Mackenzie 2014; Mackenzie et al. 2014) that is characteristic of all human
lives due to our corporality, dependency on social interaction and so forth (e.g. Butler 2004, 2016; Fineman 2010; MacIntyre 1999), they also experience ‘situational
vulnerability’ (Mackenzie 2014; Mackenzie et al. 2014). Situational vulnerability is con-
text dependent. It is caused by the personal, social, economic or environmental situ-
ation of an individual or group. Social marginalization involves occupying social,
economic and often environmental conditions in which one becomes more vulnerable
because one is less able to protect one’s interests. One way to understand the injustice of
mnemonic injustice is, then, that already situationally vulnerable individuals are
exposed to additional risk of harm due to the trauma wrongfully inflicted on others. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 7. From harms to wrongs It is not only people who are marginalized because of their social identity who are
disproportionately at risk of harm due to fear generalization. The intimates of people
experiencing fear generalization who are the focus of discussion in section 6 – the chil-
dren and partners and others close to those experiencing fear generalization – are also
especially at risk of harm. Children and other intimates are situationally vulnerable not
because of their social or economic status, but due to their personal relationship with
the primary victim of trauma. Their closeness to, and sometimes identification with,
a person who has experienced trauma and subsequently fear that has generalized
makes it harder for them to protect their own interests, for example, meeting their
own emotional needs, and brings them additional risk of harm. Their vulnerability 17 Episteme may be compounded by social and institutional structures that fail to provide adequate
support for their intimates (Gregory et al. 2017a, 2017b; Mullin 2014; Russin and Stein
2021), but the closeness to the person experiencing fear suffices for vulnerability. Children of people experiencing fear generalization are especially vulnerable because
children are inherently dependent on adult caregivers – dependent on their caregivers
both to support their survival and their flourishing (Kittay 2020; Lotz 2014; Mullin
2014). However, the caregivers they depend on are not only unable to provide them
with the necessary support to meet their objective needs, like a strong social life and
overall well-being, but may also exhibit overprotective behaviour and impose restric-
tions (Easteal 1994; Pittig et al. 2018) that run counter to these basic needs. (
g
)
What we find when it comes to fear derived from trauma that generalizes, then, is
that members of marginalized and other situationally vulnerable groups are some of
those most negatively impacted by others’ fear. Here we encounter a second reason
to consider the existence of an injustice: some people face a higher level of risk than
others, and this includes those who are already vulnerable. This suggests the presence
of a discriminatory aspect that further supports the idea that there is an injustice. 6We have argued elsewhere (Puddifoot and Trakas 2023), when discussing the epistemic harms experi-
enced by the person suffering from fear generalization, that the nature and the extent of the harms, as well
as the existence of a clear agent (individual or institutional) who inflicts those harms (whether or not they
are aware) through their actions, were factors to consider when assessing whether harms constitute wrong-
doing and injustice. We have argued that the consequences of recognizing the harms as an epistemic
wrongdoing, for example, in the legal domain, may also be important to determining whether to classify
the harms as injustices. Here we highlight another aspect that seems relevant – and perhaps even more
fundamental – to determining whether a harm produced by someone else’s actions is a wrong, and
thus, an injustice: the background situation of the person affected. Based on our previous arguments, it
seems that the particularities of the situation of the person affected, in this case their situational vulnerabil-
ity, magnify the consequences of actions inflicted upon them, thereby intensifying the resulting harms. 7. From harms to wrongs By arguing that there is a mnemonic injustice when vulnerable individuals, that is,
individuals who undergo a disproportionate risk of harm, suffer from the consequences
of fear generalization due to trauma, we are able to make a plausible distinction between
cases where harms seem to be injustices and those where they seem not to be. Take, for
example, a case where a student has a fear response towards their male lecturer due to a
previous experience of sexual assault by a male in a position of authority over her. The
lecturer has 400 students and would not recognize the student on the street. However,
the lecturer misses out on some knowledge because their student does not tell them, for
example, that their lecture materials are not accessible to people with a medical condi-
tion that she has. The student does not pass on this information because the lecturer
elicits a fear response from her. Here the lecturer suffers an epistemic cost due to the
student’s fear and could suffer practical costs, say, if another student officially complains
about the inaccessibility of their lectures. However, it does not seem right to say that the
lecturer is wronged and experiences an injustice. Our account can handle this type of
case, suggesting that there is no injustice and no wrongdoing suffered by the lecturer
because the lecturer is not in a situation of vulnerability: the lecturer does not experi-
ence a disproportionate risk of harm due to their social or personal situation. The lec-
turer is neither socially marginalized, given their status as a lecturer, nor in a close
relationship with the student. So the lecturer may suffer from epistemic, affective or
practical costs due to the avoidance behaviour of their student, but the lecturer is not
wronged and does not experience injustice.6 6We have argued elsewhere (Puddifoot and Trakas 2023), when discussing the epistemic harms experi-
enced by the person suffering from fear generalization, that the nature and the extent of the harms, as well
as the existence of a clear agent (individual or institutional) who inflicts those harms (whether or not they
are aware) through their actions, were factors to consider when assessing whether harms constitute wrong-
doing and injustice. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 7. From harms to wrongs We have argued that the consequences of recognizing the harms as an epistemic
wrongdoing, for example, in the legal domain, may also be important to determining whether to classify
the harms as injustices. Here we highlight another aspect that seems relevant – and perhaps even more
fundamental – to determining whether a harm produced by someone else’s actions is a wrong, and
thus, an injustice: the background situation of the person affected. Based on our previous arguments, it
seems that the particularities of the situation of the person affected, in this case their situational vulnerabil-
ity, magnify the consequences of actions inflicted upon them, thereby intensifying the resulting harms. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 18 Marina Trakas and Katherine Puddifoot It might be responded that a disparity of risk of the type experienced by vulnerable
individuals from other people’s generalized fear does not on its own constitute a wrong
or injustice. Were the risk of harm, or the disparate risks of harm, merely the result of
bad luck then it might be argued that the disparity does not constitute an injustice, and
no-one wronged. However, this objection does not get off the ground when it comes to
individuals who face additional harm due to their marginalized social status. This is
because when people experience a heightened risk of the types of harms we have
described due to their marginalized status in society, this is best explained by oppressive
social or institutional structures, historical and continuing inequalities, and so forth. There is a strong case for saying that if someone experiences a higher risk of harm
due to social and institutional structures like these, they are not simply unlucky, but
instead they are wronged. They are wronged in virtue of the nature of the social and
institutional structures that marginalize them. g
It might also be responded that those who impose trauma by, for example, sexually
assaulting someone, should not be viewed as wronging anyone who is thereby harmed
downstream because they could not be expected to foresee the downstream harm. 7Take, for example, Vargas’ (2005) discussion of a person, Jeff, who becomes a jerk. Vargas outlines how
one might approach assessing Jeff’s moral responsibility: ‘Since Jeff is a jerk, and unreflective about his
behavior, we have to find a prior moment when he could both act freely and reasonably foresee the out-
come (of wrongfully poor treatment of his employees)’ (277). The suggestion in this quote is that the ques-
tion of responsibility may hang on Jeff’s ability to foresee an outcome; however, the wrongfulness of his
action does not depend on the foreseeability of its consequences. What is not under question is whether
Jeff’s jerk-like treatment is wrongfully poor (see Rudy-Hiller 2022 for further examples). 7. From harms to wrongs Similarly, the harms that https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 19 Episteme people indirectly experience due to other people’s trauma can be wrongful, and wrong-
ful because they are the consequence of wrongful actions of those who inflict trauma,
even if the wrongdoer could not foresee, or be reasonably expected to foresee, them.8 g
y
p
It is important to stress at this point that it is not only individuals, but can also be
social or institutional structures, and the decision makers within institutional structures,
that are responsible for the wrongdoing. Take, for example, a male police officer who
works within a police service that fails to address widely acknowledged institutional
misogyny. The police officer engages with impunity in actions constituting sexual har-
assment. A victim of the police officer’s harassment experiences fear that spreads to
others in her life and negatively impacts her relationships with them, causing them
harm. Here there seems to be a strong case for saying the police officer engages in
wrongdoing. But there is also good reason to think that the institution and those work-
ing within the institution have done something wrong. In this case, those in charge in
the institution have not taken the requisite steps to prevent the harm, initial fear or the
generalized fear that ultimately leads to the mnemonic injustice. That is, they have not
made changes to those institutional structures that are allowing the police officer to act
with impunity. Those in power and influence in the institution have been negligent, fail-
ing to fulfil a duty of care in protecting the victim of harassment from harm. This harm
has directly produced fear that has in turn produced harm towards others. What this
example suggests is that the wrongdoing of mnemonic injustice can be an interpersonal
injustice: i.e. inflicted by one person (the perpetrator who produces the fear) on another
(those unduly feared or whose intimates experience generalized fear) via a person who
is directly harmed. it can also simultaneously be both an interpersonal and institutional
injustice, where the action or inaction of an institution contributes to a person experi-
encing fear that harms another person who is intimate with them or to whom fear is
unduly spread, as in the police case. We are now in a position to see how the memory mechanisms that are causally
responsible for fear generalization are implicated in injustice. 7. From harms to wrongs This
claim might initially seem to be in line with discussions of moral responsibility, culp-
ability and blameworthiness, where it is sometimes argued that a person is only morally
responsible, culpable or blameworthy for an event that is a consequence of their actions
if they have a belief about the event being a consequence of their action (Zimmerman
1997: 420), or if it is reasonably foreseeable that the event will follow their action
(Fischer and Tognazzini 2009; Sartorio 2016; Vargas 2005). However, it is important
to distinguish claims about wrongdoing from claims about moral responsibility, culp-
ability and blameworthiness. In fact, it is often assumed in debates about moral respon-
sibility, culpability and blameworthiness that there can be wrongdoing where one
person is harmed as a consequence of the actions of another person even if the person
who engages in the harmful action is not aware, or could not reasonably be expected to
be aware, of the harmful consequences of their actions. The question of responsibility,
culpability or blameworthiness may rest upon the awareness of the consequences of
action in such discussions, but the wrongfulness of the action does not.7 We have
argued elsewhere (Puddifoot and Trakas 2023) that the agent’s intention, along with
their knowledge and awareness at the time of the action, may or may not be factors
in determining the agent’s responsibility, culpability or blameworthiness, but do not
determine the wrongs suffered by a person as a result of the action. We adopted –
and here continue to adopt – a victim-centred approach, according to which the nature
of a wrong is determined by the experiences of the victims themselves rather than being
contingent on some cognitive condition of the agent. Think, for example, of a deeply
sexist person who cannot foresee that they could harm a woman by denying that she
has strong intellectual abilities, thinking both that women lack these abilities and
that they place no value in them. The fact that the sexist person cannot foresee the
harm does not mean that their speech act is not wrongful. 7. From harms to wrongs They are a means through
which epistemic (as well as affective and practical) harms can be caused by those who
inflict trauma to people who directly experience fear generalization. They are also a
vehicle through which other people – to whom fear is wrongfully spread or who are
intimates of people directly experiencing fear generalization – can be epistemically,
affectively and practically harmed. The harm to other people can constitute an injustice
where the harm is the result of the independently wrongful choice to inflict harm and
the risk of harm is unevenly distributed, with marginalized and otherwise vulnerable
individuals most at risk of harm. 8Our treatment of the injustice here is very much in the spirit of Fricker’s approach to testimonial injust-
ice. In work from 2017 clarifying her position, she says that “In testimonial injustice the absence of delib-
erate, conscious manipulation is definitive, at least in my conception” (2017: 54). https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 8. Revisiting the parity claim: fear generalization-based mnemonic injustice,
stereotype-based mnemonic injustice and testimonial injustice It is now possible to revisit the parity argument outlined in section 2. Stereotype-based
mnemonic injustice has been argued to be similar in form, and severity, to testimonial
injustice (Puddifoot forthcoming). Both involve epistemic harms to an individual that
prevent them from gaining knowledge, while also bringing epistemic, affective and prac-
tical harms to others. It was argued on this basis that mnemonic injustice should be 8Our treatment of the injustice here is very much in the spirit of Fricker’s approach to testimonial injust-
ice. In work from 2017 clarifying her position, she says that “In testimonial injustice the absence of delib-
erate, conscious manipulation is definitive, at least in my conception” (2017: 54). https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press Marina Trakas and Katherine Puddifoot 20 taken seriously alongside testimonial injustice, and efforts should be directed towards
addressing both. Efforts that focus on changing human psychologies and social
structures are available to achieve this goal. The parity claim can now be extended to
mnemonic injustice that occurs via fear generalization. Fear generalization also involves epistemic harms to an individual (i.e. the primary
victim who is directly experiencing fear that generalizes), while the same fear general-
izing memory mechanism brings epistemic, affective and practical harms to others. The
severity of the epistemic harm to the person who directly experiences fear generalization
will often not only be as strong, but will in fact be much stronger, than the epistemic
harms experienced by the person who is complicit in either testimonial injustice or
stereotype-based mnemonic injustice. A person who is complicit in testimonial injustice
will miss out on knowledge in specific instances when their prejudice towards members
of a social group prevents them from giving credence to their testimony. A person
whose memory systems are implicated in stereotype-based mnemonic injustice may
misremember the details of particular events, and they may not remember certain beha-
viours or attributes that some people, whom they stereotype, have displayed. But a per-
son who directly experiences fear generalization may withdraw from numerous social,
educational and work settings. They may miss out on knowledge that can be acquired in
each of the settings that they choose not to enter. Some of this knowledge could be cru-
cial to flourishing in society, such as the information ordinarily gained through educa-
tion or job-relevant insider information. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 8. Revisiting the parity claim: fear generalization-based mnemonic injustice,
stereotype-based mnemonic injustice and testimonial injustice What this suggests is that the epistemic,
affective and practical harms to the person whose memory mechanisms are implicated
in injustice via fear generalization will often be not only as severe but in fact more severe
than those suffered by perpetrators of stereotype-based mnemonic injustice and
testimonial injustice. Meanwhile, the epistemic, affective and practical harms endured by other people
harmed by fear generalization will often be of comparable levels of severity to that experi-
enced by people who are victims of testimonial injustice or stereotype-based mnemonic
injustice. As outlined in section 5, people who are wrongfully the object of fear may experi-
ence stress, distress and confusion in response to other people’s fear of them. They face the
risk of being denied opportunities in the workplace, education or similar settings where
those giving out the opportunities fear them. They may lack an understanding of them-
selves and their place in society, due to the ambiguity that they may experience about
why they are feared, why they miss out on opportunities and so forth. These epistemic,
affective and practical harms closely resemble those that are suffered by people whose tes-
timony is unjustly discredited, or whose positive attributes and contributions are misre-
membered or forgotten due to the influence of stereotypes on memory. In addition to
this, in cases of fear generalization there can be the extra epistemic, affective and practical
costs to those who are intimates of people who directly undergo fear generalization. As
argued in section 6, they can experience many epistemic, affective and practical harms,
similar to those of the primary victim, that is, severe and widespread harms. A
further
similarity
between
fear
generalization-based
mnemonic
injustice,
stereotype-based mnemonic injustice and testimonial injustice is that each can be
tackled by making changes to human psychologies or by focusing on social structures. It is possible to tackle mnemonic injustice towards those who are unduly the object of
fear by addressing the psychology of those who experience fear generalization, e.g. by
ensuring that they have access to appropriate trauma therapy so that their responses
are not so influenced by their fear (Callender and Dartnall 2011). The harms suffered
by the close relatives of the primary victim of trauma and fear generalization can also be Episteme 21 mitigated through the provision of appropriate therapy. 8. Revisiting the parity claim: fear generalization-based mnemonic injustice,
stereotype-based mnemonic injustice and testimonial injustice This is particularly important,
given that the adverse effects on those close to the primary trauma victim often remain
largely unnoticed and unrecognized even by professionals (Gregory et al. 2017a, 2017b;
Russin and Stein 2021). On the other hand, mnemonic injustice can be tackled by mak-
ing direct changes to social or institutional structures, e.g. taking an evidence-driven
approach to changing policing practices to reduce the likelihood that people will experi-
ence fear-inducing events like sexual assault or rape in high-risk environments, for
example, in schools and workplaces; or targeting the financial, employment and
housing instability of women at risk of experiencing sexual abuse (Heller 2016). In sum, the epistemic and practical harms associated with fear generalization are
comparable to, and in some cases more severe and numerous than, those of testimonial
injustice and stereotype-based mnemonic injustice. In addition to this, the strategies to
tackle fear-based mnemonic injustice are similar to those needed to tackle stereotype-
based mnemonic injustice and testimonial injustice. For those concerned about the epi-
stemic and practical harms that follow from testimonial injustice or stereotype-based
mnemonic injustice, this should give reason to also be concerned about, and driven
to address, the mnemonic injustice that pathological fear generalization brings. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 9. Broadening the search for mnemonic injustice As we have seen, for example, Marina Trakas and Katherine Puddifoot 22 intimates of those who experience fear generalization, including partners and children,
can experience high risk of practical, affective and epistemic harms because of their rela-
tionship to someone experiencing fear generalization. The high risk of harm is due to
their intimacy with the person undergoing fear generalization rather than due to their
social status or membership of a particular social group. In other cases, a person’s social identity contributes towards them experiencing fear
generalization-driven mnemonic injustice, because it is due to their social identity that
they are disproportionately at risk of harm due to fear generalization. But they are not
harmed by the influence of a stereotype on memory. A person experiencing fear gen-
eralization may engage in avoidance behaviour towards all members of a particular
social group. Any harm caused by this avoidance behaviour is related to the social iden-
tity of the person harmed: they are harmed due, in part, to an aspect of their social iden-
tity. However, the avoidance behaviour will not always be related to a stereotype, that is,
to the association of all members of their social group (more strongly than others) with
a particular trait or characteristic (Puddifoot 2021). Sometimes a person will respond
fearfully to superficial perceptual features, such as certain clothes, or particular words
or colloquial expressions that remind them of a traumatic event, when found on or
spoken by members of a particular social group. At other times, fear is a response to
contextual features: members of a social group may be feared only in certain contexts
or situations, such as in social events or in dark streets at night. In these cases, the harm
is not due to a simple association between all members of a social group and a certain
trait or traits. Third, the arguments in this paper suggest that the epistemic harms experienced by
the person whose memory systems are implicated in mnemonic injustice are not neces-
sarily closely tied to the harms inflicted on others. In stereotype-based mnemonic
injustice, one person misremembers another person, thereby suffering the epistemic
cost of missing out on knowledge, and another person is harmed by this act of misre-
membering. In fear generalization-driven mnemonic injustice, the person whose mem-
ory systems are primarily implicated in the injustice (i.e. 9. Broadening the search for mnemonic injustice As we have seen, mnemonic injustice was originally defined as a kind of injustice that
members of social groups that are stereotyped suffer due to the way that stereotypes
shape other people’s recollections of them (Puddifoot forthcoming). What the discus-
sion in this paper suggests is that there is a broader category of memory effects that
should be classified as mnemonic injustices. First, our argument suggests that mnemonic injustices can occur via non-declarative
as well as declarative memory. It might be tempting to accept that episodic recollections
of the past and semantic memories can be implicated in injustices towards others,
because they can misrepresent the acts or character traits of individuals, but to deny
that other types of memory effect can be implicated in injustice. However, those who
experience fear generalization-driven mnemonic injustice are not (or not always)
harmed by having their acts or characteristics misremembered. For example, in cases
of fear generalization people can be harmed by being feared or, in the case of children
of overprotective parents, by being denied certain opportunities that they might other-
wise have experienced. Alternatively, they may be harmed by vicariously experiencing
the generalized fear of an intimate. But rarely, if ever, are they harmed by being misre-
membered. This suggests that while in mnemonic injustice the harm is always produced
by the operation of memory mechanisms, the harm is not always inflicted directly via
the act of misremembering. Sometimes, as exemplified in cases of fear generalization-
driven mnemonic injustice, individuals are harmed instead by non-declarative memory
effects, and it is these memory effects that are implicated in injustice. Second, the argument in this paper suggests that there is a large variety of people
who are vulnerable to harm due to how other people’s memory systems operate. The
concept of mnemonic injustice has previously been used to capture how people, their
actions and their personal characteristics can be misremembered because there are spe-
cific stereotypes relating to their social identity (Puddifoot forthcoming). However, we
have seen that people can be harmed, we argue unjustly, by other people’s personal
memory mechanisms without the harm being due directly to stereotypes relating to
their social identity, or due to their social identity at all. https://doi.org/10.1017/epi.2023.60 Published online by Cambridge University Press 9. Broadening the search for mnemonic injustice the primary person suffering
generalized fear) can experience wide-ranging epistemic costs due to significant limita-
tions being placed on their epistemic horizons. They may avoid entering social settings,
stop going to school or work or so forth. They may miss out on a wide range of knowl-
edge that they could have gained in these settings. The epistemic costs can range across
many settings other than that in which they inflict harm on others. What this suggests
is that mnemonic injustice can be a disjunct phenomenon: the epistemic harms to the
person whose memory mechanisms are implicated can occur separately from the harms
that they inflict on others. Finally, we have spoken in this paper about the memory mechanisms responsible for
fear generalization being implicated in injustice, but we have also emphasized that
where people experience fear due to the wrongdoing of other individuals or institutions
those external agents can be the source of the wrongdoing. This suggests that we ought
to be alert to the ways that one external agent can shape the workings of human mem-
ory of another agent in ways that may produce injustice towards a third agent or sets of
agents. Our discussion in this paper has therefore provided multiple reasons for broadening
the search for mnemonic injustices and adopting an expanded conception of mnemonic
injustice. By adopting an expanded conception of mnemonic injustice, it is possible to
retain the crucial point that the memory mechanisms of individuals can bring epistemic
harms to the rememberer and epistemic, affective and practical harms to others, in ways Episteme 23 Episteme Episteme that appear unjust (Puddifoot forthcoming). However, it is also possible to recognize
that the harms are not always due to stereotyping and misremembering, nor are mem-
bers of stereotyped and marginalized groups the only ones who face high risk of harm. In addition to this, it is possible to recognize that the epistemic harms suffered by those
whose memories are implicated in mnemonic injustice can be long-lasting, and extend
significantly beyond the time and place where their memories are implicated in harm-
ing or wronging others. Finally, it is possible to recognize the role that external agents
can have on causing mnemonic injustice. 10. Conclusions This paper contributes to the project of understanding how biological memory mechan-
isms are implicated in injustice. It argues that memory mechanisms that lead to a
pathological generalization of fear after trauma can be implicated in wrongdoing
towards people who are unduly the objects of fear, and intimates of those who experi-
ence the traumatic event that leads them to feel fear that generalizes. We have outlined
some epistemic costs associated with fear generalization for the person who experiences
fear that generalizes, and shown how these epistemic costs can be accompanied by epi-
stemic, affective and practical harms to others. We have argued that these harms should
be classified as wrongs when people face disparate levels of risk, sometimes but not
always tracking aspects of their social identity, but always due to their situational vul-
nerability, and where the harms are the consequence of independently wrongful actions
or decisions. Conceiving of fear generalization as a mechanism through which injustice
can occur has led us to revisit what it is for individuals’ memories to be implicated in
injustice, and to suggest that the concept of mnemonic injustice should have an
expanded application. The discussion has highlighted how mnemonic injustice can
take many forms. It might not involve stereotyping or ill-treatment based on perceived
social identity, although it might. It might not involve people being harmed by having
their actions misremembered, although this can happen. It might not involve the person
who is remembering suffering costs at the same time as others are harmed, although
this is a possibility. This paper has provided a foundation for future work exploring
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Expression of pluripotency markers in the bovine uterus with adenomyosis
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Reproductive biology and endocrinology
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© 2015 Łupicka et al. Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110
DOI 10.1186/s12958-015-0106-0 Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110
DOI 10.1186/s12958-015-0106-0 Open Access Open Access * Correspondence: a.korzekwa@pan.olsztyn.pl
Department of Reproductive Immunology and Pathology, Institute of Animal
Reproduction and Food Research, Polish Academy of Sciences, 10-748
Olsztyn, Poland Expression of pluripotency markers in the
bovine uterus with adenomyosis Martyna Łupicka, Barbara Socha, Agata Szczepańska and Anna Korzekwa* Abstract Background: Adenomyosis is a proliferative uterine dysfunction with unknown aetiology. One possible mechanism of
its development involves disturbances in stem cell differentiation in uterine tissue. Previously, we identified pluripotent/
multipotent cells in the bovine uterus, therefore our present study focused on determining expression of pluripotency
markers, NANOG, OCT4 and SOX2, in bovine adenomyotic tissues and cells. Findings: Immunolocalisation revealed protein expression of NANOG, OCT4 and SOX2 in both normal and adenomyotic
uteri. mRNA expression for NANOG and OCT4 was increased in tissues obtained from uteri with adenomyosis compared
to controls, but at the protein level there were no significant differences. mRNA expression for all three pluripotency
markers was higher in myometrial cells isolated from uteri with adenomyotic lesions than in those isolated from normal
uteri. The protein level of NANOG and SOX2 was decreased in stromal cells from adenomyotic tissues, whereas the level
of OCT4 and SOX2 was increased in myometrial cells obtained from dysfunctional uteri. Conclusions: The results indicate significant changes in expression of pluripotency markers in adenomyotic compared
to normal uteri, which suggest the involvement of uterine stem cells in adenomyosis. Keywords: Uterus, Pluripotent cells, Adenomyosis, Cow Background hypothesis, glandular nests may arise de novo within the
myometrial layer from undifferentiated stem cells under
specific conditions, in particular under the influence of
oestradiol (E2) [7, 8]. Whatever the mechanism under-
lying formation of glandular foci in the myometrium,
hormonal and immunological abnormalities certainly
play a role during adenomyosis development [9, 10]. Adenomyosis is uterine dysfunction characterised by the
presence of endometrial glands with stromal elements in
the myometrium [1]. This pathological condition is well
recognized in women, and although it is less known in
domestic animals including cows [2–4], nevertheless it
may result in reduced reproductive performance [4]. Although adenomyosis frequently occurs in multiparous
women [5] and cows older than 5 years [4], the aetiology
of this disorder is still unclear [2]. Several hypotheses
have been proposed to explain adenomyosis develop-
ment. One possible mechanism involves the breakdown
of endometrial and myometrial barrier preceded by
trauma such as abortion or gynaecological interventions,
and followed by reactive hyperplasia of the endometrium
and its proliferation within the myometrium [1, 6]. Another proposed mechanism of adenomyosis develop-
ment involves metaplasia of uterine pluripotent/multipo-
tent cells under hormonal stimuli. According to this Stem cells reside in many adult organs and tissues that
exhibit high regenerative potential [11]. The cells may be
identified by several markers, including NANOG, OCT4
and SOX2. These proteins are transcription factors
present in embryonic stem cells [12] and, as recent stud-
ies have shown, in mesenchymal stem cells settled also
in reproductive organs [13, 14]. OCT4 and SOX2 are
progenitor-specific proteins: octamer-binding transcrip-
tion factor 4 (OCT4) and sex determine region Ybox 2
(SOX2). NANOG is a homeodomain-containing tran-
scription factor and its expression is regulated by
OCT4/SOX2 heterodimer, which binds to the octamer/
sox elements at NANOG gene promoter [15]. In the
present study we selected NANOG, OCT4 and SOX2 as
the markers of undifferentiated state and pluripotency/
multipotency of cells that reside in uterus. Page 2 of 13 Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 Changes that occur in the endometrium during re-
productive
cycles,
in
particular
endometrial
gland
morphogenesis,
require
a
remarkable
proliferation
capacity of the tissue; thus, pluripotent/multipotent
cells play an important role in endometrial function-
ing and renewal [11, 16, 17]. These proliferative pro-
cesses in the uterus remain under the strict control
of ovarian steroids, therefore these hormones also in-
fluence uterine stem cell properties [11, 17]. Background observation of the ovaries and uterus [21] and confirmed
by determination of P4 levels in peripheral blood plasma
using radioimmunoassay (RIA). Just before slaughter,
each animal was examined by a veterinarian via per
rectum ultrasound-guided examination and information
about the age of each cow was recorded. Peripheral
blood samples were collected from the jugular vein. The
reasons for culling animals from the herd were eco-
nomic considerations and herd renewal. For further
experiments, after histopathologic examination, material
quality evaluation and hormone determination, 18 cows
were eventually selected (9 for each experimental group). During adenomyosis in cows, protein expression of the
E2 receptor α (ERα) is increased [4], and also blood and
endometrial E2 concentrations are elevated, which indicate
hormonal abnormalities during this condition [4]. Parallel
with increased E2 stimulation, excessive proliferation of
endometrial cells occurs, which is characterized by expres-
sion of the proliferation marker KI-67-antigen in adeno-
myotic foci [18]. In our recent studies, we identified
pluripotent/multipotent cells in the bovine uterus [19]. We also demonstrated expression of the pluripotency
markers NANOG, OCT4 and SOX2 in uterine tissue and
cultured uterine primary epithelial, stromal and myome-
trial cells, and in addition we confirmed pluripotent/mul-
tipotent
properties
of
these
cells
by
multilineage
differentiation [19]. These results suggest that stem cells
may be involved in adenomyosis development in the
bovine uterus. Therefore, we hypothesized that pluripo-
tency markers NANOG, OCT4 and SOX2 are differen-
tially expressed in uterine tissues and cells from control
and adenomyotic cows. The study by Moreira et al. (2007)
showed increased frequency of adenomyosis in cows in
the mid luteal stage of the oestrous cycle [20], so for this
study we used uteri from cows at days 8–10 of the
oestrous cycle. Tissue fragments (cross-sections of the uterine wall,
i.e., endometrium and myometrium) were obtained from
the middle segment of the uterine horn ipsilateral to the
corpus luteum and were divided into three pieces: the
first one was fixed in 4 % paraformaldehyde (PFA) in
0.1 M PBS (pH 7.4) for histo- and immunohistochemical
staining, the second was frozen and stored at −86 °C for
further mRNA and protein expression determination in
whole uterine tissue, and the third piece was used for
immediate isolation and culture of uterine cells. Uterine cell isolation and in vitro culture Endometrial stromal cells were isolated by enzymatic
dissociation as previously described [22]. After endomet-
rial cell isolation, the myometrial layer of the uterus was
accessed and dissected with scissors. About 4 cm long
fragments of muscle tissue were chopped up with scis-
sors into a homogeneous material. Approximately 5 g of
the chopped tissue was digested in 50 ml of M199
medium (Sigma, M2520, St. Louis, MO, USA) contain-
ing 0.1 % of bovine serum albumin (BSA; Sigma,
A2058), 20 μg/ml of gentamicin (Sigma, G1271), 2 mg/ml
of collagenase I (Sigma, C0130), 1 mg/ml of deoxyribo-
nuclease (Sigma, D5025) and 2 mg/ml of dispase (Life
Technologies, 17105–041, Paisley, UK). The enzyme solu-
tion with myometrial tissue was held at 37.5 °C with stir-
ring for 30 min. After digestion, the cell suspension was Histochemical staining and preliminary division of the
material Uterine tissue was fixed in 4 % PFA and processed for a
standard
haematoxylin
and
eosin
staining
protocol. Stained cross-sections of the tissue were observed under
a light microscope (Nikon FXA, Tokyo, Japan). Animals
were classified as described previously [4]; briefly, if
uterine glands were present only in the endometrium,
and if the endometrial-myometrial border was clearly
visible, cows were classified as normal/control (n = 9,
Fig. 1a). Whereas, if the glands penetrated the myome-
trial layer of the uterus, animals were classified as
adenomyotic (n = 9, Fig. 1b–d; according to the classifi-
cation of Katkiewicz et al. 2005 [18]). The aims of the study were: (1) comparison of
NANOG, OCT4 and SOX2 mRNA expression, immu-
nolocalisation and protein expression in control and
adenomyotic
uterine
tissues;
(2)
determination
of
NANOG,
OCT4
and
SOX2
mRNA
and
protein
expression in cultured primary uterine endometrial
stromal and myometrial cells isolated from adeno-
myotic cows. Immunohistochemistry
h
h Immunohistochemistry
Immunohistochemistry
(IHC)
was
used
to
localise
nuclear
transcription
factors,
NANOG,
OCT4
and
SOX2, in uterine tissues. Immunohistochemistry
Immunohistochemistry
(IHC)
was
used
to
localise
nuclear
transcription
factors,
NANOG,
OCT4
and
SOX2, in uterine tissues. The cells of each layer of the uterus were seeded sep-
arately at a density of 1 x 106 living cells/ml in 1 ml and
2 ml culture medium per well in collagen-coated 24-well
and 6-well plates, respectively (Biocoat; BD Bioscience,
4408, 4400, Bedford, MA, USA), and cultured at 37.5 °C
in a humidified atmosphere of 5 % CO2, 95 % air. The
medium was changed every 2 days until 70 % confluence
was reached (approx. at 4th day of culture). Total
mRNA, cell lysates and culture media were collected. Stromal cells maintained during culture fibroblast-like
morphology (Fig. 2a), while myometrial cells exhibited
fusiform appearance (Fig. 2b). Purity of the cell cultures
was rated by 4 independent observations under the light
microscope based on cells morphology [23], and was
evaluated for approx. 90–95 % for each cell types. Cell
culture homogeneity was also confirmed using real-time
PCR for determination of mRNA expression of vimentin
and desmin for stromal and myometrial cells, respect-
ively [23, 24]. Vimentin was highly expressed in stromal
cells and in contrary weakly expressed in myometrial cell
cultures (Fig. 2c). Desmin was expressed mainly in myo-
metrial cultures, while in stromal cultures the expression
was on low level (Fig. 2d). For cells’ functionality Cross-sections of uterine horn samples were fixed in
4 % PFA in 0.1 M PBS (pH 7.4), and cryoprotected in
18 % sucrose. Immunostaining was carried out on con-
secutive 7 μm cryostat sections. To block endogenous
peroxidase, the sections were treated with hydrogen per-
oxide in methanol and washed in 0.1 M PBS. The sec-
tions were blocked with 10 % normal goat serum
(Sigma, G9023) for 1 h at room temperature (approx. 23 °C; RT), incubated overnight at RT with a 1:100 dilu-
tion of anti-NANOG (Abcam, 80892, Cambridge, UK),
anti-OCT4
(Abcam,
19857)
or
anti-SOX2
(Sigma,
S9072) antibodies, washed in PBS, incubated for 1 h
with a 1:25,000 dilution of biotinylated anti-rabbit
(Vectastain ABC Kit; Vector Laboratories, PK 4001,
Burlingame, CA, USA) antibodies, then washed, incu-
bated for 45 min with the ABD reagent in PBS, and
washed again. Material collection All procedures were approved by the Local Animal Care
and Use Committee, Olsztyn, Poland (agreement no. 83/
2012/N). A total of 24 Holstein/Polish Black and White cows
(75 %/ 25 %, respectively) 5–7 years old were used for
post mortem collection of uteri (days 8–10 of the
oestrous cycle). Uterine tissues were obtained at the
Meat Processing Plant “Warmia” (Biskupiec, Poland)
and transported on ice to the laboratory within 40 min. Day of the oestrous cycle was evaluated by macroscopic Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 Page 3 of 13 Fig. 1 Representative pictures of haematoxylin and eosin stained bovine uterine cross-section slides. a – normal uterine tissue with regular, clearly
visible border between endometrium and myometrium; b-d – adenomyotic tissue with visible uterine glands within the myometrial layer of the
uterus. Arrows indicate glandular nests in myometrium. Scale bars: 100 μm Fig. 1 Representative pictures of haematoxylin and eosin stained bovine uterine cross-section slides. a – normal uterine tissue with regular, clearly
visible border between endometrium and myometrium; b-d – adenomyotic tissue with visible uterine glands within the myometrial layer of the
uterus. Arrows indicate glandular nests in myometrium. Scale bars: 100 μm confirmation prostaglandin (PG) E2 and PGF2α level was
measured in culture medium by enzyme immunoassay
(EIA; Fig. 3a, b). The levels of secreted PGs indicate
maintained functionality of the uterine cells during cul-
tures [25–27]. filtered through a mesh to remove undigested tissue frag-
ments, then the cells were washed by centrifugation
(10 min at 100 x g, at 4 °C). Cells were resuspended in cul-
ture medium (DMEM; Sigma, D5796) supplemented with
10 % of fetal calf serum (FCS; Sigma, 12133C) and antibi-
otics
(gentamicin/amphotericin
B;
Life Technologies,
1153727). Immunohistochemistry
h
h sections were dehydrated and cover-slipped with DPX
mounting
medium
(Park
Scientific
Ltd,
D-11601,
Northampton, UK). To determine the specificity of
the immunohistochemical staining, two controls were
performed: first, the primary antibody was omitted
during the immunostaining procedure; second, the
primary antibody was substituted with a nonspecific
IgG. Observations and photographs were made with a
light microscope (Nikon FXA). Total RNA isolation Immunohistochemistry
h
h Proteins were visualized by incubating
the sections in 0.3 mg/mL 3,30-diaminobenzidine tet-
rahydrochloride in 0.01 % hydrogen peroxide in Tris-
buffered saline (pH 7.2) for 2–3 min. Finally, the Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 Page 4 of 13 sections were dehydrated and cover-slipped with DPX
mounting
medium
(Park
Scientific
Ltd,
D-11601,
Northampton, UK). To determine the specificity of
the immunohistochemical staining, two controls were
performed: first, the primary antibody was omitted
Total RNA isolation
Total RNA was extracted from uterine tissues (approx. 30 mg) and cultured cells using TRI-Reagent (Sigma,
T9424) according to the manufacturer’s instructions. The content and purity of RNA was assessed on a
0
1
2
3
*
vimentin/GAPDH mRNA expression
(arbitrary units)
stromal
myometrial
0
2
4
6
8
*
cells
desmin/GAPDH mRNA expression
(arbitrary units)
C
A
B
D
Fig. 2 Evaluation of cell cultures homogeneity. a, b – representative pictures of stromal and myometrial cultured cells, respectively. Scale bars: 20 μm. Expression of vimentin in stromal and myometrial cells c; expression of desmin in stromal and myometrial cells d. Data were normalized
against glyceraldehyde-3-phosphate dehydrogenase (GAPDH). Bars represent the mean ± SEM. Asterisks indicate statistical difference between uterine
stromal and myometrial cells (P < 0.05), as determined by Student’s t-test A
B B B 0
1
2
3
*
vimentin/GAPDH mRNA expression
(arbitrary units)
C C stromal
myometrial
0
2
4
6
8
*
cells
desmin/GAPDH mRNA expression
(arbitrary units)
D
neity. a, b – representative pictures of stromal and myometrial cultured cells, respectively. Scale bars: 20 μm. D Fig. 2 Evaluation of cell cultures homogeneity. a, b – representative pictures of stromal and myometrial cultured cells, respectively. Scale bars: 20 μm. Expression of vimentin in stromal and myometrial cells c; expression of desmin in stromal and myometrial cells d. Data were normalized
against glyceraldehyde-3-phosphate dehydrogenase (GAPDH). Bars represent the mean ± SEM. Asterisks indicate statistical difference between uterine
stromal and myometrial cells (P < 0.05), as determined by Student’s t-test sections were dehydrated and cover-slipped with DPX
mounting
medium
(Park
Scientific
Ltd,
D-11601,
Northampton, UK). To determine the specificity of
the immunohistochemical staining, two controls were
performed: first, the primary antibody was omitted
during the immunostaining procedure; second, the
primary antibody was substituted with a nonspecific
IgG. Observations and photographs were made with a
light microscope (Nikon FXA). Total RNA isolation Total RNA was extracted from uterine tissues (approx. 30 mg) and cultured cells using TRI-Reagent (Sigma,
T9424) according to the manufacturer’s instructions. The content and purity of RNA was assessed on a
NanoDrop 1000 (Thermo Fisher Scientific, ND-1000,
Wilmington, DE, USA). 260/280 absorbance ratio for
all samples was approx. 2.0, and 260/230 absorbance
ratio ranged between 1.8–2.2. One microgram of each Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 Page 5 of 13 0
1000
2000
3000
4000
PGE2 (pg/ml)
stromal
myometrial
0
500
1000
1500
2000
2500
cells
PGF2 (pg/ml)
A
B
Fig. 3 Prostaglandins secretion by stromal and myometrial cultured
cells. Secretion of prostaglandin E2 by cultured uterine cells a; secretion
of prostaglandin F2α by cultured uterine cells b. Bars represent
the mean ± SEM. There were no statistically significant differences
in PGs secretion between stromal and myometrial cells (P > 0.05),
as determined by Student’s t-test 0
1000
2000
3000
4000
PGE2 (pg/ml)
A in Table 1. Standard curves consisting of serial dilutions
of the appropriate cDNA were plotted for efficiency
evaluation. Amplification was preceded by an initial en-
zyme activation step (2 min, 95 °C). The PCR steps were
as follows: 40 cycles of denaturation (5 s, 95 °C), then
annealing and extending (20 s, 60 °C). After amplifica-
tion, melting curves were acquired by stepwise increases
at a temperature of 50–95 °C to ensure that a single
product was amplified and no primer-dimer structures
were formed. Control reactions in the absence of the
template or primers were performed to confirm that
products were free from primer-dimers and genomic
DNA contamination, respectively. Dissociation curves
analysis was carried out after each real-time experiment
to confirm the presence of only one amplification prod-
uct. Data were normalized using the ΔΔCt method. Samples were amplified in duplicates. Data are shown as
the average fold increase, with S.E.M., and are expressed
relative to the housekeeping gene GAPDH. stromal
myometrial
0
500
1000
1500
2000
2500
cells
PGF2 (pg/ml)
B
Fig. 3 Prostaglandins secretion by stromal and myometrial cultured
cells. Secretion of prostaglandin E2 by cultured uterine cells a; secretion
of prostaglandin F2α by cultured uterine cells b. Bars represent
the mean ± SEM. There were no statistically significant differences
in PGs secretion between stromal and myometrial cells (P > 0.05),
as determined by Student’s t-test stromal
myometrial
0
500
1000
1500
2000
2500
cells
PGF2 (pg/ml)
B B Real-time PCR quantification q
mRNA expression for NANOG, OCT4 and SOX2 in the
tissues and cells was determined by quantitative real-
time PCR. The experiments were performed using the
Applied Biosystems 7900 (Applied Biosystems, Foster
City, CA, USA) with SensiFAST SYBR Hi-ROX Kit (Bio-
line Reagents, BIO-92002, London, UK) according to the
manufacturer’s instructions. The real-time PCR reaction
mix (20 μl) contained 19 μl of SensiFAST SYBR Hi-ROX
Master Mix, 0.5 μM of sense and antisense primers, and
1 μl of reverse-transcribed cDNA (50 ng). Primer se-
quences used for determination of vimentin, desmin,
NANOG, OCT4, SOX2 and glyceraldehyde 3-phosphate
dehydrogenase (GAPDH) mRNA expression are detailed Western blotting Protein expression for NANOG, OCT4 and SOX2 in the
tissues and cells was determined by Western blotting. Proteins from homogenised tissues and in vitro cultured
cells were released by incubation with lysis buffer containing
50 mM Tris–HCl (pH 8.0), 150 mM NaCl, 5 mM EDTA,
0.1 % SDS, 1 % TritonX-100, 0.5 % sodium deoxycholate
and protease inhibitors (Sigma, P8340). The lysates were
stored at −86 °C until further analysis. Protein concentra-
tions were measured by the Bradford’s method. Fig. 3 Prostaglandins secretion by stromal and myometrial cultured
cells. Secretion of prostaglandin E2 by cultured uterine cells a; secretion
of prostaglandin F2α by cultured uterine cells b. Bars represent
the mean ± SEM. There were no statistically significant differences
in PGs secretion between stromal and myometrial cells (P > 0.05),
as determined by Student’s t-test Western blot analysis was performed as previously
described [28]. Equal amounts of protein were dis-
solved in SDS gel-loading buffer, heated to 95 °C for
4 min and separated in 10 % SDS-PAGE. Separated
proteins were electroblotted onto 0.2 μm nitrocellu-
lose membranes in transfer buffer. After blocking in
5 % non-fat dry milk in TBS-T buffer for 1.5 h at RT, the
membranes were incubated overnight with a 1:250 dilution
of anti-NANOG (Novus Biologicals Ltd, NBP2-24941,
Cambridge, UK), a 1:400 dilution of anti-OCT4 (Novus
Biologicals Ltd, NB100-2379) or a 1:500 dilution of anti-
SOX2 (Sigma, S9072) antibodies; GAPDH (Sigma, G8795;
monoclonal anti-glyceraldehyde-3-phosphate dehydrogen-
ase antibody produced in mouse) expression was used as a
reference. Proteins were detected by incubating the mem-
branes with a 1:20,000 dilution of secondary polyclonal
anti-rabbit or anti-mouse alkaline phosphatase-conjugated
antibodies (Sigma, A 3687, A 3562) for 1.5 h at RT. Western blots were quantitated using the Kodak 1 D
program (Eastman Kodak, Rochester, NY, USA). sample of total RNA was reverse-transcribed to cDNA
with the QuantiTect Reverse Transcription kit (Life
Technologies, 205313), as described in the supplier’s
protocol. The cDNA obtained was stored at −20 °C
until real-time PCR was applied. Prostaglandins determination Measurements of PGE2 and PGF2α levels in culture
media were performed using commercially available en-
zyme immunoassay kit (EIA kit; Cayman Chemical
Company, 514010 for PGE2 and 516011 for PGF2α, Ann
Arbor, MI, USA). Standard curve for PGE2 ranged from
9,5–5000 pg/ml and the effective dose for 50 % inhib-
ition (ED 50) of the assay was 15 pg/ml. The intra- and
inter-assay coefficients of variation (CV) were 4.2 % and
12.4 %, respectively. PGF2α standard curve ranged from
9,5–2000 pg/ml, ED 50 of the assay was 9 pg/ml and the
intra- and inter-assay CV were on average 9.4 % and
12 %, respectively. At the protein expression level, determined by Western
blotting, there were no significant differences among
NANOG, OCT4 and SOX2 (P > 0.05, Fig. 6a–c). However
the spatial differences in examined proteins expression was
reported during IHC assay. Hormone determination Measurements of P4 in blood plasma were performed
using a direct radioimmunoassay (RIA; DIASource Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 Page 6 of 13 Table 1 Oligonucleotide sequences used for real-time PCR
Gene
Oligonucleotide sequences
Product size
GeneBank
(bp)
vimentin
FWD 5’-GACCTGGAGCGTAAAGTGG-3’
108
BC118269
REV 5’-GACATGCTGTTCTTGAATCTGG-3
desmin
FWD 5’-GACCCAGGCAGCCAACAAG-3’
100
BC133410
REV 5’-GTCGATCTCGCAGGTGTAGG-3’
NANOG
FWD 5’-TGCATTTGCTGGAGACTGAG-3’
107
DQ069776
REV 5’- GTCCCGGTCAAGAAACAAAA-3’
OCT4
FWD 5’-AGGTGTTCAGCCAAACGACTA-3’
195
FD381287.1
REV 5’-TCTCCTGCAGATTCTCGTTGT-3’
SOX2
FWD 5’-GCACATGAACGGCTGGAGCAACG-3’
218
JQ231229.1
REV 5’-TGCTGCGAGTAGGACATGCTGTAGG-3’
GAPDH
FWD 5’-CACCCTCAAGATTGTCAGCA-3’
103
BC102589
REV 5’-GGTCATAAGTCCCTCCACGA-3’ ImmunoAssays
S.A.,
KIP1458,
Nivelles,
Belgium). The standard curve ranged from 0.12–36 ng/ml and
the effective dose for 50 % inhibition (ED 50) of the
assay was 0.05 ng/ml. The intra- and inter-assay coeffi-
cients of variation (CV) were 6.5and 8.6 %, respectively. compared with normal uteri (P < 0.05, Fig. 4a, b). There was no significant difference in SOX2 mRNA
expression between control and adenomyotic uteri
(P > 0.05, Fig. 4c). Immunohistochemistry revealed expression of all three
pluripotency markers, NANOG, OCT4 and SOX2, in nor-
mal uterine tissues (Fig. 5c, e, g) as well as in adenomyotic
samples (Fig. 5d, f, h). The proteins examined were mainly
localised in the endometrium, however, in the case of ade-
nomyotic tissues the immunoreactivity was also high in the
myometrial compartment of the uterus and in adenomyo-
tic, ectopic glands (Fig. 5d, f, h). Statistical analysis Expression of all genes of the three transcription factors
did not differ significantly between cultured stromal cells
isolated from adenomyotic uteri compared to those iso-
lated from control tissues (P > 0.05, Fig. 7a–c). Whereas,
mRNA expression of NANOG, OCT4 and SOX2 in cul-
tured uterine myometrial cells isolated from cows with
adenomyosis was increased compared to those isolated
from normal uteri (P < 0.05, Fig. 7d–f). Statistically significant differences between groups in the
experiments
were
evaluated
using
Student’s
t-test
(GraphPad PRISM Version 5.00, San Diego, CA, USA). All data were expressed as means ± SEM. Differences
were analysed between control and adenomyotic cows,
and were considered significant at P < 0.05. corresponding cells isolated from normal uteri (P < 0.05,
Fig. 8e, f). corresponding cells isolated from normal uteri (P < 0.05,
Fig. 8e, f). Results Protein expression of NANOG and SOX2 was signifi-
cantly decreased in stromal cells isolated from uteri with
adenomyosis compared to those obtained from normal
uteri (P < 0.05, Fig. 8a, c). Protein expression of both
transcription factors OCT4 and SOX2 was higher in cul-
tured myometrial cells from adenomyotic tissues than in mRNA expression, immunolocalisation and protein
expression of pluripotency markers NANOG, OCT4 and SOX2
in uterine tissue of cows with adenomyosis
mRNA expression of transcription factors NANOG
and OCT4 was increased in adenomyotic uterine tissue mRNA expression, immunolocalisation and protein
expression of pluripotency markers NANOG, OCT4 and SOX2
in uterine tissue of cows with adenomyosis mRNA expression of transcription factors NANOG
and OCT4 was increased in adenomyotic uterine tissue Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 Page 7 of 13 0
1
2
3
4
*
OCT4/GAPDH mRNA expression
(arbitrary units)
1
2
3
4
X2/GAPDH mRNA expression
(arbitrary units)
0.0
0.5
1.0
1.5
2.0
2.5
*
NANOG/GAPDH mRNA expression
(arbitrary units)
A
B
C 0.0
0.5
1.0
1.5
2.0
2.5
*
NANOG/GAPDH mRNA expression
(arbitrary units)
A Fig. 4 mRNA expression of pluripotency markers NANOG a, OCT4 b and
SOX2 c in uterine tissues obtained from control cows and from cows
with adenomyosis. Data were normalized against glyceraldehyde-3-
phosphate dehydrogenase (GAPDH). Bars represent the mean ± SEM. Asterisks indicate statistical difference between uterine normal and
adenomyotic tissues (P < 0.05), as determined by Student’s t-test. C –
tissues obtained from control cows, ADENO – tissues obtained from
cows with adenomyosis A Fig. 4 mRNA expression of pluripotency markers NANOG a, OCT4 b and
SOX2 c in uterine tissues obtained from control cows and from cows
with adenomyosis. Data were normalized against glyceraldehyde-3-
phosphate dehydrogenase (GAPDH). Bars represent the mean ± SEM.
Asterisks indicate statistical difference between uterine normal and
adenomyotic tissues (P < 0.05), as determined by Student’s t-test. C –
tissues obtained from control cows, ADENO – tissues obtained from
cows with adenomyosis Discussion Adenomyosis is a uterine proliferative dysfunction which
aetiology is still unclear. One possible mechanism of its
development implies the involvement of uterine stem
cells, which abnormal proliferation and differentiation
may lead to formation of glandular foci within the myo-
metrium [2, 12]. In our previous study, we confirmed
the existence of pluripotent/multipotent cells in the
bovine uterus [19]. The present research focused on
determining expression of pluripotency markers in ade-
nomyotic uterine tissues and cells. We confirmed that
pluripotency markers are expressed in adenomyotic
endometrial tissues and in glandular nests within the
myometrium, and that mRNA expression for NANOG
and OCT4 was higher in dysfunctional tissue compared
to the control; however, the tissue protein results deter-
mined by Western blotting did not confirm these differ-
ences. Moreover,
we
have
demonstrated
that both
mRNA and protein levels for OCT4 and SOX2 were in-
creased in cultured primary myometrial cells isolated
from adenomyotic uteri compared to the cells isolated
from normal tissues. However, in stromal cells protein
expression of NANOG and SOX2 was significantly de-
creased in the case of adenomyosis. To our knowledge,
this is the first study to report expression of pluripotency
markers in the bovine uterus with adenomyosis. 0
1
2
3
4
*
OCT4/GAPDH mRNA expression
(arbitrary units)
B B C
ADENO
0
1
2
3
4
SOX2/GAPDH mRNA expression
(arbitrary units)
C C In women, the hypothesis of uterine stem cell involve-
ment in development of uterine dysfunction has been
widely studied [11, 29–31]. Moreover, the recent report
of Chen et al. (2014) showed increased expression of
another stem cell marker, Musashi-1, in adenomyotic
eutopic and ectopic endometrium of women [32]. The
presence of pluripotent/multipotent cells in the bovine
uterus suggests their possible role in development of
uterine dysfunction [19, 33, 34]. Nevertheless, there are
no studies on the involvement of pluripotent cells in
pathogenesis of adenomyosis or any other uterine dis-
eases in cows. Our present study is consistent with one
conducted in women [32], because we demonstrated in-
creased expression of pluripotency markers in myome-
trial cells isolated from adenomyotic uteri. However, in Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 Page 8 of 13 Fig. 5 Immunodetection of pluripotency markers in uterine tissues from control cows and from cows with adenomyosis. Discussion a, b – haematoxylin and
eosin stained slides of control and adenomyotic uterus, respectively; c, d – NANOG immunodetection in control and adenomyotic tissue, respectively;
e, f – immunolocalisation of OCT4 in normal and adenomyotic tissue, respectively; g, h – SOX2 immunodetection in control and adenomyotic tissue,
respectively; i, j, k – no Ab, negative controls for NANOG, OCT4 and SOX2, respectively. Unspecific IgG controls (pictures not shown) served similar pictures
as no Ab control. Arrows indicate the most intense histochemical reactions; dotted line indicate endometrial-myometrial border; e – endometrium, m –
myometrium, es – endometrial stroma, eg – endometrial gland, a – adenomyotic lesion, v – vessel. Scale bars: 20 μm Fig. 5 Immunodetection of pluripotency markers in uterine tissues from control cows and from cows with adenomyosis. a, b – haematoxylin and
eosin stained slides of control and adenomyotic uterus, respectively; c, d – NANOG immunodetection in control and adenomyotic tissue, respectively;
e, f – immunolocalisation of OCT4 in normal and adenomyotic tissue, respectively; g, h – SOX2 immunodetection in control and adenomyotic tissue,
respectively; i, j, k – no Ab, negative controls for NANOG, OCT4 and SOX2, respectively. Unspecific IgG controls (pictures not shown) served similar pictures
as no Ab control. Arrows indicate the most intense histochemical reactions; dotted line indicate endometrial-myometrial border; e – endometrium, m –
myometrium, es – endometrial stroma, eg – endometrial gland, a – adenomyotic lesion, v – vessel. Scale bars: 20 μm Page 9 of 13 Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 0.0
0.5
1.0
1.5
2.0
2.5
OCT4/GAPDH protein expression
(arbitrary units)
C
ADENO
0.0
0.5
1.0
1.5
2.0
SOX2/GAPDH protein expression
(arbitrary units)
0.0
0.5
1.0
1.5
NANOG/GAPDH protein expression
(arbitrary units)
A
B
C
D 0.0
0.5
1.0
1.5
NANOG/GAPDH protein expression
(arbitrary units)
A Fig. 6 Protein expression of NANOG a, OCT4 b and SOX2 c in
bovine uterine tissues obtained from control cows and from
cows with adenomyosis. Data were normalized against glyceraldehyde-
3-phosphate dehydrogenase (GAPDH). Bars represent the mean ± SEM. There were no statistical differences between uterine normal and
adenomyotic tissues (P > 0.05), as determined by Student’s t-test. Representative blots for NANOG, OCT4, SOX2 and GAPDH are
shown below the graphs d. Discussion MM – molecular weight marker, C –
tissues obtained from control cows, ADENO – tissues obtained
from cows with adenomyosis whole uterine tissue, at the protein level evaluated by
Western blotting we did not find significant differences
in NANOG, OCT4 and SOX2 expression, in contrast to
our mRNA results. Moreover, mRNA expression of plur-
ipotency markers in stromal primary cells also did not
reflect protein expression. The reason for this inconsist-
ency may be posttranslational modifications of the pro-
teins, which results in different protein expression
pattern when comparing to mRNA. However in myome-
trial cells mRNA expression was consistent with protein
expression. These outcomes together with IHC results
indicate that the pattern of pluripotency markers expres-
sion in adenomyotic tissue may depends on the uterine
compartment: endometrium or myometrium. Our ex-
periments performed on the tissue showed general
expression of pluripotency markers in adenomyotic
uterus, which included its expression in stem cells that
migrate to uterus through blood and lymphatic vessels,
e.g. cells of medullary origin [31]. Whereas in vitro ex-
periment revealed pluripotency markers expression in
particular uterine cells, originated from endometrium or
myometrium. In our previous study we showed that the
main source of stem cells in the bovine uterus is stromal
layer [19], therefore we showed changed expression
pattern of pluripotency markers in case of uterine
pathology – adenomyosis. 0.0
0.5
1.0
1.5
2.0
2.5
OCT4/GAPDH protein expression
(arbitrary units)
B B C
ADENO
0.0
0.5
1.0
1.5
2.0
SOX2/GAPDH protein expression
(arbitrary units)
C C In our study, we also demonstrated decreased protein
expression of NANOG and SOX2 in cultured primary
endometrial stromal cells from adenomyotic tissues
compared to the controls, which suggests that their
potential to differentiate into glands within the endomet-
rium may be reduced. Proliferation of endometrial cells
and formation of uterine glands is extremely important
for successful implantation and early embryo development
[35]. In high fertility heifers, endometrial expression of
genes involved in cell proliferation, tissue morphology
and development was increased when compared to
low fertility heifers [36]. Thus, during adenomyosis,
disturbed proliferative processes in the endometrium
of cows may impair their fertility [18, 37]. Moreover,
because the myometrium is a prolific source of pluripo-
tent cells during adenomyosis, this may imply a higher
differentiation potential of cells in this compartment D D Łupicka et al. Discussion Reproductive Biology and Endocrinology (2015) 13:110 Page 10 of 13 0.0
0.5
1.0
1.5
NANOG/GAPDH mRNA expression
(arbitrary units)
0.0
0.5
1.0
1.5
2.0
*
NANOG/GAPDH mRNA expression
(arbitrary units)
0.0
0.5
1.0
1.5
2.0
OCT4/GAPDH mRNA expression
(arbitrary units)
0.0
0.5
1.0
1.5
2.0
*
OCT4/GAPDH mRNA expression
(arbitrary units)
C
ADENO
0
1
2
3
4
stromal cells
SOX2/GAPDH mRNA expression
(arbitrary units)
C
ADENO
0
1
2
3
4
**
myometrial cells
SOX2/GAPDH mRNA expression
(arbitrary units)
A
B
C
D
E
F
Fig. 7 mRNA expression of pluripotency markers in uterine cells isolated from control cows and from cows with adenomyosis. NANOG a OCT4
b and SOX2 c mRNA expression in uterine stromal cells. NANOG d OCT4 e and SOX2 f mRNA expression in uterine myometrial cells. Data were
normalized against glyceraldehyde-3-phosphate dehydrogenase (GAPDH). Bars represent the mean ± SEM. Asterisks indicate statistical differences
between uterine normal and adenomyotic tissue (*P < 0.05; **P < 0.01), as determined by Student’s t-test. C – cells obtained from control cows,
ADENO – cells obtained from cows with adenomyosis 0.0
0.5
1.0
1.5
NANOG/GAPDH mRNA expression
(arbitrary units)
A 0.0
0.5
1.0
1.5
2.0
*
NANOG/GAPDH mRNA expression
(arbitrary units)
D D 0.0
0.5
1.0
1.5
2.0
*
OCT4/GAPDH mRNA expression
(arbitrary units)
E 0.0
0.5
1.0
1.5
2.0
OCT4/GAPDH mRNA expression
(arbitrary units)
B E B C
ADENO
0
1
2
3
4
**
myometrial cells
SOX2/GAPDH mRNA expression
(arbitrary units)
F C
ADENO
0
1
2
3
4
stromal cells
SOX2/GAPDH mRNA expression
(arbitrary units)
C C F Fig. 7 mRNA expression of pluripotency markers in uterine cells isolated from control cows and from cows with adenomyosis. NANOG a OCT4
b and SOX2 c mRNA expression in uterine stromal cells. NANOG d OCT4 e and SOX2 f mRNA expression in uterine myometrial cells. Data were
normalized against glyceraldehyde-3-phosphate dehydrogenase (GAPDH). Bars represent the mean ± SEM. Asterisks indicate statistical differences
between uterine normal and adenomyotic tissue (*P < 0.05; **P < 0.01), as determined by Student’s t-test. C – cells obtained from control cows,
ADENO – cells obtained from cows with adenomyosis of the uterus, and may trigger the invasion of glandular
nests deep within. diseases such as endometriosis, endometrial cancers and
adenomyosis [11, 29]. Bovine endometrial cell prolifera-
tion is also regulated by ovarian hormones: oestradiol
and progesterone [40]. Discussion Adenomyosis is an oestrogen-
dependent dysfunction [4, 30], thus it is suggested that
hormone disturbances may relate to uterine stem cell
functioning during adenomyosis [29]; however, this issue
require further studies. In mares, defective responses of Maintenance of uterine cell functions, including prolif-
eration, during cyclic endometrial remodelling is the
main factor underlying female fertility in many species
and is controlled by ovarian hormones [29, 37–39]. In
women, abnormalities in endometrial cell proliferation
potentially
leads
to
development
of
gynaecological Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 Page 11 of 13 0.0
0.5
1.0
1.5
2.0
**
NANOG/GAPDH protein expression
(arbitrary units)
0.0
0.5
1.0
1.5
NANOG/GAPDH protein expression
(arbitrary units)
0.0
0.5
1.0
1.5
2.0
2.5
OCT3/4/GAPDH protein expression
(arbitrary units)
0.0
0.5
1.0
1.5
2.0
*
OCT3/4/GAPDH protein expression
(arbitrary units)
C
ADENO
0.0
0.5
1.0
1.5
*
stromal cells
SOX2/GAPDH protein expression
(arbitrary units)
C
ADENO
0.0
0.5
1.0
1.5
*
myometrial cells
SOX2/GAPDH protein expression
(arbitrary units)
A
B
C
D
E
F
G
Fig. 8 (See legend on next page.) 0.0
0.5
1.0
1.5
2.0
**
NANOG/GAPDH protein expression
(arbitrary units)
A 0.0
0.5
1.0
1.5
NANOG/GAPDH protein expression
(arbitrary units)
D D 0.0
0.5
1.0
1.5
2.0
*
OCT3/4/GAPDH protein expression
(arbitrary units)
E 0.0
0.5
1.0
1.5
2.0
2.5
OCT3/4/GAPDH protein expression
(arbitrary units)
B E B C
ADENO
0.0
0.5
1.0
1.5
*
stromal cells
SOX2/GAPDH protein expression
(arbitrary units)
C C
ADENO
0.0
0.5
1.0
1.5
*
myometrial cells
SOX2/GAPDH protein expression
(arbitrary units)
F C F G
Fig. 8 (See legend on next page.) G
xt page.) G Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 Page 12 of 13 (See figure on previous page.)
Fig. 8 Protein expression of pluripotency markers in uterine cells isolated from control cows and from cows with adenomyosis. NANOG a OCT4
b and SOX2 c protein expression in uterine stromal cells. NANOG d OCT4 e and SOX2 f protein expression in uterine myometrial cells. Data were
normalized against glyceraldehyde-3-phosphate dehydrogenase (GAPDH). Bars represent the mean ± SEM. Asterisks indicate statistical differences
between uterine normal and adenomyotic tissue (*P < 0.05; **P < 0.01), as determined by Student’s t-test. Representative blots for NANOG, OCT4,
SOX2 and GAPDH are shown below the graphs g. Discussion MM – molecular weight marker, C – cells obtained from control cows, ADENO – cells obtained
from cows with adenomyosis endometrial glands to cyclic hormonal stimuli may con-
tribute to degenerative changes in the endometrium,
termed endometrosis, and result in decreased fertility
[41]. These changes are also linked to functional abnor-
malities of endometrial cells, especially impaired prolif-
eration activity in endometrotic glandular nests [39]. Although knowledge about the involvement of uterine
stem cells in pathogenesis of endometrosis is poor, re-
cent studies on mare infertility caused by this dysfunc-
tion suggest the utility of stem cell transplantation into
uteri for therapy. Stem cells that settled in degenerative
endometria during the experiments of Mambelli et al. (2014) induced proliferation of glands and improved
their secretory functions [42]. These data suggest that a
wide range of uterine pathologies in different species
may be dependent on functions of uterine stem cells. Therefore, our present study contributes by broadening
knowledge about this issue in cattle, which was not pre-
viously studied in this species. Received: 18 June 2015 Accepted: 17 September 2015 Authors’ contributions MŁ and AK designed the study. MŁ performed all experiments, acquired and
analysed the data. AS and BS participated in experiments execution and
material collection. MŁ and AK drafted the manuscript. MŁ revised the
manuscript. All authors read and approved the final manuscript. 20. Moreira L, Carvalho ECQ, Caldas-Bussiere MC. Histopathological aspects of
adenomyosis in bovine uteri in different phases of the estrous cycle. Arq
Brasi Med Vet Zootec. 2007;59:1097–102. 21. Miyamoto Y, Skarzynski DJ, Okuda K. Is tumor necrosis factor α a trigger for
the initiation of endometrial prostaglandin F2α release at luteolysis in cattle? Biol Reprod. 2000;62:1109–15. References Stem cells in endometrium and their
role in the pathogenesis of endometriosis. Ann N Y Acad Sci. 2011;1221:10–7. Competing interests 18. Katkiewicz M, Wierzchoń M, Boryczko Z. Adenomyosis of cows’ uterus –
latent cause of infertility? Med Wet. 2005;61:1378–81. 18. Katkiewicz M, Wierzchoń M, Boryczko Z. Adenomyosis of cows’ uterus –
latent cause of infertility? Med Wet. 2005;61:1378–81. 19. Łupicka M, Bodek G, Shpigel N, Elnekave E, Korzekwa AJ. Identification of
pluripotent cells in bovine uterus: in situ and in vitro studies. Reproduction. 2015;149:1–12. Conclusions 12. Calloni R, Cordero EA, Henriques JA, Bonatto D. Reviewing and updating the
major molecular markers for stem cells. Stem Cells Dev. 2013;22:1455–76. 12. Calloni R, Cordero EA, Henriques JA, Bonatto D. Reviewing and updating the
major molecular markers for stem cells. Stem Cells Dev. 2013;22:1455–76. In conclusion, our results indicate that significant changes
occur
in
the
expression
of
pluripotency
markers,
NANOG, OCT4 and SOX2, in bovine adenomyotic tis-
sues compared to normal uteri. Moreover, this expression
was dependent on the uterine compartment: in general, it
was decreased in the endometrial layer and the converse
in the myometrial layer. These data suggest the involve-
ment of uterine multipotent/pluripotent cells in develop-
ment of adenomyosis. Therefore our study imply that
stem cells play role not only under physiological condi-
tions but also in the case of uterine pathologies in cows. 13. Lee KS, Nah J-J, Lee B-C, Lee HT, Lee H-S, So B-J, et al. Maintenance and
characterization of multipotent mesenchymal stem cells isolated from
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multipotent markers from adult human ovaries. Cell Tissue Res. 2013;354:593–607 14. Stimpfel M, Skutella T, Cvjeticanin B, Meznaric M, Dovc P, Novakovic S, et al. Isolation, characterization and differentiation of cells expressing pluripotent/
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of Nanog transcription factor. OncoTargets and Therapy. 2013;6:1207–20. 15. Wang M-L, Chiou S-H, Wu C-W. Targeting cancer stem cells: emerging role
of Nanog transcription factor. OncoTargets and Therapy. 2013;6:1207–20. 16. Gargett CE. Stem cells in gynaecology. Aust N Z J Obstet Gynaecol. 2004;44:380–6. 16. Gargett CE. Stem cells in gynaecology. Aust N Z J Obstet Gynaecol. 2004;44:380–6. 17. Xu J, Hu FF, Cui YG, Luo J, Jiang CY, Gao L, et al. Effect of estradiol on
proliferation and differentiation of side population stem/progenitor cells
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stem/progenitor cells. Rev Endocr Metab Disord. 2012;13:235–51. 9. Ota H, Igarashi S, Hatazawa J, Tanaka T. Is adenomyosis an immune disease? Hum Reprod Update. 1998;4:360–7. 9. Ota H, Igarashi S, Hatazawa J, Tanaka T. Is adenomyosis an immune disease? Hum Reprod Update. 1998;4:360–7. 10. Korzekwa A, Łupicka M, Socha B, Mannelli C, Skarzynski DJ. Is adenomyosis a
problem in reproduction and fertility? Pol J Vet Sci. 2014;17:187–94. 10. Korzekwa A, Łupicka M, Socha B, Mannelli C, Skarzynski DJ. Is adenomyosis a
problem in reproduction and fertility? Pol J Vet Sci. 2014;17:187–94. 11. Figueira PGM, Abrão MS, Krikun G, Tylor H. Stem cells in endometrium and their
role in the pathogenesis of endometriosis. Ann N Y Acad Sci. 2011;1221:10–7. 11. Figueira PGM, Abrão MS, Krikun G, Tylor H. This work was supported by Grant-in-Aid for Scientific Research from the
National Science Centre (2011/01/B/NZ5/00939). 23.
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type specificity and intracellular mechanisms. Biol Reprod. 2000;62:1116–20. The authors wish to thank W. Krzywiec for technical support and tissue
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National Science Centre (2011/01/B/NZ5/00939). Page 13 of 13 Page 13 of 13 Łupicka et al. Reproductive Biology and Endocrinology (2015) 13:110 24. Zeiler M, Leiser R, Johnson GA, Tinneberg HR, Pfarrer C. Development of an
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induced epithelial-mesenchymal transition of endometrial epithelial cells
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progenitor cells: their possible role in uterine physiology and pathology. Reproduction. 2010;140:11–22. 32. Chen YZ, Wang JH, Yan J, Liang Y, Zhang XF, Zhou F. Increased expression
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endometrial stromal cells display osteogenic properties. Reprod Biol
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of cycling cows contains population of putative mesenchymal progenitor cells. Reprod Dom Anim. 2014;49:550–9. 35. Gray CA, Bartol FF, Tarleton BJ, Wiley AA, Johnson GA, Bazer FW, et al. Developmental biology of uterine glands. Biol Reprod. 2001;65:1311–23. 36. Killeen AP, Morris DG, Kenny DA, Mullen MP, Diskin MG, Waters SM. Global gene expression in endometrium of high and low fertility heifers
during the mid-luteal phase of the estrous cycle. BMC Genomics. 2014;15:1–18. 37. Arai M, Yoshioka M, Tasaki Y, Okuda K. Remodeling of bovine endometrium
throughout the estrous cycle. Anim Reprod Sci. 2013;142:1–9. 38. Sato T, Fukazawa Y, Kojima H, Enari M, Iguchi T, Ohta Y. Apoptotic cell
death during the estrous cycle in the rat uterus and vagina. Anat Rec. 1997;248:76–83. 39. Gerstenberg C, Allen WR, Stewart F. Cell proliferation patterns in the equine
endometrium throughout the non-pregnant reproductive cycle. J Reprod
Fertil. 1999;116:167–75. 40. Xiao CW, Goff AK. Differential effects of oestradiol and progesterone on
proliferation and morphology of cultured bovine uterine epithelial and
stromal cells. J Reprod Fertil. 1998;112:315–24. 41. Schoon HA, Schoon D, Klug E. Die Endometriumbiopsie bei der Stute im
klinish-gynakologischen Kontext. Pferdeheilkunde. 1997;13:453–64. Acknowledgements Submit your next manuscript to BioMed Central
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Submit your manuscript at
www.biomedcentral.com/submit 42. Mambelli LI, Mattos RC, Winter GHZ, Madeiro DS, Morais BP, Malschitzky E,
et al. Changes in expression pattern of selected endometrial proteins
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Minbar. Islamic Studies. 2022;15(3) DOI 10.31162/2618-9569-2022-15-3-604-620
УДК 93/94 Original Paper
Оригинальная статья DOI 10.31162/2618-9569-2022-15-3-604-620
УДК 93/94 Тихонова Н.Е. Ключевые слова: Исмаил Гаспринский; «Переводчик-Терджиман»; российские мусуль-
мане; магометанские духовные правления Ключевые слова: Исмаил Гаспринский; «Переводчик-Терджиман»; российские мусуль-
мане; магометанские духовные правления Для цитирования: Тихонова Н.Е. Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи. Minbar. Islamic Studies. 2022;15(3):604–620. DOI: 10.31162/2618-9569-2022-15-3-604-620 Для цитирования: Тихонова Н.Е. Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи. Minbar. Islamic Studies. 2022;15(3):604–620. DOI: 10.31162/2618-9569-2022-15-3-604-620 Информация о спонсорстве: Исследование осуществлено в рамках Программы фунда-
ментальных исследований НИУ ВШЭ в 2022 году. Н.Е. Тихонова1а Н.Е. Тихонова
1Центр исторических исследований, Национальный исследовательский университет
«Высшая школа экономики» (НИУ ВШЭ), г. Санкт-Петербург, Российская Федерация
аORCID: https://orcid.org/0000-0003-0462-8711, e-mail: nadezhdatikhonova@yahoo.com Резюме: В статье рассматривается социально-политический «мусульманский проект»,
выдвинутый на рубеже XIX–XX вв. известным мусульманским деятелем, издателем и пе-
дагогом Исмаилом Гаспринским (1851–1914), в свете проблемы интеграции российских
мусульман. у у
Ключевым фактором по обеспечению лучшей социальной мобильности мусульман в
Российской империи представляются разнообразные инициативы Исмаила Гаспринского
в сфере образования. Кроме того, с первых лет издания собственной газеты «Переводчик-Терджиман» Ис-
маил Гаспринский систематически выступал за реструктуризацию и постепенную унифи-
кацию магометанских духовных правлений, считая важным наличие данного института
с точки зрения рационализации управления мусульманами и сохранения их культурного
партикуляризма. Многим позже, на фоне Русской революции 1905–1907 гг., данная идея выстроилась в
парадигму «национально-культурной автономии» для российских мусульман. Эту идею,
в частности, выдвигал Всероссийский мусульманский союз, в руководство которого вхо-
дил и Гаспринский. В статье утверждается, что, несмотря на постепенную трансформацию освещавшихся
в рамках данного проекта вопросов, в нем прослеживается двойственная, но последова-
тельная цель. С одной стороны, стремление консолидировать российских мусульман как
особую группу имперских подданых и донести до них информацию об имеющихся в им-
перии потенциальных социальных возможностях, а с другой – показать властям готов-
ность мусульман к интеграции (но не ассимиляции) в имперский социум. Контент доступен под лицензией Creative Commons
Attribution 4.0 License. This work is licensed under a Creative Commons Attribution
4.0 License. © Н.Е. Тихонова, 2022 604 Isma‘il gasprinsky on integration of Muslims into socio-
political space of the russian Empire N.E. Tikhonova1а
1Centre for Historical Research, National Research University Higher School of Economics (HSE
University), Saint Petersburg, the Russian Federation
аORCID: https://orcid.org/0000-0003-0462-8711, e-mail: nadezhdatikhonova@yahoo.com Abstract: The article examines the socio-political “Muslim project” put forward at the turn of
the XIX–XX centuries by the famous Muslim fi gure, publisher and teacher Isma’il Gasprinsky
(1851–1914), in the light of the problem of integration of Russian Muslims. A key factor in ensuring better social mobility of Muslims in the Russian Empire is the diverse
initiatives of Isma’il Gasprinsky in the fi eld of education. Moreover, Isma‘il Gasprinsky consistently advocated for restructuration and gradual
unifi cation of the Muslim spiritual assemblies in his own “Perevodchik-Terjiman” newspaper. At the same time, he justifi ed the existence of this institution as a rational governing body for
imperial Muslim subjects. Under the circumstances of the Russian Revolution of 1905 his attitude towards unifi cation
of Muslim spiritual assemblies has evolved into a paradigm of “national-cultural autonomy”
for Russian Muslims. This idea, in particular, was proposed by the All-Russian Muslim Union,
affi liated with Gasprinsky. fi
y
This article argues that despite the questions, which this project posed, gradually
transformed, the project itself kept following its dual, though, consistent aim. On the one hand,
to consolidate Muslims as a particular group of subjects and inform them about the potential
social opportunities in the imperial society, on the other, to assure the offi cial authorities that
imperial Muslims are eager to be integrated (not assimilated, though). Keywords: Isma‘il Gasprinsky; “Perevodchik-Terjiman”; Russian Muslims; Muslim Spiritual
Assemblies ISSN 2618-9569 605 Minbar. Islamic Studies. 2022;15(3) For citation: Tikhonova N.E. Isma‘il Gasprinsky on the integration of Muslims into socio-
political space of the Russian Empire. Minbar. Islamic Studies. 2022;15(3):604–620 (In Russ.)
DOI: 10.31162/2618-9569-2022-15-3-604-620 Sponsorship Information: This article is an output of a research project implemented as a part
of the Basic Research Program at the National Research University Higher School of Economics
(HSE University). 1 Газета «Переводчик-Терджиман» (араб. Тарджуман/
; тат. Тәрҗеман; крымско-тат.
Терджиман; турец. Tercüman) издавалась с 1883 по 1918 гг. в г. Бахчисарае. Сам Гаспринский
возглавлял газету до 1914 г., затем она перешла по наследству его старшему сыну Рефату. Данная
газета до 1905 года издавалась параллельными текстами на двух языках (русском и тюркском), что
и определило ее название. С 1906 г. русский раздел газеты был значительно сокращен, а двуязычные
материалы газеты отныне не представляли собой параллельный перевод, являясь самостоятельными
публикациями. у
2 Здесь и далее по тексту приводятся цитаты из русскоязычной части «Переводчика-Терджимана»,
если особо не оговорено иное. Перевод тюркоязычных статей на русский язык – автора статьи [Н. Т.]. 3 «Новый метод» (усуль-и джадид) преподавания в мектебах подразумевал внедрение звукового
метода при обучении чтению и письму на тюркских языках на арабской графике, а также введение
общеобразовательных дисциплин (математики, географии, истории, русского языка) в дополнение
к религиозным предметам. В контексте медресе «новый метод» приобрел значение секуляризации и
профилизации их учебной программы. Введение «Между нами [российскими мусульманами] вовсе нет просвещенных, сведу-
щих и понимающих время людей, а в них мы часто нуждаемся как в болезнях, так и в
здоровом состоянии», – писал в 1883 г., в первый год издания своей газеты «Пере-
водчик-Терджиман»1 (далее – «Терджиман»), известный мусульманский деятель
поздней Российской империи Исмаил Гаспринский (1851–1914). Под словами
«сведущие» и «понимающие время» он подразумевал совершенно конкретные
качества, а именно: достаточный уровень образования, позволяющий занять по-
зиции в имперской иерархии, и прогрессивные взгляды. «Чтобы эти люди были, –
продолжал он, – надо, чтобы дети наши, хоть дети людей состоятельных,
учились, чтобы быть чиновниками, докторами, судьями, адвокатами и прочее. Учи-
лищ в России много; права нам даны достаточные» [1]2. Подобные заявления Гаспринского показывают наличие не только потен-
циального «запроса» в среде мусульман занимать определенные должности, но
и соответствующих возможностей в имперском обществе. Так, пореформенный
период 1880-х гг., когда Гаспринский публично выступил с социально-полити-
ческим проектом для российских мусульман, открывал для них более широкие
социальные, в том числе карьерные, возможности. В частности, как показал на
примере Казани и Крыма Штефан Кирмсе в своей книге «Законная империя»
(The Lawful Empire), введение в России в период Великих реформ 1860–70-х гг. новых судов создало более инклюзивную среду для мусульман этих регионов
сравнительно с предшествующим периодом [2, c. 275–294]. В новой судебной си- 1 Газета «Переводчик-Терджиман» (араб. Тарджуман/
; тат. Тәрҗеман; крымско-тат. Терджиман; турец. Tercüman) издавалась с 1883 по 1918 гг. в г. Бахчисарае. Сам Гаспринский
возглавлял газету до 1914 г., затем она перешла по наследству его старшему сыну Рефату. Данная
газета до 1905 года издавалась параллельными текстами на двух языках (русском и тюркском), что
и определило ее название. С 1906 г. русский раздел газеты был значительно сокращен, а двуязычные
материалы газеты отныне не представляли собой параллельный перевод, являясь самостоятельными
публикациями. у
2 Здесь и далее по тексту приводятся цитаты из русскоязычной части «Переводчика-Терджимана»,
если особо не оговорено иное. Перевод тюркоязычных статей на русский язык – автора статьи [Н. Т.]. ISSN 2618-9569 606 Тихонова Н.Е. Тихонова Н.Е. стеме мусульмане отныне могли выступать не только сторонами судебных про-
цессов, но и судьями, адвокатами, переводчиками. Возможности вертикальной
социальной мобильности для них оставались, однако, ограниченными. стеме мусульмане отныне могли выступать не только сторонами судебных про-
цессов, но и судьями, адвокатами, переводчиками. Возможности вертикальной
социальной мобильности для них оставались, однако, ограниченными. Вместе с тем период правления двух последних российских императоров
Александра III и Николая II ознаменовался усилением национализирующей поли-
тики центра и попытками создать «национальное государство» в многоликой, по-
ликонфессиональной империи [3]. В Российской империи при этом не сложилось
единообразной, последовательной политики в отношении многонационального
населения. Джейн Бурбанк охарактеризовала эту систему как «режим имперских
прав» (imperial rights regime), суть которой заключалась в дифференцированном
управлении неоднородными группами подданных, объединенных по признаку
сословной, конфессиональной или этнической принадлежности [4]. Существо-
вавшая система признавала и во многом закрепляла культурные различия внутри
населения империи, однако применялась в отношении разных групп подданных
неравномерно и не всегда систематически. Проект Гаспринского, таким образом, с одной стороны, может рассматри-
ваться как ответ на вызовы «сверху» и отражение сложной имперской системы
управления. С другой же, он направлялся на внутреннюю консолидацию мусуль-
ман как отдельной группы подданных. В этом ключе он охватывал именно те сфе-
ры мусульманской жизни, обновление которых могло обеспечить более успеш-
ную интеграцию российских мусульман в имперское социально-политическое
пространство, а именно: реформирование традиционной мусульманской системы
образования согласно «новому методу» (усуль-и джадид)3 и популяризация свет-
ского образования как такового, а также реструктуризация существующих маго-
метанских духовных правлений [5]. Вклад Гаспринского в развитие мусульманского сообщества широко изве-
стен и, как представляется, не требует детальных пояснений. Сам Гаспринский
признан выдающимся мусульманским просветителем и реформатором. Предла-
гаемые им реформы при этом направлялись на модернизацию по европейской
модели. Как отмечали в своих работах Э. Лаззерини и М. Туна, европейские пред-
ставления о модерности оказали заметное влияние на дискурс Исмаила Гаспри- 3 «Новый метод» (усуль-и джадид) преподавания в мектебах подразумевал внедрение звукового
метода при обучении чтению и письму на тюркских языках на арабской графике, а также введение
общеобразовательных дисциплин (математики, географии, истории, русского языка) в дополнение
к религиозным предметам. В контексте медресе «новый метод» приобрел значение секуляризации и
профилизации их учебной программы. ISSN 2618-9569 607 Minbar. Islamic Studies. 2022;15(3) Minbar. Islamic Studies. 2022;15(3) нского и его единомышленников-мусульман [6; 7]. Тихонова Н.Е. Однако, признавая подобное
влияние, важно отметить, что «мусульманский проект» Гаспринского оконча-
тельно сложился к началу XX вв., когда в России уже сформировался слой по-
европейски образованных мусульман, говорящих на языке европейской модер-
ности, но стремившихся дать ответы на вызовы, возникшие именно в контексте
империи, в частности, на такой из них, как социальная мобильность мусульман. В данной статье, таким образом, предлагается рассмотреть проект Гасприн-
ского с точки зрения проблемы интеграции мусульман в имперский социум. В ка-
честве основного источника исследования использованы двуязычные материалы
газеты «Переводчик-Терджиман» за 1883–1914 гг., которая являлась централь-
ной информационной платформой для обсуждения «мусульманского вопроса» в
Российской империи и до 1905 г. практически не имела конкурентов в лице дру-
гих мусульманских периодических изданий. 4 Господин. «Мусульманский проект» Исмаила Гаспринского в имперском контексте Еще до начала издания газеты «Терджиман» Гаспринский в своей брошю-
ре «Русское мусульманство: мысли, заметки, наблюдения мусульманина» (1881)
предложил властям придерживаться системы управления многонациональным
населением империи, основанной на стремлении «к единению нравственному,
так сказать, к нравственной, духовной ассимиляции на принципах национальной
индивидуальности, свободы и самоуправления» [8, c. 92]. Его предложение о «са-
моуправлении», по всей видимости, отражало существовавшую политическую си-
стему, в рамках которой «множество правовых режимов, легализованных внутри
империи, одновременно утверждало верховную власть российского правления и по-
зволяло населению в значительной степени управляться самим» [4, c. 402]. Гаспринский в целом мыслил свой «мусульманский проект» не в изоля-
ции, а как часть имперской ситуации, регулярно ссылаясь на положение других
этноконфессиональных групп, населявших империю. В качестве положительно-
го примера управления Гаспринский приводил, в частности, Главное управление
Армяно-григорианской церковью, указывая, к примеру, на то, что «Г.4 Католи-
кос армян и члены духовного управления отличаются обширным духовным и
светским образованием. Они одинаково хорошо понимают, что нужно для
молитвы и для жизни народа» [9]. В подобных утверждениях подчеркивалась ISSN 2618-9569 608 Тихонова Н.Е. важная роль духовных правлений не только как религиозных институтов, но и
как административных учреждений, ведающих внутренней жизнью населения. важная роль духовных правлений не только как религиозных институтов, но и
как административных учреждений, ведающих внутренней жизнью населения. То, что Гаспринский указывал на наличие светского образования у членов
армянского духовного правления, в целом было созвучно его представлению о
важной административной функции духовенства в имперской системе управле-
ния. В отношении духовных правлений мусульман в этой связи он, в частности,
заявлял: «В Персии, Бухаре знание муфтием только духовных наук быть может
достаточно; там он лицо духовное и судья духовный, но в России муфтий кроме
того гражданский сановник и представитель мусульман перед правитель-
ством и судом» [10]. Свою позицию Гаспринский подкреплял также примерами, когда высшую
ступень в духовной иерархии (должность муфтия) занимало «лицо светское». «В 1878 году впервые раздался голос за избрание в муфтии лица со светским
образованием. Через пять лет идея настолько окрепла уже, что в муфтии
был избран ротмистр гвардии покойный князь Али-бей Хункалов. Несмо-
тря на краткую службу, теперь нет в Крыму мусульманина, который бы не поми-
нал его добром. О муфтии-мулле перестали думать даже сами муллы, поняв, что
положение его обязывает быть просвещенным администратором» [11], – писал он
в «Терджимане» в 1890 г. Интересно, что впоследствии Гаспринский упоминал
Таврического муфтия А. Хункалова и Оренбургского муфтия С. Тевкелева (кото-
рый являлся отставным офицером) в числе лиц, оказавших поддержку изданию
«Терджимана» [12]. Подобная структура, когда во главе духовного правления стоит не «муфтий-
мулла», а «муфтий-администратор», для Гаспринского и его единомышленников
имела стратегическое значение. Она позволяла расширить возможности социаль-
ной мобильности для той части мусульманского населения (в первую очередь, из
числа привилегированных сословий), которая не имела доступа к управлению му-
сульманским населением в отличие от «духовной касты» (термин Гаспринского). В этой связи Гаспринский до 1905 г. выступал за расширение круга лиц,
допущенных к выборам Таврического муфтия, которого затем утверждал в дол-
жности император, предлагая дополнить выборщиков из дворян, духовных лиц
и старшин от сельского населения представителями купцов 1-й и 2-й гильдий, а
также городскими и земскими гласными из числа мусульман [13]. В этой же связи ISSN 2618-9569 609 Minbar. Islamic Studies. 2022;15(3) Minbar. Islamic Studies. 2022;15(3) проводилась идея о необходимости замены пожизненного избрания кади-аске-
ров5 и кадиев на пятилетний срок службы [13]. После 1905 г. подобные предложения трансформировались в требования
всеобщих выборов муфтия на пятилетний срок с возможностью его смещения в
случае неудовлетворения требованиям должности [14; 15]. В революционный период 1905–1907 гг. 5 Военные шариатские судьи. Тихонова Н.Е. Гаспринский и другие члены
Всероссийского союза мусульман (Бутюн Русия мусульманларнын иттифакы)
предлагали сохранить, но существенно реформировать духовные правления как
институт власти, унифицировав их и передав контроль над ними из ведения госу-
дарства в руки мусульманского населения, тем самым предоставив мусульманам
«национально-культурную автономию» [16]. Параллельно с этим идея о всеоб-
щем стремлении мусульман реформировать свои духовные правления системати-
чески проводилась в этот период и в «Терджимане» [17; 18]. Гаспринский, в свою очередь, еще задолго до Первой русской революции
выступал за унификацию деятельности существовавших духовных правлений
(Оренбургского, Таврического и двух Закавказских), отмечая, в частности: «Еще
более пользы принесла бы мусульманскому обществу согласная, однообразная де-
ятельность всех наших духовных управлений. Если бы достопочтенные муф-
тии Крыма, Оренбурга и Закавказья, при непременном участии г. шейх-уль-исляма,
обдумав, обсудив ближайшие нужды своей паствы, обменялись бы мнениями друг с
другом и затем сообща вели дело каждый в своем районе, придерживаясь, однако, об-
щего принципа, или сообща возбуждали ходатайства, когда в том представлялась
бы надобность, то деятельность их дала бы более солидные результаты, чем мы
видели до сих пор» [19]. Исмаил Гаспринский подобными заявлениями транслировал идею о том,
что наличие нескольких самостоятельных духовных правлений в Российской им-
перии усложняло без того неравномерное управление мусульманами из разных
регионов, имевших к тому же различия в правовом положении. К примеру, му-
сульманское население Башкирии обладало уникальным правом коллективной
собственности на землю [20], а туркестанские мусульмане, в отличие от мусуль-
ман других регионов, не только не имели собственного духовного правления, но
еще и подразделялись на «обычников» (киргизы) и «шариатников» (сарты), что
подвергалось систематической критике в «Терджимане» [21]. ISSN 2618-9569 610 Тихонова Н.Е. Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи <…> Имеющиеся сегодня у русских в России профессии, производство и разного
рода методы, как и во всей Европе, были заимствованы у французов. <…> Для нас
же обучение и путь к мастерству еще проще: если бы мы обучились существу-
ющим профессиям, если бы перевели на татарский язык русские книги о
ремеслах и ресурсах – этого было бы достаточно» [23, с. 14–15]6. «В первую очередь мы должны предоставить студентов тем школам, где обучают и
преподают ремесло и производство, и вырастить мастеров. <…> для обучения бого-
словию едут в Бухару, Стамбул или Египет, откуда вышли все наши улемы; для об-
учения профессии и мастерству поступают в русские и европейские шко-
лы. <…> Имеющиеся сегодня у русских в России профессии, производство и разного
рода методы, как и во всей Европе, были заимствованы у французов. <…> Для нас
же обучение и путь к мастерству еще проще: если бы мы обучились существу-
ющим профессиям, если бы перевели на татарский язык русские книги о
ремеслах и ресурсах – этого было бы достаточно» [23, с. 14–15]6. Идею Гаспринского о том, что просвещение мусульман и подготовка ло-
кальных администраторов из их числа отвечает обоюдным интересам как мусуль-
манского населения, так и имперских властей, убедительно резюмирует следую-
щая цитата из «Терджимана»: «… а между тем, их [мусульман] личные интересы
и пользы государственные должны бы вызывать заметный прирост просвещен-
ных, культурных мусульман» [22]. «Мусульманское население нашего отечества одинаково нуждается как в
подготовленных педагогах, так и в развитых переводчиках и чиновниках в разных
отраслях местной администрации», – продолжал ту же мысль Гаспринский в
другой статье, предлагая преобразовать государственные русско-татарские учи-
тельские школы в сторону расширения их программы для подготовки из числа
мусульман не только учителей, но и государственных служащих разного профиля
[24]. Критикуя узкую специализацию этих школ, Гаспринский в то же время
поднимал в своей газете вопрос о непропорционально большом числе выпускни-
ков-мусульман с учительской специализацией относительно реального количест-
ва вакантных позиций. «Некоторые из окончивших в этом году Симферопольскую
татарскую учительскую школу молодых людей обратились к нам, справляясь, не
известно ли нам, какие учительские ваканции среди мусульман ведомства Орен-
бургского духовного правления, куда они могли бы быть принятыми учителями <…>
Наше настоящее и тому подобное содействие, даже если поведет к какому-нибудь
результату, но все же оно есть и останется случайным, помогая выбиться из труд-
ного положения только некоторым», – указывал он в «Терджимане» [25]. Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи Призывы Гаспринского к «единообразной деятельности» всех четырех ду-
ховных правлений, таким образом, с одной стороны, предполагали рационали-
зацию существовавшей имперской системы управления, а с другой, способство-
вали реализации его «мусульманского проекта», нацеленного на консолидацию
мусульман как отдельной группы имперских подданных. Так, согласно представлениям Гаспринского, мусульмане как особая группа
должны были иметь администраторов из своего круга. При этом в русской части
«Терджимана», ориентированной на широкую общеимперскую публику, в том
числе на представителей официальных властей, подчеркивалось, что «в инте-
ресах управления нашими мусульманскими областями было бы целесоо-
бразно способствовать подготовке мусульман к служебной деятельности
в местной администрации» [22]. При этом в параллельном тюркском тексте вышеуказанной статьи, ориен-
тированной в большей степени на самих мусульман, указывалось, что несение го-
сударственной службы является их законным правом и отвечает их интересам. «Если среди мусульман много знающих русский язык и изучивших [российские]
законы и порядки, то государственная и чиновничья служба, без сомнения,
это их право. <…> В настоящее время чиновники из числа мусульман присутст-
вуют в разных отраслях. Однако, по одному или по два, то есть их совсем мало. <…> Ввиду того что от ремесленных наук и просвещения будет польза и им
самим [мусульманам], и государству, этому вопросу необходимо уделить внима-
ние», – говорилось в газете [22]. Как видно из приведенного примера, по-разному ставились акценты в рус-
ском и тюркском текстах двуязычного «Терджимана», что отвечало представле-
ниям соответствующей целевой аудитории (русских или мусульман). Если по-рус-
ски говорилось об общегосударственных интересах и подтверждалась готовность
мусульман интегрироваться в имперский социум, то в тюркском варианте акцент
смещался на внутримусульманские интересы, открывавшиеся в случае их успеш-
ной интеграции. Примечательно, что в 1889 г. Гаспринский выпустил по вопросу успешной
модели интеграции в современном обществе специальную брошюру «Доходные
и торговые войны» (Кясб ва тиджарат мухарабасе) на тюркском языке, в кото-
рой он обосновывает необходимость получения мусульманами профильного об-
разования и изучения русского и европейских языков для выживания в услови-
ях капиталистической конкуренции [23]. В частности, в брошюре указывалось: 611 Minbar. Islamic Studies. 2022;15(3) «В первую очередь мы должны предоставить студентов тем школам, где обучают и
преподают ремесло и производство, и вырастить мастеров. <…> для обучения бого-
словию едут в Бухару, Стамбул или Египет, откуда вышли все наши улемы; для об-
учения профессии и мастерству поступают в русские и европейские шко-
лы. 6 Перевод автора статьи [Н.Т.]. Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи В качестве еще одного важного аспекта данной проблемы Гаспринский на-
зывал неполноценность аттестатов этих школ, которые не предоставляли права
6 Перевод автора статьи [Н.Т.]. ISSN 2618-9569 ISSN 2618-9569 ISSN 2618-9569 612 7 Крымско-татарское звучание почетного мусульманского титула «Хаджи». Тихонова Н.Е. Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи выпускникам в дальнейшем поступать в вузы [25]. Гаспринский в этой связи отме-
чал в другой своей статье, что расширение программы русско-татарских учитель-
ских школ для приведения ее в соответствие с программой реальных гимназий
позволило бы выпускникам продолжить обучение в университетах [24]. Тем са-
мым доступ к высшему образованию как залог успешной интеграции мусульман
открыто лоббировался в газете. «Терджиман» был также вовлечен в процесс распределения частных сти-
пендий и благотворительных средств для материальной поддержки университет-
ских студентов из числа мусульман. Более того, в газете публиковались объявле-
ния о специальных стипендиях для мусульманок, как, например: «Землевладелец
Феодосийского уезда Аджи7 Сулейман-ага Бейтуллаев предлагает нуждающимся
мусульманкам две стипендии по 350 рублей каждая для прохождения медицинского
факультета. Стипендиатки должны обязаться прослужить в Крыму по пяти лет»
[26]. Таким образом, вопрос образования перекликался с «женским вопросом»,
направленным на социализацию женщин и их вовлечение в профессиональную
деятельность. Кроме того, в газете Гаспринского вопрос получения высшего образования
представлялся как залог успешной социальной мобильности, значительно огра-
ниченной в сословном российском обществе, особенно для мусульман из непри-
вилегированных слоев. «Из мусульман дворянского (бекского) сословия уже бывали
окончившие университет, но еще не было примера, чтобы высшее образование
получил татарин из других сословий. Счастливым первенцем в этом случае
является дерекойский уроженец Ахмед-ага Бекиров, блистательно окончивший
юридический факультет Новороссийского университета. Бекиров посвящает себя
присяжной адвокатуре (Симферополь)», – отмечалось в «Терджимане» [27]. Важность доступа мусульман к высшему образованию демонстрировалась в
газете также на примере собственной семьи издателя. В частности, в ней сообща-
лось, что старший сын Гаспринского Рефат окончил Симферопольскую мужскую
казенную гимназию, после чего поступил на юридический факультет (Казанского
университета) [28]. Помимо высшего «светского» образования, Гаспринского занимал также
вопрос реформирования высшей ступени религиозного образования мусульман
(медресе). Так, при его непосредственном содействии была предпринята попытка
реформирования бахчисарайского медресе «Зынджырлы», в программу которо-
7 Крымско-татарское звучание почетного мусульманского титула «Хаджи». 613 ISSN 2618-9569 Minbar. Islamic Studies. 2022;15(3) Minbar. Islamic Studies. 2022;15(3) го входили кроме богословских дисциплин также светские предметы [29]. Таким
образом, это крупнейшее медресе Крыма могло отныне готовить «прогрессив-
ных» духовных лиц, то есть потенциальных единомышленников Гаспринского. го входили кроме богословских дисциплин также светские предметы [29]. Таким
образом, это крупнейшее медресе Крыма могло отныне готовить «прогрессив-
ных» духовных лиц, то есть потенциальных единомышленников Гаспринского. Предлагая включение преподавания русского языка и правоведения в этом
и других медресе Российской империи, Гаспринский, в том числе, выступал за
подготовку квалифицированных, компетентных кадров для магометанских ду-
ховных правлений. Тихонова Н.Е. Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи ном языке, обновление школьной программы, обеспечение прав мусульманских
студентов и преподавателей и т. д. [32]. Тихонова Н.Е. «Почти 10 лет назад в брошюре нашей ("Русское мусульман-
ство", 1881) мы предлагали проект высших медресе, где бы будущие духовники
мусульман и вообще учащиеся приобретали не только религиозные познания, но
проходили бы на родном языке элементарный курс общеобразовательных наук, из-
учали бы русский язык и начала русского правоведения», – писал он по этому
поводу в «Терджимане» [30]. Таким образом, до 1905 г. основное внимание газеты в контексте образова-
ния было сосредоточено на таких вопросах, как реформирование мусульманских
мектебов и медресе согласно «новому методу» и их популяризация, а также реор-
ганизация государственных школ и училищ для мусульман с целью расширения
их программы и доступа мусульман к высшему образованию. Но уже начиная с 1905 г. в «Терджимане» стала открыто отстаиваться идея
образовательной автономии для мусульман, как представляется, ввиду следова-
ния одному из ключевых требований III Всероссийского мусульманского съезда,
проведенного в августе 1906 г. в Нижнем Новгороде [16]. В этом ключе в «Тер-
джимане», в частности, критике подвергалась передача мусульманских школ из
ведомства Оренбургского магометанского духовного собрания под управление
Министерства народного просвещения в 1870-х гг. «Конфессиональные мусуль-
манские школы, бывшие в заведовании Оренбургского магометанского духовного со-
брания, были взяты в ведомство министерства народного просвещения. И за целое
30-летие этого ведения для этих школ ровно ничего не сделано, кроме того, что
мусульманское население было запугано и раздражено», – отмечалось в этой связи
в газете [31]. Кроме того, в новых социально-политических условиях после 1905 г. Гас-
принский стал выступать за необходимость унификации образовательной си-
стемы для всех российских мусульман. С этой целью в «Терджимане» подчерки-
валось, в частности, что ходатайства мусульман из разных регионов касательно
образования заключали близкие по содержанию требования: образование на род- 614 ISSN 2618-9569 ISSN 2618-9569 ISSN 2618-9569 Заключение В пореформенный период 1880–1890-х гг. «мусульманский проект» Гас-
принского можно охарактеризовать как стремление обеспечить условия для луч-
шей интеграции консолидированного мусульманского сообщества в имперское
социально-политическое пространство. Важно отметить, что Гаспринский в своем проекте апеллировал к импер-
ским категориям и стремился, с одной стороны, донести до единоверцев откры-
вавшиеся социально-политические возможности модернизирующейся империи,
а с другой, транслировать для официальных властей позицию о готовности му-
сульман интегрироваться. В этой связи можно утверждать, что в газете «Терджиман», являвшейся
важной информационной платформой по обсуждению «мусульманского вопро-
са» в Российской империи, присутствовали как минимум две дискурсивные стра-
тегии, ориентированные на разные языковые аудитории. Примечательно также, что Гаспринский в «Терджимане» призывал не к
упразднению, а к преобразованию и реструктуризации магометанских духовных
правлений и различных образовательных учреждений (таких как русско-татар-
ские учительские школы), то есть именно тех институтов, которые легитимирова-
ли существование империи. В контексте проекта Гаспринского реформирование духовных правлений и
предложения по их унификации становятся важным фактором, гарантирующим
внутреннюю консолидацию мусульман как отдельной группы имперских поддан-
ных. При этом предложения расширить состав магометанских духовных правле-
ний за счет администраторов из числа светских лиц указывают на внутримусуль-
манский «запрос» (в первую очередь, среди мусульман из привилегированных
сословий, не имеющих религиозного образования), нацеленный на расширение
их карьерных возможностей в подобных имперских управленческих институтах. Проблема интеграции мусульман на страницах «Терджимана» нашла, по-
жалуй, наиболее полное освещение в вопросах образования. Высшее образова-
ние, в частности, представлялось ключевым фактором социальной мобильности
мусульман. Таким образом, выходя за рамки дискурса о «новометодном» обуче- ISSN 2618-9569 615 Minbar. Islamic Studies. 2022;15(3) нии, можно заметить, что просветительская деятельность Гаспринского имела
под собой совершенно конкретные практические цели. После революции 1905 г. «мусульманский проект» Гаспринского последо-
вательно трансформировался в требования о предоставлении мусульманам «на-
ционально-культурной автономии». Но даже в новых социально-политических
условиях мусульманские лидеры, включая Гаспринского, предлагали в значи-
тельно реформированном и унифицированном виде сохранить такой имперский
институт, как духовное правление. Вопрос мусульманской «национально-куль-
турной автономии» подразумевал, в частности, образовательную автономию. Многие предложения мусульман в этой связи носили кардинальный характер, но
в целом последовательно продолжали те идеи, с которыми Гаспринский высту-
пал в своей активной просветительской и реформаторской деятельности с начала
1880-х гг. 10. Ответ газете «Зия». Переводчик-Терджиман. 1883. 12 октября. Тихонова Н.Е. Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской импери 11. Газета «Крым». Переводчик-Терджиман. 1890. 11 марта. 11. Газета «Крым». Переводчик-Терджиман. 1890. 11 марта. 12. От редакции. Переводчик-Терджиман. 1893. 25 февраля. 12. От редакции. Переводчик-Терджиман. 1893. 25 февраля. 13. Важная инициатива. Переводчик-Терджиман. 1883. 8 мая. 13. Важная инициатива. Переводчик-Терджиман. 1883. 8 мая 14. Крымско-мусульманское собрание. Переводчик-Терджиман. 1905. 25 ноября. 14. Крымско-мусульманское собрание. Переводчик-Терджиман. 1905. ноября. 15. Записка казанских мусульман. Переводчик-Терджиман. 1905. 15 марта 16. III Всероссийский мусульманский съезд. Казань: Издательство Харитоно-
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few words…]. Perevodchik-Terjiman [Translator]. 1888. 15 October. (In Russian and
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617 617 ISSN 2618-9569 Minbar. Islamic Studies. 2022;15(3) Minbar. Islamic Studies. 2022;15(3) Тихонова Н.Е. Исмаил Гаспринский об интеграции мусульман в
социально-политическое пространство Российской империи 14. Krymsko-musul’manskoye
sobraniye
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Muslim
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sobraniye
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1552–1917. Bloomington: Indiana University Press; 2016. 383 p. f
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Matba‘at-i Tarjuman; 1889. 16 p. (In common Turkic) Matba‘at-i Tarjuman; 1889. 16 p. (In common Turkic) 24. Russko-musul’manskii institut [Russian-Muslim institute]. Perevodchik-
Terjiman. 1884. November 20. (In Russian and common Turkic) 24. Minbar. Islamic Studies. 2022;15(3) (In Russian and common Turkic) 11. Gazeta “Krym” [The “Krym” (“Crimea”) newspaper]. Perevodchik-Terjiman. 1890 March 11 (In Russian and common Turkic) 11. Gazeta “Krym” [The “Krym” (“Crimea”) newspaper]. Perevodchik-Terjiman. . March 11. (In Russian and common Turkic) 1890. March 11. (In Russian and common Turkic)
12. Ot redaktsii [From the editors]. Perevodchik-Terjiman. 1893. February 25. (In Russian and common Turkic) 13. Vazhnaya initsiativa [An important enterprise]. Perevodchik-Terjiman. 1883. May 8. (In Russian and common Turkic) 13. Vazhnaya initsiativa [An important enterprise]. Perevodchik-Terjiman. 1883. May 8. (In Russian and common Turkic) ISSN 2618-9569 618 Тихонова Н.Е. Информация об авторе About the author
Nadezhda E. Tikhonova, Cand. Sci. (History), Research Fellow in the Centre
for Historical Research of the National
Research University «Higher School of
Economics»
(HSE
University),
Saint-
Petersburg, the Russian Federation. About the author
Nadezhda E. Tikhonova, Cand. Sci. (History), Research Fellow in the Centre
for Historical Research of the National
Research University «Higher School of
Economics»
(HSE
University),
Saint-
Petersburg, the Russian Federation. Тихонова Надежда Евгеньевна, канди-
дат исторических наук, научный сотруд-
ник Центра исторических исследований
Национального
исследовательского
университета «Высшая школа экономи-
ки» (НИУ ВШЭ), г. Санкт-Петербург,
Российская Федерация. Раскрытие информации о
конфликте интересов The author declares that there is no confl ict
of interest. Автор заявляет об отсутствии конфлик-
та интересов. Тихонова Н.Е. Russko-musul’manskii institut [Russian-Muslim institute]. Perevodchik-
Terjiman. 1884. November 20. (In Russian and common Turkic) 25. Ob okonchivshykh Simf. Tat. Uchit. Shkolu [On graduates of the Simferopol
Tatar Teacher’s School]. Perevodchik-Terjiman. 1904. July 9. (In Russian and common
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Tatar Teacher’s School]. Perevodchik-Terjiman. 1904. July 9. (In Russian and common
Turkic) 26. Dve stipendii [Two scholarships]. Terjiman. 1913. July 7. (In Russian) 27. Ahmed-aga Bekirov. Perevodchik-Terjiman. 1903. December 22. (In Russian
and common Turkic) 27. Ahmed-aga Bekirov. Perevodchik-Terjiman. 1903. December 22. (In Russian
and common Turkic) 28. Raznye vesti [Various news]. Perevodchik-Terjiman. 1904. June 1. (In Russian
and common Turkic) 28. Raznye vesti [Various news]. Perevodchik-Terjiman. 1904. June 1. (In Russian
and common Turkic) 29. Medrese Zyndzhyrly i ego poryadki [Zinjirli Madrasa and its rules]. Perevodchik-Terjiman. 1890. November 6. (In Russian and common Turkic) 29. Medrese Zyndzhyrly i ego poryadki [Zinjirli Madrasa and its rules]. Perevodchik-Terjiman. 1890. November 6. (In Russian and common Turkic) 30. Unichtozheniye tuneyadstva [Elimination of social parasitism]. Perevodchik-
Terjiman. 1890. December 7. (In Russian and common Turkic) 30. Unichtozheniye tuneyadstva [Elimination of social parasitism]. Perevodchik-
Terjiman. 1890. December 7. (In Russian and common Turkic) ISSN 2618-9569
619 ISSN 2618-9569
619 619 ISSN 2618-9569 Minbar. Islamic Studies. 2022;15(3) 31. Vazhnoye vremya [An important time-period]. Perevodchik-Terjiman 31. Vazhnoye vremya [An important time-period]. Perevodchik-Terjiman. 1905. March 25. (In Russian and common Turkic) arch 25. (In Russian and common Turkic) March 25. (In Russian and common Turkic) 32. Krymskaya deputatsiya v Sankt-Peterburg [Crimean delegation to Saint-
Petersburg]. Perevodchik-Terjiman. 1905. May 27; May 31; June 3; June 7. (In Russian
and common Turkic) 32. Krymskaya deputatsiya v Sankt-Peterburg [Crimean delegation to Saint-
Petersburg]. Perevodchik-Terjiman. 1905. May 27; May 31; June 3; June 7. (In Russian
and common Turkic) ISSN 2618-9569 Информация о статье Поступила в редакцию: 03 июля 2022
Одобрена рецензентами: 04 августа 2022
Принята к публикации: 04 сентября 2022 620
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HIGH SPEED VIDEOMETRIC MONITORING OF ROCK BREAKAGE
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ISPRS annals of the photogrammetry, remote sensing and spatial information sciences
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1. INTRODUCTION to define and a discussion on how each test compares to the
criteria set for the review. Within the range of testing options, a
very common technique to determine the rock breakage
characteristics is the drop weight test. As the name suggests, a
heavy weight or driven hammer is used to fracture the rock
sample. Mining of natural resources has been a key financial contributor
to the economies of countries that have large reserves of
minerals and ores. With finite quantities of these natural
resources, compounded with increased competition by various
multi-national mining companies, there is pressure to improve
the efficiency of the mining process, thus increasing production
and minimising costs. One significant cost in the mining of
minerals and ores is the energy cost to break rocks down to a
size where the metal or compound can be separated. The
process of breaking down rock particles to smaller fragments is
commonly referred to as comminution. Zhang and Zhao (2013) also discusses various tests to
understand different rock mechanics behaviour. This paper
provides a detailed description of each testing process, the
parameters estimated and how each type of test has evolved. The paper highlights the extensive use of high speed
photography systems for quantitative purposes and proposes
that these systems should be investigated further to better
understand rock fragmentation behaviour. The characterisation of comminution tests is crucial for accurate
determination of rock breakage characteristics. Analysis of the
comminution tests will assist in the optimisation of various
industrial and mining processes, such as rock crushing
machinery and rock blasting technologies. Most comminution
tests are focussed predominantly on determining how various
input energies and forces transfer through to rock breakage
characteristics. A primary indicator are the size and velocity
distributions of rock particles from the breakage, known as
progeny. A common focus in comminution analysis is the segmentation
of the resulting particulate matter and the creation of an optimal
size distribution for the next stage of processing (Bearman et
al., 1997; Fandrich et al., 1998; Jemwa and Aldrich, 2012;
Mwanga et al., 2015; Noy, 2013; Sanchidrián et al., 2008;
Zhang and Zhao, 2013). Active stereo photogrammetric and
laser scanning systems have been successfully used to automate
the process of estimating particle size distributions of ore piles
travelling on a conveyor belt. ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy HIGH SPEED VIDEOMETRIC MONITORING OF ROCK BREAKAGE J. Allemand1, M. R. Shortis2* and M. K. Elmouttie3 1 Institute of Geodesy and Photogrammetry, ETH Zurich, Zurich, Switzerland - jon_allemand@live.com
2 School of Science, RMIT University, GPO Box 2476, Melbourne, Victoria 3001, Australia - mark.shortis@rmit.edu.au
3 CSIRO Energy, PO Box 883, Kenmore, Queensland 4069, Australia - marc.elmouttie@csiro.au Commission II, WG II/5 KEY WORDS: Rock breakage, Comminution, High speed video, Stereo-photogrammetry ABSTRACT: Estimation of rock breakage characteristics plays an important role in optimising various industrial and mining processes used for
rock comminution. Although little research has been undertaken into 3D photogrammetric measurement of the progeny kinematics,
there is promising potential to improve the efficacy of rock breakage characterisation. In this study, the observation of progeny
kinematics was conducted using a high speed, stereo videometric system based on laboratory experiments with a drop weight impact
testing system. By manually tracking individual progeny through the captured video sequences, observed progeny coordinates can be
used to determine 3D trajectories and velocities, supporting the idea that high speed video can be used for rock breakage
characterisation purposes. An analysis of the results showed that the high speed videometric system successfully observed progeny
trajectories and showed clear projection of the progeny away from the impact location. Velocities of the progeny could also be
determined based on the trajectories and the video frame rate. These results were obtained despite the limitations of the
photogrammetric system and experiment processes observed in this study. Accordingly there is sufficient evidence to conclude that
high speed videometric systems are capable of observing progeny kinematics from drop weight impact tests. With further
optimisation of the systems and processes used, there is potential for improving the efficacy of rock breakage characterisation from
measurements with high speed videometric systems. * Corresponding author. This contribution has been peer-reviewed. The double-blind peer-review was conducted on the basis of the full paper.
https://doi.org/10.5194/isprs-annals-IV-2-17-2018 | © Authors 2018. CC BY 4.0 License. 2.2 Capture, Processing, Photogrammetric and Modeling
Software The use of photogrammetry systems is well proven for
measuring static or dynamic particulate matter. Maas and Gruen
(1995) presents a multi-camera system and a least squares
matching method for 3D particle tracking velocimetry. Spreafico et al. (2017) analysed the deposition from rock bridge
fractures using low altitude photography from a drone. More
closely related to comminution tests, Kim et al. (2015) utilises a
combination of 2D and 3D photogrammetric techniques along
with simulations to achieve consistent results for determining
coefficients associated with rock fall trajectories down a slope. Finally, there are instances where comminution tests have been
undertaken using high speed photography to make 2D
measurements of dynamic fragmentation events (Ma et al.,
2011; Shuaeib et al., 2004). StreamPix is a software package developed by NorPix for the
acquisition and control of multiple cameras (NorPix, 2018). This software was used to capture the synchronised pairs of
videos from the IDS system. The videos are recorded directly to
the SSDs without decoding the Bayer pattern to ensure all
frames are recorded within the available band width of the
interfaces. StreamPix captures the videos in a native file format
which is then exported to an uncompressed AVI format. The
Bayer pattern is decoded within the software to enable the AVI
video to be recorded and viewed in colour. To record a set of videos, the physical pulse trigger button is
pressed to start the live feed of the cameras to the PC. The
software, based on predetermined settings, then begins
synchronous data recording once record is pressed within the
software. The same button is then pressed to stop the recording. The review of the current literature has identified that there is
considerable potential in the use of photogrammetry to better
understand
rock
breakage
characterisation. Accordingly,
research was conducted for an honours level project (Allemand,
2016) to test the use of a high speed videometric system for 3D
analysis of drop weight tests, with the aim to observe progeny
kinematics. Xvid is a free and open-source video codec that can be used for
high quality compression of video (Xvid, 2018). The
uncompressed AVI files output by StreamPix, particularly of
the calibration process, were deemed too large to manage
efficiently and so Xvid was used for the compression of the
files. The highest quality setting was used to minimise the
impact of compression artefacts. 1. INTRODUCTION These techniques have the
potential benefit of reducing the power intensive, mechanical
systems currently used to estimate particle distributions (Jemwa
and Aldrich, 2012; Noy, 2013). There are a variety of comminution tests currently utilised to
determine the particle characteristics for different types of rock
(Bearman etal., 1997; Mwanga, et al., 2015; Zhang and Zhao
2013). Mwanga et al. (2015) provides a thorough analysis of the
current methods by comparing them against set criteria for a
geo-metallurgical testing program to determine the efficiency
and quality of the tests. The review provides an overview of
each of the tests, the rock characteristics for which they are used A fundamental understanding of different rock parameters and
characteristics related to the comminution of rocks is essential
in order to optimise processing machinery, minimise power
consumption for desired particle sizes and in turn reduce costs. his contribution has been peer-reviewed. The double-blind peer-review was conducted on the basis of the full paper. https://doi.org/10.5194/isprs-annals-IV-2-17-2018 | © Authors 2018. CC BY 4.0 License. 17 ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy The main outcome of drop weight testing for comminution
purposes is estimation of likely particle size distributions
(Bearman et al., 1997). The development of an automated
measurement of particle distributions with a high-speed 3D
photogrammetric system of the tests can reduce the time and
labour required to estimate the rock breakage characterisation
compared to using traditional techniques. The cameras are synchronised using a hard wired trigger pulse. Test videos taken of bouncing balls and preliminary drop
weight tests indicated that there was no discernible delay
between the captured pairs of frames and there would be no
significant systematic errors incurred in the particle tracking. The cameras are synchronised using a hard wired trigger pulse. Test videos taken of bouncing balls and preliminary drop
weight tests indicated that there was no discernible delay
between the captured pairs of frames and there would be no
significant systematic errors incurred in the particle tracking. 2.2 Capture, Processing, Photogrammetric and Modeling
Software This contribution has been peer-reviewed. The double-blind peer-review was conducted on the basis of the full paper.
https://doi.org/10.5194/isprs-annals-IV-2-17-2018 | © Authors 2018. CC BY 4.0 License. ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy As the only access in and out of the test machine was via the
hinged front panel, the cameras had to be placed at a sufficient
distance away to ensure each sample could be placed within the
closure and the aligned with the hammer without disturbing the
cameras. The fibre optic lights were placed on a support with
the prongs bent such that the device could be moved out of the
way to enable ready access into the impact test machine but
allow replicate conditions and reduce the time required to reset
between tests. 3.1 Experiment Design The comminution experiments involved placing a steel anvil
and the sample at the base of the test machine, onto which a
20kg flat hammer head would strike the sample. This was
enclosed within the protective barrier with a matte black card
placed at the back of the enclosure to ensure the fragmented
particles had sufficient contrast against other objects within the
case (see Figure 2). The experiments used core samples of
sandstone rock that were approximately 60mm in diameter and
ranged in width from 20mm to 35mm. Figure 3. Fields of view for the two cameras. 2.3 Impact Testing Facility The Instron Dynatup 9250g machine (see Figure 2) is located at
the CSIRO Rock Cutting Laboratory, Queensland Centre of
Advanced Technologies and is designed for impact testing of
various materials. It is similar in design to impact testing
facilities utilised by the JKTech Laboratory Services for their
proprietary JK Drop Weight Testing which provides industry
with sample ore breakage characteristics. It is fully computer
controlled, including data capture during the impact event. It
has a maximum drop height of 1.25m and weight of 80.5kg
which allows for a maximum input energy of 1010 Joules at a
maximum velocity of 5.0m/s. It is housed within a clear
protective casing with a guided hammer and anvil, which
supports observing the particle kinematics from rock
comminution. The test section inside the barrier casing is
approximately 500mm by 500mm by 100mm, but the useable
volume and visibility is limited by the hammer support structure
and cables. The lighting arrangement was sufficient to allow acceptable
exposures at a rate of 390 frames per second. At this frame rate
the resolution of the cameras is reduced to 640 by 480 pixels,
but the small field of view required for the test sample
compensated for the loss of resolution. The faster frame rate
ensured that very rapid particle motion could be captured. The two cameras were set up in a classic stereo configuration in
front of the drop weight test machine, making use of a rigid
base bar mounted on a heavy duty tripod to ensure stability (see
Figure 1). The cameras were fixed onto the base bar with bolts
and the lenses were taped to ensure a consistent relative
orientation and camera calibrations. The fields of view of the
cameras are shown in Figure 3. Figure 2. Impact testing machine, sample and lighting set up. The base bar was levelled to provide an approximate vertical
reference. However line of sight restrictions caused by
components of the test machine required the cameras to view
the sample at an oblique angle from above (see Figure 5) and
limited the base separation to 350mm. To obtain the field of
view shown in Figure 3, the range between the cameras and the
test object was set at 1600mm, resulting in a base to distance
ratio of 1 to 4.6. Figure 2. Impact testing machine, sample and lighting set up. 3. EXPERIMENT METHOD Figure 3. Fields of view for the two cameras. This contribution has been peer-reviewed. The double-blind peer-review was conducted on the basis of the full paper.
https://doi.org/10.5194/isprs-annals-IV-2-17-2018 | © Authors 2018. CC BY 4.0 License. 2.1 Cameras 18 ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy 2.1 Cameras The Vision Measurement System (VMS) research software was
used for photogrammetric processing (Geometric Software,
2018). VMS has the capability to compute multi-camera self-
calibration networks with base length and rotation angle relative
orientation constraints, as well as process image sequences
using network or resection-intersection solutions based on
video or still images. A utility program enables the computation
of the mean relative orientation of the stereo-cameras based on
all constrained pairs of images included in the self-calibrating
network. The derived camera calibrations and mean relative
orientation are then used to process the image sequences. Figure 1. IDS cameras on the base bar. In this case the 3D measurements extracted from the video
sequences were computed using a straightforward intersection
solution using left and right image measurements from the
stereo-camera system. For this project, VMS was used to read
in the compressed AVI files output from the recording
processes and acquire manual measurements of rock particles
on a frame by frame basis. Estimated locations in 3D are based
on a coordinate system with the origin located at the mid-point
between the two camera perspective centres; the Z axis
represents the depth to the target; the X axis is parallel to the
base between the two camera perspective centres and Y axis is
orthogonal. Figure 1. IDS cameras on the base bar. The high speed videometric system used for this research is a
stereo IDS camera system (IDS, 2018) comprising two IDS UI-
3060CP-C-HQ machine vision cameras fitted with 16mm lenses
(see Figure 1). These cameras feature a CMOS colour sensor,
global shutter, maximum resolution of 1936 by 1216 pixels,
5.86 micrometre pixel spacing and a maximum frame rate at full
resolution of 166 frames per second. For the data capture, the
cameras are connected via a combination of USB 3.0 cables and
fibre optic extension cables to individual ports of a custom-
made PC. The PC has two 250GB, high speed, solid state drives
(SSDs), so that the video sequences are recorded to separate
SSDs to ensure uninterrupted capture. MATLAB, produced by MathWorks (MathWorks, 2018) was
used to design and implement code for automation, computation
and visualisation of the data obtained from the high speed
photogrammetric systems. The software was used to derive
information and plots from the output 3D Cartesian coordinates
obtained from VMS. 3.4 Data Processing The first step in the data processing was to compress the AVI
files using the Xvid codec and a dual pass to ensure that all
frames were included. This was particularly important for the
calibration sequences due to the uncompressed file sizes of
approximately 1Gb. Video sequences were captured of the boards being rotated and
moved around within the fields of view of the cameras. The
maximum duration of the recordings, based on the available
capacity of the SSDs at 390 fps and 640 by 480 resolution, is
several minutes. Consequently, calibration sequences in front of
the barrier required only a single video capture to ensure that
around 40 different perspectives of the calibration boards could
be acquired. Rotating and re-positioning the calibration board
behind the transparent barrier proved to be a cumbersome and
slow process, so the system was used in individual frame
capture mode rather than continuous video capture. VMS requires still images to process the calibrations. The left
and right synchronised frames can be manually identified in
each video stream for the two cameras. To improve the
efficiency of the processing, a MATLAB script was written to
automatically capture images from video sequences. Based on a
desired number of frames and identification of the two video
files, the script extracts the paired frames and generates TIFF
image files. VMS automatically recognises the coded targets on the
calibration boards, computes a resection of each frame and then
back-drives to all remaining targets. Three networks are then
computed. The first uses an externally constrained solution and
fixed calibration to obtain good estimates of the camera
orientation parameters. The second solution uses a self-
calibration with a free network to ensure that all target
coordinates are unconstrained and determined with the most
favourable precision. The final solution introduces the relative
orientation constraints to ensure that the initial estimates of the
base separation and relative rotation angles are as close as
possible to the final estimates. From previous experience, poor
starting values for the relative orientation parameters can lead to
many spurious image measurement rejections or a non-global
minimum for the network. The calibration network in front of the barrier comprised 45
images from each camera and all 38 targets. The calibration set
inside the transparent barrier was limited to 40 images from
each camera and only 17 targets. 3.2 Camera Calibration Camera calibrations were carried out to ensure the accuracy of
the stereo measurements and to simultaneously determine the
relative orientation of the cameras. It is well understood that a
transparent sheet will affect the line of sight between the
cameras and the test sample, so calibrations were carried out
with a test board in front of and behind the barrier to estimate
the effects of the additional distortion. A physical parameter set
of principal point, principal distance, radial and decentring
distortions was used in both cases, under the assumption that
the additional distortions from the barrier would be absorbed by
the parameter set (Shortis, 2015). The tests were conducted indoors with no natural light, so
additional lighting was required to account for the decreased
exposure time of the cameras when recording at high frame
rates. A dual-pronged fibre optic lighting system provided much
of the light onto the sample within the protective barrier of the
test machine. Two additional flood lights were used to provide
additional lighting to ensure the particles would be visible on
the highest frame rate setting of the cameras. The dual-pronged lights were positioned equally on either side
of the line of sight from the camera to the sample as not to
obstruct the field of view or have significant light reflecting off
the protective barrier where the comminution event was
expected to occur. As can be seen in Figure 2, these lights were
placed practically against the protective screen to minimise the
reflected light but to ensure the rock sample was illuminated as
much as possible. For the sake of expediency during transport and manipulation
behind the barrier, A2 and A4 size planar boards with a random
pattern of 38 white targets, both coded and non-coded, on a
matt black surface were used for the calibrations. The
limitations of a 2D calibration object (Boutros et al., 2015) were
accepted on the basis that stringent accuracy was not a priority 19 ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy for the experimental work. The A2 board was used for
calibration in front of the barrier, but the field of view was such
that only part of the board could be seen by both cameras. 3.2 Camera Calibration The
A4 board had to be cut down to fit within the sample area of the
test machine, which reduced the number of visible targets (see
Figure 4). 3.4 Data Processing In each case the board was
moved around and rotated within the fields of view, but the
amount of variation behind the transparent barrier was much
more restricted. The networks were processed with a relative
orientation constraint for the left and right cameras. Figure 4. Calibration board positioned inside the impact test
machine. The stereo-measurements were then captured from the
synchronised AVI video files, based on the camera calibrations
and relative orientation derived from the calibration network
with the target board inside the barrier. To align the coordinate
system with the gravity vector, manual measurements were
taken of the front face of the sample prior to hammer impact. The orientation and centroid of this face was used to perform a
rigid body transformation of the stereo-camera coordinate
system to the test sample coordinate system (see Figure 5). Figure 4. Calibration board positioned inside the impact test
machine. Figure 5. Coordinate system transformation. This contribution has been peer-reviewed. The double-blind peer-review was conducted on the basis of the full paper.
https://doi.org/10.5194/isprs-annals-IV-2-17-2018 | © Authors 2018. CC BY 4.0 License. 3.3 Impact Test Video Capture However, the effect of refraction
invalidates the assumption of a single projection centre for the
cameras (Sedlazeck and Koch, 2012), which is the basis for the
physical
parameter
model,
and
thereby
introduces
uncompensated errors which must be absorbed by the image
measurement residuals. Two types of least squares curve fit were used to model the
trajectories of the progeny particles. The first type is an XYZ
curve that assumes the particles to be following a curved path in
all three dimensions: 𝑓(𝑥𝑦𝑧𝑖) = ൞
𝑓(𝑥𝑖) = 𝑎𝑥𝑖𝑡2 + 𝑏𝑥𝑖𝑡+ 𝑐𝑥𝑖
𝑓(𝑦𝑖) = 𝑎𝑦𝑖𝑡2 + 𝑏𝑦𝑖𝑡+ 𝑐𝑦𝑖
𝑓(𝑧𝑖) = 𝑎𝑧𝑖𝑡2 + 𝑏𝑧𝑖𝑡+ 𝑐𝑧𝑖
ൢ
(1) (1) This approach was expected to produce a better fit to spinning
particles. A simpler, second approach of a Z curve assumes that
the particles are travelling in a straight line in the XY
dimensions, but a curved path in the Z coordinate: 𝑓(𝑥𝑦𝑧𝑖) = ቐ
𝑓(𝑥𝑖) = 𝑏𝑥𝑖𝑡+ 𝑐𝑥𝑖
𝑓(𝑦𝑖) = 𝑏𝑦𝑖𝑡+ 𝑐𝑦𝑖
𝑓(𝑧𝑖) = 𝑎𝑧𝑖𝑡2 + 𝑏𝑧𝑖𝑡+ 𝑐𝑧𝑖
ቑ
(2) (2) Contrary to expectations, Table 2 suggests small decreases in
the principal distance and the radial lens distortion component. This unexpected result can be attributed to the very poor
geometry of the calibrations and the narrow field of view
covered by the array of targets in each case. Particle velocities were computed using the Euclidean distance
travelled, divided by the 2.5 millisecond time between frames. It
was deemed that any bias introduced by the linear motion
assumption would be negligible compared to other sources of
error, particularly the manual measurements of the images. To investigate the effects of a transparent barrier in more
controlled
and
comparative
circumstances,
a
separate
experiment was conducted. The IDS stereo camera system was
calibrated with and without a thin, transparent acrylic sheet
between the cameras and an A3 calibration board. The
networks comprised a total of 80 exposures and 38 targets with
a strongly convergent geometry and good coverage across the
entire fields of view of the cameras. In this instance there were
small increases to the principal distances and radial lens
distortion profiles as expected, but at levels well below the
threshold of significance. Similar to the results for the impact
testing machine networks, there were significant changes to the
principal point location and the RMS image error degraded by a
factor of 2.4 times. 3.3 Impact Test Video Capture Care was taken to estimate the
centre of the particle and often the frames had to be stepped
back and forward to ensure that the same particle was being 20 ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy A comparison of selected camera calibration parameters for
camera 1 is shown in Table 2. Similar results were obtained for
camera 2. Clearly there are significant changes to the principal
point location and principal distance. observed. Additionally, particles that bounced around the
enclosure were avoided as these are not representative of the
kinematics of interest for fragmented particles trajectories after
comminution. Figure 6. Manual measurement of progeny particles. Table 2. Selected camera calibration parameters for camera 1. Value
Outside
Barrier
Inside
Barrier
Significant
Difference? Principal point X (mm)
0.098
0.041
Yes
Principal point Y (mm)
-0.141
-0.053
Yes
Principal distance (mm)
16.333
15.945
Yes
Radial distortion at 2mm
radius (microns)
-8.5
-10.7
No Table 2. Selected camera calibration parameters for camera 1. Figure 6. Manual measurement of progeny particles. The effects of multiple media and refractive surfaces on close-
range photogrammetric measurement is well documented for
underwater systems for habitat mapping (Shortis, 2015) and
laboratory experiments such as water tanks (Maas, 2015). The
optical path through the refractive interfaces must be modelled
or, as is the case here, absorbed by the standard camera model. According to Snell’s Law, a plane parallel sheet will cause an
apparent displacement of objects behind the barrier that
increases with incidence angle. This effect is rotationally
symmetric and should be partly absorbed by small increases in
the principal distance and the radial lens distortion component
of the calibration model. 3.3 Impact Test Video Capture This separate test was considered to be a
more valid demonstration of the refractive effects of a
transparent, planar barrier. 3.3 Impact Test Video Capture Three tests of sandstone core rock samples were conducted. Before each test, the sample was carefully aligned with the
hammer and the anvil. The enclosure door was closed and
hammer was raised up ready for release. The lighting was
shifted back into position and a live feed of the cameras was
checked to ensure the sample was clearly visible in the fields of
view. The video recording was then initiated and the hammer
was released. The video recording continued until all progeny
particles had come to rest. Figure 5. Coordinate system transformation. To measure the fragmented particle trajectories, image
observations of each particle in both left and right video frame
were performed. This process involved identifying a particle in
both images, using a cross-hair measurement tool to create a
zoomed region window on the particle of interest, and then
mouse-clicking a best estimate of the particle centroid. Figure 6
shows a pair of image frames with measured particles in both
perspectives and a zoomed region of interest showing the
particles and the exact measurement location. The video sequence was trimmed to only include the period of
interest defined by the motion of the hammer and progeny. This
was undertaken to minimise file sizes before the export to
uncompressed AVIs onto the main storage disk. The SSDs were
then erased and the impact test machine cleaned of all
fragmented particles ready for subsequent tests to be completed. This process was repeated multiple times for a single particle
over the sequence of frames. This contribution has been peer-reviewed. The double-blind peer-review was conducted on the basis of the full paper.
https://doi.org/10.5194/isprs-annals-IV-2-17-2018 | © Authors 2018. CC BY 4.0 License. 4.3 Progeny Trajectories The manual measurements of the edge of the core sample were
used as a test of the precision and accuracy of the stereo system. The core sample is a cylinder with a diameter of 60mm. The
estimated radius of the circular profile of the sample from the
image measurements was 30.05mm with an RMS error of
0.99mm. MATLAB was used to generate displacement vector diagrams. The particle trajectory coordinates and the vectors between one
frame and the next show the displacement of the particles (see
Figure 7). The cylindrical sample shown in the figure was
included to verify the datum transformation and demonstrate
that the plotted displacement vectors are correct with respect to
the starting location of the sample. The RMS error of the circular fit correlates well with the
estimated precisions of the XYZ coordinates of the progeny
particles. The estimated precisions of the X, Y and Z
coordinates were in the ranges of 0.53-0.72mm, 0.36-0.40mm
and 3.1-4.2mm respectively. The large disparity between the X,
Y plane and the Z depth precisions is a consequence of the
relatively poor base to distance ratio of 1:4.6 for the stereo
measurement system. Figure 7. Displacement vectors of the progeny particles –
perspective (top) and plan (bottom). The precision in the depth direction could be improved by a
more favourable base to distance ratio. However, it should be
noted that industrial comminution machinery is not designed for
optimal camera geometries to observe progeny kinematics and
the camera geometry must be designed around the machinery. The alternative of additional cameras to provide different
perspectives would theoretically provide improved precision
and also greater reliability. Nevertheless the restrictions on
fields of view remain and there is a penalty in terms of more
complex logistics and greater processing demands. Figure 7. Displacement vectors of the progeny particles –
perspective (top) and plan (bottom). The tracking of progeny after comminution was carried out
based on operator identification of the particles across the
frames in the video sequences. Measurement of particle
centroids is a labour-intensive process with multiple issues
identified for this technique. Figure 7. Displacement vectors of the progeny particles –
perspective (top) and plan (bottom). To determine the coordinates of each progeny in each frame,
rough approximations were made visually in each left and right
image of the specific progeny. Although this method was
simple, it has multiple sources of error. 4.1 Camera Calibration and Relative Orientation The results of the camera calibration networks for outside and
inside the transparent barrier are shown in Table 1. The effect of
the transparent barrier of the impact test machine is significant
with more than 100% degradation of the RMS image error. The
effect on the precisions of the target coordinates is less but still
very significant. The primary factor in the degradation is the
uncompensated distortions caused by the refractive surfaces,
however loss of contrast due to attenuation through the
transparent material of the barrier will also influence the results
through increased noise. Table 1. Camera calibration results. Value
Outside
Barrier
Inside
Barrier
Number of exposures
90
80
Number of targets
38
17
RMS image error (pixels)
1/27
1/12
Mean precision of target
XYZ coordinates (mm)
0.012
0.017 Table 1. Camera calibration results. The effect of the transparent barrier on the relative orientation
parameters is shown in Table 3. All parameters demonstrate a
significant difference. In the separate experiment with the
acrylic sheet, there were some small but significant changes to
the base length and rotations. Similar to the results in Table 2
for the impact test machine barrier, the base length between the
cameras increased for the network with the acrylic sheet in
place. This contribution has been peer-reviewed. The double-blind peer-review was conducted on the basis of the full paper. https://doi.org/10.5194/isprs-annals-IV-2-17-2018 | © Authors 2018. CC BY 4.0 License. 21 ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy Table 3. Relative orientation parameters. Outside Barrier
Inside Barrier
Parameter
Camera 1
Camera 2
Camera 1
Camera 2
Base
(mm)
-172.9
172.9
-179.3
179.3
Omega
(degrees)
0.02
-0.02
0.28
-0.28
Phi
(degrees)
-4.33
7.25
1.23
12.71
Kappa
(degrees)
0.50
0.40
0.07
0.64 Table 3. Relative orientation parameters. individual progeny, which relies on the proper illumination,
focus and contrast of the particle in the imagery. 4.1 Camera Calibration and Relative Orientation Figure 6 shows
frames where significant shadowing and poor contrast makes
the process of particle identification difficult, particularly for a
sample with homogeneous texture and colour. Due to the
direction of cameras and lighting, progeny in the background
projecting away from the cameras are difficult to observe either
from shadowing or occlusion from progeny in the foreground. This impact was clear in the spread of tracked progeny shown in
Figures 7 and 8. To identify unique progeny between left and right images, the
operator had to scroll back and forth through the sequence
trying to visually track and identify an individual particle. Larger particles were generally easier to identify and track, but
the precision which the centroid was determined in each image
decreased considerably, thus likely adding significant noise to
progeny trajectories. However the poor geometry of the calibration networks for the
impact testing machine prevent any confident conclusions being
drawn. Further, there is an assumption here that the stereo-
camera system was undisturbed during the calibration and
measurement phases of the impact tests. This cannot be
guaranteed and could be a possible source of the large change in
the phi rotations between the video capture for the outside and
inside calibrations. Reference targets on the body of the impact
testing machine would have provided a more definitive check
mechanism, however a visual comparison of fixed features in
the frames from the calibration and measurement sequences
suggests that there was no disturbance to either camera. Another key point of error that can be introduced with the
manual centroid identification is from non-uniformly shaped
particles and the rotation of the progeny as it travels along the
trajectory. This has a potential to introduce a bias or oscillation
into the observed trajectory due to incorrect centroid
determination. This contribution has been peer-reviewed. The double-blind peer-review was conducted on the basis of the full paper.
https://doi.org/10.5194/isprs-annals-IV-2-17-2018 | © Authors 2018. CC BY 4.0 License. 5. CONCLUSIONS A potential solution to
this demand is to model each progeny in 3D, based on multiple
perspectives and the rotation of the particle. The combination
of image matching and 3D modelling would produce a
structure-from-motion solution that should be able to estimate
the sizes of a significant sample of progeny. 4.3 Progeny Trajectories First, it relied on the
ability of the operator to approximate the centroid of the 22 ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy Figure 9. Progeny velocities plotted against frame number. The vectors clearly show that the data is noisy, and the variation
is greatest in the Y coordinate of the plot, which corresponds
primarily to the Z coordinate of the stereo photogrammetric
system. The ‘saw tooth’ effect is clear evidence of the greater
uncertainty of the stereo measurements in the direction of depth
from the cameras. Figure 9. Progeny velocities plotted against frame number. Figure 8 shows the particle coordinates and trajectories
modelled using least squares curve fitting. The XYZ and Z
curve fits (see Equations 1 and 2) are shown along with the
particle locations. The majority of the progeny appear to follow
vertical parabolic arcs away from the sample location as
expected. In most cases the progeny follow a constant bearing
and the XYZ and Z curve fits overlay each other consistently. In
some cases there are clear differences between the two types of
curve fit, generated by gross errors, collisions and the spin of
large particles. The differences in the curve fit results can be
used as a detector to identify unusual behaviour for further
investigation. The method for determining progeny velocities is quite crude
and could be improved for more reliable results. An algorithm
for smoothing the velocities over multiple frames may be better
suited to reduce the noise in the determined velocities. The
small sample size, restricted by manual measurement and
selection of well-defined particles, could lead to bias in the
results. Nevertheless the linear regression shows a strong
correlation which suggests relatively reliable results. 5. CONCLUSIONS This research successfully implemented a high speed
videometric system in a laboratory experiment of drop weight
testing, from which progeny kinematics could be determined. Through data processing and analysis of results, the research
succeeded in showing the trajectories and velocities of progeny
could be derived following comminution of the rock sample. Figure 8. Trajectory curve fits of the progeny particles –
perspective (top) and plan (bottom). Several key factors were identified from this research for
optimisation
and
improvement
of
the
high
speed
photogrammetric systems and methods used for observing
progeny kinematics. Some of these were: •
provision of effective lighting and selecting suitable frame
acquisition rates to improve the quality of the images, •
increasing the number of cameras and perspectives used
to potentially improve precision, reliability and correct
progeny identification, p
g
y
•
modelling systematic biases from protective barriers to
improve observation precisions, and •
inclusion of fixed reference targets within the field of
view to ensure reliability of the system. However, two major issues remain to be resolved. First, the
manual image measurement process is tedious and prone to
error. Straightforward improvements such as image matching
from three or four cameras would provide a more efficient,
reliable and accurate process, but would of course still be
limited by image quality and foreground obstruction factors. The second issue is the estimation of progeny size, which is an
important factor in the effectiveness of the system to provide the
information required by rock engineers. A potential solution to
this demand is to model each progeny in 3D, based on multiple
perspectives and the rotation of the particle. The combination
of image matching and 3D modelling would produce a
structure-from-motion solution that should be able to estimate
the sizes of a significant sample of progeny. However, two major issues remain to be resolved. First, the
manual image measurement process is tedious and prone to
error. Straightforward improvements such as image matching
from three or four cameras would provide a more efficient,
reliable and accurate process, but would of course still be
limited by image quality and foreground obstruction factors. Figure 8. Trajectory curve fits of the progeny particles –
perspective (top) and plan (bottom). The second issue is the estimation of progeny size, which is an
important factor in the effectiveness of the system to provide the
information required by rock engineers. This contribution has been peer-reviewed. The double-blind peer-review was conducted on the basis of the full paper.
https://doi.org/10.5194/isprs-annals-IV-2-17-2018 | © Authors 2018. CC BY 4.0 License. 4.4 Progeny Velocities The distribution and change of the progeny velocities is shown
in Figure 9. The velocities are derived from the Z curve fit
given as equation (2), similar results were obtained using the
XYZ curve fit. The solid black line represents the mean velocity
of the progeny at each frame and the thick red line represents
the linear regression. The mean velocity shows a consistent
decrease from frame to frame. The frame with the most progeny
tracked is highlighted in blue. The mean progeny velocity for
this frame was 1.2 m/sec with a standard deviation of 1.0 m/sec. Overall, this research has provided a strong proof-of-concept
for the potential for high speed photogrammetry to improve the
efficacy of rock breakage characterisation. Further development
of the measurement and identification techniques will lead to a
more efficient and comprehensive solution that can include the
distribution of progeny size, as well as trajectories and
velocities. 23 ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy ISPRS Annals of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume IV-2, 2018
ISPRS TC II Mid-term Symposium “Towards Photogrammetry 2020”, 4–7 June 2018, Riva del Garda, Italy 6. ACKNOWLEGDEMENTS Shortis, M. R., 2015. Calibration techniques for accurate
measurements by underwater camera systems. Sensors, 15(12):
30810-30826; doi: 10.3390/s151229831. Dr Xing Li and Mr Craig Harbers (CSIRO) are acknowledged
for their assistance with the experiments conducted in the
CSIRO Rock Cutting Laboratory. Dr Sarma Kanchibotla and
Mr Farhad Faramarzi (JKMRC) are acknowledged for their
expert advice regarding comminution testing. Shuaeib, F. M. et al., 2004. Drop weight testing rig analysis and
design. Pertanika Journal of Science and Technology
Supplement, 12(2): 159-175. Sedlazeck, A. and Koch, R., 2012. Perspective and non-
perspective camera models in underwater imaging – overview
and error analysis. Outdoor and large-scale real-world scene
analysis. F. Dellaert, J.-M. Frahm, M. Pollefeys, L. Leal-Taixé
and B. Rosenhahn, Springer Berlin Heidelberg. 7474: 212-242. This contribution has been peer-reviewed. The double-blind peer-review was conducted on the basis of the full paper.
https://doi.org/10.5194/isprs-annals-IV-2-17-2018 | © Authors 2018. CC BY 4.0 License. REFERENCES Allemand,
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RNA-Seq analysis and targeted mutagenesis for improved free fatty acid production in an engineered cyanobacterium
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Biotechnology for biofuels
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Correspondence: aruffin@sandia.gov
Sandia National Laboratories, Department of Bioenergy and Defense
Technologies, MS 1413, P.O. Box 5800, 87185-1413, Albuquerque, NM, USA Ruffing Biotechnology for Biofuels 2013, 6:113 Ruffing Biotechnology for Biofuels 2013, 6:113 Ruffing Biotechnology for Biofuels 2013, 6:113
http://www biotechnologyforbiofuels com/conten Ruffing Biotechnology for Biofuels 2013, 6:113
http://www.biotechnologyforbiofuels.com/content/6/1/113 Open Access © 2013 Ruffing; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly cited. RNA-Seq analysis and targeted mutagenesis for
improved free fatty acid production in an
engineered cyanobacterium Anne M Ruffing Abstract Background: High-energy-density biofuels are typically derived from the fatty acid pathway, thus establishing free
fatty acids (FFAs) as important fuel precursors. FFA production using photosynthetic microorganisms like
cyanobacteria allows for direct conversion of carbon dioxide into fuel precursors. Recent studies investigating
cyanobacterial FFA production have demonstrated the potential of this process, yet FFA production was also
shown to have negative physiological effects on the cyanobacterial host, ultimately limiting high yields of FFAs. Results: Cyanobacterial FFA production was shown to generate reactive oxygen species (ROS) and lead to increased
cell membrane permeability. To identify genetic targets that may mitigate these toxic effects, RNA-seq analysis was
used to investigate the host response of Synechococcus elongatus PCC 7942. Stress response, nitrogen metabolism,
photosynthesis, and protein folding genes were up-regulated during FFA production while genes involved in carbon
and hydrogen metabolisms were down-regulated. Select genes were targeted for mutagenesis to confirm their role in
mitigating FFA toxicity. Gene knockout of two porins and the overexpression of ROS-degrading proteins and
hypothetical proteins reduced the toxic effects of FFA production, allowing for improved growth, physiology, and FFA
yields. Comparative transcriptomics, analyzing gene expression changes associated with FFA production and other
stress conditions, identified additional key genes involved in cyanobacterial stress response. mitigating FFA toxicity. Gene knockout of two porins and the overexpression of ROS-degrading proteins and
hypothetical proteins reduced the toxic effects of FFA production, allowing for improved growth, physiology, and FFA
yields. Comparative transcriptomics, analyzing gene expression changes associated with FFA production and other
stress conditions, identified additional key genes involved in cyanobacterial stress response. Conclusions: A total of 15 gene targets were identified to reduce the toxic effects of FFA production. While
single-gene targeted mutagenesis led to minor increases in FFA production, the combination of these targeted
mutations may yield additional improvement, advancing the development of high-energy-density fuels derived from
cyanobacteria. Keywords: Free fatty acid biosynthesis, FFA biosynthesis, Cyanobacterial biofuels, Algal biofuels, Cyanobacteria, Free
fatty acid, RNA-seq, FFA toxicity Physiological effects of FFA production are linked to cell
stress and membrane permeability Previously, S. elongatus PCC 7942 was engineered for FFA
production by gene knockout of acyl-ACP synthetase
(SE01 = S. elongatus PCC 7942 Δaas) and introduction of
a truncated E. coli thioesterase (SE02 = S. elongatus PCC
7942 Δaas ‘tesA) [7]. Knockout of aas was necessary to
prevent recycling of FFAs through the β-oxidation path-
way, while expression of the thioesterase released FFAs
from acyl-ACP. Synthesis and excretion of FFAs resulted
in detrimental physiological effects, ultimately limiting
FFA biosynthesis. The two potential mechanisms of FFA
toxicity, described previously, were investigated to deter-
mine the underlying cause of the observed physiological
effects in the FFA-producing strains of S. elongatus PCC
7942, SE01 and SE02. While the mechanism(s) involved in FFA toxicity re-
main unproven, two possible mechanisms have been
proposed based on the available evidence: (1) UFAs may
react with reactive oxygen species (ROS) to generate
toxic products such as hydroperoxides, free radical spe-
cies, aldehydes, and oxylipins, and (2) the amphipathic
structure of FFAs may allow them to intercalate into
both the cell and thylakoid membranes [8]. The gener-
ation of toxic products will cause widespread cellular
damage due to the chemical reactivity of the generated
products, while the intercalation of FFAs in membranes
will inhibit membrane proteins and destabilize mem-
brane structure. The two proposed mechanism may even
act in concert, with the intercalation of FFAs in the
thylakoid membrane disrupting photosynthetic electron
transport, leading to excess light collection and subse-
quent ROS generation. These potentially complex mech-
anisms of FFA toxicity make this issue difficult to
resolve, yet this obstacle must be overcome to enable
FFA-based biofuel production. ROS levels were measured in both the wild type and
FFA-producing strains to determine whether these spe-
cies were present for UFA degradation. As illustrated in
Figure 1C, ROS generation in the wild type (7942) was
negligible
(<
2.56 ± 0.65%),
yet
both
FFA-producing
strains, SE01 and SE02, had intracellular ROS accumula-
tion (up to 11.1 ± 2.3% and 58.1 ± 24%, respectively). The
highest ROS levels were measured in SE02, with nearly
60% of the cell population staining positive for ROS at day
20. Background conversion of sugar feedstocks into FFAs using hetero-
trophic microorganisms such as Escherichia coli [5] and
on the conversion of carbon dioxide into FFAs using
photosynthetic microorganisms such as the cyanobacterial
species, Synechocystis sp. PCC 6803 and Synechococcus
elongatus PCC 7942 [6,7]. While these efforts have been
successful in producing FFAs, overall productivities are
limited by the toxic effects of FFA synthesis. Free fatty acids (FFAs) have recently garnered attention
as potential precursors for renewable fuel production. FFAs are ideal targets for biofuel production: the path-
way for FFA biosynthesis is already present in micro-
organisms for membrane production [1]; FFAs are
passively excreted outside the cell for easy extraction
without cell harvesting [2,3]; and FFAs can be readily
converted into high-energy-density fuels [4]. Recent ef-
forts in microbial FFA production have focused on the Exogenous FFAs are toxic to many organisms, including
Gram-negative and Gram-positive bacteria, microalgae,
fungi, protozoans, and multi-cellular organisms [8]. In
fact, FFA production has been documented as an anti-
microbial defense mechanism in multicellular organ-
isms. The primary targets of FFA toxicity are cellular Ruffing Biotechnology for Biofuels 2013, 6:113
http://www.biotechnologyforbiofuels.com/content/6/1/113 Page 2 of 15 membranes, whereby FFAs disrupt the electron transport
chain and oxidative phosphorylation, damaging cellular
energy production. FFAs are also believed to inhibit en-
zyme activity, impair nutrient uptake, and alter cell mem-
brane permeability [8]. In microalgae, cell lysis was
observed following FFA addition along with dissociation
of the phycobilisomes from the thylakoid membrane [9]. Evidence of these toxic effects was also found in FFA-
producing cyanobacteria for biofuel production. FFA-
producing strains of S. elongatus PCC 7942 had reduced
photosynthetic yields, suggestive of electron transport dis-
ruption, and the phycobiliproteins of these strains were
aggregated at the cell poles rather than evenly dispersed
throughout the thylakoid membranes, indicating dissoci-
ation of the phycobiliosomes [7]. FFA-producing strains of
Synechocystis sp. PCC 6803 also had increased membrane
permeability [6]. Unsaturated fatty acids (UFAs) have gen-
erally been found to be more toxic than their saturated
counterparts [8]; this was confirmed in S. elongatus PCC
7942 by the exogenous addition of both saturated fatty
acid (SFA) and UFA [7]. Only UFA addition yielded nega-
tive physiological effects, while no effect was observed
with SFA addition. Background The physiological effects associated
with exogenous UFA addition, however, were found to dif-
fer from the effects observed with FFA biosynthesis,
suggesting that the mechanism of toxicity may also differ. analysis, differentially expressed genes were identified for
either gene knockout or gene overexpression. The physio-
logical responses and FFA productivities of these targeted
mutants were assessed to determine the gene’s role in cel-
lular FFA toxicity response. Additionally, the transcrip-
tional response to FFA production was compared to other
transcriptomic studies of cyanobacterial stress response to
identify the key genes involved in general cyanobacterial
stress response. From the analyses presented in this study,
genetic targets were determined for improving cyanobac-
terial physiology during FFA production. Physiological effects of FFA production are linked to cell
stress and membrane permeability In general, the measurement of ROS-positive cells
trended with FFA production (7942 < SE01 < SE02), and
there was a statistically significant correlation between
the amount of FFA on a per cell weight basis and the
percentage of ROS-positive cells (R2 = 0.46, p = 0.0367)
(Figure 1 A and C). However, the values of FFA concen-
tration (mg/L) and the percentage of ROS-positive cells
did not correlate (R2 = 0.13, p = 0.721) (Figure 1 B and
C), suggesting that ROS generation is due to intracellu-
lar FFAs rather than extracellular. The accumulation of
ROS during FFA production may indicate a potential
for UFA degradation into toxic products, as described
in the first proposed mechanism; however, ROS accu-
mulation is also a hallmark of cellular stress [10]. Thus,
we are presented with the ‘chicken or the egg’ dilemma,
do the UFAs react with ROS to produce compounds In order to surmount the physiological effects of FFA
production, the underlying mechanisms of FFA toxicity
must be investigated along with the specific host response. This study explored the two proposed mechanisms of FFA
toxicity through analysis of ROS generation and cell mem-
brane permeability. The global transcriptional response of
the cyanobacterial host, S. elongatus PCC 7942, to FFA
production was quantified using RNA-seq, and from this Ruffing Biotechnology for Biofuels 2013, 6:113
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http://www.biotechnologyforbiofuels.com/content/6/1/113 g
gy
http://www.biotechnologyforbiofuels.com/content/6/1/113 Figure 1 FFA production and physiological measurements for wild-type (7942) and FFA-producing strains (SE01 and SE02): (A) mg of
FFA per gram of dry cell weight; (B) FFA concentration in mg/L; (C) percentage of cells staining positive for ROS; (D) percentage of
cells with permeable membranes. Data are averages of 3 biological replicates with error bars indicating the standard deviation of
these measurements. Figure 1 FFA production and physiological measurements for wild-type (7942) and FFA-producing strains (SE01 and SE02): (A) mg of
FFA per gram of dry cell weight; (B) FFA concentration in mg/L; (C) percentage of cells staining positive for ROS; (D) percentage of
cells with permeable membranes. Data are averages of 3 biological replicates with error bars indicating the standard deviation of
these measurements. that are toxic to the host cell, or do the FFAs them-
selves cause cellular stress which leads to ROS gener-
ation? RNA-seq analysis of FFA production such as high light-inducible proteins (Synpcc7942_1997
and hliC) and heat shock proteins (hsp20 and hsp90)
were significantly up-regulated with FFA production. As
described in the previous section, FFA production was
accompanied by elevated ROS levels. To minimize
ROS-induced cellular damage, oxidative stress response
genes were elevated during FFA production, including
ROS-degrading enzymes such as superoxide dismu-
tase (Synpcc7942_0801) and glutathione peroxidases
(Synpcc7942_1214 and Synpcc7942_0437). High light-
inducible proteins have also been shown to enhance the
ability of cyanobacteria to cope with oxidative stress re-
sponse under high light [13]. The production of carot-
enoids to absorb excess light energy and prevent
photooxidative damage is yet another stress response
mechanism in cyanobacteria [14]. Phytoene dehydro-
genase, a key enzyme in carotenoid biosynthesis, was
also up-regulated with FFA production. Enhanced tran-
scription of these stress response mechanisms may con-
tribute to the survival of SE01 and SE02 during FFA
production. To investigate the transcriptional response of S. elongatus
PCC 7942 to FFA production, both the wild type (7942)
and FFA-producing (SE01 and SE02) cultures were sam-
pled at 100 h and 240 h for RNA-seq analysis. Genes dif-
ferentially expressed during high FFA production were
identified through six different comparisons: A) SE02:
SE01 at 100 h, B) SE02:7942 at 100 h, C) SE01:7942 at
240 h, D) SE02:7942 at 240 h, E) 240 h:100 h for SE01,
and F) 240 h:100 h for SE02. It should be noted that com-
parisons A and B are only valid for increased extracellular
FFA production on a cell weight basis (mg/gDCW), while
comparison F is only valid for enhanced extracellular FFA
concentration (mg/L). All other comparisons (C, D, and
E) apply to both measurements of FFA production
(Figure 1 A and B). Differentially expressed genes were de-
fined as having fold changes greater than 2; these genes
are listed in Tables S1 and S2 in Additional file 1 along
with their expression fold changes and associated p-values. Combining results from the six comparisons, 228 genes
were up-regulated and 223 genes were down-regulated
with increased FFA production (Table 1). The largest func-
tional gene category for both up- and down-regulated
genes was hypothetical proteins, comprising approxi-
mately 45% of the total quantity of differentially expressed
genes. Unexpectedly, many genes associated with nitrogen me-
tabolism were up-regulated (Table 1). RNA-seq analysis of FFA production Three genes associ-
ated with nitrate transport were elevated during FFA
production along with a nitrate reductase and ferredoxin-
nitrite reductase, constituting the nitrogen acquisition
pathway. Additionally, adenosine deaminase, an enzyme
involved in intracellular nitrogen scavenging, showed en-
hanced expression, suggesting that FFA-producing cells
had activated a nitrogen limitation response. Biochemical
data also supports this perceived nitrogen limitation Physiological effects of FFA production are linked to cell
stress and membrane permeability The fact that there is no ROS accumulation in
the wild type suggests that the latter hypothesis is
correct. suggesting that intracellular FFA production also influ-
ences membrane permeability. Based on this preliminary assessment, both proposed
mechanisms of FFA toxicity are possible and may be con-
tributing factors of the observed toxicity. So the question
remains, how can these toxic effects be prevented or miti-
gated? Microorganisms have evolved a multitude of mech-
anisms for coping with stressful conditions, including both
general and stress-specific response mechanisms [11]. Such
natural mechanisms may be activated in S. elongatus PCC
7942 with FFA production. Furthermore, some strains of
microalgae are known to excrete a polyunsaturated fatty
acid (PUFA) as a defense mechanism against grazers [12]. Along with this defense mechanism, microalgae have likely
evolved mechanisms to protect against PUFA toxicity. Therefore, RNA-seq analysis was applied to investigate nat-
ural mechanisms of FFA toxicity defense in S. elongatus
PCC 7942; amplification of these natural responses may
allow for increased FFA production. The amphipathic character of FFAs may allow them
to intercalate into cellular membranes, altering mem-
brane fluidity, membrane integrity, and the activity of
membrane-bound proteins, such as those involved in
photosynthesis. To investigate this proposed mechan-
ism of FFA toxicity, a membrane impermeable nucleic
acid stain, SYTOX, was used to interrogate membrane
permeability in the wild type and FFA-producing
strains. Similar to ROS accumulation, cell membrane
permeability trended with FFA production (7942 <
SE01 < SE02) (Figure 1D). Additionally, the percentage
of membrane-permeable cells had statistically sig-
nificant correlation with the amount of FFA per
gDCW (R2 = 0.48, p = 2.10 x 10-4) (Figure 1B and D), Page 4 of 15 Ruffing Biotechnology for Biofuels 2013, 6:113
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http://www.biotechnologyforbiofuels.com/content/6/1/113 Up-regulated transcript expression Genes showing increased expression during elevated FFA
production were predominantly associated with known
cellular stress responses. General stress response genes Table 1 Number of differentially expressed genes in S. elongatus PCC 7942 during FFA production based on predicted
gene function
Gene Function
Up-regulated
Down-regulated
Total
# Genes
%
# Genes
%
# Genes
%
Stress Response
11
4.8
11
4.9
22
4.9
Photosynthesis
10
4.4
16
7.2
26
5.8
Electron Transport
10
4.4
8
3.6
18
4.0
Carbon Metabolism
16
7.0
13
5.8
29
6.4
Nitrogen Metabolism
7
3.1
2
0.9
9
2.0
Hydrogen Metabolism
5
2.2
7
3.1
12
2.7
Protein Biosynthesis & Processing
8
3.5
7
3.1
15
3.3
Nucleotide Biosynthesis & Metabolism
10
4.4
5
2.2
15
3.3
Transporters
14
6.1
10
4.5
24
5.3
Regulatory Proteins
7
3.1
19
8.5
26
5.8
c-di-GMP Associated Proteins
1
0.4
7
3.1
8
1.8
Cell Wall Biosynthesis
7
3.1
3
1.3
10
2.2
Other
22
9.6
14
6.3
36
8.0
Hypothetical Proteins
100
43.9
101
45.3
201
44.6
Totals
228
100.0
223
100.0
451
100.0 fferentially expressed genes in S. elongatus PCC 7942 during FFA production based on predicted Table 1 Number of differentially expressed genes in S. elongatus PCC 7942 during FFA produc
f
ti Ruffing Biotechnology for Biofuels 2013, 6:113
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http://www.biotechnologyforbiofuels.com/content/6/1/113 Page 5 of 15 changed during FFA production. Several other transport
proteins and porin proteins were found to be up-regulated
during FFA production (Additional file 1: Table S1). While
these proteins may contribute to FFA export, there was no
consensus among the 6 comparisons of high v. low FFA
production, with potential FFA export proteins showing a
conserved expression enhancement in only 2 of the 6
comparisons. response, with selective degradation of the nitrogen-
containing chlorophyll-a pigment [7,15]. With sufficient
levels of nitrate in the media, the signal for activation of
this nitrogen-limited response with FFA production re-
mains unknown; however, nutrient acquisition and storage
may simply be a general, conserved stress response in S. elongatus PCC 7942. Increased FFA production also affected protein produc-
tion, with elevated transcript levels of the groEL-groES
chaperone system (Additional file 1: Table S1). The
GroEL-GroES system was also up-regulated under high
light stress in other cyanobacterial species [16], suggesting
that this too may be a conserved stress response. Down-regulated transcript expression g
p
p
In addition to the up-regulation of genes involved in stress
response and photosynthesis, genes within these functional
categories were also significantly down-regulated (Tables 1
and Additional file 1: Table S2). Across the 6 comparisons,
however, there was little consensus among the down-
regulated stress response genes, implying that repression
of stress response proteins is not a conserved response to
FFA production. On the other hand, there was some con-
sensus to support the reduced expression of genes involved
in photosynthesis. In particular, the light-independent
protochlorophyllide
reductase
subunit
B
was
down-
regulated in 4 out of the 6 comparisons. This protein is in-
volved in light-independent chlorophyll biosynthesis [20],
and decreased expression of this gene may contribute to
the measured decrease in chlorophyll-a content for the
FFA-producing cultures [7]. Other photosynthetic genes
with reduced expression include components of photo-
system I (PSI), specifically PSI reaction center subunits X
and XII. The down-regulation of PSI components along
with up-regulation of PSII components suggests an imbal-
ance of electron distribution between PSI and PSII. Pre-
vious
hyperspectral
imaging
of
FFA-producing
cells
indicated that the PBSs were no longer attached to the
thylakoid membranes. As PBSs are the light-harvesting
pigments for PSII [21], this detachment would reduce elec-
tron flow through PSII, possibly leading to the measured
transcriptional changes to restore the PSI:PSII balance. Conserved down-regulation of cytochrome associated pro-
teins, cytochrome aa3 controlling protein and cytochrome
c oxidase subunit II, may represent another cellular mech-
anism to restore the electron flow balance. PBS detach-
ment would also explain the up-regulation of nblA to
degrade the non-functional PBSs. Transcriptional repres-
sion of genes involved in chlorophyll biosynthesis and elec-
tron flow distribution support biochemical measurements
of reduced chlorophyll-a pigment concentration and de-
creased photosynthetic yield measurements [7]. Transcripts associated with photosynthesis were sig-
nificantly up-regulated during FFA production. The
RNA polymerase sigma factor, sigD (Synpcc7942_0672),
had elevated expression; SigD is a light-inducible sigma
factor which activates transcription of psbA, the D1 pro-
tein of photosystem II (PSII) [18]. In agreement with the
elevated
sigD
transcript
levels,
a
PSII
D1
protein
(Synpcc7942_0893) showed enhanced expression. Many
other PSII proteins were up-regulated, including several
PSII D2 proteins (Synpcc7942_1637 and Synpcc7942_0655)
and the PSII reaction center protein N (psbN). In 3 out of
the 6 comparisons, transcript levels of the PBS degradation
protein, nblA, were significantly increased by an average of
4.37-fold. Up-regulated transcript expression More-
over, GroEL and other molecular chaperonins are required
for the insertion and stabilization of membrane proteins
and ribulose-1,5-bisphosphate carboxylase/oxygenase (Ru-
BisCO) assembly [17]. In a previous study [7], we observed
reduced growth rates and photosynthetic yields concomi-
tant with FFA production, which may result from im-
paired photosynthesis and carbon fixation, inactivation of
electron transport in the thylakoid membrane, or reduced
binding affinity of phycobilisomes (PBSs) to the thylakoid
membranes. As cyanobacterial photosynthesis, electron
transport, and light harvesting all involve integral mem-
brane or membrane-associated proteins, the groEL and
groES transcripts may be elevated in response to the low
activity of these membrane processes. Down-regulated transcript expression Phycobiliprotein levels, however, did not change
significantly in the FFA-producing cultures [7]. A potential solution to the issue of FFA toxicity is to
overexpress FFA export proteins, effectively removing the
toxic product from the intracellular space. Several efflux
pumps in E. coli, particularly TolC-AcrAB, have been
identified as potential FFA exporters, although increased
expression of these genes did not improve FFA production
in the E. coli host [19]. While there is no significant tolC
homolog in S. elongatus PCC 7942, a hydrophobe/amphi-
phile efflux protein (Synpcc7942_2369) was found to be
homologous to several E. coli efflux proteins including
acrA, acrB, acrD, acrF, mdtB, and mdtF. However, gene
expression of Synpcc7942_2369 was not significantly Another conserved response of transcriptional repres-
sion is associated with carbon metabolism. Specifically,
phosphoenolpyruvate (PEP) synthase was significantly
down-regulated an average of 3.87-fold in 5 of the 6 com-
parisons. PEP synthase catalyzes an energy-consuming re-
action, and reduced expression of this enzyme may serve
as a stress-induced mechanism for energy conservation. Page 6 of 15 Ruffing Biotechnology for Biofuels 2013, 6:113
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http://www.biotechnologyforbiofuels.com/content/6/1/113 Repression of PEP synthase also increases carbon flux
through the glycolysis pathway, which feeds into the
fatty acid biosynthesis pathway. Thus, the lower level of
fatty acids available for membrane biosynthesis, due to fatty
acid cleavage by the recombinant thioesterase, may cause
the cell to increase carbon flux through the fatty acid bio-
synthesis pathway via PEP synthase repression. A sodium-
dependent bicarbonate transporter showed an average
9-fold decrease in transcript level for 3 comparisons,
suggesting a decrease in photosynthetic carbon fixation,
and subsequently, a lower overall carbon flux may accom-
pany FFA production. Lastly, the long-chain-fatty-acid
CoA ligase or acyl ACP synthetase (aas) was also down-
regulated in comparisons B, C, and D. As you may re-
call, this gene was targeted for gene knockout in both
SE01 and SE02. Therefore, the reduced transcription of
aas in only comparisons of the wild type with the
engineered strains (i.e. B, C, and D) validates the data
processing
protocol
developed
for
the
RNA-seq
analysis. Repression of carbon metabolism in FFA-
producing cultures, as suggested by RNA-seq analysis,
may serve as yet another indicator of severe cellular
stress. Down-regulated transcript expression Genetic targets for improved FFA production Genetic targets for improved FFA production
In an effort to identify potential targets for reducing the
toxic effects of FFAs and improving FFA production, dif-
ferentially expressed genes were targeted for either gene
knockout or gene overexpression in SE02. SE02 was se-
lected as the host strain for these targeted mutations be-
cause aas deletion is required to prevent FFA recycling
and SE02 had increased physiological effects during FFA
production. The gene targets included hypothetical pro-
teins, ROS-degrading proteins, and possible FFA exporters
(Table 2). Nine hypothetical proteins were targeted which
showed differential gene expression in 4 of 5 comparisons
(excluding comparison F). The three hypothetical pro-
teins showing a significant increase in gene expression
were targeted for gene knockout while the six down-
regulated hypothetical proteins were overexpressed. These hypothetical protein mutants were expected to
have decreased FFA production if the gene target is in-
volved in either FFA production or FFA toxicity mitiga-
tion. Four
ROS-degrading
proteins,
2
glutathione
peroxidases, a superoxide dismutase, and catalase, were
also targeted for overexpression. As elevated ROS pro-
duction was found to correlate with FFA production
(Figure 1), these mutants were expected to show im-
proved FFA tolerance. Lastly, four potential FFA ex-
porters, 2 porins and 2 transport proteins, were targeted
for gene knockout. If these export proteins participate
in FFA export, the associated knockout mutants should
show reduced extracellular FFA concentrations and
possibly an increased toxic response to FFA production. Genes associated with hydrogen metabolism had re-
duced transcript levels during FFA production. The genes
encoding the hydrogenase accessory proteins, hypE and
hypD, were repressed in multiple comparisons (Additional
file 1: Table S2). Transcriptional changes in hydrogen me-
tabolism were not expected due to the fact that hydrogen
biosynthesis is predominantly active only under anaerobic
conditions as a result of the inhibitory effect of oxygen
[22]. The hydrogenase in S. elongatus PCC 7942 (hoxEF
and hoxUYH), however, is a bidirectional hydrogenase
with undetermined physiological function. Proposed func-
tions for this hydrogenase includes the delivery of elec-
trons into respiratory complex I and the regulation of
photosynthetic
electron
flow
[23]. Repression
of
hydrogenase-associated genes may therefore result from
the reduced electron flow in PSII due to FFA production,
as evidenced by low photosynthetic yields [7]. Out of the 17 targeted mutants, 15 were successfully
constructed. Down-regulated transcript expression The knockout mutants for the hypothetical
proteins Synpcc7942_1561 and Synpcc7942_1023 could
not be obtained despite repeated transformation attempts,
indicating that these genes may be essential for cell
growth. The 15 constructed mutants were screened in
shake-flask experiments to determine the effect of the
targeted mutation on FFA production and cell physiology. For each mutant, 2 transformants were analyzed to ac-
count for biological variation. Additionally, SE02a was
constructed as a control by integrating the empty vector,
pSA, into SE02 at neutral integration site II (NSII). Many regulatory proteins were down-regulated across
multiple comparisons as well as genes associated with the
global signaling molecule, cyclic-di-guanosylmonophosphate
(c-di-GMP). Cellular c-di-GMP levels have been linked to
the regulation of a variety of cellular processes, including
cellular motility, virulence, heavy metal resistance, phage
resistance, cell-cell communication, photosynthesis, exo-
polysaccharide production, and biofilm formation [24]. The reduced expression of these c-di-GMP proteins was
almost exclusively associated with comparisons A and
B, suggesting that c-di-GMP plays a unique role in early
FFA production in SE02. Further exploration of the role
of c-di-GMP in FFA production may provide insight
into the increased toxicity observed in the SE02 strain. Significant changes in relative cell concentration oc-
curred most frequently for days 7, 10, and 13, following in-
duction of the recombinant proteins (Figure 2 A, C, and E). The hypothetical protein overexpression mutants S1655#2
and #5, S0122#4, S0900#1 and #2, and S1845#1, along
with the ROS-degrading protein overexpression mutants
S1656#1, S0801#1, S0437#1 and #2, and S1214#1, had
increased cell concentrations relative to SE02a after re-
combinant protein induction. Improved growth of the
hypothetical protein overexpression mutants was unex-
pected, as these genes were repressed during FFA produc-
tion. On the other hand, overexpression of ROS-degrading Ruffing Biotechnology for Biofuels 2013, 6:113
http://www.biotechnologyforbiofuels.com/content/6/1/113 Page 7 of 15 Page 7 of 15 Table 2 Differentially expressed genes in S. Down-regulated transcript expression elongatus PCC 7942 during FFA production selected for targeted
mutagenesis
Locus
Product
Average FC
Targeted Mutagenesis
Hypothetical Proteins
Synpcc7942_0444
hypothetical protein
3.27
Knockout
Synpcc7942_1561
hypothetical protein
2.67
Knockout
Synpcc7942_1023
hypothetical protein
2.15
Knockout
Synpcc7942_1476
hypothetical protein
−4.59
Overexpression
Synpcc7942_B2645
hypothetical protein
−7.35
Overexpression
Synpcc7942_1655
hypothetical protein
−2.98
Overexpression
Synpcc7942_0900
hypothetical protein
−2.92
Overexpression
Synpcc7942_B2632
hypothetical protein
−2.68
Overexpression
Synpcc7942_0122
hypothetical protein
−2.53
Overexpression
Synpcc7942_1845
hypothetical protein
−2.28
Overexpression
ROS-Degrading Proteins
Synpcc7942_1214
glutathione peroxidase
2.63
Overexpression
Synpcc7942_0801
superoxide dismutase
2.56
Overexpression
Synpcc7942_0437
glutathione peroxidase
2.54
Overexpression
Synpcc7942_1656
catalase/peroxidase HPI
−2.38
Overexpression
Potential FFA Exporters
Synpcc7942_2175
transport system substrate-binding protein
2.99
Knockout
Synpcc7942_1224
ABC-transporter membrane fusion protein
2.74
Knockout
Synpcc7942_1464
porin
2.33
Knockout
Synpcc7942_1607
porin; major outer membrane protein
2.16
Knockout
Average fold change (FC) values are calculated by averaging the fold change associated with differentially expressed genes under the 6 different comparisons of
high v. low FFA production. Table 2 Differentially expressed genes in S. elongatus PCC 7942 during FFA production selected for targeted
mutagenesis erentially expressed genes in S. elongatus PCC 7942 during FFA production selected for targeted 10, and 13) and enhanced FFA concentration (days 13, 16,
and 19). In addition, the correlation between relative cell
concentration and relative extracellular FFA concentration
does not always hold true. The porin knockout mutants,
Δ1464#2 and #5, showed increased relative extracellular
FFA concentration (Figure 2F) without having an improve-
ment in relative cell concentration (Figure 2E). The other
porin mutant Δ1607#3 also had improved FFA produc-
tion. Enhanced extracellular FFA concentration in the
Δ1464 and Δ1607 transformants suggests that these
porins may actually contribute to FFA uptake rather than
export. In general, only small improvements in relative
extracellular FFA concentrations were observed for the 15
mutants, yet by targeting these multiple genes in parallel,
further gains in FFA productivity may be realized. genes was expected to improve cellular stress resistance
and overall fitness; the enhanced relative cell concentrations
of the ROS-degrading mutants provide evidence to support
this theory. The knockout mutants Δ2175#1 and Δ1607#3
also had statistically significant increases in relative cell
concentration. As putative FFA exporters, these knockout
mutants were anticipated to have higher FFA toxicity and
therefore lower relative cell concentrations. Down-regulated transcript expression While relative
cell concentrations showed significant changes after induc-
tion, these differences were reduced over time, so that at
the end of cultivation (day 19), only a few mutants
maintained a significant deviation in relative cell concentra-
tion (Figure 2 A, C, E). Changes in relative extracellular FFA concentration were
found to correlate with the changes in relative cell concen-
tration for the hypothetical protein and ROS-degrading
protein overexpression mutants; the mutants showing in-
creased relative cell concentrations also had increased rela-
tive extracellular FFA concentrations (Figure 2 B and D). This relationship between relative cell concentration and
increased
extracellular
FFA
concentration
would
be
expected if the rate of FFA production was similar on a per
cell basis. Unexpectedly, however, there appears to be a
6 day delay between increased cell concentration (days 7, Photosynthetic yield measurements were analyzed to
serve as an estimate of overall cell physiology. For the con-
trol strain SE02a, photosynthetic yield declined severely
after induction at day 4, with photosynthetic yield measure-
ments approaching zero at day 7 (Figure 3). Hypothetical
protein overexpression mutants (S1655#2 and #5, S0122#4,
and S0900#2), ROS-degrading protein overexpression mu-
tants (S1214#1, S0801#1, and S1656#1) and a porin knock-
out mutant (Δ1464#2) all showed significantly elevated Ruffing Biotechnology for Biofuels 2013, 6:113
http://www.biotechnologyforbiofuels.com/content/6/1/113 Page 8 of 15 A
B
C
D
E
F
Figure 2 Cell concentration and extracellular FFA concentration of targeted mutants relative to the control strain, SE02a. (A) relative
cell concentration of mutants overexpressing hypothetical proteins; (B) relative extracellular FFA concentration of mutants overexpressing
hypothetical proteins; (C) relative cell concentration of mutants overexpressing ROS-degrading proteins; (D) relative extracellular FFA
concentration of mutants overexpressing ROS-degrading proteins; (E) relative cell concentration of knockout mutants; (F) relative extracellular FFA
concentration of knockout mutants. Knockout mutants include one hypothetical protein mutant (Δ0444) and 4 putative transport proteins
(Δ2175, Δ1224, Δ1464, and Δ1607). Data are averages of 3 biological replicates with error bars indicating the standard deviation of these
measurements, with a few exceptions: Due to strain instabilities, mutants SB2632#1 and S1476#1 have only 2 biological replicates, and mutants
SB2632#2 and S1656#2 have only 1 biological replicate. The dashed line at y = 1 indicates no change relative to the control, SE02a. Down-regulated transcript expression An asterisk (*) above the data for day 7 indicates that difference between the control (SE02a) and
mutant strain was determined to be statistically significant by ANOVA analysis (see Table S7 in Additional data file 3 for calculated p-values). photosynthetic yields at day 7, ranging from 0.3 to 0.4
(Figure 3). Not surprisingly, these mutants also had in-
creased relative cell concentrations and relative extra-
cellular FFA concentrations, with the exception of
Δ1464#2, which had increased relative extracellular FFA
concentrations but no change in relative cell concentra-
tion (Figure 2). The general positive correlation between
the three measured parameters of cell concentration, extra-
cellular FFA concentration, and photosynthetic yield sug-
gests that the corresponding genetic targets are involved in
cellular defense mechanisms for FFA toxicity. While the
ROS-degrading proteins are involved in well-known stress
response mechanisms [10], the identification of 3 hypothet-
ical proteins (Synpcc7942_1655, Synpcc7942_0122, and
Synpcc7942_0900) and 2 porin proteins (Synpcc7942_1464
and Synpcc7942_1607) that counteract the toxic effects of
FFA production provides new targets for improving cyano-
bacterial FFA production. nitrogen metabolism genes was highly conserved among
stress conditions, with 80% and 83% of stress response
and nitrogen metabolism genes up-regulated during FFA
production having at least one matching up-regulated
stress homolog (Additional file 2: Table S3). Interestingly,
the transcriptional response to nitrogen limitation in
Synechococcus sp. PCC 7002 did not show any significant
changes in genes associated with nitrogen metabolism
[26], suggesting that the activation of nitrogen metabolism
may be post-translational. The down-regulation of carbon
and hydrogen metabolic genes was conserved among the
cyanobacterial stress responses, with 80% and 100% of car-
bon and hydrogen metabolism genes repressed during
FFA production having at least one corresponding homo-
log among the other stress conditions (Additional file 2:
Table S4). This provides further evidence that S. elongatus
PCC 7942 is highly stressed during FFA production, and it
also suggests that conserved stress response mechanisms
exist among cyanobacteria. g y
Genetic targets for improving FFA production in
S. elongatus PCC 7942 include both general stress re-
sponse genes as well as response mechanisms that may
be specific for FFA-induced stress. Stress response
genes that were highly conserved across the cyanobac-
terial transcriptomic studies also had high fold change
values. Down-regulated transcript expression In particular, two genes were differentially regulated
in 13 of the compared stress conditions: the high light in-
ducible protein (Synpcc7942_1997, average +11.47 fold
change) and a hypothetical protein (Synpcc7942_0551,
average −4.52 fold change). Another 4 genes were up-
regulated in 11 or 12 of the stress conditions: the heat shock
protein Hsp20 (Synpcc7942_2401, average +102.59 fold
change), the NAD(P)H-quinone oxidoreductase subunit 4
(Synpcc7942_1439, average +10.54 fold change), RNA poly-
merase sigma factor SigD (Synpcc7942_0672, average +4.22
fold change), and Beta-Ig-H3/fasciclin (Synpcc7942_1606,
average +12.44 fold change). These 6 genes are candidate
targets for boosting the native stress response mechanisms
of S. elongatus PCC 7942. The hypothetical protein and
porin genes identified from targeted mutagenesis in the pre-
vious section were also investigated in this comparative
transcriptomics analysis. Out of the 3 hypothetical pro-
tein
targets
(Synpcc7942_1655,
Synpcc7942_0122,
and
Synpcc7942_0900), Synpcc7942_1655 was the only gene
without homologs in Synechococcus sp. PCC 7002 and
Synechocystis sp. PCC 6803. Both Synpcc7942_0122 and
Synpcc7942_0900 had homologs in the other cyanobacterial Down-regulated transcript expression An asterisk (*)
following the mutant strain name in the legend indicates that difference between the control (SE02a) and mutant strain was determined to be
statistically significant by ANOVA analysis (see Table S7 in Additional file 3 for calculated p-values). A B B C D D F E ncentration and extracellular FFA concentration of targeted mutants relative to the control strain, SE02a. (A) relativ Figure 2 Cell concentration and extracellular FFA concentration of targeted mutants relative to the control strain, SE02a. (A) relative
cell concentration of mutants overexpressing hypothetical proteins; (B) relative extracellular FFA concentration of mutants overexpressing
hypothetical proteins; (C) relative cell concentration of mutants overexpressing ROS-degrading proteins; (D) relative extracellular FFA
concentration of mutants overexpressing ROS-degrading proteins; (E) relative cell concentration of knockout mutants; (F) relative extracellular FFA
concentration of knockout mutants. Knockout mutants include one hypothetical protein mutant (Δ0444) and 4 putative transport proteins
(Δ2175, Δ1224, Δ1464, and Δ1607). Data are averages of 3 biological replicates with error bars indicating the standard deviation of these
measurements, with a few exceptions: Due to strain instabilities, mutants SB2632#1 and S1476#1 have only 2 biological replicates, and mutants
SB2632#2 and S1656#2 have only 1 biological replicate. The dashed line at y = 1 indicates no change relative to the control, SE02a. An asterisk (*)
following the mutant strain name in the legend indicates that difference between the control (SE02a) and mutant strain was determined to be
statistically significant by ANOVA analysis (see Table S7 in Additional file 3 for calculated p-values). Ruffing Biotechnology for Biofuels 2013, 6:113
Page 9 of 15
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http://www.biotechnologyforbiofuels.com/content/6/1/113 g
gy
,
http://www.biotechnologyforbiofuels.com/content/6/1/113 Figure 3 (See legend on next page.) Figure 3 (See legend on next page.) Ruffing Biotechnology for Biofuels 2013, 6:113
http://www.biotechnologyforbiofuels.com/content/6/1/113 Ruffing Biotechnology for Biofuels 2013, 6:113
http://www.biotechnologyforbiofuels.com/content/6/1/113 Page 10 of 15 (See figure on previous page.)
Figure 3 Photosynthetic yield measurements for the targeted mutants: (A) hypothetical protein overexpression mutants; (B)
ROS-degrading protein overexpression mutants; (C) knockout mutants, including include one hypothetical protein mutant (Δ0444) and
4 putative transport proteins (Δ2175, Δ1224, Δ1464, and Δ1607). Data are averages of 3 biological replicates with error bars indicating the
standard deviation of these measurements. Comparative transcriptomics identifies cyanobacterial
stress response genes In an attempt to determine which genes are involved in
general cyanobacterial stress responses, the differentially
expressed genes for FFA production identified in this study
were compared to differentially expressed genes from previ-
ous studies investigating cyanobacterial stress responses. Specifically, Synechococcus sp. PCC 7002 transcriptome
studies of temperature, oxidative, salt, and nutrient limita-
tion (CO2, nitrogen, sulfur, phosphorous, and iron) stresses
[25,26] were evaluated along with Synechocystis sp. PCC
6803 studies which analyzed transcriptional responses to
temperature, oxidative, salt, osmotic, and ethanol stresses
[27-34]. Homologous genes between S. elongatus PCC
7942, Synechococcus sp. PCC 7002, and Synechocystis sp. PCC 6803 were identified, as described in the Materials and
Methods section, to facilitate the comparison. Many differ-
entially expressed genes associated with FFA toxicity in
S. elongatus PCC 7942 corresponded to homologs of differ-
entially expressed genes in these previous stress studies
(Additional file 2: Tables S3 and S4). Overall, the transcrip-
tional response to FFA production in S. elongatus PCC
7942 was most similar to the heat stress response in
Synechococcus sp. PCC 7002, with nearly 26% of the differ-
entially transcribed genes associated with FFA toxicity hav-
ing differentially expressed homologs in the heat stress
study. Among the functional categories for differentially
expressed genes, up-regulation of stress response and Page 11 of 15 Ruffing Biotechnology for Biofuels 2013, 6:113
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http://www.biotechnologyforbiofuels.com/content/6/1/113 Page 11 of 15 species that were differentially expressed under other stress
conditions, with down-regulation in 8 and 5 of the other
stress conditions, respectively. Therefore, Synpcc7942_1655
may be a unique stress response gene in S. elongatus PCC
7942 or perhaps a response specific to FFA production,
while Synpcc7942_0122 and Synpcc7942_0900 are likely in-
volved in general stress response. The two porin targets,
Synpcc7942_1464 and Synpcc7942_1607, were also differ-
ential expressed in the other cyanobacterial strains, showing
up-regulation in 8 of the other stress conditions. The 9
genes identified through targeted mutagenesis and the 6
additional stress genes identified through this comparative
transcriptomics analysis will be candidate targets for future
improvement in cyanobacterial FFA production and general
stress response. FFA toxicity via membrane intercalation. The processes
and genes identified in this RNA-seq analysis are potential
targets for improving the physiology of S. elongatus PCC
7942 during FFA production. Genetic targets for addressing FFA toxicity in FFA-
producing S. Conclusions This study investigated two proposed mechanisms of FFA
toxicity in cyanobacteria: UFA reactivity with ROS to pro-
duce toxic compounds and the intercalation of FFAs
in cellular membranes. Elevated ROS levels in FFA-
producing strains of S. elongatus PCC 7942 confirmed the
presence of intracellular ROS, and based on the known re-
active properties of UFAs and ROS [35], UFA degradation
is anticipated. However, the amount of UFA degradation is
unknown as well as the degree to which the degradation
products cause cellular damage. In addition, the experi-
mental results suggest that ROS generation is itself a result
of FFA production, as the wild type does not have elevated
ROS levels. This indicates that another mechanism of FFA
toxicity causes cellular stress, leading to ROS generation. The FFA-producing strains also have increased cell mem-
brane permeability, providing evidence to support the
mechanism of FFA intercalation. In agreement with this,
previous biochemical and imaging experiments showed
reduced photosynthetic yields and dissociation of PBSs
from the thylakoid membranes [7]. While further explor-
ation of these mechanisms is necessary, these preliminary
results point to FFA intercalation as a primary mechanism
of intracellular FFA toxicity. Comparative transcriptomics identifies cyanobacterial
stress response genes elongatus PCC 7942 were identified from
the RNA-seq analysis, targeted mutagenesis experi-
ments, and comparative transcriptomics analysis. Differ-
entially expressed hypothetical proteins, ROS-degrading
proteins, and potential FFA transporters were targeted to
generate 15 mutant strains. The overexpression of ROS-
degrading proteins improved cell growth, physiology, and
FFA production, presumably due to ROS degradation and
the subsequent reduction in cellular damage. Gene knock-
out of the two porin proteins (Synpcc7942_1464 and
Synpcc7942_1607) improved FFA production and cellular
physiology without significantly affecting cell growth. These porin proteins may therefore participate in FFA up-
take rather than export. The overexpression of 3 hypothet-
ical proteins (Synpcc7942_1655, Synpcc7942_0122, and
Synpcc7942_0900) also improved cell growth, physiology,
and FFA production. In addition to these genetic targets
specific to FFA production, comparative transcriptomics
of cyanobacterial stress responses identified potential tar-
gets for improving cellular stress response in general. These conserved stress response targets include a high
light-inducible protein (Synpcc7942_1997), a hypothetical
protein (Synpcc7942_0551), heat shock protein Hsp20
(Synpcc7942_2401),
NAD(P)H-quinone
oxidoreductase
subunit 4 (Synpcc7942_1439), RNA polymerase sigma fac-
tor SigD (Synpcc7942_0672), and Beta-Ig-H3/fasciclin
(Synpcc7942_1606). By targeting these stress response
genes along with the targets confirmed in the targeted
mutagenesis investigation, the physiological stress associ-
ated with FFA toxicity may be alleviated in FFA-producing
strains of S. elongatus PCC 7942. By overcoming the
physiological effects of FFA production, higher FFA pro-
ductivities may be attained, advancing the development of
cyanobacterial based biofuels. Mutant strain construction From RNA-seq analysis of 7942, SE01, and SE02, gene tar-
gets were identified as those being differentially expressed
during FFA production with statistical significance among
the biological replicates. Select genes were targeted for ei-
ther gene knockout or gene overexpression in SE02. The
knockout plasmid, pSK, was constructed from pSA, a
plasmid previously used for gene expression and integra-
tion into NSII of S. elongatus PCC 7942 [7]. The 5′ and 3′
NSII regions of pSA were removed sequentially by SacI
and AvrII digestion and ligation to generate pSK. The
knockout plasmids for each gene target were then
constructed by inserting approximately 500 bp fragments
of the 5′ upstream and 3′ downstream regions into the
SacI and AvrII sites of pSK (see Additional file 3: Table S6
for
primers). The
subsequent
knockout
plasmids
(Additional file 3: Table S5) were transformed into SE02
using the protocol described in [7]. Gene knockout was
confirmed by PCR amplification of the target gene region
using the 5′ forward and 3′ reverse primers (Additional
file 3: Table S6). The pSA plasmid was used for gene
overexpression and integration into NSII. The target genes
were amplified using the primers listed in Additional file
3: Table S5 and inserted into the KpnI and AflIII sites of
pSA. Successful cloning and integration of the target genes
in the overexpression plasmid was confirmed using PCR
with a forward primer homologous to the upstream pro-
moter sequence of pSA (psacF, Additional file 3: Table S6)
and
the
reverse
primer
of
the
target
gene. The
overexpression plasmids were transformed into SE02
using the protocol outlined in [7], and successful integra-
tion was confirmed by amplification of NSII (NSII5F/
NSII3R) and the promoter-gene fragment (psacF/geneR)
(Additional file 3: Table S6). In total, 7 knockout muta-
nts and 10 overexpression mutants were constructed
(Additional file 3: Table S5). SE02a was constructed as the
control strain by inserting the empty vector, pSA, into the
NSII site of SE02. The large-scale FFA production experiments were
used for obtaining samples for RNA-seq analysis. For
these experiments, a second inoculum was prepared by
adding 1 mL of the test tube inoculum to a 500 mL baf-
fled Erlenmeyer flask containing 100 mL of BG-11
medium and antibiotics as appropriate. These larger in-
oculums were grown for approximately 4 days under the
aforementioned growth conditions. Cultivation conditions
All
i All strains were grown at 30 °C with shaking at 150 rpm
and approximately 60 μmol photons m-2 s-1 illumination
from alternating cool white and plant fluorescent lights. Cells were transferred from BG-11/agar plates, supple-
mented
with
antibiotics
(40
μg/mL
spectinomycin
dihydrochloride pentahydrate (Sp) and 50 μg/mL kana-
mycin monosulfate (Km)) as appropriate, to test tubes
containing 4 mL of liquid media. After 5 to 7 days of
growth, these test tube cultures were used as inoculums
for both the large-scale FFA production experiments and
the small-scale mutant screening experiments. Materials and methods
Materials and strains Through examining the transcriptional response of
S. elongatus PCC 7942 to FFA production, natural mecha-
nisms for alleviating FFA toxicity were identified. These
mechanisms included the activation of genes contributing
to general stress response, nitrogen metabolism, PSII
photosynthesis, and protein folding as well as repression
of genes involved in PSI photosynthesis and carbon and
hydrogen metabolisms. Many of these cellular responses
were expected, as they agree with the ‘core transcriptional
response’ (CTR) genes determined for stress response in
Synechocystis sp. PCC 6803 [36]. The differential expres-
sion of genes affecting electron transport, including PSI
and PSII genes along with hydrogenase associated genes,
provides additional evidence supporting the mechanism of Chemicals used in this study were purchased from Sigma-
Aldrich (spectinomycin dihydrochloride pentahydrate and
2′,7′-dichlorodihydrofluorescein
diacetate
(H2DCFDA),
MP Biomedicals (ferric ammonium citrate, zinc sulfate
heptahydrate, and cupric sulfate pentahydrate), Acros Or-
ganics (sodium molybdate(VI) dihydrate and cobalt(II) ni-
trate hexahydrate), Gold Biotechnology (isopropyl-β-D-
thiogalactopyranoside: IPTG), Invitrogen/Life Technolo-
gies (SYTOX) and Fisher Scientific (all other chemicals). DNA purification kits used in strain construction include
the Zyppy Plasmid Miniprep Kit and Zymoclean Gel DNA
Recovery Kit (Zymo Research Corporation). Enzymes used Ruffing Biotechnology for Biofuels 2013, 6:113
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http://www.biotechnologyforbiofuels.com/content/6/1/113 Page 12 of 15 mutant strains SB2632#1 and S1476#1 have only 2 bio-
logical replicates, and SB2632#2 and S1656#2 mutant
strains have only 1 biological replicate for the relative cell
concentration and relative extracellular FFA concentration
measurements. in cloning include DNA polymerases (Taq, LongAmp Taq,
and Phusion High-Fidelity), restriction enzymes, and T4
DNA ligase from New England Biolabs. Primers were syn-
thesized by Integrated DNA Technologies. Kits for FFA
quantification and RNA isolation are described below. All
strains and plasmids used in this study are listed in
Additional file 3: Table S5. RNA preparation, library construction, and cDNA
sequencing RNA was extracted from 50 mL of culture using the
protocol described in [15]. RNA concentration was mea-
sured in diluted RNA samples using the Quant-iT
RiboGreen RNA Reagent and Kit (Invitrogen/Life Tech-
nologies), and RNA quality was assessed using an RNA
6000 Nano Kit (Agilent) and an Agilent 2100 Bioanalyzer. The Ribo-Zero rRNA Removal Kit for Gram-Negative
Bacteria (Epicentre) was used to reduce the amount of
ribosomal RNA (rRNA) in each sample, and the rRNA-
depleted samples were purified using the RNA Clean &
Concentrator – 25 Kit from Zymo Research. RNA concen-
tration and quality were assessed again after rRNA re-
moval. The RNA samples were stored at −80°C and sent
to Los Alamos National Laboratory for library construc-
tion and cDNA sequencing. TruSeq RNA Sample Prepar-
ation Kits (Illumina) were used for library construction,
and the libraries were sequenced using the Illumina HiSeq
2000. A total of 17 samples were analyzed across 3 lanes
of the HiSeq 2000. This includes 3 strains (7942, SE01,
SE02) at 2 different time points (day 4 and day 12) with 3
biological replicates. One replicate sample for the SE02
strain at 100 h was eliminated due to low RNA yields after
rRNA removal. Single-cell analysis was used to measure the levels of
ROS and cell membrane permeability in each culture. For
ROS
analysis,
0.5
mL
of
culture
was
mixed
with
H2DCFDA at a final concentration of 350 μM with 10 μL
of dimethyl sulfoxide (DMSO) to permeabilize the cell
membrane for dye uptake. The mixture was incubated
under culture conditions for 1 hour to allow for dye diffu-
sion and ROS-mediated activation. The culture was di-
luted and analyzed using an Accuri C6 flow cytometer. For each measurement, 20,000 cells were analyzed, and
cells with an increased fluorescence emission at 533 nm
were determined to be positive for ROS. To measure cell
membrane permeability, SYTOX Green Nucleic Acid
Stain (Invitrogen/Life Technologies) was added to 0.3 mL
culture samples to a final concentration of 300 nM. After
20 min of incubation in the dark at room temperature, the
dyed cultures were analyzed using flow cytometry. Ap-
proximately 20,000 cells were measured for fluorescence
emission at 533 nm, and an increase in fluorescence inten-
sity at this wavelength was indicative of positive SYTOX
staining (i.e. membrane permeable cells). Mutant strain construction These cultures were
added to 1 L media bottles containing 400 mL of BG-11
media so that the optical density at 730 nm (OD730) was
approximately 0.15. No antibiotics were added to the
final experimental cultures to reduce any effects of the
antibiotics on the experimental results. The large-scale
cultures were grown under the previously described con-
ditions and bubbled with air and 1% CO2. Additional
setup information can be found in [7]. Thioesterase
(‘tesA) expression was induced by the addition of 0.1 M
isopropyl β-D-1-thiogalactopyranoside (IPTG) to a final
concentration of 1 mM after approximately 4 days of
growth. Samples were taken every 2 days for analysis of
growth (OD730), photosynthetic yield (Fv’/Fm’), and FFA
concentration. Every 4 days, samples were taken for
measurement of ROS levels and cell membrane perme-
ability. Samples for RNA-seq analysis were taken before
induction (day 4) and 8 days after induction (day 12). Three biological replicates were performed for each
large-scale experiment. Small-scale experiments were conducted to screen the
7 knockout and 10 overexpression mutants. For each
mutant strain, two transformed colonies were selected
for screening to account for possible variation among
the transformants. This was particularly important for
the overexpression mutants, which may have tested posi-
tive for PCR amplification of the inserted gene but could
have had a mutation effecting gene expression. For the
small-scale screening experiments, 1 mL of the test tube Strain stability was an issue for several of the mutant
strains. Specifically, the hypothetical protein overexpression
mutants SB2632#1, SB2632#2, and S1476#1 and the ROS-
degrading protein overexpression mutant S1656#2 showed
reduced viability after sub-culturing. With repeated rounds
of sub-culturing on solid media, these mutant strains had
reduced colony growth, and following 3 to 4 rounds of re-
plating, these strains were no longer viable. As a result, the Page 13 of 15 Ruffing Biotechnology for Biofuels 2013, 6:113
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http://www.biotechnologyforbiofuels.com/content/6/1/113 significant variation between the control strain SE02a
and the targeted mutants, two-factor ANOVA analyses
with replicates were performed for relative OD730 mea-
surements (days 7 – 19) and relative FFA concentration
(days 10 – 19). For the photosynthetic yield data, single
factor ANOVA analyses were applied to the measure-
ments from day 7, comparing the control (SE02a#1 and
SE02a#3) and mutant data. Physiological measurements Bulk spectroscopic measurements were taken to assess
cell growth, photosynthetic yield, and extracellular FFA
concentration. Cell growth was estimated by measuring
the optical density at 730 nm (OD730) using a PerkinElmer
Lambda Bio spectrophotometer. A linear calibration curve
relating OD730 and gDCW was obtained previously [7]. Photosynthetic yield was measured using a Waltz MINI-
PAM Photosynthetic Yield Analyzer, and the reported Fv’/
Fm’ values are averages of 3 technical replicate measure-
ments. To measure extracellular FFA concentration,
0.5 mL of culture was centrifuged at 5000 x g for 3 min. The supernatant was transferred to a new tube and fro-
zen at −20 °C until analysis. FFA concentration was ana-
lyzed using the Free Fatty Acid Quantification Kit from
Biovision, as described previously [7]. Mutant strain construction Mutant strains with statisti-
cally significant (p < 0.05) changes relative to the control
are indicated in Figures 2 and 3. The calculated p-values
from the ANOVA analyses are listed in Table S7
(Additional file 3). The ANOVA analyses were con-
ducted using the Analysis TookPak add-in in Microsoft
Office Excel 2010. inoculum was added to 25 mL of BG-11 medium in a
125 mL baffled Erlenmeyer flask. After 4 days of growth,
cultures were induced by adding IPTG to a final concen-
tration of 1 mM. Samples were taken every 3 days to
measure growth (OD730), photosynthetic yield (Fv’/Fm’),
and FFA concentration. Three biological replicates were
performed for each small-scale experiment. RNA preparation, library construction, and cDNA
sequencing Both ROS detec-
tion and cell membrane permeability are reported as the
percentage of the cell population with positive staining. RNA-seq data analysis A total of 524 million reads corresponding to 52.9 billion
bases of sequence data were generated from the 17 RNA
samples. After sequencing, the de-multiplexed data files
for each sample were analyzed using FastQC v 0.10.1
[37]. The average Phred quality score per read was 36,
indicating high sequence quality. The quality check also
revealed several issues with the read data which were
addressed by additional data processing steps. First,
adapter sequences were found to be prevalent among
the sample reads, despite the fact that data had been de-
multiplexed using the Illumina software. Cutadapt 1.0
[38] was used to remove these persistent adapter Statistical data analyses for each reference using either supplemental material or
tables provided in the publications [25-33,43]. These dif-
ferentially expressed genes were compared to the list of
differentially expressed genes in S. elongatus PCC 7942
during FFA toxicity (determined in this study) using the
list of homologs generated from MBGD and a Perl script
generated for this comparison. sequences and to remove nucleotides with low quality
scores (phred < 20). FastQC also identified an abundance
of polyA/T sequences at the read ends. These polyA tails
may be indicative of a cyanobacterial mechanism for
transcript degradation [39]. Therefore, terminal polyA/T
sequences were removed from the reads using Prinseq
[40] to improve read alignment. Prinseq was also used to
remove any reads less than 20 nucleotides. Bowtie v
0.12.7 [41] was used to align the reads to the S. elongatus
PCC 7942 genome index. The genome index was
constructed using 3 NCBI files: NC_007604.fna for the
S. elongatus PCC 7942 chromosome, NC_007595.fna for
plasmid 1, and NC_004990.fna for pUH24. If the Bowtie
alignment was restricted to only uniquely mapped reads (i. e. any read aligning to more than one region of the gen-
ome is discarded), there was a significant reduction in the
number of aligned reads, with more than 96% of the total
reads being discarded in the most severely affected sample. As a result, the best alignment for each read was selected,
and no reads were discarded due to multiple alignments
to the reference genome. The SAM files constructed by
Bowtie were submitted to HTSeq v. 0.5.3p3 to obtain raw
counts for each predicted gene feature in the S. elongatus
PCC 7942 genome. Raw counts for each sample are shown
in Additional file 4. These feature counts were then ana-
lyzed by EdgeR for differential gene expression analysis. EdgeR
includes
3
normalization
methods:
weighted
trimmed mean of M-values (TMM), relative log expres-
sion (RLE), and upperquartile normalization [42]. All three
normalization methods were applied separately, and the
results for each gene feature were combined and averaged. There was good agreement of the differentially expressed
genes between the three methods of normalization. EdgeR
uses Fisher’s exact test to compute p-values for the calcu-
lated fold changes. Fold changes with p-values < 0.05 were
considered
to
be
statistically
significant. Raw
and
processed data from this RNA-seq study was deposited in
Gene Expression Omnibus (Accession #: GSE45762). Acknowledgements This work was supported by the Harry S. Truman Fellowship in National
Security Science and Engineering and the Laboratory Directed Research and
Development program. Sandia is a multi-program laboratory operated by
Sandia Corporation, a Lockheed Martin Company, for the United States
Department of Energy under Contract DE-ACO4-94AL85000. Next-gen
sequencing for the RNA-seq analysis was performed at Los Alamos National
Laboratory. The author is grateful to Dr. James Laio (University of California,
Los Angeles) and Dr. Susan Golden (University of California, San Diego) for
providing plasmids pSA126 and pAM2991. The author would also like to
acknowledge Bryan Carson for the use of laboratory equipment. Received: 25 April 2013 Accepted: 25 July 2013
Published: 6 August 2013 Statistical data analyses To determine the statistical significance of the relation-
ships
between
measured
variables,
a
single
factor
ANOVA was performed. The resulting p-values are
reported in the text along with the R2 value associated
with a linear regression analysis. To confirm statistically Ruffing Biotechnology for Biofuels 2013, 6:113
http://www.biotechnologyforbiofuels.com/content/6/1/113 Ruffing Biotechnology for Biofuels 2013, 6:113
http://www.biotechnologyforbiofuels.com/content/6/1/113 Page 14 of 15 Page 14 of 15 sequences and to remove nucleotides with low quality
scores (phred < 20). FastQC also identified an abundance
of polyA/T sequences at the read ends. These polyA tails
may be indicative of a cyanobacterial mechanism for
transcript degradation [39]. Therefore, terminal polyA/T
sequences were removed from the reads using Prinseq
[40] to improve read alignment. Prinseq was also used to
remove any reads less than 20 nucleotides. Bowtie v
0.12.7 [41] was used to align the reads to the S. elongatus
PCC 7942 genome index. The genome index was
constructed using 3 NCBI files: NC_007604.fna for the
S. elongatus PCC 7942 chromosome, NC_007595.fna for
plasmid 1, and NC_004990.fna for pUH24. If the Bowtie
alignment was restricted to only uniquely mapped reads (i. e. any read aligning to more than one region of the gen-
ome is discarded), there was a significant reduction in the
number of aligned reads, with more than 96% of the total
reads being discarded in the most severely affected sample. As a result, the best alignment for each read was selected,
and no reads were discarded due to multiple alignments
to the reference genome. The SAM files constructed by
Bowtie were submitted to HTSeq v. 0.5.3p3 to obtain raw
counts for each predicted gene feature in the S. elongatus
PCC 7942 genome. Raw counts for each sample are shown
in Additional file 4. These feature counts were then ana-
lyzed by EdgeR for differential gene expression analysis. EdgeR
includes
3
normalization
methods:
weighted
trimmed mean of M-values (TMM), relative log expres-
sion (RLE), and upperquartile normalization [42]. All three
normalization methods were applied separately, and the
results for each gene feature were combined and averaged. There was good agreement of the differentially expressed
genes between the three methods of normalization. EdgeR
uses Fisher’s exact test to compute p-values for the calcu-
lated fold changes. Fold changes with p-values < 0.05 were
considered
to
be
statistically
significant. Raw
and
processed data from this RNA-seq study was deposited in
Gene Expression Omnibus (Accession #: GSE45762). Comparative transcriptomics
ff
ll
d Differentially expressed genes associated only with
comparison
F
were
excluded
from
the
compara-
tive transcriptomics analysis. Comparison F (SE02 –
240 h:100 h) includes an increase in extracellular FFA
concentration but no change in FFA concentration on
a per cell weight basis. Furthermore, the differentially
expressed genes identified in comparison F suggest a
reduction in cellular stress levels, contrary to the other
5 comparisons. These reasons justify the exclusion of
comparison F. The Microbial Genome Database (MBGD)
for Comparative Analysis was used to identify homologs
among the three cyanobacterial species: S. elongatus PCC
7942, Synechococcus sp. PCC 7002, and Synechocystis sp. PCC 6803. Differential gene expression data were obtained Additional files The following additional data files are available with the
online version of this paper. Additional file 1: Table S1. Listing the genes up-regulated during FFA
production. Table S2, listing the genes down-regulated during FFA
production. Additional file 1: Table S1. Listing the genes up-regulated during FFA
production. Table S2, listing the genes down-regulated during FFA
production. Additional file 2: Table S3. Listing the up-regulated genes from the
comparative transcriptomics analysis. Table S4, listing the down-
regulated genes from the comparative transcriptomics analysis. Additional file 3: Table S5. Listing the strains and plasmids used in
this study. Table S6, listing the primers used in this study. Table S7,
listing the p-values for the ANOVA analyses. Additional file 3: Table S5. Listing the strains and plasmids used in
this study. Table S6, listing the primers used in this study. Table S7,
listing the p-values for the ANOVA analyses. Additional file 4: Contains the raw counts for each biological
sample analyzed using RNA-seq. Abbreviations ACP: Acyl carrier protein; c-di-GMP: Cyclic-di-guanosylmonophsophate;
CoA: Coenzyme A; FC: Fold change; FFA: Free fatty acid; gDCW: Grams of dry
cell weight; IPTG: Isopropyl β-D-1-thiogalactopyranoside; Km: Kanamycin
monosulfate; MBGD: Microbial genome database; NAD(P)H: Nicotinamide
adenine dinucleotide phosphate; NSII: Neutral integration site II;
PBS: Phycobilisome; PCR: Polymerase chain reaction; ACP: Acyl carrier protein; c-di-GMP: Cyclic-di-guanosylmonophsophate;
CoA: Coenzyme A; FC: Fold change; FFA: Free fatty acid; gDCW: Grams of dry
cell weight; IPTG: Isopropyl β-D-1-thiogalactopyranoside; Km: Kanamycin
monosulfate; MBGD: Microbial genome database; NAD(P)H: Nicotinamide
adenine dinucleotide phosphate; NSII: Neutral integration site II;
PBS: Phycobilisome; PCR: Polymerase chain reaction;
PEP: Phosphoenolpyruvate; PSI: Photosystem I; PSII: Photosystem II;
PUFA: Polyunsaturated fatty acid; RNA: Ribonucleic acid; ROS: Reactive
oxygen species; RuBisCO: Ribulose-1,5-bisphosphate carboxylase/oxygenase;
SE: Standard error; SFA: Saturated fatty acid; Sp: Spectinomycin
dihydrochloride pentahydrate; UFA: Unsaturated fatty acid. Competing interests
h
h
d
l
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• Convenient online submission
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• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
Submit your manuscript at
www.biomedcentral.com/submit Submit your next manuscript to BioMed Central
and take full advantage of: Submit your next manuscript to BioMed Central
and take full advantage of: Submit your next manuscript to BioMed Central
and take full advantage of:
• Convenient online submission
• Thorough peer review
• No space constraints or color figure charges
• Immediate publication on acceptance
• Inclusion in PubMed, CAS, Scopus and Google Scholar
• Research which is freely available for redistribution
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cyanobacterium Synechococcus sp. strain PCC 7002 to nutrient
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Problemática socioambiental de las lomas costeras de Lima: una revisión
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Zenodo (CERN European Organization for Nuclear Research)
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cc-by
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PROBLEMÁTICA SOCIOAMBIENTAL
DE LAS LOMAS
costeras de Lima: una revisión
Socioenvironmental problems of the coastal hills of Lima: a review
Carlos Alberto Alonso Quispe1
calonso1000@gmail.com
ORCID: https://orcid.org/0000-0002-3749-2366
RECIBIDO
ACEPTADO
PUBLICADO
Rosa Jesús Solórzano2
Pág. 18 - 28
[22/02/2021]
[16/03/2021]
[30/04/2021]
ARTÍCULOS DE INVESTIGACIÓN
rosa.jesus.s@upch.pe
ORCID: https://orcid.org/0000-0003-2338-0272
Economista por la Universidad Nacional del Callao.
Especialidad en Gestión Pública por la Universidad
Continental.
1
Bachiller en Biología por la Universidad Peruana Cayetano
Heredia.
2
RESUMEN
El presente trabajo tiene como objetivo identificar y desarrollar los principales problemas
socioambientales que aquejan a las lomas costeras de Lima, con la finalidad de generar información para luego plantear estrategias de mejora del estado de las lomas en la región,
las cuales son un importante ecosistema propio de América del Sur, hábitat de muchas especies endémicas de importancia cultural para la ciudad, como la Ismene amancaes. Si bien
es un tema que lleva muchos años haciéndose público a través de medios de comunicación,
aún no se toma la importancia debida del caso y eso se refleja en la poca cantidad de documentación científica publicada. Por ello, se decidió consultar diversas plataformas de revistas indexadas, tales como ScienceDirect, Wos, Scielo y Dialnet, en el rango que va de los
años 2008 a 2021; además, también se revisaron documentos publicados por entidades del
Estado, como Serfor y Minam, encontrando que las principales problemáticas radican en la
expansión urbana, el sobrepastoreo, la extracción de uso de suelo y la contaminación ambiental, descritas a lo largo del artículo. Además, se revisaron las actuales soluciones, como la
intervención del Estado, la formación de asociaciones voluntarias para el cuidado de lomas
o actuales proyectos de entidades como PNUD.
18
REVISTA DE CIENCIAS SOCIALES
Vol. 2, N.º 2, enero - abril 2021
Palabras clave
Lomas de Lima, Problemática,
Urbanización, Contaminación,
Sobrepastoreo, Sociedad Civil.
ABSTRACT
ARTÍCULOS DE INVESTIGACIÓN
The purpose of this study is to identify and develop the main socio-environmental problems affecting the coastal hills of Lima, in order to generate information and then propose
strategies to improve the state of the hills in the region, which are an important ecosystem
in South America, habitat of many endemic species of cultural importance to the city, such
as the Ismene amancaes. Although it is an issue that has been made public for many years
through the media, it has not yet been given due importance and this is reflected in the small
amount of scientific documentation published. Therefore, it was decided to consult various
platforms of indexed journals, such as ScienceDirect, Wos, Scielo and Dialnet, in the range
from 2008 to 2021; in addition, documents published by state entities, such as Serfor and
Minam, were also reviewed, finding that the main problems lie in urban expansion, overgrazing, extraction of land use and environmental pollution, described throughout the article. In addition, the current solutions were reviewed, such as the intervention of the State,
the formation of voluntary associations for the care of the hills or current projects of entities such as UNDP.
Keywords
Lomas de Lima, Problem,
Urbanization, Contamination,
Overgrazing, Civil Society.
INTRODUCCIÓN
Las lomas son ecosistemas únicos, muy singulares en el mundo y característicos del
desierto Pacífico, que se extiende desde
Illescas (departamento de Piura, a 6° L.S.)
hasta el norte de Chile (30º L. S.) (Rundel
et al., 1991). Se caracterizan por poseer un
entorno árido, que se debe a la sinergia de
tres anomalías: la Corriente de Humboldt,
el Anticiclón del Pacífico y la Cordillera de
los Andes (Castañeda, 2018; Kalicki y Kalicki, 2020).
Esta combinación de factores ya mencionados produce un clima estable y uniforme, con
presencia de neblinas, que es interceptado
por estribaciones andinas, generando zonas
de alta humedad que permiten el desarrollo
de formaciones vegetales llamadas lomas
19
(Nieuwland y Mamani, 2017). Las lomas se
asientan sobre las laderas orientadas hacia
el mar hasta los 1000 m s. n. m. con variaciones locales, a una mayor altitud la vegetación desaparece gradualmente, debido
al cese de la neblina producto de la inversión
térmica (Madrid y Cabanillas, 2020).
ARTÍCULOS DE INVESTIGACIÓN
Estos ecosistemas presentan estaciones
bien marcadas, la época de invierno se da de
mayo a octubre, debido a la condensación de
fuertes neblinas, esta época se caracteriza
por la presencia de lluvia fina, con valores de
40 a 100 mm/año (Municipalidad Metropolitana de Lima, 2014); asimismo, la humedad
relativa se encuentra entre un 80 a 100 %; y
la estación seca se da entre diciembre y marzo con una temperatura por encima de 25 °C
(Gamboa, 2019). Estos ecosistemas se caracterizan por presentar una marcada sucesión
en el desarrollo de la vegetación, debido a la
fuerte variación estacional (Minam, 2013).
La flora vascular y la fauna son diversas y
están caracterizadas por poseer un alto
número de especies endémicas, debido al
aislamiento geográfico. El 42 % de su flora
está conformada por especies endémicas
(Sotomayor y Jiménez, 2008). Por ejemplo,
la muy conocida flor de Amancaes o “flor de
Lima” Ismene amancaes (Coronel, 2017). La
mayoría de las especies de flora posee una
extraordinaria capacidad de supervivencia,
cuyas semillas conservan su poder germinativo durante años a pesar de ser sometidas
a condiciones adversas del entorno. A su
vez, las especies de fauna que habitan estos
lugares tienen características metabólicas
especiales, que les permiten sobrevivir en
condiciones extremas, como la poca disponibilidad de agua, alimento y temperaturas muy altas durante la estación seca
(Gamboa, 2019).
Una de las grandes contribuciones que
ofrece este ecosistema son los servicios
20
ecosistémicos de provisión, regulación, de
recreación y cultural (PNUD, 2018). Por
ejemplo, durante el invierno reverdecen y
fijan carbono de la atmósfera, la disponibilidad de agua para diversos usos, a través
de la captación de neblina (Gamboa, 2019).
Este ecosistema contempla recursos fitogenéticos que sirven de base biológica de
la seguridad alimentaria (Minam, 2017). Sin
embargo, estos ecosistemas presentan una
gran vulnerabilidad, debido a la afectación
de las actividades antrópicas, tales como
la expansión urbana, el sobrepastoreo, la
extracción insostenible de recursos, la contaminación ambiental y el mal manejo del
turismo local (Tabla 1). En el marco de la Ley
N.º 28611, Ley General del Medioambiente,
se considera a las lomas como ecosistemas
endémicos y algunas de ellas integran la
lista nacional de ecosistemas frágiles. A lo
largo de la costa peruana, existen 67 lomas
que abarcan 783 mil hectáreas que comprende planicies y partes bajas de los valles
costeros. En la costa norte hay 9, en la costa
central 23 y en la costa sur 35 (Romero et
al., 2018). Dentro de Lima se extienden alrededor de toda la ciudad (Fig.1).
En este trabajo se explora la literatura
científica en las bases de datos de ScienceDirect, Wos, Scielo y Dialnet, con la finalidad
de identificar y desarrollar los principales
problemas socioambientales que aquejan a
las lomas costeras de Lima.
METODOLOGÍA
Se realizó una búsqueda bibliográfica de
publicaciones científicas en revistas indexadas a través de diferentes plataformas, tales
ScienceDirect, Wos, Scielo y Dialnet; para
ello, se hicieron combinaciones de palabras,
como “Lomas” and “Problemática”, “Loma”
and “Biodiversidad”, y solo se revisaron
artículos en el rango de años que va del 2008
a 2021, dada la escasez en la información;
REVISTA DE CIENCIAS SOCIALES
Vol. 2, N.º 2, enero - abril 2021
asimismo, se revisaron documentos publicados por entidades del estado, como Servicio Nacional Forestal y de Fauna Silvestre
(Serfor), Ministerio del Ambiente (Minam) y
Servicio Nacional de Áreas Naturales Protegidas por el Estado (Sernanp). Finalmente,
para el desarrollo del marco legal, se recurrió
al Diario Oficial El Peruano, canal por el cual se
promulgan este tipo de documentos.
Principales problemáticas en las lomas
costeras de Lima
Expansión urbana
En el Perú, gran parte de la población se
centra en las zonas costeras. En la capital,
Lima, el porcentaje de la población que vive
en asentamientos humanos ilegales fue aumentando con el tiempo. En 1956 era del
8 % y para 1989 ya era del 38 % (Newman,
2019). El proceso continuo de expansión
urbana ha ocasionado la alteración de los
límites y dimensiones de muchas lomas,
afectando la cobertura vegetal, disminuyendo la cantidad y calidad del agua y del
suelo (Soria y Romo, 2019).
Un ejemplo notable de este proceso es lo
que sucede con las lomas de Amancaes,
amenazadas por la expansión urbana que
viene desarrollándose de manera desordenada, debido a las poblaciones urbana
de Independencia, Rímac y San Juan de
Lurigancho, que poco a poco han construido viviendas y carreteras que han fragmentado el paisaje, afectado la extensión,
cobertura vegetal y diversidad florística de
muchas especies que están bajo algún grado de amenaza (Soria y Romo, 2019; Gálvez,
Sobrepastoreo
La cría de vacunos, caprinos y equinos es una
de las actividades más recurrentes de las
comunidades que circundan las lomas. Esto
comenzó con la conquista española, ya que
consigo trajeron nuevas especies de ganado
que consumen pastos a un ritmo muy acelerado, al mismo tiempo que la erosión del
suelo, debido a las pezuñas de estos. Es así
como nació un riesgo en el equilibrio natural
de estos frágiles oasis (Nieuwland y Mamani,
2017). Este tipo de actividad se puede visualizar a gran magnitud en la Reserva Nacional de Lachay, entre los meses de agosto y
noviembre, provocando la compactación y
degradación del suelo, e incidiendo gravemente en la deforestación y el incremento de
la erosión en las laderas (Cuba y Odar, 2018).
ARTÍCULOS DE INVESTIGACIÓN
La influencia del hombre sobre las lomas ha
sido significativa a lo largo del tiempo, ya
sea de forma positiva, debido a la dispersión
de semillas, o negativas, como lo que se va
detallar a lo largo de este artículo.
2019). Una de las especies que se ha visto
afectada es la Ismene amancaes, flor que dio
el nombre al cerro. Según los últimos inventarios florísticos, esta especie no ha vuelto
a ser encontrada en la loma de Amancaes
(Minagri, 2013).
En la Guía de Flora de las Lomas de Lima
(Lleellish et al., 2015) se describen las posibles
amenazas de la flora de las lomas, y muchas
de las especies descritas confirman que la
amenaza potencial es el sobrepastoreo. Es el
caso de la Alstroemeria lineatiflora, Puya ferruginea, Tetragonia crystallina, Rostraria trachyantha, Erigeron leptorhizon, Philoglossa peruviana,
Villanova oppositifolia y muchas especies más.
Lamentablemente, este tipo de actividad trae
como consecuencia la reducción de las lomas.
Extracción de recursos
La extracción de especies arbóreas agrava
aún más el proceso de deforestación, ya que
coloca en peligro de extinción a especies
endémicas como como el arrayán (Myrcianthes ferreyrae), y otras especies como la
21
tara (Caesalpinia spinosa), principal captador
de niebla en las lomas (Cordero et al., 2017;
Gonzales y Villasante, 2019).
ARTÍCULOS DE INVESTIGACIÓN
Una serie de documentos indican signos de
depredación de los recursos de las lomas. Entre ellas destacan las lomas de Atocongo, que
hoy se han reducido considerablemente en
su extensión (Nieuwland y Mamani, 2017).
La misma situación ocurre en las lomas de
Atiquipa, que en la actualidad han quedado
reducidas a parches de “arrayan” (Cordero
et al., 2017). De no regular este tipo de actividades, es evidente que las lomas estarán
condenadas a su progresiva desertificación,
dado que la vegetación arbórea intercepta la
niebla proveniente del océano, aumentando
la disponibilidad hídrica del ecosistema.
Contaminación ambiental y mal manejo
turístico
Un mal manejo del turismo local puede ocasionar contaminación y daño a la propiedad
cultural. El arrojo de residuos sólidos es una
constante permanente en estas zonas. Suele
ocurrir con mayor frecuencia en los meses
de julio a octubre, ya que en esos meses hay
una mayor afluencia de visitantes (Romero,
2016). Para citar unos ejemplos, el mencionado autor realizó un estudio en la Reserva
Nacional de Lachay, con la finalidad de evaluar el impacto turístico en el ecosistema,
concluyendo que el flujo de turistas a través
de los años impactó de manera negativa,
generando 5010 kg de residuos sólidos,
estando el 92 % de esta cantidad relacionada con esta actividad turística. Asimismo,
existieron denuncias de actos de vandalismo en las lomas de Lúcumo, ya que personas inescrupulosas dañaron el arte rupestre
con pinturas acrílicas y ralladuras con algún
material, además, se encontró restos de basura (botellas de gaseosa, bolsas, papeles,
etc.). El primer acto es un ejemplo del daño
cultural que la falta de educación provoca.
22
Otro ejemplo de contaminación, no necesariamente proveniente del turismo, sucede
en las lomas de Primavera (Carabayllo), que
ya de por sí es una de las zonas más críticas de Lima norte. Por irresponsabilidad
de la empresa Ingemedios, diariamente ingresan aproximadamente 45 toneladas de
desechos, deteriorando el ecosistema y poniendo en riesgo la salud pública (Montenegro y Deza, 2019). En estas mismas lomas,
Bernal (2019) afirmó que la informalidad
es el modo predominante de las empresas
mineras y son las que contaminan más, ya
que durante los procesos emiten material
particulado que es perjudicial tanto para las
lomas como para la comunidad alrededor.
Participación de la sociedad civil en la
conservación de las lomas
Debido a las constantes amenazas que sufren las lomas costeras, y el impacto que estas producen sobre su extensión, su diversidad biológica y las especies endémicas que
se encuentran bajo algún grado de amenaza (Municipalidad de Lima et al., 2019), es
necesario establecer planes de manejo, programas de conservación y políticas que permitan conservar y proteger estos ecosistemas únicos del desierto costero peruano.
Tal como señalan Trinidad et al. (2012), La sociedad civil ha jugado un rol muy importante
dentro de la conservación de las lomas, ya
que impulsan a que las personas se involucren con la naturaleza a través del ecoturismo y campañas como “Salvemos las lomas”,
que tienen la finalidad de sensibilizar sobre
el cuidado de estas (Centro Urbes, 2019).
En Lima Metropolitana existen alrededor
de ocho emprendimientos sociales de la
sociedad civil, preocupados y comprometidos con la conservación de las lomas (Tabla 1). Cada uno de estos emprendimientos
trabaja arduamente en la protección de las
REVISTA DE CIENCIAS SOCIALES
Vol. 2, N.º 2, enero - abril 2021
lomas de su distrito, a través de acciones
legales o denunciando a quienes perjudican
el ecosistema, o planificando y realizando
educación ambiental a través del turismo;
de esa forma, buscan espacios para tener
incidencia en tomadores de decisiones u organizando campañas de reforestación y de
limpieza (Kato,2018). Sin embargo, el traba-
jar de manera independiente, es decir, velando solo por las lomas de sus distritos, no
han logrado tener incidencia fuerte, por lo
que la mencionada autora sugiere la unión
de esta sociedad civil para crear una marca
que los ayude a recaudar fondos, y seguir
con las actividades de educación ambiental
y conservación.
Tabla 1.
Emprendimientos sociales que se dedican a velar por las lomas de Lima
Loma
Distrito
Asociación Circuito Ecoturístico Lomas de
Lúcumo
Lomas de Lúcumo
Pachacámac
Asociación Ecoturística Lomas del Paraíso
Lomas del Paraíso
Villa María del Triunfo
Comité Ecoturístico de las Lomas de
Mangomarca
Lomas de Mangomarca
San Juan de Lurigancho
Asociación Ecológica Lomas de Primavera
Carabayllo
Lomas de Primavera
Carabayllo
Carabayllo
Lomas de Amancaes
Rímac
Protectoras de la Flor y las Lomas de
Amancaes (Pafla)
Lomas de Amancaes,
Haz tu Mundo Verde
Instituto de Cultura, Historia y Medio
Ambiente (ICHMA)
Kusi Sonqo
Lomas del Mirador
San Juan de Lurigancho
Lomas de Mangomarca
San Juan de Lurigancho
Lomas de Mangomarca
San Juan de Lurigancho
Así también, existen programas grandes,
como el de las Naciones Unidas para el Desarrollo (PNUD), que actualmente vienen realizando el proyecto EbA Lomas, que busca
generar información y articular espacios para
la conservación de las lomas de Lima. Este
proyecto empezó en agosto del 2016 y finalizará en agosto del 2021. Tiene como meta
lograr alianzas interinstitucionales para la
conservación de lomas con 21 000 hectáreas
protegidas y la caracterización detallada de
14 de estas, además de promover la reducción
del 50 % de su degradación (PNUD, 2016).
La iniciativa de diferentes organizaciones
defensoras de las lomas ha impulsado a
ARTÍCULOS DE INVESTIGACIÓN
Asociación Local
las autoridades competentes a desarrollar
nuevos lineamientos para proteger a las lomas costeras.
Desde la legislación nacional, se considera a las lomas costeras como ecosistemas frágiles (Resolución Ministerial N.º
404-2013-Minagri, 2013). Asimismo, en
el 2019, en Lima Metropolitana, se crea el
Área de Conservación Regional-ACR (Tabla
2) (D. S. N.º 011-2019-MINAM, 2019) (Tabla 2), con la finalidad de conservar las lomas,
su diversidad biológica y el patrimonio cultural asociado.
23
Tabla 2.
Lomas que conforman el Área de Conservación Regional creada por la Municipalidad de Lima.
Área de Conservación
Regional (ACR)
Nombre de las Lomas
Distrito
Lomas de Ancón
Ancón
Lomas de Carabayllo 1
Ancón, Puente Piedra, Carabayllo
Lomas de Carabayllo 2
Carabayllo
Lomas de Amancaes
Rímac, Independencia, San
Juan de Lurigancho
Lomas de Villa María
Santiago de Surco, La Molina,
San Juan de Miraflores, Villa
María del Triunfo
ARTÍCULOS DE INVESTIGACIÓN
Fuente. Tomado de Municipalidad de Lima (2019)
El 13 de agosto del 2020, en medio de la
crisis sanitaria, se aprobó el Protocolo de
Actuación Interinstitucional para gestionar
y proteger los ecosistemas incluidos en la
Lista Sectorial de Ecosistemas Frágiles. Una
herramienta muy útil para los defensores
ambientales (D. S. N.º 007-2020-Minagri,
2020). Por otro lado, las municipales distritales, como la de Carabayllo, declararon de
interés público, patrimonial, cultural y de
protección paisajística, al ecosistema frágil
denominado Lomas de Primavera (Ordenanza N.º 397-2018-MDC, 2018).
CONCLUSIONES
Las lomas costeras son un importante ecosistema de la ciudad de Lima, dado que tienen relación cultural y socioambiental importante con los limeños, tanto en el pasado como ahora.
Sin embargo, vienen siendo afectadas por diferentes problemáticas (expansión urbana, sobrepastoreo, contaminación ambiental, etc.). Todo esto daña de sobremanera la cobertura
vegetal y la diversidad, tanto de flora como de fauna; además, afecta a las comunidades que
las rodean. Las lomas costeras cuentan con servicios ecosistémicos (provisión, regulación y
cultural) que benefician a las comunidades locales.
La sociedad civil ha jugado un rol muy importante dentro de la conservación de estos ecosistemas frágiles, ya que son ellos los que gestionan, plantean e incentivan la creación de
lineamientos para su protección. De esa forma, limitan las invasiones y otras problemáticas
que amenazan y ponen en riesgo la diversidad biológica, así como los servicios que brindan
al entorno.
Son necesarios más proyectos de investigación relacionados con las lomas y su degradación,
debido al aumento de la urbanización. Si bien es un problema constante y evidente, no siempre tiene la atención necesaria. Además, debe priorizarse la exposición y denuncia de estas
mafias de tráficos de terrenos, mediante los medios de comunicación.
24
REVISTA DE CIENCIAS SOCIALES
Vol. 2, N.º 2, enero - abril 2021
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ARTÍCULOS DE INVESTIGACIÓN
ANEXOS
Figura 1.
Las lomas más reconocidas de Lima
UBICACIÓN
Lima
Ancón
Carabayllo
Puquio
Km. 22
Collique
Payet
Amancaes
Mangomarca
Pamplona
(Las Viñas)
Isla San Lorenzo
Retamal
Villa María
Lúcumo
(Quebrada verde)
Manchay
Pachacámac
(Jatosissa)
Lurin
(Portillo grande)
Lúcuma
Malanche
Pacta
Isla Pachacamac
Caringa
Jime
Cicazos
Nota. Tomado de Proyecto EbA Lomas (PNUD, 2016)
27
Tabla 1.
Lomas vulnerables y su problemática
Loma
Lomas de Amancaes
Lomas de Primavera (Carabayllo)
Lomas de Lúcumo
Problemática principal
- Degradación de la cobertura por la extensión urbana y tráfico
de terrenos.
- Contaminación por parte de empresas privadas.
- Falta de control en el turismo local.
- Falta de control en el turismo local.
- Degradación de la cobertura por la extensión urbana y tráfico
Lomas de Mangomarca
de terrenos.
- Falta de control en el turismo local.
ARTÍCULOS DE INVESTIGACIÓN
Lomas de Villa María
28
- Degradación de la cobertura por la extensión urbana y tráficos
de terrenos.
|
|
https://openalex.org/W2260501105
|
https://www.nature.com/articles/ncomms9144.pdf
|
English
| null |
Realizing high figure of merit in heavy-band p-type half-Heusler thermoelectric materials
|
Nature communications
| 2,015
|
cc-by
| 6,828
|
Received 4 Mar 2015 | Accepted 23 Jul 2015 | Published 2 Sep 2015
Realizing high figure of merit in heavy-band p-type
half-Heusler thermoelectric materials
DOI: 10.1038/ncomms9144
OPEN Received 4 Mar 2015 | Accepted 23 Jul 2015 | Published 2 Sep 2015 Received 4 Mar 2015 | Accepted 23 Jul 2015 | Published 2 Sep 2015 1 State Key Laboratory of Silicon Materials and School of Materials Science and Engineering, Zhejiang University, Hangzhou 310027, China. 2 State Key
Laboratory of High Performance Ceramics and Superfine Microstructure, Shanghai Institute of Ceramics, Chinese Academy of Sciences, Shanghai 200050,
China. 3 Key Laboratory of Advanced Materials and Applications for Batteries of Zhejiang Province, Zhejiang University, Hangzhou 310027, China.
Correspondence and requests for materials should be addressed to L.D.C. (email: cld@mail.sic.ac.cn) or to T.J.Z. (email: zhutj@zju.edu.cn.). Realizing high figure of merit in heavy-band p-type
half-Heusler thermoelectric materials Solid-state thermoelectric technology offers a promising solution for converting waste heat to
useful electrical power. Both high operating temperature and high figure of merit zT are
desirable for high-efficiency thermoelectric power generation. Here we report a high zT of
B1.5 at 1,200 K for the p-type FeNbSb heavy-band half-Heusler alloys. High content of
heavier
Hf
dopant
simultaneously
optimizes
the
electrical
power
factor
and
suppresses thermal conductivity. Both the enhanced point-defect and electron–phonon
scatterings contribute to a significant reduction in the lattice thermal conductivity. An eight
couple prototype thermoelectric module exhibits a high conversion efficiency of 6.2% and a
high power density of 2.2 Wcm 2 at a temperature difference of 655 K. These findings
highlight the optimization strategy for heavy-band thermoelectric materials and demonstrate
a realistic prospect of high-temperature thermoelectric modules based on half-Heusler alloys
with low cost, excellent mechanical robustness and stability. 1 State Key Laboratory of Silicon Materials and School of Materials Science and Engineering, Zhejiang University, Hangzhou 310027, China. 2 State Key
Laboratory of High Performance Ceramics and Superfine Microstructure, Shanghai Institute of Ceramics, Chinese Academy of Sciences, Shanghai 200050,
China. 3 Key Laboratory of Advanced Materials and Applications for Batteries of Zhejiang Province, Zhejiang University, Hangzhou 310027, China. Correspondence and requests for materials should be addressed to L.D.C. (email: cld@mail.sic.ac.cn) or to T.J.Z. (email: zhutj@zju.edu.cn.). 1 1 NATURE COMMUNICATIONS | 6:8144 | DOI: 10.1038/ncomms9144 | www.nature.com/naturecommunications & 2015 Macmillan Publishers Limited. All rights reserved. ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 T
he demand for sustainable energies has sparked significant
research into different types of energy conversion technol-
ogies in the past decades. Thermoelectric materials, which
can directly convert waste heat into usable electricity, have
received more and more attention for promising application in
energy
harvesting1,2. The
conversion
efficiency
Z
of
a
thermoelectric device is limited by the Carnot efficiency Zc, and
the figure of merit zT of the thermoelectric materials, which is
expressed as zT ¼ a2sT/(ke þ kL), where a, s, T, ke and kL are the
Seebeck coefficient. respectively, the electrical conductivity, the
absolute temperature and the electronic and lattice components
of total thermal conductivity k (ref. 1). Thus, a high Zc and
a high zT will result in enhanced conversion efficiency. The
thermoelectric parameters a, s, and ke are intimately interrelated
via carrier concentration and it has been a big challenge to
decouple the thermal and electrical properties. Realizing high figure of merit in heavy-band p-type
half-Heusler thermoelectric materials A common character
of these materials is that their band structures near the Fermi
levels are dominated by the s or p electronic states, accounting
for the low density of states effective mass m* and high m. These light-band thermoelectric semiconductors with small m*
(0.1 me–1.0 me) generally request relatively low-optimal carrier
concentration popt (1019–1020 cm 3), as shown in Fig. 1a, a low
content of dopants is enough to optimize their power factors. p
g
p
p
In
recent
years,
some
other
semiconductors
have
also
been identified as promising high-performance thermoelectric
materials, such as tin selenides2, filled skutterudites9 and
half-Heusler compounds10,11. Most of them contain transition
metal elements, such as Fe, Co, Ni et al., and their localized 3d
states make the valence band maximum or conduction band
minimum flat and heavy12,13. Typically, the m* of these heavy-
band materials are in the range of 2 me–10 me (Fig. 1a). Thus,
higher carrier concentrations, which demands for higher contents
of dopants, are necessary to optimize the power factors. For
example,
the
popt
of
heavy-band
ZrNiSn
alloys
is
B4 1020 cm 3, one order of magnitude higher than that of
PbTe (B3 1019 cm 3), while the popt of filled CoSb3 and
FeNbSb system with larger m* are above 1021 cm 3 (Fig. 1b). Note that even though these heavy-band thermoelectric materials
have large m* and hence low m, their optimal power factors are
2–3 times higher than the state-of-the-art light-band PbTe, which
is an important reason making these heavy-band thermoelectrics
promising for power generation. An immediate question arises
that what is the effective optimization strategy for achieving high
zT heavy-band thermoelectric materials? Here we indeed demonstrate that the thermoelectric properties
of p-type FeNbSb half-Heusler compound can be significantly
enhanced through heavier Hf doping. A record-high zT of
up to 1.5 at 1,200 K has been obtained in the heavy-band
FeNb1 xHfxSb alloys. High contents of Hf and Zr dopants result
in enhanced point-defect scattering of phonons, and the Hf
doping at Nb site leads to the stronger phonon scattering. Interestingly, the electron–phonon scattering is found to also
strongly contribute to the reduced kL at high dopant contents. An
eight n–p couples prototype half-Heusler thermoelectric module,
based on our high-performance n-type ZrNiSn (ref. 18) and
p-type FeNbSb compounds, is successfully assembled for the first
time in this work. Realizing high figure of merit in heavy-band p-type
half-Heusler thermoelectric materials Two main
strategies,
therefore,
have
been
individually
adopted
to
improve zT. One is to maximize the power factor a2s through
optimal doping and band engineering1,3,4. The other targets to
reduce the lattice thermal conductivity kL by nanostructuring or
phonon engineering5,6. T ZrCoSb compounds17. Such a high content of dopant will also
definitely create strong point-defect phonon scattering to reduce
kL. Furthermore, stronger point-defect phonon scattering may
occur if the doping atoms have larger mass and strain field
fluctuations compared with the host atoms (Fig. 1c), which could
be an effective strategy for simultaneously optimizing electrical
power factor and reducing thermal conductivity in heavy-band
thermoelectric materials. A high Carnot limit, Zc ¼ (TH TC)/TH, needs a large
temperature difference between the temperature of hot side, TH,
and temperature of cold side, TC, of the thermoelectric device. Therefore,
high
temperature
thermoelectric
materials
with
superior properties are highly desirable for power generation
operating above 1,000 K. Half-Heusler compounds have attracted
more and more attention due to their good electrical and
mechanical properties and thermal stability at high tempera-
tures11,17–26. The highest zTs of B1.0 have been reported for
n-type ZrNiSn-based half-Heusler alloys18,20,21,24. But developing
high-performance
p-type
Zr-based
half-Heusler
compounds
is still a big challenge17,24. Recently, we found that p-type
Fe(V,Nb)Sb-based heavy-band half-Heusler compounds show
great potential as high-temperature thermoelectric materials and
a high zT of 1.1 has been reached at 1,100 K in FeNb1 xTixSb
with high Ti content up to 20%19,27. Although the kL of Ti-doped
FeNbSb is remarkably reduced due to the enhanced point-defect
scattering, it is still B3 times as high as the calculated minimum
kL (B1 W m 1 K 1)19. To achieve higher zT in p-type FeNbSb,
it is imperative to further suppress its kL. Based on the above
consideration and Fig. 1c, selecting the high contents of doping
atoms having larger mass and radius differences with the host
atoms may lead to further kL reduction at optimal carrier
concentration and hence enhanced zT. Traditional good thermoelectric materials, such as BixSb2-xTe3
alloys near room temperature, PbTe1 xSex alloys at moderate
temperature and Si1 xGex alloys at high temperature, have high
carrier mobility m and reduced kL (refs 7,8). Realizing high figure of merit in heavy-band p-type
half-Heusler thermoelectric materials A maximum conversion efficiency of 6.2% and
a power density of 2.2 W cm 2 under a temperature difference of
655 K are achieved, exhibiting the great potential of low-cost
p-type FeNbSb half-Heusler compounds for high temperature
power generation. NATURE COMMUNICATIONS | 6:8144 | DOI: 10.1038/ncomms9144 | www.nature.com/naturecommunications
& 2015 Macmillan Publishers Limited. All rights reserved. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 (b) Carrier concentration
dependence of power factor for the typical light-band PbTe15, and the heavy-band system: n-type ZrNiSn33, n-type filled CoSb346 and p-type FeNbSb near
800 K. (c) The schematic drawing shows the effect of band structure character on optimal doping content and hence phonon scattering. 1.5
1.2
0.9
0.6
0.3
0.0
300
600
600
700
800
900
900
1,000
1,200
T (K)
TC=336 K
10
8
6
4
2
0
15
10
5
0
Conversion efficiency (%)
Hot side temperature TH (K)
Maximum power output (W)
FeNb1-xHfxSb
FeNb0.8Ti0.2Sb
FeNb1-yZrySb
x=0.08
x=0.10
x=0.12
x=0.14
y=0.14
y=0.10
y=0.08
n-ZrNiSn
p-SiGe
p-ZrCoSb
p-Yb11MnSb14
zT
a
b
Figure 2 | Thermoelectric performance for p-type FeNbSb-based HH compounds and prototype module. (a) zT comparison for Hf or Zr doped FeNbSb
and other typical high temperature p-type thermoelectric materials17–19,40,47. (b) Maximum power output and conversion efficiency as a function of hot
side temperature TH for the thermoelectric device made from our best n-type ZrNiSn-based alloys and p-type FeNbSb HH compounds. The dash line
represents the theoretical conversion efficiency of the module with a maximum value of 11.3%, assuming no electrical and thermal contact resistances. 1.5
1.2
0.9
0.6
0.3
0.0
300
600
900
1,200
T (K)
FeNb1-xHfxSb
FeNb0.8Ti0.2Sb
FeNb1-yZrySb
x=0.08
x=0.10
x=0.12
x=0.14
y=0.14
y=0.10
y=0.08
n-ZrNiSn
p-SiGe
p-ZrCoSb
p-Yb11MnSb14
zT
a 600
700
800
900
1,000
TC=336 K
10
8
6
4
2
0
15
10
5
0
Conversion efficiency (%)
Hot side temperature TH (K)
Maximum power output (W)
b a Hot side temperature TH (K) Figure 2 | Thermoelectric performance for p-type FeNbSb-based HH compounds and prototype module. (a) zT comparison for Hf or Zr doped FeNbSb
and other typical high temperature p-type thermoelectric materials17–19,40,47. (b) Maximum power output and conversion efficiency as a function of hot
side temperature TH for the thermoelectric device made from our best n-type ZrNiSn-based alloys and p-type FeNbSb HH compounds. The dash line
represents the theoretical conversion efficiency of the module with a maximum value of 11.3%, assuming no electrical and thermal contact resistances. respectively, even exceeding the industry benchmark set by
conventional p-type SiGe alloys (peak zT ¼ 0.6)17. 6.2% conversion efficiency, which is significantly higher than the
conversion efficiency of 4.5% for the commercial half-Heusler
modules based on n-type ZrNiSn and p-type ZrCoSb-based
half-Heusler alloys. Extrapolated values indicate that 8.1% is
achievable when the hot-side temperature is up to 1,200 K. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 10
10
1
1
0.1
0.1
7
6
5
4
3
2
1
0
0.01
0.1
1
10
100
m* /me
pH (1020 cm–3)
popt (1020 cm–3)
n-Type
p-Type
FeV0.6Nb0.4Sb
FeNbSb
FeNbSb, m*∼6.9me
CoSb3, m*∼4.0me
ZrNiSn, m*∼2.8me
PbTe,
m*∼0.5me
∼800 K
FeV0.6Nb0.4Sb
Yb9Mn4.2Sb9
Ba8Ga16Ge30
Mg2(Si,Sn)
SiGe
PbS
PbSe
PbTe
ZrNiSn
Mo3Sb7
Cu2Se
Cu2S
CoSb3
TAGS
2 (10–3 W m–1 K–2)
Light band
Low doping content
Weak scattering
Strong scattering
Stronger scattering
Phonons
Phonons
Phonons
High doping content
High doping content
Heavy band
Heavy band
CB
EF
VB
+
+ + +
+ + +
a
b
c
Figure 1 | Comparison of transport character of light-band and heavy-band thermoelectric materials. (a) The optimal carrier concentration popt versus
the density of state effective mass m* for thermoelectric materials15,16,27,31–33,36,39–45. The solid line is a guide for eyes. (b) Carrier concentration
dependence of power factor for the typical light-band PbTe15, and the heavy-band system: n-type ZrNiSn33, n-type filled CoSb346 and p-type FeNbSb near
800 K. (c) The schematic drawing shows the effect of band structure character on optimal doping content and hence phonon scattering. 10
10
1
1
0.1
0.1
m* /me
popt (1020 cm–3)
n-Type
p-Type
FeV0.6Nb0.4Sb
FeNbSb
FeV0.6Nb0.4Sb
Yb9Mn4.2Sb9
Ba8Ga16Ge30
Mg2(Si,Sn)
SiGe
PbS
PbSe
PbTe
ZrNiSn
Mo3Sb7
Cu2Se
Cu2S
CoSb3
TAGS
a 10
10
1
1
0.1
0.1
7
6
5
4
3
2
1
0
0.01
0.1
1
10
100
m* /me
pH (1020 cm–3)
popt (1020 cm–3)
n-Type
p-Type
FeV0.6Nb0.4Sb
FeNbSb
FeNbSb, m*∼6.9me
CoSb3, m*∼4.0me
ZrNiSn, m*∼2.8me
PbTe,
m*∼0.5me
∼800 K
FeV0.6Nb0.4Sb
Yb9Mn4.2Sb9
Ba8Ga16Ge30
Mg2(Si,Sn)
SiGe
PbS
PbSe
PbTe
ZrNiSn
Mo3Sb7
Cu2Se
Cu2S
CoSb3
TAGS
2 (10–3 W m–1 K–2)
a
b 7
6
5
4
3
2
1
0
0.01
0.1
1
10
100
pH (1020 cm–3)
FeNbSb, m*∼6.9me
CoSb3, m*∼4.0me
ZrNiSn, m*∼2.8me
PbTe,
m*∼0.5me
∼800 K
2 (10–3 W m–1 K–2)
b b Light band
Low doping content
Weak scattering
Strong scattering
Stronger scattering
Phonons
Phonons
Phonons
High doping content
High doping content
Heavy band
Heavy band
CB
EF
VB
+
+ + +
+ + +
c c Figure 1 | Comparison of transport character of light-band and heavy-band thermoelectric materials. (a) The optimal carrier concentration popt versus
the density of state effective mass m* for thermoelectric materials15,16,27,31–33,36,39–45. The solid line is a guide for eyes. & 2015 Macmillan Publishers Limited. All rights reserved. Results zT enhancement and prototype half-Heusler module. High-
quality
FeNb1 xHfxSb
and
FeNb1 yZrySb
(x,
y ¼ 0–0.16)
samples were fabricated by levitation melting and spark plasma
sintering. X-ray diffraction (XRD) patterns show that the single
phase products were obtained (Supplementary Fig. 1). Figure 2a
shows the zT values of these samples. A peak zT of B1.5 is
reached at 1,200 K for FeNb0.88Hf0.12Sb and FeNb0.86Hf0.14Sb,
B40% higher than that of Ti-doped FeNbSb19, and the zTs
are remarkably higher than other well-known state-of-the-art
p-type
high-temperature
thermoelectric
materials
over
the
whole temperature range. As known, the average zTavg is more
important than the peak zT for thermoelectric device application. The zTavg of FeNb0.88Hf0.12Sb sample is calculated to be B0.8 and
B1.0 in the temperature range of 300–1,200 and 500–1,200 K, Alloying
(substitution
or
doping)
creates
point-defect
scattering for phonons due to mass fluctuation and strain field
fluctuation between the host atoms and alloying atoms14, and
results in reduced kL. In thermoelectric materials, dopants not
only supply carriers to optimize the power factor, but deduce
point-defect scattering of phonons to suppress kL. For light-band
thermoelectric semiconductors, the popt is relatively low and a
slight content of dopants are enough to optimize the power
factor15,16, and the dopants usually contribute less to the kL
reduction. By contrast, in heavy-band semiconductors, higher
contents of dopants are demanded for optimizing the carrier
concentration to reach the same Femi level (Fig. 1c). For example,
B20% Sn was doped to optimize the power factor of heavy-band B20% Sn was doped to optimize the power factor of heavy-band NATURE COMMUNICATIONS | 6:8144 | DOI: 10.1038/ncomms9144 | www.nature.com/naturecommunications
& 2015 Macmillan Publishers Limited. All rights reserved. 2 ARTICLE NATURE COMMUNICATIONS | 6:8144 | DOI: 10.1038/ncomms9144 | www.nature.com/naturecommunications
& 2015 Macmillan Publishers Limited. All rights reserved. ARTICLE The carrier concentration dependence of power factor for
Hf- and Zr-doped FeNbSb samples at 800 K is shown in Fig. 3d,
together with Ti doping data19. The optimal power factor ranges
from 4.3 to 5.5 10 3 W m 1 K 2 at popt of B2 1021 cm 3,
which are relatively high values among established thermoelectric
materials and comparable to the optimized n-type ZrNiSn-based
half-Heusler compounds33. Figure 3d also indicates that the
power factors of Hf-doped FeNbSb are higher than that of Zr- or
Ti-doped samples. Further analysis shows that the Hf dopant is Reduced lattice thermal conductivity and mechanisms. The
temperature dependences of k and kL of FeNb1 xHfxSb and
FeNb1 yZrySb compounds are presented in Fig. 4. The kL was
obtained by subtracting the electronic component ke from the
total thermal conductivity k. ke was calculated via Wiedemann–
Franz relationship ke ¼ LsT, where L is the Lorenz number
determined under the SPB approximation32. Figure 4a shows the
k of Hf- and Zr-doped FeNbSb compounds are lower than that of
FeNbSb. The decrease in k mainly results from the greatly
suppressed kL. As shown in Fig. 4b, with the same doping
content, the kL of Hf-doped FeNbSb is lower than that of Zr- and
Ti-doped samples, and the high-temperature kL of FeNb0.8Ti0.2Sb
is only close to that of FeNb0.9Hf0.1Sb, suggesting that Hf dopant
leads to significantly reduced kL in FeNbSb even at a low content. The kL of FeNb1 xHfxSb decreases greatly with increasing Hf
content. Especially, at 300 and 1,000 K the kL of FeNb0.86Hf0.14Sb
has B80% and B70% reduction respectively, compared with 80
60
40
20
300
300
200
100
400
500
600
900
1,200
300
300
250
150
50
200
100
600
900
1,200
0
0
0
10
20
30
40
6
4
2
0
1
10
100
16
12
8
4
T (K)
T (K)
pH (1020 cm–3)
pH (1020 cm–3)
(μV K–1)
(μV K–1)
2 (10–3 W m–1 K–2)
(104 Ω–1 m–1)
(W m–1 K–1)
T –1.5
FeNb1-xHfxSb
FeNb1-xHfxSb
FeNb1-yZrySb
FeNb1-yZrySb
x=0.08
x=0.10
x=0.12
x=0.14
x=0.08
x=0.10
x=0.12
x=0.14
y =0.14
y =0.10
y =0.08
y=0.14
y=0.10
y=0.08
Exp. FeNbSb: Hf
FeNbSb: Zr
FeNbSb: Ti
FeNbSb: Hf
FeNbSb: Zr
FeNbSb: Ti
Cal. ARTICLE ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 matching between n-type and p-type legs, the insufficient
contacting
and
the
large
radiation
and
convection
losses
and
insufficient
accuracy
of
measurement. Especially,
the
contact resistance contributes to about 3.2% efficiency loss
(Supplementary Discussion). More work is needed to improve
the contacting electrical and thermal resistance and use thermal
isolation between the half-Heusler legs. more
efficient
in
supplying
carriers
than
Zr
and
Ti
(Supplementary Fig. 4). Thus at the carrier concentration of
B2 1021 cm 3 for p-type FeNbSb, the doping content of Hf, Zr
and Ti is about 12, 14 and 16%, respectively (Supplementary
Fig. 4a). The corresponding room temperature carrier mobility
for these samples are 18.4, 15.0 and 13.8 cm2 V 1 s 1, indicating
that the less doping content for Hf-doped FeNbSb is beneficial for
relatively higher carrier mobility due to the reduced alloy
scattering
of
carriers. Therefore,
at
the
same
carrier
concentration, the Hf-doped FeNbSb has higher power factors
than Zr- and Ti-doped samples (Supplementary Fig. 4b). It is
noteworthy that the different dopants also generate different
effects on the thermal conductivity (Fig. 3d). The heavier Hf
dopant leads to the B30% lower thermal conductivity compared
with the Zr dopant, consistent with the discussion relevant to
Fig. 1c. Decoupling of electrical and thermal properties. Why do the
p-type heavy-band FeNb1 xHfxSb alloys have so high zTs? The
thermoelectric properties of FeNb1 xHfxSb and FeNb1 yZrySb
compounds are presented in Fig. 3, and analysed by using the
single parabolic band (SPB) model31,32. The samples are heavily
doped and the hole concentration is almost independent of
temperature before intrinsic excitation (Supplementary Fig. 3). The
electrical
conductivity
s
of
the
FeNb1 xHfxSb
and
FeNb1 yZrySb samples shows a metal-like behaviour and
follows a temperature dependence of T 1.5 (Fig. 3a), implying
an acoustic phonon-scattering-dominated charge transport. The
Seebeck
coefficient
a
decreases
with
increasing
carrier
concentration (Fig. 3b). The calculated a by the SPB model
agrees well with the experimental data before the intrinsic
excitation. The m* was estimated to be B6.9 me and almost
unchanged at 300 and 800 K, as shown in the Pisarenko plot of
Fig. 3c, indicating that the valence band structure has weak
dependence on temperature and the dopant type of Hf, Zr and Ti. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 The
calculated total area power density for this half-Heusler module is
about 2.2 W cm 2, which is significantly higher than other
thermoelectric modules28–30 (Supplementary Table 1). The
theoretical
conversion
efficiency
is
also
calculated
for
comparison (dash line in Fig. 2b), which is higher than the
experimental value. The discrepancy could be due to the To corroborate the present results, the prototype high-
temperature thermoelectric modules with eight n–p half-Heusler
couples were assembled (Fig. 2b) for the first time based on the
best n-type ZrNiSn-based alloys (thermoelectric properties are
shown in Supplementary Fig. 2) and p-type FeNbSb compounds. The dimensions of the thermoelectric module made from the
half-Heusler legs are 20 mm by 20 mm by 10 mm thick. Under
conditions of hot/cold-side temperatures of 991 K/336 K, the half-
Heusler module exhibited a maximum power output of 8.9 W and 3 NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 FeNb1-xHfxSb
FeNb1-xHfxSb
FeNb0.8Ti0.2Sb
FeNb1-xHfxSb
FeNb1-xHfxSb
x=0.08
x=0.10
x=0.12
x=0.14
x =0.08
x =0.10
x =0.12
x =0.14
FeNb1-yZrySb
FeNb1-yZrySb
FeNb1-yZrySb
FeNb1-yZrySb
y =0.08
y =0.10
y =0.14
y=0.08
y=0.10
y=0.14
20
16
20
15
10
5
0
20
15
10
5
0
12
8
4
300
600
900
1,200
300
600
900
1,200
9
6
3
0
0.00
0.04
0.08
0.12
0.16
0.00
0.04
0.08
0.12
0.16
T (K)
T (K)
Dopant content x, y
Dopant content x, y
(W m–1 K–1)
L (W m–1 K–1)
L (W m–1 K–1)
(10–2)
FeNbSb
FeNbSb
m
s
total
Lower L
300 K
U+B+PD+EP
U+B+PD
,
,
,
,
a
b
c
d
Figure 4 | Thermal conductivity for FeNb1 xHfxSb and FeNb1 yZrySb samples. (a) Total thermal conductivity k. (b) Lattice thermal conductivity kL. The solid curves in b are calculated using the Callaway model36,37. For comparison, kL of Ti-doped FeNbSb is also shown19. (c) The calculated
disorder parameter G for the samples, where Gm (square) and Gs (circle) are mass and strain field fluctuation disorder parameters, respectively.14,34
Gtotal ¼ Gm þ Gs. (d) Comparison of experimental and calculated kL for the samples at 300 K. The dash and solid curves are calculated without and with
electron-phonon scattering, respectively. U, B, PD and EP denote the phonon-phonon Umklapp process, boundary, point-defect and electron-phonon
scattering, respectively. FeNb1-xHfxSb
FeNb0.8Ti0.2Sb
x =0.08
x =0.10
x =0.12
x =0.14
FeNb1-yZrySb
y=0.08
y=0.10
y=0.14
20
15
10
5
0
300
600
900
1,200
T (K)
L (W m–1 K–1)
FeNbSb
b FeNb1-xHfxSb
x=0.08
x=0.10
x=0.12
x=0.14
FeNb1-yZrySb
y =0.08
y =0.10
y =0.14
20
16
12
8
4
300
600
900
1,200
T (K)
(W m–1 K–1)
FeNbSb
a FeNb1-xHfxSb
FeNb1-yZrySb
9
6
3
0
0.00
0.04
0.08
0.12
0.16
Dopant content x, y
(10–2)
m
s
total
Lower L
,
,
,
,
c FeNb1-xHfxSb
FeNb1-yZrySb
20
15
10
5
0
0.00
0.04
0.08
0.12
0.16
Dopant content x, y
L (W m–1 K–1)
300 K
U+B+PD+EP
U+B+PD
d d c Dopant content x, y Figure 4 | Thermal conductivity for FeNb1 xHfxSb and FeNb1 yZrySb samples. (a) Total thermal conductivity k. (b) Lattice thermal conductivity kL. The solid curves in b are calculated using the Callaway model36,37. For comparison, kL of Ti-doped FeNbSb is also shown19. NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 (c) The calculated
disorder parameter G for the samples, where Gm (square) and Gs (circle) are mass and strain field fluctuation disorder parameters, respectively.14,34
Gtotal ¼ Gm þ Gs. (d) Comparison of experimental and calculated kL for the samples at 300 K. The dash and solid curves are calculated without and with
electron-phonon scattering, respectively. U, B, PD and EP denote the phonon-phonon Umklapp process, boundary, point-defect and electron-phonon
scattering, respectively. that of FeNbSb, which is a key to the high zT in this
composition. phonon scattering of phonons also contributes to the reduced kL
for FeNb1 xHfxSb and FeNb1 yZrySb, especially at high doping
contents. The similar phenomenon is also found in other
thermoelectric materials36. Thus the simultaneously enhanced
point-defect
and
electron–phonon
scattering
of
phonons
concurrently contribute to the reduced kL in the heavy-band
FeNb1 xHfxSb system. Why is Hf dopant more efficient in suppressing kL of FeNbSb
despite of lower optimal content? As aforementioned, high
content of dopants will create strong point-defect scattering of
phonons, leading to the suppressed kL. Hf doping at Nb sites will
deduce more remarkable point-defect scattering than Zr and Ti
because of the larger mass and radius differences between Hf and
Nb. For comparison, Fig. 4c presents the calculated disorder
parameter G (larger G indicates stronger point-defect scattering
of phonons14,34,35) for Hf and Zr at Nb sites, which obviously
shows that the Hf creates stronger mass and strain field
fluctuations, leading to lower kL in FeNb1 xHfxSb. Discussion
I In summary, by rationally selecting the heavier dopants at high
contents, the interrelated thermoelectric parameters can be
decoupled and the simultaneous optimization of electrical power
factor and significant reduction in thermal conductivity can be
achieved in heavy-band thermoelectric materials. Record-high
zT of 1.5 in p-type FeNb1 xHfxSb heavy-band half-Heusler
compounds demonstrates the effective optimization strategy for
achieving high thermoelectric performance. A prototype thermo-
electric module made of n-type ZrNiSn-based alloys and p-type
FeNbSb compounds exhibits a high conversion efficiency of 6.2%
and a high power density of 2.2 W cm 2 at a temperature
difference of 655 K. These findings highlight the realistic prospect
of high-temperature thermoelectric modules based on half-
Heusler alloys with low cost, excellent mechanical properties
and stability. g
The kL of the samples was further calculated by the Callaway
model19,36,37. Phonon–phonon Umklapp process, grain boundary
and point-defect scattering of phonons were firstly considered in
the modelling. At low doping content, the calculated kL has a
good agreement with the experimental results (Fig. 4d). However,
at high doping contents, the calculated kL significantly deviates
from the experimentally values, suggesting that some other
scattering sources should also contribute to the reduced kL at high
Hf or Zr contents. With increasing dopant content, the carrier
concentration largely increases up to 1021 cm 3. The electron–
phonon interaction, an important part to scatter phonons in
narrow semiconductors38, may exist in the p-type FeNbSb
heavy-band
system. With
the
electron–phonon
scattering
evolved, a good agreement between the experimental data and
the calculated curves is reached (Fig. 4d). To corroborate this
result,
temperature
dependence
of
kL
was
calculated
for
FeNb1 xHfxSb samples, and there is a good consistency with
the experimental kL (Fig. 4b), indicating the enhanced electron– ARTICLE 300 K
800 K
800 K
m*=6.9 me
a
b
c
d
Figure 3 | Thermoelectric properties for FeNb1 xHfxSb and FeNb1 yZrySb samples. (a) Electrical conductivity s. (b) Seebeck coefficient a. The a (c) and
power factor a2s and thermal conductivity (d) of Hf- and Zr-doped FeNbSb as a function of carrier concentration, together with the data for Ti-doped
FeNbSb19. The solid lines in b–d were calculated by the SPB model. 80
60
40
20
300
600
900
1,200
0
T (K)
(104 Ω–1 m–1)
T –1.5
FeNb1-xHfxSb
FeNb1-yZrySb
x=0.08
x=0.10
x=0.12
x=0.14
y =0.14
y =0.10
y =0.08
a b 300
300
250
150
50
200
100
600
900
1,200
T (K)
(μV K–1)
FeNb1-xHfxSb
FeNb1-yZrySb
x=0.08
x=0.10
x=0.12
x=0.14
y=0.14
y=0.10
y=0.08
b a 300
200
100
400
500
0
0
10
20
30
40
( )
pH (1020 cm–3)
(μV K–1)
Exp. FeNbSb: Hf
FeNbSb: Zr
FeNbSb: Ti
Cal. 300 K
800 K
m*=6.9 me
c d 6
4
2
0
1
10
100
16
12
8
4
pH (1020 cm–3)
2 (10–3 W m–1 K–2)
(W m–1 K–1)
FeNbSb: Hf
FeNbSb: Zr
FeNbSb: Ti
800 K
d c Figure 3 | Thermoelectric properties for FeNb1 xHfxSb and FeNb1 yZrySb samples. (a) Electrical conductivity s. (b) Seebeck coefficient a. The a (c) and
power factor a2s and thermal conductivity (d) of Hf- and Zr-doped FeNbSb as a function of carrier concentration, together with the data for Ti-doped
FeNbSb19. The solid lines in b–d were calculated by the SPB model. NATURE COMMUNICATIONS | 6:8144 | DOI: 10.1038/ncomms9144 | www.nature.com/naturecommunications
& 2015 Macmillan Publishers Limited. All rights reserved. 4 4 ARTICLE NATURE COMMUNICATIONS | 6:8144 | DOI: 10.1038/ncomms9144 | www.nature.com/naturecommunications
& 2015 Macmillan Publishers Limited. All rights reserved. & 2015 Macmillan Publishers Limited. All rights reserved. ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 ingots were mechanically milled (Mixer Mill MM200, Retsch) for 4 h under argon
protection. The obtained powders were loaded into the graphite die and compacted
by spark plasma sintering (SPS-1050, Sumitomo Coal Mining Co.) at 1,123 K for
10 min under 65 MPa in vacuum. The as-sintered samples, of which the relative
densities were found to be B95%, were annealed at 1,073 K for 3 days. ingots were mechanically milled (Mixer Mill MM200, Retsch) for 4 h under argon
protection. The obtained powders were loaded into the graphite die and compacted
by spark plasma sintering (SPS-1050, Sumitomo Coal Mining Co.) at 1,123 K for
10 min under 65 MPa in vacuum. The as-sintered samples, of which the relative
densities were found to be B95%, were annealed at 1,073 K for 3 days. 14. Yang, J., Meisner, G. P. & Chen, L. Strain field fluctuation effects on lattice
thermal conductivity of ZrNiSn-based thermoelectric compounds. Appl. Phys. Lett. 85, 1140–1142 (2004). 15. Pei, Y. Z. et al. Optimum carrier concentration in n-type PbTe thermoelectrics. Adv. Energy Mater. 4, 1400486 (2014). 16. Wang, H., Pei, Y. Z., LaLonde, A. D. & Snyder, G. J. Weak electron-phonon
coupling contributing to high thermoelectric performance in n-type PbSe. Proc. Natl Acad. Sci. USA 109, 9705–9709 (2012). Characterization. Phase structures of the samples were investigated by XRD on a
RigakuD/MAX-2550PC diffractometer using Cu Ka radiation (l0 ¼ 1.5406 Å). The
XRD patterns of FeNb1 xHfxSb and FeNb1 yZrySb show a single phase that can
be indexed to the half-Heusler phase with a cubic MgAgAs-type crystal structure
(space group, F43m) as shown in Supplementary Fig. 1. The lattice parameter of
the samples increases with increasing dopant content as shown in Supplementary
Fig. 5. The chemical compositions were checked by electron probe microanalysis
(EPMA, JEOL and JXA-8100), which show that the actual compositions are close
to the nominal ones (Supplementary Table 1). Scanning electron microscope and
energy dispersive X-ray spectroscopy mapping were used to characterize the phase
and compositional homogeneity (Supplementary Fig. 6). The average grain size of
the sample was determined to be B0.8 mm from the transmission electron
(
T
G
S T
)
(S
l
) 17. Culp, S. R. et al. Zr,Hf)Co(Sb,Sn) half-Heusler phases as high-temperature
(4700C) p-type thermoelectric materials. Appl. Phys. Lett. 93, 022105
(2008). 18. Yu, C. et al. ARTICLE High performance half-Heusler thermoelectric materials
Hf1-xZrxNiSn1-ySby prepared by levitation melting and spark plasma sintering. Acta Mater. 57, 2757–2764 (2009). 19. Fu, C. G., Zhu, T. J., Liu, Y. T., Xie, H. H. & Zhao, X. B. Band engineering
of high performance p-type FeNbSb based half-Heusler thermoelectric
materials for figure of merit zT41. Energy Environ. Sci. 8, 216–220
(2015). p
m
microscope (FEI, Tecnai G2 F30 S-Twin) image (Supplementary Fig. 6). 20. Schwall, M. & Balke, B. Phase separation as a key to a thermoelectric high
efficiency. Phys. Chem. Chem. Phys. 15, 1868–1872 (2013). 21. Chen, S. et al. Effect of Hf concentration on thermoelectric properties of
nanostructured N-type half-Heusler materials HfxZr1-xNiSn0.99Sb0.01. Adv. Energy Mater. 3, 1210–1214 (2013). Measurements. The Seebeck coefficient and electrical conductivity from 300 to
1,200 K were measured on a commercial Linseis LSR-3 system using a differential
voltage/temperature technique and a d.c. four-probe method. The accuracy is
±5% and ±3%, respectively. The thermal conductivity k was calculated by using
k ¼ DrCp, where r is the sample density estimated by the Archimedes method. The
thermal diffusivity D and specific heat Cp were measured by a laser flash method on
Netzsch LFA457 instrument with a Pyroceram standard (Supplementary Fig. 7). The accuracy is ±3% and ±5%, respectively. The low-temperature Hall
coefficients from 20 to 300 K were measured using a Mini Cryogen Free
Measurement System (Cryogenic Limited, UK). The carrier concentration pH was
calculated by pH ¼ 1/(eRH), where e is the unit charge and RH is the Hall coefficient. The estimated error of Hall coefficient is within ±10%. The carriers mobility mH
was calculated by mH ¼ sRH. The samples with highest zT were repeatedly
measured in Zhejiang University and Shanghai Institute of Ceramics, Chinese
Academy of Science, and the results show good consistency (Supplementary Fig. 8). The high-temperature thermal stability of the sample was checked through the
thermogravimetric analysis (Supplementary Fig. 9) and the accuracy is 5%. gy
22. Graf, T., Felser, C. & Parkin, S. S. P. Simple rules for the understanding of
Heusler compounds. Prog. Solid State Chem. 39, 1–50 (2011). 23. Chen, S. & Ren, Z. Recent progress of half-Heusler for moderate temperature
thermoelectric applications. Mater. Today 16, 387–395 (2013). 24. Xie, W. et al. Recent advances in nanostructured thermoelectric half-Heusler
compounds. Nanomaterials 2, 379–412 (2012). 25. Schmitt, J., Gibbs, Z. M., Snyder, G. J. & Felser, C. References 33. Xie, H. H. et al. The intrinsic disorder related alloy scattering in ZrNiSn
half-Heusler thermoelectric materials. Sci. Rep. 4, 6888 (2014). 1. Snyder, G. J. & Toberer, E. S. Complex thermoelectric materials. Nat. Mater. 7,
105–114 (2008). 34. Wang, H., LaLonde, A. D., Pei, Y. Z. & Snyder, G. J. The criteria for beneficial
disorder in thermoelectric solid solutions. Adv. Funct. Mater. 23, 1586–1596
(2013). 2. Zhao, L. D. et al. Ultralow thermal conductivity and high thermoelectric figure
of merit in SnSe crystals. Nature 508, 373–377 (2014). y
3. Pei, Y. Z. et al. Convergence of electronic bands for high performance bulk
thermoelectrics. Nature 473, 66–69 (2011). 35. Abeles, B. Lattice thermal conductivity of disordered semiconductor alloys at
high temperatures. Phys. Rev. 131, 1906–1911 (1963). 4. Heremans, J. P. et al. Enhancement of thermoelectric efficiency in PbTe by
distortion of the electronic density of states. Science 321, 554–557 (2008). 36. Shi, X. Y., Pei, Y. Z., Snyder, G. J. & Chen, L. Optimized thermoelectric
properties of Mo3Sb7-xTex with significant phonon scattering by electrons. Energy Environ. Sci. 4, 4086–4095 (2011). 5. Biswas, K. et al. High-performance bulk thermoelectrics with all-scale
hierarchical architectures. Nature 489, 414–418 (2012). hierarchical architectures. Nature 489, 414–418 (2012). 37. Callaway, J. Model for lattice thermal conductivity at low temperatures. Phys. Rev. 113, 1046–1051 (1959). 6. Toberer, E. S., Zevalkink, A. & Snyder, G. J. Phonon engineering through
crystal chemistry. J. Mater. Chem. 21, 15843–15852 (2011). 38. Delaire, O. et al. Phonon softening and metallization of a narrow-gap semiconductor
by thermal disorder. Proc. Natl Acad. Sci. USA 108, 4725–4730 (2011). 7. Ioffe, A. F. Semiconductor Thermoelements and Thermoelectric Cooling
(Infosearch, 1957). y
39. Wang, H., Schechtel, E., Pei, Y. Z. & Snyder, G. J. High thermoelectric efficiency
of n-type PbS. Adv. Energy Mater. 3, 488–495 (2013). 8. Goldsmid, H. J. Introduction to Thermoelectricity (Springer, 2010). 9. Sales, B. C., Mandrus, D. & Williams, R. K. Filled skutterudite antimonides: a
new class of thermoelectric materials. Science 272, 1325–1328 (1996). 40. Vining, C. B., Laskow, W., Hanson, J. O., Vanderbeck, R. R. & Gorsuch, P. D. Thermoelectric properties of pressure-sintered Si0.8Ge0.2 thermoelectric alloys. J. Appl. Phys. 69, 4333–4340 (1991). 10. Tritt, T. M. Holey and unholey semiconductors. Science 283, 804–805 (1999). 11. Xie, H. H. et al. Beneficial contribution of alloy disorder to electron and phonon
transport in half-Heusler thermoelectric materials. Adv. Funct. Mater. 23,
5123–5130 (2013). ARTICLE Resolving the true band
gap of ZrNiSn half-Heusler thermoelectric materials. Mater. Horiz. 2, 68–75
(2015). 26. Joshi, G. et al. NbFeSb-based p-type half-Heuslers for power generation
applications. Energy Environ. Sci. 7, 4070–4076 (2014). 27. Fu, C. G. et al. High band degeneracy contributing to high thermoelectric
performance in p-type half-Heusler compounds. Adv. Energy Mater. 4,
1400600 (2014). 28. Bartholome´, K. et al. Thermoelectric modules based on half-Heusler materials
produced in large quantities. J. Electron. Mater. 43, 1775–1781 (2014). Thermoelectric module. For the eight n–p couple prototype module assembly, the
cylindrical half-Heusler pucks were diced into legs of square 4 mm by 4 mm. Then
the n-type and p-type half-Heusler legs were connected to metallic interconnects
using high-temperature braze. The modules contain a total of 16 legs joined into 8
n–p couples, all connected electrically in series and thermally in parallel. The power
output, internal resistance and energy conversion efficiency of the half-Heusler
prototype modules were evaluated in vacuum by using PEM-2 testing system
(ULVAC-RIKO, Inc.). The electrodes coexist stably with p/n half-Heusler alloys in
the module’s working temperature range from 300 to 1,000 K. The accuracy of
measurement for output power and conversion efficiency is about 10–15%. 29. Mikami, M., Kobayashi, K. & Tanaka, S. Power generation performance of
thermoelectric module consisting of Sb-doped Heusler Fe2VAl sintered alloy. Mater. Trans. 52, 1546–1548 (2011). 30. Salvador, J. R. et al. Conversion efficiency of skutterudite-based thermoelectric
modules. Phys. Chem. Chem. Phys. 16, 12510–12520 (2014). 31. Liu, X. H. et al. Low electron scattering potentials in high performance
Mg2Si0.45Sn0.55 based thermoelectric solid solutions with band convergence. Adv. Energy Mater. 3, 1238–1244 (2013). Adv. Energy Mater. 3, 1238–1244 (2013). 32. May, A. F., Toberer, E. S., Saramat, A. & Snyder, G. J. Characterization and
analysis of thermoelectric transport in n-type Ba8Ga16 xGe30 þ x. Phys. Rev. B
80, 125205 (2009). Methods Synthesis. The ingots with nominal composition FeNb1 xHfxSb and
FeNb1 yZrySb (x, y ¼ 0–0.16) were prepared by levitation melting of stoichio-
metric amount of Fe (piece, 99.97%), Nb (foil, 99.8%), Hf (piece, 99.99%), Zr (foil,
99.99%) and Sb (block, 99.999%) under an argon atmosphere for several minutes. The ingots were remelted for four times to ensure homogeneity. The obtained 5 & 2015 Macmillan Publishers Limited. All rights reserved. ARTICLE ARTICLE NATURE COMMUNICATIONS | DOI: 10.1038/ncomms9144 prototype thermoelectric module and measured its conversion efficiency. C.F., S.B., L.C.,
X.Z. and T.Z. wrote the manuscript. 45. Zhu, T. J., Gao, H., Chen, Y. & Zhao, X. B. Ioffe–Regel limit and lattice thermal
conductivity reduction of high performance (AgSbTe2)15(GeTe)85 45. Zhu, T. J., Gao, H., Chen, Y. & Zhao, X. B. Ioffe–Regel limit and lattice thermal
conductivity reduction of high performance (AgSbTe2)15(GeTe)85
thermoelectric materials. J. Mater. Chem. A 2, 3251–3256 (2014). 46. Shi, X. et al. Multiple-filled skutterudites: High thermoelectric figure of merit
through separately optimizing electrical and thermal transports. J. Am. Chem. Soc. 133, 7837–7846 (2011). This work is licensed under a Creative Commons Attribution 4.0
International License. The images or other third party material in this
article are included in the article’s Creative Commons license, unless indicated otherwise
in the credit line; if the material is not included under the Creative Commons license,
users will need to obtain permission from the license holder to reproduce the material. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/ Competing financial interests: The authors declare no competing financial interests. Reprints and permission information is available online at http://npg.nature.com/
reprintsandpermissions. NATURE COMMUNICATIONS | 6:8144 | DOI: 10.1038/ncomms9144 | www.nature.com/naturecommunications
& 2015 Macmillan Publishers Limited. All rights reserved. Supplementary Information accompanies this paper at http://www.nature.com/
naturecommunications 47. Brown, S. R., Kauzlarich, S. M., Gascoin, F. & Snyder, G. J. Yb14MnSb11:
New high efficiency thermoelectric material for power generation. Chem. Mater. 18, 1873–1877 (2006). Competing financial interests: The authors declare no competing financial interests. Acknowledgements g
We would like to thank Professor Xun Shi and Mr Dudi Ren from Shanghai Institute of
Ceramics for the repeated measurement of thermoelectric properties and device
simulation, respectively. This work was supported by the National Basic Research
Program of China (2013CB632500), the Nature Science Foundation of China
(51171171), the Program for New Century Excellent Talents in University (NCET-12-
0495) and the Key Research Program of Chinese Academy of Sciences (KGZD-EW-T06). How to cite this article: Fu, C. et al. Realizing high figure of merit in heavy-band p-type
half-Heusler thermoelectric materials. Nat. Commun. 6:8144 doi: 10.1038/ncomms9144
(2015). NATURE COMMUNICATIONS | 6:8144 | DOI: 10.1038/ncomms9144 | www.nature.com/naturecommunications
& 2015 Macmillan Publishers Limited All rights reserved References pp
y
41. Fu, C. G. et al. Electron and phonon transport in Co-doped FeV0.6Nb0.4Sb
half-Heusler thermoelectric materials. J. Appl. Phys. 114, 134905 (2013). 42. Pei, Y. Z. et al. Improving thermoelectric performance of caged compounds
through light-element filling. Appl. Phys. Lett. 95, 042101 (2009). 12. Yang, J. et al. Trends in electrical transport of p-type skutterudites RFe4Sb12
(R ¼ Na, K, Ca, Sr, Ba, La, Ce, Pr, Yb) from first-principles calculations and
Boltzmann transport theory. Phys. Rev. B 84, 235205 (2011). g
g
g
pp
y
43. Bux, S. K. et al. Glass-like lattice thermal conductivity and high thermoelectric
efficiency in Yb9Mn4.2Sb9. J. Mater. Chem. A 2, 215–220 (2014). l
h h
l
f
h b
d 13. Yang, J. et al. Evaluation of half-Heusler compounds as thermoelectric
materials based on the calculation electrical transport properties. Adv. Funct. Mater. 18, 2880–2888 (2008). 44. He, Y. et al. High thermoelectric performance in non-toxic earth abundant
copper sulfide. Adv. Mater. 26, 3974–3978 (2014). NATURE COMMUNICATIONS | 6:8144 | DOI: 10.1038/ncomms9144 | www.nature.com/naturecommunications 6 & 2015 Macmillan Publishers Limited. All rights reserved. Additional information Supplementary Information accompanies this paper at http://www.nature.com/
naturecommunications Author contributions C.F. and T.Z. designed the experiment. C.F. and Y.L. prepared the samples and carried
out thermoelectric property measurements. C.F. and T.Z. analysed the experimental data
and established the thermoelectric transport model. S.B., Y.T. and L.C. fabricated the 7 7
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The Legacy of Thomas Hodgkin Is Still Relevant 150 Years After His Death. Nothing of Humanity Was Foreign to Him
|
Rambam Maimonides medical journal
| 2,017
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cc-by
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Rambam Maimonides Medical Journal Rambam Maimonides Medical Journal HISTORY OF MEDICINE
Open Access HISTORY OF MEDICINE
Open Access Eldad J. Dann, M.D.1,2,3* 1Department of Hematology and Bone Marrow Transplantation, Rambam Health Care Campus, Haifa,
Israel; 2Blood Bank and Transfusion Service, Rambam Health Care Campus, Haifa, Israel; and 3Bruce
Rappaport Faculty of Medicine, Technion–Israel Institute of Technology, Haifa, Israel ABSTRACT Current leading figures in medical science usually focus on very specific topics and use cutting-edge
technologies to broaden our knowledge in the field. The working environment of the nineteenth century was
very different. Medical giants of that time such as Rudolph Virchow and Thomas Hodgkin had a wide-
ranging scope of research and humanitarian interests and made enormous contributions to a variety of core
areas of medicine and the well-being of mankind. The year 2016 marked the 150th anniversary of the death
of Dr Thomas Hodgkin. Even a brief review of his life and work proves the current relevance of the
outstanding deeds of this exceptional physician, medical educator, and defender of human rights for the
poor and underprivileged; his vision was far ahead of his time. EY WORDS: Thomas Hodgkin, Hodgkin disease, philanthropy, protection of human rights This article aims to elaborate on the features and
deeds of Thomas Hodgkin that continue to make
him a source of admiration and inspiration now-
adays. April 4, 2016 marked the 150th anniversary of the
death of Dr Thomas Hodgkin (1798–1866) (Figure
1). Three biographies1–3 and many articles4–7 have
been written about Thomas Hodgkin. Citation: Dann EJ. The Legacy of Thomas Hodgkin Is Still Relevant 150 Years After His Death. Nothing of Humanity
Was Foreign to Him. Rambam Maimonides Med J 2017;8 (1):e0009. doi:10.5041/RMMJ.10284 g
7;
( )
9
5 4 /
4
Copyright: © 2017 Dann. This is an open-access article. All its content, except where otherwise noted, is distributed
under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which
permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. Conflict of interest: No potential conflict of interest relevant to this article was reported Copyright: © 2017 Dann. This is an open-access article. All its content, except where otherwise noted, is distributed
under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which
permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited. C
fli t
f i t
t N
t
ti l
fli t f i t
t
l
t t thi
ti l
t d * E-mail: e_dann@rambam.health.gov.il Rambam Maimonides Med J | www.rmmj.org.il January 2017 Volume 8 Issue 1 e0009 January 2017 Volume 8 Issue 1 e0009 The Legacy of Thomas Hodgkin Is Still
Relevant 150 Years After His Death.
Nothing of Humanity Was Foreign to
Him Eldad J. Dann, M.D.1,2,3* Rambam Maimonides Med J | www.rmmj.org.il 1 Legacy of Thomas Hodgkin Figure 1. The Grave of Dr Thomas Hodgkin (1798–
1866). April 4, 2016, the 150th anniversary of Dr Hodgkin’s
death. Photo by E. Dagoul. leadership in his community and for argumentative
opposition to the British authorities. Thomas Hodgkin designed scientific approaches
for collecting data on endangered societies. In 1833,
Dr Richard King, a renowned surgeon and naturalist
of his time, took part in the expedition to the shores
of the Arctic Ocean under the command of Captain
G. Back of the Royal Navy. Hodgkin wrote to Dr
King asking him to provide first-hand data from
numerous observations and independent sources,
thus ensuring the accuracy of reports and avoiding
biased secondary sources, like traders and
missionaries. Hodgkin founded the Aborigine
Protection Society in 1837 and played a major role in
the foundation of the Ethnological Society in
collaboration with James Cowles Prichard. Both of
them were on the committee that composed a
“Manual of Ethnological Inquiry” in 1843. Hodgkin
was also an advisor to the Buxton’s Select
Parliamentary Committee on Aborigines’ Protection
and authored several articles and a book on these
issues (e.g. “A letter on Negro emancipation and
American colonization,” “An inquiry into the merits
of American colonization society,” and “On British
African colonization society”). Figure 1. The Grave of Dr Thomas Hodgkin (1798–
1866). April 4, 2016, the 150th anniversary of Dr Hodgkin’s
death. Photo by E. Dagoul. April 4, 2016, the 150th anniversary of Dr Hodgkin’s
death. Photo by E. Dagoul. Thomas Hodgkin was born in Pentonville, North
London, in a pious family belonging to the Society of
Friends (Quakers). He was educated by his father, a
teacher in the community. Hodgkin’s first workplace
was with the local apothecary, starting as an
apprentice under the mentorship of William Allen
(1770–1843). While working there, Hodgkin was
introduced to the three areas that later became his
main life interests: the anti-slavery campaign that
Allen had been involved in since 1807; medicine—
Allen had been lecturing chemistry at Guy’s
Hospital, London, for 24 years; and philanthropy—
Allen had been operating a soup kitchen for the poor
of Spitalfields and had been active in promoting
education for the poor and underprivileged. In 1863, Thomas Hodgkin undertook a humani-
tarian mission to North Africa under the auspices of
his lifelong friend, Sir Moses Montefiore. Rambam Maimonides Medical Journal January 2017 Volume 8 Issue 1 e0009 Rambam Maimonides Med J | www.rmmj.org.il cylinder,” commonly called “stethoscope,” as the
means of ascertaining the changes that disease
produced in the organs of respiration and circula-
tion (Figure 2). It was the first introduction of the
stethoscope to the British academic medicine; and
this was done by a 24-year-old medical student! Hodgkin described the clinical pathological findings
in bronchiectasis, tuberculosis, valvular diseases,
and the use of auscultation during pregnancy for
localizing the fetus. Between 1825 and 1828, while serving as the cur-
ator of the Anatomical Museum at Guy’s Hospital,
Thomas Hodgkin expanded the museum collection
from 500 to 3,000 specimens. Each specimen was
accompanied with a label, containing information
on clinical symptoms and physical signs, a reference
to the inspection book where the full case and post-
mortem inspection were recorded, and the name of
the presenting physician. Despite such an enormous
contribution, he was actually deprived of the right to
use the collected materials after he left Guy’s
Hospital. From the first steps in his career, Thomas
Hodgkin devoted a great part of his time to taking
care of the poor. In 1825, two years after his
graduation from the University of Edinburgh
Medical School, he was appointed to the position of
physician at the London Dispensary (a facility
dealing with medical problems of underprivileged). At the same time, as a favor to Sir Moses
Montefiore, Hodgkin served (until 1831) as a
physician at the Society of the United Israelites and
the
Society
of
United
Sisters—two
Jewish
philanthropic
organizations. Based
on
this
experience and in an effort to improve the medical
care of this population, Hodgkin wrote an essay, “On
the Mode of Selecting and Remunerating Medical
Men for Professional Attendance of the Poor.” Thomas Hodgkin was the first to describe many
clinical and pathological correlations. In his work
“On the Retroversion of the Valves of the Aorta,”
published in the London Medical Gazette in 1829,
he described aortic valve incompetence. He also
reported the consequence of acute appendicitis that
led to ruptured appendix, causing peritonitis and
death of a young medical student at Guy’s Hospital. Hodgkin characterized differences between benign
cysts and adenocarcinoma and reported a case of
recurrence of uterine carcinoma a year after
extirpation of the uterus, with local advancement of
the tumor that led to intestinal obstruction. Rambam Maimonides Med J | www.rmmj.org.il These two
extraordinary persons—one a devoted member of
the Society of Friends (Quakers), the other an
observant Sephardic Jew—shared a wide range of
humanitarian interests. Hodgkin presented an
overview on the physical geography of North Africa
to the Royal Geographical Society and included
these materials in the book Narrative of a Journey
to Morocco in 1863 and 1864.8 The book, which
came out after Hodgkin’s death, was dedicated to Sir
Moses Montefiore. From his early adulthood, Thomas Hodgkin was
passionate about the protection of human rights in
general and of indigenous societies in particular. At
the age of 21, he composed an essay, “On the
Promotion of Civilization.” In this plea on behalf of
endangered North American Indians he wrote: “A
comparison between ancient and modern times as
far as relates to the influence which civilized nations
have had upon the uncivilized shows that the last
five hundred years, those under the name of
Christians have done far more to degrade, corrupt
and exterminate their uncivilized fellow creatures
than all the heathen world, since the creation of
man. Wherever they have gone they have introduced
new vices and new diseases.” Hodgkin offered to pay
for the education of a young North American Indian,
aiming to provide this person with tools for The contribution of Thomas Hodgkin to medi-
cine was enormous. He started medical studies at
Guy’s Hospital. After walking the ward for 2 years,
he was admitted to the University of Edinburgh. In
1822, he went to France for a year of elective studies. He was privileged to work with Professor René
Laennec at patients’ bedside and in the autopsy
room, where he concentrated on the evaluation of
clinical and pathological correlations. On his way
back from France to Edinburgh, Hodgkin renewed
his relationship with Guy’s Hospital. He was invited
to give a lecture to the Hospital Physical Society on
“mediate auscultation,” or the use of “Laennec’s January 2017 Volume 8 Issue 1 e0009 2 Legacy of Thomas Hodgkin proper disposal of sewage. Hodgkin also warned of
the dangers of overeating, excessive alcohol use,
occupational dust exposure, and tobacco use,
including passive smoking, stating that “smoking
encroaches on the freedom and comfort of others.”
His prescience was amazing, given that the first sign
prohibiting smoking in Guy’s Hospital was put up in
1881, 15 years after Hodgkin’s death. Rambam Maimonides Med J | www.rmmj.org.il This
case was published by James Blundell, a surgeon
and a gynecologist who is remembered for the
introduction of blood transfusion into clinical
medicine. In this publication, Dr Blundell warmly
acknowledged that “Dr. Hodgkin’s talents and great
accuracy were well known to the profession.”10 Realizing that education for healthy behavior and
abstinence from smoking was an effective way of
maintaining good health, Thomas Hodgkin deliv-
ered (in 1829) a series of four lectures to laymen at
the Mechanics’ Institute, Spitalfields, which he fur-
ther published under the title “Lectures on the
Means of Promoting and Preserving Health.”9 He
pointed out the importance of clean air, bathing, and Figure 2. The Laennec Cylinder Used by Thomas
Hodgkin. The Laennec cylinder, commonly called “stethoscope,”
was introduced by Thomas Hodgkin to Guy’s Hospital. This stethoscope, used by Thomas Hodgkin, is exhibited
at Gordon Museum, King’s College, London, Guy’s
Campus, Hodgkin House. Photo by E.J. Dann. In 1832, Thomas Hodgkin published a paper first
describing the clinical entity of the absorbent gland
and spleen in six patients (Figure 3). Dr Samuel
Wilks, who included some of Hodgkin’s patients in
his own series of case reports, suggested in his
review, published in 1865, naming this disease after
Hodgkin. In 1926, Herbert Fox confirmed micro-
scopically that three of the six patients originally
reported by Hodgkin actually did have “Hodgkin’s
disease.” Figure 2. The Laennec Cylinder Used by Thomas
Hodgkin. The Laennec cylinder, commonly called “stethoscope,”
was introduced by Thomas Hodgkin to Guy’s Hospital. This stethoscope, used by Thomas Hodgkin, is exhibited
at Gordon Museum, King’s College, London, Guy’s
Campus, Hodgkin House. Photo by E.J. Dann. Thomas Hodgkin has made a vital contribution
to the curriculum of medical education, a contribu- Rambam Maimonides Medical Journal Rambam Maimonides Medical Journal January 2017 Volume 8 Issue 1 e0009 3 Legacy of Thomas Hodgkin Figure 3. Three of the Original Post-Mortem Specimens of Organs Removed from Patients Who Succumbed to
the Disease Currently Known as Hodgkin Lymphoma. The specimens are exhibited at Gordon Museum, King’s College, London, Guy’s Campus, Hodgkin House. Photo by
E.J. Dann. Figure 3. Three of the Original Post-Mortem Specimens of Organs Removed from Patients Who Succumbed to
the Disease Currently Known as Hodgkin Lymphoma. The specimens are exhibited at Gordon Museum, King’s College, London, Guy’s Campus, Hodgkin House. Photo by
E.J. Dann. tion that remains largely intact to this day. In 1827,
he lectured at the opening of the academic year. His
presentation entitled “On medical education” was a
provocative talk on the superiority of the Contin-
ental way of studying medicine compared to the
English system. The lecture was happily cited in The
Lancet, which was very critical about the English
health care system at that time. In the same year,
Hodgkin introduced the course of morbid anatomy
to Guy’s Hospital, a course that was initially option-
al, but which in time developed into the pathology
course that became an integral and essential part of
the curriculum at every medical school throughout
the world. Hodgkin wrote a two-volume textbook,
On the Morbid Anatomy of the Serous and Mucous
Membranes. While the first part was published in
1836, when he was still at Guy’s, the second volume
was issued only in 1840. initiated by Sir Moses Montefiore. Donations to the
fund were not limited to private sources only; large
contributions were also made by the governments of
the United Kingdom, France, and Scandinavian
countries. The fund-raising committee supplied
medical aid to the survivors of the massacre that
happened in Syria and Lebanon following ethnic
riots in 1860. The committee used the remaining
money to establish asylums for widows and orphans. This gives another proof that Hodgkin’s deeds are
relevant today when the world is facing a humani-
tarian crisis, with millions of refugees fleeing
persecution and violence. tion that remains largely intact to this day. In 1827,
he lectured at the opening of the academic year. His
presentation entitled “On medical education” was a
provocative talk on the superiority of the Contin-
ental way of studying medicine compared to the
English system. Rambam Maimonides Medical Journal January 2017 Volume 8 Issue 1 e0009 Rambam Maimonides Medical Journal The lecture was happily cited in The
Lancet, which was very critical about the English
health care system at that time. In the same year,
Hodgkin introduced the course of morbid anatomy
to Guy’s Hospital, a course that was initially option-
al, but which in time developed into the pathology
course that became an integral and essential part of
the curriculum at every medical school throughout
the world. Hodgkin wrote a two-volume textbook,
On the Morbid Anatomy of the Serous and Mucous
Membranes. While the first part was published in
1836, when he was still at Guy’s, the second volume
was issued only in 1840. Thomas Hodgkin died in Jaffa on April 4, 1866. He was buried in the Anglican cemetery, and his
friend Montefiore shipped a red granite obelisk
stone to be placed on his tomb (Figure 4). The
inscription on the tombstone says that it was erected
by Sir Moses Montefiore, Bart. “in commemoration
of a friendship of more than 40 years and many
journeys taken together in Europe, Asia and Africa.”
The epitaph on the tomb is inscribed by Hodgkin’s Thomas Hodgkin used his medical and organiza-
tional skills for the benefit of humanitarian missions
around the world. He played a pivotal part in the
foundation of the British Syrian Relief Fund Rambam Maimonides Medical Journal January 2017 Volume 8 Issue 1 e0009 4 Legacy of Thomas Hodgkin Figure 4. The Inscription on the Obelisk Stone Placed on Thomas Hodgkin’s Tomb. Photo by E.J. Dann. Figure 4. The Inscription on the Obelisk Stone Placed on Thomas Hodgkin’s Tomb. Photo by E.J. Dann. 5. Geller SA, Taylor CR. Thomas Hodgkin: the “man”
and “his disease”: humani nihil a se alienum putabit
(nothing human was foreign to him). Virchows Arch
2013;463:353–65. Full Text 5. Geller SA, Taylor CR. Thomas Hodgkin: the “man”
and “his disease”: humani nihil a se alienum putabit
(nothing human was foreign to him). Virchows Arch
2013;463:353–65. Full Text 5. Geller SA, Taylor CR. Thomas Hodgkin: the “man”
and “his disease”: humani nihil a se alienum putabit
(nothing human was foreign to him). Virchows Arch
2013;463:353–65. Full Text deeply sorrowing widow and brother to record their
irreparable loss ‘‘In the faith and hope of the gospel. Humani nihil a se alienum putabat” (Nothing of
humanity was foreign to him). Rambam Maimonides Medical Journal Hodgkin used a
similar inscription on his thesis dedicated to the
scientist whom he admired greatly, Alexander von
Humboldt. 6. Leibowitz JO. Thomas Hodgkin (1798–1866). Isr J
Med Sci 1967;3:501–4. 6. 7. Soit I, Ben-Arush MW. [Two-hundred years since the
birth of Thomas Hodgkin (1798–1886)]. Harefuah
1998;135:558-60. Hebrew. January 2017 Volume 8 Issue 1 e0009 Rambam Maimonides Medical Journal REFERENCES 8. Hodgkin T. Narrative of a Journey to Morocco in
1863 and 1864. London, UK: T. Cautley Newby; 1866. 1. Kass AM, Kass EH. Perfecting the World: The Life
and Times of Dr. Thomas Hodgkin (1798–1866). Boston, MA: Harcourt Brace Jovanovich; 1988. 1. Kass AM, Kass EH. Perfecting the World: The Life
and Times of Dr. Thomas Hodgkin (1798–1866). Boston, MA: Harcourt Brace Jovanovich; 1988. 9. Hodgkin T. Lectures on the Means of Promoting and
Preserving Health. London, UK: Cornhill Darton &
Harvey Highly Fry; 1835. 2. Rosenfeld LR. Thomas Hodgkin: Morbid Anatomist
and Social Activist. Lanham, MD: Madison Books;
1992. 2. Rosenfeld LR. Thomas Hodgkin: Morbid Anatomist
and Social Activist. Lanham, MD: Madison Books;
1992. 10. Blundell J. Examination of the body of Mrs. Moulden
aged about 50 years. Lancet 1829;12:215–18. Full
Text 3. Rose M. Curator of the Dead, Thomas Hodgkin
(1798–1866). London, UK: Peter Owen; 1981. 3. Rose M. Curator of the Dead, Thomas Hodgkin
(1798–1866). London, UK: Peter Owen; 1981. 4. Stone MJ. Thomas Hodgkin: medical immortal and
uncompromising idealist. Proc (Bayl Univ Med Cent)
2005;18:368-75. 4. Stone MJ. Thomas Hodgkin: medical immortal and
uncompromising idealist. Proc (Bayl Univ Med Cent)
2005;18:368-75. Rambam Maimonides Medical Journal 5
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https://lirias.kuleuven.be/bitstream/123456789/577687/1/Wittouck_et_al-2017-BMC_Evolutionary_Biology.pdf
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English
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Correlated duplications and losses in the evolution of palmitoylation writer and eraser families
|
BMC evolutionary biology
| 2,017
|
cc-by
| 9,573
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© The Author(s). 2017 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83
DOI 10.1186/s12862-017-0932-0 Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83
DOI 10.1186/s12862-017-0932-0 Abstract Background: Protein post-translational modifications (PTMs) change protein properties. Each PTM type is
associated with domain families that apply the modification (writers), remove the modification (erasers) and bind to
the modified sites (readers) together called toolkit domains. The evolutionary origin and diversification remains
largely understudied, except for tyrosine phosphorylation. Protein palmitoylation entails the addition of a palmitoyl
fatty acid to a cysteine residue. This PTM functions as a membrane anchor and is involved in a range of cellular
processes. One writer family and two erasers families are known for protein palmitoylation. Results: In this work we unravel the evolutionary history of these writer and eraser families. We constructed a high-
quality profile hidden Markov model (HMM) of each family, searched for protein family members in fully sequenced
genomes and subsequently constructed phylogenetic distributions of the families. We constructed Maximum
Likelihood phylogenetic trees and using gene tree rearrangement and tree reconciliation inferred their evolutionary
histories in terms of duplication and loss events. We identified lineages where the families expanded or contracted
and found that the evolutionary histories of the families are correlated. The results show that the erasers were
invented first, before the origin of the eukaryotes. The writers first arose in the eukaryotic ancestor. The writers and
erasers show co-expansions in several eukaryotic ancestral lineages. These expansions often seem to be followed by
contractions in some or all of the lineages further in evolution. Conclusions: A general pattern of correlated evolution appears between writer and eraser domains. These
co-evolution patterns could be used in new methods for interaction prediction based on phylogenies. Keywords: Post-translational modifications, Phylogenetic reconstruction, Tree reconciliation, Gene duplications,
Gene losses, Correlated evolution Correlated duplications and losses in the
evolution of palmitoylation writer and
eraser families Stijn Wittouck1,2 and Vera van Noort1* * Correspondence: vera.vannoort@kuleuven.be
1Centre of Microbial and Plant Genetics, KU Leuven, Leuven, Belgium
Full list of author information is available at the end of the article Background of lipids can function as lipid anchors [31], of which acyl
groups and prenyl groups anchor proteins to the cytosolic
side of a membrane. These acyl and prenyl groups often
work together for stable and location-specific membrane
attachment. Palmitoylation has a special position among
them, as it is the only fully reversible lipid PTM, allowing for
dynamics and regulation of protein-membrane interactions. Protein palmitoylation is a PTM that involves the addition
of a 16-carbon saturated fatty acid, called palmitate, to a
cysteine residue in a protein [7]. Due to the discovery of
the palmitoylation writer enzyme family in the early 2000s
and the recent developments in the application of large-
scale MS to study various PTMs, including palmitoylation,
this PTM has only recently been studied intensively. The
primary function of the cysteine-attached palmitoyl group
is to serve as a lipid anchor on soluble proteins, turning
them into peripheral membrane proteins. Different classes In addition to peripheral membrane proteins, integral
membrane proteins are also frequently palmitoylated. Palmitoylated proteins are implicated in at least four classes
of cellular processes. The first is the attachment of soluble
proteins to the membrane and their localization to specific
membrane compartments. The second function is the traf-
ficking of membrane proteins between organelles and/or
the plasma membrane (PM), and the third is the targeting * Correspondence: vera.vannoort@kuleuven.be
1Centre of Microbial and Plant Genetics, KU Leuven, Leuven, Belgium
Full list of author information is available at the end of the article * Correspondence: vera.vannoort@kuleuven.be
1Centre of Microbial and Plant Genetics, KU Leuven, Leuven, Belgium
Full list of author information is available at the end of the article Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Page 2 of 12 Page 2 of 12 of membrane proteins to specific parts of the PM such as
postsynaptic clusters in neurons or lipid rafts. The fourth
function is the stabilization of transmembrane proteins. granules in neurons. These lipofuscin granules are com-
posed of residues from lysosomal digestion. The nature of
infantile NCL as lysosomal storage disorder seems very
compatible with the function of PPT1 as a lysosomal
enzyme. In non-diseased individuals, the protein is glyco-
sylated at three places and transported to the lysosomes
via the mannose 6-phosphate (M6P) pathway [24]. Never-
theless, many studies have shown that PPT1 is also impli-
cated in processes outside of the lysosome. Background The APT and PPT families are sometimes
situated within the serine hydrolase superfamily [38]. Similarly to tyrosine phosphorylation, the very first form
of lysine acetylation was also probably accidental. Acetyl-
ation has been shown to occur non-enzymatically in vitro
and probably also in vivo [44]. In E. coli, acetylation levels
reflect levels of acetyl-CoA present in the cell. This cofactor
reflects, in turn, the nutrient status of the cell due to its
central position in cellular metabolism. Deacetylation is
performed by sirtuins, which allows for further regulation
(i.e. in response to other signals than acetyl-CoA levels). The
earliest acetylation system in the last universal common
ancestor could have been similar to this system in E. coli. In
this evolutionary scenario, the acetylation writer and reader
domains have been later additions to this primitive but
already functional PTM system using only eraser enzymes. The APTs are cytosolic proteins [7]. Three of them have
been found in humans: APT1, APTL1 and APT2. Origin-
ally they were identified as lysophospholipases (enzymes
that deacylate monoacylated phospholipids), but recently
they have all been found to perform depalmitoylation. APT1 is the best studied example [45]. It deacylates per-
ipheral as well as integral membrane proteins, the classic
example being signaling proteins of the Ras family. It
shows some selectivity for substrates, and its efficiency
varies across its substrates. It is strongly conserved among
eukaryotes and, as opposed to proteins of the PPT and
DHHC families, also present in prokaryotic species. While for some PTM types like tyrosine phosphorylation
and lysine acetylation there have been speculations on their
stepwise origin, this is not the case for most of the PTM
types, including palmitoylation. In this work we study the ori-
gin and evolution of the palmitoylation toolkit enzymes. The
main aims are to identify lineage-specific family expansions
and contractions and relate those to protein palmitoylation
functionality and secondly to identify if the evolutionary his-
tories of palmitoylation toolkit enzymes are correlated. If
more studies like this accumulate it will become clear if the
evolution of PTM systems on the long timescale follows gen-
eral trends, such starting out as an accidental modification
that gives rise to erasers as first of the toolkit domains. Enzymes of the PPT family have been shown to be
targeted to the lysosomes [45]. They are conserved in
eukaryotes. Humans have two of them: PPT1 and PPT2. Background In neurons,
the enzyme has sometimes been found in synaptic vesi-
cles. It is often secreted (also in non-neuronal cells) and
endocytosed again via the M6P receptor. However, much
of the function of the protein remains to be discovered. p
The principal protein family that is responsible for pro-
tein palmitoylation is the DHHC family of enzymes [18]. These are enzymes located in the membranes of the endo-
membrane system. They catalyze the transfer of a palmi-
toyl group from palmitoyl-CoA to a cysteine residue,
forming a thioester bond. The first proteins of this family
were discovered recently in yeast, and since then the fam-
ily was found to be present in all eukaryotic species, with
occurrences per genome ranging from less than ten in
fungi to more than 20 in other eukaryotes [29]. The family
is defined by its 51 residue DHHC domain, which is a
variant of the C2H2 zinc finger motif. The DHHC domain
containing proteins are characterized by i) a conserved
sequence motif consisting of the residues aspartate, histi-
dine, histidine and cysteine (DHHC) ii) six conserved cys-
teines iii) four to six transmembrane domains, the DHHC
domain itself being located between two pairs of these on
the cytosolic side of the membrane. This is compatible
with the palmitate anchoring proteins to the intracellular
side of the membrane in most cases. A lot less is known about protein depalmitoylation than
is known about palmitoylation; it is very likely that other
depalmitoylating enzymes remain to be discovered [7]. Explaining the seemingly irreducible complexity of writer-
eraser-reader systems is an important challenge that needs
to be addressed for every PTM type under investigation. In
the case of tyrosine phosphorylation, it has been speculated
that primitive PTPs in species without PTKs or reader do-
mains are active to dephosphorylate Tyr residues that have
been accidentally phosphorylated by promiscuous Ser/Thr
kinases [30]. A prototypical example of this phenomenon is
seen in Saccharomyces cerevisiae, where accidentally occur-
ring pTyr residues exert unwanted allosteric effects, causing
selective pressure for their removal [28]. Two small protein families are currently known to per-
form protein depalmitoylation: the acyl protein thioes-
terases (APTs) and protein palmitoyl thioesterases (PPTs)
[7, 45]. In a structural/evolutionary classification of protein
families, both are part of the alpha/beta hydrolase super-
family [32]. They make use of a nucleophile-acid-histidine
catalytic triad. Background They can both catalyze the depalmitoylation of palmitoyl-
CoA, but only PPT1 is capable of depalmitoylating
proteins. It has been shown that PPT2 is incapable of
protein depalmitoylation [3]. PPT1 has been heavily stud-
ied because it has been identified as the causative gene of
the disease infantile neuronal ceroid lipofuscinosis [24]. Neuronal ceroid lipofuscinoses (NCL) are a set of diseases
characterized by an aggregation of so-called lipofuscin Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Page 3 of 12 Page 3 of 12 Page 3 of 12 Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Results been shown to be autopalmitoylated but there is no
direct evidence for its palmitoylating activity. There is
one more human copy of the DHHC family ZDHHC11B
but its activity has not been studied. Profiles of (de-)palmitoylating protein families Profiles of (de-)palmitoylating protein families We first searched the literature for proteins for which
there is experimental evidence for palmitoylating or
depalmitoylating enzymatic activity (Fig. 1a). We found
five members in three species of the APT family with
depalmitoylating activity (Table 1), four members in four
species of the PPT family with depalmitoylating activity
and 30 members in two species of the DHHC family
with palmitoylating activity. The APT1 of Saccharomyces
cerevisiae and Toxoplasma gondii are homologous to
human APT1. For one of the palmitoylating enzymes
ZDHHC13 the activity is still doubtful; the protein has BLAST searches in proteomes of completely sequenced
organisms resulted in 1576 DHHC sequences, 144 APT
sequences and 136 PPT sequences. Based on a subset of
these homologs, we generated multiple sequence align-
ments and manually corrected those. These seed align-
ments
contained
159
DHHC
sequences,
134
APT
sequences and 128 PPT sequences. We used the corrected
alignments to construct Hidden Markov Models (HMMs)
for each of the three families (Fig. 1b–d). The DHHC Fig. 1 Profiles of palmitoylating and depalmitoylating enzymes. a Overview of the strategy for Profile HMM construction. b Domain composition
and HMM profile of DHHC protein domain. c Domain composition and HMM Profile of APT protein family. d Domain composition and HMM
profile of PPT protein family Fig. 1 Profiles of palmitoylating and depalmitoylating enzymes. a Overview of the strategy for Profile HMM construction. b Domain composition
and HMM profile of DHHC protein domain. c Domain composition and HMM Profile of APT protein family. d Domain composition and HMM
profile of PPT protein family Fig. 1 Profiles of palmitoylating and depalmitoylating enzymes. a Overview of the strategy for Profile HMM construction. b Domain composition
and HMM profile of DHHC protein domain. c Domain composition and HMM Profile of APT protein family. Phylogenetic distribution We used the HMM-profiles to search for protein family
members
in
completely
sequenced
genomes
of
119
eukaryotic and 1008 prokaryotic species. A length-score
distribution was used to determine a threshold for inclusion
and proteins not containing essential residues were re-
moved. We found that metazoan genomes contain a large
number of DHHC encoding genes, although there is con-
siderable variation between species. Most of them have 10
to 25 DHHC genes, whereas vertebrate genomes contain at
least 15 DHHCs. All eukaryotic species contain between 1
and 4 APTs (with one exception of zero) and zero to four
PPTS (with one exception of six). Fungal genomes contain
the smallest number of DHHCs; only three to seven. Within the green plants (Viridiplantae) there is a clear
distinction between two classes; the Chloryphyta have few
DHHCs, one APT and one PPT whereas the Embryophyta
(land plants) have many DHHCs, four or five APTs and
two or three PPTs (Fig. 2). Only the APT family was found
outside of eukaryotes with some proteobacteria having
one or two copies of this family. From the phylogenetic distribution (Figs. 2 and 3) it is
already clear that the number of copies in a genome of
each of the enzyme families is correlated, the correlation
being 0.58 between DHHC and APT; 0.43 between
DHHC and PPT and 0.53 between APT and PPT. How-
ever, such correlation could be due to few phylogenetic
events; the distributions of DHHC, APT and PPT genes
in extant genomes are not phylogenetically independent. Profiles of (de-)palmitoylating protein families d Domain composition and HMM
profile of PPT protein family Page 4 of 12 Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Page 4 of 12 residues as well as six conserved cysteines can clearly be
b
d i
h
fil
f h DHHC f
il (Fi
1b) h
Table 1 Palmitoylation writer and eraser proteins of the APT,
PPT and DHHC families of (de-)palmitoylating enzymes whose
activity has been experimentally demonstrated
Family
species
gene
Reference
APT
Saccharomyces cerevisiae
APT1
[13]
Homo sapiens
APT1
[11]
APTL1
[41]
APT2
[42]
Toxoplasma gondii
APT1
[21]
PPT
Bos taurus
PPT1
[5]
Homo sapiens
PPT1
[9]
Drosophila melanogaster
Ppt1
[17]
Caenorhabditis elegans
ppt-1
[35]
DHHC
Saccharomyces cerevisiae
AKR1
[23]
ERF2
[1]
SWF1
[43]
PFA3
[39]
PFA4
[26]
PFA5
[19]
Homo sapiens
ZDHHC1
[41]
ZDHHC2
ZDHHC3
ZDHHC4
ZDHHC5
ZDHHC6
ZDHHC7
ZDHHC8
ZDHHC9
ZDHHC11
ZDHHC12
ZDHHC13
ZDHHC14
ZDHHC15
ZDHHC16
ZDHHC17
ZDHHC18
ZDHHC19
ZDHHC20
ZDHHC21
ZDHHC22
ZDHHC23
ZDHHC24 asparagine at 39 and phenylalanine at 43. The APT and
PPT profiles are much longer: 207 and 246 match states re-
spectively (Fig. 1c–d). The actual domains are even slightly
longer, because there are some insertion states that span
multiple positions. Apart from the catalytic triads, the two
profiles show other common characteristics. For example,
the catalytic serine is located in an area of conserved hydro-
phobic residues. They also both contain many sites with
conserved aromatic residues (green residues in the logos),
especially the PPT profile that has more than 10 of these. The length of the DHHC family being short is consist-
ent with the multi-domain nature of these proteins
(Fig. 1b) as opposed to the single domains of which the
APT and PPT family consist. Palmitoyltransferases con-
tain next to the DHHC domain, multiple Transmem-
brane domains that anchor them to the membrane. Duplications and losses in gene family trees We used phylogenetic reconstructions and tree reconcili-
ation to identify phylogenetically independent duplication
and loss events and mapped these to a species tree. Bias in
inferred duplication and losses can be introduced by small
errors in gene trees. To reduce this bias, we performed
gene tree rearrangement such that branches that are residues as well as six conserved cysteines can clearly be
observed in the profile of the DHHC family (Fig. 1b) that
has 43 match states. Other conserved residues are a histi-
dine at position 13, an aromatic residue at position 30, Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Page 5 of 12 Fig. 2 Evolutionary history of DHHC family proteins. Tree reconciliation of the DHHC rearranged tree. Green bars indicate number of DHHC
protein in the extant genome, cyan APT proteins, and magenta PPT proteins. Yellow circles indicate inferred increases in copy numbers of the
DHHC family, red circles indicate inferred decreases in copy numbers of the DHHC family. The tree topology is extracted from NCBI taxonomy. Tree continues in Fig. 3 Fig. 2 Evolutionary history of DHHC family proteins. Tree reconciliation of the DHHC rearranged tree. Green bars indicate number of DHHC
protein in the extant genome, cyan APT proteins, and magenta PPT proteins. Yellow circles indicate inferred increases in copy numbers of the
DHHC family, red circles indicate inferred decreases in copy numbers of the DHHC family. The tree topology is extracted from NCBI taxonomy. Tree continues in Fig. 3 contractions were followed by expansions. One expansion
is visible in the lancelet lineage, leading to the species
Branchiostoma oridae . A second one is actually a stretch
of expansions, starting at the Euteleostomi (Vertebrata)
and continuing in two lineages: via the Clupeocephala
until the Percomorphaceae ancestor and via the Tetrapoda
until the Boreoeutheria ancestor. This stretch of expan-
sions was followed by late losses in all lineages. This leads
to the conclusion that the copy number of DHHCs peaked
in at least three ancestral species. First in the common
eukaryotic ancestor, that appears to have had a larger
number of DHHCs than the single cell eukaryotes and
Ecdysozoa living today. After that in the common ances-
tors of the Clupeocephala and Boreoeutheria, that both uncertain are rearranged in order to follow the species
tree (see methods). Duplications and losses in gene family trees If there are many duplications in a
specific branch, the gene family is expanding whereas
many losses in one branch result in contraction of the
family. We identify an expansion of DHHC at the last
eukaryotic common ancestor. This means part of the
diversity in present day DHHC enzymes arose already in
this earliest stage of eukaryotic evolution. At the root of
the metazoan, the DHHC diversity was shaped by an early
expansion followed by contractions. These contractions
continued in the non-chordate eukaryotic species and led
to their low DHHC numbers. Some of these species have
a slightly larger number of DHHCs due to small late
expansions. In
the
Chordata,
the
early
eukaryotic Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Page 6 of 12 Hydra magnipapillata
Caenorhabditis briggsae
Drosophila melanogaster
Tribolium castaneum
Dasypus novemcinctus
Nasonia vitripennis
Oryzias latipes
Rattus norvegicus
Drosophila willistoni
Danio rerio
Aedes aegypti
Gasterosteus aculeatus
Drosophila pseudoobscura
Taeniopygia guttata
Equus caballus
Monodelphis domestica
Drosophila grimshawi
Oryctolagus cuniculus
Anopheles gambiae
Sus scrofa
Anolis carolinensis
Bos taurus
Caenorhabditis japonica
Culex quinquefasciatus
Homo sapiens
Ciona intestinalis
Xenopus Silurana tropicalis
Drosophila virilis
Nematostella vectensis
Ciona savignyi
Takifugu rubripes
Trichoplax adhaerens
Drosophila ananassae
Caenorhabditis elegans
Mus musculus
Felis catus
Gallus gallus
Strongylocentrotus purpuratus
Pediculus humanus corporis
Schistosoma japonicum
Cavia porcellus
Caenorhabditis brenneri
Canis lupus familiaris
Macaca mulatta
Caenorhabditis remanei
Ornithorhynchus anatinus
Branchiostoma floridae
Apis mellifera
Ixodes scapularis
Tetraodon nigroviridis
3
7
12
1
3
3 6
Fig. 3 Evolutionary history of DHHC family proteins. Tree reconciliation of the DHHC rearranged tree. Green bars indicate number of DHHC protein in the
extant genome, cyan APT proteins, and magenta PPT proteins. Yellow circles indicate inferred increases in copy numbers of the DHHC family, red circles
indicate inferred decreases in copy numbers of the DHHC family. The tree topology is extracted from NCBI taxonomy. Tree continued from Fig. 2 Fig. 3 Evolutionary history of DHHC family proteins. Tree reconciliation of the DHHC rearranged tree. Green bars indicate number of DHHC protein in the
extant genome, cyan APT proteins, and magenta PPT proteins. Yellow circles indicate inferred increases in copy numbers of the DHHC family, red circles
indicate inferred decreases in copy numbers of the DHHC family. The tree topology is extracted from NCBI taxonomy. Tree continued from Fig. 2 had larger DHHC counts than any eukaryotic species
sequenced today. Duplications and losses in gene family trees In the superphylum of the Alveolata,
small contractions in the apicomplexan linages led to a
small number of DHHCs. species tree branches with a large number of duplications or
losses; the pattern is not visible for species tree branches with
less than five DHHC duplications and less than five losses. We assessed statistical significance by considering the net
expansions in the DHHC family for each internal branch and
dividing them into three groups according to events in APT
or PPT family; expansion, contraction or no change. We used
the Wilcoxon rank-sum test for independent samples. The
association between evolutionary events in the DHHC family
with events in the APT family is significant (Fig. 4c, p =
0.0011). The association between DHHC and PPT evolution-
ary events (Fig. 4b) is even stronger (Fig. 4d, p = 0.0001). In
addition, the association between the APT and PPT events is
also significant (Fisher exact test; p = 2e-7). In the APT and PPT families we also observe gains and
losses but the copy number per genome is much smaller
than the DHHC (Additional files 1 and 2: Figures S1 and S2). In the APT family we observe expansions at the last common
eukaryotic ancestor, at the metazoan ancestor and the ances-
tor of the euteleostomi. The apicomplexa lost all APT family
members, likely linked to their parasitic lifestyle. Correlation between DHHC and APT/PPT evolution The phylogenetic placing of evolutionary events of the
DHHC, APT and PPT families are strikingly similar. At spe-
cies tree branches with many DHHC duplication events and
few losses, the APT family also often expanded (Fig. 4a). Conversely, at branches with few DHHC duplications and a
lot of losses, the APT family often reduced (Fig. 4a). The as-
sociation between the two families is only apparent for For comparison, reconciliation of the original ML DHHC
tree without rearrangement can be found in Additional file
3: Figure S3. As a negative control, we also inferred the evo-
lutionary history of the histone deacetylase (HDAC) enzyme
family that has 710 members in the genomes we analyzed. We tested its association with the APT and PPT families in Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Page 7 of 12 p=0.002**
p=0.0003***
p=0.0003***
p=0.005**
A
B
C
D
Fig. 4 Correlated evolution of DHHC, APT and PPT families. a, b Each dot represents one branch in the species tree. X-axis number of duplications in the
DHHC family in that branch, y-axis number of DHHC losses in that branch (a) yellow; branch with gains in APT family, red; branch with losses in APT family,
black no change in APT family. b yellow; branch with gains in PPT family, red; branch with losses in PPT family, black no change in PPT family. c Significant
differences in net gain in DHHC family per branch between three categories of branches, gain in APT, loss in APT or no change in APT family. d Significant
differences in net gain in DHHC family per branch between three categories of branches, gain in PPT, loss in PPT or no change in PPT family A B A B p=0.002**
p=0.0003***
p=0.005**
C p=0.0003***
D D C Fig. 4 Correlated evolution of DHHC, APT and PPT families. a, b Each dot represents one branch in the species tree. X-axis number of duplications in the
DHHC family in that branch, y-axis number of DHHC losses in that branch (a) yellow; branch with gains in APT family, red; branch with losses in APT family,
black no change in APT family. b yellow; branch with gains in PPT family, red; branch with losses in PPT family, black no change in PPT family. Correlation between DHHC and APT/PPT evolution c Significant
differences in net gain in DHHC family per branch between three categories of branches, gain in APT, loss in APT or no change in APT family. d Significant
differences in net gain in DHHC family per branch between three categories of branches, gain in PPT, loss in PPT or no change in PPT family that these families co-evolve. We find that the DHHC
family is only present in eukaryotes. The APT family on the
other hand is also present in bacteria. More specifically, we
find two clusters of proteins matching the APT model: a
high scoring cluster with exclusively proteins from the
Proteobacteria, and a lower scoring cluster with proteins
from Proteobacteria as well as other bacterial clades. The
presence of APTs in bacteria strongly suggests that they the same manner as we did for the DHHC family. Although
some level of association is observed, there is no significant
correlation between HDAC net gain and changes in the
APT and PPT families (Additional file 4: Figure S4). Discussion In this work we have analyzed the phylogenetic distribution
of palmitoylating and depalmitoylating enzymes and show Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Page 8 of 12 arose before the DHHCs in the course of evolution. What
could the function of this palmitoylation eraser family be
without there being palmitoylation writer enzymes? A
possibility is that they have evolved to remove accidental
palmitoylation, as this modification has been shown to
occur non-enzymatically. This removal of accidental modi-
fications is similar to what has been speculated for tyrosine
phosphorylation and lysine acetylation erasers [2]. and it is unclear why their diversification in function
might be useful in case of increased use of protein
palmitoylation, although selection pressure for duplica-
tions for dosage increase is conceivable. And secondly,
very few PPT enzymes are experimentally confirmed as
palmitoylation erasers, and for some of them it has even
been shown that they are not capable of this function,
such as human PPT2. If the selection scenario is correct,
this might be an indication that protein depalmitoylation
is in fact the main function of the PPT family, and that
these non-depalmitoylating PPTs are rather the exception. In the DHHC family, we find consecutive periods of
expansions and contractions. A first hypothesis to explain
the expansion-contraction patterns is a temporary selec-
tion pressure for a larger number of DHHCs. In general,
the adaptive expansion of a gene family can occur for two
reasons: a dosage increase of the proteins or a functional
diversification of the family [12]. Contractions of gene
families are thought to be mainly the result of neutral
selection; in other words, the loss alleles are fixated by
random drift because they are not deleterious. A pattern of expansion followed by contractions is often
seen at whole-genome duplications (WGDs). A possible
pitfall of this analysis is that we simply observe the effect
of WGDs. In Metazoa, known WGDs occurred in the
common ancestor of the Vertebrata and in the common
ancestor of the teleost fishes [34]. Also in the history of
land plant evolution, one or more WGDs are known to
have occurred at the origin of multiple clades or species
that are present in our data: the Poaceae, eudicots, Arabi-
dopsis thaliana, Populus trichocarpa and Physcomitrella
patens [34]. Experimentally validated enzymes The literature resources Scopus and KU Leuven LIMO
were searched for research articles describing DHHCs,
APTs and PPTs using the search terms protein acylation;
protein depamitoylation; protein acyl thioesterase and
palmitoyl protein thioesterase . We read the articles and
stored protein and species names of characterized en-
zymes in a table. In contrast to the APT family, the strong co-evolution
of the PPT family with the DHHC and APT families was
rather unexpected, for a number of reasons. Firstly, it is
fairly certain that PPTs reside in the lysosomes. Therefore,
they are unlikely to participate in any signaling processes Discussion Although some overlap is visible with DHHC
expansions and WGD events, DHHC expansions also oc-
curred when no WGD took place and gene family expan-
sions continue in clades after WGD events. y
In this light, the question becomes why contractions of
the DHHC family after its expansion are not disadvanta-
geous. Actually, Hogeweg and co-worker have shown that
in an evolving system, lineages with whole genome dupli-
cation are better able to adapt to a changing environment
[10]. In case of expansion for dosage increase, it could be
speculated that gene expansion is the fastest way to
achieve this dosage increase. Amplification of an, initially,
low-efficiency enzyme can result in adaptive mutations to
arise in the enzymatic function or the regulation in any of
the gene duplicates. As the occurrence of adaptive muta-
tions is limited by the per base mutation rate, a duplica-
tion increases the options to adapt. Over time, the
expression levels or the enzymatic efficiency of the indi-
vidual genes is optimized to the new function, rendering
the extra copies superfluous. In case of functional diversi-
fication, the explanation for gene loss might be that after
new and improved types of DHHCs have evolved from
duplicated genes, they partly replace the functions of the
conserved types, also rendering them obsolete. Conclusions This study and previous studies suggests that the func-
tional link between writer and eraser domains is reflected
in correlated evolution on the level of duplications and
losses. Conversely, this information could be used to infer
functional relationships. So far, prediction of functional
interaction based on phylogenetic information has been
based on correlated sequence evolution or correlated
presence-absence profiles (for a review see [22]) but not
on duplications and losses. These methods work well spe-
cifically for bacteria and archaea but not as well in eukary-
otes [15]. The co-evolution patterns we find here, could
be employed to further develop functional interaction pre-
diction methods specific to eukaryotes. The co-occurrence of DHHC and APT expansions fits
in this selection hypothesis in two possible ways. First,
the APT expansions likely comprised only one or two
duplications. The evolution of a new palmitoylation
eraser enzyme might have created opportunities for
more extensive use of palmitoylation in general, leading
to selection for more DHHCs. Alternatively, another
molecular invention or a change in some environmental
factor might have created a selection pressure for the
palmitoylation machinary in general, including both
writers and erasers. Protein sequences We downloaded all protein sequences from the STRING
database (version 9.1) [16]. Locally installed BLAST (version Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Page 9 of 12 Page 9 of 12 2.2.30) [4] was used to find homologs of the experimentally
validated APT and PPT proteins, with an e-value of 10−50. To find homologs of the DHHC family an e-value cut-off of
10−10 was used. Other search paramaters were default; gap
opening penalty 11, gap extension penalty 1, word size 6
and the BLOSUM62 substitution matrix. For the APT and
PPT families, the hydrolase domains make up the largest
part of the proteins. Thus, whole protein sequences were
used as queries. For the DHHC family only the DHHC
domain was used as query. Non-redundant BLAST results
were collected together for each set of experimentally con-
firmed enzymes with the same function. the sequences was alignable, and thus it is appropriate to
include global instead of local pairwise alignment informa-
tion in the iterative optimization process. We made accur-
ate alignments for the APT and PPT families by making use
of the multithreading option implemented in MAFFT. First, we aligned the full set of BLAST results with an
extended G-INS-i algorithm, using 10,000 optimization
cycles. Then we manually inspected the resulting MSA. We
made small corrections to the alignment and excluded
some sequences based on the knowledge that the catalytic
triad is an essential feature of the protein family. Construction of seed alignments For the construction of profile HMMs and the subsequent
database searches using these profiles, we used the HMMER
software, version 3.1b1 [14]. By default, the hmmbuild com-
mand will select all columns of the alignment that contain
less than 50% gaps and model these as the match states. To
increase the specificity of the search, columns with many
gaps or low conservation were excluded. A strict non-gap
percentage threshold of 80% and a conservation threshold
of 5*10−6 were applied. These selection criteria were imple-
mented by the trimAl software, version 1.2rev59 [6]. The
boundaries of the family domain were determined by visual
inspection of the multiple sequence alignments and columns
outside of these boundaries were excluded. Skylign was used
to visualize the profile HMMs. The MAFFT package version 7 [20] contains three algo-
rithms: the FFT-NS-i, L-INS-i and G-INS-i. All of these
are based on a progressive alignment using a guide tree,
followed by iterative refinement. FFT-NS-i is the fastest
of the three methods. L-INS-i and G-INS-i are slower
but more accurate. The BLAST search results of the DHHC family resulted
in a large number of protein sequences. Not all of these sequences are needed to capture the
common characteristics and the diversity of the family. Taking a subset has the advantage of being able to create a
more accurate alignment, more atypical sequences are ex-
cluded and it is easier to remove problematic sequences. We implemented a subset function in R and makes use
of the R package Phangorn [37]. The function starts with
reading the MSA and the construction of a distance
matrix, making use of maximum likelihood distance esti-
mation and the LG model of amino acid substitution. Then follows an iterative process of two steps. First, the
two sequences with the smallest distance between them
are identified. And then, of these two, the sequence with
the largest total distance to all other sequences is re-
moved. These two steps are repeated until the number of
sequences is reduced to the required number. For the
DHHC family, the BLAST search results were first aligned
with the fast MAFFT FFT-NS-I method. Then, a subset of
200 sequences was extracted using the subset method. HMMER searches
Th
d The constructed profile HMMs were used to search the
protein sequence database. The domain list output of
hmmsearch was used for further analysis. Inclusion
thresholds were set based on i) visual inspection of the
length-score plot, ii) sequence characteristics of the re-
sults iii) functional annotations. After setting the inclu-
sion thresholds domain hits were removed that did not
contain essential parts of the domain, the DHHC motif
or the catalytic triad. Phylogenetic reconstruction To construct a multiple alignment of the DHHC family,
first complete domain hits without large insertions or
deletions were aligned with each other with the accurate L-
INS-i algorithm of MAFFT. Other sequences were added
with the –add option. Prealigned L-INS-i DHXC sequences
were
added with
the –addprofile option. Alignment
columns with less than 0.5% residues (99.5% gaps) were
removed to save computation time. The APT and PPT
sequences were aligned in one step with the MAFFT G-
INS-i algorithm with 10,000 optimization cycles. q
g
The sequences in this subset were then aligned with
the accurate L-INS-i algorithm. Next, the alignment was
inspected and doubtful sequences were removed. The
criteria for inclusion were: the presence of multiple cyst-
eine residues in the DHHC domain, the DHHC motif it-
self
and
the
2x2
transmembrane
structure
of
the
proteins. For the prediction of the transmembrane struc-
tures, we used the TMHMM server, version 2.0 [25]. For the alignments of the APT and PPT families, the G-
INS-i algorithm was used. While for the DHHC family, L-
INS-i seemed to give better results than G-INS-i, the op-
posite was true for the PPT and APT families. The reason
for this is that for these families, a much larger portion of The sequences in this subset were then aligned with
the accurate L-INS-i algorithm. Next, the alignment was
inspected and doubtful sequences were removed. The
criteria for inclusion were: the presence of multiple cyst-
eine residues in the DHHC domain, the DHHC motif it-
self
and
the
2x2
transmembrane
structure
of
the
proteins. For the prediction of the transmembrane struc-
tures, we used the TMHMM server, version 2.0 [25]. For the alignments of the APT and PPT families, the G-
INS-i algorithm was used. While for the DHHC family, L-
INS-i seemed to give better results than G-INS-i, the op-
posite was true for the PPT and APT families. The reason
for this is that for these families, a much larger portion of For the construction of all phylogenetic trees, we used
version 8.1.21 of RAxML [40]. The Pthreads implementa-
tion was used for parameter optimization, while we used
the hybrid implementation for the actual tree inferences. Tree rearrangement, reconciliation and mapping Tree rearrangement, reconciliation and mapping
The first step was the preprocessing of the ML gene tree
using R. We rooted the tree with bootstrap values on the
root given by the RAxML rooted tree. We gave names to
the internal nodes of the tree to make later tracking easier
and uniform. Tree rearrangement was carried out with
NOTUNG [8]. NOTUNG is a gene tree-species reconcili-
ation software package that supports duplication-loss
event models with a parsimony-based optimization criter-
ion. It thus identifies the smallest (weighted) number of
independent evolutionary events that explain the phylo-
genetic gene tree. NOTUNG functions include rearran-
ging of a rooted gene tree in areas of weak sequence
support, thus avoiding overestimating duplications in gene
trees that are incongruent with the species-tree. We used
the standard parsimony weight parameters of the software:
1.5 for a duplication, 0.0 for a conditional duplication and
1.0 for a loss. For the bootstrap cut-off value to identify
weak branches, the value of 90 was used. This is a rela-
tively strict value. For the rearrangement procedure, a bin-
ary species tree is needed. We obtained binary species
trees for each gene family by extracting the NCBI tax-
onomy species identifiers of all species present in the gene
tree and uploading them to the phyloT online tree gener-
ator (biobyte solutions GmbH, 2014) to generate a binary
species tree [36]. We used the following options in phyloT:
NCBI taxonomy IDs as identifiers, collapsed internal
nodes, no polytomies (this option randomly resolves the
polytomies of the underlying non-binary species tree from
NCBI), newick format. For the construction of phylogenetic trees for fewer
than 1000 sequences, the RAxML manual advises the
use of the analyses invoked by the -f a option, which
combines rapid bootstrapping with an extensive search
for the ML tree. We used this strategy for the APT and
PPT families. The algorithm starts by computing boot-
strap trees with RBS enabled. It then uses these boot-
strap trees as starting points to explore the tree space in
three steps, increasing the depth of the search but de-
creasing the number of trees in each step. First, it does a
fast search, using every fifth bootstrap tree as a starting
tree. In the second step, the ten most promising results
of the fast searches are further improved by doing slower
optimizations. Finally, the best of these resulting trees is
thoroughly optimized. Phylogenetic reconstruction Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Page 10 of 12 Page 10 of 12 Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 We determined the optimal protein substitution model
using a script provided by A. Stamatakis on the RAxML
website. The script determines the substitution model that
results in the highest likelihood value of a fixed maximum
parsimony (MP) tree. The initial rearrangement parameter
determines the depth of the tree search in each iteration of
the search algorithm. The RAxML software contains an op-
tion to determine this parameter automatically, but the
manual advises to test this automatic option versus a fixed
setting of 10 for a couple of trees. The option (fixed or
automatic) that results in the tree with highest likelihood
value should be used for the final tree inferences. We gen-
erated five MP starting trees and tested both the automatic
and fixed options on each of the trees. A fixed rearrange-
ment setting of 10 gave the best results for all families. RAxML tree construction algorithms always produce
unrooted trees. We used a rooting algorithm built into
RAxML. It uses a variant of midpoint rooting; the tree is
rooted in such a way that the sums of the branches of
both subtrees of the root are equal. Tree rearrangement, reconciliation and mapping This last step always uses the
gamma model of rate heterogeneity, even when the CAT
option is specified. The approach above is less attractive
for large trees. One reason for this is that it takes a lot
of computation time, and another that the required time
is impossible to predict. Therefore we used a slightly dif-
ferent strategy for the DHHC family. We started by
computing bootstrap trees in batches of 100 (with RBS
enabled). After each batch, we combined the bootstraps
of all batches and tested the MRE criterion. We stopped
when the criterion converged. After the tree rearrangements we performed the rec-
onciliation, both on the raw ML gene tree and on the
rearranged gene tree. For this step we needed non-
binary species trees; these were generated using phyloT
with the same options as described in the previous para-
graph, except that the polytomies were retained. For the
inferred duplications, NOTUNG outputs a lower and an
upper bound. The lower bound represents the oldest
species in which the duplication was present; the upper
bound is the youngest species in which the duplication
was not present. The losses are written to a table with
the species node names and the number of losses. To find the ML tree, we did 20 searches starting from
independent parsimony starting trees. To estimate the
irregularity of the likelihood surface, we calculated the
average Robinson-Foulds distance (RF) as well as the
average WRF between all trees. This resulted in a RF of
10.9% and a WRF of 2.8%. These values indicate that
while the trees differ quite substantially in general, they
are very similar at their highly supported branches. For
this reason, we did not perform extra ML tree searches. To obtain the final tree, we picked the ML tree with the
highest likelihood between these 20 trees and the trees
obtained in the process of tuning the rearrangement set-
ting. We then used the -f b option to draw the bootstrap
confidence values on this tree. The fact that the gene trees were rearranged using a
species tree with randomly resolved polytomies, means
that some random rearrangements were introduced in the
gene tree. This is however no problem, because in the rec-
onciliation process the non-binary species tree was used. References 1. Bartels DJ, Mitchell DA, Dong X, Deschenes RJ. Erf2, a novel gene product
that affects the localization and palmitoylation of Ras2 in Saccharomyces
cerevisiae. Mol Cell Biol. 1999;19:6775–87. 1. Bartels DJ, Mitchell DA, Dong X, Deschenes RJ. Erf2, a novel gene product
that affects the localization and palmitoylation of Ras2 in Saccharomyces
cerevisiae. Mol Cell Biol. 1999;19:6775–87. 2. Beltrao P, Bork P, Krogan NJ, van Noort V. Evolution and functional cross-talk
of protein post-translational modifications. Mol Syst Biol. 2013;9:714. 3. Calero G, Gupta P, Nonato MC, Tandel S, Biehl ER, Hofmann SL, Clardy J. The
crystal structure of palmitoyl protein thioesterase-2 (PPT2) reveals the basis
for divergent substrate specificities of the two lysosomal thioesterases, PPT1
and PPT2. J Biol Chem. 2003;278:37957–64. Ethics approval and consent to participate
Not applicable. Ethics approval and consent to participate
Not applicable. Ethics approval and consent to participate
Not applicable. Received: 13 September 2016 Accepted: 9 March 2017 Received: 13 September 2016 Accepted: 9 March 2017 Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Additional files 14. Eddy SR. Accelerated Profile HMM Searches. PLoS Comput Biol. 2011;7:e1002195. 14. Eddy SR. Accelerated Profile HMM Searches. PLoS Compu Additional files Additional file 1: Figure S1. Tree reconciliation of the APT ML and
rearranged trees. The upper half of the circles represents the results using
the ML tree; the lower half represents the results from the rearranged
tree. Yellow semicircles indicate inferred gain in the APT family, red
semicircles indicate inferred losses in the APT family. Black indicates no
inferred copy-number changes. The tree topology is extracted from NCBI
taxonomy. (PDF 41 kb) Additional file 1: Figure S1. Tree reconciliation of the APT ML and
rearranged trees. The upper half of the circles represents the results using
the ML tree; the lower half represents the results from the rearranged
tree. Yellow semicircles indicate inferred gain in the APT family, red
semicircles indicate inferred losses in the APT family. Black indicates no
inferred copy-number changes. The tree topology is extracted from NCBI
taxonomy. (PDF 41 kb) 4. Camacho C, Coulouris G, Avagyan V, Ma N, Papadopoulos J, Bealer K, Madden
TL. BLAST+: architecture and applications. BMC Bioinformatics. 2009;10:421. 5. Camp LA, Hofmann SL. Purification and properties of a palmitoyl-protein
thioesterase that cleaves palmitate from H-Ras. J Biol Chem. 1993;268:
22566–74. 6. Capella-Gutiérrez S, Silla-Martínez JM, Gabaldón T. trimAl: a tool for
automated alignment trimming in large-scale phylogenetic analyses. Bioinformatics. 2009;25:1972–3. Additional file 2: Figure S2. Tree reconciliation of the PPT ML and
rearranged trees. The upper half of the circles represents the results using
the ML tree; the lower half represents the results from the rearranged
tree. Yellow semicircles indicate inferred gains of the PPT family, red
semicircles indicate inferred gene losses of the PPT family. Black indicates
no inferred copy-number changes. The tree topology is extracted from
NCBI taxonomy. (PDF 38 kb) 7. Chamberlain LH, Shipston MJ. The physiology of protein S-acylation. Physiol
Rev. 2015;95:341–76. 8. Chen K, Durand D, Farach-Colton M. NOTUNG: A Program for Dating Gene
Duplications and Optimizing Gene Family Trees. J Comput Biol. 2000;7:429–47. 9. Cho S, Dawson PE, Dawson G. In vitro depalmitoylation of neurospecific
peptides: implication for infantile neuronal ceroid lipofuscinosis. J Neurosci
Res. 2000;59:32–8. 9. Cho S, Dawson PE, Dawson G. In vitro depalmitoylation of neurospecific
peptides: implication for infantile neuronal ceroid lipofuscinosis. J Neurosci
Res. 2000;59:32–8. Additional file 3: Figure S3. Tree reconciliation of the DHHC ML tree
(without rearrangement). Additional files Yellow circles indicate inferred increases in copy
numbers of the DHHC family, red circles indicate inferred decreases in
copy numbers of the DHHC family. The tree topology is extracted from
NCBI taxonomy. (PDF 49 kb) Additional file 3: Figure S3. Tree reconciliation of the DHHC ML tree
(without rearrangement). Yellow circles indicate inferred increases in copy
numbers of the DHHC family, red circles indicate inferred decreases in
copy numbers of the DHHC family. The tree topology is extracted from
NCBI taxonomy. (PDF 49 kb) 10. Cuypers TD, Hogeweg P. Virtual Genomes in Flux: An Interplay of Neutrality
and Adaptability Explains Genome Expansion and Streamlining. Genome
Biol Evol. 2012;4:212–29. 10. Cuypers TD, Hogeweg P. Virtual Genomes in Flux: An Interplay of Neutrality
and Adaptability Explains Genome Expansion and Streamlining. Genome
Biol Evol. 2012;4:212–29. 11. Dekker FJ, Rocks O, Vartak N, Menninger S, Hedberg C, Balamurugan R,
Wetzel S, Renner S, Gerauer M, Schölermann B, et al. Small-molecule
inhibition of APT1 affects Ras localization and signaling. Nat Chem Biol. 2010;6:449–56. 11. Dekker FJ, Rocks O, Vartak N, Menninger S, Hedberg C, Balamurugan R,
Wetzel S, Renner S, Gerauer M, Schölermann B, et al. Small-molecule
inhibition of APT1 affects Ras localization and signaling. Nat Chem Biol. 2010;6:449–56. Additional file 4: Figure S4. Histone deacetylase family as a negative
control. A) Differences in net gain in HDAC family per branch between
three categories of branches, gain in APT, loss in APT or no change in
APT family B) Differences in net gain in HDAC family per branch between
three categories of branches, gain in PPT, loss in PPT or no change in
PPT family (PDF 41 kb) Additional file 4: Figure S4. Histone deacetylase family as a negative
control. A) Differences in net gain in HDAC family per branch between
three categories of branches, gain in APT, loss in APT or no change in
APT family B) Differences in net gain in HDAC family per branch between
three categories of branches, gain in PPT, loss in PPT or no change in
PPT family (PDF 41 kb) 12. Demuth JP, Hahn MW. The life and death of gene families. Bioessays. 2009;
31:29–39. 12. Demuth JP, Hahn MW. The life and death of gene families. Bioessays. 2009;
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deacylation in vivo. J Biol Chem. 2002;277:31740–52. Funding 15. Franceschini A, Lin J, von Mering C, Jensen LJ. SVD-phy: improved
prediction of protein functional associations through singular value
decomposition of phylogenetic profiles. Bioinformatics. 2016;32(7):1085-7. Funding
This work was supported by the KU Leuven research fund. 16. Franceschini A, Szklarczyk D, Frankild S, Kuhn M, Simonovic M, Roth A, Lin J,
Minguez P, Bork P, von Mering C, et al. STRING v9.1: protein-protein
interaction networks, with increased coverage and integration. Nucleic
Acids Res. 2013;41:D808–15. 16. Franceschini A, Szklarczyk D, Frankild S, Kuhn M, Simonovic M, Roth A, Lin J,
Minguez P, Bork P, von Mering C, et al. STRING v9.1: protein-protein
interaction networks, with increased coverage and integration. Nucleic
Acids Res. 2013;41:D808–15. Consent for publication
N
li
bl Consent for publication
Not applicable. Consent for publication
Not applicable. Authors’ contributions Authors contributions
VvN has provided the idea for the study. SW has carried out analyses. SW and VvN
wrote the manuscript. Both authors read and approved the final manuscript. The inferred duplication and loss events were mapped
on a species tree and visualized with the online tool iTol
[27]. The conversion of the event data to the suitable
format for iTol was done in R. We used the DHHC spe-
cies tree for data visualization since it contained all
eukaryotic species in the database that we used. In both
the event data and the species tree, the NCBI taxonomy
identifiers of the species were converted to the species
names. To handle phylogenetic trees in R, we made use
of the APE package [33]. Competing interests
The authors declare that they have no competing interests. Competing interests
The authors declare that they have no competing interests. Competing interests
The authors declare that they have no competing interests. Evolutionary history of the HDAC family 1Centre of Microbial and Plant Genetics, KU Leuven, Leuven, Belgium. 2
f
f 1Centre of Microbial and Plant Genetics, KU Leuven, Leuven, Belgium. 2 2Department of Bioscience Engineering, University of Antwerp, Antwerp,
Belgium. 2Department of Bioscience Engineering, University of Antwerp, Antwerp,
Belgium. An HMM of the histone deacetylase domain was re-
trieved from Pfam (PF00850). The HMMER search, con-
struction
of
phylogenetic
tree,
rearrangement
and
reconciliation steps were performed in the same way as
for the APT and PPT families. In total 710 HDAC se-
quences were included in the phylogenetic tree. We set
a fixed value of 200 bootstraps in the tree inference
process. Received: 13 September 2016 Accepted: 9 March 2017 Tree rearrangement, reconciliation and mapping The random rearrangements then corresponded again to Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Page 11 of 12 polytomies in the species tree, meaning that they can only
have led to conditional duplication inferences. These were
not retained in the results. Availability of data and materials Availability of data and materials
The datasets during and/or analysed during the current study available from
the corresponding author on reasonable request. Page 12 of 12 Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 17. Glaser RL, Hickey AJ, Chotkowski HL, Chu-LaGraff Q. Characterization of
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inhibitors in Toxoplasma gondii. J Biol Chem. 2013;288:27002–18. 22. Kensche PR, van Noort V, Dutilh BE, Huynen MA. Practical and theoretical
advances in predicting the function of a protein by its phylogenetic
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Is anchored to the membrane through its palmitoylation by Akr1. Mol Cell
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26. Lam KKY, Davey M, Sun B, Roth AF, Davis NG, Conibear E. Palmitoylation by the
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DHHC protein Pfa4 regulates the ER exit of Chs3. J Cell Biol. 2006;174:19–25. 27. Letunic I, Bork P. Interactive Tree Of Life v2: online annotation and display
of phylogenetic trees made easy. Nucleic Acids Res. 2011;39:W475–8. 28. Lim WA, Pawson T. Phosphotyrosine Signaling: Evolving a New Cellular
Communication System. Cell. 2010;142:661–7. 28. Lim WA, Pawson T. Phosphotyrosine Signaling: Evolving a 28. Lim WA, Pawson T. Phosphotyrosine Signalin
Communication System. Cell. 2010;142:661–7 Communication System. Cell. 2010;142:661–7. 29. Wittouck and van Noort BMC Evolutionary Biology (2017) 17:83 Availability of data and materials Mitchell DA, Vasudevan A, Linder ME, Deschenes RJ. Protein palmitoylation
by a family of DHHC protein S-acyltransferases. J Lipid Res. 2006;47:1118–27. 30. Moorhead GBG, De Wever V, Templeton G, Kerk D. Evolution of protein
phosphatases in plants and animals. Biochem J. 2009;417:401–9. 31. Nadolski MJ, Linder ME. Protein lipidation. FEBS J. 2007;274:5 32. Nardini M, Dijkstra BW. Alpha/beta hydrolase fold enzymes: the family keeps
growing. Curr Opin Struct Biol. 1999;9:732–7. 32. Nardini M, Dijkstra BW. Alpha/beta hydrolase
growing. Curr Opin Struct Biol. 1999;9:732–7. 33. Paradis E, Claude J, Strimmer K. APE: Analyses of Phylogene
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genome duplications. Nat Rev Genet. 2009;10:725–32. 35. Porter MY, Turmaine M, Mole SE. Identification and characterization of
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DM, DiCuccio M, Edgar R, Federhen S, et al. Database resources of the National
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• Our selector tool helps you to find the most relevant journal
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Submit your manuscript at
www.biomedcentral.com/submit
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Development of Web Bases Inquiry Learning with the Flipped Classroom Model in Science Learning for 7th Grade of Junior High School
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Prisma Sains : Jurnal Pengkajian Ilmu dan Pembelajaran Matematika dan IPA IKIP Mataram/Prisma sains
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Statistical distortion of supervised learning predictions in optical microscopy induced by image compression
|
Scientific reports
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compression Enrico Pomarico1*, Cédric Schmidt1, Florian Chays1, David Nguyen2, Arielle Planchette2,
Audrey Tissot3, Adrien Roux1, Stéphane Pagès3,4, Laura Batti3, Christoph Clausen5,
Theo Lasser6, Aleksandra Radenovic2, Bruno Sanguinetti5 & Jérôme Extermann1 The growth of data throughput in optical microscopy has triggered the extensive use of supervised
learning (SL) models on compressed datasets for automated analysis. Investigating the effects of
image compression on SL predictions is therefore pivotal to assess their reliability, especially for
clinical use. We quantify the statistical distortions induced by compression through the comparison
of predictions on compressed data to the raw predictive uncertainty, numerically estimated from the
raw noise statistics measured via sensor calibration. Predictions on cell segmentation parameters are
altered by up to 15% and more than 10 standard deviations after 16-to-8 bits pixel depth reduction
and 10:1 JPEG compression. JPEG formats with higher compression ratios show significantly larger
distortions. Interestingly, a recent metrologically accurate algorithm, offering up to 10:1 compression
ratio, provides a prediction spread equivalent to that stemming from raw noise. The method described
here allows to set a lower bound to the predictive uncertainty of a SL task and can be generalized to
determine the statistical distortions originated from a variety of processing pipelines in AI-assisted
fields. In the last years, an ever-growing community of optical microscopists is facing a massive data throughput, long-
term storage costs, data transfer limitations and, more importantly, the need for automated quantitative data
analysis, which has paved the way for extensive use of artificial intelligence (AI) methods. Supervised learning
(SL) algorithms are routinely adopted to automate classification, segmentation, and artificial labelling of cellular
or sub-cellular structures1–3, biological tissues4–6, as well as material defects7–9. SL approaches have reported
remarkable results in various fields, such as medical screening10,11, single molecule localization12,13 and drug
discovery14,15. Deep-learning (DL) algorithms have also been successfully employed for micrograph restoration,
in particular for de-noising and spatial resolution enhancement16–18. p
g
p
However, to deal with large training datasets and computational power constraints, SL models are ubiqui-
tously executed on compressed imaging datasets. Despite producing visually faithful images, lossy compres-
sion algorithms are known to remove an unpredictable amount of information from the raw image. Moreover,
compressed data often undergo additional processing before being used to train or test a SL model. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Scientific Reports | (2022) 12:3464 Results
R
d t Raw data statistical noise. Raw data, typically obtained through a digitization operation on a physi-
cal sample via an acquisition instrument, are intrinsically affected by the noise associated with the acquisition
process. When an optical sensor is used, raw data variability is mainly provided by the quantum noise of the
photons hitting the sensor, as well as by the electronic noise21. Hence, if one performs a sample acquisition under
stabilized illumination conditions, as shown in Fig. 1a, the acquired raw images are not identical and the raw
pixel values display a statistical distribution of average μ and width σ (the standard deviation associated to the
per-pixel noise). Raw statistics could be in principle determined by repeating and averaging the acquisition of the same image
several times. However, these tests are often hard to be carried out in a microscopy laboratory, because of sample
variability, non-stationary illumination conditions, mechanical instabilities, as well as computational limitations. Sensor calibration and measurement of statistical distortions of SL predictions. The first
step of our method consists in calibrating the microscope’s imaging sensor to determine an accurate mapping
between light intensities and per-pixel noise. This is performed by sending to the sensor variable intensities from
a homogeneous and controlled light source (see Supplementary Material). g
g
y
Secondly, using the sensor-dependent calibration data (Fig. 1b), statistically raw-equivalent images are numer-
ically generated from a single raw image by replacing the original pixel value with a random one satisfying the
raw pixel value statistical distribution (Fig. 1c).hi Thirdly, a classification SL model is trained on raw data and provides predictions on a certain parameter χ . By
testing the model on the synthetic images (Fig. 1e), the prediction spread σraw associated to χ can be determined
similarly to a Monte-Carlo simulation.i y
As a final step, we evaluate whether image compression (Fig. 1d) leads to predictions exceeding the original
predictive uncertainty σraw . To this end, the difference between the values of a parameter χ without ( χraw) and
with compression ( χc ) is compared to σraw by using, as a figure of merit, the standard score defined as: ǫ = χraw −χc
σraw A standard score ǫ such that |ǫ| < 1 indicates that the statistical variability of SL predictions is smaller than
that stemming from the natural noise of raw micrographs, defining therefore a general criterion for tolerability
of statistical distortions induced by compression. www.nature.com/scientificreports/ investigating the representational uncertainty of the AI pipeline, consisting in errors due to the data representa-
tion adopted for training or testing the SL model. investigating the representational uncertainty of the AI pipeline, consisting in errors due to the data representa-
tion adopted for training or testing the SL model. Here, we propose a method for quantifying the statistical distortions induced by compression on SL pre-
dictions. We first determine the predictive uncertainty of a trained SL model from the statistical noise of raw
imaging data. Raw noise is measured via sensor calibration. As raw noise is unavoidable, our approach allows
one to estimate the minimal level of representational uncertainty in SL predictions. Then, we compare outcomes
obtained on compressed datasets to the raw predictive uncertainty by using a specific figure of merit, that will
indicate the level of alteration of the SL outcomes statistics. We implement this method to investigate the impact of image compression on the outcomes of cell segmen-
tation tasks. To this end, we will consider three types of operations aimed at reducing data volume: pixel depth
reduction, JPEG compression, as well as a metrologically accurate compression technique developed by the
Dotphoton (DP) company (www.dotphoton.com). The DP method reports compression ratios from 5:1 to 10:1
after an initial image preparation step, in which image noise is replaced with a pseudo-random noise that closely
mimics the statistical distribution of the raw pixel values. Although the noise replacement reduces the signal-
to-noise ratio of each pixel by 1.2 dB, it allows to achieve high compression factors, as the pseudo-noise can be
computed and makes the subsequent application of a standard lossless compression algorithm more efficient20. compression Therefore,
image compression can modify SL predictions with respect to when raw datasets are used and lead to unreliable
scientific outcomes, based on how much the statistical distribution of the final predictions is altered. For this
reason, the statistical distortions induced by compression need to be quantified to investigate the tolerability of
image compression methods for SL applications. g
p
pp
To this end, it is crucial to measure the statistical distribution of the SL outcomes in the absence of compres-
sion, in other terms the prediction uncertainty associated to raw data. According to Begoli et al.19, the lifecycle of
an AI process from the physical sample to the AI-assisted decisions is affected by multiple sources of uncertainty. Understanding how image compression affects the statistical distribution of SL outcomes can be ascribed to 1HEPIA, HES-SO, University of Applied Sciences and Arts Western Switzerland, Rue de la Prairie 4, 1202 Geneva,
Switzerland. 2Laboratory of Nanoscale Biology, School of Engineering, École Polytechnique Fédérale de Lausanne,
1015 Lausanne, Switzerland. 3Wyss Center for Bio- and Neuroengineering, Geneva, Switzerland. 4Department
of Basic Neurosciences, Geneva Neuroscience Center, Faculty of Medicine, University of Geneva, Geneva,
Switzerland. 5Dotphoton SA, Zeughausgasse 17, 6300 Zug, Switzerland. 6Max-Planck Institute for Polymer
Research, Ackermannweg 10, 55128 Mainz, Germany. *email: enrico.pomarico@hesge.ch | https://doi.org/10.1038/s41598-022-07445-4 Scientific Reports | (2022) 12:3464 www.nature.com/scientificreports/ Results
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d t This distribution can be reconstructed by plotting the single pixel relative error (RE) from 1000
acquired images at the same light intensity (left inset: RE as a function of the number of images or samples; right
inset: histogram of the RE values). (b,c) Via calibration data of the acquisition sensor, statistically raw-equivalent
unprocessed images (with same σ and μ) are generated. (d) Image compression is performed on raw data: the
differences between the 8-bit, 10:1 JPEG, 7:1 DP compressed formats and the raw image (∆), normalized to the
per-pixel noise σ(∆/σ), indicate the artifacts induced by compression on the original image. The displayed image
portions correspond to the dotted rectangle in (a). (e) A SL model, trained on raw data, is used to classify single
pixels into two classes A and B. In this work, a Random Forest algorithm classifies pixels according to cell (A)
and background (B) classes and produces cell segmentation masks. The model is tested on the statistically raw-
equivalent synthetic data to determine the standard deviation σraw associated to a certain parameter χraw . The
model also predicts a value of the considered parameter from the compressed data χc . To verify the statistical
impact of image compression, the value of χc is compared to χraw via the standard score ǫ = χraw−χc
σraw
. If |ǫ| > 1,
SL predictions on the compressed image exceed the statistical variability stemming from raw data noise. The figure has been generated via Python 3.7.3, the Trainable Weka Segmentation plugin (v3.3.1) in ImageJ
2.3.0/1.53f., and Microsoft PowerPoint 16.53. Figure 1. Quantification of the statistical distortions induced by image compression on SL predictions. (a)
Raw imaging data from a microscope are intrinsically affected by noise: pixel values in a raw micrograph (in
the figure a PC image of human neural stem cells (scale bar: 100 μm)) have a statistical distribution of width σ
and mean μ. This distribution can be reconstructed by plotting the single pixel relative error (RE) from 1000
acquired images at the same light intensity (left inset: RE as a function of the number of images or samples; right
inset: histogram of the RE values). (b,c) Via calibration data of the acquisition sensor, statistically raw-equivalent
unprocessed images (with same σ and μ) are generated. Results
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d t 2D cell segmentation. To demonstrate our method, we perform SL-based cellular segmentation tasks on
2-dimensional (2D) image datasets, obtained through phase-contrast (PC) microscopy, as well as 3-dimensional
(3D) datasets obtained via light-sheet (LS) microscopy and optical projection tomography (OPT). By increasing
the dimensionality of the raw dataset, we aim at observing how the complexification of raw data noise impacts
the SL predictive uncertainty.i p
y
We first consider a cell segmentation task on PC images of microspheres, as well as mouse kidney collect-
ing duct (MPK) cells. A random forest (RF) algorithm22, taking decisions on the basis of morphological spatial
features, is trained via manual pixel annotations performed on the raw images (details in the Methods section). After producing a segmentation map, we estimate parameters related to the whole image, as well as specific to
single segmented objects. After calibration of the acquisition camera, we numerically generate a set of 10 sta-
tistically raw-equivalent images and determine the predictive uncertainty σraw of the considered parameters as
the standard deviation of the values obtained with this dataset. The segmented mask obtained from an image of
microspheres is shown in Fig. 2a. In Fig. 2d, we compare the total number of objects Ntot and the total segmented
area Atot predicted from the raw image with those obtained from the corresponding 7:1 DP, 8-bit, 10:1 and 100:1
JPEG file. The difference in Ntot with respect to the raw value is in all cases less than 1% ( ǫ ≈1 ). In contrast, the
predicted value of Atot in the 8-bit and JPEG cases ( ǫ > 50 ) shows a 2% deviation with respect to the raw result,
while only 0.1% variation in the DP case ( ǫ = −2).f y
We then perform a similar analysis on 19 different morphological parameters estimated for each segmen
object (area, coordinates of the center of mass (XCM, YCM), perimeter, major axis, minor axis, ellipsoid an https://doi.org/10.1038/s41598-022-07445-4 Scientific Reports | (2022) 12:3464 | www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 1. Quantification of the statistical distortions induced by image compression on SL predictions. (a)
Raw imaging data from a microscope are intrinsically affected by noise: pixel values in a raw micrograph (in
the figure a PC image of human neural stem cells (scale bar: 100 μm)) have a statistical distribution of width σ
and mean μ. Results
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d t (d) Image compression is performed on raw data: the
differences between the 8-bit, 10:1 JPEG, 7:1 DP compressed formats and the raw image (∆), normalized to the
per-pixel noise σ(∆/σ), indicate the artifacts induced by compression on the original image. The displayed image
portions correspond to the dotted rectangle in (a). (e) A SL model, trained on raw data, is used to classify single
pixels into two classes A and B. In this work, a Random Forest algorithm classifies pixels according to cell (A)
and background (B) classes and produces cell segmentation masks. The model is tested on the statistically raw-
equivalent synthetic data to determine the standard deviation σraw associated to a certain parameter χraw . The
model also predicts a value of the considered parameter from the compressed data χc . To verify the statistical
impact of image compression, the value of χc is compared to χraw via the standard score ǫ = χraw−χc
σraw
. If |ǫ| > 1,
SL predictions on the compressed image exceed the statistical variability stemming from raw data noise. The figure has been generated via Python 3.7.3, the Trainable Weka Segmentation plugin (v3.3.1) in ImageJ
2.3.0/1.53f., and Microsoft PowerPoint 16.53. circularity, Feret, Feret X, Feret Y, Feret angle, Minimum Feret, aspect ratio, roundness, solidity, Feret aspect
ratio, compactness, and extent)23. For a single object in the raw image, we identify the same object in all syn-
thetic and compressed images by searching for that with the same center coordinates. When this is not possible
(around 10% of the cases), we identify the object located at the minimum Euclidean distance with respect to the
one considered in the raw image. We reject for the analysis the pairs of objects whose centers are further than 3
pixels (few per cent of the total number of objects).h circularity, Feret, Feret X, Feret Y, Feret angle, Minimum Feret, aspect ratio, roundness, solidity, Feret aspect
ratio, compactness, and extent)23. For a single object in the raw image, we identify the same object in all syn-
thetic and compressed images by searching for that with the same center coordinates. When this is not possible
(around 10% of the cases), we identify the object located at the minimum Euclidean distance with respect to the
one considered in the raw image. Results
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d t We reject for the analysis the pairs of objects whose centers are further than 3
pixels (few per cent of the total number of objects).h p
p
j
The inset of Fig. 2b shows a linear trend between the single-object area estimated from the raw (Araw) and the
DP (ADP) mask. The groups of points accumulating along the diagonal correspond to aggregates of microspheres. The mean and the standard deviation of the distribution of the difference in the single-object area (∆A), obtained
from the synthetic raw-equivalent images with respect to the raw ones, are in good agreement with the those
obtained for the DP format. However, a clear shift of around 3 pixels and a larger spread of the distribution of
∆A is observed in the 8-bit and JPEG cases (Fig. 2c and Table 1). g
In Fig. 2e, we plot the standard scores ǫ for all parameters averaged over all objects. All scores for the DP
format are close to zero and have standard deviations (indicated by error bars) of the order of 1, showing that
alterations induced by the DP compression can be considered statistically equivalent to those produced by the
intrinsic noise of the raw images. In contrast, the distribution of the standard scores is larger than the [− 1, 1]
interval, in some cases of up to 10 standard deviations, with mean values far from 0 for almost all parameters in
the 8-bit and JPEG cases. These results imply that predictions on the 8-bit and JPEG files exceed the predictive
uncertainty provided by the raw statistical noise. Statistical distortions of predictions on JPEG files are similar
to the 8-bit case when the 10:1 factor is used and deviate dramatically (more than 10 standard deviations for
almost all parameters) from the raw ones as the compression ratio increases. Scientific Reports | (2022) 12:3464 | https://doi.org/10.1038/s41598-022-07445-4 www.nature.com/scientificreports/ Figure 2. Statistical distortions induced by compression in 2D segmentation tasks in PC microscopy. (a)
Micrograph of microspheres (scale bar: 20 μm) with corresponding segmentation mask. (b) Area of each
segmented object obtained from the raw (Araw) and the corresponding 6.7:1 DP compressed image (ADP)
for all objects. c Histogram of the difference in the single object area (∆A) determined from the raw and the
statistically raw-equivalent images (Araw–Asynt raw), the DP (Araw–ADP), the 8-bit (Araw–A8bit), the 10:1 JPEG
(Araw–A10:1 JPEG) and the 100:1 JPEG file (Araw–A100:1 JPEG). Results
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d t (d) Values of the parameters associated to the whole
segmented image, such as number of objects and total segmented area, obtained from the DP, the 8-bit and the
JPEG segmented images and normalized to the raw value. The error bars on the raw values are calculated from
the standard deviation of the values obtained from the synthetic raw images. (e) Average of the standard score
ǫ of 19 parameters associated to the single segmented objects. Red dotted lines correspond to ε = ± 1. (f) PC
Micrograph of MPK cells (scale bar: 50 μm) with segmentation mask, down-sampled to 8-bits and compressed
into 6.1:1 DP, 10:1 and 100:1 JPEG formats. (g,h) Same as (d,e) for the MPK cells. The figure has been generated
via Python 3.7.3, the Trainable Weka Segmentation plugin (v3.3.1) in ImageJ 2.3.0/1.53f, and Microsoft
PowerPoint 16.53. Figure 2. Statistical distortions induced by compression in 2D segmentation tasks in PC microscopy. (a)
Micrograph of microspheres (scale bar: 20 μm) with corresponding segmentation mask. (b) Area of each
segmented object obtained from the raw (Araw) and the corresponding 6.7:1 DP compressed image (ADP)
for all objects. c Histogram of the difference in the single object area (∆A) determined from the raw and the
statistically raw-equivalent images (Araw–Asynt raw), the DP (Araw–ADP), the 8-bit (Araw–A8bit), the 10:1 JPEG
(Araw–A10:1 JPEG) and the 100:1 JPEG file (Araw–A100:1 JPEG). (d) Values of the parameters associated to the whole
segmented image, such as number of objects and total segmented area, obtained from the DP, the 8-bit and the
JPEG segmented images and normalized to the raw value. The error bars on the raw values are calculated from
the standard deviation of the values obtained from the synthetic raw images. (e) Average of the standard score
ǫ of 19 parameters associated to the single segmented objects. Red dotted lines correspond to ε = ± 1. (f) PC
Micrograph of MPK cells (scale bar: 50 μm) with segmentation mask, down-sampled to 8-bits and compressed
into 6.1:1 DP, 10:1 and 100:1 JPEG formats. (g,h) Same as (d,e) for the MPK cells. The figure has been generated
via Python 3.7.3, the Trainable Weka Segmentation plugin (v3.3.1) in ImageJ 2.3.0/1.53f, and Microsoft
PowerPoint 16.53. Table 1. Parameters of the distribution of the difference in the single-object area (∆A) obtained from the
synthetic and compressed PC microspheres’ image with respect to the raw format (Fig. 2c). Results
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d t µA(nr pixels)
σA(nr pixels)
Synthetic raw-equivalent images
0.1
1.1
DP
− 0.1
1.0
8 bits
3.0
3.4
10:1 JPEG
3.1
3.4
100:1 JPEG
2.9
10.3 Table 1. Parameters of the distribution of the difference in the single-object area (∆A) obtained from the
synthetic and compressed PC microspheres’ image with respect to the raw format (Fig. 2c). The same analysis is performed on a PC micrograph of MPK cells with high confluence and high mean pixel
intensity (Fig. 2f). In these experimental conditions, the good agreement between the DP and the raw results is
confirmed. We observe a 1–2% deviation in the values of Atot and Ntot in the 8-bit and 10:1 JPEG cases (Fig. 2g). As concerns the single object parameters (Fig. 2h), the statistical equivalence of predictions on raw and DP
data is confirmed despite the more complex cell spatial configuration. In contrast, predictions on single-object
parameters are significantly altered in the 8-bit pixel depth and JPEG cases. This effect turns out to be more rel-
evant for the MPK cells than for the microspheres’ image. Indeed, while in the case of the microspheres almost
all segmentation parameters turn out to have a mean value around zero (Fig. 2e), in the case of the MPK cells the
mean of almost all parameters strongly deviates from zero (Fig. 2h). We attribute this result to the fact that in the
MPK cells’ image the objects to segment are large in terms of number of pixels and very dense. In contrast, the
microspheres’ micrograph is characterized by very small objects and large background regions. As segmentation
models depend on the loss of information at the boundaries of the objects to segment, statistical distortions due
to compression are much more evident in the MPK cells’ case. D cell segmentation. We then challenge our method on more complex segmentation tasks involving 3D
atasets produced by LS microscopy and OPT. https://doi.org/10.1038/s41598-022-07445-4 Scientific Reports | (2022) 12:3464 | www.nature.com/scientificreports/ Figure 3. Statistical distortions induced by compression in 3D segmentation tasks in LS microscopy. (a) 3D
LS image composed of 550 slices from a portion of a mouse brain obtained after c-fos staining performed to
identify neuronal nuclei (1 voxel = 5.26 μm × 5.26 μm × 5 μm = 138 μm3). (b) Single slice of the 3D image (scale
bar: 1 mm) (c) Corresponding segmentation mask. Results
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d t Parameters of the difference in the single-object volume (∆V) obtained from the synthetic and
compressed LS 3D image with respect to the raw format (Fig. 3g). Table 2. Parameters of the difference in the single-object volume (∆V) obtained from the synthetic and
compressed LS 3D image with respect to the raw format (Fig. 3g). By using of a RF voxel classification algorithm, we perform segmentation of neuronal nuclei in a portion of
a mouse brain after c-fos antibody staining, imaged by a mesoscale Selective Plane Illumination LS Microscope
(mesoSPIM) (Fig. 3a–c)24 and providing a 4.3 GB raw dataset. To obtain the 3D segmented volumes, a threshold
criterion is applied to the 3D probability map obtained from the trained ML model. We perform these tests only
with the DP method (7.3:1 compression ratio), and 8-bit down-sampling, as JPEG formats are not generally
utilized in these fields. i
As shown in Fig. 3f, the number of segmented nuclei Ntot (around 190′000), as well as the total segmented
volume Vtot and surface area SAtot calculated from the DP dataset, display a discrepancy of 0.1–0.2% with respect
to the values obtained from the raw segmented 3D image ( ǫ = −1.6, −0.9, −0.1 for Ntot, Vtot and SAtot respec-
tively) and are perfectly compatible with the spread shown by the synthetic images. In contrast, for all global
parameters, the 8-bit conversion provides 15–20% discrepancy, much larger than in the 2D case ( ǫ = 366, 87, 9
for Ntot, Vtot and SAtot respectively). We then compare the volume of the single objects segmented from the raw and the corresponding compressed
datasets. Also in this case, we find the same objects in the different 3D images by using their center coordinates
and their Euclidean distance, as in PC segmentation tests. The 2D histogram in Fig. 3d compares the volume in
voxels of each single object identified in the raw (Vraw) and in the DP dataset (VDP). The accumulation of points
along the diagonal of the histogram in Fig. 3d reveals the agreement of the predictions obtained with the raw
and the DP datasets. The distribution of single-volume differences ∆V provided by the DP stack (Fig. 3g and
Table 2) is in good agreement with that obtained from the synthetic raw files. Interestingly, the 8-bit conversion
alters dramatically the distribution of ∆V (Fig. 3e). Results
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d t (d,e) 2D histogram comparing the volume of the same
objects in the raw (Vraw) and the 7.3:1 DP 3D compressed image (VDP) (d), as well as the 8-bit 3D image (V8 bits)
(e). (f) Values of the parameters associated to the whole segmented image, such as the number of objects, total
segmented volume and surface area, obtained from the DP and 8-bit segmented image, normalized to the raw
value. The error bars on the raw values are calculated from the standard deviation of the values obtained from
the synthetic 3D images. (g) Histogram of the difference in the single object volume (∆V) calculated from the
raw and the statistically raw-equivalent images (Vraw–Vsynt raw), the DP (Vraw–VDP), and the 8-bit 3D image (Vraw–
V8bit). The figure has been generated via iLastik 1.3.2, Python 3.7.3, and Microsoft PowerPoint 16.53. Figure 3. Statistical distortions induced by compression in 3D segmentation tasks in LS microscopy. (a) 3D
LS image composed of 550 slices from a portion of a mouse brain obtained after c-fos staining performed to
identify neuronal nuclei (1 voxel = 5.26 μm × 5.26 μm × 5 μm = 138 μm3). (b) Single slice of the 3D image (scale
bar: 1 mm) (c) Corresponding segmentation mask. (d,e) 2D histogram comparing the volume of the same
objects in the raw (Vraw) and the 7.3:1 DP 3D compressed image (VDP) (d), as well as the 8-bit 3D image (V8 bits)
(e). (f) Values of the parameters associated to the whole segmented image, such as the number of objects, total
segmented volume and surface area, obtained from the DP and 8-bit segmented image, normalized to the raw
value. The error bars on the raw values are calculated from the standard deviation of the values obtained from
the synthetic 3D images. (g) Histogram of the difference in the single object volume (∆V) calculated from the
raw and the statistically raw-equivalent images (Vraw–Vsynt raw), the DP (Vraw–VDP), and the 8-bit 3D image (Vraw–
V8bit). The figure has been generated via iLastik 1.3.2, Python 3.7.3, and Microsoft PowerPoint 16.53. Table 2. Parameters of the difference in the single-object volume (∆V) obtained from the synthetic and
compressed LS 3D image with respect to the raw format (Fig. 3g). µV(nr voxels)
σV(nr voxels)
Synthetic raw-equivalent images
0.1
2.7
DP
− 0.1
2.2
8 bits
7.3
6.4 Table 2. Results
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d t Indeed, the distribution of ∆V in the 8-bit case is not centered https://doi.org/10.1038/s41598-022-07445-4 Scientific Reports | (2022) 12:3464 | www.nature.com/scientificreports/ Figure 4. Statistical distortions induced by compression in 3D segmentation of amyloid Alzheimer plaques
imaged via OPT. (a–c) Typical OPT pipeline. Fluorescent projections of an organ at different angles are used to
reconstruct its 3D image via an inverse Radon transform. Transverse slices are used for physiological analysis
(scale bar: 1 mm). (d) Close-up of a reconstructed slice showing amyloid plaque deposition in the mice brain. (e) Segmented mask of amyloid plaques (scale bar: 300 μm). (f,g) Single pixel standard scores associated to
the four spatial operators used for training (Gaussian Smoothing (GS), Laplacian of Gaussian (LoG), Gaussian
Gradient Magnitude (GGM) and Difference of Gaussians (DoG)) applied with different sizes of the gaussian
kernel σ. Standard scores of these operators are calculated on the projections (f) and the reconstructed image
(g) obtained from the 7.8:1 DP compressed and the 8-bit converted 3D image. Red dotted lines correspond to
ε = ± 1. (h) Normalized values of amyloid plaque characteristics associated to the whole dataset, obtained from
the raw (red), the DP compressed (blue) and the 8-bit converted datasets (green). The error bars on the raw
values are determined via the synthetic statistically raw-equivalent 3D images. The figure has been generated via
iLastik 1.3.2, Python 3.7.3 and Adobe Illustrator 25.0 (2021). Figure 4. Statistical distortions induced by compression in 3D segmentation of amyloid Alzheimer plaques
imaged via OPT. (a–c) Typical OPT pipeline. Fluorescent projections of an organ at different angles are used to
reconstruct its 3D image via an inverse Radon transform. Transverse slices are used for physiological analysis
(scale bar: 1 mm). (d) Close-up of a reconstructed slice showing amyloid plaque deposition in the mice brain. (e) Segmented mask of amyloid plaques (scale bar: 300 μm). (f,g) Single pixel standard scores associated to
the four spatial operators used for training (Gaussian Smoothing (GS), Laplacian of Gaussian (LoG), Gaussian
Gradient Magnitude (GGM) and Difference of Gaussians (DoG)) applied with different sizes of the gaussian
kernel σ. Standard scores of these operators are calculated on the projections (f) and the reconstructed image
(g) obtained from the 7.8:1 DP compressed and the 8-bit converted 3D image. Red dotted lines correspond to
ε = ± 1. Scientific Reports | (2022) 12:3464 | Results
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d t (h) Normalized values of amyloid plaque characteristics associated to the whole dataset, obtained from
the raw (red), the DP compressed (blue) and the 8-bit converted datasets (green). The error bars on the raw
values are determined via the synthetic statistically raw-equivalent 3D images. The figure has been generated via
iLastik 1.3.2, Python 3.7.3 and Adobe Illustrator 25.0 (2021). around zero and has a much larger spread with respect to the distribution provided by the synthetic raw images
(Fig. 3g and Table 2). This type of statistical distortion is similar to that obtained for the distribution of ∆A after
segmentation of the PC microspheres’ image (Fig. 2c,e). Given the large discrepancy observed for the global
parameters, the 8-bit conversion seems affecting the predictions of the segmentation models in a more complex
way with respect to the 2D case. y
p
We then adopt our compression tolerability method on a pre-clinical application, based on the estimation of
amyloidosis in a middle-aged mouse brain affected by Alzheimer’s disease via Optical Projection Tomography
(OPT) imaging. OPT is well suited to image mesoscopic centimeter-sized biological specimens, such as organs,
and represents the optical equivalent of computed tomography: fluorescent projection images are captured at dif-
ferent angles around the specimen and the 3D image of the organ is reconstructed via a Filtered Back Projection
(FBP) algorithm using an inverse Radon transform (Fig. 4a–c)25. Compared to the segmentation performed on
LS microscopy data, an image reconstruction step is introduced before the AI testing, making more complex the
propagation of the original noise of the raw projections through the AI pipeline. To obtain the amyloid plaques
segmentation mask on the raw and compressed 3D images, we adopt the same type of RF algorithm used for the
LS microscopy data to classify every voxel of the reconstructed images and apply a threshold criterion on the 3D
probability map (namely 0.7 for brain anatomy and 0.5 for amyloid plaques) according to a previous study26. A
close up of a slice of a reconstructed diseased mouse brain and the corresponding plaques segmentation mask
are shown in Fig. 4d,e, respectively. In this experiment, to quantify the SL predictive uncertainty, we simulate a
dataset of 10 statistically raw-equivalent projections of the mouse brain. Methods
Ph Phase contrast (PC) microscopy. For PC microscopy measurements, we used two inverted PC micro-
scopes (Axiovert 40C and Axiovert 25, Carl Zeiss Jena GmbH) equipped with 5×, 10× and 20× objectives and a
calibrated CMOS camera (CM3-U3-31S4M-CS, Sony). Samples of carboxylate microspheres of 500 nm diam-
eter (Polysciences) were obtained by deposing 5 μL of an aqueous solution with a concentration of 3.6·108 par-
ticles/mL on a 170 μm thick glass slide. After solvent evaporation, PMMA at 0.1 g/mL was added to the sample,
then centrifugated and dried. Microspheres were imaged with a 20 × objective and used for segmentation tests,
as well as for the measurement of the microscope’s point spread function (PSF). Two cell lines with variable
confluence have been cultured: human neural stem cells (HIP) (A3890101, ThermoFisher)27 and mpkCCDC14
mouse kidney collecting duct cells (MPK)28,29. Both cell lines were cultured and grown on a cell treated plastic
surface at a temperature of 37 °C with an air atmosphere enriched with 5% CO2. Micrographs of HIP and MPK
cells were obtained with a 10 × and 20 × objective, respectively. For the measurement of the modulation transfer
function (MTF), we imaged the 1951 USAF test target (R3L3S1P, Thorlabs Inc.) in bright field configuration
with the 5 × objective. Segmentation tests have been performed on a microspheres’ and a MPK cells’ image, that
have been compressed into different formats (file sizes for all tested formats are shown in Table 3). pfi
To perform these tests, we have trained machine learning models via the trainable Weka segmentation ImageJ
plug-in30, combining a collection of machine learning algorithms with a selection of image features to produce
pixel classification. As a classifier, we used the FastRandomForest, a multi-threaded reimplementation of Random
Forest created by Fran Supek, which optimizes speed and memory usage30. This classifier is initialized with 200
trees and 2 random features per node. Training of this classifier is performed by manually annotating pixels in
the original raw image according to two classes of identical weight: cell and background. The selected training
features are: gaussian blur, hessian, sobel filter and difference of gaussians (details on the training procedure are
provided in the Supplementary Information). To analyze the segmented masks, we used the “Extended Particle
Analyzer” macro of the Biovoxxel toolbox in ImageJ23, allowing to analyze the segmented objects according to a
large variety of morphological parameters, shape descriptors and angle orientations. Discussion In this work, we show the statistical nature of the distortions induced by image compression on the outcomes
of SL tasks in optical microscopy. We present an experimental method capable of quantifying these statistical
distortions, relying on determining the SL predictive uncertainty from the intrinsic statistical noise of raw
data. As raw noise is unavoidable, our approach sets a lower bound to the predictive uncertainty in SL-assisted
decision-making processes. g
We show that 16-to-8 bits pixel depth reduction and JPEG compression can alter SL outcomes by more than
10 standard deviations. Interestingly, these distortions are more relevant in 3D applications: the use of 8-bit con-
version brings to 5% and 15% prediction change in OPT and LS datasets segmentation, respectively, exceeding
raw predictions by many standard deviations. The different distortions in the two 3D cases are probably related
to the different propagation of the raw data noise through the processing pipeline. In contrast, we observe that
alterations induced by the DP compression can be considered as statistically equivalent to those provided by the
raw noise in both 2D and 3D cases. By respecting the raw pixel value statistics and providing compressed images
with size reduced by a factor up to 10, the DP image format represents a valuable solution to computational and
data management challenges associated to computer-vision automated tasks in microscopy. g
g
p
py
In this work, we also measure the statistical distortions of the predictions of a pre-clinical cell segmentation
task in OPT. Our results indicate that the reliability of scientific outcomes obtained in diagnostic applications
can be compromised by image compression in a non-negligible way. p
y
g
p
g g
y
Finally, our work highlights the importance to preserve raw pixels statistics in image processing pipelines
prior to the application of a SL model. Respecting raw statistics allows to achieve the minimum prediction spread
of the model, corresponding to that obtainable without processing. When used to quantify predictions’ distortions induced by lossy compression techniques, that do not preserve
raw statistics, our method can still provide a criterion of tolerability of the adopted compression. www.nature.com/scientificreports/ projections datasets, and by calculating standard scores of these operators averaged over all projection pixels. As
shown by Fig. 4f, the averaged standard scores belong for all parameters to the [-1,1] interval in the DP case. In
contrast, the 8-bit conversion shows in general larger discrepancies for an increasing gaussian smoothing. Similar
results are found when the considered processing operations are performed after the 3D reconstruction (Fig. 4g). In this case, the averaged standard scores of the gaussian smoothing operators applied over all voxels of the
reconstructed 3D images are around 0 because smoothing is already performed in the applied FBP algorithm26. g
g
y
g
Finally, we compare the sensitivity of the quantitative analysis of amyloidosis in the mouse brain to DP com-
pression and 8-bit conversion. Given the complete 3D prediction map, we compute the values of the standard
scores for four plaque parameters: the total volume of plaque, the plaque load (the ratio of plaque volume to the
total organ volume), the total plaque count and the plaque mean volume. The results, shown in Fig. 4h, indicate
that global segmentation parameters are conserved upon DP compression. In contrast, the 8-bit conversion
provides around 5% deviation with respect to the raw values, confirming the alteration of the raw predictions
also in this case. Discussion However, in this
case, as the raw predictive uncertainty depends on the SL algorithm and its optimization features, our technique
cannot prevent dependencies between the AI model and the lossy compression.i p
p
y
p
We expect our method to be generalizable to any field where acquisition devices can be calibrated and raw
data are processed before AI use. Results
R
d t In this case, we first apply our method
to the spatial operators used for model training by considering the 7.8:1 DP compressed and the 8-bit converted https://doi.org/10.1038/s41598-022-07445-4 Scientific Reports | (2022) 12:3464 | www.nature.com/scientificreports/ Methods
Ph As the RF model was trained Scientific Reports | (2022) 12:3464 | https://doi.org/10.1038/s41598-022-07445-4 www.nature.com/scientificreports/ Table 3. Size of the datasets used for the segmentation tests performed in this work. Microscopy technique
RAW (16 bits)
8 bits
DP
10:1 JPEG
100:1 JPEG
Microspheres (Fig. 2a)
PC
2.4 MB
1.2 MB (2:1)
0.36 MB (6.7:1)
0.25 MB (10:1)
21 kB (114:1)
MPK cells (Fig. 2f)
PC
6.3 MB
3.1 MB (2:1)
1.0 MB (6.1:1)
0.63 MB (10.1)
64 kB (98:1)
Mouse brain after c-fos
staining (Fig. 3a,b)
LS
4.3 GB
2.1 GB (2:1)
0.6 GB (7.3:1)
Mouse brain with amy-
loid plaques (Fig. 4c)
OPT
0.5 GB
0.25 GB (2:1)
64 MB (7.8:1) Table 3. Size of the datasets used for the segmentation tests performed in this work. on a single 16-bit raw image, the synthetic images and the DP compressed were automatically suited to be tested
by the model, while the 8-bit and JPEG files needed to be upsampled to 16-bit depth. on a single 16-bit raw image, the synthetic images and the DP compressed were automatically suited to be tested
by the model, while the 8-bit and JPEG files needed to be upsampled to 16-bit depth. on a single 16-bit raw image, the synthetic images and the DP compressed were automatically suited to be tested
by the model, while the 8-bit and JPEG files needed to be upsampled to 16-bit depth. Light‑sheet (LS) microscopy. For LS microscopy measurements, we used a home-built mesoscale single-plane
illumination microscope24. This setup consists of a dual-sided excitation path using a fiber-coupled multiline laser
combiner (405, 488, 561 and 647 nm, Toptica MLE) and a detection path comprising a 42 Olympus MVX-10 zoom
microscope with a 1 × objective (Olympus MVPLAPO 1x), a filter wheel (Ludl 96A350), and a calibrated scientific
CMOS camera (Hamamatsu Orca Flash 4.0 V3). The excitation paths also contain galvo scanners for light-sheet gen-
eration and reduction of shadow artifacts due to absorption of the light-sheet. In addition, the beam waist is scanned
using electrically tunable lenses (ETL, Optotune EL-16-40-5D-TC-L) synchronized with the rolling shutter of the
camera. Sample was illuminated by one of the two acquisition paths. Image acquisition was done using custom soft-
ware written in Python 3. Z-stacks were acquired at 5 μm spacing with a zoom set at 1.25X resulting in an in-plane
pixel size of 5.26 μm (2048 × 2048 pixels). Methods
Ph Excitation wavelength of the c-fos antibody was set at 647 nm with an emis-
sion filter LP 663 nm bandpass filter (BrightLine HC, AHF).i ii
Concerning the sample preparation, mice were perfused with 4% PFA and tissue was post-fixed overnight in
4% PFA. Mouse brain were prepared for imaging following the iDISCO procedure described by Renier et al.31. To visualize a reporter of neuronal activity (c-fos), a c-fos antibody (synaptic System Anti c-Fos CN226003) was
used to label the brain 1:2000 (0.25 ug/ml). This was coupled to an anti-rabbit Alexa Fluor-647 (far-red spec-
trum) (5ug/ml). After clearing, brains were immersed in a 10 × 20 × 45 mm quartz cuvette filled with DiBenzyl
Ether (RI 1.56).l (
)
For PSF measurements, fluorescent Tetraspeck microspheres 0.1 μm were diluted into 1% agarose. Excitation
wavelength was set at 488 nm with an emission 530/40 nm bandpass filter (BrightLine HC, AHF).t i
3D Segmentation tests have been performed on the dataset obtained by imaging the mouse brain after c-fos
antibody treatment (sizes of the dataset in the raw and tested compressed formats are shown in Table 3). To
perform these tests and segment the c-fos positive neuron nuclei, we have trained a voxel classification model via
the open-source image analysis software iLastik32. As a classifier, we used a Random Forest algorithm initialized
with 100 trees that are built by randomly picking features among four spatial operators (Gaussian Smoothing
(GS), Laplacian of Gaussian (LoG), Gaussian Gradient Magnitude (GGM) and Difference of Gaussians (DoG))
applied with a varying gaussian kernel σ.i pp
y
g g
Training of this classifier is performed by manually annotating some voxels of the 3D raw image according
to three classes of identical weight (anatomy, c-fos positive nuclei, and background).ht The trained algorithm predicted the class of the remaining voxels in the full image. To do so, the software
attributed to each voxel a vector of computed features and provided a 3D probability map where the value of
each voxel corresponded to the likelihood to be a c-fos positive neuronal nucleus. The final nuclei segmentation
was then realized by applying a threshold value of 0.5 to the 3D probability map. As done for the 2D segmenta-
tion tests, the RF model was trained on a single 16-bit raw image stack, while the 8-bit stacks are upsampled to
16-bit depth. Optical projection tomography (OPT). References Corticosteroid-dependent sodium transport in a novel immortalized mouse collecting duct principal cell line. J
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amyloid plaques), a part of them were used to train the RF algorithm, while the rest served as a test set. The final
plaque segmentation and quantification was then realized by applying a threshold value of 0.5 to the 3D plaque
probability map. This pipeline was the same as that provided in a previous study26. anatomy, and background. 12 slices (2D) from the full mouse brain were manually annotated (brain tissues and
amyloid plaques), a part of them were used to train the RF algorithm, while the rest served as a test set. The final
plaque segmentation and quantification was then realized by applying a threshold value of 0.5 to the 3D plaque
probability map. This pipeline was the same as that provided in a previous study26. Received: 5 October 2021; Accepted: 10 February 2022 References e e e ces
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23. Brocher, E.-C. The BioVoxxel Image Processing and Analysis Toolbox. in Eur. BioImage Anal. Symp., Paris 336–338 (2013).h 23. Brocher, E.-C. The BioVoxxel Image Processing and Analysis Toolbox. in Eur. BioImage Anal. Symp., Paris 336–338 (2013). 24. Voigt, F. F. et al. The mesoSPIM initiative: Open-source light-sheet microscopes for imaging cleared tissue. Nat. Methods 16, 23. Brocher, E. C. The BioVoxxel Image Processing and Analysis Toolbox. in Eur. BioImage Anal. Symp., Paris 336 338 (2013). 24. Voigt, F. F. et al. The mesoSPIM initiative: Open-source light-sheet microscopes for imaging cleared tissue. Nat. Method
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with optical projection tomography. Biomed. Opt. Express 10, 3041 (2019). 7. Govindan, S., Batti, L., Osterop, S. F., Stoppini, L. & Roux, A. Mass generation, neuron labeling, and 3D imaging of minibrains
Front. Bioeng. Biotechnol. 8, 1–17 (2021). g
8. Bens, M. et al. Methods
Ph For OPT measurements, we processed datasets of full intact
mouse brains previously studied in26 using an SL approach to quantify amyloidosis of an Alzheimer’s disease
mouse model. The epi-fluorescent image projections were acquired with a custom mesoscopic OPT setup con-
sisting of a calibrated CMOS camera (ORCA-Flash 4.0 V2, Hamamatsu) coupled to a 300-mm achromat objec-
tive lens providing 0.5X magnification of the sample33. The sample was mounted on a motorized rotation stage
allowing for projection acquisitions over 360 degrees by steps of 0.3 or 0.9 degrees in approximately five minutes. The sample fluorescent signal was excited by a 420-nm LED light source illuminating the whole organ. In this
configuration, the OPT setup had an isotropic pixel-limited resolution of approximately 50 μm over the whole
organ, due to the physical pixel size of the camera. Each set of projections (1024 × 1024 × 1200 matrix for 1200
projections) were previously saved as uncompressed 16-bit stacked .tif files. The 3D reconstruction of the sample
was achieved by applying a filtered back-projection (FBP)34 to the raw and compressed projection sets with the
Matlab iRadon function. To do so, we follow the same procedure as previously described in33. After reconstruc-
tion, the 3D image volumes were cropped along the three dimensions in order to remove background contribu-
tion and conserve the brain signal only. The intensity of each voxels was normalized over the volume using Fiji35
and its contrast enhancement tool before SL segmentation to accommodate for differences in dynamic range. The plaque segmentation tests relied on the same classification workflow realized with iLastik32 for the seg-
mentation tests on LS datasets. In the case of the OPT dataset (sizes of the dataset in the raw and tested com-
pressed formats are shown in Table 3), the three classes manually labeled in the training step were plaque, gf
y
g
The plaque segmentation tests relied on the same classification workflow realized with iLastik32 for the seg-
mentation tests on LS datasets. In the case of the OPT dataset (sizes of the dataset in the raw and tested com-
pressed formats are shown in Table 3), the three classes manually labeled in the training step were plaque, https://doi.org/10.1038/s41598-022-07445-4 Scientific Reports | (2022) 12:3464 | www.nature.com/scientificreports/ Competing interests p
g
C. C. and B. S. are founding members of the company Dotphoton SA commercializing image compression
solutions. Author contributions E.P. performed PC and LS segmentation analysis. C.S. performed OPT segmentation analysis. F.C. acquired
PC images. D.N. and A.P. prepared samples and performed OPT measurements. A.T. prepared samples for LS
microscopy. A.Ro. prepared samples for PC measurements. S.P. and L.B. provided LS datasets and contributed
to LS microscopy data analysis. C.C. supported in the use of DP compression. T.L. co-designed the OPT system. T.L. and A.Ra. contributed to the idea of the paper and supervised the OPT data acquisition. B.S. contributed
to the idea of the paper and in writing the article. E.P. and J.E. conceived the presented idea. J.E. supervised the
project. E.P., C.S. and J.E. wrote the article. Acknowledgementsh The authors are grateful to Eric Feraille from University of Geneva for providing the mpkCCDC14 (MPK) cell
samples, as well as F. Bugnon and C. Brack for technical support. This project has been partially funded by
Innosuisse (Grant no 31434.1 IP-ICT) and by the Horizon 2020 Framework Programme of the European Union
with the project ADgut (Grant no 686271). https://doi.org/10.1038/s41598-022-07445-4 Scientific Reports | (2022) 12:3464 | www.nature.com/scientificreports/ © The Author(s) 2022 Additional information
T Supplementary Information The online version contains supplementary material available at https://doi.org/
10.1038/s41598-022-07445-4. Correspondence and requests for materials should be addressed to E.P. Reprints and permissions information is available at www.nature.com/reprints. Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and
nstitutional affiliations. Open Access This article is licensed under a Creative Commons Attribution 4.0 International
License, which permits use, sharing, adaptation, distribution and reproduction in any medium or
format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the
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article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the
material. If material is not included in the article’s Creative Commons licence and your intended use is not
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the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. © The Author(s) 2022 https://doi.org/10.1038/s41598-022-07445-4 Scientific Reports | (2022) 12:3464 |
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Percolation Phase Transition of Surface Air Temperature Networks under Attacks of El Niño/La Niña
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Scientific reports
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cc-by
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Percolation Phase Transition of
Surface Air Temperature Networks
under Attacks of El Niño/La Niña received: 29 January 2016
accepted: 09 May 2016
Published: 26 May 2016 Zhenghui Lu1, Naiming Yuan2,3 & Zuntao Fu1 In this study, sea surface air temperature over the Pacific is constructed as a network, and the
influences of sea surface temperature anomaly in the tropical central eastern Pacific (El Niño/La Niña)
are regarded as a kind of natural attack on the network. The results show that El Niño/La Niña leads
an abrupt percolation phase transition on the climate networks from stable to unstable or metastable
phase state, corresponding to the fact that the climate condition changes from normal to abnormal
significantly during El Niño/La Niña. By simulating three different forms of attacks on an idealized
network, including Most connected Attack (MA), Localized Attack (LA) and Random Attack (RA), we
found that both MA and LA lead to stepwise phase transitions, while RA leads to a second-order phase
transition. It is found that most attacks due to El Niño/La Niña are close to the combination of MA and
LA, and a percolation critical threshold Pc can be estimated to determine whether the percolation phase
transition happens. Therefore, the findings in this study may renew our understandings of the influence
of El Niño/La Niña on climate, and further help us in better predicting the subsequent events triggered
by El Niño/La Niña. El Niño/La Niña, characterized by anomalous warming/cooling in the tropical central eastern Pacific, is one of
the most important ocean-atmosphere coupled phenomena in climate system. It has great influences on climate,
which may further cause natural disasters like flood and drought1–6. The climate during El Niño/La Niña is quite
different from that during normal periods. Although a lot of studies about El Niño/La Niña have been done, there
are still many problems unsolved, such as the prediction of El Niño/La Niña7–9, impact of El Niño/La Niña on
climate10,11, distinction of different types of El Niño/La Niña12–14, and so on. In order to solve these problems, or
modestly speaking, to better understand El Niño/La Niña, it is necessary to develop new methods and from new
perspectives to study El Niño/La Niña. p
p
y
Recently, more and more studies have applied the concept of complex networks to investigate climate system. It is called climate network, where different regions of the world are represented as nodes which communicate
with each other by exchanging heat, material, and even forces. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 Results
A
k Attacks of El Niño/La Niña on surface air temperature network. In this study, the surface air tem-
peratures over the spatial domain 120°E to 285°W and 20°N to 20°S are constructed as a network. As shown in
Fig. 1, the nodes in the network have a resolution of 5° × 5°, and they are marked with numbers from 1 to 306
according to the sequence from west to east and from north to south. Because the atmosphere above ocean can
easily be heated/cooled by the sea surface temperature anomaly (SSTA), which means the links in the surface air
temperature network can easily be influenced26,27. To quantify in what extent the SSTA, such as the El Niño/La
Niña, can affect the network, we use two quantities, as shown below: i) The total degrees of connection (DT). As described in “Method” section, if the link strength between two
nodes exceeds a threshold Q, we consider the two nodes are connected, and there will be one degree of con-
nection counted. By summing the degrees over all nodes, we obtain the total degree of connection DT.h i) The total degrees of connection (DT). As described in “Method” section, if the link strength between two
nodes exceeds a threshold Q, we consider the two nodes are connected, and there will be one degree of con-
nection counted. By summing the degrees over all nodes, we obtain the total degree of connection DT.h y
g
g
g
T
ii) The intensity of attack (P). If a node is not connected with any other nodes, we consider the node as isolated
node. The intensity of attack is then defined as the fraction of isolated nodes over the total nodes. y
g
g
g
T
) The intensity of attack (P). If a node is not connected with any other nodes, we consider the node as isolated
node. The intensity of attack is then defined as the fraction of isolated nodes over the total nodes. If as expected, the effects of El Niño/La Niña on the surface air temperature network can be considered as a
kind of attack, which will damage the connections of the nodes in the network, then during the El Niño/La Niña
events, the total degree of connection DT should decrease, and the fraction of isolated nodes (Intensity of attack, P)
should increase. See Fig. Percolation Phase Transition of
Surface Air Temperature Networks
under Attacks of El Niño/La Niña These interactions can be represented by links,
which are quantified by measuring the similarity between time series of corresponding individual nodes. Any two
nodes are connected if the similarity, or link strength Wi j
t
, (see “Method” section) of a specific variable measured
at the two nodes is beyond a threshold15. The concept of climate network effectively introduced the vast frame-
work of network analysis to climate science and triggered plenty of research activities in this area, such as making
climate prediction16–20, evaluating effects of natural modes of climate variability on network properties21–28, and
so on. Percolation theory is one of the most interesting findings in complex networks but has never been applied to
study climate network29–45. The theory indicates the existence of a critical probability Pc, such that above Pc the
network is divided into isolated clusters, while below Pc a giant cluster still spans the entire network. The critical
probability Pc, called as the percolation threshold, can be defined as the fraction of node removal, which in other
words, means the percentage of node that the links have been cutoff from the entire network. This kind of node
removal can be considered as an attack on network, and the phenomenon is markedly similar to a percolation
phase transition. Once the phase state converts from stable to unstable or metastable, the network will be broken 1Lab for Climate and Ocean-Atmosphere Studies, Dept. of Atmospheric and Oceanic Sciences, School of Physics,
Peking University, Beijing, 100871, China. 2Department of Geography, Climatology, Climate Dynamics and
Climate Change, Justus Liebig University Giessen, 35390 Giessen, Germany. 3Key Laboratory of Regional Climate-
Environment for Temperate East Asia, Institute of Atmospheric Physics, Chinese Academy of Sciences, Beijing,
China. Correspondence and requests for materials should be addressed to Z.F. (email: fuzt@pku.edu.cn) Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 1 tificreports/
Figure 1. Research domain of this study. With in the red box, 306 nodes with resolution of 5° × 5° are selected
and the corresponding surface air temperatures are constructed as a climate network. The figure is generated by
using Matlab (version R2012a, http://www.mathworks.com/pl_homepage). tificreports/
Figure 1. Research domain of this study. With in the red box, 306 nodes with resolution of 5° × 5° are selected
and the corresponding surface air temperatures are constructed as a climate network. The figure is generated by
using Matlab (version R2012a, http://www.mathworks.com/pl_homepage). www.nature.com/scientificreports/ Figure 1. Percolation Phase Transition of
Surface Air Temperature Networks
under Attacks of El Niño/La Niña Research domain of this study. With in the red box, 306 nodes with resolution of 5° × 5° are selected
and the corresponding surface air temperatures are constructed as a climate network. The figure is generated by
using Matlab (version R2012a, http://www.mathworks.com/pl_homepage). totally or partly. Different phase states mean different physical conditions. In real world, many complex systems
like road and railway networks, electrical power networks, internet networks, usually can be damaged by mali-
cious attacks or natural disasters, such as power blackout and earthquake29,32–34,36. Analogously, in climate system,
the network may also converts its state under the influences of some big climate events, such as El Niño/La Niña. From percolation theory’s point of view, we can consider the big climate events as attacks on the climate network. Since percolation theory could distinguish different network states and further monitor transitions of different
states, we believe it should be also useful in climate research, and may provide us with a new perspective on the
climate diagnosis, monitoring and forecasting. Hence, in this study, we will discuss the percolation phase tran-
sition in the climate networks. Considering El Niño/La Niña is one the most important phenomenon in climate
system, we will mainly focus on the network transition under the attack of El Niño/La Niña.hi y
y
This paper is organized as following: In the “Results” section, we first constructed a network by using the
surface air temperature over Pacific and studied the influences of El Niño/La Niña. To check whether there is a
phase transition, and according to which way the state is converted, we further established an idealized network
and simulated the transitions under different kinds of attacks. With all the findings, a detailed discussion is made
in the “Conclusion and Discussion” section, and a brief description of the data and methods are provided in the
end of this paper. Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 Results
A
k 2, we indeed find the expected varying patterns, which correspond to Nino3.4 index very
well. Figure 2a shows the distribution of isolated nodes as a function of time (x-axis) and the node index (1~306,
y-axis). The black dots represent the isolated nodes. Figure 2b shows the temporal variation of total connection
degree DT (red) and intensity of attack P (blue), while Fig. 2d shows the Nino3.4 index. As one can see, during El
Niño/La Niña events (when the Nino3.4 index is larger/smaller than +0.5/−0.5, see Fig. 2d), there will be much
more nodes isolated (Fig. 2a), much stronger P (Fig. 2b), and much lower total connection degrees DT (Fig. 2b). Therefore, we believe the sea surface temperature anomaly (El Niño/La Niña) indeed can attack the surface air
temperature network, and isolate nodes from the network. Since nodes can be isolated under the attack of El Niño/La Niña, and the network can be divided into several
clusters (cluster, a part of the network, where any two nodes can be connected with at least one path), another
question comes out: will there be a phase transition in the network? Or in other words, will there be a threshold
that above the threshold the state of the network will convert abruptly? To address this question, another quantity,
the giant component size S, is used in our study. As described in “Method” section, the giant component size S is
defined as the ratio of the number of nodes in the largest cluster and the number of total connected nodes. It is
an indicator from percolation theory, and can be used to determine whether the phase of the network has been
changed significantly. As shown in Fig. 2c (the red line), in surface air temperature network, the giant compo-
nent size S is significantly correlated with the attack intensity P (Corr = −0.712), and S falls abruptly when P is Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 2 www.nature.com/scientificreports/ Figure 2. Temporal variation of several properties of the surface air temperature network. (a) shows the
distribution of isolated nodes as a function of time and the node index (1~306). The black dots represent the
isolated nodes. (b) shows the temporal variation of the total connection degree DT (red) and the intensity of
attack P (blue). The two curves have very significant negative correlations (r = −0.893). Results
A
k (c) shows the giant
component size S (red) as well as the intensity of attack P (blue). Again, the two curves have very significant
negative correlations (r = −0.712). (d) shows the monthly Niño3.4 index (black). The red dashed lines represent
+0.5 and −0.5, respectively. Figure 2. Temporal variation of several properties of the surface air temperature network. (a) shows the
distribution of isolated nodes as a function of time and the node index (1~306). The black dots represent the
isolated nodes. (b) shows the temporal variation of the total connection degree DT (red) and the intensity of
attack P (blue). The two curves have very significant negative correlations (r = −0.893). (c) shows the giant
component size S (red) as well as the intensity of attack P (blue). Again, the two curves have very significant
negative correlations (r = −0.712). (d) shows the monthly Niño3.4 index (black). The red dashed lines represent
+0.5 and −0.5, respectively. increasing. This indicates the percolation phase transition may appear in the surface air temperature network. To better show how the network reacts under the attack of El Niño/La Niña, we further classified all the con-
sidered time points (1948~2015) into two groups according to the Nino3.4 index. If the Nino3.4 index is larger
(or smaller) than 0.5 (or −0.5), we name them as anomalous cases, otherwise, we name them as normal cases. By studying how the giant component size S varies with different P in the two groups, we obtain Fig. 3, where
significant differences can be found. During normal period (−0.5 < Nino3.4 index < 0.5, see Fig. 3b), the giant
component size S from nearly all the cases are above 0.8. While during anomalous period (Nino3.4 index > 0.5,
or Nino3.4 index < −0.5, see Fig. 3a), one can easily find the giant component size S drops abruptly from a high
level (above 0.8) to a low level (below 0.6) once the attack intensity P is larger than 0.48. According to percolation
theory, this kind of abrupt jumping, called abrupt percolation phase transition, is similar to the first-order phase
transition, with the giant component size S suddenly jumping from a relatively high value to a relatively low value
at a transition point (i.e. critical threshold), which indicates the phase state of the network converts from stable to
unstable or metastable abruptly. P = 0.48 seems to be the critical threshold. Results
A
k For the cases during normal period
(Fig. 3b), since the attack of the sea surface temperature anomaly (SSTA) in the tropical central eastern Pacific
is not strong enough (P < 0.48), no abrupt changes of the network happened. However, for some cases during
anomalous period (Fig. 3a), the attack of the SSTA can be strong enough (P > 0.48) to lead to the phase transi-
tion. Therefore, from Fig. 3, we may conclude that once the attack intensity of El Niño/La Niña exceeds a critical
threshold (Pc = 0.48), an abrupt phase transition of the above surface air temperature network can be expected. Simulation of the El Niño/La Niña attack by using idealized network. To further study the influ-
ences of El Niño/La Niña on the surface air temperature network, especially to study in which way the nodes in
the network are isolated under the attack of El Niño/La Niña, we in this section constructed an idealized network. We first made a statistic on the connections between each pair of nodes in the network. For the pair of nodes
where connection frequently appeared (see Supplementary Fig. 2, we have defined a threshold to determine
whether the connection frequently appears or not), we set there is a connection between them in the idealized
network. As shown in Fig. 4, in this way, an artificial network is constructed, which may represent the “back-
ground climatology” of the network. Before further studies, we checked the ability of the idealized network in
simulating the reactions under attacks of El Niño/La Niña in real world network. As shown in Supplementary
Fig. 3, under attacks of El Niño/La Niña, both the total degrees of connection DT and the giant component size S
have shown very similar temporal patterns as the the results found from the real network. Therefore, this idealized
network is reasonable and appropriate for further simulating the reactions under different kinds of attacks.f pp
p
gf
To the end of this section, we will study the reactions of the idealized network under different kinds of attacks. Since El Niño/La Niña basically occurs in the tropical central eastern Pacific, their attacks on the surface air tem-
perature network of course are more likely to appear in this region, as shown in Fig. 5b. Results
A
k Study of the percolation phase transition in the surface air temperature network. Two groups a
l
fi d
d
h
d
h
f
l
( ) h
f Figure 3. Study of the percolation phase transition in the surface air temperature network. Two groups are
classified according to the Nino3.4 index. For the group of normal cases (b), the giant component size S from
nearly all the time points are above 0.8. While for the anomalous cases (a), S drops abruptly as soon as the attack
intensity P exceeds a threshold (around 0.48), which indicates phase transition in the surface air temperature
network. The color shown in this figure represents the probability for a given case (time point) to have the
corresponding S and P. The blue circles represent the maximum values of the probability in each interval with a bin
size of 0.01 from P = 0 to 1, which are connected by the blue lines. The vertical black dashed line represents 0.48. Figure 3. Study of the percolation phase transition in the surface air temperature network. Two groups are
classified according to the Nino3.4 index. For the group of normal cases (b), the giant component size S from
nearly all the time points are above 0.8. While for the anomalous cases (a), S drops abruptly as soon as the attack
intensity P exceeds a threshold (around 0.48), which indicates phase transition in the surface air temperature
network. The color shown in this figure represents the probability for a given case (time point) to have the
corresponding S and P. The blue circles represent the maximum values of the probability in each interval with a bin
size of 0.01 from P = 0 to 1, which are connected by the blue lines. The vertical black dashed line represents 0.48. Figure 4. The idealized network. Black lines means connections. From this figure, if two nodes are linked by a
black line, we say the two nodes are set as connected in the idealized network. The figure is generated by using
Matlab (version R2012a, http://www.mathworks.com/pl_homepage). Figure 4. The idealized network. Black lines means connections. From this figure, if two nodes are linked b
black line, we say the two nodes are set as connected in the idealized network. The figure is generated by usin
Matlab (version R2012a, http://www.mathworks.com/pl_homepage). (
p
p
p g )
Figure 5. Results
A
k Spatial distributions of node degrees Ki and node vulnerabilities Fi. (a) shows the spatial
distribution of Ki in the idealized network (see Fig. 4). A node with red color means it has more connections
(higher K) than a node with yellow color. Therefore, this figure corresponds to the Most connected Attack (MA),
which removes nodes according to the decreasing sequence of node degree Ki. (b) shows the spatial distribution
of Fi. A node with red color means it is more vulnerable (higher F) than a node with yellow color. Therefore, this
figure corresponds to the Localized Attack (LA), which removes nodes according to the decreasing sequence of
node vulnerability Fi. These two figures are generated by using Matlab (version R2012a, http://www.mathworks. com/pl_homepage). Figure 5. Spatial distributions of node degrees Ki and node vulnerabilities Fi. (a) shows the spatial
distribution of Ki in the idealized network (see Fig. 4). A node with red color means it has more connecti Figure 5. Spatial distributions of node degrees Ki and node vulnerabilities Fi. (a) shows the spatial
distribution of Ki in the idealized network (see Fig. 4). A node with red color means it has more connections
(higher K) than a node with yellow color. Therefore, this figure corresponds to the Most connected Attack (MA),
which removes nodes according to the decreasing sequence of node degree Ki. (b) shows the spatial distribution
of Fi. A node with red color means it is more vulnerable (higher F) than a node with yellow color. Therefore, this
figure corresponds to the Localized Attack (LA), which removes nodes according to the decreasing sequence of
node vulnerability Fi. These two figures are generated by using Matlab (version R2012a, http://www.mathworks. com/pl_homepage). Figure 5. Spatial distributions of node degrees Ki and node vulnerabilities Fi. (a) shows the spatial
distribution of Ki in the idealized network (see Fig. 4). A node with red color means it has more connections
(higher K) than a node with yellow color. Therefore, this figure corresponds to the Most connected Attack (MA),
which removes nodes according to the decreasing sequence of node degree Ki. (b) shows the spatial distribution
of Fi. A node with red color means it is more vulnerable (higher F) than a node with yellow color. Therefore, this
figure corresponds to the Localized Attack (LA), which removes nodes according to the decreasing sequence of
node vulnerability Fi. Results
A
k Therefore, the first kind
of attack we use is the Localized attack (LA)46, where the nodes are isolated according to their vulnerability to
the attacks of El Niño/La Niña, see Fig. 5b. Besides LA, another two kinds of attack are also employed. One is the
Most connected Attack (MA), and the other is the Random Attack (RA)31,35. MA means the nodes will be isolated Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 3 www.nature.com/scientificreports/ /
p
/
Figure 3. Study of the percolation phase transition in the surface air temperature network. Two groups are
classified according to the Nino3.4 index. For the group of normal cases (b), the giant component size S from
nearly all the time points are above 0.8. While for the anomalous cases (a), S drops abruptly as soon as the attack
intensity P exceeds a threshold (around 0.48), which indicates phase transition in the surface air temperature
network. The color shown in this figure represents the probability for a given case (time point) to have the
corresponding S and P. The blue circles represent the maximum values of the probability in each interval with a bin
size of 0.01 from P = 0 to 1, which are connected by the blue lines. The vertical black dashed line represents 0.48. Figure 4. The idealized network. Black lines means connections. From this figure, if two nodes are linked by a
black line, we say the two nodes are set as connected in the idealized network. The figure is generated by using
Matlab (version R2012a, http://www.mathworks.com/pl_homepage). Figure 3. Study of the percolation phase transition in the surface air temperature network. Two groups are
classified according to the Nino3.4 index. For the group of normal cases (b), the giant component size S from
nearly all the time points are above 0.8. While for the anomalous cases (a), S drops abruptly as soon as the attack
intensity P exceeds a threshold (around 0.48), which indicates phase transition in the surface air temperature
network. The color shown in this figure represents the probability for a given case (time point) to have the
corresponding S and P. The blue circles represent the maximum values of the probability in each interval with a bin
size of 0.01 from P = 0 to 1, which are connected by the blue lines. The vertical black dashed line represents 0.48. Figure 3. Conclusion and Discussionl In this work, the influence of El Niño/La Niña are studied from a new perspective: network. We consider the
surface air temperature field over Pacific as a network, and the influence of El Niño/La Niña as attacks on the
network. By measuring quantities such as the total degrees of connection DT and the intensity of attack P, we find
the surface air temperature network will be influenced in terms of isolating nodes under the attacks of El Niño/
La Niña. By further studying the giant component size S, which is a quantity from the percolation theory, we find
that there exists a critical threshold Pc, above which the network will convert its state abruptly. From the idealized
network, we studied the network reactions under different kinds of attacks, and find that the most possible ways
for the network to be influenced under the attacks of El Niño/La Niña, is LA (Localized Attack) and MA (Most
connected Attack). This means, the nodes which located in the relevant region (tropical central eastern Pacific)
and the nodes with the most connections will more likely be isolated. With the increasing of attack intensity P,
more and more nodes will be isolated. At a critical point (Pc around 0.48), the state of the surface air temperature
network will change abruptly from stable to unstable or metastable.hl g
p y
This work provides us with a new view to understand the influence of El Niño/La Niña on climate. Suppose
we consider the climate state during normal periods as stable phase states. When El Niño/La Niña happens, the
influence of sea surface temperature anomaly will be first transferred into the above atmosphere, where the for-
mer connections (during normal periods) may be cutoff and new connections may be established. As a result, the
atmosphere state may be changed, or in other words, the atmosphere will be coupled differently with the ocean. With the new state, the atmosphere will further transfer the influence of El Niño/La Niña to other remote regions,
such as East Asia Monsoon region, etc. This is the well known way how El Niño/La Niña is teleconnected with
remote regions, and the atmosphere plays a role as a bridge (Atmospheric Bridge). In this study, by using the con-
cept of network and the theory of percolation, we studied how the El Niño/La Niña events can influence the sur-
face air temperature network. Results
A
k These two figures are generated by using Matlab (version R2012a, http://www.mathworks. com/pl_homepage). according to the connection degrees. See Figs 4 and 5a, the node with the most connections will be removed
first, and so on. While RA means the nodes will be isolated randomly. By removing nodes, in other words, by
increasing the intensity of attacks P, we can calculate the corresponding giant component size S from the idealized
network. Figure 6 shows the results for LA (green), MA (red), and RA (blue) respectively. Moreover, we spend 100
times in simulating the results of RA and take the average. As one can see, both LA and MA can lead to a stepwise
phase transition, while RA leads to a second-order phase transition32,42. Since as shown in Fig. 2, the intensity of according to the connection degrees. See Figs 4 and 5a, the node with the most connections will be removed
first, and so on. While RA means the nodes will be isolated randomly. By removing nodes, in other words, by
increasing the intensity of attacks P, we can calculate the corresponding giant component size S from the idealized
network. Figure 6 shows the results for LA (green), MA (red), and RA (blue) respectively. Moreover, we spend 100
times in simulating the results of RA and take the average. As one can see, both LA and MA can lead to a stepwise
phase transition, while RA leads to a second-order phase transition32,42. Since as shown in Fig. 2, the intensity of Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 4 www.nature.com/scientificreports/ Figure 6. Simulation results of percolation phase transition in the idealized network. Results of different
kinds of attacks are shown by curves with different colors. MA: red, RA: blue, and LA: green. The areas
with different colors are the results from Fig. 3a. As one can see, both MA and LA can lead to stepwise
phase transitions, and the results of MA fit better to the results from real networks. The colored area mainly
concentrates on two phase states, which indicates a phase transition indeed can happen under the attack of El
Niño/La Niña. The vertical black dashed lines represent 0.43, 0.48 and 0.6, respectively. Figure 6. Simulation results of percolation phase transition in the idealized network. Results of different
kinds of attacks are shown by curves with different colors. MA: red, RA: blue, and LA: green. Results
A
k The areas
with different colors are the results from Fig. 3a. As one can see, both MA and LA can lead to stepwise
phase transitions, and the results of MA fit better to the results from real networks. The colored area mainly
concentrates on two phase states, which indicates a phase transition indeed can happen under the attack of El
Niño/La Niña. The vertical black dashed lines represent 0.43, 0.48 and 0.6, respectively. attacks P due to El Niño/La Niña is below 0.6, we thus only focus on the P interval between 0 and 0.6. For MA,
interestingly there exits an obvious critical threshold Pc at around 0.43, which is close to the critical threshold
found in Fig. 3. For LA, one can also see a critical threshold, but is around P = 0.5 and P = 0.6. By comparing
the percolation phase transition simulated from the idealized network with the results calculated from the real
network (Fig. 3), it is easy to find that the results from MA have the best simulation, which means the attacks of
El Niño/La Niña on the surface air temperature network may mainly follow the way of MA. That is, the nodes
with the most connections may be isolated earlier than the nodes with less connections. However, we like to note
that we are studying the influences of El Niño/La Niña, there should be no doubt that the nodes in the key region
(tropical central eastern Pacific) are more vulnerable. As shown in Fig. 5b, the nodes in the key region are more
frequently isolated under the attacks of El Niño/La Niña. Therefore, besides MA, the influence of El Niño/La Niña
on the surface air temperature network should also to some extent follow the way of LA. In other words, the El
Niño/La Niña may prefer two ways (MA and LA) to attack the above air temperature network. When El Niño/La
Niña happens, both the local nodes and the nodes with the most connections are more likely to be isolated. But as
shown in Fig. 6, it is not easy for LA to reach a critical threshold (Pc is between 0.5 and 0.6), therefore, as the nodes
are removed during an El Niño/La Niña event, the state of the network is more likely to convert following the way
of MA, where the Pc is much smaller (around 0.43). Conclusion and Discussionl We focused on the former connections from the normal periods (without El Niño/
La Niña) and revealed how the former connections may be attacked by El Niño/La Niña. The results show that: i) Not all sea surface temperature anomalies in the tropical central eastern Pacific can induce the transition of
states in the above atmosphere. The intensity of attack should exceed the critical threshold Pc (around 0.48). ii) Wh
h i fl
i
h h
f h
b
h
ill
b
l
d
ll i) Not all sea surface temperature anomalies in the tropical central eastern Pacific can induce the transition of
states in the above atmosphere. The intensity of attack should exceed the critical threshold Pc (around 0.48). ii) When the influence is strong enough, the state of the above atmosphere will convert abruptly, not gradually. Not all sea surface temperature anomalies in the tropical central eastern Pacific can induce the transition o
states in the above atmosphere. The intensity of attack should exceed the critical threshold Pc (around 0.48).l h
ii) When the influence is strong enough, the state of the above atmosphere will convert abruptly, not gradu Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 5 www.nature.com/scientificreports/ In this study, we classified the considered time points into two groups according to the Nino3.4 index. For the
group of normal cases (−0.5 < Nino3.4 index < 0.5), the attack intensity P is not strong enough and no abrupt
changes of S is found. While for the group of anomalous cases (Nino3.4 index > 0.5, or Nino3.4 index < −0.5), the
P can be larger than 0.48, and abrupt phase transitions are found. Therefore, we need to note that the traditional
definition of El Niño/La Niña is reasonable and indeed useful in monitoring El Niño/La Niña events. However,
we would like to emphasize that not all the cases when Nino3.4 index > 0.5, or Nino3.4 index < −0.5, can result
in a phase transition of the surface air temperature network. As discussed above, to better evaluate the influences
of El Niño/La Niña, or even predict the subsequent events trigged by El Niño/La Niña, one is suggested to first
measure the intensity of attack P to check whether the above atmosphere has changed its state. Methods Surface air temperature Network. We employ the nonlinear synchronization measure to construct a
network23,26,27. For each node in Fig. 1, we first extract anomaly values by subtracting long-term mean annual
cycle (leap days are removed), Tk(d), where k is the node index and d is the calendar date. Then we compute, for
every 30th day t in the considered time span between January 1950 and August 2015, the time-delayed cross-cor-
relation coefficients for each pair of nodes i and j over 365 days before t, with time lags τ between −200 days and
200 days. The result is denoted by
τ
C ( )
i j
t
,
. Finally we determine, for each time point t, the maximum, the mean and
the standard deviation of the absolute values of the cross-correlation coefficients
τ
C ( )
i j
t
,
, and further define the
link strength as23,26,27 τ
τ
τ
=
|
| −
|
|
|
|
W
C
C
C
max(
( ) )
mean(
( ) )
std(
( ) )
,
(1)
i j
t
i j
t
i j
t
i j
t
,
,
,
, (1) A pair of nodes is considered as connected if their link strength is above a threshold Q48,49 (for confidence level
of 99%, Q = 0.57. See the Supplementary Figure 1), and one degree of connection is counted. Otherwise, we say
there is no connection between the two nodes under a given confidence level. By using Heaviside function, we
can represent this definition as A pair of nodes is considered as connected if their link strength is above a threshold Q48,49 (for confidence level
of 99%, Q = 0.57. See the Supplementary Figure 1), and one degree of connection is counted. Otherwise, we say
there is no connection between the two nodes under a given confidence level. Conclusion and Discussionl If P is larger than
Pc, the phase of the surface air temperature network will be changed abruptly, and the influence of El Niño/La
Niña may further be transferred to remote regions. Otherwise, one has to consider the possible effects of El Niño/
La Niña more modestly. y
Obviously, from this study we can see Pc is the key quantity, which is not only important for determining of
percolation phase transition in the network, but also helpful in improving our climate prediction skills. In this
work, we found Pc is around 0.48, but we need to admit that more detailed researches are still necessary. For
instance, we need to check if the Pc value remains unchanged for El Niño Modoki, whether Pc = 0.48 is universal
for all El Niño/La Niña events, and so on. Furthermore, we also need to note that, network theory and percolation
theory are new in climate studies. Besides the research on El Niño/La Niña, other explorations from this new
perspective are also needed in the future. Data and Methods Data. In this study, the daily surface air temperature from NCEP/NCAR reanalysis 1 project for years 1948–
2015 are used47. The data are downloaded from the National Oceanic & Atmospheric Administration (NOAA,
http://www.esrl.noaa.gov/psd/data/gridded/data.ncep.reanalysis.surface.html). Spatial domain between 120°E
and 285°W, 20°N and 20°S are selected for the analysis, and the horizontal resolution is 5° × 5° (see Fig. 1, from
the original dataset which has horizontal resolution of 2.5° × 2.5°, every other grid point is selected as a node in
Fig. 1). Each node is marked with numbers from 1 to 306 as node index, according to the sequence from west to
east and from north to south. Besides the surface air temperature, the monthly Nino3.4 Sea Surface Temperature
Anomaly (Nino34 index) is also used as an indicator of El Niño/La Niña events (see Fig. 2d). The index is also
downloaded from NOAA (http://www.esrl.noaa.gov/psd/data/climateindices/). Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 Methods 2c, the giant component size S are shown as the red curve. It is worth to note that besides the S defined as
equation (8), there is another widely used definition, where the giant component size are defined as the ratio of
the number of nodes in the largest cluster and the number of the total nodes50. By using this definition, we find
similar results as what we show in this paper, therefore the conclusions in our research stay unchanged. Idealized network. In meteorology, composite analysis is widely used to determine a background field dur-
ing a specific time period. In this study, we borrow this idea to construct a idealized network. Suppose there
exists an idealized network which represents the state of climate network under slight or even no attacks from El
Niño/La Niña, but when El Niño/La Niña happens, it can react similarly as the real network. To establish such a
network, we need to first find the time points when no (or only very slight) attack happens. By setting St > 0.98,
we can select the time points out as T′, ′ =
′
′
′
′
T
t
t
t
t
{
,
,
,
,
,
},
(9)
k
1
2
3 ′ =
′
′
′
′
T
t
t
t
t
{
,
,
,
,
,
},
k
1
2
3 (9) where t′k represents the time point when there is no (or very slight) attack and the giant component size S > 0.98. Then we calculate the frequency of occurrence for each connection (e.g., connection between node i and node j,
we can also name it as edge between i and j) in the selected time points T′, =
∑
′
∈′
E
A
L T
(
)
,
(10)
i j
t T
i j
t
,
, (10) where L(T′) is the number of time points in T′, and Ei,j represents the frequency of occurrence of the connection
between node i and node j. If Ei,j is higher than a threshold E, which indicates a high possibility that the two nodes
are connected, we therefore will set the two nodes connected in the idealized network, as Ci,j = 1. Otherwise, we
set the two nodes separated, as Ci,j = 0. Methods By using Heaviside function, we
can represent this definition as θ
=
−
=
>
<
A
W
Q
W
Q
W
Q
(
)
1,
0,
,
(2)
i j
t
i j
t
i j
t
i j
t
,
,
,
, (2) and the degrees of node i at time t is thus represented as, nd the degrees of node i at time t is thus represented as, ∑
=
=
=
K
A ,
(3)
i
t
j
j
i j
t
1
306
, (3) where i and j are both the node indexes from 1 to 306. By summing the degrees of all the nodes, we will further
obtain the total degrees of connection DT, where i and j are both the node indexes from 1 to 306. By summing the degrees of all the nodes, we will further
obtain the total degrees of connection DT, ∑
=
. =
=
D
K
(4)
T
i
i
i
t
1
306 ∑
=
. =
=
D
K
T
i
i
i
t
1
306 (4) If at a given time point t, node i has no connections with any other nodes,
=
K
0
i
t
, we name it as an isolated
node. To better describing this concept, we further defined a new quantity as Ri
t, Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 6 www.nature.com/scientificreports/ =
=
>
R
K
K
1,
0
0,
0
,
(5)
i
t
i
t
i
t =
=
>
R
K
K
1,
0
0,
0
,
i
t
i
t
i
t (5) where i is the node index from 1 to 306. If the node i at time point t is an isolated node, we set
=
R
1
i
t
, otherwise,
=
R
0
i
t
. See Fig. 2a, the distribution of isolated nodes over time is shown as black dots. where i is the node index from 1 to 306. If the node i at time point t is an isolated node, we set
=
R
1
i
t
, otherwise
= 0
i
t
. See Fig. 2a, the distribution of isolated nodes over time is shown as black dots. Intensity of attacks. Methods In percolation theory, intensity of attacks is usually defined as the fraction of nodes
removed from original network. When a node is removed, all links between this node and other nodes will be cut
off and this node will become an isolated node. Analogously, in the surface air temperature network, we consider
the isolated nodes as the result of attacks such as El Niño/La Niña, and define the intensity of attacks at time point
t as, = ∑=
=
P
R
306
,
(6)
t
i
i
i
t
1
306i (6) where Ri
t is quantity defined in equation (5), and Pt represents the fraction of the isolated nodes, which as defined
is the intensity of attacks at time point t. As shown in Fig. 2b,c, the blue curve shows the intensity of attacks over
time. Node Vulnerability. To quantify the vulnerability of a given node under attacks, we defined another quantity
as, = ∑∈
F
R
L T
( )
,
(7)
i
t T
i
t = ∑∈
F
R
L T
( )
,
i
t T
i
t (7) where L(T) represents the length of a given time period (the total time points), and Fi is the fraction of the time
points when node i is isolated over the total time points. See Fig. 5b, the spatial distribution of Fi is show with
different colors. where L(T) represents the length of a given time period (the total time points), and Fi is the fraction of the time
points when node i is isolated over the total time points. See Fig. 5b, the spatial distribution of Fi is show with
different colors. Giant component size. In percolation theory, giant component size is used to measure fragmentation and
functionality of network, and indicate the phase state of network. To calculate the giant component size, one
needs to first find the largest cluster, where i) any two nodes can be connected with at least one path, and ii) the
number of nodes is the highest. Then the giant component size at time point t can be defined as, =
−∑=
=
S
N
R
306
,
(8)
t
LC
i
i
i
t
1
306 (8) where NLC is the number of nodes in the largest cluster, and St represents the giant component size at time point t. See Fig. Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 Methods With the help of Heaviside function, Ci,j can be summarized as, θ
=
−
=
>
<
. C
E
E
E
E
E
E
(
)
1,
0,
(11)
i j
i j
i j
i j
,
,
,
, (11) The threshold E should satisfy two conditions. First, with an appropriate E, the established idealized network
should have a big giant component size, S > 0.98. Second, an appropriate threshold E should make sure that the The threshold E should satisfy two conditions. First, with an appropriate E, the established idealized network
should have a big giant component size, S > 0.98. Second, an appropriate threshold E should make sure that the Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 7 7 www.nature.com/scientificreports/ total degrees of connection DT of the idealized network does not exceed the range of DT of the real networks over
the selected time points T′. As introduced in Supplementary Fig. 2, we in this study choose E = 0.29. According to
the above procedures, the idealized network is constructed, as shown in Fig. 4. total degrees of connection DT of the idealized network does not exceed the range of DT of the real networks over
the selected time points T′. As introduced in Supplementary Fig. 2, we in this study choose E = 0.29. According to
the above procedures, the idealized network is constructed, as shown in Fig. 4. total degrees of connection DT of the idealized network does not exceed the range of DT of the real networks over
the selected time points T′. As introduced in Supplementary Fig. 2, we in this study choose E = 0.29. According to
the above procedures, the idealized network is constructed, as shown in Fig. 4. References
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University Press, 2010). Author Contributions Z.L. and Z.F. designed the study. Z.L. performed the study. N.Y. wrote the manuscript. All authors reviewed the
manuscript. Z.L. and Z.F. designed the study. Z.L. performed the study. N.Y. wrote the manuscript. All authors reviewed the
manuscript. Acknowledgements g
Many thanks are due to support from National Natural Science Foundation of China (No. 41175141 and No. 41405074) and from the Basic Research Fund of CAMS (Grands 2015Y011). This work is also funded by the g
Many thanks are due to support from National Natural Science Foundation of China (No. 41175141 and No. 41405074) and from the Basic Research Fund of CAMS (Grands 2015Y011). This work is also funded by the
LOEWE excellence cluster FACE2FACE of the Hessen State Ministry of Higher Education, Research and the Arts. Scientific Reports | 6:26779 | DOI: 10.1038/srep26779 References
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(2014). 50. Cohen, R. & Havlin, S. Complex networks: structure, robustness and function (eds Cohen, R. & Havlin, S.) Ch. Additional Information Supplementary information accompanies this paper at http://www.nature.com/srepi Supplementary information accompanies this paper at http://www.nature.com/srepi Competing financial interests: The authors declare no competing financial interests. Competing financial interests: The authors declare no competing financial interests. How to cite this article: Lu, Z. et al. Percolation Phase Transition of Surface Air Temperature Networks unde
Attacks of El Niño/La Niña. Sci. Rep. 6, 26779; doi: 10.1038/srep26779 (2016). This work is licensed under a Creative Commons Attribution 4.0 International License. The images
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Alpinumisoflavone ameliorates choroidal neovascularisation and fibrosis in age-related macular degeneration in in vitro and in vivo models
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OPEN
Alpinumisoflavone ameliorates
choroidal neovascularisation
and fibrosis in age‑related macular
degeneration in in vitro and in vivo
models
Eunhye Yu1,4, Yunjeong Song1,4, Sun Mi Gu1, Yang Hee Jo2, Sang Won Yeon2, Kyu Jin Han3,
Mi Kyeong Lee2, Jung Kee Min1,3* & Jaesuk Yun1*
Age-related macular degeneration (AMD) is a major cause of vision loss in the elderly population.
Anti-vascular endothelial growth factor (VEGF) antibody therapy is applicable to neovascularisation
of AMD; however, the prevention of fibrosis after anti-VEGF monotherapy is an unmet medical
need. Subretinal fibrosis causes vision loss in neovascular age-related macular degeneration (nAMD)
even with anti-VEGF therapy. We report the anti-fibrotic and anti-neovascularisation effects of
alpinumisoflavone (AIF), an isoflavonoid derived from unripe Maclura tricuspidata fruit, in in vitro
and in vivo models. For in vitro study, we treated H2O2 or THP-1 conditioned media (TCM) following
activation with phorbol 12-myristate 13-acetate (PMA) and lipopolysaccharide (LPS) in a human
retinal pigment epithelial cell line (ARPE-19). Choroidal neovascularisation (CNV) was induced by
laser photocoagulation in mice, immediately followed by intravitreal administration of 25 μg AIF. CNV
area and fibrosis were measured 7 days after laser photocoagulation. AIF showed anti-fibrosis and
anti-neovascularisation effects in both the models. The laser induced CNV area was reduced upon AIF
administration in nAMD mouse model. Additionally, AIF decreased the levels of the cleaved form of
crystallin alpha B (CRYAB), a chaperone associated with VEGF stabilisation and fibrosis. Our results
demonstrate a novel therapeutic application of AIF against neovascularisation and fibrosis in nAMD.
Age-related macular degeneration (AMD) is a degenerative eye disease and is the leading cause of irreversible
vision loss in elderly p
eople1. It is a complex multifactorial disease, and its pathogenesis is not fully u
nderstood2.
Choroidal neovascularisation (CNV), vascular leakage, and haemorrhage are the hallmarks of n
AMD3. Antivascular endothelial growth factor (VEGF) pharmaceutical products have successfully been used as a first-line
medication for nAMD t reatment4–7. However, subretinal fibrosis is a risk factor for vision loss that occurs despite
anti-VEGF treatment8. Subretinal fibrosis may be initiated by CNV development with haemorrhage and the
inflammatory response of the retinal and subretinal regions. Various cell types, such as retinal pigment epithelium
(RPE) cells, immune cells, and fibroblasts, are associated with this pathological process, which consequently
induces tissue scarring and blindness in patients with nAMD9. However, RPE cells are also known to produce
VEGF, which is a target of nAMD treatment10,11 and express several fibrosis markers dependent on the epithelialto-mesenchymal transition p
rocess12.
In contrast to anti-VEGF pharmaceutics, there are no effective anti-fibrotic agents available for nAMD treatment thus far. Therefore, the development of an anti-fibrotic agent as well as anti-neovascularisation therapy
may facilitate better therapeutic intervention of nAMD.
Alpinumisoflavone (AIF) is an isoflavonoid isolated from the unripe fruits of Maclura tricuspidata (previously
known as Cudrania tricuspidata)13–16. AIF has various pharmacological activities such as anti-inflammatory17,
1
College of Pharmacy, Chungbuk National University, 194‑31 Osongsaengmyeong 1‑ro, Osong‑eup,
Cheongju‑si, Chungcheongbuk‑do 28160, Republic of Korea. 2College of Pharmacy, Chungbuk National
University, 194‑21 Osongsaengmyeong 1‑ro, Osong‑eup, Cheongju‑si, Chungcheongbuk‑do 28160, Republic of
Korea. 3Department of Ophthalmology, Ulsan University Hospital, University of Ulsan, College of Medicine, 877,
Bangeojinsunhwando‑ro, Dong‑gu, Ulsan 44033, Republic of Korea. 4These authors contributed equally: Eunhye
Yu and Yunjeong Song. *email: jkmin@uuh.ulsan.kr; jyun@chungbuk.ac.kr
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Figure 1. Inhibitory effects of alpinumisoflavone (AIF) on THP-1 conditioned media (TCM)-induced
expression of vascular endothelial growth factor A (VEGFA) in ARPE-19 cells. (a) ARPE-19 cells were treated
with 0.1% DMSO in RPMI-1640 complete media or AIF (0, 1, 5, or 10 µM) in TCM. VEGFA expression was
measured by dot blot. The data were analysed using one-way ANOVA followed by the Holm-Šídák post-hoc
t-test (*p < 0.05 vs. non-TCM group, ##p < 0.01 vs. cells treated with only TCM group) and are expressed as
mean ± S.E. (n = 3–6). Uncropped blot images are presented in supplementary information (Supplementary
Fig. 2). (b,c) ARPE-19 cells were treated with 0.1% DMSO in RPMI-1640 complete media or AIF (0, 0.1, 1, 5,
or 10 µM) in TCM. The fluorescence intensity was measured using the FlexStation 3 Multi-Mode Microplate
Reader. Data were analysed using one-way ANOVA followed by the Holm-Šídák post-hoc t-test test (*p < 0.05
vs. non-TCM group, #p < 0.05 vs. cells treated with only TCM group) and are expressed as the mean ± S.E.
(n = 6–9).
anti-metastatic18, and antioxidant17 effects. Notably, methylalpinumisoflavone shows anti-VEGF activity via
hypoxia-inducible factor-1 (HIF-1) i nhibition19 and flavones has anti-fibrotic a ctivity20,21.
In this study, we tested the effects of AIF on expression level of VEGF, fibrosis markers such as alpha smooth
muscle actin (alpha-SMA) and collagen type I (collagen I) in ARPE-19 cell, which has been widely used in eye
research22, besides measuring the CNV area and fibrosis in an nAMD mouse model following AIF treatment in
an attempt to elucidate whether AIF demonstrates anti-neovascularisation and anti-fibrotic activity in nAMD
models. In addition, we studied the effects of AIF on the expression levels of chaperones associated with VEGF
and fibrosis markers with the aim of deciphering the molecular mechanism underlying AIF activity in nAMD
in vivo and in vitro models.
Results
TCM increased vascular endothelial growth factor A expression in ARPE‑19 cells.
Macrophages
play a critical role in the development of AMD23–25. Thus, we stimulated ARPE-19 cells with TCM to induce
macrophage inflammatory responses, so that we can evaluate the effect of TCM on vascular endothelial growth
factor A (VEGFA) expression after 3 h of treatment in ARPE-19 cells. The expression level of VEGFA in ARPE19 cells was increased by TCM. However, AIF co-treatment inhibited VEGFA expression induced by TCM. The
most significant reduction of VEGFA was shown in AIF of 5 µM (Fig. 1a; F(4,16) = 9.627, p < 0.001).
We performed immunocytochemical analysis to determine the expression of VEGFA and alpha-SMA in
ARPE-19 cells. The fluorescence intensity of VEGFA or alpha-SMA was increased by TCM. We found that
1, 5, and 10 μM AIF co-treatment inhibited fluorescence intensity of VEGFA and 0.1, 1, 5, and 10 μM AIF
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Figure 2. Inhibitory effects of alpinumisoflavone (AIF) on H2O2-induced expression of vascular endothelial
growth factor A (VEGFA) in ARPE-19 cells. (a) ARPE-19 cells were treated with the indicated concentrations
of H2O2 for 24 h. The fluorescence intensity of ARPE-19 cells treated with H
2O2 were measured. Data were
analysed using one-way ANOVA followed by the Holm-Šídák post-hoc t-test (*p < 0.05 vs. H2O2 0 µM group)
and are expressed as mean ± S.E. (n = 328–406). (b) VEGFA expression was measured by dot blot. ARPE-19 cells
stimulated with H2O2 were treated with 5 µM AIF. Data were analysed using one-way ANOVA followed by the
Holm-Šídák post-hoc t-test (*p < 0.05 vs. non-H2O2 group, #p < 0.05 vs. cells treated with only H2O2 group) and
are expressed as mean ± S.E. (n = 3–9).
co-treatment inhibited fluorescence intensity of alpha-SMA expression induced by TCM (Fig. 1b; F(5,36) = 6.412,
p < 0.001; Fig. 1c; F(5,36) = 6.804, p < 0.001).
H2O2 increased VEGFA expression in ARPE‑19 cells. It was known that oxidative stress is associated
with VEGF expression26–30. Therefore, we also evaluated the effect of H2O2 on VEGF expression after 24 h of
treatment in ARPE-19 cells. VEGFA expression increased after the addition of 50 and 100 µM H
2O2 to ARPE19 cells. We found that ARPE-19 cells treated with 100 μM H
2O2 for 24 h significantly increases fluorescence
intensity of VEGFA (Fig. 2a; F(2,1093) = 11.429, p < 0.001).
AIF reduced the expression level of VEGFA in ARPE‑19 cell lysates. ARPE-19 cells were treated
with 5 µM AIF for 24 h under low oxidative stress conditions (100 µM of H2O2). Thereafter, dot blot analysis was
performed to detect VEGFA expression. VEGFA expression decreased under AIF treatment conditions (Fig. 2b;
F(2,13) = 5.469, p = 0.019).
AIF reduced RNA expression level of alpha‑SMA and collagen I in ARPE‑19 cell lysates. We
used qPCR to determine the expression levels of fibrosis markers (Fig. 3). We normalised the quantified mRNA
of each gene to the corresponding glyceraldehyde 3-phosphate dehydrogenase (GAPDH) mRNA levels. We
showed that AIF reduced the mRNA expression level of alpha-SMA and collagen I but not N-Cadherin in
ARPE-19 cells (Fig. 3b; p = 0.0164; Fig. 3c; p = 0.0205).
AIF and bevacizumab decreased the CNV area in laser‑induced mouse model. To evaluate the
effects of AIF on CNV development, we measured the CNV area in laser-induced mouse model. Immediately
after laser photocoagulation, a single intravitreal injection of AIF was administered to the mice. Bevacizumab
intravitreal injection was also administered as a positive control group. A week later, CNV lesions were visualised by perfusing mice with fluorescein and staining the choroidal vasculature with isolectin B4 (Fig. 4). AIF
and bevacizumab-treated eyes had a reduction in the area of CNV lesions compared with that in the non-treated
control eyes (Fig. 4a; F(2,22) = 10.105, p < 0.001; Fig. 4b; F(2,22) = 4.477, p = 0.023).
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Figure 3. Inhibitory effects of alpinumisoflavone (AIF) on the expression fibrosis marker of ARPE-19 cells.
ARPE-19 cells were treated with 5 µM AIF. AIF reduced the RNA expression level of (b) alpha smooth muscle
actin (alpha-SMA) and (c) collagen I in ARPE-19 cell lysates. The statistical analysis was performed using
Mann–Whitney U test (*p < 0.05 vs. control group) and the results are expressed as mean ± SEM (n = 3 biological
replicates). qRT-PCR for each biological replicate was performed in duplicate.
Figure 4. Effects of alpinumisoflavone (AIF) on laser-induced mouse model on choroidal neovascularisation
(CNV) area. AIF suppresses the development of the CNV area in the laser-induced CNV mouse model.
Representative images of CNV lesions and quantification of its area and volume in mice eyes that underwent
laser photocoagulation administered with bevacizumab or AIF (Both 1 μL, 25 μg, intravitreal injection). One
week later, the CNV area was analysed via measurement of fluorescence intensity of images with (a) fluorescein
and (b) isolectin B4 positive area. Data were analysed using one-way ANOVA followed by the Holm-Šídák posthoc t-test (*p < 0.05 and **p < 0.01 vs. control group). The results are expressed as mean ± S.E. (n = 7–9). The scale
bar in each image is 100 μm.
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Figure 5. Inhibitory effects of alpinumisoflavone (AIF) on VEGFA and alpha smooth muscle actin (alphaSMA) expression in the laser-induced choroidal neovascularisation (CNV) mouse model. Intravitreal injection
of 25 mg/mL AIF was administered immediately after laser exposure. Equal amounts of protein from laserexposed mice eye tissue lysates were analysed for expression of the indicated proteins. Protein expression in
CNV of laser-exposed eyes of mice was measured a week after laser exposure by western blot analysis. Data
were analysed using one-way ANOVA followed by the Holm-Šídák post-hoc t-test (*p < 0.05 and **p < 0.01 vs.
non-laser exposed group, ##p < 0.01 vs. only Laser exposed group) and the results are expressed as mean ± S.E.
(n = 4–5). Uncropped blot images are presented in supplementary information (Supplementary Fig. 3).
AIF reduced the expression level of VEGFA and alpha‑SMA in laser‑induced CNV mouse
model. We performed a western blot assay to evaluate the effect of AIF on the expression of VEGFA and
alpha-SMA in laser-induced CNV mice model. Seven days after laser photocoagulation, we removed the eyeballs
of the experimental mice and extracted proteins. Western blot analysis of VEGFA and alpha-SMA was performed, with, GAPDH as an internal loading control. We found a decrease in the expression levels of VEGFA and
alpha-SMA in the eyes treated with AIF compared to those in eyes treated without AIF (Fig. 5a; F(2,11) = 8.836,
p = 0.005; Fig. 5b; F(2,11) = 8.108, p = 0.007).
Morphological changes induced by laser photocoagulation. To investigate the morphological
changes in laser-induced mice eyes, the mice were euthanised 7 days after laser photocoagulation. Then, immunohistochemical analyses was performed. In mice eye sagittal sections, the subretinal infiltrates and fibrosis were
observed in laser exposed subretinal lesions. The expression levels of alpha-SMA was increased 7 days after laser
photocoagulation but was reduced in AIF treated mice eye section (Fig. 6).
AIF reduced the cleaved form of CRYAB and phosphorylated form of CRYAB (p‑CRYAB)
expression in laser‑induced CNV mouse model. It is known that CRYAB is regulated angiogenesis by
modulation of VEGF31. Therefore, we analysed the expression of CRYAB and p-CRYAB in laser-induced CNV
mice model using western blot assay. Seven days after laser photocoagulation, we removed the eyeballs of the
experimental mice and extracted proteins. Western blot analysis of the cleaved form of CRYAB and p-CRYAB
was performed, with GAPDH as the internal loading control. We found a decrease in the expression levels of the
cleaved form of CRYAB and p-CRYAB in the eyes of mice treated with AIF compared to those in eyes treated
without AIF (Fig. 7a; F(2,6) = 52.690, p < 0.001; Fig. 7b; F(2,6) = 14.026, p = 0.005.
CRYAB interacted with alpha‑SMA in the laser‑induced CNV mouse model.
We performed Coimmunoprecipitation (Co-IP) assay to evaluate the association between CRYAB and alpha-SMA. A week after
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Figure 6. Expression of alpha smooth muscle actin (alpha-SMA) in laser-exposed mouse eye.
Immunohistochemical staining of eyes from the non-laser induced mice and laser-induced CNV model with or
without AIF treatment stained for DAPI (blue) and alpha-SMA (red). White asterisks indicate subretinal fibrosis
and increased alpha-SMA expression level. Yellow arrow depicts retinal pigment epithelium (RPE) layer. The
scale bar in each image is 100 μm.
laser exposure, we removed the eyes of the experimental mice and extracted proteins. In Co-IP assays, input
(whole cell lysate from mouse eye) was used as a control to determine whether IP was successful, and the results
showed that CRYAB interacted with alpha-SMA in the laser-induced mouse model (Fig. 8).
Discussion
nAMD is a leading cause of blindness with symptoms of neovascularisation, haemorrhage, inflammation, and
fibrosis in the subretinal region of the elderly population. Anti-VEGF signalling antibody therapeutics, such as
bevacizumab, ranibizumab, and aflibercept, are prescribed as primary medications for nAMD therapy to inhibit
neovascularisation4–7,32,33. However, the development of subretinal fibrosis after anti-angiogenesis treatment
is one of the major concerns in the prognosis of patients with nAMD. In a study conducted by Daniel et al.,
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Figure 7. Inhibitory effects of alpinumisoflavone (AIF) on crystallin alpha B (CRYAB) and phosphorylatedCRYAB (p-CRYAB) expression in laser-induced choroidal neovascularisation (CNV) model. Intravitreal
injection of 25 mg/mL AIF was administered immediately after laser exposure. The tissue lysates from three
animals were pooled as one sample and equal amounts of protein were analysed for determining expression of
the indicated proteins. The cleaved form of (a) CRYAB and (b) p-CRYAB reduced by 25 mg/mL AIF treatment
in the laser-induced CNV model. Experiments were performed in triplicate and data were analysed using
one-way ANOVA followed by the Holm-Šídák post-hoc t-test (**p < 0.01 vs. non-laser exposed group, ##p < 0.01
vs. only Laser exposed group). The results are expressed as mean ± S.E. (n = 3). Each error bars represent
standard deviation from triplicate reading of three pooled samples. Uncropped blot images are presented in
supplementary information (Supplementary Fig. 4).
Figure 8. Interaction between crystallin alpha B (CRYAB) and alpha smooth muscle actin (alpha-SMA).
Western blot analysis of proteins following the co-immunoprecipitation assay. Laser-exposed mice eye tissue
lysates were co-immunoprecipitated with CRYAB. Alpha-SMA was successfully co-immunoprecipitated with
CRYAB. Uncropped blot images are presented in supplementary information (Supplementary Fig. 5).
approximately 45% of patients developed fibrotic scarring 2 years after anti-VEGF t reatment8. Thus, fibrotic
scarring is a primary biomarker to predict loss of vision in patients with nAMD.
In this study, we examined the effects of AIF on VEGF expression and fibrosis in AMD models. We demonstrated that AIF significantly reduced released VEGFA in H2O2 treated ARPE-19 cells. Thus, these findings
suggest that AIF may inhibit chorioretinal neovascularisation by reducing VEGF induced by oxidative stress.
Parallel to previous studies, we found that AIF has an inhibitory effect on oxidative stress and angiogenesis17,34.
Furthermore, TCM induced the increase in VEGF expression in ARPE-19 cells. However, AIF co-treatment
with TCM reduced VEGF expression. According to the previous reports, activated macrophages are related
to AMD pathological process24,25. In addition, it has been reported that VEGF mediates angiogenesis and
inflammation35. Activated immune cells, such as macrophages, are the key source of cytokines in the inflammatory responses, which were ameliorated by A
IF34. We demonstrated that AIF may inhibit VEGF production and
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cellular response to activated macrophages. We take this as evidence that AIF may suppress the production of
VEGF via the regulation of macrophage-induced pro-inflammatory mediators.
The mRNA and protein levels of a fibrosis marker, alpha-SMA, and collagen I also decreased upon AIF treatment of ARPE-19 cells. These results encourage the examination of the potential protective role that AIF plays
in the nAMD animal model. We demonstrated that AIF treatment significantly reduced laser-induced choroidal
neovascularisation in the mouse model. Inhibitory activity of AIF was similar to that of bevacizumab (25 μg/eye).
Furthermore, AIF also reduced VEGFA and alpha-SMA expression in the laser-induced CNV animal model.
These results suggest that AIF may ameliorate choroidal neovascularisation development and reduce fibrosis
related marker, alpha-SMA36 in the nAMD animal model.
We identified that AIF modulates AMD pathophysiology via CRYAB function. We showed that CRYAB
may act as a co-regulator of alpha-SMA, using Co-IP assay and gene–gene interaction analysis [genemania.org
(Supplementary Fig. 1)]. According to previous s tudies31,37, CRYAB also interacts with and stabilises the VEGF
structure, which plays an important role in the pathological process of AMD. These results suggest that CRYAB
may bind to VEGF and alpha-SMA, and consequently act as a chaperone to enhance the function of target molecules in the subretinal fibrosis and CNV process. CRYAB has several phosphorylated sites, such as S19, S45,
and S59. Increased VEGFA secretion and angiogenesis are associated with the upregulated S59-phosphorylated
form of CRYAB (p-CRYAB)31.
It can be inferred from our study that AIF may be used independently because they have an effect similar
to that of bevacizumab. We demonstrated that the binding between alpha-SMA and CRYAB increased in the
nAMD animal model. In addition, AIF treatment reduced the cleaved form of CRYAB and p-CRYAB in the
laser-induced CNV model. However, the expression levels of total CRYAB and total p-CRYAB were not affected
by AIF treatment. Therefore, we suggest that AIF may decrease the cleavage of CRYAB and the transcription of
alpha-SMA, as mentioned above. CRYAB is a heat shock protein that binds to VEGFA and consequently inhibits
degradation and escalates the release of the molecule. AIF treatment may increase the degradation of VEGF via
the inhibition of chaperone function in the nAMD model. Overall, we can conclude that AIF reduces fibrosis
scarring as well as CNV development via the regulation of transcription of alpha-SMA, expression of the cleaved
form of CRYAB, and VEGF function in the nAMD model.
Methods
AIF preparation. AIF was extracted from the unripe fruits of Maclura tricuspidata and purified as per previ-
ously reported p
rotocols38,39. Briefly, methanol extract made from 556.0 g of unripe fruits and 100% methanol
was suspended in distilled water and partitioned successively with n-hexane, methylene chloride, ethyl acetate,
and n-butanol. The methylene chloride fraction, subjected to a Sephadex LH-20 column eluted with methanol,
yielded four sub-fractions (CTUM1–CTUM4). AIF was purified from CTUM3 using semi-preparative highperformance liquid chromatography (HPLC) with acetonitrile/distilled water (57:43). The AIF (> 95% pure, as
measured via HPLC analysis using a PDA detector) was dissolved in dimethyl sulfoxide (DMSO, Sigma-Aldrich,
St. Louis, MO, USA).
Cell culture. ARPE-19 cells (ATCC, Manassas, VA, USA) were maintained in Dulbecco’s modified Eagle’s
medium (DMEM, Gibco, Waltham, MA, USA), supplemented with 10% foetal bovine serum and antibiotic–
antimycotic (100 units/mL, Gibco, Waltham, MA, USA), in a humidified incubator at 37 °C and 5% CO2. The
media was changed thrice a week. For subculture, 1 mL of 0.5% trypsin–EDTA (Gibco, Waltham, MA, USA)
was added and incubated at 37 °C for 3 min. Thereafter, 10 mL complete DMEM was added to harvest the cells
via centrifugation at 3000 rpm for 3 min. The supernatant was then removed, and the pellet was resuspended in
complete DMEM. Thereafter, the cells were seeded in 96-well plates at a density of 1 × 104 cells/well.
In vitro TCM and oxidative stress model.
LPS-stimulated THP-1 cells were extensively used as a model
of inflammation40. The human monocytic cell line THP-1 (Korean Cell Line Bank, Seoul, Korea, KCLB-40202)
was cultured in RPMI-1640 (Hyclone, Logan, UT, USA) supplemented with 10% foetal bovine serum, 1%
2-mercaptoethanol (Gibco, Waltham, MA, USA), and antibiotic–antimycotic (100 units/mL, Gibco, Waltham,
MA, USA), in a humidified incubator at 37 °C and 5% CO2. After reaching confluency, the cells were seeded
at a density of 1 × 106 cells/well in 12-well culture plates. For cell differentiation, THP-1 cells were treated with
200 ng/ml of PMA, Sigma-Aldrich, St. Louis, MO, USA) and incubated overnight at 37 °C and 5% C
O2. Then,
the PMA-supplemented media was removed, and the differentiated macrophage-like cells were stimulated with
1 μg/ml of LPS (Sigma-Aldrich, St. Louis, MO, USA) in RPMI-1640. After 24 h, the TCM was harvested, and the
cells and debris were removed by centrifugation for 5 min at 3500 rpm. ARPE-19 cells were seeded in 96-well
plates at a density of 1 × 104 cells/well. On the second day, the ARPE-19 cells were treated with 0.1% DMSO in
RPMI 1640 complete media or AIF (0, 1, 5, or 10 μM) in TCM for 3 h. Thereafter, culture media were harvested
as mentioned above, and dot blot analysis was performed to detect VEGFA expression in culture media. TCM
untreated ARPE-19 cells was used as a control. The fluorescence intensity of alpha-SMA and VEGFA was measured by the immunofluorescence analysis as described in the “Methods” section below.
Oxidative stress plays an important role in the pathogenesis of AMD26–30. According to previous studies29,30,
we used H
2O2 to induce VEGF production in ARPE-19 cells. Twenty-four hours after seeding, the ARPE-19 cells
were treated with H
2O2 or 5 μM AIF for 24 h and analysed via immunocytochemistry (ICC) as described in the
“Methods” section below. Quantitative PCR (qPCR) was also performed as described in the “Methods” section
below. After 24 h of H
2O2 treatment, ARPE-19 cells were treated with 5 μM AIF for 24 h and analysed via dot
blotting. In the above experiments, untreated cells were used as the control.
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Dot blot analysis. Cell media stimulated with ARPE-19 were centrifuged at 3500 rpm for 5 min. The supernatant was blotted onto nitrocellulose membrane by vacuum and Bio-Dot Apparatus (Bio-rad) and subsequently
blocked in TBS containing 5% skim milk for 1 h. The membrane was then incubated with anti-VEGFA antibody
(Abcam, ab46154, 1:1000) for 3 h at room temperature and washed thrice with TBST (5 min each). The membrane was then incubated with goat anti-rabbit IgG-HRP (Cell Signaling, 7074S, 1:5000) secondary antibody for
1 h at room temperature, washed again, and finally visualised using ECL substrate (Millipore, Billerica, MA) and
a FUSION Solo S chemiluminescence detection system (Vilber Lourmat, Collégien, France).
Immunocytochemistry/immunofluorescence (ICC/IF).
For immunocytochemistry, ARPE-19 cells
were fixed in 4% paraformaldehyde for 20 min at room temperature and were permeabilised with 0.1% Triton
X-100 in phosphate-buffered saline (PBS; Life Technologies, Carlsbad, CA, USA) for 15 min. Following blocking with PBS containing 5% goat serum and 0.1% Triton X-100 for 1 h at room temperature, fixed cells were
incubated overnight at 4 °C with VEGFA (Santa Cruz Biotechnology, Santa Cruz, CA, USA, SC-7269, 1:300) in
PBS containing 5% goat serum and 0.1% Triton X-100. Stained cells were washed with PBS containing 1% goat
serum and 0.1% Tween 20. Then, the cells were incubated for 2 h at room temperature with the goat anti-rabbit
IgG labelled with Alexa Fluor 488 (Abcam, ab150077, 1:500) or Goat Anti-Mouse IgG H&L (Alexa F
luor® 568)
(Abcam, ab175473, 1:500) in PBS containing 5% goat serum in 0.1% Triton X-100 in the dark. The cells were
then stained with 4′,6-diamidino-2-phenylindole (DAPI, diluted to 300 ng/mL in PBS) for 10 min at room
temperature in the dark. Cells were washed three times in PBS for 5 min each in the dark. Samples were stored
in 0.02% (w/v) sodium azide in PBS. Thereafter, fluorescent images were captured with a Zeiss Axio Imager A2
microscope (Carl Zeiss, Oberkochen, Germany).
For immunofluorescence analysis, ARPE-19 cells were stained with alpha-SMA (Abcam, Cambridge, UK,
ab5694, 1:300) and VEGF (Santa Cruz Biotechnology, Santa Cruz, CA, USA, SC-7269, 1:300) in the same way as
above. Then, the fluorescence intensity was subsequently measured using a FlexStation 3 Multi-Mode Microplate
Reader (Molecular Devices, LLC, Sunnyvale, CA, USA) as follows: DAPI, excitation wavelength of 340 nm and
emission wavelength of 488 nm or alpha-SMA, excitation wavelength of 495 nm and emission wavelength of
519 nm or VEGFA, excitation wavelength of 578 nm and emission wavelength of 603 nm.
Quantitative real‑time PCR (qPCR). RNA was extracted from ARPE-19 cells using QIAGEN RNA kit
(QIAGEN, Hilden, Germany), and cDNA was synthesised from 1 μg total RNA using the High-Capacity cDNA
Reverse Transcription Kit (Applied Biosystems, Foster City, CA, USA). Amplification reactions were performed
with 12.5 μL 2 × SYBR Green PCR master mix (Applied Biosystems), 1 μg cDNA, and forward and reverse
primers (100 μM each) using StepOne Plus Real-Time PCR System (Applied Biosystems). Cycling parameters
were as follows: 50 °C for 2 min and 95 °C for 10 min; 1 cycle at 95 °C for 15 s and 40 cycles at 60 °C for 2 min,
after one initial step at 95 °C for 30 s and a final step at 55 °C for 30 s. The primers used were as follows: alphaSMA, forward 5′-AAAAGACAGCTACCTTGGGTGA-3′ and reverse 5′-GCCATGTTCTATCGGGTACTTC3′; N-Cadherin, forward 5′-TCAGGCGTCTGTAGAGGCTT-3′ and reverse 5′-ATGCACATCCTTCGATAA
GACTG-3′; Collagen I, forward 5′-TTGTGCGATGACGTGATCTGT-3′ and reverse 5′-TTGGTCGGTGGG
TGACTCTG-3′; GAPDH, forward 5′-TGTCAAGCTCATTTCCTGGTATGA-3′ and reverse 5′-TCTTACTCC
TTGGAGGCCATGTAG-3′.
In vivo CNV model and drug treatment. Male wild-type C57BL/6N mice aged 8 weeks were randomly
assigned to standard cages with 4–5 animals per cage (n = 5–8 for each group) and maintained under standard
housing conditions in a 12 h light/dark cycle. For all procedures, animals were anaesthetised via intraperitoneal
injection with ketamine (100 mg/kg body weight) and xylazine (10 mg/kg body weight). Pupils were dilated with
a combination of 0.5% tropicamide and 0.5% phenylephrine (Mydrin-P; Santen, Osaka, Japan). Laser photocoagulation were performed in both eyes of each animal at the 3, 6, 9, and 12 o’clock positions of the retina, at a
distance of 1–2 optic disc diameters surrounding the optic nerve, avoiding blood vessels. Laser spots were created with a spot diameter of 45 μm using the 78 diopters lens (VOLK, Mentor, OH, USA), 350 mW power, and
100 ms pulse duration using a laser indirect ophthalmoscope ( OcuLight® GL (Green 532 nm Laser), IRIDEX,
Mountain View, CA, USA)41. Before intravitreal injection, a small amount of vitreous fluid was removed after
puncture using a 30-g needle, being careful not to touch the lens on the limbus. Then, mice were intravitreally
injected at the same puncture site with a 32-gauge needle attached to a 5 μL Hamilton microsyringe (Hamilton,
Reno, NV, USA) as follows: 1 μL DMSO or AIF (25 μg in 1 μL DMSO) or 1 μL bevacizumab (Avastin, 25 mg/mL;
Genentech, San Francisco, CA, USA).
Fluorescein and Isolectin B4 staining of CNV lesions. Isolectin B4 staining was performed accord-
ing to previously published reports but with a minor modification42. Mice were euthanised 7 days after laser
photocoagulation. About 30 min before enucleation, 2.5% fluorescein sodium (Novartis, Basel, Switzerland)
0.5 mL was injected intraperitoneally. Residual fat, muscle, episcleral membrane, or optic nerve tissue was gently
removed. The cornea and anterior sclera were dissected through an incision just anterior to the equator using
microdissection scissors, and the lens, iris, and vitreous and neurosensory retina were removed. The planarization of the posterior scleral cup by making five meridian incisions starting at the equator and ending in the middle of the sclera approximately 1 mm from the centre of the optic nerve head did not damage the peripapillary
sclera. Only RPE, choroid, and sclera were separated and placed in a 96 well plate. The samples were immediately
fixed with 4% paraformaldehyde (Sigma-Aldrich, St. Louis, MO, USA) in PBS for 1 h at room temperature. For
flat-mounts, posterior eye cups consisting of the RPE, choroid, and sclera were permeabilised with 0.1% Triton
X-100 (Thermo Fisher Scientific, Waltham, MA, USA) in PBS for 1 h at room temperature. The CNV lesions
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were stained with Alexa Fluor 594-conjugated Griffonia simplicifolia isolectin B4 (1:100 dilution; Invitrogen,
Carlsbad, CA, USA) and fluorescein at room temperature overnight. After three washes with PBS (15 min each),
posterior eye cups were flat-mounted onto slides (Thermo Scientific) with the scleral side down in SlowFade
anti-fade mounting medium (Life Technologies). Fluorescent images were captured using a Zeiss Axio Imager
A2 microscope (Carl Zeiss).
Immunohistochemical analyses. Mice were euthanised 7 days after laser photocoagulation. The eyes
were post-fixed overnight with 4% PFA in PBS at 4 °C and then coronally cut with a Leica CM1850 microtome
(15 µm thick sections). The sections were then permeabilised in PBS with 0.3% Triton X-100 and 0.3% hydrogen
peroxide and blocked in 5% bovine serum albumin (BSA, with 1% goat serum) for 1 h at room temperature. The
sections were incubated with primary antibodies diluted in 5% BSA at 4 °C overnight using rabbit alpha-SMA
(Abcam, ab5694, 1:200). After rinsing three times in PBS, the slices were incubated with the corresponding
Alexa Fluor-conjugated secondary antibodies diluted in 5% BSA for 2 h at RT and finally stained for 20 min
with DAPI (300 nM in 5% BSA, Sigma-Aldrich). The sections were then mounted onto glass slides (Matsunami,
Osaka, Japan) with mounting medium (Vector Laboratories, Inc., San Francisco, CA, USA). For each section,
images were taken under a 5× objective using a Zeiss Axio Imager A2 microscope (Carl Zeiss).
Western blot analysis. Mice retina, RPE, and choroid were isolated via sonication in lysis buffer (iNtRON
Biotechnology, Seongnam, Korea) and centrifuged at 13,000 rpm for 25 min at 4 °C. The supernatant was
obtained as total protein extracts. ARPE-19 cells were homogenised with lysis buffer (iNtRON Biotechnology)
and centrifuged at 13,000 rpm for 25 min at 4 °C. The supernatant was obtained as total protein extracts. An
equal amount of total protein was resolved on 12% sodium dodecyl sulfate–polyacrylamide gel followed by gel
electrophoresis. The transferred PVDF membranes were incubated overnight at 4 °C with alpha-SMA (Abcam,
ab5694, 1:1000), VEGFA (Abcam, ab46154, 1:1000) CRYAB (Abcam, ab13496, 1:2500), phospho-CRYAB (Ser59;
Invitrogen, PA1-012, 1:2500), and GAPDH (Cell Signaling Technology, 2118S, 1:5000) antibodies. Thereafter,
blots were incubated with corresponding conjugated goat anti-rabbit (Cell Signaling, 7074S, 1:5000) or horse
anti-mouse IgG-HRP (Cell Signaling, 7076S, 1:5000) secondary antibodies. Immunoreactive proteins were
detected with ECL substrate (Millipore) and visualised using a FUSION Solo S chemiluminescence detection
system (Vilber Lourmat, Collégien, France).
Co‑immunoprecipitation (Co‑IP) assay. Co-IP assays were performed using a Pierce Classic Magnetic
IP/Co-IP Kit (Thermo Scientific) according to the manufacturer’s instructions. Briefly, tissue lysate containing
500 μg total protein (quantified by bradford assay) was incubated with 2 μg CRYAB antibody for IP overnight at
4 °C. Thereafter, the antigen/antibody complex was incubated with 25 μL Pierce Protein A/G magnetic beads for
1 h at room temperature. The beads were then washed twice with IP Lysis/Wash Buffer and once with distilled
water, and the antigen/antibody complex was subsequently eluted from the beads by heating at 100 ℃ for 5 min.
Lastly, CRYAB was measured via western blotting.
Statistical analysis. The data were analysed with Mann–Whitney U test using the Statistics Kingdom web
calculator (https://www.statskingdom.com) and one-way analysis of variance (ANOVA) followed by HolmŠídák post-hoc t-test with SigmaPlot 14 software (Systat Software, San Jose, CA, USA). The results are presented
as mean ± standard error (S.E.).
Ethical approval.
Male wild-type C57BL/6N mice aged 8 weeks were handled in accordance with the Association for Research in Vision and Ophthalmology’s (ARVO) statement on the Use of Animals in Ophthalmic and Vision Research. This study was reviewed, and the protocol was approved by the Institutional Human
Experimentation Committee Review Board of Ulsan University Hospital, Ulsan, Republic of Korea (NON2020004) and Chungbuk National University, Cheongju, Republic of Korea (CBNUR-1453-20). All the animal experiments followed the ethical guidelines of ARRIVE (https://arriveguidelines.org).
Data availability
The datasets used and/or analysed during the current study are available from the corresponding authors on
reasonable request.
Received: 23 February 2022; Accepted: 16 August 2022
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Scientific Reports |
(2022) 12:14316 |
https://doi.org/10.1038/s41598-022-18531-y
11
Vol.:(0123456789)
www.nature.com/scientificreports/
Author contributions
Conceptualization, J.K.M. and J.Y.; methodology, M.K.L., K.J.H., J.K.M. and J.Y.; investigation, E.Y., Y.S., Y.H.J.,
S.W.Y., M.K.L. and J.Y.; data curation, J.Y.; formal analysis, E.Y. and Y.S.; writing—original draft preparation,
E.Y. and Y.S.; writing—review and editing, S.M.G.; visualization, E.Y. and Y.S.; funding acquisition, J.K.M. and
J.Y.; supervision, J.K.M. and J.Y.; project administration, J.K.M. and J.Y. All authors have read and agreed to the
publication of the current version of the manuscript.
Funding
This research was supported by "Regional Innovation Strategy (RIS)" through the National Research Foundation
of Korea (NRF) funded by the Ministry of Education (MOE) (2021RIS-001), the National Research Foundation
of Korea (NRF) grant funded by the Korea government (MSIT) (No. MRC, 2017R1A5A2015541), and the Ministry of Food and Drug Safety (22214MFDS252). This research was also supported by Ulsan University Hospital
Research Grant (UUH-2020-07).
Competing interests
The authors declare no competing interests.
Additional information
Supplementary Information The online version contains supplementary material available at https://doi.org/
10.1038/s41598-022-18531-y.
Correspondence and requests for materials should be addressed to J.K.M. or J.Y.
Reprints and permissions information is available at www.nature.com/reprints.
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English
| null |
Leduc's Artificial Plants and Cells
|
Scientific American
| 1,907
|
public-domain
| 7,426
|
.. ' ... But in
stead of utilizing either an exceedingly fine metal wire
of relatively low specific resistance and temperature
coefficient, as does the barretter, or a large radiating
or absorbing surface in proportion to its mass as does
the bolometer, the carborundum detector employs a
constricted current path lying along the edge of the
crystal in contact
with the
oppositely-disposed sur
faces of the conductor plugs. It is well known that the flat side of carborun̚ .• m
is a very poor conductor and in order to obtain good
electrical contact, the sharp edges of the carborundum
fragment must be clamped between the opposed sur
faces of the plug ends of the detector, when the actual
contact is rmited to an exceedingly small area-not
more than Olle millionth of an inch and probably less. The seed surrounds itself with a membrane of cop
per ferrocyanide which is permeable to water and to
certain ions, but is impermeable to sugar. This semi
permeability produces a high osmotic pressure in the
interior of the artificial seed, resulting in the absorp
tion of matter from the surrounding medium and thus
in the growth of the whole structure. If the liquid
be spread on a glass plate, the growth takes place in
a horizontal plane. In a deep vessel, on the other
hand, the plant form' grows simultaneously in a hori. zontal and a vertical'. direction,' forming stems which
on arriving on the upper surface of th 1 liquid, spread
out in flat leaves resembling those of a water plant. In common with the Fessenden hot-wire barretter
and responders of the bolometric type, the action of
the new Dunwoody detector is purely thermal. But in
stead of utilizing either an exceedingly fine metal wire
of relatively low specific resistance and temperature
coefficient, as does the barretter, or a large radiating
or absorbing surface in proportion to its mass as does
the bolometer, the carborundum detector employs a
constricted current path lying along the edge of the
crystal in contact
with the
oppositely-disposed sur
faces of the conductor plugs. The new carborundum detector is so designed that it
can be inserted in circuit with a De Forest receptor
instead of the detector formerly used; in other words,
the carborundum detector
is
made
interchangeable
with the electrolytic detector, which it has superseded. BY A. FREDERICK COLLINS. Leduc,
of Nantes, has fouIld the vHal functions in animal
and vegetable cells to be controlled exclusively by the
physical
laws
of diffusion
(osmosis)
and
cohesion
(molecular attraction) . On the basis of these phe
nomena he has even succeeded in artificially producing
objects which, not only in appearance but in behavior,
closely resemble natural cells, growing, absorbing food,
lJ-nd propagating themselves in exactly the same way. The botanist might be somewhat embarrassed when
asked to incorporate in his familiar system of clatlses,
orders, and families.,the forms .. i1lustrated .in IFigs. 1
to 4. Still he would hardly have any doubt of their
genuineness, their whole aspect being typical of repre
sentatives of the vegetable kingdom, especially of cer
tain water plants. While
Prof. Lehmann's
recent researches
on ap
parently living crystals have shown that certain bodies,
mineral
in
outward appearance,
behave like
living
organisms of the lowest type (bacteria), Prof. Leduc,
of Nantes, has fouIld the vHal functions in animal
and vegetable cells to be controlled exclusively by the
physical
laws
of diffusion
(osmosis)
and
cohesion
(molecular attraction) . On the basis of these phe
nomena he has even succeeded in artificially producing
objects which, not only in appearance but in behavior,
closely resemble natural cells, growing, absorbing food,
lJ-nd propagating themselves in exactly the same way. tector, Pickard has brought out' one using silicon as
the sensitive medium. Silicon is a non-metallic ele
ment, prepared as a dull-brown amorphous powder, as
shining metallic scales or as dark steel-gray granules,
sometimes showing crystallization. Any one of these
may be used as a detector, and in any case it is pressed
into good electrical contact between two conducting
plugs as in the ordinary coherer. Notwithstanding this very considerable difference in
the sensitiveness of the electrolytic and carborundum
detectors when measured in the C. G. S. system of
units, in the a.ctual practice of wireless telegraphy the
difference in' receptiveness is barely perceptible over
similar distances. In the first experiments with car
borundum as an electric wave .detector, it was found
that its sensibility to the electric oscillations set up
in the circuit of which it was a part, was a maximum
when a certain critical potential prevailed in the local
circuit of which it also formed a part. Different from the coherer, this latest "thermo-elec
tric regenerative detector" converts the energy of the
oscillation set up in the receiving. .. ' ... When placed in such a receiving circuit, the mani
festation is greatest when the potential impressed upon
the detector is between 1.0 and 1.2 volts. A single artificial seed one millimeter in diameter
can thus produce 15 to "20 vertical stems which some
times reach a height of 25 to 30 centimeters, being
either simple or branched, frequently carrying lateral
lea yes or twigs and terminals shaped like spheres,
mushrooms, ears, spires, etc.,
according to the com
pOSition of the culture liquid. In other tests, the conductor plugs supporting the
carborundum crystals were heated by a spirit lamp,
when the resistance of the detector was observed to
decrease greatly, but on cooling again it assumed its
former resistivity, which is of the order of a megohm. The crystals of carborundum employed in the Dun
woody detector are microscopically selected and only
those having the
sharpest edges
are chosen,
since
these have been found to give the best result. The
fragment of ciuborundum is placed between a spring
and an adjustable screw plug, and by varying the These experiments thus prove that the functions
formerly considered as being characteristic of the pro
cess of life are due to and controlled by purely physi
cal forces. In fact, the forms in question obviously
receive their food by intussusception or internal ab
sorption . like living beings, whereas crystals,
as is
well known, increase by external accretion. Further
more, the plant forms are really organized, possessing
all those organs (stems, leaves, and terminal parts)
which are characteristic of plants. As finally the sub
stance used in building up these artificial plants, viz.,
copper sulphate, rises in stems up to 30 centimeters
in he"ight
(with a diameter of one millimeter)
they
are necessarily provided with an apparatus of circula- THE DETECTOR APPLIED TO A DE FOREST RECEPTOR. driven causes a new screw to drop out of a magazine
and fall in line with the bit and also allows a screw
to fall from the hopper into the magazine. The use
of the intermediate magazine was found necessary, as
the operation of the machine is so rapid that too much
time would be wasted in waiting for it to drop from
the hopper. • In tbe C. G. S. system tbe erg is the unit of wurk and of energy, being
the work done in moving a body through a distance of one centimeter
against the force of one dyne, or the kinetic force of two grammes moving
at the rate of one centimeter per second.
. BY A. FREDERICK COLLINS. Since the advent of the Dunwoody carborundum de- Since the advent of the Dunwoody carbor A novel detector for determining the presence of
electlric waves, has just been brought out by General
H. H. C. Dunwoody, and has been found sufficiently
sensitive and trustworthy to be used for commercial
wireless telegraphic work. We are no doubt at present on the eve of great revo
lutions in our scientific views; the phenomena of radio
activity have shaken the belief in the immutability of
the atom and even the principle of the preservation of
matter, at least in its familiar form. Nor does the
distinction of three strictly separated states of aggre
gation stand the test of recent investigation; transi
tions are found to exist between the different states,
and we are warranted in presuming that between the
material
and
the
immaterial
(the
luminous
ether)
there
are
likewise
numberless
intermediary
states. Finally there have been discovered transitional stages
between inert matter and living beings, from which
many interesting conclusions in regard to the nature
of life can be drawn. THE NEW DUNWOODY CARBORUNDUM DETECTOR
INSERTED IN A RECEPTOR. The device in question consis of a minute mass
or fragment of carborundum-an artificial compound
made of carbon and silicon in the electric furnace
held in place between two metallic terminals or con
ductor plugs, usually formed of copper or brass. This detector has recently been made the subject of
exhaustive tests by Mr. G. W. Pickard, who has found
that it is somewhat less sensitive than the magnetic
detector of Marconi, which in turn follows the electro
lytic detector of Fessenden; that is to say, while it
requires from 350 to 400 micro-ergs (1 micro-erg being
1/1000 of an erg*) to operate the electrolytic detector,
and from 400 to 500 micro-ergs to impress a magnetic
detector, it requires between 9,000 and 14,000 micro
ergs to carry the conductivity of a carborundum de
tector so that it will produce an audible tone in a
telephone receiver, with about the same amount of
energy required by a microphone detector. THE NEW DUNWOODY CARBORUNDUM DETECTOR
INSERTED IN A RECEPTOR. While
Prof. Lehmann's
recent researches
on ap
parently living crystals have shown that certain bodies,
mineral
in
outward appearance,
behave like
living
organisms of the lowest type (bacteria), Prof. Scientific American MARCH 16, 1907. 234 234 .. ' ... Various curves have been plotted showing the re
sistance variation against the differe.nce of potential
across the conductor plugs of the detector, and in one
of
these
it was
demonstrated
that
the
conductive
charge occurred most rapidly between 1.0 and 1.1 volts. The conductance of the detector at this potential was
about 50 microhms, or 0.4000 ohm, and a variation of
0.01 volt at the above potential value will produce a
change in condtlctivity of about 10 microhms, or -! per cent. A machine for applying screws at the rate of fifty a
minute, if necessary, has recently been placed on the
market and consists of a hopper connected by a vertical
flexible shaft and tube to the driving mechanism below. The withdrawal of the bit from each screw as it is Below are given some details concerning the arti
ficial seed and the medium in which it is immersed for
germination. A seed one to two millimeters in diam
eter, consisting of two parts of saccharose (cane sugar)
and one part of copper sulphate, is immersed ill an
aqueous solution containing two to four per cent o.f
potassium ferro cyanide, one to ten per cent of sodium
chloride or some other salt, and one to four per cent
of gelatine. In this solution, the seed germinates in
a few days or a few hours according to temperatute;
under
favorable
conditions the germinating
process
can even be shown as a lecture experiment in a few
minutes. THE DETECTOR APPLIED TO A DE FOREST RECEPTOR. p
It is well known that the flat side of carborun̚ .• m
is a very poor conductor and in order to obtain good
electrical contact, the sharp edges of the carborundum
fragment must be clamped between the opposed sur
faces of the plug ends of the detector, when the actual
contact is rmited to an exceedingly small area-not
more than Olle millionth of an inch and probably less. In common with the Fessenden hot-wire barretter
and responders of the bolometric type, the action of
the new Dunwoody detector is purely thermal. BY A. FREDERICK COLLINS. aerial, into heat at
the junction of the silicon and the metal fOl:ming the
conductor plugs by virtue of the high resistance of
the former and the low resistance of the latter. The botanist might be somewhat embarrassed when
asked to incorporate in his familiar system of clatlses,
orders, and families.,the forms .. i1lustrated .in IFigs. 1
to 4. Still he would hardly have any doubt of their
genuineness, their whole aspect being typical of repre
sentatives of the vegetable kingdom, especially of cer
tain water plants. The amount of heat developed by the high thermo
electromotive force, and the consequent temperature
rise, is proportional to the square of the resistance,
according to the well-known law of Joule. The de
tector gets its name as indicated above from the fact
that this thermal energy is converted or regenerated
into a direct electric current, the detector performing
the same function as all others that have been de
vised, namely, that of a very delicate relay. In this respect it resembles the electrolytic detector
when in action. For this reason a potentiometer or
variable resistance is used in shunt with the detector. As carborundum is obtained in the form of crystalline
masses, it has, in consequence, a very high resistance
where the current flowing in the internal or dry cell
circuit is small, but as the strength of the current is
increased the resistance drops very rapidly. Nevertheless, they are not living beings of any sort,
but artificial bodies formed in the laboratory of the chem
ist. While their very aspect is certain to inspire in
terest, it is obviously far more interesting to observe
\hem in the making, to watch how from an artificial
seed a shoot springs and develops (at a rate readily·
controlled by the experimenter)
into stems, leaves,
buds, twigs; ears, and blossoms, and after some time
dies like a real plant. The birth and death of a plant
can thus be artificially reproduced within the space
of a few hours. .. ' ... LEDUC'S ARTIFICIAL PLANTS AND CELLS.
BY DR. ALFRED GRA.DENWITZ. pressure of the spring by means of a screw the point
of maximum sensitiveness can easily be obtained. on which he believes the originals were constructed. Some of these are shown in the accompanying illustra
tions. None was found in the ruins. The manner in
which these writing instruments were used is also
shown in one of the engravings herewith. pressure of the spring by means of a screw the point
of maximum sensitiveness can easily be obtained. A
strong reaction against the some'Nhat childish
endeavors of the alchemists to convert one element
into another and to generate living beings from inert
matter, pervades
the
history of nineteenth
century
science. Perhaps we have been prone rather too eager
ly to discard the doctrines of former times, banishing
many theories which in the course of the last few years
have again been found worthy of serious discussion. The exact proportions of the crystal are not essential
and it may vary from one to three millimeters on the
side. The crystal to be used should never be touched
by the fingers, as this often reduces its sensitiveness
to an appreciable extent; the proper way to handle the
element is to use a pair of tweezers. MARCH 16, 1907. B.-Sodium chloriue crystal in
its field of cry!'tallization. Fig. B.-Sodium chloriue crystal in
its field of cry!'tallization. Fig. lO.-Segmentation of
hquid artificial cells. Fig. 9.-Morphogenetic effect of
crystallization. These
movements
are
checked by .premature dry·
ing but recommence on the
addition of water, suggest
ing an analogy to the la
tent life of seeds and 1'0-
tifera. Fig. B.-Sodium chloriue crysta
its field of cry!'tallization. As the ions or constitu
ents of dissolved salts dif
fuse independently, part of
the molecule appears to be
assimilated, or fixed in the
cell, while the rest is elim
inated. A diffusing drop
of copper sulphate, for ex-
LEDUC'S CURIOUS AR
Although tbey are compo
ample, leaves at the center
a yellow nucleus consisting of metallic copper. This
is surrounded by a blue rinG of the unaltered solution
which is itself surrounded by a translucent ring con
taining bubbles of gas due to the action of the released
sulphuric acid upon the gelatine. if Fig. 9.-Morphogenetic effect of
crystallization. Fig. lO.-Segmentation of
hquid artificial cells. Fig. B.-Sodium chloriue crystal in
its field of cry!'tallization. LEDUC'S CURIOUS ARTIFICIAL PLANTS, CELLS, AND TISSUES, PRODUCED BY CANE SUGAR, COPPER
SULPHATE AND POTASSIUM FERROCYANIDE. Although tbey are composed of inert matter, I.hese objects sprout, branch, and nourish tbemselves like actual living organisms. Although tbey are composed of inert matter, I.hese objects sprout, branch, and nourish tbemselves like actual living organisms. fluid a tinted drop of the same fluid between two drops
of greater osmotic pressure. The central drop repre
sents the nucleus, the others the centrosomes of the
living cell undergoing segmentation. The central drop
becomes granular and develops a pigmented ring which
represents the chromatic band of the natural process
and, like it, breaks up into chromosomes. These move
toward the centrosomes and collect about them, form
ing two nucleated pigmented masses. Meanwhile a
partition has formed between these masses which is
continuous with their spherical walls, so that finally
we have the image of two cells, with nuclei, proto-
1)\aID, ana. cell -wallS, llTesseu close1y togetner. Artificial cells are affected in structure and develop
ment by moisture, dryness, acids, allralies, and various
other ̝ubstances added either to the drop of liquid or
the surrounding gelatine. MARCH 16, 1907. LEDUC'S CURIOUS ARTIFICIAL PLANTS, CELLS, AND TISSUES, PRODUCED BY CANE SUGAR, COPPER
SULPHATE AND POTASSIUM FERROCYANIDE. Although tbey are composed of inert matter, I.hese objects sprout, branch, and nourish tbemselves like actual living organisms. of metallic copper. This
G of the unaltered solution
by a translucent ring con
the action of the released
fluid a tinted drop of the same fluid between two drops
of greater osmotic pressure. The central drop repre
sents the nucleus, the others the centrosomes of the
living cell undergoing segmentation
The central drop
solutions of sodium chlo
cell tissues (Fig. 7) ar
of cells observed in natu
duced by suitably regula Fig. :I.-Artificial organs showing
mushroomsbape. Fig. :I.-Artificial organs showing
mushroomsbape. Fig. 3.ÍCu1turÎ of a slugle artificial grain. Fig.t.-An artiJicial plant which
was produced in a test.tube. Fig. 3.ÍCu1turÎ of a slugle artificial grain. Fig. 3.ÍCu1turÎ of a slugle artificial grain. Fig. 4.-Artificial seaweed produced from an artificial cell. The internal mechanism
of the processes controlling
the behavior of these arti
ficial plants will be better
understood
by briefly
reo
ferring to Leduc's previous
experiments.* In these ex
periments
two
mutually
precipitating
solutions
e. g.,
potassium
ferrocy
anide and a salt of
cop
per-were
sprinkled
on
gelatine-coated glass. The
copper ferrocyanide depos
ited at the surfaces of con
tact of the drops formed
the envelopes of polygonal
cells. Similar
cells
are
formed when potassium so
lution alone is sprinkled
on the ̛elatine. Fig. 4.-Artificial seaweed produced from an artificial cell. Fig. :I.-Artificial organs showing
mushroomsbape. Fig.t.-An artiJicial plant which
was produced in a test.tube. Fig.t.-An artiJicial plant which
was produced in a test.tube. Fig. 7.-Liquid cell tissues. Fig.5.-Field of diffusion between two opposile poles. FIg.6.-Artificial cell tissue. Fig.5.-Field of diffusion between two opposile poles. -Liquid cell tissues. ll.-A rtificial and natural
karyokinesis. SUGAR, COPPER
Mutual reactions of un
like
poles,
then,
would
account
for
the
whole
of the physiological
phe:
nomen a of the organism. In
fact
they
produce
liquid currents which car
ry
along
any
suspended
particles,
while
the
mu
tual reactions of like poles
cause suspended particles
to be accumulated in the
neighborhood of a positive
pole, thus producing the
phenomenon of agglutina
tion. Even in the produc
tion
of
cell
tissues,
as
shown by the artiil.cial tis
sue represented in Fig. 6,
no other forces are pres
ent. MARCH 16, 1907. The phe
nomena
in
question
are
best
represented
by
con
sidering the
seat
of
the
tendency to diffusion as a
field of force, in every way
resembling Faraday's mag
netic
and
electric
fields. In
fact,
any
point
in a
liQuid
at which the con
centration is greater than
in the surrounding. parts,
represents
a
center
of
force of diffusion, and the
same
remark
applies
to
points of lower concentra
tion than their surround
ings. If
a
point of
the
former ldnd be called
a
"positive
pole
of
diffu
sion," a point of smaller
concentration
should
be
termed a "negative" pole. Now,
poles
of
different
kinds (Fig. 5) will attract
each other in exactly the
same
manner
as
electric
or magnetic poles of op
posite
signs,
the
general
phenomena of motion be·
ing precisely the same in
the two cases. tion. Theil' growth is thus no doubt a real one like
that of a plant, a small (artificia\)
seed developing
into a
complex form several
hundred times larger
than itself. Jlue algre. The protoplasm may be separated from
the· cell wall and contracted about the nucleus, or it
may fill the whole cell. The cells may be naked or sur̜
rounded by thick walls. They may be in contact with
each other or separated by intercellular spaces, etc. If drops of water tinted with India ink are scattered
over a solution of potassium nitrate, the cells, at first
radially
striped, soon
become
granular. Then
seg
mentation takes place and the cells breal, up into
polyhedral daughter cells. than itself. It is further interesting that the products of growth
arising from the artificial seed are, lil,e real plants
susceptible
to
numerous
chemical
and
physical
re
actions. In fact, their
development is
arrested by
many poisons, while their direction and growth are
determined by differences
in
the internal
diffusion
pressure and in temperature. However,
there are
still further analogies between these artificial organ
isms and real ones. The former, like the latter, are
endowed with the power of healing any' injury, as
whenever a stem is broken
before the completion of its
g I' 0 w t h , the fragments
cling to and combine with
one
another, after which
the
process·
of
growth
again
commences. There
is only a single function
of living plants which has
not so far been artificially
reproduced,
viz.,
propaga
tion in successive genera
tions. MARCH 16, 1907. Except for this de
fect the whole of the vital
process of vegetable organ
isms would have been imi
tated artificially, at
least
in its outward appearance;
this
problem,
however,
seems to be susceptible of
realization
like
those
al
ready solved. The internal mechanism
of the processes controlling
the behavior of these arti
ficial plants will be better
understood
by briefly
reo
ferring to Leduc's previous
experiments.* In these ex
periments
two
mutually
precipitating
solutions
e. g.,
potassium
ferrocy
anide and a salt of
cop
per-were
sprinkled
on
gelatine-coated glass. The
copper ferrocyanide depos
ited at the surfaces of con
tact
of
the
drops
formed
Fig.t.-An artiJicial plant which than itself. It is further interesting that the products of growth
arising from the artificial seed are, lil,e real plants,
susceptible
to
numerous
chemical
and
physical
re
actions. In fact, their
development is
arrested by
many poisons, while their direction and growth are
determined by differences
in
the internal
diffusion
pressure and in temperature. However,
there are
still further analogies between these artificial organ
isms and real ones. The former, like the latter, are
endowed with the power of healing any' injury, as
whenever a stem is broken
before the completion of its
g I' 0 w t h , the fragments
cling to and combine with
one
another, after which
the
process·
of
growth
again
commences. There
is only a single function
of living plants which has
not so far been artificially
reproduced,
viz.,
propaga
tion in successive genera
tions. Except for this de
fect the whole of the vital
process of vegetable organ
isms would have been imi
tated artificially, at
least
in its outward appearance;
this
problem,
however,
seems to be susceptible of
realization
like
those
al
ready solved. The phenomenon of karyokinesis observed in the
segmentation of living cells, with the characteristic
spindle-shaped figUl'e of curves connecting two focal
points, is produced artificially by' placing in a viscous Fig.t.-An artiJicial plant which
was produced in a test.tube. Fig. 3.ÍCu1turÎ of a slugle artificial grain. Fig. 4.-Artificial seaweed produced from an artificial cell. Fig.5.-Field of diffusion between two opposile poles. FIg.6.-Artificial cell tissue. Fig. B.-Sodium chloriue crystal in
its field of cry!'tallization. Fig. 9.-Morphogenetic effect of
crystallization. Fig. lO.-Segmentation of
hquid artificial cells. Fig. :I.-Artificial organs showing
mushroomsbape. Fig. 7.-Liquid cell tissues. Fig. ll.-A rtificial and natural
karyokinesis. • SCIENTIFIC AMERICAN, September 2, 1905. .. ' ... The screws are caused to revolve at the
rate of 1,200 revolutions a minute by means of a fric
tion drive so adjusted that the screw stops after it
has been driven the required distance. 235 MARCH 16, 1907. By introducing a 5
to 10 per cent solution of
potassium ferrocyanide in
to 5 to 10 per cent solu
tions of gelatine, the cell
tissue represented in this
figure is eapily obtained;
each such cell, liI,e a natu-
ral one, possesses an en
al living organisms. veloping membrane, proto
plasm and a nucleus. With
olutions of sodium chlorjde, however, entirely liquid
ell tissues (Fig. 7) are obtained. All the varieties
f cells observed in nature. can thus be artificially pro
uced by suitably regulating the conditions of the ex
eriment. Even the strange karyokinetic figures pro
uced during the segmentation of cells, and of which
o adequate explanation has yet been given, are read
y obtained in these artificial growths. During the
process
of
formation the artipcial cell
is the seat of active mole
cular motion, consisting of
an inward current of wa
ter from the
moist
gela
tine and a current of dis
solved matter flowing from
the center to the surface. This apparent life can be
prolonged by maintaining
around the cell an environ
ment that will feed it or
replace
the
loss
due
to
diffusion. Mutual reactions of un
like
poles,
then,
would
account
for
the
whole
of the physiological
phe:
nomen a of the organism. In
fact
they
produce
liquid currents which car
ry
along
any
suspended
particles,
while
the
mu
tual reactions of like poles
cause suspended particles
to be accumulated in the
neighborhood of a positive
pole, thus producing the
phenomenon of agglutina
tion. Even in the produc
tion
of
cell
tissues,
as
shown by the artiil.cial tis
sue represented in Fig. 6,
no other forces are pres
ent. By introducing a 5
to 10 per cent solution of
potassium ferrocyanide in
to 5 to 10 per cent solu
tions of gelatine, the cell
tissue represented in this
figure is eapily obtained;
each such cell, liI,e a natu-
ral one, possesses an en
veloping membrane, proto
plasm and a nucleus. With
jde, however, entirely liquid
obtained. All the varieties
e. can thus be artificially pro
ng the conditions of the ex
nge karyokinetic figures pro
tation of cells, and of which
has yet been given, are read
ficial growths. FIg.6.-Artificial cell tissue. Fig.5.-Field of diffusion between two opposile poles. Fig. 7.-Liquid cell tissues. Fig. 7.-Liquid cell tissues. Fig. ll.-A rtificial and natural
karyokinesis. ANE SUGAR, COPPER Fig. MARCH 16, 1907. Under the influence of the difference of osmotic
pressure between the drop and the surrounding liquid,
water' passes inward through the membrane of copper
errocyanide which the sugar cannot traverse. The
drop, or cell, increases in size and puts forth a bud
which
is
immediately surrounded by a pellicle and
prolife;'ates in turn. In' this way is formed, slowly,
a chain of connected cells, the last of which may have
ig. :I.-Artificial organs showing
mushroomsbape. ten times the diameter of
the
original
drop. This
scientist,
as
above
men·
tioned,
had
succeeded
in
proving the life of cells to
be controlled by the forces
of diffusion, the artificial
cells and cell tissues ob
tained by him showing ex
actly the ·same behavior as
that shown by animal and
vegetable cells. The phe
nomena
in
question
are
best
represented
by
con
sidering the
seat
of
the
tendency to diffusion as a
field of force, in every way
resembling Faraday's mag
netic
and
electric
fields. In
fact,
any
point
in a
liQuid
at which the con
centration is greater than
in the surrounding. parts,
represents
a
center
of
force of diffusion, and the
same
remark
applies
to
points of lower concentra
tion than their surround
ings. If
a
point of
the
former ldnd be called
a
"positive
pole
of
diffu
sion," a point of smaller
concentration
should
be
termed a "negative" pole. Now,
poles
of
different
kinds (Fig. 5) will attract
each other in exactly the
same
manner
as
electric
or magnetic poles of op
posite
signs,
the
general
phenomena of motion be·
ing precisely the same in
the two cases. h SImilar, on a small scale,
ith solid "seeds:"
When a
taining a trace of potassium
nto a dilute solution of cop
syrup becomes covered with
yanide, forming an artificial
of the difference of osmotic
and the surrounding liquid,
ugh the membrane of copper
ugar cannot traverse. The
size and puts forth a bud
rrounded by a pellicle and
this way is formed, slowly,
the last of which may have
ten times the diameter of
the
original
drop. This
scientist,
as
above
men·
tioned,
had
succeeded
in
proving the life of cells to
be controlled by the forces
of diffusion, the artificial
cells and cell tissues ob
tained by him showing ex
actly the ·same behavior as
that shown by animal and
vegetable cells. MARCH 16, 1907. MARCH 16, 1907. drops phenomena of growth SImilar, on a small scale,
to those obtained later with solid "seeds:"
When a
solution of cane sugar containing a trace of potassium
ferrocyanide is dropped into a dilute solution of cop
per sulphate the drop of syrup becomes covered with
a pellicle of copper ferrocyanide, forming an artificial
cell. Under the influence of the difference of osmotic
pressure between the drop and the surrounding liquid,
water' passes inward through the membrane of copper
ferrocyanide which the sugar cannot traverse. The
drop, or cell, increases in size and puts forth a bud
which
is
immediately surrounded by a pellicle and
prolife;'ates in turn. In' this way is formed, slowly,
a chain of connected cells, the last of which may have
Fig. :I.-Artificial organs showing
mushroomsbape. ten times the diameter of
the
original
drop. This
scientist,
as
above
men·
tioned,
had
succeeded
in
proving the life of cells to
be controlled by the forces
of diffusion, the artificial
cells and cell tissues ob
tained by him showing ex
actly the ·same behavior as
that shown by animal and
vegetable cells. The phe
nomena
in
question
are
best
represented
by
con
sidering the
seat
of
the
tendency to diffusion as a
field of force, in every way
resembling Faraday's mag
netic
and
electric
fields. In
fact,
any
point
in a
liQuid
at which the con
centration is greater than
in the surrounding. parts,
represents
a
center
of
force of diffusion, and the
same
remark
applies
to
points of lower concentra
tion than their surround
ings. If
a
point of
the
former ldnd be called
a
"positive
pole
of
diffu
sion," a point of smaller
concentration
should
be
termed a "negative" pole. Now,
poles
of
different
kinds (Fig. 5) will attract
each other in exactly the
same
manner
as
electric
or magnetic poles of op
posite
signs,
the
general
phenomena of motion be·
ing precisely the same in
the two cases. drops phenomena of growth SImilar, on a small scale,
o those obtained later with solid "seeds:"
When a
olution of cane sugar containing a trace of potassium
errocyanide is dropped into a dilute solution of cop
per sulphate the drop of syrup becomes covered with
a pellicle of copper ferrocyanide, forming an artificial
ell. As the running boys pass the bell there is a distinct drop in pitch As the running boys pass the bell there is a distinct drop in pitch The school bell and good legs are all that
are needed for this experiment. Students who make
it find it easier, as a rule, to understand the relation
between pitch, wave length, and the number of vibra
tions. . Where elementary astronomy is taught, the
same experiment may prove to be a helpful as well as
a healthful diversion during the study of a rather
abstruse chapter-the application of the spectroscope
to the determination of the radial motion of stars. -long stem like upward and rootlike downward exten
sions.' "'Soon afterward the cell begins to grow exclusively
at the top, so that it passes from a rounded to an
elongated form. If the vessel is tipped the extremity
continues to grow vertically.' It should be observed that the Leduc _ phenomena
were first observed by Traube in 1867 (Archiv. f. An
atomie u. wissenschaftliche Medizin, 1867, p. 67), who
produced them. Such artificial cells have long been
known as Traube cells. Traube also produced them by
means pf tannin and lead acetate, water glass and· lead
acetate, gelatine and tannin, and the like. In repeating
Leduc's experiments Prof. Hans Molisch found that the
acetate and the chloride of copper produce better re
sults than the sulphate. The sugar, salt, and gelatine
serve to increase the growth and ramification, but it
should be pointed out that Reinke described branched
and tree-like artificial growths more than twenty years
ago.*
If crystals of copper sulphate are thrown into a
solution of water glass they become enveloped - in light
blue pellicles of copper silicate and these silicate cells
develop
into tree-like forms
if
sufficient
water glass' is present. "'When the pellicle is ruptured the escaping solu
tion soon becomes inclosed in a membrane of precipi
tate resembling a graft, excrescence, or branch of the
cell.' Select the swiftest runner of the school. Give him a
bell, and place him on level ground at some hundred
feet from the rest of the class. At a signal, the stu
dents run as fast as they can toward the bell bearer,
while he-himself runs toward the students, without
ceasing for a moment to ring his bell. As the running boys pass the bell there is a distinct drop in pitch So Jong as some
distance remains between the students and the bell,
nothing abnormal seems to occur, although the stu
dents, without being aware of it, perceive a sound of a
somewhat higher pitch than that which strikes the ear
of the bell bearer. But at the precise moment when
the. runners pass the bell, and instead of running to
ward it begin to run away from it, there is an instan
taneous and very distinct dropping of the pitch of the
sound, which remains graver as long as the
distance increases between the runners and
the man who rings the bell. "Traube's forty-eight series of experiments made in
1865-7, and his later researches, published in 1875, in
clude Leduc's results and many others. And these ex
periments. have been varied almost ad infinitum by
others. I
need
mention
only
Pfeffer's
arborescent
forms.t "The conclusion to be drawn from all these experi
ments is that the form obtained depends on the me
dium and, to some degree, on the shape of the vessel. "I have also obtained the Leduc forms by following
Traube's general directions. The vaI:ious salts were
thrown into a 5 per cent solution of potassium ferro- SPECIAL CAMERA FOR COPYING AND ENLARGING. Even
Leduc's
discovery
that
artificial
cells, like natural cells, are affected by vari
ous influences was anticipated by Traube,
who described the effects of light and gravi-
tation and the variations in form and rapid
ity of growth produced by adding grape
sugar, salt, etc. In Molisch's opinion Le
duc's experiments mark no advance beyond
the results obtained by Traube in 1867. His
artificial cells teach nothing new and they
are no more like living organisms than a
paper flower is like a real flower or a wax
doll is J..ike a living child. While the hearers are running toward the
source of vibrations, they meet, in a given
time, a greater number of these than if both
the bell and the boys had remained in the
same place. When the bell bearer and the
stUdents ran away from each other, the hear
ers go in the same direction as the vibra
tions, and the reverse phenomenon occurs
the number of vibrations which reach the
ear in every second is smaller than it would
have been had all the participants remained
on the spot. * Prof. D'Arsonval, who presented Leduc's note, has recently (January
21, 1907) presented a communication from Charrin and Goupil describing
experiments which prove that no phenomenon analogous to nntrition
occnrs in the prodnction of these arborescent growths. * Reinke, Botanische Zeitung, 1875, p. 432. MARCH 16, 1907. In this way many varieties
can be produced, including cells with dark' or light
!luclei, with or without nucleoli, and cells of homo
geneous protoplasm without nuclei, like the cells of All living organisms are made up of solutions of
cI'ystalline substances and colloids;
when their con·
centration increases, the molecular force of crystalliza
tion is manifested. Each center of crystallization sur
rounds itself with a field of force (Fig. 8) that in some
cases is rather intricate, and whenever,
besides the Prof. Leduc also produced in these experiments with Scientific America.n MARCH 16, 1907. MARCH 16, 1907. problem as of the same order with the preceding.'
In
his communication of last week M. Leduc asserts that
his note of July 24, 1905, began with a mention of
Traube's work. Here is the mention: 'We have an
artificial cell similar to Traube's but differing from it
in possessing the power, not only of expansion and
enlargement, but also of emitting prolongations ana
logous to roots and stems, which grow visibly and
slowly.'
This sentence demonstrates Leduc's ignorance
of Traube's writings,* from which I quote as follows:
"'Forms which sometimes resemble a rhizoma with forces of crystallization, other forces, differences in
osmotic
(diffusion)
pressure, are present, forms are
obtained which in their outward appearance resemble
certain inferior arganisms. As the solid tissues of
organisms are produced by solidification from the so
lutions above referred to, their shape and structure
necessarily are influenced by the force of crystalliza
tion (Fig. 9). cited above show that all of Leduc's results were ob
tained before him. "Our colleague, M. Gerner, has produced growths
which could be preserved in paper like dried plants and
which were mistaken for seaweeds by amateur botan
ists. Some of these arborescent forms have long been
exhibited
in
apothecaries'
windows,
especially
at
Nancy. When drops of a solution are introduced into the
same solution at different concentration, these drops
at first spread out in all directions; owing, however,
to the effect of molecular attraction (or co-
hesion)
there soon takes place a granular
segmentation of the liquid
(Fig. 10). In
fact, as this cohesion between the various
molecules is different, those between which
the attraction is greatest will combine into
spherical grains as soon as the. force of at
traction exceeds the force of diffusion, while
the other molecules fill the intervals between
the grains. In this way the phenomena of
segmentation observed in germinating eggs,
which had previously seemed so puzzling,
are not only accounted for but can be read
ily imitated by an artificial process. "It is difficult to see what new fact is brought out
by Leduc's experiments. I am not now speaking of
the curious experiments in which he reproduced the
structure of organized tissues-that is a dif
ferent question. A.N EXPERIMENT IN ACOU<TICS. * Moritz Traube, Centralblatt fUr medizinische Wissenschafl, 1865.
Archiv. fUr Anat., Phys.
und wissenschaltliche Medizin, 1867, p. 87.
Botanische Zeitnng, 1875, p. 56. t Pfeffer, Osmotische U ntersuchnngen, 1877, p. 11. Botanisches Institnt,
TUbingen, 1886, vol. ii., p.30. * Moritz Traube, Centralblatt fUr medizinische Wissenschafl, 1865.
Archiv. fUr Anat., Phys.
und wissenschaltliche Medizin, 1867, p. 87.
Botanische Zeitnng, 1875, p. 56.
t Pfeffer, Osmotische U ntersuchnngen, 1877, p. 11. Botanisches Institnt,
TUbingen, 1886, vol. ii., p.30. Scientific America.n shresisin "In his notes to the Academy, Leduc as
serts that his pretended artificial plants give
evidence of
cellular structure, circulating
system,
thermotropism,
osmotropism,
and
nutrition. "It is well known that the forces which
act in
living
beings
are
simply
physico
chemical forces. Traube and others have
studied the effect of these forces on semi
permeable membranes and Leduc has added
nothing to their results. As for cellular
structure and circulatory system nothing of
the sort is to be found in these tubular pre
cipitates. * From Lehmann's researches on apparently
living crystals it is inferred that certain
crystallized structures show a behavior quite
analogous
to
inferior
organisms,
moving,
growing,
feeding,
and
propagating
them
selves like the latter. The investigations by
Prof. Leduc which have been described above,
on the other hand, prove that the funda
mental
element
of
animal
and
vegetable
organisms, viz., the cell̗ is exclusively con-
trolled in its vital functions by the same
physical laws that govern tj:le forms of the
mineral kingdom. From bo-th sides there is thus being
constructed a bridge between the province of inert
matter and that of living matter, and in t11e place of
the strict barriers previously supposed, we are war
ranted in presuming the existence o{ a multitude of
gradual transitions and intermediary stages. "It has been maintained that Leduc has
made no claim to the creation of life by
spontaneaus generation, but this assertion is
contradicted by his own words, quoted above. f "The net result of the whole affair is sim
ply nil." A.N EXPERIMENT IN ACOU<TICS. As the running boys pass the bell there is a distinct drop in pitch As the pitch of a sound de
pends upon the number of its vibrations per
second, that of the bell will drop at the very
moment when the distance between bell and
hearers ceases to decrease and begins to
increase. Prof. Gaston Bonnier, of the Academie
des Sciences and the University of Paris,
entertains very skeptical views of the bio
logical value of Leduc's experiments. These
views he has voiced as follows in La Sci
ence au. XXme Siecle: If the man who rings the bell can be pro
vided with a bicycle, the fall in the pitch
of the sound is of course still more pro
nounced. "I pointed out to the Ac<,demy, in the
meeting of December 24, 1906, that these
tubular precipitates had long been known
and
possessed no organization comparable
with that of living things. I also repeated
before the Academy, some interesting vari
ations
of these
amusing
experiments
de·
vised by one of my pupils-a minor. In
I,a Revue of January, 1907, I showed that
this alleged discovery was only a repetition
('f Traube's classical experiments. AN EXPERIMENT IN ACOUSTICS.
BY GUSTAVE MICHAUD. As the running boys pass the bell there is a distinct drop in pitch .
SPECIAL CAMERA FOR COPYING AND
ENLARGING. The camera illustrated here is one that
was designed and built for the United States
Geological Survey for photographing fossils
or other similar objects. In photographing
fossils th̘ Survey uses a process known as the W'il
liams process. This method was worked out by Prof. Henry S. Williams and Norman W. Carkhuff, and con
sists in an elimination of the color of the tossil by a
process of sublimation. SPECIAL CAMERA FOR COPYING AND ENLARGING. j
p
g
p
g
fossils th̘ Survey uses a process known as the W'il
liams process. This method was worked out by Prof. Henry S. Williams and Norman W. Carkhuff, and con
sists in an elimination of the color of the tossil by a
process of sublimation. cyanide or a 10 per cent solution of sodium or potas
sium silicate. The production of these precipitates is
a common lecture experiment. Leduc asserts that all
forms obtained by earlier experiments were stunted,
unstable, and shapeless but that his culture liquids pro
duce large, stable growths with sharply differentiated
roots, stems, and apical organs. But the descriptions "At the meeting of January 7, 1907, Prof. Leduc
made a rejoinder to which I replied on January 14, as
follows: "In a lecture just published M. Leduc expresses his
amazement that Pasteur's researches have for thirty
years silenced the discussion of spontaneous genera
tion, and the brochure ends with the words:
'To com
plete the synthesis of life only one function remains
to be realized-successive reproduction. I regard this Fossils cannot be photographed for scientific pur
poses in a haphazard manner. There are certain char
acteristics that must always be orientated in r ̙latively
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Modified Collector: New Approaches
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Modified Collector: New Approaches Institute of Metallurgy and Ore Beneficiation JSC., Almaty., Kazakhstan How to cite this article:
Ainur Aitkazynovna Mukhanova, (2020), “Modified Collector:
New Approaches” in IV Congress “Fundamental
research and applied developing of recycling and utilization processes of technogenic formations”, KnE Materials Science, pages 120–123.
DOI 10.18502/kms.v6i1.8055
Page 120 ping of recycling and utilization processes of technogenic formations”, KnE Materials Science, pages 120–123. Page 120 inur Aitkazynovna Mukhanova, (2020), “Modified Collector:
New Approaches” in IV Congress “Fundamental
P
120 KnE Materials Science
TECHNOGEN-2019
IV Congress “Fundamental research and applied developing of
recycling and utilization processes of technogenic formations”
Volume 2020 KnE Materials Science
TECHNOGEN-2019
IV Congress “Fundamental research and applied developing of
recycling and utilization processes of technogenic formations”
Volume 2020 Conference Paper Conference Paper Conference Paper Modified Collector: New Approaches
Ainur Aitkazynovna Mukhanova
Institute of Metallurgy and Ore Beneficiation JSC., Almaty., Kazakhstan Abstract The process of complex raw materials is currently characterized by the fine-dispersed
mineralogical structure and difficult structural characteristics complicating the flotation
process. In this study, the processing methods for flotation of Aktogay deposits of
copper-molybdenum ore were performed by using basic and modified agents. The
properties of modified collector based on Kumkol deposit and diesel fuel were studied
using the standard methods. The testing technology included the grinding of initial
ore to a particle size of 65% of the class -0.074 mm, collective flotation to produce
coarse copper-molybdenum concentrate, desorption, regrinding of the collective
copper-molybdenum concentrate to 95% of the class -0.074 mm, selection of the
collective concentrate. It was established that this application increased the extraction
of copper/molybdenum concentrate by 3.8 % without loss of concentrate quality. This technology is applicable to mining and beneficiation enterprises processing
molybdenum ores. Corresponding Author:
Ainur Aitkazynovna Мukhanova
ainura-muhanova@mail.ru
Published: 31 December 2020 Corresponding Author:
Ainur Aitkazynovna Мukhanova
ainura-muhanova@mail.ru Keywords: copper, molybdenum concentrate, modified agent. Publishing services provided by
Knowledge E Ainur Aitkazynovna
Мukhanova. This article is
distributed under the terms of
the Creative Commons
Attribution License, which
permits unrestricted use and
redistribution provided that the
original author and source are
credited. The economy of Kazakhstan is based on the mining and metallurgical complex, which
plays an important, and in a number of sectors, strategic role not only in Kazakhstan,
but also in the world. In the technology for producing non-ferrous metals, the primary
operation determining the degree of their extraction is flotation beneficiation. The
flotation reagents used in the technological cycle are foreign origin, which results to
the import dependence. Therefore the development of methods for producing of new
flotation reagents based on domestic raw materials is an urgent task, which is intensified
in light of the decrease in stocks of relevant raw materials. Selection and Peer-review under
the responsibility of the
TECHNOGEN-2019 Conference
Committee. In recent years interest in heteroorganic compounds of oil has grown substantially in
terms of their use in the flotation of polymetallic ores [1–3]. Emulsified apolar reagents are especially useful for flotation of slimy minerals. New
and effective methods with mechanical and especially ultrasonic emulsification can
provide the preparation of stable emulsions having finely dispersed, uniform in parti-
cle size distribution. Their usage during flotation as collectors allows to reduce their
consumption to a minimum. However oil application to the flotation process as apolar
collectors increases the cost of the beneficiation process. In this regard it is necessary KnE Materials Science TECHNOGEN-2019 to find more cheap organic compounds, and their adding to oil would reduce its
consumption without compromising the quality of the flotation properties of the final
composition. In preliminary studies we showed that such cheap organic compounds
can be heating oil and diesel fuel. Kumkol oils are light, low-sulfur, low-paraffin, and light-curing ores. According to
Infared measurement spectra it was found that normal and isostructure paraffin struc-
tures prevail in the studied samples. The presence of naphthenic and aromatic struc-
tures is detected. These compounds are contained in significantly smaller quantities
than paraffin. There is no carbonyl group, oil is not oxidized [4, 5]. The oil of the Kumkol deposit contains (sulfur compounds), natural emulsifiers and
affecting the stability of emulsions obtained for flotation beneficiation. Publishing services provided by
Knowledge E According to the data of physical and chemical studies the heating oil contains mainly
aliphatic hydrocarbons, and aromatics in a much smaller amount whereas aromatic
compounds predominate in diesel fuel as compared to heating oil. For further research diesel fuel and oil of the Kumkol deposit were selected and
mixtures were prepared on their basis to obtain the flotation reagents (see table below). Emulsions of apolar reagents were prepared as follows: 50 ml of water and 1 ml of
the initial reagent were poured into a cylinder with a stopper. Vigorously mixed on
an ultrasonic disperser ”USDN-A1200T” company ”NPP” Ukrrospribor ”. It has been
previously established that the optimal exposure time for ultrasound is 6 minutes. Immediately after receiving the emulsion, it was poured from a glass into a test tube
to determine the time of separation into two phases. The experimental results are
presented in table 1. ABLE 1: The experimental results of determining the stability of the emulsion TABLE 1: The experimental results of determining the stability of the emulsion
№p/p Ratio of components
Stratification
time, day
1
Modified Reagent 1: 1 (oil + diesel fuel)
3
2
Modified Reagent 1: 2 (oil + diesel fuel)
1
3
Modified Reagent 2: 1 (oil + diesel fuel)
6 TABLE 1: The experimental results of determining the stability of the emulsion
№p/p Ratio of components
Stratification
time, day
1
Modified Reagent 1: 1 (oil + diesel fuel)
3
2
Modified Reagent 1: 2 (oil + diesel fuel)
1
3
Modified Reagent 2: 1 (oil + diesel fuel)
6 From the data obtained it is clear that the longest time for separation of the mixture
is observed for emulsion No. 3, consisting of one part of diesel fuel and 2 parts of oil,
i.e. this emulsion is the most stable. However, from the point of view of production, this
period is quite long, mixture No. 1 is more acceptable. The mixture No. 2 is least stable. The surface tension of emulsions based on a mixture of oil from the Kumkol deposit
and diesel at different pH values was determined by the Wilhelmy method [5]. Publishing services provided by
Knowledge E From
the data obtained (see table below) it is evident that the surface tension of emulsions DOI 10.18502/kms.v6i1.8055 Page 121 KnE Materials Science TECHNOGEN-2019 TABLE 2: Surface tension value №
p/p
pH value
Concentration
of emulsions, C
%
The ratio of the mixture of oil and diesel fuel, 𝜎, mN / m
1:1
1:2
2:1
1
рН – 6,0
0,5
1,0
1,5
56
68
67
51
63,5
63,5
48
60
65
2
рН – 8,0
0,5
1,0
1,5
55
69
70
52
66
63
42
58
62
3
рН – 10,0
0,5
1,0
1,5
54
68
69
58
66
68
48
63
67 The ratio of the mixture of oil and diesel fuel, 𝜎, mN / m TABLE 3: Closed cycle copper-molybdenum ore flotation results TABLE 3: Closed cycle copper-molybdenum ore flotation results
Product Name
Output, %
Content%
Extraction%
Note
Mo
Cu
Mo
Cu
Cu concentrate
0.23
0.6
20.0
5.53
63.25
Basic technology
(with kerosene) – 150
gram/tonna
Mo concentrate
0.056
35.0
5.0
78.50
3.85
Tails
99.714
0.004
0.024
15.97
32.90
Ore
100
0.025
0.073
100
100
Cu concentrate
0.22
0.53
21.0
4.96
63.23
Modified Reagent 1: 1
(oil + diesel fuel) –
125 gram/tonna
Mo concentrate
0.054
35.8
3.6
82.31
2.66
Tails
99.726
0.003
0.025
12.73
34.11
Ore
100
0.023
0.073
100
100 based on oil and diesel fuel, taken in a ratio of 2: 1, is lower compared to 1: 2 and 1:
1 at all pH values. With an increase in the concentration of modified flotation reagents
in the emulsion, the surface tension also increases, and with an increase in pH, on the
contrary, it decreases. The latter can be explained by the fact that the molecules of the
tested emulsions lose their activity due to the deterioration of their dissociation in an
alkaline medium. Thus the results of surface tension measurements showed that the emulsion with a
reagent ratio of 1: 1 and a concentration of 1% at a pH of 8.0 has the highest surface
activity at the “liquid – gas” interface. The enlarged laboratory tests of the technology for the selection of collective copper-
molybdenum concentrate using a modified reagent MF were carried out. Publishing services provided by
Knowledge E The testing
technology included the grinding of initial ore to a particle size of 65% of the class
-0.074 mm, collective flotation to produce coarse copper-molybdenum concentrate, DOI 10.18502/kms.v6i1.8055 Page 122 KnE Materials Science TECHNOGEN-2019 desorption, regrinding of the collective copper-molybdenum concentrate to 95% of the
class -0.074 mm, selection of the collective concentrate. The results of flotation in a
closed cycle in comparison with the basic technology are presented in table 3. Due to the process of processing copper-molybdenum ore using a modified reagent,
a copper concentrate with a copper content of 21.0 % was obtained when extracting
63.2 % and a molybdenum concentrate with a molybdenum content of 35.8 % was
extraction 82.3 %. Thus the use of a modified reagent allows to increase the extraction of molybdenum
in molybdenum concentrate by 3.8% without loss of concentrate quality. References [1] Crozier, R. D. (1984). Plant reagents. Mining Mag., vol. 151, issue 3, pp. 202-223. [2] Cousin, Z. P. (1999). Intensification of Flotation of Lead-Zinc Ores using Heteroorganic
Compounds of Oil as an Additional Collector. (PhD dissertation, Krasnoyarsk, 1999). [3] Berkova, O. N., Levkovskaya, G. G. and Mirskova, A. N. (1997). Effective Reagents for
Collective Flotation of Copper-Molybdenum Ores. Journal of Mining Science, vol. 33, issue 3, рр. 265-268. Retrieved from https://link.springer.com/. [4] Karnaukhov, S. N., Dancer, S. S. and Vilkova, N. V. (2011). Molybdenum-Containing Ore
Processing Technology. Mining Journal, issue 8-9, рр. 55-61. Retrieved from www. rudmet.kz. [5] Tusupbaev, N. K., et al. (2012). Improving the Technology of Selection of Copper-
Molybdenum Concentrate using Modified Teagents. Complex of the mineral
processing, issue 3, pp.15-24. Retrirved from http://kims-imio.kz. [5] Tusupbaev, N. K., et al. (2012). Improving the Technology of Selection of Copper-
Molybdenum Concentrate using Modified Teagents. Complex of the mineral
processing, issue 3, pp.15-24. Retrirved from http://kims-imio.kz. DOI 10.18502/kms.v6i1.8055 Page 123 Page 123
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Supporting and measuring current and future educators' preparedness to facilitate wellbeing of displaced children in schools
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Frontiers in education
| 2,023
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cc-by
| 9,311
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TYPE Original Research
PUBLISHED 02 June 2023
DOI 10.3389/feduc.2023.1165746 TYPE Original Research
PUBLISHED 02 June 2023
DOI 10.3389/feduc.2023.1165746 COPYRIGHT COPYRIGHT
© 2023 Sklad. This is an open-access article
distributed under the terms of the Creative
Commons Attribution License (CC BY). The use,
distribution or reproduction in other forums is
permitted, provided the original author(s) and
the copyright owner(s) are credited and that
the original publication in this journal is cited, in
accordance with accepted academic practice. No use, distribution or reproduction is
permitted which does not comply with these
terms. Results: The study examined the factorability, reliability, and validity of the NTSE
scale and showed that the scale is reliable (a = 0.97) and has good convergent
and criterion validity. The results also demonstrated that participation in a study
module for newcomer educators corresponded with an increase in partakers’
NTSE scores, and the extent of the module was related to the degree of increase. Discussion: The proposed scale performed well in the context where it was tested,
but further international research is needed to determine its generalizability to
diferent countries and time frames. refugees and asylum seekers, self-efcacy (SE), measurement scale development,
competence, wellbeing, pupils, immigrant children refugees and asylum seekers, self-efcacy (SE), measurement scale development,
competence, wellbeing, pupils, immigrant children OPEN ACCESS OPEN ACCESS
EDITED BY
Nicole Jacqueline Albrecht,
Flinders University, Australia
REVIEWED BY
Alberto Crescentini,
University of Applied Sciences and Arts of
Southern Switzerland, Switzerland
Carolyn Gentle-Genitty,
Indiana University Bloomington, United States
*CORRESPONDENCE
Marcin Sklad
m.sklad@ucr.nl
RECEIVED 14 February 2023
ACCEPTED 27 April 2023
PUBLISHED 02 June 2023
CITATION
Sklad M (2023) Supporting and measuring
current and future educators’ preparedness to
facilitate wellbeing of displaced children in
schools. Front. Educ. 8:1165746. doi: 10.3389/feduc.2023.1165746 EDITED BY
Nicole Jacqueline Albrecht,
Flinders University, Australia REVIEWED BY
Alberto Crescentini,
University of Applied Sciences and Arts of
Southern Switzerland, Switzerland
Carolyn Gentle-Genitty,
Indiana University Bloomington, United States Marcin Sklad* Department of Social Science, University College Roosevelt, Utrecht University, Middelburg, Netherlands Introduction: Immigrant and refugee children face multiple challenges in
accessing education. To help facilitate the educational success and wellbeing of
these children, teachers need to have self-efcacy in creating a supportive learning
environment for them. Methods:
Based on a set of highly interconnected competences identified
through a literature review and empirical research, the study developed a
measurement instrument to assess teachers’ generalized perceived self-efcacy
in the domain of working with refugee children: the Newcomer’s Teacher’s Self-
Efcacy (NTSE) scale. The scale was tested for validity and internal consistency
with 154 practicing and prospective teachers enrolled at three diferent teacher
education institutions in Belgium and the Netherlands, 42 of whom also underwent
newcomer education courses. frontiersin.org 1. Introduction Therefore, in addition to systemic institutional
solutions, teachers in the field should be able and willing to
overcome challenges and create new environments facilitating the
educational success of newcomer children. Teachers’ persistence
and teaching performance, as well as their students’ outcomes, were
demonstrated in multiple studies to be related to teachers’ self-
efficacy (Caprara et al., 2006; Klassen and Tze, 2014; Kim and Seo,
2018). Teachers in the field, however, often do not feel qualified to
meet the needs of immigrant children in their classroom (Evans
et al., 2022), as demonstrated by qualitative studies sampling the
experiences of in-service and pre-service teachers of refugees in
preferred destination Western countries such as the USA, Canada,
Sweden, and Croatia. School staffoften feel that they lack the
skills for working with refugee children (Levi, 2019; Vrdoljak et al.,
2022); feel not prepared to address the emotional stress experienced
by refugee children (Szente et al., 2006); are unable to teach
children who have limited command of the host country’s language
(Siwatu, 2007; Svensson, 2019); and are afraid that they may say
something to their refugee students that might lead to cultural
misunderstandings or trigger traumatic memories (McBrien, 2005). Perceived lack of knowledge and self-efficacy in the domain of
working with refugees can generate avoidance of refugee students
by their teachers, as demonstrated in some studies (Roxas, 2011). Engaging with refugee children requires that teachers believe they
have the necessary capacities that are crucial for it. Teachers
who lack a sense of mastery in these capacities can distance
themselves and avoid refugee students. The belief people have
concerning their capability to set a course of action and complete
a task within a situation has been described as self-efficacy
(Bandura, 1986, 1997). According to those theories, self-efficacy The current article aimed to offer a measurement instrument
for self-efficacy beliefs in the realm of teaching displaced children,
in particular, refugees. Instruments focused on actual competences
such as knowledge, skills, and attitudes do not take into
consideration perceived self-efficacy (Caprara et al., 2009), while
perceptions of efficacy are critical determinants of how people
behave (Bandura, 1997). Teachers’ self-efficacy is said to be specific
to the particular settings, subjects, and students (Goddard et al.,
2000). Therefore, there is a need to measure the self-efficacy
of teachers in the domain of teaching displaced children as a
separate construct from a general teacher’s self-efficacy. 1. Introduction In 2021, 36.5 million children were displaced from their homes (UN News, 2022). In
recent years, the EU recorded between 120,000 and 350,000 children as first-time asylum
applicants per year (Eurostat, 2022). This year, the number is expected to grow substantially
due to the war in Ukraine. As stipulated in the United Nations Convention on the Rights
of the Child (UNICEF, 1989), access to education is a right of all children, including refugee
children. Moreover, the education of displaced children can provide the knowledge and skills
to rebuild their lives and give them a chance for a prosperous, peaceful future (Dooley, 2017). In general, 8% of the children in the EU are non-nationals (Eurostat, 2021) and the
situation of these migrant children depends, to a large degree, on the school policy and
the teachers with whom they interact. Immigrant children and refugee children among
them tend to lag behind their native peers in educational attainment. For instance, in the
EU, 38% of non-EU-born individuals over 25 years old did not exceed lower secondary
education, in comparison to 28% of the native-born population and 20% of the EU-born Frontiers in Education 01 frontiersin.org 10.3389/feduc.2023.1165746 10.3389/feduc.2023.1165746 Sklad influences the belief that one can succeed at a task and meet
expectations. Someone’s self-efficacy belief, therefore, affects their
motivation, the effort put into the task, the choices made when
completing the task, their persistence in the face of difficulties
(Bandura, 1977, 1997), and eventually their performance (Peeler
and Jane, 2005). Empirical studies confirm the influence of self-
efficacy on motivation and effort in numerous areas, academic
performance being one (Caprara et al., 2011). Self-efficacy is also
an excellent predictor of individual behavior (Goddard et al.,
2000). In the context of education, teachers’ self-efficacy concerns
their belief about possessing the capacity to bring about the
desired outcomes of student engagement and learning (Bandura,
1977). Following the theory of self-efficacy, teachers possessing
self-efficacy in the relevant domain are expected to put more
effort into their teaching, persevere despite difficulties, and employ
effective strategies (Tschannen-Moran and Hoy, 2007). Studies have
also confirmed that teachers’ self-efficacy not only affects their
behavior but also indirectly impacts their students’ performance
(e.g., Knoblauch and Hoy, 2008). population (Eurostat, 2023). In the Netherlands, for instance,
newcomer students are three times more likely to be directed to
lower forms of secondary education than other primary school
graduates (Dutch Inspectorate of Education, 2020). 1. Introduction Studies
demonstrated the potential predictive relevance of such specific
measures in related domains; for instance, self-efficacy in the area
of teaching children with limited host country language command
is related to positive attitudes toward such students (Karabenick
and Clemens Noda, 2004). An international study carried out in
England, Italy, the Netherlands, and Poland showed that teachers’
diversity-related self-efficacy was related to intercultural classroom
practices employed by participating teachers (Romijn et al., 2020). Since teachers’ self-efficacy in the specific domain of teaching
displaced children can affect their ability to meet the needs of
refugee students, it is important to establish what are the essential
competences constituting it. 1. Introduction Immigrant
children who have good cognitive capacity but do not possess a
good command of the host country’s language can be directed to
the lowest forms of vocational education, aimed at pupils with
learning difficulties. This disadvantage further extends to their
position in the job market, with non-EU-born migrants aged
between 15 and 29 being two times more likely to be neither
in employment nor in education, compared to the native-born
population (Eurostat, 2023). First-generation immigrant students
in the EU also experience lower life satisfaction and a sense of
belonging at the school than their native counterparts (Cerna et al.,
2021). influences the belief that one can succeed at a task and meet
expectations. Someone’s self-efficacy belief, therefore, affects their
motivation, the effort put into the task, the choices made when
completing the task, their persistence in the face of difficulties
(Bandura, 1977, 1997), and eventually their performance (Peeler
and Jane, 2005). Empirical studies confirm the influence of self-
efficacy on motivation and effort in numerous areas, academic
performance being one (Caprara et al., 2011). Self-efficacy is also
an excellent predictor of individual behavior (Goddard et al.,
2000). In the context of education, teachers’ self-efficacy concerns
their belief about possessing the capacity to bring about the
desired outcomes of student engagement and learning (Bandura,
1977). Following the theory of self-efficacy, teachers possessing
self-efficacy in the relevant domain are expected to put more
effort into their teaching, persevere despite difficulties, and employ
effective strategies (Tschannen-Moran and Hoy, 2007). Studies have
also confirmed that teachers’ self-efficacy not only affects their
behavior but also indirectly impacts their students’ performance
(e.g., Knoblauch and Hoy, 2008). There are particular barriers faced by refugee children that
need to be taken into consideration to improve their educational
prospects, e.g., language difficulties, personal trauma, and cultural
differences (Crul et al., 2016). To facilitate refugee children reaching
their full potential and wellbeing, education institutions must be
prepared to meet their needs (Pinson and Arnot, 2007). The
situation of the migrant children depends, to a large degree,
on institutional arrangements and school policy. However, the
teachers also play an essential role, as they interpret and implement
mandated policies (Hos and Kaplan-Wolff, 2020), and they directly
influence the development of a child as well as the school climate
and practices. Frontiers in Education frontiersin.org 2.1. Language barrier There is often a language barrier between newcomer students
and their teachers (Szente et al., 2006; Crul et al., 2016). Some
students do not have sufficient command of the host country’s
language due to an insufficient number of hours dedicated to
language learning (Vrdoljak et al., 2022). This requires teachers
to (a) support efficient acquisition of the new language (Walker-
Dalhouse et al., 2009) and (b) teach subject matters to students
with limited language fluency. On the most fundamental level, to
teach effectively, teachers have to assure that students understand
what they convey and what is expected (Petersen, 2017; Vrdoljak
et al., 2022), but teachers also need to understand students
(Gözpinar, 2019). For effective communication with students with
limited fluency in the host country’s language, teachers need
communicative competence in the context of a multilingual setting
(Peko et al., 2010; Gözpinar, 2019). This may include non-verbal
communicative competence, active listening, the ability to interpret
feedback from students to confirm their understanding (Alptekin,
2002), knowledge of the languages of the countries of origin of
students (Peko et al., 2010), and the capacity to use translators and
translation tools in the class (Gözpinar, 2019). 2.3. Situational factors afecting these
students Another barrier shared by displaced children and other
students with a migration background is their current and previous
objective situation, though its gravity might be heavier for refugees
than for other migrants. Refugees have a different education history
compared to regular students (Stevenson and Willott, 2007), often
involving interruptions in schooling (d’Abreu et al., 2019) which
can even extend to minimal experience with formal schooling
(Kirova, 2001). The discrepancy in educational history creates gaps
in knowledge among refugee students in comparison to what is
assumed (Vrdoljak et al., 2022). In addition to their past situation,
a refugee’s present situation should be taken into consideration
as well. For instance, refugees often have unstable living and
family situations (Stevenson and Willott, 2007), accompanied by
uncertainty regarding how long they can stay in their current place
as well as a lack of financial resources and support (Lucas, 1997). 2. Challenges for newcomer students
and teachers’ competences Perceived lack of knowledge and self-efficacy in the domain of
working with refugees can generate avoidance of refugee students
by their teachers, as demonstrated in some studies (Roxas, 2011). Engaging with refugee children requires that teachers believe they
have the necessary capacities that are crucial for it. Teachers
who lack a sense of mastery in these capacities can distance
themselves and avoid refugee students. The belief people have
concerning their capability to set a course of action and complete
a task within a situation has been described as self-efficacy
(Bandura, 1986, 1997). According to those theories, self-efficacy
is an important determinant of an individual’s behavior, as it Refugee students face distinctive sets of educational, linguistic,
and social challenges and the need to successfully integrate
(McBrien, 2005; Vrdoljak et al., 2022). Therefore, a particular
set of competences is required by teachers to support displaced
children, determined by these needs and barriers faced by displaced
children. These challenges may include limited command of the
host country’s language, personal trauma, and cultural differences
(Crul et al., 2016). A literature review revealed five partially
overlapping domains of challenges requiring teachers of displaced
students to have the competence to adequately respond: (a) Frontiers in Education 02 frontiersin.org Sklad Sklad 10.3389/feduc.2023.1165746 10.3389/feduc.2023.1165746 language barrier, (b) cultural barriers, (c) situational factors
affecting students, (d) barriers to parental involvement, and (e)
socio-emotional vulnerability. Teachers possessing appropriate intercultural competence
can take cultural diversity in their classroom into account,
and accordingly adjust and adapt their classroom management,
teaching materials, or instructions (Milner, 2011; Kopish, 2016;
Gözpinar, 2019) to take into account individual differences between
children’s learning and communication styles, as affected by their
cultural background (Kopish, 2016; Petersen, 2017). They also can
fine-tune assessment so it is appropriate and fair for all students,
irrespective of their cultural background (Szente et al., 2006;
Petersen, 2017). 2.2. Cultural barrier Teachers have often little awareness of the nature of their
refugee students’ backgrounds (Goodwin, 2002) and might not
know about the experiences of refugees in their classrooms or are
even unaware that they have refugee students (McBrien, 2005). Authors argue that there is a critical need for teachers to better
understand the lives of their refugee students (Roxas, 2010) and that
such understanding should make them more committed to assist
refugee students (Strekalova and Hoot, 2008). This can also further
help to foster a postulated individualized approach to education
that takes into account the different needs and experiences of every
child (Hek, 2005; Kanu, 2008; Roxas, 2010). In addition to the language barrier, refugees, and many other
immigrants share the challenge of adapting to a new culture. Researchers have suggested that teachers’ abilities to recognize and
respect cultural differences are important for the academic success
of refugee students (McBrien, 2005), as cultural competence is
necessary to understand diverse students in the classroom and
identify their needs (Milner, 2011), and that culturally responsive
teaching strategies can support refugee learning (Strekalova and
Hoot, 2008; Leeman and van Koeven, 2019; Bennouna et al., 2021). Some scholars postulate that knowing students’ cultural
backgrounds
might
be
a
necessary
condition
to
respond
successfully to diverse learners (Kanu, 2008) as it allows
teachers to adapt their instructional practices accordingly, as
well as understand students’ perspectives and communication
styles, respond more appropriately, and avoid misunderstandings
(Milner, 2011). Successful teachers can also potentially bring
intercultural understanding across to help students to establish
positive relationships with each other (Milner, 2011; Walsh
and Townsin, 2015). This competency also involves not only
knowledge of the students but also awareness of the teacher’s
cultural assumptions and biases. As the content of specific cultural
knowledge needed varies between students, universal competence
of a critical and open-minded attitude can be of great relevance for
an overall teacher’s competence to work in classrooms with diverse
students, including refugees (Milner, 2011; Roxas, 2011; Kopish,
2016). frontiersin.org 3. Teacher self-efcacy Displacement and past traumatic experiences (McBrien, 2005;
Roxas, 2011) can affect refugee children’s school performance
and psychosocial wellbeing, as these students may continue to
suffer from mental health consequences of prior adverse life
events (Bennouna et al., 2020; Stark et al., 2021) and experience
anxiety, depression, and a sense of isolation (Ukasoanya, 2014;
Asad and Kay, 2015; d’Abreu et al., 2019). Students who have
experienced such events may also find it hard to build relationships
(Crul et al., 2016) and may feel insecure (Roxas, 2011). Positive
relationships with teachers and peers can provide social support
and make it easier to obtain assistance with learning tasks. Therefore, difficulties in building such positive relations can also
worsen school performance (Szente et al., 2006). Pre-existing
psychological issues may be further exacerbated by acculturative
stress, experiences of being discriminated against by the host
community, and conflicting demands of cultural norms (Castro-
Olivo and Merrell, 2012). Although
presented
here
as
separate
categories,
these
competences are highly interconnected and overlap to a large
degree. Moreover, their specific content is highly dependent on
the particular context. Refugee students are not a homogenous
group and differ fundamentally in terms of their specific needs
(Hek, 2005). Groups of refugees with divergent backgrounds will
face different barriers, as each individual has their unique history
and situation. In addition, the institutional context may place very
different demands on the teachers of refugees, as the school system,
for instance, may provide different amounts of language support
and instruction, thus affecting expectations concerning teachers in
this regard. In this light, generalized competence and self-efficacy with
regard to being a teacher of refugee children may be of greater
relevance than specific skills. By necessity, formal assessment at
teacher preparation institutions is focused on specific knowledge,
skills, and capacities rather than on perceived self-efficacy and
a sense of control. However, these perceptions may be actual
determinants of how teachers behave in a classroom (Bandura,
1997). To be able to overcome any of these difficulties, teachers
should make sure that a classroom is a safe environment. In such
environments, students can express themselves and learn about the
new country (Gözpinar, 2019). Safe classrooms also foster positive
intergroup contact and prevent negative intergroup behaviors
(Vrdoljak et al., 2022). 2.4. Barriers to parental involvement The same set of conditions that affect students directly
(objective conditions, language, and cultural barriers) are also
affecting them indirectly, through their parents. These conditions
often limit parental involvement in their child’s education (Rah
et al., 2009; Gandarilla Ocampo et al., 2022). Newcomer parents
face challenges such as objective hardship (Vrdoljak et al., 2022),
lack of stable jobs, incomes, or housing, and limited mobility
and available time (Bennouna et al., 2021). Language and cultural
barriers can often prevent parents and teachers from understanding
each other (Trueba et al., 1990; Peko et al., 2010) or other parents
(Kopish, 2016), or even cause them to avoid each other (Gandarilla
Ocampo et al., 2022). In addition, newcomer parents lack an Frontiers in Education 03 frontiersin.org 10.3389/feduc.2023.1165746 Sklad pupils’ stories with compassion and react without avoidance, shock,
or aversion (Szente et al., 2006; Gözpinar, 2019). understanding of the intricacies of the host country’s educational
system (Gandarilla Ocampo et al., 2022; Vrdoljak et al., 2022). In summary, to successfully fulfill the educational needs of
refugee children, teachers need a set of intertwined competences:
(a)
competency
to
stimulate
and
foster
country
language
acquisition; (b) communication competence necessary not only
to understand and be understood but also to engage and build
relationships with students and their parents who may have limited
command of the host country language; (c) social–emotional
competences for the same reason and further to help emotionally
vulnerable students to cope and to create a safe learning
environment for them as well as foster their social–emotional
development; (d) cultural competency open-mindedness and
flexibility to be able to adapt teaching style, materials, and activities
and foster the aforementioned relationships; and (e) be able and
willing to learn about situational factors affecting their students
and take them into account. Parents and parental involvement are important factors
in immigrant students’ success (Portes and Rumbaut, 2001). Parents can help structure their children’s studies, but without
their support, children have to bear their responsibilities alone
(Denessen et al., 2010). It is possible to establish positive parent–
teacher relationships with newcomer parents for the benefit of
students’ educational growth (Bennouna et al., 2021). The same
communicative competences required for supporting students
(Peko et al., 2010; Kopish, 2016) can help school staffachieve such
a relationship with newcomer parents, possibly engaging a larger
newcomer community in the process as well (Bennouna et al.,
2021). Frontiers in Education frontiersin.org 3. Teacher self-efcacy To this end, teachers should be capable of
stimulating the formation of trusting relationships among students,
recognizing existing relationships between students, and being able
to moderate and stimulate these relationships (Zins and Elias,
2006). Teachers in the field often feel they are not qualified to meet
the needs of refugee children. There is a plethora of studies on
the education of migrants, but much fewer studies concerning
refugee students, despite their situation being more challenging
(McBrien, 2005; Bloch et al., 2015). Moreover, the research into
teachers’ competences in the context of refugee education mostly
consists of qualitative case studies (Dryden-Peterson, 2017). The
limited research into teacher self-efficacy in relation to working
specifically with refugee students usually focuses on one specific
competency, for instance, multicultural self-efficacy (Sleeter, 2001;
Guyton and Wesche, 2005). There is a need for research focusing
on the general self-efficacy of teachers in the domain of refugee
education. To support overcoming the deficiency in this area,
in this study, we propose a questionnaire instrument to assess
teachers’ generalized perceived self-efficacy in the domain of
working with refugee children, which should be suitable for In addition to assuring a positive classroom climate, refugees’
teachers may be expected to fulfill the roles of psychological
counselors, social workers, and life coaches for their students
(Kanu, 2008). Providing social and emotional support in schools
can be seen as a necessary condition for newcomer children
to realize their human right to education (Evans et al., 2022). These types of support require not only classroom communicative
and management skills but also an empathic attitude (Southern,
2007) and social–emotional skills related to social identity and
relationship building (Bennouna et al., 2021). To make students
feel safe and understood, teachers should be able to listen to their 04 frontiersin.org 10.3389/feduc.2023.1165746 Sklad TABLE 1 Newcomers’ teachers’ competences. The empirical results confirmed the indications from the
literature review and led to the formulation of nine concrete
competences using the Delphi method, involving eight Dutch
and Belgian experts responsible for setting up newcomers’ teacher
education modules. The competences were translated into learning
objectives (see Table 1) in setting up university courses and in
the creation of a self-efficacy measurement tool, the Newcomer’s
Teacher’s Self-Efficacy (NTSE) scale. 3. Teacher self-efcacy 1) Awareness of the current position of refugees and migrants in the educational
system of the host country, and understanding the importance of education for
the emancipation and social integration of refugees and migrants
2) Basic expertise as a teacher of a second language (of the host country) for
newcomers and ability to teach in a multilingual context
3) The ability to provide subject education in a diverse class adapted to the
educational needs of pupils, in a culturally sensitive manner
4) The ability to develop or adapt culturally sensitive lesson material/curriculum
5) An understanding of how to facilitate a safe educational environment for
displaced young people (newcomers), with special attention to observing and
reacting to trauma and referring to professional aid workers
6) Awareness of how to involve immigrant parents
7) A basic background knowledge and ability to find in-depth details about
migration in the host country: common origins of migrants; political and social
situation of the countries of origin and internal diversity in these countries;
cultural background of main migrant groups and internal diversity of them;
national and international legal framework (e.g., UN resolution); and legal
regulations and constraints affecting migrants. What organizations are involved
with the reception of newcomers? How is reception education organized? What
is the legal framework? 8) Awareness of specific challenges newcomers face and ability to act upon this
within the class, school, and local environment (e.g., displacement, lack of insight
into expectations and settings of educational system taken for granted by locals,
language barrier, social networks and isolation, and perceived discrimination in
support, trust, challenges of host culture)
9) Awareness and ability to acknowledge the importance of community
collaboration and co-creation in education in the context of newcomers’
education
Source: SIREE (2021, p. 93–94) and Sklad et al. (2021). 7) A basic background knowledge and ability to find in-depth details about
migration in the host country: common origins of migrants; political and social
situation of the countries of origin and internal diversity in these countries;
cultural background of main migrant groups and internal diversity of them;
national and international legal framework (e.g., UN resolution); and legal
regulations and constraints affecting migrants. What organizations are involved
with the reception of newcomers? How is reception education organized? What
is the legal framework? 4.1. Development of the measurement tool First, the initial domain of competences was established
by a systematic literature review utilizing predefined keyword
searches on Educational Resources Information Center (ERIC) and
PsycINFO databases, which revealed 19 publications meeting the
inclusion criteria, released after 2000, and discussing challenges
faced by refugee students and the teachers’ competences required
to overcome them. To confirm the relevance of the established
domain in the context of the Netherlands, Belgium, and the
UK, a string of small-scale empirical research was conducted,
consisting of a selective inductive content analysis based on
meaningful phrases related to the teacher’s competence, as found
in: (a) standardized moderator reports from learning communities
meetings at 20 locations across these three countries, with 2–
8 meetings at each location bringing together refugee parents,
students, and teachers, (b) a focus group interview with seven
teachers experienced in educating newcomers in the Netherlands,
(c) a series of 12 interviews with stakeholders involved in refugee
education, and (d) a small survey study of 17 Dutch teachers from
ethnically diverse schools, which receive interns seeking to gain
experience in newcomer education (SIREE, 2021; Sklad et al., 2021). 4.2. Design To test the validity and internal consistency, several tests were
conducted. First, an exploratory factor analysis of the NTSE items
was conducted, followed by correlational analyses to establish
convergent and criterion validities, and finally, teachers who took
part in newcomer education courses were compared to the control
group in their results on the NTSE. 8) Awareness of specific challenges newcomers face and ability to act upon this
within the class, school, and local environment (e.g., displacement, lack of insight
into expectations and settings of educational system taken for granted by locals,
language barrier, social networks and isolation, and perceived discrimination in
support, trust, challenges of host culture) 9) Awareness and ability to acknowledge the importance of community
collaboration and co-creation in education in the context of newcomers’
education 3. Teacher self-efcacy Finally, following Bandura’s
guidelines for constructing self-efficacy scales (Bandura, 2006), 18
items of the scale corresponding to the identified competences
were then constructed with the use of the Delphi method to assure
face validity. 1) Awareness of the current position of refugees and migrants in the educational
system of the host country, and understanding the importance of education for
the emancipation and social integration of refugees and migrants
2) Basic expertise as a teacher of a second language (of the host country) for
newcomers and ability to teach in a multilingual context
3) The ability to provide subject education in a diverse class adapted to the
educational needs of pupils, in a culturally sensitive manner
4) The ability to develop or adapt culturally sensitive lesson material/curriculum
5) An understanding of how to facilitate a safe educational environment for
displaced young people (newcomers), with special attention to observing and
reacting to trauma and referring to professional aid workers
6) Awareness of how to involve immigrant parents
7) A basic background knowledge and ability to find in-depth details about
migration in the host country: common origins of migrants; political and social
situation of the countries of origin and internal diversity in these countries;
cultural background of main migrant groups and internal diversity of them;
national and international legal framework (e.g., UN resolution); and legal
regulations and constraints affecting migrants. What organizations are involved
with the reception of newcomers? How is reception education organized? What
is the legal framework? 8) Awareness of specific challenges newcomers face and ability to act upon this
within the class, school, and local environment (e.g., displacement, lack of insight
into expectations and settings of educational system taken for granted by locals,
language barrier, social networks and isolation, and perceived discrimination in
support, trust, challenges of host culture)
9) Awareness and ability to acknowledge the importance of community
collaboration and co-creation in education in the context of newcomers’
education
Source: SIREE (2021, p. 93–94) and Sklad et al. (2021). Frontiers in Education 4.3. Participants At three different teacher education institutions in Belgium
and the Netherlands: In Holland, Hogeschool Utrecht, and
VIVES, 154 students completed the NTSE scale. In addition,
all participants filled in pre-existing validated scales measuring
a related construct: the Culturally Responsive Teaching Self-
Efficacy Scale (CRTSE; Siwatu, 2007). In general, 42 teachers
and prospective teachers from both countries who completed
the scales also took the newcomers’ education learning modules,
utilizing the nine objectives before completing the self-efficacy
instruments. For 19 of the teachers from the Netherlands,
we were in possession of the data grading rubrics in which
their course work was evaluated with respect to the degree
to which it demonstrated mastery of the nine competences
constituting the foundation of the measure and learning objectives
of the course. Source: SIREE (2021, p. 93–94) and Sklad et al. (2021). large-scale quantitative studies and applicable across different
institutional and national contexts. 4.4. Measures The NTSE scale consisted of 18 self-report items measuring
self-efficacy in the domain of newcomer education. For each of the
18 items, respondents were asked to rate their confidence in their
ability in a given area on a scale ranging from 0 (no confidence at
all) to 100 (complete confidence). For the item wording, consult
Table 2. The CRTSE (Siwatu, 2007) is a 40-item Likert-type scale that
measures the self-efficacy of pre-service teachers in executing
teaching practices adopted by culturally responsive teachers. It
captures part of the construct of interest of NTSE, particularly the
domain related to cultural competence. Frontiers in Education 05 frontiersin.org Sklad 10.3389/feduc.2023.1165746 p
,
g
y
M
S
Item total correlation
Alpha if item deleted
1. To assess the barriers newcomers encounter and impact on the
education they receive
65.46
18.63
0.765
0.968
2. To find in-depth information about the origin of children with a
migration background
66.05
18.82
0.749
0.968
3. To gain in-depth knowledge about the cultural background of
children with a migration background
67.07
18.30
0.742
0.968
4. To find information on a national and international legal
framework, legal regulations and restrictions that affect children with
a migrant background in my class
57.14
24.32
0.678
0.969
5. To act upon specific challenges newcomers face in school (e.g.,
displacement, lack of understanding of the expectations and settings
of the education system, social networks and isolation, perceived
discrimination in support, trust, challenges of the host culture, etc.)
64.11
20.99
0.860
0.967
6. To ensure that newcomer children can adopt Dutch as fast as
possible
65.59
21.65
0.793
0.967
7. Ensure that a non-native speaking newcomer can understand the
lesson topic, even if their knowledge of host language is limited
66.97
20.96
0.869
0.966
8. To teach a non-native newcomer student the host language
70.10
20.96
0.806
0.967
9. Convey lesson-related knowledge to a diverse classroom and meet
students’ diverse needs
70.39
20.23
0.791
0.968
10. To take into account different cultural backgrounds of children
in my class
74.44
16.62
0.735
0.968
11. To adapt class to taking into educational needs of diverse pupils
in a culturally sensitive manner
67.53
19.42
0.813
0.967
12. Developing culturally sensitive teaching materials or adapting the
curriculum in a culturally sensitive manner. 61.71
22.37
0.739
0.968
13. To offer newcomer children a (psychologically) safe learning
environment
75.36
18.61
0.826
0.967
14. 5.1. Factorizability The minimum amount of data for factor analysis was satisfied
(Barrett and Kline, 1981) with a final sample size of 152 (using
list-wise deletion), providing a ratio of 8.44 cases per variable. The
factorability of the NTSE items was confirmed by several criteria. 5. Results Meeting the learning objectives was measured by a behavioral
rubric, applied during the courses on the newcomer’s education
course by the instructors to evaluate whether the work of
the students demonstrated the mastery of each of the nine
learning objectives. 4.4. Measures To support the psychological wellbeing of newcomers who speak
a foreign language
69.97
20.52
0.788
0.968
15. To involve parents of foreign-speaking newcomers in activities at
school
66.41
20.57
0.821
0.967
16. To encourage cooperation between parents of newcomers who
speak a foreign language and the school through co-creation
61.41
22.98
0.790
0.968
17. To involve parents of non-native speaking newcomers in their
children’s school life and homework
65.03
21.22
0.839
0.967
18. To overcome the language barrier in contact with parents of
newcomers who speak a foreign language
66.51
21.22
0.795
0.967 5.2. Convergent validity A principal component analysis was used. An exploratory
factor analysis revealed the unidimensionality of the NTSE. Initial
eigenvalues indicated that the first four factors explained 66, 7, 5,
and 5% of the variance, respectively. The second factor had an
eigenvalue of just over one (1.2) and explained only 7% of the
variance. Solutions for two and four components, using varimax
and oblimin rotations, were inspected. A unidimensional solution
was preferred because eigenvalues “leveled off” after the first
component, which explained the majority of items’ variance. The NTSE scale showed good convergent construct validity. It had a strong statistically significant correlation with the CRTSE
score (Siwatu, 2007): r = 0.838, p < 0.001. The criterion validity of the scale was further confirmed by the
data from participants who participated in the academic course
module preparing them for teaching newcomer children. The
NTSE score correlated well with the number of learning objectives
demonstrated by students’ work with r = 0.53, p = 0.01. The
score was particularly well-related to demonstrating competency in
working with parents, facilitating a safe educational environment,
and teaching language and awareness of community collaboration. At the same time, scores were not substantially correlated with
demonstrating awareness and knowledge of position, challenges of
migrants, and migration in the host country, nor demonstrating the
capacity to provide subject classes in a culturally sensitive way (see
Table 5). The instrument showed outstanding internal consistency. The
internal consistency of the scale was examined using Cronbach’s
alpha. The alpha was excellent, at 0.97, and no increases in alpha
could have been achieved by removing any of the 18 items (Table 2). The composite score was created as the average of the items, with
higher scores indicating more self-efficacy, with the theoretical
maximum score of 100 corresponding to perfect confidence in
one’s capacity and a score of 0 corresponding to an absolute lack
of it. Finally, to further confirm criterion validity and establish if
NTSE can be used to evaluate the effectiveness of interventions,
scores from 42 participants who took the newcomers’ teachers’
education course module were compared on their NTSE scores to
those of control participants. In addition to the presence of the
course, the institutional context was taken into account, as the
newcomer’s education module provided to participants in Belgium
was shorter and had a narrower scope than the one offered in
the Netherlands. 4.5. Procedure All items correlated at least 0.4 with all other items. The Kaiser–
Meyer–Olkin measure of sampling adequacy was 0.93, well above
the recommended value of 0.6. Moreover, Bartlett’s test of sphericity
was significant [Chi2(153) = 3189.51, p < 0.001]. For each variable,
the communalities were above 0.7, thus confirming that each item
shared a common variance (see Table 2), and measures of sampling Participating teachers (in education) completed the self-efficacy
scales at their convenience using an online questionnaire; the link
was provided to them by their instructors. A standard protocol for
administering the questionnaire was used. Frontiers in Education 06 frontiersin.org Sklad 10.3389/feduc.2023.1165746 TABLE 3 Decile scores of NTSE scores in the test sample. TABLE 5 Correlations of NTSE score with demonstrating mastery of
general learning objectives of the newcomers’ education course. Decile
Score
1
44.22
2
56.33
3
60.90
4
62.50
5
65.00
6
68.47
7
72.72
8
75.83
9
77.78 General learning objective
r
GLO1: Is aware of the current position of refugees and migrants in
the educational system of the host country and understands the
importance of education for the emancipation and social
integration of refugees and migrants
0.028
GLO2: Is aware of specific challenges newcomers face and is able to
act upon this within the class, school and local environment
0.008
GLO3: Is aware and acknowledges the importance of community
collaboration and co-creation in education in the context
0.481∗
GLO4: Knows how to facilitate safe educational environment for
displaced young people (newcomers), with special attention to
observing and reacting to trauma and referring to professional aid
workers
0.469∗
GLO5: Has the basic background knowledge of and is able to find
in-depth knowledge of migration in the host country: common
origins of migrants; political and social situation of the countries of
origin and internal diversity in these countries, cultural b
−0.074
GLO6: Knows how to involve immigrant parents in the co-creation
0.565∗∗
GLO7: Is able to provide subject education in diverse class adapted
to educational needs of pupils in a culturally-sensitive manner
−0.098
GLO8: Is able to develop or adapt culturally-sensitive lesson
material/curriculum
0.305
GLO9: has a basic expertise as a teacher of second language (of the
host country) for newcomers and is able teach in a multilingual
context
0.545∗∗
Number of satisfactory demonstrated learning objectives
0.527∗
∗p < 0.05, ∗∗p < 0.001. TABLE 4 Descriptive statistics for the NTSE scale (N = 152). Statistic
S.E. 4.5. Procedure Mean
66.58
1.31
Median
68.06
Standard deviation
16.52
Skewness
−0.93
0.19
Kurtosis
1.11
0.38 ∗p < 0.05, ∗∗p < 0.001. adequacy were above 0.87 for each of them. In light of the above, all
18 items were considered suitable for factor analysis. Frontiers in Education Bandura, A. (1977). Self-efficacy: toward a unifying theory of behavioral change.
Psychol. Rev. 84, 191–215. doi: 10.1037/0033-295X.84.2.191
Bandura, A. (1986). Social Foundations of Thought and Action: A Social Cognitive
Theory. Englewood Cliffs, NJ: Prentice-Hall.
Bandura, A. (1997). Self-Efficacy: The Exercise of Control. New York, NY: Freeman. Funding The original study was partially funded by the SIREE project
within the Interreg 2 Seas Program 2014–2020 co-funded by the
European Regional Development Fund under subsidy contract no. SIREE 2S03-035. Conflict of interest The author declares that the research was conducted in the
absence of any commercial or financial relationships that could be
construed as a potential conflict of interest. The above study was carried out in the Netherlands and
Belgium with input from the UK in the context of the
second decade of the 21st century, which determines the
characteristics of school systems, teachers, and the refugees
with whom they work. We do not know to what extent the
findings are generalizable to different countries and time frames. Therefore, further international research should be carried out
both for the sake of generalizability as well as to allow for
international comparisons of teachers’ self-efficacy in the domain
of supporting the education and wellbeing of displaced and
newcomer children. Data availability statement The raw data supporting the conclusions of this article will be
made available by the authors, without undue reservation. Belgium
Netherlands
M
S
N
M
S
N
Control
63.50
15.66
53
63.34
18.24
65
Intervention
67.95
9.96
15
79.69
8.40
27 Belgium
Netherlands
M
S
N
M
S
N
Control
63.50
15.66
53
63.34
18.24
65
Intervention
67.95
9.96
15
79.69
8.40
27 6. Discussion The author would like to thank and acknowledge: Ria
Goedhart, Miranda Poeze, Stefan Dewitte, Els, Vanobberghen,
and Anne Eikelboom for their contributions to the development
of the learning objectives, for developing and teaching teacher
education modules used in this study, for providing support with
the data collection, and for consulting the items of the NTSE
scale; Lianne Van der Looij for her contribution to the review of
barriers and competences; Margje Camps and Isa Boere for their
editorial support; and all the members of the SIREE project team
for supporting the process in multiple ways. The study proposed a scale to measure teachers’ self-
efficacy
in
the
domain
of
teaching
and
supporting
the
wellbeing of refugee children meant for practicing and pre-
service teachers, which is very relevant for teachers in many
countries at this time. Correlations with other self-efficacy
indicators and behavioral measures supported the validity of
the scale. The scale showed good psychometric properties
and internal consistency, which were further supported by its
unidimensionality, despite the broad domain of competence it
encompasses. We assured that all relevant competence aspects
were represented in the scale, which makes this a valuable tool
for future researchers interested in measuring the construct as
pre-existing tools (e.g., Siwatu, 2007) focused only on specific parts
of this domain. 5.2. Convergent validity The score distribution (see Table 3) was slightly negatively
skewed
leptokurtic. Descriptive
statistics
are
presented
in
Table 4. The
skewness
and
kurtosis
were
well
within
a
tolerable
range,
and
assuming
a
normal
distribution,
an
examination of the histograms suggested that the distribution
was
approximately
normal. An
approximately
normal
distribution was evident for the composite score data in the
current study; thus, the scale is well-suited for parametric
statistical analyses. Frontiers in Education 07 frontiersin.org 10.3389/feduc.2023.1165746 Sklad TABLE 6 Means and standard deviations of NTSE score among teachers
participating in the newcomers’ education modules and control groups in
the Netherlands and Belgium. Publisher’s note All claims expressed in this article are solely those of the
authors and do not necessarily represent those of their affiliated
organizations, or those of the publisher, the editors and the
reviewers. Any product that may be evaluated in this article, or
claim that may be made by its manufacturer, is not guaranteed or
endorsed by the publisher. Author contributions The author confirms being the sole contributor of this work and
has approved it for publication. There was a significant main effect of participating in the
module on the NTSE score, F(1,153) = 13.13, p < 0.001, eta2= 0.08. There was also a significant interaction between the intervention
effect and the country, F(1,153) = 13.13, p < 0.05, eta2= 0.03. In the
control condition, teachers in preparation did not differ between
the countries. However, the teachers from the Netherlands who
took part in the more extensive educational module showed a
greater increase in their NTSE score than their Belgian counterparts
who participated in a less extensive module (see Table 6). Alptekin, C. (2002). Towards intercultural communicative competence in ELT. ELT
J. 56, 57–64. doi: 10.1093/elt/56.1.57 Asad,
A.
L.,
and
Kay,
T.
(2015).
Toward
a
multidimensional
understanding of culture for health interventions. Soc. Sci. Med. 144, 79–87.
doi: 10.1016/j.socscimed.2015.09.013 Alptekin, C. (2002). Towards intercultural communicative competence in ELT. ELT
J. 56, 57–64. doi: 10.1093/elt/56.1.57
Asad,
A.
L.,
and
Kay,
T.
(2015).
Toward
a
multidimensional
understanding of culture for health interventions. Soc. Sci. Med. 144, 79–87.
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Is high-frequency oscillatory ventilation more effective and safer than conventional protective ventilation in adult acute respiratory distress syndrome patients? A meta-analysis of randomized controlled trials
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RESEARCH Open Access Abstract Introduction: Comprehensively evaluating the efficacy and safety of high-frequency oscillatory ventilation (HFOV) is
important to allow clinicians who are using or considering this intervention to make appropriate decisions. Methods: To find randomized controlled trials (RCTs) comparing HFOV with conventional mechanical ventilation
(CMV) as an initial treatment for adult ARDS patients, we searched electronic databases (including PubMed, MedLine,
Springer Link, Elsevier Science Direct, ISI web of knowledge, and EMBASE) with the following terms: “acute respiratory
distress syndrome”, “acute lung injury”, and “high frequency oscillation ventilation”. Additional sources included
reference lists from the identified primary studies and relevant meta-analyses. Two investigators independently
screened articles and extracted data. Meta-analysis was conducted using random-effects models. Results: We included 6 RCTs with a total of 1,608 patients in this meta-analysis. Compared with CMV, HFOV did not
significantly reduce the mortality at 30 or 28 days. The pooled relative risk (RR) was 1.051 (95% confidence interval (CI)
0.813 to 1.358). ICU mortality was also not significantly reduced in HFOV group, with a pooled RR of 1.218 (95% CI 0.925
to 1.604). The pooled effect sizes of HFOV for oxygenation failure, ventilation failure and duration of mechanical ventilation
were 0.557 (95% CI 0.351 to 0.884), 0.892 (95% CI 0.435 to 1.829) and 0.079 (95% CI −0.045 to 0.203), respectively. The risk
of barotrauma and hypotension were similar between the CMV group and HFOV group, with a RR of 1.205 (95% CI 0.834
to 1.742) and a RR of 1.326 (95% CI 0.271 to 6.476), respectively. Conclusions: Although HFOV seems not to increase the risk of barotrauma or hypotension, and reduces the risk of
oxygenation failure, it does not improve survival in adult acute respiratory distress syndrome patients. ventilation can initially sustain life, it may cause further
lung injury [5-8]. © 2014 Gu et al.; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly credited. The Creative Commons Public Domain
Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article,
unless otherwise stated. Is high-frequency oscillatory ventilation more
effective and safer than conventional protective
ventilation in adult acute respiratory distress
syndrome patients? A meta-analysis of
randomized controlled trials Xiao-ling Gu1, Guan-nan Wu1, Yan-wen Yao1, Dong-hong Shi2 and Yong Song1* * Correspondence: yong_song6310@yahoo.com
1Department of Respiratory Medicine, Jinling Hospital, Nanjing University
School of Medicine, 305 East Zhongshan Road, Nanjing, Jiangsu Province
210002, P. R. China
Full list of author information is available at the end of the article Gu et al. Critical Care 2014, 18:R111
http://ccforum.com/content/18/3/R111 * Correspondence: yong_song6310@yahoo.com
1Department of Respiratory Medicine, Jinling Hospital, Nanjing University
School of Medicine, 305 East Zhongshan Road, Nanjing, Jiangsu Province
210002, P. R. China
Full list of author information is available at the end of the article © 2014 Gu et al.; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative
Commons Attribution License (http://creativecommons.org/licenses/by/4.0), which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly credited. The Creative Commons Public Domain
Dedication waiver (http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article,
unless otherwise stated. Introduction Both acute lung injury (ALI) and acute respiratory distress
syndrome (ARDS) are life-threatening conditions that are
usually associated with substantial morbidity [1,2], mortal-
ity [3], and financial costs [4]. Conventional mechanical
ventilation (CMV) is still considered the cornerstone of
treatment for these patients. However, although mechanical To avoid ventilator-induced lung injury, lung-protective
ventilation has been recommended, which focused on
avoiding cyclic alveolar collapse and re-expansion, pre-
venting alveolar excess distension, and achieving and
maintaining alveolar recruitment [9-11]. High-frequency
oscillation is an alternative mechanical ventilation method
that delivers very small tidal volumes at high frequencies
(3 to 15 Hz) using an oscillatory pump [12]. High-
frequency oscillatory ventilation (HFOV) can not only
avoid over-distension of alveoli by delivering small tidal Page 2 of 9 Gu et al. Critical Care 2014, 18:R111
http://ccforum.com/content/18/3/R111 high frequency oscillation ventilation. There were no
language restrictions. This search was conducted through
July 2013, with no additional time limits. The reference
lists of the identified primary studies and relevant meta-
analyses were also searched for additional studies. volumes but can also prevent end-expiratory alveolar
collapse and maintain alveolar recruitment by applying
a constant airway pressure [13-15]. Therefore, HFOV
theoretically achieves all goals pursued by lung-protective
ventilation strategies [11,16,17]. To be included in the present meta-analysis, studies
had to be RCTs comparing HFOV with CMV, enrolling
unique adult ALI/ARDS patients, and reporting at least
one of the following outcomes of interest: ICU mortality;
28- or 30-day mortality; hypoxemia and ventilation failure;
duration of mechanical ventilation; and the incidence of
barotrauma or hypotension. All of the candidate articles
were independently read and checked for the inclusion
criteria by two investigators (XG and GW). Disagreements
were resolved through consensus. The methodological
quality of the included studies was evaluated according to
the Cochrane handbook 5.1.0 for randomized controlled
trials [29]. Given that blinding of physicians, patients or
related family members was impossible in those trials, we
compared whether rescue treatments were equally applied
in the treatment group and control group, and performed
quality assessment according to the following five aspects,
including random sequence generation, allocation con-
cealment, incomplete outcome data, selective reporting,
and others. However, no more than six randomized controlled trials
(RCTs) in adult ARDS patients have been published on
the safety and efficacy of HFOV as an initial treatment
strategy. Data extraction
I f
i Information was extracted independently by two investiga-
tors (XG and GW) from all eligible studies. The required
items included in the data form were as follows: (1) basic
information about the primary study, including the first
author’s name, year of publication, sample size of the study,
single or multicenter design, the definition of ALI or ARDS
used, and the overall risk of bias; (2) clinically relevant
primary outcomes, including ICU mortality, 28- or 30-day
mortality, hypoxemia (including oxygenation failure and
refractory hypoxemia diagnosed in the primary eligible
studies) and ventilation failure (including ventilation failure,
acidosis, and refractory acidosis diagnosed in the primary
eligible studies), and duration of mechanical ventilation;
and (3) the incidence of barotrauma or hypotension. The
lists from the two investigators were compared, and dis-
agreements about the extracted data were resolved by
consensus. Methods and materials
Ethics statement We performed a meta-analysis of published RCTs com-
paring HFOV with CMV for ALI/ARDS in unique adult
patients. All analyses were based on published data
extracted from the six eligible studies, which have been
approved by the Institutional Review Committee on
Human Research. An additional file shows this in more
detail (see Additional file 1). Additionally, as described in
the six primary studies, all patients (or their representatives)
enrolled in these six trials have provided written informed
consent before any study-related procedure was performed. Therefore, the present meta-analysis does not present
any further problems in relation to ethics or conflicts of
interest. Introduction Three previous trials comparing HFOV with
CMV suggested that HFOV improved both oxygenation
and survival in adults with ARDS [18-20], but two recent
larger-scale RCTs presented different or even opposite
results [21,22]. Therefore, this approach remains an
unproven and controversial therapy for adults with
ARDS [23-26]. Two Cochrane reviews examining the effect of HFOV
on mortality in ALI/ARDS patients have been published. The earlier one found only two small RCTs and was not
powerful enough to draw definitive conclusions [27]; the
later study [28] concluded that HFOV might improve
survival, which was not completely consistent with the
conclusions of two recently published large RCTs [21,22]. Neither of the above two Cochrane reviews focused on
the effect of HFOV in unique adults with ARDS. Since
two large scale RCTs comparing HFOV with CMV as an
initial treatment for unique adult ARDS patients have
been recently published, we performed a meta-analysis of
RCTs, to systematically review the efficacy and safety of
HFOV in the population of adult ARDS patient compared
with CMV. Statistical analyses All meta-analysis were performed by random-effects
models (the DerSimoniane and Laird method). We re-
ported continuous outcomes using standardized mean
differences with the 95% CI, and binary outcomes were
presented as relative risk with the 95% CI. The Z-test and
chi-square test were used to generate the P-value for the
continuous outcomes and for the binary outcomes, re-
spectively. P <0.05 was considered statistically significant. Literature search and identification of the publications
To identify all published RCTs comparing HFOV with
CMV in adult ARDS patients, a search of electronic
databases (including PubMed, MedLine, Springer Link,
Elsevier Science Direct, ISI web of knowledge, and
EMBASE) was carried out with the following terms:
acute respiratory distress syndrome; acute lung injury; Mortality at 28 or 30 days y
y
In the primary analysis of five trials [18,19,21,22,31]
(n = 1,580), the median mortality at 30 or 28 days in
the control group and the HFOV group was 41.1%
(range 28.6 to 52.1%) and 40.4% (range 37.3 to 43.2%),
respectively. The results of the meta-analysis suggested
that HFOV did not significantly reduce mortality at 30 or
28 days in adult ARDS patients (relative risk (RR) 1.051,
95% CI 0.813, 1.358; Table 2 and Figure 2A). As significant
heterogeneity was detected among the above five enrolled
studies (I2 = 63.1%, P = 0.028), and considering the tidal
volume and plateau airway pressure might be the sources
of heterogeneity, we performed subgroup analysis strati-
fied by the tidal volume (≤8 ml/kg predicted body weight)
and by the plateau airway pressure (≤35 cmH2O) in the
control group, respectively. The results of these subgroup
analyses also suggest that HFOV failed to reduce mortality
at 30 or 28 days in adult ARDS patients. These results of
subgroup analysis and the related forest plot are shown in
Table 2 and Figure 2A, B. Literature search and identification of the publications Page 3 of 9 Gu et al. Critical Care 2014, 18:R111
http://ccforum.com/content/18/3/R111 Gu et al. Critical Care 2014, 18:R111
http://ccforum.com/content/18/3/R111 The presence of heterogeneity between studies was
tested with the chi-square-based Q-test and quantified
with the I2 statistic (25 to 49% for low heterogeneity, 50
to 74% for moderate heterogeneity, and 75 to 100% for
high heterogeneity) [30]. Sensitivity analysis was performed
to evaluate the influence of the individual trial on the
pooled effect. Potential publication bias was investigated by
funnel plots and was formally evaluated with Egger’s linear
regression test and Begg’s adjusted rank correlation test. All
statistical analyses were performed with Stata software
(version 11.0; StataCorp LP, College Station, TX, USA)
using two-sided p values. P <0.05 was considered statis-
tically significant. groups in four trials underwent low-tidal-volume ventila-
tion (≤8 ml/kg) [20-22,31], whereas three trials performed
low plateau pressure (≤35 cm H2O) [20,21,31]. Among
all of the included studies, five studies with high meth-
odological quality and low risk of bias passed the quality
assessment [18,20-22,31], and the risk of bias in the sixth
trial was unclear [19] (Table 1). ICU mortality Three eligible studies [20-22] (n = 1,371) reported ICU
mortality. The median mortality in the control group and
the HFOV group was 30.8% (range 26.7 to 42.1%) and
44.2% (range 30.8 to 44.7%), respectively. We performed a
meta-analysis using a random-effects model, and the re-
sults of this meta-analysis suggested that high-frequency
oscillatory ventilation did not significantly reduce or
increase the risk of death in ICU compared with con-
ventional mechanical ventilation in adult ARDS patients Literature search and study characteristics Using the search term high frequency oscillatory ventila-
tion combined with acute respiratory distress syndrome
or with acute lung injury, 784 citations were identified. Among them, six trials [18-22,31] met the inclusion cri-
teria and were enrolled in the meta-analysis. The flow
chart of the identification and selection of publications
is shown in Figure 1. Six eligible trials [18-22,31] enrolled a total of 1,608
adult patients with ARDS (Table 1). All trials investigated
HFOV as an initial treatment for ARDS rather than as a
rescue treatment after the failure of conventional venti-
lation. The tested patients in most of these trials were
continuously treated with HFOV for more than 24 hours,
except in one trial that continuously applied high-
frequency oscillation for 12 hours [20]. The control Sensitivity analysis was also analyzed, and the results
demonstrated that after each study was excluded from
the overall meta-analysis, similar results were obtained Figure 1 Flow chart of studies included in this meta-analysis. Figure 1 Flow chart of studies included in this meta-analysis. Figure 1 Flow chart of studies included in this meta-analysis. Figure 1 Flow chart of studies included in this meta-analysis. Gu et al. Critical Care 2014, 18:R111
http://ccforum.com/content/18/3/R111 Page 4 of 9 Page 4 of 9 Table 1 Essential characteristics of included studies
First author
Year
Institute
Patients (number)
Details of ARDS
Overall risk of bias
HFOV
CMV
Derdak [18]
2002
ICUs in 13 US hospitals
75
73
ARDS; PEEP <10 cm H2O
Low
Shah [31]
2004
1 ICU in Cardiff, Wales
15
13
ARDS
Low
Bollen [19]
2005
5 ICUs in 4 European cities
37
24
ARDS
Unclear (>10% (11/61) crossovers)
Demory [20]
2007
1 ICU in Marseille, France
13
15
ARDS; PaO2/FiO2 ≤150, PEEP ≥5cmH2O
Low
Young [22]
2013
ICUs in England, Wales,
and Scotland
398
397
ARDS; PaO2/FiO2 ≤200, PEEP ≥5cmH2O
Low
Ferguson [21]
2013
38 centers in Canada, the
United States, Saudi Arabia,
Chile, and India
275
273
ARDS; PaO2/FiO2 ≤200,FiO2 ≥0.5
Low
ARDS, acute respiratory distress syndrome; CMV, conventional mechanical ventilation; FiO2, fraction of inspired oxygen; HFOV, high-frequency oscillatory ventilation;
PaO2, arterial oxygen tension; PEEP, positive end expiratory pressure. Table 1 Essential characteristics of included studies ARDS, acute respiratory distress syndrome; CMV, conventional mechanical ventilation; FiO2, fraction of inspired oxygen; HFOV, high-frequency oscillatory ventilation;
PaO2, arterial oxygen tension; PEEP, positive end expiratory pressure. (Table 3). Literature search and study characteristics No publication bias of the enrolled studies
was observed (Table 4). (RR 1.218, 95% CI 0.925, 1.604; Table 2 and Figure 2C). However, the sensitivity analysis showed that a paradoxical
result obtained after the OSCAR trial [22] was excluded
from the overall meta-analysis, and it suggested that
HFOV would significantly increase the ICU mortality in
adult ARDS patients (RR 1.442, 95% CI 1.160, 1.792;
Table 3). Neither Egger’s test nor Begg’s test showed any
evidence of publication bias (Table 4). Oxygenation failure, ventilation failure and duration of
mechanical ventilation Critical Care 2014, 18:R111
http://ccforum.com/content/18/3/R111 Table 3 Sensitivity analysis
Excluded study
Relative risk
95% CI
Mortality at 28 or 30 days
Derdak (2002)
1.164289
0.9238705, 1.4672717
Bollen (2005)
1.0212231
0.76526242, 1.3627961
Ferguson (2013)
0.94643247
0.77333957, 1.158268
Young (2013)
1.0512564
0.69253296, 1.5957943
Shah (2004)
1.0661671
0.80484247, 1.4123416
ICU mortality
Demory (2007)
1.2246462
0.89132315, 1.6826202
Ferguson (2013)
1.0530359
0.89893317, 1.2335562
Young (2013)
1.4420993
1.160399, 1.7921858
Oxygenation failure
Derdak (2002)
0.58428353
0.28815368, 1.1847403
Bollen (2005)
0.51638663
0.31883517, 0.83634168
Ferguson (2013)
0.82795441
0.31200156, 2.1971316
Ventilation failure
Derdak (2002)
1.0543551
0.4344992, 2.5584965
Bollen (2005)
0.91356009
0.43406373, 1.9227407
Ferguson (2013)
0.64884853
0.2125513, 1.9807193
Duration of mechanical ventilation
Derdak (2002)
0.09791627
−0.09584169, 0.29167423
Bollen (2005)
0.06240474
−0.06527908, 0.19008856
Young (2013)
0.15380768
−0.11983663, 0.427452
Barotrauma
Shah (2004)
1.229754
0.84895152, 1.7813679
Derdak (2002)
1.3130077
0.87979519, 1.9595348
Bollen (2005)
1.1886587
0.78003234, 1.8113472
Ferguson (2013)
0.6947636
0.29700547, 1.6252108
Hypotension
Derdak (2002)
2.6042271
0.44842839, 15.123928
Bollen (2005)
0.69353223
0.05379397, 8.9412804
Shah (2004)
0.89276189
0.0725222, 10.990066 treatment of mechanical ventilation. The meta-analysis
of three eligible studies [18,19,21] (n = 757) that reported
the incidence of oxygenation failure demonstrated HFOV
significantly reduced the risk of oxygenation failure com-
pared with conventional ventilation (RR 0.557, 95% CI
0.351, 0.884; Figure 2D). The result of sensitivity analysis
showed HFOV would not significantly improve oxygen-
ation compared with CMV, when the study of Derdak [18]
or the OSCILLATE trial [21] was excluded from the over-
all meta-analysis (Table 3). It suggested that the result of
this meta-analysis for oxygenation failure was not stable,
and that further clinical trials are needed to determine
whether HFOV is more effective than CMV for the im-
provement of oxygenation in adult ARDS patients. No
publication bias of the enrolled studies was observed
(Table 4). Three enrolled studies demonstrated the ventilation
efficiency of HFOV: one study [21] reported the incidence
of refractory acidosis, one [19] reported the occurrence of
acidosis, and the third [18] reported the incidence of ven-
tilation failure with a clear definition, that is, ‘a pH ≤7.15
for 6 hours and a bicarbonate of 19 meq/L or moreʼ. We
performed a meta-analysis with a random-effects model
and demonstrated that there was no significant difference
in ventilation efficiency between the HFOV group and the
control group (RR 0.892, 95% CI 0.435, 1.829; Figure 2E). Sensitivity analysis demonstrated that after each study was
excluded from the overall meta-analysis, similar results
were obtained (Table 3). Oxygenation failure, ventilation failure and duration of
mechanical ventilation Oxygenation failure was defined as persisting abnormal
low oxygenation index or refractory hypoxemia after the Table 2 Main results of meta-analysis of mortality
Studies
included (n)
Case number (n)
Heterogeneity
Pooled RR
(95% CI)
P
HFOV
CMV
I2(%)
P
Mortality at 28 or 30 days
5
800
780
63.1
0.028
1.051
0.704
(0.813, 1.358)
Subgroup
Tidal volume in control
group <8 ml/kg
Mandated
3
688
683
63.1
0.067
1.149
0.329
(0.869, 1.519)
Not mandated
2
112
97
56.4
0.13
0.899
0.712
(0.511, 1.582)
Plateau pressure in control
group <35cmH2O
Mandated
2
290
286
14.6
0.279
1.323
0.092
(0.955, 1.834)
Not mandated
3
510
494
44.7
0.164
0.942
0.665
(0.720, -1.233)
ICU mortality
3
686
685
63.3
0.066
1.218
0.160
(0.925, 1.604)
CMV, conventional mechanical ventilation; HFOV, high-frequency oscillatory ventilation; n, number; RR, relative risk. Table 2 Main results of meta-analysis of mortality CMV, conventional mechanical ventilation; HFOV, high-frequency oscillatory ventilation; n, number; RR, relative risk. Page 5 of 9 Page 5 of 9 Gu et al. Critical Care 2014, 18:R111
http://ccforum.com/content/18/3/R111 Figure 2 Forest plots for the meta-analysis of mortality: (A) Meta-analysis of mortality at 28 or 30 days, and subgroup analyses stratified by
the tidal volume of the conventional ventilation group (in which tidal volumes ≤8 ml/kg were used or not used). (B) Meta-analysis of mortality at
28 or 30 days, and subgroup analyses stratified by the plateau pressure of the conventional ventilation group (in which plateau pressure ≤35 cmH2O was
used or not used). (C) Meta-analysis of ICU mortality. (D) Meta-analysis for oxygenation failure. (E) Meta-analysis of ventilation failure. (F) Meta-analysis for
the duration of mechanical ventilation. (G) Meta-analysis of barotrauma. (H) Meta-analysis of hypotension. LPV, lung-protective ventilations. Figure 2 Forest plots for the meta-analysis of mortality: (A) Meta-analysis of mortality at 28 or 30 days, and subgroup analyses stratified by
the tidal volume of the conventional ventilation group (in which tidal volumes ≤8 ml/kg were used or not used). (B) Meta-analysis of mortality at
28 or 30 days, and subgroup analyses stratified by the plateau pressure of the conventional ventilation group (in which plateau pressure ≤35 cmH2O was
used or not used). (C) Meta-analysis of ICU mortality. (D) Meta-analysis for oxygenation failure. (E) Meta-analysis of ventilation failure. (F) Meta-analysis for
the duration of mechanical ventilation. (G) Meta-analysis of barotrauma. (H) Meta-analysis of hypotension. LPV, lung-protective ventilations. Page 6 of 9 Gu et al. Adverse event: barotrauma eight randomized controlled trials with 419 patients, it in-
cluded two studies investigating the combination effect of
HFOV and additional interventions (prone positioning [34]
and tracheal gas insufflation [35]), which would complicate
the results of meta-analysis. Barotrauma was defined as a group of symptoms caused
by the high airway pressure during mechanical ventila-
tion,
such
as
pneumothorax,
pneumomediastinum,
pneumopericardium, subcutaneous emphysema and so
on. We performed a meta-analysis to summarize the dif-
ference in the risk of barotrauma between the HFOV
group and control group. Four enrolled studies provided
the incidence of barotrauma, but they all applied differ-
ent definitions of barotrauma: only pneumothorax [31],
any pulmonary air leak [18], severe air leak resulting in
treatment failure [19], or new-onset barotrauma [21]. The above four enrolled trails reported the incidence of
barotrauma in the HFOV group as 0/15 [31], 7/75 [18],
1/37 [19], 46/256 [21] patients, respectively; and in the
CMV group as 1/13 [31], 9/73 [18], 1/24 [19], 34/259
[21] patients, respectively. The results of the meta-
analysis and the forest plot are shown in Figure 2G. The
relative risk for barotrauma was 1.205 (95% CI 0.834,
1.742). This result suggests that HFOV does not increase
or reduce the risk of barotrauma compared with CMV. In the sensitivity analysis, similar results were obtained
after each study was excluded from the overall meta-
analysis (Table 3). No publication bias of the enrolled
studies was observed (Table 4). In the present meta-analysis of mortality, we showed
that HFOV did not significantly reduce mortality at 30
or 28 days compared with CMV. This finding contrasts
sharply with experimental studies in animals in which
benefits of high-frequency oscillation were observed
[36]. Our results may suggest that the benefits of HFOV
cannot be translated directly from animal models to
adult ARDS patients, probably because there is great
heterogeneity in the recruitability of the lung [37] and
because the well-controlled conditions of animal studies
are often difficult to replicate in human clinical trials. Our results are also at variance with those of the latest
Cochrane review of HFOV in 2013 [32], which showed
HFOV significantly reduced in-hospital or 30-day mor-
tality compared with conventional ventilation. This may
be simply because the present meta-analysis enrolled
two more large multicenter trials and recruited more
than three times the number of patients recruited in the
previous meta-analysis. Oxygenation failure, ventilation failure and duration of
mechanical ventilation No publication bias of the en-
rolled studies was observed (Table 4). Duration of mechanical ventilation Three eligible trials [18,19,22] (n = 1,004) provided the
duration of mechanical ventilation. The results of meta-
analysis showed that the high-frequency oscillation
strategy did not significantly reduce the duration of
mechanical ventilation (standardized mean difference
0.079, 95% CI −0.045, 0.203; Figure 2F). Sensitivity analysis
demonstrated that after each study was excluded from
the overall meta-analysis, similar results were obtained
(Table 3). No publication bias of the enrolled studies
was observed (Table 4). Table 4 Publication bias
Type of meta-analysis
Begg’s test
Egger’s test
z
Pr > |z|
t
P > |t|
Mortality at 28 or 30 days
0.000
1.000
−0.230
0.833
ICU mortality
0.520
0.602
0.250
0.841
Oxygenation failure
1.57
0.117
2.39
0.252
Ventilation failure
−0.52
0.602
−0.73
0.597
Duration of mechanical ventilation
1.04
0.296
1.49
0.376
Barotrauma
−0.68
0.497
−2.67
0.116
Hypotension
−0.52
0.602
−0.62
0.646 Page 7 of 9 Page 7 of 9 Gu et al. Critical Care 2014, 18:R111
http://ccforum.com/content/18/3/R111 Adverse event: hypotension Three eligible trials (n = 237) reported the incidence of
hypotension in the HFOV group as 0/75 [18], 4/37 [19],
1/15 [31] patients, respectively; and in the CMV group
as 2/73 [18], 1/24 [19], 0/13 [31] patients, respectively. The results of meta-analysis demonstrated that the HFOV
would not significantly increase the risk of hypotension
compared with CMV (RR 1.326, 95% CI 0.271, 6.476;
Figure 2H). Sensitivity analysis demonstrated that after
each study was excluded from the overall meta-analysis,
similar results were obtained (Table 3). No publication
bias of the enrolled studies was observed (Table 4). As moderate heterogeneity was revealed in the overall
meta-analysis of mortality, and considering that the tidal
volume and plateau airway pressure might be the sources
of heterogeneity, we performed subgroup analysis ac-
cording to the tidal volume (≤8 ml/kg predicted body
weight) and according to the plateau airway pressure
(≤35 cmH2O) in the control group, respectively. Although
the heterogeneity remained moderate after the stratifica-
tion by tidal volume, the heterogeneity was significantly
reduced when the data were stratified depending on the
control group’s plateau airway pressure. It appears that the
plateau airway pressure is one of the most possible sources
of heterogeneity. The results from these subgroup ana-
lyses all suggest that HFOV did not significantly reduce
mortality at 30 or 28 days in adult ARDS patients. This
indicates that the results of this meta-analysis are stable. Adverse event: barotrauma Our results are consistent with
those of two recently published large-scale RCTs, which
are known as the OSCILLATE trial [21] and OSCAR
trial [22], respectively. Sensitivity analysis showed that in
the meta-analysis of mortality at 30 or 28 days, after
each study was excluded from the overall meta-analysis,
similar results were obtained. This suggests that our
results of 30- or 28-day mortality are valid. Key messages Key messages ICU mortality compared with CMV. Additionally, the
beneficial effect of HFOV on mortality could have been
underestimated because one study [21] enrolled 40% of
the patients included in our meta-analysis of ICU mortal-
ity, and in that study more than 10% of patients in the
control group crossed over to receive HFOV. Thus, the
result of this meta-analysis of the risk of death in ICU
was not stable, and further clinical trials are needed to
determine whether HFOV is as effective as CMV for the
improvement of ICU survival in adult ARDS patients. ICU mortality compared with CMV. Additionally, the
beneficial effect of HFOV on mortality could have been
underestimated because one study [21] enrolled 40% of
the patients included in our meta-analysis of ICU mortal-
ity, and in that study more than 10% of patients in the
control group crossed over to receive HFOV. Thus, the
result of this meta-analysis of the risk of death in ICU
was not stable, and further clinical trials are needed to
determine whether HFOV is as effective as CMV for the
improvement of ICU survival in adult ARDS patients. In adult ARDS patients, high-frequency oscillation did
not significantly reduce mortality at 30 or 28 days, or
the mortality within the ICU compared with CMV. Compared with conventional ventilation, HFOV,
although having no significant effect on the
incidence of ventilation failure or the duration of
mechanical ventilation, significantly reduced the risk
of oxygenation failure. High-frequency oscillatory ventilation was not
associated with an increased risk of barotrauma or
hypotension and seemed to be as safe as
conventional ventilation. The present meta-analysis showed that HFOV signifi-
cantly reduced the risk of hypoxemia compared with
CMV. This result is consistent with our meta-analysis of
the PaO2/FiO2 ratio on day 1 which demonstrated that
the application of HFOV significantly improved the
PaO2/FiO2 ratio on the first day after the initiation of
mechanical ventilation (data not shown). However, the
sensitivity analysis showed whenever the OSCILLATE
trial [21] or the study by Derdak et al. [18] was excluded,
the pooled results of the other two studies suggested that
HFOV did not significantly reduce the incidence of oxy-
genation failure. This may be simply because the other
two trials enrolled too few patients to identify a significant
difference. Key messages Thus, it is still possible that the application of
HFOV significantly improves oxygenation and reduces the
risk of hypoxemia. Authors’ contributions All authors conceived the study and contributed to the study design. XLG
and GNW performed the literature review and data extraction. YWY and DHS
performed statistical analysis. GNW, DHS and YS analyzed and interpreted
the data. XLG, DHS and YWY drafted the manuscript. XLG, GNW and YS were
responsible for the revision of the manuscript for important intellectual
content. YS supervised the study. All authors have read and approved the
manuscript for submission. Competing interests There are several limitations of the present meta-
analysis. First, the six enrolled studies were published
between 2002 and 2013, which may have caused moder-
ate heterogeneity of the control group and therefore
complicated the results of this meta-analysis. Second,
the sample size of the included trials ranged from 28 to
795, which could have influenced the precision of the
pooled effect-estimates. Lastly, we only evaluated the
effect of HFOV on the incidence of barotrauma and
hypotension, therefore, the evaluation of the safety of
HFOV might not be comprehensive enough. The authors declare that they have no competing interests. Conclusions The pooled analysis of the currently available data sug-
gests that HFOV does not significantly reduce mortality
at 30 or 28 days, nor does it reduce ICU mortality, although
it seems to significantly reduce the risk of oxygenation
failure in adult ARDS patients. Furthermore, HFOV has
no significant effect on the incidence of ventilation failure,
the duration of mechanical ventilation or the risk of baro-
trauma and hypotension. Although these results suggest
HFOV would not increase the incidence of barotrauma or
hypotension, they do not support the recommendation
that HFOV is used in routine care for adult patients with
ARDS. More large-scale multicenter RCTs are required to
further determine the efficacy and safety of HFOV in adult
ARDS patients. Abbreviations ALI: acute lung injury; ARDS: acute respiratory distress syndrome;
CMV: conventional mechanical ventilation; FiO2: fraction of inspired oxygen;
HFOV: high-frequency oscillatory ventilation; PaO2: arterial oxygen tension;
PEEP: positive end expiratory pressure; RCT: randomized controlled trial;
RR: relative risk; SMD: standardized mean difference. Acknowledgements The present study was supported by the National Natural Scientific
Foundation of China (numbers 81170064 and 81370172). The National
Natural Scientific Foundation of China Grants did not directly participate in
the literature search, determination of study eligibility criteria, data analysis or
interpretation, or preparation, review, or approval of the manuscript for
publication. Statements in the manuscript should not be construed as an
endorsement by the National Natural Scientific Foundation of China. Additional file Additional file 1: The names of all ethical bodies involved in the six
enrolled trials. All ethical body names involved in the six trials that were
enrolled in the present meta-analysis have been listed in this file. Author details
1 1Department of Respiratory Medicine, Jinling Hospital, Nanjing University
School of Medicine, 305 East Zhongshan Road, Nanjing, Jiangsu Province
210002, P. R. China. 2Department of Medical Imaging, Jinling Hospital,
Nanjing University School of Medicine, 305 East Zhongshan Road, Nanjing,
Jiangsu Province 210002, P. R. China. Discussion To the best of our knowledge, the present study is the
first meta-analysis examining the effect of HFOV in
unique adults with ARDS, although two cognate Cochrane
reviews [27,32] have been published based on studies in-
cluding mutually exclusive groups of patients, and the
more recent one [32] combined the results from adult and
pediatric patients. Importantly, the efficacy of HFOV is
likely associated with the age of the patient, as Arnold
et al. reported that patients older than five years had
dramatically increased mortality compared with patients
younger than five years, when treated with HFOV [33]. Additionally, the earlier Cochrane review [27] found only
two small RCTs and was not powerful enough to draw
definitive conclusions. Although the later one [32] included Although the meta-analysis of ICU mortality demon-
strated that HFOV did not significantly affect ICU mortal-
ity compared with CMV, the sensitivity analysis showed
that the OSCAR trial [22] drastically affected the pooled
results of our meta-analysis of ICU mortality. After the
OSCAR trial was excluded, the pooled results suggested
that the application of HFOV would significantly increase Page 8 of 9 Gu et al. Critical Care 2014, 18:R111
http://ccforum.com/content/18/3/R111 Gu et al. Critical Care 2014, 18:R111
http://ccforum.com/content/18/3/R111 Gu et al. Critical Care 2014, 18:R111
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respiratory distress syndrome. N Engl J Med 2013, 368:795–805. Submit your next manuscript to BioMed Central
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Submit your manuscript at
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• Immediate publication on acceptance
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Submit your manuscript at
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and take full advantage of:
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• Thorough peer review
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Submit your manuscript at
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effective and safer than conventional protective ventilation in adult acute
respiratory distress syndrome patients? A meta-analysis of randomized
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Method for Assigning Priority Levels in Acute Care (MAPLe-AC) predicts outcomes of acute hospital care of older persons - a cross-national validation
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BMC medical informatics and decision making
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Abstract Background: Although numerous risk factors for adverse outcomes for older persons after an acute hospital stay
have been identified, a decision making tool combining all available information in a clinically meaningful way
would be helpful for daily hospital practice. The purpose of this study was to evaluate the ability of the Method for
Assigning Priority Levels for Acute Care (MAPLe-AC) to predict adverse outcomes in acute care for older people
and to assess its usability as a decision making tool for discharge planning. Methods: Data from a prospective multicenter study in five Nordic acute care hospitals with information from
admission to a one year follow-up of older acute care patients were compared with a prospective study of acute
care patients from admission to discharge in eight hospitals in Canada. The interRAI Acute Care assessment
instrument (v1.1) was used for data collection. Data were collected during the first 24 hours in hospital, including
pre-morbid and admission information, and at day 7 or at discharge, whichever came first. Based on this
information a crosswalk was developed from the original MAPLe algorithm for home care settings to acute care
(MAPLe-AC). The sample included persons 75 years or older who were admitted to acute internal medical services
in one hospital in each of the five Nordic countries (n = 763) or to acute hospital care either internal medical or
combined medical-surgical services in eight hospitals in Ontario, Canada (n = 393). The outcome measures
considered were discharge to home, discharge to institution or death. Outcomes in a 1-year follow-up in the
Nordic hospitals were: living at home, living in an institution or death, and survival. Logistic regression with ROC
curves and Cox regression analyses were used in the analyses. Results: Low and mild priority levels of MAPLe-AC predicted discharge home and high and very high priority
levels predicted adverse outcome at discharge both in the Nordic and Canadian data sets, and one-year outcomes
in the Nordic data set. The predictive accuracy (AUC’s) of MAPLe-AC’s was higher for discharge outcome than one
year outcome, and for discharge home in Canadian hospitals but for adverse outcome in Nordic hospitals. High
and very high priority levels in MAPLe-AC were also predictive of days to death adjusted for diagnoses in survival
models. Conclusion: MAPLe-AC is a valid algorithm based on risk factors that predict outcomes of acute hospital care. * Correspondence: anja.noro@thl.fi
1Ageing and Services Unit, National Institute for Health and Welfare, P.O. Box
30, FI-00271 Helsinki, Finland
Full list of author information is available at the end of the article Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Open Access Method for Assigning Priority Levels in Acute
Care (MAPLe-AC) predicts outcomes of acute
hospital care of older persons - a cross-national
validation Method for Assigning Priority Levels in Acute
Care (MAPLe-AC) predicts outcomes of acute
hospital care of older persons - a cross-national
validation Anja Noro1*, Jeffrey W Poss2, John P Hirdes2,3, Harriet Finne-Soveri1, Gunnar Ljunggren4,5, Jan Björnsson6,
Marianne Schroll7 and Palmi V Jonsson8,9 © 2011 Noro et al; licensee BioMed Central Ltd. This is an Open Access article distributed under the terms of the Creative Commons
Attribution License (http://creativecommons.org/licenses/by/2.0), which permits unrestricted use, distribution, and reproduction in
any medium, provided the original work is properly cited. Background The challenge of care for older persons increases with
the presence of multiple chronic conditions, and physi-
cal or cognitive decline, as indicated by systematic litera-
ture review by Campbell et al. 2004 [1]. Acute hospital
care is a complex link in the care chain for these per-
sons. The high cost of acute care causes pressures to
shorten length of stay in this setting, but readmission
rates are high, 11.8% at one month [2] and 35% with
prior hospitalization during past 90 days [3]. A signifi-
cant proportion of older people in acute care already
have contact with home care services, and the admission
to hospital increases risk for institutionalization. Clini-
cians in acute care are faced with the issues of taking
care of these people’s immediate health care needs as
well as planning the hospital discharge at the earliest
possible date, with or without support services. Predictors of outcome in older medical clients are
complex. Systematic data collection on admission is
desirable. The interRAI - Acute Care (interRAI-AC)
assessment system has been constructed to help clini-
cians with comprehensive geriatric assessment in acute
care and to identify potentially remediable co-morbidity
and functional deficiencies [3,13]. InterRAI-AC is one of
the earlier versions of the interRAI instruments that
have been constructed to provide a systematic approach
comprehensive assessment that applies across different
care settings [19]. An important element of discharge planning lies in
the effectiveness of communication between hospital
and community. The best use of electronic medical
records highlights the importance of systematic and
standardized assessment information. Recent research
and development has lead to the introduction of the
Method for Assigning Priority Levels for Home Care
(MAPLe-HC), a decision-support tool for home care
service allocation [20]. The MAPLe-HC algorithm is
based on the interRAI-HC instrument [21,22]. Among
home care clients, the MAPLe-HC algorithm predicted
both nursing home placement in 90 days, caregiver
stress, and a belief that the home care client would be
better off elsewhere. The MAPLe-HC algorithm [20]
was created in Canada and it was validated with data
from six countries. It is now in widespread use in sev-
eral Canadian provinces and Finland. Both interRAI-HC
[21,22] and interRAI-AC [13] instruments have many
common items that are used for the MAPLe-algorithm. People with multiple health care needs and underlying
chronic conditions have been shown to have the poorest
outcomes in hospital care [1-5]. Abstract It
could be a helpful tool for early discharge planning although further testing for active use in clinical practice is still
needed. Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Page 2 of 14 act as a part of a fully integrated seamless information
system for multiple care sectors. Background The challenge of identi-
fying the need for and prioritizing access to specialized
geriatric services to address the needs of frail older per-
sons in acute care is demanding. Comprehensive geria-
tric assessment (CGA) in in-patient settings has been
shown to increase long-term chances of older persons
to live at home [6,7]. Using standardized assessment for
older persons at admission and using this information
to support decision making would be beneficial for their
discharge planning [8]. Delayed discharges are caused by medical and non-
medical circumstances. Several studies have identified
Activities of Daily Living (ADL) and cognitive impair-
ments as contributors for unsuccessful discharges home
[9]. Other risk factors that have been identified include
delirium, incontinence, falls, pressure ulcers, psychiatric
symptoms, instrumental activities of daily living deficits,
certain diagnoses, severity of the illness, and lack of
informal support. Based on a Cochrane systematic
review by Shepperd et al. 2010 [10], a structured dis-
charge plan tailored to the older person’s needs may
reduce hospital length of stay and lower the risk of
readmission, but the impact of discharge planning on
mortality, health outcomes, and costs still remains
uncertain [9,10]. A comprehensive hospital discharge
program might also be beneficial decreasing readmission
and adverse outcomes [5,11,12]. The purpose of this study was to develop the MAPLe-
AC with a crosswalk from the MAPLe-HC algorithm
and to test whether the new MAPLe-AC algorithm
would predict outcome of acute hospital care. In this
context, outcomes of interest were discharge home, nur-
sing home placement or death, and at one year out-
comes living at home or living in an institution or
death, and survival. Algorithm cross-walk The basis for both MAPLe algorithms were items of
standardized measurements: interRAI assessment instru-
ments for home care (interRAI-HC) [21,22] and acute
care (interRAI-AC v1.1) [13]. The interRAI-HC assess-
ments are conducted when the new clients enter home
care, and then each 6 months or earlier if the condition
of the client changes. The interRAI-AC v1.1 instrument
comprises longitudinal information pertinent to the
whole acute care episode: pre-morbid status (30 days
before admission), at admission (24 hours prior to Still, the question remains how to predict likely out-
comes of hospital care and how people should be tar-
geted for interventions aimed at diminishing the risk of
adverse outcome of hospital care. A number of studies
considering this issue have already been published
[1,3-5,7,9,10,12-18]. However, none of the developed
protocols, programs, or assessment tools available today Page 3 of 14 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 with pressure ulcers. The Cognitive Performance Scale
(CPS) [23] and ADL hierarchy [24] scales were identical. For the geriatric screener subscale, the item on stamina
was missing from interRAI-AC. The risk for nursing
home is calculated as a sum based on 8 categories
including prior nursing home placement, going out,
bladder incontinence, illnesses (Any dementia, Alzhei-
mers’ disease, Multiple Sclerosis, Head trauma), ADL
decline (based on calculation in interRAI-AC), hygiene
or bathing; indicators of delirium, meal and shopping
activities [25]. Other items in the MAPLe-HC not avail-
able in the interRAI-AC were overall change in care
needs, and difficulties in dressing. In MAPLe-AC the
nursing home risk is active if there are 3 or more risks
activated whereas in the MAPLe-HC the cut-off is 4 or
more. The MAPLe-AC algorithm produces five main
categories from low priority level to very high priority
level. The MAPLe-AC algorithms were calculated for
three points based on the patient’s care episode infor-
mation on pre-morbid, admission, and day 7 or dis-
charge if earlier. admission), status 24 hours pre-discharge or the 7th day
whichever comes first, and the day when the assignment
to “alternate level of care” is made for those who remain
in hospital but do not require acute care. The last
assessment point was not used in this study. Algorithm cross-walk The infor-
mation concerning pre-morbid and admission status are
collected during the first 24 hours in hospital and the
second time on the day of discharge or the 7th day of
hospitalization, whichever came first. Sources of data are
the elderly patients (through direct observation and/or
interview), their relatives, patient records, or home care
staff, whichever are available for the assessor. The MAPLe-AC algorithm was developed to mirror
the MAPLe-HC wherever possible. The MAPLe-HC
algorithm utilizes 44 interRAI-HC items [20], but only
31 of those were directly available in the acute care
instrument. Figure 1 provides a schematic representa-
tion [20] of the MAPLe-AC algorithm cross-walked to
the MAPLe-HC algorithm. The modification from
MAPLe-HC to MAPle-AC was conducted by the origi-
nal developers of MAPLe-HC and first author of this
paper. The measures used in creating the algorithm
were ADL impairment, cognitive impairment, behavior
disturbance (verbally or physically abusive, socially inap-
propriate behavior, resists care), decline in decision
making, problems with medication management, pres-
sure ulcers, falls, problems with meal preparation, diffi-
culty swallowing, and the RAI-HC’s nursing home risk
care-planning protocol. The items that were available in
interRAI-HC but not in interRAI-AC were inadequate
meals as co-classifier with swallowing problems and
falls; wandering as co-classifier with risk for institutional
care, environment problems as a co-classifier with medi-
cation management, and stasis ulcers as co-classifier Data Two data sets were used to create and test the MAPLe-
AC algorithm. The first data set was from an acute hospi-
tal care study conducted in one hospital in each of five
Nordic countries: Denmark, Finland, Iceland, Norway
and Sweden in 2000-2001 (later referred to as Nordic
hospitals) which each served a defined geographical area
[3,26]. The second data set was from a study conducted
in eight acute care hospitals in the province of Ontario,
Canada in 2001. The MAPLe-AC algorithm was created
using the Nordic data set which subsequently was applied
to the Canadian data set for validation. ADL impairment (ADL _H=1+)
Behavioral
symptoms
No ADL impairment
(ADL_H=0)
Behavioral
symptoms
No behavioral
symptoms
Cognition
problems
(CPS>=3)
Falls
Mild cognition problems
(CPS<=1
Behavioral symptoms
HIGH
No behavioral
symptoms
No falls
No behavioral symptoms
Deterioration in desicion
making skills
HIGH
Risk for
institutional
care
Cognition
problems
(CPS<=2)
No desicion making
deterioration
Medication problems
MODER. No risk for
institutional
care
Swallowing
problem or
falls
No medication problems
Pressure ulcer
No swallowing
problem,
no falls
No pressure ulcer
Geriatric screener:
impaired
Help in meal
preparations
Geriatric screener: self
realiant
No help in meal
preparation
Cognition problems (CPS>=2)
VERY HIGH
VERY HIGH
VERY HIGH
VERY HIGH
HIGH
HIGH
HIGH
HIGH
MODER. MODER. LOW
MILD
Figure 1 Schematic representation of the MAPLe-AC algorithm based on client characteristics, see also Hirdes et al. 2008 [20]. hematic representation of the MAPLe-AC algorithm based on client characteristics, see also Hirdes et al. 2008 [20]. Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Page 4 of 14 In both studies the data collection was based on inter-
RAI-AC v1.1 assessments [13]. In the Nordic study, two
assessors (nurse-nurse or nurse-doctor pairs) in each
country were trained by the researchers, and the inter-
RAI-AC instrument and manual were translated from
English to each of the Nordic languages by experienced
translators of the interRAI tools [26]. In the Canadian
study, there was one nurse assessor who was trained in
doing the assessments in each hospital. reason for hospital care, the following variable was used:
having a new problem, exacerbation of existing problem,
or both new and old problem (one or more). Ethical considerations The Nordic study plan was reviewed by ethical commit-
tees in each of the Nordic countries and informed con-
sent was asked either from the person admitted or a
proxy if the person was too sick. The pre-morbid infor-
mation was collected retrospectively in the 24 hours
after admission. The Canadian study plan was reviewed
by University of Waterloo Office of Research Ethics, and
informed consent was sought from the person admitted
or proxy. The analyses conducted for this article are
consistent with the purposes of the original studies, to
test instrument suitability and applicability for decision
making support in acute hospital care settings. Participants
h
d ROC (Receiver Operating Character) curves have been
used in visualizing a classifier’s performance in order to
select a suitable operating point, or decision threshold
[28], and it is more commonly used in medical decision
making [29]. A ROC curve is a two-dimensional depic-
tion of classifier performance (i.e., predictive accuracy)
and it indicates true positive and false positive rates. The
Area Under ROC (AUC) gives the scalar value of perfor-
mance varying from 0 to 1.0, and usually falls between
0.5 (50% sensitivity and 50% specificity) or 1.0 (100% sen-
sitivity and 100% specificity). For each of the logistic ana-
lyses (SAS9.2) ROC curves were calculated of which
AUC’s are reported by c-statistics in Tables 2 and 3. The Nordic study was carried out in acute medical care
in hospitals serving defined communities, one in each of
the Nordic countries, with catchment areas of at least
90,000 persons [3,26]. The prospective study design
included people aged 75 years or older (n = 763) who
were admitted to hospital for acute medical care. Those
in critical condition or who were admitted directly to
intensive care were excluded. Participants were randomly selected from admission
lists and the patients were assessed within 24 hours with
interRAI-AC instrument. The data collectors reviewed
the hospital records, interviewed and observed the cli-
ents, and interviewed relatives and staff. The patients
were followed up until one year after initial admission. One year follow-up data of site of residence and mortal-
ity was collected from hospital registers, contacting the
person or proxy, or from national registers. For assessing the performance of the MAPLe-AC pre-
dictions for outcomes, the ROC Curves were also calcu-
lated for MAPLe-AC’s as continuous variables in
bivariate models in the Nordic hospital data set. Values
of AUC are presented in Table 4 and the respective
ROC Curves in Figures 2 and 3. The Canadian study included people aged 75 years or
older (n = 393) admitted to acute internal medical or
combined medical-surgical services and assessments
were done during the hospital stay and at discharge
with interRAI-AC (v1.1) instrument, but without further
follow-up. Survival models for days to death (up to 365 days)
were estimated with Cox regression (561 survivors and
202 deaths). Statistical analyses were conducted by using
SAS for Windows 9.1 and 9.2 (SAS Institute Inc., Cary,
NC, USA). Statistical analyses The MAPLe-AC algorithm was created for the three
first assessment time points (pre-morbid, admission, and
7th day or discharge), and their predictive values for var-
ious outcomes were tested in the Nordic sample. The
main outcomes were either discharge home or adverse
outcomes like discharge to institution or death. The one
year outcomes were available only for the Nordic data
and those were: living at home, or adverse outcome
combining nursing home placement and/or death. The
analyses involved cross-tabulations with Chi-squared
tests of significance for categorical variables and means
with t-tests for continuous variables (see Table 1). Tests
for the predictive value of the MAPLe-AC at discharge
and one year follow-up involved both bivariate and mul-
tivariate logistic regression models. The multivariate
models include sex and age as dummy variables classi-
fied to four groups with the youngest age group being
the reference. As a crude co-morbidity adjuster for the Data This vari-
able was available in interRAI-AC (v1.1) and earlier
research indicates that co-morbidities are associated
with poor short- and long-term outcomes of intensive
hospital care [27]. The very high priority level in
MAPLe-AC was used as reference value for analyses of
discharge home and living at home at one year, and the
low priority level was used as reference value for adverse
outcomes and in Cox regression. - follow-up data not collected. Results The Nordic (n = 763) and Canadian (n = 393) study
populations did not statistically differ with respect to
sex, age or earlier hospitalization (Table 1), or length of Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Page 5 of 14 Table 1 Basic characteristics of acute care patients and outcomes of their care between Nordic and Canadian hospita
Nordic hospitals, in 2000-2001
(n = 763)
Canadian hospitals, in 2001
(n = 393)
Nordic vs. Canadian
hospitals
n
%
n
%
p <
Women
497
65.1
234
59.5
0.267
Age 75-79
203
26.6
84
21.4
Age 80-84
232
30.4
119
30.3
Age 85-89
210
27.5
116
29.5
Age 90+
118
15.5
74
18.8
0.172
Lived alone at admission
468
61.3
117
29.8
0.000
Earlier hospitalization (past 90 days)
239
31.3
123
31.8
0.993
Reason hospitalization
New problem
304
39.9
211
53.7
Exacerbation of existing problem
298
39.1
126
32.1
Both new and old problem
160
21.0
56
14.3
0.000
Outcome at discharge
Home
626
82.0
197
50.1
Institution
81
10.6
109
27.7
Dead
42
5.5
46
11.7
Other
14
1.8
41
10.4
0.000
Outcome at one year
Home
426
55.8
-
Institution
79
10.4
-
Dead
202
26.5
-
Other
56
7.3
-
-
MAPLe-AC pre-morbid
Low
301
39.4
124
31.6
Mild
79
10.4
45
11.5
Moderate
184
24.1
88
22.4
High
151
19.8
92
23.4
Very high
48
6.3
44
11.2
0.006
MAPLe-AC admission
Low
91
11.9
57
14.5
Mild
65
8.5
37
9.4
Moderate
341
44.7
119
30.3
High
193
25.3
118
30.0
Very high
73
9.6
62
15.8
0.000
MAPLe-AC 7th day or discharge
Low
176
23.1
59
15.6
Mild
101
13.7
37
9.8
Moderate
237
31.1
105
27.8
High
181
23.7
108
28.6
Very high
68
8.9
69
18.3
0.000
- follow-up data not collected. Table 1 Basic characteristics of acute care patients and outcomes of their care between Nordic and Canadian hospitals
Nordic hospitals, in 2000-2001
Canadian hospitals, in 2001
Nordic vs. Canadian Basic characteristics of acute care patients and outcomes of their care between Nordic and Canadi ristics of acute care patients and outcomes of their care between Nordic and Canadian hospitals tients and outcomes of their care between Nordic and Canadian hospitals Page 6 of 14 Noro et al. Results BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Page 7 of 14 Table 2 Predicting discharge home or living at home at one year by MAPLe-AC based on pre-morbid, admission and
7th day or discharge information in multivariate regression analyses adjusted for sex, age and reason for hospitaliza-
tion (Continued) Table 2 Predicting discharge home or living at home at one year by MAPLe-AC based on pre-morbid, admission and
7th day or discharge information in multivariate regression analyses adjusted for sex, age and reason for hospitaliza-
tion (Continued)
Mild
9.46
3.79
23.61
36.40
10.11
132.56
3.33
1.67
6.64
Moderate
2.83
1.59
5.06
5.83
2.57
13.23
1.77
0.98
3.20
High
2.24
1.23
4.07
4.77
2.88
10.93
1.45
0.79
2.67
Very high
1.00
1.00
1.00
Tests
Pre-
morbid
Admission
7th day/
discharge
Pre-
morbid
Admission
7th day/
discharge
Pre-
morbid
Admission
7th day/
discharge
R-square, %
16.5
13.1
17.0
25.0
30.6
39.2
13.9
9.0
9.7
c-statistics (AUC)
0.74
0.71
0.73
0.76
0.78
0.83
0.68
0.65
0.66
1 OR = Odds Ratio, 2 CI = Confidence Interval. 1 OR = Odds Ratio, 2 CI = Confidence Interval. pre-morbid and 7th day or discharge information. When
we compared Nordic and Canadian hospitals, at each
assessment time the Canadian patients with moderate
and high priority levels consistently had higher probabil-
ity of being discharged home than the Nordic patients. stay in mean + std days 12.7+21.0 vs. 14.5+18.2, p =
.361. However, the Nordic patients were more likely to
live alone (61%) before admission compared to the
Canadians (30%). There was also significant difference
with respect to the reason for admission to hospital. For
half of the Canadian admissions it was a new problem
(54%), and in the Nordic sample it was more often an
exacerbation of an old problem (39%), or both a new
and an old problem (21%). The MAPLe-AC algorithm on pre-morbid, admission,
and 7th day or discharge predicted living at home at one
year (Table 2). The strongest predictions were found
with pre-morbid information, in which those in low
priority level had 9.8 times higher odds of living at
home at one year. Those in high priority level had 3.4
fold higher probability of living at home than those in
very high priority level. Results The MAPLe-AC based on
admission information gave higher odds (OR = 6.14) for
those in the mild priority level than those in low priority
level (OR = 3.51) to live at home at 1 year compared
with the very high priority level, although confidence
intervals for these point estimates overlap. Most of the Nordic patients were discharged home,
5.5% died during the hospital episode, and one in ten
was discharged to institutional care. One in two of the
Canadians were discharged home, one in three was dis-
charged to an institution and 11.7% died during the epi-
sode. In the Nordic data set, at one year one in two
persons was living at home, one in ten was living in an
institution, and 27% had died (Table 1). After creating and calculating the new MAPLe-AC
algorithms for all three time points in both data sets,
the priority levels were significantly higher in the Cana-
dian sample compared with the Nordic sample. As to
the pre-morbid situation, almost one in two persons was
classified in a low or mild priority level, but on admis-
sion people were mostly in a moderate to high priority
level, and on day 7 or at discharge there was an increase
in Nordic hospitals in the proportion of low or mild
priority levels compared to Canadian sample. However,
a slightly higher proportion of persons were in high or
very high priority levels during the pre-morbid period in
the Canadian sample (Table 1). The c-statistics indicating AUC’s were similar with
Nordic and Canadian hospitals in pre-morbid (0.74 vs. 0.76), but when using admission assessments the Cana-
dian hospitals yielded higher values (0.78 vs. 0.71). Simi-
lar results were evident for the assessments on the 7th
day or discharge (0.83 vs. 0.73). For the one year out-
come in Nordic hospitals, the AUC’s were lower than
discharge home for each measurement point (0.68 vs. 0.74; 0.65 vs. 0.71; 0.66 vs. 0.73). MAPLe-AC predicted adverse outcomes at discharge
in a similar way in both data sets, although the odds
ratios were higher in the Nordic data. The likely reason
is that there were fewer persons with adverse outcomes
in Nordic hospitals compared with persons in Canadian
hospitals (Table 3). Results BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Table 2 Predicting discharge home or living at home at one year by MAPLe-AC based on pre-morbid, admission and
7th day or discharge information in multivariate regression analyses adjusted for sex, age and reason for
hospitalization discharge home or living at home at one year by MAPLe-AC based on pre-morbid, admission and
ge information in multivariate regression analyses adjusted for sex, age and reason for Table 2 Predicting discharge home or living at home at one year by MAPLe-AC based on pre-morbid, admission and
7th day or discharge information in multivariate regression analyses adjusted for sex, age and reason for
hospitalization
Discharged home
Living home at one year
Nordic hospitals, in 2000-2001
Canadian hospitals, in 2001
Nordic hospitals, in 2000-2001
n
626/137
197/196
426/295
Pre-morbid information
OR1
95% CI2
OR
95% CI
OR
95% CI
Sex (Women = 1)
1.12
0.74
1.69
1.31
0.83
2.08
1.28
0.92
1.78
Age 75-79
1.00
1.00
1.00
Age 80-84
0.82
0.47
1.45
0.94
0.50
1.77
1.02
0.67
1.55
Age 85-89
0.86
0.49
1.52
0.50
0.26
0.94
0.92
0.59
1.41
Age 90+
0.61
0.33
1.13
0.29
0.14
3.73
0.67
0.40
1.11
Reason for hospitalization
New problem
1.00
1.00
1.00
Exacerbation of existing
problem
1.46
0.91
2.32
2.26
1.37
3.73
0.79
0.55
1.13
Both new and old problem
0.76
0.47
1.25
0.71
0.35
1.43
0.77
0.50
1.19
MAPLe-AC pre-morbid
Low
12.20
5.68
26.30
11.60
4.53
29.71
9.76
4.57
20.82
Mild
4.23
1.89
9.85
10.89
3.75
31.64
4.13
1.78
9.57
Moderate
2.38
1.22
4.67
5.39
2.08
13.97
3.46
1.60
7.45
High
2.08
1.05
4.12
3.10
1.20
8.03
3.44
1.57
7.55
Very high
1.00
1.00
1.00
Admission information
OR
95% CI
OR
95% CI
OR
95% CI
Sex
1.20
0.80
1.80
1.18
0.73
1.88
1.35
0.97
1.87
Age 75-79
1.00
1.00
1.00
Age 80-84
0.74
0.43
1.28
0.88
0.46
1.67
0.91
0.60
1.38
Age 85-89
0.85
0.48
1.50
0.51
0.26
0.97
0.86
0.56
1.31
Age 90+
0.54
0.30
1.00
0.35
0.17
0.75
0.57
0.35
0.94
Reason for hospitalization
New problem
1.00
1.00
1.00
Exacerbation of existing
problem
1.21
0.77
1.91
1.92
1.15
3.20
0.67
0.48
0.95
Both new and old problem
0.68
0.42
1.10
0.59
0.29
1.21
0.68
0.45
1.04
MAPLe-AC admission
Low
11.63
3.77
35.88
9.39
3.84
22.94
3.51
1.74
7.10
Mild
8.77
2.84
27.13
25.80
7.60
87.64
6.14
2.76
13.69
Moderate
3.67
2.07
6.51
4.70
2.27
9.72
2.95
1.66
5.24
High
1.69
0.94
3.02
1.65
0.79
3.46
1.79
0.98
3.26
Very high
1.00
1.00
1.00
7th day or discharge
information
OR
95% CI
OR
95% CI
OR
95% CI
Sex
1.12
0.74
1.69
0.94
0.55
1.61
1.31
0.95
1.81
Age 75-79
1.00
1.00
1.00
Age 80-84
0.79
0.45
1.39
0.81
0.37
1.77
0.97
0.64
1.47
Age 85-89
0.88
0.50
1.56
0.39
0.18
0.85
0.89
0.58
1.36
Age 90+
0.62
0.34
1.15
0.45
0.18
1.06
0.64
0.39
1.05
Reason for hospitalization
New problem
1.00
1.00
1.00
Exacerbation of existing
problem
1.27
0.80
2.02
2.77
1.52
5.07
0.69
0.49
0.98
Both new and old problem
0.77
0.47
1.26
0.74
0.34
1.62
0.73
0.48
1.12
MAPLe-AC 7th day or discharge
Low
19.11
7.31
50.00
49.98
15.27
163.63
4.23
2.22
8.07 Noro et al. Results In the pre-morbid, 7th day or dis-
charge assessments, the risk for adverse outcome was
higher among those in high or very high priority levels
in the pre-morbid (OR 19.31 vs. 10.79) and in 7th day or
discharge assessment (OR 51.7 vs. 11.1). At admission,
those in moderate (OR 5.69) to very high priority levels
(OR 22.5) had higher risk for adverse outcomes in Nor-
dic hospitals, but in Canadian hospitals only those in For each time point, MAPLe-AC scores were predic-
tive of discharge home, with similar directions and mag-
nitudes of relationships in both data sets (Table 2). The
exacerbation of an old problem was statistically signifi-
cantly predictive of discharge home among persons in
Canadian hospitals. In both data sets, those belonging to
low or mild priority levels had the highest chance of
being discharged home. There was also increased likeli-
hood of going home for those in high priority levels
compared with very high priority levels both based on Page 8 of 14 Noro et al. Results BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39
Page 9 of 14 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Page 9 of 14 Table 3 Predicting adverse outcome (death or institutionalization) at discharge and at one year by MAPLe-AC based
on pre-morbid, admission and 7th day or discharge information in multivariate regression analyses adjusted for sex,
age and reason for hospitalization (Continued)
Low
1.00
1.00
Mild
4.22
0.80
22.23
1.89
1.02
3.49
Moderate
18.06
4.29
75.99
1.00
3.30
2.01
5.43
High
25.09
5.95
105.89
4.83
2.83
8.25
5.61
3.34
9.41
Very high
51.71
11.70
228.66
11.07
5.76
21.29
8.45
4.36
16.39
Tests
Pre-
morbid
Admission
7th day/
discharge
Pre-
morbid
Admission
7th day/
discharge
Pre-
morbid
Admission
7th day/
discharge
R-square, %
19.9
14.7
20.3
23.4
29.5
30.1
20.5
14.6
16.1
c-statistics (AUC)
0.76
0.73
0.76
0.75
0.78
0.78
0.73
0.69
0.70
1 OR = Odds Ratio, 2 Confidence Interval. Table 3 Predicting adverse outcome (death or institutionalization) at discharge and at one year by MAPLe-AC based
on pre-morbid, admission and 7th day or discharge information in multivariate regression analyses adjusted for sex,
age and reason for hospitalization (Continued) high (OR 6.73) or very high priority levels (OR 8.01) had
higher risk for adverse outcomes. The c-statistics indi-
cating AUC’s were similar with Nordic and Canadian
hospitals in pre-morbid (0.76 vs. 0.75), admission (0.73
vs. 0.78) and 7th day or discharge (0.76 vs. 0.78) assess-
ments. For one year outcome in Nordic hospitals, the
AUC’s were a bit lower compared to the initial episode
(pre-morbid 0.73 vs. 0.76; admission 0.69 vs. 0.73, 7th
day or discharge 0.70 vs. 0.76). When comparing AUC’s
regarding predicted outcome, the AUC’s were higher for
discharge home for Canadian hospitals and higher for
adverse outcome for Nordic hospitals. outcome at one year compared to adverse outcome at
discharge (pre-morbid 0.71 vs. 0.74; admission 0.66 vs. 0.70; 7th day or discharge (0.68 vs. 0.77) were lower. The
AUCs were somewhat higher in logistic models adjusted
for sex, age, and reason for hospitalization for one year
outcomes (Tables 2 and 3) than when the MAPLe-AC’s
were used as continuous variables in the models. The survival models indicate that MAPLe-AC is pre-
dictive of days to death (Table 5). Results Males had higher risk
of dying sooner than women, as were those having
chronic problems, or both a new and an old problem. The higher risk for death was associated with neoplasms
and diseases of the respiratory system, but having a diag-
nosis of mental and behavioral diseases decreased likeli-
hood of death. Having adjusted for all these conditions,
MAPLe-AC in all three assessment points still had pre-
dictive power for time to death, especially for those in
high or very high priority levels. In the pre-morbid
assessment point those in moderate priority level also
had higher hazard of dying (HR 1.76), and in the 7th day
or discharge assessment those in mild (HR 1.78) or mod-
erate (HR 1.77) priority level. The hazard ratio of dying
increased with each increment in priority level. The AUC’s were also estimated for MAPLe-ACs as
continuous variables without adjustment. Table 4 and
Figures 2 and 3 present the analyses of ROC curves illu-
strated by AUC (c-statistics). The AUC’s for MAPLe-
AC as continuous variable varied from (0.71, 0.68, 0.71)
for discharge home and (0.74, 0.70, 0.77) for adverse
outcome. The AUC’s for one year outcomes, living at
home were lower compared to discharge home AUC’s
(pre-morbid 0.67 vs. 0.71; admission 0.62 vs. 0.68; 7th
day or discharge 0.64 vs. 0.71). AUC’s for adverse Table 4 Predictive accuracy of the MAPLe-AC in
predicting discharge and one year outcomes illustrated
by Area under ROC curves (c-statistics) Results BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Table 3 Predicting adverse outcome (death or institutionalization) at discharge and at one year by MAPLe-AC based
on pre-morbid, admission and 7th day or discharge information in multivariate regression analyses adjusted for sex,
age and reason for hospitalization Table 3 Predicting adverse outcome (death or institutionalization) at discharge and at one year by MAPLe-AC based
on pre-morbid, admission and 7th day or discharge information in multivariate regression analyses adjusted for sex,
age and reason for hospitalization Table 3 Predicting adverse outcome (death or institutionalization) at discharge and at one year by MAPLe-AC based
on pre-morbid, admission and 7th day or discharge information in multivariate regression analyses adjusted for sex,
age and reason for hospitalization
Adverse outcome at discharge
Adverse outcome at one year
Nordic hospitals, in 2000-2001
Canadian hospitals, in 2001
Nordic hospitals, in 2000-2001
n
123/640
155/238
281/492
Pre-morbid information
OR1
95% CI2
OR
95% CI
OR
95% CI
Sex (Women = 1)
1.15
0.74
1.78
0.72
0.45
1.15
0.66
0.47
0.92
Age 75-79
1.00
1.00
1.00
Age 80-84
1.21
0.66
2.21
0.92
0.48
1.78
1.02
0.66
1.58
Age 85-89
1.22
0.67
2.25
1.61
0.84
3.07
0.98
0.63
1.53
Age 90+
1.66
0.87
3.16
2.56
1.23
5.31
1.24
0.75
2.07
Reason for hospitalization
New problem
1.00
1.00
1.00
Exacerbation of existing
problem
0.83
0.51
1.36
0.64
0.38
1.97
1.27
0.88
1.84
Both new and old problem
1.39
0.83
2.35
1.32
0.67
2.60
1.78
1.16
2.73
MAPLe-AC pre-morbid
Low
1.00
1.00
1.00
Mild
3.50
1.36
9.03
1.42
0.62
3.25
2.82
1.62
4.91
Moderate
8.58
4.13
17.83
2.71
1.42
5.16
3.45
2.24
5.31
High
9.39
4.50
19.57
5.15
2.75
9.66
5.03
3.21
7.88
Very high
19.31
8.13
45.87
10.79
4.66
25.00
17.25
7.99
37.20
Admission information
OR
95% CI
OR
95% CI
OR
95% CI
Sex (women = 1)
1.06
0.69
1.64
0.81
0.51
1.31
0.64
0.46
0.88
Age 75-79
1.00
1.00
1.00
Age 80-84
1.39
0.77
2.50
1.58
0.81
3.07
1.15
0.76
1.75
Age 85-89
1.23
0.68
2.23
2.34
1.11
4.92
1.03
0.67
1.59
Age 90+
1.93
1.02
3.65
0.79
0.47
1.34
1.43
0.87
2.36
Reason for hospitalization
New problem
1.00
1.00
1.00
Exacerbation of existing
problem
1.04
0.65
1.67
0.79
0.47
1.34
1.47
1.03
2.11
Both new and old problem
1.60
0.96
2.67
1.77
0.88
3.55
1.97
1.30
2.99
MAPLe-AC admission
Low
1.00
1.00
1.00
Mild
1.97
0.32
12.20
0.42
0.10
1.68
0.89
0.39
2.02
Moderate
5.69
1.34
24.11
1.43
0.61
3.32
1.78
0.99
3.19
High
12.56
2.96
53.29
6.73
2.97
15.24
3.79
2.06
6.98
Very high
22.54
5.06
100.43
8.01
3.23
19.88
7.78
3.70
16.35
7th day or discharge
information
OR
95% CI
OR
95% CI
OR
95% CI
Sex
1.13
0.73
1.75
0.85
0.52
1.39
0.65
0.47
0.90
Age 75-79
1.00
1.00
1.00
Age 80-84
1.27
0.70
2.33
0.88
0.44
1.77
1.08
0.70
1.65
Age 85-89
1.17
0.64
2.14
1.36
0.68
2.69
1.02
0.66
1.57
Age 90+
1.65
0.87
3.13
2.12
0.98
4.58
1.26
0.76
2.09
Reason for hospitalization
New problem
1.00
1.00
1.00
Exacerbation of existing
problem
0.99
0.61
1.61
0.78
0.46
1.35
1.44
1.00
2.06
Both new and old problem
1.41
0.84
2.37
2.00
0.99
4.06
1.82
1.20
2.77
MAPLe-AC 7th day or discharge Noro et al. Discussion Table 4 Predictive accuracy of the MAPLe-AC in
predicting discharge and one year outcomes illustrated
by Area under ROC curves (c-statistics)
Discharge outcome
One year outcome
Home
Adverse
outcome
Living at
home
Adverse
outcome
n
626/137
123/640
426/295
281/492
MAPLe-AC pre-
morbid
0.71
0.74
0.67
0.71
MAPLe-AC
admission
0.68
0.70
0.62
0.66
MAPLe-AC 7th day
or discharge
0.71
0.77
0.64
0.68
MAPLe-AC’s as continuous variables without adjustment in univariate logistic
regressions in Nordic sample. The MAPLe-AC algorithm predicts both positive and
adverse outcomes and time to death for older people, 75
years of age or older, in acute care at discharge and at
one year follow-up, regardless of the country. In addition
to cognitive and physical limitations, chronic conditions
are of importance with regards to outcomes, especially at
one year. The predictive accuracy was higher for out-
comes at discharge, but lower for outcomes after one
year. There were some differences between Nordic and
Canadian hospitals for predicting discharge outcome. The MAPLe-AC predicted slightly better for discharge
home outcome for Canadian hospitals, but for Nordic
hospitals for adverse outcome at discharge. Page 10 of 14 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 When case-mix indexes for acute hospital care have
cognitive performance are included as they are the basic
Discharge Home: MAPLe-AC pre-morbid
Adverse outcome on discharge: MAPLe-AC pre-morbid
Discharge Home: MAPLe-AC admission
Adverse outcome on discharge: MAPLe-AC admission
Discharge Home: MAPLe-AC 7th day or discharge
Adverse outcome on discharge: MAPLe-AC 7th day or discharge
Figure 2 ROC curves for discharge outcomes using MAPLe-AC algorithm as continuous variable without adjustment in logistic
regression analysis. Discharge Home: MAPLe-AC pre-morbid Adverse outcome on discharge: MAPLe-AC pre-morbid Discharge Home: MAPLe AC admission Adverse outcome on discharge: MAPLe AC admission Adverse outcome on discharge: MAPLe-AC 7th day or discharge Discharge Home: MAPLe-AC 7 day or discharge Figure 2 ROC curves for discharge outcomes using MAPLe-AC algorithm as continuous variable without adjustment in logistic
regression analysis. or discharge outcomes using MAPLe-AC algorithm as continuous variable without adjustment in logistic When case-mix indexes for acute hospital care have
been tested and outcomes assessed, one of the most pre-
dictive factors has been functional capacity, including
both physical and cognitive function [2,15,16,18]. Discussion In cal-
culation of the MAPLe-AC algorithm, ADLs and cognitive performance are included as they are the basic
classifiers along with behavioral symptoms. In many
studies, co-morbidity, falls, incontinence, nutrition,
pressure ulcers, and instrumental activities of daily liv-
ing (IADLs) have also been found to contribute to the Page 11 of 14 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 explanation of use of services and outcomes of hospital
MAPLe-AC algorithm is not intended to be as a case-
Living home at one year: MAPLe-AC pre-morbid
Adverse outcome at one year: MAPLe-AC pre-morbid
Living home at one year: MAPLe-AC admission
Adverse outcome at one year: MAPLe-AC admission
Living home at one year: MAPLe-AC 7th day or discharge
Adverse outcome at one year: MAPLe-AC 7th day or discharge
Figure 3 ROC curves for one year outcome using MAPLe-AC algorithm as continuous variable without adjustment in logistic
regression analysis. Adverse outcome at one year: MAPLe-AC pre-morbid Living home at one year: MAPLe-AC pre-morbid Adverse outcome at one year: MAPLe-AC admission Living home at one year: MAPLe-AC admission Adverse outcome at one year: MAPLe-AC 7th day or discharge Living home at one year: MAPLe-AC 7th day or discharge Figure 3 ROC curves for one year outcome using MAPLe-AC algorithm as continuous variable without adjustment in logistic
regression analysis. or one year outcome using MAPLe-AC algorithm as continuous variable without adjustment in logistic MAPLe-AC algorithm is not intended to be as a case-
mix system, but rather a decision-support tool for allo-
cation of geriatric services in acute care. The need for
equivalent measures for different care providers to inte-
grate the care of frail older people is met by this explanation of use of services and outcomes of hospital
care. By using these as hierarchical classifiers, MAPLe-
AC takes advantage of standardized data collection and
creates a hierarchical priority level decision making
tree [20]. Noro et al. Discussion BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 Page 12 of 14 Table 5 Predicting death by Cox-regression models during and after hospital stay in Nordic hospitals among elderly
patients (202/561) by MAPLe-AC based on pre-morbid, admission and 7th day or discharge information Table 5 Predicting death by Cox-regression models during and after hospital stay in Nordic hospitals among elderly
patients (202/561) by MAPLe-AC based on pre-morbid, admission and 7th day or discharge information
Pre-morbid information
Admission information
7th day or discharge information
Hazard Ratio
95% CI
p <
Hazard Ratio
95% CI
p <
Hazard Ratio
95% CI
p <
Sex (Women = 1)
0.61
0.46
0.46
0.001
0.58
0.44
0.78
0.000
0.60
0.45
0.79
0.000
Age 75-79
1.00
1.00
1.00
Age 80-84
1.17
0.79
0.79
0.428
1.23
0.83
1.83
0.299
1.18
0.80
1.75
0.409
Age 85-89
1.25
0.84
0.84
0.269
1.25
0.84
1.86
0.277
1.23
0.83
1.83
0.306
Age 90+
1.52
0.99
0.99
0.056
1.56
1.02
2.40
0.042
1.50
0.98
2.30
0.065
Reason for hospitalization
New problem
1.00
1.00
1.00
Exacerbation of existing problem
1.46
1.04
1.04
0.028
1.52
1.08
2.12
0.015
1.51
1.08
2.11
0.016
Both new and old problem
1.94
1.34
1.34
0.000
1.98
1.37
2.86
0.000
1.94
1.34
2.81
0.000
MAPLe-AC
Low
1.00
1.00
1.00
Mild
1.61
0.94
0.94
0.081
0.85
0.38
1.94
0.706
1.78
1.01
3.14
0.048
Moderate
1.76
1.19
1.19
0.005
1.31
0.76
2.25
0.328
1.77
1.11
2.82
0.017
High
2.82
1.88
1.88
0.000
2.26
1.29
3.94
0.004
2.69
1.67
4.34
0.000
Very high
3.70
2.21
2.21
0.000
2.71
1.44
5.09
0.002
3.63
2.08
6.35
0.000
Diagnoses (ICD-10)
Neoplasms
3.21
2.25
2.25
0.000
3.29
2.31
4.70
0.000
3.44
2.41
4.91
0.000
Mental and behavioral diseases
0.43
0.25
0.25
0.003
0.48
0.28
0.84
0.010
0.46
0.26
0.81
0.007
Diseases of the respiratory system
1.59
1.18
1.18
0.003
1.62
1.21
2.17
0.001
1.61
1.20
2.17
0.002 algorithm. Measures of clinical complexity like MAPLe-
AC are likely to be associated with quality and costs of
care over care pathways. Managing factors contributing
to complexity is critical to the independence of elderly
people, coordinating and funding services. conditions might change during one year. To adjust for
such changes, monitoring during the ensuing year
would be needed. In cases where the person enters
home care services after hospital discharge this monitor-
ing might be more easily provided. Discussion The MAPLe-AC
algorithm is created based on functioning irrespective of
diagnosis or treatment of the acute condition. However,
in the case of older people differentiating between frailty
and diagnoses is difficult [30] and thus having informa-
tion on both would be helpful. The MAPLe-AC was tested at three different time
points and the question is if one of them is more suita-
ble for use than another. Pre-morbid status reflects the
status when the person was able to live at home, and it
sets the baseline that possibly could be reached again
after the hospital episode. Admission status has multiple
variables that are in a dynamic transition between
health, illness, and recovery, so the algorithm is not as
stable as it is when it is based on pre-morbid status or
on day 7 or discharge status. The discharge assessment
is affected by many actions initiated during the hospital
stay, and it occurs after a few days of improvement
from the acute condition that resulted in the admission. If MAPLe-AC is applied for use as a discharge plan-
ning tool in acute care hospitals for determining dis-
charge destination it might indicate a better chance to
discharge home those in low or mild priority levels at
admission. The MAPLe-AC might also act as a stimulus
for potential problems and also for highlighting need for
rehabilitation and preventive services either during the
care episode in hospital or after discharge. However,
when MAPLe-AC indicates high or very high priority
level, there might be an increased risk of the older per-
son to die or end up in long-term institutional care or
end up waiting for the next site of care, particularly
when informal support networks are not available. Those with moderate or high priority levels might bene-
fit from more focused support systems for them and
their informal caregiver on discharge. The Area Under ROC curves for MAPLe-AC seem to
be higher for discharge status than one year outcomes. They were also higher for adverse outcomes. There may
be several reasons for this. Although the MAPLe-AC
algorithm does not include information on the acute ill-
ness, discharge outcome might be easier to predict due
to shorter follow-up time. At one year, especially among
older people, several acute episodes either for same or
different reason might change the situation of the per-
son. Discussion Additionally, chronic illnesses and/or their life A combination of pre-morbid and admission status
MAPLe-AC information could be considered for Page 13 of 14 Noro et al. BMC Medical Informatics and Decision Making 2011, 11:39
http://www.biomedcentral.com/1472-6947/11/39 discharge planning - the pre-morbid status to set the
priority level that might be achieved on discharge, and
admission status which would reflect improvement from
worsened admission status because of the acute illness. From the clinician’s point of view, the earliest possible
time point is desirable in predicting outcomes for triage
and planning care interventions. Using pre-morbid and
admission information elderly patients with higher and
persistent care needs can be identified in the beginning
of the acute care episode. Authors’ contributions
d
d AN, JWP and JPH designed, AN analyzed and wrote, JWP, JPH provided
consultation with statistical methods, HFS, PVJ, GL, MS, JB critically reviewed
manuscript, PJV, HFS, GL, MS, JB designed and conducted the Nordic-AC
study and JWP and JPH the Canadian study. All authors read and approved
the final manuscript. Author details
1A
i
d S 1Ageing and Services Unit, National Institute for Health and Welfare, P.O. Box
30, FI-00271 Helsinki, Finland. 2Department of Health Studies and
Gerontology, University of Waterloo, 200 University Avenue West, Waterloo,
N2L 3G1, Canada. 3Homewood Research Institute, 150 Delhi Street, Guelph,
ON N1E 6K9, Canada. 4Centre for Medical Knowledge, Unit for Analyses and
Comparisons, Stockholm County Council, Högbergsgatan 62, Stockholm (118
91), Sweden. 5Department of Learning, Informatics, Management and Ethics,
Karolinska Institutet, Berzelius Väg 3, Stockholm (17177), Sweden. 6Department of Medicine, Diakonhjemmet Hospital, Pb23 Vinderen, Oslo
(0319), Norway. 7Geriatric Department, Bispebjerg Hospital, Copenhagen
University, Bispebjerg Bakke 23, Copenhagen (2400), Denmark. 8Faculty of
Medicine, University of Iceland, Reykjavik, Iceland. 9Geriatric Department,
Landspitali University Hospital, Landakot 101, Reykjavik, Iceland. The MAPLe-AC algorithm uses fewer items than in
the original MAPLe-HC. The home environment ques-
tions, wandering, and dressing were not available in
interRAI-AC instrument. The environmental questions
are important when planning discharge and should be
taken into consideration in addition to MAPLe-AC
information, especially after a stroke or a hip fracture
and among high and very high priority clients. Further research is needed to define how best to use
the information the MAPLe-AC algorithm provides for
decision making in clinical practice. The MAPLe-AC
algorithm should not be an automatic decision-making
tool, but instead provide a chance to combine important
information over different periods during the acute hos-
pital episode, and provide information for the use of the
professionals in the care pathway of the older person
with acute illness. List of abbreviations
AC A
C
ADL A AC: Acute Care; ADL: Activities of Daily Living; AUC: Area Under ROC Curve;
CI: Confidence Interval; CPS: Cognitive Performance Scale; HC: Home Care;
HR: Hazard Ratio; IADL: Instrumental Activities of Daily Living; interRAI-AC:
interRAI Acute Care Assessment Instrument; interRAI-HC: interRAI Home Care
Assessment Instrument; MAPLe: Method for Assigning Priority Levels; MAPLe-
HC: Method for Assigning Priority Levels - Home Care; MAPLe-AC: Method
for Assigning Priority Levels - Acute Care; OR: Odds Ratio; ROC: Receiver
Operating Curve g
y
There are some limitations in our study. The data
were collected from different hospitals, one in each Nor-
dic country and eight in Ontario, Canada. There may be
differences in both who and how the patients are
admitted to hospital and also regarding discharge what
kind of support systems are available in the commu-
nities. There are country specific differences in availabil-
ity of informal care, which seemed to be higher among
older patients in Canadian hospitals. That might reflect
to our results in which discharge home had higher pre-
dictions (AUC’s where higher) for Canadian than Nordic
hospitals. There might be also differences in the overall
health of older population in different countries which
might affect the results. However, based on the frailty
and other risk factors, it seems that the MAPLe-AC
algorithm can set priority levels for acute care patients,
and there is certain tendency for predicting the dis-
charge destination or death during one year. Acknowledgements The authors want to express warm gratitude to the Nordic study
researchers: Anna Birna Jensdottir, Iceland; Else Vegnes Grue, Norway;
Elisabeth Jonsen and Gosta Bucht, Sweden. researchers: Anna Birna Jensdottir, Iceland; Else Vegnes Grue, Norway;
Elisabeth Jonsen and Gosta Bucht, Sweden. Funding for the Nordic study was received from the Nordic Lions Red
Feather Fund; The Nordic Council of Ministers; The Roikjer Fund, Denmark;
The Finnish Lions Fund, Finland; The Icelandic Lions Fund, Memorial Fund of
Helgu Jensdottur and Sigurlia Kristjanssonar, The Reykjavik Hospital Research
Fund, The St. Joseph’s Research Fund, Iceland; The Norwegian Medical
Society Quality Fund no. 2, Diakonhjemmet Hospital and Diakonhjemmet
University College, The Diakonhjemmet Research Fund, Norway; and The
Sweden’s Lions Fund, Sweden. Funding for the Canadian study was received
from the Health Transition Fund, Health Canada, and Dr. Hirdes participation
was supported by an Investigator Award from the Canadian Institutes for
Health Research (CIHR). The authors kindly acknowledge interRAI for use of
instruments and data. pp
y
g
Health Research (CIHR). The authors kindly acknowledge interRAI for use of
instruments and data. Conclusions The MAPLe-AC algorithm may provide support for
clinical decisions as early as at admission pointing
towards interventions needed to positively modify out-
comes of the hospital episode. Information from this
kind of tool could also be used in discussing with the
older persons the options of care and residence after
hospital stay. Use of the algorithm does not compete
with but supports actions that need to be taken to make
the care episode and discharge successful and by so
doing has a real possibility of unifying approach to simi-
lar needs and consequently enhancing quality of life of
the older person. Decision making tools of this nature require standar-
dized assessments and systematic data collection during
each acute hospital stay. Active seeking of pre-morbid
information is crucial. Well-designed integrated electronic
records might be helpful. In cases where earlier admissions
exist or home care services are already in use, it is easier to
receive relevant information, especially if systematic and
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Acute Care (MAPLe-AC) predicts outcomes of acute hospital care of
older persons - a cross-national validation. BMC Medical Informatics and
Decision Making 2011 11:39. doi:10.1186/1472-6947-11-39
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Acute Care (MAPLe-AC) predicts outcomes of acute hospital care of
older persons - a cross-national validation. BMC Medical Informatics and
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h Submit your next manuscript to BioMed Central
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and take full advantage of: 15. Covinsky KE, Justice AC, Rosenthal GE, Palmer RM, Landefeld CS: Measuring
prognosis and case mix in hospitalized elders. J Gen Intern Med 1997,
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The effect of breaches of the psychological contract on the job satisfaction and wellbeing of doctors in Ireland: a quantitative study
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Human resources for health
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Abstract Background: Medicine is one of the most popular college degrees at both undergraduate and postgraduate level. Despite this, morale and wellbeing in doctors at all levels internationally is reportedly low. Long hours and stressful
working environments have been implicated as the cause of this. The psychological contract is the implicit expecta-
tions and mutual obligations held between an employee and employer. Breaches in this contract can lead to strong
negative emotional responses. This study will examine the psychological contract of non-consultant doctors and gain
further insight into their job satisfaction and wellbeing. It aims to ascertain the effect of breaches of the psychological
contract on their job satisfaction and wellbeing. Methods: This is a quantitative study performed using a questionnaire on a closed online forum. Job satisfaction,
wellbeing and breaches of the psychological contract were measured using pre-existing and pre-validated scales. Statistical analysis was performed to determine the effect of breaches of the psychological contract on job satisfac-
tion and wellbeing. Results: This study ascertained that training and career development were the most important areas of the psycho-
logical contract for non-consultant doctors and training and organizational support the most important breaches. It
found, overall, positive levels of job satisfaction and wellbeing. A statistically significant relationship between breaches
of the psychological contract and job satisfaction and wellbeing was found. Results: This study ascertained that training and career development were the most important areas of the psycho-
logical contract for non-consultant doctors and training and organizational support the most important breaches. It
found, overall, positive levels of job satisfaction and wellbeing. A statistically significant relationship between breaches
of the psychological contract and job satisfaction and wellbeing was found. Conclusion: This study provides an insight into the psychological contract of non-consultant doctors in Ireland. By
doing so, it identifies areas for change which may improve their future job satisfaction and wellbeing. Conclusion: This study provides an insight into the psychological contract of non-consultant doctors in Ireland. By
doing so, it identifies areas for change which may improve their future job satisfaction and wellbeing. Keywords: Job satisfaction, Wellbeing, Psychological contract, Non-consultant doctors appropriately trained staff, rota gaps and reported lack of
continuity of care for patients [3, 5, 6]. In the late 1990s
and early 2000s it was hypothesized that changes in job
roles, increased medicolegal cases and lack of autonomy
were leading to reduced job satisfaction among doctors
[7]. © The Author(s) 2020. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which
permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the
original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or
other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line
to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory
regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this
licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativeco
mmons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. RESEARCH Open Access Abstract Working in an overstretched and under-resourced
health system may also lead to the demands of the job
outweighing job control and resources, leading to a fur-
ther reduction in job satisfaction [8]. Collins and Beauregard Hum Resour Health (2020) 18:89
https://doi.org/10.1186/s12960-020-00534-3 Collins and Beauregard Hum Resour Health (2020) 18:89
https://doi.org/10.1186/s12960-020-00534-3 The effect of breaches of the psychological
contract on the job satisfaction and wellbeing
of doctors in Ireland: a quantitative study Aedin Collins* and Alexandra Beauregard Introductionh The delivery of healthcare is constantly changing and
evolving, as are the pressures being placed on medi-
cal professionals. Within recent years, there has been
increasing concern regarding a decline in doctors’ well-
being [1–3]. Reported levels of burnout and stress and
psychological distress are high [2, 4]. This has mani-
fested in difficulties with recruitment and retainment of Postgraduate medical training in Ireland has also gone
through significant changes in the last 20 years. The
Buttimer report in 2006 identified the need to provide *Correspondence: aedincollins@gmail.com
Birkbeck, University of London, Malet St, Bloomsbury, London WC1E 7HX,
UK This may be leading to a change from a historical
relational contract among doctors to, if not a transac-
tional contract, at least a hybrid one. Similarly, while
doctors in non-consultant positions and training may
have a relational contract with the overall health system
in which they plan to work and develop their careers,
they move hospitals and departments very regularly—
every two to three months in some cases—so within
their current workplace they may have a transactional
contract [18]. Of doctors who remain in Ireland, over one-third have
reported some degree of psychological distress, with
depression being reported in 7.1%, anxiety in 6.1% and
stress in 9.5% [15]. These levels are significantly higher
in non-consultant doctors than in consultants and are
2.5 times that of the general population [15]. The term
non-consultant doctors incorporates both doctors in offi-
cial training schemes and those working as senior house
officers, registrars or fellows in stand-alone posts. fi
Ireland has been in a period of austerity since 2008. From 2009 to 2013, funding to the Health Service fell by
3.3 billion euros and staffing levels fell by 10% [8]. This
has resulted in a health system under pressure, with
reduced bed numbers and rising waiting list times [8]. Non-consultant doctors in Ireland have practised mainly
within this time of austerity and within a health system
struggling to meet the needs of its population, with sig-
nificant reductions in public sector salaries over this time
[12].h When one party in the employment relationship fails
to fulfil their obligations toward the other, breach is
said to occur. Breaches in the psychological contract
that have a severe negative emotional effect on the
employee are known as violations [19]. In professions
other than medicine, psychological contract breach
has been associated with decreased work commitment,
engagement, trust, job satisfaction and emotional well-
being among employees [20]. Breaches are more com-
monly seen in the public sector and large organizations
[21], but there has to date been very little research on
the psychological contract and the potential implica-
tions of breach among doctors.h This study will use psychological contract theory as
a lens through which to examine determinants of job
satisfaction and wellbeing among non-consultant doc-
tors in Ireland. Collins and Beauregard Hum Resour Health (2020) 18:89 Page 2 of 8 Page 2 of 8 attractive training facilities with high-quality schemes to
result in fully qualified doctors able to deliver the health
needs of the population of Ireland [9]. This resulted in the
formalization of training agreements with both hospitals
and postgraduate training bodies. However, there is no
clear career path after the completion of training, with
consultant posts not always available at this stage. Ireland
currently has the lowest number of consultants per cap-
ita in the EU [10]. In addition, Ireland has been amongst
the slowest countries in implementing the European
Working Time Directive [11]. As a result of that, many
Irish doctors still do 24-hour on-call shifts and work in
a classic team structure—consultant, registrar and sen-
ior house office. This is in contrast with, for example, the
NHS, where most junior doctors work in shift patterns. There is a significant issue with retention of doctors in
Ireland, the normalization of extreme working hours
identified as a key driver of doctor emigration and a key
deterrent of repatriation [12, 13] has been implicated as
a cause for significant issues with retention of doctors in
Ireland [14]. as working overtime will be rewarded in the longer
term [17]. Mutual investment by both employee and
employer is at the core of a relational contract [16]. In
contrast, transactional contracts are considered more
common in short-term employment or roles with spe-
cific, defined duties, e.g., if an employee works a certain
number of hours, they expect a certain amount of pay. An employee with a transactional contract is less likely
to work outside their job role, they find the prospect of
finding work elsewhere less concerning and they are
more likely to move organizations frequently [16, 17]. A third form of psychological contract, known as the
hybrid or balanced contract, combines the time frame
and mutual rewards of a relational contract with the
specified demands of a transactional one [16]. i
In one previous study on the psychological contract
of doctors, Bunderson described how contracts might
change from relational to transactional [18]. Recent
research suggests that doctors may no longer view their
career as simply a vocation, but instead have expecta-
tions of an acceptable work–life balance and appropri-
ate financial rewards for the level of effort expended
[12]. Job satisfaction
S
f
it Scores for items in the Job Satisfaction Scale are displayed
in Table 1. Composite job satisfaction scores have a
potential range of 13–78. Results from this cohort ranged
from 19 to 74 with a mean of 48 (SD of 11.52), indicating
an overall positive level of job satisfaction among non-
consultant doctors. For individual items, satisfaction with
personal relationships with co-workers scored highest
with a mean score of 4.95 (SD 1.04) out of a maximum
score of 6. Other high-scoring elements included the
‘work you do’ with a mean of 4.34 (SD 1.33), functioning
of work team with a mean of 4.28 (SD 1.25) and coordi-
nation of the team with a mean of 4.23 (SD 1.23). Human
resource management and hospital/practice manage-
ment scored the lowest of the 14 domains with means of
2.52 (SD 1.5) and 2.61 (SD 1.36), respectively. The Flourishing Scale is an indicator of overall psycho-
logical wellbeing and contains eight statements describ-
ing day-to-day functioning including relationships with
peers, feelings of purposefulness, etc., which are meas-
ured on a seven-point Likert response scale ranging from
strong disagreement to strong agreement. A sample item
is, “I actively contribute to the happiness and well-being
of others”. Psychological contract breach was assessed with Turn-
ley and Feldman’s (1999) 16-item measure. Respondents
scored the importance to them of various aspects within
the psychological contract (e.g., training, career develop-
ment, job security) from 1 to 10. The same items were
then scored again according to the amount of each item
received from the respondent’s employer compared to
how much respondents were led to believe they could Sample and procedure An online survey was shared on a closed Facebook forum
for non-consultant doctors in Ireland, of which the
author was a member, in the second quarter of 2019. The
forum is mainly used for accommodation swaps around
times of rotations and other administrative matters. All
members are verified by administrators. Ethical approval
for the study was granted by the author’s institution
and informed consent for participation in the study was
sought electronically prior to commencement of the sur-
vey. No identifiable information was collected and all
data were stored securely. Analysis Descriptive statistics were calculated using SPSS soft-
ware. To determine the relationship between breaches in
the psychological contract and job satisfaction and well-
being, linear regression analysis was conducted. Signifi-
cance was predetermined at p < 0.05. Methods expect. Scores ranged from − 2 (much less than prom-
ised) to + 2 (much more than promised). Responses
were reverse scored so the higher the score, the more
significant the breach. The degree of emotional response
to the breach, or the degree of violation, was measured
by multiplying degree of breach by the importance of
each aspect, and then adding this score for all elements
together to give a total degree of violation of the psycho-
logical contract as a whole [24]. The psychological contract is a widely
studied construct within the organizational psychol-
ogy literature and refers to the beliefs and expectations
held by both employee and employer regarding their
mutual obligations within a workplace [16]. Histori-
cally, there have been two main forms of psychological
contract. Relational contracts are present in long-term
employment and associated with employee loyalty
and job security, a sense of commitment to an organi-
zation and a feeling that short-term sacrifices such This study has two aims. First, to gain insight into the
levels of job satisfaction and wellbeing among non-con-
sultant doctors in Ireland. Second, to assess the impor-
tance of specific elements of the psychological contract
to non-consultant doctors in Ireland, to identify the most
common breaches and violations, and to examine the
effect of psychological contract breach and violation on
doctors’ reported job satisfaction and wellbeing. Collins and Beauregard Hum Resour Health (2020) 18:89 Page 3 of 8 Collins and Beauregard Hum Resour Health (2020) 18:89 Measures Job satisfaction was measured using the Aggregate Job
Satisfaction Scale [22], a 13-item questionnaire with a
six-point Likert response scale. It examines different
areas of job satisfaction from work, salary, promotion to
teamwork and interrelationships with colleagues. A sam-
ple question is, “Please indicate how dissatisfied/satis-
fied you are with the promotion opportunities you have.”
Due to the specificity of the cohort being studied, some
changes were made to the wording of the items, e.g.,
“company” was replaced by “hospital/clinic”. Results
Th There were 340 respondents, 281 of whom provided com-
plete responses to the main body of the questionnaire. There were 277 respondents to the demographic sec-
tion. The majority of participants (75%) were women and
nearly 80% of participants were under 35 years old. The
vast majority of respondents (88%) had graduated within
the past 9 years, with 44% having graduated within the
past 4 years and another 44% having graduated between
5 and 9 years ago. Senior house officers accounted for
32.5% and specialist registrar for 42.5%. The remaining
respondents were interns, registrars or post-certificate of
completion of speciality training (CCST) fellows. Wellbeing was measured with the Scale of Positive and
Negative Experiences (SPANE) and the Flourishing Scale
[23]. SPANE looks at how much time one has spent feel-
ing six positive (e.g., happy, pleasant) and six negative
(e.g., unhappy, unpleasant) emotions within the previous
4 weeks [23]. Each emotion is scored on a five-point scale
from 1 = very rarely to 5 = very often and aggregated to
form a positive feeling score and a negative feeling score. An overall score known as the ‘affect balance’ is reached
by subtracting the negative feeling score from the posi-
tive feeling score. The result can vary from − 24 (the most
negative) to + 24 (the most positive).h Wellbeing Scores for items in the Flourishing Scale can be seen in
Table 2. The highest scoring item was ‘being a good per-
son and living a good life’ with a mean score of 5.59 out of
6 (SD 1.11) and the lowest was ‘people respect me’ with a Collins and Beauregard Hum Resour Health (2020) 18:89 Page 4 of 8 Table 1 Demographics
%
n
Gender
Male
23.8
66
Female
75.45
209
Preferred not to answer
0.72
2
Age
18–24
2.53
7
25–34
78.34
217
35–44
18.05
50
> 45
1.08
3
Years post-graduation
0–4
44.04
122
5–9
43.68
121
> 10
12.27
34
Studied medicine as
Undergraduate
69.31
192
Postgraduate
30.69
85
Career stage
Intern
5.42
15
Senior house officer
32.49
90
Registrar
21.66
60
Specialist registrar
33.21
92
Fellow
7.22
20 By subtracting the result of the scale of negative experi-
ences from the results of the scale of positive experiences,
the affect balance was generated. A negative score shows
more time being spent with negative emotions and a
positive score shows more time being spent with positive
emotions and the potential range is from − 24 to + 24. The responses to this questionnaire ranged from − 23
to + 21, with a mean of 2.4 (SD 7.82), indicating more
time spent feeling positive rather than negative emotions. Table 1 Demographics Scores for importance and fulfilment of items in the Psy-
chological Contract scale can be seen in Table 3. The
most important item identified by non-consultant doc-
tors was training with a mean score of 9.26 (SD 1.04). Other important areas identified were career develop-
ment with a mean score of 8.79 (SD 1.31) and advance-
ment with a mean score of 8.65 (SD 1.36) (Table 4). 122
121
34
192
85 Using Turnley and Feldman’s (1999) process to cal-
culate the degree of breach of the psychological con-
tract, the degree to which each of the 16 aspects was
fulfilled compared to expected was measured on a scale
of from − 2 to + 2. For analysis of means, this scale was
adapted to a 1–5 Likert scale. Scores of more than 2.5
indicate respondents received as much or more of these
items as expected. Scores of less than 2.5 reveal they
received less than expected. Wellbeing Results indicate that doctors
received more responsibility and job challenge from their
employer than they had expected or been promised, with
a mean of 3.4 for both (SD 1.05 for responsibility and 0.98
for challenge in job). The lowest scoring item was organi-
zational support, with a mean of 1.98 (SD 0.96) indicating
that doctors received less support from the organization
than they perceived had been promised to them. mean of 4.97 (SD 1.37). The mean individual total score
was 42.14 with a standard deviation of 8.84, with scores
ranging from 12 to the maximum score of 56. In the Scale of Positive and Negative Experiences, the
most commonly reported feelings were ‘good’ and ‘pleas-
ant’ with means of 3.53 (SD 0.8) and 3.56 (SD 0.79),
respectively. ‘Unpleasant’ received the lowest score with a
mean of 2.9 (SD 0.87). Table 2 Job Satisfaction Scale
Minimum
Maximum
Mean
SD
Variance
The personal relationships with your co-workers
1
6
4.94
1.05
1.1
The work you do
1
6
4.36
1.33
1.77
The functioning of your work team
1
6
4.28
1.25
1.55
The coordination among members of your work team
1
6
4.23
1.26
1.59
The opportunities to participate in the decisions that affect your work team
1
6
4
1.35
1.84
The hospital/practice, considered overall
1
6
3.77
1.34
1.79
The promotion opportunities you have
1
6
3.67
1.47
2.17
The salary you get
1
6
3.65
1.38
1.91
The direct supervision you receive
1
6
3.6
1.57
2.45
The physical working conditions you have (light, temperature, noise, etc.)
1
6
3.27
1.54
2.37
The training opportunities provided by your hospital/practice
1
6
3.21
1.49
2.23
The hospital/practice management
1
6
2.61
1.36
1.85
The human resources management in your hospital/practice
1
6
2.52
1.5
2.24 Table 2 Job Satisfaction Scale The weighted degree of
breach of the psychological contract was worked out by
multiplying the score for the item’s importance by the
score for the item’s fulfilment [24]. This weighted degree
of breach is equivalent to the level of violation in Turnley
and Feldman’s model. The higher the score, the greater
the violation, with scores over zero indicating some viola-
tion. Scores ranged from − 282 to 210, with an average of
65.4 (SD 67.36). Violation scores can be seen in Table 5. Violations were most prevalent in breaches of provi-
sion of training and organizational support, with means
of 8.49 (SD 9.7) and 8.91 (SD 8.8), respectively. Despite
a wide range in individuals’ total violation scores, the
mean of all respondents is positive 65.4. This indicates To calculate the degree of psychological contract vio-
lation, all responses to the degree of fulfilment were
reverse scored so the higher the response, the more sig-
nificant the breach represented. The weighted degree of
breach of the psychological contract was worked out by
multiplying the score for the item’s importance by the
score for the item’s fulfilment [24]. This weighted degree
of breach is equivalent to the level of violation in Turnley
and Feldman’s model. The higher the score, the greater
the violation, with scores over zero indicating some viola-
tion. Scores ranged from − 282 to 210, with an average of
65.4 (SD 67.36). Violation scores can be seen in Table 5. The ability of psychological contract breach and viola-
tion to predict job satisfaction and wellbeing was deter-
mined using linear regression analysis, with breach and
violation entered in subsequent steps as the independent
variables and job satisfaction, the Flourishing Scale and
affect balance as the dependent variables. Breaches of
the psychological contract led to statistically significant
reductions in job satisfaction and wellbeing as measured
by the both the Flourishing Scale and affect balance. Vio-
lations did not have a significant effect beyond breach as
a predictor. Table 2 Job Satisfaction Scale Collins and Beauregard Hum Resour Health (2020) 18:89 Page 5 of 8 Table 3 Flourishing Scale
Minimum
Maximum
Mean
SD
I am a good person and live a good life
1
7
5.59
1.11
I am competent and capable in the activities that are important to me
1
7
5.48
1.19
My social relationships are supportive and rewarding
1
7
5.44
1.5
I actively contribute to the happiness and well-being of others
1
7
5.37
1.29
I am engaged and interested in my daily activities
1
7
5.09
1.5
I am optimistic about my future
1
7
5.03
1.59
People respect me
1
7
4.97
1.37 Table 3 Flourishing Scale Table 3 Flourishing Scale To calculate the degree of psychological contract vio-
lation, all responses to the degree of fulfilment were
reverse scored so the higher the response, the more sig-
nificant the breach represented. The weighted degree of
breach of the psychological contract was worked out by
multiplying the score for the item’s importance by the
score for the item’s fulfilment [24]. This weighted degree
of breach is equivalent to the level of violation in Turnley
and Feldman’s model. The higher the score, the greater
the violation, with scores over zero indicating some viola-
tion. Scores ranged from − 282 to 210, with an average of
65.4 (SD 67.36). Violation scores can be seen in Table 5. Violations were most prevalent in breaches of provi-
sion of training and organizational support, with means
of 8.49 (SD 9.7) and 8.91 (SD 8.8), respectively. Despite
a wide range in individuals’ total violation scores, the h
that violation of the psychological contract is an issue for
non-consultant doctors in Ireland (Table 6). The ability of psychological contract breach and viola-
tion to predict job satisfaction and wellbeing was deter-
mined using linear regression analysis, with breach and
violation entered in subsequent steps as the independent
variables and job satisfaction, the Flourishing Scale and
affect balance as the dependent variables. Breaches of
the psychological contract led to statistically significant
reductions in job satisfaction and wellbeing as measured
by the both the Flourishing Scale and affect balance. Vio-
lations did not have a significant effect beyond breach as
a predictor. Table 2 Job Satisfaction Scale Discussion
This study has examined the degree of job satisfaction
and wellbeing experienced by non-consultant doctors
in Ireland, the content of their psychological contract
Table 4 Importance
and
fulfillment
of
aspects
of the psychological contract
Importance
Fulfillment
Mean
SD
Mean
SD
Training
9.26
1.04
2.09
1.02
Career development
8.79
1.31
2.48
0.94
Advancement
8.65
1.36
2.58
0.93
Organizational support
8.64
1.44
1.98
0.96
Supervisory support
8.48
1.47
2.47
1.07
Job security
8.39
1.52
2.64
0.97
Feedback
8.26
1.45
2.24
0.94
Salary
8.15
1.63
2.47
0.84
Decision-making input
8.12
1.37
2.88
1
Bonuses/overtime payments
7.86
2.05
2.27
0.9
Supervisory support
8.48
1.47
2.47
1.07
Retirement benefit
7.84
1.96
2.43
0.84
Regular pay raises
7.84
1.76
2.58
0.84
Challenge in job
7.83
1.48
3.4
0.98
Overall benefits
7.83
1.8
2.25
0.84
Healthcare benefits
7.37
2.16
2.06
0.93
Table 5 Violations of the psychological contract
Minimum
Maximum
Mean
SD
Organizational support
− 20
20
8.91
8.8
Training
− 20
20
8.49
9.7
Healthcare benefits
− 20
20
7.40
8.01
Feedback
− 20
20
6.38
8.34
Bonuses/overtime payments
− 16
20
6.14
7.7
Overall benefits
− 20
20
6.08
7.39
Retirement benefit
− 20
20
4.77
7.41
Career development
− 20
20
4.70
8.66
Salary
− 20
20
4.69
7.44
Supervisory support
− 20
20
4.68
9.56
Advancement
− 20
20
3.88
8.53
Regular pay raises
− 20
20
3.58
7.32
Job security
− 20
20
3.13
8.209
Decision-making input
− 20
20
1.13
7.48
Challenge in job
− 20
20
− 2.93
7.94
Responsibility
− 20
20
− 3.06
8.71
Total
− 282
210
65.4
67.36 Table 4 Importance
and
fulfillment
of
aspects
of the psychological contract
Importance
Fulfillment
Mean
SD
Mean
SD
Training
9.26
1.04
2.09
1.02
Career development
8.79
1.31
2.48
0.94
Advancement
8.65
1.36
2.58
0.93
Organizational support
8.64
1.44
1.98
0.96
Supervisory support
8.48
1.47
2.47
1.07
Job security
8.39
1.52
2.64
0.97
Feedback
8.26
1.45
2.24
0.94
Salary
8.15
1.63
2.47
0.84
Decision-making input
8.12
1.37
2.88
1
Bonuses/overtime payments
7.86
2.05
2.27
0.9
Supervisory support
8.48
1.47
2.47
1.07
Retirement benefit
7.84
1.96
2.43
0.84
Regular pay raises
7.84
1.76
2.58
0.84
Challenge in job
7.83
1.48
3.4
0.98
Overall benefits
7.83
1.8
2.25
0.84
Healthcare benefits
7.37
2.16
2.06
0.93 Table 4 Importance
and
fulfillment
of
aspects
of the psychological contract Table 5 Violations of the psychological contract
Minimum
Maximum
Mean
SD
Organizational support
− 20
20
8.91
8.8
Training
− 20
20
8.49
9.7
Healthcare benefits
− 20
20
7.40
8.01
Feedback
− 20
20
6.38
8.34
Bonuses/overtime payments
− 16
20
6.14
7.7
Overall benefits
− 20
20
6.08
7.39
Retirement benefit
− 20
20
4.77
7.41
Career development
− 20
20
4.70
8.66
Salary
− 20
20
4.69
7.44
Supervisory support
− 20
20
4.68
9.56
Advancement
− 20
20
3.88
8.53
Regular pay raises
− 20
20
3.58
7.32
Job security
− 20
20
3.13
8.209
Decision-making input
− 20
20
1.13
7.48
Challenge in job
− 20
20
− 2.93
7.94
Responsibility
− 20
20
− 3.06
8.71
Total
− 282
210
65.4
67.36 Table 5 Violations of the psychological contract that violation of the psychological contract is an issue for
non-consultant doctors in Ireland (Table 6).h To calculate the degree of psychological contract vio-
lation, all responses to the degree of fulfilment were
reverse scored so the higher the response, the more sig-
nificant the breach represented. Job satisfaction Reported levels of overall job satisfaction in this cohort of
doctors were reasonably high. Notably, one of the high-
est scoring individual attributes in the Job Satisfaction
Scale was ‘the work you do’. This is a reassuring finding,
given that previous research has identified decreases in
job satisfaction arising from the changes in doctors’ role
from purely clinical to incorporating more administra-
tive duties with correspondingly higher medicolegal risks
[7]. The current study, however, suggests that doctors’
day-to-day work is still enjoyed and a positive factor for
respondents. Non-consultant doctors’ expectations may also need to
be realigned. Increasing transparency from postgraduate
training colleges regarding trainee numbers and expec-
tations from trainees may help this. Career workshops
from an early stage with discussions from varying sub-
specialities may also be beneficial. In 2014 the National
Training and Development Programme was launched by
the HSE. One of the aims of this programme is to stream-
line the training of doctors to ensure appropriate work-
force planning in the future [26]. This has the potential to
be beneficial both for doctors in training and the public
at large.i p
High levels of satisfaction with teamwork and a func-
tioning team dynamic were reported. One benefit of
Ireland’s slow implementation of the European Working
Time Directive has been that, in many hospitals, a tra-
ditionally team-based structure with teams incorporat-
ing a consultant, registrar, senior house officer or intern
remains in place. This is in contrast to, for example, the
UK where the traditional team or ‘firm’-based structure
has been eroded due to a shift work pattern and more
frequent rotations, as well as the working hours restric-
tions of the European Working Time Directive. In the
UK, there is a push to bring back some elements of the
historic team structure as it is now accepted that team
work improves job satisfaction for non-consultant doc-
tors [25]. Looking specifically at non-consultant doctors’ percep-
tions of their psychological contract, there were some
notable findings. The three most important areas within
the psychological contract to respondents were train-
ing, career development and advancement—all areas
associated with long-term careers and a relational psy-
chological contract. The most common violations were
in organizational support and training. Interestingly, in
keeping with this evidence of the importance to doctors
of organizational support, the lowest scoring elements of
the Job Satisfaction Scale were hospital management and
human resources. Discussionh Violations were most prevalent in breaches of provi-
sion of training and organizational support, with means
of 8.49 (SD 9.7) and 8.91 (SD 8.8), respectively. Despite
a wide range in individuals’ total violation scores, the
mean of all respondents is positive 65.4. This indicates This study has examined the degree of job satisfaction
and wellbeing experienced by non-consultant doctors
in Ireland, the content of their psychological contract
and the extent to which breaches and violations of the Collins and Beauregard Hum Resour Health (2020) 18:89 Page 6 of 8 Table 6 Hierarchical regression analyses predicting job satisfaction and wellbeing
N = 281. *p < 0.05. **p < 0.01. ***p < 0.001
Job satisfaction
Flourishing Scale
Affect balance
Step 1
Step 2
Step 1
Step 2
Step 1
Step 2
Breach
− 0.667***
− 0.329
− 0.343***
− 0.642**
− 0.378***
− 0.200
Violation
− 0.345
0.306
− 0.182
F
223.846***
113.730***
37.1***
19.71***
46.491***
23.418***
∆F
2.451
1.209
0.438
∆R2
0.005
0.004
0.001
Adjusted R2
0.443***
0.446
0.114***
0.115
0.140***
0.138 Table 6 Hierarchical regression analyses predicting job satisfaction and wellbeing psychological contract predict their job satisfaction and
wellbeing. Below, we discuss the significance of our find-
ings and place them in the context of the Irish healthcare
sector. give healthcare administrators a potentially significant
policy lever with which to improve outcomes for doc-
tors; tackling the mismatch between expectations and
reality for the job-related attributes most important to
doctors could result in more positive attitudes and expe-
riences of wellbeing, with prospective knock-on effects
on retention. Job satisfaction With regard to organizational support, this may be
evidence of a mismatch in views between employers
and employees of the type of psychological contract that
exists between them. Non-consultant doctors are usually
transient staff, either rotating through their postgradu-
ate placements or on short-term ‘stand-alone’ contracts. Temporary staff usually have a transactional psychologi-
cal contract with their employer, expecting little in terms Funding
h This research did not receive any funding. Abbreviations
CCST C
ifi Abbreviations
CCST: Certificate of completion of speciality training; SPANE: Scale of positive
and negative experiences; SD: Standard deviation. Acknowledgements We thank the Department of Organizational Psychology, Birkbeck, Univer-
sity of London and the Royal College of Physicians for their support in this
research project. Limitationsh There are some limitations to this study. Firstly, as with
any online opt-in questionnaire, there is a possible self-
selection bias in sampling. People are more likely to com-
plete a survey if they have a strong opinion or problem to
voice about the issue at hand, and this may be particularly
the case when discussing one’s workplace. This sampling
bias may lead to more negative views being expressed
than would be the case among the entire population of
non-consultant doctors in Ireland. In addition, people
are more likely to recall negative experiences and results
than positive ones [28]. The results of this study were,
however, largely positive for job satisfaction and wellbe-
ing, and scores for these were higher than those found in
comparable studies [15]. The large cohort of respondents
has likely negated some of this negative bias.h Authors’ contributions AC designed the study, processed the initial data and performed initial analy-
sis of data. AC drafted the initial manuscript. AB contribute to the analysis of
the results and writing of the manuscript. All authors read and approved the
final manuscript. Conclusion
Th
h fi This is the first study to examine the interplay of job satis-
faction, wellbeing and the psychological contract of doc-
tors in Ireland. It looks specifically at areas of importance
to doctors within their psychological contracts and the
extent to which they perceive that these contracts have
been breached by their employers. Providing insight
into the job-related expectations of non-consultant doc-
tors in Ireland, this study demonstrates a clear mismatch
between what doctors expect and what they receive. It
identifies specific areas where expectations are not being
met, such as organizational support and HR manage-
ment, and highlights the need for improvements in train-
ing and career advancement opportunities. Finally, this
study reveals a negative effect of mismatches between
expectations and reality on doctors’ job satisfaction and
wellbeing. Future research and policy initiatives can build
on these findings to explore ways to resolve psychological
contract breach in the areas identified here, improving
outcomes for doctors and potentially for the healthcare
system as a whole. With regard to training, despite the formalization of
training agreements with postgraduate bodies and hos-
pitals since the Buttimer report [9], the current study
reveals that training is still of utmost importance to
Irish non-consultant doctors and remains an area where
they feel their expectations are not being met. This cor-
responds with research by Bennett et al. who found that
training experiences in Ireland still fall below that availa-
ble to non-consultant doctors elsewhere in the European
Union [27]. The psychological contract of non‑consultant doctorshi p y
g
The findings of this study make clear that psychological
contract breach has a direct, negative association with
job satisfaction and wellbeing for doctors, echoing the
results of previous research conducted with employees
outside the healthcare sector [21]. The current findings Collins and Beauregard Hum Resour Health (2020) 18:89 Page 7 of 8 not developed solely for healthcare professionals, nor
had they been validated on medical staff. Hence, there is
potential for unique areas of doctors’ psychological con-
tracts, job satisfaction and wellbeing to have been missed. of long-term rewards or development [16]. However,
despite staying for a relatively short time in each post, it
is clear from this study that career progression and train-
ing—more relational aspects of a psychological contract
[16]—are of utmost importance to non-consultant doc-
tors in Ireland. The disparity may lie here. The dispar-
ity may lie here. Despite the temporary contracts with
individual hospitals, the doctors see their psychological
contract with the health service as a whole and intend to
work within that health service over a prolonged period
of time—a relational contract. However, in the individual
work place these are temporary staff—a transactional
contract, in that the hospital administration may see
their relationship with a non-consultant doctor as trans-
actional, but the doctor views it as relational. Doctors
may not feel the support in their long-term careers from
employers and as such feel like they are managing their
career progression in isolation, leading to a negative rela-
tionship between the doctor and hospital. Consent for publication
Not applicable. Consent for publication
Not applicable. Availability of datasets
h d
d
d The datasets used and/or analysed during the current study are available from
the corresponding author on reasonable request. Ethics approval and consent to participate pp
p
p
Ethical approval was granted from Birkbeck, University of London. Consent for
participation and publication in the study was sought electronically prior to
commencement of the questionnaire. The use of a survey on an open forum also has some
limitations. Those non-consultant doctors who do not
know about or have access to this forum were automati-
cally excluded. However, it did serve as a means to ensure
responses from a diverse group, with respondents from
every level of training, varying age ranges and varying
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expectations and experience. Irish J Med Sci (1971-). 2014;183(4):611–20. 27. Bennett D, Dornan T, Bergin C, Horgan M. Postgraduate training in Ireland:
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gion. Pers Soc Psychol Rev. 2001;5(4):296–320. 12. Humphries N, Crowe S, Brugha R. Publisher’s Note 13. Clarke N, Crowe S, Humphries N, Conroy R, O’Hare S, Kavanagh P, Brugha
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try: a mixed methods study. Human Resour Health. 2017;15(1):66. Springer Nature remains neutral with regard to jurisdictional claims in pub-
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https://orca.cardiff.ac.uk/id/eprint/137122/1/PIIS221112472031490X.pdf
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English
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CD57+ Memory T Cells Proliferate In Vivo
|
Cell reports
| 2,020
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cc-by
| 11,313
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Authors Correspondence
priced6@cardiff.ac.uk (D.A.P.),
macallan@sgul.ac.uk (D.C.M.),
b.asquith@imperial.ac.uk (B.A.),
ladellk@gmail.com (K.L.) Report Report In Brief In vitro studies have led to the widely held
assumption that replicatively senescent
memory T cells express the carbohydrate
epitope CD57. Using a variety of
experimental approaches and
mathematical modeling of composite
datasets, Ahmed et al. show that CD57+
memory T cells proliferate and self-renew
in vivo. CD57+ Memory T Cells Proliferate In Vivo Graphical Abstract Authors
Raya Ahmed, Kelly L. Miners,
Julio Lahoz-Beneytez, ...,
Derek C. Macallan, Becca Asquith,
Kristin Ladell CD57+ Memory T Cells Proliferate In Vivo CD57+ Memory T Cells Proliferate In Vivo CD57+ Memory T Cells Proliferate In Vivo INTRODUCTION et al., 2006; Chattopadhyay et al., 2009; Chong et al., 2008;
Kern et al., 1999; Le Priol et al., 2006; Takata and Takiguchi,
2006; van Leeuwen et al., 2002). Virus-specific memory T cells
have also been identified in the TEMRA compartment (Appay
et al., 2008). In the CD8+ lineage, these cells have been associ-
ated with protective effects, most notably during acute (North-
field et al., 2007) and chronic human immunodeficiency virus
type 1 (HIV-1) infection (Addo et al., 2007), and in a study of elite
controllers with eventual disease progression, increasing levels
of
viral
replication
appeared
to
drive
the
formation
of
CD28CD57+ memory CD8+ T cells, potentially indicating a
reactive escalation in the cytotoxic response to HIV-1 (Benito
et al., 2018). Accordingly, CD57+ memory T cells enrich the im-
mune system with important antigen-dependent effector func-
tions and, by extension, do not necessarily represent an irrele-
vant ‘‘cul-de-sac’’ in the lymphocyte differentiation pathway. et al., 2006; Chattopadhyay et al., 2009; Chong et al., 2008;
Kern et al., 1999; Le Priol et al., 2006; Takata and Takiguchi,
2006; van Leeuwen et al., 2002). Virus-specific memory T cells
have also been identified in the TEMRA compartment (Appay
et al., 2008). In the CD8+ lineage, these cells have been associ-
ated with protective effects, most notably during acute (North-
field et al., 2007) and chronic human immunodeficiency virus
type 1 (HIV-1) infection (Addo et al., 2007), and in a study of elite
controllers with eventual disease progression, increasing levels
of
viral
replication
appeared
to
drive
the
formation
of
CD28CD57+ memory CD8+ T cells, potentially indicating a
reactive escalation in the cytotoxic response to HIV-1 (Benito
et al., 2018). Accordingly, CD57+ memory T cells enrich the im-
mune system with important antigen-dependent effector func-
tions and, by extension, do not necessarily represent an irrele-
vant ‘‘cul-de-sac’’ in the lymphocyte differentiation pathway. Immune senescence has been linked with the accumulation of
terminally differentiated lymphocytes that fail to proliferate in
response to antigenic challenge. It has also been suggested
that surface expression of CD57, a terminally sulfated glycan
carbohydrate epitope (Abo and Balch, 1981), identifies memory
T cells that lack the capacity to proliferate (Brenchley et al.,
2003). In line with these widely accepted paradigms, highly
differentiated effector memory T cells that express CD45RA,
known as TEMRA cells, become more prevalent with age (Nociari
et al., 1999) and often express CD57 (Ladell et al., 2008). SUMMARY A central paradigm in the field of lymphocyte biology asserts that replicatively senescent memory T cells ex-
press the carbohydrate epitope CD57. These cells nonetheless accumulate with age and expand numerically
in response to persistent antigenic stimulation. Here, we use in vivo deuterium labeling and ex vivo analyses
of telomere length, telomerase activity, and intracellular expression of the cell-cycle marker Ki67 to distin-
guish between two non-exclusive scenarios: (1) CD57+ memory T cells do not proliferate and instead arise
via phenotypic transition from the CD57 memory T cell pool; and/or (2) CD57+ memory T cells self-renew
via intracompartmental proliferation. Our results provide compelling evidence in favor of the latter scenario
and further suggest in conjunction with mathematical modeling that self-renewal is by far the most abundant
source of newly generated CD57+ memory T cells. Immunological memory therefore appears to be intrinsi-
cally sustainable among highly differentiated subsets of T cells that express CD57. p
CD57+ Memory T Cells Proliferate In Vivo Raya Ahmed,1,10 Kelly L. Miners,2,10 Julio Lahoz-Beneytez,3,10 Rhiannon E. Jones,4 Laureline Roger,2
Christina Baboonian,1 Yan Zhang,1 Eddie C.Y. Wang,2 Marc K. Hellerstein,5 Joseph M. McCune,6 Duncan M. Baird,4
David A. Price,2,7,10,* Derek C. Macallan,1,8,10,* Becca Asquith,3,10,* and Kristin Ladell2,9,10,11,*
1Institute for Infection and Immunity, St. George’s, University of London, London SW17 0RE, UK
2Division of Infection and Immunity, Cardiff University School of Medicine, Heath Park, Cardiff CF14 4XN, UK
3Department of Infectious Disease, Imperial College London, London W2 1PG, UK
4Division of Cancer and Genetics, Cardiff University School of Medicine, Heath Park, Cardiff CF14 4XN, UK
5Department of Nutritional Sciences and Toxicology, University of California, Berkeley, CA 94720, USA
6HIV Frontiers Program, Global Health Innovative Technology Solutions, Bill & Melinda Gates Foundation, Seattle, WA 98109, USA
7Systems Immunity Research Institute, Cardiff University School of Medicine, Heath Park, Cardiff CF14 4XN, UK
8St George’s University Hospitals NHS Foundation Trust, London SW17 0QT, UK
9Neonatal Unit, Singleton Hospital, Swansea Bay University Health Board, Swansea SA2 8QA, UK
10These authors contributed equally 11Lead Contact 11Lead Contact *Correspondence: priced6@cardiff.ac.uk (D.A.P.), macallan@sgul.ac.uk (D.C.M.), b.asquith@imperial.ac.uk (B.A.), ladellk@gmail.com (K.L.)
https://doi.org/10.1016/j.celrep.2020.108501 Cell Reports 33, 108501, December 15, 2020 ª 2020 The Authors.
1
This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). ll
OPEN ACCESS Cell Reports 33, 108501, December 15, 2020 ª 2020 The Authors.
1
under the CC BY license (http://creativecommons.org/licenses/by/4.0/). Lead Contact
*Correspondence: priced6@cardiff.ac.uk (D.A.P.), macallan@sgul.ac.uk (D.C.M.), b.asquith@imperial.ac.uk (B.A.), ladellk@gmail.com (K.L.)
https://doi.org/10.1016/j.celrep.2020.108501 Highlights Highlights Highlights d CD57+ memory T cells are not replicatively senescent in vivo d CD57+ memory T cells are not replicatively senescent in viv d CD57+ memory T cells are maintained primarily via self-
renewal in vivo Ahmed et al., 2020, Cell Reports 33, 108501
December 15, 2020 ª 2020 The Authors. https://doi.org/10.1016/j.celrep.2020.108501 ll ll Figure 1. CD57 and CD57+ Memory T Cells Exhibit Similar Rates of Deuterium Incorporation
(A) Schematic representation of the 2H2O labeling protocol and sampling time points.
(B) Experimental labeling data for CD57 and CD57+ memory CD8+ T cells sampled from the HIV-1-infected volunteers in cohort 1. The corresponding flow
cytometric gating strategy is shown in Figure S1.
(C) Successive panels depict the flow cytometric gating strategy used to sort CD57 and CD57+ memory T cells from the CD4+ and CD8+ lineages (cohort 2).
Lymphocytes were identified in a forward scatter-area versus side scatter-area plot, and single cells were identified in a forward scatter-area versus forward
scatter-height plot. Boolean gates were drawn for analysis only to exclude fluorochrome aggregates. Viable CD3+CD14CD19 cells were then identified in the
CD4+ and CD8+ lineages, and sort gates were fixed on CD57 and CD57+ memory cells after exclusion of potentially naive CD27brightCD45RO cells.
(D) Experimental labeling data for CD57 and CD57+ memory CD4+ T cells sampled from the healthy volunteers in cohort 2.
(E) Experimental labeling data for CD57 and CD57+ memory CD8+ T cells sampled from the healthy volunteers in cohort 2. RESULTS To corroborate these findings, we measured the expression of
Ki67, an intracellular marker that accumulates during active
phases of the cell cycle (Gerdes et al., 1983; Miller et al., 2018). Cytosolic expression of Ki67 was detected in the CD4+ lineage
at mean frequencies of 1% among CD57 memory T cells and
2.9% among CD57+ memory T cells (p = 0.02, paired samples Wil-
coxon test; Figures 2A and 2B) and in the CD8+ lineage at mean
frequencies of 0.7% among CD57 memory T cells and 0.4%
among CD57+ memory T cells (p = 0.008, paired samples Wil-
coxon test; Figures 2A and 2B). Higher frequencies were observed
using a different approach that simultaneously exposed intranu-
clear antigens. Cytosolic/nuclear expression of Ki67 was detected
in the CD4+ lineage at mean frequencies of 4.9% among CD57
memory T cells and 8.6% among CD57+ memory T cells (p =
0.742, paired samples Wilcoxon test; Figures 2C and 2D) and in
the CD8+ lineage at mean frequencies of 1.2% among CD57
memory T cells and 1.9% among CD57+ memory T cells (p =
0.039, paired samples Wilcoxon test; Figures 2E and 2F). CD57 and CD57+ Memory T Cells Exhibit Similar Rates
of Deuterium Incorporation
Preliminary in vivo labeling data were derived from studies of
volunteers with chronic HIV-1 infection (aged 36–53 years), all
of whom were antiretroviral drug-free at the time of experimen-
tation and seropositive for cytomegalovirus (CMV; n = 4; Table
S1). The labeling protocol is outlined in Figure 1A. Venous blood
was sampled at weeks 7 (end of labeling), 10, 14, and 18, and at
each time point, CD57 and CD57+ memory CD8+ T cells were
flow-sorted from the CD45RACCR7 subset at >98% purity
(Figure S1). This gating strategy was designed to exclude TEMRA
cells, which were assessed separately in an earlier report (La-
dell et al., 2008). Considerable rates of 2H labeling and delabel-
ing
were
observed
among
CD45RACCR7CD57
and
CD45RACCR7CD57+ memory CD8+ T cells (Figure 1B). Immune activation enhances the turnover of memory T cells in
the setting of chronic HIV-1 or HIV-2 infection (Hegedus et al.,
2014; McCune et al., 2000; Vrisekoop et al., 2015; Zhang et al.,
2013). We therefore sought to confirm these preliminary findings
in a more comprehensive labeling study of healthy volunteers
(aged 29–83 years), all of whom were seronegative for HIV-1
and seropositive for CMV. RESULTS Recruitment was stratified to include
equal numbers of young (aged 29–47 years) and elderly individ-
uals (aged 60–83 years), the latter representing a population in
which immune senescence was more likely (total n = 8; Table
S1). Venous blood was sampled during the labeling phase
(weeks 1, 3, and 5), at the end of labeling (week 7), and during
the delabeling phase (weeks 8, 10, 14, and 18) (Figure 1A). At
each time point, CD57 and CD57+ memory T cells were flow-
sorted from the CD4+ and CD8+ lineages at >98% purity after
gating out potentially naive CD27brightCD45RO events (Fig-
ures 1C and S1). INTRODUCTION Contrary to the notion of differentiation-linked senescence,
memory T cells that express CD57 can be induced to proliferate
in vitro, at least under optimized conditions (Chong et al., 2008;
Izquierdo et al., 1990). Parallel strands of evidence have further
suggested a key role for these cells as immune effectors. For
example, memory CD8+ T cells rarely express CD57 in conjunc-
tion with programmed death-1 (PD-1) (Petrovas et al., 2009), a
marker associated with exhaustion (Day et al., 2006; Freeman
et al., 2006; Petrovas et al., 2006; Trautmann et al., 2006), and
functionally replete memory CD4+ and CD8+ T cells with cyto-
toxic potential typically express high levels of CD57 (Casazza In this study, we used deuterium labeling to quantify the prolif-
eration of CD57 and CD57+ memory T cells in vivo and supple-
mented these analyses with ex vivo measurements of telomere
length, telomerase activity, and intracellular expression of the
cell-cycle marker Ki67. We then used mathematical modeling
to evaluate two non-exclusive hypothetical scenarios: (1)
CD57+ memory T cells arise from the CD57 memory T cell A
C
D
E
B
Re
ll
OPEN ACCESS Report A
B A B B C C C D D E E E E 2
Cell Reports 33, 108501, December 15, 2020 ll
OPEN ACCESS Report lineage or intrasubset differences in the kinetics of 2H accumula-
tion or loss were apparent between young and elderly volunteers
(Figures 1D and 1E). compartment as a consequence of progressive differentiation;
and/or (2) CD57+ memory T cells self-renew via intracompart-
mental proliferation and thereby contribute to long-term immu-
nological memory. Ki67+ Cells Are Readily Detectable in the CD57+ Memory
T Cell Pool lineage or intrasubset differences in the kinetics of 2H accumula-
tion or loss were apparent between young and elderly volunteers
(Figures 1D and 1E). CD57 and CD57+ Memory T Cells Exhibit Similar Rates
of Deuterium Incorporation Preliminary in vivo labeling data were derived from studies of
volunteers with chronic HIV-1 infection (aged 36–53 years), all
of whom were antiretroviral drug-free at the time of experimen-
tation and seropositive for cytomegalovirus (CMV; n = 4; Table
S1). The labeling protocol is outlined in Figure 1A. Venous blood
was sampled at weeks 7 (end of labeling), 10, 14, and 18, and at
each time point, CD57 and CD57+ memory CD8+ T cells were
flow-sorted from the CD45RACCR7 subset at >98% purity
(Figure S1). This gating strategy was designed to exclude TEMRA
cells, which were assessed separately in an earlier report (La-
dell et al., 2008). Considerable rates of 2H labeling and delabel-
ing
were
observed
among
CD45RACCR7CD57
and
CD45RACCR7CD57+ memory CD8+ T cells (Figure 1B). Preliminary in vivo labeling data were derived from studies of
volunteers with chronic HIV-1 infection (aged 36–53 years), all
of whom were antiretroviral drug-free at the time of experimen-
tation and seropositive for cytomegalovirus (CMV; n = 4; Table
S1). The labeling protocol is outlined in Figure 1A. Venous blood
was sampled at weeks 7 (end of labeling), 10, 14, and 18, and at
each time point, CD57 and CD57+ memory CD8+ T cells were
flow-sorted from the CD45RACCR7 subset at >98% purity
(Figure S1). This gating strategy was designed to exclude TEMRA
cells, which were assessed separately in an earlier report (La-
dell et al., 2008). Considerable rates of 2H labeling and delabel-
ing
were
observed
among
CD45RACCR7CD57
and
CD45RACCR7CD57+ memory CD8+ T cells (Figure 1B). flow-sorted from the CD45RA CCR7
subset at >98% purity
(Figure S1). This gating strategy was designed to exclude TEMRA
cells, which were assessed separately in an earlier report (La-
dell et al., 2008). Considerable rates of 2H labeling and delabel-
ing
were
observed
among
CD45RACCR7CD57
and
CD45RACCR7CD57+ memory CD8+ T cells (Figure 1B). Immune activation enhances the turnover of memory T cells in
the setting of chronic HIV-1 or HIV-2 infection (Hegedus et al.,
2014; McCune et al., 2000; Vrisekoop et al., 2015; Zhang et al.,
2013). We therefore sought to confirm these preliminary findings
in a more comprehensive labeling study of healthy volunteers
(aged 29–83 years), all of whom were seronegative for HIV-1
and seropositive for CMV. CD57 and CD57+ Memory T Cells Exhibit Similar Rates
of Deuterium Incorporation Recruitment was stratified to include
equal numbers of young (aged 29–47 years) and elderly individ-
uals (aged 60–83 years), the latter representing a population in
which immune senescence was more likely (total n = 8; Table
S1). Venous blood was sampled during the labeling phase
(weeks 1, 3, and 5), at the end of labeling (week 7), and during
the delabeling phase (weeks 8, 10, 14, and 18) (Figure 1A). At
each time point, CD57 and CD57+ memory T cells were flow-
sorted from the CD4+ and CD8+ lineages at >98% purity after
gating out potentially naive CD27brightCD45RO events (Fig-
ures 1C and S1). In further analyses, we assessed the phenotypic characteris-
tics of Ki67+CD57 and Ki67+CD57+ memory T cells in the
CD4+ and CD8+ lineages. As expected, Ki67+ memory CD4+
T cells predominantly expressed CD45RO, with or without
CD57, whereas Ki67+ memory CD8+ T cells were phenotypically
more heterogeneous and often expressed CD45RA in conjunc-
tion with CD57 (Figure 2G). Moreover, Ki67+CD57 memory
T
cells
expressed
CD28
at
higher
frequencies
than
Ki67+CD57+ memory T cells, both in the CD4+ lineage (p =
0.008, paired samples Wilcoxon test; Figures 2D and 2H) and
in the CD8+ lineage (p = 0.008, paired samples Wilcoxon test;
Figures 2F and 2I). Similar patterns of expression were observed
for CCR7 (Figure S3). To link these findings with the labeling data, we compared the
phenotypic characteristics of Ki67+CD57 and Ki67+CD57+
memory T cells with the phenotypic characteristics of CD57
and CD57+ memory T cells sampled from the healthy volunteers
in cohort 2. In both coreceptor-defined lineages, CD57 memory
T cells expressed CD28 and CCR7 at higher frequencies than
CD57+ memory T cells, akin to the corresponding Ki67+ memory
T cells (Figure S4). Of note, CD57+ memory CD4+ T cells mostly
lacked CD27 but commonly expressed CD127 and PD-1,
whereas CD57+ memory CD8+ T cells were generally more In each coreceptor-defined lineage, similar patterns of 2H la-
beling and delabeling were observed among CD57 and
CD57+ memory T cells, and equivalent (n = 3) or greater rates
of 2H labeling (n = 5) were observed among CD57+ memory
T cells compared with CD57 memory T cells (Figures 1D and
1E). Histories To refine our understanding of these datasets, we measured
XpYp or 17p telomere lengths in the CD57 and CD57+ memory
T cell pools (Figure 3A). Telomere lengths were distributed in a
heterogeneous manner and overlapped considerably across
CD57-defined subsets in the CD4+ and CD8+ lineages. In
some volunteers, significant differences in mean telomere length
were observed between the CD57 and CD57+ memory T cell
populations, most commonly in the CD4+ lineage, but no consis-
tent directional change was apparent between CD57-defined
subsets in either the CD4+ or the CD8+ lineage (Figures 3B and
3C). However, pooling the XpYp data from labeled volunteers re-
vealed that telomere lengths were maintained to a slightly
greater extent in the CD57 memory CD4+ T cell population
compared with the CD57+ memory CD4+ T cell population (Fig-
ure 3D), and pooling the 17p data from volunteers in cohort 3
yielded a similar result with borderline significance (p = 0.037,
Mann-Whitney U test; data not shown). Telomerase activity
was generally low, as expected given the infrequent expression
of Ki67, but marginally higher levels were detected among
CD57 memory T cells compared with CD57+ memory T cells
in both coreceptor-defined lineages. These data were reported
previously for reference in another labeling study of the volun-
teers in cohort 2 (Ahmed et al., 2016). Fits were restricted to the volunteers for whom labeling data and
telomere length data were available (n = 5). The general model
(with p2 free) fitted the data well for CD57 and CD57+ memory
T cells in the CD4+ and CD8+ lineages (Figure 4B; Table 1). Impor-
tantly, the proliferation rate estimates for the CD57+ subsets were
positive, with 95% confidence intervals that did not overlap zero
(i.e., p2 > 0). This conclusion was robust to different rates of telo-
mere shortening per cell division and changes in the parameter K
(Figure S6). Model performance was considerably worse if prolif-
eration was disallowed in the CD57+ memory T cell populations
(i.e., p2 = 0) (Figures 4B and S7). Indeed, the median p value in a
comparison of the models was 5 3 1020 (F test), which provided
strong evidence to reject the null hypothesis of the simpler model,
namely that CD57+ memory T cells were unable to proliferate (i.e.,
p2 = 0). Histories Moreover, the median small-sample-corrected Akaike in-
formation criterion (AICc) difference was 106, which indicated that
the simpler model provided a substantially worse description of
the data (i.e., fit after adjustment for model complexity). The
best fits were therefore consistent with substantial proliferation
in the CD57+ compartments, such that influx from the CD57
compartments typically contributed only 5% of all newly gener-
ated CD57+ memory T cells (Table 1). CD57 and CD57+ Memory T Cells Self-Renew In Vivo To integrate these findings, we fitted mathematical models simul-
taneously to the 2H enrichment data and the telomere length data,
allowing CD57 memory T cells to become CD57+ memory T cells
in the CD4+ and CD8+ lineages (Figure 4A). This approach was de-
signed to capture both possible explanations for the accumulation
of label in the corresponding CD57+ compartments, namely that CD57 and CD57+ Memory T Cells Exhibit Similar Rates
of Deuterium Incorporation Importantly, the corresponding 2H label enrichments in
body water followed an expected rise-and-fall profile (Figure S2),
and in the context of age-related immune senescence, no intra- Cell Reports 33, 108501, December 15, 2020
3 Report A
C
E
B
D
F
G
H
I
(legend on next page
Report
OPEN ACCESS A B B
G B A D
H D C C D H E F E I E (legend on next page) (legend on next page) 4
Cell Reports 33, 108501, December 15, 2020 Report ll
OPEN ACCESS differentiated and rarely expressed CD27, CD127, or PD-1 (Fig-
ures S4 and S5). Age had no apparent influence on these pheno-
typic characteristics (data not shown). differentiated and rarely expressed CD27, CD127, or PD-1 (Fig-
ures S4 and S5). Age had no apparent influence on these pheno-
typic characteristics (data not shown). CD57 memory T cells proliferated and acquired expression of
CD57 and/or that CD57+ memory T cells proliferated and retained
expression of CD57. Proliferation rates were denoted by p1 and p2
for CD57 and CD57+ memory T cells, respectively, such that
replicative senescence in the CD57+ subsets was represented
by the constraint p2 = 0. Telomeres shorten by an average of
50 bp per cell division (De Boer and Noest, 1998). In some cases,
this rate of erosion can be counteracted by the activity of telome-
rase, a possibility that was included in the model assumptions via
an additional parameter, termed K. CD57 and CD57+ Memory T Cells Have Similar Division
Hi
i DISCUSSION In this study, we used in vivo deuterium labeling and ex vivo an-
alyses of telomere length, telomerase activity, and intracellular gure 2. Ki67+ Cells Are Readily Detectable in the CD57+ Memory T Cell Pool (A) Representative flow cytometric data from a labeled volunteer (DW01) showing cytosolic expression of Ki67 among memory CD4+ (top) or CD8+ T cells (bottom)
gated as CD57 (blue) or CD57+ (red). (A) Representative flow cytometric data from a labeled volunteer (DW01) showing cytosolic expression of Ki67 among memory CD4+ (top) or CD8+ T cells (bottom)
gated as CD57 (blue) or CD57+ (red). t cytosolic expression of Ki67 among memory CD4+ (top) or CD8+ T cells (bottom) gated as CD57 (blue triangles) or CD57+ (red ci
d samples Wilcoxon test. (B) Percent cytosolic expression of Ki67 among memory CD4+ (top) or CD8+ T cells (bottom) gated as CD57 (blue triangles) or C
0.01. Paired samples Wilcoxon test. (C) Representative flow cytometric data from unlabeled volunteers (n = 2) showing cytosolic/nuclear expression of Ki67 among memory CD4+ T cells gated as
CD57 (blue) or CD57+ (red). HC07 was seronegative for CMV. (C) Representative flow cytometric data from unlabeled volunteers (n = 2) showing cytosolic/nuclear expression of Ki67 among memory CD4+ T cells gated as
CD57 (blue) or CD57+ (red). HC07 was seronegative for CMV. (D) Top: percent cytosolic/nuclear expression of Ki67 among memory CD4+ T cells gated as CD57 (blue triangles) or CD57+ (red circles). Bottom: percent
expression of CD28 among the corresponding Ki67+CD57 (blue triangles) and Ki67+CD57+ memory CD4+ T cells (red circles). **p < 0.01. Paired samples
Wilcoxon test. (D) Top: percent cytosolic/nuclear expression of Ki67 among memory CD4+ T cells gated as CD57 (blue triangles) or CD57+ (red circles). Bottom: percent
expression of CD28 among the corresponding Ki67+CD57 (blue triangles) and Ki67+CD57+ memory CD4+ T cells (red circles). **p < 0.01. Paired samples
Wilcoxon test. (E) Representative flow cytometric data from unlabeled volunteers (n = 2) showing cytosolic/nuclear expression of Ki67 among memory CD8+ T cells gated as
CD57 (blue) or CD57+ (red). HC02 was seropositive for CMV, and HC08 was seronegative for CMV. (E) Representative flow cytometric data from unlabeled volunteers (n = 2) showing cytosolic/nuclear expression of Ki67 among memory CD8+ T cells gated as
CD57 (blue) or CD57+ (red). HC02 was seropositive for CMV, and HC08 was seronegative for CMV. DISCUSSION entative flow cytometric data from unlabeled volunteers (n = 2) showing cytosolic/nuclear expression of Ki67
ue) or CD57+ (red). HC02 was seropositive for CMV, and HC08 was seronegative for CMV. (
)
(
)
p
g
(F) Top: percent cytosolic/nuclear expression of Ki67 among memory CD8+ T cells gated as CD57 (blue triangles) or CD57+ (red circles). Bottom: percent
expression of CD28 among the corresponding Ki67+CD57 (blue triangles) and Ki67+CD57+ memory CD8+ T cells (red circles). *p < 0.05, **p < 0.01. Paired
samples Wilcoxon test. (F) Top: percent cytosolic/nuclear expression of Ki67 among memory CD8+ T cells gated as CD57 (blue triangles) or CD57+ (red circles). Bottom: percent
expression of CD28 among the corresponding Ki67+CD57 (blue triangles) and Ki67+CD57+ memory CD8+ T cells (red circles). *p < 0.05, **p < 0.01. Paired
samples Wilcoxon test. p
(G) Phenotypic characteristics of Ki67+CD57 and Ki67+CD57+ memory CD4+ (top) or CD8+ T cells (bottom) shown overlaid on density clouds representing the
corresponding total CD4+ (top) or CD8+ T cell populations (bottom). Related to (A). (G) Phenotypic characteristics of Ki67+CD57 and Ki67+CD57+ memory CD4+ (top) or CD8+ T cells (bottom) shown overlaid on density clouds representing the
corresponding total CD4+ (top) or CD8+ T cell populations (bottom). Related to (A). of Ki67+CD57 and Ki67+CD57+ memory CD4+ T cells shown overlaid on density clouds representing the corresponding total
d to (C). Key as in (G). ) Phenotypic characteristics of Ki67+CD57 and Ki67+CD57+ memory CD4+ T cells shown overlaid on density clouds represe
D4+ T cell populations. Related to (C). Key as in (G). CD4+ T cell populations. Related to (C). Key as in (G). p p
( )
y
( )
(I) Phenotypic characteristics of Ki67+CD57 and Ki67+CD57+ memory CD8+ T cells shown overlaid on density clouds representing the corresponding total CD8+
T cell populations. Related to (E). Key as in (G). (I) Phenotypic characteristics of Ki67+CD57 and Ki67+CD57+ memory CD8+ T cells shown overlaid on density clouds representing the corresponding total CD8+
T cell populations. Related to (E). Key as in (G). Cell Reports 33, 108501, December 15, 2020
5 Report ll
OPEN ACCESS A
C
D
B
ure 3. CD57 and CD57+ Memory T Cells Have Similar Division Histories
Representative single telomere length analysis (STELA) data showing XpYp telomere lengths among CD57 and CD57+ memory CD4+ or CD8+ T cells
pled from a labeled volunteer (DW02). DISCUSSION XpYp telomere lengths among CD57 and CD57+ memory CD4+ or CD8+ T cells sampled from labeled volunteers (cohort 2). *p < 0.05, **p < 0.01, ***p < 0.001
nn-Whitney U test. 7p telomere lengths among CD57 and CD57+ memory CD4+ or CD8+ T cells sampled from unlabeled volunteers (cohort 3). *p < 0.05, **p < 0.01, ***p < 0.001
nn-Whitney U test. Pooled XpYp telomere length data for the volunteers shown in (B). Red lines show means with 95% confidence intervals. Mean values are specified above
h column. Significance was assessed using the Mann-Whitney U test. p B A A B A D C D C Figure 3. CD57 and CD57+ Memory T Cells Have Similar Division Histories
(A) Representative single telomere length analysis (STELA) data showing XpYp telomere lengths among CD57 and CD57+ memory CD4+ or CD8+ T cells
sampled from a labeled volunteer (DW02). (B) XpYp telomere lengths among CD57 and CD57+ memory CD4+ or CD8+ T cells sampled from labeled volunteers (cohort 2). *p < 0.05, **p < 0.01, ***p < 0.001. Mann-Whitney U test. (C) 17p telomere lengths among CD57 and CD57+ memory CD4+ or CD8+ T cells sampled from unlabeled volunteers (cohort 3). *p < 0.05, **p < 0.01, ***p < 0.001. Mann-Whitney U test. (D) Pooled XpYp telomere length data for the volunteers shown in (B). Red lines show means with 95% confidence intervals. Mean values are specified above
each column. Significance was assessed using the Mann-Whitney U test. Figure 3. CD57
and CD57+ Memory T Cells Have Similar Division Histories
(A) Representative single telomere length analysis (STELA) data showing XpYp telomere lengths among CD57 and CD57+ memory CD4+ or CD8+ T cells
sampled from a labeled volunteer (DW02). (B) XpYp telomere lengths among CD57 and CD57+ memory CD4+ or CD8+ T cells sampled from labeled volunteers (cohort 2). *p < 0.05, **p < 0.01, ***p < 0.001. Mann-Whitney U test. (C) 17p telomere lengths among CD57 and CD57+ memory CD4+ or CD8+ T cells sampled from unlabeled volunteers (cohort 3). *p < 0.05, **p < 0.01, ***p < 0.001. Mann-Whitney U test. (D) Pooled XpYp telomere length data for the volunteers shown in (B). Red lines show means with 95% confidence intervals. Mean values are specified above
each column. Significance was assessed using the Mann-Whitney U test. DISCUSSION CD57+ memory T cells in the CD4+ and CD8+ lineages, consis-
tent with a relatively small biological effect, and in line with recent
observations (Fali et al., 2018), telomere lengths were maintained
to a slightly greater extent among CD57 memory CD4+ T cells
compared with CD57+ memory CD4+ T cells. In contrast, telo-
mere lengths were distributed around similar means in the
CD57 and CD57+ memory CD8+ T cell populations. Mathemat-
ical modeling of the experimental data further suggested that
self-renewal via intracompartmental proliferation rather than expression of the cell-cycle marker Ki67 to investigate the para-
digm that replicatively senescent memory T cells can be identi-
fied via the surrogate marker CD57. We detected similar rates
of proliferation among CD57 and CD57+ memory T cells in
both coreceptor-defined lineages. These results were supported
by flow cytometric analyses, which revealed the presence of
actively dividing cells in the corresponding CD57+ memory
T cell populations. Marginally higher levels of telomerase activity
were detected among CD57 memory T cells compared with 6
Cell Reports 33, 108501, December 15, 2020 6 ll
OPEN ACCESS A
B
57 and CD57+ Memory T Cells Self-Renew In Vivo
representation of the mathematical model. the measured data (dots) for CD57 and CD57+ memory CD4+ (left) or CD8+ T cells (right) with p2 constrained to zero (dashed lines)
Cell Reports 33 108501 Decem A A B B C
+
C
S Figure 4. CD57 and CD57+ Memory T Cells Self-Renew In Vivo
(A) Schematic representation of the mathematical model. g
y
(A) Schematic representation of the mathematical model. (B) Model fits to the measured data (dots) for CD57 and CD57+ memory CD4+ (left) or CD8+ T cells (right) with p2 constrained to zero (dashed lines) or free (solid lines). (B) Model fits to the measured data (dots) for CD57 and CD57+ memory CD4+ (left) or CD8+ T cells (right) with p2 constrained to zero (dashed lines) or free (solid lines). Cell Reports 33, 108501, December 15, 2020
7 Report Report ll
OPEN ACCESS Table 1. DISCUSSION Parameter Estimates from Model Fits to the Experimental Data
ID
p1
(% per
day)
SE
(% per
day)
z1
(% per
day)
SE
(% per
day)
p2
(% per
day)
SE
(% per
day)
z2
(% per
day)
SE
(% per
day)
mR
(% per
day)
SE
(% per
day)
Self-
renewal
(%)
CD4+ T Cells
DW01
0.33
0.04
0.0088
0.27
0.59
0.08
1.24
0.37
0.02
0.01
97
DW02
0.65
0.06
1.89
0.31
2.08
0.23
3.77
0.58
0.17
0.03
93
DW04
0.53
N/D
1.43
N/D
0.53
N/D
1.65
N/D
0.00
N/D
100
DW10
0.58
0.05
1.80
0.28
0.49
0.05
0.92
0.22
0.00
0.00
99
DW11
0.44
0.06
1.24
0.33
1.64
0.02
5.24
0.66
0.45
0.02
79
Median
0.53
1.43
0.59
1.65
0.02
97
CD8+ T Cells
DW01
0.26
0.02
0.73
0.13
0.40
0.03
0.70
0.13
0.02
0.00
96
DW02
0.22
0.02
0.86
0.22
0.42
0.04
0.45
0.19
0.04
0.01
92
DW04
0.37
N/D
0.91
N/D
0.37
N/D
0.62
N/D
0.00
N/D
100
DW10
0.55
0.17
3.60
1.53
0.34
0.11
0.63
0.56
0.02
0.02
95
DW11
0.07
0.01
0.24
0.34
0.32
0.03
0.81
0.04
0.07
0.01
83
Median
0.26
0.86
0.37
0.63
0.02
95
The best-fit estimates are shown. A limited number of data points were available from one volunteer (DW04). The asymptotic covariance matrix method
was used to calculate standard errors (SEs). The percentage of new CD57+ T cells generated via intracompartmental proliferation (right column) was
calculated as 100 3 p2/(p2 + mR). ID, identification number; N/D, not determined. The best-fit estimates are shown. A limited number of data points were available from one volunteer (DW04). The asymptotic covariance matrix method
was used to calculate standard errors (SEs). The percentage of new CD57+ T cells generated via intracompartmental proliferation (right column) was
calculated as 100 3 p2/(p2 + mR). ID, identification number; N/D, not determined. replenishment via phenotypic conversion was by far the most
abundant source of newly generated CD57+ memory CD4+
and CD57+ memory CD8+ T cells. thought to indicate a functional dichotomy between CD57-
defined subsets within the CD8+ TEMRA compartment. However,
it does not necessarily follow that a similar dichotomy exists un-
der homeostatic conditions, because terminally differentiated
CD57+ memory CD8+ T cells may be protected from excessive
stimulation in vivo by a lack of costimulatory receptors, such
as CD27 and CD28. DISCUSSION CD57 was originally recognized as a differentiation antigen on
the surface of NK cells (Abo and Balch, 1981) and subsequently
associated with other lymphocyte subsets in germinal centers
(Ritchie et al., 1983). In peripheral blood, CD57+ memory
T cells accumulate throughout life, especially after infection
with CMV (Gratama et al., 1989). These associations with age
and persistent antigenic drive were mechanistically linked in a
seminal in vitro study, which reported that replicatively senes-
cent memory CD8+ T cells expressed CD57 (Brenchley et al.,
2003). However, an earlier study had reached a different conclu-
sion (Izquierdo et al., 1990), and later experiments showed that
CD57+ memory CD8+ T cells were able to proliferate in vitro in
the presence of certain growth factors, potentially mimicking
the in vivo microenvironment (Chong et al., 2008). Similar find-
ings were reported in another study, although markedly higher
response frequencies on a per-cell basis were noted in the
CD57 subset compared with the CD57+ subset (Le Priol
et al., 2006). Nonetheless, the proportion of responding cells in
the CD57+ subset was more than sufficient to maintain homeo-
static turnover, at least according to a deuterium labeling study
of bulk memory T cell populations (Zhang et al., 2013). In summary, we have shown that CD57+ memory T cells in the
CD4+ and CD8+ lineages self-renew in vivo, enabling the long-
term maintenance of functionally replete immunological mem-
ory. It remains to be determined how this process is regulated
in terms of antigenic drive versus homeostatic signals as a func-
tion of differentiation status, but nonetheless, it is clear from the
presented data that replicatively senescent memory T cells
cannot be defined solely via surface expression of CD57. 8
Cell Reports 33, 108501, December 15, 2020 ACKNOWLEDGMENTS Brenchley, J.M., Karandikar, N.J., Betts, M.R., Ambrozak, D.R., Hill, B.J.,
Crotty, L.E., Casazza, J.P., Kuruppu, J., Migueles, S.A., Connors, M., et al. (2003). Expression of CD57 defines replicative senescence and antigen-
induced apoptotic death of CD8+ T cells. Blood 101, 2711–2720. The authors extend their profound thanks to all study participants. This work
was funded by Cancer Research UK (grant C17199/A18246), the Medical
Research Council (grant G1001052), and the Wellcome Trust (grant 093053/
Z/10/Z). J.L.-B. was supported by the European Union Seventh Framework
Programme (grant 317040, QuanTI). Pilot studies were funded in part by the
National Institutes of Health (NIH) via grant RO1 AI43866 to M.K.H. and grants
R37 AI40312 and U01 AI43641 to J.M.M., who also received a Burroughs Well-
come Fund Clinical Scientist Award in Translational Research and was sup-
ported by an NIH Director’s Pioneer Award, part of the NIH Roadmap for Med-
ical Research, via grant DPI OD00329. Research conducted at the University
of California San Francisco Clinical and Translational Science Institute under
the guidance of J.M.M. was supported by the National Center for Research
Resources, part of the NIH Roadmap for Medical Research, via grant UL1
RR024131-01. D.A.P. was supported by a Wellcome Trust Senior Investigator
Award (100326/Z/12/Z). B.A. was supported by the European Union Seventh
Framework Programme (grant 317040, QuanTI), Leukemia and Lymphoma
Research (grant 15012), Medical Research Council (grants G1001052 and
J007439), and Wellcome Trust via an Investigator Award (103865/Z/14/Z). Burnham, K.P., and Anderson, D.R. (2002). Model Selection and Multimodel
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derer, M., and De Rosa, S.C. (2009). d QUANTIFICATION AND STATISTICAL ANALYSIS Ahmed, R., Roger, L., Costa Del Amo, P., Miners, K.L., Jones, R.E., Boelen, L.,
Fali, T., Elemans, M., Zhang, Y., Appay, V., et al. (2016). Human stem cell-like
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B Inclusion of Telomere Length Data in Model Fits memory T cells are maintained in a state of dynamic flux. Cell Rep. 17, 2811–
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73, 975–983. B Estimation of Telomere Length Change B Fitting Procedure B Fitting Procedure Benito, J.M., Ortiz, M.C., Leo´ n, A., Sarabia, L.A., Ligos, J.M., Montoya, M.,
Garcia, M., Ruiz-Mateos, E., Palacios, R., Cabello, A., et al.; ECRIS integrated AUTHOR CONTRIBUTIONS M.K.H., J.M.M., D.A.P., D.C.M., and K.L. designed experiments; R.A., K.L.M.,
R.E.J., L.R., Y.Z., and K.L. performed experiments; C.B., M.K.H., J.M.M.,
D.M.B., D.A.P., D.C.M., and K.L. supervised experiments; R.A., K.L.M.,
R.E.J., L.R., D.M.B., D.C.M., and K.L. analyzed data; J.L.-B. and B.A. modeled
data; D.A.P., D.C.M., B.A., and K.L. wrote the manuscript. All authors contrib-
uted intellectually and approved the manuscript. Chong, L.K., Aicheler, R.J., Llewellyn-Lacey, S., Tomasec, P., Brennan, P.,
and Wang, E.C. (2008). Proliferation and interleukin 5 production by CD8hi
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immunological memory and stemness. PLoS Biol. 16, e2005523. ACKNOWLEDGMENTS The cytolytic enzymes granyzme A, gran-
zyme B, and perforin: expression patterns, cell distribution, and their relation-
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elite controllers. BMC Med. 16, 30. Supplemental Information can be found online at https://doi.org/10.1016/j. celrep.2020.108501. Bodnar, A.G., Kim, N.W., Effros, R.B., and Chiu, C.P. (1996). Mechanism of
telomerase induction during T cell activation. Exp. Cell Res. 228, 58–64. The authors declare no competing interests. Day, C.L., Kaufmann, D.E., Kiepiela, P., Brown, J.A., Moodley, E.S., Reddy, S.,
Mackey, E.W., Miller, J.D., Leslie, A.J., DePierres, C., et al. (2006). PD-1
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Revised: August 26, 2020
Accepted: November 18, 2020
Published: December 15, 2020 Published: December 15, 2020 De Boer, R.J., and Noest, A.J. (1998). T cell renewal rates, telomerase, and
telomere length shortening. J. Immunol. 160, 5832–5837. STAR+METHODS Detailed methods are provided in the online version of this paper
and include the following: d KEY RESOURCES TABLE d KEY RESOURCES TABLE
d RESOURCE AVAILABILITY
B Lead Contact
B Materials Availability
B Data and Code Availability
d EXPERIMENTAL MODEL AND SUBJECT DETAILS
d METHOD DETAILS
B Measurement and Analysis of Deuterium Enrichment in
T Cell DNA
B Flow Cytometry and Cell Sorting
B Single Chromosome Telomere Length Analysis
B Measurement of Telomerase Activity TEMRA cells are somewhat resistant to apoptosis (Gupta and
Gollapudi, 2007) and retain deuterium in the CD8+ lineage with
an estimated half-life of approximately 25 years, assuming sim-
ple exponential decay without phenotypic conversion (Ladell
et al., 2008). In response to extreme stimulation with supraphy-
siological concentrations of phytohemagglutinin and inter-
leukin-2, CD8+ TEMRA cells that expressed CD57 were recently
found to be more susceptible to cell death than CD8+ TEMRA cells
that lacked CD57 (Verma et al., 2017). This observation was 8
Cell Reports 33, 108501, December 15, 2020 Report ll
OPEN ACCESS Report subsets defined by CD57, CD27, and CD45 iso-
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progression. J. Immunol. 180, 7907–7918. Trautmann, L., Janbazian, L., Chomont, N., Said, E.A., Gimmig, S., Bessette,
B., Boulassel, M.R., Delwart, E., Sepulveda, H., Balderas, R.S., et al. (2006). Upregulation of PD-1 expression on HIV-specific CD8+ T cells leads to revers-
ible immune dysfunction. Nat. Med. 12, 1198–1202. Lahoz-Beneytez, J., Elemans, M., Zhang, Y., Ahmed, R., Salam, A., Block, M.,
Niederalt, C., Asquith, B., and Macallan, D. (2016). Human neutrophil kinetics:
modeling of stable isotope labeling data supports short blood neutrophil half-
lives. Blood 127, 3431–3438. van Leeuwen, E.M., Gamadia, L.E., Baars, P.A., Remmerswaal, E.B., ten
Berge, I.J., and van Lier, R.A. (2002). Proliferation requirements of cytomega-
lovirus-specific, effector-type human CD8+ T cells. J. Immunol. 169, 5838–
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rens, Y.L., Mischak-Weissinger, E., and Hambach, L. (2017). Human CD8+
CD57 TEMRA cells: too young to be called ‘‘old’’. PLoS ONE 12, e0177405. McCune, J.M., Hanley, M.B., Cesar, D., Halvorsen, R., Hoh, R., Schmidt, D.,
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Cell Reports 33, 108501, December 15, 2020 Report ll
OPEN ACCESS ll
OPEN ACCESS REAGENT or RESOURCE
SOURCE
IDENTIFIER
Antibodies
Anti-CD3–APC-H7 (clone SK7)
BD Biosciences
Cat#641415; RRID:AB_2870309
Anti-CD4–PE-Cy5.5 (clone S3.5)
Thermo Fisher Scientific
Cat#MHCD0418; RRID:AB_10376013
Anti-CD8–BV711 (clone RPA-T8)
BioLegend
Cat#301044; RRID:AB_2562906
Anti-CD14–V500 (clone M5E2)
BD Biosciences
Cat#561391; RRID:AB_10611856
Anti-CD19–V500 (clone HIB19)
BD Biosciences
Cat#561121; RRID:AB_10562391
Anti-CD27–QD605 (clone CLB-27/1)
Thermo Fisher Scientific
Cat#Q10065; RRID:AB_2556450
Anti-CD28–APC (clone CD28.2)
BD Biosciences
Cat#559770; RRID:AB_398666
Anti-CD28–BV421 (clone CD28.2)
BioLegend
Cat#302930; RRID:AB_2561910
Anti-CD45RA–ECD (clone 2H4LDH11LDB9)
Beckman Coulter
Cat#M2711U; RRID:AB_10640553
Anti-CD45RA–PE (clone HI100)
BD Biosciences
Cat#555489; RRID:AB_395880
Anti-CD45RO–ECD (clone UCHL1)
Beckman Coulter
Cat#IM2712U; RRID:AB_10639537
Anti-CD57–FITC (clone NK-1)
BD Biosciences
Cat#555619; RRID:AB_395986
Anti-CD57–PE-Cy7 (clone NK-1)
BioLegend
Cat#359624; RRID:AB_2632689
Anti-CD127–BV421 (clone A019D5)
BioLegend
Cat#351310; RRID:AB_10960140
Anti-CCR7–BV421 (clone G043H7)
BioLegend
Cat#353208; RRID:AB_11203894
Anti-CCR7–FITC (clone 150503)
BD Biosciences
Cat#561271; RRID:AB_10561679
Anti-CCR7–PE-Cy7 (clone 3D12)
BD Biosciences
Cat#557648; RRID:AB_396765
Anti-CXCR3–BV421 (clone G025H7)
BioLegend
Cat#353716; RRID:AB_2561448
Anti-Ki67–AF647 (clone B56)
BD Biosciences
Cat#558615; RRID:AB_647130
Anti-Ki67–FITC (clone B56)
BD Biosciences
Cat#556026; RRID:AB_396302
Anti-PD-1–BV421 (clone EH12.2H7)
BioLegend
Cat#329920; RRID:AB_10960742
Biological Samples
Peripheral blood from adults infected
with HIV-1
San Francisco General Hospital,
San Francisco, CA, USA
N/A
Peripheral blood from healthy adult volunteers
St George’s Hospital, London, UK
N/A
Peripheral blood from healthy adult volunteers
Cardiff University School of
Medicine, Cardiff, UK
N/A
Chemicals, Peptides, and Recombinant Proteins
Heavy water (2H2O)
Cambridge Isotope Laboratories
Cat#DLM-4TPB-PK
Pentafluorobenzyl hydroxylamine
Sigma-Aldrich
Cat#194484
Sodium dodecyl sulfate
Thermo Fisher Scientific
Cat#10593355
Tris(hydroxymethyl) methylamine
Thermo Fisher Scientific
Cat#77-86-1
Ethylenediaminetetraacetic acid
Sigma-Aldrich
Cat#E6511-100G
Sodium hydroxide
Thermo Fisher Scientific
Cat#J/7620/15
Sodium phosphate dibasic
Sigma-Aldrich
Cat#7558-79-4
Hydrochloric acid
Thermo Fisher Scientific
Cat#7647-01-0
Critical Commercial Assays
LIVE/DEAD Fixable Aqua Dead Cell
Stain Kit
Thermo Fisher Scientific
Cat#L34966
Cytofix/Cytoperm Kit
BD Biosciences
Cat#554715
Foxp3 Transcription Factor Staining
Buffer Kit
Thermo Fisher Scientific
Cat#00-5521-00
QIAmp DNA Mini Kit
QIAGEN
Cat#51304
QIAmp DNA Micro Kit
QIAGEN
Cat#56304
(Continued on next page) REAGENT or RESOURCE
SOURCE
IDENTIFIER
Antibodies
Anti-CD3–APC-H7 (clone SK7)
BD Biosciences
Cat#641415; RRID:AB_2870309
Anti-CD4–PE-Cy5.5 (clone S3.5)
Thermo Fisher Scientific
Cat#MHCD0418; RRID:AB_10376013
Anti-CD8–BV711 (clone RPA-T8)
BioLegend
Cat#301044; RRID:AB_2562906
Anti-CD14–V500 (clone M5E2)
BD Biosciences
Cat#561391; RRID:AB_10611856
Anti-CD19–V500 (clone HIB19)
BD Biosciences
Cat#561121; RRID:AB_10562391
Anti-CD27–QD605 (clone CLB-27/1)
Thermo Fisher Scientific
Cat#Q10065; RRID:AB_2556450
Anti-CD28–APC (clone CD28.2)
BD Biosciences
Cat#559770; RRID:AB_398666
Anti-CD28–BV421 (clone CD28.2)
BioLegend
Cat#302930; RRID:AB_2561910
Anti-CD45RA–ECD (clone 2H4LDH11LDB9)
Beckman Coulter
Cat#M2711U; RRID:AB_10640553
Anti-CD45RA–PE (clone HI100)
BD Biosciences
Cat#555489; RRID:AB_395880
Anti-CD45RO–ECD (clone UCHL1)
Beckman Coulter
Cat#IM2712U; RRID:AB_10639537
Anti-CD57–FITC (clone NK-1)
BD Biosciences
Cat#555619; RRID:AB_395986
Anti-CD57–PE-Cy7 (clone NK-1)
BioLegend
Cat#359624; RRID:AB_2632689
Anti-CD127–BV421 (clone A019D5)
BioLegend
Cat#351310; RRID:AB_10960140
Anti-CCR7–BV421 (clone G043H7)
BioLegend
Cat#353208; RRID:AB_11203894
Anti-CCR7–FITC (clone 150503)
BD Biosciences
Cat#561271; RRID:AB_10561679
Anti-CCR7–PE-Cy7 (clone 3D12)
BD Biosciences
Cat#557648; RRID:AB_396765
Anti-CXCR3–BV421 (clone G025H7)
BioLegend
Cat#353716; RRID:AB_2561448
Anti-Ki67–AF647 (clone B56)
BD Biosciences
Cat#558615; RRID:AB_647130
Anti-Ki67–FITC (clone B56)
BD Biosciences
Cat#556026; RRID:AB_396302
Anti-PD-1–BV421 (clone EH12.2H7)
BioLegend
Cat#329920; RRID:AB_10960742 Cell Reports 33, 108501, December 15, 2020
e1 Continued
REAGENT or RESOURCE
SOURCE
IDENTIFIER
Oligonucleotides
XpYpE2: TTGTCTCAGGGTCCTAGTG
Eurofins Genomics
Custom
17pserev1: GAATCCACGGATTGCTTTGTGTAC
Eurofins Genomics
Custom
Telorette2: TGCTCCGTGCATCTGGCATCTAACCCT
Eurofins Genomics
Custom
Teltail: TGCTCCGTGCATCTGGCATC
Eurofins Genomics
Custom
Software and Algorithms
DiVa version 8
BD Biosciences
https://www.bdbiosciences.com/en-us
FlowJo software version 9.9.4
FlowJo LLC
https://www.flowjo.com
Phoretix 1D Quantifier
Nonlinear Dynamics
http://www.nonlinear.com/about/totallab
Prism version 8
GraphPad
https://www.graphpad.com
Other
DreamTaq polymerase
Thermo Fisher Scientific
Cat#EP0702
Pwo polymerase
Sigma-Aldrich
Cat#11644955001
dNTPs
Promega
Cat#U1511
a-33P dCTP
PerkinElmer
Cat#BLU013H100UC
Megaprime
VWR
Cat#RPN1607
Hybond-XL
VWR
Cat#RPN15205
Agarose MP
Sigma-Aldrich
Cat#11388983001
1 kb ladder
Agilent
Cat#201115
2.5 kb ladder
Bio-Rad
Cat#1708205
FACSVantage SE
BD Biosciences
https://www.bdbiosciences.com/en-us
FACSAria
BD Biosciences
https://www.bdbiosciences.com/en-us
Special Order Research Product
FACSAria II
BD Biosciences
https://www.bdbiosciences.com/en-us
GC/MS (5873/6980)
Agilent
https://www.agilent.com
DB-17 column
Agilent
https://www.agilent.com
Tetrad2 Thermal Cycler
Bio-Rad
https://www.bio-rad.com
Typhoon FLA 9500 Phosphorimager
GE Healthcare
https://www.cytivalifesciences.com/
Report
ll
OPEN ACCESS ll
OPEN ACCESS ll
OPEN ACCESS Data and Code Availability y
reported in this study are available on request from the Lead Contact, Kristin Ladell (ladellk@gmail.com). The datasets reported in this study are available on request from the Lead Contact, Kristin Ladell (ladellk@gmail.com). The datasets reported in this study are available on request from the Lead Contact, Kristin Lad RESOURCE AVAILABILITY Lead Contact
Further information and requests for reagents and resources should be directed to and will be fulfilled by the Lead Contact, Kristin
Ladell (ladellk@gmail.com). Lead Contact
Further information and requests for reagents and resources should be directed to and will be fulfilled by the Lead Contact, Kristin
Ladell (ladellk@gmail.com). Lead Contact
Further information and requests for reagents and resources should be directed to and will be fulfilled by the Lead Contact, Kristin
Ladell (ladellk@gmail.com). Materials Availability
This study did not generate new unique reagents. Materials Availability
This study did not generate new unique reagents. General Statistics Unmatched groups were compared using the Mann-Whitney U test, and matched groups were compared using the paired samples
Wilcoxon test. Significance was assigned at p < 0.05. Measurement of Telomerase Activity Flow-sorted T cells were lyzed and assayed in two steps using a modified SYBR Green real-time quantitative telomeric repeat ampli-
fication protocol (Wege et al., 2003). Standard curves were obtained from serial dilutions of a 293T cell extract with known telomerase
activity. Experimental telomerase activity was calculated with reference to 293T cells and expressed as relative telomerase activity
(Ct293T/Ctsample). EXPERIMENTAL MODEL AND SUBJECT DETAILS Three groups of human volunteers participated in this work. Cohort 1: volunteers with chronic HIV-1 infection (aged 36–53
years) were recruited for preliminary in vivo labeling studies (n = 4 males; Table S1). All were antiretroviral drug-free and sero-
positive for CMV. Cohort 2: healthy volunteers (aged 29–83 years) were recruited for more extensive in vivo labeling studies
(n = 3 females; n = 5 males; Table S1). All were seronegative for hepatitis C virus and HIV-1 and seropositive for CMV. Cohort
3: additional healthy volunteers (aged 28–58 years) were recruited for phenotypic studies and measurements of telomere
length and telomerase activity (n = 7 females; n = 7 males). Similar experiments were performed using venous blood samples
donated by 5 of the 8 volunteers in cohort 2. All studies were conducted in accordance with the principles of the Declaration
of Helsinki. Ethical approval was granted by the University of California Committee on Human Research (cohort 1), the London- e2
Cell Reports 33, 108501, December 15, 2020 R
t Report ll
OPEN ACCESS ll
OPEN ACCESS Chelsea Research Ethics Committee (cohort 2), and the Cardiff University School of Medicine Research Ethics Committee
(cohort 3). METHOD DETAILS Measurement and Analysis of Deuterium Enrichment in T Cell DNA
T cell proliferation in vivo was measured using deuterium (2H) labeling as described previously (Busch et al., 2007; Hellerstein et al.,
1999; Ladell et al., 2008; McCune et al., 2000; Neese et al., 2001; Westera et al., 2013). Briefly, volunteers received heavy water (2H2O)
orally for 7 weeks (Figure 1A), and deuterium incorporation into the DNA of flow-sorted T cells was quantified via gas chromatog-
raphy/mass spectrometry (Agilent 5873/6980) (Ladell et al., 2008). DNA was released by boiling and hydrolyzed according to
standard protocols, and deoxyribonucleosides were derivatized using pentafluorobenzyl hydroxylamine (Sigma-Aldrich). Gas chro-
matography/mass spectrometry was performed in negative chemical ionization mode using a DB-17 column (Agilent). The M+1/M+0
isotopomer ratio was monitored at mass-to-charge (m/z) 436/435. To normalize for body water enrichment, weekly saliva samples
were analyzed for 2H2O content via calcium carbide-induced acetylene generation, monitoring at m/z 27/26 (Previs et al., 1996). Single Chromosome Telomere Length Analysis DNA was extracted from 3,000 flow-sorted T cells using a QIAmp DNA Micro Kit (QIAGEN). Single telomere length analysis (STELA)
was carried out at the XpYp or the 17p telomere as described previously (Capper et al., 2007). Briefly, 0.75 mL of the Telorette-2 linker
(10 mM) was added to genomic DNA eluted in 35 mL of Tris (10 mM). Multiple PCRs were then performed for each test DNA. Each
reaction was set up in a final volume of 10 mL containing 250 pg of DNA and the telomere-adjacent and Teltail primers at a final con-
centration of 0.5 mM in 75 mM Tris-HCl pH 8.8, 20 mM (NH4)2SO4, 0.01% Tween-20, and 1.5 mM MgCl2, with 0.5 U of a 10:1 mixture of
Taq (Thermo Fisher Scientific) and Pwo polymerase (Sigma-Aldrich). The reactions were processed in a Tetrad2 Thermal Cycler
(Bio-Rad). DNA fragments were resolved via 0.5% Tris-acetate-EDTA agarose gel electrophoresis and identified via Southern hybrid-
ization with a random-primed a-33P-labeled (PerkinElmer) TTAGGG repeat probe, together with probes specific for molecular weight
markers at 1 kb (Agilent) and 2.5 kb (Bio-Rad). Hybridized fragments were detected using a Typhoon FLA 9500 Phosphorimager (GE
Healthcare). The molecular weights of the DNA fragments were calculated using Phoretix 1D Quantifier (Nonlinear Dynamics). Flow Cytometry and Cell Sorting y
y
g
T cell subsets of interest were flow-sorted from freshly isolated peripheral blood mononuclear cells (PBMCs) at >98% purity using a
FACSVantage SE, a FACSAria, or a Special Order Research Product FACSAria II (all from BD Biosciences). Cells were stained with
combinations of the following reagents: (1) anti-CD3–APC-H7 (clone SK7), anti-CD14–V500 (clone M5E2), anti-CD19–V500 (clone
HIB19), anti-CD28–APC (clone CD28.2), anti-CD45RA–PE (clone HI100), anti-CD57–FITC (clone NK-1), anti-CCR7–FITC (clone
150503), and anti-CCR7–PE-Cy7 (clone 3D12) from BD Biosciences; (2) anti-CD4–PE-Cy5.5 (clone S3.5), anti-CD27–QD605 (clone
CLB-27/1), and LIVE/DEAD Fixable Aqua from Thermo Fisher Scientific; (3) anti-CD8–BV711 (clone RPA-T8), anti-CD28–BV421
(clone CD28.2), anti-CD57–PE-Cy7 (clone NK-1), anti-CD127–BV421 (clone A019D5), anti-CCR7–BV421 (clone G043H7), anti-
CXCR3–BV421 (clone G025H7), and anti-PD-1–BV421 (clone EH12.2H7) from BioLegend; and (4) anti-CD45RA–ECD (clone
2H4LDH11LDB9) and anti-CD45RO–ECD (clone UCHL1) from Beckman Coulter. Viable CD57 and CD57+ memory T cells were
identified in the CD4+ and/or CD8+ lineages after exclusion of CD27brightCD45RO (Figure 1C) or CD45RA+CCR7+ events (Figure S1). Cytosolic expression of Ki67 was evaluated using anti-Ki67–AF647 (clone B56; BD Biosciences) in conjunction with a Cytofix/Cyto-
perm Kit (BD Biosciences), and cytosolic/intranuclear expression of Ki67 was evaluated using anti-Ki67–FITC (clone B56; BD Bio-
sciences) in conjunction with a Foxp3 Transcription Factor Staining Buffer Kit (Thermo Fisher Scientific). Data were analyzed with
FlowJo software version 9.9.4 (FlowJo LLC). Report The fraction of label thus became: dL1
dt = p1bwUt z
1L1 dL2
dt = ðp2 + mRÞbwUt z
2L2 where p1 and p2 are as above, z1* and z2* are the rates of loss of labeled CD57 and CD57+ memory T cells, respectively, L1 and L2 are
the fractions of labeled deoxyadenosine among CD57 and CD57+ memory T cells, respectively, R is the ratio of CD57 to CD57+
memory T cells (x1/x2), and bw is the amplification factor estimated from label acquisition among granulocytes, assuming 100% turn-
over in 7 weeks. Data were available from 4 volunteers and gave a population average value for bw of 3.5, consistent with previous
studies (Ahmed et al., 2015; Lahoz-Beneytez et al., 2016). The value of bw was therefore fixed at 3.5. Finally, U(t) is an empirical func-
tion used to describe the availability of label in body water: where p1 and p2 are as above, z1* and z2* are the rates of loss of labeled CD57 and CD57+ memory T cells, respectively, L1 and L2 are
the fractions of labeled deoxyadenosine among CD57 and CD57+ memory T cells, respectively, R is the ratio of CD57 to CD57+
memory T cells (x1/x2), and bw is the amplification factor estimated from label acquisition among granulocytes, assuming 100% turn-
over in 7 weeks. Data were available from 4 volunteers and gave a population average value for bw of 3.5, consistent with previous
studies (Ahmed et al., 2015; Lahoz-Beneytez et al., 2016). The value of bw was therefore fixed at 3.5. Inclusion of Telomere Length Data in Model Fits The impact of cell division on telomere length was modeled as described previously (De Boer and Noest, 1998). Telomere length data
were available from 5 of the 8 volunteers in cohort 2. The model was fitted simultaneously to the labeling data and the telomere length
data using the free parameters p1 and p2 to describe the rates of proliferation of CD57 and CD57+ memory T cells, respectively, z1*
and z2* to describe the rates of disappearance of labeled CD57 and CD57+ memory T cells, respectively, and mR, the rate of con-
version from CD57 to CD57+ memory T cells (m) multiplied by the ratio of the frequency of CD57 memory T cells to the frequency of
CD57+ memory T cells (R). Report Finally, U(t) is an empirical func-
tion used to describe the availability of label in body water: UðtÞ = f
1 edt
+ bedt
during labeling t % t UðtÞ = f
1 edt
+ bedt
during labeling t % t UðtÞ = f
1 edt
+ bedt
during labeling t % t UðtÞ = f
1 edt
+ bedt
during labeling t % t UðtÞ = f
1 edt
+ bedt
during labeling t % t as described previously (Vrisekoop et al., 2008), where U(t) represents the fraction of labeled precursor in body water at time t (in
days), f is the fraction of labeled precursor in ingested water, t is the length of the labeling period, d is the turnover rate of body water
per day, and b is the plasma enrichment attained at the end of day 0. Parameters were estimated by fitting the above functions to the
deuterium labeling data measured in saliva. The resulting fits of U(t) to saliva measurements are shown in Figure S2. Report ll
OPEN ACCESS possibility that label acquisition in the CD57+ compartment was a consequence of proliferation-linked differentiation in the CD57
compartment. Accordingly, CD57 and CD57+ memory T cells were allowed to proliferate and die or exit the circulation, and
CD57 memory T cells were allowed to gain expression of CD57. The phenotypic conversion of CD57 memory T cells into
CD57+ memory T cells was considered over n rounds of division, including the possibility that n = 0. In the applied model, CD57 memory T cells (x1) became CD57+ memory T cells (x2) at a rate m: possibility that label acquisition in the CD57+ compartment was a consequence of proliferation-linked differentiation in the CD57
compartment. Accordingly, CD57 and CD57+ memory T cells were allowed to proliferate and die or exit the circulation, and
CD57 memory T cells were allowed to gain expression of CD57. The phenotypic conversion of CD57 memory T cells into
CD57+ memory T cells was considered over n rounds of division, including the possibility that n = 0. In the applied model, CD57 memory T cells (x1) became CD57+ memory T cells (x2) at a rate m: dx1
dt = p1x1 z1x1 dx2
dt = p2x2 z2x2 + mx1 where p1 and p2 are the rates of proliferation of CD57 and CD57+ memory T cells, respectively, and z1 and z2 are the rates of disap-
pearance of CD57 and CD57+ memory T cells, respectively. The possibility that surface expression of CD57 could be acquired dur-
ing clonal expansion was accommodated in the permitted values for m (bounds during fitting [0,40]). where p1 and p2 are the rates of proliferation of CD57 and CD57+ memory T cells, respectively, and z1 and z2 are the rates of disap-
pearance of CD57 and CD57+ memory T cells, respectively. The possibility that surface expression of CD57 could be acquired dur-
ing clonal expansion was accommodated in the permitted values for m (bounds during fitting [0,40]). To minimize the number of free parameters, label enrichment among CD57+ memory T cells was assumed to originate either from
dividing CD57 memory T cells that differentiated into CD57+ memory T cells or from dividing CD57+ memory T cells. A model in
which the acquisition of CD57 was not coincident with clonal expansion resulted in a substantially worse fit to the data and was
not pursued further. e4
Cell Reports 33, 108501, December 15, 2020 Mathematical Modeling Mathematical Modeling
Mechanistic ordinary differential equation-based models were developed to assess the dynamics of CD57 and CD57+ memory
T cells (Costa Del Amo et al., 2018; Patel et al., 2017). These subsets were modeled as dependent populations to investigate the g
Mechanistic ordinary differential equation-based models were developed to assess the dynamics of CD57 and CD57+ memory
T cells (Costa Del Amo et al., 2018; Patel et al., 2017). These subsets were modeled as dependent populations to investigate the Mechanistic ordinary differential equation-based models were developed to assess the dynamics of CD57 and CD57+ memory Cell Reports 33, 108501, December 15, 2020
e3 Cell Reports 33, 108501, December 15, 2020
e3 Cell Reports 33, 108501, December 15, 2020
e3 Report Estimation of Telomere Length Change st
at o
o
e o
e e
e gt
C a ge
The rate of change in telomere loss indices for CD57 memory T cells was defined according to a previous report (De Boer and Noest,
1998) as follows: g
g
mere loss indices for CD57 memory T cells was defined according to a previous report (De Boer and Noes 1998) as follows: dm1
dt = 2p1 dm2
dt = 2p2 mRðm2 m1 KÞ e4
Cell Reports 33, 108501, December 15, 2020 Report R
t ll
OPEN ACCESS where p1, p2, m, and R are as above, K is the length of telomere loss upon clonal expansion in units of division, and m1 and m2 are the
average number of divisions undergone by CD57 and CD57+ memory T cells, respectively. The difference in telomere length be-
tween CD57 and CD57+ memory T cells was estimated as: D = ðm2 m1Þε where ε is the average number of base pairs (bp) lost per division (taken to be 50 bp [De Boer and Noest, 1998]), giving the following
expression for the difference in telomere length: DC = ε
2ðp2 p1Þ
mR
+ K
Cell Reports 33, 108501, December 15, 2020
e5 Fitting Procedure g
ocedu e
The function U(t) was fitted to the deuterium labeling data measured in saliva, and the free parameters f, b, and d were estimated for
each individual. The resulting parameterized U(t) functions were then used as fixed inputs during simultaneous fitting of the deuterium
labeling and telomere length data from CD57 and CD57+ memory T cells using the equations for L1, L2, and DC above. The free
parameters were p1, p2, z1, z2, and mR. As telomerase is highly active during clonal expansion, the telomere length loss index (K)
was initially set to 0 (Bodnar et al., 1996; Collins, 2006). This assumption was subsequently relaxed to explore the impact of variations
in K (Figure S6). The contribution of self-renewal to the production of new CD57+ memory T cells was defined as: contribution from selfrenewal =
p2x2
p2x2 + mx1
=
p2
p2 + mR To ensure that the labeling data and the telomere length data contributed equally to the fit, all residuals were normalized by the mean,
and the deuterium residuals were divided by the number of labeling data points. Conclusions were analyzed for robustness against
changes in the number of telomere base pairs lost per division. Scenarios in which CD57+ memory T cells did not proliferate were also
tested by fixing p2 to 0. Model performance was evaluated using the F test and the AICc (Burnham and Anderson, 2002). The model
was fitted to the data using non-linear least-squares regression implemented via the algorithm Pseudo in the FME package in R (Soe-
taert and Petzoldt, 2010).
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Working of Reindeer’s Antlers at the Neolithic – Bronze Age Settlement Mayak 2 (Murmansk region)
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Povolžskaâ arheologiâ
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cc-by-sa
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ПОВОЛЖСКАЯ
АРХЕОЛОГИЯ № 3 (45)
2023 e-ISSN 2500-2856
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Publishing House “Fän” Kazan, Tatarstan ПОВОЛЖСКАЯ АРХЕОЛОГИЯ № 3 (45) 2023 СОДЕРЖАНИЕ Андреев К.М., Выборнов А.А., Андреева О.В. (Самара, Россия),
Кулькова М.А. (Санкт-Петербург, Россия)
Поселение Сокольный VIII – новая стоянка позднего неолита
Марийского Поволжья ........................................................................................8
Дога Н.С., Выборнов А.А., Гилязов Ф.Ф., Сомов А.В. (Самара, Россия),
Гречкина Т.Ю. (Астрахань, Россия)
Новый памятник неолита в Северном Прикаспии ..............................................25
Скоробогатов А.М. (Воронеж, Россия), Долбунова Е.В. (Санкт-Петербург, Россия), Рослякова Н.В. (Самара, Россия),
Гасилин В.В. (Екатеринбург, Россия)
Ранний неолит Среднего Дона в свете современных исследований
(по материалам стоянки Черкасская-5) ...........................................................38
Голованова Л.В., Дороничев В.Б., Резепкин А.Д., Дороничева Е.В. (Санкт-Петербург, Россия), Паламарчук Р.С. (Миасс, Россия)
От эпипалеолита до средневековья. Предварительные результаты
изучения «Навеса у Алебастрового завода» в Приэльбрусье .......................46
Корочкова О.Н. (Екатеринбург, Россия)
Среднее Зауралье и Западная Сибирь: от эпохи камня к эпохе металла .........70
Григорьев С.А. (Екатеринбург, Россия)
Хронология центральноевропейских импульсов в лесном Поволжье:
фатьяновская и абашевская культуры .............................................................84
Кулькова М.А. (Санкт-Петербург, Россия)
Природные и культурные трансформации на рубеже эпохи бронзы –
раннего железного веков в степном поясе Евразии .......................................95
Каспаров А.Р. (Самарканд, Узбекистан)
Погребальная практика сапаллинской культуры
в отражении ведических текстов ...................................................................109
Мургабаев С.С., Бахтыбаев М.М., Малдыбекова Л.Д., Сиздиков Б.С. (Туркестан, Казахстан), Йовита Р. (Нью-Йорк, США)
Археологические исследования южных склонов Каратау
(комплекс Шимайлы) ......................................................................................118
Овсянников В.В. (Уфа, Россия)
Исследования Ново-Уфимского могильника
кара-абызской культуры в 2000 году .............................................................134
Бехтер А.П. (Санкт-Петербург, Россия)
Φιλισκος ο μαχιμος (к интерпретации одного мирмекийского граффито) .......148
Васильев С.В., Боруцкая С.Б. (Москва, Россия), Желудков А.С. (Липецк,
Россия), Пузанова Т.А. (Москва, Россия), Чендев Ю.Г. (Белгород, Россия),
Бурова Н.Д., Лохова О.В. (Санкт-Петербург, Россия)
Биоархеологические и палеоклиматические аспекты изучения
населения Верхнего Подонья эпохи средней бронзы..................................158 POVOLZHSKAYA ARKHEOLOGIYA № 3 (45) 2023 Лозовская О.В., Фёдорова Д.Н., Малютина А.А., Такташева С.Д. (Санкт-
Петербург, Россия)
Типологический анализ и оценка костеобрабатывающего каменного
инвентаря позднемезолитического слоя стоянки Замостье 2 .....................171
Лычагина Е.Л., Смертина А.Ю., Томилина Е.М. (Пермь, Россия)
Каменные украшения с энеолитических памятников
Верхнего и Среднего Прикамья (попытка комплексного анализа) ..........191
Малютина А.А., Мурашкин А.И.,
Такташева С.Д. (Санкт-Петербург, Россия)
Обработка рога северного оленя
на поселении неолита – эпохи бронзы Маяк 2 (Мурманская обл.) ...........204
Блышко Д.В., Данилов Г.К. (Санкт-Петербург, Россия),
Жульников А.М. (Петрозаводск, Россия), Недомолкина Н.Г. (Вологда,
Россия), Тарасов А.Ю. (Петрозаводск, Россия)
Особенности использования асбеста населением
Восточной Фенноскандии во второй половине IV тыс. до н. э. (по материалам стоянки-мастерской Фофаново XIII) ................................219
Утубаев Ж.Р. (Алматы, Казахстан), Болелов С.Б. (Москва, Россия),
Калиева Ж.С., Суюндикова М.К., Касенова А.Д. (Алматы, Казахстан)
Экспериментальные работы по изготовлению керамики
чирикрабатской культуры ..............................................................................235
Список сокращений .............................................................................................248
Правила для авторов ............................................................................................250 ПОВОЛЖСКАЯ АРХЕОЛОГИЯ № 3 (45) 2023 CONTENT Andreev K.M., Vybornov A.A., Andreeva O.V. (Samara, Russian Federation),
Kulkova M.A. (Saint Petersburg, Russian Federation)
The Sokolniy VIII Settlement – the New Site
of the Late Neolithic in the Mari Volga Basin .....................................................8
Doga N.S., Vybornov A.A., Gilyazov F.F., Somov A.V. (Samara, Russian
Federation), Grechkina T.Y. (Astrakhan, Russian Federation)
A New Neolithic Site in the Nothern Caspian Region.............................................25
Skorobogatov A.M. (Voronezh, Russian Federation), Dolbunova E.V. (Saint
Petersburg, Russian Federation), Roslyakova N.V. (Samara,
Russian Federation), Gasilin V.V. (Ekaterinburg, Russian Federation)
Early Neolithic of the Middle Don in the Light of Current Research
(based on materials from the Cherkasskaya-5 site) ............................................38
Golovanova L.V., Doronichev V.B., Rezepkin A.D., Doronicheva E.V. (Saint Petersburg, Russian Federation), Palamarchuk R.S. (Miass, Russian
Federation)
From the Epipaleolithic to the Middle Ages. Preliminary Research Results
of the “Alebastroviy Zavod Rockshelter” in the Elbrus Region .........................46
Korochkova O.N. (Ekaterinburg, Russian Federation)
Middle Trans-Urals and Western Siberia:
from the Stone Age of to the Metal Age .............................................................70
Grigoriev S.A. (Ekaterinburg, Russian Federation)
Chronology of Central European Impulses
in the Volga Forest Region: Fatyanovo and Abashevo Cultures .........................84
Kulkova M.A. (Saint Petersburg, Russian Federation)
Environmental and Cultural Transformations at the Turn of the Late Bronze
and Early Iron Age in the Steppe Belt of Eurasia ...............................................95
Kasparov A.R. (Samarkand, Uzbekistan)
Funeral Practice of the Sapalli Culture in the Refl ection of Vedic Texts ..............109
Murgabayev S.S., Bakhtybayev M.M., Maldybekova L.D., Sizdikov B.S. (Turkestan, Republic of Kazakhstan), Jovita R. (New York, USA)
Archaeological Research of the Southern Slopes of Karatau
(Shimayla Complex) .........................................................................................118
Ovsyannikov V.V. (Ufa, Russian Federation)
The Studies of the Novo-Ufa Burial Ground in 2000 ............................................134
Bekhter A.P. (Saint Petersburg, Russian Federation)
ΦΙΛΙΣΚΟΣ Ο ΜΑΧΙΜΟΣ
(to the Interpretation of the Graffi to from Myrmekion) ...................................148
Vasilyev S.V., Borutskaya S.B. (Moscow, Russian Federation), Zheludkov A.S. (Lipetsk, Russian Federation), Puzanova T.A. (Moscow, Russian Federation), POVOLZHSKAYA ARKHEOLOGIYA № 3 (45) 2023 Chendev Yu.G. (Belgorod, Russian Federation), Burova N.D., Lokhova O.V. (Saint
Petersburg, Russian Federation)
Bioarchaeology and Paleoclimate Aspects of the Study of the Upper Don Region
Population of the Middle Bronze Age ..............................................................158
Lozovskaya O.V., Fedorova D.N., Malyutina A.A., Taktasheva S.D. (Saint
Petersburg, Russian Federation)
Typological Analysis and Assessment of the Bone-Working Stone Inventory
of the Zamostje 2 Late Mesolithic Layer .........................................................171
Lychagina E.L., Smertina A.Y., Tomilina E.M. 1 Исследование выполнено при поддержке гранта РНФ, проект № 23-28-00543: «Тради-
ции косторезного производства в арктической зоне Фенноскандии в неолите и бронзовом
веке». https://doi.org/10.24852/pa2023.3.45.204.218 https://doi.org/10.24852/pa2023.3.45.204.218 CONTENT (Perm, Russian Federation)
Stone Decorations from the Chalcolithic Sites of the Upper
and Middle Kama Region (an attempt at complex analysis) ...........................191
Malyutina A.A., Murashkin A.I., Taktasheva S.D. (Saint Petersburg, Russian
Federation)
Working of Reindeer’s Antlers at the Neolithic – Bronze Age
Settlement Mayak 2 (Murmansk region) ..........................................................204
Blyshko D.V., Danilov G.K. (Saint Petersburg, Russian Federation),
Zhul’nikov А.М. (Petrozavodsk, Russian Federation), Nedomolkina N.G. (Vologda, Russian Federation), Tarasov А.Yu. (Petrozavodsk,
Russian Federation)
Specifi cs of Asbestos Utilization
in the Second Half of the 4th Millenium Bc in the Eastern Fennoscandia
(on the materials of lithic workshop Fofanovo XIII) .......................................219
Utubayev Zh.R. (Almaty, Republic of Kazakhstan), Bolelov S.B. (Moscow,
Russian Federation), Kalieva Zh.S., Suyundikova M.K., Kassenova A.D. (Almaty, Republic of Kazakhstan)
Experimental Work on the Production of Ceramics
of the Chirik-Rabat Culture ..............................................................................235
List of Abbreviations ............................................................................................. 248
Submissions .......................................................................................................... 250 № 3 (45) 2023 ПОВОЛЖСКАЯ АРХЕОЛОГИЯ УДК 902/904 ОБРАБОТКА РОГА СЕВЕРНОГО ОЛЕНЯ НА ПОСЕЛЕНИИ
НЕОЛИТА – ЭПОХИ БРОНЗЫ МАЯК 2 (МУРМАНСКАЯ ОБЛ.)1
© 2023 г. А.А. Малютина, А.И. Мурашкин, С.Д. Такташева Гури-
ной, неолитические материалы были 204 Малютина А.А., Мурашкин А.И., Такташева С.Д. Рис. 1. Карта Кольского полуострова с указанием расположения поселения Маяк 2
(топооснова GEBCO Web Map Service). Fig. 1. A map of the Kola Peninsula indicating the location of the settlement Mayak 2
(topographic basis GEBCO Web Map Service). Рис. 1. Карта Кольского полуострова с указанием расположения поселения Маяк 2
(топооснова GEBCO Web Map Service). Fig. 1. A map of the Kola Peninsula indicating the location of the settlement Mayak 2
(topographic basis GEBCO Web Map Service). ОБРАБОТКА РОГА СЕВЕРНОГО ОЛЕНЯ НА ПОСЕЛЕНИИ
НЕОЛИТА – ЭПОХИ БРОНЗЫ МАЯК 2 (МУРМАНСКАЯ ОБЛ.)1
© 2023 г. А.А. Малютина, А.И. Мурашкин, С.Д. Такташева В статье представлены предварительные результаты трасологического анализа ар-
тефактов из рога северного оленя (Rangifer tarandus), найденных на поселении Маяк 2
(Мурманская обл.). Памятник, раскопанный в 1979–1984 гг. Н.Н. Гуриной, датируется
неолитом – бронзовым веком. Уникальная коллекция включает более 1800 разнообраз-
ных изделий из твердых органических материалов. Изучение способов обработки рога
северного оленя по данным макро- и микроскопического анализа технологических
следов проведено впервые. В результате исследования 250 артефактов, включающих
отходы производства, заготовки и законченные изделия, удалось выявить два техно-
логических приема раскройки данного сырья для получения заготовок. Первый вклю-
чал продольную и поперечную рубку рога, которая могла выполняться каменными или
металлическими орудиями, второй – прорезание продольных и поперечных пазов с
последующим делением по ним. Установлено, что базальная часть рога фактически не
использовалась (обнаружен один случай); подавляющее большинство орудий, предме-
тов быта и украшений изготавливалась из медиальной части – ствола. Отростки рогов
использовались редко и для ограниченного набора изделий. Ключевые слова: археология, Арктика, Фенноскандия, Маяк 2, неолит, бронзовый
век, рог северного оленя, трасология, технология, следы обработки, технологические
цепочки, традиции, техники. Для памятников Кольского п-ова
и Северной Фенноскандии в целом,
где изделия из твёрдых органических
материалов (кость, рог, зубы и пр.)
довольно редки в силу сохранности,
вопросы обработки этого сырья прак-
тически не рассматривались. Анали-
тике подвергалась главным образом
типология инвентаря с описанием ос-
новных категорий в неолите – бронзо-
вом веке (Мурашкин, Киселёва, 2018;
Колпаков и др., 2019, с. 406–435). Во-
просам технологии и функции этих
материалов с разных памятников Се-
верной Фенноскандии посвящены
единичные работы (David, Bergsvik,
2015; David, Sørensen, 2016; Мураш-
кин и др., 2019; Малютина, 2019). Уникальная по разнообразию и со-
хранности коллекция изделий из ко-
сти, рога и зубов многослойного посе-
ления Маяк 2 позволяет восстановить
цепочку технологических операций
от выбора сырья до конечного пред- мета, раскрыть особенности этого
производства и впервые для архео-
логии Северной Европы поставить
проблему транзита техник в условиях
перехода от использования каменных
инструментов для обработки рога к
металлическим. Поселение Маяк 2 находится в
северной части Кольского п-ова на
побережье Дроздовской губы Но-
куевского залива Баренцева моря
(рис. 1). Памятник был исследован
КолАЭ ЛОИА АН СССР под руковод-
ством Н.Н. Гуриной в 1979–1984 гг. на
площади 1032 кв. м. Культурный слой
разбирался условными горизонтами
0,15–0,18 м с фиксацией по квадратам
2×2 м (всего 4 горизонта). Стратигра-
фия культурных отложений и распре-
деление разновозрастных материалов
на площади поселения чрезвычайно
сложны и требуют отдельного иссле-
дования. Так, по данным Н.Н. лан, 2013). лан, 2013). найдены в 4 горизонте в центральной
части поселения, и в 1 и 2 горизонте –
в южной (Гурина, 1997). Согласно
последним
результатам
изучения
концентрации находок из камня, фа-
унистических остатков и анализа ке-
рамики, на поселении выделяется 14
объектов (остатков жилищ, раковин-
ных куч). В центральной части посе-
ления, в горизонтах 1 и 2, отмечается
концентрация материалов конца не-
олита – начала бронзового века (Ки-
селева, Мурашкин, 2019). По резуль-
татам радиоуглеродного датирования
древесного угля и нагара на керами-
ке поселение датируется в интервале
4730–1430 cal BC (Мурашкин, Карпе- Среди
фаунистических
остат-
ков кости морских млекопитающих
(гренландский
тюлень,
кольчатая
нерпа, морж) составляют до 90%,
остальное – северный олень, медведь,
бобр, песец, птицы и рыбы. Из рога
северного оленя, костей крупных на-
земных животных, зубов морских и
наземных млекопитающих изготов-
лено 564 изделия различных катего-
рий; еще 1272 предмета имеют следы
обработки (Шумкин, 1984, с. 95–96;
Гурина, 1997). Трасологический ана-
лиз всей коллекции, начатый в 2019 г.,
еще не завершен; на настоящий мо-
мент исследовано 410 предметов. 205 ПОВОЛЖСКАЯ АРХЕОЛОГИЯ № 3 (45) 2023 Определены их функции, а также по-
лучены общие представления о тех-
нике и приёмах обработки различных
видов сырья. Наблюдается отчетливая
корреляция между видом сырья и от-
дельными категориями инвентаря:
для рыболовных крючков и наконеч-
ников гарпунов использовался глав-
ным образом рог северного оленя,
для других орудий труда (скребки для
шкур, долота, ножи-острия, кинжалы,
проколки) – длинные трубчатые кости
животных (Малютина, Мурашкин,
2022). конкретных артефактов» (Гиря, 2019,
c. 67). Конечной целью метода являет-
ся получение данных для реконструк-
ции хозяйственных систем прошлого
с выявлением конкретных видов де-
ятельности (Коробкова, Щелинский,
1996, с. 6). Полученные выводы вхо-
дят в общий контекст исследуемого
памятника, периода, эпохи. конкретных артефактов» (Гиря, 2019,
c. 67). Конечной целью метода являет-
ся получение данных для реконструк-
ции хозяйственных систем прошлого
с выявлением конкретных видов де-
ятельности (Коробкова, Щелинский,
1996, с. 6). Полученные выводы вхо-
дят в общий контекст исследуемого
памятника, периода, эпохи. Для выполнения задач исследова-
ния использовались следующее обо-
рудование и программное обеспече-
ние: – стереомикроскоп МБС-9 (косо-
направленное освещение; увеличение
до 98 крат); )
Целью настоящего исследования
является реконструкция технологии
обработки рога северного оленя в не-
олите – бронзовом веке. Поэтому ра-
бота была сфокусирована на анализе
отходов производства и заготовок. Изучение этих групп инвентаря по-
зволяет со всеми подробностями вос-
становить последовательность опера-
ций и используемых технологических
приёмов при создании готовых изде-
лий. лан, 2013). Для реконструкции полных тех-
нологических цепочек обработки рога
северного оленя (от выбора сырья до
финального предмета) нами была так-
же просмотрена серия завершенных
орудий, украшений и других предме-
тов быта – всего 250 артефактов. – установка для макросъёмки с воз-
можностью микрофокусировки в со-
четании с камерой Canon EOS 450D,
Canon EOS R6 в сочетании с объекти-
вами Canon Macro EF-S 100 mm f/2.8L
Macro IS USM и Canon Macro EF-S 60
mm 1:2.8 USM при косонаправленном
внешнем освещении светодиодными
и люминесцентными осветителями; – установка для макросъёмки с воз-
можностью микрофокусировки в со-
четании с камерой Canon EOS 450D,
Canon EOS R6 в сочетании с объекти-
вами Canon Macro EF-S 100 mm f/2.8L
Macro IS USM и Canon Macro EF-S 60
mm 1:2.8 USM при косонаправленном
внешнем освещении светодиодными
и люминесцентными осветителями; – программное обеспечение Canon
EOS Utility, Helicon Focus. y
Рог северного оленя как поделочное
сырьё y
Рог северного оленя как поделочное
сырьё Анализ технологии древнейших
производств начинается с анализа
сырьевой базы; исследования, посвя-
щенные обработке рога различных
промысловых животных в каменном
веке, проводились как в России, так
и за рубежом (Жилин, 2010; Louwe
Kooijmans et al., Pétillon, Ducasse,
2012; Elliot, 2012). Домашний север-
ный олень на обширной территории
Арктики является и в наши дни ос-
новой хозяйства для многих абори-
генных культур (Klokkernes, 2007,
p. 11, fi g. 0. 1). Вопрос появления
специализированного
оленеводства,
однако, до сих пор остаётся дискус-
сионным, как и разделение по кост-
ным остаткам диких животных или
изъятых из природного окружения
для перевозки людей (Helskog, 2011;
Helskog, Indrelid, 2011). Считает- р
ф
Методика исследования Mayak 2. Production waste. The basal part of the reindeer antler with a chopped off fragment
of the skull and the rod cut off along the grooves (photo by S.D. Taktasheva). Рис. 3. Маяк 2. Отход производства. Базальная часть рога северного оленя с отрублен
ным фрагментом черепной коробки и отрезанным по пазам стволом
(фото С.Д. Такташевой). Fig. 3. Mayak 2. Production waste. The basal part of the reindeer antler with a chopped off fragmen
of the skull and the rod cut off along the grooves (photo by S.D. Taktasheva). более удобного описания мы будем
использовать в дальнейшем схематич-
ное деление скульптуры рога на ба-
зальную, медиальную и дистальную
части (рис. 2). а также следы от прорезанных пазов
вдоль и поперёк ствола или отростка
рога (рис. 5). Зафиксировано также
простое отламывание отростков рога
без предварительного надрубания или
прорезания с образованием негати-
вов расщепления на сторону слома
(рис. 6: 1). Взрослые самцы сбрасывают рога в
ноябре-декабре, молодые животные –
в апреле-мае, самки – в мае-июне. Проведённый
анализ
фрагментов
рога со следами обработки с поселе-
ния Маяк 2 показал, что в качестве
поделочного сырья в большинстве
случаев использовались сброшенные
рога (рис. 4: 1; рис. 5: 1), но имеются
и вырубленные из черепной коробки
фрагменты (рис. 3). Определение по-
ловозрастного состава животных по
имеющемуся обработанному рогово-
му сырью не проводилось. Процесс рубки мог быть круговым –
с полным охватом короткого сечения
ствола или отростка (рис. 4: 4), по-
лукруговым – с частичным охватом
ствола или отростка (рис. 4: 6), или
встречным – при работе на плоских
участках рога (рис. 4: 3). По сохра-
нившимся следам рубки – негативам
от ударов – была установлена разница
в используемых инструментах. Нами
отмечены следы в виде прямых от-
резков длиной до 15 мм с V-образным
сечением (рис. 4: 3), а также слегка
вогнутые,
накладывающиеся
друг
на друга, короткие срезы длиной до
10 мм (рис. 4: 4). В пределах одного
такого негатива иногда удавалось за-
фиксировать как множественные ли-
нейные следы – негативы зубчатого
неровного каменного лезвия (рис. 6:
5), так и прямые, ровно срезанные
борта – негативы от лезвий шлифо-
ванных каменных или, возможно, ме-
таллических рубящих инструментов Результаты. Технология обработ-
ки рога северного оленя Согласно проведённому трасоло-
гическому анализу, процесс обработ-
ки рога северного оленя на поселении
Маяк 2 можно разделить на два этапа:
1) получение заготовки; 2) обработка
заготовки и получение готового изде-
лия. р
ф
Методика исследования р
ф
Методика исследования Работа с коллекцией артефактов
из рога северного оленя из поселения
Маяк 2 производилась в рамках ме-
тодики экспериментально-трасологи-
ческого анализа (Семёнов, 1957; Ко-
робкова, Щелинский, 1996; Maigrot,
2003; Marreiros et al., 2015). Экспери-
ментально-трасологический метод в
археологии, разработанный С.А. Се-
мёновым и усовершенствованный его
учениками и последователями, по-
зволяет интерпретировать технологии
изготовления и функции первобыт-
ных изделий на основе «исследования
следов изготовления, следов исполь-
зования и следов общего неутили-
тарного износа в контексте формы 206 Малютина А.А., Мурашкин А.И., Такташева С.Д. Рис. 2. Рог северного оленя (Rangifer tarandus) и его элементы
(рисунок А.А. Малютиной). Fig. 2. Reindeer antler (Rangifer tarandus) and its elements (drawing by A.A. Malyutina). Рис. 2. Рог северного оленя (Rangifer tarandus) и его элементы
(рисунок А.А. Малютиной). (р
у
)
Fig. 2. Reindeer antler (Rangifer tarandus) and its elements (drawing by A.A. Malyutina). ся, что на севере Западной Сибири
одомашнивание северного оленя от-
носится к раннему железному веку;
основанием для этого является обна-
ружение элементов упряжи из рога и
фрагментов деревянных повозок (Гу-
сев и др., 2016). Современные иссле-
дования по остеометрии костей до-
машнего северного оленя позволяют
наметить признаки изменения скелета
в результате одомашнивания (Pelletier
et al., 2020; Berg et al., 2023). Обрезка
рогов северного оленя (самцов) как
элемент их приручения современны-
ми оленеводами также может быть
учтена археологами (Grøn, 2011). ках, или розанах (Акаевский, 1939,
с. 319; Hillson, 1999), и характерны как
для самцов, так и самок. Рога пред-
ставляют собой кожные образования,
в которых по мере старения образует-
ся костная ткань, сначала губчатая, а в
дальнейшем становящаяся более ком-
пактной. Окостеневший рог в моло-
дом возрасте покрыт снаружи мягкой
кожей, которая со временем отмирает
и слущивается, так что рога становят-
ся голыми костными образованиями
без полости. Поверхность рогов до-
вольно гладкая, иногда с сосудистыми
желобками. Данная черта позволяет
легко и достоверно различать рог се-
верного оленя от других оленевых. В
строении рога северных оленей вы-
деляют округлый в сечении основной
ствол, от которого отходят многочис-
ленные отростки, количество и фор-
ма которых крайне непостоянны. Для Остановимся подробнее на особен-
ностях строения и морфологии рога
северного оленя (Rangifer tarandus). Рога этого животного, как и всех оле-
невых, формируются на костных вы-
ростах лобных костей черепа – пень- 207 ПОВОЛЖСКАЯ АРХЕОЛОГИЯ № 3 (45) 2023 Рис. 3. Маяк 2. Отход производства. Базальная часть рога северного оленя с отрублен-
ным фрагментом черепной коробки и отрезанным по пазам стволом
(фото С.Д. Такташевой). Fig. 3. р
ф
Методика исследования К следам, связанным с получени-
ем заготовки, нами отнесены: следы
продольной рубки по длинной линии
ствола или отростков рога (рис. 4: 2)
и следы поперечной рубки (рис. 4: 3), 208 Малютина А.А., Мурашкин А.И., Такташева С.Д. (рис. 6: 3). Предположение о вероятном ис-
пользовании металла для обработки
неолита – бронзового века Кольског
п-ова неоднократно высказывалос
рядом исследователей (Гурина 1997
Рис. 4. Маяк 2. 1, 2 – отходы производства из рога северного оленя; 5 – заготовка;
3, 4, 6 – макрофотографии следов рубки – (фото А.А. Малютиной и С.Д. Такташевой
Fig. 4. Mayak 2. 1, 2 – reindeer’s antler production wastes; 5 – preform; 3, 4, 6 – macrophotos of
traces of chopping (photo by A.A. Malyutina and S.D. Taktasheva). Рис. 4. Маяк 2. 1, 2 – отходы производства из рога северного оленя; 5 – заготовка;
3, 4, 6 – макрофотографии следов рубки – (фото А.А. Малютиной и С.Д. Такташевой). Fig. 4. Mayak 2. 1, 2 – reindeer’s antler production wastes; 5 – preform; 3, 4, 6 – macrophotos of
traces of chopping (photo by A.A. Malyutina and S.D. Taktasheva). неолита – бронзового века Кольского
п-ова неоднократно высказывалось
рядом исследователей (Гурина, 1997,
с. 140; Поплевко, 2007). Эксперимен- неолита – бронзового века Кольского
п-ова неоднократно высказывалось
рядом исследователей (Гурина, 1997,
с. 140; Поплевко, 2007). Эксперимен- (рис. 6: 3). (рис. 6: 3). Предположение о вероятном ис-
пользовании металла для обработки
кости и рога на памятниках позднего 209 ПОВОЛЖСКАЯ АРХЕОЛОГИЯ № 3 (45) 2023
ПОВОЛЖСКАЯ АРХЕОЛОГИЯ № 3 (45) 2023 (
)
210
Рис. 5. Маяк 2. 1, 4, 5, 8 – отходы производства из рога северного оленя; 2, 3, 6,
7 – макрофотографии следов резания (фото А.А. Малютиной и С.Д. Такташевой). Fig. 5. Mayak 2.1, 4, 5, 8 – reindeer’s antler production wastes; 2, 3, 6, 7 – macrophotos of traces of
cutting (photo by A.A. Malyutina and S.D. Taktasheva) Рис. 5. Маяк 2. 1, 4, 5, 8 – отходы производства из рога северного оленя; 2, 3, 6,
7 – макрофотографии следов резания (фото А.А. Малютиной и С.Д. Такташевой). Fig. 5. Mayak 2.1, 4, 5, 8 – reindeer’s antler production wastes; 2, 3, 6, 7 – macrophotos of traces of
cutting (photo by A.A. Malyutina and S.D. Taktasheva) 210 Малютина А.А., Мурашкин А.И., Такташева С.Д. тально-трасологическое подтвержде-
ние этой гипотезы (чистовая обработ-
2019). Продолжающийся анализ кол-
лекции поселения Маяк 2 выявил 36
Рис. 6. Маяк 2. р
ф
Методика исследования 1 – axe/adze; 2, 3, 7 – harpoon heads;
4 – handle; 5 – fi sh hook; 6 – “crochet” hook; 8 – scraper; 9 – pendant; 10 – comb; 11 – knife;
12 – fragment of the item with zoomorphic pommel (photo by A.A. Malyutina and S.D. Taktasheva). ис. 7. Маяк 2. Изделия из рога северного оленя. 1 – топор/ тесло; 2, 3, 7 – наконечни-
ки гарпунов; 4 – рукоять; 5 – рыболовной крючок; 6 – “вязальный” крючок;
8 – скребок; 9 – подвеска; 10 – гребень; 11 – нож; 12 – фрагмент изделия с зооморф-
ным навершием (фото А.А. Малютиной и С.Д. Такташевой). Рис. 7. Маяк 2. Изделия из рога северного оленя. 1 – топор/ тесло; 2, 3, 7 – наконечни-
ки гарпунов; 4 – рукоять; 5 – рыболовной крючок; 6 – “вязальный” крючок;
8 – скребок; 9 – подвеска; 10 – гребень; 11 – нож; 12 – фрагмент изделия с зооморф-
ным навершием (фото А.А. Малютиной и С.Д. Такташевой). Fig. 7. Mayak 2. Items made of the reindeer’s antler. 1 – axe/adze; 2, 3, 7 – harpoon heads;
4 – handle; 5 – fi sh hook; 6 – “crochet” hook; 8 – scraper; 9 – pendant; 10 – comb; 11 – knife;
12 – fragment of the item with zoomorphic pommel (photo by A.A. Malyutina and S.D. Taktasheva). Рис. 7. Маяк 2. Изделия из рога северного оленя. 1 – топор/ тесло; 2, 3, 7 – наконечни-
ки гарпунов; 4 – рукоять; 5 – рыболовной крючок; 6 – “вязальный” крючок;
8 – скребок; 9 – подвеска; 10 – гребень; 11 – нож; 12 – фрагмент изделия с зооморф-
ным навершием (фото А.А. Малютиной и С.Д. Такташевой). Fig. 7. Mayak 2. Items made of the reindeer’s antler. 1 – axe/adze; 2, 3, 7 – harpoon heads;
4 – handle; 5 – fi sh hook; 6 – “crochet” hook; 8 – scraper; 9 – pendant; 10 – comb; 11 – knife;
12 – fragment of the item with zoomorphic pommel (photo by A.A. Malyutina and S.D. Taktasheva). р
(ф
Д
)
Fig. 7. Mayak 2. Items made of the reindeer’s antler. р
ф
Методика исследования 1, 2, 4, 6–8, 10, 11 – заготовки из рога северного оленя;
3, 5, 9 – макрофотографии следов рубки (фото А.А. Малютиной и С.Д. Такташевой). Fig. 6. Mayak 2. 1, 2, 4, 6–8, 10, 11 – preforms made of reindeer antler; 3, 5, 9 – macrophotos of
traces of chopping (photo by A.A. Malyutina and S.D. Taktasheva). Рис. 6. Маяк 2. 1, 2, 4, 6–8, 10, 11 – заготовки из рога северного оленя;
3, 5, 9 – макрофотографии следов рубки (фото А.А. Малютиной и С.Д. Такташевой). Fig. 6. Mayak 2. 1, 2, 4, 6–8, 10, 11 – preforms made of reindeer antler; 3, 5, 9 – macrophotos of
traces of chopping (photo by A.A. Malyutina and S.D. Taktasheva). 2019). Продолжающийся анализ кол-
лекции поселения Маяк 2 выявил 36
предметов из кости и рога со следами
строгания металлическим лезвием
(Малютина, Мурашкин, 2022). В на-
стоящее время в памятниках бронзо- тально-трасологическое подтвержде-
ние этой гипотезы (чистовая обработ-
ка строганием бронзовыми ножами)
было сделано авторами данной статьи
для материалов Кольского Оленео-
стровского могильника (Малютина, тально-трасологическое подтвержде-
ние этой гипотезы (чистовая обработ-
ка строганием бронзовыми ножами)
было сделано авторами данной статьи
для материалов Кольского Оленео-
стровского могильника (Малютина, 211 ПОВОЛЖСКАЯ АРХЕОЛОГИЯ № 3 (45) 2023
ПОВОЛЖСКАЯ АРХЕОЛОГИЯ № 3 (45) 2023 Рис. 7. Маяк 2. Изделия из рога северного оленя. 1 – топор/ тесло; 2, 3, 7 – наконечни-
ки гарпунов; 4 – рукоять; 5 – рыболовной крючок; 6 – “вязальный” крючок;
8 – скребок; 9 – подвеска; 10 – гребень; 11 – нож; 12 – фрагмент изделия с зооморф-
ным навершием (фото А.А. Малютиной и С.Д. Такташевой). Fig. 7. Mayak 2. Items made of the reindeer’s antler. 1 – axe/adze; 2, 3, 7 – harpoon heads;
4 – handle; 5 – fi sh hook; 6 – “crochet” hook; 8 – scraper; 9 – pendant; 10 – comb; 11 – knife;
12 – fragment of the item with zoomorphic pommel (photo by A.A. Malyutina and S.D. Taktasheva). Рис. 7. Маяк 2. Изделия из рога северного оленя. 1 – топор/ тесло; 2, 3, 7 – наконечни-
ки гарпунов; 4 – рукоять; 5 – рыболовной крючок; 6 – “вязальный” крючок;
8 – скребок; 9 – подвеска; 10 – гребень; 11 – нож; 12 – фрагмент изделия с зооморф-
ным навершием (фото А.А. Малютиной и С.Д. Такташевой). Fig. 7. Mayak 2. Items made of the reindeer’s antler. Таблица 1 Таблица 1
Количественное распределение предметов из рога северного оленя
поселения Маяк 2 по горизонтам. Группы нвентаря
Горизонт
(по полевым шифрам)
Готовые
предметы
различного
назначения
Фрагменты
изделий
со следами
обработки
Заготовки
Отходы
производства
Всего
(экз.):
1
36
5
4
1
46
2
74
18
11
24
127
2-3
2
-
-
2
4
3
23
6
7
13
49
3-4
-
1
-
-
1
4
6
-
-
1
7
Без горизонта
13
2
-
1
16
Всего (экз.):
154
32
22
42
250 Количественное распределение предметов из рога северного оленя
поселения Маяк 2 по горизонтам. фрагментов (рис. 6: 2, 4, 6, 8, 11). В
результате раскройки рога по проре-
занным пазам получались удлинён-
ные фрагменты – пластины (рис. 6:
7). Плоские участки рога (места рас-
ширения ствола в отростки) (рис. 2)
расщеплялись продольно на широкие
пластины. Дальнейшая обработка та-
ких заготовок позволяла получить
готовые изделия различного назначе-
ния (рис. 7): посредством продольной
рубки и оттёски (рис. 6: 9), скобления
и строгания каменными и металличе-
скими инструментами, а также реза-
ния (рис. 6: 10) и шлифовки с исполь-
зованием абразивных материалов. вого века Кольского п-ова имеются
прямые свидетельства производства
и использования металлических (мед-
ных и бронзовых) изделий, в том чис-
ле одна литейная форма для отливки
плоских топоров-тесел с поселения
Маяк 2 (Мурашкин, 2022). Экспери-
ментальное моделирование исполь-
зования таких металлических орудий
для обработки кости и рога станет
предметом будущих работ. Второй технологический приём
раскройки рога северного оленя на
поселении Маяк 2 – это прорезание
пазов с последующим делением по
ним (рис. 5). Как и в случае с рубкой
рога, прорезание пазов могло произво-
диться поперек ствола (рис. 5: 2) или
отростка (рис. 5: 7), так и вдоль него
(рис. 5: 3, 5–7). Имеющиеся пазы уз-
кие и отличаются ровными и прямы-
ми бортами, в сечении П-образные. Борта пазов покрыты плохо различи-
мыми линейными следами (рис. 5: 6). Окончания пазов, как правило, имеют
своеобразные «усики» – результат со-
скакивания лезвия в первые моменты
работы по рогу. Все перечисленные
признаки указывают на использова-
ние тонкого каменного лезвия. Выводы и перспективы исследова-
ния Исходя из результатов проведён-
ного трасологического анализа мож-
но заключить, что заготовки из рога
северного оленя на поселении Маяк
2 служили основой для многих кате-
горий орудий труда, предметов быта
и украшений (рис. 7). Использование
базальной части рога с отломанными
отростками отмечено в единственном
случае (рис. 6: 1). р
ф
Методика исследования 1 – axe/adze; 2, 3, 7 – harpoon heads;
– handle; 5 – fi sh hook; 6 – “crochet” hook; 8 – scraper; 9 – pendant; 10 – comb; 11 – knife;
f
t f th it
ith
hi
l ( h t b A A M l
ti
d S D T kt
h
) 212 Малютина А.А., Мурашкин А.И., Такташева С.Д. Таблица 1
Количественное распределение предметов из рога северного оленя
поселения Маяк 2 по горизонтам. Группы нвентаря
Горизонт
(по полевым шифрам)
Готовые
предметы
различного
назначения
Фрагменты
изделий
со следами
обработки
Заготовки
Отходы
производства
Всего
(экз.):
1
36
5
4
1
46
2
74
18
11
24
127
2-3
2
-
-
2
4
3
23
6
7
13
49
3-4
-
1
-
-
1
4
6
-
-
1
7
Без горизонта
13
2
-
1
16
Всего (экз.):
154
32
22
42
250 ПОВОЛЖСКАЯ АРХЕОЛОГИЯ № 3 (45) 2023 тате проведённого исследования мы
можем говорить о двух технологиче-
ских приёмах получения заготовок с
использованием разного инструмен-
тария – о рубке и резании. По данным
трасологического анализа на памят-
никах Харловка 1-6 и Усть-Дроздовка
3, относящихся к позднему неолиту и
началу бронзового века, для получе-
ния заготовок из рога северного оленя
использовалась только техника рубки
с последующим разделением круп-
ных частей на фрагменты (Мурашкин
и др., 2019, с. 96, рис. 5: 1-5). А в ма-
териалах относящегося к бронзово-
му веку Кольского Оленеостровского
могильника отмечена только техника
резания рога (Малютина, 2019, с. 442,
рис. 6). Нельзя исключать, что разные
техники раскройки рога северного
оленя применялись в разные периоды. По нашим наблюдениям на про-
тяжении неолита и бронзового века
происходит постепенная стандартиза-
ция изделий из кости и рога (Мураш-
кин, Киселева, 2018, с. 118). Во 2 тыс. до н. э. появляются многочислен-
ные
свидетельства
использования
металлических
инструментов
для
их обработки. Предполагается, что в
эпоху бронзы происходило измене-
ние структуры инвентаря – от, гру-
бо говоря, индивидуальных вещей к
стандартизированным, с одинаковой
технологической и функциональной
матрицей. Проведённый трасологиче-
ский анализ и предварительная оценка
коллекции изделий из рога северного
оленя поселения Маяк 2 позволили
выявить различия в следах обработки. Согласно нашим наблюдениям, при
обработке кости и рога использова-
лись как каменные, так и металличе-
ские инструменты. Дальнейший ана-
лиз всей коллекции в совокупности с
экспериментальными наблюдениями
позволит проследить динамику раз-
вития древних техник в арктической
зоне Фенноскандии. тате проведённого исследования мы
можем говорить о двух технологиче-
ских приёмах получения заготовок с
использованием разного инструмен-
тария – о рубке и резании. По данным
трасологического анализа на памят-
никах Харловка 1-6 и Усть-Дроздовка
3, относящихся к позднему неолиту и
началу бронзового века, для получе-
ния заготовок из рога северного оленя
использовалась только техника рубки
с последующим разделением круп-
ных частей на фрагменты (Мурашкин
и др., 2019, с. 96, рис. 5: 1-5). А в ма-
териалах относящегося к бронзово-
му веку Кольского Оленеостровского
могильника отмечена только техника
резания рога (Малютина, 2019, с. 442,
рис. 6). Нельзя исключать, что разные
техники раскройки рога северного
оленя применялись в разные периоды. Медиальная часть рога (ствол, или
ствол с медиальным отростком) ис-
пользовалась для изготовления таких
изделий как топоры/тёсла (рис. 7: 1),
наконечники гарпунов (рис. 7: 2, 3, 7),
рыболовные крючки (рис. 7: 5), руко-
яти (рис. 7: 4) и “вязальные” крючки
(рис. Таблица 1 Рабочее лезвие из-
делия не сохранилось, следовательно,
функцию предмета определить невоз-
можно. Однако сохранившаяся часть
очевидно является рукояткой, на что
указывает интенсивная равномерная
заполировка всей поверхности (кон-
такт с руками). После разделки рога посредством
рубки на крупные части в некоторых
случаях производилось их продоль-
ное
раскалывание/расщепление
с
целью получения плоско-выпуклых 213 ПОВОЛЖСКАЯ АРХЕОЛОГИЯ ЛИТЕРАТУРА 1. Акаевский А.И. Анатомия северного оленя. Л.: Главсевморпуть, 1939. 328 с. 1. Акаевский А.И. Анатомия северного оленя. Л.: Главсевморпуть, 1939. 328 с. // 1. Акаевский А.И. Анатомия северного оленя. Л.: Главсевморпуть, 1939. 328 с. 2. Гиря Е.Ю. Кварцевые орудия поселения Лемья 19. 1 // Поселение Лемья 19.1
в верховьях Конды: от неолита до средневековья. Коллективная монография / Отв. ред. А.А. Погодин, А.Я. Труфанов. Екатеринбург: Альфа-Принт, 2019. С. 67–117. р
р у
2. Гиря Е.Ю. Кварцевые орудия поселения Лемья 19. 1 // Поселение Лемья 19.1
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ур
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3. Гурина Н.Н. История культуры древнего населения Кольского полуострова. СПб.: Петербургское Востоковедение, 1997. 240 с. ,
руф
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ф
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3. Гурина Н.Н. История культуры древнего населения Кольского полуострова. СПб.: Петербургское Востоковедение, 1997. 240 с. р ур
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4. Гусев А.В., Плеханов А.В., Фёдорова Н.В. Оленеводство на севере Запад-
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зоны Восточной Европы и Зауралья // Вопросы археологии и истории каменного века. Cборник научных статей в честь 70-летия Л. В. Кольцова / Отв. ред. В.М. Воробьев. Тверь: Седьмая буква, 2010. С. 96–104. р
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зоны Восточной Европы и Зауралья // Вопросы археологии и истории каменного века. Cборник научных статей в честь 70-летия Л. В. Кольцова / Отв. ред. В.М. Воробьев. Тверь: Седьмая буква, 2010. С. 96–104. 6. Киселева А.М., Мурашкин А.И. Культурная стратиграфия поселения Маяк 2 на
Кольском полуострове // Эволюция неолитических культур Восточной Европы. Ма-
териалы международной конференции, посвященной 120-летию М.Е. Фосс, 110-ле-
тию Н.Н. Гуриной и 80-летию А.Т. Синюка / Ред. А.А. Выборнов, Е.В. Долбуновa,
Е.М. Колпаков, Е.С. Ткач. СПб.: ИИМК РАН, ГЭ, Самара: СГСПУ, 2019. С. 37–39. https://doi.org/10.31600/978-5-91867-189-4-2019-37-40 6. Киселева А.М., Мурашкин А.И. Культурная стратиграфия поселения Маяк 2 на
Кольском полуострове // Эволюция неолитических культур Восточной Европы. Ма-
териалы международной конференции, посвященной 120-летию М.Е. Фосс, 110-ле-
тию Н.Н. Гуриной и 80-летию А.Т. Синюка / Ред. А.А. Выборнов, Е.В. Долбуновa,
Е.М. Колпаков, Е.С. Ткач. ПОВОЛЖСКАЯ АРХЕОЛОГИЯ 7: 6), наконечники стрел, дроти-
ков и острог, различные персональные
украшения-подвески и гребни для во-
лос (рис. 7: 10), разнообразные пред-
меты искусства (рис. 7: 12). Широкие
плоские части рога шли на изготовле-
ние скребков и ножей (рис. 7: 8, 11). Отростки рога, в силу своих неболь-
ших размеров, сложно идентифициру-
ются среди готовых изделий. Однако,
и в данном случае, можно отметить
некоторую связь между сырьём и ко-
нечным продуктом. Так, установлено
использование отростков в качестве
отжимников при работе с камнем, а
также для изготовления небольших
украшений-подвесок (рис. 7: 9). По нашим наблюдениям на про-
тяжении неолита и бронзового века
происходит постепенная стандартиза-
ция изделий из кости и рога (Мураш-
кин, Киселева, 2018, с. 118). Во 2 тыс. до н. э. появляются многочислен-
ные
свидетельства
использования
металлических
инструментов
для
их обработки. Предполагается, что в
эпоху бронзы происходило измене-
ние структуры инвентаря – от, гру-
бо говоря, индивидуальных вещей к
стандартизированным, с одинаковой
технологической и функциональной
матрицей. Проведённый трасологиче-
ский анализ и предварительная оценка
коллекции изделий из рога северного
оленя поселения Маяк 2 позволили
выявить различия в следах обработки. Согласно нашим наблюдениям, при
обработке кости и рога использова-
лись как каменные, так и металличе-
ские инструменты. Дальнейший ана-
лиз всей коллекции в совокупности с
экспериментальными наблюдениями
позволит проследить динамику раз-
вития древних техник в арктической
зоне Фенноскандии. Артефакты из рога обнаружены
в разных горизонтах поселения, что
позволяет предварительно оценить
распределение тех или иных групп
инвентаря (табл. 1). В горизонтах с
первого по третий представлены все
категории – от отходов сырья до за-
вершенных, использованных и выбро-
шенных изделий, что свидетельствует
о полном производственном цикле. В
четвертом горизонте обнаружено не-
значительное количество предметов
из твердых органических материалов,
интересно, что большинство из них –
законченные изделия. Чем объясняет-
ся такая особенность неясно. Получение заготовок из рога се-
верного оленя хорошо выверенными
способами на поселении Маяк 2 в
неолите – бронзовом веке демонстри-
рует сложившийся технологических
процесс (производственный цикл),
когда мастер знал свойства самого сы-
рья и хорошо представлял, из каких
элементов рога лучше всего изгото-
вить тот или иной предмет. В резуль- 214 Малютина А.А., Мурашкин А.И., Такташева С.Д. ЛИТЕРАТУРА СПб.: ИИМК РАН, ГЭ, Самара: СГСПУ, 2019. С. 37–39. https://doi.org/10.31600/978-5-91867-189-4-2019-37-40 p
g
7. Колпаков Е.М., Мурашкин А.И., Хартанович В.И., Шумкин В.Я. Кольский Оле-
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g
7. Колпаков Е.М., Мурашкин А.И., Хартанович В.И., Шумкин В.Я. Кольский Оле
неостровский могильник: 1925–2013. СПб; Вологда: Древности Севера, 2019. 480 с. б 8. Коробкова Г.Ф., Щелинский В.Е. Методика микро-макроанализа древних ору
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р
10. Малютина А.А., Мурашкин А.И. Изделия из кости, рога и зубов животных на
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ктики. Тезисы докладов II Международной конференции / Отв. ред. Н.В. Федорова, А.В. Гусев. Салехард: Наука, 2022. C. 102–104. https://doi.org/10.7868/9785604610893036
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ten van been, gewei en tand. L. P. Louwe Kooijmans (ed.), 2001. pp. 327–367. Информация об авторах: Малютина Анна Андреевна, научный сотрудник. Институт истории материаль-
ной культуры РАН г. Санкт-Петербург, Россия); kostylanya@yandex.ru Малютина Анна Андреевна, научный сотрудник. Институт истории материаль-
ной культуры РАН г. Санкт-Петербург, Россия); kostylanya@yandex.ru Малютина Анна Андреевна, научный сотрудник. Институт истории материаль-
ной культуры РАН г. Санкт-Петербург, Россия); kostylanya@yandex.ru у
ур
р ур ,
);
y
y @y
Мурашкин Антон Игоревич, младший научный сотрудник. Институт истории ма-
ериальной культуры РАН (г. Санкт-Петербург, Россия); aimurash@yandex.ru у
ур
р ур ,
);
y
y @y
Мурашкин Антон Игоревич, младший научный сотрудник. Институт истории ма
териальной культуры РАН (г. Санкт-Петербург, Россия); aimurash@yandex.ru р
у
ур
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р ур
)
@y
Такташева Снежана Дмитриевна, студент. Санкт-Петербургский государствен-
ный университет; и. о. младшего научного сотрудника. Институт истории материаль-
ной культуры РАН г. Санкт-Петербург, Россия); sn.taktasheva@gmail.com р
у
ур
(
р ур
)
@y
Такташева Снежана Дмитриевна, студент. Санкт-Петербургский государствен-
ный университет; и. о. младшего научного сотрудника. Институт истории материаль-
ной культуры РАН г. Санкт-Петербург, Россия); sn.taktasheva@gmail.com р
у
ур
(
р ур
)
@y
Такташева Снежана Дмитриевна, студент. Санкт-Петербургский государствен-
ный университет; и. о. младшего научного сотрудника. Институт истории материаль-
ной культуры РАН г. Санкт-Петербург, Россия); sn.taktasheva@gmail.com REFERENCES 1. Akaevskii, A. I. 1939. Anatomiya severnogo olenya (Anatomy of the reindeer). Leningrad:
“Glavsevmorput'” Publ. (in Russian). 2. Girya, E. Yu. 2019. In Pogodin, A. A., Trufanov, A. Ya. (eds.). Poselenie Lem'ya 19.1 v
verkhov'yakh Kondy: ot neolita do srednevekov'ya. Kollektivnaya monografi ya (Lemya 19.1 settlement
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artefacts made of reindeer antler (Rangifer tarandus) found at the settlement Mayak 2
(Murmansk region). The site, excavated in 1979–1984 by N. N. Gurina, has been dated
to the Neolithic – Bronze Age. The unique collection includes more than 1800 various
implements made of hard organic materials. The study of methods of reindeer’s antlers
processing according to the data of macro- and microscopic analysis of technological
traces was carried out for the fi rst time. Among the 250 artefacts selected for the study were The research was carried out with the support of a grant from the Russian Science Foundation,
project No. 23-28-00543: “Traditions of bone-cutting production in the Arctic zone of Fennoscandia
in the Neolithic and Bronze Age”. 216 Малютина А.А., Мурашкин А.И., Такташева С.Д. production waste, preforms and completed items. It was obtained that two technological
methods of the antler`s fragmentation to create a preform were used. The fi rst method
involved longitudinal and transverse chopping of the antler, which could be made with stone
or metal tools. The second method based on carving of longitudinal and transverse grooves
with subsequent division along them. It was found that the basal part of the antler was not
actually used (one case was found). The medial part – the rod – were used for creating of the
vast majority of implements and ornaments. Antler tines were rarely used for a limited set
of items. Keywords: archaeology, Arctic, Fennoscandia, Mayak 2, Neolithic, Bronze Age, reindeer
antler, traceology, technology, traces of working, technological chains, traditions, techniques. ПОВОЛЖСКАЯ АРХЕОЛОГИЯ S., Bruineberg, M. 2001 In
Louwe Kooijmans, L. P. (ed.). Artefacten van been, gewei en tand, 327–367. ПОВОЛЖСКАЯ АРХЕОЛОГИЯ ПОВОЛЖСКАЯ АРХЕОЛОГИЯ № 3 (45) 2023 18. Bergsvik, K. A., David, É. 2015. In European Journal of Archaeology 18 (2), 190–221. É g
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Helskog K Indrelid S 2011 In Quaternary International 238 1 3 21. Helskog, K. 2011. In Quaternary International 238, 25 34. 22. Helskog, K., Indrelid, S. 2011. In Quaternary International 238, 1–3. 22. Helskog, K., Indrelid, S. 2011. In Quaternary International 238, 1–3. 23. Hillson, S. 1999. Mammal bones and teeth. An introductory guide to methods of identifi ca
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Conservation. Museum of cultural history University of Oslo. y
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25. Maigrot, Y. 2003. Etude technologique et fonctionnelle de l’outillage en matières dures ani-
males, la station 4 de Chalain (Néolithique fi nal, Jura, France). PhD thesis. University of Paris I. Paris. 26
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males, la station 4 de Chalain (Néolithique fi nal, Jura, France). PhD thesis. University of Paris I. Paris. 26. Marreiros, J. M., Gibajo Bao, J. F., Bicho, N. F. 2015. Use-wear and residue analysis in ar-
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27. Elliott, B. 2012 Antlerworking practices in Mesolithic Britain. PhD Thesis. University of
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16. Shumkin, V. Ya. 1984. Kamennaya i kostyanaya industrii mezolita – rannego metalla
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17. Berg, M., Wallen, H., Salmi, A. K. 2023. In Archaeological and Anthropological Sciences
15 (3), 1–38. 217 Статья принята в номер 01.09.2023 г. Статья принята в номер 01.09.2023 г. About the Authors: Malyutina Anna A. Institute for the History of Material Culture, Russian Academy of Science
Dvortsovaya emb., 18, St.-Petersburg, 191186, Russian Federation; kostylanya@yandex.ru Murashkin Anton I. Institute for the History of Material Culture, Russian Academy of Sciences. Dvortsovaya emb., 18, St.-Petersburg, 191186, Russian Federation; aimurash@yandex.ru Taktasheva Snezhana D. St.Petersburg State University, Mendeleyevskaya linia, 5, Saint
Petersburg, 199034, Russian Federation; Institute for the History of Material Culture, Russian
Academy of Sciences. Dvortsovaya emb., 18, St.-Petersburg, 191186, Russian Federation;
sn.taktasheva@gmail.com Статья принята в номер 01.09.2023 г. 218
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Systemic anaplastic large cell lymphoma presenting as a huge mediastinal mass in a case of hyper IgE syndrome: a case report
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* Correspondence: m.aghazadeh75@yahoo.com
†Atefeh Kheyrollahiyan and Akbar Sharifi contributed equally to the study.
3Medical Radiation Sciences Research Group, Faculty of Medicine, Tabriz
University of Medical Sciences, Tabriz, Iran
4Aging Research Institute, Tabriz University of Medical Sciences, Tabriz, Iran
Full list of author information is available at the end of the article CASE REPORT Open Access Open Access © The Author(s). 2019 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. Background abnormal differentiation of B lymphocytes [2]. Because
of the latter, patients suffering from hyper IgE syndrome
are prone to aggressive lymphomas. In this case report,
we present a patient with documented hyper IgE syn-
drome who suffered from recurrent infections in the re-
spiratory tract and the skin, and had been diagnosed and
was being treated for tuberculosis. This patient devel-
oped an anaplastic lymphoma during follow-up, which
presented as a huge mediastinal mass. Hyper immunoglobulinemia E (IgE) syndrome is a het-
erogeneous group of disorders characterized by immune
dysregulation. Davis et al. [1] reported the first case of
hyper IgE syndrome in 1966, in two girls with chronic
dermatitis and cold abscesses, and named the condition
“Job’s syndrome.” Later, it was discovered that indeed
Job’s syndrome was a subtype of hyper IgE syndrome,
with an autosomal dominant form of transmission. To
some extent, all forms of hyper IgE syndrome present
with findings such as chronic dermatitis, recurrent cuta-
neous infections, chronic sinusitis, pneumatoceles, atopy,
and increased rate of certain malignancies, most notably
lymphomas. Immunologically, this condition is accom-
panied by reduced IL-22, IL-21, IL-11, IL-10, and IL-17
signaling;
reduced
chemotaxis
of
neutrophils;
and Systemic anaplastic large cell lymphoma
presenting as a huge mediastinal mass in a
case of hyper IgE syndrome: a case report Atefeh Kheyrollahiyan1†, Akbar Sharifi2† and Mohammad Mirza-Aghazadeh-Attari3,4* Egyptian Journal of Radiology
and Nuclear Medicine Egyptian Journal of Radiology
and Nuclear Medicine Kheyrollahiyan et al. Egyptian Journal of Radiology and Nuclear Medicine
(2019) 50:36 Kheyrollahiyan et al. Egyptian Journal of Radiology and Nuclear Medicine
(2019) 50:36 https://doi.org/10.1186/s43055-019-0047-2 https://doi.org/10.1186/s43055-019-0047-2 Abstract Background: Hyper IgE syndrome is a rare heterogeneous immunodeficiency syndrome which is characterized by
recurrent episodes of cutaneous and respiratory tract infections and development of cold abscesses. This syndrome
is also associated with malignancies, most notability hematologic malignancies. Case presentation: In this case report, we discuss a 27-year-old male with proven hyper IgE syndrome and
effected by tuberculosis, who developed an anaplastic large cell lymphoma, a very rare and aggressive subtype of
lymphoma. We will discuss imaging findings in this rare case. The case presented here had a large mediastinal
mass, which had encircled the aorta, and was accompanied by subcarinal lymphadenopathy and inguinal
lymphadenopathy. Conclusions: Systemic anaplastic large cell lymphoma is a rare subtype of lymphoma which is rarely associated
with hyper IgE syndrome. In this case, both lymphoma and tuberculosis infection were witnessed in the same
patient, showing a classic example of immune dysregulation. Keywords: CT scan, Hyper IgE syndrome, Lymphoma, Anaplastic large cell lymphoma, Tuberculosis g
y
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. © The Author(s). 2019 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link
h
l
d
d
f h
d © The Author(s). 2019 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and Case presentation A 27-year-old male presented with a chief complaint of
cough exacerbation within the previous month. He was a known case of hyper IgE Syndrome for 17
years with a history of recurrent pneumonia, chronic si-
nusitis, skin rashes, nail infections, coarse texture of the
skin, and delayed dental shedding. He had a family history of a similar condition in his
elder brother and sister, causing an early death in both
siblings because of sepsis. The medical records of both
siblings were unfortunately not available, but genetic Page 2 of 5 Kheyrollahiyan et al. Egyptian Journal of Radiology and Nuclear Medicine (2019) 50:36 Fig. 1 Two chest X-rays of the patient taken 1 year apart. a The chest X-ray taken when the patient was diagnosed with tuberculosis. b The chest
X-ray taken when the patient had exacerbated symptoms after 1 year. A giant mass is seen in the mediastinum, which was not present before. The asterisk marks the described lesion Fig. 1 Two chest X-rays of the patient taken 1 year apart. a The chest X-ray taken when the patient was diagnosed with tuberculosis. b The chest
X-ray taken when the patient had exacerbated symptoms after 1 year. A giant mass is seen in the mediastinum, which was not present before. The asterisk marks the described lesion analysis of the patient had revealed a mutation in the
STAT3 gene. received the classic TB treatment, comprising of rifam-
pin, isoniazid, ethambutol, and pyrazinamide (10–15 mg/
kg of each medication). From childhood, as the disease had begun, the patient
experienced recurrent episodes of respiratory tract infec-
tions and rashes on the skin. The lesions were superin-
fected, and the patient was on medication with anti-
staphylococcus agents, which had resulted in moderation
of the skin lesions. Two months after starting the anti-TB medications, due
to high liver functional enzymes (SGOT = 89 to > 77 to >
135, SGPT = 99 to > 101 to > 77) and a high ALK.P (4847 to
> 4175 to > 991) in a number of lab tests, all TB medications
were halted and the patient underwent further evaluation. He underwent abdominal and pelvic CT scan which
showed an enlarged liver (liver span in longest dimen-
sion equaled 20 cm) with 2 hypodense masses with a
maximum diameter of 17 mm. Case presentation Numerous large hypo-
dense masses in both inguinal regions suggestive of
lymphadenopathy and a mass-like lesion with a diameter
of 41 × 77 mm in LLQ were found. The patient chose He had lost light perception in his right eye when he
was 12 years old due to cutaneous lesions and their
superimposed infections. A year ago, he was admitted to a pulmonary subspe-
cialty ward because of pneumonia (with fever and chills,
productive coughs, and yellow-brown sputum), was diag-
nosed with tuberculosis during clinical examination, and Fig. 2 CT scan of the lungs and mediastinum with and without contrast. a An enlarged mass exists in the mediastinum. b Venous phase of CT
with contrast shows that the aortic arch is encased by a mass which is not enhanced Fig. 2 CT scan of the lungs and mediastinum with and without contrast. a An enlarged mass exists in the mediastinum. b Venous phase of CT
with contrast shows that the aortic arch is encased by a mass which is not enhanced Kheyrollahiyan et al. Egyptian Journal of Radiology and Nuclear Medicine (2019) 50:36 Page 3 of 5 Fig. 3 Subcarinal lymphadenopathy detected by CT with venous contrast. The lymphadenopathy is shown by the asterisk Fig. 3 Subcarinal lymphadenopathy detected by CT with venous contrast. The lymphadenopathy is shown by the asterisk not to continue further evaluations and left the hospital
on personal demand. lymphadenopathy. Numerous nodules with a maximum
diameter of about 17 mm were also seen in both lungs. A mosaic pattern with ground glass opacification and an
increase in intralobular septum thickness were observed. A consultation with a clinical oncologist suggested bi-
opsy of the lesions. Imaging findings of the patient are
presented in Figs. 1, 2, 3, 4, 5, and 6. Twenty days prior to the last admission, the patient
was admitted to the hospital because of cough exacerba-
tion, fever, and chills. Reduced lung sounds and fine
crackles were auscultated in both lung bases, and the
liver was 5 cm below the rib cage. g
Bronchial biopsy and washing were not diagnostic;
therefore, open lung biopsy was performed after con-
sultation with the thoracic surgery specialists and im-
munohistochemical analysis of the specimen showed
strong immune reactivity of all large neoplastic cells
for CD30 and their negative reaction for CD3, CD15,
CD20, CD45, CK, S100, and vimentin. Case presentation Numerous re-
active
CD20+
CD45+
B
cells
and
many
reactive
CD3+ CD45+ T cells were also seen, which overall
were in favor of anaplastic large cell lymphoma. Fur-
ther examination revealed a positive Ki-1 marker. Further consultation with the oncology department
resulted in the patient being treated with the CHOP
regimen (cyclophosphamide, doxorubicin, vincristine,
and prednisone). The patient was under treatment
with this regimen for 2 months and was being consid-
ered to undergo treatment with brentuximab vedotin,
until an episode of neutropenic fever caused the pa-
tient to be hospitalized in the ICU ward. The patient
deteriorated swiftly and died within the first week of
ICU hospitalization. He received antibiotics and supportive treatment for
pulmonary infection and underwent chest radiography,
which showed a huge mass in the left thoracic cavity,
just above the heart. Because of this, the patient had a
CT scan with intravenous contrast, which showed an in-
filtrative large mass of 60 × 78 mm in the left para-
mediastinum with aortic encasement and subcarinal Fig. 4 Triple-contrast CT scan of the abdomen. Low attenuated
lesions are seen in the liver (arrows) Discussion In this article, we report a case of hyper IgE syn-
drome with typical dermatologic manifestations which
was complicated by both a tuberculosis infection and
an anaplastic large cell lymphoma. The first paramed-
ical findings leading us to the diagnosis of lymphoma
were a large mass in both chest X-rays and lung CT Fig. 4 Triple-contrast CT scan of the abdomen. Low attenuated
lesions are seen in the liver (arrows) Page 4 of 5 Kheyrollahiyan et al. Egyptian Journal of Radiology and Nuclear Medicine (2019) 50:36 Another form of hyper IgE syndrome is the autosomal
recessive subtype, which is caused by a deficiency in
dedicator of cytokinesis 8 (DOCK8), a molecule involved
in the regulation of actin, and possibly a tumor suppres-
sor. Clinically, this subtype is not associated with con-
nective tissue diseases, while it is mostly associated with
neurologic symptoms, mucocutaneous viral infections
and asthma, and food allergies, unlike the autosomal
dominant type [5, 6]. Fig. 5 Bilateral inguinal lymphadenopathy showed by the arrows yp
Although these two subtypes have different clinical
manifestations and pathophysiological processes, they
are
both
associated
with
malignancies,
including
lymphomas. A number of case reports have shed
light on patients with hyper IgE syndrome who have
been diagnosed with lymphomas. These reports have
found that most patients have suffered of either dif-
fuse large B cell lymphomas, T cell lymphomas, Bur-
kitt lymphomas, Mantle cell lymphoma, Hodgkin’s
lymphoma, or rare cases of extranodal NK/T lymph-
omas [7]. In this case report, we present a patient
with a history of hyper IgE syndrome who was diag-
nosed with anaplastic large cell lymphoma, a very
rare finding, of which only one has been reported so
far [8], and in a rather young age (27 years old). This
subtype of lymphoma is characterized by the pres-
ence of CD30 and Ki-1 tumor markers and is associ-
ated with cutaneous involvement, involvement of the
skeletal system, spleen, liver, and soft tissues. The
pathophysiology of this rare subtype of lymphoma is
associated with the activation of anaplastic lymph-
oma kinase, a receptor tyrosine kinase in the insulin
receptor superfamily [9]. Of interest, in vivo studies
have suggested that there may be a link between an-
aplastic lymphoma kinase activation and STAT3, and
the combined function of these two molecules may
protect hematopoietic cells from apoptosis [10]. scans, which had encircled the aorta. References We
present
a
rare
case
of
anaplastic
large
cell
lymphoma in a young male patient who had previous
infection with tuberculosis. Imaging in this patient
unraveled a large mass in the mediastinum, which
had encased the aorta. Further imaging showed nu-
merous lymphadenopathies in the subcarinal and in-
guinal region. Open lung biopsy was done to attain
a specimen for further analysis. IHC showed positive
staining for CD30, and the diagnosis was made. This
case report illustrates the duality of immune system
dysfunction in individuals affected by hyper IgE syn-
drome. It is important for clinicians to address this
duality in clinical practice and anticipate conditions
resulting from defective immune system and also un-
controllable activation of the immune system. 1. Davis S, Schaller J, Wedgwood R, Harvard M (1966) Job’s syndrome:
recurrent, “cold”, staphylococcal abscesses. Lancet. 287(7445):1013–1015 2. Mogensen TH (2013) STAT3 and the hyper-IgE syndrome: clinical
presentation, genetic origin, pathogenesis, novel findings and remaining
uncertainties. Jak-Stat. 2(2):e23435 uncertainties. Jak Stat. 2(2):e23435
3. Freeman AF, Holland SM (2008) The hyper-IgE syndromes. Immunol Allerg
Clin North Am 28(2):277–291
4. Freeman AF, Holland SM (2010) Clinical manifestations of hyper IgE
syndromes. Disease markers. 29(3, 4):123–130
5. Liza M, Gaurav D, Prasenjeet M, Swapna J, Binodini B (2018) Autosomal-
recessive hyper-IgE syndrome. Indian J Dermatol 63(1):79
6. Chu EY, Freeman AF, Jing H, Cowen EW, Davis J, Su HC et al (2012)
Cutaneous manifestations of DOCK8 deficiency syndrome. Archives of
dermatology 148(1):79 84 3. Freeman AF, Holland SM (2008) The hyper-IgE syndromes. Immunol Allergy
Clin North Am 28(2):277–291 4. Freeman AF, Holland SM (2010) Clinical manifestations of hyper IgE
syndromes. Disease markers. 29(3, 4):123–130 5. Liza M, Gaurav D, Prasenjeet M, Swapna J, Binodini B (2018) Autosomal-
recessive hyper-IgE syndrome. Indian J Dermatol 63(1):79 6. Chu EY, Freeman AF, Jing H, Cowen EW, Davis J, Su HC et al (2012)
Cutaneous manifestations of DOCK8 deficiency syndrome. Archives of
dermatology. 148(1):79–84 7. Kumánovics A, Perkins SL, Gilbert H, Cessna MH, Augustine NH, Hill HR
(2010) Diffuse large B cell lymphoma in hyper-IgE syndrome due to STAT3
mutation. J Clin Immunol 30(6):886–893 8. Lee MW, Choi JH, Sung KJ, Moon KC, Koh JK (2003) Extensive xanthelasma
associated with anaplastic large cell lymphoma and hyperimmunoglobulin
E syndrome. Int J Dermatol 42(12):944–946 9. Acknowledgements
We would like to thank Dr. Puri for his support in conducting this report. 11. Friedberg JW, Chengazi V (2003) PET scans in the staging of lymphoma:
current status. Oncologist. 8(5):438–447 Ethics approval and consent to participate The present study was approved by the ethical board of the hospital in
which the study was performed. The patient reported in this article had
signed a written informed consent form. This case report was a reporting of
a case in a medical educational center, in which all patients are informed
that they may be subjects of scientific experiments and are informed of the
ethical codes of conducts. This study was in compliance to the latest version
of the Helsinki Declaration. g
A general overview of previous case reports published in
this regard reveals that CT scan has been the most utilized
imaging method of lymphomas, and findings have in-
cluded involvement of the parotid glands, spleen, and ab-
dominal, mediastinal, and inguinal lymph nodes. Various
studies have reported sizes up to 5 cm for individual
masses, but larger ones are exceedingly rare. Positron
emission tomography (PET) scan is also used in the detec-
tion of lymphoma in hyper IgE patients. This modality
could be of interest in patients who cannot routinely
undergo imaging with contrast media used in CT and
MRI or those who have lesions which are not suitable for
obtaining a biopsy [11]. Received: 12 August 2019 Accepted: 6 September 2019 Received: 12 August 2019 Accepted: 6 September 2019 Received: 12 August 2019 Accepted: 6 September 2019 Publisher’s Note AK contributed to the data acquisition, manuscript preparation, and approval
of the final version of the study. AS contributed to the oversight over the
case report, data acquisition, and approval of the final version of the study. MMAA contributed to the manuscript preparation, revision of the manuscript
and final edit, interpretation of imaging findings, and approval of the final
version of the manuscript. Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. References Webb TR, Slavish J, George RE, Look AT, Xue L, Jiang Q et al (2009)
Anaplastic lymphoma kinase: role in cancer pathogenesis and small-
molecule inhibitor development for therapy. Expert Rev Anticancer Ther
9(3):331–356 Author details
1 1Connective Tissue Diseases Research Center, Tabriz University of Medical
Sciences, Tabriz, Iran. 2Tuberculosis and Lung Disease Research Center, Tabriz
University of Medical Sciences, Tabriz, Iran. 3Medical Radiation Sciences
Research Group, Faculty of Medicine, Tabriz University of Medical Sciences,
Tabriz Iran 4Aging Research Institute Tabriz University of Medical Sciences Tabriz, Iran. 4Aging Research Institute, Tabriz University of Medical Sciences,
Tabriz, Iran. Consent for publication The patient had written and signed an informed consent note that the
findings may be published without any personal detail. Funding No one was paid during this study. The study did not have a source of
funding. This study was not supported by a grant. Discussion Immunohisto-
chemically, staining was done on a biopsy specimen
of the lung, which yielded the definite diagnosis. Hyper IgE syndrome is associated with a dysfunc-
tional immune response, which can present both as
susceptibility to infectious agents and autoimmune
diseases. Importantly, clinicians have observed that
hyper IgE syndrome is associated with Hodgkin’s and
non-Hodgkin’s lymphoma, especially the autosomal
dominant subtype, which is associated with STAT3
deficiency
[3]. Interestingly,
both
pro-inflammatory
and
anti-inflammatory
responses
are
mediated
through STAT3 signaling. Tangible evidence of this
role is seen in hyper IgE syndrome, where both anti-
and pro-inflammatory responses are dysfunctional [4]. Fig. 6 Coronal and axial cuts of the sinuses. Ostiomeatal complex pattern is seen, as both the ethmoidal, maxillary, and frontal sinuses
are involved d axial cuts of the sinuses. Ostiomeatal complex pattern is seen, as both the ethmoidal, maxillary, and frontal sinuses Fig. 6 Coronal and axial cuts of the sinuses. Ostiomeatal complex pattern is seen, as both the ethmoidal, maxillary, and frontal sinuses
are involved Page 5 of 5 Page 5 of 5 Kheyrollahiyan et al. Egyptian Journal of Radiology and Nuclear Medicine (2019) 50:36 Kheyrollahiyan et al. Egyptian Journal of Radiology and Nuclear Medicine This patient also used to suffer from tuberculosis,
again a rather rare finding, as most patients with
hyper
IgE
syndrome
are
complicated
by
gram-
positive bacteria. Furthermore, our case was novel in
regard to imaging findings, as no other case had pre-
sented with a large mass in the mediastinum. Ethics approval and consent to participate Abbreviations
l
f d CD: Cluster of differentiation; CT scan: Computed tomography scan; Hyper
IgE syndrome: Hyper immunoglobulin E syndrome; STAT3: Signal transducer
and activator of transcription 3; TB: Tuberculosis 10. Zamo A, Chiarle R, Piva R, Howes J, Fan Y, Chilosi M et al (2002) Anaplastic
lymphoma kinase (ALK) activates Stat3 and protects hematopoietic cells
from cell death. Oncogene. 21(7):1038 Acknowledgements Acknowledgements
We would like to thank Dr. Puri for his support in conducting this report. Competing interests Competing interests
The authors declare that they have no competing interests. Availability of data and materials Availability of data and materials
All data is available based on a reasonable request. All data is available based on a reasonable request.
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English
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Concerted Up-regulation of Aldehyde/Alcohol Dehydrogenase (ADHE) and Starch in Chlamydomonas reinhardtii Increases Survival under Dark Anoxia
|
Journal of biological chemistry/The Journal of biological chemistry
| 2,017
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cc-by
| 17,441
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Edited by Joseph Jez Aldehyde/alcohol dehydrogenases (ADHEs) are bifunctional
enzymes that commonly produce ethanol from acetyl-CoA with
acetaldehyde as intermediate and play a key role in anaerobic
redox balance in many fermenting bacteria. ADHEs are also
present in photosynthetic unicellular eukaryotes, where their
physiological role and regulation are, however, largely un-
known. Herein we provide the first molecular and enzymat-
ic characterization of the ADHE from the photosynthetic
microalga Chlamydomonas reinhardtii. Purified recombinant
ADHE catalyzed the reversible NADH-mediated interconver-
sions of acetyl-CoA, acetaldehyde, and ethanol but seemed to be
poised toward the production of ethanol from acetaldehyde. Phylogenetic analysis of the algal fermentative enzyme supports
a vertical inheritance from a cyanobacterial-related ancestor. ADHE was located in the chloroplast, where it associated in
dimers and higher order oligomers. Electron microscopy analy-
sis of ADHE-enriched stromal fractions revealed fine spiral
structures, similar to bacterial ADHE spirosomes. Protein blots
showed that ADHE is regulated under oxic conditions. Up-reg-
ulation is observed in cells exposed to diverse physiological
stresses, including zinc deficiency, nitrogen starvation, and
inhibition of carbon concentration/fixation capacity. Analyses
of the overall proteome and fermentation profiles revealed that
cells with increased ADHE abundance exhibit better survival
under dark anoxia. This likely relates to the fact that greater
ADHE abundance appeared to coincide with enhanced starch
accumulation, which might reflect ADHE-mediated anticipa-
tion of anaerobic survival. tion is paid to energy generation in conditions of dark anoxia. The study of the anaerobic heterotrophic metabolism of both
microalgae and cyanobacteria is, however, highly relevant
because these organisms regularly face conditions of dark
anoxia in their natural habitats, especially in eutrophized
and/or polluted waters. To meet the energy demand for life or
cell maintenance in these specific conditions, photosynthetic
cells carry out fermentation at the expense of endogenous car-
bohydrates (glycogen or starch). Anaerobic respiration has also
been reported, i.e. sulfur respiration in cyanobacterial species
such as Oscillatoria limnetica and Microcoleus chthonoplastes
(1, 2), and fumarate respiration in Euglena gracilis (3, 4). g
g
In cyanobacteria, the fermentation routes are diverse and
include homofermentation (lactate or acetate), heterofermen-
tation, and mixed acid fermentation (5). Among microalgae,
fermentative metabolism has been investigated mainly in chlo-
rophytes. It is known for some time that in absence of oxygen,
green algae such as Chlamydomonas and Chlorella have the
ability to produce organic acids (acetate, formate, lactate, and
succinate), alcohols (ethanol), and gases (CO2 and H2) (6–9). 2 The abbreviations used are: PDC, pyruvate decarboxylase; ADHE, aldehyde/
alcohol dehydrogenase; ADH, alcohol dehydrogenase; PFL, pyruvate for-
mate lyase; PFO, pyruvate:ferredoxin oxidoreductase; RBCL, large subunit
of the Rubisco; SAR, Stramenopiles-Alveolata-Rhizaria; LHC, light-harvest-
ing complex protein; BN, Blue Native; ALDH, aldehyde dehydrogenase;
PTA, phosphotransacetylase; ACK, acetate kinase; HP, hypophosphite;
CBB, Calvin-Benson-Bassham; ADPG, ADP-glucose pyrophosphorylase;
CCM, carbon-concentrating mechanism; Rubisco, ribulose-bisphos-
phate carboxylase/oxygenase; TAP, Tris-acetate-phosphate; AIB, anaer-
obic induction buffer. * This work was supported by the Centre National de la Recherche Scienti-
fique and partly supported by Agence Nationale pour la Recherche Grant
ANR-10-BIOE-0004 (to A. A., R. V. L., and M. P.), and ProFi Infrastructure
Grant ANR-10-INBS-08-01 (to Y. C.). The authors declare that they have no
conflicts of interest with the contents of this article.
□ ssmark ssmark THE JOURNAL OF BIOLOGICAL CHEMISTRY VOL. 292, NO. 6, pp. 2395–2410, February 10, 2017
© 2017 by The American Society for Biochemistry and Molecular Biology, Inc. Published in the U.S.A. THE JOURNAL OF BIOLOGICAL CHEMISTRY VOL. 292, NO. 6, pp. 2395–2410, February 10, 2017
© 2017 by The American Society for Biochemistry and Molecular Biology, Inc. Published in the U.S.A. Concerted Up-regulation of Aldehyde/Alcohol
Dehydrogenase (ADHE) and Starch in Chlamydomonas
reinhardtii Increases Survival under Dark Anoxia*□
S Robert van Lis‡§, Marion Popek‡, Yohann Couté¶**, Artemis Kosta‡‡, Dominique Drap
and Ariane Atteia‡1 From the ‡Aix Marseille Université, CNRS, BIP-UMR 7281, 13402 Marseille, France, §LBE, INRA, 11100 Narbonne, France, the
¶Université Grenoble Alpes, BIG-BGE, 38000 Grenoble, France, the Commissariat à l’Energie Atomique, BIG-BGE, 38000 Grenoble,
France, **INSERM, BGE, 38000 Grenoble, France, the ‡‡Microscopy Core Facility, FR3479 Institut de Microbiologie de la
Méditerranée , 13402 Marseille cedex 20, France, and the §§Institut de Biologie Physico-Chimique, UMR7141 CNRS-UPMC,
75005 Paris, France pp
g
1 To whom correspondence should be addressed: Aix Marseille Université,
CNRS, Unité de Bioénergétique et Ingénierie des Protéines-UMR 7281, 31
Chemin Joseph Aiguier, 13402 Marseille, France. E-mail: ariane.atteia@
imm.cnrs.fr. □
S This article contains supplemental Figs. S1–S7 and Data Sets S1 and S2. * This work was supported by the Centre National de la Recherche Scienti-
fique and partly supported by Agence Nationale pour la Recherche Grant
ANR-10-BIOE-0004 (to A. A., R. V. L., and M. P.), and ProFi Infrastructure
Grant ANR-10-INBS-08-01 (to Y. C.). The authors declare that they have no
conflicts of interest with the contents of this article.
□
S This article contains supplemental Figs. S1–S7 and Data Sets S1 and S2.
1 To whom correspondence should be addressed: Aix Marseille Université,
CNRS, Unité de Bioénergétique et Ingénierie des Protéines-UMR 7281, 31
Chemin Joseph Aiguier, 13402 Marseille, France. E-mail: ariane.atteia@
imm.cnrs.fr. Edited by Joseph Jez The genome sequences of Chlamydomonas reinhardtii (10)
and Chlorella variabilis NC64 (11) have greatly helped to get a
good grasp of the anaerobic pathways in the two algae (12–14). Since then, in C. reinhardtii, these pathways have been actively
investigated through molecular and biochemical studies of the
fermentative enzymes (15–19), as well as physiological studies
of mutant strains (20–25). As we understand it, the “core”
anaerobic network in the chlorophyte combines enzymes com-
monly found in eukaryotes, i.e. pyruvate decarboxylase (PDC),2
alcohol dehydrogenases (ADHs), and lactate dehydrogenase,
with enzymes that are typical for bacteria (referred to as bacte- Oxygenic photosynthetic microorganisms are typically asso-
ciated with illuminated oxic environments, and so, little atten- FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 2395 JOURNAL OF BIOLOGICAL CHEMISTRY FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 Chloroplast Aldehyde/Alcohol Dehydrogenase FIGURE 1. Anerobic metabolic routes in C. reinhardtii. Under dark anoxia, starch is metabolized to pyruvate via glycolysis, thereby generating ATP and
reducing power (NADH). The network shows a pyruvate branch point with four enzymes. Another branch point is acetyl-CoA that can be used to produce
ethanol via ADHE or acetate via the PTA-ACK pathway. Network is simplified by the omission of the subcellular localization of the different enzymes. Fe and Zn
indicate the metal in the active site of the alcohol dehydrogenases. To better understand the metabolic responses, the number of oxidizable electrons is
indicated for each metabolite. The main fermentation route used by the alga incubated in AIB under dark anoxia is the “PFL-gated pathway,” which consists of
PFL, ADHE, and PTA-ACK. Chloroplast Aldehyde/Alcohol Dehydrogenase FIGURE 1 Anerobic metabolic routes in C reinhardtii Under dark anoxia starch is metabolized to pyruvate via glycolysis thereby generati FIGURE 1. Anerobic metabolic routes in C. reinhardtii. Under dark anoxia, starch is metabolized to pyruvate via glycolysis, thereby generating ATP and
reducing power (NADH). The network shows a pyruvate branch point with four enzymes. Another branch point is acetyl-CoA that can be used to produce
ethanol via ADHE or acetate via the PTA-ACK pathway. Network is simplified by the omission of the subcellular localization of the different enzymes. Fe and Zn
indicate the metal in the active site of the alcohol dehydrogenases. To better understand the metabolic responses, the number of oxidizable electrons is
indicated for each metabolite. Edited by Joseph Jez ADHE is a mono-iron enzyme, which was found to be the major
ethanol-producing enzyme in conditions of dark anoxia (22). Although it is now clear that the bacterial-type enzymes fully
participate in the anaerobic life of C. reinhardtii, their physio-
logical significance in the intricate anaerobic network (Fig. 1),
as well as their regulation, remains largely enigmatic. Edited by Joseph Jez The main fermentation route used by the alga incubated in AIB under dark anoxia is the “PFL-gated pathway,” which consists of
PFL, ADHE, and PTA-ACK. its evolutionary origin, subcellular localization, and enzymatic
properties. We also followed ADHE abundance in different
mutant strains and relevant physiological conditions. This is
the first report on the factors that influence the ADHE abun-
dance in C. reinhardtii and on the consequences of enhanced
protein levels in fermentation behavior. rial-type enzymes), i.e. pyruvate formate lyase (PFL; EC
2.3.1.54), pyruvate:ferredoxin oxidoreductase (PFO or PFR; EC
1.2.7.1), iron-only hydrogenases, and aldehyde/alcohol dehy-
drogenase (ADHE or ADH1) (Fig. 1). The presence of these
bacterial-type enzymes raises questions about their evolution-
ary origin and their integration in a mitochondriate eukaryote
that we and others have tackled since their discovery. PFL and
PFO were both shown to be functional in C. reinhardtii (16, 18,
19) and can, under anaerobic conditions, catalyze the produc-
tion of acetyl-CoA from pyruvate. PFL accumulates under aer-
obic conditions and is dually targeted to chloroplast and mito-
chondria (12). PFO is expressed under anaerobic conditions
and localizes to the chloroplast where it is coupled to H2 pro-
duction by iron-only hydrogenases via FDX1 (PetF) (18, 19). ADHE is a mono-iron enzyme, which was found to be the major
ethanol-producing enzyme in conditions of dark anoxia (22). Although it is now clear that the bacterial-type enzymes fully
participate in the anaerobic life of C. reinhardtii, their physio-
logical significance in the intricate anaerobic network (Fig. 1),
as well as their regulation, remains largely enigmatic. rial-type enzymes), i.e. pyruvate formate lyase (PFL; EC
2.3.1.54), pyruvate:ferredoxin oxidoreductase (PFO or PFR; EC
1.2.7.1), iron-only hydrogenases, and aldehyde/alcohol dehy-
drogenase (ADHE or ADH1) (Fig. 1). The presence of these
bacterial-type enzymes raises questions about their evolution-
ary origin and their integration in a mitochondriate eukaryote
that we and others have tackled since their discovery. PFL and
PFO were both shown to be functional in C. reinhardtii (16, 18,
19) and can, under anaerobic conditions, catalyze the produc-
tion of acetyl-CoA from pyruvate. PFL accumulates under aer-
obic conditions and is dually targeted to chloroplast and mito-
chondria (12). PFO is expressed under anaerobic conditions
and localizes to the chloroplast where it is coupled to H2 pro-
duction by iron-only hydrogenases via FDX1 (PetF) (18, 19). TABLE 1 Entamoeba (Amoebozoa) (28, 29) and Giardia (Exca-
vata) (30), was a motive to study in detail its biochemical char-
acteristics and its regulation. To gain insights into the intraorganellar localization of the
ADHE in C. reinhardtii, chloroplasts were broken by two
freeze-thaw cycles and fractionated by low speed centrifuga-
tion. In the resulting supernatant, which contains primarily
stromal proteins (not shown), the ADHE was identified by mass
spectrometry-based proteomic analysis with a coverage of
more than 50% over the entire sequence (supplemental Fig. S3). g
To study the oligomerization state of the native ADHE, the
enzyme was further purified by anion exchange chromatogra-
phy and affinity chromatography on Blue Sepharose resin. Assessment of the protein oligomerization was done by two-
dimensional Blue Native (BN)/SDS-PAGE and immunoblot-
ting. Protein blots showed that ADHE occurred in various com-
plexes of similar abundance (Fig. 4B); the smallest complex of
180 kDa is likely a dimer, and the complex in the range of
400 kDa might represent a tetramer. PFL, present in the same
stromal fraction, was found mainly as a monomer at 80-kDa
and a dimer at 160 kDa (Fig. 4B). The various ADHE forms
observed on BN-PAGE might be indicative of the protein tend-
ency to aggregate. Alternatively, these different forms might
indicate the progressive dissociation of large assemblies during
purification and/or migration on the native gel. ADHE that was
partially purified by anion exchange chromatography could be
pelleted after ultracentrifugation, thus supporting the possibil-
ity that this protein associates in large molecular assemblies
(not shown). EM images of the resulting ADHE-containing pel-
let revealed the presence of spiral-like filaments of an average
length of 100 nm (Fig. 4C), morphologically indistinguishable
from bacterial ADHE oligomers, also known as spirosomes
(35–37). Attempts to obtain samples enriched in these fila-
ments by either centrifugation on concentrating devices or Subcellular Localization and Oligomerization of C. rein-
hardtii ADHE—Relative to bacterial ADHEs, the C. reinhardtii
954-amino acid protein exhibits an extended N terminus (60
residues) (Fig. 3A), which could serve as an intracellular target-
ing signal to the chloroplast and/or the mitochondrion. The
targeting of ADHE to the bioenergetic organelles was evaluated
by protein blots using antibodies raised against a truncated
form of the algal ADHE (tADHE, Val354–Pro703) (12). These
antibodies recognize native ADHE with an apparent molecular
mass of 100 kDa (Fig. 4A). TABLE 1 TABLE 1
Distribution of ADHE among the five eukaryotic supergroups defined by Adl et al. (26)
Supergroup
Species name
Lifestyle
Identitya
Accession
number
Archaeplastida
Chlorophytes
C. reinhardtii
Free-living photosythetic alga
gi 92084840
Chlorophytes
Volvox carteri
Free-living photosythetic alga
84
gi 302853679
Chlorophytes
C. variabilis
Free-living photosythetic alga
68
gi 552841275
Amoebozoa
Entamoebids
Entamoeba histolytica
Human pathogen (intestine)
47
gi 2492737
Pelobionts
Mastigamoeba
Free-living species
55
gi 21435953
Excavata
Diplomonads
Giardia intestinalis
Human pathogen (intestine)
52
gi 2052472
Diplomonads
Spironucleus barkhanus
Fish pathogen
53
gi 27983190
Opisthokonta
Fungi (chytrid)
Neocallimastix frontalis
Anaerobic rumen fungus
52
gi 387233067
Fungi (chytrid)
Piromyces sp. E2
Anaerobic rumen fungus
52
gi 33578055
Fungi
Togninia minima UCRPA7
Grapevine pathogen
47
gi 631237462
SAR
Cryptophytes
G. theta CCMP2712
Free-living photosythetic alga
47
gi 551672365
Cercozoa
B. natans CCMP2755
Free-living photosythetic alga
43
jgi Bigna1 85335
Apicomplexa
Cryptosporidium hominis TU502
Anaerobic pathogen
48
gi 67623585
a Amino acid identity with C. reinhardtii ADHE. Distribution of ADHE among the five eukaryotic supergroups defined by Adl et al. (26) chondria (Fig. 3A). Our result, obtained with cells grown under
oxic conditions, thus corroborates proteomics data on organ-
elles isolated from anaerobic cells (33). C. reinhardtii is the first
organism for which an ADHE chloroplast location is found. Indeed, ADHE was so far described in the cytosol of parasites
such as Piromyces and Giardia (4, 34) and in the mitochondria
of the non-photosynthetic chlorophyte Polytomella (27). ADHE phylogenetic analysis that we present here includes a
significantly larger set of bacterial sequences, as well as all
eukaryotic sequences publicly available (supplemental Data
Sets S1 and S2). The current analysis further substantiates the
dichotomy of the bacterial ADHEs (clusters I and II) and the
unclear rooting of most eukaryote proteins (Fig. 2). The ADHEs from the marine algae B. natans and G. theta are
found in the undefined “eukaryotic” region of the tree, whereas
the enzymes of C. reinhardtii and other chlorophytes are found
in cluster I, where they branch with cyanobacterial ADHEs (Fig. 2). Our phylogenetic analysis thus suggests that (i) the origin of
the chlorophyte enzymes is distinct from that of the other
eukaryotic enzymes and (ii) the ADHE gene in green algae
might have been inherited vertically from the cyanobacterial
ancestor. The unique phylogenetic position of C.reinhardtii
ADHE compared with that of the eukaryotic enzymes studied
so far, i.e. Results Phylogenetic Analyses of C. reinhardtii ADHE—ADHE genes
are present in the five eukaryotic supergroups described by Adl
et al. (26), i.e. the Archaeplastida, Amoebozoa, Excavates, Opis-
thokonta, and the Stramenopiles-Alveolata-Rhizaria (SAR)
(Table 1). However, the gene remains poorly represented
among eukaryotes, where it appears to be restricted to unicel-
lular species, most of which are pathogenic anaerobes. The only
free-living eukaryotes in which an ADHE gene has been found
so far are microalgae. In addition to the chlorophytes C. rein-
hardtii, Chlorella, and Polytomella (Archaeplastida), an ADHE
gene is also present in two photosynthetic species of the SAR
supergroup: the cryptophyte Guillardia theta and the chlora-
rachniophyte Bigelowiella natans (14) (Table 1). To better understand the integration and the regulation of
the ADHE in the context of a photosynthetic eukaryotic cell, we
explored different aspects of C. reinhardtii ADHE, in particular Earlier phylogenies have shown most eukaryotic ADHEs
wedged in between two clusters of bacterial enzymes (27). The VOLUME 292•NUMBER 6•FEBRUARY 10, 2017 2396
JOURNAL OF BIOLOGICAL CHEMISTRY 2396 VOLUME 292•NUMBER 6•FEBRUARY 10, 2017 Chloroplast Aldehyde/Alcohol Dehydrogenase TABLE 1 Photosynthetic eukaryotes are indicated in green and cya-
nobacteria in blue. The list of species used in this analysis can be found in
supplemental Data Set S1. Multiple sequence alignment is shown in supple-
mental Data Set S2. p
y
y
g FIGURE 2. Schematic phylogenetic tree of aldehyde/alcohol dehydroge-
nases from bacterial and eukaryotic sources. The tree was constructed
using the maximum likelihood algorithm. Eukaryotic supergroups are indi-
cated in bold type. Photosynthetic eukaryotes are indicated in green and cya-
nobacteria in blue. The list of species used in this analysis can be found in
supplemental Data Set S1 Multiple sequence alignment is shown in supple- FIGURE 3. Structural and enzymatic characteristics of ADHE. A, the C. rein-
hardtiienzymeconsistsofanN-terminalALDHdomain(cd07077)followedby
a C-terminal ADH domain (cd08178). The catalytic Cys residue in the ALDH
domain (Cys323) is indicated. Two signatures for iron-binding were identified
in the ADH domain: ADH_iron_1 (residues 706–734) (Prosite PS00913) and
ADH_iron_2 (residues 794–814) (Prosite PS00060). The position of the resi-
dues potentially involved in iron coordination (Asp727, His731, His797, and
His811) was inferred from the structure of the E. coli iron-dependent alcohol
dehydrogenase FucO (69). Black boxes indicate NADH binding sites (Gly270–
Gly291 and Glu599–Met622) based on (70). Compared with bacterial enzymes,
the algal ADHE exhibits at its N terminus an extension (gray box), which likely
serves for intracellular targeting. B, enzymatic activities catalyzed by ADHE. FIGURE 3 Structural and enzymatic characteristics of ADHE A the C rein- FIGURE 3. Structural and enzymatic characteristics of ADHE. A, the C. rein-
hardtiienzymeconsistsofanN-terminalALDHdomain(cd07077)followedby FIGURE 3. Structural and enzymatic characteristics of ADHE. A, the C. rein-
hardtiienzymeconsistsofanN-terminalALDHdomain(cd07077)followedby
a C-terminal ADH domain (cd08178). The catalytic Cys residue in the ALDH
domain (Cys323) is indicated. Two signatures for iron-binding were identified
in the ADH domain: ADH_iron_1 (residues 706–734) (Prosite PS00913) and
ADH_iron_2 (residues 794–814) (Prosite PS00060). The position of the resi-
dues potentially involved in iron coordination (Asp727, His731, His797, and
His811) was inferred from the structure of the E. coli iron-dependent alcohol
dehydrogenase FucO (69). Black boxes indicate NADH binding sites (Gly270–
Gly291 and Glu599–Met622) based on (70). Compared with bacterial enzymes,
the algal ADHE exhibits at its N terminus an extension (gray box), which likely
serves for intracellular targeting. B, enzymatic activities catalyzed by ADHE. TABLE 1 cally active complex of 180 kDa that runs in the same region
as Saccharomyces cerevisiae tetrameric alcohol dehydrogenase
ADH1 (Mr 160 kDa) is likely an ADHE dimer. Two-dimen-
sional BN/SDS-PAGE confirmed that rADHE occurs in multi-
ple oligomeric forms, like the native ADHE (Fig. 4B). However,
in contrast to the native enzyme, the rADHE associates most
predominantly into dimers (Fig. 5C). FIGURE 2. Schematic phylogenetic tree of aldehyde/alcohol dehydroge-
nases from bacterial and eukaryotic sources. The tree was constructed
using the maximum likelihood algorithm. Eukaryotic supergroups are indi-
cated in bold type. Photosynthetic eukaryotes are indicated in green and cya-
nobacteria in blue. The list of species used in this analysis can be found in
supplemental Data Set S1. Multiple sequence alignment is shown in supple-
mental Data Set S2. p
y
g
Bifunctional aldehyde/alcohol dehydrogenases consist of a
coenzyme A-dependent aldehyde dehydrogenase (ALDH) (EC
1.2.1.10) followed by an iron-containing ADH (EC 1.1.1.1) (Fig. 3A). ADHEs catalyze the two distinct activities that are typically
reversible (30) (Fig. 3B). Here we first assessed the ability of the
purified rADHE enzyme to catalyze each of the four different
partial reactions. For the NADH-dependent acetyl-CoA and
acetaldehyde reduction activities, the enzyme exhibited Vmax
values of 1 and 4 units/mg, respectively (Table 2, reactions 1 and
2). Both reductive reactions show highest activities in the pH
range of 6.0–7.0 (Table 2). Reductions of acetyl-CoA and acet-
aldehyde appear specific for NADH, because the Vmax for
NADPH was only 1–2% of that for NADH (not shown). The
specific activities of NAD-dependent ethanol and acetalde-
hyde oxidations were both found to be in the range of 1–1.5
units/mg (reactions 3 and 4) (Table 2). Overall, reaction 2
showed the highest activity, which may represent an adaptation
to quickly remove acetaldehyde, a compound toxic for the cell. Also, from the fact that the Vmax of reaction 4 is much lower
than that of reaction 2, it could be hypothesized that the
enzyme is poised to function toward the production of ethanol
and not vice versa, at least under the saturating conditions used
for the measurements. Iron addition to rADHE exhibited a ammonium sulfate precipitation have failed, possibly because
these structures are relatively fragile. Molecular Characterization and Kinetic Analysis of Recom-
binant ADHE—Considering the low amounts of ADHE present
in C. reinhardtii, even in strain 10-6C, we chose to study the
recombinant enzyme. TABLE 1 To isolate chloroplasts and mito-
chondria, we used mutant strain 10-6C, in which ADHE abun-
dance was found to be 3–4-fold higher than in wild-type strain
CC-124 (supplemental Fig. S1). Strain 10-6C is a photosyn-
thetic mutant impaired in CO2 assimilation because of a point
mutation in the RBCL gene (31, 32) (supplemental Fig. S2). The
relative purity of the organelle fractions was evaluated with
antibodies against the light harvesting complex proteins
(LHCs) and subunit of mitochondrial F0F1-ATPase (ATP2). Immunoblot analysis indicated that ADHE is present in the
chloroplast fraction but not in the fraction enriched in mito- FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 2397 JOURNAL OF BIOLOGICAL CHEMISTRY FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 Chloroplast Aldehyde/Alcohol Dehydrogenase cally active complex of 180 kDa that runs in the same region
as Saccharomyces cerevisiae tetrameric alcohol dehydrogenase
ADH1 (Mr 160 kDa) is likely an ADHE dimer. Two-dimen-
sional BN/SDS-PAGE confirmed that rADHE occurs in multi-
ple oligomeric forms, like the native ADHE (Fig. 4B). However,
in contrast to the native enzyme the rADHE associates most
FIGURE 2. Schematic phylogenetic tree of aldehyde/alcohol dehydroge-
nases from bacterial and eukaryotic sources. The tree was constructed
using the maximum likelihood algorithm. Eukaryotic supergroups are indi-
cated in bold type. Photosynthetic eukaryotes are indicated in green and cya-
nobacteria in blue. The list of species used in this analysis can be found in
supplemental Data Set S1. Multiple sequence alignment is shown in supple-
FIGURE 3. Structural and enzymatic characteristics of ADHE. A, the C. rein-
hardtiienzymeconsistsofanN-terminalALDHdomain(cd07077)followedby
a C-terminal ADH domain (cd08178). The catalytic Cys residue in the ALDH
domain (Cys323) is indicated. Two signatures for iron-binding were identified
in the ADH domain: ADH_iron_1 (residues 706–734) (Prosite PS00913) and
ADH_iron_2 (residues 794–814) (Prosite PS00060). The position of the resi-
dues potentially involved in iron coordination (Asp727, His731, His797, and
His811) was inferred from the structure of the E. coli iron-dependent alcohol
dehydrogenase FucO (69). Black boxes indicate NADH binding sites (Gly270–
Gly291 and Glu599–Met622) based on (70). Compared with bacterial enzymes,
the algal ADHE exhibits at its N terminus an extension (gray box), which likely
serves for intracellular targeting. B, enzymatic activities catalyzed by ADHE. Chloroplast Aldehyde/Alcohol Dehydrogenase FIGURE 2. Schematic phylogenetic tree of aldehyde/alcohol dehydroge-
nases from bacterial and eukaryotic sources. The tree was constructed
using the maximum likelihood algorithm. Eukaryotic supergroups are indi-
cated in bold type. TABLE 1 , position of the
ADHE dimer; , position of the PFL dimer. C, EM images of a stromal protein fraction using uranyl acetate as negative stain. (moderate) stimulating effect on all activities (Table 2), whereas
an incubation in 100 mM EDTA had no clear inhibitory effect. with 0.34 mM of each product after an incubation of 8 h. In the
case of strain 10-6C, the production of acetate appeared some-
what lower than that of ethanol with 0.28 and 0.43 mM, respec-
tively (Fig. 6), which suggests a slight shift in the distribution of
acetyl-CoA toward ADHE. This imbalance could be explained
by the increased ADHE levels in the mutant strain, although the
increase in ethanol production (1.4) is not in proportion with
the increase in ADHE abundance (3.5; Table 4). After 24 h of
dark anoxia, the fermentation profiles of the WT strain were
comparable with those at 8 h, indicating that no further fermen-
tation occurred after 8 h. In contrast, the levels of each product
excreted by the mutant strain after 24 h had approximately
doubled relative to 8 h, reaching 1.2 mM formate, 0.5 mM ace-
tate, and 0.83 mM ethanol (Fig. 6). The recombinant enzyme rADHE was further characterized
for the substrate affinities of its forward reactions (reactions 1
and 2), which are metabolically relevant. Acetyl-CoA reduction
(reaction 1) obeyed Michaelis-Menten kinetics with an appar-
ent Km for acetyl-CoA of 12.7 2.9 M (Table 3). The kinetics
of NADH is less clear and likely confounded by the fact that
NADH is also used in reaction 2, using the reaction product of
reaction 1. A typical Michaelis-Menten curve was obtained for
NADH in acetaldehyde reduction (reaction 2) with a Km of
20.9 3.5 M (Table 3). Analysis of Fermentation Products by ADHE Overexpression
Strain—To gain insights into the regulation of the carbon fluxes
in the green alga, we investigated the fermentative capabilities
of strain 10-6C, which accumulates 3.5 times more ADHE
than the wild-type strain CC-124 (supplemental Fig. S1 and
Table 4). Algal cells were incubated in dark conditions in AIB
medium, a standard medium used to study algal fermentation
(13). The products excreted by the cells were analyzed by HPLC
at 0–8 h and at 24 h. TABLE 1 The ADHE gene was cloned into the
pET24a vector, and the protein was expressed in Escherichia
coli. A hexahistidine tag added to the C terminus of the ADHE
allowed fast purification via affinity chromatography on a
nickel column (Fig. 5A). The oligomerization of freshly purified rADHE was first
assessed by gel filtration. The elution profile in 50 mM potas-
sium phosphate, pH 7.0, supplemented with 150 mM NaCl
revealed the heterogeneity of the sample, with different com-
plexes of molecular masses ranging between 200 and 600 kDa
(not shown). On a BN gel, rADHE was resolved as several bands
(Fig. 5B): one major complex of 180 kDa, a complex of 500
kDa, and several minor bands at lower (120 kDa) and higher
molecular mass ranges (669 kDa). This BN profile was repro-
ducible, also when enzyme purification was carried out under
atmospheric conditions (Fig. 5B, second lane). All protein
bands, except the lowest at 90-kDa, showed a NAD-depen-
dent alcohol dehydrogenase activity (Fig. 5B). The enzymati- 2398 VOLUME 292•NUMBER 6•FEBRUARY 10, 2017 JOURNAL OF BIOLOGICAL CHEMISTRY VOLUME 292•NUMBER 6•FEBRUARY 10, 2017 Chloroplast Aldehyde/Alcohol Dehydrogenase FIGURE 4. C. reinhardtii ADHE is located in the chloroplast stroma. A, organelle fractionation from strain 10-6C. Ce, cell extract; Cp, chloroplast fraction; Mt,
mitochondrial fraction. Proteins were separated on SDS-PAGE (5–12% acrylamide gradient). Immunoblots show the distribution in isolated organelles of LHCs,
subunit of the mitochondrial F0F1-ATPase (ATP2), and ADHE. B, two-dimensional resolution of proteins in a stromal fraction. Proteins were subjected to BN
(3–12%)/SDS-PAGE (10%) and further transferred to nitrocellulose for immunodetection. The blot was first probed for ADHE and then for PFL. , position of the
ADHE dimer; , position of the PFL dimer. C, EM images of a stromal protein fraction using uranyl acetate as negative stain. oroplast stroma. A, organelle fractionation from strain 10-6C. Ce, cell extract; Cp, chloroplast fraction; Mt, FIGURE 4. C. reinhardtii ADHE is located in the chloroplast stroma. A, organelle fractionation from strain 10-6C. Ce, cell extract; Cp, chloroplast fraction; Mt,
mitochondrial fraction. Proteins were separated on SDS-PAGE (5–12% acrylamide gradient). Immunoblots show the distribution in isolated organelles of LHCs,
subunit of the mitochondrial F0F1-ATPase (ATP2), and ADHE. B, two-dimensional resolution of proteins in a stromal fraction. Proteins were subjected to BN
(3–12%)/SDS-PAGE (10%) and further transferred to nitrocellulose for immunodetection. The blot was first probed for ADHE and then for PFL. TABLE 3 increase in ADHE levels could be observed after 6 h of incuba-
tion. After 24 h of incubation, the ADHE signal was unchanged
in strain 10-6C but appeared fuzzy in strain CC-124 (Fig. 7B). We also followed PFL and PFO, the two enzymes that under
anoxia can potentially produce acetyl-CoA, the substrate of
ADHE (Fig. 1). During the first hours of dark incubation (up to
6 h), no variation in the PFL levels were noticed. After 24 h, the
PFL abundance was unchanged in the mutant strain, whereas
the protein could no longer be detected in the wild-type strain. For PFO, the antibodies failed to detect the protein under both
oxic and anoxic conditions (not shown), in agreement with ear-
lier studies (18). The RBCL abundance appeared stable over the
incubation period in the mutant strain; in contrast, in the wild-
type strain, RBCL was no longer detected after 24 h of incuba-
tion (Fig. 7B). Notably, the levels of subunit of the mitochon-
drial ATPase (ATP2) in both strains were stable over the whole
period of dark anoxia (Fig. 7B). The increased abundance of
subunit of chloroplast ATPase (ATPC) observed in WT strain
may be due to a relative over-representation of stable proteins
when the total number and amount of proteins is dwindling. Of
note, neither the overall protein profiles nor the ADHE abun-
dance were affected by the HP treatment (supplemental Fig. S4). Thus, rather than inducing a protein remodeling in the WT
strain, it seems that prolonged dark anoxia has a deleterious
effect on its overall proteome, likely representing a degradation
of cell integrity. In contrast, the proteome of strain 10-6C,
which exhibits higher ADHE levels, appears quite stable despite
the prolonged anoxia. Strain 10-6C has been poorly character-
ized so far, and the lack of knowledge on its genetic background
hampered drawing firm conclusions as to the regulation of
ADHE levels during aerobic growth and its importance in pro-
longed dark anoxia. FIGURE 5. PAGE analysis of C. reinhardtii recombinant ADHE. A, purifica-
tion of His-tagged C. reinhardtii ADHE (rADHE). Coomassie Brilliant Blue R
stain of proteins separated on SDS-PAGE (10%). Lane a, E. coli soluble fraction;
lane b, flow-through; lane c, 10 mM imidazole wash; lane d, rADHE eluted with
100 mM imidazole (10 g). B, freshly purified rADHE (25 g) was subjected
to BN-PAGE (3–12%). TABLE 1 45 min after the shift to anoxia, formate,
ethanol, and acetate were already detected in the extracellular
medium, and their production continued steadily up to 8 h (Fig. 6). After 8 h of dark anoxia, the formate production by strains
CC-124 and 10-6C was comparable at 0.6 mM (1 107 cells
ml 1), indicating that the ADHE-overaccumulating strain
catabolizes endogenous carbon reserves in a similar manner
(products and kinetics) as the wild type, i.e. pyruvate stemming
from glycolysis is directed mostly to pyruvate formate lyase
(Fig. 1). When acetyl-CoA produced by PFL is equally distrib-
uted between ADHE and the phosphotransacetylase-acetate
kinase (PTA-ACK) route, ethanol and acetate are expected to
be produced in equimolar amounts. A balanced production of
acetate and ethanol was indeed observed for the WT strain, To further investigate the fermentative abilities of strain
10-6C in view of its elevated ADHE levels, we blocked the PFL-
gated pathway by adding to the cells the PFL inhibitor sodium
(HP) (16). As shown in Fig. 6, strains CC-124 and 10-6C dis-
played the same overall response to HP: a production of for-
mate and acetate nearly abolished, and the yield of ethanol
increased by 1.5–2-fold. The HPLC profiles did not reveal any
other metabolites, not even lactate. Thus, irrespective of the
strain, ethanol homofermentation is the main (only) metabolic
route when PFL is blocked, which is likely to proceed via PDC
and ADHE (Fig. 1). The HP-inhibited cells showed the same fermentation trend
during extended anoxia as compared with non-inhibited cells,
i.e. fermentation by strain CC-124 stopped after 6 h but contin-
ued in strain 10-6C. The ethanol production by the latter strain
almost doubled between 6 and 24 h, reaching concentrations of
1.75 mM (Fig. 6). Altogether, our data indicated that the ADHE-
overaccumulating strain exhibits an extended fermentative
capacity compared with the wild-type strain, whether PFL is
inactivated or not. FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 2399 JOURNAL OF BIOLOGICAL CHEMISTRY 2399 FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 Chloroplast Aldehyde/Alcohol Dehydrogenase TABLE 3 Km values of rADHE for the activities directed towards its physiological
role, the production of ethanol
Reaction no. Substrate
Km
1
NADH
120.9 48.0 M
1
Acetyl-CoA
12.7 2.9 M
2
NADH
20.9 3.5 M
2
Acetaldehyde
35.0 17.6 mM Km values of rADHE for the activities directed towards its physiological
role, the production of ethanol increase in ADHE levels could be observed after 6 h of incuba-
tion. After 24 h of incubation, the ADHE signal was unchanged
in strain 10-6C but appeared fuzzy in strain CC-124 (Fig. 7B). We also followed PFL and PFO, the two enzymes that under
anoxia can potentially produce acetyl-CoA, the substrate of
ADHE (Fig. 1). During the first hours of dark incubation (up to
6 h), no variation in the PFL levels were noticed. After 24 h, the
PFL abundance was unchanged in the mutant strain, whereas
the protein could no longer be detected in the wild-type strain. For PFO, the antibodies failed to detect the protein under both
oxic and anoxic conditions (not shown), in agreement with ear-
lier studies (18). The RBCL abundance appeared stable over the
incubation period in the mutant strain; in contrast, in the wild-
type strain, RBCL was no longer detected after 24 h of incuba-
tion (Fig. 7B). Notably, the levels of subunit of the mitochon-
drial ATPase (ATP2) in both strains were stable over the whole
period of dark anoxia (Fig. 7B). The increased abundance of
subunit of chloroplast ATPase (ATPC) observed in WT strain
may be due to a relative over-representation of stable proteins
when the total number and amount of proteins is dwindling. Of
note, neither the overall protein profiles nor the ADHE abun-
dance were affected by the HP treatment (supplemental Fig. S4). Thus, rather than inducing a protein remodeling in the WT
strain, it seems that prolonged dark anoxia has a deleterious
effect on its overall proteome, likely representing a degradation
of cell integrity. In contrast, the proteome of strain 10-6C,
which exhibits higher ADHE levels, appears quite stable despite
the prolonged anoxia. Strain 10-6C has been poorly character-
ized so far, and the lack of knowledge on its genetic background
hampered drawing firm conclusions as to the regulation of
ADHE levels during aerobic growth and its importance in pro-
longed dark anoxia. Chloroplast Aldehyde/Alcohol Dehydrogenase Protein Levels in Dark Anoxia—Protein extracts from
FIGURE 5. PAGE analysis of C. reinhardtii recombinant ADHE. A, purifica-
tion of His-tagged C. reinhardtii ADHE (rADHE). Coomassie Brilliant Blue R
stain of proteins separated on SDS-PAGE (10%). Lane a, E. coli soluble fraction;
lane b, flow-through; lane c, 10 mM imidazole wash; lane d, rADHE eluted with
100 mM imidazole (10 g). B, freshly purified rADHE (25 g) was subjected
to BN-PAGE (3–12%). Lane 1, rADHE purified under anaerobic conditions; lane
2, rADHE purified under atmospheric conditions; lane 3, S. cerevisiae ADH1
(0.5 g). C, detection of rADHE by immunoblotting after two-dimensional
BN/SDS-PAGE. One BN gel lane was excised, subjected to denaturation in 1%
SDS and 1% -mercaptoethanol, and further loaded on SDS-PAGE (10%). Pro-
teins were then transferred to a nitrocellulose membrane and stained with
Ponceau S. The membrane was probed for ADHE. Chloroplast Aldehyde/Alcohol Dehydrogenase TABLE 2 Enzymatic data on the recombinant ADHE Enzymatic data on the recombinant ADHE Standard reaction medium contains 50 mM potassium phosphate (pH 7.0). The
substrates were used at the following concentrations: NAD (1.5 mM), NADH (0.4
mM), acetyl-CoA (100 M), coenzyme A (100 M), ethanol (200 mM), acetaldehyde
(1 mM). “Fe” indicates incubation with 0.3 mM FeCl3. (
)
3
Reaction no. Vmax
pHmax
molmin 1mg 1
1
0.88 0.18
6.5–7.0
1 (Fe)
1.07 0.09
2
4.00 0.63
6.5–7.0
2 (Fe)
4.99 1.21
3
0.85 0.06
3 (Fe)
1.20 0.40
4
0.69 0.29
4 (Fe)
0.83 0.33 TABLE 4 The analysis of cell
sections by electron microscopy confirmed the higher starch
TABLE 4
Relative abundance of ADHE and PFL in C. reinhardtii cells exposed to various physiological conditions
Strain
Phenotype
Medium
Light
intensity
ADHE
relative
PFL
relative
E m 2 s 1
CC-124
WT
TAP
10–15
1
1
CC-124
WT
TAP
40–50
1
1
CC-124
WT
TAP
200
1.6–1.8
1.1–1.2
CC-124
WT
HSM 2% CO2
40–50
0.3
NDa
CC-124
WT
TAP DCMU
40–50
0.9–1.2
1.3–1.6
CC-124
WT
TAP (no ZnSO4)
40–50
3.3–3.5
1.5–1.7
CC-124
WT
N-free TAP (24 h)
40–50
2.5
0.75
10-6C
Lacks RubisCO carboxylase activity
TAP
40–50
3.4–3.6
1.4–1.6
10-6C
Lacks RubisCO carboxylase activity
TAP (no ZnSO4)
40–50
3.3–3.5
ND
RBCL
Lacks RubisCO
TAP
10–15
0.2–0.3
1.1–1.4
CIA3
Lacks carbonic anhydrase 3
TAP
40–50
1.4–1.7
1.1–1.4
CIA5
Lacks CCM1
TAP
40–50
1.5–1.7
1.1–1.3
sta6
Impaired in starch synthesis
TAP (no ZnSO4)
40–50
1.0–1.1
ND
sta6
Impaired in starch synthesis
TAP (no ZnSO4)
40–50
3.0–3.2
ND
a ND, not determined. FIGURE 6. Fermentative products excreted by C. reinhardtii incubated in
dark anoxia. Shown are the kinetics of acetate, formate, and ethanol produc-
tion by the wild-type strain (upper graph) and the mutant strain (lower graph)
incubatedinAIBmedium.Metabolitesintheextracellularmediumwereiden-
tified by HPLC at the indicated times. HP indicates that 10 mM sodium
hypophosphite was added to the incubation medium to inhibit PFL. Each
value is the mean of at least four independent experiments carried out with
cell suspensions at 107 cells ml 1. The error bars indicate standard deviations. Note the different scales for the two strains. 4
abundance of ADHE and PFL in C. reinhardtii cells exposed to various physiological conditions The establishment of metal deficiency was confirmed by the
increased abundance of chaperone Zcp2 (supplemental Fig. S5)
(38). Protein blots showed that the ADHE levels in zinc-defi-
cient CC-124 were 3-fold higher than in zinc-replete cells
(supplemental Fig. S5 and Table 4), thus making these cells of
value for our fermentation studies. The response of zinc-deficient CC-124 cells to 24 h of dark
anoxia was examined through the analysis of proteins and fer-
mentation products (Fig. 8). HPLC analysis of excreted metab-
olites indicated the presence of formate, acetate, and ethanol in
a molar ratio of 2:1:1, being thus comparable with the ratio
obtained with cells grown on standard TAP medium. TABLE 4 The
respective amounts of these products were, however, found to
be 2-fold higher in zinc-deficient cells as compared with zinc-
replete cells (Fig. 8A), revealing the higher fermentative capac-
ities of the metal-deficient cells. In contrast to zinc-replete
CC-124 cells, the overall protein profile of zinc-deficient cells
hardly changed after prolonged anoxia, as observed in strain
10-6C (Fig. 8B). Notably, the levels of ADHE, PFL, and the
PTAs, which compete with ADHE for acetyl-CoA (Fig. 1),
remained rather stable in zinc-deficient cells (Fig. 8B). On the
whole, our data had several implications: (i) strain CC-124 is
not intrinsically unfit to withstand prolonged anoxia, (ii) zinc
deficiency enhances the cell capacity to survive anoxia, and (iii)
in C. reinhardtii, the PFL-gated pathway is the preferred fer-
mentative route irrespective of the zinc status of the cell. FIGURE 6. Fermentative products excreted by C. reinhardtii incubated in
dark anoxia. Shown are the kinetics of acetate, formate, and ethanol produc- FIGURE 6. Fermentative products excreted by C. reinhardtii incubated in
dark anoxia. Shown are the kinetics of acetate, formate, and ethanol produc-
tion by the wild-type strain (upper graph) and the mutant strain (lower graph)
incubatedinAIBmedium.Metabolitesintheextracellularmediumwereiden-
tified by HPLC at the indicated times. HP indicates that 10 mM sodium
hypophosphite was added to the incubation medium to inhibit PFL. Each
value is the mean of at least four independent experiments carried out with
cell suspensions at 107 cells ml 1. The error bars indicate standard deviations. Note the different scales for the two strains. p
Evaluating ADHE Accumulation in Relation to Starch
Levels—In the conditions of fermentation applied here, i.e. dark
incubation in a potassium phosphate medium, starch content is
believed to be key for the maintenance of cell integrity and
survival. Indeed, starch is the source of glucose, directly fueling
glycolysis to produce ATP under anoxia (Fig. 1). We therefore
examined the starch content in the cells analyzed above. As
shown in Fig. 9A, the amounts of starch in strain CC-124
increased 3–4-fold when zinc was removed from medium,
reaching up to 5–6 g starch/106 cells. The analysis of cell
sections by electron microscopy confirmed the higher starch
content in zinc-deficient cells relative to zinc-replete cells (Fig. 9B). Of note, starch content in TAP-grown 10-6C cells was also
found to be higher than in the reference CC-124 cells, with
6–7 g/106 cells (not shown). TABLE 4 TABLE 4
Relative abundance of ADHE and PFL in C. reinhardtii cells exposed to various physiological conditions deficient cells could be interpreted as a way to maintain a basal
ADH capacity in the cell. Indeed, the replacement of the four
predicted
zinc-dependent
ADHs
(Cre09.g392134,
Cre14. g623650,Cre03.g207800,andCre03.g207550)byfunctionalho-
mologs that rel
on other metals iron in partic lar co ld
The establishment of metal deficiency was confirmed by the
increased abundance of chaperone Zcp2 (supplemental Fig. S5)
(38). Protein blots showed that the ADHE levels in zinc-defi-
cient CC-124 were 3-fold higher than in zinc-replete cells
(supplemental Fig. S5 and Table 4), thus making these cells of
value for our fermentation studies. The response of zinc-deficient CC-124 cells to 24 h of dark
anoxia was examined through the analysis of proteins and fer-
mentation products (Fig. 8). HPLC analysis of excreted metab-
olites indicated the presence of formate, acetate, and ethanol in
a molar ratio of 2:1:1, being thus comparable with the ratio
obtained with cells grown on standard TAP medium. The
respective amounts of these products were, however, found to
be 2-fold higher in zinc-deficient cells as compared with zinc-
replete cells (Fig. 8A), revealing the higher fermentative capac-
ities of the metal-deficient cells. In contrast to zinc-replete
CC-124 cells, the overall protein profile of zinc-deficient cells
hardly changed after prolonged anoxia, as observed in strain
10-6C (Fig. 8B). Notably, the levels of ADHE, PFL, and the
PTAs, which compete with ADHE for acetyl-CoA (Fig. 1),
remained rather stable in zinc-deficient cells (Fig. 8B). On the
whole, our data had several implications: (i) strain CC-124 is
not intrinsically unfit to withstand prolonged anoxia, (ii) zinc
deficiency enhances the cell capacity to survive anoxia, and (iii)
in C. reinhardtii, the PFL-gated pathway is the preferred fer-
mentative route irrespective of the zinc status of the cell. Evaluating ADHE Accumulation in Relation to Starch
Levels—In the conditions of fermentation applied here, i.e. dark
incubation in a potassium phosphate medium, starch content is
believed to be key for the maintenance of cell integrity and
survival. Indeed, starch is the source of glucose, directly fueling
glycolysis to produce ATP under anoxia (Fig. 1). We therefore
examined the starch content in the cells analyzed above. As
shown in Fig. 9A, the amounts of starch in strain CC-124
increased 3–4-fold when zinc was removed from medium,
reaching up to 5–6 g starch/106 cells. TABLE 3 Lane 1, rADHE purified under anaerobic conditions; lane
2, rADHE purified under atmospheric conditions; lane 3, S. cerevisiae ADH1
(0.5 g). C, detection of rADHE by immunoblotting after two-dimensional
BN/SDS-PAGE. One BN gel lane was excised, subjected to denaturation in 1%
SDS and 1% -mercaptoethanol, and further loaded on SDS-PAGE (10%). Pro-
teins were then transferred to a nitrocellulose membrane and stained with
Ponceau S. The membrane was probed for ADHE. Protein Levels in Dark Anoxia—Protein extracts from
CC-124 and 10-6C cells exposed to dark anoxia were analyzed
by SDS-PAGE. As observed in Fig. 7A, a drastic change in the
overall protein profile of wild-type cells was observed between 6
and 24 h, after fermentation stopped. In contrast, protein pro-
files of mutant strain 10-6C appeared stable through the 24-h
period. To gain insights into the respective acclimation of the
two strains to dark anoxia, selected proteins were followed by
immunoblotting experiments (Fig. 7B). For both strains, a slight Zinc Deficiency Increases ADHE Accumulation and Fermen-
tative Abilities—In a study based on quantitative proteomics, it
was reported that aerobic growth in conditions of zinc defi-
ciency increased the ADHE intracellular levels by 3–4-fold in
strain CC-4532 (38). The increased ADHE abundance in zinc- VOLUME 292•NUMBER 6•FEBRUARY 10, 2017 2400 JOURNAL OF BIOLOGICAL CHEMISTRY Chloroplast Aldehyde/Alcohol Dehydrogenase TABLE 4
Relative abundance of ADHE and PFL in C. reinhardtii cells exposed to v
Strain
Phenotype
M
CC-124
WT
TAP
CC-124
WT
TAP
CC-124
WT
TAP
CC-124
WT
HSM
CC-124
WT
TAP
CC-124
WT
TAP (n
CC-124
WT
N-free
10-6C
Lacks RubisCO carboxylase activity
TAP
10-6C
Lacks RubisCO carboxylase activity
TAP (n
RBCL
Lacks RubisCO
TAP
CIA3
Lacks carbonic anhydrase 3
TAP
CIA5
Lacks CCM1
TAP
sta6
Impaired in starch synthesis
TAP (n
sta6
Impaired in starch synthesis
TAP (n
a ND, not determined. FIGURE 6. Fermentative products excreted by C. reinhardtii incubated in
dark anoxia. Shown are the kinetics of acetate, formate, and ethanol produc-
tion by the wild-type strain (upper graph) and the mutant strain (lower graph)
incubatedinAIBmedium.Metabolitesintheextracellularmediumwereiden-
tified by HPLC at the indicated times. HP indicates that 10 mM sodium
hypophosphite was added to the incubation medium to inhibit PFL. Each
value is the mean of at least four independent experiments carried out with
cell suspensions at 107 cells ml 1. The error bars indicate standard deviations. Note the different scales for the two strains. TABLE 3 deficient cells could be interpreted as a way to maintain a basal
ADH capacity in the cell. Indeed, the replacement of the four
predicted
zinc-dependent
ADHs
(Cre09.g392134,
Cre14. The establishment of metal deficienc
increased abundance of chaperone Zcp
(38). Protein blots showed that the A
cient CC-124 were 3-fold higher th
(supplemental Fig. S5 and Table 4), th
value for our fermentation studies. The response of zinc-deficient CC-
anoxia was examined through the ana
mentation products (Fig. 8). HPLC ana
olites indicated the presence of format
a molar ratio of 2:1:1, being thus com
obtained with cells grown on stand
respective amounts of these products
be 2-fold higher in zinc-deficient cells
replete cells (Fig. 8A), revealing the hig
ities of the metal-deficient cells. In
CC-124 cells, the overall protein profi
hardly changed after prolonged anox
10-6C (Fig. 8B). Notably, the levels o
PTAs, which compete with ADHE f
remained rather stable in zinc-deficien
whole, our data had several implicatio
not intrinsically unfit to withstand pr
deficiency enhances the cell capacity to
in C. reinhardtii, the PFL-gated pathw
mentative route irrespective of the zin
Evaluating ADHE Accumulation
Levels—In the conditions of fermentati
incubation in a potassium phosphate m
believed to be key for the maintenan
survival. Indeed, starch is the source of
glycolysis to produce ATP under anox
examined the starch content in the c
shown in Fig. 9A, the amounts of s
increased 3–4-fold when zinc was r
6
TABLE 4
Relative abundance of ADHE and PFL in C. reinhardtii cells exposed to various physiological conditions
Strain
Phenotype
Medium
Light
intensity
ADH
relat
E m 2 s 1
CC-124
WT
TAP
10–15
1
CC-124
WT
TAP
40–50
1
CC-124
WT
TAP
200
1.6–
CC-124
WT
HSM 2% CO2
40–50
0.3
CC-124
WT
TAP DCMU
40–50
0.9–
CC-124
WT
TAP (no ZnSO4)
40–50
3.3–
CC-124
WT
N-free TAP (24 h)
40–50
2.5
10-6C
Lacks RubisCO carboxylase activity
TAP
40–50
3.4–
10-6C
Lacks RubisCO carboxylase activity
TAP (no ZnSO4)
40–50
3.3–
RBCL
Lacks RubisCO
TAP
10–15
0.2–0
CIA3
Lacks carbonic anhydrase 3
TAP
40–50
1.4–
CIA5
Lacks CCM1
TAP
40–50
1.5–
sta6
Impaired in starch synthesis
TAP (no ZnSO4)
40–50
1.0–
sta6
Impaired in starch synthesis
TAP (no ZnSO4)
40–50
3.0–
a ND, not determined. FIGURE 6. Fermentative products excreted by C. reinhardtii incubated in
dark anoxia. TABLE 3 Shown are the kinetics of acetate, formate, and ethanol produc-
tion by the wild-type strain (upper graph) and the mutant strain (lower graph)
incubatedinAIBmedium.Metabolitesintheextracellularmediumwereiden-
tified by HPLC at the indicated times. HP indicates that 10 mM sodium
hypophosphite was added to the incubation medium to inhibit PFL. Each
value is the mean of at least four independent experiments carried out with
cell suspensions at 107 cells ml 1. The error bars indicate standard deviations. Note the different scales for the two strains. TABLE 4
Relative abundance of ADHE and PFL in C. reinhardtii cells exposed to various physiological conditions
Strain
Phenotype
Medium
Light
intensity
ADHE
relative
PFL
relative
E m 2 s 1
CC-124
WT
TAP
10–15
1
1
CC-124
WT
TAP
40–50
1
1
CC-124
WT
TAP
200
1.6–1.8
1.1–1.2
CC-124
WT
HSM 2% CO2
40–50
0.3
NDa
CC-124
WT
TAP DCMU
40–50
0.9–1.2
1.3–1.6
CC-124
WT
TAP (no ZnSO4)
40–50
3.3–3.5
1.5–1.7
CC-124
WT
N-free TAP (24 h)
40–50
2.5
0.75
10-6C
Lacks RubisCO carboxylase activity
TAP
40–50
3.4–3.6
1.4–1.6
10-6C
Lacks RubisCO carboxylase activity
TAP (no ZnSO4)
40–50
3.3–3.5
ND
RBCL
Lacks RubisCO
TAP
10–15
0.2–0.3
1.1–1.4
CIA3
Lacks carbonic anhydrase 3
TAP
40–50
1.4–1.7
1.1–1.4
CIA5
Lacks CCM1
TAP
40–50
1.5–1.7
1.1–1.3
sta6
Impaired in starch synthesis
TAP (no ZnSO4)
40–50
1.0–1.1
ND
sta6
Impaired in starch synthesis
TAP (no ZnSO4)
40–50
3.0–3.2
ND
a ND, not determined. TABLE 4 Note that strain 10-6C
exhibits higher levels of ADHE and PFL. Evaluating ADHE Accumulation in Relation to CO2 Re-
quirements—A well documented effect of zinc deficiency in C. reinhardtii is the impairment of carbon-concentrating
mechanism (CCM) under atmospheric conditions (38, 43). Therefore we considered the possibility that the aforemen-
tioned rise in ADHE levels in zinc-deprived cells CC-124 and
Sta6 might be a consequence of reduced CO2 availability. All the experiments described in this work were carried out
with cells grown on TAP-derived medium under atmospheric
conditions (0.04% CO2) at a light intensity of 40 E m 2 s 1. In
these conditions, the cells rely on CCM to concentrate CO2 at
the active site of the Rubisco (44). The ADHE abundance was
first assessed in two CCM mutant strains: strain CIA5, which
lacks Ccm1, a master gene regulator that controls the induction
of CCM by sensing CO2 availability in C. reinhardtii (45, 46),
and strain CIA3, which lacks CAH3, the thylakoid lumen car-
bonic anhydrase, which provides CO2 to the Rubisco (47). The
ADHE abundance in these two strains grown under atmo-
spheric conditions was similar, being 1.5–1.8-fold higher than
that in wild-type strain CC-124 (Table 4). and strain 10-6C, relative to standard CC-124 cells, is a direct
result of a higher content in C-reserves. The associated increase
in ADHE levels may be then projected to facilitate the ethanol
fermentation of starch over longer periods. To further evaluate the link between ADHE up-regulation
and starch accumulation, the protein abundance was followed
after transferring the cells to TAP medium without ammonium
(N-free medium). Such a medium is known to trigger the accu-
mulation of large amounts of starch in the green alga C. rein-
hardtii (39). Time course experiments with long term sampling
(0, 17, 24, 40, 49, and 72 h) were carried out with strain CC-124. In our conditions, cellular starch content increased steadily
during the first 2 days after transfer to N-free medium (Fig. 10). TABLE 4 These data thus suggest that
the higher fermentation capacity of zinc-deficient CC-124 cells deficient cells could be interpreted as a way to maintain a basal
ADH capacity in the cell. Indeed, the replacement of the four
predicted
zinc-dependent
ADHs
(Cre09.g392134,
Cre14. g623650,Cre03.g207800,andCre03.g207550)byfunctionalho-
mologs that rely on other metals, iron in particular, could
ensure optimal (fermentative) metabolism. We first checked
the response of our reference strain CC-124 to zinc deficiency. The alga was inoculated in Tris-acetate-Phosphate (TAP)
medium without ZnSO4 and later transferred twice into the
same medium to reduce the intracellular zinc content. FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 2401 FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 JOURNAL OF BIOLOGICAL CHEMISTRY FIGURE7.ProteinabundanceinresponsetodarkanoxiainstrainsCC-12
(wild type) and 10-6C (lacks Rubisco carboxylase activity). Cells were ke
under dark anoxia in AIB medium at a cell concentration of 107 cells ml
Proteins in cell extracts (40 g) were separated by urea/SDS-PAGE (6 M ure
5–12% acrylamide gel) and transferred to nitrocellulose membrane. Lane
exponentially grown cells; lane 2, 6 h of incubation; lane 3, 24 h of incubatio
A, nitrocellulose membrane was stained with Ponceau Red S. B, select pr
teins were detected by immunoblot analyses with antisera against ADH
PFL, the large subunit of Rubisco (RBCL), subunit of mitochondrial ATPa
(ATP2), and subunit of chloroplast ATPase (ATPC). Note that strain 10-6
exhibits higher levels of ADHE and PFL. Chloroplast Aldehyde/Alcohol Dehydrogenase Chloroplast Aldehyde/Alcohol Dehydrogenase (Fig. 10). Later a slow decrease in the protein abundance was
observed (Fig. 10). PFL levels appeared rather stable through-
out the whole period, although a slight decrease was observed in
the first hours of N-deprivation (Fig. 10). The behavior of
ADHE and PFL in response to N-starvation is interesting
because it contrasts with that of other chloroplast proteins,
including enzymes of the Calvin-Benson-Bassham (CBB) cycle
and components of the photosynthetic chain, whose levels
decreased shortly after the transfer to N-free medium (40, 41). Here we observed within the first 24 h of N-starvation an
important decrease (more than 50%) in the abundance of RBCL
and phosphoribulokinase, two key enzymes of the CBB cycle,
and of ADP-glucose pyrophosphorylase (ADPG; EC 2.7.7.27),
the chloroplast enzyme that catalyzes the first committed step
in starch synthesis. The decrease in ADPG while starch content
increases is puzzling (Fig. TABLE 4 10) but could indicate that ADPG is
present at overcapacity in TAP-grown cells and is tuned down
to a minimum level to sustain starch production in N-free
medium. Altogether, our observations indicate that ADHE,
which is synthesized in conditions where N is limiting, occupies
a position of priority among chloroplast proteins. Finally, we addressed the potential link between ADHE accu-
mulation and starch synthesis. For that, we used mutant strain
Sta6, which is unable to synthesize starch because it lacks the
ADPG small subunit (42). In this strain growing on standard
TAP medium, ADHE is present at low levels, comparable with
those in wild-type strain CC-124 (Table 4). The transfer of Sta6
cells to zinc-deficient TAP medium led to a 3-fold increase in
ADHE abundance (Table 4), similar to that observed with wild-
type strain CC-124. From the study of starch-less strain Sta6, it
can be inferred that ADHE accumulation is not directly con-
trolled by starch synthesis. This does, however, not exclude a
common origin of the regulation of ADHE and starch. FIGURE7.ProteinabundanceinresponsetodarkanoxiainstrainsCC-124
(wild type) and 10-6C (lacks Rubisco carboxylase activity). Cells were kept
under dark anoxia in AIB medium at a cell concentration of 107 cells ml 1. Proteins in cell extracts (40 g) were separated by urea/SDS-PAGE (6 M urea,
5–12% acrylamide gel) and transferred to nitrocellulose membrane. Lane 1,
exponentially grown cells; lane 2, 6 h of incubation; lane 3, 24 h of incubation. A, nitrocellulose membrane was stained with Ponceau Red S. B, select pro-
teins were detected by immunoblot analyses with antisera against ADHE,
PFL, the large subunit of Rubisco (RBCL), subunit of mitochondrial ATPase
(ATP2), and subunit of chloroplast ATPase (ATPC). Note that strain 10-6C
exhibits higher levels of ADHE and PFL. FIGURE7.ProteinabundanceinresponsetodarkanoxiainstrainsCC-124
(wild type) and 10-6C (lacks Rubisco carboxylase activity). Cells were kept
under dark anoxia in AIB medium at a cell concentration of 107 cells ml 1. Proteins in cell extracts (40 g) were separated by urea/SDS-PAGE (6 M urea,
5–12% acrylamide gel) and transferred to nitrocellulose membrane. Lane 1,
exponentially grown cells; lane 2, 6 h of incubation; lane 3, 24 h of incubation. A, nitrocellulose membrane was stained with Ponceau Red S. B, select pro-
teins were detected by immunoblot analyses with antisera against ADHE,
PFL, the large subunit of Rubisco (RBCL), subunit of mitochondrial ATPase
(ATP2), and subunit of chloroplast ATPase (ATPC). TABLE 4 Followed by protein blots, the ADHE steady-state levels were
found to increase progressively during the first 24 h (2.5-fold)
(Table 4), thus correlating with the increase in starch content Additional observations provided further support for a link
between the ADHE levels and the CO2 availability: (i) ADHE
was hardly detected in wild-type strain CC-124 grown on TAP
medium supplemented with 2% CO2 (in these conditions CCM
is not required) (Table 4); (ii) ADHE was only faintly observed VOLUME 292•NUMBER 6•FEBRUARY 10, 2017 2402 2402
JOURNAL OF BIOLOGICAL CHEMISTRY Chloroplast Aldehyde/Alcohol Dehydrogenase FIGURE 8. Fermentation by zinc-deficient cells. Cells were incubated for 24 h under dark anoxia in AIB medium, at a concentration of 107 cells ml 1. Sample
1, strain CC-124 grown on TAP medium; sample 2, strain CC-124 grown on zinc-deficient TAP medium; sample 3, strain 10-6C grown on TAP medium. A,
fermentation products excreted after 24 h in dark anoxia. Metabolite concentrations are given for 107 cells ml 1. B and C, proteins in extracts from cells before
(t 0) and after a prolonged incubation in anoxia (t 24 h) were analyzed on urea/SDS-PAGE (6 M urea, 5–12% acrylamide) and transferred to nitrocellulose
membrane. B, Ponceau S-stained nitrocellulose membrane. C, immunoblots showing the levels of specific fermentative enzymes. The two bands detected by
the anti-PTA serum likely correspond to the chloroplast and mitochondrial isoforms of phosphotransacetylase (supplemental Fig. S6 and S7). Chloroplast Aldehyde/Alcohol Dehydrogenase FIGURE 8. Fermentation by zinc-deficient cells. Cells were incubated for 24 h under dark anoxia in AIB medium, at a concentration of 107 cells ml 1. Sample
1, strain CC-124 grown on TAP medium; sample 2, strain CC-124 grown on zinc-deficient TAP medium; sample 3, strain 10-6C grown on TAP medium. A,
fermentation products excreted after 24 h in dark anoxia. Metabolite concentrations are given for 107 cells ml 1. B and C, proteins in extracts from cells before
(t 0) and after a prolonged incubation in anoxia (t 24 h) were analyzed on urea/SDS-PAGE (6 M urea, 5–12% acrylamide) and transferred to nitrocellulose
membrane. B, Ponceau S-stained nitrocellulose membrane. C, immunoblots showing the levels of specific fermentative enzymes. The two bands detected by
the anti-PTA serum likely correspond to the chloroplast and mitochondrial isoforms of phosphotransacetylase (supplemental Fig. S6 and S7). TABLE 4 in strain
RBCL (Table 4), which lacks Rubisco because of a
large deletion in the chloroplast RBCL gene (48). This strain,
which is light-sensitive, relies mostly on mitochondrial metab-
olism for growth (49); and (iii) at the 5-UTR of the ADHE gene
a typical low CO2 cis-acting enhancer element was identified
(GAGTTGC; position 299 to 293 from the ATG) (50),
which argues for the up-regulation of the ADHE expression
under low CO2. (pathogens), but over the last decade, ADHE genes have been
uncovered in species of varied lifestyles. In particular, ADHEs
have been found in photosynthetic microalgae thriving in fresh
or marine waters (14). Despite the significant set of bacterial
and eukaryotic ADHE sequences used in our phylogenetic anal-
ysis (supplemental Data Set S1), the evolutionary history of
eukaryote enzymes remains confusing. Only in the case of pho-
tosynthetic microalgae, the ADHE is found in two distinct posi-
tions in the tree (Fig. 2): the enzymes in B. natans and G. theta
are found among most of their counterparts in anaerobic
eukaryotes, between the two bacterial protein clusters, whereas
the chlorophyte ADHEs are found in cluster I, in close proxim-
ity to the cyanobacterial counterparts (Fig. 2). Hence, at least
two different ADHE gene donors have to be considered in the
evolution of unicellular algae. Light was also found to influence the ADHE abundance in
C. reinhardtii. Wild-type CC-124 cells were grown to early
exponential-phase on TAP medium at a light intensity of 40
mol photons m 2 s 1 and later exposed to different light
intensities for 20 h. Cells grown at 15 and 40 E m 2 s 1 exhib-
ited similar amounts of ADHE, whereas cells grown at 200 E
m 2 s 1 contained slightly more ADHE (Table 4). At higher
light intensity, the cells require more CO2, which may not be
fulfilled under the atmospheric conditions and thus constitute a
signal for ADHE accumulation. Microalgae with primary plastids, i.e. chlorophytes, rhodo-
phytes, glaucophytes, are believed to have emerged from the
ancient endosymbiosis of a cyanobacterium in a heterotrophic
eukaryote (51). As shown here, a vertical inheritance of ADHE
from cyanobacteria appears sound for the chlorophytes, espe-
cially because the enzyme is present in the species of the orders
Nostocales and Stigonematales, proposed to be at the origin of
all primary plastids (52). Up to now, only few genomes of glau- Chloroplast Aldehyde/Alcohol Dehydrogenase cophytes and rhodophytes have been sequenced, none of them
containing any ADHE genes. The evolution of the ADHE gene
(retention versus loss) among species with primary plastids can-
not be understood without more genome sequences from these
glaucophyte and rhodophyte algal lineages. Throughout this work we have identified situations (mutant
strains and physiological conditions) that induce fluctuations in
ADHE abundance in C. reinhardtii. Increased ADHE abun-
dance was observed in cells growing on TAP medium lacking
zinc or a nitrogen source (Figs. 8 and 10), in mutant strains
impaired in the carbon concentrating mechanism (CIA5 and
CIA3), in cells lacking Rubisco carboxylase activity (strain
10-6C), or even in conditions of high light (Table 4). Inversely,
ADHE was hardly detected in cells that do not rely on CCM for
growth (Table 4). A possible rationale for an increased ADHE
abundance in conditions where carbon concentration is
impaired may relate to an over-reduction state of the chloro-
plast: low CO2 or the absence of CBB cycle activity will strongly
decrease CO2 reduction, which is a major electron sink in the
light. Interestingly, our data showed that enhanced ADHE lev-
els coincide with higher starch content in the cells; that is the
case for cells growing on TAP medium lacking zinc or a nitro-
gen source and in cells lacking Rubisco carboxylase activity
(strain 10-6C) (Figs. 8 and 10). As described earlier, we have
identified a cis-acting element in the promotor region of the
ADHE gene that could provide a rationale for the observed
regulatory influence of CO2. Importantly, the same type of ele-
ment was found in the AGDP gene, the rate-limiting enzyme
involved in starch synthesis. A concerted induction by low CO2
could constitute a direct link between ADHE and starch syn-
thesis. Still, a probable factor in the concerted accumulation of
ADHE and starch is an increase in reducing equivalent levels, as
is known for bacterial ADHEs. Indeed, all conditions where
ADHE is up-regulated imply a diminished use of reducing
equivalents, for example a defunct Rubisco. The reason why
this is not sufficient in C. reinhardtii is that, unlike bacteria, the C. reinhardtii is the first eukaryote known so far in which the
ADHE localizes to the chloroplast; such a compartmentaliza-
tion is likely reminiscent of the cyanobacterial ancestor. Chloroplast Aldehyde/Alcohol Dehydrogenase FIGURE 9. Impact of zinc on starch accumulation. A, starch content in expo-
nentiallygrowingC. reinhardtiicells(strainCC-124).Thedataarethemeansof
at least three independent replicates. B, electron micrographs of cell sections
showing higher starch content in cells deficient in zinc compared with cells
grown in presence of zinc. C. reinhardtii (Fig. 6). In this respect, the microalga differs from
the facultative anaerobic bacteria studied to date. In E. coli, for
example, ADHE abundance increases up to 10-fold upon expo-
sure to anoxia (54). In Staphylococcus aureus, ADHE is a target
of the redox sensing transcriptional regulator Rex, which regu-
lates most genes encoding fermentative enzymes (55). The few
data on photosynthetic bacteria (cyanobacteria) also point at a
regulation by anoxia: the AdhE transcripts in Synechococcus
species in microbial mats (Octopus Spring, Yellowstone
National Park) were shown to increase during the evening (56). The rationale for the different enzyme regulation between fac-
ultative anaerobic bacteria and C. reinhardtii is likely to be
found in differences in lifestyle and cell complexity. The con-
stitutive accumulation in the alga might specify the need to
respond quickly to dark anoxia. It could make good sense for
C. reinhardtii to produce ADHE, a large protein, under aerobic
conditions when energy is not usually limiting rather than
under anoxia, when ATP is in short supply. This also holds for
PFL, which accumulates under aerobic conditions (12) (Figs. 7
and 8). Alternatively, the accumulation of ADHE under oxic
conditions could indicate that the enzyme is also required in
aerated environments. Production of ethanol under atmo-
spheric conditions, as it happens in S. cerevisiae, seems unlikely
because ethanol has not been detected in the culture medium of
aerobically growing algae (not shown). The ADHE in the alga
could also have a function not directly linked to ethanol metab-
olism, as reported recently in E. coli (57, 58). FIGURE 9. Impact of zinc on starch accumulation. A, starch content in expo-
nentiallygrowingC. reinhardtiicells(strainCC-124).Thedataarethemeansof
at least three independent replicates. B, electron micrographs of cell sections
showing higher starch content in cells deficient in zinc compared with cells
grown in presence of zinc. FIGURE 9. Impact of zinc on starch accumulation. A, starch content in expo-
nentiallygrowingC. reinhardtiicells(strainCC-124).Thedataarethemeansof
at least three independent replicates. B, electron micrographs of cell sections
showing higher starch content in cells deficient in zinc compared with cells
grown in presence of zinc. Discussion Bifunctional aldehyde/alcohol dehydrogenases are present in
a variety of facultative and strict anaerobic bacteria but remain
so far undetected in Archaea. In the eukaryotic world, ADHEs
have long been thought to be restricted to anaerobic species FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 2403 JOURNAL OF BIOLOGICAL CHEMISTRY FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 Chloroplast Aldehyde/Alcohol Dehydrogenase an only ferment internal starch reserves, which thu
synthesized first. For this, an increase in ATP status
d
d h
f
h
i
h
l i
i
C
E 10. ADHE levels increase upon exposure to nitrogen star
ions.Starchcontentandselectproteinswereanalyzedaftertra
hardtii strain CC-124 to N-free TAP medium. Proteins in cell e
separated on SDS-PAGE (10%) and transferred to nitroce
rane. In our experimental conditions, the alga ferments its carbon
stores mainly into formate, acetate, and ethanol in a molar ratio
of 2:1:1. This mixed acid fermentation indicates the involve-
ment of a metabolic pathway gated through PFL. The use of this
route has a clear advantage over other more typical routes in
eukaryotes (PDC/ADH or lactate dehydrogenase) (Fig. 1) as it
balances NAD regeneration with the need for energy produc-
tion in conditions of dark anoxia. Here we showed that cells
with elevated ADHE levels (strain 10-6C and zinc-deprived
strain CC-124) exhibit the same mixed acid fermentation rate
but have extended fermentation abilities. This means that
ADHE is not rate-limiting in this fermentative pathway. From
the product yields at 24 h (Figs. 6 and 8), it is inferred that the
fermentation span is at least 16 h. Furthermore, our results
revealed the higher stability of the overall proteome in cells with
enhanced ADHE levels. After 24 h of dark anoxia, the protein
profiles of the cells with higher ADHE content were shown to
be unaltered, contrasting with the situation in the reference
cells where protein degradation, in particular degradation of
fermentative enzymes, takes place. Cells with higher ADHE are
better suited to survive under dark anoxia, which appears most
immediately linked to the content in endogenous carbohydrate
content. If we assume that ADHE is only required for anaerobic
metabolism, it could be hypothesized that the high ADHE con-
tent, which seems intricately linked to high starch levels, antic-
ipates the loss of protein because of inactivation and/or degra-
dation that inevitably occurs over the extended fermentation
periods that higher starch stores will allow. The question of
whether an increased ADHE level is indeed crucial for pro-
longed anoxic survival remains to be answered because we have
not identified a condition or strain with high starch and low
amounts of ADHE. The amazing ability of C. Chloroplast Aldehyde/Alcohol Dehydrogenase reinhardtii to sur-
vive over long periods of dark anoxia was in some way unex-
pected for a photosynthetic alga that typically lives in mid lati-
tudes where day (light) length varies only moderately. It would
thus appear that other conditions than light also determine to
what extent the algal cell is in fact exposed to conditions of dark
anoxia. FIGURE 10. ADHE levels increase upon exposure to nitrogen starvation
conditions.Starchcontentandselectproteinswereanalyzedaftertransferof
C. reinhardtii strain CC-124 to N-free TAP medium. Proteins in cell extracts
were separated on SDS-PAGE (10%) and transferred to nitrocellulose
membrane. We believe that the present work forms a solid basis to dis-
close the molecular details of the ADHE regulation in C. rein-
hardtii. The predominant role of ADHE in the fermentation
metabolism of the green alga is confirmed here, but our studies
cannot rule out the possibility that this enzyme has other func-
tions (under oxic conditions). To elucidate the mechanism
underlying the aldehyde/alcohol dehydrogenase up-regulation
as well as to identify potential alternative functions for ADHE in
the green alga, the examination of counterparts from diverse
biochemical context and thriving in different environments is
expected to provide valuable insights. Among the ADHEs that
would deserve scrutiny are those from cyanobacteria and from
non-chlorophyte photosynthetic algae, such as the members of
the SAR supergroup, in which the repertoire of fermentative
enzymes is distinct from that in chlorophytes (14). FIGURE 10. ADHE levels increase upon exposure to nitrogen starvation
conditions.Starchcontentandselectproteinswereanalyzedaftertransferof
C. reinhardtii strain CC-124 to N-free TAP medium. Proteins in cell extracts
were separated on SDS-PAGE (10%) and transferred to nitrocellulose
membrane. alga can only ferment internal starch reserves, which thus have
to be synthesized first. For this, an increase in ATP status is also
required, and therefore we theorize that regulation in C. rein-
hardtii requires increases in both redox equivalents and adenyl-
ate status. Chloroplast Aldehyde/Alcohol Dehydrogenase Despite the chloroplast confinement, the algal ADHE exhibits
molecular and enzymatic traits comparable with those of its
counterparts in bacteria and amitochondriate eukaryotes. This
is significant because ADHE is known as a major target of met-
al-catalyzed oxidation (53). In this process, Fe2 ions in the
protein active site (Fig. 1) react with ROS and generate hydroxyl
radicals. In turn, these radicals can selectively oxidize the
nearby His residue, leading to the irreversible inactivation of
the enzyme. Also interesting is the fact that spirosome-like
structures were found in an ADHE-enriched stromal fraction. Assuming that these assemblies are indeed ADHE oligomers,
this would indicate that the formation of spirosomes can also
take place in the oxygen-rich atmosphere of the chloroplast. Previous studies on the fermentative capacities of C. rein-
hardtii indicated that both the chloroplast and the mitochon-
dria contained a complete PFL-gated pathway, composed of a
PFL, a PTA-ACK, and an ADHE (8). Although the presence of a
PFL and PTA-ACK in mitochondria has been confirmed by
biochemical and molecular approaches (12, 24), the attempts to
detect an ADHE have failed as yet (12, 33) (Fig. 4). Further
studies will determine whether PFL and PTA-ACK form a
pathway leading to formate and acetate or whether they act
independently in the mitochondrion. Our study adds further weight to the notion that decreased
oxygen availability is not a signal for ADHE accumulation in VOLUME 292•NUMBER 6•FEBRUARY 10, 2017 2404
JOURNAL OF BIOLOGICAL CHEMISTRY 2404 VOLUME 292•NUMBER 6•FEBRUARY 10, 2017 Chloroplast Aldehyde/Alcohol Dehydrogenase lysate and in a chloroplast soluble fraction. For the two latter
samples, 3–4 g of proteins were stacked at the top of a 10%
acrylamide gel, and gel bands containing the concentrated pro-
teins were cut out. All gel bands were cut in pieces before being
washed by six successive incubations of 15 min in 25 mM
NH4HCO3 and in 25 mM NH4HCO3 containing 50% (v/v) ace-
tonitrile. Gel pieces were then dehydrated with 100% acetoni-
trile and incubated for 45 min at 53 °C with 10 mM DTT in 25
mM NH4HCO3 and for 35 min in the dark with 55 mM iodoacet-
amide in 25 mM NH4HCO3. Alkylation was stopped by adding
10 mM DTT in 25 mM NH4HCO3 and mixing for 10 min. Gel
pieces were then washed again by incubation in 25 mM
NH4HCO3 before dehydration with 100% acetonitrile. Modi-
fied trypsin (Promega, sequencing grade) in 25 mM NH4HCO3
was added to the dehydrated gel pieces for an overnight incu-
bation at 37 °C. Peptides were then extracted in three sequential
extraction steps (15 min each) in 30 l of 50% acetonitrile, 30 l
of 5% formic acid, and finally 30 l of 100% acetonitrile. The
pooled supernatants were then dried under vacuum. nit1 nit 2 ), CC-4348 (Sta6-1 mt), and CC-2702 (CIA5). From the ChlamyStation Collection (CNRS UMR7141, Paris,
France) were obtained the Rubisco mutants 10-6C.arg2.mt
and
RbcL 1.7.5. The presence of the point mutation G171D in
RBCL, which confers impaired CO2 fixation in strain 10-6C (31,
32), was confirmed in this work by protein-based mass spec-
trometry analysis (supplemental Fig. S2). Strain CIA3 was a gift
from Göran Samuelsson (Umeå University, Umeå, Sweden). All
strains were maintained at 24 °C on TAP medium (59) contain-
ing 1.5% agar. For strain 10-6C.arg2.mt, TAP medium was
supplemented with arginine (100 mg/ml). All media were pre-
pared with MilliQ water. The cells were grown in flasks on TAP medium unless oth-
erwise stated. Flasks were placed in an Innova incubator (New
Brunswick Scientific) at 125 rpm under continuous light at
24 °C. The cells were routinely grown at a light intensity of
40–50 E m 2 s 1, except strain
RbcL 1.7.5 at 10–15 E m 2
s 1. Wild-type strain CC-124 was also grown at 15 and 200 E
m 2 s 1. Chloroplast Aldehyde/Alcohol Dehydrogenase For growth in absence of zinc, the culture medium
was prepared by omitting ZnSO4 from the standard TAP
medium. Cells from TAP plates were inoculated into 100-ml of
“zinc-free” medium and grown to their late exponential phase. The cells were then transferred into a fresh medium without
zinc at a cell concentration of 1 105 cells ml 1. Zinc defi-
ciency was reached after a third round of transfer into “zinc-
free” medium. The analyses of zinc-deficient cells were carried
out on cells harvested in their mid-exponential phase. N-free
medium was prepared by omitting ammonium chloride from
the TAP medium. The cells subjected to N-deprivation were
grown to 3–4 106 cells ml 1 and collected by centrifugation
at 1,500 g for 5 min at room temperature. The cells were
washed in N-free TAP medium and finally resuspended in
N-free TAP to 1 106 cells ml 1. For experiments involving
CO2 supplementation, the cultures were grown in an incubator
bubbled with an atmosphere of 2% CO2 in air. The cell densities
were determined using a Malassez hemocytometer after addi-
tion of Lugol’s solution (Sigma-Aldrich) to the cell suspension
to immobilize the cells. The dried extracted peptides were resuspended in 5% aceto-
nitrile and 0.1% trifluoroacetic acid and analyzed by online
nanoLC-MS/MS (Ultimate 3000, Dionex, and LTQ-Orbitrap
Velos pro; Thermo Scientific). Peptides were sampled on a 300
m 5 mm PepMap C18 precolumn and separated on a 75
m 250 mm C18 column (PepMap, Dionex). The nanoLC
methods consisted of 25- and 120-min acetronitrile gradients
in 0.1% formic acid at a flow rate of 300 nl/min for, respectively,
gel band and stacking analyses. MS and MS/MS (Top20) data
were acquired using Xcalibur (Thermo Scientific) and pro-
cessed automatically using Mascot Daemon software (version
2.5; Matrix Science). Searches against the Phytozome database
(version 9.0, C. reinhardtii taxonomy) (61), a homemade clas-
sical contaminants database, and the corresponding reversed
databases were performed using Mascot (version 2.5.1). ESI-
TRAP was chosen as the instrument, trypsin/P was chosen as
the enzyme, and two missed cleavages allowed. Precursor and
fragment mass error tolerances were set, respectively, at 10 ppm
and at 0.6 Da. Peptide modifications allowed during the search
werecarbamidomethyl(C,fixed)acetyl(N-terminal,variable),and
oxidation (M, variable). Experimental Procedures C. reinhardtii Strains, Media, and Culture Conditions—
From the Chlamydomonas Resource Center of Minnesota Uni-
versity, the following strains were obtained: CC-124 (137c mt FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 2405 JOURNAL OF BIOLOGICAL CHEMISTRY 2405 VOLUME 292•NUMBER 6•FEBRUARY 10, 2017 Chloroplast Aldehyde/Alcohol Dehydrogenase A BN gel
lane was washed twice in 100 mM Tris (pH 8.8) and then incu-
bated in 25 ml of 100 mM Tris-Cl (pH 8.8) containing 20 mg of
NAD, 5 mg of nitroblue tetrazolium, 1 mg of phenazine metho-
sulfate, and 25 l of absolute ethanol. In the presence of phen-
azine methosulfate, nitroblue tetrazolium reacts with NADH
produced by dehydrogenases to produce an insoluble blue-pur-
ple formazan precipitate. For two-dimensional BN/SDS-PAGE,
a BN gel lane was cut out after the run, washed three times for 5
min in 1% SDS and 1% 2-mercaptoethanol, and then applied on
top of a 10% SDS-PAGE gel. After electrophoresis, the proteins
were transferred onto nitrocellulose membrane. Starch Quantification—Cells (2–5 106 cells) from cultures
or anaerobic incubations were collected by centrifugation (5
min at 14,000 g) and frozen in liquid nitrogen until use. To
disrupt cell integrity and extract pigments, 1 ml of 80% acetone
is added to each cell pellet. The cell residues obtained after
centrifugation were rinsed with 0.5 ml of 100 mM sodium ace-
tate buffer (pH 4.5) and then resuspended in 300 l of the same
buffer and heat-treated for 20 min at 120 °C for starch solubili-
zation. Total starch was quantified using an enzymatic starch
assay kit including amyloglucosidase, hexokinase, and glucose-
6-phosphate dehydrogenase (R-Biopharm, Darmstadt, Ger-
many). Alternatively, solubilized starch was stained using a
commercial iodine solution (Sigma) as follows: 100 l of solu-
bilized starch were mixed to 800 l of water and 100 l of
Lugol’s solution. Absorbance was measured spectrophoto-
metrically at 580 nm. Quantification was done using commer-
cial starch (R-Biopharm). The results from both methods were
comparable. Determination of Protein Concentration, SDS-PAGE, and
Immunodetection—Protein concentrations were routinely deter-
mined using the bicinchoninic acid-based Thermo Pierce pro-
tein assay kit, and bovine serum albumin as standard. When
protein concentrations of cell extracts were to be deter-
mined, proteins were first precipitated by CHCl3/MeOH
(63) and then resuspended in 2% SDS (w/v). Proteins were
analyzed either on 10% acrylamide SDS-PAGE, 7.5–12%
acrylamide SDS-PAGE, or 5–12% acrylamide gels containing
6 M urea (urea/SDS-PAGE). Protein samples (40 g) were
resuspended in 2% SDS (w/v) and 2% -mercaptoethanol
and boiled for 90 s. Insoluble material was then removed via
a 2-min centrifugation at 13,000 g. Apparent molecular
masses were estimated using prestained protein ladder Plus
(Euromedex). Chloroplast Aldehyde/Alcohol Dehydrogenase Analysis of Fermentation Products—Cells acclimated to dark
anoxia were harvested by centrifugation (7 min at 14,000 g). The resulting supernatants were filtered through a nylon filter
(0.2 m) and frozen until use. Prior to the analysis by HPLC
(Agilent 1260), the samples were diluted twice in 10 mM H2SO4
and centrifuged briefly. The fermentative products were then
separated using a HiPlex-H column for carbohydrates, organic
acids, and alcohols (300 7.7 mm, 8 m; Agilent) at 50 °C; the
mobile phase was 10 mM sulfuric acid, and the flow rate was 0.6
ml/min. Detection was done with a refractive index detector
(50 °C) and a photodiode array detector operating at 210 and
280 nm. The predominant products were identified as formate
(14 min), acetate (15.3 min), and ethanol (21.7 min). Signals
were integrated, and metabolites were quantified using a stan-
dard curve generated for each metabolite detected. (AS10691), and RbcL (AS03037). Antibodies against ADHE,
PFL, and ATP2 were described by (12). Antibodies to PTAs
were generated by immunization using heterologous protein
(supplemental Figs. S6 and S7). Anti-LHC was from O. Vallon
(Institut de Biologie Physico-Chimique (IBPC), Paris, France),
and anti-phosphoribulokinase was from Mike Salvucci (U.S. Department of Agriculture, Washington, D. C.). The Zcp2 anti-
bodies were a gift from S. Merchant (UCLA, Los Angeles, CA). Anti-rabbit IgG peroxidase conjugate (Sigma-Aldrich) was
used as secondary antibody. Immunochemical detection was
carried out using the homemade enhanced chemiluminescence
system (64) and Image Quant LAS 4000 mini (GE). y
(
)
g Q
(
)
BN-PAGE and Two-dimensional SDS-PAGE—BN-PAGE
was carried out using a 3–12% linear polyacrylamide gradient
(27). Freshly purified rADHE (25 g) was supplemented with
loading buffer that contains 30 mG/ml Blue G in 50 mM Tricine
(pH 8.0). Electrophoresis was carried out at 4 °C at constant
current (10 mA) for 1 h. The molecular mass of the rADHE
oligomers separated on BN-PAGE were evaluated using com-
mercial molecular mass markers (bovine serum albumin (66
kDa), S. cerevisiae alcohol dehydrogenase (150 kDa), horse
spleen apoferritin (443 kDa), and bovine thyroglobulin (669
kDa) (Sigma-Aldrich)). In-gel alcohol dehydrogenase activity
assay was performed at room temperature as follows. Chloroplast Aldehyde/Alcohol Dehydrogenase The IRMa software (62) (version 1.31.1)
was used to filter the results: conservation of rank 1 peptides, pep-
tide identification false discovery rate 1% (as calculated on pep-
tide scores by employing the reverse database strategy), and min-
imum of 1 specific peptide/identified protein group. Organelle Isolation and Partial Purification of Chloroplast
ADHE—Isolation of chloroplasts and mitochondria from
mutant strain 10-6C was essentially as described in (60). For the
ADHE partial purification, the chloroplasts were resuspended
in 50 mM HEPES (pH 7.0) in presence of protease inhibitors (0.5
mM benzamidine and 1 mM aminocaproic acid) to a final pro-
tein concentration of 5 mG/ml, frozen and thawed twice, and
centrifuged at 11,000 g for 15 min at 4 °C. The ADHE-con-
taining supernatant was applied to an anion exchange Ceramic
HyperD resin (GE Healthcare), equilibrated, and eluted with
50 mM HEPES (pH 7.0). In these conditions, ADHE was not
retained on the column. ADHE in the flow-through was either
pelleted by ultracentrifugation at 110,000 g for 1 h (4 °C) or
applied on a Blue Sepharose 6 (GE Healthcare). Elution from the
Blue resin was achieved with 1 M NaCl in 50 mM HEPES (pH 7.0). Mass Spectrometry Analysis—For mass spectrometry analy-
sis, different samples were analyzed. Whole chloroplasts were
loaded on 6 M urea/SDS-PAGE (5–12% acrylamide), and gel
bands containing PTAs (80 kDa), RBCL (45 kDa), and ADHE
(100-kDa) were cut out. ADHE was also identified in whole cell Dark Fermentation—500–700 ml of cultures in their mid-
exponential phase were harvested, washed in 10–20 ml of fil-
tered-sterilized anaerobic induction buffer (AIB) medium, and
finally resuspended in sterile AIB medium to a cell concentra-
tion of 1 107 cells ml 1. 30 ml of cell suspension was trans-
ferred to a 60-ml glass serum bottle. Each bottle was closed with
a butyl rubber stopper, wrapped in aluminum foil, degassed for
10 min, and then purged with argon for 15 min. The bottles
were placed in an incubator at 24 °C and agitated at 125 rpm. Where indicated, sodium hypophosphite (at a final concentra-
tion of 10 mM) was added to the cell suspension. Anerobic sam-
ples were taken regularly and processed for the analysis of pro-
tein, fermentation products, and starch content (see below). After each sampling, the bottles were flushed with argon. VOLUME 292•NUMBER 6•FEBRUARY 10, 2017 2406 JOURNAL OF BIOLOGICAL CHEMISTRY References 1. Oren, A., and Shilo, M. (1979) Anaerobic heterotrophic dark metabolism
in the cyanobacterium Oscillatoria limnetica: sulfur respiration and lac-
tate fermentation. Arch. Microbiol. 122, 77–84 2. Moezelaar, R., Bijvank, S. M., and Stal, L. J. (1996) Fermentation and sulfur
reduction in the Mat-building cyanobacterium Microcoleus chthonoplas-
tes. Appl. Environ. Microbiol. 62, 1752–1758 3. Hoffmeister, M., van der Klei, A., Rotte, C., van Grinsven, K. W., van
Hellemond, J. J., Henze, K., Tielens, A. G., and Martin, W. (2004)
Euglena gracilis rhodoquinone:ubiquinone ratio and mitochondrial
proteome differ under aerobic and anaerobic conditions. J. Biol. Chem. 279, 22422–22429 4. Müller, M., Mentel, M., van Hellemond, J. J., Henze, K., Woehle, C., Gould,
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Microbiol. Rev. 21, 179–211 Electron Microscopy—For negative staining: 5-l drops of the
protein suspension were placed directly on glow discharged
carbon coated grids (EMS) for 3 min. The grids were then
washed with two drops of 2% uranyl acetate in water and
stained with a third drop for 1 min. The grids were dried on
filter paper and the samples were analyzed using a Tecnai
200KV (operated at 120 kV) electron microscope (FEI). Digital
acquisitions were made with a numeric camera (Eagle, FEI). For
morphology, in preparation for high-pressure freezing, aliquots
of the liquid cultures were transferred to 50-ml conical centri-
fuge tubes, spun at 500 g for 5 min, and then gently resus-
pended in the growth medium containing 150 mM mannitol
(66). Subsequently the cells were pelleted, high pressure frozen,
freeze substituted, and embedded in LR White resin (hard
grade), according to Ref. 67. Ultrathin sections were prepared
with an ultracryomicrotome (EM UC7 Leica). 6. Kreuzberg, K. (1984) Starch fermentation via a formate producing path-
way in Chlamydomonas reinhardtii, Chlorogonium elongatum and Chlo-
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dark and light. Plant Physiol. 75, 212–218 8. Kreuzberg, K., Klock, G., and Grobheiser, D. (1987) Subcellular distribu-
tion of pyruvate-degrading enzymes in Chlamydomonas reinhardtii stud-
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481–488 9. Maione, T. Author Contributions—A. A., R. V. L., and D. D. designed the
research. A. A., R. V. L., and M. P. performed the research. R. V. L.
and W. N. phylogenetic analyses. Y. C. carried out the proteomic
analyses. A. K. performed electron microscopy. A. A. and R. V. L.
wrote the article with contributions from all the authors. Chloroplast Aldehyde/Alcohol Dehydrogenase After electrophoresis, proteins were either
stained with Coomassie Blue R250 or with Ponceau S after
transfer onto nitrocellulose membranes. Expression and Purification of C. reinhardtii ADHE—The
coding region of C. reinhardtii ADHE was amplified using the
following pair of primers: CrADHE_NdeI gaccatatggccgctgc-
cccggccaccc (61AAAPAT66) and CrADHE_XhoI gtcctcgag-
GTTGATCTTGGAGAAGAACTC (948EFFSKIN954) using as a
template the full-length cDNA (CAF04128). The amplified
fragment was cloned into the pET-24a expression vector
(Novagen) using the XhoI and NdeI restriction sites within the
multiple cloning site to incorporate a C-terminal His6 tag. The
sequence of the clone pET24a-CrADHE was confirmed at
GATC Biotech. E. coli BL21 (DE3) cells were transformed with
this construct. Transformed cells from plates were inoculated
in the autoinduction medium ZYM2052 (65) and grown over-
night at 37 °C. The cells were harvested, washed once in buffer
1 (300 mM NaCl, 50 mM sodium phosphate, pH 8.0) and frozen. Purification of ADHE was performed the same day at 4 °C
under argon. The cells were resuspended in buffer 1 supple-
mented with 0.5 mg/ml lysozyme, 0.5 mg/ml DNase, and 2 mM
MgCl2 and protease inhibitors (PMSF, amino caproic acid, and
benzamidine) and then broken by three cycles of freezing (liq-
uid nitrogen) and thawing. The broken cells were centrifuged at
10,000 g for 15 min at 4 °C. The supernatant was collected
and gently mixed with HIS-Select nickel affinity gel (Sigma- Immunoblotting experiments were carried out following a
standard protocol at room temperature. Nitrocellulose mem-
branes were first blocked for 1 h in 20 mM Tris, 300 mM NaCl,
pH 7.5, supplemented with 0.1% Tween 20 before incubation
with primary antibodies for 1 h. The primary antibodies were
from various sources. From Agrisera AB (Vännäs, Sweden)
were purchased antibodies against ADGP (AS11 1739), ATPC
(AS08 312), CAH3 (AS05073), HydA (AS09514), PDC FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 2407 JOURNAL OF BIOLOGICAL CHEMISTRY 2407 FEBRUARY 10, 2017•VOLUME 292•NUMBER 6 Chloroplast Aldehyde/Alcohol Dehydrogenase Aldrich). The mixture was then poured into an empty column. The gel was extensively washed with 10 mM imidazole in buffer
1. The His-tagged ADHE was eluted with 100 mM imidazole in
buffer 1, quickly desalted on a PD10 column pre-equilibrated
with 50 mM Tricine, pH 8.0, and finally concentrated on a
Vivaspin 30 (cut off 30 kDa) (GE Healthcare) to reach a final
concentration of 5–7 mg protein/ml. Acknowledgments—We thank are due to Dr. Göran Samuelsson
(Umeå University) for providing strain cia3, Dr. Joanna Porankie-
wicz-Asplund (Agrisera) for several useful insights regarding the anti-
bodies, Sabeeha Merchant (UCLA) for the antibodies to ZCP2 and
discussions on zinc deficiency at the early stage of this work, Sandrine
Bujaldon (IBPC) for various discussions around the strains and for
fluorescence measurements, and Jean-François Sassi (Cité des Ener-
gies, CEA-Cadarache) for the cultures in 2% CO2. Enzyme Assays—Freshly prepared ADHE was tested for the
different enzymatic activities, at 25 °C. Standard assay medium
for NADH-dependent reactions consisted of 50 mM potassium
phosphate (pH 7.0) and 0.4 2 mM NADH. Acetyl-CoA reduc-
tase activity was determined in the presence of 0.21 mM acetyl-
CoA; acetaldehyde reductase was determined with 1 mM acet-
aldehyde and 0.21 mM CoASH. The rate of both reductase
reactions were monitored spectrophotometrically following
the disappearance of NADH at 340 nm. Standard assay medium
for NAD-dependent reactions contained 1.5 mM NAD in 50
mM glycine/NaOH buffer (pH 9.0). Ethanol dehydrogenase
activity was assayed in 170 mM ethanol (1% v/v); acetaldehyde
dehydrogenase activity was assayed in 1 mM acetaldehyde and
0.2 mM CoASH. The rates of both dehydrogenases were moni-
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English
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Enhancing Data-Awareness of Object-Centric Event Logs
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Lecture notes in business information processing
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1 Leuven Institute for Research on Information Systems (LIRIS), KU Leuven,
Leuven, Belgium {alexandre.goossens,johannes.smedt,jan.vanthienen}@kuleuven.be
2 2 Process and Data Science (PADS) Chair, RWTH Aachen University,
Aachen, Germany wvdaalst@pads.rwth-aachen.de Abstract. When multiple objects are involved in a process, there is
an opportunity for processes to be discovered from different angles with
new information that previously might not have been analyzed from a
single object point of view. This does require that all the information of
event/object attributes and their values are stored within logs including
attributes that have a list of values or attributes with values that change
over time. It also requires that attributes can unambiguously be linked
to an object, an event or both. As such, object-centric event logs are an
interesting development in process mining as they support the presence of
multiple types of objects. First, this paper shows that the current object-
centric event log formats do not support the aforementioned aspects
to their full potential since the possibility to support dynamic object
attributes (attributes with changing values) is not supported by existing
formats. Next, this paper introduces a novel enriched object-centric event
log format tackling the aforementioned issues alongside an algorithm that
automatically translates XES logs to this Data-aware OCEL (DOCEL)
format. Keywords: Object-centric event logs · Process mining · Decision
mining This work was supported by the Fund for Scientific Research Flanders (project
G079519N) and KU Leuven Internal Funds (project C14/19/082).
c
⃝The Author(s) 2023
M. Montali et al. (Eds.): ICPM 2022 Workshops, LNBIP 468, pp. 18–30, 2023.
https://doi.org/10.1007/978-3-031-27815-0 2 This work was supported by the Fund for Scientific Research Flanders (project
G079519N) and KU Leuven Internal Funds (project C14/19/082). c
⃝The Author(s) 2023
M. Montali et al. (Eds.): ICPM 2022 Workshops, LNBIP 468, pp. 18–30, 2023.
https://doi.org/10.1007/978-3-031-27815-0_2 Alexandre Goossens1(B)
, Johannes De Smedt1
, Jan Vanthienen1
,
and Wil M. P. van der Aalst2 Alexandre Goossens1(B)
, Johannes De Smedt1
, Jan Vanthienen1
,
and Wil M. P. van der Aalst2 Alexandre Goossens1(B)
, Johannes De Smedt1
, Jan Vanthienen1
,
and Wil M. P. van der Aalst2 Alexandre Goossens1(B)
, Johannes De Smedt1
, Jan Vanthienen1
,
and Wil M. P. van der Aalst2 1 Leuven Institute for Research on Information Systems (LIRIS), KU Leuven
Leuven, Belgium 1 Leuven Institute for Research on Information Systems (LIRIS), KU Leuven,
Leuven, Belgium 1
Introduction In the last few years, object-centric event logs have been proposed as the next
step forward in event log representation. The drive behind this is the fact that the
eXtensible Event Stream (XES) standard [15] with a single case notion does not
allow capturing reality adequately [14]. A more realistic assumption instead is to
view a process as a sequence of events that interact with several objects. Several Enhancing Data-Awareness of Object-Centric Event Logs 19 object-centric event log representations have been proposed such as eXtensi-
ble Object-Centric (XOC) event logs [18], Object-Centric Behavioral Constraint
model (OCBC) [4], and most recently Object-Centric Event Logs (OCEL) [14]. The first two event log representations face scalability issues related to the stor-
age of an object model with each event or to the duplication of attributes [14]. However, there is a difficult trade-offto be made between expressiveness and sim-
plicity, leaving the recent OCEL proposal as the most suitable for object-centric
process mining as it strikes a good balance between storing objects, attributes
and their relationships and yet keeping everything simple. OCEL offers interesting new research opportunities not only for process min-
ing with, e.g., object-centric Petri nets [1] or object-centric predictive analysis
[11], but also for decision mining [16]. OCEL is already well on its way to become
an established standard with a visualization tool [12], log sampling and filtering
techniques [5], its own fitness and precision notions [2], its own clustering tech-
nique [13], an approach to define cases and variants in object-centric event logs
[3] and a method to extract OCEL logs from relational databases [23]. In this
paper, attributes are considered to be logged together with events and objects
in an event log and should relate clearly to their respective concepts, i.e., events,
objects or both. As such, OCEL could provide more analysis opportunities by
supporting attributes having several values simultaneously, allowing attributes
to change values over time and to unambiguously link attributes to objects, all of
which is currently not fully supported but common in object-centric models such
as structural conceptual models like the Unified Modeling Language (UML) [20]. For this purpose, this paper proposes an extension to OCEL called, Data-
aware OCEL or DOCEL, which allows for such dynamic object attributes. 2.1
Importance of Object Attributes in Single Case Notion Event
Logs 2.1
Importance of Object Attributes in Single Case Notion Event
Logs Various single case notion process mining algorithms make use of both event
and case attributes, e.g., in [7], a framework is proposed to correlate, predict and
cluster dynamic behavior using data-flow attributes. Both types of attributes are
used to discover decision points and decision rules within a process in [17]. For
predictive process monitoring, the authors of [9] develop a so-called clustering-
based predictive process monitoring technique using both event and case data. Case attributes are also used to provide explanations of why a certain case
prediction is made within the context of predictive process monitoring [10]. [
]
The same challenges apply to decision mining which aims to discover the
reasoning and structure of decisions that drive the process based on event logs
[22]. In [8], both event and case attributes are used to find attribute value shifts
to discover a decision structure conforming to a control flow and in [19], these are
used to discover overlapping decision rules in a business process. Lastly, within
an IoT context, it has been pointed out that contextualization is not always
understood in a similar fashion as process mining does [6]. As such object-centric
event logs offer an opportunity for these different views of contextualization to
be better captured. The previous paragraphs show (without aiming to provide an exhaustive
overview) that various contributions made use of attributes that could be stored
and used in a flexible manner. Unfortunately, as will be illustrated in the next
subsections, the aforementioned aspects related to attribute analysis are cur-
rently not fully supported in object-centric event logs. 1
Introduction The
findings are illustrated through a widely-used running example for object-centric
processes indicating how this standard can also support the further development
of object-centric decision/process mining and other domains such as Internet of
Things (IoT) related business processes. This paper also presents an algorithm
to convert XES logs to DOCEL logs. Since many event logs are available in a
“flat” XES format for every object involved in the process, not all information
can be found in one event log. As such, providing an algorithm that merges
these XES files into one DOCEL log would centralize all the information in one
event log without compromising on the data flow aspects that make XES such
an interesting event log format. The structure of this paper is as follows: Sect. 2 explains the problem together
with a running example applied on the standard OCEL form. Section 3 intro-
duces the proposed DOCEL format together with an algorithm to automatically
convert XES log files into this novel DOCEL format. Next, the limitations and
future work of this work are discussed in Sect. 4. Finally, Sect. 5 concludes this
paper. A. Goossens et al. 20 2
Motivation The IEEE Task Force conducted a survey during the 2.0 XES workshop1 con-
cluding that complex data structures, especially one-to-many or many-to-many
object relationships, form a challenge for practitioners when pre-processing event
logs. By including multiple objects with their own attributes, object-centric event
logs have the opportunity to address these challenges. This does entail that the
correct attributes must be unambiguously linked to the correct object and/or
activity to correctly discover the process of each object type as well as the rel-
evant decision points [1]. The next subsection discusses the importance object
attribute analysis had on single case notion event logs. 1 https://icpmconference.org/2021/events/category/xes-workshop/list/?tribe-bar-da
te=2021-11-02. 2 All figures are available in higher resolution using the following link. 1 https://icpmconference.org/2021/events/category/xes-workshop/list/?tribe-bar-da
te=2021-11-02.
2 All figures are available in higher resolution using the following link. Enhancing Data-Awareness of Object-Centric Event Logs Enhancing Data-Awareness of Object-Centric Event Logs 21 A customer places an order with the desired quantity for Product 1,2 or 3. Next, the order is received and the order is confirmed. This creates the value
attribute of order. Afterwards, the ordered products are collected from the ware-
house. If a product is a fragile product, it is first wrapped with cushioning material
before being added to the package. The process continues and then the shipping
method needs to be determined. This is dependent on the value of the order, on
whether there is a fragile product and on whether the customer has asked for a
refund. If no refund is asked, this finalizes the process. The refund can only be
asked once the customer has received the order and requests a refund. If that is
the case, the order needs to be reshipped back and this finalizes the process. Fig. 1. BPMN model of running example Fig. 1. BPMN model of running example 2.2
Running Example Consider the following adapted example inspired from [8] of a simple order-to-
delivery process with three object types: Order, Product, Customer. Figure 12
visualizes the process. 2 All figures are available in higher resolution using the following link. 2.3
OCEL Applied to the Running Example In this subsection, the standard OCEL representation visualizes a snippet of this
process. Table 1 is an informal OCEL representation of events and Table 2 is an
informal OCEL representation of objects. Figure 2 visualizes the meta-model
of the original OCEL standard. Several observations can be made about the
standard OCEL representation: A: Attributes that are stored in the events table can not unambigu-
ously be linked to an object. The OCEL standard makes the assumption A. Goossens et al. 22 Table 1. Informal representation of the events in an OCEL format Table 1. Informal representation of the events in an OCEL format ID Activity
Timestamp Customer Order Product Type
Q1
Q2
Q3
Refund
Order Value
Resource
Shipping Method
e1
Place Order
09:00
{c1}
{o1}
{p1,p2}
5
2
0
0
e2
Receive Order
10:00
{o1}
Jan
e3
Confirm Purchase
11:00
{o1}
95
Jan
e4
Collect product from warehouse
12:00
{o1}
{p2}
Johannes
e5
Collect product from warehouse
12:00
{o1}
{p1}
Johannes
e6
Put protection around the product 12:15
{o1}
{p1}
Johannes
e7
Add product to package
12:30
{o1}
{p1}
Johannes
e8
Add product to package
12:30
{o1}
{p2}
Johannes ID Activity
Timestamp Customer Order Product Type
Q1
Q2
Q3
Refund
Order Value
Resource
Shipping Method
e1
Place Order
09:00
{c1}
{o1}
{p1,p2}
5
2
0
0
e2
Receive Order
10:00
{o1}
Jan
e3
Confirm Purchase
11:00
{o1}
95
Jan
e4
Collect product from warehouse
12:00
{o1}
{p2}
Johannes
e5
Collect product from warehouse
12:00
{o1}
{p1}
Johannes
e6
Put protection around the product 12:15
{o1}
{p1}
Johannes
e7
Add product to package
12:30
{o1}
{p1}
Johannes
e8
Add product to package
12:30
{o1}
{p2}
Johannes ID Activity
Timestamp Customer Order Product Type
Q1
Q2
Q3
Refund
Order Value
Resource
Shipping Method
e1
Place Order
09:00
{c1}
{o1}
{p1,p2}
5
2
0
0
e2
Receive Order
10:00
{o1}
Jan
e3
Confirm Purchase
11:00
{o1}
95
Jan
e4
Collect product from warehouse
12:00
{o1}
{p2}
Johannes
e5
Collect product from warehouse
12:00
{o1}
{p1}
Johannes
e6
Put protection around the product 12:15
{o1}
{p1}
Johannes
e7
Add product to package
12:30
{o1}
{p1}
Johannes
e8
Add product to package
12:30
{o1}
{p2}
Johannes Table 2. 2.3
OCEL Applied to the Running Example Informal representation of the objects in an OCEL format ID Type
Name
Bank account
Value
Fragile
c1
Customer Elien
BE24 5248 54879 2659
o1
Order
p1
Product
15
1
p2
Product
10
0
p3
Product
20
1 that attributes that are stored in the events table can only be linked to an
event. This assumption was taken for its clear choice of simplicity and it holds
in this running example, which has straightforward attributes relationships and
no changing product values over time. Even though the given example is very
obvious regarding how the attributes relate to the objects given the attribute
names, this is not always the case. If the value of a product could change over
time, the product value attributes would have to be added to the events table
but then there would be 4 attributes storing values, i.e., order value, product 1
value, product 2 value and product 3 value. Knowing which attribute is linked
to which object would then require domain knowledge as it is not explicitly
made clear in the events table. As such, this can be an issue in the future for
generic OCEL process discovery or process conformance algorithms since prior
to running such an algorithm, the user would have to specify how attributes and
objects are related to one another. B: Based on the OCEL metamodel (Fig. 2), it is unclear whether
attributes can only be linked to an event or an object individually or
whether an attribute can be linked to both an event and an object
simultaneously. Since the OCEL standard did not intend for attribute val-
ues to be shared between events and objects by design to keep things compact
and clear and since the OCEL UML model (Fig. 2) can not enforce the latter,
Object-Constraint Language (OCL) constraints would have made things clearer. Therefore, it might be beneficial to support the possibility to track an attribute
change, e.g., the refund attribute of object Order can change from 0 to 1 and
back to 0 across the process. C: Attributes can only contain exactly one value at a time accord-
ing to the OCEL metamodel (see Fig. 2). This observation entails two
aspects. First, it is unclear, based on the metamodel of Fig. 2, whether an Enhancing Data-Awareness of Object-Centric Event Logs 23 attribute can contain a list of values. 2.3
OCEL Applied to the Running Example It is not difficult to imagine situations
with a list of values, e.g., customers with multiple bank accounts or emails,
products can have more than one color. Currently, OCEL supports multiple val-
ues by creating a separate column for each value in the object or event table. This means that each value is treated as a distinct attribute , e.g., in the run-
ning example, a customer orders a quantity of product 1, 2 and 3. This can be
considered as 1 attribute with 3 values. However, in Table 1, the columns Q1, Q2
and Q3 are considered to be separate attributes even though they could be con-
sidered as being from the same overarching attribute Quantity. Secondly, even if
an attribute only has 1 value at a time, its value could change over time as well. Such an attribute can be considered to have multiple values at different points in
time. If a value were to change, currently, one would have to create a new object
for each attribute change. Unfortunately, this only works to some degree since
there are no object-to-object references (only through events) in the standard
OCEL format. Another possibility would require to unambiguously track the
value of an attribute of an object to a certain event that created it. This is also
valid within an IoT context with sensors having multiple measurements of the
same attributes over time. As such, the first three observations clearly go hand
in hand. D: Both the event and object tables seem to contain a lot of
columns that are not always required for each event or object. When
looking at the events table, attribute Order Value is only filled once with event
‘confirm purchase’ when it is set for order 1. One could either duplicate this
value for all the next events dealing with order 1 or one could simply keep it
empty. Therefore, in a big event log with multiple traces one could expect a lot
of zero padding or duplication of values across events. Even though this issue is
not necessarily present in a storage format, it still shows that ambiguity about
attribute relationships might lead to wrongly stored attributes without domain
knowledge. Fig. 2. OCEL UML model from [14]
Fig. 3. DOCEL UML model Fig. 3. DOCEL UML model Fig. 2. OCEL UML model from [14] Fig. 3. DOCEL UML model Fig. 2. 3.1
DOCEL UML Metamodel To formally introduce the DOCEL standard, a UML class diagram is mod-
eled (Figure 3). UML diagrams clearly formalize how all concepts relate to one
another in OCEL or DOCEL. Based on the observations from Sect. 2.3, the key
differences with the UML class diagram of OCEL (Fig. 2) are indicated in color
in Fig. 3 to enrich OCEL even further: 1: Attribute values can be changed and these changes can be
tracked. By allowing ambiguities, domain knowledge becomes indispens-
able to make sensible and logical conclusions. In the DOCEL UML model,
attributes are considered to be an assignment of a value to an attribute
name in a particular context event and/or object. A distinction is made
between static and dynamic attributes. Static event attributes and static
object attributes are assumed to be linked to an event or an object respec-
tively and only contain fixed value(s). Static attributes are stored in a similar
fashion as with the standard OCEL format, namely in the event or the object
table, except that now each object type has an individual table to avoid hav-
ing null values for irrelevant columns. On the other hand, dynamic attributes
are assumed to have changing values over time. Dynamic attributes are linked
to both an object and an event so that a value change of an attribute can
easily be tracked. Another design choice would be to store a timestamp with
the attribute value instead of linking it to the event, however, this might lead
to ambiguity in case two events happened at the exact same moment. As
such, this proposal tackles observation A. 2: Event attributes can unambiguously be linked to an object. This
issue goes hand in hand with the previous proposal and is solved at the same
time. By distinguishing between dynamic and static attributes all relations
between attributes, events and objects are made clear and ambiguities have
been reduced. A static attribute is either linked to an object or an event and
its value(s) can not change over time. A dynamic attribute is clearly linked
to the relevant object and to the event that updated its value. The DOCEL
UML model (Fig. 3) can enforce that a static attribute must be linked with
at least 1 event or at least 1 object since a distinction is made between static
event attributes and static object attributes. A. Goossens et al. A. Goossens et al. 24 3
Data-Aware OCEL (DOCEL) Subsection 3.1 introduces the DOCEL UML metamodel. Next, Subsect. 3.2
applies DOCEL to the running example. Finally, Subsect. 3.3 introduces an
algorithm to convert a set of XES files into this DOCEL format. Subsection 3.1 introduces the DOCEL UML metamodel. Next, Subsect. 3.2
applies DOCEL to the running example. Finally, Subsect. 3.3 introduces an
algorithm to convert a set of XES files into this DOCEL format. 2.3
OCEL Applied to the Running Example OCEL UML model from [14] 3.1
DOCEL UML Metamodel For dynamic attributes, this
issue does not apply since it needs to both connected to both an object and
an event anyhow. This proposal solves both observations A & B. 3: Attributes can contain a list of values. Even though not all attributes
have a list of values, supporting this certainly reflects the reality that multiple
values do occur in organizations. In the DOCEL UML model (Fig. 3) the 1 Enhancing Data-Awareness of Object-Centric Event Logs 25 cardinality for Attribute Value allows both dynamic and static attributes to
have complex values, e.g., lists, sets and records containing multiple values. In practice, these values are stored in the relevant attribute tables with a list
of values. This proposal solves observation C. 3.2
DOCEL Applied to the Running Example Table 3 is the events table containing all the events together with their static
event attributes (in green) in this case Resource. Complying with the DOCEL
UML model, only static event attributes are found in this table which are solely
linked to events. The main changes from the OCEL to the DOCEL tables have
been highlighted using the same color scheme as in the DOCEL UML model to
show where the columns have been moved to in the DOCEL tables. ble 3. Informal representation of events with static attributes in a DOCEL format Table 3. Informal representation of events with static attributes in a DOCEL format EID Activity
Timestamp
Customer Order Product Type
Resource
e1
Place Order
1/01/22 09:00 {c1}
{o1}
{p1,p2}
e2
Receive Order
1/01/22 10:00 {c1}
{o1}
{p1,p2}
Jan
e3
Confirm Purchase
1/01/22 11:00
{o1}
{p1,p2}
Jan
e4
Collect product from warehouse
1/01/22 12:00
{o1}
{p2}
Johannes
e5
Collect product from warehouse
1/01/22 12:00
{o1}
{p1}
Johannes
e6
Put protection around the product 1/01/22 12:15
{o1}
{p1}
Johannes
e7
Add product to package
1/01/22 12:30
{o1}
{p1}
Johannes
e8
Add product to package
1/01/22 12:30
{o1}
{p2}
Johannes Tables 4, 5 and 6 represent object type tables where the objects are stored. Each object is given an object ID. In this data-aware format, aligned with
the UML model, a distinction is made between static attributes and dynamic
attributes. Static attributes are assumed to be immutable and, therefore, the
static object attributes (in blue) are stored together with the objects them-
selves, e.g., customer name, product value, fragile and bank account. Notice
how here, once again, the attributes can be clearly linked to an object. Table 5
only contains primary keys because its attributes are dynamic attributes in this
example. Table 4. Product Type table
Products
PID
Value Fragile
p1
15
1
Table 5. Order table
Orders
OrderID
o1 Table 4. Product Type table
Products
PID
Value Fragile
p1
15
1
Table 5. Order table
Orders
OrderID
o1 Table 4. Product Type table Table 4. Product Type table Products
PID
Value Fragile
p1
15
1 26 A. Goossens et al. Table 6. Customer table Customer
CID
Name Bank account
c1
Elien
BE24 5248 5487 2659 The red Tables 7, 8, 9 and 10 are dynamic attribute tables. Dynamic
attributes are assumed to be mutable and its values can change over time. 3.2
DOCEL Applied to the Running Example Using
two foreign keys (event ID and object ID), the attribute and its value can be
traced back to the relevant object as well as the event that created it. Each
attribute value is given an attribute value ID with the value(s) being stated in
the following column. This complies with the proposed UML model in Fig. 3
where dynamic attributes are clearly linked to the relevant event and relevant
object. Table 7. Quantity table
Quantity
QID
Quantity EID OID
q1
{5,2,0}
e1
o1
Table 8. Order Value table
Order Value
VID
Value EID OID
v1
95
e3
o1
Table 9. Refund table
Refund
RID
Refund Value EID OID
r1
0
e1
o1
r2
1
e15
o1
r3
0
e24
o1
Table 10. Shipping method table
Shipping method
SID
Method
EID OID
s1
courrier
e11
o1
s2
express courrier e18
o1 Table 7. Quantity table
Quantity
QID
Quantity EID OID
q1
{5,2,0}
e1
o1
Table 8. Order Value table
Order Value
VID
Value EID OID
v1
95
e3
o1
Table 9. Refund table
Refund
RID
Refund Value EID OID
r1
0
e1
o1
r2
1
e15
o1
r3
0
e24
o1
Table 10. Shipping method table
Shipping method
SID
Method
EID OID
s1
courrier
e11
o1
s2
express courrier e18
o1 Table 8. Order Value table
Order Value
VID
Value EID OID
v1
95
e3
o1
Table 10. Shipping method table
Shipping method
SID
Method
EID OID
s1
courrier
e11
o1
s2
express courrier e18
o1 Table 8. Order Value table Table 9. Refund table Table 9. Refund table
Refund
RID
Refund Value EID OID
r1
0
e1
o1
r2
1
e15
o1
r3
0
e24
o1 From the DOCEL log, the following things are observed: Attributes can unambiguously be linked to an object, to an event
or to both an event and an object with the use of foreign keys. Attributes can have different values over time, with value changes
directly tracked in the dynamic attributes tables. This means one knows when
the attribute was created and for how long it was valid, e.g., refund was initialized
to 0 by event 1, then event 15 set it to 1 and finally event 24 sets it back to 0. Static and dynamic attributes can contain a list of values in the
relevant attributes table, e.g., attribute Quantity. The amount of information stored has only increased with foreign
keys. 3.3
Automatically Converting XES Logs to DOCEL Logs Currently, research is focused on automatically converting XES logs to OCEL
logs with a first proposal introduced in [21]. Automatically transforming XES
logs or an OCEL log to the proposed DOCEL log would mainly require domain
knowledge to correctly link all attributes to the right object, but this is also
required for a normal process analysis of an OCEL log. Our algorithm can be
found in Algorithm 1. This algorithm takes as input a set of XES files describing
the same process and assumes that each XES file describes the process from the
point of view of one object type. The main ideas of the algorithm are as follows: – Line 3 starts the algorithm by looping over all XES-logs. – Line 3 starts the algorithm by looping over all XES-logs. – Lines 4–8 create the object type tables with all their objects and static object
attributes. In line 7, it is assumed that the trace attributes are not changing
and solely linked to one object. Since the assumption is made that an XES
file only contains one object type, these trace attributes can be considered as
static object attributes belonging to that object. – Lines 10–12 require the user to identify the static event attributes and the
other event attributes that can be linked to an object. Next, a new EventID
is made to know from which log an event comes from. – Lines 10–12 require the user to identify the static event attributes and the
other event attributes that can be linked to an object. Next, a new EventID
is made to know from which log an event comes from. g
– In line 15, the dynamic attributes tables are constructed under the assumption
that attributes that have not yet been identified as static object attributes or
static event attributes are dynamic attributes. – In line 15, the dynamic attributes tables are constructed under the assumption
that attributes that have not yet been identified as static object attributes or
static event attributes are dynamic attributes. – Lines 17–18 create the new chronologically ordered events Table E. – Line 20 matches the events with the relevant objects based on the dynamic
attributes tables using the new EventID. It should definitely also include the
object related to the original traceID related to that event. 3.2
DOCEL Applied to the Running Example Previously, the dynamic attributes would have been stored anyhow in the
events table with the unfortunate side-effect of not being explicitly linked to
the relevant object and with more columns in the events table. This essentially Enhancing Data-Awareness of Object-Centric Event Logs 27 is a normalization of an OCEL data format. Even though it starts resembling
a relational database structure, it was decided for this DOCEL format to not
include relations between objects. Deciding on whether to include object models
within event logs is essentially a difficult trade-offbetween complexity/scalability
and available information within the event log. From this perspective, the design
choice of XOC and OCBC was mostly focused on reducing complexity [14], where
we aim for an event log format that offers more information in exchange of a
slightly increased complexity. As such, the DOCEL standard has decreased the
amount of columns per table and thus observation D is solved as well. 3.3
Automatically Converting XES Logs to DOCEL Logs 14:
Merge all el tables chronologically in E. 15:
for e ∈E do
16:
Find and insert all objects related to e in the relevant object type column
17:
Create unique DOCELeventID
18:
Update all foreign keys of linked dynamic attributes with new DOCELeventID Algorithm 1. Algorithm to go from XES logs to DOCEL logs ▷List of XES logs (l)
▷List of present object types ▷Find all objects of an object type
▷Trace attributes = static object attributes 4
Limitations and Future Work To better store information about attributes, DOCEL comes with a variable
number of tables. However, the tables should be smaller as there are fewer
columns compared to the standard OCEL format. It is still possible to only
use certain attributes or attribute values for analysis by extracting the relevant
attributes/values. Instead of selecting a subset of columns with OCEL, the user
selects a subset of tables in DOCEL which offer more information. Next, neither
OCEL or DOCEL include the specific roles of objects of the same object type
in an event, in case of a Send Message event from person 1 to person 2, making
it currently impossible to distinguish between the sender and the receiver. To further validate the DOCEL format, the authors are planning to develop
a first artificial event log together with a complete formalization of the DOCEL
UML with OCL constraints. Furthermore, directly extracting DOCEL logs from
SAP is also planned. Regarding the algorithm to automatically convert XES logs
to DOCEL logs, the authors are planning to extend the algorithm with a solu-
tion to automatically discover which attributes are linked to objects or events. Secondly, an extension to create a DOCEL log based on a single XES file with
multiple objects is also planned. DOCEL however offers many other research
opportunities such as novel algorithms for object-centric process discovery, con-
formance checking or enhancements which would further validate or improve the
DOCEL format. Also other domains such as IoT-related process mining can be
interesting fields to apply DOCEL on. 3.3
Automatically Converting XES Logs to DOCEL Logs – Line 20 matches the events with the relevant objects based on the dynamic
attributes tables using the new EventID. It should definitely also include the
object related to the original traceID related to that event. – Finally, lines 21–22 will create the final DOCEL eventIDs and update the
eventID across all dynamic attribute tables. – Finally, lines 21–22 will create the final DOCEL eventIDs and update the
eventID across all dynamic attribute tables. A. Goossens et al. 28 Algorithm 1. Algorithm to go from XES logs to DOCEL logs
1:
L ←l
▷List of XES logs (l)
2:
OT ←ot
▷List of present object types
3:
for l ∈L do
4:
for ot ∈(OT ∈l) do
5:
Create empty object type table
6:
for o ∈ot do
▷Find all objects of an object type
7:
Create row with objectID and trace attributes
▷Trace attributes = static object attributes
8:
for e ∈L do
9:
Match event attributes to the event or to an object
10:
Create newEventID with log identifier
▷To distinguish similar events of different logs
11:
Create event table el with static event attributes. 12:
Create dynamic attributes table with valueID, value(s) and two foreign keys {newEventID, objectID}
13:
Create empty event table E with a column for every object type. 14:
Merge all el tables chronologically in E. 15:
for e ∈E do
16:
Find and insert all objects related to e in the relevant object type column
17:
Create unique DOCELeventID
18:
Update all foreign keys of linked dynamic attributes with new DOCELeventID Algorithm 1. Algorithm to go from XES logs to DOCEL logs
1:
L ←l
▷List of XES logs (l)
2:
OT ←ot
▷List of present object types
3:
for l ∈L do
4:
for ot ∈(OT ∈l) do
5:
Create empty object type table
6:
for o ∈ot do
▷Find all objects of an object type
7:
Create row with objectID and trace attributes
▷Trace attributes = static object attributes
8:
for e ∈L do
9:
Match event attributes to the event or to an object
10:
Create newEventID with log identifier
▷To distinguish similar events of different logs
11:
Create event table el with static event attributes. 12:
Create dynamic attributes table with valueID, value(s) and two foreign keys {newEventID, objectID}
13:
Create empty event table E with a column for every object type. 5
Conclusion This paper illustrates that the OCEL standard has certain limitations regarding
attribute analysis, such as unambiguously linking attributes to both an event and
an object or not being able to track attribute value changes. To deal with these
challenges, an enhanced Data-aware OCEL (DOCEL) is proposed together with
an algorithm to adapt XES logs into the DOCEL log format. With DOCEL, the
authors hope that new contributions will also take into account this data-flow Enhancing Data-Awareness of Object-Centric Event Logs 29 perspective not only for object-centric process and decision mining algorithms
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of object-centric event logs through virtual knowledge graphs (2022). http://www. inf.unibz.it/∼calvanese/papers/xiong-etal-DL-2022.pdf Open Access This chapter is licensed under the terms of the Creative Commons
Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/),
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English
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Rural-urban differences in workplace health promotion among employees of small and medium-sized enterprises in Germany
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BMC health services research
| 2,022
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cc-by
| 8,222
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© The Author(s) 2022. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which
permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the
original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or
other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line
to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory
regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this
licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativeco
mmons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. Lindert et al. BMC Health Services Research (2022) 22:681
https://doi.org/10.1186/s12913-022-08052-9 Lindert et al. BMC Health Services Research (2022) 22:681
https://doi.org/10.1186/s12913-022-08052-9 Open Access Abstract Background: Rural and urban areas hold different health challenges and resources for resident small and medium-
sized enterprises (SMEs) and their employees. Additionally, residents of urban and rural areas differ in individual char‑
acteristics. This study aims at investigating potential rural-urban differences (1) in the participation rate in workplace
health promotion (WHP) and (2) in the relationship of WHP and health relevant outcomes in residents living in rural or
urban German areas and working in SMEs. Methods: Data of a large German Employee Survey in 2018 were used and analyzed by chi-square and t-tests
and regression analyses regarding job satisfaction, sick days, and psychosomatic complaints. A total of 10,763 SME
employees was included in analyses (23.9% living in rural, 76.1% living in urban areas). Results: Analyses revealed higher participation rates for SME employees living in rural areas. SME employees living
in urban areas reported more often the existence of WHP. Results showed (a) significance of existence of WHP for
psychosomatic complaints and (b) significance of participation in WHP for job satisfaction in SME employees living in
urban but not for those living in rural areas. Conclusion: The revealed disparities of (1) higher participation rates in SME employees living in rural areas and in (2)
the relationship of WHP aspects with health relevant outcomes are of special interest for practitioners (, e.g. human
resource managers), politicians, and researchers by providing new indications for planning and evaluating WHP
measures. Keywords: Occupational health, Psychosomatic complaints, Job satisfaction, Sick leave days, Employee health to identify relevant WHP topics in enterprises. Unfor-
tunately, most smaller enterprises have limited access to
such data (, e.g. from health insurances, human resource
departments or occupational physicians) [1]. Rural‑urban differences in workplace
health promotion among employees of small
and medium‑sized enterprises in Germany Lara Lindert1* , Lukas Kühn1 and Kyung‑Eun Choi1,2 Introduction Workplace health promotion (WHP) is a proven means
in the health maintenance of employees. However,
depending on the offer and personal characteristics, the
participation rates vary enormously. To increase par-
ticipation rates, WHP should be targeted to the needs
of employees. Health and sickness absence data can help Demographic characteristics of target groups, work-
place and work settings and extraneous context might
be associated with WHP feasibility and sustainability [2]. Participation in WHP is influenced by social and envi-
ronmental support, believe in effectiveness, time- and
health-related barriers (, e.g. time of event during work
or leisure time), fatiguing work and jobs with high physi-
cal or emotional demands with low job control [3–5]. *Correspondence: lara.lindert@mhb-fontane.de 1 Center for Health Services Research, Brandenburg Medical School Theodor
Fontane, Fehrbelliner Str. 38, 16816 Neuruppin, Germany
Full list of author information is available at the end of the article 1 Center for Health Services Research, Brandenburg Medical School Theodor
Fontane, Fehrbelliner Str. 38, 16816 Neuruppin, Germany
Full list of author information is available at the end of the article © The Author(s) 2022. Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which
permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the
original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or
other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line
to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory
regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this
licence, visit http://creativecommons.org/licenses/by/4.0/. The Creative Commons Public Domain Dedication waiver (http://creativeco
mmons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated in a credit line to the data. Page 2 of 10 Lindert et al. BMC Health Services Research (2022) 22:681 Research on rural and urban aspects on WHP in small
and medium-sized enterprises (SME) so far focuses
on location of enterprises. In this study, we use a new
approach and examine urban-rural differences in WHP
based on employees residence for two reasons: colleagues. Social pressure might also “force” employ-
ees to participate in WHP measures. Moreover, WHP
measures in large companies are probably more often
offered only for selected departments and not open to
all employees [12, 17]. Especially SMEs are affected by
demographic change, as they often do not have resources
to develop demographic management strategies and are
rather located in rural areas [18].f 1. Rural and urban areas hold different challenges for
both enterprises and residents. Rural and urban areas hold different health chal-
lenges and resources for their residents: Urban areas
can threaten residents’ health due to urban narrow-
ness, lack of green spaces, high traffic volume with high
noise levels, high air pollution, anonymity, and stress. On
the other hand, they usually have a good local supply, a
high density of public transport, good access to educa-
tion, a rather health-promoting mobility, and a high
density of health care facilities [19]. Companies in rural
areas in particular are confronted with an aging work-
force, as younger generations are increasingly drawn to
urban areas [20, 21]. For rural areas, a systematic review
revealed provider shortage, maldistribution, quality defi-
ciencies, access limitations, and inefficient utilization
as main aspects of health care shortage in developed
countries. Accordingly, inefficient utilization is related
to socio-cultural reasons: e.g. characteristics of rural
residents like self-resilience, stoicism and proud [9, 22],
and stigmatization of mental disorders [10] may hinder
individuals in utilization of health care services in rural
regions [23]. Furthermore, Young et al. [24] found that
workers with bone fractures in rural areas are less likely
to use care services and have shorter absences at work
than workers in urban areas, which might be due to the
accessibility of care services, but also due to psychosocial
factors such as coping strategies and health attitudes: in
this regard, the authors cited studies demonstrating that
residents of rural areas have more active coping strate-
gies, higher self-efficacy expectations, and accept adver-
sity as part of rural life [25, 26]. 2. All enterprises have access to information on
employees’ place of residence. Study results may especially help practitioners (, e.g. human resource managers,) in SME to identify pre-
liminary indications for suitable WHP measures. WHP
should be tailored to employees’ needs. An essential
criterion for the suitability of WHP can be the place
of employees’ residence. For example, employees liv-
ing in the city with good access to training centers
might rather make use of financial support for training
courses, whereas employees living in rural areas, with
no good access to training centers, might rather benefit
from training possibilities at company sites. As WHP is
of interest for SME worldwide [6–8] and as characteris-
tics of urban and rural areas differ not only in Germany
but worldwide [3, 9, 10], this study is of global interest. It approaches WHP aspects from a new perspective
and provides orientation not only for practitioners, (e.g. human resource managers), but also for researchers in
the field of work and health. Background Demographic change and the shortage of skilled workers
pose challenges for employers. It is becoming increas-
ingly important for companies to keep employees healthy
and on the job for as long as possible. Early detection of
first symptoms as well as general prevention measures
are enormously important to prevent chronic diseases. While the success of specific WHP measures is always
context dependent, it is certain that WHP in general has
positive effects. Studies revealed increased job satisfac-
tion in connection with (offers of) WHP [6, 7, 11, 12]
and positive effects of WHP measures on psychosomatic
complaints [13]. Several studies revealed positive effects
of WHP on sick leave and sickness costs [8, 11, 14, 15]. Hypotheses
d
h Regarding the current state of research, our final research
questions are: (1) Are there differences in the use of WHP
measures between employees of SME (SME-E) living in
urban (SME-Eu) and those living in rural (SME-Er) areas? (2) Are there differences in the relationship of existence of
WHP with job satisfaction, psychosomatic complaints and
sick days between SME-Eu and SME-Er? (3) Are there dif-
ferences in the relationship of participation in WHP with
job satisfaction, psychosomatic complaints and sick days
between SME-Eu and SME-Er?fi However, despite numerous studies on the positive
effects of WHP, there is still a need to catch up: in par-
ticular, SMEs lag behind in the implementation of WHP
[12, 16, 17]. To date, WHP has been predominantly found
in large companies, although an upward trend can be
seen in both areas. Interestingly, WHP offers are mainly
used by employees in smaller companies: The direct
employee approach is possibly easier in SMEs, and the
small company size might facilitate motivation through Considering inefficient utilization of health care, char-
acteristics of rural residents, and stigmatization aspects,
it is assumed that. Lindert et al. BMC Health Services Research (2022) 22:681 Page 3 of 10 (h1) The use of WHP measures is more likely in SME-Eu. According to regional differences in health-related
environmental aspects and in residents’ characteristics,
we hypothesize that.h in large companies (> 250 employees, incl. trainees) were
excluded from this study (see Fig. 1). Measures (h2) The relationship between existence of WHP with
job satisfaction, psychosomatic complaints and sick days
differs between SME-Eu and SME-Er. To distinguish SME-E in rural and urban areas, we cre-
ated a dichotomous variable according to information on
BIK 10. BIK 10 consists of 10 items and is labeled as fol-
lows: 1 = less than 2000 residents, 2 = 2000 to less than
5000 residents, 3 = 5000 to less than 20.000 residents,
4 = 20.000 to less than 50.000 residents, 5 = 50.000 to less
than 100.000 residents (peripheral areas), 6 = 50.000 to
less than 10.000 residents (core areas), 7 = 100.000 to less
than 500.000 residents (peripheral areas), 8 = 100.000 to
less than 500.000 residents (core areas), 9 = 500.000 and
more residents (peripheral areas), 10 = 500.000 and more
residents (core areas). Items 1 to 4 were considered as
rural areas, items 5 to 10 as urban areas [28]. To meas-
ure WHP, participants were asked if WHP measures were
carried out in their company within the last two years, f
(h3) The relationship between participation in WHP
with job satisfaction, psychosomatic complaints and sick
days differs between SME-Eu and SME-Er. f
(h3) The relationship between participation in WHP
with job satisfaction, psychosomatic complaints and sick
days differs between SME-Eu and SME-Er. Methods We used data of a cross-sectional employee survey that
was conducted on behalf of the Federal Institute for
Vocational Education and Training (BIBB) and the Fed-
eral Institute for Occupational Safety and Health (BAuA)
from October 2017 to April 2018 via Computer Assisted
Telephone Interviews (CATI) in Germany (BIBB/
BAuA Employment Survey of the Working Population
on Qualification and Working Conditions in Germany
2018, doi:https://doi.org/10.7803/501.18.1.1.10). The data
access was provided via a Scientific-Use-File [Remote
Data Access; On-site Use in Bonn] of the Data Research
Centre at the Federal Institute for Vocational Train-
ing and Education (BIBB-FDZ). The survey was aligned
for German speaking paid employees, who were at least
15 years old and worked at least 10 hours per week. It
covered topics on work requirements and activities,
working conditions, health burdens and complaints, and
qualifications. To recruit participants, a sampling frame
was initially established by the BIK Institute using a ran-
dom digit dialing procedure. As some individuals are
reachable only via mobile phone, the recruitment pro-
cess followed a dual-frame approach to capture mobile-
only data to a sufficient extent. The gross samples were
allocated separately, drawn separately, but processed
together in the fieldwork. The dual-frame approach leads
to bias-free samples without lump effects, that meet the
requirements for random samples based on probability
theory (probability sampling). Interviewers were trained
beforehand. A total of 20,012 interviews have been con-
ducted during survey period [27]. Fig. 1 Flow chart of study sampling Study population
I
hi
d In this study, we focused on data of participants with
complete information on the following variables: SME,
existence of WHP, job satisfaction, sick days, psychoso-
matic complaints, age, gender, educational status, career
desire, private care tasks, emotional work, work inten-
sity, leadership tasks, work life balance, and work dura-
tion. Companies with less than 250 employees (incl. trainees) where considered as SMEs. Data of employees Fig. Lindert et al. BMC Health Services Research (2022) 22:681 Page 4 of 10 2. provides information on participants residences
according to BIK10, 2. provides information on participants residences
according to BIK10, and, if so, if they participated in the measure(s). Job satis-
faction was measured using one item “And now all things
considered: How satisfied are you with your work overall?”
with answers from 1 “not satisfied” to 4 “very satisfied”. Sick days were recorded for the last 12 months (self-
reported by participants). Psychosomatic complaints
were measured asking for frequently occurring general
fatigue, dullness or exhaustion, headaches, stomach or
digestive problems, nervousness or irritability, nocturnal
sleep disorders, despondency, physical exhaustion and
emotional exhaustion within the last twelve months dur-
ing work or on working days. Possible answers were yes/
no. The possible range reached from 0 (no complaints) to
8 (complaints in all areas). For more details see also [29]. 3. provides information on existence of and participa-
tion in WHP, and delivers information on possibly
confounding variables as 4. work relevant aspects as well as 5. individual aspects (, e.g. demographic data, private
care tasks). Results A total of 10,763 employees in SMEs with 2574 (23.9%)
employees living in rural and 8189 (76.1%) living in
urban areas remained. Mean age in rural areas was 47.7
(SD = 11.03) years, in urban areas 46.9 (SD = 11.44)
years. In rural areas there were 1190 (46.2%) male and
1384 female (53.8%), in urban areas 3747 (45.8%) male
and 4442 (54.2%) female employees. As participation in
WHP could only be answered when existence of WHP
was given, a total of 4030 participants remained for mod-
els including participation in WHP (see Table 1). 1. includes SME-E all over Germany, Statistical analyses As the main aim of this study is to examine differences in
SME-Er and SME-Eu, data analyses followed a descriptive
comparative approach. To answer (h1) we conducted a chi-square test for par-
ticipation in WHP of SME-Er and SME-Eu. To answer (h2) and (h3) we conducted block-wise
multiple linear regression analyses for psychosomatic
complaints and job satisfaction (dependent continu-
ous variables) for SME-Er and SME-Eu each. For sick
days (count variable) we conducted poisson regressions
for SME-Er and SME-Eu each. As independent variables
we focused on existence of WHP (binary variable) and
participation in WHP (binary variable). We considered
p < .05 as level of significance for p-values in our analyses. Job satisfaction is higher in SME-Er (p < 0.05). In this
sample there are no significant differences in gender, pri-
vate care tasks, leadership function, psychosomatic com-
plaints, sick days, work intensity, emotional work, work
life balance, and work duration of SME-Er and SME-Eu. SME-Er are higher in age (p < 0.01) and have lower career
desire (p < 0.05) and education status (p < 0.001). SME-Eu
reported more often to get WHP offers (p < 0.05). 35.7%
of rural and 38.1% of urban residents reported existence
of WHP within the last two years, of which 70.6% of rural
and 65.1% of urban residents reported participation in
WHP (see Table 1).h i
It is already well examined that working conditions
and work organization can affect the health of employ-
ees [30–39]. Therefore, we integrated working conditions
and factors of work organization (work intensity, emo-
tional work, leadership tasks, work life balance, and work
duration) as confounding variables in our regression
models additionally to age, gender, education status, indi-
viduals’ career desire, and private care tasks. The results
of block-wise analyses for psychosomatic complaints and
job satisfaction can be found in supplementary files A
and B. To test for multicollinearity, we examined correla-
tions between variables. No value was found to be > .7
(see supplementary file C). According to the central limit
theorem, the sampling distribution will be approximately
normally distributed in large study samples [40–42]. (h1): The use of WHP measures is more likely in
SME-Eu. A chi-square test revealed that participation in
WHP is more common in SME-Er (p < 0.01) (see Table 1).h (h1): The use of WHP measures is more likely in
SME-Eu. Statistical analyses A chi-square test revealed that participation in
WHP is more common in SME-Er (p < 0.01) (see Table 1).h (h2): The relationship between existence of WHP and
job satisfaction, psychosomatic complaints, and sick
days differs between SME-Eu and SME-Er. In multiple
linear regression analyses for job satisfaction and psycho-
somatic complaints the existence of WHP in SMEs was
significant for job satisfaction in SME-Er (beta = 0.142,
p < 0.001) and SME-Eu (beta = 0.132, p < 0.001) and for
psychosomatic complaints in SME-Eu (beta = − 0.238,
p < 0.001). No significance for existing WHP offers was
found regarding psychosomatic complaints in SME-
Er (see Table 2). Existence of WHP for sick days was
revealed in SME-Eu (95% CI, .887 to .912) but not in
SME-Er (95% CI, .987 to 1.036) (see Table 3).h Furthermore, we conducted chi-square and t-tests to
reveal potential differences in existence of WHP, job sat-
isfaction, psychosomatic complaints, sick days, and con-
founding variables between SME-Eu and SME-Er. (h3): The relationship between participation in WHP
and job satisfaction, psychosomatic complaints, and
sick days differs between SME-Eu and SME-Er. Results
of multiple linear regression analyses in only SME-E who (h3): The relationship between participation in WHP
and job satisfaction, psychosomatic complaints, and
sick days differs between SME-Eu and SME-Er. Results
of multiple linear regression analyses in only SME-E who For this study, we decided to use the BIBB/BAuA
Employment Survey 2018, since it Lindert et al. SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium sized enterprises living in urban areas, WHP
workplace health promotion, SE standard error; p-values < 0.05 are shown in bold Statistical analyses BMC Health Services Research (2022) 22:681 Page 5 of 10 Table 1 Chi-square and t-tests regarding rural and urban residents
N number of individuals in study population, SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium
sized enterprises living in urban areas, WHP workplace health promotion, M mean, SD standard deviation; p-values < 0.05 are shown in bold
N SME-Er (percentage)
N SME-Eu (percentage)
chi-square test p-value
existence of WHP
yes / no
919 (35.7) / 1655 (64.3)
3122 (38.1) / 5067 (61.9)
0.027
participation in WHP
yes / no
648 (70.6) / 270 (29.4)
2025 (65.1) / 1087 (34.9)
0.002
gender
male / female 1190 (46.2) / 1384 (53.8)
3747 (45.8) / 4442 (54.2)
0.673
care
yes / no
231 (9.0) / 2343 (91.0)
637 (7.8) / 7552 (92.2)
0.052
leadership
yes / no
924 (35.9) / 1650 (64.1)
2811 (34.3) / 5378 (65.7)
0.144
N
M
SD
Median (min / max)
95% confidence intervall
t-test p-value
lower value
upper value
job satisfaction
rural
2574 3.26
0.62
3.00 (1.00 / 4.00)
0.00194
0.05803
0.036
urban
8189 3.23
0.64
3.00 (1.00 / 4.00)
sick days
rural
2574 11.58 28.31 3.00 (0.00 / 365.00)
−0.12875
2.34173
0.079
urban
8189 10.48 26.49 3.00 (0.00 / 365.00)
psychosomatic com‑
plaints
rural
2574 2.40
2.37
2.00 (0.00 / 8.00)
−0.06421
0.14495
0.449
urban
8189 2.36
2.36
2.00 (0.00 / 8.00)
age
rural
2574 47.66 11.03 50.00 (16.00 / 78.00)
0.28529
1.27141
0.002
urban
8189 46.88 11.44 49.00 (15.00 / 81.00)
career desire
rural
2574 2.41
1.22
2.00 (1.00 / 5.00)
−0.11480
−0.00555
0.031
urban
8189 2.47
1.26
2.00 (1.00 / 5.00)
education
rural
2574 2.59
0.94
2.00 (1.00 / 4.00)
−0.25361
−0.16859
0.000
urban
8189 2.80
1.03
2.00 (1.00 / 4.00)
work intensity
rural
2574 3.09
0.62
3.20 (1.00 / 4.00)
−0.03335
0.02042
0.637
urban
8189 3.09
0.60
3.20 (1.00 / 4.00)
emotional work
rural
2574 2.40
0.99
3.00 (1.00 / 4.00)
−0.03433
0.05350
0.669
urban
8189 2.39
0.99
2.00 (1.00 / 4.00)
work life balance
rural
2574 3.49
0.73
4.00 (2.00 / 4.00)
−0.06220
0.00092
0.060
urban
8189 3.52
0.71
4.00 (2.00 / 4.00)
work duration
rural
2574 37.77 12.24 40.00 (10.00 / 120.00) −0.43800
0.63800
0.715
urban
8189 37.67 11.80 40.00 (10.00 / 120.00) Table 1 Chi-square and t-tests regarding rural and urban residents N number of individuals in study population, SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium
sized enterprises living in urban areas, WHP workplace health promotion, M mean, SD standard deviation; p-values < 0.05 are shown in bold Table 2 Multiple linear regression analyses, existence of WHP (N SME-Er = 2574; N SME-Eu = 8189) Table 2 Multiple linear regression analyses, existence of WHP (N SME-Er = 2574; N SME-Eu = 8189)
SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium sized enterprises living in urban areas, WHP
workplace health promotion, SE standard error; p-values < 0.05 are shown in bold
determinant
factors
job satisfaction
psychosomatic complaints
beta (SE)
R2 (adjusted R2)
beta (SE)
R2 (adjusted R2)
SME-Er
SME-Eu
SME-Er
SME-Eu
SME-Er
SME-Eu
SME-Er
SME-Eu
existence of WHP
0.142 (0.024)
0.132 (0.014)
0.109 (0.105) 0.113 (0.111) − 0.122 (0.084)
− 0.238 (0.046)
0.269 (0.266) 0.264 (0.263)
emotional work
−0.092 (0.013) − 0.087 (0.007)
0.842 (0.045)
0.755 (0.025)
work intensity
−0.098 (0.021) − 0.128 (0.013)
0.855 (0.074)
0.828 (0.042)
leadership tasks
0.178 (0.026)
0.169 (0.015)
−0.321 (0.091) −0.396 (0.05)
work life balance
0.147 (0.017)
0.156 (0.01)
−0.393 (0.059) −0.487 (0.033)
work duration
0.004 (0.001)
0.003 (0.001)
−0.001 (0.004)
0.005 (0.002)
age
0.000 (0.001)
0.003 (0.001)
−0.013 (0.004) −0.017 (0.002)
gender
0.107 (0.027)
0.081 (0.015)
0.128 (0.092)
0.304 (0.05)
education
0.043 (0.013)
0.027 (0.007)
−0.182 (0.044) −0.167 (0.022)
career desire
−0.015 (0.01)
0.024 (0.006)
−0.041 (0.036)
−0.067 (0.02)
care
−0.024 (0.041)
0.001 (0.025)
0.2 (0.141)
0.321 (0.084) Lindert et al. Statistical analyses BMC Health Services Research (2022) 22:681 Page 6 of 10 Table 3 Poisson regression, existence of WHP (N SME-Er = 2574; N SME-Eu = 8189) Table 3 Poisson regression, existence of WHP (N SME-Er = 2574; N SME-Eu = 8189)
Dependent variable: sick days
SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium sized enterprises living in urban areas, WHP
workplace health promotion, Exp(B) exponentiated B; p-values < 0.05 are shown in bold
determinant factors
SME-Er
SME-Eu
Exp(B)
95% Wald Confidence Interval
Exp(B)
95% Wald Confidence
Interval
lower
upper
lower
upper
existence of WHP (no)
1.012
0.987
1.036
0.900
0.887
0.912
existence of WHP (yes) 1
1
emotional work
1.123
1.109
1.137
1.238
1.229
1.248
work intensity
1.361
1.331
1.391
1.115
1.101
1.129
leadership tasks (no)
1.584
1.541
1.627
1.284
1.265
1.304
leadership tasks (yes)
1
1
work life balance
0.917
0.903
0.932
0.899
0.890
0.907
work duration
1.003
1.002
1.004
1.005
1.004
1.005
age
1.010
1.009
1.011
1.013
1.012
1.014
male
1.273
1.240
1.307
0.947
0.933
0.961
female
1
1
education
0.828
0.817
0.839
0.758
0.753
0.763
career desire
0.928
0.918
0.937
0.948
0.942
0.954
care (no)
0.720
0.696
0.746
0.926
0.905
0.948
Care (yes)
1
1 Dependent variable: sick days p
y
SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium sized enterprises living in urban areas, WHP
workplace health promotion, Exp(B) exponentiated B; p-values < 0.05 are shown in bold SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium sized enterprises living in urban areas, WHP
workplace health promotion, Exp(B) exponentiated B; p-values < 0.05 are shown in bold Table 4 Multiple linear regression analyses, participation in WHP (N SME-Er = 918; N SME-Eu = 3112)
SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium sized enterprises living in urban areas, WHP
workplace health promotion, SE standard error; p-values < 0.05 are shown in bold
determinant
factors
job satisfaction
psychosomatic complaints
beta (SE)
R2 (adjusted R2)
beta (SE)
R2 (adjusted R2)
SME-Er
SME-Eu
SME-Er
SME-Eu
SME-Er
SME-Eu
SME-Er
SME-Eu
participation in
WHP
0.066 (0.04)
0.07 (0.022)
0.091 (0.080)
0.087 (0.083)
−0.086 (0.148)
0.078 (0.075)
0.272 (0.264)
0.238 (0.235)
emotional
work
−0.077 (0.021)
− 0.088 (0.012)
0.833 (0.076)
0.729 (0.041)
work intensity
−0.08 (0.034)
− 0.1 (0.02)
1.001 (0.127)
0.777 (0.069)
leadership
tasks
0.158 (0.04)
0.165 (0.023)
−0.231 (0.149)
−0.389 (0.079)
work life bal‑
ance
0.142 (0.028)
0.125 (0.016)
−0.476 (0.103)
−0.455 (0.056)
work duration
0.004 (0.002)
0.003 (0.001)
−0.01 (0.007)
0.008 (0.004)
age
−0.002 (0.002)
0.003 (0.001)
− 0.007 (0.007)
−0.012 (0.004)
gender
0.032 (0.042)
0.067 (0.023)
0.044 (0.153)
0.228 (0.079)
education
0.027 (0.02)
0.014 (0.01)
−0.198 (0.074)
−0.162 (0.036)
career desire
−0.015 (0.016)
0.027 (0.009)
−0.043 (0.06)
−0.056 (0.032)
care
−0.088 (0.061)
0.025 (0.039)
0.05 (0.225)
0.44 (0.134) Table 4 Multiple linear regression analyses, participation in WHP (N SME-Er = 918; N SME-Eu = 3112) medium sized enterprises living in rural areas, SME-Eu employees of small and medium sized enterprises living in urban areas, WHP
E standard error; p-values < 0.05 are shown in bold SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium sized enterprises l
workplace health promotion, SE standard error; p-values < 0.05 are shown in bold WHP was found for sick days in SME-Er (95% CI, 1.110 to
1.206) and SME-Eu (95% CI, 1.063 to 1.112) (see Table 5).i WHP was found for sick days in SME-Er (95% CI, 1.110 to
1.206) and SME-Eu (95% CI, 1.063 to 1.112) (see Table 5).i reported existing WHP offers, showed significant results
for participation in WHP on job satisfaction in SME-Eu
(beta =0.07, p < 0.001) and not for psychosomatic com-
plaints (see Table 4). p
y
SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium sized enterprises living in urban areas, WHP
workplace health promotion, Exp(B) exponentiated B; p-values < 0.05 are shown in bold Statistical analyses Significance of participation in reported existing WHP offers, showed significant results
for participation in WHP on job satisfaction in SME-Eu
(beta =0.07, p < 0.001) and not for psychosomatic com-
plaints (see Table 4). Significance of participation in u
Confounding variables were found to be significant in
most cases, however beta and significance level differed Lindert et al. BMC Health Services Research (2022) 22:681 Page 7 of 10 participation in WHP with special focus on rural and
urban aspects of employees’ residence. (1) between models for job satisfaction and psychoso-
matic complaints and (2) between models for SME-Er
and SME-Eu. The multiple linear regression model with
all independent variables works best for psychosomatic
complaints (R2 between 0.238 and 0.272) (see Tables 2
and 4). Models for sick days (see Tables 3 and 5) were all
significant with p < .001. y
With regard to significance of existence of WHP for
psychosomatic complaints in SME-Eu but not in SME-
Er, a possible explanation might be social network dif-
ferences: SME-Er might have a better social network,
which is an important resource when it comes to psycho-
logical health [43]. However, no significant differences in
psychosomatic complaints were found in study sample
(see Table 1). Also, it might be the case that WHP offers
reaching SME-Eu differ from offers reaching SME-Er as
they focus more on psychological aspects. It might also
be, that SME-Er do not use those offers due to stigmatiza-
tion of mental disorders in rural regions [10]. However,
no significance was found for participation in WHP nei-
ther in SME-Er nor in SME-Eu for psychosomatic com-
plaints. Sick days were found to be significantly lower in
SME-Eu perceiving no existence of WHP, but not in SME-
Er. This is against the results of studies revealing positive
impact of WHP on sick days [8, 11, 14, 15]. However,
this result is based on existence of, not on participation
to, WHP. Employees with lower sick days might not be
aware of WHP offers, as they perceive no need to actu-
ally work on their health. As Young et al. [24] found that
workers with bone fractures in rural areas have shorter
absences at work than workers in urban areas, this might Discussion Previous research identified positive effects of WHP on
job satisfaction, psychosomatic complaints, and sick
days [6–8, 11–15]. In this study, we found existence of
and participation in WHP to be significant in some cases
for psychosomatic complaints, job satisfaction, and sick
days. This section will discuss how this, and differences
in participation rates, might be explained by rural-urban
differences in SME-Er and SME-Eu. f
Despite our assumptions, SME-Er might use WHP
offers rather than SME-Eu to compensate for missing
health promotion offers in rural areas. Furthermore, as
even existing health services in rural areas are often not
used [23], in our study, this seems to be different in rela-
tion to WHP. While health services are not used due to
characteristics of rural residents and stigmatization of
illness [9, 10, 22, 24], WHP might be associated with
less stigmatization. However, future research needs to
examine individual and environmental factors that affect Table 5 poisson regression, participation in WHP (N SME-Er = 918; N SME-Eu = 3112)
Dependent variable: sick days
SME-Er employees of small and medium sized enterprises living in rural areas, SME-Eu employees of small and medium sized enterprises living in urban areas, WHP
workplace health promotion, Exp(B) exponentiated B; p-values < 0.05 are shown in bold
determinant factors
SME-Er
SME-Eu
Exp(B)
95% Wald Confidence Interval
Exp(B)
95% Wald Confidence
Interval
lower
upper
lower
upper
participation in WHP (no)
1.157
1.110
1.206
1.087
1.063
1.112
participation in WHP (yes)
1
1
emotional work
1.088
1.064
1.112
1.196
1.181
1.210
work intensity
1.231
1.185
1.279
1.054
1.033
1.077
leadership tasks (no)
1.501
1.436
1.570
1.313
1.281
1.346
leadership tasks (yes)
1
1
work life balance
0.989
0.960
1.018
0.892
0.878
0.906
work duration
0.995
0.993
0.997
0.999
0.998
1.000
age
1.024
1.022
1.026
1.017
1.016
1.018
male
1.351
1.291
1.414
0.846
0.826
0.866
female
1
1
education
0.903
0.883
0.922
0.755
0.746
0.763
career desire
1.049
1.031
1.067
1.003
0.993
1.013
care (no)
0.881
0.829
0.937
0.906
0.874
0.939
care (yes)
1
1 Table 5 poisson regression, participation in WHP (N SME-Er = 918; N SME-Eu = 3112) Lindert et al. BMC Health Services Research (2022) 22:681 Page 8 of 10 also explain different results in SME-Er and SME-Eu in
this case. also explain different results in SME-Er and SME-Eu in
this case. measures in the interviews, since employees were not
aware of having taken part in WHP offers [17]. Discussion Also dif-
ferences in age, educational status, job satisfaction, and
career desire have to be considered when focusing on dif-
ferent results in SME-Eu and SME-Er. Significant results for participation in WHP for job
satisfaction in SME-Eu but not SME-Er (b) might be
explained by higher job satisfaction in SME-Er compared
to SME-Eu (see Table 1). As Fritz [13] reported signifi-
cance of WHP for psychosomatic complaints, this is not
confirmed by study results in case of WHP participation
in both groups. However, this might be explained, as we
have no information on quality, intention, and quantity of
WHP offers, and as results of which Fritz [13] reported
are based on a targeted intervention with 12 measures
implemented.f u
r
Despite the mentioned limitations, due to the quality
of sampling process, study results can be transferred to
German speaking SME-Er and SME-Eu in Germany. In
global context, study results give first hints for practi-
tioners, e.g. human resource managers. When planning
WHP measures, it might be useful not to focus on com-
pany location only, but also on employees’ residence. For example, SME-Er might use training possibilities at
company sites rather than SME-Eu as access to train-
ing centers in rural areas are limited. In this case, the
decision whether to offer training opportunities for
employees should depend on where most employees
live and not on where the company is located. How-
ever, future research needs to clarify which aspects of
urban or rural life exactly have an impact on employees’
participation rates and focus on content, quality, and
quantity of WHP measures. Thereby, both – individual
and environmental – factors should be considered. Positive effects of WHP on sick leave and sickness costs
have been revealed in past research [8, 11, 14, 15] and
were confirmed by study results on participation in WHP
for SME-Eu and SME-Er. SMEs that offer WHP measures might rather have an
overarching occupational health management and focus
on employees’ health not only with WHP offers, but also
when it comes to working conditions and requirements,
which might explain differences in results for existence
of WHP and participation in WHP regarding psychoso-
matic complaints and job satisfaction. As interviews were conducted prior to the outbreak
of SARS-CoV-2, further research on WHP in rural
and urban settings should also take into account the
special challenges for employees during and after the
pandemic. BAUA: Federal Institute for Occupational Safety and Health; BIBB: Federal Insti‑
tute for Vocational Education and Training; BIBB-FDZ: Data Research Centre
at the Federal Institute for Vocational Training and Education; CATI: Computer
Assisted Telephone Interviews; SMEs: Small and medium-sized enterprises;
SME-E: Employees of small and medium-sized enterprises; SME-Er: Employees
of small and medium-sized enterprises living in rural areas; SME-Eu: Employees
of small and medium-sized enterprises living in urban areas; WHP: Workplace
health promotion. Conclusion
h Research on rural and urban aspects on WHP in SME
so far focuses on location of enterprises. In this study,
we used a new approach and examined urban-rural
differences in WHP, based on employees residence. Results indicate, that the place of residence influences
the participation in WHP. When planning WHP meas-
ures, it might be useful not to focus on the company
location only, but also on employees’ residence. Future
research could examine specific needs of both rural and
urban residents and how the currently prevailing sup-
ply meets these needs. Practitioners, politicians, as well
as researchers are called upon to use these insights for
the development of human resource management. Discussion In line with previous research [30–39] confounding
variables were mostly significant in all models for job
satisfaction, psychosomatic complaints and sick days. Block-wise analyzes slightly showed changes in beta for
existence of WHP and participation in WHP regarding
job satisfaction and psychosomatic complaints. However,
in most cases, significant results still remained significant
– so existence of WHP and participation in WHP are
partly but not totally mediated by confounding variables. Strengths and limitations A major strengths of the study is the study population. By focusing on employees throughout Germany, the
survey reached exactly the target group, that is relevant
for research questions of this study. The methodological
approach also ensured a good representativeness for Ger-
man employees. However, to participate in the interviews, individuals
had to be German speaking. This may have biased the
results as non-German-speaking persons were not rep-
resented in study sample. The data do also not provide
information on intention, quality and quantity of WHP
measures and participation. Another limitation emerges
from the subjective perspective of employees – WHP
measures might have been offered in companies under
different designations (, e.g. as occupational health and
safety measure,) or without any clear label at all. There-
fore, employees might have not reported the WHP Additional file 1. Additional file 1. Availability of data and materialsi Data is free for scientific purpose and can be requested as scientific-use-file at
the Federal Institute for Vocational Education and Training (https://www.bibb.
de/de/1403.php, doi:https://doi.org/10.7803/501.18.1.1.10). 13. Fritz S. Nützt betriebliche Gesundheitsförderung? - Neue Wege in der
Evaluation. Wirtschaftspsychologie aktuell. 2005;1:19–22. Declarations 14. Kramer I, Sockoll I, Bödeker W. Die Evidenzbasis für betriebliche Gesund‑
heitsförderung und Prävention – Eine Synopse des wissenschaftlichen
Kenntnisstandes. In: Badura B, Schröder H, Vetter C, editors. Fehlzeiten-
Report 2008 Betriebliches Gesundheitsmanagement: Kosten und Nutzen
Zahlen, Daten, Analysen aus allen Branchen der Wirtschaft. Heidelberg:
Springer Medizin Verlag; 2009. Funding Funding was provided by own financial resources of junior research group. The junior research group is funded by the German pension insurance Berlin-
Brandenburg (Deutsche Rentenversicherung Berlin-Brandenburg). Open
Access funding enabled and organized by Projekt DEAL. 11. Parks KM, Steelman LA. Organizational wellness programs: a meta-analy‑
sis. J Occup Health Psychol. 2008;13(1):58–68. 12. Bödeker W, Hüsing T. iga.Report 12. IGA-Barometer 2. Welle. Einschätzun‑
gen der Erwerbsbevölkerung zum Stellenwert der Arbeit, zur Verbreitung
und Akzeptanz von betrieblicher Prävention und zur krankheitsbed‑
ingten Beeinträchtigung der Arbeit – 2007. Essen/Dresden/Bonn/
Siegburg: BKK Bundesverband, Deutsche Gesetzliche Unfallversicherung
DGUV, Institut Arbeit und Gesundheit BGAG, AOK-Bundesverband,
Arbeiter-Ersatzkassen-Verband; 2008. Competing interests All authors declare no conflict of interests. 16. Menzel J, Drögemüller R, Hartwig C, Wollesen B. Innerbetriebliche
Strukturen für Betriebliches Gesundheitsmanagement in kleinen und
mittleren Unternehmen – Ein Ländervergleich aus Querschnittsdaten des
EU-Projekts “Fit for Business” (Teil 2). Bewegungstherapie und Gesund‑
heitssport. 2016;32:85–90. Code availability SPSS Syntax can be requested and may be provided by corresponding author. 8. Kuoppala J, Lamminpaa A, Husman P. Work health promotion, job well-
being, and sickness absences-a systematic review and meta-analysis. J
Occup Environ Med. 2008;50(11):1216–27. 8. Kuoppala J, Lamminpaa A, Husman P. Work health promotion, job well-
being, and sickness absences-a systematic review and meta-analysis. J
Occup Environ Med. 2008;50(11):1216–27. Author details
1 1 Center for Health Services Research, Brandenburg Medical School Theodor
Fontane, Fehrbelliner Str. 38, 16816 Neuruppin, Germany. 2 Danube Private
University (DPU) GmbH, Steiner Landstraße 124, 3500 Krems‑Stein, Austria. 17. Beck D, Lenhardt U. Workplace health promotion in Germany: prevalence
and utilisation. Analyses on labour force surveys of the Federal Institute
for Occupational Safety and Health in 2006 and 2012. Gesundheitswesen. 2016;78(1):56–62. Received: 7 December 2021 Accepted: 5 May 2022 Received: 7 December 2021 Accepted: 5 May 2022 18. Nagel-Jachmann I. Demografische Entwicklung und Bedeutung für klein-
und mittelständische Unternehmen. In: Schirmer U, editor. Demografie
Exzellenz Handlungsmaßnahmen und Best Practices zum demografieori‑
entierten Personalmanagement. Wiesbaden: Springer Gabler; 2016. Acknowledgements 6. Eriksson A, Dellve L. Learning processes as key for success in workplace
health promotion interventions in health care. Front Public Health. 2020;8:576693. 6. Eriksson A, Dellve L. Learning processes as key for success in workplace
health promotion interventions in health care. Front Public Health. 2020;8:576693. g
We would like to thank the Federal Institute for Vocational Education and
Training (BIBB) and the Federal Institute for Occupational Safety and Health
(BAuA) for providing the data of the BIBB/BAuA Employment Survey of the
Working Population on Qualification and Working Conditions in Germany
2018 (doi:https://doi.org/10.7803/501.18.1.1.10) for this study. 7. Poursadeqiyan M, Hosseini Foladi S, Khammar A, Nabi Amjad R, Mario‑
ryad H, Hosseini Ghosheh SN, et al. A survey on the relationship between
the status of occupational health management and job satisfaction
among staff of rehabilitation centers in Tehran: a cross-sectional study. J
Rehabil. 2019;20:242–55. Authors’ contributions The paper was written and visualized by L.L. Data was analyzed and inter‑
preted by L.L. under guided supervision of K.-E.C. and L.K. All authors have
edited former versions and agreed to the published version of the manuscript. The author(s) read and approved the final manuscript. 9. Allan J, Ball P, Alston M. Developing sustainable models of rural health
care: a community development approach. Rural Remote Health. 2007;7(7):818. 9. Allan J, Ball P, Alston M. Developing sustainable models of rural health
care: a community development approach. Rural Remote Health. 2007;7(7):818. 10. Brems C, Johnson ME, Warner TD, Roberts LW. Barriers to healthcare as
reported by rural and urban interprofessional providers. J Interprof Care. 2006;20(2):105–18. Abbreviations
BAUA F d
l I Page 9 of 10 Page 9 of 10 Lindert et al. BMC Health Services Research (2022) 22:681 4. Jorgensen MB, Villadsen E, Burr H, Punnett L, Holtermann A. Does
employee participation in workplace health promotion depend on the
working environment? A cross-sectional study of Danish workers. BMJ
Open. 2016;6(6):e010516. Supplementary Information The online version contains supplementary material available at https://doi.
org/10.1186/s12913-022-08052-9. 5. Kilpatrick M, Blizzard L, Sanderson K, Teale B, Jose K, Venn A. Barriers and
facilitators to participation in workplace health promotion (WHP) activi‑
ties: results from a cross-sectional survey of public-sector employees in
Tasmania, Australia. Health Promot J Austr. 2017;28(3):225–32. 5. Kilpatrick M, Blizzard L, Sanderson K, Teale B, Jose K, Venn A. Barriers and
facilitators to participation in workplace health promotion (WHP) activi‑
ties: results from a cross-sectional survey of public-sector employees in
Tasmania, Australia. Health Promot J Austr. 2017;28(3):225–32. Ethics approval and consent to participate As data was collected and provided anonymously by the Federal Institute for
Vocational Education and Training and the Federal Institute for Occupational
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https://zenodo.org/records/3388158/files/10263__1_216700_LE_331480.pdf
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BOEKBESPREKING
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G. de Grooth: Hotelbedrijfsleer. Uitgave: Ned. Uitg. Mij. Leiden, 1947,
209 blz.
door Drs W J v d Woestijne door Drs. W. J. v. d. Woestijne door Drs. W. J. v. d. Woestijne De schrijver schrijft als practijkman voor de practijk en geeft een aardig
beeld van de veelzijdigheid van het hotelbedrijf. Hij baseert zich daarbij
op een grote ervaring maar komt nergens boven deze uit. Zijn leerlingen
aan de Horeca-vakschool zullen er verschillende goede wenken in vinden,
die hen, vooral in het verkeer met de gasten, te pas zullen komen. De
bedoeling van de schrijver is blijkbaar niet geweest een bijdrage te leveren
voor de administratieve inrichting van een hotel, hoewel opmerkingen in
die richting natuurlijk niet ontbreken. Hij houdt een pleidooi voor goede
kostprijs-berekening, waarmede wij in principe gaarne instemmen, maar
wij moeten de uitwerking daarvan voor rekening van de schrijver laten. Op blz. 170/,1 geeft hij een voorbeeld van een prijsberekening voor een
nacht logies bij een bezetting van 60 %, maar vergist zich daarbij doordat
hem het onderscheid tussen procenten beneden en boven de honderd niet
duidelijk is. Inplaats van de kostprijs bij volledige bezetting door 0,6 te
delen vermenigvuldigt hij deze met 1,4. Dat dit fout is blijkt duidelijk,
indien wij een normale bezetting van 50 % als uitgangspunt nemen. De
kostprijs is dan niet 1,5, doch 2 maal de gemiddelde prijs bij volle bezet
ting. Dientengevolge komt hij tot een prijs van ƒ 5r—-, terwijl deze ƒ 6,—•
zou moeten zijn. D
h ij
ij t
l
d
l
i
d
ilijkh d j
De schrijver wijst wel op de vele en gevarieerde moeilijkheden, waar
de practijkman voor komt te staan, maar dringt tot de bedrijfseconomische
kern van de problemen niet door. Hij bewijst daarmede, dat er op dit
terrein nog zeer veel bedrijfseconomische research-arbeid verricht zal
moeten worden om aan het hotelbedrijf het noodzakelijk fundament te
leveren. J. v. d. Plas. De Schadeverzekeringmaatschappij. Haar bedrijf, organi
satie, administratie en boekhouding. Derde druk. Nederl. Uitgevers
maatschappij N.V. Leiden. 377 blz. door G. P. J. Hogeweg door G. P. J. Hogeweg door G. P. J. Hogeweg Bij de eerste druk deelde de schrijver mede, dat dit boek bestemd was
om de belangstellende lezer een inzicht te geven in het bedrijf van de
Schadeverzekering Mij. en dat daarom ter wille van een goed begrip van
de organisatie, de administratie en de boekhouding een korte algemene
inleiding en behandeling van de diverse in de practijk voorkomende scha-
deverzekeringsvormen vooraf ging. BOEKBESPREKING BOEKBESPREKING BOEKBESPREKING G. de Grooth: Hotelbedrijfsleer. Uitgave: Ned. Uitg. Mij. Leiden, 1947,
209 blz. door Drs W J v d Woestijne G. de Grooth: Hotelbedrijfsleer. Uitgave: Ned. Uitg. Mij. Leiden, 1947,
209 blz.
door Drs W J v d Woestijne Die korte inleiding beslaat in de derde
druk, die thans voor ons ligt, meer dan de helft van het boek, maar om 42
verzekeringsvormen toe te lichten is deze omvang zeker nodig. Het komt
mij voor, dat de schrijver daarin geslaagd is. N
lijk
d l id
d
fd li
h d j
,
j
g
g
Natuurlijk moet de leider van een der afdelingen van een schadever
zekeringmaatschappij meer van de usanties weten, maar voor de belang
stellende lezer, waaronder zeker ook accountants gerekend mogen wor
den, geeft het gebodene een goed inzicht, ook omdat de bijgevoegde mo
dellen van in de praktijk gebruikte formulieren een nuttige aanvulling zijn. Dat ook de berekening van poliszegel en de afwijkende regeling van de
omzetbelasting behandeld wordt, verhoogt het belang van deze uiteen
zetting voor de lezers van dit blad. m a b blz. 25 Het hoofdstuk Organisatie geeft een duidelijk inzicht in deze materie. Zowel het beursbedrijf als het provinciale bedrijf wordt beschreven en
het optreden van gevolmachtigden en agenten en makelaars. Ook de
organisatie van het gehele verzekeringswezen heeft de aandacht, waarbij
de vrije verenigingen, zowel als de Hoofdgroep en Vak- en Ondergroepen
ter sprake komen. I h
h
fd
k
d Ad i i
i b h
d l d
h ij
h p
In het hoofdstuk over de Administratie behandelt de schrijver het vast
leggen vande contracten voor verschillende soorten van verzekeringen en
de controle op de volledigheid daarvan, alsook op de inning der premiën. Ook deze uiteenzettingen worden met een groot aantal modellen toege
licht, waarbij ook de nodige aandacht aan de behandeling van schaden
en aan statistische overzichten wordt gegeven. T
l
b h
d l h
fd
k IX d B kh
di
i
i
O g g
Tenslotte behandelt hoofdstuk IX de Boekhouding in engere zin. Op
de noodzakelijke interne controle wordt gewezen, en hoe die wordt ver
kregen zet de schrijver uiteen. Op dit punt had ik gaarne wat meer na
druk gelegd willen zien. D
h ij
di h
h l i d
k ijk b h d l b
h ijf
i g
g
De schrijver, die het geheel uit de praktijk behandelt, beschrijft m.i. te
veel het „hoe” en te weinig het „waarom”. G. de Grooth: Hotelbedrijfsleer. Uitgave: Ned. Uitg. Mij. Leiden, 1947,
209 blz.
door Drs W J v d Woestijne O k bij bij d b
li
d P
i
l
d Ri i
k
t g
Ook bijv bij de bepaling van de Premiereserve voor lopend Risico komt
dit duidelijk uit. De vaststelling van een percentage van de nettopremie
voor eigen rekening op 50 % of op 40 % op grond van „ervaring” in het
verleden, wordt wel toegelicht, maar het gevaar hieraan verbonden, door
dat de verhouding tussen korte en langlopende posten verandert, wordt
niet naar voren gebracht. H
l d
l
d
h d
k i
h
ij g
Hoewel de accountantscontrole op de schadeverzekeringmaatschappijen
natuurlijk niet wordt behandeld, geeft de schrijver met Model No. 70
wel een voorbeeld van een te publiceren accountantsverklaring. De derde
en vierde alinea, die mededelen, dat de accountant zich van de aanwezig
heid van de effecten en van de juistheid der vorderingen heeft overtuigd,
en waarin de waardebepaling der effecten wordt toegelicht, zijn m.i. over
bodig, maar het is niet te ontkennen, dat nog vele accountants op die wijze
tegemoetkomen aan het verlangen van het bestuur der gecontroleerde
onderneming. Ik k
k
i
ki
di b k
d
d g
Ik kan kennismaking met dit boek aan accountants en studerenden aan
bevelen. Handleiding ten dienste van Assistent-Accountants door P. Hoogwout.
Tweede druk 110 blz. Neder!. Uitgeversmaatschappij, Leiden. Handleiding ten dienste van Assistent-Accountants door P. Hoogwout. Tweede druk 110 blz. Neder!. Uitgeversmaatschappij, Leiden. door G. P. J. Hogeweg door G. P. J. Hogeweg In dit boek heeft de schrijver ten dienste van assistent-accountants een
uiteenzetting gegeven van de inrichting van het contrôle-dossier, zowel
als van de wijze, waarop de controle van de verschillende boeken van een
handelszaak z.i. dient te geschieden, en waarop de assistent in elk bijzon
der geval dient te letten. K
i
i
d
it
tti
d
h ij
i g
Kennisneming van de uiteenzettingen van de schrijver is voor een
beginnend assistent en voor studerenden voor de accountants-examens
aan te bevelen. Zij zullen er zin voor orde in de dossiers uit leren en hun
verantwoordelijkheidsgevoel zal er door worden versterkt. S h ij
h ft i h bij ij b h d li
di
d i i t ti j
g
Schrijver heeft zich bij zijn behandeling een eenvoudige administratie
met de gewone hulpboeken gedacht, maar behandelt de daarbij voor
komende contróle-werkzaamheden uitvoerig, zodat de assistent, die zich
deze beschrijving goed eigen gemaakt heeft, ook zal weten wat in die m a b blz. 26 m a b blz. 26 m a b blz. 26 gevallen gedaan moet worden, waarin de accountant een werkplan heeft
voorgeschreven met andere maatregelen, dan de hier behandelde. D i l d
d
l
hi l b kh
di
f
d g
g
De invloed op de controle van een machinale boekhouding of een door
schrijf methode heeft de schrijver niet behandeld, maar waarschijnlijk
heeft hij dit aan het oordeel van de accountant, die de leiding van de
controle heeft, willen overlaten. Die invloed toch is groter op het werk
plan, dan op de wijze van uitvoering van het werk door de assistent. D
h
k d
d
d
d d
i p
p
j
g
Dat het werk door de accountant over eerste, tweede en derde assis
tenten verdeeld wordt, en dat de beginneling niet alle in het boek beschre
ven werkzaamheden te doen krijgt, heb ik er niet in gevonden, maar dat
zal de assistent in de praktijk wel merken. REPERTORIUM VAN LITERATUUR OP
HET GEBIED VAN ACCOUNTANCY EN
BEDRIJFSHUISHOUDKUNDE
R Redactie: Centrale Documen
tatiedienst inzake be
drijfsorganisatie N.V. (C.D.B.) II. HET ACCOLINTANTSBEROEP Enige opmerkingen over mogelijkheden en wenselijkheden van een verbijzondering in
de uitoefening van het accountantsberoep
S h
f f
d
Al
h
i
lijk
d
b h d li g
p
S c h r o e f f, H. J. v., d. ■—■ Alvorens tot het eigenlijke onderwerp van behandeling
over te gaan geeft schr. een enkel woord ter aflijning van beide richtingen van ver
bijzondering, differentiatie en specialisatie. W at betreft de mogelijkheden van specia
lisatie is schr. kort: de nadelen van toepassing hiervan in het accountantsberoep over
treffen verre de voordelen. Een uitvoerige en systematische behandeling van de moge
lijkheden van differentiatie, waarbij schr. een diepgaande analyse geeft van de voor- en
nadelen van deze vorm van verbijzondering, met name de verbijzondering op de advi
serende functie van de accountant. A II 1
M
dbl d
A
B d ijf h i h dk d 21 N
9 A II 1
Maandblad voor Accountancy en Bedrijfshuishoudkunde 21, No. 9
October 1947 Selling budgetary control to the supervisor
M
h
F J
Th
h
f Selling budgetary control to the supervisor
Mut h, F. J. — The author starts from the point of view that responsibilty for
cost control and cost reduction does not lie with a few top executives. The super
visors should be encouraged to offer for review the particular difficulties encountered
in operating under their controls and their recommendations for improvement of proce
dure, and to base their plans for future operation on the premise that past practice
is not always the best practice and that performance can become more effective through
constant improvement of methods. Supervisors should be aware that the possibilities of
obtaining fruitful suggestions for cost reductions from the individual workers are un
limited. Workers should therefore be encouraged to bring to their superiors ideas on
better ways to do the job which in turn can lead to developments resulting in major
cost reductions. A number of self-questions are summed up. A IV 1
The Management Review XXXVI, No. 9, September 1947 q
p
A IV 1
The Management Review XXXVI, No. 9, September 1 q
p
The Management Review XXXVI, No. 9, September 1947 Analyzing and determining the workload
W
1i
H L
U i
i l IV. LEER VAN DE CONTROLE Selling budgetary control to the supervisor
M
h
F J
Th
h
f Analyzing and determining the workload
W
1i
H L
U i
i l W y 1 i e, H. L. — Using practical examples the author shortly discusses the deter
mination of the workload (that means the volume of paperwork) and its analysis,
which logically covers two aspects: the long-range aspect, which has to do with
anticipated volume paperwork and the seasonal variation, if any, of the anticipated
volume; the short-range aspect which has to do with daily fluctuations in volume and
special assignments of a non-repetative nature. A IV 1
Th M
R i
O
b
1947 The Management Review, October 1947 The Management Review, October 1947 m a b biz. 27
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Procesos de subjetivación cuentos de tradición oral y relatos contractualistas de la modernidad
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Procesos de subjetivación cuentos de tradición oral y relatos contractualistas de la
modernidad
Subjectivation procestings. Oral tradition tales and in the modern philosophies
contractualist speeches
Gonzalo Díaz Troya1, ORCID https://orcid.org/0000-0002-5093-4253
1
Profesor de la Universidad Laica “Eloy Alfaro” de Manabí. gonzalodiaztroya@hotmail.com
Recepción: 14 de Septiembre de 2019 / Aceptación: 28 de diciembre del 2019 / Publicación: 29 de enero del
2020
Citación/como citar este artículo: Díaz, G. (2020). Procesos de subjetivación. Cuentos de
tradición oral y relatos contractualistas de la modernidad. Rehuso, 5(1), 118- 129. Doi:
10.5281/zenodo.6796121
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Resumen
El tema del poder entraña cuestiones complejas para el pensamiento filosófico. A partir de las
reflexiones y trabajos de Michel Foucault, el asunto del poder ha sido repensado con mayor
grado de intensidad. No hay una noción clara del poder, ni mucho menos este es un concepto
prístino, pero se puede averiguar cómo en las relaciones humanas la posición de dominador o
dominado abarca distintos aspectos de la vida. En el inconsciente colectivo deambulan
elementos del poder que perpetúan sistemas de dominación. Asimismo, los discursos que se
despliegan en la sociedad justifican un determinado orden de las relaciones de poder. Los
cuentos de tradición oral narran acontecimientos fantásticos que, sin embargo, corresponden a
realidades políticas, pues respaldan una determinada forma de ejercer y perpetuar la
dominación. Lo mismo se puede decir de los relatos contractualistas brindados por la filosofía
política moderna. Existe una estrecha relación de similitud no estrictamente narrativa, pero sí
discursiva, entre los cuentos de tradición oral y la filosofía contractualista.
Palabras clave: Contractualismo; cuentos; dominación; inconsciente; poder.
Abstract
Power’s theme involves complex issues for the philosophical thinking. Since Michel
Foucault’s reflections and works, the matter of power has been rethinking with grate major
intensity. There is not a clear notion of the power, anything less it is a pristine concept, but it
is possible find out how inside the human relations the dominator position or of dominated
span several features of the life. In the collective unconscious goes around power’s elements
that keep domination systems. Likewise the speeches that opens in society out it substantiate a
domination determinate order. However, the oral tradition tales narrate fantastic happenings
that tally to politic realities, being as they back up a determinate way of practicing and holding
the power. The same it is possible to tell about contractualist speeches brought up by political
modern tradition. There is a close relation, not strictly narrative but it does discursive between
the oral tradition tales and the contractualist philosophy.
Keywords: Contractualism; domination; power; tales; unconscious.
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Díaz Gonzalo. Procesos de subjetivación cuentos de tradición oral y relatos contractualistas de la modernidad.
Introducción
En junio de 2012 se publicó el libro titulado “Hay chismes que parecen cuentos pero hay
cuentos que no son chismes” (Díaz, 2012). En él se recopilan cuarenta cuentos de tradición
oral del cantón El Carmen, provincia de Manabí. Aquella experiencia permitió a su autor
conocer a las personas que contaban cuentos y percibir de primera mano las vivencias que al
contarlos en ellas despertaban. Y es que el que cuenta lo hace con convicción plena de que el
acontecimiento que observó, o que le contaron, se reviste de un carácter extraordinario y,
porque sucedió así, merece la pena ser narrado. Según se percibe y escucha, existe un acuerdo
tácito de que narrar y escuchar cuentos robustece la identidad y valores cultural de una nación.
Sin embargo, poner entre paréntesis la aparente e inocente fuente de bondad que emanaba de
los cuentos y pensarlos desde la perspectiva de la institución del poder político, ha permitido
realizar un acercamiento al papel que han podido jugar en los procesos de legitimación del
poder. Para lograr aquello, se buscó establecer analogías con los relatos contractualistas de la
modernidad a fin de sugerir algún tipo de paralelismo que pueda existir entre los dos tipos de
relatos, paralelismo que permita vislumbrar una función semejante destinada a establecer
relaciones de dominación.
Metodología (Materiales y métodos)
Se ha hecho uso de la investigación documental y la investigación de campo. Con la primera
se ha establecido las bases teóricas sobre las que se asienta el estudio; la segunda, permitió
recopilar cuarenta cuentos de tradición oral directamente de sus narradores, en el cantón El
Carmen, provincia de Manabí (Ecuador). El texto en el que se recogió los cuentos en referencia
se hace constar en la bibliografía. Con estos dos insumos se realiza un ejercicio hermenéutico
a fin de poder establecer analogías entre los cuentos de estudio y los relatos contractualistas de
la modernidad.
Resultados
Según los principales contractualistas de la modernidad (Hobbes, Locke y Rousseau),
originariamente el hombre vivía en un estado de naturaleza. Aquella condición lo exponía a
una serie de riesgos e inseguridades que hacían peligrar hasta lo más preciado que tenía: la
vida. Aquella situación lo impulsó a contratar, es decir, llegar a acuerdos a fin de establecer un
contrato mediante el cual se comprometían a respetar lo establecido en él en aras del bien que
se esperaba recibir. Gracias a aquello, nace el estado civil o existencia jurídica de la sociedad.
Como se observará, este proceso tiene tres momentos:
Figura 1. Momentos de los relatos contractualistas de la modernidad
En lo que respecta a los cuentos de tradición oral, es muy común que el relato inicie en
circunstancias en que sus personajes se encuentran en una situación de incertidumbre, miedo e
inseguridad. Frente a ese escenario el hombre hace suya la normatividad emanada de Dios.
Hecho aquello, la situación inicial desaparece e ingresa en un estado deseable. Como se
observará, este proceso presenta tres momentos:
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DOI: 10.5281/zenodo.6796121
Figura 2. Momentos de los cuentos de tradición oral objeto de estudio
Ahora bien, desde el punto de vista formal cuentos y relatos contractualistas tienen una
estructura similar. Esto es, primero, ambos parten de una situación de indefensión; segundo,
necesidad de recurrir a algo o alguien que ayude a superar la situación inicial; y, tercero, un
estado de bienestar.
Si se les da una mirada de fondo, se aprecia tres componentes fundamentales:
Figura 3. Momentos de los cuentos de tradición oral objeto de estudio
Como se aprecia, el elemento central es condición fundamental para ordenar los actos de los
hombres conforme a lo establecido por la autoridad. La obediencia se torna ineludible si se
espera ascender a un estado que supere al de indefensión.
Discusión
El análisis de los cuentos remite a los individuos reales, su acción y condiciones materiales de
vida, tanto las encontradas como las engendradas por su propia acción, diría Marx (1974).
Realizar un ejercicio para desmontar el andamiaje que subyace detrás de los cuentos de
tradición oral, mundo poblado de ángeles y demonios, lucha entre el bien y el mal, dioses y
demonios misericordiosos pero cruentos a la vez, resulta muy sugerente para establecer
analogías entre cuentos y relatos contractualistas.
Las prácticas sociales generan un tipo de discurso, el discurso político. Este discurso surge de
unas condiciones concretas de existencia, cuyas características son en sí mismas discurso. La
realidad en su totalidad es a la vez discurso y manifestación de discursos. El poder genera
relatos que invaden toda la esfera de la existencia humana, estos cubren y se presentan como
el único discurso posible.
La noción de discurso intenta relevar la imbricación entre los dispositivos culturales de
significación, las prácticas sociales y la constitución del sujeto (…) como advierte
Laclau y Mouffe (…) no es pertinente realizar una distinción tajante entre el discurso y
la práctica, como si el discurso sólo fuera un habla sin efectos en la realidad social; más
bien, el vínculo entre ambas dimensiones supone que toda práctica social está inscrita
en un lenguaje y que todo lenguaje es, una práctica social. De este modo es posible,
como indica Ortí, relacionar la orientación ideológica de los discursos con la génesis y
la reproducción de los procesos sociales. (Parrini, 2007, p.22-23)
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Díaz Gonzalo. Procesos de subjetivación cuentos de tradición oral y relatos contractualistas de la modernidad.
El asunto remite a abordar el tema del poder desde lo político; se lo define como la capacidad
que un individuo o grupo de individuos tiene para modificar la conducta de un individuo o
grupo de individuos a fin de generar estados de dominación y consecuentemente de obediencia.
Es muy común escuchar frases como “este país es el más poderoso del mundo”, “esta es la
empresa más poderosa del mundo”, “este es el hombre más poderoso del mundo” (el más rico)
o “el hombre más poderoso del partido”. Pero también es frecuente oír: “el más poderoso del
barrio”, “el más poderoso de la familia”, “el más poderoso del club”. Todas estas afirmaciones
implican pensar en la existencia del poder, no como una realidad abstracta, sino como una
realidad ante la que nos tenemos que ver en cada momento. El poder forma parte de la
cotidianidad, por tanto, la misma definición de poder tendrá como una de sus particularidades
ir en correspondencia con ese ámbito de la realidad. Dicho de otro modo, la forma en que nos
representemos el poder determinará el discurso.
Desde esta perspectiva, sería conveniente utilizar en sentido foucaultiano la expresión
“relaciones de poder”; esto es, que todos en una medida u otra estamos revestidos de poder,
desde el hombre común o el país más poderoso del mundo, pasando por las relaciones laborales,
las institucionales o familiares, hasta el joven que trata de mantener control dentro de un grupo
insignificante. Estamos hablando de un modo de ser de la sociedad. Ese modo de ser de la
sociedad no se ha generado espontáneamente, es más, no se puede concebir que un fenómeno
tan evidente como lo es el del ejercicio del poder tenga un origen espontáneo, como concebido
por obra y gracia de no sé qué espíritu. El poder es discurso y como tal, nace de condiciones
reales de existencia. Y estas condiciones reales de existencia tienen que ver con un conjunto
sistemático de ideas que se han ido dando forma (construcción) según intereses de clase. Esa
misma clase dice qué entender por poder y, consecuentemente, es concebido como mecanismo
de reproducción de su modelo de ideas. Aquello se caracteriza en el momento actual en lo que
se ha dado por llamar
(…) pensamiento positivo que, como los textos de autoayuda, induce a los sectores
populares a internalizar los valores y apetencias de los potentados. De ese modo se
busca que la mercantilización del mundo y la guerra de todos contra todos parezcan
cuestiones propias del sentido común, para que terminen aunados las víctimas y los
victimarios o que prosperen mecanismos neuróticos como los de la identificación con
el agresor, la negación de la realidad y otras alteraciones por el estilo (Biagni, 2019,
p.110).
Ahora bien, si el poder no reside en una forma absoluta, y si no se encarna en una figura
represora, entonces, ¿dónde se traslada la esencia del poder? Tal como se puede apreciar en las
prácticas sociales, el poder se encuentra difuminado entre los individuos. Así, no es un poder
único el que controla. Todos, en menor o mayor medida, controlan, vigilan y establecen
relaciones de dominación; cada quién desde su sitio, por más insignificante que este sea. Muy
habilidosamente se ha echado mano de esa disposición del ser humano a desear siempre
controlar sus circunstancias. Además de ejercer poder desde la parcela que le corresponde a
cada cual en cuanto individuo dueño de su propia vida, también, a los sujetos les interesa
erigirse con poderes que controlan otros recovecos de la existencia humana y los entornos
social y natural.
El modelo está establecido. De lo contrario ¿cómo entender que las sociedades actuales
conduzcan sus acciones bajo la creencia de que viven en una civilización ordenada por leyes
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que funcionan, más o menos bien, y que todos deben actuar en consecuencia según el modelo
que ella establece?
Se está frente a un discurso que propugna un modelo único, que marca la abolición de lo
diferente; en que el otro, según afirma Han (2017), es visto como una negatividad que, una vez
superada, de paso a la positividad de lo igual. Esta proliferación de lo igual atraviesa y aqueja
a todo el cuerpo social. En realidades concretas, por ejemplo, el alcance global del capitalismo
va más allá de apertura y de conquista, es una visión, según Žižek (2017), de un mundo
encerrado en sí mismo, que hace una clara distinción entre el interior de su exterior, de los que
están protegidos por la esfera y de los que se encuentran fuera de su cobertura.
Los relatos contractualistas de la modernidad nos dan una idea clara del asunto. Según la
hipótesis que ensayan, los hombres originariamente vivían en un estado de naturaleza. Fue
necesario imaginar las circunstancias en las cuales el hombre vivía para poder, desde allí,
establecer una concepción de hombre que permitiera explicar las determinaciones que el
hombre contemporáneo mostraba a los relatores y los requerimientos que esa misma sociedad
denunciaba. No resulta muy extraño, entonces, que lo expuesto en los relatos contractualistas
conlleve una concepción de poder en la que hay que mantener un orden y un sistema de sujeción
y obediencia. La realidad misma, concebida hasta en sus materializaciones más mínimas
hablaría, en consecuencia, sobre aquello. Esa misma forma ha operado hasta nuestros tiempos.
No se puede concebir un entramado ideológico que opera desde un mundo de la ideas. No se
puede concebir un entramado ideológico que afecte únicamente a una determinada área de la
existencia humana.
La ideología necesita estar inmersa en el mundo de la cotidianidad, encarnarse en seres
humanos reales. La construcción de lo real reclama a gritos la correspondencia para obtener
eficacia. Por ende, las determinaciones, facetas y características de una sociedad expresa el
modelo de dominación prevaleciente en ella. Las configuraciones normativas y estéticas de las
instituciones, las formas más insignificantes en que los individuos viven su cotidianidad,
tradiciones seculares, rituales religiosos y expresiones alegóricas, aportan información sobre
las articulaciones de poder existentes en el complejo social donde se producen las relaciones.
De lo contrario, por ejemplo, sería incompresible pensar cómo puede funcionar un modelo
liberal de organización de la realidad bajo la égida de un sistema económico que interviene
hasta las instancias más íntimas del individuo. En los actuales momentos, el modelo económico
opera tan sutilmente que hace que se concibe al poder ya no como lucha de uno contra otro
para dominarlo; por el contrario, se ha incrustado en el interior del sujeto una concepción de
poder que se revela en la figura de autoexplotación. De allí frases estereotipadas como: sé un
emprendedor, sé tu propio jefe, entre otras.
Postular que todos por naturaleza somos libres y que, por tanto, no hay cabida para amos y
señores, resulta discutible si se enfocan los condicionamientos a los que a menudo, de forma
inconsciente, están expuesto los individuos desde el momento de su nacimiento. En la misma
expresión de la libertad natural está impregnada su contradicción, pues no hay nada más
determinante para los sujetos que la propia naturaleza. ¿Cómo cabe considerar a un hombre
libre cuando hay un marco ideológico que marca la concepción misma de la libertad? La misma
afirmación que hace referencia a los derechos naturales que posee el hombre, responden a un
punto de vista muy particular, desde el cuál se interpreta la realidad. E incluso, por decir lo
contrario, el mismo hecho de afirmar que los derechos nacen como fruto de acuerdos responde
a una forma de ordenamiento del discurso desde una orientación predeterminada. La misma
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Díaz Gonzalo. Procesos de subjetivación cuentos de tradición oral y relatos contractualistas de la modernidad.
concepción antropológica que podemos tener del hombre, por ejemplo, de aquel que al ser
gobernado por sus pasiones se convierte en un enemigo para otros hombres, puede enfocarse
también desde la perspectiva del buen salvaje, del hombre que no es ni bueno ni malo sino un
ser inocente susceptible de ser maleado por la sociedad. Aquello que nos lleva a pensar que
somos el producto de lo que otros han querido hacer de nosotros se correspondería con el
segundo enfoque. Esto es, no hay actos indiferentes.
Ahora bien, si nos introducimos al interior de esa realidad construida observaremos que
preconiza una visión moral que tiende a exaltar el comportamiento humano moviéndose entre
dos polos: el bien y el mal. De allí que un sistema de premios, recompensas y castigos son la
dinámica que subyace al interior de los procesos que tienden a modelar el comportamiento
humano. Una serie de dispositivos -entre otros, la institución educativa, el concepto de poder
y verdad que promueven las tic- que funcionan como mecanismos de integración social entran
en juego para modelar (disciplinar) al individuo a fin de hacerlo lábil a la realidad creada. Y el
que no, es un inadaptado. La psicología y la psiquiatría se encargarán de él. Sobre qué entender
por dispositivo, Martínez y Muñoz (2018) se apoyan en Foucault, al respecto señalan:
(…) los dispositivos son articulaciones discursivas que emanan del cruce entre el saber
científico y el poder político. Esta noción puede ser entendida en primer lugar como
una red de conceptos. (…) en ella se entrecruzan una pluralidad de elementos. Además,
el dispositivo no solo produce un entramado conceptual, sino que también produce un
conjunto de prácticas propias del orden del discurso (p. 174).
Si se parte de ese supuesto, se puede sospechar que las manifestaciones culturales ingresan
también al interior de esa misma dinamia. Dispositivos que, haciendo uso de la dimensión
simbólica que posee el hombre, configuran un modelo de sujeto funcional a las prácticas
sociales. Estos dispositivos generan y mantienen un discurso que de forma sistemática
constituye los objetos que refieren. Es una forma de acuñar un mismo discurso que se reproduce
continuamente y en la medida que se legitima.
Hablar de dispositivos que tienden a disciplinar al sujeto, necesariamente conduce a tratar sobre
la dimensión inconsciente de la psiquis. Así como los hombres pueden vivir sus conflictos
conscientemente, de igual manera hay conflictos que son vividos de forma inconsciente.
Precisamente los conflictos inconscientes surgen de cuestionamientos que les son comunes a
todos los individuos. Al respecto, los estudios de Carl Jung (1970) sobre el inconsciente
colectivo son bastante ilustrativos, dice:
Este inconsciente [colectivo] no es de naturaleza individual sino universal, es decir, que
en contraste con la psique individual tiene contenidos y modos de comportamiento que
son, cum grano salis, los mismos en todas partes y en todos los individuos. En otras
palabras, es idéntico a sí mismo en todos los hombres y constituye así un fundamento
anímico de naturaleza suprapersonal existente en todo hombre. (p.10)
Para Jung (1970), los contenidos del inconsciente colectivo son arcaicos o primitivos; se los
puede llamar también <<représentations collectives>>. Otra expresión muy conocida de los
arquetipos es el mito y la leyenda. En este caso se trata de figuras específicamente construidas
cuya transmisión se produce a través de largos lapsos de tiempo. Por lo tanto, un concepto
arquetípico solo podría aplicarse indirectamente a las representaciones colectivas, ya que en
verdad designa contenidos psíquicos no sometidos a elaboración consciente alguna y representa
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a un dato psíquico todavía inmediato. El arquetipo representa esencialmente un contenido
inconsciente, que al conciencializarse y ser percibido cambia de acuerdo con cada conciencia
individual en que surge.
Se está haciendo referencia a aquella dimensión de la psiquis humana, a aquel tipo de saber
del que no se es consciente. Sin embargo, una forma de exteriorizarlo es a través de lo
simbólico; al respecto Solares (2011) dice:
Como se trata de un mismo proceso, en uno de sus extremos se encuentra el signo o
“símbolo enfriado”; en el opuesto, el símbolo evocando una dimensión trascendente,
invisible o experimentada como enigma. Existe pues una permanente oscilación y
conversión en la gradación entre lo sígnico y lo simbólico como polaridades del proceso
de la representación humana del pensamiento. (p.16)
Con el objetivo de ilustrar un poco más la temática, Solares (2011) sostiene que:
¿Qué sentido tiene haber nacido? ¿Cuál es el significado de una amistad? ¿Qué le espera
al hombre después de la muerte? Este tipo de preguntas –cuyo significado es incierto
para los que no cuentan con un referente específico que las signifique de una vez por
todas– configuran la materia del símbolo. Su contenido alude al inconsciente, lo
trascendente, lo sobrenatural o a todas aquellas cosas “ausentes” y difíciles de percibir
que, por definición, son la materia del arte, la religión y el mito: “causa primera”, “fin
último”, “finalidad sin fin”, “alma”, “dioses”, “espíritu”. El símbolo alude a una
metafísica o bien, como también lo anotan algunos filósofos, toda metafísica es
simbólica. El símbolo alude a una realidad abierta difícil de presentar y que por lo tanto
sólo puede ser referida de forma simbólica. (p.15)
La forma de concebir el poder, la forma como los seres divinos administran el poder, el lugar
que el hombre ocupa en ese mundo poblado de ángeles y demonios, así como el modo de vivir
su tiempo sagrado y profano, nos remiten a una representación de la realidad en la cual
efectivamente el hombre reproduce desde su parcela las mismas condiciones de dominación.
El poder como tal, como forma de ejercer dominación y generar obediencia tiende a oscilar
entre dos polos: el bien y el mal; el primero identificado con Dios, y el segundo con el demonio
[Resulta insinuante hacer dos tipos de agrupaciones por similitudes: la de los espíritus del bien
y la de los espíritus del mal; y, por qué no, hombres buenos y hombre malos. En definitiva, los
dioses representan las características humanas: mezcla de bondad y malicia]. Sin embargo, en
cada uno de estos extremos encontramos que se ejerce un desdoblamiento que cada entidad
puede realizar de sí mismo, que le puede otorgar un carácter de bondad como también de
maldad. Se lo puede intuir a partir la siguiente cita:
El historiador de las religiones que estudia estas teofanías comprueba la existencia de
esta tensión dialéctica en el presente de toda intuición religiosa, así como en la
evolución temporal de toda religión. De esta manera, el Gran Dios Shiva se desdobla
en un sosia energético y antagónico: Kali, que a su vez se desdobla en «bienhechora» y
«terrible». El mismo Dios de la Biblia, tanto el Dios del Corán como el de la Cábala,
tiene una faz de Rigor y otra de Misericordia. (Durand, 1968, p. 138)
125
Díaz Gonzalo. Procesos de subjetivación cuentos de tradición oral y relatos contractualistas de la modernidad.
Resulta comprensible entender el carácter de bondad o rudeza que pueden asumir al discernir
los actos humanos y que, ineludiblemente, serán juzgados a efectos de sancionar con premios
o castigos, según sea el caso.
El tema nos remite a procesos de subjetivación y el papel que estos tienen en la construcción
de la realidad. Ahora bien, los procesos de subjetivación son inherentes a todo proceso que
tiende a crear un horizonte único para la construcción y explicación de lo real. Los cuentos de
tradición oral y relatos contractualitas coadyuvan a ello.
Los cuentos de tradición oral vendrían a ser como una exteriorización de una parcela del
inconsciente común a todos los hombres, que se exterioriza a través de relatos en los que están
involucrados seres espirituales y seres humanos y que desarrollan una trama mediante la cual
se puede interpretar la forma en que el ejercicio del poder es percibido por parte de los propios
seres humanos. El hecho de que los dioses tengan esa capacidad de juzgar, castigar o premiar,
muestra la capacidad que tiene el hombre para trasladar sus atributos a seres ajenos a su tiempo
y espacio. En definitiva, la ficción creada no es otra cosa que la exteriorización del drama
interno, que yace recluido en lo más profundo de su inconsciente.
Ahora bien, los procesos de subjetivación tienen que ver con la manera en que nos constituimos
como sujetos y manifestamos nuestra subjetividad. El influjo que el exterior ejerce sobre cada
individuo tiende a sintonizar arquetipos residentes en el inconsciente colectivo; esto, según
Jung es un componente heredado culturalmente, como una matriz mental que modela la
manera de percibir e interpretar las experiencias que le ocurren al individuo. Tratándose de los
cuentos de tradición oral o de los relatos contractualistas de la modernidad se pueden establecer
analogías entre dos tipos de discursos que guardan estrechas similitudes pero
contextualizaciones epistémicas y culturales distintas: los discursos fantástico-ficticios de los
cuentos de tradición oral y los discursos hipotético-filosóficos del contractualismo político.
Cabe indicar, asimismo, que en ambos casos existe una matriz estructurante que corresponde a
un inconsciente colectivo, presente en la herencia cultural que influye decididamente en el
inconsciente individual de cada sujeto. No resultaría menos sugerente afirmar que, tanto en los
cuentos como en los relatos contractualistas, se pone de relieve un carácter ficcionario que al
mismo tiempo cuenta con una materialización de energía psíquica profunda, que entre otros
fines va dirigido a explicitar la forma en que el hombre percibe el poder y su ejercicio. Así, no
resulta extraño que el relato contractualista hobbesiano sugiera que el “Estado es un artificio
creado por la voluntad del hombre. (…) De acuerdo con este filósofo los hombres no nacen
con un instinto natural a la sociabilidad, como lo creía Aristóteles; más bien, los hombres son
seres aislados, egoístas” (Santilla, 2016, p. 455).
Si el símbolo remite al ámbito de la actividad psíquica de representaciones por medio de la
imagen o del pensamiento indirecto, es preciso considerar su naturaleza no como un mero signo
referido a un objeto, sino como una organización instauradora de realidad, tal como lo
denominaba E. Cassirer (como se citó en Estoquera, 1998).
Ya en su Antropología filosófica, Cassirer subrayaba que era propio del hombre
interpretar la cosa apenas ésta entraba en relación con él. Cuando ello sucedía, el
individuo se hacía una representación de la misma a la que podía expresar de diversas
maneras, sea a través del signo (cuando la cosa que se refiere puede ser en última
instancia presentada); de la alegoría (cuando el significado aunque difícil de presentar
puede estar parcialmente representado); o bien, del símbolo (cuando más que del
126
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DOI: 10.5281/zenodo.6796121
significado hay que preguntarse por el sentido inalcanzable, límite de lo humano y
resultado de un inagotable proceso de elaboración sobre lo que se consideran las
cuestiones vitales de la existencia). (Solares, 2011, p. 15).
En ambos casos, cuentos y relatos contractualistas, sin ser una misma cosa, encierran toda una
simbología que remite a la forma como el hombre interpreta sus circunstancias concretas de
existencia. De este modo, resulta relevante el concepto de discurso introducido por Ricoeur
(2006)
(…) como dialéctica del acontecimiento y del sentido: el acontecimiento es la
experiencia entendida como expresión, pero es también el intercambio intersubjetivo
en sí (…). La experiencia vívida permanece en forma privada, pero su significación, su
sentido, se hace público a través del discurso. Solo la dialéctica del sentido y la
referencia dice algo sobre sobre la relación entre el lenguaje y la condición ontológica
del ser en el mundo. (p. 9-10)
El discurso marca el devenir de una sociedad. El hombre asimila y vive según un discurso. Es
la única forma como el hombre puede dar sentido y significación a la realidad. Sin embargo, la
construcción de un discurso no puede desconocer una perspectiva moral y social que anteponga
el respeto al rostro humano y a su dignidad.
La inseguridad y la incertidumbre que embargan al hombre de hoy desencadena un sentido del
miedo, afecta la mirada sobre la política, lo social, la economía, genera una conciencia que
experimenta profundas frustraciones. Con razón Chomsky (2018) señala que la irrupción del
neoliberalismo ya hace cuarenta años ha tenido sus efectos: la gente ya no se siente
representada, lleva una vida precaria, el resultado es una mezcla de enfado, miedo y escapismo,
situación que evidencia un descrédito de las instituciones. El cuento, el discurso neoliberal,
convierte en Dios al mercado y es a él a quien hay que adorar y someterse: “Las mercancías,
por cuanto mueven el desarrollo económico, determinan los procesos sociales. En ese sentido,
se trata de un fenómeno económico, tal como lo pensó Marx, pero, al mismo tiempo, uno
político que tiene consecuencias éticas y metafísicas, como establece Coccia” (Capona, 2018,
p.193).
El pensamiento inquieto y lúcido es consciente de que la historia se está escribiendo con miedo,
que se está navegando desprotegido en aguas inseguras. Pide a gritos discursos renovados, una
ficción que produzca una nueva realidad, un mundo más humano, más justo. Eso, un nuevo
cuento...
Conclusiones
Los marcos normativos son fundamentales en toda comunidad humana que aspira a
desarrollarse de una manera organizada, debido a que regulan derechos y obligaciones que
deben ser observados por los ciudadanos tanto individual como colectivamente. Mas es
criticable el encubrimiento que a propósito de ellos se puede realizar al poner máscaras que
lanzan un velo sobre formas de organización de la sociedad buscando invisibilizar relaciones
de superioridad, de poder y violencia, y hasta de explotación.
127
Díaz Gonzalo. Procesos de subjetivación cuentos de tradición oral y relatos contractualistas de la modernidad.
Las prácticas sociales generan un discurso político que surge de unas condiciones concretas de
existencia que son en sí mismas discurso. Por lo tanto, la realidad en su totalidad es a la vez
discurso y manifestación de discursos. El poder genera relatos y estos son presentados como el
único discurso posible. Toda práctica social está inscrita en un lenguaje y, este, es una práctica
social.
El poder genera un discurso y se identifica con ese discurso. Excluye todo discurso diferente.
Este discurso nace de condiciones reales de existencia que tienen que ver con un conjunto
sistemático de ideas que se han ido construyendo según intereses de clase. Esa misma clase
dice qué entender por poder y es concebido como mecanismo de reproducción de su modelo
de ideas: ideología.
Los cuentos de tradición oral y los relatos contractualistas de la modernidad son dos tipos de
discursos que guardan similitud, pero contextualizaciones epistémicas y culturales distintas:
los discursos fantástico-ficticios de los cuentos de tradición oral y los discursos hipotéticofilosóficos de los relatos contractualismo de la modernidad. Entre ambos existe una matriz
estructurante que corresponde a un inconsciente colectivo, presente en la herencia cultural que
influye decididamente en el inconsciente individual de cada sujeto. Visto así, cuentos y relatos
contractualistas, ponen de relieve un carácter ficcionario que al mismo tiempo cuenta con una
materialización de energía psíquica profunda, que va dirigido a explicitar la forma en que el
hombre percibe el poder y su ejercicio.
Referencias bibliográficas
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Praxis
Latinoamericana,
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107-116.
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Cápona, D. (2018). El papel político de la superstición y el deseo en
Espinpoza.Consideraciones actuales sobre el capitalismo. Ideas y Valores, 67(168),
177-197.
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Chomsky, N. (10 de marzo de 2018). La gente ya no cree en los hechos. El País. Recuperado
de https://elpais.com/cultura/2018/03/06/babelia/1520352987_936609.html
Díaz, G. (2012). Hay chismes que parecen cuentos pero hay cuentos que no son chismes.
Manta,
Ecuador: Editorial Mar Abierto.
Durand, G. (1968). La imaginación simbólica. Buenos Aires: Amorrortu editores
Han, B.C. (2016). Sobre el poder. Barcelona: Herder Editorial.
Han, B.C. (2017). La expulsión de lo distinto. Barcelona: Herder
Estoquera, J. M. (1998). Diccionario de hermenéutica. Bilbao: Universidad de Deusto.
Jung, C. G. (1970). Arquetipos e inconsciente colectivo. Barcelona: Editorial Paidós.
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Martínez, D., y Muñoz, W. (2018). La gubernamentalidad y el dispositivo científico-político
del riesgo: la teoría de los factores de riesgo psicosocial. Cinta de moebio, 5(62), 170181.
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Marx, C. y Engels, F. (1974). La ideología alemana. Montevideo: Ediciones Pueblos Unidos.
Parrini, R. (2007). Panópticos y laberintos. México: El Colegio de México.
Ricoeur, P. (2006). Teoría de la interpretación. Discurso y excedente de sentidoMéxico: Siglo
XXI Editores.
Santillán, J. F. (2016). David Hume y el contractualismo. Política y Sociedad, 53(2), 463-483.
Recuperado de https://revistas.ucm.es/index.php/POSO/article/view/48463/48921
Solares, B. (2011). Gilbert Durand, imagen y símbolo o hacia un nuevo espíritu antropológico.
Revista mexicana de ciencias políticas y sociales, 56(211), 13-24. Obtenido de
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Žižek, S. (2016). La nueva lucha de clases. Barcelona: Anagrama.
Contribución de los Autores
Autor
Gonzalo Díaz Troya
Contribución
Concepción y diseño, redacción del
artículo y revisión del artículo, Adquisición
de datos, análisis e interpretación.
129
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English
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An influence of track stiffness discontinuity on pantograph base vibrations and catenary–pantograph dynamic interaction
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Studia Geotechnica et Mechanica
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cc-by
| 8,401
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Research Article https://doi.org/10.2478/sgem-2019-0035
received August 20, 2019; accepted November 3, 2019. case when the one-stage vehicle suspension is used, the
pantograph base vibrations may increase the number of
contact loss events at the catenary–pantograph interface. Abstract: In this article, the computational methodology
of the catenary–train–track system vibration analysis is
presented and used to estimate the influence of vehicle
body vibrations on the pantograph–catenary dynamic
interaction. This issue is rarely referred in the literature,
although any perturbations appearing at the pantograph–
catenary interface are of great importance for high-
speed railways. Vehicle body vibrations considered in
this article are induced by the passage of train through
the track stiffness discontinuity, being a frequent cause
of significant dynamic effects. First, the most important
assumptions of the computational model are presented,
including the general idea of decomposing catenary–
train–track dynamic system into two main subsystems
and the concept of one-way coupling between them. Then, the pantograph base vibrations calculated for two
train speeds (60 m/s, 100 m/s) and two cases of track
discontinuity (a sudden increase and a sudden decrease in
the stiffness of track substrate) are analyzed. Two cases of
the railway vehicle suspension are considered – a typical
two-stage suspension and a primary suspension alone. To
evaluate catenary–pantograph dynamic interaction, the
dynamic uplift of the contact wire at steady arm and the
pantograph contact force is computed. It is demonstrated
that an efficiency of the two-stage suspension grows
with the train speed; hence, such vehicle suspension
effectively suppresses strong sudden shocks of vehicle
body, appearing while the train passes through the track
stiffness discontinuity at a high speed. In a hypothetical Keywords: catenary–train–track system, track stiffness
discontinuity, railway vehicle suspension, vibration
simulations, catenary–pantograph dynamic interaction. Studia Geotechnica et Mechanica, 2020; 42(2); 111–124 Open Access. © 2020 Danuta Bryja, Adam Hyliński, published by Sciendo.
This work is licensed under the Creative Commons
Attribution-NonCommercial-NoDerivatives 4.0 License. Open Access Open Access 1 Introduction The second method, which refers to the track–train
system, is intended for analysis of vibrations induced by
a train passage through the track stiffness discontinuity
[17, 18]. It assumes that the railway track is the Euler–
Bernoulli beam resting on a viscoelastic foundation of
the Winkler type, and the railway vehicle is a multibody
system where wheelsets, bogie frames, and a car body
are distinguished. The track with a sudden discontinuity
of substrate stiffness is discretized by the Galerkin FEM
(GFEM). The vibration simulation procedure of the catenary–
train–track system, created on the basis of two above-
mentioned methods, has been briefly described by Bryja
and Popiołek [19] and used for an initial numerical
analysis. In this article, the most important assumptions
of the assumed computational model will be presented,
including a general idea of the catenary–train–track
dynamic system decomposition into two main subsystems
and the concept of one-way coupling between them [20]. Then, time histories of the pantograph base vertical
vibrations obtained for two train speeds (60 m/s, 100 m/s)
and two cases of track discontinuity (i.e., a sudden increase
and a sudden decrease in the track substrate stiffness)
will be shown, and next, their influence on the catenary–
pantograph dynamic interaction will be examined. In
addition, two cases of the railway vehicle suspension
will be considered – a typical two-stage suspension and a
primary suspension alone (between wheelsets and bogie
frames). To evaluate the catenary–pantograph dynamic
interaction, the dynamic uplift of the contact wire at a
steady arm and the contact force exerted on the contact
wire by the pantograph head will be analyzed. The main objective of this paper is an attempt to
identify such a train passage scenario where railway
vehicle vibrations result in worsening the quality of
pantograph–catenary dynamic interaction and, thus, the
conditions of a current collection. For this purpose, the
comprehensive computational method for the vibration
simulation
of
the
combined
catenary–train–track
system is proposed. The method is specifically aimed
at the analysis of the catenary vibrations induced by
moving pantograph, accounting for vertical oscillation
of the pantograph base. As the most probable scenario
in which the pantograph base vibrations can influence
the pantograph–catenary dynamic interaction, the train
passage through the track discontinuity having the form
of a sudden change in stiffness of the track substrate is
considered in the article. 1 Introduction The proposed computational method combines two
methods developed earlier by the authors and dedicated
for separate vibration analysis of two systems: pantograph
and catenary system and railway track and vehicle system. The first method, referring to the catenary–pantograph
vibrations, has been widely described [12–15]. Its original
feature is the consistent use of the theory of flexible cables
in order to describe vibrations of catenary main structural
elements, that is, the messenger wire and the contact
wire. The validity of this method has been confirmed by
a positive result of the numerical validation conducted in
accordance with the European standard EN 50318 [16]. It
is worth noting that in recent literature, the cable theory
is very rarely used for modeling the catenary, despite
the cable nature of catenary main elements. In general,
different commercial software are commonly applied,
where the finite element method (FEM) catenary models
are created with the use of beam elements characterized
by very low flexural stiffness and subjected to axial forces. A synthetic overview of various methods for modeling the
catenary can be found in Pombo et al. [9] and Poetsch et
al. [10]. 1 Introduction Along with the development of high-speed railways, a lot
of articles on the dynamics of railway system structural
elements appeared in the literature. Many of those articles
are devoted to computational methods for simulating
coupled vibrations of the track–train system [1–3] as
well as the vibrations of catenary–pantograph system
[4–6]. However, while there is an extensive literature
coverage treating both systems separately, the research
on the whole railway system covering the flexible track
with the moving train together with the catenary is
poorly developed. This results mainly from difficulties
in modeling such complicated system, accounting for
the dynamic interaction at the contact between railway
vehicle and infrastructure. In the case of high-speed
trains, this contact occurs in two groups of places:
between vehicle wheels and rails and between collector
heads of pantographs and the contact wire of catenary. As
it is stated by Ambrósio et al. and Pombo et al. [7–9], the
dynamic phenomena occurring at these places become
more and more significant with the growing speed of
trains. They influence the operational conditions of high-
speed railways – especially the quality of current collection
through the catenary–pantograph interface. There
are many articles dealing with an analysis of dynamic
interaction between the pantograph and catenary because
it allows to evaluate the quality of current collection by
the numerical prognosis of the number of loss of contact
events [4–7, 10]. However, in a great majority, their authors *Corresponding author: Danuta Bryja, Department of Bridges and
Railways, Faculty of Civil Engineering, Wrocław University of Science
and Technology, Wybrzeże Wyspiańskiego 27, 50-370 Wrocław,
Poland, E-mail: danuta.bryja@pwr.edu.pl
Adam Hyliński, Department of Bridges and Railways, Faculty of
Civil Engineering, Wrocław University of Science and Technology,
Wybrzeże Wyspiańskiego 27, 50-370 Wrocław, Poland 112
Danuta Bryja, Adam Hyliński 112 assume that the pantograph base is immovable in a
vertical direction, although in reality, it undergoes vertical
vibrations as part of a running vehicle. It is difficult to find
an article where an impact of vehicle vibration on the
pantograph–catenary dynamic interaction is considered. The article by Pombo and Ambrosio [11] is an exception,
but it considers only one scenario, in which the vehicle
vibrations are induced by geometrical irregularities of
rails, measured experimentally. Considering that in the
case of high-speed railways the rails are of really good
quality, their irregularities can induce only slight vehicle
vibrations which have a negligible effect on the catenary. 2.1 General description of the catenary–
train–track system The simulation method used in this article assumes the
decomposition of the catenary–train–track system into
two main subsystems: (A) catenary and pantographs
and (B) track and train. The physical contact between
them is the pantograph base fixed rigidly to the vehicle
roof. Each of the highlighted main subsystems (A) and
(B), in accordance with its name, consists of two internal
subsystems, and these, in turn, consist of many elements
which are shown in Fig. 1. An influence of track stiffness discontinuity on pantograph base vibrations ... 113
Figure 1: Scheme of catenary–train–track system with distinctive particular elements. An influence of track stiffness discontinuity on pantograph base vibrations ... 113 113 Figure 1: Scheme of catenary–train–track system with distinctive particular elements. 7], while the non-linearity caused by droppers’ behavior
is accounted for. It is assumed that the contact between main
subsystems (A) and (B) is modeled by the use of one-way
coupling method which is often applied in the fluid–
structure computational mechanics, for instance [20]. For one-way coupling calculations of the fluid–structure
interaction, the fluid affects the structure motion but
the motion of structure does not affect fluid properties. Similarly, it is assumed for the considered catenary–
train–track system that the pantograph base motion
affects the catenary–pantograph subsystem, constituting
a kinematic excitation of the pantograph vibrations, but
this does not occur reversely. Vibrations of the catenary–
pantograph subsystem are not transferred to the train–
track subsystem because they do not significantly affect
a heavy railway vehicle. This approach, that is, the use
of one-way coupled simulations is consistent with the
physical behavior of the considered system and gives a
possibility for reducing the computational effort. The most significant simplifications of the assumed
computational model are as follows: (1) the model
is a flat one (two-dimensional) and (2) the complex
internal structure of the railway track is replaced by the
Euler beam resting on the homogeneous viscoelastic
foundation. The first simplification is acceptable because
the vertical motion is the dominant vibration component
of the considered catenary–train–track system; hence, a
flat model is sufficient enough to fulfill the objective of
the article which is to assess the impact of a train passage
through the track stiffness discontinuity on catenary
vibrations. 2.1 General description of the catenary–
train–track system The second simplification which consists of
omitting the internal structure of the track is also justified
because, from the research purpose viewpoint, the very
fact of an occurrence of track stiffness discontinuity is
important – not the nature of it. In each main subsystem: (A) catenary and pantographs
or (B) track and train, two internal subsystems are coupled
in a two-way manner [20], excluding the moments when
the loss of contact occurs. The contact loss is manifested by
detaching the collector head from the contact wire (in (A))
or the wheel from the rail (in (B)). Hence, for a moment,
there is no transmission of vibrations between internal
subsystems in the given main subsystem. Loss of contact
is the source of specific geometrical non-linearity in the
main subsystems. A similar type of non-linearity occurs in
the main subsystem (A) due to droppers’ behavior, because
droppers do not transfer a compression. This problem is
described in detail [4,14, 15]. In the presented simulation
method, the geometrical non-linearities due to the loss
of contact between internal subsystems are neglected,
similarly as in many publications by other authors [4, 5, 2.2 The main subsystem (A): catenary and
pantographs The assumed dynamic model of the main subsystem
(A), shown schematically in Fig. 2, is described in detail
in earlier published papers [13, 14]. Compared with the
solutions presented in the literature, the model stands
out by the consistent application of the theory of cable
vibrations in order to formulate partial differential
equations governing the motion of messenger and contact
wires. An original feature of this model is also the method
for considering the non-linear behavior of droppers. The model of the main subsystem (A) is referred to as
the catenary which consists of one contact wire and one 114
Danuta Bryja, Adam Hyliński
Figure 2: Dynamic model of the catenary- pantographs subsystem. 114
Danuta Bryja, Adam Hyliński Figure 2: Dynamic model of the catenary- pantographs subsystem. forces, can be found in Bryja and Prokopowicz [13] and
Bryja and Hyliński [14]. The excitation forces gathered
in the vector f(A)(t) depend on the static contact forces of
pantographs, moving along the catenary at the constant
speed. Dynamic increments in the moving contact
forces, being a measure of dynamic interaction between
pantographs and contact wire, are included in the time-
dependent stiffness matrix component: [K̃(t)](A)q(A)(t). In
this article, the vector f(A)(t) depends also on the dynamic
displacements WJ
p(t) and their velocities
J
p(t) at contact
points between the pantograph and contact wire, where
J denotes the pantograph number. These functions are
computed by the solver of track–train subsystem. messenger wire. The catenary section being analyzed is
composed of a given number of spans. The messenger
wire, supported slidingly on rigid supports, is represented
by a multispan flexible cable with a parabolic route
within each span (in an unloaded state). The contact wire
is treated as a straight cable (string) which is suspended
to messenger wire by flexible droppers modeled by non-
linear elastic constraints (springs). Messenger wire and
contact wire are tensed by different constant static forces. Pantographs are modeled by two-degree-of-freedom
dynamic systems. Contact between the pantograph
collector head and the contact wire is represented by a
linear contact spring that does not reflect a real behavior
of the structure because the effects due to loss of contact
are neglected in that way. However, such simplification
is often applied in the literature and is allowed by the
European standard EN 50318 [16] which gives guidelines
for vibration simulation methods of the pantograph–
catenary system. 2.2 The main subsystem (A): catenary and
pantographs In the presented model, the loss of
contact is identified by a negative value of the contact
force. The equations of motion (1) are non-linear due to
the non-linear stiffness characteristic of droppers [14]. It is assumed that the droppers are characterized by
the tensile stiffness kt=k and the residual compressive
stiffness kc=𝜅k which value is a given small percentage
of a tensile stiffness. Note, that the assumption 𝜅=0 leads
to droppers which do not carry any compression (have
zero compressive stiffness). In order to take the non-
linear droppers’ stiffness into account, two components
related exclusively to droppers have been isolated in the
general stiffness matrix: [K̂
const](A) and [K̂
dc (q(A))](A). Both
components have the same structure and satisfy the
assumption that kc= kt=k. The first component covers all
droppers of the catenary, while the second applies only
to droppers detected as being under compression at time
t (therefore, it depends on q(A)). Expression [K̂
const−(1−𝜅)
K̂
dc (q(A))](A) reduces the stiffness of droppers subjected to
compressive forces, into the value kc=𝜅k. The component
[Kconst](A) is related only to the elastic properties of
messenger and contact wires. Equations of motion of the catenary–pantographs
subsystem have been derived based on the Lagrange
equations, using the Ritz approximation method for the
catenary, as shown in Bryja and Prokopowicz [13]. They
may be written in matrix notation: (1) where an explicit form of the inertia, damping, and
stiffness matrices, as well as the vector of excitation An influence of track stiffness discontinuity on pantograph base vibrations ... 115 115 Figure 3: Schematic diagram of the track test section. Figure 4: Dynamic model of the train-track subsystem with marking vehicle degrees of freedom. Figur 3 S h
ti di
f th t
k t
t
ti Figure 3: Schematic diagram of the track test section. Figure 3: Schematic diagram of the track test section Figure 4: Dynamic model of the train-track subsystem with marking vehicle degrees of freedom. Figure 4: Dynamic model of the train-track subsystem with marking vehicle degrees of freedom. Figure 4: Dynamic model of the train-track subsystem with marking vehicle degrees of freedom. track (see Fig. 1) or bridge approaches, culverts, turnouts,
ends of tunnels, etc. A train passage through the stiffness
discontinuity of the track induces significant vibrations of
vehicles and, thus, rail vibrations [21]. 2.2 The main subsystem (A): catenary and
pantographs To solve equation (1), the unconditionally stable
variant of the Newmark numerical integration method is
applied with the use of an iterative loop for calculating the
stiffness matrix component: K̂
dc (q(A)), at each time step of
numerical integration. The method of solving the equations
of motion is described in detail in Bryja and Hyliński [14,
15]. At each time step of the simulation, the contact wire
displacements at indicated points, dynamic contact force,
etc, are generated based on general coordinates q(A) (ti)
determined at time points ti. Discrete records of resulting
time histories can be further processed. In the presented vibration simulation method, the
track stiffness discontinuity is considered leaving aside
its nature. The applied dynamic model of the train–track
main subsystem is shown in Fig. 4. It is assumed that the
railway track is the Euler–Bernoulli beam resting on the
viscoelastic foundation of the Winkler type. To transform
the generally known, partial differential equation of
the beam vibrations, into equations of motion in a time
domain, the GFEM has been adopted. This approach allows
to easily account for the track stiffness discontinuity, by
setting different stiffness and damping parameters of the
Winkler foundation over two track segments (L1 and L2). To satisfy the GFEM requirements, both ends of the whole
track section L0 have been assumed as rigidly fixed, which
is shown in Fig. 3. The entire GFEM procedure adopted in
this article has been explained by Bryja et al. [17, 22, 23]. 3.1 Step 1: vehicle body vibrations each based on two 2-axle bogies, as shown in Fig. 4. The
trainset is equipped with a maximum of two pantographs
mounted on the roof of one selected unit or two units. The pantograph base is rigidly connected with the vehicle
roof, moves at constant speed together with the train, and
vibrates only in a vertical direction. The assumed vehicle
model of 10 degrees of freedom, presented in Fig. 4,
allows to calculate vertical vibrations of the vehicle body
at the pantograph attachment point. The model consists
of seven rigid mass elements representing: vehicle body,
two rigid bogies, and four wheelsets, connected by sets of
linear springs and viscous dampers which constitute two-
stage vehicle suspension. It is assumed that the wheelsets
remain in full contact with rails during the vibrations. As
a further stage of the research, it is planned to extend the
model by introducing the Hertz contact spring between
wheelsets and rails that will allow accounting for the loss
of contact. The analysis is conducted for a hypothetical trainset
consisting of eight repetitive units (vehicles) which
include mass parameters, primary and secondary
suspension parameters, and dimensions, which are
gathered in Table 1. These parameters are taken from
Bryja et al. [23]; they reflect the typical unit of Shinkansen
high-speed train. The trainset is equipped with a single
pantograph mounted on the first unit. A theoretical point
of the pantograph base attachment lies on the vertical axis
of the leading bogie. In order to find a scenario where the
vehicle vibrations influence the catenary, a hypothetical
vehicle equipped with a primary suspension alone is
additionally considered. In the computational model,
such a hypothetical vehicle is defined by setting a very
high stiffness of the spring and zero damping parameter
in the secondary vehicle suspension. The equations of motion of the described train–track
subsystem derived in Bryja et al. [17, 22] on the basis
of equations in Bryja et al. [23], can be written in the
following general form: The calculations have been carried out for two train
speeds, 60 m/s and 100 m/s, assuming that the length of
the track section is equal to 300 m and the track stiffness
discontinuity occurs in the middle of this section. Flexural
stiffness and unit mass of the Euler beam representing two
rails are 1.2831×107 Nm2 and 1.21×102 kg/m, respectively. 3.1 Step 1: vehicle body vibrations Damping of the rail material is taken into account
assuming the retardation time of 2.1×10−5 s. (2) (2) In the simulation method, the solutions of equation (2),
that is, general coordinates q(B)(t), their velocities q̇ (B)(t),
and accelerations q̈(B)(t) are obtained by the use of the
Newmark method, and on that basis, time histories of
displacements WJ
p(t), velocities
J
p(t), and accelerations
ẄJ
p(t) of vehicle body vibrations at the pantograph base
attachment are calculated. These functions are transferred
to the catenary–pantographs solver. Based on the experience from previous research
described by Bryja and Popiołek [19], two types of track
stiffness discontinuity are considered. The type 1 is a
sudden 50-fold decrease in the stiffness of the elastic
Winkler foundation: from the value of kf to kf/50, while
type 2 means the reverse transition: from the value of
kf/50 to kf, where kf=1.1×108 N/m2 is the assumed basic
value of the Winkler foundation stiffness, specific for the
track of a very good quality (see Esveld [21]). The damping
coefficient characterizing the track foundation amounts
to 2.8667×105 Ns/m2. 2.3 The main subsystem (B): train and track The considered section of the track is straight and
horizontal, as shown in Fig. 3. Its total length L0 is divided
into two segments: L1 and L2, due to an occurrence of the
track discontinuity having the form of a sudden step change
in the track stiffness. Such track stiffness discontinuities
are usually of structural nature and exist along the track
at such places as transitions from ballasted track to slab It is assumed that the train is an electric trainset
composed of a given number of repetitive units (vehicles), 116
Danuta Bryja, Adam Hyliński 116 3 Numerical analysis, assumptions
and results Mass of fully loaded vehicle
body
3.60×104 kg
Stiffness of primary suspension
(single spring)
2.540×106 N/m
Central rotational moment of
the vehicle body mass
1.894×106 kgm2
Damping of primary suspension
(single damper)
1.963×104 Ns/m
Mass of the bogie
4.95×103 kg
Stiffness of secondary suspension
(single spring)
8.870×105 N/m
Central rotational moment of
the bogie mass
6.150×103 kgm2
Damping of secondary suspension
(single damper)
4.335×104 Ns/m
Mass of the wheelset
2.40×103 kg
Arrangement of a train Table 1: Vehicle parameters (from Bryja et al. [23]). It should be recalled that both ends of the considered
track section are fixed in the computational model, and the
vehicle before entering the track is in a static equilibrium
state (i.e., its dynamic displacements are zero). Entering
on a deformable track induces vehicle body vibrations in
the form of decaying oscillations which are visible in the
first phase of vehicle motion, in all graphs presented in
Figs. 5 and 6. This initial effect is much more intense when
the vehicle enters the track resting on a weak substrate
(kf/50) – Fig. 6. Local amplitudes of displacement,
velocity, and acceleration are then compared with those
that appear after the passage through the track stiffness
discontinuity of type 1 (change from kf to kf/50) – Fig. 5. This indicates that the track substrate with the elasticity
coefficient kf = 1.1×108 N/m2 does not differ much from a
rigid foundation, as evidenced also by a weak initial effect
that appears when the vehicle enters the track resting on
a strong substrate (kf) – Fig. 5. results demonstrate that the secondary suspension
effectively reduces accelerations of vehicle body vertical
vibrations and, thus, improves passenger comfort as well
as operational conditions of the pantograph mounted on
vehicle roof. An interesting phenomenon is observed when
comparing pantograph base displacements calculated
for the train speed of 60 m/s and 100 m/s. At the speed
of 100 m/s, local amplitudes of vibrations of the vehicle
with two-stage suspension are smaller than for one-stage
suspension, contrary to the case of 60 m/s. This is caused
by relatively long retardation time of the reaction of two-
stage suspension, due to additional dampers. 3 Numerical analysis, assumptions
and results Simulation results of vehicle body vibrations at the
point of pantograph base attachment are shown in Fig. 5
(for the track stiffness discontinuity of type 1) and Fig. 6 (for
the track stiffness discontinuity of type 2). Time histories
of displacement, velocity, and acceleration are presented
for two cases of vehicle suspension (two-stage and single-
stage suspension). The graphs on the left side relate to
the passage speed of 60 m/s, those on the right side – 100
m/s. These graphs are prepared on the same vertical scale
for both speeds, in order to facilitate a comparison of the
obtained results. Similarly, time axes are equally scaled for
both speeds, so that the time nature of vibrations can be
compared. A vertical dotted green line denotes the moment
of passing through the track stiffness discontinuity. The numerical analysis is divided into two steps, according
to the assumed decomposition of the catenary–train–
track dynamic system into two main subsystems and the
one-way coupling method used for vibration simulation
of the whole system. In the first step, time histories of the
pantograph base vibrations obtained from the track–train
solver are presented and analyzed. In the second step,
the corresponding catenary vibrations and the dynamic
contact force of the pantograph are presented in order to
evaluate the impact of vehicle vibrations on the dynamic
interaction between the pantograph and catenary. An influence of track stiffness discontinuity on pantograph base vibrations ... 117 An influence of track stiffness discontinuity on pantograph base vibrations ... 117 117 Table 1: Vehicle parameters (from Bryja et al. [23]). Mass of fully loaded vehicle
body
3.60×104 kg
Stiffness of primary suspension
(single spring)
2.540×106 N/m
Central rotational moment of
the vehicle body mass
1.894×106 kgm2
Damping of primary suspension
(single damper)
1.963×104 Ns/m
Mass of the bogie
4.95×103 kg
Stiffness of secondary suspension
(single spring)
8.870×105 N/m
Central rotational moment of
the bogie mass
6.150×103 kgm2
Damping of secondary suspension
(single damper)
4.335×104 Ns/m
Mass of the wheelset
2.40×103 kg
Arrangement of a train Table 1: Vehicle parameters (from Bryja et al. [23]). 3 Numerical analysis, assumptions
and results Comparing
the results obtained at the speed of 60 m/s and 100 m/s,
for the same two-stage suspension of the vehicle, one
can conclude that this long retardation time results in
decreasing the vehicle body vibrations as well as their
velocities and accelerations – all local amplitudes are a bit
smaller. Therefore, it is seen that a two-stage suspension
efficiency increases with the train speed. The opposite
effect appears for a single-stage suspension, especially
in the case of vibration accelerations. The intensity of
vibrations caused by a train passage through the track
stiffness discontinuity is definitely higher at the speed of
100 m/s than at 60 m/s because exclusion of secondary
suspension results in a much lower delay in the dynamic
response of the vehicle body. This is in line with an
engineers’ intuition. All these conclusions refer to both
considered types of track stiffness discontinuity. In the case of time histories obtained for the speed of
60 m/s, displacements of the vehicle without secondary
suspension are lower than for a vehicle with two-stage
suspension but velocities and accelerations are higher,
which is consistent with practice. In particular, the
maximum absolute value of vibration acceleration is more
than twice higher in relation to the train with two-stage
suspension. This effect is even greater at a speed of 100
m/s. It shows the intensity of the impulse load induced
by a high-speed passage through the track stiffness
discontinuity and also confirms the need to use a two-
stage suspension in high-speed trains. 3 Numerical analysis, assumptions
and results An influence of track stiffness discontinuity on pantograph base vibrations ... 119 Pantograph base vibrations
Track stiffness discontinuity of type 2 (from kf/50 to kf )
Train speed: 60 m/s
Train speed: 100 m/s
-8.0
-6.0
-4.0
-2.0
0.0
2.0
4.0
6.0
8.0
10.0
12.0
14.0
16.0
18.0
0.0
1.0
2.0
3.0
4.0
5.0
Displacement [mm]
Time [s]
-8.0
-6.0
-4.0
-2.0
0.0
2.0
4.0
6.0
8.0
10.0
12.0
14.0
16.0
18.0
0.0
1.0
2.0
3.0
Displacement [mm]
Time [s]
-0.12
-0.09
-0.06
-0.03
0.00
0.03
0.06
0.09
0.12
0.0
1.0
2.0
3.0
4.0
5.0
Velocity [m/s]
Time [s]
-0.12
-0.09
-0.06
-0.03
0.00
0.03
0.06
0.09
0.12
0.0
1.0
2.0
3.0
Velocity [m/s]
Time [s]
-1.8
-1.5
-1.2
-0.9
-0.6
-0.3
0.0
0.3
0.6
0.9
1.2
1.5
1.8
0.0
1.0
2.0
3.0
4.0
5.0
Acceleration [m/s2]
Time [s]
-1.80
-1.50
-1.20
-0.90
-0.60
-0.30
0.00
0.30
0.60
0.90
1.20
1.50
1.80
0.0
1.0
2.0
3.0
Acceleration [m/s2]
Time [s]
Figure 6: Displacements, velocities and accelerations of the pantograph base, during a passage
through the track stiffness discontinuity, depending on the suspension parameters of the vehicle:
vehicle with two-stage suspension, vehicle without secondary suspension
Figure 6: Displacements, velocities and accelerations of the pantograph base, during a passage through the track stiffness disc
depending on the suspension parameters of the vehicle: blue color line indicates vehicle with two-stage suspension and red co
indicates vehicle without secondary suspension. 3 Numerical analysis, assumptions
and results The obtained 118
Danuta Bryja, Adam Hyliński 118 Pantograph base vibrations
Track stiffness discontinuity of type 1 (from kf to kf/50) Track stiffness discontinuity of type 1 (from kf to kf/50)
Train speed: 60 m/s
Train speed: 100 m/s
-8.0
-6.0
-4.0
-2.0
0.0
2.0
4.0
6.0
8.0
10.0
12.0
14.0
16.0
18.0
0.0
1.0
2.0
3.0
4.0
5.0
Displacement [mm]
Time [s]
-8.0
-6.0
-4.0
-2.0
0.0
2.0
4.0
6.0
8.0
10.0
12.0
14.0
16.0
18.0
0.0
1.0
2.0
3.0
Displacement [mm]
Time [s]
-0.12
-0.09
-0.06
-0.03
0.00
0.03
0.06
0.09
0.12
0.0
1.0
2.0
3.0
4.0
5.0
Velocity [m/s]
Time [s]
-0.12
-0.09
-0.06
-0.03
0.00
0.03
0.06
0.09
0.12
0.0
1.0
2.0
3.0
Velocity [m/s]
Time [s]
-1.8
-1.5
-1.2
-0.9
-0.6
-0.3
0.0
0.3
0.6
0.9
1.2
1.5
1.8
0.0
1.0
2.0
3.0
4.0
5.0
Acceleration [m/s2]
Time [s]
-1.8
-1.5
-1.2
-0.9
-0.6
-0.3
0.0
0.3
0.6
0.9
1.2
1.5
1.8
0.0
1.0
2.0
3.0
Accleration [m/s2]
Time [s]
Figure 5: Displacements, velocities and accelerations of the pantograph base, during a passage
through the track stiffness discontinuity, depending on the vehicle suspension:
vehicle with two-stage suspension, vehicle without secondary suspension
Figure 5: Displacements, velocities and accelerations of the pantograph base, during a passage through the track stiffness d
depending on the vehicle suspension: blue color line indicates vehicle with two-stage suspension and red color line indicate
without secondary suspension. p
-8.0
-6.0
-4.0
-2.0
0.0
2.0
4.0
6.0
8.0
10.0
12.0
14.0
16.0
18.0
0.0
1.0
2.0
3.0
Displacement [mm]
Time [s] Displacement [mm] -0.12
-0.09
-0.06
-0.03
0.00
0.03
0.06
0.09
0.12
0.0
1.0
2.0
3.0
Velocity [m/s]
Time [s] -1.8
-1.5
-1.2
-0.9
-0.6
-0.3
0.0
0.3
0.6
0.9
1.2
1.5
1.8
0.0
1.0
2.0
3.0
4.0
5.0
Acceleration [m/s2]
Time [s] -1.8
-1.5
-1.2
-0.9
-0.6
-0.3
0.0
0.3
0.6
0.9
1.2
1.5
1.8
0.0
1.0
2.0
3.0
Accleration [m/s2]
Time [s] Figure 5: Displacements, velocities and accelerations of the pantograph base, during a passage
through the track stiffness discontinuity, depending on the vehicle suspension:
vehicle with two-stage suspension, vehicle without secondary suspension
Figure 5: Displacements, velocities and accelerations of the pantograph base, during a passage through the track stiffness discontinuity,
depending on the vehicle suspension: blue color line indicates vehicle with two-stage suspension and red color line indicates vehicle
without secondary suspension. 3 Numerical analysis, assumptions
and results -8.0
-6.0
-4.0
-2.0
0.0
2.0
4.0
6.0
8.0
10.0
12.0
14.0
16.0
18.0
0.0
1.0
2.0
3.0
Displacement [mm]
Time [s] -0.12
-0.09
-0.06
-0.03
0.00
0.03
0.06
0.09
0.12
0.0
1.0
2.0
3.0
4.0
5.0
Velocity [m/s]
Time [s] -0.12
-0.09
-0.06
-0.03
0.00
0.03
0.06
0.09
0.12
0.0
1.0
2.0
3.0
Velocity [m/s]
Time [s] -1.8
-1.5
-1.2
-0.9
-0.6
-0.3
0.0
0.3
0.6
0.9
1.2
1.5
1.8
0.0
1.0
2.0
3.0
4.0
5.0
Acceleration [m/s2]
Time [s] -1.80
-1.50
-1.20
-0.90
-0.60
-0.30
0.00
0.30
0.60
0.90
1.20
1.50
1.80
0.0
1.0
2.0
3.0
Acceleration [m/s2]
Time [s] Figure 6: Displacements, velocities and accelerations of the pantograph base, during a passage
through the track stiffness discontinuity, depending on the suspension parameters of the vehicle:
vehicle with two-stage suspension, vehicle without secondary suspension
Figure 6: Displacements, velocities and accelerations of the pantograph base, during a passage through the track stiffness discontinuity,
depending on the suspension parameters of the vehicle: blue color line indicates vehicle with two-stage suspension and red color line
indicates vehicle without secondary suspension. 120 120
Danuta Bryja, Adam Hyliński It should be noted that the assumed track length
preceding the track stiffness discontinuity (i.e., 150 m)
is too short as the initial vehicle body oscillation is not
completely decayed, especially in the case shown in Fig. 6. Hence, the dynamic effect caused by a train passage
through the track stiffness discontinuity is amplified
because of overlapping the initial vibrations induced by
entering the track. However, this amplification is advisable;
it may help to identify such a train passage scenario in
which the vibrations of a railway vehicle considerably
influence the pantograph–catenary dynamic interaction. For this purpose, all solutions presented in Figs. 5 and 6
will be examined in the second step of numerical analysis. the length of the track section considered. The material
and geometric characteristics of the catenary structural
elements and pantograph parameters are summarized in
Table 2. To analyze the catenary vibrations, the contact wire
uplift at the right steady arm of the middle catenary span
is examined, due to the localization directly behind the
place where the stiffness discontinuity appears in the
track. In turn, the dynamic interaction between the
pantograph and catenary is analyzed based on time
histories of the pantograph contact force. The simulation
results for different scenarios of a train passage are
presented in Figs. 3 Numerical analysis, assumptions
and results 7 and 8, following the pantograph
position that changes in time. Fig. 7 shows the time
histories generated for the track stiffness discontinuity of
type 1, while Fig. 8 is related to discontinuity of type 2. As
previously, the location of the track stiffness discontinuity
is indicated by a dotted vertical green line. As a reference,
the corresponding time histories obtained without taking
the vehicle body vibrations into account are shown. All
graphs illustrate the same fragment of time histories,
where the pantograph moves along the third, fourth, and
half of the fifth span. 3.2 Step 2: catenary vibrations The second step of numerical analysis is devoted to an
evaluation of the impact of pantograph base vertical
oscillations, induced by train passages through the track
stiffness discontinuity, on catenary vibrations. According
to the assumed research methodology, vehicle body
vibrations at the pantograph base attachment point,
obtained in the first step of numerical analysis, have
been transferred to the solver of pantograph–catenary
subsystem, constituting the kinematical excitation of the
pantograph vibrations. While simulating the pantograph–
catenary vibrations, the time step of numerical integration
of equations of motion has been taken the same as the
time step of recording the simulation results obtained
from the train–track solver. The obtained results demonstrate that the vehicle
body vibrations induced by crossing the track stiffness
discontinuity do not considerably influence the catenary
vibrations. Differences between time histories of the
contact wire uplift are almost unnoticeable. In case of
the dynamic contact force, the influence of vehicle body
vibrations is more noticeable, but it is relevant only in one-
load scenario, in which the train without the secondary
suspension passes the track stiffness discontinuity of type
1 at the speed of 100 m/s (Fig. 8). Under these conditions,
an additional peak of the contact force oscillation is It is assumed that the test section of the catenary
consists of five identical spans with a length of 60 m
each, which gives a total length of 300 m being equal to Table 2: Catenary and pantograph parameters. Table 2: Catenary and pantograph parameters. Messenger wire specific mass
1.07 kg/m
Mass of the pantograph collector head
7.2 kg
Messenger wire tension
16 kN
Mass of the pantograph articulated frame
15.0 kg
Messenger wire axial stiffness
12 MN
Pantograph static force
120 N
Contact wire specific mass
1.35 kg/m
Stiffness of the upper spring of the pantograph
4200 N/m
Contact wire tension
20 kN
Stiffness of the lower spring of the pantograph
50 N/m
Dropper tensile stiffness
100 kN/m
Parameter of the upper damper of the
pantograph
10 Ns/m
Single span length
60 m
Parameter of the lower damper of the
pantograph
90 Ns/m
Number of droppers within span
9
Stiffness of the contact spring
50 kN/m
Material damping coefficient of the messenger wire
0.5%
Material damping coefficient of the contact wire
0.5% An influence of track stiffness discontinuity on pantograph base vibrations ... 3.2 Step 2: catenary vibrations 122
Danuta Bryja, Adam Hyliński Track stifness discontinuity of type 2 (from kf/50 to kf) Track stifness discontinuity of type 2 (from kf/50 to kf)
Train speed: 60 m/s
Train speed: 100 m/s
-100
-80
-60
-40
-20
0
20
120
150
180
210
240
270
Displacement [mm]
Current pantograph location [m]
Contact wire uplift (negative displacement)
Train speed:
100 m/s
Train speed:
60 m/s
-50
0
50
100
150
200
250
120
150
180
210
240
270
Contact force [N]
Current pantograph location [m]
Pantograph contact force
-50
0
50
100
150
200
250
120
150
180
210
240
270
Contact force [N]
Current pantograph location [m]
Pantograph contact force
Figure 8: Contact wire uplift at the right steady arm of the middle catenary span
and the pantograph contact force, computed under the following conditions:
vehicle vibrations are not taken into account,
vehicle with two-stage suspension,
vehicle without secondary suspension
Figure 8: Contact wire uplift at the right steady arm of the middle catenary span and the pantograph contact force, computed under th
following conditions: yellow color line indicates a case when vehicle vibrations are not taken into account, blue color line indicates ve
with two-stage suspension, and red color line indicates vehicle without secondary suspension. 3.2 Step 2: catenary vibrations 121 Track stifness discontinuity of type 1 (from kf to kf/50)
-100
-80
-60
-40
-20
0
20
120
150
180
210
240
270
Displacement [mm]
Current pantograph location [m]
Contact wire uplift (negative displacement)
Train speed:
100 m/s
Train speed:
60 m/s Track stifness discontinuity of type 1 (from kf to kf/50)
Train speed: 60 m/s
Train speed: 100 m/s
-100
-80
-60
-40
-20
0
20
120
150
180
210
240
270
Displacement [mm]
Current pantograph location [m]
Contact wire uplift (negative displacement)
Train speed:
100 m/s
Train speed:
60 m/s
-50
0
50
100
150
200
250
120
150
180
210
240
270
Contact force [N]
Current pantograph location [m]
Pantograph contact force
-50
0
50
100
150
200
250
120
150
180
210
240
270
Contact force [N]
Current pantograph location [m]
Pantograph contact force
Figure 7: Contact wire uplift at the right steady arm of the middle catenary span
and the pantograph contact force, computed under the following conditions:
vehicle vibrations are not taken into account,
vehicle with two-stage suspension,
vehicle without secondary suspension
Figure 7: Contact wire uplift at the right steady arm of the middle catenary span and the pantograph contact force, computed under th
following conditions: yellow color line indicates a case when vehicle vibrations are not taken into account, blue color line indicates ve
with two-stage suspension, and red color line indicates vehicle without secondary suspension. Current pantograph location [m] Train speed: 60 m/s
-50
0
50
100
150
200
250
120
150
180
210
240
270
Contact force [N]
Current pantograph location [m]
Pantograph contact force Pantograph contact force Train speed: 100 m/s
-50
0
50
100
150
200
250
120
150
180
210
240
270
Contact force [N]
Current pantograph location [m]
Pantograph contact force Pantograph contact force Pantograph contact force Figure 7: Contact wire uplift at the right steady arm of the middle catenary span
and the pantograph contact force, computed under the following conditions:
vehicle vibrations are not taken into account,
vehicle with two stage suspension
Figure 7: Contact wire uplift at the right steady arm of the middle catenary span and the pantograph contact force, computed under the
following conditions: yellow color line indicates a case when vehicle vibrations are not taken into account, blue color line indicates vehicle
with two-stage suspension, and red color line indicates vehicle without secondary suspension. 3.2 Step 2: catenary vibrations Track stifness discontinuity of type 2 (from kf/50 to kf)
-100
-80
-60
-40
-20
0
20
120
150
180
210
240
270
Displacement [mm]
Current pantograph location [m]
Contact wire uplift (negative displacement)
Train speed:
100 m/s
Train speed:
60 m/s Contact wire uplift (negative displacement) Train speed: 60 m/s
-40
-20
0
20
120
150
180
210
240
270
Displacement [
Current pantograph location [m]
Train speed:
60 m/s
-50
0
50
100
150
200
250
120
150
180
210
240
270
Contact force [N]
Current pantograph location [m]
Pantograph contact force Current pantograph location [m] p
-50
0
50
100
150
200
250
120
150
180
210
240
270
Contact force [N]
Current pantograph location [m]
Pantograph contact force Train speed: 100 m/s p
-50
0
50
100
150
200
250
120
150
180
210
240
270
Contact force [N]
Current pantograph location [m]
Pantograph contact force Figure 8: Contact wire uplift at the right steady arm of the middle catenary span
and the pantograph contact force, computed under the following conditions:
vehicle vibrations are not taken into account,
vehicle with two-stage suspension
Figure 8: Contact wire uplift at the right steady arm of the middle catenary span and the pantograph contact force, computed under the
following conditions: yellow color line indicates a case when vehicle vibrations are not taken into account, blue color line indicates vehicle
with two-stage suspension, and red color line indicates vehicle without secondary suspension. An influence of track stiffness discontinuity on pantograph base vibrations ... 123 observed in the last phase of the pantograph run (from
240 m to 270 m), which leads to a strong local decrease
in the contact force and thus to loss of contact (the loss of
contact occurs when the contact force is zero or negative). It means that the railway vehicle vibrations might increase
the probability of loss of contact between pantograph
head and contact wire, but the two-stage suspension used
in high-speed trains effectively prevents such incidents. exerted on the overhead contact line by the pantograph
head is observable. It was demonstrated that in the case
of using the one-stage suspension in the train running at
high speed, pantograph base vibrations may increase the
number of contact loss events being highly undesirable
due to the occurrence of electric arcing that causes surface
damages of the contact wire and pantograph head strips. References [1]
Zhai, W., Wang, K., Cai, C. (2009). Fundamentals of vehicle–
track coupled dynamics. Vehicle System Dynamics, 47(11),
1349-1376. The numerical analysis of vibrations of the catenary–
train–track system, presented in this article, leads to
the conclusion that in the case of high-speed trains with
typical two-stage suspension, the vehicle body vibrations
induced by a sudden 50-fold change in the track stiffness
do not transfer to the catenary and do not significantly
affect the pantograph–catenary dynamic interaction. It was demonstrated that the efficiency of the two-
stage suspension increases with the train speed; hence,
such vehicle suspension effectively suppresses strong
sudden shocks of the vehicle body appearing while the
train passes through the track stiffness discontinuity
at a high speed. It was also shown that removing the
secondary vehicle suspension significantly changes a
vehicle dynamic response. Vibrations of the pantograph
base mounted on vehicle roof are more clearly of impulse
response nature and are characterized by much higher
accelerations. The intensity of this dynamic effect
increases with the train speed. Even in this case, vehicle
vibrations do not influence the dynamic displacements of
the catenary. However, their impact on the contact force [2] Galvín, P., Romero, A., Domínguez, J. (2010). Vibrations
induced by HST passage on ballast and non-ballast tracks. Soil
Dynamics and Earthquake Engineering, 30, 862-873. [3] Yang, X., Gu, S., Zhou, S., Yang, J., Zhou, Y., Lian, S. (2015). Effect of track irregularity on the dynamic response of a slab
track under a high-speed train based on the composite track
element method. Applied Acoustics, 99, 72-84. [3] Yang, X., Gu, S., Zhou, S., Yang, J., Zhou, Y., Lian, S. (2015). Effect of track irregularity on the dynamic response of a slab
track under a high-speed train based on the composite track
element method. Applied Acoustics, 99, 72-84. [4] Cho, Y. H. (2008). Numerical simulation of the dynamic
responses of railway overhead contact lines to a moving
pantograph, considering a nonlinear dropper. Journal of Sound
and Vibration, 315, 433-454. [4] Cho, Y. H. (2008). Numerical simulation of the dynamic
responses of railway overhead contact lines to a moving
pantograph, considering a nonlinear dropper. Journal of Sound
and Vibration, 315, 433-454. [5]
Cho, Y. H., Lee, K., Park Y., Kang, B., Kim, K. (2010). Influence of
contact wire pre- sag on the dynamics of pantograph–railway
catenary. International Journal of Mechanical Sciences, 52,
1471-1490. 4 Conclusions In this article, the research methodology of the catenary–
train–track system vibration analysis is presented and
used to estimate the influence of vehicle body vertical
motion on the pantograph–catenary dynamic interaction. This issue is rarely referred in the literature, although
any perturbations appearing at the pantograph–catenary
interface are of great importance for the operation of high-
speed trains because they may lead to loss of contact
and thus to energy supply disruption. It follows from the
literature that the geometrical irregularities of the track
have a small effect on the quality of pantograph–catenary
dynamic interaction [11]. Therefore, another problem
was considered in this article. To find a train passage
scenario that may worsen the operational conditions at
the pantograph–catenary interface, the track stiffness
discontinuity being the most frequent cause of significant
vehicle vibration has been analyzed. 3.2 Step 2: catenary vibrations It should be emphasized that the presented numerical
analysis of the overhead contact line vibrations was
limited only to displacement analysis although, in
the considered case, the kinematic excitation of
the pantograph vibrations is manifested mainly in
accelerations. Considering that a train passage through
the track stiffness discontinuity results in vehicle body
vibrations of fairly small amplitudes of displacements and
significant acceleration amplitudes, it can be supposed
that a similar effect may exist in catenary vibrations. It
means that the track stiffness discontinuity influence may
be more apparent in accelerations of catenary vibrations
than in the displacements, just like in the case of the
vehicle body. This problem will be the subject of further
research, which will be possible after supplementing the
vibration simulation method of the catenary–pantograph
subsystem with the option for calculating the vibration
accelerations. References [6] Massat, J-P., Laurent, C., Bianchi, J-P., Balmès, E. (2014). Pantograph catenary dynamic optimisation based on advanced
multibody and finite element co-simulation tools. Vehicle
System Dynamics, 52(Supplement), 338-354. [7]
Ambrósio, J., Pombo, J., Pereira, M., Antunes, P. and Mósca,
A. (2012). Recent developments in pantograph-catenary 124 124
Danuta Bryja, Adam Hyliński track with a stiffness discontinuity. In J. Kruis, Y. Tsompanakis
& B.H.V. Topping (Eds.), Proc. of the Fifteenth Int. Conf. on Civil,
Structural and Environmental Engineering Computing, Prague
- Czech Republic, 1-4 September 2015, (pp. 1-13). Stirlingshire,
Scotland: Civil-Comp Press. track with a stiffness discontinuity. In J. Kruis, Y. Tsompanakis
& B.H.V. Topping (Eds.), Proc. of the Fifteenth Int. Conf. on Civil,
Structural and Environmental Engineering Computing, Prague
- Czech Republic, 1-4 September 2015, (pp. 1-13). Stirlingshire,
Scotland: Civil-Comp Press. interaction modelling and analysis. Journal of Theoretical and
Applied Mechanics, 1(1), 249-278. [8] Ambrósio, J., Pombo, J., Pereira, M., Antunes, P., Mósca, A. (2012). A computational procedure for the dynamic analysis
of the catenary-pantograph interaction in high- speed trains. Journal of Theoretical and Applied Mechanics, 50(3), 681-699. [23] [23] Bryja, D., Hołubowski, R., Gisterek, I. (2014). Railroad vehicle
modelling in probabilistic vibration analysis of a railway bridge
with randomly fluctuating track ballast stiffness. In A. Cunha et
al (Eds.), Proc. of the Ninth European Conference on Structural
Dynamics EURODYN 2014, Porto - Portugal, 30 June – 2 July,
(pp. 2737-2744). Porto: Clássica, Artes Gráficas. [9] Pombo, J., Antunes, P., Ambrósio, J. (2012). A study on multiple
pantograph operations for high-speed catenary contact. In B. H. V. Topping (Ed.), Proceedings of the Eleventh International
Conference on Computational Structures Technology (paper
139). Stirlingshire, Scotland: Civil-Comp Press. [10] Poetsch G., Evans J., Meisinger R., Kortüm W., Baldauf W., Veitl
A., Wallaschek J. (1997). Pantograph/catenary dynamics and
control. Vehicle System Dynamics, 28, 159-195. [11] Pombo, J., Ambrosio, J. (2013). Environmental and track
perturbations on multiple pantograph interaction with
catenaries in high-speed trains. Computers and Structures,
124, 88-101. [12] Bryja, D., Popiołek (Hyliński), A. (2017). Analiza drgań wieszara
cięgnowego jako modelu kolejowej sieci trakcyjnej obciążonej
ruchem pantografów. Journal of Civil Engineering, Environment
and Architecture, 34(2), 177-190. [13] Bryja, D., Prokopowicz, D. (2016). Dyskretno-ciągły model
obliczeniowy sprzężonego układu dynamicznego: pantograf
- napowietrzna sieć trakcyjna. Przegląd Komunikacyjny. 71(5),
44-51. [14] Bryja, D., Hyliński, A. (2019). Droppers’ stiffness influence
on dynamic interaction between the pantograph and railway
catenary. Railway Reports, 63(183), 89-98. References [15] Bryja, D., Popiołek (Hyliński), A. (2018). Numeryczna symulacja
drgań sieci trakcyjnych na liniach KDP, z uwzględnieniem
nieliniowej pracy linek wieszakowych. In P. Kozioł, A. Szarata
& W. Drozd (Eds.), Inżynieria kolejowa - szanse i wyzwania
(pp. 55-76). Kraków, Poland: Wydawnictwo Politechniki
Krakowskiej. [16] CENELEC. (2002). EN 50318:2002 Railway applications –
Current collection systems –Validation of simulation of the
dynamic interaction between pantograph and overhead contact
line. Brussels: Central Secretariat of European Committee for
Electrotechnical Standardization. [17] Bryja, D., Gisterek, I., Popiołek (Hyliński), A. (2015). Analiza
numeryczna wpływu nierówności progowej na drgania toru
kolejowego spowodowane przejazdem pociągu dużych
prędkości. Inżynieria i Budownictwo, 71(10), 532-536. [18] Bryja, D. Popiołek (Hyliński), A. (2015). Analiza drgań pojazdów
kolejowych w trakcie ich przejazdu przez nierówność progową
toru. Przegląd Komunikacyjny, 70(9), 68-72. [19] Bryja, D., Popiołek (Hyliński), A. (2018). Drgania sieci trakcyjnej
spowodowane przejazdem pociągu dużych prędkości przez
nierówność progową toru kolejowego. Przegląd komunikacyjny,
73(6), 7-12. [20] Benra, F. K., Dohmen, H. J., Pei, J., Schuster, S., & Wan, B. (2011). A comparison of one-way and two-way coupling
methods for numerical analysis of fluid-structure
interactions. Journal of Applied Mathematics, 2011,
doi:10.1155/2011/853560. [21] Esveld, C. (2014). Modern Railway Track. Zaltbommel: MRT-
Productions. [22] Bryja, D., Gisterek, I., Popiołek (Hyliński), A. (2015). A
computational method for acceleration analysis of a railway
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MANAGEMENT LEADERSHIP STYLE ON EMPLOYEE SATISFACTION IN COMMERCIAL BANKS, COUNTY GOVERNMENT OF KAKAMEGA; KENYA
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The strategic journal of business & change management
| 2,022
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cc-by
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MANAGEMENT LEADERSHIP STYLE ON EMPLOYEE SATISFACTION IN COMMERCIAL BANKS, COUNTY
GOVERNMENT OF KAKAMEGA; KENYA MANAGEMENT LEADERSHIP STYLE ON EMPLOYEE SATISFACTION IN COMMERCIAL BANKS, COUNTY
GOVERNMENT OF KAKAMEGA; KENYA MANAGEMENT LEADERSHIP STYLE ON EMPLOYEE SATISFACTION IN COMMERCIAL BANKS, COUNTY
GOVERNMENT OF KAKAMEGA; KENYA Shinavuli, A. M., Kadima, M. J., & Juma, D. 1 Shinavuli, A. M., 2 Kadima, M. J., & 3 Juma, D. 1 Master Student: Jomo Kenyatta University of Agriculture and Technology [JKUAT], Kenya
2 Lecturer, Jomo Kenyatta University of Agriculture and Technology [JKUAT], Kenya
3 Doctor, Lecturer, Jomo Kenyatta University of Agriculture and Technology [JKUAT], Kenya Accepted: January 4, 2022 Shinavuli, A. M., Kadima, M. J., & Juma, D. Shinavuli, A. M., Kadima, M. J., & Juma, D. Vol. 9, Iss. 1, pp 31 – 44. January 7, 2022. www.strategicjournals.com, ©Strategic Journals CITATION: Shinavuli, A. M., Kadima, M. J., & Juma, D. (2022). Management leadership style on employee
satisfaction in commercial banks, county government of Kakamega; Kenya. The Strategic Journal of Business
& Change Management, 9 (1), 31 – 44. INTRODUCTION An organization’s culture is the systematic way
employees, leaders, and work groups behave and
interact with each other. Company’s culture is
collectively composed of values, beliefs, norms,
language, symbols, and habits. It encompasses “a
set of structures, routines, rules and norms that
guide and constrain behaviour” (Northouse, 2018). Another successful and perhaps more specific-
definition of organizational culture have been given
by Kisi (2019); according to which “organizational
culture is a set of values, symbols and rituals,
shared by the members of a specific firm, which
describes the way things are done in an
organization in order to solve both internal
management problems and those related to
customers, suppliers and environment”. Madhanga
(2018) has noted some common features among
the
definitions
that
have
been
given
to
organizational culture through the years. First of all,
they all include the concept of sharing; indicating
that organizational culture is only developed within
groups (even small ones). Secondly, organizational
culture is considered to be a social construction,
related to each organizations and employees’
location, history, working environment and specific
events. Finally, many definitions imply that
organizational culture is multidimensional and
multileveled and includes many cognitive and
symbolic strata. Ludviga and Kalvina (2016) suggested, globally, the
aspect of job satisfaction among employees is
highly illuminated as a result of the intense
competition
arising
from
globalization
and
technological
advancement. Among
financial
institutions, employee job satisfaction is a major
determinant of the survival, demise and growth of
the organization. Financial institutions where
employees are satisfied with the workplace have
witnessed rapid growth and expansion, despite the
existing challenges. In an organizational setting,
employee job satisfaction is considered crucial as it
is one of the parameters that determine the success
of an organization. Famakin and Abisuga (2016)
stated that path-goal leadership style influences the
commitment
and
levels
of
satisfaction
of
employees. Famakin and Abisuga further added
that only 20% of managers in commercial banks in
developing economies have embraced leadership
styles under the umbrella of path-goal theory in the
context of their operations. Alomori (2016) has noted that in modern societies
and
technology-based
business
organizations
“culture is becoming increasingly important given
the adoption of groupware applications, enterprise
resource planning systems and other internet-based
systems by organizations, which support cross
collaboration and require greater user participation
at all levels”. Furthermore, it can be said that
organizational culture is a complex phenomenon, a
product of dynamic social process. ABSTRACT Management Leadership Style is normally a function of Organization Culture that reflects basic assumptions
and beliefs that are shared by members of the organization. Current statistics in the Commercial Bank sector
shows that there are indeed high levels of labour turnover in the Banking sector. The objective of the study
was to determine the influence of management Leadership Style on employee satisfaction of the Commercial
Banks in the County Government of Kakamega; Kenya. The study employed Descriptive research design. The
target population were the employees of Commercial Banks in the County Government of Kakamega; Kenya. Sample applied, was determined by use of Krejcie and Morgan Formula. The questionnaire was the
instrument for primary data collection. Quantitative data was analyzed using descriptive statistics (means
and other central tendencies) and presented through percentages, means, standard deviations and
frequencies. Inferential statistics was applied to carry out correlations analysis, bivariate and multiple linear
regression analyses to test for degree of association (correlation) between and among variables in relation to
the influence of management leadership style to Employee Satisfaction in the County Government of
Kakamega; Kenya. The results of the study indicated Management Leadership Style has significant influence
on Employee Satisfaction of Commercial Banks in the County Government of Kakamega; Kenya. Key Words: Management Leadership Style, Organization Culture, Employee Satisfaction CITATION: Shinavuli, A. M., Kadima, M. J., & Juma, D. (2022). Management leadership style on employee
satisfaction in commercial banks, county government of Kakamega; Kenya. The Strategic Journal of Business
& Change Management, 9 (1), 31 – 44. The Strategic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjourna employees, through creation of motivating working
atmosphere, through inculcating a sense of
cooperation, creative division of labour, offering
guidance where needed and through creation of
effective levels of communication. According to
Famakin and Abisuga (2016) on conducting a study
of the effect of path-goal leadership styles on levels
of employee commitment in construction entities in
China, the study established a strong association
between supportive and achievement-oriented
leadership style, and effective and continuing
commitment. Further, supportive leadership style,
had significant influence on effective commitment
of employees. There was no significant relationship
between the leadership styles under the path-goal
theory and normative commitment of employees. Therefore, organization leadership should instill a
sense of supportive commitment as an attempt at
inducing job satisfaction. INTRODUCTION Salonova and Sanui (2016) embraced Management
leadership style being a way of life operating
throughout the enterprise and permits an executive
to rely on the initiative of the personnel of an In the study by Graen (2013) on management
leadership styles, leadership impacts on the ability
of an organization to achieve its performance
targets through improvement of the morale of the Page: - 32 -
The Strategic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.com egic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.com emphasized that organizational sub-cultures may
exist independently of organizational culture, and
that a small work group may have its own distinct
set of values, beliefs and attributes. It has been
further suggested that if Management Leadership is
not articulated strongly enough, the subculture may
take precedence over the organizational culture for
individual employees and thus affecting the
employee’s performance and more so satisfaction. Most scholars among them; Oketch et al., (2018)
established that Management Leadership Style has
a positive correlation and meaningful impact on the
employee satisfaction and ultimately improved
performance of the organization. Other scholars
including Zafar and Vikramjeet (2017) studied the
relationship between Management Leadership Style
and Employee Satisfaction and established positive
significant correlation, other scholars among them;
Behzadi et al., (2012) found no relationship
between
Management
Leadership
Style
and
Employee Satisfaction, where as Khalid et al., (2012)
found moderate relationship between the similar
variables; hence, dispersion of results from scholars
gave a rise of a researchable gap that this study
undertook. entity; hence, effective management style is the
extent
to
which
a
leader
continually
and
progressively leads and directs followers to a
predetermined destination agreed upon by the
whole group. It is the manner of approach to issues
of the managers towards achieving the goals of
their
organization
by
transforming
various
resources available to any organization into output
through the functions of management. Kagwiria
(2016) considered management style as the
distinctive way in which an organization makes
decisions and discharges various functions of goal
setting, formulation, implementation of strategy,
corporate image building, dealing with key
stakeholders
and
other
basic
management
activities. Management consists of the planning, prioritizing,
and
organizing
work
efforts
to
accomplish
objectives within a business organization. A
management leadership style is the particular way
managers go about accomplishing these objectives. INTRODUCTION It encompasses the way they make decisions, how
they plan and organize work, and how they exercise
authority (Vahedi & Asadi, 2014). Management
leadership styles vary by company, level of
management, and even from person to person. A
good leader is one that can adjust their
management style to suit different environments
and employees. An individual’s management style is
shaped by many different factors including internal
and external business environments, and how one
views the role of work in the lives of employees
(Yusuf, Muhammed & Kazeem, 2014). Objectives of the Study The study determine the influence of Management
Leadership Style on Employee’s Satisfaction in the
Commercial Banks in the County Government of
Kakamega; Kenya. The study was guided by the following Research
Hypothesis;
H01: There is no significant influence between
Management Leadership Style on Employee
Satisfaction in the Commercial Banks in the Statement of the Problem In the study by Mwenda (2017) on culture of an
organization, the culture of an organization has an
important impact on its performance. Management
Leadership
style
being
a
function
of
the
Organization Culture has stood a chance for study
by many scholars; hence, the difference between
organizational success and failure significantly
depends on Management Leadership Style that
impacts on organizational operation. Kagwiria
(2016)
embraces
several
researches
have County Government of Kakamega; Kenya Organization Culture Theory The organization culture theory was proposed by
Schein in 1988. The theory states that culture exists
in three levels which are artifacts, values and egic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.com underlying
assumptions. Artifacts
deal
with
organizational attributes which are visible, tangible
and can also be heard. Values are espoused goals,
ideals, norms, standards and also moral principles. Underlying assumptions deal with phenomena that
remain unexplained when insiders are asked
regarding the values of the organizational culture. The principles of this theory underscore the
importance of acknowledging that organizational
life is complex and as such, it is crucial to take into
consideration not only the members of the
organization, but also their behaviors, activities and
stories (Mumby, 1988). rules and schemes, are established for purposes of
maintaining social behavior (Bright, 2014). These
structures constitute the three pillars of an
institutions namely cultural cognitive, normative
and regulatory. Social obligation is considered the
basis for compliance in the normative pillar. The normative pillar encompasses values and
norms. Shared understanding, common beliefs and
symbols are emphasized by the cultural cognitive
pillar; whereas the emphasis of the regulatory pillar
is on the use of sanctions, rules, and laws to ensure
compliance. As such, different aspects of the
institutional theory describe how these structures
are established, diffused, adapted and adopted over
time and space and how they disuse and decline. In
view of this theory, legitimacy can be achieved by
conforming to key expectations of the stakeholders
(Vailatti, Rosa & Vicente, 2017). More important, the relevance of the organizational
culture theory in the context of higher education
has been put into perspective (Kramer & Berman,
2001). The theory has been employed to study the
stories of undergraduate students and their
perceptions of fitting in at a college or university. Similarly, the organizational culture theory can be
adopted to explain the views of stakeholders in
respect to corporate culture exhibited in tertiary
institutions. It suggests that social values influence structures of
an organization and that these social values are
often widely accepted but typically taken-for
granted. It posits that while seeking to conform to
pressures from the external environment and to
shared norms, firms often attempt to demonstrate
to stakeholder groups that they are legitimate
(Ashworth, 2010). Organization Culture Theory According to Ashworth (2010) by
conforming to shared norms, organizations enhance
their perceived legitimacy, become protected from
scrutiny and external pressure and enhance their
chances of survival. The theory has faced a number of criticisms. It has
been noted that the theory relies a lot on the
shared meaning among organizational members
(Eisenberg & Goodall, 1993). These scholars argue
that
most
cultures
depict
significant
more
alignment in practice than they do in the attitudes,
opinions or beliefs of individual members. Another
criticism of the organizational culture theory is
pointed out to its view of organizational life as
being too unique. This is against the general
expectations and reality that organizational cultures
vary due to the fact that interactions within those
cultures differ. Therefore, generalizing life within
organizations is highly impossible (West & Turner,
2013). Following Higgins (1988), institutional norms deal
with appropriate domains of operation, principles
of organizing, and criteria of evaluation. Values and
beliefs external to the organization play a crucial
role
in
determining
organizational
norms. Conformity to societal and cultural expectations or,
more generally speaking, to external institutional
norms, are the most relevant factors for this type of
organizations. With this type of organizations
conformity to the institutional norms of the
external environment enhances their survival
capabilities, opens access to resources and
increases their stability. Following Greenwood and
Higgins (1988), institutional norms deal with Review of study variables the organization. Financial institutions where
employees are satisfied with the workplace have
witnessed rapid growth and expansion, despite the
existing challenges. In an organizational setting,
employee job satisfaction is considered crucial as it
is one of the parameters that determine the success
of an organization. Famakin and Abisuga (2016)
stated that path-goal leadership style influences the
commitment
and
levels
of
satisfaction
of
employees. Famakin and Abisuga further added
that only 20% of managers in commercial banks in
developing economies have embraced leadership
styles under the umbrella of path-goal theory in the
context of their operations. However, little
empirical evidence has been undertaken to assess
the Kenyan context. Many leadership scholars
among them; (Ludviga & Kalvina, 2016; Famakin &
Abisuga, 2016; Salanova & Sanni, 2016; Hearthfield,
2012) have conducted studies on the relationships
between path-goal theory and employee job
satisfaction. However, Kagwiria (2016) found that a
few studies have focused on use of path-goal
leadership style in financial organizations. In the
study by Abu-Shamaa, AlRabayah and Khasawneh
(2016) on job satisfaction, most research has
focused
on
relating
job
satisfaction
and
performance in public and private organizations. According to Redmond and Serrano (2015) it was
confirmed that studies on leadership styles have
concentrated on participatory leadership style,
work attitudes and employee motivation with few
focusing on path-goal leadership style and job
satisfaction. Institutional Theory Institutional Theory focuses on the resilient and
deeper aspects of social structure. It explains the
influence of the environment on organizations. It
describes processes through which structures and
authoritative guidelines, including routines, norms, Page: - 34 -
The Strategic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.com egic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.com Page: - 34 - beliefs external to the organization play a significant
role in determining organizational norms. appropriate domains of operation, principles of
organizing, and criteria of evaluation. Values and Independent Variable
Dependent Variable
Management Leadership Style
Flexibility and adaptation
Activities planning
Objectives and strategy
Employee Satisfaction
Satisfaction
with
administrative
support
Satisfaction with working conditions Independent Variable
Figure 1: Conceptual Framework
Management Leadership Style
Flexibility and adaptation
Activities planning
Objectives and strategy Dependent Variable
Employee Satisfaction
Satisfaction
with
administrative
support
Satisfaction with working conditions Independent Variable
Figure 1: Conceptual Framework
Management Leadership Style
Flexibility and adaptation
Activities planning
Objectives and strategy Employee Satisfaction
Satisfaction
with
administrative
support
Satisfaction with working conditions Dependent Variable Management Leadership Style and Employee
Satisfaction Zia, Khan and Nouman (2014) investigated the
impact of participative management style on job
satisfaction of the employees. Based on the review
of existing literature, a model linking manager’s
participative management style, participation in
strategic
planning
process,
supervisor
communication and job satisfaction was tested with
the help of data collected from 86 (n=86) faculty
members of universities in Islamabad. Regression
results
indicate
that
effective
supervisory
communication is a major cause of job satisfaction
in the context of participative management. The
study implies that in order to improve faculty
satisfaction, the administrators in higher education
sector should replace traditional authoritative
command
structures
with
participative
management style. Salonova and Sanui (2016) embraced Management
leadership style being a way of life operating
throughout the enterprise and permits an executive
to rely on the initiative of the personnel of an
entity; hence, effective management style is the
extent
to
which
a
leader
continually
and
progressively leads and directs followers to a
predetermined destination agreed upon by the
whole group. It is the manner of approach to issues
of the managers towards achieving the goals of
their
organization
by
transforming
various
resources available to any organization into output
through the functions of management. Kagwiria
(2016) considered management style as the
distinctive way in which an organization makes
decisions and discharges various functions of goal
setting, formulation, implementation of strategy,
corporate image building, dealing with key
stakeholders
and
other
basic
management
activities. Shahmohammadi (2015) examined the relationship
between management style with human relations
and job satisfaction among Guidance Schools’
principals in District 3 of Karaj. This study is a
descriptive - correlation study and under study
population is all Guidance Schools’ principals in
District 3 of Karaj that are 96 persons. Due to the
limited size of the population, all of the samples
were examined. Data were collected using 3 types
of questionnaires including Management Luthanz,
Macgregor (X, Y) and JDI job satisfaction. The results
indicated that there is no correlation between
relationship-oriented
management
style
with
human relationships and relationship-oriented
management style with job satisfaction of the
managers and in addition, there is a correlation Management consists of the planning, prioritizing,
and
organizing
work
efforts
to
accomplish
objectives within a business organization. A
management leadership style is the particular way
managers go about accomplishing these objectives. Management Leadership Style on Employee
Satisfaction In the study by Graen (2013) on management
leadership styles, leadership impacts on the ability
of an organization to achieve its performance
targets through improvement of the morale of the
employees, through creation of motivating working
atmosphere, through inculcating a sense of
cooperation, creative division of labour, offering
guidance where needed and through creation of
effective levels of communication. According to
Famakin and Abisuga (2016) on conducting a study
of the effect of path-goal leadership styles on levels
of employee commitment in construction entities in
China, the study established a strong association
between supportive and achievement-oriented
leadership style, and effective and continuing
commitment. Further, supportive leadership style,
had significant influence on effective commitment
of employees. There was no significant relationship
between the leadership styles under the path-goal
theory and normative commitment of employees. Therefore, organization leadership should instill a
sense of supportive commitment as an attempt at
inducing job satisfaction. Ludviga and Kalvina (2016) suggested, globally, the
aspect of job satisfaction among employees is
highly illuminated as a result of the intense
competition
arising
from
globalization
and
technological
advancement. Among
financial
institutions, employee job satisfaction is a major
determinant of the survival, demise and growth of Page: - 35 -
The Strategic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.com egic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.com Alanazi (2013) study on the influence of path-goal
leadership theory concurred that a shortage of
empirical literature exists especially on the
association of path-goal leadership styles and job
satisfaction of employees. The purpose of the study
was to establish the influence of supportive
leadership style on employee job satisfaction in
commercial banks in Kenya. Management style can
be understood as a way to manage an organization. According
to
Ludviga
and
Kalvina
(2016),
management style is the adhesive that binds
diverse operations and functions together; hence, it
is the philosophy or set of principles by which the
manager capitalizes on the abilities of the
workforce. management, and even from person to person. A
good leader is one that can adjust their
management style to suit different environments
and employees. An individual’s management style is
shaped by many different factors including internal
and external business environments, and how one
views the role of work in the lives of employees
(Yusuf, Muhammed & Kazeem, 2014). FINDINGS AND DISCUSSIONS The study involved 103 questionnaires being
dispatched for data collection, 77 questionnaires
were returned completely filled, representing a
response rate of 75% which was good for
generalizability of the research findings to a wider
population. Primary data was collected by means of self-
administered questionnaires. The questionnaires
had structured questions. These questionnaires
were structured and designed in multiple choice
formats. Section one introduced the researcher,
topic of research and its purpose to the
respondent. Data collected from the field was
coded, cleaned, tabulated and analyzed using both
descriptive and inferential statistics with the aid of
specialized Statistical Package for Social Sciences Management Leadership Style and Employee
Satisfaction It encompasses the way they make decisions, how
they plan and organize work, and how they exercise
authority (Vahedi & Asadi, 2014). Management
leadership styles vary by company, level of egic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.com (SPSS).version 24 software. Descriptive statistics
such as frequencies and percentages as well as
measures of central tendency (means) and
dispersion (standard deviation) was used. Data
was also organized into graphs and tables for easy
reference. between task-oriented management style with
human
relationships
and
task-oriented
management style with job satisfaction of managers
and
also
there
is
a
correlation
between
relationship-oriented
management
style
with
human relationships and job satisfaction of
manager. Furthermore, there is a correlation
between task-oriented management style with
human relationships and job satisfaction. Further, inferential statistics such as regression and
correlation analyses was used to determine both
the nature and the strength of the relationship
between
the
dependent
and
independent
variables. Correlation analysis is usually used
together with regression analysis to measure how
well the regression line explains the variation of
the dependent variable. The linear and multiple
regression plus correlation analyses were based on
the association between two (or more) variables. SPSS version 24 is the analysis computer software
that was used to compute statistical data. Study
conceptualized Regression Model; METHODOLOGY Descriptive research survey design was used to
determine
an
association
between
the
conceptualized
independent
and
dependent
variables as shown in the study’s conceptual model. This study targeted 274 employees of Commercial
Banks in the County Government of Kakamega;
Kenya. A sampling frame is a list of all the items in
the population (Cooper & Schinder, (2007). That is,
it is a complete list of everyone or everything you
want to study or a list of things that you draw a
sample from. In this study it consisted of employees
of Commercial Banks of the County Government of
Kakamega; Kenya. The study sample size was
determined using Taro Yamane’s proportional
sampling technique formula. The importance of this
expression is that it gives a researcher the required
sampling interval for a given population and a
known sample. Therefore a sample size has been
calculated as per Taro Yamane’s proportional
sampling technique formula. The study employed
Krejcie
and
Morgan
Formula
technique
to
determine a sample of 103 employees of
Commercial Banks in the County Government of
Kakamega ; Kenya. y = β0+β1X1 + ε y = Employee Satisfaction of Commercial Banks in
the County Government of Kakamega; Kenya X1= Management Leadership Style {β1} = Beta coefficients ε = the error term Descriptive statistics: Management Leadership
Style on Employee Satisfaction These were summarized responses on whether
Management Leadership Style has influence on
Employee Satisfaction of Commercial Banks in the
County Government of Kakamega; Kenya. Most respondents agreed (44.2%) that the
Leadership Style in existence provides all views of Page: - 37 - egic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.com the organization to the members, while 15.5%
disagreed to the statement, implying that there are
banks whose members are not provided with
organization views on leadership. More closely, only
35.1% agreed while 22.1% of respondents were
uncertain
that
Leadership
Style
encourages
participative
management
leadership;
hence,
revealing existence of inefficiency of some of
Leadership Style operations experienced by bank
employees. banks and employees recognize the value of
leadership styles in organization. Management
styles vary by company, level of management, and
even from person to person. A good manager is one
that can adjust their management style to suit
different
environments
and
employees. An
individual’s management style is shaped by many
different factors including internal and external
business environments, and how one views the role
of work in the lives of employees (Yusuf,
Muhammed` & Kazeem, 2014). Further, while 48.1% of respondents agreed that
most banks’ employees are allowed to make
decisions on their own, 13.0% disagreed revealing
existence of misunderstanding of bank employees
to make their own decisions, more so 50.6% of
respondents agreed that the banks provide
platforms for seminars of employees on leadership
style, while 42.9% of respondents also agreed that
they are happy with the management style. CONCLUSIONS AND RECOMMENDATIONS This
tested
the
influence
of
Management
Leadership on Employee Satisfaction of Commercial
Banks in the County Government of Kakamega;
Kenya. The
study
found
that
Management
Leadership Style had significant influence on
Employee Satisfaction of the county government of
Kakamega; Kenya. The study results are consisted
with
earlier
researchers
that
found
that
Management Leadership Style benefits employees
at work place if the leadership style is held in
participative manner. The study concluded that Commercial Banks
effectively recognize utilization of Management
Leadership Style in organizations; hence improving
the leadership Style leads to improvement on the
Satisfaction of Employees. (i) y = 0.682 + 0.919X1
Where;
y
=
Employee
Satisfaction,
X1
=
Management Leadership Style (i) y = 0.682 + 0.919X1
Where;
y
=
Employee
Satisfaction,
X1
=
Management Leadership Style Study hypothesis (H01) First, study hypothesis one
(H01) stated that Management Leadership Style
does
not
significantly
influence
Employee
Satisfaction of Commercial Banks in the County
Government of Kakamega ; Kenya. However,
regression results indicate that Management
Leadership Style significantly influence Employee
Satisfaction of Commercial Banks in the County
Government of Kakamega (β = 0.919 (0.073) at
p<0.01). Hypothesis one is therefore rejected. The
results indicate that that a single improvement in
effective Management Leadership Style will lead to
0.919 unit increase in the Employee Satisfaction of The study recommended that Commercial Banks
should roll out replant Management Leadership
Style; hence such would improve the employee
satisfaction as well the performance of the banking
industry. Areas for further research Similar study can be done on other organizations
especially the manufacturing companies using
different methods of analysis for comparison of the
findings. Linear influence of Management Leadership Style
on Employee Satisfaction This tested the direct influence of Crowd Funding
on Financial Performance of listed commercial
banks in Kenya. The results are shown table 1. Lastly, most respondents agreed (49.3%) and
strongly agreed (16.9%) that generally, the banks’
trainings take leadership style as key; implying that Table 1: Direct influence of Management Leadership Style
Model Summary
Model R
R Square
Adjusted R
Square
Std. Error of
the
Estimate
Change Statistics
R
Square
Change
F Change df1
df2
Sig. F Change
1
.814a
.670
.665
.69397
.670
159.562 1
75
.000
ANOVAb
Model
Sum of Squares
Df
Mean Square
F
Sig. 1 Regression
76.844
1
76.844
159.562
.000a
Residual
36.120
75
.482
Total
112.964
76
Coefficientsa
Model
Unstandardized
Coefficients
Standardized Coefficients
T
Sig. B
Std. Error
Beta
1 (Constant)
.682
.232
2.945
.004
Leadership style
.919
.073
.825
12.632
.000
a. Dependent Variable: Employee Satisfaction Table 1: Direct influence of Management Leadership Style From table 1, the model summary showed that R2 =
0.670; implying that 67.0% variations in the Page: - 38 -
The Strategic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.com Commercial Banks in the County Government of
Kakamega ; Kenya. explained by Management Leadership Style while
other factors not in the study model accounts for
33.0% of variation in Employee Satisfaction of
Commercial Banks in the County Government of
Kakamega; Kenya. Further, coefficient analysis
shows that Management Leadership Style has
positive
significant
influence
on
Employee
Satisfaction of Commercial Banks in the County
Government of Kakamega; Kenya (β = 0.919
(0.073); at p<.01). This implies that a single
improvement in effective Management Leadership
Style will lead to 0.919 unit increase in the
Employee Satisfaction of Commercial Banks in the
County
Government
of
Kakamega;
Kenya. Therefore, the linear regression equation is; Abu-Shamaa, R., Al-Rabayah, W., & Khasawneh, R.T. (2016). The Effect of Job Satisfaction and Work
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of Public and Private Higher Educational Institutions in India International Journal of Business and
Management; 12, (1), 178-187. REFERENCES he Strategic Journal of Business & Change Management. ISSN 2312-9492 (Online) 2414-8970 (Print). www.strategicjournals.c Zamini S. et. al., (2011), The relationship between organizational culture and job burnout among the
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1964 – 1968 Zeffane, R. (2014). Patterns of organizational commitment and perceived management style: A comparison
of public and private sector employees. Human relations, 47(8), 977-1010. Zeffane, R. (2014). Patterns of organizational commitment and perceived management style: A comparison
of public and private sector employees. Human relations, 47(8), 977-1010. Zia, Y. A., Khan, F., & Nouman, M. (2014). Participative management and job satisfaction. Available at SSRN
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2485702. Zavyalova, E., & Kucherov, D. (2010). Relationship between organizational culture and job satisfaction in
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A Study on Empowerment of Women using Information and Communication Technology (ICT)
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Shanlax
International Journal of Arts, Science and Humanities
A Study on Empowerment of
Women using Information and
Communication Technology (ICT)
OPEN ACCESS
Volume: 6
Special Issue: 1
Month: March
Year: 2019
ISSN: 2321-788X
Impact Factor: 3.025
Citation:
Faiz Jahan, A. “A Study
on Empowerment
of Women Using
Information and
Communication
Technology (ICT).”
Shanlax Internatioal
Journal of Arts, Science
and Humanities, vol. 6,
no. S1, 2019, pp. 57–62.
DOI:
https://doi.org/ 10.5281/
zenodo.2586382
http://www.shanlaxjournals.in
A. Faiz Jahan
Assistant Professor of English
Justice Basheer Ahmed Sayeed College for Women, Chennai
Abstract
Information and communication technology (ICT) is an integral part of life in the
21st century. Studies suggest a wide range of ICT applications for education and
learning, digital media and empowerment of women. The role of ICT in education
is to acquire the required skills that can be used in education and learning process.
However, there are subtle drawbacks to women and girls in accessing and using
information technology. The need of the hour is therefore to become accustomed to
the various tools that can be used to improve personal well-being and social status
in the society. In the present study, questionnaires were distributed to 100 students
belonging to Arts department. The results obtained were subjected to data analysis.
Descriptive statistics was used to analyze the data. Most of the respondents were
aged from 17 to 23 years respectively. Majority of the respondents were highly
competent in using smart phones (47%) and communication (44%). While, their
competency was average or low in the use of spreadsheet (65%). It is quite clear that
respondents are more compatible with smart phones than computers. It is therefore
suggested that students should be given more computer training to maximize their
computer skills, as smart phones have their own limitations in ICT.
Keywords: Information and Communication Technology, ICT, Information Technology,
Digital media, Education, Women empowerment
Introduction
The rapid growth in the use of information and communication
technologies (ICTs) has brought about a stunning change in the
21st century and has affected modern society’s demands. ICT is
becoming more and more important both in everyday life and in
education systems. ICT tools are specifically used to increase access
to education, strengthen the relevance of education to an increasingly
digital workplace, improve the quality of education, facilitate
teaching and learning in a committed, active process connected with
real life (Andoh, 2012). Globalization and technological change have
created a new global economy “driven by technology, information
and knowledge” (US Department of Labor, 1999).
ICT is one of the most powerful tools of human invention that
can transform lifestyle patterns, facilitate learning and create a
wide range of opportunities in educational, industrial, digital and IT
sectors. In the present scenario, it is essential to acquire the necessary
skills to keep abreast of changing technological trends regardless of
57
National Conference on Women and Sustainable Development
age or gender. However, with the world rapidly moving into digital media and information, the role
of ICT in education is becoming increasingly important and this importance will continue to grow
and develop in the 21st century. Education is the process of learning or acquiring knowledge that
depends entirely on the quality of teachers. According to futurist Alvin Toffler, “The illiterate of
the 21st century will not be those who cannot read and write, but those who cannot learn, unlearn
and relearn.
The influence of ICT has certainly brought tremendous impact in women’s empowerment. The
empowerment of women means increasing the spiritual, political, social, educational, gender or
economic strength of the individuals. There are a number of ways to improve women’s economic
status through trade, governance, education and health. It also brings countless openings, including
small enterprises, self help groups (SHGs), etc. In India, women’s empowerment depends heavily
on many different variables, including geographical location, social status and age. Impoverishment,
illiteracy, lack of computer literacy and language barriers are factors that inhibit access to ICT
infrastructure, especially in developing countries. Another barrier to ICT is the lack of access to
women (Arrawatia and Meel, 2012). Most women suffer due to the inaccessibility and use of ICT
tools due to lack of infrastructure and incapacity.
However, this study primarily focuses on the use of ICT tools in education and learning process.
It also examines how information technology in education creates more learning environments
centered on students, which often create tensions for teachers and students. Therefore, educational
institutions are increasingly required to use ICT to provide students with skills and knowledge. This
study aims to determine students’ skills in the use of electronic devices such as basic computers and
smart phones. The research was carried out using a quantitative method for the collection of data
with the following objectives:
Students’ demographics (age, class, use of computers and mobile phones)
•
Students’ perceived skills in ICT
•
Students’ application of ICT in education and learning process
Review of literature
•
Wadi and Sonia (2002) emphasized improving the quality of education and training, especially
during education expansion. In many ways, ICTs can improve the quality of education by
increasing motivation and engagement of learners, facilitating the acquisition of basic skills
and enhancing teacher training.
•
Wheeler (2008) reported information technology as a tool for transforming women’s lives
and as a supposed enabler of empowerment.
•
Hew & Brush (2007) outlined about the attitudes and beliefs of teachers have an impact on
the successful integration of ICT into education.
•
Keong et al. (2005) studied the use of information and communication technology in teaching
mathematics. They stressed the need for teacher training and the integration of ICT in the
curriculum.
•
Arrawatia and Meel (2012) emphazied information and communication technology &
empowerment of women in India. They addressed the prospects of ICT-supported women’s
empowerment networking processes.
•
Mavura (2015) highlighted ICT for girls and women empowerment. She addressed women’s
empowerment is a key factor in determining success of development.
58
Justice Basheer Ahmed sayeed College for Women (Autonomous), Chennai
Shanlax
International Journal of Arts, Science and Humanities
Methodology
Participants
The present study was carried out in a private college. 100 students belonging to arts department
participated in this investigation. The age group of students ranged from 19 to 21years respectively.
Data Collection Methods
Individual student participants were given questionnaires personally. They were asked to submit
within a day A total of 100 questionnaires were collected back from the students with 100% return
rate. The collected questionnaires were subjected to data analysis.
Instrument
The first section of the questionnaire contains students ‘ demographic information based on
gender, age, computer knowledge and smart phone experience, etc. The second section focused on
their knowledge and skills in the use of ICT. Then, the respondents were asked to assess the use
of ICT in the learning process. A reliability test was used to determine the internal consistency of
items in the questionnaire by using Cronbach’s Alpha reliability test (Cronbach, 1951). The test
was performed using Cronbach alpha statistics software v1.0.5 (Wessa, 2017). Cronbach’s alpha
coefficient was found to be 0.992 (arts students). The alpha value of 0.90 is considered excellent,
0.80 very good, and .070 acceptable (Kline, 2005).
Data Analyses
Data was analyzed using descriptive statistics to calculate the frequencies of the collected data.
In this study, the variables observed showed good internal consistency.
Results:
Demographic information of respondents (Arts students)
Teachers’ demographic information comprising of respondents age, computer knowledge and
smart phone experience are given in Table 1. Of the 100 respondents, 47% of the respondents (1-2
years) showed smartphone experience while 30% of the students (5-6 years) exhibited proficiency
in using computers.
Demographic information of students (Arts department)
Variable
Respondents
Age
Computer knowledge
http://www.shanlaxjournals.in
Category (Years)
Arts students
17-18
19-20
21-22
21-22
1-2
3-4
5-6
7 and above
Frequency
100
36
37
27
27
31
38
19
Nil
Percentage (%)
100%
36
37
27
27
27
32
30
11
59
National Conference on Women and Sustainable Development
Smartphone
Experience
1-2
3-4
5-6
7 and above
47
29
38
3
47
28
29
9
Students’ perceived skills in ICT
Respondents were asked to rate their ICT skills on a four-point Likert-type scale ranging from
“Cannot use/none (1)” to “High (4)”.
As presented in Table 2, majority of the respondents were highly competent in smart phones
(47%) and communication (E-mail) (44%). While, most respondents perceived their skills in the
spreadsheet as low or cannot use (65%).
Table 2
Descriptive Statistics of Respondents (Arts students) Perceived ICT Skills
Cannot use (%)
Low (%)
Moderate (%)
High (%)
Word processor
ICT Skills
28
16
23
33
Spreadsheet
65
17
7
11
Presentation
38
29
19
14
Search engines
23
27
18
32
Communication (e.g. E-mail)
17
13
26
44
Smartphones (e.g. Google Apps )
13
15
25
47
Cronbach alpha=0.828
Discussion
ICT has brought enormous significance in diverse fields such as information technology, digital
media, industrial and educational sectors, research and development, etc. The use of ICT tools
in enhancing skills in various sectors has completely revolutionized in the development process.
ICT in empowering women’s growth has provided spiritual, educational and economic strength
of individuals in the society. Mavura (2015a) stressed on empowerment of women in determining
development success. Studies show that women suffer from various problems due to lack of
education and information. Different types of ICT tools like radio, television, mobile phone and the
Internet are used to provide awareness, education and information among women. This knowledge
can therefore create a lot of opportunities. It is apparent that the future of any nation depends
on youth irrespective of their caste, creed or gender. This paper thus primarily discusses on the
influence of electronic gadgets such as computers and smartphones used by women students in
education and learning process.
In the present study, most students showed high skills in the use of smartphones and
communication. In contrast, most respondents had a low preference for spreadsheet applications.
It is therefore obvious that respondents excelled in smartphones compared to computers in the
education and learning process. Though, applications of computers are indispensable in the
learning process it is interesting to note that the student respondents are more comfortable with
smartphones, as they are user friendly. Another probable reason may be due to non-affordability or
economic conditions and linguistic barriers. The findings are in agreement with Mavura (2015b),
who reported that girls and women have less access to technology, thereby significantly reducing
educational and economic opportunities. It is also important to develop programs to teach girls at an
60
Justice Basheer Ahmed sayeed College for Women (Autonomous), Chennai
Shanlax
International Journal of Arts, Science and Humanities
early stage using computers and tablets. According to Arrawatia and Meel (2012), the knowledge
available in the global scenario is in English language and the downtrodden communities could not
understand. This obviously makes it difficult to acquire the universal knowledge.
Proper education, together with knowledge, secure jobs and a physical strength can transform the
future of a woman from being a fragile, submissive, marginalized, suppressed, voiceless, inferior
creature to an independent, strong, positive, exuberant and progressive one. Since education is
student-centered and teachers are the stake holders, the present z and skills of future generations
are to be developed through ICT and other pedagogical technologies.
Through information technology and its applications women have crossed borders rendering
yeoman services proving their capacities in plethora of genres. Various Apps such as Google
Classroom, Kahoot, Edmodo, Khan Academy, MOOC, NPTEL, Swayam and many more have laid
down concrete platforms/forums that have made teaching and learning process more conducive,
effective, and, facilitative. As every student is glued to smartphones and tabs, teaching through
such devices motivates and triggers interest, even in the less interested students.
Though, it is a known fact that every classroom consists of students with mixed abilities and the
teacher cannot cater to the personal needs of every individual. However, these gaps can be filled
by applying innovative, multifarious and user friendly Apps which empowers them to meet the
new challenges and revolutionize the whole gamut of education both at the primary, secondary and
higher education levels.
This study clearly indicates that most of the respondents frequently used smartphones and
integrated google application software in the learning processes. However, the result of this study
shows the usage of computer software applications were decreased in learning processes by student
respondents. According to Arrawatia and Meel (2012), the use of ICT in learning enables girls and
women to receive quality education leading to personal development, which helps them to manage
their lives independently. Thus, it is suggested that students should be given adequate hands-on
training on how to integrate and use ICT in the learning process.
Conclusion
This study has clearly demonstrated that the success of ICT in education and learning process
is not about computer or software but influencing and empowering women students to acquire
requisite computer skills through training programmes and workshops during the course of their
study programme right from their entry level. This initiative will certainly enhance students’
capabilities to acquire ICT skills effectively and it will enable them with employment opportunities.
References
1.
Andoh, C. (2012). Factors influencing teachers’ adoption and integration of Information
Communication Technology into teaching: A review of the literature. International Journal
of Education and Development using Information and Communication Technology, 8(1),
136-155.
2.
Arrawatia, M. A. (Dr.) and Mr. Meel, P. (2012). Information and Communication Technologies
& Women Empowerment in India. International Journal of Advanced Research in Computer
Engineering and Technology, Volume 1, Issue 8,
3.
Cronbach, L.J. (1951) Coefficient alpha and the internal structure of tests. Psychometrika
16:297-334.
4.
Hew, K. F. & Brush, T. (2007). Integrating technology into K-12 teaching and learning:
current knowledge gaps and recommendations for future research. Educational Technology
Research & Development, 55, 223-253.
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5.
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Keong, C.C, Horani, S and Daniel, J. (2005). A Study on the Use of ICT in Mathematics
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Kline, R. B. (2005). Principles and practice of structural equation modeling (2nd edition). New
York: Guildford.Laboratory; http://www.ncrel.org/engauge/skills/21skills.htm;accessed 31
May 2002.
Mavura (2015). ICT for girls and women empowerment. http://www.actionaid.org/ghana/
news/ict-girls-and-women-empowerment. Accessed on 26 January 2019.
Mavura (2015a). ICT for girls and women empowerment. http://www.actionaid.org/ghana/
news/ict-girls-and-women-empowerment. Accessed on 26 January 2019.
Mavura (2015b). ICT for girls and women empowerment. http://www.actionaid.org/ghana/
news/ict-girls-and-women-empowerment. Accessed on 26 January 2019.
US Department of Labor (1999). Futurework—Trends and Challenges for Work in the 21st
Century. Quoted in EnGauge, “21st Century Skills, ”North Central Regional.
Wadi D. H and Sonia, J. (2002).“ICT for Education:Potential and Potency”,in Haddad,W.&
Drexler,A.(eds),Technologies for Education: Potentials, Parameters, and Prospects
(Washington DC: Academy for Educational Development and Paris:UNESCO),pp.34-37.
Wessa, P. (2017). Cronbach alpha (v1.0.5) in Free Statistics Software (v1.2.1), Office for
Research Development and Education, URL https://www.wessa.net/rwasp_cronbach.wasp/.
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in Egypt.” The MIT Press.
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Research on the Slope Protection Mechanism of Roots
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Research journal of applied sciences, engineering and technology
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INTRODUCTION Bischetti et al. (2005) tested eight north Italy plant
roots, Operstein and Frydman (2000) analyzed four
kinds of Mediterranean plant, Comino and Marengo
(2010)
analyzed
three
kinds
of
shrub
roots’
strengthening effect to soil. Most research shows that
the ultimate tension of the same plant roots increases
with the diameter as power or index function. But for
different kinds of plant roots, the comparison of the
tensile strength and the quantitative analysis of slope
stability were little mentioned. Bischetti et al. (2005) tested eight north Italy plant
roots, Operstein and Frydman (2000) analyzed four
kinds of Mediterranean plant, Comino and Marengo
(2010)
analyzed
three
kinds
of
shrub
roots’
strengthening effect to soil. Most research shows that
the ultimate tension of the same plant roots increases
with the diameter as power or index function. But for
different kinds of plant roots, the comparison of the
tensile strength and the quantitative analysis of slope
stability were little mentioned. With the rapid development of China's economy, a
large number of highways, railways and other
infrastructure construction produce many bare slopes,
which destroy the original ecological environment, lead
to soil and water loss, even landslide instability. As a
kind of slope protection materials, vegetation is of great
significance for ecological environment and slope
protection,which is the good combination of sight,
economics and protection. In the ecological slope
protection engineering, plant roots can not only provide
nutrition and moisture, but also relieve slope instability
and erosion, which will be of great importance to avoid
slope collapse (Abernethy and Rutherfurd, 2001). Roots interact with surrounding soil, which
improves the shearing strength of soil (Schmid and
Kazda, 2001). These functions include axial pressure to
surrounding soil, which change the structure of the soil. Roots increase contact area between soils, thus increase
the friction between them. Root secretion during growth
enhances the cohesive force between root and soil. The
added value of shear strength has a positive relationship
with root content through the shear (Waldron, 1977). There are three kinds of root reinforcement models,
which are fibril theory model, the inter-coupling of
mechanical model between the vertical root and soil,
the inter-coupling of mechanical model between the Roots’ effect for soil reinforcement and slope
protection may be valued in two ways: roots’ tensile
strength and the shear strength of root-soil complex. Corresponding Author: Juan Wan, School of Civil Engineering and Mechanics, Huazhong University of Science and
Technology, Wuhan 430074, China
This work is licensed under a Creative Commons Attribution 4.0 International License (URL: http://creativecommons.org/licenses/by/4.0/).
2429 Keywords: Slope protection, roots, stability coefficient, tensile test Keywords: Slope protection, roots, stability coefficient, tensile test Research on the Slope Protection Mechanism of Roots 1, 2Juan Wan, 2Henglin Xiao, 2Jun He and 2Lihua Li 1School of Civil Engineering and Mechanics, Huazhong University of Science and Te
Wuhan 430074, China 1School of Civil Engineering and Mechanics, Huazhong University of Science and Technology,
Wuhan 430074, China
2 2School of Civil Engineering and Architecture, Hubei University of Technology, Wuhan 430068, China Abstract: This study aims to investigate the slope protection mechanism of roots. In ecological slope protection,
plant roots can fix soil and protect slop through biological and mechanical action. However, previous studies on the
slope protection mechanism are still not deep enough and inadequate. By taking four kinds of typical plant roots
along Wu-Shen Expressway as the research object, through the indoor tensile test and root morphology observation
analysis, the tensile strength and ultimate tension were studied and the influence to the stability of the slope was
discussed in this study. The results show that the mean ultimate tension of roots is 7.19~29.96 N. The mean tension
of shrub roots is 2~4 times greater than that of herb roots. The ultimate tension of the same plant roots increases
with the diameter significantly. To the range of improvement, Shrub roots exceed herb ones. It also indicates that the
mean tensile strength of roots are 24.48~74.25 MPa. Compared with the steel HRB235, the tensile strength of herb
roots is as great as 1/5~1/3, while Shrub roots is about 1/10~1/5. The slope stability coefficient with plant growing is
a positive correlation with roots tension and root number through the sliding surface and is a negative correlation
with plants weight. In addition, the slope stability coefficient is related to plant density and root morphology. The
test results demonstrate that the roots tension with acute angle or right angle to the landslide surface and the roots
shear stiffness with obtuse angle can improve the performance of slope’s anti-slide. Four kinds of plants can
improve the stability coefficient of shallow soil. As for the slope protection effect, herbage is superior to shrub. In
general, grass-shrub mixed community is the ideal system for slope protection. Published: August 05, 2013 Published: August 05, 2013 p. Accepted: January 25, 2013 Submitted: December 20, 2012 MATERIALS AND METHODS The species considered in this study are plant roots
along the Wu-Shen Expressway. Four kinds of plants
are tested, including the Bokbunja, Dilatatum, Sedge
and Mugwort. The first two are shrub and the rest are
herbage. Their pictures are shown in Fig. 1. Fig. 2: Electronic tensioner measurement The roots of plants were dug out using completely
mining method. Plant roots, whose scarfskin was
undamaged, diameter changed little and root straight
were selected, cleansed and cut to samples with 10 cm
in length. The diameter of roots was measured using
vernier caliper. After that, the samples were labeled. Fig. 3: Digital force gauge measurement Due to different diameter range various equipment
testing, the experiments used two equipments to test the
roots of different diameters. The larger diameter (more
than 1 mm) roots were measured by the electronic
tensioner under the load of 100 kN. Figure 2 shows the
measurement process. The smaller diameter (less than 1
mm) roots were tested by the digital force gauge under
the load of 500 N. Figure 3 shows the measurement
process. The loading speed was 10 mm/min. Fig. 3: Digital force gauge measurement where, p is the tensile strength (N/mm2), T indicates the
ultimate tension (N) and D is the diameter of fracture
surface (mm). To avoid specimens to slip in the fixture because of
the root skin stripping, rubber gaskets were added in the
fixture to increase friction. Test data were effective
while the breakpoint of roots is far from the fixture
obviously, because roots were easily pinched off during
the loading process. The experiments that specimens
were slipping or clipped off were regarded as failure
tests. INTRODUCTION Tensile strength may be measured by in situ root pull-
out tests (Docker and Hubble, 2008) and indoor tensile
tests (Bischetti et al., 2009). Root tensile strength is
influenced by plant species and root site environment
etc, so large amounts of data are needed to full. Res. J. Appl. Sci. Eng. Technol., 6(13): 2429-2435, 2013 (a) Bokbunja (b) Dilatatum
(c) Sedge (d) Mugwort
Fig. 1: Four kinds of plant roots (a) Bokbunja (b) Dilatatum horizontal root and soil (Waldron, 1977). The first
model deduces the shearing strength of root-soil
complex. The second model can get the maximum
anchorage force of the root. But they did not analyze
quantificationally the influence of root to slope
stability. Besides, root morphology and architecture are
more than these three, it is necessary to analyze the
effect of soil reinforcement and slope protection of
other types of root. (b) Dilatatum (a) Bokbunja (c) Sedge (d) Mugwort (c) Sedge (d) Mugwort In order to investigate the slope protection
mechanism of roots, a series of tensile tests have been
carried out in this study. Four kinds of typical plant
roots along Wu-Shen Expressway were taken as the
research object. Indoor tensile tests were conducted, the
root morphology was observed and the tensile strength
and ultimate tension were analyzed quantificationally. The influence to slope stability was studied according
to the test results and the findings of this study will
provide theoretical support for root slope protection. (c) Sedge (d) Mugwort Fig. 1: Four kinds of plant roots Fig. 2: Electronic tensioner measurement EXPERIMENT TESTS AND RESULTS The distribution characteristics of root morphology:
The root diameter of herb Sedge and Mugwort is
smaller than the other two types of roots. Based on the
root collar, roots present radioactive distribution along
the depth. The root diameter of Sedge is between 0.24
mm and 0.44 mm, the Mugwort is 0.4~0.78 mm. Root
numbers decrease with the increase of deepness. Roots
distribute intensively in 0~20 cm soil layer and
decrease rapidly in 20~25 cm layer. The ultimate tension of roots T was gat from the
tests. The tensile strength of roots p was calculated
using the following Eq. (1): Shrub Bokbunja and Dilatatum are vertical root
types, which consist of taproot and lateral root. Taproot
grows vertical down. Lateral root grow beside taproot 2
4T
p
D
π
= (1) (1) 2430 Res. J. Appl. Sci. Eng. Technol., 6(13): 2429-2435, 2013 (a) Sedge
4
5
6
7
8
9
10
0.2
0.3
0.4
0.5
T/N
D/mm
Data
Simulation
6
8
10
12
14
16
0.2
0.4
0.6
0.8
1
T/N
Data
Simulation (a) Sedge
(b) Mugwort
(c) Bokbunja
(d) Dilatatum
Fig. 4: Root ultimate tension vs diameter curves
4
5
6
7
8
9
10
0.2
0.3
0.4
0.5
T/N
D/mm
Data
Simulation
6
8
10
12
14
16
0.2
0.4
0.6
0.8
1
T/N
D/mm
Data
Simulation
0
10
20
30
40
50
60
70
80
90
100
0
1
2
3
4
5
T/N
D/mm
Data
Simulation
0
10
20
30
40
50
60
0
0.5
1
1.5
2
2.5
T//N
D/mm
Data
Simulation and branch gradually. Root diameter of a single plant
varies, which becomes gradually thin from root collar
to the end. The diameter of fracture surface is adopted
in test result. Taproot diameter of Bokbunja is about
1.74~4.06 mm and its depth is about 45 cm. Lateral
root diameter is about 0.38~1.2 mm. Taproot diameter
of Dilatatum is about 1.42~2.26 mm and its depth is
about 40 cm. Lateral root diameter is about 0.26~0.74
mm. The dense layers of roots mainly distribute at 0~
15 cm layer. 4
5
6
7
8
9
10
0.2
0.3
0.4
0.5
T/N
Data
Simulation (a) Sedge
0.2
0.3
0.4
0.5
D/mm
6
8
10
12
14
16
0.2
0.4
0.6
0.8
1
T/N
Data
Simulation The ultimate tension of roots: Root diameter from
Sedge and Mugwort is small and uniform, which was
tested by the digital force gauge. EXPERIMENT TESTS AND RESULTS The success rate of the
test was 58% for Sedge and 54% for Mugwort. The
tensile failure of successful tests shows that root skin
open a joint at first, next open the second, the third, etc. With the increase of the force, finally the root fiber is
pulled off. Lateral
root
diameter
from
Bokbunja
and
Dilatatum is 0.26~1.2 mm, which is measured by the
digital force gauge. Taproot diameter is 1.42~4.06 mm,
which is tested by the electronic tensioner. Their failure
surface is serrated. The success rate of the test was 50%
for Bokbunja and 40% for Dilatatum. (b) Mugwort
D/mm
0
10
20
30
40
50
60
70
80
90
100
0
1
2
3
4
T/N
D/
Data
Simulation The diameter D was used as X-axis and the
ultimate tension T as the Y-axis. Test data and
simulation curves were shown in Fig. 4. The test results
of root ultimate tension and the regession relation with
diameter are listed in Table 1. The experiment research shows that four kinds of
plant roots have strong tensile capacity. Among them,
the tension of Bokbunja is the widest, whose tension is
3.8 N when diameter is 0.38 mm and tension is 82.7N
when diameter is 4.06 mm. The mean ultimate tension
order of the four roots is Bokbunja>Dilatatum>
Mugwort> Sedge, which is the same sequence with
their mean diameter. The mean ultimate tension of
shrub roots is greater than herb. The ultimate tension of the same kind of roots
amplifies with the increase of diameter. Power function
relation
1
1
b
T
a D
=
(a1>0,b1>0) is basically met between
the ultimate tension and diameter by using the
Regression Analysis. There was significant correlation
between them and the correlation coefficient is more
than 0.85. In the regression equations, a1 of Bokbunja
and Dilatatum is big and b1>1 and a1 of Sedge and
Mugwort is small and b1<1. It can be seen from Fig. 4
that shrub roots have higher tension improvement than
herb. The tensile strength of roots: The test results of root
tensile strength are shown in Table 2. The simulation
curves between tensile strength p and diameter D are
seen in Fig. 5. (d) Dilatatum
D/mm Roots with the smaller diameter show great tensile
strength. The tensile strength of Sedge with 0.24 mm
diameter may reach 130.42 MPa. On the contrary, roots Fig. EXPERIMENT TESTS AND RESULTS 4~0.78
0.56
30.97~57.30
48.05
p = 21.484D-1.2331
0.9370
40
50
60
70
80
90
100
110
120
130
140
0.2
0.3
0.4
0.5
p/(N/mm2)
Data
Simulation
20
30
40
50
60
70
80
90
0.2
0.4
0.6
0.8
1
p/(N/mm2)
Data
Simulation (a) Sedge
(b) Mugwort
(c) Bokbunja
(d) Dilatatum
Fi
5 R
t t
il
t
th
di
t
D/mm
D/mm
0
10
20
30
40
50
60
0
1
2
3
4
5
p/(N/mm2)
D/mm
Data
Simulation
0
20
40
60
80
100
120
140
0
0.5
1
1.5
2
2.5
p/(N/mm2)
D/mm
Data
Simulation (d) Dilatatum
D/mm Fig. 5: Root tensile strength vs diameter curves with the thicker diameter show weak tensile strength. The tensile strength of Bokbunja with 4.06 mm
diameter is only 6.39 MPa. The mean tensile strength
order
of
the
four
roots
is
Sedge>Mugwort>
Dilatatum>Bokbunja, which is the opposite sequence
with their mean diameter order. Compared with the
steel HRB235, of which the tensile strength is 235
MPa, herb roots tensile strength is as great as 1/5~1/3,
while that of Shrub roots is about 1/10~1/5. The mean
tensile strength of herb roots is greater than shrub. As
for roots with the same diameter, the tensile strength of
herb is greater than Shrub generally. Thus it can be seen
that herbaceous plants have an important role to
shallow slope protection. relation relation
2
2
b
p
a D
=
(a2>0,b2<0)
is
basically
met
between the tensile strength and diameter by using the
Regression analysis. There was significant correlation
between them and the correlation coefficient is more
than 0.9. In the regression equations, a2 and b2 of
Bokbunja and Dilatatum are bigger than Sedge and
Mugwort. This indicates that the amplitude decreasing
rate of herb roots is more than that of shrub. EXPERIMENT TESTS AND RESULTS 4: Root ultimate tension vs diameter curves 2431 Res. J. Appl. Sci. Eng. Technol., 6(13): 2429-2435, 2013 Table 1: The test results of root ultimate tension
Plant
Diameter
D (mm)
Mean diameter
D (mm)
ultimate tension
T (N)
Mean ultimate
tension T’ (N)
Regression equation
Correlation coefficient R
Bokbunja
0.38~4.06
1.49
3.8~82.7
29.96
T = 17.65D1.2268
0.9742
Dilatatum
0.26~2.26
0.94
6.2~52.2
19.63
T = 19.489D1.0843
0.9567
Sedge
0.24~0.44
0.36
5.6~9.2
7.19
T = 14.41D0.6858
0.8755
Mugwort
0. 4~0.78
0.56
7.2~14.8
10.84
T = 16.874D0.7669
0.8578
Table 2: The computed result of root tensile strength
Plant
Diameter
D (mm)
Mean diameter
D (mm)
Tensile strength
P (MPa)
Mean tensile
strength p’ (MPa)
Regression equation
Correlation coefficient R
Bokbunja
0.38~4.06
1.49
6.39~49.91
24.48
p = 22.472D-0.7732
0.9387
Dilatatum
0.26~2.26
0.94
13.01~116.78
44.00
p = 24.814D-0.9157
0.9407
Sedge
0.24~0.44
0.36
56.30~130.42
74.25
p = 18.348D-1.3142
0.9609
Mugwort
0. 4~0.78
0.56
30.97~57.30
48.05
p = 21.484D-1.2331
0.9370
(a) Sedge
(b) Mugwort
(c) Bokbunja
(d) Dilatatum
Fig. 5: Root tensile strength vs diameter curves
40
50
60
70
80
90
100
110
120
130
140
0.2
0.3
0.4
0.5
p/(N/mm2)
D/mm
Data
Simulation
20
30
40
50
60
70
80
90
0.2
0.4
0.6
0.8
1
p/(N/mm2)
D/mm
Data
Simulation
0
10
20
30
40
50
60
0
1
2
3
4
5
p/(N/mm2)
D/mm
Data
Simulation
0
20
40
60
80
100
120
140
0
0.5
1
1.5
2
2.5
p/(N/mm2)
D/mm
Data
Simulation Table 1: The test results of root ultimate tension g
Mugwort
0. 4~0.78
0.56
7.2~14.8
10.84
T = 16.874D0.7669
0.8578
Table 2: The computed result of root tensile strength
Plant
Diameter
D (mm)
Mean diameter
D (mm)
Tensile strength
P (MPa)
Mean tensile
strength p’ (MPa)
Regression equation
Correlation coefficient R
Bokbunja
0.38~4.06
1.49
6.39~49.91
24.48
p = 22.472D-0.7732
0.9387
Dilatatum
0.26~2.26
0.94
13.01~116.78
44.00
p = 24.814D-0.9157
0.9407
Sedge
0.24~0.44
0.36
56.30~130.42
74.25
p = 18.348D-1.3142
0.9609
Mugwort
0. THEORY ANALYSIS OF ROOT
SLOPE PROTECTION Secondly, the influence of one root is
considered. Thirdly a plant and last plants with certain
spacing is tested. (
)
(
)
(
)
1
1
2
'
cos
tan
sin
tan
tan
sin
n
n
f
x
y
i
i
i
i
i
i
x
y
C S S
T
T
K
S S
H
G
α
φ
α
φ
θ
γ
θ
=
=
+
+
=
+
+
∑
∑
(5) When there is no root, the glide force of the sliding
mass is
sin
G
θ ,the anti-slip force is the total of the
bond force and friction
cos
tan
f
C A
G
θ
φ
+
. The stability
coefficient of the sliding mass without root is expressed
as: (5) It can be seen that slope stability coefficient with
plant growing is a positive correlation with roots
tension and number through the sliding surface, but a
negative correlation with plants weight. It is also related
to the plant density and root morphology. 1
cos
tan
sin
f
C A
G
K
G
θ
φ
θ
+
=
(2) (2) where, G is the weight of the sliding mass;θ indicates
the slope dip angle; N signifies the holding power to
the sliding mass from lower soil;
,
f
C
φ are the cohesive
force and internal friction angle of soil, respectively; A
is the area of sliding surface. Case study: A slope
75
θ =
° along Wu-Shen
Expressway was analyzed. The soil bulk density was
3
18kN/m
γ =
, the cohesive force and internal friction
angle were
2.5kPa,
8
fc
φ
=
= ° , respectively. For the
plant spacing, shrub is
20cm
x
S =
,
20cm
y
S =
, herbage is
2cm
x
S =
,
2cm
y
S =
.The weight of a plant and some
relevant parameter of roots were list in Table 3. Among
them, αi was replaced by the effective angle between
the slope and roots which was the highest occurrence
frequency. Ti was substituted for the mean ultimate
tension. Along different depths the effective numbers of
roots was list in Table 4. These parameters were
inserted in Eq. (2) and (5). The stability coefficients of
slope with and without roots along different depths are
listed in Table 5. THEORY ANALYSIS OF ROOT
SLOPE PROTECTION Formula derivation: In the slope, the tension crack
surface often occurs that is parallel to slope surface or
the bottom surface. In order to find out the influence of The tensile strength of the same kind of roots
decreases with the increase of diameter. Power function 2432 Res. J. Appl. Sci. Eng. Technol., 6(13): 2429-2435, 2013 Fig. 6: The force diagram of the slope from being realized. If the root can anchor into the
steady geotechnical layer, the sliding mass need
conquer the shear force itself. If the root is small, the
improvement to the stability may be ignored. It is supposed the weight of a plant is G, there are n
roots whose angles with the sliding plane are
0
90
i
α
°
°
<
≤
(i =1, 2…n). The stability coefficient of
the sliding mass with a plant is expressed as: (
)
(
)
(
)
(
)
2
''
1
1
' cos
tan
cos
tan
sin
' sin
n
n
f
i
i
i
i
i
i
C A
G
G
T
T
K
G
G
θ
φ
α
φ
α
θ
=
=
+
+
+
+
=
+
∑
∑
(4) (
)
(
)
(
)
(
)
2
''
1
1
' cos
tan
cos
tan
sin
' sin
n
n
f
i
i
i
i
i
i
C A
G
G
T
T
K
G
G
θ
φ
α
φ
α
θ
=
=
+
+
+
+
=
+
∑
∑
(4) (4) Fig. 6: The force diagram of the slope X axis is up along slope, Y axis is parallel to slope
and vertical to X axis. Sx, Symean the spacing along X
and Y axis, respectively. H indicates the thickness of
the slope andγ is the soil bulk density. the root tensile capacity and distribution characteristics
to the slope stability, the sliding mass parallel to slope
surface was analyzed. The force diagram is shown in
Fig. 6. If the root distribution of plants were the same,
plants have two aspects: one the one hand roots
improve slope stability coefficient, one the other hand
the weight of plants reduce its stability. The slope
stability coefficient with plants is shown in Eq. (5): The analysis idea is as follows. Firstly, the steady-
state conditions of the sliding mass without roots are
analysed. THEORY ANALYSIS OF ROOT
SLOPE PROTECTION If there is a root whose angle to the sliding surface
isα , the sliding mass slips. The root will be subjected
to tension when0
90
α
°
°
<
≤
. The root will be
compressed when
180
α
°
°
90 <<
. When 0
90
α
°
°
<≤
,
the root is subjected to tension. The sliding soil need to
overcome not only the cohesive force and internal
friction, but also the root tension T. The tension will
have two effects. On the one hand, the component force
perpendicular to sliding surface will occur. On the other
hand, the component force parallel to sliding surface
will occur. The stability coefficient of the sliding mass
with a single root is expressed as: In order to realize the effect of various roots on
slope stability along different depths, the fitting curve
of stability coefficient vs depth is shown in Fig. 7. (
)
2
'
cos
tan
cos
sin
tan
sin
sin
f
C A
G
T
K
G
G
θ
φ
α
α
φ
θ
θ
+
+
=
+
(3 (3) It is evident from Fig. 7 that the stability
coefficient decreases gradually along depth regardless
of plant roots. The decreasing amplitude order of the
stability coefficient is Mugwort> Sedge> Bokbunja> When α
°
>90 , the root is compressed while the
sliding mass is sliding, whose tensile strength is far 2433 Res. J. Appl. Sci. Eng. Technol., 6(13): 2429-2435, 2013 Fig. 7: Stability coefficient vs depth curves
0
2
4
6
8
10
12
14
0
0.05
0.1
0.15
0.2
0.25
0.3
0.35
coefficient of stability
Depth/m
No plants
Bokbunja
Dilatatum
Sedge
Mugwort bili
ffi i
d
h
0
2
4
6
8
10
12
14
0
0.05
0.1
0.15
0.2
0.25
0.3
0.35
coefficient of stability
Depth/m
No plants
Bokbunja
Dilatatum
Sedge
Mugwort coefficient of stability Fig. 7: Stability coefficient vs depth curves Fig. 7: Stability coefficient vs depth curves Table 3: The calculation parameters of plants
Plant
Weight of a
plant/N
Mean ultimate tension/N
α /°
Bokbunja
0.93
29.96
80
Dilatatum
0.88
19.63
80
Sedge
0.04
7.19
90
Mugwort
0.03
10.84
88
T bl 4 Th
ff
ti
b
f
t
l
diff
t d
th Table 3: The calculation parameters of plants herb plants can green slope rapidly in the early days, it
is easy to degenerate and change to bare land. THEORY ANALYSIS OF ROOT
SLOPE PROTECTION So grass-
shrub mixed community is the ideal system for slope
protection taking short-term and long-term effect,
shallow and deep result into account. During counting process of slope stability
coefficient, mean tension and angle were adopted to
simple calculation, which was a certain deviation. It is
necessary to build distribution models of root tension
and root morphology and calculate using the finite
element method. Table 4: The effective numbers of roots along different depths
Depth /cm Table 4: The effective numbers of roots along different depths
Plant
Depth /cm
----------------------------------------------------------
10
15
20
25
30
Bokbunja
5
4
2
2
1
Dilatatum
7
5
3
2
1
Sedge
3
3
3
1
0
Mugwort
4
4
4
1
0
Table 5: The stability coefficient of slope along different depths REFERENCES HRB235, herb roots tensile strength is as great as
1/5~1/3, while Shrub roots is about 1/10~1/5. The mean
tensile strength of herb roots is greater than shrub. The
tensile strength of the same plant roots decreases with
the diameter. Abernethy, B. and D. Rutherfurd, 2001. The
distribution and strength of riparian roots in
relation to riverbank reinforcement. Hydrol. Process., 15: 63-79. Four kinds of plants can improve the stability
coefficient of shallow soil. When the depth is less than
25 cm, along different depths the stability coefficient
shows that Mugwort>Sedge>Bokbunja>Dilatatum >No
plant. The slope protection effect of herb roots is
superior to shrub ones. When the depth is more than 25
cm which is beyond the affected depth of Sedge and
Mugwort, the stability coefficient of Sedge and
Mugwort is less than slope without plants. The slope
protection effect of Bokbunja and Dilatatum roots is
weak. The stability coefficient decreases gradually
along depth regardless of plant roots. The decreasing
order of the stability coefficient is Mugwort>Sedge>
Bokbunja>Dilatatum>No plant. Grass-shrub mixed
community is the ideal system for slope protection
when taking the short-term and long-term effect,
shallow and deep result into account. Bischetti, G., E. Chiaradia, T. Simonato, B. Speziali, B. Vitali, P. Vullo and A. Zocco, 2005. Root strength
and root area ratio of forest species in Lombardy
(Northern Italy). Plant Soil, 278: 11-22. Bischetti, G., E. Chiaradia, T. Epis and E. Morlotti,
2009. Root cohesion of forest species in the Italian. Alps. Plant Soil, 324: 71-89. Comino, E. and P. Marengo, 2010. Root tensile strength
of three shrub species: Rosa canina, Cotoneaster
dammeri
and
juniperus
horizontalis-soil
reinforcement estimation by laboratory tests. Catena., 82: 227-235. Docker, B. and T. Hubble, 2008. Quantifying root-
reinforcement of river bank soils by four Australian
tree species. Geomorphology, 10: 401-418. Operstein, V. and S. Frydman, 2000. The influence of
vegetation on soil strength. Ground Improvement,
4: 81-89. Schmid, I. and M. Kazda, 2001. Vertical distribution,
radial growth of coarse roots in pure, mixed stands
of fagus sylvatica, picea abies. Canadian J. Forest
Res., 31: 539-548. CONCLUSION Plants have a two-phase effect to slope stability. The roots improve slope stability coefficient, but the
weight of plants reduce its stability. Roots may improve
anti-slide performance and stability coefficient of
shallow slope. The improvement of slope’s anti-slide
performance through roots shows two aspects: roots
tension with acute angle or right angle to the landslide
surface and roots shear stiffness with obtuse angle. The
slope stability coefficient formula with plants suggests
that slope stability coefficient with plant growing shows
a positive correlation with roots tension and number
through the sliding surface, but a negative correlation
with plants weight. It is also related to the plant density
and root morphology. le 5: The stability coefficient of slope along different depths Table 5: The stability coefficient of slope along different depths
Depth/cm Plant
Depth/cm
---------------------------------------------------------
10
15
20
25
30
No plant
1.48
1
0.76
0.61
0.52
Bokbunja
2.12
1.34
0.89
0.72
0.56
Dilatatum
2.07
1.28
0.88
0.68
0.54
Sedge
5.53
3.76
2.85
1.17
0.51
Mugwort
11.91
8.06
6.10
1.68
0.51 Dilatatum>No plant. When the depth is shallow (H<25
cm), four roots play a role whose stability performance
and are superior to the slope without roots. When H>25
cm, shrub roots still works. The stability performance
of slope with Bokbunja and Dilatatum exceed those
without roots. But the effective depth of herb roots is
limited and the stability performance of slope with
Mugwort and Sedge is inferior to those without roots. The mean ultimate tension of the four roots is
7.19~29.96 N. The order is Bokbunja>Dilatatum>
Mugwort>Sedge. Shrub roots are greater than herb
roots. The ultimate tension of the same plant roots
increases with the diameter. Thus it can be seen that slope protection effect of
herb roots is superior to shrub ones. But herb roots is
usually shallow to shrub ones. Shrub roots may still
protect slope beyond herb ones affected depth. Though The mean tensile strength of the four roots are
24.48~74.25 MPa. The order is Sedge>Mugwort>
Dilatatum>Bokbunja. Compared
with
the
steel 2434 Res. J. Appl. Sci. Eng. Technol., 6(13): 2429-2435, 2013 ACKNOWLEDGMENT This study is supported by the Key Project of
Ministry of Education of China (No. 2010133), the
Program for New Century Excellent Talents in
University of Ministry of Education of China (No. NCET-11-0962) and the National Natural Science
Foundation of China (No. 51178166). Waldron, L., 1977. The shear resistance of root-
permeated homogeneous and stratified soil. Soil
Sci. Soc. Amer., 41: 843-849. 2435
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https://openalex.org/W2891537384
|
https://ojrd.biomedcentral.com/track/pdf/10.1186/s13023-018-0915-2
|
English
| null |
Efficacy of sirolimus for the prevention of recurrent pneumothorax in patients with lymphangioleiomyomatosis: a case series
|
Orphanet journal of rare diseases
| 2,018
|
cc-by
| 4,942
|
© The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0
International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and
reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to
the Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver
(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated. Abstract Pneumothorax is one of the most common symptoms in patients with lymphangioleiomyomatosis (LAM). However,
current management strategies for patients with LAM who present with recurrent pneumothorax remain
inadequate. Here, we describe the successful prevention of recurrent pneumothorax by sirolimus treatment in five
women with LAM. Before sirolimus treatment, all patients had received supplemental oxygen support, repeated
chest tube drainage, or surgeries for management of the recurrent pneumothorax. Sirolimus treatment was initiated
when the pneumothorax was completely resolved, and no patient developed pneumothorax during treatment. Moreover, they exhibited a significantly improved subjective quality of life, increased exercise capacity, and mild
adverse effects such as mucositis, irregular menstruation, and delayed wound healing. On discontinuation of
sirolimus or in the event that the plasma sirolimus level was markedly low, pneumothorax tended to relapse. The
findings from these cases provide valuable insights that will aid in the improvement of treatment strategies for
patients with LAM and recurrent pneumothorax. Keywords: Sirolimus, Lymphangioleiomyomatosis, Pneumothorax, Treatment strategy, Recurrence Zhou et al. Orphanet Journal of Rare Diseases (2018) 13:168
https://doi.org/10.1186/s13023-018-0915-2 Zhou et al. Orphanet Journal of Rare Diseases (2018) 13:168
https://doi.org/10.1186/s13023-018-0915-2 Open Access Efficacy of sirolimus for the prevention of
recurrent pneumothorax in patients with
lymphangioleiomyomatosis: a case series Li Zhou, Ruoyun Ouyang*, Hong Luo, Siying Ren, Ping Chen, Yating Peng, Ting Liu and Guiqian Liu Introduction published in 2016 [4], sirolimus is recommended for the
following types of patients with LAM: patients with
moderately impaired lung function [a forced expiratory
volume in 1 s (FEV1) of less than 70% predicted] or pro-
gressively declining lung function (decline rate for FEV1,
over 90 ml/year) and patients with chylous effusion. However, to date, sirolimus has not been recommended
for patients with LAM presenting with pneumothorax. Here, we describe the clinical course of five women with
LAM who presented with recurrent pneumothorax that
was successfully prevented by sirolimus treatment. We
also discuss the effectiveness of sirolimus therapy and
other therapeutic options for the prevention of pneumo-
thorax recurrence in patients with LAM, in an attempt
to promote the development of better treatment strat-
egies for this patient population. Lymphangioleiomyomatosis (LAM) is a rare, progressive,
cystic
lung
disease
that
mostly
affects
women
of
child-bearing age and is characterized by abnormal
smooth muscle cell proliferation. LAM is associated with
a series of clinical manifestations such as dyspnea, recur-
rent pneumothorax, hemoptysis, chylous effusion, renal
angiomyolipoma (AML), retroperitoneal masses, and re-
spiratory failure [1]. Pneumothorax is a common mani-
festation of LAM. Previous studies have demonstrated
that approximately 66% of patients with LAM may ex-
hibit pneumothorax; importantly, 70% of these patients
may experience recurrent ipsilateral or contralateral
pneumothoraces [2, 3]. However, management strategies
for recurrent spontaneous pneumothorax in patients
with LAM remain controversial and inadequate. Siroli-
mus,
a
common
mammalian
target
of
rapamycin
(mTOR) inhibitor, is considered the first effective drug
for patients with LAM. According to the guidelines Case 1 * Correspondence: ouyangruoyun@csu.edu.cn
Department of Pulmonary and Critical Care Medicine, The Second Xiangya
Hospital, Central South University, 139 Renmin Road, Changsha, China A 33-year-old female nonsmoker with a 4-month history
of intermittent chest pain and dyspnea at rest, which Zhou et al. Orphanet Journal of Rare Diseases (2018) 13:168 Page 2 of 6 Page 2 of 6 demonstrated that the renal mass consisted of mal-
formed blood vessels, fusiform smooth muscle bundles,
and adipose tissue. Immunohistochemical staining re-
vealed positive expression of human melanoma black 45
(HMB45), smooth muscle actin (SMA), and cluster of
differentiation 34 (CD34). She underwent bilateral CTD
and when her lungs markedly re-expanded, chest HRCT
was performed and revealed multiple, diffuse, round,
thin-walled cysts in both lungs. TSC gene mutation was
not seen. The patient opted for a conservative manage-
ment strategy with observation and intermittent supple-
mental oxygen administration after complete resolution
of the pneumothorax. However, 4 months later, the pa-
tient developed left followed by right pneumothorax. She
was
hospitalized
for
over
30 days,
and
after
complete resolution of the pneumothoraces, she began
sirolimus treatment. The plasma sirolimus level was
maintained at 4–5 ng/ml in repeated measurements. The patient was followed for > 1 year without pneumo-
thorax recurrence, and she could perform all types of or-
dinary exercises, including running, mountain climbing,
cycling, housekeeping, and other outdoor activities. The
only sirolimus-associated adverse effect was a mildly
intermittent menstruation disorder. A follow-up PFT re-
vealed an FVC of 2.08 l (61% predicted), an FEV1 of
2.04 l (70% predicted), an FEV1/FVC ratio of 98% (87%
predicted), a diffusing capacity for carbon monoxide
(DLCO) of 4.70 mmol/kPa/min (75% predicted), and a
total lung capacity of 3.13 l (68% predicted). She could
cover a distance of 550 m in 6MWT. However, the pa-
tient discontinued sirolimus after 1.5 years without seek-
ing advice from her physicians because she was planning
to conceive for the second time. Three months later, she
presented with left chest pain and an uncomfortable
feeling in her chest on movement. She received supple-
mental oxygen support at home for 5 days, following
which a chest radiograph revealed left pneumothorax
with 30% lung compression. Over the next 2 months,
she experienced two episodes of right pneumothorax. She was hospitalized again and remained unable to work
or perform regular activities. recurred every 2 weeks, was admitted to our hospital at
31 weeks of gestation. Four months ago, she had been
admitted after experiencing these symptoms for the first
time. A chest radiograph at that time revealed left
hydropneumothorax with 90% lung compression. The
patient received closed chest tube drainage (CTD). How-
ever, left pneumothorax recurred during rest or minimal
activity in the 20th, 25th, 28th, and 30th weeks of gesta-
tion. For every recurrent episode, she was admitted to a
local hospital, where she received CTD and was dis-
charged only after radiographic confirmation that the
pneumothorax had completely resolved. At the current
admission, arterial blood gas analysis indicated type I re-
spiratory failure with a partial pressure of oxygen (PaO2)
of 51 mmHg. The patient was treated with supplemental
oxygen and continuous CTD. Between the 31st and
32nd weeks of gestation, abdominal ultrasound revealed
that the umbilical cord was twisted around the neck of
the fetus. At 33rd weeks, the patient underwent a
cesarean section and successfully delivered a baby with a
low birth weight of 1720 g and normal Apgar scores. High-resolution computed tomography (HRCT) revealed
small, thin-walled cystic lesions diffused throughout all
lung fields. The serum level of vascular endothelial
growth factor-D (VEGF-D) was 6608 pg/ml. The patient
was diagnosed with LAM, and she began treatment at a
dose of 2 mg/day from 28 days after delivery. At
18 months after treatment initiation, the patient’s exer-
cise capacity and quality of life exhibited considerable
improvement, and she was able to resume work. She
was followed up for 3 years and had not experienced re-
current pneumothorax at the time of writing this report. She could perform all daily activities, including jogging,
housekeeping, and routine work. The only sirolimus-
associated adverse effect was mucositis, which gradually
ameliorated and resolved with time during the course of
sirolimus treatment. A follow-up pulmonary function
test (PFT) revealed a forced vital capacity (FVC) of
2.20
l
(75.3%
predicted),
FEV1
of
1.85
l
(66.3%
predicted), and an FEV1/FVC ratio of 84.1% (100%
predicted). Moreover, she could cover a distance of 480 m
in a 6-min walk test (6MWT). Her baby showed normal
growth and remained healthy without breast milk. Case 3 A 31-year-old female nonsmoker presented with chest
pain and dyspnea at rest. Chest HRCT revealed right
pneumothorax with 90% lung compression and multiple
bilateral pulmonary bullae. The patient received CTD
and oxygen supplementation, followed by bullectomy in
the right upper lung lobe. Postoperative H&E staining of
lung tissue revealed small spindle-shaped cells distrib-
uted alongside bronchioles, blood vessels, and lymph
vessels. Immunohistochemical
staining
demonstrated
positive expression of HMB45, SMA, estrogen receptor (ER;
80%), and progesterone receptor (PR; 80%). Considering her Case 2 A 23-year-old female nonsmoker was admitted to our
hospital with 6 days of dyspnea. The chest radiograph
revealed bilateral hydropneumothoraces (50% and 80%
compression in the left and right lungs, respectively). Two months ago, a large intraperitoneal mass had been
detected during prenatal examination, and the patient
underwent laparatomy with abdominal mass resection
and left nephrectomy. Postoperative pathological exam-
ination with hematoxylin and eosin (H&E) staining Page 3 of 6 Zhou et al. Orphanet Journal of Rare Diseases (2018) 13:168 Page 3 of 6 and the treatment was discontinued. One month later,
she presented with swollen, painful ankles and fingers. The plasma sirolimus level at that time was > 15 ng/ml. The findings of rheumatological and immunological ex-
aminations were unremarkable. The ankle and finger
pain was considered a side effect of sirolimus treatment;
therefore, the dose was reduced to 1 mg/day. The ankle
pain resolved; however, the patient developed slight
fever, and clinical examinations revealed that the tuber-
culosis had relapsed. Accordingly, anti-tuberculosis ther-
apy was restarted. Four months later, she experienced
recurrent dyspnea and right pneumothorax; the plasma
sirolimus level was 0.01 ng/ml. The sirolimus dose was
increased to 2 mg/day, and she additionally received
supplemental oxygen support. Two months later, the
plasma sirolimus level was 2.97 ng/ml, and a chest radio-
graph revealed complete resolution of the pneumothorax. Sirolimus-associated side effects included mild mucositis,
joint pain, and menoxenia. At the time of writing this re-
port, the patient had been followed up for > 3 years, with
gradually improved respiratory symptoms. She exhibited
an improved quality of life and was able to perform daily
activities such as housework, jogging, cycling, and moun-
tain climbing. A follow-up PFT revealed an FVC of 3.39 l
(120.2% predicted), FEV1 of 2.38 l (90.5% predicted), and
FEV1/FVC ratio of 70.2% (86.2% predicted). The distance
covered in 6MWT was 510 m. age and the fact that it was her first episode of pneumo-
thorax, sirolimus therapy was not initiated. During the fol-
lowing 6 months, the patient presented with unilateral
pneumothorax with 30% lung compression and was unable
to resume work, and she expressed concern about the recur-
rence. Nine months later, she was readmitted with bilateral
pneumothoraces (compression of the right and left lungs:
95% and 70%, respectively). Case 4 A 38-year-old female nonsmoker with an 8-year history
of recurrent dyspnea and hemoptysis, which had been
aggravated since a week, was admitted to our hospital. She had experienced right chest pain and mild dyspnea
following a sneeze 8 years ago, and chest radiography at
that time confirmed right pneumothorax. Chest HRCT
revealed bilateral, diffuse, round, thin-walled cysts with
varying sizes. She was clinically diagnosed with tubercu-
losis and received anti-tuberculosis therapy for 6 months. Two years later, the patient underwent pleurodesis under
video-assisted thoracoscopic surgery (VATS) because of
recurrent pnuemothoraces and for further evaluation of
the thin-walled cystic lesions. Postoperative pathological
examination of lung tissue revealed the characteristics of
pulmonary LAM. Immunohistochemical examination
demonstrated positive expression of HMB45, SMA, ER,
and PR. Over the next 3 years, she experienced recurrent
pneumothorax, mainly in the right lung. At the current
admission, the chest radiograph revealed right pneumo-
thorax with 60% lung compression. Two days later, the
patient exhibited severe dyspnea with cyanotic lips and
nails, and unconsciousness. Arterial blood gas analysis
revealed type I respiratory failure with a PaO2 of
45.5 mmHg, while a chest radiograph showed massive
bilateral pneumothoraces. On resolution of the pneu-
mothoraces, the patient opted to begin sirolimus treat-
ment at 2 mg/day. She was diagnosed with recurrent
tuberculosis at the same time, and anti-tuberculosis
therapy was also initiated. The plasma sirolimus level
was 3.9 ng/ml. Following anti-tuberculosis treatment for
1 year, her respiratory symptoms completely resolved, Case 2 She successively received sup-
plemental oxygen support, CTD, and left chemical pleurod-
esis with 50 ml high-sugar + 5-ml lidocaine infusion and
autologous blood for sclerification. Eventually, the chest tube
was successfully removed, and the patient opted to begin sir-
olimus treatment at 2 mg/day. Follow-up plasma sirolimus
levels ranged from 6 to 10 ng/ml. At the time of writing this
report, the patient had been followed up for 2.5 years with-
out recurrence, had resumed her job, and was able to per-
form
ordinary
exercises,
including
jogging,
running,
mountain climbing, and badminton. A follow-up PFT re-
vealed an FVC of 2.24 l (72.7% predicted), FEV1 of 2.23 l
(73.6% predicted), and FEV1/FVC ratio of 99% (118% pre-
dicted), and she could cover a distance of 555 m in 6MWT. Case 5 A 30-year-old female smoker presented with a 3-year his-
tory of recurrent pneumothorax, chest pain, and dyspnea
on exercise. Chest CT obtained after the first episode of
pneumothorax 3 years ago revealed left pneumothorax
with 50% lung compression
and bilateral,
multiple,
thin-walled pulmonary cysts. The patient underwent left
pulmonary bullectomy and intrapleural fixation. However,
the patient still experienced frequent left or right pneumo-
thorax at rest or on minimal activity, although it showed
spontaneous resolution. A year ago, the patient was admit-
ted to a local hospital with severe pain in the right chest
and dyspnea. A chest radiograph revealed right pneumo-
thorax with 30% lung compression. She also developed re-
current lower abdominal pain accompanied by nausea and
vomiting. Abdominal magnetic resonance imaging re-
vealed multiple retroperitoneal cystic masses (15.6 ×
20.2 cm), a cystic mass at the right uterine attachment
(6.2 × 3.6 × 7.0 cm). She underwent retroperitoneal tumor
resection, and postoperative pathological examination of
the retroperitoneal mass revealed a large number of
spindle-shaped cells distributed alongside blood vessels
and lymph vessels. The cells showed no obvious hetero-
typic features, necrosis, and mitosis. Immunohistochemi-
cal examination demonstrated positive expression of
SMA, HMB45, ER, PR, and D2–40. The serum VEGF-D Page 4 of 6 Zhou et al. Orphanet Journal of Rare Diseases (2018) 13:168 Page 4 of 6 respiratory failure. In addition, all patients experienced
recurrent homolateral or contralateral pneumothorax,
which resulted in a poor quality of life and repeated hos-
pitalizations. The management of recurrent pneumo-
thorax in patients with LAM has been controversial. The latest official guideline from the American Thoracic
Society/Japanese Respiratory Society recommends that
ipsilateral pleurodesis should be performed when pa-
tients with LAM experience their first episode of
pneumothorax (conditional recommendation, very low
confidence in the estimated effects) [7]. An observational
study of 395 patients registered with the LAM Founda-
tion [3] revealed that two-thirds of patients presenting
with pneumothorax subjected to conservative therapy
for the first episode experienced recurrent pneumo-
thorax, with recurrence rates of 32% and 27% for pa-
tients
who
underwent
surgical
management
and
chemical pleurodesis, respectively, for the first episode. However, approximately 62% of patients with LAM and
pneumothorax select oxygen supplementation or CTD
for the first episode, while 60% select pleurodesis for the
second episode [2]. Case 5 All of our patients received conser-
vative treatment such as supplemental oxygen and
small-bore chest drain insertion for re-expansion of their
lungs after the first episode of pneumothorax, with three
of them receiving chemical pleurodesis, surgical pleurod-
esis, and/or bullectomy after frequent recurrences. How-
ever, all five patients continued to develop recurrent
ipsilateral, contralateral, or bilateral pneumothoraces
despite conservative or aggressive surgical treatment. The efficacy of conservative treatment and pleurodesis
for the prevention of pneumothorax recurrence in pa-
tients
with
LAM
remains
unsatisfactory. Repeated
pneumothorax negatively influences the life quality of
patients with LAM and significantly increases their
healthcare burden. Therefore, it is necessary for physi-
cians to identify an effective drug that can prevent the
relapse of pneumothorax and improve the quality of life. level was 2685.88 pg/ml. Considering the possibility of re-
current pneumothorax, the patient agreed to begin siroli-
mus therapy at 1 mg/day. At the time of writing this
report, the patient had been followed up for 5 months
without recurrent pneumothorax or abdominal pain. A
follow-up PFT revealed an FVC of 3.12 l (93.6% pre-
dicted), an FEV1 of 2.35 l (81.4% predicted), an FEV1/
FVC ratio of 75.54% (84.06% predicted), a DLCO of 5.35
mmol/kPa/min (61.4% predicted), and a total lung cap-
acity of 4.31 l (93% predicted). The plasma sirolimus levels
in the first and third months of treatment were 5.28 and
7.25 ng/ml, respectively. The distance covered in 6MWT
was 480 m. Mild mucositis was the only sirolimus-
associated adverse effect. ial growth factor-D, PTX pneumothorax, PFT pulmonary function test, 6MWT 6-min walk test, FVC forced vital capacity, FEV1 forced
DLCO diffusing capacity for carbon monoxide ular endothelial growth factor-D, PTX pneumothorax, PFT pulmonary function test, 6MWT 6-min walk test, FVC forced vital capacity, FE
olume in 1 s, DLCO diffusing capacity for carbon monoxide Discussion In this report, we described the successful prevention of
recurrent pneumothorax by sirolimus treatment in five
women with LAM. The clinical characteristics of the five
LAM patients with recurrent pnuemothoraces are de-
scribed in Table 1, and the time course of pneumothorax
recurrences is shown in Fig. 1. Spontaneous recurrent
ipsilateral or contralateral pneumothorax during rest or
minimal activity is one of the most common manifesta-
tions, accounting for two-thirds of LAM patients [5]. In
a previous study, the majority of patients with LAM ini-
tially presented with unilateral pneumothorax, and only
4% initially presented with simultaneous bilateral pneu-
mothoraces [3]. After the first episode of pneumothorax,
conditions such as Birt–Hogg–Dubé syndrome, pulmon-
ary Langerhans cell histiocytosis, pulmonary bullae,
lymphoid interstitial pneumonia, Sjögren syndrome, and
amyloidosis, all of which are characterized by diffuse,
thin-walled cystic lesions in the lungs on HRCT, should
be ruled out [6]. All five patients reported here devel-
oped pneumothorax before LAM was diagnosed, and
chest pain and dyspnea were the most frequent symp-
toms, and two of the patients experienced type I Table 1 Clinical data for five patients with lymphangioleiomyomatosis (LAM) and recurrent pneumothorax treated with sirolimus
Characteristics
Case 1
Case 2
Case 3
Case 4
Case 5
Age (years)
33
23
31
38
30
VEGF-D (pg/ml)
6608
2385
1139
3901
2685.8
PaO2(mmHg)
51
92
96
45.5
98
Surgery
No
No
Yes
Yes
Yes
Chemical pleurodesis
No
No
Yes
No
No
Number of PTX episodes before sirolimus therapy
6
3
6
6
2
Sirolimus concentration (ng/ml)
5–7
4–5
6–10
3–8
5.28a
Number of PTX episodes during sirolimus therapy
0
0
0
1
0
Follow-up 6MWT results (m)
480
550
555
510
500
aOnly examined once
VEGF-D vascular endothelial growth factor-D, PTX pneumothorax, PFT pulmonary function test, 6MWT 6-min walk test, FVC forced vital capacity, FEV1 forced
expiratory volume in 1 s, DLCO diffusing capacity for carbon monoxide aOnly examined once y
VEGF-D vascular endothelial growth factor-D, PTX pneumothorax, PFT pulmonary function test, 6MWT 6-min walk test, FVC forced vital capacity, FEV1 forced
expiratory volume in 1 s, DLCO diffusing capacity for carbon monoxide Zhou et al. Orphanet Journal of Rare Diseases (2018) 13:168 Page 5 of 6 Fig. 1 Timelines of pneumothorax recurrence in five patients with lymphangioleiomyomatosis (LAM) who were treated with sirolimus. All five
patients had recurrent pneumothoraces before sirolimus treatment. The pneumothorax was induced by pregnancy in case 1. Discussion During sirolimus
treatment, no patient developed pneumothorax. However, when the patients discontinued sirolimus or exhibited an undetectable trough level
due to interaction with anti-tuberculosis drugs, the pneumothorax relapsed Fig. 1 Timelines of pneumothorax recurrence in five patients with lymphangioleiomyomatosis (LAM) who were treated with sirolimus. All five
patients had recurrent pneumothoraces before sirolimus treatment. The pneumothorax was induced by pregnancy in case 1. During sirolimus
treatment, no patient developed pneumothorax. However, when the patients discontinued sirolimus or exhibited an undetectable trough level
due to interaction with anti-tuberculosis drugs, the pneumothorax relapsed The findings from the five cases reported here suggest
that sirolimus is a promising and effective drug for the
prevention of recurrent pneumothorax in patients with
LAM. Pneumothorax did not reappear in any of our pa-
tients as long as the plasma sirolimus level remained at
3–10 ng/ml. In addition, improvements in the subjective
quality of life and exercise capacity were observed dur-
ing sirolimus treatment for all five patients. All patients
were able to resume their daily activities and work dur-
ing sirolimus therapy. However, the pneumothorax re-
curred when sirolimus therapy was discontinued or the
plasma sirolimus level was very low. The side effects of
sirolimus experienced by these patients included the
common ones such as mucositis, irregular menstruation,
and delayed wound healing. On the basis of our experi-
ence, we would suggest that physicians use supplemental
oxygen
and
CTD
to
facilitate
gas
discharge
and
re-expansion of the lungs in patients with LAM who
present
with
pneumothorax. If
these
conservative
methods are not effective, chemical pleurodesis or surgi-
cal intervention should be used. Alternatively, physicians
can consider pleurodesis as the first choice of treatment
for lung re-expansion. Once the pneumothorax has
completely resolved and surgical wounds have healed,
sirolimus therapy can be initiated as soon as possible to
prevent relapse. It should be noted that sirolimus cannot
enhance the absorption of pneumothorax and cannot be
used to achieve the remission of existing pneumothorax. The potential benefits of sirolimus treatment for patients with LAM and recurrent pneumothorax include an im-
provement in lung function and the quality of life, an in-
crease in the exercise capacity, and a decrease in the
healthcare burden. On conducting a search of PubMed,
we found only one case report where pneumothorax
in a patient with LAM was successfully treated with
sirolimus [8]. Competing interests p
g
The authors declare that they have no competing interests. Funding
Th The present study was supported by the National Key Clinical Specialist
Construction Projects (grant no. 2012–650; Ping Chen); Industrial Research &
Development Project, Hunan Province (grant no. 2015–83; Ruoyun Ouyang);
Health and Family Planning Commission Project, Hunan Province (grant no. 20180541; Siying Ren); and National Natural Science Foundation of China
(grant no. 81700070; Siying Ren). Abbreviations
6MWT 6
i 6MWT: 6-min walk test; AML: Angiomyolipoma; AUC: Area under the curve;
Cmax: Maximum concentration; CTD: Chest tube drainage;
CYP3A4: Cytochrome P450 3A4 isoenzyme; EMA: Epithelial membrane
antigen; FEV1: Forced expiratory volume in 1 s; FVC: Forced vital capacity;
H&E: Hematoxylin and eosin; HMB45: Human melanoma black 45;
HRCT: High-resolution computed tomography;
LAM: Lymphangioleiomyomatosis; m-TOR: Mammalian target of rapamycin;
PFT: Pulmonary function test; SpO2: Blood oxygen saturation; TLC: Total lung
capacity; TSC: Tuberous sclerosis complex; VATS: Video-assisted thoracoscopic
surgery; VEGF-D: Vascular endothelial growth factor-D; SMA: Smooth muscle
actin.; ER: Estrogen receptor; PR: Progesterone receptor 8. Verma AK, Joshi A, Mishra AR, Kant S. A. S. pulmonary
lymphangioleiomyomatosis presenting as spontaneous pneumothorax
treated with sirolimus - a case report. Lung India : official organ of Indian
Chest Society. 2018;35:3. 9. Tortorici MA, Matschke K, Korth-Bradley JM, DiLea C, Lasseter KC. The effect
of rifampin on the pharmacokinetics of sirolimus in healthy volunteers. Clin
pharmacol in drug dev. 2014;3:51–6. 10. Zimmerman JJ. Exposure-response relationships and drug interactions of
sirolimus. AAPS J. 2004;6:e28. Discussion We observed that the plasma sirolimus level was re-
markably low (0.01 ng/ml) during coadministration of
sirolimus at 1 mg/day and anti-tuberculosis therapy in
case 4, whereas it ranged between 1 and 3 ng/ml when
the patient was receiving sirolimus at 2 mg/day and con-
comitant anti-tuberculosis therapy. When the patient
discontinued anti-tuberculosis therapy, the level of siroli-
mus was > 15 ng/ml, and obvious adverse effects oc-
curred in the form of pain and swelling of the ankles
and fingers. We found that previous findings have sug-
gested a potential interaction between anti-tuberculosis
drugs and sirolimus [9, 10]. Therefore, when physicians
coadminister sirolimus and anti-tuberculosis drugs, they
should individually increase the dose of sirolimus under
close monitoring of the plasma levels. In our case series,
no patient received talc pleurodesis, considering that
previous studies have demonstrated that exposure to talc
may increase the risk of lung cancer [11, 12]. Therefore,
autologous blood or hypertonic glucose is used as a
sclerosing agent for chemical pleurodesis in many hospi-
tals in China because of the low medical risk associated
with these agents. Page 6 of 6 Zhou et al. Orphanet Journal of Rare Diseases (2018) 13:168 Zhou et al. Orphanet Journal of Rare Diseases (2018) 13:168 Zhou et al. Orphanet Journal of Rare Diseases (2018) 13:168 Zhou et al. Orphanet Journal of Rare Diseases (2018) 13:168 The present case series has some limitations. Because
all patients presented to us with pneumothorax, PFT
findings prior to sirolimus therapy were unavailable. Therefore, we could not evaluate the efficacy of siroli-
mus for improving pulmonary function in these patients. Second, pregnancy may have played a role in pneumo-
thorax development in case 1. Therefore, the possibility
that pneumothorax may have stopped recurring without
sirolimus treatment after pregnancy cannot be com-
pletely excluded. Third, we cannot negate the effective-
ness of surgical pleurodesis in minimizing recurrences
on the basis of our case series. In future, we aim to de-
termine whether sirolimus therapy is more effective than
surgery, which is an invasive treatment. Finally, we
cannot eliminate bias caused by individual differences in
effect of sirolimus. Authors’ contributions
h d f ll
ll h LZ had full access to all the data presented in this article and contributed to
data collection and manuscript writing. RO, HL, and PC contributed to the
treatment of the patients. RS, PY, TL, and GL participated in the follow-up
evaluations. All authors have read and approved the final manuscript. Acknowledgements The authors would like to thank all the personnel at the Department of
Respiratory Medicine, The Second Xiangya Hospital, Central South University
(Changsha, China), as well as all the patients for their co-operation. 11. Chang CJ, Tu YK, Chen PC, Yang HY. Occupational exposure to talc
increases the risk of lung Cancer: a meta-analysis of occupational cohort
studies. Can Respir J. 2017;2017:1270608. 12. Kim J, Oak C, Jang T, Jung M, Chun B, Park EK, et al. Lung cancer probably
related to talc exposure: a case report. Ind Health. 2013;51:228–31. 12. Kim J, Oak C, Jang T, Jung M, Chun B, Park EK, et al. Lung cancer probably
related to talc exposure: a case report. Ind Health. 2013;51:228–31. References 1. McCormack FX. Lymphangioleiomyomatosis. MedGenMed. 2006;8:15. 2. Young LR, Almoosa KF, Pollock-Barziv S, Coutinho M, McCormack FX, Sahn
SA. Patient perspectives on management of pneumothorax in
lymphangioleiomyomatosis. Chest. 2006;129:1267–73. 3. Almoosa KF, Ryu JH, Mendez J, Huggins JT, Young LR, Sullivan EJ, et al. Management of pneumothorax in lymphangioleiomyomatosis: effects on
recurrence and lung transplantation complications. Chest. 2006;129:1274–81 4. McCormack FX, Gupta N, Finlay GR, Young LR, Taveira-DaSilva AM, Glasgow
CG, et al. Official American Thoracic Society/Japanese respiratory society
clinical practice guidelines: Lymphangioleiomyomatosis diagnosis and
management. Am J Respir Crit Care Med. 2016;194:748–61. 5. Ryu JH, Moss J, Beck GJ, Lee JC, Brown KK, Chapman JT, et al. The NHLBI
lymphangioleiomyomatosis registry: characteristics of 230 patients at
enrollment. Am J Respir Crit Care Med. 2006;173:105–11. 6. Xu KF, Lo BH. Lymphangioleiomyomatosis: differential diagnosis and
optimal management. Ther Clin Risk Manag. 2014;10:691–700. 7. Gupta N, Finlay GA, Kotloff RM, Strange C, Wilson KC, Young LR, et al. Lymphangioleiomyomatosis diagnosis and management: high-resolution
chest computed tomography, Transbronchial lung biopsy, and pleural
disease management an official American Thoracic Society/Japanese
respiratory society clinical practice guideline. Am J Respir Crit Care Med. 2017;196:1337–48. 6MWT: 6-min walk test; AML: Angiomyolipoma; AUC: Area under the curve;
Cmax: Maximum concentration; CTD: Chest tube drainage;
CYP3A4: Cytochrome P450 3A4 isoenzyme; EMA: Epithelial membrane
antigen; FEV1: Forced expiratory volume in 1 s; FVC: Forced vital capacity;
H&E: Hematoxylin and eosin; HMB45: Human melanoma black 45;
HRCT: High-resolution computed tomography;
LAM: Lymphangioleiomyomatosis; m-TOR: Mammalian target of rapamycin;
PFT: Pulmonary function test; SpO2: Blood oxygen saturation; TLC: Total lung
capacity; TSC: Tuberous sclerosis complex; VATS: Video-assisted thoracoscopic
surgery; VEGF-D: Vascular endothelial growth factor-D; SMA: Smooth muscle
actin.; ER: Estrogen receptor; PR: Progesterone receptor Ethics approval and consent to participate The present study was approved by the Ethics Committee of The Second
Xiangya Hospital, Central South University (Changsha, China). Written
informed consent was obtained from the patients for publication. Publisher’s Note Springer Nature remains neutral with regard to jurisdictional claims in
published maps and institutional affiliations. Thus far, no controlled clinical studies have been con-
ducted for investigation of the possible efficacy of siroli-
mus for the prevention of pneumothorax recurrence in
patients with LAM. In our case series, all patients re-
ceived supplemental oxygen support, repeated CTD, or
surgical treatment for lung re-expansion under case of
recurrent pneumothorax before sirolimus treatment, al-
though these strategies proved dissatisfactory in prevent-
ing the relapse of pneumothorax. During treatment with
sirolimus, however, no patient developed pneumothorax. In addition, they exhibited a significantly improved qual-
ity of life. The findings from our case series suggest a
potential therapeutic strategy for the management of re-
current pneumothorax in patients with LAM. However,
further studies are necessary to clarify our findings. Received: 5 April 2018 Accepted: 14 September 2018 Received: 5 April 2018 Accepted: 14 September 2018 Received: 5 April 2018 Accepted: 14 September 2018 Consent for publication All patients provided written informed consent for publication of clinical data. All patients provided written informed consent for publication of clinical data. All patients provided written informed consent for publication of clinical data. 10.
Zimmerman JJ. Exposure-response relationships and drug interactions of
sirolimus. AAPS J. 2004;6:e28. Availability of data and materials The datasets used and/or analyzed during the current study are available
from the corresponding author on reasonable request.
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Measurement depth effects on the apparent temperature sensitivity
of soil respiration in field studies
A. Graf, L. Weiherm¨uller, J. A. Huisman, M. Herbst, J. Bauer, and H. Vereecken
Forschungszentrum J¨ulich, Agrosphere Institute (ICG-4), Institute for Chemistry and Dynamics of the Geosphere,
52425 J¨ulich, Germany Received: 7 April 2008 – Published in Biogeosciences Discuss.: 6 May 2008
Revised: 18 July 2008 – Accepted: 29 July 2008 – Published: 26 August 2008 ically, the temperature sensitivity of soil respiration is ex-
pressed as the Q10 value, i.e. the factor by which respiration
is enhanced at a temperature rise of 10 K (Appendix A). Abstract. CO2 efflux at the soil surface is the result of respi-
ration in different depths that are subjected to variable tem-
peratures at the same time. Therefore, the temperature mea-
surement depth affects the apparent temperature sensitivity
of field-measured soil respiration. We summarize existing
literature evidence on the importance of this effect, and de-
scribe a simple model to understand and estimate the mag-
nitude of this potential error source for heterotrophic res-
piration. The model is tested against field measurements. We discuss the influence of climate (annual and daily tem-
perature amplitude), soil properties (vertical distribution of
CO2 sources, thermal and gas diffusivity), and measurement
schedule (frequency, study duration, and time averaging). Q10 as a commonly used parameter describing the temper-
ature sensitivity of soil respiration is taken as an example
and computed for different combinations of the above con-
ditions. We define conditions and data acquisition and anal-
ysis strategies that lead to lower errors in field-based Q10
determination. It was found that commonly used tempera-
ture measurement depths are likely to result in an underesti-
mation of temperature sensitivity in field experiments. Our
results also apply to activation energy as an alternative tem-
perature sensitivity parameter. p
pp
Several restrictions to the significance of the Q10 concept,
especially if mistaken as a means to extrapolate soil CO2
losses into a warmer future, have been brought up (David-
son and Janssens, 2006; Tuomi et al., 2008). Here, we exam-
ine an additional restriction which has received remarkably
little attention in literature. In most field studies, column-
integrated soil respiration and its sensitivity are quantified
by a single temperature measurement, while the total flux is
a sum of source terms from various depths, which are ex-
posed to different temperature regimes. Because of the at-
tenuation and phase shift of temperature fluctuations with in-
creasing depth, the apparent Q10 will depend on the temper-
ature measurement depth. This possibility was mentioned
first by Lloyd and Taylor (1994), but without quantification. Davidson et al. Measurement depth effects on the apparent temperature sensitivity
of soil respiration in field studies
A. Graf, L. Weiherm¨uller, J. A. Huisman, M. Herbst, J. Bauer, and H. Vereecken
Forschungszentrum J¨ulich, Agrosphere Institute (ICG-4), Institute for Chemistry and Dynamics of the Geosphere,
52425 J¨ulich, Germany (1998) predicted that Q10 values would in-
crease with temperature measurement depth, and recognized
that this complicates comparisons between studies. Recently,
several field studies with multiple temperature measurement
depths have been published (Xu and Qi, 2001; Hirano et al.,
2003; Tang et al., 2003; Gaumont-Guay et al., 2006; Khomik
et al., 2006; Shi et al., 2006; Wang et al., 2006; Pavelka et al.,
2007). All of them show an increase of apparent Q10 with
depth. The same effect has also been identified in model
simulations by Hashimoto et al. (2006), and demonstrated
exemplary with synthetical data in a recent overview paper
by Reichstein and Beer (2008). In a laboratory incubation,
Reichstein et al. (2005a) found strongly differing tempera-
ture time series between two probe locations within the soil
core, and used a multiple regession to consider both locations
as sources. Biogeosciences, 5, 1175–1188, 2008
www.biogeosciences.net/5/1175/2008/
© Author(s) 2008. This work is distributed under
the Creative Commons Attribution 3.0 License. Biogeosciences A. Graf et al.: Temperature measurement depth effects A. Graf et al.: Temperature measurement depth effects 1176 Table 1. Studies providing multiple Q10 values due to multiple temperature measurement depths. Numbers refer to Fig. 2. reference
method
land use, climate, altitude
frequency
period
1
Xu and Qi (2001)
chamber
forest (young ponderosa pine),
≥1 month−1,
Jun 1998–Aug 1999
mediterranean, 1315 ma
≥6 day−1
2
Hirano et al. (2003)
profile
forest (deciduous broadleaf),
2 h−1
May 2000–Nov 2000
temperate, 70 m
3
Tang et al. (2003)
profile
savannah (oak-grass),
2 h−1
Jul 2002–Nov 2002
mediterranean, 177 m
4
Perrin et al. (2004)
chamber
forest (beech),
2 h−1
Jun 2000–Jul 2003
temperate, 495 m
5
Gaumont-Guay et al. (2006)
chamber
forest (aspen),
2 h−1
Jan 2001–Feb 2001
boreal, ca. 580 m
6
Khomik et al. (2006)
chamber
forest (mixedwood),
1 month−1 b,
Jul 2003–Jul 2005
boreal, ca. 360 m
not in winter
7
Shi et al. (2006)
chamber
farmland (irrigated winter wheat),
≥1 month−1,
Sep 1999–Aug 2001
continental temperate, 3688 m
≥2 day−1 c
8
Wang et al. (2006)
chamber
forest (six different types),
2 week−1
Apr 2004–Oct 2005
continental monsoon, ca. 300 m
9
Pavelka et al. (2007)
chamber
grassland (9a), forest (9b),
80 min−1
3–9 Aug 2004 (9a)
temperate, 850 m (9a), 890 m (9b)
19–24 May 2002 (9b) Table 1. Studies providing multiple Q10 values due to multiple temperature measurement depths. Numbers refer to Fig. 2. results given separately for two sites
b morning and afternoon of the measurement day in summer, once per day in transition months
c on two days per month in summer, 8 times at some days 2
Methods most appropriate when temperature measurements at mul-
tiple depths are available. Tang et al. (2003), Perrin et al. (2004) and Shi et al. (2006) use the temperature measurement
depth yielding the highest R2. Gaumont-Guay et al. (2006)
suggest that the temperature-efflux curve with the lowest hys-
teresis indicates the most appropriate temperature measure-
ment depth. Pavelka et al. (2007) also use the maximum R2
method, but additionally performed a crosscorrelation anal-
ysis to align each depths temperature time series with the
efflux. Since most studies use a single, more or less arbi-
trary, temperature measurement depth, the effect of varying
temperature measurement depth is often not considered. 1
Introduction Soil respiration is increasingly recognized as a major factor
in the global carbon cycle. Due to a rising interest in the
feedback between soils and climate change, numerous stud-
ies have provided relations between temperature and soil res-
piration either obtained in the laboratory or in the field. Typ- To our knowledge, no explanations of the strongly vary-
ing shape of these relationships have been provided so
far. In addition, it is unclear which Q10 value, if any, is Correspondence to: A. Graf
(a.graf@fz-juelich.de) Published by Copernicus Publications on behalf of the European Geosciences Union. Published by Copernicus Publications on behalf of the European Geosciences Union. Published by Copernicus Publications on behalf of the European Geosciences Union. A. Graf et al.: Temperature measurement depth effects A. Graf et al.: Temperature measurement depth effects 1177 Phase shifts
t
i
, Amplitudes
A
i
z
i
=
1
i
=
2
... 0
1 cm
2 cm
... 50 cm
[ ]
O
Efflux
(
t
)
t
1
t
2
... [ ]
... Eq. B3 (stepwise)
Eq. B3
Temperature
T
(
z
,
t
)
z
t
1
t
2
... 0
1 cm
2 cm
... 50 cm
[ ]
O
Respiration
S
R
(
T
)
z
t
1
t
2
... 0
1 cm
2 cm
... 50 cm
[ ]
O
Eq. A1 or A2
Soil properties
depth
z
thermal
diffusivity
D
T
temperature
sensitivity
Q
1
0
or
E
a
source
strength
S
R
T
r
e
f
eff. CO2
diffusivity
D
C
O
2
/
θ
0
1 cm
2 cm
... 50 cm
variant input
Eq.C2
(sub-timesteps)
CO2 diffusion? ∑
z
SR
T
F
Concentration
c
(
z
,
t
)
z
t
1
t
2
... 0
1 cm
2 cm
... 50 cm
[ ]
O
Resulting profile
z
Q
1
0
R
2
0
1 cm
2 cm
... 50 cm
output
(Eq. A1 or A2)-1
. Study schedule
Start: variant input
Time step: here, 1h
length: variant input
Annual Average
Temperature
T
a
v
g
: variant input
Temperature climate characterization
i
period
length
τ
i
phase
shift
&
t
i
Amplitude
A
i
at
z
r
e
f
1
1 yr
260 d
variant input
2
1 d
15 h
variant input
3
0.5 d
1 h
variant input
4... other
not used in this study
Depth of known amplitudes: zref
Fig. 1. Overview of the model architecture. Bold outline: Input parameters; doubled outline: Final output. Symbols are explained in the
Appendix. Soil properties Efflux
(
t
) Fig. 1. Overview of the model architecture. Bold outline: Input parameters; doubled outline: Final output. Symbols are explained in the
Appendix. It should be noted that most studies addressed total soil res-
piration, without differentiation between heterotrophic and
autotrophic respiration. Variations of the diurnal amplitude and day length were not
considered. The average temperature was set to the global
average (15◦C) in the numerical experiments, and equalled
the average measured temperature (12.7◦C) in the model val-
idation. Input amplitudes are determined for the uppermost
temperature sensor (0.5 cm) in the model validation. A. Graf et al.: Temperature measurement depth effects In the
numerical experiments, amplitudes were provided for a ref-
erence depth of 5 cm. The reason is that amplitudes in this
depth are more similar to air temperature than the soil sur-
face temperature. Air temperature amplitudes are globally
available and provide a more common reference than surface
temperature. 2.1
Literature review We found nine studies where multiple temperature measure-
ment depths were used to derive apparent Q10 depth profiles. An overview about the flux methods, site characteristics, and
time schedules is given in Table 1. Two of these studies use continuous CO2 concentration
profile measurements in the soil to calculate half-hourly sur-
face CO2 effluxes validated against chamber measurements. All other studies directly use a closed chamber system to
measure CO2 efflux. Many studies use a nested approach
with one or more measurement days each month, and two
to ten measurements per such day (Table 1). Some studies
cover a period of less than a year, whilst others leave out the
winter months for operational reasons. The aim of this study is to quantify the error in Q10 de-
termination caused by different temperature measurement
depths as a function of soil properties, climate, and measure-
ment schedule. To this end, we present a simple model and
validate it against field measurements of heterotrophic res-
piration. We consider this model as a tool that helps with
the design of field studies with meaningful temperature mea-
surement depths, and with a more appropriate interpretation
of existing datasets. We also obtained Q10 values from studies with a single,
reported temperature measurement depth (Kim and Verma,
1992; Dugas, 1993; Davidson et al., 1998; Fang et al., 1998;
Chen et al., 2002; Law et al., 2002; Borken et al., 2003;
Lou et al., 2003; Savage and Davidson, 2003; Yuste et al.,
2003; Novick et al., 2004; Takahashi et al., 2004; deForest
et al., 2006; Humphreys et al., 2006; Moyano et al., 2008;
Tang et al., 2008). Here, either chamber or micrometeoro-
logical systems were used to measure soil CO2 efflux. In
some studies, air temperature was used to calculate the Q10. Biogeosciences, 5, 1175–1188, 2008 www.biogeosciences.net/5/1175/2008/ Biogeosciences, 5, 1175–1188, 2008 2.2
Model CO2 and water vapour concentration as well as
chamber headspace temperature were measured every sec-
ond, and the CO2 concentration was corrected for changes
in air density and water vapour dilution. The soil respiration
was calculated by fitting a linear regression to the corrected
CO2 concentrations from 30 s after closing until reopening. time averaged effect of soil moisture at each depth. On the
other hand, time average effective thermal diffusivity may
vary strongly with depth due to differences in soil properties
and water content. To account for this, the analytic solution
was applied in discrete depth steps of 1 cm, using the am-
plitudes and phase shifts in each layer to calculate those of
the next deeper layer (Appendix B). The model is run with a
time step of 1 h. Soil respiration is calculated from tempera-
ture using the Q10 concept and, as an alternative, also using
the Arrhenius concept (see Appendix A). The source strength
of respiration at the average temperature is also given as a
depth-dependent value. Here, only a relative vertical distri-
bution is required because absolute values have no effect on
the resulting apparent Q10 profile. g pp
Q
p
If CO2 diffusion time from each depth to the soil sur-
face is assumed to be insignificant, the efflux can simply be
calculated by integration of the respiration over all depths. However, in analogy to the impact of thermal diffusion on
the apparent Q10 discussed above, slow gas diffusion could
also affect the apparent Q10. To test this hypothesis, we
also included CO2 diffusion in several model runs. As al-
ready proposed for heat diffusion, we use an effective dif-
fusivity DCO2θ−1
a
(Appendix C) invariant in time but verti-
cally distributed. Because the concentration profiles are a
result of the vertical source distribution and the nonlinear
temperature dependence, CO2 diffusion cannot be solved an-
alytically. Therefore, we implemented a numerical solution
(Appendix C). The CO2 flux between two adjacent layers
is now the product of diffusivity and the concentration gra-
dient. We assume no vertical exchange between the lowest
layer and the underground. At the surface, a constant atmo-
spheric CO2 concentration of 16.5×103 µmol m−3 is main-
tained. The model considering diffusion requires initializa-
tion of the concentration profile. Therefore, the model uses
a spin-up period. 2.2
Model The length of the spin-up period is consid-
ered adequate when the difference in cumulative efflux be-
tween runs with and without diffusion is less than 1%. The thermocouples used to measure soil temperature have
1 mm thick unshielded joints to ensure a quick response, and
were installed horizontally at 0.5, 3, 5, and 10 cm depth,
20 cm away from the chamber system. Temperature data
were logged every second while the chamber was closed, and
averaged. To vertically extend the empirical apparent Q10
profiles, we also use temperature data of pF-meters (Ecotech,
Bonn, Germany) in 15, 30, 45, 60, 90 and 120 cm depth,
which were logged independently in 1 h intervals. To obtain a uniform dataset, the efflux and temperature
measurements were reduced to median hourly CO2 flux and
average hourly soil temperature at each measurement depth. In the case of CO2 flux, the median was used because it is
less sensitive to outliers and non-normal distributions. In the
final data set, only those hours were considered where all
flux and temperature measurements were available. Because
more than 50% of the hours in December and January could
not be considered due to power supply problems, these two
months were completely excluded from the dataset. Finally, the modelled time series of efflux at the surface
and temperature in each depth are used to simulate the cur-
rent practice of field-based Q10 determination. For each
depth, regression of log-transformed efflux against temper-
ature T is used to compute Q10. To also test fitting of the
Arrhenius relation, the inverse of the temperature is plotted
against log-transformed respiration. In this case, the result-
ing activation energy is converted into a Q10 at the study’s
average temperature for comparison (cf. Sanderman et al.,
2003). To determine the effective soil thermal diffusivity, we de-
rived the annual amplitude in each depth from average daily
temperature, and applied the phase equation (e.g. Verhoef et
al., 1996) to each pair of successive temperature measure-
ment depths. Linear regression provided effective DT values
for each depth increment (cf. Appendix B). 2.2
Model The model is based on the concept of thermal diffusion and
is implemented in Fortran95. An overview of the model ar-
chitecture is given in Fig. 1 and the theory behind the model
is described in the Appendix. In brief, a simplified infinite
near-surface temperature time series is generated using sev-
eral distinct sine waves. The annual and diurnal cycle have a
phase shift to correctly reproduce times of maxima and min-
ima, assuming that t=0 is new year’s midnight. A further
cycle with a period of 12 h, a phase shift of 1 h, and an am-
plitude A=Adiurnal/4 was used to mimic the skewness of the
daily temperature cycle due to slow cooling during the night. The generated near-surface temperature time series is
transferred to other soil depths using an analytical solution
of the thermal diffusion equation (Appendix B). This solu-
tion does not consider time-variant thermal diffusivity. In-
stead, we use an effective thermal diffusivity representing the Biogeosciences, 5, 1175–1188, 2008 www.biogeosciences.net/5/1175/2008/ 1178 A. Graf et al.: Temperature measurement depth effects 06◦27′01′′ E, 104.5 m above sea level). The climate is warm
temperate, the soil is an Orthic Luvisol and the texture is
silt loam according to the USDA classification. A detailed
description of the test site is given by Weiherm¨uller et al. (2007). Organic carbon content was determined in vertical
steps of 15 cm. In September 2006, the soil was tilled up
to a depth of 15 cm and power harrowed. Bare field con-
ditions were maintained by a repetition of this treatment in
April 2007, several applications of glyphosate, and manual
weed control at the efflux measurement plot. Historically,
the field was annually ploughed to a depth of 30 cm, and
the crop rotation was sugar beet – winter wheat. From 15
October 2006 to 24 April 2007 only one CO2 flux system
was used (closing interval every 30 min). From 24 April to
14 October 2007, four identical chambers with a separation
of 20 cm were operated with the Li8100 multiplexer system
(closing interval 15 min for each chamber). The soil flux
chambers were placed on soil collars of 20 cm in diameter
and a height of 7 cm, which were inserted 5 cm into the soil. The system was closed for two minutes for each flux mea-
surement. Biogeosciences, 5, 1175–1188, 2008 2.3
Field measurements An automated soil CO2 flux chamber system (Li-8100, Li-
Cor Inc., Lincoln, Nebraska, USA) was operated with four
type T thermocouple thermometers at the FLOWatch project
test site Selhausen of the Forschungszentrum J¨ulich. The
test site is located in the river Rur catchment (50◦52′09′′ N, www.biogeosciences.net/5/1175/2008/ Biogeosciences, 5, 1175–1188, 2008 A. Graf et al.: Temperature measurement depth effects
1179
1
8
7
1
3
2
6
5
4
9a
9b
-50
-40
-30
-20
-10
0
0
1
2
3
4
5
6
7
8
9
10
11
12
Q 10
z (cm)
single depth study
multiple depth study
own measurements and model fit
Fig. 2. Empirical apparent Q10 as a function of temperature measurement depth z. Numbers refer to the study bibliography given in Table 1,
single depth references are listed in the methods section. Depths >0 denote air temperature (height not to scale). A. Graf et al.: Temperature measurement depth effects 1179 6 Fig. 2. Empirical apparent Q10 as a function of temperature measurement depth z. Numbers refer to the study bibliography given in Table 1,
single depth references are listed in the methods section. Depths >0 denote air temperature (height not to scale). 3
Results the shortest datset, shows an increase only up to a depth of
5 (grassland) or 10 (forest) cm, followed by a decrease for
greater depths. Note that Pavelka et al. (2007) also provide
Q10 values based on a synchronization of each depth’s tem-
perature time series with efflux by crosscorrelation. In this
case, the apparent Q10 increases exponentially with depth,
reaching an extremely high Q10 value of 799 in 30 cm depth
(grassland). 3.1
Literature and own field measurements Figure 2 shows apparent Q10 values as a function of depth
from this and other studies. An increase of apparent Q10
with depth can be seen in all studies, but with a strongly vari-
able slope. The highest apparent value (Gaumont-Guay et
al., 2006, Q10=150 in a temperature measurement depth of
50 cm) is not shown for scaling reasons. This profile is based
on measurements taken during two winter months. The sec-
ond highest value was found by Khomik et al. (2006), also at
50 cm, in long-term measurements excluding winter months,
but including snow cover situations in spring, and capturing
the diurnal cycle in summer (Table 1). Of the remaining pro-
files, our own measurements and those by Shi et al. (2006),
both from farmland and capturing the diurnal cycle, increase
strongest with depth. The remaining profiles exhibit compar-
atively low, but still substantial apparent Q10 increases with
depth. In the study by Perrin et al. (2004), the air temperature
9 m above ground level is included and yields a considerably
lower value than the three soil temperature series, which are
close to each other both in measurement depth and in ap-
parent Q10. The study by Pavelka et al. (2007), which used The values from studies using a single temperature mea-
surement depth also show Q10 values increasing with depth. No single-depth study was found with a temperature mea-
surement depth deeper than 10 cm. 3.2
Model validation Figure 2 also shows the best model fit (RMSE of 0.16) ob-
tained by fitting a depth invariant input Q10, while assum-
ing a model domain of 50 cm, a homogeneous carbon source
distribution within the plough layer (0 to 30 cm depth) and
a carbon-free subsoil and neglecting CO2 diffusion. The
depth-invariant input Q10 yielding this optimum fit was
5.9. We did not consider depth-dependent values of the in-
put Q10 in order to avoid over-fitting. It should be noted
that the results were not substantially different when using Biogeosciences, 5, 1175–1188, 2008 www.biogeosciences.net/5/1175/2008/ 1180 A. Graf et al.: Temperature measurement depth effects days), the apparent Q10 behaves highly irregular. For mea-
surement periods longer than a year, the apparent Q10 is sta-
ble throughout the first 20 cm depth. It should be noted that
we assumed that inter-annual variations in average tempera-
ture can be neglected here. All other plots are based on a 1
year measurement period. Table 2. Results of model validation under different settings. Table 2. Results of model validation under different settings. source
domain
optimal
RMSE
profile
depth
input Q10
1 (>−30 cm),
0 (<−30 cm)
50 cm
5.9
0.16
1 (>−30 cm),
0 (<−30 cm)
120 cm
5.3
0.80
measured
Corg
50 cm
6.2
0.21
measured
Corg
120 cm
5.9
1.20 Changing the thermal diffusivity of the soil (one value for
all depths, Fig. 3c), yields an irregular behaviour for values
less than 0.1 mm2 s−1. Above this threshold, possible ap-
parent Q10 errors, as well as the distance between the Q10
obtained from the highest R2 and the input Q10, decreases
with increasing diffusivity. We used a thermal diffusivity of
0.5 mm2 s−1 in all other plots. The influence of CO2 transport is neglected in all simula-
tions except for those presented in Fig. 3d. Considering gas
diffusion leads to an offset in apparent Q10 in the first 20 cm
compared to cases where diffusion is not considered, but the
extent of this offset is less than 2% for effective diffusivities
greater than 0.5 mm2 s−1. Below 0.5 mm2 s−1, this offset in-
creases sharply and the depth of the highest R2 can be found
below rather than above the depth regaining the input Q10. an Arrhenius relationship instead of the Q10 concept (not
shown). This also applies to all results shown below. 3.3
Numerical experiments The validated model was used to study the effect of several
factors on the apparent Q10 profile. Figure 3 shows appar-
ent Q10 values as a function of both temperature measure-
ment depth and each factor considered in this study. The
depth where the R2 between soil respiration and temperature
is highest is indicated with R2
max. The input Q10 used to gen-
erate all plots is 2.5. In the case of a homogenous respiring A-horizon of vary-
ing thickness above a non-respiring subsoil (Fig. 3a), the
input Q10 is obtained at about half the depth of the respir-
ing layer. The highest R2, however, is found at a shallower
depth. The difference between the optimal measurement
depth and the depth with the highest correlation increases
with the thickness of the respiring layer (up to 10 cm for a
50 cm thick respiring layer). The apparent Q10 at the depth of
highest R2, however, does not differ more than 5% from the
input value. Typical measurement depths used in field studies
(0 to 10 cm) result in errors ranging from −30 to +10% de-
pending on the depth of the respiring layer. The apparent Q10
values shown in Fig. 3a vary from less than 1.8 to more than
3, which is about the range of most reported values (Raich
and Schlesinger, 1992), although the input Q10 was constant
at 2.5. In all other plots (Fig. 3b to f), we assumed a respiring
layer thickness of 30 cm. All experiments shown so far used a depth-invariant in-
put sensitivity. Figure 4 shows the apparent Q10 profiles re-
sulting from a linear change of input Q10 between the sur-
face and the bottom of the respiring layer. As example min-
imum and maximum values, we use 2.5 (as in the previ-
ous experiments), and 4.6. These values have been identi-
fied in a study by Boone et al. (1998) for heterotrophic res-
piration excluding the rhizosphere and root-related respira-
tion, respectively. They may thus represent a vertical gra-
dient between 0 and 100% root contribution to total respi-
ration, or a change in the quality of organic carbon pools. The experiment was performed using the same standard set-
tings as Fig. 3, and was repeated for a thicker respiring layer
of 120 cm. 3.2
Model validation The model fit was less good when using the measured,
linearly interpolated Corg profile as a proxy of the source
strength distribution. Increasing the length of the model do-
main to 120 cm also decreased model quality (Table 2). The
optimal input Q10 values found for these different conditions
vary from 5.3 to 6.2, and would have been directly measured
in depths between 10 cm and 20 cm. Considering CO2 dif-
fusion either led to negligible differences or higher errors,
depending on diffusivity (also see next sections). In Fig. 3e, the annual temperature amplitude was varied
from 0 to 20 K (twice the value used in the other model
runs). For annual amplitudes below the diurnal amplitude
of 5 K, the resulting profile is highly irregular with a local
maximum. In addition, the temperature sensitivity is under-
estimated throughout most of the modelling domain. Fig-
ure 3f shows the effect of varying diurnal amplitudes. High
diurnal amplitudes increase the errors made within the first
20 cm, and lead to an underestimation of temperature sensi-
tivity when using shallow temperature sensors. Zero diurnal
temperature amplitudes yield an almost linear apparent Q10
profile and a close proximity of the depth with the highest R2
and the input Q10. Note that in our numerical experiments,
this behaviour could be reproduced using daily averages of
temperature and CO2 efflux. Averaging efflux before or af-
ter log-transformation only resulted in negligible differences
(1Q10<0.01). Simulating only one measurement per day at
a fixed time also yields similar results, but with a small verti-
cal offset of about 3 cm depending on the time of day of the
measurement. A. Graf et al.: Temperature measurement depth effects A. Graf et al.: Temperature measurement depth effects 0.5
1
1.5
2
Measurement Period Length (yr)
depth
of maximum R²
depth
regaining input Q
d)
a)
b)
c)
f)
-0
-10
-20
-30
-40
-50
z (cm)
10
20
30
40
50
Thickness of respiring layer z (cm)
R
2
max
SR
-0
-10
-20
-30
-40
-50
z (cm)
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
Thermal Diffusivity D (mm s )
R
2
max
T
2 -1
1
2
3
4
5
Effective CO Diffusivity D (mm s )
R
2
max
2 CO2 a
-1 2 -1
R
2
max
0
1
2
3
4
5
6
7
8
9
10
Daily Amplitude Ad (K)
R
2
max
-0
-10
-20
-30
-40
-50
z (cm)
0
5
10
15
20
Annual Amplitude Ay (K)
R
2
max
e)
0
1.1
1.3
1.5
1.7
1.9
2.1
2.3
2.5
2.7
2.9
3.1
3.3
3.5
Q10 app
θ
10
other
Q isoline
10
2.5
2
R²max
quantity of varied
parameter in all
other figures
ig. 3. Apparent Q10 resulting from simulated hourly flux measurements as a function of temperature measurement depth z and:
hickness of a homogenous respiring layer, (b) measurement period, (c) thermal diffusivity (one for all depths), (d) effective CO2 diffusiv
e) annual temperature amplitude, (f) diurnal temperature amplitude. DCO2 is infinite in all but (d), input Q10 is 2.5. 3.3
Numerical experiments Descending and ascending profiles yield almost The impact of the length of the measurement period is il-
lustrated in Fig. 3b. For short periods (less than about 180 Biogeosciences, 5, 1175–1188, 2008 www.biogeosciences.net/5/1175/2008/ 1181 www.biogeosciences.net/5/1175/2008/ A. Graf et al.: Temperature measurement depth effects At the same time, it
yields very high values if the synchronization procedure sug-
gested by the authors is applied. This procedure eliminates
any phase shift, by gas diffusion or inadequate temperature
measurement depth. The second highest Q10 increase with
depth (Khomik et al., 2006) originates from a study captur-
ing the daily temperature cycle in summer, with additional
less frequent measurements in spring and autumn, and no
measurements in winter. The steep profiles found by Shi et
al. (2006) and by ourselves were obtained for agricultural
soils. A high and dense vegatation canopy, which is absent
in these sites, attenuates the diurnal cycle more than the an-
nual one. The diurnal cycle will be attenuated stronger with
depth than the annual one. Therefore in agricultural soils,
with a higher diurnal amplitude at the surface, larger changes
of temperature with depth are detectable. The lowest increase
of Q10 with depth was found in a study where measurements
of the diurnal cycle of CO2 efflux were avoided (Wang et al.,
2006). The air temperature in proximity to the forest canopy
included by Perrin et al. (2004) is supposed to have a higher
diurnal amplitude than forest soil temperatures and conse-
quently yields a lower apparent Q10. -50
-40
-30
-20
-10
0
1.7
2
2.3
2.6
2.9
3.2
3.5
3.8
4.1
Q 10
z (cm)
3.49 constant
3.55 constant
2.5 at surface, 4.6 at bottom
4.6 at surface, 2.5 at bottom
120 cm
respiring
layer
30 cm
respiring
layer 30 cm
respiring
layer Fig. 4. Apparent Q10 resulting from simulated hourly flux measure-
ments as a function of temperature measurement depth z for differ-
ent linear input Q10 profiles (increasing and decreasing between 2.5
and 4.6) and thicknesses (30 cm and 120 cm) of the respiring layer. identical results, differing mainly in a Q10 offset of up to 0.21
in the upper 50 cm. The same is true for a depth-invariant
Q10 that is the arithmetic (higher value) or geometric aver-
age of the above gradient in discrete 1 cm steps. Figure 4 also shows the general effect of deep carbon
(here, 120 cm) contributing the same reference temperature
respiration as shallow horizons. In agreement with the trend
in Fig. 3a, the depth regaining the input Q10 moves further
downwards. All shown measurement depths now underesti-
mate temperature sensitivity. A. Graf et al.: Temperature measurement depth effects www.biogeosciences.net/5/1175/2008/
Biogeosciences, 5, 1175–1188, 20 0.5
1
1.5
2
Measurement Period Length (yr)
R
2
max a)
-0
-10
-20
-30
-40
-50
z (cm)
10
20
30
40
50
Thickness of respiring layer z (cm)
R
2
max
SR
Th
l Diff
i i
D (
)
2 1 b) d)
b)
1
2
3
4
5
Effective CO Diffusivity D (mm s )
R
2
max
2 CO2 a
-1 2 -1
D il A
lit d
Ad (K)
0
1.1
1.3
1.5
1.7
1.9
2.1
2.3
2.5
2.7
2.9
3.1
3.3
3.5
Q10 app
θ a)
c)
50
-0
-10
-20
-30
-40
-50
z (cm)
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
0.9
1
Thermal Diffusivity D (mm s )
R
2
max
T
2 -1
Annual Amplitude Ay (K) Thermal Diffusivity D (mm s )
T
2 -1 depth
of maximum R²
depth
regaining input Q
d)
c)
f)
-50
0
1
2
3
4
5
6
7
8
9
10
Daily Amplitude Ad (K)
R
2
max
-0
-10
-20
-30
-40
-50
z (cm)
0
5
10
15
20
Annual Amplitude Ay (K)
R
2
max
e)
0
10
other
Q isoline
10
2.5
2
R²max
quantity of varied
parameter in all
other figures d)
0 f) Fig. 3. Apparent Q10 resulting from simulated hourly flux measurements as a function of temperature measurement depth z and: (a)
thickness of a homogenous respiring layer, (b) measurement period, (c) thermal diffusivity (one for all depths), (d) effective CO2 diffusivity,
(e) annual temperature amplitude, (f) diurnal temperature amplitude. DCO2 is infinite in all but (d), input Q10 is 2.5. www.biogeosciences.net/5/1175/2008/ Biogeosciences, 5, 1175–1188, 2008 A. Graf et al.: Temperature measurement depth effects 1182 et al., 2006) is based on those authors’ deepest temperature
measurements and a short study period of two months. The
amplitude of the diurnal temperature is strongly attenuated at
that depth, and the amplitude of the annual cycle is not fully
sampled because of the short measurement period. There-
fore, CO2 efflux was correlated to temperature values with
small amplitude and high phase shift, which can result in
very high or very low apparent Q10 values. The even shorter
dataset by Pavelka et al. (2007) gives an example of such very
low apparent sensitivities at great depths. A. Graf et al.: Temperature measurement depth effects A combination of this situation
with a short measurement period or low annual amplitude
(not shown) aggravates this underestimation, making local
Q10 minima of less than 1 more probable. As a further ex-
ample of combinatory effects, a low thermal conductivity of
0.1 mm2 s−1 was combined with a varying measurement pe-
riod. In this case, both very high Q10 above 10 and values
of less than 1 can be found in greater measurement depths,
depending on the actual measurement period. Vegetation does not only affect the temperature regime of
the soil, but also respiration itself. All studies discussed here
except for our own bare soil measurements include both het-
erotrophic and root respiration. Hanson et al. (2000) review
various studies on the contribution of root to total soil res-
piration. Depending on ecosystem, they find that 10 to 90%
of total respiration stems from roots with an average con-
tribution of about 50%. Root respiration is related not only
to those environmental variables that are known to influence
heterotrophic respiration, but also to aboveground plant pro-
ductivity and thus to radiation (Tang et al., 2005). This cor-
relation is subject to a lag between several hours and several
days (Moyano et al., 2008), due to the time taken by phloem
transport from leaves to roots. The similarity between this
lagged response to radiation and soil temperature at a certain
depth, which may also be considered a lagged response to ra-
diation, could cause confusion. In the interpretation of mixed
soil respiration, too much of temporal variability might be at-
tributed to either soil temperature or aboveground radiation,
depending on the normalisation procedure and the available
temperature measurement depth. The possibility that conclu-
sions about the lagged response to radiation of root respira-
tion might be erroneous due to the temperature measurement
depth effect, was recently discussed by Bahn et al. (2008). 4.3
Numerical experiments When the vertical source strength distribution consists of a
homogenous respiring layer above a non-respiring sub-soil,
the best depth to place a single temperature sensor is the cen-
tre of the respiring layer (Fig. 3a). Although such a distribu-
tion is not unrealistic for our field reference dataset, it may be
not fulfilled in non-agricultural soils, especially in the pres-
ence of litter layers. As an alternative method to determine
the most appropriate depth, Tang et al. (2003), Perrin et al. (2004), Shi et al. (2006) and Pavelka et al. (2007) suggested
the maximum R2 criterion. Although our numerical exper-
iments show that this is not exactly correct, it is a good ap-
proximation in most conditions. However, both the R2 crite-
rion and the centre placement fail in extreme conditions, as
illustrated in Fig. 3b to e. It was not necessary to consider CO2 diffusion to model
the apparent Q10 variation with depth for our field experi-
ment. This fits well with the results of the numerical exper-
iments discussed in the next section, which showed that for
most diffusivities observed in the field the impact should be
low (Fig. 3d; Tang et al., 2003; Werner et al., 2004). Nev-
ertheless, a general recommendation to neglect CO2 trans-
port should not be made based on the results of a single field
study. The difference between the depth of highest R2 and the
depth regaining the input Q10 is a result of the combined ef-
fect of amplitude attenuation and phase shift of temperature
waves. For an infinitely thin respiring layer, the R2 is high-
est for a temperature measurement within this layer. This
measurement will also provide the correct Q10. At other
depths, the R2 is lower due to phase shifts in the temperature
time series. For thicker respiring layers, efflux at the sur-
face integrates over CO2 production time series with differ-
ent delays and amplitudes. If the delay is considered in isola-
tion, the highest R2 would occur in the middle of the respir-
ing layer. However, the apparent Q10 would underestimate
the temperature sensitivity for all depths because the averag-
ing of several phase-shifted temperature waves results in a
smaller range of temperature values. When amplitude atten-
uation and phase shifts are both considered, deeper parts of
the respiring layer show a smaller variance in both, tempera-
ture and their contribution to column respiration. 4.2
Model validation The model application to the field data demonstrates that the
model is able to describe the temperature sensitivity varia-
tion with depth. The remaining uncertainty of about ±10%
occurs when considering deeper layers, and their carbon con-
tent (Table 2). We attribute this to two main causes. First,
temperature measurement errors become increasingly signif-
icant deeper in the soil, where amplitudes are smaller. Such
errors are not simulated by the model. However, tempera-
ture sensitivity of soil respiration is rarely determined from
temperature sensors installed in large depths. Second, there
is considerable uncertainty in the source strength distribu-
tion. Organic carbon content includes accumulated stable
carbon pools, the fraction of which can be depth-dependent
itself. The field data were best described when neglecting
the organic carbon content found below the A-horizon. This
seems to indicate that deeper carbon is less involved in respi-
ration activity, which is in good agreement with the general
assumption that carbon pools in deeper horizons are more
stable (cf. Fierer et al., 2003). The increasing uncertainty
with depth also implies that field measurements of CO2 ef-
flux at the soil surface are not suited to derive the temperature
sensitivity of deep buried carbon, which has been associated
with higher temperature sensitivities by some (Knorr et al.,
2005; Davidson and Janssens, 2006). Recently, an additional
sensitivity of deep carbon decomposition to fresh carbon sup-
ply has been suggested (Fontaine et al., 2007). Our study
shows that although a true increase of Q10 with depth may
be present, it should not be confused with the temperature
measurement depth dependence of the apparent Q10 (also see
Fig. 4). A. Graf et al.: Temperature measurement depth effects ture (Davidson et al., 1998), may cause errors of similar mag-
nitude in field-based Q10 determination. In most climates,
this correlation is negative, resulting in a further underes-
timation if CO2 production is moisture-limited. However,
Davidson et al. (2006) also demonstrated cases where the
availability of other substrates may lead to an overestimation,
e.g. oxygen influenced by moisture. Such other confounding
factors may be responsible for the high Q10 we found after
correcting for measurement depth errors. As already stated,
the model does not consider root respiration. Therefore, tem-
perature measurement depth errors in soils with a consider-
able contribution of roots can only be described correctly if
other factors controlling root-related respiration do not co-
vary with temperature. This problem was already discussed
in the previous section. Also, roots may contribute to the va-
riety of temperature sensitivities found in a single site or even
depth. Boone et al. (1998) found strongly differing temper-
ature responses between heterotrophic and root-related (in-
cluding exudation-driven heterotrophic) respiration (cf. next
section). 4.1
Literature and own field measurements The variability of the Q10 dependence on temperature mea-
surement depth underlines the need for a methodology that
allows comparison of temperature sensitivities determined in
field experiments. Various explanations for the variability of
apparent Q10 profiles can be deduced from our modelling ex-
ercise. The highest reported apparent Q10 (Gaumont-Guay www.biogeosciences.net/5/1175/2008/ Biogeosciences, 5, 1175–1188, 2008 www.biogeosciences.net/5/1175/2008/ 1183 Biogeosciences, 5, 1175–1188, 2008 4.3
Numerical experiments Therefore, It is noteworthy that the measurement depths that would
have yielded a Q10 value in the range of the optimal input
Q10 of the model, are below 10 cm, while all single mea-
surement depths found in our literature study are above that
depth. When modelling a whole year, the apparent Q10 dif-
fers less than 7% in the upper 30 cm and up to 16% in 50 cm
depth. Given the ability of the model to describe the data
measured during 10 months correctly, we assume that a full
one-year dataset of hourly respiration would have shown the
same deviation. Finally, it should be mentioned that the model only con-
siders the pure confounding factor temperature measurement
depth. Depending on the site characteristics, other confound-
ing effects, such as correlation of temperature with soil mois- Biogeosciences, 5, 1175–1188, 2008 www.biogeosciences.net/5/1175/2008/ A. Graf et al.: Temperature measurement depth effects 1184 the depth of highest R2 is shifted upwards. At the same time,
the lower temperature amplitudes in these depths counteract
the underestimation of the apparent Q10. Strictly spoken, the
temperature measurement depth regaining the input Q10 is
not a “correct” depth, but a depth where positive and nega-
tive errors are balanced. low, field-based determination of accurate Q10 values is dif-
ficult. Typically, the temperature sensitivity will be under-
estimated. Continental and boreal climates with high annual
amplitudes potentially allow an accurate determination of the
Q10 when the measurement period is long and continuous. This may be difficult in case of harsh winter conditions, or
be complicated by the thermal properties of a snow cover
(see above). The depth that regains the input Q10 will not always be
within the respiring layer, as illustrated by Fig. 3b. In this
figure, the length of the measurement period was varied. The model qualitatively confirms that extremely high appar-
ent temperature sensitivities for greater measurement depths,
such as those found by Gaumont-Guay et al. (2006) and
Khomik et al. (2006), can be caused by incomplete repre-
sentation of the annual cycle. For a more quantitative as-
sessment, too little is known especially on the varying thick-
ness and thermal properties of the snow cover, which was
an important feature in both studies. Organic topsoils were
reported from both studies, which may have had a very low
thermal diffusivity. According to our model, this can lead to
highly irregular apparent Q10 profiles. 4.3
Numerical experiments The fact that measure-
ment periods of less than half a year can result in high Q10
errors is also relevant to studies separating the study period
into seasons to capture plant phenological effects on temper-
ature sensitivity (e.g. Xu and Qi, 2001; Yuste et al., 2004;
deForest et al., 2006). The model also demonstrates that for
even shorter measurement periods, such as the one analyzed
by Pavelka et al. (2007), great measurement depths can yield
very low apparent sensitivities. The numerical experiment on diurnal amplitude (Fig. 3f)
is of particular interest because the positive effects of low
diurnal amplitudes can be approximated by daily averaging
of efflux and temperature time series. A similar reduction in
daily amplitude can be obtained by measurements at a fixed
time of day, but it remains to be examined whether this alter-
native is more susceptible to varying day lengths and ampli-
tudes throughout the year. The experiment on depth-variant input Q10 confirms what
has been discussed during the model validation: Surface ef-
flux measurements are poorly suited to assess the vertical
variability of temperature sensitivity. The Q10 derived from
such a field study, even if the correct measurement depth was
chosen, only represents an effective mean of the potentially
different sensitivities of soil horizons. It remains to be tested
whether additional CO2 concentration measurements in var-
ious depths, or varying vertical profiles of soil moisture, can
solve this ambiguity problem. In general, our analyses indicate that a temperature mea-
surement depth within the upper 10 cm, as commonly used in
field studies, is likely to result in an underestimation of tem-
perature sensitivity, at least in the absence of a litter layer. According to the latest IPCC report (Solomon et al., 2007),
most models used to estimate the biochemical feedback of
land surfaces to climate change assume a soil respiration Q10
close to 2. It is noteworthy that this assumption is based on
averaging not only laboratory but also field studies (Solomon
et al., 2007), e.g. those compiled by Raich and Schlesinger
(1992). These models predict a global effective sensitivity
of heterotrophic respiration of 6.2% per K warming. How-
ever, a larger Q10 of 2.5 would be well within the uncertainty
range identified in this study. Biogeosciences, 5, 1175–1188, 2008 A. Graf et al.: Temperature measurement depth effects small. In some cases, the aim of determining a temperature
sensitivity is empirical modelling, e.g. for gap-filling, rather
than inter-site comparison or process-based modelling. In
this case, error minimization by choosing the depth of maxi-
mum R2 may be advantageous. 5
Conclusions We described the development, validation, and application
of a simple model to explain and estimate the errors in tem-
perature sensitivity determination related to the temperature
measurement depth. We chose the widely used Q10 concept
as an example, but the alternative activation energy concept
provides almost identical results. Appendix A Depending on study conditions, the vertical profile of the
apparent Q10 may range from fairly regular to highly irreg-
ular. The latter case can include local minima and maxima,
decoupling of the depth of correct Q10 from the depth of
highest R2, and cases where the obtained Q10 is incorrect for
all conventional temperature measurement depths. In these
cases, only laboratory incubation experiments directly can
yield correct temperature sensitivity relations, although these
experiments are not free of errors and assumptions either. An
alternative possibility would be to inversely estimate the Q10
using numerical models of CO2 production, CO2 transport
and heat transport applied to field data. This approach has
recently been used to estimate soil physical properties and
CO2 source strength (Herbst et al., 2008; Novak, 2007; Wei-
herm¨uller et al., 2008) and could be extended to Q10 estima-
tion in future. Temperature sensitivity functions Two methods are most commonly used to relate temperature
and respiration. The first is an empirical exponential rela-
tionship suggested by van t’Hoff (e.g. Yuste et al., 2004): SR = SRTrefe
ln Q10
10
(T −Tref)
(A1) (A1) where SR is soil respiration (µmol m−2 s−1), T is tempera-
ture (K) and Tref is an arbitrary reference temperature with a
know respiration rate SRTref. Q10 is the rate by which respi-
ration changes with a temperature change of 10 K. The Q10
is a commonly used parameter to report the temperature sen-
sitivity of soil respiration. The second relationship is more
physically based and uses activation energy considerations
introduced by Arrhenius (e.g. Lloyd and Taylor, 1994): In many field studies, however, the detailed input data re-
quired to drive mechanistic CO2 models are not available. In
such cases, the model presented here, and some basic climate
and soil data, may help reducing errors in temperature sen-
sitivity analysis. Nevertheless, validation has shown that an
uncertainty remains due to the choice of input parameters. Also, analyses of additional field data sets to test whether the
simplifications made within the model are justified would be
desirable. Ideally, a model to asses the effect of temperature
measurement depth, as of other confounding factors, would
accompany each field study. However, careful interpretation
of the results presented here may provide some general con-
clusions which kind of conditions are favourable to reduce
measurement depth errors. These are: SR = SRTrefe
Ea
R T Tref (T −Tref)
(A2) (A2) Here,
Ea
is
the
activation
energy
(J mol−1),
and
R=8.314 J mol−1 K−1
is
the
universal
gas
constant. Further temperature sensitivity functions are summarised
by K¨atterer et al. (1998), Bauer et al. (2008) and Tuomi
et al. (2008). The temperature sensitivity coefficients of
these methods (Q10 and Ea) are not equivalent. For typical
temperature and respiration ranges, a Q10 value derived
from Eq. (A2) based on Ea decreases slowly with increasing
temperature, whereas Q10 is a constant in Eq. (A1). A slow
Q10 decrease with increasing temperature has been reported
in a range of field and laboratory studies (e.g. Kirschbaum,
2006; Shi et al., 2006). Large differences between both
relations only occur in the case of extrapolation, especially
into warmer conditions. However, it has been questioned
whether extrapolation can be used for future feedback
prediction (Davidson and Janssens, 2006). 4.3
Numerical experiments This would increase global sen-
sitivity by about one third in each model, which is the same
order of magnitude as the standard deviation among the mod-
els. The models give an average absolute sensitivity of land
surfaces to climate change of −79 Gt sequestered carbon per
K warming, although this rate is highly variable between the
models (±45 GtC K−1). An additional uncertainty of one
third due to an unknown primary temperature sensitivity of
respiration, divided by the time span over which such a 1 K
increase is assumed (40 to 50 years depending on scenario),
would be equal to 7 to 9% of the current annual emissions
from fossil fuel burning and cement production. Variation of the soil thermal diffusivity (Fig. 3c) confirms
the expectation that accurate field-based Q10 measurements
are more likely when temperature waves propagate rapidly
into the ground. According to Zmarsly et al. (2002), most
soils have thermal diffusivities ranging between 0.1 (dry or-
ganic) and 0.75 mm2 s−1 (wet sand). Therefore, the irregular
behaviour of the apparent Q10 for very low diffusivities is
not relevant in most ecosystems. y
Effective CO2 diffusivities can cover a much larger range. A compilation of Werner et al. (2004) based on 81 stud-
ies shows that DCO2θ−1
a
can range from 0.09 to more than
12 mm2 s−1. Despite this large range, our numerical experi-
ment shows that the influence of diffusion on apparent Q10
would be negligible for all but the three lowest values sum-
marized by Werner et al. (2004). It is interesting that for such
small diffusivities, the depth of highest R2 can drop below
the depth regaining the input Q10. We attribute this to the fact
that the time series of surface efflux is now delayed compared
to the temperature time series in those depths where most of
the CO2 is produced. Consequently, efflux correlates better
with deeper temperature time series. This is no indication of
a causal relationship, as the CO2 produced in these depths is
delayed even stronger before reaching the surface. An evaluation of the effect of annual temperature ampli-
tude (Fig. 3e) is relevant to avoid systematic errors when tem-
perature sensitivities from different climatic zones are com-
pared. Close to the equator where the annual amplitude is www.biogeosciences.net/5/1175/2008/ Biogeosciences, 5, 1175–1188, 2008 1185 www.biogeosciences.net/5/1175/2008/ (B1) (B1) The dynamics of CO2 in soil air is described by: ∂c
∂t = τθaDa
∂2ca
∂z2 + SR
(C1) where t is time (s) and z is depth (m). Thermal diffusivity
is a function of thermal conductivity λ (W m−1 K−1), heat
capacity c (J kg−1 K−1), and bulk density ρ (kg m−3). The
typical order of magnitude of soil thermal diffusivity is 10−7
to 10−6 m2 s−1 (Zmarsly et al., 2002). To transfer a soil tem-
perature time series to another depth, it is often represented
by a series of sine waves (van Wijk, 1963; Verhoef et al.,
1996; Heusinkveld et al., 2004; Graf et al., 2008): (C1) where c is the total volumetric concentration of CO2, ca is
the concentration in soil air, Da is the diffusivity of CO2 in
air (m2 s−1), θa (dimensionless) is the soil air content, and
τ is a dimensionless tortuosity factor. Da, the soil air con-
tent, tortuosity and other factors such as transport through
soil water and pressure turbulence can be combined into an
effective diffusivity (Simunek and Suarez, 1993; Hirano et
al., 2003; Tang et al., 2003; Takle et al., 2004). In this study,
we use a wide range of field-determined effective diffusivi-
ties reviewed by Werner et al. (2004). To solve Eq. (C1), we
use an explicit time discretization: T = T +
n
X
i=1
Ai sin 2π(t + 1ti)
τi
(B2) (B2) τi where T denotes the average temperature (K), Ai is the tem-
perature amplitude (K), τi is the period length (s), and 1ti
the phase shift (here in units of time and therefore included
in the bracketed term) of the sine wave indexed i. When
thermal diffusivity is constant with depth and time, there is
an analytical solution to Eqs. (B1) and (B2) (van Wijk, 1963)
that predicts temperature in any other depth (Heusinkveld et
al., 2004; Graf et al., 2008): where T denotes the average temperature (K), Ai is the tem-
perature amplitude (K), τi is the period length (s), and 1ti
the phase shift (here in units of time and therefore included
in the bracketed term) of the sine wave indexed i. When
thermal diffusivity is constant with depth and time, there is
an analytical solution to Eqs. Theory of soil temperature profiles Soil surface temperature changes are mainly induced by the
radiation balance at the soil surface and exchange of sensi-
ble and latent heat between the soil and the atmosphere. The
variation in soil surface temperature propagates into deeper
layers. In the absence of transport of sensible and latent heat
in the soil gas phase (Weber et al., 2007), this process is con-
trolled by the soil thermal diffusivity DT (m2 s−1): (B1) (B1) and (B2) (van Wijk, 1963)
that predicts temperature in any other depth (Heusinkveld et
al., 2004; Graf et al., 2008): c(t + 1t, z) =
c(t, z) + 1t(SR(t, z)
+DCO2(z −1
21z) c(t,z−1z)−c(t,z)
θa1z2
−DCO2(z + 1
21z) c(t,z)−c(t,z+1z)
θa1z2
)
(C2) (C2) T = T +
n
X
i=1
Ai exp
1z
r
π
DT τi
sin
2π(t + 1ti + 1zτi
2π
q
π
DT τi )
τi
(B3) By defining DCO2 in planes 0.5 1z above and below all other
depth-dependent input data, we achieve mass-consistency. The maximum value of the time-step for a stable solution
is 1t<0.51z2D−1
CO2θa. (B3) Acknowledgements. We gratefully acknowledge field assistance
by Rainer Harms, partial funding of A. Graf’s postdoctoral
appointment by the “Impuls- und Vernetzungsfonds” of the
Helmholtz Association, financial support by the Helmholtz-funded
FLOWatch project and by the SFB/TR 32 “Patterns in Soil-
Vegetation-Atmosphere Systems: Monitoring, Modelling, and Data
Assimilation” funded by the Deutsche Forschungsgemeinschaft
(DFG), and helpful comments by all participants of the BGD open
discussion related to this publication. where 1z is the difference between the actual and the refer-
ence depth. Stepwise application of Eq. (B3) allows to treat thermal
diffusivities that change along a vertical profile (cf. meth-
ods section). However, it should be noted that for such an
effective thermal diffusivity in soils with a vertical change
of thermal properties, the simple relation between λ, c and
DT given in Eq. (B1) is no longer valid. Nassar and Horton
(1989) describe a method yielding an effective diffusivity for
numerical forward modelling. If no temperature time series
from different depths in the field are available, but λ and c
as determined in laboratory or estimated from literature sig-
nificantly vary with depth, both approaches do not work. In
this case, either a numerical model treating storage and dif-
fusion separately has to be used, or a more complex analyt-
ical model considering the vertical profile of both λ and c. Edited by: J. Leifeld Edited by: J. Leifeld Edited by: J. Leifeld A. Graf et al.: Temperature measurement depth effects A. Graf et al.: Temperature measurement depth effects Such models for specific, regular vertical profiles have been
summarized and tested by Massman (1993). An even more
general approach, which allows for any profile of thermal
properties to be resolved in discrete stpes of e.g. 1 cm and
is therefore well compatible with our model, has been sug-
gested by Karam (2000). Theory of gas diffusion ∂T
∂t = DT
∂2T
∂z2 = λ
ρc
∂2T
∂z2
(B1) Biogeosciences, 5, 1175–1188, 2008 Temperature sensitivity functions One reason for
this is that different soil carbon pools may have different
temperature sensitivities. A long-term temperature change
would then change the pool ratios and, consequently, the
effective temperature sensitivity of the soil. It is still under
debate whether these effects are of a measurable and relevant
magnitude or not (Fang et al., 2005; Knorr et al., 2005;
Reichstein et al., 2005b; Conen et al., 2006; Larinova et al.,
2007). Here,
Ea
is
the
activation
energy
(J mol−1),
and
R=8.314 J mol−1 K−1
is
the
universal
gas
constant. Further temperature sensitivity functions are summarised
by K¨atterer et al. (1998), Bauer et al. (2008) and Tuomi
et al. (2008). The temperature sensitivity coefficients of
these methods (Q10 and Ea) are not equivalent. For typical
temperature and respiration ranges, a Q10 value derived
from Eq. (A2) based on Ea decreases slowly with increasing
temperature, whereas Q10 is a constant in Eq. (A1). A slow
Q10 decrease with increasing temperature has been reported
in a range of field and laboratory studies (e.g. Kirschbaum,
2006; Shi et al., 2006). Large differences between both
relations only occur in the case of extrapolation, especially
into warmer conditions. However, it has been questioned
whether extrapolation can be used for future feedback
prediction (Davidson and Janssens, 2006). One reason for
this is that different soil carbon pools may have different
temperature sensitivities. A long-term temperature change
would then change the pool ratios and, consequently, the
effective temperature sensitivity of the soil. It is still under
debate whether these effects are of a measurable and relevant
magnitude or not (Fang et al., 2005; Knorr et al., 2005;
Reichstein et al., 2005b; Conen et al., 2006; Larinova et al.,
2007). – a thin and easily distinguished horizon of respiration ac-
tivity, – a high thermal and CO2 diffusivity of the soil, – a high annual temperature amplitude, – a measurement period of one year or more, – daily averaging of measurements before fitting the tem-
perature sensitivity function. Note that the last two conditions may be in conflict with
other confounding factors that require short measurement pe-
riods, such as moisture or phenology-dependent Q10 mea-
surements. In the conditions identified above, the bias introduced by
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