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https://openalex.org/W4285588994
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https://www.researchsquare.com/article/rs-1821485/latest.pdf
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Taxonomic composition, community structure and molecular novelty of microeukaryotes in a temperate oligomesotrophic lake as revealed by metabarcoding
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Research Square (Research Square)
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Taxonomic composition, community structure and
molecular novelty of microeukaryotes in a
temperate oligomesotrophic lake as revealed by
metabarcoding Page 1/30
Taxonomic composition, community structure and
molecular novelty of microeukaryotes in a
temperate oligomesotrophic lake as revealed by
metabarcoding
Konstantina Mitsi
(
kcmitsi@gmail.com
)
Institut de Biologia Evolutiva (CSIC-Universitat Pompeu Fabra)
Daniel J. Richter
Institut de Biologia Evolutiva (CSIC-Universitat Pompeu Fabra)
Alicia S. Arroyo
Institut de Biologia Evolutiva (CSIC-Universitat Pompeu Fabra)
David López-Escardó
Institute of Marine Sciences
Meritxell Antó
Institut de Biologia Evolutiva (CSIC-Universitat Pompeu Fabra)
Antonio Guillén
I.E.S. "Escultor Daniel" C/ Gonzalo de Berceo, 49, 26005, Logroño, La Rioja, Spain
Iñaki Ruiz-Trillo
Institut de Biologia Evolutiva (CSIC-Universitat Pompeu Fabra)
Article
Keywords: microeukaryotes, 18S, V4, temperate, oligomesotrophic, protists, ASVs, novelty, phylogenetic
placement, parasites
Posted Date: July 15th, 2022
DOI: https://doi.org/10.21203/rs.3.rs-1821485/v1
License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License
Additional Declarations: No competing interests reported. Version of Record: A version of this preprint was published at Scientific Reports on February 22nd, 2023. See the published version at https://doi.org/10.1038/s41598-023-30228-4. Konstantina Mitsi
(
kcmitsi@gmail.com
)
Institut de Biologia Evolutiva (CSIC-Universitat Pompeu Fabra) Konstantina Mitsi
(
kcmitsi@gmail.com
) Article Keywords: microeukaryotes, 18S, V4, temperate, oligomesotrophic, protists, ASVs, novelty, phylogenetic
placement, parasites License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Additional Declarations: No competing interests reported. Additional Declarations: No competing interests reported. Page 1/30
Version of Record: A version of this preprint was published at Scientific Reports on February 22nd, 2023. See the published version at https://doi.org/10.1038/s41598-023-30228-4. Abstract Microbial eukaryotes are diverse and ecologically important organisms, yet sampling constraints have
hindered the understanding of their distribution and diversity in freshwater ecosystems. Metabarcoding
has provided a powerful complement to traditional limnological studies, revealing an unprecedented
diversity of protists in freshwater environments. Here, we aim to expand our knowledge of the ecology
and diversity of protists in lacustrine ecosystems by targeting the V4 hypervariable region of the 18S
rRNA gene in water column, sediment and biofilm samples collected from Sanabria Lake (Spain) and
surrounding freshwater ecosystems. Sanabria is a temperate lake, which are relatively understudied by
metabarcoding in comparison to alpine and polar lakes. The phylogenetic diversity of microbial
eukaryotes detected in Sanabria span all currently recognized eukaryotic supergroups, with
Stramenopiles being the most abundant and diverse supergroup in all sampling sites. Parasitic
microeukaryotes account for 21% of the total protist ASVs identified in our study and were dominated by
Chytridiomycota, both in terms of richness and abundance in all sampling sites. Sediments, biofilms and
water column samples harbour distinct microbial communities. Phylogenetic placement of poorly
assigned and abundant ASVs indicates molecular novelty inside Rhodophyta, Bigyra, early-branching
Nucletmycea and Apusomonadida. In addition, we report the first freshwater incidence of the previously
exclusively marine genera Abeoforma and Sphaeroforma. Our results contribute to a deeper
understanding of microeukaryotic communities in freshwater ecosystems, and provide the first molecular
reference for future biomonitoring surveys in Sanabria Lake. Introduction The tree of eukaryotes is an ideal playground for biodiversity explorers. Although land plants, animals
and fungi initially attracted most of researchers’ attention, the advent of molecular techniques in
biodiversity assessment has revealed an enormous diversity of microbial eukaryotes outside these three
groups (Pawlowski et al. 2012; del Campo et al. 2014). The paraphyletic assemblage of microbial
eukaryotes is collectively referred to as protists (Archibald, Simpson, and Slamovits 2017). Protists are
valuable from an evolutionary perspective because by studying their life traits we gain insights into the
evolutionary processes that shaped the extant eukaryotic tree of life (Lang et al. 2002; del Campo et al. 2016; Grau-Bové et al. 2017; Gawryluk et al. 2019; Gabr, Grossman, and Bhattacharya 2020). In addition,
protists are abundant, diverse and widespread organisms with key roles in important ecosystemic
functions (Gao et al. 2019; Caron 2009; Gooday et al. 2020). However, despite their importance in
different ecosystems as producers (Stoecker et al. 2009), grazers (Strom et al. 1997; W. D. Orsi et al. 2018), predators (Corno and Jürgens 2006) and parasites (Mahé et al. 2017), they have attracted less
attention in comparison to their prokaryotic counterparts in environmental surveys (Caron et al. 2009). Sampling based on morphological identification combined with environmental DNA (eDNA) analyses
(Ruppert, Kline, and Rahman 2019) have shown that protists are everywhere (Epstein and López-García
2008). However, they are not everywhere equally studied. Microbial eukaryotes have been widely explored
in marine ecosystems (P. López-García et al. 2001; Lovejoy, Massana, and Pedrós-Alió 2006; Worden, Page 2/30 Page 2/30 Cuvelier, and Bartlett 2006; Countway et al. 2007; Massana and Pedrós-Alió 2008; Alexander et al. 2009;
Stoeck et al. 2010; Logares et al. 2014; Vargas et al. 2015), whereas there are fewer studies available
regarding their distribution and diversity in soils (Fell et al. 2006; Shen et al. 2014; Moon-van der Staay et
al. 2006; Mahé et al. 2017) and in freshwater systems (Šlapeta, Moreira, and López-García 2005; Debroas
et al. 2017). Freshwater ecosystems are more fragmented and isolated (Dodson 1992; Reche et al. 2005)
in comparison to the open ocean where microbial communities are transported by currents on a global
scale (Villarino et al. 2018; Richter et al. 2020). This intrinsic lower connectivity of freshwater ecosystems
hinders the dispersal of freshwater organisms and increases the genetic diversity (Dias et al. 2013). Introduction Among freshwater habitats, lakes are undoubtedly the environments with the greatest number of
molecular studies available (Charvet et al. 2012; Lepère et al. 2016; Boenigk et al. 2018). High mountain
lakes (Kammerlander et al. 2015; Filker et al. 2016; Boenigk et al. 2018; Stoeck et al. 2014) and polar
lakes (Daniel et al. 2016; Stoof-Leichsenring et al. 2020) have been extensively studied due to their
extreme conditions of temperature, nutrient availability and UV radiation. These systems have been
shown to harbour a high proportion of unclassified sequences within numerous eukaryotic lineages. Fewer molecular biodiversity surveys, however, have been conducted in lakes of temperate areas (Lefranc
et al. 2005; Lepère et al. 2013) . In this study, we explore the diversity of microbial eukaryotes in Sanabria Lake (Spain), a temperate lake
at an altitude of 1004.1 m above sea level. Sanabria is an oligotrophic to oligomesotrophic, warm,
monomictic lake with winter circulation and summer stratification. In comparison to lakes of other trophic
states, oligomesotrophic lakes harbour the richest and most diverse lentic organismal communities
(Lefranc et al. 2005). Sanabria Lake is the biggest natural glacial lake in the Iberian Peninsula (Vega et al. 2005) and has already been the subject of many traditional limnological studies (Taboada 1913;
Margalef 1955; Aldasoro et al., 1992; Vega et al., 1992; De Hoyos, 1996; De Hoyos et al., 1998; De Hoyos
and Comín, 1999; Negro, De Hoyos, and Aldasoro 2003; Luque 2002; Jambrina-Enríquez et al. 2014;
Pahissa, Fernández-Enríquez, and De Hoyos 2015; Llorente and Seoane 2020) Negro et al., 2000; Luque &
Julià, 2002; Rico et al., 2007; Jambrina-Enríquez et al., 2014; Pahissa et al., 2015; Llorente and Seoane
2020). However, no molecular data are currently available for this freshwater system. The aim of this study is to explore the eukaryotic microbial community of Sanabria Lake using a
massively parallel sequencing approach. To do so, we targeted the V4 hypervariable region of the 18S
rDNA gene. We explored the taxonomic composition of the microbial eukaryotes present in the lake and
the surrounding freshwater systems, including an exploration of the protist parasite diversity. We also
assessed the community structure and the compositional heterogeneity across different sampling sites,
habitats and filter size fractions. Finally, we analysed our samples using a phylogenetic placement
approach to quantify molecular novelty and we identified the branches of the eukaryotic tree that harbour
potentially novel abundant taxa. Study area Sanabria Lake is situated in the NW of Spain (42 7' 30'' N, 06 3'00”W) between the provinces of León and
Zamora at an altitude of 1004.1 m above sea level. It was formed by glacial erosion after the Würm
glaciation in the Pleistocene, and it is the only lake formed by a terminal moraine in the Iberian Peninsula
(Margalef 1983). Sanabria Lake belongs to the Duero River Basin that has a total drainage surface of
127.3 km2 (De Hoyos, 1996) and its main tributary is the Tera River. The surface of the lake is 3.46 km2
(De Hoyos, 1996). It is divided longitudinally into two basins, one in the west with maximum depth of 46
m and another in the east with maximum depth of 51 m (Vega et al. 2005). The shoreline length is 9518
m and the maximum width is observed in the eastern basin (1530 m) (Vega et al. 2005). Regarding its
mixing characteristics, Sanabria Lake is a warm, monomictic, holomictic lake (Vega et al 1992). The
mixing period extends from late November to early March, when a thermocline normally appears (Vega et
al 1992). No anoxic conditions have been observed in any layer of the water column during the thermal
stratification (Vega et al 1992; de Hoyos 1996; Pahissa, Fernández-Enríquez, and De Hoyos 2015). Sanabria Lake is considered as oligotrophic to oligomesotrophic in view of its low levels of chlorophyll a,
nutrient concentration, phytoplanktonic biovolume values and production rates (Planas 1991; Vega et al
1992; de Hoyos 1996; Pahissa, Fernández-Enríquez, and De Hoyos 2015; Llorente and Seoane 2020; De
Hoyos and Comín 1999). The oligotrophic state of the lake is a result of its geology. Its drainage basin
runs over an acid rock substrate (gneiss and granodiorites) of low solubility, making the water very poor
in salts (Rico et al 2007). The lake is part of the Sanabria Lake Natural Park (BOE 1978), a protected area
that supports a population of 2 small villages (~ 200 residents), one in the north and the other in the west
side of the lake. During the summer, the National Park receives a high influx of tourists and there are three
camping sites, all located on the east side of the lake. Introduction Sanabria Lake is a protected biotope and it is under continuous
monitoring. This is the first biodiversity study of Sanabria Lake that is based on molecular data, which
will constitute a reference for future monitoring efforts. Page 3/30 Page 3/30 Study area The lake is part of the Sanabria Lake Natural Park (BOE 1978), a protected area
that supports a population of 2 small villages (~ 200 residents), one in the north and the other in the west
side of the lake. During the summer, the National Park receives a high influx of tourists and there are three
camping sites, all located on the east side of the lake. Since 2012, the Duero International Biological
station has raised concerns that Sanabria Lake is undergoing a eutrophication process due to
contamination from a deficient sewage depuration system (Guillen, 2015). However, studies based on
pigment measurements and microscopy observation of the phytoplankton community do not support the
eutrophication scenario and confirm the current oligotrophic state of the lake (Pahissa, Fernández-
Enríquez, and De Hoyos 2015; Llorente and Seoane 2020). Study area Since 2012, the Duero International Biological
station has raised concerns that Sanabria Lake is undergoing a eutrophication process due to
contamination from a deficient sewage depuration system (Guillen, 2015). However, studies based on
pigment measurements and microscopy observation of the phytoplankton community do not support the
eutrophication scenario and confirm the current oligotrophic state of the lake (Pahissa, Fernández-
Enríquez, and De Hoyos 2015; Llorente and Seoane 2020). Sanabria Lake is situated in the NW of Spain (42 7' 30'' N, 06 3'00”W) between the provinces of León and
Zamora at an altitude of 1004.1 m above sea level. It was formed by glacial erosion after the Würm
glaciation in the Pleistocene, and it is the only lake formed by a terminal moraine in the Iberian Peninsula
(Margalef 1983). Sanabria Lake belongs to the Duero River Basin that has a total drainage surface of
127.3 km2 (De Hoyos, 1996) and its main tributary is the Tera River. The surface of the lake is 3.46 km2
(De Hoyos, 1996). It is divided longitudinally into two basins, one in the west with maximum depth of 46
m and another in the east with maximum depth of 51 m (Vega et al. 2005). The shoreline length is 9518
m and the maximum width is observed in the eastern basin (1530 m) (Vega et al. 2005). Regarding its
mixing characteristics, Sanabria Lake is a warm, monomictic, holomictic lake (Vega et al 1992). The
mixing period extends from late November to early March, when a thermocline normally appears (Vega et
al 1992). No anoxic conditions have been observed in any layer of the water column during the thermal
stratification (Vega et al 1992; de Hoyos 1996; Pahissa, Fernández-Enríquez, and De Hoyos 2015). (
y
y
)
Sanabria Lake is considered as oligotrophic to oligomesotrophic in view of its low levels of chlorophyll a,
nutrient concentration, phytoplanktonic biovolume values and production rates (Planas 1991; Vega et al
1992; de Hoyos 1996; Pahissa, Fernández-Enríquez, and De Hoyos 2015; Llorente and Seoane 2020; De
Hoyos and Comín 1999). The oligotrophic state of the lake is a result of its geology. Its drainage basin
runs over an acid rock substrate (gneiss and granodiorites) of low solubility, making the water very poor
in salts (Rico et al 2007). DNA extraction, PCR amplification and sequencing We chopped the filters using sterile scissors and we homogenised the sediments and the biofilms before
further processing. We extracted whole genomic DNA using the standard protocol of the PowerSoil DNA
Isolation Kit (MO BIO). We amplified the V4 hypervariable region of the 18S rRNA gene using the universal
eukaryotic V4 primers TAReuk454FWD1 (5'-CCAGCA(G⁄C)C(C⁄T)GCGGTAATTCC-3') and TAReukREV3 (5'-
ACTTTCGTTCTTGAT(C⁄T)(A⁄G)A-3') (Stoeck et al. 2010). The amplicons were sequenced using the
Illumina MiSeq platform at Centro Nacional de Análisis Genómico (CNAG, Barcelona, Spain). The
sequences were demultiplexed and the barcodes were trimmed by the sequencing facility. The raw
sequencing data were submitted to the European Nucleotide Archive (ENA) under the accession number
PRJEB23911 (ERP105690). Sampling We sampled in March 2016 at the beginning of the thermal stratification. We chose this time point
because the physicochemical conditions of the lake are homogeneous after the winter mixing period. We
expected that microbial eukaryotes would be homogeneously distributed across the lake and that this
even distribution would increase sampling efficiency. In addition, this is the time of the year with the least
anthropogenic impact. Thus, any disturbance detected would indicate a permanent change rather than a
temporal variation due to the presence of a stressor. Page 4/30 To explore the diversity and the relative abundance of microbial eukaryotes in Sanabria Lake, we
collected 82 samples of water, sediment and biofilms from ten different locations. Water samples were
collected from five sampling sites in the lake basin (S1-S5), a tributary stream (S6-S7) and a nearby pond
(S8-S10) (Figure 1, Supplementary Table 1). The sampling was designed to include as many different
habitats as possible: i) two pelagic sampling sites in the lake, one in the deepest point of the west basin
(S1) and another in the deepest point of the east basin (S4), ii) the mouth of River Tera (S2), a sampling
site experiencing the greatest anthropogenic impact in the studied ecosystem, iii) a coastal area in the
lake near two islets (Islas Moras) (S3), iv) sulphurous waters in the east basin (S5), v) water from a
tributary stream (S6) and vi) water from three nearshore sites in a nearby pond (S8-S10). For each of the
sampling sites S1-S5, we collected between 0.5 and 1 litres of water from the surface, the Deep
Chlorophyll Maximum (DCM) and the deepest point above the sediment. We measured standard
variables (turbidity, temperature, fluorescence) in the sampling sites of the lake’s main water body (S1-S5)
using a CTD SD204 (SAIV A/S) device. We prefiltered the water samples using filters of 2000 µm and 200
µm to remove debris and large multicellular organisms. Size fractions above 200 µm were discarded and
not included in the study. Subsequently, we filtered sequentially using filters of 20 µm, 5 µm and 0.8 µm
targeting the microplankton (20-200 μm), the nanoplankton (5-20 μm) and the pico/nanoplankton (0.8-5
μm) communities respectively. We additionally collected sediments from three sampling sites (S2, S3, S7)
and 12 epilithic biofilm samples from one sampling site (S3). All samples were placed in 2ml cryovials
and were stored at -80 °C prior to DNA extraction. Amplicon Sequence Variants (ASVs) analysis We analysed the raw reads following a clustering-free approach. We processed the Illumina
demultiplexed paired-end sequenced dataset using the R package dada2 (Callahan et al. 2016). We
visualised the read quality profiles using the function plotQualityProfile. The quality of the forward and
reverse reads started decreasing after the position 250 and 240, respectively. We used the function
filterAndTrim to discard low quality sequences using standard filtering parameters (maxN = 0, maxEE = Page 5/30 Page 5/30 c(2,2), truncQ = 2, rm.phix = TRUE, compress = FALSE, multithread = TRUE) and to trim the forward reads
in the position 250 and the reverse reads in the position 240. We calculated the error model from our data
with the function learnErrors and we visualised the estimated error rates with the function plotErrors. We
then dereplicated the reads using the function derepFastq and we inferred sequence-variants from our
dereplicated data using the function dada. With the function mergePairs we merged the forward and the
reverse reads to obtain the full denoised sequences using the default 12 bases overlap region and we
removed the paired reads that did not exactly overlap. We constructed our amplicon sequence variant
table (ASV) table using makeSequenceTable, then removed chimeras with removeBimeraDenovo and
finally inspected the number of reads that made it through each step of our analysis (Supplementary
Table 2). We assigned taxonomy with the function assignTaxonomy that uses the Ribosomal Database
Project (RDP) classifier together with the Protist Ribosomal Reference database (PR2) (v. 4.12.0) (Guillou
et al. 2013) formatted for DADA2 (https://github.com/pr2database/pr2database/releases). We generated
an ASVs table that contains a total of 31225 ASVs, the ASV counts per sample and their taxonomy using
Biostrings::DNAStringSet and Biostrings::writeXStringSet functions. Statistical analyses We combined the taxonomy, the abundance and the metadata to generate a phyloseq object (McMurdie
and Holmes 2013) (Supplementary Table 3). We generated the different phyloseq datasets used in this
study by subsetting (phyloseq::subset_samples, phyloseq::subset_taxa) the initial phyloseq object
(Supplementary Table 3). We plotted rarefaction curves using the function phyloseq::rarecurve to explore
whether all included samples have reached saturation. Samples that did not reach saturation were
removed. We used the phyloseq (McMurdie and Holmes 2013), psadd
(https://rdrr.io/github/cpauvert/psadd/) and Fantaxtic (https://rdrr.io/github/gmteunisse/Fantaxtic/) R
packages to plot the taxonomic composition of the datasets. (https://rdrr.io/github/cpauvert/psadd/) and Fantaxtic (https://rdrr.io/github/gmteunisse/Fantaxtic/) R
packages to plot the taxonomic composition of the datasets. We rarefied (phyloseq::rarefy_even_depth) each dataset at the minimum sample depth (Supplementary
Table 3) in order to simulate even numbers of reads per sample. Rarefaction enables clustering samples
according to their biological origin and permits fair comparison of diversity metrics among the samples
(Weiss et al. 2017). We calculated alpha and beta diversity in the subsampled datasets. Alpha diversity
metrics (Observed species, Chao1, se.chao1, ACE, se.ACE, Shannon, Simpson, InvSimpson, Fisher) were
calculated using the function phyloseq::estimate_richness . The significance of the difference in species
richness was tested with pairwise comparisons using the Wilcoxon rank sum test, controlling for family
wise error rate with the Holm–Bonferroni method (Xie et al. 2017). Evenness was calculated according to
Pielou (Pielou 1966) and plotted as violin plots in the ggplot2 R package (Wickham 2009) . Beta diversity
was measured using the Bray–Curtis dissimilarity statistic after converting ASVs abundances to
frequencies within samples. To test the effects of habitat, sampling depth, sampling site, chlorophyll
maximum and thermocline across samples, we conducted permutational multivariate analyses of
variance (PERMANOVA) based on Wisconsin-standardized Bray-Curtis dissimilarities (Supplementary
Table 6), using the adonis function of the vegan package. Patterns of beta diversity were assessed via Page 6/30 Page 6/30 non-metric multidimensional scaling ordination (NMDS) also on Bray-Curtis dissimilarities using the
function phyloseq::ordinate and were plotted using the function phyloseq::plot_ordination. To test the
significance of groups revealed by NMDS, we applied analysis of similarity (ANOSIM) tests with 999
permutations (Supplementary Table 7). non-metric multidimensional scaling ordination (NMDS) also on Bray-Curtis dissimilarities using the
function phyloseq::ordinate and were plotted using the function phyloseq::plot_ordination. To test the
significance of groups revealed by NMDS, we applied analysis of similarity (ANOSIM) tests with 999
permutations (Supplementary Table 7). Phylogenetic analysis Reference trees were built in RAxML (Stamatakis 2014) under the GTRGAMMA model. Node support was
estimated by 100 rapid bootstrap replicates. Phylogenetic placements were produced using RAxML-EPA
(Berger and Stamatakis 2011) and visualised with iTOL (Letunic and Bork 2011). Each query was placed
in multiple branches until the total like_weight_ratio summed to 1. All alignments were built with MAFFT
v7.309 (Katoh and Standley 2013) with automatically selected strategy according to data size and were
trimmed with trimal v1.4.rev15 (Capella-Gutiérrez, Silla-Martínez, and Gabaldón 2009) using the -
automated1 algorithm. The V4 hypervariable region captures the microeukaryotic
diversity of Sanabria Lake To characterise the diversity of the eukaryotic community in Sanabria Lake, we sequenced the V4
hypervariable region of the 18S small subunit (SSU) rRNA gene. We chose to sequence the V4 over other
hypervariable regions of the 18S rRNA gene because it provides taxonomic resolution close to that of the
full-length gene (Dunthorn et al. 2012; Hu et al. 2015) and it is the most suitable hypervariable region to
use for phylogenetic placement (Mahé et al. 2017). A total of 15,947,744 reads from 82 samples were
filtered, dereplicated and merged resulting in 31,225 Amplicon Sequencing Variants (ASVs). The study of
multicellular organisms was out of the scope of the present work and thus most multicellular organisms
were discarded by using physical filters of 2000 µm and 200 µm. However, some environmental DNA
(eDNA) that originates from cellular material shed by multicellular organisms into the lake was
sequenced together with the community DNA of unicellular eukaryotes. For our subsequent analyses, we
bioinformatically filtered out all ASVs that were assigned to animals (Division/Class = Metazoa), land
plants (Division = Streptophyta) and typical terrestrial fungi (Class/Order = Ascomycota, Class/Order =
Basidiomycota) (Supplementary Table 3, dataset D3). After the removal of multicellular taxa, 27,790
microeukaryotic (protist) ASVs remained. We evaluated the sampling depth and the representation of
microbial eukaryotes in our samples using rarefaction curves (Supplementary Figure 1). The curves
reached a plateau for all samples, indicating that most of the microbial richness present in Sanabria Lake
and the surrounding freshwater systems was successfully captured by our study. Abiotic parameters indicate ecological disturbance in the
east basin of Sanabria Lake Sanabria Lake is a warm monomictic lake with water circulation during winter and thermal stratification
that begins in the spring and continues until the end of the summer (Vega et al 1992). Samples were
collected at the beginning of the thermal stratification period when the eukaryotic community is expected
to be homogeneously distributed in the water body following the winter mixing. This period also
coincides with the time of the year with the lowest direct anthropogenic impact. Water temperature at the
surface ranged from 7.1 °C to 8.4 °C and in the deepest sampling points ranged from 6 °C to 6.85 °C, with
a mean range of 1.62 °C (Figure 1, Supplementary Table 1). These temperature measurements agree with
the previously recorded temperatures during the homeothermic state of the lake that range between 4 to 7
°C (Vega et al 1992) and confirm the mixing state of the lake. We assessed the trophic state of Sanabria Lake based on water turbidity and chlorophyll a values. Water
turbidity is measured in FTU (Formazin Turbidity Units) and is an indicator of the trophic state of a lake
as it is related to the concentration, type and size of the suspended particles in the water (Çako, Baci, and
Shena 2013). During our sampling, turbidity values in Sanabria Lake were extremely low in all the
sampling sites and ranged from 0.5 to 0.85 FTU (Figure 1). These values are comparable to those in ultra-
oligotrophic alpine lakes (Chanudet and Filella 2007). Chlorophyll a is a reliable indicator to assess the
trophic state of a lake with high values to correspond to more eutrophic ecosystems (Poikane et al. 2014). Chlorophyll a mean values in Sanabria Lake have increased in the last fifty years (Supplementary
Table 5) but they have not exceeded the levels that characterise oligotrophic lacustrine ecosystems. Together, these measurements confirm the overall oligotrophic status of the lake at the time of sampling. Page 7/30 Page 7/30 We observed that chlorophyll a values differed between east and west basin during our sampling (Figure
1). In Sanabria´s west basin (samples S1-S3), the mean value of chlorophyll a was below the reference
value (1.5 μg/L). The reference value defines the equilibrium ecological state of the lake and confirms the
absence of ecological disturbances. Abiotic parameters indicate ecological disturbance in the
east basin of Sanabria Lake However, the mean values of chlorophyll a in Sanabria´s east basin
(samples S4-S5) exceeded the reference values indicating the presence of ecological disturbance (Figure
1). Values of chlorophyll a above 4.2 μg/L are linked to a Good-Moderate ecological state and values
above 7.1 μg/L are linked to a Moderate-Poor ecological state (BOE, 2015). Our results showed that there
was some ecological disturbance that altered the values of chlorophyll a in the east basin of Sanabria
Lake at the time of sampling. The altered values of chlorophyll a in the east basin may be related to
higher anthropogenic impact due to the presence of three camping sites on this side of the lake. Chlorophyll a values measured in Sanabria´s east basin in March 2017 (Llorente and Seoane 2020) are
lower than the ones presented in our study, implying that the stressor was temporal and that water quality
has been restored. Spatial biodiversity patterns To evaluate the intra-sample diversity of Sanabria Lake and the surrounding water bodies, we calculated
nine different alpha-diversity indices (Supplementary Table 4). To avoid potential biases in diversity Page 8/30 Page 8/30 estimates due to differences in the total number of reads, we randomly subsampled the ASVs to the
minimum depth of our dataset (Supplementary Table 3, dataset D3, min sample depth = 31361 reads)
before calculating the alpha-diversity indices. The number of total taxa reported was not affected by
subsampling. We compared the diversity of the different water body types and we found that samples
collected in the tributary stream showed significantly higher intra-sample diversity (Figure 2) and greater
evenness (Supplementary Figure 10) compared to samples from Laguna (pond) and Sanabria (lake)
(Wilcoxon rank sum test P value<0.01) . Previous studies have shown that small water bodies like ponds
and streams can contribute significantly to regional biodiversity of macrophytes and macroinvertebrates
(Williams et al. 2004). Our data support the hypothesis that the same is true for microeukaryotes. This
result pinpoints the importance of small water bodies as biodiversity reservoirs and contrasts with their
relative status in national monitoring and protection strategies, where they are frequently ignored. Regarding the different habitats, sediments harbour the richest microeukaryotic communities (Figure 2). Sediments have been shown to harbour richer communities than the water column for other groups of
organisms like bacteria (Eckert et al. 2020) and marine diatoms (Piredda et al. 2018). However, we cannot
exclude that part of the diversity recorded in the sediments can be attributed to either dormant stages of
planktonic microeukaryotes or dead cells that were recently settled from the water column. To test the effect of abiotic factors in the protist community structure we observed, we carried out
permutational multivariate analysis of variance (PERMANOVA) of Bray-Curtis dissimilarities of the ASVs
between communities as a function of sample spatial origin (Supplementary Table 6). All factors tested
by PERMANOVA tests revealed significant differences in protist communities as a function of site
(Sanabria Lake, Laguna, Stream), sampling site (S1-S10), position regarding the chlorophyll maximum
(on-off), position regarding the thermocline and habitat (water column, sediments, biofilms)
(Supplementary Table 6). To visualise the compositional differences in the community structure of protists we applied nonmetric
multidimensional scaling (NMDS). The communities from Sanabria Lake, the tributary stream and the
Laguna were clearly separated in an ordination based on sampling site (Figure 3A). Taxonomic composition of the protist community To gain an overview of the microeukaryotic taxonomic composition in the Sanabria Lake and the
surrounding freshwater systems, we plotted the relative abundance of ASVs at division level (based on
the PR2 taxonomy) across sampling sites (Figure 4). The phylogenetic diversity of ASVs covered all
currently recognized eukaryotic supergroups (Adl et al. 2019). The group of Stramenopiles was the most
abundant supergroup in all sampling sites, accounting for the 33% of total reads in Sanabria Lake, 34% in
the nearby pond (Laguna) and 40% in the tributary stream respectively (Supplementary Figures 3, 4, and
5). In addition to being abundant, Stramenopiles were diverse, encompassing 22% of total ASV richness
(6,988 ASVs) (Supplementary Table 3). Among Stramenopiles, Ochrophyta was the most abundant group
in all sampling sites (Supplementary Figure 6). Most Ochrophyta in the tributary stream (85%) and
Laguna (81%) were affiliated with Chrysophyceae (Supplementary Figure 6), a group that is generally
common in low-nutrient lakes (Nicholls and Wujek 2003). In Sanabria Lake, together with the
Chrysophyceae (36%), we report a high relative abundance of Bacillariophyta (37%) and Synurophyceae
(24%) within Ochrophyta, two phototrophic lineages that produce silica skeletons or scales
(Supplementary Figure 6). Alveolata was the second most abundant and diverse supergroup, accounting
for 26%-28% of the total eukaryotic reads in each site (Supplementary Figures 3, 4, and 5) and a total of
4,609 ASVs in the study (Supplementary Table 3). The plankton community of Sanabria Lake (excluding the surrounding freshwater systems) was
dominated by Ochrophyta (in the Stramenopiles supergroup; 26%), Ciliophora (Alveolata; 14%),
Dinoflagellata (Alveolata; 10%), Cercozoa (Rhizaria; 10%), Cryptophyta (10%) and unicellular
Opisthokonta (7%) (Supplementary Figures 3). The presence of all these groups except for unicellular
Opisthokonta was previously documented by light microscopy in Sanabria Lake (Vega et al. 1992). We
further explored the taxonomic composition of Sanabria Lake by separately examining benthic and
pelagic samples. The taxonomic composition of the benthic protist community, as represented by ASVs
in the sediments, was dominated by Stramenopiles (36%), Alveolata (29%), Rhizaria (13%), Opisthokonta
(7%), Amoebozoa (5%), Archaeplastida (3%), Hacrobia (3%) and Excavata (3%). In contrast, the planktonic
microbial community was characterised by the prevalence of Hacrobia (16%) as the third most abundant
eukaryotic supergroup after Stramenopiles (31%) and Alveolata (28%). The planktonic Hacrobia (Cavalier-
Smith, Chao, and Lewis 2015) in Sanabria Lake included Cryptophyceae (84%), Katablepharidophyta
(13%), Centroheliozoa (1.5%), Telonemia (1%) and Haptophyta (0.5%). Spatial biodiversity patterns The samples were
also distributed along the first axis (NMDS1) as a function of the habitat, with water column samples
occupying the first three quadrants, biofilm samples in the third and fourth quadrant and sediment
samples occupying only the fourth quadrant (Figure 3A). The community of microbial eukaryotes in the
water column of Sanabria Lake was clearly segregated as a function of the size fraction of the filter and
not the sampling depth (Figure 3B). This is what we expected given that we sampled at the beginning of
the thermal stratification after the winter mixing at the point of maximum homogeneity of the community. As we observed that chlorophyll a values differed between east (S1,S2, and S3 sampling sites) and west
basin (S4 and S5 sampling sites) (Figure 1) we investigated using a NMDS plot whether the
microeukaryotic communities of east and west basin are grouped together but we did not observe such
grouping (Supplementary Figure 2) Our observations were statistically supported by ANOSIM tests (Supplementary Table 7), which showed
significant and marked differences among communities according to habitat, sampling site and depth Page 9/30 (Supplementary Table 1). Our results suggest that the community structure in Sanabria Lake and the
surrounding freshwaters is characterised by spatial variation. The habitat is a major factor that shapes
the community structure after the winter mixing period. Sediments, biofilms and water column harbour
compositionally heterogeneous microbial communities that are driven by the unique environmental
parameters that characterise them. Protist parasites in a temperate oligomesotrophic lake Here we provide the first description of the taxonomic composition of the unicellular eukaryotic parasites
(Supplememtary Table 3, dataset D6) present in Sanabria Lake, the biggest natural lake in the Iberian
Peninsula. Parasitic unicellular eukaryotes modulate large scale ecological processes by regulating the
abundance and dynamics of their hosts population (Bråte et al. 2010). As their study by microscopy is
tedious, little was known about their prevalence in freshwater systems until the advent of metabarcoding
(Frenken et al. 2017). The parasites accounted for 21.3% (5,925) of the total protist ASVs identified in our study. The parasitic
community composition was dominated in all sampling sites by Chytridiomycota, whose relative
abundance within parasitic taxa was 29% in the tributary stream, 32% in Sanabria Lake and 42% in
Laguna. The prevalence of Chytridiomycota in the pelagic zone of lakes has been previously reported
(Lefèvre et al. 2007; Sime-Ngando, Lefevre, and Gleason 2011). Chytridiomycota, which includes more
than 1,000 described species (Powell 1993; Shearer et al. 2007), was also the most diverse group of
parasites in our study, including more than 2,200 of the 5,925 total parasite ASVs, distributed among
more than 50 genera (Supplementary Figure 7). Almost half of the chytrids in terms of abundance
identified in our study belonged to the order Rhizophydiales, that are host‐specific chytrids that infect
various phytoplankton species, mostly diatoms (Jobard, Rasconi, and Sime-Ngando 2010; Rasconi,
Jobard, and Sime-Ngando 2011). The prevalence of Rhizophydiales in the Sanabria Lake ecosystem was
not surprising given that they are the most common planktonic chytrids in lacustrine ecosystems
(Monchy et al. 2011). A species of Rhizophydiales was probably the causative agent of a chytrid
infection in Sanabria Lake in 2014 that diminished the population of the diatom Tabellaria fenestrata and
controlled an algal bloom caused by eutrophication (Llorente and Seoane 2020). The relative abundance
of Perkinsea, a group of parasitic alveolates, ranged from 13% to 18% of total parasite abundance across
the different sampling sites. Perkinsea were previously considered as strictly marine parasites (Norén,
Moestrup, and Rehnstam-Holm 1999; Erard-Le Denn, Chrétiennot-Dinet, and Probert 2000; Villalba et al. 2004; Figueroa et al. 2008; Leander and Hoppenrath 2008) until molecular environmental surveys
revealed an unprecedented diversity of these organisms in freshwaters (Richards et al. 2005; Lefèvre et al. 2008; Lepère, Domaizon, and Debroas 2008; Bråte et al. 2010). The parasitic community of each sampling site carried a unique taxonomic signature. Taxonomic composition of the protist community Excluding Cryptophyceae, this is
the first record for these taxonomic groups in Sanabria Lake. (Katablepharidophyta were previously Page 10/30 Page 10/30 classified inside Cryptophyceae until electron microscopy and molecular phylogenies provided evidence
to consider them as a separate taxonomic group (Okamoto and Inouye 2005).) Protist parasites in a temperate oligomesotrophic lake The parasitic
community of the tributary stream was characterised by a higher proportion of Apicomplexa (17%) and
Labyrinthulomycetes (12%) in comparison to the other sampling sites. Most of the apicomplexan ASVs in
the tributary stream fell into eugregarines, the most abundant apicomplexan group in environmental
surveys (del Campo et al. 2019). Parasitic Stramenopiles (Pseudofungi), a significant component of
freshwater ecosystems (Cooper, Pillinger, and Ridge 1997), constituted the second most abundant group Page 11/30 Page 11/30 in Laguna and represented 20% of the Stramenopiles and 7% (76,070 reads) of all eukaryotes in this
small pond (Supplementary Figure 6). Within the group of parasitic Stramenopiles (Supplementary Figure
6), there was observed a higher prevalence of Oomycetes that are common fish pathogens (van West
2006; Phillips et al. 2008) in Laguna in comparison to the other sampling sites. Finally, Sanabria Lake
harboured a higher relative abundance of Ichthyosporea (12%, 96,491 reads) in comparison to the other
sampling sites (Stream: 2%, Laguna: 1%). The majority of the Ichthyosporea in Sanabria were associated
with the marine genera Abeoforma (69%), Sphaeroforma (17%) and Pseudoperkinsus (10%), none of
them previously identified in a freshwater environment. To confirm the identity of the ichthyosporean ASVs in Sanabria Lake we analysed them by phylogenetic
placement. We compiled a dataset that encompassed all the extant diversity of unicellular Holozoa
(n=234). Half of the complete 18S rDNA gene sequences used to build the reference tree belonged to
uncultured environmental taxa. A total of 132 ASVs identified as Ichthyosporea by the Ribosomal
Database Project (RDP) classifier were placed into the 465 branches of the reference tree (Supplementary
Figure 8). Most of the queries were placed in a clade formed by the freshwater anuran parasite Anurofeca
richardsi, the marine Creolimax fragrantissima, Pseudoperkinsus tapetis and Sphaeroforma arctica, and
some uncultured environmental taxa (Supplementary Figure 8). The 132 ichthyosporean queries were
clustered into 17 clades in the best-hit placement tree (Supplementary Figure 9). Most of the clades were
associated with freshwater sequences. Clade 4, the one formed by the larger number of sequences, was
assigned to the FRESHIP2 group (del Campo and Ruiz-Trillo, 2013), expanding the known molecular
diversity of these environmental taxa. Clades 13, 14 and 15 were assigned to Anurofeca richardsi and
clade 9 to Caullerya mensii, another freshwater parasite that infects Daphnia pulex (Lu et al. 2020). Protist parasites in a temperate oligomesotrophic lake We
identified two clades that were directly associated with marine Ichthyosporea, clade 6 that branched as
sister to Abeoforma whisleri and clade 16 that branched as sister to Sphaeroforma arctica
(Supplementary Figure 9). The genera Abeoforma and Sphaeroforma were previously considered
exclusively marine and this is the first record that connects these taxa to freshwater habitats. As
freshwater habitats are increasingly explored by molecular means, the number of taxa that have been
previously reported as exclusively marine and later were found in freshwater surveys continues to expand
(Bråte et al. 2010; Simon et al. 2015; Richards and Bass 2005; Annenkova, Giner, and Logares 2020;
Massana et al. 2006; Simon et al. 2015; Yi et al. 2017; Mukherjee et al. 2019). Abundant and potentially novel freshwater microbial
eukaryotes Metabarcoding biodiversity studies have shown that great part of the extant microbial diversity remains
undocumented (Pawlowski et al. 2012; del Campo et al. 2014). In a metabarcoding survey, a species can
be described as novel either because it is completely unknown to science or because the particular
molecular marker database used in the study does not include available information on the species. In
this study, we used the term molecular novelty to define any organism whose V4 hypervariable region of Page 12/30 Page 12/30 the 18S rRNA gene is not present in our reference database without discriminating between the two
aforementioned cases. To check whether Sanabria Lake and its surrounding freshwater systems could be a potential sampling
site to isolate new organisms, we investigated the molecular novelty by first selecting potentially novel
ASVs. We used the Ribosomal Database Project (RDP) classifier (Wang et al. 2007) to assign taxonomy
to the ASVs. The RDP classifier provides for each ASV an assignment of the best matching taxa together
with a bootstrap confidence score at each taxonomic rank. This score represents the level of confidence
of the taxonomic assignment at each rank, from supergroup to species. Here, we define as poorly
assigned, thus potentially novel, all ASVs with bootstrap confidence score value <97 at the supergroup
level. We were interested in identifying the most abundant and novel microbial eukaryotes in our study
site, so we selected all ASVs with more than 1,000 reads and bootstrap confidence score value lower than
the aforementioned established novelty threshold. To assign taxonomy to the queries of our dataset, we analysed them using phylogenetic placement
(Figure 5). We first constructed a comprehensive eukaryotic reference tree with 618 eukaryotic taxa that
encompassed all the extant eukaryotic diversity according to the latest classification of eukaryotes (Adl et
al. 2019). We designed the reference tree with two criteria. First, to be inclusive in order to minimise
phylogenetic placement artefacts related to taxonomic sampling and second to be non-redundant in
order to be smaller and thus easier to handle in the post placement analyses. The amplicon short
sequences were aligned to the reference alignment and the amplicon sequences that were not aligned in
the V4 region were removed as artefacts after manual inspection. We placed a total of 113 ASV V4
queries into 1,233 branches of the reference tree. Abundant and potentially novel freshwater microbial
eukaryotes Most of the ASV placements in the tree were found in the leaf nodes of Rhodophyta (Archaeplastida),
Bigyra (Stramenopiles), early-branching Nucletmycea (also known as Holomycota) and Apicomplexa
(Alveolata) pinpointing these clades as parts of the tree with potential novel undescribed molecular
diversity (Figure 5). An elevated number of placements was spotted in the internal nodes of Dinophyta
and the divergence between Opisthokonta and Apusomonadida (Figure 5). Apusomonadida is a recently
defined phylum with a key phylogenetic position to understand the origin of the eukaryotic cell. Apusomonads are rarely detected in environmental studies (Purificación López-García et al. 2003; Not et
al. 2008; Takishita et al. 2007; W. Orsi et al. 2012; Lesaulnier et al. 2008) and can be considerably more
diverse than is currently perceived (Torruella, Moreira, and López-García 2017). We report previously
undocumented diversity associated with the genera Cryptomonas and Chilomonas inside Cryptista, the
naked filose amoebae of the genus Vampyrella (Endomyxa) and the frequently detected by 18S rRNA
gene sequencing eukaryovorous biflagellate Aquavolon (Bass et al. 2018). No placement was recorded
inside Excavata. Most of the ASV placements in the tree were found in the leaf nodes of Rhodophyta (Archaeplastida),
Bigyra (Stramenopiles), early-branching Nucletmycea (also known as Holomycota) and Apicomplexa
(Alveolata) pinpointing these clades as parts of the tree with potential novel undescribed molecular
diversity (Figure 5). An elevated number of placements was spotted in the internal nodes of Dinophyta
and the divergence between Opisthokonta and Apusomonadida (Figure 5). Apusomonadida is a recently
defined phylum with a key phylogenetic position to understand the origin of the eukaryotic cell. Conclusions Page 13/30 Metabarcoding analyses of the V4 hypervariable region of the 18S rRNA gene from diverse habitats in
Sanabria Lake and the surrounding freshwater ecosystems uncovered a rich and diverse microeukaryotic
community. One fifth of the diversity of microeukaryotes identified in Sanabria Lake are parasites,
stressing the importance of parasitic taxa in the freshwater ecosystems. Our observations regarding the
taxonomic composition of the microeukaryotic community overlap with microscopical data based on
morphology but expand the total biodiversity recorded in the lake by adding taxa that were either
insufficiently abundant to be detected by traditional methods or inconspicuous due to lack of
taxonomically informative morphological characters. Tributary stream samples were significantly more
species-rich than samples from Sanabria lake and Laguna. We found that sediments harbour the greatest
diversity among different habitats. We observed compositional heterogeneity among the microbial
communities of Sanabria Lake and the surrounding freshwater ecosystem. Phylogenetic placement
analysis showed that Sanabria Lake and the surrounding freshwater ecosystems would be good targets
for future studies aiming the discovery of potential novel microeukaryotes. This is the first metabarcoding
record of the diversity in Sanabria Lake. Our results expand our understanding of the microbial
communities in oligomesotrophic, temperate, lacustrine ecosystems and can be used as reference for
future studies in the area. Raw data are available in the European Nucleotide Archive (ENA) under the accession number
PRJEB23911 (https://www.ebi.ac.uk/ena/browser/view/PRJEB23911?show=reads). Raw data are available in the European Nucleotide Archive (ENA) under the accession number
PRJEB23911 (https://www.ebi.ac.uk/ena/browser/view/PRJEB23911?show=reads). Acknowledgments This work was supported by grants (BFU2017-90114-P and PID2020-120609GB-I00) funded by
MCIN/AEI/ 10.13039/501100011033 and “ERDF A way of making Europe”. It has also received funding
from the European Union's Horizon 2020 research and innovation programme under the Marie
Skłodowska-Curie grant agreement no. H2020-MSCA-ITN-2015-675752 (SINGEK Project,
http://www.singek.eu/). This project has also received funding from the European Research Council
(ERC) under the European Union’s Horizon 2020 research and innovation programme (grant agreement
No. 949745) and the support of a fellowship from ”la Caixa” Foundation (ID 100010434) with fellowship
code LCF/BQ/PI19/11690008. We thank Tomás Pérez Tonda, María José Orozco López, Laura Carquijero
López and David Salvador Velasco for providing help during sampling. Declarations Acknowledgments Additional information We declare that we have no competing interests. We declare that we have no competing interests. References 1. Adl, Sina M., David Bass, Christopher E. Lane, Julius Lukeš, Conrad L. Schoch, Alexey Smirnov,
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Radiations.” FEMS Microbiology Ecology 93 (8). https://doi.org/10.1093/femsec/fix073. Figures gure 1 Figure 1 Page 26/30 Page 26/30 Sampling information. The grey map on the top right of the box shows the position of Sanabria Lake in
the Iberian Peninsula. The map on the left shows the sampling sites pointed by orange triangles. Nearby
villages are delimited by red coloured areas. Camping sites are pointed by yellow stars. The sampling
protocol is detailed in the upper right part of the figure. Filters of 2000μm and 200μm contained mainly
multicellular organisms and they were not sequenced. Sample S6 is water and S7 is sediment from an
upstream tributary stream. Samples S8-S10 are water samples from a nearby small pond (Laguna de los
Peces) that is not connected to the main water body. In the table, we present CTD data collected in
Sanabria Lake (sites S1-S5). Figure 2
Alpha diversity of protists across the sampling sites. Each dot represents a sample and the colour code
indicates the habitat of origin. Significant differences between pairs are indicated by double asterisks (p-
value ≤0.01 ** ). Figure 2 Figure 2 Alpha diversity of protists across the sampling sites. Each dot represents a sample and the colour code
indicates the habitat of origin. Significant differences between pairs are indicated by double asterisks (p-
value ≤0.01 ** ). Alpha diversity of protists across the sampling sites. Each dot represents a sample and the colour code
indicates the habitat of origin. Significant differences between pairs are indicated by double asterisks (p-
value ≤0.01 ** ). Page 27/30 Figure 3
Reduced-space NMDS plot showing microbial eukaryotes community structure based Figure 3
Reduced space NMDS plot showing microbial eukaryote Page 28/30
Figure 3
Reduced-space NMDS plot showing microbial eukaryotes community structure based on Bray–Curtis
dissimilarity. A) Dissimilarity calculated from the rarefied at even depth (31361 reads) abundances of
protist ASVs in all samples (dataset D3). The plot is divided in four quadrants horizontally and four
quadrants vertically, delimited by grey lines. (Stress = 0.2083063, Procrustes: rmse 0.03612112 max resid
0.1863833), B) Dissimilarity calculated from the abundances of rarefied at even depth (31361 reads) Figure 3 Reduced-space NMDS plot showing microbial eukaryotes community structure based on Bray–Curtis
dissimilarity. A) Dissimilarity calculated from the rarefied at even depth (31361 reads) abundances of
protist ASVs in all samples (dataset D3). The plot is divided in four quadrants horizontally and four
quadrants vertically, delimited by grey lines. (Stress = 0.2083063, Procrustes: rmse 0.03612112 max resid
0.1863833), B) Dissimilarity calculated from the abundances of rarefied at even depth (31361 reads) Reduced-space NMDS plot showing microbial eukaryotes community structure based on Bray–Curtis
dissimilarity. A) Dissimilarity calculated from the rarefied at even depth (31361 reads) abundances of
protist ASVs in all samples (dataset D3). The plot is divided in four quadrants horizontally and four
quadrants vertically, delimited by grey lines. (Stress = 0.2083063, Procrustes: rmse 0.03612112 max resid
0.1863833), B) Dissimilarity calculated from the abundances of rarefied at even depth (31361 reads) Page 28/30 Page 28/30 ASVs present only in Sanabria samples (dataset D5). The plot is divided in three quadrants horizontally
and five quadrants vertically, delimited by grey lines. (Stress = 0.1676406, Procrustes: rmse 2.784844e-06
max resid 1.93149e-05) max resid 1.93149e-05)
Figure 4
Distribution and relative abundance of the eukaryotic divisions across sampling sites as defined by ASVs. “Others” group together all taxa with relative abundance less than 1%. The boxes represent the
interquartile range (IQR) between the first and third quartiles and the vertical line inside the box defines
the median. Figure 5 Phylogenetic placement of 113 ASVs into 1233 branches of a reference tree with 618 taxa that span all
extant eukaryotic diversity as described in Adl et al. 2019. The ASVs have bootstrap confidence score
value <97 at the supergroup level in the RDP classifier (see Methods) and total abundance greater than
1000 reads. The diameter of the circles indicates the number of ASVs placed in the branch. One ASV can
be placed on multiple branches until it reaches accumulated likelihood_weight_ratio 1. Phylogenetic placement of 113 ASVs into 1233 branches of a reference tree with 618 taxa that span all
extant eukaryotic diversity as described in Adl et al. 2019. The ASVs have bootstrap confidence score
value <97 at the supergroup level in the RDP classifier (see Methods) and total abundance greater than
1000 reads. The diameter of the circles indicates the number of ASVs placed in the branch. One ASV can
be placed on multiple branches until it reaches accumulated likelihood_weight_ratio 1. Figure 4 Distribution and relative abundance of the eukaryotic divisions across sampling sites as defined by ASVs. “Others” group together all taxa with relative abundance less than 1%. The boxes represent the
interquartile range (IQR) between the first and third quartiles and the vertical line inside the box defines
the median. Page 29/30 Figure 5
Phylogenetic placement of 113 ASVs into 1233 branches of a reference tree with 618 taxa that span all
extant eukaryotic diversity as described in Adl et al. 2019. The ASVs have bootstrap confidence score
value <97 at the supergroup level in the RDP classifier (see Methods) and total abundance greater than
1000 reads. The diameter of the circles indicates the number of ASVs placed in the branch. One ASV can
be placed on multiple branches until it reaches accumulated likelihood_weight_ratio 1. Supplementary Files This is a list of supplementary files associated with this preprint. Click to download. SanabriametabarcodingSupplementaryMaterial.pdf Page 30/30
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EXPERIÊNCIA DE CONSUMO EM REALIDADES VIRTUAIS: UM ESTUDO DE CASO REALIZADO NO SECOND LIFE
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Organização: Comitê Científico Interinstitucional
Editor Científico: Milton de Abreu Campanario
Avaliação: Double Blind Review pelo SEER/OJS Editor Científico: Milton de Abreu Campanario
Avaliação: Double Blind Review pelo SEER/OJS
Revisão: Gramatical, normativa e de Formatação ç
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Revisão: Gramatical, normativa e de Formatação Lílian Caporlíngua Giesta Lílian Caporlíngua Giesta
Doutora em Administração pela Universidade Federal do Rio Grande do Sul – UFRGS
Professor da Universidade Federal Rural do Semiárido – UFERSA
ligiesta@gmail.com (Brasil) RAI – Revista de Administração e Inovação
ISSN: 1809-2039
DOI: RAI – Revista de Administração e Inovação
ISSN: 1809-2039
DOI: RAI – Revista de Administração e Inovação
ISSN: 1809-2039
DOI: Isadora Camila Marques Soares Graduada em Administração pela Universidade Federal Rural do Semiárido – UFERSA
isadoracamila@hotmail.com (Brasil) RESUMO Este estudo tem como objetivo geral investigar como ocorre a experiência de consumo no Second Life. Para isso, utilizou-se um estudo de caso qualitativo. A coleta de dados foi desenvolvida por meio da
observação participante, de diálogos inspirados na etnografia e entrevistas semiestruturadas. A análise
de conteúdo orientou a obtenção dos resultados. Identificou-se que os sentimentos relacionados ao
processo de compra são semelhantes com o que é sentido pelos respondentes ao realizarem compras na
vida real e, em algumas situações, são até mais prazerosos. Palavras-chave: Second life; Marketing; Experiência de consume; Comportamento do Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Life 1.
INTRODUÇÃO A internet se tornou parte da vida cotidiana dos indivíduos. Muitos deles fazem uso dessa
ferramenta tanto para se comunicar com outras pessoas ao redor do mundo quanto para pesquisar,
comparar e comprar inúmeros artigos ofertados. Esse instrumento trouxe diversas inovações às formas
de comunicação (FONSECA et al., 2008). Por volta do ano de 2004, surgiram as primeiras redes sociais, que logo ganharam destaque na
internet, pois elas possibilitaram aos seus usuários a divulgação de informações pessoais e a
possibilidade de fazer amigos. Em tais redes também existem fóruns de discussão sobre os mais
variados assuntos, nesse local é possível conhecer pessoas novas e compartilhar opiniões com várias
outras sem restrição de distância, uma vez que existem usuários ao redor de todo o mundo
(SOLOMON, 2008). Por meio da evolução dessas redes sociais e com o surgimento dos jogos de interpretação de
personagens online em massa para múltiplos jogadores, ou Massive Multiplayer Online Role Playing
Game (MMORPG), as empresas perceberam os novos canais de contatos com os consumidores em
potencial, além de um novo meio de testar os produtos em fase de lançamento e economizar tempo e
dinheiro que seriam investidos na fabricação e promoção desses produtos (THILMANY, 2008). Um desses jogos de MMORPG bastante peculiar é o Second Life, criado pela empresa Linden
Research Inc., que ao contrário da maioria dos jogos, não possui sistema de pontos, ganhador ou
perdedor, ou fases que levam ao próximo nível. Como sugere o nome, neste jogo o usuário (ou
residente) tem de fato uma segunda vida. O residente pode experimentar a compra e atividades de consumo neste mundo virtual, da
mesma maneira que o faz no mundo real (SHELTON, 2010) e uma das coisas intrigantes é que a
maioria dos produtos ofertados é criada pelos próprios residentes, fazendo com que eles possam gerar
renda por meio do programa (TERDIMAN, 2008). Por se tratar de uma realidade peculiar e
“imaginária”, esse consumo experiencial vem sendo valorizado pelos seus usuários. Para Schmitt (2000), as experiências são capazes de ligar a empresa e a marca ao estilo de vida
do consumidor, criando estímulos para os sentidos e para a mente na medida em que o cliente vivencia
os diversos tipos de situações os quais é submetido, de modo que as atitudes em relação ao produto e
ao comportamento do consumidor na hora da compra atinjam um contexto social bem mais amplo. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 1.
INTRODUÇÃO Compreender a experiência de consumo neste ambiente parece ser de alta relevância, uma vez
que vários autores (BONSU; DARMONY, 2008; HAENLEIN; KAPLAN, 2009; PARMENTIER; Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 99 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta ROLLAND, 2009; SHELTON, 2010; TERDIMAN, 2008; THILMANY, 2008; WANDT, 2007;
WOOD; SOLOMON, 2009;) destacam o crescimento tanto da quantidade de usuários, que segundo
Wood e Solomon (2009) ultrapassam o número de 16 milhões, quanto do montante de recursos
financeiros gasto pelos jogadores em realidades virtuais desse tipo, fazendo com que este mercado
atingisse entre o segundo semestre de 2008 e o mesmo período de 2009 a marca de mais de meio
bilhão de dólares em transações (LINDEN LAB, 2010). Diante disso, apresenta-se o objetivo geral do
estudo: investigar como ocorre a experiência de consumo no Second Life. Para tanto, os seguintes
objetivos específicos viabilizaram a investigação, quais sejam: Descrever os fatores que mais levam os
usuários a empregarem recursos financeiros neste tipo de ambiente virtual; Verificar quais elementos
do ambiente virtual são mais valorizados pelos jogadores entrevistados; Descobrir quais são as
respostas internas dos residentes ao vivenciar uma experiência de consumo no jogo; Identificar os
motivos que fazem com que os usuários permaneçam no jogo. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 2.
COMPORTAMENTO DO CONSUMIDOR EM REALIDADES VIRTUAIS Em um mundo que possui mais de 13 milhões de avatares e multinacionais do porte da Adidas,
Toyota e Vodafone, como o Second Life, os usuários são expostos a uma variedade infinita de relações
sociais. Podem participar de comunidades que eles próprios criam por meio de seus avatares, o
ambiente pelo qual circulam, além de colaborar em ações de lazer e/ou atividades econômicas,
formando então uma comunidade de novos consumidores (PARMENTIER; ROLLAND 2009). O Second Life é ambientado no que se chama de metaverso explicado por Kamel (2009, p. 21)
como algo que: [...] não é limitado pelo tempo e que continua a funcionar mesmo quando os
jogadores não estão conectados. Navegando por horas e horas, residentes ou
jogadores criam mundos paralelos para o seu mundo real. [...] Um metaverso é
caracterizado por um universo e personagens que agem individualmente ou em
grupos e que experimentam o universo de acordo com práticas estabelecidas
pelos próprios jogadores ou residentes. Castronova (2001) afirma que um mundo virtual é um programa de computador com três
características definidoras: (i) interatividade, existe no computador e pode ser acessada remota e
simultaneamente por um grande número de pessoas; (ii) fisicalidade, onde pessoas acessam o
programa através de uma interface que simula um ambiente em primeira pessoa na tela do
computador; e (iii) persistência, o programa continua funcinando haja pessoas usando ou não. 100 Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Life Tikkanen et al. (2009) destacam que as transformações culturais e tecnológicas avançaram a
emergência acelerada de novas formas de comunidade e identidade, desde as mais convencionais
plataformas de rede até tipos completamente novos de realidades, como os jogos de MMORPG que se
utilizam da imersão e interatividade para prender a atenção dos usuários. As vantagens que este tipo de jogo traz para as empresas são apresentadas por Thilmany (2008)
quando diz que lançando protótipos de seus novos produtos em um mundo virtual, a organização
consegue como retorno uma grande economia e uma forma mais precisa de feedback dos clientes. Economia esta representada pelo baixo custo de lançamento dos protótipos online em comparação a
fabricação, teste e lançamento no mundo real. Vergani e Andrade (2008, p. 2492) partilham dessa
mesma ideia quando descrevem que os usuários “[...] podem ser vistos como consumidores e
participantes do processo de pesquisa para desenvolvimento e implementação de novos produtos”. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 2.
COMPORTAMENTO DO CONSUMIDOR EM REALIDADES VIRTUAIS No ambiente do Second Life existe ainda a possibilidade da relação de co-criação entre cliente e
empresa apresentada por Bonsu e Darmondy (2008) como uma liberdade do consumidor em diversos
sentidos, mas que também representa uma armadilha para que o consumidor produza para a empresa. Em sua pesquisa Dahl e Mureau apresentam sete diferentes motivações para consumidores
participarem de tarefas criativas. Vale ressaltar que há diferentes perfis de jogadores. Parmentier e
Rolland (2009) destacam na sua pesquisa quatro tipos de identidade de usuários, são eles: (i)
duplicação, quando o usuário tem um avatar muito próximo ao seu porte físico no mundo real e a sua
personalidade real se reflete no avatar; (ii) melhoramento, o indivíduo diz que o avatar é a sua
extensão, porém apenas transmite parte de si mesmo, sendo geralmente os aspectos positivos; (iii)
transformação, em que o usuário rejeita no seu avatar qualquer característica que ele rejeite em si
mesmo, fazendo algumas vezes de seu avatar, um oposto do que ele é na realidade; (iv) metamorfose,
o indivíduo considera o avatar um ser alternativo de si mesmo, e os comportamentos e ações do avatar
são totalmente imaginários. Seguindo a linha das motivações para participar de jogos como o Second Life, Shelton (2010)
cita nove delas: (i) fantasia, quando se usa o SL para fazer coisas que não se consegue fazer no mundo
real; (ii) customização, para aqueles que têm interesse em modificar a aparência de um avatar; (iii)
interpretação, quando se cria um residente com uma história e se interage com outras pessoas gerando
assim improvisação; (iv) relacionamentos, onde a pessoa entra no SL para fazer amizades ou manter
relações de longa data com outros residentes; (v) socialização, quando se usa o SL para interagir com
amigos, família e conversar com outros residentes; (vi) escapismo, quando se usa o SL como uma
ferramenta de escape dos problemas do mundo real; (vii) relaxamento, quando o SL é usado como Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./m 101 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta meio de aliviar o estresse; (viii) avanço/desafio, usando o SL para aumentar o nível de habilidades e de
realizações pessoais; e (ix) competição, que é o desejo de competir e desafiar outros residentes. 2.
COMPORTAMENTO DO CONSUMIDOR EM REALIDADES VIRTUAIS Hinsch e Bloch (2009, p. 49) concordam com a ideia de Shelton (2010) de que a fácil
construção de relacionamentos e o escapismo são fortes motivos tanto para se fazer um primeiro login,
quanto para permanecer no jogo e ainda acrescentam duas novas motivações. Poder e controle são um
tipo de motivação, o fato de que o residente vive a vida que escolhe viver, criando um avatar da forma
que ele imaginar e ainda possuindo uma “vida” que ele possui a liberdade de comprar produtos por ele
desejados. Segurança é o outro tipo, uma vez que encontros em um mundo virtual não possuem os
mesmos riscos que na vida real, pois um avatar não pode ser machucado fisicamente. Ou ainda caso o
avatar seja rejeitado por outros residentes do SL, ou encontre-se em alguma situação que não o agrade
ele sempre pode teleportar-se para qualquer outra locação do mundo virtual e começar tudo de novo. No mundo real, assim como no SL, frequentemente um produto ou serviço é comprado por
aquilo que representa para o consumidor ou para as pessoas com quem ele está relacionado, servindo
como referência social, dando assim significado ao termo interacionismo simbólico (LEIGH; GABEL,
1992). O comportamento de compra de cada indivíduo é avaliado pelos outros membros do grupo e
ainda segundo os mesmos autores podem ser divididos em três características: (i) consumidores em
transição, aqueles que passam a consumir certos tipos de produtos por eles serem referência na nova
situação; (ii) consumidores que ocupam alto nível de importância em um grupo social, os quais
consomem de acordo com o que julgam que irá impressionar os outros membros do grupo; e (iii)
consumidores que aspiram ganhar lugar em um grupo social específico, consomem aquilo que
acreditam ser pré-requisito para a aceitação no grupo desejado. Para Taurion (2009, p. 52) os residentes que surgem como líderes permanecem por
meritocracia e influenciam de forma colaborativa, porém às vezes, permanecem apenas pelo
cumprimento de alguma missão, ao final da qual surge uma nova liderança, encorajando assim
colaborações e experimentações. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 2.1
Experiência de consumo em ambientes virtuais Como resposta ao desenvolvimento simultâneo nos campos da tecnologia de informação,
supremacia da marca e comunicação e entretenimento no amplo ambiente de mercado houve uma
mudança do tradicional marketing de “características e benefícios” para o marketing que visa criar
experiências para os consumidores (SCHMITT, 1999, p. 53). Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 102 Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Life Todas as formas de contato feitas por um consumidor a determinado produto são experiências
que serão aplicadas a ele, e através da soma deste histórico é produzido o valor percebido pelo cliente. Para Flôr e Umeda (2009, p. 3), o marketing experiencial busca “oferecer produtos e campanhas que
consigam estimular os sentidos e as emoções do público-alvo [...]” procurando instalar-se na memória
do consumidor disseminando o sentimento que fez parte da experiência atribuída a marca. Kamel (2009) apresenta quatro proposições de análise dos avatares para um melhor
entendimento da experiência de consumo no metaverso. Afirma-se que as contribuições desta análise
são significativas, porém, não dispõe de explicações sobre como os consumidores escolhem os seus
avatares e a maneira como os jogadores ou residentes os envolve neste mundo. A primeira proposição
sugere que no metaverso, o avatar é uma forma de expressão do auto-conceito que o consumidor
escolhe em concordância com o seu ideal, real, e/ou eu social. A segunda sugestão é que o avatar é
uma reflexão do papel que o consumidor escolhe para atuar no mundo virtual. A terceira suposição diz
que o avatar escolhido pelo consumidor é uma reflexão das suas próprias motivações. Por último, a
quarta proposição sugere que o avatar escolhido pelo consumidor seria uma reflexão dos traços da sua
própria personalidade. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 2.1
Experiência de consumo em ambientes virtuais Quanto ao marketing experiencial, apóia-se em quatro características, que são: (i) foco na
experiência do consumidor, que fornece valores sensoriais, emocionais, cognitivos, comportamentais e
relacionais ao invés de valores funcionais; (ii) foco no consumo como uma experiência holística, em
que o conceito de uma característica é ampliado e o significado dessa situação de consumo específico é
examinado no seu mais vasto contexto sócio-cultural; (iii) consumidores são animais racionais e
emocionais, que diz que os consumidores são tão emocionais quanto racionais e podem ser guiados a
uma compra por puro hedonismo; e (iv) métodos e ferramentas são ecléticos, pois o marketing
experiencial não está vinculado a apenas uma ideologia metodológica, mas seus métodos e ferramentas
são diversos e multifacetados (SCHMITT, 1999). Algumas características apresentadas por Schmitt (1999) encontram base em Holbrook e
Hirschman (1982) que falam do fato da perspectiva experiencial suportar uma investigação mais
energética de relações psicofísicas multissensoriais no comportamento do consumidor, sugerindo
assim novos e diferentes métodos de interpretação, bem como do fato de que o consumo envolve um
fluxo constante de fantasias, sentimentos e diversão com vários significados simbólicos, respostas
hedônicas e critérios estéticos, atribuindo uma perspectiva fenomenológica e referindo-se a ele como
um estado essencialmente subjetivo de consciência, ou seja, não somente feito conscientemente, mas
também guiado por emoções de forma hedônica. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./m 103 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Hirschman e Holbrook (1982, p. 94) explicam que o consumo hedônico tem relação com “[...]
aquelas facetas do comportamento do consumidor que se relacionam com os aspectos multissensoriais,
fantasiosos e emotivos da experiência com os produtos”, cujos “[...] atos são baseados não no que os
consumidores conhecem como real, mas naquilo que eles desejam que seja realidade”. Kamel (2009) vai além, ao fazer a conexão desse tipo de consumo experiencial com o ambiente
do SL quando mostra que o metaverso oferece uma experiência hedonista ao permitir que seus
residentes vivam essa sensação, uma vez que ela se encaixa nos aspectos lúdicos do consumo
contemporâneo. E acrescenta que sabendo disso os editores do jogo estão despendendo esforços
significantes para reforçar a convivência dos residentes e expandir as oportunidades de customização
do universo virtual. Na concepção de Okada (2005, p. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 2.1
Experiência de consumo em ambientes virtuais 43) “as pessoas estarão mais propensas a consumir bens
hedônicos quando o contexto da decisão as permite ter flexibilidade para justificar este consumo”, e a
diferença entre esse tipo de compra e o consumo utilitário é apenas uma questão de grau de percepção. Em seu estudo ela apresenta que uma alternativa hedônica tende a ser mais utilizada quando
comparada com uma alternativa utilitária quando elas surgem isoladamente. Enquanto que a compra
utilitária tende a ser escolhida com mais frequência quando as duas são apresentadas juntas. Isto ocorre
porque em contrapartida a facilidade com que se justificam os gastos em bens utilitários, o consumo de
bens hedônicos está sempre associado a um senso de culpa e à dificuldade de quantificar seus
benefícios. Schmitt (1999) apresenta em seu trabalho cinco Módulos Experienciais Estratégicos (MEE),
que interagem entre si, dos quais as empresas podem fazer uso para criar diferentes tipos de
experiência para os seus consumidores. O módulo percepção apela para os sentidos com o objetivo de
criar experiências sensoriais através da visão, audição, tato, paladar e olfato. O sentir, segundo módulo
apresentado, apela para os sentimentos internos com o objetivo de criar experiências afetivas que
variam de estados medianamente positivos para fortes emoções de prazer e orgulho. O módulo de
pensar apela ao intelecto com o propósito de criar experiências de solução de problemas que envolvem
os consumidores de forma criativa. O quarto módulo é chamado de agir e enriquece a vida dos
consumidores orientando suas experiências, mostrando diferentes alternativas de fazer coisas, de
estilos de vida e de interações. O último modo, relacionar, contém aspectos dos outros módulos, porém
vai além do indivíduo e o relaciona com algo fora do seu próprio eu, como outras pessoas e culturas. De acordo com o tipo de MEE utilizado deve-se definir o provedor de experiência mais
adequado, o qual subdivide-se em sete tipos: (i) comunicação - equivale à propaganda; (ii) identidade 104 Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Li visual e verbal - nome, logotipo etc.; (iii) presença do produto - design do produto, embalagem e
display de demonstração; (iv) co-branding - eventos de marketing, patrocínio, relacionamentos,
licenciamentos e merchandising em filmes e campanhas cooperativas; (v) ambiente - local; (vi) web
sites e mídia eletrônica; (vii) pessoas - equipe de vendas, assistência técnica, e demais pessoas
vinculadas à empresa. 2.1
Experiência de consumo em ambientes virtuais A estratégia de marketing que trabalha com os sentidos procura captar a atenção dos
consumidores por meio de estímulos que gerem prazer estético ou excitação. As experiências
sensoriais podem diferenciar empresas e produtos, além de motivar os consumidores e agregar valor. De acordo com o estudo de Eroglu, Machleit e Davis (2001, p. 179) a atmosfera proporcionada
por ambientes de lojas tradicionais, não pode ser aplicada, em sua totalidade, a ambientes de lojas
virtuais, pois estas são impossibilitadas de apresentar algumas características de lojas tradicionais
como a percepção do olfato, porém, apresentam peculiaridades como flexibilidade no tempo e espaço. As várias combinações do ambiente de loja real se resumem em sua maioria a apelos visuais através de
um monitor. Para Costa e Larán (2003), uma compra por impulso ocorre derivada de três fatores principais:
(i) a circulação do consumidor na loja, como a atividade com fins recreativos ou informativos de
percorrer e examinar o ambiente sem intenção imediata de compra; (ii) a impulsividade do indivíduo,
que resulta da luta entre a vontade de comprar e o autocontrole, sendo que o desejo prevalece.; e (iii) a
influência dos elementos ambientais, como a presença de cores, sons, promoções, entre outros,
aumentando a permanência dos consumidores nas lojas, despertando ou gerando impulsos que levam
ao ato da compra. Portanto, observa-se que há algumas diferenças entre o comportamento de compra
em atmosferas tradicionais e virtuais. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 3.
PROCEDIMENTOS METODOLÓGICOS A expressão pesquisa qualitativa assume diferentes significados no campo das ciências sociais
(NEVES, 1996) e engloba técnicas interpretativas favoráveis ao delineamento e entendimento dos
sentidos dos fenômenos do mundo social. Grande parte dos estudos qualitativos se realiza na fonte de
origem dos dados, e os pesquisadores ao empregarem o método em questão voltam sua atenção para o
processo social mais do que para a estrutura social, buscando visualizar o contexto e quando possível,
integra-se com o objeto de estudo para que possa obter a compreensão do fenômeno. e Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 105 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Como o tema sugerido por este estudo é pouco explorado, posto a falta de estudos nesta área,
optou-se pelo uso da perspectiva qualitativa. Logo esta investigação conta com características de
pesquisa exploratória a fim de “[...] levantar informações sobre um determinado objeto, delimitando
assim um campo de trabalho” (SEVERINO, 2007, p. 123). Ainda pode-se encontrar neste trabalho características de um estudo de caso, uma vez que, está
restrito ao ambiente de jogo do SL. Yin (2001) aponta que o estudo de caso é uma forma de se fazer
pesquisa social empírica ao se investigar um fenômeno atual dentro de um contexto de vida real, em
que as fronteiras entre o fenômeno e o contexto não são claramente definidas e na situação em que
múltiplas fontes de evidência são utilizadas. O SL demonstra características que o diferem dos outros jogos de MMORPG e o torna um
atrativo a pesquisas nesta área, pois garante a propriedade das criações aos residentes, e a possibilidade
de fazer o que quiserem, o que serve também como motivação para o usuário. Esta é a saída
encontrada pelos seus criadores para garantir uma economia crescente e saudável, em que os jogadores
possuem os mesmos direitos de propriedade semelhante aos da vida real (TERDIMAN, 2008, p. 7). Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 3.
PROCEDIMENTOS METODOLÓGICOS Outra característica própria do jogo é que aos residentes é também permitida a compra de itens,
criando assim uma experiência de consumo para os usuários que optarem não por fazer, mas por gastar
dinheiro adquirindo artefatos que outros avatares fizeram e puseram a venda, mostrando aquilo que os
consumidores estão necessitando e por vezes não encontram no mundo real. A seleção de respondentes ocorreu de forma aleatória e simples. Todavia, essa seleção foi
cuidadosa, no sentido de priorizar a qualidade das informações. Quanto aos respondentes, nesta
pesquisa, foi composto por residentes do Second Life que tinham de alguma forma despendido
dinheiro com o jogo, como também, pelos que participavam do jogo sem efetuar compra. No total
foram dois grupos de sujeitos que trouxeram informações relevantes ao estudo: os avatares que não
consomem e aqueles que consomem. Como método de coleta de dados, utilizou-se o método de observação participante para tentar
compreender os fenômenos que estão sendo estudados a partir da perspectiva dos participantes como
sugere Godoy (1995). Esse tipo de observação requer a participação real do pesquisador na vida da
comunidade estudada, podendo o observador assumir o papel de membro do grupo e chegar ao
conhecimento do mesmo a partir do seu interior. Além da observação participante, diálogos e
entrevistas semiestruturadas foram realizadas. Com base nos preceitos do diálogo etnográfico, houve
interação com os consumidores de produtos vendidos nesse ambiente e com os não-compradores. Esta
etapa da pesquisa foi realizada durante nove meses (fase exploratória). Enquanto que a entrevista Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 106 Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Li semiestruturada foi aplicada logo em seguida durante o mês subsequente, com o intuito de consolidar o
alcance dos objetivos propostos no estudo com apenas consumidores. O primeiro contato com um residente se deu no início da experiência no jogo, que ocorreu na
fase exploratória, conhecendo os diferentes ambientes foi possível se relacionar com avatares
hospitaleiros dispostos a ajudar e tirar dúvidas. Passado um mês de conversas esporádicas, surgiu um
avatar que viria a ser o que com mais frequência ofereceu ajuda. Por meio dele tomou-se
conhecimento de várias funcionalidades e peculiaridades do SL, além do fato de conhecer vários
jogadores que compunham o seu círculo de amizade. 3.
PROCEDIMENTOS METODOLÓGICOS A análise dos dados foi realizada levando-se em consideração todas as informações colhidas
com o apoio do embasamento teórico. A análise de conteúdo foi o modo com que os dados foram
analisados com o propósito de alcançar o objetivo da pesquisa. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 4.
DISCUSSÃO DOS RESULTADOS A presente pesquisa tem como objetivo geral descrever os fatores que mais levam os usuários a
empregarem recursos financeiros neste tipo de ambiente virtual. Para tanto, inicialmente, são
apresentadas algumas informações da dinâmica do Second Life. Como característica marcante, o
presente trabalho possui um único objeto de estudo que é o jogo Second Life. Para ter acesso ao SL
basta que se crie gratuitamente uma conta no seu site oficial e se faça o download de qualquer
programa que possa conectá-lo a este “mundo”. O viewer é encontrado em qualquer site de busca,
além do viewer oficial disponibilizado pela Linden Lab existem vários outros que possuem diferentes
funcionalidades. Quando o login é feito, o contato inicial com outros usuários é simples, como frisam Hinsch e
Bloch (2009, p. 49) “[...] não existe necessidade de viagens ou de marcar encontros. [...] Um residente
pode simplesmente mover-se em direção a outro jogador e dizer ou escrever ‘Oi’”. O SL é um lugar onde existem possibilidades ilimitadas e inúmeras opções do que fazer, um
lugar onde praticamente tudo é admissível. Apesar da possibilidade de realização de qualquer fantasia
e da tolerância dos residentes para com o jeito de ser dos outros usuários do jogo, em alguns locais é
proibido voar, deixar cair objetos no chão, entre outras proibições que ficam a critério de quem é dono
do lugar. 4.
DISCUSSÃO DOS RESULTADOS Além disso, a própria Linden Lab conta com seis grandes regras do jogo que se desobedecidas
podem gerar a expulsão do avatar deste ambiente virtual, são elas: (i) intolerância, que são quaisquer 107 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta tipos de ações que marginalizem, menosprezem ou difamem indivíduos ou grupos, o que acaba
minando a troca de ideias e diminuindo a comunidade; (ii) assédio, que é caracterizado pela conduta
ou comunicação de forma grosseira, intimidante ou ameaçadora, que constitua um avanço sexual ou a
solicitação de favores sexuais ou comportamentos que de outra forma causem mal-estar ou tensão; (iii)
agressões, que no jogo são atirar, empurrar ou atropelar outro residente em uma área segura, criar ou
usar objetos que única ou persistentemente sejam dirigidos a outro residente e o impedem de se divertir
no Second Life; (iv) privacidade, que garante aos residentes o direito a um certo nível de privacidade
em relação ao usufruto do SL; (v) regiões, grupos e listas de conteúdo adulto, que são restritas apenas a
áreas destinadas a este tipo de informação; e (vi) perturbação da paz, como a intromissão de eventos
agendados, a transmissão insistente de publicidade indesejada, o uso de sons repetitivos, seguir ou
armazenar itens ou outros objetos que intencionalmente diminuam o desempenho do servidor ou
restrinjam a capacidade de outro residente de aproveitar o ambiente do jogo. O SL possui um relógio próprio ajustado ao Greenwich Mean Time (GMT) -7:00, este é o
mesmo fuso horário do estado da Califórnia nos Estados Unidos, onde está localizada a sede da Linden
Lab e os residentes em sua maioria marcam os compromissos do jogo de acordo com esse relógio, não
de acordo com o seu próprio fuso. No Second Life é possível se fazer compras de terras e em alguns destes ambientes do jogo
pode-se perceber a existência de uma hierarquia presente entre os participantes de determinados
grupos, o que os tornam responsáveis pelos espaços pertencentes ao grupo. Alguns avatares chegam a
receber denominações como ‘Rainha’ e ‘Rei’, para designar sua importância para os demais e muitos
destes grupos possuem conselhos formados por alguns participantes escolhidos pelos monarcas donos
das terras. 4.
DISCUSSÃO DOS RESULTADOS Essa escolha deve-se em sua maioria a ajuda fornecida pelos outros avatares às necessidades
do grupo, bem como a frequência com que estão presentes no jogo. Existem três grandes tipos de
avatares, são eles: (i) humanos, que são avatares com características de seres humanos; (ii) ferais,
aqueles que são bichos; e (iii) furries, avatares que são a mistura entre os ferais e os humanos. Após a explanação sobre o jogo, são apresentados os resultados da pesquisa. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 4.1
Motivos de compra A Figura 1 revela os fatores que mais levam os usuários a empregarem recursos financeiros
neste tipo de ambiente virtual. Verificou-se que a disponibilidade de recursos financeiros, a busca pela e Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 108 Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Li melhoraria da aparência dos seus avatares, o preço e a expressão da individualidade são principais
motivos de compra dos residentes entrevistados. MOTIVOS DE COMPRA
Disponibilidade de
recursos financeiros
Melhoria da
aparência do avatar
Preço
Expressão da
individualidade
Respondente H: i
honestly cant
remember the first
thing i bought. lol but i
probably bought it
because i figured the
money isnt going
anywhere, i might as
well use it. Respondente F: I buy
fancy dresses and
such;
Respondente J: to
make my av look
better; Respondente E:
i wanted to look good
on here;
Respondente B: my
look. Respondente I: … it's
cheaper in here to own
a horse then it is in
real life;
Respondente G: One
of my friends says that
they see buying things
for avatars as ‘cheap
entertainment’ an I
agree... Respondente C: i just
love shopping hun and
i want to dress
different from the rest;
Respondente G: …
We buy these items to
express ourselves, and
be individual. Figura 1. Principais motivos de compra apresentados
Fonte: Elaboração das autoras. Figura 1. Principais motivos de compra apresentados
Fonte: Elaboração das autoras. Figura 1. Principais motivos de compra apresentados
Fonte: Elaboração das autoras. Verificou-se que o motivo de compra mais citado pelos residentes entrevistados foi o de
melhorar a aparência dos seus avatares. Foi constatado também que alguns avatares desejam expressar
sua individualidade por meio da compra de produtos no SL, como afirmou a Respondente G dizendo
que faz esse tipo de compra para expressar a si própria e ser individual. Os Respondentes A e H
indicam a disponibilidade de dinheiro nas contas do jogo como um dos motivos de compra quando
afirmaram que se não gastassem o dinheiro, ele sozinho não vai a lugar nenhum. Outro fator que leva os residentes a empregarem dinheiro no jogo é o preço dos produtos no
SL, que é bem menor do que o preço dos seus equivalentes na vida real. Tal argumento foi defendido
por Hinsch e Bloch (2009, p. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 4.1
Motivos de compra 56) justificando este fator ao dizer que isso se dá pela taxa de câmbio dos
Lindens Dólares. Trata-se da moeda do jogo. A aquisição mínima de Lindens permitida pelo jogo é de
L$ 550 por compra, o que equivale a aproximadamente US$ 2,50 que “permite pessoas que não são
ricas comprar itens para os seus avatares com os quais eles não podem nem sonhar na vida real”. A
compra de um vestido de noiva na vida real que varia, em média, entre R$ 1.000 e R$ 2.000, pode ser
feita no jogo por L$ 400, ou seja, menos de R$ 3,20. Em consonância com o que afirmam Hirschman e Holbrook (1982) sobre a compra hedônica de
itens fantasiosos para suprirem necessidades daquilo que desejam que seja real, oito dos entrevistados
afirmaram adotar esta prática no jogo. Animais de estimação, principalmente cavalos, são
frequentemente comprados, tendo sido citados pelo Respondente I: “horses lmao!”, este fato está
ligado, além do hedonismo, com o motivo de que comprar cavalos no Second Life é mais barato que na 109 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta vida real. Outra entrevistada que afirmou fazer esse tipo de compra foi a Respondente C quando disse:
“yes [...] i dont have horses”, neste momento da conversa ela havia sido perguntada sobre a compra de
itens que não possuía na vida real, mas sim no SL. No SL o mercado de cavalos é bastante amplo,
havendo criadores, leilões e raças tal qual na vida real. Ainda se tratando de compras hedônicas, podem ser mencionados outros relatos em relação à
demonstração de sua vontade para efetivar a primeira compra no jogo. Avatares fantasiosos como
vampiros (avatares que podem morder outros residentes conseguindo assim um pedaço das suas
“almas”, para torná-los filhos e filhas) e dragões são comprados para substituir a personalidade que os
residentes desejam, mas sabem ser inexistente na vida real. 4.1
Motivos de compra As informações da Respondente C:
“Vampire Hud [...] it is just a fantasy of mine since i was a kid”, e da Respondente I: “my vampire
hud [...] because the reason i came to sl was to be a vampire” reforçam que a ideia de poder se
transformar em certos tipos de criaturas é um atrativo a mais para a realização de compras no jogo. É
interessante explicar o significado de HUD (Heads’up Display) que é um mostrador que monitora as
ações de certas características dos avatares. O relato da Respondente G: “First thing I ever bought
from here was a 1L$ dragon avatar. I really like dragons as well, and I was so excited when a dragon
avatar came up in my search” indica que a possibilidade de transformar-se em diferentes animais
também inspira os jogadores a continuar comprando. Parmentier e Rolland (2009) apresentaram em seu trabalho que as empresas de grande porte do
mundo real levaram suas lojas ao mundo virtual, porém, do grupo de residentes entrevistados apenas o
Respondente A afirmou conhecer a existência delas quando disse: “eles tem suas lojas aqui também
[...] há um mercado aqui [...] grande [...] marcas só de SL e marcas de RL também [...] eu tenho uma
coleção de calçados adidas [...] toyota tem modelos de autos para SL também”. Portanto, o estudo contribui para o preenchimento de espaço na lacuna de informações
existentes sobre este tipo de variável, acrescentando informações aos estudos de Parmentier e Rolland
(2009) por confirmar sua teoria de melhoramento e metamorfose como perspectivas sobre as
identidades dos avatares, e à pesquisa de Shelton (2010) quando demonstra que fantasia e metamorfose
também são motivos de compra. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 4.2
Elementos mais valorizados Analisando-se as respostas obtidas por meio das entrevistas, quatro são os elementos mais
valorizados pelos jogadores. O mais citado nas entrevistas é a tolerância existente no jogo. Com isso, Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 110 Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Li os avatares podem sentir-se à vontade para fazerem e usarem o que quiserem sem se preocupar, pois
suas ações não afetam a relação com outros avatares. Os relatos, que podem ser encontrados na Figura 2, confirmam o que foi explicado por Hinsch
e Bloch (2009, p. 46) quando afirmam que “os usuários do Second Life têm uma considerável
liberdade de fazer o design e criar o seu próprio avatar”. O que se aproxima do que é defendido por
Kamel (2009, p. 30), para o autor “o pensamento de consumo pós-moderno considera que a
experiência de consumo não está destinada a reconciliar diferenças e paradoxos, mas permitir que eles
existam livremente”. Tal entendimento também é compartilhado por Hinsch e Bloch (2009, p. 46), eles
explicam que “enquanto a maioria das leis físicas existe no mundo virtual, o Second Life toma algumas
liberdades, os residentes são capazes de voar e ainda de teletransportarem-se de um lugar a outro”. As relações afetivas de amizade que são criadas dentro do jogo são em alguns casos fortes,
fazendo com que alguns residentes considerem outros membros de sua família no jogo. Para alguns
usuários, este tipo de relação é a característica do SL que tem mais valor. Esta evidência pode ser
encontrada nas explicações dos Respondentes A, B e H evidenciando o que foi apresentado por
Castronova (2001) que afirma que depois do fechamento de um mundo virtual, os usuários sentem a
perda tanto do mundo quando das relações que foram uma parte significante das suas vidas. Em acréscimo, ressalta-se para os investidores que pretendem entrar no ramo de lojas em
ambientes virtuais, tais como o SL, a preferência dos usuários do jogo por determinadas lojas se dá
principalmente pela identificação com o estilo de produtos oferecidos. Pode-se perceber, portanto, que
os usuários do Second Life valorizam, principalmente, as relações de amizade e a família construída no
jogo, as possibilidades ilimitadas oferecidas pelo ambiente do SL, a tolerância dos outros usuários para
com os seus estilos e/ou atitudes, e ainda os cenários do jogo. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 4.2
Elementos mais valorizados ELEMENTOS MAIS VALORIZADOS
Amigos e/ou família
Cenários
Possibilidades
ilimitadas
Tolerância
Respondente A: eu
gosto das amizades, e
claro, de minha familia
virtual [...] minha
esposa, e filhos e seus
filhos;
Respondente B: the
boys and meeting ppl. Respondente E: some
places, the scenery
looks good;
Respondente H: well
some of the scenic
places [...] its like art. Respondente I: […] i
can create my own
fantasy world in here
and get away from real
life sometimes;
Respondente D: the
boundless options. Respondente F: How
most people are rather
accepting;
Respondente J: the
possibility of doin
anythng i want without
being judged;
Figura 2. Elementos do ambiente virtual mais valorizados pelos usuários
Fonte: Elaboração das autoras Respondente F: How
most people are rather
accepting;
Respondente J: the
possibility of doin
anythng i want without
being judged; Figura 2. Elementos do ambiente virtual mais valorizados pelos usuários
Fonte: Elaboração das autoras Figura 2. Elementos do ambiente virtual mais valorizados pelos usuários
Fonte: Elaboração das autoras 111 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta
Após a discussão dos resultados relacionados aos elementos mais valorizados, apresentam-se as
respostas internas dos jogadores entrevistados. Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Após a discussão dos resultados relacionados aos elementos mais valorizados, apresentam-se as
respostas internas dos jogadores entrevistados. 4.3
Respostas internas 112 Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Life periência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Life Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Life
regrets sometimes;
happy;
Respondente B: i feel
wonderful. Respostas
internas
relativas à
presença no
ambiente
do jogo
Aceitação
Felicidade
Relaxamento
Tédio
Respondente F:
Accepted […]. Respondente G:
“I feel very
accepted here,
like I can dress
how I want, and
do things
without being
judged. […]. Respondente H:
“iv gone through
so many emotions
on here just like in
rl. but my most
dominant feeling
would be the
happiness to be
reconnected with
the ones i love;
Respondente J: i feel
at ease.i get all my
stress out here.i jst
feel relaxed. Respondente F: […]
if a bit bored at
times;
Respondente I: i feel
most times boredom. Figura 3. Respostas internas dos residentes
Fonte: Elaboração das autoras Respostas
internas
relativas à
presença no
ambiente
do jogo Figura 3. Respostas internas dos residentes
Fonte: Elaboração das autoras Fazer compras no jogo é similar a sensação da vida real. Sobre esse assunto, o Respondente A
explica que: “sempre é quase como comprar na RL”. Quando a Respondente H afirma que: “well i still
make sure that what i buy its what i really want. like in rl how you look around until you can find the
best. well i do that here too. i hate wasting money […]” é apresentada uma semelhança com o ato da
pesquisa de compra, onde o consumidor visita várias lojas para identificar aquela que oferece os
melhores produtos e/ou melhores condições. A Respondente I informa que: “i shop when i'm bored on
here and i shop when i feel like crap in real life. so it's the same”, simbolizando o consumo como
forma de relaxamento. Ainda com relação às respostas internas, mas, dessa vez, voltadas à presença no ambiente do
jogo, pode-se perceber através das respostas que assim como na compra existem três sentimentos
positivos e apenas um negativo. As afirmações positivas dizem respeito à felicidade, o sentimento de
aceitação por parte dos outros residentes e ainda o relaxamento proporcionado pelo jogo. O único
aspecto negativo foi apresentado pelas Respondentes F e I, e diz respeito ao tédio que alguns
residentes afirmam sentir em certos momentos. 4.3
Respostas internas Salienta-se que o esqueleto do marketing experiencial é constituído por duas características: os
modelos experienciais estratégicos (MEEs), que são o sentido, o sentimento, pensamento, ação e
identificação, e os provedores de experiências, os ProExs, que são o espaço ambiental, as pessoas, a
presença do produto, as co-marcas, as comunicações, a mídia eletrônica e a identidade visual e verbal
(SCHMITT, 2002). Esta seção tem como escopo os MEEs que constituem as respostas internas dos
indivíduos. Especificamente, as respostas internas investigadas são relativas à compra realizada no
ambiente do jogo, a maioria das respostas obtida foi positiva com a informação dos residentes de que a
compra os deixavam felizes, animados e algumas vezes deslumbrados, porém alguns residentes
apresentaram o arrependimento como uma resposta negativa do ato da compra. Além disso, alguns
residentes informaram que a sensação de compra no Second Life era em alguns aspectos parecida com
as sensações sentidas na vida real. Portanto, são expostos relatos dos residentes para que seja possível
discuti-los com o apoio do referencial teórico. Tais respostas estão inseridas no segundo módulo experiencial estratégico (MEE) proposto por
Schmitt (1999) que está relacionado ao sentimento dos clientes estimulado pelo marketing
experiencial, dados os vários aspectos que podem ser observados nas respostas apresentadas na Figura
3 como, a felicidade presente nas respostas dos Respondentes F, H e outros, a animação citada pelos
Respondentes C, G e I, bem como o deslumbramento do Respondente B. Além do arrependimento em
algumas compras descrito pelos Respondentes C, F e I. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. RESPOSTAS INTERNAS
Respostas
internas
relativas às
compras
feitas no
jogo
Animação
Arrependimento
Felicidade
Deslumbramento
Respondente C:
i feel excited;
Respondente I:
excited! lol!;
Respondente F:
Like I really
shouldn't, but I
know that it's the
only way I'll get
things that I like;
Respondente C:
Respondente F: I
figure out what I
want, and I guess I'm
happy when I buy it;
Respondente E: i
bought my body
parts, that made me
Respondente H: i
was usually amazed
by it. like i had never
seen it before. it was
so different;
Respondente B: i fell
shocked or amazed. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 4.3
Respostas internas Com relação a confundir emoções do SL com emoções da vida real, seis dos respondentes
afirmaram já ter feito algum tipo de confusão pelo menos uma vez, sendo que para os Respondentes E,
F e I este foi um tipo de experiência experimentada apenas uma vez, com a qual aprenderam a não
fazer mais esse tipo de confusão. Já para as Respondentes B, D e H, não têm como fazer esta distinção,
posto que apesar de serem dois mundos o avatar e quem está por trás dele no fim são a mesma pessoa. Emoções também estão ligadas à criação, no Second Life, daquilo que os usuários sentem falta na vida
real, já que das respostas obtidas duas estão ligadas à criação de laços fortes com outros residentes. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./m 113 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
lí Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Eroglu, Machleit e Davis (2001) explicam que as lojas virtuais não exploram em sua totalidade
os sentidos que são captados pelos ambientes de loja reais, fato evidenciado neste estudo. Apenas três
sentidos foram citados pelos respondentes quando perguntados sobre quais deles eram estimulados
pelo ambiente de imersão do SL. Dos três a visão foi citada com mais frequência, seguida da audição e
do tato. Portanto, constata-se que as respostas internas dos residentes são deslumbramento e
arrependimento correspondendo às respostas cognitivas, animação e felicidade como respostas
afetivas. Tais reações corroboram o pensamento de Peter e Olson (2009) quando afirmam que o
sistema cognitivo e o sistema afetivo podem trabalhar em conjunto para a tomada de decisões, e neste
caso para a experiência de consumo no SL. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 4.4
Permanência no jogo Quanto aos motivos que fazem com que os usuários permaneçam no jogo, obteve-se o seguinte
resultado: a influência dos relacionamentos de amizade e a interação com a família do SL na
permanência dos usuários no jogo, o escapismo, com relação à vida real, e o sentimento de
responsabilidade de alguns usuários para com alguns aspectos do jogo são os principais
influenciadores. Também foram identificados: o motivo que fez os residentes conectarem-se ao jogo
pela primeira vez, as suas primeiras impressões, a experiência mais especial que vivenciaram no jogo e
os motivos que os fazem sair do ambiente de jogo e voltarem à vida real. A afirmativa de Hinsch e Bloch (2009, p. 49) que “a experiência no Second Life é tão diferente
dos jogos tradicionais que rapidamente se torna claro que a interação social é o que motiva as pessoas
a habitar este mundo” é confirmada pelas respostas apresentadas pelos Respondentes D, E, F, G e J,
que afirmam ser principalmente para saber notícias das amizades e da família que criaram no jogo que
continuam se logando, pois assim podem passar um tempo com eles. “Os jogadores escapam da realidade e dos seus problemas através da imersão no
mundo virtual e pesquisadores estão divididos quanto a essas implicações”
(KAMEL, 2009. p. 28). A afirmação desta autora é confirmada nos achados
desta pesquisa ao identificar que alguns usuários têm suas contas no Second Life
como uma forma de escapar dos problemas e não pensar nos estresses causados
pela realidade. Esses resultados também estão de acordo com que é postulado
por Hinsch e Bloch (2009, p. 50) quando dizem que “espera-se que os usuários
do Second Life estejam mascarados como algo frequentemente diferente da sua
pessoa no mundo real. Deste modo, o potencial de fuga é bem maior no Second
Life que em outros sites de relacionamentos”. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 114 Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Life As respostas dadas pelos Respondentes A e H demonstram a responsabilidade para com alguns
aspectos do jogo como motivadora da permanência dos usuários, o que vem a legitimar a afirmação de
que “[...] alguns jogadores consideram ter um papel de responsabilidade no jogo que os ajudam a
serem mais auto-confiantes na vida real” (KAMEL, 2009. p. 28). 4.4
Permanência no jogo Os motivos que levaram os jogadores a experimentarem pela primeira vez foram a curiosidade
de saber como era o ambiente do jogo após terem recebido informações sobre ele em diversos locais. Neste primeiro contato com a vida no jogo, a maioria dos respondentes não teve uma boa primeira
impressão, alegando que acharam o jogo confuso, complexo irritante e chato. O Respondente A
explica que: “como algo muito complexo [...] grande [...] difícil […] e como se vc fora chegada ao
outro mundo [...] tudo diferente [...] coisas q vc não entende”, quando se entra pela primeira vez no
jogo você é levado a ilha de orientação pública, onde existem inúmeros avatares e você pode perceber
a dimensão do jogo pois a ilha possui vários ambientes a serem explorados. Respondente C: “it was
boring”, neste caso pela falta de metas apresentadas pelo jogo. Respondente D: “it confused me”, pois
o avatar entrou em um ambiente com chat por voz e não conseguia entender o que estavam falando ou
o que ela foi fazer ali. Por outro lado, alguns residentes tiveram respostas positivas no primeiro contato com o jogo,
acreditando que seria um ótimo lugar para conhecer novas pessoas e fazer amigos, como acreditam a
Respondente J: “the first impression i had about sl for me was that it would be a site for me to make
friends and play it how i would hav liked my life to be like” e o Respondente E: “yes,i thought it was
great.good to meet people”. Não houve nenhuma resposta que pudesse corroborar o exposto por
Hinsch e Bloch (2009, p. 49) de que “um novo jogador exposto ao Second Life pela primeira vez pode
achar que o mais interessante de toda a experiência é que não se precisa fazer nada”. Por isso, esta
pesquisa aponta um resultado diferente daquilo que foi exposto em pesquisa anterior. Procurou-se saber ainda qual teria sido a experiência mais marcante de toda a vida do usuário
no SL. A maioria dessas experiências envolvia outro avatar como as vividas pelos Respondentes A, E
e J, que tiveram relações sérias com outros residentes, a Respondente H que teve a oportunidade de ter
filhos no jogo, e as Respondentes B e F que alegaram ter feito sexo. Apenas três das respostas estavam
ligadas a outros tipos de experiência. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 4.4
Permanência no jogo Motivos de permanência no jogo
Fonte: Elaboração das autoras Figura 4. Motivos de permanência no jogo
Fonte: Elaboração das autoras Apresentados os resultados obtidos, passa-se, então, a apresentar as considerações finais 4.4
Permanência no jogo Friends that i'd have never
met if I hadn't joined;
Respondente J: see how my sl
friends are doin;
Respondente E: i have some
good friends on here i like to
see;
Respondente C: to escape from
reality and not think about
stress in RL;
Respondente J: to get outa
stress […];
Respondente I: cause i'm bored
most days lol!. Respondente A: eu tenho uma
vida aki;
Respondente H: well being
second to the queen of the clan,
i have tons of responsibilities
that cant be put aside. i also
have my horses to tend to. they
keep me going when and if
nothing else does. Figura 4. Motivos de permanência no jogo
Fonte: Elaboração das autoras
Apresentados os resultados obtidos, passa-se, então, a apresentar as considerações finais. PERMANÊNCIA NO JOGO
Amigos/Família
Escapismo
Responsabilidades no jogo
Respondente F: I have friends
here. Friends that i'd have never
met if I hadn't joined;
Respondente J: see how my sl
friends are doin;
Respondente E: i have some
good friends on here i like to
see;
Respondente C: to escape from
reality and not think about
stress in RL;
Respondente J: to get outa
stress […];
Respondente I: cause i'm bored
most days lol!. Respondente A: eu tenho uma
vida aki;
Respondente H: well being
second to the queen of the clan,
i have tons of responsibilities
that cant be put aside. i also
have my horses to tend to. they
keep me going when and if
nothing else does. Figura 4. Motivos de permanência no jogo
Fonte: Elaboração das autoras
Apresentados os resultados obtidos, passa-se, então, a apresentar as considerações finais. PERMANÊNCIA NO JOGO
Escapismo Responsabilidades no jogo
Respondente A: eu tenho uma
vida aki;
Respondente H: well being
second to the queen of the clan,
i have tons of responsibilities
that cant be put aside. i also
have my horses to tend to. they
keep me going when and if
nothing else does. Amigos/Família
Respondente F: I have friends
here. Friends that i'd have never
met if I hadn't joined;
Respondente J: see how my sl
friends are doin;
Respondente E: i have some
good friends on here i like to
see; Respondente C: to escape from
reality and not think about
stress in RL;
Respondente J: to get outa
stress […];
Respondente I: cause i'm bored
most days lol!. Figura 4. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 4.4
Permanência no jogo Que tem a transformação em vampiro como principal experiência
segundo a Respondente I: “my most outstanding experience was becoming a vampire […]”, a
exploração de diversos lugares como exposto por Respondente D: “i love sims with exploring stuff”, e
a experiência de ter visitado as estrelas como afirma Respondente G: “Ahh The best experience I had
about SL was with a friend of mine, she and her partner own a Science organisation. And she took me
into space, on a rocket, it was fantastic. I enjoyed it very much :)”. 115 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Quanto ao que faz com que os usuários saiam deste mundo de imersão que é o Second Life,
algumas das motivações apontam para o próprio jogo, como quando fica chato ou não existe nenhum
amigo online. Portanto, na Figura 4 observam-se os motivos que fazem com que os usuários
permaneçam no jogo. Em primeiro lugar são os amigos e a família que os residentes criaram dentro do
ambiente do SL, depois, o sentimento de responsabilidade que eles nutrem para com alguns aspectos
do jogo, além do escapismo dos problemas que os sujeitos possuem na vida real. PERMANÊNCIA NO JOGO
Amigos/Família
Escapismo
Responsabilidades no jogo
Respondente F: I have friends
here. Friends that i'd have never
met if I hadn't joined;
Respondente J: see how my sl
friends are doin;
Respondente E: i have some
good friends on here i like to
see;
Respondente C: to escape from
reality and not think about
stress in RL;
Respondente J: to get outa
stress […];
Respondente I: cause i'm bored
most days lol!. Respondente A: eu tenho uma
vida aki;
Respondente H: well being
second to the queen of the clan,
i have tons of responsibilities
that cant be put aside. i also
have my horses to tend to. they
keep me going when and if
nothing else does. Figura 4. Motivos de permanência no jogo
Fonte: Elaboração das autoras
Apresentados os resultados obtidos, passa-se, então, a apresentar as considerações finais. PERMANÊNCIA NO JOGO
Amigos/Família
Escapismo
Responsabilidades no jogo
Respondente F: I have friends
here. Amigos/Família
Respondente F: I have friends
here. Friends that i'd have never
met if I hadn't joined;
Respondente J: see how my sl
friends are doin;
Respondente E: i have some
good friends on here i like to
see; 5.
CONSIDERAÇÕES FINAIS O presente estudo foi motivado pela expectativa de que se no ambiente do Second Life existe a
possibilidade de fazer compras de diversos itens, então, havia experiência de consumo que deveria ser
investigada. O jogo possui características peculiares de jogabilidade permitidas pelas ilimitadas
possibilidades oferecidas e pelo fato de que nenhum avatar é controlado por computador, eles são de
fato pessoas de diversos locais do mundo. Os resultados obtidos demonstraram que o ambiente do jogo
proporciona aos seus residentes experiências significativas, não só experiências relacionadas ao
consumo de produtos dentro do jogo, mas também, identificou-se a influência das relações afetivas
criadas e mantidas no ambiente. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./m 116 Experiência de Consumo em Realidades Virtuais: um Estudo de Caso Realizado no Second Life Em se tratando de lojas ambientadas no Second Life, a preferência dos sujeitos por algumas
específicas se dá por três características principais: a primeira e mais recorrente é se o tipo de produto
oferecido está relacionado ao estilo que os jogadores desejam transparecer com seus avatares. Outra
característica interessante é o preço menor de produtos oferecidos por algumas lojas. Por fim, o market
place que é uma espécie de “mercado livre” criado pelo próprio Liden Lab onde os usuários podem
vender suas posses, que segundo dois respondentes fazem com que a pesquisa de produtos se torne
mais fácil. Por meio da interpretação dos dados coletados, pôde-se identificar que os sentimentos
relacionados ao processo de compra dentro do ambiente analisado são em algum nível parecido com o
que é sentido pelos respondentes ao realizarem compras na vida real e em algumas situações até mais
prazerosos. As respostas foram divididas quando o assunto tratado foi a proximidade entre as emoções
vividas no jogo e na vida real. Parte dos entrevistados faz confusão entre o ambiente real e o virtual. Para eles há uma mistura de emoções e o que sentiam pelos amigos e/ou família do jogo permaneciam
lá quando não estavam logados no jogo. Ainda a respeito dessas emoções quando perguntados se já
haviam criado algo no jogo que lhes faziam falta na vida real duas das respostas obtidas eram
relacionadas a laços fortes com outros avatares e a infância perfeita na concepção de um respondente. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 5.
CONSIDERAÇÕES FINAIS Demonstrando um forte estímulo aos sentimentos dos jogadores, os entrevistados elencaram
como emoções mais frequentes despertadas pela presença no ambiente do jogo a felicidade, a
aceitação e o relaxamento, mas, existiram entrevistados que sentiram tédio enquanto estavam jogando. Embora o Second Life seja um ambiente de imersão, o computador se torna um fator limitante
do estímulo dos sentidos no jogo uma vez que os jogadores não têm a possibilidade de sentir o aroma
do ambiente em que estão localizados, nem o sabor dos alimentos que os seus avatares ingerem. De
acordo com a pesquisa, o sentido mais utilizado é a visão, citada como principal fonte de interação
entre a pessoa por trás do avatar e o jogo. Em segundo lugar, aparece a audição por ser estimulada pelo
som do ambiente, por sons emitidos pelo avatar e ainda pela possibilidade de conversação através da
fala oferecida pelo jogo. Por último, o tato foi lembrado por alguns sujeitos como sendo um sentido
que era estimulado pelas experiências de jogabilidade. Os motivos que levaram os sujeitos a experimentarem o jogo foram principalmente a
curiosidade, por terem ouvido falar sobre este ambiente em algum lugar e sentirem vontade de
conhecer o que o Second Life oferecia, além de algumas indicações de amigos que já faziam parte do
jogo. As primeiras impressões que os sujeitos tiveram, entretanto, foram em sua maioria negativas
como: jogo confuso, complexo, irritante e chato. Apenas foram identificadas duas respostas positivas e Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 117 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta de residentes que acharam que o jogo seria um ótimo lugar para se fazer novos amigos e ainda possuir
a vida que se desejavam. Com relação à hora em que vão deixar o jogo e voltarem para as suas vidas reais, alguns dos
respondentes identificaram que em dado momento o jogo fica chato, quer seja pela falta de amigos on-
line, quer seja pela falta do que fazer, sendo esta a hora de sair do jogo. Ademais foram citados como
motivos de saída do jogo suprir necessidades físicas e ou fisiológicas e resolver problemas na vida
real. Por fim, indica-se a realização de estudos em ambientes de jogos virtuais que considerem o
interacionismo simbólico. 5.
CONSIDERAÇÕES FINAIS Além disso, sugere-se investigar a visão e o papel dos empreendedores que
disponibilizam produtos no SL. REFERÊNCIAS BONSU, Samuel K.; DARMONDY, Aron. Co-creating Second Life: market-consumer cooperation in
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2009, Curitiba. Anais... Curitiba: Sociedade Brasileira de Estudos Interdisciplinares da Comunicação,
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prosumers. RAE eletrônica. São Paulo, v. 7, n. 2, art. 24, jul/dez. 2008. GODOY, Arilda Shmidt. Introdução a pesquisa qualitativa e suas possibilidades. Revista
Administração de Empresas. São Paulo, v. 35, n. 2. mar/abr. 1995, p. 57-63. HAENLEIN, Michael; KAPLAN, Andreas M. Flagship brand stores within virtual worlds: the impact
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Consumer Behavior. In: Virtual Social Identity and Consumer Behavior. Armonk: M. E. Sharpe,
2009. 230 p. HINSCH, Christian; BLOCH, Peter H. Interaction Seeking in Second Life and Implications for
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2009. 230 p. HIRSCHMAN, Elizabeth C.; HOLBROOK, Morris. Hedonic Consumption: Emerging Concepts,
Methods and Propositions. In: Journal of Marketing. Chicago, v. 46, n. 3, p. 92-101, 1982. HOLBROOK, Morris; HIRSCHMAN, Elizabeth C. The Experiential Aspects os Consumption:
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Consumidor e Marketing de Relacionamento. 1.ed. Porto Alegre: IESDE, 2008. p. 9-20. PETER, J. Paul; OLSON, Jerry C. Comportamento do consumidor e estratégia de marketing. 8.
ed. São Paulo: McGraw-Hill, 2009. 555 p. PETER, J. Paul; OLSON, Jerry C. Comportamento do consumidor e estratégia de marketing. 8. ed. São Paulo: McGraw-Hill, 2009. 555 p. SCHMITT, Bernd H. Experiential Marketing. In: Journal of Marketing Management. n. 15. [S.l]:
Westburn Publishers Ltd, 1999. p. 53-67. SCHMITT, Bernd H. Marketing experimental. Tradução Sara Gedanke. São Paulo: Nobel, 2000. p. 11; 41; 76-77. SCHMITT, Bernd H. Marketing experimental. São Paulo: Nobel, 2002. SEVERINO, Antônio Joaquim. Metodologia do trabalho científico. 23ed. rev. e atualizada. São
Paulo: Cortez, 2007. p. 99-126. SHELTON, Ashleigh K. Defining the lines between virtual and real world purchases: Second Life
sells, but who’s buying? Minneapolis, 2010. REFERÊNCIAS LEIGH, James H.; GABEL, Terrance G.Symbolic Interactionism: Its Effects on Consumer Behavior
and Implications for Marketing Strategy. The journal of Services Marketing, v. 6, n. 3, p. 5-9, 1992. LINDEN LAB, 2010. Disponível em <http://lindenlab.com/pressroom/releases/pt_22_09_09> Acesso
em 24/10/2010. NEVES, José Luis. Pesquisa Qualitativa – características, usos e possibilidades. Caderno de
Pesquisas em Administração. v. 1, n. 3, 2º semestre. São Paulo: USP, 1996. p. 1-5. OKADA, Erica M. Justification Effects on Consumer Choice of Hedonic and Utilitarian Goods. In:
Journal of Marketing Research. v. 42, 2005. p. 43-53. PARMENTIER, Guy; ROLLAND, Sylvie. Consumers in virtual worlds: identity building and
consuming experience in Second Life. In: Recherche et Applications en Marketing. v. 24 n. 3/2009. p. 43-55. WOOD, Natalie T.; SOLOMON, Michael R. (Ed.). Virtual social identity and consumer behavior.
Armonk: M. E. Sharpe, 2009. p. 230. YIN, Robert K. Estudo de Caso: planejamento e métodos. 2. ed. Porto Alegre: Brookman, 2001. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. THILMANY, Jean. Real-Life business in Second Life. In: Mechanical Engeneering. p THILMANY, Jean. Real-Life business in Second Life. In: Mechanical Engeneering. p. 64. TIKKANEN, Henrikki; HIETANEN, Joel; HENTTONEN, Tuomas; ROKKA, Joonas. Exploring
virtual worlds: success factors in virtual world marketing. In: Manegement decision. v. 47 n. 8, 2009. Emerald Group Publishing Limited. p. 1357-1381. VERGANI, Danielle Adria; ANDRADE, Lisandra. O Second Life como ambiente de pesquisa e teste
para lançamento de produtos. In: Congrasso Brasileiro de Pesquisa e Desenvolvimento em Design, 8,
2008, São Paulo. Anais... São Paulo: AEND, 2008. p. 2491-2502. WANDT, Holger, Opinion piece: Second Life, second identity? Journal of targeting, measurement
and analysis for marketing. v. 15, n. 3. [S.l.]: Palgrave Macmillan, 2007. p. 195-197. WOOD, Natalie T.; SOLOMON, Michael R. (Ed.). Virtual social identity and consumer behavior. Armonk: M. E. Sharpe, 2009. p. 230. Data do recebimento do artigo: 19/02/2014
Data do aceite de publicação: 05/01/2015 Data do recebimento do artigo: 19/02/2014 SHELTON, Ashleigh K. Defining the lines between virtual and real world purchases: Second Life
sells, but who’s buying? Minneapolis, 2010. SOLOMON, Michael R. O comportamento do consumidor: comprando, possuindo e sendo. 7. ed. Porto Alegre: Bookman, 2008. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 119 Isadora Camila Marques Soares, Yákara Vasconcelos Pereira Leite, Viviane Santos Salazar & Lílian
Caporlíngua Giesta TAURION, Cezar. Mundos Virtuais Pessoas Reais. v. 2 [S.l] 2009. p. 52-23. TERDIMAN, Daniel. The entrepreneur’s guide to Second Life: making money in the metaverse. Indianapolis: Wiley Publishing, Inc., 2008. ABSTRACT This study aims at investigating how does the consumer experience in Second Life. For this, we used a
qualitative case study. Data collection was developed through participant observation, dialogue
inspired by ethnography and semi-structured interviews. Content analysis guided obtaining results. It
was found that feelings related to the procurement process are similar to what is felt by respondents to
make purchases in real life and, in some cases, are even more pleasurable. Keywords: Second Life; Marketing; Experience consumes; Consumer behavior. Revista de Administração e Inovação, São Paulo, v.12, n.1, p.98-120, jan./mar. 2015. 120
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Design de joias: proposição de metodologia para ensino voltado ao mercado joalheiro
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PALAVRAS-CHAVE PALAVRAS-CHAVE
Joalheria;
Design;
Metodologia;
Ensino Mariana K. Cidade1; Felipe L. Palombini2 1
Departamento de Desenho Industrial, Universidade Federal de
Santa Maria, Santa Maria, Brasil 1
Departamento de Desenho Industrial, Universidade Federal de
Santa Maria, Santa Maria, Brasil 2
Programa de Pós-Graduação em Botânica, Universidade Fede-
ral do Rio Grande do Sul, Porto Alegre, Brasil KEYWORDS
Jewelry;
Design;
Methodology;
Teaching REVISTA DESIGN & TECNOLOGIA
ISSN: 2178-1974
2022, Vol. 12, No. 24
DOI 10.23972/det2022iss24pp57-72 REVISTA DESIGN & TECNOLOGIA
ISSN: 2178-1974
2022, Vol. 12, No. 24
DOI 10.23972/det2022iss24pp57-72 www.pgdesign.ufrgs.br www.pgdesign.ufrgs.br RESUMO A joalheria é uma atividade técnico-artística executada por profissionais com variadas formações, desde desig-
ners, arquitetos, engenheiros, artistas e outros. Historicamente, a joalheria vem evoluindo não apenas com
relação a materiais, processos de fabricação e estilos, mas com novos métodos de criação e desenvolvimento. Recentemente, com uma maior implementação de práticas instrucionais de joalheria, tanto em nível superior
quanto em cursos de aperfeiçoamento, nota-se uma carência de metodologias específicas voltadas à esta área,
que possam ser empregadas tanto no meio acadêmico quanto profissional, a partir da formação do aluno. Este
artigo apresenta uma proposição de metodologia para instrução de design de joias, com o objetivo de mostrar
ao discente diferentes perfis que envolvem a cadeia produtiva para capacitá-lo a atuar no ramo. Foram condu-
zidas entrevistas informais com profissionais da área com diferentes estilos de projeto, levando à identificação
de características essenciais para a construção de um determinado perfil de atuação em joalheria. A partir
dessas propriedades, foi elaborada uma metodologia abrangendo desde a motivação inicial do projeto, pas-
sando por etapas de identificação de tipo de atuação, definição de problema, pesquisa, elaboração de conceito
e requisitos de projeto, execução de processos criativos e de fabricação, até a validação da peça obtida. Por
fim, destaca-se que a metodologia proposta surge como uma base para diferentes níveis de ensino, para que o
aluno possa conhecer as etapas gerais da cadeia produtiva e se tornar apto a seguir profissionalmente, mas
que, sobretudo, possa adaptá-la conforme seu fluxo de trabalho e seu modo preferido de atuação. 1. INTRODUÇÃO As metodologias a serem seguidas nos proces-
sos criativos de design surgiram, em grande parte, após a Se-
gunda Guerra Mundial (SCHNEIDER, 2010), quando os países
industrializados passaram por um grande crescimento econô-
mico, com um aumento na concorrência de mercados diversos. Para isto, era necessário que o design se adaptasse a configu-
rações voltadas à construção e produção, deixando fatores sub-
jetivos e emocionais como secundários. Desse modo, é possível
dizer que o projeto tornava-se mais sistematizado e organi-
zado, com o objetivo de aumentar as taxas de sucesso dos de-
senvolvimentos criativos. Atualmente, algumas metodologias tornaram-se ampla-
mente utilizadas no ensino de design, trabalhando sobre dife-
rentes vieses no desenvolvimento de produtos. Baxter (2011),
por exemplo, detalha um método de design focado no ponto
de vista da inovação em empresas. Desse modo, o processo cri-
ativo é determinado pelas estratégias escolhidas pelas empre-
sas, devendo ser focado em como são as intenções das mesmas
para obterem sucesso comercial. Após estabelecidos os objeti-
vos dessas orientações gerais, passa-se para o desenvolvi-
mento de um produto específico. Em seguida, ocorre um perí-
odo de pesquisa e análise das oportunidades e restrições deste
desenvolvimento, sendo encerrado pelas especificações e jus-
tificativas do novo produto gerado. Baxter (2011) tem um
ponto de vista industrial ao determinar sua metodologia a ser
seguida no design de produtos. Da mesma forma, o autor apre-
senta diversas ferramentas auxiliares neste processo, desde ge-
ração de ideias, até para seleção criteriosa e confirmação dos
requisitos propostos. Já Löbach (2001) leva o design como um
processo de resolução de problemas. Na metodologia, o autor
afirma que o processo a ser seguido parte da definição do pro-
blema, passando para etapas de levantamento de informações
sobre esta situação, buscando serem analisadas e relacionadas
entre si. São criadas alternativas de solução para o mesmo,
sendo julgadas por determinados critérios, tendo a alternativa
mais adequada desenvolvida, isto é, sendo transformada em
um produto. As quatro fases são definidas como preparação,
geração, avaliação e realização. Desse modo, um aspecto dife-
rente da metodologia proposta por Baxter (2011), é que o de-
senvolvimento de um produto parte de uma necessidade de re-
solver um problema que o mesmo apresenta e não através de
objetivos de obtenção de inovação. Löbach (2001) afirma que
a metodologia precisa vir da necessidade do usuário, como este
sendo um fator causador do problema no design. 1. INTRODUÇÃO longe. O autor afirma inclusive que há casos em que a indústria
tende a inventar falsas necessidades, numa tentativa de forçar
a produção e venda de novos produtos. O designer não deve
deixar-se envolver, então, por operações que visam ao exclu-
sivo lucro industrial (MUNARI, 2008). O autor compara o ato
projetual como seguir uma receita, de modo explicado, siste-
mático e eficiente. Munari (2008) reafirma que criatividade não
é um exercício de improvisação sem método, mas que também
existe a possibilidade de a metodologia ser flexível, adaptável a
necessidades. A metodologia proposta pelo autor prevê, entre-
tanto, uma abordagem precisa e segura, em que não há esfor-
ços desnecessários. O design é considerado uma atividade criadora, que necessita
de senso de invenção e inovação técnica, considerado um ato
de exercício mental (BÜRDEK, 2010). Como método criativo, o
design é movido por um processo de desenvolvimento, com es-
colhas, decisões, atribuições e valores projetuais pré-determi-
nados. Bürdek (2010) cita diversos fatores que contribuem para
a formulação de um design, como desenvolvimentos socioeco-
nômicos, tecnológicos e culturais, fundamentos históricos, con-
dições de produção técnica, bem como fatores ergonômicos,
ecológicos, interesses políticos e exigências artístico-experi-
mentais. Em resumo, o design precisa ser tratado de modo a
unificar todos os fatores que o permeiam, desde suas primeiras
concepções ao produto final. De todo modo, a criação de métodos projetuais permitiu
que o design passasse a ser ensinável, aprendível e comunicá-
vel (BAXTER, 2011). A importância deste embasamento torna a
metodologia fundamental para o pensamento sistemático. A
forma de ver o desenvolvimento de produtos permitiu passar
de “como projetar” para “o quê projetar”. Ainda que os princi-
pais autores de metodologias de design afirmem que o objetivo
do design é a resolução de problemas, sejam eles de projeto
(criar ou melhorar produtos), de usuários (satisfazer as neces-
sidades ou desejos dos consumidores) ou de empresas (buscar
o lucro e o sucesso comercial), é comum a todos a união do
produto com o usuário. Baxter (2011) comenta da introdução e
da importância do conhecimento empírico na metodologia do
design. Por se tratar de uma ciência com muito vínculo com
usuários, há um determinado número de variáveis imprevisí-
veis, resultantes do comportamento humano perante as cria-
ções desenvolvidas. Para o desenvolvimento apropriado de um projeto são se-
guidas determinadas séries de etapas para se atingir os objeti-
vos propostos. ABSTRACT Jewelry is a technical-artistic activity performed by professionals with varied backgrounds, from designers, ar-
chitects, engineers, artists, and others. Historically, jewelry has evolved not only with regard to materials, man-
ufacturing processes and styles, but with new methods of creation and development. Recently, with a greater
implementation of instructional practices in jewelry, both at higher education and at improvement courses,
one can notice a lack of specific methodologies aimed at this area, which can be used both in academic and
professional environments, as of the training of the student. This paper presents the proposal of a methodology
for the teaching of jewelry design, with the aim of showing students different profiles that involve the produc-
tion chain and to enable them to work in the field. Informal interviews were conducted with professionals in
the area with different project styles, leading to the identification of essential characteristics for the construc-
tion of a specific acting profile in jewelry. From these properties, a methodology was developed, covering from
the initial motivation of the project, through stages of identifying the nature of the acting, problem definition,
research, concept and project requirements elaboration, execution of creative and manufacturing processes,
until the validation of the obtained piece. Finally, it is noteworthy that the proposed methodology appears as a
basis for different levels of education, so that the student can know the general stages of the production chain
and become able to follow it professionally, but, above all, that they can adapt it according to their workflow
and preferred way of acting. CONTATO: Mariana K. Cidade – mariana.k.cidade@gmail.com
© 2022 – Revista Design & Tecnologia NTATO: Mariana K. Cidade – mariana.k.cidade@gmail.com 58 Design & Tecnologia 24 (2022) 2. JOALHERIA: CAMINHO À CONTEMPORANEIDADE Ao longo dos séculos, a joalheria desenvolveu uma variedade
de diferentes funções, podendo portar significados simbólicos,
sociais, econômicos, religiosos, além de, naturalmente, possuir
a função de adornar, embelezar, e ser também considerada
uma forma de comunicação. Com isto, a joalheria tem sido ob-
jeto de inúmeras interpretações, sendo uma área multidiscipli-
nar, que engloba arte, materiais, técnicas, processos, antropo-
logia, artesanato e design. Desde os primórdios (40.000 a.C.),
materiais e técnicas de manipulação têm sido descobertos e
aprimorados pelas civilizações, iniciando-se com o deslumbre e
curiosidade dos materiais naturais, tais como ossos, presas e
couros oriundos das caças, sementes, rochas, madeiras, con-
chas, fibras vegetais, etc., sendo posteriormente evoluído para
a inserção de ligas metálicas e gemas (BAYSAL, 2019). Os mate-
riais foram conformados, modificados, misturados e adapta-
dos, na confecção de ferramentas, ornamentos e utensílios,
desse modo contribuindo continuamente para a qualidade de
vida (GOLA, 2013; HESKETT, 2008). Entretanto, mais do que da-
rem forma física aos objetos e adornos, os materiais e proces-
sos conferem um importante papel estético, simbólico, funcio-
nal e estrutural, fazendo parte de mudanças históricas na hu-
manidade (ASHBY; JOHNSON, 2011; LESKO, 2012). Segundo Cappellieri, Tenuta e Testa (2020), de um lado,
temos a arte, com a altivez de sua autoria, de outro, a moda,
com a transitoriedade do seu presente, e no meio, a joalheria
com a defesa de seus materiais nobres como bastiões da eter-
nidade e do simbolismo. Se, por muito tempo, o valor de uma
joia foi sinônimo de preciosidade e nobreza, hoje essa ideia está
definitivamente sendo modificada (BA’AI; HASHIM, 2015). Os
materiais e a preciosidade tangível das peças não são mais os
únicos elementos caracterizadores para definir se um objeto
pertence ou não à esfera do luxo (CAPPELLIERI, TENUTA, TESTA,
2020). O material, independentemente de ser ouro, platina, di-
amantes, esmeraldas, madeira, polímeros, rochas ou, até
mesmo, resíduos oriundos do lixo, é uma escolha de design,
onde as técnicas, tecnologias, acabamentos e os conceitos da-
dos às joias são desenvolvidos com foco nas mudanças que a
sociedade apresenta, em termos de escolhas, aptidões, visões
sustentáveis, questões sociais, culturais e econômicas, entre
outras. Esse novo modo de projeto joalheiro, referente a pro-
cessos criativos, escolhas de materiais inusitados e processos
de fabricação adequados com um bom acabamento, é utilizado
devido a mudanças em diversas esferas que aconteceram ao
longo dos séculos. 2. JOALHERIA: CAMINHO À CONTEMPORANEIDADE Alguns autores citam que o “boom” inicial
deu-se na Revolução Industrial no século XVIII, (BÜRDEK, 2010;
CAPPELLIERI; TENUTA; TESTA, 2020; GOLA, 2013; HESKETT,
2008), com a transição de métodos de produção artesanais
para automatizados, passando pelas chamadas Segunda e Ter-
ceira Revoluções até a Contemporaneidade. É importante des-
tacar o paralelismo entre o desenvolvimento atual da indústria
joalheira e o do design de produto, frente desde às modifica-
ções dos processos produtivos, à seleção de materiais, até às
opções de estética e estilo. Na Figura 2, é ilustrada uma linha
do tempo geral, exemplificando as épocas e seus acontecimen-
tos, em torno das joias, materiais e processos. Segundo Gola (2013), desde o início de sua existência o
homem produz elementos artísticos associados a ornamentos
– as joias, revelando sua criatividade, representando os símbo-
los de cada época e colocando, em destaque, a dimensão esté-
tica do mundo material e das formas naturais. De um modo ge-
ral, os termos de adornos e joias estão conectados tanto a atri-
butos de melhoria e qualidade, quanto de prazer e alegria. As
palavras “joia” e “joalheria” são originadas do anglo-francês
“juel” ou do francês antigo “jouel”, representando presentes,
ornamentos e gemas; primordialmente, são derivados do latim
“jocus”, ou aquilo que causa alegria (ETYMOLOGY DICTIONARY,
2017). Ornamento, ornamentação, ornamental, são derivações
do verbo “ornare” que, na concepção latina original, significa
adornar, embelezar ao corpo (GOLA, 2013). A forma de adornar
o corpo de modo a trazer prazer por meio de aprimoramentos
estéticos é, então, uma das primeiras características da joia. Em
todos os tempos, os adornos tiveram também o propósito de
construir novas linguagens e, com elas, significados eficientes
na elaboração de identidades pessoais (GOLA, 2013). Com a industrialização, o consumo de joias de ouro e cra-
vejadas de diamantes tornou-se relativamente mais acessível a
uma parcela maior da sociedade em função do advento da pro-
dução em série, bem como do estágio econômico da sociedade,
que possibilitava comprá-las (GOLA, 2013). Isto estimulou o de-
senvolvimento de indústrias de joias na Europa e nos Estados
Unidos. 1. INTRODUÇÃO Já Baxter
(2011) afirma que a demanda e os desejos dos consumidores
são apenas algumas das fontes de informação para pesquisa,
juntamente com a concorrência dos produtos existentes e com
as oportunidades tecnológicas para a fabricação. No mercado joalheiro, os profissionais envolvidos no pro-
cesso criativo de uma ou inúmeras peças utilizam-se de méto-
dos projetuais variados, não sendo utilizada uma metodologia
específica para este tipo de produto. Já no meio acadêmico,
muitos cursos acabam adaptando metodologias existentes
para projeto de produto na criação e desenvolvimento de joias. Quanto aos profissionais do mercado, com formações variando
desde design, arquitetura, engenharia, artes e outras, além de
joalheiros, há a tendência de utilizar várias técnicas criativas de
forma diferenciada, por exemplo, desde criações à mão livre ou
com instrumentos (Figura 1) quanto com softwares 3D, sem
possuir necessariamente um único padrão pré-estabelecido. Esta variedade e liberdade de meios e técnicas pode acabar di-
ficultando o ensino da prática projetual de joias. Figura 1
Processos de criação de joias utilizando diferentes materiais
e técnicas de ilustração e representação. Fonte: Autores
(2022). Figura 1 Figura 1
Processos de criação de joias utilizando diferentes materiais
e técnicas de ilustração e representação. Fonte: Autores
(2022). A partir de uma carência de metodologias específicas para
design de joias, é notada uma dificuldade no discente em com-
preender as possíveis variações e caminhos a serem seguidos Já Munari (2008), além de também afirmar que a atividade
projetual do designer deve basear-se na necessidade de seu
usuário, buscando melhorar sua qualidade de vida, vai mais 59 Design & Tecnologia 24 (2022) 2007). Entretanto, mesmo com estas aplicações de metais não
usuais na história da joalheria, os materiais metálicos tradicio-
nalmente utilizados para a fabricação de joias são os chamados
“nobres”, sendo o ouro, a platina e a prata os mais aplicáveis,
estimados e duráveis. Os materiais nobres utilizados, como me-
tais, diamante, rubi, esmeralda, entre outros, obtiveram esta
denominação devido à sua pouca reatividade (resistência à cor-
rosão, oxidação e deterioração), além de aspectos estéticos e
simbólicos. O ouro, por exemplo, foi descoberto por volta de
5.000 a.C., onde sua estética, maleabilidade e resistência à oxi-
dação, tornaram-no o material símbolo do divino (ASHBY;
JOHNSON, 2011; BAYSAL, 2019; GOLA, 2013; KLIAUGA; FER-
RANTE, 2009). Sua beleza e semelhança com a então divindade
máxima, o Sol, em termos de tonalidade e brilho, chamou a
atenção de quem o manuseava. 1. INTRODUÇÃO Além do ouro, demais materi-
ais metálicos nobres tradicionalmente utilizados para a fabrica-
ção de joias são a platina e a prata, onde, para sua manipulação,
faz-se necessária a introdução de elementos de liga, tais como
o cobre e paládio, e de solda, como o latão (KLIAUGA; FER-
RANTE, 2009). Estes elementos são introduzidos em peças de
joalheria para proporcionar uma maior resistência mecânica e
dureza aos materiais tradicionais. Entretanto, alguns destes
materiais também são utilizados como base em peças de biju-
terias, como o latão e o cobre. em sua futura atuação profissional. Desse modo, este artigo
tem como objetivo e principal fator de motivação a proposição
de uma metodologia específica para o design de joias, voltada
ao meio acadêmico, de modo a preparar o aluno a seguir dife-
rentes perfis no mercado. Inicialmente, o tópico 2 aborda um
breve histórico contendo definições gerais das principais ques-
tões relacionadas à joalheria até a contemporaneidade, neces-
sárias para estabelecimento das bases seguidas no artigo. Em
seguida, são apresentados alguns processos de criação utiliza-
dos no mercado joalheiro, relatados por meio de exemplos e de
entrevistas informais realizadas com profissionais do ramo. Por
fim, é proposta uma metodologia simplificada, através do cru-
zamento das informações levantadas, para auxiliar na ligação
do ensino com as práticas desenvolvidas fora da academia. 2. JOALHERIA: CAMINHO À CONTEMPORANEIDADE Esse tipo de produção com
alto apreço para a estética e a função, culminou no movimento
de Arts & Crafts, no final do século XIX, na Inglaterra (HESKETT,
2008). As ideias e os modelos de produção do movimento logo
se espalharam para outros países europeus e para os Estados
Unidos, exercendo uma influência significativa sobre o surgi-
mento das primeiras ações modernistas voltadas para a joalhe-
ria e o design (CARDOSO, 2008; MILLER, 2016). Com a renovação da valorização da estética e da boa qua-
lidade nos produtos industrializados, cresce, na Europa, um
movimento conhecido como Art Nouveau. O período marcou
um sentido de vida artístico que deveria ser refletido nos pro-
dutos do cotidiano (BÜRDEK, 2010). O estilo combatia a indus-
trialização massificada, associando a arte e o artesanato nos
principais objetos, com grande ênfase à ornamentação, de
forma orgânica e natural (SCHNEIDER, 2010). Também como
reflexo da massificação dos produtos nesta época, joalheiros
europeus passaram a projetar adornos com o estilo conhecido
como Belle Èpoque, como reação à banalidade das joias reco-
bertas de diamantes herdadas do período da Revolução Indus-
trial (PEDROSA, 2015). O Art Nouveau e o Art Decó também sur-
gem com força e influenciam a joalheria, uma vez que procura-
vam romper com o estilo de vida habitual da época (GOLA,
2013; MAGTAZ, 2008; MILLER, 2016). O surgimento destes es-
tilos artísticos também reintroduziram diferentes materiais na
joalheria, como ferro, bronze, latão, cobre, vidro, marfim e ma-
drepérolas, além da consagração de gemas menos valorizadas
(MILLER, 2016; PEDROSA, 2015). Já em termos de materiais ino-
vadores para a joalheria, durante a época, destaca-se o desen-
volvimento de zircônias, sendo posteriormente utilizadas como
substitutas sintéticas de diamantes, em joias de menor valor
(HESSE, 2007). Ainda que a produção massificada de joias fosse em vo-
lume menor, em comparação a bens de consumo tradicionais,
a indústria joalheira aliou-se ainda mais aos processos artesa-
nais e diferenciados (GOLA, 2013), como por exemplo, técnicas
que utilizavam detalhes em filigrana, compreendida pela utili-
zação de fios metálicos muito finos, que são contorcidos e con-
formados, criando desenhos nas peças (MILLER, 2016;
PEDROSA, 2015); e estamparia com cinzelagem, na qual rele-
vos, texturas e detalhes finos são fabricados com um cinzel. 2. JOALHERIA: CAMINHO À CONTEMPORANEIDADE Entretanto, com o decorrer da industrialização do pro-
cesso produtivo, o combustível de todas as fábricas transfor-
mou-se na necessidade de se obter lucros cada vez maiores
através de um volume crescente de vendas para a classe média, A joalheria utiliza-se de materiais e técnicas de manipula-
ção, através de inúmeros processos, tanto artesanais quanto
industriais, as formas, os elementos e as técnicas foram se mo-
dificando e se adaptando conforme o estilo e as tecnologias
existentes em cada época. A exemplo, os antigos egípcios, gre-
gos e romanos empregavam no desenvolvimento de estátuas,
imagens simbólicas e armaduras, materiais como o latão (liga
de zinco e cobre), além de também ter sido introduzido na fa-
bricação de joias para a ornamentação, devido às suas proprie-
dades maleáveis e por sua aparência remeter ao ouro (HESSE, 60 Design & Tecnologia 24 (2022) a nova força econômica das cidades (SCHNEIDER, 2010). Com
esse objetivo, a qualidade de vida de grande parte da popula-
ção decresceu, impulsionada pela abrangência dos distritos in-
dustriais e seus estilos produtivos. De acordo com Heskett
(2008), a partir da necessidade do crescimento das vendas, os
fabricantes passavam a aumentar ainda mais a divisão de tra-
balho, com a contratação dos chamados “consultores de esti-
los”. Tais profissionais buscavam novos conceitos que pode- riam ser adotados pelo mercado joalheiro. Sob suas ordens,
projetistas sem formação e com conhecimentos praticamente
nulos produziam cópias baratas de outros produtos, sendo fa-
bricados com materiais de qualidade cada vez menor, além de
um apelo estético menos significativo; tudo manufaturado às
custas de longas e insalubres jornadas de trabalho, com poucas
condições de segurança e além de uma remuneração ainda me-
nor (HESKETT, 2008). Figura 2
Linha do tempo da evolução da joalheria, da industrialização à contemporaneidade. Fonte: Autores (2022). do tempo da evolução da joalheria, da industrialização à contemporaneidade. Fonte: Autores (2022). Figura 2
Linha do tempo da evolução da joalheria, da industrialização à contemporaneidade. Fonte: Autores (2022). joalheiro as primeiras pérolas produzidas em cativeiro, que pas-
saram a ser massificadas (HESSE, 2007). Insatisfeitos com os caminhos que a produção industrial
estava seguindo, alguns pensadores com ideologias reformistas
propuseram mudanças nas cadeias produtivas, visando à recu-
peração do estilo e bom gosto (BÜRDEK, 2010). Essencial-
mente, buscavam a volta da produção baseada na Idade Média,
acreditando que a manufatura artesanal traria melhores condi-
ções de vida para os trabalhadores. 2. JOALHERIA: CAMINHO À CONTEMPORANEIDADE Koulidou
(2018), por exemplo, aborda o papel de componentes eletroe-
letrônicos inovadores na fabricação da chamada digital jewel-
lery (joalheria digital), com o objetivo de explorar as tecnologias
digitais para enriquecer a intimidade e interação entre pessoas,
lugares e a si mesmos. Na Figura 3 A e B é apresentado um
relicário digital (Purple® Technologies) que apresenta fotogra-
fias de memória afetiva em uma tela. Já na Figura 3 C, D, e E é
mostrado um colar digital (Neclumi®) composto por um dispo-
sitivo que utiliza os sensores presentes no smartphone do usu-
ário (giroscópio, acelerômetro, microfone e bússola) e projeta
luzes de geometrias que se modificam em tempo real. Neste
mesmo sentido, Camargo (2018) utilizou tecnologias de siste-
mas de captação de áudio e design generativo com software
paramétrico (Grasshopper®) para associar experiências sono-
ras individuais com as emoções do usuário na modelagem 3D
de joias. Já Guerra e Cidade (2019) apresentaram o desenvolvi-
mento de uma peça de joalheria com a utilização de materiais
naturais celulares com a adição de óleos essenciais para aroma-
terapia, visando ao alívio de alergias, como visto na Figura 3 F. Outro exemplo de materiais e técnicas diferenciadas aplicados
na joalheria contemporânea é um projeto de estudo transdisci-
plinar realizado por alunos de graduação da School of Jewellery
da Birmingham City University, no Reino Unido (O’HANA;
BOTTOMLEY, 2021). O projeto, iniciado em 2006, une a história
têxtil do mediterrâneo e a joalheria contemporânea, através da
combinação de processos artesanais e tecnológicos. O foco do
estudo foi a produção de peças mesclando técnicas de tecela-
gem com diferentes tipos de tecido provenientes de sobras de
indústrias europeias, com exemplos apresentados na Figura 3
G e H Até o final dos anos 1990, as indústrias de joias brasileiras
seguiam as tendências internacionais, sendo as peças, em sua
maioria, consideradas cópias destas versões (GOLA, 2013). As
indústrias acompanhavam as grandes feiras internacionais e re-
produziam suas peças, através de catálogos e revistas, bem
como investiam na importação de maquinário para fabricá-las
ou, ainda, treinavam seus ourives para plagiá-las. Com a aber-
tura do mercado, ainda nessa década, as importações trouxe-
ram consigo a concorrência, o que provocou uma reformulação
no mercado nacional joalheiro. Desse modo, surge a necessi-
dade de adquirir tecnologia e materiais próprios, assim como
um maior conhecimento das tendências de mercado para o de-
senvolvimento de soluções estéticas próprias. 2. JOALHERIA: CAMINHO À CONTEMPORANEIDADE Já os anos de 1950 e 1960 fo-
ram marcados por uma ruptura dos padrões até então vigentes,
por uma forte reação à forma tradicional e comercial da produ-
ção de joias, assim como por transformações sociais e morais
(CAPPELLIERI; TENUTA; TESTA, 2020; WALLACE; DEARDEN,
2005). Mas foi somente na década de 1970 que a joia de imita-
ção atingiu o seu auge, trazendo às indústrias joalheiras a ne-
cessidade de inovar em suas criações (GOLA, 2013). Uma nova
geração de designers de joias trouxe ideias e conceitos além de
materiais à produção da época, como resinas e polímeros,
tanto em vista dos novos padrões estéticos como pelo aumento
do preço do ouro, que vem transformando a joalheria até os
dias de hoje (CORBETTA, 2007). (e.g. com o uso de enxofre), tornando-o também um material
contemporâneo. Alguns autores (BÜRDEK, 2010; CAPPELLIERI;
TENUTA; TESTA, 2020; GOLA, 2013; HESKETT, 2008) comentam
que o grande início deste novo modo de projeto joalheiro, re-
ferente a processos criativos, escolhas de materiais inusitados
e processos de fabricação adequados com um bom acaba-
mento, foi utilizado devido a mudanças em diversas esferas que
aconteceram ao longo dos tempos. Ao desafiar os preconceitos das joias tradicionais e sua as-
sociação à riqueza, status social, além de posicionamento cul-
tural e religioso, as joias contemporâneas usam novas formas e
técnicas para enfatizar o valor da peça, em vez de simples-
mente depender dos custos brutos dos materiais usados
(WALLACE; DEARDEN, 2005). Novas fontes de inspiração, pro-
cessos criativos, formas e composições, materiais e meios de
fabricação permitem ser extrapolados a métodos não conven-
cionais, que possam trazer um novo diferencial às peças desen-
volvidas, dando maior liberdade as quem as produz e utiliza. Segundo Gong e Yuan (2017), o designer vê as joias como sua
expressão de emoções ou personalidade, dando um novo con-
ceito de vida às mesmas através dos materiais, cores, técnicas,
etc. Da mesma forma, mesmo os métodos tradicionais de fabri-
cação de joias podem ser combinados com novos materiais e
tecnologias, de forma a enriquecer o significado e o valor de
uma peça e enfatizar sua experiência sensorial com o usuário,
conforme os adornos apresentados na Figura 3. 2. JOALHERIA: CAMINHO À CONTEMPORANEIDADE Ainda, é importante para este período o trabalho do artista
René Lalique, com a estilização das formas da natureza, repre-
sentada por modelos assimétricos e orgânicos em que gemas
de pouco valor, ou até mesmo desprezadas, eram utilizadas em
joias de grande valor, desde que cumprissem o efeito desejado
(FAGGIANI, 2006; GOLA, 2013). No Brasil, o desenvolvimento da indústria joalheira decor-
reu em meio à Segunda Guerra Mundial, trazendo característi-
cas do Art Decó e da Era Industrial (GOLA, 2013). Por este mo-
tivo, as joias da década de 1940 ficaram conhecidas como de
“coquetel”, devido à mistura de temas e inspirações mundiais
do século XX. Criadas em um contexto de crises e mudanças
sociais, encontraram nas geometrias leves, feitas com ouro for-
jado, um modo a continuar reproduzindo o efeito de ostenta-
ção durante a crise, uma vez que simulavam peças grossas e
pesadas (GOLA, 2013). Na Europa, ao término da Segunda
Guerra Mundial, que ocasionou o fim das privações, os metais
e gemas encontravam-se em escassez. Os joalheiros que con-
seguiram manter seus negócios passaram a experimentar e A Idade Contemporânea foi marcada tanto pela “desco-
berta” quanto pela primeira utilização de metais importantes
para a joalheria, como a platina, níquel, estanho, titânio, palá-
dio e ródio (GOLA, 2013; HESSE, 2007). O período ainda levou
ao desenvolvimento de ouro multicolorido, através de ligas
com diversos elementos (HESSE, 2007). Ainda, foram aplicados
os processos de eletrodeposição de metais nobres, como ouro
e prata, o que, posteriormente, contribuiria para o desenvolvi-
mento de técnicas de banho em bijuterias, para reduzir os cus-
tos da fabricação de joias. O mesmo período trouxe ao mercado 61 Design & Tecnologia 24 (2022) construir peças com materiais banhados a ouro (CAMPOS,
2011). Juntamente, em meio a este cenário financeiro de pós-
guerra, que inibiu a exibição de fortuna e luxo na forma de joa-
lheria, surge o design de peças que imitavam as joias, as bijute-
rias (GOLA, 2013). Estas são conhecidas como peças de pouco
valor intrínseco, sendo atualmente caracterizadas por não uti-
lizarem materiais nobres em sua produção, mas ligas metálicas
como latão (cobre e zinco) e zamak (zinco em ligas com a alu-
mínio, magnésio e cobre); caracterizam-se também por serem
recobertas em banhos por finas camadas de ouro, prata ou ní-
quel, bem como por não apresentarem primor pelo acaba-
mento, ou variação nos projetos. 2. JOALHERIA: CAMINHO À CONTEMPORANEIDADE Juntamente com seu baixo valor de mercado e sua 62 Design & Tecnologia 24 (2022) dos problemáticos para utilização na joalheria são os estudos
de caso de reciclagem de cápsulas poliméricas de café de uso
único (CIDADE et al., 2021; MELCHIORS; PALHANO; CIDADE,
2020), como visto na Figura 3 J; a recuperação de câmaras de
pneus usadas de bicicleta com gravação e corte a laser
(CAMARGO et al., 2019; PALHANO; CIDADE, 2021); a recicla-
gem de vidros oriundos de lixo doméstico para utilização como
substituto de gemas (BLAYA et al., 2019; CADORE, 2015;
MOSTARDEIRO; ODERICH; CIDADE, 2019); utilização de rochas
ornamentais oriundas de resíduos de marmorarias e pedreiras
(AMARAL; PALOMBINI; CIDADE, 2018; GRIGOLO; CIDADE,
2018); a reutilização de componentes de lixo eletroeletrônicos,
conhecidos como e-waste e reciclagem de cobre dos fios destes
produtos como elemento de liga para a prata utilizada (CINTRA;
CIDADE, 2020). baixa densidade, torna-se pouco viável seu transporte em gran-
des quantidades para tratamento, quando descartado. Os au-
tores propuseram um método para reciclar quimicamente o
material e empregá-lo como destaque na fabricação de peças
com prata reciclada, auxiliando para elevar seu valor agregado
e proporcionando uma nova aplicação ao resíduo (Figura 3 I). baixa densidade, torna-se pouco viável seu transporte em gran-
des quantidades para tratamento, quando descartado. Os au-
tores propuseram um método para reciclar quimicamente o
material e empregá-lo como destaque na fabricação de peças
com prata reciclada, auxiliando para elevar seu valor agregado
e proporcionando uma nova aplicação ao resíduo (Figura 3 I). e proporcionando uma nova aplicação ao resíduo (Figura 3 I). Figura 3
Exemplos de peças de joalheria contemporânea: (A) e (B)
relicário digital Purple® Technologies; (C), (D) e (E) colar
digital Neclumi®; (F) colar para alívio de alergias; (G) brinco
e (H) pulseira com técnicas de tecelagem; (I) anel de prata e
EPS reciclado; (J) pingente de prata e vidro reciclado. Fonte:
(A-E) Koulidou (2018); (F) Guerra e Cidade (2019); (G-H)
O’Hana e Bottomley (2021); (I) Palombini e Cidade (2021);
(J) Cidade et al. (2021). Outros trabalhos de recuperação de resíduos considera- Como visto, além de aspectos sustentáveis, materiais inu-
sitados e tecnologias inovadoras, a joalheria contemporânea
também tem sido vista como um meio do designer expressar a
visão do mundo que ele quer comunicar (SCARPITTI, 2021). 2. JOALHERIA: CAMINHO À CONTEMPORANEIDADE Com isto, muitas
indústrias brasileiras buscaram novas formas de lucratividade,
introduzindo, assim, designers em suas equipes para o desen-
volvimento de joias exclusivas. Desse modo, não apenas novas
tendências de materiais e processos de fabricação para a joa-
lheria apareciam, mas também o surgimento de estilos e con-
ceitos próprios. Ao contrário das joias clássicas, nas quais materiais nobres
e raros estão sempre presentes, como ouro, platina, diamantes
e outras gemas preciosas, na então chamada joalheria contem-
porânea, novos materiais inusitados foram introduzidos, como
madeiras, tecidos, sementes, rochas ornamentais, fibras natu-
rais, múltiplas ligas metálicas, borrachas, polímeros, materiais
cerâmicos, entre outros (BA’AI; HASHIM, 2015; BALAGUERA,
2013; CAPPELLIERI; TENUTA; TESTA, 2020; CIDADE et al., 2016;
CIDADE; PALOMBINI; KINDLEIN JÚNIOR, 2015). As novas tecno-
logias também foram um ponto de inflexão para o desenvolvi-
mento de joias contemporâneas como, por exemplo, o uso de
jato de água (DE ABREU E LIMA et al., 2016), gravação a laser
(CIDADE et al., 2018), manufatura aditiva (MILEWSKI, 2017), e
utilização de materiais naturais para o bem-estar (GUERRA;
CIDADE, 2019). Os chamados materiais inusitados vêm sendo
utilizados, muitas vezes, como o único material da peça, desde
que apresentando um grande nível de acabamento, por meio
de diferentes tecnologias. Além disso, joias desse tipo também
estão sendo projetadas e fabricadas contrastando a presença
de materiais não-convencionais juntamente com a adição de
prata (Ag 950). Este metal está sendo muito utilizado na atuali-
dade em virtude de seu custo-benefício, e das inúmeras formas
de manipulação no processo produtivo como, por exemplo, a
inclusão de texturas e de oxidações diferenciadas intencionais Além de possuir foco na busca por novos materiais e pro-
cessos de fabricação, a joalheria contemporânea também tem
se caracterizado pela abordagem de questões pertinentes à so-
ciedade. Entre eles, é notável a grande importância dada a atri-
butos de sustentabilidade, englobando seu espectro social, am-
biental e econômico. A exemplo, Moreno e Cidade (2019) e Pa-
lombini e Cidade (2021) analisaram a situação do descarte de
lixo no município de Santa Maria e Porto Alegre, e verificaram
que o poliestireno expandido (EPS) é um dos tipos de resíduo
mais problemáticos em virtude de não possuir uma destinação
apropriada. 2. JOALHERIA: CAMINHO À CONTEMPORANEIDADE Mais do que uma questão de embelezar pessoas pela ornamen-
tação, ela visa incorporar valores imateriais e estimular a refle-
xão sobre o mundo e os objetos, e quebrar paradigmas do que
é considerado valioso e estimável. Para alcançar estes objeti-
vos, diferentes técnicas de criação e desenvolvimento podem
ser seguidas, a depender dos tipos de trabalhos e intenções do
profissional. Desse modo, para o desenvolvimento de uma me-
todologia voltada ao ensino de joalheria, torna-se fundamental
investigar como profissionais de diferentes perfis abordam o
processo criativo na prática. 3. CRIAÇÃO E DESENVOLVIMENTO NA JOALHERIA Para o processo de desenvolvimento de joias, usualmente três
tipos de profissionais estão envolvidos, sejam eles designers
(com formação em produto, gráfico, visual e joias), joalheiros e
ourives. Geralmente, tanto os designers quanto os joalheiros
atuam no desenvolvimento do processo criativo, na fabricação
artesanal e industrial, e na venda de peças. Mas existem, ainda,
designers que fazem somente o processo criativo e a venda de
peças, não atuando diretamente no processo de fabricação. Já
os ourives, em sua grande maioria, focam-se somente na fabri-
cação artesanal, muitas vezes trabalhando em indústrias ou em
seus ateliês individuais. Por sua vez, a sua demanda de trabalho
vem de pedidos de indústrias ou dos próprios designers. Por ser uma área específica que muitas vezes não é tra-
tada dentro dos cursos de graduação em design no Brasil, o de-
sign de joias também pode ser instruído por meio de uma qua-
lificação obtida sob a forma de cursos de aperfeiçoamento ou
especializações. Em virtude da ausência de uma regulamenta-
ção no país, existem ainda, no ramo joalheiro, muitos profissio-
nais informais que atuam como designers e joalheiros, inde-
pendentemente de terem uma formação específica na área. Contudo, é importante destacar que a joalheria é, acima de
tudo, uma manifestação técnico-artística possível de ser explo-
rada por todos, de modo que cada profissional pode desenvol-
ver seu próprio método de criação e fabricação. De modo geral,
independentemente do background do profissional atuante no
ramo, todas produções envolvem manipulação, tanto de mate-
riais e processos, criatividade e relacionamento com clientes,
sejam eles o usuário final ou uma indústria. Com a grande vari-
edade de profissionais envolvidos, diferentes processos criati-
vos podem ser encontrados. Desse modo, torna-se importante
analisar como profissionais com perfis distintos atuam. Figura 3 a 3
Exemplos de peças de joalheria contemporânea: (A) e (B)
relicário digital Purple® Technologies; (C), (D) e (E) colar
digital Neclumi®; (F) colar para alívio de alergias; (G) brinco
e (H) pulseira com técnicas de tecelagem; (I) anel de prata e
EPS reciclado; (J) pingente de prata e vidro reciclado. Fonte:
(A-E) Koulidou (2018); (F) Guerra e Cidade (2019); (G-H)
O’Hana e Bottomley (2021); (I) Palombini e Cidade (2021);
(J) Cidade et al. (2021). 3.1 Entrevistas com profissionais Figura 5
Coleção 7 Ervas: (A) anel; e (B) pingente. Fonte: Griebler
(2021). Figura 4
Exemplo do processo de criação e desenvolvimento da
entrevistada E1: (A) painel de referência temática; (B)
desenhos e esboços preliminares; (C) desenho artístico
pintado à mão; (D) vetorização da peça; e (E) joia finalizada. Fonte: entrevistada E1 (arquivo pessoal). Figura 5
Coleção 7 Ervas: (A) anel; e (B) pingente. Fonte: Griebler
(2021). A designer buscou, em sua inspiração, algumas plantas e
elementos naturais que remetessem à proteção, aplicando-as
sob a forma de pingentes diversos, onde estes possuem um
movimento próprio. No anel (Figura 5 A), os pingentes de ervas
são conectados em um mesmo ponto central da peça, de modo
que, com a movimentação da mão do usuário, possam ganhar
destaque. Já no pingente (Figura 5 B), os elementos são posici-
onados ao longo de um elemento circular com palavras com a
temática em baixo relevo, mantendo também o efeito de mo-
vimentação. Figura 4
Exemplo do processo de criação e desenvolvimento da
entrevistada E1: (A) painel de referência temática; (B)
desenhos e esboços preliminares; (C) desenho artístico
pintado à mão; (D) vetorização da peça; e (E) joia finalizada. Fonte: entrevistada E1 (arquivo pessoal). Figura 4 A terceira entrevista realizada (E3) foi com uma profissio-
nal com 5 anos de profissão, tendo iniciado o gosto pela joalhe-
ria ainda na sua graduação em design de produto. A mesma re-
lata que a inspiração para o processo criativo das peças pode
surgir tanto de fatos mais óbvios quanto de mais estranhos. Imagens aleatórias, frases estampadas nas mídias eletrônicas,
momentos históricos, moda, elementos naturais, materiais di-
ferenciados, aspectos simbólicos e culturais: todos são elemen-
tos de construção para a inspiração. No início de sua carreira,
as inserções de painéis de referências temáticas eram presen-
tes, mas hoje raramente são utilizados, pois o processo criativo
segue com uma variedade de informações e com uma certa ra-
pidez, demandada em virtude do mercado. A entrevistada tam-
bém descreve que gosta de utilizar temas irreverentes e de de- Muitas vezes, essas observações são feitas através da
montagem de painéis de referências temáticas, através de re-
cortes de revistas aleatórias, ou somente a visualização de ima-
gens de mídia digital e impressa (Figura 4 A). 3.1 Entrevistas com profissionais O objetivo foi de coletar informações de
profissionais com estilos de criação distintos para abranger
múltiplos perfis, visando auxiliar a elaboração da metodologia. Ao total, foram entrevistados sete profissionais, de maneira se-
mipresencial com acesso aos seus respectivos locais de traba-
lho. Foram priorizados perfis diferenciados, como designers de
produtos e joias, joalheiros e profissionais com formação téc-
nica, incluindo experiencia profissional, meios de atuação –
sendo autônoma ou industrial – e processos de fabricação nor-
malmente utilizados. Os profissionais entrevistados são basea-
dos no Rio Grande do Sul, porém atuam em diferentes estados
brasileiros além de forma internacional. A entrevistada E2, possui 18 anos de atuação no setor in-
dustrial, onde desenvolve a criação de coleções através de de-
senhos a mão e programação em software 3D, para posterior
fabricação por usinagem em cera (controle numérico computa-
dorizado – CNC) e/ou manufatura aditiva em resina (estereoli-
tografia – STL). A profissional faz suas criações através de pes-
quisas de temáticas especificas de tendências relatadas em
workshops efetuados por órgãos e associações da área. Estes
eventos são realizados todos os anos, envolvendo transferên-
cias de conhecimentos sobre as tendências futuras de consumo
e mercado a serem seguidas para guiar o processo criativo de
coleções joalheiras. Os workshops são ministrados por consul-
tores especializados, os quais trazem imagens ilustrativas, te-
mas simbólicos e aspectos visuais internacionais, que levam em
consideração fatores sobre o mundo da moda, além de ques-
tões sociais, culturais e de comportamento, e onde os designers
assimilam as informações e as transpassam em seus projetos. A exemplo, na Figura 5 é mostrada uma coleção idealizada re-
centemente pela entrevistada E2, onde sua inspiração deu-se
através do tema de proteção através de plantas, denominada
de coleção 7 ervas. A primeira entrevistada, denominada de E1, é uma profis-
sional com mais de 21 anos de experiência, atuando dentro da
indústria e de forma autônoma. A Figura 4 apresenta exemplos
de seu processo de criação e desenvolvimento de joias. Se-
gundo a entrevistada, sua etapa de inspiração dá-se pela obser-
vação do mundo a sua volta, sendo estes aspectos diversos,
desde a natureza, padrões arquitetônicos, dança e arte, entre
outros. Também relata que a observação de tendências da
moda, desde as cores presentes em estampas de tecidos até os
acessórios, tais como óculos, calçados e bolsas que irão compor
looks, são muito importantes para o processo. 3.1 Entrevistas com profissionais Para o desenvolvimento de joias, sendo uma peça única ou uma
coleção, as técnicas criativas utilizadas são inúmeras e variam
dentre os profissionais do ramo. Deste modo, ao propor uma Outros trabalhos de recuperação de resíduos considera- 63 Design & Tecnologia 24 (2022) esquematização das principais etapas e processos seguidos,
para posterior aplicação em uma metodologia básica, torna-se
necessário identificar os diferentes meios de atuação encontra-
dos. Para auxiliar na distinção entre os perfis de processos cria-
tivos e de desenvolvimento, foram realizadas entrevistas infor-
mais com profissionais da área com diferentes históricos e ex-
periências. Foram levantadas questões relacionadas com o
tempo de carreira, envolvendo a área de projeto de joias, e
quais são as principais etapas e modos de criação que o profis-
sional costuma seguir. O objetivo foi de coletar informações de
profissionais com estilos de criação distintos para abranger
múltiplos perfis, visando auxiliar a elaboração da metodologia. Ao total, foram entrevistados sete profissionais, de maneira se-
mipresencial com acesso aos seus respectivos locais de traba-
lho. Foram priorizados perfis diferenciados, como designers de
produtos e joias, joalheiros e profissionais com formação téc-
nica, incluindo experiencia profissional, meios de atuação –
sendo autônoma ou industrial – e processos de fabricação nor-
malmente utilizados. Os profissionais entrevistados são basea-
dos no Rio Grande do Sul, porém atuam em diferentes estados
brasileiros além de forma internacional. melhores, no sentido dos que mais vão ao encontro do objetivo
da coleção, sendo refinados através de desenhos artísticos pin-
tados à mão (Figura 4 C) e de desenhos técnicos. Por fim, de-
pendendo do resultado da criação, um ou mais desenhos de
peças são apresentados ao cliente ou à direção da indústria. Após selecionada a peça a ser desenvolvida, a ilustração é ve-
torizada (Figura 4 D) e a peça é fabricada, como a tiara finali-
zada vista na Figura 4 E. esquematização das principais etapas e processos seguidos,
para posterior aplicação em uma metodologia básica, torna-se
necessário identificar os diferentes meios de atuação encontra-
dos. Para auxiliar na distinção entre os perfis de processos cria-
tivos e de desenvolvimento, foram realizadas entrevistas infor-
mais com profissionais da área com diferentes históricos e ex-
periências. Foram levantadas questões relacionadas com o
tempo de carreira, envolvendo a área de projeto de joias, e
quais são as principais etapas e modos de criação que o profis-
sional costuma seguir. 3.1 Entrevistas com profissionais Nova-
mente, na Figura 6 D, a entrevistada utiliza-se de um mock-up
volumétrico em papel, para definição das geometrias e verifi-
cação do conforto da peça a ser fabricada. Já na Figura 6 E F
são apresentadas as etapas de fabricação do anel e, em G, a
seleção de um material para o elemento decorativo. Após a
união de todos os elementos na peça, a mesma passa para a
etapa de finalização e acabamento (Figura 6 H). Por fim, o anel
finalizado em latão e acrílico é visto na Figura 6 I. gura 6 B é apresentado a peça finalizada, em prata e pérolas,
seguindo as definições de curvatura e movimento das formas,
estipuladas no mock-up. Em outra criação, na Figura 6 C, pode-
mos visualizar sketches preliminares, além de uma etapa de es-
tudos de seleção de materiais que vão compor a peça. Nova-
mente, na Figura 6 D, a entrevistada utiliza-se de um mock-up
volumétrico em papel, para definição das geometrias e verifi-
cação do conforto da peça a ser fabricada. Já na Figura 6 E F
são apresentadas as etapas de fabricação do anel e, em G, a
seleção de um material para o elemento decorativo. Após a
união de todos os elementos na peça, a mesma passa para a
etapa de finalização e acabamento (Figura 6 H). Por fim, o anel
finalizado em latão e acrílico é visto na Figura 6 I. Figura 6
Exemplo do processo criativo e de desenvolvimento da entrevistada E3: (A) mock-ups volumétricos com materiais diversos e (B) anel
em prata e pérolas finalizado; (C) sketches, seleção de materiais, (D) mock-up volumétrico em papel, (E) e (F) etapas de fabricação da
peça, (G) seleção do material para elemento decorativo, (H) finalização da peça para acabamento e (I) anel em latão e acrílico. Fonte:
IVI designs (2021) e entrevistada E3 (arquivo pessoal). Figura 6
Exemplo do processo criativo e de desenvolvimento da entrevistada E3: (A) mock-ups volumétricos com materiais diversos e (B) anel
em prata e pérolas finalizado; (C) sketches, seleção de materiais, (D) mock-up volumétrico em papel, (E) e (F) etapas de fabricação da
peça, (G) seleção do material para elemento decorativo, (H) finalização da peça para acabamento e (I) anel em latão e acrílico. Fonte:
IVI designs (2021) e entrevistada E3 (arquivo pessoal). 3.1 Entrevistas com profissionais Entretanto, acres-
cido a estas formas, a entrevistada relata que o conhecimento
e estudo do público-alvo e/ou cliente é de grande importância
como uma ferramenta para o entendimento das demandas, as-
sim como o material que será utilizado e os respectivos proces-
sos de fabricação. Em seguida, a profissional faz o uso de dese-
nhos e esboços (Figura 4 B), observando e repassando ao papel
a sua impressão do que foi visualizado. Após, são definidos os 64 Design & Tecnologia 24 (2022) senvolver joias que desempenhem mais de uma função, por
isso fica atenta ao que as pessoas fazem e como elas se com-
portam para, talvez, solucionar funções através de suas peças. Suas criações são raramente desenhadas no papel, mas mode-
ladas fisicamente, através de mock-ups com materiais diversos,
como massa de modelar, arames, papéis, ceras, entre outros,
para a visualização da volumetria da peça. Segundo a entrevis-
tada, a partir destes mock-ups a peça criada poderá ser fabri-
cada futuramente, levando em consideração todos os aspectos
testados e analisados. Na Figura 6 é apresentado um exemplo
do processo criativo descrito pela entrevistada E3. Na Figura 6
A são vistos mock-ups volumétricos feitos com materiais diver-
sos, para definir dimensões e ergonomia de um anel. Já na Fi- senvolver joias que desempenhem mais de uma função, por
isso fica atenta ao que as pessoas fazem e como elas se com-
portam para, talvez, solucionar funções através de suas peças. Suas criações são raramente desenhadas no papel, mas mode-
ladas fisicamente, através de mock-ups com materiais diversos,
como massa de modelar, arames, papéis, ceras, entre outros,
para a visualização da volumetria da peça. Segundo a entrevis-
tada, a partir destes mock-ups a peça criada poderá ser fabri-
cada futuramente, levando em consideração todos os aspectos
testados e analisados. Na Figura 6 é apresentado um exemplo
do processo criativo descrito pela entrevistada E3. Na Figura 6
A são vistos mock-ups volumétricos feitos com materiais diver-
sos, para definir dimensões e ergonomia de um anel. Já na Fi- gura 6 B é apresentado a peça finalizada, em prata e pérolas,
seguindo as definições de curvatura e movimento das formas,
estipuladas no mock-up. Em outra criação, na Figura 6 C, pode-
mos visualizar sketches preliminares, além de uma etapa de es-
tudos de seleção de materiais que vão compor a peça. 3.2 Características Identificadas Para compilar as informações levantadas com os entrevistados,
com o objetivo de explorar as diferentes características que de-
finem um profissional na área de joalheria, a Figura 8 apresenta
estes atributos, relacionando-os qualitativamente com os per-
fis dos entrevistados. Ressalta-se que tais atributos não estão
apresentados em uma ordem específica, tampouco não neces-
sariamente todos serão abordados em algum momento por um
profissional da área. Uma das primeiras características identifi-
cadas em todos entrevistados diz respeito ao seu modo de se
obter a inspiração para suas criações (Figura 8 A). Como foi ob-
servado, as inspirações podem vir tanto de requisitos pré-de-
terminados, quanto de maneira aleatória. No primeiro caso, a
inspiração é pré-determinada por requerimentos levantados
pelo próprio profissional ou de um cliente (usuário final ou in-
dústria), quando estes delimitam os objetivos da criação. Já
com relação à aleatoriedade diz respeito às inúmeras formas de
se obter fontes para criação, sejam abstratas ou não. O próximo atributo observado relaciona-se às fontes de
informações buscadas pelo profissional (Figura 8 B), seja por
meio de tendências ou de cliente. O primeiro caso trata de
eventos especializados de transferência de conhecimentos de
consumo e mercado, como workshops, ou de padrões de com-
portamento, como desfiles de moda ou mídias populares, como
cinema, séries, teledramaturgia, redes sociais, influencers e cri-
adores de conteúdo. Ressalta-se que “tendência” corresponde
a um termo utilizado no ramo joalheiro como um todo, repre-
sentando um conjunto geral de informações transmitidas ou
observadas no mercado; podendo ter outras definições mais
aprofundadas em outras áreas, saindo do propósito deste ar-
tigo. O segundo caso trata da busca de informações direta-
mente com o cliente. Alguns o fazem ao longo da própria con-
versa com o consumidor e, assim, definem os requisitos do pro-
jeto. Desse modo, o profissional deve ficar atento em pequenos
detalhes desse contato para poder atender ao máximo todas as
especificações solicitadas. Muitas vezes, contudo, apesar do cli-
ente passar seus desejos, alguns detalhes despercebidos preci-
sam ser notados pelo profissional para poder levá-los ao longo
do seu processo criativo. Figura 7
Processo criativo e exemplos de joias do entrevistado E6:
em (A) é visualizada a ilustração apresentada ao cliente e
anel sendo fabricado e (B) anel em ouro e gemas finalizado;
(C) processo de fabricação e (D) ilustração e pingente em
prata e ágata finalizado. Fonte: Dornelles Designer (2021). 3.2 Características Identificadas Além de separar as origens das fontes de inspiração e de
informações, outra característica definida é sob que circunstân-
cias é realizada a criação em si (Figura 8 C). Por exemplo, a cri-
ação pode ser motivada por uma demanda, quando o cliente,
seja o usuário final ou a indústria, realiza diretamente um pe-
dido para o desenvolvimento de uma peça ou coleção. O outro
caso ocorre de maneira espontânea, ou seja, quando o próprio
profissional opta pelo desenvolvimento de sua criação, sem ser
antecedido por um pedido comercial. É importante destacar,
contudo, que no caso de criação espontânea, não necessaria-
mente um projeto é desenvolvido aleatoriamente, para so-
mente então comercializá-lo. Por exemplo, devido à observa-
ção das tendências do momento, como comentado anterior-
mente, o profissional pode antever-se e desenvolver criações
visando a uma futura demanda comercial. Figura 7 Figura 7
Processo criativo e exemplos de joias do entrevistado E6:
em (A) é visualizada a ilustração apresentada ao cliente e
anel sendo fabricado e (B) anel em ouro e gemas finalizado;
(C) processo de fabricação e (D) ilustração e pingente em
prata e ágata finalizado. Fonte: Dornelles Designer (2021). E por fim, a última entrevistada (E7), está no ramo há 6
anos, criando suas peças sob encomenda e de forma persona-
lizada. Esta profissional iniciou seu aprendizado durante a gra-
duação, especializando-se através de cursos técnicos em esco-
las de joalheria. Seu processo criativo inicia-se através de uma
conversa com o cliente, no qual a designer identifica o perfil a
ser criado. O processo tem como base o sentimento, na empa-
tia com a história da pessoa, e na sensação do que a joia vai
causar ao ser vista. Todo o conteúdo transmitido na conversa
com o cliente é utilizado para inspiração, e nada é restringido. Como visto, diversos fatores influenciam o modo de atuar
de um profissional no ramo da joalheria. Esses fatores dizem
respeito tanto ao seu modo de criação e desenvolvimento de Outra característica que define os diferentes perfis de atu-
ação de um profissional em joalheria está relacionada com o
volume das peças produzidas (Figura 8 D). Esta produção pode
ser conduzida em série, com um volume grande de unidades,
ou ser de forma exclusiva, com a produção de uma única peça
ou coleção – por exemplo, um anel, um par de brincos e um
pingente. 3.1 Entrevistas com profissionais Após estes ajustes, a peça é fabricada com todas
as observações feitas e preparada para entrega ao cliente (Fi-
gura 7 B). Para os projetos de coleções próprias, o profissional
procura estar fora das tendências mundiais, criando algo inova-
dor, ousado, diferente do que está ocorrendo no momento. Algo com seu estilo, reforçando a sua marca. Normalmente a
execução das peças, tanto para clientes específicos quanto para
seu próprio acervo comercial, ocorre de forma artesanal, em
seu ateliê, onde a definição do custo ocorre conforme um so-
matório de fatores, tais como criação, mão de obra e material,
respeitando a disponibilidade econômica. A Figura 7 C mostra
uma das etapas do processo de fabricação de um colar de prata
e ágata, realizada como coleção autoral, e na Figura 7 D é apre-
sentada a peça finalizada, juntamente com sua ilustração do
processo criativo inicial. Para o projeto de joias industriais, pri-
meiramente é feita uma análise da empresa, estudando o seu
portfólio e itens de produção, bem como seu potencial de pro-
dução – sistema produtivo, tecnologias e mão de obra exis-
tente, qualidade de acabamento, etc. – além do objetivo da
empresa – mercado, marketing, investimento e logística. O pro-
fissional relata, ainda, que procura estar sempre atualizado so-
bre todos os tipos de arte e criações em geral, como na arqui-
tetura, moda, além de obter conhecimentos sobre novas tec-
nologias, inovações, formas criativas, entre outros. peças quanto às suas demandas. No subtópico seguinte são
identificadas e listadas algumas das principais características
que vão compor o perfil do profissional. 3.1 Entrevistas com profissionais A quarta entrevista, E4, foi desenvolvida com uma profis-
sional com 17 anos de experiência, a qual primeiramente, de-
fine um tema e pesquisa algumas imagens referentes para a
construção de uma ambiência. Visualizando esta ambiência,
desenhos são traçados e algumas delimitações executadas,
como dimensões e ergonomia das peças a serem fabricadas. Já
a entrevistada E5 trabalha neste ramo de forma autoral desde
2007, sob demanda de clientes. O início do processo criativo
dá-se com uma conversa informal com o cliente, entendendo
suas necessidades, e o que a peça irá representar para o
mesmo. Após, todas as ideias são esboçadas através de dese-
nhos, sendo apresentados para a escolha da joia. Com a defini-
ção, é desenvolvido um desenho técnico, sendo repassado para
um ourives. Este, por sua vez, fabrica a joia sob acompanha-
mento da entrevistada para que a peça fique exatamente como
o que foi projetado para o cliente. tendo realizado seu aprendizado e experiencia na Itália e no
Brasil. Ele trabalha com a criação e fabricação de joias exclusi-
vas e peças para a indústria. Para as joias exclusivas, tanto para
clientes ou coleções próprias, o processo criativo é elaborado
através de um projeto, por meio de desenhos feitos à mão ou
no computador. A Figura 7 apresenta processos de desenvol-
vimento criativo e fabricação do profissional. Para as joias ex-
clusivas para clientes, o primeiro passo dá-se através de uma
visita do mesmo ao seu ateliê. Neste momento, é efetuada uma
consulta com a finalidade de captar todos os requisitos para
elaborar o respectivo projeto da joia. Nesse diálogo, são nota-
dos seus desejos, motivos, exigências e o que espera encontrar
na peça. Procura-se entender também se a joia é para uma
roupa em especial ou ocasião, um evento, etc. Após esse cená-
rio, é apresentado um desenho ao cliente, para a aprovação ou
eventuais modificações de projeto. Após as definições da peça,
é apresentado o orçamento ao cliente para posterior fabrica- O profissional E6 trabalha no ramo da joalheria a 46 anos, 65 Design & Tecnologia 24 (2022) ção. Durante a execução da peça pode ocorrer a necessidade
de provas para a verificação de medidas, formatos e ergono-
mia, conforme visto no exemplo de um anel de ouro e gemas
na Figura 7 A. 4. PROPOSIÇÃO DE METODOLOGIA PARA A JOALHERIA Por fim, um dos atributos mais importantes de serem le-
vantados nas características encontradas é o modo de fabrica-
ção que os profissionais utilizam (Figura 8 F). Neste atributo,
encontra-se a fabricação industrial, na qual maquinários e sis-
temas automatizados são preferidos como, por exemplo, o sis-
tema CAM, ou Computer-Aided Manufacturing (manufatura
auxiliada por computador). Este inclui manufatura aditiva (po-
pularmente chamada de impressão 3D ou, especificamente, es-
tereolitografia) e CNC, ou Computer Numeric Control (controle
numérico computadorizado), incluindo usinagem, gravação e
corte a laser e à jato d’água, além de outros, como câmaras de
vácuo, centrífugas, fornos, equipamentos para fundições e in-
jeções, maquinário para correntaria, eletroformação, etc. Já a
fabricação artesanal concentra-se em técnicas de ourivesaria,
principalmente com o uso de ferramentas manuais, desde ali-
cates e limas até maçaricos, e alguns equipamentos mecaniza-
dos mais simples, como laminadores, politrizes, entre outros. Baseando-se nos relatos do meio de atuação e trabalho dos en-
trevistados, juntamente com as características vistas na evolu-
ção do ramo joalheiro até a contemporaneidade, em termos
que envolvam materiais, processos e aspectos socioculturais, é
possível esquematizar uma metodologia mais específica para o
desenvolvimento de joias. Além disso, destaca-se a vasta expe-
riência docente e profissional no ramo de Joalheria de um dos
autores deste artigo, a qual contribuiu para embasar e orientar
todas as informações levantadas, de modo a sintetizar os prin-
cipais pontos pertinentes para uma metodologia específica. Desse modo, a Figura 9 apresenta as etapas gerais contempla-
das na metodologia proposta. Ressalta-se que a proposta diz
respeito a uma série de passos voltados para o ensino da prá-
tica profissional em joalheria, de modo a poder ser utilizada
desde em cursos de graduação, especialização e aperfeiçoa-
mento. Devido à natureza objetiva e voltada a cenários de situ-
ações reais de atuação, esta metodologia visa servir tanto para
alunos quanto para profissionais envolvidos na área. Destaca-
se que apesar da proposição ser apresentada de maneira linear,
para facilitar a compreensão geral, o processo em si frequente-
mente prevê a realização de iterações, as quais são comuns em
diferentes práticas do Design. Como pode ser visto, os profissionais do ramo de joalheria
podem possuir uma grande variação de perfis conforme suas
características de trabalho. 3.2 Características Identificadas É importante destacar que, mesmo profissionais au-
tônomos podem realizar produções em série, por meio de ter-
ceirização do serviço. Do mesmo modo, as indústrias também 66 Design & Tecnologia 24 (2022) podem produzir peças exclusivas, tanto como uma forma de
destaque para eventos ou marketing, como também em vir-
tude de uma raridade de materiais, como gemas únicas. descontinuados RhinoGold® e Matrix®), Panther3D® e Coun-
terSketch®. Estes plugins combinam funções adicionais ao sof-
tware base, como modelos 3D já prontos (como gemas), uma
biblioteca de materiais específica, além de serem projetados
para facilitar o processo de modelagem de joias. Já o modo ana-
lógico é baseado principalmente por meio de ilustrações pinta-
das à mão, as quais servem diretamente como referência para
manufatura da joia. Nesta etapa, independentemente de ser
seguido um processo digital ou analógico, todas as principais
dimensões e aspectos ergonômicos e estéticos já são definidos
para a representação da peça ser mais realista e facilitar as de-
mais etapas. É importante salientar que os processos não são
conflitantes, de modo que muitos profissionais da área optam
por mesclar ambas as abordagens, conforme a complexidade,
cliente e processo produtivo. Com relação ao modo pelo qual o projeto é concebido, ba-
sicamente é possível separá-lo em dois grandes grupos: digital
e analógico (Figura 8 E). O primeiro utiliza-se de softwares de
ilustração 2D vetorial e modelagem 3D (direta ou paramétrica)
para delinear as formas das peças a serem posteriormente fa-
bricadas. As ilustrações em softwares 2D, como o Adobe® Illus-
trator® e CorelDraw®, são realizadas com uma preocupação
com a fidedignidade da representação dos materiais seleciona-
dos nos projetos. Com relação às modelagens 3D, cabe desta-
car que um software bastante utilizado em diversos ramos do
design, o Rhinoceros® 3D, possui, inclusive, alguns plugins es-
pecíficos para design de joias, como o MatrixGold® (união dos Figura 8
Diferentes características encontradas nos perfis dos profissionais de joalheria entrevistados (E1-E7). Fonte: Autores (2022). 8
Diferentes características encontradas nos perfis dos profissionais de joalheria entrevistados (E1-E7). Fonte: Autores (2022). 4. PROPOSIÇÃO DE METODOLOGIA PARA A JOALHERIA Além disso, a peça que se deseja
criar e fabricar também é um ponto determinante para esco-
lher quais atributos e modos são mais adequados para se che-
gar ao resultado. Para fins didáticos, portanto, torna-se impor-
tante transmitir ao aluno uma visão geral de todas as possibili-
dades existentes no desenvolvimento de uma joia, de modo
que ele possa ter uma base para escolher como poderá ser o
seu perfil de atuação. Na primeira etapa da figura, encontra-se o profissional em
duas situações gerais, as quais irão definir os próximos passos
a serem seguidos. No primeiro caso, a atuação do profissional
parte de uma solicitação de um projeto, podendo ser proveni- 67 Design & Tecnologia 24 (2022) ente desde uma indústria, uma empresa ou diretamente uma
pessoa física. Nessa situação, a solicitação do projeto poderá
ocorrer de duas maneiras distintas, sendo a primeira onde o cli-
ente informará suas necessidades, desejos e/ou restrições, e a
segunda em que o profissional irá atuar de maneira livre, sem
particularidades ou requisitos iniciais provenientes do cliente,
isto é, recebendo uma liberdade de criação. No segundo caso,
o profissional atuaria de maneira autoral, ou seja, espontânea,
sem haver uma demanda prévia por algum cliente ou objetivo
específico. Nesta situação, o projeto também será baseado em
duas maneiras, sendo a primeira em tendências de mercado e
a segunda poderá ser executada de maneira livre. No caso de
tendências, como visto anteriormente, trata-se de uma obser-
vação preliminar do que se encontra em alta no mercado, com
relação a mídias populares, personalidades, aspectos culturais e de comportamento, entre outros; ou seja, aquilo que poderá
levar a um maior interesse de um futuro consumidor/cliente. Já
a situação autoral com atuação livre enquadra-se no mesmo
modo que do projeto por solicitação, em que nenhuma restri-
ção inicial é aplicada. Neste caso, é importante destacar que o
projeto parte do profissional, contudo sem necessariamente
possuir o objetivo de comercialização, como no caso de tanto
construir um portfólio, quanto de participar de concursos de
joias, por exemplo. No ramo joalheiro, muitos concursos ocor-
rem de maneira livre, sem definições com relação ao processo
criativo, aos temas e aos materiais e processos utilizados, não
havendo, necessariamente, um briefing inicial, aproximando-se
mais de criações artísticas. A partir dessa definição inicial, é
possível ao profissional, definir o seu próprio problema de pro-
jeto a ser solucionado nas demais etapas a serem seguidas. 4. PROPOSIÇÃO DE METODOLOGIA PARA A JOALHERIA Apesar disso, contudo, de-
vido à sua natural importância estética, na joalheria, diferente-
mente do design de um produto, os requisitos e restrições de
projeto não são necessariamente fixos e absolutos, o que pode
tender a deixá-la um pouco mais próxima da arte. Nesse sen-
tido, no design de joias os requisitos podem ser mais bem des-
critos como tópicos específicos que resumem as informações
mais relevantes e essenciais das etapas 1 e 2, ou quando pos-
suem algumas características consideradas imperativas para o
projeto. Por exemplo, há casos em que a peça a ser produzida
precisa cumprir uma exigência de projeto, como auxiliar um
usuário com limitações de movimento a colocar um brinco;
conter um termoplástico como um material decorativo de des-
taque para remeter a uma empresa do setor; ou como de uma
joia ser fabricada com um material seguro para contato com
alimentos para poder se transformar em um utensílio de cozi-
nha. Tal como na definição do conceito, é imperativo conside-
rar questões de sustentabilidade, na definição dos requisitos de
projeto precisa-se sempre considerar aspectos de ergonomia,
para segurança e conforto do usuário. Através da realização dos esboços preliminares (Figura 10
C), algumas alternativas podem ser escolhidas e pré-refinadas,
levando em consideração questões de dimensões, ergonomia,
elementos de junção, materiais e processos. Para auxiliar o pro-
cesso de escolha dessas alternativas, pode-se fazer uso de
mock-ups físicos, utilizando-se de materiais de baixo custo e fá-
cil modelagem, como papelão, arame, massa de modelar, etc.,
com o objetivo de se ter um melhor entendimento espacial da
peça a ser fabricada. Além disso, é possível incluir no processo
de seleção de alternativas métodos de triagem mais tradicio-
nais do design, como Pugh, matriz de Mudge, entre outros. Por
fim, torna-se cada vez mais essencial a realização de mock-ups
virtuais, com a utilização de softwares de modelagem 3D, como
visto na Figura 10 D, com a peça planificada vetorizada (deta-
lhe D1), juntamente com um modelo volumétrico (detalhe D2). A partir da modelagem 3D em software, uma etapa seguinte é
a elaboração de imagens de renderizações foto-realistas do
projeto, como exemplificado na Figura 10 E F. Esta etapa é im-
portante tanto para um melhor entendimento final da peça,
com todos seus materiais aplicados e corretamente simulados,
quanto para apresentação e aprovação do cliente, ou mesmo
para construção de portifólio. 4. PROPOSIÇÃO DE METODOLOGIA PARA A JOALHERIA A outra fase, de fontes de inspiração, trata da obten-
ção de recursos que auxiliem o profissional no desenvolvi-
mento criativo da peça. Com o objetivo de exemplificar a metodologia proposta a
partir desta etapa, a Figura 10 apresenta o processo de criação
e desenvolvimento de um bracelete, realizado pelos autores. Ressalta-se que, nesta peça demonstrativa, pressupõe-se um
cenário de criação autoral, com atuação livre, no qual a proble-
mática de projeto consiste na elaboração de uma peça que seja
representativa de elementos da natureza. Desse modo, a partir
de uma pesquisa especializada nesta temática, definiu-se que o
conceito do projeto seria o contraste de água e fogo, e os re-
quisitos do projeto consistem, resumidamente, em adaptar
este tema aos materiais e às formas da joia. Continuando a des-
crição das etapas da metodologia, as fontes de inspiração po-
dem ser tanto construídas sob a forma de painéis de referência
temáticos, contendo imagens sobre o tema do projeto, como
exemplificado na Figura 10 A, ou através de elementos físicos
diversos. Munido destas informações, o profissional parte efe-
tivamente para o processo criativo com a geração de alternati-
vas. Durante a criação, deve-se ter em mente tanto os resulta-
dos obtidos com os experimentos quanto as fontes de inspira-
ção geradas. O processo pode ser realizado da forma macro,
onde o profissional visualiza a sua fonte e a transpassa para o
papel através de esboços ou, por meio de outra técnica, muito
utilizada no design de joias, conhecida por ‘olho mágico’ (Fi-
gura 10 B), onde se direciona o olhar sobre o painel de referên-
cia através de um orifício vazado (detalhe B1) e se obtêm uma
visualização mais específica de regiões delimitadas, destacando
formas, cores e texturas isoladas e até inesperadas. É possível
destacar que o processo criativo na joalheria muitas vezes é se-
guido de maneira pessoal, de acordo com o seu fluxo de criação
individual. Desse modo, esse processo dificilmente pode ser
considerado engessado e linear, permitindo ao profissional
buscar, a partir de algumas técnicas estabelecidas, o seu modo
preferido de desenvolvimento. A última etapa é a responsável, essencialmente, pela ma-
terialização do projeto, em que o conceito estipulado será
transformado em uma peça. O processo inicia-se com a defini-
ção dos requisitos de projeto, utilizando-se como base as infor-
mações levantadas anteriormente. 4. PROPOSIÇÃO DE METODOLOGIA PARA A JOALHERIA Figura 9
Esquema geral das etapas da metodologia proposta para o ensino de Design de Joias. Fonte: Autores (2022). Figura 9
Esquema geral das etapas da metodologia proposta para o ensino de Design de Joias. Fonte: Autores (2022). Com a definição do problema e os objetivos do projeto,
tanto por solicitação ou de forma autoral, parte-se para a se-
gunda etapa. Nesta são realizadas pesquisas para auxiliar o pro-
fissional a se orientar nos passos seguintes de desenvolvi- mento. Por sua vez, a pesquisa poderá ser dividida entre ser
especializada ou generalizada, dependendo da problemática de
projeto. No primeiro caso, trata-se de um levantamento infor-
macional focado em algum aspecto pré-definido anterior- 68 Design & Tecnologia 24 (2022) mente, como, por exemplo, uma ocasião (casamentos, aniver-
sários, celebrações empresariais, nascimentos, entre outros
momentos comemorativos), uma temática (motivos infantis,
religiosos, estilos artísticos, gêneros musicais, aspectos históri-
cos e culturais de regiões e países, etc.), ou aspectos funcionais
(acessibilidade, enfermidades, multifuncionalidades, etc.). Já
na pesquisa generalizada são buscadas informações diversas e
mais abrangentes, onde o profissional trabalha com escolhas
próprias, definindo o seu tema de pesquisa, podendo ser, por
exemplo, aspectos de interesse da sociedade, tópicos de ten-
dência, ou questões relevantes como um todo. Há ainda, para
ambos os tipos de investigação, a importância de se realizar
também uma pesquisa de similares, tanto para se ter conheci-
mento do que tem sido desenvolvido no atual momento
quanto para investigar novas opções de materiais e processos
que possam ser adicionados ao projeto. Destaca-se que, no
ramo joalheiro, a pesquisa de similares deve ser realizada com
cautela, pois estas informações não devem interferir no ato do
processo criativo, em virtude do risco de plágios e de contami-
nação durante a geração de alternativas. Com a realização das
pesquisas, é possível o estabelecimento de um conceito que irá
guiar o desenvolvimento do projeto. Ressaltando as caracterís-
ticas vistas anteriormente sobre a joalheria na contemporanei-
dade, é fundamental que o conceito abranja também uma pre-
ocupação com aspectos relacionados à sustentabilidade, tanto
em termos de materiais e processos considerados ambiental-
mente amigáveis, de origem socialmente justa, além, claro, de
o projeto ser economicamente viável. joalheria contemporânea, esta etapa acaba por se tornar cada
vez mais essencial, visto a variedade de materiais, técnicas e
tecnologias que são incluídas no desenvolvimento de peças ino-
vadoras. 4. PROPOSIÇÃO DE METODOLOGIA PARA A JOALHERIA Ainda, dependendo do tipo de
projeto a ser executado, muitos profissionais têm também na
fase de modelagem 3D a possibilidade de comercializar seu
projeto a partir desse ponto. Contudo, salienta-se que este pro-
cesso precisa ser realizado com um alto nível de detalhes no
que tange aspectos técnicos como espessuras, ligas, cravações
(dimensionamento de garras e orifícios para gemas), encaixes Após a definição dos requisitos do projeto, tem-se a reali-
zação de duas fases importantes: experimentação e delimita-
ção de fontes de inspiração. Quando necessário, conforme os
parâmetros do projeto, a primeira consiste em um conjunto de
testes a serem executados de modo que possa auxiliar na esco-
lha de materiais, ferramentas, processos de fabricação e acaba-
mento. Como exemplo, é possível citar a padronização de velo-
cidade e potência de corte e gravação a laser em gemas, cou-
ros, madeiras, tecidos; obtenção e comparação de ligas metáli-
cas; tratamentos térmicos e de superfície; fabricação de mol-
des para testes de fundição de peças poliméricas ou cerâmicas;
testes de impregnação de resinas e fixação de tingimentos; en-
tre outros. Ressalta-se que, na joalheria tradicional, estes expe-
rimentos não são usuais, visto que a maioria dos materiais e
processos empregados já são bem estabelecidos. Enquanto na 69 Design & Tecnologia 24 (2022) cidade de fabricação de peças difíceis de serem produzidas ma-
nualmente. Neste tipo de fabricação encontram-se equipamen-
tos como fornos de fundição, centrífugas, injetoras, além de
uma gama de maquinário por controle numérico computadori-
zado, tais como usinagem, gravação e corte a laser, estereoli-
tografia, etc. É importante ressaltar que o profissional não ne-
cessariamente precisa optar por um ou outro processo de fa-
bricação apenas, mas mesclá-los para o desenvolvimento das
peças conforme sua necessidade. Outro ponto a destacar é
que, geralmente, o processo de fabricação industrial pode ser
terceirizado, serviço o qual muitas indústrias proporcionam a
profissionais autorais ou atuantes em empresas de pequeno
porte. Há ainda a possibilidade de uma alternância entre as eta-
pas de fabricação artesanal e industrial com, por exemplo, após
uma peça sair de uma fundição por cera perdida (processo in-
dustrial), a mesma parte para um setor de ourives, passando
para um acabamento com limas, lixas e politriz (processo arte-
sanal). De modo geral, mesmo que possam ser divididos entre
duas grandes áreas de fabricação, os processos artesanal e in-
dustrial frequentemente são combinados de forma natural
num fluxo de trabalho. 4. PROPOSIÇÃO DE METODOLOGIA PARA A JOALHERIA Para a fabricação da peça da Figura 10,
por exemplo, utilizou-se a união de processos oriundos do
modo industrial, com corte da chapa por jato d’água e galvano-
plastia, e artesanal, com modelagem com aquecimento por ma-
çarico (Figura 10 G), polimento, cravação e outros. e elementos de junções, acabamentos, e todos os demais parâ-
metros que possibilitem sua manufatura. Nessa parte também
é importante que o arquivo de modelagem esteja pronto para
ser aplicado em possíveis equipamentos de fabricação, como
estereolitografia, usinagem em cera, ou gravação e corte a la-
ser ou por jato d’água. Após a modelagem e verificação de aspectos formais com
os mock-ups físicos e/ou virtuais, parte-se para a última etapa
da concepção, o processo de fabricação. Por sua vez, como
visto, esta etapa pode ser dividida entre processos de forma ar-
tesanal e industrial. Dependendo do projeto, a peça pode ser
produzida de forma artesanal ou industrial apenas, ou com uma
mescla dessas. Na fabricação artesanal predomina-se o uso de
técnicas de ourivesaria com a utilização de ferramentas manu-
ais (desde alicates, limas, serras, martelos, lixas, maçaricos de
oxiacetileno, etc.) e automatizadas com controle manual (poli-
triz, laminadores elétricos, motor de suspensão, etc.). Mais es-
pecificamente, na joalheria contemporânea, com o emprego de
diferentes materiais e técnicas, o profissional encontra-se tra-
balhando mais com fabricação artesanal, principalmente com a
experimentação, testes e manipulação, o que já pode levá-lo ao
resultado final da joia. Já na fabricação industrial, encontram-
se, em sua predominância, equipamentos de grande porte
com, essencialmente, capacidade para reprodução em série,
como maquinário para produção de correntes, ou com a capa- Figura 10 Exemplificação da Etapa 3 da metodologia proposta, através do desenvolvimento de um bracelete: (A) painel de referência temático;
(B) técnica do olho mágico, com observação do painel através de um orifício (detalhe B1); (C) esboços preliminares; (D) peça planificada
vetorizada (detalhe D1) e modelada em software 3D (detalhe D2); (E) e (F) renderizações com simulação de materiais; (G) processo de
fabricação; (H) e (I) peça finalizada. Fonte: Autores (2022). 4. PROPOSIÇÃO DE METODOLOGIA PARA A JOALHERIA Figura 10 Exemplificação da Etapa 3 da metodologia proposta, através do desenvolvimento de um bracelete: (A) painel de referência temático;
(B) técnica do olho mágico, com observação do painel através de um orifício (detalhe B1); (C) esboços preliminares; (D) peça planificada
vetorizada (detalhe D1) e modelada em software 3D (detalhe D2); (E) e (F) renderizações com simulação de materiais; (G) processo de
fabricação; (H) e (I) peça finalizada. Fonte: Autores (2022). averiguação de aspectos tanto ergonômicos (leveza, dimensio-
namento, conforto, etc.) como estéticos. Se necessário, ajustes
adicionais de acabamento ou pequenas modificações e/ou
adaptações podem ser realizadas. A última etapa do desenvolvimento da joia é a de valida-
ção, na qual o resultado da peça precisa ser tanto comparado
com os parâmetros e requisitos de projeto originais quanto ser
aprovado por um cliente ou potencial usuário. No meio acadê-
mico, nesta parte são interessantes as simulações de uso, para Outra parte importante para a finalização do projeto, 70 Design & Tecnologia 24 (2022) tima etapa o processo de criação e fabricação de um bracelete. tima etapa o processo de criação e fabricação de um bracelete. Com a presente pesquisa, pretendeu-se disponibilizar
uma metodologia-base que possa ser aplicada ao ensino de de-
sign de joias em cursos de graduação, pós-graduação ou técni-
cos de aperfeiçoamento, para uso desde em disciplinas especí-
ficas até em projetos e trabalhos de conclusão. Essencialmente,
objetivou-se demonstrar de maneira direta e objetiva os princi-
pais modos de atuação que o estudante possa seguir também
em sua futura carreira profissional. Por fim, destaca-se que
tendo uma metodologia para se basear, o aluno estará apto,
também, a ajustá-la conforme suas necessidades e de acordo
com o seu fluxo de trabalho, uma vez que o formato desta pro-
posição é, justamente, ser flexível e adaptável. tanto para o meio acadêmico quanto profissional, é o registro
fotográfico da joia, como exemplificado na Figura 10 H e I. Para
isso, devem-se ser observados alguns cuidados com a ambien-
tação durante a demonstração. Usualmente, os registros foto-
gráficos são realizados com um fundo branco ou preto, propor-
cionando um maior destaque à peça. Contudo, se a fonte de
inspiração ou o conceito do projeto for algo mais específico,
como um elemento da natureza, por exemplo, as fotos podem
ser compostas com a presença deste contexto ao fundo, ainda
que cuidando para que o ponto focal mantenha-se na joia. REFERÊNCIAS 1. AMARAL, A. M. DO; PALOMBINI, F. L.; CIDADE, M. K. Utilização e valorização do mármore como gema em uma
coleção de joias. In: Avanços técnico-científicos no setor
de gemas, joias e mineração. Porto Alegre: IGEO/UFRGS,
2018. p. 50–64. Apesar desta metodologia não ter sido formalmente es-
truturada e publicada anteriormente, sua utilização prática de
maneira evidentemente simplificada tem sido empregada ao
longo de anos no ensino de Design de Joias. Isso permite validar
a sua base geral quanto ao preparo dos alunos para o mercado
profissional. Para esta pesquisa, buscou-se aprimorar os conhe-
cimentos dos autores com o objetivo de criar uma metodologia
baseada na compilação de maiores informações obtidas pelo
referencial teórico e, essencialmente, pelas entrevistas realiza-
das, de modo a facilitar seu entendimento pelos alunos. Por
exemplo, com este trabalho, torna-se mais fácil de demonstrar
como um profissional em joalheria pode seguir diferentes for-
mas de atuação e criação. 2. ASHBY, M. F.; JOHNSON, K. Materiais e design : arte e
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3_38 AGRADECIMENTOS Ao Conselho Nacional de Desenvolvimento Científico e Tecno-
lógico pelo apoio ao Projeto Universal MCT/CNPq – 028/2018. Os autores agradecem a disponibilidade e consentimento dos
relatos e imagens dos entrevistados. 4. PROPOSIÇÃO DE METODOLOGIA PARA A JOALHERIA Por
fim, com a validação e a aprovação dos objetivos do projeto,
tem-se a obtenção da peça final. tima etapa o processo de criação e fabricação de um bracelete. Com a presente pesquisa, pretendeu-se disponibilizar
uma metodologia-base que possa ser aplicada ao ensino de de-
sign de joias em cursos de graduação, pós-graduação ou técni-
cos de aperfeiçoamento, para uso desde em disciplinas especí-
ficas até em projetos e trabalhos de conclusão. Essencialmente,
objetivou-se demonstrar de maneira direta e objetiva os princi-
pais modos de atuação que o estudante possa seguir também
em sua futura carreira profissional. Por fim, destaca-se que
tendo uma metodologia para se basear, o aluno estará apto,
também, a ajustá-la conforme suas necessidades e de acordo
com o seu fluxo de trabalho, uma vez que o formato desta pro-
posição é, justamente, ser flexível e adaptável. De maneira geral, como observado no decorrer de práti-
cas docentes no design de joias, a ausência de uma metodolo-
gia específica voltada para a joalheria é uma carência encon-
trada frequentemente na sala de aula. Assim, a falta de um guia
geral, ou um conjunto de diretrizes básicas e práticas para apre-
sentar a alunos, com exemplos e relatos de profissionais, é o
grande motivador desta proposição. Considerando os diferen-
tes meios de atuação profissional, seja autônoma ou industrial,
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Page 1/19
Blocking Secondary Pyroptosis of Renal Tubular
Epithelial Cells
Guihu Luo
Southern Medical University
Fangyuan Yang
Southern Medical University
Zeqing Zhai
Southern Medical University
Yi He
Southern Medical University
Jiaochan Han
Southern Medical University
Lili Zhuang
Southern Medical University
Yanang Zhang
Southern Medical University
Yehao Li
Southern Medical University
Rui Song
Southern Medical University
Xiaoqing Luo
Southern Medical University
Jianheng Liang
Southern Medical University
Erwei Sun
(
sunew@smu.edu.cn
)
Southern Medical University
https://orcid.org/0000-0001-5664-513X
Research article
Keywords: SLE, GSDME, pyroptosis, JNK, SP600125, caspase-3
Posted Date: January 7th, 2021
DOI: https://doi.org/10.21203/rs.3.rs-140006/v1 Guihu Luo
Southern Medical University
Fangyuan Yang
Southern Medical University
Zeqing Zhai
Southern Medical University
Yi He
Southern Medical University
Jiaochan Han
Southern Medical University
Lili Zhuang
Southern Medical University
Yanang Zhang
Southern Medical University
Yehao Li
Southern Medical University
Rui Song
Southern Medical University
Xiaoqing Luo
Southern Medical University
Jianheng Liang
Southern Medical University
Erwei Sun
(
sunew@smu.edu
Southern Medical University
h
Research article
Keywords: SLE, GSDME, pyropto
Posted Date: January 7th, 2021 License:
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License.
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License. Read Full License Page 2/19 Abstract Background:Increased apoptosis and/or defect in clearance apoptotic cells resulting in massive
secondary necrosis have been recognized as the main causes of systemic lupus erythematosus. Recent
findings have revealed that GSDME, a membrane pore protein downstream of caspase-3, is a key
mediator of secondary pyroptosis and cellular membrane disruption. Here, we aim to investigate the
effects of secondary pyroptosis on disease activity in lupus mice. Methods:In vivo, Pristane-induced lupus mice were treated with JNK inhibitor SP600125 or vehicle. The
disease severity was evaluated and the expression of GSDME and cleaved-caspase-3 detected. In vitro,
HK2 human tubular epithelial cells were pretreated with SP600125, followed by treatment with apoptosis
inducer, TNF+CHX, or SLE sera. And then the secondary pyroptosis were examined. Results:In vivo, high levels of GSDME expression were revealed in renal tubules in PIL mice and SLE
patients. In lupus mice, SP600125 administration effectively ameliorated lupus-like features and
importantly, reduced the expression of GSDME and cleaved caspase-3 in renal tubules. In vitro, treatment
with TNF+CHX or SLE sera induced HK2 cells to undergo secondary pyroptosis in a caspase-3-GSDME
dependent manner. Likewise, SP600125 significantly reduced GSDME expression and decreased the
secondary pyroptosis in HK2 cells. Conclusions:The GSDME-mediated pyroptosis may be one of the pathogenesis of SLE and targeting
GSDME may be a potential strategy for treating SLE. Introduction Systemic lupus erythematosus (SLE) is a complex autoimmune disease involving multiple organs[1].The
overall incidence of SLE ranges from 30.0 to 37.6 per 100,000 per year in China[2].To date, extensive
studies have been conducted on the pathogenesis and treatment of SLE, but the molecular mechanism of
SLE pathogenesis remains unclear. Increased apoptosis and defective clearance are observed in SLE and
these apoptotic cells are more prone to progress to secondary necrosis. Many previous studies have
demonstrated that secondary necrosis of apoptotic cells plays an important role in the pathogenesis and
development of SLE[3–5]. Cell death plays an important role in the maintenance of homeostasis and immune response, and
different ways of cell death have different effects on immune response. More than 10 years ago, our
research group proposed the "Cell death" recognition model[6, 7]that emphasized the different patterns of
cell death in determining the outcomes of immune responses. Necrotic cells initiate the secretion of pro-
inflammatory cytokines to activate immune response, while apoptotic cells induce immune tolerance by
inducing anti-inflammatory cytokines. Although apoptotic cells themselves induce immune tolerance,
secondary necrosis occurs when apoptotic cells are not cleared timely and effectively, which can
significantly promote inflammatory factors release, enhance immune response, and participate in the
pathogenesis of SLE[5].Therefore, preventing the secondary necrosis of apoptotic cells and maintaining Page 3/19 the cells in the apoptotic stage may become one of the choices to prevent autoimmune diseases such as
SLE. Secondary necrosis after apoptosis was once considered to be a passive and uncontrollable process of
cell death due to the exhaustion of cell energy, failing to maintain osmotic pressure[8, 9]. However, recent
findings revealed that secondary necrosis after apoptosis was also a programmed process called
pyroptosis that was mediated by GSDME[10, 11]. In the GSDME-high cells, a previously presumed key
apoptosis inducer, activated caspase-3, cleaves GSDME to generate the GSDME-N domain. Subsequently,
the GSDME-N domain assembles in cellular membrane to form pores, thereby resulting in secondary
necrosis. This finding is very encouraging because it opens a window to prevent the secondary necrosis
of apoptotic cells and raises new hope for the treatment of SLE. C-jun N-terminal kinases (JNKs) are a member of MAPK kinases,and they can be activated by different
stress stimuli and have various regulatory functions[12]. JNKs are involved in the development and progression of inflammatory diseases[13]. Materials Rabbit polyclonal antibodies recognizing cleaved Caspase 3 and the N-terminal of GSDME were
purchased from Abcam(Catalogue No.ab13847 and No.ab175614,Cambridge, UK). Rabbit monoclonal
antibodies to GSDME-N-terminal or JNK1+JNK2+JNK3 or JNK1 + JNK2 + JNK3 (phospho
T183+T183+T221) also from Abcam(Catalogue No.ab215191 or No.ab179461 or
No.ab124956,Cambridge, UK).TNF-α was purchased from InvivoGen (Catalogue No.rcyc-htnfa,San Diego,
USA).Cycloheximide(CHX) was purchased from Sigma-Aldrich (Catalogue No.66-81-9,St.Louis, MO,
USA).TNF-α+ CHX acts as an inducer of apoptosis[11].The JNK inhibitor SP600125 was purchased from
Selleck(Catalogue No.S1460, Houston, TX, USA). Introduction Importantly, studies have shown that increased JNK activation associated with disease activity and
organ injury in patients with SLE[14]. Interestingly, one study has found that SP600125,a JNK inhibitor,
can prevent GSDME-mediated cell death[15], suggesting that JNK may be a target for regulating GSDME. Therefore, this study mainly aimed to investigate whether inhibiting JNK could reduce secondary
pyroptosis and thus alleviated the disease condition of pristane-induced lupus mice. Microscopy To examine the morphological changes of apoptotic or secondary pyroptotic cells, HK2 cells were seeded
in the 6-well plates and subjected to indicated treatments. Bright field cell images were captured using the
Optical inverted microscope (Olympus, Japan).All the image data displayed represents at least three
random field of view. HK2 cell Hoechst/PI fluorescent staining HK2 cells were seeded in the 24-well plates and treated with TNF-α and CHX. Then, cells were stained with
Hoechst (Beyotime, China) and PI(BD, USA).Images were collected with a fluorescence microscope(Carl
Zeiss, Germany). Immunofluorescent analysis of GSDME After treatment with TNF-α and CHX, the expression of GSDME was detected by immunofluorescence. Cells were fixed with 4 % paraformaldehyde, permeabilized with 0.2 % Triton X-100, and blocked with 5 %
fetal bovine serum (FBS). Then, the cells were stained with rabbit anti-GSDME antibody, followed by
incubation with a Cy3-conjugated goat secondary antibody against rabbit IgG (Servicebio,China,).Finally,
the cells were stained with DAPI(Thermo Fisher Scientific, USA). Images were captured and analyzed with a fluorescence microscope (Carl Zeiss,
Germany). Scientific, USA). Images were captured and analyzed with a fluorescence microscope (Carl Zeiss, LDH release assay After TNF-α and CHX treatment, the activity of LDH released into cell culture supernatants was measured
by using the LDH release kit (Promega) according to the manufacturer’s protocol. The supernatant LDH
activity was expressed as a percentage of total LDH in the cell lysate. Western blot Cells or tissues were lysed in RIPA protein lysate (Beyotime, China). Cell lysates were fractionated by SDS-
polyacrylamide gel electrophoresis (SDS-PAGE) and then transferred to PVDF membranes (Roche, Swit). Blots were probed with appropriate antibodies. Expressions of full length-GSDME and GSDME-N-terminal
were detected using anti-GSDME antibodies. Data were analyzed by Image J Software. Cell culture Human tubular epithelial cell line (HK2) was from Bio-Rad Laboratories (Shanghai, China) and the cells
cultured in DNME/F12 media containing 10% FBS and 1% penicillin streptomycin. The cells were
stimulated with TNF-α(20 ng/ml) and CHX(10μg/ml) to induce cell death, with or without pretreatment
with SP600125 (30μM) for 1 h. Page 4/19 Page 4/19 Pristane induced lupus (PIL) models As described previously,female BALB/ C mice at 6-8 weeks were intraperitoneally injected with 0.5ml
Pristane(Sigma-Aldrich)[16]. Urine protein was detected at 6 weeks after modeling, and urine protein score
measured once every two weeks. Albustix test paper was used to determine the urinary protein. The mice
were stimulated to urinate by gentle massage of the abdomen, and urine was collected. The fresh urine
was dropped into the reaction area of the test paper, and the results were read within 1min. The urine Page 5/19 protein score was determined according to the comparison between the color degrees of the reaction area
and the standard color band. If urine protein score was more than 1 point in two consecutive tests, it was
decided that the modeling was successful. protein score was determined according to the comparison between the color degrees of the reaction area
and the standard color band. If urine protein score was more than 1 point in two consecutive tests, it was
decided that the modeling was successful. PIL mice were divided into three groups, named vehicle only control group, PIL group (n=9), and
PIL+SP600125 group(n=9) respectively. Six normal mice were treated with vehicle as control group. In the
PIL group, mice received the same amount of vehicle solution (DMSO and PBS). In PIL+SP600125 group,
mice were injected intraperitoneally with SP600125 dissolved in 2% dimethyl sulfoxide (DMSO) in PBS at
a dose of 30 mg/kg body weight once per day [17]. Immunofluorescence analysis of GSDME/Caspase-3 p17 The frozen kidney sections were blocked with 5% fetal bovine serum and then stained with rabbit anti-
GSDME antibody(Abcam, Catalogue No.ab215191) and rabbit anti-caspase3 p17 antibody (Abcam,
Catalogue No.ab13847), followed by staining with a second Cy3-conjugated goat anti-rabbit
immunoglobulin G (IgG) antibody (Servicebio, Catalogue No.GB21303).For assessment of mouse IgG
deposition in kidneys, the frozen kidney sections were stained with Alexa Fluor 555-conjugated goat anti-
mouse IgG(Abcam, Catalogue No.b150114). Assessment of histopathological changes Renal tissues were fixed with 10% formalin and paraffin-embedded for tissue sectioning. The sections
were then stained with hematoxylin and eosin (H&E). Histopathological changes were examined by
pathologists unaware of the experimental information. Austin score to grade lupus disease activity was
used as described previously [18]. Statistical analysis All data were expressed as mean ± standard deviation, analyzed by SPSS 20.0 software, and plotted by
GraphPad Prism 7.0 . One-way ANOVA was used for the comparison of the mean between groups.The
difference was considered statistically significant where p<0.05 between comparisons. TNF-α and CHX induced secondary pyroptosis in HK2 cells It has been known that GSDME plays a key role in the secondary pyroptosis[10, 11]. Given that high levels
of GSDME were found in renal tubules of lupus kidneys, next we investigated whether renal tubules
epithelial cells could develop secondary pyroptosis. In vitro, human tubular epithelial cells (HK2 cells)
were treated with the previous presumed apoptosis inducer (TNF-α+CHX)[11], and the secondary
pyroptosis of HK2 cells examined. After the treatment of TNF-α+CHX, necrotic HK2 cells were significantly increased(Fig.2 A and C), and the
dying cells showed evident swelling with characteristic large bubbles protruding from the plasma
membrane(Fig.2 B).What’s more, TNF-α+CHX treated HK2 cells showed elevated expression of activated
caspase-3 and GSDME-N (Fig.2 D). These results confirmed that TNF-α and CHX induced HK2 cells to
undergo secondary pyroptosis. When siRNA was used to silence GSDME expression(Fig.2 E),secondary
pyroptosis was significantly reduced(Fig.2 F and G). SP600125 inhibited secondary proptosis JNK is a member of MAPK kinases, and it is involved in the pathological process of inflammation. Previous study has reported that the JNK inhibitor SP600125 blocks GSDME-mediated cell death [21]. Next, we investigated the effect of SP600125 on secondary pyroptosis of HK2 cells. We found that
SP600125 significantly decreased the secondary pyroptosis, manifested by decreased LDH release (Fig.3
A), diminished cell swelling (Fig.3 B) and reduced numbers of PI positive cells(Fig.3 C). Interestingly,
GSDME expression increased after TNF-α+CHX treatment, but decreased significantly when SP600125
was applied (Fig.3 D). It has been known that the total GSDME includes full length GSDME(GSDME-FL)
and GSDME-N-terminal(GSDME-N). We found that SP600125 inhibited the production of total GSDME
and GSDME-N(Fig.3 E) , suggesting that SP600125 can inhibit both expression and activity of GSDME. These results confirmed that SP600125 significantly blocked the secondary pyroptosis of HK2 cells by
reducing the GSDME mediated cell signaling. Increased GSDME expression in the kidneys of SLE patients and PILmice Lupus nephritis, as the main clinical manifestation of SLE[19],develops in most SLE patients within 5
years of diagnosis[20].Therefore, we tested the kidney specimens of SLE patients and PIL mice. In the kidneys of SLE patients or PIL mice, the renal tubulointerstitium was infiltrated by a large number
of inflammatory cells, with disrupted renal tubules, glomerular atrophy and interstitial fibrosis(Fig.1A and
C). Importantly, GSDME protein was highly expressed in renal tubules (Fig.1B) in SLE patients and PIL
mice (Fig.1D-E). Page 6/19 Page 6/19 Sera of lupus patients increased GSDME expression As we found that GSDME expression increased in renal tubular epithelial cells of lupus patients, it is
important to know the mechanisms underlying the increased GSDME expression. To this end, HK2 cells
were stimulated with serum from lupus patients and examined GSDME expression. The sera of lupus
patients or healthy controls were prepared, and then added them to the medium to prepare 10% cell
culture medium. HK2 cells were cultured in prepared medium for 72h. Interestingly, we found the serum of
lupus patients significantly enhanced the expression of GSDME(Fig.4 A and B) and secondary
pyroptosis(Fig.4 C). Likewise, SP600125 treatment reduced serum-induced GSDME expression and
secondary pyroptosis of HK2 cells(Fig.4 C). SP600125 inhibited GSDME-mediated secondary pyroptosis in PIL mice Compared with the control group , the expression of GSDME in renal tubular epithelial cells in the PIL
mice group was significantly increased(Fig.6A), as well as the expression of cleaved
caspase3(Fig.6B).Importantly, lupus-prone mice treated with SP600125 showed a reduction in the protein
expression levels of GSMDE and cleaved caspase-3(Fig.6A and B). Particularly, abundant GSDME-N in
kidney were easily detected in vehicle-treated PIL mice, but rarely found in SP600125-treated PIL mice
(Fig. 6C). Based on these results, SP600125 inhibited GSDME-mediated secondary pyroptosis in kidney. SP600125 effectively attenuated disease activity in PIL mice Page 7/19 Mice intraperitoneally administered pristane develop autoantibodies and clinical manifestations similar
to those of SLE[22, 23].One study demonstrated that pristane-induced increased apoptosis, provided
autoantigens and initiated immune response that led to the development of lupus like autoimmunity[24]. To know whether SP600125 could attenuate SLE activity, we treated PIL mice with SP600125 for 16
weeks. Importantly, SP600125 treatment resulted in not only reduced proteinuria (Fig. 5A), but also
decreased levels of anti-dsDNA and anti-Sm antibodies (Fig. 5B). In addition, kidney H&E staining
revealed that SP600125 treatment alleviated renal injury (Fig. 5C) , decreased the deposition of IgG (Fig. 5D), and declined plasma IL-6 and TNF-α levels (Fig. 5E).Taken together, these findings suggested that
SP600125 treatment could alleviate lupus-like features in PIL mice. Discussion Systemic lupus erythematosus (SLE) is an autoimmune disease characterized by the presence of nuclear
autoantibodies,and involved in multiple organs[25]. Although the survival rate of SLE patients has
improved in the past decade [26], recent advances have not reduced mortality or the development of end-
stage lupus nephritis [27, 28], which suggests that further study on the pathogenesis of SLE is of great
clinical value. In this study, high levels of GSDME were revealed in renal tubules from SLE patients. Meanwhile, the
expressions of GSDME and cleaved caspase-3 in renal tubules of Pristane-induced lupus (PIL) mice were
also increased, suggesting that GSDME-mediated secondary pyroptosis may play an important role in the
pathogenesis and development of SLE (Figs. 1 and 6). Subsequently, renal tubular epithelial cells (HK2) were selected as the study objects to verify the
mechanism of GSDME-mediated secondary pyroptosis. HK2 cells stimulated with TNF + CHX showed
elevated protein expression levels of cleaved caspase-3 and GSDME-N domain and increased secondary
pyroptosis(Fig. 2). Importantly, sera of SLE patients also induced HK2 cells to undergo secondary
pyroptosis (Fig. 4). Interestingly, a JNK inhibitor, SP600125, significantly reduced the expression of GSDME and the
secondary pyroptosis of HK2 cells (Fig. 3). In vivo, SP600125 administration effectively ameliorated
lupus-like features in PIL mice, showed by a reduction in levels of autoantibodies, a decrease in
proteinuria and an improvement in pathology of kidneys (Fig. 5). Importantly, PIL mice treated with Page 8/19 Page 8/19 SP600125 showed a reduction in the expression levels of GSMDE and cleaved caspase-3(Fig. 6). Based
on these results, we believe that SP600125 effectively attenuates disease activity in PIL mice by
inhibiting GSDME-mediated secondary pyroptosis. SP600125 showed a reduction in the expression levels of GSMDE and cleaved caspase-3(Fig. 6). Based
on these results, we believe that SP600125 effectively attenuates disease activity in PIL mice by
inhibiting GSDME-mediated secondary pyroptosis. GSDME, also known as DFNA5 (Deafness, Autosomal Dominant 5), was first associated with
sensorineural hearing loss in humans [29]. Most deafness-causing mutations in GSDME lead to deletion
of GSDME C-terminal transcription and could induce spontaneous pyroptosis[30].In addition to hearing
loss, GSDME has been linked to many cancers, such as breast[31, 32], epatocellular[33], gastric[34]
colorectal[35]cancers. Discussion In these cancers, GSDME methylation was significantly increased, resulting in
GSDME epigenetic silencing, which reduced GSDME levels[36].GSDME can be regulated by p53 because
the presence of p53 binding sites in GSDME intron 1[36].Treatment with the demethylating agent, such as
5-aza-2'-deoxycytidine, can restore p53-induced GSDME expression[37]. Based on these reports, GSDME
is considered to be a tumor suppressor gene because inactivation of GSDME inhibits its necrotic function,
thus promoting tumor formation. GSDME actually has roles in the switch of the cell death mode from apoptosis to secondary
pyroptosis[38].Caspase-3 specifically clevages and activates GSDME, resulting in pyroptosis.This
changes the concept of programmed cell death as caspase-3 is long considered a marker of apoptosis.In
fact, it is the expression level of GSDME that determines the cell death mode of Caspase-3 activated
cells[11].Cells with high GSDME expression undergo pyroptosis upon the stimulation of apoptotic inducer
like chemotherapy drug. Whereas, cells lacking sufficient GSDME develop apoptosis. GSDME may play a role in chemotherapy-induced caspase-3-dependent cell death due to its ability to
regulate apoptosis and secondary pyroptosis[11]. In vivo study, Gsdme−/− mice were protected from
chemotherapy drug induced tissue damages and weight loss[11]. Peritoneal injection of cisplatin or 5-FU
caused severe small intestinal impairment and infiltration of immune cells in Gsdme+/+ mice, whereas
these signs of tissue damage were reduced in Gsdme−/− mice[38].Moreover, Gsdme−/− mice showed
attenuated lung injury and inflammation in response to cisplatin or bleomycin[38].These observations
confirmed a significant role of GSDME-mediated cell death in promoting inflammation and organ
damage. However, the role of GSDME-mediated secondary pyroptosis in lupus has not been reported. Here, we found that high levels of GSDME were found in kidney specimens from SLE patients and lupus-
prone mice. We also provided evidence that GSDME-mediated secondary pyroptosis may play an
important role in the pathogenesis and development of SLE. Therefore, preventing GSDME-mediated
secondary is a new strategy and target for the treatment of SLE. C-jun N-terminal kinases (JNKs), as a member of the mitogen-activated protein kinases (MAPK) family,
regulate physiological processes such as neuronal function, immune function and embryonic
development by influencing gene expression, cytoskeleton protein dynamics and cell death/survival
pathways[39]. Consent for publication Not applicable. Discussion In response to apoptotic stimulation, JNKs regulate the activity of various pro-apoptotic
and anti-apoptotic proteins, thus participating in extrinsic and the intrinsic apoptotic
pathways[40].Multiple abnormalities of the JNK pathway are involved in several autoimmune diseases, Page 9/19 Page 9/19 including chronic idiopathic urticaria, inflammatory bowel disease, and systemic lupus erythematosus
(SLE)[41]. In SLE patients, increased JNK activities correlate with disease activity[42] and long-term organ
damage[43]. SP600125 is a common JNKs highly selective inhibitor. Studies have shown that JNKs
inhibitors, including SP600125, can significantly alleviate the symptoms of immune diseases[14].One
study has found that the JNK inhibitor SP600125 can block GSDME-mediated cell death[15], but the
mechanism is unclear. We found that SP600125 could significantly improve the symptoms of lupus mice
by inhibiting secondary pyroptosis in two ways. Firstly, SP600125 can inhibit the activation of caspase3
protein and reduce the production of apoptotic cells. Second, SP600125 can reduce the expression and
activation of GSDME, which inhibit the secondary pyroptosis, but initiate apoptotic signaling. From this
perspective, SP600125 may be an ideal drug for the treatment of lupus. A limitation of this study should be noted. SP600125 can only indirectly regulate GSDME expression and
activation and, currently, there are no specific GSDME inhibitors. Therefore, our next work will focus on
the effect of GSDME knockout on lupus mouse model and the search for GSDME-specific inhibitors. Conclusions In conclusion, our data demonstrated that JNK inhibitor SP600125 effectively attenuated disease activity
in PIL mice by inhibiting GSDME-mediated secondary pyroptosis. This implies the important role of
GSDME-mediated secondary pyroptosis in SLE pathogenesis and development, and suggests that
SP600125 may be a potential drug for treating SLE. Availability of data and material The datasets generated during and/or analyzed during the current study are available from the
corresponding author on reasonable request. Ethics approval and consent to participate This study has been approved by the Ethics Committee of The Third Affiliated Hospital, Southern Medical
University and all participants signed informed consent forms. Competing interests The authors declare that they have no competing interests. Authors' contributions GHL carried out most of the experiments, participated in the analysis of data, and drafted the manuscript. YH participated in the design of the study, data analysis and interpretation. FYY and ZQZ participated in
the animal experiments and performed the statistical analysis. JCH carried out the flow cytometry
analysis. LLZ,YNZ,YHL,RS,XQL,JHL participated in the animal experiments. EWS conceived the idea for
the project, participated in its design and coordination, and modified the manuscript. All authors read and
approved the final manuscript. Acknowledgements Not applicable. Page 10/19 Page 10/19 This work was supported by grants from National Natural Science Foundation
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secondary necrosis, and cancers. Naunyn Schmiedebergs Arch Pharmacol. 2019;392:1043–8. 37. Fujikane T, Nishikawa N, Toyota M, Suzuki H, Nojima M, Maruyama R, Ashida M, Ohe-Toyota M, Kai
M, Nishidate T, et al. Genomic screening for genes upregulated by demethylation revealed novel
targets of epigenetic silencing in breast cancer. Breast Cancer Res Treat. 2010;122:699–710. 38. Yu X, He S. GSDME as an executioner of chemotherapy-induced cell death. Sci China Life Sci. 2017;60:1291–4. 39. Zeke A, Misheva M, Remenyi A, Bogoyevitch MA. JNK Signaling: Regulation and Functions Based on
Complex Protein-Protein Partnerships. Microbiol Mol Biol Rev. 2016;80:793–835. 40. Dhanasekaran DN, Reddy EP. JNK signaling in apoptosis. References Oncogene. 2008;27:6245–51. 40. Dhanasekaran DN, Reddy EP. JNK signaling in apoptosis. Oncogene. 2008;27:6245–51. Page 13/19 Page 13/19 41. Molad Y, Amit-Vasina M, Bloch O, Yona E, Rapoport MJ. Increased ERK and JNK activities correlate
with disease activity in patients with systemic lupus erythematosus. Ann Rheum Dis. 2010;69:175–
80. 42. Molad Y, Amit-Vasina M, Bloch O, Yona E, Rapoport MJ. Increased ERK and JNK activities correlate
with disease activity in patients with systemic lupus erythematosus. Ann Rheum Dis. 2010;69:175–
80. 42. Molad Y, Amit-Vasina M, Bloch O, Yona E, Rapoport MJ. Increased ERK and JNK activities correlate
with disease activity in patients with systemic lupus erythematosus. Ann Rheum Dis. 2010;69:175–
80. 43. Bloch O, Amit-Vazina M, Yona E, Molad Y, Rapoport MJ. Increased ERK and JNK activation and
decreased ERK/JNK ratio are associated with long-term organ damage in patients with systemic
lupus erythematosus. Rheumatology. 2014;53:1034–42. 43. Bloch O, Amit-Vazina M, Yona E, Molad Y, Rapoport MJ. Increased ERK and JNK activation and
decreased ERK/JNK ratio are associated with long-term organ damage in patients with systemic
lupus erythematosus. Rheumatology. 2014;53:1034–42. Figures Figure 1
GSDME was highly expressed in renal tubular cells in SLE patients and Pristane-induced lupus mice. (A)
H & E staining renal pathological changes of health controls and SLE patients.(B)immunofluorescence
analysis of the expressions of GSDME in kidney specimens from health controls and SLE patients. (C)H &
E staining renal pathological changes and (D) immunofluorescence analysis of GSDME expression in
control and PIL mice kidney .(E)Western blot (top) and quantitative analysis (bottom) of the expressions
of GSDME in control and PIL mice kidney. Data were shown as mean ± SD, **p < 0.01. Figure 1 Figure 1 GSDME was highly expressed in renal tubular cells in SLE patients and Pristane-induced lupus mice. (A)
H & E staining renal pathological changes of health controls and SLE patients.(B)immunofluorescence
analysis of the expressions of GSDME in kidney specimens from health controls and SLE patients. (C)H &
E staining renal pathological changes and (D) immunofluorescence analysis of GSDME expression in
control and PIL mice kidney .(E)Western blot (top) and quantitative analysis (bottom) of the expressions
of GSDME in control and PIL mice kidney. Data were shown as mean ± SD, **p < 0.01. Page 14/19 Figure 2
TNF+CHX induced secondary pyroptosis in HK2 cells. (A)HK2 cells were treated with TNF-α and CHX for
12h, then the cell viability was detected using LDH release.(B) Phase-contrast imaging assay of HK2 cells
after TNF-α and CHX treatment.(C)Flow cytometry of propidium iodide (PI) and Annexin V- FITC-stained
cells. (D)Western blot (left) and quantitative analysis (right) of the expressions of GSDME (n=3). (E) HK
cells were transfected with NC- or GSDME-siRNA. (F)LDH releases and (G)phase-contrast images of HK2
cells were detected after TNF-α and CHX treatment. Arrows, the pyroptotic cells. Data were shown as
mean ± SD, **p < 0.01,***p < 0.001,****p < 0.0001. Figure 2 Figure 2 TNF+CHX induced secondary pyroptosis in HK2 cells. (A)HK2 cells were treated with TNF-α and CHX for
12h, then the cell viability was detected using LDH release.(B) Phase-contrast imaging assay of HK2 cells
after TNF-α and CHX treatment.(C)Flow cytometry of propidium iodide (PI) and Annexin V- FITC-stained
cells. (D)Western blot (left) and quantitative analysis (right) of the expressions of GSDME (n=3). (E) HK
cells were transfected with NC- or GSDME-siRNA. (F)LDH releases and (G)phase-contrast images of HK2
cells were detected after TNF-α and CHX treatment. Arrows, the pyroptotic cells. Data were shown as
mean ± SD, **p < 0.01,***p < 0.001,****p < 0.0001. Page 15/19 Figure 3
SP600125 inhibited GSDME mediated secondary pyroptosis in HK cells. HK2 cells were pretreated wit
SP600125 for 1h and then exposed to TNF-α and CHX for 12h. (A)Levels of LDH were detected. (B)Ph
contrast images of HK2 cells were detected. (C)HK2 cells were stained with Hochest(blue) and PI(red)
(D)Immunofluorescence staining for GSDME(red) was assessed.(E)Expression of GSDME-FL and Figure 3
SP600125 inhibited GSDME mediated secondary pyroptosis in HK cells. HK2 cells were pretreated with
SP600125 for 1h and then exposed to TNF-α and CHX for 12h. (A)Levels of LDH were detected. (B)Phase-
contrast images of HK2 cells were detected. (C)HK2 cells were stained with Hochest(blue) and PI(red). (D)Immunofluorescence staining for GSDME(red) was assessed.(E)Expression of GSDME-FL and Figure 3 SP600125 inhibited GSDME mediated secondary pyroptosis in HK cells. HK2 cells were pretreated with
SP600125 for 1h and then exposed to TNF-α and CHX for 12h. (A)Levels of LDH were detected. (B)Phase-
contrast images of HK2 cells were detected. (C)HK2 cells were stained with Hochest(blue) and PI(red). (D)Immunofluorescence staining for GSDME(red) was assessed.(E)Expression of GSDME-FL and Page 16/19 Page 16/19 GSDME-N were detected by western blot. Data were shown as mean ± SD, *p < 0.05,**p < 0.01,***p <
0 001 GSDME-N were detected by western blot. Data were shown as mean ± SD, *p < 0.05,**p < 0.01,***p <
0.001. 0.001. Figure 4
Sera of lupus patients induced high expression of GSDME in HK cells. The sera of lupus patients(n=5) or
healthy controls(n=3) were mixed together, and then added them to the medium to prepare 10% cell
culture medium.HK2 cells were cultured in prepared medium for 72h.(A)Western blot (left) and
quantitative analysis (right) of the expressions of GSDME.(B)HK2 cells were immunofluorescent stained
by DAPI(blue) and GSDME(red).(C)HK2 cells were pretreated with SP600125 for 1h and then exposed to
the serum of lupus patients or normal controls, western blot and quantitative analysis of the expressions
of GSDME Data were shown as mean ± SD **p < 0 01 ***p < 0 001 0.00 . Figure 4 Sera of lupus patients induced high expression of GSDME in HK cells. The sera of lupus patients(n=5) or
healthy controls(n=3) were mixed together, and then added them to the medium to prepare 10% cell
culture medium.HK2 cells were cultured in prepared medium for 72h.(A)Western blot (left) and
quantitative analysis (right) of the expressions of GSDME.(B)HK2 cells were immunofluorescent stained
by DAPI(blue) and GSDME(red).(C)HK2 cells were pretreated with SP600125 for 1h and then exposed to
the serum of lupus patients or normal controls, western blot and quantitative analysis of the expressions
of GSDME. Data were shown as mean ± SD, **p < 0.01,***p < 0.001. Page 17/19 Figure 5 Figure 5
SP600125 effectively attenuated disease activity in PIL mice. (A)Albustix test paper was used to
determine the urinary protein. Urine protein score was measured once every two weeks. (B,E)The levels of
autoantibodies(anti-dsDNA antibody and anti-Sm antibody) and cytokines(IL-6 and TNF-α) were
examined by ELISA kit.(C)Representative H&E staining of glomerular and renal tubular lesions in kidneys
were shown (left). Austin scores of kidneys were determined (right).(D)Immunofluorescence showed IgG
deposition in the kidney. Data were shown as mean ± SD, *p < 0.05,**p < 0.01,***p < 0.001. Figure 5 SP600125 effectively attenuated disease activity in PIL mice. (A)Albustix test paper was used to
determine the urinary protein. Urine protein score was measured once every two weeks. (B,E)The levels of
autoantibodies(anti-dsDNA antibody and anti-Sm antibody) and cytokines(IL-6 and TNF-α) were
examined by ELISA kit.(C)Representative H&E staining of glomerular and renal tubular lesions in kidneys
were shown (left). Austin scores of kidneys were determined (right).(D)Immunofluorescence showed IgG
deposition in the kidney. Data were shown as mean ± SD, *p < 0.05,**p < 0.01,***p < 0.001. Page 18/19 Figure 6 Figure 6 SP600125 inhibited GSDME mediated secondary pyroptosis in PIL Mice. (A,B)Immunofluorescence
staining for GSDME and cleaved caspase-3 in each group mouse kidney were assessed.(C)Western blot
and quantitative analysis of the expressions of GSDME and cleaved caspase-3.Data were shown as
mean ± SD, *p < 0.05,**p < 0.01. Page 19/19 Page 19/19 Page 19/19
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Multimarket contacts and bank profitability: do diversification and bank ownership matter?
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Article
Multimarket contacts and bank profitability: Do
diversification and bank ownership matter? Cogent Economics & Finance Provided in Cooperation with:
Taylor & Francis Group Provided in Cooperation with:
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Taylor & Francis Group Suggested Citation: Tu Dq Le (2020) : Multimarket contacts and bank profitability: Do diversification
and bank ownership matter?, Cogent Economics & Finance, ISSN 2332-2039, Taylor & Francis,
Abingdon, Vol. 8, Iss. 1, pp. 1-21,
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https://www.tandfonline.com/action/journalInformation?journalCode=oaef20 1. Introduction The banking sector has long been limited both geographically and in scope by strict regulations and
controls. The structural reform and liberalization process in the Vietnamese banking system in the
last two decades have impacted the competitive conditions. Especially, Decision No. 13/2008/QD-
NHNN was introduced by the State Bank of Vietnam in 2008 to remove the geographical constraints
of commercial banks by loosening the capital requirements on opening branches and/or additional Multimarket contacts and bank profitability: do
diversification and bank ownership matter?
Tu Dq Le1,2* Multimarket contacts and bank profitability: do
diversification and bank ownership matter? Tu Dq Le1,2* Abstract: This study investigates the impact of multimarket contacts on bank
profitability in the Vietnamese banking system from 2006 to 2015 using the system
GMM. The findings indicate in general no evidence of the mutual forbearance
hypothesis in this sector. However, we do find evidence of tacit collusion for the
case of foreign-owned banks and newly combined banks with greater multimarket
contacts. Finally, this study reveals that on average the most profitable banks are
less geographically diversified, more technically efficient, and have lower credit risk. Regarding the role of bank ownership, more profitable banks are state-owned
commercial banks, listed banks, and non-merged banks. Received: 11 May 2020
Accepted: 08 November 2020 *Corresponding author: Tu DQ Le,
Institute for Development and
Research in Banking Technology,
University of Economics and Law,
Ho Chi Minh City 70000, Vietnam
Email: tuldq@uel.edu.vn Reviewing editor:
David McMillan, University of Stirling,
Stirling, United Kingdom Additional information is available at
the end of the article Subjects: Economics; Banking; Credit & Credit Institutions Keywords: Multimarket contact; diversification; bank ownership; profitability; Vietnam;
GMM Subjects: G21; G28; G30 Subjects: G21; G28; G30 Tu Dq Le | To cite this article: Tu Dq Le | (2020) Multimarket contacts and bank profitability: do
diversification and bank ownership matter?, Cogent Economics & Finance, 8:1, 1849981, DOI:
10.1080/23322039.2020.1849981 To link to this article: https://doi.org/10.1080/23322039.2020.1849981 © 2020 The Author(s). This open access
article is distributed under a Creative
Commons Attribution (CC-BY) 4.0 license. Published online: 18 Nov 2020. Submit your article to this journal
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Citing articles: 4 View citing articles Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 PUBLIC INTEREST STATEMENT Indeed, although there was a reduced number of banks from 2006 to
2015 due to several merger and acquisition activities, the total number of bank branches in 2015 was
more than twice as high as that in 2006 (Le et al., 2019). This thus allows banks to establish diverse
branch networks across different regions within the country. In another word, the competition among
geographically diversified banks in more than one geographical market is increased. When banking firms vie for potential customers in multiple local markets, they may meet their
rivals in other markets. Mutual forbearance or linked oligopoly as proposed by Edwards (1955)
emphasizes that the decrease in competitive intensity among rivals due to the fear of retaliation
by firms engaged in other common markets. However, the debate on the effects of multimarket
contacts on banks’ competitive behavior is continued because of the conflicting results of prior
empirical studies. One of the possible reasons is that the channels through which geographical
diversification can affect a bank’s performance have not yet been fully investigated (Degl’Innocenti
et al., 2014). This study attempts to verify whether the bank’s synergies can be generated via both
intra-industry diversification and collusive behavior resulting from multimarket contacts. Our study
also aims to test whether multimarket contacts can favor information sharing via the observation
of the strategies of rivals in common markets, which is proved to improve bank performance. Specifically, this study contributes to the extant literature in several ways. Many studies have
been conducted in developed markets, mainly the US and Europe where larger markets and
a number of banks have facilitated economic modeling. The evidence of the effect of multimarket
contacts in emerging is limited, especially in the Asia-Pacific region [a study by Le et al. (2019) in
Vietnam may be one of the exceptions]. In contrast to Le, Tran and Nguyen’s study where their
main focus is on the correlation between multimarket contacts and bank stability, our test of the
mutual forbearance hypothesis is carried out using bank profitability measures. We also verify the
possibility of an interaction between multimarket contact and market concentration may affect
banks’ behavior. Mester (1987) and Degl’Innocenti et al. (2014) argue that in a context of high
concentration, firms have the incentive to mislead other firms about their production costs and
output to earn more profits. PUBLIC INTEREST STATEMENT Dr. Tu Le is a researcher at the Institute for
Development & Research in Banking Technology,
University of Economics and Law, Vietnam. He is
currently working on several projects in the
emerging markets in several fields – including
banking and finance, manufacturing sector,
e-commerce, and Fintech. This paper is under
the project entitled “what we know about the
Vietnamese banking system”. Several papers
related to this project have been published in
Managerial Finance, International Journal of
Managerial Finance, Australasian Accounting
Business and Finance Journal, Cogent Economics
& Finance, Cogent Business & Management. In
contrast, the current research is looking at the
different issue named “multimarket contact and
bank profitability”. The structural reform and liberalization process in the
banking system in the last two decades have
impacted the competitive conditions. When banking
firms vie for potential customers in multiple local
markets, they may meet their rivals in other markets. This may lead to a decrease in competitive intensity
among rivals due to the fear of retaliation by firms
engaged in other common markets according to the
mutual forbearance or linked oligopoly hypothesis. Consequently, this may affect bank profitability. However, the evidence of the effects of multimarket
contacts on banks’ competitive behavior is inconclu
sive. One of the possible reasons is that the channels
through which geographical diversification can affect
a bank’s performance have not yet been fully inves
tigated. This study attempts to verify whether the
bank’s synergies can be generated via both intra-
industry diversification and collusive behavior result
ing from multimarket contacts. © 2020 The Author(s). This open access article is distributed under a Creative Commons
Attribution (CC-BY) 4.0 license. © 2020 The Author(s). This open access article is distributed under a Creative Commons
Attribution (CC-BY) 4.0 license. Page 1 of 21 Page 1 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 branches in different provinces. Indeed, although there was a reduced number of banks from 2006 to
2015 due to several merger and acquisition activities, the total number of bank branches in 2015 was
more than twice as high as that in 2006 (Le et al., 2019). This thus allows banks to establish diverse
branch networks across different regions within the country. In another word, the competition among
geographically diversified banks in more than one geographical market is increased. branches in different provinces. 2. Literature review The literature on bank multimarket contacts can be divided into two strands. The first strand is to
investigate the effect of multimarket contacts on bank stability (Kasman & Kasman, 2016; Le et al.,
2019). These studies conclude that multimarket contacts generally improve bank stability. The second strand is to test the mutual forbearance hypothesis by relating the level of multimarket
contact to prices or profits. The mutual forbearance hypothesis proposes that multimarket con
tacts may have the adverse effect of fostering incentives for tacit collusion thereby weakening
competition. Therefore, multimarket firms could earn higher profits because of anti-competitive
effects in addition to tie-in sales and exclusive dealing arrangements. Multimarket contacts,
however, may lead to the intensity of competition, which reduces bank profitability. Although
many studies have been conducted in many industries to test this hypothesis, the research in
multimarket contacts in the banking system is still limited, perhaps, due to the unavailability of
data used to estimate the index of multimarket contacts.2 Overall, the evidence is ambiguous and
both theoretical and empirical research tends to provide conflicting findings. Most studies on the later strand are conducted in the developed markets. More specifically, the
earlier studies such as Pilloff (1999) and Whalen (1996) in the US found that greater bank profit
ability is associated with higher multimarket contacts along with higher concentration. The similar
results are confirmed by Coccorese and Pellecchia (2009) and Coccorese and Pellecchia (2013) in
Italy. However, others provide the opposite findings. Rhoades and Heggestad (1985) using the US
data suggest that the relationship between multimarket contacts on bank profits and prices is
ambiguous. Latter, Mester (1987) indicates that high concentration accompanied by higher multi
market contact promotes rather more competitive than collusion. Using the Italian data, De Bonis
and Ferrando (2000) indicate that the increasing competition and lower lending rates are related
to greater geographical overlaps. For further analysis of single-market and multimarket banks, several studies show that multi
market banks seem to enjoy a competitive advantage over single-market counterparts due to their
geographic expansion, thus lowering deposit interest rates offered by single-market banks in the
same market (Hannan & Prager, 2004) or resulting in a reduction in revenue and an increase in
costs for single-market banks (Berger et al., 2007). Regarding diversification, multimarket contact, and the mutual forbearance hypothesis, there
are also two distinct streams of research that offering contrasting results on the effect of
diversification. PUBLIC INTEREST STATEMENT This study is the first attempt to extend the role of bank ownership in
examining the relationship between multimarket contacts and bank profitability (state-owned
commercial banks (SOCBs) vs privately owned commercial banks (POCBs), listed versus non-listed
banks, foreign-owned versus domestic banks). Moreover, due to the structural changes in the
Vietnamese banking system recently regarding M&A activities, we further examine whether this
link may vary between merged and non-merged banks. All in all, this thus would provide a better
understanding of multimarket contact characteristics in the Vietnamese banking system. In this study, we use a unique dataset highly representative of the universe of Vietnamese banks
over 2006–2015 where there was a significant change in bank regulation on branch network as
stated earlier and this period allows us to examine the effect of restructuring program on bank
performance. The Vietnamese market is an ideal candidate for the analysis of multimarket contact
for the following reasons. First, due to the liberalization process, POCBs have operated more actively
and have gradually gained a large market share in terms of both deposits and credit market shares. Some POCBs have mainly focused on providing universal banking services in particular regions, while
others have maintained large branch networks that allow them to operate on multiregional or
national bases. The sector also went through a significant transformation since Vietnam’s entry
into the World Trade Organization in 2007. Foreign banks have been allowed to acquire a certain
amount of shares in the local banks. This further increases competition in the market. Because of the
diversified bank structure, this allows us to examine whether the link between multimarket contact
and bank profitability may vary among bank ownership. Second, Vietnam has emerged as one of the
fast-growing economies in the world1 and is considered as Asia’s next dragon. Under this stellar of
performance, the banking system is the backbone of the economy with the total bank assets, and
total credit advanced in the economy in 2015 was more than six times as high as that in 2006. Last
but not least, multimarket contacts on average have grown by approximately 12.3% while the total
bank branches amounted to 11.4% over the same period. Page 2 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Our findings show a negative relationship between multimarket contacts and bank profitability
in general, thus rejecting the mutual forbearance hypothesis in the Vietnamese banking system. PUBLIC INTEREST STATEMENT More profitable banks are associated with less geographically diversified, more efficient, and have
better credit risk profile. Similar results are true for the case of state-owned commercial banks,
listed banks, and non-merged banks. Foreign-owned banks on average are less profitable than
their local counterparts. Finally, we do find evidence of pro-competitive effects derived from the
combination of high market concentration and high contact. The remainder of this study is organized as follows: Section 2 presents the literature review on
the relationship between multimarket contact and bank performance. Section 3 describes the
methodology and data used. Section 4 discusses the empirical results while Section 5 concludes. 2. Literature review First, firms can benefit from exploiting excess resources through a diversification
process. Diversification improves the extent to which firms meet in multiple markets which can
affect the competitive behavior of rivals by favoring collusion (Gimeno & Woo, 1999). Another
school of thought contends that focused firms can perform better than their diversified counter
parts since diversification can induce value loss due to learning costs (Deng & Elyasiani, 2008) and
lack of lending experience (Acharya et al., 2006; DeLong, 2001). Hence, our study accounts for the
effect of geographic diversification in the model when controlling for multimarket contacts. Page 3 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Since bank profits can also be affected by bank structure and the findings are also mixed,3 we
contend that the effect of multimarket contacts on bank profitability may vary among bank
ownership. In the context of Vietnam where POCBs are serving customers on a national basis
and gradually capturing market share from SOCBs,4 they tend to meet SOCBs in most of the
markets. The question raised is that whether mutual forbearance between them may exist. Furthermore, one may argue that foreign banks may not only transfer knowledge and better
managerial skills to local partners but also provide the necessary capital for them. This may encou
rage foreign-owned banks to expand their branch networks to other markets, thus increasing multi
market contacts. However, there exists a condition imposed by the government that the total shares
of foreign investors must not exceed 30% of the charter capital of a local bank. This thus may induce
foreign-owned banks to collude due to the fear of retaliation by banks engaged in other markets. Also, listed banks may have easier access to funds, for instance, by issuing shares on the stock
exchange to finance their lending activities and investments. They may find it easier to meet the
capital requirements to open additional branches. Additionally, a lack of transparency in the
Vietnamese banking system5 limits domestic banks to attract more investors. Listed banks seem
to be preferred by depositors and investors because they must follow the regulations of the stock
market in terms of providing comprehensive information about their operating activities. All in all,
listed banks may compete with non-listed banks in many markets. However, these banks may face
constraints to maintain a reasonable level of profitability to attract investors. 2. Literature review This may cause
collusive behaviors of listed banks. From 2011 through 2015, the Vietnamese banking system witnessed several merger and acquisi
tion activities.6 The primary goals of these mergers were to improve the efficiency and competitive
ness of consolidated banks while maintaining the branch networks of each merging banks. It is
argued that the new-combined banks may compete with their counterparts in other markets. Taken together, the following hypotheses are proposed Taken together, the following hypotheses are proposed H1: There is no impact of multimarket contacts on bank profitability H1: There is no impact of multimarket contacts on bank profitability H2: There is no impact of geographic diversification on bank profitability H2: There is no impact of geographic diversification on bank profitability H3: The profitability of SOCBs with greater multimarket contacts is not different from that of those
with less multimarket contacts and POCBs with greater/less multimarket contacts. H4: The profitability of foreign-owned banks with greater multimarket contacts is not different from that
of those with less multimarket contacts and domestic banks with greater/less multimarket contacts. H4: The profitability of foreign-owned banks with greater multimarket contacts is not different from that
of those with less multimarket contacts and domestic banks with greater/less multimarket contacts. H5: The profitability of listed banks with greater multimarket contacts is not different from that of
those with less multimarket contacts and non-listed banks with greater/less multimarket contacts. H5: The profitability of listed banks with greater multimarket contacts is not different from that of
those with less multimarket contacts and non-listed banks with greater/less multimarket contacts. H6: The profitability of merged banks with greater multimarket contacts is not different from that of
those with less multimarket contacts and non-merged banks with greater/less multimarket contacts. H6: The profitability of merged banks with greater multimarket contacts is not different from that of
those with less multimarket contacts and non-merged banks with greater/less multimarket contacts. The literature also suggests that bank profitability is influenced by other bank-specific and
macroeconomic factors. The following section only considers common factors that have been
found in prior studies. Bank efficiency. The efficiency-structure hypothesis suggests that efficient banks enjoy lower
production costs which are translated into lower pricing by applying better management or more
advanced production technologies. As a result, this increases sales and market share, which
ultimately generates greater profitability (Berger, 1995; Sharma et al., 2013). 2. Literature review Page 4 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Credit risk. Credit risk is related to low profitability (Athanasoglou et al., 2008; Dietrich &
Wanzenried, 2014; Miller & Noulas, 1997). Other studies, however, show that banks with more
risky assets may require a greater profit to compensate for their greater risk (Figlewski et al., 2012). Bank capitalization. The signaling hypothesis suggests that banks may disclose information
to the market about their prospects and capacity to generate profits. Hence, a signaling
equilibrium may exist where banks that expect to have better future performance will exhibit
a greater level of capital (Saona, 2016). Several studies, however, indicate that a positive
impact of capital on bank profitability may not hold beyond a certain threshold (Le &
Nguyen, 2020a). Also, a bank with an excessively high capital ratio is operating over-
cautiously and ignoring opportunities for profitable growth, and therefore increasing opportu
nity costs of capital (Berger, 1995; Sharma et al., 2013). Market concentration. Market concentration may influence bank profitability. The structure-
conduct-performance hypothesis argues that banks with market power collude to charge high
fees on loans and advances and non-traditional activities and lower rates on customer deposits,
thus earning higher profits (Dietrich & Wanzenried, 2014; Saona, 2016). Several studies, however,
show opposite findings (Bolarinwa & Obembe, 2017; Le & Ngo, 2020; Mirzaei et al., 2013). Bank reforms. Banking literature suggests that bank performance is also influenced by bank
reforms (Lin & Zhang, 2009). In this study, we consider the effect of the restructuring program in
the response to the GFC for the period of 2011–2015. Its key terms of reference included reasses
sing the financial health of credit institutions in terms of bad debt and capital requirements. Accordingly, banks were mainly required to address their non-performing loans and improve
their lending procedures, thus restricting to advance more loans as before. Therefore, this restric
tion may reduce bank profitability in Vietnam. Economic growth. Several studies indicate that economic growth has either no significant
impact (Sharma et al., 2013) or a negative impact on bank profitability (Tan & Floros, 2012). Economic growth, however, may increase demand for financial products and services offered
by banks during cyclical upswings, thus improving bank profitability (Dietrich & Wanzenried,
2014). 3.1. Data Bank-specific information as shown in Table 1 was manually collected from annual reports and
the audited financial statements of individual Vietnamese banks from 2006 to 2015 according
to the Vietnamese Accounting Standards.7 The data on economic growth was obtained from
the World Bank database. Furthermore, only domestic banks are considered in our study since
they are main-active players while foreign bank affiliates, 100% foreign-owned banks, and
joint-venture banks are somewhat limited to operate in the Vietnamese market.8 Therefore,
this arrives at a total of 319 observations for an unbalanced panel data of 40 banks. The
sample includes five SOCBs9 and 35 POCBs10 which together accounted for more than 80% of
total assets in the industry. Prior studies defined a single-market bank as the one which operates in one market (or province)
(Berger et al., 2007). There was such no single-market bank over the examined period that existed in the
Vietnamese banking system. As a consequence, only multimarket banks are considered in our study. Table 2 indicates the descriptive statistics of the variables used in this study. When observing
multimarket contact measures, there appear large volatilities (i.e. high standard deviations) in
MMC1 and MMC2, reflecting the fact that several banks have operated in many markets while
others have focused on serving in their niche markets. However, smaller volatility in MMC3 could be Page 5 of 21 Page 5 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Table 1. 3.1. Data According to the
size classification based on total assets, there is not a large difference in bank size among banks in
our sample, except for four state-owned banks. 3.1. Data Definitions of variables
Variable
Definition
Expected sign
RARROE
Risk-adjusted returns
on equity
RARROE is the risk-adjusted return on equity as
measured by the ratio of the return on equity
(ROE) to the standard deviation of ROE
Dependent variable
RARROA
Risk-adjusted returns
on assets
RARROA is the risk-adjusted return on assets as
measured by the ratio of the return on assets
(ROA) to the standard deviation of ROA
Dependent variable
π t-1
Persistence of
profitability
A lagged variable of bank profitability
+
MMC1
Average multimarket
contact
Calculated as the total number of contacts
of bank i divided by the number of banks
that bank i meets in each local market (see
Appendix 1)
±
MMC2
Weighted multimarket
contact
The number of contacts between two banks
is weighted by an index measuring their
similarity regarding market shares in all
local markets where they meet each other
±
MMC3
Alternative weighted
multimarket contact
The multimarket contact index further
accounts for the size of the rival
±
GEODIV
Geographic
diversification
Calculated as: GEODIVi ¼ P
j
HHIj
dij
di
where
HHIj is the Herfindahl—Hirschman Index in
market j and dij and di are a number of
branches of bank i in market j and the total
number of branches of bank i, respectively
±
INEFF
Technical inefficiency
1 b^θDEA where b^θDEA is bias-corrected
technical efficiency derived from the
bootstrap DEA under variable returns to
scale assumption
-
LLP
Credit risk
The ratio of loan loss provisions to total
loans
-
EQTA
Bank capitalization
The ratio of equity over total assets
±
OWNER
Bank ownership
A dummy variable takes a value of 1 for
a state-owned commercial bank, 0
otherwise
±
LISTED
Public bank
A dummy variable takes a value of 1 for
a listed commercial bank, 0 otherwise
±
FOREIGN
Foreign ownership
The actual percentage of foreign ownership
over the capital of a local bank
±
MERGER
Bank consolidation
This variable takes a value of 1 for a merged
bank, 0 otherwise
±
HHI
Market concentration
The Herfindahl-Hirschman index in terms of
total assets
±
RF
Bank reform
A dummy variable that takes a value of 1
for the restructuring program period of
2011–2015, 0 otherwise
-
GDP
Economic growth
The annual economic growth
± explained by how this variable is measured when the size of rivals is considered. 3.2. Methodology The purpose of this study is to investigate the effect of multimarket contacts on bank profitability
in Vietnam. Taking into account the existing literature along with Vietnamese banks’ character
istics, both bank-specific and macroeconomic factors are considered. Page 6 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Table 2. Descriptive statistics of variables used in the system GMM
OBS
Mean
SD
Min
Max
Sources
RARROE
319
2.216
1.772
−2.537
13.49
Author’s estimate
RARROA
319
2.288
2.283
−2.208
18.416
Author’s estimate
MMC1
319
14.599
7.542
1
34.148
Le et al. (2019)
MMC2
319
13.931
6.958
0.910
31.275
Le et al. (2019)
MMC3
319
0.336
0.446
0.003
2.865
Le et al. (2019)
GEODIV
319
0.095
0.038
0.042
0.26
Author’s estimate
INEFF
319
0.123
0.081
0.029
0.467
Author’s estimate
LLP
319
0.009
0.009
0.001
0.11
Author’s estimate
EQTA
319
0.126
0.094
0.011
0.661
Author’s estimate
OWNER
319
0.153
0.361
0
1
Author’s estimate
LISTED
319
0.194
0.396
0
1
Author’s estimate
FOREIGN
319
0.057
0.079
0
1
Author’s estimate
MERGER
319
0.041
0.198
0
1
Author’s estimate
HHI
319
0.082
0.021
0.062
0.139
Author’s estimate
RF
319
0.514
0.501
0
1
Author’s estimate
GDP
319
0.061
0.006
0.053
0.071
The World Bank One is endogeneity: as an example, more profitable banks may increase their capital ratios by
retaining earnings. They could also spend more on advertising campaigns and increase their size,
which in turn may affect profitability. However, more profitable banks may hire more professional
staff, thus resulting in a reduction in their operating efficiency.11 Another critical issue is unobservable heterogeneity across banks, which could be very large in
the Vietnamese banking system given differences in their corporate governance, which cannot be
well-measured. Finally, bank profitability may be persistent for Vietnamese banks. To deal with three potential problems together and following prior studies such as Saona (2016)
and Dietrich and Wanzenried (2014), the Generalised Method of Moments (GMM) system as proposed
by Arellano and Bover (1995) is employed. This method accounts for endogeneity by using the lagged
values of the dependent variable and the lagged value of other regressors which are potentially
suffering from endogeneity as instruments. We instrument for all regressors except for those which
are exogenous.12 The GMM system also controls for unobserved heterogeneity and the persistence of
the dependent variable. All in all, this estimator yields consistent estimations of the parameters. 3.2. Methodology The
estimated coefficients are also more efficient using an ampler set of instruments. The above arguments suggest the application of a dynamic model that takes the following for The above arguments suggest the application of a dynamic model that takes the following form: πi;t ¼ α0 þ α1πi;t 1 þ α2MMCi;t þ α3GEODIVi;t þ α4INEFFi;t þ α5LLPi;t þ α6EQTAi;t þ α7OWNERi;t
þ α8LISTEDi;t þ α9FOREIGNi;t þ α10MERGERi:t þ α11HHIt þ α12RF þ α13GDPt þ εi;t (1) Following Stiroh (2004a), Le (2017c), and Le et al. (2019), two performance measures based on
accounting ratios include risk-adjusted returns on equity (RARROE) and risk-adjusted returns on
assets (RARROA) are used. RARROEi;t ¼ ROEi;t
σROEi ; RARROAi;t ¼ ROAi;t
σROAi , where ROE is the returns (profits before
tax) on equity, σROE is the standard deviation of returns on equity over the examined period. ROA is
the returns (profits before tax) on total assets, σROA is the standard deviation of returns on assets Following Stiroh (2004a), Le (2017c), and Le et al. (2019), two performance measures based on
accounting ratios include risk-adjusted returns on equity (RARROE) and risk-adjusted returns on
assets (RARROA) are used. RARROEi;t ¼ ROEi;t
σROEi ; RARROAi;t ¼ ROAi;t
σROAi , where ROE is the returns (profits before tax) on equity, σROE is the standard deviation of returns on equity over the examined period. ROA is
the returns (profits before tax) on total assets, σROA is the standard deviation of returns on assets Page 7 of 21 Page 7 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 over the examined period.13 In this study, RARROE is our main dependent variable as indicated in
Section 4 and RARROA is used as a robust check as shown in Appendix 2. over the examined period.13 In this study, RARROE is our main dependent variable as indicated in
Section 4 and RARROA is used as a robust check as shown in Appendix 2. For explanatory variables as indicated in Table 1, π t-1 is used to measure the persistence of
profits in the industry. Nonetheless, as discussed in section 2, this has seldom been included in
studies of multimarket contact. Following Kasman and Kasman (2016), GEODIV is used to control
for the effect of geographic diversification. GEODIVi ranges from 0 to 1 and is equal to 1 if a bank is
diversified. MMC is the multimarket variable computed following the procedure described in
Appendix 1.14 This allows us to test the mutual forbearance hypothesis that may exist if banks
are less incentive to compete aggressively because of the threat of punishment by their rival in
other common markets. The above arguments suggest the application of a dynamic model that takes the following form: INEFF is used to test the efficiency channel and derived from the bootstrap DEA under variable returns
to scale assumption as proposed by Simar and Wilson (1998; 2000)). This approach measures how well
the observed bank manages its costs to the best-practice bank in the sample.15 We also employ two
alternative proxies for risk, namely LLP as a measure of credit risk and EATA as a measure of bank
capitalization. Following Le (2020b) and Le et al. (Forthcoming), OWNER is used to control for the effect of
bank ownership. Additionally, the increasing role of privatization, and in particular diffused ownership, is
investigated by incorporating LISTED in the model. FOREIGN is used to control for the effect of foreign
ownership.16 We further use the interaction terms to extend the role of bank ownership in investigating
the relationship between multimarket contacts and bank profitability as follows17: πi;t ¼ α0 þ α1πi;t 1 þ α2MMCi;t þ α3GEODIVi;t þ α4INEFFi;t þ α5LLPi;t þ α6EQTAi;t þ α7OWNERi;t
þ α8LISTEDi;t þ α9FOREIGNi;t þ α10MERGERi:t þ α11MMCi;t OWNERi;t þ α12MMCi;t LISTEDi;t
þ α13MMCi;t FOREIGNi;t þ α14MMCi;t MERGERi:t þ α15HHIt þ α16RF þ α17GDPt þ εi;t
(2 πi;t ¼ α0 þ α1πi;t 1 þ α2MMCi;t þ α3GEODIVi;t þ α4INEFFi;t þ α5LLPi;t þ α6EQTAi;t þ α7OWNERi;t
þ α8LISTEDi;t þ α9FOREIGNi;t þ α10MERGERi:t þ α11MMCi;t OWNERi;t þ α12MMCi;t LISTEDi;t
þ α13MMCi;t FOREIGNi;t þ α14MMCi;t MERGERi:t þ α15HHIt þ α16RF þ α17GDPt þ εi;t
(2 (2) 4.1. The base models For ease of exposition, we focus on the general interpretation of key variables. In general, there
appears a negative relationship between multimarket contacts and bank profitability as shown in
Table 3. Also, MMC2 is highly correlated to MMC1, confirming the validity of this alternative proxy. MMC3 is weakly correlated to MMC1 and MMC2, indicating that the variable weaknesses as an
alternative proxy form of MMC.18 Furthermore, there is a high correlation between MMC3 and
GEODIV so we run them in a separate model. Because of the high potential endogeneity between
variables used as explained above, the system GMM should be employed. Table 4 indicates the results of the impact of multimarket contacts on bank profitability in the
Vietnamese banking system between 2006 and 2015 using the system GMM.19 The result of the
Hansen test is also reported to investigate the validity of the dynamic panel model. Since the p-value
of the Hansen test is statistically not significant in any of the models, the null hypothesis cannot be
rejected.20 Therefore, there is no evidence of over-identifying restrictions, which means that all
conditions for the moments are satisfied and the instruments are accepted. Furthermore, the
hypothesis of the non-existence of the first-order autocorrelation between the first residual differ
ences is rejected. This, however, does not imply that estimates are inconsistent. Inconsistency would
be concluded if the second-order autocorrelation is present (Arellano & Bond, 1991). Since p-values of
AR2 in our all models are statistically not significant, this suggests that the moment conditions of the
model are met.21 As a result, we conclude that the estimated model meets diagnostic tests. A number of the regression models are run. Table 4 indicates that the coefficient of π t-1 is
positive and significant in all models, suggesting the persistence in bank profitability. Besides, two
out of three measures of multimarket contacts (MMC1 and MMC2) are in general negatively and
significantly associated with bank profitability, implying that higher contacts among banks may Page 8 of 21 Page 8 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Table 3. 4.1. The base models Correlation matrix of variables used in this study
RARROE
RARROA
MMC1
MMC2
MMC3
GEODIV
INEFF
LLP
EQTA
LNBR
HHI
GDP
RARROE
1
RARROA
1
MMC1
−0.078
−0.094
1
MMC2
−0.085
−0.102
0.993
1
MMC3
0.184
0.129
0.517
0.459
1
GEODIV
0.067
0.028
0.577
0.530
0.831
1
INEFF
−0.000
−0.000
−0.071
−0.057
−0.136
−0.1
1
LLP
−0.062
−0.025
0.346
0.342
0.303
0.282
−0.129
1
EQTA
−0.097
−0.010
−0.487
−0.487
−0.359
−0.283
−0.06
−0.172
1
HHI
0.092
0.123
−0.294
−0.326
0.243
0.297
0.135
−0.11
0.146
−0.22
1
GDP
0.124
0.084
−0.082
−0.103
0.235
0.154
−0.098
−0.070
−0.042
−0.088
0.491
1 Table 3. Correlation matrix of variables used in this study
RARROE
RARROA
MMC1
MMC2
MMC3
GEODIV
INEFF
LLP
EQTA
LNBR
HHI
GDP
RARROE
1
RARROA
1
MMC1
−0.078
−0.094
1
MMC2
−0.085
−0.102
0.993
1
MMC3
0.184
0.129
0.517
0.459
1
GEODIV
0.067
0.028
0.577
0.530
0.831
1
INEFF
−0.000
−0.000
−0.071
−0.057
−0.136
−0.1
1
LLP
−0.062
−0.025
0.346
0.342
0.303
0.282
−0.129
1
EQTA
−0.097
−0.010
−0.487
−0.487
−0.359
−0.283
−0.06
−0.172
1
HHI
0.092
0.123
−0.294
−0.326
0.243
0.297
0.135
−0.11
0.146
−0.22
1
GDP
0.124
0.084
−0.082
−0.103
0.235
0.154
−0.098
−0.070
−0.042
−0.088
0.491
1 Page 9 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Table 4. 4.1. The base models 20), 8: 1849981
2020.1849981 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 π
RARROE
Hansen test (p-
value)
0.941
0.981
0.977
0.992
0.581
0.645
0.886
Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. lower bank profitability. This somewhat does not support the mutual forbearance hypothesis for
the Vietnamese banking system that multimarket contacts do not affect the potential for collusion
in the local markets that banks enter. Also, it seems clear that geographic diversification (GEODIV) is usually negative and significant. This
implies that smaller and less diversified banks often have an established reputation in the local
community and a specific (and long-term) knowledge of local consumers which cannot easily be
imitated by competitors. Nonetheless, this somewhat supports the findings of Le et al. (2020) who
suggest that global expansions tend to reduce bank risk-adjusted-performance. Concerning cost
management, the coefficient of INEFF is generally negative and significant, suggesting that more
efficient banks can utilize their loanable resources effectively, thus enhancing their profitability. This
supports the earlier findings of Berger (1995) in the US and Sharma et al. (2013) in Fiji. When observing
the risk channel using LLP, we find that, as expected when significant it appears to reduce profits. This
is in line with the findings of Le (2018) in Vietnam who found that banks with greater credit risk have
lower performance. The same sign is also true for bank capitalization (EQTA). This implies that a higher
level of bank capital ratio may prevent banks from benefiting from alternative profitable opportunities. Regarding bank ownership, the coefficient of OWNER is positive and significant, suggesting that
SOCBs are more profitable than POCBs. This is in line with the findings of Le and Nguyen (2020b). This can be explained by two main reasons. Firstly, SOCBs have benefited from government
subsidies. Second, SOCBs are usually considered as safe banks because of their government own
ership in the Vietnamese banking system. Consequently, depositors are willing to accept lower
deposit interest rates offered by SOCBs, thus enhancing their profitability (Le et al., 2019). 4.1. The base models The results of the impact of multimarket contacts on bank profitability in Vietnam
using RARROE
π
RARROE
π t-1
0.252***
0.272***
0.278***
0.247***
0.593***
0.419***
0.237***
(0.044)
(0.071)
(0.04)
(0.058)
(0.131)
(0.074)
(0.042)
MMC1
−0.077***
−0.091**
(0.013)
(0.042)
MMC2
−0.066***
−0.199***
(0.022)
(0.052)
MMC3
0.345
1.025
(0.795)
(1.383)
GEODIV
−9.979***
−31.347***
−14.351***
−20.376*
−20.73***
(2.593)
(8.864)
(4.313)
(10.275)
(2.465)
INEFF
−3.376***
−0.874
−1.679***
−0.792
−11.964***
−5.521***
−2.402***
(0.812)
(1.093)
(0.534)
(0.918)
(4.228)
(1.32)
(0.424)
LLP
−13.55*
−2.673
−13.362
1.272
−53.456**
−6.214
−11.11**
(7.053)
(6.166)
(8.881)
(11.442)
(25.661)
(13.236)
(5.121)
EQTA
−7.509***
−7.555***
−7.852***
−6.088***
−3.763
−8.51***
−8.544***
(1.939)
(2.084)
(1.945)
(1.802)
(3.796)
(2.425)
(1.866)
OWNER
0.666
−1.187
3.36***
1.554
−1.235
−1.058
1.23** *
(0.478)
(1.816)
(0.773)
(1.746)
(1.507)
(0.812)
(0.337)
LISTED
2.485***
5.469***
2.146***
5.741***
0.639
3.552**
1.152***
(0.464)
(1.906)
(0.552)
(2.075)
(1.541)
(1.359)
(0.419)
FOREIGN
−7.659
−3.238
−15.702***
3.417
−25.345**
−17.389*
−11.848***
(5.282)
(11.143)
(3.613)
(11.83)
(10.892)
(9.251)
(3.413)
MERGER
−1.382*
−6.007***
1.153
−6.022***
−8.533***
−1.908
−1.727***
(0.786)
(1.336)
(0.768)
(1.839)
(2.913)
(2.221)
(0.556)
MMC*OWNER
0.066
−0.049
−0.049
(0.05)
(0.074)
(1.373)
MMC*LISTED
−0.127*
−0.107
−3.106**
(0.073)
(0.083)
(1.286)
MMC*FOREIGN
0.29
0.534
36.77***
(0.404)
(0.544)
(13.127)
MMC*MERGER
0.268***
0.316***
−6.232
(0.058)
(0.081)
(14.154)
HHI
15.864***
24.399**
13.8741**
18.023*
−7.088
0.008
6.533*
(4.653)
(10.216)
(6.291)
(9.751)
(8.923)
(4.521)
(3.636)
RF
0.202
−0.027
0.075
0.029
0.023
−0.679**
−0.581***
(0.126)
(0.2)
(0.136)
(0.216)
(0.339)
(0.267)
(0.099)
GDP
−0.964
2.166
−6.499
9.249
−3.836
−18.067***
−4.495
(4.055)
(9.335)
(6.259)
(0.296)
(28.475)
(6.5)
(3.929)
Constant
3.53***
3.979***
4.2***
3.429***
5.824***
4.483***
5.354***
(0.364)
(1.044)
(0.43)
(1.003)
(1.922)
(1.101)
(0.354)
No. Obs
278
278
278
278
278
278
278
No. Groups
41
41
41
41
41
41
41
AR1 (p-value)
0.001
0.002
0.001
0.001
0.002
0.001
0.000
AR2 (p-value)
0.926
0.622
0.894
0.452
0.744
0.526
0.745
(Continued) Table 4. The results of the impact of multimarket contacts on bank profitability in Vietnam
using RAR Page 10 of 21 π
RARROE
Hansen test (p-
value)
0.941
0.981
0.977
0.992
0.581
0.645
0.886
Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. 4.1. The base models LISTED is positively and significantly associated with bank profitability, indicating that listed banks are
more profitable than non-listed banks. Because shareholders have their capital at risk at the bank, they
have more incentive to monitor its management to ensure the bank operates effectively. As a result,
listed banks may have better asset quality which ultimately improves their profitability. Listed banks also
may have easier access to funds, thus, lowering the cost of borrowing funds and enhancing their
profitability. It is true for the case of the Vietnamese banking system where there is a lack of
transparency.22 Listed banks seem to prefer by depositors and investors because they must follow the
regulations of the stock market regarding disclosure of their operating activities. The findings also
indicate that the coefficient of FOREIGN is generally negative and significant, suggesting that foreign
ownership seems to reduce bank profitability. A possible explanation is that they may seek growth
opportunities so they may invest higher-risk assets. Nonetheless, this supports the findings of Naaborg
and Lensink (2008) in transition economies. When looking at the effect of bank consolidation, MERGER is generally negatively and significantly
related to bank profitability, implying that newly combined banks are less profitable than non-merged
peers.23 The possible reason is that M&As increase operating costs in the short-term for a consolidated
bank, thus reducing their profitability. When examining the effect of interaction between bank ownership and multimarket contacts, the
findings show that the coefficient of MMC*LISTED is negative and significant, suggesting that listed Page 11 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 banks seem to aggressively compete with their competitors in other local markets where they
operate to gain market shares. Thus, this may affect their profit adversely. However, MMC*MERGER
is found to affect bank profitability positively. This may reflect that newly combined banks with
greater contacts seem to pursue the collusion strategy in the short-term post-merger. The same
result is obtained in the case of the interaction between MMC and FOREIGN, demonstrating that
foreign-owned banks with higher multimarket contacts tend to collude due to the fear of retaliation
by banks engaged in other markets. This may reflect the fact that the cap of total shares of foreign
investors in a local bank may limit their ability to transfer technology and bring in capital infusion. Hence, they may not compete against their competitors aggressively in many markets. 4.1. The base models Last, the findings show a positive relationship between market concentration (HHI) and bank
profitability. This implies banks that operate in an increasingly competitive market tend to earn
less profit. Nonetheless, this finding is in line with those of Mirzaei et al. (2013) and Le (2020a). Note that this also suggests that the increasing concentration in the Vietnamese banking
system does not necessarily reflect a reduced competition itself and even competition may
be more intense in some provinces where oligopolies prevail. The coefficients of GDP and RF are
not significant in most of our base models. Nonetheless, a negative relationship between GDP
and bank profitability supports the early findings of Tan and Floros (2012) in China. There also
appears a decrease in bank profitability during the restructuring period. Accordingly, banks
were required to strict their lending procedure until their bad debts are under control and
reviewed by the State Bank of Vietnam as well as increase their capital to meet minimum
charter capital requirements. 4.2. Robust checks To provide additional empirical support to our findings, we further test whether a bank’s behavior is
affected by an interaction effect between high market concentration and multimarket contact. The
coefficient of MMC*HHI is generally negative and significant in 2 models as shown in Table 5. This
may suggest banks with greater multimarket contacts that operate in greater market concentra
tion tend to compete aggressively against their competitors in this market. Nonetheless, this
supports the early findings of Mester (1987) who found evidence of pro-competitive effects derived
from the combination of high market concentration and high contact. Following Kasman and Kasman (2016) and Le et al. (2019), we then construct a subsample of
banks by excluding banks below the lower quartile to provide a robust check as indicated in Table
6. The findings show that the coefficients of MMC1 and MMC2 are negative and significant. Our
main findings as above are thus confirmed. We further examine whether the impact of multimarket contacts on bank profitability may
differ between small and large banks. Following Le (2019) and Le et al. (2019), large and small
banks are defined as those with total assets above and below the median, respectively. Then,
LARGE, a dummy variable that takes a value of 1 for a large bank and 0 otherwise is used
because the small sample size is employed in the system GMM estimator.24 In general, the data
shown in Table 7 indicates that larger banks are less profitable than smaller counterparts. This
may be because smaller banks are easier to be managed and their focus is on serving specific
regions. The coefficient of MMC*LARGE is positive and significant, suggesting that larger banks
with greater multimarket contacts may not aggressively compete against their competitors in
common local markets. behavior. When examining the interaction effect of multimarket contacts and bank ownership
however we do find evidence of tacit collusion for the case of foreign-owned banks and newly
combined banks, especially in the short-term post-merger. Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. 5. Conclusion This study investigated the relationship between multimarket contacts and bank profitability in the
Vietnamese banking system between 2006 and 2015 by using the system GMM. Our main results
offer in general no evidence of tacit collusion in this sector, thus rejecting the assumption that
mutual forbearance affects market conditions through greater multimarket contacts. The study
also provides no support to the assumption that similarity among banks facilitates collusive Page 12 of 21 Page 12 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Table 5. Interaction effect of market concentration and multimarket contact
π
RARROE
RARROE
RARROE
π t-1
0.339***
0.304***
0.545***
(0.052)
(0.05)
(0.149)
MMC1
0.104
(0.082)
MMC2
0.015
(0.065)
MMC3
3.018
(5.886)
GEODIV
−3.906
6.706
(6.514)
(5.503)
INEFF
−3.122***
−3.367**
−9.716**
(0.957)
(1.285)
(4.778)
LLP
−14.066**
−24.54**
−56.391*
(6.943)
(11.341)
(32.814)
EQTA
−10.412***
−4.171
−3.635
(2.303)
(2.895)
(3.972)
OWNER
1.624*
0.022
−0.681
(0.919)
(0.614)
(1.619)
LISTED
1.086
2.48***
−0.176
(0.722)
(0.72)
(1.818)
FOREIGN
−13.245**
−5.106
−22.554*
(5.545)
(5.066)
(11.396)
MERGER
−1.536
−1.893**
−8.651***
(1.129)
(0.808)
(2.767)
HHI
12.915
9.465
−2.755
(12.898)
(9.595)
(12.17)
RF
−0.609***
−0.68***
0.076
(0.209)
(0.167)
(0.359)
GDP
−4.04
21.268***
1.286
(7.951)
(9.356)
(28.306)
MMC*HHI
−1.602*
−1.621***
−26.316
(0.808)
(0.439)
(54.042)
Constant
3.822***
1.301
4.726**
(1.009)
(1.204)
(2.105)
No. Obs
278
278
278
No. Groups
41
41
41
AR1 (p-value)
0.000
0.000
0.013
AR2 (p-value)
0.407
0.160
0.964
Hansen test (p-value)
0.615
0.621
0.410
Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **, Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. behavior. When examining the interaction effect of multimarket contacts and bank ownership
however we do find evidence of tacit collusion for the case of foreign-owned banks and newly
combined banks, especially in the short-term post-merger. Page 13 of 21 Page 13 of 21 Page 13 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Table 6. Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. 5. Conclusion The results of robust checks
π
RARROE
RARROE
RARROE
π t-1
0.547***
0.545***
0.659***
(0.059)
(0.059)
(0.127)
MMC1 ≥ 9
−0.036**
(0.017)
MMC2 ≥ 9
−0.078**
(0.03)
MMC3 ≥ 0.07
0.62
(0.497)
GEODIV
−13.938*
−14.247**
(6.964)
(6.731)
INEFF
−3.074**
−1.884
−6.495*
(1.221)
(1.17)
(3.223)
LLP
6.028
15.131
−37.063*
(11.807)
(13.456)
(18.683)
EQTA
−5.442***
−6.787***
−7.904***
(1.431)
(1.933)
(2.862)
OWNER
2.664***
2.303**
−1.282
(0.96)
(1.060)
(0.873)
LISTED
0.866
1.549**
0.583
(0.567)
(0.633)
(0.925)
FOREIGN
−3.177
−1.005
−14.113*
(3.252)
(3.767)
(7.426)
MERGER
−0.169
−0.358
−3.526**
(0.605)
(0.608)
(1.659)
HHI
3.863
7.192
−2.228
(6.8)
(8.166)
(7.729)
RF
−0.275**
−0.047
−0.164
(0.125)
(0.141)
(0.256)
GDP
−7.264
−1.675
−17.989
(10.515)
(9.939)
(10.678)
Constant
3.471***
3.138***
4.993***
(0.701)
(0.531)
(1.524)
No. Obs
225
222
207
No. Groups
34
34
32
AR1 (p-value)
0.000
0.000
0.003
AR2 (p-value)
0.202
0.441
0.341
Hansen test (p-value)
0.999
0.998
0.545
Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Si
ifi
10 5
d 1
l
l
i
l Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. The negative impacts of geographic diversification (GEODIV) and credit risk (LLP) on risk-adjusted
returns suggest that more profitable banks are less geographically diversified, and have a lower
credit risk. The same is true for state-owned commercial banks and non-merged banks. The
findings indicate that efficient banks can generate greater bank profitability, suggesting that
bank managers should implement superior management practice in their daily operations and
minimize input usage, thus improving bank profitability. Also, listed banks seem more profitable Page 14 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Table 7. Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. 5. Conclusion The relationship between multimarket contacts and bank profitability in a subsample
π
RARROE
RARROE
RARROE
π t-1
0.359***
0.446***
0.557***
(0.052)
(0.064)
(0.102)
MMC1
−0.269***
(0.047)
MMC2
−0.274***
(0.053)
MMC3
4.513
(4.45)
LARGE
−3.408***
−2.229***
0.023
(0.952)
(0.753)
(1.78)
MMC*LARGE
0.236***
0.222***
−3.22
(0.049)
(0.058)
(5.246)
GEODIV
−4.289
−6.266
(6.031)
(7.245)
INEFF
−2.729***
−1.123
−2.79*
(1.01)
(1.282)
(1.477)
LLP
−3.619
8.301
−19.584*
(12.449)
(11.308)
(11.539)
EQTA
−11.309***
−14.584***
−7.336*
(3.136)
(3.547)
(3.99)
OWNER
0.192
−1.75
−1.74
(0.847)
(1.046)
(2.126)
LISTED
3.739***
3.157***
1.133
(0.787)
(0.543)
(1.892)
FOREIGN
−6.394
−7.687
−1.172
(4.677)
(6.002)
(10.272)
MERGER
−1.792***
−2.289***
−1.199
(0.638)
(0.818)
(3.925)
HHI
10.4
6.931
−6.371
(8.756)
(12.297)
(23.399)
RF
0.116
−0.295*
−0.676**
(0.172)
(0.151)
(0.282)
GDP
−6.534
−5.215
−48.293
(4.6)
(8.331)
(35.863)
Constant
5.908***
6.522***
5.59***
(1.189)
(0.917)
(1.617)
No. Obs
278
278
278
No. Groups
41
41
41
AR1 (p-value)
0.03
0.001
0.000
AR2 (p-value)
0.879
0.635
0.268
Hansen test (p-value)
0.976
0.980
0.654
Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
th
h th
GMM
d
f ll
i
A
ll
d B
(1995) R b
t
t
d
d
i
th
* ** Page 15 of 21 Page 15 of 21 Page 15 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 than non-listed banks, suggesting that local banks should be encouraged to list on the stock
market, thus enhancing the transparency of the banking system. Furthermore, a negative impact
of capital ratio on bank performance implies that banks with an excessively high capital ratio may
ignore opportunities for profitable growth, thus lowering their profits. Foreign-owned banks on
average seem less profitable than domestic counterparts. Concerning the macroeconomic factors,
our findings support the structure-conduct-performance hypothesis that banks with market power
tend to collude to charge high fees on loans and non-traditional activities and lower rates on
customer deposits, thus earning higher profits. The study may suffer some limitations. Our study only investigates this link in one country within
a limited period, implying that future research needs to examine this relationship in other emer
ging markets that have a similar banking structure for robust checks. The study may suffer some limitations. Our study only investigates this link in one country within
a limited period, implying that future research needs to examine this relationship in other emer
ging markets that have a similar banking structure for robust checks. Tu Dq Le1,2 Tu Dq Le1,2 11. Another example is that banks with poor manage
ment may fail to control operating costs, thus
lowering bank profitability. The ownership may be
also endogenous because investors may decide to
invest in riskier banks to maximize their expected
utility (Gugler & Weigand, 2003). E-mail: tuldq@uel.edu.vn
1 E-mail: tuldq@uel.edu.vn
1 1 Institute for Development and Research in Banking
Technology, University of Economics and Law, Ho Chi
Minh City, Vietnam. y
2 Vietnam National University, Ho Chi Minh City, Vietnam. 12. It is assumed that strictly exogenous variables are
not correlated to the individual effects while the
endogenous variables are predetermined. 12. It is assumed that strictly exogenous variables are
not correlated to the individual effects while the
endogenous variables are predetermined. Citation information Cite this article as: Multimarket contacts and bank profit
ability: do diversification and bank ownership matter?, Tu
Dq Le, Cogent Economics & Finance (2020), 8: 1849981. g
p
13. One of the main reasons for using risk-adjusted
returns measure is that the traditional measures
completely ignores risk. Since returns can be
enhanced by taking more risk, at least in the short
run, this is a critical limitation of using traditional
measures. Risk-adjusted returns estimates are
analogous to a market-derived Sharpe ratio, which
defines risk-adjusted returns as market returns
(less the risk-free rate) divided by the standard
deviation of returns. For further discussion, please
see Stiroh (2004a; 2004b) and among others. Besides, our results do not alter when profits after
tax is used to measure ROE and ROA in the formula
of risk-adjusted returns. Nonetheless, we also use
the traditional measures of bank profitability such
as average return on assets, the average return on
equity, and pre-provision profit. Similar results are
obtained although they cannot present here due to
the length restrictions. They are available upon
request. 13. One of the main reasons for using risk-adjusted
returns measure is that the traditional measures
completely ignores risk. Since returns can be
enhanced by taking more risk, at least in the short
run, this is a critical limitation of using traditional
measures. Risk-adjusted returns estimates are
analogous to a market-derived Sharpe ratio, which
defines risk-adjusted returns as market returns
(less the risk-free rate) divided by the standard
deviation of returns. For further discussion, please
see Stiroh (2004a; 2004b) and among others. Besides, our results do not alter when profits after
tax is used to measure ROE and ROA in the formula
of risk-adjusted returns. Nonetheless, we also use
the traditional measures of bank profitability such
as average return on assets, the average return on
equity, and pre-provision profit. Similar results are
obtained although they cannot present here due to
the length restrictions. They are available upon
request. Acknowledgements Bank, Lien Viet Post Bank, Mekong Development
Bank, Military Bank, Nam A Bank, National Citizen
Bank, Ocean Bank, Orient Bank, Petrolimex Group
Bank, Saigon-Hanoi Bank, Saigon Bank for Industry
and Trade, Saigon Commercial Bank, Saigon
Thuong Tin Bank, South-East Asia Bank, Southern
Bank, TienPhong Bank, Viet A Bank, Technological
Bank, Bank for Private Enterprise, Export-Import
Bank, Vietnam International Bank, Maritime Bank,
Tin Nghia Bank, Western Bank. Bank, Lien Viet Post Bank, Mekong Development
Bank, Military Bank, Nam A Bank, National Citizen
Bank, Ocean Bank, Orient Bank, Petrolimex Group
Bank, Saigon-Hanoi Bank, Saigon Bank for Industry
and Trade, Saigon Commercial Bank, Saigon Bank, Lien Viet Post Bank, Mekong Development
Bank, Military Bank, Nam A Bank, National Citizen
Bank, Ocean Bank, Orient Bank, Petrolimex Group
Bank, Saigon-Hanoi Bank, Saigon Bank for Industry
and Trade, Saigon Commercial Bank, Saigon
Thuong Tin Bank, South-East Asia Bank, Southern
Bank, TienPhong Bank, Viet A Bank, Technological
Bank, Bank for Private Enterprise, Export-Import
Bank, Vietnam International Bank, Maritime Bank,
Tin Nghia Bank, Western Bank. This research is funded by the University of Economics and
Law, Vietnam National University, Ho Chi Minh, Vietnam. Funding This work was supported by the University of Economics
and Law, Vietnam National University - Ho Chi Minh City
[N/A]. Notes 1. The average annual economic growth of approxi
mately 6.2% over the examined period, just behind
China. 2. Please see Yu and Cannella (2013) for the review of
empirical studies on the impact of multimarket
contacts in other industries. 3. Please see Le (2017a) for a more comprehensive
overview of the literature on the relationship
between bank ownership and profitability. 4. For more discussion, please see Le et al. (2019). 5. Vietnamese commercial banks are encouraged to
publish their annual reports but not obliged. 6. Please see Le (2017b). 6. Please see Le (2017b). 7. Unfortunately, the Global Bank Focus does not pro
vide the data on bank branches. Since 2016, there
have been substantial missing data on bank
branches in each market. Therefore, we could not
calculate the MMC values of the individual bank
from the year 2016 and onward. 14. For definitions of the similarity index and weights in
calculating two alternative indices, MMC2 and
MMC3 are comprehensively presented in Coccorese
and Pellecchia (2009). 14. For definitions of the similarity index and weights in
calculating two alternative indices, MMC2 and
MMC3 are comprehensively presented in Coccorese
and Pellecchia (2009). 14. For definitions of the similarity index and weights in
calculating two alternative indices, MMC2 and
MMC3 are comprehensively presented in Coccorese
and Pellecchia (2009). 8. This exclusion from the sample is necessary to
ensure the homogeneity of the sample when esti
mating relative bank efficiency using the bootstrap
DEA. More importantly, the data of these banks are
mostly unavailable. 15. The procedure is not repeated here for want of
space. According to the intermediation approach
in which banks act as intermediaries between
depositors and borrowers, a 3 × 2 set of inputs and
outputs is used. Following prior studies such as Le
(2017b), Le et al. (2019) inputs include fixed assets,
operating expenses, and loanable funds while out
puts include loans and other earning assets. Because of the unavailability of data on either
a number of employees or labor expenses in many
banks in the sample, operating expenses are used
to proxy for labor costs. 15. The procedure is not repeated here for want of
space. According to the intermediation approach
in which banks act as intermediaries between
depositors and borrowers, a 3 × 2 set of inputs and
outputs is used. Following prior studies such as Le
(2017b), Le et al. Bank, Lien Viet Post Bank, Mekong Development
Bank, Military Bank, Nam A Bank, National Citizen
Bank, Ocean Bank, Orient Bank, Petrolimex Group
Bank, Saigon-Hanoi Bank, Saigon Bank for Industry
and Trade, Saigon Commercial Bank, Saigon Notes (2019) inputs include fixed assets,
operating expenses, and loanable funds while out
puts include loans and other earning assets. Because of the unavailability of data on either
a number of employees or labor expenses in many
banks in the sample, operating expenses are used
to proxy for labor costs. 15. The procedure is not repeated here for want of
space. According to the intermediation approach
in which banks act as intermediaries between
depositors and borrowers, a 3 × 2 set of inputs and
outputs is used. Following prior studies such as Le
(2017b), Le et al. (2019) inputs include fixed assets,
operating expenses, and loanable funds while out
puts include loans and other earning assets. Because of the unavailability of data on either
a number of employees or labor expenses in many
banks in the sample, operating expenses are used
to proxy for labor costs. 9. They include Bank for Investment and Development,
Foreign Trade Bank, Bank of Industry and Trade,
Housing Bank of Mekong Delta, Agriculture and Rural
Development Bank. 10. They include An Binh Bank, Asia Bank, Bao Viet
Bank, Construction Bank, Dong A Bank, First Bank,
Global Petrolimex Bank, Great Asia Bank, Hanoi
Building Bank, HCM Development Bank, Kienlong Page 16 of 21 Page 16 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Journal of Financial Services Research, 35(3), 245–271. https://doi.org/10.1007/s10693-009-0057-8 16. To provide robust checks, we also use a dummy
variable takes a value of 1 for a local bank that has
foreign participation in its capital and 0 otherwise,
independently of how large it is. Similar findings are
obtained although it cannot be presented here due
to length restrictions. Coccorese, P., & Pellecchia, A. (2013). Multimarket con
tact, competition and pricing in banking. Journal of
International Money and Finance, 37, 187–214. https://doi.org/10.1016/j.jimonfin.2013.06.010 17. We thank an anonymous referee for this clarification. De Bonis, R., & Ferrando, A. (2000). The Italian banking
structure in the 1990s: Testing the multimarket con
tact hypothesis. Economic Notes, 29(2), 215–241. https://doi.org/10.1111/1468-0300.00031 18. We thank an anonymous referee for this suggestion. 19. We also conduct robustness checks with more
rudimentary approaches for panel data using
fixed effects. The results confirm our main findings
and are available upon request. Degl’Innocenti, M., Girardone, C., & Torluccio, G. (2014). Diversification, multimarket contacts and profits in
the leasing industry. Journal of International Financial
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profitability nexus: New approach from causality. Studies in Microeconomics, 5(1), 84–98. https://doi. org/10.1177/2321022217695993 Le, T. D. (2018). Notes Cameron and Pravin (2010) suggest that the value of
Hansen test for over-identifying restrictions should
exceed 0.05, thus the null hypothesis cannot be
rejected. Alternatively, there is no correlation
between the instrument variables and the residuals. DeLong, G. L. (2001). Stockholder gains from focusing
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Economics, 59(2), 221–252. https://doi.org/10.1016/
S0304-405X(00)00086-6 21. Arellano and Bond (1991) demonstrate p-values of
AR2 above 0.05 that instruments are still valid. 21. Arellano and Bond (1991) demonstrate p-values of
AR2 above 0.05 that instruments are still valid. 22. Vietnamese commercial banks are encouraged to
publish their annual reports but not obliged. 22. Vietnamese commercial banks are encouraged to
publish their annual reports but not obliged. Deng, S. E., & Elyasiani, E. (2008). Geographic diversifi
cation, bank holding company value, and risk. Journal of Money, Credit and Banking, 40(6),
1217–1238. https://doi.org/10.1111/j.1538-4616. 2008.00154.x 23. Non-merged banks include those which are not
engaged in any M&A activity and those which are
merging banks during the pre-merger period. Dietrich, A., & Wanzenried, G. (2014). The determinants of
commercial banking profitability in low-, middle-,
and high-income countries. The Quarterly Review of
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size (the natural logarithm of total assets, the
natural logarithm of bank branches, and LARGE) in
our base models. There appear high correlations
between these measures and MMC variables, EQTA
(>0.7). Therefore, these measures of bank size are
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0149206312462456 Mirzaei, A., Moore, T., & Liu, G. (2013). Does market
structure matter on banks’ profitability and stability? Emerging vs. advanced economies. Journal of Appendix 1 Following Coccorese and Pellecchia (2009), the MMC variable is computed as follows: MMC1i ¼
∑iÞj mijγij
∑iÞj γij
(3) MMC1i ¼
∑iÞj mijγij
∑iÞj γij (3) where γij ¼ 1 if mij>0; and γij ¼ 0 if mij ¼ 0. mij represents the number of contacts between bank
i and j. γij ¼ 0 means bank i does not contact with bank j. In this study, the province is considered
as the local market. The MMC1 index lies between 1 and a total number of local markets which is
63. MMC1 equals 1 in the case of single-market banks. However, not every rival can have the same importance for a bank. For robust checks, two other
indices of multimarket contacts are estimated. MMC2, the number of contacts between two banks
is weighted by an index measuring their similarity in terms of market shares in all local markets
where they meet each other. MMC2i ¼
∑iÞj mijγij
∑iÞj γij
(4)
where γij ¼ 1 if mij > 0; and γij ¼ 0 if mij ¼ 0 MMC2i ¼
∑iÞj mijγij
∑iÞj γij
(4)
where γij ¼ 1 if mij > 0; and γij ¼ 0 if mij ¼ 0 MMC2i ¼
∑iÞj mijγij
∑iÞj γij (4) where γij ¼ 1 if mij > 0; and γij ¼ 0 if mij ¼ 0 where γij ¼ 1 if mij > 0; and γij ¼ 0 if mij ¼ 0 The literature suggests that the symmetry among banks can increase their collusion. The
incentive of collusion may depend upon the size of the rival. MMC3 is calculated when taking
into account the size of the rival as follows: MMC3i ¼
∑iÞj ijγij
∑iÞj γij
(5)
where γij ¼ 1 if ij>0, and γij ¼ 0 if ij ¼ 0 MMC3i ¼
∑iÞj ijγij
∑iÞj γij (5) where γij ¼ 1 if ij>0, and γij ¼ 0 if ij ¼ 0 where γij ¼ 1 if ij>0, and γij ¼ 0 if ij ¼ 0 MMC2 and MMC3 indicate that the increase in the similarity of the banks should improve the
impact of multimarket contacts. Page 19 of 21 Page 18 of 21 Page 18 of 21 Page 18 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Page 19 of 21 Page 19 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Appendix 2 Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 π
Model 1
Model 2
Model 3
Model 4
Model 5
Model 6
Model 7
AR2 (p-value)
0.363
0.281
0.202
0.278
0.302
0.289
0.299
Hansen test (p-value)
0.704
0.583
0.638
0.649
0.744
0.564
0.529
Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. π
Model 1
Model 2
Model 3
Model 4
Model 5
Model 6
Model 7
AR2 (p-value)
0.363
0.281
0.202
0.278
0.302
0.289
0.299
Hansen test (p-value)
0.704
0.583
0.638
0.649
0.744
0.564
0.529
Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. Notes: The table contains the results estimated using the system GMM estimator. Variables in italics are instrumented
through the GMM procedure following Arellano and Bover (1995). Robust standard errors are in parentheses. *, **,
***Significant at 10, 5, and 1 per cent levels, respectively. © 2020 The Author(s). This open access article is distributed under a Creative Commons Attribution (CC-BY) 4.0 license. You are free to:
Share — copy and redistribute the material in any medium or format. Adapt — remix, transform, and build upon the material for any purpose, even commercially. The licensor cannot revoke these freedoms as long as you follow the license terms. Under the following terms:
Attribution — You must give appropriate credit, provide a link to the license, and indicate if changes were made. You may do so in any reasonable manner, but not in any way that suggests the licensor endorses you or your use. No additional restrictions
You may not apply legal terms or technological measures that legally restrict others from doing anything the license permits. © 2020 The Author(s). Appendix 2 results of the impact of multimarket contacts on bank profitability in Vietnam using RARROA The results of the impact of multimarket contacts on bank profitability in Vietnam using RARR The results of the impact of multimarket contacts on bank profitability in Vietnam using RARROA
π
Model 1
Model 2
Model 3
Model 4
Model 5
Model 6
Model 7
π t-1
0.214***
0.363***
0.21***
0.362***
0.611***
0.589***
0.239***
(0.079)
(0.134)
(0.069)
(0.128)
(0.11)
(0.099)
(0.052)
MMC1
−0.002
0.072
(0.028)
(0.067)
MMC2
−0.006
−0.008
(0.033)
(0.063)
MMC3
1.303
4.938
(0.866)
(3.261)
GEODIV
−10.646*** −13.76**
−9.647***
−11.818*
−8.021*
(3.245)
(5.335)
(3.5)
(6.322)
(4.719)
INEFF
−1.841***
−1.693
−1.414**
−1.259
−4.243
−3.151**
−2.499***
(0.667)
(1.234)
(0.641)
(1.339)
(5.014)
(1.382)
(0.832)
LLP
10.3
3.78
14.661
8.204
−19.625
−19.299**
27.968***
(9.314)
(11.111)
(9.875)
(14.986)
(37.641)
(8.965)
(7.883)
EQTA
2.531
7.56
3.016
6.592
−0.002
5.979**
−0.162
(2.398)
(5.051)
(2.519)
(4.333)
(3.367)
(2.402)
(2.942)
OWNER
2.368***
1.222
2.397***
2.015
−1.386
0.561
1.854***
(0.37)
(1.395)
(0.519)
(1.339)
(1.204)
(1.641)
(0.387)
LISTED
−1.895
3.628
−1.675
2.396
1.077
3.07
−0.556
(1.217)
(2.229)
(1.03)
(2.132)
(1.121)
(1.965)
(0.405)
FOREIGN
−6.987*
0.645
−1.024
−0.133
−6.739
34.466
−5.931
(3.867)
(10.381)
(5.09)
(14.698)
(9.648)
(28.149)
(4.191)
MERGER
−1.668**
−4.605**
−1.45**
−4.607***
−4.367
−13.711*
−2.851***
(0.705)
(1.77)
(0.664)
(1.585)
(2.902)
(8.101)
(1.011)
MMC*OWNER
0.069*
0.036
−3.262
(0.039)
(0.045)
(3.316)
MMC*LISTED
−0.212**
−0.145
−3.032
(0.081)
(0.088)
(1.939)
MMC*FOREIGN
−0.286
0.208
−44.549
(0.476)
(0.657)
(44.071)
MMC*MERGER
0.155
0.158*
30.093
(0.103)
(0.089)
(29.549)
HHI
3.026
20.73*
4.688
15.773
−3.158
−0.037
−1.202
(5.808)
(11.016)
(6.39)
(10.553)
(6.289)
(6.604)
(6.279)
RF
−0.02
−0.171
−0.3128
−0.075
−0.148
0.003
−0.25
(0.203)
(0.29)
(0.164)
(0.246)
(0.415)
(0.272)
(0.175)
GDP
12.404**
15.243
16.297**
19.674
−9.972
−24.959
10.914
(6.048)
(12.03)
(6.798)
(11.827)
(2.249)
(22.289)
(8.322)
Constant
2.092**
−1.584
1.31
−0.712
2.463
−0.567
2.299**
(0.919)
(2.22)
(1.003)
(1.833)
(2.249)
(1.466)
(1.094)
No. Obs
278
278
278
278
278
278
278
No. Groups
41
41
41
41
41
41
41
AR1 (p-value)
0.001
0.010
0.001
0.000
0.002
0.004
0.000
(Continued) π
Model 1
Model 2
Model 3
Model 4
Model 5
Model 6
Model 7 Page 20 of 21 Le, Cogent Economics & Finance (2020), 8: 1849981
https://doi.org/10.1080/23322039.2020.1849981 π
Model 1
Model 2
Model 3
Model 4
Model 5
Model 6
Model 7
AR2 (p-value)
0.363
0.281
0.202
0.278
0.302
0.289
0.299
Hansen test (p-value)
0.704
0.583
0.638
0.649
0.744
0.564
0.529
Notes: The table contains the results estimated using the system GMM estimator. Appendix 2 This open access article is distributed under a Creative Commons Attribution (CC-BY) 4.0 license. You are free to © 2020 The Author(s). This open access article is distributed under a Creative Commons Attribution (CC-BY) 4.0 license Adapt — remix, transform, and build upon the material for any purpose, even commercially. The licensor cannot revoke these freedoms as long as you follow the license terms. g
Attribution — You must give appropriate credit, provide a link to the license, and indicate if changes were made. You may do so in any reasonable manner, but not in any way that suggests the licensor endorses you or your use. No additional restrictions You may not apply legal terms or technological measures that legally restrict others from doing anything the license permits. Cogent Economics & Finance (ISSN: 2332-2039) is published by Cogent OA, part of Taylor & Francis Group. Publishing with Cogent OA ensures:
•
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Submit your manuscript to a Cogent OA journal at www.CogentOA.com Cogent Economics & Finance (ISSN: 2332-2039) is published by Cogent OA, part of Taylor & Francis Group. Publishing with Cogent OA ensures:
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Immediate, universal access to your article on publication
•
High visibility and discoverability via the Cogent OA website as well as Taylor & Francis Online
•
Download and citation statistics for your article
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•
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Page 21 of 21 cis Online Page 21 of 21
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English
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The Effects of Extensive Journal Writing on the Vietnamese High-School Students’ Writing Accuracy and Fluency
|
Journal of language and education
| 2,022
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cc-by
| 9,393
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Pham, V. P. H., Tran, T. T. T., & Nguyen, N. H. V. (2022). The Effects of Extensive
Journal Writing on the Vietnamese High-School Students’ Writing Accuracy
and Fluency. Journal of Language and Education, 8(1), 117-129. https://doi.
org/10.17323/jle.2022.12361 Pham, V. P. H., Tran, T. T. T., & Nguyen, N. H. V. (2022). The Effects of Extensive
Journal Writing on the Vietnamese High-School Students’ Writing Accuracy
and Fluency. Journal of Language and Education, 8(1), 117-129. https://doi. org/10.17323/jle.2022.12361 Journal of Language & Education Volume 8, Issue 1, 2022 Recived: May 2, 2021
Accepted: Feb 26, 2022
Published: Mar 31, 2022 Vu Phi Ho Pham1 , Tuyen Thi Thanh Tran2 , Ngoc Hoang Vy Nguyen1
1 Van Lang University
2 Tap Son High School Correspondence concerning this article should be addressed to Vu Phi Ho Pham, Faculty of Foreign
Languages, Van Lang University, 69/68 Dang Thuy Tram St., Ward 13, Binh Thanh Dist., Ho Chi Minh City,
Vietnam. E-mail: ho.pvp@vlu.edu.vn Background: The innovation of an extensive journal writing approach has made a big difference
in the field of teaching academic writing. Previous studies found mixed results relating to
whether journal writing could help students enhance their writing accuracy. Purpose: The purpose of the current study is to investigate whether extensive journal writing
(EJW) affects EFL high school students’ writing accuracy and fluency in the writing classroom. Method: Sixty students in one of the high schools located in Tra Vinh city participated in the
study. The quasi-experimental study was conducted in ten weeks. The participants were divided
into two groups, namely the control group and the experimental group. Students’ writing
papers, including pre-tests and post-tests, were collected for data analysis. Inter-raters were
employed for analytic rating scales and written errors analysis. Results: The results show that extensive journal writing had significant effects on the students’
writing performances compared to those of students in the control group. Additionally, the
number of words written in the students’ post-test was increasing. Implication: The current study’s findings were innovative to the body of literature as the EJW
could help students enhance their writing performances. Keywords:extensive writing, writing accuracy, writing fluency, journal writing Introduction the appropriate approaches have not been employed
sufficiently. Writing is regarded as the most difficult skill to master
when opposed to listening, speaking, and reading
(Pham & Truong, 2021). The students often encounter
difficulties in expressing ideas logically (Pham &
Nguyen, 2014; Pham and Do (2021). Second language
authors must not only brainstorm and coordinate
ideas, but they must also know how to confidently
communicate their ideas and their knowledge to
readers in a coherent writing product (Richard &
Renandya, 2002; Wyrick, 2021). In other words, L2
writers must learn how to choose words, structures,
and order ideas for coherence and cohesion. Hyland
(2019), Pham (2021a), and Pham, Huyen, and Nguyen
(2020) claim that student writers must have drafting
and revising techniques when working together in the
writing process to improve their writing quality. Even
for native language authors, writing is not an easy job. As a result, teaching writing necessitates significant
effort on the part of teachers. Pham and Bui (2021)
state that teaching writing skills in the Vietnamese
context is still problematic to many teachers because The appearance of an extensive journal writing
approach
(innovative
approach)
has
greatly
contributed to the writing teaching area. According to
Herder and Clements (2012), this approach is a
fluency-first approach, which motivates students to
engage in the learning writing process and improves
students’ writing fluency. Writing journals or regular
writing practices are considered activities to conduct
extensive journal writing (Ho & Duong, 2015). Students have opportunities to create their writings
without the teacher’s control. There is no interference
from the teacher; the students compose writing
journals by themselves (free topics, freestyle). Accordingly, several studies investigated the effects of
extensive journal writing on high school EFL students’
writing accuracy and fluency. Recently, many scholars (Luu, 2011; Hammond &
Derewianka, 2001) argued that it should be essential
to provide EFL students with different writing genres This article is published under the Creative
Commons Attribution 4.0 International License. Research Article Literature Review According to Yagcioglu (2015), learner autonomy
needs more concern from language teachers and
learners because it is helpful for students’ daily lives. Autonomy can be understood as the learner’s capacity
to control their learning process. Therefore, it depends
on each individual’s characteristics, and autonomous
degrees will vary from one to another (Benson, 2013). Benson also states that autonomy development can
be advantageous for learners in terms of language and
social responsibilities, and it will help the learners
achieve
learning
goals
better. Advocating
its
implementation, language teachers take responsibility
for creating opportunities to help develop students’
autonomy. Baghi et al. (2016) suggested using journal
writing as a practical device to boost autonomous
learning among students. This helps facilitate
teaching and learning writing (Marefat, 2002). In general, both teachers and students in EFL
classrooms pay first attention to writing accuracy (Ho
& Duong, 2015). The students’ writing performance is
usually assessed by focusing on students’ error
identification (Ellis et al., 2008). There have been
studies for the sake of increasing students’ writing
accuracy (Herder & King, 2012; Puengpipattrakul,
2009; Rokni & Seifi, 2014; Sholah, 2019) and student
writing fluency (Herder & Clements, 2012; Herder &
King, 2012; Liao & Wong, 2010; Ho & Duong, 2015). The results of these studies were mixed. Some found
that journal writing failed to help enhance students’
writing accuracy, but their grammatical performance
was better. Regarding writing fluency, most of the
research claimed that the writing journal enabled
students to write lengthier texts. Journal writing, a kind of extensive journal writing, is
supposed to bring learners many potential advantages
(Cisero, 2006). Students would have opportunities to
perform what they have learned in a meaningful
context. This means that students are able to
understand what they are doing. They use their prior
knowledge to express their feelings or thoughts rather
than memorize what they learned. Students utilize
their language to contextualize, which provides
learners with a natural learning environment. Fulwiler
(1982) states that journal writing does not only help
students reinforce their learning experience but also
promotes students’ creativity. As defined, journal
writing can be considered freestyle writing. Writers
can apply any genres they want. In other words, they
are not required to follow any model that they have
learned in the classroom. Research Article 117 VU PHI HO PHAM, TUYEN THI THANH TRAN, NGOC HOANG VY NGUYEN There needs further research to help solve the issues
of writing accuracy. Therefore, this study aims to
investigate whether extensive journal writing has any
effects on the high school students’ writing
performances in Tra Vinh city, Vietnam. in addition to narrative writing. According to Richard
and Renandya (2002), writing learners need to
approach various types of writing in an academic
learning context. This allows learners to experience
plenty of writing genres, which benefits them in their
higher education and career. F EXTENSIVE JOURNAL WRITING ON THE VIETNAMESE HIGH-SCHOOL STUDENTS’ WRITING the students composed longer texts. The study failed
to investigate whether the writing journals affected
students’ writing quality in terms of accuracy. and a post-test (the final writing papers). The results
revealed that the students who wrote their journals
improved their grammar and felt more confident
when writing in English. This study had a similar
limitation to Puengpipattrakul (2009)’s study. Luu’s (2010) study aimed to determine whether
students can reduce writing difficulties and promote
writing
skills
by
experiencing
journal
writing
activities. The research participants were eighty-five
second-year students at the Faculty of English
Linguistics and Literature of the University of Social
and Humanities in Ho Chi Minh City. The experimental
group students had to write extensively in the
classroom, journals outside the classroom, and even
do homework. Writing tests were used to assess
students’ writing proficiency levels. The findings
showed that extended journal writing activities might
help inspire students’ writing and strengthen the
relationship
between
instructors
and
students. Though inspiring the students to write was an
important factor in helping students overcome their
writing difficulties, writing skills should be measured
quantitatively to guarantee their improvement. In order to help students improve their writing
fluency, Liao and Wong (2010) conducted a study of
dialogue journal writing on second language learners’
writing fluency, reflection, and motivation. Forty-one
students in grade 10 from a school in Taiwan were
invited to be the participants in the study. Each
student wrote two journals a week and produced 24
journal entries in total. The researchers utilized
qualitative
and
quantitative
data
instruments,
including pre-tests, post-tests, questionnaires, and
interviews. The results illustrated that students’
writing fluency revealed positive changes. Also,
students gained higher writing awareness. Another
finding of the study was that learners had chances to
self-reflect their thoughts by looking back at their
journals. Still, helping students’ writing fluency was
one of the good ways in the writing classrooms, but
writing accuracy should not be out of concern. Herder and King (2012) aimed to identify the effects
of extensive journal writing on EFL learners regarding
balance, fluency, accuracy, or complexity. The seventy
all-girls Catholic high schools in Osaka were grouped
into three classes. The researchers designed both
qualitative and quantitative methods to serve their
study. The research result stated that extensive
journal writing was seen as a tool to express ideas and
opinions. Therefore, students had a reason to write in
a meaningful situation. Literature Review Journal writing is hoped to be a teaching alternative
in EFL classrooms because it helps the students
conduct more writing practices under the common
belief that practice makes perfect. Puengpipattrakul
(2009) conducted action research using journal
writing to develop grammatical accuracy in writing. The participants were first-year university students
from Thailand. The researchers analyzed the data
from students’ journal entries and the interview. The
findings revealed that the students only improved
grammar accuracy. However, the students felt more
self-confident in grammar use in terms of verb tenses. Additionally, the students could self-reflect on their
grammar points, which gradually enhanced students
grammatical accuracy. The current study was limited
in helping students enhance their grammar accuracy,
not writing quality in general. In Vietnamese high school contexts, Truong and
Pham (2017) found that EFL teachers were not
successful in facilitating students in the writing
classroom. The teachers from eight selected high
schools in Ho Chi Minh city considered grammatical
features and model text as primary writing concerns. Writing instructions in Vietnamese classes are still in
favor of the product writing approach. This kind of
practice might limit the students’ creativity in writing
and lead to slow writing fluency. Furthermore, Pham
and Do’s (2019) findings revealed that when students
compose their essays, they usually make errors in four
types: tenses, collocations, spellings, and verb forms. In order to see if Journal writing could trigger students
to develop writing skills, Rokni and Seifi (2014)
conducted a study to examine the efficacy of dialogue
journal writing on students’ grammar development
and confidence. The experiment was done at Golestan
university in Iran. Sixty-eight participants aged from
18 to 23 were randomly chosen to take part in the
study. The students devoted 12 sessions to dialogue
journal writing. The participants wrote a journal per
session during the Spring term. Thus, there were 12
journal
entries
in
total. The
data
collection
instruments were a pre-test (the 1st writing papers) 118 F EXTENSIVE JOURNAL WRITING ON THE VIETNAMESE HIGH-SCHOOL STUDENTS’ WRITING The participants felt their
improvement and self-efficacy. Moreover, the findings
showed that higher-proficient students tended to turn
to complexity when they felt confident in fluency
while lower-proficient students focused on accuracy. Also, the learners could write down what they thought
quickly when they attained a certain level of
confidence. The study failed to measure the students’
writing differences between the different conditions. Herder and Clements (2012) conducted a study
investigating the effects of a fluency-first approach
(extensive journal writing) on Japanese students’
writing fluency and determining students’ attitudes
toward this approach. The students with a two-year
writing class (grades 11 and 12) were chosen as the
participants in their research. The students in grade
11 took part in ten-minute writing training in a
conventional method. In contrast, the twelfth-grade
students practiced writing about topics for university
exam preparation. The findings showed that students’
writing fluency improved dramatically in terms of
writing length and idea expression. Importantly,
students found it beneficial for them to develop their
self-expression, and they felt more motivated in
writing. This study had a similar limitation to Liao
and Wong (2010)’s study. Recently, Sholah (2019) conducted a study to see if
extensive journal writing could help students
overcome difficulties in writing and improve their
writing skills. Sixty second-year students, ages 17-18,
from the Faculty of English Department Education of
the IAI Al-Qolam Gondanglegi participated in the
study. They were divided into two groups. The study
found that extensive journal writing was effective in
helping
students’
motivation
and
significantly
enhanced their writing abilities. Extensive journal
writing was a reasonable means to build teacher and
student
communication. The
study
failed
to
investigate whether extensive journal writing could
impact students’ writing fluency. Ho and Duong (2015) researched to seek the common
errors in students’ writing journals and determine the
effects of extensive journal writing on students’
writing fluency. One hundred fifteen first-year English
major students from the Faculty of Foreign Languages
at Ho Chi Minh City university were chosen as the
study participants. The study lasted 15 weeks, and
each student had to complete five writing journals a
week. The study results indicated that most students
had four common errors (tenses, collocation, spelling,
and verb forms). Teaching Procedures Students in class one (control group) had five writing
lessons with different topics (post office, nature,
national park, recreation, space) in the textbook
(Ministry of Education and Training, 2006) in
Semester 2 of the school year 2019-2020. The writing
lesson took place every two weeks, and it lasted 45
minutes. The writing activities in the classrooms were
similar to those conducted in the experimental group. The writing process approach was employed as the
regular curriculum. The lesson usually started with a
model text. Then the students worked together in a
group to brainstorm ideas about a topic to make an
outline. After that, each student composed a
paragraph based on the ideas developed in an outline. When the students finished their writing, they shared
their papers with their group members to do the peer
feedback activities. According to Bitchener (2008),
those students who received peer feedback would
improve their writing accuracy. The revising stage was
conducted at home to hand to the teacher at the
subsequent class meeting. Then the teacher gave
feedback on the student’s paper. The students in the
control group were encouraged to do writing exercises
in the textbook at home. Materials and Methods Students in class two (experimental group) also
studied the same textbook with the same topics (post
office, nature, national park, recreation, space) and
took the same steps as the control group. Every two
weeks, a writing session was conducted in the
classroom for 45 minutes. The writing tasks in the
control group were identical to those in the
experimental group. One distinction between the two
groups was that students in the experimental group
were assigned two writing journals each week as
homework rather than writing exercises from the
textbook. The students chose any topics they liked to
write about. To check whether the students wrote
their journals, the teacher asked them to bring their
notebooks to school once a week. The teacher did not
correct the students’ mistakes in the students’ writing
journals; she just gave comments to show that the
teacher agreed or disagreed with something the
learner felt strongly about. The teacher took notes
of students’ common errors and then gave more
exercises relating to their errors to practice in
class. To encourage students to participate in the
journal writing activity eagerly, the teacher would
add two plus points for students who completed Research Questions The current study addressed the following two
questions: 1. To what extent does extensive journal writing
impact EFL students’ writing accuracy? 2. To what extent does extensive journal writing
impact EFL students’ writing fluency? F EXTENSIVE JOURNAL WRITING ON THE VIETNAMESE HIGH-SCHOOL STUDENTS’ WRITING The second finding showed that
extensive journal writing improved students’ writing
fluency assessed through writing journals’ length— 119 VU PHI HO PHAM, TUYEN THI THANH TRAN, NGOC HOANG VY NGUYEN In short, previous studies found mixed results relating
to whether journal writing could help students
enhance their writing accuracy. Most researchers
investigated if it helps students improve their
grammatical performances. In a sense, grammar
improvement did not guarantee writing accuracy
because it did not help students change the content
and organization, which lead to better writing quality. Moreover, there are limited research studies on high
school students’ writing performances in both
accuracy and fluency. At the same time, few studies in
this field have been conducted in the Mekong Delta
region. From these reasons and the gaps in the
literature review, the researchers determine to seek
answers for the effects of journal writing on EFL high
school students’ writing accuracy and fluency. Writing
accuracy in this paper refers to the total scores rated
by the inter-raters and the writing errors, including
spelling, word order, subject-verb agreement, tenses,
and word forms, that the students have made in their
writing papers. Writing fluency, in this paper, refers to
the number of words written in each paper. errors, but the most common mistakes were Spelling,
Word Order, Subject-Verb agreement, Tense, and Word
Form. Participants were divided into two groups: the
control group with 30 students (19 females and 11
males) and one experimental group with 30 students
(21 females and nine males). Inter-raters Brown (2004) stated that the tests had to be free of
bias and distortion for practical measurements. According to Hughes (1989), the subjective test
involved the personal judgment of the examiner. It
was probably that subjectivity that might affect the
scoring process. The researchers invited one English
teacher to evaluate the students’ writing papers to
ensure the test scores’ subjectivity. The first rater was
the teacher teaching two classes of the research. The
other was an English teacher who had the same
English proficiency as the rater one. Students’ writing
papers were photocopied into two copies. Every rater
kept one copy and marked it separately. Then, the
researchers compared the marks and calculated the
means. If there were significant differences between Participants The current study used a quasi-experimental design
since the study investigated the effects of the
extensive journal writing approach on EFL learners’
fluency and accuracy. The study was conducted at Tap
Son high school in Tra Vinh city. The two intact
classes chosen for the study were among eleven
English classes with a total of three hundred and
eighty-five students. Sixty students from the two
English classes (20 males and 40 females) in grade 11
were chosen as the participants in the study. All the
classes studied the same textbook of Tieng Anh-11 by
Hoang et al. (2006), approved by the Ministry of
Education & Training. To make the study more
convenient, the researcher/teacher chose the two
eleventh-grade
classes
in
2019-2020
to
be
participants. The two classes were at the same level,
and they had been learning for six years. However,
they felt anxious when learning English, especially
writing skills. The students could not compose their
writing as expected in the regular curriculum. Besides,
the students’ writing texts were filled with several 120 the raters, the raters would discuss and give the final
scores. their homework on time. The teacher collected the
students’ notebooks (writing journals) for analysis
at the end of the semester. The writing teaching
approach applied in this study was the product
writing approach. It was conducted in both groups
(control group and experimental group). To ensure that the test scores were reliable, the raters
had to base on the criterion to assess students’ writing
products. The rubrics applied for evaluating students’
writings were discussed by the English group members
and adapted to evaluate students’ writing papers for
two years at the researchers’ school. The Cronbach’s
Alpha of the inter-raters for evaluating students’ pre-
tests and post-tests of the control group reached .91
and .93, and those of the experimental group reached
.94 and .90. Data Analysis The researchers prepared checklists to compare the
accuracy of students’ writing products. The two raters
assessed students’ writing papers by counting the
number of spelling errors, subject-verb agreement,
tense, word order, and word form. The students’ writing errors were identified as the
following examples in Table 1. Table 1
The examples for error identification
Student’s answer
1.There are for people in my family
SP
2. She like playing bestminton. My father is a worker. SV SP
3. He like playing games video. My sister is a student. SV WO
4. She studied in Tapson hight school
T SP
5. I am usually going smim at weekend. T WF
Coding for errors
SP: Spelling
WO: Word Order
SV: Subject-Verb agreement
T: Tense
WF: Word Form
*Student’s writing paper Table 1
The examples for error identification
Student’s answer
1.There are for people in my family
SP
2. She like playing bestminton. My father is a worker. SV SP
3. He like playing games video. My sister is a student. SV WO
4. She studied in Tapson hight school
T SP
5. I am usually going smim at weekend. T WF
Coding for errors
SP: Spelling
WO: Word Order
SV: Subject-Verb agreement
T: Tense
WF: Word Form
*Student’s writing paper Results One hundred twenty writing papers were collected
and assessed in this current research. Sixty writing
papers (30 pre-tests and 30 post-tests) were from the
control group, and sixty other papers were from the
experimental group (30 pre-tests and 30 post-tests). The average number of words of each writing in the
control group was 52 words (M=52.667, SD=13.829),
while the average number of a writing paper in the
experimental group was 52 words (M=52.466,
SD=13.521). To answer research question 1, the researchers
examined each student’s results in the control group
for their writing quality and writing accuracy. Then,
students’ writing performance in the experimental
group was also evaluated to confirm the correctness
of using the target language. The last step was to
compare students’ errors between the control and
experimental groups. The results of the Pair-sample
t-test are illustrated in the following Table 3. Relating to the comparison of the pre-test results
across groups in terms of the students’ writing quality,
the researchers ran an Independent-sample t-test to
compare the result of pre-tests between the control
group and experimental group before intervention. The purpose of this stage was to check whether
students’ writing levels of the two groups were not
different. The results from Table 3 showed that when looking at
the mean scores of pre-tests, each student’s average
score was 5.1 marks (M=5.100), and the average of
each post-test was 5.2 marks (M=5.233). It seemed
that the students got a slight improvement in writing
scores (0.1). However, the result of a Pair-Sample
t-test indicated that students’ writing performance in
the control group revealed no differences in statistics
(t= -.941; df=29; p=.354). Table 2 compares the scores of the students’ pre-tests
in the two groups. As shown in Table 2, thirty texts in
the control group and thirty writing papers in the
experimental group were compared. The control
group’s mean score is 5.10, and the mean score of the
experimental group is 5.13. It seemed that the Table 1 The examples for error identification The examples for error identification check whether there were any changes. Finally, an
Independent Sample t-test was run to compare the
mean scores between the two groups. Simultaneously, the mean scores of errors were run by
SPSS software (version 22). Finally, to compare the
mean score of students’ writing accuracy in the
control group between pre-tests and post-tests, a
Pair-Sample T-Test was used and then compared the
mean scores of students’ writing accuracy between
pre-tests and post-tests of the experimental group to For fluency evaluation, writing checklists were also
composed in advance. The item in the checklists
contained the number of words. The mean number of 121 VU PHI HO PHAM, TUYEN THI THANH TRAN, NGOC HOANG VY NGUYEN experimental group’s mean score was a little bit
higher than that of the control group. However, the
Independent-sample t-test indicated that the control
group students’ writing performance was the same as
that of experimental group one (t= -.09; df= 58; p=.92). This was, before the intervention was exercised,
students’ writing skills in both the control and
experimental groups had no significant differences. Therefore, if there were any changes in students’
writing accuracy, it would be ascribed to the
intervenor’s involvement. words was calculated with the help of SPSS software
after the two raters had marked students’ writing
papers. Then, to compare the mean score of students’ writing
fluency in the control and experimental groups, a
Pair-Sample T-test was used. Table 2 Scores of pre-tests of students in the control and experimental groups
Variables
N
M
SD
MD
t
df
Sig. Control Group
30
5.10
1.94
-.033
-.09
58
.928
Experimental Group
30
5.13
1.33
*Independent - Sample T-Test
Table 3
Pre-tests and post-tests of students’ writing scores in the control group
Variables
N
M
SD
t
df
Sig. Pretests
30
5.100
1.493
-.941
29
.354
Posttests
30
5.233
1.165
*Pair-Sample t-test Scores of pre-tests of students in the control and experimental groups
Variables
N
M
SD
MD
t
df
Sig. Control Group
30
5.10
1.94
-.033
-.09
58
.928
Experimental Group
30
5.13
1.33
*Independent - Sample T-Test Scores of pre-tests of students in the control and experimental groups To What Extent does Extensive Journal Writing
Impact EFL Students’ Writing Accuracy? To determine more effects of extensive journal writing
on EFL students’ writing, the researchers examined XTENSIVE JOURNAL WRITING ON THE VIETNAMESE HIGH-SCHOOL STUDENTS’ WRITING THE EFFECTS OF EXTENSIVE JOURNAL WRITING ON THE VIETNAMESE HIGH-SCHOOL STU The result of pair 4 (tense) revealed that the mean
score of tense errors of pre-test in each student’s
writing paper was 1.8 errors (M= 1.800) while that of
post-test was 1.7 errors (M= 1.733). The number of
errors decreased (0.1). However, a Pair-sample t-test
reported that the pre-test and post-test errors had no
statistically significant difference (t=.628; df=29;
p=.53). students’ writing accuracy in pre-tests and post-tests
of the control group. In the first step of the analysis
process, the researchers analyzed students’ writing
errors in the control group to check for any changes
after a ten-week study by conducting a Pair-Sample
T-Test. The results are shown in Table 4 below. As shown in Table 4, the results of a Pair-Sample
t-test illustrated that the mean score of the spelling
errors on the pre-test was 4.2 errors (M=4.166), and
the mean score of spelling errors on the post-test was
4.2 errors (M=4.233). It seemed that the accuracy in
terms of spelling remained the same after ten weeks
(t=-.494; df= 29; p= .625). As shown in Table 4, a Pair-Sample T-Test result
illustrated that each student’s word form errors on the
pre-test were 2.5 errors (M=2.567), and the mean
score of word form errors on the post-test was 2.5
errors (M=2.500). It seemed that the accuracy in terms
of word form was not different after a period of ten
weeks (t=.626; df= 29; p= .536). The result of Word-order, pair 2, showed that the
mean number of word-order errors for the pre-test
was 2.6 errors (M=2.633), and that of the post-test was
also 2.6 errors (M=2.566). It could be said that the
mean scores of word-order errors of pre-tests and
post-tests were not significantly different (t=.812; df=
29; p= .42). In general, the results from Table 4 illustrated that
the students’ writing accuracy in the control group
had minor changes. Still, the results of a Pair-sample
t-test indicated no significant difference between the
pre-tests and the post-tests. Comparing the Writing Quality of Pre-tests and Post-
Tests of the Experimental Group Regarding the subject-verb agreement (pair 3), the
result from table 4 illustrated that the mean score of
each student’s writing errors (subject-verb agreement)
on the pre-test contained 2.7 errors (M=2.700), while
the mean score of that post-test was 2.6 errors
(M=2.633). It meant that students’ errors seemed to
be reduced by 0.1 error for this part. However, the
result of a Pair-sample t-test indicated no significant
difference between the pre-test and post-test errors
(t=.571; df=29; p=.57). Students’ writing quality of pre-tests was compared
with that of post-tests to determine the effects of
writing journal practice on EFL students after the
implementation. In other words, this comparison
aimed to investigate if an extensive journal writing
approach affects each student’s writing skill. Table 5
presents the results of a Pair-Sample t-test. Table 4 123
Table 4
Writing accuracy of pre-tests and post-tests of the control group
Variables
N
M
SD
t
df
Sig. Spelling
Pre
30
4.167
.6989
-.494
29
.625
Post
30
4.233
.6789
Word Order
Pre
30
2.633
.490
.812
29
.423
Post
30
2.567
.504
Subject-Verb Agreement
Pre
30
2.700
.466
.571
29
.573
Post
30
2.633
.490
Tenses
Pre
30
1.800
.406
.628
29
.536
Post
30
1.733
.449
Word form
Pre
30
2.567
.568
.626
29
.536
Post
30
2.500
.508
*Pair Sample t-test
Table 5
Pre-tests and post-tests of students’ writing scores in the experimental group
Variables
N
M
SD
t
df
Sig. Pretests
30
5.133
1.332
-9.893
29
.000
Posttests
30
6.333
1.700
*Pairs Samples t-test Writing accuracy of pre-tests and post-tests of the control group
Variables
N
M
SD
t
df
Sig. Spelling
Pre
30
4.167
.6989
-.494
29
.625
Post
30
4.233
.6789
Word Order
Pre
30
2.633
.490
.812
29
.423
Post
30
2.567
.504
Subject-Verb Agreement
Pre
30
2.700
.466
.571
29
.573
Post
30
2.633
.490
Tenses
Pre
30
1.800
.406
.628
29
.536
Post
30
1.733
.449
Word form
Pre
30
2.567
.568
.626
29
.536
Post
30
2.500
.508
*Pair Sample t-test Writing accuracy of pre-tests and post-tests of the control group Table 3 Pre-tests and post-tests of students’ writing scores in the control group
Variables
N
M
SD
t
df
Sig. Pretests
30
5.100
1.493
-.941
29
.354
Posttests
30
5.233
1.165
*Pair-Sample t-test Pre-tests and post-tests of students’ writing scores in the control group 122 F EXTENSIVE JOURNAL WRITING ON THE VIETNAMESE HIGH-SCHOOL STUDENTS’ WRITING Comparing the writing accuracy of pre-tests and
post-tests of the experimental group After the implementation, the researchers analyzed
students’ writing errors in the experimental group to
check if there were any changes by conducting a Pair-
Sample T-test. The results are shown in Table 6 below. As shown in Table 6, a Pair-Sample T-Test result
indicated that the mean score of each student’s word
form errors on the pre-test was 2.5 errors (M=2.567),
and the mean score of word form errors on the post-
test was 1.4 errors (M=1.467). It seems that the
accuracy in word form remained the same after ten
weeks (t=6.279; df= 29; p= .00). In short, the results
from Table 6 showed that the students’ writing
accuracy in the experimental group had improved
dramatically. The results of a Pair-sample t-test
indicated there was a significant difference between
the pre-tests and the post-tests. As shown in Table 6, the results of a Pair-Sample
T-test illustrated that the mean score of the spelling
errors on the pre-test was 4.2 errors (M=4.200), and
the mean score of spelling errors on the post-test was
2.5 errors (M=2.533). It seemed that the accuracy in
terms of spelling was significantly different after ten
weeks (t=12.836; df= 29; p= .00). The result of Word-order showed that the mean
number of word-order errors in the pre-test was 2.7
errors (M=2.700), while the mean number of word-
order errors in the post-test was 1.8 errors (M=1.800). It indicated that the mean score of word-order errors
of pre-tests and post-tests was significantly different
(t=7.449; df= 29; p= .00). Table 5 Pre-tests and post-tests of students’ writing scores in the experimental group
Variables
N
M
SD
t
df
Sig. Pretests
30
5.133
1.332
-9.893
29
.000
Posttests
30
6.333
1.700
*Pairs Samples t-test Pre-tests and post-tests of students’ writing scores in the experimental group 123 VU PHI HO PHAM, TUYEN THI THANH TRAN, NGOC HOANG VY NGUYEN mean score of that post-test was 1.5 errors (M=1.533). It meant that students’ errors for this part were
reduced by 1.1 errors. The result of a Pair-sample
t-test indicated a significant difference between the
pre-test and post-test errors (t=9.109; df=29; p=.00). As shown in Table 5, the results of a Pair-Sample
t-test displayed that the mean score of the pre-test
writing was 5.1 marks (M= 5.1333), and that of the
post-test was 6.3 marks (M=6.333). The post-test
result is 1.2 marks higher than that of the pre-test
(Mpre=5.1333 and Mpost=6.333). Simultaneously, there
were significant differences between each student’s
writing quality in pre-tests and post-tests (t= -9.893;
df= 29; p<.00). This revealed that each student
performed better after journal writing practice for ten
weeks. The result of Tenses revealed that the mean score of
tense errors on the pre-test in each student’s writing
paper is 1.8 errors (M= 1.833), while that of the post-
test is 1.3 errors (M= 1.367). The number of errors
tended to decrease (0.5). The result of a Pair-sample
t-test reported that the number of errors in the pre-
test and post-test had statistically different (t=4.474;
df=29; p=.00). Table 7 Table 7
Students’ writing accuracy of the control group and experimental group
Variables
N
M
SD
MD
t
df
Sig. Spelling
Control
30
4.233
.6789
1.700
9.680
58
.000
Experimental
30
2.533
.6815
Word Order
Control
30
2.567
.504
.767
5.624
58
.000
Experimental
30
1.800
.551
Subject-Verb Agreement
Control
30
2.633
.490
1.100
8.540
58
.000
Experimental
30
1.533
.507
Tense
Control
30
1.733
.449
.367
3.019
58
.000
Experimental
30
1.367
.490
Word form
Control
30
2.500
.508
1.033
6.100
58
.000
Experimental
30
1.467
.776
*Independent - Sample t-test The result of Tenses revealed that the mean score of
tense errors of each student’s writing paper in the
control group was 1.7 errors (M= 1.733), and that of
the experimental group was 1.4 errors (M= 1.367). The
difference in the errors was 0.3 errors. The result of an
Independent-sample t-test reported that the number
of errors of each student between the two groups had
a statistically significant difference (t=3.019; df=58;
p<.05). As shown in Table 7, the results of an Independent-
Sample T-Test illustrate that the mean score of the
spelling errors of the control group was 4.2 errors
(M=4.233), and the mean score of each student’s
spelling errors in the experimental group was 2.5
errors (M=2.533). The number of students’ spelling
errors in the control group was higher (1.7 errors)
than that of students in the experimental group. An
Independent-Sample
T-Test
results
showed
a
significant difference between the two groups
(t=12.836; df= 29; p< .00). Therefore, the results
indicated that the accurate spelling of students’
writing in the experimental group was significantly
different from that of students in the control group
after a period of ten-week implementation. As shown in Table 7, the results of an Independent-
Sample T-Test illustrated that each student’s word
form errors in the experimental group were 1.5 errors
(M=1.467), and the mean score of word form errors in
the control group was 2.5 errors (M=2.500). It
illustrated that the accuracy in terms of word form of
students with journal writing outweighed the control
group after ten weeks (t=6.100; df= 58; p< .05). The result of Word-order showed that the mean
number of word-order errors of each student in the
control group was 2.6 errors (M=2.567), while the
mean number of word-order errors of each student in
the experimental group was 1.8 errors (M=1.800). Table 7 It
could be said that the mean scores of word-order
errors of the control group and experimental group
were significantly different (t=5.624; df= 58; p<.00). The students with journal writing practice had an
improvement in their grammatical accuracy. In short, the results from Table 7 illustrated that the
students’ writing accuracy in the experimental group
had improved dramatically. The results of an
Independent-sample t-test indicated a significant
difference between the students in the experimental
group and the control group. F EXTENSIVE JOURNAL WRITING ON THE VIETNAMESE HIGH-SCHOOL STUDENTS’ WRITING THE EFFECTS OF EXTENSIVE JOURNAL WRITING ON THE VIETNAMESE HIGH-SCHOOL STUDE Comparing the Writing Accuracy of the Control
Group and Experimental Group After applying an extensive journal writing approach,
writing accuracy from two groups was also analyzed. The researchers would like to determine if there were
any differences in terms of accuracy between the two
groups. An Independent - Sample t-test was conducted
to compare the differences. The result of the
Independent-sample t-test is shown in Table 7 as
follows. Regarding the subject-verb agreement, the result from
table 6 illustrated that the mean score of each
student’s writing errors (subject-verb agreement) of
the pre-test contained 2.6 errors (M=2.667), while the
Table 6. Students’ writing accuracy of pre-tests and post-tests of the experimental group Students’ writing accuracy of pre-tests and post-tests of the experimental group
Variables
N
M
SD
T
Df
Sig. Spelling
Pre
30
4.200
.714
12.836
29
.000
Post
30
2.533
.681
Word Order
Pre
30
2.700
.466
7.449
29
.000
Post
30
1.800
.551
Subject-Verb Agreement
Pre
30
2.667
.547
9.109
29
.000
Post
30
1.533
.507
Tenses
pre
30
1.833
.379
4.474
29
.000
Post
30
1.367
.490
Word form
Pre
30
2.567
.626
6.279
29
.000
Post
30
1.467
.776
*Pair Samples t-test 124 To What Extent does Extensive Journal Writing
Impact EFL Students’ Writing Fluency? Regarding the subject-verb agreement, the result from
table 7 illustrated that the mean score of each
student’s writing errors (subject-verb agreement) in
the control group was 2.6 errors (M=2.633). In
comparison, the mean score of that of each student in
the experimental group was 1.5 errors (M=1.533). It
meant that the students in the experimental group
reduced 1.1 errors for this part. An Independent-
sample t-test indicated a statistically significant
difference between the errors of the experimental
group and the control group (t=8.540; df=58; p<.00). The researchers tallied the number of words written
by the students in the pre-test and post-tests to
respond to this research question. Unlike the analysis
of students’ written errors, this research question only
attempted to measure the length of the students’
written papers. Table 8 presents the comparison of
the control group students’ writing fluency between
the pre-test vs. Post-tests. 125 VU PHI HO PHAM, TUYEN THI THANH TRAN, NGOC HOANG VY NGUYEN writing fluency. The statistics are presented in Table
10. As seen in Table 8, on average, each student in the
control group composed 52.66 words in the pre-tests
(M = 52.667; SD = 13.83). For the written papers in the
post-test, each of them wrote 53.26 words (M = 53.266;
SD = 12.506). The results of the pair-sample t-test (t=
-942; df= 29; p= .354; p>.05) indicated that there was
no statistically significant difference between the two
groups. In order words, the students’ writing fluency
in the post-test control group was not statistically
different compared to the pre-test. Table 8 compares
the students’ writing fluency in the experimental
group between the pre-test vs. Post-test. As seen in Table 10, the mean scores of the control
group and experimental group were different
(M=53.267; SD=12.506 and M=73.267; SD=16.737). The result showed that the control group students’
writing performance significantly differs from that of
the experimental one (t=-5.234; df=58; p<.05).The
students in the experimental group achieved higher
writing fluency in terms of the number of words than
those in the control group. As illustrated in Table 9, a Pair-Sample t-test was
performed to investigate whether students’ writing
fluency in pre-tests (M=52.467; SD=13.520) differed
from post-tests (M=73.267; SD=16.737). The paired
sample t-test showed a statistically significant
difference between the two mean scores (t= -12.686;
d=29; p<.05). The length of the students’ writing text
for the pre-tests was shorter than that of the post-
tests. Students could produce longer paragraphs
within the same length of writing time in the post-
test. Discussion From the reported results, the researchers could
conclude that journal writing practice implementation
brought positive effects on EFL learners’ writing
quality in terms of writing accuracy and fluency. The
post-test findings illustrated that the students’
writing achievement in the experimental group was
much better than those in the control group. This
meant that the statistical results helped the
researchers confidently conclude the efficacy of
journal writing practice on EFL students’ writing
performance. It went the same as the hypothesis that
the
extensive
journal
writing
approach
could
positively affect students’ writing performance. The Finally, to examine the students’ writing fluency of
the control and experimental groups, an Independent
Sample T-Test was conducted to identify whether the
two groups had any statistical differences in students’ Table 8 126
Students’ writing fluency in pre-tests and post-tests of the control group
Variables
N
M
SD
t
df
Sig. Pretests
30
52.667
13.829
-.942
29
.354
Posttests
30
53.267
12.506
*Pair Samples t-test
Table 9
Students’ writing fluency in pre-tests and post-tests of the experimental group
Variable
N
M
SD
MD
t
df
Sig. Pretests
30
52.467
13.520
-12.686
29
.000
Posttests
30
73.267
16.737
Note: *Pair Samples t-test
Table 10
Students’ writing fluency in two groups after the implementation
Variable
N
M
SD
MD
t
df
Sig. Control group
30
53.267
12.506
-20.00
-5.234
58
.000
Experimental group
30
73.267
16.737
-20.00
Note: * Independent Sample t-test Students’ writing fluency in pre-tests and post-tests of the control group
Variables
N
M
SD
t
df
Sig. Pretests
30
52.667
13.829
-.942
29
.354
Posttests
30
53.267
12.506
*Pair Samples t-test Students’ writing fluency in pre-tests and post-tests of the control group
Variables
N
M
SD
t
df
Sig. Pretests
30
52.667
13.829
-.942
29
.354
Posttests
30
53.267
12.506
*Pair Samples t-test Students’ writing fluency in pre-tests and post-tests of the control group Table 9 Students’ writing fluency in pre-tests and post-tests of the experimental group
Variable
N
M
SD
MD
t
df
Sig. Pretests
30
52.467
13.520
-12.686
29
.000
Posttests
30
73.267
16.737
Note: *Pair Samples t-test Students’ writing fluency in pre-tests and post-tests of the experimental group
Variable
N
M
SD
MD
t
df
Sig. Pretests
30
52.467
13.520
-12.686
29
.000
Posttests
30
73.267
16.737
Note: *Pair Samples t-test Students’ writing fluency in pre-tests and post-tests of the experimental group Table 10 Students’ writing fluency in two groups after the implementation
Variable
N
M
SD
MD
t
df
Sig. Control group
30
53.267
12.506
-20.00
-5.234
58
.000
Experimental group
30
73.267
16.737
-20.00
Note: * Independent Sample t-test Students’ writing fluency in two groups after the implementation 126 F EXTENSIVE JOURNAL WRITING ON THE VIETNAMESE HIGH-SCHOOL STUDENTS’ WRITING THE EFFECTS OF EXTENSIVE JOURNAL WRITING ON THE VIETNAMESE HIGH-SCHOOL STU students’ progress was obviously demonstrated
through the students’ writing scores. After the
implementation, the students performed better in
their writing skills. This demonstrated that the
students made great efforts in their learning. Thus,
the effects of the intervention on the students’
achievement could be confirmed. This finding
contradicted Puengpipattrakul’s (2009) study, which
found that journal writing failed to help students
improve their writing quality, except for grammar
accuracy. Similarly, Rokni and Seifi (2014) also found
that journal writing could help students perform
grammar better, and students felt more confident in
writing in English. Huelser and Metcalfe (2011)
claimed that they could accomplish various concepts
relating to the errors when students generated their
errors. In addition, Kessler (2021) found that journal
writing helped students’ metacognitive awareness,
and the students evaluated this activity as beneficial
and enjoyable. Similarly, Nückles et al. (2020) found
that writing journals created a motivational effect on
the students’ learning processes, and it raised the
cognitive awareness of the students in the quality of
peer feedback to help each other improve their writing
outcomes. Previous research showed that extensive journal
writing greatly affected the students’ writing fluency
in terms of length (Herder & King, 2012; Luu, 2010;
Ho & Duong, 2015). The findings of the current
research confirmed those findings of the previous
studies. The extensive journal writing provided
suitable conditions for the students to involve in
learning activities in the classroom. That was to say,
the more the students wrote, the better they became. In other words, practice makes perfect (Hagger et al.,
2008). Previous research showed that extensive journal
writing greatly affected the students’ writing fluency
in terms of length (Herder & King, 2012; Luu, 2010;
Ho & Duong, 2015). The findings of the current
research confirmed those findings of the previous
studies. The extensive journal writing provided
suitable conditions for the students to involve in
learning activities in the classroom. That was to say,
the more the students wrote, the better they became. Table 10 In other words, practice makes perfect (Hagger et al.,
2008). In general, the findings which were discussed in the
present study were relevant to some previous studies. However, the findings from the current study revealed
that journal writing’s effects also worked effectively
with EFL students in a high school, which contributed
to the body of literature. Additionally, the present
study results ensured that extensive journal writing
could help enhance students’ writing performance in
both writing accuracy and fluency. This added
stronger conclusions that previous research had not
confirmed. Additionally, the researchers hoped that
the findings would attract more concerns for further
studies relating to journal writing activities. In addition to the findings for research question 1, it
could be seen from the above data analysis that the
number of errors in each students’ writing paper was
less than that in the pre-test after the implementation. That meant the students were able to limit making
mistakes when producing writing papers, and they felt
more aware of their grammatical accuracy. The
students might self-correct their errors as they
composed their journal writing regularly. This
revealed that by implementing extensive journal
writing, the teachers could place the “student-
centered” approach in the classroom, and the teacher
gain cooperation among the students in the learning
activities, which could lead to better results of studies
(Pham & Nguyen, 2020; Pham, 2021b). Pedagogical implications Based on the findings, the current study presented
some pedagogical implications. First, the writing
teachers should employ journal writing practices for
the students, especially those who have difficulties
writing in English. Learners experience learning
activities regularly, and then they can construct
knowledge or skills from their capacity. The practice
was a process of helping learners grow themselves
and self-adjust their actions to meet their learning
objectives. The theories that the students learned in
the lessons provided students with basic foundations
for their learning, whereas bringing theories into
practical situations and using them as routines would
help students develop their learning autonomy. In
other words, as students habitually utilize English in
their real life, they would develop their language use
naturally. Also, English language learners were able to
increase learning automaticity by doing a practice of
using English. Therefore, it could be concluded that
students would learn more about their English writing
when they spent more time on writing practice. Two
journals per week could allow the students to do their
writing practice. The more they wrote journals, the
more they acquired their language. Benson, P. (2013). Teaching and researching: Autonomy
in language learning. Routledge. Bitchener, J. (2008). Evidence in support of written
corrective feedback. Journal of second language
writing, 17(2), 102-118. https://doi.org/10.1016/j. jslw.2007.11.004 Brown, G. T. (2004). Teachers’ conceptions of
assessment:
Implications
for
policy
and
professional development. Assessment in Education:
Principles, Policy & Practice, 11(3), 301-318. https://
doi.org/10.1080/0969594042000304609 Cisero, C. A. (2006). Does reflective journal writing
improve course performance? College Teaching,
54(2),
231-236. https://doi.org/10.3200/
CTCH.54.2.231-236 Ellis, R., Sheen, Y., Murakami, M., & Takashima,
H. (2008). The effects of focused and unfocused
written corrective feedback in an English as a
foreign language context. System, 36(3), 353-371. https://doi.org/10.1016/j.system.2008.02.001 Fulwiler, T. (1982). The personal connection: Journal
writing across the curriculum. In T. Fulwiler &
A. Young (Eds.), Language connections: Writing and
reading across the curriculum (pp. 15-31). NCTE. Self-reflection was considered one of the essential
elements enhancing the learning process. Re-reading
steps helped learners reflect on their thinking and
language use as well. Students formed their autonomy,
and
their
learning
processes
were
controlled
themselves. Students coped with their learning
processes without the teacher’s intervention. Learners
were responsible for their learning or duty to people
around them. Gradually, learners could fully develop
themselves. Hagger, H., Burn, K., Mutton, T., & Brindley, S. (2008). Practice makes perfect? Learning to learn as a
teacher. Conclusion The main findings of the current study were
summarized as follows. First, the post-test results
showed statistically significant differences between
the control and experimental groups. The present
study indicated that students’ writing quality in the
experimental group was better than that in the control
group. In other words, journal writing practice could
help improve students’ writing performance in the
writing classrooms. The findings of the current study
were innovative to the body of literature that
extensive journal writing helped students improve
their grammatical accuracy as previous research
studies did and helped students improve their writing
skills. These results also contributed to previous studies
(Puengpipattrakul, 2009; Rokni & Seifi, 2014) about
the effects of an extensive journal writing approach
on EFL students’ writing accuracy. Simultaneously, regarding writing accuracy, the data
from the tests reported that the number of writing
errors was dropped dramatically. The students tended
to pay much attention to spelling errors in their
journal writing. The more they practice writing, the
fewer writing errors they might commit to. The
number of spelling errors in each student’s writing
paper also decreased greatly. The writing errors,
spelling, and the other four errors mentioned above,
which the students made, reduced by nearly half
compared to the pre-test. That was why it could be
concluded that the students were able to improve the
grammar accuracy degree of the writing with the
supportive tool – journal writing. Regarding the students’ writing fluency, the findings
of the current study revealed that the students in the
control group did not increase their writing fluency,
while the students in the experimental group
composed their writing with more words compared to
the pre-tests. The results of the comparison between
the post-tests of the two groups also indicated that
there was a remarkable difference between the two
groups. This meant that the writing journal helped
the students improve writing accuracy and writing
fluency. 127 Acknowledgments Second, the study results strongly confirmed the
effects of journal writing practice on students’ writing
fluency. Although the students could not achieve
wording length as the curriculum required, the
number of words in each student’s writing paper went
up sharply. This current result contributed to the
previous studies- about the effects extensive journal
writing approach on EFL students’ writing fluency. The participants revealed their progress in every
journal. It was demonstrated that the number of
words in their writing was getting more prosperous. The authors of this article acknowledged the support
of Van Lang University at 69/68 Dang Thuy Tram St. Ward 13, Binh Thanh Dist., Ho Chi Minh City, Vietnam. Pedagogical implications Oxford Review of Education, 34(2), 159-178. https://doi.org/10.1080/03054980701614978 Hammanind, J. & Derewianka, B. (2001). Genre. In
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Diversity and distribution of extra-floral nectaries in the cerrado savanna vegetation of Brazil
|
PeerJ
| 2,013
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cc-by
| 4,735
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John Boudouris and Simon A. Queenborough John Boudouris and Simon A. Queenborough Department of Evolution, Ecology & Organismal Biology, The Ohio State University, Columbus,
OH, USA Department of Evolution, Ecology & Organismal Biology, The Ohio State University, Columbus,
OH USA Location. Brazil Methods. We used a database detailing the incidence of 849 plant species at 367
cerrado sites throughout Brazil. We determined which species possessed EFNs and
mapped their distributions. We tested for correlations between the proportion of
EFN species at each site and (i) three environmental variables (mean annual temper-
ature, mean annual precipitation, and the precipitation in the driest quarter of the
year), (ii) a broad soil classification, and (iii) the total species diversity of each site. Results. We found a wide range in the proportion of EFN species at any one site
(0–57%). However, whilst low diversity sites had wide variation in the number of
EFN species, high diversity sites all had few EFN species. The proportion of EFN
species was positively correlated with absolute latitude and negatively correlated with
longitude. When accounting for total species diversity, the proportion of EFN species
per site was negatively correlated with precipitation in the driest quarter of the year
and positively correlated with temperature range. Submitted 31 July 2013
Accepted 11 November 2013
Published 28 November 2013
Corresponding author
Simon A. Queenborough,
queenborough.1@osu.edu
Academic editor
Stuart Pimm
Additional Information and
Declarations can be found on
page 10
DOI 10.7717/peerj.219
Copyright
2013 Boudouris and Queenbor-
ough
Distributed under
Creative Commons CC-BY 3.0
OPEN ACCESS Submitted 31 July 2013
Accepted 11 November 2013
Published 28 November 2013
Corresponding author
Simon A. Queenborough,
queenborough.1@osu.edu
Academic editor
Stuart Pimm
Additional Information and
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DOI 10.7717/peerj.219
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2013 Boudouris and Queenbor-
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OPEN ACCESS Main Conclusions. These results suggest either that herbivore pressure may be lower
in drier sites, or that ants are not as dominant in these locations, or that plant lineages
at these sites were unable to evolve EFNs. Subjects Biodiversity, Biogeography, Ecology
Keywords Ant-plant mutualism, Savanna, Leaf, Nectar, Tropical forest, Extra-floral nectary,
Cerrado, Brazil Copyright
2013 Boudouris and Queenbor-
ough Subjects Biodiversity, Biogeography, Ecology
Keywords Ant-plant mutualism, Savanna, Leaf, Nectar, Tropical forest, Extra-floral nectary,
Cerrado, Brazil How to cite this article Boudouris and Queenborough (2013), Diversity and distribution of extra-floral nectaries in the cerrado savanna
vegetation of Brazil. PeerJ 1:e219; DOI 10.7717/peerj.219 ABSTRACT Aim. Throughout evolutionary history, plants and animals have evolved alongside
one another. This is especially apparent when considering mutualistic relationships
such as between plants with extra-floral nectaries (EFNs, glands on leaves or stems
that secrete nectar) and the ants that visit them. Ants are attracted by the nectar
and then protect the plant against destructive herbivores. The distribution of these
plants is of particular interest, because it can provide insights into the evolutionary
history of this unique trait and the plants that possess it. In this study, we investigated
factors driving the distribution of woody plants with EFNs in the cerrado vegetation
of Brazil. INTRODUCTION Distributed under
Creative Commons CC-BY 3.0 The large-scale distribution patterns of many plant traits, as well as the factors that drive
these distributions, are still poorly understood in many ecosystems. In particular, plants from the tropics were long believed to have more traits associated with defence against
herbivores than plants in temperate latitudes (Schemske, Mittelbach & Cornell, 2009). The idea that plants in the tropics experience greater herbivore pressure, thus driving
selection for improved defence or resistance traits, is key to our understanding of the
factors influencing latitudinal gradients in plant traits and patterns of plant diversity. The geographic implications of the distribution of plant herbivore defenses is complex,
in part because there are many variables associated with geographic distribution. Various
studies have demonstrated a general trend of increasing anti-herbivore defences in plants
moving toward the equator (Coley & Barone, 1996; Fiala & Linsenmair, 1995; Oliveira &
Oliveira-Filho, 1991; Pemberton, 1998; Schemske, Mittelbach & Cornell, 2009). This trend
is generally believed to correlate with the intensity of current herbivory in the region, or
the intensity of herbivory with which the flora’s ancestors had to contend. For example, the
presence of cyanide as a defensive compound has been demonstrated to vary in this way
with latitude as an effect of temperature gradients (Jones, Keymer & Ellis, 1978). Further,
the mutualistic relationship between ants (and less commonly, certain wasps and flies) and
plants, involving extra-floral nectaries has been demonstrated to increase in abundance
with decreasing latitude (Pemberton, 1998). Nevertheless, the results of both a recent
meta-analysis and a global observational study contradict these findings, suggesting that
plants at higher (temperate) latitudes possess greater herbivory resistance traits than plants
at lower (tropical) latitudes (Moles et al., 2011a; Moles et al., 2011b). Extra-floral nectaries (EFNs) are nectar-producing glands that occur on plant leaves or
stems, and are therefore usually not involved in pollination (Fiala & Linsenmair, 1995). They are integral components in a particularly interesting mutualistic relationship between
plants and insects, most often ants. These glands produce a sugary nectar that attracts ants,
which either become resident or frequent visitors of the plant. The presence of ants has
been demonstrated to result in lower levels of herbivory for the plant (Oliveira & Fraitas,
2004). This benefit is likely the result of the tendency of ant colonies to defend their homes
and food sources from possible threats. Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 INTRODUCTION However, the factors that drive variation in the
incidence and abundance of EFN within and among communities remain unknown. Several studies have determined that EFNs become more prevalent with decreasing
latitude (Fiala & Linsenmair, 1995; Keeler, 1980; Oliveira & Leit˜ao-Filho, 1987; Oliveira &
Oliveira-Filho, 1991; Pemberton, 1998), but this information alone is not enough to deduce
the cause, because the many potential explanatory variables confound each other in any
given ecosystem and they are not always consistent along latitudinal gradients. Further,
many such studies compare widely different ecosystems with contrasting evolutionary
histories and distantly-related species. For example, the only previous large-scale study to
date of EFN prevalence (Pemberton, 1998) was conducted in eastern Asia across a number
of different biomes, so it is likely that many confounding factors were missed. A more
rigorous approach would compare the same life forms and related species in the same
ecosystem across a wide range of latitudes and varying environmental conditions. The
Brazilian cerrado is a good candidate for this kind of study. The cerrado is a savanna
biome that previously covered 2 million km2 (about 22%) of Brazil, with a high level of Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 2/13 biodiversity (Oliveira & Marquis, 2002) and a relatively high abundance of plant species
with EFN compared to other parts of the world (Oliveira & Fraitas, 2004). The cerrado
biome covers a wide latitudinal range from 23◦S to a few sites close to the equator (Oliveira
& Marquis, 2002), and is therefore a good place to study latitudinal variation whilst
controlling for as many biogeographic and ecological variables as possible. For this study, we investigated the environmental factors influencing the distribution of
EFN. Specifically we ask (i) how the abundance of EFN varied with latitude, precipitation,
temperature, soil type, and the species richness?, and (ii) do these relationships support
previous established relationships between plant defences and latitude? Based on the
current literature we predicted that EFN incidence increased with decreasing latitude
(i.e., closer to the equator), and that factors implicated in higher herbivore pressure such as
aseasonality would correlate with high EFN incidence. Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 MATERIALS AND METHODS We restricted our analyses to woody plants. To consistently document woody plant
incidence across a wide range of latitude and environmental variation, we used the -
revised - dataset collected by Ratter, Bridgewater & Ribeiro (2003), revised Ratter et al. (2010), documenting the incidence of 849 tree or large shrub species at 367 cerrado and
Amazonian savanna sites throughout Brazil. This dataset currently covers about 75% of the
cerrado domain. Other woody communities of the biome such as gallery and mesophytic
forests were not included. Species richness varied from Amazonian savannas containing
only a single woody species to >100 in the cerrado core area and its southern outliers. All
taxa were identified to species-level, making this dataset extremely valuable and virtually
unique in large-scale plant datasets (Fig. 1). Data on which of these species have extra-floral nectaries was obtained from Neotropi-
cal floras (Oliveira & Marquis, 2002; Pennington & Ratter, 2006), an online database (Keeler,
2008), and several journal articles (Oliveira & Leit˜ao-Filho, 1987; Oliveira & Oliveira-Filho,
1991; D´ıaz-Castelazo et al., 2004; D´ıaz-Castelazo et al., 2005; Oliveira & Fraitas, 2004;
Marazzi et al., 2006; Machado et al., 2008; Goit´ıa & Klaus, 2009; Schoereder et al., 2010, see
Table S1). Currently, 1–2% of plant species have been confirmed to possess EFN and it
is estimated that a further 1–2% of species remain to be discovered with EFN (Weber &
Keeler, 2013). Thus, our estimates of EFN incidence in the cerrado biome are likely to be
conservative, despite the above average knowledge of the species present in the system. Bioclimatic data were derived from a 30′′ gridded dataset consisting of interpolated
50-year normals from New World weather stations (Hijmans et al., 2005). Soil data were
derived from a digitised version of the 0.0083 (nominally 1-km) resolution Mapa de Solos
do Brasil (EMBRAPA, 1981), downloaded from the University of New Hampshire, EOS-
WEBSTER Earth Science Information Partner (http://eos-webster.sr.unh.edu/home.jsp). We examined correlates of EFN richness using a generalized linear modelling approach. We modelled the proportion of EFN species at each site as a function of annual mean
temperature, temperature range, and temperature seasonality (SD of temperature), annual
mean precipitation, precipitation in the driest quarter, and precipitation seasonality Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 3/13 Figure 1 Woody plant species with extra-floral nectaries from the cerrados of Brazil. MATERIALS AND METHODS (A) Inga
vera, Fabaceae; (B) Qualea grandiflora, Vochysiaceae; (C) Tabebuia aurea, Bignoniaceae, (D) Ouratea
hexaperma, Ochnaceae; (E) Qualea grandiflora, Vochysiaceae; (F) Tabebuia aurea, Bignoniaceae. Credits:
Robin Foster, The Field Museum, Chicago, USA (A, C, F); Julio Lombardi, Departamento de Botˆanica,
Instituto de Biociˆencias de Rio Claro, Universidade Estadual Paulista, SP, Brazil (D); Gustavo Schimizu,
Dept. Plant Biology, Institute of Biology/Unicamp, Campinas, SP, Brazil (B, E). Figure 1 Woody plant species with extra-floral nectaries from the cerrados of Brazil. (A) Inga
vera, Fabaceae; (B) Qualea grandiflora, Vochysiaceae; (C) Tabebuia aurea, Bignoniaceae, (D) Ouratea
hexaperma, Ochnaceae; (E) Qualea grandiflora, Vochysiaceae; (F) Tabebuia aurea, Bignoniaceae. Credits:
Robin Foster, The Field Museum, Chicago, USA (A, C, F); Julio Lombardi, Departamento de Botˆanica,
Instituto de Biociˆencias de Rio Claro, Universidade Estadual Paulista, SP, Brazil (D); Gustavo Schimizu,
Dept. Plant Biology, Institute of Biology/Unicamp, Campinas, SP, Brazil (B, E). (coefficient of variation in precipitation), a broad soil classification, and total species
richness. Because we expressed proportion EFN as the number of species with EFNs out
of the total species richness per site, we used a binomial error structure. All explanatory
variables were rescaled by subtracting the mean value and dividing by the standard
deviation to permit comparisons among them. Finally we tested whether cerrado species with EFN were more widespread than species
without EFN (a measure of the ecological success of the species). We modelled the number
of occupied sites as a function of EFN incidence, using a generalised linear model with a
Poisson error distribution. Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 RESULTS A total of 98 tree and shrub species of the cerrado and Amazonian savannas were
documented to have EFN, out of a total of 849 species (Fig. 1). These were distributed Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 4/13 Figure 2 The number of species, genera and families with (white) and without (grey) extra-floral
nectaries in the cerrado of Brazil from a sample of 849 species found in 367 sites. Figure 2 The number of species, genera and families with (white) and without (grey) extra-floral
nectaries in the cerrado of Brazil from a sample of 849 species found in 367 sites. among 51 genera and 30 families (Fig. 2). The families with the most species with EFN were
the Fabaceae, with 31 species, followed by the Bignoniaceae (8 species), Simaroubaceae (6),
Malpighiaceae (6), and Chrysobalanaceae (6) each. Total species richness per site varied from 1 to 212 (mean = 57, sd = 33), and the
proportion of species with EFN at each site ranged from 0 to 58% (mean = 22%, sd = 9%,
Fig. 3B). There were 39 sites without any species with EFN, and 153 sites with at least 25%
of species with EFN. There was a greater proportion of species with EFN in the south and
east of Brazil (Figs. 3A, 3C and 3D). In the full generalised linear model containing all bioclimatic variables, four variables
had a statistically significant effect on EFN proportion (Fig. 4, P < 0.05). Total species
richness, precipitation seasonality, and precipitation in the driest quarter all had negative
effects on EFN proportion; temperature range had a small positive effect on EFN
proportion (Figs. 3 and 5). These results indicate that cerrado sites with fewer species,
lower rainfall in the driest quarter of the year and low seasonality of precipitation all
had a higher proportion of species with EFNs. Sites with a greater range of temperature
had a slightly greater EFN proportion. There were no statistically significant effect of soil
category on EFN proportion. Of all species in the dataset, 235 species (about 28%) occurred in only one site, 556
species (66%) occurred in <10, and 778 species (92%) occurred in <100 sites. Species Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 5/13 Figure 3 Variation in the proportion of species with extra-floral nectaries (EFN) in the cerrado and Amazonian savannas of Brazil. (A) Location
of sample sites. RESULTS Size of circle is proportional to the proportion of species with nectaries. (B) Proportion of species with EFN as a function of total
species richness. (C) Proportion of species with EFN as a function of latitude. (D) Proportion of species with EFN as a function of longitude. Figure 3 Variation in the proportion of species with extra-floral nectaries (EFN) in the cerrado and Amazonian savannas of Brazil. (A) Location
of sample sites. Size of circle is proportional to the proportion of species with nectaries. (B) Proportion of species with EFN as a function of total
species richness. (C) Proportion of species with EFN as a function of latitude. (D) Proportion of species with EFN as a function of longitude. with EFN were on average slightly more widespread than species without EFN, occupying a
mean of four sites as opposed to three (Fig. 6). with EFN were on average slightly more widespread than species without EFN, occupying a
mean of four sites as opposed to three (Fig. 6). Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 DISCUSSION We found high variability in the incidence of species with EFN species among sites,
ranging from 0 to 58%. Furthermore, we found evidence of a latitudinal gradient in EFN
proportion, converse to our prediction. Sites further from the equator tended to have
slightly more species with EFN than those close to the equator (Fig. 3C), implying more
defences at higher latitudes. However, we found a significant longitudinal gradient as well Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 Figure 4 Coefficient estimates from a binomial generalized linear model of the proportion of species
with extra-floral nectaries as a function of standardised bioclimatic variables. The model also included
soil type and total species richness in 367 sites in the cerrado and savanna vegetation of Brazil. Each
point indicates the estimate, with thick and thin error bars indicating one and two standard deviations,
respectively. Figure 4 Coefficient estimates from a binomial generalized linear model of the proportion of species
with extra-floral nectaries as a function of standardised bioclimatic variables. The model also included
soil type and total species richness in 367 sites in the cerrado and savanna vegetation of Brazil. Each
point indicates the estimate, with thick and thin error bars indicating one and two standard deviations,
respectively. (Fig. 3D), so the situation is more complex than it might appear. What factors cause such
variation to occur across a reasonably consistent biome? Sites with low species richness tended to have a higher proportion of species with
EFN. Whilst low richness sites may have inflated proportions EFN because each species
contributes more to the overall percentage (i.e., one out of four species is obviously a
larger percentage than one out of 20), it is likely that we can consider these results to
have some causal implications given the potential advantage of possessing EFN especially
in low diversity sites. This is because herbivores are present in any site with vegetation,
so the selective pressure for effective herbivore defences like EFNs is always present as
well. Further, in low diversity sites, rare species are not ‘hidden’ by common species,
and species-specific herbivores can more easily encounter their particular food source. Unfortunately, no data on the abundance of species at each site are available, so we cannot
test whether species with EFN are more abundant than those without. Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 DISCUSSION The trends in the geographic distribution of EFNs show a greater proportion of
EFNs as one moves south from the equator and east toward the Atlantic coast. This
latitudinal gradient is consistent with the recent findings of Moles et al. (2011a), Moles
et al. (2011b) and contrary to the idea that herbivory intensity increases toward the
equator. Paleoecological evidence suggests that lower latitudes have historically displayed Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 Figure 5 The proportion of species with extra-floral nectaries in 367 cerrado sites in Brazil as a
function of six bioclimatic variables. Figure 5 The proportion of species with extra-floral nectaries in 367 cerrado sites in Brazil as a
function of six bioclimatic variables. Figure 5 The proportion of species with extra-floral nectaries in 367 cerrado sites in Brazil as a
function of six bioclimatic variables. Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 Figure 6 Range size of woody cerrado species with and without extra-floral nectaries. Range size was
defined as the number of occupied sites out of 367 sites throughout the cerrado and Amazonian savannas
of Brazil. Figure 6 Range size of woody cerrado species with and without extra-floral nectaries. Range size was
defined as the number of occupied sites out of 367 sites throughout the cerrado and Amazonian savannas
of Brazil. greater herbivore diversity; however, herbivory is not necessarily more intense along this
same gradient (Moles et al., 2011a). A comprehensive understanding of the latitudinal
distribution of herbivore defences would require further inquiry into the latitudinal
distribution of herbivory and we cannot necessarily infer implications of the longitudinal
gradient from this study. It is possible that the climatic differences of coastal regions may
play a role. However, that is not exactly consistent with longitude. There are coastal sites
around 55◦W and non-coastal sites around 45◦W. Further study would need to be devoted
to the climatic differences between coastal regions and inland regions. Climate was significantly correlated with EFN proportion. Clear negative relationships
existed between EFN proportion and both precipitation in the driest quarter of the
year and precipitation seasonality, but no significant trend was found with total annual
precipitation. This suggests that while precipitation is important, it is likely that extremes
in precipitation are what drive EFN (or, more likely, ant abundance), rather than total
rainfall. Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 DISCUSSION This could have something to do with the effects of periods of drought on the
intensity of herbivory. One possible explanation, that would need to be investigated
further, is that in dry areas, herbivores get a significant portion of their hydration from
the vegetation on which they feed. Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 Sites with a greater annual temperature range had a higher proportion of EFN than sites
with a smaller range. Similar to the precipitation results, this implies that it could be the
extremes that have the greatest impact on variation. Data on the relationship between the
intensity of herbivory and temperature range would be required to fully understand these
results. Finally, in order to fully investigate the relationship between plant defences and
herbivore pressure, both sides of the equation must be determined. To date, measuring
plant defences has been the more logistically possible. However, effort must be made to
estimate herbivory in a consistent manner across ecosystems and biomes in order to fully
elucidate the patterns and drivers of variation in plant traits. In terms of traits such as EFN,
however, the relationship with insects is also of importance. No data is available on ant
abundance across the cerrado, and traits such as EFN may depend more on the availability
of the plant’s mutualist ants rather than herbivore pressure. Thus, plants in areas of low ant
presence or diversity may have evolved rather different defence mechanisms. In conclusion, we have confirmed Moles et al.’s (2011a; 2011b) suggestion that the
latitudinal gradient in plant defence traits is more complex than originally thought. At least
for one specific defence mechanism (EFN) in the cerrado biome, more species of plants are
defended at higher latitudes. Competing Interests The authors declare that there are no competing interests. ACKNOWLEDGEMENTS We thank James Ratter, Toby Pennington, Sam Bridgewater, and William Milliken for
making the cerrado database available, as well as all the numerous fieldworkers who
collected the original data. We thank Marjorie Weber for constructive comments on the
manuscript. Funding John Boudouris was funded by OSU as an undergraduate research assistant. The
funders had no role in study design, data collection and analysis, decision to publish, or
preparation of the manuscript. Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 Grant Disclosures The following grant information was disclosed by the authors:
OSU. Author Contributions • John Boudouris conceived and designed the experiments, performed the experiments,
analyzed the data, wrote the paper. • John Boudouris conceived and designed the experiments, performed the experiments,
analyzed the data, wrote the paper. Boudouris and Queenborough (2013), PeerJ, DOI 10.7717/peerj.219 • Simon A. Queenborough conceived and designed the experiments, performed the
experiments, analyzed the data, contributed reagents/materials/analysis tools, wrote the
paper. Supplemental Information Supplemental information for this article can be found online at http://dx.doi.org/
10.7717/peerj.219. Supplemental information for this article can be found online at http://dx.doi.org/
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https://research-information.bris.ac.uk/ws/files/309638732/s42003_021_02972_8.pdf
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Adenosine 2A receptor and TIM3 suppress cytolytic killing of tumor cells via cytoskeletal polarization
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Communications biology
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Edmunds, G. L., Wong, C. C. W., Ambler, R., Milodowski, E. J.,
Alamir, H., Cross, S. J., Galea, G., Wülfing, C., & Morgan, D. J. (2022). Adenosine 2A receptor and TIM3 suppress cytolytic killing of
tumor cells via cytoskeletal polarization. Communications Biology,
5(1), Article 9. Advance online publication. https://doi.org/10.1101/2021.05.20.444944v1,
https://doi.org/10.1038/s42003-021-02972-8 Edmunds, G. L., Wong, C. C. W., Ambler, R., Milodowski, E. J.,
Alamir, H., Cross, S. J., Galea, G., Wülfing, C., & Morgan, D. J. (2022). Adenosine 2A receptor and TIM3 suppress cytolytic killing of
tumor cells via cytoskeletal polarization. Communications Biology,
5(1), Article 9. Advance online publication. https://doi.org/10.1101/2021.05.20.444944v1,
https://doi.org/10.1038/s42003-021-02972-8 Publisher's PDF, also known as Version of record
License (if available):
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Link to published version (if available):
10.1101/2021.05.20.444944v1
10.1038/s42003-021-02972-8 This is the final published version of the article (version of record). It first appeared online via Nature Research at
https://doi.org/10.1038/s42003-021-02972-8 . Please refer to any applicable terms of use of the publisher. This is the final published version of the article (version of record). It first appeared online via N
https://doi.org/10.1038/s42003-021-02972-8 . Please refer to any applicable terms of use of the 1 School of Cellular and Molecular Medicine, University of Bristol, Bristol BS8 1TD, UK. 2 Bristol Veterinary School, University of Bristol, Bristol BS40 5DU, UK.
3 Wolfson BioImaging Facility, University of Bristol, Bristol BS8 1TD, UK. 4These authors jointly supervised this work: Christoph Wülfing and David J. Morgan.
✉email: Christoph.Wuelfing@bristol.ac.uk; D.J.Morgan@bristol.ac.uk University of Bristol – Bristol Research Portal
General rights University of Bristol – Bristol Research Portal
General rights This document is made available in accordance with publisher policies. Please cite only the
published version using the reference above. Full terms of use are available:
http://www.bristol.ac.uk/red/research-policy/pure/user-guides/brp-terms/ COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio Adenosine 2A receptor and TIM3 suppress
cytolytic killing of tumor cells via cytoskeletal
polarization The
effects of PD-1 and CTLA-4 blockade on T cell priming may be
critical in the development of autoimmune side effects by
allowing self-reactive T cells to activate. PD-1 and CTLA-4
blockade are most effective in patients that already have tumors
with a substantial immune infiltrate rich in CD8+ T cells13,
limiting the applicability of PD-1 and CTLA-4 blockade across
many cancer types. Thus, means to enhance anti-tumor
immunity that focuses more strongly on (re)activation of CTL
and/or enhancing tumor infiltration rather than on the priming
of new T cell clones are of substantial interest in the develop-
ment of a diverse combinatorial tool kit for curative cancer
immunotherapy. Here we aim to determine whether effectors of tumor-mediated
immune suppression can directly regulate the killing of tumor
target cells by CTL. We complement an in vivo tumor model with
a matching in vitro reconstruction of the tumor microenviron-
ment based on the interaction of tumor spheroids with CTL in
the absence of any other cell types7,30,31: Murine renal carcinoma
cells expressing the hemagglutinin (HA) protein from influenza
virus A/PR/8 as neo-tumor-specific antigen (RencaHA) are
effectively recognized by the immune system in vivo and generate
an immune-suppressive tumor microenvironment. Recognition
of Renca tumors can be enhanced with the adoptive transfer of
CL4 T cell receptor transgenic CTL recognizing an HA-derived
peptide. In vitro, RencaHA cells cultured in three-dimensional
spheroids effectively interact with CL4 CTL such that the sup-
pressed phenotype acquired in this in vitro interaction closely
matches that acquired by adoptively transferred CL4 CTL
in vivo7. A key element of the mechanism of the impaired killing
ability of tumor-suppressed CTL is the reduced ability of CTL to
execute the cytoskeletal polarization steps required for effective
target cell killing7. g
g
Blocking A2AR partially reduced RencaHA tumor growth
in vivo. Upon A2AR blockade TIM3 was highly upregulated
amongst CD8+ TIL. Combing in vivo blockade of A2AR with that
of TIM3 further reduced tumor growth in the context of the
adoptive transfer of CL4 T cells. This combined treatment par-
tially restored the ability of CTL to polarize towards their tumor
target cells and enhanced tumor infiltration of CTL. In vitro,
overexpression of TIM3 by CL4 CTL and treatment with an A2AR
agonist inhibited killing of tumor cells in tumor spheroids and the
A2AR agonist also reduced spheroid infiltration by CTL. Adenosine 2A receptor and TIM3 suppress
cytolytic killing of tumor cells via cytoskeletal
polarization Grace L. Edmunds1, Carissa C. W. Wong1, Rachel Ambler1, Emily J. Milodowski2, Hanin Alamir1,
Stephen J. Cross
3, Gabriella Galea
1, Christoph Wülfing
1,4✉& David J. Morgan
1,4✉ Tumors generate an immune-suppressive environment that prevents effective killing of tumor
cells by CD8+ cytotoxic T cells (CTL). It remains largely unclear upon which cell type and at
which stage of the anti-tumor response mediators of suppression act. We have combined an
in vivo tumor model with a matching in vitro reconstruction of the tumor microenvironment
based on tumor spheroids to identify suppressors of anti-tumor immunity that directly act on
interaction between CTL and tumor cells and to determine mechanisms of action. An ade-
nosine 2A receptor antagonist, as enhanced by blockade of TIM3, slowed tumor growth
in vivo. Engagement of the adenosine 2A receptor and TIM3 reduced tumor cell killing in
spheroids, impaired CTL cytoskeletal polarization ex vivo and in vitro and inhibited CTL
infiltration into tumors and spheroids. With this role in CTL killing, blocking A2AR and TIM3
may complement therapies that enhance T cell priming, e.g. anti-PD-1 and anti-CTLA-4. 1 School of Cellular and Molecular Medicine, University of Bristol, Bristol BS8 1TD, UK. 2 Bristol Veterinary School, University of Bristol, Bristol BS40 5DU, UK. 3 Wolfson BioImaging Facility, University of Bristol, Bristol BS8 1TD, UK. 4These authors jointly supervised this work: Christoph Wülfing and David J. Morgan. ✉email: Christoph.Wuelfing@bristol.ac.uk; D.J.Morgan@bristol.ac.uk 1 ARTICLE COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 C C
D8+ cytotoxic T cells (CTL) have the ability to directly kill
tumor target cells. Such killing requires effective priming
of tumor antigen specific CD8+ T cells within the draining
lymph nodes; differentiation into CTL; effective tumor infiltration
and execution of the cytolytic effector function within the tumor
microenvironment. However, solid tumors often generate an
immune-suppressive environment with multiple often redundant
immune-suppressive elements that prevent effective tumor cell
killing. For the development of widely applicable curative cancer
immunotherapies, multiple reagents with defined mechanisms of
action that can be flexibly combined are required, at least some of
which need to restore CTL killing within the tumor1. Here we
have characterized two such reagents. all detectable20. A2AR blockade or T cell-specific deletion
enhances anti-tumor immunity in many models, often with
enhanced CTL tumor infiltration21–24. The localized generation
of adenosine and its role in tumor infiltration make adenosine
an attractive target as a regulator of tumor immunity with a
direct focus on the tumor microenvironment. Adenosine 2A receptor and TIM3 suppress
cytolytic killing of tumor cells via cytoskeletal
polarization Expression of the inhibitory receptor TIM3 increases with
repeated T cell stimulation25 reaching particularly high levels in
tumors. High TIM3 expression in tumors is related to poor
overall survival26. Blocking TIM3 can enhance anti-tumor
immunity, in particular in combination with anti-PD-1 or
chemotherapy27. While TIM3 is highly expressed on CD8+ TIL,
TIM3 also regulates myeloid cell function, is highly expressed on
CD4+ Tregs in tumors and TIM3 signaling can display features of
costimulation, such as activation of Akt/mTOR28,29. Even though
the mechanism of action of TIM3 thus remains unresolved, its
preferential expression on CD8+ TIL makes it an attractive
candidate for a direct regulator of the interaction between CTL
and their tumor target cells. g
Inhibitory receptors, in particular CTLA-4, PD-1, TIGIT,
TIM3, and LAG3, impair the anti-tumor immune response2,3. Blocking CTLA-4 and PD-1 is a cornerstone of current immu-
notherapy and has yielded great therapeutic success in many
cancer types4. However, efficacy is limited to a subset of patients
and few tumor types, and autoimmune side effects can be
substantial. Mechanisms of action of PD-1 blockade are still
being debated. Initially, it was widely assumed that blocking PD-
1 would reactive tumor-infiltrating CTL (TIL) that had acquired
a suppressed state characterized by enhanced PD-1 expression. However, PD-1 and also CTLA-4 are expressed not only on CTL
but also on other T cell subtypes, other immune cell types, and
even on tumor cells. Deletion of PD-1 in myeloid cells can
enhance anti-tumor immunity more effectively than deletion in
T cells5. In basal or squamous cell carcinoma patients, PD-1
blockade does not reactivate tumor-resident CTL but leads to
infiltration of new CTL clones6. We have shown that treating
mice with anti-PD-1 enhances anti-tumor immunity but treat-
ing TIL directly ex vivo does not enhance their function7, fur-
ther arguing for an effect independent of the direct CTL tumor
cell interaction. Ligands of CTLA-4 are expressed on antigen-
presenting cells in T cell priming but not commonly on tumor
cells. Therefore, CTLA-4 blockade is more likely to enhance T
cell priming rather than reactivate TIL. Potential depletion of
regulatory T cells mediated by the anti-CTLA-4 Fc region, even
though controversial, can also be expected to affect priming8–11
and illustrates the wider functional consequences of Fc receptor
engagement by antibodies against inhibitory receptors12. Adenosine 2A receptor and TIM3 suppress
cytolytic killing of tumor cells via cytoskeletal
polarization An A2AR
agonist suppressed cytoskeletal polarization of CTL during both
migration and coupling to tumor target cells. Interference with
cytoskeletal polarization thus is a potential mechanism by which
A2AR and TIM3 may directly suppress the killing of tumor cells
by CTL. Key soluble mediators of tumor-mediated immune suppres-
sion are adenosine and prostaglandin E2 (PGE2). Both use an
increase in intracellular cyclic AMP (cAMP) as a key signaling
mechanism and may, therefore, have overlapping functions14,15. PGE2 strongly regulates dendritic cell biology and thus T cell
priming16. Adenosine is generated by hydrolysis of extracellular
ATP by the ectoenzymes CD39 and CD7317 the expression of
which is increased in hypoxic and immunosuppressive tissue
environments18. Adenosine concentrations are therefore greatly
enhanced in the tumor microenvironment14,19. Adenosine sig-
nals through a family of four adenosine receptors14,15. The
adenosine 2A receptor (A2AR) is highly expressed in T cells,
whereas mRNA for the other three isoforms is barely or not at COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 Fig. 1 Schematic representation of the experimental system. The different experimental strategies used are illustrated on the left with a list of
corresponding experiments and figures shown for each on the right. tation of the experimental system. The different experimental strategies used are illustrated on the left with a list of
and figures shown for each on the right. Fig. 1 Schematic representation of the experimental system. The different experimental strategies used are illustrat
corresponding experiments and figures shown for each on the right. intraperitoneally with 10 mg/kg of the A2AR antagonist ZM
241385 every 4 days (Fig. 1)32,33. Comparison with other
emulsified compounds of a similar molecular weight suggests
that such treatment led to a peak blood concentration of ZM
241385 in the low µM range with a half-life of about 1 h34. At that
peak concentration, ZM 241385 inhibits both A2AR and A2BR35. However, A2AR mRNA expression in T cells is several-fold higher
than that of A2BR; A2AR-deficient lymphocytes do not elevate
cAMP in response to adenosine any more20 and ZM 241385
displays >50-fold selectivity for A2AR over A2BR as detailed in the
methods section. For the remainder of the manuscript we,
therefore, refer to ZM 241385 as an A2AR antagonist. Under
control conditions, tumors grew from 150 ± 25 mm3 at day 12,
the start of treatment, to 2075 ± 290 mm3 within 8 days with two
mice sacrificed early as their tumors exceeded maximum
allowable tumor volume. ZM 241385 treatment resulted in a
reduction
in
tumor
growth
from
140 ± 35 mm3
to
only
715 ± 85 mm3 over 8 days with no mice needing to be sacrificed
(p < 0.01) (Fig. 2b). These data establish a partial role of A2AR in
suppressing anti-tumor immunity in the RencaHA model. response and an immune-suppressive TME when grown sub-
cutaneously in mice. The T cell receptor (TCR) of T cells from CL4
TCR transgenic mice recognizes the HA peptide 518–526 (IYST-
VASSL) as restricted by H-2Kd. Upon adoptive transfer into
RencaHA tumor-bearing mice, CL4 CTL infiltrates the tumor and
acquires a suppressed phenotype7. Incubation of in vitro primed
CL4 CTL with RencaHA tumor cells grown as three-dimensional
spheroids induces a suppressed CTL phenotype that shares key
features with tumor-infiltrating CL4 T cells7. Results An experimental approach to identify direct suppressors of
CTL killing of tumor target cells. Enhancing the ability of CTL to
kill tumor target cells within the tumor microenvironment (TME)
is of immense therapeutic interest. To identify immunosuppressive
factors that act directly on CTL within the TME, we combined
in vivo mouse studies with matched direct investigation of the
interaction of CTL with tumor spheroids in vitro (Fig. 1)7,30,31:
Renca renal carcinoma cells expressing influenza A/PR/8/H1N1
hemagglutinin (HA) induce an endogenous anti-tumor immune COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio 2 ARTICLE COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 ARTICLE To identify combinations of inhibitory receptor expression
altered upon A2AR blockade, we used a principal component
analysis. Input data were the percentage of T cells expressing
inhibitory receptors in all combinations and tumor size (Fig. 2c,
d, Supplementary Fig. 1b). Principal component (PC) 1 effectively
PC1 were therefore positively associated with A2AR antago
of TIL. TIM3 expression was upregulated in combination
other inhibitory receptors by A2AR antagonist treatment
contributed to PC1 with p < 0.001. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 Thus, we could
characterize
tumor-associated
immunosuppression
of
CD8+
T cells in parallel in the in vivo tumor model to establish phy-
siological relevance and in the in vitro spheroids to establish direct
effects on the interaction of CTL with tumor cells in the absence of
other immune cells. The adenosine 2A receptor suppresses anti-tumor immunity. High concentrations of adenosine occur within many solid tumors. CD4+FoxP3+ regulatory T cells (Tregs) express the adenosine-
generating ectoenzymes CD39 and CD73 as an important means of
in situ adenosine generation. Within TIL from RencaHA tumor-
bearing mice 86 ± 2% of CD25+FoxP3+CD4+ T cells expressed
both CD39 and CD73 (Fig. 2a). CD25+CD4+ TIL from RencaHA
tumor-bearing mice suppressed in vitro proliferation of naïve CL4
T cells in a manner dependent on the adenosine 2A receptor
(A2AR) (Supplementary Fig. 1a). This in vitro generation of func-
tionally relevant amounts of adenosine by CD25+FoxP3+CD4+
TIL suggests that these cells can also generate elevated adenosine
concentrations in the RencaHA TME. TIM3 expression is enhanced on CTL upon in vivo A2AR
blockade. The only partial nature of the suppression of tumor
growth upon A2AR blockade suggests that other elements of
tumor-mediated immune suppression may synergize with A2AR
engagement or are even upregulated to compensate for A2AR
blockade. We, therefore, determined the expression of inhibitory
receptors: TIM3, TIGIT, LAG3, PD-1, and adenosine-producing
ectoenzymes: CD39 and CD73 by both CD8+ and CD4+ TIL
from ZM 241385-treated and control tumors. To determine whether A2AR suppresses anti-tumor immunity
in the RencaHA model, we treated RencaHA tumor-bearing mice COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio 3 3 COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 PD-1 and TIGIT expre
were also strongly associated with PC1, albeit TIGIT
TIM3
TIGIT
LAG3
PD-1
CD39
CD73
CD8β
Label
Positively Expressed
P-value
Drivers of PC1
8
CD8: any except CD39
1.6E-13
46
CD8+CD73+LAG3+PD-1+TIGIT+TIM3+ 2.8E-15
47
CD8+CD73+LAG3+PD-1+TIGIT+
6.4E-17
71
CD8+PD-1+TIGIT+
4.6E-11
84
CD4+: any except CD39
7.1E-12
123
CD4+CD73+LAG3+PD-1+TiIGIT+
1.1E-14
124
CD4+CD73+LAG3+PD-1+TIGIT-TIM3+ 5.2E-17
132
CD4+CD73+PD-1+TIGIT-TIM3+
5.4E-11
138
CD4+LAG3+PD-1+TIGIT+TIM3+
4.9E-14
146
CD4+PD-1+TIGIT+TIM3+
6.0E-13
148
CD4+PD-1+TIGIT-TIM3+
1.6E-11
150
CD4+TIGIT+TIM3+
8.7E-21
Opposers of PC 1
2
CD8: CD39+ with any other
1.6E-13
27
CD8+CD39+CD73+TIGIT+
0.002
43
CD8+CD39+TIGIT+
0.015
78
CD4: CD39+ with any other
7.1E-12
102
CD4+CD39+CD73+TIGIT+TIM3+
0.0005
137
CD4+CD73+
0.0005
Drivers of PC2
106
CD4+CD39+LAG3+PD-1+TIGIT+TIM3+ 9.8E-14
121
CD4+CD39+
6.4E-13
Opposers of PC2
27
CD8+CD39+CD73+TIGIT+
6.3E-9
43
CD8+CD39+TIGIT+
1.4E-10
102
CD4+CD39+CD73+TIGIT+TIM3+
1.0E-7
137
CD4+CD73+
1.2E-7
Foxp3
CD25
CD39
CD73
a
b
c
d
vehicle only
ZM 241385
vehicle only
ZM 241385
CD8β
150
124
47
12346
84
78
138
146
121
27
2
8
43
102
132
137
148
71
106
−5
0
5
0
10
20
Dim1 (24.7%)
Dim2 (16.5%)
Tx
Control
ZM
PCA − Biplot
ARTICLE
COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02 TIM3
PD-1
CD8β
c Foxp3
CD25
CD39
CD73
a a c LAG3
vehicle only CD8β Foxp3 CD39 CD73
ZM 241385 PD-1
CD CD73
vehicle only PD-1 CD39 CD73 PD-1
CD8β CD39 b vehicle only b
d CD8β ZM 241385 ZM 241385 d Label
Positively Expressed
Drivers of PC1
8
CD8: any except CD39
46
CD8+CD73+LAG3+PD-1+T
47
CD8+CD73+LAG3+PD-1+T
71
CD8+PD-1+TIGIT+
84
CD4+: any except CD39
123
CD4+CD73+LAG3+PD-1+T
124
CD4+CD73+LAG3+PD-1+T
132
CD4+CD73+PD-1+TIGIT-T
138
CD4+LAG3+PD-1+TIGIT+T
146
CD4+PD-1+TIGIT+TIM3+
148
CD4+PD-1+TIGIT-TIM3+
150
CD4+TIGIT+TIM3+
Opposers of PC 1
2
CD8: CD39+ with any othe
27
CD8+CD39+CD73+TIGIT+
43
CD8+CD39+TIGIT+
78
CD4: CD39+ with any othe
102
CD4+CD39+CD73+TIGIT+
137
CD4+CD73+
Drivers of PC2
106
CD4+CD39+LAG3+PD-1+T
121
CD4+CD39+
Opposers of PC2
27
CD8+CD39+CD73+TIGIT+
43
CD8+CD39+TIGIT+
102
CD4+CD39+CD73+TIGIT+
137
CD4+CD73+
d
150
124
47
12346
84
78
138
146
121
27
2
8
43
102
132
137
148
71
106
−5
0
5
0
10
20
Dim1 (24.7%)
Dim2 (16.5%)
Tx
Control
ZM
PCA − Biplot d
150
124
47
12346
84
78
138
146
121
27
2
8
43
102
132
137
148
71
106
−5
0
5
0
10
20
Dim1 (24.7%)
Dim2 (16.5%)
PCA − Biplot To identify combinations of inhibitory receptor expression
altered upon A2AR blockade, we used a principal component
analysis. ARTICLE Only in the largest tumors,
>1,000 mm3, did inhibitory receptor expression in TIL start to
increase as an additional suppressive mechanism (Supplementary
Fig. 1c). Conversely,
amongst
A2AR-blocked
tumors,
TIL
inhibitory receptor expression was already high in smaller
tumors, providing an alternate means of suppression in the
absence of A2AR (Supplementary Fig. 1c). Together these data
suggest that RencaHA tumors rely strongly on A2AR for immune
suppression
with
compensatory
upregulation
of
inhibitory
receptor expression upon A2AR blockade. TIM3 enhances suppression of CD8+ T cell-dependent anti-
tumor immunity by A2AR. To investigate immunosuppressive
synergy between A2AR and TIM3, groups of BALB/c mice bearing
12-day old RencaHA tumors were treated with the A2AR
antagonist ZM 241385 plus or minus the anti-TIM3 blocking
mAb RMT3-23 (Fig. 1). For precise temporal synchronization
and a standardized number of anti-tumor CTL, we used i.v. double adoptive T cell transfer (ATT) of 5 × 106 CL4 TCR
transgenic CTL on days 12 and 14. We observed three phases of
tumor growth upon treatment, an initial ‘growth’ phase of 6 days,
a ‘response’ phase of 8 days, and a subsequent open-ended
‘relapse’ phase (Fig. 3a). As an overall outcome measure, we
determined a ratio of the final tumor volume after growth,
response, and relapse to initial tumor volume at the start of
treatment. Adoptive transfer of CL4 CTL plus both ZM 241385
and anti-TIM3 mAb gave a significant (p < 0.05) reduction in the
average final to initial tumor volume ratio compared with mice
receiving adoptive CL4 T cell transfer plus ZM 241385 only. TIM3 thus enhanced suppression of anti-RencaHA tumor
immunity by A2AR (Fig. 3b). To elucidate mechanisms of the prevention of tumor relapse,
we determined T cell persistence. After the initial response phase
adoptively transferred Thy1.1+ CL4 CTL were only detected in
mice from the ZM 241385 plus anti-TIM3 mAb group. They
could also be expanded by a booster immunization with the HA
peptide in mice receiving only CL4 CTL (Fig. 4a, Supplementary
Fig. 2a). However, Thy1.1+ CL4 CTL were not detected in the
group treated with ZM 241385 alone, with or without a booster
immunization, consistent with the high relapse rate of 8/10. To
determine the role of persistent CD8+ T cells in tumor immunity,
we depleted them. In mice with complete and durable tumor
remission lasting >8 days, only five out of 19 mice experienced
relapsed (Fig. 4b). ARTICLE As TIM3 is more likely to directly affect the
interaction of CTL with their tumor cell targets as discussed in
the introduction, we selected TIM3 blockade as an adjunct
treatment to improve responses to A2AR-antagonism. Expression
of various combinations of inhibitory receptors by CD4+ TIL was
also associated with A2AR antagonist treatment, as not further
pursued here because of our focus on the direct interaction
between CD8+ CTL and tumor target cells. TIM3 mAb resulted in a marked reduction in tumor growth
relative to mice given either CL4 T-cells alone or CL4 CTL plus
ZM 241385 (Fig. 3c) suggesting that TIM3 enhances suppression
of anti-RencaHA tumor immunity by A2AR already in this early
phase of tumor growth. g
In the ‘response’ phase, between days 20 and 26, most tumors
regressed in all treatment groups. Comparing this regression to
the continued RencaHA tumor growth in the absence of CL4
CTL adoptive transfer (Figs. 2b, 3a), the regression can be
attributed to the transferred CL4 CTL. Mice in which tumors
regressed were categorized as ‘responders’. The percentage of
responder mice did not differ between the treatment groups
(Fig. 3d). We then defined ‘relapse’ as tumors reaching a
volume ≥the starting volume. When analyzing all mice, relapse
was slightly delayed in mice treated with ZM 241385 and anti-
TIM3 mAb without reaching statistical significance (Fig. 3e). When analyzing relapse only in responders, relapse frequencies
differed substantially with treatment. Upon adoptive transfer
of CL4 CTL alone, 8/17 tumors relapsed within 26 days of
regression. Upon treatment with adoptive transfer of CL4 CTL
and ZM 241385, tumor relapse occurred in 8/10 responder
mice. However, when anti-TIM3 mAb was used in combination
with ZM 241385 plus adoptive transfer of CL4 CTL, only 3/12
mice underwent relapse after regression (p < 0.05 compared
to treatment with CL4 adoptive transfer plus ZM 241385). Thus, blocking A2AR together with TIM3 decreased RencaHA
tumor relapse. g
PC2 separated TIL by the volume of the tumor they are derived
from, with larger tumors associating positively with PC2. This
highlights the importance of accounting for tumor volume when
assessing immune profiles. CD39 expression strongly drove PC2
while opposing PC1. This indicates that with increasing size
control tumors relied more on adenosine for immune suppres-
sion as opposed by A2AR antagonism. ARTICLE ARTICLE COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 Fig. 2 An A2AR antagonist delays in vivo tumor growth and triggers compensatory upregulation of T cell inhibitory receptors. a TIL from RencaHA
tumor-bearing BALB/c mice was stained with anti-CD25, anti-FoxP3, anti-CD39, and anti-CD73 mAb. On the left and in the middle, representative flow
cytometry data are shown. On the right, percentage TIL expressing CD39 and CD73 are given as mean ± SEM for N = 6 experiments. b Mean RencaHA
tumor volume is given ± SEM in BALB/c mice after s.c. injection of 1 × 106 RencaHA tumor cells on day 0 and i.p. injection with ZM 241385 when tumors
had reached 5 mm diameter in any one direction (day 12–14) and further treatments administered every other day as indicated (linear mixed model to
perform repeated measures ANOVA. **p < 0.01). N = 26 treated mice and 20 control mice over four separate experiments. c CD45+ cells from the
RencaHA tumor-bearing mice treated with ZM 241385 or vehicle control in b were stained using mAbs against CD8, CD4, CD39, CD73, TIM3, TIGIT,
LAG3, and PD-1. Representative flow cytometry data are shown. The gating strategy for the identification of CD8+ TIL is given in Supplementary Fig. 1b. d The outcome of a principal component analysis is given with input data of percentage expression of markers in c in each combination of the eight
markers, representing 308 variables, and tumor volume as an additional variable. Each triangle (ZM 241385-treated) or circle (control-treated) represents
an individual tumor-bearing mouse. Large symbols represent the average position of treated and control mice along PC1 with ellipses showing 95%
confidence intervals. The 24 variables making the greatest contribution to principal component (PC) 1 and 2 are overlaid as numbered vectors and are
listed in the table. Entire FACS data are available as detailed in the data availability statement. Source data are provided in Supplementary Data 1. A2AR blockade. As TIM3 is more likely to directly affect the
interaction of CTL with their tumor cell targets as discussed in
the introduction, we selected TIM3 blockade as an adjunct
treatment to improve responses to A2AR-antagonism. Expression
of various combinations of inhibitory receptors by CD4+ TIL was
also associated with A2AR antagonist treatment, as not further
pursued here because of our focus on the direct interaction
between CD8+ CTL and tumor target cells. A2AR blockade. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 Input data were the percentage of T cells expressing
inhibitory receptors in all combinations and tumor size (Fig. 2c,
d, Supplementary Fig. 1b). Principal component (PC) 1 effectively
distinguished TIL from ZM 241385-treated and control mice
(95% confidence ellipses are shown). Variables that contribute to To identify combinations of inhibitory receptor expression
altered upon A2AR blockade, we used a principal component
analysis. Input data were the percentage of T cells expressing
inhibitory receptors in all combinations and tumor size (Fig. 2c,
d, Supplementary Fig. 1b). Principal component (PC) 1 effectively
distinguished TIL from ZM 241385-treated and control mice
(95% confidence ellipses are shown). Variables that contribute to PC1 were therefore positively associated with A2AR antagonism
of TIL. TIM3 expression was upregulated in combination with
other inhibitory receptors by A2AR antagonist treatment and
contributed to PC1 with p < 0.001. PD-1 and TIGIT expression
were also strongly associated with PC1, albeit TIGIT both
amongst drivers and opposers. Thus, upregulation of the
expression of PD-1 and TIM3 is most strongly associated with PC1 were therefore positively associated with A2AR antagonism
of TIL. TIM3 expression was upregulated in combination with
other inhibitory receptors by A2AR antagonist treatment and
contributed to PC1 with p < 0.001. PD-1 and TIGIT expression
were also strongly associated with PC1, albeit TIGIT both
amongst drivers and opposers. Thus, upregulation of the
expression of PD-1 and TIM3 is most strongly associated with COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio 4 4 COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 c R-values representing the
growth rate of tumors in a, between 12 and 16 days, are given with the mean ± SEM (independent two-sample t-test). d Proportion of tumors across all
experimental replicates in a which were regressed are given as bars ±SEM with proportion in individual experimental replicates as dots. Neither analysis of
pooled data using Fisher’s exact Boschloo test nor of experimental replicates using 1-way ANOVA yield significant differences. e Progression free survival
of mice in a is given. Cox Proportional Hazards Regression analysis. Treatment did not significantly predict progression free survival: (p = 0.24 ATT control;
p = 0.40 ATT + A2AR-Antagonist; p = 0.30 ATT + A2AR-Antagonist + Anti-TIM3 mAb). Hazard ratio of progression versus Control was as follows:
ATT + A2AR-Antagonist = 0.36 (0.61 ± 3.38), ATT + A2AR-Antagonist + Anti-TIM3 mAb = −0.53 (0.21 ± 1.63). Source data are provided in
Supplementary Data 2. in a T cell-dependent fashion. The mechanism underpinning the
immune-enhancing effect of such treatment in the initial anti-
tumor response is the focus of the remainder of this manuscript. (Fig. 5a). Less than 30% of in vitro primed control CL4 CTL
display such lamellae even after 15 min of cell contact; whereas,
all TIL from control-treated tumors do so within 7 min (Fig. 5b). Following treatment of mice with the A2AR antagonist ZM
241385 plus blocking anti-TIM3 mAb off-interface lamellae
formed later, with the median time of first off-interface lamellae
formation delayed from 100 s to 220 s. 11% of cell couples did
not show any off-interface lamellae at all (Fig. 5b). Another
hallmark of defective TIL cytoskeletal polarization is T cell
translocation over the tumor cell surface away from the site of
initial coupling (Fig. 5c). While almost completely absent in
in vitro primed control CTL, 71 ± 9% of TIL displayed such
translocation (Fig. 5d, e). This frequency was significantly
(p < 0.001) reduced to 37 ± 9% and 23 ± 7% upon tumor treat-
ment with ZM 241385 alone or in combination with anti-TIM3
mAb, respectively. Data from these restoration experiments
establish that A2AR, as enhanced by TIM3, contributes to the A2AR and TIM3 suppress the cellular polarization of CTL and
tumor infiltration. Mechanisms of A2AR and TIM3 in suppres-
sion of anti-tumor immunity are of interest. For effective tumor
infiltration and tumor cell killing CTL need to undergo a series of
cytoskeletal polarization steps. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 Time from tumor injection (d)
Proportion without replase
c
a
b
d
e
g. 3 A2AR antagonist and anti-TIM3 mAb synergistically suppress RencaHA tumor growth. a RencaHA tumor-bearing BALB/c mice were injected
wice with 5 × 106 purified CL4 CTL on days 12 and 14 and treated with A2AR-antagonist, anti-TIM3 mAb, or vehicle + isotype-control antibody, as sho
umor growth is displayed as mean tumor volumes + SEM with N = 42 mice over three independent experiments, with at least 11 mice per group. b
tio of final to initial (day 12) tumor volume of tumors in a is given with the mean ± SEM (independent two-sample t-test). c R-values representing
owth rate of tumors in a, between 12 and 16 days, are given with the mean ± SEM (independent two-sample t-test). d Proportion of tumors acros
xperimental replicates in a which were regressed are given as bars ±SEM with proportion in individual experimental replicates as dots. Neither analys
ooled data using Fisher’s exact Boschloo test nor of experimental replicates using 1-way ANOVA yield significant differences. e Progression free surv
mice in a is given. Cox Proportional Hazards Regression analysis. Treatment did not significantly predict progression free survival: (p = 0.24 ATT con
= 0.40 ATT + A2AR-Antagonist; p = 0.30 ATT + A2AR-Antagonist + Anti-TIM3 mAb). Hazard ratio of progression versus Control was as follows:
TT + A2AR-Antagonist = 0.36 (0.61 ± 3.38), ATT + A2AR-Antagonist + Anti-TIM3 mAb = −0.53 (0.21 ± 1.63). Source data are provided in
upplementary Data 2. b a b a Time from t
Proportion without replase
c
d
e c d Time from tumor injection (d)
Proportion without replase
e d e e c Proportion without replase Fig. 3 A2AR antagonist and anti-TIM3 mAb synergistically suppress RencaHA tumor growth. a RencaHA tumor-bearing BALB/c mice were injected i.v. twice with 5 × 106 purified CL4 CTL on days 12 and 14 and treated with A2AR-antagonist, anti-TIM3 mAb, or vehicle + isotype-control antibody, as shown. Tumor growth is displayed as mean tumor volumes + SEM with N = 42 mice over three independent experiments, with at least 11 mice per group. b The
ratio of final to initial (day 12) tumor volume of tumors in a is given with the mean ± SEM (independent two-sample t-test). ARTICLE In addition, responder mice were resistant to
tumor growth following rechallenge with tumor cells (Fig. 4c). In
contrast, treatment with anti-Thy1.1 depleting mAb at 28 days
induced tumor re-growth in 4/4 mice (Fig. 4d). Treatment with
anti-CD8β depleting mAb resulted in tumor re-growth in 2/2
mice (Fig. 4e, Supplementary Fig. 2b) (p < 0.01 of combined
depletion data versus control). Together, these data establish that
response and suppression of relapse depend on the continued
presence of tumor-reactive CTL. To determine at which stage of tumor growth treatment with
ZM 241385 and anti-TIM3 mAb exerted its effect, we analyzed
the three phases of tumor growth separately. Initial tumor growth
in all mice peaked between day 14–18. The combination of
adoptive transfer of CL4 CTL with both ZM 241385 and anti- Thus far, our in vivo data establish that combined treatment with
ZM 241385 and anti-TIM3 mAb enhances anti-tumor immunity 5 COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio ARTICLE COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 The inability to effectively execute
such steps characterizes tumor-infiltrating CTL7. To determine if
A2AR and TIM3 regulate effective TIL polarization in the tumor
microenvironment, we isolated TIL from RencaHA tumors and
imaged their subsequent interaction with KdHA peptide pulsed
Renca cells ex vivo. One hallmark of defective cytoskeletal TIL
polarization is CTL lamellae directed away from the cellular
interface with the tumor target cell to destabilize the cell couple COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio 6 6 ARTICLE COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 ective cytoskeletal polarization of TIL. Consistent with the
ortance of such CTL cytoskeletal polarization for cytolysis,
tment of tumors with the A
R antagonist ZM 241385 plus
As an additional process requiring cytoskeletal activity
examined the infiltration of endogenous CD8+ T cells and
CTL into Renca tumors in vivo Such infiltration was focuse
Thy1.1
Normalized cell count
a
b
c
d
e
4 A2AR antagonist plus anti-TIM3 mAb diminish tumor relapse in a T cell-dependent fashion. Mouse numbers across the different parts o
eriments are detailed in Supplementary Fig. 2a. a RencaHA tumor-bearing BALB/c were injected i.v. with two doses of 5 × 106 Thy1.1+ CL4 CTL (
either vehicle and isotype control, A2AR-antagonist (ZM 241385) alone or A2AR antagonist + anti-TIM3 mAb as shown. The percentage of Th
TIL between days 25 and 48 is given as representative data from N = 25 mice over three independent experiments. Mice were either immunized
peptide 5 days prior to TIL harvest (N = 5) to induce expansion of Thy1.1 + CL4 T cells or immunized with empty vehicle control (N = 19); on
esentative graph is shown for each group. b–e Tumor growth curves from individual mice treated in Fig. 3a, which had experienced complete
ble tumor remission. b untreated and c rechallenged with tumor cells at day 40; d depleted of Thy1.1+ T cells using anti-Thy1.1 depleting mA
ays; e depleted of all CD8+ T cells using anti-CD8β depleting mAb at 28 days with depletion efficiency shown in Supplementary Fig. 2b. Source
provided in Supplementary Data 3. Thy1.1
Normalized cell count
a b b a c d d d c e e Fig. 4 A2AR antagonist plus anti-TIM3 mAb diminish tumor relapse in a T cell-dependent fashion. Mouse numbers across the different parts of the
experiments are detailed in Supplementary Fig. 2a. a RencaHA tumor-bearing BALB/c were injected i.v. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 with two doses of 5 × 106 Thy1.1+ CL4 CTL (ATT)
plus either vehicle and isotype control, A2AR-antagonist (ZM 241385) alone or A2AR antagonist + anti-TIM3 mAb as shown. The percentage of Thy1.1+
CL4 TIL between days 25 and 48 is given as representative data from N = 25 mice over three independent experiments. Mice were either immunized with
HA peptide 5 days prior to TIL harvest (N = 5) to induce expansion of Thy1.1 + CL4 T cells or immunized with empty vehicle control (N = 19); one
representative graph is shown for each group. b–e Tumor growth curves from individual mice treated in Fig. 3a, which had experienced complete and
durable tumor remission. b untreated and c rechallenged with tumor cells at day 40; d depleted of Thy1.1+ T cells using anti-Thy1.1 depleting mAb at
28 days; e depleted of all CD8+ T cells using anti-CD8β depleting mAb at 28 days with depletion efficiency shown in Supplementary Fig. 2b. Source data
are provided in Supplementary Data 3. As an additional process requiring cytoskeletal activity, we
examined the infiltration of endogenous CD8+ T cells and CL4
CTL into Renca tumors in vivo. Such infiltration was focused on
peripheral tumor regions and was enhanced upon treatment with
the A2AR antagonist ZM 241385 plus blocking anti-TIM3 mAb
(Fig. 5h, i). In contrast, CD4+ Treg infiltration was diminished
(Fig. 5i). An enhanced ratio of CD8+ CTL to CD4+ Tregs in the
tumor thus constitutes an additional potential mechanistic
contribution of reduced tumor growth in mice upon blockade
of the A2AR and TIM3. defective cytoskeletal polarization of TIL. Consistent with the
importance of such CTL cytoskeletal polarization for cytolysis,
treatment of tumors with the A2AR antagonist ZM 241385 plus
blocking anti-TIM3 mAb significantly (p = 0.02) enhanced
ex vivo CL4 TIL killing (Fig. 5f, g). We have also seen the
restoration of CTL cytoskeletal polarization and killing upon
treatment of RencaHA tumor-bearing mice with anti-PD-17. It is
now of interest whether or not A2AR and TIM3, in contrast to
PD-17, directly regulate the interaction between CTL and their
tumor target cells. 7 7 COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio ARTICLE COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 d TIM3 directly inhibit the killing of tumor target cells
CTL in spheroids. ARTICLE These data corroborate a cytos-
keletal mechanism for A2AR-mediated suppression of TIL func-
tion. They also constitute an interesting contrast to PD-1, as
investigated in the same experimental system7. As CTL con-
stitutively express PD-1 and Renca cells PD-L1, we used anti-PD-
1 to investigate the role of PD-1 in cytoskeletal polarization. Rather than restoring CL4 CTL and ex vivo TIL cytoskeletal
polarization as expected for blocking an inhibitory interaction,
anti-PD-1 increased the frequency of occurrence of off-interface
lamellae and the translocation phenotype7. In addition, calcium
signaling was impaired not enhanced7. The inhibition of cytos-
keletal polarization in the direct interaction of CTL with their
target cells by A2AR thus is in contrast to the stimulatory role of
PD-1. Adenosine impairs CTL cytoskeletal polarization. Restoration
of cytoskeletal polarization and increased tumor infiltration were
potential mechanisms of immune enhancement in vivo in TIL
from tumors treated with the A2AR antagonist ZM 241385
together with anti-TIM3 mAb. To determine the direct roles of
A2AR in cytoskeletal polarization and CTL effector function, we
investigated CL4 CTL function in vitro (Fig. 1). Migratory T cells
extend a leading lamella and form a uropod at the posterior end. CL4 CTL treatment with the A2AR agonist CGS-21680 at 1 µM
reduced the percentage of CL4 T cells with a uropod from
80 ± 4% in control-treated CL4 CTL to 25 ± 5% (p < 0.001)
(Fig. 7a), indicative of suppression of the migratory phenotype. These data are consistent with the suppression of CL4 CTL
spheroid infiltration upon treatment with CGS-21680 (Fig. 6c). Formation of a tight cell couple of a CTL with a tumor cell is the
first step of killing and requires the effective extension of lamellae
towards the target cell as a cytoskeletal polarization step. Upon
treatment with CGS-21680 the frequency of CL4 CTL forming a
tight cell couple upon contact with RencaHA target cells was
significantly (p < 0.01) reduced from 49 ± 6% upon control
treatment to 32 ± 7% (Fig. 7b). In CTL tumor cell couples, T cell
translocation over the tumor target cell surface and off-interface
lamellae are defining cytoskeletal features of suppressed TIL. ARTICLE ARTICLE COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 Fig. 5 A2AR plus TIM3 suppress CTL polarization, killing, and infiltration in the TME. a–e Ex vivo cytoskeletal polarization of CL4 TIL from RencaHA
tumor-bearing BALB/c mice upon ATT of CL4 T cells and treatment with combinations of A2AR antagonist and anti-TIM3 mAb (N = 5 control, N = 3 both
treatments, N = 2 A2AR antagonist alone) in comparison to in vitro CL4 CTL is given. Mouse numbers across the different parts of the experiments are
detailed in Supplementary Fig. 2a. a Representative image sequence in 20 s steps of a CL4 CTL with off-interface lamellae as labeled with black arrows. Time 0:00 is arbitrary. Scale bar = 5 µm. Entire image sequence in Supplementary Movie 1 with a second time series in Supplementary Movie 2. b Time
until the formation of the first off-interface lamella is given. Kaplan–Meier survival analysis (Log Rank) N > 30 cell couples per condition over four
experiments. c Representative image sequence in 1 min steps of a CL4 CTL with a translocation, i.e. CTL movement of >1 interface diameter from the initial
location of the immune synapse (red line). Time 0:00 is the time of tight cell coupling. Scale bar =5 µm. Entire image sequence in Supplementary Movie 3
with a second time series in Supplementary Movie 4. d The frequency of cell couples with translocation is given ± SEM. 1-way ANOVA. N = 21–132 cell
couples per condition over ≥2 experiments. Alternate analysis of pooled data of percent translocation by proportion’s z-test yields p < 0.0001 for all
comparisons between CTL/TIL and treated TIL samples. e Growth curves of the tumors used for analyses a–d are shown. f RencaHA tumor-bearing BALB/c
mice were treated with A2AR antagonist and anti-TIM3 mAb from day 12. ATT of CL4 T cells was given on day 12. The killing of KdHA-pulsed Renca mCherry
tumor cells by day 16 ex vivo CL4 TIL is given at an E:T ratio of 3:2. Each point = 1 tumor, N = 2 experiments. Size-matched tumors analyzed on the same day
are paired for comparison using a t-test. g Growth of the tumors used for killing analysis in f are shown as two separate experiments. h, i Half of the size-
matched tumors from mice in e and g were stained. h A representative image with CD8 staining in red and Thy1.1 staining in green. ARTICLE scale bar = 50 µm. i The
numbers of (left panel) endogenous Thy1.2+CD8+ TIL and adoptively transferred Thy1.1+ Clone 4 TIL or (right panel) total CD8+ TIL and FOXP3+
regulatory T cells in ten peripheral and ten central tumor areas are given. N = 2 control tumors and three treated tumors analyzed over two experiments. Size-matched tumors fixed on the same day are paired for analysis using a t-test. Source data are provided in Supplementary Data 4. co-cultures
with
the
A2AR
agonist
CGS-21680
at
1 µM36
(Fig. 6c–e). Such treatment led to a significant (p < 0.05) reduction
of CL4 CTL infiltration into the spheroids to about half of the level
of infiltration seen with the vehicle only control (Fig. 6c, e),
consistent with previously described enhancement of CTL infil-
tration into tumors upon A2AR antagonist treatment24 and in
A2AR-deficient mice22. In CGS-21680 treated spheroids, Renca
cell death was drastically diminished reaching only 16% of control
at the 12 h time point (p < 0.005) (Fig. 6d, e). As the effect of CGS-
21680 on killing is substantially greater than the effect on infil-
tration, reduced spheroid infiltration can only partially account for
reduced tumor cell death upon treatment with the A2AR agonist. Therefore, A2AR likely also impairs the execution of tumor cell
killing. In combination, the spheroid data establish that A2AR and
TIM3 directly suppress the ability of CL4 T cells to kill tumor
target cells with an additional inhibitory effect of A2AR in reducing
CTL infiltration. 36 ± 9% and 29 ± 4%, respectively (p < 0.001) (Fig. 7c). This
enhancement was reversed by parallel treatment with ZM 241385
at 1.25 µM. NECA and ZM 241385 at the concentrations used
engage both A2AR and A2BR35. However, as A2AR mRNA
expression in T cells is several-fold higher than that of A2BR and
A2AR-deficient lymphocytes don’t elevate cAMP in response to
adenosine any more20, the induction of CL4 T cell translocation
and the reversion thereof are most likely mediated by A2AR. Similarly, off-interface lamellae became more frequent upon CL4
CTL treatment with NECA and formed more rapidly, as both
partially reversed by parallel treatment with ZM 241385 (Fig. 7d). Together these data establish that engagement of A2AR on CTL
suppresses cytoskeletal polarization at multiple stages of CTL
function, migration, cell couple formation and the maintenance
of a fully polarized cell couple. COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 To determine whether A2AR and
ectly regulate the interaction of suppressed CTL with
ll
l
d h i
i
i
not diminish spheroid infiltration by CL4 CTL (Fig. ever, it diminished the ability of CL4 CTL to kill Renca
inside the spheroids as determined with DRAQ7
(Fi
6b)
C
fi
i
TIM3 d
d
di
i i h
a
c
b
d
e
g
f
h
i
0:00
0:20 0:40
1:00
1:20 1:40 a
c
b
e
0:00
0:20 0:40
1:00
1:20 1:40 c a
0:00
0:20 0:40
1:00
1:20 1:40 c b
e
1:00
1:20 1:40 e b e g g f g
f d
h
i f d g h i i i A2AR and TIM3 directly inhibit the killing of tumor target cells
by CL4 CTL in spheroids. To determine whether A2AR and
TIM3 directly regulate the interaction of suppressed CTL with
their tumor target cells, we employed the in vitro reconstruction
of CL4 CTL suppression in our Renca spheroid/CL4 CTL only
system (Fig. 1). To determine the roles of TIM3, we overexpressed
a TIM3-GFP fusion protein in CL4 CTL. Such overexpression did not diminish spheroid infiltration by CL4 CTL (Fig. 6a). How-
ever, it diminished the ability of CL4 CTL to kill Renca target cells
inside the spheroids as determined with DRAQ7 staining
(Fig. 6b). Confirming TIM3-dependence, diminished Renca
tumor cell killing could be reversed with the anti-TIM3 blocking
mAb RMT3-23 (Fig. 6b). To determine the roles of A2AR in
tumor cell killing by CTL, we treated CL4 CTL/Renca spheroid COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio 8 COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 ARTICLE a
b
4 6 8 10 12
Ftractin vs TIM3
<0.005 <0.001
TIM3 vs TIM3 + anti-TIM3 mab
0.01 <0.001 <0.001
Ftractin vs TIM3 + anti-TIM3 mab
0.005 a b
4 6 8 10 12
Ftractin vs TIM3
<0.005 <0.001
TIM3 vs TIM3 + anti-TIM3 mab
0.01 <0.001 <0.001
Ftractin vs TIM3 + anti-TIM3 mab
0.005 b a Discussion
To build a diverse tool kit of reagents for comprehensive cancer
immunotherapy, it is vital we understand mechanisms of action
of mediators of immune suppression. Using a matched in vivo,
ex vivo, and in vitro spheroid approach, we have established
that A2AR and TIM3 directly suppress the ability of CTL to kill
tumor target cells. However, such establishment of a direct
effect does not rule out the existence of additional in
effects by hich A2AR and TIM3 blockade could enhance
immunity. For example, TIM3 is expressed on regulatory
in the tumor microenvironment across many tumor m
including Renca37. Blocking TIM3 diminishes the supp
function of such regulatory T cells and thus promotes
tumor immunity37. Our data consistently link defects in
c
d
4 6 8 10 12
Ftractin vs TIM3
<0.005 <0.001
TIM3 vs TIM3 + anti-TIM3 mab
0.01 <0.001 <0.001
Ftractin vs TIM3 + anti-TIM3 mab
0.005
4 6 8 10 12
control vs CGS-21680
0.02 <0.005
2 4 6 8 10 12
control vs CGS-21680 0.01
0.02 0.02 <0.005
e
RencaHA tdTomato spheroid with F-tracin-GFP CL4 CTL
RencaHA tdTomato spheroid with F-tracin-GFP CL4 CTL
+ CGS-21680
10
COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio c
2 4 6 8 10 12
control vs CGS-21680 0.01
0.02 0.02 <0.005 d
4 6 8 10 12
control vs CGS-21680
0.02 <0.005 d c control vs CGS-21680 e
RencaHA tdTomato spheroid with F-tracin-GFP CL4 CTL e RencaHA tdTomato spheroid with F-tracin-GFP CL4 CTL
+ CGS-21680 RencaHA tdTomato spheroid with F-tracin-GFP CL4 CTL
+ CGS-21680 RencaHA tdTomato spheroid with F-tracin-GFP CL4 CTL
+ CGS-21680 RencaHA tdTomato spheroid with F-tracin-GFP CL4 CTL RencaHA tdTomato spheroid with F-tracin-GFP CL4 CTL effect does not rule out the existence of additional indirect
effects by hich A2AR and TIM3 blockade could enhance tumor
immunity. For example, TIM3 is expressed on regulatory T cells
in the tumor microenvironment across many tumor models,
including Renca37. Blocking TIM3 diminishes the suppressive
function of such regulatory T cells and thus promotes anti-
tumor immunity37. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 Our data consistently link defects in CTL ARTICLE Treatment of CL4 CTL with 1 µM or 10 µM of the pan-adenosine
receptor agonist NECA enhanced the percentage of CL4 CTL that
translocated over the tumor target cell surface from 4 ± 2% to Cytoskeletal polarization also contributes to CTL signaling and
effector function other than migration and killing. We therefore
investigated CTL calcium signaling and naïve T cell proliferation. The elevation of the cytoplasmic calcium concentration in CL4
CTL upon interaction with KdHA peptide pulsed Renca tumor
target cells was partially inhibited by treatment with 1 µM CGS-
21680 (Fig. 7e). Proliferation of naïve CL4 T cells upon
stimulation with anti-CD3/CD28 was partially inhibited by
1 µM or 20 µM NECA, as reversed with parallel treatment with
the A2AR antagonist ZM 241385 at 1.25 µM without reaching
statistical significance (Fig. 7f). An only moderate effect of A2AR
on T cell proliferation has been previously reported19. A
determination of whether these defects are secondary to impaired
cytoskeletal polarization or independent thereof is beyond the
scope of this manuscript. Such defects, albeit moderate in size,
may contribute to the immune-suppressive function of A2AR. MMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio 9 COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 ARTICLE In altered immunosuppressed and altered-
excluded tumors cancer-specific CTL priming and infiltration do
occur but tumor-mediated immune suppression, rather than relying
predominantly on inhibitory receptors, employs alternate sup-
pressors such as adenosine and prostaglandin E2, Tregs, and inhi-
bitory cytokines such as IL-10 and TGF-β13. Moreover, infiltration
of CTL into tumors can often be partial, reaching only the per-
ipheral stromal regions of the tumor mass. Therapeutic approaches
to increase tumor infiltration by CTL are therefore important in
extending immunotherapy to cold and altered phenotype cancers. CTL tumor infiltration is enhanced in A2AR-deficient mice, mice
with selective A2AaR deletion in T cells and upon A2AR agonist
treatment,
albeit
in
experiments
using
hot
mouse
tumor
models22–24. In various mouse models, CD73 activity on non-
hematopoietic cells limited tumor infiltration of T cells54. Increased
tumor infiltration of CD8+ CTL upon A2AR blockade may occur
because A2AR regulates the endothelium55. In addition, CTL-
intrinsic mechanisms of enhanced tumor infiltration are likely. We
showed that A2AR engagement could efficiently block CL4 CTL
infiltration of spheroids (Fig. 6c). A2AR engagement directly sup-
presses CD8+ T cell migration through inhibition of the KCa3.1 ion
channel56. Adenosine may also regulate the infiltration of other in
immune cell types, as blockade of CD73 leads to increased dendritic p
Nevertheless, the focus on a direct effect of checkpoint block-
ade regimens on CTL responses is important as a complement to
current inhibitory receptor blockade therapies. CTLA-4 and PD-1
blockade improve the anti-tumor immune response amongst
patients with melanoma, NSCLC, and hematological cancers13,42,
however, frequently with substantial adverse immunological
effects. PD-1 and CTLA-4 are expressed during T cell differ-
entiation and by CTL throughout the body. Moreover, they are
expressed by other cell types, such as myeloid cells and regulatory
T cells, respectively. Action on myeloid cell types and the gen-
eration of new T cell clones at priming, potentially including
autoreactive ones, maybe a principal mechanism of PD-1 and
CTLA-4 blockade with only secondary effects on CTL killing43,44:
In basal and squamous cell carcinoma patients, anti-PD-1 does
not lead to the activation of existing anti-tumor T cell clones but
to tumor enrichment of new ones6. In a mouse melanoma model
deletion of PD-1 in T cells does not enhance anti-tumor immu-
nity; however, deletion of PD-1 in myeloid cells does5. ARTICLE The engagement of a TCR by its physiological cognate MHC/
peptide ligand is critical for the investigation of cytoskeletal
regulation38. To allow such TCR engagement, the experiments
here were conducted in a murine system. Previous work on
adenosine and TIM3 suggests that findings are likely to be
directly applicable in humans. For example, the preclinical
efficacy of A2AR antagonists which are now licensed for control
of Parkinson’s disease was initially established in mice39,40. Elevated expression of TIM3 on Th1 cells is observed in both
multiple sclerosis and its established mouse model of experi-
mental autoimmune encephalitis and is required for the sup-
pression of autoimmunity41. Moreover, the blocking anti-TIM3
antibody used here targets the same phosphatidylserine-
binding site of TIM3 as an antibody currently in clinical
trial41. However, while human anti-TIM3 antibodies pursued
therapeutically are largely Fc receptor-silent27, the rat IgG2a
subclass of the anti-TIM3 antibody RMT3-23 used here does
effectively engage Fcγ receptors and can thus trigger corre-
sponding effector functions. Thus, these caveats need to be
considered when translating our findings into therapeutic
development. Despite the promise of targeting TIM3 and AAR in early
clinical trials, it is still unclear whether or not blocking A2AR and/
or TIM3 will lead to fewer autoimmune side effects. Adenosine,
A2AR and TIM3 not only suppress T cell function but also that of
myeloid cells49,50. However, effects of adenosine in myeloid cells
may be mediated by another adenosine receptor, A2BR51. A2AR
expression in T cells also contributes to thymic development and
in the maintenance of a quiescent state among naïve T cells52. Autoimmunity upon melanoma rejection in A2AR-deficient mice
has been observed19. Nevertheless, approval of the A2AR
antagonist
Istradefylline
for
the
treatment
of
Parkinson’s
Disease53 and several early phase clinical trials of the A2AR
antagonist CPI-444 in cancer indicate that autoimmune side
effects of A2AR blockade can be minimal. CTLA-4 and PD-1 have the greatest efficacy in tumors that
possess large numbers of infiltrated CD8+ TIL, which are pre-
dominantly suppressed by inhibitory receptor expression13. How-
ever, such ‘hot’ tumors represent only a minority of all cancer types,
prominently melanomas. In contrast, cold tumors lack an immune
infiltrate almost entirely. ARTICLE ARTICLE COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 Fig. 6 A2AR and TIM3 suppress infiltration and killing of tumor spheroids by CTL. a, b CTL retrovirally transduced to express TIM3-GFP or F-tractin-GFP
as control were cocultured with RencaHA tdTomato spheroids incubated with KdHA peptide for 12 h ± 10 µg/ml anti-TIM3 mAb (clone RMT3-23) with
images acquired every 2 h. Each data point is an independent experiment (N = 11) with five or six spheroids analyzed per independent experiment. a SIL
densities are shown with the mean ± SEM. b Spheroid death, as measured by the increase in DRAQ7+ spheroid volume, is shown for the same experiments
as in a. c, d CL4 CTL transduced to express F-tractin-GFP were cocultured with RencaHA tdTomato spheroids ±1 µM CGS-21680. Each data point is an
independent experiment (N = 3) with three spheroids analyzed per independent experiment. c CL4 T cell densities are shown as mean ± SEM. d Spheroid
death, as measured by the increase in DRAQ7+ spheroid volume, is shown for the same experiments as in c. All data were analyzed by 2-Way ANOVA,
matched by independent repeat and time point. e Representative images of RencaHA tdTomato spheroids (red) with F-tractin-GFP-expressing CL4 CTL
(green) as stained for cell death with DRAQ7 (blue) ± 1 µM CGS-21680 as indicated. scale bar = 100 µm with the same scale for both images. Entire
imaging data are available as detailed in the data availability statement. Source data are provided in Supplementary Data 5. relapsed/refractory solid tumors (Eli Lilly) and Sabatolimab
(MGB453) in combination with anti-PD-1 in advanced solid
tumors (Novartis)46,47. Currently, there are at least four A2AR
antagonists which are in Phase II trials, NIR-178 (Novartis) with
anti-PD-1 in multiple solid tumors and diffuse large B-cell lym-
phoma, PBF-509 (Novartis) in non-small cell lung carcinoma
with anti-PD-1, NCT02754141 (Astra Zeneca) with anti-PD-L1
and anti-CD73 in prostate cancer and an A2A/A2B antagonist
AB928 (Arcus Biosciences) with chemotherapy in pancreatic
cancer48. Our work may provide an incentive to include the
investigation of CTL polarization as an integral part of such trials. cytoskeletal polarization to diminished killing. However, while
diminished killing is a plausible explanation for the in vivo
effects of TIM3 and A2AR, only by direct in vivo manipulation
of cytoskeletal polarization, in future experiments, one can
prove that such impaired polarization limits tumor immunity. COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio Discussion To build a diverse tool kit of reagents for comprehensive cancer
immunotherapy, it is vital we understand mechanisms of action
of mediators of immune suppression. Using a matched in vivo,
ex vivo, and in vitro spheroid approach, we have established
that A2AR and TIM3 directly suppress the ability of CTL to kill
tumor target cells. However, such establishment of a direct COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio 10 COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 c, d Imaging of the interaction between in vitro CL4 CTL with KdHA-pulsed Renca
A ±1 25 μM A2aR antagonist ZM 241385 c Percentage of cell couples with translocation (1-way ANOVA) ±SEM N = 28- b a buffer only
CGS-21680
T
T
T
T
T
T
T
T
T
T
T
T
T
T b a c d d
f c f e f e Fig. 7 A2AR suppresses the cytoskeletal polarization of CTL. a Percentage of in vitro CL4 CTL with a uropod ± 1 µM CGS-21680 ± SEM. N = 4 independent
experiments, 220/648 T cells analyzed. Representative images of CL4 T cells (labeled with ‘T’) in a field with Renca APC treated ± 1 µM CGS-21680. Arrows
indicate uropods. Scale bar = 5 µm. b Frequency of CL4 T cells that form a tight cell couple upon contact with a Renca APC incubated with 2 µg/ml KdHA
peptide ± SEM. N = 2 independent experiments, 68/234 T cells analyzed. c, d Imaging of the interaction between in vitro CL4 CTL with KdHA-pulsed Renca
tumor cell targets treated with NECA ±1.25 μM A2aR antagonist ZM 241385. c Percentage of cell couples with translocation (1-way ANOVA) ±SEM. N = 28-
132 cell couples per condition over ≥2 experiments. Alternate analysis of pooled data by proportion’s z-test yields p < 0.001 for all comparisons between NECA
only-treated and control or ZM 241385-treated samples. d Time until the formation of first off-interface lamella (Kaplan–Meier survival analysis (Log Rank)). P < 0.01 all comparisons. e In vitro CL4 CTL interacted with RencaHA cells incubated with 2 µg/ml KdHA peptide ± 1 µM CGS-21680. The ratio of Fura-2
emissions at 510 nm upon excitation at 340 nm over 380 nm is given relative to time of tight cell coupling as the mean ± SEM. N = 2 independent experiments,
13/42 T cells analyzed. f CL4 T cells were primed in vitro using anti-CD3/CD28 mAb. NECA ± 1.25 µM ZM 241385 were added at 0 h and 3H-thymidine for the
last 8 h of cell culture. Proliferation was quantified by 3H-thymidine incorporation (cpm) and is given as the mean ± SEM (N = 3 experiments). Source data are
provided in Supplementary Data 6 (all but the calcium data) and Supplementary Data 7 (calcium data). cell infiltration in the context of radiotherapy of poorly immuno-
genic tumors50. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 Representative images of CL4 T cells (labeled with ‘T’) in a field with Renca APC treated ± 1 µM CGS-21680. A
ndicate uropods. Scale bar = 5 µm. b Frequency of CL4 T cells that form a tight cell couple upon contact with a Renca APC incubated with 2 µg/ml K
peptide ± SEM. N = 2 independent experiments, 68/234 T cells analyzed. c, d Imaging of the interaction between in vitro CL4 CTL with KdHA-pulsed
umor cell targets treated with NECA ±1.25 μM A2aR antagonist ZM 241385. c Percentage of cell couples with translocation (1-way ANOVA) ±SEM. N
32 cell couples per condition over ≥2 experiments. Alternate analysis of pooled data by proportion’s z-test yields p < 0.001 for all comparisons between N
only-treated and control or ZM 241385-treated samples. d Time until the formation of first off-interface lamella (Kaplan–Meier survival analysis (Log R
P < 0.01 all comparisons. e In vitro CL4 CTL interacted with RencaHA cells incubated with 2 µg/ml KdHA peptide ± 1 µM CGS-21680. The ratio of Fur
emissions at 510 nm upon excitation at 340 nm over 380 nm is given relative to time of tight cell coupling as the mean ± SEM. N = 2 independent experim
3/42 T cells analyzed. f CL4 T cells were primed in vitro using anti-CD3/CD28 mAb. NECA ± 1.25 µM ZM 241385 were added at 0 h and 3H-thymidine f
ast 8 h of cell culture Proliferation was quantified by 3H thymidine incorporation (cpm) and is given as the mean ± SEM (N
3 experiments) Source da b
d
f
buffer only
CGS-21680
T
T
T
T
T
T
T
T
T
T
T
T
T
T
keletal polarization of CTL. a Percentage of in vitro CL4 CTL with a uropod ± 1 µM CGS-21680 ± SEM. N = 4 independent
zed. Representative images of CL4 T cells (labeled with ‘T’) in a field with Renca APC treated ± 1 µM CGS-21680. Arrows
b Frequency of CL4 T cells that form a tight cell couple upon contact with a Renca APC incubated with 2 µg/ml KdHA
experiments, 68/234 T cells analyzed. ARTICLE We
showed that blocking PD-1 in the in vitro interaction between
CTL and tumor cells actually impaired, rather than improved,
killing and the necessary cytoskeletal polarization steps7. The
direct role of A2AR and TIM3 in regulating CTL—tumor cell
interaction thus generates a promising contrast to PD-1 and
CTLA-4. Accordingly, A2AR antagonists and anti-TIM3 are
already explored in early-stage clinical trials, often in combina-
tion with anti-PD-127,45. Anti-TIM3 mAb which has recently
completed Phase I trials include LY3321367 in advanced COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio 11 ARTICLE COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 a
b
c
d
e
f
buffer only
CGS-21680
T
T
T
T
T
T
T
T
T
T
T
T
T
T
Fig. 7 A2AR suppresses the cytoskeletal polarization of CTL. a Percentage of in vitro CL4 CTL with a uropod ± 1 µM CGS-21680 ± SEM. N = 4 independe
experiments, 220/648 T cells analyzed. Representative images of CL4 T cells (labeled with ‘T’) in a field with Renca APC treated ± 1 µM CGS-21680. Arro
indicate uropods. Scale bar = 5 µm. b Frequency of CL4 T cells that form a tight cell couple upon contact with a Renca APC incubated with 2 µg/ml KdH
peptide ± SEM. N = 2 independent experiments, 68/234 T cells analyzed. c, d Imaging of the interaction between in vitro CL4 CTL with KdHA-pulsed Ren
tumor cell targets treated with NECA ±1.25 μM A2aR antagonist ZM 241385. c Percentage of cell couples with translocation (1-way ANOVA) ±SEM. N = 2
132 cell couples per condition over ≥2 experiments. Alternate analysis of pooled data by proportion’s z-test yields p < 0.001 for all comparisons between NEC
only-treated and control or ZM 241385-treated samples. d Time until the formation of first off-interface lamella (Kaplan–Meier survival analysis (Log Rank
P < 0.01 all comparisons. e In vitro CL4 CTL interacted with RencaHA cells incubated with 2 µg/ml KdHA peptide ± 1 µM CGS-21680. The ratio of Fura-2
emissions at 510 nm upon excitation at 340 nm over 380 nm is given relative to time of tight cell coupling as the mean ± SEM. N = 2 independent experimen
13/42 T cells analyzed. f CL4 T cells were primed in vitro using anti-CD3/CD28 mAb. NECA ± 1.25 µM ZM 241385 were added at 0 h and 3H-thymidine for t
last 8 h of cell culture. Proliferation was quantified by 3H-thymidine incorporation (cpm) and is given as the mean ± SEM (N = 3 experiments). Source data a
provided in Supplementary Data 6 (all but the calcium data) and Supplementary Data 7 (calcium data). a
b
c
d
e
f
buffer only
CGS-21680
T
T
T
T
T
T
T
T
T
T
T
T
T
T
Fig. 7 A2AR suppresses the cytoskeletal polarization of CTL. a Percentage of in vitro CL4 CTL with a uropod ± 1 µM CGS-21680 ± SEM. N = 4 indepe
experiments, 220/648 T cells analyzed. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 CD8β no azide (for in vivo depletion) 53-5.8 BioXcell InVivoMAb 100 μg/
mouse RRID:AB_2687706 Thy1.1 no azide (for in vivo depletion) 19E12 BioXcell InVivoMAb 250 μg/
mouse RRID:AB_2687700 CD3ε no azide (for in vitro priming) 145-2C11 BioXcell InVivoMAb 10 μg/ml
RRID:AB_1107634 CD3ε no azide (for in vitro priming) 145-2C11 BioXcell InVivoMAb 10 μg/ml
RRID:AB_1107634 CD28 no azide (for in vitro priming) 37.51 BioXcell InVivoMAb 1 μg/ml
RRID:AB_1107624 CD28 no azide (for in vitro priming) 37.51 BioXcell InVivoMAb 1 μg/ml
RRID:AB_1107624 Rabbit H + L AF488 Life Technologies 1:1000 RRID:AB_14316 g
Rabbit H + L AF405 Life Technologies 1:1000 RRID:AB_221605 Rat IgG2a,κ BioLegend 1:500 RRID:AB_326523 FOXP3 no azide FJK-16S ThermoFisher 1:100 RRID:AB_4675 FOXP3 APC FJK-16S ThermoFisher 1:40 RRID:AB_469457 Thy1.1 FITC OX-7 BD Bioscience 1:100 RRID:AB_395588 g
y
D73 BV605 TY/11.8 BioLegend 1:100 RRID:AB_2561528 Cell culture. Murine Renal Carcinoma cell line (RRID:CVCL_2174) and Phoenix
retrovirus-producing cell line (RRID:CVCL_H717) were maintained as previously
described7. To generate in vitro CL4 CTL, CL4 mouse spleens from 6-12-week-old male or
female mice were macerated. Red blood cells were lysed using ACK Lysis buffer
(Gibco, ThermoFisher, Gloucester UK), and the remaining splenocytes were
resuspended in complete medium, RPMI-1640 with 10% FBS and 50 µM
2-mercaptoethanol. 5 × 106 cells were seeded into each flat bottomed 24 well tissue
culture plate with 1 μg/ml of KdHA peptide (IYSTVASSL[518-526]) from influenza
virus A/PR/8/H1N1, for 24 h at 37 °C. After 24 h, cells were washed five times in
RPMI (Gibco) and reseeded into 24 well plates at 5 × 106 cells per well in 2 ml
complete medium containing 50 units/ml of recombinant human IL-2 (National
Institutes of Health/NCI BRB Preclinical Repository). Retroviral transduction was
performed if required as previously described7. CL4 T cells were then passaged
every 12–24 h using fresh IL-2 containing complete medium. Where indicated, 1 or
10 µM NECA (Sigma), 1.25 µM ZM 241385 (Santa Cruz), or 1 µM CGS-21680
(Tocris) were added to cell culture. DMSO was used as vehicle control. ZM 241385
properties, including selectivity for adenosine receptors, are detailed at https://
www.abcam.com/zm-241385-a2a-antagonist-ab120218.html. p
p
In summary, our work supports blocking of A2AR and TIM3 as
an attractive complement to PD-1 and CTLA-4 blockade in anti-
tumor immunotherapy. A2AR and TIM3 blockade directly
enhanced the ability of CTL to polarize towards and kill tumor
target cells in tumors and tumor spheroids and may thus reac-
tivate tumor-resident suppressed CTL. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 LAG3 PeCy7 C9B7W eBioscience 1:200 discontinued
PD1 BV785 29 F.1A12 BioLegend 1:200 RRID:AB_2563680
TCRβ AF647 H57-597 BioLegend 1:200 RRID:AB_493346
Thy1.1 FITC OX-7 BD Bioscience 1:100 RRID:AB_395588
Thy1.1 PerCP-Cy5.5 OX-7 BioLegend 1:100 RRID:AB_961438
CEACAM1 APC CC1 BioLegend 1:100 RRID:AB_2632612
For blocking and T cell priming
TIM3 no azide (for in vitro/in vivo blockade) RMT3-23 BioXcell In Vivo mAb
in vivo: 100 μg/mouse in vitro: 10 μg/ml RRID:AB_10949464
Isotype control for anti-TIM3 Rat IgG2a 2A3 no azide (for in vivo/in vitro
blockade) BioXcell In Vivo mAb in vivo: 100 μg/mouse in vitro: 10 μg/ml
RRID:AB_1107769
CD8β no azide (for in vivo depletion) 53-5.8 BioXcell InVivoMAb 100 μg/
mouse RRID:AB_2687706
Thy1.1 no azide (for in vivo depletion) 19E12 BioXcell InVivoMAb 250 μg/
mouse RRID:AB_2687700
CD3ε no azide (for in vitro priming) 145-2C11 BioXcell InVivoMAb 10 μg/ml
RRID:AB_1107634
CD28 no azide (for in vitro priming) 37.51 BioXcell InVivoMAb 1 μg/ml
RRID:AB_1107624
For immunohistochemistry:
FcBlock no azide (for blockade of Fc receptors) 2.4G2 BD Biosciences 1:50
RRID:AB_2870673
CD8α no azide 53-6.7 BioLegend 1:500 RRID:AB_312741
Rabbit H + L AF488 Life Technologies 1:1000 RRID:AB_143165
Rabbit H + L AF405 Life Technologies 1:1000 RRID:AB_221605
Rat IgG2a,κ BioLegend 1:500 RRID:AB_326523
Rat IgG H + L AF594 ThermoFisher 1:2000 RRID:AB_141374
FOXP3 no azide FJK-16S ThermoFisher 1:100 RRID:AB_467575
FOXP3 APC FJK-16S ThermoFisher 1:40 RRID:AB_469457
Thy1.1 FITC OX-7 BD Bioscience 1:100 RRID:AB_395588
Isotype control for Thy1.1 Mouse IgG1,κ FITC BD Bioscience 1:100
RRID:AB_395505
CD19 (dump) BV510 6D5 BioLegend 1:100 RRID:AB_2562136
TCRβ SB645 H57-597 ThermoFisher 1:200 RRID:AB_2723704
CD4 PE-Cy5.5 RM4-5 ThermoFisher 1:3000 RRID:AB_1121830
CD8β PE-Cy5 H35-17.2 ThermoFisher 1:3000 RRID:AB_657770
CD25 VioBright-FITC 7D4 Miltenyi 1:200 RRID:AB_2784091
CD73 BV605 TY/11.8 BioLegend 1:100 RRID:AB_2561528
CD39 PerCP-eFluor710 24DMS1 ThermoFisher 1:100 RRID:AB_10717953 LAG3 PeCy7 C9B7W eBioscience 1:200 discontinued
PD1 BV785 29 F.1A12 BioLegend 1:200 RRID:AB_2563680
TCRβ AF647 H57-597 BioLegend 1:200 RRID:AB_493346
Thy1.1 FITC OX-7 BD Bioscience 1:100 RRID:AB_395588
Thy1.1 PerCP-Cy5.5 OX-7 BioLegend 1:100 RRID:AB_961438
CEACAM1 APC CC1 BioLegend 1:100 RRID:AB_2632612
For blocking and T cell priming
TIM3 no azide (for in vitro/in vivo blockade) RMT3-23 BioXcell In Vivo mAb
in vivo: 100 μg/mouse in vitro: 10 μg/ml RRID:AB_10949464
Isotype control for anti-TIM3 Rat IgG2a 2A3 no azide (for in vivo/in vitro
blockade) BioXcell In Vivo mAb in vivo: 100 μg/mouse in vitro: 10 μg/ml
RRID:AB_1107769
CD8β no azide (for in vivo depletion) 53-5 8 BioXcell InVivoMAb 100 μg/ on T cells21. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 In addition, regulation of
tumor and spheroid infiltration by A2AR promises therapeutic
potential in cold and altered immunity tumors. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 In a model of colon cancer, A2AR blockade does not
alter PD-1 expression on CD8+ TIL but reduced it on T cells in the
tumor-draining lymph nodes21. Effects of A2AR blockade on
inhibitory receptor expression thus may be context dependent. y
p
p
y
p
A key mechanism of A2AR and TIM3 in regulating CTL
function is the suppression of cytoskeletal polarization in T cell
migration and target cell killing. We can only speculate on
underlying signaling mechanisms. In principle, two scenarios are
conceivable. A2AR and/or TIM3 could trigger signaling pathways
that directly regulate cytoskeletal dynamics. Alternatively, these
receptors could modulate general proximal T cell signaling that is
known to control cytoskeletal dynamics. Consistent with direct
cytoskeletal regulation, A2AR signaling through cAMP/protein
kinase A results in inhibition of RhoA and Cdc42 in leukocytes
during cell-cell adhesion59. In cardiomyocytes, adenosine receptor
agonists prevent RhoA activation and cofilin-mediated actin
polymerization60. Alternatively, A2AR binds α-actinin61. Such
binding could lead to the sequestration of α-actinin whose
recruitment to the T cell/APC interface is required for effective T
cell polarization62. Consistent with modulation of general prox-
imal T cell signaling, A2AR and TIM3 could converge on the
tyrosine kinase Lck. Elevated cAMP levels in response to A2AR
engagement can enhance Csk activity15,63, leading to inhibitory
phosphorylation of Lck. When not engaged by ligand, TIM3 binds
BAT3, a molecule that maintains a reservoir of Lck at the immune
synapse and thus lowers the threshold for TCR signaling. TIM3
binding to Galectin-9 or CEACAM-1 releases BAT3, disabling Lck
pre-localization at the immunological synapse64. Also consistent
with TIM3-mediated regulation of general proximal T cell sig-
naling, Y256 and Y263 of the TIM3 cytoplasmic domain are
phosphorylated in response to T cell activation, can associated
with the Src family kinase Fyn and the p85 subunit of phospha-
tidylinositol 3-kinase and lead to elevated tyrosine phosphoryla-
tion of phospholipase C γ165. Phospholipase C γ1-dependent
generation of diacylglycerol is a key regulator of multiple steps in
cytoskeletal polarization66. While we have consistently related
A2AR and TIM3 engagement to impaired cytoskeletal polarization
here, future work will be required to establish the signaling
mechanisms that underpin this relationship. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 between different elements of tumor-mediated immune suppres-
sion has been described before, e.g. in the upregulation of A2AR
expression upon PD-1 blockade58. Curiously, blocking A2AR dur-
ing vaccination leads to diminished inhibitory receptor expression g
Blockade of A2AR led to compensatory upregulation of inhibi-
tory receptor expression as previously noted15,57. Compensation COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio 12 ARTICLE Flow cytometry staining with its principal component analysis. MACS-purified
TIL was resuspended in PBS at a concentration of 1 × 106 cells/ml. Flow cytometric data were analyzed using FlowJo™(Treestar)
software. Gating was performed using fluorescence minus one (FMO) samples
for each antibody stain. In the principal component analysis of inhibitory
receptor expression upon mouse treatment with ZM 241385 all combinations of
% positive were used as input data as listed in the source file for Fig. 2. A custom
script to execute the analysis is available at GitHub: https://github.com/ge8793/
rencaPCA. g
For Microscope-based Cytotoxicity Assays, the IncuCyte™Live Cell analysis
system and IncuCyte™ZOOM software (Essen Bioscience) were used to quantify
target cell death. 1 × 106 Renca cells transfected to express the fluorescent protein
mCherry were either untreated (control) or pulsed with 2 μg/ml KdHA peptide for
1 h. Cells were centrifuged and resuspended in a 3.33 ml Fluorobrite complete
medium (ThermoFisher) to a concentration of 15,000 cells/50 μl. Cells were plated
in each well of a 384 well PerkinElmer plastic-bottomed view plate and incubated
for 4 h to adhere. CL4 T cells were FACS sorted, and 15,000 cells were added to the
plate in 50 μl Fluorobrite medium 4 h after target cells were plated, yielding a 1:1
effector to target ratio. Images were taken every 15 min for 14 h at 1600ms
exposure using a 10x lens. The total red object (mCherry target cell) area (µm2/
well) was quantified at each time point. The T cell killing rate was determined as
the linear gradient of the red object data at its steepest part between the time at
which Control Clone 4 CTL started killing until they had eradicated the Renca cell
monolayer. The T cell killing rate was normalized to the growth of Renca (control)
cells which were not pulsed with cognate HA antigen. Immunohistochemistry. Tumors were harvested and cut in half. Half of the tumor
was used for CTL function assays. The other half was placed in 2.35 ml RPMI on
ice. Within 1 h of harvest, tumors were snap-frozen in OCT compound (Tissue
Tek) on a square of cork in an isopentane bath, hovering above Liquid Nitrogen. Tumors were sectioned into 5 μm sections and mounted on slides. On day one of
staining, acetone was cooled to −20 °C. Slides were allowed to air dry for
10–20 min before being fixed in acetone for 10 min on ice. Slides were dried again
then washed three times in PBS. Flow cytometry staining with its principal component analysis. MACS-purified
TIL was resuspended in PBS at a concentration of 1 × 106 cells/ml. Using MetaMorph (Molecular Devices) for analysis of DIC images, tight cell
couple formation was defined as the first time point at which a maximally spread
immune synapse formed, or two frames after initial cell contact, whichever
occurred first. Prior to cell coupling, a T cell was deemed to have a uropod when it
displayed a membrane extension that is opposite the leading edge with a region of
inverse curvature relative to the entire cell at its base for a duration of at least
1 min. To assess CTL and TIL morphology in cell couples with tumor target cells,
every DIC frame after tight cell couple formation was assessed for the presence of
off-synapse lamellae, defined as transient membrane protrusions pointing away
from the immune synapse, followed by retraction. To determine CTL translocation
over the Renca cell surface, the position of the immune synapse on the RencaHA
target cell was compared to the position at cell coupling. If the T cell had migrated
by a distance greater than the diameter of the immune synapse, this was classed as
translocation. For calcium analysis, field-averaged background fluorescence was
subtracted from the 340 nm and 380 nm excitation fluorescence data, and the ratio
of the Fura-2 images upon excitation at 340 versus 380 nm was determined in a
circular region of interest of the dimensions of the T cell. Flow cytometry staining with its principal component analysis. MACS-purified
TIL was resuspended in PBS at a concentration of 1 × 106 cells/ml. 2.5 × 105 −1 × 106 cells for each condition resuspended in 100 μl PBS per tube
with 1 μl/100 μl Zombie Aqua Fixable Live Cell Detection reagent (BioLegend). Tubes were incubated for 15 min in the dark at room temperature. Cells were
washed in 3 ml FACS buffer and resuspended in 100 μl per tube FcBlock (BD
Biosciences) for 15 min at 4 °C. Cells were washed in 3 ml FACS buffer, pelleted,
and resuspended in 100 μl FACS buffer per tube with antibody at the required
concentration (antibody section above) and then incubated for 30 min at 4 °C. Antibody concentration was determined by titration using five concentrations
centered around the manufacturer’s recommended protocol. Cells were washed
in 3 ml FACS buffer before being fixed in 1% paraformaldehyde and analyzed
within 5 days using a Fortessa Flow Cytometer and BD FACSDiva Software (BD
Biosciences). COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 intraperitoneally in 100 μl vehicle and 100 μg/mouse anti-TIM3 mAb (RMT3-23,
BioXcell InVivoMAb) injected intraperitoneally in 100 μl PBS on alternate days
throughout the experiment. Thus, ZM 241385-treated mice did not receive the
mouse isotype control antibody. However, earlier work has shown that mouse
isotype control antibody does not affect Renca tumor growth in vivo7. Tumors
were measured on alternate days using calipers and the volume was calculated
using the modified elliptical formula: Volume = 0.5 × length × width2. CL4 CTL
restimulation in vivo was achieved by i.p. injection of 200 μl of PBS containing
1200 HA units of influenza virus A/PR/8/H1N1 virus, as in30. Rechallenge with
tumor cells was achieved following stable remission (remained < 5 mm diameter for
8 days) by injecting a further 1 × 106 RencaHA cells subcutaneously into the dorsal
neck region in PBS. Depletion of CD8+ or Thy1.1+ T cells was performed by
injection of depleting mAb (anti-CD8, 53-5.8, BioXcell InVivoMAb, 100 μg/mouse,
Thy1.1 19E12 BioXcell InVivoMAb, 250 μg/mouse). Spheroid imaging. Spheroids were grown as described in the preceding paragraph. On day 10, CL4 CTL that had been retrovirally transduced to express the GFP-
tagged protein of interest (TIM3-GFP or F-tractin-GFP) were sorted by flow
cytometry and incubated in IL-2 medium for 1 h ± 10 µg/ml anti-TIM3 mAb
(Clone RMT3-23) or 1 µM CGS-21680 where appropriate. Meanwhile, spheroids
were dissociated from Matrigel and resuspended into fresh Matrigel at a con-
centration of ~8 spheroids/µl. 50 µl of the spheroid-Matrigel suspension was
separated into Eppendorf tubes for each treatment group, followed by the addition
of 200,000 sorted T-cells per tube. 50 µl of Matrigel, containing spheroids and
T cells, was plated into each well of a 24-well tissue culture plate. After Matrigel
had set, 1 ml of Fluorobrite medium was added to each well, containing 1.5 µM
DRAQ7 viability dye ± 10 µg/ml anti-TIM3 mAb or 1 µM CGS-21680. Images were
acquired every 2 h post-plating CTL with spheroids in 3 µm z steps from the
bottom of the spheroid to its widest point, usually 40 steps, for 12 h using a Leica
SP8 AOBS confocal microscope with a 10x HC PL Fluotar lens (NA = 0.3). Flow cytometry staining with its principal component analysis. MACS-purified
TIL was resuspended in PBS at a concentration of 1 × 106 cells/ml. Slides were dried in the area around the section
and a border marked using a hydrophobic pen (ImmEdge). Sections were blocked
with 2.5% horse serum (Vector) for 30 min then washed three times in PBS. Sections were incubated with primary antibodies or isotype controls in 1% BSA/
PBS (Sigma-Aldrich) overnight at 4 °C or room temperature for 1 h (antibody
section above). On day 2 of staining, slides were washed three times with PBS and
incubated with secondary antibody prepared in 1% BSA/PBS for 30–60 min at
room temperature (antibody section above). Slides were washed three times in PBS,
with the second wash being performed in a shaker for 10 min. Hoechst stain
(ThermoFisher) was applied for 10 min, followed by three PBS washes. Slides were
fixed in 1% PFA for 10 min then washed twice in PBS, once in Glycine (0.3 M)
(Fisher Chemical) for 10 min, and one final wash in PBS. Coverslips were mounted
in prolong gold antifade reagent and slides were left to cure at room temperature
for 24 h and images were acquired using a mark and find experiment on the same
confocal microscope as used for spheroid imaging. Images were analyzed using
ImageJ (Fiji). Spheroids. RencaHA tdTomato cells were resuspended at a concentration of
1 × 105 cells/ml, mixed with Matrigel (Corning) at 4 °C, seeded in a 24-well plate at
a final concentration of 500 cells per Matrigel dome, and left to solidify for 10 min
at 37 °C. 2 ml cell medium was added to each well and cells incubated at 37 °C for
11 days. Each Matrigel dome was washed twice in PBS and incubated for 30 min
with 1 ml of Cell Recovery Solution (Corning). Spheroids were collected in a 15-ml
Falcon tube and pulsed with KdHA peptide at a final concentration of 2 μg/ml for
1 h. Pulsed spheroids were re-embedded in Matrigel together with 5 × 105 primed
CL4 CTL per Matrigel dome. Matrigel domes were dissolved for analysis of
spheroid-infiltrating T cells after 16 h: Spheroids were washed twice in PBS and
incubated with 1 ml of Cell Recovery Solution (Corning). Spheroids were collected,
washed through a 70 μm sieve, and then disaggregated to retrieve T cells in 500 μl
of imaging buffer for immediate FACS sorting. Statistics and reproducibility. The Power of in vivo experiments was designed to
reach >80%. COMMUNICATIONS BIOLOGY | https://doi.org/10.1038/s42003-021-02972-8 To
obtain measurements of SIL density and spheroid dead volumes, raw data were
pre-processed and semi-automatically analyzed using a custom-written Cancer
Segmentation workflow for the Fiji69 plugin, MIA (v0.9.26) and its MIA_MATLAB
(v1.1.1) package, available at GitHub via Zenodo: https://doi.org/10.5281/
zenodo.2656513 and https://doi.org/10.5281/zenodo.4769615, respectively. The
corresponding.mia workflow files are available at https://doi.org/10.5281/
zenodo.5511888. Briefly, the imaged stacks were mirrored and concatenated along
the z-axis to produce pseudo-complete spheroids. These spheroids were binarised
and segmented using connected-components labeling70. To account for frag-
mented spheroid segmentation arising from gaps in labeling, in particular towards
spheroid centers, spheroids were fit with alpha shapes71 using the MATLAB
implementation. Adjacent spheroids which had become merged during processing
were separated with a distance-based watershed transform70. T-cells and dead
volumes were individually segmented from their respective fluorescence channels
using similar threshold and labeling-based processes, albeit without the alpha shape
step. Imaging and image analysis. For live-cell imaging of immune synapse formation
and CL4 T cell morphology 1 × 106 Renca tumor target cells were pulsed with 2 µg/
ml KdHA for 1 h at 37 °C. Cells were then resuspended at 1 × 106/400 μl Imaging
Buffer (PBS, 10% FBS, 1 mM CaCl2, 0.5 mM MgCl2). To image the increase in the
cytoplasmic Ca2+ concentration, CL4 CTL were incubated with 2 μM Fura-2 AM
(Molecular Probes) for 30 min at room temperature in imaging buffer and washed
twice thereafter. 40,000 Clone 4 CTL or TIL in 5 μl imaging buffer were plated with 1–1.5 μl
Renca target cells (preceding paragraph) in 50 μl imaging buffer, in a 384-well,
glass-bottomed imaging plate (Brooks). If reagents such as NECA were included in
cell culture, they were also added to imaging buffer at an equivalent final assay
concentration. Every 10 s for 15 min, one bright-field differential interference
contrast (DIC) image, one fluorescence image with excitation at 340 nm, and one
fluorescence image with excitation at 380 nm were acquired at 37 °C with a 40x oil
objective (NA = 1.25) on a Leica DM IRBE-based wide-field system equipped with
Sutter DG5 illumination and a Photometrics Coolsnap HQ2 camera. Materials and methods For 3H-thymidine proliferation assays67, Clone 4 T cells were primed using
anti-CD3/CD28 mAb stimulation or with mature agonist-peptide pulsed dendritic
cells in a flat bottomed 96 well plate and cultured for the desired time at 37 °C. 3H-thymidine (Amersham Life Science, London, UK) was added for the final 8 h of
cell culture at 1.45 mBq/ml. To harvest, the entire plate was frozen at −20 °C for at
least 24 h and subsequently defrosted to produce cell lysis. 3H-thymidine
incorporation was measured using a 96 well Tomtec harvester and a Microbeta
scintillation counter (PerkinElmer). Mice. Thy1.2+/+ BALB/c, (Charles River, Oxford, UK) and Thy1.1+/+ CL4 TCR
transgenic mice [Research Resource Identifier (RRID): IMSR_JAX:005307] were
maintained at the University of Bristol Animal Services Unit. All mouse experi-
ments were compliant with UK Home Office Guidelines under PPL 30/3024 to
DJM as reviewed by the University of Bristol AWERB (Animal welfare and ethical
review body) committee. Antibodies. Antibodies used are described in the order: antigen, fluorescent label,
clone, supplier, dilution, RRID:
For flow cytometry:
FcBlock no azide (for blockade of Fc receptors) 2.4G2 BD Biosciences 1:50
RRID:AB_2870673
CD8α FITC 53-6.7 BD Bioscience 1:100 RRID:AB_394569
CD8β PeCy7 YTS156.7.7 BioLegend 1:200 RRID:AB_2562777
CD4 AF700 CK1.5 BioLegend 1:100 RRID:AB_493698
CD39 PerCP-Cy5.5 24DMS1 eBioscience 1:100 discontinued
CD73 BV605 TY/11.8 BioLegend 1:100 RRID:AB_2561528
TIM3 PE B8.2C12 BioLegend 1:100 RRID:AB_1626177
TIM3 BV605 RMT3-23 BioLegend 1:100 RRID:AB_2616907
TIGIT APC 1G9 BioLegend 1:100 RRID:AB_10962572 Extraction of T cells from tumor tissue was carried out using magnetic-activated
cell sorting (Miltenyi) and flow cytometry7. Tumor growth and treatment experiments. Six-week-old Thy1.2+/+ BALB/c
mice were injected subcutaneously, in the dorsal neck region, with 1 × 106
RencaHA tumor cells in 100 μl PBS. Tumor measurements and treatment com-
menced at day 12, when tumors of ~5 × 5 mm diameter were palpable. For adoptive
transfer experiments, tumor-bearing mice were injected i.v. at day 12, with 5 × 106
day 5 CL4 CTL (see above). For in vivo immunotherapy, control mice received
100 μl vehicle (15% vol/vol DMSO, 15% vol/vol Cremophore EL, 70% vol/vol
PBS) ± 100 μg/mouse isotype control (Rat IgG2a, 2A3, BioXcell InVivoMAb)68. Treated mice received combinations of 10 mg/kg ZM 241385 injected 13 COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio ARTICLE References 1. Hegde, P. S. & Chen, D. S. Top 10 challenges in cancer immunotherapy. Immunity 52, 17–35 (2020). In analyses of in vivo tumor growth and survival, the following factors were
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antibody, in advanced solid tumors. Clin. Cancer Res. 27, 3620–3629 (2021). Acknowledgements 47. Harding, J. J. et al. Blocking TIM-3 in treatment-refractory advanced solid
tumors: a phase Ia/b study of LY3321367 with or without an anti-PD-L1
antibody. Clin. Cancer Res. 27, 2168–2178 (2021). We acknowledge the University of Bristol Flow Cytometry Facility with Andrew Herman
and Lorena Sueiro-Ballesteros and the Wolfson BioImaging Facility with Katie Jepson for
experimental support, Alan Hedges for statistical advice, and Mick Bailey for contribu-
tions to the principal component analysis. This work was supported by grants from the
Wellcome Trust via the University of Bristol Elizabeth Blackwell Institute (Wellcome
Trust ISSF2 grant 105612/Z/14/Z to G.L.E.), the Wellcome Trust (201254/Z/16/Z/ to
G.L.E., 102387/Z/13/Z/ to R.A.) and the University of Bristol Cancer Research Fund (to
C.W.). G.L.E was also supported as an associate of the Wellcome Trust GW4-CAT
scheme. C.C.W.W. was supported by the MRC GW4 DTP. E.J.M. was supported by a
Wellcome Trust GW4-CAT Fellowship. For the purpose of Open Access, the author has
applied a CC BY public copyright licence to any Author Accepted Manuscript version
arising from this submission. y
48. Willingham, S. B., Hotson, A. N. & Miller, R. A. Targeting the A2AR in
cancer; early lessons from the clinic. Curr. Opin. Pharm. 53, 126–133 (2020). 49. Cekic, C., Day, Y. J., Sag, D. & Linden, J. Myeloid expression of adenosine
A2A receptor suppresses T and NK cell responses in the solid tumor
microenvironment. Cancer Res. 74, 7250–7259 (2014). microenvironment. Cancer Res. 74, 7250–7259 (2014). 50. Wennerberg, E. et al. CD73 blockade promotes dendritic cell infiltration of
irradiated tumors and tumor rejection. Cancer Immunol. Res. 8, 465–478
(2020). 51. Cekic, C. et al. Adenosine A2B receptor blockade slows growth of bladder and
breast tumors. J. Immunol. 188, 198–205 (2012). 52. Cekic, C., Sag, D., Day, Y. J. & Linden, J. Extracellular adenosine regulates
naive T cell development and peripheral maintenance. J. Exp. Med. 210,
2693–2706 (2013). Author contributions 53. Jenner, P. An overview of adenosine A2A receptor antagonists in Parkinson’s
disease. Int Rev. Neurobiol. 119, 71–86 (2014). G.L.E. designed and carried out experiments, analyzed data, and wrote the paper. C.C.W.W. designed and carried out experiments and analyzed data. R.A. designed and
carried out experiments and analyzed data. E.J.M. designed and carried out experiments
and analyzed data. H.A. designed and carried out experiments and analyzed data. S.J.C. designed methods for image analysis, G.G. carried out experiments and analyzed data. C.W. designed and carried out experiments, analyzed data, and wrote the paper. D.J.M. designed and carried out experiments, analyzed data, and wrote the paper. 54. Wang, L. et al. CD73 has distinct roles in nonhematopoietic and
hematopoietic cells to promote tumor growth in mice. J. Clin. Invest 121,
2371–2382 (2011). 55. Sands, W. A. & Palmer, T. M. Adenosine receptors and the control of
endothelial cell function in inflammatory disease. Immunol. Lett. 101, 1–11
(2005). 56. Chimote A. A., et al. A defect in KCa3.1 channel activity limits the ability of
CD8(+) T cells from cancer patients to infiltrate an adenosine-rich
microenvironment. Sci. Signal 11, eaaq1616 (2018). Code availability A custom-written script to execute the principal component analysis of inhibitory
receptor expression is available at GitHub: https://github.com/ge8793/rencaPCA. A custom-written Cancer Segmentation workflow for spheroid analysis for the Fiji
plugin, MIA (v0.9.26) and its MIA_MATLAB (v1.1.1) package, is available at GitHub via
Zenodo: https://doi.org/10.5281/zenodo.2656513 and https://doi.org/10.5281/
zenodo.4769615, respectively. The corresponding.mia workflow files are available at
https://doi.org/10.5281/zenodo.5511888. 26. Zang, K. et al. TIM-3 as a prognostic marker and a potential immunotherapy
target in human malignant tumors: a meta-analysis and bioinformatics
validation. Front Oncol. 11, 579351 (2021). 27. Acharya N., Sabatos-Peyton C., Anderson A. C. Tim-3 finds its place in the
cancer immunotherapy landscape. J. Immunother. Cancer 8, e000911 (2020). 15 COMMUNICATIONS BIOLOGY | (2022) 5:9 | https://doi.org/10.1038/s42003-021-02972-8 | www.nature.com/commsbio Competing interests Competing interests
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English
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The Relation between Uranium and Radium. - IV
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Proceedings of the Physical Society of London
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The Relation between Uranium and Radium. - IV This content has been downloaded from IOPscience. Please scroll down to see the full text. 1909 Proc. Phys. Soc. London 22 42
(http://iopscience.iop.org/1478-7814/22/1/304) View the table of contents for this issue, or go to the journal homepage for more Download details: Please note that terms and conditions apply. 42 MR. F. SODDY ON THE * I. Phil. Mag. June 1905, p. 768; 11. (in conjunction with T. D.
Mackenzie, B.Sc.), ibid. Aug. 1907, p. 272; 111. ibid. Oct. 1908,
p. 634, A preliminary account of some of the results in this paper appeared in
a letter to ‘Nature,’ May 13th 1909, p. 308, and the Physikalkche
Zeitachrif, 1909, p. 396. The paper was read on Oct. 22nd, 1900, befnre
the Physical Society of London, under the title “The Production of
Radium from Uraniam.” * I. Phil. Mag. June 1905, p. 768; 11. (in conjunction with T. D.
Mackenzie, B.Sc.), ibid. Aug. 1907, p. 272; 111. ibid. Oct. 1908,
p. 634,
A preliminary account of some of the results in this paper appeared in
a letter to ‘Nature,’ May 13th 1909, p. 308, and the Physikalkche
Zeitachrif, 1909, p. 396. The paper was read on Oct. 22nd, 1900, befnre
the Physical Society of London, under the title “The Production of
Radium from Uraniam.” 111. The Relation between Uranium and Radium.-IV.
*
By FREDERICK
SODDY,
M A . 111. The Relation between Uranium and Radium.-IV. *
By FREDERICK
SODDY,
M A . THE measurements of the amount of
radium in the
uranium solutions purified and prepared by Mi.. T. .D. Mackenzie have now been in progress for nearly four years,
and during the past year have all begun to yield certain
evideiice of the growth of radium. It may be recalled that
the quantity of radium in the oldest preparation, which con-
tained 255 grams of uranium, remained almost constant
within the error of measurement for the first two years,
while in the next year a very sligbt increase was noticed. It was deduced from this result that the period of average
life of the intermediate parent of radium (ionium) must not
be less than 16,500 years, on the assumption that, neglecting
uranium X, it was the only intermediate body in the dis-
integration series. During the fourth year, now nearly
passed, the measurements have been taken to a higher degree
of accuracy than formerly, various improvements having
been effected, and these have established that the production
of rldium within this period has been going on at a rate
proportional to the square of the time, within the error of
measurement. As the methods employed are the outcome
of considerable exporience, and as the details are of im-
portance in securing accuracy, it may be useful to give a
short account of them as they are now carried out, though
they do not involve anything new in general principle. Throughout the term “ unit leak ” will be used to denote a
leak of 1 division a minute in the electroscope, and the term
“ unit of radium ” the quantity 10-l2 gram. One division
of the eyepiece-scale of. the microscope equals -023 mm. A preliminary account of some of the results in this paper appeared in
a letter to ‘Nature,’ May 13th 1909, p. 308, and the Physikalkche
Zeitachrif, 1909, p. 396. The paper was read on Oct. 22nd, 1900, befnre
the Physical Society of London, under the title “The Production of
Radium from Uraniam.” RELATION BETWEEN URANIUM AND RADIUM. 43 2. Method of Testing for Radium. The uranium preparations at the commencement of the
fourth year were removed from the mercury-pump, to which
they had previously been connected, and transferred to large
flasks, as shown at A, fig. 1. Fig. 1. Fig. 1. I n the new method of testing the principle is the same as
was first employed by Boltwood. After each measurement
the flask A is sealed at B and C, after being exhausted
through C, and is left for at least a month for the equilibrium
amount of emanation to accumulate. The apparatus as shown
in fig. 1 does not need detailed description. Before the
measurement it is exhausted through D, and then water in
the flask E is admitted through F, by opening the clamp. This is repeated several times to remove any emanation in
the water. The flask A is heated gradually by steam on the
water-bath for a short time before the seal is broken to avoid
percussive boiling. Violent irregular boiling is necessary
thoroughly to agitate the liquid and to remove the emanation. If the flask is immersed in warm water boiling tends to be
confined to the upper layer, and the extraction of emanation
is imperfect. The seals of the flask are broken under thick
rubber tubing, a little fresh air being allowed to enter occa-
sionally as required through the thermometer-tube K. After MR. F. SODDY ON TEE 44 half an hour of vigorous boiling, the clamp C is closed and
F opened, admitting water until all but a small definite volume
of G is filled. H is then disconnected, and some air thus
allowed to enter, removing nitric oxide if present. The tube
F is then connected to G at H, and the arrangement is ready
for the transference of the emanation into the electroscope. The latter is shown in fig. 2. It consists of a glass globe A
of about half a litre capacity, provided with a circular
plane parallel plate W to serve as a window, and silvered Pig. 2. Pig. 2. internally except opposite the window. The window greatly
improves the sharpness of the image in the microscope, and
the accuracy of the readings. C, D are circles of nliiminium-
foil to act as baffle-plates, which are pasted over the inside
at the inlet and outlet taps B and G. 2. Method of Testing for Radium. The fine thermometer-
tube E also assists in moderating the disturbance of the leaf
by the entering air. The electroscope is kept exhausted nnd
charged when not in use during any series of successive
measuremente. Its normal natural leak has been constant
within 10 per cent. at 1.1 units since it nas constructed. This is first determined accnrntely. Several sinall quantities
of air are admitted and pumped out, before finally filling the
instrument with air. The natural leak is then taken over
several hours, prior to the admission of the emanation. When this has been done the instrument is exhausted and
the calcium-chloride tube K connected to the tube D of
fig. 1. When the whole of the gas in G has been drawn in,
D is disconnected and fresh air allowed to enter to :ttmo- RELATION BETWEEN URANIUM AND RADIUM. 45 spheric pressure. No trace of emanation is thus lost. The
leak is taken over the period from 8 to 16 minutes after the
admission of the emanation, and again after the lapse of
three hours. The leaf is kept continuously charged (negn-
tively) with the charging-rod earthed over the whole interval. This is important, as otherwise a considerable error is intro-
duced, which does not appear to have been previously pointed
out, The error just referred to applies particularly to the
calibration of the electroscope. With the minute .quantities
of radium present in the uranium solutions, the leaf if fully
charged initially remains charged over the three-hour
interval, and the practice throughout since, this method of
measurement was adopted has been to keep it charged during
the whole interval. With the radium standards, however,
the charge has to be renewed every few minutes. At first
this was not done, and the active deposit, instead of being
concentrated on the leaf system in the most favourable
position to produce ionization, is distributed over the surface
of the globe. The leak under these circumstances after the
three-hour interval is from ten to twenty per cent, too low,
and rises gradually wilh successive measurements for a further
period of three hours. 3. Calibration of the Electroscope. The two standards used in previous work had been made
by directly weighing 2.9 and 3.5 milligrams of pitchblende
of 53 per cent. uranium content, and differed from each
other by about ten per cent., due no doubt to the error of
weighing directly such small quantities on an ordinary
balance. For the present electroscope an entirely new set
of six standards were prepared with the utmost care, from a
different sample of pitchblende. Three separate quantities
weighing 59-45, 133.7, and 58.32 milligrams were separately
diesolved in nitric acid which had recently been distilled
over barium nitrate to remove any sulphuric acid, and
diluted in 100 C.C. graduated flasks. Out of each of the
three solutions two standards were made, by taking a known
fraction of the liquid, determined by weighing, and sealing
it lip after dilution in a flash similar to A (fig. 1) of about 46 MR. F. SODDY ON THE 100 C.C. capacity. These six new standards agree extremely
well among themselves. On the remainders of the solutions
used in preparing the standards three analyses of uranium
were performed, which agreed in showing that the proportion
of uranium in the pitchblende used was 49 per cent. The
results are shown in Table I. TABLE I. 11. III. IV. V. UEANIIJM. RADIUM. L ~ A K . OONSTANT. (Milli- (x 10-12 gram.)
(Divisions
(III.+IV.). grams). per minute). I11 .... 1.420
IV .... 1359
---
-
-
V.... 0305
0.696
6.660
--
0149
VI ....I
1.510 I 0740 I
251.6
1
44.5
I
5.66
&AN
(omitting IV.) ... 578
- TABLE I. 11. III. IV. V. UEANIIJM. RADIUM. L ~ A K . OONSTANT. (Milli- (x 10-12 gram.)
(Divisions
(III.+IV.). grams). per minute). I11 .... 1.420
IV .... 1359
---
-
-
V.... 0305
0.696
6.660
--
0149
VI ....I
1.510 I 0740 I
251.6
1
44.5
I
5.66
&AN
(omitting IV.) ... 578
- &AN
(omitting IV.) ... 578- &AN
(omitting IV.) ... 578
- The factor used to calculate the quantity of radium from
the quantity of uranium is 3.4 x lo-', instead of 3.8 x 10-7,
as previously used. It will he seen that the standards differ
among themselves in content of radium in the ratio of over
40 to 1, but the constant of the instrument as determined
by the individual standards does not vary from the main
value more than two per cent. 3. Calibration of the Electroscope. It must be mentioned that
the value for standards IV. is not comparable with the others. The quantity of radium was too high to permit of the charge
on the leaf being maintained as it leaked away, so the leaf
was kept permanently connected through the charging-rod
to the negative pole of the 250 volts mains. Under these
conditions the charging-rod as well as the leaf-system would
attract the active deposit, and the part deposited near the
cork in the neck of the flask would not contribute its full
effect. For this reason the constant, as is to be expected, is
too high, and the value has been omitted in calculating the 47 RELATION BETWEEN URANIUM AND RADIUM. mean. The latter is 5.78, that is 5.78 x 10-12 g. of radium
produces a leak of 1 division a minute. The two old standards
give a mean value of 7.3 for the constant, the leaf not being
kept charged during the three-hours interval. This difference
is not much, if any, greater than can be accounted for by
the effect of keeping the leaf charged. 4. Results. The results are shown in Table 11. for the three uranium
preparations described under Experiments I., II., and IV. (11. pp. 285-289 and 290). The later tests in each prepara- TABLE 11. Date. Time (Time)l. Observed Reduction Reduced
Radium
i(year8)I
1
Leak. 1 Factor, I Leak. ((XIO-12 gram). EXPERIMENT
I. 255 grams Uranium purified, 24/10/05. 9/6/08 I 2.62 1
6.86
27 j8 joe
14.80
29/9/09 I
I 15.43
420
4.20
24.3
428 I
I ::9: I
24.7
416
24.1
EXPERIXENT
IV. 278 grams Uranium purified, 14/8
f 06. 7/5/09
2.73
7'45
3.68
... 3.68
1
21.3
25/6/09 1 2.87 1
8.22 1
3'72 1
:::
1
3.72 I
21.5
4/10/U9
3.15
9.90
4.00
4.00
231
EXPERIMENT
11. 408 Prams Uranium mrified. 13/12/06. 8/8/08
1.66
2.75
0.70
0.80
19/11/08 I 1.93 I 3.73
6/5/09
2.40
~
5.76
1
1.25
15/6/09 I 250
625
~
1.26
1/10/09
I 2.80 ,
7.83
I
1.37
I
x.96
0.67
3'87'
x.96
1
0.77
1
4.45
... ... 1
1-26
... 1
1.37
, TABLE 11.
1 48 hlR. F. SODDY ON THE tion have been performed with the electroscope in its existing
condition, for which the constant has been accurately deter-
mined as described. The first tests were done with another
leaf-system, which was destroyed after one test owing to
nitric oxide having been present in the gases boiled out of
the solution. The factor necessary to reduce the readings
with this system to the same value as those with the present
system was fouad to be 0.96. In the initial test shown both
for Experiments I. and II., to which not much weight can
be attached, the charging-rod was left after charging close
to the system as in all previous measurements, whereas t,he
present practice is to turn it as far as possible away, which
was found to increase the sensitiveness 1.15 times,
The
three tests indicated by a * in the last column of the table
were done by the mercury-pump before the solutions had
been transferred to the sealed flasks they are now kept in. The table shows that in all three preparations the quantity p
p
q
y
Fig. 3. of radium has increased with time. The measurements are
plotted against the square of the time in fig. 3. It will
be seen that all the points lie close to straight lines. The
maximum departure is in the case of the last test performed
in Experiment I., which lies about 2 units too low. The Fig. 3. Fig. 3. of radium has increased with time. The measurements are
plotted against the square of the time in fig. 3. It will
be seen that all the points lie close to straight lines. The
maximum departure is in the case of the last test performed
in Experiment I., which lies about 2 units too low. The RELATION BETTEEN URANIUM AND RADIUM. 49 ordinary error is not more than 1 unit, or
gram. Con-
sidering the nature of the measurement the agreement is
perhaps closer than might have been expected, as it is
doubtful if any previous measiiremcnts of these sinall
quantities of radium have been made to anything approaching
this degree of accuracy. V. Period of tlte Direct Parent of Radium. As detailed in the last communication (111. p. 635) the
growth of radium from uranium should proceed according to
the same power of the time as there are products in the series
(counting radium itself) between the two dements, provided
all these products have periods long compared wit,h the time
of observation. Rutherford, assuming only one intermediate
product-the
direct parent of radium -to exist, first showed
that the production of radium should proceed according to
the forinula R = 112 X&Rot2
or
112 X,X,UtZ, R = 112 X&Rot2
or
112 X,X,UtZ, where R represents the qiiaiitity of radium, U that of
nraninni, R, the quantity of radium in radioactive equilibrium
with the uranium, XI,
X,, X3 the constants of uranium, the
direct parent of radium, and radium respectively, and t is
the time, This may Le written R = G x 10-*h,t2, where R represents the radium formed per kilogram of
uranium and & and t are expressed in yeays. It is of
interest to calculate the value of X9 from this equation,
although, as will be shown Inter, the calculation is seriously
in error if other intermediate bodies of period comparable
with the time of observation exist in the series
From the
curve (fig. 3) representing Experiment I. the growth in
4 years (P= 16) is about 13.3 unite, or 52 units per kilograrp
of uranium. The value of ha is therefore 5.4 x
and the
value of l&, the period of average life, is 18,500 years. The lower value (10,000 years) given in the preliminary
communications is solely due to a value having been used
€or the constant of the instrument, which is subject to three
corrections all operating in the same direction : (1) the effect
of keeping the leaf charged, (2) the effect of altering the E VOL. XXII. VOL. XXII. 50 M R . F. SODDY OS THE position of the charging rod, and (3) the alteration in the
value of the ratio between U and Ra in pitchblende. p
I n Experiment IV. the value depends entirely on tho
initial observation to which, as already mentioned, not much
weight can be attached. The experiment shows for the first
three years a growth of 7-55 units, or 27.5 units per kilogram
of uranium. This gives for h2 a value 5.1 x
and for
ljAz 19,600 years. j
y
Esperiment 111. V. Period of tlte Direct Parent of Radium. is very interesting on account of the very
small total amount of radium present, though the qnnntity of
uranium is considerably greater than in the other two. It
has not been in progress long enough to give the slope of
the curve very accurately. As drawn in fig. 3 the growth
in &years
is 7.5 units, or 18.4 unih per kilogram. The
calculated value of x2 is 3 . 8 ~
and of l/h2 26,000
years. If the growth
of radium had been proceeding at the same rate as in Experi-
ment T., in $/&years 10.6 uiiits of radium should have been
produced, whereas the total amount of radium now present
iu less than this, being so far as the measurements indicate
only 8.5 units. Even if it is assumed that this difference is
due to errors of experiment, it is difficult to believe that the
solution as initially prerared contained absolutely no radium. The results of the three experiments taken together thus
indicate that the rate of growth of radium in terms of the
square of the time is less for the first three years than for
the subsequent year. This points to the existence of one or
more intermediate bodies of relatively shoi-t period in the
series, which would retard the rate of production of radium
initially. The experiment is of interest in this way. The actual measurements of the initial quantity of radium
in Experiment I. bear this view out, although it must be
remembered that the errors of measurement initially were
very much greater than now, and this evidence thus only
has a doubtful value. For Experiment 11. the initial
measurements may Le rejected, as the quantity of radium
was almost too smell to be within the range of the older
methods. In Experiment IV. no initial measurements were 51 RELlTION BETWEEN URAXIUM AND RADlUM. taken. I n the older tests a brass electroscope bad been used,
and this was calibrated at every test with reference to a
y-ray radium standard. As was pointed out (11. p. 286) the
measurements so correctcd were not nearly so regular as tho
actual observations. I n light of recent results on the un-
certainty attachinq to y-ray measurements, it is best to reject
these calibration tests altogether and to assume that the
sensitiveness of the e!ectroscope did not vary. Recalculating
from the table (11. p. V. Period of tlte Direct Parent of Radium. 2S2) gives, according to present data,
the value 12 for the constant of the instrument. The mean
of the first nine tests over the first 309 clays given in the
tahle (11. p. 286) recalculated gives the initial quantity of
radium as 15.8 units. The initial quantity indicated by the
curve on the assumption that the rate of production in terms
of the square of the time has been constant from the start,
is about 12.5 units. Tbis evidence so far as it goes thus
bears out the view that new short-lived intermediate bodies
exist. , VI. The Efeects of Short-lived Intermediate Products. VI. The Efeects of Short-lived Intermediate Products. The general effects of short-lived intermediate bodies may
now be considered. Let A, B, C, I), E ... and X1, X2, Xt,
X,, h, . . , denote the quantities and radioactive constants
respectively of a parent element and its successive products. I t is assumed that initially the products are absent, and that
the cbange of the parent is so slow that its quantity may be
considered constant. The differential equations connecting
the terms are If we assume that the periods of the first two products,
B and Cy are short and those of the others long the terms in
square brackets may be neglected. The case then corresponds
to the disintegration series Uranium -
Uranium X -. “Uranium A” r-.L Parent of Radium
Radium, where
B denotes uranium X, for which X, is about 11.4 (year)-’¶ E 2 52 MR. F. SODDY ON THE C . the suspected new intermediate body “ uranium A,” for
which the period is probably of the order of unity, D the
direct parent of radium, and E radium. p
Solving the equations, the growth of radium is given by The last term is always very small, and may be neglected
The penultimate term approaches to zero as t
After a period several times that of nmnium A
at once. increases. it may be neglected. The expression then becomes If inatead of reckoning the time from the start we reckon it
fieom a date later by the sum of the periods of average life of
the two short-lived bodies, that is, for t in the equation
we substitute T, where hen
E = 112 )LIX,A f T2+
= 1jZ X1X,AT2 + constant. 1 then That is to say, when the short-lived intermediat>e bodies
come into equilibrium the production of radium proceeds
strictly according to the square of the time reckoned, not
from the start, but from a date later by the sum of the
periods of tho intermediate bodies. TO show the effect of the intermediate bodies initially .the
graphs of equation (I.) have been plotted against the square
of the time, for the following values of h3 :-4, 2, 1, .66, -5,
-33, and .25 (fig. 4). The curves therefore show the
production of radium according as the hypothetical body
uranium A has the period of three months, six months, RELATION BETWEEN URANIUM AND RADIUM. VI. The Efeects of Short-lived Intermediate Products. $3 1, 1.5, 2, 3, and 4 years. The straight line uppermost on
the diagram shows the production of radium on the same
scale if no short-lived intermediate products intervened. It
will be seen at once from these curves that if the portion
between the third and fourth years, that is between t2=9
and t2=16, is examined, even for the lowest curve corre-
sponding to the four-year period, the curve departs but little
from the straight line. I t is doubtful whether the departure
would be experimentally detectable over this period. This Fig. 4. shows that the straightness of the experimental cnrve over
the period available is no argument against the existence of
intermediate b0diei.l. On the other hand, the figure at once
reveals the serious error introduced into the calculated period
of the parent of radium hy the formula used in Section V. if
intermediate bodies exist. The true period of this body is
obtained from the slope of the straight line uppermost in the
diagram, which represents the rate of production of radium
if no intermediate bodies intervened. If an intermediate
body with a period of 1 year intervened, the period of the Fig. 4. Fig. 4. shows that the straightness of the experimental cnrve over
the period available is no argument against the existence of
intermediate b0diei.l. On the other hand, the figure at once
reveals the serious error introduced into the calculated period
of the parent of radium hy the formula used in Section V. if
intermediate bodies exist. The true period of this body is
obtained from the slope of the straight line uppermost in the
diagram, which represents the rate of production of radium
if no intermediate bodies intervened. If an intermediate
body with a period of 1 year intervened, the period of the MR. F. SODDY ON THE 34 parent of radium instead of being 18,500 years as calculated
in Section V. would really be only 0 72 times this or 13,300
years. If the period of the intermediate body were 4 ye:irs,
the true period of the parent of radium would be only 0.32
oE the apparent period, or 6000 years. Yet even a four-year
period body might exist without producing in the curve a
departure from the straight line enough to be detected
experimentally with certaiiitp as far as the measurements
have yet gone. VU. New Experiments. Whereas
if ail the parent of radium were present initially, the pro-
duction of radium would of course proceed proportionally to
the time. asmming the same disintegration series as befortb. Whereas
if ail the parent of radium were present initially, the pro-
duction of radium would of course proceed proportionally to
the time. VU. New Experiments. Two new experiments are being commenced which it is
hoped will yield in the course of time further evidence on
the existence or otherwise of short-lived intermediate bodies
in the series. I n the first the purest f'raction of the 50
kilograms of uranyl nitrate which has been repentpdly
crystallized from fresh water i n tho work on the 7-rays of
uranium (Soddy and Russell, Phil. Map. Oct. 1909, p. 620)
has been withdrawn from the fractionation and sealed up in
a flask. I t contains 3 kilograms of uranium (element), which
is 12 times the quantity in the oldest preparation. It is
being tested at monthly intervals for gron th of radium. The
initial quantity present has been deterniined in two agreeing
consecutive experiments to be 42 units. Considering the
mass of the material this is gratifyingly low. I n the course
of a year or two the growth of radium from this solution
should settle the questiou whether new intermediate products
exist in the series. Secondly, now that the rest of the 50 kilograms of uranyl
nitrate has been repeatedly purified, it is proposed to seal up
one of the preparations of uranium X to be separated from
it, as in the work with Mr. Hussell, and to measure from it
the rate of production of radium. Unless intermediate bodies
exist this would hardly l e worth while, as it would be prnc-
tically impossible to clistinguish the parent of radium formed
from uranium X-if
it is so formed-from
that initially sepa-
rated with the uranium X. Reetmann (1naug.-Dissert, d. Verf., Berlin, 1909) has stated that uranium X and the
parent of radium both have the same chemical proper&@ as RELATION BETWEEN CRANIUM AX'D RADIUM. ' 55 thorium and cannot be separated from this element or from
one another. But if an intermediate body exists of period
of the order of a year it should be easy lo distinguish between
the parent of radium iuitially present with the uranium X
and that subsequently produced from it. If U represents
the qriaritity of uranium initially in equilibrium with the
uranium 3 separated from it, and R represents the qunntity
of radium formed from the uianiuin X, it can be shown that asmming the same disintegration series as befortb. VII.1. Conchsions, The measurernents on the growth of radium in the three
nrariiuiri solutions purified by Mr. T. I). Mackenzie between
three and four years ago, hate shown that in all of them the
growth oE radium is proceeding according to the square of
the time witliiu the error oE ineasurement. The period of
the direct parent of radium calculated from these results, on
the assumption that no other intermediate bodies intervene,
is 18,500 years in the case of the oldest solution for which
the most complete data are available. But in the solution
prepared last, the total quantity of radium now present is
less than what would have been produced from the radium,
assuming the rate of production to have been the sanie as in
the first, solution. This suggests the existence of at least
one new product " uranium A " intermediate between
uranium X and the parent of radium, with the period of the
order of one year. From a mathematical investigalion of
the effect of such a body ou the grcnvth of radium it is
concluded that it would not, if it existed, appreciably alter
the production of radium according to the square of the time
over the period observations have been made, but it would
vitiate the calculations of the period of the average life of
the parent of radium according to Rutherford's formula. Tn conclusion, it may be mentioned that R good deal of 56 THE RELATION BETWEEN URANIUM AND RADIUM. additional evidence bearing directly on this question of the
existence of new intermediate products has been accumulated
in an investigation on the rays and product of uranium X,
with which it is couvenient to deal in a separate communi-
cration. l?hysicd Chemistry Laboratory,
University of Glasgow,
October 1909. l?hysicd Chemistry Laboratory,
University of Glasgow,
October 1909. ABSTRAC The measurements on the growth of radium in the three uranium
solutions pniifiod by Mr. T. D. Mackenzie between three and four years
ago have shown that in all the growth of radium is proceeding at a
rate proportional to the square of the time within the error of measure-
ment. The methods of testing hare been improved and the ordinary
error is not greater than 10-12 gram of radium. This result indicates
the existence of only one long-lived intermediate product in the series
between uranium and radium. The period of average life of this body,
calculated on the assumption that no other intermediate bodies exist,
is 18,600 years in the case of the oldest solution for which data are
available over a period from the end of the third to the end of the fourth
year from purification. But for the solution prepared last, over a period
from the end of the second to the end of the third year, the period
indicated is about half again as long as in the first experiment. Indeed,
had this solution grown radium at the mme rate, with reference to the
square of the time, as the older solution has been doing during the past
year, more radium should have been formed than the total amount now
actually present. This suggests the exiatcnce of at least one new inter-
mediate product in the series ‘( Uranium A ” with a period comparable
to the time observations have been in progress. From a mathematical
investigation of tha effect of such a body on the rate of growth of
radium, it is concluded that it would not, if it existed, appreciably alter
the production of radium according to the square of the time over the
period accurate observations have been made, even were the period of
the new body as great as four years. But its existence would vitiate the
calculation of the period of the direct parent of radium according to
the simple formula neglecting short-lived products. Other evidence on
the problem is contained in the next paper (Ray8 and Product of
Uranium X).
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https://openalex.org/W1719656628
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https://pure.uva.nl/ws/files/2740296/175382_Carlet_Posthuma_etal_CommMathPhysics_341_3_2016.pdf
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English
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Bihamiltonian Cohomology of KdV Brackets
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Communications in mathematical physics/Communications in Mathematical Physics
| 2,016
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cc-by
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Bihamiltonian Cohomology of KdV Brackets General rights
It is not permitted to download or to forward/distribute the text or part of it without the consent of the author(s)
and/or copyright holder(s), other than for strictly personal, individual use, unless the work is under an open
content license (like Creative Commons). Contents 1. Introduction
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 805
1.1 Outline of the paper . . . . . . . . . . . . . . . . . . . . . . . . . . . 806
2. Formalism of Functional Polyvector Fields . . . . . . . . . . . . . . . . . 806
2.1 Basic definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 807
2.2 Poisson structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . 808
2.3 Poisson structures of the dispersionless KdV . . . . . . . . . . . . . . 808
2.4 Grading and subcomplexes . . . . . . . . . . . . . . . . . . . . . . . 809
3. Spectral Sequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 809
4. Bihamiltonian Cohomology . . . . . . . . . . . . . . . . . . . . . . . . . 811
4.1 The main proposition . . . . . . . . . . . . . . . . . . . . . . . . . . 811
4.2 Consequences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 817
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 819 Guido Carlet, Hessel Posthuma, Sergey Shadrin Korteweg-de Vries Instituut voor Wiskunde, Universiteit van Amsterdam, Postbus 94248, 1090 GE
Amsterdam, The Netherlands. E-mail: g.carlet@uva.nl; h.b.posthuma@uva.nl; s.shadrin@uva.nl Received: 26 June 2014 / Accepted: 20 October 2015
Published online: 2 January 2016 – © The Author(s) 2015. This article is published with open access at
Springerlink.com Received: 26 June 2014 / Accepted: 20 October 2015
Published online: 2 January 2016 – © The Author(s) 2015. This article is published with open access at
Springerlink.com Springerlink.com Abstract: Using spectral sequences techniques we compute the bihamiltonian coho-
mology groups of the pencil of Poisson brackets of dispersionless KdV hierarchy. In
particular, this proves a conjecture of Liu and Zhang about the vanishing of such coho-
mology groups. Disclaimer/Complaints regulations Disclaimer/Complaints regulations
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will be contacted as soon as possible. UvA-DARE is a service provided by the library of the University of Amsterdam (https://dare.uva.nl) Download date:24 Oct 2024 Digital Object Identifier (DOI) 10.1007/s00220-015-2540-4
Commun. Math. Phys. 341, 805–819 (2016) Communications in
Mathematical
Physics 1. Introduction A class of important examples of integrable systems comes from the study of the Poisson
structures on a formal loop space, that is, on the space of maps from the circle to an
n-dimensional ball considered in a formal algebraic way. In this setting one can gener-
alize various notions of differential geometry, in particular one can define the space of
functional polyvector fields equipped with the Schouten bracket. Introducing a Poisson 806 G. Carlet, H. Posthuma, S. Shadrin G. Carlet, H. Posthuma, S. Shadrin structure and a system of Hamiltonians in involution one obtains a hierarchy of commut-
ing PDEs. The equations of the flows are given by differential polynomials involving the
derivatives with respect to the spatial variable. In the case of the so-called bihamiltonian
systems, which are characterized by the presence of two compatible Poisson structures,
one can construct a set of Hamiltonians in involution with respect two both Poisson
structures, starting from the Casimirs of one of them, by the so called Lenard–Magri
recursion scheme. Such framework is especially relevant in the applications of the theory
of integrable systems to the Gromov–Witten theory. For further details see [5]. In this context the theory of deformations of a compatible pair of Poisson structures
is very important. In particular we want to consider the formal deformation of a pair of
compatible brackets up to the action of the so-called Miura group, which is the group
of local diffeomorphisms of the space of dependent variables. We assume that these
diffeomorphisms may depend on the formal deformation parameter. An algebraic reformulation of this deformation problem leads to the concept of bi-
hamiltonian cohomology of a pair of Poisson structures. As usual in the deformation
theory of algebraic structures, we can classify, in terms of some cohomology groups,
the space that parametrizes possible infinitesimal deformations of a pair of brackets and
the space that parametrizes the obstruction for a formal perturbative integration of an
infinitesimal deformation. The computation of these cohomology groups in the general case is fairly difficult,
and we refer the reader to the papers [1,2,4,7–10] for various particular computations,
as well as surveys and reformulations of these ideas. In a recent paper [9], Liu and Zhang computed the bihamiltonian cohomology for
the pair of brackets of the dispersionless KdV hierarchy up to degree 3 and conjectured
that the cohomology vanishes in higher degree. 1. Introduction In this paper we propose a new method for the computation of the bihamiltonian
cohomology groups. We introduce a filtration of a related polynomial complex and
show that the corresponding spectral sequence collapses at the second page. That al-
lows us to reconstruct the cohomology of such complex and consequently to obtain the
bihamiltonian cohomology of the dispersionless KdV Poisson pencil. In particular, we
reproduce the results of Liu and Zhang and prove their conjecture on the vanishing of
the cohomology in higher degrees. 1.1. Outline of the paper. In Sect. 2 we recall the formalism of local functional polyvec-
tor fields and the definition of bihamiltonian cohomology groups. In Sect. 3 we recall
some textbook material on spectral sequences that we use to approach the problem. In
Sect. 4 we introduce the filtration of the polynomial complex, we prove our theorems
on its cohomology using the induced spectral sequence and derive the bihamiltonian
cohomology of the dispersionless KdV Poisson pencil. 2. Formalism of Functional Polyvector Fields In this section, we introduce a minimal version of the necessary formalism of local func-
tional polyvector fields and pose the main problem about the bihamiltonian cohomology
for the dispersionless KdV hierarchy. For further details in the general case we refer
to [5,9]. Bihamiltonian Cohomology of KdV Brackets 807 1. Basic definitions. Consider a supercommutative associative algebra ˆA defined as 2.1. Basic definitions. Consider a supercommutative associative algebra ˆA defined as ˆA := C∞(R)[[u1, u2, . . . ; θ0, θ1, θ2, . . . ]]. (1) (1) Here ui, i = 1, 2, . . . , are some formal even variables and θi, i = 0, 1, 2, . . . , are some
odd variables. An element in C∞(R) is represented by a function of the coordinate
u = u0 on R. ˆ Here ui, i = 1, 2, . . . , are some formal even variables and θi, i = 0, 1, 2, . . . , are some
odd variables. An element in C∞(R) is represented by a function of the coordinate
u = u0 on R. This algebra has two different gradations. We define the standard gradation on ˆA by
assigning the degrees deg ui = deg θi = i,
i = 0, 1, 2, . . . . (2) (2) and degree zero to both θ = θ0 and the elements in C∞(R). The standard degree d
component of ˆA is denoted ˆAd. The super gradation is defined by assigning degree one
to θi for i ⩾0 and degree zero to the remaining generators of ˆA. The super degree p
component is denoted ˆAp. We also denote ˆAp
d = ˆAd ∩ˆAp. (3) (3) We define the standard derivation on ˆA We define the standard derivation on ˆA ∂=
s⩾0
us+1 ∂
∂us + θs+1 ∂
∂θs
(4) (4) which is compatible with both gradations on ˆA, in particular it increases the standard
degree by one and leaves invariant the super degree. The local functional polyvector fields are defined as the elements of the quotient ˆF = ˆA/∂ˆA,
(5) (5) and the corresponding projection is denoted with the integral symbol and the corresponding projection is denoted with the integral symbol
: ˆA →ˆF. (6) (6) The gradations on
ˆA, being compatible with the derivation ∂, define corresponding
gradations on ˆF. 2. Formalism of Functional Polyvector Fields The corresponding homogeneous components are denoted with the
obvious notations ˆFd, ˆF p and ˆF p
d . The gradations on
ˆA, being compatible with the derivation ∂, define corresponding
gradations on ˆF. The corresponding homogeneous components are denoted with the
obvious notations ˆFd, ˆF p and ˆF p
d . The Schouten bracket [·, ·] on ˆA and, therefore, on ˆF (abusing notation we denote
it by the same symbol) is defined in the standard way using the second order operator
δuδθ, where δu :=
∞
s=0
(−∂)s ∂
∂us ,
δθ :=
∞
s=0
(−∂)s ∂
∂θs . (7) (7) 808 G. Carlet, H. Posthuma, S. Shadrin 2.2. Poisson structures. A Poisson structure is given by a local functional bivector field
P ∈ˆF2 such that [P, P] = 0. The operator dP := [P, ·] on ˆF is induced from the
operator DP defined on ˆA given by the following formula 2.2. Poisson structures. A Poisson structure is given by a local functional bivector field
P ∈ˆF2 such that [P, P] = 0. The operator dP := [P, ·] on ˆF is induced from the
operator DP defined on ˆA given by the following formula DP :=
∞
s=0
∂s(δθ P) ∂
∂us + ∂s(δu P) ∂
∂θs
. (8) (8) The deformation theory of a single Poisson bracket is controlled by the cohomology
H( ˆF, dP). An important related space is H( ˆA, DP). ˆ Given P ∈ˆF2
1 a scalar Hamiltonian structure of hydrodynamic type, we have [3,6,
8,9]
ˆ
ˆA H( ˆF, dP) = H( ˆA, DP) = R ⊕Rθ. (9) (9) Thecohomology H( ˆA, DP)wascomputedin[8].In[9]thecohomology H>0( ˆF, dP)
is derived from H( ˆA, DP) by a long exact sequence argument. The cohomology
H0( ˆF, dP) can be easily computed in the scalar case by hand. A pencil of two commuting Poisson structures is given by two local functional bivec-
tors P1, P2 ∈
ˆF2 such that [P1, P1] = [P2, P2] = [P1, P2] = 0. 2. Formalism of Functional Polyvector Fields In this case the
deformation theory of the pair is controlled by the graded vector space BH( ˆF, dP1, dP2) := Ker dP1 ∩Ker dP2
Im
dP1dP2
(10) (10) thatiscalledthebihamiltoniancohomology.Foralmostallvaluesofthebi-grading(p, d)
the computation of the bihamiltonian cohomology can be reduced to the computation of thatiscalledthebihamiltoniancohomology.Foralmostallvaluesofthebi-grading(p, d)
the computation of the bihamiltonian cohomology can be reduced to the computation of BH( ˆA, DP1, DP2) := Ker DP1 ∩Ker DP2
Im
DP1 DP2
(11) (11) via a long exact sequence [9]. 2.3. Poisson structures of the dispersionless KdV. The two Poisson structures of the
dispersionless KdV are given by the following two bi-vector fields: P1 := 1
2
θθ1, P2 := 1
2
uθθ1. (12) (12) The Schouten brackets with P1 and P2 induce the differentials D1 and D2 on the
space ˆA and the differentials d1 and d2 on the space ˆF. A direct computation shows that The Schouten brackets with P1 and P2 induce the differentials D1 and D2 on the
space ˆA and the differentials d1 and d2 on the space ˆF. A direct computation shows that D1 =
s⩾0
θs+1 ∂
∂us ,
D2 =
s⩾0
∂s(uθ1 + 1
2u1θ) ∂
∂us + ∂s(1
2θθ1) ∂
∂θs
. The main goal of this paper is to compute the graded vector space BH( ˆF, d1, d2). A closely related space is BH( ˆA, D1, D2) and we explain below the precise relation
following the results of Liu and Zhang [9]. Bihamiltonian Cohomology of KdV Brackets 809 2.4. Grading and subcomplexes. Since θi, i = 0, 1, 2, . . . , are odd variables, we have
a restriction on possible gradings p and d on the spaces ˆA and ˆF. Indeed, the minimal
possible standard d-degree of a monomial in θi of super degree p is the degree of
θ0 · · · θ p−1 equal to 0 + · · · + (p −1) = p(p −1)/2. So, ˆAp
d = ˆF p
d = 0 for d <
p(p −1)/2. Another observation is related to the fact that the (p, d)-degree of the operators D1
and D2 (and, therefore, d1 and d2) is (1, 1). 2. Formalism of Functional Polyvector Fields Therefore, the difference p −d is preserved
by both operators, and this means that the whole space ˆA (and ˆF) can be split into an a
completion of an infinite direct sum of subcomplexes with the fixed difference p −d. The inequality d < p(p −1)/2 implies that each of these subcomplexes is finite. Let us
give here first few examples (we write it for ˆF; for ˆA it is exactly the same): 0 →ˆF1
0 →ˆF2
1 →0
0 →ˆF0
0 →ˆF1
1 →ˆF2
2 →ˆF3
3 →0
0 →ˆF0
1 →ˆF1
2 →ˆF2
3 →ˆF3
4 →0
(13)
0 →ˆF0
2 →ˆF1
3 →ˆF2
4 →ˆF3
5 →ˆF4
6 →0 (13) So, we can compute the bihamiltonian cohomology of each subcomplex separately. Subcomplexes are fixed by the difference d −p = −1, 0, 1, 2 . . . . 3. Spectral Sequences With a Z-graded differential complex (C, d) with a filtration F∗C one
associates a spectral sequence (E∗,∗
r
, dr). The first two pages are given by Proposition 1. With a Z-graded differential complex (C, d) with a filtration F∗C one
associates a spectral sequence (E∗,∗
r
, dr). The first two pages are given by E p,q
0
= gr pC p+q
(17) (17) and and E p,q
1
= d−1(F p+1C p+q+1) ∩F pC p+q
d(F pC p+q−1) + F p+1C p+q ,
(18) (18) 3. Spectral Sequences In this section we recall some basic machinery from the theory of spectral sequences. Although this material is well-known (see e. g. [11]), we have decided to include it
for the benefit of the reader, and because the precise construction of the pages of the
spectral sequence allows in the end to reconstruct the cocycles representing nontrivial
cohomology classes. In this way, our arguments in the next section computing the bi-
hamiltonian cohomology using the spectral sequence of a filtration can be related to the
explicit computations of [9]. A (cohomological type) spectral sequence is a family of differential Z-bigraded
vector spaces (E∗,∗
r
, dr) with differentials dr of bidegree (r, 1 −r) such that for all
p, q ∈Z and all r ⩾0, the page E pq
r+1 is isomorphic to the cohomology of the previous
page H pq(E∗,∗
r
, dr) := Ker(dr : E pq
r
→E p+r,q−r+1
r
)
Im(dr : E p−r,q+r−1
r
→E pq
r )
. (14) (14) A spectral sequence is said to collapse at the N-th term if the differentials dr vanish
for r ⩾N. In such case E∗,∗
r
∼= E∗,∗
N
for r ⩾N. Then E∗,∗
∞:= E∗,∗
N
is called the limit
term of the spectral sequence. Let (C, d) be a Z-graded differential complex (of R-vector spaces) with a differential
d : C →C, d2 = 0, of degree 1. Let F∗C be a decreasing filtration of (C, d), i.e. a
family of vector subspaces FiC of C, i ∈Z · · · ⊂Fi+1 ⊂FiC ⊂· · · ⊂C
(15) (15) which are compatible with the differential, d(FiC) ⊂FiC. Let FiC p := FiC ∩C p
be the induced filtration of the homogeneous component C p of degree p. Let us denote which are compatible with the differential, d(FiC) ⊂FiC. Let FiC p := FiC ∩C p
be the induced filtration of the homogeneous component C p of degree p. Let us denote G. Carlet, H. Posthuma, S. Shadrin 810 by gr∗C and gr∗C p the graded spaces associated to the filtrations F∗C and F∗C p,
respectively, i.e. by gr∗C and gr∗C p the graded spaces associated to the filtrations F∗C and F∗C p,
respectively, i.e. griC =
FiC
Fi+1C ,
griC p =
FiC p
Fi+1C p . (16) (16) Proposition 1. with differentials d0, d1 induced by d on the quotients. We quickly review the construction of the spectral sequence associated with a filtered
gradedcomplex.RecallthateachhomogeneouscomponentC p hasadecreasingfiltration
FiC p and that the stability of the differential implies d(FiC p) ⊂FiC p+1. One starts
by defining the subspaces of F pC p+q Z p,q
r
= d−1(F p+rC p+q+1) ∩F pC p+q,
(19)
B p,q
r
= d(F p−rC p+q−1) ∩F pC p+q
(20) (19)
(20) (19)
(20) (19) (20) which form a tower which form a tower d(F pC p+q−1) = B p,q
0
⊂B p,q
1
⊂· · · ⊂Z p,q
1
⊂Z p,q
0
= F pC p+q. (21)
Notice moreover that B p,q
−1 = d(F p+1C p+q−1) and Z p,q
−1 = F pC p+q. We define the r-th page of the spectral sequence as d(F pC p+q−1) = B p,q
0
⊂B p,q
1
⊂· · · ⊂Z p,q
1
⊂Z p,q
0
= F pC p+q. (21)
e moreover that B p,q
1 = d(F p+1C p+q−1) and Z p,q
1 = F pC p+q. d(F pC p+q−1) = B p,q
0
⊂B p,q
1
⊂· · · ⊂Z p,q
1
⊂Z p,q
0
= F pC p+q. (21) (21) (
)
0
1
1
0
(
)
Notice moreover that B p,q
−1 = d(F p+1C p+q−1) and Z p,q
−1 = F pC p+q. We define the r-th page of the spectral sequence as Notice moreover that B p,q
−1 = d(F p+1C p+q−1) and Z p,q
−1 = F pC p+q. We define the r-th page of the spectral sequence as Notice moreover that B p,q
−1 = d(F p+1C p+q−1) and Z p,q
−1 = F pC p+q. We define the r-th page of the spectral sequence as 1
1
We define the r-th page of the spectral sequence as E p,q
r
=
Z p,q
r
B p,q
r−1 + Z p+1,q−1
r−1
,
(22) (22) which is a well-defined quotient since Z p+1,q−1
r−1
⊂Z p,q
r
. For r = 0, 1 this gives (17)
and (18). One can check that d(Z p,q
r
) = B p+r,q−r+1
r
⊂Z p+r,q−r+1
r
,
(23) (23) and, consequently, d(B p,q
r−1 + Z p+1,q−1
r−1
) = B p+r,q−r+1
r−1
. 4. Bihamiltonian Cohomology In this section we prove our main result, i.e. we compute the bihamiltonian cohomology
BH p
d ( ˆF, d1, d2) of the dispersionless KdV Poisson pencil. d
p
p
The main step in our proof is the computation of the cohomology of the auxiliary
complex ( ˆA[λ], Dλ) in Proposition 4. We define a filtration of such complex by imposing
a bound on the highest derivative and we study the convergence of the associated spectral
sequence. The first page E∗,∗
1
is still highly non-trivial: we compute it in Lemma 5
and we give an explicit expression for the differential d1 in Lemma 7. The spectral
sequence however collapses at the second term. This is proved by introducing an explicit
contracting homotopy h for d1. Finally, the convergence theorem for bounded spectral
sequences allows us to recover the cohomology of ( ˆA[λ], Dλ) by a standard argument. In Sect. 4.2 we use two arguments from [9] to compute the cohomology groups
H( ˆF[λ], dλ) and the bihamiltonian cohomology groups
BH( ˆA, D1, D2) and
BH( ˆF, d1, d2). The first relates the bihamiltonian cohomology groups BH( ˆA, D1, D2),
resp. BH( ˆF, d1, d2), to the cohomology of the complexes ( ˆA[λ], Dλ) , resp. ( ˆF[λ], dλ),
cf. Lemma 10. The second employs a long exact sequence (73) to relate the cohomology
of ( ˆF[λ], dλ) to that of ( ˆA[λ], Dλ). 4.1. The main proposition. We start by computing the cohomology of the complex
( ˆA[λ], Dλ), where Dλ = D2 −λD1. 4.1. The main proposition. We start by computing the cohomology of the complex
( ˆA[λ], Dλ), where Dλ = D2 −λD1. with differentials d0, d1 induced by d on the quotients. (24) (24) That means that the differential restricts to a map Z p,q
r
→Z p+r,q−r+1
r
which de That means that the differential restricts to a map Z p,q
r
→Z p+r,q−r+1
r
which descend p
r
r
to the quotient in (22), defining the differential dr. Finally one can prove that the coho-
mology of the differential dr on E p,q
r
coincides with E p,q
r+1. Remark 2. One can check that H p,q(E∗,∗
0 , d0) = E p,q
1
simply by computing kernel and
image of d0 in E p,q
0
which shows that the cohomology is Z p,q
1
/F p+1C p+q
B p,q
0
/F p+1C p+q ∼=
Z p,q
1
B p,q
0
+ F p+1C p+q = E p,q
1
. (25) (25) Bihamiltonian Cohomology of KdV Brackets 811 A filtration F∗C of a graded complex (C, d) is bounded if for each degree p there
are integers s and t such that 0 = FsC p ⊂· · · ⊂Fi+1C p ⊂FiC p ⊂· · · ⊂FtC p = C p. (26) (26) The cohomology of a filtered graded complex (C, d) inherits a filtration, where
Fi H(C, d) is given by the image of H(FiC, d) in H(C, d) under the inclusion map. The cohomology of a filtered graded complex (C, d) inherits a filtration, where
Fi H(C, d) is given by the image of H(FiC, d) in H(C, d) under the inclusion map. The standard convergence theorem for the spectral sequence associated with a filtered
graded complex states that, under the assumption of boundedness of the filtration, the
limit term of the spectral sequence determines the graded space associated with the
filtration of the cohomology of the complex. More precisely we have, see e.g. [11]: Theorem 3. The spectral sequence associated with a bounded filtration converges to
H(C, d), i.e. + E p,q
∞∼=
F pH p+q(C, d)
F p+1H p+q(C, d). (27) (27) Proposition 4. H( ˆA[λ], Dλ) = R[λ] ⊕(C∞(R)/R[u])θθ1 ⊕C∞(R)θθ1θ2
(28) (28) Proof. The proof consists of two parts: first we define a filtration of the complex
( ˆA[λ], Dλ) and compute the first page E∗,∗
1
of the associated spectral sequence. Then
we compute the second page E∗,∗
2
by defining an explicit contracting homotopy h for
d1. It turns out that the spectral sequence E∗,∗
r
collapses at the second page. Use of the
standard convergence theorem for spectral sequences yields the desired result. Proof. The proof consists of two parts: first we define a filtration of the complex
( ˆA[λ], Dλ) and compute the first page E∗,∗
1
of the associated spectral sequence. Then
we compute the second page E∗,∗
2
by defining an explicit contracting homotopy h for
d1. It turns out that the spectral sequence E∗,∗
r
collapses at the second page. Use of the
standard convergence theorem for spectral sequences yields the desired result. 812 G. Carlet, H. Posthuma, S. Shadrin G. Carlet, H. Posthuma, S. Shadrin Let ˆA(r) := C∞(R)[[u1, . . . , ur; θ, . . . , θr]],
(29) (29) the subspace of ˆA where the order of x-derivatives is at most r. The quotient ˆA(r)/ ˆA(r−1)
is canonically identified with the subspace ˆA[r] generated by monomials in ˆA(r) with at
least one x-derivative of order r. Denote the subspace of ˆA where the order of x-derivatives is at most r. The quotient ˆA(r)/ ˆA(r−1)
is canonically identified with the subspace ˆA[r] generated by monomials in ˆA(r) with at
least one x-derivative of order r. Denote ˆA(r)
d
= ˆAd ∩ˆA(r),
ˆA[r]
d
= ˆAd ∩ˆA[r] ∼= ˆA(r)
d / ˆA(r−1)
d
(30) (30) the standard degree d homogeneous component of ˆA(r) and ˆA[r], respectively. We define the following decreasing filtration of ˆA[λ] We define the following decreasing filtration of ˆA[λ] Fi ˆA[λ] =
⎧
⎨
⎩a =
d⩾0
ad ∈ˆA[λ] s.t. ad ∈ˆA(d−i)
d
[λ]
⎫
⎬
⎭,
(31) (31) for i ∈Z, which induces the filtration of the homogeneous component ˆAd[λ] Fi ˆAd[λ] = ˆA(d−i)
d
[λ]. (32) (32) This filtration is bounded i.e. 0 = Fd+1 ˆAd[λ] ⊂· · · ⊂Fi+1 ˆAd[λ] ⊂Fi ˆAd[λ] ⊂· · · ⊂F0 ˆAd[λ] = ˆAd[λ]. (33) 0 = Fd+1 ˆAd[λ] ⊂· · · ⊂Fi+1 ˆAd[λ] ⊂Fi ˆAd[λ] ⊂· · · ⊂F0 ˆAd[λ] = ˆAd[λ]. Proposition 4. (33 (33) Let (E∗,∗
r
, dr) be the spectral sequence associated with the filtration Fi ˆA[λ]. By
construction the zeroth page E∗,∗
0
is given by the graded space associated with the
filtration E pq
0
= gr p ˆAp+q[λ] ∼= ˆA[q]
p+q[λ]. (34) (34) Note that E∗,∗
r
is a first quadrant spectral sequence, i.e. E p,q
r
is non-trivial only if
p, q ⩾0. In particular we have In particular we have E0,0
0
= ˆA0[λ],
E p,0
0
= 0 for p > 0
(35) (35) and and E0,q
0
= uq ˆA0[λ] + θq ˆA0[λ] for q > 0. (36) (36) The differential d0 : E p,q
0
→E p,q+1
0
is simply the differential induced by Dλ on the
graded space, i.e. The differential d0 : E p,q
0
→E p,q+1
0
is simply the differential induced by Dλ on the
graded space, i.e. d0 : ˆA[q]
p+q[λ] →ˆA[q+1]
p+q+1[λ]
(37) (37) explicitly given by d0 =
(u −λ)θq+1 + 1
2uq+1θ
∂
∂uq + 1
2θθq+1 ∂
∂θq . (38) (38) By computing the cohomology of the complex (E∗,∗
0 , d0) we get the first page of the
spectral sequence. onian Cohomology of KdV Brackets
813 Bihamiltonian Cohomology of KdV Brackets Bihamiltonian Cohomology of KdV Brackets 813 Lemma 5. The non-trivial entries E p,q
1
of the first page of the spectral sequence are
given by E0,0
1
= R[λ],
(39)
E0,1
1
= C∞(R)
R[u] θθ1,
(40)
E p,q
1
= ˆA[q−1]
p
θθq for p ⩾1, q ⩾2. (41) 0,0
1
= R[λ],
(39) (39) (40) E p,q
1
= ˆA[q−1]
p
θθq for p ⩾1, q ⩾2. (41) (41) Proof. Let us prove (41). Let p ⩾1, q ⩾1. The kernel of d0 in E p,q
0
is given by Proof. Let us prove (41). Let p ⩾1, q ⩾1. The kernel of d0 in E p,q
0
is given by θθq ˆA(q−1)
p
[λ] +
(u −λ)θq + 1
2uqθ
ˆA(q−1)
p
[λ]. (42) (42) To see this, let f ∈ˆA[q]
p+q[λ] and write it as f = f0+θ f1 with both f0 and f1 independent
of θ. The equation d0 f = 0 is equivalent to To see this, let f ∈ˆA[q]
p+q[λ] and write it as f = f0+θ f1 with both f0 and f1 independent
of θ. Proposition 4. The equation d0 f = 0 is equivalent to θ ∂f
∂uq = 0,
(43)
(u −λ) ∂f
∂uq −1
2θ ∂f
∂θq = 0. (44) (43) (44) he first one implies that f0 does not depend on uq hence it can be written as The first one implies that f0 does not depend on uq hence it can be written as f0 = θqg
(45) (45) for g ∈ˆA(q−1)
p
[λ] independent of θ. ∈ˆA(q−1)
p
[λ] independent of θ. for g ∈ˆA(q−1)
p
[λ] independent of θ. p
The second equation then becomes p
The second equation then becomes (u −λ) ∂f1
∂uq = 1
2g. (46) (46) This implies that, since g does not depend on uq and θq, then f1 = θq f2 + uq f3
(47) (47) for f2, f3 ∈ˆA(q−1)
p
[λ]. Then f is clearly of the form (42). 1 for f2, f3 ∈ˆA(q−1)
p
[λ]. Then f is clearly of the form (42). 1 for f2, f3 ∈ˆA(q−1)
p
[λ]. Then f is clearly of the form (42). Note that from (42) it follows immediately that E p,1
1
= 0 for p ⩾1. p q Note that from (42) it follows immediately that E1
0 for p ⩾1. Let us now restrict to q ⩾2. The image of d0 in E p,q
0
is given by elements of the
form Let us now restrict to q ⩾2. The image of d0 in E p,q
0
is given by elements of the
form
(u −λ)θq + 1
2uqθ
∂˜g
∂uq−1 + θqθ
(u −λ) ∂˜f
∂uq−1 −1
2
∂˜g
∂θq−1
(48) (48) where ˜g + θ ˜f is an arbitrary element in ˆA[q−1]
p+q−1[λ] and ˜f and ˜g do not depend on θ. Let f be an element of the kernel (42), i.e. of the form where ˜g + θ ˜f is an arbitrary element in ˆA[q−1]
p+q−1[λ] and ˜f and ˜g do not depend on θ. Let f be an element of the kernel (42), i.e. of the form f =
(u −λ)θq + 1
2uqθ
g + 1
2θθqh. (49) (49) Note that we can choose both g and h independent of θ. Note that we can choose both g and h independent of θ. 814 G. Carlet, H. Posthuma, S. Shadrin G. Carlet, H. Posthuma, S. Proposition 4. Shadrin Let us now find another representative for the class [ f ] in E p,q
1
by subtracting an
element of the image of d0 of the form (48). Choosing ˜g such that g =
∂˜g
∂uq−1
(50) (50) we obtain a representative of the form we obtain a representative of the form 1
2θθq
h −
∂˜g
∂θq−1 + 2(u −λ) ∂˜f
∂uq−1
. (51) (51) Since ˜g is a polynomial in uq−1, Eq. (50) fixes completely ˜g but for its part of degree
zero in uq−1. Let ˜g = ˜g0 + ˜g1 where ˜g0 is the degree-zero part in uq−1. Since
∂˜g0
∂θq−1 is
an arbitrary term in ˆA(q−2)
p
[λ] which does not depend on θ, we can choose ˜g0 such that h +
∂˜g1
∂θq−1 +
∂˜g0
∂θq−1
(52) (52) is an element of ˆA[q−1]
p
[λ]. Finally we can choose ˜f to kill the λ dependence in (51). Equation (41) is proved. 0 q
p
It remains to show that E0,q
1
= 0 for q ⩾2, E0,1
1
= C∞(R)/R[u] and E0,0
1
= R[λ],
which are straightforward computations. ⊓⊔ Remark 6. Note that E p,q
1
= 0 for p ⩽q −2, q ⩾2. ark 6. Note that E p,q
1
= 0 for p ⩽q −2, q ⩾2. Lemma 7. For p ⩾1, q ⩾2, the differential d1 : E p,q
1
→E p+1,q
1
is given by Lemma 7. For p ⩾1, q ⩾2, the differential d1 : E p,q
1
→E p+1,q
1
is given by d1( f θθq) =
(Dλ( f ))λ=u + q −2
2
θ1 f
θθq ∈
ˆA(q−1)
p+1 θθq
ˆA(q−2)
p+1 θθq
(53) (53) r f ∈ˆA[q−1]
p
. for f ∈ˆA[q−1]
p
. Proof. By definition the differential d1 is the map induced by Dλ on the first page of the
spectral sequence written as Proof. By definition the differential d1 is the map induced by Dλ on the first page of the
spectral sequence written as E p,q
1
=
D−1
λ
ˆA(q)
p+q+1[λ] ∩ˆA(q)
p+q[λ]
Dλ ˆA(q−1)
p+q−1[λ] + ˆA(q−1)
p+q [λ]
. (54) (54) For p ⩾1, q ⩾2, we can choose the representative of a class in E p,q
1
as an element
in ˆA(q)
p+q[λ] of the form f θθq with f ∈
ˆA[q−1]
p
. Proposition 4. Applying Dλ to such element, and
quotienting by ˆA(q−1)
p+q+1, we get For p ⩾1, q ⩾2, we can choose the representative of a class in E p,q
1
as an element
in ˆA(q)
p+q[λ] of the form f θθq with f ∈
ˆA[q−1]
p
. Applying Dλ to such element, and
quotienting by ˆA(q−1)
p+q+1, we get d1( f θθq) = Dλ( f )θθq + q −2
2
θ1 f θθq,
(55) (55) where the right-hand represents an element in where the right-hand represents an element in ˆA[q]
p+q+1[λ]
Dλ ˆA(q−1)
p+q [λ] ∩ˆA[q]
p+q+1[λ]
. (56) (56) onian Cohomology of KdV Brackets
815 Bihamiltonian Cohomology of KdV Brackets 815 Next, we quotient by Dλ ˆA(q−1)
p+q [λ] ∩ˆA[q]
p+q+1[λ] to get a representative of d1( f θθq) in
ˆA(q−1)
p+1 θθq. p+1
In other words we can add to (55) an element of the form (uθq + 1
2uqθ)
∂g
∂uq−1 + 1
2θθq
∂g
∂θq−1 −λθq
∂g
∂uq−1
(57) (57) for g ∈ˆA(q−1)
p+q [λ] such that it kills the λ term in (55) i.e. for g ∈ˆA(q−1)
p+q [λ] such that it kills the λ term in (55) i.e. θq
∂g
∂uq−1 −θ D1( f )
= 0. (58) (58) It is clear that we can always choose an element g = θ ˜g such that this equation holds. We obtain a new representative for (55), that is It is clear that we can always choose an element g = θ ˜g such that this equation holds. We obtain a new representative for (55), that is
D2( f ) + q −2
2
θ1 f −u
∂˜g
∂uq−1
θθq,
(59) (59) which, using (58), coincides with the desired result (53). which, using (58), coincides with the desired result (53). which, using (58), coincides with the desired result (53). g
It remains to show that this element lives in the quotient It remains to show that this element lives in the quotient It remains to show that this element lives in the quotien ˆA(q−1)
p+1 θθq
ˆA(q−2)
p+1 θθq . (60) (60) Let us look for elements in the denominator of (56) which are of the form hθθq with no
λ dependence. remains to show that this element lives in the quotient Hence E1,2
2
= Ker
d1 : E1,2
1
→E2,2
1
= C∞(R)θθ1θ2. (64) (64) For the cases p ⩾1 and q ⩾2, (p, q) ̸= (1, 2), we shall construct an explicit homotopy
for the differential d1. Introduce the operator U :=
s⩾1
(s + 2)
2
us ∂
∂us +
s⩾0
(s −1)
2
θs ∂
∂θs . Remark that this operator measures the degree of a monomial in ˆA where the weight of
each us is (s + 2)/2 and of θs is (s −1)/2. From this it follows that U is invertible on
E p,q
2
= ˆA[q−1]
p
θθq for p ⩾1, q ⩾2 and (p, q) ̸= (1, 2). Remark that this operator measures the degree of a monomial in ˆA where the weight of
each us is (s + 2)/2 and of θs is (s −1)/2. From this it follows that U is invertible on
E p,q
2
= ˆA[q−1]
p
θθq for p ⩾1, q ⩾2 and (p, q) ̸= (1, 2). Lemma 9. The operator Lemma 9. The operator h := U −1 ∂
∂θ1 h := U −1 ∂
∂θ1 is a contracting homotopy for d1 : E p,q
1
→E p+1,q
1
for p ⩾1, q ⩾2 and (p, q) ̸=
(1, 2). is a contracting homotopy for d1 : E p,q
1
→E p+1,q
1
for p ⩾1, q ⩾2 and (p, q) ̸=
(1, 2). roof. We should check that hd1 + d1h = 1. For this we split the differential d1 as
d1 = Uθ1 + α. Proof. We should check that hd1 + d1h = 1. For this we split the differential d1 as
d1 = Uθ1 + α. d1 = Uθ1 + α. Since U and θ1 clearly commute, the first term on the right hand side is a differential
for which h is clearly a contracting homotopy, i.e., h(Uθ1) + (Uθ1)h = 1. 1 Since U and θ1 clearly commute, the first term on the right hand side is a differential
for which h is clearly a contracting homotopy, i.e., h(Uθ1) + (Uθ1)h = 1. 1 Comparing with the explicit formula of the differential d1 in Lemma 7, we see that
the first term Uθ1 in the expression for d1 above is exactly the part that depends on θ1. Proposition 4. An element of Dλ ˆA(q−1)
p+q [λ] ∩ˆA[q]
p+q+1[λ] is of the form Let us look for elements in the denominator of (56) which are of the form hθθq with no
λ dependence. An element of Dλ ˆA(q−1)
p+q [λ] ∩ˆA[q]
p+q+1[λ] is of the form
(u −λ)θq + 1
2uqθ
∂g
∂uq−1 + 1
2θθq
∂g
∂θq−1
(61) (61) for g ∈ˆA(q−1)
p+q [λ]. To get an element of the form hθθq either
∂g
∂uq−1 is proportional to
θ, but then we would obtain an element dependent on λ, or
∂g
∂uq−1 = 0 with g ∈ˆA(q−1)
p+q . Without loss of generality we can then choose g ∈θq−1 ˆA(q−2)
p+1 . We conclude that (53)
lives indeed in (60). ⊓⊔ for g ∈ˆA(q−1)
p+q [λ]. To get an element of the form hθθq either
∂g
∂uq−1 is proportional to
θ, but then we would obtain an element dependent on λ, or
∂g
∂uq−1 = 0 with g ∈ˆA(q−1)
p+q . Without loss of generality we can then choose g ∈θq−1 ˆA(q−2)
p+1 . We conclude that (53)
lives indeed in (60). ⊓⊔ Now we compute the second page E∗,∗
2 . Now we compute the second page E∗,∗
2 . Now we compute the second page E∗,∗
2 . Lemma 8. The second page of the spectral sequence is given by E p,q
2
=
⎧
⎪⎪⎪⎨
⎪⎪⎪⎩
R[λ]
p = 0, q = 0,
C∞(R)
R[u] θθ1
p = 0, q = 1
C∞(R)θθ1θ2
p = 1, q = 2
0
else. (62) (62) else. 816 G. Carlet, H. Posthuma, S. Shadrin G. Carlet, H. Posthuma, S. Shadrin G. Carlet, H. Posthuma, S. Shadrin Proof. Let us first compute the nontrivial entries. By the vanishing of d1, the spectral
sequences stabilizes at E0,0
1
and E0,1
1 , hence E0,0
2
= R[λ] and E0,1
2
= C∞(R)
R[u] θθ1. On
the other hand, an element ( f (u)θ1 + g(u)u1)θθ2 of E1,2
1
= ˆA[1]
1 θθ2 is in the kernel of
d1 iff Proof. Let us first compute the nontrivial entries. By the vanishing of d1, the spectral
sequences stabilizes at E0,0
1
and E0,1
1 , hence E0,0
2
= R[λ] and E0,1
2
= C∞(R)
R[u] θθ1. Proposition 4. On
the other hand, an element ( f (u)θ1 + g(u)u1)θθ2 of E1,2
1
= ˆA[1]
1 θθ2 is in the kernel of
d1 iff d1
f θ1 + gu1
= 1
2gu1θθ1θ2 = 0. (63) (63) Hence Hence (The last term in Lemma 7 proportional to (q −2)θ1/2 is taken into account by the
s = 0 term in the second summation in the formula for U.) Therefore α is exactly the
part which does not contain θ1. By the fact that the number of θ’s in each summand for
d1 is odd, it follows that ∂
∂θ1 α + α ∂
∂θ1 = 0. ∂
∂θ1 α + α ∂
∂θ1 = 0. Next, again from the explicit expression of Lemma 7, we easily check that deg(α) = 0,
for the grading as described above, i.e., where deg(us) = (s + 2)/2 and deg(θs) =
(s −1)/2. In other words, [U, α] = 0, and therefore hα + αh = 0. Combining this equation with the fact that h is already a contracting homotopy for Uθ1,
we get that hd1 + d1h = 1 and the statement of the Lemma follows. ⊓⊔ g
q
y
g
we get that hd1 + d1h = 1 and the statement of the Lemma follows. ⊓⊔ Bihamiltonian Cohomology of KdV Brackets 817 We conclude that E p,q
2
= 0 for p ⩾1, q ⩾2, excluding the case p = 1, q = 2. This proves Lemma 8. ⊓⊔
2
1 Let us return to the proof of Proposition 4. Since d2 maps E p,q
2
to E p+2,q−1
2
, it must
vanish everywhere, in other words the spectral sequence collapses at the second term,
and the limit term E∗,∗
∞coincides with E∗,∗
2 . 2
The filtration F∗of the complex ( ˆA[λ], Dλ) is bounded, hence it converges by The-
orem 3, i.e. ˆ E p,q
∞∼=
F pHp+q( ˆA[λ], Dλ)
F p+1Hp+q( ˆA[λ], Dλ)
. (65) (65) It follows in particular that for every (p, q) such that E p,q
∞= 0 we have F pHn( ˆA[λ], Dλ) ∼= F p+1Hn( ˆA[λ], Dλ)
(66) (66) where n = p + q, and because the filtration is bounded we have where n = p + q, and because the filtration is bounded we have F0Hn( ˆA[λ], Dλ) = Hn( ˆA[λ], Dλ)
(67) (67) and Fn Hn( ˆA[λ], Dλ) = 0 for n ̸= 0. (68) (68) Itisstraightforwardtoconcludethatthecohomologyisgivenby (28).TheProposition
is proved. ⊓⊔ is proved. ⊓⊔ 4.2. Consequences. The following Lemma, proved in [9], relates the bihamiltonian
cohomology of
ˆA, resp. Hence (75) H1
1 ( ˆF[λ]) ∼= H2
1 ( ˆF[λ]) = H2
1 ( ˆA[λ]) = (C∞(R)/R[u])θθ1
(74)
d) = (2, 3), (3, 3) that (74) H2
3 ( ˆF[λ]) ∼= H3
3 ( ˆF[λ]) = H3
3 ( ˆA[λ]) = C∞(R)θθ1θ2. (75) (75) It is easy to compute the d = 0 cases explicitly, thus obtaining the following: It is easy to compute the d = 0 cases explicitly, thus obtaining the following: Proposition 13. The non-trivial cohomology groups H p
d ( ˆF[λ], dλ) are isomorphic to Proposition 13. The non-trivial cohomology groups Hd (F[λ], dλ) are isomorphic to
C∞(R)/R[u] for (p, d) = (1, 1), (2, 1),
(76)
C∞(R) for (p, d) = (2, 3), (3, 3)
(77) C∞(R)/R[u] for (p, d) = (1, 1), (2, 1),
(76)
C∞(R) for (p, d) = (2, 3), (3, 3)
(77) (76)
(77) (77) and R[λ] for (p, d) = (0, 0). and R[λ] for (p, d) = (0, 0). and R[λ] for (p, d) = (0, 0). ˆ and R[λ] for (p, d) = (0, 0). Theorem 14. For the bihamiltonian cohomology groups BH p
d ( ˆF, d1, d2) we have Theorem 14. For the bihamiltonian cohomology groups BH p
d ( ˆF, d1, d2) we have BH p
d ( ˆF, d1, d2) ∼=
⎧
⎪⎨
⎪⎩
C∞(R) (p, d) = (1, 1), (2, 1), (2, 3), (3, 3),
R
(p, d) = (0, 0),
0
else. (78) (78) Proof. Follows from Lemma 10 and Proposition 13. Proof. Follows from Lemma 10 and Proposition 13. Thefour exceptional cases that cannot beobtainedfromLemma 10havetobechecked
separately. It is a simple straightforward computation, so we provide here only an ex-
ample for p = d = 1. The bihamiltonian cohomology group in this case is given by
elements of ˆF1
1 that are in the kernel of both d1 and d2. A general element of ˆF1
1 is of
the form
f (u)θ1 + g(u)u1θ
. (79) (79) This element is in the kernel of both d1 and d2, since, as one can easily check, both D1
and D2 map f (u)θ1 + g(u)u1θ to ∂ˆA2
1. (Recall that di
=
Di on ˆA). Finally we can
quotient by ∂ˆA1
0 to obtain a representative of the form
h(u)u1θ. (80)
h(u)u1θ. (80) The remaining exceptional cases can be computed in a similar way. Hence Carlet, H. Posthuma, S. Shadrin G. Carlet, H. Posthuma, S. Shadrin G. Carlet, H. Posthuma, S. Shadrin Remark 12. The bihamiltonian cohomology groups BH p
d ( ˆA) for p = 2, 3, 4, d ⩾0
were computed in [9] by direct computation, i.e. without the use of Lemma 10. Remark 12. The bihamiltonian cohomology groups BH p
d ( ˆA) for p = 2, 3, 4, d ⩾0
were computed in [9] by direct computation, i.e. without the use of Lemma 10. As noted in [9] the short exact sequence of differential complexes 0 →( ˆA[λ]/R[λ], Dλ)
∂−→( ˆA[λ], Dλ)
−→( ˆF[λ], dλ) →0
(72) (72) induces a long exact sequence in cohomology induces a long exact sequence in cohomology · · · →H p
d−1( ˆA[λ]/R[λ]) →H p
d ( ˆA[λ]) →
→H p
d ( ˆF[λ]) →H p+1
d
( ˆA[λ]/R[λ]) →· · · d
1
/
d
→H p
d ( ˆF[λ]) →H p+1
d
( ˆA[λ]/R[λ]) →· · ·
(73) (73) for d ⩾1. Note that H p
d ( ˆA[λ]/R[λ], Dλ) = H p
d ( ˆA[λ], Dλ) unless p = d = 0. The vanishing of most of the groups H p
d ( ˆA[λ], Dλ) implies at once the vanishing of
H p
d ( ˆF[λ], dλ) for p ⩾1 excluding the four cases (p, d) = (1, 1), (2, 1), (2, 3), (3, 3). Moreover the long exact sequence (73) at (p, d) = (1, 1), (2, 1) implies that for d ⩾1. Note that H p
d ( ˆA[λ]/R[λ], Dλ) = H p
d ( ˆA[λ], Dλ) unless p = d = 0. The vanishing of most of the groups H p
d ( ˆA[λ], Dλ) implies at once the vanishing of
H p
d ( ˆF[λ], dλ) for p ⩾1 excluding the four cases (p, d) = (1, 1), (2, 1), (2, 3), (3, 3). Moreover the long exact sequence (73) at (p, d) = (1, 1), (2, 1) implies that H1
1 ( ˆF[λ]) ∼= H2
1 ( ˆF[λ]) = H2
1 ( ˆA[λ]) = (C∞(R)/R[u])θθ1
(74)
and at (p, d) = (2, 3), (3, 3) that
H2
3 ( ˆF[λ]) ∼= H3
3 ( ˆF[λ]) = H3
3 ( ˆA[λ]) = C∞(R)θθ1θ2. Hence ˆF, with the cohomology of the complex ( ˆA[λ], Dλ), resp. ( ˆF[λ], dλ). We give a slightly modified version adapted to the scalar case. Lemma 10. We have Lemma 10. We have Lemma 10. We have BH p
d ( ˆA, D1, D2) ∼= H p
d ( ˆA[λ], Dλ),
(69)
BH p
d ( ˆF, d1, d2) ∼= H p
d ( ˆF[λ], dλ)
(70) (69) (70) for p, d ⩾0 excluding (p, d) = (0, 0), (1, 0), (1, 1), (2, 1). for p, d ⩾0 excluding (p, d) = (0, 0), (1, 0), (1, 1), (2, 1). for p, d ⩾0 excluding (p, d) = (0, 0), (1, 0), (1, 1), (2, 1). Proof. One can repeat the proof given in [9]. Such proof of (69) relies on the fact that
H p
d ( ˆA, D1) = 0 and H p−1
d−1 ( ˆA, D1) = 0. Since in the scalar case H p
d ( ˆA, D1) = 0 unless
(p, d) = (0, 0), (1, 0), we need to exclude the four cases above. The analogous remark
applies to (70). ⊓⊔ Proof. One can repeat the proof given in [9]. Such proof of (69) relies on the fact that
H p
d ( ˆA, D1) = 0 and H p−1
d−1 ( ˆA, D1) = 0. Since in the scalar case H p
d ( ˆA, D1) = 0 unless
(p, d) = (0, 0), (1, 0), we need to exclude the four cases above. The analogous remark
applies to (70). ⊓⊔ Theorem 11. The bihamiltonian cohomology groups are given by Theorem 11. The bihamiltonian cohomology groups are given by BH p
d ( ˆA, D1, D2) =
⎧
⎪⎪⎪⎨
⎪⎪⎪⎩
R
p = 0, d = 0,
C∞(R)θθ1
p = 2, d = 1,
C∞(R)θθ1θ2
p = 3, d = 3,
0
else. (71) (71) Proof. It is a direct consequence of (28) and (69) for all p, d ⩾0 but the four cases
(p, d) = (0, 0), (1, 0), (1, 1), (2, 1). The four exceptional cases can be quickly obtained
by straightforward calculations. ⊓⊔ Proof. It is a direct consequence of (28) and (69) for all p, d ⩾0 but the four cases
(p, d) = (0, 0), (1, 0), (1, 1), (2, 1). The four exceptional cases can be quickly obtained
by straightforward calculations. ⊓⊔ 818 G. References . Arsie, A., Lorenzoni, P.: On bihamiltonian deformations of exact pencils of hydrodynamic type. J. Phy
A 44(22), 225205 (2011) A 44(22), 225205 (2011)
2. Barakat, A.: On the moduli space of deformations of bihamiltonian hierarchies of hydrodynamic type. Adv. Math. 219(2), 604–632 (2008) . Barakat, A.: On the moduli space of deformations of bihamiltonian hierarchies of hydrodynamic type. Adv
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4. Dubrovin, B., Liu, S.-Q., Zhang, Y.: On Hamiltonian perturbations of hyperbolic systems of conservation
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Gromov–Witten invariants. arXiv:math/0108160 . Getzler, E.: A Darboux theorem for Hamiltonian operators in the formal calculus of variations. Duk
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10. Lorenzoni, P.: Deformations of bihamiltonian structures of hydrodynamic type. J. Geom. Phys. Hence ⊓⊔ he remaining exceptional cases can be computed in a similar way. ⊓⊔ Bihamiltonian Cohomology of KdV Brackets 819 cknowledgments. The authors were supported by the Netherlands Organization for Scientific Research. Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 Inter-
national 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,
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3), 331–375 (2002) 10. Lorenzoni, P.: Deformations of bihamiltonian structures of hydrodynamic type. J. Geom. Phys. 44(2-
3), 331–375 (2002) 11. McCleary, J.: A user’s guide to spectral sequences. Second edition. Cambridge Studies in Advanced
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https://openalex.org/W3081173147
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https://eprint.iacr.org/2020/183.pdf
|
English
| null |
A note on secure multiparty computation via higher residue symbols
|
Journal of mathematical cryptology
| 2,021
|
cc-by
| 9,886
|
2010 Mathematics Subject Classification: 11T71, 94A60 2010 Mathematics Subject Classification: 11T71, 94A60 Open Access. © 2021 I. Cascudo and R. Schnyder, published by De Gruyter.
This work is licensed under the Creative
Commons Attribution 4.0 License
Ignacio Cascudo: IMDEA Software Institute, 28223 Pozuelo de Alarcon, Madrid, Spain; Email: ignacio.cascudo@imdea.org.
Much of this work was carried out while Ignacio was with the Department of Mathematical Sciences, Aalborg University, Den-
mark.
*Corresponding Author: Reto Schnyder: Department of Mathematical Sciences, Aalborg University, 9220 Aalborg, Denmark;
Email: reto@math.aau.dk Ignacio Cascudo and Reto Schnyder*
A note on secure multiparty computation via
higher residue symbols
https://doi.org/10.1515/jmc-2020-0013
Received Mar 17 2020; accepted Dec 07 2020 https://doi.org/10.1515/jmc-2020-0013
Received Mar 17, 2020; accepted Dec 07, 2020 Abstract: We generalize a protocol by Yu for comparing two integers with relatively small difference in a
secure multiparty computation setting. Yu’s protocol is based on the Legendre symbol. A prime number p
is found for which the Legendre symbol (· | p) agrees with the sign function for integers in a certain range
{−N, . . . , N} ⊂Z. This can then be computed efficiently. fi
We generalize this idea to higher residue symbols in cyclotomic rings Z[ζr] for r a small odd prime. We present
a way to determine a prime number p such that the r-th residue symbol (· | p)r agrees with a desired function
f : A →{ζ 0r , . . . , ζ r−1
r
} on a given small subset A ⊂Z[ζr], when this is possible. We also explain how to
efficiently compute the r-th residue symbol in a secret shared setting. Keywords: secure multiparty computation, cyclotomic rings, power residue symbol J. Math. Cryptol. 2021; 15:284–297 Outline of the paper In Section 2, we present basic definitions and facts about the power residue symbol in a cyclotomic ring. We then present the idea of our protocol in Section 3, and in Section 4 we explain in detail how to compute
the residue symbol. Then, in Section 5, we present a method for finding an appropriate modulus p given a
desired function to compute. We give a toy example in Section 6 to illustrate our ideas. Finally, in Section 7,
we compare our method to other constant-round protocols for computing arbitrary functions. Our contribution In this paper, we present a generalization of the idea of [12] by using the residue symbol in a cyclotomic ring
Z[ζr], for some odd prime r. The goal is to compute a chosen function f : A →{0, . . . , r −1} in a limited
domain A ⊂Fp[ζr]. We develop a method for finding a prime number p such that the r-th power residue
symbol coincides with f on the domain A, when this is possible:︂︂ (︂a
p
)︂
r
= ζ f(a)
r
for each a ∈A. As in [12], our protocol requires an ofine precomputation phase, but has an online phase consisting of a
single round. As an added benefit, the output of f is obtained in a one-hot encoding, which can be helpful if it
is e.g. used in a condition for a branching algorithm. Unfortunately, we are not currently aware of a practical use of our protocol, since the limitations on the
size of A are too strict. However, we hope that our new ideas motivate future work that can lessen these
restrictions and find applications where our idea outperforms existing solutions. 285 Secure multiparty computation via higher residue symbols An alternative idea for comparison of secret values is given in [12]. Their protocol attempts to compute
the sign of a secret shared value [a]Fp by computing the Legendre symbol (a | p). For this to work, they
must choose the prime modulus p in such a way that all values {1, . . . , N} are quadratic residues modulo
p, for a relatively large N, and that −1 is a quadratic non-residue. Then, it holds that sgn(a) = (a | p) for
−N ≤a ≤N. Two integers a and b can then be compared by computing sgn(a −b) = (a −b | p), assuming
|a −b| ≤N. The Legendre symbol can be computed relatively easily in a secret-shared setting using a few
rounds of precomputation and a single online round. Yu shows that at any given order of magnitude, a prime
p can be found which satisfies the desired properties with N being of size Ω(log p). The inspiration for this
protocol comes from [7], where the idea is first presented for the special case N = 2, p = 7. In [1], the authors improve on Yu’s method and extend the range where the comparison is valid by a factor
of roughly three, for a given modulus size. They achieve this by computing the residue symbol on a small
neighbourhood of the input value and performing a majority vote. They also provide another protocol that
increases the valid range by a factor of five compared to Yu, but requires an additional online round. 1 Introduction In secure multiparty computation (MPC), a group of parties, each of which has some secret data, wish to
collaboratively compute a function on it without revealing their inputs. A common technique for this is to
represent the inputs as elements of a finite field Fp and represent the function as an arithmetic circuit over
that finite field, i.e. as an expression consisting of nested sums and products over Fp involving the inputs
and public values, and then process this circuit gate-by-gate. For example in secret-sharing based secure
multiparty computation protocols, inputs are secret shared among the parties using a linear secret sharing
scheme, such as Shamir’s scheme [10] or additive secret sharing. In such a scheme, addition of two secrets
and multiplication of a secret by a public value can be done by simply performing the operation locally. Multiplication of two secrets can be achieved with a small amount of additional communication between
the parties. See for example the book [4] for details about how this plays out in a number of secret-sharing
based MPC protocols. But many other operations are more complicated to perform in a secret shared setting,
especially those that do not correspond to natural operations in a finite field. Examples for this are integer
comparison, integer division and modular reduction by values that are coprime to p. Protocols that compute
such operations often rely on decomposing a shared value into its binary representation, after which the
operation can be performed on secret shared bits [e.g. 5]. However, this decomposition involves a significant
computational and communication cost, so there is much interest in more straightforward protocols for these
operations. There are other protocols which do not rely on the decomposition of shared values, but still operate
in a bitwise manner by using random pre-decomposed sharings [9]. Ignacio Cascudo: IMDEA Software Institute, 28223 Pozuelo de Alarcon, Madrid, Spain; Email: ignacio.cascudo@imdea.org. Much of this work was carried out while Ignacio was with the Department of Mathematical Sciences, Aalborg University, Den-
mark. *Corresponding Author: Reto Schnyder: Department of Mathematical Sciences, Aalborg University, 9220 Aalborg, Denmark;
E
il
h
dk If a ∈p, we define (a | p)r = 0. The group of units R* is the direct product of the group of roots of unity in R
and the group of positive real units (R ∩R>0)*. Lemma 5. Let a, b ∈R, such that b is a non-unit coprime to r and a. Suppose that each of a and b is either real
or purely imaginary. Then, (a | b)r = 1. Lemma 5. Let a, b ∈R, such that b is a non-unit coprime to r and a. Suppose that each of a and b is either real
or purely imaginary. Then, (a | b)r = 1. Proof. First, note that for any prime ideal p not containing r, we have︂︂ Proof. First, note that for any prime ideal p not containing r, we have︂︂ Proof. First, note that for any prime ideal p not containing r, we have︂︂ (︂−1
p
)︂
r
≡(−1)
Np−1
r
(mod p), ︂︂
which is 1 if p lies above an odd prime number, and −1 if it lies above 2. But in the second case, −1 ≡1
(mod p), so either way, (−1 | p)r = 1. which is 1 if p lies above an odd prime number, and −1 if it lies above 2. But in the second case, −1 ≡1
(mod p), so either way, (−1 | p)r = 1. ow c ∈R \ p, and let (c | p)r = ζ sr . We have Let now c ∈R \ p, and let (c | p)r = ζ sr . We have Let now c ∈R \ p, and let (c | p)r = ζ sr . We have c
Np−1
r
= ζ s
r + k
with k ∈p,
c
Np−1
r
= ζ −s
r
+ k
with k ∈p, c
Np−1
r
= ζ s
r + k
with k ∈p,
c
Np−1
r
= ζ −s
r
+ k
with k ∈p, where · denotes complex conjugation, and we see that (c | p)r = (c | p)r. By multiplicativity, these two properties
apply also if we replace the lower argument p by any b ∈R coprime to r. where · denotes complex conjugation, and we see that (c | p)r = (c | p)r. By multiplicativity, these two properties
apply also if we replace the lower argument p by any b ∈R coprime to r. 286
|
I. Cascudo and R. Schnyder 286
|
I. Cascudo and R. Schnyder 2 The power residue symbol Let r be an odd prime. Let R = Z[ζr] be the r-th ring of cyclotomic integers, considered as a subring of C. Here,
ζr is a primitive r-th root of unity. If b is an ideal of R, we denote by Nb its norm. Definition 1 (See [8, Prop. 14.2.1]). Let p be a nonzero prime ideal of R such that r ∉ p, and let a ∈R \ p. Then,
there exists an integer s, unique modulo r, such that ζ s
r ≡a
Np−1
r
(mod p). We define the r-th power residue symbol as︂ (︂a
p
)︂
r
= (a | p)r = ζ s
r . 286 If a ∈p, we define (a | p)r = 0. It holds that a is an r-th power modulo p if and only if (a | p)r = 1. Clearly, the power residue symbol is
multiplicative in the first argument. That is, for a, b ∈R, we have (︂ab
p
)︂
r
=
(︂a
p
)︂
r
(︂b
p
)︂
r
. (︂ab
p
)︂
r
=
(︂a
p
)︂
r
(︂b
p
)︂
r
. If b is any proper ideal of R coprime to r, we extend the power residue symbol multiplicatively. That is, if b
factors into prime ideals as b = p1 · · · ps, then (︂a
b
)︂
r
=
s∏︁
i=1
(︂a
pi
)︂
r
. ︁
Finally, if b ∈R is any non-unit coprime to r, we simply define︂︂︂︂ ︁
Finally, if b ∈R is any non-unit coprime to r, we simply define︂︂︂︂ (︂a
b
)︂
r
=
(︂a
(b)
)︂
r
, where (b) is the ideal generated by b. ︂︂︂︂
where (b) is the ideal generated by b. where (b) is the ideal generated by b. Definition 2 (See [8, p. 206]). An element a ∈R is called primary if it is coprime to r, not a unit and congruent
to a rational integer modulo (1 −ζr)2. Definition 2 (See [8, p. 206]). An element a ∈R is called primary if it is coprime to r, not a unit and congruent
to a rational integer modulo (1 −ζr)2. If a ∈R is coprime to r and not a unit, then there is a unique k ∈{0, . . . , r −1} such that ζ kr a is primary. If a ∈R is coprime to r and not a unit, then there is a unique k ∈{0, . . . , r −1} such that ζ kr a is primary. Theorem 3 (Eisenstein Reciprocity, [8, Theorem 1, p. 207]). Let b ∈Z be coprime to r and not a unit. Let a ∈R
be primary and coprime to b. Then,
(︂
)︂
(︂b )︂ (︂a
b
)︂
r
=
(︂b
a
)︂
r
. (︂a
b
)︂
r
=
(︂b
a
)︂
r
. Theorem 4 (See [3, Theorem 4.9]). The group of units R* is the direct product of the group of roots of unity in R
and the group of positive real units (R ∩R>0)*. Theorem 4 (See [3, Theorem 4.9]). 3 The basic idea Since the residue symbol (a | p)r depends only on a modulo p, it is now possible to evaluate the function
f at a ∈A by instead evaluating (a | p)r. We will see in Section 4 how to do this efficiently. Remark 7. In the above, instead of getting a sharing of the result f(a) ∈{0, . . . , r −1} directly, we end up
with the root of unity ζ f(a)
r
∈F. If we decompose (a | p)r = a0 + a1ζr + · · · + ar−2ζ r−2
r
with ai ∈Fp, this almost
results in a one-hot encoding of f(a). The only difference is that r−1 is represented by ai = −1 for all i. A proper
one-hot encoding can be computed locally by setting br−1 = (1−a0 −· · ·−ar−2)/r and bi = ai + br−1 for i < r −1. If we prefer to share the result as a single value, we can then easily compute that as 0b0 +1b1 +· · ·+(r −1)br−1. If a ∈p, we define (a | p)r = 0. Hence, for a and b as in the statement of the lemma, we get or a and b as in the statement of the lemma, we get (︂a
b
)︂
r
=
(︂a
b
)︂
r
=
(︂±a
±b
)︂
r
=
(︂a
b
)︂
r
, (︂a
b
)︂
r
=
(︂a
b
)︂
r
=
(︂±a
±b
)︂
r
=
(︂a
b
)︂
r
, ︂︂︂︂︂︂︂︂
which therefore has to be 1. which therefore has to be 1. which therefore has to be 1. which therefore has to be 1. which therefore has to be 1. which therefore has to be 1. Secure multiparty computation via higher residue symbols
|
287 287 4 Secure computation of the residue symbol We will show how to compute the power residue symbol based on any arithmetic black-box protocol over the
field Fp, for example based on secret sharing. This is analogous to how the Legendre symbol is computed
in [12]. We note that only the upper argument of the residue symbol is secret, whereas the lower argument p is
public. In order to explain how we do this, we first need to detail the model in which we will work. 3 The basic idea The basic idea of our protocol is the following. Suppose we are given a function f : A →{0, . . . , r −1}, where
A is a subset of R. We hope to find a prime number p such that the function f corresponds to the r-th power
residue symbol with lower argument p on A. That is,︂︂ (︂a
p
)︂
r
= ζ f(a)
r
for each a ∈A. (1) (1) ︂︂
Then, we can securely compute f(a) by computing the residue symbol, which can hopefully be done more
efficiently.i We will see in Section 5 how we can find such a prime p. Note however, that condition (1) often contains
internal contradictions or other impossible requirements. It is then necessary to adapt A and f to resolve these. Remark 6. In practice, to avoid the aforementioned internal contradictions in our requirements, the actual
input values will first be encoded via some (ideally affine) function mapping to A. One can try many such
encodings until one is found that is not contradictory. We will give considerations on the existence of good
encodings in Section 5.3, and we will see an example in Section 6. Let us note some initial requirements on the prime p. First, we want that (p) is a prime ideal of R, which is
the case whenever p is different from r and does not split in R. We need this to be the case so that we can use
basic facts about (a | p)r, and so that F = R/(p) is a finite field of size pr−1. For reasons we will see later, we
also wish for the value (ζr | p)r to be ζr. It would be possible to fix it to another primitive root of unity, but that
would complicate our analysis. We will show in Section 5 how to achieve this.i In our protocol, we will be using the fields Fp and F = R/(p). Note that an element in F can be represented
by r −1 elements of Fp via the basis {1, ζr, . . . , ζ r−2
r
}. So given a linear secret sharing scheme over Fp, we can
consider a sharing of an element in F as a sharing of r −1 elements of Fp. See Section 4 for details. From encodings over Fp to encodings over F As mentioned before, an encoding (e.g. a sharing) [x]F of an element in F will simply be the encoding in Fp of
each of its coordinates xi ∈Fp with respect to the basis {1, ζr, . . . , ζ r−2
r
}, i.e. ([x0]Fp, [x1]Fp, . . . , [xr−2]Fp). Both
additions and products of F-encodings can be obtained by operating on the Fp-encodings of their coordinates. Specifically, additions of two F-encodings require r −1 additions of Fp-encodings (by just adding coordinate-
wise the vectors of Fp-encodings), so in the case of a linear secret sharing scheme it can be done locally by the
shareholders. Multiplying by a public constant in R can also be done locally, but it may involve up to O(r2)
additions and multiplications of Fp-encodings by Fp-constants (depending on the public constant). Finally,
products of two F-encodings require O(r2) products and O(r2) additions of Fp-encodings. Preprocessing A usual resource in secure multiparty computation protocols is preprocessing: the fact that parties can initiate
and typically carry out the heavy part of the secure computation protocol even before the (encoded) inputs
are provided. That is, we can split the computation in two phases: a preprocessing, or ofine phase, which
is the phase carried out before the inputs are given and where the parties compute encodings of random
correlated information; and an online phase, which uses the input and is typically much lighter. We will use
this approach in our protocols too. the protocol.¹ Security in this case means the adversary cannot infer more information about non-corrupted
parties’ inputs and outputs than what is already implied by the corrupted parties’ inputs and outputs. Our techniques work in fact on top of any secure computation protocol for arithmetic operations over Fp. This means that any given party can create an encoding [x]Fp of a value x ∈Fp known to that party, so that: the
adversary cannot obtain any knowledge about x from [x]Fp; there is a protocol that allows the set of all parties to
recover x ∈Fp from [x]Fp; and given sharings of elements x, y ∈Fp (where x, y may not be known by the same
party, in fact they may not be known by anybody) there are secure computation subprotocols that allow parties
to compute encodings for x + y, xy and ax for public a ∈Fp (denoted respectively [x + y]Fp = [x]Fp + [y]Fp,
[xy]Fp = [x]Fp[y]Fp, [ax]Fp = a[x]Fp). The customary example for this are secret-sharing based secure computation protocols, where the encoding
[·]Fp is given by a secret sharing scheme. This scheme is furthermore often linear, which allows computing
[x + y]Fp (resp. [ax]Fp) given [x]Fp, [y]Fp (resp. a and [x]Fp) by having each party operate locally on their shares,
i.e., it requires no interaction among parties.f There exist many secret-sharing based arithmetic protocols which are secure against different types of
adversaries, depending on which sets of parties the adversary can corrupt (the adversary structure) and
whether we assume a restriction on the computational capabilities of the adversary or not (where we speak
respectively of computational or information-theoretical security). For example, one can construct arithmetic
black-box protocols which are information-theoretically secure against adversaries that can corrupt any set of
t parties where t < n/2, and protocols which are computationally secure against adversaries corrupting any
set of n −1 parties. Our protocols will inherit the security properties from the arithmetic black-box protocol over Fp, with
respect to the adversary structure and adversary computational capabilities it tolerates. Secure computation model We consider the usual situation in secure multiparty computation: n parties P1, . . . , Pn want to jointly compute
the output of certain (public) function on private inputs which belong to some of the parties, by means of
some protocol in which the parties can communicate over point-to-point secure channels between each pair
of parties. We will consider a static, semi-honest adversary, that corrupts some subset of parties at the onset of the
protocol, and gets to see all communication received by these parties, but cannot make them deviate from 8
|
I. Cascudo and R. Schnyder 288 1 We note that many techniques are known to upgrade protocols which are secure against semi-honest adversaries to settings
where corrupted parties may deviate from the protocol (where the adversary is called malicious or active). Computing the residue symbol In the online phase, described in Algorithm 3, the parties then wish to compute the residue symbol of a secret
shared value [a]F. We assume that a is known to be nonzero, which can be guaranteed by using a suitable
encoding, as in Remark 6. Suppose we have a fresh random solved instance ([x]F, [︀x′]︀
F). The parties compute
and open ax, which is uniformly random in F* and hence does not reveal any information about a. They can
then compute the residue symbol (ax | p)r in the clear, and finally obtain︂︂︂︂︂︂ [︂(︂a
p
)︂
r
]︂
F
=
(︂ax
p
)︂
r
· [︀x′]︀−1
F . Inversions of roots of unity Our algorithms will also need to invert F-encodings of r-th roots of unity in R (seen as elements in F), that is
the elements ζ ir, i = 0, . . . , r −1. Note that (ζ ir)−1 = ζ r−i
r
. Moreover, in the basis {1, ζr, . . . , ζ r−2
r
}, ζ ir is given by 1 We note that many techniques are known to upgrade protocols which are secure against semi-honest adversaries to settings
where corrupted parties may deviate from the protocol (where the adversary is called malicious or active). Secure multiparty computation via higher residue symbols
| 289 the i-th unit vector (numbering from 0 to r −2) if i < r −1, and by the vector (−1, −1, . . . , −1) if i = r −1, since
ζ r−1
r
= −1 −ζr −· · · −ζ r−2
r the i-th unit vector (numbering from 0 to r −2) if i < r −1, and by the vector (−1, −1, . . . , −1) if i = r −1, since
ζ r−1
r
= −1 −ζr −· · · −ζ r−2
r
. ζr
ζr
ζr
Therefore, given [x]F = ([x0]Fp, [x1]Fp, [x2]Fp . . . , [xr−2]Fp) where x = ζ ir for some i, it is easy to see that
[x]−1
F :=
[︁
x−1]︁
F = ([x0 −x1]Fp, [−x1]Fp, [xr−2 −x1]Fp, . . . , [x2 −x1]Fp). iven [x]F = ([x0]Fp, [x1]Fp, [x2]Fp . . . , [xr−2]Fp) where x = ζ ir for some i, it is e
[x]−1
F :=
[︁
x−1]︁
F = ([x0 −x1]Fp, [−x1]Fp, [xr−2 −x1]Fp, . . . , [x2 −x1]Fp). [ ]F
[
]Fp [
]Fp [
]Fp
[
]Fp
ζ
[x]−1
F :=
[︁
x−1]︁
F = ([x0 −x1]Fp, [−x1]Fp, [xr−2 −x1]Fp, . . . , [x2 −x1]Fp). ︁︁
In particular, if the Fp-encoding is given by a linear secret sharing scheme, these inversions can be computed
locally. ︁︁
In particular, if the Fp-encoding is given by a linear secret sharing scheme, these inversions can be computed
locally. Computing random elements of F The parties can compute a uniformly random element of F in the usual way, described in Algorithm 1. Each party
Pi chooses and shares a uniformly random value [xi]F. These values are then summed up: [x]F = ∑︀n
i=0[xi]F. In
this way, the value x is uniformly random and secret. Arithmetic operations with random elements Given [x]F, [r]F, where r is uniformly random in the sense above, opening [x + r]F gives no additional informa-
tion about x apart from the a priori knowledge parties might have about x. If parties open [xr]F and find out
that xr ≠ 0, the only new information parties may learn about x is that x ≠ 0, but all other information about x
is protected. Computing a random solved instance In a preprocessing phase, the parties need to compute a random solved instance of the power residue symbol. That is, they want a pair of shared values ([x]F, [︀x′]︀
F), where x′ = (x | p)r and x is uniformly random in F*
and unknown to the parties. To do this, we proceed as in [12], and in Algorithm 2. The parties first select
two uniformly random shared values [a]F and [b]F and multiply them: [d]F = [a]F[b]F. They then compute
and open f = dr. If this is zero, they abort. Otherwise, they know that a and d are uniformly random and
independent elements of F*, since F is a finite field. The parties then compute an r-th root ^d of f in the clear. We see that d/^d is a uniformly random r-th root of unity. Hence, [x]F = [a]r
F[d]F
^d
,
[︀x′]︀
F =
[︂(︂x
p
)︂
r
]︂
F
= [d]F
^d ︀︀
constitute a uniformly random solved instance. Recall that we require (ζr | p)r = ζr, so that (d/^d | p)r = d/^d. ︀︀
constitute a uniformly random solved instance. Recall that we require (ζr | p)r = ζr, so that (d/^d | p)r = d/^d. inputs, the values [a]F and [b]F can be generated and [d]F = [a]F[b]F computed at the same time. Then, [d]r
F
and [a]r
F[d]F are computed, and [d]r
F opened, in the third round. This gives a total cost of 3 rounds, as well as
2r + 3 invocations of Algorithm 1 and 6r + 2 multiplications of elements in F. The online phase costs a single multiplication in F and one opening, which can be done in a single round. Recall that computing the inverse of a root of unity can be done locally. Recall that multiplication of elements in F is more expensive than multiplication in Fp, a naïve implemen-
tation taking O(r2) multiplications in the base field, which however can be done in parallel in a single round. Also, unbounded fan-in multiplication precludes the use of square-and-multiply methods for exponentiation. However, since the exponent r is typically very small, that is not necessary. Each party Pi selects and shares a uniformly random [xi]F ∈F
[x]F ←∑︀n
i=1[xi]F
return [x]F Algorithm 2 Ofine phase: Find a random solved instance ([x]F, [︀x′]︀
F) of the residue symbol, i.e. x′ = (x | p)r. Algorithm 2 Ofine phase: Find a random solved instance ([x]F, [︀x′]︀
F) of the residue symbol, i.e. x′ = (x | p)r. [a]F ←R F
[b]F ←R F
[d]F ←[a]F[b]F
f ←[d]r
F
if f = 0 then
abort
end if
^d ←
r√︀
f
[︀x′]︀
F ←[d]F/^d
[x]F ←[a]r
F
[︀x′]︀
F
return ([x]F, [︀x′]︀
F) [a]F ←R F
[b]F ←R F
[d]F ←[a]F[b]F
f ←[d]r
F
if f = 0 then
abort
end if
^d ←
r√︀
f
[︀x′]︀
F ←[d]F/^d
[x]F ←[a]r
F
[︀x′]︀
F
return ([x]F, [︀x′]︀
F) Algorithm 3 Online phase: Compute the residue symbol of [a]F, given a solved instance ([x]F, [︀x′] Computational and communication cost The ofine phase (Algorithm 2) can be optimized using the unbounded fan-in multiplication of [9], based
on [2], which takes 3 rounds, 2l invocations of Algorithm 1 and 3l −1 multiplications to secretly multiply l
values. Since the first two rounds of the unbounded fan-in multiplication protocol are independent of the I. Cascudo and R. Schnyder |
I. Cascudo and R. Schnyder 290 Furthermore, we wish to fix (ζr | p)r = ζr. Since︂ Furthermore, we wish to fix (ζr | p)r = ζr. Since Furthermore, we wish to fix (ζr | p)r = ζr. Since (︂ζr
p
)︂
r
= ζ
pr−1−1
r
r
, (︂ζr
p
)︂
r
= ζ
pr−1−1
r
r
, (︂ζr
p
)︂
r
= ζ
pr−1−1
r
r
, (︂ζr
p
)︂
r
= ζ
pr−1−1
r
r
, by definition, this is equivalent to having pr−1 ≡r + 1 (mod r2). This gives us the first equation for p: let
M0 = {q ∈Z/r2Z | q is a generator of F*r and qr−1 = r + 1}. M0 = {q ∈Z/r2Z | q is a generator of F*r and qr−1 = r + 1}. Then, we require that p ∈M0 (mod r2). ℓ Then, we require that p ∈M0 (mod r2). Then, we require that p ∈M0 (mod r ). We now wish to impose a condition of the form (a | p)r = ζ ℓr for some a ∈R \ {0} and ℓ∈Z. We need to
distinguish multiple cases. We now wish to impose a condition of the form (a | p)r = ζ ℓr for some a ∈R \ {0} and ℓ∈Z. We need to
distinguish multiple cases. Case 2: a is coprime to r and not a unit
k There is some k ∈Z such that ^a = ζ kr a is primary. So we want that p is coprime to a and ζ ℓ
r
!=
(︂a
p
)︂
r
=
(︂ζr
p
)︂−k
r
(︂^a
p
)︂
r
= ζ −k
r
(︂p
^a
)︂
r
= ζ −k
r
(︂p mod N(^a)
^a
)︂
r
, the last equation holds because the value of the residue symbol (p | ^a)r depends only on p modulo N(^a). This
gives us another modular equation for p: let Ma =
{︂
q ∈Z/N(^a)Z
⃒⃒⃒⃒
(︂q
^a
)︂
r
= ζ ℓ+k
r
}︂
. ︂
Then, we require that p ∈Ma (mod N(^a)). Then, we require that p ∈Ma (mod N(^a)). Then, we require that p ∈Ma (mod N(^a)). Case 1: a is a unit Case : a s a u
t
By Theorem 4, we can write a = ±ζ kr u, where k ∈Z and u is a positive real unit. Applying Lemma 5, we see that︂︂︂︂︂︂ By Theorem 4, we can write a = ±ζ kr u, where k ∈Z and u is a positive real unit. Applying Lemma 5, we see that (︂a
p
)︂
r
=
(︂±u
p
)︂
r
(︂ζ kr
p
)︂
r
= ζ k
r , which is independent of p. Requirements of this form are hence satisfied either for all primes under considera-
tion or for none. If it is never satisfied, the requirements need to be adjusted by choosing a new encoding as in
Remark 6. which is independent of p. Requirements of this form are hence satisfied either for all primes under considera-
tion or for none. If it is never satisfied, the requirements need to be adjusted by choosing a new encoding as in
Remark 6. 5 Finding the modulus We are looking for a suitable prime modulus p by checking the conditions (1) for many primes p. While it
is possible to do this by simply computing (a | p)r for all a ∈A, the computation of the residue symbol is
relatively expensive in practice. In the following, we instead translate the conditions into equations of the
form p ∈Ma (mod Na) for a ∈A, where Ma ⊆Z/NaZ and Na > 1, which are much faster to check. Recall from Section 3 that we want (p) to be a prime ideal of R. This is equivalent to p being a generator
of the multiplicative group F*r, by [8, Theorem 2, p. 196]. Hence, this condition depends only on p modulo r. Secure multiparty computation via higher residue symbols
|
291 Secure multiparty computation via higher residue symbols
|
291 Secure multiparty computation via higher residue symbols
|
291 Secure multiparty computation via higher residue symbols
|
291 292
|
I. Cascudo and R. Schnyder 292
|
I. Cascudo and R. Schnyder 5.1 Computing the conditions We describe the algorithm for computing a set of generators for the subgroup Ha in the following setting,
which is related to the hidden subgroup problem. We describe the algorithm for computing a set of generators for the subgroup Ha in the following setting,
which is related to the hidden subgroup problem. Finding a subgroup with known index Suppose we are given an abelian group of the form G = Z/k1Z × · · · × Z/knZ, where k1, . . . , kn ∈Z>1. Suppose
furthermore that we have access to the characteristic function χ: G →{0, 1} of a subgroup H ⊆G of index
dividing r, where r is a known prime number. That is, χ(x) = 1 if and only if x ∈H. The goal is to find a set of
generators of H, using only a small number of invocations of χ. First, we note that by pulling H back along the projection homomorphism π: Zn →G, we get a lattice
˜H containing k1Z × · · · × knZ. Let ˜χ = χ ∘π be the characteristic function of ˜H. We now find a basis for ˜H,
which maps to a set of generators of H. Every full rank lattice contained in Zn has a unique basis given by the
columns of a full rank n × n integer matrix B in Hermite normal form [6]. That is, B = (Bij) satisfies Bij = 0 for 1 ≤i < j ≤n,
Bii > 0 for 1 ≤i ≤n,
0 ≤Bij < Bii for 1 ≤j < i ≤n. Bij = 0 for 1 ≤i < j ≤n, Bij = 0 for 1 ≤i < j ≤n, Bii > 0 for 1 ≤i ≤n, 0 ≤Bij < Bii for 1 ≤j < i ≤n. 0 ≤Bij < Bii for 1 ≤j < i ≤n. Let B now be such a basis matrix for the lattice ˜H. The determinant of B is equal to the index of the
subgroup H in G, and hence divides the prime r by assumption. This means that B has at most one diagonal
entry equal to r, with all others being 1. For example, the matrix B might look like this: B =
⎛
⎜
⎜
⎜
⎝
1
0
0
0
0
1
0
0
a1
a2
r
0
0
0
0
1
⎞
⎟
⎟
⎟
⎠, with 0 ≤a1, a2 < r.i 1,
2
To find the basis h1, . . . , hn of ˜H, we now proceed as in Algorithm 4. Let e1, . . . , en be the standard basis
vectors of Zn. 5.1 Computing the conditions How do we find the elements of the set Ma? First, we note that Ma is contained in (Z/N(^a)Z)*. Since it
appears inevitable that our procedure takes at least polynomial time in N(^a), the brute force method of simply
computing (q | ^a)r for each q ∈(Z/N(^a)Z)* seems viable. However, computation of the residue symbol is
relatively expensive in practice, so we use a method that requires only few invocations of the residue symbol. Since the residue symbol is multiplicative, the set︂︂︂︂ Since the residue symbol is multiplicative, the set︂︂︂︂ Since the residue symbol is multiplicative, the set︂ Ha =
{︂
q ∈(Z/N(^a)Z)*
⃒⃒⃒⃒
(︂q
^a
)︂
r
= 1
}︂ ︂︂︂︂
is a subgroup of (Z/N(^a)Z)*. If Ha is the entirety of (Z/N(^a)Z)*, the condition p ∈Ma (mod N(^a)) is satisfied
for all values or no value of p. In the latter case, we need to start over with a new encoding of the inputs (see
Remark 6). ︂︂︂︂
is a subgroup of (Z/N(^a)Z)*. If Ha is the entirety of (Z/N(^a)Z)*, the condition p ∈Ma (mod N(^a)) is satisfied
for all values or no value of p. In the latter case, we need to start over with a new encoding of the inputs (see
Remark 6). If however Ha is a proper subgroup, it follows that it has index r, and that the set Ma is a coset of Ha. We
use the fact that the index is known to efficiently find a set of generators for Ha, after which the entirety of Ma
can easily be computed.ii For this, we first need to find a set of generators g1, . . . , gn of (Z/N(^a)Z)*, of orders k1, . . . , kn, which
induce an isomorphism his, we first need to find a set of generators g1, . . . , gn of (Z/N(^a)Z)*, of orders k1, . . . , kn, which
isomorphism Z/k1Z × · · · × Z/knZ
∼
−−→(Z/N(^a)Z)*. Z/k1Z × · · · × Z/knZ
∼
−−→(Z/N(^a)Z)*. Z/k1Z × · · · × Z/knZ
∼
−−→(Z/N(^a)Z)*. The Sage computer algebra system [11] contains a function that provides these generators, with the same
complexity as factoring N(^a). The Sage computer algebra system [11] contains a function that provides these generators, with the same
complexity as factoring N(^a). Case 3: a is not coprime to ri Let first µ = 1 −ζ 2r , which is a prime element of R. Note that (︂µ
p
)︂
r
=
(︂ζr
p
)︂
r
(︂ζ −1
r
−ζr
p
)︂
r
= ζr by Lemma 5, since ζ −1
r
−ζr is purely imaginary. The ideal (r) factors as (µ)r−1 in R, so we can write a = µm˜a for
some m > 0 and ˜a coprime to r. (m is the valuation of a at (µ).) We proceed as before with ˜a instead of a. If ˜a
is a unit, then as in Case 1, the requirement is either always satisfied or never. If ˜a is not a unit, let k ∈Z such
that ^a = ζ kr ˜a is primary. We end up with the set by Lemma 5, since ζ −1
r
−ζr is purely imaginary. The ideal (r) factors as (µ)r−1 in R, so we can write a = µm˜a for
some m > 0 and ˜a coprime to r. (m is the valuation of a at (µ).) We proceed as before with ˜a instead of a. If ˜a
is a unit, then as in Case 1, the requirement is either always satisfied or never. If ˜a is not a unit, let k ∈Z such
that ^a = ζ kr ˜a is primary. We end up with the set Ma =
{︂
q ∈Z/N(^a)Z
⃒⃒⃒⃒
(︂q
^a
)︂
r
= ζ ℓ+k−m
r
}︂
, and we require that p ∈Ma (mod N(^a)). Finding a subgroup with known index We let i decrease from n to 1, and so go through the columns of B from right to left. To find the basis h1, . . . , hn of ˜H, we now proceed as in Algorithm 4. Let e1, . . . , en be the standard basis
vectors of Zn. We let i decrease from n to 1, and so go through the columns of B from right to left. Secure multiparty computation via higher residue symbols
|
293 293 1. For as long as ˜χ(ei) = 1, we simply set hi = ei.i 2. If ˜χ(ei) = 0, we know that we have reached the column with r in the diagonal, so we set hi = rei and fix
J = i. 3. For each of the remaining values of i, we search for the unique a ∈{0, . . . , r−1} such that ˜χ(ei+aeJ) = 1,
and set hi = ei + aeJ. This way, we can compute the basis of ˜H using at most (n −1)r + 1 invocations of χ. Note that if the index
of H is 1, the algorithm simply returns the original basis e1, . . . , en. Algorithm 4 Computing a basis of a sublattice ˜H ⊆Zn of prime index r, given the characteristic fun
˜H Algorithm 4 Computing a basis of a sublattice H ⊆Zn of prime index r, given the characteristic function χ of
˜H. J ←0
for i from n to 1 do
if J = 0 then
if ˜χ(ei) = 1 then
hi ←ei
else
hi ←r · ei
J ←i
end if
else
for a from 0 to r −1 do
if ˜χ(ei + aeJ) = 1 then
hi ←ei + aeJ
end if
end for
end if
end for Remark 8. In the case relevant to this paper, χ is given by the residue symbol, which not only tells us whether
an element is in H, but in which coset of H it lies. In this case, the value a in step 3 above can be computed
with a single invocation of χ, which reduces the total number of invocations needed to just n. Remark 9. The algorithm can easily be generalized to the case where r is not prime, in which case there may
be multiple diagonal entries not equal to 1. It requires at most nr invocations of χ. 2 This assumption is reasonable if the N(^a) for a ∈A and r are pairwise coprime. If this is not the case, the dependence may be
helpful or harmful. 5.2 Complexity of finding the modulus Given the equations we determined above, what size can we expect for the smallest prime p that satisfies
them, assuming that they are indeed satisfiable? We have seen in Section 5.1 that Ma for a ∈A is a subset of
(Z/N(^a)Z)* of size at least φ(N(^a))/r, if it is not empty, where φ is the Euler phi function. Since in practice
p is a prime larger than any N(^a), its reduction modulo N(^a) will always lie in (Z/N(^a)Z)*. Let us assume
that the reductions of p in (Z/N(^a)Z)* for a ∈A and in (Z/r2Z)* are uniformly random and independent, for
random p.² Then we have p ∈Ma (mod N(^a)) with probability at least 1/r. Further, p ∈M0 is satisfied with 2 This assumption is reasonable if the N(^a) for a ∈A and r are pairwise coprime. If this is not the case, the dependence may be
helpful or harmful. |
I. Cascudo and R. Schnyder 294 probability φ(r −1)/φ(r2) > 1/r2. We can hence estimate the smallest prime satisfying the equations to have
size at most O(r|A|+2(|A| + 2) log r) by the prime number theorem.i To check if a given prime integer p satisfies the conditions (1), we could simply compute (a | p)r for
all a ∈A. A single such test can be done by raising a to the (N(p) −1)/r-th power in R/(p), which takes
O(log N(p)) = O(r log p) multiplications in R/(p), or O(r3 log p) multiplications in Fp, giving a time complexity
of ˜O(r3 log2 p) using Schönhage-Strassen multiplication. By the previous paragraph, we expect that we need
to test around ˜O(r|A|+2) primes, taking time around ˜O(r|A|+2 · |A| · r3 log2(r|A|+2)) = ˜O(r|A|+5|A|3). We also
need to test ˜O(r|A|+2|A|) integers for primality, which takes time ˜O(r|A|+2|A| log2 r|A|) = ˜O(r|A|+2|A|3) using
Miller-Rabin.i Instead, in the method described in the beginning of Section 5, we first list the sets Ma for all a ∈A. Using the idea described in Section 5.1, we expect the dominating cost to be the enumeration of Ma after the
generators have been found. If n is an upper bound on the norms of the elements of A, we can then estimate
the time and memory cost of the first step to be ˜O(n|A|). Then, checking a single condition from (1) consists
of a modular reduction of integers and a set membership test, taking time ˜O(log p). 5.2 Complexity of finding the modulus In this case the cost of
the Miller-Rabin primality test dominates, giving an estimated total time complexity for the second step of
˜O(r|A|+2|A|3). Alternatively, the Sieve of Eratosthenes can be used to reduce this to ˜O(r|A|+2|A|2) at the cost of
˜O(r|A|+2|A|) memory. Although the asymptotic estimates for the two methods are quite similar, our experiments indicate that
the second method is significantly faster when the norms of the elements of A are not too large. However, we
will see in Section 5.3 that the case of large norms is interesting as well. 5.3 Existence of a good encoding As mentioned in and before Remark 6, for a given choice of A and f : A →{0, . . . , r −1} it is often impossible
to satisfy (1) due to internal contradictions. So in order to compute a desired function f ′ : A′ →{0, . . . , r −1},
we need to find some values of A and f that do not lead to such contradictions, together with an encoding (an
affine map) E: A′ →A satisfying f ∘E = f ′.i For small choices of A′, it may be possible to find an encoding using trial and error, as we have done in
the example of Section 6. We do not know of a guaranteed way to find good encodings, but we give some
considerations on the matter.f One common cause of contradictions is that different elements of A can have prime factors in common
(or prime factors that are conjugates of each other under an automorphism of R). Trying to satisfy some of
the requirements in (1) can fix the residue symbol on the prime factors, which may end up fixing the residue
symbol of some other element of A to an undesirable value. To avoid this, we could try to find an encoding
such that no two distinct elements of A have prime factors that are conjugates of each other. Proposition 10. Let A′ ⊂R be a finite subset containing no two distinct elements that are conjugate to each
other under an automorphism of R.i Let s′ be the product of all nonzero elements of the form a −σ(b) for a, b ∈A′ and σ ∈Aut(R). De
as the product of all (integer) prime numbers dividing N(s′), and let q ∈Z be coprime to s. Then, no two distinct elements of A = {q + as | a ∈A′} have prime factors that are conjugate under an
automorphism of R. Proof. Let p be a prime element of R dividing s. Since p does not divide q, it cannot divide q + as for any
a ∈A′. Suppose now that we have a, b ∈A′, σ ∈Aut(R) and a prime element p ∤s such that p | q + as and
σ(p) | q + bs. Hence, p | (q + as) −σ−1(q + bs) = (a −σ−1(b))s. p | (q + as) −σ−1(q + bs) = (a −σ−1(b))s. 5.3 Existence of a good encoding Since p is prime and does not divide s, it must divide a −σ−1(b). However, if a −σ−1(b) is nonzero, its prime
factors are also factors of s by definition. Hence a = σ−1(b), and so a = b by the condition on A′. 295 Secure multiparty computation via higher residue symbols In this case, the norms N(a) for a ∈A are pairwise coprime. The norms N(^a) are furthermore coprime to r by
construction of ^a (see Section 5). Under the assumption that the equations q ∈Ma (mod N(^a)) and q ∈M0
(mod r2) are individually satisfiable, it then follows by the Chinese remainder theorem and Dirichlet’s prime
number theorem that a prime solution p exists that satisfies all at once.i However, it is not guaranteed that the individual equations are satisfiable. For example, the residue symbol
(^a | p)r for ^a a unit, or an r-th power, or real or purely imaginary is independent of p, so Ma may be empty. Since these types of elements are relatively uncommon, it may nonetheless be possible to avoid them with a
good choice of A. In fact, if A′ is chosen as a subset of Z, the construction in Proposition 10 will always result
in A ⊂Z. It is therefore necessary to choose an A′ that does not consist of integers, for example by finding a
suitable “pre-encoding” E′ : A′′ →A′. The downside of this approach is that it results in a ∈A of very large norm, which can make the sets
Ma unmanageably large. It may therefore be preferable to simply test the conditions (1) directly instead of
applying the method described in the beginning of Section 5.i When the norms N(^a), a ∈A, and r are pairwise coprime, there is another approach to finding a solution
p that does not require enumerating Ma: Let N = r2 ∏︀
a∈A N(^a), and pick a random element ba ∈Ma for each
a ∈A, as well as b0 ∈M0. It should be feasible to find these if they exist, since at least one in r elements
of (Z/N(^a)Z)* is in Ma. Then, use the Chinese remainder theorem to translate (ba)a∈A∪{0} to b ∈(Z/NZ)*,
and test if b is prime. If not, multiply b by a random r-th power in (Z/NZ)* congruent to 1 modulo r2 and test
again. This way, we expect to find a prime in around log(N) steps. 5.3 Existence of a good encoding Unfortunately, the resulting prime will be of
size O(N), which may be too large for practical purposes. 6 Toy example We conclude that (︂11 + xζr
p
)︂
r
= ζ x mod 3
r 6 Toy example We present an example, in which we compute reduction modulo 3 for integers x ∈{0, . . . , n} for some small
n. We pick r = 3. This example was constructed with the help of the Sage computer algebra system [11]. Setting A = {0, . . . , n} and f(x) = x mod 3 cannot work for this, since (x | p)r = 1 for all valid primes p
and x ∈Z with p ∤x, by Lemma 5. Instead, we encode the problem as follows. Let n = 18, and A = {11 + xζr | 0 ≤x ≤18}
f(11 + xζr) = x mod 3. This encoding was found by trial and error. Then, following our procedure from Section 5, we get This encoding was found by trial and error. Then, following our procedure from Section 5, we get M0 = {q ∈Z/9Z | q is a generator of F*
3 and q2 ≡4} = {2}. M0 = {q ∈Z/9Z | q is a generator of F*
3 and q2 ≡4} = {2}. For e.g. a = 11 + 5ζr, we have f(a) = ℓ= 2, so we want (a | p)r = ζ 2r . We have N(a) = 91, so a is coprime to
3. Furthermore, ^a = ζra = 6ζr −5 is primary, so k = 1. We hence get︂︂︂︂ Ma =
{︂
q ∈Z/91Z
⃒⃒⃒⃒
(︂q
^a
)︂
r
= ζ ℓ+k
r
= ζ 3
r = 1
}︂
= {1, 2, 4, 8, 16, 17, 23, 27, 32, 34, 37, 45, 46,
54, 57, 59, 64, 68, 74, 75, 83, 87, 89, 90}. Ma =
{︂
q ∈Z/91Z
⃒⃒⃒⃒
(︂q
^a
)︂
r
= ζ ℓ+k
r
= ζ 3
r = 1
}︂ Similarly, we find Ma for all other a ∈A.i Similarly, we find Ma for all other a ∈A. Finally, we use brute force to find a prime p which lies in M0 and in each Ma after the appropriate modular
reduction. The smallest one is i
Finally, we use brute force to find a prime p which lies in M0 and in each Ma after the appropriate modular
reduction. The smallest one is p = 26 403 527. p = 26 403 527. (︂11 + xζr
p
)︂
r
= ζ x mod 3
r p = 26 403 527. 7 Alternatives There are several alternatives for computing an arbitrary function f : A →{0, . . . , r −1} in a secret shared
manner using a constant number of rounds.³i There are several alternatives for computing an arbitrary function f : A →{0, . . . , r −1} in a secret shared
manner using a constant number of rounds.³i For example, one may use Lagrange interpolation to find a degree |A| −1 polynomial F ∈R[x] that agrees
with f on A. The polynomial can then be evaluated in three rounds using unbounded fan-in multiplication [2, 9],
the first two of which can be done in precomputation. This compares favourably to our protocol, which has
three ofine and one online round. Furthermore, polynomial interpolation works for any prime modulus larger
than max{|A|, r}, whereas our protocol requires a specific and much larger prime modulus. On the other hand,
our protocol has the advantage of requiring fewer multiplications, namely O(r) instead of O(|A|). One could also consider decomposing f into a sequence of two-valued functions f1, . . . , fk : A →{0, 1}
and computing each using the Legendre symbol. It would then be necessary to find k different (affine) encodings
Ei : A →Z, 1 ≤i ≤k, and a prime p such that fi(a) agrees with 2(Ei(a) | p) −1 simultaneously for all i. Such
encodings could be found using similar ideas to those presented in Section 5.3 and [12]. If we assume that the Ei
have disjoint images, and that the residue symbol on the elements of these images are uniformly random and
independent, this would give us a p of expected size O(2k|A|k|A|). If we use a one-hot encoding to represent
f(x) = 1f1(x) + · · · + (r −1)fr−1(x), we get k = r −1, which results in a much larger estimate for p than in our
method. One could instead choose k = ⌈log2 r⌉and encode f as a Boolean circuit in the fi. This would result in
a similar expected size for p as in our protocol, but may require extra rounds to evaluate the circuit, especially
if a one-hot encoding of the output is desired. Compared to our protocol, this method takes the same number of
ofine rounds, but either gives a larger expected p or requires extra online rounds. for 0 ≤x ≤18. One can show that it is not possible to extend the example above to a = 11 + 19ζr. 296
|
I. Cascudo and R. Schnyder 296 7 Alternatives In some cases, the estimate
for p can be improved by choosing Ei with overlapping images. For example, using a one-hot encoding for
the function f(x) = x mod 3 of our toy example, one may notice that f2(x) = f1(x −1) and so use two mostly
overlapping encodings. 3 Note that the alternatives we mention require sending messages of size at least linear in the size of the domain of the function
|A|, which we expect to be the case for our protocol too, given the estimate for p in Section 5.2. 8 Conclusion We have introduced a protocol for secure multiparty computation which allows the evaluation of certain
desired functions f : A →{0, . . . , r −1} on secret shared values, for a small subset A ⊂Z[ζr] of the r-th
cyclotomic ring, where r is a small prime. Our protocol is a generalization of a protocol by Yu [12], and makes
use of the residue symbol of Z[ζr], by getting it to agree with the desired function on A. It uses only a single
round in the online phase, and a constant number of ofine preprocessing rounds.i We can then use this idea to compute a function g over a more “natural” domain, like A′ ⊂Z, by first
encoding it as a function f : A →{0, . . . , r −1} in a suitable way. As we have shown in the example, there may
be different ways of doing this encoding, and the feasibility and performance of our technique may depend on
the chosen encoding.ii It is an open question to find concrete applications where our protocol has significant advantages over
alternative solutions, such as polynomial interpolation. It is also of interest to improve and formalize the
methods of encoding a desired function in such a way as to be compatible with the residue symbol, and so
that p remains reasonably small, which so far we have mostly done by trial and error. Acknowledgement: This work is supported by Aalborg University under the SECURE project. y
y
We wish to thank an anonymous reviewer for the alternative idea of encoding a function in terms of several
two-valued functions, see Section 7. Secure multiparty computation via higher residue symbols
|
297 297 Secure multiparty computation via higher residue symbols
|
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pp. 453–472, 2019. pp
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Heidelberg, pp. 285–304, 2006. [6]
C. Dwork, Lattices and Their Application to Cryptography, Lecture Notes, Stanford University, 1998. [7]
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STOC ’94, pp. 554–563, ACM, New York, 1994. pp
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in: Public Key Cryptography – PKC 2007 (T. Okamoto and X. Wang, eds.), pp. 343–360, Springer, Berlin, Heidelberg, 2007. [10] A. Shamir, How to Share a Secret, Commun. ACM 22 (1979), 612–613. [11] W. A. Stein et al., Sage Mathematics Software (Version 9.1), The Sage Development Team, 2020. [12] C.-H. Yu, Sign Modules in Secure Arithmetic Circuits., Cryptology ePrint Archive, Report 2011/539, 2011.
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https://openalex.org/W2112676095
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http://www.scielo.br/pdf/gmb/v34n1/2010-131.pdf
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English
| null |
A transcriptome analysis of mitten crab testes (Eriocheir sinensis)
|
Genetics and Molecular Biology
| 2,010
|
cc-by
| 3,742
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Abstract The identification of expressed genes involved in sexual precocity of the mitten crab (Eriocheir sinensis) is critical for
a better understanding of its reproductive development. To this end, we constructed a cDNA library from the rapid de-
velopmental stage of testis of E. sinensis and sequenced 3,388 randomly picked clones. After processing, 2,990
high-quality expressed sequence tags (ESTs) were clustered into 2,415 unigenes including 307 contigs and 2,108
singlets, which were then compared to the NCBI non-redundant (nr) protein and nucleotide (nt) database for annota-
tion with Blastx and Blastn, respectively. After further analysis, 922 unigenes were obtained with concrete annota-
tions and 30 unigenes were found to have functions possibly related to the process of reproduction in male crabs –
six transcripts relevant to spermatogenesis (especially Cyclin K and RecA homolog DMC1), two transcripts involved
in nuclear protein transformation, two heat-shock protein genes, eleven transcription factor genes (a series of
zinc-finger proteins), and nine cytoskeleton protein-related genes. Our results, besides providing valuable informa-
tion related to crustacean reproduction, can also serve as a base for future studies of reproductive and developmen-
tal biology. Key words: reproduction, testis, EST, Eriocheir sinensis. Received: April 16, 2010; Accepted: June 15, 2010. The mitten crab (Eriocheir sinensis) (Henri Milne
Edwards, 1854) is one of the most important aquaculture
species in China, its culture under facility conditions hav-
ing started in the early 1980’s (Li et al., 2007). The annual
output has increased during the past decade in China, from
200,000 tons in the year 2000 to 420,000 tons in 2004
(Chen et al., 2007). With the development of intensive cul-
ture, various problems have appeared in cultured popula-
tions, amongst others, sexual precocity. More and more
individual crabs mature when small-sized. After sexual
maturation, energy and nutrients are mainly diverted into
gonad maturation or reproduction, with little left over for
somatic growth, with the consequential devaluation of the
commercial product and economic losses. unknown. The initial steps towards an understanding of
molecular mechanism of gonad maturation in E. sinensis
should be the identification of the respective reproduc-
tion-related gonadal transcripts (Klinbunga et al., 2006;
Preechaphol et al., 2007). The animal testis is functionally
important, both in reproduction and the secretion of hor-
mones for growth and developmental regulation. The un-
derstanding of the molecular mechanism underlying testis
development in the mitten crab is crucial to control testis
maturation. Send correspondence to Qun Wang. School of Life Science, East
China Normal University, 3663, North Zhong Shan Road, 200062
Shanghai, China. E-mail: qun_300@hotmail.com.
*These authors contributed equally to this work. transcriptome analysis of mitten crab testes (Eriocheir sinensis) Wei Zhang1*, Haolei Wan2,3*, Hui Jiang1*, Yunlong Zhao1, Xiaowei Zhang2, Songnian Hu2 and Qun Wang1
1School of Life Science, East China Normal University, Shanghai, China. 2Key Laboratory of Genome Science and Information, Beijing Institute of Genomics,
Chinese Academy of Sciences, Beijing, China. 3Graduated University of the Chinese Academy of Sciences, Beijing, China. Genetics and Molecular Biology, 34, 1, 136-141 (2011)
Copyright © 2011, Sociedade Brasileira de Genética. Printed in Brazil
www.sbg.org.br Short Communication Zhang et al. Zhang et al. 137 were longer than 100 bp, with an average length of 598 bp. Of these (GenBank Accession no. GE339624-GE342613),
882 (29.5%) were clustered into 307 contigs, while 2,108
(70.5%) remained singlets (Table 1). Of the 2,415 unigenes
(307 contigs and 2,108 singlets), 922 were annotated by
comparison with the NCBI nr and nt database. The remain-
ing 1,493 were not definitively identified. Healthy male mitten crabs (100-120 g) in the early
stages of reproduction – the period of rapid testis develop-
ment – were obtained from a commercial crab farm near
Shanghai, China in August. The crabs were placed in an
ice-bath for 1-2 min until they were lightly anesthetized. Through dissection, all the testes were collected and imme-
diately frozen in liquid nitrogen and stored at 80 °C for fu-
ture use. g
y
By GO comparison of gene expression profiles of
mitten crab testis tissue, and based on three functional cate-
gories (Figure 1), 455 unigenes of the total 2,415 (38.8%)
were categorized. Within the category “Biological pro-
cess”, the subcategories “cellular metabolic process”, “pri-
mary metabolic process” and “macromolecule metabolic
process” contained the highest number of unigenes, fol-
lowed by several metabolisms related to testis cell-cycle. Our analyses indicated that mitten crab testis cells are rap-
idly growing and undergo active metabolism, consistent
with the energy requirements of spermatogenesis. The in-
depth analysis of GO results revealed that most cDNA li-
brary unigenes were distributed among those subcategories
encompassing growth and development and originating
from the functional categories of “Molecular function” and
“Biological process”; as well as the subcategories “bind-
ing”, “catalytic activity”, “biological regulation”, and “de-
velopmental process”, all of which representing cell-divi-
sion and cell-death. Total RNA was isolated with a Unizol Reagent
(Biostar, Shanghai, China) and mRNA purified by using
Oligotex mRNA Kits (Qiagen). First-strand and double-
strand cDNA were synthesized separately by way of Super-
script reverse transcriptase (Invitrogen) and DNA polymer-
ase I (Promega). First-strand synthesis was carried out
separately with oligo-dT (with XhoI-linker sequence) and
random primers (50 M) in equal amounts. In the case of
oligo-dT-primed cDNA, the second strand was synthesized
and linked to an EcoRI-linker. Products of second-strand
synthesis were separated on a 1% agarose gel, and cDNAs
longer than 500 bp were isolated and extracted. Size frac-
tions of cDNA were then ligated into a pBluescript SK+
vector (Stratagene) using T4 DNA ligase (Promega). Zhang et al. Plasmids were transformed into Escherichia coli (DH10B)
cells (Invitrogen), and grown overnight on solid LB me-
dium
containing
IPTG
(200
mg/mL)
and
X-Gal
(20 mg/mL). Colony selection was based on blue/white
(LacZ) staining. Finally, over 3,000 individual clones were
randomly picked from the library and sequenced from the
5’ end by using a T3 universal sequencing primer.The
dideoxy-dye-terminator method was used for capillary se-
quencing on a 3730 XL system (Applied Biosystems). According to KEGG results, 314 unigenes were as-
signed to specific pathways, with 35.2% functioning in ba-
sic-metabolism processes, such as specific carbohydrate,
energy, amino acid and nucleotide metabolisms. The re-
mainder was involved in genetic information processing
(36.3%), environmental information processing (8.9%),
and cellular processes (15.3%), respectively. Phred analysis (Ewing et al., 1998) was applied for
determining DNA bases. Low quality sequences were
omitted from further analysis. Cross-match was used to re-
move vectors and E. coli DNA sequences from insert
sequences, and all sequences shorter than 100 bp were re-
moved by way of scripts programmed in Perl language. High-quality ESTs were assembled into contigsusing Phrap
software. All the unigenes were compared against the
GenBank (NCBI) non-redundant protein (nr) and nucleo-
tide (nr/nt) databases through Blastx and Blastn, respec-
tively (E-value < 1.010-5). By analyzing all unigenes for
their functional characteristics using Gene Ontology (GO)
(Harris et al., 2004), we annotated the unigenes by search-
ing (Blastx) the updated Universal Protein Resource
(Uniprot) database. The sum of unigenes within the subcat-
egories of every major category may exceed 100% because
some transcripts were classified into more than one subcat-
egory in each of the three major categories. Furthermore,
all unigenes with particular annotations were matched to
the Kyoto Encyclopedia of Genes and Genomes (KEGG)
online, in order to forecast their functions and biochemical
pathways. In accordance with the purpose of the project, we
were particularly interested in discovering transcripts in the
reproduction process. According to our annotations, of all
the 2,415 unigenes, 30 were found to have significant func-
tions during the processes of spermatogenesis and sexual
maturity. Based on previously published reports, these uni-
genes, comprising 101 ESTs, are identified as being func-
tionally involved in these processes in crabs. According to Table 1 - Overview of EST analysis of the testis cDNA library from
Eriocheir sinensis. Abstract Consequently, it is essential to discover repro-
duction-related transcripts in a testis cDNA library of E. sinensis, in order to reveal the corresponding molecular
mechanisms of testis maturation and spermatogenesis. Expressed sequence tag (EST) analysis is a powerful
approach for discovering new transcripts and analyzing
gene expression profiles in specific tissues or cells (Gieser
and Swaroop, 1992; Tassanakajon et al., 2006; Gai et al.,
2009; Hou et al., 2010). Such an approach could be of aid in
understanding the biological functions of testis tissues at
the transcriptome level. The main objectives of the present
study were (1) to discover transcripts potentially related to
reproduction and development in E. sinensis by construct-
ing a testis cDNA library and through EST analysis, and (2)
to sequence the library in order to provide useful, pertinent
genomic information. Previous studies (Chen et al., 2003; Zhao and Lu,
2003; Li et al., 2005) have revealed two main external fac-
tors as leading to sexual precocity in crabs, the environment
and food Nevertheless, few scientific investigations have
been dedicated to elucidating the internal factors inducing
sexual precocity. Furthermore, the regulative mechanisms
of gonad maturation in E. sinensis at the molecular level are Zhang et al. Description
Number
Number of total sequences
3,388
Number of success sequences
2,990
Average length of success sequences (bp)
578
Number of Unigenes
2,415
Number of contigs
307
Number of singlets
2,108
Number of matched genes (%)
922 (38.2%)
Number of unmatched genes (%)
1493 (61.8%) Table 1 - Overview of EST analysis of the testis cDNA library from
Eriocheir sinensis. 3,388 clones were randomly picked from the library
and sequenced from the 5’end. 2,990 high-quality ESTs 138 Transcriptome analysis of crab testes Figure 1 - Functional annotation of unigenes based on known proteins in the Uniprot database. Gene Ontology (GO) terms at the 2nd level were plotted
here, and in this ontology, “Biological process”, “Cellular component”, and “Molecular function” are categorized independently. Figure 1 - Functional annotation of unigenes based on known proteins in the Uniprot database. Gene Ontology (GO) terms at the 2nd level were plotted
here, and in this ontology, “Biological process”, “Cellular component”, and “Molecular function” are categorized independently. their predicted functions, they were classified into five
broad groups (Table 2). eleven unigenes encoding zinc finger proteins were identi-
fied. The identification of Zfp37 genes suggests that ZF
genes are generally involved in the complex pathways from
round spermatids to spermatozoa in mitten crab. Further-
more, it is also the first time Zfp37 genes have been found to
participate in the processes of spermatogenesis and sex ma-
turity in crustaceans (Sepp and Choo, 2005; Cho et al.,
2008), although their specific function in sperm develop-
ment needs to be further examined. Several transcripts related to spermatogenesis were
identified in the library. There was a seminal plasma glyco-
protein 120 in the testis cDNA library, the first time such a
seminal plasma glycoprotein has been found in mitten
crabs. Seminal plasma is a very complex fluid rich in many
types of macromolecules involved in fertilization. Seminal
plasma glycoprotein 120 may play a key role in mitten crab
sperm capacitation. From the testis cDNA library, seven
ESTs were annotated as related to ubiquitin. Ubiquitin is a
small, highly-conserved regulatory protein, that is ubiqui-
tously expressed in eukaryotes, its most prominent function
being to label proteins for proteasomal degradation (Cook
and Petrucelli, 2009). There were three heat-shock protein
genes in the library from E. sinensis, including two heat-
shock protein 70 and one heat-shock cognate protein 70. Hsp-70 has the characteristic of regulating initial meiosis. Zhang et al. In mice the Hsc70 gene is activated at the round spermatid
stage, and regulated at both the transcriptional and trans-
lational levels during spermatogenesis (Matsumoto et al.,
1993). A total of nine transcripts were associated with
Cytoskeleton Protein, which belong to a cytoskeleton gene
family. These are reported to be involved in the spermato-
genesis process in mice (Alsheimer and Benavente, 1996). In the library, two unigenes encoding -actin and -tubulin
were identified. It has been reported that transcripts of the
-actin gene are more abundant in round spermatids than in
pachytene spermatocytes, whereas those of the -tubulin
gene are widely distributed in testis germ cells, where their
abundance influences the occurrence of spermatozoa ab-
normality (Hecht et al., 1984). In the testis cDNA library, The unigene annotated to the Histone H1 gene, com-
prising 39 ESTs, is one of the most abundantly expressed in
the testis. The representative characteristic of the spermato-
genesis process is the gradual replacement from histone in
somatocytes to testis-specific protein in spermatogonia
(Meistrich et al., 1985; Thomas et al., 1989). Therefore, the
observation of a highly expressed Histone H1 gene is
tgaken to mean that our crabs were in an early phase of sex-
ual maturity. Furthermore, four ESTs constructed one Ar-
ginine kinase unigene in the testis cDNA library. Arginine
kinase is a member of what appears to be a highly con-
served family of phosphotransferases that reversibly cata-
lyze the transfer of phosphate from phosphoarginine to
ADP (Wu et al., 2008). Cyclin K is one kind of cyclin
which participates in controlling the cell cycle by binding
to Ser/Thr cyclin-dependent kinases, thereby regulating
their activities (Yu et al., 2008). The coordination between
cell proliferation and differentiation is important in normal
development. These processes usually have an antagonistic
relationship, in that differentiation is blocked in prolifera-
tive cells, and terminally differentiated cells do not divide. In some instances, cyclins, cyclin-dependent kinases and
their inhibitors play important roles in this antagonistic reg- 139 Zhang et al. Table 2 - Reproduction-related genes in the testis cDNA library from Eriocheir sinensis. Table 2 - Reproduction-related genes in the testis cDNA library from Eriocheir sinensis. Zhang et al. Annotation
Matched species
Number of ESTs
E-value
Spermatogenesis related genes
Seminal plasma glycoprotein 120
Danio rerio
1
2.00E-07
Arginine kinase
Eriocheir sinensis
4
7.00E-77
Cyclin K
Apis mellifera
1
5.00E-45
Ubiquitin
Portunus pelagicus
7
2.00E-67
Vasa-like protein
Litopenaeus vannamei
1
7.00E-25
RecA homolog DMC1
Pacifastacus leniusculus
3
6.00E-89
Nuclear protein transformation related-genes
Histone H1
Mytilus galloprovincialis
39
6.00E-16
Histone H2A-IV
Trichomonas vaginalis
1
1.00E-17
Heat shock protein genes
Heat shock protein 70
Pachygrapsus marmoratus
2
3.00E-96
Heat-shock cognate protein 70
Bombyx mori
1
2.00E-74
Transcription factor related genes
Zinc finger protein
Strongylocentrotus purpuratus
1
1.00E-39
Zinc finger protein 160
Xenopus tropicalis
1
1.00E-21
Zinc finger protein 219
Macaca mulatta
1
1.00E-13
Zinc finger protein 33A
Macaca mulatta
1
4.00E-08
Zinc finger protein 33B
Macaca mulatta
1
3.00E-19
Zinc finger protein 36-like 3
Macaca mulatta
1
3.00E-21
Zinc finger protein 37a
Equus caballus
1
6.00E-42
Zinc finger protein 51
Rattus norvegicus
1
6.00E-13
Zinc finger protein 561
Macaca mulatta
1
1.00E-18
Zinc finger protein 658
Canis familiaris
1
1.00E-27
Zinc finger RNA binding protein
Apis mellifera
1
3.00E-36
Cytoskeleton protein genes
Actin D
Litopenaeus vannamei
3
1.00E-126
Beta actin
Pacifastacus leniusculus
3
3.00E-71
Cytoplasmic actin A3a1
Homalodisca coagulata
1
4.00E-71
Alpha tubulin a1
Mesenchytraeus solifugus
1
4.00E-75
Alpha-Tubulin at 84B
Xenopus laevis
1
3.00E-97
Tubulin beta-1 chain
Homarus americanus
3
0
Tubulin beta-2 chain
Homarus americanus
3
1E-146
Tubulin alpha-3 chain
Homarus americanus
14
1.00E-139
Beta tubulin
Phytophthora capsici
1
1.00E-21 homolog DMC1 gene, a specifically expressed gene in mei-
osis and involved in spermatogenesis, was also discovered
in the testis cDNA library. The protein encoded by this gene
is essential for meiotic homologous recombination, and
plays an important role in generating diverse genetic infor-
mation (Sato et al., 1995; Matsuda et al., 1996). A unique
RecA homolog DMC1 may be involved in mitten crab
spermatogenesis, by playing catalytic and structural roles
in interhomolog recombination during meiosis. In our pro-
ject, considerable efforts were made to annotate genes, es-
pecially those related to reproduction, thus effectively ulation (Chang et al., 2007; Karagiannis and Balasubra-
manian, 2007). A cyclin K transcript, possibly involved in
spermatogenesis, was identified in the library, as well as a
Vasa-like protein which encodes an RNA helicase protein
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Creative Commons Attribution License, which permits unrestricted use, distribution, and
reproduction in any medium, provided the original work is properly cited.
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Author Correction: The structure of the ubiquitin-like modifier FAT10 reveals an alternative targeting mechanism for proteasomal degradation
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Nature communications
| 2,018
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cc-by
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Author Correction: The structure of the ubiquitin-
like modifier FAT10 reveals an alternative targeting
mechanism for proteasomal degradation Annette Aichem1,2, Samira Anders3, Nicola Catone2, Philip Rößler3, Sophie Stotz3, Andrej Berg
4,
Ricarda Schwab1,2, Sophia Scheuermann1,2, Johanna Bialas1,2, Mira C. Schütz-Stoffregen3,5, Gunter Schmidtke1,2,
Christine Peter
4, Marcus Groettrup
1,2 & Silke Wiesner
3,5 Annette Aichem1,2, Samira Anders3, Nicola Catone2, Philip Rößler3, Sophie Stotz3, Andrej Berg
4,
Ricarda Schwab1,2, Sophia Scheuermann1,2, Johanna Bialas1,2, Mira C. Schütz-Stoffregen3,5, Gunter Schmidtke1,2,
Christine Peter
4, Marcus Groettrup
1,2 & Silke Wiesner
3,5 © The Author(s) 2018 1 Division of Immunology, Department of Biology, University of Konstanz, Konstanz D-78457, Germany. 2 Biotechnology Institute Thurgau at the University of
Konstanz, Kreuzlingen CH-8280, Switzerland. 3 Max Planck Institute for Developmental Biology, Tübingen D-72076, Germany. 4 Computational and
Theoretical Chemistry, Department of Chemistry, University of Konstanz, Konstanz D-78457, Germany. 5 Institute of Biophysics and Physical Biochemistry,
University of Regensburg, Regensburg D-93040, Germany. Correspondence and requests for materials should be addressed to
M.G. (email: Marcus.Groettrup@uni-konstanz.de) or to S.W. (email: silke.wiesner@ur.de) Correction to: Nature Communication https://doi.org/10.1038/s41467-018-05776-3; published online 20 August 2018 The original version of the Supplementary Information associated with this Article inadvertently omitted Supplementary Table 3. The HTML version of the Article has been updated to include a corrected version of the Supplementary Information. Author Correction: The structure of the ubiquitin-
like modifier FAT10 reveals an alternative targeting
mechanism for proteasomal degradation
DOI: 10.1038/s41467-018-07183-0
OPEN Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and
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you will need to obtain permission directly from the copyright holder. To view a copy of this license, visit http://creativecommons.org/licenses/by/4.0/. © The Author(s) 2018 1 Division of Immunology, Department of Biology, University of Konstanz, Konstanz D-78457, Germany. 2 Biotechnology Institute Thurgau at the University of
Konstanz, Kreuzlingen CH-8280, Switzerland. 3 Max Planck Institute for Developmental Biology, Tübingen D-72076, Germany. 4 Computational and
Theoretical Chemistry, Department of Chemistry, University of Konstanz, Konstanz D-78457, Germany. 5 Institute of Biophysics and Physical Biochemistry,
University of Regensburg, Regensburg D-93040, Germany. Correspondence and requests for materials should be addressed to
M.G. (email: Marcus.Groettrup@uni-konstanz.de) or to S.W. (email: silke.wiesner@ur.de) 1 NATURE COMMUNICATIONS | (2018) 9:4646 | DOI: 10.1038/s41467-018-07183-0 | www.nature.com/naturecommunications
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Genotyping, sequencing and analysis of 140,000 adults from the Mexico City Prospective Study
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bioRxiv preprint Genotyping, sequencing and analysis of 140,000 adults from the Mexico City Prospective
Study 2 Clinical Trial Service Unit & Epidemiological Studies Unit, Nuffield Department of Population Health, University
of Oxford, Oxford, UK of Oxford, Oxford, UK
3 MRC Population Health Research Unit, Nuffield Department of Population Health, University of Oxford, Oxford,
UK 3 MRC Population Health Research Unit, Nuffield Department of Population Health, University
UK 4 Experimental Research Unit from the Faculty of Medicine (UIME), National Autonomous University of Mexico
(UNAM) 5 Oxford Kidney Unit, Churchill Hospital, Oxford, UK 6 Instituto Nacional de Medicina Genómica, Tlalpan, Mexico City, Mexico
7 Centre for Genomics Research, Discovery Sciences, Research and Development Biopharmaceutica
Cambridge, UK 9 Department of Biostatistics, University of Michigan, Ann Arbor, USA. Correspondence Genotyping, sequencing and analysis of 140,000 adults from the Mexico City Prospective
Study Andrey Ziyatdinov1*, Jason Torres2,3*†, Jesús Alegre-Díaz4*, Joshua Backman1, Joelle
Mbatchou1, Michael Turner2,5, Sheila M. Gaynor1, Tyler Joseph1, Yuxin Zou1, Daren Liu1,
Rachel Wade2,3, Jeffrey Staples1, Razvan Panea1, Alex Popov1, Xiaodong Bai1, Suganthi
Balasubramanian1, Lukas Habegger1, Rouel Lanche1, Alex Lopez1, Evan Maxwell1, Marcus
Jones1, Humberto García-Ortiz6, Raul Ramirez-Reyes4, Rogelio Santacruz-Benítez4, Abhishek
Nag7, Katherine R. Smith7, Regeneron Genetics Center, Mark Reppell8, Sebastian Zöllner9, Eric
Jorgenson1, William Salerno1, Slavé Petrovski7, John Overton1, Jeffrey Reid1, Timothy
Thornton1, Goncalo Abecasis1, Jaime Berumen4, Lorena Orozco-Orozco6, Rory Collins2, Aris
Baras1‡, Michael R Hill2,3‡, Jonathan R Emberson2,3‡, Jonathan Marchini1†‡, Pablo Kuri-
Morales4‡, Roberto Tapia-Conyer4†‡ * equal first author
† corresponding author
‡ equal last author * equal first author
† corresponding author
‡ equal last author 1 Regeneron Genetics Center, Tarrytown, NY, USA. 2 Clinical Trial Service Unit & Epidemiological Studies Unit, Nuffield Department of Population Health, University
of Oxford, Oxford, UK
3 MRC Population Health Research Unit, Nuffield Department of Population Health, University of Oxford, Oxford,
UK
4 Experimental Research Unit from the Faculty of Medicine (UIME), National Autonomous University of Mexico
(UNAM)
5 Oxford Kidney Unit, Churchill Hospital, Oxford, UK
6 Instituto Nacional de Medicina Genómica, Tlalpan, Mexico City, Mexico
7 Centre for Genomics Research, Discovery Sciences, Research and Development Biopharmaceuticals, AstraZeneca,
Cambridge, UK
8 AbbVie Inc, North Chicago, Illinois
9 Department of Biostatistics, University of Michigan, Ann Arbor, USA. Correspondence
Roberto Tapia-Conyer tapiaconyer@gmail.com
Jason Torres jason.torres@ndph.ox.ac.uk
Jonathan Marchini jonathan.marchini@regeneron.com 1 Regeneron Genetics Center, Tarrytown, NY, USA. 1 Regeneron Genetics Center, Tarrytown, NY, USA. 2 Clinical Trial Service Unit & Epidemiological Studies Unit, Nuffield Department of Population Health, University
of Oxford, Oxford, UK
3 MRC Population Health Research Unit, Nuffield Department of Population Health, University of Oxford, Oxford,
UK
4 Experimental Research Unit from the Faculty of Medicine (UIME), National Autonomous University of Mexico
(UNAM)
5 Oxford Kidney Unit, Churchill Hospital, Oxford, UK
6 Instituto Nacional de Medicina Genómica, Tlalpan, Mexico City, Mexico
7 Centre for Genomics Research, Discovery Sciences, Research and Development Biopharmaceuticals, AstraZeneca,
Cambridge, UK
8 AbbVie Inc, North Chicago, Illinois
9 Department of Biostatistics, University of Michigan, Ann Arbor, USA. 1 Regeneron Genetics Center, Tarrytown, NY, USA. Correspondence Roberto Tapia-Conyer tapiaconyer@gmail.com
Jason Torres jason.torres@ndph.ox.ac.uk
Jonathan Marchini jonathan.marchini@regeneron.com . CC-BY 4.0 International license
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bioRxiv preprint Abstract The Mexico City Prospective Study (MCPS) is a prospective cohort of over 150,000 adults
recruited two decades ago from the urban districts of Coyoacán and Iztapalapa in Mexico City. We generated genotype and exome sequencing data for all individuals, and whole genome
sequencing for 10,000 selected individuals. We uncovered high levels of relatedness and
substantial heterogeneity in ancestry composition across individuals. Most sequenced individuals
had admixed Native American, European and African ancestry, with extensive admixture from
indigenous groups in Central, Southern and South Eastern Mexico. Native Mexican segments of
the genome had lower levels of coding variation, but an excess of homozygous loss of function
variants compared with segments of African and European origin. We estimated population
specific allele frequencies at 142 million genomic variants, with an effective sample size of 91,856
for Native Mexico at exome variants, all available via a public browser. Using whole genome
sequencing, we developed an imputation reference panel which outperforms existing panels at
common variants in individuals with high proportions of Central, South and South Eastern Native
Mexican ancestry. Our work illustrates the value of genetic studies in populations with diverse
ancestry and provides foundational imputation and allele frequency resources for future genetic
studies in Mexico and in the United States where the Hispanic/Latino population is predominantly
of Mexican descent. . CC-BY 4.0 International license
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bioRxiv preprint Introduction Latin American populations harbor extensive genetic diversity reflecting a complex history of
migration throughout the Americas, post-Colonial admixture between continents, and more recent
population growth1–3. The distinct patterns of genomic variation that exist in these populations
have led to key insights into the genetic architecture of rare and common diseases. Founder
populations are prevalent throughout Latin America and analyses of deleterious variants that
segregate at higher frequency in these groups have identified clinically-relevant novel variants 4–
9. Moreover, Latin American populations include a significant fraction of Native American
indigenous subpopulations that have mostly remained genetically uncharacterized. Admixture
between European, Native American and African ancestry groups can result in allele frequency
distributions that diverge substantially from ancestral populations. Variants that are rare in one
ancestry group but common in another may therefore segregate at a higher frequency in an
admixed population, leading to opportunities for novel discoveries in these populations that may
be missed when studying single ancestry groups10,11. For example, in one study of Mexican
mestizo adults a haplotype in the SLC16A11 locus that is common in Native Americans but rare
in Europeans was strongly associated with type 2 diabetes12. In addition to increasing opportunities
for variant discovery, genetic analysis of admixed populations can also result in improvements in
fine-mapping due to differences in patterns of linkage disequilibrium10,13–15. Unfortunately, despite the numerous opportunities afforded from studying Latin American
populations, Hispanic/Latino individuals from such populations comprise less than 1% of all
individuals in genetic population research (despite comprising nearly 10% of the global
population). By contrast, European populations comprise over 80% of participants in genomic . CC-BY 4.0 International license
available under a
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bioRxiv preprint databases but make up less than 20% of people worldwide. Introduction TOPMed imputed version of the cohort. The phased WGS dataset will soon be available as a
reference panel through the Michigan Imputation Server (URLs). Introduction Recent initiatives targeting specific
populations13,16 or involving large biobanks (such as the Million Veterans Program17,18 and
TOPMed (URLs)) have increased the number of Hispanic/Latino individuals included in genetic
research, but a sizable gap remains. Additional large genetic studies of Latin American populations
are therefore needed to help bridge this gap and enable the implementation of precision medicine
in these populations. Between 1998 and 2004, 159,755 participants aged at least 35 years from two contiguous urban
districts of Mexico City (Coyoacán and Iztapalapa) were recruited into the Mexico City
Prospective Study (MCPS)19. In this study we describe genome-wide array genotyping and whole
exome sequencing (WES) on the entire cohort, as well as high-coverage whole genome sequencing
(WGS) on a subset of 9,950 participants. We provide a comprehensive genetic profile of the MCPS
cohort that reveals complex patterns of relatedness, identity-by-descent (IBD) sharing and runs of
homozygosity. By incorporating genotypes from 716 indigenous individuals from 60 of the 68
recognized ethnic groups in Mexico, we apply a range of scalable techniques to finely characterize
population structure, continental admixture, and local ancestry in the MCPS cohort. We also provide a survey of variants according to annotation and frequency, with a particular
emphasis on genes that exhibit homozygous loss of function variation. Moreover, we estimate
ancestry specific allele frequencies from America, Africa and Europe at 142 million variants, a 10-
fold increase over existing resources, made available through a public browser (URLs). Lastly, we
use the phased WGS dataset as a reference panel to impute genotypes into the full cohort and
examine the quality of this imputed dataset compared with the exome sequencing dataset and a . CC-BY 4.0 International license
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bioRxiv preprint TOPMed imputed version of the cohort. The phased WGS dataset will soon be available as a
reference panel through the Michigan Imputation Server (URLs). Overview and comparison of genetic datasets addition, we observed more homozygous pLOF variants in MCPS compared with a sample size
matched version of the UK Biobank exome dataset (Supplementary Table 4). addition, we observed more homozygous pLOF variants in MCPS compared with a sample size
matched version of the UK Biobank exome dataset (Supplementary Table 4). A subset of 9,950 MCPS individuals were also whole genome sequenced, with mean depth of
38.5X. After filtering we identified 131.9 million variants in total, of which 1.5 million were
coding variants (Supplementary Table 5-6, Methods). 96.2% of the variants were rare variants
with MAF < 1%. There were 31.5 million unique WGS variants when compared to variants
discovered by the TOPMed 16 and gnomAD 21 WGS datasets (Supplementary Table 7). We compared the WGS and WES in the overlapping set of 9,950 individuals to examine the
amount of coding variation called. Both datasets utilized the same calling and annotation
framework but used dataset specific machine learning models and hard filters to QC variants. We found that the WGS dataset led to a 2.3% absolute increase in the amount of coding variation
when using the canonical gene transcript to annotate variants (Table 2), with 93.2%, 4.5% and
2.3% of the union set of sites being called in both datasets, WGS-only and WES-only
respectively (Supplementary Table 8). When variants were annotated by the most deleterious
consequence across all transcripts of a gene, then WGS had 4.6% more coding variants
(Supplementary Table 9), with 91.1%, 6.6% and 2.3% of the union set of sites being called in
both datasets, WGS-only and WES-only respectively (Supplementary Table 10). When
restricted to exome sequencing capture regions only, the differences between WGS and WES
were much smaller (Supplementary Tables 11-14). Supplementary Tables 15-18 compare
WGS and WES for variants with alternative allele frequency <1%. The variant sets unique to
WGS and WES have similar overlap to TOPMed and gnomAD site lists (Supplementary We compared the WGS and WES in the overlapping set of 9,950 individuals to examine the
amount of coding variation called. Both datasets utilized the same calling and annotation
framework but used dataset specific machine learning models and hard filters to QC variants. We found that the WGS dataset led to a 2.3% absolute increase in the amount of coding variation
when using the canonical gene transcript to annotate variants (Table 2), with 93.2%, 4.5% and
2.3% of the union set of sites being called in both datasets, WGS-only and WES-only (Supplementary Table 9), with 91.1%, 6.6% and 2.3% of the union set of sites being called in
both datasets, WGS-only and WES-only respectively (Supplementary Table 10). Overview and comparison of genetic datasets Of the 159,755 MCPS participants, a blood sample was successfully taken, processed and stored
for 155,453 (97.3%). Of these, DNA was successfully extracted for 146,068 (94.0%) and sent for
genotyping and exome sequencing. After initial QC procedures (see Methods) genotyping array
data was available for 138,511 participants and exome data was available for 141,046. (Supplementary Table 1 provides key baseline characteristics of the 141,046 participants with
exome data.) The exomes were sequenced with 98.7% of the samples having 90% of the targeted
bases covered at 20X or higher. After applying machine-learning methods to filter out low-
quality variants, we identified a total of 9.3 million variants including 4.0 million variants across
the coding regions of 19,110 genes. 98.7% of the coding variants were rare (minor allele
frequency (MAF) < 1%) (Table 1, Supplementary Table 2, Methods) and 1.4 million were
unique to MCPS when compared with variants discovered by the UK Biobank (UKB) Exome
sequencing study20, TOPMed 16 and gnomAD 21 (Supplementary Table 3). Among the coding
variants identified were 1,233,054 (median of 14,900 alleles per individual) synonymous,
2,526,776 (13,585 alleles per individual) missense and 233,650 (354 alleles per individual)
putative loss-of-function (pLOF) variants (Table 1). The proportion of singletons (30.9%) was
much lower than observed in other datasets (e.g., 46.8% in UK Biobank Exomes20) due to the
way in which households of participants in close neighborhoods were recruited. As expected, the
proportion of singletons increased to 36.5% when we restricted to individuals related less than 1st
degree, and further to 39.2% when we restricted to individuals related less than 3rd-degree. In . CC-BY 4.0 International license
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bioRxiv preprint addition, we observed more homozygous pLOF variants in MCPS compared with a sample size
matched version of the UK Biobank exome dataset (Supplementary Table 4). (Supplementary Table 23). A total of 138,511 MCPS individuals were genotyped on the Illumina GSA v2 beadchip and
passed quality control (Methods, Supplementary Table 24). Array genotypes were highly
concordant with WGS and WES genotypes in overlapping samples (mean biallelic SNP
discordance of 0.03% for both datasets) (Supplementary Table 23). addition, we observed more homozygous pLOF variants in MCPS compared with a sample size
matched version of the UK Biobank exome dataset (Supplementary Table 4). When
restricted to exome sequencing capture regions only, the differences between WGS and WES
were much smaller (Supplementary Tables 11-14). Supplementary Tables 15-18 compare
WGS and WES for variants with alternative allele frequency <1%. The variant sets unique to
WGS and WES have similar overlap to TOPMed and gnomAD site lists (Supplementary . CC-BY 4.0 International license
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bioRxiv preprint Tables 19-22). Concordance of genotype calls between WGS and WES datasets in 9,950
overlapping samples was very high with a mean biallelic SNP discordance of 0.0064%
(Supplementary Table 23). Relatedness The genetic data allowed us to investigate familial relatedness within the cohort which was
expected to be high due to the household recruitment strategy. Accounting for relatedness is
essential for validity of GWAS22 and epidemiological studies23 and can be leveraged in
heritability estimation to reduce bias of shared environmental effects24. We characterized
familial relatedness using the quality control filtered genotyping array dataset (Methods). We
used shared identical-by-descent (IBD) segments to infer relatedness to avoid estimation biases
in samples from admixed populations that can occur when using methods based on population
allele frequency estimates 25. We applied KING software26 to unphased data, and the hap-IBD27
and IBDkin28 methods to a phased array dataset (Methods). Both unphased and phased
approaches produced comparable results (Supplementary Figure 1). Figure 1a and Supplementary Figure 2 illustrate the extensive relatedness identified in MCPS. There are 31,597 parent-offspring, 29,482 full sibling, 47,080 second-degree relative, and
120,180 third-degree relative pairs. A small proportion (0.05%) of parent-offspring pairs had . CC-BY 4.0 International license
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bioRxiv preprint genotypes at a small number of loci that were inconsistent with this type of relationship, resulting
in elevated estimates of sharing 0 alleles IBD. We determined genotyping error to be the most
likely cause of this phenomenon as opposed to uniparental disomy. Close to 71% (97,953
individuals) in MCPS have at least one relative in the study that is third-degree or closer and
many of the MCPS participants have multiple close relatives (Figure 1b). The largest connected
component in a graph of individuals with third-degree relationships or closer involves 22% of the
cohort (30,682 individuals) (Supplementary Figure 3). These levels of relatedness are much
higher than those observed in the UK Biobank1, but are comparable to the Geisinger Health
Study29 (both MCPS and the Geisinger Health Study recruited participants from regions with
families living in close proximity) (Supplementary Table 25). Relatedness We used PRIMUS30 to
reconstruct 22,766 first-degree family networks containing a total of 65,777 individuals with a
median size of 2.9, up to a maximum size of 48 people, including 3,595 nuclear families genotypes at a small number of loci that were inconsistent with this type of relationship, resulting
in elevated estimates of sharing 0 alleles IBD. We determined genotyping error to be the most
likely cause of this phenomenon as opposed to uniparental disomy. Close to 71% (97,953
individuals) in MCPS have at least one relative in the study that is third-degree or closer and
many of the MCPS participants have multiple close relatives (Figure 1b). The largest connected
component in a graph of individuals with third-degree relationships or closer involves 22% of the
cohort (30,682 individuals) (Supplementary Figure 3). These levels of relatedness are much
higher than those observed in the UK Biobank1, but are comparable to the Geisinger Health
Study29 (both MCPS and the Geisinger Health Study recruited participants from regions with
families living in close proximity) (Supplementary Table 25). We used PRIMUS30 to
reconstruct 22,766 first-degree family networks containing a total of 65,777 individuals with a
median size of 2.9, up to a maximum size of 48 people, including 3,595 nuclear families (Supplementary Figure 4, Supplementary Table 26). A graph of 14,428 individuals with second-degree family networks of size greater than four highlights the complexity of the patterns
of relatedness, as well as partial clustering of relationships within districts of Coyoacán and
Iztapalapa (Supplementary Figure 5). The largest connected component in this graph contains
9,180 individuals. We also investigated relationships within and across the two districts (see Supplementary Table 27). With reconstruction of pedigree networks in MCPS, we were able to
investigate the proportion of relatives who cross boundaries and have residences in different
districts. Among the first-degree relatives, we find that only 3% of parent-child pairs and 7% of
full sibling pairs lived in different districts. The percentages of second- and third-degree relative
pairs with residences in different districts was 13% and 17%, respectively, which is much lower
than would be expected if there was random mixing of individuals from the contiguous districts. . CC-BY 4.0 International license
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bioRxiv preprint Interestingly, although there was a marked 10% to 15% decrease in the percentages of second- or
third-degree relative pairs who both had a residence in the Coyoacán district compared with first-
degree relationship types, the percentages of relative pairs who had a residence in the Iztapalapa
district remained fairly consistent across relationship types (Supplementary Table 27). These
results provide some insight into patterns of migration (or lack thereof) within families between
the Coyoacán and Iztapalapa districts. Interestingly, although there was a marked 10% to 15% decrease in the percentages of second- or
third-degree relative pairs who both had a residence in the Coyoacán district compared with first-
degree relationship types, the percentages of relative pairs who had a residence in the Iztapalapa
district remained fairly consistent across relationship types (Supplementary Table 27). These
results provide some insight into patterns of migration (or lack thereof) within families between
the Coyoacán and Iztapalapa districts. Population structure The genetic dataset allowed us to characterize the ancestry composition and heterogeneity of
MCPS individuals relative to pre-Columbian population structure in Mexico. Accounting for
genetic ancestry and admixture is crucial in GWAS31 and can be used to boost power32 and for
explorations of polygenic risk scores portability33. We used a variety of complementary analysis
approaches to investigate the fine-scale population structure in the MCPS dataset, with a specific
emphasis on elucidating the Native American component of genetic ancestry. Firstly, we applied
PCA to a reference dataset of 108 African (Yoruba) and 107 European (Iberian) samples from
the 1000 Genomes (1000G) dataset34, and 591 unrelated samples from 60 Native Mexican
groups corresponding to Central, Southern, South Eastern, Northern and North Western regions
of Mexico from the Metabolic Analysis of an Indigenous Sample (MAIS)2 (see Methods, Figure
2, Supplementary Figure 6). We included a representative set of unrelated MCPS samples
(n=500) in the PCA model fitting procedure and projected the remaining 138,011 MCPS samples
onto the inferred PC axes. Figure 2a shows that PC1 and PC2 separate Native Mexican, African
and European samples, and that MCPS samples lie on the axis between Native Mexican and
European samples. Figure 2b shows that PC3 differentiates Native Mexican geographic sub- . CC-BY 4.0 International license
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bioRxiv preprint groups and suggests that the majority of MCPS samples have ancestry from Central, Southern
and South Eastern Mexico. groups and suggests that the majority of MCPS samples have ancestry from Central, Southern
and South Eastern Mexico. groups and suggests that the majority of MCPS samples have ancestry from Central, Southern
and South Eastern Mexico. To provide more focus on the genetic variation within the MCPS dataset we also applied PCA to
a filtered array dataset of 58,051 unrelated MCPS samples, with all other MCPS samples and
1000G, HGDP and MAIS samples projected onto the inferred PC axes (Figure 2c,d, Supplementary Figure 7). This analysis further highlighted that Mesoamerican ancestry from
indigenous groups in Central, Southern and South Eastern Mexico predominates, whereas
ancestry from indigenous groups in the Northern and more arid regions of the country is sparsely
represented in MCPS. Examination of the SNP loadings from this PCA analysis highlighted that many PCs exhibited
local effects attributable to long-range LD consistent with recent admixture. More stringent LD
filtering reduces this phenomenon and suggests that analysis of large scale admixed datasets
requires careful selection of PCs used in GWAS (Supplementary Figures 8-10). Parametric
admixture estimation also corroborated significant ancestry proportions from Mesoamerican
ancestry groups among MCPS participants (Supplementary Figure 11, Methods). While PCA aims to uncover population structure in a dataset using a set of mostly unlinked
markers, haplotype-based approaches that can utilize linkage disequilibrium (LD) between SNPs
have been shown to uncover much finer scale population structure 35,36. We applied two different
methods to measure the similarity between pairs of individuals using phased array haplotypes
from a set of unrelated MCPS individuals. The first approach used identical-by-descent (IBD) . CC-BY 4.0 International license
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bioRxiv preprint segments27, and the second approach measured the extent of haplotype sharing using a scalable
implementation of a haplotype-copying hidden Markov model37 (Methods). Both of these
approaches produced low-dimensional representations with noticeably more ‘star-like’ structure
than PCA (Supplementary Figures 12-13). In combination with ancestry proportions from the
local ancestry inference (see next section), this highlighted the ability of these approaches to
delineate the contributions of Mesoamerican and European ancestry more clearly. Local ancestry estimation We carried out a supervised population structure analysis by applying local ancestry inference
(LAI) with RFMix38 using a reference panel of haplotypes from Africa, Europe and America
(Methods). Supplementary Figure 14 shows local ancestry at segments genome-wide for 12
representative MCPS individuals estimated from the LAI results and Figure 3 shows population
distributions of LAI-based ancestry proportion estimates, including five indigenous sub-groups
within Mexico. Overall, we estimate that 66.0% of autosomal ancestry was attributable to Native
Mexican groups with the majority coming from Central Mexico (35.6%). Southern Mexico and
South Eastern Mexico accounted for 15.9% and 11.8% respectively, with much smaller amounts
of ancestry attributable to Northern Mexico (1.6%) and North Western Mexico (1.1%). In
addition, 2.9% and 31.1% of ancestry was attributable to African and European groups
respectively. We observed that MCPS individuals with the most Native Mexican ancestry seem
to have a greater relative contribution from indigenous groups from Southern Mexico (i.e. from
the states of Oaxaca and Veracruz) (Supplementary Figure 15). We also find lower amounts of
Native Mexican ancestry and higher amounts of European ancestry in Coyoacán than in . CC-BY 4.0 International license
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bioRxiv preprint Iztapalapa, consistent with socio-demographic characteristics of these districts (Supplementary Using 3,595 parent couples inferred from the genetic relatedness analysis we observed
significant correlation in ancestry between partner pairs (Supplementary Figure 16) as has been
observed in other admixed studies39–41. We used a linear model to predict ancestry of each
partner using the ancestry of their spouse, education level (4 categories) and district (Coyoacán
and Iztapalapa) of both partners. We found that education and district explained between 0.5-5%
of the variation in ancestry, whereas spousal ancestry explained between 15-26% of the variation
in ancestry. This suggests that genomic ancestry is a much better predictor of partners’ ancestry
than these sociodemographic factors. Supplementary Figure 17 shows the proportion of ancestry across each chromosome from a 3-
way LAI analysis (Methods). This highlighted an excess of African ancestry in and around the
MHC on chromosome 6 (African 17.3%, P-value = 2.9e-14; Supplementary Figure 18) Supplementary Figure 17 shows the proportion of ancestry across each chromosome from a 3-
way LAI analysis (Methods). This highlighted an excess of African ancestry in and around the
MHC on chromosome 6 (African 17.3%, P-value = 2.9e-14; Supplementary Figure 18)
consistent with previous observations42. We also observed ancestry proportions on chromosome
X that exhibited elevated levels of Native Mexican ancestry compared to autosomes (African
3.2%, Native Mexican 73.8%, European 22.7%), consistent with an imbalance of male and
female contributions to admixture. Using a simplified population mixture event model43,44 that
best fits the observed chromosome X ancestry proportions we estimate that the proportion of
Native Mexican ancestry explained by female contribution was 71.3%, while for Europeans the
female contribution accounted for 7.5%. (Supplementary Table 28). . CC-BY 4.0 International license
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bioRxiv preprint Homozygosity We
observed that 68.4% of ROH segments are homozygous for a single ancestry across their whole
length. These results are consistent with previous reports that Native American populations tend
to have higher levels of homozygosity than European and African populations 45. The mean number of rare homozygous pLOFs (rhLOF), and the proportion of rhLOFs in ROH
was correlated with the proportion of the genome in ROH segments (Supplementary Figure
21). Overall, for LOF variants with allele frequency <0.1% we identified 3,763 rhLOF genotypes
at 2,646 variants in 2,169 different protein-coding genes in 3,519 individuals, and 52.2% of these
were found within ROH segments (recall that, overall, <0.5% of these genomes lies in ROH
segments). Given the rate of rhLOF variants in MCPS (Supplementary Table 4), we
investigated the local ancestry assignment for each observed rhLOF within ROH and observed
that segments of Native Mexican ancestry account for 62.6% of rhLOFs (Supplementary Table
30). Homozygosity The relatedness analysis highlighted a subset of parent-offspring pairs with elevated levels of
sharing two alleles IBD (Figure 1a), which can be caused by extensive homozygosity within a
population. The exome variant survey highlighted an increased amount of homozygous pLoF
variants compared to the UK Biobank exome dataset (Supplementary Table 4). Homozygosity,
particularly at pLoF variants, can be especially useful in understanding gene function, drug
discovery, and for call back studies45. Population bottlenecks and consanguinity can increase
homozygosity, whereas admixture can decrease homozygosity within a population. We estimated
levels of homozygosity in each MCPS individual by estimating runs of homozygosity (ROH)
from the phased array dataset using hap-IBD27 (Methods). There were 60,722 MCPS
participants (43.9%) who had at least one ROH segment of length 4 centimorgans (cM) or
longer. The mean homozygosity across the whole dataset was 0.34%, and 0.78% among the
60,722 individuals with at least one ROH segment greater than or equal to 4 cM (Supplementary Tables 29, Supplementary Figure 19). As a comparison, we ran the same
analysis on the UK Biobank phased array genotypes and found the mean homozygosity was
0.07%, and 0.59% in the 55,206 (11.3%) of the participants with at least one ROH segment. We observed that the total amount and number of ROH segments was positively correlated with
the proportion of ancestry that is native to Mexico (Supplementary Figure 20). Combining
ROH segments with local ancestry estimates (Methods) we found that 79.0% of ROH segments
can be assigned to Native Mexican ancestry, clearly exceeding the 66.3% average amount of
Native Mexican ancestry in the sample. Similarly, we observed a depleted proportion of ROH in
European and African segments (19.10% and 1.9% respectively) compared to the average . CC-BY 4.0 International license
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bioRxiv preprint amount of European and African ancestry in the sample (30.2% and 3.5% respectively). An MCPS imputation reference panel We created a phased haplotype reference panel (MCPS10k) for the purposes of genotype
imputation that is being made available via the Michigan Imputation Server (see URLs). The
phasing process utilized phase information from sequencing reads and pedigrees, and WGS
variants were phased onto an array haplotype scaffold to facilitate ancestry specific allele
frequency estimation (Methods). Using the WGS trios we estimate that haplotypes were phased
with a switch error rate of 0.0024 (Methods, Supplementary Figure 22) and we observed that
switch error rate depended upon ancestry proportion (Supplementary Figure 23). . CC-BY 4.0 International license
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bioRxiv preprint We assessed the utility of the MCPS10k reference panel for genotype imputation by imputing
chromosome 2 using the phased array dataset of 67,079 MCPS individuals not included in the
reference panel and pruned for relationships up to the first degree. For comparison, we also
imputed the MCPS dataset using the diverse TOPMed reference panel that includes 47,159
European, 24,267 African, and 17,085 admixed American genomes (Methods). MCPS10k and TOPMed imputation produced, respectively, a set of 9,801,290 and 9,437,266
autosomal variants with imputation info score >0.3. However, the information scores (a well
calibrated measure of accuracy) for an overlapping set of 6,473,872 variants were generally
higher using MCPS10k than TOPMed for MAF bins greater than 0.01% (Supplementary
Figure 24). We compared the MCPS10k and TOPMed imputed genotypes to the exome sequencing data
at 128,745 sites on chromosome 2. Figure 4 shows the results of the imputation accuracy
stratified by allele frequency, reference panel and degree of Native Mexican ancestry (defined as
two groupings with individuals split above and below the median proportion of Native Mexican
ancestry). The results show that MCPS10k outperformed TOPMed for MAF > 0.1%, but below
that threshold the TOPMed panel had better performance. An MCPS imputation reference panel Furthermore, we find that the
MCPS10k panel provided the greatest imputation benefits for those samples with the highest
proportions of Native Mexican ancestry. Finally, we assessed the imputation performance in 1000 Genomes individuals with Mexican
ancestry from Los Angeles (MXL) and found that TOPMed provided improved imputation . CC-BY 4.0 International license
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bioRxiv preprint performance compared to MCPS10k (Supplementary Figure 25-26). Our ADMIXTURE
analysis of the MXL samples suggests that they have substantially higher European ancestry than
MCPS samples (median 44% versus 28%). In addition, the MXL samples have less ancestry
from Central, South and South East Mexico, and more from North and North West Mexico than
MCPS (Supplementary Figure 27). Previous studies46 have suggested that Mexican-Americans
from California tend to have increased Native American ancestry from Northwest Mexico as
compared to individuals from Mexico City. The limited ancestry from North and North Western
Mexico in MCPS and the large number of European reference samples in TOPMed likely
explains why the MCPS10k panel does not provide the best imputation accuracy in the MXL
samples. Similarly, the TOPMed panel provided the best performance in 1000 Genomes
individuals with Peruvian ancestry from Lima (PEL), Colombian ancestry from Medellin (CLM)
and Puerto Rican ancestry from Puerto Rico (PUR) compared to MCPS10k (Supplementary
Figure 25-26). These results emphasize the value of closely matching the ancestry of imputation
reference panels to the samples being studied. While our panel provides improved imputation for
individuals of Mesoamerican Mexican ancestry, additional panels may be required to provide
similar benefits for other Latin American populations with admixture from different Native
American ancestral populations. Ancestry specific allele frequency estimation We combined the LAI results with the phased WES and WGS datasets to estimate Native
Mexican, African and European allele frequencies at 141,802,412 genetic variants, increasing by
10-fold the number of LAI-resolved frequencies currently available in the gnomAD browser (see
schematic in Supplementary Figure 28). These frequencies are available in a public browser . CC-BY 4.0 International license
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bioRxiv preprint (see URLs). Median sample sizes for estimation of Native Mexican, African and European
ancestry were 91,856, 4,312 and 42,009 respectively for WES variants, and 6,549, 341 and 3,058
for WGS variants. For comparison, gnomAD v3.1 median sample sizes are 7,639, 20,719 and
34,014 for Latino/Admixed American, African and Non-Finnish European ancestries. Figure 5
compares WES allele frequency estimates using our deconvolution approach in MCPS to the
more direct approach used in gnomAD v3.1. European allele frequencies showed excellent
agreement (r2 = 0.994) and African allele frequencies only showed slightly less agreement (r2 =
0.987), despite greater heterogeneity in African ancestry populations and the lower median
African sample size in the MCPS cohort. Supplementary Figure 29 compares MCPS WGS and
gnomAD allele frequencies. Table 3 shows the allele frequencies at 46 loci previously reported to show trait associations in
contemporary Mexican or other Latin American populations. For example, we found that the top
SNP associated with type 2 diabetes at the SLC16A11 locus12 - rs75493593 - has an overall
frequency of 36% but population-specific allele frequencies of 0.1%, 0.7% and 53% in African,
European and Native Mexican populations, respectively. This is in agreement with previous
estimates reported by the SIGMA Type 2 Diabetes Consortium. Ancestry specific allele frequency estimation Another notable example occurs
at the IGF2 locus where the pLOF splice acceptor variant rs149483638 that confers protection
against type 2 diabetes47 and has an overall frequency of 23% but population-specific allele
frequencies of 0.06%, 0.05% and 35% in African, European and Native Mexican populations,
respectively. Moreover, the rare MC4R missense variant rs79783591 associated with obesity48 is
absent from the gnomAD browser but has an overall frequency of 1.1% in MCPS with an . CC-BY 4.0 International license
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bioRxiv preprint inferred Native Mexican frequency of 1.6%, and African and European frequencies less than
0.05%. inferred Native Mexican frequency of 1.6%, and African and European frequencies less than
0.05%. We used the 3-way LAI segments to further decompose the annotated variants into three
continental groups and found that across all variant classes the highest levels of variation were
found in African segments and lower levels in Native Mexican and European segments, We used the 3-way LAI segments to further decompose the annotated variants into three
continental groups and found that across all variant classes the highest levels of variation were
found in African segments and lower levels in Native Mexican and European segments,
consistent with the demographic history of these populations (Supplementary Table 31). For
example, we estimate that the mean number of pLOF variants in Native Mexican, European and
African genomes to be 347, 361 and 427 respectively, although rare homozygous pLOF were
more frequent among longer ROHs of Native American ancestry as shown above. Discussion The MCPS genetic data resources described in this study represent the largest in Mexico to date,
the most extensive sequencing study in individuals of non-European ancestry, and a major
contribution towards the goal of increasing the diversity of genetic collections. Through scalable
genotype and haplotype-based approaches to characterize fine-scale population structure and
admixture, we traced the Native American component of ancestry within MCPS individuals to
predominantly Mesoamerican indigenous groups from Central, Southern and South Eastern
Mexico. Many indigenous groups within Southern Mexico belong to the Oto-mangue linguistic
family (e.g. Mixteco, Zapoteco, Ixcateco) whereas most indigenous groups from South Eastern
Mexico belong to the Maya linguistic family (Maya, Chuj, Ixil, Awakateco). Genetic analyses of
indigenous groups in Mexico have previously shown that indigenous groups in these regions . CC-BY 4.0 International license
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bioRxiv preprint share extensive genetic similarly that closely aligns with linguistic family membership2. On the
other hand, indigenous groups in the Central region of Mexico (e.g. Otomi, Nahuatl) show
pronounced genetic similarity (i.e. low measures of pairwise Fst) despite spanning distinct
linguistic families (e.g. Oto-mangue, Yuto-nahua, Totonaco-tepehua). Our analyses revealed that
Mesoamerican ancestry from these three regions was prevalent within the MCPS cohort, with
particularly elevated relative proportions of South Eastern ancestry among individuals with the
most Native American admixture in-keeping with the more restrictive mating patterns seen in
South Eastern Mexican peoples previously 49. In contrast, ancestry from Aridoamerican
indigenous groups in the Northernmost regions of the country and from Mesoamerican groups in
the Northwest state of Nayarit (Cora, Tepehuano, Mexicanero, and Huichol) was
underrepresented in MCPS. Moreover, as seen in previous studies in Mexico 2,46, we found
evidence of sex imbalance on the X chromosome. Discussion The higher proportion of Mesoamerican
ancestry on chromosome X is consistent with sex-biased gene flow resulting from
predominantly-male European colonization of the Americas50 and may have implications for
health disparities between men and women in light of the longer runs of homozygosity, and more
rare pLOF variants, that tracked with Mesoamerican ancestry. Such health disparities may also
be compounded by the assortative mating observed in MCPS, which has been well-documented
elsewhere51,52. Furthermore, IBD-based analyses revealed extensive and complex patterns of
relatedness between participants within Coyoacán and Iztapalapa, largely reflecting the
household-based recruitment strategy of the study. Together our analyses have uncovered an
exceptionally complex and unique combination of admixture and relatedness within MCPS. share extensive genetic similarly that closely aligns with linguistic family membership2. On the
other hand, indigenous groups in the Central region of Mexico (e.g. Otomi, Nahuatl) show
pronounced genetic similarity (i.e. low measures of pairwise Fst) despite spanning distinct
linguistic families (e.g. Oto-mangue, Yuto-nahua, Totonaco-tepehua). Our analyses revealed that
Mesoamerican ancestry from these three regions was prevalent within the MCPS cohort, with
particularly elevated relative proportions of South Eastern ancestry among individuals with the
most Native American admixture in-keeping with the more restrictive mating patterns seen in
South Eastern Mexican peoples previously 49. In contrast, ancestry from Aridoamerican indigenous groups in the Northernmost regions of the country and from Mesoamerican groups in
the Northwest state of Nayarit (Cora, Tepehuano, Mexicanero, and Huichol) was
underrepresented in MCPS. Moreover, as seen in previous studies in Mexico 2,46, we found
evidence of sex imbalance on the X chromosome. The higher proportion of Mesoamerican
ancestry on chromosome X is consistent with sex-biased gene flow resulting from
predominantly-male European colonization of the Americas50 and may have implications for
health disparities between men and women in light of the longer runs of homozygosity, and more
rare pLOF variants, that tracked with Mesoamerican ancestry. Such health disparities may also
be compounded by the assortative mating observed in MCPS, which has been well-documented
elsewhere51,52. Furthermore, IBD-based analyses revealed extensive and complex patterns of
relatedness between participants within Coyoacán and Iztapalapa, largely reflecting the
household-based recruitment strategy of the study. Together our analyses have uncovered an
exceptionally complex and unique combination of admixture and relatedness within MCPS. . Discussion CC-BY 4.0 International license
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bioRxiv preprint We developed a novel approach for estimating population-specific allele frequencies that
leverages local ancestry information and interpolated ancestry at called variants in the MCPS
WES and WGS datasets. This dramatically increased (by10-fold) both the number of variants
with ancestry-specific allele frequencies and the Native Mexican effective sample size used for
estimating allele frequencies from WES data. Without a suitable reference dataset of population
specific allele frequencies, efforts to diagnose and interpret genomic variants in the context of
rare disorders are greatly encumbered as it is difficult to distinguish previously unreported or
undersampled population specific variants from potentially pathogenic variants. Our study
expands the availability of such allelic information, which is made accessible to the genomics
research community via the MCPS Variant Browser to facilitate future discoveries. The MCPS WES and WGS datasets substantially add to the global survey of characterized
genomic variants by over 31 million variants. Additionally, we uncover elevated levels of
homozygosity and homozygous pLOF variants attributable to Native Mexican ancestry, homozygosity and homozygous pLOF variants attributable to Native Mexican ancestry,
suggesting a role for future studies of admixed Mexicans as a previously untapped resource for
the study of homozygous loss of function alleles in humans. Comparing WGS and WES datasets
in the same set of 9,950 samples we found that the WGS dataset led to a 2.3% absolute increase
in the amount of coding variation when using the canonical gene transcript to annotate variants. Further quantitative comparisons in larger datasets such as UK Biobank will be needed to
examine the overall utility of WGS over WES and imputation for novel causal variant discovery. The MCPS10k imputation reference panel is being made available via the Michigan Imputation
Server for use in other studies. From our investigations we found that imputation accuracy with . Discussion CC-BY 4.0 International license
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bioRxiv preprint MCPS10k was superior to the TOPMed reference panel at genetic variants with MAF>0.1%,
while TOPMed outperformed MCPS10k for the imputation of extremely rare variants in MCPS. We also found that MCPS10K provided the highest imputation accuracy for those individuals
with high proportions of Mesoamerican ancestry. In theory, a combination of the MCPS10k and
TOPMed reference panels should result in superior imputation performance than using either
reference panel alone. There are, however, significant challenges in bringing together large WGS
datasets across studies for imputation, motivating the need for novel approaches that can
combine imputation results from different panels. The results from our study highlight the need
for large diverse WGS datasets from many different populations and the potential for a single
world-wide-reference panel to increase representation and parity in imputation accuracy across
ancestries. The publicly-available MCPS genetic resources, particularly the allele frequency and imputation
databases, will contribute to future studies and serve as a major resource for understanding the
genetic basis of diseases across Mexico as well as in the United States where there is a large
population of individuals of Mexican descent. In addition, our study can serve as a blueprint for
obtaining novel insight into the complex genetic architecture of other diverse populations. The
utility of the MCPS genetic resource has recently been demonstrated through its contribution to
the discovery of loss of function variation in GPR75 that is protective against obesity, which was
bolstered by the inclusion of the MCPS cohort in the exome-wide association meta-analysis 48. Moreover, the analysis of MCPS exomes was instrumental in estimating that MC4R heterozygous
deficiency is more than seven times greater in Mexico than in the UK48. Future studies will link
genetic variation to other disease traits via cross-cohort meta-analysis, increase resolution of fine- . Discussion CC-BY 4.0 International license
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bioRxiv preprint mapping, explore the construction and portability of polygenic risk scores in the Mexican
population, leverage admixture, relatedness, and household information to potentially boost power
of discovery in association studies and utilize Mendelian randomization to uncover causal
relationships between modifiable exposures and disease. . CC-BY 4.0 International license
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bioRxiv preprint Methods It is made
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bioRxiv preprint Samples showing disagreement between genetically-determined and reported sex (n=1,027),
high rates of heterozygosity/contamination (VBID > 5%) (n=249), low sequence coverage (less
than 80% of targeted bases achieving 20X coverage) (n=29), or genetically-identified sample
duplicates (n=1,062 total samples), and WES variants discordant with genotyping chip (n=8)
were excluded. In addition, n=1,339 samples were flagged by MCPS for exclusion. In total,
2,394 unique samples did not pass one or more of our QC metrics. The remaining 141,046
samples were then used to compile a project-level VCF (PVCF) for downstream analysis, using
the GLnexus joint genotyping tool. This final dataset contained 9,950,580 variants. Whole genome sample preparation and sequencing and quality control. Approximately 250ng of
total DNA was enzymatically sheared to a mean fragment size of 350 base pairs. Following
ligation of a Y-shaped adapter unique, asymmetric 10 base pair barcodes were added to the DNA
fragments with three cycles of PCR. Libraries were quantified by qPCR, pooled, and then
sequenced using 150 base pair paired-end reads with two 10 base pair index reads on the
Illumina NovaSeq 6000 platform on S4 flow cells. A total of 10,008 samples were sequenced. This included 200 mother-father-child trios and three more extended pedigrees. The rest of the
samples were chosen to be unrelated to third-degree or closer, and enriched for parents of nuclear
families. The average mean coverage was 38.5X and 99% of samples have mean coverages >
30X, and all samples are above 27X. Samples showing disagreement between genetically-determined and reported sex (n=16), high
rates of heterozygosity/contamination (VBID > 5%) (n=10), or genetically-identified sample
duplicates (n=19 total samples) were excluded. In addition, n=34 samples were flagged by
MCPS for exclusion. In total, 58 unique samples did not pass one or more of our QC metrics. The remaining 9,950 samples were then used to compile a project-level VCF (PVCF) for
downstream analysis, using the GLnexus joint genotyping tool. This final dataset contained
158,464,363 variants. Variant calling. Methods Blood sample collection, processing and storage, and DNA extraction. Blood sample collection, processing and storage, and DNA extraction. At recruitment, a 10-ml venous EDTA blood sample was obtained from each participant and
transferred to a central laboratory using a transport box chilled (4 to 10°C) with ice packs. Samples were refrigerated overnight at 4°C, and then centrifuged (2100g at 4°C for 15 min) and
separated the next morning. Plasma and buffy-coat samples were stored locally at −80°C, then
transported on dry ice to Oxford (United Kingdom) for long-term storage over liquid nitrogen. DNA was extracted from buffy coat at the UK Biocentre using Perkin Elmer Chemagic 360
systems and suspended in TE buffer. UV-VIS spectroscopy using Trinean DropSense96 was
used to determine yield and quality and samples were normalised to provide 2μg DNA at
20ng/μL concentration (2% of samples provided a minimum 1.5ug DNA at 10ng/uL
concentration) with 260:280nm ratio of >1.8 and a 260:230nm ratio of 2.0-2.2. Exome sample preparation and sequencing and quality control. Genomic DNA samples were
transferred to the Regeneron Genetics Center from the UK Biocentre and stored in an automated
sample biobank at -80°C prior to sample preparation. DNA libraries were created by
enzymatically shearing DNA to a mean fragment size of 200 base pairs, and a common Y-shaped
adapter was ligated to all DNA libraries. Unique, asymmetric 10 base pair barcodes were added
to the DNA fragment during library amplification to facilitate multiplexed exome capture and
sequencing. Equal amounts of sample were pooled prior to overnight exome capture, with a
slightly modified version of IDT’s xGenv1 probe library; all samples were captured on the same
lot of oligos. The captured DNA was PCR amplified and quantified by qPCR. The multiplexed
samples were pooled and then sequenced using 75 base pair paired-end reads with two 10 base
pair index reads on the Illumina NovaSeq 6000 platform or S4 flow cells. A total of 146,068
samples were made available for processing. We were unable to process 2,628 samples, most of
which failed QC during processing due to low or no DNA being present. A total of 143,440
samples were sequenced. The average 20X coverage is 96.5%, and 98.7% of the samples are
above 90%. . CC-BY 4.0 International license
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which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. Methods The MCPS WES and WGS data were reference-aligned with the OQFE protocol53
which employs BWA MEM to map all reads to the GRCh38 reference in an alt-aware manner,
marks read duplicates, and adds additional per-read tags. The OQFE protocol retains all reads and
original quality scores such that the original FASTQ is completely recoverable from the resulting . CC-BY 4.0 International license
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bioRxiv preprint CRAM file. Single-sample variants are called with DeepVariant v0.10.0 54 using default WGS
parameters or custom exome parameters53, generating a gVCF for each input OQFE CRAM file. These gVCFs are aggregated and joint-genotyped with GLnexus v1.3.1. All constituent steps of
this protocol are executed with open-source software. Identification of low-quality variants from sequencing using machine learning. Briefly, we
defined a set of positive control and negative control variants based on: (i) concordance in
genotype calls between array and exome sequencing data; (ii) transmitted singletons; (iii) an
external set of likely “high quality” sites; and (iv) an external set of likely “low quality” sites. To
define the external “high quality” set, we first generated the intersection of variants that pass QC
in both TOPMED Freeze 8 and gnomAD v3.1 genomes. This set was additionally restricted to
1000 genomes phase 1 high-confidence SNPs 34 and Mills and 1000 genomes gold-standard
INDELs55, both available via GATK resource bundle (URLs). To define the external “low
quality” set, we intersected gnomAD v3.1 fail variants with TOPMED Freeze 8 mendelian or
duplicate discordant variants. Prior to model training, the control set of variants were binned by
allele frequency, and then randomly sampled such that an equal number of variants were retained
in the positive and negative labels across each frequency bin. Methods The model was then trained on up
to 33 available site quality metrics, including, for example, the median value for allele balance in
heterozygote calls and whether a variant was split from a multi-allelic site. We split the data into
training (80%) and test (20%) sets. We performed a grid search with 5-fold cross-validation on
the training set to identify the hyperparameters that return the highest accuracy during cross-
validation, which are then applied to the test set to confirm accuracy. This approach identified as
low-quality a total of 616,027 WES and 22,784,296 WGS variants (of which 161,707
and 104,452 were coding variants respectively). We further applied a set of hard filters to
exclude monomorphs, unresolved duplicates, variants with >10% missingness, ≥3 mendel errors
(WGS only), or failed HWE with excess heterozgosity (HWE p-value < 1x10-30 and observed
heterozygote count > 1.5x expected heterozygote count), resulting in a dataset of 9,325,897 WES
and 131,851,586 WGS variants (of which 4,037,949 and 1,460,499 were coding variants
respectively) . CC-BY 4.0 International license
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bioRxiv preprint Variant annotation. Variants were annotated as previously described. Briefly, variants were
annotated using Ensembl Variant Effect Predictor (VEP)56, with the most severe consequence for
each variant chosen across all protein coding transcripts. In addition, we also derived canonical
transcript annotations based on a combination of MANE, APPRIS and Ensembl canonical tags. MANE annotation is given the highest priority, followed by APPRIS. When neither MANE nor
APPRIS annotation tags are available for a gene, the canonical transcript definition of Ensembl
is used. Gene regions were defined using Ensembl Release 100. Variants annotated as stop
gained, start lost, splice donor, splice acceptor, stop lost or frameshift, for which the allele of
interest is not the ancestral allele, are considered predicted LOF variants. Methods Five annotation
resources were utilized to assign deleteriousness to missense variants: SIFT57; PolyPhen2 HDIV
and PolyPhen2 HVAR58; LRT 59; and MutationTaster 60. Missense variants were considered
“likely deleterious” if predicted deleterious by all five algorithms, “possibly deleterious” if
predicted deleterious by at least one algorithm, and “likely benign” if not predicted deleterious
by any algorithm. Genotyping. Samples were genotyped on the Illumina Global Screening Array (GSA)
v2 beadchip according to the manufacturer’s recommendations. A total of 146,068 samples were
made available for processing, of which 145,266 (99.5%) were successfully processed. The
average genotype call rate per sample was 98.4% and 98.4% of samples had a call rate above
90%. Samples showing disagreement between genetically-determined and reported sex
(n=1,827), low quality samples (call rates below 90%) (n=2,276), genotyping chip variants
discordant with exome data (n=44), genetically-identified sample duplicates (n=1,063 total
samples) were excluded. In addition, n=1,122 samples were flagged by MCPS for exclusion and
n=223 samples were failed for “other” reasons. In total, 4,435 unique samples did not pass one or
more of our QC metrics. The remaining 140,831 samples were then used to compile a project-
level VCF (PVCF) for downstream analysis. This dataset contained 650,380 poly-morphic
variants. Genotyping QC. The input array data from the RGC Sequencing Lab consisted of 140,831
samples and 650,380 variants and were passed through multiple quality control steps: checks for
consistency of genotypes in sex chromosomes (steps 1-4); sample- and variant-level missingness . CC-BY 4.0 International license
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bioRxiv preprint filters (steps 5-6); the Hardy-Weinberg equilibrium exact test applied to a set of 81,747 3rd-
degree unrelated samples, identified from the initial relatedness analysis by PLINK and
PRIMUS (step 7); setting genotypes with Mendel errors in nuclear families to missing (step 8);
and the second round of steps 5-7 (step 9). Methods PLINK commands associated with each step are
displayed in column 2 (Supplementary Table 9). The final post-QC array data consisted
of 138,511 and 559,923 variants. Array phasing. We used SHAPEIT v4.1.3 61 to phase the array dataset of 138,511 samples
and 539,315 autosomal variants that passed the array QC procedure. To improve the phasing
quality, we leveraged the inferred family information by building a partial haplotype
scaffold on unphased genotypes at 1,266 trios from 3,475 inferred nuclear families identified
(randomly selecting one offspring per family when there were more than 1). We then ran
SHAPEIT one chromosome at a time, passing the scaffold information with the
--scaffold option. Exome and whole genome phasing. We separately phased the SVM filtered exome and whole
genome sequencing datasets onto the array scaffold. For the WGS phasing we used WhatsHap62
to extract phase information in the sequence reads and from the subset of available trios and
pedigrees, and this information was fed into SHAPEIT v4.2.2 via the --use-PS 0.0001 option. Phasing was carried out in chunks of 10,000 and 100,000 variants (WES and WGS respectively)
and using 500 SNPs from the array data as a buffer at the beginning and end of each chunk. The
use of the phased scaffold of array variants means that chunks of phased sequencing data can be
concatenated together to produce whole chromosome files that preserve the chromosome-wide
phasing of array variants. A consequence of this process is that when a variant appears in both
the array and sequencing datasets, it is the data from the array dataset that is used. To assess the performance of the WGS phasing process, we repeated the phasing of chromosome
2 by removing the children of the 200 mother-father-child trios. We then compared the phase of
the trio parents to that in the phased dataset that included the children. We observed a mean
switch error rate of 0.0024. Without using the WhatsHap to leverage phase information in
sequencing reads increases the mean switch error rate to 0.0040 (Supplementary Figure 22). . CC-BY 4.0 International license
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bioRxiv preprint . Methods CC-BY 4.0 International license
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bioRxiv preprint Relatedness, pedigree reconstruction and network visualization. The relatedness inference
criteria and relationship assignments were based on kinship coefficients and probability of zero
IBD sharing from the KING software26. We reconstructed all first-degree family networks using
PRIMUSv1.9.0 30 applied to the IBD-based KING estimates of relatedness along with the
genetically derived sex and reported age of each individual. 99.3% of the first-degree family
networks were reconstructed unambiguously. To visualize the relationship structure in MCPS we
used the Graphviz software (see URLs) to construct networks such as Supplementary Figure 5. We used the sfdp layout engine which uses a “spring” model that relies on a force-directed
approach to minimize edge length. Measuring IBD segments and homozygosity. To identify IBD segments and measure runs of
homozygosity, we ran hap-ibd (v1.0) 27 using the phased array dataset of 138,511 samples and
538,614 sites from autosomal loci. Hap-ibd was run with the parameter min-seed=4, which looks
for IBD segments that are at least 4 cM long. We filtered out IBD segments in regions of the
genome with fourfold more or fourfold less than the median coverage along each chromosome
following the procedure in IBDkin28, and filtered out segments overlapping regions with fourfold
less than the median SNP marker density (Supplementary Figure 30). For the homozygosity
analysis, we intersected the sample with the exome data to evaluate loss of function variants,
resulting in a sample of 138,200. We further overlaid the ROH segments with local ancestry
estimates, and assigned ancestry where the ancestries were concordant between haplotypes and
posterior probability was >0.9, assigning ancestry to 99.8% of the ROH. Principal Components Analysis. We used the workflow described in Privé et al. 202063 and
implemented in the R package bigsnpr. In brief, pairwise kinship coefficients are estimated
with Plink (v2.0) and samples were pruned for first and second-degree relatedness (kinship
coefficient < 0.0884) to obtain a set of unrelated individuals. Linkage disequilibrium (LD)
clumping was performed with a default LD r2 threshold of 0.2 and regions with long-range LD
were iteratively detected and removed using a procedure based on evaluating robust Mahalanobis distances of PC loadings. Methods Sample outliers are detected using a procedure
based on K nearest neighbours. Principal component (PC) scores and loadings for the first 20 robust Mahalanobis distances of PC loadings. Sample outliers are detected using a procedure
based on K nearest neighbours. Principal component (PC) scores and loadings for the first 20 . CC-BY 4.0 International license
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bioRxiv preprint PCs are efficiently estimated using truncated singular value decomposition (SVD) of the scaled
genotype matrix. After removal of variant and sample outliers, a final iteration of truncated SVD
was performed to obtain the PCA model. The PC scores and loadings from this model were then
used to project withheld samples, including related individuals, into the PC space defined by the
model using the Online Augmentation, Decomposition and Procustes (OADP) algorithm. For each PC analysis in this study, variants with minor allele frequency (MAF) <
0.01 were removed. ADMIXTURE analysis. ADMIXTURE64 version 1.3.0 (URLs) was used to estimate ancestry
proportions in a set of 3,964 reference samples representing African, European, East Asian, and
American ancestries from a dataset of merged genotypes. 765 samples of African ancestry were
obtained from 1KG (n=661) and HGDP (n=104), 658 samples of European ancestry were
obtained from 1KG (n=503) and HGDP (n=155), and 727 samples of East Asian ancestry were
obtained from 1KG (n=504) and HGDP (n=223). American samples were limited 716
indigenous Mexican samples from the MAIS study, 64 admixed Mexican American samples
from Los Angeles from 1KG (MXL), 21 Maya and 13 Pima samples from HGDP, and 1,000
unrelated Mexican samples from MCPS. Included SNPs were limited to variants present on the
Illumina GSAv2 genotyping array for which TOPMED-imputed variants in the MAIS study had
info r2 ≥ 0.9 (m=199,247 SNPs). Methods To select the optimum number of ancestry groups (K) to
include in the admixture model, five-fold cross validation was performed for each K in the set 4
to 25 with the –cv flag. In order to obtain ancestry proportion estimates in the remaining set of
137,511 MCPS samples, the population allele frequencies (P) estimated from the analysis of
reference samples were fixed as parameters so that the remaining samples could be projected into
the admixture model. Projection was performed for the K=4 model and for the K=18 model that
yielded the lowest cross validation error, and point estimation was attained with the block
relaxation algorithm. External datasets used in genetic analyses. The Metabolic Analysis of an Indigenous Sample
(MAIS) genotyping datasets were obtained from Professor Lorena Orozco
from Insituto Nacional de Medicina Genómica (INMEGEN). For 644 samples, genotyping was
performed using the Affymetrix Human 6.0 array (n=599,727 variants). An additional 72 . CC-BY 4.0 International license
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bioRxiv preprint samples (11 ancestry groups) were genotyped with the Illumina Omni 2.5 array (n=2,397,901
variants). The set of 716 indigenous samples represent 60 of the 68 recognised ethnic groups in
Mexico2. Per chromosome variant call files (VCF) for each genotyping array were uploaded to
the TOPMed Imputation Server (URLs) and imputed from a multi-ethnic reference panel of
97,256 whole genomes. Phasing and imputation were performed using the
programs eagle and MiniMac, respectively. The observed coefficient of determination (r2) for the
reference allele frequency between the reference panel and the genotyping array was 0.696 and
0.606 for the Affymetrix and Illumina arrays, respectively. samples (11 ancestry groups) were genotyped with the Illumina Omni 2.5 array (n=2,397,901
variants). The set of 716 indigenous samples represent 60 of the 68 recognised ethnic groups in
Mexico2. Methods It is made
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bioRxiv preprint The seven group analysis used 666 African samples, 659 European samples, 98 Mexico-North,
42 Mexico-Northwest, 185 Mexico-Central, 128 Mexico-South and 163 Mexico-Southeastern
samples at 204,626 autosomal and chromosome X SNPs. The 3 group analysis used 666 African
samples, 659 European samples and 163 Native Mexican samples at 505,834 autosomal and
chromosome X SNPs. The reference samples were phased with SHAPEIT v4.1.2 using default
settings. RFMix was applied to 138,511 MCPS samples in the phased array dataset. Selected
RFMix v2 parameters (-e 5 --reanalyze-reference -n 5 -G 15) tuned the LAI inference algorithm
to perform 5 rounds of Expectation-Maximization (EM) with an option to treat reference
haplotypes if they were query haplotypes and update the set of reference haplotypes in each EM
round; the average number of generations since expected admixture was set to 15; and the
number of terminal nodes for the random forest classifier was set to 5. Fine-scale population structure based on IBD sharing IBD segments from hap-ibd were summed
across pairs of individuals to create a network of IBD sharing represented by weight matrix 𝑊∈
ℝ≥0
𝑛×𝑛 for 𝑛 samples. Each entry 𝑤𝑖𝑗∈𝑊 gives the total length in cM of the genome that
individuals i and j share identical by descent. We sought to create a low-dimensional
visualization of the IBD network. We took an approach similar to Han et al. 2017 35 , who use
the eigenvectors of the normalized graph Laplacian as coordinates for a low-dimensional
embedding of the IBD network. Let 𝐷 be the degree matrix of the graph with 𝑑𝑖𝑖= ∑𝑤𝑖𝑗
𝑗
and 0
elsewhere. The normalized (random walk) graph Laplacian is defined to be 𝐿= 𝐼−𝐷−1𝑊,
where I is the identity matrix. The matrix 𝐿 is positive semi-definite, with eigenvalues 0 = 𝜆0 ≤𝜆1 ≤⋯≤𝜆𝑛−1. The
multiplicity of eigenvalue 0 is determined by the number of connected components in the IBD
network. If L is fully connected, the eigenvector associated with eigenvalue 0 is constant, while
the remaining eigenvectors can be used to compute a low-dimensional representation of the IBD
network. Methods Per chromosome variant call files (VCF) for each genotyping array were uploaded to
the TOPMed Imputation Server (URLs) and imputed from a multi-ethnic reference panel of
97,256 whole genomes. Phasing and imputation were performed using the programs eagle and MiniMac, respectively. The observed coefficient of determination (r2) for the
reference allele frequency between the reference panel and the genotyping array was 0.696 and
0.606 for the Affymetrix and Illumina arrays, respectively. Physical positions of imputed variants were mapped from genome build GRCh37 to GRCh38
using the program LiftOver and only variant positions included on the Affymetrix Global
Screening Array version 2 (GSAv2) were retained. After further filtering out variants with
imputation info r2 < 0.9, the following quality control steps were performed prior to merging of
the MAIS Affymetrix and Illumina datasets: 1) removal of ambiguous variants (i.e. A/T and C/G
polymorphisms); 2) removal of duplicate variants; 3) identifying and correcting allele flips; 4)
removal of variants with position mismatches. Merging was performed with the --
bmerge command in Plink (v1.9). We used publicly available genotypes from the Human Genome Diversity Panel65 HDPG;
n=929) and 1000 Genomes Project 66 (KG; n=2,504). To obtain a combined global reference
dataset for downstream analyses of population structure, admixture, and local ancestry, the
HGDP and KG datasets were merged. The resulting merged public reference dataset was
subsequently merged with the MAIS dataset and MCPS genotyping array dataset. Each merge
was performed with the –bmerge function in Plink (v1.9) after removing ambiguous variants,
removing duplicate variants, identifying and correcting allele flips, and removing variants with
position mismatches. The combined global reference dataset comprised 199,247 variants and
142,660 samples. Local Ancestry Inference. Reference samples used in the LAI were selected from a TeraStructure
ancestry analysis of the HGDP, 1000G and MAIS samples. A continental ancestry score
threshold ≥ 0.90 was applied to exclude samples with extensive admixture from the reference set. . CC-BY 4.0 International license
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(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. Methods If 𝑝 is the desired dimension, and 𝑢1,… , 𝑢𝑝 the bottom 1 … 𝑝 eigenvectors of 𝐿
(indexed from 0), the matrix 𝑈∈ℝ𝑛 ×𝑝 with columns 𝑢1,… , 𝑢𝑝 define a low-dimensional
representation of each individual in the IBD network 67.67. In practice, we solve the generalized
eigenvalue problem to obtain 𝑢1,… , 𝑢𝑝. 𝑊𝑢= 𝜇𝐷𝑢 𝑊𝑢= 𝜇𝐷𝑢 . CC-BY 4.0 International license
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bioRxiv preprint If u is an eigenvector of 𝐿 with eigenvalue 𝜆, then 𝑢 solves the generalized eigenvalue problem
with eigenvalue 1 −𝜆. If u is an eigenvector of 𝐿 with eigenvalue 𝜆, then 𝑢 solves the generalized eigenvalue problem
with eigenvalue 1 −𝜆. To apply to the IBD network of the MCPS cohort, we first removed edges with weight >72 cM
following Han et al. 2017. We did this to avoid the influence on extended families on the
visualization. We next extracted the largest connected component from the IBD network, and
computed the bottom 𝑢1,… , 𝑢20 eigenvectors of the normalized graph Laplacian. Fine-scale population structure based on haplotype sharing. To examine fine-scale population
structure using haplotype sharing we calculated a haplotype copying matrix L using IMPUTE5
6868 with entries Lij that are the length of sequence individual i copies from individual j. structure using haplotype sharing we calculated a haplotype copying matrix L using IMPUTE5
6868 with entries Lij that are the length of sequence individual i copies from individual j. IMPUTE5 employs a scalable imputation method that can handle very large haplotype reference
panels. At its core is an efficient HMM that can estimate the local haplotype sharing profile of a
‘target’ haplotype with respect to a ‘reference’ set of haplotypes. Methods To avoid the costly
computations of using all the reference haplotypes, an approach based on the PBWT data
structure is used to identify a subset of reference haplotypes that leads to negligible loss of
accuracy. We leveraged this methodology to calculate the copying matrix L, using array
haplotypes from a set of 58,329 unrelated individuals as both target and reference datasets, and
used the --ohapcopy –ban-repeated-sample-names flags to ban each target haplotype being able
to copy itself. SVD on a scaled centred matrix was performed using the bigstatsr package 63 to
generate 20 PCs. This is equivalent to an eigen-decomposition of the variance-covariance matrix
of recipients’ shared segment lengths. Imputation experiments. We imputed the filtered array dataset using both the MCPS10k reference panel
and the TOPMed imputation server. For TOPMed imputation we used Plink2 to convert this dataset
from Plink1.9 format genotypes to unphased VCF genotypes. For compatibility
with TOPMed imputation server restrictions, we split the samples in this dataset into six
randomly assigned subsets of about 23,471 samples, and also into chromosome
specific bgzipped VCF files. Using the NIH Biocatalyst API (see URLs) we submitted these six
jobs to the TOPMed imputation server. Upon completion of all jobs, we used bcftools merge to
join the resulting dosage VCFs spanning all samples. For the MCPS10k imputation we used . CC-BY 4.0 International license
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bioRxiv preprint IMPUTE 5 v1.1.5. Each chromosome was split into chunks using the imp5Chunker program
with minimum window size 5Mb, and minimum buffer size 500Kb. Information scores were
calculated using qctool (URLs). IMPUTE 5 v1.1.5. Each chromosome was split into chunks using the imp5Chunker program
with minimum window size 5Mb, and minimum buffer size 500Kb. Information scores were
calculated using qctool (URLs). Methods It is made
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bioRxiv preprint To validate the MCPS allele frequencies we downloaded the gnomAD v3.1 reference dataset
(see URLs) and retained only high-quality variants annotated as passed QC
(FILTER=”PASS”), SNVs, outside low-complexity regions and with the number of called
samples greater than 50% of the total sample size (N = 76,156). We additionally overlapped
gnomAD variants with TOPMed Freeze 8 high-quality variants (FILTER=”PASS”) (see URLs) . We further merged gnomAD variants and MCPS exome variants by the
C:P:R:A (chromosome:position: reference allele:alternative allele) names and excluded MCPS
singletons, which were heterozygous in ancestry. That resulted in 2,249,986 overlapping variants
available for comparison with the MCPS WES data. Median sample sizes in gnomAD non-
Finish Europeans, African/Admixed African and Admixed American population groups were N
= 34,014, 20,719 and 7,639 respectively. Methods The 1000 Genomes WGS dataset was downloaded (URLs) and filtered to remove sites that are
multi-allelic sites, duplicated, have missingness >2%, Hardy-Weinberg p-value < 1e-8 in any sub-
population, and MAF<0.1% in any sub-population. We used only those 490 American (AMR)
samples in the MXL, CLM, PUR and PEL sub-populations. We constructed 2 subsets of
genotypes on chromosome 2 from the Illumina HumanOmniExpressExome (8v1-2) and Illumina
GSA (v2) arrays, and these used as input to the TOPMed and MCPS10k imputation pipelines. We measured imputation accuracy by comparing the imputed dosage genotypes to the true
(masked) genotypes at variants not on the arrays. Markers were binned according to the MAF of
the marker in 490 AMR samples. In each bin, we report the squared correlation (r2) between the
concatenated vector of all the true (masked) genotypes at markers and the vector of all imputed
dosages at the same markers. Ancestry specific allele frequency estimation. The LAI results consist of segments of inferred
ancestry across each haplotype of the phased array dataset. Since the WES and WGS alleles were
phased onto the phased array scaffold we inferred the ancestry of each exome allele using
interpolation from the ancestry of the flanking array sites. For each WES and WGS variant on
each phased haplotype we determined the RFMix ancestry probability estimates at the two
flanking array sites and used those to interpolate their ancestry probabilities. Ancestry specific
frequencies are then calculated from the weighted allele counts and summed ancestry
probabilities. Singleton sites can be hard to phase using existing methods. Family information
and phase information in sequencing reads was used in the WGS phasing, and this will have
helped to phase a proportion of the singleton sites. In the WES dataset we found that 46% of
exome singletons occurred in stretches of heterozygous ancestry. For these variants we gave
equal weight to the two ancestries when estimating allele frequencies. . CC-BY 4.0 International license
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(which was not certified by peer review) is the author/funder, who has granted bioRxiv a license to display the preprint in perpetuity. Data availability The MCPS investigators welcome requests from researchers who wish to access data from the
Mexico City Prospective Study. If you are interested in obtaining data from the study for
research purposes, or in collaborating with MCPS investigators on a specific research proposal,
please visit our study website [http://www.ctsu.ox.ac.uk/research/prospective-blood-based-study-
of-150-000-individuals-in-mexico] where you can download the study’s Data and Sample
Access Policy in English or Spanish. The MCPS10k imputation reference panel described in this
manuscript can be used freely for imputation through the University of Michigan Imputation
server (see URLs). URLs MCPS Allele Frequency browser https://rgc-mcps.regeneron.com/
SHAPEIT https://odelaneau.github.io/shapeit4/
QCTOOL https://www.well.ox.ac.uk/~gav/qctool_v2/
MakeScaffold https://github.com/odelaneau/makeScaffold
Hap-IBD https://github.com/browning-lab/hap-ibd
IMPUTE5 https://jmarchini.org/software/#impute-5
MICHIGAN imputation server https://imputationserver.sph.umich.edu/
gnomAD https://gnomad.broadinstitute.org
TOPMed Freeze 8 BRAVO variant browser, https://bravo.sph.umich.edu/freeze8/hg38/
TOPMed imputation server https://imputation.biodatacatalyst.nhlbi.nih.gov
Million Veteran Program https://www.research.va.gov/mvp/
PRIMUS https://primus.gs.washington.edu/primusweb/
GRAPHVIZ https://graphviz.org/
GATK resource bundle : https://gatk.broadinstitute.org/hc/en-us/articles/360035890811-
Resource-bundle
ADMIXTURE https://dalexander.github.io/admixture/ . CC-BY 4.0 International license
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bioRxiv preprint Ethics approval Approval for the study was given by the Mexican Ministry of Health, the Mexican National
Council of Science and Technology (0595 P-M) and the Central Oxford Research Ethics
Committee (C99.260) and the Ethics and Research commissions from the Medicine Faculty at
the National Autonomous University of Mexico (UNAM) (FMED/CI/SPLR/067/2015). All
study participants provided written informed consent. Acknowledgements The Mexico City Prospective Study has received funding from the Mexican Health Ministry, the
National Council of Science and Technology for Mexico, the Wellcome Trust, Cancer Research
UK, British Heart Foundation and the UK Medical Research Council. These funding sources had
no role in the design, conduct or analysis of the study or the decision to submit the manuscript
for publication. Genotyping, exome sequencing and whole genome sequencing was funded
through an academic partnership between the National Autonomous University of Mexico, the
University of Oxford, Regeneron, AstraZeneca and Abbvie. The computational aspects of this
research were supported by the Wellcome Trust Core Award Grant Number 203141/Z/16/Z and
the NIHR Oxford BRC. The views expressed are those of the authors and not necessarily those
of the NHS, the NIHR or the UK Department of Health. The authors are grateful to all the MCPS
participants, without whom this research would not be possible. The authors are grateful to
Claudia Gonzaga-Jauregui, Yongtao Guan, Brian Browning, Ying Zhou and Kelsey Grinde for
discussions and input on various aspects of this work. . CC-BY 4.0 International license
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bioRxiv preprint Rights retention statement For the purpose of open access, the authors have applied a Creative Commons Attribution (CC
BY) licence to any Author Accepted Manuscript version arising. Conceptualization: J.Marchini, A.B, G.R.A, J.R.E, J.A-D, P.K-M, R.T-C
Data curation: R.W
Data generation: M.H, X.B, S.B, W.S, J.D.O, J.G.R, L.O-O, H.G-O
Formal Analysis: A.Z, J.T, J.D.B, J.Mbatchou, M.T. T.T, S.G, T.J, Y.Z, D.L, R.W, J.S, R.P, A.P,
K.S, A.N
Funding acquisition: J.A.D, A.B, R.C, J.R.E, S.P, P.K-M, R.T-C
Methodology: A.Z, J.T, J.D.B, T.T, J.Marchini
Project administration: M.J
Resources: L.H, R.L, E.M, S.Z
Software: A.Z, J.T, M.T, J.Mbatchou, S.G, T.J, J.S, Y.Z, J.Marchini
Supervision: J.Marchini, J.R.E, T.T, G.A, W.S, J.G.R, E.J, J.A-D, J.B, S.P
Visualization: A.Z, J.T, J.Mbatchou, S.G, J.D.B, T.J, M.T, Y.Z, J.S
Writing first draft: J.Marchini, J.T, J.R.E, T.T
Revision of manuscript: All authors Conceptualization: J.Marchini, A.B, G.R.A, J.R.E, J.A-D, P.K-M, R.T-C Project administration: M.J Revision of manuscript: All authors Revision of manuscript: All authors . CC-BY 4.0 International license
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bioRxiv preprint History and socio-demographics of Mexico City The difference in genetic ancestry identified between the inhabitants of Coyoacán and Iztapalapa
has a historical correlation. The Mexico City districts of Coyoacán and Iztapalapa have existed
since the pre-Hispanic times when they were relatively close (particularly Coyoacán) to the great
city of Tenochtitlan. Although the indigenous populations settled in those places were the initial
settlements, the population dynamics changed substantially over time, starting with the arrival of
the Spaniards. Many Spaniards, including the conqueror Hernán Cortés, resided in Coyoacán
while the capital of New Spain was being built (currently the historic center of the CDMX) over
the ruins of Tenochtitlan. However, the modern populations of Coyoacán and Iztapalapa derive
largely from the development of urban settlements and migrations that occurred from the 1950s
to the 1970s. During this period of the twentieth century both districts, but particularly
Iztapalapa, received large numbers of indigenous migrants from the Central (Nahuas, Otomies,
Purepechas), South (Mixtecos, Zapotecos, Mazatecos), and Southeast (Chinantecos, Totonacas
and Mayas) of the country. Today, Coyoacán houses a wide range of cultural and educational
spaces and includes many middle and upper-class neighborhoods where those with more
significant purchasing power, including many foreigners and Mexican mestizos with more
European ancestry, have settled. Iztapalapa, further from the city center and with fewer cultural
areas, is more affordable and remains popular among indigenous populations and those who
migrate to Mexico City from rural parts of Mexico. The difference in genetic ancestry identified between the inhabitants of Coyoacán and Iztapalapa
has a historical correlation. The Mexico City districts of Coyoacán and Iztapalapa have existed
since the pre-Hispanic times when they were relatively close (particularly Coyoacán) to the great
city of Tenochtitlan. Although the indigenous populations settled in those places were the initial
settlements, the population dynamics changed substantially over time, starting with the arrival of
the Spaniards. Many Spaniards, including the conqueror Hernán Cortés, resided in Coyoacán
while the capital of New Spain was being built (currently the historic center of the CDMX) over
the ruins of Tenochtitlan. However, the modern populations of Coyoacán and Iztapalapa derive
largely from the development of urban settlements and migrations that occurred from the 1950s
to the 1970s. During this period of the twentieth century both districts, but particularly Iztapalapa, received large numbers of indigenous migrants from the Central (Nahuas, Otomies,
Purepechas), South (Mixtecos, Zapotecos, Mazatecos), and Southeast (Chinantecos, Totonacas
and Mayas) of the country. History and socio-demographics of Mexico City Today, Coyoacán houses a wide range of cultural and educational
spaces and includes many middle and upper-class neighborhoods where those with more
significant purchasing power, including many foreigners and Mexican mestizos with more
European ancestry, have settled. Iztapalapa, further from the city center and with fewer cultural
areas, is more affordable and remains popular among indigenous populations and those who
migrate to Mexico City from rural parts of Mexico. Table 1: Number of coding variants discovered in exome sequencing of 141,046 MCPS participants. Variants were annotated
using VEP. Predicted function for each variant was defined as the most deleterious consequence spanning all protein-coding transcripts
in Ensembl v100. MAC = Minor Allele Count, IQR = Inter Quartile Range, SD = Standard Deviation. Variant category
(All transcripts)
N variants
(% with MAC=1)
Median number of
alternate alleles per
participant (IQR)
Mean number of
alternate alleles per
participant (SD)
Median number of
variants per
participant (IQR)
Mean number of
variants per
participant (SD)
Coding regions
4,037,949 (30.87)
29,119 (291)
29,126 (235)
20,849 (628)
20,795 (454)
Predicted function
In-frame indels
44,469 (30.97)
281 (16)
281 (12)
207 (14)
207 (10)
Synonymous
1,233,054 (28.04)
14,900 (169)
14,902 (134)
10,641 (320)
10,615 (234)
Missense
2,526,776 (31.4)
13,585 (163)
13,588 (127)
9,722 (300)
9,699 (217)
Likely benign
535,622 (27.94)
9,908 (121)
9,910 (93)
6,748 (191)
6,735 (138)
Possibly deleterious
1,441,180 (31.17)
3,564 (74)
3,564 (56)
2,857 (113)
2,853 (82)
Likely deleterious
549,974 (35.38)
114 (16)
114 (12)
111 (15)
112 (12)
pLOF
233,650 (40.06)
354 (20)
354 (15)
273 (19)
273 (14)
Start lost
9,768 (36.1)
27 (5)
27 (4)
21 (4)
21 (3)
Stop gain
77,589 (39.05)
85 (9)
85 (7)
67 (8)
67 (6)
Stop lost
3,539 (35.21)
13 (3)
13 (3)
10 (2)
10 (2)
Splice donor
26,364 (40.06)
38 (6)
38 (5)
30 (5)
30 (4)
Frameshift
96,098 (41.29)
146 (14)
147 (10)
113 (13)
114 (9)
Splice acceptor
20,292 (40.81)
44 (6)
44 (5)
32 (5)
32 (4) Table 1: Number of coding variants discovered in exome sequencing of 141,046 MCPS participants. Variants were annotated
using VEP. Predicted function for each variant was defined as the most deleterious consequence spanning all protein-coding transcripts
in Ensembl v100. MAC = Minor Allele Count, IQR = Inter Quartile Range, SD = Standard Deviation. n exome sequencing of 141,046 MCPS participants. Variants were annotated Table 2 : Comparison of WES and WGS datasets in coding genes. History and socio-demographics of Mexico City Variants were annotated with VEP. Predicted function is defined
by canonical transcript consequence in Ensembl v100. Counts are restricted to the same set of 9,950 individuals with both WGS and
WGS available. All variants passed QC for the respective platform. AAF = Alternate Allele Frequency, IQR = Inter Quartile Range, SD
= Standard Deviation. History and socio-demographics of Mexico City Variant category
(Canonical
transcripts)
MCPS WGS - All Coding Regions (N=9950)
MCPS WES Downsampled - All Coding Regions (N=9950)
# Variants
(All AAF)
Median number of
alternate alleles per
participant (IQR)
Mean number of
alternate alleles per
participant (SD)
Median number of
unique variants per
participant (IQR)
Mean number of
unique variants
per participant
(SD)
# Variants
(All AAF)
Median number of
alternate alleles per
participant (IQR)
Mean number of
alternate alleles
per participant
(SD)
Median number of
unique variants per
participant (IQR)
Mean number of
unique variants per
participant (SD)
Coding regions
1370878
28252.5 (290.75)
28260 (233)
20247 (621.75)
20182 (456)
1340335
27589 (286)
27595 (230)
19791 (601)
19725 (441)
In-frame indels
15694
276 (15)
276 (11)
201 (14)
201 (10)
14927
265 (15)
266 (12)
196 (13)
196 (10)
Synonymous
468904
14930 (173)
14933 (136)
10672 (332)
10639 (244)
461349
14691 (170)
14695 (134)
10504 (325.75)
10472 (239)
Missense
828706
12819 (160)
12822 (124)
9189 (290)
9164 (211)
809985
12433 (157.75)
12435 (121)
8924 (278)
8900 (203)
Likely benign
198955
9460 (119)
9461 (92)
6450 (186.75)
6436 (136)
185621
9063 (116)
9064 (89)
6177 (175)
6164 (127)
Possibly deleterious
469321
3246 (71)
3248 (54)
2623 (108)
2617 (79)
463209
3256 (73)
3257 (54)
2630 (107)
2624 (78)
Likely deleterious
160430
113 (15)
114 (11)
111 (16)
111 (12)
161155
114 (16)
114 (12)
111 (15)
112 (12)
pLOF
57574
229 (16)
229 (12)
178 (14)
178 (11)
54074
199 (15)
199 (11)
157 (14)
157 (10)
Start lost
1854
8 (3)
9 (2)
7 (2)
7 (2)
1817
8 (3)
9 (2)
7 (2)
7 (2)
Stop gain
19616
71 (8)
71 (6)
55 (7)
55 (5)
18898
62 (9)
62 (6)
48 (7)
48 (5)
Stop lost
681
4 (3)
5 (2)
3 (1)
3 (1)
642
4 (2)
4 (2)
3 (1)
3 (1)
Splice donor
6623
25 (5)
25 (4)
21 (5)
21 (3)
5867
15 (5)
15 (3)
13 (4)
13 (3)
Frameshift
23985
100 (12)
100 (8)
77 (9)
78 (7)
22420
91 (11)
91 (8)
72 (9)
72 (7)
Splice acceptor
4815
19 (4)
19 (3)
14 (3)
14 (3)
4430
18 (4)
18 (3)
14 (3)
14 (2) Table 2 : Comparison of WES and WGS datasets in coding genes. Variants were annotated with VEP. Predicted function is defined
by canonical transcript consequence in Ensembl v100. History and socio-demographics of Mexico City Counts are restricted to the same set of 9,950 individuals with both WGS and
WGS available. All variants passed QC for the respective platform. AAF = Alternate Allele Frequency, IQR = Inter Quartile Range, SD
Standard Deviation Table 2 : Comparison of WES and WGS datasets in coding genes. Variants were annotated with VEP. Predicted function is defined
by canonical transcript consequence in Ensembl v100. Counts are restricted to the same set of 9,950 individuals with both WGS and
WGS available. All variants passed QC for the respective platform. AAF = Alternate Allele Frequency, IQR = Inter Quartile Range, SD
= Standard Deviation. Table 3 : Ancestry specific allele frequencies at GWAS loci previously reported in studies of Mexican and Latin/Central American populations. MCPS Native Mexican, European and African allele
frequencies, estimated in MCPS WES/WGS data using our deconvolution approach, are reported together MCPS Raw allele frequencies calculated directly on raw MCPS data. Allele frequencies for three relevant
population groups available in gnomAD 3.1 are added for comparison. Table 3 : Ancestry specific allele frequencies at GWAS loci previously reported in studies of Mexican and Latin/Central American populations. MCPS Native Mexican, European and Afric
frequencies, estimated in MCPS WES/WGS data using our deconvolution approach, are reported together MCPS Raw allele frequencies calculated directly on raw MCPS data. Allele frequencies fo
population groups available in gnomAD 3.1 are added for comparison. Table 3 : Ancestry specific allele frequencies at GWAS loci previously reported in studies of Mexican and Latin/Central American populations. MCPS Native Mexican, European and African allele
frequencies, estimated in MCPS WES/WGS data using our deconvolution approach, are reported together MCPS Raw allele frequencies calculated directly on raw MCPS data. Allele frequencies for three relevant
population groups available in gnomAD 3.1 are added for comparison. History and socio-demographics of Mexico City MCPS Allele Frequencies
gnomAD v3.1 Allele Frequencies
Gene
GWAS trait
rsID
CPRA ID
Effect
MCPS
Source
Raw
Native
Mexican
European
African
Admixed
American
Non-Finish
European
African/
Admixed
African
MTHFR
Folate metabolism
rs1801133
1:11796321:G:A
missense
WES
0.559
0.669
0.361
0.055
0.444
0.337
0.112
TCHH
Hair shape
rs11803731
1:152110849:A:T
missense
WES
0.061
0.000
0.194
0.014
0.111
0.206
0.034
PAPPA2
Bronchodilator drug response
rs77977790
1:176726343:T:C
intronic
WES
0.1002
0.132
0.041
0.001
0.054
0.052
0.01
DSTYK
Eye color trait - C (saturation)
rs3795556
1:205143783:T:C
3′-UTR
WES
0.369
0.435
0.217
0.431
0.314
0.234
0.376
EPHB2
T2D (BMI adjusted)
rs10465543
1:22807725:G:A
Intronic
WES
0.261
0.305
0.172
0.177
0.232
0.198
0.173
EDAR
Beard thickness
rs365060
2:108959280:C:G
intronic
WGS
0.686
0.978
0.115
0.659
0.386
0.073
0.532
LSAMP
Type 2 diabetes (BMI unadjusted)
rs938911
3:116701355:A:G
intronic
WGS
0.050
0.003
0.116
0.303
0.108
0.149
0.316
FGF12
Type 2 diabetes (BMI unadjusted)
rs9831045
3:192757470:T:A
intronic
WGS
0.714
0.731
0.654
0.887
0.681
0.605
0.852
ANO10
Hip circumference (adjusted for BMI)
rs149681500
3:43396572:C:T
intronic
WGS
0.002
0.000
0.000
0.049
0.006
0.000
0.036
PROK2
Waist circumference (adjusted for BMI)
rs6809759
3:71937742:G:A
intergenic
WGS
0.418
0.324
0.624
0.308
0.537
0.647
0.387
HSD17B13
Liver disease
rs72613567
4:87310240:T:TA
splice donor
WES
0.076
0.001
0.242
0.055
0.168
0.269
0.069
ESR1
Breast cancer
rs140068132
6:151633699:A:G
TF binding site
WES
0.203
0.305
0.000085
0.000197
0.105
0.00012
0.001
LPA
Lp(a)/CAD
rs3798220
6:160540105:T:C
missense
WES
0.341
0.507
0.001
0.001
0.172
0.017
0.009
IRF4
Hair colour
rs12203592
6:396321:C:T
intronic
WES
0.038
0.000
0.127
0.000
0.078
0.168
0.033
TFAP2B
Obesity in children
rs2206277
6:50830813:C:T
intronic
WES
0.491
0.66
0.169
0.16
0.285
0.187
0.143
CSMD1
T2D (BMI unadjusted)
rs9773092
8:3358503:T:G
intronic
WGS
0.408
0.493
0.228
0.36
0.316
0.236
0.385
NIPAL2
Type 2 diabetes (BMI unadjusted)
rs896416
8:98186838:C:T
intergenic
WGS
0.631
0.720
0.473
0.418
0.532
0.432
0.480
RP11-74C3.1
Type 2 diabetes (BMI adjusted and unadjusted)
rs10809674
9:12015741:G:A
intronic
WGS
0.147
0.021
0.411
0.058
0.272
0.457
0.112
CDK5RAP2
Waist-hip ratio (adjusted for BMI)
rs13301996
9:120570806:T:G
intronic
WGS
0.161
0.118
0.248
0.129
0.212
0.212
0.126
TLE4
Asthma
rs2378383
9:79424447:A:G
intergenic
WGS
0.21
0.275
0.086
0.034
0.136
0.116
0.034
EMX2
Skin pigmentation
rs11198112
10:117804632:C:T
intergenic
WES
0.207
0.233
0.152
0.186
0.158
0.155
0.203
GRID1
Balding
rs2814331
10:86233584:C:T
intronic
WGS
0.926
0.966
0.848
0.848
0.867
0.883
0.908
SIK3
TG
rs139961185
11:116936627:G:A
intronic
WES
0.228
0.345
0.00017
0.000097
0.087
0.004
0.002
NTM
Waist-hip ratio (adjusted for BMI) (women)
rs113818604
11:131960980:G:A
intronic
WGS
0.008
0.000
0.026
0.002
0.013
0.023
0.004
SPON1
Bronchodilator drug response
rs77149876
11:14063584:T:C
intronic
WES
0.002
0.000
0.007
0.000
0.004
0.005
0.001
IGF2
T2D
rs149483638
11:2140300:C:T
splice acceptor
WGS
0.234
0.35
0.00047
0.00059
0.142
0.000235
0.002
SLC22A18AS
Waist-hip ratio (adjusted for BMI)
rs79478137
11:2891739:C:T
intronic
WGS
0.004
0.000
0.005
0.064
0.009
0.007
0.079
FADS2
Waist circumference (adjusted for BMI)
rs3168072
11:61864038:A:T
3′-UTR
WGS
0.531
0.787
0.034
0.024
0.259
0.025
0.014
CIT
Type 2 diabetes (BMI adjusted and unadjusted)
rs202983
12:119724541:G:A
intronic
WES
0.131
0.040
0.302
0.289
0.217
0.282
0.238
HNF1A
T2D
rs483353044
12:120999288:G:A
missense
WES
0.005
0.007
0
0
0.00026
0
0
PRKCH
Obesity (childhood)
rs12935153
14:61442459:T:C
intronic
WES
0.933
0.939
0.971
0.436
0.916
0.968
0.499
SLC24A4
Bronchodilator drug response
rs77441273
14:92493513:G:A
missense
WES
0.000
0.000
0.000
0.012
0.002
0.000
0.013
HERC2/OCA2
Hair colour
rs12913832
15:28120472:A:G
intronic
WES
0.117
0.008
0.357
0.008
0.243
0.764
0.127
RORA
TG
rs148533712
15:60952685:T:C
intronic
WGS
0.548
0.735
0.17
0.378
0.343
0.161
0.353
PRSS53
Hair shape
rs11150606
16:31087690:T:C
missense
WES
0.36
0.537
0.005
0
0.144
0.018
0.011
TOX3
Breast cancer
rs4784227
16:52565276:C:T
intronic
WES
0.351
0.406
0.261
0.036
0.292
0.242
0.065
MAF
Obesity (childhood)
rs12935153
16:79633118:G:A
intergenic
WGS
0.270
0.138
0.558
0.354
0.414
0.594
0.351
SLC16A11
T2D
rs75493593
17:7041768:G:T
missense
WES
0.359
0.534
0.007
0.001
0.15
0.007
0.005
MC4R
BMI
rs79783591
18:60371544:A:T
missense
WES
0.011
0.016
0.000061
0.00042
0.00098
0
0.000024
MC4R
BMI
rs72989246
18:60371544:A:T
missense
WGS
0.031
0.0011
0.099
0.0018
0.069
0.12
0.019
MFSD12
Hair shape
rs2240751
19:3548233:A:G
missense
WES
0.282
0.414
0.008
0.008
0.079
0.01
0.005
WFDC5
Eye color trait - cos(H) (hue)
rs17422688
20:45110478:G:A
missense
WES
0.051
0.000
0.169
0.022
0.110
0.173
0.042
NCOA3
Bronchodilator drug response
rs115501901
20:47653964:C:T
3′-UTR
WES
0.000
0.000
0.000
0.006
0.001
0.000
0.010
ETS2
Obesity (childhood)
rs2836755
21:38920780:C:T
Intronic
WGS
0.255
0.081
0.617
0.324
0.454
0.620
0.363
DEPDC5
T2D (BMI unadjusted)
rs5998144
22:31852258:T:C
Intronic
WGS
0.197
0.263
0.043
0.225
0.12
0.059
0.116
MPST
Eye color trait - C (saturation)
rs5756492
22:37028950:G:A
Intronic
WES
0.275
0.260
0.314
0.212
0.270
0.279
0.234
PNPLA3
Liver disease
rs738409
22:43928847:C:G
missense
WES
0.624
0.798
0.272
0.172
0.424
0.226
0.14 Figure 1 : Familial relatedness. History and socio-demographics of Mexico City (a) Percentage of the genome estimated to have 0, 1 or 2 alleles identical-by-descent (IBD) (b)
Distribution of the number of relatives that participants have in the MCPS cohort. The height of each bar shows the count of participants
with the stated number of relatives. The colors indicate the proportions of each relatedness class within each bar. Figure 1 : Familial relatedness. (a) Percentage of the genome estimated to have 0, 1 or 2 alleles identical-by-descent (IBD) (b)
Distribution of the number of relatives that participants have in the MCPS cohort. The height of each bar shows the count of participants
with the stated number of relatives. The colors indicate the proportions of each relatedness class within each bar. th Native Mexican, European and African datasets. Panels A and B use 500 MCPS
_AFR_YRI) and 107 European Iberian (KG_EUR_IBS) samples from the 1000
mples from 60 Native Mexican groups corresponding to Central, Southern, South
Mexico from the Metabolic Analysis of an Indigenous Sample (MAIS). Panels C and D
with the 1000 Genomes and MAIS samples. All other MCPS samples are projected onto Figure 2 : PCA analysis of MCPS together with Native Mexican, European and African datasets. Panels A and B use 500 MCPS
samples together with 108 African Yoruba (KG_AFR_YRI) and 107 European Iberian (KG_EUR_IBS) samples from the 1000
Genomes Project dataset, and 591 unrelated samples from 60 Native Mexican groups corresponding to Central, Southern, South
Eastern, Northern and North Western regions of Mexico from the Metabolic Analysis of an Indigenous Sample (MAIS). Panels C and D
use an unrelated set of 58,051 samples together with the 1000 Genomes and MAIS samples. All other MCPS samples are projected onto
the axes. Native Mexican, European and African datasets. Panels A and B use 500 MCPS CA analysis of MCPS together with Native Mexican, European and African da Figure 2 : PCA analysis of MCPS together with Native Mexican, European Figure 2 : PCA analysis of MCPS together with Native Mexican, European and African datasets. Panels A and B use 500 MCPS
samples together with 108 African Yoruba (KG_AFR_YRI) and 107 European Iberian (KG_EUR_IBS) samples from the 1000
Genomes Project dataset, and 591 unrelated samples from 60 Native Mexican groups corresponding to Central, Southern, South
Eastern, Northern and North Western regions of Mexico from the Metabolic Analysis of an Indigenous Sample (MAIS). History and socio-demographics of Mexico City Panels C and D
use an unrelated set of 58,051 samples together with the 1000 Genomes and MAIS samples. All other MCPS samples are projected onto
the axes. Figure 2 : PCA analysis of MCPS together with Native Mexican, European and African datasets. Panels A and B use 500 MCPS
samples together with 108 African Yoruba (KG_AFR_YRI) and 107 European Iberian (KG_EUR_IBS) samples from the 1000
Genomes Project dataset, and 591 unrelated samples from 60 Native Mexican groups corresponding to Central, Southern, South
Eastern, Northern and North Western regions of Mexico from the Metabolic Analysis of an Indigenous Sample (MAIS). Panels C and D
use an unrelated set of 58,051 samples together with the 1000 Genomes and MAIS samples. All other MCPS samples are projected onto
the axes. e 3: Global ancestry proportions estimated from local ancestry inference (LAI). Distributions of LAI-based global anc
rtions from a 7-way analysis (panel B) and reduced to 3 continental groups (panel A). Stacked bar plots of 3-way (panel C)
panel D) local ancestry proportions for 138,511 MCPS individuals. Figure 3: Global ancestry proportions estimated from local ancestry inference (LAI). Distributions of LAI-based global ancestry
proportions from a 7-way analysis (panel B) and reduced to 3 continental groups (panel A). Stacked bar plots of 3-way (panel C) and 7-
way (panel D) local ancestry proportions for 138,511 MCPS individuals. Figure 4: Imputation accuracy using the MCPS10k and TOPMed imputation panels. Accuracy is measured using the R2 between the
imputed variants and 125,639 variants measured using exome sequencing on chromosome 2 in 67,079 MCPS samples not in (or
related to) the MCPS reference panel samples. Results are stratified by allele frequency (x-axis on log10 scale), reference panel (red =
MCPS, blue = TOPMed) and into two groups (top and bottom 50% of Native Mexican ancestry shown by solid and dashed lines). The
left-hand plot shows results at on all samples. The right-hand plot shows the results stratified by the amount of Native Mexican
estimated in each sample. Figure 4: Imputation accuracy using the MCPS10k and TOPMed imputation panels. Accuracy is measured using the R2 between the
imputed variants and 125,639 variants measured using exome sequencing on chromosome 2 in 67,079 MCPS samples not in (or
related to) the MCPS reference panel samples. History and socio-demographics of Mexico City Results are stratified by allele frequency (x-axis on log10 scale), reference panel (red =
MCPS, blue = TOPMed) and into two groups (top and bottom 50% of Native Mexican ancestry shown by solid and dashed lines). The
left-hand plot shows results at on all samples. The right-hand plot shows the results stratified by the amount of Native Mexican
estimated in each sample. Figure 5 : Allele frequency comparison between MCPS WES and gnomAD. Allele frequencies on linear (top) and log (bottom) scale. The comparisons from left to right are MCPS European vs gnomAD Non-Finnish European, MCPS African vs gnomAD African, MCPS
Native American vs gnomAD Latino/Admixed American and All MCPS vs gnomAD Latino/Admixed American. Figure 5 : Allele frequency comparison between MCPS WES and gnomAD. Allele frequencies on linear (top) and log (bottom) scale. The comparisons from left to right are MCPS European vs gnomAD Non-Finnish European, MCPS African vs gnomAD African, MCPS
Native American vs gnomAD Latino/Admixed American and All MCPS vs gnomAD Latino/Admixed American.
|
https://openalex.org/W2234286331
|
https://www.nature.com/articles/srep19351.pdf
|
English
| null |
Parity and All-cause Mortality in Women and Men: A Dose-Response Meta-Analysis of Cohort Studies
|
Scientific reports
| 2,016
|
cc-by
| 8,529
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Parity and All-cause Mortality in
Women and Men: A Dose-Response
Meta-Analysis of Cohort Studies
Yun Zeng1, Ze-min Ni3, Shu-yun Liu1, Xue Gu1, Qin Huang4, Jun-an Liu2 & Qi Wang1 received: 03 July 2015
accepted: 08 December 2015
Published: 13 January 2016 received: 03 July 2015
accepted: 08 December 2015
Published: 13 January 2016 Yun Zeng1, Ze-min Ni3, Shu-yun Liu1, Xue Gu1, Qin Huang4, Jun-an Liu2 & Qi Wang To quantitatively assess the association between parity and all-cause mortality, we conducted a meta-
analysis of cohort studies. Relevant reports were identified from PubMed and Embase databases. Cohort studies with relative risks (RRs) and 95% confidence intervals (CIs) of all-cause mortality in three
or more categories of parity were eligible. Eighteen articles with 2,813,418 participants were included. Results showed that participants with no live birth had higher risk of all-cause mortality (RR= 1.19,
95% CI = 1.03–1.38; I2 = 96.7%, P < 0.001) compared with participants with one or more live births. Nonlinear dose-response association was found between parity and all-cause mortality (P for non-
linearity < 0.0001). Our findings suggest that moderate-level parity is inversely associated with all-
cause mortality. Multiple studies have shown that reproduction factors may affect the health of women in later life1–6. A recent
meta-analysis showed that high parity is associated with reduced risk of pancreatic cancer7. A systematic review8
to studies of relationship between parity and mortality among women published before 2003 found that parity has
long-term effect on women’s mortality. The report demonstrated that the relationship varied regarding to various
populations and fertility patterns. We carefully scrutinized the studies listed in the review and included those that
met our inclusion criteria. Studies on men also found that men’s mortality risk was associated with parity due to
different socioeconomic status and parity-related habits and behaviors9. f
p
y
“Antagonistic pleiotropy” and “disposable soma” theories, derived from experiments on both male and female
Drosophila melanogaster, described the existence of a trade-off between reproductive and somatic maintenance,
suggesting that parity is associated with increased risk of death10–13. However, other studies have presented contra-
dictory findings, where parity is negatively associated with all-cause mortality2. Parity-related habits and behav-
iors, such as smoking less, drinking less, and exercising more2,4,9 may contribute to reduction in total mortality. Another study suggested that parity was associated with decreased risk of death from respiratory diseases and
cancers6. Some researchers have proposed a U-shaped association between parity and mortality risk1,6. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Results Literature search. Results of the literature search and selection are shown in Fig. 1. We identified 5,447 and
4,883 articles from PubMed and Embase databases, respectively. Duplicates and papers that did not take parity
as an exposure or those that did not related to parity and all-cause mortality were excluded. This left us with 45
articles for full-text review. A total of 27 articles were excluded after full-text review for the following reasons: (1)
14 did not report relevant outcome such as RR, 95% CI, or original data; (2) six did not provide parity categories
or the categories were not appropriate for the analysis; (3) three only reported relative estimate risks and did not
report 95% confidence intervals or original data; (4) two were duplicate publications on the same population; and
(5) one only reported mortality ratio but did not explain how it was calculated; (6) one reported the number of
sons and daughters separately. The remaining 181–6,9,15–25 articles had a total of 2,813,418 participants and were
included in the meta-analysis. Study characteristics. Table 1 shows the characteristics of the studies included in the meta-analysis. The
sample size of participants ranged from 718 to 822,593. Eleven studies were conducted on women only, two stud-
ies were on men only, and five were on both women and men. The ages of female and male participants ranged
from 23.8 to 100 years and 35 to 90 years, respectively. A total of five studies were conducted in the USA, two in
Norway, three in Israel, and one each in UK, Netherland, Germany, Finland, Bangladesh, Japan, and Australia. Duration of follow-up in the included studies ranged from 2 to 42 years with a median of 18.7 years. Adjustment
for confounding factors had not been done in two of the involved studies, but the other studies had controlled
for factors such as age, marital status, education, smoking, drinking, socioeconomic status, age at first birth, and
age at menopause. All studies had quality scores ranging from 6 to 9; four of them were of moderate quality and
14 were of high quality. All-cause mortality related to parity levels. Relationships between parity and all-cause mortality in
women and men are shown in Table 2 and Figs 2–3. igure 1. Selection of studies for inclusion in a meta-analysis of parity and all-cause mortality. Figure 1. Selection of studies for inclusion in a meta-analysis of parity and all-cause mortality. Parity and All-cause Mortality in
Women and Men: A Dose-Response
Meta-Analysis of Cohort Studies
Yun Zeng1, Ze-min Ni3, Shu-yun Liu1, Xue Gu1, Qin Huang4, Jun-an Liu2 & Qi Wang1 Recently,
a meta-analysis14 on studies published between 2005 and 2009 was conducted using an iterative strategy to search
articles and a meta-regression model to assess the non-linear association of parity and all-cause mortality. The
results indicated that moderate number of parity was associated with decreased mortality risk in both women
and men and low or high level of parity was associated with increased mortality risk in them. The means of hazard
ratios stratified by the number of covariates were estimated without 95% confidence intervals. The non-linear
association was tested with parsimonious regression model which failed to provide 95% confidence intervals of
hazard ratios. Therefore, we conduct a dose-response meta-analysis on studies published before 24 April 2015,
including studies published in recent years to assess the association between parity and all-cause mortality among
women and men quantitatively. We carefully scrutinized the studies listed in the meta-analysis mentioned above,
and included those that meet our inclusion criteria. 1Department of Epidemiology and Biostatistics, School of Public Health, Tongji Medical College, Huazhong
University of Science and Technology, Wuhan, Hubei Province, China. 2Department of Social Medicine and Health
Management, School of Public Health, Tongji Medical College, Huazhong University of Science and Technology,
Wuhan, Hubei Province, China. 3Women and Children Medical Center of Jiang-an District, Wuhan, Hubei Province,
China. 4Department of Medical Rehabilitation, Union Hospital, Tongji Medical College, Huazhong University of
Science and Technology, Wuhan, Hubei Province, China. Correspondence and requests for materials should be
addressed to Q.W. (email: wangqi_tj@hust.edu.cn) Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 1 www.nature.com/scientificreports/ Figure 1. Selection of studies for inclusion in a meta-analysis of parity and all-cause mortality. Results The pooled RR for participants with no live birth was 1.19
(95% CI = 1.03–1.38; I2 = 96.7%, P < 0.001) compared with that with 1 or more live births (Fig. 2). Begg’s test and
Egger’s test revealed evidence of publication bias in the studies. The trim and fill method was used to recalculate
the pooled RR, and results indicated that the imputed RR was identical to the original RR. In addition, no missing
studies imputed in the contour enhanced the funnel plot. p
p
Compared with that of two live births, the pooled RRs of all-cause mortality were 1.17 (95% CI = 1.14–1.20;
I2 = 30.3%, P = 0.127) for null parity, 1.15 (95% CI = 1.09–1.20; I2 = 79.5%, P < 0.001) for 1 live birth, 0.99 (95%
CI = 0.97–1.01; I2 = 33.3%, P = 0.124) for 3 live births, 1.04 (95% CI = 0.99–1.09; I2 = 75.9%, P < 0.001) for 4 live
births, and 1.12 (95% CI = 1.03–1.21; I2 = 95.7%, P < 0.001) for 5 or more live births (Fig. 3). No evidence of pub-
lication bias was detected using Egger’s test or Begg’s test. However, when five or more live births were compared
with two live births, Begg’s test indicated no publication bias while Egger’s test indicated otherwise. We used the
trim and fill method to recalculate the pooled RR. Results showed that two studies were imputed to enhance the
funnel plot, but the imputed RR was identical to the original RR, validating the robustness of the result. Subgroup analyses. To explore the potential source of statistical heterogeneity among the studies and assess
the stability of the results, we conducted subgroup analyses by country, sex, quality score, duration of follow-up
period, number of participants, and number of cases. Results of subgroup analyses are shown in Table 3. Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 2 www.nature.com/scientificreports/ Authors,
year
Coun-
try
Sex,
age
Follow-up
period
Follw-up
length
Case/subject
Parity
Adjustment variables
Exposure
assessment
Outcome
assessment
Quality
score
Dior et. al., 2013
(1)
Israel
Wom-
en
23.8–
60.9y
1964–2005
42
2,766/40,454
1,2–4,5–9,10+
Age at first birth, mother’s origin, socioeco-
nomic status, diabetes mellitus, gestational
diabetes mellitus, toxaemia, hypertension,
smoking, multiple pregnancies, Cesarean
sections
Israeli
Population
Registry
Israeli
Population
Registry
9
Jacobs et. Results al., 2012
(21)
USA
Wom-
en
50–96y
1984–2007
24
707/1,294
0,1,2,3,4+
Age, years postmenopause, BMI, and HDL
cholesterol
Interviewer
administered
question-
naire
During
follow-up
9
Simons
et.al.,
2012 (6)
Aus-
tralia
Wom-
en
69.6y
1988–2004
17
683/1,571
0.1,2,3,4,5,6+
Alcohol intake, smoking, peak expiratory
flow, physical disability, self-rated health and
atrial fibrillation, hypertension, diabetes,
BMI
Self-admin-
istered ques-
tionnaire
Death
record
8
Keizer.al.,
2012 (9)
Neth-
er-
lands
Men
45–75y
1991–2007
17
1,551/4,961
0,1,2–3,4+
Age, chronic conditions, occupational class,
education, drinking, smoking, live with
partner
Interviewer
administered
question-
naire
Statistics
Netherlands
9
Jacobsen
et.al.,
2011
(18)
USA
Wom-
en
27–
100y
1976–1988
13
3,122/12,688
0,1,2,3,4,5+
Marital status
Self-admin-
istered ques-
tionnaire
ICD-9 codes
6
Kuningas
et.al.,
2011
(23)
Neth-
er-
lands
Wom-
en 68y
1990–2008
19
1,116/3,575
0,1,2–3,4+
education and age at baseline
Self-admin-
istered ques-
tionnaire
During
follow-up
6
Tama-
koshi et. al., 2011
(22)
Japan
Wom-
en Men
40–79y
1988–2006
14.4
18,807/110,792
0,1,2,3,4,5+
Age, residential area group, marital status,
smoking status, alcohol consumption status,
walking hours, sleeping hours, consuming
green-leafy vegetables, BMI, education,
mental stress, disease history and employ-
ment status
Self-admin-
istered ques-
tionnaire
Death
certificates
from the
Direc-
tor-General
of the Prime
Minister’s
Office
8
Hank et. al., 2010
(3)
Ger-
many
Wom-
en
50–99y
1984–2007
24
Not availa-
ble/9,514
0,1,2,3,4+
Age, marital status, education, homeowner,
household income
Interviewer
administered
question-
naire
During
follow-up
9
Jaffe et. al., 2009
(4)
Israel
Men
45–89
y
women
45–89
y
1995–2004
10
Men
13,309/71,733
women
6,128/62,822
1,2,3–4,5–
7,8+
Age, origin, education, rooms
Census,
interviewer
administered
question-
naire
Death
record from
the Israel
Central
Bureau of
Statistics
9
Grundy
et.al.,
2008 (2)
Nor-
way
Men
45–68y
women
45–68y
1980–2003
24
Men
40,071/785,317
women
23,241/744,784
0,1,2,3,4,5+
Education, marital status
Census,
interviewer
administered
question-
naire
Death
record from
the Central
Population
Register
9
Ko-
ski-Ra-
hikkala
et.al.,
2006 (5)
Fin-
land
Wom-
en
49–83y
1966–2001
36
1,075/13,002
1,2–4,5–9,10+ Age, BMI, smoking, socioeconomic position,
age at menarche, age at first birth
Self-admin-
istered ques-
tionnaire
Death
record
from the
Population
Registration
Centre
8
Grundy
et.al.,
2005
(16)
UK
Wom-
en
50–89y
1971–2000
30
29,329/87,477
0,1,2,3,4,5+
Age, marital status, social class, education,
car access housing tenure, widowhood
Census,
interviewer
administered
question-
naire
The Office
for National
Statistics
Longitudi-
nal Study
8
Hurt et. www.nature.com/scientificreports/ Characteristics of cohort studies of Parity and All-cause mortality included in the Meta-Analysis. Abbreviations: BMI, body mass index. able 1. Characteristics of cohort studies of Parity and All-cause mortality included in the Meta-Analysis. Abbreviations: BMI, body mass index. No. of
study
Model
selected
Pooled
RR
95% CI
P* value
Egger
Begg
I2 (%)
P† value
P‡ value
0 vs. 1+
17
Random
1.19
1.03–1.38
< 0.001
96.7
0.001
0.012
0 vs. 2
15
Fixed
1.17
1.14–1.20
0.127
30.3
0.215
0.843
1 vs. 2
16
Random
1.15
1.09–1.20
< 0.001
79.5
0.521
0.620
3 vs. 2
12
Fixed
0.99
0.97–1.01
0.124
33.3
0.510
1.000
4 vs. 2
8
Random
1.04
0.99–1.09
< 0.001
75.9
0.260
0.386
5+ vs. 2
8
Random
1.12
1.03–1.21
< 0.001
91.6
0.036
0.536
Table 2. Meta-analysis of parity and all-cause mortality. Abbreviations: CI, confidence interval; RR, relative
risk. *P value for heterogeneity. †P value for Egger’s test. ‡P value for Begg’s test. Table 2. Meta-analysis of parity and all-cause mortality. Abbreviations: CI, confidence interval; RR, relative
risk. *P value for heterogeneity. †P value for Egger’s test. ‡P value for Begg’s test. Subgroup analysis by country, sex of participants, and number of participants presented similar pooled RRs of
all-cause mortality in relation to null parity compared with one or more live births. However, pooled analysis of
the studies in Netherlands and Japan, with quality scores below 8 points, with duration of follow-up longer than
15 years, with 10,000 or less participants, or with 500 or fewer number of cases revealed that null parity was not
associated with increased all-cause mortality compared with a parity level of one or more live births. Both women
and men with one live birth had higher risk of all-cause mortality than those with two live births. However, the
same pattern was not found among Germans and Americans, studies with quality scores below 8 points, and
studies with 10,000 or fewer participants. Participants with five or more live births had increased all-cause death
compared with those with two live births, except for Norwegians or studies with follow-up duration longer than
15 years.i y
Statistical heterogeneity in all-cause mortality comparisons between one and two live births and between five
or more and two live births were mainly from studies performed in Norway and Israel. When Norwegian studies
were excluded, similar findings with reduced statistical heterogeneity were observed. www.nature.com/scientificreports/ www.nature.com/scientificreports/ Authors,
year
Coun-
try
Sex,
age
Follow-up
period
Follw-up
length
Case/subject
Parity
Adjustment variables
Exposure
assessment
Outcome
assessment
Quality
score
Yasuda
et.al.,
1997
(25)
USA
Wom-
en 65y
1984–1988
5
149/806
0,1–2,3+
Perceived health status, activities of daily
living impairment, number of chronic
conditions, and years of education
Interviewer
administered
question-
naire
During
follow-up
7
Lund et. al., 1990
(20)
Nor-
way
Wom-
en
25–84y
1970–1985
16
112,023/822,593
0,1+
Unadjusted
Self-admin-
istered ques-
tionnaire
Death
record from
the Central
Population
Register of
the Central
Bureau of
Statistics
6
Kotler et. al., 1989
(19)
USA
Men
35–64y
1965–1982
18
342/1,731
0,1–3,4+
Age, marital status, parenthood
Self-admin-
istered ques-
tionnaire
Death
record from
the Califor-
nia Death
Registry
7
Table 1. Characteristics of cohort studies of Parity and All-cause mortality included in the Meta-Analysis. Abbreviations: BMI, body mass index. Authors,
year
Coun-
try
Sex,
age
Follow-up
period
Follw-up
length
Case/subject
Parity
Adjustment variables
Exposure
assessment
Outcome
assessment
Quality
score
Yasuda
et.al.,
1997
(25)
USA
Wom-
en 65y
1984–1988
5
149/806
0,1–2,3+
Perceived health status, activities of daily
living impairment, number of chronic
conditions, and years of education
Interviewer
administered
question-
naire
During
follow-up
7
Lund et. al., 1990
(20)
Nor-
way
Wom-
en
25–84y
1970–1985
16
112,023/822,593
0,1+
Unadjusted
Self-admin-
istered ques-
tionnaire
Death
record from
the Central
Population
Register of
the Central
Bureau of
Statistics
6
Kotler et. al., 1989
(19)
USA
Men
35–64y
1965–1982
18
342/1,731
0,1–3,4+
Age, marital status, parenthood
Self-admin-
istered ques-
tionnaire
Death
record from
the Califor-
nia Death
Registry
7
Table 1. Characteristics of cohort studies of Parity and All-cause mortality included in the Meta-Analysis. Abbreviations: BMI, body mass index. No. of
study
Model
selected
Pooled
RR
95% CI
P* value
Egger
Begg
I2 (%)
P† value
P‡ value
0 vs. 1+
17
Random
1.19
1.03–1.38
< 0.001
96.7
0.001
0.012
0 vs. 2
15
Fixed
1.17
1.14–1.20
0.127
30.3
0.215
0.843
1 vs. 2
16
Random
1.15
1.09–1.20
< 0.001
79.5
0.521
0.620
3 vs. 2
12
Fixed
0.99
0.97–1.01
0.124
33.3
0.510
1.000
4 vs. 2
8
Random
1.04
0.99–1.09
< 0.001
75.9
0.260
0.386
5+ vs. 2
8
Random
1.12
1.03–1.21
< 0.001
91.6
0.036
0.536
Table 2. Meta-analysis of parity and all-cause mortality. Abbreviations: CI, confidence interval; RR, relative
risk. *P value for heterogeneity. †P value for Egger’s test. ‡P value for Begg’s test. Table 1. Results al., 2004
(17)
Bang-
ladesh
Men
45–90y
women
45–71y
1982–1998
17
Men 4,394/14,803
women
1,939/20,383
0–2,3–5,6–
8,9–11,12+
Age, time period, religion, education, occu-
pation, area of residence, marital status
Interviewer
administered
question-
naire
Death
record from
the Health
and De-
mographic
Surveillance
System
9
Wal-
ter-Gin-
zburg et. al., 2002
(24)
Israel
Wom-
en Men
75y
1989–1997
9
813/2,400
0,1,2,3,4+
Unadjusted
Interviewer
administered
question-
naire
Death
record from
the National
Death
Registry
7
Cooper
et.al.,
2000
(15)
USA
Wom-
en
63–81y
1990–1991
2
108/718
0,1–2,3–4,5+
Age, smoking, use of estrogen replacement
therapy, age at menopause, surgical
Self-admin-
istered ques-
tionnaire
During
follow-up
6
Continued Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 3 Discussion In this meta-analysis, the association between parity and all-cause mortality was investigated. Evidence of a non-
linear dose-response association between parity and all-cause mortality was found. Increased number of parity
was associated with decreased risk of all-cause mortality, and the lowest risk reduction for all-cause mortality
was observed among subjects with three to four live births. In addition, subgroup analysis revealed that statistical
heterogeneity was affected mainly by the study locations.h g
yf
y y
y
The exact biological mechanisms underlying the nonlinear dose-response association between parity and risks
of all-cause death in humans have not been fully understood. For men, the declining trend of nonlinear associa-
tion of total death risk with increasing number of parity may be explained by parity-related habits and behaviors. It has been reported that participants with at least one live birth are more likely to have healthy behaviors, such as
smoking less, drinking less, and exercising more compared with those with no live birth2,4,9. Such healthy behav-
iors may contribute to the reduced total mortality observed among the former compared to the latter. Another
possible explanation is the decreased risk of death from respiratory diseases and cancers among both males and
females6. As for women, the physical changes related to reproduction may play an important role in reducing all-cause
mortality. It is well-known that the serum estrogen levels of women can be elevated during pregnancy. In addi-
tion, both in vitro and in vivo studies have suggested that endogenous estrogens may protect women from pan-
creatic cancer, which is one of the leading causes of cancer-related deaths26,27. Experiments in rats have shown
that estrogen inhibits the growth of preneoplastic pancreatic lesions and transplanted pancreatic carcinoma28,29. Additionally, parity is inversely associated with the risk of breast cancer among women30. Possible mechanisms
for this include change in gene expression levels, variation in estrogen sensitivity, and change in the reaction of
stem cells to estrogen31. g
However, dose-response meta-analysis revealed that the total mortality risk was not further reduced by high
parity (e.g., six or more live births). For men, people with high parity possibly have lower socioeconomic status,
and risk of death is consequently higher because of poor access to healthcare services1. www.nature.com/scientificreports/ Statistical heterogeneity
among all-cause mortality comparisons between four live births and two live births came mainly from studies
in Norway and Japan. Studies conducted in Israel and Norway were the main sources of statistical heterogeneity
among all-cause mortality comparisons between null parity and one or more live births. No evidence of signifi-
cant statistical heterogeneity was observed after these studies were excluded. In addition, the pooled RR was not
significantly altered. Dose-response association between parity and all-cause mortality. Eleven articles were included
in our dose-response meta-analysis. Statistically significant evidence of non-linear association was found between
parity and all-cause mortality (P = < 0.0001 for non-linearity; Fig. 4). Compared with null parity, the pooled RRs
of all-cause mortality were 0.98 (95% CI = 0.97–0.99) for one live birth, 0.97 (95% CI = 0.95–0.98) for two live
births, 0.96 (95% CI = 0.94–0.98) for three live births, 0.96 (95% CI = 0.95–0.98) for four live births, 0.98 (95%
CI = 0.96–0.99) for five live births, 0.99 (95% CI = 0.97–1.01) for six live births. The lowest risk reduction for
all-cause mortality (0.96) was observed for 3–4 live births. In sensitivity analysis, we excluded categories of more
than five live births2. The nonlinear association between parity and all-cause mortality was not materially changed
after excluding the categories with parity number greater than 5 (P < 0.0001 for non-linearity). Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 4 www.nature.com/scientificreports/ Figure 2. Pooled risk estimate for all-cause mortality among participants with no live birth compared with
participants with one or more live births. Figure 2. Pooled risk estimate for all-cause mortality among participants with no live birth compared with
participants with one or more live births. Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 Discussion “Antagonistic pleiotropy”
and “disposable soma” theories derived from experiments on both male and female Drosophila melanogaster
describe a trade-off between reproductive and somatic maintenance and suggest that parity may be associated
with increased risk of death10–13. For women, besides the socioeconomic factors mentioned above, other factors
during pregnancy may increase the risk of death. High-parity-related all-cause death risk is proposed to be related
to increased risk of cardiovascular diseases among women. Pregnancy may result in perturbations in carbohy-
drate metabolism in women, leading to decreased glucose tolerance, increased insulin secretion, and insulin
resistance1. Such changes increase the mortality caused by cardiovascular diseases. A prospective cohort study of
12,055 women in Finland showed that increased total mortality in high-parity groups was mainly attributed to
increased mortality associated with cardiovascular diseases5. In addition, physical and psychological stress arising
from pregnancy and childbearing may also increase the risk of death, especially among people with high parity
(e.g., six or more live births)16. ( g
)
Our dose-response meta-analysis suggested that a J-shaped nonlinear association exists between parity and
all-cause mortality in both women and men, which is consistent with previous studies1,4,5,20. Some results of
subgroup analysis were inconsistent with those of non-stratified analysis possibly due to low quality and/or Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 5 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 3. Pooled risk estimates for all-cause mortality among participants with zero (a), or one (b), or three
(c), or four (d) or five or more (e) live births compared with participants with two live births. Figure 3. Pooled risk estimates for all-cause mortality among participants with zero (a), or one (b), or three
(c), or four (d) or five or more (e) live births compared with participants with two live births. small sample size of the studies involved. For example, there were only two reports about all-cause mortality for
Germans with one live birth compared to those with two. Subgroup analysis on such studies should be prevented
because of limited data.h small sample size of the studies involved. For example, there were only two reports about all-cause mortality for
Germans with one live birth compared to those with two. Subgroup analysis on such studies should be prevented
because of limited data.h The observed statistical heterogeneity among studies could be attributed mainly to the diversity of study
locations. Studies on Norwegians, Israelites, and Japanese showed large statistical heterogeneity. The larger pro-
portions of higher-order planned births in more recent Norwegian cohorts because of higher availability of con-
traception, legal abortion, and “family friendly” policies than in earlier Norwegian studies may be a plausible
reason for the large statistical heterogeneity observed among Norwegian studies2. In Israel, parity is related to reli-
gious belief, i.e., a large family size is a marker of religiousness, which may explain the large proportions of high
parity in Israel compared with other countries. Thus, different proportions of parity arising from religious, social
or cultural factors may be another reason for the statistical heterogeneity observed among studies. The declining
fertility rate of Japan22 may also have contributed to the statistical heterogeneity observed here. y
p
y
g
y
Our study has several strengths. First, most studies included in the analysis were cohort studies of large sample
sizes and with long follow-up durations. This significantly minimized selection bias and considerably increased
statistical power to detect potential association between parity and all-cause mortality. Second, subgroup and Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 6 www.nature.com/scientificreports/ Study Characteristic
No. of study
Model selected
RR
95% CI
P* value
I2 (%)
0 vs. Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 www.nature.com/scientificreports/ of study
Model selected
RR
95% CI
P* value
I2 (%)
Sex
Women
6
Random
1.12
1.02–1.23
< 0.001
84.7
Men
2
Fixed
1.01
1.00–1.02
< 0.001
96.8
Duration of follow-up
> 15
5
Random
1.10
0.99–1.15
< 0.001
86.1
< = 15
3
Fixed
1.21
1.16–1.28
0.264
25.0
Table 3. Stratified analysis on association of parity and all cause mortality. Abbreviations: C Table 3. Stratified analysis on association of parity and all cause mortality. Abbreviations: CI, confidence
interval; RR, relative risk. *P value for heterogeneity. Table 3. Stratified analysis on association of parity and all cause mortality. Abbreviations: CI, confidence
interval; RR, relative risk. *P value for heterogeneity. Table 3. Stratified analysis on association of parity and all cause mortality. Abbreviations: CI, confidence
interval; RR, relative risk. *P value for heterogeneity. Figure 4. Results of dose-response analyses of parity and all-cause mortality. Parity was modeled with
restricted cubic splines in a multivariate random-effects dose-response model. Null parity served as the
reference group. The RRs are plotted on the log scale. Dashed lines represent 95% CIs for the spline model. Figure 4. Results of dose-response analyses of parity and all-cause mortality. Parity was modeled with
restricted cubic splines in a multivariate random-effects dose-response model. Null parity served as the
reference group. The RRs are plotted on the log scale. Dashed lines represent 95% CIs for the spline model. sensitivity analyses were used to investigate the source of statistical heterogeneity observed in our findings in
great detail. Third, the previous meta-analysis14 shown a non-linear association between parity and all-cause
mortality through a parsimonious regression model while did not report the 95% confidence intervals of haz-
ard ratios; and in our study a dose-response meta-analysis was performed to quantitatively assess the associ-
ation between parity and all-cause mortality and calculate hazard ratios with their 95% confidence intervals. Furthermore, in the previous meta-analysis14 the risk ratios were stratified by the number of covariates, while
in this study the dose-response association was modeled after adjustment for many covariates, improving the
precision and accuracy of our findings. i
Our study has several limitations that should be addressed. First, non-marital birth or childbirth in previous
marriage may be misclassified as null parity. This may have caused underestimation of the level of parity-related
all-death risk. www.nature.com/scientificreports/ 1+
17
Random
1.19
1.03–1.38
< 0.001
96.7
Country
Israel
5
Random
1.34
1.11–1.61
< 0.001
80.0
USA
6
Fixed
1.13
1.05–1.21
0.703
0.0
Netherlands
2
Fixed
0.96
0.89–1.03
0.051
73.8
Japan
2
Fixed
1.07
0.99–1.15
0.805
0.0
Sex
Women
11
Random
1.25
1.04–1.50
< 0.001
96.8
Men
5
Random
1.13
1.03–1.24
0.041
59.9
Quality score
> = 8
9
Random
1.21
1.10–1.33
< 0.001
80.2
< 8
8
Random
1.14
0.88–1.49
< 0.001
96.7
Duration of follow-up
> 15
6
Random
1.14
0.87–1.50
< 0.001
98.3
< = 15
11
Random
1.22
1.11–1.36
< 0.001
72.5
No. of participants
> 10,000
8
Random
1.32
1.11–1.58
< 0.001
96.7
< = 10,000
9
Random
1.06
0.96 –1.16
0.014
58.3
No. of cases
> 500
13
Random
1.20
1.02–1.41
< 0.001
97.4
< = 500
4
Fixed
1.14
0.98–1.32
0.585
0.0
1 vs. 2
16
Random
1.15
1.09–1.20
< 0.001
79.5
Country
USA
2
Fixed
1.10
0.98–1.22
0.808
0.0
Israel
5
Fixed
1.15
1.11–1.21
0.283
20.7
Norway
2
Random
1.25
1.14–1.37
0.001
90.9
UK
3
Fixed
1.06
1.02–1.09
0.745
0.0
Germany
2
Fixed
1.10
0.93–1.30
0.966
0.0
Japan
2
Fixed
1.14
1.08–1.21
0.670
0.0
Sex
Women
11
Random
1.14
1.06–1.23
< 0.001
84.9
Men
4
Fixed
1.17
1.14–1.20
0.113
49.8
Quality score
> = 8
14
Random
1.15
1.10–1.21
< 0.001
82.0
< 8
2
Fixed
1.10
0.98–1.22
0.818
0.0
Duration of follow-up
> 15
8
Random
1.13
1.04–1.23
< 0.001
89.5
< = 15
8
Fixed
1.15
1.11–1.19
0.561
0.0
No. of participants
> 10,000
12
Random
1.15
1.10–1.21
< 0.001
84.8
< = 10,000
4
Fixed
1.08
0.84–1.25
0.994
0.0
4 vs. 2
8
Random
1.04
0.99–1.09
< 0.001
75.9
Country
UK
3
Fixed
1.04
0.99–1.10
0.579
0.0
Norway
2
Random
0.97
0.92–1.03
0.085
66.3
Japan
2
Random
1.11
1.02–1.21
0.074
68.7
Sex
Women
6
Random
1.02
0.97–1.08
0.039
57.3
Men
2
Random
1.07
0.93–1.24
< 0.001
93.5
Duration of follow-up
> 15
5
Random
1.00
0.96–1.05
0.067
54.5
< = 15
3
Fixed
1.11
1.06–1.16
0.141
48.9
5+ vs. 2
8
Random
1.12
1.03–1.21
< 0.001
91.6
Country
UK
3
Fixed
1.14
1.09–1.21
0.496
0.0
Norway
2
Random
0.98
0.92–1.04
0.525
75.2 Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 7 www.nature.com/scientificreports/ Study Characteristic
No. www.nature.com/scientificreports/ As for studies not reporting the precise number of births, we utilized categories of number of chil-
dren for analysis in order to minimize misclassification. Additionally, biological parenthood and step-parenthood
were not described in detail and were reported separately, which may also have reduced the risk estimate. However, Keizer et al. reported that a small proportion of step-parenthood was included in the population
they studied, and that step-parenthood did not alter their findings on parity-related mortality among males9. Therefore, any effect of this limitation is likely to be minimal. Second, most of the studies involved in our analysis
adjusted for many covariates, but some did not adjust for important confounding factors such as socioeconomic
status, alcohol intake, smoking, education, chronic condition, and age at first birth. Third, most of the studies
focused on the elderly, which may have led to survivor bias and underestimation of association between parity
and all-cause mortality. Nevertheless, a 42-year follow-up cohort study1 suggested the presence of association
between parity and risk of death among all participants, which validates the inferences drawn in the current study. In conclusion, results of our meta-analysis suggest that an association exists between parity and all-cause
mortality. Low to moderate parity is associated with decreased risk of total death in both women and men. People
with 3–4 live births have the lowest risk of total death. More prospective studies that control for all major con-
founding factors as well as studies exploring the biological mechanisms underlying the effect of parity on death
risk are still needed. Literature search and selection. If no adjusted risk estimate was presented, we used the crude risk estimate. If
no risk estimate was reported, we calculated the crude risk estimate and its 95% CI using raw data provided with
the article. Quality assessment. Quality assessment was conducted according to the Newcastle–Ottawa quality assess-
ment scale33,34, which is a validated scale for cohort studies in meta-analysis. The highest score was 9, and scores
of 0–3, 4–6, and 7–9 indicated low, moderate, and high quality studies, respectively. Statistical analysis. In our meta-analysis, we used pooled RRs and their 95% CIs to measure the association
between parity and all-cause mortality. Any result stratified by age and sex was treated as a separate report. Statistical heterogeneity among studies was evaluated using Cochran’s Q test and I2 statistic35. I2 values of
25%, 50%, and 75% were assigned to low, moderate, and large statistical heterogeneities, respectively35. The fixed
effect model was adopted when I2 was < 50%, whereas the random effect model was used when I2 was ≥ 50%36. To
determine the source of statistical heterogeneity, we conducted subgroup analyses stratified by study location, sex,
duration of follow-up (in years), size of cohort, and study quality.f For dose-response analysis, we used the two-stage random-effect dose-response meta-analysis method pro-
posed by Greenland and Longnecker37–40 to determine the potential curve linear association between parity and
all-cause mortality. This analysis was done by modeling parity using restricted cubic splines with three knots at
10%, 50%, and 90% percentiles of the distribution39,41. First, a restricted cubic spline model with two spline trans-
formations (three knots minus one) was fitted in consideration of the correlation within each set of published
RR40. Second, the restricted maximum likelihood method was used to combine the specific estimates of each
study in the multivariate random effect meta-analysis42. An overall P value was calculated by testing whether the
two regression coefficients were simultaneously equal to zero. A null hypothesis stating that coefficient of the sec-
ond spline is equal to zero was created to test the non-linearity. Original parity levels reported in each study were
used in the dose-response analysis. If parity intervals were provided, the midpoint between the lower and upper
bounds of parity interval was regarded as the corresponding parity dose. Literature search and selection. Literature search and selection. Studies published before 24 April 2015 were searched in the PubMed
and Embase databases. The search was limited to studies carried out in humans, and the following key words and
Medical Subject Headings were used: (“parity” or “number of live birth” or “number of children” or “parities” or
“number of deliveries” or “number of living birth” or “number of live births” or “number of livebirth” or “number
of kids” or “number of kid”) AND (“mortality” or “death” or “mortalities” or “dying” or “death rate” or “death 8 Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 www.nature.com/scientificreports/ rates” or “fatality rate” or “fatality rates” or “rate death” or “rates death” or “deaths”). To find additional references,
we manually searched the bibliographies of all retrieved studies and selected all relevant publications. Only stud-
ies published in English were included. The following were excluded: conference literature, unpublished literature,
and gray literature produced at all levels of government, academics, business, and industry in print and electronic
formats, but not controlled by commercial publishers32. y
p
Published studies were included in the meta-analysis if they met the following criteria: 1) the study was either
prospective or had a historical cohort study design; 2) parity was the subject of interest; 3) the outcome was
all-cause mortality; 4) the investigators reported relative risk (RR), hazard ratio (HR), or odds ratio (OR) and
the corresponding 95% confidence intervals (CIs) for each parity category. If multiple publications had the same
population as subjects, we included the most recent and most complete study. Two independent investigators (YZ
and ZN) conducted initial screening of all titles or abstracts and then evaluated all potentially relevant articles
based on full-text reviews. Data extraction. Two investigators (SL and XG) independently performed eligibility evaluation, data extrac-
tion, and quality assessment of each eligible study. All disagreements were discussed and resolved by consensus. The following data were extracted from each study: surname of the first author, publication year, study location,
sex, and age range of the studied population, duration (in years) of follow-up, number of deaths, size of cohort,
parity assessment, outcome assessment, parity category, RR or HR or OR and the 95% CI for each parity category,
and factors adjusted in the report. If multiple estimates of the association were available, we extracted the estimate
and adjusted for most covariates. Literature search and selection. In cases that involve an open-ended
upper interval, we assumed that the category exhibited the same amplitude as the adjacent interval7,43.li Moreover, sensitivity analyses were conducted to examine the influence of specific studies or high parity
categories on overall RRs by excluding specific studies or data points with parity level above five live births. Publication bias was evaluated by conducting Egger’s and Begg’s regression tests44,45. The STATA software (version
11.0; Stata Corporation, College Station, Texas, USA) was used to conduct all statistical analyses. All tests were
two-sided with a significance level of 0.05. References 1. Dior, U. P. et al. Association between number of children and mortality of mothers: Results of a 37-year follow-up study. Ann
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Funds for the Central Universities (Grant nos. 2011QN202 and 2014TS048), Health and Family Commission of
Wuhan Municipality (Grant no. WG15D20) and Wuhan Jiangan District Science and Technology Bureau (Grant
no. 2014111904). The work was funded by the National Science Foundation of China (Grant no. 81573235), Fundamental Research
Funds for the Central Universities (Grant nos. 2011QN202 and 2014TS048), Health and Family Commission of
Wuhan Municipality (Grant no. WG15D20) and Wuhan Jiangan District Science and Technology Bureau (Grant
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45. Egger, M. D., S., G., Schneider, M. & Minder, C. Bias in meta-analysis detected by a simple, graphical test. BMJ. 315, 629–634 (1997). Author Contributions Y.Z. and Q.W. designed research; Y.Z. and Z.N. conducted research; S.L. and X.G. analyzed data; Y.Z., Q.H.,
J.L. and Q.W. wrote the draft; All authors read, reviewed and approved the final manuscript. Q.W. had primary
responsibility for final content. Y.Z. and Q.W. designed research; Y.Z. and Z.N. conducted research; S.L. and X.G. analyzed data; Y.Z., Q.H.,
J.L. and Q.W. wrote the draft; All authors read, reviewed and approved the final manuscript. Q.W. had primary
responsibility for final content. Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 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/ Additional Informationi Additional Information
Competing financial interests: The authors declare no competing financial interests. Competing financial interests: The authors declare no competing financial interests. Competing financial interests: The authors declare no competing financial interests. Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 10 www.nature.com/scientificreports/
How to cite this article: Zeng, Y. et al. Parity and All-cause Mortality in Women and Men: A Dose-Respons
Meta-Analysis of Cohort Studies. Sci. Rep. 6, 19351; doi: 10.1038/srep19351 (2016). This work is licensed under a Creative Commons Attribution 4.0 International License. The im
or other third party material in this article are included in the article’s Creative Commons lic
unless indicated otherwise in the credit line; if the material is not included under the Creative Commons lic
users will need to obtain permission from the license holder to reproduce the material. To view a copy o
license, visit http://creativecommons.org/licenses/by/4.0/ tificreports/
How to cite this article: Zeng, Y. et al. Parity and All-cause Mortality in Women and Men: A Dose-Response
Meta-Analysis of Cohort Studies. Sci. Rep. 6, 19351; doi: 10.1038/srep19351 (2016). 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/ www.nature.com/scientificreports/ How to cite this article: Zeng, Y. et al. Parity and All-cause Mortality in Women and Men: A Dose-Response
Meta-Analysis of Cohort Studies. Sci. Rep. 6, 19351; doi: 10.1038/srep19351 (2016). 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/ Scientific Reports | 6:19351 | DOI: 10.1038/srep19351 11
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Analysis on Interfacial Performance of CFRPConcrete with Different Thickness of Adhesive Layer and CFRP Plate
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MATEC web of conferences
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MATEC Web of Conferences 142, 02001 (2018)
ICMAE2017 MATEC Web of Conferences 142, 02001 (2018)
ICMAE2017 https://doi.org/10.1051/matecconf/201814202001 © 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/). Analysis on Interfacial Performance of CFRP-
Concrete with Different Thickness of Adhesive
Layer and CFRP Plate
Qingyong Guo1 *, Huijian Zhao1, Lei Chen1, Jize Mao1, and Wensong Zhang2
1College of Aerospace and Civil Engineering, Harbin Engineering University,Harbin 150001, China
2General Research Institute for Nonferrous Metals, Beijing 100088, China Abstract. The bond behavior of CFRP-concrete interface is the analysis
foundation for concrete structures with external strengthening CFRP. In the
paper, the influences of the thickness of CFRP plate and adhesive layer on
interfacial adhesive properties are investigated through the finite element
program. The influence rules of the thickness on the interfacial ultimate
bearing capacity and the effective bond length are performed.The results
show that the thickness of adhesive layer and CFRP plate has a significant
effect on the interfacial performance of CFRP-concrete. * Corresponding author: qingyong622@126.com 2.2 Constitutive model of interface element Based on the analysis of nonlinear fracture mechanics, it can be seen that the bearing
capacity of CFRP- concrete interface is related to the fracture energy of interface, and it is
independent of the shape of bond slip curve[7]. Because the bilinear model is simple in
form, it is easy to be used in finite element simulation. The bilinear model has three
important parameters, namely, the initial shear stiffness of interface(
0
K ), the maximum
shear stress at interface(
max
) and the interfacial fracture energy(
f
G ). Interfacial initial shear stiffness can be expressed as Interfacial initial shear stiffness can be expressed as max
0
0
K
s
(1) (1) Where,
0s is the corresponding relative slip of the maximum shear stress. Interfacial fracture energy can be expressed as Where,
0s is the corresponding relative slip of the maximum shear stress. Interfacial fracture energy can be expressed as max
1
2
f
f
G
s
(2) max
1
2
f
f
G
s
(2) (2) Where,
fs is the maximum slip of the interface. Where,
fs is the maximum slip of the interface. 1 Introduction In recent years, the strengthening of building structure has become the focus of attention. At present, the commonly used reinforcement methods are increasing the old section
method, cladding steel method, carbon fiber (Carbon Fiber, Reinforced, Polymer, referred
to as CFRP) reinforcement method. Carbon fiber reinforcement has attracted wide attention
due to its superior tensile and durability properties. Therefore, the study on interfacial
properties of CFRP-concrete plays an important role in analysis on the performance of
CFRP reinforced concrete structures. At present, researchers in China and abroad have made a great deal of studies on the
interfacial performance of CFRP and concrete [1]. It is shown that the thickness of CFRP
plate and interface adhesive layer have great influences on the interfacial bond behavior of
CFRP-concrete. Otherwise, there arefew researches focus on the effects of the thickness of
interface adhesive layer on bonding properties for CFRP- concrete. Peng Hui etc. concluded that the increase of the adhesive layer thickness reduced the fatigue damage, and
the ultimate bearing capacity also increased [2]. Ma Tao etc. carried out single shear test
finding that the initial peel load increases with the thicker adhesive layer[3].It is found that
the layer thickness is one of the most important parameters for interfacial adhesive
properties of CFRP and concrete,and there are differences among existing conclusions. As
a result, there is need to do further study on it. The paper studies the influences of the
thickness of CFRP plate and adhesive layer on interfacial adhesive properties by dint of the
numerical analysis. The influence rules of the thickness on the interfacial ultimate bearing MATEC Web of Conferences 142, 02001 (2018)
ICMAE2017 https://doi.org/10.1051/matecconf/201814202001 capacity and the effective bond length are performed. Some conclusions have been drawn
finally. capacity and the effective bond length are performed. Some conclusions have been drawn
finally. 2.1 Plastic damage constitutive model of concrete The plastic damage model of ABAQUS is used for concrete. The model is based on the
Lubliner[4] and Lee and Fenves[5] models. The model expresses the inelastic behavior of
concrete materials using an isotropic damage elasticity combined with an isotropic tensile
and compressive plastic model. The model considers the degradation of elastic tensile and
compression stiffness strain caused by plastic strain. It can simulate the mechanical
properties of concrete, such as crushing and tension fracture, and is a plastic model based
on continuous medium[6]. 3 Finite element model At present, the methods to analyze the interface performance of CFRP-concrete by using
finite element software can mainly be classified into two kinds. One is to divide concrete
and CFRP into the same size units in the process of building the finite element model. Common nodes are used to establish a connection between the concrete and CFRP board,
where the appropriate constitutive model of concrete is selected. The process of CFRP-
concrete interfacial debonding is reflected by the cracking ofconcrete on the interface. The second method is to transform the nonlinear problem of concrete cracking at the
interface into the failure of the interface element. It not only saves the computing cost, but
also will consider the effect of adhesive thickness on the interfacial properties of CFRP-
concrete. Therefore, the paper introduces the method of introducing special interface unit
between CFRP plate and concrete. Fig. 1 is the geometrical size and load position of the
model. Fig. 1. FRP-to-concrete bonded joints model
250
150
50
Concrete
50
F
CFRP plate Fig. 1. FRP-to-concrete bonded joints model
250
150
50
Concrete
50
F
CFRP plate Fig. 1. FRP-to-concrete bonded joints model
Table 1. Material performance index [8]
Material
Project
Parameter
CFRP plate
Elastic modulus
165000 MPa
Tensile strength
2461 MPa
Elongation
1.71%
Epoxy resin
Elastic modulus
2627 MPa
Tensile strength
31.7 MPa
Elongation
1.5%
Concrete
Strength
38.5MPa
The width, height and length of the concrete specimen are 150mm, 150mm and
300mm separately. The width of CFRP plate is 50mm, the bond length is 200mm, and the
250
150
50
Concrete
50
F
CFRP plate odel
250
150
50
Concrete
50
F
CFRP plate Fig. 1. FRP-to-concrete bonded joints model Fig. 1. FRP-to-concrete bonded joints model Table 1. Material performance index [8]
Material
Project
Parameter
CFRP plate
Elastic modulus
165000 MPa
Tensile strength
2461 MPa
Elongation
1.71%
Epoxy resin
Elastic modulus
2627 MPa
Tensile strength
31.7 MPa
Elongation
1.5%
Concrete
Strength
38.5MPa Table 1. Material performance index [8] Table 1. Material performance index [8] Table 1. Material performance index [8]
Material
Project
Parameter
CFRP plate
Elastic modulus
165000 MPa
Tensile strength
2461 MPa
Elongation
1.71%
Epoxy resin
Elastic modulus
2627 MPa
Tensile strength
31.7 MPa
Elongation
1.5%
Concrete
Strength
38.5MPa Table 1. Material performance index [8] The width, height and length of the concrete specimen are 150mm, 150mm and
300mm separately. 2.3 The interface bond slip model Many researchers obtained different interface bond slip models through experimental study. Here Ueda et al. modelis adopted for simulation which considers more factors. It is
expressed as follows,
2
2
Bs
Bs
f
BG
e
e
(3)
max
0.5
f
BG
(4)
0
0.693
s
B
(5) (3) (4) (5) 2 MATEC Web of Conferences 142, 02001 (2018)
ICMAE2017 https://doi.org/10.1051/matecconf/201814202001
0.108
0.833
6.846
/
/1000
f
f
a
a
B
E t
G
t
(6)
0.023
0.352
0.236
0.446
/
/1000
f
f
f
a
a
c
G
E t
G
t
f
(7) (6) (7) Where,
f
E is the elastic modulus of the FRP plate,
ft
is the thickness of the CFRP plate,
and
a
G
is the shear modulus of the adhesive layer, and
at is the thickness of the adhesive
layer, s is the local slip,
cf
is the compressive strength of concrete. Where,
f
E is the elastic modulus of the FRP plate,
ft
is the thickness of the CFRP plate,
and
a
G
is the shear modulus of the adhesive layer, and
at is the thickness of the adhesive
layer, s is the local slip,
cf
is the compressive strength of concrete. The width, height and length of the concrete specimen are 150mm, 150mm and
300mm separately. The width of CFRP plate is 50mm, the bond length is 200mm, and the 3 Finite element model The width of CFRP plate is 50mm, the bond length is 200mm, and the 3 MATEC Web of Conferences 142, 02001 (2018)
ICMAE2017 https://doi.org/10.1051/matecconf/201814202001 loading end has 50mm from nonbonding zone. In the paper, the concrete model is made of
solid element, and the element type is chosen as the C3D8R unit with 3D eight nodes which
are reduced integration element. In the entire model from stress to failure, CFRP are in the
small strain condition. For convergence and convenience of the model, the CFRP plate can
regard as a linear elastic material. It does not distinguish between fiber and resin, and uses
the equivalent elastic modulus for modeling. The adhesive layer takes COH3D8 unit as
cohesive element with 3D eight nodes. The material parameters which are used for the
model are shown in table 1. Parameters of specimen and ultimate bearing capacity
calculated are shown in table 2. Table 2. Parameters of specimens and numerical ultimate bearing capacity
Specimen
number
CFRP plate
thickness
(mm)
Adhesive
layer
thickness
(mm)
Interface
initial
stiffness
(MPa/mm)
Maximum
shear stress
(MPa)
Interfacial
failure
energy
(J)
Numerical
ultimate
bearing
capacity(kN)
F1-1
1
1
119.71
6.69
1080
33.55
F1-2
1
2
48.15
4.80
1378
34.22
F1-3
1
3
28.26
3.95
1590
32.67
F1-4
1
4
19.37
3.44
1759
29.88
F1.4-1
1.2
1
129.74
6.99
1088
39.11
F1.4-2
1.2
2
52.18
5.01
1389
39.09
F1.4-3
1.2
3
30.63
4.12
1602
35.98
F1.4-4
1.2
4
20.99
3.59
1773
32.45
F2-1
2
1
141.28
7.33
1097
46.66
F2-2
2
2
56.83
5.25
1400
44.50
F2-3
2
3
33.35
4.32
1615
39.43
F2-4
2
4
22.86
3.76
1787
34.80 Table 2. Parameters of specimens and numerical ultimate bearing capacity 5 Summary In the paper, the numerical analysis had been carried out on interfacial performance of
CFRP-concrete with the CFRP plate thickness 1mm, 1.4mm, 2mm and adhesive thickness
1mm, 2mm, 3mm and 4mm, the following conclusions are obtained: g
1)The thicknesses of adhesive layer and CFRP plate have a significant effect on the
interfacialperformance of CFRP-concrete. 2)The ultimate bearing capacity of the interface increases generally as the thickness of
the adhesive layer decreases and as the thickness of the CFRP plate increases. Its maximum
value can be obtained when the plate thickness is around 2.0mm and adhesive layer
thickness is around 1.5mm 2)The ultimate bearing capacity of the interface increases generally as the thickness of
the adhesive layer decreases and as the thickness of the CFRP plate increases. Its maximum
value can be obtained when the plate thickness is around 2.0mm and adhesive layer
thickness is around 1.5mm 3)The increase of the thickness of adhesive layer and CFRP plate leads to the increase
of the interfacial effective bond length evidently. 3)The increase of the thickness of adhesive layer and CFRP plate leads to the increase
of the interfacial effective bond length evidently. This research was financially supported by Natural Science Foundation of Heilongjiang Province of
China(NO:E201415) and the Fundamental Research Funds for the Central Universities of China
(No.GK2020260143). This research was financially supported by Natural Science Foundation of Heilongjiang Province of
China(NO:E201415) and the Fundamental Research Funds for the Central Universities of China
(No.GK2020260143). (No.GK2020260143). MATEC Web of Conferences 142, 02001 (2018)
ICMAE2017 https://doi.org/10.1051/matecconf/201814202001 Fig. 3 exhibits the variation of strain values on the CFRP plate with ultimate bearing
capacity. It is demonstrates that the maximum strain in the plates decrease as the thickness
of plate increases.Fig. 3(a) shows that the maximum strain of the four specimens has little
difference when the thickness of the CFRP plate is 1mm. The flat segments on the strain
curve mean that the bond length of the two specimens is greater than the effective bond
length when tf=1mm and tf=2mm. It explains why the trend of the interfacial ultimate
bearing capacity goes flatly when tf≤2mm. In Fig.3(c), the maximum strain of the four
curves decreases with the increase of the adhesive layer, and only the curve with the
adhesive layer of 1mm has a horizontal section. The above results show that the increase of
the adhesive layer thickness leads to the increase of the interfacial effective bond length. y
g
Fig. 4 gives the strain distribution of the CFRP plates with different thickness. The
lengths of flat segment are 50mm, 45mm and 30mm for ta=1mm, ta=1.2mm and ta=1.4mm
respectively shown in Fig. 4(a). It indicates that the effective bond lengths of the three
specimens are 150mm, 155mm and 170mm respectively when tf=1mm. Fig. 4(b) and Fig. 4(c) show that lengths of the flat segments become short and disappear finally. It is found
that the effective bond length increases with the increase of plate thickness. This
corresponds to the trend of the curve in Fig. 2. y
g
Fig. 4 gives the strain distribution of the CFRP plates with different thickness. The
lengths of flat segment are 50mm, 45mm and 30mm for ta=1mm, ta=1.2mm and ta=1.4mm
respectively shown in Fig. 4(a). It indicates that the effective bond lengths of the three
specimens are 150mm, 155mm and 170mm respectively when tf=1mm. Fig. 4(b) and Fig. 4(c) show that lengths of the flat segments become short and disappear finally. It is found
that the effective bond length increases with the increase of plate thickness. This
corresponds to the trend of the curve in Fig. 2. 4 Results analysis and discussion 4 Results analysis and discussion
4.1 Analysis of ultimate bearing capacity
(a)
(b) ity 4.1 Analysis of ultimate bearing capacity y
g
p
(a) (b) (a) 4 https://doi.org/10.1051/matecconf/201814202001 MATEC Web of Conferences 142, 02001 (2018)
ICMAE2017 (c)
Fig. 2. Ultimate bearing capacity of interface with different thickness of adhesive layer and CFRP (c) (c) Fig. 2. Ultimate bearing capacity of interface with different thickness of adhesive layer and CFRP In Fig. 2 and table 2, it is shown that the thickness of the adhesive layer and CFRP plate
have a great influence on the interfacial ultimate bearing capacity. The ultimate bearing
capacity of the interface increases generally as the thickness of the adhesive layer decreases
and as the thickness of the CFRP plate increases.Fig. 2(a) shows that the ultimate bearing
capacity of 1mm CFRP plate increases firstly and then decreases with the increase of the
adhesive layer thickness, and reaches the maximum around 2.0mm. However, it is almost
flat for 1.4mm CFRP plate and goes down for 2.0mm CFRP plate. Fig. 2 (b) shows that the ultimate bearing capacity increases with the increase of the
plate thickness.When the adhesive layer thickness is 1mm and 2mm, the interfacial ultimate
bearing capacity increases with the increase of the plate thickness, which is obviously
greater than that of the adhesive layer at 3mm and 4mm. Its maximum value can be
obtained when the plate thickness is around 2.0mm and adhesive layer thickness is around
1.5mm as shown in Fig. 2 (c). 4.2 Distribution of strain in CFRP plates and adhesive layers
(a) ta=1mm
(b) ta=1.4mm
(c) ta=2mm
Fig.3. Strain distribution in CFRP plates
(a)tf=1mm
(b) tf=2mm
(c) tf=4mm
Fig.4. Strain distribution in adhesive layers 4.2 Distribution of strain in CFRP plates and adhesive layers
(a) ta=1mm
(b) ta=1.4mm
(c) ta=2mm 4.2 Distribution of strain in CFRP plates and adhesive layers in CFRP plates and adhes
(b) ta=1.4mm ive layers
(c) ta=2mm (a) ta=1mm (b) ta=1.4mm (a) ta=1mm (c) ta=2mm Fig.3. Strain distribution in CFRP plates Fig.3. Strain distribution in CFRP plates plates
(b) tf=2mm (c) tf=4mm g
(a)tf=1mm (a)tf=1mm (c) tf=4mm (b) tf=2mm Fig.4. Strain distribution in adhesive layers 5 5 MATEC Web of Conferences 142, 02001 (2018)
ICMAE2017 References 1. Guo Zhanggen, Sun Weimin, Zhen Zhen. Journal of Nanjing University of Technology
(Family Science Edition). 28,37 (2006) 2. Peng Hui, Gao Yong, Xie Chao, et al. Experimental mechanics. 29,489 (2014) 3. Ma Tao, Pan Jinlong, Wei Hongli. Building Structure. 19,15 (2013) 4. Lubliner J, Oliver J, Oller S, et al. International Journal of Solids and Structures. 25,299 (1989) 5. Lee J, Fenves G L. Journal of Engineering Mechanics. 124,892 (1998) 6. ABAQUS analysis user’s manual v6.14 (ABAQUSInc, 2014) 7. Täljsten B. Springer (2014) 8. Peng Hui, Gao Yong, Xie Chao, et al. Experimental mechanics. 29,489 (2014) 6
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Powerful wind kills hundreds of birds
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Biodiversity Observations (2023) 13: 301-305 Biodiversity Observations (2023) 13: 301-305 Tippett & Underhill: Extreme weather and birds Abstract At 01h00 on 26 September 2022, on the farm Rietaar (30.82°S,
22.37°E), near Carnarvon in the Northern Cape, South Africa, a wind
suddenly started blowing. Immediately after the wind arrived, birds
were flung from their roosts in farmyard trees and smashed against
the windows, walls and roof of the farmhouse. A gust of wind forced
open one of the farmhouse windows and many birds were driven into
the house; these included approximately six Cape Sparrows Passer
melanurus, 10 Red-billed Queleas Quelea quelea, two Wattled Star-
lings Creatophora cinerea, a Familiar Chat Oenanthe familiaris and a
Red-headed Finch Amadina erythrocephala. Many of these were re-
leased. The wind eased markedly after about one hour. Extreme weather events are predicted to occur with increasing fre-
quency as a result of global climate change. These extremes take
multiple forms. This note reports an abnormal weather event in which
winds, apparently Force 10 on the Beaufort Scale (90‒100 km/hour),
killed hundreds of birds at a farmhouse in the Karoo, South Africa. The wind was so strong that it removed birds from their roosts in trees
and flung them against the walls of the farmhouse with such force
that it killed them. There are no published accounts of comparable
events in southern Africa. Biodiversity and Development Institute, 25 Old Farm Road, Ron-
debosch 7700, South Africa
*les@thebdi.org Biodiversity and Development Institute, 25 Old Farm Road, Ron-
debosch 7700, South Africa
*les@thebdi.org There are documented examples in southern Africa of most catego-
ries of extreme weather-related events which impacted birds (Table
1). This short note describes an event which appears not to have
been previously described in this region, in which birds were killed as
a result of strong winds. Powerful wind kills hundreds of birds Ryan M Tippett & Les G Underhill
Tippett RM, Underhill LG 2023. Powerful wind kills hundreds of birds. Biodiversity Observations 13: 301–305. 18 December 2023
DOI: 10.15641/bo.1498 Ryan M Tippett & Les G Underhill Tippett RM, Underhill LG 2023. Powerful wind kills hundreds of birds. Biodiversity Observations 13: 301–305. 18 December 2023
DOI: 10.15641/bo.1498 Tippett & Underhill: Extreme weather and birds Biodiversity Observations (2023) 13: 301-305 placed along a continuum, from those which last a few minutes to
those which last months, years or even decades. Examples of ex-
treme events along this continuum, ordered by duration, include tor-
nados, hail storms, tropical storms, excessively hot days, overnight
freezing weather, hurricanes, floods, heavy snowfalls, heat waves
lasting days to a week and droughts. Many of these events are ex-
treme in the context of the season of the year in which they occur. Cli-
mate change, which underlies the short- and medium-term variability,
is associated with long term trends, generally of increasing tempera-
ture, decreasing precipitation and sea level rise. Although not a
weather event per se, sea level rise is associated with climate change
through the melting of ice in the polar ice caps and glaciers at all lati-
tudes. Powerful wind kills hundreds of birds Ryan M Tippett & Les G Underhill* Introduction At dawn, it was possible to examine the trail of destruction. A large
Pinus tree in the farmyard had been ripped out of the ground (Figure
1). There were no instruments to measure windspeed, but the uproot-
ed tree suggests that the wind was Force 10 on the Beaufort Scale, Pinus tree in the farmyard had been ripped out of the ground (Figure
1). There were no instruments to measure windspeed, but the uproot-
ed tree suggests that the wind was Force 10 on the Beaufort Scale, One of the predictions of global climate change is an increase in ex-
treme weather events (Cohen et al. 2021). Extreme events can be 301 Biodiversity Observations (2023) 13: 301-305 Tippett & Underhill: Extreme weather and birds t
Species impacted
Description
Reference
14 bird species
Air temperature reached 45°C during mid-afternoon on 8 November 2020 in northern
KwaZulu-Natal. 110 dead birds found were likely to be a small proportion of total. McKechnie et al. 2021
rge
African Oystercatcher
Haematopus moquini
Nests destroyed on Robben Island in unseasonal storm event. All 20 nests on the island
were lost on 17 February 2003. A similar event took place on 19 January 2022, when 38
nests were washed away. Calf & Underhill 2005;
Itxaso Quintana pers. comm. Red-headed Quelea Quelea
erythrops
Two days of rain and gale force winds in late December 1997 caused the queleas to de-
sert, although nests were intact. The colony was at Hayfields, Pietermaritzburg, KwaZulu-
Natal. Brown & Symes 2004
ther
Barn Swallow Hirundo rusti-
ca, Greater Striped Swallow
Cecropis cucullata, Rock
Martin Ptyonoprogne fuligu-
la, Common House Martin
Delichon urbicum
At the end of a period of cold and wet weather near Cape Town between 9 and 13 April
1953, at least 100 hirundinids died. Broekhuysen 1953;
MacLeod et al. 1953
ther
Barn Swallows, Common
House Martins
Cold snap (8°C) and heavy rain (40 mm) during arrival period of these migrant hirundi-
nids killed hundreds of birds between 9 and 12 November 1968 at Hammanskraal, with
further records of deaths as far south as the Free State. Skead & Skead 1970
ther
Common Swifts
In early December 2019, during an unseasonable cold and wet period, Common Swifts
roosting under a roof at Mabalingwe Nature Reserve, Limpopo Province, South Africa,
died. Rabie et al. which is associated with windspeeds of 90 to 100 km/hour and de-
scribed as a storm (e.g. https://www.metoffice.gov.uk/weather/guides/
coast-and-sea/beaufort-scale). The perimeter of the house and the barn and the areas underneath
trees were littered with hundreds of dead birds. All had presumably
been bashed against the walls, roof and tree branches. There was a
small number of injured birds. Many of the dead birds were found in
contorted positions with traces of blood around the head, face and
eyes. The farmyard spans a large area, and it was not feasible to ob-
tain an accurate count of the numbers of dead birds, but the estimat-
ed total was in the hundreds. Red-billed Queleas accounted for an
estimated 80 to 90% of the casualties. Other species recorded dead
included Laughing Dove Spilopelia senegalensis, Ring-necked Dove
Streptopelia capicola, Southern Masked Weaver Ploceus velatus,
Wattled Starling, Orange River White-eye Zosterops pallidus, Red-
headed Finch, African Red-eyed Bulbul Pycnonotus nigricans, Cape
Sparrow, Cape Robin-chat Cossypha caffra, Dusky Sunbird Cinnyris
fuscus, Fiscal Flycatcher Melaenornis silens, Black-throated Canary
Crithagra atrogularis and Lark-like Bunting Emberiza impetuani. It is
likely that other species were killed as well. We asked whether neighbouring farms had experienced the same
wind intensity as Rietaar; the answer was negative, and there were
no reports of birds killed on neighbouring farms during the night of
25‒26 September 2022. Introduction 2023
Hirundinids, swifts, and other
species in smaller numbers
There was an “unprecedented” cold spell across Zimbabwe during the first half of No-
vember 1968, accompanied by drizzle. Barn swallows, which would have been recent
arrivals on migration, were particularly impacted. The main cause of death was starva-
tion; aerial foragers became emaciated. Steyn & Brooke 1971
African Palm Swifts Cyp-
siurus parvus
Cold air temperatures (minimum 4.6°C) and persistent drizzle between 13 and 22 June
1979 caused deaths of swifts at four localities in Zimbabwe. A similar event in early Sep-
tember 1981 killed 90 swifts in Bulawayo (minimum temperature 5.4°C). Donnelly 1982
Amur Falcon Falco amuren-
sis
Roosting flocks of Amur falcons were killed/injured on 9 and 21 March 2019 at nocturnal
roost trees at Mooi River (700 killed, 1000 injured) and at Newcastle (1000 killed and 900
injured), 160 km apart in KwaZulu-Natal. Allan 2019
Village Weaver Ploceus cu-
cullatus
The water level in the Ngotwane Dam, Gaberone, Botswana, rose overnight on 17‒18
March 1991, submerging nests under 2 m of water. Pedersen 1991
Common Ostrich Struthio
camelus
Estimated that 252 ostriches, 10% of total population, died during a drought in 1985 in
the Kgalagadi Transfrontier Park. Knight 1995
ds
Multiple species
Hundreds of birds killed. This paper
Table 1: A selection of weather-related events in southern Africa which have impacted birds. 302 Biodiversity Observations (2023) 13: 301-305 Tippett & Underhill: Extreme weather and birds Biodiversity Observations (2023) 13: 301-305 y
(
)
Figure 1: Uprooted tree at farm Rietaar, indicating Beaufort Scale
allocation. which is associated with windspeeds of 90 to 100 km/hour and de-
scribed as a storm (e.g. https://www.metoffice.gov.uk/weather/guides/
coast-and-sea/beaufort-scale). Discussion The farmyards scattered across the Karoo each have a cluster of
trees, mostly Eucalyptus and Pinus. These clusters of trees have be-
come of great importance to birds in the region. At Rietaar, they are
used as overnight roosts by large numbers of birds (Ryan Tippett
pers. obs). Figure 1: Uprooted tree at farm Rietaar, indicating Beaufort Scale
allocation. In the compilation of Table 1, we favoured the inclusion of recent
events over older ones. It is striking that many of these describe 303 Biodiversity Observations (2023) 13: 301-305 Biodiversity Observations (2023) 13: 301-305 Tippett & Underhill: Extreme weather and birds y
(
)
Figure 2: A sample of birds killed by the windstorm at farm Rietaar. Northern Cape, South Africa. events taking place more than 25 years ago, before global climate
change was widely recognised as a threat. It is possible that more re-
cent events have not been reporting because there are already simi-
lar results published in the literature. events taking place more than 25 years ago, before global climate
change was widely recognised as a threat. It is possible that more re-
cent events have not been reporting because there are already simi-
lar results published in the literature. In particular, it seems there have been no reports of mass mortalities
of barn swallows in more than half a century since 1968 (Skead &
Skead 1970, Steyn & Brooke 1971). The November 1968 event was
widespread; from Skead & Skead (1970) and Steyn & Brooke (1971)
it is clear that the period of cold and damp whether caused mortalities
of barn swallows over Zimbabwe, part of Botswana, and over north-
ern South Africa as far south as Kimberley and as far east as Zulu-
land. The impact of this widespread weather event appears to have
been magnified by the fact that it took place simultaneously with the
arrival of barn swallows on migration, at a time when many are need-
ing to recover body condition after long flights (Skead & Skead 1970). This juxtaposition of events is probably rare. Especially in the light of global climate change, weather-related mor-
tality events of birds and other taxa ought to be routinely reported. This would facilitate a review of their frequency of occurrence. This
journal (Underhill & Navarro 2023) provides a platform for this catego-
ry of observations; Rabie et al. Discussion (2023) is an example of such a report. Acknowledgements H. Dieter Oschadleus assisted with the literature review for Table 1. Karis Daniel commented on the text. References Allan D 2019. Annihilation: storms wreak havoc on Amur Falcons. African Birdlife 7(5): 22‒24. Broekhuysen GJ 1953. A post mortem of the Hirundinidae which
perished at Somerset West in April 1953. Ostrich 24: 148‒152. Figure 2: A sample of birds killed by the windstorm at farm Rietaar. Northern Cape, South Africa. Figure 2: A sample of birds killed by the windstorm at farm Rietaar. Northern Cape, South Africa. 304 Biodiversity Observations (2023) 13: 301-305 Tippett & Underhill: Extreme weather and birds Brown M, Symes CT 2004. Nesting of Red-headed quelea (Quelea
erythrops) in KwaZulu-Natal, South Africa. Ostrich 75: 159‒161. Steyn P, Brooke RK 1971. Cold induced mortality of birds in Rhode-
sia during November 1968. Ostrich Supplement 8: 271‒282. Steyn P, Brooke RK 1971. Cold induced mortality of birds in Rhode-
sia during November 1968. Ostrich Supplement 8: 271‒282. Steyn P, Brooke RK 1971. Cold induced mortality of birds in Rhode-
sia during November 1968. Ostrich Supplement 8: 271‒282. Calf KM, Underhill LG 2005. Tidal impact on breeding African Black
Oystercatchers on Robben Island, Western Cape, South Africa. Ostrich 76: 219–221. Underhill LG, Navarro R 2023. The open-access journal Biodiversity
Observations: report for the period 2010‒2022. Biodiversity Ob-
servations 13: 1‒6. Underhill LG, Navarro R 2023. The open-access journal Biodiversity
Observations: report for the period 2010‒2022. Biodiversity Ob-
servations 13: 1‒6. Cohen JM, Fink D, Zuckerberg B 2021. Extreme winter weather dis-
rupts bird occurrence and abundance patterns at geographic
scales. Ecography 44: 1143‒1155. Paper edited by Megan Loftie-Eaton
Biodiversity and Development Institute Paper edited by Megan Loftie-Eaton
Biodiversity and Development Institute Donnelly BG 1982. Cold induced mortality in African Palm Swifts. Honeyguide, 111/112: 15‒17. Knight MH 1985. Drought-related mortality of wildlife in the southern
Kalahari and the role of man. African Journal of Ecology 33:
377‒394. MacLeod JGR, Murray Cd’C, Murray EM 1953. Death of many mi-
grants at Somerset West. Ostrich 24: 118‒120. McKechnie AE, Rushworth IA, Myburgh F, Cunningham SJ 2021. Mortality among birds and bats during an extreme heat event in
eastern South Africa. Austral Ecology 46: 687‒691. Biodiversity Observations is powered by Open
Journal Systems (OJS) and is hosted by the
University of Cape Town Libraries. OJS is an
open source software application for managing
and publishing scholarly journals. References Developed
and released by the Public Knowledge Project
in 2001, it is the most widely used open source
journal publishing platform in existence, with
over 30,000 journals using it worldwide. Petersen SE 1991. Spottedbacked Weaver Ploceus cucullatus
breeding at Gaborone Dam. Babbler 21 & 22: 74‒76. Rabie E, Rabie C, Oschadleus HD 2023. Impact of cold and wet
weather on Common Swifts Apus apus (with comments). Biodi-
versity Observations 13: 140–141. Skead DM, Skead CJ 1970. Hirundinid mortality during adverse
weather, November 1968. Ostrich 41: 247‒251. 305
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Barriers to and facilitators of implementing complex workplace dietary interventions: process evaluation results of a cluster controlled trial
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Fitzgerald et al. BMC Health Services Research (2016) 16:139
DOI 10.1186/s12913-016-1413-7 Fitzgerald et al. BMC Health Services Research (2016) 16:139
DOI 10.1186/s12913-016-1413-7 Open Access © 2016 Fitzgerald 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. Barriers to and facilitators of implementing
complex workplace dietary interventions:
process evaluation results of a cluster
controlled trial Sarah Fitzgerald*, Fiona Geaney, Clare Kelly, Sheena McHugh and Ivan J. Perry * Correspondence: sarahfitzgerald@ucc.ie
Department of Epidemiology and Public Health, University College Cork, 4th
Floor, Western Gateway Building, Western Road, Cork, Ireland Background restricting options and provision of real incentives (i.e. price discounts) [14, 23]. These complex high-intensity
interventions are informed by empirical evidence and
theories and have a multi-level approach where they are
specifically developed to target all stakeholders within an
organisation (e.g. employers, caterers, employees) [7]. g
The increasing prevalence of diet-related diseases is a
major global public health problem. The growing burden
on population health and unsustainable cost escalation
is crippling healthcare systems worldwide [1–4]. The
causal factors of diet-related diseases are inherently
complex and require complex solutions [5]. Behavioural
interventions aim to improve dietary behaviours and
reduce the associated burden of diet-related diseases at a
population-level [6–8]. The Medical Research Council
(MRC) advocate the importance of combining the evalu-
ation of outcomes and processes when evaluating com-
plex interventions [7]. Process evaluations monitor and
evaluate the fidelity of interventions and can provide an in-
depth understanding of factors that lead to the success or
failure of implementing complex interventions [7, 9–11]. g
( g
p y
p y
) [ ]
The available evidence on process evaluation of low-
intensity workplace interventions has focused mainly on
the effectiveness of interventions rather than on why in-
terventions succeed or fail [24, 25]. The limited available
evidence indicates that contextual factors, particularly
structural and organisational changes can greatly influ-
ence the implementation of workplace interventions
[26–29]. Evidence further suggests that in order to suc-
cessfully implement workplace healthy eating interven-
tions, it is vital to secure engagement by the catering
team. Securing this engagement requires the research
team to provide substantial support and understanding
to the catering team [23]. The complexities of the mod-
ern working environment including on-going structural
changes and competing work projects have also been in-
dicated as factors that can impede intervention imple-
mentation. In contrast, active involvement of managers
in implementation, negotiation skills, consideration of
workplace culture and assessing readiness for change
can serve as facilitators of implementation [27]. It has
also been suggested that ensuring there is transparency
in the implementation plan regarding roles and respon-
sibilities of each team member can help facilitate inter-
vention implementation [11, 27]. Similarly, contextual
factors were also identified as influential in the imple-
mentation of a health promotion intervention in four
Danish industrial canteens and structural changes which
resulted in downsizing, high employee turnover and job
insecurity impeded successful implementation [29]. Background g
The workplace has been identified as an important
health promotion setting as individuals spend long pe-
riods of time in their work environments and it also al-
lows
targeted
health
promotion
programmes
reach
specific population groups [2, 8, 12, 13]. The workplace
provides access to a stable population in a controlled
setting, making it conducive to the implementation of
complex interventions [14]. However, uncertainty exists
regarding the effectiveness of complex workplace dietary
interventions. Previous interventions have demonstrated
limited efficacy with small effect sizes [15–17]. Al-
though, some studies have reported that workplace in-
terventions can have moderate positive effects on dietary
behaviour in terms of healthier food choices and increas-
ing fruit and vegetable consumption [8, 16–20], significant
uncertainty remains regarding the long-term effects on
dietary behaviour, health status outcomes and cost-
effectiveness [8, 17, 21]. These interventions failed to
include detailed process evaluations but recommended
that future workplace interventions should integrate rigor-
ous qualitative and quantitative evaluation methods to ex-
plore reasons for ambiguous findings [15–18, 22]. y
p
p
There are a number of change theories and frame-
works which describe the implementation of interven-
tions within organisations. These theories suggest that
fully understanding processes of change within organisa-
tions is critical for the successful development and im-
plementation of workplace health promotion initiatives
[30, 31]. Lewin’s model of organisational change is one
such theory and involves, unfreezing of current attitudes
to change, implementing the new intervention and re-
freezing new attitudes and behaviour by supporting and
reinforcing change [32, 33]. This theory suggests that
assessing organisational readiness for change and mini-
mising the restraining factors of tacit organisational
cultures are central for successful implementation of in-
terventions and for achieving sustained change [30–33]. Schein’s theory on organisational change further sug-
gests that in order to embed change, the intervention
needs to become part of the culture of the organisation
[31]. The principles of these theories are reinforced in Very few comprehensive process evaluations of work-
place dietary interventions have been conducted. Fur-
thermore, few studies explore the opinions of those
directly involved in workplace dietary interventions ei-
ther as a decision maker or a participant. The evidence
base consists mainly of process evaluations that evaluate
low-intensity workplace health promotion interventions
or
workplace
stress
interventions. Abstract Background: Ambiguity exists regarding the effectiveness of workplace dietary interventions. Rigorous process
evaluation is vital to understand this uncertainty. This study was conducted as part of the Food Choice at Work trial
which assessed the comparative effectiveness of a workplace environmental dietary modification intervention and
an educational intervention both alone and in combination versus a control workplace. Effectiveness was assessed
in terms of employees’ dietary intakes, nutrition knowledge and health status in four large manufacturing
workplaces. The study aimed to examine barriers to and facilitators of implementing complex workplace
interventions, from the perspectives of key workplace stakeholders and researchers involved in implementation. Methods: A detailed process evaluation monitored and evaluated intervention implementation. Interviews were
conducted at baseline (27 interviews) and at 7–9 month follow-up (27 interviews) with a purposive sample of
workplace stakeholders (managers and participating employees). Topic guides explored factors which facilitated or
impeded implementation. Researchers involved in recruitment and data collection participated in focus groups at
baseline and at 7–9 month follow-up to explore their perceptions of intervention implementation. Data were
imported into NVivo software and analysed using a thematic framework approach. Results: Four major themes emerged; perceived benefits of participation, negotiation and flexibility of the
implementation team, viability and intensity of interventions and workplace structures and cultures. The latter three
themes either positively or negatively affected implementation, depending on context. The implementation team
included managers involved in coordinating and delivering the interventions and the researchers who collected
data and delivered intervention elements. Stakeholders’ perceptions of the benefits of participating, which
facilitated implementation, included managers’ desire to improve company image and employees seeking health
improvements. Other facilitators included stakeholder buy-in, organisational support and stakeholder cohesiveness
with regards to the level of support provided to the intervention. Anticipation of employee resistance towards
menu changes, workplace restructuring and target-driven workplace cultures impeded intervention
implementation. Conclusions: Contextual factors such as workplace structures and cultures need to be considered in the
implementation of future workplace dietary interventions. Negotiation and flexibility of key workplace stakeholders
plays an integral role in overcoming the barriers of workplace cultures, structures and resistance to change. Trial registration: Current Controlled Trials: ISRCTN35108237. Date of registration: 02/07/2013 Keywords: Process evaluation, Implementation, Facilitators, Barriers, Workplace dietary intervention Page 2 of 13 Page 2 of 13 Fitzgerald et al. BMC Health Services Research (2016) 16:139 Background By
design,
low-
intensity workplace health promotion interventions tend
to focus solely on information provision and fail to in-
vestigate the effects of environmental approaches, such
as food modification [14]. In contrast, high-intensity in-
terventions are complex in nature and typically consist
of a number of different interacting components. These
components can include both information provision and
environmental approaches such as, food modification, Fitzgerald et al. BMC Health Services Research (2016) 16:139 Page 3 of 13 Page 3 of 13 intervention which comprised of three elements; group pre-
sentations,
individual
nutrition
consultations
and
the
provision of detailed nutrition information (traffic light
menu-labelling, posters, leaflets and emails). The third
workplace received an environmental dietary modification
intervention which consisted of five elements 1) menu
modification (restriction of fat, saturated fat, sugar and salt),
2) increase in fibre, fruit and vegetables, c) price discounts
for fresh fruit, d) strategic positioning of healthier alterna-
tives and e) portion size control [21]. Table 1 outlines the
allocation of the interventions. The intervention design was
developed by the research team who had specific expertise
in public health nutrition and dietetics and was advised by
catering stakeholders (Catering Managers Association of
Ireland (CMAI)). The research team collaborated with the
workplace stakeholders (human resources (HR) and cater-
ing managers) to implement the FCW interventions within
each individual workplace. Each workplace was assigned a
research workplace leader who was based on-site and col-
laborated with the workplace stakeholders to co-ordinate
data collection for rotating shift schedules and monitor ad-
herence to the interventions. Implementation was moni-
tored and evaluated in all four workplaces using a detailed
process evaluation throughout the intervention period, ana-
lysing perspectives of management stakeholders, participat-
ing
employees
and
research
assistants. Steckler
and
Linnan’s conceptual framework guided the process evalu-
ation and was based on the components of context, reach,
dose delivered, dose received, fidelity and recruitment [9]. implementation frameworks which outline the enablers
and barriers to successful implementation within organi-
sations [34]. Stakeholder buy-in, organisational support,
supportive organisational culture, monitoring and evalu-
ation are defined as enablers of implementation. The ex-
ternal environment, resistance to change and vested
interests are outlined as barriers to implementation
within organisations [34]. Methods
Conte t The current study was carried out as part of the Food
Choice at Work (FCW) study, a cluster controlled trial
conducted in four large manufacturing workplaces in
Cork, Ireland. Details of the FCW study have been pub-
lished elsewhere [21]. Briefly, the FCW study assessed
the comparative effectiveness of a workplace environ-
mental dietary modification intervention and an educa-
tional intervention both alone and in combination
versus a control workplace on employees dietary behav-
iours, nutrition knowledge and health status. Changes in
employees’ dietary intakes and health status (BMI, waist
circumference and blood pressure) outcomes were mea-
sured at baseline, follow-up at 3–4 months and 7–9
months. As the focus of the FCW study was to imple-
ment a complex dietary intervention in an environment
that could tolerate different interacting intervention com-
ponents, workplaces were purposively selected and allo-
cated interventions. Workplaces were deemed eligible if
they were manufacturing workplaces who employed more
than 250 employees, had a daily workplace canteen,
located in Cork, represented on the Industrial Develop-
ment Authority of Ireland (IDA) website and were able to
commit to all components of the complex intervention
for the duration of the study [21]. In order to ensure that
the participating workplaces and employees were repre-
sentative of the general Irish workforce, demographic vari-
ables of non-participating employees were examined. Background To improve the implementation of complex, high-
intensity workplace dietary interventions and achieve
sustainable organisational change, it is imperative that
factors which facilitate and impede the implementation
process are identified by exploring the opinions of those
directly involved [9]. The aim of this study was to define
and explore the facilitators of and barriers to the imple-
mentation of complex, high-intensity workplace dietary
interventions from the perspectives of key workplace
stakeholders, participating employees and research assis-
tants delivering the intervention. Participants For the process evaluation, purposive sampling was used
to recruit management stakeholders who were involved
in the intervention either through initial consultation,
decision-making or on-going collaboration with the re-
searchers who collected data. Employees who partici-
pated in the intervention were selected using random
number generation software. At baseline 27 face-to-face
semi-structured
interviews
(13
managers
and
14
employees) were conducted and 27 interviews (12 man-
agers and 15 employees) were conducted post interven-
tion implementation. Where feasible the same people
were interviewed at follow-up stage, however this was
dependent on availability of participants. Research assis-
tants who conducted the interviews were involved in re-
cruitment and data collection but were not known to
the participants they interviewed. Table 2 outlines the
characteristics of managers and employees who took
part. Purposive sampling was used to recruit research as-
sistants for the focus groups. All research assistants
involved in the FCW study were invited to participate at
baseline and at follow-up stage. Nine out of eleven
research assistants took part at baseline and four out of
six research assistants took part at follow-up. The reason In the control workplace, data was collected at base-
line and at each stage of follow-up. Participants in this
workplace were informed that they were involved in a
university-led study to observe employees dietary behav-
iours. The second workplace received a nutrition education Page 4 of 13 Fitzgerald et al. BMC Health Services Research (2016) 16:139 Table 1 Allocation of FCW interventions across the workplaces and description of interventions
Workplace
Intervention implemented
Description of interventions
Control (Food &
beverage industry)
Control site
Monitored employees eating behaviours. Education (Health
industry)
Nutrition education
intervention
Nutrition education consisted of three elements: 1) monthly group presentations, 2)
individual nutrition consultations and 3) detailed nutrition information (shopping cards,
posters, leaflets and emails), including the application of a healthy eating traffic light cod
system to daily menus and vending machines. This displayed the number of calories an
nutritional breakdown of the meal or food item. Environmental
(Automotive industry)
Environmental dietary
modification intervention
Environmental dietary modification consisted of five elements: 1) restriction of fat, satura
fat, sugar and salt, 2) increase fibre, fruit and vegetables, 3) price discounts on whole fre
fruit, 4) strategic positioning of healthier alternatives and 5) portion size control. Combined (IT industry)
Combined intervention
All the elements of the nutrition education intervention and the environmental dietary
modification intervention were implemented. Data collection Semi-structured face-to-face interviews were conducted
at baseline between February and April 2013 and at
follow-up stage between April and July 2014. Interviews
were conducted in the workplaces and lasted between
40 and 60 min. The baseline focus group was conducted
in May 2013 and the follow-up focus group was con-
ducted post intervention implementation in August
2014. These were hosted in University College Cork by
an independent moderator and lasted for 1 h. An assist-
ant moderator took observational notes. In the inter-
views and focus groups probes were used to initiate
discussion when there was a pause and also to further
explore points of interest. Topic guides A co-investigator involved in the FCW study developed
semi-structured topic guides for the interviews and focus
groups (Additional files 1, 2, 3, 4, 5 and 6). As previously
outlined, Steckler and Linnan’s conceptual framework
was used to guide the process evaluation plan. Thus, the
topic guides were based on the six components of the
framework; context, reach, dose delivered, dose received,
fidelity and recruitment [9]. These topic guides were
reviewed and refined by research assistants on the study. Pilot interviews that were conducted at baseline and at
follow-up stage, overall study objectives, preliminary
analysis of baseline data and researchers’ experience of
intervention implementation further informed the topic
guides. For the interviews, the topic guides were used to
explore facilitators of and barriers to the implementation Participants Nutrition education consisted of three elements: 1) monthly group presentations, 2)
individual nutrition consultations and 3) detailed nutrition information (shopping cards,
posters, leaflets and emails), including the application of a healthy eating traffic light coding
system to daily menus and vending machines. This displayed the number of calories and
nutritional breakdown of the meal or food item. Environmental dietary modification consisted of five elements: 1) restriction of fat, saturated
fat, sugar and salt, 2) increase fibre, fruit and vegetables, 3) price discounts on whole fresh
fruit, 4) strategic positioning of healthier alternatives and 5) portion size control. All the elements of the nutrition education intervention and the environmental dietary
modification intervention were implemented. of the interventions from the perspective of management
stakeholders and employees. For the focus groups, the
topic guides were used to explore the experiences of the
research assistants delivering a complex intervention in
the workplace. for non-participation in the focus groups was the part-
time availability of research assistants and there were
fewer researchers employed at follow-up stage. For the interviews, individuals were contacted by email
and follow-up telephone call when necessary. The focus
group moderator emailed research assistants and invited
them to participate. All participants provided written in-
formed consent. Data were digitally recorded and tran-
scribed verbatim. To preserve confidentiality, data were
anonymised. Analytical tools Both managers and employees highlighted the benefits
of participating in the study. Managers had a desire to
improve company image and foster employee loyalty
while employees had a desire to improve their health. The perception of a long-term benefit rather than the
benefit itself facilitated implementation in the short-term
as it encouraged engagement and fostered buy-in. Verba-
tim examples of this theme are included in Table 3. 1) Familiarisation: Three researchers (SF, FG and CK)
conducted the interviews. Researchers became
familiar with the data by re-reading transcripts,
audio tapes, field notes and observational notes. Recurring themes and initial ideas were noted in an
analytical memo. y
The perception of a long-term benefit rather than the
benefit itself facilitated implementation in the short-term
as it encouraged engagement and fostered buy-in. Verba-
tim examples of this theme are included in Table 3. 1. Concern with company image: Managers had a
vested interest in ensuring successful
implementation of the interventions as they had a
strong desire to portray a positive company image to
both industry and employees. Managers believed
that participation in the study would be a means of
achieving this objective. Managers wanted to depict
an image of a progressive company both nationally
and internationally in the manufacturing industry. This desire facilitated implementation as managers
were supportive of the interventions and they
facilitated access to employees by releasing them
from work activities to attend study
appointments. Managers felt involvement in a
university-led study would be regarded as presti-
gious by other companies. They expressed pride
in being ‘chosen’ to participate and believed that
it created a sense of elitism in the manufacturing
industry. According to some of the researchers
who collected data, a concern with company
image motivated workplace stakeholders to pro-
vide recruitment and implementation support. 2) Identification of a thematic framework: Four
researchers (SF, SMH, FG and CK) undertook initial
coding of a selection of transcripts (one
management stakeholder and one employee
participant). These were subject to inter-coder reli-
ability as one of the researchers (SMH) was not in-
volved in data collection. Open coding allowed for
an inductive approach. The preliminary coding
framework was developed by discussing the conver-
gence and divergence of codes. The researchers
redefined this framework for subsequent stages of
coding. 3) Indexing: This stage involved the indexing of specific
parts of the data to correspond to the emerging
themes. Analytical tools The framework approach was used for analysis of data
[9, 35]. This was considered appropriate as the process
evaluation had pre-specified objectives while it also per-
mitted the emergence of unexpected themes. Framework
analysis is dynamic, allowing for change throughout the Table 2 Characteristics of baseline and follow-up interviews conducted with managers and employees
Managers
Employees
Workplace
Baseline
Follow-up at 7–9 months
Baseline
Follow-up at 7–9
months
Control
2 (Occupational health and administrative
managers)
3 (Occupational health and HR managers)
4 (2 male and 2
female)
4 (2 male and 2
female)
Education
3 (Occupational health, HR and catering
managers)
3 (Occupational health, HR and catering
managers)
3 (2 female and 1
male)
4 (3 male and 1
female)
Environmental 4 (Managing director, HR and catering
managers)
3 (Managing director, HR and catering
managers)
4 (2 female and 2
male)
4 (2 male and 2
female)
Combined
4 (Occupational health and catering
managers)
3 (Occupational health and catering
managers)
3 (1 female and 2
male)
3 (1 male and 2
female) Table 2 Characteristics of baseline and follow-up interviews conducted with managers and employees
Managers
Employees
Workplace
Baseline
Follow-up at 7–9 months
Baseline
Follow-up at 7–9
months
Control
2 (Occupational health and administrative
managers)
3 (Occupational health and HR managers)
4 (2 male and 2
female)
4 (2 male and 2
female)
Education
3 (Occupational health, HR and catering
managers)
3 (Occupational health, HR and catering
managers)
3 (2 female and 1
male)
4 (3 male and 1
female)
Environmental 4 (Managing director, HR and catering
managers)
3 (Managing director, HR and catering
managers)
4 (2 female and 2
male)
4 (2 male and 2
female)
Combined
4 (Occupational health and catering
managers)
3 (Occupational health and catering
managers)
3 (1 female and 2
male)
3 (1 male and 2
female) cs of baseline and follow-up interviews conducted with managers and employees Fitzgerald et al. BMC Health Services Research (2016) 16:139 Page 5 of 13 Page 5 of 13 Page 5 of 13 analytical process while its systematic nature provides
transparency. This was beneficial as multiple researchers
were involved in data collection, analysis and interpret-
ation. The following steps were completed [9]: Perceived benefits of participation Both managers and employees highlighted the benefits
of participating in the study. Managers had a desire to
improve company image and foster employee loyalty
while employees had a desire to improve their health. Analytical tools Data was imported into NVivo software
(QSR International Pty Ltd) for coding. The refined
coding framework was systematically applied to the
data and the main thematic categories and sub-
categories were formed. appointments. Managers felt involvement in a
university-led study would be regarded as presti-
gious by other companies. They expressed pride
in being ‘chosen’ to participate and believed that
it created a sense of elitism in the manufacturing
industry. According to some of the researchers
who collected data, a concern with company
image motivated workplace stakeholders to pro-
vide recruitment and implementation support. 4) Charting: The coded data was further abstracted and
synthesised during the charting process by two of
the researchers. This involved arranging themes into
illustrative charts based on headings included in the
thematic framework. 2. 2. Managers’ personal interest: In some workplaces key
workplace stakeholders expressed a personal interest
in maintaining a healthy lifestyle. Occupational
health stakeholders in the control and combined
workplaces had a professional background in
nursing and had great interest in supporting
initiatives that would enhance health consciousness
in the workplace. Similarly in the education
workplace, a HR stakeholder had professional
training and interest in nutritional sciences. This
interest was a driver for workplace participation and
ensured that implementation of the interventions
received organisational support. 2. Managers’ personal interest: In some workplaces key
workplace stakeholders expressed a personal interest
in maintaining a healthy lifestyle. Occupational
health stakeholders in the control and combined
workplaces had a professional background in
nursing and had great interest in supporting
initiatives that would enhance health consciousness
in the workplace. Similarly in the education
workplace, a HR stakeholder had professional
training and interest in nutritional sciences. This
interest was a driver for workplace participation and
ensured that implementation of the interventions
received organisational support. 5) Mapping and interpretation: The charts provided a
schematic diagram of the process evaluation which
guided data interpretation. Interpretations were
checked and discussed by two researchers. The
interpretation of the themes was guided by the
specific objectives of the study and also by the
unexpected themes that emerged during analysis. 5) Mapping and interpretation: The charts provided a
schematic diagram of the process evaluation which
guided data interpretation. Interpretations were
checked and discussed by two researchers. The
interpretation of the themes was guided by the
specific objectives of the study and also by the
unexpected themes that emerged during analysis. Major themes 3.Fostering employee loyalty: “If you’re trying to convince employees that you’re interested and trying to engage with them, show
them that you care about their health and well-being so that’s a good engagement tool” (Occupational health, nutrition
education site—baseline stage). “If we can keep our employees healthy, they’ll be happier, they’ll produce better work, they’ll hit their efficiencies a lot better and
they’re more likely to be in here” (HR, nutrition education site—follow-up stage). 4. Health concerns among employees: “We don’t have the luxury in this modern day and age of getting to 54, in days of old you’d
get to this age and you pull back a little, there’s young and progressive people coming up underneath you and they take the
pressure and that, that doesn’t happen today. They are going to work people until they’re 65” (Employee, nutrition education
site—follow-up stage). 1. Flexibility: The flexibility and adaptability of the
researchers manifested itself in a number of ways. To facilitate timely data collection, it was critical for
the researchers to adapt to the structure and
practices of each worksite. Researchers were
required to schedule appointments that
complemented rotating shift patterns. Similarly,
monthly group nutrition presentations were
delivered multiple times each day to also
complement rotating shifts. Data collection often
occurred during busy times on site such as ‘end of
quarter’. On these occasions, employees frequently
rescheduled appointments and researchers had to
facilitate these late changes. At the outset, managers
were concerned that the target-driven culture of
manufacturing workplaces would not be suitable for
implementing a study that requires employee inter-
action and significant logistical planning. However,
researchers’ adaptability to changes facilitated
implementation. would foster employee loyalty and boost morale
within the workplace which could result in financial
benefits for the company by reducing absenteeism
and increasing productivity. It was anticipated that
this could be achieved by managers promoting
participation in elements such as the healthy-eating
group presentations. g
p p
4. Health concerns among employees: The main
reasons for employees participating included age
concerns, individual health concerns (weight,
cholesterol level, blood pressure, and digestive
disorders) and lifestyle concerns. Older participating
employees felt pressure to keep up with younger
employees in their fast-paced working environments. Employees were seeking health improvements in an
effort to curtail any negative effects of ageing and
the need to ‘slow down’ their working pace. Major themes 3. g
3. Fostering employee loyalty: A desire to improve
relations between employers and employees was a
motivating factor for participation. Managers
identified the study as an opportunity to improve
relations with employees. In order to demonstrate
their support for the study to employees, they
released staff from work activities for appointments
and provided resources for the study. They believed
that driving health consciousness among employees 3. Fostering employee loyalty: A desire to improve
relations between employers and employees was a
motivating factor for participation. Managers
identified the study as an opportunity to improve
relations with employees. In order to demonstrate
their support for the study to employees, they
released staff from work activities for appointments
and provided resources for the study. They believed
that driving health consciousness among employees Four major themes emerged; 1) perceived benefits of par-
ticipation, 2) negotiation and flexibility of the implementa-
tion team, 3) viability and intensity of intervention and 4)
individual workplace structures and cultures. Depending
on context, the latter three themes were found to have
both a positive and negative impact on implementation
and are discussed as either facilitators or barriers. Findings
are presented from the perspective of management stake-
holders, employees and research assistants. Page 6 of 13 Fitzgerald et al. BMC Health Services Research (2016) 16:139 Table 3 Theme of ‘perceived benefits of participation’ and verbatim examples
Theme
Verbatim Examples
Perceived benefits of
participation
1. Concern with company image: “We were one of the ones to be chosen, that’s a huge cannon feather in our cap you know we’re
thrilled about that and you know again to promote the fact that it’s not everybody that was selected….we were chosen as a
company for a particular reason and we’re honoured to be included” (HR manager, Environmental site—follow-up stage). 2. Managers’ personal interest: “I would have been the person who pushed it to say ‘let’s go and do this, it’s an opportunity, yeah’…
having dieticians on site, having access to all this expertise you know, and it is a great pile of health promotion going on in the
background” (Occupational health, Control site—follow up stage). 3.Fostering employee loyalty: “If you’re trying to convince employees that you’re interested and trying to engage with them, show
them that you care about their health and well-being so that’s a good engagement tool” (Occupational health, nutrition
education site—baseline stage). Major themes Employees appreciated the investment their
employers made in the study as it provided them
with a unique opportunity to have a nutritional
consultation and a free health check-up during their
working hours. It reassured employees that their
employer concerns went beyond generating profit
hence they felt obliged to participate. p
2. Negotiation: The researchers also perceived
negotiation as central to successful implementation. It was necessary for the researchers to negotiate a
level of change that was agreeable to mangers,
caterers and the researchers themselves. In some
instances this resulted in changes to the planned
intervention components or the scale of change. Effective communication with managers was
necessary to reach a compromise with regards to
what intervention elements were implemented and
to what degree they were implemented, particularly
for the environmental modification intervention. For
example, the proposed portion size restrictions were
heavily negotiated between the researchers and
catering staff with compromises being made by all
parties. Willingness to change among catering staff 2. Major themes “If we can keep our employees healthy, they’ll be happier, they’ll produce better work, they’ll hit their efficiencies a lot better and
they’re more likely to be in here” (HR, nutrition education site—follow-up stage). 4. Health concerns among employees: “We don’t have the luxury in this modern day and age of getting to 54, in days of old you’d
get to this age and you pull back a little, there’s young and progressive people coming up underneath you and they take the
pressure and that, that doesn’t happen today. They are going to work people until they’re 65” (Employee, nutrition education
site—follow-up stage). Theme
Verbatim Examples
Perceived benefits of
participation
1. Concern with company image: “We were one of the ones to be chosen, that’s a huge cannon feather in our cap you know we’re
thrilled about that and you know again to promote the fact that it’s not everybody that was selected….we were chosen as a
company for a particular reason and we’re honoured to be included” (HR manager, Environmental site—follow-up stage). 2. Managers’ personal interest: “I would have been the person who pushed it to say ‘let’s go and do this, it’s an opportunity, yeah’…
having dieticians on site, having access to all this expertise you know, and it is a great pile of health promotion going on in the
background” (Occupational health, Control site—follow up stage). 3.Fostering employee loyalty: “If you’re trying to convince employees that you’re interested and trying to engage with them, show
them that you care about their health and well-being so that’s a good engagement tool” (Occupational health, nutrition
education site—baseline stage). “If we can keep our employees healthy, they’ll be happier, they’ll produce better work, they’ll hit their efficiencies a lot better and
they’re more likely to be in here” (HR, nutrition education site—follow-up stage). 4 Health concerns among employees: “We don’t have the luxury in this modern day and age of getting to 54 in days of old you’d . Managers’ personal interest: “I would have been the person who pushed it to say ‘let’s go and do this, it’s an opportunity, yeah’
aving dieticians on site, having access to all this expertise you know, and it is a great pile of health promotion going on in the
ackground” (Occupational health, Control site—follow up stage). Flexibility and negotiation Enthusiasm of caterers towards
the intervention further facilitated the progress of
implementation. Support of the catering company in
their workplace stemmed from caterers realising that
involvement in the study could be a valuable learn-
ing opportunity and serve as a foundation on which
to enhance the knowledge of the catering staff. 1. Stakeholder buy-in: Employees recognised the
importance of receiving ‘buy-in’ from catering and
management stakeholders in order for the interven-
tion to be successfully implemented. This was also
highlighted by the researchers who acknowledged
their flexibility and willingness to change as a crucial
facilitating factor. Enthusiasm of caterers towards
the intervention further facilitated the progress of
implementation. Support of the catering company in
their workplace stemmed from caterers realising that
involvement in the study could be a valuable learn-
ing opportunity and serve as a foundation on which
to enhance the knowledge of the catering staff. 3. 3. High-level workplace management support: Due to
the target-driven culture in the manufacturing in-
dustry, supervisors were reluctant to release produc-
tion staff to attend appointments. A disruption on
the production line could lead to knock-on effects
for overall site-level efficiencies. However, supervi-
sors were instructed by managers to adapt to the
demands of the intervention for the duration of the
study period. To ensure that catering staff adhered
to the intervention elements, management needed to
reinforce the commitment that the workplace had
made to the study. This was particularly evident in
the environmental and combined workplaces, where
environmental modification elements were imple-
mented and more negotiation was needed in these
workplaces. Stakeholder cohesiveness with regards
to organisational support was central to achieving
successful implementation. 3. High-level workplace management support: Due to
the target-driven culture in the manufacturing in-
dustry, supervisors were reluctant to release produc-
tion staff to attend appointments. A disruption on
the production line could lead to knock-on effects
for overall site-level efficiencies. However, supervi-
sors were instructed by managers to adapt to the
demands of the intervention for the duration of the
study period. To ensure that catering staff adhered
to the intervention elements, management needed to
reinforce the commitment that the workplace had
made to the study. This was particularly evident in
the environmental and combined workplaces, where
environmental modification elements were imple-
mented and more negotiation was needed in these
workplaces. Stakeholder cohesiveness with regards
to organisational support was central to achieving
successful implementation. Flexibility and negotiation Negotiation: “Changing down to nearly half, we just couldn’t, there would be uproar…we did a taste test, we put three plates
out one with what we serve now, one with what UCC wanted us to serve and something somewhere in the middle that we felt
we could serve and get away with, that’s the way we made our choice” (Occupational health, combined intervention site
baseline stage). “The breakfast option alright was something that you couldn’t change too much. I suppose from their side they were just afraid
that there would be a lot of backlash from the employees and there at the front line then dealing with it” (Researcher 2 - follow
up stage) 3. High-level workplace management support: “I found it very, very hard to get product builders released for their sessions. That was a huge struggle for me, it’s the team leaders and they’re all about their metrics, they want to have, net efficiencies,
be on target” (Occupational Health—nutrition education site—follow-up stage). and researcher negotiation skills facilitated
compromises being reached. management were actively involved in the study, it en-
couraged employee participation and secured more buy-
in from production supervisors and team leaders. In the
environmental workplace, the support of HR managers
went beyond providing basic logistical support and HR
contacts became involved in providing recruitment sup-
port. Organisational restructuring and a ‘traditional’ work-
place culture had a negative effect on implementation. Verbatim examples of this theme are included in Table 5. The researchers described how certain meals
appeared to be non-negotiable in the environmental
and combined workplaces. The cooked breakfast was
part of the workplace culture and researchers found
reaching an agreement on modifying this option
challenging. A compromise was eventually reached
on reducing the portion size of the cooked breakfast
and cooking method was changed from frying to
baking when possible. In this instance, workplace
culture was identified as a barrier to full-scale
implementation. Catering stakeholders anticipated
employee resistance to change in response to changes
being made to the breakfast options. This expectation
persisted and impeded the implementation of some of
the environmental modification elements. 1. Stakeholder buy-in: Employees recognised the
importance of receiving ‘buy-in’ from catering and
management stakeholders in order for the interven-
tion to be successfully implemented. This was also
highlighted by the researchers who acknowledged
their flexibility and willingness to change as a crucial
facilitating factor. Flexibility and negotiation Catering stakeholders anticipated that their involve-
ment would impress the head office of their catering
company as staff will have the opportunity to apply
the knowledge and skills they gained on how to pro-
duce healthy menus after the study period and also
in future interventions. This long term potential
benefit garnered buy-in from catering stakeholders
and facilitated intervention implementation as they
were more invested in making the intervention a
success in their workplace. 2. Production work: Both managers and employees
perceived shift work to be a barrier to
implementation. This was due to the logistical
problems of arranging appointments for shift
workers outside standard office hours. However, it
emerged that it was the nature of production work 2. Production work: Both managers and employees
perceived shift work to be a barrier to
implementation. This was due to the logistical
problems of arranging appointments for shift
workers outside standard office hours. However, it
emerged that it was the nature of production work Flexibility and negotiation The researchers who collected data and were involved in
coordination and delivery of intervention elements were
adaptable to dynamic workplace environments which
facilitated implementation. This flexibility enabled the
researchers to successfully negotiate with workplace
managers on degrees of change that were agreeable to
all parties and ensured the study received organisational
support. Verbatim examples of this theme are included
in Table 4. Fitzgerald et al. BMC Health Services Research (2016) 16:139 Page 7 of 13 Table 4 Theme of ‘negotiation and flexibility’ and verbatim examples
Theme
Verbatim Examples
Negotiation and
flexibility
1. Flexibility: “You need to adapt and be understanding because schedules do change so you go in with your full schedule and you
mightn’t get all of them or people last minute can’t make it and you’re getting annoyed when you’re there on site waiting but out
on site things are changing constantly so you really have to adapt”. (Researcher 2 - follow-up stage)
2. Negotiation: “Changing down to nearly half, we just couldn’t, there would be uproar…we did a taste test, we put three plates
out one with what we serve now, one with what UCC wanted us to serve and something somewhere in the middle that we felt
we could serve and get away with, that’s the way we made our choice” (Occupational health, combined intervention site
baseline stage). “The breakfast option alright was something that you couldn’t change too much. I suppose from their side they were just afraid
that there would be a lot of backlash from the employees and there at the front line then dealing with it” (Researcher 2 - follow-
up stage)
3. High-level workplace management support: “I found it very, very hard to get product builders released for their sessions. That was a huge struggle for me, it’s the team leaders and they’re all about their metrics, they want to have, net efficiencies,
be on target” (Occupational Health—nutrition education site—follow-up stage). 1. Flexibility: “You need to adapt and be understanding because schedules do change so you go in with your full schedule and y
mightn’t get all of them or people last minute can’t make it and you’re getting annoyed when you’re there on site waiting but o
on site things are changing constantly so you really have to adapt”. (Researcher 2 - follow-up stage) 2. Workplace structures and cultures Production work: “There’s a big, discrepancy between the support staff and the people who work on the line, in that the
support staff have that freedom to, to go to these things” (Occupational health, nutrition education site—follow-up stage). 3.Organisational restructuring: “Those who are in charge they’d have the overall influence because they’re the ones bringing
in the stock and stuff, so they have to be behind it 100 %. Like if there was opposition from the management that could
hinder it” (Employee, nutrition education site—baseline stage). “Many employees they left the company and were moved to other departments, so it was hard to get them back for the last 2. Production work: “There’s a big, discrepancy between the support staff and the people who work on the line, in that the
support staff have that freedom to, to go to these things” (Occupational health, nutrition education site—follow-up stage). 3.Organisational restructuring: “Those who are in charge they’d have the overall influence because they’re the ones bringing
in the stock and stuff, so they have to be behind it 100 %. Like if there was opposition from the management that could
hinder it” (Employee, nutrition education site—baseline stage). “Many employees they left the company and were moved to other departments, so it was hard to get them back for the last
stage of the study but we got agreement from the managers in order to allow us to complete the last stage” (Researcher 3 -
follow-up stage). 4.Workplace culture: “Well it’s another concern, its more rural here, people are a bit more conservative about their food, I
mean we’ve been asked over the years for stuff like Panini’s, honestly, I’d give them a week and they just don’t go” (Catering
Manager, environmental site baseline stage). rather than the shift cycles that impeded
implementation. agree to all modifications. Catering stakeholders
were cautious when agreeing changes which resulted
in the cooked breakfast menu option not being fully
modified in the workplace. However, as previously
mentioned researchers overcame this by reaching
compromises on method of cooking, portion size
and reducing the number of days that chips were
available in the workplaces. p
3. Organisational restructuring: Conversely, a number
of workplace factors were identified as aspects that
impeded implementation. Two of the largest
workplaces (education and combined) underwent
major restructuring during the study. Workplace structures and cultures This involved
the relocation of a large number of employees from
both workplaces, which resulted in them being
ineligible to participate in the study as they were no
longer exposed to the intervention. As a direct result
of the restructuring, a large proportion of the
remaining employees changed shift patterns. In
order to deal with these effects researchers had to
liaise with management on how to best minimise
loss to follow-up and had to adapt elements of the
study to these changes. This involved researchers
creating an appointment schedule to facilitate
changes in shift work patterns to encourage em-
ployees to complete all stages of data collection. The
time it took to liaise with management regarding
restructuring changes had a direct impact on the time-
line of the study. Adjusting to the restructuring changes
and the delays in recruitment meant that data collection
timelines had to re-evaluated, however getting approval
from the management stakeholders for these readjust-
ments proved to be very time consuming. Workplace structures and cultures Individual workplace structures and cultures had an im-
pact on implementation. In workplaces where senior Fitzgerald et al. BMC Health Services Research (2016) 16:139 Page 8 of 13 Table 5 Theme of ‘workplace structures and cultures’ and verbatim examples
Theme
Verbatim Examples
Workplace structures and
cultures
1. Stakeholder buy-in: “We had really good contacts with HR, they helped with recruitment, they helped schedule some
participants…..that was probably the easiest site in terms of scheduling and recruiting…. if someone didn’t turn up all
I had to do was go downstairs and tell one of the HR people and they would actually go and get the employee”
(Researcher 1 - follow-up stage). 2. Production work: “There’s a big, discrepancy between the support staff and the people who work on the line, in that the
support staff have that freedom to, to go to these things” (Occupational health, nutrition education site—follow-up stage). 3.Organisational restructuring: “Those who are in charge they’d have the overall influence because they’re the ones bringing
in the stock and stuff, so they have to be behind it 100 %. Like if there was opposition from the management that could
hinder it” (Employee, nutrition education site—baseline stage). “Many employees they left the company and were moved to other departments, so it was hard to get them back for the last
stage of the study but we got agreement from the managers in order to allow us to complete the last stage” (Researcher 3 -
follow-up stage). 4.Workplace culture: “Well it’s another concern, its more rural here, people are a bit more conservative about their food, I
mean we’ve been asked over the years for stuff like Panini’s, honestly, I’d give them a week and they just don’t go” (Catering
Manager, environmental site baseline stage). Table 5 Theme of ‘workplace structures and cultures’ and verbatim examples
Theme
Verbatim Examples Table 5 Theme of ‘workplace structures and cultures’ and verbatim examples
Theme
Verbatim Examples
Workplace structures and
cultures
1. Stakeholder buy-in: “We had really good contacts with HR, they helped with recruitment, they helped schedule some
participants…..that was probably the easiest site in terms of scheduling and recruiting…. if someone didn’t turn up all
I had to do was go downstairs and tell one of the HR people and they would actually go and get the employee”
(Researcher 1 - follow-up stage). 2. Viability and intensity of interventions The design of the interventions also impacted how they
were implemented. The sustainability of the interventions
and the ability of workplaces to tailor the interventions to
meet the needs of their workplace facilitated implemen-
tation. The anticipated employee resistance to change in
response to the environmental modification impeded
implementation of the interventions. The intensity of the
interventions also affected implementation. The high-
intensity intervention (combined intervention) was well
received by employees. However, the low-intensity inter-
ventions (education and environmental) did not meet
employee expectations which impeded implementation. Verbatim examples of this theme are included in Table 6. 1. Sustainability of interventions: Intervention design
had impact on implementation. At the outset,
catering staff were apprehensive about implementing
environmental modification elements as they
anticipated it would cause a significant increase in
workload. However, it transpired that any extra
workload initially created dissipated once the
intervention was in place and as a result the study
was easier to maintain. Environmental modification
elements became part of the normal catering routine
within workplaces even after the study, with
workplaces sustaining elements. Similarly, the
environmental modification site maintained the 1. Sustainability of interventions: Intervention design
had impact on implementation. At the outset,
catering staff were apprehensive about implementing
environmental modification elements as they
anticipated it would cause a significant increase in
workload. However, it transpired that any extra
workload initially created dissipated once the
intervention was in place and as a result the study
was easier to maintain. Environmental modification
elements became part of the normal catering routine
within workplaces even after the study, with
workplaces sustaining elements. Similarly, the
environmental modification site maintained the 4. Workplace culture: According to the researchers
involved in data collection, the workplace culture
provided challenges during implementation. This
manifested itself particularly in the environmental
modification site, with the majority of employees
described as having ‘traditional’ eating habits. The
cooked breakfast menu options and side portion of
chips were described as part of the tradition of the
workplace. The expectation of poor uptake of the
interventions made catering stakeholders reticent to Fitzgerald et al. BMC Health Services Research (2016) 16:139 Page 9 of 13 Table 6 Theme of ‘viability and intensity of intervention design’ and verbatim examples
Theme
Verbatim Examples
Viability and intensity of
intervention design
1. Viability and intensity of interventions Information at a glance: “People are in a hurry so it was a perfect situation where you were rushing in and out you
could still see at a glance what your options were in terms of healthy choices” (Occupational health, nutrition education
site—follow-up stage). 4. Employee resistance to change: “The glazed loin of bacon, we took it off for 2 weeks and we had something like 300
common cards or something you know it’s like, ‘where is bacon’ because it would always be on a Monday or Tuesday”
(Catering manager, combined intervention site—follow—up stage). 4. Employee resistance to change: “The glazed loin of bacon, we took it off for 2 weeks and we had something like 300
common cards or something you know it’s like, ‘where is bacon’ because it would always be on a Monday or Tuesday”
(Catering manager, combined intervention site—follow—up stage). “I suppose from their side they were just afraid that there would be a lot of backlash from the employees and there at
the front line then dealing with it but to be fair when we spoke again with them there wasn’t too much backlash”
(Researcher 2 - follow-up stage). “I suppose from their side they were just afraid that there would be a lot of backlash from the employees and there at
the front line then dealing with it but to be fair when we spoke again with them there wasn’t too much backlash”
(Researcher 2 - follow-up stage). “I suppose from their side they were just afraid that there would be a lot of backlash from the employees and there at
the front line then dealing with it but to be fair when we spoke again with them there wasn’t too much backlash”
(Researcher 2 - follow-up stage). 5. Intervention intensity: “It’s not very regular, should I say and it’s not very intrusive, you know what I mean… it’s the
idea of, you know, getting weighed in once a week and kind of like the competition type thing” (Employee, environmenta
site—follow-up stage). 5. Intervention intensity: “It’s not very regular, should I say and it’s not very intrusive, you know what I mean… it’s the
idea of, you know, getting weighed in once a week and kind of like the competition type thing” (Employee, environmental
site—follow-up stage). Viability and intensity of interventions dietary behaviour, regardless of participation in the
study with all employees being exposed to the
intervention in the canteen. healthy default menu options, increased the number
of ‘chip free’ days per week in the workplace and
removed free-flowing sugar and salt from the can-
teen. The catering staff in the combined intervention
decided to keep elements that modified the nutri-
tional quality of food in terms of fat, saturated fat,
sugar and salt. 3. Information at a glance: Employees outlined how the
traffic light system enabled them to make informed
decisions with regards to healthy or unhealthy menu
options. It provided information at a glance in a fast-
paced environment which was particularly helpful to
production workers as their lunch times were very
restrictive. This visibility of the intervention was de-
scribed as a talking point among employees and they
discussed their clinical measurements, progress and
feedback with each other. Displays of nutritional in-
formation in the canteen and the daily email of
healthy options were considered effective. The traffic
lights created a social desirability response as em-
ployees were reluctant to choose a menu option that
was coded as red when they were eating in a group. It also emerged that since the study finished in the
workplaces, employees and catering stakeholders
found the absence of intervention very noticeable,
mainly the traffic light coding system and the nutri-
tional information that was displayed in the canteen. The design of the intervention in terms of its inclu-
sive and visible nature was perceived to be a key fa-
cilitator for successful implementation. 3. However, there was a perception among the
researchers that catering stakeholders in the
combined workplace found the initial
implementation of the intervention burdensome in
terms of extra workload. Researchers suggested that
this caused a delay in implementation at the outset
which was overcome through negotiation of
elements that were more feasible for the catering
staff to implement. p
2. Tailoring of interventions: The advantage of being
able to tailor the intervention to address certain
needs was also alluded to by the employees. An
employee being able to ‘pick and choose’ to engage
with certain elements was not an intended feature of
the study design. Viability and intensity of interventions Sustainability of interventions: “It was much easier than I thought it was going to be…I was a little bit scared at
the start of all the changes that would have to be made, but actually it was fine, it was fine, it was all quite
manageable” (Catering manager, environmental site—follow-up stage). 2. Tailoring of interventions: “Even though the study is over it still continued, there was no dramatic okay that’s done
go back to the old ways, pretty much there’s a lot of things that we kept on board” (Catering manager, combined
intervention site—follow-up stage). 3. Information at a glance: “People are in a hurry so it was a perfect situation where you were rushing in and out you
could still see at a glance what your options were in terms of healthy choices” (Occupational health, nutrition education
site—follow-up stage). 4. Employee resistance to change: “The glazed loin of bacon, we took it off for 2 weeks and we had something like 300
common cards or something you know it’s like, ‘where is bacon’ because it would always be on a Monday or Tuesday”
(Catering manager, combined intervention site—follow—up stage). “I suppose from their side they were just afraid that there would be a lot of backlash from the employees and there at
the front line then dealing with it but to be fair when we spoke again with them there wasn’t too much backlash”
(Researcher 2 - follow-up stage). 5. Intervention intensity: “It’s not very regular, should I say and it’s not very intrusive, you know what I mean… it’s the
idea of, you know, getting weighed in once a week and kind of like the competition type thing” (Employee, environmen
site—follow-up stage). 2. Tailoring of interventions: “Even though the study is over it still continued, there was no dramatic okay that’s done
go back to the old ways, pretty much there’s a lot of things that we kept on board” (Catering manager, combined
intervention site—follow-up stage). 3. Information at a glance: “People are in a hurry so it was a perfect situation where you were rushing in and out you
could still see at a glance what your options were in terms of healthy choices” (Occupational health, nutrition education
site—follow-up stage). 3. Viability and intensity of interventions BMC Health Services Research (2016) 16:139 Page 10 of 13 Page 10 of 13 Page 10 of 13 combined intervention workplace reported that
employees’ resistance to change was largely in
response to the removal of some of the unhealthy
options on the menu. This impeded the
implementation of the intervention slightly as
caterers were reluctant to introduce a further chip
free day that had been suggested during the
negotiation with the researchers. However, catering
stakeholders were determined to implement the
agreed intervention elements to an extent they
thought was feasible. The expectation of resistance
to change was one of the main reasons cited for
negotiating the degrees of change in the workplace. There was a perception among researchers that the
‘backlash’ was not as great as expected. Researchers
suggested that any resistance that occurred was due
to a small minority in the workplaces and the
catering company were capable of dealing with it. production work rather than restrictive shift cycles im-
peded implementation of a complex workplace dietary
intervention. Organisational restructuring caused delays to
the study timeline, attrition and disruptions to schedules. These barriers persisted throughout the study but were
eased by the flexibility and negotiation skills of the re-
searchers. The adaptability of the implementation team was
a vital facilitator for implementation and helped accommo-
date the impact of extensive organisational restructuring. Despite consensus in the literature that workplace
dietary process evaluations should be conducted concur-
rently with evaluations of outcomes, the current evi-
dence base is extremely limited [25]. However, findings
from this study are consistent with process evaluations
of other types of organisational interventions. The struc-
tural environment can act as a major barrier to imple-
mentation if it cannot tolerate the intervention that is
being implemented [34]. Previous research indicates that
contextual factors have significant influence on the im-
plementation of workplace interventions. Complexities
of the modern working environment including structural
changes, competing projects, employee turnover and
downsizing have all been outlined as potential barriers
to implementation [27, 29]. Workplaces are dynamic en-
vironments and their contexts cannot be controlled. The
flexibility and adaptability of the researchers were im-
portant factors that helped the study overcome context-
ual barriers [23]. 5. . Intervention intensity: Catering stakeholders and
employees in the education and environmental
workplaces felt that the study lost momentum
towards the end of the study period. Viability and intensity of interventions The
interventions implemented in the education and
environmental workplaces were low intensity by
design compared to the high intensity intervention
that was implemented in the combined workplace. Employees and catering stakeholders in the
education and environmental workplaces felt that
the interventions would have benefited from more
regular stages of data collection and suggested that
more emphasis should be placed on physical
measurements and weight loss to increase
intervention intensity. The low intensity
interventions delivered in these workplaces did not
meet employee expectations. Employees felt that
delays in data collection and long stages of follow-up
resulted in a loss of interest and focus in the study. The findings are consistent with research that suggests
stakeholder buy-in and supportive organisational cultures
facilitate implementation [23, 27, 29]. Managers perceived
benefits and personal interest in the study fostered their
buy-in and support which facilitated implementation. Stakeholder consultation and buy-in is critical for success-
ful implementation [34]. The implementation team openly
consulted with each other throughout recruitment, inter-
vention allocation and intervention implementation. This
consultation process was beneficial for the researchers
collecting data and coordinating and delivering the inter-
vention as they were able to assess the capacity and suit-
ability of each workplace for particular intervention
elements. The process also assisted in workplaces provid-
ing organisational support to the study. Supportive organ-
isational structures and systems are a key enabler of
successful implementation [34]. This study reported the
presence of strong organisational support from one of the
workplaces whereby the HR manager assisted in recruiting
and scheduling of employees for their appointments
which facilitated timely implementation. Viability and intensity of interventions This occurred naturally throughout
the study as employees reported that different
elements of the intervention worked for them, for
example, some employees found the health eating
chat table more beneficial to them compared to the
monthly group nutrition presentations. Employees
also appreciated that participation in the study was
open to all employees in the workplace, regardless of
job position. This inclusive study design which
allowed employees to adapt elements to meet their
own requirements was perceived as a key facilitating
factor for implementation by employees and
management stakeholders. The intervention created
scope to positively impact all employees in terms of 2. Tailoring of interventions: The advantage of being
able to tailor the intervention to address certain
needs was also alluded to by the employees. An
employee being able to ‘pick and choose’ to engage
with certain elements was not an intended feature of
the study design. This occurred naturally throughout
the study as employees reported that different
elements of the intervention worked for them, for
example, some employees found the health eating
chat table more beneficial to them compared to the
monthly group nutrition presentations. Employees
also appreciated that participation in the study was
open to all employees in the workplace, regardless of
job position. This inclusive study design which
allowed employees to adapt elements to meet their
own requirements was perceived as a key facilitating
factor for implementation by employees and
management stakeholders. The intervention created
scope to positively impact all employees in terms of The design of the intervention in terms of its inclu-
sive and visible nature was perceived to be a key fa-
cilitator for successful implementation. 4. Employee resistance to change: The potential for
employee ‘backlash’ in response to choice restriction
impeded implementation. Caterers anticipated that
the implementation of choice restriction may create
a sense of perceived powerlessness amongst
employees. They also anticipated employee ‘backlash’
in reaction to the introduction of chip free days and
reduced portion size. Some of these concerns were
both anticipated and realised concerns. The 4. Employee resistance to change: The potential for
employee ‘backlash’ in response to choice restriction
impeded implementation. Caterers anticipated that
the implementation of choice restriction may create
a sense of perceived powerlessness amongst
employees. They also anticipated employee ‘backlash’
in reaction to the introduction of chip free days and
reduced portion size. Some of these concerns were
both anticipated and realised concerns. The Fitzgerald et al. Discussion However, in practice, the
authors agree that employees should be made fully aware
of what the intervention entails at the outset. This study has several strengths and limitations. To
ensure rigour, Guba’s framework for ensuring trust-
worthiness in qualitative research was adhered to [36]. This framework proposes four criteria for assessing
trustworthiness; credibility, transferability, dependability
and confirmability. Credibility is concerned with asses-
sing the internal validity of the findings, ensuring they
are congruent with reality [36]. In an attempt to ensure
credibility, well established research methods were used. These methods included the use of random sampling
when appropriate, holding regular debriefing discussions
during data collection and triangulating findings from
different stakeholders. Transferability refers to the extent
to which findings can be generalised or applied to other
contexts [36]. These findings may be generalisable nation-
ally and transferable internationally as the workplaces in-
cluded are multi-national manufacturing companies with
similar worldwide structures and operations. Dependabil-
ity addresses the reliability of the study and whether or
not the same results would be achieved if the study were
repeated [36]. In this study dependability is concerned
with the repeatability of the methods [36, 37]. Both an in-
depth methodological description which reported exten-
sively on processes used and a comprehensive description
on how changing contexts affected the implementation of
interventions were provided. Based on the results of this study, it is vital that future
intervention teams consider individual workplace cul-
tures and structural changes during the development
and implementation of interventions. The effects of
structural changes need to be monitored regularly
throughout the study. Workplaces need to be able to
tailor the intervention to meet their own specific needs
with minimal effort [11]. Consultation with key stake-
holders should be an integral aspect of complex work-
place interventions prior to implementation and can
assist in considering the challenges of manufacturing
work and in assessing an organisations readiness for
change. Stakeholders need to be aware of the demands
of the study and researchers need to determine if the
workplace structure can tolerate all aspects of the inter-
vention. Understanding the feasibility of implementing
the FCW interventions will help researchers and work-
place stakeholders anticipate future barriers of imple-
menting multisite workplace dietary interventions. The fourth construct of confirmability is concerned
with the objectivity of the research [36]. Discussion This study aimed to establish what factors facilitated or
impeded implementation of complex workplace dietary
interventions. Four principal themes emerged; perceived
benefits of participation, negotiation and flexibility of the
implementation team, viability and intensity of interven-
tion design and workplace structures and cultures. Contextual factors were found to heavily influence im-
plementation. Tacit workplace cultures including ‘trad-
itional’ menu preferences and anticipated and realised
resistance to change prevented full-scale implementation
of the environmental intervention. The target-driven
culture of manufacturing workplaces impeded imple-
mentation as the researchers involved in data collection
experienced challenges in arranging appointments with
employees. Our
results
suggest
that
manufacturing Our findings are in line with Lewin’s theory of organisa-
tional change which suggests that sustained organisational
change is achieved by workplaces achieving an appropriate
balance between minimising restraining factors and pro-
moting facilitating factors [31–33]. Tacit organisational Fitzgerald et al. BMC Health Services Research (2016) 16:139 Page 11 of 13 Page 11 of 13 cultures such as resistance to change and fragmented
relationships between workplace stakeholders need to be
managed. Resistance to change is a key barrier to achieving
sustainable organisational change [34]. This stage can also
be referred to as the ‘Unfreezing’ stage of the Lewin’s theory
whereby organisations need to recognise the need to
change the current situation [31]. This was achieved
through initial consultations between the research team
and workplace stakeholders. The second stage is referred to
as the ‘Transition’ stage and involves the actual implemen-
tation of the intervention which should promote new be-
haviours,
values or attitudes. This
was achieved by
implementing the FCW interventions and in order to over-
come resistance, negotiation on degrees of change occurred
during the implementation process. Restrictive factors can
be overcome by key workplace stakeholders reinforcing the
benefits of participation and by negotiation and comprom-
ise to minimise negative internal politics. This step can also
be referred to as the ‘Re-freezing’ stage where the change
becomes fixed in the workplace culture of the organisation. Schein’s theory of organisational change is also reflected in
our results as such positive reinforcement and minimising
of restrictive facts can help the change to become embed-
ded in the workplace culture [31]. blinded to their interventions during the FCW trial, the re-
searchers were unable to clarify the employees’ expectations
of the different interventions. Discussion In this study, re-
searcher bias cannot be ruled out as some of the authors
were involved in the overall FCW study and were familiar
with participants. Efforts were made to remain as object-
ive as possible with researchers conducting interviews in
workplaces that they did not visit for data collection. Furthermore, there were a number of members of the
multidisciplinary FCW research team involved in the ana-
lysis and interpretation of findings. However, the inclusion
of respondent validation may have been useful as respon-
dents’ interpretation of emerging results can help refine
findings and strengthen conclusions. Consideration also needs to be given to employee ex-
pectations. Employees’ expectations of an intervention
can impact how it is implemented and received. The
control, education and environmental workplaces re-
ceived low intensity interventions and employees in
these workplaces felt that the momentum of the study
was lost over time. Employees had anticipated an inter-
active intervention that would be of high intensity with
more frequent physical assessments. This perceived loss
of momentum impeded implementation as employees’
interest in the study declined. As the employees were Acknowledgements The authors would like to sincerely thank the workplaces, management and
catering stakeholders and employees who were involved in the FCW study
and the process evaluation. Authors’ contributions All authors worked on the design of this study. SF, FG and CK were
responsible for data collection. SF and SMH were primarily responsible for
data analysis. SMH acted as the inter-rater during analysis and moderator of
the focus groups. All authors provided feedback on interpretation of analysis. SF drafted the paper and all authors provided feedback and approved the
final manuscript. References Ethical approval was granted by the Clinical Research
Ethics Committee of the Cork Teaching Hospitals in
Ireland, March 2013. 1. Capacci S, Mazzocchi M, Shankar B, et al. Policies to promote healthy eating
in Europe: a structured review of policies and their effectiveness. Nutr Rev. 2012;70(3):188–200. 1. Capacci S, Mazzocchi M, Shankar B, et al. Policies to promote healthy eating
in Europe: a structured review of policies and their effectiveness. Nutr Rev. 2012;70(3):188–200. 2. WHO. Obesity: preventing and managing the global epidemic. Report of a
WHO Consultation, WHO Technical Report Series. Geneva: World Health
Organisation; 2000. p. 894. Consent for publication 3. Safefood. The cost of overweight and obesity on the island of Ireland. Executive summary. 2012.http://www.safefood.eu/SafeFood/media/
SafeFoodLibrary/Documents/Publications/Research%20Reports/Final-Exec-
Summary-The-Economic-Cost-of-Obesity.pdf. Accessed 27th Feb 2015. Written informed consent was provided by all participants. Abbreviations Abbreviations
CMAI: Catering Managers Association of Ireland; FCW: food choice at work
study; HR: human resources; IDA: Industrial Development Authority of
Ireland; MRC: Medical Research Council. Availability of data and materials 4. Signal LN, Walton MD, Ni Mhurchu C, et al. Tackling ‘wicked’ health
promotion problems: a New Zealand case study. Health Promot Int. 2013;
28(1):84–94. Topic guides which were used in the interviews and
focus groups are available as additional supporting files. However, signed confidentiality agreements prevent us
from sharing transcripts. 5. Hunter DJ. Leading for health and wellbeing: the need for a new paradigm. J Public Health. 2009;31(2):202–4. 6. National Institute for Health and Clinical Excellence (NICE). Behaviour
change: the principles for effective interventions. 2007. www.nice.org.uk/
guidance/ph6/chapter/3-Recommendations. Accessed 24th Feb 2015. Competing interests The authors declare that there are no conflicts of interest. Conclusion Cohesiveness between different
stakeholders within the workplace and between the imple-
mentation team (stakeholders involved in co-ordination
and delivery of interventions and researchers involved in
data collection and delivery of intervention elements) is
essential for successful implementation. Intervention im-
plementation within organisations is largely influenced by
contextual factors. To achieve organisational change, these
factors need to be carefully considered prior to implemen-
tation along with an assessment of readiness for change. This study provides an in-depth understanding of the im-
plementation context to further illuminate the findings of
the FCW study. Our results may also inform the imple-
mentation of future workplace dietary interventions for
the development of sustainable diet-related disease pre-
vention and provide an opportunity for scaling of similar
interventions for use in practice) for use in practice. Additional file 5: Topic Guide for Follow-up Focus Group. (DOC 33 kb)
Additional file 6: Topic Guide for Managers (Post implementation
stage). (DOCX 27 kb) Additional file 5: Topic Guide for Follow-up Focus Group. (DOC 33 kb)
Additional file 6: Topic Guide for Managers (Post implementation
stage). (DOCX 27 kb) Funding This work is supported by the HRB Centre for Health & Diet Research grant
(HRC2007/13) which is funded by the Irish Health Research Board and by the
Department of Agriculture, Fisheries and Food. This work was also
conducted as part of the HRB Scholar Programme in Health Services
Research under Grant No. PHD/2007/16. Research bursaries were awarded by
the Irish Heart Foundation and Nutrition and Health Foundation. Dr Sheena
Mc Hugh is funded by the Health Research Board Research Leader Award in
Diabetes (RL/2013/7). Received: 23 June 2015 Accepted: 19 April 2016 Received: 23 June 2015 Accepted: 19 April 2016 Conclusion The findings of this study can be used to support the
argument that process evaluations should be carried
out concurrently with effectiveness studies for work-
place interventions [25]. This study demonstrates how
process evaluations can be used to explore factors
that
may
influence
implementation
in
controlled
intervention studies and highlights the complexities
associated
with
implementing
complex
workplace Fitzgerald et al. BMC Health Services Research (2016) 16:139 Page 12 of 13 dietary interventions. Perceived benefits of participa-
tion, stakeholder buy-in and organisational support
are intrinsic facilitators of implementing workplace
dietary interventions. Flexibility and negotiation play a
pivotal role in overcoming the barriers of individual
workplace
cultures,
structures
and
resistance
to
change. Interventions also need to be adaptable as
the manufacturing companies need to tailor interven-
tions to meet specific structural and cultural require-
ments of their workplaces. Workplace stakeholders
play a central role in achieving organisational change
by
reinforcing
benefits
and
providing
fundamental
organisational support. Cohesiveness between different
stakeholders within the workplace and between the imple-
mentation team (stakeholders involved in co-ordination
and delivery of interventions and researchers involved in
data collection and delivery of intervention elements) is
essential for successful implementation. Intervention im-
plementation within organisations is largely influenced by
contextual factors. To achieve organisational change, these
factors need to be carefully considered prior to implemen-
tation along with an assessment of readiness for change. This study provides an in-depth understanding of the im-
plementation context to further illuminate the findings of
the FCW study. Our results may also inform the imple-
mentation of future workplace dietary interventions for
the development of sustainable diet-related disease pre-
vention and provide an opportunity for scaling of similar
interventions for use in practice) for use in practice. dietary interventions. Perceived benefits of participa-
tion, stakeholder buy-in and organisational support
are intrinsic facilitators of implementing workplace
dietary interventions. Flexibility and negotiation play a
pivotal role in overcoming the barriers of individual
workplace
cultures,
structures
and
resistance
to
change. Interventions also need to be adaptable as
the manufacturing companies need to tailor interven-
tions to meet specific structural and cultural require-
ments of their workplaces. Workplace stakeholders
play a central role in achieving organisational change
by
reinforcing
benefits
and
providing
fundamental
organisational support. Additional files 7. Craig P, Dieppe P, Macintyre S, et al. Developing and evaluating complex
interventions: the new Medical Research Council guidance. BMJ. 2008;337:a1655. Additional file 1: Topic Guide for Employees – Baseline stage. (DOCX 27 kb)
Additional file 2: Topic Guide for Focus Group (Baseline stage). (DOC 31 kb)
Additional file 3: Topic Guide for Managers (Baseline stage). (DOCX 23 kb)
Additional file 4: Topic Guide for Employees (Post implementation
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Additional file 2: Topic Guide for Focus Group (Baseline stage). (DOC 31 kb)
Additional file 3: Topic Guide for Managers (Baseline stage). (DOCX 23 kb)
Additional file 4: Topic Guide for Employees (Post implementation
stage). (DOCX 28 kb) Additional file 1: Topic Guide for Employees – Baseline stage. (DOCX 27 kb)
Additional file 2: Topic Guide for Focus Group (Baseline stage). (DOC 31 kb)
Additional file 3: Topic Guide for Managers (Baseline stage). (DOCX 23 kb)
Additional file 4: Topic Guide for Employees (Post implementation
stage). (DOCX 28 kb) 9. Steckler A, Linnan L. Process Evaluation for Public Health Interventions and
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workplace interventions in Europe promoting healthy eating: a systematic
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fruit and vegetable intake can be effective: a systematic review of the
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at blue-collar worksites: results from the ‘Food at Work’ intervention study. Public Health Nutr. 2011;14(6):965–74. 21. Geaney F, Di Marrazzo J, Kelly C, et al. The food choice at work study:
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study on price incentivised healthy eating promotions in workplace
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evaluating organizational-level interventions. Eur J Work Organ Psychol. 2012;22(5):601–17. 26. Nielsen K, Randall R. Opening the black box: Presenting a model for
evaluating organizational-level interventions. Eur J Work Organ Psychol. 2012;22(5):601–17. 27. Saksvik P, Nytro K, Dahl-Jorgensen C, et al. A process evaluation of
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and we will help you at every step: Submit your next manuscript to BioMed Central
and we will help you at every step: 33. Weick KE, Quinn RE. Organizational change and development. Annu Rev
Psychol. 1999;50:361–86. • We accept pre-submission inquiries
• Our selector tool helps you to find the most relevant journal
• We provide round the clock customer support
• Convenient online submission
• Thorough peer review
• Inclusion in PubMed and all major indexing services
• Maximum visibility for your research
Submit your manuscript at
www.biomedcentral.com/submit
and we will help you at every step: 34. Burke K, Morris K, McGarrigle L. An Introductory Guide to Implementation: Terms,
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The COVID-19 Response in North America
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Disaster medicine and public health preparedness
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cc-by
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Disaster Medicine and Public
Health Preparedness
www.cambridge.org/dmp Disaster Medicine and Public
Health Preparedness Keywords: coronavirus; covid-19; North America; social
network analysis; twitter Corresponding author:
Seungil Yum,
Email: yumseungil@gmail.com. Corresponding author:
Seungil Yum,
Email: yumseungil@gmail.com. www.cambridge.org/dmp Design, Construction, and Planning, University of Florida, Gainesville, FL, USA Abstract Original Research
Cite this article: Yum S. The COVID-19 response
in North America. Disaster Med Public Health
Prep. 17(e320), 1–11. doi: https://doi.org/
10.1017/dmp.2022.290. Keywords:
coronavirus; covid-19; North America; social
network analysis; twitter
Corresponding author:
Seungil Yum,
Email: yumseungil@gmail.com. Original Research
Cite this article: Yum S. The COVID-19 response
in North America. Disaster Med Public Health
Prep. 17(e320), 1–11. doi: https://doi.org/
10.1017/dmp.2022.290. Keywords:
coronavirus; covid-19; North America; social
network analysis; twitter
Corresponding author:
Seungil Yum,
Email: yumseungil@gmail.com. Original Research In our Information Technology (IT) based societies, social media plays an important role in
communications and social networks for COVID-19. This study explores social responses
for COVID-19 in North America, which is the most severe continent affected by the
COVID-19 pandemic. This study employs social network analysis for Twitter among the
US, Canada, and Mexico. This study finds that the 3 countries show different characteristics
of social networks for COVID-19. For example, the Prime Minister plays the second most
important role in the Canadian networks, whereas the Presidents play the most significant role
in them, in the US, and Mexico. WHO shows a pivotal effect on social networks of COVID-19 in
Canada and the US, whereas it does not affect them in Mexico. Canadians are interested in
COVID-19 apps, the American people criticize the president and administration as incompe-
tent in terms of COVID-19, and the Mexican people search for COVID-19 cases and the pan-
demic in Mexico. This study shows that governments and disease experts should understand
social networks and communications of social network services, to develop effective COVID-19
policies according to the characteristics of their country. Cite this article: Yum S. The COVID-19 response
in North America. Disaster Med Public Health
Prep. 17(e320), 1–11. doi: https://doi.org/
10.1017/dmp.2022.290. Cite this article: Yum S. The COVID-19 response
in North America. Disaster Med Public Health
Prep. 17(e320), 1–11. doi: https://doi.org/
10.1017/dmp.2022.290. Cite this article: Yum S. The COVID-19 response
in North America. Disaster Med Public Health
Prep. 17(e320), 1–11. doi: https://doi.org/
10.1017/dmp.2022.290. Introduction COVID-19 is a new virus linked to the same family of viruses as Severe Acute Respiratory
Syndrome (SARS) or Middle East Respiratory Syndrome (MERS). COVID-19 was first discov-
ered in Wuhan, China and has become an ongoing pandemic. The World Health Organization
declared the outbreak a Public Health Emergency of International Concern on January 30, 2020,
and a pandemic on March 11, 2020. p
Coronavirus (COVID-19) has been 1 of the most serious issues across the world since 2019. As at August 13, 2020, COVID-19 affects more than 188 countries and territories, resulting in
more than 20.4 million cases of COVID-19 and 744000 deaths. Controlling COVID-19 has
become 1 of the most important tasks for governments to protect their citizens and
economies.1–6 Countries and governments have developed many policies to reduce the damage of COVID-
19 and understand the effects of COVID-19 on human life.7–9 For example, the Canadian gov-
ernment released the COVID-19 Economic Response Plan to help ensure that Canadians can
pay for essentials like mortgages, rent, and groceries, and to help businesses continue to pay their
employees and their bills during this time of uncertainty.10 y
g
y
Many scholars have explored how COVID-19 plays a severe role in people’s health across the
world.11–13 For instance, a comprehensive report published by the Chinese Center for Disease
Control and Prevention highlights that elderly people, particularly those older than 80 years, and
people with comorbidities, such as cardiac disease, respiratory disease, and diabetes, are at great-
est risk of serious disease and death based on epidemiological characteristics of 72314 patients
with COVID-19.14,15 People over 60 years old are at higher risk than children who might be less
likely to become infected or, if so, may show milder symptoms or even asymptomatic
infection.13,16 However, prior studies have heavily explored the number, symptoms, and differences of
COVID-19 patients.17–22 This is because COVID-19 is a new virus that was first identified
in December 2019 and has become an ongoing pandemic. © The Author(s), 2022. Published by Cambridge
University Press on behalf of Society for
Disaster Medicine and Public Health, Inc. 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 unrestricted re-use,
distribution and reproduction, provided the
original article is properly cited. © The Author(s), 2022. Published by Cambridge
University Press on behalf of Society for
Disaster Medicine and Public Health, Inc. Introduction 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 unrestricted re-use,
distribution and reproduction, provided the
original article is properly cited. Some studies have highlighted how COVID-19 plays an important role in people and econo-
mies by employing network analyses.6,23,24 For example, Tiwari et al.24 reported pandemic risk of
COVID-19 outbreak in the US based on network connectedness with air travel data. So et al.23
highlighted financial network connectedness and systemic risk during the COVID-19 pan-
demic. Xiang et al.6,25 reported on the dynamic spread of global COVID-19 infections in 18
countries with the connectedness approach based on the TVP-VAR model. However, they have
all barely highlighted how COVID-19 information is spread by Social Network Services (SNS) to
cope with the new virus pandemic. Understanding SNS for COVID-19 is highly important because most people get relevant
information on COVID-19 from SNS in our IT- based societies. Governments and countries
could provide important news and information on COVID-19 via SNS in a timely manner when https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press S Yum 2 Table 2. Descriptive statistics Table 1. COVID-19 in North America Table 1. COVID-19 in North America
COVID-19 in North America (by August 9, 2020)
Ranking
Country
Confirmed
Deaths
Recovered
24
Canada
119451
8981
103728
1
United States
5199444
165617
2664701
7
Mexico
480278
52298
322465 p
Graph Metric
Canada
The US
Mexico
Graph Type
Directed
Directed
Directed
Vertices
15639
20014
14926
Unique Edges
21408
24263
19796
Edges with Duplicates
4,284
2945
4570
Total Edges
2692
27208
24366
Self-Loops
4346
3738
3188
Reciprocated Vertex Pair Ratio
0.006
0.007
0.005
Reciprocated Edge Ratio
0.013
0.013
0.010
Connected Components
2451
3620
1764
Single-Vertex Connected
Components
1606
1820
1121
Maximum Vertices in a Connected
Component
10663
10718
11450
Maximum Edges in a Connected
Component
19165
16205
20117
Maximum Geodesic Distance
(Diameter)
21
22
24
Average Geodesic Distance
5.674
6.368
6.215
Graph Density
0.000
0.000
0.000
Modularity
0.747
0.837
0.750
Minimum In-Degree
0
0
0
Maximum In-Degree
1227
1035
824
Average In-Degree
1.462
1.269
1.443
Median In-Degree
0.000
0
0
Minimum Betweenness Centrality
0
0
0
Maximum Betweenness Centrality
35577332
40811174
28700369
Average Betweenness Centrality
34014
30840
45814
Median Betweenness Centrality
0.000
0.000
0.000
Minimum Eigenvector Centrality
0.000
0.000
0.000
Maximum Eigenvector Centrality
0.025
0.024
0.032
Average Eigenvector Centrality
0.000
0.000
0.000
Median Eigenvector Centrality
0.000
0.000
0.000 they understand how people communicate with each other to
spread pivotal information on COVID-19. In this vein, this study explores Twitter, which is 1 of the most
popular SNS, by employing social network analysis (SNA). This
study highlights the communication networks for COVID-19 in
Canada, the US, and Mexico since North America is the most
severe continent affected by the COVID-19 pandemic.26–28 For
example, The US has become the country with the largest number
of COVID-19 reported cases and deaths24 (see Table 1). It is
believed that this study is the first article exploring social networks
of COVID-19 by employing SNA for Twitter across North
America.29–31 Research methodology This study employed Social Network Analysis (SNA) to explore the
social networks of COVID-19 in North America. SNA is the proc-
ess of investigating social structures using networks and graph
theory.32 It is a methodology for exploring the relationship among
individuals, groups, and organizations in explaining variations in
behaviors, and beliefs, as well as outcomes.33 While SNA has been
present in some form for decades, it entered popular culture in the
beginning of the twenty-first century.34 SNA allowed this study to
characterize networked structures in terms of COVID-19 key play-
ers and Twitter users. This study utilized Twitter data to highlight the online commu-
nications of people for COVID-19 across public key players. Twitter has been widely used for big data analyses.35–39 the number of shortest paths that pass through the key player. Key players that more frequently lie on shortest paths between
other users have higher betweenness centrality scores. In-degree
is the number of connections that point inward at a vertex. For
example, if a key player is mentioned 10 times by other users in
a Twitter topic-network, the score of the key player is 10.42
Eigenvector centrality calculates a node’s centrality while consid-
ering the importance of its neighbors. For instance, a key player
with 10 very popular twitter users has a higher score of eigenvector
centrality than another key player with 10 relatively unpopular
twitter users.43 This
study
employed
NodeXL
(Social
Media
Research
Foundation, California, USA) between August 1 and August 2,
2020, based on the keywords ‘COVID-19,’ and the countries used
to highlight the social networks of North America for COVID-19. NodeXL (Social Media Research Foundation, California, USA) is a
visualization software program, which supports social networks
and
content
analysis. NodeXL
(Social
Media
Research
Foundation, California, USA) has been extensively used to analyze
social network responses in academic fields40 and it enabled this
study to undertake social network analysis and capture key players
in terms of COVID-19. It allowed the analysis of relational data
and helped describe the overall relational COVID-19 network
structure for Twitter. This study employed the between centrality
to capture public key players for Twitter users. This is because the
score of the between centrality could show people’s dependence on
the key player for the COVID-19 networks. The top 20 key players
among all Twitter users were chosen based on the magnitude of the
between centrality (see Table 2 for descriptive statistics). https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press Results Figures 1 to 3 highlight that key players are highly concentrated in
the central part of social networks for COVID-19, whereas they
show different characteristics according to centrality types, key
player types, and countries. For example, key players in
Canadian networks are heavily clustered in the center of the main
circle, whereas those in Mexico networks are relatively dispersed
across the social networks. Another example is that all national
key players are in the main circle of the social networks, while some
international key players are placed in the outside of the main circle
in the Mexican networks. This study first showed betweenness centrality, in-degree cen-
trality, and eigenvector centrality to highlight social networks for
COVID 19 in North America. The betweenness centrality calcu-
lates how much a node is in-between others. The betweenness cen-
trality is measured by the number of shortest paths that passes
through the node.41 Each key player receives a score based on Disaster Medicine and Public Health Preparedness 3 Tables 3 to 5 show the top 20 key players in Canada, the US, and
Mexico. In Canadian networks, Health Canada and PHAC, which
key player and the second-ranked player (the US:
40418529 and Mexico: 26593479 and 20525750). gure 1. Between centrality (top: Canada, center: the US, and bottom: Mexico). Figure 1. Between centrality (top: Canada, center: the US, and bottom: Mexico). key player and the second-ranked player (the US: 40811174 and
40418529 and Mexico: 26593479 and 20525750). Tables 3 to 5 show the top 20 key players in Canada, the US, and
Mexico. In Canadian networks, Health Canada and PHAC, which
is the agency of the government of Canada, ranked first with the
between centrality (BC)’s value of 35577332. Health Canada and
PHAC showed the biggest gap from the second-ranked key player
among Canada, the US, and Mexico. For example, the value of
Health Canada and PHAC was 2.5 times higher than that of the
second-ranked key player (35577332 and 14256089), while the
other countries showed little difference between the top ranked This is also 1 of the significant differences from the US and
Mexico since they have their president as the number 1 player. In contrast, Justin Trudeau, who is the Prime Minister of
Canada, placed second (14256089). https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press key player and the second-ranked player (the US: 40811174 and
40418529 and Mexico: 26593479 and 20525750).
This is also 1 of the significant differences from the US and
Mexico since they have their president as the number 1 player.
In contrast, Justin Trudeau, who is the Prime Minister of
Canada, placed second (14256089). For the sake of readers, the
Prime Minister of Canada is the head of the government in
Canada, inconsistent with other countries, such as the US and
Mexico. Also, ‘CanadianPM,’ which is the official account of the https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press Results For the sake of readers, the
Prime Minister of Canada is the head of the government in
Canada, inconsistent with other countries, such as the US and
Mexico. Also, ‘CanadianPM,’ which is the official account of the https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press 4 S Yum S Yum 4 Figure 2. In-degree centrality (top: Canada, center: the US, and bottom: Mexico). Figure 2. In-degree centrality (top: Canada, center: the US, and bottom: Mexico). gathering COVID-19 information over the Internet, ranked tenth
(5135869). Donald Trump (the US president at the time) placed
fourteenth (4195138). World Health Organization (WHO) placed
seventeenth (3898973). Prime Minister of Canada, and Chrystia Freeland who is the
Deputy Prime Minister of Canada ranked fifteenth and sixteenth
(4130006 and 3977503), respectively. The most remarkable finding
was that CBC (Canadian Broadcasting Corporation) played an
important role in social networks for COVID-19. For instance,
CBC News and CBC News Alerts ranked third and fourth
(10920955 and 10105638), respectively, while CBC British
Columbia ranked eighth (7020672). CBC Calgary and CBC
Toronto
ranked
nineteenth
and
twentieth
(3265643
and
2853843), respectively. There were also some noticeable character-
istics of Canada for social networks for COVID-19. Corona Update
Bot, which is the Twitter account that runs automated tasks for In the US networks, President Donald Trump played the most
important role in social networks of COVID-19. His account
(Donald Trump) and the US government account (President
Trump) placed first and eighteenth (40811174 and 2346261),
respectively. President Donald Trump had the least gap from
the second-ranked top player (CNN: 40418529) among the 3 coun-
tries. Another remarkable characteristic is that international key
players exert a significant impact on social networks of COVID- https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press 5 Disaster Medicine and Public Health Preparedness 5 Figure 3. Eigenvector centrality (top: Canada, center: the US, and bottom: Mexico). Figure 3. Eigenvector centrality (top: Canada, center: the US, and bottom: Mexico). play an essential role in social networks of COVID-19 in the
US. For example, Corona Update Bot and Corona Virus
Updates ranked ninth and thirteenth (6186204 and 3357575),
respectively. On the other hand, WHO placed twelfth (4228332,
5 ranks higher than that of Canada). 19 since the US has the highest number of international key players
(10) among the 3 countries. https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press Results For example, Reuters, which is an
international news organization, ranked fifth (17980783), and
World News, which is the news for all English users, placed seventh
(6556337). The Guardian, which is the British daily newspaper,
ranked eighth (6293035), and NDTV, which is the Indian televi-
sion media company, placed eleventh (4781407). Nzherald, which
is the New Zealand Herald newspaper, ranked fifteenth (3027882),
and The Sydney Morning Herald, which is the Australia daily com-
pact newspaper, placed nineteenth (1869109). Guardian news,
which
is
the
British
daily
newspaper,
ranked
twentieth
(1613139). Another important characteristic is that Corona bots In the Mexican networks, Andrés Manuel who is the President
of Mexico had the most crucial impact on social networks of
COVID-19 (26593479). Hugo L´opez-Gatell Ramírez who is the
head
of
the
Undersecretariat
of
Prevention
and
Health
Promotion at the Mexican Secretariat of Health ranked second
(20525750). SALUD México, which is the Ministry of Health of
Mexico, ranked third (19856765), and DW Espa˜nol, which is https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press S Yum 6 Table 3. Results The top 20 key players in Canada
L
BC
Name
Description
1
C1
35577332
Health
Canada and
PHAC
Agency of the Government of
Canada
2
C2
14256089
Justin
Trudeau
Prime Minister of Canada
3
C3
10920955
CBC News
Canadian Broadcasting
Corporation
4
C4
10105638
CBC News
Alerts
Canadian Broadcasting
Corporation Alerts
5
C5
8064724
The Globe
and Mail
Canadian newspaper in
Western and Central Canada
6
C6
7398429
Rachel
Notley
The 17th Premier of Alberta
7
C7
7027855
Theresa
Tam
The 3rd Chief Public Health
Officer of Canada
8
C8
7020672
CBC British
Columbia
Canadian Broadcasting
Corporation British Columbia
9
I1
6595130
REFORMA
Mexican newspaper
10
I2
5135869
Corona
Update Bot
Twitter account that runs
automated tasks for gathering
COVID-19 information over the
Internet
11
C9
5054117
Toronto
Star
Canadian broadsheet daily
newspaper
12
I3
4946213
The
Economist
International weekly
newspaper
13
C10
4252638
Radio-
Canada Info
The National Public
Broadcaster for both radio
and television
14
I4
4195138
Donald
Trump
The US President
15
C11
4130006
CanadianPM
Official account of the Prime
Minister of Canada
16
C12
3977503
Chrystia
Freeland
Deputy Prime Minister of
Canada
17
I5
3898973
WHO
World Health Organization
18
C13
3827592
Patty Hajdu
Canadian Liberal politician
19
C14
3265643
CBC Calgary
The division of the Canadian
Broadcasting Corporation
20
C15
2853843
CBC
Toronto
Canadian Broadcasting
Corporation Toronto
Note: L, Label; BC, Between Centrality; C, Canada key player; U, US key player; M, Mexico key
player; I, International key player Table 4. The top 20 key players in the US Table 3. The top 20 key players in Canada Table 4. Results The top 20 key players in the US
L
BC
Name
Description
1
U1
40811174
Donald
Trump
The US President
2
U2
40418529
CNN
American news-based
television channel
3
U3
27796119
Elizabeth
Warren
United States Senator
4
U4
19576088
NBC News
American broadcast
television network NBC
5
I1
17980783
Reuters
International news
organization
6
U5
9292760
Seth
Abramson
Professor at University of
New Hampshire
7
I2
6556337
World News
World news for all English
Users
8
I3
6293035
The
Guardian
British daily newspaper
9
I4
6186204
Corona
Update Bot
Twitter account that runs
automated tasks for
gathering COVID-19
information over the Internet
10
U6
5004303
CNN
International
American news-based pay
television channel owned by
CNN Worldwide International
11
I5
4781407
NDTV
Indian television media
company
12
I6
4228332
WHO
World Health Organization
13
I7
3357575
Corona Virus
Updates
Twitter account that runs
automated tasks for
gathering COVID-19
information over the Internet
14
U7
3100556
U.S. FDA
Federal Agency of the United
States Department of Health
and Human Services
15
I8
3027882
nzherald
The New Zealand Herald
newspaper
16
U8
2709190
ProPublica
Nonprofit organization based
in New York City. It is a
newsroom that aims to
produce investigative
journalism pieces in the
public’s interest
17
U9
2681733
ABC News
American Broadcasting
Company broadcast network
18
U10
2346261
President
Trump
The US President
19
I9
1869109
The Sydney
Morning
Herald
Daily compact newspaper
20
I10
1613139
Guardian
news
British daily newspaper Note: L, Label; BC, Between Centrality; C, Canada key player; U, US key player; M, Mexico key
player; I, International key player Note: L, Label; BC, Between Centrality; C, Canada key player; U, US key player; M, Mexico key
player; I, International key player the regional version of official German TV Deutsche Welle for the
Americas, placed fourth (12817876). An important finding is that
key players in the Americas play a crucial role in social networks of
COVID-19 for Mexico. For instance, Michelle Lujan Grisham who
is the Governor of New Mexico ranked fifth (6852442), and CNN
en Espa˜nol, which is the Spanish version of the American news
channel, placed sixth (6396820). Donald Trump ranked eighth
(4415974), and Ecuavisa Noticias, which is the best television
channel of Ecuador, placed eleventh (4083047). https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press Disaster Medicine and Public Health Preparedness Disaster Medicine and Public Health Preparedness 7 Table 5. The top 20 key players in Mexico
L
BC
Name
Description
1
M1
26593479
Andrés
Manuel
President of Mexico
2
M2
20525750
Hugo
L´opez-
Gatell
Ramírez
Mexican epidemiologist
3
M3
19856765
SALUD
México
Ministry of Health of Mexico
4
M4
12817876
DW Espa˜nol
TV network
5
I1
6852442
Michelle
Lujan
Grisham
Governor of New Mexico
6
I2
6396820
CNN en
Espa˜nol
American news-based pay
television channel owned by
CNN en Espa˜nol
7
M5
5328467
El Universal
Mexican newspaper based in
Mexico City
8
I3
4415974
Donald
Trump
The US President
9
M6
4350723
MVS
Noticias
MVS News station about the
events in Mexico and the
world. 10
M7
4086844
REFORMA
Mexican newspaper
11
I4
4083047
Ecuavisa
Noticias
The best television channel of
Ecuador. 12
M8
3333236
La Raz´on
de México
Mexican news
13
M9
3294387
Forbes
México
American business magazine
México
14
I5
2973207
El Universo
1 of the largest daily
newspapers in Ecuador
15
I6
2906046
Presidencia
Cuba
Official Account of the
President of the Republic of
Cuba
16
M10
2397243
Marcelo
Ebrard C. Former Head of Government
of the Federal District
17
M11
2362085
MetroCDMX
The Mexico City Metro
18
M12
2300488
Milenio
Major national newspaper in
Mexico
19
M13
2128614
El
Financiero
Main newspaper in Mexico
20
M14
1742339
Animal
Político
Breaking news, reports,
research, videos and useful
information about Mexico and
the world Table 5. The top 20 key players in Mexico (U6) play a significant role in group 1. Elizabeth Warren (U3)
exerts a crucial impact on group 2. Donald Trump (U1),
President Trump (U10), and Corona Update Bot (I4) are in the
central part of group 3. Also, people show the most closed commu-
nication networks across groups among the countries. In the Mexican networks, there is no key player in group 1, and
this is the most distinguishable characteristic from Canada and the
US. Instead, many key players are concentrated in group 2, and
they are all Mexican key players. For example, Andrés Manuel
(M1), Hugo L´opez-Gatell Ramírez (M2), and SALUD México
(M3), as well as REFORMA (M7), Marcelo Ebrard (M10), and
Animal Político (M14) are in group 2. Also, they show the most
active communication networks with people across groups. Next, this study highlighted the top word pairs in tweets accord-
ing to countries (see Table 6). Disaster Medicine and Public Health Preparedness In the Canadian networks, the top
word pairs were ‘covid,19,’ followed by ‘covid, alert,’ ‘alert, app,’
‘19, cases,’ and ‘download, here.’ Canadians are highly interested
in COVID-19 apps since the government provided digital tools
to help them access services and get information on COVID-19. For instance, Health Canada released COVID-19 apps, such as
COVID Alert and Canada COVID-19. COVID Alert notifies peo-
ple if someone they met in the past 14 days, tells the app they tested
positive. Canada COVID-19 is designed for people to stay
informed about COVID-19 in Canada and determine what actions
and next steps they should take. In the US networks, people were searched about ‘covid,19’
ahead of ‘Donald, trump,’ ‘united, states,’ ‘trump, incompetent,’
and ‘incompetent, administration.’ The US people are highly inter-
ested in their president’s pandemic policy and highly criticized the
president and administration as incompetent for COVID-19. For
instance, Pittsburgh Tribune-Review, which is the second largest
daily newspaper serving metropolitan Pittsburgh, Pennsylvania,
in the US, criticized President Trump and his administration as
follows ‘After a single case of coronavirus in China became a pan-
demic and reached our shores in January, we had a federal response
we believe was incompetent. Trump and his administration not
only failed to control the virus, but let it become the most danger-
ous outbreak on the planet.’45 In the Mexican networks, people focused on ‘covid,19,’ followed
by ‘en, méxico (in Mexico),’ as well as ‘de, covid (of covid),’ ‘la, pan-
demia (the pandemic),’ and ‘casos, y (cases and).’ Mexican people
searched for COVID-19 cases and the pandemic in Mexico. This is
because on July 31, 2020, Mexico moved into third place in the
number of fatalities, behind the United States and Brazil, with
46688 deaths, and occupied sixth place globally in the total number
of confirmed cases, with 424637 cases. patterns. Nzherald (I8) is far apart from other key players. In the
Mexican networks, nodes show a large circle, and there are many
nodes under the circle. Key players show the most disperse pattern,
and El Universo (I5) has some independent channels. https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press Results El Universo, which
is 1 of the largest daily newspapers in Ecuador, placed fourteenth
(2973207), and Presidencia Cuba, which is the official account of
the Presidency of the Republic of Cuba, ranked fifteenth (2906046). Another remarkable characteristic is that Mexico does not have
corona bots or WHO in its top key players, inconsistent with
Canada and the US. Cluster analysis is a methodology for the task of assigning a set
of objects into groups so that the objects in the same cluster are
like each other than those in other clusters. The Clauset-
Newman-Moore algorithm has been widely used to analyze social
media metrics and represent the sociograms.44 Figure 4 shows the social networks of COVID-19 for the typical
case. In the Canadian networks, nodes are highly concentrated as a
circle, and some nodes are dispersed around the circle. All key
players are also highly centralized in the main part of the circle. In the US networks, nodes and key players show more dispersed Next, this study employed cluster analysis by utilizing the
Clauset–Newman–Moore cluster algorithm (see Figure 4 and 5). Discussion COVID-19 has become 1 of the worst disasters in human history. It
totally damages people’s daily life, and people are waiting for new
COVID-19 vaccines. By August 2020, there was no choice but to
keep social distancing and COVID-19 information updated. In this
sense, understanding COVID-19 networks would be an essential
task for governments to provide relevant information on
COVID-19 to the public. Therefore, this study highlights how peo-
ple communicate with each other on COVID-19 information by
employing SNA for Twitter in North America. Figure 5 shows the social networks of COVID-19 according to
groups. In the Canadian networks, many players are in the largest
group (group 1). For example, Health Canada and PHAC (C1),
Justin Trudeau (C2), and Theresa Tam (C7), as well as
CanadianPM (C11), and Patty Hajdu (C13) are in the group 1. They are all governmental key players. Key players in Canada
are in large groups. For instance, all key players are located within
group 15. Also, people have the most open communication net-
works across groups among the 3 countries. This study unearthed some important findings, consistent with
prior studies. First, this study shows that countries have different
key players in social networks for COVID-19, consistent with prior
studies.46 For example, Yum46 highlights that the UK has only In the US networks, key players are relatively distributed in
many groups. For instance, CNN (U2) and CNN International 8 S Yum S Yum 8 e 4. Social networks for the typical case (top: Canada, center: the US, and bottom: Mexico). Figure 4. Social networks for the typical case (top: Canada, center: the US, and bottom: Mexico). national key players, France has many national key players, and
other countries have all global key players. public’s sentiments and opinions, which concurs with prior liter-
ature.50–52 For example, Xue et al.52 showed that Twitter can play a
significant role in infodemiology studies, enabling scholars and
governments to understand public opinions and sentiments during
the COVID-19 pandemic. Second, the head of countries also plays an important role in
social networks for COVID-19 in social network services as well
as in the real world, which is a similar finding of previous
articles.47–49 For instance, Rufai and Bunce48 found out that
Twitter can represent a significant tool for world leaders to
immediately communicate public health information with their
citizens. https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press Discussion Lastly, this study has some limitations which are follows: (1)
this study focuses on key players in social networks for COVID-
19. Future studies can be extended to other players to understand
the social networks with more comprehensive understanding; (2)
this study employs social network analysis only for Twitter. Other
SNS, such as Facebook, YouTube, or Instagram, might show differ-
ent findings and results. Future studies should explore social Third, people actively utilize their social network services for
COVID-19 to share their opinions with each other and get valuable
information across, and Twitter can be utilized to understand the Conclusion 4. Jordan RE, Adab P, & Cheng KK. Covid-19: risk factors for severe disease
and death. BMJ. 2020;368. This study aimed to highlight COVID-19 response in North
America since North America is the most severe continent affected
by the COVID-19 pandemic. Hence, social network analysis was
used to highlight social networks for COVID-19 on Twitter to pro-
vide useful implications and findings for scholars, governments,
and centers for disease control and prevention. 5. Tang YW, Schmitz JE, Persing DH, Stratton CW. Laboratory diagnosis of
COVID-19: current issues and challenges. J Clin Microbiol. 2020;58(6). doi: 10.1128/JCM.00512-20 6. Xiang L, Tang M, Yin Z, Zheng M, Lu S. The COVID-19 pandemic and
economic growth: theory and simulation. Frontiers in Public Health. 2021;
doi: 10.3389/fpubh.2021.741525. The results from this study can be summarized as follows: (1)
the Prime Minister plays the second important role in social net-
works for COVID-19 in the Canadian networks, whereas the
Presidents play the most significant role in them in the US and
Mexican networks; (2) Corona Update Bots exert a crucial impact
on social networks of COVID-19 in Canada and the US, while they
are not in the top 20 key players in Mexico; (3) Donald Trump
played a significant role in all 3 countries; (4) WHO shows a pivotal
effect on social networks of COVID-19 in Canada and the US,
whereas it does not affect them in Mexico; (5) Canada shows
the most open communication systems across groups, whereas
the US reveals the most closed communication systems among
groups; and (6) Canadians are highly interested in COVID-19
apps, the US people highly criticize the president and administra-
tion as incompetent for COVID-19, and Mexicans tend to search
for COVID-19 cases and the pandemic in Mexico. 7. Chen Q, Min C, Zhang W, Wang G, Ma X, Evans R. Unpacking the black
box:
how
to
promote
citizen
engagement
through
government
social media during the COVID-19 crisis. Computers in Human Behav. 2020:106380. 8. Dong E, Du H, Gardner L. An interactive web-based dashboard to track
COVID-19 in real time. Lancet Infect Dis. 2020;20(5):533-534. 9. Zhou X, Snoswell CL, Harding LE, et al. The role of telehealth in reducing
the mental health burden from COVID-19. TeleMed E-Health. 2020;26(4):
377-379. 10. Government of Canada. Canada’s COVID-19 economic response plan. Government of Canada: Ontario; 2020. 11. Fang L, Karakiulakis G, Roth M. Conclusion Are patients with hypertension and dia-
betes mellitus at increased risk for COVID-19 infection? The Lancet Respir
Med. 2020;8(4):e21. 12. Mehta P, McAuley DF, Brown M, et al. COVID-19: consider cytokine
storm syndromes and immunosuppression. Lancet. 2020;395(10229):
1033-1034. p
This study suggests important implications which are as fol-
lows: (1) countries should investigate their key players since they
have different characteristics for social networks of COVID-19; (2)
the Canadian government should utilize CBC news channels for
COVID-19 since they are number 5 out of the top 20 key players. The US government should employ the accounts of Donald Trump
because he placed first and eighteenth, respectively. The Mexican
government should use the accounts of the President of Mexico
and the Ministry of Health of Mexico since they ranked first
and third, respectively; (3) governments should explore their com-
munication networks systems both for individuals and groups
since they have different characteristics according to countries;
(4) countries and policy makers should investigate social keywords
of people through social network services since they reveal their
concerns and interests in the internet space; and (5) people should
get COVID-19 information and recommendations from a multi-
tude of key players as well as 1 or 2 key players since a key player
might not align with current pandemic recommendations or have
some political movements. For example, Donald Trump who
ranked first in the US networks did not recommend wearing a
mask in public, while many studies show that the use of face mask
prevents the spread of COVID-19.53–55 In this case, people might
get the wrong information and be affected by others’ political
movements. Therefore, people should try to get objective
COVID-19 news and policies by exploring a multitude of key play-
ers who are suggested in this study. 13. Velavan TP, MeyerM CG. The COVID-19 epidemic. Tropical Med Int
Health. 2020;25(3):278-280. 14. Bedford J, Enria D, Giesecke J, et al. COVID-19: towards controlling of a
pandemic. The Lancet. 2020;395(10229):1015-1018. 15. Wu Z, McGoogan JM. Characteristics of and important lessons from the
coronavirus disease 2019 (COVID-19) outbreak in China: summary of a
report of 72314 cases from the Chinese Center for Disease Control and
Prevention. JAMA. 2020;323(13):1239-1242. 16. Li Q, Guan X, Wu P, et al. Early transmission dynamics in Wuhan, China,
of
novel
coronavirus-infected
pneumonia. N
Engl
J
Med. 2020;
382(13):1199-1207. doi: 10.1056/NEJMoa2001316 17. Burke RM. References References networks for other SNS as well as Twitter; (3) this study analyzes
social networks only for COVID-19. Future research could com-
pare social networks between COVID-19 and other types of coro-
naviruses, such as Severe Acute Respiratory Syndrome or Middle
East respiratory syndrome coronavirus, to effectively establish
health policies for governments and health planners. 1. Anderson RM, Heesterbeek H, Klinkenberg D, Hollingsworth TD. How
will country-based mitigation measures influence the course of the
COVID-19 epidemic? The Lancet. 2020;395(10228): 931-934. 2. Cheng C, Barcel´o J, Hartnett AS, Kubinec R, Messerschmidt L. COVID-
19 government response event dataset (CoronaNet v. 1.0). Nat Human
Behav. 2020;4(7):756-768. 3. Hopman J, Allegranzi B, Mehtar S. Managing COVID-19 in low-and
middle-income countries. JAMA. 2020;323(16):1549-1550. Disaster Medicine and Public Health Preparedness Disaster Medicine and Public Health Preparedness 9 Table 6. The top word pairs
Canada
The US
Mexico
Word Pairs
Count
Word Pairs
Count
Word Pairs
Count
1
covid,19
11719
covid,19
13418
covid,19
12476
2
covid, alert
2316
Donald, trump
1514
en, méxico
4606
3
alert, app
1542
united, states
1331
de, covid
4124
4
19, cases
837
trump, incompetent
1035
la, pandemia
1701
5
download, here
784
incompetent, administration
1035
casos, y
1646 tworks according to groups (top: Canada, center: the US, and bottom: Mexico). Figure 5. Social networks according to groups (top: Canada, center: the US, and bottom: Mexico). https://doi.org/10.1017/dmp.2022.290 Published online by Cambridge University Press S Yum S Yum 10 Conclusion Active monitoring of persons exposed to patients with con-
firmed COVID-19—United States, January–February 2020. MMWR. 2020;69(9):245-246. 18. COVID TC, Stephanie B, Virginia B, et al. Geographic differences in
COVID-19 cases, deaths, and incidence-United States, February 12 -
April 7, 2020. https://www.cdc.gov/mmwr/volumes/69/wr/pdfs/mm6915
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Too late and not enough for some children: early childhood education and care (ECEC) program usage patterns in the years before school in Australia
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© 2015 Gilley et al. 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. RESEARCH Open Access Too late and not enough for some
children: early childhood education and care
(ECEC) program usage patterns in the years
before school in Australia Timothy Gilley1,2* , Collette Tayler2, Frank Niklas2 and Daniel Cloney2 *Correspondence: tgilley@
unimelb.edu.au
1 Victorian Department
of Education, 2 Treasury
Place, East Melbourne 3002,
Australia
Full list of author information
is available at the end of the
article Gilley et al. ICEP (2015) 9:9
DOI 10.1186/s40723-015-0012-0 Policy and research context The benefit of early childhood education, particularly targeted toward children living in
disadvantaged circumstances—vulnerable children—in the years before school has been
well established through evaluations of model programs in the US dating back to the late
1960s (Anderson et al. 2003). Benefits of model programs were established in the areas of
cognitive, educational and social gains for individual children, savings in public expendi-
ture through lowered grade retention rates in schools, lower welfare and criminal justice
expenditure and broader benefits of human capital development (Heckman and Masterov
2006). More recently, improved child outcomes have been linked to the provision of high-
quality pre-kindergarten classrooms (Burchinal et al. 2010, 2014). Abstract This paper uses data from a major Australian longitudinal study to test the extent to
which children recruited on the basis of attending an early childhood education and
care (ECEC) setting when they were 3–4 years of age received an ‘optimal’ dosage of
education and care. The idea of an optimal dosage is drawn from research literature on
what level of dosage leads to improved learning and development outcomes for chil-
dren. This dosage level is then compared with the actual level received by Australian
children, through examining the age of entry of Australian children into ECEC and the
number of hours of education and care they receive before school entry. Key predic-
tors of the total hours of ECEC usage and the year of commencement in formal ECEC
programs are reported, and demonstrate the variability and correlates of participation
in ECEC programs. Patterns of ECEC usage were predicted by family advantage and
disadvantage factors. Children from homes with less employment, and more siblings,
tend to use fewer hours of ECEC before school and/or start later. The findings suggest
sub-optimal levels of participation given the policy goal of improving learning and
developmental outcomes for all children and particularly for children from disadvan-
taged backgrounds. Policy implications are addressed. Keywords: Child care, Kindergarten, Early childhood education and care (ECEC),
Disadvantaged, E4Kids study, Policy Early childhood program participation The knowledge base is strongest around positive cognitive/academic gains from participa-
tion in kindergarten in the year before school (Duncan and NICHD ECCRN 2003; Gorm-
ley et al. 2005; Loeb et al. 2007; Magnuson et al. 2004; Spiess et al. 2003), including studies
in Australia (Warren and Haisken-DeNew 2013). However, there is also a smaller, though
increasing, evidence base of the value of intervening in the first 3 years of life (Campbell
et al. 2012; Coley et al. 2015; Li et al. 2014; Sylva et al. 2004). The national and international implications of findings from Australian research
studies require an understanding of the Australian early childhood education and care
(ECEC) system. In essence, it is a complex system of care and education managed by a
range of different organisations, including local government, community-based organi-
sations, for-profit providers and schools. Programs are delivered through centre-based
programs providing Long Day Care, Occasional Care and stand-alone Kindergarten pro-
grams and also in the form of home-based care through Family Day Care. Kindergarten
programs are also delivered within Long Day Care programs and traditional stand-alone
Kindergartens are increasingly extending their programs to include child care. Fund-
ing for child care is mostly a national responsibility whilst kindergarten programs are
funded by State and Territory Governments. Australian national research has recently found that there are significant and stronger
cognitive gains for children attending ECEC programs from the infant/toddler age
through to preschools, rather than preschool attendance only, as well as for those chil-
dren with a greater intensity of exposure. These findings from the Longitudinal Study of
Australian Children (LSAC) were irrespective of ECEC quality, which was not assessed
within the LSAC study, emphasising the importance of focussing on dosage issues in
ECEC provision when considering children’s cognitive outcome effects (Coley et al. 2015). In Australia the ECEC participation rates include about 8% of children under 1 year of
age, about 37% of children 1–2 years of age and about 55% of children 2–3 years of age
(Productivity Commission 2014). About 41% of children attend child care in the 3–5 age
range and 70% attend 4-year-old kindergarten, (Productivity Commission 2014) though
this latter figure can be expected to extend to over 90% with the national adoption of a
Universal Access policy. Gilley et al. ICEP (2015) 9:9 Page 2 of 15 Evidence from neuroscience on how human brain architecture is established in
the first three years of life (NSCDC 2008) has created new public interest within and
beyond OECD countries in investing in children’s education in this period. While
interest in model programs for highly vulnerable children continues (Leseman 2002;
Burchinal et al. 2006, 2010), there has also been a shift to examining the extent to which
mainstream programs can help deliver on this promise of early childhood for all chil-
dren (Burger 2010), notably in the US (Howes et al. 2008; Vandell et al. 2010), the UK
with the EPPE study (Sylva et al. 2004), Canada (Cleveland and Forer 2010), Germany
(Caniato et al. 2010), Denmark (Bauchmillar et al. 2011; Jensen 2013) and China (Li
et al. 2014). Early childhood program participation The estimated 30 per cent of children under 3 years of age who
attended ECEC programs in Australia in 2009 is at a similar level to a number of other Gilley et al. ICEP (2015) 9:9 Page 3 of 15 OECD countries such as the UK (35%), US (31%) and Canada (24%), but is lower than in
a number of others, such as Denmark (73%) (Moss 2012). Four groupings of Australian children are less likely to participate in ECEC programs:
those in low income families, having a disability, at risk of abuse or neglect or being
developmentally disadvantaged because of the characteristics of their family, culture or
community (Productivity Commission 2014). Similar groupings of Australian children
have also been identified as less likely to participate in ECEC programs in other research:
those from low socio-economic backgrounds, remote communities, Indigenous back-
ground, non-English speaking background, and having a disability or special health care
needs (Baxter and Hand 2013; Biddle 2011). The challenge to public policy is how to ensure that children enter the ECEC system
early enough, for a sufficient period of time on a weekly basis and at high enough qual-
ity to make a positive difference to their learning and life trajectories. Despite manifest
interest in all children, a particular interest in vulnerable children continues because
their poor outcomes are of great public concern, represent additional public costs and
are a loss of human capital. They are also the children who have potentially the most to
gain from early intervention (Burchinal et al. 2014). Impacts of program participation for children from disadvantaged families A review of research studies (Burger 2010) on the compensatory impacts of ECEC
on the cognitive abilities of children found a mix of findings for whether vulnerable
or non-vulnerable children benefited more in mainstream settings, with some studies
finding that vulnerable children gained more, whilst others found that vulnerable and
non-vulnerable children gained equally (and hence their relative positions remained
unchanged) and, in one study, non-vulnerable children gained more. An earlier review
on the same question also found mixed findings with possible explanations being a lack
of capacity of the families of vulnerable children to input into ECEC programs, and
poor attachment of children translating into barriers to learning within ECEC settings
(Leseman 2002). The difficulties of establishing cause and effect relationships between ECEC partici-
pation and longer term academic/cognitive attainment are well illustrated in 50 case
studies drawn from the EPPSE study (a follow-on from the EPPE study) in the UK (Siraj-
Blatchford et al. 2010). In this research four groupings of children were identified at age
16 years. In one grouping, children from low socio-economic status (SES) backgrounds
had expected low attainment, with factors such as low home learning support from par-
ents, poor self-image, low-quality ECEC environments, perceived poor quality teach-
ing in schools, lack of peer support and poor access to written materials and computers
prominent. The same factors, but in reverse, were true for children from high SES envi-
ronments with high attainment at age 16 years of age. For children from low SES envi-
ronments ‘who succeeded against the odds’ factors included the persistence of parents in
providing children good early and later learning experiences despite poorer home learn-
ing environments, greater ability of children to take advantage of learning opportunities
in ECEC settings, higher quality ECEC and school settings, parental selection of ECEC
programs based on a belief of its importance, careful parental evaluation of its suitability
for their child, and children’s perception that they were assisted by teachers when facing Gilley et al. ICEP (2015) 9:9 Page 4 of 15 difficult tasks at school. For children from high SES environments with low attainment,
issues included ineffective learning strategies and externalising problem behaviour when
approaching puberty (Siraj-Blatchford et al. 2010). Optimal patterns of ECEC attendance Government has an understandable cost effectiveness interest in what is the optimum
level of attendance or dosage that will bring about worthwhile cognitive/school success
changes in child outcomes, especially for vulnerable children. Some studies of mainstream
programs have found that part-time versus full-time provision in any given year makes no
significant difference to cognitive gains (Cleveland and Forer 2010; Sylva et al. 2004; Howes
et al. 2008). Others have been able to differentiate effects between children from lower and
higher income families, with longer hours leading to higher cognitive gains for low income
children but no additional gains for higher income children beyond 15 h per week (Loeb
et al. 2004). In the evaluation of model programs with vulnerable children only, part-time
attendance has been shown to be less effective than full-time attendance; for example the
evaluation of the Abecedarian approach found 350+ hours per annum (an average of 3.3+
days per week) had a lower impact on children’s cognitive development than 400+ hours
per annum (an average of 3.8+ days per week) (Campbell et al. 2012). Although policy makers may seek thresholds for optimal patterns of attendance in
early childhood programs to guide funding decisions about the provision of early child-
hood programs, research findings provide no clear guidance. It needs to be acknowl-
edged that a minimum threshold of attendance and participation is yet to be firmly
established in research—probably because of the complexity of the interactions between
ECEC quality, attendance, dosage and degree of child vulnerability. Reasons for a lack of
consistency in studies on the effects of different dosages of attendance include: varying
degrees of program quality, a split focus on current participation and cumulative par-
ticipation, different measures of attendance (hours per week, full and part day, attend-
ance at particular types of program, cumulative hours over a number of years and age
of entry) and reliance on enrolment of the child in a program as the proxy for attend-
ance, rather than their actual attendance. Assessing the effects of early entry to ECEC
programs is further complicated by this being less common, with less data available. It
is also difficult to differentiate the effects of the timing of entry into ECEC from family
background factors and program quality factors (Zaslow et al. 2010). Impacts of program participation for children from disadvantaged families Maintaining a sufficiently high focus on vulnerable children in mainstream settings,
where there is likely to be a mix of highly vulnerable, less vulnerable and essentially non-
vulnerable children, has a number of different challenges from model programs com-
prising only vulnerable children. Educators need to be able to identify the vulnerable
children and then be able to provide a sufficiently intensive intervention that is matched
to the range of capabilities and interests of the children. Without this, there is evidence
that it may be the advantaged children who are best placed to take advantage of the
learning opportunities in mainstream settings (Burger 2010). Behavioural outcomes Whilst this paper focuses on new Australian data on dosage patterns, and how this com-
pares with what the broader literature has to say about optimum dosage patterns for
improving cognitive outcomes, it is worth noting that there have been consistent research
findings that more extensive hours of ECEC, often expressed as being over 30 h per week,
contribute to social and emotional difficulties for children, evidenced by more difficult/
externalising behaviour. However, high quality has been shown to moderate externalising
behaviour, whilst association with large groups of peers increases such behaviour (McCa-
rtney et al. 2010). Multiple care arrangements have also been shown to be associated with
poorer behavioural outcomes across a number of studies, though recent more nuanced
research indicates that this is the case for unstable multiple arrangements only (Pilarz and
Hill 2014). Research questions and study context The findings reported below relate to the following questions: The findings reported below relate to the following questions: • •
What are the ‘weekly hours’ patterns of attendance in typical Australian ECEC pro-
grams in each of the years before school? • •
What are the predictors of overall hours of ECEC attendance, and overall kindergar-
ten hours of attendance. • •
What are the predictors of early age entry into ECEC programs? The policy interest is the extent to which patterns of children’s attendance promote
the improvement in children’s cognitive outcomes that high quality model programs
predict—for children already enrolled in ECEC programs when 3–4 years of age. The
interest here is also the extent to which more vulnerable children are more or less likely
to have optimum levels of attendance; that is, do patterns of attendance potentially pro-
mote greater equality or inequality of cognitive outcomes? Following the findings from
other research, the interest is in total ECEC participation, which includes both child care
and kindergarten programs, and in kindergarten programs separately. Optimal patterns of ECEC attendance Despite these differences and ambiguities in research findings, policy decisions still
need to be made by governments and it is important that there is a ‘best estimate’ distil-
lation of research findings. In relation to model programs, two major conclusions can
be drawn: earlier is better and more is better. Plausibly, this relates to the high quality Gilley et al. ICEP (2015) 9:9 Page 5 of 15 and level of resourcing with a concentrated focus on vulnerable children and the much
higher quality of the program environment relative to that of home. In relation to main-
stream programs, there is some evidence that cognitive advantages do not accrue to
children under 2 years of age and that part-time attendance may be as advantageous to
cognitive development as full-time attendance—though there is also evidence supports
the ‘more and earlier’ view (Li et al. 2014). Methods The dosage of ECEC programs that children experience is analysed using data collected
from a cohort of some 2,600 young children recruited through ECEC settings in Victoria
and Queensland (the E4kids study) (see Tayler et al. 2013 for more information). The sam-
ple selection began with the identification of every approved long day care, family day care,
kindergarten and occasional care program in the greater capital city regions, in a large
regional centre in Victoria and in a remote city in north western Queensland. A random Gilley et al. ICEP (2015) 9:9 Page 6 of 15 selection was then drawn to include programs operating in a range of high and low socio-
economic status (SES) communities based upon the postcode data of where these services
were located. The rooms in which 3- and 4-year-old children were enrolled were then
identified and the parents of all children in these rooms were invited to join the study. An
annual data collection was implemented (2010–2012), including attendance, individual
assessment of the children’s learning and development, family circumstances and observa-
tional measures of the quality of the programs attended by children. The data presented on
ECEC attendance used in this paper are drawn from parent self-report data collected from
three-waves of an annual survey. Parent responses were checked against observed patterns
of attendance by fieldworkers during the 3 years of data collection and this served to limit
parental reporting errors during this period. There were, however, no checks against inac-
curate parental memories of earlier ECEC attendance patterns [as has been provided in
other studies through triangulation of parental data against multiple sources of data (Miles
and Huberman 1994)].h The program dosage patterns presented in this paper are ‘re-weighted’ to ensure that
the sample drawn is representative of typical Australian capital city ECEC populations—
as well as including a regional and remote site. Measures of the latent traits of the child,
the characteristics of the family and home environment, and inventories of ECEC usage
were conducted by annual survey. We re-weight the influence of children to parame-
ter estimates to account for the complex, cluster-based sample design, and to produce
population estimates and confidence intervals that allow generalisation to the broader
population from which the sample is drawn. Though the sample is not technically repre-
sentative of the Australian population, findings can claim to be indicative of Australian
ECEC programs. Results and discussion
Findings Because children’s minimum age at school entry in Australia varies across States and Ter-
ritories, and some children repeat the 4-year-old kindergarten program, we present the
attendance data as formal ECEC usage and non-parental care in each of the years before
school rather than focussing on children’s ages; specifically we present ECEC usage by chil-
dren who were 1 year before school, 2 years before school, 3 years before school, and so on. As would be expected children’s ages bear a systematic relationship with these categories,
with an average age at entry to the first year of school being 5.2 years, 4.2 years for one year
before school, 3.2 years at entry to 2 years before school, 2.2 years at entry to 3 years before
school and 1.2 years at entry to 4 years before school. Children’s ages were calculated as of
1 January for each year for this purpose. Data on ECEC usage are included for those children for whom their main caregiver
completed at least one survey and, as noted earlier, the data were re-weighted to be rep-
resentative of the Victorian and Queensland populations. In the first year of data col-
lection, the state-wide participation rates in 4-year-old kindergarten were markedly
different in the two Australian States, Victoria and Queensland, being an estimated 94
and 30%, respectively. Table 1 presents the patterns of attendance for formal ECEC and Results and discus-
sion for each of the years before school. Similar to other Australian ECEC data reviewed above (Productivity Commission
2014), formal ECEC usage is common, with the proportion of children in formal ECEC
settings increasing with age; being highest for the year before school and lowest for
4 years before school—the reverse trend is also present for use of informal non-parental
care as this usage decreases over time in the years before school. These data also demon-
strate that participation in ECEC at age 3–4 years predicts higher ECEC program usage
rates in earlier years than is true for the general population. NB: Data collected in this study indicate that some informal non-parental care is also common, averaging 63% across the
4 years before school and decreasing as children get older; being 75% 4 years before school reducing to 48% in the year
before school. Methods In large non-experimental studies, such as the E4Kids Study, it is essential to control
for child, family and other selection factors which may drive the choice to use ECEC
programs (the type, the hours, the price and quality) and are correlated with children’s
developmental outcomes (Duncan and Gibson-Davis 2006). Otherwise, child outcomes
can be incorrectly attributed to ECEC participation which is due to parental choices
of programs. Major non-experimental studies have focused on accounting for selec-
tion bias in order to isolate the effect of ECEC programs on children’s outcomes. Simi-
larly, this study seeks to utilise the variation of family choices and selection processes
to describe not only the presence (or not) of important patterns of ECEC use, but to
explain the likelihood of different families engaging in what were identified earlier in this
article as optimum patterns of use. A review of 20 studies conducted using the Study of Child Care and Youth Develop-
ment (SECCYD) data found a total pool of 33 child and family selection variables that
were used: many of these were highly correlated and no individual study used more than
eleven to account for selection. The review concludes that a range of key variables are
required to sufficiently account for selection while avoiding issues of multi-collinear-
ity. Variables identified of significant importance were those related to the child (tem-
perament, gender and attachment), the caregivers (income relative to need, education,
marital status, mother’s receptive vocabulary, personality and ‘sensitivity’) and the home
(home learning environment) (Duncan and Gibson-Davis 2006). Selection variables
explain a complex production of ECEC choices. Page 7 of 15 Gilley et al. ICEP (2015) 9:9 Results and discussion
Findings Table 1 Usage patterns for formal ECEC programs in the years before school Table 1 Usage patterns for formal ECEC programs in the years before school
Years before school
State loca-
tion of ECEC
Formal ECEC pro-
gram usage
%
No formal ECEC
program usage
%
Total
%
1 year before school
QLD
649
85.2
113
14.8
762
100
VIC
545
94.3
33
5.7
578
100
Total
1,194
89.1
146
10.9
1,340
100
2 years prior to school
QLD
564
71.7
223
28.3
787
100
VIC
567
81.5
129
18.5
696
100
Total
1,131
76.2
352
23.8
1,483
100
3 years prior to school
QLD
459
58.4
327
41.6
786
100
VIC
440
63.1
257
36.9
697
100
TOTAL
899
60.6
584
39.4
1,483
100
4 years prior to school
QLD
366
46.7
417
53.3
783
100
VIC
318
46.3
369
53.7
687
100
Total
684
46.5
786
53.5
1,470
100 Gilley et al. ICEP (2015) 9:9 Page 8 of 15 Table 2 examines the above data on the use on formal ECEC programs in terms of the
average and median hours of weekly attendance in each of the years before school. Val-
ues in parenthesis are estimates for children who attended ECEC for 1 h or more in the
period whilst overall sample numbers include children who did not attend programs in
particular years. As might be expected in the Australian ECEC system, and also illustrated by LSAC
and other Australian attendance data, younger children are less likely to attend programs
(as also indicated in Table 1) and attend for fewer hours; for example, fewer than half the
children attend 4 years of ECEC before school compared to over 90% of children in the
year before school and the average weekly hours of attendance increase from about 22 h
per week 4 years before school entry to about 26 h per week in the year before school. Table 3 presents these same data disaggregated into smaller categories of dosage, these
being of interest in light of known effects on child outcomes. Values in parenthesis are
estimates for children who attended ECEC for 1 h or more in the period whilst overall
sample numbers include children who did not attend programs in particular years. The data indicate a low rate of ECEC participation for children 3 and 4 years before
school entry. Values in parenthesis are estimates for children who attended ECEC for 1 h or more in the period whilst overall sample
numbers include children who did not attend programs in particular years. Population estimates given by sampling weights. Results and discussion
Findings In addition, about 2/3 of the children attend less than 20 h of ECEC on
average in the years prior to school entry. Of those children attending some hours of
ECEC in any given year, just under a quarter (23%) attended for fewer than 10 h of ECEC
3 and 4 years before school with this percentage reducing to just under one-fifth 2 years
before school and fewer than one in ten children (7%) in the year before school. At the
other extreme of participation hours, approximately one quarter of the children attended
over 30 h per week of ECEC in the second, third and fourth years before school increas-
ing to over a third (36%) in the year before school Attendance in one component of formal ECEC programs, kindergarten, is examined
separately below in Table 4. Kindergarten has been a state-funded (rather than national)
form of provision, and has been available to different degrees in Victoria and Queens-
land, although this is changing in light of a national impetus to ensure all children access
kindergarten programs in the year before school. At the time of collecting the first round
of data in 2010, some 94% of children in Victoria attended 4-year-old kindergarten com-
pared to 30% in Queensland—though these proportions are only partly reflected here
because of the method of sampling children within ECEC programs. Only a minority of
children attend 3-year-old kindergarten in Queensland and Victoria. Table 2 Hours of formal ECEC in each of the years before school overview
Values in parenthesis are estimates for children who attended ECEC for 1 h or more in the period whilst overall sample
numbers include children who did not attend programs in particular years. Population estimates given by sampling weights. Hours of formal ECEC
per week
Sample n
Minimum Maximum Mean
Std. Results and discussion
Findings deviation
Median
1 year before school entry
1,224 (1181) 0 (2)
50
25.09 (26.11) 14.60 (14.60)
21.00 (24.00)
2 years before school entry
1,373 (1119) 0 (2)
50
17.74 (22.80) 15.11 (13.35)
16.00 (20.00)
3 years before school entry
1,484 (883)
0 (2)
50
13.17 (21.89) 14.55 (12.69)
8.00 (19.00)
4 years before school entry
1,480 (673)
0 (1)
50
10.10 (21.77) 13.93 (12.82)
0.00 (18.00)
Average in the years prior to
school
1,109 (525)
0 (6)
50
17.61 (26.48) 12.29 (10.59)
15.00 (25.53) Table 2 Hours of formal ECEC in each of the years before school overview Page 9 of 15 Gilley et al. ICEP (2015) 9:9 Table 3 Hours of formal ECEC in each of the years before school by different categories
of attendance
Population estimates given by sampling weights. a Whilst these children were enrolled in an ECEC program at point of entry to the study, this included Occasional Care. Main
caregivers were asked to identify typical patterns of ECEC attendance used in most weeks of the year only. Some will not
have regularly used ECEC programs following recruitment to the study. This number may also include cases of parental error
in completing the survey. Hours of formal ECEC per week
Sample n
% 0 h
% 0 < x
≤ 10 h
% 10 < x
≤ 20 h
% 20 < x
≤ 30 h
%
>30 h
1 year before school entry
1,224 (1181)
4 (0)
6 (7)
39 (40)
17 (17)
34
(36)
2 years before school entry
1,373 (1119)
22 (0)
15 (19)
25 (32)
18 (23)
20
(26)
3 years before school entry
1,484 (883)
40 (0)
14 (23)
19 (31)
13 (22)
14
(24)
4 years before school entry
1,480 (673)
54 (0)
10 (23)
15 (33)
10 (21)
11
(23)
Average number of hours across
the 4 years prior to school entry
1,109 (525)
3a (0)
32 (4)
27 (26)
19 (32)
19
(37) Table 3 Hours of formal ECEC in each of the years before school by different categories
of attendance Table 4 Hours of Kindergarten attendance in the last 2 years before school a Population estimates given by sampling weights. Hours per week
of kindergarten
attendance
N attending
kindergarten
Minimum Maximum Meana Std. deviationa Mediana Per cent not
attending
kindergartena (%)
1 year before school
entry
906
2
15
12.94
2.74
14
38
2 years before school
entry
491
2
15
9.72
4.8
11
74
Average of 1 and
2 years before
school entry
398
2
15
11.38
3.2
12
37 a Population estimates given by sampling weights. As would be expected from known trends in kindergarten provision in Victoria and
Queensland, attendance is much less common 2 years before school than in the year
before school and weekly hours of attendance are also lower for 2 years before school. Given that providers of 4-year-old kindergarten for the extended hours of 15 h per week
may not have received additional funding until 2013, many of the services from which
data were collected in 2010 and 2011 had yet to extend their hours—although some did
so in expectation of the change. Table 5 provides findings of a linear regression analysis of the extent to which selected
child, family and community factors predict the total hours of ECEC attendance in the
years before school, which includes both child care and kindergarten program attend-
ance. The factors tested here align with the range of factors identified by Duncan. The
unstandardized coefficients can be interpreted as the change, measured in hours, given a
one-unit change in the predictor while all other predictors are held constant. The factors that predict more hours of ECEC participation include, in order of the
strength of their association, higher family income, having two parents in paid work,
fewer children in a family, lower scores on the HLE, being in receipt of a Health Care
Card and having an easier child temperament. The factors that are on the cusp of being
significant predictors of longer hours include not having a child disability and having a Page 10 of 15 Gilley et al. ICEP (2015) 9:9 Table 5 Results of the hierarchical regression analyses for the prediction of total hours
of attendance of formal ECEC (explained variance: R2 = 0.14)
* p < 0.05; ** p < 0.01; *** p < 0.001; (1) indicates that the variable has a value of 1 or 0, for example, the family is either
renting or is not. Table 4 Hours of Kindergarten attendance in the last 2 years before school Variable
Unstandardised
regression coefficient
SE
T value
Child age
0.091
0.179
0.508
Sex (0 = male; 1 = female)
−1.024
1.935
−0.529
Disability (1)
−8.852
5.077
−1.743
Intelligence (BIA)
−0.273
0.106
−2.565*
Temperament
3.742
1.565
2.391*
Low birth weight (1)
3.478
3.842
0.905
both parents working (0) vs. rest (1)
−21.551
2.048
−10.523***
Both parents not working (1) vs. rest (0)
11.163
8.925
1.251
Single parent (1)
−1.083
10.280
−0.105
Income
1.767
0.438
4.031***
Education
1.251
0.734
1.704
Health Care Card (1)
6.039
2.984
2.024*
Renting (1)
3.222
2.489
1.294
Language other than English (1)
7.054
5.093
1.385
Home Learning Environment
−0.294
0.078
−3.774***
Number of children
−7.009
1.094
−6.407***
Stressful life events (1)
4.615
4.035
1.144
Parental mental health issues (1)
−0.270
0.233
−1.158
SEIFA
0.848
0.794
1.069 Table 5 Results of the hierarchical regression analyses for the prediction of total hours
of attendance of formal ECEC (explained variance: R2 = 0.14) higher level of parental education. Having regard to the cost of participation it is likely
that the children of families with Health Care Cards (entitling families to a range of free
services for their children) attend longer hours than the children in families with lower
incomes; child care is cheaper for families with Health Care Cards, and 4-year-old kin-
dergarten programs in Victoria are effectively free for all. f
Table 6 presents the predictors of total hours of attendance in kindergarten, applying
the same analysis used for predicting ECEC attendance, including attendance at both 3-
and 4-year-old kindergarten only. Family income and both parents working were also predictors of total hours of kin-
dergarten programs attended. In comparison to total hours of attendance of all for-
mal ECEC settings, total hours of kinder program attendance was predicted by higher
HLE ratings. Factors that were no longer predictive were higher numbers of children in
a family and easier temperament. In contrast, there are additional predictors of using
longer hours of kindergarten; namely, higher Socio-Economic Indexes for Areas (SEIFA),
higher educational levels of parents and not renting the family home. Other non-predic-
tors remain the same for both ECEC program usage and kindergarten program usage. Overall this model of analysis explains some 14% of the variance. Finally, a multinomial regression analysis was used to predict ECEC usage before
school entry. Table 4 Hours of Kindergarten attendance in the last 2 years before school Here, 1 year of ECEC program attendance was introduced as a reference,
and the background variables were then compared for groups of children with 2, 3, or
4 years of ECEC program experience. No significant predictors for attending 2 years
of ECEC in comparison to 1 year were found (p > 0.05). However, families with fewer Page 11 of 15 Gilley et al. ICEP (2015) 9:9 Table 6 Results of the hierarchical regression analyses for the prediction of total hours
of attendance of Kinder programs (explained variance: R2 = 0.14)
* p < 0.05; ** p < 0.01; *** p < 0.001, (1) indicates that the variable has a value of 1 or 0, for example, the family is either
renting or is not. Variable
Unstandardised regression coefficient
SE
T value
Child age
−0.018
0.047
−0.374
Sex (0 = male; 1 = female)
−0.680
0.488
−1.393
Disability (1)
1.917
1.413
1.356
Intelligence
−0.015
0.028
−0.517
Temperament
0.334
0.516
0.647
Low birth weight (1)
0.350
1.024
0.341
both parents working (0) vs. rest (1)
1.228
0.601
2.043*
Both parents not working (1) vs. rest (0)
4.147
2.883
1.438
Single parent (1)
−3.574
3.097
−1.154
Income
0.534
0.125
4.266***
Education
0.738
0.212
3.487**
Health Care Card (1)
0.816
0.700
1.164
Renting (1)
−1.905
0.745
−2.557*
Language other than English (1)
−0.948
1.263
−0.751
Home Learning Environment
0.072
0.021
3.455**
Number of children
−0.020
0.333
−0.059
Stressful life events (1)
0.074
1.027
0.072
Parental mental health issues (1)
−0.095
0.076
−1.249
SEIFA
1.092
0.231
4.733*** Table 6 Results of the hierarchical regression analyses for the prediction of total hours
of attendance of Kinder programs (explained variance: R2 = 0.14) children tended to send their children earlier to formal ECEC settings (p < 0.05 for both
1 vs. 3 and 1 vs. 4 years of ECEC). In addition, having parents with a higher education,
families with two working parents and families providing a less favourable HLE lead to
earlier attendance (1 vs. 4 years of ECEC attendance, p < 0.05). Discussion In brief the enrolment of children in ECEC program hours
was predicted by parental employment, favouring higher income earners and access to
cheaper fees favouring a specific category of families on low income. That lower HLE
was also a predictive factor of earlier entry to ECEC programs, presents an opportunity
to make a difference to the developmental progression of at least some of the more vul-
nerable population of children, since the HLE has been proven to be a good predictor of
children’s outcomes (Niklas 2015). This Australian snapshot of overall ECEC attendance shifts markedly when examining
kindergarten program attendance by itself. The predictors of higher hours of kindergar-
ten program attendance was strongly associated with family advantage factors including
both parents working, higher SEIFA (SES), higher HLE and parents not renting the family
home. In brief, the children from more advantaged households were more likely to receive
the benefit of kinder programs before school. This usage of kindergarten includes par-
ticipation in both 3-year-old and 4-year-old programs and runs counter to the prevailing
research evidence and policy logic of ensuring that more disadvantaged children receive
access to early learning programs, preferably high-quality programs in the years before
school. These findings underscore the importance of contemporary Council of Australian
Governments efforts toward the provision of universal access to 4-year-old kindergarten
programs for Australian children—an approach that was beginning to gain momentum
when the first round of E4Kids data was collected in 2010. Under this policy initiative, in
the context of what is a non-compulsory system of provision, particular care needs to be
taken to ensure that a sub-group—the most vulnerable children—do not miss out. Three-
year-old kindergarten programs (typically 2 years before school entry) largely remain the
preserve of more advantaged families as fees do not usually attract a public subsidy. In terms of the age of entry to ECEC programs, there were no child or family pre-
dictors of using 1 year versus 2 years of ECEC program before school. However, one
family advantage factor—higher parental education—predicted the earlier entry of chil-
dren into ECEC programs 3 and 4 years before school. Further, one family disadvantage
factor—low HLE—alongside having both parents in the paid workforce also predicted
earlier ECEC program usage. Discussion A common ECEC policy challenge is ensuring that young children have access to, and
attend, the ECEC programs that are available in a community. Further, there is an aspi-
ration that starting children early enough, and for long enough to make a positive (and
not negative) difference to their learning and life trajectories, yet in essence ECEC pro-
grams are generally not compulsory and parents decide on the timing and amount of their
children’s attendance. This paper reviewed data from the E4Kids study on the extent to
which the patterns of attendance in ECEC programs in Australia are likely to be optimal
for children’s learning and development in light of parameters of optimum attendance that
are reported in the research literature. This analysis is based on a weighted sample of chil-
dren enrolled in ECEC at age 3–4 years in two States. The findings in relation to the three
research questions are discussed below. They address the implications of attendance pat-
terns alone, though it is acknowledged that the potential of particular attendance patterns
translating into improved outcomes, or moderating adverse behavioural effects depend on
the level of quality of the programs, and this is the substance of further research.h The analysis of attendance patterns of young children within a large-scale longitudinal
study—E4Kids –indicated that Australian children’s attendance in ECEC programs fol-
lowed an expected pattern in each of the years before school: it is less common for very Gilley et al. ICEP (2015) 9:9 Page 12 of 15 young children to attend ECEC settings, and increasing likely that children take part in
ECEC programs as they approach school age. Similarly, the average weekly hours spent
within ECEC settings increase as children get closer to their first school year. These data
suggest that even among those children attending ECEC programs at age 3–4 years there
remains a significant group of children who either do not attend ECEC programs in the
formative first 3 years of life or who attend at a level (under 10 h per week) which is
unlikely to lead to significant developmental benefit. ii
In terms of the predictors of taking part in ECEC programs, the overall usage of pro-
grams was predicted by family advantage factors (principally high income) and family
disadvantage factors (principally having a Health Care Card and lower Home learning
Environment (HLE) scores). Discussion Parental participation in the paid workforce is typically
aligned with family advantage, since paid employment is an antidote to poverty, yet
some parents may feel driven to employment for financial reasons when they would pre-
fer to be at home personally supporting the development of their children. There are a number of messages for public policy in these data. Clearly for countries
that provide universal (albeit non-compulsory) ECEC programs for children in the early Page 13 of 15 Gilley et al. ICEP (2015) 9:9 years of life, issues related to ECEC program access and dosage may be small. In con-
trast, these issues are major in countries such as Australia where universal provision is
a quest at the level of 1 year before school, and not a consideration prior to that year. In
Australia program usage is dependent on the ability of families to purchase programs,
and the views of parents regarding the relevance and quality of programs for their chil-
dren. Policy implications that arise in light of our analyses of the E4Kids sample include
that children who access ECEC programs before school typically reside in families hav-
ing particular characteristics, including higher parental education, full engagement in
the paid workforce and, for some, having a poor home learning environment—that in
turn has a relationship with low income that ensures fee relief (and therefore greater
likelihood of accessing ECEC programs. If different constituent groups are the target
of ECEC provision specific solutions are needed to engage such groups. To address dif-
ferential access and usage of ECEC programs by Australian children a shift to universal
provision for children less than 4 years of age would represent a major change, and is
not currently on the short or even medium term political horizon. To the extent that
vulnerable children are already enrolled in ECEC programs in Australia an immediate
focus can be on their identification and the assurance of continued access, attendance
and a quality of program that can make a difference to children’s cognitive and social
outcomes. Targeted model programs will continue to have a place for highly vulnerable
children, including within universal provision systems, given the higher magnitude of
positive change that research has demonstrated is likely for such programs. Author details
1 1 Victorian Department of Education, 2 Treasury Place, East Melbourne 3002, Australia. 2 Melbourne Graduate School
of Education, The University of Melbourne, Level 4, 100 Leicester St, Carlton 3053, Australia. Authors’ contribution TG conceptualised the research focus on this paper and was lead author for all sections of the paper. CT provided sig-
nificant suggestions and direct input into the background and discussion sections of the paper. FN and DC were jointly
responsible for formulating the data analysis approach, the data analysis and data presentation in table form. All authors
read and approved the final manuscript. Abbreviations
ECEC E l
hild Abbreviations
ECEC: Early childhood education and care; HLE: Home learning environment; LSAC: Longitudinal study of Australian
children; SES: Socio-economic status; SEIFA: Socio-economic indexes of areas. Conclusion Governments are increasingly looking to additional opportunities within the ECEC system
to promote children’s wellbeing and cognitive development. Problems of access and the
challenge of providing of a sufficient dosage of program, especially to vulnerable children,
underscores the level of challenge for public policy in Australia if the provision of ECEC
programs is to achieve the specified policy intention to improve children’s learning and
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services in Australia. Australasian Journal of Early Childhood, 38(2), 13–21. Vandell, L., Belsky, J., Burchinal, M., Steinberg, L., & Vandergrift, N. (2010). ‘Do effects of early childhood care extend to age
15 years? Research from the NICHD study of early child care and youth development. Child Development, 81(5),
737–756. Warren, D., & Haisken-DeNew, J. (2013). Early bird catches the worm: The causal impact of pre-school participation and
teacher qualifications on Year 3 National NAPLAN Cognitive Tests. Melbourne: Melbourne Institute of Applied Eco-
nomic and Social Research (MIAESR). Zaslow, M., Anderson, R., Redd, Z., Wesel, J., Tarullo, L. & Burchinal, M. (2010). Quality, dosage, thresholds and features in early
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Psychological Microclimate of Student Groups, Studying in Different Instructional Formats
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E3S Web of Conferences 258, 07076 (2021)
UESF-2021 E3S Web of Conferences 258, 07076 (2021)
UESF-2021 E3S Web of Conferences 258, 07076 (2021) https://doi.org/10.1051/e3sconf/202125807076 Psychological Microclimate of Student Groups,
Studying in Different Instructional Formats
Liudmila Dikaya1,*, Olesya Shipitko1, and Eugene Borokhovski2
1Southern Federal University, B. Sadovay str., 105/42, 344006 Rostov-on-Don, Russia
2Centre for the Study of Learning and Performance (CSLP), Concordia University, De Maisonneuve
Blvd. West, 1455 Montreal, H3G 1M8 Canada Abstract. The article discusses psychological microclimate of a student
group under different instructional formats (teaching and learning face-to-
face, online, or blended). The main objective of the study was to explore
factors that contribute the microclimate formation in connection with the
changes that the formal postsecondary education undergoes because of the
COVID-19 pandemic. One hundred and sixty-six students of several higher
education institutions in Rostov-on-Don, Russia took part in the study. To
fulfill the study objective, data about various individual characteristics of
participating students and their subjective rating of the psychological
microclimate in the respective student groups were collected by means of
psychological testing and subjected first to the ANOVA and then to the
multiple regression analyses. ANOVA revealed no statistically significant
differences across instructional formats either in the microclimate scores or
in the respondents’ psychological characteristics. The follow-up multiple
regression analysis explored models of joint contribution of the predictor
variables to the formation of the microclimate in student groups. Specifically, it found that the relationship between the microclimate and
emotional tone is negative, whereas generosity and leadership inclinations
are positive predictors of the psychological microclimate in student groups. Better understanding what factors determine dynamic interactions among
students in various instructional formats could be instrumental in
optimizing microclimate in students group, undoubtedly affected by rather
dramatic changes in all aspects of our social lives, caused by the current
epidemiological situation in the world. Psychological microclimate in a
group is, in turn, capable of seriously impacting on students’ learning
performance and psychological wellbeing. * Corresponding author: dikaya@sfedu.ru 1 Introduction Since the outbreak of the COVID-19 virus in March 2020, the vast majority of
universities in the world has been forced to enter in an experiment unprecedented in history
– the closure of campuses and the transfer of the learning process to a distance learning
(online) format. Most Russian universities were not an exception – urgently switching to © 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/). * Corresponding author: dikaya@sfedu.ru © 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/). E3S Web of Conferences 258, 07076 (2021)
UESF-2021 E3S Web of Conferences 258, 07076 (2021) https://doi.org/10.1051/e3sconf/202125807076 learning at distance, as well. Six months after the onset of the pandemic, the organization of
the educational process in universities has undergone significant changes. By September
2020, some empirical data from sociological and psychological studies of teachers’ and
students’ attitudes to online learning have been accumulated. Their results indicate notable
differences in attitudes of major stakeholders in the educational process, depending on the
region, composition of the student population, their leading motivation, socio-economic
status, psychological and communicative characteristics, etc. [1-7]. Together with the undeniable risks, new opportunities have emerged, as well. Assessing
positive and negative aspects of organizing educational process in a distance format,
students of higher education institutions in Russian Federation named, as its main
“advantages” the convenience of working from home and the opportunity not to commute
to and from the venue of study. Among "minuses", there is the lack of interpersonal and
social contacts, which represent an important and significant component not only of the
learning process, but also of a person's life. This type of deprivation social interactions
cannot be ignored, as it is nearly impossible replace them with the surrogate interpersonal
communications via online channels [8]. Education in various universities in Russia in the academic year 2020-2021 was not
uniformly online, various educational formats – face-to-face, distance and blended –
coexisted, creating yet another new “field experiment”, the consequences of which are not
easy to predict. Furthermore, with the pandemic being a persisting reality, the nearest
developments of and long-term projections about the formal educational system are
unclear. Despite vigorous scientific debate about the effectiveness of educational policy
responses to the pandemic-induced challenges, not enough is known about the experiences
of effectively applying innovative learning models in new formats. Thus, the problem of
finding optimal solutions for organizing students’ training in higher education institutions is
highly relevant. Analysis of the recent scientific works of Russian and foreign authors has made it
possible to identify and highlight the risks and difficulties, associated with distance
education, on one hand, and its advantages, on the other. * Corresponding author: dikaya@sfedu.ru Deprivation of contacts with fellow
students and teachers entails subjective perception of the lack of real support and mutual
assistance, increases feelings of loneliness, disappointment, and elevated anxiety. Insufficient emotional contacts among students can also create additional problems in the
learning itself and preclude students from successfully assimilating study materials. As
such, one of the paramount tasks for educators in transition to online learning is to increase
opportunities for and support of all types of learners’ interactions – student-student,
student-teacher, and student-content alike [13, 24, 25]. Changes in interactions in new learning formats inevitably lead to alterations in
psychological climate, defined as “... the qualitative aspect of interpersonal relations, which
manifests itself in the form of a set of psychological conditions that facilitate or impede
productive joint activities and all-round development of the individual in a group” [26, p. 329]. The conditions, in which interpersonal interactions in a students group unfold, as well
as their structure and dynamics, affect learners’ satisfaction with the educational process,
which, in turn, influences the internal motivation of students to learn and, ultimately, the
results of learning. Therefore, the problem of forming a favorable psychological
microclimate in student groups is becoming relevant in modern education, especially in the
current situation. Psychological microclimate is formed from the very first day a student group is
established at the beginning of the first academic year and its members make their first
contact. Group microclimate dynamics are quite well described in Russian psychological
literature [27]. At the same time, the initial period of joint learning is known to be the most
difficult and potentially the most consequential. Students are still poorly oriented in the
conditions of the university life and study, they do not know how to interact with each
other, or how to coordinate their efforts when performing educational tasks, which could
lead to higher energy cost, fatigue, and frustration [28]. The formation of psychological
microclimate is influenced by students’ individual characteristics and by the nature of their
interpersonal relationships. Each individual experiences a favorable microclimate in the
group as a state of personal satisfaction with the relationships with fellow students,
teachers, the educational process, and learning outcomes. As a result, the mood of a person
increases, as does person’s motivation for learning, giving a boost to further development
of skills and competencies. * Corresponding author: dikaya@sfedu.ru The most obvious difficulties for
students in their transition to distance learning include: psychological (loss of cognitive
skills, decreased learning motivation and self-discipline); socio-psychological (lack of
direct contact of students with each other and with the teacher, which can slow down the
acquisition of new information); social (increasing social isolation, alienation from fellow
students and from teachers, cyberbullying and cybertrolling); operational (difficulties in
understanding and assimilating study material); health risks for students (visual impairment,
development of hypodynamia, depressive conditions, increase in suicidal tendencies and
drug abuse); existential and ethical difficulties (virtualization of life, development of digital
addictions) and so on [9-13]. )
The clear advantages of distance education for students include: freedom in choosing
the time and place of training, the ability to repeatedly refer to the recording of the lesson;
flexible access to training materials and assignments; possible increase in the amount of the
studied material, as in comparison with ordinary lessons its presentation may be more
illustrative and animated; opportunities to access online lectures of leading teachers and
researchers [14-16]. Psychologists also point out to the effectiveness of intellectual and creative research
activities in online interactions, shown by participating students [17]. The role of Internet-
mediated group activities in decision-making, creation of new original ideas and their
practical implementation in research is also noted [18]. A multitude of the existing software
solutions provide teachers and students with an opportunity to interact in small and large
groups united virtually on the Internet to work for a common goal [19]. Overall, the
possibility to transfer these constructive experiences of joint activities, aimed at obtaining 2 2 E3S Web of Conferences 258, 07076 (2021)
UESF-2021 E3S Web of Conferences 258, 07076 (2021) https://doi.org/10.1051/e3sconf/202125807076 an intellectual product during online communication among participants of the educational
process, looks promising. an intellectual product during online communication among participants of the educational
process, looks promising. At the same time, the inability to establish and maintain direct interpersonal
psychological contacts either among students of between students and their teachers
(including those contacts that heavily rely on non-verbal means of communication) in
online instructional formats can cause serious difficulties for all participants of the
educational process. The lack of eye contact, physical interactions, facial expressions and
gestures, etc. can lead to a decrease in students’ interest and motivation for learning and, as
a result, impede the effectiveness of education [20-23]. * Corresponding author: dikaya@sfedu.ru 3) What psychological characteristics of learners predict the psychological microclimate in
student groups? 3) What psychological characteristics of learners predict the psychological microclimate in
student groups? * Corresponding author: dikaya@sfedu.ru Therefore, a favorable psychological climate is a condition for
the overall increasing interest in and ultimate success of learning. In contrast, an
unfavorable climate is experienced by students as dissatisfaction with the group
relationships and with learning, in general (including even simple session attendance), i.e.,
both its context and result. Sketchy, these are the ways, in which the psychological climate
of the student group influences academic performance of learners [29, 31]. In the modern
research literature, we see information on the role of various factors that contribute to the
formation of the psychological climate in student groups, including characteristics of the
macro- and microenvironment, personal qualities of individual group members, instructor’s
teaching style, etc. [28 – 31]. It is quite plausible to assume that the pandemic-caused
dramatic changes in educational environments in the universities should also impact on the
process of the microclimate formation in student groups. 3 3 E3S Web of Conferences 258, 07076 (2021)
UESF-2021 https://doi.org/10.1051/e3sconf/202125807076 To summarize all of the above, we can state the following. Current conditions in our
society, in general, and in formal education, in particular is seriously affected by the
pandemic in a variety of ways. Of the multitude of factors that can determine either success
of failure of students’ training in institutions of higher education, the psychological climate
plays a particularly important role. Therefore, the study of factors, capable of influencing
psychological microclimate formation in student groups under the pandemic and in the
post-Covid future, seems more than relevant. Whereas, the research literature provides us
with some useful insights regarding factors of the microclimate formation in student groups
in regular (face-to-face) instructional formats, much lesser is known about the same
processes in distance or blended education. Meanwhile, such data could substantially
contribute to finding ways of optimizing teaching and learning in higher education
institutions. The main objective of the present study was to determine how the changing conditions
in university education, caused by the COVID-19 pandemic, influence the formation of
psychological microclimate in a student group. To successfully meet this objective it was
necessary to address the following sequential research questions: 1) Are there differences in psychological characteristics of students across different
instructional formats in changing educational conditions? 2) Does instructional format influence the psychological microclimate of the student groups
in university? 2) Does instructional format influence the psychological microclimate of the student groups
in university? 2.1 Procedure and Participants This empirical study was carried out in October 2020, in the middle of the Fall academic
semester at several universities in Rostov-on-Don, Russian Federation. Followed the rise of
the second wave of COVID-19 contagions, a number of higher educational institutions have
completely switched to a distance learning format, while in some, training continued in a
face-to-face regular format or adopted some combination of the two. Thus, for the first time
in recent history of education, student group formation and interpersonal dynamics within
student groups were the subject of serious change on such a massive scale, including
bringing together students who never before experienced direct interpersonal contacts with
one another. Overall, 166 students (119 females and 47 males), ranging in age from 17 to 48 (with
the average of 21.5), took part in the study. They represented social, humanitarian and
technical subject matters and specialties of participating higher educational institutions. The
division of the study participants into groups was based on the criterion of the degree of
possibility to enable and maintain direct interpersonal contacts among students in the study
group. According to requirements and affordances of a particular university/department that
took into account, primarily, the discipline and the years of study, participants were divided
into four distinctive groups, at least three of which were facing atypical learning format
while students in the fourth group, though set-up to study face-to-face, were well aware of
the ongoing changes in the learning environments all around them: 1) first-year students, whose training by the time of this study had been carried out in all
disciplines in a distance format. These students were not previously experienced face-to-
face learning, supposedly did not have interpersonal contacts outside class time and 4 E3S Web of Conferences 258, 07076 (2021)
UESF-2021 E3S Web of Conferences 258, 07076 (2021) https://doi.org/10.1051/e3sconf/202125807076 continued studying in their formal groups online (n1 = 36). Lectures and practice sessions
for them were conducted by means of the MS Teams platform; continued studying in their formal groups online (n1 = 36). Lectures and practice sessions
for them were conducted by means of the MS Teams platform; 2) first-year students whose training at the time of this study had been carried out in a
mixed format, i.e., lectures were conducted on the MS Teams platform, while practical
classes were held in-person (n2 = 49). 2.1 Procedure and Participants All students in this group were directly acquainted
with their classmates and saw each other in practical classes two or three days a week,
where they had opportunities for interpersonal communications; y
pp
p
3) fourth-year students who, prior to the pandemic onset, i.e., until March 2020, had studied
in person full-time, but since then have switched to studying in a distance format using the
MS Teams platform (n3 = 11). During the previous academic years, these students
developed interpersonal relationships in their respective groups, but during this research
project, they could maintain those relationships only indirectly, in the online format; p
j
y
p
y
y
4) students of I-IV year of study, whose learning full-time in-person format continued
uninterrupted by the pandemic. These students, therefore, regularly engaged into direct
interpersonal contacts with each other, though obviously knew about the massive change in
instructional delivery modes anywhere in higher education (n4 = 70). 2.2 Measures Our study employed the following psycho-diagnostic instruments offered to the
respondents vial Google online forms:
“Assessment of mental activation and emotional tonus”, designed to assess respondents’
psychological states. The technique is a modified stimulus material for the SAM technique
(Subjective feeling of well-being, Activity, Mood) [32]. A participant is asked to rate
twenty polar statements about mental states, as they apply to him/her, on a scale from 0 to
3. The test allows drawing a conclusion about the degree of experiencing the following
mental state – mental activation, interest, emotional tonus, tension, and comfort. Each of
these five dimensions can collect from 3 to 21 points to reflect the unique pattern of each
participant’s current mental state.
Assessment of microclimate in a student group was carried out by means of the ASMG-
test [33]. The respondents rated twenty characteristics of microclimate of their respective
student groups on a scale from 0 to 3, resulting in a total score with a theoretical range from
0 to 60 points that reflects their overall opinion of how favourable the microclimate in their
group is.
T. Leary's test of interpersonal relationships was employed to identify the prevalent type
of the respondents’ attitude towards other people [34]. The questionnaire contains 128
value judgments, which describe eight types of relationships (16 items per type/scale). Judgment statement reflecting each type of relationships are grouped in clusters of four and
repeated after an equal number of other clusters. The statements, with which the respondent
agrees, are then summed-up to reflect the degree of manifestation of each type of the
relationships. Thus, the theoretical range of each scale is in between 0 and 16 points. These
are the types of attitudes towards others encompassed by the instrument: dominant,
independent, aggressive, distrustful, submissive, dependent, cooperative, and generous.
The test for assessing communicative and leadership organizational aptitudes is aimed
at indirectly identifying these potential human abilities [35]. The questionnaire contains 40
questions, 20 of which address communicative inclinations, whereas the other 20
characterize organizational ones. The corresponding scores obtained using this technique
can vary from 0 to I00 on each scale. 2.3 Statistical Analyses 5 5 E3S Web of Conferences 258, 07076 (2021) E3S Web of Conferences 258, 07076 (2021)
UESF-2021 https://doi.org/10.1051/e3sconf/202125807076 Descriptive statistics for the collected data (means and standard deviations) reflect the
magnitude and variability of students’ personal characteristics, the microclimate in their
respective groups and communicative and organizational inclinations. Analysis of variance
(ANOVA) was used to determine if the teaching format differentially affects the
microclimate of student groups under new circumstances of the organization and
implementation of the educational process. Finally, multiple regression analysis was
performed to explore the joint contribution of particular personal characteristics of
participants to the microclimate in student groups. Data processing was carried out using
the SPSS 23.0 software package. 3 Results The literature also provides data on the influence
of a specific instructional format on students’ learning [8, 13-23]. Therefore, we next
addressed the question of the influence of an instructional format on the microclimate of
student groups in higher education institutions. ANOVA (analysis of variance) was carried out to determine if the Instructional Format
factor creates differences in psychological microclimate across participating student groups
in the context of new challenges associated with the epidemiological situation in the
Russian Federation and in the world. The results showed that there were no statistically
significant differences among groups (F = 1.168 with p = .172) in scores of the
microclimate evaluation. In other words, whatever changes the psychological microclimate
goes through due to the current challenges faced by educational system, should be typical
for all students regardless what instructional format they are studying in. g
y
y g
Based on these data, we then performed multiple regression analysis in order to explore
what factors contribute to the formation of psychological microclimate, as the criterion
variable, for the entire sample. Its statistically significant results are presented in Table 2. Please, note that we initially tested several regression models with a number of other
variables, such as comfort, tension and mental activation, i.e., with the predictors that
potentially could most comprehensively reflect the emotional state and involvement of a
person in educational and professional activities in changing educational formats. Table 2. Results of the multiple regression analysis of the connection between psychological
microclimate (criterion variable) and selected psychological characteristics of the respondents
(independent predictors) Table 2. Results of the multiple regression analysis of the connection between psychological
microclimate (criterion variable) and selected psychological characteristics of the respondents
(independent predictors)
Model
Parameters
Psychological microclimate evaluation scores
Model 1
Emotional tonus
Model 2
Emotional tonus
Leadership
inclinations
Model 3
Emotional tonus
Leadership
inclinations
Generosity
Standardized Β
-.405**
-.294**
.244**
-.267**
.223**
.188*
Adjusted R2
0.157
0.199
0.227
Model
F-ratio
24.723
16.754
13.403
SE
12.6
12.33
12.11
df (regression)
1
2
3
df (residual)
126
125
124
Note: 1. ** - р ≤ .01; 2. * - р ≤ .05. Exploration of the contribution of all potentially relevant independent variables to the
assessment of the student group psychological microclimate, carried out by means of the
step-wise multiple regression analysis (a step-by-step method was used), revealed the
following results. 3 Results escriptive statistics of all variable assessed in this study are summarized in Table 1 belo
Table 1. Descriptive statistics
Variable
Min
Median
Mean
Max
SD
Age
17
19
21.5
48
7.37
Year of study
1
1
1.3
4
0.87
Mental activation
3
12
11.5
21
4.51
Interest
3
9
9.5
21
4.24
Emotional tonus
3
8
8.2
20
3.61
Tension
3
11
10.5
19
3.40
Comfort
3
10
9.9
19
3.30
Microclimate evaluation
1
32
32.2
54
13.6
Dominant
1
4
4.5
14
3.37
Independent
1
4
4.2
14
2.64
Aggressive
1
4
4.2
13
2.58
Distrustful
1
4
4.1
15
2.97
Obedient
1
4
4.4
12
2.60
Dependent
1
4
3.9
9
2.08
Cooperative
1
5
5.4
13
3.01
Generous
1
5
5.5
13
3.02
Communicative
inclinations
1
60
56.2
100
29.9
Leadership inclinations
10
65
62.3
100
18.3 scriptive statistics of all variable assessed in this study are summarized in Table 1 below. Table 1. Descriptive statistics As it is evident from Table 1, emotional states of tension and mental activation are
prevalent in all groups, whereas indicators of comfort and interest are less pronounced, and
there is also a notable low level of emotional tonus. Analysis of indicators of interpersonal
relationships in a group shows relatively high degree of generosity and cooperation,
followed in magnitude by the traits of dominance and submissiveness (approximately equal
to one another). Identical values are also observed for the indices of independence and
aggressiveness, whereas characteristics of distrust and dependency are quite low. It could
be surmised that participating students are open to new experience, strive to control the
situation, while adapting to the changes in educational process caused by the pandemic. These characteristics appear to relevant potential contributors to the formation of the
psychological microclimate in student groups. As we know from the research literature, psychological microclimate of a student group
is important for educational motivation and, as a result, for the academic performance of 6 E3S Web of Conferences 258, 07076 (2021)
UESF-2021 E3S Web of Conferences 258, 07076 (2021) https://doi.org/10.1051/e3sconf/202125807076 students in face-to-face education [28-31]. The literature also provides data on the influence
of a specific instructional format on students’ learning [8, 13-23]. Therefore, we next
addressed the question of the influence of an instructional format on the microclimate of
student groups in higher education institutions. students in face-to-face education [28-31]. 4 Discussion The study found the emotional tonus of the respondents was relatively low, whereas the
desire for interpersonal interactions, on contrary, was expressed strongly. Combined, this
two patterns may be indicative of the respondents’ strive to establish closer interpersonal
contacts within their respective student groups to counteract depressed emotional tonus. Students, also, may try to maintain more intensive communication with fellow students and
with the teachers in order to stabilize and possibly increase mental activity. Please, note that
a low emotional tonus itself makes a negative contribution to the group psychological
microclimate. In the future it would make sense to pay closer attention to the specifics of
the psychological microclimate formation not just across the changing instructional
formats, but also within each one of them, while connecting microclimate particularities to
student academic performance. Insights from these types of the future analyses may prove
very useful for developing specific recommendations for educational practice in higher
education institutions. If, as the findings suggest, we consider leadership inclinations a
significant positive contributor to a favorable psychological microclimate in new learning
environments, a number of points should be sounded out. For example, when planning
instructional interventions, to elevate emotional state of students, educators may want
consider more intensive use of group projects and other types of team activities, as well as
encourage learners’ involvement with various student scientific associations. g
As shown in many studies carried out before the pandemic, the most important factor in
the formation of the psychological microclimate in a student group within the most typical
face-to-face educational format, is the nature of interpersonal communications, their
specific characteristics, such as depth, intensity, composition of parties involved, designed
structured versus random contextual character, etc. Interpersonal communications
substantially contribute to knowledge acquisition and group microclimate alike. In the
absence of complete and accurate information, tension in relationships, misunderstanding
and mistrust grow, conflicts escalate [36, 37]. Our results support these data. Among
variables contributing to the student group psychological microclimate in the new
educational environments, leadership inclinations and generosity emerged as significant
positive predictors. They could be reasonably categorized as personality characteristics that,
not surprisingly, manifest themselves, primarily in interpersonal communications. 4 Discussion At the
same time, our results open up new horizons for the study of this topic, as nearly 75% of
variability in the microclimate evaluation remains largely unexplained and as some of the
newly introduced instructional formats persist and may expand their specific influence on
students’ perception of their respective groups’ microclimate and, through it, on various
aspects of educational experiences and learning outcomes. 3 Results Only three analyzed psychological characteristics, individually and in
combination (final adjusted R2 = .23), significantly affect the microclimate in a student
group. The final model (Table 2), with positive and negative statistically significant
regression coefficients (p ≤ .01 and p ≤ .05), points out specifically to the following
indicators of emotional state: emotional tonus, leadership inclinations and generosity. It is 7 7 E3S Web of Conferences 258, 07076 (2021)
UESF-2021 E3S Web of Conferences 258, 07076 (2021) https://doi.org/10.1051/e3sconf/202125807076 understood by the authors that this particular combination of predictors composes group
members’ desire for open interpersonal interaction and the achievement of common group
goals. Supposedly, it is what is forming psychological microclimate in student groups under
the current situation in education, when the dynamics of the interpersonal interactions
cannot stay unaffected by the changes in instructional formats. The obtained models make
it possible to refine the research hypothesis by reducing the number of investigated
parameters and their interactions in determining what factors contribute to the microclimate
of student groups. 6 Conclusion The proposed model of psychological microclimate in a student group makes it possible to
look at contribution to it of students’ personal characteristics from a new perspective – in
connection with the changes the formal educational system undergoes in response to the
current epidemiological situation in the world. The characteristics we considered –
emotional tonus, organizational inclinations, and generosity – are significant predictors of
the microclimate formation in student groups. As the latter has undeniable effect on various
aspects of students’ life, understanding factors that contribute to psychological
microclimate has important practical implications. Based on the data obtained in the study,
it is advisable to continue this line of research with special attention to the long-term
dynamics of the microclimate formation in student groups, taking into account various
aspects of interpersonal interactions and in connection with academic outcomes. Research was financially supported by Southern Federal University, 2021, project No. VNGr-07 /
2020-02-AP) 5 Research limitations and perspectives 8 E3S Web of Conferences 258, 07076 (2021)
UESF-2021 E3S Web of Conferences 258, 07076 (2021) https://doi.org/10.1051/e3sconf/202125807076 Since the study time frame was rather limited, its findings may be somewhat fragmented, as
the effects of introducing new instructional formats in response to challenges of the Covid-
19 pandemic might not have fully manifested themselves. The results obtained are also not
exhaustive. A substantive portion of variability in the criterion variable remains
unexplained that definitely warrants further exploration. Potential lack of statistical power
(largely attributable of the organizational issues, including partly restricted access to
student population) adds to these limitations and calls for the study replication and
expansion with a larger sample of participants. In the future, we plan to supplement and expand our data by repeating the study toward
the end of the second academic semester, when it is likely to expect that all studied
situational and stable personality characteristics and their relationships with psychological
microclimate will be influenced by the changed instructional formats more saliently and
consistently. We also intend to recruit a larger sample of participants to increase statistical
power of the analyses. All together, this should help determine the effects of instructional
formats on the microclimate in student groups with more confidence. With the increased
statistical power, we could also expect to detect differences in the microclimate and in
respondents’ psychological characteristics of students studying in different instructional
formats. We also propose to carry studying the influence of instructional conditions on
psychological microclimate beyond the pandemic, when some of these formats may be
routinely practiced in institutions of higher education and to include assessment of students’
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Cuticle thickening associated with pyrethroid resistance in the major malaria vector Anopheles funestus
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Parasites & vectors
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cc-by
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* Correspondence: basilb@nicd.ac.za
1Malaria Entomology Research Unit, School of Pathology of the University of
the Witwatersrand and the National Health Laboratory Service,
Johannesburg, South Africa
Full list of author information is available at the end of the article © 2010 Wood 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. Cuticle thickening associated with pyrethroid
resistance in the major malaria vector Anopheles
funestus OR Wood1,2, S Hanrahan3, M Coetzee1,2, LL Koekemoer1,2, BD Brooke1,2* OR Wood1,2, S Hanrahan3, M Coetzee1,2, LL Koekemoer1,2, BD Brooke1,2* Wood et al. Parasites & Vectors 2010, 3:67
http://www.parasitesandvectors.com/content/3/1/67 Wood et al. Parasites & Vectors 2010, 3:67 Abstract Background: Malaria in South Africa is primarily transmitted by Anopheles funestus Giles. Resistance to pyrethroid
insecticides in An. funestus in northern Kwazulu/Natal, South Africa, and in neighbouring areas of southern
Mozambique enabled populations of this species to increase their ranges into areas where pyrethroids were being
exclusively used for malaria control. Pyrethroid resistance in southern African An. funestus is primarily conferred by
monooxygenase enzyme metabolism. However, selection for this resistance mechanism is likely to have occurred
in conjunction with other factors that improve production of the resistance phenotype. A strong candidate is
cuticle thickening. This is because thicker cuticles lead to slower rates of insecticide absorption, which is likely to
increase the efficiency of metabolic detoxification. Results: Measures of mean cuticle thickness in laboratory samples of female An. funestus were obtained using
scanning electron microscopy (SEM). These females were drawn from a laboratory colony carrying the pyrethroid
resistance phenotype at a stable rate, but not fixed. Prior to cuticle thickness measurements, these samples were
characterised as either more or less tolerant to permethrin exposure in one experiment, and either permethrin
resistant or susceptible in another experiment. There was a significant and positive correlation between mean
cuticle thickness and time to knock down during exposure to permethrin. Mean cuticle thickness was significantly
greater in those samples characterised either as more tolerant or resistant to permethrin exposure compared to
those characterised as either less tolerant or permethrin susceptible. Further, insecticide susceptible female An. funestus have thicker cuticles than their male counterparts. Conclusion: Pyrethroid tolerant or resistant An. funestus females are likely to have thicker cuticles than less tolerant
or susceptible females, and females generally have thicker cuticles than males. In pyrethroid resistant An. funestus,
this increase in cuticle thickness is likely to have developed as an auxiliary to the primary mode of pyrethroid
resistance which is based on enzyme-mediated detoxification. Insecticide exposure assay In order to choose an appropriate adult mosquito age for
cuticle thickness measurements, the findings of Cook et
al. [14] concerning the expression periods of cuticle gene
orthologue Ae-8505 in Aedes aegypti were used as a
guide. It was decided to use ten day old female mosqui-
toes all drawn from the same FUMOZ cohort. This age
cohort was chosen in an effort to minimise variation in
thickness due to age dependent gene expression (allow-
ing for variation of approximately 24 h as mosquito sam-
ples were collected once per day) as well as to obtain
cuticles at their thickest in terms of growth and repair. It
has previously been established that FUMOZ females
show appreciable levels of pyrethroid resistance at
10 days [8]. Cuticle thickening is a gene-regulated process that an
insect undergoes as it ages. It has been demonstrated
that cuticle is laid down in a circadian pattern, resulting
in growth rings of nocturnal lamellate and diurnal non-
lamellate structure [11-13]. The periods of transcription
of genes coding for cuticle formation have been used to
predict age in the dengue vector Aedes aegypti in the
field [14], and aging by quantification of cuticle rings
has been described for African migratory locusts [15]. Measurable cuticle thickening has been associated
with pyrethroid resistance in the Chagas disease vector
Triatoma infestans [16] and is tentatively inferred from
micro-array gene transcription analysis in An. stephensi
[17]. Measurements of rates of insecticide penetration
have been found to be affected by thickened cuticles as
well as by other structural components of cuticles such
as relative amounts of surface hydrocarbons [16], sug-
gesting that decreased rates of penetration across the
cuticle slows insecticide inoculation of internal organs
sufficiently to allow for effective metabolically-mediated
detoxification. Twenty adult females were aspirated into a WHO
exposure tube containing a 0.75% permethrin treated fil-
ter paper supplied by the World Health Organization
(WHO). Knockdown of mosquitoes in the exposure
tube was continuously monitored for one hour. In order
to validate knockdown of an individual, the base directly
under the mosquito was lightly tapped in order to ascer-
tain whether it was a true knockdown. Any individual
that was still able to fly was kept in the exposure tube
until it became completely moribund, at which point it
was removed using an aspirator carefully inserted into
the tube. The time of removal was recorded. Background in affected areas. The effectiveness of this approach
hinges on production issues such as insecticide formula-
tion, logistical issues such as adequate and timely cover-
age, and biological issues of which the emergence of
insecticide resistance in target mosquito populations is
the most pressing. Malaria in southern Africa is transmitted by Anopheles
funestus Giles, the nominal member of the An. funestus
species group, and An. arabiensis Patton, a member of
the An. gambiae species complex. Malaria vector control in South Africa and many of its
neighbouring countries is based on the application of
insecticides inside human dwellings and other structures Resistance to pyrethroid insecticides in An. funestus in
northern Kwazulu/Natal, South Africa, and in neighbour-
ing areas of southern Mozambique enabled populations
of this species to increase their ranges into areas where
pyrethroids were being exclusively used for malaria con-
trol [1-3]. The effect of this range expansion, as well as
the emergence of anti-malarial drug resistance, was an * Correspondence: basilb@nicd.ac.za
1Malaria Entomology Research Unit, School of Pathology of the University of
the Witwatersrand and the National Health Laboratory Service,
Johannesburg, South Africa
Full list of author information is available at the end of the article Wood et al. Parasites & Vectors 2010, 3:67
http://www.parasitesandvectors.com/content/3/1/67 Page 2 of 7 of association between these two phenotypes (response
to insecticide intoxication and cuticle thickness) pro-
vides a critical platform for establishing whether they
share a causal relationship, as well as for predicting the
potential biological and epidemiological implications of
such a relationship. unprecedented malaria epidemic, primarily in Kwazulu/
Natal, South Africa, during the period 1996 to 2000. Ade-
quate responses including the re-introduction of DDT
and a change in the prescribed anti-malarial drug regi-
men succeeded in controlling the epidemic [3,4]. Never-
theless, this incident highlighted the potential effect that
insecticide resistance can have on an otherwise well-
implemented vector control programme. Methods Pyrethroid resistance in southern African An. funestus
is primarily based on an enzyme system that employs
the up-regulated detoxifying capabilities of at least two
P450 monooxygenase genes [2,5-7], with variation in
expression of the resistance phenotype by age and gen-
der [8]. It is likely that resistance in An. funestus arose
comparatively rapidly as a consequence of intense insec-
ticide selection pressure [1]. As a result, other factors
may be directly or indirectly involved in the expression
of the resistance phenotype. One possibility is cuticular
thickening. Thicker cuticles lead to slower rates of
insecticide absorption, which is likely to enhance the
efficiency of metabolic detoxification. Slower insecticide
penetration across the cuticle (though not necessarily
the result of cuticle thickening) has been associated with
insecticide resistance in the cotton bollworm Helicov-
erpa armigera [9,10]. Permethrin tolerance assay
Anopheles funestus samples Permethrin tolerance assay
Anopheles funestus samples p
p
Samples of An. funestus were drawn from the FUMOZ
laboratory colony housed at the VCRU, NICD, in Johan-
nesburg. This colony originates from material collected
in southern Mozambique and is maintained under stan-
dard insectary conditions [8]. FUMOZ carries resistance
to the pyrethroid insecticide permethrin at compara-
tively stable rates ranging between 5% and 30% mortal-
ities [19], as measured using standard insecticide
exposure assays against adults [20]. For the gender com-
parison, samples of An. funestus were drawn from the
FANG laboratory colony. This colony originates from
material collected in southern Angola and is fully
susceptible to insecticides. Insecticide exposure assay This process
was repeated until suitable samples (at least 10) of indi-
viduals from the intolerant and tolerant groupings had
been collected. Specimen preparation for SEM All females were washed twice in 70% ethanol in order
to clean them thoroughly. The legs were given a light
brushing in the area of the desired section while under
the ethanol. This was done to remove some of the scales
that cover the legs in order to facilitate a cleaner cut. Tarsomere I on the left middle leg was severed at the
midpoint in a drop of alcohol using a new platinum
coated blade (Figures 1 &2). Following the sectioning,
the leg was washed again to remove any debris which
may obscure the view of the cuticle. Fresh ethanol was
gently passed over the section to remove any debris. The leg was left attached to the body. Each mosquito
was then placed ventral side up in a foam critical point
drying container with the sectioned portion of the leg
orientated vertically. The containers were then passed
through 70%, 80%, 90% and 100% ethanol. Each step
lasted at least two hours and was repeated twice. The
final change was allowed to stand overnight, and the
ethanol used was kept under a molecular sieve to ensure
complete dehydration. The dried specimens were
mounted ventral side up on stubs, ensuring vertical
positioning of the sectioned part of the leg so as to
enable a square measurement across the section from
above. Insecticide exposure assay Those indi-
viduals that were still active after 60 minutes exposure
were grouped as + 60 minutes. These samples were
cold-terminated in a fridge at 4°C within five minutes of
removal from the permethrin exposure tube, preventing In a preliminary micro-array analysis of pyrethroid
resistant and susceptible An. funestus [unpublished data]
using the An. gambiae detoxification chip [18], differen-
tial transcription of a gene associated with cuticle
deposition (JV2) was observed. This provided the
impetus to compare cuticle thicknesses between labora-
tory reared An. funestus samples characterised by their
responses to pyrethroid intoxication. A direct measure Page 3 of 7 Wood et al. Parasites & Vectors 2010, 3:67
http://www.parasitesandvectors.com/content/3/1/67 Wood et al. Parasites & Vectors 2010, 3:67
http://www.parasitesandvectors.com/content/3/1/67 Wood et al. Parasites & Vectors 2010, 3:67
http://www.parasitesandvectors.com/content/3/1/67 digitized and examined using Zeiss AxioVision Release
4.6 software to measure the thickness of the cuticle
(Figure 3). Measurements were made by tracing the out-
line of both the inner and outer circumference of the
cuticle and measuring the shortest distance between the
two at no fewer than 25 different, evenly distributed
points with obvious aberrations such as scale beds
excluded. A mean cuticle thickness per specimen was
obtained in this way. The permethrin tolerant and intol-
erant groups were then compared using one-way
ANOVA and a possible trend between cuticle thickness
and time to knock-down was evaluated using linear
regression (Statistix 7.0 software). further cuticle formation in any of the mosquitoes taken
for subsequent analysis. Females representing the ear-
liest knock-down cohort were grouped and termed as
permethrin intolerant (< 30 minutes to knock-down),
whilst females with a knock-down time in excess of
40 minutes were grouped as permethrin tolerant. These
time discriminators presented as natural limits for
FUMOZ based on exposure observations and are not
standardised for anophelines in general. This process
was repeated until suitable samples (at least 10) of indi-
viduals from the intolerant and tolerant groupings had
been collected. further cuticle formation in any of the mosquitoes taken
for subsequent analysis. Females representing the ear-
liest knock-down cohort were grouped and termed as
permethrin intolerant (< 30 minutes to knock-down),
whilst females with a knock-down time in excess of
40 minutes were grouped as permethrin tolerant. These
time discriminators presented as natural limits for
FUMOZ based on exposure observations and are not
standardised for anophelines in general. Permethrin susceptibility assay Following the tolerance assays, another large sample of
FUMOZ females were taken from a single cohort. In
order to offset the effect of circadian cuticular lay-down
the sample population was aged to nine days at which
point a sub-sample was removed for insecticide expo-
sure while the remainder were allowed to age one more
day. The nine and ten day old groups were exposed to
0.75% permethrin for 1 hour according to the standard
WHO protocol for testing adult anopheline susceptibil-
ity to insecticide [20]. Exposures of both sub-samples
were conducted at the same time of day under the same
conditions. Those survivors from the day 9 exposure were removed
on the 10th day following a 24 hour recovery period and
were cold terminated as previously described. These sur-
vivors were characterised as 10-day-old permethrin resis-
tant. Those females that succumbed to permethrin
exposure during the day 10 exposure were characterised
as 10-day-old permethrin susceptible. In order to accommodate an effect of body size on
cuticle thickness, the wing lengths of all females used in
the permethrin resistance assay were measured. Wing
length gives a good approximation of body size [21]. Specimens were sputter coated with carbon and gold
palladium and viewed using a Jeol JSM-840 scanning
electron microscope. Micrographs obtained were Specimen preparation for SEM was as described earlier. An FEI Quanta 400 E scanning electron microscope, Figure 1 Illustration of the point of section on An. funestus tarsomere 1 (after Evans [24](t1-t5 = five tarsal segments). Illustration of the point of section on An. funestus tarsomere 1 (after Evans [24](t1-t5 = five tarsal segments). Wood et al. Parasites & Vectors 2010, 3:67
http://www.parasitesandvectors.com/content/3/1/67 Wood et al. Parasites & Vectors 2010, 3:67
http://www parasitesandvectors com/content/3 Page 4 of 7 http://www.parasitesandvectors.com/content/3/1/67 Figure 2 SEM (FEI Quanta 400 E) micrograph showing an
oblique view of the lower half of a sectioned leg. a. Scale. b. Area where scales were brushed away to facilitate a clean section. c. The integument. d. Muscle or tendon (frequently used as a
reference point for standardizing points of measure). Figure 3 Micrograph from the FEI Quanta 400E illustrating 16
initial points of cuticle thickness measurement, allowing for
calculation of mean cuticle thickness per individual. At least 25
points of measurements were used per individual. Permethrin susceptibility assay Figure 3 Micrograph from the FEI Quanta 400E illustrating 16
initial points of cuticle thickness measurement, allowing for
calculation of mean cuticle thickness per individual. At least 25
points of measurements were used per individual. Figure 2 SEM (FEI Quanta 400 E) micrograph showing an
oblique view of the lower half of a sectioned leg. a. Scale. b. Area where scales were brushed away to facilitate a clean section. c. The integument. d. Muscle or tendon (frequently used as a
reference point for standardizing points of measure). Figure 2 SEM (FEI Quanta 400 E) micrograph showing an
oblique view of the lower half of a sectioned leg. a. Scale. b. Area where scales were brushed away to facilitate a clean section. c. The integument. d. Muscle or tendon (frequently used as a
reference point for standardizing points of measure). Figure 3 Micrograph from the FEI Quanta 400E illustrating 16
initial points of cuticle thickness measurement, allowing for
calculation of mean cuticle thickness per individual. At least 25
points of measurements were used per individual. which became available for use in the interim, was used
to obtain digital micrographs. Mean cuticle thickness was
compared between the permethrin resistant and suscepti-
ble samples using one-way ANOVA (Statistix 7.0
software). Gender comparison Given the variation in insecticide resistance phenotypic
expression between males and females in southern Afri-
can An. funestus (females are generally more tolerant/
resistant [8]), it was decided to ascertain whether there
is significant variation in cuticle thickness by gender. A sample of males and females was removed from a
cohort of the FANG colony. This colony was used for
this experiment because it does not carry any measur-
able insecticide resistance phenotypes, thus removing
insecticide resistance as a confounding variable when
comparing cuticle thickness between males and females. The sample was aged to five days before being cold ter-
minated as in the previous assays. The wing lengths of
all individuals used for subsequent cuticle measurements
were determined. The mean cuticle thickness of the intolerant specimens
was 2.13 μm (SD ± 0.10 μm) while the tolerant specimens
showed a mean thickness of 2.33 μm (SD ± 0.22 μm), giv-
ing a mean difference of 0.20 μm (Figure 4). This differ-
ence is significant based on ANOVA (P = 0.03). A linear regression of time to knock-down (kdt) vs. mean cuticle thickness is shown in Figure 5. There is a
significant trend (P = 0.01) in which cuticle thickness gen-
erally increases with increasing length of time to knock-
down, although the correlation is weak (R2 = 0.33). Permethrin tolerance assay During viewing it was noted that a number of the pre-
pared specimens had internal tissue protruding beyond
the section edge, obscuring the cuticle. These specimens
were discarded. In total, measurements of nine indivi-
duals from each of the pyrethroid intolerant and toler-
ant samples were obtained. Permethrin susceptibility assay funestus laboratory reared
females characterised as either resistant or susceptible to
permethrin intoxication. Figure 4 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either more or less tolerant to
permethrin intoxication. Figure 4 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either more or less tolerant to
permethrin intoxication. Figure 4 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either more or less tolerant to
permethrin intoxication. for the female sample (Figure 7). The mean difference
of 0.22 μm was significant based on ANOVA (P = 0.01). The mean cuticle thickness of the permethrin suscep-
tible specimens was 2.00 μm (SD ± 0.20 μm) while the
permethrin resistant specimens showed a mean thick-
ness of 2.21 μm (SD ± 0.15 μm) (Figure 6), giving a
mean difference of 0.21 μm. This difference is significant
(P = 0.02) based on one-way ANOVA. Discussion Insecticide resistant phenotypes and their underlying
mechanisms tend to evolve rapidly under intense insec-
ticide selection pressure, leading to the prediction that
resistance, in general, is likely to be conferred by a small
number of major-effect genes [22]. However, differential
expression of many genes not normally associated with
insecticide resistance may also occur [23]. Permethrin susceptibility assay Measurements of mean cuticle thickness were obtained
from 10 females characterised as 10-day-old permethrin
resistant and 9 females characterised as 10-day-old per-
methrin susceptible. Only one specimen was discarded
because of tissue obscuring the cuticle. There was no
significant difference in wing-length measurements
between the two samples (mean wing-length of resistant
sample = 2.86 mm; mean wing-length of susceptible
sample = 2.88 mm; P = 0.7084 based on a two sample
t test). All specimens were prepared for SEM as described
earlier, and the FEI Quanta 400 E scanning electron
microscope was used to obtain digital micrographs. The
images on all micrographs were analysed and measured
as described earlier and the mean cuticle thickness of
each specimen was calculated. Mean cuticle thickness
was compared between males and females using one-
way ANOVA (Statistix 7.0 software). Wood et al. Parasites & Vectors 2010, 3:67
http://www.parasitesandvectors.com/content/3/1/67 Page 5 of 7 Figure 4 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either more or less tolerant to
permethrin intoxication. Figure 6 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either resistant or susceptible to
permethrin intoxication. Figure 4 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either more or less tolerant to
permethrin intoxication. Figure 4 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either more or less tolerant to
permethrin intoxication. Figure 6 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either resistant or susceptible to
permethrin intoxication. Figure 6 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either resistant or susceptible to
permethrin intoxication. Figure 6 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either resistant or susceptible to
permethrin intoxication. Figure 6 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. funestus laboratory reared
females characterised as either resistant or susceptible to
permethrin intoxication. Figure 6 Means and variation in cuticle thicknesses (with 95%
limits) of two samples of An. Gender comparison One male specimen was discarded owing to tissue
obscuring the cuticle, and measurements were obtained
from 11 specimens. Two female specimens were dis-
carded and cuticle measurements were obtained from
10 specimens. There was no significant variation in
wing length between samples (mean wing-length of
males = 3.01 mm; mean wing-length of females =
3.12 mm; P = 0.07 based on a 2 sample t test). Measurements of response to permethrin exposure,
expressed either in terms of tolerance during exposure or
outcome following exposure, show similar associations
with mean cuticle thickness. There was a 9.5-10%
increase in mean cuticle thickness in those individuals
either more tolerant or resistant to permethrin compared p
Mean cuticle thicknesses were 1.79 μm (SD ± 0.18
μm) for the male sample and 2.01 μm (SD ± 0.15 μm) Figure 7 Means and variation in cuticle thicknesses (with 95%
limits) of female and male An. funestus samples drawn from a
laboratory colony that is fully susceptible to insecticide. Figure 7 Means and variation in cuticle thicknesses (with 95%
limits) of female and male An. funestus samples drawn from a
laboratory colony that is fully susceptible to insecticide. Figure 5 Time-to-knockdown (KDT) during exposure to
permethrin vs. mean cuticle thickness (microns). The trend is
significant but weakly correlated (R2 = 0.33, P = 0.03). Figure 7 Means and variation in cuticle thicknesses (with 95%
limits) of female and male An. funestus samples drawn from a
laboratory colony that is fully susceptible to insecticide. Figure 5 Time-to-knockdown (KDT) during exposure to
permethrin vs. mean cuticle thickness (microns). The trend is
significant but weakly correlated (R2 = 0.33, P = 0.03). Figure 5 Time-to-knockdown (KDT) during exposure to
permethrin vs. mean cuticle thickness (microns). The trend is
significant but weakly correlated (R2 = 0.33, P = 0.03). Figure 5 Time-to-knockdown (KDT) during exposure to
permethrin vs. mean cuticle thickness (microns). The trend is
significant but weakly correlated (R2 = 0.33, P = 0.03). Figure 7 Means and variation in cuticle thicknesses (with 95%
limits) of female and male An. funestus samples drawn from a
laboratory colony that is fully susceptible to insecticide. Wood et al. Parasites & Vectors 2010, 3:67
http://www.parasitesandvectors.com/content/3/1/67 Page 6 of 7 Page 6 of 7 Page 6 of 7 to those that were either less tolerant or permethrin sus-
ceptible. Conclusion 4. Maharaj R, Mthembu DJ, Sharp BL: Impact of DDT re-introduction on
malaria transmission in KwaZulu-Natal. S Afr Med J 2005, 95:871-874. We conclude that pyrethroid tolerant or resistant
An. funestus females are likely to have thicker cuticles
than less tolerant or susceptible females, and that
females generally have thicker cuticles than males. In
pyrethroid resistant An. funestus, this increase in cuticle
thickness is likely to have developed as an auxiliary to
the primary mode of resistance which is based on
enzyme-mediated detoxification. 5. Wondji CS, Morgan J, Coetzee M, Hunt RH, Steen K, Black WC IV,
Hemingway J, Ranson H: Mapping a quantitative trait locus (QTL)
conferring pyrethroid resistance in the African malaria vector Anopheles
funestus. BMC Genomics 2007, 8:34. 6. Wondji CS, Irving H, Morgan J, Lobo NF, Collins FH, Hunt RH, Coetzee M,
Hemingway J, Ranson H: Two duplicated P450 genes are associated with
pyrethroid resistance in Anopheles funestus, a major malaria vector. Genome Res 2009, 19:452-459. 6. Wondji CS, Irving H, Morgan J, Lobo NF, Collins FH, Hunt RH, Coetzee M,
Hemingway J, Ranson H: Two duplicated P450 genes are associated with
pyrethroid resistance in Anopheles funestus, a major malaria vector. Genome Res 2009, 19:452-459. 7. Amenya DA, Naguran R, Lo T-C M, Ranson H, Spillings BL, Wood OR,
Brooke BD, Coetzee M, Koekemoer LL: Over expression of a cytochrome
P450 (CYP6P9) in a major African malaria vector, Anopheles funestus,
resistant to pyrethroids. Insect Mol Biol 2008, 17:19-25. 7. Amenya DA, Naguran R, Lo T-C M, Ranson H, Spillings BL, Wood OR,
Brooke BD, Coetzee M, Koekemoer LL: Over expression of a cytochrome
P450 (CYP6P9) in a major African malaria vector, Anopheles funestus,
resistant to pyrethroids. Insect Mol Biol 2008, 17:19-25. Insecticide resistance has the potential to undermine
insecticide based vector control applications. Resistance
management strategies, which aim to either circumvent
or reduce the rate of insecticide resistance development
in vector populations, are best served by as complete an
understanding of resistance mechanisms and their
potential effects as possible. 8. Hunt RH, Brooke BD, Pillay C, Koekemoer LL, Coetzee M: Laboratory
selection for and characteristics of pyrethroid resistance in the malaria
vector Anopheles funestus. Med Vet Entomol 2005, 19:271-275. 9. Ahmad M, Denholm I, Bromilow RH: Delayed cuticular penetration and
enhanced metabolism of deltamethrin in pyrethroid-resistant strains of
Helicoverpa armigera from China and Pakistan. Pest Manag Sci 2006,
62:805-810. 10. Acknowledgements Special thanks to Prof. Michael Witcomb and the staff of the Microscopy and
Microanalysis Unit of the University of the Witwatersrand, Johannesburg,
South Africa, for their technical knowledge, support and special provision in
terms of use of and training for the their FEI Quanta 400 Environmental
Analytical Scanning Electron Microscope. This project was partially funded by
an NHLS Research Trust award to BDB and the DST/NRF Research Chair in
Medical Entomology and Vector Control award to MC. References 1. Hargreaves K, Koekemoer LL, Brooke BD, Hunt RH, Mthembu J, Coetzee M:
Anopheles funestus resistant to pyrethroid insecticides in South Africa. Med Vet Entomol 2000, 14:181-189. 2. Brooke BD, Kloke G, Hunt RH, Koekemoer LL, Temu EA, Taylor ME, Small G,
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and eastern Africa. Chapter 9. Bridging Laboratory and Field Research for
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2005, 101-109, Series #11. Gender comparison A link between cuticle thickness and response
to insecticide exposure is thus based on the assortment
of phenotypes, whereby the permethrin tolerant and
resistant groups were significantly associated with thicker
cuticles and vice versa. A similar difference in cuticle
thickness was observed between insecticide susceptible
males and females which may contribute to the differ-
ences in tolerance to insecticide intoxication generally
observed between genders in An. funestus [8]. Variation
in the expression of pyrethroid resistance with age in the
FUMOZ colony is most likely based on variation in
monooxygenase gene expression. Ten day old FUMOZ
mosquitoes show reduced insecticide resistance com-
pared to younger cohorts [8], but our data give no indica-
tion as to whether this variation is in any way linked to
cuticle deposition. Authors’ contributions ORW assisted with experimental design, conducted the experiments,
analysed the data and drafted the initial manuscript. SH assisted with
experimental design and data interpretation, offered general expertise and
advice, and reviewed the manuscript prior to submission. MC assisted with
data interpretation and reviewed the manuscript prior to submission. LLK
assisted with experimental design and reviewed the manuscript prior to
submission. BDB assisted with experimental design, data analysis and
interpretation, and produced the final version of the manuscript. Received: 7 July 2010 Accepted: 4 August 2010
Published: 4 August 2010 Received: 7 July 2010 Accepted: 4 August 2010
Published: 4 August 2010 Received: 7 July 2010 Accepted: 4 August 2010
Published: 4 August 2010 Author details
1 1Malaria Entomology Research Unit, School of Pathology of the University of
the Witwatersrand and the National Health Laboratory Service,
Johannesburg, South Africa. 2Vector Control Reference Unit, National
Institute for Communicable Diseases, NHLS, Private Bag X4, Sandringham,
2131, South Africa. 3School of Animal, Plant and Environmental Sciences,
University of Witwatersrand, Johannesburg, South Africa. These data support the hypothesis that the efficiency
of monooxygenase-based pyrethroid resistance in south-
ern African An. funestus is likely to be affected by minor
factors. This is because in order to produce an effective
resistant phenotype, upregulated transcription of
selected P450 monooxygenase genes must produce suffi-
cient enzyme to catalyze the metabolism of pyrethroids
at a rate that prevents significant interaction between
the insecticide and its neuronal target. Therefore, any
mechanism that slows or regulates insecticide inocula-
tion of internal organs, such as cuticular thickening, is a
likely candidate for selection along with the primary
mode of resistance. 11.
Neville AC: Circadian organization of chitin in some insect skeletons. J
Microscop Sci 1965, 106:315-325. Conclusion Gunning RV, Devonshire AL, Moores GD: Metabolism of esfenvalerate by
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(Lepidoptera: Noctuidae). Pestic Biochem Physiol 1995, 51:205-213. List of Abbreviations
SEM: Scanning Electron Microscopy; WHO: World Health Organisation;
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cuticle growth in the bug, Oncopeltus fasciatus. J Insect Physiol 1969,
15:373-378. Competing interests
The authors declare that they have no competing interests. Wood et al. Parasites & Vectors 2010, 3:67
http://www.parasitesandvectors.com/content/3/1/67 Wood et al. Parasites & Vectors 2010, 3:67
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Anopheles funestus. PhD thesis University of the Witwatersrand
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Anopheles funestus. PhD thesis University of the Witwatersrand
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Museum (Natural History) 1938. doi:10.1186/1756-3305-3-67
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Time-ResNeXt for epilepsy recognition based on EEG signals in wireless networks
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Introduction Epilepsy is a brain disease that is caused by persistent susceptibility to recurrent seizures and the neurobiological, cognitive, psychological,
and social consequences that result. According to estimates by the World Health Organization (WHO), about 2.4 million people worldwide
are diagnosed with epilepsy every year [1]. Prolonged, frequent or severe seizures can lead to further brain damage and even persistent
neuropsychiatric disorders. Sudden epilepsy (SUDEP) is a serious complication of epilepsy and is one of the most common causes of death
in younger patients with epilepsy. The timely diagnosis of the presence and type of epilepsy is critical to its prognosis and choice of
treatment options [2]. However, the diagnosis of epilepsy is relatively difficult, especially for the detection of seizures in newborns [3,4]. The
usual clinical experience is judged by observing the behavior and other seizures of the newborn, but this is easily confused with other normal
behaviors [5]. Epilepsy is often attributed to excessive abnormal discharges of neurons in the brain [6,7]. Electroencephalogram signals provide a powerful
tool for the diagnosis of epilepsy. Experienced neuropathologists interpret EEG signals by observing the patterns of seizures and the period
of seizures, and have formulated certain international standards to find specific signal characteristics in multi-channel
electroencephalography [8,9]. Then, the condition of the patient is judged by the EEG signal rule that is manually explained. This method is
relatively time-consuming and subjective, and it is objectively prone to errors [10,11]. Therefore, a suitable mechanism is needed to
automatically interpret and classify EEG signals in patients with epilepsy. EEG signal automatic classification methods usually use traditional manual feature machine learning and statistical methods, such as time-
frequency analysis using wavelet transform [12], detection method using entropy estimator [13], discrete wavelet transform and approximate
entropy Method [14] and so on. In addition, there are also methods for detecting using shallow neural networks using artificial features, such
as Elman and Probabilistic Neural Networks [15], which use approximate entropy as input features of the network, artificial neural networks
[16] The method using Volterra system and cellular nonlinear network [17] and so on. With the development of the field of machine learning in recent years, a large number of excellent machine learning classification algorithms
have emerged, the most representative of which is the deep neural network algorithm. Research Keywords: artificial intelligence, deep learning, epilepsy detection, Time-ResNeXt DOI: https://doi.org/10.21203/rs.2.23963/v2 License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Version of Record: A version of this preprint was published on October 7th, 2020. See the published version at
https://doi.org/10.1186/s13638-020-01810-5. Page 1/11 Page 1/11 Abstract To automatically detect dynamic EEG signals to reduce the time cost of epilepsy diagnosis. In the signal recognition of
electroencephalogram (EEG)of epilepsy, traditional machine learning and statistical methods require manual feature labeling engineering in
order to show excellent results on a single data set. And the artificially selected features may carry a bias, and cannot guarantee the validity
and expansibility in real-world data. In practical applications, deep learning methods can release people from feature engineering to a certain
extent. As long as the focus is on the expansion of data quality and quantity, the algorithm model can learn automatically to get better
improvements. In addition, the deep learning method can also extract many features that are difficult for humans to perceive, thereby
making the algorithm more robust. Based on the design idea of ResNeXt deep neural network, this paper designs a Time-ResNeXt network
structure suitable for time series EEG epilepsy detection to identify EEG signals. The accuracy rate of Time-ResNeXt in the detection of EEG
epilepsy can reach 91.50%. The Time-ResNeXt network structure produces extremely advanced performance on the benchmark dataset
(Berne-Barcelona dataset), and has great potential for improving clinical practice. Introduction Especially in the field of image classification, deep
learning methods, such as VGG [18] network, Google Inception [19] network, and ResNet [20] network, have powerful automatic feature
extraction capabilities [21], which have been completely completed in some fields Beyond traditional machine learning and statistical
methods and shallow artificial neural network methods, it can even identify targets that are difficult to distinguish with the naked eye,
surpassing humans. In addition, many large companies have also adopted the method of deep learning as one of their core competitiveness
[22,23,24]. This paper draws on the excellent deep neural network structure in the image field, and designs an excellent end-to-end network structure
based on ResNeXt [25] and suitable for EEG signal epileptic detection. And the performance of the network is verified on a public standard
dataset (Berne Barcelona EEG dataset [26]), and compared with traditional algorithms [27,28,29,30] using this dataset, for us the
performance of the algorithm is evaluated. The transformation set structure is shown in Fig. 5. The transformation set structure is shown in Fig. 5. The convolution modules of the transform set are all the same. ResNeXt uses a transformation set to replace the transformation structure of
the Inception network. Because each aggregated topology is the same, the network no longer needs to modify too many hyperparameters on
different data sets, which has better robustness. 2.1 Data description The data are from the EEG database of Berne Barcelona and are divided into two categories: EEG signal data during the onset of epilepsy
patients and EEG signal data during the onset of epilepsy patients. Each category has 3750 pieces of data, each piece of data has 2 signal Page 2/11 Page 2/11 channels with a length of 10240 and a sampling frequency of 512Hz (the time length of each piece of data is 20s). Part of the original EEG
image is shown in Fig. 1. channels with a length of 10240 and a sampling frequency of 512Hz (the time length of each piece of data is 20s). Part of the original EEG
image is shown in Fig. 1. 3.2 Model design process The original ResNeXt-50 has five stages and a large number of parameters, as shown in Fig. 6. The original ResNeXt-50 has five stages and a large number of parameters, as shown in Fig. 6. During training, it is found that the results are difficult to converge and tend to be completely random. Therefore, it was determined that the
network structure was too complicated. Starting from the complexity of the network, the network was tailored to try to find a suitable
structure. The test results are shown in Table 2. 2.2 Training data preparation Due to the balanced data classification, there is no data deviation. So there is no data enhancement for a single category. Only the data set
is divided to prepare for model training. The method is shown in Table 1. The original data set is randomly divided into a training set (3000
items / category), a validation set (250 items / category), and a test set (500 items/category). 3.1 Model design ideas ResNeXt's deep learning network model structure design idea is followed. According to the data characteristics of EEG signals, a network
structure Time-ResNeXt is designed for EEG time series classification. According to the traditional idea of designing network structures to improve the accuracy of the model, most of them are to deepen or widen
the structure of the network, but as the number of hyperparameters (such as the number of channels, the size of the convolution kernel, etc.)
increases, neural network design The difficulty and computational overhead also increase greatly. The algorithm in this paper benefits from
the repeated topology of the ResNeXt network sub-modules, which enables it to have a very high accuracy rate while slightly increasing the
amount of network calculations, while also greatly reducing the number of hyperparameters. First, I have to mention the classic VGG network and Inception network. The design idea of VGG network is: modularize the neural network to
increase the depth, but such a deep network will cause network degradation due to gradients. The structure of VGG network key modules is
shown in Fig. 2. The design philosophy of the Inception network is exactly the opposite: the width of the network is increased by the split-transform-merge
method, but the settings of the various hyperparameters of this Inception network are more targeted and need to be performed when applied
to other data sets. Many modifications, so scalability is average. The structure of the key modules of the Inception network is shown in Fig. 3. The ResNeXt network is based on the design idea of ResNet's cross-layer connection, and combines the VGG and Inception networks. And
through the structure of ResNet cross-layer connection to improve the shortcomings of VGG network too deep degradation. The cross-layer
connection structure is shown in Fig. 4. 3.3 Time-ResNeXt network structure The structure of Time-ResNeXt neural network is shown in Table 3. It has two phases in total. The detailed network structure of the first phase is shown in Fig. 7. The depth of the second phase of the network structure is 2, that is, two network structure sub-modules, each of which contains cross-layer
connections, activation layers, convolutional layers, batch normalization layers, and transform set modules. The main structure is The
transformation set module, which uses a network design structure in a network, is a module for forming a convolution transformation set by
connecting 32 convolutional structural blocks as shown in Fig. 8 in parallel, which is the main feature extraction module. Page 3/11 4.4 Training process records The results of the training set are shown in Fig. 9, the X-axis is the training algebra, and the Y-axis is the training evaluation index. The results of the validation set are shown in Fig. 10. The results of the validation set are shown in Fig. 10. The results show that at 74th generation, the model performs best on the validation data, with a correct rate of 0.9150. The results show that at 74th generation, the model performs best on the validation data, with a correct rate of 0.9150. The results show that at 74th generation, the model performs best on the validation data, with a correct rate of 0.9150. Conclusion Automatically detect dynamic EEG signals to reduce the time cost of epilepsy diagnosis. In the signal recognition of epilepsy
electroencephalogram (EEG), traditional machine learning and statistical methods require manual feature labeling engineering in order to
show excellent results on a single data set. Based on the design idea of ResNeXt deep neural network, this paper designs a Time-ResNeXt
network structure suitable for time series EEG epilepsy detection to identify EEG signals. The accuracy of Time-ResNeXt in EEG epilepsy
detection can reach 91.50%. The Time-ResNeXt network structure produces extremely advanced performance on a benchmark dataset , with
great potential to improve clinical practice. Results And Discussion Through continuous training of the model, the accuracy rate finally reached 0.9050, achieving an extremely advanced performance. Its pair
is shown in Table 5. In addition, there are many areas in this mission where you can continue to improve. For example, you can use Hard Example Mining to train
difficult samples. Increasing the amount of data is also an extremely good method. The causes of epilepsy are complex. Trying more
detailed multi-classification will help decouple the data and further reduce the difficulty of model training. All in all, our classifier has achieved an extremely good performance and has excellent scalability on the Bern dataset in Barcelona. As the
amount of data in real business scenarios increases, it will show even better performance. 4.2 Loss function and evaluation index The loss function uses the cross entropy function of L2 regularization attenuation. The cross entro The loss function uses the cross entropy function of L2 regularization attenuation. The cross entropy function is calculated as follows. tropy function of L2 regularization attenuation. The cross entropy function is calculated as follows. The loss function uses the cross entropy function of L2 regularization attenuation. The cross entropy function is calculated as follows. S
f
l
1 2
d 3 i
th
l
t
fil See formulas 1, 2, and 3 in the supplementary files. In order to further avoid overfitting, an early stopping training strategy is adopted. When the model exceeds 30 consecutive generations of
evaluation indicators and does not improve on the validation set, training is stopped. This can prevent the model from over-learning on the
training set, avoid excessive bias, and reduce the generalization performance of the model. 4.4 Training process records 4.1 Optimizer Use Adam's algorithm as the optimizer. The Adam algorithm is an algorithm that performs a stepwise optimization on a random objective
function. This algorithm is based on adaptive low-order moment estimation, has high computational efficiency and low memory
requirements. The adaptive learning rate of different parameters can be calculated by estimating the first and second gradients. In addition,
the gradient rescaling of Adam's algorithm is invariant, so it is very suitable for solving problems with large-scale data or parameters. The advantages are: easy to implement, efficient calculation, less memory required, invariance of gradient diagonal scaling, and only
minimal tuning. The parameter settings of the Adam optimizer are shown in Table 4. Among them, lr refers to the step size, that is, the step size of each gradient descent. Decay is a weight decay factor, which avoids overfitting
by adding a regular term to the loss function. Declarations Acknowledgements Acknowledgements Page 4/11 Abbreviations WHO: World Health Organization; FN:False Negative; FP:False Positive;TN:True Negative;TP:True Positive; TPR:True Positive Rate; FPR:False
Positive Rate WHO: World Health Organization; FN:False Negative; FP:False Positive;TN:True Negative;TP:True Positive; TPR:True Positive Rate; FPR:False
Positive Rate Competing interests The authors declare that they have no competing interests. Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. 1School of Computer and Communication Engineering ,China University of Petroleum(East of China),Qingdao 266000, P. R. China
2Department of Psychology,The Open University England Walton Hall Milton Keynes MK7 6AA 3Affiliated Hospital of Qingdao University Qingdao 266000, P. R. China 3Affiliated Hospital of Qingdao University Qingdao 266000, P. R. China 4Department of Traditional Chinese Medicine ,Shandong University of Traditional Chinese Medicine Jinan 250000, P. R. China 4Department of Traditional Chinese Medicine ,Shandong University of Traditional Chinese Medicine Jinan 250000, P. R. China 5 Harvard Medical School, Harvard University Cambridge, Massachusetts 02215 Page 4/11 The authors acknowledged the anonymous reviewers and editors for their efforts in valuable comments and suggestions. Funding The authors acknowledged the anonymous reviewers and editors for their efforts in valuable comments and suggestions. This work was supported by the National Natural Science Foundation of China (61873281, 61572522, 61502535, 61972416 and 61672248). Availability of data and materials Data sharing is not applicable to this article as no datasets were generated or analyzed during the current study. Authors’ contributions S.Q. Wang proposes the innovation ideas and theoretical analysis, and S.D. Wang carries out experiments and data analysis. Z. Song and
Y.F.Wang conceived of the study, and participated in its design and coordination and helped to draft the manuscript. All authors read and
approved the final manuscript. References He K, Zhang X, Ren S, et al. Deep residual learning for image recognition//Proceedings of the IEEE conference on computer vision and
pattern recognition. 2016: 770-778. LeCun, Y., Bengio. Y., Hinton. G., 2015. Deep learning, Nature, 521:436-444. 21. LeCun, Y., Bengio. Y., Hinton. G., 2015. Deep learning, Nature, 521:436-444. 21. LeCun, Y., Bengio. Y., Hinton. G., 2015. Deep learning, Nature, 521:436-444. 21. LeCun, Y., Bengio. Y., Hinton. G., 2015. Deep learning, Nature, 521:436-444. 22. Glorot. X., Bordes. A., Bengio. Y., 2010. Deep sparse rectifier neural networks, Journal of Machine L 23. Goodfellow. I., Bengio. Y., Courville. A., 2016. Deep Learning. MIT Press, http://www.deeplearningb 23. Goodfellow. I., Bengio. Y., Courville. A., 2016. Deep Learning. MIT Press, http://www.deeplearningbook.org. 23. Goodfellow. I., Bengio. Y., Courville. A., 2016. Deep Learning. MIT Press, http://www.deeplearningbook.org. 24. Lee. J. G., Jun. S. H., Cho. Y. W., Lee. H., Kim. G. B., Seo. J. B., Kim. N., 2017. Deep learning in medic
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computer vision and pattern recognition. 2017: 1492-1500. 25. Xie S, Girshick R, Dollár P, et al. Aggregated residual transformations for deep neural networks//Proceedings of the IEEE conference on
computer vision and pattern recognition. 2017: 1492-1500. 26. Andrzejak R G, Schindler K, Rummel C. Nonrandomness, nonlinear dependence, and nonstationarity of electroencephalographic
recordings from epilepsy patients. Physical Review E, 2012, 86(4): 046206. 26. Andrzejak R G, Schindler K, Rummel C. Nonrandomness, nonlinear dependence, and nonstationarity of electroencephalographic
recordings from epilepsy patients. Physical Review E, 2012, 86(4): 046206. 27. Sharma, R., Pachori, R.B., Gautam, S.: Empirical mode decomposition based classification of focal and non-focal seizure eeg signals. In:
Medical Biometrics, 2014 International Conference on. pp. 135–140. IEEE (2014). 27. Sharma, R., Pachori, R.B., Gautam, S.: Empirical mode decomposition based classification of focal and non-focal seizure eeg signals. In:
Medical Biometrics, 2014 International Conference on. pp. 135–140. IEEE (2014). 28. References Sharma, R., Pachori, R.B., Acharya, U.R.: An integrated index for the identification of focal electroencephalogram signals using discrete
wavelet transform and entropy measures. Entropy 17(8), 5218–5240 (2015). 28. Sharma, R., Pachori, R.B., Acharya, U.R.: An integrated index for the identification of focal electroencephalogram signals using discrete
wavelet transform and entropy measures. Entropy 17(8), 5218–5240 (2015). 29. Das, A.B., Bhuiyan, M.I.H.: Discrimination and classification of focal and non-focal eeg signals using entropy-based features in the emd-
dwt domain. Biomedical Signal Processing and Control 29, 11–21 (2016). 29. Das, A.B., Bhuiyan, M.I.H.: Discrimination and classification of focal and non-focal eeg signals using entropy-based features in the emd-
dwt domain. Biomedical Signal Processing and Control 29, 11–21 (2016). 30. Bhattacharyya, A., Sharma, M., Pachori, R.B., Sircar, P., Acharya, U.R.: A novel approach for automated detection of focal eeg signals
using empirical wavelet transform. Neural Computing and Applications 29(8), 47–57 (2018). 30. Bhattacharyya, A., Sharma, M., Pachori, R.B., Sircar, P., Acharya, U.R.: A novel approach for automated detection of focal eeg signals
using empirical wavelet transform. Neural Computing and Applications 29(8), 47–57 (2018). References Entropies for detection of epilepsy in EEG. Computer methods and programs in biomedicine,
2005, 80(3): 187-194. 13. Kannathal N, Choo M L, Acharya U R, et al. Entropies for detection of epilepsy in EEG. Computer methods and programs in biomedicine,
2005, 80(3): 187-194. 14. Ocak H. Automatic detection of epileptic seizures in EEG using discrete wavelet transform and approximate entropy. Expert Systems
with Applications, 2009, 36(2): 2027-2036. 14. Ocak H. Automatic detection of epileptic seizures in EEG using discrete wavelet transform and approximate entropy. Expert Systems
with Applications, 2009, 36(2): 2027-2036. 15. Srinivasan V, Eswaran C, Sriraam N. Approximate entropy-based epileptic EEG detection using artificial neural networks. IEEE
Transactions on information Technology in Biomedicine, 2007, 11(3): 288-295. 15. Srinivasan V, Eswaran C, Sriraam N. Approximate entropy-based epileptic EEG detection using artificial neural networks. IEEE
Transactions on information Technology in Biomedicine, 2007, 11(3): 288-295. 16. Guo L, Rivero D, Dorado J, et al. Automatic epileptic seizure detection in EEGs based on line length feature and artificial neural networks. Journal of neuroscience methods, 2010, 191(1): 101-109. 16. Guo L, Rivero D, Dorado J, et al. Automatic epileptic seizure detection in EEGs based on line length feature and artificial neural networks. Journal of neuroscience methods, 2010, 191(1): 101-109. 17. Tetzlaff R, Niederhöfer C, Fischer P. Automated detection of a preseizure state: non‐linear EEG analysis in epilepsy by Cellular Nonlinea
Networks and Volterra systems. International journal of circuit theory and applications, 2006, 34(1): 89-108. 17. Tetzlaff R, Niederhöfer C, Fischer P. Automated detection of a preseizure state: non‐linear EEG analysis in epilepsy by Cellular Nonlinear
Networks and Volterra systems. International journal of circuit theory and applications, 2006, 34(1): 89-108. 18. Simonyan K, Zisserman A. Very deep convolutional networks for large-scale image recognition. arXiv preprint arXiv:1409.1556, 2014. 18. Simonyan K, Zisserman A. Very deep convolutional networks for large-scale image recognition 18. Simonyan K, Zisserman A. Very deep convolutional networks for large-scale image recognition. arXiv preprint arXiv:1409.1556, 2014. 19. Szegedy C, Liu W, Jia Y, et al. Going deeper with convolutions//Proceedings of the IEEE conference on computer vision and pattern
recognition. 2015: 1-9. 19. Szegedy C, Liu W, Jia Y, et al. Going deeper with convolutions//Proceedings of the IEEE conference on computer vision and pattern
recognition. 2015: 1-9. 20. He K, Zhang X, Ren S, et al. Deep residual learning for image recognition//Proceedings of the IEEE conference on computer vision and
pattern recognition. 2016: 770-778. 20. References 1. Wu, B., Cheng, T.T., Yip, T. L., & Wang, Y. (2020). Fuzzy logic based dynamic decision-making system for intelligent navigation strategy
within inland traffic separation schemes. Ocean Engineering, 197, 106909. 2. Zhenhua Huang, Xin Xu, Juan Ni, Honghao Zhu, Cheng Wang. Multimodal representation learning for recommendation in Internet of
Things. IEEE Internet of Things Journal, 2019, 6(6): 10675-10685. 3. Boylan, G. B., Stevenson, N. J. & Vanhatalo, S. Monitoring neonatal seizures. Semin. Fetal Neonat. 4. Lloyd, R. O., O’Toole, J. M., Pavlidis, E., Filan, P. M. & Boylan, G. B. Electrographic seizures during the early postnatal period in preterm
infants. J. Pediatrics 187, 18–25 (2017). 5. Murray, D. M. et al. Defining the gap between electrographic seizure burden, clinical expression, and staff recognition of neonatal
seizures. Arch. Dis. Child-Fetal 93, F187–F191 (2008). 6. American Epilepsy Society, Facts and figures. https://www.aesnet.org/for_patients/facts_figures. 7. Zhenhua Huang, Xin Xu, Honghao Zhu, MengChu Zhou. An efficient group recommendation model with multiattention-based neural
networks. IEEE Transactions on Neural Networks and Learning Systems (2020). doi: 10.1109/ TNNLS.2019.2955567. 8. Tsuchida, T. N. et al. American Clinical Neurophysiology Society standardized EEG terminology and categorization for the description of
continuous EEG monitoring in neonates: report of the American Clinical Neurophysiology Society critical care monitoring committee. J
Clin Neurophysiol 30, 161–173 (2013). Page 5/11 Page 5/11 9. Srinivasakumar, P. et al. Treating EEG seizures in hypoxic ischemic encephalopathy: a randomized controlled trial. Pediatrics. 136,
e1302–e1309 (2015). 10. Krumholz. A., Wiebe. S., Gronseth. G., Shinnar. S., Levisohn. P., Ting. T., Hopp. J., Shafer. P., Morris. H., Seiden. L., Barkley. G., French. J.,
Quality Standards Subcommittee of the American Academy of Neurology, 2007. Practice Parameter: evaluating an apparent
unprovoked first seizure in adults (an evidence-based review): report of the Quality Standards Subcommittee of the American Academy
of Neurology and the American Epilepsy Society, American Epilepsy Society, Neurology, 69(21). 11. Rennie, J. M. et al. Non-expert use of the cerebral function monitor for neonatal seizure detection. Arch. Dis. Child-Fetal 89, F37–F40
(2004). 12. Tzallas A T, Tsipouras M G, Fotiadis D I. Epileptic seizure detection in EEGs using time–frequency analysis. IEEE transactions on
information technology in biomedicine, 2009, 13(5): 703-710. 12. Tzallas A T, Tsipouras M G, Fotiadis D I. Epileptic seizure detection in EEGs using time–frequency analysis. IEEE transactions on
information technology in biomedicine, 2009, 13(5): 703-710. 13. Kannathal N, Choo M L, Acharya U R, et al. Tables Page 6/11
Table 1 Data allocation table
training set
validation set
test set
Epilepsy signal
3000
250
500
Non-epileptic signal
3000
250
500
total
6000
500
1000 Page 6/11
ta allocation table
training set
validation set
test set
Epilepsy signal
3000
250
500
Non-epileptic signal
3000
250
500
total
6000
500
1000 Table 1 Data allocation table Page 6/11
training set
validation set
test set
Epilepsy signal
3000
250
500
Non-epileptic signal
3000
250
500
total
6000
500
1000 Page 6/11 Table 2 Model optimization table p
Included Network Phase
Network depth at each stage
Training result (correct rate)
Model parameter amount
First and second stage
-,1
0.8413
63,682
First and second stage
-,2
0.9050
132,802
First and second stage
-,3
0.8886
201,922
rst second and third stage
-,2,1
0.8847
473,282 work Phase
Network depth at each stage
Training result (correct rate)
Model parameter amount Included Network Phase
Network depth at each stage
Training result (correct rate)
Model parameter amount
First and second stage
-,1
0.8413
63,682
First and second stage
-,2
0.9050
132,802
First and second stage
-,3
0.8886
201,922
rst second and third stage
-,2,1
0.8847
473,282
Table 3 Time-ResNeXt neural network structure
Resnext
7*7,64,stride 2
3*3 max pool,stride 2
Global average pool
1000-d fc,softmax
Table 4 Adam optimizer parameters
parameter name
Parameter value
Lr
0.001
beta_1
0.9
beta_2
0.999
Epsilon
1e-8
Decay
0.01 Table 3 Time-ResNeXt neural network structure Table 4 Adam optimizer parameters parameter name
Parameter value
Lr
0.001
beta_1
0.9
beta_2
0.999
Epsilon
1e-8
Decay
0.01 Table 5 Model comparison
Reference
Method
Accuracy (%)
Sharma et al. (2014)
Empirical modedecomposition (EMD)
87
M. Sharma et al. (2015)
Discrete wavelet transform (DWT)
84
AB. Das et al. (2016)
EMD-DWT
89.04
Bhattacharyya et al. (2018)
EME-DWT + SVM (50 pairs)
90.0
Our Method
Small ResNext on EEG
91.5 Table 5 Model comparison Reference
Method
Accuracy (%)
Sharma et al. (2014)
Empirical modedecomposition (EMD)
87
M. Sharma et al. (2015)
Discrete wavelet transform (DWT)
84
AB. Das et al. (2016)
EMD-DWT
89.04
Bhattacharyya et al. (2018)
EME-DWT + SVM (50 pairs)
90.0
Our Method
Small ResNext on EEG
91.5 Other related evaluation indicators are shown in Table 6. Other related evaluation indicators are shown in Table 6. Other related evaluation indicators are shown in Table 6. Tables Table 6 Time-ResNeXt network evaluation
Evaluation index
Calculation formula
Corresponding value
Correct rate
0.9150
Specificity
0.8480
Recall
0.9620
Missed diagnosis rate
0.0380
Misdiagnosis rate
0.1520 Evaluation index
Calculation formula
Corresponding value
Correct rate
0.9150
Specificity
0.8480
Recall
0.9620
Missed diagnosis rate
0.0380
Misdiagnosis rate
0.1520 Figures Figure 2 Structure of key modules of VGG network:The typical structural unit of the VGG model has four layers. The first three were 3 * 3
convolutional layers, with 256 channels. The fourth layer is a 3 * 3 convolution layer plus a pooling layer. Page 8/11
y
,
y
y
p
p
g
y
Figure 3
The structure of the key modules of the Inception network
Figure 4
Cross-layer connection structure Figure 3 Figure 3 Figure 3 The structure of the key modules of the Inception network The structure of the key modules of the Inception network Figures Figures Page 7/11 Figure 1 Part of the EEG image:An example of ECG time series data for two channels. The sequence length is 10240, the sampling frequency is
512Hz, and the time is 20s. Fi
2 Part of the EEG image:An example of ECG time series data for two channels. The sequence length is 10240, the sampling frequency is
512Hz, and the time is 20s. Figure 4 Cross-layer connection structure Page 8/11 Figure 5 Transform Set Structure Transform Set Structure
Figure 6
ResNeXt-50 module Figure 6
ResNeXt-50 module Figure 6 Page 9/11 Figure 7 Detailed network structure of the first phase of Time-ResNeXt
Figure 8
Detailed network structure of the first phase of Time-ResNeXt Detailed network structure of the first phase of Time-ResNeXt Detailed network structure of the first phase of Time-ResNeXt
Figure 8 Detailed network structure of the first phase of Time-ResNeXt Detailed network structure of the first phase of Time-ResNeXt Figure 8 Detailed network structure of the first phase of Time-ResNeXt Detailed network structure of the first phase of Time-ResNeXt Detailed network structure of the first phase of Time-ResNeXt Page 10/11
Figure 9
Training set results: The results of the training set are shown in this, the X-axis is the training algebra, and the Y-axis is the training
evaluation index. Figure 9 Training set results: The results of the training set are shown in this, the X-axis is the training algebra, and the Y-axis is the training
evaluation index. Page 10/11 Page 10/11 Figure 10
Validation set results: The results show that at 74th generation, the model performs best on the validation data, with a correct rate of 0.9150. Figure 10 alidation set results: The results show that at 74th generation, the model performs best on the valida Validation set results: The results show that at 74th generation, the model performs best on the validation data, with a correct rate of 0.9150. Page 11/11
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An Exploration of Evolution, Maturation, Expression and Function Relationships in Mir-23∼27∼24 Cluster
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Abstract The study aims to explore the potential relationships of evolution, maturation, expression and function between
homologous/clustered miRNAs. mir-23,27,24 gene cluster, including the two gene clusters (mir-23a and mir-23b) and the
three miRNA gene families (mir-23, mir-27 and mir-24), was typically selected as an example. These related miRNAs show
similar evolutionary patterns and various expression patterns. Most of them show consistent isomiR expression pattern, and
the ‘‘switching’’ phenomenon can be found between different abundant isomiR species. These findings suggest that these
sequence or location related miRNAs show the similar miRNA processing and maturation processes, and the robust
selection of the most dominant isomiR exists in specific tissues. Functional analysis show that these miRNAs show similar
distributions of enriched gene categories, suggesting the close functional prelateships via direct or indirect coordinate
regulation in biological processes. The study reveals the close evolutionary, expression and functional relationships between
related homologous/clustered miRNAs, which will further enrich miRNA studies and understand direct or indirect
interactions between miRNAs. Citation: Liang T, Yu J, Liu C, Guo L (2014) An Exploration of Evolution, Maturation, Expression and Function Relationships in Mir-23,27,24 Cluster. PLoS
ONE 9(8): e106223. doi:10.1371/journal.pone.0106223 Editor: Yu Xue, Huazhong University of Science and Technology, China Editor: Yu Xue, Huazhong University of Science and Technology, China Received April 21, 2014; Accepted July 29, 2014; Published August 26, 2014 Received April 21, 2014; Accepted July 29, 2014; Published August 26, 2014 Received April 21, 2014; Accepted July 29, 2014; Published August 26, 2014 ng 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. Copyright: 2014 Liang et al. This is an open-access article distributed under the terms of the Creative Commons Attributi
unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Data Availability: The authors confirm that all data underlying the findings are fully available without restriction. All relevant data are within the paper and its
Supporting Information files. Abstract Funding: This work was supported by National Basic Research Program of China (973 Program) (2012CB947600, 2013CB911600), the National Natural Science
Foundation of China (31171137, 31271261, 61301251), the Program for New Century Excellent Talents in University by the Chinese Ministry of Education (NCET-
11-0990), the Program for the Top Young Talents by the Organization Department of the CPC Central Committee, the Collaborative Innovation Center for
Cardiovascular Disease Translational Medicine (Nanjing Medical University), the China Postdoctoral Science Foundation funded project (No. 2012M521100), the
National Natural Science Foundation of Jiangsu (No. BK20130885), the Natural Science Foundation of the Jiangsu Higher Education Institutions (No. 12KJB360001,
13KJB330003), the Jiangsu Planned Projects for Postdoctoral Research Funds (No. 1201022B), Shandong Provincial Key Laboratory of Functional Macromolecular
Biophysics, and the Priority Academic Program Development of Jiangsu Higher Education Institutions (PAPD). The funders had no role in study design, data
collection and analysis, decision to publish, or preparation of the manuscript. Competing Interests: The authors have declared that no competing interests exist. * Email: lguo@njmu.edu.cn Competing Interests: The authors have declared that no competing interests exist. * Email: lguo@njmu.edu.cn Competing Interests: The authors have declared that no competing interests exist. * Email: lguo@njmu.edu.cn ends, and some are involved in 39 post-transcriptional additional
non-template nucleotides [10–22]. These physiological miRNA
isoforms, also termed miRNA variants or isomiRs, have been
concerned in miRNA study. Some isomiRs can be differentially
loaded into Argonautes [16,23], and isomiRs with 39 addition are
less prone to be degraded [17]. These miRNA isoforms are mainly
derived from imprecise and alternative cleavage through pre-
miRNA processing, and 39 addition events [19]. Among these
isomiRs, only several isomiRs are dominantly expressed despite
multiple isomiRs can be detected [18,22,24,29]. and most of them
are 39 isomiRs with the same 59 ends and seed sequences
[18,24,25]. The result implicates the potential dominant cleavage
or cleavage bias through pre-miRNA processing. IsomiR expres-
sion patterns may be different across different miRNA loci, but
they are always conserved in different samples, even across
different tissues and animal species [18,26]. Homologous and
clustered miRNAs are prone to detect consistent isomiR expres-
sion profiles [27], although they may be differentially expressed
with different expression levels [28–30]. Simultaneously, these
sequence or location related miRNAs also have close evolutionary
relationships and potential functional relationships [8,31–33]. ends, and some are involved in 39 post-transcriptional additional
non-template nucleotides [10–22]. Abstract These physiological miRNA
isoforms, also termed miRNA variants or isomiRs, have been
concerned in miRNA study. Some isomiRs can be differentially
loaded into Argonautes [16,23], and isomiRs with 39 addition are
less prone to be degraded [17]. These miRNA isoforms are mainly
derived from imprecise and alternative cleavage through pre-
miRNA processing, and 39 addition events [19]. Among these
isomiRs, only several isomiRs are dominantly expressed despite
multiple isomiRs can be detected [18,22,24,29]. and most of them
are 39 isomiRs with the same 59 ends and seed sequences
[18,24,25]. The result implicates the potential dominant cleavage
or cleavage bias through pre-miRNA processing. IsomiR expres-
sion patterns may be different across different miRNA loci, but
they are always conserved in different samples, even across
different tissues and animal species [18,26]. Homologous and
clustered miRNAs are prone to detect consistent isomiR expres-
sion profiles [27], although they may be differentially expressed
with different expression levels [28–30]. Simultaneously, these
sequence or location related miRNAs also have close evolutionary
relationships and potential functional relationships [8,31–33]. Tingming Liang1, JiaFeng Yu2, Chang Liu1, Li Guo3* 1 Jiangsu Key Laboratory for Molecular and Medical Biotechnology, College of Life Science, Nanjing Normal University, Nanjing, Jiangsu, China, 2 Shandong Provincial Key
Laboratory of Functional Macromolecular Biophysics, Institute of Biophysics, Dezhou University, Dezhou, Shandong, China, 3 Department of Epidemiology and
Biostatistics, School of Public Health, Nanjing Medical University, Nanjing, Jiangsu, China Competing Interests: The authors have declared that no competing interests exist.
* Email: lguo@njmu.edu.cn Introduction MicroRNAs (miRNAs) are a class of non-coding RNAs
(ncRNAs) with shorter size (,22 nucleotides). They are vital to
many cell functions via repressing target mRNAs at the post-
transcriptional level [1]. miRNAs are generated from primary
miRNAs (pri-miRNAs) and precursor miRNAs (pre-miRNAs)
through cleavage of Drosha and Dicer [2,3]. Typically, miRNA:-
miRNA* duplex is yielded by pri-miRNA and pre-miRNAs via
cleavage process. miRNA is an active regulatory molecule, while
miRNA* is ever thought as an inactive degraded strand [4]. However, increasing evidence indicates that the ever called
passenger strand may also be abundantly expressed and play a
biological role as a negative regulatory molecule [5–9]. The small
ncRNA regulates target mRNAs by miRNA:mRNA interaction
through complementarily binding of ‘‘seed sequences’’ of miRNA
and 39 untranslated region (39 UTR) of mRNA. miRNA is ever studied and predicted as a single sequence as
well as annotated miRNA sequence in the miRBase database. However, recently, some studies have shown that miRNA locus
can generate a series of sequence with heterogeneous 59 and/or 39 August 2014 | Volume 9 | Issue 8 | e106223 1 PLOS ONE | www.plosone.org The Relationships between Homologous/Clustered miRNAs Table 1. Sequencing datasets from the TCGA database are analyzed. Disease
Source
TN
NT
Total
Breast cancer (BRCA)
TCGA
683
87
770
Clear cell carcinoma (KIRC)
TCGA
237
71
308
Colon and rectal adenocarcinoma (COAD, READ)
TCGA
471
16
487
Stomach adenocarcinoma (STAD)
TCGA
261
38
299
Lung adenocarcinoma (LUAD)
TCGA
436
46
482
Uterine corpus endometrial carcinoma (UCEC)
TCGA
383
21
404
Lung squamous cell carcinoma (LUSC)
TCGA
331
45
376
Thyroid carcinoma (THCA)
TCGA
507
59
566
Total
3,309
383
3,692
TN: Tumor, Matched Normal. NT: Normal, Matched Tumor. doi:10.1371/journal.pone.0106223.t001 Table 1. Sequencing datasets from the TCGA database are analyzed. TN: Tumor, Matched Normal. NT: Normal, Matched Tumor. doi:10.1371/journal.pone.0106223.t001 miRNA expression data were collected from small RNA
sequencing data in The Cancer Genome Atlas (TCGA) pilot
project which is established by the NCI and NHGRI (https://
tcga-data.nci.nih.gov/tcga/dataAccessMatrix.htm). Expression
data of several specific miRNAs at the miRNA and isomiR levels,
including miR-23a, miR-23b, miR-24, miR-27a and miR-27b,
were further extracted using self-developed scripts. Small RNA
sequencing data from eight human diseases and their normal
tissues were analyzed in the study (Table 1). Evolutionary analysis Pre-miRNA and miRNA sequences in different animal species
were firstly aligned using Clustal X 2.0 software [40], and
nucleotide divergence was then estimated with MEGA 5.10
software [41] and DnaSP 5.10.01 software [42] as miRNA
population [43]. Nucleotide diversity (p) and haplotype diversity
(Hd) in each miRNA were calculated using DnaSP 5.10.01. miR-
#-5p, the ever passenger strand, were reported and annotated in
some species, and other miR-#-5p sequences were predicted
based on hsa-miR-#-5p using pre-miRNA sequences. Because the
difference of miRNA sequences were not always involved in varied
nucleotides, they were mainly derived from length difference
during miRNA processing and maturation processes. Therefore,
nucleotide diversity and haplotype diversity were estimated using
consensus sequences with human miRNA sequences, and the
difference, particular the length difference, was avoided in
analysis. Phylogenetic trees based on neighbor-net method [44] of
miRNA genes (herein using pre-miRNA sequences) were recon-
structed with SplitsTree 4.10 software [45] using Jukes-Cantor
model. Further, evolutionary networks were reconstructed with
Network 4.6.1.2 (http://www.fluxus-engineering.com/) using the
median-joining (MJ) method. The parameter of the value of
epsilon was set 10, and the generated MJ network was further
optimized using Maximum Parsimony (MP) calculation. Introduction More miRNA gene clusters and families have been studied as
potential biomarkers in diagnosis of human diseases, because they
are believed as crucial regulator in multiple biological processes
through contributing to the coding-non-coding RNA regulatory
network. In the present study, we attempted to discuss the potential
relationships of evolution, maturation, expression and function
between homologous/clustered miRNAs. Simultaneously, based
on these results, the study aimed to track miRNA or isomiR
maturation process between homologous/clustered miRNA loci. A specific example of mir-23,24,27 gene cluster was typically
selected in the study. Specifically, the cluster includes miR-23a
gene cluster (including mir-23a, mir-27a and mir-24-2 genes) and
miR-23b cluster (including mir-23b, mir-27b and mir-24-1 genes). In human, the two miRNA gene clusters are located on
chromosome 19(2) and chromosome 9(+), respectively, and both
of them are reported as crucial miRNAs with important biological
roles [34–38]. Antisense miRNA gene of mir-24, mir-3074 gene,
can be detected in human, mouse and rat. The three miRNA gene
families (mir-23, mir-27 and mir-24 gene families) are involved in
the two gene clusters, and a total of five miRNAs can be yielded
from these miRNA loci (the two miRNA genes, mir-24-1 and mir-
24-2, can yield the same mature miR-24 sequence). Homologous
miRNAs are located in different clusters, and these clustered
miRNAs can be co-transcribed. Based on the homologous and/or
clustered relationships and their important biological roles, the
several related miRNAs are typically selected to perform the
analysis to track miRNA or isomiR maturation process using
evolutionary and expression analysis. The study can provide
information for miRNA maturation, evolutionary, expression and
functional relationships between sequence or location related
miRNAs. Source data The pre-miRNAs, miRNA sequences and their annotations
from different animal species were obtained from the miRBase
database (Release 20.0, http://www.mirbase.org/) [39] (Figure
S1). miRNA gene cluster was named based on close physical
distances with mir-23a and mir-23b genes on the same chromo-
some, respectively (,10 kb). Although mir-3074 gene is identified
as an antisense gene of mir-24 in several species, it is not involved
in the analysis (the two sense and antisense miRNAs are also
believed as clustered miRNAs). August 2014 | Volume 9 | Issue 8 | e106223 The Relationships between Homologous/Clustered miRNAs The Relationships between Homologous/Clustered miRNAs Figure 1. Evolutionary taxa, related miRNA members and physical distance of gene cluster in different animal species. (A) The three
miRNA gene families have been detected in vertebrates. Their members are prone to be clustered on specific genomic region. Blank in columnn of
gene family indicates that the miRNA members are not detected or predicted; blank in columnn of gene cluster indicates that no location annotation
based on the current database. (B) Distribution of the physical distance between clustered miRNAs (miR-23a cluster and miR-23b cluster). The label of
‘‘24 loses’’ indicates that miR-24 is not detected in the species. As a terminus miRNA gene in gene cluster, the loss of miR-24 will influence the
physical distance of the miRNA gene cluster. doi:10.1371/journal.pone.0106223.g001 Figure 1. Evolutionary taxa, related miRNA members and physical distance of gene cluster in different animal species. (A) The three
miRNA gene families have been detected in vertebrates. Their members are prone to be clustered on specific genomic region. Blank in columnn of
gene family indicates that the miRNA members are not detected or predicted; blank in columnn of gene cluster indicates that no location annotation
based on the current database. (B) Distribution of the physical distance between clustered miRNAs (miR-23a cluster and miR-23b cluster). The label of
‘‘24 loses’’ indicates that miR-24 is not detected in the species. As a terminus miRNA gene in gene cluster, the loss of miR-24 will influence the
physical distance of the miRNA gene cluster. doi:10.1371/journal.pone.0106223.g001 statistically significant. In the study, all tests were conducted in
Stata software (Version 11.0). collected miRNA datasets from the TCGA (https://tcga-data.nci. nih.gov/tcga/dataAccessMatrix.htm). To find the potential functional relationships, predicted target
mRNAs of these related miRNA gene families were obtained from
the TargetScan program (http://www.targetscan.org/) (the cutoff
of total context score was # 20.30) [46], and they were further
queried for Gene Ontology Enrichment categories using the
CapitalBio Molecule Annotation System V4.0 (MAS, http://
bioinfo.capitalbio.com/mas3/). Herein, the target mRNAs were
predicted based on miRNA gene families, including homologous
miRNAs and multiple isomiRs with the same seed sequences, and
the main reason was that seed sequence of miRNA was the most
crucial in miRNA-mRNA interaction. Overview of the several related miRNAs mir-23, mir-27 and mir-24 gene families were mainly found in
vertebrates (Figure 1A). According to the current database, they
had been detected or predicted in most vertebrates. Numbers of
homologous miRNA members might be diverse across different
animal species, and the difference was mainly derived from
multicopy pre-miRNAs, additional homologous miRNAs or
deletion of members (Figure 1A). Compared to other vertebrates,
fishes (Pisces) were prone to detect more homologous miRNAs in
the three gene families (such as multiple pre-miRNAs for miR-23a
and miR-24), and novel homologous miRNAs (such as miR-27c,
27d, 27e and 24b). miRNAs in the three gene families were always
clustered on specific genomic region (Figure 1). Based on the close
physical distance (,10 kb), miR-23a/miR-27a/miR-24 and miR-
23b/miR-27b/miR-24 were composed of miRNA gene clusters. Interestingly, we found that the physical distances of the two
miRNA gene clusters had significant difference (t = 23.4875,
P = 0.003) (Figure 1B). In fishes, the distances were enlarged as
well as more homologous miRNA members (Figure 1B). Expression and function analysis The small RNA sequencing datasets in tumor and normal
tissues were obtained from the TCGA (https://tcga-data.nci.nih. gov/tcga/dataAccessMatrix.htm) (Table 1). Based on relative
expression rate, isomiR expression patterns in the miRNA locus
were estimated using collected isomiR datasets from the TCGA
(https://tcga-data.nci.nih.gov/tcga/dataAccessMatrix.htm). The
expression patterns at the miRNA levels were assessed using August 2014 | Volume 9 | Issue 8 | e106223 PLOS ONE | www.plosone.org 2 Similar evolutionary patterns Generally, although there were 6 miRNA genes in mir-
23,24,27 gene cluster, only 5 miRNAs were generated because
multicopy pre-miRNAs for miR-24. The ever typical miRNAs
were miR-#-3p, and all of them were well-conserved phyloge-
netically in vertebrates (Figure S1). Each miRNA had the same 59
ends and ‘‘seed sequences’’ (nucleotides 2–8) across different
animal species, and many species shared the common miRNA
sequence based on the annotated miRNA sequences. Rare
sequences were involved in varied nucleotides, and rare varied
nucleotides were always detected in 39 ends (Figure S1). Most
different miRNA sequences were only detected difference in length
distributions (various 39 ends). The similar results could be
detected between homologous miRNAs. Homologous miRNAs
(such as miR-23a and miR-23, miR-27a and miR-27b) could be
detected the common core sequence (more than 15 nucleotides)
(Figure S1). Statistical analysis The relative expression rates of isomiRs were described using x
6 sd (mean 6 standard deviation), and the expression levels of
miRNAs were described using x 6 se (mean 6 standard error)
(because the expression of miRNAs were assessed using the
original sequence counts). The difference between physical
distance of miR-23a and miR-23b clusters was estimated using
paired t-test. A t-test was used to estimate the difference between
isomiR expression profiles from tumor and normal samples using
all the isomiRs and the most dominant isomiR, respectively. If the
P value is less than 0.05, and differences were considered August 2014 | Volume 9 | Issue 8 | e106223 PLOS ONE | www.plosone.org 3 The Relationships between Homologous/Clustered miRNAs Figure 2. Expression patterns at the miRNA/isomiR levels. Expression patterns of miRNAs are presented here at the miRNA/isomiR levels in
the 8 tumor samples and their normal samples. (A) expression of miR-23a and miR-23b at the isomiR levels; (B) expression of miR-27a and miR-27b at
the isomiR levels; (C) expression of miR-24 at the isomiR levels; (D) expression of the five miRNAs at the miRNA levels. doi:10.1371/journal.pone.0106223.g002 Figure 2. Expression patterns at the miRNA/isomiR levels. Expression patterns of miRNAs are presented here at the miRNA/isomiR levels in
the 8 tumor samples and their normal samples. (A) expression of miR-23a and miR-23b at the isomiR levels; (B) expression of miR-27a and miR-27b at
the isomiR levels; (C) expression of miR-24 at the isomiR levels; (D) expression of the five miRNAs at the miRNA levels. doi:10.1371/journal.pone.0106223.g002 August 2014 | Volume 9 | Issue 8 | e106223 PLOS ONE | www.plosone.org 4 The Relationships between Homologous/Clustered miRNAs The Relationships between Homologous/Clustered miRNAs across different species (Table S2). For those multicopy pre-
miRNAs, although they could yield the same miRNAs, they might
be involved in varied nucleotides, including insertions/deletions,
especially in the loop sequences. Evolutionary networks of
miRNAs showed that miR-#-5p and miR-#-3p had different
evolutionary patterns, and miR-#-5p sequences were prone to be
involved in complex networks with more median vectors (Figure
S2). Larger genetic distances could be detected between miR-#-5p
sequences, although miR-#-3p sequences were highly conserved
across different animal species. Phylogenetic trees of pre-miRNAs
also showed various patterns, although miRNA genes were
homologous or clustered together (Figure S3). Similar evolutionary patterns Expression patterns and functional enrichment analysis Using public small RNA sequencing datasets, we found that
some of these related miRNAs showed similar isomiR expression,
although rates of dominant isomiRs were diverse (Figure 2). Among of these related miRNAs, we found that most of miRNA
loci only yielded a kind of quite dominant isomiR, while miR-27a
locus was detected two dominant isomiRs with similar expression
(Figure 2). IsomiR expression patterns were always stable across
different tumor/normal samples, but some miRNAs showed
inconsistent expression. For example, isomiRs from miR-27a Simultaneously, another strand and loop sequence were also
analyzed. Although the another strand was also well-conserved
across vertebrates, they have high nucleotide diversity and
haplotype diversity due to involved more varied nucleotides
(Table S2). Compared to miR-#-5p and miR-#-3p sequences, the
middle sequences, also termed loop sequences, were not conserved Figure 3. The top 5 gene categories based on target mRNAs of related miRNAs. The top 5 gene categories, including biological process,
cellular component and molecular function, are presented according to target mRNAs of (A) miR-23ab, (B) miR-24, (C) miR-27ab and (D) the common
target mRNAs of the three miRNA gene families. doi:10.1371/journal.pone.0106223.g003 Moreover, the
phenomenon of multicopy pre-miRNAs or multiple homologous
miRNAs are prone to detect in fishes according to analysis of other
miRNAs, which may be derived from genome duplication [51]. The duplication event further complicates the miRNA world and
the coding-non-coding RNA regulatory network. indicated ‘‘switching’’ between the two dominant isomiRs across
different samples (Figure 2B). However, similar phenomenon was
not
detected
in
isomiRs
from
miR-27b,
although
it
was
homologous miRNA with miR-27a. Compared to relative stable isomiR expression patterns, these
related miRNAs may show diverse expression levels across
different tumor/normal samples, but the similar expression
tendency could be detected between the same tissues (including
tumor and normal samples, unless the miRNA was abnormally
expressed in tumor samples). No significant difference of isomiR
expression could be detected between tumor and normal samples
(P.0.05, Table S1). However, based on the most dominant
isomiR, miR-23a and miR-24 showed inconsistent expression
(miR-23a, P,0.0001; miR-24, P,0.01, Table S1). These related
miRNAs also showed similar expression between tumor and
normal samples based on the dominant isomiR (P.0.05, Table
S2). Gene categories of the three related miRNA gene families
showed similar distributions with the same most significantly
enriched categories (Figure 3 and Table S3). Although they had
different seed sequences and target mRNAs, these related miRNAs
contributed to the same or similar biological process, cellular
component and molecular function (Figure 3 and Table S3). Further KEGG pathway enrichment analysis also showed similar
enriched pathways between the three miRNA families (Figure S4
and Table S3). Although the three gene families had different seed
sequences, the common target mRNAs were also collected and
analyzed. The main reason may be derived from different binding
regions in the same target mRNA. Expression patterns at the miRNA and isomiR levels of these
related miRNAs are further analyzed in different tumor samples
using public small RNA datasets. For a specific miRNA locus,
similar isomiR expression patterns indicate the stable miRNA
maturation and processing mechanisms (Table S1). Although
sequence or physical related miRNA loci are prone to show similar
isomiR expression profiles [29], miR-27a show specific expression
patterns with the two similar dominant isomiRs (Table S1, Table
S2 and Figure 3). The two isomiRs can be switched in different
samples, which suggests that the potential switching phenomenon
in isomiR expression profiles. Figure 3. The top 5 gene categories based on target mRNAs of related miRNAs. The top 5 gene categories, including biological process,
cellular component and molecular function, are presented according to target mRNAs of (A) miR-23ab, (B) miR-24, (C) miR-27ab and (D) the common
target mRNAs of the three miRNA gene families. doi:10.1371/journal.pone.0106223.g003 August 2014 | Volume 9 | Issue 8 | e106223 PLOS ONE | www.plosone.org 5 The Relationships between Homologous/Clustered miRNAs Table 2. Nucleotide diversity (p) and haplotype diversity (Hd) of miRNA populations. Table 2. Nucleotide diversity (p) and haplotype diversity (Hd) of miRNA populations. miRNA
miR-#-3p (dominant)
Loop sequences
miR-#-5p
p
Hd
p
Hd
p
Hd
miR-23a
0.00260.002
0.04760.044
0.61860.030
0.93960.018
0.15760.008
0.69560.051
miR-23b
0.00360.003
0.07160.065
0.12660.033
0.70660.090
0.04160.011
0.53760.109
miR-23
0.02560.002
0.50160.028
miR-27a
0.00460.003
0.07460.067
0.38160.058
0.92360.038
0.11660.029
0.56160.114
miR-27b
0.00460.004
0.08360.075
0.23060.046
0.85960.052
0.04160.027
0.23960.113
miR-27
0.41460.013
0.54760.030
miR-24
0.00260.002
0.03760.035
0.46460.028
0.90860.028
0.13060.016
0.76060.039
The consensus sequences were estimated based on human miRNA or loop sequences. miR-23, including miR-23a and miR-23b, was estimated p and Hd based on the
dominant miRNA sequences (the loop sequences and another strands would be involved in larger levels of nucleotide divergence). doi:10.1371/journal.pone.0106223.t002 The consensus sequences were estimated based on human miRNA or loop sequences. miR-23, including miR-23a and miR-23b, was estimated p and Hd based on the
dominant miRNA sequences (the loop sequences and another strands would be involved in larger levels of nucleotide divergence). doi:10.1371/journal.pone.0106223.t002 pre-miRNAs, particularly in loop and non-dominant miRNA
sequences in fishes (Table 2 and Figure S3). In fishes (Pisces), both
miR-23a/b and miR-24 have been detected multicopy pre-
miRNAs, while miR-27 are prone to detect homologous members. The interesting results implicate that the three miRNA gene
families may be further duplicated and extended in fishes with
various levels of nucleotide divergence as well as larger physical
distances. Simultaneously, miR-23a/b and miR-24 sequences are
well-conserved, and the duplicated miRNA genes are rarely
involved in varied nucleotides in miRNAs. However, duplicated
miR-27 genes are involved in varied nucleotides in miRNA
regions, which therefore leads to homologous miRNA members
with higher sequence similarity (miR-27a/b/c/d/e). In contrast to
the well-conserved miR-23 and miR-24 gene families, the rapid
evolution process of miR-27 family may imply the potential
functional and evolutionary pressures in fishes. Switching events have been found in
expression or changes of ratio between the two arms of miR-#-5p
and miR-#-3p, and herein we also call switching event in the
dynamic selection of dominant isomiR. Indeed, the two isomiRs
have the same 59 ends and seed sequences, and they only diverge
in 39 end (Figure 1). The interesting switching event in selection of
dominant isomiRs supports that multiple isomiRs provide the
opportunity to select the most appropriate dominant isomiR [25]. Although most isomiRs from an miRNA locus have the same seed
sequences and targets, the divergence of length and 39 ends may
also play unclear roles in the miRNA world as well as homologous
miRNAs and various miRNA sequences in different animal
species. As homologous miRNAs, such as miR-23a/23b and miR-
27a/27b, they are prone to have the same seed sequences and Discussion The three miRNA gene families have been widely studied,
especially as potential biomarker in human diseases [47–50]. They
are prone to locate in gene cluster with close physical distance on
chromosomes, and the similar miRNA members and distance
distributions can be found in most vertebrates (Figure 1). The
related members in the three miRNA gene families show similar
evolutionary
patterns,
although
they also indicate
a slight
difference (Table S2, Figures S1, S2 and S3). Specifically, mir-24
genes are not evolved the two homologous miRNAs as well as mir-
23 and mir-24 genes, despite the two multicopy pre-miRNAs of
miR-24 can also be detected in most vertebrates (except for fishes,
Table 2 and Figure 1). Phylogenetic trees using pre-miRNAs show
diverse patterns, which is mainly derived from nucleotide
divergence between homologous miRNA genes and multicopy August 2014 | Volume 9 | Issue 8 | e106223 PLOS ONE | www.plosone.org 6 The Relationships between Homologous/Clustered miRNAs family. (C) Evolutionary network of miR-24-5p. Each miRNA
(including miR-#-5p and miR-#-3p) was reconstructed the
evolutionary network. miR-23a-3p, miR-27a-3p and miR-24-3p
could not be reconstructed due to conserved sequences (less than 3
different sequences). However, networks of miR-23-3p (including
miR-23a-3p and miR-23b-3p) and miR-27-3p (including miR-
27a-3p and miR-27b-3p) were reconstructed. The size of the circle
indicates that the miRNA sequence is shared by the number of
species. The purple circle indicates miR-#-3p, the yellow circle
indicates miR-#-5p, and the red circle indicates the mediate
vector that is hypothesized miRNA sequence. target mRNAs, although they have different sequence with varied
nucleotides. Simultaneously, some miRNA sequences in different
animal species may be involved in heterogeneous sequences with
varied nucleotides or lengths, although most of them are well-
conserved, particularly in the seed sequences. However, we poorly
understand the potential effects of diverged nucleotides in other
positions (except for seed sequences) and length distributions in
miRNA/isomiR in the evolutionary and functional miRNA
studies. Functional analysis indicate that the three related miRNA gene
families contribute to similar biological pathways, despite they
have different seed sequences and predicted target mRNAs
(Figures 3, S4 and Table S3). The surprising similar functions
implicate direct or indirect coordinate regulation patterns between
these sequence or location related miRNAs. In vivo, these
miRNAs may show diverse expression patterns [27–30], and a
major reason may be regulated expression as candidate small
RNA regulatory molecules. The dynamic expression of related
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Evolutionary networks of miRNA members in miR-27 gene Discussion Figure
S3
Phylogenetic
trees
of
miRNA
genes. (A)
Phylogenetic trees of homologous mir-23a and mir-23b. (B)
Phylogenetic trees of homologous mir-27a and mir-27b. (C)
Phylogenetic tree of mir-24. (PPT) Figure S4
The top 20 most enriched KEGG pathways of
target mRNAs of related miRNAs. KEGG pathways of (A)
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isomiRs
in
regulatory
networks. Simultaneously,
the
close
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different miRNAs. These results are also adaptable to other
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studies and understand direct or indirect interactions between
miRNAs. Table S1
The statistical analysis of related miRNAs
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The statistical analysis of miRNAs based on
the most dominant isomiR. (DOC) Table
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Behaviour of reinforcement in drop tower beam tests
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Behaviour of reinforcement in drop tower beam
tests
Lena Leicht1,*, Franz Bracklow1, Marcus Hering1, and Manfred Curbach1
1 Technische Universität Dresden, Institute of Concrete Structures, Germany Lena Leicht1,*, Franz Bracklow1, Marcus Hering1, and Manfred Curbach1
1 Technische Universität Dresden, Institute of Concrete Structures, Germany Abstract. Drop tower tests help to gain understanding about the general
behaviour of reinforced concrete members under impact loading and to
analyse strains and strain rates occurring within their reinforcement. For this
purpose, beam and slab specimens are usually employed. The main
advantage of beams compared to slabs is that they are less complex due to
the almost two-dimensional instead of three-dimensional wave propagation
within them. To investigate the steel strains and strain rates, ten impact tests
on beam specimens with various impact energies were performed. The
impactor sizes and velocities were varied. The reinforcement bars of the
beams were instrumented with semiconductor strain gauges. The measured
data suggest that the occurring strains in beam tests are independent of the
loading velocity. The same was found for the strain rates. The reason is that
higher impact energies mostly influence the concrete damage due to spalling
on the impact-facing side which happens after the maximum strains
occurred. The strains in the reinforcement bars generally result from the
overall deflection because of the impact, the spreading of longitudinal waves
in the horizontal direction, and the localized cracking of the concrete due to
the formation of a punching cone. * Corresponding author: lena.leicht@tu-dresden.de https://doi.org/10.1051/matecconf/202032301007 https://doi.org/10.1051/matecconf/202032301007 AMCM 2020
MATEC Web of Conferences 323, 01007 (2020) © 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/). y EDP Sciences. This is an open access article distributed under the terms of the Creative Commons Attribution License 4.
icenses/by/4.0/). 1 Impact tests on concrete beams Many researchers conducted beam tests on multiple different testing facilities. Some carried
out pendulum tests where the specimens, rotated along the longitudinal axis and mounted to
a special support plate, were hit by a pendulous mass of up to 50 kg, e.g. Máca et al. [1]. Other researchers like Fujikake and colleagues [2, 3, 4] carried out tests in servo-controlled
rapid loading machines. After an initial acceleration period, these machines applied a
constant loading velocity to the RC beams. Some specimens were additionally reinforced by
stirrup reinforcement with varying spacing. The result was a relatively fine crack pattern
redounding in diagonal tension failure, shear compression failure or flexural failure. The
results of the strain gauge measurements taken on the longitudinal reinforcement as well as
the stirrups that are mentioned in [2] were neither shown nor compared to the impact velocity. The impact tests reported in this paper were carried out in the drop tower of the
Otto Mohr Laboratory at TU Dresden [5]. The beams were simply supported by two rollers
and minimally held down by unprestressed bolts and a transverse steel girder. The impactor
hit the specimen after sliding through a steel pipe with a length of about 11 m. Compressed https://doi.org/10.1051/matecconf/202032301007 AMCM 2020
MATEC Web of Conferences 323, 01007 (2020) air accelerated the impactor in addition to the fall energy. The final velocity of the impactor
was derived from the signals of two light barriers at the end of the pipe. Thus, the loading
conditions of the tests presented in [2, 3, 4] differed strongly from the loading in this study. Here, a hard and short impact [6] was applied to the beams, whereas in [2, 3, 4] a slower and
constant velocity impact strained the specimens. y
p
p
There are three main effects resulting from the impact loading that lead to steel strains
over the whole length of the reinforcement bar. The first effect is the bending of the beam
due to the impact force. Apart from that, shear and longitudinal waves start propagating
within the beam after the impact. The longitudinal waves are the most relevant ones as for
this type of wave, the direction of the wave propagation is equal to the direction of particle
movement leading to stresses and strains within the specimen and thus over the length of the
reinforcement bar. 1 Impact tests on concrete beams These waves do not only travel vertically but also spread in the horizontal
direction [7]. The vertically travelling part of the longitudinal waves is reflected as a tensile
wave at the free bottom surface of the beam. The combination of high shear forces due to the
locally acting impact force and the reflected wave is responsible for the typical cone failure
of the beams. This combined shear and scabbing failure mode leads to strain concentrations
within the steel in the region where the inclined cracks of the typical punching cone open. Therefore, the formation of the punching cone is the third reason for strains in the
reinforcement. This study aims to analyse the cracking process and to investigate the influence of the
impactor energy on the steel strains and resulting strain rates in drop tower beam tests with
high loading velocities and low impactor masses. 2.1 Geometry of the girders and measurement The tested beams were 1,450 mm long, 280 mm high and 130 mm wide. The diameter of the
longitudinal reinforcement was 8 mm and the beams were not additionally reinforced by
stirrup reinforcement to guarantee comparativeness to the impact tests on plates carried out
at TU Dresden [8, 9, 10]. The bottom layer consisted of three reinforcement bars, while only
two reinforcement bars formed the upper layer. These were held in place by transport handles. The concrete cover of the lower reinforcement layer was 10 mm. This layer was instrumented
with one semiconductor strain gauge (SG) in the middle of each of the three reinforcement
bars. While the two outer bars were completely bonded to the surrounding concrete, the
middle of the inner reinforcement bar was unbonded over a length of 100 mm. The concrete strength was tested after 28 days on four cylinders, the individual values
were 49.3 MPa, 51.7 MPa, 51.9 MPa, and 54.5 MPa, respectively. The modulus of elasticity
ranged between 33,800 MPa and 37,300 MPa. 3.1 Impact energy The impact energy is a good criterion to compare different tests because it takes the impactor
velocity as well as its weight into account. The only element which cannot be taken into
account in the energy-based analysis is the wave length of the impact wave which depends
on the length of the impactor. As wave propagation cannot really be studied with three strain
gages at the same position regarding the length of the beam, this is not considered a
disadvantage. The impact energy is defined as the kinetic energy of the impactor calculated
from its mass and its velocity. EImp = 0.5 ∙ mI ∙ vI2
(1) (1) where:
Eimp – impact energy
mI – impactor mass
vI – impactor velocity where:
Eimp – impact energy
mI – impactor mass
vI – impactor velocity 2.2 Impactor geometry and speed Two impactors with different lengths–380 mm and 250 mm–and thus different weights were
used. The impactors had a diameter of 100 mm and were made of steel. Their hitting surface
was flat. An overview of the experiments carried out with the different impactors and varying
loading pressures can be seen in Tab. 1. Per configuration, one beam was tested. The names
of the specimens consist of the impactor length in millimetre and the loading pressure in bar. 2 AMCM 2020
MATEC Web of Conferences 323, 01007 (2020) https://doi.org/10.1051/matecconf/202032301007 Table 1. Experimental matrix. Loading pressure [bar]
0
0.2
0.4
0.6
0.8
1.0
Impactor
length [mm]
380
B380_0.0
B380_0.2
B380_0.4
B380_0.6
B380_0.8
B380_1.0
250
B250_0.0
B250_0.2
B250_0.4
B250_0.6
-
- 3.2 General behaviour of the beams a) B380_0.0 (tested at 0 bar with the resulting impactor velocity of 13.4 m/s)
b) B380_0.4 (tested at 0.4 bar with the resulting impactor velocity of 19.8 m/s) a) B380_0.0 (tested at 0 bar with the resulting impactor velocity of 13.4 m/s)
b) B380_0.4 (tested at 0.4 bar with the resulting impactor velocity of 19.8 m/s)
Fig. 1. Punching cones for different loading velocities after impact with the 380 mm long impactor
(
i ht 21 66 k ) (tested at 0.4 bar with the resulting impactor velocity of 19 b) B380_0.4 (tested at 0.4 bar with the resulting impactor velocity of 19.8 m/s) Fig. 1. Punching cones for different loading velocities after impact with the 380 mm long impactor
(weight: 21.66 kg) a) B250_0.0 (tested at 0 bar with the resulting impactor velocity of 12.4 m/s)
b) B250_0.4 (tested at 0.4 bar with the resulting impactor velocity of 22.5 m/s)
Fig. 2. Punching cones for different loading velocities after impact with the 250 mm long impactor
(weight: 14.22 kg)
By contrast, the time it took for the wave to pass through the beam in the vertical direction
can be estimated to only 0.07 ms (see eq. 2 [6, 11]). After these 0.07 ms, the compressive
wave was reflected as a tensile wave from the free bottom surface of the beam. As the initial
wave travelled about four times through the cross section as a tensile and compressive pulse a) B250_0.0 (tested at 0 bar with the resulting impactor velocity of 12.4 m/s)
b) B250_0.4 (tested at 0.4 bar with the resulting impactor velocity of 22.5 m/s) a) B250_0.0 (tested at 0 bar with the resulting impactor velocity of 12.4 m/s)
b) B250_0.4 (tested at 0.4 bar with the resulting impactor velocity of 22.5 m/s)
Fig. 2. Punching cones for different loading velocities after impact with the 250 mm long impactor b) B250_0.4 (tested at 0.4 bar with the resulting impactor velocity of 22.5 m/s) b) B250_0.4 (tested at 0.4 bar with the resulting impactor velocity of 22.5 m/s) Fig. 2. Punching cones for different loading velocities after impact with the 250 mm long impactor
(weight: 14.22 kg) Fig. 2. 3.2 General behaviour of the beams The overall failure mode of all tested beams was the typical formation of a punching cone
(see. Fig. 1 and 2) which differed strongly from the failure modes reported in [2, 3, 4], where
cracks more distributed than in the present study were observed, which led to a more ductile
failure. Regarding the influence on the stress in the lower reinforcement layer, the beam can be
split in three different areas after the impact, which can be seen in Fig. 1 a). No. 1 is the
mentioned punching cone which can be as high as the beam or lower. Area number 2 is
characterized by the spalling off of the concrete cover due to the untying of the cone from
the rest of the beam. Lastly, area 3 is marked by the end anchorage of the reinforcement bars,
which is uncritical for small cones which guarantee large anchorage lengths but can become
critical for large cones with small anchorage lengths. However, predicting the width of the
punching cone is not possible as it does not clearly depend on the loading velocity. On top of
that, the cones sometimes were asymmetric, especially for small loading pressures, see Fig. 1
a) and 2 a). The cracking process during the impact was evaluated with the help of high speed camera
videos that recorded at the rate of 10,000 frames/s. For almost all beams, cracking initiated
with the bending crack in the middle of the beam. These cracks, which became about half as
long as the beam’s height, usually arose between 0.2 ms and 0.3 ms after the impact (e.g. B380_0.0, B380_0.2, B250_0.0, B250_0.4, and B250_0.6). Thereafter started the formation
of the punching cone. There were tests where the formation of the cone started with inclined
cracks from underneath the beam (e.g. B380_0.0, B380_0.4, and B250_0.0). In these 3 AMCM 2020
MATEC Web of Conferences 323, 01007 (2020) https://doi.org/10.1051/matecconf/202032301007 specimens, the cone started to form from 0.4 ms to 0.6 ms after the impact. In the instances
where the cracks of the punching cone were completely visible from one camera frame to the
next, the cracks already formed from 0.3 ms to 0.4 ms after the impact (e.g. B380_0.2,
B250_0.4, and B250_0.6). After the cone was separated from the rest of the cross section, it
was accelerated leading to the spalling off of the concrete cover in area 2. 3.2 General behaviour of the beams Punching cones for different loading velocities after impact with the 250 mm long impactor
(weight: 14.22 kg) By contrast, the time it took for the wave to pass through the beam in the vertical direction
can be estimated to only 0.07 ms (see eq. 2 [6, 11]). After these 0.07 ms, the compressive
wave was reflected as a tensile wave from the free bottom surface of the beam. As the initial
wave travelled about four times through the cross section as a tensile and compressive pulse 4 4 AMCM 2020
MATEC Web of Conferences 323, 01007 (2020) https://doi.org/10.1051/matecconf/202032301007 until the inclined cracking of the punching cone initiated, the waves interfered strongly in the
area where the cracking occurs. This not only affected the waves travelling through the cross
section, but the cracks also impeded the wave propagation as tensile stresses cannot be
transferred via unreinforced, cracked regions. tc = hc / cc = 280 mm / 4,112 m/s = 0.07 ms tc = hc / cc = 280 mm / 4,112 m/s = 0.07 ms (2) tc = hc / cc = 280 mm / 4,112 m/s = 0.07 ms
(2) where:
tc – time it takes for the wave to travel the beam’s height where: hc – height of the beam cc – wave propagation velocity of concrete Towards the end of the test, the concrete in the upper region of the beam spalled off in
the transverse direction. The cracks leading to this spalling were visible between 2.6 ms and
9.9 ms after the impact. The higher the impactor velocity and accordingly the impact energy
was, the more damage happened in this area. This is well visualized by plotting the burst
mass over the kinetic energy of the impactor (see Fig. 3). The burst mass is the sum of all
fragments that fell off the beam and which were weighted after the test. The top of the
punching cone interfered with the area of lateral concrete spalling leading to a smeared
damage consisting of the shear failure and lateral spalling on the upper side of the beam (see
Fig. 1 b) and 2 b)). It is interesting that this lateral spalling did not occur right after the impact
due to the lateral spreading of the impact force, but happened simultaneously to the cone
untying from the rest of the concrete beam. 3.2 General behaviour of the beams This is why it did not happen when the
acceleration force of the cone is small as is the case for specimen B250_0.0 (see Fig. 2 a)). The cone’s acceleration thus depends on the impact energy. Moreover, the impact most likely
formed a three-dimensional cone like in the case of the plates [8, 9, 10]. That means that the
cone gained width over both the length and the width of the concrete beam. This favoured
the bursting at the top of the beam due to inclined cracks resulting from the formation of a
three-dimensional cone. Fig. 3. Relationship between energy and burst mass Fig. 3. Relationship between energy and burst mass
3.3 Influences on the maximum strains
The time lags between impact and maximum strains (Fig. 5) on the one hand, and the
maximum strains (Fig. 6) and the maximum strain rates (Fig. 7), each compared to the impact
energy. On the other hand, they were evaluated for the bonded and the unbonded strain
gauges separately. In the case of strain gauges 1 and 3, the approximation is calculated from
the absolute measured maxima of each test but the maximum of each gauge is displayed. The
maximum strains measured by the unbonded strain gauges (SG no. 2) were between 4 and 7 Fig. 3. Relationship between energy and burst mass 3.3 Influences on the maximum strains The time lags between impact and maximum strains (Fig. 5) on the one hand, and the
maximum strains (Fig. 6) and the maximum strain rates (Fig. 7), each compared to the impact
energy. On the other hand, they were evaluated for the bonded and the unbonded strain
gauges separately. In the case of strain gauges 1 and 3, the approximation is calculated from
the absolute measured maxima of each test but the maximum of each gauge is displayed. The
maximum strains measured by the unbonded strain gauges (SG no. 2) were between 4 and 7 5 5 https://doi.org/10.1051/matecconf/202032301007 AMCM 2020
MATEC Web of Conferences 323, 01007 (2020) times higher than the ones recorded by the bonded strain gauges. That is probably the reason
why eight of the ten unbonded gauges failed in the peak region before reaching peak II. The
only two specimens where they recorded over the whole test duration were the beams
B380_0.4 and B250_0.6. Fig. 4 shows the strains measured in B380_0.4. The reason for the
high peak measured by the unbonded strain gauges was the bending crack in the middle. In
all experiments, bending of the beams caused only one crack in the centre which opened
quickly and led to a high strain concentration and thus plasticisation in the reinforcement at
the position of the crack. The peak strain thus can only be measured if the strain gauge was
applied at the exact position where the bending crack appeared. This means of course, that it
was very unlikely to measure the peak with the bonded strain gauges as they would need to
be located exactly where the crack opens. However, it was possible to measure the peak strain
with the unbonded strain gauge as it measured an average strain in the region where the
bending crack appeared and because the strains are almost constant over the unbonded length
until necking starts. The only strains occurring on a local level before necking are the yielding
strains [12]. As the strains measured by the strain gauge in the middle never reached the
necking point, the assumption that the strains are approximately constant over the whole
unbonded length is valid. Fig. 4. Strains measured by the three strain gauges of B380_0.4. SG 1 and 3 (solid and dotted line) were
bonded whereas SG 2 (dashed line) was unbonded. The impact happened at time ‘0’. Fig. 4. 3.3 Influences on the maximum strains Strains measured by the three strain gauges of B380_0.4. SG 1 and 3 (solid and dotted line) were
bonded whereas SG 2 (dashed line) was unbonded. The impact happened at time ‘0’. The two bonded strain gauges generally measured two distinct peaks I and II (see Fig. 4),
which can be seen in the measurement of strain gauge 2 as well but they were not as obvious
due to the generally higher strains. The first strains measured in all gauges started with the
formation of the bending crack between 0.2 ms and 0.3 ms after the impact. The first peak I
was measured about 0.5 ms after the impact which is right before the formation of the
punching cone. This peak was a little delayed for the second strain gauge compared to the
other two because the strains needed to be transferred from the position where the concrete
cracked to the ends of the pipe and again to the middle of the reinforcement bar to the position
of the strain gauge. From the time the punching cone arose and untied from the cross section,
the strains decreased. The probable reason is that the bending radius in the untying part of
the section increased leading to lower bending strains. The time when the second peak II was reached, which is higher than the first one for
almost all beams, is plotted against the impactor velocity in Fig. 5. The only beams where
the second peak II was not existent, and therefore lower than the first one, were beam
B380_1.0, which was completely destroyed and therefore hard to evaluate, and beam
B250_0.0, where the cone did not separate from the rest of the section (see Fig. 2 a) and
which thus behaved differently from the other beams. Therefore, the measurements of beams
B380_1.0 and B250_0.0 (marked with a circle in Fig. 5-7) were not included in the analysis. 6 6 https://doi.org/10.1051/matecconf/202032301007 AMCM 2020
MATEC Web of Conferences 323, 01007 (2020) However, this points out that this global maximum of the bonded strain gauges was
influenced by the untying of the cone. Furthermore, the time of the second peak II was not
equal for all tests and therefore depended on the loading velocity. There seems to be a long
time lag for low impactor velocities which decreases with increasing impactor velocities. 3.3 Influences on the maximum strains This trend can be observed for strain gauges 1 and 3 (black) as well as for strain gauge 2
(red), even though–as already explained–the evaluation of the time lag for the strain gauges
no. 2 was difficult since most of them were destroyed before the second maximum. Fig. 5. Time lag between impact and maximum strain. Approximation for SG 1 and 3 (black) and SG 2
(grey). Data points of beams B380_1.0 and B250_0.0 (circled) were excluded in the analysis. Fig. 5. Time lag between impact and maximum strain. Approximation for SG 1 and 3 (black) and SG 2
(grey). Data points of beams B380_1.0 and B250_0.0 (circled) were excluded in the analysis. A rise in the impact energy affected the maximum strains in the centre, which were equal
to peak II in Fig. 4, only slightly (see Fig. 6). The strains measured by the unbonded strain
gauges slightly decreased, whereas the maximum strains of the bonded strain gauges slightly
increased. There seems to be a maximum between 3,000 J and 4,000 J for the bonded strain
gauges. However, the strong scattering of the values makes the relation weak. The relation
between the maximum strain and kinetic energy for the unbonded strain gauges is not very
robust either because most strain gauges failed in the peak region before peak II was even
reached. This leads to an uncertainty concerning the reliability of the measured data. Additionally, it is unclear whether the relationship between the strains and resistance of the
strain gauges remained linear at strains as high as 4,800 μm/m, although the manufacturer
claims the dynamic tensile strain limit to be 5,000 μm/m. Fig. 6. Relationship between energy and maximum strain. Approximation for SG 1 and 3 (black) and
SG 2 (grey). Data points of beams B380_1.0 and B250_0.0 (circled) were excluded in the analysis. Fig. 6. Relationship between energy and maximum strain. Approximation for SG 1 and 3 (black) and
SG 2 (grey). Data points of beams B380_1.0 and B250_0.0 (circled) were excluded in the analysis. 7 7 https://doi.org/10.1051/matecconf/202032301007 AMCM 2020
MATEC Web of Conferences 323, 01007 (2020) A special aspect of certain strain measurements for strain gauges 1 and 3 should be
pointed out: it seems that there remained a residual strain after the second peak II (compare
Fig. 4). There are two possible explanations for this behaviour. (1) The steel deformed above its yield strain and a plastic strain remained after the impact. It is unrealistic, however, that the steel deformed plastically if it was not stressed above the
yield strength as is the case for all bonded strain gauges with the maximum strain of about
2000 μm/m (see Fig.6). The theoretical yield strain of steel is 2000 μm/m. Nevertheless, it is
unclear whether the peak of the bonded strain gauges is measured correctly as the strains
were averaged over a gauge length of 2.6 mm. (2) A second option is that the measured residual strains were not really plastic strains but
result from the fact that the mass of the untied punching cone is solely held by the
reinforcement bars. This would also explain, why the residual strains in all three
reinforcement bars are similar. Another remarkable fact is that there are considerable differences between the
measurements of strain gauge 1 and 3 in some cases. This could be due to an eccentric impact. Further experiments and numerical studies are planned in the near future (see Section 4.2) in
order to analyse these currently insufficiently clarified phenomena in greater depth. 3.4 Influences on the maximum strain rates In about half of the cases, the maximum strain rate for gauges 1 and 3 occurred in the
approach of the first peak of the strains whereas it was measured in the approach of the second In about half of the cases, the maximum strain rate for gauges 1 and 3 occurred in the
approach of the first peak of the strains whereas it was measured in the approach of the second In about half of the cases, the maximum strain rate for gauges 1 and 3 occurred in the
approach of the first peak of the strains whereas it was measured in the approach of the second 8 AMCM 2020
MATEC Web of Conferences 323, 01007 (2020) https://doi.org/10.1051/matecconf/202032301007 peak for the other half of the strain gauges. This enforces the hypothesis that the strain rate
was independent of the loading velocity. For the unbonded strain gauges, the maximum strain
rate was in all cases measured during the approach of the first peak. b) B250_0.4 a) B380_0.4
b) B250_0.4
Fig. 8. Comparison of strain rate a) B380 0 4 a) B380_0.4 Fig. 8. Comparison of strain rate Fig. 8. Comparison of strain rate 3.4 Influences on the maximum strain rates The strain rates were directly derived from the strains. To smoothen the strain signal before
calculating the strain rates, a strain vector consisting of the medians of 250 single strain
values for each element of the strain rate vector was used. The maximum strain rate of each
test is plotted in Fig. 7. To control the derivation result, the signals obtained from integration
of the strain rates were compared to the measured strains. In fact, these graphs matched the
real strain signals well. Fig. 7 shows that the strain rates had a similar relation to the impact energy as the strains
(Fig. 6). That means that the strain rates as well as the strains were almost independent of the
kinetic energy. Excluded from the analysis were again beam B380_1.0 and B250_0.0
(marked in Fig. 7). As for the strains, the strain rates of the unbonded strain gauges were
multiple times higher than for the bonded ones. This was due to the fact that the maximum
strains were a lot higher for the unbonded strain gauges and the two values were occurring
almost simultaneously. Fig. 7. Relationship between energy and maximum strain rate. Approximation for SG 1 and 3 (black)
and SG 2 (grey). Data points of beams B380_1.0 and B250_0.0 (circled) were excluded in the analysis. In about half of the cases, the maximum strain rate for gauges 1 and 3 occurred in the
approach of the first peak of the strains whereas it was measured in the approach of the second Fig. 7. Relationship between energy and maximum strain rate. Approximation for SG 1 and 3 (black)
and SG 2 (grey). Data points of beams B380_1.0 and B250_0.0 (circled) were excluded in the analysis. 4.1 Influences on the structural behaviour, maximum strains and strain rates The inclination of the punching cone depended only little on the impactor energy. However,
the acceleration of the cone increased with increasing impact velocity leading to wider cracks. This is also the reason for higher burst masses at higher impact energies. The steel strains in the middle of the beam were almost independent of the impactor
energy. There were two peaks in the strain measurement, the first after about 0.5 ms. This
was the time when the punching cone started to form. The time lag to the second peak
depended on the impactor velocity as it decreased with increasing impactor velocity. The
maximum strain measured by the bonded strain gauges was approximately 2,000 μm/m. However, the measured peaks vary strongly in some specimens. The strains measured by the
unbonded strain gauges were multiple times higher because they captured the localized
bending strains. They were as high as 4,800 μm/m. However, it was hard to relate the
measurements of the unbonded strain gauges to any other measured data as only two of them
worked for the whole test duration. The strain rates of the bonded strain gauges ranged between 0.3 1/s and 2.5 1/s. As well
as the strains, they did not really depend on the impact energy. The maximum strain rates of
the unbonded strain gauges, by contrast, reached values between 5.9 1/s and 7.9 1/s. 4.2 Conclusions To confirm the findings, a more detailed study with different impactors and fine-tuned impact
energies should be performed. The impactor velocity as well as the impactor mass and its
nose geometry should be varied. In addition, plates could be used as pulse shapers to evaluate
softer impact scenarios with more distributed crack patterns. The supports can be changed to
fixed supports by applying a prestressing force to the bolts holding the beams down to vary
the support conditions. After the test, the reinforcement could be pulled out and checked for
local plasticisation which could also prove whether the residual strains in the bonded strain
gauges were plastic or whether they resulted from holding the punching cone. 9 9 https://doi.org/10.1051/matecconf/202032301007 AMCM 2020
MATEC Web of Conferences 323, 01007 (2020) Additionally, tests with multiple strain gauges over the length of the reinforcement bar
will be performed to see differences between the strains and strain rates at different positions. It is likely that the strains measured close to the punching cone and therefore to wider cracks
are higher than those measured in the middle of the beam. The multitude of strain gauges
over the length of the reinforcement bar furthermore enables the analysis of bond stresses
and wave propagation within the specimen. The fact that all strain gauges were at the same
position in the present study makes it impossible to capture these effects and to decide
whether the strains resulted from wave bending, wave propagation or the formation of the
punching cone. To guarantee the measurement of plastic strains in the region of wide cracks–
in the middle of the beam and at the position of the punching cone–unbonded strain gauges
can be applied. pp
Moreover, different beam geometries should be tested. The beam’s height as well as
thickness should be varied because they influence wave propagation and the shape of the
punching cone. With a reduced thickness, the punching cone will be more two-dimensional,
probably leading to lower burst masses. In addition, the reinforcement can be varied and
stirrup reinforcement can be used. To complete the experiments, a Finite Element Analysis will be conducted. This FEA
gives insight into the specimens and allows finer evaluation of the reinforcement strains. Lastly, small scale tests in the split Hopkinson pressure bar can be derived from the beam
tests. 4.2 Conclusions This helps to conduct realistic bond tests based on the experimentally observed
behaviour of the beams and the reinforcement within them. The presented project was funded by the German Federal Ministry of Economic Affairs and Energy
(BMWi, project no. 1501566) on the basis of a decision by the German Bundestag. References 1. P. Máca, J. Zatloukal, R. Sovják, Structures under Shock and Impact XIII, 149-158
(2014). (
)
2. A. Somraj, K. Fujikake, B. Li, International Journal of Protective Structures 4, 521-
543 (2013). 2. A. Somraj, K. Fujikake, B. Li, International Journal of Protective Structures 4, 521-
543 (2013). (
)
3. K. Fujikake, B. Li, S. Soeun, Journal of Structural Engineering 135, 938-950 (2009). 4. S. D. Adhikary, B. Li, K. Fujikake, International Journal of Protective Structures 6, 1,
81-111 (2015). 5. M. Just, M. Curbach, T. Kühn, M. Hering, Behavior of structural components during
impact load conditions caused by tank collisions (aircraft fuel tanks): Phase 1A: Scale
effects under impact loading (Final report of the project 1501438 funded by BMWi)
(2016), doi: https://doi.org/10.2314/GBV:868615218. 6. T. Kühn, D. Schmidt, T. Hänztschel, O. Million, A. Stolz, M. Curbach, K. Thoma,
Bautechnik 93, 717-724 (2016). 7. M. A. Meyers, Dynamic behavior of materials, (University of California, San Diego,
1994). 8. M. Hering, F. Bracklow, T. Kühn, M. Curbach, Struct. Concr., 21, 587-598 (2020). 9. T. Kühn, M. Curbach, Proceedings of DYMAT, 7-11 (2015). 10. M. Hering, T. Kühn, M. Curbach, U. Häußler-Combe, Proceedings of the fib Symposium
(2016). 11. L. E. Kinsler, A. R. Frey, A. B. Coppens, J. V. Sanders. Fundamentals of Acoustics
(Wiley, 2000). 12. F. Hahn, Werkstofftechnik-Praktikum: Werkstoffe prüfen und verstehen
(Fachbuchverlag Leipzig im Carl Hanser Verlag, 2015). 10
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Accidental Water Pollution Risk Analysis of Mine Tailings Ponds in Guanting Reservoir Watershed, Zhangjiakou City, China
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Article Renzhi Liu 1,*, Jing Liu 1, Zhijiao Zhang 1,2, Alistair Borthwick 3,4 and Ke Zhang 5
Received: 14 September 2015; Accepted: 23 November 2015; Published: 2 December 2015
Academic Editor: Miklas Scholz Renzhi Liu 1,*, Jing Liu 1, Zhijiao Zhang 1,2, Alistair Borthwick 3,4 and Ke Zhang 5
Received: 14 September 2015; Accepted: 23 November 2015; Published: 2 December 2015 Renzhi Liu 1,*, Jing Liu 1, Zhijiao Zhang 1,2, Alistair Borthwick 3,4 and Ke Zhang 5
Received: 14 September 2015; Accepted: 23 November 2015; Published: 2 December 2015
Academic Editor: Miklas Scholz Renzhi Liu 1,*, Jing Liu 1, Zhijiao Zhang 1,2, Alistair Borthwick 3,4 and Ke Zhang 5
Received: 14 September 2015; Accepted: 23 November 2015; Published: 2 December 2015
Academic Editor: Miklas Scholz 1
State Key Laboratory of Water Environment Simulation, School of Environment,
Beijing Normal University, No. 19, Xinjiekouwai Street, Haidian District, Beijing 100875, China;
201521180038@mail.edu.cn (J.L.); zzhijiao@163.com (Z.Z.) 1
State Key Laboratory of Water Environment Simulation, School of Environment,
Beijing Normal University, No. 19, Xinjiekouwai Street, Haidian District, Beijing 100875, China;
201521180038@mail.edu.cn (J.L.); zzhijiao@163.com (Z.Z.) 2
Guangdong Provincial Academy of Environmental Science, Center for Environmental Risk & Damages
Assessment, Guangzhou 510045, China 2
Guangdong Provincial Academy of Environmental Science, Center for Environmental Risk & Damages
Assessment, Guangzhou 510045, China 3
School of Engineering, the King’s Buildings, The University of Edinburgh, Edinburgh EH9 3JL, UK;
Alistair.Borthwick@ed.ac.uk 4
St Edmund Hall, Queen’s Lane, Oxford OX1 4AR, UK 5
College of Civil Construction Engineering, Zhengzhou Institute of Aeronautical Industry Management
Zhengzhou 450015, China; po_drama@163.com 5
College of Civil Construction Engineering, Zhengzhou Institute of Aeronautical Indu Zhengzhou 450015, China; po_drama@163.com Zhengzhou 450015, China; po_drama@163.com g
p
*
Correspondence: liurenzhi@bnu.edu.cn; Tel.: +86-10-5880-6679; Fax: +86-10-5880-6679 Abstract: Over the past half century, a surprising number of major pollution incidents occurred
due to tailings dam failures. Most previous studies of such incidents comprised forensic analyses of
environmental impacts after a tailings dam failure, with few considering the combined pollution risk
before incidents occur at a watershed-scale. We therefore propose Watershed-scale Tailings-pond
Pollution Risk Analysis (WTPRA), designed for multiple mine tailings ponds, stemming from
previous watershed-scale accidental pollution risk assessments. Transferred and combined risk is
embedded using risk rankings of multiple routes of the “source-pathway-target” in the WTPRA. The
previous approach is modified using multi-criteria analysis, dam failure models, and instantaneous
water quality models, which are modified for application to multiple tailings ponds. Article The study area
covers the basin of Gutanting Reservoir (the largest backup drinking water source for Beijing) in
Zhangjiakou City, where many mine tailings ponds are located. The resultant map shows that risk
is higher downstream of Gutanting Reservoir and in its two tributary basins (i.e., Qingshui River and
Longyang River). Conversely, risk is lower in the midstream and upstream reaches. The analysis
also indicates that the most hazardous mine tailings ponds are located in Chongli and Xuanhua,
and that Guanting Reservoir is the most vulnerable receptor. Sensitivity and uncertainty analyses
are performed to validate the robustness of the WTPRA method. Keywords:
risk analysis;
mine tailings pond;
heavy metal;
water pollution;
Guanting
Reservoir; watershed www.mdpi.com/journal/ijerph www.mdpi.com/journal/ijerph 1. Introduction Industrial mining activities occur in almost every part of the world [1]. Tailing dams contain
liquids (toxic, hazardous, or even radioactive) which are pollutant sources of great damage risk to
humans, the environment, and ecosystems [2]. Worldwide, at least 63 major tailings dam failures
were reported that caused significant pollution during 1960–2014 [3]. These tailing-dam pollution
accidents accounted for 62% of the total number of major tailings dam failures during the same
period. Acutely polluted water from dam breaks caused interruption of water supply (Baia Mare Int. J. Environ. Res. Public Health 2015, 12, 15269–15284; doi:10.3390/ijerph121214983 www.mdpi.com/journal/ijerph Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 and Baia Borsa dam failures in Romania in 2000 [4]), human fatalities (Omai tailings dam failure in
Guyana in 1995 [5]), massive fish kills (Porco tailings dam breaches in Bolivia in 1996 [6]), agricultural
damage and natural reserve failure (Aznalcóllar tailings dam failure in Spain in 1998 [7]), and
enormous economic loss (Tao Canyon tailings dam failure in U.S.A. in 1994 [8]). In recent years,
the frequency of occurrence of such incidents has begun to shift geographically from developed
countries to developing countries [9]. In P.R. China, the Ministry of Environmental Protection (MEP)
responded directly to 56 reported tailing-related pollution accidents in 2006–2014 [10]. This is in
the context of 11,666 mine tailings ponds that had come into operation by the end of 2013 [11]. Other major tailing-related pollution accidents in China include the Zhen’an gold tailings spill in
Shaanxi Province in 2006, the Wulong gold tailings leakage in Liaoning Province in 2008, the Minjiang
manganese tailings spill in Sichuan Province in 2011, and the Wantai manganese tailings leakage in
Guizhou Province in 2012. Much effort has been expended on the environmental impacts of tailings dam failures [12–14]. However, these previous studies focused on monitoring, managing, or remediating the fluvial
environment in the immediate aftermath [5,7,15,16] or (mostly) in the long-term aftermath [4,17–22] of
such failures. Few tackled pollution risk analysis and risk management before a single tailings dam
failure and ensuing environmental pollution accident occurred [2,23,24], much less the accidental
pollution risk analysis of multiple tailings dams (ponds) at a watershed-scale. We previously developed a watershed-scale accidental pollution risk assessment method [25],
adopting the idea of risk ranking from the Relative Risk Model [26,27]. 2. Methodology and Materials In watershed-scale accidental pollution risk assessment, existing “source-habitat-impact” risk
routes are combined from multiple sources, receptors, and impacts at watershed-scale [25]. The assessment method embeds spatially cumulative impacts [28] by adding the risk ranks
of multiple risk routes. Any single risk route, similar to a plausible “source-pathway-target”
relationship [2,23,29], ensures a cascade of pollution hazards reaching downstream receptors. Taking advantage of the foregoing approach, we develop a Watershed-scale Tailings-pond Pollution
Risk Analysis (WTPRA) method. By means of a general risk analysis process at watershed-scale [25],
the WTPRA method provides detailed outputs specific to mine tailings ponds (dams). 1. Introduction Following this framework,
we now propose a Watershed-scale Tailings-pond Pollution Risk Analysis (WTPRA) method, which is
designed for the pollution risk analysis of tailings ponds, the aim being to assist in the prevention of,
or preparation for, water pollution accidents from tailings dam failures. The WTPRA method uses
multi-criteria analysis, dam failure models, and instantaneous water quality models to complete a
full pollution risk analysis of multiple tailings ponds at a regional-scale. The study area, Guanting
Reservoir Watershed, in Zhangjiakou, accommodates over 270 metal mine tailings ponds, whose
presence represents a hazard to the water catchment area of Guanting Reservoir, the largest backup
drinking water resource for Beijing. We use WTPRA to analyze the pollution hazard of tailings
ponds, vulnerability of receptors, and overall risk for each sub-watershed, all of which are useful
for decision-making in the context of the environmental risk management of watersheds containing
tailings ponds. The simulation results of tailing fluid propagation after a dam break provides key
information for incident preparedness strategies and early warning systems. 2.1. Delineation of Risk Sub-Watersheds Delineation of risk sub-watersheds involves breaking down a watershed into pollution risk
regions that mark out the boundaries of the sub-areas utilized for risk analysis. This decomposition
technique underpins the whole analysis process. In practice, we use the hydrological analysis
function in ArcGIS tools to derive the flow networks and catchment basins from a Digital Elevation
Model (DEM) of the study area [30]. Selected adjacent sub-watersheds may be amalgamated to 15270 15270 2.2. Hazard Analysis of Mine Tailings Ponds Dam failure is the worst cause of tailings fluids being released into the environment, followed
by slurry pipeline failure, drainage stock or damage, piping, seepage, cracking of dam wall, and
abnormal discharge. Here abnormal discharge is defined as a tailings wastewater discharge with
an abnormally high volume or concentration of contaminants. The pollution hazard of a tailings
pond, according to the risk source hazard approach proposed by Liu et al. [31], is determined
by its state and control, which have been adopted into a national guideline [32]. This guideline
attributes the hazard to its associated harmfulness (H) and control reliability (R), and a ranking matrix
(listed in Table 1) is used to determine the hazard score. Harmfulness is classed as high, medium,
and low level by considering a combination of the deleterious properties of the substances stored in
the tailings pond, the storage capacity, the dam height, and the operation time. Control reliability
is graded as unreliable, medium, and reliable by summing rankings related to the tailings pileup,
water recycling, and susceptibility to flooding and geological hazards (e.g., earthquake, landslide,
debris flow, or fracture), safety level, and preparation of emergency response [32]. Risk investigations
are required to obtain data for mine tailings ponds over the entire watershed. 15270 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 ensure that appropriate tailings ponds, downstream rivers, and sensitive receptors (i.e., humans,
environment, and ecosystem) are incorporated into a given risk region. 2.3. Vulnerability Analysis of Receptors A water pollution hazard, arising from mine tailings ponds, threatens the receptors including
drinking water intakes, irrigation water intakes, water bodies, residential land, and agricultural land,
woodland, and nature reserves in a watershed [25]. Receptor vulnerability to tailings water pollution
is ranked according to its magnitude and sensitivity using three grades, 6, 4, and 2, in accordance
with national criteria or expert judgments (see Table 2). Table 1. Pollution hazard ranking matrix for mine tailings pond *. Harmfulness (H)
Reliability (R)
Unreliable
Medium
Reliable
High
10
8
6
Medium
8
6
4
Low
6
4
2
* Adapted from Technical Guideline for Environmental Risk Assessment of Tailings pond [32]. The scale of
values is 0–10, relative and dimensionless, 10 referring to the highest and 0 to the lowest. Table 1. Pollution hazard ranking matrix for mine tailings pond *. * Adapted from Technical Guideline for Environmental Risk Assessment of Tailings pond [32]. The scale of
values is 0–10, relative and dimensionless, 10 referring to the highest and 0 to the lowest. * Adapted from Technical Guideline for Environmental Risk Assessment of Tailings pond [32]. The scale of
values is 0–10, relative and dimensionless, 10 referring to the highest and 0 to the lowest. 2.4. Identification of Risk Routes A combination of multiple risk routes (see Figure 1) is identified which connects tailings ponds,
receptors, pathways (exposures), and endpoints. Risk receptors mentioned in Section 2.3 are located
either in a waterway (e.g., drinking water intakes) or adjacent to a waterway (e.g., agricultural land). By focusing on the water environment and its collateral values (i.e., values of drinking water supply)
(resident safety), irrigation water (property safety), and habitats (ecosystem health), we select resident
safety, property safety, water quality, and ecosystem health as the risk assessment endpoints of
tailings-related accidental water pollution. In particular, public health may be damaged by harmful
tailings water coming into direct contact with human bodies in residential areas, or through humans
drinking polluted water from water intakes. 15271 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 Table 2. Vulnerability ranking criteria for risk receptors *. Receptors
Grade
Criteria
Drinking water intakes
2
Population served ď 50,000
4
50,000 < Population served ď 100,000
6
Population served > 100,000
Irrigating water intakes
2
Farming area served ď 100 km2
4
100 km2 < Farming area served ď 200 km2
6
Farming area served > 200 km2
Residential land
2
Population density ď 3500/km2
4
3500/km2 < Population density ď 6000/km2
6
Population density > 6000/km2
Agricultural land
2
Green manure crops
4
Commercial crops
6
Food crops
Woodland
2
Shrub land
4
Sparse woodland
6
Forest land
Water bodies **
2
Environmental functions at grades IV and V
4
Environmental function at grade III
6
Environmental functions at grades I and II
Nature reserves ***
2
Experimental area
4
Buffer area
6
Core area Table 2. Vulnerability ranking criteria for risk receptors *. 2.4. Identification of Risk Routes * Taken from our previous study [25]; ** According to the environmental function zones of surface water [33],
grade I being for fountainhead water or national nature reserves, grade II for class 1 protective areas of
centralized drinking water sources, rare aquatic habitats, fish and shrimp spawning ground, or nursery ground
of larvae, grade III for class 2 protective areas of centralized drinking water sources, fishery areas such as
the wintering grounds of fish and shrimp, migration channels, and aquiculture zones, or swimming zones,
grade IV for industrial water or recreation water without direct contact with the human body, and grade V
for the agricultural water or landscape water; *** According to the zones of nature reserves [34], a core area
is an intact natural ecosystem and habitats of valuable, rare, or endangered species, with no entry permitted;
a buffer area is buffering the core area, entry solely permitted for scientific researches; and an experimental area
is a peripheral area of the buffer area, entry permitted for scientific experiments, practice teaching, study tours,
and so on. Figure 1. Combination of Risk Routes; adapted from Liu et al. [25]. Figure 1. Combination of Risk Routes; adapted from Liu et al. [25]. 15272 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 2.5. Exposure and Effect Analyses Exposure analysis is used to screen plausible source–receptor combinations in a single risk route. Dam failures, initiating the most severe tailings fluid spills, potentially place risk receptors at the
greatest exposure to tailings which may contain soluble heavy metal ions and/or toxic chemicals
(such as acids and cyanide). We therefore opt to simulate the fate of tailings fluids (in case of dam
failure) to help weight the probability that they propagate to the receptor. An exposure filter [27] is
accordingly assigned as 0, 0.5, or 1 indicating low, medium, or high probability, respectively. Effect
analysis allows us to weight the probability that exposure to the receptor causes the resulting effect to
reach a given endpoint. The effect filter is assigned 0, 0.5, or 1 corresponding to low, medium, or high
probability. We use a combination of a dam failure model (before the flow reaches a river) and an
ensuing pollutants convection-diffusion model (after the flow discharges into the river) to simulate
approximately the fate of tailings fluid and the materials contained within. 2.5.1. Dam Failure Modeling A dam failure model is constructed to simulate the routing and movement of the tailing flow
discharged after the dam breach. According to Pérez-López et al. [13], a tailing dam may be
categorized as a gravity earth dam while the tailing flow can be considered to be water containing
hyper-concentrated sediment, such as observed in debris and mud flows. Here, we use a simplified
form of Saint-Venant equations [35] and empirical equations commonly used in China [36,37] to
simulate the dam breach. Numerical solutions are obtained for the breach width, maximum discharge
at time of failure, and maximum peak value of downstream discharge. According to historical dam failure data collected by Yellow River Institute of Hydraulic
Research of China [36], in the case of a dam breach the average breach width (b, m) is given by b “ KpW
1
2 B
1
2 Hq
1
2
(1) (1) where W is the volume of water stored above breach invert at time of failure, (m3); B is the length of
1
1 dam, (m); H is the depth of water above breach invert at time of failure, (m); W 2 B2 H represents
the total energy of flow; and K is a coefficient related to the impact resistance quality of the dam
material, generally 0.65 for clay and 1.3 for loam. Using the simplified Saint Venant equations [35],
the maximum discharge of flow at time of failure (QM, m3/s) takes the form QM “ 8
27
?gp B
b q
1
4 bH
3
2
(2) (2) where g is gravitational acceleration. Based on unsteady flow theory, noting the maximum discharge
of flow [37], the maximum peak value of downstream routing discharge (QLM, m3/s) can be
empirically deduced from, where g is gravitational acceleration. Based on unsteady flow theory, noting the maximum discharge
of flow [37], the maximum peak value of downstream routing discharge (QLM, m3/s) can be
empirically deduced from, QLM “
W
W
QM
` L
vk
(3) (3) where L is the distance of the tailing peak flow from the dam, (m); v is the maximum average velocity
of flow during the flood period, (m/s); and k is an empirical coefficient, (s). The value of v can be
the recorded historical maximum or simply assigned values in the ranges 1–2, 2–3, or 3–5 for plains,
hilly areas, or mountainous regions, respectively. 2.6. Ranking Risk of Sub-Watersheds Following Liu et al. [25], a risk route score is calculated by multiplying together the hazard
ranking (H), vulnerability ranking (V), exposure filter (Ex), and effect filter (Ef). The relative risk
score (RS) of tailings-related pollution accidents in a sub-watershed is obtained by integrating all risk
routes which end within the same sub-watershed. Meanwhile, the overall risk score of a tailings pond
is obtained by combining all risk routes emanating from itself. Interval breaks of 150, 300, and 450 are
used to rank the risk levels of the sub-watersheds as low, medium, high, and very high. The relative
risk score is thus defined as (6) RSi “
ÿ
Hij ˆ Vil ˆ Exjl ˆ E flm
(6) where i is the sub-watershed series (sub-watershed 1, 2, 3, etc.), j is the tailings pond series, l is the
receptor series, and m is the endpoint series. 2.7. Uncertainty Analysis Uncertainty is addressed using Monte Carlo analysis, where prescribed probability distributions
are assigned to risk scores and filters according to their value characteristics. The Monte
Carlo simulations have been undertaken for 1000 iterations using Crystal Ball® 2000 software
(Decisioneering, Inc., Denver, CO, USA), and the output distributions for each sub-watershed
then derived, indicating all possible risk scores and the probability of those risk scores based on
the uncertainty within the model inputs or parameters. The correlation coefficients of sources,
receptors, and filters in each sub-watershed have been generated by sensitivity analysis, reflecting
the uncertainty results, whether influenced by model sensitivity and/or parameter uncertainty. It should be noted that the higher the correlation coefficient, the greater the contribution to the
overall uncertainty. 2.5.2. Pollutants Convection-Diffusion Modeling For tailing flow propagation along a river, we use the following simple instantaneous water
quality model (based on convection-diffusion principles for an instantaneous point source) to
simulate approximately the fate of chemicals and therefore estimate exposure probability: BC
Bt ` ux
BC
Bx “ Mx
B2C
Bx2 ´ KC
(4) (4) The analytical solution is given by, Cpx, tq “
ż △t
0
C0ux
?4πMxtexpr´px ´ uxq2
4Mxt
sexpp´Ktqdt
(5) (5) where t is time, (s); C is the concentration of a pollutant, (mg/L); C0 is the completely mixed
concentration of tailings water and river water during a prescribed time interval, (mg/L);
x is stream-wise distance, (m); ux is the mean flow rate of the river, (m/s); Mx is the longitudinal
mixing or dispersion coefficient, (m2/s); and K is the rate of degradation, (d´1). 2.5.1. Dam Failure Modeling The coefficient k is empirically assigned 0.8~0.9, 1,
or 1.1~1.5 for plains, hillsides, or mountains. 15273 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 2.5.2. Pollutants Convection-Diffusion Modeling 2.5.2. Pollutants Convection-Diffusion Modeling 2.5.2. Pollutants Convection-Diffusion Modeling 2. Pollutants Convection-Diffusion Modeling Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 Shanxi Province, and Beijing, respectively. The watershed within Zhangjiakou contains the
Yang River which is 192 km long and the Sang-kan River of length 175 km, and occupies a basin
area of 17,965 km2. We selected Guanting Reservoir watershed within Zhangjiakou as the study area
because it primarily affects the water catchment supplying Guanting Reservoir, and so has a major
influence on the reservoir’s water security and quality. Another reason is that Zhangjiakou possesses
abundant metal mineral resources (e.g., iron, gold, silver, and lead zinc), so faces a considerable acute
pollution threat from many heavy metal mine tailings ponds. About 250 iron mine tailings ponds
and 22 heavy metal mine tailings ponds are located within the selected area (see Figure 2), most of
them along the Yang River and its biggest branch, the Qingshui River. The study area covers four
administrative districts (see 1–4 in Figure 2) and nine counties (i.e., Shangyi, Wangquan, Huai’an,
Chongli, Xuanhua, Yangyuan, Wei, Zhuolu, and Huailai). Besides Guanting Reservoir, the fact that
several drinking water intakes are situated along the mainstream channel raises the importance of
risk analysis concerning local water security and water quality. Moreover, several valleys in Chongli
County have been chosen to be sporting venues for the 2022 Beijing-Zhangjiakou Winter Olympic
Games (24th). Figure 2. Guangting Reservoir watershed within Zhangjiakou. Figure 2. Guangting Reservoir watershed within Zhangjiakou. 2.8.1. Study Area Guanting Reservoir is mostly located in Zhangjiakou City, northwest Hebei Province of China
(see Figure 2). The reservoir is owned by Beijing and serves as its most important backup drinking
water resource. The watershed of Guanting Reservoir has a surface area of 43,402 km2 and is
located in Inner Mongolia Province, Shanxi Province, Hebei Province, and Beijing. Three tributary
watersheds, Sang-kan River, Yang River, And Guishui River, have their origins in Inner Mongolia, 15274 2.8.2. Data Sources Three categories of data were prepared on risk sources, risk receptors, and waterways. Risk sources of mine tailings ponds (dams) were derived from two regional-scale investigation
projects in Zhangjiakou City. A preliminary investigation was undertaken into tertiary prevention
and control of acute water pollution risk from mine tailings ponds (dams) as part of the 12th five year
plan of Zhangjiakou City during December, 2010. According to the unpublished investigation,
there then existed over 520 mine tailings ponds in total in Zhangjiakou; with 488, 30, and 2 ponds for
iron, heavy metal (gold, silver, or lead zinc), and coal mines, respectively. We selected the heavy metal
mine tailings ponds (which potentially pose the greatest toxic water pollution threats to Guanting 15275 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 Reservoir and the other drinking water intakes), and proceeded with a more specialized investigation,
encompassing field investigations and survey questionnaires (addressed to mining enterprises) into
22 heavy metal mine tailings ponds (within the study area, labelled T1-T22) held from July to
September, 2014. Comprehensive information was obtained on each tailing pond (e.g., dam height,
storage capacity, security level, operation time, and flood control criteria) with the assistance of local
environmental protection bureaus. Concentrations of soluble heavy metal ions (e.g., ions of lead,
mercury chrome, or cadmium) and/or toxic chemicals (e.g., acid and cyanide) were collected monthly
from routine quality monitoring of tailings pond water which were conducted by the Zhangjiakou
Environmental Monitoring Centre (EMC) in 2013. g
Risk receptors in the Guanting Reservoir Watershed were identified as drinking water intakes
(DW), residential land (RL), agricultural land (AL), woodlands (WL), and water bodies (WB). Locations and spatial distributions of land receptors (RL, AL, and WL) were derived from a 1:100,000
scale land-use map of Guanting Reservoir within Zhangjiakou (see Figure 2). This map was
interpreted from the relevant remote sensing image obtained by Landsat-7 in 2010, and downloaded
from the China Centre for Resources Satellite Data and Application (CRESDA) at 30 m ˆ 30 m
spatial resolution. Other information on land receptors (i.e., population and crop categories) and
locations, areas, and services (relating to water intakes and local water environmental functions) were
obtained from Zhangjiakou City Statistical Yearbook (2013), Zhangjiakou Environmental Bulletin
(2013), and data collected in 2013 by municipal bureaus of water resources, forestry, agriculture, and
environmental protection. 2.8.2. Data Sources Waterway data, including the watershed boundary, were derived from
a 90 ˆ 90 m DEM, also obtained from CRESDA. The water system digital map and spatial area
of Guanting Reservoir were computed by the Zhangjiakou Municipal Water Resources Bureau. Hydrological data were provided by Zhangjiakou Municipal Hydrographic Bureau. Spatial
administrative boundary data were determined from the 2010 land-use map. 3.1. The Tailings Pond Pollution Risk Map Taken together, the 22 sub-watersheds (labelled RR1-RR22, see Figure 3) comprise the whole
Guanting Reservoir Watershed in Zhangjiakou. The Yang River and Sang-kan River basins contain
15 sub-watersheds (RR1-RR15) and 6 sub-watersheds (RR17-RR22) respectively, and both rivers
eventually flow into sub-watershed RR16, a confluence area in which the Guanting Reservoir is
located. All 22 heavy metal mine tailings ponds (labelled T1-T22) were identified as hazardous
sources, and five categories of risk receptors (see Section 2.8.2) were analyzed in terms of vulnerability. Risk assessment endpoints comprised resident safety (RS), property safety (PS), water quality (WQ),
and ecosystem health (EH) (see Section 2.4). Figure 3 shows the resulting tailings pond pollution
risk map generated for Guanting Reservoir Watershed, Zhangjiakou. From the map it is evident
that sub-watersheds RR11 and RR16 are at the greatest risk of acute water pollution accidents from
tailings pond failures. Sub-watersheds RR4 and RR5 are at high risk; sub-watersheds RR8, RR10,
and RR15 are at medium risk; and sub-watersheds RR7, RR9, RR14, RR17, and RR18 are at low
risk. The remaining other 10 sub-watersheds are not at risk. These sub-watersheds, RR1-RR3, RR6,
RR12-RR13, and RR19-RR22, are mostly located in the upstream parts of the selected watershed. In general, the downstream areas and two tributary basins (for the Qingshui River and Longyang
River) are exposed to higher risks, the midstream reach is less at risk, and the upstream reach
experiences roughly no risk. 15276 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 Figure 3. Risk ranking map for sub-watersheds RR1-22 in Guanting Reservoir Watershed
within Zhangjiakou. Figure 3. Risk ranking map for sub-watersheds RR1-22 in Guanting Reservoir Watershed
within Zhangjiakou. 3.2. Most Hazardous Tailings Ponds Figure 2 shows that the majority of metal mines are located in the upstream and midstream
reaches of the Yang River basin. However, 250 (i.e., 92%) of these are iron ore mines whose tailings
water is less hazardous owing to low observed levels of heavy metal ions or other dangerous
chemicals. The other 22 (i.e., 8%) mine tailings ponds are the more hazardous sources, linked to
the gold, silver, and lead zinc mines situated at Chongli (10), Xuanhua (10), Yangyuan (1), and
Huailai (1). By overlaying the locations of the mine tailing ponds with Figure 3, it is found that
ponds T1-T9 and T11-T19 are located respectively in the Longyang River and Qingshui River basins. Both rivers are branches of the Yang River. Resultant hazard rankings indicate that six heavy metal
mine tailings ponds (T4-T6, T12, T16, and T18) are at medium hazard, with the remaining 16 at low
hazard. Figure 4 presents the sum risk scores for each tailings pond, obtained by combining every
risk route originating from a particular tailings pond. The most risky tailings ponds (risk score >200)
are T4-T6, and T12; these ponds are inherently the most hazardous and/or capable of transmitting
threats to more vulnerable receptors downstream. By simulating the fate of tailings fluid containing
heavy metals, it was found that only a few tailings ponds (i.e., T12, T17 and T19) along the Qingshui
River were likely to transfer pollution threats to the mainstream of the Yang River; no threat was
posed to the Guanting Reservoir by either these ponds or those along the Sang-kan River. However,
the failure of eight tailings ponds/dams (i.e., T1, T2, T4-T6, and T8-T9 in Longyang River and T20
in Liuchuan River) would cause serious pollution events in the Yang River and Guanting Reservoir. For Guanting Reservoir, the furthest stressor is T20 with a stream-wise distance of 118 km, and the
closest is T6 with a stream-wise distance of 78 km. For example, by the time pollutants released from
T4 would arrive at Guanting Reservoir, the concentrations of lead (Pb) and cadmium (Cd) would
nevertheless reach 37 and 8.7 times the water quality standard (Grade III). 15277 15277 15277 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 Figure 4. Risk score for each heavy metal mine tailings pond. Figure 4. Risk score for each heavy metal mine tailings pond. 3.4. Significantly Impacted Endpoints Figure 6 shows the sum risk scores by each assessment endpoint in the sub-watersheds
(excluding no risk sub-watersheds). Property safety (PS) is the most impacted endpoint over the
majority of the entire watershed. Water quality (WQ) is another significantly impacted endpoint. Resident safety (RS) must be a priority, especially in the RR4, RR11, and RR16 areas. In RR16,
ecosystem health is the most significantly impacted endpoint and the values of other endpoints are
also quite high. Figure 6. Risk score by each endpoint for sub-watersheds RR1-22 (excluding no-risk sub-watersheds). The abbreviations in the legend relate to risk assessment endpoints and are defined as follows:
RS is resident safety; PS is property safety; WQ is water quality; and EH is ecosystem health. Figure 6. Risk score by each endpoint for sub-watersheds RR1-22 (excluding no-risk sub-watersheds). The abbreviations in the legend relate to risk assessment endpoints and are defined as follows:
RS is resident safety; PS is property safety; WQ is water quality; and EH is ecosystem health. 3.3. Most Vulnerable Receptors Seven main underground drinking water intakes (D1-D7) serve urban areas, of which four (along
the river) are plausibly susceptible to tailings pond pollution, namely: D1 in the RR4 area of the
Qingshui River; D4 in RR3; D5 in RR10; and D6 in RR9 of the Yang River. The most sensitive and
highest capacity drinking water intake, Guanting Reservoir, is located at the bottom of the whole
catchment (RR16) (see Figure 2). Again, by simulating the fate of tailings fluid contaminated by
heavy metals (see Section 2.5), it is found that: D1 is susceptible to abrupt pollution from T12, T15,
and T17-T19; D4 and D5 are free from pollution threats; and D6 is exposed to T10 and T20. Guanting
Reservoir is severely threatened by T1, T2, T4-T6, T8-T10, and T20 located in RR9 and R11. However,
no tailings pond threatens the Olympic sites recommended in Chongli County, Zhangjiakou. Figure 5
presents the sum risk scores of sub-watersheds (excluding no-risk sub-watersheds) for each possible
receptor. Water bodies (WB) are the most vulnerable receptors across the entire watershed and
contribute to the majority of high risk scores. Residential land provides the next most vulnerable
receptors especially in RR4, RR5, and R11 areas. In the downstream RR16 sub-catchment, the drinking
water intake (DW) of Guanting Reservoir is most vulnerable to acute water pollution by heavy metal
mine tailings ponds. Figure 5. Risk score by each receptor for sub-watersheds RR1-22 (excluding no-risk sub-watersheds). The abbreviations in the legend are as follows: RL is residential land; WB is water body; AL is
agricultural land; WL is woodland; DW is drinking water intakes. Figure 5. Risk score by each receptor for sub-watersheds RR1-22 (excluding no-risk sub-watersheds). The abbreviations in the legend are as follows: RL is residential land; WB is water body; AL is
agricultural land; WL is woodland; DW is drinking water intakes. 15278 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 3.5. Uncertainty Analysis During Watershed-scale Tailings-pond Pollution Risk Analysis, uncertainty could arise from
the method itself, the choice of risk receptors, and the filters of exposure and effect. To represent
sub-catchments at low, medium, and high risk, areas RR9, RR10, and RR4 are chosen for uncertainty
and sensitivity analyses. Figure 7a–c presents the results of the uncertainty analysis. The distributions
of the forecast are consistent with the assessment results, indicating that inherent uncertainty has
not influenced the risk distribution. The wider range of the distribution implies a lower level
of confidence in the risk forecast, for which RR9 (low risk region) has the highest value, and
the uncertainty is higher for the upstream RR4 compared to the midstream. For RR4 and RR10, the
frequency distributions are left-skewed, implying that the risk ranks may have been overestimated. Nevertheless, the distributions in RR9 have mean values that are almost the same as the risk scores,
follow a normal curve, and so are estimated with a relatively accurate ranking. Generated by sensitivity analysis, correlation coefficients for risk sources, receptors, and filters
in each sub-watershed are used to represent the impact of parameter sensitivity on the uncertainty of
risk assessment. The higher the correlation coefficients, the greater contribution the factors make. The highest five correlation coefficients in areas RR9, RR10, and RR4 are shown in Figure 8a–c. In the low risk sub-watershed RR9, tailings pond T10 (0.37), and residential land (0.36) contribute
most to the rank correlation, followed by receptors of tailings pond T20 (0.35) and water body (0.23). As for the medium risk area RR10, the effect filters account for the highest rank correlation. For RR4,
effect filters generated the uncertainty. To sum up, the uncertainty for the three sub-catchments RR9,
RR10, and RR4 mainly derives from tailings ponds and effect filters. 15279 15279 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 Figure 7. Uncertainty analysis result: risk probability distribution for region (a) RR9; (b) RR10;
and (c) RR4. Figure 7. Uncertainty analysis result: risk probability distribution for region (a) RR9; (b) RR10;
and (c) RR4. Figure 8. Rank correlation coefficients for different regions. The abbreviations on the y-axis relate
to essential factors of assessment and are defined as follows: WB-RS and WB-WQ are effect filters of
water body to residential safety and water quality, respectively; WB is water body; RL is residential
land; T10 and T20 are mine tailings ponds; AL is agricultural land;. DW-EH is an effect filter of
drinking water intake to ecosystem health. Figure 8. Rank correlation coefficients for different regions. The abbreviations on the y-axis relate
to essential factors of assessment and are defined as follows: WB-RS and WB-WQ are effect filters of
water body to residential safety and water quality, respectively; WB is water body; RL is residential
land; T10 and T20 are mine tailings ponds; AL is agricultural land;. DW-EH is an effect filter of
drinking water intake to ecosystem health. Figure 8. Rank correlation coefficients for different regions. The abbreviations on the y-axis relate
to essential factors of assessment and are defined as follows: WB-RS and WB-WQ are effect filters of
water body to residential safety and water quality, respectively; WB is water body; RL is residential
land; T10 and T20 are mine tailings ponds; AL is agricultural land;. DW-EH is an effect filter of
drinking water intake to ecosystem health. Figure 8. Rank correlation coefficients for different regions. The abbreviations on the y-axis relate
to essential factors of assessment and are defined as follows: WB-RS and WB-WQ are effect filters of
water body to residential safety and water quality, respectively; WB is water body; RL is residential
land; T10 and T20 are mine tailings ponds; AL is agricultural land;. DW-EH is an effect filter of
drinking water intake to ecosystem health. 15280 15280 4. Discussion Watershed-scale Tailings-pond Pollution Risk Analysis (WTPRA) is designed to evaluate the
transferred and combined risks arising from multiple vulnerable receptors exposed to multiple
mine tailings ponds at watershed-scale. WTPRA uses risk rankings to incorporate cascading and
cumulative effects into a watershed-scale risk analysis. WTPRA leads to a better understanding of
the complicated interrelationships between multiple tailings ponds, receptors, and impacts. Thereby,
the risk-analysis at watershed-scale provides a realistic risk map of tailings pond pollution hazards,
and the most risky tailings ponds and most vulnerable receptors. Besides combining multiple
tailings ponds and receptors, the new approach also incorporates upstream pollution threats into
the risk analysis of any sub-catchment, which was hardly achieved in previous studies (exceptions
include [2,23,25]). WTPRA assesses each tailings pond by evaluating the combined risk summed for
all risk routes over a distance of 10 s or 100 s of km; this is an improvement over existing techniques
such as given by China MEP [32], which recommends using a combination of tailings pond hazard
and receptor vulnerability up to 10 km downstream. Moreover, WTPRA provides significant data
on breach width, maximum peak discharge, and temporal-spatial concentrations of pollutants in the
stream-wise direction, using a combination of dam failure and pollutant convection-diffusion models. These quantitative data are helpful not only to screen a risk route and assign exposure filters, but also
to develop a mitigation/emergency plan of point-to-point countermeasures in terms of locations,
arrival times, and pollutant concentrations. Following the standardized process given by Liu et al. [25], WTPRA undertakes a six-step risk
ranking procedure (see Section 2), in accordance with strict standards and criteria. Using WTPRA,
the watershed risk related to acute water pollution of tailings ponds could be estimated and compared
for different watersheds in a single exercise, following common ranking criteria. The Guanting
Reservoir basin case study demonstrates that WTPRA is both operable and applicable. From the resultant risk map, sub-catchment areas RR11 and RR16 are at very high risk. RR11 is
exposed to risk due to the proliferation of heavy metal mine tailings ponds, which could potentially
release heavy metals and threaten the safety of local water bodies, residential, and agricultural
land (see Figures 2 and 5). RR16 contains the largest receptors of Gutaning Reservoir, which is
most susceptible to transferred pollution events upstream of the RR11 and RR9 areas, which could
seriously endanger drinking water supply and ecosystem health (see Figures 5 and 6). 15280 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 4. Discussion The tributary
sub-catchment areas RR5 and RR4 are at high risk, because many upstream and local tailings ponds
pose acute pollution hazards to water bodies in the RR5 area (see Figure 2), and subsequently
threaten a densely populated urban area (Qiaoxi District) and a main drinking water intake (D1)
in RR4 (see Figure 5). Areas RR15 and RR10 are at medium risk of transferred pollution from
the upstream reaches, RR8 is also at medium risk because of the presence of local tailings ponds. The low-risk sub-catchment areas are barely affected by tailings pond pollution events. The rest of
the sub-catchment area is a no-risk region, mostly located in sub-catchments at the upstream reaches
of Yang River and Sang-kan River where no heavy metal mine tailings ponds are situated. g
g
y
g p
The risk analysis results indicate that T4-T6 and T12 are the most hazardous tailings ponds
due to high harmfulness, even though the dams are believed to be reliably controlled. Each pond
has a storage capacity exceeding 0.5 million m3 with a dam at least 30 m high. T16 and T18 are
also hazardous because of moderate harmfulness and medium control reliability, both of which
correspond to an unsafe tailings pond. The other 16 tailings ponds are at low hazard because they are
well managed and remain less harmful. T4-T6 and T12 are the most risky tailings ponds in the entire
watershed because they are most hazardous and would have most impact should they fail (risk score
>200). For the D1 drinking water intake, the simulation predicts that T12, T15, and T17-T19 are more
hazardous, with the highest concentration of Cd exceeding four times the water quality standard
(grade III) and a minimum arrival time of 26 h over the shortest distance of 19 km. For the D6
drinking water intake, T10 and T20 could cause events where the concentrations of Pb and Cd reach
4 and 10 times the standard in less time. For Guanting Reservoir, the more hazardous tailings ponds 15281 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 are T1, T2, T4-T6, T8-T10, and T20; in particular, T4 leads to the highest concentrations of pollutants
(see Section 3.2). It would take somewhere between 89 and 107 h for contamination to arrive at the
reservoir, once tailings pond water is released into the Yang River. 4. Discussion Based on the aforementioned analysis, countermeasures are recommended concerning the most
affected areas, the most hazardous tailings ponds, and the most vulnerable receptors. For the entire
watershed, priority is given to the high risk sub-catchment areas (RR4, RR5, RR11, and RR16) in
terms of risk prevention and mitigation. Monitoring sections for early-warning systems are therefore
suggested for the outlets of Qingshui River, Liuchuan River, and Longyang River, and upstream
sections close to drinking water intakes (D1, D6, and Guanting Reservoir). Another measure would
be to construct multiple cascades of intercept dams along larger river branches, such as the Liuchuan
River, Longyang River, and mainstream, east branch, and middle branch of the Qingshui River. Preparation of an intercept dam involves site selection, storage of building materials (sand, stone, and
concrete), and storage of intercepting materials (sandbags, cement pipes, and filter boxes of sodium
sulphide, chlorinated lime, or active carbon). For major tailings ponds, the most important measure is
to maintain the pond/dam so that it remains safe. T16 and T18 urgently require reinforcement. Proper
risk management procedures and additional engineering buildings, cofferdams and accident pools,
are recommended for all major tailings ponds. Emergency response measures such as emergency
monitoring, pumping tailings fluid, and neutralizing pollutants, need to be planned and workable
especially in T4-T6 and T12. It is also strongly suggested that detention ponds should be constructed
(if the local topography is suitable) at inlets to the main river branches for ponds located close to
Guanting Reservoir (i.e., T1, T2, T4-T6, T8-T10, and T20). For major receptors, noting the longer
arrival time of pollutants, a sufficient response plan should be devised. Construction of a large
detention pond is recommended at the upstream reach of sensitive receptors, particularly for D1,
D6, and Guanting Reservoir. Corresponding storage of neutralizing chemicals and preparedness for
emergency monitoring are needed in the case of detention pond use. It should be noted however, that WTPRA may have overestimated the risk in certain areas of the
Guanting Reservoir Watershed, as indicated by the results of the uncertainty analysis. One reason
for this is that the relatively low quality of data collected has not been properly represented by either
the simulation process or risk analysis. It is quite possible that routine monitoring provided incorrect
estimates of the concentrations of soluble heavy metal ions (e.g., Pb of 0.2 mg/L and Cd of 0.05 mg/L)
and cyanide in tailings water. 4. Discussion Scarcity of daily hydrological data led to an annual format being used
instead. It is recommended that a more comprehensive data collection campaign be conducted in
the future. 5. Conclusions A WTPRA approach was proposed for risk analysis of mine tailings pond pollution at
watershed-scale. The approach modified a previous watershed-scale accidental pollution risk
assessment method and then customized it for mine tailings ponds. A set of common criteria was
constructed to rank the hazards from different mine tailings ponds and the vulnerability of receptors. A combination of a dam failure model and an instantaneous water quality model was utilized to
simulate the fate of chemically contaminated tailings fluid, and quantify the exposure probability. By embedding cascading effects and spatially cumulative effects, a comprehensive risk analysis
was achieved for mine tailings pond pollution at a watershed-scale. The resultant risk map for
the case study of the Guanting Reservoir basin indicated that the downstream sub-catchment and
two tributary basins (i.e., Qingshui River and Longyang River) are at a higher risk than the midstream
and upstream sub-catchments. The most hazardous mine tailings ponds are mainly concentrated in
the mountainous areas of Chongli and Xuanhua. Tailings ponds T4-T6 and T12 pose greatest risk due
to the higher hazard and more vulnerable receptors affected. The most vulnerable receptors involve
the water environment, in particular Guanting Reservoir and the drinking water intakes, D1 and
D6. Guanting Reservoir is exposed to the T1, T2, T4-T6, T8-T10, and T20 tailings ponds. Engineering 15282 Int. J. Environ. Res. Public Health 2015, 12, 15269–15284 (e.g., cofferdam, accident pool, interception dam, and detention pond) and management (monitoring,
reinforcement, and emergency planning) countermeasures are required to address the most affected
areas, the most hazardous tailings ponds, and the most vulnerable receptors. The analysis results
provide useful information for risk planning and daily management of mine tailings ponds in terms
of risk prevention and mitigation, incident-preparedness strategies, and early warning systems. Risk uncertainty in the WTPRA would be reduced by improving the quality of data collected. (e.g., cofferdam, accident pool, interception dam, and detention pond) and management (monitoring,
reinforcement, and emergency planning) countermeasures are required to address the most affected
areas, the most hazardous tailings ponds, and the most vulnerable receptors. The analysis results
provide useful information for risk planning and daily management of mine tailings ponds in terms
of risk prevention and mitigation, incident-preparedness strategies, and early warning systems. Risk uncertainty in the WTPRA would be reduced by improving the quality of data collected. Acknowledgments: This research was supported by the National Natural Science Foundation of China under
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China, 1994. 35. Singh, V.P. Dam Breach Modeling Technology;
Springer Science & Business Media:
Dordrecht,
The Netherlands, 1996. 36. Xu, Y.Y.; Qiao, Y.A. Several problems on dam breach numerical calculation. Yellow River 1983, 6, 30–33. (In Chinese) 37. Li, W. Hydraulics Reckoner, 2nd ed.; China Water and Power Press: Beijing, China, 2006. 37. Li, W. Hydraulics Reckoner, 2nd ed.; China Water and Power Press: Beijing, China, 2006. © 2015 by the authors; licensee MDPI, Basel, Switzerland. This article is an open
access article distributed under the terms and conditions of the Creative Commons by
Attribution (CC-BY) license (http://creativecommons.org/licenses/by/4.0/). 15284
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AFFIKSOIDLARNING TIL MORFEMIK-MORFOLOGIK TIZIMDA TUTGAN O'RNI
|
Zenodo (CERN European Organization for Nuclear Research)
| 2,022
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| 1,659
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Innovative Academy Research Support Center
UIF = 8.2 | SJIF = 6.051
www.in-academy.uz
EURASIAN JOURNAL OF SOCIAL SCIENCES,
PHILOSOPHY AND CULTURE
AFFIKSOIDLARNING TIL MORFEMIK-MORFOLOGIK
TIZIMDA TUTGAN O’RNI
Shoniyozova Gulshoda
Qarshi davlat universiteti
2-kurs magistranti
https://doi.org/10.5281/zenodo.7220226
ARTICLE INFO
ABSTRACT
Received:27th September 2022
Accepted: 10th October 2022
Online: 18th October 2022
Mazkur
maqolada
affiksoidlarning
til
morfemik-
morfologik tizimda tutgan o’rni haqida fikr-mulohazalar
bildirildi va misollar bilan tahlil qilindi.
KEY WORDS
affiksoid, fors-tojik, yevropa,
izohli
lug'at,
avto,
anti,
makro,gidro Innovative Academy Research Support Center
UIF = 8.2 | SJIF = 6.051
www.in-academy.uz
EURASIAN JOURNAL OF SOCIAL SCIENCES,
PHILOSOPHY AND CULTURE
AFFIKSOIDLARNING TIL MORFEMIK-MORFOLOGIK
TIZIMDA TUTGAN O’RNI
Shoniyozova Gulshoda
Qarshi davlat universiteti
2-kurs magistranti
https://doi.org/10.5281/zenodo.7220226
ARTICLE INFO
ABSTRACT
Received:27th September 2022
Accepted: 10th October 2022
Online: 18th October 2022
Mazkur
maqolada
affiksoidlarning
til
morfemik-
morfologik tizimda tutgan o’rni haqida fikr-mulohazalar
bildirildi va misollar bilan tahlil qilindi. KEY WORDS
affiksoid, fors-tojik, yevropa,
izohli
lug'at,
avto,
anti,
makro,gidro ABSTRACT
Mazkur
maqolada
affiksoidlarning
til
morfemik-
morfologik tizimda tutgan o’rni haqida fikr-mulohazalar
bildirildi va misollar bilan tahlil qilindi. Received:27th September 2022
Accepted: 10th October 2022
Online: 18th October 2022 ma‘noga ega: -chi soʻz yasovchi, -lar koʻplik,
-ga kelishik va h.k. Ammo ular bajaradigan
vazifasiga koʻra ikki turga boʻlinadi:
1. Soʻz yasovchi qoʻshimchalar. 2 Shakl yasovchi qoʻshimchalar Tilshunoslikda
oraliq
uchinchi
deb
nomlangan birliklar bor. Bunday birliklarga
yordamchi so‘zlar, affiksoidlar kiradi. Affiksoidlar
ham
morfemikaning,
ham
morfologiyaning ham birligi hisoblanadi. Affiksoidlar so‘zmi yoki qo‘shimchami
degan muhokamalar tilshunoslar o‘rtasida
juda ko‘p bo‘ldi. Keyinchalik ularning o‘ziga
alohida “affiksoid” deb nom berishdi. Affiksoidlar jahon tilshunosligida ham o‘z
o‘rniga ega. Boshqa tillarda ham bu
tushuncha mavjud. ma‘noga ega: -chi soʻz yasovchi, -lar koʻplik,
-ga kelishik va h.k. Ammo ular bajaradigan
vazifasiga koʻra ikki turga boʻlinadi: g
g
1. Soʻz yasovchi qoʻshimchalar. 2. Shakl yasovchi qoʻshimchalar. 2. Shakl yasovchi qoʻshimchalar. Yangi leksik ma‘noli soʻz hosil qiladigan
qoʻshimchalar soʻz yasovchi qoʻshimchalar
deyiladi:
ish+la,
ish+chi,
kurs+dosh. Soʻzning
grammatik
ma‘nosini
hosil
qiluvchi
qoʻshimchalar
shakl
(forma)
yasovchi qoʻshimchalar deyiladi: gullarga
soʻzidagi -lar koʻplik ma‘nosini, -ga kelishik
(joʻnalish)
ma‘nosini
hosil
qilayotgan
shakllardir. Ishlamayapti soʻzida -ma inkor,
-yap zamon, -ti shaxs -son ma‘nolarini
ifodalayapti. Soʻz yasovchi qoʻshimchalar
soʻzning material qismiga, leksik ma‘no
ifodalovchi
qismiga
kiradi. Shakl
yasovchilar esa soʻzning formal qismida
boʻladi: Masalan: terimchilarga soʻzida
terimchi-material qism, -larga formal qism
-soʻz shakli hisoblanadi. Ba‘zi
soʻzlar
qoʻshimcha
vazifasini
bajarib,
ko‘makchi
morfemaga
aylana
boshlagan boʻlsa ham, hali qoʻshimchaga
aylanib yetmagan boʻladi. Bular affiksoid
sanaladi. Masalan, Bu uyda toʻrt xona bor. Biz ishxonaga bordik. Misollardagi xona
elementi oʻrni bilan soʻz boʻlib ham,
qoʻshimcha boʻlib ham qoʻllangan. U bir
oʻrinda oʻzak morfema, boshqa oʻrinda
ko‘makchi morfema. Keyingi holda oʻrin
bildiradigan qoʻshimchaga juda yaqin. -Jon,
-xon, -oy elementlari ham xuddi shunday:
jon qizlar-qizlarjon, jonim otam-otajonim
kabi. Qoʻshimchalarning har biri oʻziga xos Affiksoidlarni ko‘makchi morfema ham,
yetakchi morfema ham deya olmaymiz,
ammo
morfemikada
o‘rganamiz. Affiksoidlarda ikkalsining ham ma’nosi Volume 2 Issue 11, October 2022 ISSN 2181-2888 Volume 2 Issue 11, October 2022 Volume 2 Issue 11, October 2022 Page 173 www.in-academy.uz -
so`z
yasashda
faqat
so`z
yasalish
vazifasini bajarish; -
so`z
yasashda
faqat
so`z
yasalish
vazifasini bajarish; -
so`z
yasashda
faqat
so`z
yasalish
vazifasini bajarish; saqlangan. So‘zlarni
morfemik
tahlil
qilishda affiksoilarga alohida e’tibor berish
kerkkki, ular tahlil muhim qismini tashkil
etadi. - belgilangan namuna bo'yicha muntazam
takror ishlab chiqarish va so'z yasash; - faqat bog'langan shaklda ko'paytirish. Morfologik
jihatdan
o‘rganish
affiksoidlarni
turli
tomonlarini
ochib
beradi. Chunki affiksoidli yasalmalar va
ularning
turkumi
masalasi
ham
muhimdir.Masalan, ot turkumi leksemasiga
iliq munosabat ifodalovchi -jon, -boy (-
voy), -xon, -oy affiksoidlari qo’shiladi:
buvijon, Olimjon, Ravshanboy, Komilaxon,
Тursunoy kabi. Bu affiksoidlar ayrim kishi
atoqli otlarida ularning doimiy tarkibiy
qismi sifatida qatnashadi: Oyxon, O‘g‘iloy Affiksoidlarni o‘rganish, ularni tadqiq
qilish jahon tilshunosligining ham muhim
vazifalaridandir. Bu vazifaning muhimligi
quyidagilarda ko‘rinadi. Affiksoidlarni o‘rganish, ularni tadqiq
qilish jahon tilshunosligining ham muhim
vazifalaridandir. Bu vazifaning muhimligi
quyidagilarda ko‘rinadi. - affiksoid morfemalarning so’z yasalish
tizimidagi o’rni va mavqeini aniqlash; - affiksoid morfemalarning tasnifi va
farqlanishi; www.in-academy.uz qaratilgan. Rus
tadqiqotchisi
Olga
Rusakova o‘z tadqiqotida to’rtta lug‘atdan
olingan prefiksoidlar va suffiksoidlarga
asoslangan: qaratilgan. Rus
tadqiqotchisi
Olga
Rusakova o‘z tadqiqotida to’rtta lug‘atdan
olingan prefiksoidlar va suffiksoidlarga
asoslangan: bajaradi, muntazam xarakterga ega, rus
tilidagi tegishli ildizlar bilan oʻzining
semantik va genetik aloqalarini saqlaydi. So‘z elementlarining affiksoid morfemalar
sinfiga o’tishi bir necha bosqichlarni o’z
ichiga oladi: 1) asl o’zak bilan irsiy va
(yoki) semantik aloqalarni u yoki bu
darajada saqlab qolgan holda ma noning
qisman
yo’qolishi;
2)
affikslarning
vazifalarini egallash; 3) ushbu elementlar
bilan
muntazam
hosilaviy
modellarni
shakllantirish;
4)
affikslarga
sinonim
sifatida
yangi
so’zlarni
yaratishda
qo’llanilishi; bajaradi, muntazam xarakterga ega, rus
tilidagi tegishli ildizlar bilan oʻzining
semantik va genetik aloqalarini saqlaydi. So‘z elementlarining affiksoid morfemalar
sinfiga o’tishi bir necha bosqichlarni o’z
ichiga oladi: 1) asl o’zak bilan irsiy va
(yoki) semantik aloqalarni u yoki bu
darajada saqlab qolgan holda ma noning
qisman
yo’qolishi;
2)
affikslarning
vazifalarini egallash; 3) ushbu elementlar
bilan
muntazam
hosilaviy
modellarni
shakllantirish;
4)
affikslarga
sinonim
sifatida
yangi
so’zlarni
yaratishda
qo’llanilishi; 1. "Rus tilining izohli lug'ati" S.I. Ozhegova,
N.Yu. Shvedova; 2. "Rus tilining katta tushuntirish lug‘ati"
S.A. Kuznetsov; 3. "Rus tilining teskari lug'ati" M.S. Sheveleva; 4. "Rus tilining mashhur lug‘ati" A.P. Guskova, B.V. Sotina. Affiksoidlar bo‘yicha tadqiqotlar quyidagi
vazilarni bajarishi kerak: affiksoidlarning morfemik va hosila
tizimidagi holatini ochib berish; - affiksoidlar va o’zaklar, old qo’shimchalar
va
qo’shimchalar,
qo’shimchalar
va
qo’shimchalar bir qator jihatlari bilan
o’xshash va farqlanadi: so’z yasashdagi
ahamiyati; haqiqiy qiymat mavjudligi bilan;
leksemaning
barcha
so’z
shakllarini
yasashda ishtirok eta olishi, morfemaning
bo’linmasligi (o’tmasligi) bilan; grammatik
ma'noning
mavjudligi
bilan;
so‘zdagi
funksiya bo‘yicha; Affikslarga
oid
tadqiqotlarni
ma’no-
mazmuniga
ko‘ra
guruhlarga
bo‘lish
mumkin. - derivatsiya asoslariga oid fundamental
ishlar (I. S. Uluxanov, E. S. Kubryakova, V. V. Lopatin, V. N. Nemchenko, V. V. Vinogradov
va boshqalar); ishlar (I. S. Uluxanov, E. S. Kubryakova, V. V. Lopatin, V. N. Nemchenko, V. V. Vinogradov
va boshqalar); - affiksoidlarni quyidagi qoidalar asosida
tasniflash mumkin: -
so‘zning
morfemik
tuzilishining
muammoli
elementlariga
bag‘ishlangan
asarlar
(A.N.Tixonov,
E.A.Zemskaya,
V.G.Vinokur, N.M.Shanskiy va boshqalar); Affiksoidlarni tildagi tizimlilik nuqtai
nazaridan, hosil qiluvchi o’zakli shakl va
semantik ichki valentlik qoliplarini hisobga
olgan holda o’rganish zarur. -
hosilalanishning
yo’nalishlari
va
xossalarini
o’rganish
(D.Kastovskiy,
G.Booyj, I.Kenesey, T.Leyshner K.Askoop,
X.L.Jr.Smit va boshqalar); -
hosilalanishning
yo’nalishlari
va
xossalarini
o’rganish
(D.Kastovskiy,
G.Booyj, I.Kenesey, T.Leyshner K.Askoop,
X.L.Jr.Smit va boshqalar); Tanlangan tamoyillar asosida ushbu
talablarga javob beradigan elementlar
guruhi aniqlanadi. O’zak morfema, affiksoid
va affikslar tahlili o’tkazilib, ularning
o’xshash va farqli tomonlari aniqlandi. - affiksoidlarning lug‘atini yaratish. - affiksoidlarning lug‘atini yaratish. Bu masalalar hali ham o’z yechimini
topmagan bo’lib, tadqiqot muammolarini
shakllantirishni
belgilab beradi: o’zak,
affiksoid va affikslarning korrelyatsiyasi va
farqlanishi;
affiksoidlarning
tasnifi,
ildizlarning affikslarga o‘tish bosqichlari va
boshqalar. Ushbu muammolarni hal qilish
tillarning so‘z yasalish tizimining dinamik
tabiati, uning ochiqligi va o‘zgaruvchanligi
bilan chambarchas bog‘liqligi haqidagi
g‘oyalarni
kengaytiradi
va
chuqurlashtiradi. Affikslarni tadqiqi qilish
orqali bir necha yangiliklar qilish mumkin. - bu elementlar eng yangi voqelikni
nomlash uchun zarur bo'lgan terminologik
va kundalik lug‘atni yaratishda qo'llaniladi,
shuning
uchun
ularni
o‘rganish
tilga
ekstralingvistik ta'sir kuchini aniqlash
imkonini beradi; Bu masalalar hali ham o’z yechimini
topmagan bo’lib, tadqiqot muammolarini
shakllantirishni
belgilab beradi: o’zak,
affiksoid va affikslarning korrelyatsiyasi va
farqlanishi;
affiksoidlarning
tasnifi,
ildizlarning affikslarga o‘tish bosqichlari va
boshqalar. Ushbu muammolarni hal qilish
tillarning so‘z yasalish tizimining dinamik
tabiati, uning ochiqligi va o‘zgaruvchanligi
bilan chambarchas bog‘liqligi haqidagi
g‘oyalarni
kengaytiradi
va
chuqurlashtiradi. Affikslarni tadqiqi qilish Affiksoidlarni
leksikologik
nuqtayi
nazardan
yondashib
o‘rganish
ham
mumkin. Chunki affiksoidlarni ma’nosi,
ularning qaysi qatlamga tegishli ekanligi,
kirib kelishining ekstralingvistik omillari
bemalol affiksoidlar haqidagi tadqiqotlar
ning predmeti bo‘lishi mumkin. Ko‘makchi yoki yetakchi morfema
affiksoidlarga
oʻtganda
quyidagi
oʻzgarishlar yuz beradi: - ma'noning qisman yo'qolishi, ko'p yoki
kamroq darajada asl ildiz bilan genetik va /
yoki semantik aloqalarni saqlab qolish; - bu elementlar eng yangi voqelikni
nomlash uchun zarur bo'lgan terminologik
va kundalik lug‘atni yaratishda qo'llaniladi,
shuning
uchun
ularni
o‘rganish
tilga
ekstralingvistik ta'sir kuchini aniqlash
imkonini beradi; - affikslarning so’z yasalish vazifasini
bajarish; -
mavjud
model
bo'yicha
ko'payish
muntazamligini oshirish; - affiks yoki iboralar orasida sinonimlarni
olish; - affiksoidlar, har biri oʻziga xos darajada,
oʻzak
va
affikslarning
konvergent
va
divergent xususiyatlariga ega, shuning
uchun
ularni
oʻrganish
intralingvistik
qonuniyatlar ishining oqibatlarini koʻrish
imkonini beradi; Keyinchalik elementlarning affikslarga
aylanishi quyidagi jarayonlar bilan birga
keladi: - asl yetakchi morfema bilan semantik va
genetik aloqalarni to'liq yo'qotish; Tadqiqot uchun material tanlashning
asosiy printsipi leksikografik manbalardagi
belgilar bo‘lib, yangi so‘zlar va ma’nolar
lug‘atlarining birliklariga alohida e’tibor - tilda faqat affiks vazifasini bajaradi, ya'ni. mustaqil so'zlar orasida omonimlarning
yo'qligi; ISSN 2181-2888 Page 174 www.in-academy.uz Affiksoidlarni
turli
asoslarga
ko‘ra
tasniflash amalga oshirilgan. Bir tomondan,
affiksoidlar o’zak morfemalarga o’xshash
bo’lsa, ikkinchi tomondan, ular bilan
farqlari
mavjud
bo’lib,
affiksoidlarni
alohida mustaqil morfemalar guruhiga
ajratib, ularni o’zak bilan farqlash imkonini
beradi. -
lingvistik
atamalar
lug‘atlari
(O.S. Axmanovaning
"Tilshunoslik
terminlari
lug'ati", V.N. Nemchenkoning "Morfemik
atamalarning
asosiy
tushunchalari:
qisqacha
ma'lumotnoma
lug‘ati",
"Morfemik atamalar tezaurusi. Lug‘at-
ma’lumotnoma". Tuzuvchi
M.S. Zaychenkova , X.A. Baranova va boshqalar). Affiksoidlar oʻziga xos sifat va xossalarga
ega boʻlgan morfemalaridir: ular real
maʼno tashuvchisi, soʻz yasalish vazifasini ISSN 2181-2888 Page 175 References: 1. Сенько Е. В. Префиксоиды как сложившаяся система современного русского
словообразования // Современные проблемы науки и образования, № 6, 2014. Владикавказ. 2. Аффиксоиды, полуаффиксы и аффиксы в научном стиле и литературной норме:
Сб.статей. // Под ред. Ознобихина H.A. - Владивосток: ДВНЦ АН СССР, 1980.-175 с. 2. Аффиксоиды, полуаффиксы и аффиксы в научном стиле и литературной норме:
Сб.статей. // Под ред. Ознобихина H.A. - Владивосток: ДВНЦ АН СССР, 1980.-175 с. 3 Григорян Э А Суффиксоиды в системе современного русского языка: автореф дис Сб.статей. // Под ред. Ознобихина H.A. Владивосток: ДВНЦ АН СССР, 1980. 175 с. 3. Григорян Э.А. Суффиксоиды в системе современного русского языка: автореф. дис. ... канд. филол. наук: 10.02.01 / Э.А.Григорян - М., 1981. -24 с. 3. Григорян Э.А. Суффиксоиды в системе современного русского языка: автореф. дис. ... канд. филол. наук: 10.02.01 / Э.А.Григорян - М., 1981. -24 с. 4. Лопатин В.В. Аффиксоид / В.В. Лопатин // Русский язык: Энциклопедия. 5. М.: Советская энциклопедия, 1979. - С. 26-27. 6. Лопатин В.В. Аффиксоид / В.В. Лопатин / Русский язык: Энциклопедия / Гл. ред. Ю.Н. Караулов. Большая Российская энциклопедия. - М.: Дрофа, 2008,-С. 721. 6. Лопатин В.В. Аффиксоид / В.В. Лопатин / Русский язык: Энциклопедия / Гл. ред. Ю.Н. Караулов. Большая Российская энциклопедия. - М.: Дрофа, 2008,-С. 721. Page 176
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https://openalex.org/W2041137295
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https://journals.plos.org/plosone/article/file?id=10.1371/journal.pone.0024456&type=printable
|
English
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SOD3 Decreases Ischemic Injury Derived Apoptosis through Phosphorylation of Erk1/2, Akt, and FoxO3a
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PloS one
| 2,011
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cc-by
| 6,443
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Abstract Competing Interests: The authors have declared that no competing interests exist. * E-mail: mikko.laukkanen@utu.fi Introduction increased growth factor expression [8] that partially elucidate the
SOD3-mediated survival effect. Since the increased proliferation
alone may not adequately explain the therapeutic effects caused by
SOD3 and, more importantly, since previous studies have shown
significantly decreased apoptosis after sod3 overexpression [7,9], we
focused in the present work on the mechanisms of SOD3-mediated
reduced apoptosis in cardiovascular ischemia. Tissue ischemia induces rapid generation of reactive oxygen
species (ROS) including superoxide (O2
2N), hydrogen peroxide
(H2O2), and their derivatives, which along with acute lack of nutrient
supply and disturbed cellular respiration cause severe damage to
tissues. Extracellular superoxide dismutase (SOD3) is an antiox-
idative enzyme that converts superoxide into hydrogen peroxide
thereby reducing oxidative cell stress [1,2]. The enzyme is secreted to
extracellular space where it reversibly binds to cell membrane at lipid
rafts and
therefore has a
local
impact on
inactivation
of
phosphotyrosine phosphatases PTP1B and DEP1 [3]. In prolonged
disease conditions, such as coronary artery disease, sod3 expression is
decreased in a time-dependent manner [4–6] suggesting that the lack
of the enzyme could deteriorate the condition. This is further
supported by the data showing that sod3 overexpression has
beneficial effects on the healing of cardiovascular injuries [7–10]. We have recently shown SOD3 to have a pro-proliferative effect in
ischemic skeletal muscle, which is caused by SOD3-derived
activation of the Ras-Erk1/2 mitogenic pathway and consequent Based on our data, sod3 overexpression caused activation of
Erk1/2 and Akt pathways involving cytoplasmic entry of FoxO3,
increased miR-21 production, and decreased BCL-2 interacting
mediator of cell death (bim) mRNA synthesis. The study suggests
an important role for SOD3 in regulation of cellular signaling
networks and a central impact on reduced injury development and
apoptosis. Lilja E. Laatikainen1, Mariarosaria Incoronato2, Maria Domenica Castellone3, Juha P. Laurila1, Massimo
Santoro3, Mikko O. Laukkanen1,2* 1 University of Turku, Medicity Research Laboratory, Turku, Finland, 2 Fondazione IRCCS SDN, Naples, Italy, 3 Institute of Experimental Endocrinology and Oncology (CNR),
c/o Department of Biology and Cellular and Molecular Pathology, University of Naples Federico II, Naples, Italy SOD3 Decreases Ischemic Injury Derived Apoptosis
through Phosphorylation of Erk1/2, Akt, and FoxO3a Lilja E. Laatikainen1, Mariarosaria Incoronato2, Maria Domenica Castellone3, Juha P. Laurila1, Massimo
Santoro3, Mikko O. Laukkanen1,2* Abstract Background: Extracellular superoxide dismutase (SOD3), which dismutates superoxide anion to hydrogen peroxide, has
been shown to reduce the free radical stress derived apoptosis in tissue injuries. Since both superoxide anion and hydrogen
peroxide have a marked impact on signal transduction pathways and could potentially explain a number of apoptosis and
survival -related phenomena in different pathological conditions, we clarified the impact of SOD3 on Akt and Erk1/2 cell
survival pathways in rat hind limb injury model. Methodology and Principal Findings: Based on our data, the hind limb ischemic rats treated with virally delivered sod3
have milder injury and less apoptosis than control animals that could be due to parallel activation of pro-proliferative and
anti-apoptotic Erk1/2 and Akt pathways. The common downstream factor of both signaling pathways, the apoptosis related
forkhead box protein O3a (FoxO3a), was phosphorylated and translocated to the cytoplasm in sod3 treated tissues and cell
line. Additionally, we obtained increased mRNA production of elk-1, ets-1, and microRNA 21 (miR-21), whereas synthesis of
bim mRNA was decreased in sod3 overexpressing tissues. We further showed that overexpression of sod3 modulated redox
related gene expression by downregulating nox2 and inos when compared to injured control animals. Conclusions and Significance: The study shows the complexity of SOD3-derived effects on tissue injury recovery that are
not limited to the reduction of superoxide anion caused cellular stress but highlights the impact of SOD3 related signal
transduction on tissue functions and suggests an important role for SOD3 in attenuating cell stress effects in different
pathological conditions. , Incoronato M, Castellone MD, Laurila JP, Santoro M, et al. (2011) SOD3 Decreases Ischemic Injury Derived Apoptosis through
2, Akt, and FoxO3a. PLoS ONE 6(8): e24456. doi:10.1371/journal.pone.0024456 Editor: Shawn B. Bratton, The University of Texas at Austin, United States of America Editor: Shawn B. Bratton, The University of Texas at Austin, United States of America Received May 16, 2011; Accepted August 10, 2011; Published August 31, 2011 Copyright: 2011 Laatikainen 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 supported by Fondazione SDN (decision number RC2010-M-0001, http://www.sdn-napoli.it/) and Academy of Finland (decision number
141136, http://www.aka.fi/en-GB/A/Centres-of-Excellence-/). The funders had no role in study design, data collection and analysis, decision to publish, or
preparation of the manuscript. Rat hind limb ischemia model Acute ischemic hind limb injury was induced in male Fischer
344 rats (5–6 weeks, 86–115g) by surgical ligation of distal femoral PLoS ONE | www.ploson August 2011 | Volume 6 | Issue 8 | e24456 PLoS ONE | www.plosone.org 1 SOD3-Regulated Apoptosis artery, lateral circumflex femoral artery and proximal femoral
artery. The procedure was performed under anesthesia by single
intraperitoneal injection of fentanyl fluanisone (370 mg/100 g;
Janssen
Pharmaceutica,
Beerse,
Belgium),
and
midazolame
(180 mg/100 g; Roche, Basel, Switzerland). Adequacy of the
anesthesia was determined based on the reactions of the animal
during the surgery. Animals were recovering from the anesthesia
in a separate pre-warmed environment. Immediately after ligation
adenoviral vectors carrying rabbit sod3 or LacZ control genes, both
0.56109 pfu in 50 ml PBS, were injected at 5 sites into the hind
limb muscles before suturing the wound. Uninjured muscle was
used as a control. The animals were followed for 3, 7 and 10 days
(4 animals in normal control, LacZ and SOD3 groups each). All
animal procedures were approved by the Southern Finland
Regional Experimental Animal Committee (License STH350A),
and done according to the European Commission and University
of Turku guidelines. Immunohistochemistry The thigh muscles were cut crosswise, snap frozen in 2-
methylbutane and embedded in Tissue-Tek Optimal Cutting
Temperature compound (Sakura Finetek, Torrance, CA, USA). Ten micrometer cryosections were fixed in acetone and stained with
hematoxylin/eosin (Sigma, St. Louis, MI, USA) according to the
standard protocol, and photographed digitally with Zeiss Axiovert
200 M microscope and the AxioVision program (Carl Zeiss,
Oberkochen, Germany). The injured area as percentage of the whole
section was determined from 7 sections per group independently by
three investigators using inflammatory cell invasion, increased
connective tissue formation, and fragmentation of the muscle fibers
as criteria for injury analysis. The injured muscle tissue area was
calculated by determining the area (%) of the tissue section containing
inflammatory cells or morphological damages as compared to
inflammatory cell free tissue or tissue that did not show muscle fiber
fragmentation of connective tissue. The final injured region was
calculated from triplicate analyses (the analysis of three investigators). SOD3 attenuates ischemic injury Previously SOD3 has been shown to have growth regulatory
[8], anti-inflammatory [11], anti-oxidative [2], and anti-apoptotic
[7,9] characteristics. Since the latter is not well characterized, in
the present study we focused on sod3 overexpression-mediated
cellular signaling events leading to decreased apoptotic signaling in
ischemic tissue injury. Real-time quantitative PCR q
Total RNA was extracted from pooled muscle samples of each
animal group with Tri-reagent (Sigma). Complementary DNA
synthesis was done with Revert-Aid M-MuLV (Fermentas,
Burlington, Canada) and the quantitative PCR with SYBR Green
master mix reagent (Applied Biosystems, Foster City, CA, USA). Primers were: rat beta-actin forward 59-TCGTGCGTGACAT-
TAAGGAG-39 and reverse 59-GTCAGGCAGCTCGTAGC-
TCT-39; endogenous rat sod3 forward 59-GAC CTG GAG ATC
TGG ATG GA-39 and reverse 59-GTG GTT GGA GGT GTT
CTG CT-39; exogenous rabbit sod3 forward 59-GTT GCG TGA
GCG GAA AGA TG-39 and reverse GTG AGC GCC TGC
CAG ATC TC; nox2 forward 59-TTG TTG CAG GAG TGC
TCA TC-39 and reverse 59-CTG CCA GCA GGT AGA TCA
CA-39; inos forward 59-GGT GCA GAA GCA CAA AGT CA-39
and reverse 59-GAA CTG GGG GAA ACC ATT TT-39; elk-1
forward 59-AGC GGC CAG AAG TTT GTC TA-39 and reverse
59-CTG TCA TTC CTG CAC CCT TT-39; ets-1 forward 59-
GAA ATG ATG TCC CAG GCA CT-39 and reverse 59-CTT
TAC CCA GGG CAC ACA GT-39; bim forward 59-ATC TCA
GTG CAA TGG CTT CCA-39 and reverse 59-GCT CCT GTG
CGA TCC GTA TC-39; miR21 and RNU5 miScript Primer
Assays (Qiagen, Hilden, Germany) were used to study the
amplification and to normalize the miR-21 expression. Western blot analysis Pooled rat muscle tissue from each group was homogenized
with a Retsch MM400 mixer mill using metal beads (Retsch
GmbH, Haan, Germany) in lysis buffer (50 mmol/l HEPES
pH 7.5, 150 mmol/l NaCl, 10% glycerol, 1% Triton X-100,
1 mmol/l MgCl, 10 mmol/l NaF, 10 mmol/l sodium pyrophos-
phate, 1 mmol/l Na3VO4, 10 mmol/l approtinin, 10 mg/ml
leupeptin) (Sigma). Antibodies for cleaved caspase-3 (Asp175), p-
Akt (Ser473), Akt, p-Erk1/2 (Trh202/Tyr204), Erk1/2, p-FoxO3a
(Ser318/321), p-FoxO3a (Thr32), tubulin (Cell signaling, Danvers,
MA, USA), and SP-1 (Santa Cruz, Santa Cruz CA, USA) were
used to detect the designated proteins from the blotted samples. To justify that the in vivo model used in the study is applicable
for the present aims we first determined the relative sizes of injured
tissue areas from the histological cryo sections. We observed
significantly smaller injury regions in sod3-treated animals as
compared to control rats on 3-day (53% lower value, p,0.05) and
on 7-day (40% lower value, p,0.05) time points (Figure 1A-C). To
further characterize the effect of SOD3 and to verify whether the
enzyme has an impact on modulating apoptosis in our model, we
performed a cleaved caspase-3 Western blot that showed increased
apoptotic activity in lacz control animals as compared to sod3-
treated rats at 3-day and at 7-day time points (Figure 1D). Statistical analyses The experiments were repeated at least three times. All results
are
expressed
as
mean
6SD. The
p-values
(* = p,0.05,
** = p,0.01, *** = p,0.001) were determined by one-way Anova
with Tukey-Kramer multiple comparison post-analysis test. Cell culture and cell fractionation The left Y-axis refers to relative endogenous sod3 and the right Y-axis relative transgene sod3 expression. (F) Ischemic injury caused significantly
(p,0.001) increased nox2 mRNA expression as compared to normal uninjured control animals. Sod3 overexpression attenuated the increase causing
a significant (p,0.01 (**)) reduction of nox2 expression as compared to 3-day LacZ control animals. (G) Injury-related increased (p,0.001 (***)) inos
expression was significantly (p,0.001 (***) decreased by sod3 expressing tissues. doi:10.1371/journal.pone.0024456.g001 Figure 1. SOD3 overexpression affects tissue injury development and modifies redox enzyme expression. (A) Sod3 transduced
ischemic muscle tissues had significantly lower injury score at 3-day (p,0.05 (*)) and at 7-day (p,0.05 (*)) time points. White bars refer to lacz control
animals and black bars to sod3 transfected rats. (B) Corresponding hematoxylin/eosin staining showed increased fibrosis in LacZ control animals in
different time points as compared to SOD3 treated muscles. (C) The edges of the injured region were clearly visible. The left panel shows
hematoxylin/eosin staining of normal uninjured (*) tissue region and injured fragmented (**) muscle section. In the right panel there is an
inflammatory cell free region (#) and heavily positive CD68 inflammation muscle area (##). Since the fragmented and inflammatory cell positive
regions were partially different the injured muscle tissue area was analyzed using both parameters separately. (D) Western blot with cleaved caspase-
3 (17 kDa and 19 kDa) antibody indicated increased apoptosis at 3-day and 7-day time points in LacZ control animals as compared to sod3 treated
animals. (E) Rat endogenous sod3 mRNA expression (open bars) was downregulated at 7-day and 10-day time points (p.0.05 (*) and p,0.001 (***),
respectively). The overexpression of transgene sod3 (line) was highest 3 days after the gene transfer and reduced to background levels by the day 10. The left Y-axis refers to relative endogenous sod3 and the right Y-axis relative transgene sod3 expression. (F) Ischemic injury caused significantly
(p,0.001) increased nox2 mRNA expression as compared to normal uninjured control animals. Sod3 overexpression attenuated the increase causing
a significant (p,0.01 (**)) reduction of nox2 expression as compared to 3-day LacZ control animals. (G) Injury-related increased (p,0.001 (***)) inos
expression was significantly (p,0.001 (***) decreased by sod3 expressing tissues. doi:10.1371/journal.pone.0024456.g001 production (Figure 1F–G) could be due to macrophage infiltration
into the ischemic injury region [14]. However, the expression of
both enzymes was significantly (p,0.01 and p,0.001, respective-
ly) attenuated by sod3 overexpression as compared to lacz control
muscles. Cell culture and cell fractionation Since it has been reported that the cardiovascular damages are
characterized by reduced sod3 expression [4–6] we analyzed the
expression of endogenous rat sod3 mRNA in ischemic skeletal
muscle from the control animals at different time points. At 3-day
time point there was an initial increase in sod3 mRNA synthesis
that was followed by 2-fold (p,0.05) reduction at 7-day time point
and 10-fold reduction (p,0.001) at 10-day time point as compared
to normal uninjured muscle (Figure 1E). The down-regulation of
endogenous sod3 expression in injured tissues was paralleled by
increased levels of pro-inflammatory molecules, such as NADPH
oxidase 2 (nox2) and inducible nitric oxide synthase (inos) that, as
previously shown [9,12,13] can be modulated by sod3 overexpres-
sion. The injury-related marked increase in nox2 and inos mRNA NIH 3T3 cells (ATCC, Teddington, UK) were grown in
DMEM 10% CS (Sigma) with penicillin-streptomycin (Sigma). Empty pcDNA3 control vector or human SOD3 cDNA (a kind gift
from professor Stefan L. Marklund, University of Umea˚, Sweden)
subcloned into the pcDNA3 plasmid, were stably transfected using
Fugene 6 (Roche, Mannheim, Germany). The cells were grown in
the
presence
of
geneticin
(Sigma)
and
prepared
for
cell
fractionation. Nuclear and cytoplasmic fractions of the cells were
isolated using NE-PER Cell Fractionation kit (Thermo Scientific,
Waltham, MA, USA). The cells were lysed with the NE-PER
nuclear and cytoplasmic extraction reagents. The fractionated
proteins were loaded on SDS gels according to the standard
procedures. PLoS ONE | www.plosone.org PLoS ONE | www.plosone.org August 2011 | Volume 6 | Issue 8 | e24456 August 2011 | Volume 6 | Issue 8 | e24456 2 SOD3-Regulated Apoptosis Figure 1. SOD3 overexpression affects tissue injury development and modifies redox enzyme expression. (A) Sod3 transduced
ischemic muscle tissues had significantly lower injury score at 3-day (p,0.05 (*)) and at 7-day (p,0.05 (*)) time points. White bars refer to lacz control
animals and black bars to sod3 transfected rats. (B) Corresponding hematoxylin/eosin staining showed increased fibrosis in LacZ control animals in
different time points as compared to SOD3 treated muscles. (C) The edges of the injured region were clearly visible. The left panel shows
hematoxylin/eosin staining of normal uninjured (*) tissue region and injured fragmented (**) muscle section. In the right panel there is an
inflammatory cell free region (#) and heavily positive CD68 inflammation muscle area (##). Cell culture and cell fractionation These observations from animal tissues indicate that
SOD3 overexpression has a significant impact on tissue injury
related gene expression. modulate the activation of Ras-Erk1/2 signaling pathway [8],
which is a major regulator of cell growth and survival, we verified
the level of Erk1/2 phosphorylation in injured control and sod3
treated animals as compared to uninjured tissues. Figure 2A shows
that the injury itself is causing an increase of phospho-Erk
signaling, and that this effect is significantly up-regulated by Sod3
treatment at 3-day (p,0.001), 7-day (p,0.05), and 10-day
(p,0.001) time points. We further investigated the effect of
SOD3 in modulating the
activity of Erk1/2 pathway
by
monitoring its downstream target transcription factors Elk-1 and
Ets-1 [15,16]. Both elk-1 and ets-1 expressions were significantly
(p,0.01 and p,0.001, respectively) increased in sod3 animals as
compared to LacZ controls (Figure 2B–C). Interestingly, the injury
itself had a minor effect on the synthesis of these two transcription Cell culture and cell fractionation Since the fragmented and inflammatory cell positive
regions were partially different the injured muscle tissue area was analyzed using both parameters separately. (D) Western blot with cleaved caspase-
3 (17 kDa and 19 kDa) antibody indicated increased apoptosis at 3-day and 7-day time points in LacZ control animals as compared to sod3 treated
animals. (E) Rat endogenous sod3 mRNA expression (open bars) was downregulated at 7-day and 10-day time points (p.0.05 (*) and p,0.001 (***),
respectively). The overexpression of transgene sod3 (line) was highest 3 days after the gene transfer and reduced to background levels by the day 10. The left Y-axis refers to relative endogenous sod3 and the right Y-axis relative transgene sod3 expression. (F) Ischemic injury caused significantly
(p,0.001) increased nox2 mRNA expression as compared to normal uninjured control animals. Sod3 overexpression attenuated the increase causing
a significant (p,0.01 (**)) reduction of nox2 expression as compared to 3-day LacZ control animals. (G) Injury-related increased (p,0.001 (***)) inos
expression was significantly (p,0.001 (***) decreased by sod3 expressing tissues. doi:10.1371/journal.pone.0024456.g001 Figure 1. SOD3 overexpression affects tissue injury development and modifies redox enzyme ex Figure 1. SOD3 overexpression affects tissue injury development and modifies redox enzyme expression. (A) Sod3 transduced
ischemic muscle tissues had significantly lower injury score at 3-day (p,0.05 (*)) and at 7-day (p,0.05 (*)) time points. White bars refer to lacz control
animals and black bars to sod3 transfected rats. (B) Corresponding hematoxylin/eosin staining showed increased fibrosis in LacZ control animals in
different time points as compared to SOD3 treated muscles. (C) The edges of the injured region were clearly visible. The left panel shows
hematoxylin/eosin staining of normal uninjured (*) tissue region and injured fragmented (**) muscle section. In the right panel there is an
inflammatory cell free region (#) and heavily positive CD68 inflammation muscle area (##). Since the fragmented and inflammatory cell positive
regions were partially different the injured muscle tissue area was analyzed using both parameters separately. (D) Western blot with cleaved caspase-
3 (17 kDa and 19 kDa) antibody indicated increased apoptosis at 3-day and 7-day time points in LacZ control animals as compared to sod3 treated
animals. (E) Rat endogenous sod3 mRNA expression (open bars) was downregulated at 7-day and 10-day time points (p.0.05 (*) and p,0.001 (***),
respectively). The overexpression of transgene sod3 (line) was highest 3 days after the gene transfer and reduced to background levels by the day 10. PLoS ONE | www.plosone.org SOD3-mediated anti-apoptotic signaling Based on the current data the significantly increased nox2 and
inos mRNA expressions together with decreased sod3 expression at
later time points (Figure 1E–G) suggest a marked imbalance in
redox enzyme expression levels in developing tissue injury. Previously, we have shown that sod3 gene transfer to ischemic
hind limb injury is able to increase the active SOD3 concentration
in the tissue by 2-fold [8], which together with the remarkably long
half-life of the enzyme in the muscle tissue, up to 100 hours [25],
would be able correct the decrease of the endogenous enzyme
expression causing the therapeutic response. The current analysis
of the effect of sod3 overexpression on the apoptosis (Figure 1D)
was in line with previous reports demonstrating the anti-apoptotic
role of the enzyme [7,9] further suggesting SOD3-derived
response on cell survival signaling. It has been shown that co-operative action of Akt and Ras-
Erk1/2 signaling cascades mediate anti-apoptotic and pro-
proliferative signals by e.g. causing FoxO3a phosphorylation,
inactivation and consequent cytoplasmic entry [17,18] that in
ischemic tissues has been reported to result in reduction of
transcriptional effect on FoxO3a target genes [19]. We therefore
investigated whether SOD3, by modulating Erk1/2 and Akt
activation, could also affect FoxO3a phoshorylation status. Based
on our current data SOD3 causes increased FoxO3a phosphor-
ylation at 3-day time point (Figure 3A). Since phosphorylation
determines the nuclear/cytoplasmic location of FoxO3a activity,
we further characterized the SOD3-derived effect on FoxO3a
localization in NIH 3T3 cells. The cells were stably transfected
with SOD3 or control eukaryotic expression vector, fractionated
to
separate
nuclear
and
cytoplasmic
compartments,
and
analyzed by Western blotting. According to our results sod3
transfected cells had markedly (p,0.05) more phosphorylated
total FoxO3a, and interestingly the amount of phosphorylated
protein was significantly (p,0.001) enriched in the cytosolic
compartment as compared to control vector transfected cells
(Figure 3B). To determine the effect of SOD3 on the total
amount of FoxO3a, we then performed a real time PCR analysis
and found that SOD3 expressing cells (Figure 3C) had similar
levels of foxo3a mRNA as compared to control cells (Figure 3D),
suggesting that SOD3 is mainly influencing the phosphorylation
levels and consequent cytoplasmic entry of FoxO3a, but not the
total protein amount. Among the anti-apoptotic and pro-survival pathways that are
activated after ischemic injuries, the PI3K-Akt and Erk1/2 routes
are considered to be the most important. SOD3-mediated anti-apoptotic signaling The numerous substrates
of these kinases include several apoptosis-related factors such as
Foxo3a and caspases, which are affected by Akt and/or Erk
phosphorylation [17,18,26–28]. The interplay between SOD3 and
Akt has been confirmed previously in an in vitro experiment in
which sod3 transfection increased phospho-Akt levels in cells but
not at late time point in rat tissues [8]. In the present work, we
found notably increased level of sod3 promoted Akt phosphory-
lation at early phase of the injury that, however, was lost at later
phase unlike Erk1/2, suggesting milder SOD3-related stimulation
to PI3K-Akt than Erk1/2 signaling. To further strengthen the role
of Erk1/2 in cell survival we showed upregulation of ets-1 and elk-1
transcription factors in sod3 treated animals as compared to
controls (Figure 2B–C), which let us to speculate that the earlier
robust Erk1/2 activation induced by SOD3 continuously boosts
the ets-1 and elk-1 expression, lifting it to a significantly higher level
than in the control animals. Since it was recently shown that in the nucleus FoxO3a
suppresses the anti-apoptotic miR-21 transcription [20,21] we next
analyzed the microRNA (miRNA) expression. Based on the
quantitative real time-PCR data, the expression of mir-21 in sod3
overexpressing ischemic tissues at 3-day time point was signifi-
cantly (p,0.001) increased as compared to uninjured control
muscles. Even though the injury itself had an activating effect on
miRNA expression (p,0.05) sod3 was able to significantly
(p,0.01) further increase it as compared to LacZ injured control
tissues (Figure 3E). To characterize another FoxO3a downstream
target we then checked the mRNA expression of pro-apoptotic
bim, which is known to be downregulated by coordinated action of
Akt and Erk1/2 [22–24]. As shown in figure 3F, the injury-related
increased (p,0.01) bim mRNA expression was significantly
(p,0.01) decreased in sod3 tissues thereby indicating that the
SOD3-derived activation of Akt in coordination with Erk1/2
signal transduction routes may represent a key mechanism to
reduce the apoptotic response in tissues. One of the direct Erk1/2 and Akt target proteins, the ROS
responsive transcription factor FoxO3a, regulates the expression of
many cell cycle arrest- and apoptosis-related genes [29–32] and is
also known to protect normal quiescent cells from oxidative stress by
regulating several antioxidant genes e.g. peroxiredoxins, glutathione
peroxidases, and superoxide dismutases including SOD3 [33–35]. Erk1/2 pathway is the principal pathway in SOD3-
mediated tissue recovery To explain the reduced injury development and reduced
apoptosis in our hind limb injury model we next studied the cell
survival signaling pathways that become activated in sod3-treated
tissues. Since we have previously proved that sod3 is able to PLoS ONE | www.plosone.org August 2011 | Volume 6 | Issue 8 | e24456 3 SOD3-Regulated Apoptosis SOD3-Regulated Apoptosis Figure 2. The effect of SOD3 on Erk1/2 signaling pathway. (A) Western blot analysis showed increased Erk1/2 phosphorylation in sod3
transduced muscles at 3-day, 7-day, and 10-day time points (p,0.001 (***), p,0.05 (*), and p,0.001 (***), respectively) as compared to
corresponding lacz controls. The samples were normalized with total Erk1/2 antibody. Erk1/2 activation was supported by significant up-regulation of
its downstream transcription factors (B) elk-1 (p,0.01 (**)) and (C) ets-1 (p,0.001 (***)), measured by mRNA synthesis in sod3 animals as compared to
PLoS ONE | www.plosone.org
4
August 2011 | Volume 6 | Issue 8 | e24456 Figure 2. The effect of SOD3 on Erk1/2 signaling pathway. (A) Western blot analysis showed increased Erk1/2 phosphorylation in sod3
transduced muscles at 3-day, 7-day, and 10-day time points (p,0.001 (***), p,0.05 (*), and p,0.001 (***), respectively) as compared to
corresponding lacz controls. The samples were normalized with total Erk1/2 antibody. Erk1/2 activation was supported by significant up-regulation of
its downstream transcription factors (B) elk-1 (p,0.01 (**)) and (C) ets-1 (p,0.001 (***)), measured by mRNA synthesis in sod3 animals as compared to PLoS ONE | www.plosone.org August 2011 | Volume 6 | Issue 8 | e24456 4 SOD3-Regulated Apoptosis SOD3-Regulated Apoptosis LacZ control tissues. The injury itself moderately increased production of both molecules as compared to normal uninjured tissue control. However,
the significant difference between normal control tissue and LacZ control (p,0.05 (*)) was achieved only in ets-1 expression. (D) Sod3 transduced
muscles have increased levels of Akt phosphorylation only at 3-day time point (p,0.001 (***)). The samples were normalized with total Akt antibody. doi:10.1371/journal.pone.0024456.g002 Discussion factors, suggesting that sod3 overexpression plays an important role
in the prolonged activation of mitogenic signal transduction routes
controlling cell proliferation and tissue recovery. We then focused
on the effect of SOD3 on the regulation of PI3K/Akt anti-
apoptotic pathway to determine the reduced caspase-3 cleavage
observed in sod3 treated animals by investigating phosphorylation
of Akt in injured tissues. Our results showed that sod3 stimulated
phosphorylation of Akt was visible only at early time point (3 days
after the injury) (Figure 2D), whereas the simultaneous effect on
Erk1/2
phosphorylation
was
long-lasting
(up
to
10
days)
(Figure 2A). The skeletal muscle ischemia induces production of ROS by the
disrupted metabolism and by the infiltrating inflammatory cells,
such as macrophages. The physiological function of SOD3 is to
convert superoxide anion to hydrogen peroxide on the extracel-
lular side of the cell membrane [1,2] relieving the free radical
superoxide anion derived damages in the tissue environment. However, this reaction leading to reduced oxidative stress does not
explain per se the decreased apoptosis seen in SOD3 overexpressing
tissues. Therefore, our purpose in the current work was to clarify
the PI3K-Akt and Erk1/2 response caused by SOD3 in apoptosis
model. SOD3-mediated anti-apoptotic signaling We discovered increased FoxO3a phosphorylation in sod3 treated
animals at day 3 after the ischemic injury, which was then decreased
to the level of the control animals (Figure 3A). The effect of sod3
overexpression on FoxO3a phosphorylation and cytoplasmic entry
was confirmed in sod3 stable NIH3T3 cell line that demonstrated
increased phosphorylation of the transcription factor while the total
amount of foxo3a remained unaffected (Figure 3B–D). PLoS ONE | www.plosone.org August 2011 | Volume 6 | Issue 8 | e24456 August 2011 | Volume 6 | Issue 8 | e24456 5 SOD3-Regulated Apoptosis Figure 3. SOD3-mediated anti-apoptotic signaling. (A) The phosphorylation of FoxO3a (Thr32) in sod3 treated muscle tissues was strongly up-
regulated at 3-day time point, had non-significant tendency at 7-day time point and showed no difference to LacZ control tissues at 10-day time
point. The blot was normalized with tubulin antibody. (B) In vitro cell fractionation assay showed increased phosphorylation of FoxO3a in SOD3 stably
transfected NIH 3T3 cells. The amount of phosphorylated protein was significantly (p,0.05 (*)) higher in the total cell extract and was enriched in the
cytoplasmic fractions (p,0.001 (***)) of cells transfected with SOD3 when compared to control cells. Normalization was performed by using a-SP1
antibody for the nuclear fractions and a-tubulin antibody for the cytoplasmic fraction. For statistical analysis cytosol, nucleus, and total protein
compartments were compared between control and SOD3 samples. (C–D) To determine the effect of SOD3 on the amount of total FoxO3a, we
measured in NIH3T3 cells stably transfected with SOD3 (panel C) the mRNA synthesis of foxo3a (panel D) that showed no difference to control cells. (E) To verify whether FoxO3a targets were also regulated by SOD3 we then performed expression analysis for mir-21 in rat tissues showing
significantly (p,0.05 (*)) increased miRNA synthesis caused by the ischemic injury that was further induced by sod3 overexpression (p,0.01 (**)) as
compared to LacZ control animals). (F) Similarly, also the expression of bim, which is another target of FoxO3a, was found to be modulated by SOD3,
as its expression was significantly stimulated (p,0.01 (**)) due to ischemia and then decreased by sod3 overexpression (p,0.01 (**)). doi:10.1371/journal.pone.0024456.g003
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reduces neointima formation in balloon-denuded rabbit aorta. Circulation 106:
1999–2003. 18. Brunet A, Bonni A, Zigmond MJ, Lin MZ, Juo P, et al. (1999) Akt promotes cell
survival by phosphorylating and inhibiting a Forkhead transcription factor. Cell
96: 857–868. 6. Leite PF, Danilovic A, Moriel P, Dantas K, Marklund S, et al. (2003) Sustained
decrease in superoxide dismutase activity underlies constrictive remodeling after
balloon injury in rabbits. Arterioscler Thromb Vasc Biol 23: 2197–2202. 19. Hu Y, Wang X, Zeng L, Cai DY, Sabapathy K, et al. (2005) ERK
phosphorylates p66shcA on Ser36 and subsequently regulates p27kip1
expression via the Akt-FOXO3a pathway: implication of p27kip1 in cell
response to oxidative stress. Mol Biol Cell 16: 3705–3718. 7. Laukkanen MO, Leppanen P, Turunen P, Tuomisto T, Naarala J, et al. (2001)
EC-SOD gene therapy reduces paracetamol-induced liver damage in mice. J Gene Med 3: 321–325. 20. SOD3-Regulated Apoptosis Figure 4. Schematic representation of the SOD3 action in
promoting the cell survival in injured tissues. Temporal
simultaneous activation of Erk1/2 and Akt leads to phosphorylation
and consequent cytoplasmic translocation of FoxO3a, which then
increases miR-21 production and downregulates the bim mRNA
expression. Erk1/2 activation further stimulates the cell survival
signaling by increasing cell proliferation related transcription factor
production. doi:10 1371/journal pone 0024456 g004 suppress its expression [21]. In line with this, we demonstrated
increased mir-21 expression in vivo in sod3-transduced tissues
(Figure 3E). Next, to confirm that sod3 is affecting FoxO3a
function we monitored the inhibition of bim, another common
downstream target of Akt and Erk1/2 pathways. BH3-only
proteins, such as BIM, are cell death initiators that are activated
in cellular stress conditions including response to DNA damages,
decreased metabolism, growth factor withdrawal, and hypoxia. Based
on
our
results
the
significantly
(p,0.01)
decreased
expression
of
bim
mRNA
production
correlated
with
sod3
overexpression in muscles suggesting that SOD3-derived increased
FoxO3a phosphorylation at 3-day time point might be able to
attenuate the initiation of the apoptotic process by BH3-only
protein BIM (Figure 3F). In summary, we have elucidated the signaling events by which
the extracellular sod3 promotes cell survival and tissue recovery in
skeletal muscle ischemia model (Figure 4). The overexpression of
sod3 correlated with simultaneous activation of Akt and Erk1/2,
consequent FoxO3a cytoplasmic entry, anti-apoptotic mir-21
upregulation and pro-apoptotic bim mRNA downregulation. On
the
tissue
level,
sod3
overexpression
attenuated
the
injury
development and decreased apoptosis. Therefore, the present
data support our previous findings connecting the Erk1/2
mitogenic signaling cascade and downstream effectors to sod3
expression and cell survival effects. Author Contributions doi:10.1371/journal.pone.0024456.g004 Conceived and designed the experiments: MDC MS MOL. Performed the
experiments: LEL MI MDC JPL MOL. Analyzed the data: LEL JPL
MOL. Contributed reagents/materials/analysis tools: MS MOL. Wrote
the paper: LEL JPL MDC MOL. Recently, FoxO3a was found to negatively regulate an anti-
apoptotic microRNA, mir-21 by binding the mir-21 promoter to SOD3-mediated anti-apoptotic signaling (A) The phosphorylation of FoxO3a (Thr32) in sod3 treated muscle tissues was strongly up-
regulated at 3-day time point, had non-significant tendency at 7-day time point and showed no difference to LacZ control tissues at 10-day time
point. The blot was normalized with tubulin antibody. (B) In vitro cell fractionation assay showed increased phosphorylation of FoxO3a in SOD3 stably
transfected NIH 3T3 cells. The amount of phosphorylated protein was significantly (p,0.05 (*)) higher in the total cell extract and was enriched in the
cytoplasmic fractions (p,0.001 (***)) of cells transfected with SOD3 when compared to control cells. Normalization was performed by using a-SP1
antibody for the nuclear fractions and a-tubulin antibody for the cytoplasmic fraction. For statistical analysis cytosol, nucleus, and total protein
compartments were compared between control and SOD3 samples. (C–D) To determine the effect of SOD3 on the amount of total FoxO3a, we
measured in NIH3T3 cells stably transfected with SOD3 (panel C) the mRNA synthesis of foxo3a (panel D) that showed no difference to control cells. (E) To verify whether FoxO3a targets were also regulated by SOD3 we then performed expression analysis for mir-21 in rat tissues showing
significantly (p,0.05 (*)) increased miRNA synthesis caused by the ischemic injury that was further induced by sod3 overexpression (p,0.01 (**)) as
compared to LacZ control animals). (F) Similarly, also the expression of bim, which is another target of FoxO3a, was found to be modulated by SOD3,
as its expression was significantly stimulated (p,0.01 (**)) due to ischemia and then decreased by sod3 overexpression (p,0.01 (**)). doi:10.1371/journal.pone.0024456.g003 August 2011 | Volume 6 | Issue 8 | e24456 August 2011 | Volume 6 | Issue 8 | e24456 PLoS ONE | www.plosone.org 6 SOD3-Regulated Apoptosis p
31. Furukawa-Hibi Y, Kobayashi Y, Chen C, Motoyama N (2005) FOXO
transcription factors in cell-cycle regulation and the response to oxidative stress.
Antioxid Redox Signal 7: 752–760. 28. Biswas SC, Greene LA (2002) Nerve growth factor (NGF) down-regulates the
Bcl-2 homology 3 (BH3) domain-only protein Bim and suppresses its
proapoptotic activity by phosphorylation. J Biol Chem 277: 49511–49516. 30. Lee HY, You HJ, Won JY, Youn SW, Cho HJ, et al. (2008) Forkhead factor,
FOXO3a, induces apoptosis of endothelial cells through activation of matrix
metalloproteinases. Arterioscler Thromb Vasc Biol 28: 302–308. 32. Lei H, Quelle FW (2009) FOXO transcription factors enforce cell cycle
checkpoints and promote survival of hematopoietic cells after DNA damage.
Mol Cancer Res 7: 1294–1303. p
p p
y
y p
p
y
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29. Liu JW, Chandra D, Rudd MD, Butler AP, Pallotta V, et al. (2005) Induction of
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27. Allan LA, Morrice N, Brady S, Magee G, Pathak S, et al. (2003) Inhibition of caspase-
9 through phosphorylation at Thr 125 by ERK MAPK. Nat Cell Biol 5: 647–654. PLoS ONE | www.plosone.org 7 August 2011 | Volume 6 | Issue 8 | e24456 35. Huang H, Tindall DJ (2007) Dynamic FoxO transcription factors. J Cell Sci 120:
2479–2487. SOD3-Regulated Apoptosis SOD3-Regulated Apoptosis 32. Lei H, Quelle FW (2009) FOXO transcription factors enforce cell cycle
checkpoints and promote survival of hematopoietic cells after DNA damage. Mol Cancer Res 7: 1294–1303. 29. Liu JW, Chandra D, Rudd MD, Butler AP, Pallotta V, et al. (2005) Induction of
prosurvival molecules by apoptotic stimuli: involvement of FOXO3a and ROS. Oncogene 24: 2020–2031. 33. Kops GJ, Dansen TB, Polderman PE, Saarloos I, Wirtz KW, et al. (2002)
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30. Lee HY, You HJ, Won JY, Youn SW, Cho HJ, et al. (2008) Forkhead factor,
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2479–2487. PLoS ONE | www.plosone.org August 2011 | Volume 6 | Issue 8 | e24456 8
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https://openalex.org/W1912607569
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https://europepmc.org/articles/pmc5061094?pdf=render
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English
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Ectomycorrhizal fungi decompose soil organic matter using oxidative mechanisms adapted from saprotrophic ancestors
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New phytologist
| 2,015
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cc-by
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Research Summary Key words: decomposition, ectomycorrhizal
fungi, evolution, soil organic matter,
spectroscopy, transcriptome. The capacity to oxidize SOM appears to be common among ectomycorrhizal fungi. We
propose that the ancestral decay mechanisms used primarily to obtain carbon have been
adapted in symbiosis to scavenge nutrients instead. be released from the SOM. However, the microorganisms
and the mechanisms involved in these processes are poorly
characterized. be released from the SOM. However, the microorganisms
and the mechanisms involved in these processes are poorly
characterized. Ectomycorrhizal fungi decompose soil organic matter using
oxidative mechanisms adapted from saprotrophic ancestors Firoz Shah1, Cesar Nicolas1, Johan Bentzer1, Magnus Ellstr€om1, Mark Smits2, Francois Rineau2, Bj€orn Canb€ack1,
Dimitrios Floudas1,3, Robert Carleer2, Gerald Lackner4, Jana Braesel4, Dirk Hoffmeister4, Bernard Henrissat5,6,
Dag Ahren1,7, Tomas Johansson1, David S. Hibbett3, Francis Martin8, Per Persson1,9 and Anders Tunlid1
1Department of Biology, Microbial Ecology Group, Lund University, Ecology Building, SE-223 62 Lund, Sweden; 2Centre for Environmental Sciences, Hasselt University, Building D,
Agoralaan, 3590 Diepenbeek, Limburg, Belgium; 3Biology Department, Lasry Center for Bioscience, Clark University, 950 Main Street, Worcester, MA 01610-1477, USA; 4Department of Firoz Shah1, Cesar Nicolas1, Johan Bentzer1, Magnus Ellstr€om1, Mark Smits2, Francois Rineau2, Bj€orn Canb€ack1,
Dimitrios Floudas1,3, Robert Carleer2, Gerald Lackner4, Jana Braesel4, Dirk Hoffmeister4, Bernard Henrissat5,6,
Dag Ahren1,7, Tomas Johansson1, David S. Hibbett3, Francis Martin8, Per Persson1,9 and Anders Tunlid1 Firoz Shah1, Cesar Nicolas1, Johan Bentzer1, Magnus Ellstr€om1, Mark Smits2, Francois Rineau2, Bj€orn Canb€ack1,
Dimitrios Floudas1,3, Robert Carleer2, Gerald Lackner4, Jana Braesel4, Dirk Hoffmeister4, Bernard Henrissat5,6,
Dag Ahren1,7, Tomas Johansson1, David S. Hibbett3, Francis Martin8, Per Persson1,9 and Anders Tunlid1
1Department of Biology, Microbial Ecology Group, Lund University, Ecology Building, SE-223 62 Lund, Sweden; 2Centre for Environmental Sciences, Hasselt University, Building D,
Agoralaan, 3590 Diepenbeek, Limburg, Belgium; 3Biology Department, Lasry Center for Bioscience, Clark University, 950 Main Street, Worcester, MA 01610-1477, USA; 4Department of
Pharmaceutical Microbiology at the Hans Kn€oll Institute, Friedrich-Schiller-Universit€at, Beutenbergstrasse 11a, 07745 Jena, Germany; 5Centre National de la Recherche Scientifique (CNRS),
UMR7257, Universite Aix-Marseille, Marseille 13288, France; 6Department of Biological Sciences, King Abdulaziz University, Jeddah, Saudi Arabia; 7Bioinformatics Infrastructures for Life
Sciences (BILS), Department of Biology, Lund University, Ecology Building, SE-223 62 Lund, Sweden; 8Institut de la Recherche Agronomique (INRA), Laboratory of Excellence ARBRE,
UMR INRA-Universite de Lorraine ‘Interactions Arbres/Micro-organismes’, INRA-Nancy, 54280 Champenoux, France; 9Centre for Environmental and Climate Research (CEC), Lund
University, Ecology Building, SE-223 62 Lund, Sweden University, Ecology Building, SE-223 62 Lund, Sweden New Phytologist (2016) 209: 1705–1719
1705
www.newphytologist.com Summary Author for correspondence:
Anders Tunlid
Tel: +46 46 222 37 57
Email: anders.tunlid@biol.lu.se
Received: 8 June 2015
Accepted: 22 September 2015 Ectomycorrhizal fungi are thought to have a key role in mobilizing organic nitrogen that is
trapped in soil organic matter (SOM). However, the extent to which ectomycorrhizal fungi
decompose SOM and the mechanism by which they do so remain unclear, considering that
they have lost many genes encoding lignocellulose-degrading enzymes that are present in
their saprotrophic ancestors. Ectomycorrhizal fungi are thought to have a key role in mobilizing organic nitrogen that is
trapped in soil organic matter (SOM). However, the extent to which ectomycorrhizal fungi
decompose SOM and the mechanism by which they do so remain unclear, considering that
they have lost many genes encoding lignocellulose-degrading enzymes that are present in
their saprotrophic ancestors. Spectroscopic analyses and transcriptome profiling were used to examine the mechanisms
by which five species of ectomycorrhizal fungi, representing at least four origins of symbiosis,
decompose SOM extracted from forest soils. Spectroscopic analyses and transcriptome profiling were used to examine the mechanisms
by which five species of ectomycorrhizal fungi, representing at least four origins of symbiosis,
decompose SOM extracted from forest soils. New Phytologist (2016) 209: 1705–1719
doi: 10.1111/nph.13722 New Phytologist (2016) 209: 1705–1719
doi: 10.1111/nph.13722 p
In the presence of glucose and when acquiring nitrogen, all species converted the organic
matter in the SOM extract using oxidative mechanisms. The transcriptome expressed during
oxidative decomposition has diverged over evolutionary time. Each species expressed a differ-
ent set of transcripts encoding proteins associated with oxidation of lignocellulose by sapro-
trophic fungi. The decomposition ‘toolbox’ has diverged through differences in the regulation
of orthologous genes, the formation of new genes by gene duplications, and the recruitment
of genes from diverse but functionally similar enzyme families. In the presence of glucose and when acquiring nitrogen, all species converted the organic
matter in the SOM extract using oxidative mechanisms. The transcriptome expressed during
oxidative decomposition has diverged over evolutionary time. Each species expressed a differ-
ent set of transcripts encoding proteins associated with oxidation of lignocellulose by sapro-
trophic fungi. The decomposition ‘toolbox’ has diverged through differences in the regulation
of orthologous genes, the formation of new genes by gene duplications, and the recruitment
of genes from diverse but functionally similar enzyme families. 2015 The Authors
New Phytologist 2015 New Phytologist Trust
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. 2015 The Authors New Phytologist 2015 New Phytologist Trust y
g
g
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. 2015 The Authors
New Phytologist 2015 New Phytologist Trust
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. Fungal species We analysed five ECM species belonging to three basidiomycete
orders (Boletales, Agaricales and Atheliales), selected based on the
availability of published genome sequences. The five ECM species
represent at least four independent evolutionary origins of symbio-
sis (Fig. 1; Supporting Information Table S1) and they are distant
from each other as the last common ancestor of Agaricomycetidae
probably lived between 125 and 150 million yr ago (Ma; Floudas
et al., 2012; Kohler et al., 2015). The most densely sampled clade
was the Boletales, with two ECM species (Paxillus involutus
(Batsch) Fr. and Suillus luteus (L.) Roussel) that are nested with a
paraphyletic assemblage of BR wood decayers (Kohler et al., 2015),
of which three species (Coniophora puteana (Schumach.) P. Karst,
Hydnomerulius pinastri (Fr.) Jarosch & Besl, and Serpula lacrymans
(Wulfen) P. Karst.) were included in our study. The two examined
ECM species of the Agaricales clade evolved independently from
different saprotrophic ancestors: Laccaria bicolor (Maire) P.D. Orton may be derived from litter-decomposing saprotrophs,
whereas Hebeloma cylindrosporum Romagnesi is nested in a clade of
WR wood decayers (Matheny et al., 2006; Kohler et al., 2015). Finally, Piloderma croceum J. Erikss. & Hjortstam is nested within
the ecologically diverse Atheliales–Amylocorticales clade, which
includes WR and BR saprotrophs as well as various biotrophs
(Hibbett et al., 2014; Kohler et al., 2015). The wood-decomposing
fungus Jaapia argillacea Bres. (Jaapiales), which lacks ligninolytic
class II PODs but encodes diverse enzymes acting on crystalline
cellulose (Riley et al., 2014), was used as an outgroup. The sampled
ECM fungi differ also in their ecology. The Boletales species are
long-distance-exploration types with a rapidly growing extramatri-
cal mycelium and a high capacity to decompose and mobilize
organic N. By contrast, the ECM species from the other clades are
short- and medium-distance-exploration types, which grow more
slowly and have a limited ability to assimilate organic N (Agerer,
2001; Hobbie & Agerer, 2010). Recent analyses of genome sequences further support the view
that ECM fungi have a limited capacity to decompose complex
organic material such as lignocellulose. These analyses have
shown that ECM fungi have a smaller set of genes encoding
enzymes that degrade plant cell walls than do their saprotrophic
ancestors, including BR and WR wood decayers (Martin et al.,
2008; Kohler et al., 2015). Introduction A large part of the nitrogen (N) found in forest soils is present in
organic forms, primarily as proteins and peptides but also as
amino acids, amino sugars and heterocyclic molecules (Nannip-
ieri & Eldor, 2009). During decomposition, these N molecules
accumulate in a complex mixture of plant- and microbial-derived
molecules. This soil organic matter (SOM), operationally defined
as humic substances, consists of relatively low-molecular-weight
fragments of lignin, polysaccharides, polyphenols, lipids, pepti-
doglycan, peptides and other biomolecules (Simpson et al., 2007;
Schmidt et al., 2011). The molecules associate with each other in
supramolecular aggregates that are stabilized by hydrophobic
interactions and hydrogen (H) bonding and by interactions with
mineral particles (Kleber & Johnson, 2010; Kleber et al., 2015). To become available for plants, the organic N compounds must Filamentous saprotrophic fungi are thought to have a unique
ability to degrade lignin and other phenolic compounds of forest
SOM (Baldrian, 2008). On the basis of studies of wood-decaying
fungi, two major decomposition mechanisms have been charac-
terized in detail: decomposition by white-rot (WR) fungi and
decomposition by brown-rot (BR) fungi (Hatakka & Hammel,
2010). The ligninolytic system of WR fungi depends on extracel-
lular oxidative enzymes, particularly class II peroxidases (class II
PODs). These fungi also secrete various glycoside hydrolases
(GHs) that break down crystalline cellulose. BR fungi lack most
of the oxidative enzymes and cellulase systems of WR fungi
(Floudas et al., 2012) and instead decompose lignocellulose by
means of an initial nonenzymatic step: attack by reactive oxygen New Phytologist (2016) 209: 1705–1719
1705
www.newphytologist.com New
Phytologist New
Phytologist Research
1706 important role in the decomposition of complex humic-rich
SOM in northern forest ecosystems. species, including hydroxyl radicals generated by the Fenton reac-
tion (H2O2 + Fe2+ + H+ ? H2O + Fe3+ + •OH) (Martinez et al.,
2009; Hatakka & Hammel, 2010). In recent years, a number of
new enzymes have been identified that are involved in the oxida-
tive conversion of lignocellulose, such as lytic polysaccharide
monooxygenases (LPMOs) (Quinlan et al., 2011), various oxi-
doreductases (Levasseur et al., 2013), and heme-containing
haloperoxidases, including chloroperoxidases and aromatic per-
oxygenases (Hofrichter et al., 2010). During fungal attack, these
oxidases promote extended cleavage of plant cell wall compo-
nents and generate the reactants needed for the Fenton reaction. Fungal species We previously demonstrated that the
ECM fungus Paxillus involutus can nevertheless decompose lig-
nocellulosic material in SOM extracts while assimilating organic
N using a Fenton-based oxidation mechanism similar to that of
BR fungi (Rineau et al., 2012). The oxidation is triggered by the
addition of glucose, which suggests that the mechanism can be
regulated by the host C supply (Rineau et al., 2013). During the
oxidative decomposition of the SOM extract, P. involutus
expresses a large number of extracellular endo- and exopeptidases
that are regulated in parallel with transporters and enzymes
involved in the assimilation and metabolism of the released N
(Shah et al., 2013). Other ECM taxa, including Cortinarius
species, contain genes encoding class II PODs (B€odeker et al.,
2009; Hatakka & Hammel, 2010). More recently, B€odeker et al. (2014) demonstrated that the transcription of Cortinarius class II
PODs genes was correlated with high peroxidase activity in soils,
supporting the hypothesis that Cortinarius species may play an Materials and Methods g (
p
y
)
The other main functional group of fungi in northern forest
soils comprises the ectomycorrhizal (ECM) symbionts. ECM
fungi are biotrophs that obtain photosynthetic sugars from the
host plant, which, in return, receives nutrients, including N and
phosphorus, from the fungal partner (Smith & Read, 2008). Car-
bon (C) from the plant supports the growth of an extramatrical
mycelium. This mycelium is present mainly in regions of the soil
horizons that are rich in humic substances (Lindahl et al., 2007). To release the N present in such material, it can be expected that
ECM fungi can disrupt organic-matter-N complexes. Indeed,
studies using various model compounds such as cellulose and
polyphenols have shown that ECM fungi have some decompos-
ing capacity (Norkrans, 1950; Trojanowski et al., 1984). ECM
fungi also produce extracellular enzymes such as cellulases,
hemicellulases and polyphenoloxidases, which are thought to
contribute to the degradation of components of plant litter (Read
& Perez-Moreno, 2003). However, ECM fungi express such
enzymes at much lower levels than do saprotrophic fungi grown
under identical conditions (Read & Perez-Moreno, 2003). Introduction In addition, secondary metabolites such as hydroquinones and
variegatic acid have key roles in the reductions of Fe3+ and O2 in
BR fungi (Eastwood et al., 2011; Korripally et al., 2013). Here, we examined the capacity of several ECM fungi to
decompose biomolecules present in SOM and the mechanisms
underlying this decomposition. In particular, we assessed the fol-
lowing: whether the capacity to decompose SOM has been
retained by ECM fungi of different evolutionary origins and
functional ecologies; whether the arrays of enzymes expressed
upon SOM decomposition by ECM fungi are similar to those of
related saprotrophic wood decomposers; and whether the decom-
position mechanisms of ECM fungi have any common molecular
signatures as a result of similar selection pressures. New Phytologist (2016) 209: 1705–1719
www.newphytologist.com Culture conditions The neighbour-joining gene expression tree (right)
was constructed with the expression levels of the orthologues upon fungal growth on soil organic matter extracts (asterisk) and mineral nutrient medium
(MMN) (no asterisk), with 1000 bootstrap replicates. Both trees were rooted with Jaapia argillacea as an outgroup. The closed red triangles indicate the
estimated origins of the ectomycorrhizal (ECM) fungi; the open red triangle indicates an alternative reconstruction with a single origin in the Boletales clade
and at least one reversal to saprotrophy (Kohler et al., 2015). The last common ancestor of the Agaricomycetidae clade (indicated with an arrow) probably
lived between 125 and 150 million yr ago (Floudas et al., 2012; Kohler et al., 2015). The designations in boldface letters indicate ECM fungi. COP,
Coniophora puteana; HEC, Hebeloma cylindrosporum; HYP, Hydnomerulius pinastri; JAA, Jaapia argillacea; LAB, Laccaria bicolor; PAI, Paxillus
involutus; PIC, Piloderma croceum; SEL, Serpula lacrymans; SUL, Suillus luteus. Fig. 1 Species and gene expression phylogenies of analysed fungi. A maximum likelihood species tree (left) was reconstructed with sequences from 3148
putative 1: 1 orthologues from each of the nine analysed fungal species, with 1000 bootstrap replicates. The neighbour-joining gene expression tree (right)
was constructed with the expression levels of the orthologues upon fungal growth on soil organic matter extracts (asterisk) and mineral nutrient medium
(MMN) (no asterisk), with 1000 bootstrap replicates. Both trees were rooted with Jaapia argillacea as an outgroup. The closed red triangles indicate the
estimated origins of the ectomycorrhizal (ECM) fungi; the open red triangle indicates an alternative reconstruction with a single origin in the Boletales clade
and at least one reversal to saprotrophy (Kohler et al., 2015). The last common ancestor of the Agaricomycetidae clade (indicated with an arrow) probably
lived between 125 and 150 million yr ago (Floudas et al., 2012; Kohler et al., 2015). The designations in boldface letters indicate ECM fungi. COP,
Coniophora puteana; HEC, Hebeloma cylindrosporum; HYP, Hydnomerulius pinastri; JAA, Jaapia argillacea; LAB, Laccaria bicolor; PAI, Paxillus
involutus; PIC, Piloderma croceum; SEL, Serpula lacrymans; SUL, Suillus luteus. 150 mg l1 MgSO47H2O, 25 mg l1 NaCl, 50 mg l1 CaCl2,
12 mg l1 FeCl36H2O and 1 mg l1 thiamine-HCl; pH 4.0)
(Rineau et al., 2012). After 9 d of incubation (18°C in the dark),
the medium was replaced with MMN medium without N to
induce an N-deprived mycelium (Shah et al., 2013). Culture conditions After 24 h,
the mycelium was washed in sterile water, and the SOM extract
(10 ml) was added. 2015 The Authors
New Phytologist 2015 New Phytologist Trust Culture conditions The fungi were grown in Petri dishes on a layer of glass beads
immersed in a minimum Melin–Norkrans (MMN) medium
(2.5 g l1 glucose, 500 mg l1 KH2PO4, 200 mg l1 NH4Cl, 2015 The Authors
New Phytologist 2015 New Phytologist Trust New
Phytologist Research 1707 PAI*
PAI
SUL*
SUL
SEL*
SEL
HYP*
HYP
COP*
COP
LAB*
LAB
HEC*
HEC
PIC*
PIC
JAA*
JAA
100
100
100
100
100
PAI
HYP
SUL
COP
SEL
PIC
100
LAB
HEC
JAA
100
100
91
100
100
100
63
53
100
100
100
96
86
100
100
100
Species phylogeny
Gene expression
Boletales
Atheliales
Agaricales
Jaapiales
Agaricomycetidae
Fig. 1 Species and gene expression phylogenies of analysed fungi. A maximum likelihood species tree (left) was reconstructed with sequences from 3148
putative 1: 1 orthologues from each of the nine analysed fungal species, with 1000 bootstrap replicates. The neighbour-joining gene expression tree (right)
was constructed with the expression levels of the orthologues upon fungal growth on soil organic matter extracts (asterisk) and mineral nutrient medium
(MMN) (no asterisk), with 1000 bootstrap replicates. Both trees were rooted with Jaapia argillacea as an outgroup. The closed red triangles indicate the
estimated origins of the ectomycorrhizal (ECM) fungi; the open red triangle indicates an alternative reconstruction with a single origin in the Boletales clade
and at least one reversal to saprotrophy (Kohler et al., 2015). The last common ancestor of the Agaricomycetidae clade (indicated with an arrow) probably
lived between 125 and 150 million yr ago (Floudas et al., 2012; Kohler et al., 2015). The designations in boldface letters indicate ECM fungi. COP,
Coniophora puteana; HEC, Hebeloma cylindrosporum; HYP, Hydnomerulius pinastri; JAA, Jaapia argillacea; LAB, Laccaria bicolor; PAI, Paxillus
involutus; PIC, Piloderma croceum; SEL, Serpula lacrymans; SUL, Suillus luteus. PAI*
PAI
SUL*
SUL
SEL*
SEL
HYP*
HYP
COP*
COP
LAB*
LAB
HEC*
HEC
PIC*
PIC
JAA*
JAA
100
100
100
100
100
PAI
HYP
SUL
COP
SEL
PIC
100
LAB
HEC
JAA
100
100
91
100
100
100
63
53
100
100
100
96
86
100
100
100
Species phylogeny
Gene expression
Boletales
Atheliales
Agaricales
Jaapiales
Agaricomycetidae Boletales
Atheliales
Agaricales
Jaapiales Gene expression Gene expression Species phylogeny Fig. 1 Species and gene expression phylogenies of analysed fungi. A maximum likelihood species tree (left) was reconstructed with sequences from 3148
putative 1: 1 orthologues from each of the nine analysed fungal species, with 1000 bootstrap replicates. New Phytologist (2016) 209: 1705–1719
www.newphytologist.com Chemical analyses New
Phytologist Absorbance (au)
Wavenumber (cm–1)
PC 2 (12.2%)
PC 1 (76.2 %)
–1.5
–1.0
–0.5
0.0
0.5
1.0
1.5
–3.0
–2.0
–1.0
0.0
1.0
2.0
3.0
4.0
5.0
SEL
SUL
PAI
HYP
JAA
HEC
COP
PIC
LAB
FH0
mean ± SE
0.8
1.0
1.2
Lignin residues
Monoaromatics
Polyaromatics
N-compounds
Polysaccharides
Tannins
0.0
0.5
1.0
1.5
2.0
FH0
PAI
SUL
HYP
COP
JAA
Ox/C3-G
a
cd
d
bc
b
b
(a)
(b)
(c)
700
900
1100
1300
1500
1700
1900
2100
SEL
SUL
PAI
HYP
JAA
HEC
COP
PIC
LAB
FH0
Research
1708 Absorbance (au)
Wavenumber (cm–1)
(a)
700
900
1100
1300
1500
1700
1900
2100
SEL
SUL
PAI
HYP
JAA
HEC
COP
PIC
LAB
FH0 (a) Transcriptome analysis
After the incubation, the mycelium was collected, immediately
frozen in liquid N2 and subsequently ground to a fine powder
with a mortar. Total RNA was isolated using the RNeasy Plant
Mini K
on-colu
instruct
until use
an RNA
Absorbance (au)
Wavenumber (cm–1)
PC 2 (12.2%)
PC 1 (76.2 %)
–1.5
–1.0
–0.5
0.0
0.5
1.0
1.5
–3.0
–2.0
–1.0
0.0
1.0
2.0
3.0
4.0
5.0
SEL
SUL
PAI
HYP
JAA
HEC
COP
PIC
LAB
FH0
mean ± SE
0.0
0.2
0.4
0.6
0.8
1.0
1.2
FH0
PAI
SUL
HYP
COP
JAA
Lignin residues
Monoaromatics
Polyaromatics
N-compounds
Polysaccharides
Tannins
0.0
0.5
1.0
1.5
2.0
FH0
PAI
SUL
HYP
COP
JAA
Ox/C3-G
a
cd
d
bc
b
b
(a)
(b)
(c)
700
900
1100
1300
1500
1700
1900
2100
SEL
SUL
PAI
HYP
JAA
HEC
COP
PIC
LAB
FH0 Fig. 2 Decomposition of soil organic matter
(SOM) extract. (a) Fourier transform infrared
(FTIR) spectra of the SOM extract before
(FH0, initial material) and after 7 d of
incubation with various ectomycorrhizal
(ECM) and saprophytic fungi (au, arbitrary
units). All spectra have been normalized to
the same total area over the wave number
region displayed (n = 3). Spectral changes
were observed in six regions ascribed to
different vibrational modes: C–O and C–O–C
stretching of carbohydrates (970–
1150 cm1); C–O stretching of phenols
(1150–1250 cm1); C–O stretching of esters
(1300 cm1); O–H bending, aliphatic C–H
deformation or ammonium N–H bending
(1350–1450 cm1); C–C stretching of
aromatic rings (1510 cm1); and C=O
stretching of carbonyl groups (1620–
1800 cm1). Chemical analyses Total organic C concentration was measured with an organic C
analyser (Shimadzu, Kyoto, Japan). Total N content was mea-
sured with the same apparatus equipped with a total nitrogen
module (TNM-1) detector. The glucose concentration was mea-
sured by means of a glucose assay (Sigma-Aldrich, Seelze, Ger-
many). Fourier transform infrared (FTIR) spectra were recorded
on a Bruker IFS66 v/s spectrometer (Bruker Scientific Instru-
ments, Billerica, MA, USA). Data were collected in diffuse
reflectance mode. Each spectrum was the result of 1000 consecu-
tive scans at a resolution of 4 cm1. A Perkin-Elmer TurboMass/
Autosystem XL with a Frontier Lab Double Shot pyrolyser was
used for py-GC/MS (Perkin-Elmer, Waltham, MA, USA). Pyrol-
ysis data were acquired and processed with QCALIBUR 1.4 SR1
software (Thermo Finnigan, San Jose, CA, USA), and peaks were
identified by comparison with published and stored data
(National Institute of Standards and Technology (NIST) library). A standard series of SOM extracts with increasing concentrations
of glucose (0.0–2.5 g l1 glucose) was analysed to correct the con-
tribution of glucose to each pyrolytic product. The iron-reducing
activity in the culture filtrates was analysed by means of a fer-
rozine assay (Goodell et al., 2006). Further details of the chemical
analyses are given in Rineau et al. (2012). SOM was extracted from the upper 10-cm soil layer in a 61-
yr-old Norway spruce (Picea abies (L.) H. Karst) stand growing
in an N-poor site in central Sweden (soil pH 5.0) (Table S2)
using hot water (Davidson et al., 1987). Pyrolysis-GC/MS (py-
GC/MS) (Fig. 2c) showed that the SOM extract contained the
major classes of biomolecules that are present in intact SOM
(Simpson et al., 2007). Particles were removed by filtration
(0.2 lm), and low-molecular-weight metabolites were partly
removed by ultrafiltration (cut-off 1 kDa). The concentration of
the SOM extract was adjusted, and the extract was supplemented
with glucose to a final concentration similar to that in the MMN
medium (Rineau et al., 2012). The fungi were grown in either
the MMN medium or the SOM extract (three replicates each). The cultures were incubated for 7 d at 18°C in the dark. To test
the capacity of the fungi to oxidize the organic matter in the
absence of glucose, four of the Boletales species were grown on
the SOM extract without glucose amendment. New Phytologist (2016) 209: 1705–1719
www.newphytologist.com 2015 The Authors
New Phytologist 2015 New Phytologist Trust Annotations A gene expression tree of the 1 : 1 orthologues was constructed
by means of the neighbour-joining (NJ) method. The expression
values of three biological replicates from the same putative 1 : 1
orthologues used for the species tree were normalized, by means
of the DESeq package, to make the values comparable between
species. The sample distances were calculated as Euclidean
distances between the mean of the samples or alternatively, as
(1 P) where P is the Spearman’s correlation coefficient between
the sample expression profiles. The APE package in R was used
to construct the NJ expression tree and to perform the bootstrap
analysis with 1000 replicates (Paradis et al., 2004). Gene models and annotations for each of the fungal species were
retrieved from the Joint Genome Institute (JGI) MycoCosm
database (Table S1). The SIGNALP algorithm (v.4.0) was used for
additional searches for prediction of secretion signals (Petersen
et al., 2011). Conserved protein domain families (Pfam) were
identified by searching through the Pfam family protein database
(pfam_scan.pl tool with default settings) (Finn et al., 2014). Orphans were defined as sequences not having matches in the
Pfam database or homologues in other organisms as revealed by
BLASTP searches (Altschul et al., 1990) against the UniProt
database (cut-off 1E< 105). Putative peptidases were annotated
by searching the proteome of each fungus against the MEROPS
database (Rawlings et al., 2012). y
p
Proteins encoding laccases (CAZy subfamily AA1_1) in all
nine fungal genomes were retrieved from the CAZy database
(http://www.cazy.org/). The 72 proteins were aligned with
MAFFT (v.7.147) (Katoh & Standley, 2013) and subsequently
trimmed
with
GBLOCKS
(Talavera
&
Castresana,
2007)
using options to reduce the stringency (–b1 = 2 –b2 = 2 –b3 = 8
–b4 = 5 –b5 = h –b6 = y). PROTTEST (v.2.4) (Abascal et al., 2005)
was used to identify the most suitable evolutionary model. On
the basis of the PROTTEST results, the Whelan and Goldman
(WAG) protein substitution model with a gamma shape parame-
ter and a proportion of invariant sites (P-Invar) was chosen for
the phylogenetic reconstruction using RAXML with 1000 boot-
strap replicates (Stamatakis, 2006). ITOL was used to visualize
the tree and map the differential gene expression to the tree
(Letunic & Bork, 2011). A phylogenetic analysis of the aspartate
protease family was performed using the alignment of the Pfam
domain PF00026 (eukaryotic aspartyl protease). Chemical analyses After reverse transcription into double-
stranded cDNA and barcoding by means of the massively parallel
signature sequencing protocol (Brenner et al., 2000), libraries
were sequenced (RNA-Seq) using a HiSeq2000 instrument (Illu-
mina Inc., San Diego, CA, USA) in single-read mode and with a
read length of 50 bp (IGA Technology Services, Udine, Italy;
http://www.igatechnology.com). The reads were mapped onto
the corresponding genomes by means of TOPHAT (v.2.0.8b)
(Kim et al., 2013). The transcript abundances were normalized
using the R package DESeq (Anders & Huber, 2010) for each
fungus by dividing the expression values by size factors to adjust
for different sequence depth between the two conditions. The size
factor for each sample was calculated as follows: the read count of
each gene was divided by the geometric mean of the expression
across the SOM and MMN samples. Significantly differentially
expressed genes (SOM vs MMN) were identified with DESeq (t-
test, false discovery rate, q-value < 0.01; Benjamini & Hochberg,
1995). The RNA-Seq data are deposited in the GEO database
(http://www.ncbi.nlm.nih.gov/geo/)
with
accession
number
GSE64897. Identification of orthologues and phylogenetic analyses Identification of orthologues and phylogenetic analyses Orthologues were identified with the PROTEINORTHO program
(Lechner et al., 2011). Principal component analysis (PCA) of
orthologues was performed with the QLUCORE EXPLORER software
(v.2.2; Qlucore AB, Lund, Sweden) with default settings. For
rescaling of the gene expression data before the PCA, clustering
analyses, and phylogenetic analyses, the expression values of the
orthologues were normalized by means of the DESeq package
(Anders & Huber, 2010) and were then log2(counts + 1) trans-
formed. Orthologues were identified with the PROTEINORTHO program
(Lechner et al., 2011). Principal component analysis (PCA) of
orthologues was performed with the QLUCORE EXPLORER software
(v.2.2; Qlucore AB, Lund, Sweden) with default settings. For
rescaling of the gene expression data before the PCA, clustering
analyses, and phylogenetic analyses, the expression values of the
orthologues were normalized by means of the DESeq package
(Anders & Huber, 2010) and were then log2(counts + 1) trans-
formed. The construction of a species tree for the nine species included
in this study was based on a phylogenetic analysis of 3148 one-
to-one (1 : 1) orthologues. These orthologues were aligned with
MAFFT (v.7.147) (Katoh & Standley, 2013) with default set-
tings, and the resulting alignments were trimmed with GBLOCKS
(v.0.91b) (Talavera & Castresana, 2007) and concatenated into a
supermatrix. Chemical analyses The protein model was determined with PROTTEST
(v.3.4) (Abascal et al., 2005) and RAXML-HPC (Stamatakis,
2006) with default settings, and the PROTGAMMALGF model was
chosen to reconstruct the phylogenetic tree with 1000 bootstrap
replicates. Chemical analyses (b) Principal component analysis
(PCA) scores plot of the FTIR spectra of the
SOM extract before (FH0) and after 7 d
incubation with the ECM fungi and
saprotrophic fungi (n = 3). (c) Pyrolysis-GC/
MS results (shown as sums of the major
groups of organic compounds). The data are
corrected for the total organic C
concentration and normalized to the
nonincubated SOM extract (FH0)
(mean SE; n = 3). The identified pyrolytic
compounds are listed in Supporting
Information Table S2. The inset shows the
ratio of guaiacylacetone to trans-
propenylguaiacol (Ox/C3-G) (grey bars),
which is a marker of the degree of oxidation
of guaiacyl lignin (Buurman et al., 2008). Bars with different lowercase letters are
significantly different according to Tukey’s
test (P < 0.05). The values are normalized to
the nonincubated samples (mean SE;
n = 3). The species abbreviations are listed in
the legend of Fig. 1. Wavenumber (cm
)
PC 2 (12.2%)
PC 1 (76.2 %)
–1.5
–1.0
–0.5
0.0
0.5
1.0
1.5
–3.0
–2.0
–1.0
0.0
1.0
2.0
3.0
4.0
5.0
SEL
SUL
PAI
HYP
JAA
HEC
COP
PIC
LAB
FH0
(b) (b) mean ± SE
0.0
0.2
0.4
0.6
0.8
1.0
1.2
FH0
PAI
SUL
HYP
COP
JAA
Lignin residues
Monoaromatics
Polyaromatics
N-compounds
Polysaccharides
Tannins
0.0
0.5
1.0
1.5
2.0
FH0
PAI
SUL
HYP
COP
JAA
Ox/C3-G
a
cd
d
bc
b
b
(c) (c) 0.0
0.2
0.4
0.6
0.8
FH0
PAI
SUL
HYP
COP
JAA Mini Kit (Qiagen, Hilden, Germany) with the RLC buffer and
on-column DNase treatment, according to the manufacturer’s
instructions. Total RNA was eluted in H2O and stored at 20°C
until use. For quality assessments, all samples were inspected with
an RNA 6000 Nano Kit on a 2100 Bioanalyzer (Agilent, Santa Transcriptome analysis After the incubation, the mycelium was collected, immediately
frozen in liquid N2 and subsequently ground to a fine powder
with a mortar. Total RNA was isolated using the RNeasy Plant After the incubation, the mycelium was collected, immediately
frozen in liquid N2 and subsequently ground to a fine powder
with a mortar. Total RNA was isolated using the RNeasy Plant New Phytologist (2016) 209: 1705–1719
www.newphytologist.com 2015 The Authors
New Phytologist 2015 New Phytologist Trust New
Phytologist Research 1709 Clara, CA, USA). 2015 The Authors
New Phytologist 2015 New Phytologist Trust New Phytologist (2016) 209: 1705–1719
www.newphytologist.com Global transcriptional responses The transcriptional profiles of all fungi after growth on the SOM
extract and on a mineral nutrient MMN medium were compared
using RNA sequencing (Table S1). For comparison of the tran-
scriptomes among the nine species, the genes were classified into
orthologous groups (Table S4). In total, we identified 10 939
groups, of which 3148 were identified as putative 1 : 1 ortho-
logues that were the best reciprocal BLAST hits shared by all nine
species. The 1 : 1 orthologues constituted 14–25% of the total
number of genes in each of the fungal genomes. The remaining
genes were found in orthologous groups shared by two to eight
species, in groups of so-called co-orthologues (i.e. genes that are
duplicated within a lineage), or were species specific. Depending
on the species, 16–29% of the transcripts were significantly up-
regulated in the SOM extracts (Table S1), and between 23 and
32% of those were 1 : 1 orthologues (Table S4). To obtain an initial view of the expression patterns, we per-
formed a PCA on the expression levels of the 1 : 1 orthologues. The PCA closely grouped the SOM- and MMN-grown samples
for each species (Fig. S5). PC1 (which explained 15% of the varia-
tion) clustered the Boletales species together and separated them
from the species in the Jaapiales, Agaricales and Atheliales clades. PC2 (13% of the variation) separated the ECM fungi from the
saprotrophs. To reconstruct the evolutionary trends in more detail,
an NJ tree was constructed based on the distances of the expression
levels of the 1 : 1 orthologues (Figs 1, S6). Consistent with the
PCA results, the divergence of gene expression between a fungus
grown on SOM extract and the same fungus grown on MMN
medium was significantly less than the divergence between species,
and the species were correctly separated into the four major clades. However, the topologies of the trees constructed from the expres-
sion data and from the sequence data (species tree) were not always
consistent (Fig. 1). In agreement with more extensive genome phy-
logenies (Kohler et al., 2015), our species tree placed the ECM
fungus P. involutus close to the BR species H. pinastri, whereas the
expression tree clustered P. involutus and S. luteus. g
y
To compare the decomposition capacity of P. involutus and
S. Chemical conversion of the SOM extract In the presence of glucose, all of the sampled ECM fungi grew
and assimilated C and N from the SOM extract (Table S2; Figs
S1a,b). The FTIR spectra of the SOM extract before and after a
7-d incubation with fungi showed marked differences, indicating
significant conversion of the organic compounds (Fig. 2a). A
PCA based on the FTIR spectra allowed us to group the repli-
cates of each fungus and clearly separated the initial SOM extract
from the material modified by the fungi (Fig. 2b). The first prin-
cipal component (PC1) explained 76.2% of the total variability
and separated the initial material from the incubated material. The FTIR spectra of the SOM extract were separated along the
PC1 axis into a group showing spectral features dominated by
polysaccharide bands and N–H bending bands (right) and a
group showing spectral features dominated by carbonyl bands
(left), which are indicative of oxidized organic matter (Fig. S2). The separation of the ECM species was associated with the
amounts of C and N assimilated by the fungi (Fig. S1a). The sec-
ond principal component (PC2) accounted for 12.2% of the
total variance and separated the fungi into two groups: one group
consisting of the long-distance-exploration ECM fungi (P. invo-
lutus and S. luteus) and the closely related saprotrophic fungus
Hydnomerulius pinastri and a second group containing the
remaining ECM and saprotrophic species. PC2 was dominated
by strong positive bands at 1510 cm1, which are indicative of
aromatic ring compounds (Fig. S2). The spectra of the SOM
extracts incubated with Serpula lacrymans deviated significantly
from those of the other species along PC2, mainly as a result of
the peak at 1300 cm1, which was attributed to esters. The two
ECM boletes (P. involutus and S. luteus) were grouped close
together by both PC1 and PC2. New Phytologist (2016) 209: 1705–1719
www.newphytologist.com Annotations In total, 323
proteins containing this domain were identified in the nine anal-
ysed basidiomycete genomes. The domain sequences were
extracted and retrieved using hmmalign in the HMMER3 package
(v.3.1b1) (Eddy, 2011), and the sequences were subsequently
aligned with MAFFT (v.7.147). The alignment was further
trimmed with GBLOCKS with the settings described for the Annotations on gene models encoding enzymes active on
carbohydrates (CAZymes) were retrieved from the Carbohy-
drate-Active Enzymes database (CAZy; http://www.cazy.org/),
including the extended set of auxiliary activities (AAs) to cover
redox
enzymes
that
act
in
conjunction
with
CAZymes
(Cantarel et al., 2009; Levasseur et al., 2013). Annotations for
various types of PODs in all nine genomes were retrieved from
the PeroxiBase database (Fawal et al., 2013). Gene models rep-
resenting tyrosinases were retrieved directly from the JGI
database by the use of InterPro term IPR002227 as a search
term. All gene models of CAZymes, auxiliary activities, PODs
and tyrosinases detected were inspected manually, and the
selected and filtered gene model in the JGI database was modi-
fied
if
necessary. Genes
encoding
multidomain
natural-
product-biosynthesis enzymes (polyketide synthases, nonriboso-
mal peptide synthetases and related enzymes) were annotated
in a two-step process: first, on the basis of homology by means
of BLAST and a conserved domain search (Marchler-Bauer
et al., 2011) and, second, by manual inspection of each filtered
gene model. New Phytologist (2016) 209: 1705–1719
www.newphytologist.com New
Phytologist New
Phytologist Research
1710 (Fig. S3). Minute changes were detected in the FTIR spectra of
the SOM extract incubated with C. puteana, observed as an
increase in absorbance in the carbonyl region at 1710 cm1
accompanied by a decrease in absorbance in the spectral region at
1350–1450 cm1. Thus, the decomposition of the SOM was
stimulated by glucose amendment in both the ECM and the
saprotrophic species. proteins encoding laccases. A phylogenetic reconstruction using
RAXML and the JTT model with 1000 bootstrap replicates was
performed and the results were viewed with ITOL. The tree can
be
viewed
online
at
http://itol.embl.de/external.cgi? tree=1302351965015151413446270. Results After growth, extracellular iron-reducing activity was detected
in the SOM extract of all fungi except H. cylindrosporum
(Fig. S4). Thus, during growth on the SOM extract, iron-
reducing metabolites or iron-reducing enzymes were produced by
most of the examined ECM fungi. 2015 The Authors
New Phytologist 2015 New Phytologist Trust Global transcriptional responses The size of the
circles indicates the number of genes in the orthologous groups within a given species (if any) and the black slice is proportional to the number of up-
regulated genes. The arrows indicate 14 1 : 1 orthologues. The left panel shows the orthologous groups that were up-regulated in two to four species (sp.),
and the middle and right panels show orthologous groups that were up-regulated uniquely in Paxillus involutus (PAI), Hydnomerulius pinastri (HYP) and
Suillus luteus (SUL). Orthologous groups that were uniquely up-regulated in the other species are shown in Supporting Information Fig. S7. Annotations of
orthologue clusters are shown in Table S6. Fig. 3 Phylogenetic distribution of soil organic matter (SOM)-up-regulated genes. The panel shows the expression and presence of SOM-up-regulated
genes in orthologous groups (rows, fold change > 5 of pairwise comparisons in SOM extract vs modified Melin–Norkrans (MMN) medium; q < 0.01; n = 3)
shared by at least two species (columns). The species abbreviations and clade affiliations (colour coded) are shown in the legend of Fig. 1. The size of the
circles indicates the number of genes in the orthologous groups within a given species (if any) and the black slice is proportional to the number of up-
regulated genes. The arrows indicate 14 1 : 1 orthologues. The left panel shows the orthologous groups that were up-regulated in two to four species (sp.),
and the middle and right panels show orthologous groups that were up-regulated uniquely in Paxillus involutus (PAI), Hydnomerulius pinastri (HYP) and
Suillus luteus (SUL). Orthologous groups that were uniquely up-regulated in the other species are shown in Supporting Information Fig. S7. Annotations of
orthologue clusters are shown in Table S6. (Table S6). Out of the 241 unique Pfam families that were identi-
fied in these orthologues, none were up-regulated in all species. In
total, 22 Pfam families were commonly up-regulated in at least
three species including domains of transporters, proteases, oxidore-
ductases and glycoside hydrolases (Table S7). in the nine analysed species. Of those genes, 387 were identified as
having orthologues in at least two species, and 328 were found to
be species specific (Table S5). The up-regulated orthologues were
found in 321 orthologue clusters. None of these clusters contained
genes that were up-regulated in all species. Global transcriptional responses Genes from two clusters
were up-regulated in four species, those from six clusters in three
species and those from 28 clusters in two species, and the remain-
ing 285 orthologue clusters contained up-regulated genes from
one species only (Figs 3, S7). The highly SOM-up-regulated
orthologue clusters encoded a diverse set of protein families 2015 The Authors
New Phytologist 2015 New Phytologist Trust New Phytologist (2016) 209: 1705–1719
www.newphytologist.com Global transcriptional responses luteus with that of the saprotrophic species in more detail, we
analysed the SOM extracts using py-GC/MS (Fig. 2c; Table S3). For all of the tested fungi, the levels of the major classes of com-
pounds present in the SOM decreased during incubation. Analy-
sis of the pyrolysates related to lignin residuals revealed changes
in their chemical structure during fungal growth; specifically, the
ratio of guaiacylacetone to trans-propenylguaiacol, which indi-
cates the oxidation state of guaiacyl-lignin building blocks, was
higher in the pyrolysates from the SOM extract exposed to the
ECM fungi P. involutus and S. luteus than in pyrolysates from
SOM exposed to the saprotrophic BR Boletales species (H. pinas-
tri and Coniophora puteana) and J. argillacea (Fig. 2c, inset). Analysis of the most highly up-regulated genes during SOM
decomposition showed that a majority of them were found in
orthologue clusters whose members were only up-regulated in a
single species, or they were nonorthologues genes. We identified
715 genes that were at least five-fold SOM-up-regulated (pairwise
comparisons in SOM extract vs MMN medium; q < 0.01; n = 3) In the absence of glucose, the FTIR spectra of the SOM extract
incubated with P. involutus, S. luteus, H. pinastri and C. puteana
were almost identical to the spectra of the initial material 2015 The Authors
New Phytologist 2015 New Phytologist Trust New
Phytologist Research 1711 1
2
3
4
5
6
7
Fold change > 5
HYP
COP
SEL
PAI
SUL
PIC
LAB
HEC
JAA
HYP 1
2
3
4
5
6
7
Fold change > 5
HEC
JAA
es
HYP
COP
SEL
PAI
SUL
PIC
LAB
HEC
JAA
PAI
HYP
COP
SEL
PAI
SUL
PIC
LAB
HEC
JAA
SUL
HYP
COP
SEL
PAI
SUL
PIC
LAB
HEC
JAA
HYP 4 sp. 3 sp. 2 sp. HYP
COP
SEL
PAI
SUL
PIC
LAB
HEC
JAA
2–4 species HYP
COP
SEL
PAI
SUL
PIC
LAB
HEC
JAA
PAI
HYP
COP
SEL
PAI
SUL
PIC
LAB
HEC
JAA
SUL Fig. 3 Phylogenetic distribution of soil organic matter (SOM)-up-regulated genes. The panel shows the expression and presence of SOM-up-regulated
genes in orthologous groups (rows, fold change > 5 of pairwise comparisons in SOM extract vs modified Melin–Norkrans (MMN) medium; q < 0.01; n = 3)
shared by at least two species (columns). The species abbreviations and clade affiliations (colour coded) are shown in the legend of Fig. 1. Secretome Between 6 and 9% of all SOM-up-regulated genes (q < 0.01)
were predicted to encode secreted proteins (Table S1). The New Phytologist (2016) 209: 1705–1719
www.newphytologist.com New Phytologist (2016) 209: 1705–1719
www.newphytologist.com New
Phytologist New
Phytologist Research
1712 up-regulated secretome contained a large fraction of genes that
were either species specific or shared with a limited set of other
species (Tables S4). Still, the functional annotation terms of the
proteins in the up-regulated secretome were similar. The SOM-
induced secretomes contained a large fraction (38–60%) of genes
encoding extracellular enzymes such as oxidases, hydrolases and
peptidases (Fig. 4). Apart from these enzymes, the up-regulated
secretomes also contained cell wall proteins including members
of
the
hydrophobin
family
(Pfam
domain
PF01185). Hydrophobins are small (c. 100 amino acid (aa) residues) cys-
teine-rich proteins that can self-assemble and form aggregations
of proteins on surfaces of filamentous ascomycetes and basid-
iomycetes (W€osten, 2001). Among the most highly expressed
proteins in the up-regulated secretome were also a large number
of small secreted proteins (SSPs; < 300 aa) that lacked both Pfam
domains and homologues, so they can be referred to as orphans. them were significantly up-regulated in the SOM extract. More-
over, P. involutus and S. luteus expressed several genes encoding
PODs such as catalases, heme-containing haloperoxidases and
one class of nonheme typical two-cysteine peroxiredoxin that was
not found in the saprotrophic Boletales (Fig. S9; Table S9). By
contrast, the BR Boletales highly expressed various iron reduc-
tases (such as AA8) (Fig. 5). Laccaria bicolor, H. cylindrosporum and P. croceum expressed
unique profiles of oxidoreductases that differed from the profiles
of P. involutus and S. luteus (Figs 5, S8, S9). For example, the
SOM-induced transcriptome of L. bicolor was characterized by
CROs; that of H. cylindrosporum by low numbers and expression
levels of laccases (AA1_1); and that of P. croceum by a compara-
tively large number of GMCOs and secreted tyrosinases. Although putative class II PODs of L. bicolor, H. cylindrosporum
and P. croceum were up-regulated on the SOM substrate, none of
them was classified as classical class II PODs (a group that
includes lignin PODs, manganese PODs and versatile PODs),
which are typical for WR fungi (Table S8). The dye-
decolourizing
PODs
were
also
up-regulated
in
L. bicolor,
H. cylindrosporum and S. luteus (Fig. 5). Lignin- and carbohydrate-degrading enzymes Upon SOM decomposition, all of the examined ECM fungi
expressed a range of genes encoding enzymes involved in the
oxidative degradation of lignocellulose and the production of
hydrogen peroxide: for example, laccases, which catalyse the
oxidation of a wide range of organic compounds; glucose-
methanol-choline
oxidoreductases
(GMCOs)
and
copper-
radical oxidases (CROs), which reduce oxygen to peroxide and
might support Fenton chemistry and PODs by supplying
extracellular hydrogen peroxide; various PODs; and tyrosinases
(Fig. 5; Tables S8, S9). Many of the enzymes that were up-regulated upon SOM
decomposition are members of large gene families including lac-
cases (Fig. 5). Phylogenetic analysis showed that the laccase fam-
ily in P. involutus, S. luteus, L. bicolor and P. croceum contained
many recent gene duplicates (i.e. paralogues) (Fig. 6a). Many of
them were up-regulated during growth on the SOM extract
(Fig. 6b). The saprotrophic species, as was expected, expressed several
genes encoding GHs and carbohydrate esterases (CEs) that are
predicted to be active on cellulose, cellulose/hemicelluloses,
hemicelluloses and starch (Figs 5, S10a; Table S10). By contrast,
the ECM expressed a limited set of genes encoding CAZymes Distinctive differences in the expression patterns of oxidore-
ductases were found between the ECM fungi and the sapro-
trophic Boletales (Figs 5, S8). Compared with the BR species,
P. involutus and S. luteus expressed more laccases and several of 0
20
40
60
80
100
PAI
SUL
COP
HYP
SEL
LAB
HEC
PIC
JAA
Oxidoreductases
Hydrolases
Peptidases
Other enzymes
Cell wall proteins
Miscellaneous
No Pfam
Orphans
Proportions (%)
Fig. 4 Functional categories of genes
encoding secreted proteins and which are
up-regulated during growth on soil organic
matter (SOM) extract. Shown is the
proportion of proteins annotated as oxidases,
hydrolases, peptidases, other enzymes, and
cell wall proteins that were significantly up-
regulated as revealed by RNA-Seq analysis
(pairwise comparisons in SOM extract vs
modified Melin–Norkrans (MMN) medium;
q < 0.01; n = 3). The category ‘Miscellaneous’
includes proteins with a diverse set of
conserved protein family (Pfam) domains
that could not be annotated as enzymes or
cell wall proteins. Orphans are putative
proteins that lack both Pfam domains and
homologues. The species abbreviations are
listed in the legend of Fig. 1. The total
numbers of SOM-up-regulated genes are
shown in Supporting Information Table S1. 2015 The Authors
New Phytologist 2015 New Phytologist Trust Lignin- and carbohydrate-degrading enzymes The complete sets of enzymes are shown in Supporting Information Figs S8–S10 and Tables S8–S10. The species
abbreviations and clade affiliations (colour coded) are shown in the legend of Fig. 1. Fig. 5 Soil organic matter (SOM) regulation of selected genes encoding auxiliary redox activities/enzymes (AAs), peroxidases and carbohydrate-modifying
enzymes acting on cellulose. Shown is the average ratio of gene expression (n = 3) of pairwise comparisons in SOM extract vs modified Melin–Norkrans
(MMN) medium. Within each subpanel, one for each species, the boxes represent individual gene models found within the family, and the colours show
the fold change in expression. The complete sets of enzymes are shown in Supporting Information Figs S8–S10 and Tables S8–S10. The species
abbreviations and clade affiliations (colour coded) are shown in the legend of Fig. 1. and only a few of them were SOM-up-regulated (Fig. S10b). CAZy genes induced by the addition of SOM extract differed
between ECM species. Among the induced genes were LPMOs
(formerly GH61), which catalyse the oxidative cleavage of
cellulose (L. bicolor), GH12 endoglucanases (P. croceum and
L. bicolor),
a
GH5-7
mannanase
(S. luteus),
GH79
b-
glucuronidases, GH3 b-glucosidases, which are involved in the
cleavage of cellobiose to glucose, and various other hemicellulose-
and starch-related genes. Secondary metabolites All nine examined fungi contained genes encoding enzymes with
possible
roles
in
the
synthesis
of
secondary
metabolites
(Table S13). The total number of polyketide synthase and nonri-
bosomal peptide synthetase genes varied from three to four in
L. bicolor and P. croceum to 16 in S. lacrymans, and several of
those genes were up-regulated upon SOM decomposition
(Fig. S13). With the exception of C. puteana, the Boletales species
contained genes encoding quinone synthetases. Two of these
genes were significantly up-regulated in P. involutus, three were
up-regulated in S. luteus and one was up-regulated in H. pinastri. Peptidases Depending on the species, 4–13% of the SOM-induced secre-
tome constituted peptidases (Fig. S11; Table S11). Although the
most common types were endopeptidases of the aspartate pro-
tease A1 subfamily, each species expressed a diverse set of
endopeptidases (including subfamilies M36, S8 and S53) and
exopeptidases (M28, S9 and S28). The variation in the expres-
sion patterns of peptidases among species was smaller than that
of oxidoreductases. A phylogenetic analysis of the A1 aspartate
protease family showed that this family contained both gene
duplicates shared with other species (i.e. orthologues) as well par-
alogues. Members of both categories were SOM-up-regulated
(Fig. S12; Table S12). 2015 The Authors
New Phytologist 2015 New Phytologist Trust Lignin- and carbohydrate-degrading enzymes New Phytologist (2016) 209: 1705–1719
2015 The Authors 0
20
40
60
80
100
PAI
SUL
COP
HYP
SEL
LAB
HEC
PIC
JAA
Oxidoreductases
Hydrolases
Peptidases
Other enzymes
Cell wall proteins
Miscellaneous
No Pfam
Orphans
Proportions (%)
New Phytologist (2016) 209: 1705–1719
www.newphytologist.com 0
20
40
60
80
100
PAI
SUL
COP
HYP
SEL
LAB
HEC
PIC
JAA
Oxidoreductases
Hydrolases
Peptidases
Other enzymes
Cell wall proteins
Miscellaneous
No Pfam
Orphans
Proportions (%) Fig. 4 Functional categories of genes
encoding secreted proteins and which are
up-regulated during growth on soil organic
matter (SOM) extract. Shown is the
proportion of proteins annotated as oxidases,
hydrolases, peptidases, other enzymes, and
cell wall proteins that were significantly up-
regulated as revealed by RNA-Seq analysis
(pairwise comparisons in SOM extract vs
modified Melin–Norkrans (MMN) medium;
q < 0.01; n = 3). The category ‘Miscellaneous’
includes proteins with a diverse set of
conserved protein family (Pfam) domains
that could not be annotated as enzymes or
cell wall proteins. Orphans are putative
proteins that lack both Pfam domains and
homologues. The species abbreviations are
listed in the legend of Fig. 1. The total
numbers of SOM-up-regulated genes are
shown in Supporting Information Table S1. New Phytologist (2016) 209: 1705–1719
www.newphytologist.com 2015 The Authors
New Phytologist 2015 New Phytologist Trust New
Phytologist Research 1713 Fig. 5 Soil organic matter (SOM) regulation of selected genes encoding auxiliary redox activities/enzymes (AAs), peroxidases and carbohydrate-modifying
enzymes acting on cellulose. Shown is the average ratio of gene expression (n = 3) of pairwise comparisons in SOM extract vs modified Melin–Norkrans
(MMN) medium. Within each subpanel, one for each species, the boxes represent individual gene models found within the family, and the colours show
the fold change in expression. The complete sets of enzymes are shown in Supporting Information Figs S8–S10 and Tables S8–S10. The species
abbreviations and clade affiliations (colour coded) are shown in the legend of Fig. 1. y
g Fig. 5 Soil organic matter (SOM) regulation of selected genes encoding auxiliary redox activities/enzymes (AAs), peroxidases and carbohydrate-modifying
enzymes acting on cellulose. Shown is the average ratio of gene expression (n = 3) of pairwise comparisons in SOM extract vs modified Melin–Norkrans
(MMN) medium. Within each subpanel, one for each species, the boxes represent individual gene models found within the family, and the colours show
the fold change in expression. New Phytologist (2016) 209: 1705–1719
www.newphytologist.com Discussion In one of the earliest articles on ECM symbiosis, Frank stated
that there is ‘no doubt that mycorrhizal fungi account for a major
fraction of litter turnover, in order to supply nutrients to the
trees’ (translation from German) (Frank, 1894). However, ECM
fungi have primarily been considered as biotrophs that obtain
their energy and C from the host plant and have a limited capac-
ity to affect the decomposition of organic material, and the
decomposition of such material has been assumed to be carried
out almost exclusively by free-living saprotrophic fungi. The New Phytologist (2016) 209: 1705–1719
www.newphytologist.com New
Phytologist Research
1714 0.1
PIC6
PIC11
PIC10
PIC5
PIC9
SEL3
COP6
COP7
COP4
COP1
PAI13
PAI4
PAI8
PAI6
PAI3
PAI9
PAI11
HYP9
SUL1
SUL3
PAI1
HYP1
HYP2
PAI12
HYP3
SEL1
COP5
SUL6
PAI2
HYP4
SUL15
SUL8
SUL7
SUL5
SUL16
SUL14
SUL10
SUL12
SUL4
SUL2
HEC2
HEC1
LAB7
LAB9
LAB2
LAB4
LAB6
LAB3
PIC2
PIC1
PIC7
PIC8
PIC3
PIC4
JAA1
LAB1
LAB5
LAB8
SUL13
PAI7
HYP5
HYP7
HYP8
PAI10
COP3
SUL11
SUL9
PAI5
HYP6
SEL2
SEL4
98
100
100
71
100
80
96
100
97
96
100
99
55
88
100
79
71
71
100
97
100
100
98
99
99
87
98
100
99
100
67
51
97
65
98
99
83
90
99
92
98
99
82
100
100
53
100
96
58
100
100
100
96
56
100
100
100
78
97
60
79
100
73
P
P
P
P
P
P
P
(a) (a) Fig. 6 Phylogeny and expression patterns of
laccases. (a) An unrooted maximum
likelihood tree of protein sequences of 71
laccases retrieved from sequences of genome
models (cf. Supporting Information
Table S8). Bootstrap values are shown for
branches having > 50% support. The gene
models were assigned trivial names according
to the fold change (from highest to lowest) in
pairwise comparisons in soil organic matter
(SOM) extract vs modified Melin–Norkrans
(MMN) medium. Vertical bars labelled with a
‘P’ indicate paralogue clades with > 50%
bootstrap support grouping at least three
sequences coming from only one species. (b)
SOM regulation of the 71 laccase genes. The
bars show the average fold change (n = 3) in
pairwise comparisons in media containing
SOM extract vs MMN medium. Along the x-
axis are gene models from the different
fungi. For each species, the models are
arranged from highest to lowest fold
changes. 2015 The Authors
New Phytologist 2015 New Phytologist Trust New Phytologist (2016) 209: 1705–1719
www.newphytologist.com Discussion GMCOs and CROs) that are thought to be
involved in generating H2O2 in Fenton-type reactions in BR
fungi (Martinez et al., 2009; Levasseur et al., 2013). Genes
encoding enzymes more frequently connected with lignin decay
in WR fungi were also expressed, including laccases, dye-
decolourizing PODs and haloperoxidases (Hatakka & Hammel,
2010; Hofrichter et al., 2010). Though the observed oxidative modifications of the SOM dur-
ing decomposition were similar across the examined ECM
i
h
f h
id i
diff
d
d
l
d
h
short- and medium-distance-exploration types. Differences in N
uptake between exploration types have been observed in field
studies using isotopes (Hobbie & Agerer, 2010). Despite the sim-
ilarity in the chemical transformation of the SOM extract, each
species expressed a different set of transcripts, which suggests that
the decomposition mechanisms have diverged over evolutionary
time. For the most part, the divergence in the SOM-induced
expression profiles increased with evolution: that is, closely
related species displayed profiles that were more similar than dis-
tantly related species. This is expected not only because of the
evolutionary distance between the examined ECM lineages but
also because of the diverse nutritional backgrounds from which
these ECM lineages have evolved (Matheny et al., 2006; Kohler
et al., 2015). Analysis of the phylogenetic distribution of the
SOM-up-regulated genes indicates that the diversification of the
decomposition mechanism involves several evolutionary pro-
cesses. First, diversification is associated with differences in the
regulation of orthologues genes that are shared between distantly
related species. Second, the decomposition mechanism has
evolved by incorporating enzymes from different families with
apparently similar catalytic properties. For example, the exam-
ined species expressed genes encoding various enzymes from the
laccase, GMCO and CRO gene families that all could presum-
ably generate the H2O2 that is needed for Fenton chemistry. Third, diversification is associated with the expression of
species-specific genes. Such genes include recent gene duplicates
(i.e. paralogues) of gene families that are conserved across the
Agaricomycetes, as exemplified by the laccase gene family, but
also orphans which lack both Pfam domains and homologues in
other species. The observed species-specific changes in gene expression levels
i hi
h B l
l
h
l
i
h
id i
PAI
SUL
SEL
HYP
COP
LAB
HEC
PIC
JAA
Fold change (SOM/MMN)
(b)
Fig. 2015 The Authors
New Phytologist 2015 New Phytologist Trust Discussion 6 Continued
New
Phytologist
Research 1 Research 1715 PAI
SUL
SEL
HYP
COP
LAB
HEC
PIC
JAA
Fold change (SOM/MMN)
(b)
g. 6 Continued
hytologist Fig. 6 Continued Fig. 6 Continued Spectroscopic analysis and genome-wide transcriptome profil-
ing showed that the decomposition of SOM by the analysed
ECM fungi involved oxidative processes and that these processes
were similar to those of saprotrophic fungi. The chemical changes
in the organic material were reflected in marked modifications of
the polysaccharide and carbonyl regions of the FTIR spectra. In
particular, the decrease in the polysaccharide content coincided
with an increase in C=O linkages, indicating partial oxidation of
the material during its decomposition (Weiland & Guyonnet,
2003). The SOM decomposed by species within the Boletales
clade was analysed using py-GC/MS, which showed that the
ECM species modified the side-chain structures of lignin-derived
molecules, as expected by a Fenton mechanism similar to that of
BR saprotrophs (Yelle et al., 2011). The detection of extracellular
iron-reducing activity further supported a Fenton mechanism
(Hatakka & Hammel, 2010; Eastwood et al., 2011). Notably, all
ECM species except H. cylindrosporum had extracellular iron-
reducing activity upon growth on the SOM extract, which agrees
with experimental studies showing that Fenton chemistry is pre-
sent in Agaricomycetes outside BR fungi (Tanaka et al., 2007;
Gomez-Toribio et al., 2009; Arantes et al., 2011). During SOM
decomposition, the ECM fungi expressed a number of oxidore-
ductases (e.g. GMCOs and CROs) that are thought to be
involved in generating H2O2 in Fenton-type reactions in BR
fungi (Martinez et al., 2009; Levasseur et al., 2013). Genes
encoding enzymes more frequently connected with lignin decay
in WR fungi were also expressed, including laccases, dye-
decolourizing PODs and haloperoxidases (Hatakka & Hammel,
2010; Hofrichter et al., 2010). short- and medium-distance-exploration types. Differences in N
uptake between exploration types have been observed in field
studies using isotopes (Hobbie & Agerer, 2010). Despite the sim-
ilarity in the chemical transformation of the SOM extract, each
species expressed a different set of transcripts, which suggests that
the decomposition mechanisms have diverged over evolutionary
time. For the most part, the divergence in the SOM-induced
expression profiles increased with evolution: that is, closely
related species displayed profiles that were more similar than dis-
tantly related species. New Phytologist (2016) 209: 1705–1719
www.newphytologist.com Discussion The arrows indicate that the gene is
found in a clade of paralogues. A fold change
value of 1 indicates equal transcription level
in the two media. The species abbreviations
and clade affiliations (colour coded) are
shown in the legend of Fig. 1. limited decomposing ability of ECM fungi is supported by recent
findings showing that they have lost many of the genes that
encode plant cell wall-degrading enzymes in their saprotrophic
ancestors (Kohler et al., 2015). However, here we demonstrate
that ECM fungi representing at least four distant origins of sym-
biosis have retained a significant capacity to decompose SOM using oxidative mechanisms. Although recent laboratory and field
studies suggest that ECM fungi can act as SOM decomposers
(Rineau et al., 2012; B€odeker et al., 2014; Phillips et al., 2014;
Lindahl & Tunlid, 2015), we show that this capacity is
widespread in ECM fungi, expanding the roles of these fungi in
the forest C cycle. New Phytologist (2016) 209: 1705–1719
www.newphytologist.com 2015 The Authors
New Phytologist 2015 New Phytologist Trust New
Phytologist New
Phytologist Spectroscopic analysis and genome-wide transcriptome profil-
ing showed that the decomposition of SOM by the analysed
ECM fungi involved oxidative processes and that these processes
were similar to those of saprotrophic fungi. The chemical changes
in the organic material were reflected in marked modifications of
the polysaccharide and carbonyl regions of the FTIR spectra. In
particular, the decrease in the polysaccharide content coincided
with an increase in C=O linkages, indicating partial oxidation of
the material during its decomposition (Weiland & Guyonnet,
2003). The SOM decomposed by species within the Boletales
clade was analysed using py-GC/MS, which showed that the
ECM species modified the side-chain structures of lignin-derived
molecules, as expected by a Fenton mechanism similar to that of
BR saprotrophs (Yelle et al., 2011). The detection of extracellular
iron-reducing activity further supported a Fenton mechanism
(Hatakka & Hammel, 2010; Eastwood et al., 2011). Notably, all
ECM species except H. cylindrosporum had extracellular iron-
reducing activity upon growth on the SOM extract, which agrees
with experimental studies showing that Fenton chemistry is pre-
sent in Agaricomycetes outside BR fungi (Tanaka et al., 2007;
Gomez-Toribio et al., 2009; Arantes et al., 2011). During SOM
decomposition, the ECM fungi expressed a number of oxidore-
ductases (e.g. Discussion Taken together, the results of this study suggest that the pri-
mary function of the oxidative decomposition system of ECM
fungi is to open up SOM complexes and thereby mobilize
sequestered proteins and other nutrient sources. However, the
oxidation may also influence the functionality of the SOM and
the stability of soil C. Oxidative transformations can make the
SOM available for further degradation by saprotrophic microor-
ganisms that contain the enzymatic machinery for depolymeriza-
tion and complete mineralization. Alternatively, oxidation of
biomolecules present in the aqueous pool of SOM will enhance
their polarity and chemical reactivity, and such modifications
could promote the formation of stable supramolecular aggregates
or organic matter–mineral complexes (Kleber & Johnson, 2010;
Kleber et al., 2015). These processes and the widespread presence
of ECM fungi (H€ogberg & H€ogberg, 2002) suggest that ECM
fungi can have an important role in the turnover and stabilization
of organic matter in forest soils. An implication from this study is that the presently used
methods for measuring the decomposition activities of ECM
fungi in the field that are based on measuring enzyme activities
or transcript levels of oxidases such as laccases, phenol oxidases
and class II PODs (e.g. B€odeker et al., 2014; Phillips et al.,
2014) do not capture the diversity of oxidative mechanisms. Our results suggest that ECM fungi decompose SOM using
mechanisms involving the action of both oxidative enzymes
and oxygen radicals formed by nonenzymatic Fenton reactions. Further studies are needed to identify the key enzymes and
molecular components of these oxidation reactions, and how
their expression levels correlate with the chemical modifications
of SOM. Data from such experiments will probably generate
novel biomarkers that can accurately predict the decomposition
activities of ECM fungi in situ. g
In agreement with previous studies, addition of glucose
stimulated the oxidative decomposition of organic matter in
both ECM fungi (Rineau et al., 2012) and BR fungi (Varela
et al., 2003). Accordingly, radical-based oxidation mechanisms
in ECM and saprotrophic fungi can be described as co-
metabolic processes that require growth on a source of utiliz-
able C and energy. In saprotrophs, metabolic C is liberated
from dead organic matter by the action of hydrolytic enzymes,
such
as
CAZymes. Polysaccharides
were
decomposed
by
H. pinastri and C. puteana during growth on the SOM extract
(Fig. 2c). Discussion In addition, progressive
increases in C : N ratios during ECM colonization of organic
matter support selective assimilation of N (Lindahl et al., 2007;
Clemmensen et al., 2013). However, upon growth on the
SOM extract, the ECM species in our data set expressed low
levels of a few CAZymes (e.g. mannanases and endoglucanses)
involved in plant cell wall decomposition. This suggests that
some hydrolytic decomposition of carbohydrates could have
taken place during SOM decomposition. In saprophytic fungi,
the expression of plant cell wall-degrading CAZymes is com-
monly repressed in the presence of glucose (Aro et al., 2005). Additional studies are needed to show if such enzymes are
repressed in a similar way in ECM fungi and if their activity
can release metabolic C during SOM decomposition. saprotrophy in H. pinastri, is not clear (Kohler et al., 2015). Hence, the similar oxidative decomposition mechanisms of
P. involutus and S. luteus might be a result of convergent evolu-
tion from two independent saprotrophic ancestors. Alternatively,
if the ECM lifestyle evolved only once between P. involutus and
S. luteus, then the saprotrophic decomposition mechanism of
H. pinastri represents a reversal from an ECM ancestor. Such an
ancestor probably contained a larger array of genes encoding
saprotrophy-related enzymes such as LPMOs or GH28 pecti-
nases than do the extant ECM Boletales (Kohler et al., 2015). The extensive SOM-induced expression of laccases and the
expansion of this family in the genomes of ECM fungi as com-
pared with that in the BR wood decayers suggest that laccases
play an important role in the decomposition of SOM. This possi-
bility is supported by the fact that laccases have low redox poten-
tials that are suitable for oxidizing small lignin- and phenolic-like
compounds present in SOM (Martinez et al., 2005; Hatakka &
Hammel, 2010). By contrast, in the absence of low-molecular-
weight redox mediators, laccases cannot depolymerize macro-
molecular lignin found in native wood substrates (Martinez et al.,
2005; Hatakka & Hammel, 2010). However, in addition to their
possible involvement in the degradation of organic material, lac-
cases may also have several other functions in fungi, for example
in pigment formation, fruiting body development, defence reac-
tions and detoxification (K€ues & Ruhl, 2011). Discussion This is expected not only because of the
evolutionary distance between the examined ECM lineages but
also because of the diverse nutritional backgrounds from which
these ECM lineages have evolved (Matheny et al., 2006; Kohler
et al., 2015). Analysis of the phylogenetic distribution of the
SOM-up-regulated genes indicates that the diversification of the
decomposition mechanism involves several evolutionary pro-
cesses. First, diversification is associated with differences in the
regulation of orthologues genes that are shared between distantly
related species. Second, the decomposition mechanism has
evolved by incorporating enzymes from different families with
apparently similar catalytic properties. For example, the exam-
ined species expressed genes encoding various enzymes from the
laccase, GMCO and CRO gene families that all could presum-
ably generate the H2O2 that is needed for Fenton chemistry. Third, diversification is associated with the expression of
species-specific genes. Such genes include recent gene duplicates
(i.e. paralogues) of gene families that are conserved across the
Agaricomycetes, as exemplified by the laccase gene family, but
also orphans which lack both Pfam domains and homologues in
other species. Though the observed oxidative modifications of the SOM dur-
ing decomposition were similar across the examined ECM
species, the extent of the oxidation differed and was related to the
growth rate and the rate of N uptake by the ECM fungi. The
rapidly growing, long-distance-exploration types oxidized SOM
and assimilated N to a greater extent than did the slow-growing, The observed species-specific changes in gene expression levels
within the Boletales suggest that selection may shape oxidative
decomposition mechanisms over a short evolutionary time. Whether P. involutus and S. luteus represent two independently
evolved ECM lineages, or a single ECM origin and a reversal to New Phytologist (2016) 209: 1705–1719
www.newphytologist.com New
Phytologist New
Phytologist Research
1716 coding
for
cell-wall-degrading
enzymes
in
ECM
species
(Kohler et al., 2015) seems to support this. This hypothesis is
also supported by field studies showing that ECM root tips
only accumulate trace levels of 14C-labelled leaf litter (Treseder
et al., 2006). That ECM fungi obtain most of the C from their
host plant is also indicated by 14C dating showing that the
structural C was synthesized from recent photosynthate while
proteins of ECM sporocarps were built from older pools of
soil organic N (Hobbie et al., 2013). Discussion However, the very low extent of oxidation of the
SOM extract in the absence of glucose suggests that the
amount of C that was released during the limited time of
incubation (7 d) was too low to support significant levels of
oxidation. In ECM fungi, metabolic C is primarily provided
by the plant host and the overall reduced number of genes 2015 The Authors
New Phytologist 2015 New Phytologist Trust New Phytologist (2016) 209: 1705–1719
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M.E., F.R., M.S., R.C., T.J., P.P. and A.T. performed the
research; F.S., C.N., J. Braesel, M.S., F.R., B.C., D.F., G.L., J. Bentzer, D.H., B.H., D.A., T.J., D.S.H., F.M., P.P. and A.T. analysed the data; F.S., C.N., D.F., T.J., P.P. and A.T. wrote the
paper. F.S., C.N., T.J., P.P. and A.T. designed the research; F.S., C.N.,
M.E., F.R., M.S., R.C., T.J., P.P. and A.T. performed the
research; F.S., C.N., J. Braesel, M.S., F.R., B.C., D.F., G.L., J. Bentzer, D.H., B.H., D.A., T.J., D.S.H., F.M., P.P. and A.T. analysed the data; F.S., C.N., D.F., T.J., P.P. and A.T. wrote the
paper. Floudas D, Binder M, Riley R, Barry K, Blanchette RA, Henrissat B, Martinez
AT, Otillar R, Spatafora JW, Yadav JS et al. 2012. The Paleozoic origin of
enzymatic lignin decomposition reconstructed from 31 fungal genomes. Science
336: 1715–1719. Frank B. 1894. Die Bedeutung der Mykorhiza Pilze f€ur die gemeine Kiefer. Forstwissenschaftliches Centralblatt 16: 185–190. Gomez-Toribio V, Garcia-Martin AB, Martinez MJ, Martinez AT, Guillen F. 2009. Induction of extracellular hydroxyl radical production by white-rot fungi
through quinone redox cycling. Applied and Environmental Microbiology 75:
3944–3953. Acknowledgements This work was supported by grants from the Swedish Research
Council (VR) (to A.T. and P.P.), the Knut and Alice Wallen-
berg Foundation (to A.T.), the strategic research programme
Biodiversity and Ecosystem Services in a Changing Climate
(BECC) (to A.T.) and the French National Research Agency
through the Laboratory of Excellence ARBRE (ANR-11-
LABX-0002-01) (to F.M.). Genome sequencing was conducted
by the US Department of Energy Joint Genome Institute, sup-
ported by the Office of Science of the US Department of
Energy. We also thank Annegret Kohler and Nicolas Cichocki
for handling the fungal cultures, and principal investigators
from the Mycorrhizal Genomics Initiative Consortium for pro-
viding the strain cultures and access to the genome sequences
before publication. 2015 The Authors
New Phytologist 2015 New Phytologist Trust New
Phytologist New
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Expression
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CAZymes. Simpson AJ, Song G, Smith E, Lam B, Novotny EH, Hayes MH. 2007. Unraveling the structural components of soil humin by use of solution-state New Phytologist (2016) 209: 1705–1719
www.newphytologist.com 2015 The Authors
New Phytologist 2015 New Phytologist Trust 2015 The Authors
New Phytologist 2015 New Phytologist Trust New
Phytologist Research 1719 Fig. S11 Expression profiles of genes encoding extracellular pep-
tidases. Fig. S11 Expression profiles of genes encoding extracellular pep-
tidases. Fig. S12 Phylogeny and expression patterns of aspartate pro-
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thetic enzymes involved in secondary metabolism. Table S1 Fungi used in this study and the assessment of the tran-
scribed fraction of their genomes based on RNA-Seq data Table S2 Carbon and nitrogen concentrations of the SOM
extract Table S3 List of pyrolytic compounds identified by py-GC/MS
analysis of the SOM extract Table S3 List of pyrolytic compounds identified by py-GC/MS
analysis of the SOM extract Please note: Wiley Blackwell are not responsible for the content
or functionality of any supporting information supplied by the
authors. Any queries (other than missing material) should be
directed to the New Phytologist Central Office. Table S4 Numbers of gene models in various (co)-orthologous
groups Table S5 Numbers of highly SOM-up-regulated genes Table S5 Numbers of highly SOM-up-regulated genes 2015 The Authors
New Phytologist 2015 New Phytologist Trust New Phytologist (2016) 209: 1705–1719
www.newphytologist.com New Phytologist is an electronic (online-only) journal owned by the New Phytologist Trust, a not-for-profit organization dedicated
to the promotion of plant science, facilitating projects from symposia to free access for our Tansley reviews. New Phytologist is an electronic (online-only) journal owned by the New Phytologist Trust, a not-for-profit organization dedicated
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https://openalex.org/W2619324418
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English
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Characterization of meta-Cresol Purple for spectrophotometric pH measurements in saline and hypersaline media at sub-zero temperatures
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Scientific reports
| 2,017
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cc-by
| 9,728
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Characterization of meta-Cresol
Purple for spectrophotometric
pH measurements in saline and
hypersaline media at sub-zero
temperatures
Socratis Loucaides1,2, Victoire M. C. Rèrolle2, Stathys Papadimitriou3, Hilary Kennedy3,
MatthewC Mowlem2 AndrewG Dickson4 MarthaGledhill1,5 & Eric P Achterberg1,5 Received: 2 August 2016
Accepted: 13 April 2017
Published: xx xx xxxx Received: 2 August 2016
Accepted: 13 April 2017
Published: xx xx xxxx Socratis Loucaides1,2, Victoire M. C. Rèrolle2, Stathys Papadimitriou3, Hilary Kennedy3,
Matthew C. Mowlem2, Andrew G. Dickson4, Martha Gledhill1,5 & Eric P. Achterberg1,5 Accurate pH measurements in polar waters and sea ice brines require pH indicator dyes characterized
at near-zero and below-zero temperatures and high salinities. We present experimentally determined
physical and chemical characteristics of purified meta-Cresol Purple (mCP) pH indicator dye suitable for
pH measurements in seawater and conservative seawater-derived brines at salinities (S) between 35 and
100 and temperatures (T) between their freezing point and 298.15 K (25 °C). Within this temperature
and salinity range, using purified mCP and a novel thermostated spectrophotometric device, the pH on
the total scale (pHT) can be calculated from direct measurements of the absorbance ratio R of the dye in
natural samples as = −
+
−
−
pH
k e
R
e
R
log
log
1
(
)
T
T
e
e
2
2
1
3
2 = −
+
−
−
pH
k e
R
e
R
log
log
1
(
)
T
T
e
e
2
2
1
3
2 Based on the mCP characterization in these extended conditions, the temperature and salinity dependence
of the molar absorptivity ratios and −
k e
log(
)
T
2
2 of purified mCP is described by the following functions:
e1 = −0.004363 + 3.598 × 10−5T, e3/e2 = −0.016224 + 2.42851 × 10−4T + 5.05663 × 10−5(S − 35), and
−
k e
log(
)
T
2
2 = −319.8369 + 0.688159 S −0.00018374 S2 + (10508.724 − 32.9599 S + 0.059082S2)
T−1 + (55.54253 − 0.101639 S) ln T −0.08112151T. This work takes the characterisation of mCP beyond the
currently available ranges of 278.15 K ≤ T ≤ 308.15 K and 20 ≤ S ≤ 40 in natural seawater, thereby allowing
high quality pHT measurements in polar systems. About half of the anthropogenic carbon dioxide (CO2) released to the atmosphere since the industrial revolution
has been absorbed by the oceans1. This process continues today and buffers atmospheric CO2 levels, thereby
partly alleviating global warming. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Received: 2 August 2016
Accepted: 13 April 2017
Published: xx xx xxxx www.nature.com/scientificreports/ www.nature.com/scientificreports/ saturation states of calcite and aragonite7, 8. The contemporary ocean shows the lowest buffering capacity (highest
Revelle factor) in polar waters9, and it is projected that by the end of the century these regions will become under-
saturated with respect to aragonite10, 11.l p
g
Although high latitude waters contribute disproportionally to the oceanic CO2 uptake5, 12, the flux estimates
are based on data available from periods of seasonal sea ice retreat and parts of the ocean which are ice-free13. Over the last few years the role of sea ice processes in CO2 cycling has been increasingly recognised. Sea ice is
a porous medium and within its pores and channels are gas pockets and residual high ionic strength liquids
(brines) at thermal equilibrium with the ice14. The brine, enriched in seawater solutes rejected from the ice during
freezing14, is the habitat of sympagic phototrophic and heterotrophic organisms15, 16. It has been estimated that in
first- and multi-year ice packs of the Southern Ocean, primary production results in the fixation of 36 Tg C yr−1
into biomass17. It is now accepted that the sea ice pack and land fast ice are to a measurable extent CO2 permea-
ble and that internal physical, chemical, and biological processes taking place during ice formation and melting
may play a significant role in CO2 cycling in high latitude oceans18–20. For example, gravity drainage of CO2-rich
brines during ice formation may be a significant and so far unaccounted sink of dissolved inorganic carbon
(DIC) in surface waters with estimates in the order of 200–500 Tg C yr−1 for the (Arctic and Antarctic) polar
oceans21. Carbonate mineral precipitation in brines during ice formation may present a potentially significant
source of total alkalinity (TA) to polar surface waters following their dissolution when sea ice melts, generating
an additional sink (~33–83 Tg C yr−1) of atmospheric CO2, which is equivalent to 17–42% of the air-sea CO2 flux
in open high latitude ocean waters22. In addition to these mechanisms (gravity drainage, CaCO3 formation in sea
ice), based on recent direct measurements of the CO2 exchange between sea ice and the atmosphere as a function
of ice temperature, the Antarctic ice pack, during seasonal warming, was estimated to take up the equivalent of
58% of the atmospheric CO2 uptake of the open Southern Ocean surface waters south of 50°S23. www.nature.com/scientificreports/ The interplay
between biological and physicochemical processes makes carbonate chemistry within sea ice highly complex,
leading to strong gradients in pH between the ice and underlying waters with potentially significant impacts on
ocean-atmosphere CO2 fluxes15, 18, 24–26. p
2l
Our ability to characterize the marine carbonate system in open ocean waters has undergone major advance-
ments during the last few decades, but our understanding of CO2 cycling in ice brine conditions remains limited
due to theoretical and methodological constraints25. Sea ice brines exhibit a much wider range of salinity (S) and
temperature (T) changes within short temporal and spatial scales than the open ocean. Specifically, brine S-T con-
ditions in sea ice extend to the hypersaline region (S > 100) at temperatures much colder than the freezing tem-
peratures of seawater (271.23 K at S = 35 and 0 dbar pressure)18, 20, 27. Such large ranges in T and S make the use
of traditional ex situ pH and pCO2 (partial pressure of CO2) measurement techniques a challenge, because in situ
temperature corrections are required post-analysis using relationships and constants that have not been validated
for below- zero temperatures. The most robust method for back-calculating pH and pCO2 to in situ T relies on the
solution of a thermodynamic model that describes the marine CO2 system28. This requires the knowledge of the
first and second acidity constant of carbonic acid at in situ T and S. Empirical data for these constants, however,
are not available to date for T < 274.15 K and S > 50 in natural seawater while non-linear extrapolation to low T
and high S can potentially result in large errors in calculated pH and pCO2 values29. g
p
y
g
p
p
2
Experimental determination of the carbonic acid acidity constants can be facilitated by measurements of all
four variables (DIC, TA, pH, pCO2) of the marine carbonate system at the S and T of interest. Although meas-
urements of TA, DIC, and pCO2 at sub-zero temperatures and hyper-saline conditions are possible using current
methodologies and instrumentation28, spectrophotometric pH measurements are limited to the range of condi-
tions for which indicators have been characterised. For example, the characterization of the commonly used indi-
cator dye meta-Cresol Purple (mCP) is only valid for 278.15 K ≤ T ≤ 308.15 K and 20 ≤ S ≤ 4030, 31. www.nature.com/scientificreports/ Furthermore,
pH measurements at low temperatures using conventional optical apparatus (spectrophotometers, glass cells,
lenses etc.) are highly problematic due to the formation of condensation along the optical path.h )
g y p
g
p
p
The purpose of this work was to facilitate pH measurements in cold and hypersaline conditions, such as
those encountered in the oceanic cryosphere. To this end, we extended the characterization of the pH indicator
mCP (in its purified form) to below-zero temperatures down to the freezing point (267.15 K) of S = 100 brines. The salinity maximum and temperature minimum were set by the S-T range in natural sea ice brines with con-
servative ionic composition and inter-ionic ratios relative to surface oceanic water. This development became
possible by the recent electrochemical characterization of the pH of the Tris/HCl buffer system32 and the use of a
novel, custom-made microfluidic spectrophotometric system. The lens-less design of the microfluidic chip pre-
vents condensation and is thus ideal for pH measurements at a lower range of temperatures. Our work facilitates
high quality in-situ measurements of pH, thereby furthering our understanding of the carbonate system in polar
aquatic environments. Characterization of meta-Cresol
Purple for spectrophotometric
pH measurements in saline and
hypersaline media at sub-zero
temperatures
Socratis Loucaides1,2, Victoire M. C. Rèrolle2, Stathys Papadimitriou3, Hilary Kennedy3,
MatthewC Mowlem2 AndrewG Dickson4 MarthaGledhill1,5 & Eric P Achterberg1,5 The influx of CO2 into the ocean causes acidification of surface waters and
leads to a decline in the saturation states of carbonate minerals (i.e. aragonite and calcite), posing a threat to
marine calcifying species2–4. The capacity of ocean waters to absorb CO2 increases towards the poles because of
the higher solubility of gasses at lower temperatures5. High freshwater inputs into polar waters, from ice and snow
melt, reduce the seawater’s buffering capacity, as indicated by the Revelle factor6, leading to a decline in pH and 1University of Southampton, Waterfront Campus, Southampton, SO14 3ZH, UK. 2National Oceanography Centre,
European Way, Southampton, SO14 3ZH, UK. 3Ocean Sciences, College of Natural Sciences, Bangor University,
Menai Bridge, LL59 5AB, UK. 4Marine Physical Laboratory, Scripps Institution of Oceanography, University of
California, San Diego, 9500 Gilman Drive, La Jolla, CA, 92093-0244, USA. 5GEOMAR Helmholtz Centre for Ocean
Research, 24148, Kiel, Germany. Correspondence and requests for materials should be addressed to S.L. (email:
s.loucaides@noc.ac.uk) Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 1 Methods
ifi
i Sulfonephthaleine pH indicator dyes are weak acids (H2I) where the acidic
and basic components exhibit different colours and, therefore, absorb light at distinctly different wavelengths. For
mCP, H2I is pink, HI− is yellow and I−2 is purple. The relative distribution of the indicator species is pH-dependent
and can be expressed in terms of chemical equilibria with corresponding dissociation constants: +
⇔
=
−
+
+
−
HI
H
H I
K
H I
H
HI
[
]
[
][
]
,
(1)
T
2
1
2
+
⇔
=
−
+
−
−
+
−
I
H
HI
K
HI
H
I
[
]
[
][
]
,
(2)
T
2
2
2 +
⇔
=
−
+
+
−
HI
H
H I
K
H I
H
HI
[
]
[
][
]
,
(1)
T
2
1
2 (1) +
⇔
=
−
+
−
−
+
−
I
H
HI
K
HI
H
I
[
]
[
][
]
,
(2)
T
2
2
2 (2) where brackets denote concentration. At typical surface seawater pH (~8.1), mCP is present only as I−2 and
HI− because pK1
T ~2 and pK2
T~ 8. At a sample pH close to the log of the indicator’s second dissociation constant
(pK2
T), pH can be measured with considerable accuracy (better than 0.001) by measuring light absorption at
the wavelengths of maximum absorbance of the acidic (HI−) and basic (I−) indicator species (434 and 578 nm,
respectively).h p
y
Measurements of pH using indicator dyes require that their optical properties are carefully characterized. The
characterization of mCP involves the determination under different T and S conditions of the molar absorptivity
constants (εi
λ) of each indicator species (i) at wavelengths (λ) of 434 and 578 nm and the second dissociation
constant K2
T (equation 2). Methods
ifi
i Purification of meta-Cresol Purple. The mCP indicator dye was obtained as a sodium salt (Acros
Organics). The indicator was purified using the preparative HPLC procedure described in Liu et al.31 using a
Shimadzu HPLC system. In preparative mode, the system consisted of a system controller (SCL-10Avp), a pre-
parative scale pump (LC-8A), a Rheodyne 3725i manual injector, and a diode array detector (SPD M10Avp) with
a preparative flow cell. In analytical mode, the preparative pump was replaced with an analytical scale pump
(LC-10ADvp) and the manual injector with an automatic injector (SIL 10AD). The HPLC column (Primesep
B2) used for the purification of mCP was from SIELC Technologies. The Primesep B2 column uses a mixed-
mode resin to separate analytes via ion-exchange and hydrophobic mechanisms. A preparative column (Part
B2–220.250.0510, 22 × 250 mm, particle size 5 μm) was used for the purification procedure while a smaller Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 2 www.nature.com/scientificreports/ analytical column (Part B2-46-250.0510, 4.6 × 250 mm, particle size 5 μm) was used for the qualitative analysis
of the purified indicator.hi pi
The mobile phase used for the purification was 70% acetonitrile (HPLC grade; Fisher Chemical) and 30%
deionised water (Milli-Q, Millipore, MQW). A small amount (0.05%) of trifluoroacetic acid (TFA; ReagentPlus®;
Sigma-Aldrich) was used as a mobile phase modifier. The un-purified mCP sodium salt was dissolved in the
mobile phase at a concentration of 70 mM. The solution was sonicated in an ultrasonic bath for 15 min to ensure
complete dissolution of the indicator. For each purification cycle, 7 mL of indicator solution was injected into
the system. The pump flow rate was adjusted to 31 mL min−1 and the pure mCP was collected at its characteristic
retention time (approximately 20 min). The pure mCP was separated from the solvent using a rotary evaporator at
40 °C under partial vacuum. Complete evaporation of the mobile phase was achieved after 2–3 h and the recovery
efficiency was about 60%. The purified mCP (in acid form) was collected from the evaporation flask and its purity
was tested using an analytical HPLC procedure. This was done by injecting 0.020 mL of 70 mM purified mCP (in
mobile phase) through the analytical HPLC system at a flow rate of 1.5 mL min−1. The mCP purity was assessed
by comparing the chromatographs of the purified and unpurified material. Characterization Procedure. Methods
ifi
i Solution pH can then be calculated from the absorbance (Aλ) ratio at 434 and 578 nm
(
=
R
A
A
578
434) using: = −
+
−
−
pH
k
R
e
e
Re
log(
)
log
(3)
T
T
2
1
2
3 (3) where the parameters e1, e2 and e3 are the molar absorptivity ratios defined by: ε
ε
ε
ε
ε
ε
=
=
=
−
−
−
−
−
−
e
e
e
;
;
(4)
HI
HI
I
HI
I
HI
1
578
434
2
578
434
3
434
434
2
2 (4) The derivation of equation 3 is described in detail in Zhang and Byrne33. Equation 3 can be rearranged to ref. 31: = −
+
−
−
pH
k e
R
e
R
log(
)
log
1
(5)
T
T
e
e
2
2
1
3
2 (5) which simplifies the characterization procedure since e3/e2 is determined as a single parameter in a basic solution
(pH ~12) where I2− is the predominant indicator species so that: which simplifies the characterization procedure since e3/e2 is determined as a single parameter in a basic solution
pH ~12) where I2− is the predominant indicator species so that: ε
ε
=
−
−
e
e
(6)
I
I
3
2
434
578
2
2 ε
ε
=
−
−
e
e
I
I
3
2
434
578
2
2 (6) Applying Beer-Lambert’s law, and as long as ε
−
I
434
2 and ε
−
I
578
2 are measured in the same solutions, e3/e2 simply
becomes the ratio between
−
A I
434
2 and
−
A I
578
2 eliminating the need for precise knowledge of the concentration of
mCP. This, however, presents its own challenge since the absorbance of I2− at 578 nm is much higher than at
434 nm making it difficult to determine both absorbances accurately from a single measurement. To overcome
this, we measured the absorbances of the same solutions in two different absorption cells: 1-cm-path length for
−
A I
578
2 and a 10-cm-path length for
−
A I
434
2 . This ensured that absorption measurements of both mCP species were
within acceptable ranges and eliminated errors associated with mCP dilution preparation uncertainties. Methods
ifi
i However, this buffer was
increasingly basic at low temperatures and high salinities (e.g., pHT = 8.09 at T = 298.15 K and S = 35; pHT = 9.19
at T = 269.15 K and S = 70)32. So, two sets of less alkaline buffers, each set with distinctly different non-equimolal
Tris/HCl composition (0.06 m Tris, 0.04 m HCl; and 0.10 m Tris, 0.06 m HCl) were prepared and used for the
determination of −
k e
log(
)
T
2
2 at S = 35–100. The (0.06 m Tris, 0.04 m HCl) buffers s were characterized electro-
chemically at Scripps32 and used for the mCP characterization experiments at S = 35, 45, 50, 60, 70, 85, and 100. Their pHT was calculated from the reported best-fit function, pHT = 144.4361–1.0809685 S + 0.006023772 S2 + (
0.0618411−0.000817397 S + 4.27187 × 10−6 S2) T + (−27.233738 + 0.2329236 S–0.001281138 S2) lnT, with a
standard error of 0.002 pH unit32. The (0.10 m Tris, 0.06 m HCl) buffers were used for additional mCP character-
ization experiments at S = 35 and 45. The pHT of the (0.10 m Tris, 0.06 m HCl) buffers was not characterized
electrochemically (except for the S = 45 buffer at 273.15 K, see below) but instead computed from the equimolal
pHT (as calculated from the best-fit equation cited above) via the Henderson–Hasselbalch equation32, 34. This
computation gives pHT = 8.785 at 273.15 K for the S = 45 (0.10 m Tris, 0.06 m HCl) buffer, which agrees well with
the value determined electrochemically (pHT = 8.783) as described in Papadimitriou et al.32. This approach is also
supported from the excellent agreement between thus computed and electrochemically determined pHT values
for the (0.06 m Tris, 0.04 m HCl) buffers32. Spectrophotometric measurements. The experimental set-up used for the determination of molar
absorptivity constants (εi
λ) is illustrated in Fig. 1. The microfluidic flow cells used for the characterization were
manufactured in tinted poly (methyl methacrylate) (PMMA). The fabrication procedure is described in detail in
Ogilvie et al.35 and Floquet et al.36. Two absorption cells (1 cm and 10 cm) with cross sections of 700 µm × 700 µm
were micro-milled into a single PMMA chip. A tungsten halogen light source (Ocean Optics HL-2000) was used
for the absorption measurements in conjunction with a 434 nm LED used to boost light intensity at the lower
end of the spectrum. Methods
ifi
i Absorbance measurements were made at mCP concentrations between 10
and 600 µM (n = 6–10) in NaCl solutions buffered with 0.02 M CH3COONa with ionic strength equivalent to that
of seawater and brines up to S = 110. The pH of these solutions was adjusted to 4.5 by addition of small amounts
of 1 M HCl. The maximum salinity used for the determination of e1 and e3/e2 (S = 110) brackets the maximum
salinity at which the pHT of the Tris/HCl buffers (S = 100) has been determined32 (see below). The latter salinity
sets the upper limit of the salinity range for the −
k e
log(
)
T
2
2 determined in this study. 2
2 The molar extinction coefficients (ε
−
I
434
2 , ε
ε
−
−
,
I
HI
578
434
2
and ε
−
IH
578 ) were determined using the Beer-Lambert Law
rearranged to ε =
=
λ
×
λ
i
A
b
C
a
b
mCP
, where a is the slope of the linear regression of absorbances versus concentrations
of the mCP dilution series and b is the length of the optical cell. Although molar extinction coefficients have been
traditionally determined through repeat absorption measurements of a single mCP concentration (as in a single
point calibration) we have opted for a multi-point regression approach to establish the linear range of our meas-
urements and to account for intercept offsets.h pf
The −
k e
log(
)
T
2
2 term in equation 5 was determined by the measurement of the absorbance ratio
=
R
A
A
578
434 in
Tris/HCl buffers in synthetic seawater and synthetic seawater-derived brines (S = 35–100). The buffers were pre-
pared and their pH was characterized electrochemically on the total proton scale (pHT) in the 267.15 K to
298.15 K temperature range with the Harned cell at the Marine Physical Laboratory, Scripps Institution of
Oceanography, University of California San Diego32. The equimolal Tris/HCl buffer (0.08 m Tris, 0.04 m HCl) has
been previously used for this purpose31, and the salinity and temperature dependence of its pHT in the current,
extended S–T range has been determined [equimolal Tris/HCl: pHT = 536.08338–54.732367 S + 0.8518518 S2 +
(0.1675218−1.72224095 × 10−2 S + 2.66720246 × 10−4 S2) T + (−10873.5234 + 1369.56485 S−21.34442 S2)
T−1 + (−95.04342 + 9.7014355 S–0.1509014 S2) lnT (standard error: 0.001 pH unit)]32. Methods
ifi
i Maximum errors in the length of each absorption cell were 5 µm which translates to a maximum error of 0.045%
in e1 or e3/e2 and of 0.00002 in pH. Applying Beer-Lambert’s law, and as long as ε
−
I
434
2 and ε
−
I
578
2 are measured in the same solutions, e3/e2 simply
becomes the ratio between
−
A I
434
2 and
−
A I
578
2 eliminating the need for precise knowledge of the concentration of
mCP. This, however, presents its own challenge since the absorbance of I2− at 578 nm is much higher than at
434 nm making it difficult to determine both absorbances accurately from a single measurement. To overcome
this, we measured the absorbances of the same solutions in two different absorption cells: 1-cm-path length for
−
A I
578
2 and a 10-cm-path length for
−
A I
434
2 . This ensured that absorption measurements of both mCP species were −
A I
578
2 and a 10-cm-path length for
−
A I
434
2 . This ensured that absorption measurements of both mCP species were
within acceptable ranges and eliminated errors associated with mCP dilution preparation uncertainties. Maximum errors in the length of each absorption cell were 5 µm which translates to a maximum error of 0.045%
in e1 or e3/e2 and of 0.00002 in pH. Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 3 www.nature.com/scientificreports/ Absorption measurements for the determination of e3/e2 were made in mCP solutions with ionic composi-
tion similar to that of seawater and pH adjusted to ~12 with 1 M NaOH. To avoid precipitation of magnesium,
sulphur and carbonate salts at high pH and salinities, MgCl2 was replaced with CaCl2 and Na2SO4 and NaHCO3
with NaCl. The ionic strength of the solutions was adjusted accordingly to match that of seawater and brines up
to S = 110. The e3/e2 was determined by measuring A434 and A578 in a series (n = 6–10) of mCP dilutions from
5–50 µM concentration. µ
We followed the same approach as described above for the determination of e1, using the 1 cm cell to deter-
mine
−
A HI
434 and the 10 cm cell for
−
A HI
578 . Methods
ifi
i Elution time (min)
0
10
20
30
40
50
60
Absorbance
0
2000
4000
6000
8000
10000
Un-purified
Purified Elution time (min)
0
10
20
30
40
50
60
Absorbance
0
2000
4000
6000
8000
10000
Un-purified
Purified
Figure 2. HPLC chromatogram of un-purified (red line) and purified (blue line) mCP. Note that traces of a
component eluted at approximately 36 minutes are still present in the purified indicator. Figure 2. HPLC chromatogram of un-purified (red line) and purified (blue line) mCP. Note that traces of a
component eluted at approximately 36 minutes are still present in the purified indicator. mCP addition on the buffer pH was estimated by measuring pH over a wide range of mCP to buffer mixing ratios
(1:25 to 1:80) and using this data to regress back to a theoretical pH where mCP concentration was zero. This
range of mixing ratios was obtained from the dispersion of mCP in Tris/HCl buffer within the microfluidic chan-
nels37. The measurements for the determination of −
k e
log
T
2
2 were conducted at 273.15 K and below-zero temper-
atures to near the freezing point of the synthetic buffer solutions, as well as at 298.15 K, 283.15 K, and 278.15 K for
overlap and direct comparison with the existing data set for purified mCP in Liu et al.31 An estimate of the freez-
ing point of the synthetic buffer solutions was computed from the empirical absolute salinity-temperature rela-
tionship of thermally equilibrated sea ice brines38, SA = 1000 [1−(54.11/t)]−1 where t is the temperature in °C. mCP addition on the buffer pH was estimated by measuring pH over a wide range of mCP to buffer mixing ratios
(1:25 to 1:80) and using this data to regress back to a theoretical pH where mCP concentration was zero. This
range of mixing ratios was obtained from the dispersion of mCP in Tris/HCl buffer within the microfluidic chan-
nels37. Methods
ifi
i The measurements for the determination of −
k e
log
T
2
2 were conducted at 273.15 K and below-zero temper-
atures to near the freezing point of the synthetic buffer solutions, as well as at 298.15 K, 283.15 K, and 278.15 K for
overlap and direct comparison with the existing data set for purified mCP in Liu et al.31 An estimate of the freez-
ing point of the synthetic buffer solutions was computed from the empirical absolute salinity-temperature rela-
tionship of thermally equilibrated sea ice brines38, SA = 1000 [1−(54.11/t)]−1 where t is the temperature in °C. Methods
ifi
i A linear array photodiode spectrophotometer (USB4000, Ocean Optics, UK) was used as
a detector. Both the light source and detector were connected to the microfluidic flow cell with 600 µm diame-
ter optical fibres (Thorlabs, USA). The flow cell was submerged in a water bath (Grant TX150) filled with 15%
ethylene glycol solution. The temperature was kept constant (±0.02 °C) and was monitored continuously using
a precision thermometer (ASL F250 MKII). The lens-less design of the PMMA microfluidic flow cell allowed
for uncompromised optical measurements of pH (no condensation issues) and superior thermostatic control at
near-freezing temperatures. For the determination of the molar absorptivity constants (εi
λ), experimental solutions were volumetrically
premixed with mCP indicator using calibrated pipettes in 20 mL glass vials with silicone/PTFE septum tops. The
vials were kept on a rack which was submerged in the water bath. Solutions were siphoned from the vials through
a 0.7 mm i.d. PTFE capillary tube into the flow cell using a 1 mL disposable syringe connected to the outlet of the
flow cell. The flow cell was flushed with 2 mL of the experimental solution between measurements. The absorption
spectrum was recorded in replicate (n = 5) using LabVIEW® software. Reference measurements were performed
in experimental solutions without added indicator. For the determination of −
k e
log
T
2
2, the
=
R
A
A
578
434 was determined inTris/HCl buffers using the microfluidic
pH sensor as described in Rérolle et al.37 but with the same spectrophotometer and light source described above. For each measurement, 4 µL of the 4 mM mCP solution was mixed with 900 µL Tris/HCl buffer. The impact of the Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 4 www.nature.com/scientificreports/ Figure 1. Experimental setup used for the determination of the molar absorptivity ratios e1 and e3/e2. The
microfluidic flow cells and vials with mCP solutions are submerged in a 15% ethylene glycol thermostated bath. The light is transmitted from the light source to the flow cells and to the spectrophotometer through 600 µm
diameter optical fibres (Thorlabs, USA). Figure 1. Experimental setup used for the determination of the molar absorptivity ratios e1 and e3/e2. The
microfluidic flow cells and vials with mCP solutions are submerged in a 15% ethylene glycol thermostated bath. The light is transmitted from the light source to the flow cells and to the spectrophotometer through 600 µm
diameter optical fibres (Thorlabs, USA). = −.
+
.
×
−
e
0 004363
3 598
10
T,
1
5 = −. +
. ×
−
e
0 004363
3 598
10
T,
1
5 = −. +
. ×
−
e
0 004363
3 598
10
T,
1
5 Although at pH 4.5 the dominant indicator species is HI−, small absorbance contributions at 434 and 578 nm
from I2− and H2I have not been accounted for in our experiments. This may explain why, between 278.15 K and
308.15 K, the best-fit equation (7) above produces e1 values between 20% and 10%, respectively, higher than those
of Liu et al.31 (Fig. 3), who found that removing this bias reduced their e1 values by a similar magnitude (14–18%). The I2− and H2I absorbance contributions are, nonetheless, relatively small, and their effect on pH measurement
is minor (<0.0008 pH units) at high R values (>0.7) and slightly larger (up to 0.0034 pH units) at low R values
(0.1–0.7)31. Refinement of e1 to account for the contributions of I2− and H2I is possible using an iterative proce-
dure and experimental determinations of ε H I
434
2 , ε H I
578
2 , and the K1 of mCP31. This, however, requires careful and
laborious experiments offering only minor gain in pH measurement performance especially at pH > 7.5. The
potential error in the e1 computation from equation (7) above due to the unaccounted absorbance contributions
of I2− and H2I is not necessarily propagated to the final pH determination (equation 5) but is likely “calibrated
out” during the determination of −
k e
log(
)
T
2
2 as described subsequently.if g
2
2
Changes in salinity have no significant effect on e1 between S = 35 and S = 110 (Fig. 3), consistent with the
findings of Liu et al.31. Generally, e1 has a minor influence on the calculation of pH at high pH values (>8). At pH
8, it is possible to disregard the temperature dependence of e1 and use an average value with no significant impact
on pH (<0.001 pH units) or disregard it altogether (e1 = 0) with only a minor effect on pH (0.002 pH units). e3/e2 as a function of temperature and salinity. The e3/e2 term in equation 5 is influenced by both the ionic
strength and ionic composition31 and, for this reason, was determined in an electrolyte solution with
near-seawater composition and carefully adjusted ionic strength. Results and Discussioni Purification of meta-Cresol Purple. Impurities in indicator dyes result in significant uncertainties in
measured pH values31, 39. Analyses have shown that commercially available mCP indicators contain different types
and quantities of light absorbing impurities, which could lead to pH offsets as large as 0.01 pH units. Therefore,
characterizations of un-purified mCP are batch-specific and only valid for pH measurements using the same
indicator batch. Measurements generated using uncharacterised un-purified mCP can be post-corrected as long
as stocks of the un-purified indicator used are archived31. The HPLC purification procedure developed by Liu et
al.31 was closely replicated here, yielding approximately 150 mg of purified mCP from each injection. Analysis
of the un-purified mCP indicator following the analytical HPLC protocol of Liu et al.31 revealed a near identical
chromatogram with the exception of an additional peak eluted at about 50 min (Fig. 2). Analysis of the purified
material using the same protocol showed complete removal of impurities, with an exception of trace amounts
(<8%) of a component eluted at 36 min. Similar residual profiles have been found after purification but have been
reported to have practically no effect (<0.001 pH unit) on pH measurements in buffer solutions40. Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 5 www.nature.com/scientificreports/ T (K)
265
270
275
280
285
290
295
300
e1
0.0040
0.0045
0.0050
0.0055
0.0060
0.0065
0.0070
T (oC)
-5
0
5
10
15
20
25
S 35
S 60
S 85
S 110
Figure 3. Values of e1 as a function of temperature, obtained in NaCl solutions buffered with CH3COONa
(pH ~4.5) with ionic strengths equivalent to salinities of 35, 60, 85 and 110. The dashed line represents the e1
relationship determined by Liu et al.31. T (K)
265
270
275
280
285
290
295
300
e1
0.0040
0.0045
0.0050
0.0055
0.0060
0.0065
0.0070
T (oC)
-5
0
5
10
15
20
25
S 35
S 60
S 85
S 110 Figure 3. Values of e1 as a function of temperature, obtained in NaCl solutions buffered with CH3COONa
(pH ~4.5) with ionic strengths equivalent to salinities of 35, 60, 85 and 110. The dashed line represents the e1
relationship determined by Liu et al.31. Molar absorptivity ratios as a function of temperature and salinity. e1 as a function of tempera-
ture. The temperature dependence of e1 for 267.15 K ≤ T ≤ 298.15 K and 35 < S < 110 is relatively small (Fig. Results and Discussioni 3)
and is described by the best-fit equation: Molar absorptivity ratios as a function of temperature and salinity. e1 as a function of tempera-
ture. The temperature dependence of e1 for 267.15 K ≤ T ≤ 298.15 K and 35 < S < 110 is relatively small (Fig. 3)
and is described by the best-fit equation: = −. +
. ×
−
e
0 004363
3 598
10
T,
(7)
1
5 (7) = −.
+
.
×
−
e
0 004363
3 598
10
T,
1
5 The pH was adjusted to ~12 with NaOH so that
only the basic (I2−) form of mCP was present and interferences from HI− and H2I were negligible. The tempera-
ture and salinity dependence of e3/e2 (Fig. 4) for 267.15 K < T < 298.15 K and 35 < S < 110 can be described by: = −. +
. ×
+
. ×
−
−
−
e e
S
/
0 016224
2 42851
10
T
5 05663
10
(
35)
(8)
3
2
4
5 (8) The relationship provides e3/e2 values that are in agreement with those reported by Liu et al.31; at S = 35 and
T = 298.15 K, the difference between the values obtained from equation 8 and from the relationship in Liu et al.31
is 0.0006, which corresponds to a pH discrepancy of less than 0.001 for pH values lower than 8.3. This discrep-
ancy becomes even smaller at lower temperatures. At higher salinities, however, the deviation between the e3/e2
predicted by the equation of Liu et al.31 and its value computed from equation 8 above increases to about 0.005,
equivalent to ΔpH = 0.010, at S = 100. The expression for e3/e2 by Liu et al.31 was optimized for S between 20 and
40, which consequently results in an enhanced discrepancy with our findings at higher salinities. Extrapolation
of the Liu et al.31 e3/e2 relationship to salinities higher than S = 40 is therefore not advisable. Equation 8 was not
experimentally validated at S < 35; nevertheless, it agrees well with that of Liu et al.31 at S = 20 (the low end of
their experimental range), with a maximum discrepancy at 273.15 K of 0.0006 (ΔpH = 0.002).h p
g
p
y
p
The pH values obtained using equation 5 are sensitive to variations in e3/e2 and, therefore, experimental deter-
mination requires due care. The multi-point determination of the molar absorptivities of I2− (ε
−
I
434
2 , ε
−
I
578
2 ) showed
that the intercept of the regression of absorbance versus concentration cannot always be assumed as zero. We have
observed small but significant intercept offsets in the e3/e2 determination experiments that, if ignored (e.g.,
through single point determination), could result in pH errors of ca. 0.001 pH unit. It is not clear what the source Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 6 www.nature.com/scientificreports/ Figure 4. = −.
+
.
×
−
e
0 004363
3 598
10
T,
1
5 Values of e3/e2 (a) as a function of temperature, and (b) salinity at 0 °C. The measurements were
obtained at pH 12 in solutions with near-seawater composition and ionic strength equivalent to salinities 35,
60, 85, and 110. The yellow square in panel (a) represents the e3/e2 value reported by Liu et al.30 for S = 35 and
T = 298.15 K. Figure 4. Values of e3/e2 (a) as a function of temperature, and (b) salinity at 0 °C. The measurements were
obtained at pH 12 in solutions with near-seawater composition and ionic strength equivalent to salinities 35,
60, 85, and 110. The yellow square in panel (a) represents the e3/e2 value reported by Liu et al.30 for S = 35 and
T = 298.15 K. of the non-zero intercept is in our experiments, but it may be related to light instabilities of the optical system or
other random errors. Benchtop dual-beam spectrophotometers are inherently more stable, allowing for higher
quality optical measurements. It is therefore possible that using such instruments eliminates the need for the
multi-point determination approach used in this work. This, however, remains to be tested, and it is recom-
mended that, when portable spectrophotometers are used (as in this work), a multi-point determination approach
is used. of the non-zero intercept is in our experiments, but it may be related to light instabilities of the optical system or
other random errors. Benchtop dual-beam spectrophotometers are inherently more stable, allowing for higher
quality optical measurements. It is therefore possible that using such instruments eliminates the need for the
multi-point determination approach used in this work. This, however, remains to be tested, and it is recom-
mended that, when portable spectrophotometers are used (as in this work), a multi-point determination approach
is used. Determination of −
k e
log(
)
T
2
2 as a function of temperature and salinity. The temperature and
salinity dependence of −
k e
log(
)
T
2
2 of purified mCP was determined by measurements of the absorbance ratio
(R = A578/A434) in the Tris/HCl buffers prepared in a range of salinities (S = 35, 45, 50, 60, 70, 85, and 100) at tem-
peratures ranging from their freezing point to 298.15 K. = −.
+
.
×
−
e
0 004363
3 598
10
T,
1
5 Temperature (K)
270
275
280
285
290
295
Salinity
40
50
60
70
80
90
100
7.7
7.7
7.7
7.7
7.8
7.8
7.8
7.8
7.9
7.9
7.9
7.9
8.0
8.0
8.0
8.0
8.1
8.1
8.1
8.1
8.2 Salinity Figure 5. Temperature and salinity dependence of −
k e
log(
)
T
2
2 (values on contour lines) as determined in this
study from the absorbance ratio (R = A578/A434) measurements in electrochemically characterized Tris/HCl
buffers in synthetic seawater and brines (S = 35, 45, 50, 60, 70, 85, and 100) between their freezing point and
298.15 K. Temperature (K)
265
270
275
280
285
290
295
Salinity
40
50
60
70
80
90
100
0.12
0.10
0.08
0.06
0.04
0.02
0.00
-0.02
-0.04
0.16
0.14
0.18
0.22
0.20
0.24 0.26
0.28
Figure 6. Differences in −
k e
log(
)
T
2
2 calculated with the Liu et al. (2011) and current parameterizations
(equation 8). The hatched rectangle represents a portion of the experimental range of Liu et al.31. Temperature (K)
265
270
275
280
285
290
295
Salinity
40
50
60
70
80
90
100
0.12
0.10
0.08
0.06
0.04
0.02
0.00
-0.02
-0.04
0.16
0.14
0.18
0.22
0.20
0.24 0.26
0.28 Figure 6. Differences in −
k e
log(
)
T
2
2 calculated with the Liu et al. (2011) and current parameterizations
(equation 8). The hatched rectangle represents a portion of the experimental range of Liu et al.31. Liu et al.31 determined the −
k e
log(
)
T
2
2 of purified mCP for 278.15 ≤ T ≤ 308.15 and S = 20–40. Our −
k e
log(
)
T
2
2
S-T parameterization (equation 9) and that in Liu et al.31 yield values within 0.001 at S = 35 and T = 298.15 ± 5 K
and within 0.010 down to T = 283.15 K. Higher discrepancies between the two relationships at low temperatures
(Fig. 6) may reflect differences between the instruments used for the −
k e
log(
)
T
2
2 determination. The pH measur-
ing system used for this work had no parts of the optical path exposed to air, thus eliminating the possibility of
condensation at low temperatures. = −.
+
.
×
−
e
0 004363
3 598
10
T,
1
5 The temperature and salinity dependence of −
k e
log(
)
T
2
2
in these conditions can be described by: −
=
+
+
+
k e
a
b
c
d
log(
)
T
lnT
T,
(9)
T
2
2 (9) The factors in the above equation were determined from our measurements using the regression routine in
Excel, with a = −319.8369 + 0.688159 S−0.00018374 S2, b = 10508.724–32.9599 S + 0.059082 S2,
c = 55.54253−0.101639 S, d = −0.08112151 (r2 = 0.9986, p < 0.00001, n = 47, standard error of fit: σfit = 0.007). Based on this equation, −
k e
log(
)
T
2
2 = 8.0171 at 0 °C and S = 35, while −
k e
log(
)
T
2
2 = 8.2475 at −6 °C and S = 100. The relatively strong temperature dependence of −
k e
log(
)
T
2
2 (Fig. 5) highlights the importance of accurate tem-
perature control (±0.05 °C) during pH measurements. Accurate knowledge of salinity is less important (±1 psu),
especially within ranges associated with open ocean waters (30 < S < 40). Under these conditions, salinity varia-
tions of the order of 1 psu have only a minor effect on −
k e
log(
)
T
2
2 and pH (0.001–0.002 unit) within the uncer-
tainty of the −
k e
log(
)
T
2
2 value, based on the standard error of the best-fit S-T function above. At higher salinities
(S > 50), more accurate salinity measurements (0.1 psu) are desirable to maintain the same magnitude of
−
k e
log(
)
T
2
2 and pH uncertainty (in the order of 0.001 pH unit at S = 90). Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 7 www.nature.com/scientificreports/ Temperature (K)
270
275
280
285
290
295
Salinity
40
50
60
70
80
90
100
7.7
7.7
7.7
7.7
7.8
7.8
7.8
7.8
7.9
7.9
7.9
7.9
8.0
8.0
8.0
8.0
8.1
8.1
8.1
8.1
8.2
Figure 5. Temperature and salinity dependence of −
k e
log(
)
T
2
2 (values on contour lines) as determined in this
study from the absorbance ratio (R = A578/A434) measurements in electrochemically characterized Tris/HCl
buffers in synthetic seawater and brines (S = 35, 45, 50, 60, 70, 85, and 100) between their freezing point and
298.15 K. = −.
+
.
×
−
e
0 004363
3 598
10
T,
1
5 The condensation is more difficult to control with bench-top spectrophotom-
eters as that used by Liu et al.31, although dry N2 gas was used to eliminate condensation on the optical windows
at 5 °C. From this comparison, it is clear that the relationship for −
k e
log(
)
T
2
2 by Liu et al.31 should not be extrapo-
lated for pH measurements outside its range (S = 20–40, T = 278.15–303.15 K) as this can lead to large errors in
pH (0.02–0.30) (Fig. 6). The relationship (equation 8) proposed here should also not be used outside its calibra-
tion range (S = 35–100, T = 267.15–298.15 K). 8 Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 www.nature.com/scientificreports/ ificreports/
T (K)
265
270
275
280
285
290
295
300
pHspec-pHHarned
-0.015
-0.010
-0.005
0.000
0.005
0.010
0.015
0.020
S 35
S 45
S 50
S 60
S 70
S 85
S 100
Figure 7. Differences between spectrophotometrically (equations 4, 6, 7 and 8) and electrochemically (Harned)
determined pHT in Tris/HCl buffer solutions in synthetic seawater and brines with conservative (seawater-
derived) major ionic composition. Figure 7. Differences between spectrophotometrically (equations 4, 6, 7 and 8) and electrochemically (Harned)
determined pHT in Tris/HCl buffer solutions in synthetic seawater and brines with conservative (seawater-
derived) major ionic composition. Determination of pH using purified mCP at temperatures between 298.15 K and the freezing
point of seawater and sea-ice brines up to salinity 100. Equations 5, 7, 8, and 9 can be used to deter-
mine pH on the total proton scale by measurement of the absorption ratio R of purified mCP in seawater and
seawater brines, with conservative major ionic composition, with S between 30 and 100 and T between freezing
point and 298.15 K. The residuals (pHspec–pHHarned) of pH measurements in Tris/HCl buffers using purified mCP
and application of eq. 4, 6, 7 and 8 indicate a relatively wide spread (Fig. 7) with an average absolute residual of
0.004 and maximum absolute residual of 0.016. = −.
+
.
×
−
e
0 004363
3 598
10
T,
1
5 As the analytical precision (1 standard deviation of n = 5–10
repeat measurements of the same buffer) is significantly smaller (0.001–0.004), at least part of the observed mag-
nitude of buffer residuals could be attributed to error propagation from the parameters involved in pH determi-
nation (e.g., −
k e
log(
)
T
2
2 , σfit = 0.007) and random error related to buffer preparation, bottling, and handling. Residuals are up to 3 times larger close to the freezing point than at 298.15 K possibly due to the physical/optical
heterogeneity of water during the early stages of ice-crystal formation. Therefore, the proposed pH measurement
protocol offers good precision (0.001–0.004) and an overall uncertainty in the order of the maximum residual
values observed here (0.010–0.020 pH unit), especially at below-zero temperatures near the freezing point of
concentrated brines. In comparison, extrapolation of the temperature and salinity dependence of the mCP char-
acterization by Liu et al.31 to values outside their empirical range can lead to pH errors at S = 100 in the order of
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We have purified mCP and characterized it spectrophotometrically in synthetic solutions with conservative sea-
water major ionic composition and salinity between 35 and 100 at temperatures ranging from the freezing point
of such solutions to 298.15 K. This was made possible by the use of suitable and well characterised Tris/HCl buff-
ers and a novel custom-made optical cell that was fully submerged in a water bath eliminating the possibility of
condensation build-up in the optical path. This setup allowed for accurate optical measurements at temperatures
down to 267.15 K. Both the experimental set-up and the S-T functions of this work will allow traceable, precise,
and reliable spectrophotometric pH measurements in internal sea ice brines and other high latitude and deep
waters where temperatures are often just above freezing. The current characterization of purified mCP offers
major improvement of pH measurement (0.010–0.020 pH unit uncertainty) in high salinities (up to S = 100) and
near-zero and below-zero temperatures to the freezing point over that obtained from the extrapolation of the
previous characterization30 (0.3 pH unit uncertainty) to these S-T conditions. The important tools developed in
this work provide a step forward towards the understanding of the carbonate system in the cryosphere and cold
waters in general. In combination with attainable measurements of the remainder three measurable parameters
of the carbonate system (DIC, TA, pCO2), the reliable pH measurements made possible in the extended salinity
and temperature ranges of this investigation will facilitate the determination of several unknowns in the parame-
terization of the carbonate system in these S –T conditions, including the acidity constants of carbonic acid and,
following this, important geochemical indicators, such the saturation state of seawater and brines with respect to
carbonate minerals in high latitude marine systems. Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 9 www.nature.com/scientificreports/ Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 References Pratt, K. W. Measurement of pHT values of Tris buffers in artificial seawater at varying mole ratios of Tris:Tris·HCl. Mar. Chem. 162
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40. Patsavas, M. C., Byrne, R. H. & Liu, X. W. Purification of meta-cresol purple and cresol red by flash chromatography: Procedures for
ensuring accurate spectrophotometric seawater pH measurements. Mar. Chem. 150, 19–24, doi:10.1016/j.marchem.2013.01.004
(2013). Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 10 www.nature.com/scientificreports/ Author Contributions S.L. conducted the experiments, analysed the data, made the figures and wrote the manuscript. V.R. developed
and built the spectrophotometric pH apparatus and measured the pH of the buffers. S.P. prepared and
characterised the buffers and contributed to the analysis of the data. H.K. as the project’s principal investigator
managed the project. M.M. oversaw and contributed to the development of the relevant technology. A.D. lead the
production and characterisation of the buffers. M.G. set up and optimised the indicator purification procedure. E.A. contributed to the data analysis and interpretation. All authors reviewed the manuscript. Scientific Reports | 7: 2481 | DOI:10.1038/s41598-017-02624-0 Additional Informationh Competing Interests: The authors declare that they have no competing interests. Publisher's note: Springer Nature remains neutral with regard to jurisdictional claims in published maps and
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A Comparison Study on Similarity and Dissimilarity Measures in Clustering Continuous Data
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A Comparison Study on Similarity and
Dissimilarity Measures in Clustering
Continuous Data Ali Seyed Shirkhorshidi1*, Saeed Aghabozorgi2, Teh Ying Wah1 1 Department of Information Systems, Faculty of Computer Science and Information Technology, University
of Malaya, 50603, Kuala Lumpur, Malaysia, 2 IBM Analytics, Platform, Emerging Technologies, IBM Canada
Ltd., Markham, Ontario L6F 1C7, Canada * shirkhorshidi_ali@yahoo.co.uk * shirkhorshidi_ali@yahoo.co.uk RESEARCH ARTICLE OPEN ACCESS OPEN ACCESS
Citation: Shirkhorshidi AS, Aghabozorgi S, Wah TY
(2015) A Comparison Study on Similarity and
Dissimilarity Measures in Clustering Continuous
Data. PLoS ONE 10(12): e0144059. doi:10.1371/
journal.pone.0144059
Editor: Andrew R. Dalby, University of Westminster,
UNITED KINGDOM
Received: May 10, 2015
Accepted: November 12, 2015
Published: December 11, 2015
Copyright: © 2015 Shirkhorshidi 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. Citation: Shirkhorshidi AS, Aghabozorgi S, Wah TY
(2015) A Comparison Study on Similarity and
Dissimilarity Measures in Clustering Continuous
Data. PLoS ONE 10(12): e0144059. doi:10.1371/
journal.pone.0144059 Citation: Shirkhorshidi AS, Aghabozorgi S, Wah TY
(2015) A Comparison Study on Similarity and
Dissimilarity Measures in Clustering Continuous
Data. PLoS ONE 10(12): e0144059. doi:10.1371/
journal.pone.0144059 journal.pone.0144059
Editor: Andrew R. Dalby, University of Westminster,
UNITED KINGDOM
Received: May 10, 2015
Accepted: November 12, 2015
Published: December 11, 2015
Copyright: © 2015 Shirkhorshidi 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. Editor: Andrew R. Dalby, University of Westminster,
UNITED KINGDOM Editor: Andrew R. Dalby, University of Westminster,
UNITED KINGDOM
Received: May 10, 2015
Accepted: November 12, 2015
Published: December 11, 2015
Copyright: © 2015 Shirkhorshidi 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. Copyright: © 2015 Shirkhorshidi 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 Similarity or distance measures are core components used by distance-based clustering
algorithms to cluster similar data points into the same clusters, while dissimilar or distant
data points are placed into different clusters. The performance of similarity measures is
mostly addressed in two or three-dimensional spaces, beyond which, to the best of our
knowledge, there is no empirical study that has revealed the behavior of similarity measures
when dealing with high-dimensional datasets. To fill this gap, a technical framework is pro-
posed in this study to analyze, compare and benchmark the influence of different similarity
measures on the results of distance-based clustering algorithms. For reproducibility pur-
poses, fifteen publicly available datasets were used for this study, and consequently, future
distance measures can be evaluated and compared with the results of the measures dis-
cussed in this work. These datasets were classified as low and high-dimensional categories
to study the performance of each measure against each category. This research should
help the research community to identify suitable distance measures for datasets and also to
facilitate a comparison and evaluation of the newly proposed similarity or distance mea-
sures with traditional ones. Comparison on Similarity Measures in Clustering Continuous Data image analysis [5–7], clustering gene expression data [8–10], investigating and analyzing air
pollution data [11–13], power consumption analysis [14–16], and many more fields of study. Improving clustering performance has always been a target for researchers. Since in distance-
based clustering similarity or dissimilarity (distance) measures are the core algorithm compo-
nents, their efficiency directly influences the performance of clustering algorithms. These
algorithms use similarity or distance measures to cluster similar data points into the same clus-
ters, while dissimilar or distant data points are placed into different clusters. Examples of dis-
tance-based clustering algorithms include partitioning clustering algorithms, such as k-means
as well as k-medoids and hierarchical clustering [17]. analysis, decision to publish, or preparation of the
manuscript. The specific roles of these authors are
articulated in the ‘author contributions’ section. analysis, decision to publish, or preparation of the
manuscript. The specific roles of these authors are
articulated in the ‘author contributions’ section. Competing Interests: The authors have the
following interests: Saeed Aghabozorgi is employed
by IBM Canada Ltd. 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, as
detailed online in the guide for authors. Although there are various studies available for comparing similarity/distance measures for
clustering numerical data, but there are two difference between this study and other existing
studies and related works: first, the aim in this study is to investigate the similarity/distance
measures against low dimensional and high dimensional datasets and we wanted to analyse
their behaviour in this context. Second thing that distinguish our study from others is that our
datasets are coming from a variety of applications and domains while other works confined
with a specific domain. In essence, the target of this research is to compare and benchmark
similarity and distance measures for clustering continuous data to examine their performance
while they are applied to low and high-dimensional datasets. For the sake of reproducibility, fif-
teen publicly available datasets [18,19] were used for this study, so future distance measures
could consequently be evaluated and compared with the results of traditional measures dis-
cussed in this study. These datasets are classified into low and high-dimensional, and each
measure is studied against each category. But before doing the study on similarity or dissimilar-
ity measures, it needs to be clarified that they have significant influence on clustering quality
and are worthwhile to be studied. In sections 3 (methodology) it is elaborated that the similar-
ity or distance measures have significant influence on clustering results. The key contributions of this paper are as follows: The key contributions of this paper are as follows: • Twelve similarity measures frequently used for clustering continuous data from various fields
are compiled in this study to be evaluated in a single framework. Most of these similarity
measures have not been examined in domains other than the originally proposed one. • A technical framework is proposed in this study to analyze, compare and benchmark the influ-
ence of different similarity measures on the result of distance-based clustering algorithms. • Similarity measures are evaluated on a wide variety of publicly available datasets. Particularly,
we evaluate and compare the performance of similarity measures for continuous data against
datasets with low and high dimension. • Similarity measures are evaluated on a wide variety of publicly available datasets. Particularly,
we evaluate and compare the performance of similarity measures for continuous data against
datasets with low and high dimension. The rest of paper is organized as follows: in section 2, a background on distance measures is dis-
cussed. In section 3, we have explained the methodology of the study. Experimental results with a
discussion are represented in section 4, and section 5 summarizes the contributions of this study. Introduction Data Availability Statement: All third-party datasets
used in this study are available publicly in UCI
machine learning repository: http://archive.ics.uci.edu/
ml and Speech and Image Processing Unit,
University of Eastern Finland: http://cs.joensuu.fi/sipu/
datasets/ References are mentioned in the
manuscript in "experimental result" and
"acknowledgment" sections. One of the biggest challenges of this decade is with databases having a variety of data types. Vari-
ety is among the key notion in the emerging concept of big data, which is known by the 4 Vs:
Volume, Velocity, Variety and Variability [1,2]. Currently, there are a variety of data types avail-
able in databases, including: interval-scaled variables (salary, height), binary variables (gender),
categorical variables (religion: Jewish, Muslim, Christian, etc.) and mixed type variables (multiple
attributes with various types). Despite data type, the distance measure is a main component of
distance-based clustering algorithms. Partitioning algorithms, such as k-means, k-medoids and
more recently soft clustering approaches for instance fuzzy c-means [3] and rough clustering [4],
are mainly dependent on distance measures to recognize clusters in a dataset. Funding: This work is supported by University of
Malaya Research Grant no vote RP028C-14AET. IBM Canada Ltd funder provided support in the form
of salaries for author [SA], but did not have any
additional role in the study design, data collection and In data mining, ample techniques use distance measures to some extent. Clustering is a
well-known technique for knowledge discovery in various scientific areas, such as medical 1 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Competing Interests: The authors have the
following interests: Saeed Aghabozorgi is employed
by IBM Canada Ltd. 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, as
detailed online in the guide for authors. Definition 1 Given a dataset D = {v1, v2, . . ., vn} of data vectors and an integer value k, the clustering
problem is to define a mapping f: D ! {1, . . ., k} where each vi is assigned to one cluster Cj,
1 j k. A cluster Cj contains precisely those data vectors mapped to it; that is, Cj = {vi | f(ti) =
Cj, 1 i n, and vi 2 D}. In the rest of this study, v1, v2 represent two data vectors defined as v1 = {x1, x2, . . ., xn}, v2 =
{y1, y2, . . ., yn}, where xi, yi are called attributes. Subsequently, similarity measures for clustering continuous data are discussed. Some of
these similarity measures are frequently employed for clustering purposes while others have
scarcely appeared in literature. Comparison on Similarity Measures in Clustering Continuous Data data and evaluated similarity measures in the context of outlier detection for categorical data
[20]. It was concluded that the performance of an outlier detection algorithm is significantly
affected by the similarity measure. In their research, it was not possible to introduce a best per-
forming similarity measure, but they analyzed and reported the situations in which a measure
has poor or superior performance. In another research work, Fernando et al. [21] reviewed,
compared and benchmarked binary-based similarity measures for categorical data. With some
cases studies, Deshpande et al. focused on data from a single knowledge area, for example bio-
logical data, and conducted a comparison in favor of profile similarity measures for genetic
interaction networks. They concluded that the Dot Product is consistent among the best mea-
sures in different conditions and genetic interaction datasets [22]. Similarly, in the context of clustering, studies have been done on the effects of similarity mea-
sures., In one study Strehl and colleagues tried to recognize the impact of similarity measures on
web clustering [23]. In another, six similarity measure were assessed, this time for trajectory clus-
tering in outdoor surveillance scenes [24]. In chemical databases, Al Khalifa et. al. [25] examined
performance of twelve coefficients for clustering, similarity searching and compound selection. From the results they concluded that no single coefficient is appropriate for all methodologies. Despite these studies, no empirical analysis and comparison is available for clustering con-
tinuous data to investigate their behavior in low and high dimensional datasets. At the other
hand our datasets are coming from a variety of applications and domains and while they are
limited with a specific domain. In this study, we gather known similarity/distance measures
available for clustering continuous data, which will be examined using various clustering algo-
rithms and against 15 publicly available datasets. It is not possible to introduce a perfect simi-
larity measure for all kinds of datasets, but in this paper we will discover the reaction of
similarity measures to low and high-dimensional datasets. The similarity measures with the
best results in each category are also introduced. Before presenting the similarity measures for clustering continuous data, a definition of a
clustering problem should be given. Assuming that the number of clusters required to be cre-
ated is an input value k, the clustering problem is defined as follows [26]: Background on Distance Measures for Continuous Data Utilization of similarity measures is not limited to clustering, but in fact plenty of data mining
algorithms use similarity measures to some extent. To reveal the influence of various distance
measures on data mining, researchers have done experimental studies in various fields and
have compared and evaluated the results generated by different distance measures. Although it
is not practical to introduce a “Best” similarity measure or a best performing measure in gen-
eral, a comparison study could shed a light on the performance and behavior of measures. For
instance, Boriah et al. conducted a comparison study on similarity measures for categorical 2 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Euclidean distance The most well-known distance used for numerical data is probably the Euclidean distance. This is a special case of the Minkowski distance when m = 2. Euclidean distance performs well
when deployed to datasets that include compact or isolated clusters [30,31]. Although Euclid-
ean distance is very common in clustering, it has a drawback: if two data vectors have no attri-
bute values in common, they may have a smaller distance than the other pair of data vectors
containing the same attribute values [31,35,36]. Another problem with Euclidean distance as a
family of the Minkowski metric is that the largest-scaled feature would dominate the others. Normalization of continuous features is a solution to this problem [31]. Average distance Regarding the above-mentioned drawback of Euclidean distance, average distance is a modified
version of the Euclidean distance to improve the results [27,35]. For two data points x, y in n-
dimentional space, the average distance is defined as dave ¼
1
n
Pn
i¼1ðxi yiÞ
2
1
2. Manhattan distance Manhattan distance is a special case of the Minkowski distance at m = 1. Like its parent, Man-
hattan is sensitive to outliers. When this distance measure is used in clustering algorithms, the
shape of clusters is hyper-rectangular [33]. A study by Perlibakas demonstrated that a modified
version of this distance measure is among the best distance measures for PCA-based face rec-
ognition [34]. This measure is defined as dman ¼ Pn
i¼1jxi yij. Weighted euclidean distance If the relative importance according to each attribute is available, then the Weighted Euclidean
distance—another modification of Euclidean distance—can be used [37]. This distance is
defined as dwe ¼ ðPn
i¼1wiðxi yiÞ
2Þ
1
2, where wi is the weight given to the ith component. This distance measure is the only measure which is not included in this study for compari-
son since calculating the weights is closely related to the dataset and the aim of researcher for
cluster analysis on the dataset. As an instance of using this measure reader can refer to Ji et. al. research work. They used this measure for proposing a dynamic fuzzy cluster algorithm for
time series [38]. Comparison on Similarity Measures in Clustering Continuous Data largest-scale feature dominates the rest. Thus, normalizing the continuous features is the solu-
tion to this problem [31]. A modified version of the Minkowski metric has been proposed to solve clustering obstacles. For example, Wilson and Martinez presented distance based on counts for nominal attributes
and a modified Minkowski metric for continuous features [32]. Minkowski The Minkowski family includes Euclidean distance and Manhattan distance, which are
particular cases of the Minkowski distance [27–29]. The Minkowski distance is defined by dmin ¼ ðPn
i¼1jxi yij
mÞ
1
m; m 1; where m is a positive real number and xi and yi are two vec-
tors in n-dimensional space. The Minkowski distance performs well when the dataset clusters
are isolated or compacted; if the dataset does not fulfil this condition, then the large-scale attri-
butes would dominate the others [30,31]. Another problem with Minkowski metrics is that the 3 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Cosine deasure The Cosine similarity measure is mostly used in document similarity [28,33] and is defined as
Cosine x; y
ð
Þ ¼
Pn
i¼1xiyi
kxk2kyk2 , where kyk2 is the Euclidean norm of vector y = (y1, y2, . . ., yn) defined
as kyk2 ¼
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
y2
1 þ y2
2 þ . . . þ y2
n
p
. The Cosine measure is invariant to rotation but is variant to
linear transformations. It is also independent of vector length [33]. Chord distance Chord distance is one more Euclidean distance modification to overcome the previously men-
tioned Euclidean distance shortcomings. It can solve problems caused by the scale of measure-
ments as well. Chord distance is defined as the length of the chord joining two normalized
points within a hypersphere of radius one. This distance can be calculated from non-normal- ized data as well [27]. Chord distance is defined as dchord ¼
2 2
Pn
i¼1xiyi
kxk2kyk2
2
, where kxk2 is the L2-norm kxk2 ¼
ffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn
i¼1x2
i
p
. L2-norm kxk2 ¼
ffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn
i¼1x2
i
p
. 4 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Comparison on Similarity Measures in Clustering Continuous Data Mahalanobis distance Mahalanobis distance is a data-driven measure in contrast to Euclidean and Manhattan dis-
tances that are independent of the related dataset to which two data points belong [20,33]. A
regularized Mahalanobis distance can be used for extracting hyperellipsoidal clusters [30]. On
the other hand, Mahalanobis distance can alleviated distortion caused by linear correlation
among features by applying a whitening transformation to the data or by using the squared
Mahalanobis distance [31]. Mahalanobis distance is defined by dmah ¼
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ðx yÞS1ðx yÞ
T
q
where S is the covariance matrix of the dataset [27,39]. PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Pearson correlation Pearson correlation is widely used in clustering gene expression data [33,36,40]. This similarity
measure calculates the similarity between the shapes of two gene expression patterns. The Pear-
son correlation is defined by Pearsonðx; yÞ ¼
Pn
i¼1ðximxÞðyimyÞ
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn
i¼1ðxiyiÞ2
p
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn
i¼1ðxiyiÞ2
p
, where μx and μy are
the means for x and y respectively. The Pearson correlation has a disadvantage of being sensi-
tive to outliers [33,40]. the means for x and y respectively. The Pearson correlation has a disadvantage of being sensi-
tive to outliers [33,40]. The similarity measures explained above are the most commonly used for clustering contin-
uous data. Table 1 represents a summary of these with some highlights of each. 3.1 Experimental design This section is devoted to explain the method and the framework which is used in this study
for evaluating the effect of similarity measures on clustering quality. The main objective of this
research study is to analyse the effect of different distance measures on quality of clustering
algorithm results. As it is illustrated in Fig 1 there are 15 datasets used with 4 distance based
algorithms on a total of 12 distance measures. All the distance measures in Table 1 are exam-
ined except the Weighted Euclidean distance which is dependent on the dataset and the aim of
clustering. Fig 2 explains the methodology of the study briefly. For each dataset we examined all four
distance based algorithms, and each algorithms’ quality of clustering has been evaluated by
each 12 distance measures as it is demonstrated in Fig 1. It makes a total of 720 experiments in
this research work to analyse the effect of distance measures. Representing and comparing this
huge number of experiments is a challenging task and could not be done using ordinary charts
and tables. Consequently we have developed a special illustration method using heat mapped
tables in order to demonstrate all the results in the way that could be read and understand
quickly. This method is described in section 4.1.1. 5 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Comparison on Similarity Measures in Clustering Continuous Data Comparison on Similarity Measures in Clustering Continuous Data Table 1. Similarity Measures for continuous data (in time complexity, n is the number of dimensions of x and y). Distance
Measure
Equation
Time
complexity
Advantages
Disadvantages
Applications
Euclidean
Distance
deuc ¼
X
n
i¼1
ðxi yiÞ
2
"
#1
2
O(n)
Very common, easy to
compute and works well
with datasets with
compact or isolated
clusters [27,31]. Sensitive to outliers [27,31]. K-means algorithm,
Fuzzy c-means
algorithm [38]. Average
Distance
dave ¼
1n
X
n
i¼1
ðxi yiÞ
2
!1
2
O(n)
Better than Euclidean
distance [35] at handling
outliers. Variables contribute
independently to the
measure of distance. Redundant values could
dominate the similarity
between data points [37]. K-means algorithm
Weighted
Euclidean
dwe ¼
X
n
i¼1
wiðxi yiÞ
2
!1
2
O(n)
The weight matrix allows
to increase the effect of
more important data
points than less
important one [37]. Same as Average Distance. Comparison on Similarity Measures in Clustering Continuous Data Table 1. (Continued) Table 1. (Continued) Table 1. (Continued)
Distance
Measure
Equation
Time
complexity
Advantages
Disadvantages
Applications
Pearson
coefficient
Pearsonðx; yÞ ¼
Pn
i¼1ðximxÞðyimyÞ
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn
i¼1ðxiyiÞ2
p
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
Pn
i¼1ðxiyiÞ2
p
O(2n)
*Results in accurate
outcomes using the
hierarchical single-link
algorithm for high
dimensional datasets. -
Partitioning and
hierarchical
clustering
algorithms. *Points marked by asterisk are compiled based on this article’s experimental results. *Points marked by asterisk are compiled based on this article’s experimental results. *Points marked by asterisk are compiled based on this article’s experimental results. 3.2 Rand Index In this study, we used Rand Index (RI) for evaluation of clustering outcomes resulted by vari-
ous distance measures. This section is an overview on this measure and it investigates the rea-
son that this measure has been chosen. Rand index is frequently used in measuring clustering quality. It is a measure of agreement
between two sets of objects: first is the set produced by clustering process and the other defined
by external criteria. Although there are different clustering measures such as Sum of Squared
Error, Entropy, Purity, Jaccard etc. but among them the Rand index is probably the most used
index for cluster validation [17,41,42]. Assuming S = {o1, o2, . . ., on} is a set of n elements and
two partitions of S are given to compare C = {c1, c2, . . ., cr}, which is a partition of S into r sub-
sets and G = {g1, g2, . . ., gs}, a partition of S into s subsets, the Rand index (R) is defined as
follows: Definition 2
RI ¼
a þ b
a þ b þ c þ d
1
where: Definition 2
RI ¼
a þ b
a þ b þ c þ d
1
where: 3.1 Experimental design Fuzzy c-means
algorithm [38]
Chord
dchord ¼
2 2
Pn
i¼1xiyi
kxk2kyk2
1
2
O(3n)
Can work with un-
normalized data [27]. It is not invariant to linear
transformation [33]. Ecological
resemblance
detection [35]. Mahalanobis
dmah ¼
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ðx yÞS1ðx yÞ
T
q
O(3n)
Mahalanobis is a data-
driven measure that can
ease the distance
distortion caused by a
linear combination of
attributes [35]. It can be expensive in terms
of computation [33]
Hyperellipsoidal
clustering algorithm
[30]. Cosine
Measure
Cosine x; y
ð
Þ ¼
Pn
i¼1xiyi
kxk2kyk2
O(3n)
Independent of vector
length and invariant to
rotation [33]. It is not invariant to linear
transformation [33]. Mostly used in
document similarity
applications [28,33]. Manhattan
dman ¼
X
n
i¼1
ðxi yiÞ
O(n)
Is common and like
other Minkowski-driven
distances it works well
with datasets with
compact or isolated
clusters [27]. Sensitive to the outliers. [27,31]
K-means algorithm
Mean
Character
Difference
dMCD ¼ 1n
X
n
i¼1
jxi yij
O(n)
*Results in accurate
outcomes using the K-
medoids algorithm. *Low accuracy for high-
dimensional datasets using
K-means. Partitioning and
hierarchical
clustering
algorithms. Index of
Association
dIOA ¼ 1n
X
n
i¼1
xi
Pn
i¼1xi
yi
Pn
i¼1yi
O(3n)
-
*Low accuracy using K-
means and K-medoids
algorithms. Partitioning and
hierarchical
clustering
algorithms. Canberra
Metric
dcanb ¼
X
n
i¼1
jxiyij
ðxiþyiÞ
O(n)
*Results in accurate
outcomes for high-
dimensional datasets
using the K-medoids
algorithm. -
Partitioning and
hierarchical
clustering
algorithms. Czekanowski
Coefficient
dczekan ¼ 1
2Pn
i¼1minðxi;yiÞ
Pn
i¼1ðxiþyiÞ
O(2n)
*Results in accurate
outcomes for medium-
dimensional datasets
using the K-means
algorithm. -
Partitioning and
hierarchical
clustering
algorithms. Coefficient of
Divergence
dcanb ¼
1n
X
n
i¼1
xiyi
xiþyi
2
!1
2
O(n)
*Results in accurate
outcomes using the K-
means algorithm. -
Partitioning and
hierarchical
clustering
algorithms. (Continued) arity Measures for continuous data (in time complexity, n is the number of dimensions of x and y). deuc ¼
X
n
i¼1
ðxi yiÞ
2
"
#1
2 deuc ¼
X
n
i¼1
ðxi yiÞ
2
"
#1
2 Weighted
Euclidean Manhattan dczekan ¼ 1
2Pn
i¼1minðxi;yiÞ
Pn
i¼1ðxiþyiÞ Czekanowski Coefficient of
Divergence Coefficient of PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 6 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Fig 1. Overview of experimental study. Definition 2 RI ¼
a þ b
a þ b þ c þ d
1 RI ¼
a þ b
a þ b þ c þ d 1 where: • a is the number of pairs of vectors in S that are in the same set in C and in the same set in G. • a is the number of pairs of vectors in S that are in the same set in C and in the same set in G • b is the number of pairs of elements in S that are in different sets in C and in different sets in
G. • c is the number of pairs of elements in S that are in the same set in C and in different sets in
G. • d is the number of pairs of elements in S that are in different sets in C and in the same set in
G. There is a modified version of rand index called Adjusted Rand Index (ARI) which is pro-
posed by Hubert and Arabie [42] as an improvement for known problems with RI. These prob-
lems happen when the expected value of the RI of two random partition does not take a
constant value (zero for example) or the Rand statistic approaches its upper limit of unity as
the number of cluster increases. However, since our datasets don’t have these problems and
also owing to the fact that the results generated using ARI were following the same pattern of
RI results, we have used Rand Index in this study due to its popularity in clustering community
for clustering validation. 7 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Comparison on Similarity Measures in Clustering Continuous Data Fig 1. Overview of experimental study. doi:10.1371/journal.pone.0144059.g001
Fig 2. Arrangement of experiments. doi:10.1371/journal.pone.0144059.g002
PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015
8 / 20 Fig 1. Overview of experimental study. doi:10.1371/journal.pone.0144059.g001 doi:10.1371/journal.pone.0144059.g002 3.3 Analysis of variance (ANOVA) test Before continuing this study, the main hypothesis needs to be proved: “distance measure has a
considerable influence on clustering results”. In order to show that distance measures cause sig-
nificant difference on clustering quality, we have used ANOVA test. For this purpose we will
consider a null hypothesis: “distance measures doesn’t have significant influence on clustering
quality”. Using ANOVA test, if the p value be very small, it means that there is very small
opportunity that null hypothesis is correct, and consequently we can reject it. ANOVA analyzes the differences among a group of variable which is developed by Ronald
Fisher [43]. ANOVA is a statistical test that demonstrate whether the mean of several groups
are equal or not and it can be said that it generalizes the t-test for more than two groups. It is
useful for testing means of more than two groups or variable for statistical significance. Statisti-
cal significance in statistics is achieved when a p-value is less than the significance level [44]. The p-value is the probability of obtaining results which acknowledge that the null hypothesis
is true [45]. For ANOVA test we have considered a table with the structure shown in Table 2 which cov-
ers all RI results for all four algorithms and each distance/similarity measure and for all data-
sets. Table is divided into 4 section for four respective algorithms. In each sections rows
represent results generated with distance measures for a dataset. ANOVA test is performed for each algorithm separately to find if distance measures have
significant impact on clustering results in each clustering algorithm. The ANOVA test result on above table is demonstrated in the Tables 3–6. The small Prob values indicates that differences between means of the columns are signifi-
cant. From that we can conclude that the similarity measures have significant impact in cluster-
ing quality. In the rest of this study we will inspect how these similarity measures influence on
clustering quality. p
y
0.1371/journal.pone.0144059.g001
Fig 2. Arrangement of experiments.
doi:10.1371/journal.pone.0144059.g002 doi:10.1371/journal.pone.0144059.g001 8 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Comparison on Similarity Measures in Clustering Continuous Data In this study we normalized the Rand Index values for the experiments. The normalized val-
ues are between 0 and 1 and we used following formula to approach it: In this study we normalized the Rand Index values for the experiments. The normalized val-
ues are between 0 and 1 and we used following formula to approach it: zi ¼
ri minðrÞ
maxðrÞ minðrÞ
2 zi ¼
ri minðrÞ
maxðrÞ minðrÞ 2 2 where r = (r1, . . ., rn) is the array of rand indexes produced by each similarity measure. where r = (r1, . . ., rn) is the array of rand indexes produced by each similarity measure. PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Comparison on Similarity Measures in Clustering Continuous Data Table 2. Rand Index values used for ANOVA test (in the table HAverage stands for Hierarchical Average algorithm and HSingle stands for Hierarchical Single link). Experimental Results It is noted that references to all data employed in this work are available in acknowledgment
section. A diverse set of similarity measures for continuous data was studied on low and high-
dimensional continuous datasets in order to clarify and compare the accuracy of each similarity
measure in different datasets with various dimensionality situations and using 15 datasets
[18,19,46–49]. Details of the datasets applied in this study are represented in Table 7. The experiments were conducted using partitioning (k-means and k-medoids) and hierar-
chical algorithms, which are distance-based. As it is discussed in section 3.2 the Rand index
served to evaluate and compare the results. The results for each of these algorithms are dis-
cussed later in this section. The k-means and k-medoids algorithms were used in this experiment as partitioning algo-
rithms, and the Rand index served accuracy evaluation purposes. Due to the fact that the k-
means and k-medoids algorithm results are dependent on the initial, randomly selected cen-
ters, and in some cases their accuracy might be affected by local minimum trap, the experiment 9 / 20 Dataset
Distance/Similarity Measures
Euclidean
Average
Cosine
Chord
Mahalanobis
Canberra
CoeffDiv
Czekan
IndOfAssoc
Manhattan
MCharDiff
Pearson
k-Means
sensor_2
0.722
0.733
0.659
0.659
0.725
0.744
0.741
0.765
0.662
0.729
0.729
0.403
Aggregation
0.929
0.929
0.798
0.799
0.927
0.921
0.904
0.949
0.799
0.927
0.927
0.636
Compound
0.919
0.914
0.746
0.746
0.926
0.890
0.908
0.886
0.744
0.906
0.904
0.497
Flame
0.756
0.756
0.569
0.569
0.750
0.716
0.498
0.710
0.557
0.750
0.750
0.536
Pathbased
0.750
0.750
0.639
0.639
0.758
0.735
0.733
0.746
0.637
0.748
0.748
0.635
R15
0.999
0.999
0.949
0.948
0.999
0.999
0.998
0.998
0.947
0.998
0.998
0.552
Spiral
0.554
0.554
0.562
0.562
0.555
0.550
0.552
0.553
0.562
0.556
0.556
0.496
D31
0.994
0.992
0.956
0.956
0.995
0.992
0.992
0.994
0.956
0.994
0.994
0.528
Iris
0.880
0.880
0.966
0.966
0.880
0.942
0.950
0.927
0.958
0.874
0.874
0.776
sensor_4
0.612
0.624
0.637
0.637
0.619
0.745
0.709
0.737
0.649
0.726
0.728
0.670
Data_User_Modeling
0.725
0.725
0.668
0.668
0.719
0.711
0.706
0.713
0.668
0.712
0.711
0.657
Seeds
0.876
0.874
0.884
0.884
0.876
0.859
0.782
0.891
0.890
0.872
0.872
0.359
Glass
0.741
0.742
0.737
0.740
0.732
0.604
0.602
0.734
0.732
0.734
0.731
0.342
sensor_24
0.610
0.615
0.614
0.617
0.596
0.618
0.621
0.613
0.610
0.604
0.611
0.626
Libras movement
0.914
0.917
0.913
0.917
0.915
0.911
0.914
0.910
0.913
0.914
0.912
0.918
k-Medoids
sensor_2
0.777
0.736
0.661
0.661
0.729
0.804
0.806
0.797
0.675
0.785
0.796
0.403
Aggregation
0.949
0.949
0.790
0.790
0.950
0.928
0.901
0.958
0.787
0.941
0.953
0.636
Compound
0.925
0.911
0.734
0.733
0.920
0.890
0.890
0.900
0.740
0.916
0.913
0.497
Flame
0.762
0.762
0.538
0.538
0.756
0.705
0.498
0.716
0.565
0.744
0.744
0.536
Pathbased
0.746
0.746
0.606
0.606
0.756
0.743
0.745
0.745
0.667
0.741
0.741
0.635
R15
0.999
0.999
0.947
0.945
0.988
0.998
0.988
0.998
0.947
0.999
0.998
0.552
Spiral
0.555
0.554
0.555
0.555
0.555
0.571
0.555
0.557
0.551
0.556
0.564
0.496
D31
0.994
0.992
0.956
0.956
0.992
0.990
0.988
0.991
0.956
0.991
0.994
0.528
Iris
0.912
0.912
0.966
0.966
0.824
0.927
0.950
0.906
0.950
0.880
0.880
0.776
sensor_4
0.707
0.711
0.711
0.711
0.656
0.740
0.722
0.709
0.690
0.696
0.716
0.656
Data_User_Modeling
0.725
0.712
0.654
0.654
0.728
0.285
0.285
0.285
0.646
0.734
0.745
0.659
Seeds
0.874
0.874
0.842
0.842
0.798
0.872
0.771
0.876
0.865
0.867
0.867
0.359
Glass
0.735
0.736
0.738
0.732
0.711
0.633
0.582
0.737
0.735
0.737
0.739
0.342
sensor_24
0.624
0.623
0.623
0.622
0.588
0.652
0.634
0.630
0.629
0.620
0.617
0.613
Libras movement
0.907
0.909
0.908
0.905
0.720
0.897
0.905
0.901
0.906
0.904
0.904
0.907
HSingle
sensor_2
0.432
0.432
0.355
0.355
0.432
0.432
0.432
0.431
0.365
0.432
0.432
0.405
Aggregation
0.926
0.926
0.574
0.574
0.926
0.619
0.927
0.927
0.550
0.926
0.926
0.635
Compound
0.890
0.890
0.415
0.415
0.896
0.895
0.898
0.891
0.415
0.712
0.712
0.497
Flame
0.541
0.541
0.522
0.522
0.541
0.531
0.531
0.541
0.522
0.541
0.541
0.538
Pathbased
0.338
0.338
0.362
0.362
0.340
0.339
0.338
0.338
0.362
0.338
0.338
0.635
R15
0.910
0.910
0.817
0.817
0.910
0.856
0.857
0.856
0.817
0.911
0.911
0.574
Spiral
1.000
1.000
0.383
0.383
1.000
0.781
0.781
0.781
0.383
1.000
1.000
0.497
(Continued)
Comparison on Similarity Measures in Clustering Continuous Data ues used for ANOVA test (in the table HAverage stands for Hierarchical Average algorithm and HSingle stands for Hierarchical Single link). Distance/Similarity Measures 10 / 20 4.1 Illustration technique A summary of the normalized Rand index results is illustrated in color scale tables in Fig 3 and
Fig 4. Since the aim of this study is to investigate and evaluate the accuracy of similarity mea-
sures for different dimensional datasets, the tables are organized based on horizontally ascend-
ing dataset dimensions. After the first column, which contains the names of the similarity
measures, the remaining table is divided in two batches of columns (low and high-dimen-
sional) that demonstrate the normalized Rand indexes for low and high-dimensional datasets,
respectively. The final column considered in this table is ‘overall average’ in order to explore
the most accurate similarity measure in general. This illustrational structure and approach is
used for all four algorithms in this paper. was repeated 100 times for each similarity measure, after which the maximum Rand index was
considered for comparison. Comparison on Similarity Measures in Clustering Continuous Data Dataset
Distance/Similarity Measures
Euclidean
Average
Cosine
Chord
Mahalanobis
Canberra
CoeffDiv
Czekan
IndOfAssoc
Manhattan
MCharDiff
Pearson
D31
0.779
0.779
0.818
0.818
0.754
0.740
0.731
0.730
0.518
0.755
0.755
0.536
Iris
0.777
0.777
0.772
0.772
0.343
0.753
0.753
0.772
0.772
0.776
0.776
0.772
sensor_4
0.341
0.341
0.345
0.345
0.346
0.451
0.339
0.333
0.345
0.338
0.338
0.651
Data_User_Modeling
0.309
0.309
0.301
0.301
0.304
0.302
0.302
0.305
0.302
0.299
0.299
0.311
Seeds
0.357
0.357
0.340
0.340
0.337
0.340
0.337
0.340
0.340
0.340
0.340
0.358
Glass
0.304
0.304
0.308
0.308
0.309
0.293
0.294
0.308
0.308
0.308
0.308
0.342
sensor_24
0.347
0.347
0.346
0.346
0.353
0.346
0.347
0.346
0.346
0.345
0.345
0.349
Libras movement
0.187
0.187
0.202
0.202
0.131
0.183
0.183
0.187
0.192
0.187
0.187
0.296
HAverage
sensor_2
0.466
0.466
0.634
0.634
0.506
0.466
0.729
0.716
0.634
0.466
0.466
0.404
Aggregation
1.000
1.000
0.778
0.778
0.997
0.930
0.948
0.927
0.778
0.991
0.991
0.643
Compound
0.921
0.921
0.676
0.676
0.921
0.850
0.852
0.829
0.697
0.933
0.933
0.511
Flame
0.721
0.721
0.503
0.503
0.847
0.512
0.529
0.501
0.503
0.689
0.689
0.538
Pathbased
0.738
0.738
0.699
0.699
0.754
0.438
0.377
0.708
0.629
0.724
0.724
0.635
R15
0.999
0.999
0.917
0.917
0.999
0.981
0.963
0.990
0.914
0.998
0.998
0.566
Spiral
0.537
0.537
0.528
0.528
0.557
0.424
0.499
0.498
0.428
0.540
0.540
0.497
D31
0.994
0.994
0.950
0.950
0.996
0.977
0.979
0.986
0.952
0.996
0.996
0.537
Iris
0.892
0.892
0.772
0.772
0.343
0.753
0.753
0.778
0.772
0.886
0.886
0.776
sensor_4
0.338
0.338
0.561
0.561
0.338
0.479
0.479
0.480
0.544
0.376
0.376
0.653
Data_User_Modeling
0.659
0.659
0.301
0.301
0.337
0.302
0.302
0.307
0.309
0.645
0.645
0.594
Seeds
0.887
0.887
0.691
0.691
0.337
0.879
0.581
0.802
0.688
0.802
0.802
0.362
Glass
0.329
0.329
0.570
0.570
0.309
0.328
0.323
0.415
0.415
0.415
0.415
0.369
sensor_24
0.353
0.353
0.538
0.538
0.347
0.498
0.516
0.518
0.521
0.428
0.428
0.446
Libras movement
0.886
0.886
0.892
0.892
0.131
0.582
0.613
0.827
0.844
0.861
0.861
0.886
d i 10 1371/j
l
0144059 t002 Table 2. (Continued) 11 / 20 Comparison on Similarity Measures in Clustering Continuous Data was repeated 100 times for each similarity measure, after which the maximum Rand index was
considered for comparison. Table 3. ANOVA results for k-means. K_means
SS
df
MS
F
Prob>F
Columns
0.68317
11
0.06211
2.96
0.0013
Error
3.52624
168
0.02099
Total
4.20942
179
doi:10.1371/journal.pone.0144059.t003 Table 3. ANOVA results for k-means. 4.2 Benchmarking similarity measures for partitioning algorithms HAvrage
SS
df
MS
F
Prob>F
Columns
0.47251
11
0.04296
2.62
0.0043
Error
2.52617
154
0.0164
Total
8.91175
175
doi:10.1371/journal.pone.0144059.t005
Table 6. ANOVA results for HSingle. HSingle
SS
df
MS
F
Prob>F
Columns
0.3194
11
0.02903
2.38
0.0095
Error
1.8788
154
0.0122
Total
10.2233
179
doi:10.1371/journal.pone.0144059.t006 Table 5. ANOVA results for HSingle. HAvrage
SS
df
MS
F
Prob>F
Columns
0.47251
11
0.04296
2.62
0.0043
Error
2.52617
154
0.0164
Total
8.91175
175
doi:10.1371/journal.pone.0144059.t005 Table 5. ANOVA results for HSingle. Table 6. ANOVA results for HSingle. HSingle
SS
df
MS
F
Prob>F
Columns
0.3194
11
0.02903
2.38
0.0095
Error
1.8788
154
0.0122
Total
10.2233
179
doi:10.1371/journal.pone.0144059.t006 Table 6. ANOVA results for HSingle. Results were collected after 100 times of repeating the k-means algorithm for each similarity
measure and dataset. Fig 6 is a summarized color scale table representing the mean and variance of iteration
counts for all 100 algorithm runs. Pearson has the fastest convergence in most datasets. After
Pearson, Average is the fastest similarity measure in terms of convergence. Regarding the discussion on Rand index and iteration count, it is manifested that the Aver-
age measure is not only accurate in most datasets and with both k-means and k-medoids algo-
rithms, but it is the second fastest similarity measure after Pearson in terms of convergence,
making it a secure choice when clustering is necessary using k-means or k-medoids algorithms. 4.2 Benchmarking similarity measures for partitioning algorithms Fig 3 represents the results for the k-means algorithm. According to the figure, for low-dimen-
sional datasets, the Mahalanobis measure has the highest results among all similarity measures. On the other hand, for high-dimensional datasets, the Coefficient of Divergence is the most
accurate with the highest Rand index values. Fig 4 provides the results for the k-medoids algo-
rithm. Mean Character Difference is the most precise measure for low-dimensional datasets,
while the Cosine measure represents better results in terms of accuracy for high-dimensional
datasets. Overall, Mean Character Difference has high accuracy for most datasets. As a general result for the partitioning algorithms used in this study, average distance results
in more accurate and reliable outcomes for both algorithms. It is the most accurate measure in
the k-means algorithm and at the same time, with very little difference, it stands in second
place after Mean Character Difference for the k-medoids algorithm. From another perspective, similarity measures in the k-means algorithm can be investigated
to clarify which would lead to the k-means converging faster. However the convergence of k-
means and k-medoid algorithms is not guaranteed due to the possibility of falling in local mini-
mum trap. For this reason we have run the algorithm 100 times to prevent bias toward this
weakness. Fig 5 shows two sample box charts created by using normalized data, which repre-
sents the normalized iteration count needed for the convergence of each similarity measure. Table 4. ANOVA results for k-medoids. K_medoids
SS
df
MS
F
Prob>F
Columns
0.69565
11
0.06324
2.62
0.0042
Error
4.05766
168
0.02415
Total
4.75331
179
doi:10.1371/journal.pone.0144059.t004 Table 4. ANOVA results for k-medoids. 12 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Comparison on Similarity Measures in Clustering Continuous Data Results were collected after 100 times of repeating the k-means algorithm for each similarity
measure and dataset. Fig 6 is a summarized color scale table representing the mean and variance of iteration
counts for all 100 algorithm runs. Pearson has the fastest convergence in most datasets. After
Pearson, Average is the fastest similarity measure in terms of convergence. Regarding the discussion on Rand index and iteration count, it is manifested that the Aver-
age measure is not only accurate in most datasets and with both k-means and k-medoids algo-
Table 5. ANOVA results for HSingle. 4.3 Benchmarking similarity measures for hierarchical algorithms In a previous section, the influence of different similarity measures on k-means and k-medoids
algorithms as partitioning algorithms was evaluated and compared. In this section, the results
for Single-link and Group Average algorithms, which are two hierarchical clustering Table 7. Dataset Details. PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Comparison on Similarity Measures in Clustering Continuous Data Fig 3. K-means color scale table for normalized Rand index values (green represents the highest and it changes to red, which is the lowest Rand
index value). algorithms, will be discussed for each similarity measure in terms of the Rand index. Fig 7 and
Fig 8 represent sample bar charts of the results. The bar charts include 6 sample datasets. Because bar charts for all datasets and similarity measures would be jumbled, the results are
presented using color scale tables for easier understanding and discussion. As discussed in the
last section, Fig 9 and Fig 10 are two color scale tables that demonstrate the normalized Rand
index values for each similarity measure. The results in Fig 9 for Single-link show that for low-
dimensional datasets, the Mahalanobis distance is the most accurate similarity measure and
Pearson is the best among other measures for high-dimensional datasets. The overall average
column in this figure shows that generally, Pearson presents the highest accuracy and the Aver-
age and Euclidean distances are among the most accurate measures. For the Group Average
algorithm, as seen in Fig 10, Euclidean and Average are the best among all similarity measures
for low-dimensional datasets. For high-dimensional datasets, Cosine and Chord are the most
accurate measures. Generally, in the Group Average algorithm, Manhattan and Mean Charac-
ter Difference have the best overall Rand index results followed by Euclidean and Average. Considering the overall results, it is clear that the Average measure is constantly among the
best measures, and for both Single-link and Group Average algorithms. algorithms, will be discussed for each similarity measure in terms of the Rand index. Fig 7 and
Fig 8 represent sample bar charts of the results. The bar charts include 6 sample datasets. algorithms, will be discussed for each similarity measure in terms of the Rand index. Fig 7 and
Fig 8 represent sample bar charts of the results. The bar charts include 6 sample datasets. Because bar charts for all datasets and similarity measures would be jumbled, the results are
presented using color scale tables for easier understanding and discussion. As discussed in the
last section, Fig 9 and Fig 10 are two color scale tables that demonstrate the normalized Rand
index values for each similarity measure. Table 7. Dataset Details. Table 7. Dataset Details. Dataset Name
Dimensions
Clusters
Vectors
Aggregation
2
7
788
Compound
2
6
399
D31
2
31
3100
Flame
2
2
240
Path based
2
3
300
R15
2
15
600
Sensor_2
2
4
5456
Spiral
2
3
312
Iris
4
3
150
Sensor_4
4
4
5456
Data_User_Modeling
5
4
258
Seeds
7
3
210
Glass
9
7
214
Sensor_24
24
4
5456
Movement Libera
90
15
360
doi:10.1371/journal.pone.0144059.t007 13 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 201 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 doi:10.1371/journal.pone.0144059.g004 doi:10.1371/journal.pone.0144059.g003 Comparison on Similarity Measures in Clustering Continuous Data Fig 5. Sample box charts for k-means iteration counts created with a collection of normalized results after 100 times of repeating the algorithm for
each similarity measure and dataset. Fig 5. Sample box charts for k-means iteration counts created with a collection of normalized results after 100 times of repeating the algorithm for
each similarity measure and dataset eration counts created with a collection of normalized results after 100 times of repeating the algorithm for Fig 5. Sample box charts for k-means iteration counts created with a collection of normalized results after 1
each similarity measure and dataset. Fig 5. Sample box charts for k-means iteration counts created with a collection of normalized results after 100 times of repeating the algorithm for
each similarity measure and dataset. doi:10.1371/journal.pone.0144059.g005 doi:10.1371/journal.pone.0144059.g005 Pearson correlation doesn’t work properly for low dimensional datasets while it shows better
results for high dimensional datasets. Fig 11 illustrates the overall average RI in all 4 algorithms and all 15 datasets also uphold the
same conclusion. Fig 12 at the other hand shows the average RI for 4 algorithms separately. It
can be inferred that Average measure among other measures is more accurate. Furthermore, by using the k-means algorithm, this similarity measure is the fastest after
Pearson in terms of convergence. The results in Fig 9 for Single-link show that for low-
dimensional datasets, the Mahalanobis distance is the most accurate similarity measure and
Pearson is the best among other measures for high-dimensional datasets. The overall average
column in this figure shows that generally, Pearson presents the highest accuracy and the Aver-
age and Euclidean distances are among the most accurate measures. For the Group Average
algorithm, as seen in Fig 10, Euclidean and Average are the best among all similarity measures
for low-dimensional datasets. For high-dimensional datasets, Cosine and Chord are the most
accurate measures. Generally, in the Group Average algorithm, Manhattan and Mean Charac-
ter Difference have the best overall Rand index results followed by Euclidean and Average. Considering the overall results, it is clear that the Average measure is constantly among the
best measures, and for both Single-link and Group Average algorithms. A review of the results and discussions on the k-means, k-medoids, Single-link and Group
Average algorithms reveals that by considering the overall results, the Average measure is regu-
larly among the most accurate measures for all four algorithms. According to heat map tables it is noticeable that Pearson correlation is behaving differently
in comparison to other distance measures. It specially shows very weak results with centroid
based algorithms, k-means and k-medoids. Based on the results in this research, in general, Fig 4. K-medoids color scale table for normalized Rand index values (green is the highest and changes color to red, which is the lowest Rand
index value). PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 14 / 20 Comparison on Similarity Measures in Clustering Continuous Data Fig 6. Color scale table for iteration count mean and variance (green is the lowest and it changes color to red, which shows the greatest iteration
count value). datasets. The accuracy of similarity measures in terms of the Rand index was studied and the
best similarity measures for each of the low and high-dimensional datasets were discussed for
four well-known distance-based algorithms. Overall, the results indicate that Average Distance
is among the top most accurate measures for all clustering algorithms employed in this article. Moreover, this measure is one of the fastest in terms of convergence when k-means is the target
clustering algorithm. Based on results in this study, in general, Pearson correlation is not rec-
ommended for low dimensional datasets. It also is not compatible with centroid based algo-
rithms. However, this measure is mostly recommended for high dimensional datasets and by
using hierarchical approaches. Fig 6. Color scale table for iteration count mean and variance (green is the lowest and it changes color to red, which shows the greatest iteration
count value). doi:10.1371/journal.pone.0144059.g006
Fig 7. Bar chart of normalized Rand index values for selected datasets using the Single-link algorithm. doi:10.1371/journal.pone.0144059.g007 Fig 6. Color scale table for iteration count mean and variance (green is the lowest and it changes color to red, which shows the greatest iteration
count value). count mean and variance (green is the lowest and it changes color to red, which shows the greatest iteration doi:10.1371/journal.pone.0144059.g006 datasets. The accuracy of similarity measures in terms of the Rand index was studied and the
best similarity measures for each of the low and high-dimensional datasets were discussed for
four well-known distance-based algorithms. Overall, the results indicate that Average Distance
is among the top most accurate measures for all clustering algorithms employed in this article. Moreover, this measure is one of the fastest in terms of convergence when k-means is the target
clustering algorithm. Based on results in this study, in general, Pearson correlation is not rec-
ommended for low dimensional datasets. It also is not compatible with centroid based algo-
rithms. However, this measure is mostly recommended for high dimensional datasets and by
using hierarchical approaches. Fig 7. Bar chart of normalized Rand index values for selected datasets using the Single-link algorithm. doi:10 1371/journal pone 0144059 g007 Fig 7. Concluding Remarks Selecting the right distance measure is one of the challenges encountered by professionals and
researchers when attempting to deploy a distance-based clustering algorithm to a dataset. The
variety of similarity measures can cause confusion and difficulties in choosing a suitable mea-
sure. Similarity measures may perform differently for datasets with diverse dimensionalities. The aim of this study was to clarify which similarity measures are more appropriate for low-
dimensional and which perform better for high-dimensional datasets in the experiments. In
this work, similarity measures for clustering numerical data in distance-based algorithms were
compared and benchmarked using 15 datasets categorized as low and high-dimensional PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 15 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Acknowledgments Ali Seyed Shirkhorshidi would like to express his sincere gratitude to Fatemeh Zahedifar and
Seyed Mohammad Reza Shirkhorshidi, who helped in revising and preparing the paper. Bar chart of normalized Rand index values for selected datasets using the Single-link algorithm. Fig 7. Bar chart of normalized Rand index values for selected datasets using the Single-link algorithm. doi:10.1371/journal.pone.0144059.g007 16 / 20 PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 Comparison on Similarity Measures in Clustering Continuous Data Fig 8. Bar chart of normalized Rand index values for selected datasets using the Group Average algorithm. doi:10.1371/journal.pone.0144059.g008 Fig 8. Bar chart of normalized Rand index values for selected datasets using the Group Average algorithm. Fig 8. Bar chart of normalized Rand index values for selected datasets using the Group Average algorithm. doi:10.1371/journal.pone.0144059.g008 doi:10.1371/journal.pone.0144059.g008 Fig 9. Color scale table of normalized Rand index values for the Single-link method (green is the highest and it changes color to red, which
represents the lowest Rand index value). Fig 9. Color scale table of normalized Rand index values for the Single-link method (green is the highest and it changes color to red, which
represents the lowest Rand index value). doi:10.1371/journal.pone.0144059.g009
Fig 10. Color scale table of normalized Rand index values for Group Average (green is the highest and it changes color to red, which signifies the
lowest Rand index value). d i 10 1371/j
l
0144059 010 Fig 9. Color scale table of normalized Rand index values for the Single-link method (green is the highest and it changes color to red, which
represents the lowest Rand index value). Fig 9. Color scale table of normalized Rand index values for the Single-link method (green is the highest
represents the lowest Rand index value). doi:10.1371/journal.pone.0144059.g009 doi:10.1371/journal.pone.0144059.g009 Fig 10. Color scale table of normalized Rand index values for Group Average (green is the highest and it changes color to red, which signifies the
lowest Rand index value). PLOS ONE | DOI:10.1371/journal.pone.0144059
December 11, 2015 17 / 20 17 / 20 Acknowledgments
Fig 11. Overall RI Average. doi:10.1371/journal.pone.0144059.g011
Fig 12. Average RI for four algorithms. doi:10.1371/journal.pone.0144059.g012
Comparison on Similarity Measures in Clustering Continuous Data Comparison on Similarity Measures in Clustering Continuous Data Fig 11. Overall RI Average. doi:10.1371/journal.pone.0144059.g011 Fig 11. Overall RI Average. doi:10.1371/journal.pone.0144059.g011 Fig 12. Average RI for four algorithms. doi:10 1371/journal pone 0144059 g012 Fig 12. Average RI for four algorithms. Fig 12. Average RI for four algorithms. doi:10.1371/journal.pone.0144059.g012 Author Contributions Conceived and designed the experiments: ASS SA TYW. Performed the experiments: ASS SA
TYW. Analyzed the data: ASS SA TYW. Contributed reagents/materials/analysis tools: ASS SA
TYW. Wrote the paper: ASS SA TYW. 1.
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The German Empire of To-day: Outlines of its Formation and Development.
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Review
Author(s): L. L. Price
Review by: L. L. Price
Source: The Economic Journal, Vol. 12, No. 47 (Sep., 1902), pp. 380-385
Published by: Wiley on behalf of the Royal Economic Society
Stable URL: http://www.jstor.org/stable/2956904
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The Economic Journal This content downloaded from 131.247.112.3 on Fri, 24 Jun 2016 20:50:26 UTC
All use subject to http://about.jstor.org/terms 38 ONOMIC JOURNAL The Gernman Empire of To-day: Outlines of its Formation and
Developmrent. By " Veritas." Crown 8vo., pp. vii, 340. (London: Longmans, Green & Co. 1902.) THE idea prompting the production of this book must have been as
difficult to realise as it was fascinating to conceive. Few more
interesting or valuable contributions could Jbe made to contemporary
economics than that supplied by a full authoritative discriminating
account of modern Germany. An accurate description of the new
G-ermany, which has arisen in Europe since 1870, furnishing not
merely a bare catalogue of facts, but also a searching examination of
their significance, would, in a real sense, meet a "felt want." The
author of the volume before us is guilty of no exaggeration when he
says that " a growth similar to that of modern Germany has rarely
been seen before " ; and he is stating the literal truth, when he affirms
that " Germany has now become, not only a political power of the
first magnitude, but also a commercial power of the first rank." It is
this last circumstance which has lately aroused nervous alarm in our
own country. This content downloaded from 131.247.112.3 on Fri, 24 Jun 2016 20:50:26 UTC
All use subject to http://about.jstor.org/terms To the keen impartial observer, indeed, who looks be-
yond the present to a future not very remote, German competition must
seem a less serious phenomenon for us than the trading and industrial
rivalry of the United States, and it may well be that we have more to
learn from American methods than we can with advantage derive from
a study of Germany. But for the moment, at any rate, however
ominous and significant be the portents of the recent " invasion " of
English trade by trans-Atlantic capital, it is Germany, which has
been persistently presented to our merchants and manufacturers, our
administrators and instructors, as the pattern they ought to imitate. Our educational systems, we are told, no less than our military
arrangements, should be remodelled on German lines. Our business
men should substitute some of the German anxiety to meet the minute
unreasoning wants of their customers for their own natural but costly
contempt of petty departures from familiar tradition. Our Govern-
ment should exhibit some of the intelligent and'constant solicitude
with which German administration has pushed the interests of German
trade in various directions. No doubt some of the advice thus
generously tendered is exaggerated or mistaken. No doubt some
amount of the apprehensiveness, widely felt for German competition,
rests on an imaginary rather than a real foundation. No doubt it might
in the end prove as foolish and mischievous to copy slavishly, in an
English environment, what had succeeded among German surroundings,
as it would be foolhardy or fatal to disregard the lessons which
Germany could teach t6 England. But for these reasons a very
pressing need of the times is such a full, impartial, and lucid account
of the significant characteristics of modern Germany, that the plain
man can discern for himself without difficulty the causes and limits
of German commercial and industrial success We require in short for " VERITAS ": THE GERMAN EMPIRE OF TO-D 381 Germany since 1870 a writer who will accomplish what Mr. Bodley
has partly done for France, what Mr. Bryce has achieved on a larger
scale for America, and what Messrs. King and Okey have recently
performed within more limited dimensions for Italy. The book before us, valuable and interesting as it is, hardly fulfils
these conditions. The author's intentions in fact are much less com-
prehensive. He describes his chapters as "outlines"; and we think
that the description is just. "They do not," he says, " put anything
materially new before the public, but merely attempt to present a short
retrospective account of certain specific phases of German progress in
recent times, preceded by a brief summary of political and constitu-
tional history up to 1871." Accordingly, after a short introduction
and a chapter on German History before the war, he reviews, in
successive chapters, the "national progress" since 1871, the "Army
and the Navy," Commercial, Traffic, and Colonial Policy, " Colonial
Possessions," "' National Education," and "' German Finances."
These chapters contain in a moderate compass a large quantity of the
facts and figures necessary to an informed acquaintance with modern
Germany. The facts are judiciously selected, and carefully arranged. The figures -are competently handled and are derived from authorita-
tive sources. The author shows that he possesses that intimate
knowledge of his subject, which enables him to present his readers
with a satisfactory digest, and removes any suspicion of intentional
exaggeration or of accidental misunderstanding. We cannot but be
confident, as we read his pages, that we are being told what we ought
to know by a skilful instructor; and for this able and expert guidance
we are duly grateful. We are the more sorry that he has imposed on
himself certain limitations, which mar the completeness of his work. " Well-known facts and authentic events," he states, " are merely placed
on record here, leaving to others all enigmatical inferences as to their
significance." Much may be said for this attitude from the standpoint
of the author himself; and it is not seldom as delusive as it is
tempting to stray from the firm basis of fact on to the uncertain ground
of prophecy and inference.. But from the point of view of the reader
this attitude carries with it some disadvantage; and we believe that
the book would have been more interesting, and not less valuable, had
the facts and figures been interspersed with a greater quantity of
suggestion and reflection. As it is, the tedium naturally begotten of a
mass of figures drily stated, and of facts recorded with little, if any
comment, calls urgently for some relief. We are in danger of failing to
see the wood for the trees. This content downloaded from 131.247.112.3 on Fri, 24 Jun 2016 20:50:26 UTC
All use subject to http://about.jstor.org/terms We skim the surface of affairs without
discerning the real forces which are active beneath. We are not sure
that Mr. Dawson's excellent little book on "sGerman Life in Town
and Country " does not convey a more satisfactory and accurate
impression, because it is confessedly less statistical, and more descrip-
tive; and we are certain that we have still to wait for a treatise on
modern Germany, which we can place in the same category as 38 ONOMIC JOURNAL the books we have previously mentioned on France, Italy, and
America. the books we have previously mentioned on France, Italy, and
America. We must then take the account now given by " Veritas" as no
more than an opportune instalment for which we may be duly
grateful. Within its necessary limitations we may ask-What does it
tell us of the facts and figures of modern Germany ? What evidence
does it furnish of the drawbacks and obstacles attendant on its
growth ? What hints and suggestions does it supply of the causes which
have promoted its remarkable development ? To these three questions
we will attempt briefly to give an answer. Of the actual facts of the growth of modern Germany "Veritas"
furnishes an authentic summary, which, we do not doubt, will be found
of great assistance to students and to publicists. His figures are
impressive. An advance of population is, of course, no convincing
proof of an increase in the prosperity of a nation, and the social reformer
of to-day, although he no longer, like John Stuart Mill, forms all his
opinions under the depressing and distorting influence of the fear of
over-population, will yet wish to ask something of the quality as well
as the quantity of the inhabitants of any particular country. Yet
there can be little doubt that an advance in the numbers of a nation is
as much prima facie evidence of their growth in energy and influence
as a decline of population affords indication that something is wron. This content downloaded from 131.247.112.3 on Fri, 24 Jun 2016 20:50:26 UTC
All use subject to http://about.jstor.org/terms The feeling of despondency which has lately taken so powerful a hold
of many philosophic and instructed French writers is as significant in
this direction as the fact, noted by " Veritas," that the " fecundity of the
German race in the latter part of the nineteenth century has far
exceeded that of other European powers." In 1871 the Germans
numbered 41,000,000, in 1901 they amounted to 57,000,000, and they
are increasing " with a rapidity of not less than an average of 800,000
persoiig per year." This growth of population has been accompanied
by no less remarkable a growth in industry and commerce. There
has been a noteworthy change in the proportions of the people engaged
respectively in agricultural and in industrial and commercial pursuits. In 1882, out of every 1,000, 425 were supported by agriculture, 355
by industries, and 100 by commerce; in 1895 the respective numbers
were 357, 391, and 115. The agricultural population of the Emnpire
has sunk from some 60 per cent. thirty years ago to some 35 per cent. to-day. The statistics of the advance of foreign commerce, so far as
they are available for exact comparison, similarly indicate a growth
from ?279,000,000 in 1872 to ?518,000,000 in 1900. Of the former
total ?163,000,000 represented imports and ?116,000,000 exports, of
the latter ?288,000,000 represented imports and ?230,000,0Q0 exports. The "1 main part " of the increase in the imports consists, not of manu-
factured goods, for " home-made articles are more and more replacing
formerly imported commodities," but of "the foreign food stuffs
indispensable for the support of the people, who are, year by year,
becoming less and less a self-contained nation," The development of " VERITAS : THE GERMAN EMPIRE OF TO-D 383 foreign trade has been attended by no less rapid an increase in
shipping. " The German mercantile marine is now the second in
the world, with a total registered tonnage of 3,009,225 (January 1,
1901), of which 2,463,416 belong to steamers." "The most striking
features in its expansion are, firstly, its rapid growth in the last five
years, and, secondly, the large average size of the steamers individually."
These, perhaps, are the most noteworthy figures illustrative of the
"national progress"; but the general conclusion to which they point
is supported by " the larger average deposits in the savings banks, the
increased number and value of the life assurances effected, and the
yearly greater total of persons taxed as enjoying moderate incomes."
The position of the "national finances " on the whole corroborates
this evidence, while the completion of the Civil Code in 1896, and the
consequent enforcement in 1900 of the improved Commercial Code,
are important signs that the work of unification, on which the outward
stamp of approval was placed before the public of Europe in the
palace of Versailles in January, 1871, has received the necessary
inner confirmation during the succeeding quarter of a century. g
g q
y
There is, it is true, another " side to the shield" ; and the future
of the German people is not without serious dangers, actual and
threatened. German unity is, indeed, an accomplished fact; but
relics survive of the conditions which prevailed when Gerinany was
disunited, and some cumbrousness attaches as a consequence to sorne
financial and administrative arrangements. The Navy, for examnple,
differs in this respect from the Army, for imperial control has a freer
hand in its administration; and by a wise prescience matters of trade
and commerce were mostly placed in the sphere of federal authority. A far more disturbing factor is the struggle between the agrarian and
the industrial interests, which has recently been reflected in tariff
discussions, and in that legislation, which has for the moment gone some
way to " isolating" Germany in Europe, and has excited the hostility,
or at least the mistrust, of her neighbours on the east and the south. Here
the drift of events may seem to incline definitely in one direction;
but there may be many pitfalls to avoid, and serious obstacles to
overcome by the way before the struggle between the conflicting
interests is over. The problem is connected closely with another. This content downloaded from 131.247.112.3 on Fri, 24 Jun 2016 20:50:26 UTC
All use subject to http://about.jstor.org/terms For
the moment Germany has been suffering from severe commercial and
industrial depression, and one great need of her economic future will
assuredly be an increase of capital. But another more cogent need will
be an outlet for her population and her trade; and German colonial
development cannot be said as yet to'have been an unqualified success,
or to have enlisted in its support the favouring enthusiasm of the whole
nation. A " world-policy " is an attractive conception to a people
justly ambitious and conscious of their great capabilities; but it cannot
be carried into effect without expenditure on a protecting navy, or the
acquisition of large suitable colonies, where Germans will be
willing to settle. Geriian colonial expansion may be in its infancy; 38 ONOMIC JOURNAL but no one can read the two chapters in this book on " colonial policy,"
and "colonial possessions," without feeling that, while the former is
pregnant with possibilities of dangerous, costly conflict with the similar
ambitions of other European powers, the latter are at present little
more than expensive toys. It will require no small discretion on the
part of German statesmen to overcome difficulties like these, which
will face them in the immediate future. But to what causes, we may ask, in conclusion, has the past success
been due? " Veritas " would answer, and, in our opinion, correctly, to
the " scientific spirit," which has pervaded the people and their rulers. A thorough study of minute detail, and a readiness to adopt small
improvements, have issued from this spirit. The German may be
plodding where the American is smart, and he may be cautious where
the American is bold; but his willingness to take enormous pains to
suit his customers, his informed intelligence, trained to recognise the
advantage of comprehensive and accurate knowledge, his complete
belief in systema tic instruction, have enabled him to win his way to a
very important place in the commerce of the world. This content downloaded from 131.247.112.3 on Fri, 24 Jun 2016 20:50:26 UTC
All use subject to http://about.jstor.org/terms Canals have
not, as in other countries, been neglected or disused in consequence of
railway development, but the official intelligence has sought by careful
thought and experiment how to make both railway and canal work in
harmony into a complete system of efficient transport. In the same
way the State, recognising the supremie importance of trained intelli-
gence, has systematically fostered national education as the fundamental
basis on which national prosperity and power must be built; and it
has deliberately set itself to promote commerce and industry by active
guidance and pervasive control. It has been confident that it can
perform a useful function in economic affairs by developing natural
abilities and by bringing superior trained intelligence to bear on its
own special work. The protective tariff thus springs from the same
source as that which has begotten " standardisation "-the belief that
"science," in the broadest sense of the term, has a real place, and can
exert a beneficial influence, in the practical affairs of economic life. The belief may lead to unfamiliar and somiietimes to unexpected conse-
quences; but it is certanly not irrational, and it has gone far to produce
the success of modern Germany. On this text "Y Veritas " in the book
before us delivers a telling discourse. L. L. PRICE L. PRICE Gr*UBndbeditngungen der gesellschaftlichen Woldfahrt. By SAMUEL
REIVAI. (Leipzig: 1902.) AT the inaugural meeting of the British Economic Association,
Professor Marshall expressed the hope that the Association would not
" exert a wholesome influence in the sense of setting up a standard of
orthodoxy. Science," he said, " could be true or false, but could not
be orthodox; and the best way to find out what was true was to
welcome the criticisms of all people who knew what they were talking
about." It is in this spirit that Mr. Revai's book should be approached,
for he is not only a social reformer, a man who wishes ardently to alter
existing industrial and social arrangements, but also a determined
opponent of many of the views held by scientific economists. His
opinions as to the nature of value, money, and credit, are not those
generally in vogue, and, it must be said, are not obtained by such a
careful and scientific analysis of modern conditions as miight be
expected from one who is attacking economic science. We are ready to
complain of the excessive " officialism " of Germans, but there is no little
truth in the contention of" Veritas " that in the " German Empire, as a
modern State, there has perhaps been less than elsewhere of that ' red-
tape,' bureaucratic intractability which so often results in an unfortunate
paralysation of all active initiative." The German is, no doubt, less
impatient than an Englishman under bureaucratic control; but this,
perhaps, is partly because his officials have in reality a more enlightened
mind. We may talk, as we often do, with disapproval of the " methods
of the drill-sergeant; " and we may resent their introduction into our
own freer atmosphere of individual liberty. It is true that there is a
difference, sometimes ignored, between the realities of compulsory
military service in a country, whose industrial development has begun
and continued under such restraint, and the possibilities of conscription
among ourselves, who have hitherto felt no such necessity; and the
effects for good or for evil of militarism upon industry may be widely
severed in the two instances. But none the less the German workman,
perhaps by nature, and certainly by military training, has been habit-
uated to orderly obedience to superior intelligence; and the German
army has established itself as a model precisely because a " scientific
spirit" has been brought to bear on its organisation. The original
cause of this surely is the high standard and wide diffusion of German
national education. The German believes in education, and he
has for a longer time than any other leading European people carried
this belief into effect. He believes in trained intelligence. He
believes in method and in system. Such a belief has, it is true, its
dangers and its limitations. Trained intelligence can accomplish much,
but it cannot supply the lack of originality. Orderly conformity to
rule may avoid disturbing friction, without taking the place of resource-
ful independence. In short, education will not create commanding 385 GRUNDBEDINGUNGEN DER GESELLSCHAFTLICHEN WOHLFAHRT genius, though it will increase the average power of ordinary ability. This it is, we think, which has been achieved by modern Germany. The chapter on " traffic policy" is a striking illustration. This content downloaded from 131.247.112.3 on Fri, 24 Jun 2016 20:50:26 UTC
All use subject to http://about.jstor.org/terms But as he
comes forward rather as an opponeht of existing conditions, as an
avowed enemy of private property, of the use of money, and so forth,
it is much more important and interesting to consider his suggested
reforms than his criticisms of points of abstract theory. No one can feel satisfied with Western European civilisation. Poverty, often of the most distressing kind, is always at our door. Is
this state of affairs necessary ? If not, what are the causes and what No. 47. 1 No. 47. No. 47. No. 47.
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https://openalex.org/W2346677471
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https://krex.k-state.edu/bitstream/2097/35152/1/journal.pone.0155080.PDF
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English
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Stochastic Assembly of Bacteria in Microwell Arrays Reveals the Importance of Confinement in Community Development
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PloS one
| 2,016
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cc-by
| 10,292
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Stochastic Assembly of Bacteria in Microwell
Arrays Reveals the Importance of
Confinement in Community Development Ryan H. Hansen1,2, Andrea C. Timm3, Collin M. Timm3, Amber N. Bible3, Jennifer
L. Morrell-Falvey2,3, Dale A. Pelletier3, Michael L. Simpson2,3, Mitchel J. Doktycz2,3, Scott
T. Retterer2,3* Ryan H. Hansen1,2, Andrea C. Timm3, Collin M. Timm3, Amber N. Bible3, Jennifer
L. Morrell-Falvey2,3, Dale A. Pelletier3, Michael L. Simpson2,3, Mitchel J. Doktycz2,3, Scott
T. Retterer2,3* a1111 1 Kansas State University, Manhattan, Kansas, United States of America, 2 The University of Tennessee,
Knoxville, Tennessee, United States of America, 3 Oak Ridge National Laboratory, Oak Ridge, Tennessee,
United States of America * rettererst@ornl.gov * rettererst@ornl.gov Data Availability Statement: All relevant data are
within the paper and its Supporting Information files. Funding: This work was supported in part by the
Genomic Science Program, U.S. Department of
Energy, Office of Science, Biological and
Environmental Research, as part of the Plant Microbe
Interfaces Scientific Focus Area (http://pmi.ornl.gov)
as well as ORNL Laboratory Directed Research and
Development. Microwell arrays were fabricated and
characterized at the Center for Nanophase Materials
Sciences User Facilities Division, Office of Basic
Energy Sciences, U.S. Department of Energy. The OPEN ACCESS The structure and function of microbial communities is deeply influenced by the physical
and chemical architecture of the local microenvironment and the abundance of its commu-
nity members. The complexity of this natural parameter space has made characterization of
the key drivers of community development difficult. In order to facilitate these characteriza-
tions, we have developed a microwell platform designed to screen microbial growth and
interactions across a wide variety of physical and initial conditions. Assembly of microbial
communities into microwells was achieved using a novel biofabrication method that exploits
well feature sizes for control of innoculum levels. Wells with incrementally smaller size fea-
tures created populations with increasingly larger variations in inoculum levels. This allowed
for reproducible growth measurement in large (20 μm diameter) wells, and screening for
favorable growth conditions in small (5, 10 μm diameter) wells. We demonstrate the utility of
this approach for screening and discovery using 5 μm wells to assemble P. aeruginosa colo-
nies across a broad distribution of innoculum levels, and identify those conditions that pro-
mote the highest probability of survivial and growth under spatial confinement. Multi-
member community assembly was also characterized to demonstrate the broad potential of
this platform for studying the role of member abundance on microbial competition, mutual-
ism and community succession. Citation: Hansen RH, Timm AC, Timm CM, Bible
AN, Morrell-Falvey JL, Pelletier DA, et al. (2016)
Stochastic Assembly of Bacteria in Microwell Arrays
Reveals the Importance of Confinement in
Community Development. PLoS ONE 11(5):
e0155080. doi:10.1371/journal.pone.0155080 Citation: Hansen RH, Timm AC, Timm CM, Bible
AN, Morrell-Falvey JL, Pelletier DA, et al. (2016)
Stochastic Assembly of Bacteria in Microwell Arrays
Reveals the Importance of Confinement in
Community Development. PLoS ONE 11(5):
e0155080. doi:10.1371/journal.pone.0155080 Citation: Hansen RH, Timm AC, Timm CM, Bible
AN, Morrell-Falvey JL, Pelletier DA, et al. (2016)
Stochastic Assembly of Bacteria in Microwell Arrays
Reveals the Importance of Confinement in
Community Development. PLoS ONE 11(5):
e0155080. doi:10.1371/journal.pone.0155080
Editor: Xiangzhen Li, Chengdu Institute of Biology,
CHINA
Received: January 19, 2016
Accepted: April 24, 2016
Published: May 6, 2016
Copyright: © 2016 Hansen 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. OPEN ACCESS Editor: Xiangzhen Li, Chengdu Institute of Biology,
CHINA Editor: Xiangzhen Li, Chengdu Institute of Biology,
CHINA Editor: Xiangzhen Li, Chengdu Institute of Biology,
CHINA
Received: January 19, 2016
Accepted: April 24, 2016
Published: May 6, 2016
Copyright: © 2016 Hansen 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. Copyright: © 2016 Hansen 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. Data Availability Statement: All relevant data are
within the paper and its Supporting Information files. RESEARCH ARTICLE Despite these advances, much is unknown about how microbial community members
develop with respect to their neighbors and within their respective physical and chemical land-
scapes. This has inhibited our ability to assemble artificial communities of natural isolates or
design synthetic communities of engineered organisms that exhibit the robustness and func-
tional capacity of natural communities. These limitations are due, in large part, to our inability
to systematically screen the vast parameter space of factors that influence ecological succession
and function [15]. Member abundance, confinement, niche connectivity, and nutrient
exchange are just a few of the factors that can influence such processes [16]. Discovery necessi-
tates the development of screening tools that can rapidly and systematically explore this space
in order to identify those conditions and combinations of community members that promote
or inhibit heterogeneous growth, coordinate function and drive emergent behavior. Despite these advances, much is unknown about how microbial community members
develop with respect to their neighbors and within their respective physical and chemical land-
scapes. This has inhibited our ability to assemble artificial communities of natural isolates or
design synthetic communities of engineered organisms that exhibit the robustness and func-
tional capacity of natural communities. These limitations are due, in large part, to our inability
to systematically screen the vast parameter space of factors that influence ecological succession
and function [15]. Member abundance, confinement, niche connectivity, and nutrient exchange are just a few of the factors that can influence such processes [16]. Discovery necessi-
tates the development of screening tools that can rapidly and systematically explore this space
in order to identify those conditions and combinations of community members that promote
or inhibit heterogeneous growth, coordinate function and drive emergent behavior. Toward these goals, several platforms have been developed that utilize micro- and nano-fab-
rication techniques to enable the study of uncultivable bacterial species, the study of competi-
tion or synergy in small bacterial communities [17], and studies of the effects of spatial
structure and chemical environment on colonization [11,18]. Several approaches have been
taken that confine small numbers or single microbial cells in small volumes, enabling these
individual microbes or small colonies to be observed microscopically. Microfluidic droplet gen-
erators that encapsulate bacteria are a common approach [19–24]. Also used are arrays of
microwells [25], like the million-well growth chip designed by Ingham et al. that was applied
for use as a high-throughput screening tool [26]. Introduction Microbial communities impact our lives in dramatic ways. Taking on the role of both friend
and foe, these communities shape our environment and ecosystems, fuel business and agricul-
ture, and simultaneously support and perplex our healthcare system. Most communities are as
dynamic as they are diverse, continuously adapting in their composition, organization and
function to survive and thrive in changing environmental landscapes. 1 / 18 PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 Bacterial Community Assembly in Microwells Reveals Role of Confinement Within the community, microbes exchange materials, energy and information via metabolite
transfer, diffusive chemical signaling (e.g. quorum sensing) and contact-mediated interactions
(e.g. protein secretion) [1–3]. As a result, complex behaviors such as robustness (e.g. antibiotic
resistance), efficient resource utilization, mutualism and enhanced biosynthetic capacity emerge. Community development is dramatically influenced by the chemical and physical landscape of
the local environment [4]. Systems such as soil, packed bed reactors and medical device surfaces
contain spatially-confined micro-environments or niches, where the path length for diffusive
chemical signaling is significantly altered and where micro and nanoscale topology influence
surface attachment events that impact community structure and function [5,6]. authors would also like to thank the J. Mougous
Laboratory (University of Washington, Seattle, WA)
for the supply of P. aeruginosa strains used in these
studies and Dr. B. Tseng Laboratory (University of
Washington, Seattle, WA) for the supply of plasmids
used to express GFP and mCherry in E. coli. The
funders had no role in study design, data collection
and analysis, decision to publish, or preparation of
the manuscript. Competing Interests: The authors have declared
that no competing interests exist. Conventional physiological assays of single species and multi-member cultures, carried out
in large fluid volumes or over solid media, fail to address the impact of spatial organization and
environmental heterogeneity on community development and function. Recent advancements
in the capacity to characterize communities with improved spatial and temporal resolution
have fueled a growing appreciation of the role that composition and physical architecture play
on community dynamics. Advances in omics and sequencing technologies have been com-
bined with the ability to image communities at the cellular and subcellular scales to provide a
systems-level understanding of natural community function and adaptation [7]. Concurrently,
a growing capacity to manipulate material and chemical environments across length scales,
using micro and nanofabrication, has enabled studies that uncover the impact of hierarchical
and heterogeneous structure on early-stages of community development and function [8]. For
example, manipulation of surface architecture and spatial confinement at the length scale of
single cells has been used to dramatically alter early colonization and self-regulated quorum
signaling [9,10]. At the community level, studies into the role of confinement and microscale
chemical heterogeneity has provided new insights into competition, cooperation, antibiotic
resistance and succession [11–14]. PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 Design and fabrication of microwell arrays Two different microwell array layouts were used in these studies. The first layout contained six
separate arrays containing wells with diameters of 10, 20, 40, 80, 160, and 1000 μm. The second
layout contained four arrays of wells with diameters of 2, 5, 10, and 20 μm. For fabrication,
4-in. silicon wafers (Silicon Quest) were coated with 1μm thick parylene films in a parylene
coater (SCS Labcoter 2, Specialty Coating Systems) using 2,2-paracyclophane (Sigma) as the
parylene precursor. Wafers were then spin coated with Shin-Etsu Microprime P20 adhesion
promoter (3000 rpm, 45 s), then SPR-220 photoresist (Microchem Corp.) to a 1 μm thickness
(3000 rpm, 45 s). Wafers were soft baked (115°C, 45 s), exposed for 8 s using a contact mask
aligner, hard baked (115°C, 45 s), developed in CD-26 developer (1 min), rinsed in H2O and
dried with N2. Exposed regions of parylene were then etched with O2 plasma in an Oxford
Plasmalab 100 reactive ion etching system at a parylene etch rate of 60 nm/min. Protein trans-
fer through etched parylene regions was verified by absorbing BSA over the parylene stencils
and then performing the dry lift-off, resulting in the formation of homogenous protein layers
5–6 nm in thickness, roughly twice the expected thickness of a BSA monolayer (S1A Fig) [30]. Transfer of bacterial cells through the stencils was also verified using the same procedure (S1B
Fig). After O2 plasma etching, deep reactive ion etching using a Bosch process was used to
form microwells in the exposed silicon. A Si etch rate of 1.1 μm per cycle was measured, and 18
cycles of the Bosch etch process were performed to obtain a nominal well depth of 20 μm, as
verified with a stylus profilometer. Wells were finally etched with O2 plasma for 2 min to
remove residual photoresist, rendering the surface rich in SiO2 groups. Substrates were diced
into 15×15 mm coupons and stored in ambient conditions until use. Another interesting approach utilizes a ‘cell
docking’ method that delivers microbes to arrays of different diameter wells, using microfluidic
channels, potentially allowing different aspects of confinement to be analysed [25]. Here, we detail the development of a discovery platform that combines the high-throughput
nature of the droplet technologies and the million-well growth chip mentioned above [26] with PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 2 / 18 Bacterial Community Assembly in Microwells Reveals Role of Confinement the flexibility in size and environmental control afforded by microfabricated wells described by
Park et al. [25] This multi-diameter microwell array is designed to screen unique microbial
communities for growth across a large range of population and environmental parameters. We
describe a microfabrication approach that uses a polymer dry lift-off method [27–29] to assem-
ble microbial populations into silicon microwells with controlled surface chemistry and physi-
cal features (Fig 1A and 1B). By varying the length scale of the well diameter (Fig 1C), we show
that homogenous populations assemble into large (101–102 μm diameter) wells, while highly
heterogeneous populations assemble into small (100–101 μm diameter) wells. Leveraging the
high initial population dispersion driven by assembly into small wells, we screen unique Pseu-
domonas aeruginosa colonies to identify conditions that are either conducive or inhibitive to
growth in spatially-confined environments. Finally, seeding with a binary system was charac-
terized to demonstrate the utility of this platform for pairing interacting cells together in a con-
trolled or randomized fashion. These results demonstrate a new, high-throughput
methodology for screening population and environmental parameters for microbial growth. Protein functionalization in microwell arrays Microwell arrays were functionalized with unlabeled WGA (Triticum vulgare) lectin (Sigma),
WGA-A488 (Invitrogen) or BSA (Sigma). WGA coatings were used to promote cell adhesion
and viability. Although E. coli was found to have high association with WGA in solution, WGA
well coatings did not significantly alter the distribution of cell populations relative to non-specific
(BSA) coatings, but did provide higher cell viability after attachment compared to wells with no
coating. (S2 Fig). This was likely due to the fact that the lectin coated surfaces trapped moisture
within the wells, causing less dehydration during the dry lift-off step. Other well pre-treatments
designed to keep cells hydrated during the lift-off process, such as coating the wells with agar, PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 3 / 18 Bacterial Community Assembly in Microwells Reveals Role of Confinement Fig 1. Microwell array fabrication and design. (A) Microwell fabrication process: (i,ii) Positive photoresist is patterned over parylene-
coated silicon wafers using conventional photolithography. (iii) Dry etching is then used to etch parylene and then silicon to the desired
well depth. (iv) The well surface is then modified with a protein layer then (v) a solution of bacterial cells. (vi) Parylene is removed from
the substrate and (vii) the substrate is contacted with agar-coated coverslips loaded with the desired chemical media. (B) Dry lift-off
procedure involving peel-off of the parylene mask (step vi). (C) Layout of a combinatorial microwell array substrate. doi:10.1371/journal.pone.0155080.g001 Fig 1. Microwell array fabrication and design. (A) Microwell fabrication process: (i,ii) Positive photoresist is patterned over parylene-
coated silicon wafers using conventional photolithography. (iii) Dry etching is then used to etch parylene and then silicon to the desired
well depth. (iv) The well surface is then modified with a protein layer then (v) a solution of bacterial cells. (vi) Parylene is removed from
the substrate and (vii) the substrate is contacted with agar-coated coverslips loaded with the desired chemical media. (B) Dry lift-off
procedure involving peel-off of the parylene mask (step vi). (C) Layout of a combinatorial microwell array substrate. doi:10.1371/journal.pone.0155080.g001 doi:10.1371/journal.pone.0155080.g001 have shown similar improvements in cell viability [31]. Additionally, lectin-coated wells may
bias the capture of highly motile, viable cells through adhesive exopolysaccharride binding inter-
actions. For well functionalization, 100 μL of WGA, WGA-A488, or BSA at 500 μg/mL in 1X
PBS was incubated on the microwell substrate for 60 min. in a humidity chamber. Bacterial Culture and Seeding E. coli K-12 expressing GFP and mCherry were used as model strains to study bacteria seeding
behavior in the microwell array platform. These strains were constructed by chromosomal
insertion of the genes encoding GFP or mCherry using a Tn7 site specific transposon system
[32]. After construction, these strains were stored in glycerol stocks at -80°C. The fluorescent
strains were cultured on LB agar plates (10 g NaCl, 5 g Yeast, 10 g BactoTryptone, 15 g agar
per liter) containing 5 μg/mL Gentamicin (37°C, 24 hrs), then stored at 4°C for up to 1
month. For seeding experiments, E. coli was grown to the logarithmic phase in liquid LB
media with 5 μg/mL Gentamicin in a sterile 20 mL glass tube (225 rpm, 37°C), harvested by
centrifugation, and re-suspended to the desired concentration in water. Here re-suspension in
water was preferable, as re-suspension in media resulted in the deposition of salt crystals that
interfered with the microscopy. A 100 μL volume of this solution was pipetted onto the
WGA-functionalized microwell arrays and incubated in humid conditions for 1 hr. The solu-
tion was then aspirated from the substrate and allowed to dry. The parylene film was then
removed using a small piece of Scotch™tape and tweezers (Fig 1B). These substrates were then
imaged with epifluorescence using FITC or TRITC filter sets. Camera settings were adjusted
such that individual E. coli cells expressing GFP or expressing mCherry gave the same average
signal intensity. P. aeruginosa PA-01 expressing GFP was used for growth studies. The plasmid attTn7::GFP
was used for GFP expression in native PA-01, this strain was constructed in the J. Mougous
Laboratory (University of Washington, Seattle, WA) and stored in glycerol stocks at -80°C
upon receipt. For solid culture, P. aeruginosa was grown on LB agar plates (30°C, 24 hrs) then
stored at 4°C for up to 1 week. Prior to seeding, this strain was cultured to the log phase in liq-
uid LB (30°C, 225 rpm), harvested and re-suspended to an OD600 of 0.25. Here, cells were re-
suspended into fresh LB media to maintain cell viability during the seeding process. Cells were
then incubated over BSA-coated microwell arrays for 1 hr. Substrates were then briefly rinsed
in water for ~10 s, dried, and then the parylene was removed from the surface. Protein functionalization in microwell arrays Substrates
were then washed three times with 1X PBS to remove unbound protein and dried with N2. 4 / 18 PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 Bacterial Community Assembly in Microwells Reveals Role of Confinement Growth studies of P. aeruginosa Agar-coated coverslips were used to trap bacteria cells while providing aqueous chemical
media into the wells. For agar-coating, sterile 25×75 mm glass coverslips (Schott Nexterion)
were placed in a 3.5 inch diameter polystryene petri dish setting on a hot plate at 50°C, and 10
mL of boiling liquid LB-agar was poured evenly over the coverslips. Excess LB-agar was then
removed with a pipette, and the dish was cooled for 30 min at 4°C to gel the agar onto the cov-
erslip with minimal dehydration. The resulting thickness of the hydrated agar layer was esti-
mated to be approximately one hundred microns in thickness. The coverslip was removed
from the dish with a razor blade and contacted with a seeded microwell substrate, then imme-
diately placed in a humidified, live cell incubation chamber (In Vivo Scientific, St. Louis, MO)
set on an inverted fluorescence microscope stage at 30°C. Growth was studied under these con-
ditions using four replicate experiments. Fluorescence Microscopy A Nikon Eclipse Ti-U inverted microscope (10×, NA 0.3 or 20×, NA 0.4) equipped with an
Optiscan motorized XYZ stage was used to image the microwell arrays. Fluorescent images
were taken using a DS-QiMc monochrome digital camera, FITC and TRITC filter sets, and
NS-Elements software. Prior to growth studies, imaging conditions were optimized such that
no detectable photobleaching occurred. A neutral density filter was used to adjust the excita-
tion source to 25% of the standard light intensity. Under this setting, no significant bleaching
of the cells was observed when imaging with the 10× objective for repeated 100 ms exposures. Time-lapse images were taken of the arrays during growth with the 10× objective at the speci-
fied camera settings (100 ms exposure, 16× gain, 1280×1024 binning). Arrays were imaged
once every 30 to 60 minutes, and the resulting image sequences were used to generate growth
curves. Instrumentation Scanning Electron Microscopy (SEM): A Carl Ziess Merlin SEM was used to characterize the
structural features of the microwell arrays after etching and parylene removal. Images were
acquired while operating at 3.0 kV. Samples were imaged with a 30° and 45° tilt to provide
images of the well sidewalls. 5 / 18 PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 Bacterial Community Assembly in Microwells Reveals Role of Confinement Confocal Microscopy Three-dimensional images of P. aeruginosa grown to various levels in 10 μm diameter micro-
wells were taken using a Zeiss LSM 710 laser-scanning confocal with Zen 2010 software. Z-
stacks were taken using a 20X objective with a 2.5 μm step. Zen 2010 image analysis software
was used to re-construct three-dimensional images of microbial cells in the microwells. Image Analysis Grey-scale images of fluorescent well intensities were quantitatively analyzed using ImageJ
software. A microarray analysis plugin (http://rsb.info.nih.gov) was used to quantify fluores-
cent intensity levels of bacterial cells isolated in wells. Here, each well was treated as an inde-
pendent region of interest, and fluorescent intensity was averaged across the entire area of the
well. Standard deviations were then calculated from average signals across replicate wells. Due
to uneven background fluorescence from the agar coating, local background levels were also
taken immediately next to individual wells. The local background was then subtracted from the
average fluorescence intensity of the well. For the seeding and growth studies involving E.coli
expressing GFP, fluorescent signal intensity was also measured across a population of cells,
allowing for the determination of average fluorescent signal per cell. This allowed for estima-
tion of the number of cells per well from average well fluorescent signal intensities. For growth
studies involving P. aeruginosa expressing GFP, cell volumes were determined from confocal
microscope Z-stack images exported from Zen 2010 software using a volume reconstruction
plugin and then correlated to the fluorescent signals measured on the epi-fluorescent micro-
scope system (S3 Fig). Statistical Analysis of Data All data is reported as the average ± standard deviation. The variation in cell seeding levels was
described by CVwell: CVwell ¼ StDevD ðA:U:Þ
Fl Ave;DðA:U:Þ
ð1Þ ð1Þ where FlAve,D is the averaged fluorescent well intensity after local background subtraction
across replicate wells of diameter D, and StDevD is the corresponding standard deviation of
replicate wells within an array. 6 / 18 PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 Bacterial Community Assembly in Microwells Reveals Role of Confinement Characterization of the Physicochemical Microwell Environment Characterization of the Physicochemical Microwell Environment The microwell fabrication process was designed to allow for systematic control of both the phys-
ical structures and chemical surface features of the well interface. The well features were physi-
cally and chemically characterized prior to bacterial seeding. SEM images of low and high-
aspect ratio wells demonstrate the capability to tune the level of spatial confinement into which
the bacterial communities are assembled (Fig 2A and 2B). Wells contain walls with a periodic
ribbed structure and a smooth floor, characteristic of the Bosch etching process (Fig 2A insert). Well surfaces can also be modified with desired organic or biological components using liquid
or vapor deposition over the entire stencil (Fig 1A, step iv). During this functionalization step,
the silicon well surface is rich in Si-OH groups, making it amenable to direct contact with aque-
ous-phase solutions and reactive to organic silane-reagents. To demonstrate modification of the
well surface, a solution of fluorescently labeled, adhesive lectin protein (wheat germ agglutinin-
AlexaFluor 488, WGA-A488) was incubated over the entire substrate. After washing and
removal of the parylene mask, fluorescent images show the protein exclusively coated within the Fig 2. Characterization of the physicochemical features of microwell arrays. (A) SEM image of an array of 2μm diameter microwells
and of an individual well after substrate cleavage (inset). (B) SEM images of a 20μm diameter microwell array. (C) Fluorescent image of
microwells after functionalization with WGA-A488 and dry lift-off. The arrow highlights a portion of un-peeled parylene, also containing
adsorbed WGA-A488. (D) Fluorescent line plot of WGA-A488 coated wells corresponding to the red line in 2C. doi:10 1371/journal pone 0155080 g002 Fig 2. Characterization of the physicochemical features of microwell arrays. (A) SEM image of an array of 2μm diameter microwells
and of an individual well after substrate cleavage (inset). (B) SEM images of a 20μm diameter microwell array. (C) Fluorescent image of
microwells after functionalization with WGA-A488 and dry lift-off. The arrow highlights a portion of un-peeled parylene, also containing
adsorbed WGA-A488. (D) Fluorescent line plot of WGA-A488 coated wells corresponding to the red line in 2C. doi:10.1371/journal.pone.0155080.g002 doi:10.1371/journal.pone.0155080.g002 PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 7 / 18 Bacterial Community Assembly in Microwells Reveals Role of Confinement well surface, with higher intensity levels noted at the well edges due to the three-dimensional
wall structure (Fig 2C and 2D). Seeding Behavior of Bacterial Cells Into the Microwell Array Control of the physical and chemical features of the microwell interface can be used to bias the
bacterial populations isolated during the seeding step. It is well known that the attachment of
bacterial cells to a solid interface depends on topological and chemical surface features, and
numerous reports have used micro and nanofabrication strategies to control these properties,
either to promote or inhibit bacteria attachment and interactions [34–36]. Here, substrates
containing arrays of wells with diameters ranging from 5 to 1000 μm were used to investigate
the effect of diameter on the population distribution of seeded Escherichia coli cells expressing
green fluorescent protein (GFP). False color fluorescent images generated from cells isolated in
wells after seeding and lift-off reflect the cell densities in the wells (Fig 3A). As evident, cells are
seeded exclusively within the well boundaries. Magnified images of representative 4×4 arrays
qualitatively demonstrate that arrays of smaller wells contain increasingly heterogeneous num-
bers of cells within initial populations. To quantify the trends shown in Fig 3A, the average fluorescence intensity and the variation
in signal between replicate wells within the same array (CVarray) were measured for each diam-
eter (Fig 3B). Here, average well intensity reflects the average number of cells contained within
an array, while CVarray reflects the variation in initial cell populations present in wells across an
array. Populations assembled within larger wells (80 μm diameter) allowed for reproducible
cell populations (CVarray 0.2) to distribute in the well, likely due to minimal crowding or
interference from the sidewalls. As well diameters decreased below 80 μm, the average fluores-
cent signal also decreased, despite larger surface-area to volume ratios for cell attachment. This
can be attributed to higher levels of spatial confinement, rendering a higher fraction of well
binding sites inaccessible to cells. Also, stochastic interactions between single cells and wells
become more pronounced at smaller diameters, causing larger CVarray values. Similar trends
have been noted while seeding mammalian cells into microscale wells [37], and also while
encapsulating molecular systems into nanoscale compartments, such as DNA probe functiona-
lization in nanowells for digital PCR systems [38]. To further characterize the population dis-
tribution in seeded wells, E. coli-GFP was seeded into 5 μm diameter wells over a two order of
magnitude concentration range (OD600 = 0.01 to 1.0, Fig 4A). Characterization of the Physicochemical Microwell Environment The variation in protein density between wells within an array
was 16%. This level of variation is likely due to protein aggregation that occurs across the well
surface, and is comparable to the variation previously noted using microcontact printing meth-
ods (11–13%) [33]. Further improvements in protein uniformity can likely be obtained using
printing buffers that minimize aggregation [27]. Background regions appear unmodified, which
was expected as proteins do not diffuse through the parylene layer. PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 Seeding Behavior of Bacterial Cells Into the Microwell Array The corresponding frequency
histograms (Fig 4B) indicate that initial well populations follow a Poisson distribution, suggest-
ing that seeding occurs as independent, random events with frequencies proportional to the
concentration of cells present in bulk solution. To mathematically describe the relation
between seeding concentration and cell distribution within these wells, the data was fit accord-
ing to the probability distribution function: PðxÞ¼A λx
x! eλ; x¼0;1;. . .;n
ð2Þ ð2Þ where x represents the number of occurrences (cells captured per well), A is an amplitude
parameter, λ represents the mean value, n represents the total number of cells present, and P
(x) represents the probability of capturing x number of cells in a well. 8 / 18 PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 Bacterial Community Assembly in Microwells Reveals Role of Confinement Fig 3. The distribution of bacteria seeded in microwell arrays is guided by well diameter. (A) Mosaic
10X false-color fluorescent image of a combinatorial microwell array after seeding E. coli-GFP at OD600 = 0.3
and dry lift-off to remove background cells. The false color scale denotes fluorescent signal intensities
indicative of cell densities. (B) Averaged well fluorescence intensities ± standard deviation measured from
individual wells within each array (black line) and CVarray (red dashed line), the standard deviation divided by
the average fluorescent signal for each well diameter. doi:10 1371/journal pone 0155080 g003 Fig 3. The distribution of bacteria seeded in microwell arrays is guided by well diameter. (A) Mosaic
10X false-color fluorescent image of a combinatorial microwell array after seeding E. coli-GFP at OD600 = 0.3
and dry lift-off to remove background cells. The false color scale denotes fluorescent signal intensities
indicative of cell densities. (B) Averaged well fluorescence intensities ± standard deviation measured from
individual wells within each array (black line) and CVarray (red dashed line), the standard deviation divided by
the average fluorescent signal for each well diameter. Fig 3. The distribution of bacteria seeded in microwell arrays is guided by well diameter. (A) Mosaic
10X false-color fluorescent image of a combinatorial microwell array after seeding E. coli-GFP at OD600 = 0.3
and dry lift-off to remove background cells. The false color scale denotes fluorescent signal intensities
indicative of cell densities. PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 Seeding Behavior of Bacterial Cells Into the Microwell Array (A) 20X false color fluorescent images of
5 μm diameter wells seeded with E.coli-GFP at OD600 = 0.01, 0.1, and 1.0. (B) Probability distributions for cell
populations at the varied seeding concentrations. Diamonds represent data and solid lines represent a
Poisson distribution fit to the data according to eq 2. Seeding at an OD600 of 0.01, 0.1, and 1.0 resulted in a λ
value of 1.9, 6.2, and 68.6, respectively, and an A value of 1.65, 1.35, and 1.00, respectively. doi:10.1371/journal.pone.0155080.g004 doi:10.1371/journal.pone.0155080.g004 Poisson-like distributions of microbes that result during the seeding process may be used to
screen for microbe biases or affinities for, or against, particular surfaces or other microbes. Seeding Behavior of Bacterial Cells Into the Microwell Array (B) Averaged well fluorescence intensities ± standard deviation measured from
individual wells within each array (black line) and CVarray (red dashed line), the standard deviation divided by
the average fluorescent signal for each well diameter. doi:10.1371/journal.pone.0155080.g003 doi:10.1371/journal.pone.0155080.g003 These findings suggest that well dimensions can be used in combination with cell seeding
concentration to tune the distribution of initial microbial populations isolated within an array. Control of this distribution is attractive, because it enables parallel monitoring of either a
homogenous or heterogeneous assortment of initial populations; both are situations that are
informative for characterizing microbial community development. Further optimization of the
seeding protocol will allow for improved control of well populations. Currently, spatial correla-
tions can often be identified when inspecting arrays spanning larger areas (~2 mm2), likely
caused by drying artifacts that occurred on the surface before the lift-off step. However, analy-
sis of a large number of wells minimizes this effect. Finally, while the characterizations were
made here with a model E. coli–GFP system, seeding other species may result in changes to
population distributions, driven by differences in microbial traits (e.g. motility, extracellular
matrix composition, cell-surface and cell-cell affinities). However, it can be expected that simi-
lar transitions to highly heterogeneous population assembly will occur for any species as the
size of the well approaches the scale of individual cells. Moreover, quantifying deviations from PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 9 / 18 Bacterial Community Assembly in Microwells Reveals Role of Confinement Fig 4. Bacterial well populations follow a Poisson distribution. (A) 20X false color fluorescent images of
5 μm diameter wells seeded with E.coli-GFP at OD600 = 0.01, 0.1, and 1.0. (B) Probability distributions for cell
populations at the varied seeding concentrations. Diamonds represent data and solid lines represent a
Poisson distribution fit to the data according to eq 2. Seeding at an OD600 of 0.01, 0.1, and 1.0 resulted in a λ
value of 1.9, 6.2, and 68.6, respectively, and an A value of 1.65, 1.35, and 1.00, respectively. doi:10.1371/journal.pone.0155080.g004 Fig 4. Bacterial well populations follow a Poisson distribution. (A) 20X false color fluorescent images of
5 μm diameter wells seeded with E.coli-GFP at OD600 = 0.01, 0.1, and 1.0. (B) Probability distributions for cell
l ti
t th
i d
di
t
ti
Di
d
t d t
d
lid li
t Fig 4. Bacterial well populations follow a Poisson distribution. Trapping and Growth of P. aeruginosa in Microwell Arrays This
metric was determined using a correlation curve relating the average well fluorescence intensity
(A.U.), obtained from the epi-fluorescence microscope system, to cell volume, quantified with
a confocal microscope (S3 Fig). At the initial time point, broader distributions of P. aeruginosa populations were noted in
wells with smaller diameters (CV5μm well = 0.68 ± 0.08; CV20μm well = 0.28 ± 0.04, n = 4), consis-
tent with the trends noted previously (Fig 3B). The fluorescent signals measured from wells
during incubation indicated that growth occurred over a 10 hr period. Cells in 20 μm diameter
wells had a 4 hr lag phase followed by 4 hr growth period until the cell volume reached the final
volume of the well (Fig 5A, S3 Video). A small over-estimation in cell volume, indicated by cell
volume fractions slightly higher than 1.0, was noted at late growth times, and was likely caused
by increases in cell density as cells fill the entire well volume. Similar effects have been noted
while monitoring P. aeruginosa growth in other confined systems [14]. After growth, fluores-
cence intensity remained stable for at least 40 hr. Upon inspection of these wells under fluores-
cence, bright cellular aggregates appeared to be present, but no cellular motility could be
detected within the cell mass. An example of 20 μm diameter wells after growth is shown in
real-time playback (S4 Video). The lack of cellular motility here is in stark contrast to that seen
immediately after seeding (S1 and S2 Videos), where high cellular-motility is easily observed. This suggests the possible establishment of biofilms within the wells during the growth period. Also apparent is the presence of an outlier well, which occurred in the 20 μm diameter arrays
with a frequency of 5–10% (n = 4). However, the relatively low variation in initial cell popula-
tions assembled under these seeding conditions allowed for directed, repeatable growth trajec-
tories, which enables averages of trajectories to be determined. This demonstrates the utility of
this platform as a ‘high-statistics’ method for monitoring growth kinetics of replicate, micro-
scale bacterial populations in controlled microenvironments. Cells in 5 and 10 μm diameter
microwell arrays showed strikingly different growth behavior. Trapping and Growth of P. aeruginosa in Microwell Arrays After seeding, the chemical environment within the wells was controlled by sealing the micro-
well substrate with an agar-coated coverslip that had been treated with the desired chemical
media (Fig 1A, step vii). This provided a physical barrier to trap motile cells within the well
structures. The successful trapping of motile bacterial populations was demonstrated using P. aeruginosa modified to express GFP, which showed both surface-attached and un-attached
populations confined within the wells during real-time monitoring (S1 Video). The motility
observed from un-attached cells suggested that a large fraction of cells remained viable through
the seeding and trapping process. Similar observations were made while monitoring bacterial
cell populations confined in smaller well volumes (S2 Video). After trapping, a small number of cells were also found in background regions, which was
caused by cell removal from wells during contact of the seeded substrate with the agar cover-
slip. Background cells appeared to be trapped between the agar and the silicon interface and
typically showed no motility over time. While these cells also have the potential for growth
[39], they are few relative to the number that remain trapped within the well volume and usu-
ally cause no interference with the test sites. Due to the static nature of media in the wells the PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 10 / 18 Bacterial Community Assembly in Microwells Reveals Role of Confinement after trapping step, it is expected that mass transfer across the arrays will be diffusion-limited. However, uniform concentration of oxygen and nutrients across the arrays is expected due to
the small array area (200 x 200 μm). For example, the diffusivity of oxygen in a 1.5% (w/v) agar
gel at 30°C is DO2,agar = 2.70 x 10−5 cm2/s [40], and the characteristic time-scale for diffusion
across the length of this array is ~10 s, well below the time scale required for growth (hours). After well sealing with agar-coated coverslips, P. aeruginosa was monitored for growth in
wells with diameters between 5 and 20 μm, where the initial population distribution (CVwell)
was shown to be highly dependent on well diameter (Fig 3B). Here, Luria-Bertani (LB) media
was added in the agar coverslip coating to promote growth. Growth was observed by monitor-
ing well arrays with time-lapse fluorescence microscopy and then quantified in terms of cell
volume fraction, the measured cell volume normalized to the overall volume of the well. PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 Trapping and Growth of P. aeruginosa in Microwell Arrays In 5 μm diameter wells, a wide
variety of trajectories were measured (Fig 5B, S5 Video), ranging from an increase in signal
intensity due to growth (< 4 hr to stationary phase), to population decay and extinction, indi-
cated by a decaying fluorescence signal. The decay in fluorescent signal is due to cell lysis and
extracellular GFP diffusion, which was previously shown using 60X time-lapse fluorescent
microscopy to monitor individual cells during lysis [41]. Similar behavior was also noted in
10 μm diameter wells, and replicate experiments consistently showed this behavior to persist
within smaller (5, 10 μm diameter) wells, whereas 20 μm diameter wells provided reproducible
growth outcomes (S4 Fig). We hypothesized that the variation in growth response in the 5 and 10 μm diameter wells
could be attributed to the broader distributions of initial populations seeded into the wells. To
investigate this further, we compared the initial and final (t = 24 hrs incubation) cell volumes
from 5 and 10 μm wells (n = 4 experiments), generating hundreds of independent growth trials
(Fig 6A and 6B). Additionally, the probability of well colonization, defined as the percentage of PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 11 / 18 Bacterial Community Assembly in Microwells Reveals Role of Confinement Fig 5. P. aeruginosa growth trajectories in 5 and 20 μm diameter microwell arrays. (A) Top: False-color fluorescent images of
growth in 20 μm diameter arrays. Bottom: Corresponding growth trajectories. The dashed red trajectory indicates growth in an outlier
well. (B) Top: False-color fluorescent images of growth in 5 μm diameter arrays. Solid black trajectories denote wells where growth and
colonization occurred, dashed red trajectories denote wells where decay and extinction occurred. Data is representative of 4
independent growth experiments. Fig 5. P. aeruginosa growth trajectories in 5 and 20 μm diameter microwell arrays. (A) Top: False-color fluorescent images of
growth in 20 μm diameter arrays. Bottom: Corresponding growth trajectories. The dashed red trajectory indicates growth in an outlier
well. (B) Top: False-color fluorescent images of growth in 5 μm diameter arrays. Solid black trajectories denote wells where growth and
colonization occurred, dashed red trajectories denote wells where decay and extinction occurred. Data is representative of 4
independent growth experiments. doi:10.1371/journal.pone.0155080.g005 doi:10.1371/journal.pone.0155080.g005 wells showing a significant increase in cell volume after incubation, was computed (Fig 6C and
6D). As evident, the probability for colonization was highly dependent on initial conditions. Trapping and Growth of P. aeruginosa in Microwell Arrays In
the case of the 10 μm diameter wells, colonization was possible when wells were inoculated up
to a volume fraction of 0.3. Within this region, an inoculation range where the probability of
colonization was the highest appears at cell volume fractions between 0.1 and 0.15. Comparable
trends were found within the 5 μm wells, where the probability of colonization was highest at
cell volume fractions between 0.01 and 0.1 and diminished between 0.1 and 0.3. In both cases,
colonization did not occur when initial well volumes were greater than 0.3. It is likely that
decay occurs at this inoculum level due to over-consumption of resources during the early
stages of growth, since nutrient exchange is limited in the confined environments. Although
additional analysis is required to test this hypothesis, these findings point towards the impor-
tance of spatial confinement in community development. In addition, these results demon-
strate the first successful application of this platform to screen hundreds of unique,
independent bacterial populations, driven by highly heterogeneous population assembly in
small wells, for the discovery of populations and environmental conditions that influence col-
ony growth. doi:10.1371/journal.pone.0155080.g005 Assembly of Multi-Component Bacterial Communities In addition to single-species colonies, dynamic interactions within multi-species populations
can be investigated using this platform. Microbial communities are often shaped by PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 12 / 18 Bacterial Community Assembly in Microwells Reveals Role of Confinement Fig 6. Growth of P. aeruginosa in confined volumes depends on inoculum levels. (A) Scatter plots of initial and final (t = 24 hrs) cell
volume fraction in 10 μm diameter wells and (B) 5 μm diameter wells. Growth-decay line deciphers wells that increased or decreased in
cell numbers over the incubation period. (C) Probability of well colonization with initial volume fraction of seeded cells for in 10 μm
diameter and (D) 5 μm diameter wells. Data was taken from n = 256 wells for 10 μm diameter arrays and n = 840 wells for 5 μm diameter
arrays from 4 independent growth experiments. Fig 6. Growth of P. aeruginosa in confined volumes depends on inoculum levels. (A) Scatter plots of initial and final (t = 24 hrs) cell
volume fraction in 10 μm diameter wells and (B) 5 μm diameter wells. Growth-decay line deciphers wells that increased or decreased in
cell numbers over the incubation period. (C) Probability of well colonization with initial volume fraction of seeded cells for in 10 μm
diameter and (D) 5 μm diameter wells. Data was taken from n = 256 wells for 10 μm diameter arrays and n = 840 wells for 5 μm diameter
arrays from 4 independent growth experiments. doi:10.1371/journal.pone.0155080.g006 doi:10.1371/journal.pone.0155080.g006 cooperative, competitive, or pathogenic interactions between different species, and recently
several pair-wise interactions have been shown to be critical in driving community phenotype
[42]. However, the vast majority of interactions occurring within poly-microbial communities
are unknown, but likely depend on the relative abundance of interacting members present
[16]. The high-throughput nature inherent to this method makes it attractive for characterizing
inter-species interactions after assembling either homogenous or heterogeneous populations,
similar to the single-species systems previously described. Here, the assembly of a model, two-component E. coli system constitutively expressing
mCherry or GFP into large (40 μm diameter) wells promoting homogenous population assem-
bly, or small (2 μm diameter) wells promoting heterogeneous population assembly was exam-
ined. In large wells, assembled E. coli-mCherry and GFP populations had a reproducible
mCherry (red) to GFP (green) signal ratio of 0.39 ± 0.09 (Fig 7A), reflective of the ratio at PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 13 / 18 Bacterial Community Assembly in Microwells Reveals Role of Confinement Fig 7. Multi-member bacterial communities can be assembled at low or high dispersion. (A) Low dispersion pairing: Seeding a
1:9 mixture of E. coli-mCherry (red) and E. coli-GFP (green) at an overall OD600 of 0.4 into 40 μm diameter microwell arrays. (B) High
dispersion pairing: Seeding a 1:1 mixture of E. coli-mCherry and E. coli-GFP into 2 μm diameter arrays at an overall OD600 of 1.0. (C)
Scatter plot of GFP and mCherry signals after low or high dispersion pairing. doi:10 1371/journal pone 0155080 g007 Fig 7. Multi-member bacterial communities can be assembled at low or high dispersion. (A) Low dispersion pairing: Seeding a
1:9 mixture of E. coli-mCherry (red) and E. coli-GFP (green) at an overall OD600 of 0.4 into 40 μm diameter microwell arrays. (B) High
dispersion pairing: Seeding a 1:1 mixture of E. coli-mCherry and E. coli-GFP into 2 μm diameter arrays at an overall OD600 of 1.0. (C)
Scatter plot of GFP and mCherry signals after low or high dispersion pairing. doi:10.1371/journal.pone.0155080.g007 doi:10.1371/journal.pone.0155080.g007 which the pair was mixed together in solution, demonstrating pairing at low dispersity. In stark
contrast, these cells were paired with high dispersity in small wells, providing a highly heteroge-
neous distribution of initial populations, as noted by a variety of unique GFP and mCherry sig-
natures (Fig 7B). A scatter plot of GFP-mCherry signal intensities generated from individual
wells in each case contrasts the differences between initial population dispersions (Fig 7C). This finding demonstrates the potential use of this platform to measure growth and interac-
tions between replicate, multi-member populations, or to screen unique combinations of inter-
acting pairs in a manner similar to the single-component systems previously described. This
unlocks a new, transformative approach for studying fitness, competition, mutualism, or path-
ogenicity across a vast parameter space using a single substrate. Bacterial Community Assembly in Microwells Reveals Role of Confinement measurements across a large number of independent populations using a simple, quantitative
fluorescence readout. The ability to tune the initial population dispersity using microwell diameter and depth is
attractive because it allows for the study of community behavior under different environmental
and initial conditions. Seeding in wells with diameters significantly greater than the size of indi-
vidual cells drives homogenous population assembly (CVwell 0.20), enabling a ‘high-statistics’
approach to monitoring the growth or decay of replicate populations. Conversely, seeding into
wells with diameters that approach the size scale of individual bacterium drives heterogeneous
population assembly, enabling one to screen a large parameter space in order to identify cellu-
lar combinations and environments that are conducive or inhibitory to community growth
and proliferation under prescribed conditions. Future work is aimed at screening interactions
using high-dispersion population assembly with multi-species microbial communities in order
to uncover symbiotic, mutualistic, and pathogenic relationships. Supporting Information S1 Fig. AFM characterization of protein and bacterial cell patterning on silicon substrates
using the parylene dry lift-off process. (A) AFM image of BSA patterned into 20 μm diameter
spots and (B) AFM image of E.coli cells patterned as 5 μm wide parallel lines. (TIF) S2 Fig. Characterization of E.coli seeding using WGA-coated microwells. (A) 20X fluores-
cent-brightfield images of native E.coli after staining with WGA-A488 in the absence (top) or
presence (bottom) of the complementary oligosaccharide (50 mM GlcNAc), verifying the bind-
ing specificity of WGA to GlcNAc expressed in the extracellular matrix of E.coli. (B) Compari-
son of population distributions of E.coli expressing GFP after seeding into 5 μm diameter
microwells coated with WGA or BSA. (C) Fraction of dead cells within wells after staining with
a live/dead assay. S3 Fig. Correlation between well fluorescent signals measured with the epi-fluorescent
microscope system under standard settings (10X objective, 100 ms exposure, 16× gain,
1280×1024 binning) and cell volume measurements taken with a confocal microscope for
P. aeruginosa expressing GFP. (A) False-color fluorescent images from the epi-fluorescent
system (top row), and corresponding confocal microscope images (middle and bottom row)
after cell growth to different levels in 10 μm diameter wells. Dashed white lines denote well
boundaries. (B) Resulting correlation curve relating fluorescent intensity values (A.U.) to cell
volume fraction. Cell volume fraction was taken to be the total volume of cells within a well
divided by the overall volume of the well. (TIF) S4 Fig. False color fluorescent images of P. aeruginosa growth after seeding. (Initial) and
incubation (final, t = 24 hrs) at 30°C in arrays containing wells of diameters 5, 10, and 20 μm. (TIF) S1 Video. P. aeruginosa populations trapped in 160 μm and 80 μm diameter microwells.
Populations were seeded in wells then trapped with an agar-coated coverslip and monitored
with epifluorescence using a 10X objective. The movie is shown in real-time playback.
(MOV) S1 Video. P. aeruginosa populations trapped in 160 μm and 80 μm diameter microwells. Populations were seeded in wells then trapped with an agar-coated coverslip and monitored
with epifluorescence using a 10X objective. The movie is shown in real-time playback. (MOV) S2 Video. P. aeruginosa populations trapped in an array of 40 μm diameter microwells
after seeding and trapping with an agar-coated coverslip. The movie was recorded at 10X S4 Fig. False color fluorescent images of P. aeruginosa growth after seeding. (Initial) and
incubation (final, t = 24 hrs) at 30°C in arrays containing wells of diameters 5, 10, and 20 μm.
(TIF) S1 Video. P. aeruginosa populations trapped in 160 μm and 80 μm diameter microwells. Populations were seeded in wells then trapped with an agar-coated coverslip and monitored
with epifluorescence using a 10X objective. The movie is shown in real-time playback. (MOV) Conclusions A high-throughput platform for measuring the growth of independent microbial populations
in three-dimensional, microscale landscapes with controlled physical and chemical features
facilitates exploring the complex parameter space that influences microbial community devel-
opment. Central to this methodology is the ability to isolate microbial cells precisely into wells
using a parylene-based lift-off technique, combined with the capability of assembling initial
populations with tunable dispersity by controlling the geometric features of the wells. We have
demonstrated that seeded populations of bacteria can be trapped in three-dimensional micro-
wells under appropriate environmental conditions, allowing for dynamic growth or decay PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 14 / 18 Acknowledgments This work was supported in part by the Genomic Science Program, U.S. Department of Energy,
Office of Science, Biological and Environmental Research, as part of the Plant Microbe Inter-
faces Scientific Focus Area (http://pmi.ornl.gov) as well as ORNL Laboratory Directed
Research and Development. Microwell arrays were fabricated and characterized at the Center
for Nanophase Materials Sciences User Facilities Division, Office of Basic Energy Sciences, U.S. Department of Energy. The authors would also like to thank the J. Mougous Laboratory (Uni-
versity of Washington, Seattle, WA) for the supply of P. aeruginosa strains used in these studies
and Dr. B. Tseng Laboratory (University of Washington, Seattle, WA) for the supply of plas-
mids used to express GFP and mCherry in E. coli. The funders had no role in study design,
data collection and analysis, decision to publish, or preparation of the manuscript. Author Contributions Conceived and designed the experiments: RH SR MD MS AT. Performed the experiments: RH
CT AB AT. Analyzed the data: RH SR. Contributed reagents/materials/analysis tools: AB JMF
DP. Wrote the paper: RH AT SR JMF. S2 Video. P. aeruginosa populations trapped in an array of 40 μm diameter microwells
after seeding and trapping with an agar-coated coverslip. The movie was recorded at 10X PLOS ONE | DOI:10.1371/journal.pone.0155080
May 6, 2016 15 / 18 Bacterial Community Assembly in Microwells Reveals Role of Confinement with epifluorescence and is shown in real-time playback. (MOV)
S3 Video. False-color fluorescent time-lapse image showing P. aeruginosa colony growth
during incubation in 20 μm diameter microwells at 30°C. The movie was recorded over 10
hours with a 1 hr time interval. (MOV)
S4 Video. False-color fluorescent image showing P. aeruginosa colonies in 20 m diameter
wells after 24 hrs of growth. The movie is shown in real-time playback and was recorded
under the same camera settings as in S3 Video but with reduced gain to avoid saturation of the
fluorescent signal in the wells due to the higher cell densities. (AVI)
S5 Video. False-color fluorescent time-lapse image showing growth or decay of P. aerugi-
nosa colonies in 5 μm diameter microwells during incubation at 30°C. The movie was
recorded using the same settings as S3 Video. (MOV) S4 Video. False-color fluorescent image showing P. aeruginosa colonies in 20 m diameter
wells after 24 hrs of growth. The movie is shown in real-time playback and was recorded
under the same camera settings as in S3 Video but with reduced gain to avoid saturation of the
fluorescent signal in the wells due to the higher cell densities. (AVI) PLOS ONE | DOI:10.1371/journal.pone.0155080
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A cluster randomised controlled trial of the community effectiveness of two interventions in rural Malawi to improve health care and to reduce maternal, newborn and infant mortality
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Trials
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cc-by
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* Correspondence: s.lewycka@ich.ucl.ac.uk
1Centre for International Health and Development, UCL Institute of Child
Health, 30 Guilford St, WC1N 1EH, London, UK
Full list of author information is available at the end of the article TRIALS Open Access A cluster randomised controlled trial of the
community effectiveness of two interventions in
rural Malawi to improve health care and to
reduce maternal, newborn and infant mortality A cluster randomised controlled trial of the
community effectiveness of two interventions in
rural Malawi to improve health care and to
reduce maternal, newborn and infant mortality Sonia Lewycka1*, Charles Mwansambo2, Peter Kazembe3, Tambosi Phiri4, Andrew Mganga4, Mikey Rosato1,
Hilda Chapota4, Florida Malamba4, Stefania Vergnano5, Marie-Louise Newell6, David Osrin1, Anthony Costello1 © 2010 Lewycka 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. TRIALS TRIALS Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 TRIALS * Correspondence: s.lewycka@ich.ucl.ac.uk
1Centre for International Health and Development, UCL Institute of Child
Health, 30 Guilford St, WC1N 1EH, London, UK
Full list of author information is available at the end of the article
© 2010 Lewycka 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. Exclusive breastfeeding
l
b
f
d Exclusive breastfeeding is recommended worldwide, but
not always practised. Where supplementary or replace-
ment foods are given to young infants, there is a risk of
compromising infant nutrition and of introducing infec-
tion. Women with HIV can reduce the risk of vertical
transmission by choosing not to breastfeed [4,5], but in
rural Africa this is not a viable option. Formula feeds
are expensive and local water supplies likely to be
unclean, and nutritious replacement foods may be unaf-
fordable. There is clear evidence that increased duration
and exclusivity of breastfeeding is associated with
decreased diarrhoea incidence and better infant survival
[6-8]. Current WHO guidelines for the HIV uninfected
mother or of unknown status recommend exclusive
breastfeeding of their infants for the first six months of
life, introducing appropriate complementary foods there-
after, and continue breastfeeding for the first 12 months
of life. Breastfeeding should then only stop once a nutri-
tionally adequate and safe diet without breast-milk can
be provided [5]. Our study will evaluate two community-based inter-
ventions aimed at reducing newborn and infant mortal-
ity rates through either mobilisation of women’s groups
or home visits by village women volunteers focusing on
maternal and infant care and feeding practices. Several
previous trials have evaluated similar interventions in
south Asia, but none have examined these approaches
in sub-Saharan Africa, in settings where HIV, malaria,
maternal and newborn mortality are common. Our study uses a cluster-randomised and controlled
design with buffer zones to reduce the risk of contami-
nation. We hope it will provide policymakers with new
and evidence-based options for strategies to reduce new-
born and child mortality. Abstract Background: The UN Millennium Development Goals call for substantial reductions in maternal and child
mortality, to be achieved through reductions in morbidity and mortality during pregnancy, delivery, postpartum
and early childhood. The MaiMwana Project aims to test community-based interventions that tackle maternal and
child health problems through increasing awareness and local action. Methods/Design: This study uses a two-by-two factorial cluster-randomised controlled trial design to test the
impact of two interventions. The impact of a community mobilisation intervention run through women’s groups,
on home care, health care-seeking behaviours and maternal and infant mortality, will be tested. The impact of a
volunteer-led infant feeding and care support intervention, on rates of exclusive breastfeeding, uptake of HIV-
prevention services and infant mortality, will also be tested. The women’s group intervention will employ local
female facilitators to guide women’s groups through a four-phase cycle of problem identification and prioritisation,
strategy identification, implementation and evaluation. Meetings will be held monthly at village level. The infant
feeding intervention will select local volunteers to provide advice and support for breastfeeding, birth
preparedness, newborn care and immunisation. They will visit pregnant and new mothers in their homes five times
during and after pregnancy. preparedness, newborn care and immunisation. They will visit pregnant and new mothers in their homes five times
during and after pregnancy. The unit of intervention allocation will be clusters of rural villages of 2500-4000 population. 48 clusters have been
defined and randomly allocated to either women’s groups only, infant feeding support only, both interventions, or
no intervention. Study villages are surrounded by ‘buffer areas’ of non-study villages to reduce contamination
between intervention and control areas. Outcome indicators will be measured through a demographic surveillance
system. Primary outcomes will be maternal, infant, neonatal and perinatal mortality for the women’s group inter-
vention, and exclusive breastfeeding rates and infant mortality for the infant feeding intervention. g
y
g
Structured interviews will be conducted with mothers one-month and six-months after birth to collect detailed
quantitative data on care practices and health-care-seeking. Further qualitative, quantitative and economic data will
be collected for process and economic evaluations. Trial registration: ISRCTN06477126 Page 2 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Background and rationale the treatment or referral of high risk or symptomatic
infants. ENC forms an integral part of Safe Motherhood
Programmes (SMP) and the WHO Integrated Manage-
ment of Childhood Illness (IMCI) strategy. Currently,
WHO and UNICEF aim to improve newborn care
through the ‘integrated management of pregnancy and
childbirth’ (IMPAC) package as part of SMP, and post-
perinatal mortality through the IMCI strategy. Both stra-
tegies recognise that improvement in health status in
poor communities is strongly related to family caretak-
ing practices. There has been less than satisfactory progress, especially
in sub-Saharan Africa, towards the child and maternal
mortality targets of Millennium Development Goals
(MDGs) 4 and 5. The Countdown group reported that
most of 68 target countries had made little or no pro-
gress towards the child survival target, and that 12
countries in sub-Saharan Africa had actually seen rever-
sals in child survival rates [1]. The neonatal period has
been especially resistant to change and, as mortality in
later infancy has fallen, globally the proportion of
under-five deaths occurring in the newborn period is
now close to 40%. The importance of maternal, infant and neonatal health
in Malawi The maternal mortality ratio in Malawi has been
reported as 984 per 100 000 [2] - one of the highest in
the world. Neonatal mortality accounts for about one
third of infant mortality; the Demographic and Health
Survey report for 2004 indicates an infant mortality
ratio (IMR) of 76 per 1000 and a neonatal mortality
ratio (NMR) of 27 per 1000 [2]. For women who seek
contact with health services, the quality of care they
receive may be compromised due to low public health
expenditure, high turnover of service providers, lack of
drugs and supplies in many facilities, and lack of owner-
ship of health programmes by local communities [3]. Further, in rural Malawi more than half of deliveries
occur at home, and these home deliveries may be more
likely to result in adverse maternal or perinatal
outcomes. According to the Malawi DHS [2], only 28% of children
4-5 months of age are exclusively breastfed, and median
duration of exclusive breastfeeding is 2.5 months. Infants
may be given water or a watery porridge as early as one
week of age. This may be because the mother is per-
ceived to not be producing enough milk, or the baby is
believed to be crying excessively. Traditional remedies
and home-made gripe-water may also be given to
strengthen the baby and protect from illness ([9]; and
MaiMwana baseline research). Early introduction of
complementary feeds can increase the risk of gastroin-
testinal infection and growth faltering [10,11]. Essential newborn care and safe motherhood HIV is an important issue in any health intervention
where prevalence is high. It has a direct impact on the
health of those infected with the virus, and indirect
impact through the larger societal effects of HIV-related
illness in people of working age, such as key health
workers, and an increased burden on the family of Essential newborn care and safe motherhood
Essential newborn care (ENC) is based on the simple
principles of basic resuscitation, avoidance of hypother-
mia, improvements in perinatal hygiene, early breast-
feeding and protecting maternal-infant bonding. It also
promotes antenatal care, delivery at health facilities and Page 3 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 caring for sick people and orphans. Children born to
mothers with HIV are at increased risk of dying, even
when they themselves are uninfected [12]. However, in
the absence of any intervention, 30-45% of children
born to mothers with HIV will become infected through
in-utero, peripartum or breast milk exposure, and, with-
out treatment, 35% of these will die before they are one
year old [13]. Initiatives such as the Global Fund have
helped to make services for prevention of mother-to-
child transmission of HIV (PMTCT) more widely avail-
able in Malawi, including HIV testing during antenatal
care, free treatment for HIV-positive mothers and
babies, and breastfeeding advice. Malawi’s estimated
HIV prevalence among women between 15 and 49 years
is approximately 13.3% [2], and there is a need for
appropriate interventions to reduce the risk of MTCT. Single dose Nevirapine was adopted as the minimum
prophylaxis regimen in national policy - one dose for
mothers at onset of labour and one dose for infants
immediately after birth. This has been shown to reduce
MTCT by 40% in a trial setting [14]. The Ministry of
Health has now introduced a combination antiretroviral
prophylaxis regimen at facilities with the capacity to
offer this. appropriate decisions, increased community commit-
ment to planned work ensures its sustainability, the
community gains some power and control over any
planned work, and there may be more resources avail-
able for the work as local materials and manpower can
be used. Furthermore, simply providing people with informa-
tion about health risks is not always enough to change
behaviour. Health is indirectly but powerfully affected
by the social environment in which personal behaviours
are embedded [19]. Why use community-based interventions? The rationale for using community-based interventions
is based on the fact that many maternal and neonatal
deaths occur at home, and could potentially be avoided
by changes in antenatal and newborn care practice and
better understanding of health problems. Stimulating
uptake and improving coverage of health services must
also begin at community level. Consolidation of the
links between primary health care services and their
users is essential, as described in the Alma-Ata Declara-
tion [15]. This involves both improving the quality of
the services and creating demand and awareness in
communities. Reasons for under-use of existing services
are complex, and in order to increase uptake, not only
must physical barriers to access be removed, but issues
of service quality and community perceptions of service
providers must be addressed. Model strategies for women’s group community
mobilisation interventions
h
d
d
l The Warmi Project - introduced in a rural area of Bolivia
with little health infrastructure and widespread poverty -
was the first published account of a community participa-
tory intervention to improve perinatal care [24-26]. It
employed participatory planning methods and commu-
nity action cycles focused on mother and infant care. Groups of women worked together to identify and priori-
tise key maternal and neonatal health problems, then
developed local strategies to address them. Within three
years, the Warmi Project had achieved a substantial
decrease in the perinatal mortality rate, from 117 to 44
per thousand births. However, it is difficult to draw firm
conclusions because the study lacked a control group
and had relatively low statistical power. Essential newborn care and safe motherhood In Nepal, providing direct one-to-
one basic information on infant care and family plan-
ning did not result in significant changes in behaviour
[20]. Similarly, a review of HIV prevention projects
found only one in four participants on average can be
expected to change behaviour through individually
focused behavioural interventions [21]. More success
has been achieved through health alliances or partner-
ships, and the stronger the representation by the com-
munity, and the greater the community involvement in
the practical activities of the health promotion, the
greater the impact and the more sustainable the gains. A social change approach takes the focus away from
individuals and encourages community responsibility
for action. Community-based programmes can “help to
provide enabling conditions for the renegotiation of
[behaviour] at the collective level, rather than attempt-
ing to persuade people to make an individual decision
to change their behaviour by simply providing them
with information about health risks” [22,23]. Objectives To test the impact of an intervention using community
mobilisation through women’s groups on: To test the impact of an intervention using community
mobilisation through women’s groups on: a) Care practices and health care seeking behaviour
for mothers and infants. b) Maternal and infant morbidity. c) Maternal, infant, neonatal and perinatal mortality. To document and evaluate the process and costs for
potential replicability and sustainability. The best work on infant feeding in Africa has been
done by LINKAGES, which works with Ministries of
Health and other partners to promote breastfeeding by
enlisting the support of families and communities, and
by building a critical mass of breastfeeding advocates for
community programmes. LINKAGES programmes in
Africa have already had substantial impacts judged by
before-and-after analyses [31]. In Madagascar, exclusive
breastfeeding rates increased from 46% to 68% and in
Ghana rates increased from 31% to 68%. Whilst the
LINKAGES work provides interesting models for imple-
mentation, their community cost-effectiveness on a
larger scale remains uncertain, as the evaluation of the
intervention is not based on an experimental, rando-
mised design, and the economic evaluation has not yet
been reported. To test the impact of an intervention delivering health
education through volunteer peer counsellors on: a) Exclusive breastfeeding rates, other care practices
and health care seeking behaviour. b) Maternal and infant morbidity. c) Infant mortality. To document and evaluate the process and costs for
potential replicability and sustainability. Justification for this study Justification for this study outcomes. Over a two-year period, neonatal mortality
was reduced by 30% in intervention clusters compared
with controls. The intervention used trained local facilita-
tors to mobilise the groups. There has been little research in rural Africa on sustain-
able community-based interventions to reduce maternal
and perinatal mortality, though this is changing. Government partners are involved in operational
research in Ethiopia, Malawi, Mali, Mozambique, Tanza-
nia and Uganda (Saving Newborn Lives, personal com-
munication), and the Newhints trial in Ghana is looking
at home visits by community-based volunteers [32]. Similarly, although there have been trials of behaviour
change interventions for the promotion of exclusive
breastfeeding in Mexico, Bangladesh and India, few pub-
lished studies report similar interventions in rural
Africa. Following on from the successes of community-
based interventions in other settings in Asia and South
America, we decided to test similar interventions in a
rural African setting with high malaria and HIV. We
believe this project will provide policy-relevant answers
to key questions about strategies to improve mother and
newborn health in Africa. Another recent study, from Jharkhand and Orissa in
India, showed similar impact of women’s groups. Neo-
natal mortality was reduced by 45% in intervention
areas in the second and third years (OR 0.55 95% CI
0.46-0.66) [28]. However, such major changes were not
seen in a study from Bangladesh, which may have been
due to limited coverage of community activities [29]. Model strategies for infant feeding and care counselling
interventions Three cluster-randomised controlled trials conducted in
Mexico, Bangladesh and India have shown significant
impacts of peer-led counselling on exclusive breastfeeding
rates and reduced infant illness. In Mexico City, follow-up
at 3 months after birth found that 67% and 50% of the
intensive and less intensive counselling intervention
groups respectively were still exclusively breastfeeding,
compared to 12% of the control group [6], and both inter-
vention groups had less diarrhoea than control infants. In
Dhaka, Bangladesh, follow-up at 3 months and 5 months
after birth found 83% and 70% respectively of women in
the intervention areas exclusively breastfeeding, compared
with 18% and 6% in control areas [30]. In these two inter-
ventions the counsellors were paid employees of the pro-
jects, but in Haryana State, India, they used volunteer
counsellors, and also included monthly community meet-
ings and opportunistic visits by community-based health
workers and traditional birth attendants. At 3 months
after birth, 79% of infants in the intervention areas were
exclusively breastfed, compared with 48% in control areas. The difference was still significant at 6 months (after
which complementary feeds were introduced), with 42% of
women in intervention areas exclusively breastfeeding,
compared with 4% in control areas [8]. Goal To improve the survival and health of mothers and
infants in rural communities in Mchinji, Malawi. To test the effectiveness of two community-based health
promotion interventions for improving mother and
child health and reducing mortality. Why promote participation in health care? Community-based health interventions do not always
involve the community in decision-making. As there are
different perceptions of priorities between officials and
communities, communities may feel their needs are not
being met, and powerful groups may capture resources
[16-18]. Groups most consistently excluded from deci-
sion-making have been women and children. Involving
groups who have traditionally had little influence in
decision-making is important because community mem-
bers have experience and insight that can lead to more The MIRA Makwanpur study, Nepal - the main opera-
tional model for this project - was a cluster-randomised
controlled trial of a community-based participatory inter-
vention to improve the health of pregnant mothers and
newborn infants [27]. MIRA used community action
cycles run by women’s groups, based on the Warmi
model, to bring about improvements in perinatal health Page 4 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Methods/Design
Study design The intervention will be evaluated in a cluster-rando-
mised controlled trial. A cluster design has been chosen
because the allocation and loci of delivery of the inter-
ventions (community clusters) are groups rather than
individuals. 48 rural clusters have been identified. 24 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Page 5 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 and infant morbidity, increases in exclusive breastfeed-
ing rates in the first six months, increases in health-care
seeking behaviour, and changes in care-taker practices. have been allocated to receive the women’s group inter-
vention and 24 will act as controls. Using a factorial
design, each of these arms of the women’s group trial
was randomized a second time, 12 clusters to receive
the volunteer counseling intervention and 12 to act as
controls. An independent surveillance system for out-
comes - births, morbidity, mortality, and care seeking -
has been designed and implemented in all 48 clusters,
covering a population of 144,000 (Figure 1). Design and unit of randomisation Will volunteer infant feeding and care counselling for
pregnant and breastfeeding mothers in their homes
reduce infant mortality through changes in knowledge
and practices regarding exclusive breastfeeding, family
planning and other care practices and health-seeking
behaviours? A cluster-randomised controlled trial, with a two-by-two
factorial design, will be used to test the impact of two
interventions on specific outcome indicators. 48 clusters
or ‘zones’ were defined from the Enumeration Areas
generated during the 1998 census (Figure 2a). Each zone
contained a population of approximately 8000 in total. A population of around 3000 was selected from the cen-
tre of each zone, leaving a ‘buffer area’ around it to
reduce contamination between neighbouring interven-
tion and control areas (Figure 3). Hypotheses Women’s group activities will lead to: reductions in
maternal, perinatal, neonatal and infant mortality, reduc-
tions in maternal and infant morbidity, and increases in
recognition of high-risk symptoms, increased health-care
seeking behaviour and changes in care-taker practices. Study endpoints and outcomes The study endpoints are shown in Table 1. The inter-
ventions will run for two years from the date when they
are hypothesised to start having an effect, nine months
after the start of the interventions, allowing for new
pregnancies to have the maximum benefit of exposure
to interventions. If a valuable effect is shown at the end
of this period, the intervention models - refined on the
basis of experience - will be implemented in the control
areas. Primary research questions Will community mobilisation through women’s groups
reduce perinatal, neonatal, infant and maternal mortality
rates through changes in care practices and health-seek-
ing behaviour? Setting Infant feeding and care counselling sessions will lead
to: reductions in infant mortality, reductions in maternal Mchinji district lies to the west of Lilongwe, in the Cen-
tral Region of Malawi. It has international borders with Figure 1 Two-by-two factorial design. Community-based women’s group mobilisation intervention and home-based infant feeding and care
counselling, with basic health service strengthening for both intervention and control areas Figure 1 Two-by-two factorial design. Community-based women’s group mobilisation intervention and home-base
counselling, with basic health service strengthening for both intervention and control areas Figure 1 Two-by-two factorial design. Co Figure 1 Two-by-two factorial design. Community-based women’s group mobilisation intervention and home-based infant feeding and care
counselling, with basic health service strengthening for both intervention and control areas Page 6 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Table 1 Study outcomes
Women’s groups
Volun
Primary
outcomes
▪Maternal mortality
▪Perinatal mortality
▪Neonatal mortality
▪Infant mortality
▪Rat
▪Infa
Secondary
outcomes
▪Recognition of high-risk symptoms and signs: failure to feed,
breathlessness, floppiness. ▪Changes in caretaker practices: hygiene behaviours, use of
insecticide treated nets (ITNs), early and exclusive breastfeeding
and decreased use of pre-lacteal feeds
▪Changes in care-seeking behaviour: antenatal care (use of
malaria prophylaxis in pregnancy, tetanus toxoid), delivery (facility-
based, skilled attendant, use of safe delivery kit), uptake of PMTCT
(VCT, nevirapine for mother and baby), postnatal care (check-ups
for mother and baby, infant vaccinations), referral patterns. ▪Maternal and infant morbidity (breast problems, fever, diarrhoea,
etc.)
▪Cha
feed,
treatm
prepa
plann
▪Cha
VCT, n
cessa
penta
• Neo
• Mat
grow Table 1 Study outcomes
Women’s groups
Volunteer infant feeding and care counsellors
Primary
outcomes
▪Maternal mortality
▪Perinatal mortality
▪Neonatal mortality
▪Infant mortality
▪Rates of exclusive breastfeeding (EBF) in the first six months
▪Infant mortality
Secondary
outcomes
▪Recognition of high-risk symptoms and signs: failure to feed,
breathlessness, floppiness. ▪Changes in caretaker practices: hygiene behaviours, use of
insecticide treated nets (ITNs), early and exclusive breastfeeding
and decreased use of pre-lacteal feeds
▪Changes in care-seeking behaviour: antenatal care (use of
malaria prophylaxis in pregnancy, tetanus toxoid), delivery (facility-
based, skilled attendant, use of safe delivery kit), uptake of PMTCT
(VCT, nevirapine for mother and baby), postnatal care (check-ups
for mother and baby, infant vaccinations), referral patterns. Setting ▪Maternal and infant morbidity (breast problems, fever, diarrhoea,
etc.)
▪Changes in caretaker practices: EBF (duration of EBF, time to first
feed, use of pre-lacteals, time to weaning), management and
treatment of breast problems, recognition of danger signs, birth
preparedness (clean razor, clean plastic sheet, soap, thread), family
planning (including use of condoms)
▪Changes in care-seeking behaviour: uptake of PMTCT (awareness,
VCT, nevirapine for mother and baby, expressing breastmilk, early
cessation of breastfeeding), uptake of vaccination services (3 doses
pentavalent and 4 doses polio by 6 months
• Neonatal mortality
• Maternal and infant morbidity (breast problems, fever, diarrhoea,
growth etc.) Table 1 Study outcomes Volunteer infant feeding and care counsellors ▪Rates of exclusive breastfeeding (EBF) in the first six months
▪Infant mortality ▪Changes in caretaker practices: EBF (duration of EBF, time to first
feed, use of pre-lacteals, time to weaning), management and
treatment of breast problems, recognition of danger signs, birth
preparedness (clean razor, clean plastic sheet, soap, thread), family
planning (including use of condoms) ▪Changes in care-seeking behaviour: uptake of PMTCT (awareness,
VCT, nevirapine for mother and baby, expressing breastmilk, early
cessation of breastfeeding), uptake of vaccination services (3 doses
pentavalent and 4 doses polio by 6 months
N
t l
t lit p
p
y
• Neonatal mortality • Neonatal mortality • Maternal and infant morbidity (breast problems, fever, diarrhoea,
growth etc.) In 2006 it was reported that 99% of women in Mchinji
attended antenatal care at least once during their preg-
nancy, but only 58% delivered at a health facility [34]. Maternal and perinatal health care is provided by per-
sonnel from one district hospital (a first referral and
secondary health facility), four rural community hospi-
tals (one government and three mission hospitals), one Zambia and Mozambique, and a population of about
375,000 in 2004 [33], of whom about 80% live in rural
areas and make a living through subsistence farming. The main ethnic group are the Chewa (90%), and the
predominant religion is Christianity (97%). Comparison
of some key socioeconomic and health indicators for
Mchinji and Malawi are shown in Table 2. Figure 2 a - Aggregation of census enumeration areas into 48 study ‘zones’, b - Random allocation of zones to four different
combinations of intervention. Figure 2 a - Aggregation of census enumeration areas into 48 study ‘zones’, b - Random allocation of zones to four different
combinations of intervention. Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Page 7 of 15 Lewycka et al. Trials 2010, 11:88 http://www.trialsjournal.com/content/11/1/88 Figure 3 Study villages and buffer areas in three clusters near
Mchinji Boma. maternal and child health. The district administrative
centre was excluded because it is more urbanised than
the rest of the district and therefore not comparable to
other clusters. The target group for participation in both
of the interventions will be women of childbearing age
(WCBA), between the ages of 15 and 49 years, and par-
ticularly pregnant mothers. Girls aged between 10 and
15 years will also be monitored and encouraged to parti-
cipate in order to identify and support early teenage
mothers. Target group and eligibility criteria The target population will be rural communities with
the least access to health services, who might benefit
most from community-based interventions to improve Table 2 Socioeconomic and health indicators for Mchinji
and Malawi
Mchinji
Malawi
Poverty
Human Development Index (out of 182 countries)
-
160
GNP per capita (US$)
-
690
Percent below $2 per day
-
90%
Education
Female literacy (over 5 years of age)
46%
51%
Educational attainment - primary
60%
59%
- secondary
5%
8%
Health
Access to improved water source
46%
45%
Access to sanitation
66%
53%
Total fertility rate (births per woman)
7.6
6.5
Crude birth rate (per 1,000 population)
55
50
Maternal mortality ratio (per 100,000 live births)
-
984
Infant mortality rate (per 1,000 live births)
-
76
Neonatal mortality rate (per 1,000 live births)
-
27
Sources: Malawi Population and Housing Census, 1998, Malawi DHS, 2004,
World Bank 2006, State of the World’s Newborns report 2001, UNDP 2009 Table 2 Socioeconomic and health indicators for Mchinji
and Malawi Volunteer infant feeding and care counsellors Older women will also be encouraged to
attend as they influence decision-making around preg-
nancy, childbirth and child care and have valuable
experiences to share. All women aged 10 to 49 years (inclusive) who agree
to take part, will be enrolled into the study, regardless
of whether they are married or not. Women who have
no possibility of conceiving during the study period will
be enumerated but excluded from the final sample (for
example women who have had hysterectomies or term-
inal family planning procedures). Participation in inter-
vention activities will be voluntary, and women’s groups
will be free to establish their own membership criteria. maternity unit, six health centres that provide maternity
care, two dispensaries and two private clinics that offer
antenatal care. Quality is compromised by the severe
shortage of personnel, low morale of the health provi-
ders, and irregular drug supplies. Traditional Birth
Attendants are available in all localities. The trial is being implemented by MaiMwana project,
a Malawian trust established in 2003, as a collaboration
between the Department of Paediatrics, Kamuzu Central
Hospital, the Mchinji District Hospital and the UCL
Centre for International Health and Development. A cohort of 44,000 women aged between 10 and 49
years was defined during the baseline phase of the
study, and each is visited monthly by study personnel. From the beginning of the study period we identified all
pregnancies, births and deaths occurring within the
cohort of WCBA, with follow-up until at least one year
after delivery. The cohort members are listed in a mas-
ter document to which new names can be added: the
cohort is open and new participants may be enrolled
during the study period if they move into the study
area, or if they reach 15 years of age. Women’s group intervention The women’s group intervention seeks to build the
capacities of communities to take control of the mother
and child health issues that affect them. The interven-
tion is community-based in that it defines the commu-
nity as the agent of change [35]. To achieve this,
24 local female facilitators, one per cluster, were
recruited and trained. The facilitators formed between
six and 12 groups in their clusters and invited all
women of childbearing age to attend. They guide the
groups of women through a four-phase community
mobilisation action cycle developed to be appropriate,
accessible and feasible for the Malawian context from
similar models in Bolivia and Nepal (Figure 4) [36,37]. In the first phase, consisting of eight meetings, the
groups identify and prioritise the mother and child
health problems they feel are most important and dis-
cuss what may contribute to these problems and how Page 8 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Table 3 Elements of the women’s group and infant feeding and care counselling interventions
Women’s groups
Volunteer infant feeding and care counsellors
Specific objectives Elements of the interventions The activities of Volunteer MaiMwana Counsellors (VMCs) will be the key
to this intervention. Three VMCs will work within one Zone, covering an
average population of 1,000 each. Each VMC will visit all pregnant
mothers in her area 5 times - once before birth and four times after
birth - to discuss the importance of exclusive breastfeeding, and to give
support and advice on mother and child health. She will also help to
identify any breastfeeding problems and refer them to a health facility. The activities of Zonal Facilitators (ZFs) are the key to this intervention. Each facilitator will work within one Zone, covering an average
population of 3,000. She will facilitate the activities of women’s groups
within the Zone as they address the issues of pregnancy, childbirth,
newborn and infant health. Each women’s group will move through a
participatory planning cycle of assessment, sharing experiences, planning,
action and reassessment, with the aim of improving essential maternal
and newborn care. meeting of this phase they share their discussions with
the whole community. In the third phase, consisting of
four meetings, the membership of the groups expands
to include all community members, including men,
working together to implement the strategies that have they might be prevented and managed. In the last meet-
ing of this phase they share their discussions with men
in the community. In the second phase, consisting of
four meetings, the groups plan locally feasible strategies
to address the problems they have prioritised. In the last Figure 4 Women’s group cycle. Figure 4 Women’s group cycle. Page 9 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 been identified. In the fourth phase, four meetings, the
groups evaluate what they have done, and plan for the
future. The facilitators received minimal health training
but use participatory rural appraisal tools and picture
cards to facilitate discussions and enable groups to
access their collective knowledge and capacities. With
these capacities the groups take increasing control of
the intervention over the course of the cycle. They do
not receive any resources from MaiMwana Project,
except the guidance of the facilitator, employed by
MaiMwana project, and supported by four trained
supervisors and a senior supervisor. at one month after birth and covers the same issues as
the previous visit, with the addition of information
about weaning. Elements of the interventions The fourth visit occurs at three months
after birth and covers the same issues as the third visit. The fifth visit is conducted at five months after birth
and covers the same issues as the third and fourth visits
with the addition of information about weaning foods. The volunteer counsellors received minimal health
training but use a picture book to facilitate learning. The volunteer counsellors are supervised by 24 govern-
ment Health Surveillance Assistants, and the interven-
tion is coordinated by one supervisor employed by
MaiMwana project. Volunteer infant feeding and care counselling intervention Volunteer infant feeding and care counselling intervention
The volunteer counselling intervention seeks to change
the behaviour of individuals in relation to care and care-
seeking for mothers and children. The intervention is
community-based in that it defines the community as
the target of change [35]. In particular, the intervention
seeks to provide health education to raise the awareness,
change the attitudes and build the self-efficacy of
mothers in relation to exclusive breastfeeding. To
achieve this, 72 female volunteers, between two and four
per cluster, were recruited and trained to identify preg-
nant women in their area and visit them at home to
provide counselling and support to exclusively breast-
feed their infants and perform other key infant care
practices. The volunteer counsellors visit these women
at five key times in pregnancy and after birth (Table 4). The first visit is conducted in the third trimester, and
the mother receives information regarding the impor-
tance of early and exclusive breastfeeding, PMTCT,
birth preparedness and family planning. The second
visit is conducted in the first week after birth (and
where possible within the first three days), when the
mother receives information on the importance of
exclusive breastfeeding, vaccinations, warmth and
hygiene and family planning. The mother also receives
information about danger signs for herself and her child,
advice about breast problems and support for good
attachment and positioning. The third visit is conducted Randomisation and allocation The 48 study zones were randomly allocated to one of
four groups; 12 zones receiving infant feeding counsel-
ling and facilitation, 12 zones receiving facilitation only,
12 zones receiving infant feeding counselling and no
facilitation, and 12 zones receiving neither (Figure 1 and
Figure 2b). All zones will benefit from the district-wide
training and support for health services from the pro-
ject’s initiation. Random number generation was done in STATA 7.0,
and each of the 48 clusters was allocated to one of four
possible combinations of interventions. In this way, each
intervention was stratified according to the presence or
absence of the other one, in order to balance any effects
of one intervention on outcomes of interest in the
other. SL and DO generated the random number
sequence and allocated the clusters to intervention
groups. All women aged between 10 and 49 years resid-
ing within the clusters were eligible for inclusion in the
interventions and follow-up of maternal and child health
outcomes. Records of a woman’s migrations within and
outside of the study area are recorded in order to allow
for both ‘intention to treat’ and ‘per protocol’ analysis. Due to the nature of the interventions, blinding of
study participants to their allocation was not possible,
though analysts and trial monitors will be blinded to the Table 4 Volunteer infant feeding and care counselling intervention meeting guide
Visit 1
Visit 2
Visit 3
Visit 4
Visit 5
Pregnancy
After birth
3rd trimester
1st week
1 month
3 months
5 months
*Introduction
*Early BF
*Exclusive BF
*PMTCT
*Birth-preparedness
*Family planning and
condoms
*Attachment & positioning
*Exclusive BF
*Vaccinations
*Warmth
*Hygiene
*Danger signs
*Family planning and
condoms
*Advice on BF problems
*Attachment &
positioning
*Exclusive BF
*Vaccinations
*Warmth
*Hygiene
*Danger signs
*Discuss weaning at 6 m
*Advice on BF problems
*Attachment &
positioning
*Exclusive BF
*Vaccinations
*Warmth
*Hygiene
*Danger signs
*Discuss weaning at 6 m
*Advice on BF problems
*Attachment &
positioning
*Exclusive BF
*Vaccinations
*Warmth
*Hygiene
*Danger signs
*Discuss weaning at 6 m
*Discuss weaning foods
*Advice on BF problems Page 10 of 15 Page 10 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 5% significance level and an inter-cluster coefficient of
variation (k) of between 0.15 and 0.30, using the metho-
dology laid out by Hayes et al [39]. Randomisation and allocation An estimate of
k = 0.25 came from work on interventions to reduce
HIV incidence rates [40], and later from work in
Makwanpur, Nepal [27]. We assumed that variability in
neonatal, infant and maternal mortality between clusters
would be less in rural Malawi, due to fairly uniform
exposure to risk factors such as poor hygiene and poor
quality or absent delivery care and malaria. In addition,
we reduced potential heterogeneity by excluding the
main district administrative centre, as it was felt to be
socio-economically and demographically different from
rural villages. In recognition of the lack of certainty for
this estimate, sample sizes were calculated for a range of
values of k. study allocation until the definitive analysis is per-
formed. Data will be collected independently from inter-
vention implementation, and no results will be fed back
to inform the interventions. * Malawi DHS data used is the national estimate, as data were not disaggregated for Mchinji District Sample size The sample size for the cluster randomised controlled
trial was arrived at by comparing statistical power for
different estimates of population parameters. Parameters
estimated included baseline mortality rates, the pro-
jected size of the reduction in maternal, neonatal and
infant mortality and increase in exclusive breastfeeding
rates due to the interventions, the number of births in
each cluster over the trial period, the number of clusters
in the intervention and control groups, the statistical
power of the study, and the inter-cluster coefficient of
variation. Realistic values of some of these parameters
were difficult to estimate, as few population-level mor-
tality data were available, especially at district and sub-
district level. The sources of data and values used for
these estimates and sample size calculations are sum-
marised in Table 5. We aimed to achieve the smallest
sample size that would allow adequate statistical power
to detect an impact within a reasonable time-frame and
would be logistically feasible to implement. Interactions between the women’s group and volunteer
infant feeding and care counselling intervention Through the two-by-two design, it will be possible to
assess the interaction between the two interventions,
though the study is not powered to evaluate the com-
bined impact of the interventions on mortality com-
pared to single interventions alone, as this would have
required an unfeasibly large sample. We will explore
qualitatively and quantitatively whether or not there is a
synergistic relationship between the two interventions,
resulting in an effect greater in magnitude than either
intervention alone. We might expect that women in an
enabling environment (provided by women’s groups) Initial sample size estimates were made using national
estimates of crude birth rates and mortality rates from
the Malawi DHS for 2000 [38], subsequently revised
after the results for the 2004 DHS survey were released
[2]. Estimates were made with 80% power, a two-sided Table 5 Parameters used to estimate sample size, and the estimated size of reductions or increases that would be
detectable
Parameter
Source of estimate
DHS parameter estimates (2006)
Number of clusters
Geopolitical subdivisions and logistical efficiency
48
Population per cluster
(Calculated)
3,000
Crude birth rate (per 1000 population)
National data from MDHS*
42
Time frame (years)
Funding period
2
Births per cluster within study period
(Calculated)
252
Inter-cluster coefficient of variation (k)
Hayes 1995
0.15-0.3
Statistical power of the study
Probability of Type I error
Probability of Type II error
0.05
0.2
Neonatal mortality rate
(per 1000 live births)
National data from MDHS*
27
Size of reduction detectable
(Calculated)
31-36%
Maternal mortality ratio
(per 100,000 live births)
National data from MDHS*
984
Size of reduction detectable
(Calculated)
47-50%
Infant mortality rate (per 1000 live births)
National data from MDHS*
76
Size of reduction detectable
(Calculated)
21-28%
Exclusive breastfeeding (%)
National data from MDHS*
27.5%
Size of increase detectable
(Calculated)
16-30%
* Malawi DHS data used is the national estimate as data were not disaggregated for Mchinji District able 5 Parameters used to estimate sample size, and the estimated size of reductions or increases that would be
etectable le 5 Parameters used to estimate sample size, and the estimated size of reductions or increases that would be
ectable
meter
So rce of estimate
DHS parameter estimates (2006) s used to estimate sample size, and the estimated size of reductions or increases that would be Page 11 of 15 Page 11 of 15 Lewycka et al. Interactions between the women’s group and volunteer
infant feeding and care counselling intervention Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 would find it easier to discuss health issues and make
health-seeking decisions for themselves and their babies
than women in control areas where social barriers to
care-seeking have not been addressed. More specifically,
women in areas receiving both interventions might be
more likely to use the Volunteer MaiMwana Counsellor
and recognise the importance of her advice. More of
these women may have decided to use PMTCT services
than those not receiving facilitation, and will therefore
be in a better position to make informed choices about
infant feeding and family planning based on knowledge
of their HIV status. Conversely, individual visits made
by volunteers to women in their homes may serve to
reinforce messages and issues arising from women’s
group discussions. after birth by trained interviewers. Interviewers will
administer one-month and six-month post-partum
interviews to collect detailed information about demo-
graphic characteristics, maternity history, health-seeking
behaviours, care behaviours and maternal and infant
morbidity. To assess the impact of the interventions on growth
and nutrition, women and infants will be visited by
Health Surveillance Assistants (HSAs) at one-month and
seven-months to collect anthropometric and biodata. Infant weight and height and mother’s mid-upper arm
circumference will be measured, and blood spots taken
from infant heel pricks will be tested for haemoglobin
levels using a Haemocue machine. Six HSAs have been
recruited and have received extensive training according
to Malawi government guidelines in theoretical and
practical aspects of blood spot collection by the Com-
munity Health Sciences Unit (CHSU) technicians. The
HSAs will also be supervised by CHSU technicians
quarterly and attend full week-long six-monthly
refresher trainings. Data collection Data will be collected in two phases; baseline data dur-
ing intervention development, and prospective data dur-
ing intervention implementation. The baseline phase
was completed in 2004. Formative qualitative data were
collected through semi-structured interviews and focus
groups. These data were collected with the specific pur-
pose of: a) exploring current care practices to help to
develop the structured questionnaires and interviews;
and b) exploring the aims, setting, target population,
methods and resources of the interventions to assist in
their development. During the baseline data collection
phase, the 692 study villages were mapped, each house-
hold enumerated, and a census was done in order to
collect basic socioeconomic and demographic data
about household members. A list of all female residents
aged between 10 and 49 years was produced. Impact evaluation To assess the impact of the interventions on mortality,
all WCBA will be visited monthly to identify pregnan-
cies and births, as well as neonatal, infant and maternal
deaths. WCBA will be visited by trained enumerators
once per month, and events recorded in a register hold-
ing an up-to-date list of all women in the cluster (gener-
ated from the baseline survey, plus new residents). One
enumerator will visit all WCBA in one cluster. All
deaths of infants and women will be followed up by a
supervisor who will verify the death and conduct a ver-
bal autopsy interview between two and six weeks after
the death. This interview will help to elicit the causes
and contributing factors of the deaths [41]. There are
five supervisors, each based at a nodal office. Process evaluation An integrated process evaluation will collect data on the
key factors that may mediate the impact of the interven-
tions in order to understand why they work or fail to
work, and how different contextual factors influence
their success. This will include collecting information on
the context in which the interventions are being imple-
mented, the mechanism through which the interventions
are working, and the proximal outcomes of the interven-
tions. On the basis of this information, hypotheses will
be developed and, where possible, tested to explain and
better understand the impact of the interventions. The
data will be collected, using predominantly qualitative
methods such as key informant interviews, focus group
discussions and observations. A range of different
respondents will be consulted, including members of
intervention and control communities, members of
women’s groups and women who have been counselled,
key community, district and national informants, MaiM-
wana staff, and health facility staff. Prospective data relevant to the evaluation of the two
interventions will be collected in three ways - impact,
process and economic. Economic evaluation All inputs will be audited and cost-effectiveness analysis
will be carried out in order to assess the replicability
and scalability of the interventions, and the potential for
them to be adopted as larger scale public health inter-
ventions in Malawi. Full costs will include start-up and
running costs for both interventions, and will be col-
lected through the project accounting systems. In addi-
tion to financial costs, economic costs will be estimated,
valuing resources at their “opportunity cost”, or value in
their best alternative use (including time, resource use
and donated items) [42]. We will estimate the cost per
maternal, infant, neonatal and perinatal death averted To assess the impact of the interventions on morbid-
ity, care practices and behaviours, women who are iden-
tified as pregnant will be followed up until 6 months Page 12 of 15 Page 12 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 checker (NDC) based at one of the five nodal offices. The second check will be done by a team of two data
checkers (DC) based at the main office. The last stage of
data checking will be done at the point of data entry by
the four data entry clerks (DEC). Further checks will be
carried out internally within the electronic data-handling
environment. Data entered into the study databases will
be regularly reviewed for inconsistencies and missing
information. Lists of women interviewed and key fields
to be verified will be produced, such as ID numbers,
dates of birth, and reported pregnancies, births or
deaths that have received no further follow-up. and the cost per newborn infant exclusively breastfed. We will collect information on the costs associated with
monitoring and evaluation, although research costs will
not be included in the analysis. Appropriate sensitivity
analyses will be used to explore the implication of
uncertainty of assumptions. The cost of scaling up the
interventions at national level will be estimated in order
to explore cost-saving opportunities and to investigate
issues of generalisability beyond the trial context and
beyond domestic boundaries. and the cost per newborn infant exclusively breastfed. We will collect information on the costs associated with
monitoring and evaluation, although research costs will
not be included in the analysis. Appropriate sensitivity
analyses will be used to explore the implication of
uncertainty of assumptions. Quality control
O One enumerator per cluster will identify births and
deaths, and each event will be cross-checked by one
interviewer. Supervisors will make regular field visits to
check the quality of work done by enumerators and
interviewers and observe some interviews. Each supervi-
sor is responsible for between six and ten clusters. Inter-
viewers will meet with enumerators weekly in order to
check on their work and receive updates on births and
deaths in their area. Supervisors will meet with inter-
viewers and enumerators fortnightly to check on their
work, discuss problems and provide quality control feed-
back. A sample of 200 one-month and six-month inter-
views has been selected to be independently re-done by
the supervisor, in order to be able to estimate recall and
interviewer error rates. For residents or respondents who are permanently
unavailable, basic information about dates and timings
of events is sought from other community members
such as friends or neighbours. Dealing with loss to follow-up g
p
Minimising loss to follow-up is an important aspect of
trial conduct. Certain features of this location and popula-
tion dynamic need special attention for outcome tracking:
a) Residents of Mchinji move seasonally to maximise their
access to fertile land during the farming season, both
within the district and across international borders into
Zambia and Mozambique; b) Residents of Mchinji may go
home for delivery and some time after birth (to other
villages within Mchinji or to other districts); c) Non-
residents may come into Mchinji from other districts for
delivery and some time after birth; d) Families may move
after a woman’s death, making it difficult to find respon-
dents who know the details of what happened; e) High
population turnover in trading centres and commercial
farm estates; f) Women being busy working in their
gardens, or at community gatherings such as funerals and
chieftainship ceremonies, making them unavailable for
interview; g) Weather conditions making roads impassable
and conducting interviews difficult. Qualitative information will be audio recorded after
receiving verbal consent from respondents. Data in Chi-
chewa will be translated into English by a bilingual
speaker. To ensure conceptual, grammatical, and syntac-
tical equivalence, translations will be reviewed collabora-
tively by the researcher who obtained the data and the
translator (both bilingual Chichewa-English speakers),
and the lead researcher (English speaker). This team will
make decisions about the best terms to use. All data
will subsequently be transcribed and imported into a
database in MAXqda 2 (VERBI Software version 2). For residents or respondents who are temporarily una-
vailable, the main strategy is to keep following up until
an outcome is ascertained. All women who have ever
lived in the study areas are maintained in the database,
and appear every month in the register. Any events (such
as pregnancy or birth) that are reported but no further
details are known, are selected and lists produced to
remind field-workers of the need for follow-up. In most
cases this causes delays in getting complete data, though
basic data for estimating mortality rates are still available. In recognition of the fact that certain data collected after
a long delay will no longer be valid, sections in the ques-
tionnaire (such as infant feeding recall) are skipped. Economic evaluation The cost of scaling up the
interventions at national level will be estimated in order
to explore cost-saving opportunities and to investigate
issues of generalisability beyond the trial context and
beyond domestic boundaries. Data management
All
i
i
d All quantitative data collected will be delivered to the
main office for data entry in a relational database man-
agement system in Microsoft Access run on a dedicated
server and workstations. Each WCBA will be given a
unique ID number generated from the cluster, village
and household she comes from. All quantitative data
from the mortality surveillance, morbidity, care practice
and behaviour questionnaires and process evaluation
will be linked to the WCBAs through this unique ID. After checking and entry, all questionnaires will be
archived in a locked room for future reference. Reducing contamination Quantitative data will be checked in three stages. The
first check will be performed after completion of the
questionnaire, by the MEO in full and a nodal data Contamination may occur when people from one cluster
have contact with people from another. In the rural Page 13 of 15 Page 13 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 time the trial began, even if they move to another clus-
ter or out of the study area during the trial period. Primary and secondary outcomes will be compared
between intervention and control groups with random
effects logistic regression models, taking account of clus-
tering. Potential confounding factors will be included in
the model, and measures of baseline mortality will be
included in order to adjust for any imbalances in rando-
misation at the outset. Cluster-level data will be
compared using modified t-tests. All estimates will be
presented with 95% confidence intervals. villages of Mchinji, there are many opportunities for social
mixing. Friends, relatives or neighbours may mix socially,
or contact may be made through travel or migration
between intervention and control clusters. There might be
direct participation of residents from control areas in WG
or VMC activities, or more likely, informal discussion of
ideas from WG or VMC activities - control area residents
may gain some benefit from hearing health messages
received by intervention participants. The usual effect of
this kind of contamination would be ‘dilution’ of the
differences between treatment arms [43]. In order to reduce the possibility of contamination, we
opted to use clusters of villages rather than individual vil-
lages as the unit of randomisation, thus reducing rates of
travel across cluster boundaries [43]. Furthermore, each
zone had a defined ‘buffer area’ around the perimeter
(figure 2). A population of 3000 in each zone was
required to achieve the desired sample size, but rather
than selecting villages at random from each zone, only
villages at the centre of the zonal area were eligible for
inclusion in surveillance and intervention activities. This
reduced the possibility of communication between neigh-
bouring study villages in intervention and control areas. Data collected from the project both during the baseline
phase and the intervention phase mean that we will be
able to look at overall changes in outcome indicators over
time. Community consultation Verbal and written consent was received from commu-
nity leaders after full consultation and discussions. The
regional, district and village leaders, and local health
and development professionals will have ongoing access
to the research programme and will be the first to be
briefed on study findings and outcomes through written
and verbal reports. Ethical issues
Approvals Ethical permission for this study was granted by the
Malawi National Health Sciences Research Committee
in January 2003 (Ref: MED/4/36/I/167) and the ethics
committee of the UCL Institute of Child Health and
Great Ormond Street Hospital. It is registered with
ISRCTN06477126. Reducing contamination Factors other than the study interventions may influ-
ence health indicators seen, such as other mother and
child health programs in the area, or positive reporting
and the Hawthorne effect [45]. If mother and child health
programs are only active within some of the cluster areas
then these can be examined separately if necessary. y
y
Analysis of qualitative data will involve iteratively
developing a system of codes and memos jointly by the
lead researcher and the researcher who collected the
data. This method will seek to develop an analytical
framework based on the data by coding and memoing
pertinent excerpts that illustrate emerging themes. Sub-
sequently, in an iterative process, the researchers will
refine their analysis ensuring that the themes that are
built up are cross-checked with other data firstly within
and then between transcripts so that the validity of
emerging explanations is tested and improved. The qua-
litative data will also be used to interpret and contextua-
lise the quantitative data collected. MAXqda 2 software
will be used to facilitate this analysis. Women’s group facilitators and volunteer counsellors
are residents of the zone in which they work. This
reduces the possibility that they might transfer interven-
tion benefits to neighbouring communities. For the WG
trial, whilst health messages are discussed in group
meetings, it is unlikely that neighbouring control com-
munities would spontaneously mobilise themselves with-
out the presence of a facilitator. So the purported
benefits of community empowerment and social capital
are unlikely to spread beyond intervention areas. Interim analyses and stopping rules An independent Data Safety and Monitoring Board
(DSMB) will meet several times according to the
DAMOCLES statement, [44] to review progress and
advise on the conduct of the trial. They will assess com-
pliance with the protocol, data quality and complete-
ness, recruitment figures, sample size assumptions and
ethical considerations. The meetings will not include
analysis of outcome data by intervention allocation until
completion of the trial. Baseline data will be reviewed to
evaluate how well balanced the clusters were after ran-
domisation and suggest any adjustments that may need
to be made. We do not foresee any adverse effects of
community mobilisation or peer counselling, so we do
not intend to apply stopping rules. Competing interests
Th
h
d
l
h The authors declare that they have no competing interests. The authors declare that they have no competing interests. Confidentiality of information All information will remain confidential. Access to infor-
mation will be limited to interviewers and their supervi-
sors at sites of collection, to auditors and data feeders at
the collation point and thence to the senior data manage-
ment officers and principal investigators. No analyses or
reports will include the names of participants. Author details
1 1Centre for International Health and Development, UCL Institute of Child
Health, 30 Guilford St, WC1N 1EH, London, UK. 2Kamuzu Central Hospital,
Ministry of Health, Lilongwe, Malawi. 3Baylor College of Medicine Children’s
Foundation, Private Bag B-397, Lilongwe, Malawi. 4MaiMwana Project, PO
Box 2, Mchinji, Malawi. 5St George’s Hospital NHS Trust, Paediatric Infectious
Diseases, Blackshaw Road, London SW17 0BY, UK. 6Africa Centre for Health
and Population Studies, University of KwaZulu-Natal, South Africa. Sustainability and scalability Received: 28 May 2010 Accepted: 17 September 2010
Published: 17 September 2010 Received: 28 May 2010 Accepted: 17 September 2010
Published: 17 September 2010 Received: 28 May 2010 Accepted: 17 September 2010
Published: 17 September 2010 A key objective is to take lessons learned quickly to
scale in other districts, through our partners. The Minis-
try of Health in Malawi will be involved throughout the
implementation of this project. At a local level we will
work closely with the district development committees,
local community representatives and locally active
NGOs. The Mchinji District Health Office will play a
key collaborative role. We will also work closely with
UNICEF, Malawi and the National AIDS Commission,
to implement PMTCT activities. Individual consent Treatment of illness in participating communities The study is designed to test the community effective-
ness of two community-level initiatives to reduce mater-
nal, infant, neonatal and perinatal mortality in rural
Africa. Encouraging community action for maternal and
newborn care alone will not grant success. For health
promotion interventions to work, the supply side of
health care services must reach a minimum standard. g
The trial funding was initially provided by Saving Newborn Lives with later
contributions from the UK Department for International Development, the References 1. Countdown Coverage Writing Group, Countdown to 2015 Core Group,
Bryce J, Daelmans B, Dwivedi A, Fauveau V, Lawn JE, Mason E, Newby H,
Shankar A, et al: Countdown to 2015 for maternal, newborn, and child
survival: the 2008 report on tracking coverage of interventions. Lancet
2008, 371:1247-1258. 2. National Statistical Office, Malawi, Macro ORC: Malawi Demographic and
Health Survey, 2004. Malawi Demographic and Health Survey, 2004 2005,
454, City 454. 2. National Statistical Office, Malawi, Macro ORC: Malawi Demographic and
Health Survey, 2004. Malawi Demographic and Health Survey, 2004 2005,
454, City 454. 3. Kongnyuy EJ, Mlava G, van den Broek N: Facility-based maternal death
review in three districts in the central region of Malawi: an analysis of
causes and characteristics of maternal deaths. Women’s health issues:
official publication of the Jacobs Institute of Women’s Health 2009, 19:14-20. 3. Kongnyuy EJ, Mlava G, van den Broek N: Facility-based maternal death
review in three districts in the central region of Malawi: an analysis of
causes and characteristics of maternal deaths. Women’s health issues:
official publication of the Jacobs Institute of Women’s Health 2009, 19:14-20. 4. Bland RM, Rollins NC, Coovadia HM, Coutsoudis A, Newell ML: Infant
feeding counselling for HIV-infected and uninfected women:
appropriateness of choice and practice. Bull World Health Organ 2007,
85:289-296. Community-based team members have been recruited
locally and carry out their activities in their home areas. We will attempt to maintain intervention costs to a
minimum so that they can be adopted by the Ministry
of Health. 4. Bland RM, Rollins NC, Coovadia HM, Coutsoudis A, Newell ML: Infant
feeding counselling for HIV-infected and uninfected women:
appropriateness of choice and practice. Bull World Health Organ 2007,
85:289-296. 5. WHO: New WHO Recommendations: Infant feeding in the context of
HIV. Book New WHO Recommendations: Infant feeding in the context of HIV
2009, 1-4, City 1-4. 5. WHO: New WHO Recommendations: Infant feeding in the context of
HIV. Book New WHO Recommendations: Infant feeding in the context of HIV
2009, 1-4, City 1-4. Control areas will be the first beneficiaries of scale-up
if either of the interventions prove to have a positive
impact. 6. Morrow AL, Guerrero ML, Shults J, Calva JJ, Lutter C, Bravo J, Ruiz-
Palacios G, Morrow RC, Butterfoss FD: Efficacy of home-based peer
counselling to promote exclusive breastfeeding: a randomised
controlled trial. Lancet 1999, 353:1226-1231. Authors’ contributions CM is the project coordinator, contributed to the design of the study, will
be responsible for the management of the trial, and will participate in the
analysis and interpretation of data. SL contributed to the design of the
study, will coordinate the data collection and lead the analysis and wrote
the first draft of the study protocol. PK, MLN, DO and AC contributed to the
design of the study and will participate in the analysis and interpretation. TP,
MR, HC, FM, AM contributed to the design of the interventions, will be
responsible for their implementation, and will participate in the analysis and
interpretation of data. SV contributed to the design of the infant feeding
interventions and health service strengthening. CM is the director and TP
the project manager of MaiMwana, contributed to the design of the study,
and will have overall responsibility for the trial in Malawi. AC is the director
of the UCL Centre for International Health and Development, contributed to
the design of the study, and will have overall responsibility for UK partner
contributions. MR and FM contributed to the design of the interventions
and the process evaluation, and will participate in the analysis and
interpretation of data. AC, SL, CM, PK, MLN, MR, SV and DO obtained grant
funding. All authors contributed to critique and modification of the
manuscript. When the study workers identify minor or chronic ill-
ness in mothers or infants in either intervention or con-
trol areas they will encourage referral to the appropriate
health facility. Confidentiality of information Individual consent Data from the trial will be analysed by intention to treat
at both cluster and participant levels. Participants will
be assigned to the cluster they were resident in at the Before each instance of data collection, the process and
advantages and disadvantages of taking part will be Page 14 of 15 Page 14 of 15 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Wellcome Trust, National AIDS Commission, Malawi and UNICEF, Malawi. We
thank the many individuals in Mchinji District without whom the study
would not have been possible. We particularly wish to thank members of all
communities in which the project is working; the MaiMwana office and field
staff involved in running, monitoring and evaluating the interventions; the
District Health Officers and District Health Management Team for their
ongoing support, the Mchinji District Executive Committee, traditional
leaders and other non-governmental organizations working in the district. Wellcome Trust, National AIDS Commission, Malawi and UNICEF, Malawi. We
thank the many individuals in Mchinji District without whom the study
would not have been possible. We particularly wish to thank members of all
communities in which the project is working; the MaiMwana office and field
staff involved in running, monitoring and evaluating the interventions; the
District Health Officers and District Health Management Team for their
ongoing support, the Mchinji District Executive Committee, traditional
leaders and other non-governmental organizations working in the district. explained to all participants. Verbal consent will be
obtained, and participants informed that they can stop
taking part at any time. Participation in intervention
activities is voluntary, and women may choose to start
or stop as they wish. Benefits to the control communities The study is designed to test the community effective-
ness of two community-level initiatives to reduce mater-
nal, infant, neonatal and perinatal mortality in rural
Africa. Encouraging community action for maternal and
newborn care alone will not grant success. For health
promotion interventions to work, the supply side of
health care services must reach a minimum standard. The study team considers it unethical to strengthen ser-
vices only in intervention and not control areas. Control
communities will benefit from low-cost improvements
in equipment, supplies and training at all primary level
facilities in the district in intervention and control areas. Lewycka et al. Trials 2010, 11:88
http://www.trialsjournal.com/content/11/1/88 Lewycka et al. Trials 2010, 11:88
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PERFORMANCE EVALUATION OF BUILDING FAÇADE RECONSTRUCTION FROM UAS IMAGERY
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1. INTRODUCTION features in buildings (Ajayi, 2018). This is primarily due to the
availability and ease of use that UASs systems have and
improvements in the methodology to refine image quality
(Eschmann et al., 2012; Adams et al., 2014). Despite the
promising results that previous studies have shown, there is still
an apparent lack of studies that assess the performance of these
systems (Peppa et al., 2019). A similar lack of studies has also
focused on UASs systems using cloud-to-cloud (C2C) point
accuracy to assess these systems (Martinez et al., 2021). For
these reasons, it is crucial to perform an accuracy assessment of
UAS collected data using C2C point accuracy. features in buildings (Ajayi, 2018). This is primarily due to the
availability and ease of use that UASs systems have and
improvements in the methodology to refine image quality
(Eschmann et al., 2012; Adams et al., 2014). Despite the
promising results that previous studies have shown, there is still
an apparent lack of studies that assess the performance of these
systems (Peppa et al., 2019). A similar lack of studies has also
focused on UASs systems using cloud-to-cloud (C2C) point
accuracy to assess these systems (Martinez et al., 2021). For
these reasons, it is crucial to perform an accuracy assessment of
UAS collected data using C2C point accuracy. Photogrammetry is the process in which information is obtained
regarding objects' properties without the need for physical
contact (Mikhail, 2001). Current photogrammetric methods are
usually
divided
into
two
distinct
groups:
terrestrial
photogrammetry (Aber et al., 2010). While this method is useful
in
gathering
information
at
a
distance,
terrestrial
photogrammetry still requires someone to be on-site, potentially
exposed to any hazards present on-site, and potentially having to
deal with unstable ground that could also affect image quality
(Erlandson and Veress, 1974). The more recent type of
photogrammetry is aerial photogrammetry. In this study, a building was reconstructed using a UAS. Three
independent flights were performed involving a different flying
height and camera angle. To evaluate the performance of
building façade reconstruction from UAS imagery the building
was scanned using a Terrestrial Laser Scanner (TLS). Subsequently, the UAS imagery and TLS data was processed for
comparison. The best results of the mean, median, and standard
deviation of the C2C were 0.023, 0.014, and 0.023 meters,
respectively, with a flying height of 150’ and an orbit of 80’. 2. MATERIALS AND METHODS The procedure used to evaluate the photogrammetric mapping
accuracy of building façade reconstruction from UAS imagery is
summarized in Figure 1. PERFORMANCE EVALUATION OF BUILDING FAÇADE RECONSTRUCTION FROM
UAS IMAGERY
Edward R. Clay1, Kara S. Lee1, Sheng Tan1, Long Ngo Hoang Truong2, Omar E. Mora1*, Wen Cheng1 1Civil Engineering Department, California State Polytechnic University, Pomona, USA – (erclay, karalee, shengtan, oemora, and
wcheng)@cpp.edu
2Department of Computer Science, California State Polytechnic University, Pomona, USA – lntruong@cpp.edu KEY WORDS: Unmanned Aircraft System (UAS), Ground Control Point (GCP), Photogrammetry, Point Cloud, Cloud-to-Cloud
(C2C), Accuracy, Reconstruction. ABSTRACT: Unmanned Aircraft Systems (UASs) coupled with low-cost cameras are rapidly becoming a cost-effective alternative for surveying
and mapping, particularly for civil, construction, and environmental engineering applications. The proliferation of UASs provide
unique opportunities to map and model surfaces at unprecedented spatial and temporal resolutions. Although, UASs have been
extensively evaluated for mapping and modeling, limited research has been performed on assessing the accuracy of UAS imagery for
building façade reconstruction. In this study, a performance evaluation of UAS mapping for building façade reconstruction is
performed. Our results suggest that there are many aspects that impact the accuracy of UAS photogrammetry for building façade
reconstruction. In specific, the texture, contrast, and subtle details influence the generated point cloud, thus complicating the building
façade reconstruction. The best results were obtained by strategizing the flying height and camera angle; where, the mean, median, and
standard deviation for the cloud-to-cloud (C2C) absolute distances were 0.023, 0.014, and 0.023 meters, respectively, by applying a
flying height of 150’ with an orbit at 80’. Therefore, it may be concluded that UAS photogrammetric mapping can meet sub-decimeter
accuracy for building façade reconstruction, if proper planning, data collection and processing procedures are followed. 1. INTRODUCTION Therefore, it may be concluded that the use of UAS
photogrammetric mapping for building façade reconstruction can
meet sub-decimeter accuracy as long as proper planning, data
collection, and processing procedures are followed. As the name suggests, aerial photogrammetry is taking images
from an aerial point of view. Originally, this included taking
photographs from airplanes which allow for larger expanses of
land to be recorded in short amounts of time; however, this
method has been flawed due to the need for adequate elevation,
preventing the ability to obtain more detailed photos of specific
structures (Sowmya and Trinder, 2000). In more recent years,
aerial photogrammetry has become more popular due to the
improvements and availability in Unmanned Aircraft Systems
(UASs). UAS, paired with different vision-based systems and
computer vision algorithms, provide opportunities to collect,
process, and reconstruct the three-dimensional (3D) position of
surface features (Colomina and Molina, 2014). UASs combined
with these vision-based systems provide distinct advantages for
noncontact, high temporal, and spatial resolution data (Rakha
and Gorodetsky, 2018; Mora et al., 2019). For these reasons,
UASs have been utilized in determining the elevation of road
runoff (Díaz-Vilariño et al., 2016), glaciological measurements
(Whitehead et al., 2013), as well as georeferencing (Gabrlik,
2015), to name a few applications. This contribution has been peer-reviewed.
https://doi.org/10.5194/isprs-archives-XLVI-M-2-2022-65-2022 | © Author(s) 2022. CC BY 4.0 License. The International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume XLVI-M-2-2022
ASPRS 2022 Annual Conference, 6–8 February & 21–25 March 2022, Denver, Colorado, USA & virtual The International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume XLVI-M-2-2022
ASPRS 2022 Annual Conference, 6–8 February & 21–25 March 2022, Denver, Colorado, USA & virtual 2.5 Terrestrial Laser Scanning A Trimble TX8 laser scanner was used to capture the 3D point
cloud of the building, which served as the ground truth for
comparing the UAS point clouds from the three flights. This
survey was performed by scanning the parking lot at six scan
stations and georeferenced using spheres placed strategically to
be visible from at minimum two scan stations. The spheres were
placed by using a 2 m rod and bipod at each sphere station. Registration of the six Terrestrial Laser Scanning (TLS) point
clouds was performed using Trimble RealWorks software. Upon
completing the registration, a visual inspection was performed to
ensure proper registration. Subsequently, the point clouds were
segmented and filtered as shown in Figure 2. The final
processing steps are similar to those from the UAS point clouds,
which consist of the preparation of the point clouds to be
imported into CloudCompare, where the TLS point cloud will be
evaluated against the three UAS point clouds. Figure 2. Filtered building façade used for this study. Figure 2. Filtered building façade used for this study. were Trimble R10 systems, while the total station was a Trimble
S7. were Trimble R10 systems, while the total station was a Trimble
S7. Figure 1. Flowchart of the Methodology. 2.2 Image Acquisition The images were acquired from a Phantom 4 Pro v2.0. The UAS
was equipped with a 20 megapixels camera sensor (5,472 ×
3,648) and a mechanical shutter. The shutter speed was adjusted
based on lighting condition, UAS speed, and flight altitude at
flight time to minimize image blurring. The mission was carried
out autonomously using the software DroneDeploy, where a total
of three different flights were performed. Flight 1, 2, and 3 had a
flying height of 30, 46, and 46 meters, respectively. In addition,
flight 3 was flown following an orbital path around the building
at a flying altitude of 24 meters. The forward and side overlap
for all flights was 80 and 70 %, respectively. 2.6 Cloud-to-Cloud Comparison The point cloud analysis compared the UAS and TLS point
clouds. It is important to note that performing a cloud-to-cloud
(C2C) comparison is challenging due to the irregular point
spacing from the UAS and TLS point cloud datasets, and no
commonly recognized method currently exists for assessing
point cloud accuracy (Mora et al., 2019) related to building
façade reconstruction. For these reasons, we chose to perform a
Cloud-to-Cloud (C2C) absolute distance comparison in
CloudCompare by computing the nearest neighbor distance
between the reference (i.e., ground truth/TLS point cloud) and
the compared cloud (i.e., UAS point cloud). In this approach, the
Euclidean distance is computed between each point in the
compared cloud with the nearest point in the reference cloud
(Mora et al., 2019). The analysis involved both a tabular
summary and visualization to reveal spatial patterns between the
two-point clouds. It is noted that only a portion of the north,
south, east, and west wall was chosen to evaluate the spatial
trends within the building. Each section evaluated (outlined in
red in Figure 3) was selected due to their planar geometry. Flight
1, 2, and 3 will be referred to as Test 1, 2, and 3, respectively,
herein. 2.4 Photogrammetric Processing The photogrammetric process was carried out using Bentley
ContextCapture, update 17 - v10.17.0.39. This photogrammetric
software is based on the structure-from-motion methodology. The workflow follows a four-step process. The first step is to
import the imagery and GCPs. The second step is to perform the
photo ID to identify all GCPs/checkpoints in all corresponding
images. The third step is to align the images by automatic feature
identification and matching. The software simultaneously
estimates both the internal and external parameters, including
radial and tangential distortion. The result of this step is the
camera position corresponding to each image, the internal
camera calibration parameters, and the 3D coordinates of a
sparse point cloud of the terrain. The final step is to create the
dense point cloud and apply texture to the mesh. In general, the
bundle adjustment can be carried out using a minimum of three
GCPs; however, better results are obtained using more GCPs,
which is recommended to achieve the best accuracy. Figure 1. Flowchart of the Methodology. Figure 2. Filtered building façade used for this study. This contribution has been peer-reviewed.
https://doi.org/10.5194/isprs-archives-XLVI-M-2-2022-65-2022 | © Author(s) 2022. CC BY 4.0 License. 2.1 Study Area The study area is a rectangular building located in Ontario,
California, United States of America (Latitude: 34° 04′ 22.90” N,
Longitude: 117° 33′ 44.20” W). This building was chosen for its
unique architectural features, in which its walls are relatively flat
with subtle texture. The amount of vegetation occluding the Since the mid-2000s, there has been a significant step towards
utilizing photogeometric methods to measure critical features on
buildings (Shashi and Jain, 2007; Grussenmeyer et al., 2008;
Galantucci and Fatiguso, 2019). Much due to the advancements
in UASs, these systems have also seen use in mapping key 65 The International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume XLVI-M-2-2022
ASPRS 2022 Annual Conference, 6–8 February & 21–25 March 2022, Denver, Colorado, USA & virtual The International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume XLVI-M-2-2022
ASPRS 2022 Annual Conference, 6–8 February & 21–25 March 2022, Denver, Colorado, USA & virtual building is minimal and despite its presence it can be filtered as
shown in Figure 2. 2.3 Ground Control Points Prior to the image acquisition, six Ground Control Points (GCPs)
were set around the project site to be used in the
aerotriangulation. The three-dimensional coordinates of the
GCPs were measured first with a Global Navigation Satellite
System (GNSS) rover in Real-Time Kinematic (RTK) mode,
with the base station located within the project site. Subsequently, the GCPs were measured with a total station for
verification. The difference when comparing the traverse
between the GNSS RTK and total station measurements was
observed to have a total closure error of 0.012 meters and 00° 00’
02”. The horizontal coordinates were processed to the California
State Plane Coordinate System Zone 5, while the vertical was in
the North American Vertical Datum of 1988. The base and rover 66 The International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume XLVI-M-2-2022
ASPRS 2022 Annual Conference, 6–8 February & 21–25 March 2022, Denver, Colorado, USA & virtual The International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume XLVI-M-2-2022
ASPRS 2022 Annual Conference, 6–8 February & 21–25 March 2022, Denver, Colorado, USA & virtual Figure 3. Building façade areas to be compared between UAS
and TLS point clouds are outlined in red for each wall. appears to perform better. This can be attributed to the clarity of
the scans that test 3 produces, as shown in Figure 3. In Figure 3,
the north and south walls have some gaps, whereas these same
walls in test 2 do not have gaps in the data. Since the primary
change between each test is the flying height, the angles in which
the UAS imagery is acquired from may produce some levels of
light distortion that could have affected the point cloud (Mancini
et al., 2013), especially for a light texture less wall. Another
critical factor that could have affected the results is the time of
day at which each flight was performed. Several previous studies
have speculated that light levels and angle of reflections have
adverse effects upon the cloud point accuracy (Ishida, 2017;
Álvares et al., 2018). For this reason, it is suggested that future
research also consider this factor when performing image
acquisition from a UAS. 3. RESULTS The results are summarized in Table 1 and are shown as box plots
in Figure 4 for all three tests along the north, south, east, and west
walls. To evaluate the performance of each test, the overall mean,
median, standard deviation, minimum, and maximum C2C
distances are considered. The size of the area of interest, is
expected to be a representative sample of the building façade
planar geometry. Despite taking careful consideration to identify
areas of interest along each wall, not every test produced clear
results. This is apparent in the south wall for test 1 and 2 shown
in Figure 5. A reason may be due to a “rip” in the scans present
in tests 1 and 2, where there are excessive light levels (Gaulton
and Malthus, 2010). The extreme light levels can also be seen in
test 3 for the north and east walls and the laser scans of both the
south and eastern walls. Another potential explanation is a
combination of the area of interest and its proximity to windows,
as it has been suggested to affect point cloud accuracy in previous
studies (Mian et al., 2014; Koivumäki et al., 2021). For these
reasons, the south wall area of interest for test 1 and test 2 are
limited as shown in Table 1. This study aims to provide further insight into flying height and
point cloud accuracy for building façade reconstruction. Using a
TLS as a baseline, it is possible to determine the level of accuracy
that can be obtained compared to a pre-established method that
has historically shown high accuracy levels (Hackenberg et al.,
2014; Li et al., 2020). In addition, this study aims to determine
the optimal flying height that will lead to results with higher
levels of accuracy and consistency. Test 3 provided a mean,
median, and standard deviation of 0.023, 0.014, and 0.023
meters, respectively, outperforming both tests 1 and test 2. With
these results, it is suggested that the UAS image acquisition with
a flying height of 46 meters and an orbit of 24 meters produces
favorable results and should be looked into further when
conducting C2C analysis. The box plots in Figure 4 comprise information related to the
mean and standard deviations along all four walls for the three
tests. 2.3 Ground Control Points Test 1
Wall
Mean
(m)
Median
(m)
STD
(m)
Min
(m)
Max
(m)
North
0.016
0.013
0.013
0.000
0.061
South
0.514
0.535
0.264
0.000
1.014
East
0.050
0.043
0.040
0.000
0.212
West
0.027
0.021
0.022
0.000
0.094
Total
0.152
0.153
0.085
0.000
0.345
Test 2
North
0.016
0.013
0.013
0.000
0.061
South
0.060
0.050
0.042
0.000
0.137
East
0.014
0.011
0.013
0.000
0.118
West
0.021
0.012
0.022
0.000
0.123
Total
0.028
0.021
0.022
0.000
0.110
Test 3
North
0.028
0.017
0.026
0.000
0.100
South
0.024
0.015
0.021
0.000
0.086
East
0.033
0.020
0.039
0.000
0.220
West
0.007
0.005
0.006
0.000
0.046
Total
0.023
0.014
0.023
0.000
0.113
Table 1. Summary of C2C absolute distance for each test along
each wall. Figure 3. Building façade areas to be compared between UAS
and TLS point clouds are outlined in red for each wall. Figure 3. Building façade areas to be compared between UAS
and TLS point clouds are outlined in red for each wall. This contribution has been peer-reviewed.
https://doi.org/10.5194/isprs-archives-XLVI-M-2-2022-65-2022 | © Author(s) 2022. CC BY 4.0 License. ACKNOWLEDGEMENTS The authors want to thank the WestLAND Group, Inc. for
helping with the data collection for this study. Figure 5. C2C results for test 1, 2, and 3 along the north, south,
east, and west walls. 3. RESULTS Reviewing Table 1 and comparing the results with Figure
4, it appears that test 3 performs better overall compared to either
test 1 or 2. This conclusion is apparent in the south and west
walls, as test 3 has a significantly lower error than its
counterparts. Unfortunately, in the north and south walls, test 2 67 The International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume XLVI-M-2-2022
ASPRS 2022 Annual Conference, 6–8 February & 21–25 March 2022, Denver, Colorado, USA & virtual The International Archives of the Photogrammetry, Remote Sensing and Spatial Information Sciences, Volume XLVI-M-2-2022
ASPRS 2022 Annual Conference, 6–8 February & 21–25 March 2022, Denver, Colorado, USA & virtual Figure 4. Box plots of C2C absolute distance for each test along each wall. Figure 4. Box plots of C2C absolute distance for each test along each wall. 4. CONCLUSIONS Figure 5. C2C results for test 1, 2, and 3 along the north, south,
east, and west walls. As a result of this study, the need for a more comprehensive study
regarding the UAS flying height in which image acquisition is
performed for building façade reconstruction is needed. The test
that provided the best results in terms of C2C absolute distance
is test 3, in which the UAS was flown at the height of 46 meters
and an orbit of 24 meters. As this height changes, the quality of
each UAS point cloud will vary; however, other factors outside
of flying height will also influence the accuracy of the point
clouds. The time of day is likely to affect the quality of each point
cloud with the subsequent angle of the sun. The light levels are
also a potential factor in the quality of UAS point clouds, which
may or may not be amplified by the flying height of the UAS. For these reasons, this study considers these variables when
evaluating the performance of building façade reconstruction
from UAS imagery. In this study, the best results were obtained by determining which
test yielded the lowest C2C absolute distance. Our results
showed that test 3 yielded the lowest overall error with a mean,
median, and standard deviation of 0.023, 0.014, and 0.023
meters, respectively, meeting sub-decimeter accuracy. Based on
these results, UAS façade reconstruction is not only possible but
can be preferred if traditional methods are not feasible as long as
proper planning, data collection, and processing procedures are
followed. This contribution has been peer-reviewed.
https://doi.org/10.5194/isprs-archives-XLVI-M-2-2022-65-2022 | © Author(s) 2022. CC BY 4.0 License. Assessment of Lidar Point Cloud from NAIP/3DEP Pilot Project.
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Optical coactivation in cortical cells: reprogramming the excitation-inhibition balancing act to control neuronal gain in abstract and detailed models
|
BMC neuroscience
| 2,014
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cc-by
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Optical coactivation in cortical cells:
reprogramming the excitation-inhibition
balancing act to control neuronal gain in abstract
and detailed models Sarah J Jarvis1*, Konstantin Nikolic2,3, Simon R Schultz1 From The Twenty Third Annual Computational Neuroscience Meeting: CNS*2014
Québec City, Canada. 26-31 July 2014 The interplay of excitatory and inhibitory activity in neu-
ronal populations is finely regulated within cortical layers,
with their imbalance being heavily implicated as the
underlying cause for many neurological disorders, such as
autism, schizophrenia and epilepsy. A key regulatory
mechanism is gain modulation, in which the amplitude of
response changes while the cell’s selectivity remains unaf-
fected. Previous work has addressed gain modulation by
examining the interplay of excitatory and inhibitory input
at the soma [1]. However, given the non-linear integration
that occurs in dendritic arbors, it remains unclear how
gain is modulated when the input is located at synaptic
locations. For investigating and manipulating this balance
of activity throughout the entire neuronal morphology,
optogenetics is a powerful tool due to the fine temporal
and spatial precision it provides [2]. Furthermore, due to
the development of excitatory opsins, such as Channelrho-
dopsin-2 (ChR2), that depolarize neuronal membrane and
silencing opsins, including halorhodopsin (NpHR), that
hyperpolarize the membrane, disjoint subdomains of the
dendritic and soma morphology can be targeted. This cap-
ability has recently been furthered by the development of
co-activated opsins, such as ChR2-NpHR [3], which allow
independent excitation and inhibition within the same
neural population due to the different preferential excita-
tion wavelengths of each opsin (l=490, 585nm for ChR2
and NpHR respectively). Together, these opsins provide a
potential window through which to examine the interplay
of competing excitatory and inhibitory inputs for differing
spatial and temporal patterns of activation. We demonstrated previously that gain modulation in
a detailed model of a Layer 5 Pyramidal cell using co-
activated opsins is possible but highly dependent on the
dendritic subdomains targeted [4,5], with whole cell illu-
mination necessary to illicit gain modulation. In con-
trast, partial illumination of only the apical dendrites
and soma resulted in no gain modulation. This suggests
a strong link between potential for gain modulation and
neuron morphology. While this result helps to untangle
the relative contribution of excitatory and inhibitory
influences, and warns of inadvertent errors when shal-
low illumination occurs experimentally. We investigate this relation by first testing optical activa-
tion in abstracted neuron morphologies that include mod-
els of ChR2 and NpHR. © 2014 Jarvis 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 cited. 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. Jarvis et al. BMC Neuroscience 2014, 15(Suppl 1):F1
http://www.biomedcentral.com/1471-2202/15/S1/F1 Jarvis et al. BMC Neuroscience 2014, 15(Suppl 1):F1
http://www.biomedcentral.com/1471-2202/15/S1/F1 Open Access FEATURED TALK PRESENTATION FEATURED TALK PRESENTATION * Correspondence: s.jarvis@imperial.ac.uk
1Department of Bioengineering, Imperial College, London SW7 2AZ UK
Full list of author information is available at the end of the article Optical coactivation in cortical cells:
reprogramming the excitation-inhibition
balancing act to control neuronal gain in abstract
and detailed models By creating a family of neural
morphologies that extend a simple ball-and-stick neuron
model, we investigate how uni-, bi- and multi-polar
neurons vary gain modulation upon partial illumination. External driving input is provided as both current injection
and as multiple synaptic-like events at locations on den-
drites, rather than the soma, to mimic input conditions for
both in vitro and in vivo experiments. Using these models,
we identify optimal illumination strategies for each mor-
phological class of neuron, and predict how robust neuro-
nal response is upon partial illumination. Finally, we test
detailed neuron morphologies, including stellate interneur-
ons, to test the predictions made by our abstract models. Our results highlight the role of dendritic subdomains
and the localized contribution of excitatory and inhibitory
activity in gain modulation. Importantly, our model allows
us to predict experimental illumination strategies that are
tailored to neuronal morphology and are robust to any
limitations that can occur experimentally. * Correspondence: s.jarvis@imperial.ac.uk
1Department of Bioengineering, Imperial College, London SW7 2AZ UK
Full list of author information is available at the end of the article Page 2 of 2 Page 2 of 2 Jarvis et al. BMC Neuroscience 2014, 15(Suppl 1):F1
http://www.biomedcentral.com/1471-2202/15/S1/F1 Acknowledgements This work was supported by Wellcome Trust grant 097816/Z/11/A. SJJ is
supported by Marie Curie Intra-European Fellowship within the 7th
European Community Framework Programme. European Community Framework Programme. Authors’ details
1
f 1Department of Bioengineering, Imperial College, London SW7 2AZ UK. 2Institute of Biomedical Engineering, Department of Electrical and Electronic
Engineering, Imperial College, London SW7 2AZ UK. References 1. Chance FS, Abbott LF, Reyes AD: Gain modulation from background
synaptic input. Neuron 2002, 35:773-782. 2. Boyden ES, Zhang F, Bamberg E, Nagel G, Deisseroth K: Millisecond-
timescale, genetically targeted optical control of neural activity. Nat
Neurosci 2005, 8(9):1263-1268. 3. Han X, Boyden ES: Multiple-color optical activation, silencing, and
desynchronization of neural activity, with single-spike temporal
resolution. PLoS one 2007, 2(3):e299. 4. Grossman N, Simiaki V, Martinet C, Toumazou C, Schultz SR, Nikolic K: The
spatial pattern of light determines the kinetics and modulates
backpropagation of optogenetic action potentials. J Comp Neurosci 2013,
34(3):477-488. 5. Jarvis S, Nikolic K, Grossman N, Schultz SR: Controlling the neuronal
balancing act: optical coactivation of excitation and inhibition in
neuronal subdomains. BMC Neuroscience 2013, 34(3):477-488. 6. Nikolic K, Jarvis S, Grossman N, Schultz SR: Computational models of
optogenetic tools for controlling neural circuits with light. Proceedings of
the 35th Annual International Conference of the IEEE Engineering in Medicine
& Biology Society (EMBC ’13) Osaka, Japan; 2013. doi:10.1186/1471-2202-15-S1-F1
Cite this article as: Jarvis et al.: Optical coactivation in cortical cells:
reprogramming the excitation-inhibition balancing act to control
neuronal gain in abstract and detailed models. BMC Neuroscience 2014
15(Suppl 1):F1. doi:10.1186/1471-2202-15-S1-F1
Cite this article as: Jarvis et al.: Optical coactivation in cortical cells:
reprogramming the excitation-inhibition balancing act to control
neuronal gain in abstract and detailed models. BMC Neuroscience 2014
15(Suppl 1):F1. Submit your next manuscript to BioMed Central
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The Transmission of Chinese Medicine in Australia
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Mary Garvey, University of Technology, Sydney Mary Garvey, University of Technology, Sydney PORTAL Journal of Multidisciplinary International Studies, vol. 8, no. 2, July 2011. , g
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ISSN: 1449-2490; http://epress.lib.uts.edu.au/ojs/index.php/portal ,
Issue, guest edited by Beatriz Carrillo García and Devleena Ghosh. f
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Health and Borders Across Time and Cultures: China, India and the Indian Ocean Region Special ;
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PORTAL is published under the auspices of UTSePress, Sydney, Australia. PORTAL Journal of Multidisciplinary International Studies, vol. 8, no. 2, July 2011.
Health and Borders Across Time and Cultures: China, India and the Indian Ocean Region Spec
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h Introduction Chinese medicine is a complex field with a very long history and a great many diverse
currents. Today, mainland Chinese still use Chinese medicine (CM) for the treatment of
a wide range of medical conditions, and China’s medical students study CM alongside
Western biomedicine because the nation’s integrated healthcare system delivers both. Australians also use CM for all kinds of acute and chronic illnesses even though
Australian CM practitioner training qualifies its graduates to practice Chinese
acupuncture and herbal medicine only. A brief overview of CM in China and Australia
below will highlight some of the factors that have influenced its evolution over the last
century, its transmission to Australia, and the continued challenges to its transmission in
Australia. acupuncture and herbal medicine only. A brief overview of CM in China and Australia
below will highlight some of the factors that have influenced its evolution over the last
century, its transmission to Australia, and the continued challenges to its transmission in
Australia. The transmission of CM within and outside of China has historically been possible
largely due to the textual legacy that has recorded its conceptual and therapeutic
developments. While there are a few earlier sources from the Warring States period
(476–221 BCE), China’s literary medical traditions really began in the Han dynasty (206
BCE–220 CE) with the compilation of its earliest and most famous medical classics: the
Yellow Emperor’s Internal Canon (黄帝内经 Huangdi Neijing c.100 BCE); the Canon of
Difficult Issues (难经 Nanjing c.150 CE); and the Treatise on Cold Damage and
Miscellaneous Disorders (伤寒杂病论 Shanghan Zabing Lun c.200 CE). Transmission of Chinese Medicine in Australia Garvey Garvey In Chinese libraries today there are over 12,000 pre-modern medical texts covering the
period since the Han, but only a few have been translated into modern languages in a
philologically serious way (Unschuld 1993: 24). Moreover, translations, technical
language and terminology to date have been largely interpretive, idiosyncratic and
difficult to cross-reference. Because the practitioner’s image of the medical body guides their approach to treatment,
education and training have consequences for clinical practice and for the development
of CM as a distinct discipline and healthcare profession. In Australia, English language
historical and philological research gives English speaking students and practitioners
our best access to CM’s textual tradition. This kind of research, however, rarely assists
CM clinicians with issues of medical practice. PORTAL, vol. 8, no. 2, July 2011. Introduction The model for medical history research
separated scholarship from practice in the nineteenth century, so the historical and
textual research of China’s medical traditions normally avoids discussing the
implications of medical theorising for therapeutic interventions. Nevertheless, it can
show how current concepts and practices developed from CM’s pre-modern literature;
how CM’s early texts reveal a unique image of the body; and how the Chinese medical
body image gives internal intelligibility to the discipline’s conceptual models and
therapeutic methods. In an era where we recognise the integration of physical, psychological and social
factors in health management, CM’s representations of the medical body have
explanatory insight and therapeutic potential for contemporary clinicians and healthcare
users. China’s early notions of qi (气), for example, bridge the distinction between
energy and matter, and as a medical concept, qi organises bodily phenomena into
qualitative and directional influences and substances. Qi-influences and substances form
the basis of the Chinese medical perspective on physical, cognitive, sensory and
emotional conditions, and CM’s conceptual language is linked to its therapeutic
methods (Felt 2008). CM’s traditional conceptions are detailed and holistic, and they
explain important features of body-mind physiology, disorder and treatment. Within this context, the paper explores some of the broad issues concerning the
education and training of English speaking practitioners of CM in Australia. Those
issues relate primarily to the translation of Chinese CM texts, the transmission of CM PORTAL, vol. 8, no. 2, July 2011. 2 2 Transmission of Chinese Medicine in Australia Garvey Garvey knowledge–practice, and the relevance of CM for contemporary Westerners. The
translation of Chinese language texts in this case includes the complex cultural
connotations of language, as well as the translation of classical Chinese into modern
languages; the transmission of historical texts and practices from their original
circumstances into twenty-first century medical practice; and the relevance of a foreign
medical system and body of knowledge for the Australian healthcare context. PORTAL, vol. 8, no. 2, July 2011. Institutionalisation Today, and for the first time in China’s history, CM is fully institutionalised: Chinese
medical training, qualification and practice are run by the State, and Chinese medical
care is mainly hospital based. CM colleges and clinics were first established on a
nationwide scale in the late 1950s and early 1960s as government run work units (Hsu
2000: 207). Today, those colleges and clinics are CM Universities and CM Hospitals. In the latter half of the twentieth century, the new centralised training curriculum
needed a suite of teaching materials, and CM textbooks were created for the first time. The architects of China’s twentieth century revisions sought areas of crossover between
CM and Western medicine and these were reflected in CM’s new curriculum and
materials. Transmission of Chinese Medicine in Australia Garvey regime in 1949, much of the impetus for modernisation came from the new government
policies to integrate CM with Western medicine. Recognising that the successful integration of Chinese and Western medicine required a
fairly seamless and coherent approach to healthcare, the Chinese Communist Party
(CCP) undertook an enormous effort to archive, research, revise and modernise CM. For that purpose the CCP initiated the collection of pre-modern texts; produced new
editions of classic texts and reprinted some ancient collections that had been unavailable
for centuries; and it made a concerted effort to record the folk and family lineage
practices of the masses because it was felt that all these materials and practices were the
communal property of the Chinese people (Porkert 1976; Taylor 2005). With the CCP’s sociopolitical agenda behind it, the modernisation of CM comprised a
number of major changes which can be encapsulated under three broad processes:
institutionalisation, standardisation, and scientisation and research (for more on these
changes see Farquhar 1992; Hsu 1999; Scheid 2002b & 2007; Taylor 2005). These had
the effect of organising and systematising CM, while at the same time emphasising its
‘scientific’ aspects. Their application to CM helped to adjust traditional concepts and
methods and to make CM more suitable for integration with Western medicine. Chinese medicine in China In pre-modern China there was a great diversity of health, medical and self cultivation
practices and learning. Medical practice was passed down familial lines and consisted of
secret remedies and herbal formulas that were prescribed symptomatically. Students of
medicine undertook apprenticeships with reputable doctors and the first step for literate
and scholarly medical training was to memorise the medical classics by heart. However,
by the early twentieth century, many influential Chinese considered all traditional
medical practices backward and superstitious relics of Imperial China (Croizier 1975 &
1976), and with the end of the Imperial era in 1912, scientific medicine from the West
began to take hold of the public mind. At that time, CM was far from being standardised, institutionalised or scientific. It was
not a single, cohesive, coherent system of medicine, but a mass of complex and
disparate currents that seemed to neglect objective methods and data, and even
anatomical structures and physical mechanisms. Proponents of Western bioscientific
medicine almost convinced the new Chinese Republican government to eradicate it
altogether, but instead CM was modernised. To achieve this, the modernisation of CM
during the twentieth century instigated a number of significant changes that have
affected the way we encounter CM in the West. During China’s revolutionary period in the middle of the last century, CM was
transformed into a more systematic medical discipline. The Communist government
instigated a wave of revisions that were ideological and designed to integrate CM with
‘Western medicine,’ a term used by the Chinese to refer to the scientific medicine that
had begun to filter into China via European missionaries and merchants well before the
twentieth century. The two main revisionary influences during the twentieth century
were modernisation and integration; with the coming to power of the Communist PORTAL, vol. 8, no. 2, July 2011. 3 3 Transmission of Chinese Medicine in Australia Standardisation Twentieth century revisions in the People’s Republic of China’s (PRC) included a Twentieth century revisions in the People’s Republic of China’s (PRC) included a PORTAL, vol. 8, no. 2, July 2011. 4 4 Transmission of Chinese Medicine in Australia Garvey number of projects aimed at standardising CM, starting with education and training and
extending to terminologies, theoretical principles and therapeutic content. CM textbooks
had to adjust their representations of Chinese medical concepts to demonstrate their
connections with biomedical terms and categories, and all the new topics, theories and
applications were standardised to comply with the centralised training curriculum. The standardisation of terms and concepts adopted biomedical connotations where
possible and this trend spread to their translation into English. For example, 病 bing
(illness) is translated as disease; 证 zheng (pattern) as syndrome; 消渴 xiaoke (wasting
and thirsting) as diabetes. Other projects have standardised the location of acupoints, the
analysis of illnesses and diseases according to their 气 qi patterns, and the strategies for
treatments. In the twenty-first century, China’s internal revisions are going global: in
Beijing, the CM State Administration has developed a ‘World Standard of Chinese
Medicine Undergraduate Education’ document to guide CM training outside China
(Shan 2009). PORTAL, vol. 8, no. 2, July 2011. Scientisation and Research The general acceptance of the scientific approach today has meant that its methods and
the knowledge produced by them are thought to be factual, unbiased, reliable and
widely applicable. To call a medical system ‘non-scientific’ today is to damn it as
‘arbitrary, irrational, unsystematic, misguided, ineffective and probably a danger to
health’ (Cunningham & Andrews 1997: 7). Science was applied to CM to eradicate
content deemed to be superstitious and out-dated, to correct pre-modern concepts and
diagnostic methods, to align CM with bioscientific methods and CM terms with
biomedical terms, and to evaluate the safety and efficacy of CM treatments. Some medical scientists have argued that it is possible to use and test CM from within a
bioscientific framework, while also arguing that scientific clinical research could
establish the efficacy of CM therapies and help develop a raft of new pharmaceuticals. The application of bioscientific methods usually meant removing CM’s traditional
principles and concepts, and this was considered a win-win process. Science would
make CM more efficient and more effective; and science could show the world that CM
has a great deal to offer medical care systems everywhere. 5 Transmission of Chinese Medicine in Australia Garvey Considering CM’s historical legacy, its complex and disparate currents, its neglect of
physical structures and mechanisms, its incompatible assumptions and methodological
dissonance with biomedicine, the application of bioscientific principles to CM is a
persuasive option for the contemporary healthcare industry. Pragmatists argue that CM
should jettison the traditional packaging and adapt its therapeutic tools and substances
to the biomedical paradigm. Many Chinese medical texts nowadays are written to this
end, for clinicians and researchers who want to utilise CM within a Western biomedical
framework (such as Chang 1992; Chen 1994; Chen & Chen 2004; Hou 1995; Liu & Liu
1998; Zhang 2003). Considering CM’s historical legacy, its complex and disparate currents, its neglect of
physical structures and mechanisms, its incompatible assumptions and methodological
dissonance with biomedicine, the application of bioscientific principles to CM is a
persuasive option for the contemporary healthcare industry. Pragmatists argue that CM
should jettison the traditional packaging and adapt its therapeutic tools and substances
to the biomedical paradigm. Many Chinese medical texts nowadays are written to this
end, for clinicians and researchers who want to utilise CM within a Western biomedical
framework (such as Chang 1992; Chen 1994; Chen & Chen 2004; Hou 1995; Liu & Liu
1998; Zhang 2003). Scientisation and Research Even before the twentieth century, China’s indigenous medicine already had a long
history of revisions that were designed to eradicate dogma and superstition. The PRC’s
programs of scientisation, standardisation and institutionalisation characterise the latest
overhaul, which began about one hundred years ago. Twentieth century changes have
‘modernised’ CM, making it a more suitable discipline for integration with Western
biomedicine. Chinese medicine in Australia In the mid-1800’s Chinese gold miners began to settle in Australia. By 1887, ‘there
were fifty Chinese herbal medicine practitioners on the Victorian goldfields, and by
1911 Chinese herbal remedies were available in Australia with English labels and
directions’ (Bensoussan & Myers 1996: 22). But it was not until the early 1970’s that
Chinese medicine began to attract mainstream interest, after the opening of Australia’s
diplomatic relations with China and the beginnings of acupuncture training in Sydney. Late in the 1980s, a Sydney acupuncture college developed its four-year part-time
course into an undergraduate degree program for accreditation by the NSW Higher
Education Board. From 1992 that program, followed by others incorporating Chinese
herbal medicine was absorbed into the Science and Health Sciences Faculties of four
universities in Sydney and Melbourne. Some of the PRC’s first training program textbooks became the precursors of some of
the first English language textbooks available in Australia and the West. For example,
Manfred Porkert’s The Theoretical Foundations of Chinese Medicine (1974) was based
on the Outline of TCM and Compendium of TCM (Nanjing Academy of TCM 1958;
Nanjing College of TCM 1959); John O’Connor and Dan Bensky’s Acupuncture: A 6 PORTAL, vol. 8, no. 2, July 2011. 6 Transmission of Chinese Medicine in Australia Garvey Garvey Comprehensive Text (Shanghai College of TCM 1981) was a translation of the Textbook
of Acu-Moxi-Therapy (Shanghai College of Traditional Medicine, Acu-Moxi-Therapy
Teaching Unit 1962 & 1974); and Nathan Sivin’s Traditional Medicine in
Contemporary China (1987) included a discussion and partial translation of The Revised
Outline of TCM (Beijing College of TCM 1972). During the 1970s and 1980s these
three books were the only PRC-based CM texts available in English. They introduced
Australians and other Westerners to the twentieth century’s revised CM, known outside
China as ‘Traditional Chinese Medicine’ (TCM). Today, TCM is the Chinese medical
orthodoxy in China and the West. From its modest beginnings in Australia in the 1970’s the training of CM clinicians has
moved from privately owned colleges into the university system (1992) and the
profession is moving towards national registration in 2012. Australia’s much smaller
scale institutionalisation of CM has nevertheless led to some significant gains for the
discipline and the profession, such as more access to university resources that can
provide greater opportunities for teaching and research. PORTAL, vol. 8, no. 2, July 2011. PORTAL, vol. 8, no. 2, July 2011. Chinese medicine in Australia The tertiary education and
training of practitioners in Australia has also improved CM’s public profile, aligned it
more closely with ‘mainstream’ healthcare, and when combined with national
registration, public safety and confidence in CM will be enhanced. Nevertheless, in the Australian context CM is still only one tiny fish in a very large
tertiary education and health services pond; and, unlike China’s integrated medical
degree model, which trains Chinese students in both CM and biomedicine, Australia’s
CM degrees qualify their graduates to practice CM only. Moreover, China’s medical
graduates study and practice within a health system that supports both CM and
biomedicine. In Australia there are no universities and hospitals solely devoted to CM;
within universities CM remains too small to merit school or faculty status; and there are
also no CM facilities within Australia’s government run hospital system. Thus, while in
China CM has an established academic profile, a large base of reference and research,
and the support of government policy and instruments, in Australia CM’s move into the
university setting has by default, aligned it with bioscientific health and medical
programs and their research agendas. Standardised concepts, terms, translations, acupoint locations, diagnostic parameters
and therapeutic strategies have made some significant inroads into English language PORTAL, vol. 8, no. 2, July 2011. 7 Transmission of Chinese Medicine in Australia Garvey education materials. For a discipline whose discourses and methods have been
developing over many centuries, standardisation offers a number of benefits. It gives
CM a firm foundation for education and clinical learning; and it improves
communication for education and medical practice, and between Chinese and English
speaking countries. Standardisation often means biomedicalising CM’s content and
categories, which allows clinicians and researchers to apply CM therapies to biomedical
diagnoses. Thus, from a biomedical perspective, standardisation should improve the
inter-examiner reliability of CM practice and research. However, the biomedical re-interpretation of traditional terms that has taken place
through the standardisation of terminology has lead to a sense that CM is essentially
similar to biomedicine (Waldram 2000). When guided by bioscientific disease
classification, the standardisation of CM terms displaces polysemous terms with more
fixed, biomedical meanings and relations. It removes their original contexts and
meanings and decouples them from the Chinese medical archive—their conceptual
histories and contexts. Biomedical standardisation thereby erases thousands of years of
diversity, and in doing so it removes the tradition’s inbuilt flexibility (Farquhar 1987). PORTAL, vol. 8, no. 2, July 2011. Chinese medicine in Australia The precision of biomedical technologies and research methods promise objective,
factual information, and they offer a systematic way of investigating complex systems
by isolating and testing its more simple parts or factors. Evidence based medicine relies
on these methods and technologies and overrides all other criteria for therapeutic safety,
efficacy and best practice. Because scientific clinical research determines therapeutic
safety and efficacy, it also determines ethical medical practice. The investigation of CM using bioscientific research methods, however, has proven to
be problematic in a number of ways. The research applied to CM often consists of
unpacking a clinical event, which is itself a collection of complex processes, to
systematically test an isolated factor. For example, measuring the effects on a
biomedical disease entity of a single acu-point, or a fixed protocol, or a single active
constituent derived from one of CM’s medicinal substances. CM’s practice methods and
therapies are largely incompatible with this kind of research. Classic herbal formulas are
complex interventions that are structured to address patterns of illness and dysfunction;
and both acupuncture and herbal prescriptions are adjusted to individual presentations
that change from one clinical appointment to the next. PORTAL, vol. 8, no. 2, July 2011. 8 8 Transmission of Chinese Medicine in Australia Garvey Garvey Furthermore, CM diagnosis does not rely on quantitative data derived from measuring
technologies and other objective methods. In fact, ordinary sensory information—the
patient’s subjective experiences and perceptions, and the clinician’s own observations
and interpretations—were thought to be sufficient to understand the nature of illness and
discern the mechanisms of dysfunction. The methodological constraints required by
scientific research ignore CM’s diagnostic reasoning and basic principles of practice,
alter traditional methods and standardise treatment protocols (to reduce variables for
example), and remove CM’s flexibility and responsiveness to clinical changes and
variations (Bian & Moher 2008). The options for Chinese medicine in Australia CM in Australia does not have the depth and maturity of CM in China. In Australia we
have only a few decades of marginalised practice, a very small senior practitioner
population, limited access to pre-modern texts, and a relatively slight hold on the public
mind. Our ability to study and practice CM in Australia is affected by the transmission
of CM from its traditional contexts. Specifically, these factors are related to CM’s
language and literature, its history and development, its philosophical and
methodological assumptions, and its viability in the contemporary sociopolitical
medical setting. To address the problems of language and translation, English speaking students of CM
could learn and translate Chinese. However, China’s early medical texts are notoriously
compact and difficult, even for native Chinese speakers. Consequently, an enormous
number of editions, revisions, commentaries and interpretations have accumulated
around them over the centuries, and the few English language translations we have of
these materials are of variable quality (Sivin 1993: 207). Westerners who wish to practice traditional CM strive to gain an understanding of the
discipline that corresponds to its established therapeutic methods. Traditionalism and
idealism aside, there are some pragmatic reasons to study traditional discourses. Our
ability to recognise and understand the traditional Chinese medical body and its
representations in the pre-modern literature fundamentally changes our clinical
encounters with our patients, and has ramifications for diagnostic and therapeutic
decision making (Farquhar 1994; Scheid 2002a & 2006; Zhou & Zhang 2005). By PORTAL, vol. 8, no. 2, July 2011. 9 9 Transmission of Chinese Medicine in Australia Garvey studying Chinese medical history and its pre-modern texts we expand our understanding
of how health, disease and the medical body can be conceptualised: this connects us
with the tradition and allows us to incorporate a raft of time-honoured clinical methods
and techniques. However, the odds against contemporary English speaking practitioners understanding
the Chinese medical tradition are high. To facilitate the educational and clinical
transmission of CM today China has ‘scientised’ its textbooks, and many of the
historical and cultural contexts and meanings of their content have been removed. Similarly, CM textbooks in English have changed traditional concepts: the
biomedicalisation of pre-modern terms and concepts dislocates them from CM’s
established therapeutic methods and disrupts the discipline’s internal intelligibility. PORTAL, vol. 8, no. 2, July 2011.
1 Conclusions Today, Western biomedicine is the dominant medical discourse in healthcare systems
worldwide. In China and in the rest of the world, CM has been revising its content and
concepts to adopt a more mainstream, bioscientific perspective. These revisions make
CM more suitable for integration or assimilation with biomedicine, and for investigation
using scientific perspectives and methods. The revisions that took place over the last
century are ongoing—they have aligned CM with a more biomedical perspective, they
have had important consequences for the transmission of CM in Australia and the West,
and are changing CM worldwide. Twentieth century changes to CM have organised and systematised many of the
disparate medical currents that developed in pre-modern China. Over the last hundred
years CM’s overhaul within China was driven by the sociopolitical imperatives to
modernise and integrate its healthcare system. This push to modernise CM is not
inconsistent with previous state instigated revisions that occurred periodically over its
long history and that were designed to eradicate dogma and superstition. In Australia,
CM as a distinct medical discipline does not have a strong cultural basis or presence,
and CM training is only a few decades old. Thus, in contemporary Western settings,
CM must prove itself to a sceptical biomedical health industry while at the same time
promoting its complementary approach to the practice of medicine (Chi 1994). The education and practice of CM and biomedicine are likely to co-exist independently
in Australia for quite some time, and the question for the future of CM in Australia is
how best to professionalise the discipline and negotiate our way. The path of least
resistance politically and educationally is to biomedicalise CM. However, even though
biomedicalisation offers some sociopolitical kudos and some practical educational
shortcuts, it has also lead to unworkable simplifications and methodological failures. The education and practice of CM and biomedicine are likely to co-exist independently
in Australia for quite some time, and the question for the future of CM in Australia is
how best to professionalise the discipline and negotiate our way. The path of least
resistance politically and educationally is to biomedicalise CM. However, even though
biomedicalisation offers some sociopolitical kudos and some practical educational
shortcuts, it has also lead to unworkable simplifications and methodological failures. PORTAL, vol. 8, no. 2, July 2011. The options for Chinese medicine in Australia The
changes and issues described above present a significant challenge for the transmission
of CM and its preservation as a distinct medical system in contemporary English
speaking countries such as Australia. While it is difficult to predict the course of CM’s global emergence in any detail,
commentators such as Volker Scheid (1999) postulate three possible scenarios. I
mention them since they broadly apply to the Australian context where all three to some
extent are underway. The first would see CM institutionalised. Although it is unlikely
Australia will follow China’s model of integration and institutionalisation, Australian
universities now have CM degree courses; the Victorian state government currently
registers its practitioners, and national registration will be in place in Australia in 2012. A second possible scenario would see biomedicine assimilate CM. Biomedical-
pharmaceutical researchers would selectively ‘discover’ the active constituents in
Chinese medicinal substances and employ Chinese medical techniques wherever they
might benefit health outcomes. Assimilation would replace traditional diagnostic
reasoning and methods with bioscientific ones, and effectively dismantle CM as a
distinct form of medical practice. Scheid’s third scenario sees CM ignoring mainstream
political and economic power, and continuing its traditions ‘for the sake of clinical
efficacy’ (1999: SIV10). With little knowledge of its historical trends and developments
CM practitioners today must either reinvent the wheel or replace it with dissonant
constructs. Conversely, with a firmer grasp of the Chinese medical tradition the
profession would be in a better position to negotiate what is learned, taught, practiced, PORTAL, vol. 8, no. 2, July 2011. 10 10 Transmission of Chinese Medicine in Australia Garvey and researched. Conclusions Instead, building access to the tradition’s primary sources can reveal internal principles
and intelligibility that support its methods of practice and continue the evolution of the
field and its traditions. Allied with biomedicine, the distinctive features and methods of
traditional CM may well provide real benefits for the Australian healthcare system,
users and costs. Instead, building access to the tradition’s primary sources can reveal internal principles
and intelligibility that support its methods of practice and continue the evolution of the
field and its traditions. Allied with biomedicine, the distinctive features and methods of
traditional CM may well provide real benefits for the Australian healthcare system,
users and costs. 11 11 Transmission of Chinese Medicine in Australia Garvey Reference List Beijing College of TCM 1972, Revised Outline of Chinese Medicine, Beijing College of TCM, Beijing (in
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Berkeley: 196–215. or Chinese Studies, University of Michigan, Ann Arb Taylor, K. 2005, Chinese Medicine in Early Communist China, 1945–63: A Medicine of Revolution. RoutledgeCurzon, London. Unschuld, P. U. 1993, ‘History of Chinese Medicine,’ in The Cambridge World History of Human
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Ultramarathon Plasma Metabolomics: Phosphatidylcholine Levels Associated with Running Performance
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Received: 18 February 2020; Accepted: 30 March 2020; Published: 1 April 2020 Abstract: The purpose of this study was to identify plasma metabolites associated with superior
endurance running performance. In 2016, participants at the Western States Endurance Run (WSER),
a 100-mile (161-km) foot race, underwent non-targeted metabolomic testing of their post-race plasma. Metabolites associated with faster finish times were identified. Based on these results, runners at
the 2017 WSER underwent targeted metabolomics testing, including lipidomics and choline levels. The 2017 participants’ plasma metabolites were correlated with finish times and compared with
non-athletic controls. In 2016, 427 known molecules were detected using non-targeted metabolomics. Four compounds, all phosphatidylcholines (PCs) were associated with finish time (False Discovery
Rate (FDR) < 0.05). All were higher in faster finishers. In 2017, using targeted PC analysis, multiple
PCs, measured pre- and post-race, were higher in faster finishers (FDR < 0.05). The majority of PCs
was noted to be higher in runners (both pre- and post-race) than in controls (FDR < 0.05). Runners
had higher choline levels pre-race compared to controls (p < 0.0001), but choline level did not differ
significantly from controls post-race (p = 0.129). Choline levels decreased between the start and the
finish of the race (p < 0.0001). Faster finishers had lower choline levels than slower finishers at the
race finish (p = 0.028). Keywords: exercise; physiology; endurance; running; ultramarathon; performance Article
Ultramarathon Plasma Metabolomics:
Phosphatidylcholine Levels Associated with
Running Performance Tracy B. Høeg 1,2,3,*
, Kenneth Chmiel 4, Alexandra E. Warrick 1, Sandra L. Taylor 5 and
Robert H. Weiss 4,6 Tracy B. Høeg 1,2,3,*
, Kenneth Chmiel 4, Alexandra E. Warrick 1, Sandra L. Taylor 5 and
Robert H. Weiss 4,6 1
Department of Physical Medicine & Rehabilitation, University of California, Sacramento, CA 95817, USA;
aewarrick@ucdavis.edu 4
Division of Nephrology, Department of Medicine, University of California, Davis, CA 95817, USA;
kjchmiel@ucdavis.edu (K.C.); rhweiss@ucdavis.edu (R.H.W.) j
Division of Biostatistics, Department of Public Health Sciences, University of California, j
5
Division of Biostatistics, Department of Public Health Sciences, University of California,
Davis, CA 95616, USA; sltaylor@ucdavis.edu y
6
Medical Service, VA Northern California Health Care System, Sacramento, CA 95655, USA 6
Medical Service, VA Northern California Health *
Correspondence: tracybethhoeg@gmail.com sports sports sports sports 1. Introduction A low level of cardiorespiratory fitness (CRF) has been associated with higher all-cause mortality
and specifically with increased risk of cardiovascular disease and numerous cancers [1]. There is
significant evidence that CRF is a more powerful predictor of mortality than obesity, hypertension,
smoking and type 2 diabetes [1]. Elite ultramarathon runners have one of the highest known levels
of CRF, being capable of running 161 km on mountainous terrain in under 24 h. Distinguishing
the metabolomic profile of these elite athletes from slower runners and sedentary adult controls
may provide useful insight into the biological processes associated with increasing levels of fitness,
decreased mortality and decreased risk of many diseases. www.mdpi.com/journal/sports www.mdpi.com/journal/sports Sports 2020, 8, 44; doi:10.3390/sports8040044 2 of 9 Sports 2020, 8, 44 Metabolomics identifies the final endpoints of biochemical processes and closely reflects an
organism’s phenotype, environment and behavior [2]. Exercise metabolomics can provide valuable
insights regarding the end biological impact of repeat and prolonged physical activity [3] as well of the
biological processes associated with higher levels of endurance performance. The metabolomic profile
associated with superior endurance sports performance has yet to be explored, though metabolomics
studies have already identified choline-containing compounds and certain phospholipids to be
positively associated with level of physical fitness [4,5]. Numerous studies have looked at the
immediate impact of exercise on the metabolome [6–9], however there is little information on the
difference in the metabolomic profiles of exceptionally physically fit vs. sedentary adults. Studying
elite ultramarathon runners vs. non-athletic controls allow us to make the unique comparison of two
groups with starkly different levels of physical fitness and add to the current limited literature available
regarding the metabolites associated with increased physical fitness. The Western States Endurance Run (WSER) is a 161-km foot race, which takes place on a dirt trail
from Squaw Valley to Auburn, California, USA, the 4th Saturday of June every year. The race has over
12,000 m in overall elevation change and temperatures can often exceed 40 ◦C. The unique endurance
demands and organization of this ultramarathon, including participation of both very fast and relatively
slower runners served as an ideal setting for this study. In Phase I of this study, we hypothesized
that non-targeted plasma metabolomics would identify specific metabolites or groups of metabolites
to be associated with a faster ultramarathon finish time. Phosphatidylcholines (PCs) emerged as
being associated with ultramarathon performance. 2.2. Performance Endpoint 161-km race finish time was chosen as our performance endpoint, as a proxy for CRF. 2. Materials and Methods This study was approved by the Institutional Review Board at UC Davis (#824889). Research
subjects were registered runners for the WSER and were recruited via a pre-race informational email
prior to their participation in 2016 and/or 2017. All runners were invited to participate and all interested
in participating signed a pre-race consent form. Enrollment was limited to 50 participants in 2016 and
52 in 2017. The exclusion criteria were age <18 years, pregnancy, and inability to read and/or speak
English. A participant flow chart is shown in Figure 1. 2.1. Participant Flow In Phase I in 2016, runners who consented to take part in the study prior to the race had their blood
drawn within an hour of finishing the race. Runners who did not finish the race, refused the post-race
blood draw, or in whom blood could not be obtained, were excluded from the study. Non-targeted
metabolomics analysis was performed on all participants’ samples. In Phase II in 2017, runners who consented to take part in the study, had a pre-race blood sample
one day before the race and, then again post-race, within one hour of finishing. Runners who did
not finish the race, refused the post-race blood draw, or in whom blood could not be obtained were
excluded from the study. Targeted lipidomics and choline analysis was performed on all participants’
pre- and post-race samples. 2.2. Performance Endpoint 1. Introduction This was consistent with the previous literature
noting PCs to be positively correlated with VO2max [4] and inversely correlated to neuromuscular
disease severity [10]. In Phase II of the study, using targeted plasma metabolomics, we hypothesized
that pre- and post-race levels of PCs would be 1. Associated with faster ultramarathon finish time,
2. Related to plasma choline levels and, 3. Higher in runners than in the non-athletic controls. 3.2. Phase I: Non-ta
2.4. Control Subjects In 2016, non-targeted metabolomics analysis was performed using post-race serum from the 39
participants. Of 427 known compounds detected, four were significantly associated with finish time
(FDR < 0.05) with these being PCs 40:8, 38:5 A, o-32:0 and PC 40:4 or 40:5 (Figure 2). In Phase II, fourteen adult (≥30 years) sex-matched and age range-matched control plasma
samples for the 2017 participants from self-identified “non-athletic” donors were purchased from,
BioreclamationIVT (Westbury, NY, USA). We had one control for every two participant samples. The
control samples were also submitted for targeted lipidomics and choline analysis as described above. 2.3. Metabolomic Analysis All blood was drawn by the same phlebotomists in a given year using identical technique. The
plasma, obtained by centrifuging whole blood at room temperature, was immediately placed on dry ice 3 of 9 Sports 2020, 8, 44 in the field and the next day moved to a laboratory freezer kept at −80 ◦C until the metabolomics analysis,
which occurred within several months. In 2016, approximately half of each plasma sample underwent
mass-spectrometry based non-targeted metabolomic analysis [11]. Non-targeted metabolomic profiles
were obtained using CSH-QTOF MS/MS in both positive and negative modes as previously reported [11]. The other half remained frozen at −80 ◦C. In 2017, the same protocol was followed, except that targeted
metabolomic analysis was performed for phospholipids and choline (based on the 2016 results). All
samples were quantified for amount of hemolysis using the Mayo Clinic’s “Color Chart for Detection
of Hemolysis” [10]. Sports 2020, 8, 44
4 of 9 Figure 1. Participation and analyses performed in Phases I and II of the study. Figure 1. Participation and analyses performed in Phases I and II of the study. Figure 1. Participation and analyses performed in Phases I and II of the study. Figure 1. Participation and analyses performed in Phases I and II of the study. 3.2. Phase I: Non-ta
2.4. Control Subjects 2.5. Statistical Analysis For the 2016 data,
a two-sample t-test was used to compare the post-race GCTOF
(gas chromatography time of flight) mass spectrometry and lipid values of our 10 fastest finishing with
our 10 slowest finishing participants. False discovery rates (FDR) were calculated for each analysis to
account for multiple testing. Statistical testing was two-sided and considered significant if FDR < 0.05. For the 2017 data, paired sample t-tests were used to test for difference between pre- and post-race
choline and PC levels in runners. Two-sample t-tests were used to compare pre- and post-race choline
and PC levels in runners to the non-athletic controls; PC levels were log transformed for this analysis
to meet assumptions of normality and homogeneity of variances. Finish time was related to pre- and
post-race choline levels using simple linear regression. Prior to analysis, using all metabolites, the 4 of 9 Sports 2020, 8, 44 intensity values of each sample were total quantity normalized to the median total intensity level. Only
positive mode PC levels were analyzed in Phase II of the study, as positively charged PCs are subject to
a high amount of electrospray depression in the negative mode. All statistical tests were two-sided
and considered significant if FDR < 0.05. 3.1. Participant and Control Characteristics Phase I of the study was conducted at the 2016 WSER and plasma samples were obtained post-race
from 39 of the 49 consented runners (Figure 1), 8/39 (20.5%) being female. Mean age was 43 years
(95% CI = 40–46, range = 29–66). All runners who consented to participate pre-race were considered
“consented runners”. Nine runners did not finish the race and one opted to not have blood drawn after
multiple failed attempts; these individuals were excluded from the study. In Phase II of the study, conducted at the 2017 WSER, plasma samples were obtained post-race
from 28 of the 52 consented runners (Figure 1), with 4/28 (14.3%) being female. Mean age was 41 years
[95% CI = 37–45, range = 27–59]. One of 28 pre-race plasma samples could not be obtained due to
multiple failed phlebotomy attempts. Seventeen runners did not finish the race and an additional 7
either did not present to the finish line tent to have their blood drawn or phlebotomy was unsuccessful. Fourteen control samples (Figure 1) of which 2 (14.3%) were female. Mean age was 50 (95% CI 44–56,
range = 30–69). 3.3.2. PC Levels in Race Participants vs. Non-athletic Controls Targeted lipidomics of PCs in runners’ pre-race plasma were compared with the levels of
non-athletic controls (Figure 4). 41 were found to be significantly higher in runners than controls
(FDR < 0.05) and four were found to be significantly lower (FDR < 0.05). Targeted lipidomics of PCs in
runners’ post-race plasma were compared with the levels of non-athletic controls (Figure 4). 61 were
found to be significantly higher in the runners than the controls (FDR < 0.05) and 2 were found to be
significantly lower (FDR < 0.05). All four PCs identified in 2016 as being associated with faster finish
time were found to be elevated in participants vs. controls either from pre-race or post-race samples or
both. 5/6 PCs identified in 2017 as being associated with finish time were also elevated in participants
vs. controls again either pre-race, post-race or both. Figure 3. Individual pre- and post-race PC levels according to 161-km race finish time. Bright blue =
higher in faster finishers (FDR < 0.05). Light blue = non-significantly higher in faster finishers. Pink
= non-significantly lower in faster runners. Node size reflects the magnitude of correlation using
correlation coefficient. Linear distances between objects are calculated using the Tanimoto or KEGG
coefficients (tests of structural similarity). Figure 3. Individual pre- and post-race PC levels according to 161-km race finish time. Bright blue =
higher in faster finishers (FDR < 0.05). Light blue = non-significantly higher in faster finishers. Pink
= non-significantly lower in faster runners. Node size reflects the magnitude of correlation using
correlation coefficient. Linear distances between objects are calculated using the Tanimoto or KEGG
coefficients (tests of structural similarity). 3.3. Phase II: Targeted Lipidomics
In 2017, based on the above In 2017, based on the above results from 2016, we performed targeted lipidomics of PCs in pre-and
post-race serum of participating ultramarathon runners and a control, “non-athletic” group. and post-race serum of participating ultramarathon runners and a control, “non-athletic” group. 3.3.1. PC Levels and 161-km Finish Time 3.3.1. PC Levels and 161-km Finish Time
In targeted lipidomics of PCs in runne In targeted lipidomics of PCs in runners’ pre-race plasma, two PCs (PCs 42:4 or 42:5 and PC 44:4
or 44:5) (Figure 3) were found to be significantly higher in faster finishers (FDR < 0.05). In targeted
lipidomics of PCs in runner’s post-race plasma, four PCs (37:4, 38:7, 40:6A, and 42:5A) were found to be
significantly higher in faster finishers (FDR < 0.05) (Figure 3). None of these specific PCs corresponded
with the PCs significantly correlated in 2016. 53/85 PCs were found to significantly change (FDR < 0.05)
in level over the course of the race with 8/85 (9.4%) decreased in level and 45/85 (52.9%) increased. or 44:5) (Figure 3) were found to be significantly higher in faster finishers (FDR < 0.05). In targeted
lipidomics of PCs in runner’s post-race plasma, four PCs (37:4, 38:7, 40:6A, and 42:5A) were found to
be significantly higher in faster finishers (FDR < 0.05) (Figure 3). None of these specific PCs
corresponded with the PCs significantly correlated in 2016. 53/85 PCs were found to significantly
change (FDR < 0.05) in level over the course of the race with 8/85 (9.4%) decreased in level and 45/85
(52.9%) increased. Figure 3. Individual pre- and post-race PC levels according to 161-km race finish time. Bright blue =
higher in faster finishers (FDR < 0.05). Light blue = non-significantly higher in faster finishers. Pink
= non-significantly lower in faster runners. Node size reflects the magnitude of correlation using
correlation coefficient. Linear distances between objects are calculated using the Tanimoto or KEGG
coefficients (tests of structural similarity). 3.2. Phase I: Non-targeted Metabolomics In 2016, non-targeted metabolomics analysis was performed using post-race serum from the
39 participants. Of 427 known compounds detected, four were significantly associated with finish time
(FDR < 0.05) with these being PCs 40:8, 38:5 A, o-32:0 and PC 40:4 or 40:5 (Figure 2). Sports 2020, 8, 44
5 of 9 Figure 2. Individual post-race metabolite levels according to 161-km race finish time. Dark blue =
higher in faster finishers (FDR < 0.05). Light blue = non-significantly higher in faster finishers. Pink =
non-significantly lower in faster runners. Node size reflects the magnitude of the correlation using
the correlation coefficient. Linear distances between objects are calculated using the Tanimoto or
KEGG coefficients (tests of structural similarity). Figure 2. Individual post-race metabolite levels according to 161-km race finish time. Dark blue =
higher in faster finishers (FDR < 0.05). Light blue = non-significantly higher in faster finishers. Pink =
non-significantly lower in faster runners. Node size reflects the magnitude of the correlation using the
correlation coefficient. Linear distances between objects are calculated using the Tanimoto or KEGG
coefficients (tests of structural similarity). Figure 2. Individual post-race metabolite levels according to 161-km race finish time. Dark blue =
higher in faster finishers (FDR < 0.05). Light blue = non-significantly higher in faster finishers. Pink =
non-significantly lower in faster runners. Node size reflects the magnitude of the correlation using
the correlation coefficient. Linear distances between objects are calculated using the Tanimoto or
KEGG
ffi i
t (t
t
f t
t
l i
il
it )
Figure 2. Individual post-race metabolite levels according to 161-km race finish time. Dark blue =
higher in faster finishers (FDR < 0.05). Light blue = non-significantly higher in faster finishers. Pink =
non-significantly lower in faster runners. Node size reflects the magnitude of the correlation using the
correlation coefficient. Linear distances between objects are calculated using the Tanimoto or KEGG
coefficients (tests of structural similarity). 5 of 9 Sports 2020, 8, 44
KEGG coef 3.3. Phase II: Targeted Lipidomics
In 2017, based on the above 3.4. Phase II: Ch
4. Discussion Choline in runners’ plasma was found to decrease significantly from pre- to post-race (p <
0.0001); the mean ± SD for choline in pre-race samples was 289,252 ± 74,430 counts/s and post-race
samples 154,449 ± 28,371 counts/s. Pre-race runners’ choline differed significantly from controls (t =
−9.03); the mean ± SD for choline in controls was 138,504 ± 32,119 counts/s. Post-race runners’ choline
did not differ significantly from controls (p = 0.129). Additionally, faster finish time was associated with lower levels of post-race plasma choline (p
= 0.028;). Finish time was not significantly related to pre-race choline levels (p = 0.539). 4. Discussion
The most important finding of this study is the apparent relationship between faster
ultramarathon finish time and higher levels of certain phosphatidylcholines. This was found both in
the non-targeted metabolomics portion of this study and subsequently using targeted metabolomics
The most important finding of this study is the apparent relationship between faster ultramarathon
finish time and higher levels of certain phosphatidylcholines. This was found both in the non-targeted
metabolomics portion of this study and subsequently using targeted metabolomics in a different group
of runners the following year. Furthermore, ultramarathon runner participants had significantly higher
PC levels than non-athletic controls for most of the PCs measured. These findings are consistent
with those of a study by Bye et al. [4], which found VO2max to be highly correlated with PC levels
using whole blood lipidomic analysis. These findings are also consistent with Mastrokolias et al. [10],
who found lower PC levels in a chronic neuromuscular disease population, with the lowest levels
among those with greater disability. Newsom et al. [12] found the PC levels in skeletal muscle to be
significantly higher in athletes than in participants with obesity or with type 2 diabetes. Additional
studies have supported these findings with an inverse relationship between PC levels and obesity [13]
and type 2 diabetes [14]. These findings taken together suggest a relationship between PC levels and
regular exercise, physical fitness and/or body composition. in a different group of runners the following year. Furthermore, ultramarathon runner participants
had significantly higher PC levels than non-athletic controls for most of the PCs measured. These
findings are consistent with those of a study by Bye et al. [4], which found VO2max to be highly
correlated with PC levels using whole blood lipidomic analysis. 3.4. Phase II: Choline Choline in runners’ plasma was found to decrease significantly from pre- to post-race (p < 0.0001);
the mean ± SD for choline in pre-race samples was 289,252 ± 74,430 counts/s and post-race samples
154,449 ± 28,371 counts/s. Pre-race runners’ choline differed significantly from controls (t = −9.03); the
mean ± SD for choline in controls was 138,504 ± 32,119 counts/s. Post-race runners’ choline did not
differ significantly from controls (p = 0.129). Additionally, faster finish time was associated with lower levels of post-race plasma choline
(p = 0.028). Finish time was not significantly related to pre-race choline levels (p = 0.539). 6 of 9
ed in Sports 2020, 8, 44
or both. 5/6 P
participants
s Figure 4. Individual pre- and post-race PC levels in runners compared with non-athletic controls. Bright blue = higher in runners than controls (FDR < 0.05). Red = lower in runners than controls (FDR
< 0.05). Light blue = non-significantly higher in runners. Pink = non-significantly lower in runners. Node size reflects the magnitude of the correlation using the correlation coefficient. Linear distances
between objects are calculated using the Tanimoto or KEGG coefficients (tests of structural similarity). Figure 4. Individual pre- and post-race PC levels in runners compared with non-athletic controls. Bright blue = higher in runners than controls (FDR < 0.05). Red = lower in runners than controls (FDR
< 0.05). Light blue = non-significantly higher in runners. Pink = non-significantly lower in runners. Node size reflects the magnitude of the correlation using the correlation coefficient. Linear distances
between objects are calculated using the Tanimoto or KEGG coefficients (tests of structural similarity). Figure 4. Individual pre- and post-race PC levels in runners compared with non-athletic controls. Bright blue = higher in runners than controls (FDR < 0.05). Red = lower in runners than controls (FDR
< 0.05). Light blue = non-significantly higher in runners. Pink = non-significantly lower in runners. Node size reflects the magnitude of the correlation using the correlation coefficient. Linear distances
between objects are calculated using the Tanimoto or KEGG coefficients (tests of structural similarity). Figure 4. Individual pre- and post-race PC levels in runners compared with non-athletic controls. Bright blue = higher in runners than controls (FDR < 0.05). Red = lower in runners than controls (FDR
< 0.05). Light blue = non-significantly higher in runners. Pink = non-significantly lower in runners. 3.4. Phase II: Choline Node size reflects the magnitude of the correlation using the correlation coefficient. Linear distances
between objects are calculated using the Tanimoto or KEGG coefficients (tests of structural similarity). 3.4. Phase II: Ch
4. Discussion These findings are also consistent
One could hypothesize that the elevated PC levels in athletes is secondary to cellular membrane
breakdown from physical exertion. PCs are indeed major components of biological cell membranes. However, though the majority of the PCs we identified significantly increased, a number of others
significantly decreased over the course of the 161-km race. Additionally, we found both pre-and
post-race PC levels to be higher in athletes. Consistent with this, Newsom et al. [12] found elevated PC
levels in skeletal muscle samples both before and after exercise. Additionally, it would be unexpected
for the most physically fit athletes to have more muscle breakdown than the less physically fit when
running the same distance. These findings together suggest most of the elevation in PCs is chronic
rather than acutely related to a bout of exercise. From a practical standpoint, the metabolites and metabolomic pathways associated with CRF are
more likely to represent the phenotype of superior cardiovascular and/or musculoskeletal fitness than
those associated with a single bout of exercise. The rise in phosphatidylcholine molecules chronically
in physically fit individuals, as was shown in our study and numerous other studies [4,10,13,14],
indicates that the PC pathway either plays a critical role in physical fitness or is highly associated
with another critical pathway that does. As we attempt to gain insight into the molecular mechanisms
behind the health benefits of exercise, the PC pathway deserves further investigation. Our study also analyzed the relationship between choline and PC levels as well as choline
and ultramarathon performance. Choline is required for the synthesis of PCs [14,15] and choline 7 of 9 Sports 2020, 8, 44 supplementation has been found to improve endurance running performance [16,17]. We did find,
as expected [15,18,19], that choline levels decreased from pre-to post-race. However, we did not find
pre-race choline levels to be related to finish time. Interestingly, faster finish time was associated
with significantly lower post-race choline levels. This would suggest a relationship between physical
exertion and choline usage, as has been found in marathon running [18]. Systemic availability of choline appears to be a limiting factor in athletic performance [15,16]. The
elevated plasma PC levels pre-race may be due to long-term hepatic adaptation driven by frequent
choline depletion and the need to replenish acetylcholine at the neuromuscular junction. 3.4. Phase II: Ch
4. Discussion PCs may be
chronically elevated to provide an additional source of choline, and thus acetylcholine, for use during
exercise. Approximately 95% of the body’s choline is stored as phosphatidylcholine [20]. Choline is
obtained primarily either directly through the diet or through conversion of phosphatidylcholine to
choline through the phosphatidylethanolamine N-methyltransferase (PEMT) pathway [20]. Li et al. [21]
found elevated choline to be associated with lower PC levels and decreased physical fitness. p y
Bye et al. [4] suggest that phospholipase D (PLD), a plasma membrane enzyme responsible for
the hydrolysis of PC to choline, may be more active in sedentary individuals than athletes. This
would result in higher choline and lower PCs in sedentary adults, and the reverse in athletes, which
is generally consistent with our results. However, we did unexpectedly find significantly increased
choline concentrations pre-race in athletes compared to the controls. This may be due to increased
dietary choline availability before the race; indeed, fasting has been shown to decrease plasma choline
levels [7]. Our participants were likely to be in a well-fed state prior to an ultramarathon. Unlike our
study, the study by Bye et al. [4] required fasting of both participants and controls. There are several limitations of this study. First, due to the limited size of the ultramarathon
participant pool and available funding, we had a relatively small participant number for both phases
of the study. This small number of participants increased our risk of a Type II statistical error, or not
detecting significant differences between metabolites related to performance. This seems likely to
have occurred given the vast majority of PCs was higher in faster finishers but did not reach statistical
significance. Second, our performance endpoint of finish time was unlikely to have been perfectly
matched with level of physical fitness as highly physically fit individuals may have suffered injuries or
non-fitness related setbacks which slowed their finish time. Third, information on our control subjects
was limited to sex, race, age range and that they were “non-athletic”. The control subjects’ plasma
samples were also obtained at a different time and location. It is worth mentioning that, even though
our two study phases were an entire year apart from each other, we found consistent results with
regards to PC levels both years, which was reassuring. Author Contributions: Conceptualization, R.H.W. and T.B.H.; methodology, R.H.W., T.B.H. and K.C.; software,
R.H.W. and S.L.T.; validation, T.B.H. and S.L.T.; formal analysis, T.B.H., S.L.T. and K.C.; investigation, T.B.H.,
A.E.W. and K.C.; resources, R.H.W.; data curation, T.B.H., A.E.W. and K.C.; writing—original draft preparation,
T.B.H.; writing—review and editing, A.E.W., R.H.W., K.C., T.B.H. and S.L.T.; visualization, T.B.H.; supervision,
R.H.W.; project administration, R.H.W. and T.B.H.; funding acquisition, T.B.H. and R.H.W. All authors have read
and agreed to the published version of the manuscript. Funding: This research was funded by The Western States Endurance Run Foundation and the Napa Medical
Research Foundation and supported by the National Center for Advancing Translational Sciences, National
Institutes of Health, through grant number UL1 TR001860. References 1. Ross, R.; Blair, S.; Steven, N.; Arena, R.; Church, T.S.; Després, J.P.; Franklin, B.A.; Haskell, W.L.; Levine, B.D.;
Myers, J.; et al. Importance of Assessing Cardiorespiratory Fitness in Clinical Practice: A Case for Fitness
as a Clinical Vital Sign: A Scientific Statement from the American Heart Association. Circulation 2016, 134,
e653–e699. [CrossRef] [PubMed] 1. Ross, R.; Blair, S.; Steven, N.; Arena, R.; Church, T.S.; Després, J.P.; Franklin, B.A.; Haskell, W.L.; Levine, B.D.;
Myers, J.; et al. Importance of Assessing Cardiorespiratory Fitness in Clinical Practice: A Case for Fitness
as a Clinical Vital Sign: A Scientific Statement from the American Heart Association. Circulation 2016, 134,
e653–e699. [CrossRef] [PubMed] 2. Weiss, R.H.; Kim, K. Metabolomics in the study of kidney diseases. Nat. Rev. Nephrol. 2011, 8, 22–23. [CrossRef] [PubMed] 2. Weiss, R.H.; Kim, K. Metabolomics in the study of kidney diseases. Nat. Rev. Nephrol. 2011, 8, 22–23. [CrossRef] [PubMed] 3. Nieman, D.C.; Mitmesser, S.H. Potential impact of nutrition on immune system recovery from heavy exertion:
A metabolomics perspective. Nutrients 2017, 9, 513. [CrossRef] [PubMed] 3. Nieman, D.C.; Mitmesser, S.H. Potential impact of nutrition on immune system recovery from heavy exertion:
A metabolomics perspective. Nutrients 2017, 9, 513. [CrossRef] [PubMed] 4. Bye, A.; Vettukattil, R.; Aspenes, S.T.; Giskeødegård, G.F.; Gribbestad, I.S.; Wisløff, U.; Bathen, T.F. Serum
Levels of Choline-Containing Compounds Are Associated with Aerobic Fitness Level: The HUNT-Study. PLoS ONE 2012, 7, e42330. [CrossRef] [PubMed] 4. Bye, A.; Vettukattil, R.; Aspenes, S.T.; Giskeødegård, G.F.; Gribbestad, I.S.; Wisløff, U.; Bathen, T.F. Serum
Levels of Choline-Containing Compounds Are Associated with Aerobic Fitness Level: The HUNT-Study. PLoS ONE 2012, 7, e42330. [CrossRef] [PubMed] 5. Floegel, A.; Wientzek, K.; Bachlechener, U.; Jacobs, S.; Drogan, D.; Prehn, C.; Adamski, J.; Krumsiek, J.;
Pischon, T.; Boeing, H.; et al. Linking diet, physical activity, cardiorespiratory fitness and obesity to serum
metabolite networks: Findings from a population-based study. Int. J. Obes. 2014, 38, 1388–1396. [CrossRef]
[PubMed] 6. Lewis, G.D.; Farrell, L.; Wood, M.J.; Martinovic, M.; Arany, Z.; Rowe, G.C.; Souza, A.; Cheng, S.; Yang, E.;
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submaximal exercise at a standardized relative intensity in healthy adults. Metabolites 2016, 6, 9. [CrossRef]
[PubMed] 8. 5. Conclusions Our study found PC levels to be higher in faster 161-km ultramarathon finishers and higher in
runners vs. non-athletic controls. Higher levels of a number of PCs are associated with faster 161-km
ultramarathon finish times. Additionally, nearly all PCs were found to be significantly higher in
ultramarathon runners, both before and after running an ultramarathon, than in non-athletic controls
Future studies should attempt to elucidate the role of individual PCs in endurance sports performance,
physical fitness and overall health. Author Contributions: Conceptualization, R.H.W. and T.B.H.; methodology, R.H.W., T.B.H. and K.C.; software,
R.H.W. and S.L.T.; validation, T.B.H. and S.L.T.; formal analysis, T.B.H., S.L.T. and K.C.; investigation, T.B.H.,
A.E.W. and K.C.; resources, R.H.W.; data curation, T.B.H., A.E.W. and K.C.; writing—original draft preparation,
T.B.H.; writing—review and editing, A.E.W., R.H.W., K.C., T.B.H. and S.L.T.; visualization, T.B.H.; supervision,
R.H.W.; project administration, R.H.W. and T.B.H.; funding acquisition, T.B.H. and R.H.W. All authors have read
and agreed to the published version of the manuscript. Funding: This research was funded by The Western States Endurance Run Foundation and the Napa Medical
Research Foundation and supported by the National Center for Advancing Translational Sciences, National
Institutes of Health, through grant number UL1 TR001860. 8 of 9 Sports 2020, 8, 44 Sports 2020, 8, 44 Acknowledgments: We thank Marko Bodor, MD for his editorial help with the manuscript and John Diana,
John Fors, Sonja Wilkey, Michael Weiss, Robert Bowers, Susan Henning, Brian Toedebusch, Jim Milner, and Steven
Stern for their help with data acquisition. Conflicts of Interest: The authors declare no conflict of interest. Conflicts of Interest: The authors declare no conflict of interest. References Zafeiridis, A.; Chatziioannou, A.C.; Sarivasiliou, H.; Kyparos, A.; Nikolaidis, M.G.; Vrabas, I.S.;
Theodoridis, G.A.; Pechlivanis, A.; Zoumpoulakis, P.; Baskakis, C.; et al. Global metabolic stress of
isoeffort continuous and high intensity interval aerobic exercise: A comparative 1H NMR metabonomic
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Hoen, P.; Prehn, C.; van Roon-Mom, W.; et al. Integration of targeted metabolomics and transcriptomics
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online: http://preq.in/images/Mayo.pdf (accessed on 15 February 2020). 12. Newsom, S.A.; Brozinick, J.T.; Kiseljak-Vassiliades, K.; Strauss, A.N.; Bacon, S.D.; Kerege, A.A.; Bui, H.H.;
Sanders, P.; Siddall, P.; Thomas, M.; et al. Skeletal muscle phosphatidylcholine and phosphatidylethanolamine
are related to insulin sensitivity and respond to acute exercise in humans. J. Appl. Physiol. 2016, 120, 1355–1363. [CrossRef] [PubMed] Wallner, S.; Schmitz, G. Pasmalogens: The neglected regulatory and scavenging lipid species. Chem. Phys
Lipids 2011, 164, 573–589. [CrossRef] [PubMed] 14. Floegel, A.; Stefan, N.; Yu, Z.; Muhlenbruch, K.; Drogan, D.; Joost, H.G.; Roden, M.; Fritsche, A.; Häring, H.-U.;
de Angelis, M.H.; et al. Identification of serum metabolites associated with risk of type 2 diabetes using
targeted metabolomics approach. Diabetes 2013, 62, 639–648. [CrossRef] [PubMed] 15. Kennedy, E.P.; Weiss, S.B. The function of cytidine coenzymes in the biosynthesis of phospholipids. J. Biol. Chem. 1956, 222, 193–214. [PubMed] 9 of 9 Sports 2020, 8, 44 16. Sandage, B.W.; Sabounjian, R.N.; White, R.; Wurtman, R.J. Choline citrate may enhance athletic performance. Physiologist 1992, 35, 236. 17. Jäger, R.; Purpura, M.; Kingsley, M. Phospholipids and sports performance. J. Int. Soc. Sports Nutr. 2007, 4, 5. [CrossRef] [PubMed] 18. Conlay, L.A.; Wurtman, R.J.; Blusztajn, J.K.; Coviella, I.L.G.; Maher, T.J.; Evoniuk, G.E. Decreased Plasma
Choline Concentrations in Marathon Runners. N. Engl. J. Med. 1986, 315, 892. [PubMed] 19. Conlay, L.A.; Sabounjian, L.A.; Wurtman, R.J. Exercise and Neuromodulators: Choline and Acetylcholine in
Marathon Runners. Int. J. Sports Med. 1992, 13, S141–S142. [CrossRef] [PubMed] 20. Lin, J.C.; Gant, N. Chapter 2.3—The Biochemistry of Choline. References In Magnetic Resonance Spectroscopy; Academic
Press: Cambridge, MA, USA, 2014; pp. 104–110. 21. Li, Z.; Vance, D.E. Thematic Review Series: Glycerolipids. Phosphatidylcholine and choline homeostasis. J. Lipid Res. 2008, 49, 1187–1194. [CrossRef] [PubMed] © 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/). © 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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An Efficient Metal-free and Catalyst-free C-S/C-O Bond Formation Strategy: Synthesis of Pyrazole Conjugated Thioamides and Amides
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cc-by
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Address: Address:
1Department of Chemistry, Dr B R Ambedkar National Institute of
Technology (NIT) Jalandhar, 144027, Punjab, India, 2Central
Revenues Control Laboratory, New Delhi-110012, India, 3Department
of Chemistry, Central University of Punjab, Bathinda, 151401, Punjab,
India, and 4Department of Chemistry, National Institute of Technology
(NIT) Manipur, Imphal, 795004, India Abstract An operationally simple and metal-free approach is described for the synthesis of pyrazole-tethered thioamide and amide conju-
gates. The thioamides were generated by employing a three-component reaction of diverse pyrazole C-3/4/5 carbaldehydes, second-
ary amines, and elemental sulfur in a single synthetic operation. The advantages of this developed protocol refer to the broad sub-
strate scope, metal-free and easy to perform reaction conditions. Moreover, the pyrazole C-3/5-linked amide conjugates were also
synthesized via an oxidative amination of pyrazole carbaldehydes and 2-aminopyridines using hydrogen peroxide as an oxidant. An efficient metal-free and catalyst-free C–S/C–O bond-
formation strategy: synthesis of pyrazole-conjugated
thioamides and amides Full Research Paper
Open Access
Address:
1Department of Chemistry, Dr B R Ambedkar National Institute of
Technology (NIT) Jalandhar, 144027, Punjab, India, 2Central
Revenues Control Laboratory, New Delhi-110012, India, 3Department
of Chemistry, Central University of Punjab, Bathinda, 151401, Punjab,
India, and 4Department of Chemistry, National Institute of Technology
(NIT) Manipur, Imphal, 795004, India
Email:
Virender Singh* - virender.singh@cup.edu.in
* Corresponding author
Keywords:
C–S/O bond formation; metal-free; oxidative amidation; pyrazole
carbaldehydes; sulfur insertion; thioamides
Beilstein J. Org. Chem. 2023, 19, 231–244. https://doi.org/10.3762/bjoc.19.22
Received: 24 December 2022
Accepted: 15 February 2023
Published: 02 March 2023
Associate Editor: D. Spring
© 2023 Sharma et al.; licensee Beilstein-Institut. License and terms: see end of document. Full Research Paper
Open Access
Address:
1Department of Chemistry, Dr B R Ambedkar National Institute of
Technology (NIT) Jalandhar, 144027, Punjab, India, 2Central
Revenues Control Laboratory, New Delhi-110012, India, 3Department
of Chemistry, Central University of Punjab, Bathinda, 151401, Punjab,
India, and 4Department of Chemistry, National Institute of Technology
(NIT) Manipur, Imphal, 795004, India
Email:
Virender Singh* - virender.singh@cup.edu.in
* Corresponding author
Keywords:
C–S/O bond formation; metal-free; oxidative amidation; pyrazole
carbaldehydes; sulfur insertion; thioamides
Beilstein J. Org. Chem. 2023, 19, 231–244. https://doi.org/10.3762/bjoc.19.22
Received: 24 December 2022
Accepted: 15 February 2023
Published: 02 March 2023
Associate Editor: D. Spring
© 2023 Sharma et al.; licensee Beilstein-Institut. License and terms: see end of document. Results and Discussion Initially, the synthesis of pyrazole C-3/4/5 carbaldehydes and
4-iodopyrazole-3-carbaldehydes was achieved by employing
the recently reported procedures [77-80]. Thereafter, the pyra-
zole-3-carbaldehyde 1, morpholine (C) and elemental sulfur
were selected as the model substrates towards the preparation of
pyrazole-linked thioamide derivatives. To begin with, an exper-
iment was executed with model reactants in the presence of cat-
alytic amounts of β-cyclodextrin (β-CD) [81] under aqueous
conditions at room temperature as well as under heating at
100 °C (entries 1 and 2, Table 1). Unfortunately, the model
reactants remained unreacted and similar observations were re-
corded using a mixture of H2O/MeOH 1:4, and methanol as a
reaction medium (entries 3 and 4, Table 1). Moreover, it was
also investigated that various organic solvents in combination
with β-CD at room temperature were inactive towards accom-
plishment of this transformation (entries 5–8, Table 1). Fortu-
nately, when the reaction was performed in CH3CN at 60 °C; a
polar product was obtained, which was isolated after a short
silica gel column chromatography (entry 9, Table 1). To our
delight, the spectroscopic analysis revealed the structure of the
purified product as (5-(4-fluorophenyl)-1-phenyl-1H-pyrazol-3-
yl)(morpholino)methanethione (1C), which was obtained in
64% isolated yield. Encouraged by these preliminary results, we
next assembled the model reactants in DMF as a solvent in the
presence of β-CD at 60 °C. It was learned that the outcome of
the reaction was slightly better (reaction time was reduced and
the yield of the product 1C was increased to 70%, entry 10,
Table 1), which indicated the superiority of DMF over other
solvents. Subsequently, we examined the effects of La(OTf)3 as
a catalyst in combination with DMF as a solvent. However, the
targeted prototype 1C was obtained only in 20% yield at 60 °C
after 24 hours of reaction time (entries 11 and 12, Table 1). Next, ZnO nanoparticles were screened for the thioamidation of
pyrazole-3-carbaldehyde. The desired thioamide-conjugated
pyrazole 1C was afforded in 30% yield, as the starting sub-
strates were not completely consumed even after 24 hours of
reaction time (entry 13, Table 1). On the basis of the experi-
mental results above, we concluded that CH3CN and DMF were
the ideal solvents for this transformation towards the effective
formation of the product. As per literature reports, K2CO3
shows remarkable efficacy in various organic transformations
[82]. Introduction chemicals [4-6], chemicals, and pharmaceutical industries. Moreover, recent findings have affirmed the potential of the
pyrazole nucleus as CB1 receptor antagonists [7], estrogen re-
ceptor ligands [8], A2A receptor antagonists [9], and DNA
intercalating agents [10]. Importantly, pyrazole derivatives can
be traced in a spectrum of well-established drug candidates of During the past years, the significance of pyrazole chemistry
has been notably escalated which is attributed to the discovery
of their amazing biological properties. Among the heterocyclic
molecules, pyrazoles are considered as privileged scaffolds for
the design and construction of pharmacologically relevant com-
pounds [1-3]. Their effectiveness has been witnessed in agro- 231
231 Beilstein J. Org. Chem. 2023, 19, 231–244. [32], synthetic reagents in multicomponent reactions [33,34],
and guanylating agents [35]. various categories with diverse therapeutic properties such as
antipyretic [11], antibacterial [12], anticancer [13-15], antiviral
[16], analgesic [17], antioxidants, antimicrobial [18], antidia-
betic, anticonvulsant [19], antihelminthic [20], and antiar-
rhythmic activities. The pyrazole nucleus is a core unit in
several FDA-approved marketed drugs such as sildenafil [21-
23], celebrex [24,25], difenamizole [26], epirizole [27], rimona-
bant [28] etc. (Figure 1). Additionally, pyrazole derivatives hold
a prominent position in the field of materials science as a result
of their numerous applications in products like brightening
agents [29], semiconductors [30], and organic light-emitting
diodes [31]. Substituted pyrazoles are also of considerable
interest because of their synthetic utility as chiral auxiliaries The installation of a thioamide functionality has attracted an
immense attention in medicinal chemistry, due to various bio-
logical activities [36-39]. Accordingly, a broad spectrum of
effective and useful methods has been acknowledged in the lit-
erature for their preparation [40-42]. In this regard, a review
article by Jagodzinski et al. based on the examination of a
massive virtual library synthesized with frequently occurring
pharmacophores originating from drug components comes to
the conclusion that the thioamide linkage establishes an
intriguing class of biologically significant compounds amenable Figure 1: Representative drug molecules based on pyrazole, thioamide, and amide derivatives. Figure 1: Representative drug molecules based on pyrazole, thioamide, and amide derivatives. 232 Beilstein J. Org. Chem. 2023, 19, 231–244. reactivity profile [65-76]. To the best of our knowledge,
the syntheses of pyrazole C-3/4/5-linked thioamide and
amide conjugates have not been reported. Herein, we report an
operationally simple one-pot procedure for the preparation of
highly diversified thioamide and amide-linked pyrazole ana-
logues. to combinatorial chemistry [43]. Introduction This organic functional group
is found in vital biological and pharmaceutical molecules such
as N-cyclohexylethyl-ETAsV [44], carbimazole, methimazole,
propylthiouracil [45], and closthioamide [46] (Figure 1). More-
over, they also find widespread applications as intermediates for
the construction of five- and six-membered heterocyclic com-
pounds [47] and active pharmaceutical ingredients [48] such as
fenclosic acid, fentiazac, and febuxostate. Results and Discussion Hence, this reaction was also examined under the influ-
ences of K2CO3 (2 equiv) in CH3CN, but the reaction condi- Similarly, in contemporary chemistry, the amide functionality is
one of the most studied functional groups. Specifically, this
moiety is vital for the formation of the backbone of structural
proteins and enzymes [49]. The amide linkage is present in
several naturally occurring compounds and it is also one of the
most productive functional groups in current pharmaceutical
drugs [50,51]. As prime examples; atorvastatin [52], valsartan
[53] and N-cyclohexylethyl-ETAsV are successfully utilized to
treat various life challenging diseases (Figure 1). Accordingly,
as a part of our ongoing research project, it was planned to in-
corporate thioamide and amide functional groups into a pyra-
zole framework to develop new scaffolds. An extensive literature survey revealed that several approaches
are well-documented for the construction of the thioamide func-
tionality including base-catalyzed Willgerodt–Kindler reaction
[54], Kindler reaction in the presence of sulfated tungstate [55],
thionation of amides using thionating reagents [56] and thiona-
tion of amides using TsCl (4-toluenesulfonyl chloride) or
PSCl3-mediated Beckmann rearrangement [57]. Although, these
protocols are useful and have exhibited wide applications in
organic synthesis (Figure 2), the scope of these reported
methods may suffer from drawbacks such as harsh reaction
conditions, use of expensive reagents, prolonged reaction times,
low product yields, and cumbersome product isolation proce-
dures [58-62]. In the recent past, our group also reported two
methods towards the exploration of elemental sulfur for the for-
mation of a sulfur-containing framework; however, these
methods suffer from some drawbacks such as lack of diversity
in starting substrate, need of base/catalyst and limitation of
starting reagents [63,64]. Our current work was completed with
the exploration of the position of the pyrazole ring like C-3, C-4
and C-5 and we also employed the pyrazole-based AXB3s
(4-iodo-C-3 and 4-iodo-C-5). Moreover, we also disclosed the
synthesis of pyrazole C-3/C-5 amide conjugates. Fascinated by the immense pharmacological profiles of pyra-
zole, thioamide and amide derivatives, it was envisaged to
develop a practical approach towards the synthesis of pyrazole-
thioamide and pyrazole-amide conjugates. Elemental sulfur was
explored as a sulfurating reagent for the generation of
thioamides owing to its nontoxic, odorless nature and versatile 233 Beilstein J. Org. Chem. 2023, 19, 231–244. Figure 2: Previous and present findings for the synthesis of thioamide derivatives. Figure 2: Previous and present findings for the synthesis of thioamide derivatives. Table 1: Screening of reaction conditions towards the formation of pyrazole-conjugated thioamide.a Entry
Catalyst/reagent (equiv)
solventb
temp. (oC)
time (h)
isolated yieldc,d
1
β-CD (0.2)
H2O
rt
7
NRe
2
β-CD (0.2)
H2O
100
7
NR
3
β-CD (0.2)
MeOH
rt
7
NR
4
β-CD (0.2)
H2O/MeOH 1:4
rt
7
NR
5
β-CD (0.2)
DCE
rt
7
NR
6
β-CD (0.2)
AcOH
rt
3
NR
7
β-CD (0.2)
CH3CN
rt
3
NR
8
β-CD (0.2)
toluene
rt
3
NR
9
β-CD (0.2)
CH3CN
60
7
64%
10
β-CD (0.2)
DMF
60
3
70%
11
La(OTf)3 (0.1)
DMF
rt
24
NR
12
La(OTf)3 (0.1)
DMF
60
24
20%
13
ZnO NPs (0.1)
DMF
rt
24
30% + 1
14
K2CO3 (2.0)
CH3CN
rt
18
NR
15
K2CO3 (1.0)
DMF
rt
24
80%
16
K2CO3 (1.0)
DMF
70
1
82%
17
K2CO3 (2.0)
DMF
70
1
80%
18
K2CO3 (3.0)
DMF
70
1
79%
19
–
DMF
70
2
90%
20
–
DMSO
70
7
88%
21
–
NMP
70
7
85%
22
–
neat
70
29
13% + 1
aAll reactions were optimized with 0.07 mmol (1 equiv) of 1, 0.08 mmol (1.1 equiv) of C, 0.28 mmol (4 equiv) of sulfur in 2 mL of solvent; ball reactions
were performed in anhydrous solvents (except entries 1, 2, 4, and 22); cisolated yields of the purified product 1C; dNR = no reaction; ethe model sub-
strates remained intact. aAll reactions were optimized with 0.07 mmol (1 equiv) of 1, 0.08 mmol (1.1 equiv) of C, 0.28 mmol (4 equiv) of sulfur in 2 mL of solvent; ball reactions
were performed in anhydrous solvents (except entries 1, 2, 4, and 22); cisolated yields of the purified product 1C; dNR = no reaction; ethe model sub-
strates remained intact. 5–8 using the optimal conditions as illustrated in Scheme 2. The
pyrazole-4-carbaldehydes 5–8 were found to be suitable sub-
strates for this operation. It is pertinent to mention that the sub-
strate 5 reacted with cyclic secondary amines A–C to yield the
designed prototypes in moderate to good yields (49–76%),
whereas thiomorpholine (D) delivered the thioamide conjugate
5D in low yield (34%). During the preparation of pyrazole C-4-
conjugated thioamides 5A–E and 6–8C, it was also noticed that
when the reaction was exercised with morpholine (C), the reac-
tion was accomplished in lesser time (36 min to 1 h) as com-
pared to other secondary amines. Results and Discussion Figure 2: Previous and present findings for the synthesis of thioamide derivatives. yield (90%) after 2 hours of reaction time (entry 19, Table 1). This experiment indicated that the K2CO3 was not mandatory
for the desired thioamidation reaction. After that, DMSO and
NMP were also screened as solvents in the absence of base, but
a longer reaction time was required for similar transformation
(7 h) (entries 20 and 21, Table 1). A reaction of model sub-
strates under neat conditions delivered product 1C in poor yield
(entry 22, Table 1). Based on these screening experiments, it
was concluded that the reaction proceeded smoothly in DMF as
the reaction medium at 70 °C for 2 hours, and these were
considered as the optimal conditions for further investigation of
the scope of the developed strategy (entry 19, Table 1). tions were inactive towards the formation of pyrazole-tethered
thioamide 1C (entry 14, Table 1). Surprisingly, when the reac-
tion was carried out in DMF at ambient temperature, the desired
product 1C was obtained in 80% yield (entry 15, Table 1). However, the same reaction under heating conditions at 70 °C,
afforded the desired product 1C in 82% yield with a drastic
reduction in the reaction time to 1 hour (entry 16, Table 1). Moreover, an increase in the amount of base had a negligible
effect on the yield of the thioamide conjugate 1C (entries 17
and 18, Table 1). To check the role of K2CO3, we executed a
model reaction in DMF without base (K2CO3) and it was noted
that pyrazole-linked thioamide 1C was obtained in excellent 234 Beilstein J. Org. Chem. 2023, 19, 231–244. Table 1: Screening of reaction conditions towards the formation of pyrazole-conjugated thioamide.a Table 1: Screening of reaction conditions towards the formation of pyrazole-conjugated thioamide.a Table 1: Screening of reaction conditions towards the formation of pyrazole-conjugated thioamide.a Having established the optimal reaction conditions, we explored
the generality and the scope of this metal- and catalyst-free ap-
proach by employing pyrazole C-3 carbaldehydes 1–4, second-
ary amines A–E and elemental sulfur as substrates. It was ob-
served that the reaction conditions were compatible with differ-
ent pyrazole-3-carbaldehydes and various secondary amines for
the synthesis of pyrazole C-3-tethered thioamides 1A–E and
2–4C with the yield ranging from 53–90% (Scheme 1). Notably, 1-methylpiperazine (E) afforded the product in low
yield (53%). The electronic nature of the substituents located at
the N-1 and C-5 positions of the pyrazole ring exerted unnotice-
able impacts on the yields of the desired products. Having established the optimal reaction conditions, we explored
the generality and the scope of this metal- and catalyst-free ap-
proach by employing pyrazole C-3 carbaldehydes 1–4, second-
ary amines A–E and elemental sulfur as substrates. It was ob-
served that the reaction conditions were compatible with differ-
ent pyrazole-3-carbaldehydes and various secondary amines for
the synthesis of pyrazole C-3-tethered thioamides 1A–E and
2–4C with the yield ranging from 53–90% (Scheme 1). Notably, 1-methylpiperazine (E) afforded the product in low
yield (53%). The electronic nature of the substituents located at
the N-1 and C-5 positions of the pyrazole ring exerted unnotice-
able impacts on the yields of the desired products. To further validate the synthetic flexibility of this methodology,
we employed pyrazole C-5 carbaldehydes 9 and 10 for the syn-
thesis of thioamide conjugates. It was noticed that the pyrazole- Encouraged by these successful results, we further investigated
the thioamidation reaction of various pyrazole-4-carbaldehydes 235 Beilstein J. Org. Chem. 2023, 19, 231–244. Scheme 1: Synthesis of pyrazole C-3-tethered thioamides. Scheme 1: Synthesis of pyrazole C-3-tethered thioamides. To find out more information about the mechanistic route of the
reaction, we performed a control experiment in the presence of
TEMPO as a radical scavenger as depicted in Scheme 6. The
reaction of pyrazole-3-carbaldehyde 1, pyrrolidine (A) and
elemental sulfur in the presence of 1.1 equiv of TEMPO deliv-
ered the targeted product in 76% yield. On the basis of this ex-
periment, it was concluded that TEMPO did not affect the
progress of the reaction and the formation of product 1A. Hence, a radical mechanism of the reaction may be ruled out. Table 1: Screening of reaction conditions towards the formation of pyrazole-conjugated thioamide.a 5-carbaldehydes 9 and 10 were more reactive as compared to
pyrazole C-3 and C-4 carbaldehydes, leading to the formation
of products 9C and 10A in high yields (67–71%) within 1 hour
of reaction time as depicted in Scheme 3. Thereafter, the substrates 4-iodopyrazole-3-carbaldehydes were
further investigated for this metal- and catalyst-free sulfur inser-
tion reaction as shown in Scheme 4. It was found that 4-iodo-
pyrazole C-3 carbaldehydes 11 and 12 were also tolerated well
for this thioamidation process and furnished the anticipated
products 11A,B,E, and 12C in good to excellent yields
(58–92%) within 40 min to 4 hours. The successful synthesis of pyrazole C-3/4/5-tethered
thioamides inspired us to generate analogous pyrazole-pyridine
conjugates having an amide linkage. For this purpose, 5-(4-
fluorophenyl)-1-phenyl-1H-pyrazole-3-carbaldehyde (1) and
2-aminopyridine (F) were selected as the model reactants to
explore this transformation. Initially, we conducted an oxida-
tive amidation reaction of pyrazole-3-carbaldehyde 1 and
2-aminopyridine (F) in the presence of TBHP in DMSO as a
solvent at 130 °C (entry 1, Table 2). However, the reaction re-
quired longer time (20 h) for the completion, and afforded a
product in 29% yield only. It was realized that the isolated prod- To check the industrial scope of the current protocol, we con-
ducted a gram-scale reaction between pyrazole-3-carbaldehyde
1, morpholine (C) and elemental sulfur under the standard reac-
tion conditions as depicted in Scheme 5. It was noticed that this
one-pot operation was completed within 2.5 hours and smoothly
furnished the desired product, (5-(4-fluorophenyl)-1-phenyl-
1H-pyrazol-3-yl)(morpholino)methanethione (1C) in 86%
yield. 236 Beilstein J. Org. Chem. 2023, 19, 231–244. Beilstein J. Org. Chem. 2023, 19, 231–244. 237
Scheme 2: Synthesis of pyrazole C-4-tethered thioamides. Scheme 3: Metal- and catalyst-free preparation of pyrazole C-5-linked thioamide conjugates. uct was the desired product, 5-(4-fluorophenyl)-1-phenyl-N-
(pyridin-2-yl)-1H-pyrazole-3-carboxamide (1F), as analyzed by
spectroscopic data. Next, we screened other organic solvents including DMF,
CH3CN, THF, and MeOH to improve the yield of the desired
product 1F, but only a slight improvement in the yield was ob- Scheme 2: Synthesis of pyrazole C-4-tethered thioamides. Scheme 2: Synthesis of pyrazole C-4-tethered thioamides. Scheme 2: Synthesis of pyrazole C-4-tethered thioamides. Scheme 3: Metal- and catalyst-free preparation of pyrazole C-5-linked thioamide conjugates. Scheme 3: Metal- and catalyst-free preparation of pyrazole C-5-linked thioamide conjugates. Table 1: Screening of reaction conditions towards the formation of pyrazole-conjugated thioamide.a Next, we screened other organic solvents including DMF,
CH3CN, THF, and MeOH to improve the yield of the desired
product 1F, but only a slight improvement in the yield was ob- Next, we screened other organic solvents including DMF,
CH3CN, THF, and MeOH to improve the yield of the desired
product 1F, but only a slight improvement in the yield was ob- uct was the desired product, 5-(4-fluorophenyl)-1-phenyl-N-
(pyridin-2-yl)-1H-pyrazole-3-carboxamide (1F), as analyzed by
spectroscopic data. 237 Beilstein J. Org. Chem. 2023, 19, 231–244. Scheme 4: Synthesis of 4-iodopyrazole C-3-tethered thioamides. Scheme 4: Synthesis of 4-iodopyrazole C-3-tethered thioamides. Scheme 5: Gram-scale scope of the current protocol. Scheme 6: Control experiment. served (entries 2–5, Table 2). The oxidant TBHP (10 equiv)
failed to deliver the anticipated product in good yield (36%,
entry 6, Table 2). Similar results were obtained with H2O2
(25.0 equiv) under neat reaction conditions (entry 7, Table 2). Next, we performed the oxidative amidation reaction with
5.0 equiv of H2O2 in DMSO as the reaction medium under
heating, whereas, a poor yield of the product was obtained
(entry 8, Table 2). Moreover, different combinations of H2O2
and DMSO were examined for the oxidative amidation of pyra-
zole-3-carbaldehyde 1 (entries 9 and 10, Table 2). Interestingly,
a significant reduction in the reaction time was detected with
25 equiv as well as 10 equiv of H2O2. Next, we screened DMF,
CH3CN, THF, and MeOH (2.0 equiv) with 10.0 equiv of H2O2
to increase the yield of the designed prototype 1F. An accept- Scheme 4: Synthesis of 4-iodopyrazole C-3-tethered thioamides. Scheme 4: Synthesis of 4-iodopyrazole C-3-tethered thioamides. Scheme 5: Gram-scale scope of the current protocol. Scheme 6: Control experiment. Scheme 6: Control experiment Scheme 6: Control experiment. served (entries 2–5, Table 2). The oxidant TBHP (10 equiv)
failed to deliver the anticipated product in good yield (36%,
entry 6, Table 2). Similar results were obtained with H2O2
(25.0 equiv) under neat reaction conditions (entry 7, Table 2). Next, we performed the oxidative amidation reaction with
5.0 equiv of H2O2 in DMSO as the reaction medium under
heating, whereas, a poor yield of the product was obtained (entry 8, Table 2). Moreover, different combinations of H2O2
and DMSO were examined for the oxidative amidation of pyra-
zole-3-carbaldehyde 1 (entries 9 and 10, Table 2). Table 1: Screening of reaction conditions towards the formation of pyrazole-conjugated thioamide.a Interestingly,
a significant reduction in the reaction time was detected with
25 equiv as well as 10 equiv of H2O2. Next, we screened DMF,
CH3CN, THF, and MeOH (2.0 equiv) with 10.0 equiv of H2O2
to increase the yield of the designed prototype 1F. An accept- (entry 8, Table 2). Moreover, different combinations of H2O2
and DMSO were examined for the oxidative amidation of pyra-
zole-3-carbaldehyde 1 (entries 9 and 10, Table 2). Interestingly,
a significant reduction in the reaction time was detected with
25 equiv as well as 10 equiv of H2O2. Next, we screened DMF,
CH3CN, THF, and MeOH (2.0 equiv) with 10.0 equiv of H2O2
to increase the yield of the designed prototype 1F. An accept- 238 Beilstein J. Org. Chem. 2023, 19, 231–244. Table 2: Optimization of the reaction conditions towards the formation of pyrazole-pyridine conjugates having an amide linkage.a Table 2: Optimization of the reaction conditions towards the formation of pyrazole-pyridine conjugates having an amide linkage.a Table 2: Optimization of the reaction conditions towards the formation of pyrazole-pyridine conjugates having an amide linkage.a
Entry
Oxidant (equiv)
Solventb
Temp. (°C)
Time (h)
Isolated yieldc
1
TBHP (3.0)
DMSO
130
20
29%
2
TBHP (3.0)
DMF (10.0 equiv)
130
10
35% + 1
3
TBHP (3.0)
CH3CN (10.0 equiv)
100
10
37% + 1
4
TBHP (3.0)
THF (10.0 equiv)
100
9
42% + 1
5
TBHP (3.0)
MeOH (10.0 equiv)
80
8
40% + 1
6
TBHP (10.0)
DMSO (2.0 equiv)
70
18
36% + 1
7
H2O2 (25.0)
neat
rt
19
30%
8
H2O2 (5.0)
DMSO
70
19
10% + 1
9
H2O2 (25.0)
DMSO (2.0 equiv)
70
5
40%
10
H2O2 (10.0)
DMSO (2.0 equiv)
70
4
50%
11
H2O2 (10.0)
DMF (2.0 equiv)
70
8
33% + 1
12
H2O2 (10.0)
CH3CN (2.0 equiv)
70
5
56%
13
H2O2 (10.0)
THF (2.0 equiv)
70
7
58%
14
H2O2 (10.0)
MeOH (2.0 equiv)
70
6
45%
15
H2O2 (10.0)
CH3CN
70
4
54%
16
H2O2 (10.0)
THF
70
4
61%
aAll the optimization reactions were conducted with 0.07 mmol (1.0 equiv) of 1, 0.08 mmol (1.1 equiv) of F; ball the reactions were examined in dry
solvents (except entry 7); cisolated yields of 1F. Table 1: Screening of reaction conditions towards the formation of pyrazole-conjugated thioamide.a aAll the optimization reactions were conducted with 0.07 mmol (1.0 equiv) of 1, 0.08 mmol (1.1 equiv) of F; ball the reactions were examined in dry
solvents (except entry 7); cisolated yields of 1F. To check the synthetic versatility of this oxidative amidation
approach, we tested the scope of the methodology with pyra-
zole-5-carbaldehydes 9 and 10. Using this method, 3-(4-chloro-
phenyl)-1-phenyl-N-(pyridin-2-yl)-1H-pyrazole-5-carboxamide
(10F) was produced in good yield (62%), while 9F was gener-
ated in low yield (36%) as depicted in Scheme 8. able enhancement was observed in the yield of the desired com-
pound (58%) 1F (entries 11–14, Table 2). After that, we sub-
jected all the starting substrates to an excess amount of CH3CN
and THF as reaction solvents (entries 15 and 16, Table 2). It
was noticed from these two experiments that THF was the out-
standing solvent for our current transformation (entry 16,
Table 2). From the above screening experiments, it was con-
cluded that 10.0 equiv of hydrogen peroxide in THF at 70 °C
proved to be the optimal conditions for the construction of the
pyrazole-pyridine conjugate with an amide linkage (entry 16,
Table 2). Based on the current experimental observations and literature
reports [62,83] a plausible mechanistic pathway is outlined in
Scheme 9 for the formation of the thioamide and amide-linked
pyrazole derivatives 1C and 1F. It is proposed that initially
pyrazole-3-carbaldehyde 1 reacted with morpholine (C) to
furnish the iminium intermediate 13. Meanwhile, the intermedi-
ate polysulfide 14 formed by the nucleophilic attack of morpho-
line (C) on elemental sulfur may react with the intermediate 13
to afford another intermediate 15, which undergoes oxidation to
release the thioamide-tethered pyrazole 1C. On the other hand,
the pyrazole carbaldehyde 1 forms imine intermediate 16 by
condensation with 2-aminopyridine. Thereafter, a nucleophilic
attack of H2O2 on the imine carbon may afford the intermedi-
ate 17. Finally, the loss of a water molecule from the intermedi- Having the optimized conditions in hand, we employed pyra-
zole-3-carbaldehydes 1 and 4 for the reaction with different
2-aminopyridines F and G towards the preparation of amide
tethers as displayed in Scheme 7. The pyrazole-3-carbalde-
hydes 1 and 4 reacted efficiently with 2-aminopyridine (F) to
deliver the pyrazole conjugated amides 1F and 4F in good
yields (61 and 70%), whereas, in the case of 5-nitro-2-amino-
pyridine (G), the anticipated product 1G was obtained in low
yield (34%). 239 Beilstein J. Org. Table 1: Screening of reaction conditions towards the formation of pyrazole-conjugated thioamide.a Chem. 2023, 19, 231–244. Scheme 7: H2O2-mediated synthesis of pyrazole-pyridine conjugates with amide tethers. Scheme 7: H2O2-mediated synthesis of pyrazole-pyridine conjugates with amide tethers. Scheme 8: Synthesis of pyrazole-pyridine conjugates 9F and 10F having amide tethers. Scheme 8: Synthesis of pyrazole-pyridine conjugates 9F and 10F having amide tethers. ate 17 may generate the pyrazole-pyridine conjugate with amide
linkage 1F. salient features of the current protocol may be attributed to the
broad substrate scope, commercially available secondary
amines, operational simplicity, multicomponent character of
the reaction, easy isolation of products, short reaction time,
and good to excellent yields of the desired molecules. More-
over, a practical synthetic utility of pyrazole-3/5-carbaldehydes
has been explored through the formation of amide bond-
tethered pyrazole-pyridine conjugates. This developed
methodology was successfully carried out by employing
commercially available substituted 2-aminopyridines and
hydrogen peroxide as an oxidant. The biological evaluation p
General information All chemicals and reagents were purchased from Sigma-
Aldrich, Acros, Avera Synthesis, Spectrochem Pvt. Ltd., and
used without further purification. Commercially available an-
hydrous solvents (THF, DMF, benzene, toluene, MeOH, EtOH,
and CH2Cl2 Spectrochem) were used in the reactions. Thin-
layer chromatography (TLC) was performed using precoated
aluminum plates purchased from E. Merck (silica gel 60 PF254,
0.25 mm). Column chromatography was performed using Spec-
trochem silica gel (60–120 mesh). Melting points were deter-
mined in open capillary tubes on the Precision Digital melting
point apparatus (LABCO make) containing silicone oil, and the
results are uncorrected. IR spectra (neat) were recorded on an
Agilent FTIR spectrophotometer. 1H and 13C NMR spectra
were recorded either on an Avance III Bruker or a JEOL JNM-
ECS spectrometer at operating frequencies of 200/400/500 Conclusion In summary, a simple, straightforward and efficient approach
for the construction of biologically interesting highly diversi-
fied pyrazole-linked thioamide and amide conjugates has been
developed. The pyrazole C-3/4/5-tethered thioamide conjugates
were prepared via a one-pot reaction between highly diversi-
fied pyrazole carbaldehydes, cyclic secondary amines, and
elemental sulfur under metal and catalyst-free conditions. The 240 Beilstein J. Org. Chem. 2023, 19, 231–244. Scheme 9: A tentative mechanism for the formation of pyrazole conjugates with thioamide and amide linkage. Scheme 9: A tentative mechanism for the formation of pyrazole conjugates with thioamide and amide linkage. Scheme 9: A tentative mechanism for the formation of pyrazole conjugates with thioamide and amide linkage of the thioamide and amide conjugates is underway in our labo-
ratory. MHz (1H) and or 100/125/150 MHz (13C) as indicated in the
individual spectra using TMS as an internal standard. Elemental
analyses were performed on a Carlo-Erba 108 or an Elementar
Vario EL III microanalyzer. The room temperature varied be-
tween 25 °C and 30 °C. The multiplicities in the 1HNMR spec-
tra are presented as s for singlet, d for doublet, dd for doublet of
the doublet, td for a triplet of doublet, t for triplet and m for
multiplet. The multiplicity in the 13C NMR spectra is presented
as d for doublet. Funding Funding
S.S. acknowledges the Ministry of Human Resource Develop-
ment (MHRD), New Delhi, India, and CSIR, New Delhi for
Junior Research Fellowships. S. K. and V. S. gratefully
acknowledges the financial support in the form of research
grants from CSIR (02 (0202) /14/EMR-II), DST (CS-361/
2011), and DST-FIST (CSI-228/2011) New Delhi (India). Procedure for the synthesis of (5-(4-fluorophenyl)-1-phenyl-
1H-pyrazol-3-yl)(pyrrolidin-1-yl)methanethione (1A)
through control experiment: In a dry round-bottomed flask,
pyrazole-3-carbaldehyde 1 (0.05 g, 0.19 mmol), pyrrolidine (A,
0.015 g, 0.21 mmol), and sulfur powder (0.024 g, 0.75 mmol)
were added to dry DMF (2 mL) at room temperature. The reac-
tion flask was heated at 70 °C in an oil bath for 3.5 h. After
completion of the reaction, as monitored by the TLC, cold water
was added to the reaction mixture at room temperature which
resulted in the formation of a precipitate. The product was
collected by filtration under reduced pressure using a Büchner
funnel and further purified by silica gel column chromatogra-
phy (60–120 mesh silica gel) using hexane and ethyl acetate as
an eluent (80:20, v/v) to give final product 1A (0.049 g, 76%;
Rf 0.68, (hexane/EtOAc 70:30, v/v)). ORCID® iDs Shubham Sharma - https://orcid.org/0000-0002-9657-6623
Sunit Kumar - https://orcid.org/0000-0003-3266-0217
Naveen Banyal - https://orcid.org/0000-0001-6288-7469
Chandi C. Malakar - https://orcid.org/0000-0002-9478-017X
Virender Singh - https://orcid.org/0000-0003-4242-5421 Preprint A non-peer-reviewed version of this article has been previously published
as a preprint: https://doi.org/10.3762/bxiv.2022.92.v1 Typical procedure for the synthesis of compounds 1F, 1G,
4F, 9F, and 10F as exemplified for 5-(4-fluorophenyl)-1-phe-
nyl-N-(pyridin-2-yl)-1H-pyrazole-3-carboxamide (1F): To a
stirred solution of compound 1 (0.10 g, 0.37 mmol) and
2-aminopyridine (F, 0.04 g, 0.42 mmol) in dry THF, H2O2
(0.087 mL, 3.73 mmol) was added dropwise at room tempera-
ture and the reaction mixture was heated at 70 °C for 20 h. Upon completion of the reaction, as monitored by TLC, the
reaction mixture was cooled to room temperature, water was
added, and the product was extracted with ethyl acetate
(3 × 25 mL). The combined organic layers were washed with Supporting Information Gram-scale synthesis of (5-(4-fluorophenyl)-1-phenyl-1H-
pyrazol-3-yl)(morpholino)methanethione (1C): A 50 mL
round-bottomed flask was charged with pyrazole-3-carbalde-
hyde 1 (1 g, 3.74 mmol), morpholine (C, 0.36 g, 4.14 mmol),
and elemental sulfur (0.48 g, 15 mmol) in dry DMF (10 mL)
followed by heating of the reaction mixture at 70 °C for 2.5 h. On completion of the reaction, as determined by TLC, the reac-
tion content was cooled to room temperature and poured into
ice-cold water under stirring, which resulted in the formation of
a precipitate. The solid was collected under vacuum using a
Büchner funnel and further purified by silica gel column chro-
matography (60–120 mesh silica gel) using hexane and ethyl
acetate (80:20, v/v) as an eluent to give the analytically pure
product 1C (1.18 g from 1 g, 86%; Rf 0.19 (hexane/EtOAc
90:10, v/v)). Supporting Information File 1
Analytical data and copies of spectra. [https://www.beilstein-journals.org/bjoc/content/
supplementary/1860-5397-19-22-S1.pdf] Supporting Information File 1
Analytical data and copies of spectra. [https://www.beilstein-journals.org/bjoc/content/
supplementary/1860-5397-19-22-S1.pdf] Experimental procedures General procedure for the synthesis of compounds 1A–E,
2–4C, 5A–E, 6–8C, 9C, 10A, 11A,B, 11E, and 12C as exem-
plified for (5-(4-fluorophenyl)-1-phenyl-1H-pyrazol-3-
yl)(morpholino)methanethione (1C): In a dry round-bottomed
flask, pyrazole-3-carbaldehyde 1 (0.20 g, 0.75 mmol), morpho-
line (C, 0.072 g, 0.83 mmol), and sulfur powder (0.096 g,
3 mmol) were added to dry DMF (2 mL) at room temperature. The reaction flask was heated at 70 °C in an oil bath for 1 h. After completion of the reaction, as determined by TLC, cold 241 Beilstein J. Org. Chem. 2023, 19, 231–244. water was added to the reaction mixture at room temperature
which resulted in precipitation of the product. The product was
collected by filtration under reduced pressure using a Büchner
funnel and further purified by silica gel column chromatogra-
phy (60–120 mesh silica gel) using hexane and ethyl acetate as
an eluent (80:20, v/v) to give the final product 1C (0.247 g,
90%; Rf 0.19 (hexane/EtOAc 90:10, v/v)). brine, dried over anhydrous Na2SO4, and concentrated under
reduced pressure to afford crude product 1F. This material was
purified by silica gel column chromatography (60–120 mesh)
using hexane and ethyl acetate as an eluent (95:05, v/v) to get
the analytically pure product 1F (0.082 g, 61%; Rf 0.63,
(hexane/EtOAc 90:10, v/v)). Acknowledgements S. S. and V. S. gratefully acknowledges the CIL, Central
University of Punjab, Bathinda and Advanced Material and
Research Centre (AMRC) at the Indian Institute of Technology
Mandi, HP, India for recording the spectroscopic data. References 1. Da Costa, L.; Scheers, E.; Coluccia, A.; Casulli, A.; Roche, M.;
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Sex Differences in Body Ownership in Adults With Autism Spectrum Disorder
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Frontiers in psychology
| 2,019
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cc-by
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Sex Differences in Body Ownership
in Adults With Autism Spectrum
Disorder Silvia Guerra1, Andrea Spoto1, Umberto Castiello1* and Valentina Parma2,3,4* A strong male prevalence has been observed in autism spectrum disorder (ASD) since
its definition, but the behavioral manifestations of sex disparity have yet to be clarified. Here, we investigate sex differences in the perception of the Numbness Illusion (NI), a
procedure based on a tactile conflict, in adults with ASD and with typical development. We aim to assess if women and men with ASD perceive NI-dependent body ownership
differently and whether sex differences emerge in individuals with typical development. To elicit the NI, participants pressed their right-hand palm against the confederate’s
hand and stroked with the thumb and the index finger of their left hand the joined index
fingers in a synchronous or asynchronous way. Results reveal that women with ASD
present a reversed and atypical pattern for the NI compared to men with ASD and a
group of matched controls. In particular, women with ASD report a stronger illusion than
men with ASD, that is more evident in the asynchronous conditions. In the asynchronous
condition, women in the ASD group report stronger NI as compared to women and men
in the Control group, whereas men with ASD only to men in the Control group. In the
typical sample, the NI emerges only in the synchronous condition and no sex difference
is observed. We discuss our results in terms of potential advantage of women in sociality
and sensory information processing that might lead women with ASD to use different
modalities to solve the illusion compared to men with ASD. In sum, these outcomes
describe sex differences in individuals with ASD in the domain of illusory perception. This may be used in the future to support the characterization of the female phenotype
of autism. Edited by:
Mariska Esther Kret,
Leiden University, Netherlands Reviewed by:
Francois Quesque,
INSERM U1028 Centre de Recherche
en Neurosciences de Lyon, France
Laura Anne Harrison,
University of Southern California,
United States
Christiana Butera, University of
Southern California, United States,
in collaboration with reviewer LH *Correspondence:
Umberto Castiello
umberto.castiello@unipd.it
Valentina Parma
valentina.c.parma@gmail.com Specialty section:
This article was submitted to
Cognition,
a section of the journal
Frontiers in Psychology Keywords: autism spectrum disorders, body ownership, female phenotype, numbness illusion, sex differences Received: 11 September 2018
Accepted: 17 January 2019
Published: 04 February 2019 Keywords: autism spectrum disorders, body ownership, female phenotype, numbness illusion, sex differences ORIGINAL RESEARCH
published: 04 February 2019
doi: 10.3389/fpsyg.2019.00168 Edited by:
Mariska Esther Kret,
Leiden University, Netherlands Citation: The
RHI is an experimental paradigm that modulates the sense of
body ownership by presenting incongruent sensory stimulations
(i.e., looking at a rubber hand being stroked, while perceiving
one’s unseen hand to be similarly touched), which generate a
multisensory conflict that is solved by relocating the sense of
feeling touched on one’s hand on the visible rubber hand. Several
variants of RHI were developed to investigate the sense of body
ownership: the virtual body illusion (Slater et al., 2008), the
presentation of multiple hands (Folegatti et al., 2012) and the
numbness illusion (NI; Dieguez et al., 2009; Martuzzi et al., 2015). j g
In
this
connection,
several
studies
based
on
clinical
observations have suggested that high-functioning girls and
women with ASD show different and less severe social and
communication impairments compared to boys and men with
ASD (Rivet and Matson, 2011; Werling and Geschwind, 2013a). In particular, girls and women with ASD tend to have better
expressive behavior (e.g., sharing interest and/or reciprocal
conversation; Lai et al., 2011; Head et al., 2014), less impaired
social and communication skills (e.g., desire to interact with
other individuals and/or better linguistic fluency; Carter et al.,
2007) and different repetitive and stereotyped interest and/or
activities (e.g., women’s interest tend to involve other people or
animals rather than objects; Hiller et al., 2014; Lai et al., 2015)
compared to boys and men with ASD. These greater social and
communication abilities attributed as a feature of the female
phenotype of ASD may help them to cope with social situations,
masking some of the symptoms recognized as core symptoms
of the male phenotype of ASD and causing misdiagnoses or late
identification of ASD in girls and women (Wing, 1981; Attwood,
2007; Dworzynski et al., 2012; Hiller et al., 2016). The latter is an experimental paradigm that allows for the
manipulation of the experience of the body-ownership of fingers
(Dieguez et al., 2009). In this paradigm, two individuals (i.e.,
the participant and a confederate) press the palm of their hands
against each other. Then, both the participant and the confederate
stroke with the thumb and the index finger of their respective
free hand two joint index fingers in a synchronous (i.e., the
two index fingers are stroked at the same time in up and down
movement) or in an asynchronous way (i.e., one finger is stroked
a time). Citation: In particular, in
presence of intellectual disability, male and female individuals
with ASD meet the diagnostic criteria in a similar way and the
ratio of ASD diagnoses is 1F:1M; however, at high IQ scores,
female individuals with ASD are underrepresented (4M:1F; Van
Wijngaarden-Cremers et al., 2014). In this view, it has been
supposed that high IQ scores may represent a confounding factor
that leads to a missed diagnosis or a misdiagnosis in girls and
women with ASD (Van Wijngaarden-Cremers et al., 2014). recognizing other people’s thoughts, perspectives and mental
states [i.e., theory of mind (ToM)] are a trait frequently found
in individuals with ASD (Baron-Cohen et al., 1985). Developing functional motor, social and communication skills
(Gallagher, 2000) and efficiently “walking in someone’s shoes”
require the acquisition of the ability to differentiate the self
from others and to compare the two entities. Such distinction
can be achieved by developing a coherent sense of “bodily
self,” which involves two distinct and interdependent aspects:
agency and body ownership. Agency refers to the experience
of generating and controlling actions and the events caused
by them in the environment (Gallagher, 2000; David et al.,
2008). Body ownership refers to “the feeling that my body
belongs to me” (as in Stone et al., 2018), and to the fact that
my body is different from other people’s bodies or external
objects. The sense of body ownership, which origins from the
integration of different sensory information (i.e., proprioceptive,
tactile and visual stimuli) is present not only when we act, but
also during passive movements (Van den Bos and Jeannerod,
2002) and it can be perturbed by the induction of illusions. Successful perturbation of body ownership has been achieved
by presenting incongruent sensory stimulation able to shift the
belonging of one body part to either external objects (e.g., a
rubber object shaped like a human hand, Botvinick and Cohen,
1998; Ehrsson, 2007) or to another person’s body part (e.g.,
someone else’s finger, Dieguez et al., 2009; Martuzzi et al.,
2015). The multisensory foundations of body ownership and its
underpinnings have been usually investigated by means of the
rubber hand illusion (RHI; Botvinick and Cohen, 1998). Citation: Guerra S, Spoto A, Castiello U
and Parma V (2019) Sex Differences
in Body Ownership in Adults With
Autism Spectrum Disorder. Front. Psychol. 10:168. doi: 10.3389/fpsyg.2019.00168 Guerra S, Spoto A, Castiello U
and Parma V (2019) Sex Differences
in Body Ownership in Adults With
Autism Spectrum Disorder. Front. Psychol. 10:168. doi: 10.3389/fpsyg.2019.00168 Autism spectrum disorder (ASD) is defined as a heterogeneous disorder characterized by
impairments in social interactions, communication, and repetitive and stereotyped behaviors,
which is more commonly diagnosed in male than in female individuals (4M: 1F; Werling and
Geschwind, 2013a,b; Halladay et al., 2015). The male prevalence in ASD is known from the origin
of the disorder. Indeed, both Kanner (1943) and Asperger (1944) reported that the children with February 2019 | Volume 10 | Article 168 Frontiers in Psychology | www.frontiersin.org 1 Sex Differences in Body Ownership in ASD Guerra et al. autism that they examined were exclusively boys. Consequently,
the majority of the research on ASD has chiefly focused on
male participants. As a consequence, the female phenotype of
ASD is still poorly understood and research results in that
area are highly inconsistent (Head et al., 2014). To date, these
accounts have been used to explain the mechanisms underlying
sex disparity in ASD with some studies suggesting that the female
phenotype of ASD may be the result of innate characteristics
that protect girls and women from ASD and make them less
vulnerable to develop the core symptoms of the disorder (female
protective effect or FPE; Robinson et al., 2013; Werling and
Geschwind, 2013a). Other studies have advanced that female and
male individuals are equally predisposed to develop ASD at the
genetic level, but female individuals may have some factors - at
the cognitive or/and neurobiological level – enabling them to
better compensate for this risk during the lifespan (e.g., Skuse,
2007). Moreover, it has been proposed that sex differences in
the development of the cognitive profile may lead to different
manifestations of ASD in women and men (Carter et al., 2007). From the studies that have addressed sex disparity in ASD, it
becomes evident that intellectual abilities play a role in facilitating
the diagnosis of ASD in female individuals. Frontiers in Psychology | www.frontiersin.org Participants The sample for the two experiments (also previously included
in Guerra et al., 2017) consisted of 108 participants. Sample
size for the group∗sex interaction∗conditions was estimated by
means of the G∗Power 3.1 software (Faul et al., 2009) to have
a power ≥95%, even in the case of a medium-small effect size
(0.22). In Experiment 1, 39 adults with high-functioning ASD
were enrolled (ASD; 29 M and 10 F; mean age ± 24.72; age
range 19–31 years). In Experiment 2, 69 age- and FSIQ-matched
control adults with typical development were recruited (43 M
and 26 F; mean age ± 23.64; age range 19–33 years). Individuals
with ASD were age-, gender- and full scale IQ-matched with the
individuals with typical development (see Table 1). Full scale IQ
was measured via the Wechsler Adult Intelligence Scale – Fourth
edition (WAIS-IV; Wechsler, 2008; Italian language adaptation: To delineate whether the ASD diagnosis modulates the
expression of body ownership and whether sex differences
in the NI are evident irrespective of the ASD diagnosis, we
additionally tested a Control sample of typical individuals. Indeed, evidence has suggested that sex influences many aspects
of typical development (Kimura, 1992; Baron-Cohen et al.,
2005). In particular, men score higher in spatial abilities
(e.g., mental rotation tasks, map reading tasks; Kimura, 1999),
while women exhibit better-than-male performance in social
sensitivity, emotional recognition and verbal fluency tasks. Thus, TABLE 1 | Sample description. Citation: In brief, stroking the fingers synchronously generates
in the participants the sensation of owning the confederate’s
finger as if it were his/her own finger. This illusion only emerges
when the stroking occurs simultaneously. When the stimulation
is asynchronous or performed by another person, the illusion
is not perceived (or its illusory effects are reduced). Such
illusory experience has been replicated in individuals with typical
development (Dieguez et al., 2009; Martuzzi et al., 2015) and
we have recently demonstrated its presence in adults with ASD The above-mentioned evidence is in line with the extreme
male brain theory (EMB; Baron-Cohen, 2002), which posits
that the underlying sex disparity in ASD might be the ‘hyper-
masculinization’ of some behaviors. In other words, the ASD
profile may represent an extreme form of the typical male profile,
which is characterized by enhanced systemizing and reduced
empathizing skills. Deficits in empathy, in understanding and February 2019 | Volume 10 | Article 168 2 Sex Differences in Body Ownership in ASD Guerra et al. (Guerra et al., 2017). However, whether body ownership illusory
experiences are comparable among women and men with ASD is
still unknown. considering the potential female advantage in the social domain
and given that the development of adaptive social functioning
requires an efficient sense of body ownership, we would expect
a stronger disruption of the sense of body ownership during
synchronous stroking in women with typical development
compared to men. Here, we test whether women and men with ASD experience
the NI in a similar way. Considering that women with ASD
reportedly show less impairment in social information processing
(e.g., Werling and Geschwind, 2013a), we foresee that the NI
experience would be more efficient in women with ASD as
compared to their male counterparts. In other words, we expect
women with ASD to be more subjected to the NI, in virtue
of a greater disruption of the sense of body ownership. If this
were true, outcomes may point out for the first time to the
existence of sex differences in the domain of sensory and illusory
experiences in ASD and they may contribute to further support
the characterization of the female phenotype of ASD. Participants The stroking was performed
synchronously (i.e., the joint index fingers were stroked at the same time) or
asynchronously (i.e., the joint index fingers were stroked alternatively) by the
participant. In this posture, the participant stroked the dorsal side of the
distal phalanges of the joined index fingers with the thumb and
the index finger of the other hand, either in a synchronous or
in an asynchronous way. Specifically, in synchronous conditions
both the index finger and the thumb of the participant’s free
hand started from the first phalanx and moved toward the third
phalanx of the index finger of the receiver in a repetitive up-
to-down movement. Instead, in asynchronous conditions the
index finger of the agent started from the first phalanx, whereas
the thumb started from the third phalanx of the index finger
of the receiver and they moved in opposite directions stroking
one finger at a time, alternatively. Before the beginning of
the experimental phase, participants were trained to achieve a
consistent stroking frequency and pressure. The frequency in
stroking (i.e., 10 strokes in 10 s; 1 Hz) was constantly monitored
by a co-experimenter by means of a timer to ensure that it was
comparable across participants. The experimental design was a
2 × 2 factorial design. The factor Synchrony – how the joint index
fingers were stroked – had two levels, namely synchronous (i.e.,
fingers stroked simultaneously) or asynchronous (i.e., fingers
alternatively stroked). The factor Agent – who performed the
stroking of the joint index fingers –had two levels, namely self
(i.e., participant) and other (i.e., the experimenter). Given that
the NI emerges only when the stimulation is self-administered
and it primarily depends on the synchrony of the stimulation
(i.e., Dieguez et al., 2009; Martuzzi et al., 2015; Guerra et al.,
2017), the ‘Other’ condition has not been considered in this study
(see Guerra et al., 2017 for an account on such condition in
individuals with ASD). Indeed, the stroking performed by other
people is not effective in inducing changes in the experience of
the NI, irrespective of the type of synchrony of the stimulation. By
removing this condition, we were able to gain power to evaluate
the sex effects on the NI. This led to two experimental conditions,
namely self-synchronous and self-asynchronous. Each condition
was repeated four times in a pseudo-randomized order for a
total of 8 trials. Each trial lasted 10 s. Data Analysis All statistical analyses were carried out with the R software (R
package version 3.3.9; R Core Team, 2013) and, more specifically,
by means of the lme function (nlme package version 3.1-131)
to perform linear mixed effect models. For each participant,
the mean of the responses across all conditions were computed
to produce an individual index of the illusion experienced by
the participant during the task (as in Dieguez et al., 2009 and
Martuzzi et al., 2015). At first, the data from the ASD group were
analyzed by means of fitting a linear mixed-effect model with Participants Participants with ASD
received a formal diagnosis from an expert, licensed clinical
psychologist based on the Diagnostic and Statistical Manual of
Mental Disorder – 5 (DSM-5) and the clinical evaluation was
supported by meeting criteria on at least the Autism Diagnosis
Observation Schedule (ADOS; Lord et al., 2000) or the Autism
Diagnostic Interview – Revised (ADI-R; Lord et al., 1994; see
Table 1), either on both. Participants with typical development
had no history of ASD and they did not have any first or second-
degree relatives with a diagnosis of ASD. Participants with
ASD were recruited via the local Pediatric and Developmental
Neuropsychiatric Clinics, while volunteers were recruited on
campus at the University of Padova (Italy). The project was
approved by the local ethical committee and the experimental
procedures were in accordance with the Declaration of Helsinki
(Williams, 2008). All participants signed a written informed
consent prior to the beginning of their experimental session. Participants At the end of each
trial, participants rated the strength of the illusion experienced
during the task by means of a questionnaire composed by 5
questions presented on 5-point Likert scale (Dieguez et al.,
2009; Martuzzi et al., 2015; Table 2). The scale ranged from
1 (completely disagree) to 5 (completely agree). In line with
previous studies (e.g., Dieguez et al., 2009; Martuzzi et al., 2015),
we considered scores higher than 3 indicating that a significant
illusory experience was reported. Questions were repeated in a
pseudo-randomized order across all trials, to reduce contextual
influences on responses. FIGURE 1 | Procedure to induce the NI: the participant pressed the palm of
his/her right hand against the left palm of the experimenter. In this posture, the
participant stroked with the index and thumb of his/her free hand the joined
index fingers (participant + experimenter). The stroking was performed
synchronously (i.e., the joint index fingers were stroked at the same time) or
asynchronously (i.e., the joint index fingers were stroked alternatively) by the
participant. Orsini and Pezzuti, 2013) or via the Wechsler Abbreviated Scale
of Intelligence (WASI; Wechsler, 1999). Participants with ASD
received a formal diagnosis from an expert, licensed clinical
psychologist based on the Diagnostic and Statistical Manual of
Mental Disorder – 5 (DSM-5) and the clinical evaluation was
supported by meeting criteria on at least the Autism Diagnosis
Observation Schedule (ADOS; Lord et al., 2000) or the Autism
Diagnostic Interview – Revised (ADI-R; Lord et al., 1994; see
Table 1), either on both. Participants with typical development
had no history of ASD and they did not have any first or second-
degree relatives with a diagnosis of ASD. Participants with
ASD were recruited via the local Pediatric and Developmental
Neuropsychiatric Clinics, while volunteers were recruited on
campus at the University of Padova (Italy). The project was
approved by the local ethical committee and the experimental
procedures were in accordance with the Declaration of Helsinki
(Williams, 2008). All participants signed a written informed
consent prior to the beginning of their experimental session. Orsini and Pezzuti, 2013) or via the Wechsler Abbreviated Scale
of Intelligence (WASI; Wechsler, 1999). Participants ASD Group
Males
Females
test
p-value
N
74% (n = 29)
26% (n = 10)
χ2(1) = 9.26
< 0.01∗
AGE
24.93 ( ± 3.33; range 19–31)
24.1 ( ± 3.60; range 19–30)
t37 = −0.66
0.509
Full scale IQ
113.33 ( ± 11.15; range 89–129)
114.14 ( ± 12.29; range 98–128)
t37 = 0.16
0.879
ADOS (total)
10.6 ( ± 5.41; range 3–23)
10.9 ( ± 4.61; range 6–22)
t37 = 0.16
0.871
ADI-R (total)
39.79 ( ±14.33; range 20–67)
35.1 ( ± 5.67; range 27–44)
t37 = −1.00
0.323
Control Group
Males
Females
test
p-value
N
62% (n = 43)
38% (n = 26)
χ2(1) = 4.19
< 0.05∗
AGE
24.14 ( ± 3.38; range 19–33)
22.73 ( ± 2.47; range 19–28)
t67 = −1.78
0.079
Full scale IQ
107.25 ( ± 12.28; range 92–121)
112.67 ( ± 4.50; range 108–117)
t67 = 0.72
0.487
ASD Group
Control Group
test
p-value
N
F
9% (n = 10)
24% (n = 26)
χ2(1) = 7.11
< 0.01∗
M
27% (n = 29)
40% (n = 43)
χ2(1) = 2.72
0.099
total
36% (n = 39)
64% (n = 69)
χ2(1) = 1.62
0.202
AGE
F
24.1 ( ± 3.60)
22.73 ( ± 2.47)
t34 = 1.25
0.220
M
24.93 ( ± 3.33)
24.14 ( ± 3.38)
t70 = 0.98
0.330
total
24.72 ( ± 3.37)
23.64 ( ± 3.10)
t106 = 1.68
0.095
Full scale IQ
F
114.14 ( ± 12.29)
112.67 ( ± 4.50)
t34 = 0.19
0.849
M
113.33 ( ± 11.15)
107.25 ( ± 12.28)
t70 = 1.30
0.202
total
113.5 ( ± 11.21)
108.7 ( ± 10.77)
t106 = 1.23
0.226
ASD, autism spectrum disorder; IQ, intelligence quotient; ADOS, autism diagnosis observation schedules; ADI–R, autism diagnostic interview-revised. Age, IQ, ADOS and
ADI-R refer to the mean, while standard deviation and range are given in parentheses. F, females; M, males; ∗p < 0.05. Frontiers in Psychology | www.frontiersin.org February 2019 | Volume 10 | Article 168 3 Sex Differences in Body Ownership in ASD Guerra et al. FIGURE 1 | Procedure to induce the NI: the participant pressed the palm of
his/her right hand against the left palm of the experimenter. In this posture, the
participant stroked with the index and thumb of his/her free hand the joined
index fingers (participant + experimenter). Procedure The procedures were the same as in Guerra et al., 2017. Each
participant and the experimenter sat facing each other. At the
beginning of each trial, the participant was asked to press the
palm of his/her right hand against the experimenter’s left-hand
palm, which was lifted in the air (Figure 1). February 2019 | Volume 10 | Article 168 Frontiers in Psychology | www.frontiersin.org 4 Sex Differences in Body Ownership in ASD Guerra et al. TABLE 2 | Numbness illusion self-report. During the stroking of the fingers. . . 1. The felt sensation was strange
2. I felt a sensation of numbness
3. It seemed like my own stroked finger became wider in size
4. It seemed like the experimenter’s finger became my own finger
5. It seemed like I felt only the big finger was being touched
Completely disagree
Disagree
Neutral
Agree
Completely agree
1
2
3
4
5 p = 0.007). Furthermore, women with ASD reported a
greater disruption of finger’s ownership when the stroking was
asynchronous than men with ASD both in the asynchronous
(t37 = 2.885; p = 0.031) and the synchronous conditions
(t37 = 3.108; p = 0.018). No main effect of Synchrony emerged
[F(1,37) = 0.97; p = 0.331; partial-η2 = 0.042; Figure 2]. Sex Affects the NI Experience in
Individuals With ASD, but Not in the
Control Group To test whether this sex difference is characteristic of the
ASD experience of the NI or it is also experienced by
individuals with typical development, we fitted a linear mixed-
effect model including the variable Group as a between factor. Results indicated a significant effect of Sex [F(1,104) = 4.79;
p = 0.031; partial-η2 = 0.050]. Pairwise comparisons showed that
women experienced the illusion more than men of both groups
(t104 = 2.34; p = 0.021). More specifically, results indicated that
women with ASD perceived a stronger illusion compared to
women (t104 = 3.75; p = 0.007) and men (t104 = 4.34; p < 0.001)
in the Control group, when the stroking was asynchronous. Furthermore, when women with ASD performed the stroking
synchronously, results showed that the illusion was differently
compared to men (t104 = 3.54; p = 0.014) in the Control group in
the asynchronous condition. The same pattern was also observed
in the comparison between men in the ASD and the Control
group with respect to the asynchronous conditions (t104 = 3.27;
p = 0.031). However, differently from what we found in the
ASD group (see paragraph above), no significant sex differences Synchrony (synchronous and asynchronous) as within factor, Sex
(women and men) as between factors. Then, data from the two
groups (ASD and Control) were analyzed by means of fitting
a linear mixed-effect model with Synchrony (synchronous and
asynchronous) as within factor, while Sex (women and men) and
Group (ASD and Control) as between factors. When significant
interactions were retrieved, we conducted pairwise comparisons. The significance level was set at p < 0.05. RESULTS Women With ASD Experience the NI
More Strongly Than Men With ASD
The analysis revealed that the NI was perceived differently by
men and women with ASD [Sex: F(1,37) = 8.22; p = 0.007;
partial-η2 = 0.182]. Indeed, the NI was perceived more clearly
by women with ASD compared to men with ASD (t37 = 2.867; FIGURE 2 | Strength of the NI for women (F) and men (M) of ASD group. Error bars indicate the standard error of the mean (SEM). ∗= p < 0.05; The horizontal line
with intercept 3 refers to the level at which the illusion was experienced by participants. FIGURE 2 | Strength of the NI for women (F) and men (M) of ASD group. Error bars indicate the standard error of the mean (SEM). ∗= p < 0.05; The horizontal line
with intercept 3 refers to the level at which the illusion was experienced by participants. February 2019 | Volume 10 | Article 168 Frontiers in Psychology | www.frontiersin.org 5 Sex Differences in Body Ownership in ASD Guerra et al. were reported in the subjective experience of the illusion in
the Control group [Group∗Sex: F(1,104) = 0.684; p = 0.410;
partial-η2 = 0.007]. This suggests that women and men with
typical development experience the NI in a similar manner
(synchronous: t104 = 1.89; p = 0.555; asynchronous: t104 = 0.51;
p = 0.999). These results were ascribable to the significant effect
of Synchrony [F(1,104) = 30.91; p < 0.0001; partial-η2 = 0.104]. Indeed, the strength of the NI changed depending on the type of
stroking (synchronous or asynchronous; Figure 3). This pattern
holds true both for women (t104 = −5.85; p < 0.0001) and men
(t104 = −5.01; p = 0.0001) with typical development and in the
comparison between them (t104 = −4.67; p = 0.0002), but it is
not evident in the ASD group (Figure 4). Indeed, the type of
illusion perceived was different between the ASD and the Control
group [Group: F(1,104) = 6.61; p = 0.012; partial-η2 = 0.075]. More specifically, the synchronous self-stroking produces the
illusory effect of the NI in individuals of both the ASD and the
Control groups. Such effect is not evident in Controls when the
movement was performed asynchronously [Group∗Synchrony:
F(1,104) = 26.77; p < 0.0001; partial-η2 = 0.204]. RESULTS Average scores
to each item separately per group, per gender and per condition
are reported in Table 3, while a frequency table with respect of
participants’ self-report responses are given in Supplementary
Table S1. influence of sex differences in sensory experiences in ASD has
only been marginally addressed. This study aimed to explore
whether the experience of sensory-induced body ownership –
measured behaviorally by means of the NI - differs between
women and men with ASD. Our findings showed a clear sex
difference in the strength of the NI experienced by individuals
with ASD. Despite both women and men with ASD reported to
experience the disruption of the body ownership over their own
finger in the synchronous and in the asynchronous conditions,
women reported to experience the illusion significantly more
strongly than men. To evaluate whether such sex difference in the experience of
the NI is specific to ASD or it is a more general phenomenon, we
also tested the effect of sex on the NI in a group of women and
men with typical development. Comparing the performance of
individuals with ASD with that of a group of matched controls, it
emerges that women with ASD were more susceptible to the NI
than women and men with typical development, especially when
considering the asynchronous condition. This result acquires
even more relevance when considering that no sex differences
appeared when analyzing the Control group alone, showing that
the NI manifests in a similar manner in both typically developing
women and men. When focusing on the performance of men in
both groups it is evident that both men in the ASD and Control
groups were less susceptible to the NI compared to the women in
both groups. DISCUSSION Two explanations, one focused on social skills and the other
on sensory abilities, can be advanced to interpret these data. First, this finding may be interpreted as a reflection of the
ability of women with ASD to better deal with socialization and
empathy (e.g., Werling and Geschwind, 2013a). Indeed, the sense Researchers and clinicians are devoting more and more effort
to understanding whether and how the differences between the
female and male phenotypes of ASD can emerge. So far, the FIGURE 3 | Strength of the NI for women (F) and men (M) in the ASD and Control groups in the synchronous and asynchronous conditions. ∗= p < 0.05; Error bars
refer to the standard error of the mean (SEM). The horizontal line with intercept 3 refers to the level of which the illusion was experienced by participants. FIGURE 3 | Strength of the NI for women (F) and men (M) in the ASD and Control groups in the synchronous and asynchronous conditions. ∗= p < 0.05; Error bars
refer to the standard error of the mean (SEM). The horizontal line with intercept 3 refers to the level of which the illusion was experienced by participants. February 2019 | Volume 10 | Article 168 Frontiers in Psychology | www.frontiersin.org 6 Sex Differences in Body Ownership in ASD Guerra et al. FIGURE 4 | Strength of the NI for women (F) and men (M) in the Control group in the synchronous and asynchronous conditions. ∗= p < 0.05; ns = lack of statistical
significance. Error bars refer to the standard error of the mean (SEM). The horizontal line with intercept 3 refers to the level of which the illusion was experienced by
participants. FIGURE 4 | Strength of the NI for women (F) and men (M) in the Control group in the synchronous and asynchronous conditions. ∗= p < 0.05; ns = lack of statistical
significance. Error bars refer to the standard error of the mean (SEM). The horizontal line with intercept 3 refers to the level of which the illusion was experienced by
participants. et al., 2012) who exhibited reduced empathetic skills were
also those who were less susceptible to the RHI. Although
not tested directly, we may speculate that the women with
ASD in the present sample may present better empathic skills
than their male counterparts. DISCUSSION A second explanation, not in
contrast with the previous one, may suggest that the increased
susceptibility to the NI in women is the result of the ability
of women to differentially focus on the sensory input received. Women seem to be more focused on the sensory information
to solve the mismatch produced by the tactile conflict in
the NI, whereas men rely less on such sensory information. This idea is in line with the evidence showing that girls
with ASD score higher in the subscales of “Touch Response
and Use” in the Tokyo version of the Childhood Autism
Rating Scale (CARS) scale (Kumazaki et al., 2015) and that
women with ASD report more sensory-motor symptoms than
men with ASD (Moseley et al., 2018). Furthermore, increased
sensory issues (e.g., noise hypersensitivity, unusual sensory
interest, . . .) were reported more frequently in females with
ASD than in males with ASD (Gould and Ashton-Smith,
2011; Lai et al., 2011). When directly comparing women with
ASD and with typical development, self-reports suggest that
they are both more sensitive to sensory stimulation than
men (Tavassoli et al., 2014). This sensory perspective also fits
with the evidence of a stronger NI’s experience in women
in the synchronous (but not in the asynchronous) condition
as compared to men. Indeed, results showed that the NI
emerged in both groups when the stroking was synchronous,
while, when the movement was performed asynchronously, of body ownership has been deemed crucial in the development
of adaptive social skills, particularly imitation and empathy
(Gallese, 2003). The literature exploring the link between body
ownership and empathy reveals that both participants with
ASD (Cascio et al., 2012) and typical development (Farmer TABLE 3 | Self-report’s scores. DISCUSSION ASD group
Control group
Males
Females
Males
Females
Synchronous
Item 1
3.38 ± 0.57
3.63 ± 0.44
2.99 ± 0.97
3.34 ± 0.94
Item 2
3.08 ± 0.68
4.03 ± 0.36
2.60 ± 1.10
2.88 ± 0.99
Item 3
3.07 ± 0.79
3.60 ± 0.49
3.02 ± 1.06
3.14 ± 0.97
Item 4
3.26 ± 0.51
2.85 ± 1
3.38 ± 0.94
3.73 ± 0.77
Item 5
2.97 ± 0.62
3.20 ± 1.21
3.64 ± 0.88
3.97 ± 0.73
3.15 ± 0.38
3.46 ± 0.44
3.13 ± 0.70
3.41 ± 0.62
Asynchronous
Item 1
3.36 ± 0.71
3.43 ± 0.59
2.66 ± 0.93
2.83 ± 0.85
Item 2
3.15 ± 0.63
3.90 ± 0.70
2.34 ± 0.96
2.60 ± 0.95
Item 3
3.10 ± 0.81
3.93 ± 0.58
2.71 ± 1.02
2.47 ± 0.82
Item 4
3.27 ± 0.69
3.33 ± 0.81
2.88 ± 0.77
2.99 ± 0.96
Item 5
3.04 ± 0.76
3.58 ± 1.03
2.95 ± 0.91
3.05 ± 0.93
3.18 ± 0.45
3.63 ± 0.42
2.71 ± 0.72
2.79 ± 0.65
Average scores for each questionnaire’s item across all condition of both ASD and
Control groups. Values refer to the mean and standard deviation of participants’
ratings to the self-reports’ questions in both synchronous and asynchronous
conditions, respectively. See Table 2 for the description of each item. Values in bold
type refer to the mean and standard deviation of the strength of illusion experienced
by participants in different conditions. February 2019 | Volume 10 | Article 168 Frontiers in Psychology | www.frontiersin.org 7 Sex Differences in Body Ownership in ASD Guerra et al. Furthermore, studies on unusual tactile sensitivity in autism
reported no differences in the domain of tactile perception
across different tactile stimuli (e.g., detection of light touch,
discrimination of the roughness of different sandpapers,. . .)
when high-functioning individuals with ASD were compared
with individuals with typical development (O’Riordan and
Passetti, 2006; Cascio et al., 2008). However, these findings reflect
a non-social aspect of sensory suggestibility and may not be
impaired in ASD. In lack of other evidence directly linking
socially relevant sensory suggestibility to the tactile domain,
we turn to the evidence gathered from eye-witnesses. In this
case, individuals with ASD are reported to be “no more or
less suggestible than their typical counterparts” when directly
asked to report about their experiences (Maras and Bowler,
2014). DISCUSSION Second, if sensory suggestibility in the tactile domain
is key to the perception of the NI, we should expect that the
variability in sensory suggestibility would also be reflected at
the level of the Control group. However, this is not the case,
since a difference between the synchronous and asynchronous
conditions is reported in the Control group, as expected when
also looking at other illusory paradigms (Stone et al., 2018), but
not in ASD. only the participants in the ASD group experienced the
illusion. This seems to suggest that the process differentiating
between self and other in individuals with ASD is impaired,
in that an excessive focalization on one’s own self can
alter the perception of the self-other boundary (Noel et al.,
2017). An interesting observation, that was not part of our initial
set of hypotheses, is related to the range of the responses
given by the ASD group. Both women and men with ASD
were highly reliable in providing the same rating of the
strength of the NI. In other words, at the group level, the
responses are locked around a limited range of options, as
the inspection of the error bars suggests. This finding might
be taken as evidence that the participants with ASD had
difficulties in the understanding of the questions posed in the
self-report. However, all participants with ASD presented a
full-scale IQ comparable to that of controls, and this seems
to be sufficient reason to believe that the instructions were
understood and complied to the same extent as in the Control
group. A more likely explanation for the reduced range of
responses in the ASD sample can be found when interpreting
this outcome in the context of the aberrant precision theory
(Bolis et al., 2017). Such theory posits that individuals with
ASD use abnormal strategies (i.e., perceptual hypersensitivity,
hyper-attention to details,. . .) to make perceptual inferences. Such strategies, rather than maximizing the confidence in the
sensory evidence estimated based on a priori beliefs (i.e., reducing
the prediction error), tend to produce sub-optimal inferences
about the nature of the sensory information. In other words, and
compatibly with the neural instantiation of Bayesian inference
from which this principle is extracted (e.g., Friston, 2005;
Bastos et al., 2012), aberrant precision strategies emerge when
the sensory bottom-up input and the top-down predictions
about a stimulus are mismatching (i.e., the prediction error). DISCUSSION In the context of the NI, the expectation of the participant
is to feel their own index finger pressed against the hand
of the experimenter as part of their own body. However,
the sensory inputs (visual and tactile) produce an experience
compatible with the reduction of body ownership for such
finger (self) and attributing the ownership of that finger to the
experimenter (other). Put in these words, it appears evident
how the precision ascribed to the sensory evidence retrieved is
imbalanced with respect to the a priori belief hold about the
experience. In line with the call from the ASD and the scientific
community for research into the female autistic phenotype
(Halladay et al., 2015; Lai et al., 2015), the present study
contributes to uncover of sex differences in adults with ASD
in the field of the perception of body ownership by means
of the NI, a novel procedure to better understand sensory
and social issues in individuals with ASD. As for most
innovative studies, some limitations in data interpretation exist
and future studies will be needed to address them. First,
although proportional to what found in the ASD population,
the sample of women with ASD included in the present
study is rather limited. Therefore, to confirm the present
set of results we call for the replication of this study in
a larger sample of individuals with ASD. Second, to better
characterize the female phenotype of ASD a developmental
perspective is needed. Indeed, testing our hypotheses from
childhood to adulthood will allow to understand more deeply
how sex differences in body ownership emerge over development. Third, to confirm the specificity of these results to ASD,
it would be important to investigate sex differences in
the NI in a group of individuals with non-ASD atypical
development. Fourth, the administration of standardized self-
reports on sensory perception (e.g., the sensory perception
quotient; Tavassoli et al., 2014) and empathy (e.g., empathy
quotient; Baron-Cohen and Wheelwright, 2004) can be used
to probe the link between empathizing skills and the sense
of body ownership during the NI. Indeed, testing the possible
relationships between sex differences in the NI experience
and individual empathic competences in typical and atypical
populations might contribute to better understanding the
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for someone else’s finger. Curr. Biol. 19, R1108–R1109. doi: 10.1016/j.cub.2009. 10.055 Hiller, R. M., Young, R. L., and Weber, N. (2016). AUTHOR CONTRIBUTIONS VP, UC, and SG conceived and designed the study. SG
contributed to testing and data acquisition. AS, SG, and VP
analyzed and interpreted the data. VP and SG drafted the
manuscript. VP, UC, AS, and SG reviewed and edited the
manuscript. All authors approved the final version of the
manuscript for submission. VP, UC, and SG conceived and designed the study. SG
contributed to testing and data acquisition. AS, SG, and VP
analyzed and interpreted the data. VP and SG drafted the
manuscript. VP, UC, AS, and SG reviewed and edited the
manuscript. All authors approved the final version of the
manuscript for submission. VP, UC, and SG conceived and designed the study. SG
contributed to testing and data acquisition. AS, SG, and VP ACKNOWLEDGMENTS We are indebted to our participants for having given us their time
and best effort to complete the tasks. We are indebted to our participants for having given us their time
and best effort to complete the tasks. SUPPLEMENTARY MATERIAL The Supplementary Material for this article can be found
online
at:
https://www.frontiersin.org/articles/10.3389/fpsyg. 2019.00168/full#supplementary-material FUNDING To summarize, this is the first study exploring how women and
men with ASD are affected by a sensory-induced illusion on the
sense of body ownership. These results, discussed in the context
of social and sensory issues typical of women with ASD, pave the
way for the investigation of how sensory experiences can help
define the female phenotype of ASD. This work was supported by the Strategic Project (No. 2010XPMFW4) to UC. DISCUSSION Fifth, to further test whether the results hereby presented are
confounded by sensory suggestibility, we suggest the inclusion of
the sensory suggestibility scale (Gheorghiu et al., 1995) in future
investigations. p
Despite the attention to details, including sensory ones in
ASD (Martínez-Sanchis, 2014), one might also consider the
lack of a significant difference between the synchronous and
asynchronous conditions in ASD as the reflection of the lack
in the perception of the NI and, instead, the evidence of
greater sensory suggestibility in ASD. Although our data are
not directly able to test this issue, we contend that this may
be unlikely for at least two reasons. First, sensory suggestibility
does not seem to be impaired in ASD. Specifically, when
looking at sensory suggestibility in the RHI, it has been
reported that the temperature of the hand subjected to the RHI
similarly does not drop in participants with ASD and controls,
calling for similar levels of sensory suggestibility across groups. February 2019 | Volume 10 | Article 168 8 Sex Differences in Body Ownership in ASD Guerra et al. REFERENCES Sex differences in pre-diagnosis
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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
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Thalamocortical dynamics underlying spontaneous transitions in beta power in Parkinsonism
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UvA-DARE (Digital Academic Repository) Citation for published version (APA):
Reis, C., Sharott, A., Magill, P. J., van Wijk, B. C. M., Parr, T., Zeidman, P., Friston, K. J., &
Cagnan, H. (2019). Thalamocortical dynamics underlying spontaneous transitions in beta
power in Parkinsonism. NeuroImage, 193, 103-114. https://doi.org/10.1016/j.neuroimage.2019.03.009 Citation for published version (APA):
Reis, C., Sharott, A., Magill, P. J., van Wijk, B. C. M., Parr, T., Zeidman, P., Friston, K. J., &
Cagnan, H. (2019). Thalamocortical dynamics underlying spontaneous transitions in beta
power in Parkinsonism. NeuroImage, 193, 103-114. https://doi.org/10.1016/j.neuroimage.2019.03.009 Citation for published version (APA):
Reis, C., Sharott, A., Magill, P. J., van Wijk, B. C. M., Parr, T., Zeidman, P., Friston, K. J., &
Cagnan, H. (2019). Thalamocortical dynamics underlying spontaneous transitions in beta
power in Parkinsonism. NeuroImage, 193, 103-114.
https://doi.org/10.1016/j.neuroimage.2019.03.009 General rights General rights
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will be contacted as soon as possible. Thalamocortical dynamics underlying spontaneous transitions in beta
power in Parkinsonism Carolina Reis a,b, Andrew Sharott a, Peter J. Magill a,e, Bernadette C.M. van Wijk c,d,
Thomas Parr c, Peter Zeidman c, Karl J. Friston c , Hayriye Cagnan a,b,* a Medical Research Council Brain Network Dynamics Unit, University of Oxford, Oxford, UK
b Nuffield Department of Clinical Neurosciences, John Radcliffe Hospital, University of Oxford, Oxford, UK
c Wellcome Centre for Human Neuroimaging, University College London, UK
d Integrative Model-based Cognitive Neuroscience Research Unit, Department of Psychology, University of Amsterdam, the Nethe
e Oxford Parkinson's Disease Centre, University of Oxford, Oxford, UK a Medical Research Council Brain Network Dynamics Unit, University of Oxford, Oxford, UK
b Nuffield Department of Clinical Neurosciences, John Radcliffe Hospital, University of Oxford, Oxford, UK
c Wellcome Centre for Human Neuroimaging, University College London, UK
d Integrative Model-based Cognitive Neuroscience Research Unit, Department of Psychology, University of Amsterdam, the Netherlands
e Oxford Parkinson's Disease Centre, University of Oxford, Oxford, UK A R T I C L E I N F O Keywords:
Parkinson's disease
Dynamic causal modelling
Beta oscillations
Thalamocortical interactions
Effective connectivity Parkinson's disease (PD) is a neurodegenerative condition in which aberrant oscillatory synchronization of
neuronal activity at beta frequencies (15–35 Hz) across the cortico-basal ganglia-thalamocortical circuit is asso-
ciated with debilitating motor symptoms, such as bradykinesia and rigidity. Mounting evidence suggests that the
magnitude of beta synchrony in the parkinsonian state fluctuates over time, but the mechanisms by which tha-
lamocortical circuitry regulates the dynamic properties of cortical beta in PD are poorly understood. Using the
recently developed generic Dynamic Causal Modelling (DCM) framework, we recursively optimized a set of
plausible models of the thalamocortical circuit (n ¼ 144) to infer the neural mechanisms that best explain the
transitions between low and high beta power states observed in recordings of field potentials made in the motor
cortex of anesthetized Parkinsonian rats. Bayesian model comparison suggests that upregulation of cortical
rhythmic activity in the beta-frequency band results from changes in the coupling strength both between and
within the thalamus and motor cortex. Specifically, our model indicates that high levels of cortical beta synchrony
are mainly achieved by a delayed (extrinsic) input from thalamic relay cells to deep pyramidal cells and a fast
(intrinsic) input from middle pyramidal cells to superficial pyramidal cells. From a clinical perspective, our study
provides insights into potential therapeutic strategies that could be utilized to modulate the network mechanisms
responsible for the enhancement of cortical beta in PD. Specifically, we speculate that cortical stimulation aimed
to reduce the enhanced excitatory inputs to either the superficial or deep pyramidal cells could be a potential non-
invasive therapeutic strategy for PD. Parkinson's disease (PD) patients (Brown et al., 2001) and experimental
animal models of the disease (Bergman et al., 1994; Sharott et al., 2005). However, it remains unknown why dopamine depletion leads to exces-
sive synchronization across the CBGTC circuit during PD (Jenkinson and
Brown, 2011; Hammond et al., 2007, Leblois, 2006). The onset of
measurable oscillations in experimental Parkinsonism takes several days
post dopaminergic cell loss (Mallet et al., 2008a). One potential expla-
nation for this observation is that the reduction in dopaminergic drive
may lead to plastic changes and give rise to abnormal synchronization in
neural activity within and between different nodes of the CBGTC circuit. Regardless of the exact mechanism, a positive correlation between
excessive beta activity and motor deficits has been reported by several * Corresponding author. MRC Brain Network Dynamics Unit, University of Oxford, Oxford, UK.
E-mail address: hayriye.cagnan@ndcn.ox.ac.uk (H. Cagnan). Contents lists available at ScienceDirect Contents lists available at ScienceDirect Disclaimer/Complaints regulations
f UvA-DARE is a service provided by the library of the University of Amsterdam (https://dare.uva.nl)
will be contacted as soon as possible. Download date:24 Oct 2024 NeuroImage 193 (2019) 103–114 g
y
y
E-mail address: hayriye.cagnan@ndcn.ox.ac.uk (H. Cagnan).
https://doi.org/10.1016/j.neuroimage.2019.03.009
Received 20 September 2018; Received in revised form 1 February 2019; Accepted 5 March 2019
Available online 9 March 2019
1053-8119/© 2019 The Authors. Published by Elsevier Inc. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/). 2.2. Data processing All operations described in this section were performed in Matlab
2017a/2018a. Data and code that support the findings of this study are
available from the corresponding author (HC; hayriye.cagnan@ndcn
.ox.ac.uk) upon request. Recordings were down-sampled to 1000 Hz
from 16,000 Hz. To characterize the spontaneous beta power fluctuations
typically observed in PD, we defined two conditions based on instanta-
neous beta power – condition one being Low Beta (LB) power and con-
dition two being High Beta (HB) power. These conditions were based on
fluctuations in beta power that enabled us to select data-features (i.e.,
timeseries) for subsequent dynamic causal modelling that were repre-
sentative of the two conditions. Some experimental studies, on the other hand, support the role of
cerebral cortex in the generation and modulation of beta oscillations
(Jensen et al., 2005; Yamawaki et al., 2008). This perspective has
motivated the consideration of cortical interlaminar interactions in the
regulation of beta power. In the healthy state, the generation and mod-
ulation of beta oscillations has been investigated using DCM (Bhatt et al.,
2016), revealing a link between a set of laminar specific interactions
within the primary motor cortex and the enhancement/suppression of
beta power evoked by movement. Using a theoretical model, Sherman
et al. (2016) suggested that high beta power events in the physiological
state emerge through cortical laminar interactions conditioned by tem-
poral characteristics of the distal and proximal synaptic drives in the
neocortex. To extract the beta power envelope, we applied a second order band-
pass Butterworth filter with cut-off frequencies at 15–35 Hz to the ECoG
recording and subsequently employed the Hilbert transform to compute
the envelope of the ECoG in the beta frequency band. Each envelope was
then divided into non-overlapping epochs of 500 msec The two condi-
tions were subsequently derived from a relative threshold applied to the
area under the envelope across the 500msec epochs: (1) LB epochs
consisted of segments whose envelope area fell below the 5th percentile
of the envelope area observed across all epochs, and (2) HB epochs
consisted of segments whose envelope area was above the 95th percen-
tile of the envelope area observed across all epochs (Fig. 1). 5th and 95th
percentile thresholds were determined per dataset. From each recording,
we randomly selected 5 epochs per condition (n ¼ 5). 2.1. Electrophysiological recordings in parkinsonian rats The spectral data used in this study was based on motor cortex field
potentials (electrocorticograms) recorded in 36 urethane-anesthetized
rats rendered Parkinsonian by unilateral 6-OHDA lesions of midbrain
dopaminergic neurons. To record electrocorticogram (ECoG) data, a steel
screw electrode was implanted over the right somatosensory-motor
cortex ipsilateral to the 6-OHDA lesion and referenced to a steel screw
electrode implanted over the ipsilateral cerebellar hemisphere. Electro-
physiological recordings were carried out 21–42 days after surgery for
the induction of 6-OHDA lesions, thus allowing for changes in the CBGTC
circuit to stabilize. For detailed descriptions of electrode implantation,
anaesthesia, surgical induction of 6-OHDA lesions and related proced-
ures, please refer to (Mallet et al., 2008a, 2008b; Sharott et al., 2017). Only ECoG recordings made during periods of spontaneous ‘cortical
activation’ were considered in this study (Mallet et al., 2008a, 2008b;
Sharott et al., 2017). All experimental procedures were carried out on
adult male Sprague-Dawley rats (Charles River, Margate, UK) and were
conducted in accordance with the Animals (Scientific Procedures) Act,
1986 (UK). Adaptive Deep Brain Stimulation (aDBS) is an intervention that has
been developed to account for the transient nature of pathological neural
synchrony in the beta band. In contrast to conventional DBS (cDBS),
which continuously delivers high-frequency stimulation, aDBS adapts
stimulation delivery according to the level of beta power (Little et al.,
2013, 2012; Rosa et al., 2015), showing greater clinical efficiency (higher
motor symptom relief and fewer secondary effects) than cDBS and
random stimulation (Little et al., 2013). From a neuronal network perspective, several studies have proposed
that altered basal-ganglia output leads to excessive beta synchrony and
motor impairments in PD (Bevan et al., 2002; Holgado et al., 2010;
McCarthy et al., 2011; Terman et al., 2002). Employing Dynamic Causal
Modelling (DCM) (Friston et al., 2003), a framework for specifying,
fitting and comparing mathematical models of neural circuitry, Moran
et al. (2011) and Marreiros et al. (2013) indicated modulation of the
hyperdirect pathway and the projection from the subthalamic nucleus
and globus pallidus externus as potential mechanisms for beta power
enhancement in dopamine-depleted states. 2. Methods Although excessive synchrony in the beta band (i.e. beta power) is
traditionally described as a sustained event when averaged over seconds
(Brittain and Brown, 2014; Brown, 2007; Lopez-Azcarate et al., 2010), it
primarily manifests as intermittent events of high beta power or “beta
bursts” (Feingold et al., 2015; Sherman et al., 2016; Tinkhauser et al.,
2017; Little et al., 2012; Leventhal et al., 2012). Beta bursts have been
defined operationally as epochs of beta oscillations that surpass a certain
threshold – and their presence has been quantified in physiological
(Sherman et al., 2016; Feingold et al., 2015) and pathological neural
activity (Tinkhauser et al., 2017; Little et al., 2012). More specifically, in
Parkinson's disease, the probability of long beta bursts has been posi-
tively correlated with PD motor symptom severity (Tinkhauser et al.,
2017; Little et al., 2012). 1. Introduction Neuronal oscillations are considered to be key elements of informa-
tion flow (Buzsaki and Draguhn, 2004; Salinas and Sejnowski, 2001). For
neural populations to communicate in a behaviour-specific and adaptive
fashion, they may adapt their degree of rhythmic synchronization
accordingly (Fries, 2005). In its normative physiological state, the
Cortico-Basal Ganglia-Thalamo-Cortical circuit (CBGTC) exhibits tran-
sient (de-)synchronization in the beta band (13–30 Hz) activity during
motor control (Cassidy et al., 2002; Foffani et al., 2005; Pfurtscheller and
Lopes da Silva, 1999; Tsang et al., 2012; Zaepffel et al., 2013). Increased oscillations in the beta band have been observed both in C. Reis et al. NeuroImage 193 (2019) 103–114 clinical studies (Eusebio et al., 2009; Kuhn et al., 2008). clinical studies (Eusebio et al., 2009; Kuhn et al., 2008). thalamus establish a reciprocal relationship (Hooks et al., 2013), which is
thought to play a key role in physiological and pathological sensory and
motor computations (Sherman & Guillery, 2001). In PD, where motor
impairments are the cardinal symptoms, understanding the synaptic
dynamics and organization of the thalamocortical (TC) circuit could
potentially shed light on pathophysiological mechanisms. Accordingly,
we used cross spectral density (CSD) - DCM (Moran et al., 2009, 2011)
with a neural mass model of the TC loop (van Wijk et al., 2018) to
characterize its contribution to spontaneous beta power fluctuations
observed in the motor cortex of 6-OHDA-lesioned Parkinsonian rats. When Parkinsonian motor deficits are attenuated with pharmaco-
logical (Levodopa) or neuromodulatory interventions (deep brain stim-
ulation or optogenetics), a reduction in synchronization is observed in
the beta-frequency band across different species, including humans
(Brown et al., 2001; Eusebio et al., 2009; Kuhn et al., 2008; Levy et al.,
2002; Priori et al., 2004; Silberstein et al., 2005), 1-methyl-4-phenyl-1,2,
3,6-tetrahydropyridine treated non-human primate models of PD
(Heimer et al., 2006; Nambu and Tachibana, 2014) and a 6-hydroxydop-
amine (6-OHDA)-lesioned rat model of PD (Gradinaru et al., 2009;
Sharott et al., 2005). 2.2. Data processing This number cor-
responds to the minimum number of epochs found in either of the two
conditions across all recordings. A detailed comparison between the
above threshold and more conventional ones can be found in the Sup-
plementary material (Fig. S1). Motivated by these studies, we hypothesized that – in the Parkinso-
nian state – an alteration of interlaminar and laminar-specific connec-
tivity in the Thalamocortical (TC) loop contributes to the mechanisms
generating the parkinsonian spectral profile. We focused on the TC loop
due to the anatomical and functional characteristics of this network: 1)
the cortex is an optimal target for non-invasive therapeutic techniques
such as TMS and TACS (Barker et al., 1985; Cantello, 2002; Kobayashi
and Pascual-Leone, 2003; Herrmann et al., 2013); 2) the thalamus is the
only CBGTC node projecting directly to cortex, allowing for the inte-
gration of information from subcortical structures to the motor cortex
(Wise and Donoghue, 1986; Brazhnik et al., 2016) and 3) cortex and 104 NeuroImage 193 (2019) 103–114 C. Reis et al. Fig. 1. Extraction of low beta and high beta power features isolated from ECoG data. Panel A. shows the segmentation of the envelope into 500 msec epochs (5 s as an
example). Panel B. depicts the area under the beta band envelope for each epoch. If an epoch had an area under the curve below the 5th percentile of the area under
the envelope observed across all epochs (blue line), it was classified as low beta (*1); if an epoch had an area under the curve above the 95th percentile of the area
observed under the envelope across all epochs (red line), it was classified as high beta (*2). 5th and 95th percentile thresholds were determined per dataset. Epochs in
between the two percentiles were not considered. Panel C. shows the corresponding low beta (dark blue) and high beta (red) epochs in the ECoG signal filtered
at 15–35 Hz. Fig. 1. Extraction of low beta and high beta power features isolated from ECoG data. Panel A. shows the segmentation of the envelope into 500 msec epochs (5 s as an
example). Panel B. depicts the area under the beta band envelope for each epoch. 2.2. Data processing If an epoch had an area under the curve below the 5th percentile of the area under
the envelope observed across all epochs (blue line), it was classified as low beta (*1); if an epoch had an area under the curve above the 95th percentile of the area
observed under the envelope across all epochs (red line), it was classified as high beta (*2). 5th and 95th percentile thresholds were determined per dataset. Epochs in
between the two percentiles were not considered. Panel C. shows the corresponding low beta (dark blue) and high beta (red) epochs in the ECoG signal filtered
at 15–35 Hz. 2.3.1. Neural mass model of the thalamocortical circuit A neural mass model of the Thalamocortical circuit was created
comprising two formally distinct neural mass models of the motor cortex
and the thalamus using the new generic framework for Dynamic Causal
Modelling (van Wijk et al., 2018) (Fig. 2). Here, we adopted the motor
cortex microcircuit (MMC) model developed by Bhatt et al. (2016) and
coupled it to a model of the thalamus, based on thalamic anatomical
literature (Shepherd and Grillner, 2010; Douglas and Martin, 2004). As The neural mass model (f) – together with a likelihood model map-
ping hidden states to observed measurements – constitutes a generative
model; namely, a probabilistic mapping between neural fluctuations and
the spectral content of observed activity. Using a Bayesian framework,
DCM estimates the (posterior) probability density over the synaptic pa-
rameters, which are the most likely value of the hidden parameters, given Fig. 2. Sources, subpopulations
and synaptic
projections of a thalamocortical loop neural mass
model. The top part of the diagram describes the
first source - motor cortex and its subpopulations:
superficial pyramidal cells (SP) in the supra-
granular layer, middle pyramidal cells (MP) in the
granular layer, deep pyramidal cells (DP) in the
infragranular layer and, inhibitory interneurons
(II) as a common inhibitory subpopulation to the
3 cortical laminae. Intrinsic synaptic connections
among the above subpopulations comprise a
reciprocal connection between superficial and
middle pyramidal cells, a reciprocal connection
between superficial and deep pyramidal cells, a
reciprocal connection between each of the three
pyramidal
subpopulations
and
the
inhibitory
subpopulation
and
finally,
a
self-inhibitory
connection to each cortical node. The bottom
part of the diagram depicts the thalamus and its
subpopulations: reticular thalamic cells (RET) as
the inhibitory subpopulation of the thalamus and
relay cells (REL) as the excitatory subpopulation
of the motor thalamus. Intrinsic synaptic connec-
tivity of the thalamus comprises a reciprocal
connection between relay and reticular cells and
self-inhibitory connection of reticular cells. As
corticothalamic extrinsic connections, deep pyra-
midal cells were considered to send afferents to
both relay and reticular subpopulations, while the
model space for thalamocortical projections is
described in section 2.3.4 and illustrated in Fig. 3
(top panel). Fig. 2. Sources, subpopulations
and synaptic
projections of a thalamocortical loop neural mass
model. 2.3. Dynamic causal modelling (DCM) the observed data (Moran et al., 2011). The generative (neural mass)
model calls on its biophysical parameters to describe the evolution of
voltages (v) and currents ðiÞ in each subpopulation of neurons (Jansen
and Rit, 1995). In addition to estimating the posterior density over model
parameters (e.g., synaptic connection strengths and the amplitude of
neuronal fluctuations), DCM also provides an estimate of the evidence for
a particular model or network architecture implicit in the generative
model. This allows one to compare different models or hypotheses using
Bayesian model comparison. A complete description of the mathematical
framework that underwrites DCM can be found in (Moran et al., 2013). DCM for cross spectral density is used to infer the hidden (neuronal)
states (z) and synaptic parameters (θ) that generate spectral features of
observed data (u) (Moran et al., 2009, 2011). Hidden states and unknown
parameters cannot be observed directly but can be estimated under a
generative or forward model. This model comprises a biophysical neural
mass model and the spectral composition of neural and channel noise
(Moran et al., 2008). The neural mass model is expressed in terms of a
differential equation with the following form: (1) _z ¼ fðz; u; θÞ 2.3.1. Neural mass model of the thalamocortical circuit The top part of the diagram describes the
first source - motor cortex and its subpopulations:
superficial pyramidal cells (SP) in the supra-
granular layer, middle pyramidal cells (MP) in the
granular layer, deep pyramidal cells (DP) in the
infragranular layer and, inhibitory interneurons
(II) as a common inhibitory subpopulation to the
3 cortical laminae. Intrinsic synaptic connections
among the above subpopulations comprise a
reciprocal connection between superficial and
middle pyramidal cells, a reciprocal connection
between superficial and deep pyramidal cells, a
reciprocal connection between each of the three
pyramidal
subpopulations
and
the
inhibitory
subpopulation
and
finally,
a
self-inhibitory
connection to each cortical node. The bottom
part of the diagram depicts the thalamus and its
subpopulations: reticular thalamic cells (RET) as
the inhibitory subpopulation of the thalamus and
relay cells (REL) as the excitatory subpopulation
of the motor thalamus. Intrinsic synaptic connec-
tivity of the thalamus comprises a reciprocal
connection between relay and reticular cells and
self-inhibitory connection of reticular cells. As
corticothalamic extrinsic connections, deep pyra-
midal cells were considered to send afferents to
both relay and reticular subpopulations, while the
model space for thalamocortical projections is
described in section 2.3.4 and illustrated in Fig. 3
(top panel). 105 C. Reis et al. NeuroImage 193 (2019) 103–114 Table 1
Prior expectations set for the parameters of the baseline condition (Low beta). CT-corticothalamic projections; TC-thalamocortical projections; MMC – motor
microcircuit; THAL-thalamus; SP- superficial pyramidal cells; MP- middle pyra-
midal cells; DP – deep pyramidal cells. Table 1 This
output is additionally scaled by the synaptic coupling strength as illus-
trated by the following generic second order differential equation: €v
a
j ¼
γa
kS
va
k
þ λb
mS
vb
m
þ I 2 _va
j va
j
Ta
j
!,
Ta
j
(2) (2) Here, the averaged membrane potential v of the subpopulation j in the
source a is influenced by subpopulations of the same source with synaptic
strength γ and subpopulations from different sources with synaptic
strength λ. Intrinsic synapses γ show a positive synaptic strength if glu-
tamatergic and negative synaptic strength if GABAergic. S denotes the
sigmoid function above and T the subpopulation-specific membrane time
constant. Endogenous fluctuations or input, I is modelled as a mixture of
white and pink noise and drives middle pyramidal cells and thalamic
relay cells. The rationale for modelling afferent input to both the motor
cortex and thalamus (as opposed to restricting the model to thalamic
input) rests on the fact that both motor cortex and thalamus receives
input from other (unmodelled) components of the motor system. Exam-
ples here include inputs from supplementary motor areas and premotor
cortex to primary motor cortex (Jones et al., 1975) and inputs from basal
ganglia and cerebellum to motor thalamus (Kuramoto et al., 2011;
Nakamura et al., 2014). Table 1 Prior expectations set for the parameters of the baseline condition (Low beta). CT-corticothalamic projections; TC-thalamocortical projections; MMC – motor
microcircuit; THAL-thalamus; SP- superficial pyramidal cells; MP- middle pyra-
midal cells; DP – deep pyramidal cells. In this study, the thalamus was modelled using an excitatory sub-
population (neuronal group of thalamic relay cells) and an inhibitory
subpopulation (neuronal group of thalamic reticular cells) (Shepherd and
Grillner, 2010) that were connected as follows: a reciprocal connection
between relay and reticular cells (Harris, 1987; Cox et al., 1997) and a
self-inhibitory connection of reticular cells (Shu and McCormick, 2002). Although we acknowledge that there are distinct thalamic nuclei (i.e. neuronal ensembles receiving afferents from different brain regions
(Sherman & Guillery, 2001) the thalamus was modelled here as a single
neuronal mass model. An important extension of the current work would
be to subdivide the motor thalamus (ventral anterior, ventral lateral and
ventral medial nuclei in rodents) into input zones that receive GABAergic
drive from the Basal-Ganglia and glutamatergic drive from the cere-
bellum (Kuramoto et al., 2011; Nakamura et al., 2014). To model the extrinsic synaptic interactions between the motor cortex
and thalamus we used two corticothalamic projections from deep pyra-
midal cells to thalamic relay cells and thalamic reticular cells (Bourassa
et al., 1995; Jones, 2001). Although the thalamus is thought to project to
all layers of the cortex (Hooks et al., 2013) and the ventromedial nucleus
(VM) of the motor thalamus has been shown via immunochemistry
studies to project mainly to layers I and II of the motor and anterior
cingulate cortices (Arbuthnott et al., 1990; Clasca et al., 2012; Kuramoto
et al., 2015), it is not clear which thalamocortical projections are
important in modulating beta power. To resolve this, we considered
different models to test the impact of including different connections on
model evidence (section 2.3.4.). Operationally, the difference between
within-structure (intrinsic) connections and between-structures connec-
tions (extrinsic), relies on their propagation delay parameters (Table.1). Aiming to bring bio-plausibility to the TC neural mass model architec-
ture, here the propagation delays of extrinsic connections (thalamo-
cortical and corticothalamic projections) were set to 8msec while the
propagation delays of intrinsic dynamics (intracortical and intrathalamic
connections) were set to 1 msec subpopulation. Furthermore, the shape of the sigmoid function (slope)
measures the efficacy of a presynaptic ensemble to generate output. 2.3.1. Neural mass model of the thalamocortical circuit Parameters
Description
Prior means
(μ)
Log-scaling
parameters
(π;σ2)
γmmc
1…14
Synaptic coupling
strengths motor cortex
[Hz]
[800 800 800 800 800
400 800 800 400 200
400 800 800 400]
0, 1/16
Tmmc
1…4
Time constant [msec] of
cell populations motor
cortex: [MP, SP, II, DP]
[8 8 8 8]
0, 1/16
γtcr
1…3
Synaptic coupling
strengths motor
thalamus [Hz]
[800 800 800]
0, 1/64
Ttcr
1…2
Time constants [msec]
cell populations
thalamus: [RET; REL]
[8 8]
0, 1/64
λ 1…4
Extrinsic connections
strengths: [CT and TC]
[Hz]
[800 800 800 800]
0, 1/16
B1…8
Condition-specific
effects (on coupling
strengths):
[0]
0, 1/8
Rmmc
Slope sigmoidal
function:
2/3
0, 1/32
Rtcr
Slope sigmoidal
function:
2/3
0, 1/16
d1…2
Intrinsic delays [msec]:
[within MMC; within
THAL]
[1]
0,0
D1…2
Extrinsic delays [msec]:
[from MMC to THAL;
from THAL to MMC]
[8]
0,0
αc;βc
Channel unspecific
observation noise
[0 0]
0, 1/128
αs;βs
Channel specific
observation noise
[0 0]
0, 1/128
L
Observation gain
[1]
0, 64
J
Contributing states: [SP,
MP, DP]
[0.6 0.2 0.2]
0, 1/16
hE
Log-precision of
observed data
12
0, 1/32 with previous models of the sensory cortex – and incorporating the work
of Yamawaki et al., 2014 - Bhatt et al. (2016) used 3 excitatory sub-
populations (neuronal ensembles consisting of “superficial”, “middle”
and “deep” pyramidal cells located in the supragranular, granular and
infragranular cortical layers, respectively) and one common inhibitory
subpopulation (inhibitory interneurons) to model the primary motor
cortex. In the MMC model, the coupling between these subpopulations
(GABAergic or glutamatergic synapses) is tailored according to synaptic
characteristics of the primary motor cortex: a reciprocal connection be-
tween superficial and middle pyramidal cells (Yamawaki et al., 2014), a
reciprocal connection between superficial and deep pyramidal cells
(Hooks et al., 2013; Yamawaki and Shepherd, 2015; Anderson et al.,
2010; Weiler et al., 2008), a reciprocal connection between each of the
three pyramidal subpopulations and the common inhibitory subpopula-
tion (Fino et al., 2013), and a cell type specific self-inhibitory connection
(Bastos et al., 2012; Yoshimura and Callaway, 2005). The self-inhibitory
connections aim to capture laminar-specific inhibition, mediated by local
inhibitory neurons (K€atzel et al., 2011). For further discussion on
recurrent inhibitory connections in the context of the canonical micro-
circuit model, please refer to Auksztulewicz and Friston (2015). 2.3.3. Model inversion In DCM, model inversion iteratively tunes the model's parameters to
optimize the fit of the predicted electrophysiological data to the observed
data. Using a standard (variational) Bayesian scheme, model inversion
uses priors to constrain the search of parameter space to explain the
observed spectral features of electrophysiological data. When fitting the
data (i.e., inverting the model), the optimization of model parameters
uses a variational Laplace scheme to minimize a (free energy) bound on
(negative) log model evidence. This free energy approximation to model
evidence is subsequently used for model comparison (Friston et al., 2007;
Friston and Stephan, 2007). A summary of the parameters described in this section and their prior
values are shown in Table.1. Prior values were based on previous DCM
studies (Bhatt et al. 2016) and optimized for our study. In brief, model evidence is the (marginal) likelihood of observing data
given a model, pðyjmÞ. It reflects a balance between accuracy (goodness
of fit between predicted and observed spectral densities) and complexity Fig. 3. Competing models of the Thalamocortical circuit as described by factors 1 and 2 (9 architectures times 16 modulatory configurations). The diagram on the top
(factor 1: architecture) describes the 9 families of models constructed to elucidate which thalamocortical projections are the most plausible explanation for the
generation of beta oscillations (1.- 3.) accounts for a singular projection from thalamus to motor cortex via superficial pyramidal cells, middle pyramidal cells and deep
pyramidal cells; (4.- 6.) accounts for two afferents to two excitatory subpopulations of the motor cortex via superficial and middle pyramidal cells, middle and deep
pyramidal cells and superficial plus deep pyramidal cells, and (7.- 9.) accounts for projections to the superficial pyramidal subpopulation and inhibitory interneurons,
the middle pyramidal subpopulation and inhibitory interneurons and deep pyramidal cells and inhibitory interneurons. To disclose the synaptic modulation (intrinsic
and/or extrinsic) responsible for an enhancement of beta power, the models on the bottom (factor 2: modulatory configuration) feature 16 different modulatory
configurations, under each of the 9 architectures described above. The first eight set of connections (1.-8.) entail extrinsic and intrinsic synaptic modulation (except for
model 8, with no intrinsic modulation) and the second eight set of connections (9.-16.) considers intrinsic modulation only. The intrinsic modulatory connections in
family 2 were: (1. and 9.) cortical modulation via reciprocal connection between superficial and deep pyramidal subpopulations; (2. 2.3.3. Model inversion and 10.) cortical modulation via
reciprocal connection between superficial and middle pyramidal subpopulations; (3. and 11.) cortical modulation via self-inhibitory connection of the inhibitory
interneurons subpopulation; (4. and 12.) thalamic modulation via reciprocal connection between reticular cells and relay cells; (5. and 13.) cortical and thalamic
modulation via reciprocal connection between superficial and deep pyramidal subpopulations plus reciprocal connection between reticular cells and relay cells; (6. and
14.) cortical modulation via reciprocal connection between superficial and middle pyramidal subpopulations plus reciprocal connection between reticular cells and
relay cells; (7. and 8.) self-inhibitory connection of the inhibitory interneuron subpopulation plus reciprocal connection between reticular cells and relay cells and
lastly, (8. and 16.) the null hypothesis that neither extrinsic nor intrinsic connections change to explain condition specific changes in cortical beta power (i.e. enhancement of beta). Fig. 3. Competing models of the Thalamocortical circuit as described by factors 1 and 2 (9 architectures times 16 modulatory configurations). The diagram on the top
(factor 1: architecture) describes the 9 families of models constructed to elucidate which thalamocortical projections are the most plausible explanation for the
generation of beta oscillations (1.- 3.) accounts for a singular projection from thalamus to motor cortex via superficial pyramidal cells, middle pyramidal cells and deep
pyramidal cells; (4.- 6.) accounts for two afferents to two excitatory subpopulations of the motor cortex via superficial and middle pyramidal cells, middle and deep
pyramidal cells and superficial plus deep pyramidal cells, and (7.- 9.) accounts for projections to the superficial pyramidal subpopulation and inhibitory interneurons,
the middle pyramidal subpopulation and inhibitory interneurons and deep pyramidal cells and inhibitory interneurons. To disclose the synaptic modulation (intrinsic
and/or extrinsic) responsible for an enhancement of beta power, the models on the bottom (factor 2: modulatory configuration) feature 16 different modulatory
configurations, under each of the 9 architectures described above. The first eight set of connections (1.-8.) entail extrinsic and intrinsic synaptic modulation (except for
model 8, with no intrinsic modulation) and the second eight set of connections (9.-16.) considers intrinsic modulation only. The intrinsic modulatory connections in
family 2 were: (1. and 9.) cortical modulation via reciprocal connection between superficial and deep pyramidal subpopulations; (2. and 10.) cortical modulation via
reciprocal connection between superficial and middle pyramidal subpopulations; (3. and 11.) cortical modulation via self-inhibitory connection of the inhibitory
interneurons subpopulation; (4. 2.3.2. Neural dynamics In DCM, neural dynamics (i.e., fluctuations in voltages and currents)
at the subpopulation level is described by two key operations (Eq. (2)): a
convolution operator and an output operator (Moran et al., 2007). The
convolution operator transforms presynaptic inputs (firing rate) into
postsynaptic membrane potentials based on a synaptic impulse response
function, which considers the nature of the synapse (i.e. excitatory or
inhibitory). The output operator consists of a non-linear function that converts the
postsynaptic membrane potentials into a firing rate to be relayed to
another subpopulation. This is conveyed through a sigmoid function
S which captures the membrane sensitivity and firing threshold of each In this study, we used DCM for cross spectral density (Moran et al.,
2009, 2011) where the data generated by a model of neural hidden states 106 C. Reis et al. NeuroImage 193 (2019) 103–114 are expressed as cross spectra in channel space (ECoG screw electrodes). In the context of electrophysiological recordings, the mapping between
neural states and observed signals is achieved by a gain function - unlike
EEG/MEG data where an electromagnetic forward model is used. Contribution of each neural population to the cortical output is weighted
according to parameter J (Table 1 - contributing states: [Superficial,
Middle and Deep Pyramidal populations] - [0.6 0.2 0.2]) scaled by
observation gain L (Table 1 - [1]). A detailed description of the trans-
formation from state space to the frequency domain can be found in
Friston et al. (2012) (pages 442 and 443; section “From models to ker-
nels”: equations (5)–(7)). 2.3.4. Bayesian Model Comparison and parameters analysis A set of models were implemented which varied according to 2 fac-
tors: i) the laminar-specificity of thalamocortical projections that
generate beta oscillations, and ii) the changes in synaptic connectivity
within the TC loop (intrinsic and/or extrinsic) required to induce a
transition from a low beta power condition to a high beta power
condition. The model with the highest evidence for the transition from low beta
epochs to high beta epochs (Fig. 4) was that with i) an architecture
featuring thalamocortical projections from the REL-DP and REL-II in
cortex and ii) modulatory changes in: intrinsic connections at the cortical
level between SP-MP; intrinsic connections at the thalamic level, be-
tween REL-RET; corticothalamic extrinsic connections from DP-REL and
DP-RET and thalamocortical connections from REL-DP and REL-II. The
set of differential equations explaining the neural dynamics of the win-
ning model can be found in the supplementary materials (Fig.S5). The
winning model shows a free energy difference (i.e., log Bayes factor) of
approximately 6 from the next closest model (Fig.S2). This corresponds
to very high evidence for the winning model, in relation to alternative
explanations. The first factor comprised 9 families (types) of models. These models
had identical intrinsic and corticothalamic connections as described in
section 2.3.1 and illustrated in Fig. 2 but differed in the laminar targets of
thalamocortical afferents: 1) superficial pyramidal cells; 2) middle py-
ramidal cells; 3) deep pyramidal cells; 4) superficial plus middle pyra-
midal cells; 5) middle plus deep pyramidal cells; 6) superficial plus deep
pyramidal cells; 7) superficial pyramidal cells plus inhibitory in-
terneurons; 8) middle pyramidal cells plus inhibitory interneurons and 9)
deep pyramidal cells plus inhibitory interneurons (Fig. 3, top panel). Using fixed-effects Bayesian Model Comparison (FFX-BMC) to make
inferences at the family level, the architecture with thalamic projections
to DP and II showed the highest evidence across subjects (Fig. 5A). Similarly, the condition specific effects in the reciprocal connection be-
tween SP -MP, REL-RET and DP-REL plus connections from DP-RET and
REL-II had the highest posterior probability (Fig. 5B). These results
confirm our hypothesis that both the laminar-specificity of extrinsic
connectivity and intrinsic connections are key elements underlying the
modulation of oscillatory activity in the beta band. The second factor comprised 16 families of models that varied in the
set of connections that could show condition specific effects. 3.2. Parameter analysis The results from our second level analysis (PEB modelling of A,G,B
and T parameters at the group level) suggest that the transition from low
beta state to high beta state is induced by i) an increase in synaptic
strength in connections from relay cells to inhibitory interneurons, relay
cells to deep pyramidal cells, middle pyramidal cells to superficial py-
ramidal cells and relay to reticular cells; plus ii) a reduction of synaptic
strength in connections from superficial to middle pyramidal cells, deep
pyramidal to both relay and reticular cells and from reticular to relay Fig. 4. Observed and expected power spectral densities (PSD). (A) Spectral features to be explained by a DCM: Red lines depict the mean high beta spectral densities
and blue lines the mean low beta spectral densities from each of the 36 rats. (B) Group mean of HB spectral densities in red and LB spectral densities in blue. Respective
variabilities (75th and 25th percentiles of the mean spectra) denoted in light red and light blue. (C) Goodness of the fits between mean data spectral densities and
spectral densities generated by the winning model. The full red line shows the mean of high beta data and the dark red dashed line the high beta spectra estimated by
the winning model (correlation coefficient, r ¼ 0.9997). The full dark blue line refers to the mean of low beta data and the dark blue dashed line to the low beta spectra
produced by the winning model (correlation coefficient, r ¼ 0.9957). Fig. 4. Observed and expected power spectral densities (PSD). (A) Spectral features to be explained by a DCM: Red lines depict the mean high beta spectral densities
and blue lines the mean low beta spectral densities from each of the 36 rats. (B) Group mean of HB spectral densities in red and LB spectral densities in blue. Respective
variabilities (75th and 25th percentiles of the mean spectra) denoted in light red and light blue. (C) Goodness of the fits between mean data spectral densities and
spectral densities generated by the winning model. The full red line shows the mean of high beta data and the dark red dashed line the high beta spectra estimated by
the winning model (correlation coefficient, r ¼ 0.9997). 2.3.4. Bayesian Model Comparison and parameters analysis For each one
of the 9 architectures in the first factor, we explored condition specific
effects by including or not the following features: intracortical modula-
tory synapses; intrathalamic modulatory synapses and extrinsic (between
cortex and thalamus) modulatory synapses (Fig. 3, bottom panel). There
were therefore 9 16 ¼ 144 candidate models in total. Bayesian Model Comparison (BMC) was used to determine the model
with the highest log-model evidence among the models described above
(Stephan et al., 2010). We then characterised the parameters of the
winning model at the group level using Parametric Empirical Bayes (PEB)
(Friston et al., 2015). In brief, PEB uses a hierarchical model, where the
parameters from each subject's DCM are summarized by a posterior
density (the expected connectivity strength and posterior covariance). Random effects at the between subject level are similarly inferred to
inform the group-level parameter estimates. This means that PEB allows
for estimation of fixed and random effects in an optimal fashion;
implicitly reducing the influence of “outlier subjects” on the posterior 3. Results 3. Results 2.3.3. Model inversion and 12.) thalamic modulation via reciprocal connection between reticular cells and relay cells; (5. and 13.) cortical and thalamic
modulation via reciprocal connection between superficial and deep pyramidal subpopulations plus reciprocal connection between reticular cells and relay cells; (6. and
14.) cortical modulation via reciprocal connection between superficial and middle pyramidal subpopulations plus reciprocal connection between reticular cells and
relay cells; (7. and 8.) self-inhibitory connection of the inhibitory interneuron subpopulation plus reciprocal connection between reticular cells and relay cells and
lastly, (8. and 16.) the null hypothesis that neither extrinsic nor intrinsic connections change to explain condition specific changes in cortical beta power (i.e. enhancement of beta). 107 C. Reis et al. NeuroImage 193 (2019) 103–114 density at the group level. Note that in Bayesian inference, (unstan-
dardized) effect sizes are available explicitly in terms of posterior ex-
pectations and Bayesian credible intervals (Standardized effect sizes such
as correlations are replaced by differences in model evidence – implicit in
Bayesian model comparison). Here, only a subset of parameters was
taken to the group level and assumed to exhibit random effects: synaptic
coupling strength of intrinsic and extrinsic connections (G and A pa-
rameters in the DCM respectively); condition-specific effects on coupling
strength (B parameters) and the time constants of subpopulations (T). (divergence between prior and posterior parameter estimates) (Stephan
et al., 2010). This balance depends upon the expected precision of the
observed data. Given the high signal to noise ratio in the data obtained
using the electrocorticographic recording method, the expected precision
of observed data was assumed to be high (with a log precision of 12). At this stage, low beta power was set as our baseline condition (with
prior expectations optimized to best explain its spectral features). Condition-specific effects (B parameters) on both extrinsic (between-re-
gions) and intrinsic (within-regions) coupling strengths (Moran et al.,
2007) were used to explain periods of high beta power. In other words,
we estimated the changes in synaptic efficacy required to move from a
low beta power condition to a high beta power condition. 3.2. Parameter analysis The full dark blue line refers to the mean of low beta data and the dark blue dashed line to the low beta spectra
produced by the winning model (correlation coefficient, r ¼ 0.9957). 108 C. Reis et al. NeuroImage 193 (2019) 103–114 C. Reis et al. Fig.5. Schematic and posterior probability of the
winning model selected via FFX-BMC. Diagram
and bar plot (A) refer to architecture of the win-
ning model (Fig. 3, Factor 1: Architecture, num-
ber 9). These results suggest that thalamocortical
projection to the deep pyramidal cells and cortical
inhibitory subpopulation (in thick lines) were
crucial for the generation of beta oscillations and
that this effect was consistently observed across
subjects (posterior probability of 1). Diagram and
bar plot (B) indicate the modulatory connections
of our winning model (Fig. 3, Factor 2: Modula-
tory
configuration,
number
6). The
diagram
shows the set of connections as thick lines to have
a higher likelihood (compared to the homologous
15) of inducing the power spectral changes
observed (beta enhancement). These being: a
reciprocal connection between superficial and
middle
pyramidal
subpopulations,
reciprocal
connection between thalamic relay and reticular
subpopulation and a reciprocal extrinsic connec-
tion between deep pyramidal cells and thalamic
relay cells, an extrinsic connection from deep
pyramidal cells to thalamic reciprocal cells and
from thalamic relay cells to cortical inhibitory
interneurons. The bar plot shows a posterior
probability greater than 0.99 for the modulatory
configuration described above and a negligible
posterior probability of approximately 0.004 for a
modulatory configuration which assumed the
same modulatory characteristics as the winning
model except for the intrinsic synaptic mecha-
nisms of the motor cortex; i.e., presenting an
intracortical modulation via reciprocal connec-
tions between superficial and deep pyramidal
cells instead of reciprocal connections between
superficial and middle pyramidal cells. (Ex.-
extrinsic connections, r. - reciprocal connections,
sp. - superficial pyramidal cells, mp.-middle py-
ramidal cells, dp. - deep pyramidal cells, ii.-
inhibitory interneurons, rel. – relay cells and ret. –
reticular cells). cells (Fig. 6). Additionally, from the posterior distribution of our B pa-
rameters we assessed the effect size of each modulatory connection on
the enhancement of beta – illustrated in the bar plot below (Fig. 6). explain beta enhancement: REL-DP, MP-SP and REL-RET; we further
analysed, via forward modelling, the impact of simultaneous alteration of
the above connection strengths on the magnitude of beta power. 3.2. Parameter analysis As such,
we aimed to characterize the contribution of these three parameters to Considering the connections that showed the greatest change to Fig. 6. Average modulatory effect of B parameters (condition-specific parameters) obtained via Parametric empirical Bayes analysis (Friston et al., 2015). The two bar
plots on the left-hand side illustrate the absolute connection strength of each modulatory connection in the low and high beta conditions. The bar plot in the centre
shows how connectivity strength of B parameter changed at the group level in order to induce an increase of beta power. Negative values of change indicate a
reduction in connectivity strength and positive values an increase. The anatomy of these connections is illustrated in the diagram on the right-hand side. Fig. 6. Average modulatory effect of B parameters (condition-specific parameters) obtained via Parametric empirical Bayes analysis (Friston et al., 2015). The two bar
plots on the left-hand side illustrate the absolute connection strength of each modulatory connection in the low and high beta conditions. The bar plot in the centre
shows how connectivity strength of B parameter changed at the group level in order to induce an increase of beta power. Negative values of change indicate a
reduction in connectivity strength and positive values an increase. The anatomy of these connections is illustrated in the diagram on the right-hand side. Fig. 6. Average modulatory effect of B parameters (condition-specific parameters) obtained via Parametric empirical Bayes analysis (Friston et al., 2015). The two bar
plots on the left-hand side illustrate the absolute connection strength of each modulatory connection in the low and high beta conditions. The bar plot in the centre
shows how connectivity strength of B parameter changed at the group level in order to induce an increase of beta power. Negative values of change indicate a
reduction in connectivity strength and positive values an increase. The anatomy of these connections is illustrated in the diagram on the right-hand side. 109 C. Reis et al. NeuroImage 193 (2019) 103–114 nature of beta power observed in Parkinsonian time-series. the gradual transition between the two states – low and high beta power. To do so, we have effectively replaced the MP-SP and REL-RET posteriors
with values between 1 and 1 and plotted the summed beta spectral
output (15–35 Hz) normalised by the summed beta spectral output
(15–35 Hz) in the baseline condition (i.e. low beta power). 3.2. Parameter analysis This post hoc
simulation allows us to characterize the selective effect of specific con-
nections on the expression of cortical beta power level. Fig. 7A, suggests
that when the intrinsic thalamic connection from relay to reticular cells
have low levels of coupling strength, high beta power appears abruptly as
the coupling strength from middle to superficial pyramidal cells is
increased. This emergence of beta is modulated by the gradual change in
coupling strength from thalamic relay cells to deep pyramidal cells,
where reduced coupling leads to higher levels of beta. Focusing on the Thalamocortical loop of the BGTC circuit, we have
employed DCM to identify a model of TC interactions that offers plausible
substrates for the transient enhancement of cortical beta. Our study
suggests two core features of the thalamocortical circuit that may un-
derwrite the genesis of beta oscillations in the parkinsonian state: 1)
laminar specific thalamocortical projections; and 2) modulation of syn-
aptic strength across all network levels (i.e. within and between
structures). To model different levels of beta synchrony, we extracted low beta
epochs and high beta power epochs from motor cortex ECoG recordings
acquired from urethane-anesthetized rodents rendered Parkinsonian by
6-OHDA lesions. This rodent model is useful in capturing the chronic
dopamine depletion that is common to ‘late stage’ PD, and has been
widely used for studies of the mechanisms by which excessive beta
synchrony arises and propagates within the BGTC circuit in Parkin-
sonism. Although urethane has been shown to alter the function of
multiple neurotransmitter receptors - which will dictate various aspects
of neural activity such as firing rate – its effects occur to a much smaller
extent when compared to other anaesthetics (Hara and Harris, 2002). The dose of urethane allows clear differentiation of slow wave and
activated states; only the latter of which resembles the awake brain state
and contains abnormally sustained beta oscillations in the dopamine
depleted animal (Mallet et al., 2008a, b; Sharott et al., 2017). Finally, the
abnormal beta oscillations present in the BGTC circuit in anesthetized
and behaving 6-OHDA lesioned are similar in many respects to those
present in unmedicated people with PD (Avila et al., 2010; Brazhnik
et al., 2016; Degos et al., 2009; Mallet et al., 2008a, 2008b; Nevado--
Holgado et al., 2014; Sharott et al., 2005, 2017). On the other hand, Fig. 3.2. Parameter analysis 7B, suggests that when the connectivity from
relay to reticular cells is high, a concurrent increase in the coupling from
both relay to deep pyramidal cells and middle to superficial pyramidal
cells is required to achieve beta power enhancement. In short, the level of
cortical beta depends on the magnitude of excitatory inputs to both su-
perficial and deep pyramidal. We additionally explored the spectral output of each subpopulation of
our TC neural mass model (Fig. 8) and observed that all nodes generated
spectral curves within the beta band during both conditions and
increased their power from condition one (LB) to two (HB) as expected. Please note that the plotted curves represent the source-space activity,
which has been estimated separately for each data set. 4. Discussion In this study, we aimed to identify the network mechanisms that
contribute to the dynamic regulation of beta synchrony in the parkin-
sonian motor cortex. In-vivo studies of the basal ganglia thalamocortical
(BGTC) circuit suggest that alterations in the firing rate across the direct
and indirect pathways are responsible for the motor impairments
observed in PD (Albin et al., 1989; DeLong, 1990; Nambu, 2004). Simi-
larly, in-silico simulations of the BGTC circuit propose that an altered
coupling from the subthalamic nucleus to globus pallidus externus, and
strengthening of the hyperdirect pathway play an important role in the
enhancement of beta synchrony following chronic dopamine depletion
(Marreiros et al., 2013; Moran et al., 2011). We have used DCM in this study since it allows for the quantification
of effective connectivity changes underlying transient modulations in
cortical beta power. Bhatt et al., 2016 have previously employed DCM to
link interlaminar dynamics within the motor cortex to the modulation of
beta activity, evoked by movement. Fitting MEG data from healthy
subjects to a neural mass model of the motor cortex, Bhat and colleagues
reported that the increase in beta power observed due to the transition
from grip to rest was induced by an increase in the extrinsic input applied
to deep and superficial layers of the cortex. Our study suggests that beta
power enhancement in Parkinsonism can be attributed to an increase in
excitatory inputs to SP and DP; specifically from MP and thalamic relay
cells, respectively – and a concomitant reduction of excitatory input to
MP. In addition, our results highlight the importance of intrinsic in-
teractions in the thalamus for beta power modulation as the excitatory
projection from the thalamic relay cells to reticular cells also contributes Our study complements the literature on PD, while exploring two
novel concepts: i) laminar-specific dynamics within the motor circuit as a
putative mechanism for the spontaneous modulation of beta power and
ii) short-term synaptic processes, i.e. transient alterations in effective
connectivity to be responsible for the spontaneous and intermittent Fig. 7. Exploration of parameters space of connections
with the greatest effect on beta enhancement. Plot A. shows the impact of changing the coupling strength of MP-
SP and REL-DP on the beta spectral output, when the
coupling between REL-RET is weak. to cortical beta enhancement (Fig. 6). e targeted in order to control and modulate cortical beta. could be targeted in order to control and modulate cortical beta. Similarly, focusing on cortical intrinsic dynamics, Sherman et al. (2016) used a computational model to generate transient high beta
power events (i.e. beta bursts), which were temporally identical to those
observed in the somatosensory and frontal cortices in the physiological
state. Two circuit features have been proposed as crucial for the gener-
ation of beta bursts: 1) a drive from the lemniscal thalamus to the
proximal dendrites of the pyramidal neurons and inhibitory interneurons
in L2/3 and L5 (via the granular layer) and 2) a strong drive from the
nonlemniscal thalamus to the distal dendrites of the pyramidal neurons
and inhibitory interneurons found in supragranular and infragranular
layers. An important difference between Sherman et al. (2016) and our study
stems from the assumptions made on thalamic activity patterns. Sherman
et al. (2016) posit that thalamic activity should be in the alpha band to
drive beta bursts in the somatosensory and frontal cortices. However, in
our study, thalamic neurons exhibited activity in the beta band during
both low and high beta power conditions (Fig. 8). Our results are sup-
ported by recent experimental work showing a substantial and coherent
enhancement of beta activity (30–36 Hz) in the motor thalamus and
motor cortex of behaving 6-OHDA-lesioned rats (Brazhnik et al., 2016). There is also evidence of aberrant beta synchrony in the thalamus of
unmedicated PD patients (Kempf et al., 2009). Taken together, these
results emphasise that thalamic neural activity in the beta band is likely
to be a contributing circuit feature for the generation of aberrant beta
synchronization in PD, and highlight a functional coupling between the
thalamus and deep layers of the motor cortex. It should be noted that due to the nature of the neural mass models
employed in this study, we were not able to model detailed dendritic
dynamics that contribute to the generation and modulation of neural
activity in the beta band. Instead, here we have assumed fixed conduc-
tion delays for all within-region connections (1 m s) and between-regions
projections (8 m s) and did not account for variable propagation delays
for inputs arriving to distal and proximal dendrites. 4. Discussion Here, although an in-
crease in synaptic strength from MP-SP is enough to
generate relatively high levels of beta spectral output, the
connection from REL-DP seems to have a modulatory ef-
fect, i.e., the weaker the extrinsic coupling between relay
and deep pyramidal cells the higher the beta spectral
output. Plot B. considers a (constantly) strong coupling
between REL-RET with the same changes in coupling
strength between MP-SP and REL-DP. This time, we
observe that an increase in beta is achieved with a con-
current strengthening of both MP-SP and REL-DP connec-
tions. In both plots, axis x and y denote a reduced
connectivity strength when values are between 1 and
0 and an increased connectivity strength when values are
between 0 and 1 for connections from middle pyramidal
cells to superficial pyramidal cells and from relay cells to
deep pyramidal cells respectively. Axis Z and colormap
depict the magnitude of beta power. Fig. 7. Exploration of parameters space of connections
with the greatest effect on beta enhancement. Plot A. shows the impact of changing the coupling strength of MP-
SP and REL-DP on the beta spectral output, when the
coupling between REL-RET is weak. Here, although an in-
crease in synaptic strength from MP-SP is enough to
generate relatively high levels of beta spectral output, the
connection from REL-DP seems to have a modulatory ef-
fect, i.e., the weaker the extrinsic coupling between relay
and deep pyramidal cells the higher the beta spectral
output. Plot B. considers a (constantly) strong coupling
between REL-RET with the same changes in coupling
strength between MP-SP and REL-DP. This time, we
observe that an increase in beta is achieved with a con-
current strengthening of both MP-SP and REL-DP connec-
tions. In both plots, axis x and y denote a reduced
connectivity strength when values are between 1 and
0 and an increased connectivity strength when values are
between 0 and 1 for connections from middle pyramidal
cells to superficial pyramidal cells and from relay cells to
deep pyramidal cells respectively. Axis Z and colormap
depict the magnitude of beta power. 110 C. Reis et al. Fig. 8. Spectral output of subpopulations at Low Beta (LB) and High Beta (HB). All neural groups (in cortex and thalamus) have generated spectral responses within
the beta band in both conditions as expected. to cortical beta enhancement (Fig. 6). This creates a
distinction between the excitatory input received by the superficial py-
ramidal cells versus those received by the deep pyramidal cells and the
common inhibitory population; since the latter are attributed to extrinsic
projections from thalamus and hence are inherently modelled with
longer conduction delays. Nonetheless, our results relate to the obser-
vations made in Sherman et al. (2016), given that comparable circuitry
mechanisms yielded similar oscillatory effects. In other words, both
studies propose that laminar specific glutamatergic inputs to the motor
cortex must occur at two temporally separate instances in order to ach-
ieve high beta power oscillatory activity. 4.1. Limitations and future directions We would like to highlight that in DCM, “winning model” is a relative
terminology. Winning model is effectively the most plausible model to
generate the observed data among the set of models tested. As indeed
there are plenty of configurations a neural mass model can assume (here
144 were tested), DCM is only a robust method if used as a hypothesis-
driven approach (Stephan et al., 2010). Finally, an interesting extension of this study would involve using a
conductance based neural mass model of the thalamocortical circuit to
investigate in detail the intrinsic neurotransmitter dynamics underlying
beta enhancement in the parkinsonian thalamocortical circuit. While
convolution-based models are useful in explaining the “macroscopic
mechanisms” underlying a given data set, such as network architecture
and effective connectivity; conductance-based models would capture the
dynamics of intrinsic ion channel mediators, such as Glutamaergic and
GABAergic receptors (refer to Moran et al., 2013). This could be
extremely interesting given the modulatory role that GABA-A is thought
to exert over beta oscillations (Brazhnik et al., 2016; Hall et al., 2010;
Jensen et al., 2005; Yamawaki et al., 2008). Furthermore, it is worth noting that alternative models of the TC
circuit showing thalamic projections to both the superficial and deep
layers of the motor cortex (i.e., all models with architecture number 6,
shown in Fig. 3), had lower model evidences than the winning model. Possibly because, unlike the winning model, simultaneous projections
from thalamic relay cells to superficial and deep layers do not allow for a
differentiation in input delays. Our detailed analysis of the parameter
space on gradual beta increase, opposed to a transition from extremely
low to extremely high beta power, further corroborated that the intrinsic
(shorter delay) input from middle to superficial cells should have high
levels of synaptic strength – together with the extrinsic (longer delay)
input from the thalamic relay to deep pyramidal cells – to explain an up-
regulation of beta synchrony when the coupling from thalamic relay to
reticular is strong. (Fig. 7B). Nevertheless, taking both scenarios into
account – strong vs weak connectivity from relay cells to reticular cells -
projections to superficial pyramidal cells via middle pyramidal cells must
assume a moderate coupling strength to avoid a ramping up of beta
synchrony at the cortical level; highlighting a potential substrate that 4. Discussion Together with an increase in power a small increase in frequency peak of approximately 1–2 Hz is also apparent – when
comparing the output generated in condition 1 (LB) with condition 2 (HB). Full curves represent the median spectral output across the 36 animals and shaded regions
refer to the 25th and 75th percentiles. C. Reis et al. NeuroImage 193 (2019) 103 114 Fig. 8. Spectral output of subpopulations at Low Beta (LB) and High Beta (HB). All neural groups (in cortex and thalamus) have generated spectral responses within
the beta band in both conditions as expected. Together with an increase in power a small increase in frequency peak of approximately 1–2 Hz is also apparent – when
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was supported by the MRC (award MC_UU_12024/1). PJM was sup-
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MC_UU_12024/2) and Parkinson's UK (grant G-0806). BW received
funding from the European Union’s Horizon 2020 research and innova-
tion programme under the Marie Sklodowska-Curie grant agreement No
795866. TP is supported by the Rosetrees Trust (173346). KJF is a
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JNEUROSCI.4023-14.2015. 114
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https://europepmc.org/articles/pmc549399?pdf=render
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English
| null |
A novel method for accurate operon predictions in all sequenced prokaryotes
|
Nucleic acids research
| 2,005
|
cc-by
| 11,366
|
ABSTRACT genomes is particularly important because it provides the most
confident predictions that two genes are co-regulated and
because other computational analyses, such as prediction of
cis-regulatory elements, often rely on operon predictions. We combine comparative genomic measures and
the distance separating adjacent genes to predict
operons in 124 completely sequenced prokaryotic
genomes. Our method automatically tailors itself
to each genome using sequence information alone,
and thus can be applied to any prokaryote. For
Escherichia coli K12 and Bacillus subtilis, our method
is 85 and 83% accurate, respectively, which is similar
to the accuracy of methods that use the same features
but are trained on experimentally characterized tran-
scripts. In Halobacterium NRC-1 and in Helicobacter
pylori, our method correctly infers that genes in oper-
ons are separated by shorter distances than they are
in E.coli, and its predictions using distance alone are
more accurate than distance-only predictions trained
on a database of E.coli transcripts. We use microarray
data from six phylogenetically diverse prokaryotes
to show that combining intergenic distance with com-
parative genomic measures further improves accur-
acy and that our method is broadly effective. Finally,
we survey operon structure across 124 genomes, and
find several surprises: H.pylori has many operons,
contrary to previous reports; Bacillus anthracis has
an unusual number of pseudogeneswithinconserved
operons; and Synechocystis PCC 6803 has many
operons even though it has unusually wide spacings
between conserved adjacent genes. g
y
y
p
p
Most previous efforts to predict operons focused on
Escherichia coli and Bacillus subtilis, and relied on databases
of experimentally identified transcripts for training and for
validation (1–6). Unfortunately, databases of characterized
transcripts are available for only a few organisms, making
it difficult to judge the accuracy of current operon prediction
methods on new genome sequences. Thus, unsupervised
methods for operon prediction—methods that do not require
large databases of known operons—are needed, along with
new methods for validation of those predictions. We present a statistical framework for estimating the likeli-
hood that two adjacent genes are contained within the same
transcriptional unit (TU). Our method is based on genome
sequences only, and is free from parameters optimized to repro-
duce experimentally characterized operons. Nevertheless, our
method’s predictions correspond well with databases of experi-
mentally determined operons in E.coli and B.subtilis. ABSTRACT To show
that our method is effective across the prokaryotes, we use the
observation that genes in the same operon usually have similar
expressionprofiles,whereasotheradjacentgenesdonot(3).We
demonstrate qualitative agreement between our method’s pre-
dictions and microarray data from six phylogenetically diverse
prokaryotes, and introduce a procedure to estimate the quant-
itative accuracy of operon predictions from microarray data. Two approaches have been previously proposed to predict
operons in uncharacterized species. The first relies on identi-
fying operons that are conserved in multiple species, as genes
that remain adjacent across long stretches of evolutionary time
are likely to be in the same operon (7). This method allows
highly confident prediction of many operons, but the majority
of the operons in E.coli cannot be predicted this way (7). We
suspect that this is because many operons are evolutionarily
new [(8); M. N. Price, K. H. Huang, E. J. Alm and A. P. Arkin,
manuscript submitted] and neutral conservation of gene order
within the closely related genomes that do contain these new 880–892
Nucleic Acids Research, 2005, Vol. 33, No. 3
doi:10.1093/nar/gki232 880–892
Nucleic Acids Research, 2005, Vol. 33, No. 3
doi:10.1093/nar/gki232 A novel method for accurate operon predictions in all
sequenced prokaryotes
Morgan N. Price1, Katherine H. Huang1, Eric J. Alm1,* and Adam P. Arkin1,2,3
1Lawrence Berkeley National Lab, 1 Cyclotron Road, Mailstop 939R704, Berkeley, CA 94720, USA, 2Howard
Hughes Medical Institute, Berkeley, CA, USA and 3Department of Bioengineering, University of California, Berkeley,
USA Received September 14, 2004; Revised October 25, 2004; Accepted January 20, 2005 ª The Author 2005. Published by Oxford University Press. All rights reserved. The online version of this article has been published under an open access model. Users are entitled to use, reproduce, disseminate, or display the open access
version of this article for non-commercial purposes provided that: the original authorship is properly and fully attributed; the Journal and Oxford University Press
are attributed as the original place of publication with the correct citation details given; if an article is subsequently reproduced or disseminated not in its entirety but
only in part or as a derivative work this must be clearly indicated. For commercial re-use, please contact journals.permissions@oupjournals.org *To whom correspondence should be addressed. Tel: +1 510 843 1794; Fax: +1 510 486 6059; Email: ejalm@lbl.gov INTRODUCTION As the gap grows between the sequencing of complete micro-
bial genomes and the characterization of transcriptional regu-
lation in those organisms, automated methods for predicting
regulatory
interactions
are
becoming
a
high
priority. Automated prediction of the operon structure in prokaryotic Nucleic Acids Research, 2005, Vol. 33, No. 3
88 881 functional similarity: whether their predicted functions are in
the same category [from COG (13)] and
similarity of CAI: the similarity of their codon adaptation
index (CAI), a measure of synonymous codon usage (14). operons makes it hard to distinguish new operons from non-
operons by conserved gene order alone. functional similarity: whether their predicted functions are in
the same category [from COG (13)] and functional similarity: whether their predicted functions are in
the same category [from COG (13)] and functional similarity: whether their predicted functions are in
the same category [from COG (13)] and g
y [
(
)]
similarity of CAI: the similarity of their codon adaptation
index (CAI), a measure of synonymous codon usage (14). g
y
similarity of CAI: the similarity of their codon adaptation
index (CAI), a measure of synonymous codon usage (14). p
y
g
The second method relies on the fact that genes in the same
operon tend to be separated by fewer base pairs of DNA. In
E.coli and B.subtilis, this tendency can be quantified from
known transcripts to give the probability that two adjacent
genes are on the same operon as a function of their intergenic
distance. It has been proposed that these probabilistic ‘distance
models’ can be transferred from one species to another unre-
lated species, but this ad hoc approach has only been validated
for E.coli and B.subtilis (9). A subsequent study indicated that,
in general, intergenic distances within conserved operons vary
across species (10). Thus, E.coli’s distance model may not
always be effective—indeed, we use microarray data to
show that it is less effective for Halobacterium NRC-1 or
for Helicobacter pylori. Both distances between genes and comparative features have
previously been used in unsupervised operon predictions and
are the most informative features for predicting operons
(1,7,9). To increase the sensitivity of the comparative
approach, we computed separate features for the closely
related and distantly related genomes (see Methods). INTRODUCTION We
used features that reflect similarity of function and similarity
of codon usage because such features have been reported to
improve prediction accuracy in E.coli (1,2,5). Statistical inference The key challenge for an unsupervised approach is to estimate,
from sequence alone, the probability that two adjacent genes
are in the same operon given the values of the features. We first
infer the distribution of the comparative and functional fea-
tures for operon and not-operon pairs by using the assumption
described above, as shown in Figure 1. The observed dis-
tribution of values for same-strand pairs is a mixture of the
distribution for operon pairs, which is unknown, and for
not-operon pairs, which by assumption is approximated by
the observed distribution for opposite-strand pairs. If we
know the relative fraction of operon and not-operon pairs in
the same-strand set, then we can estimate the unknown dis-
tribution P(Value|Operon) for operon pairs by ‘subtracting’
out the contribution from not-operon pairs. This proportion of
operon pairs in the same-strand set [P(Operon|Same)] can be
estimated from the number of runs of same-strand pairs
in the genome (7,15). In the Methods, we extend this
approach to estimate P(Operon|Same) to genomes with coding
strand bias. Principles Not Same
Same
Operon (inferred) Value of comparative or functional feature Value of comparative or functional feature Principles The key elements of our approach are (i) to use both compar-
ative and distance information and (ii) to infer a genome-
specific distance model from preliminary comparative-only
predictions. The method relies on a key assumption that the
greater conservation of adjacency for genes on the same strand
of DNA, compared to opposite-strand pairs, is entirely due to
operons. This assumption has been previously used to identify
conserved operons (7). In practice, this assumption implies that
most adjacent pairs that are conserved across significant evolu-
tionary distances (e.g. across the g-proteobacteria) are operon
pairs, with a probability increasing with the extent of conser-
vation. Although in some cases, pairs which are clearly not in
operons (opposite-strand pairs) are conserved across significant
evolutionary distances (11,12), we do not know of any process
that would produce conserved not-operon (same-strand) pairs
but not conserved opposite-strand pairs. We also make the
analogous assumption for the greater functional relatedness
of same-strand versus opposing-strand pairs. In the Results,
we validate the combined assumption directly by analyzing
known transcripts in E.coli and B.subtilis. We do not make
any assumption about the intergenic distances between
genes on the same or different strands, because there are
biological reasons for these to be different for convergent,
divergent and not-operon (same-strand) gene pairs (10). Inferring P(Value | Operon)
Value of comparative or functional feature
Frequency
Not Same
Same
Operon (inferred)
Figure 1. Building a model of operons without training data. Above, we show
the three types of pairs of adjacent genes and the key assumption. Below, we use
this assumption to infer P(Value|Operon), the distribution of a comparative or
functional feature for operon pairs, from the observed distributions
P(Value|Same) and P(Value|NotSame). The graph is purely schematic. Inferring P(Value | Operon)
Value of comparative or functional feature
Frequency
Not Same
Same
Operon (inferred) Inferring P(Value | Operon) As with most previous approaches to operon prediction, we
focus on pairs of adjacent genes, and estimate the probability
that each pair isinthesame operon.We donot attempt topredict
alternative transcripts due to internal promoters, terminator
read-through, etc. as this remains a challenging problem even
in E.coli, where transcriptional control features are relatively
well characterized (4). Instead, we define two adjacent genes to
be on the same operon if a transcript that contains both genes
exists, even if alternative transcripts exist that contain only one
of the two genes. Data sources We then produce a genome-specific distance model from
these likelihood ratios. This follows the same approach of con-
sidering distributions as mixtures, but is slightly more complic-
ated because we do not have a ‘true negative’ set of gene pairs to
train from (we consider only distances between genes on the
same strand). Instead, we split the pairs into those with high and
low comparative/functional likelihood ratios, and treat these as
preliminary operonpredictions.By once againinvoking thekey
assumption that not-operon pairs resemble opposite-strand
pairs with respect to the comparative/functional features, we
estimate that the false positive error rate of these predictions
equals the fraction of opposite-strand gene pairs ‘predicted’ to
be on the same operon. We make these predictions for the
opposite-strand pairs, even though we already know that
they can never be co-transcribed, only so that we can estimate
the false positive error rate P(NotOperon|High). Thus, we have Sequences. We downloaded the complete annotated genomes
of 124 prokaryotes from NCBI complete microbial genomes
(http://www.ncbi.nlm.nih.gov/genomes/MICROBES/Complete. html), The Institute for Genomic Research (http://www.tigr.org)
and DOE’s Joint Genome Institute (http://www.jgi.doe.gov/),
and excluded plasmids and non-protein-coding genes from
our analyses. Microarrays. We obtained data for E.coli, B.subtilis, and
H.pylori from the Stanford Microarray Database [74, 78 and
31 arrays, respectively, from http://genome-www.stanford. edu/microarray, (16)], for Synechocystis from the Kyoto
Encyclopedia of Genes and Genomes (49 arrays from
http://www.genome.ad.jp/kegg/expression/), for Chlamydia
trachomatis from T. Nicholson and R. Stephens (12 experi-
ments times 2–3 replicates), and for Halobacterium from
R. Bonneau and N. Baliga (44 arrays). P HighjNotOperon
ð
Þ P HighjNotSame
ð
Þ‚ P HighjNotOperon
ð
Þ P HighjNotSame
ð
Þ‚ 3 3 which can be derived from our assumption 2 METHODS by treating P(Values|Same) as a mixture of P(Values|Operon)
and P(Values|NotOperon). Features For each pair of adjacent genes on the same strand, we consider: Figure 1. Building a model of operons without training data. Above, we show
the three types of pairs of adjacent genes and the key assumption. Below, we use
this assumption to infer P(Value|Operon), the distribution of a comparative or
functional feature for operon pairs, from the observed distributions
P(Value|Same) and P(Value|NotSame). The graph is purely schematic. Figure 1. Building a model of operons without training data. Above, we show
the three types of pairs of adjacent genes and the key assumption. Below, we use
this assumption to infer P(Value|Operon), the distribution of a comparative or
functional feature for operon pairs, from the observed distributions
P(Value|Same) and P(Value|NotSame). The graph is purely schematic. distance: the number of base pairs separating the two genes, comparative features: how often their orthologs are near each
other (within 5 kb) in other genomes, 882 Nucleic Acids Research, 2005, Vol. 33, No. 3 error estimation step. Finally, we multiply the likelihood ratios
for all the features with the a priori likelihood ratio to give the
overall prediction: To perform the ‘subtraction,’ we use likelihood ratios rather
than probabilities. Specifically, we estimate the likelihood
ratio P(Same|Values)/P(NotSame|Values), where ‘Values’
refers to the comparative/functional features and ‘Same’ refers
to
same-strand
versus
opposing-strand
pairs,
from
the
observed distributions (see Methods). We then use the follow-
ing formula: P OperonjAllFeatures
ð
Þ
P NotOperonjAllFeatures
ð
Þ
¼
P OperonjSame
ð
Þ
P NotOperonjSame
ð
Þ
P ValuesjOperon
ð
Þ
P ValuesjNotOperon
ð
Þ
P DistancejOperon
ð
Þ
P DistancejNotOperon
ð
Þ
P CAIjOperon
ð
Þ
P CAIjNotOperon
ð
Þ
6 P NotOperonjAllFeatures
ð
Þ
¼
P OperonjSame
ð
Þ
P NotOperonjSame
ð
Þ
P ValuesjOperon
ð
Þ
P ValuesjNotOperon
ð
Þ
P DistancejOperon
ð
Þ
P DistancejNotOperon
ð
Þ
P CAIjOperon
ð
Þ
P CAIjNotOperon
ð
Þ P ValuesjOperon
ð
Þ
P ValuesjNotOperon
ð
Þ
P NotSame
ð
Þ
P Same
ð
Þ
P SamejValues
ð
Þ
P NotSamejValues
ð
Þ P NotOperonjSame
ð
Þ
P OperonjSame
ð
Þ
‚
1 6 This ‘naive Bayes’ approach makes the assumption that dis-
tance, the comparative/functional features and the similarity of
CAI are conditionally independent, which is approximately
true (data not shown). Features This ‘naive Bayes’ approach makes the assumption that dis-
tance, the comparative/functional features and the similarity of
CAI are conditionally independent, which is approximately
true (data not shown). Combining the comparative log-likelihood ratios To combine the comparative/functional log-likelihood ratios—
from three raw ‘gene neighbor’ scores and the COG similarity
score—into a combined log likelihood ln[P(Values|Same)/
P(Values|NotSame)], we did not use the naive Bayesian
method. These variables are not conditionally independent,
so multiplying likelihood ratios or, equivalently, summing
log-likelihood ratios, would overstate the confidence of pre-
dictions. Instead, we found the best-fitting linear combination
of log-likelihood ratios using logistic regression (glm in the R
statistics package, http://www.r-project.org/). All four features
contained statistically significant additional information for
discriminating same-strand from opposing-strand pairs in
the majority of genomes (generalized ANOVA, data not
shown). Estimating likelihood ratios We begin with values for a feature d, such as the distance
between two genes, for each pair. The values are split into
two sets, such as the same-strand pairs with high and low
comparative/functional likelihood ratios. When inferring the
genome-specific distance models, we also have error rates
in the training data, P(NotOperon|High) and P(Operon|Low). We wish to estimate the likelihood ratio P(d|Operon)/
P(d|NotOperon), which corresponds to the probability pd ”
P djOperon
ð
Þ
P djOperon
ð
Þ þ P djNotOperon
ð
Þ
7 7 P Highjd
ð
Þ
P Lowjd
ð
Þ To determine COG function codes, we assigned genes to
COGs (13) via reverse position-specific BLAST (18) against
CDD (19), or by using COG membership from NCBI. Pairs
of genes were assigned to three categories: matching, not
matching, or one or both genes are uncharacterized (function
codes ‘R’ or ‘S,’ or not in COG). 11 where P(High) and P(Low) can be estimated from the
observed proportions over the entire data set. We used similarity of CAI, a measure of synonymous codon
usage (14), instead of a related feature proposed by (5) because
similarity of CAI shows better agreement with operons in
E.coli and B.subtilis (data not shown). The reference set for
CAI in each genome was identified by choosing the most 100
biased genes with at least 300 amino acids among a set of 500
COGs which show bias across many genomes. Our similarity
measure was defined as sCAI = [(rank(CAI1) mean(rank)]
[rank(CAI2) mean(rank)] [(rank(CAI1) rank(CAI2)]2. Both terms showed modest but statistically significant agree-
ment with operons (data not shown). Because of our choice of prior, our maximum likelihood
estimator is a generalization of pseudocounts, or adding
counts to the observations to avoid overfitting. In the absence
of errors, the maximum likelihood estimate with this prior
is given by adding a total of two pseudocounts to each
bin (20). Features We used ‘pseudo-log-
likelihood’ scoring, so that the magnitudes of these two terms
were the logarithms of the proportions of all opposing-strand
pairs that were conserved within 5 kb or not, respectively. We
computed a second feature from the distantly related genomes
by summing, across clusters, the maximum term within each
cluster (excluding the cluster containing the genome itself,
and using only positive terms). We also computed the sum
of terms, including penalties, over all genomes irregardless of
clustering, giving a third comparative feature. if the pair was not within 5 kb. We used ‘pseudo-log-
likelihood’ scoring, so that the magnitudes of these two terms
were the logarithms of the proportions of all opposing-strand
pairs that were conserved within 5 kb or not, respectively. We
computed a second feature from the distantly related genomes
by summing, across clusters, the maximum term within each
cluster (excluding the cluster containing the genome itself,
and using only positive terms). We also computed the sum
of terms, including penalties, over all genomes irregardless of
clustering, giving a third comparative feature. P Highjd
ð
Þ
P Lowjd
ð
Þ
¼ P djHigh
ð
Þ
P djLow
ð
Þ P High
ð
Þ
P Low
ð
Þ
¼ pd P OperonjHigh
ð
Þ þ 1pd
ð
Þ P NotOperonjHigh
ð
Þ
pd P OperonjLow
ð
Þ þ 1 pd
ð
Þ P NotOperonjLow
ð
Þ
P High
ð
Þ
P Low
ð
Þ ‚
11 Features P NotOperonjHigh
ð
Þ P HighjNotSame
ð
ÞP NotOperonjSame
ð
Þ
P HighjSame
ð
Þ
‚ The comparative or ‘gene neighbor’ scores measure how often
two genes are near each other across many genomes (11,17). We used putative orthologs from bidirectional best BLASTp
hits with 75% coverage both ways, and asked how often the
genes have orthologs that are within 5 kb (this cutoff was
determined empirically). Previous workers discarded closely
related genomes (10,17) or reduced sensitivity when they were
present (7), as these genomes show conserved pairs of unre-
lated genes because of insufficient evolutionary time to shuffle
them apart. Instead, we computed separate scores for distantly
and closely related genomes. To distinguish closely related
genomes, we clustered all genomes by the extent of conserved
gene order, placing in the same cluster any pair of genomes for
which 5% or more of opposite-strand pairs were conserved
within 5 kb. To get useful information from these closely
related genomes, we introduced a penalty if both orthologs
exist but are not within 5 kb. Specifically, for each same-strand
pair, this ‘within-cluster’ score was the sum, across the closely
related genomes that also contained orthologs for both genes,
of a positive term if the pair was within 5 kb, or a negative term where ‘High’ refers to pairs with high comparative/functional like-
lihood ratios, which are more likely to be in the same operon. The
false negative error rate P(Operon|Low) can be derived from the
number of ‘missing’ predictions: P OperonjSame
ð
Þ ¼ P OperonjHigh
ð
Þ P HighjSame
ð
Þ 5 þ P OperonjLow
ð
Þ P LowjSame
ð
Þ We
estimate
the
likelihood
ratio
P(Distance|Operon)/
P(Distance|NotOperon) from these error rates and the observed
distributions P(Distance|High) and P(Distance|Low) for the
two sets of same-strand pairs (see Methods). At this point,
we have likelihood ratios from the comparative/functional
features and from the genome-specific distance model. We
use these preliminary predictions to estimate likelihood ratios
for the remaining feature, the similarity of CAI, but without the Nucleic Acids Research, 2005, Vol. 33, No. 3
8 883 where P(High|d ) is an unknown probability, not the observed
proportion, and is related to pd by if the pair was not within 5 kb. a P OperonjLagging1
ð
Þ2b P OperonjLagging1
ð
Þ þ c ¼ 0 a P OperonjLagging1
ð
Þ2b P OperonjLagging1
ð
Þ þ c ¼ 0 a ¼ P Leading2jLeading1
ð
Þ
P Lagging2jLagging1
ð
Þ b ¼ 2P Leading2jLeading1
ð
Þ b ¼ 2P Leading2jLeading1
ð
Þ c ¼ P Leading2jLeading1
ð
Þ þ P Lagging2jLagging1
ð
Þ1
12 c ¼ P Leading2jLeading1
ð
Þ þ P Lagging2jLagging1
ð
Þ1
12 We also tried a simpler approach based on the plausible but
unsupported hypothesis that TUs assort to the leading and
lagging strands independent of their length. Compared with
this ‘strand-naı¨ve’ approach, the ‘strand-wise’ formula gave
better prediction accuracy on known operons, better agree-
ment with microarray data, and better agreement with an inde-
pendent estimate of P(Operon|Same) based on E.coli distance
models (9) (Supplementary Table 3). p
g
In addition, the not-operon set contains too many genes
strongly predicted to occur in the same operon, particularly
for B.subtilis. A previous investigation of conserved ‘known’
not-operon pairs in E.coli found evidence in the literature
that many of them are in fact co-transcribed (7). In B.subtilis,
we checked the 19 known not-operon pairs that we predicted
to be >90% likely to fall in the same operon (based on the
comparative and functional features) against TU diagrams
and
northern
hybridizations
at
BSORF
(http://bacillus. genome.ad.jp/bsorf.html). Northerns were only available
for three pairs (sul/folA, mmgE/yqiQ and deoR/dra), but in
all three cases, there was a transcript containing both genes
that was not present in the original database. Furthermore,
in both E.coli and B.subtilis, the conserved and/or functionally
related
not-operons
(those
with
comparative/functional
P(Operon) > 0.9) are significantly more co-expressed than
other not-operon pairs (Figure 2C and D: both P < 0.01,
Kolmogorov–Smirnov test). Based on these results, we con-
clude that the modest deviations from the assumption are due
to co-transcription of the ‘known’ not-operon pairs, perhaps
reflecting alternative transcripts. In the next section, we
demonstrate that the assumption ultimately leads to accurate
operon predictions. Estimating accuracy from microarray data Given the ‘true positive’ and ‘true negative’ pairs described in
the Results, as well as the predicted operon and not-operon
pairs, we modeled these four distributions of microarray sim-
ilarities with a Gaussian kernel. We then used linear regression
on the densities to estimate the proportion of true operon pairs
in each set of predictions. We also corrected for the expression
levels of the different sets of genes—the high-confidence pre-
dictions are more highly expressed and have higher microarray
similarity than other operon pairs, probably due to reduced
noise (data not shown). Specifically, we divided each distri-
bution into four quartiles by their expression level and
reweighed these fractions before the regression. To put con-
fidence intervals around these estimates of accuracy, we used a
jackknife approach: we reran the estimation procedure with
individual conditions (manually identified groups of similar
experiments, such as ‘heat shock’) removed from the data set. We multiplied the variance of these leave-1-out estimates by
(m 1) m/(m + 1), where m is the number of conditions, to
account for the fact that the jackknife estimates are correlated
as they mostly use the same data, and used a t-test to give 95%
confidence intervals. Test of key assumption We tested the key assumption—that not-operon pairs and
opposite-strand pairs will have the same distributions of values
for the comparative and functional features—against data-
bases of characterized transcripts for E.coli and B.subtilis
(21,22). Specifically, we compared the preliminary compar-
ative/functional predictions for ‘known’ not-operon pairs
to the corresponding ‘predictions’ for opposite-strand pairs. We defined known not-operon pairs as those same-strand pairs Accuracy of operon predictions We tested the accuracy of our unsupervised method in three
ways. First, for E.coli and B.subtilis, we compared our pre-
dictions to known operons. We also compared the perform-
ance of the unsupervised method to that of a similar supervised
method that we optimized using the known operons. Second,
we defined a procedure to estimate prediction accuracy from
microarray expression data, and measured our performance
this way across six phylogenetically diverse prokaryotes. Finally, we established that our internal confidence values
approximate the observed accuracy of individual predictions
and then used this internal estimate of accuracy as an indicator
of performance in genomes for which no additional data is
available to test against. Prior estimate of P(Operon|Same) which can be thought of as the probability of a pair separated
by distance d being an operon pair if operons and not-operons
were equally likely. The likelihood ratio is equal to pd/(1 pd). The proportion of same-strand pairs that are in operons can be
estimated by observing the proportion of adjacent pairs of
genes that are same-strand pairs (7,15). If independent tran-
scripts are equally likely to occur on the same or different
strands, then 1 P(Operon|Same)P(Same) = 2P(NotSame),
which gives P(Operon|Same) = 2 1/P(Same). This method
agrees with other estimates for E.coli, but is not accurate for
genomes with an excess of genes on the leading strand of DNA
replication (15). We first grouped the values into overlapping bins of 100–
200 items and estimated the likelihood ratio within each bin. We obtained a likelihood ratio for each specific value by
interpolating and then smoothing (via local regression). We
used ranks rather than raw values. To estimate likelihood ratios within each bin, we used a
maximum likelihood approach. We solved numerically for the
pd that maximized the joint probability of pd and the data—the
counts of high and low pairs within bin d (nHd and nLd, respect-
ively)—given a prior distribution p(pd): To account for these strand biased genomes, such as
B.subtilis, we use our rather surprising observation that
adjacent pairs of genes on either the leading or lagging strand
of DNA are equally likely to be co-transcribed in an operon
(M. N. Price, E. J. Alm and A. P. Arkin, manuscript submit-
ted). Based on this observation, we assume that P(Operon|
Leading1,Leading2) = P(Operon|Lagging1,Lagging2), where
‘1’ refers to a first gene that might be in the same operon
or on the same strand as the next gene downstream (‘2’). 8 P nHd‚nLd‚pd
ð
Þ ¼ P nHd‚nLdjpd
ð
Þ p pd
ð
Þ‚ P nHd‚nLDjpd
ð
Þ P Highjd
ð
ÞnHd P Lowjd
ð
ÞnLd‚ 10 p pd
ð
Þ ” pd 1 pd
ð
Þ‚ Nucleic Acids Research, 2005, Vol. 33, No. 3 884 From this we derive: From this we derive: that straddle the boundaries of a known TU and are not in
any known alternative transcript [following (1)]. As shown
in Figure 2A and B, the distribution for the known not-
operon pairs is similar to that for opposite-strand pairs in
both organisms. Prior estimate of P(Operon|Same) P OperonjSame
ð
Þ ¼ P OperonjLagging1
ð
Þ
P Lagging2jLagging1
ð
Þ
¼ P OperonjLeading1
ð
Þ
P Leading2jLeading1
ð
Þ g
Interestingly, in B.subtilis, some of the not-operon pairs
have unusually low probabilities of being in an operon, high-
lighting a potential caveat of using these primarily literature-
culled databases: there is a predominance of highly conserved
genes (present in many other genomes) in this small data set. Because the comparative/functional predictions will only con-
clude that two genes are very unlikely to be in the same operon
if both genes are conserved but present in different regions of
the genome in several other genomes, genes that are conserved
in more genomes will tend to be more confidently predicted
to fall in different operons (e.g. the peak at 0.25 for known
not-operons in Figure 2B). Accuracy against known transcripts The simplest metrics to describe the effectiveness of an operon
prediction method are sensitivity—the proportion of true
operon pairs that are correctly predicted—and specificity—the Nucleic Acids Research, 2005, Vol. 33, No. 3
885 0.0
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A. Preliminary P(Operon), E. coli
Comparative/Functional P(Operon)
Proportion
Non–operons
Opposite–strand
0.0
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1.0
0.0
0.2
0.4
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B. Preliminary P(Operon), B. subtilis
Comparative/Functional P(Operon)
Proportion
Non–operons
Opposite–strand
–1.0
–0.5
0.0
0.5
1.0
0.0
0.2
0.4
0.6
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1.0
C. Microarrays, E. coli
Similarity of Expression Patterns (Pearson r)
Proportion
Operons
Non–operons, P>0.9
Non–operons, P<0.9
–1.0
– 0.5
0.0
0.5
1.0
0.0
0.2
0.4
0.6
0.8
1.0
D. Microarrays, B. subtilis
Similarity of Expression Patterns (Pearson r)
Proportion
Operons
Non–operons, P>0.9
Non–operons, P<0.9
nservationand co-expressionof ‘known’not-operonpairs. (A and B)The distributionof preliminaryestimatesof P(Operon),usingonlythe comparative
al features, for opposite-strand pairs and ‘known’ not-operon pairs in (A) E.coli K12 and (B) B.subtilis. (C and D) The distribution of microarray
earson correlation, x axis) for known operon pairs, for known not-operon pairs strongly predicted to be in an operon by the comparative/function features
> 0.9], and for other known not-operon pairs, in (C) E.coli and (D) B.subtilis. 0.0
0.2
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B. Preliminary P(Operon), B. subtilis
Comparative/Functional P(Operon)
Proportion
Non–operons
Opposite–strand 0.0
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0.4
0.6
0.8
1.0
0.0
0.2
0.4
0.6
A. Preliminary P(Operon), E. coli
Comparative/Functional P(Operon)
Proportion
Non–operons
Opposite–strand B. Preliminary P(Operon), B. subtilis A. Preliminary P(Operon), E. coli Proportion Comparative/Functional P(Operon) Comparative/Functional P(Operon) –1.0
–0.5
0.0
0.5
1.0
0.0
0.2
0.4
0.6
0.8
1.0
C. Microarrays, E. coli
Similarity of Expression Patterns (Pearson r)
Proportion
Operons
Non–operons, P>0.9
Non–operons, P<0.9 –1.0
– 0.5
0.0
0.5
1.0
0.0
0.2
0.4
0.6
0.8
1.0
D. Microarrays, B. subtilis
Similarity of Expression Patterns (Pearson r)
Proportion
Operons
Non–operons, P>0.9
Non–operons, P<0.9 C. Microarrays, E. coli D. Microarrays, B. subtilis Proportion Figure 2. Conservationand co-expressionof ‘known’not-operonpairs. (A and B)The distributionof preliminaryestimatesof P(Operon),usingonlythe comparative
and functional features, for opposite-strand pairs and ‘known’ not-operon pairs in (A) E.coli K12 and (B) B.subtilis. (C and D) The distribution of microarray
similarity (Pearson correlation, x axis) for known operon pairs, for known not-operon pairs strongly predicted to be in an operon by the comparative/function features
[P(Operon) > 0.9], and for other known not-operon pairs, in (C) E.coli and (D) B.subtilis. predictions. Accuracy against known transcripts In E.coli, the AOC is 0.920 for the unsupervised
approach versus 0.919 for the supervised method, and in
B.subtilis, the AOCs are 0.888 and 0.907, respectively. (To measure the accuracy of the supervised method, we
used 100-fold cross-validation.) Furthermore, the distance
models inferred by our unsupervised approach are similar to
the supervised models in both organisms (Figure 3C and D). We
also compared our unsupervised results to several previously
published supervised methods, and found that its accuracy
was comparable except when the supervised methods used
significant additional information, such as microarray data
(Supplementary Table 1). Overall, the unsupervised method
is quite accurate at predicting known TU boundaries, even
though known transcripts are not used to optimize any part
of the method. proportion of true not-operon pairs that are correctly predicted. These metrics require binary predictions (a pair of genes is
either in an operon or not); we used a threshold of
P(Operon|AllFeatures) > 0.5, or more likely to be in an operon
than not. Other thresholds can be used if higher sensitivity or
specificity is preferred. With this threshold, the unsupervised
method has sensitivity and specificity of 88.3 and 79.9%,
respectively in E.coli and 90.9 and 71.0%, respectively in
B.subtilis. For a threshold-independent measure of accuracy,
we used the area under the receiver operating characteristic
curve [AOC, (23)] shown in Figure 3A and B. AOC is equal
to the probability that a randomly selected known operon pair
will have a higher score than a randomly selected known not-
operon pair. Thus, an AOC of 0.5 reflects an uninformative
(random) predictor, and an AOC of 1.0 corresponds to perfect 886
Nucleic Acids Research, 2005, Vol. 33, No. 3 886 0.0
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A. Accuracy (E. coli)
False Positives (1–Specificity)
True Positives (Sensitivity)
Unsupervised
distance only
comparative/functional
Supervised
0.0
0.2
0.4
0.6
0.8
1.0
0.0
0.2
0.4
0.6
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B. Accuracy (B. subtilis)
False Positives (1–Specificity)
True Positives (Sensitivity)
Unsupervised
distance only
comparative/functional
Supervised
–50
0
50
100
200
300
–3
–2
–1
0
1
2
3
C. Distance Model (E. coli)
Intergenic Distance (bp)
ln(likelihood ratio)
Unsupervised
Supervised
–50
0
50
100
200
300
–3
–2
–1
0
1
2
3
D. Distance Model (B. subtilis)
Intergenic Distance (bp)
ln(likelihood ratio)
Unsupervised
Supervised
Figure 3. Unsupervised predictions are accurate and similar to supervised predictions in E.coli K12 (left) and B.subtilis (right). Accuracy against known transcripts (A and B) Accuracy on known operon
and not-operon pairs as the prediction threshold varies, also known as the Receiver Operating Characteristic (ROC) curve, for (A) E.coli and (B) B.subtilis. We show
the ROC curves for unsupervised predictions using all features, for unsupervised predictions using only distance or only the comparative/functional features, and also
for supervised predictions (using all features and 100-fold cross-validation). (C and D) Distance models, with intergenic distance in base pairs on the x-axis and log
likelihood ratios fln[P(Operon|Distance)/P(NotOperon|Distance)]} on the y-axis, for (C) E.coli and (D) B.subtilis. A log likelihood ratio of zero (dashed line)
indicates pairs that are equally likely to be in an operon or not. 0.0
0.2
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1.0
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A. Accuracy (E. coli)
False Positives (1–Specificity)
True Positives (Sensitivity)
Unsupervised
distance only
comparative/functional
Supervised 0.0
0.2
0.4
0.6
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1.0
0.0
0.2
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B. Accuracy (B. subtilis)
False Positives (1–Specificity)
True Positives (Sensitivity)
Unsupervised
distance only
comparative/functional
Supervised A. Accuracy (E. coli) B. Accuracy (B. subtilis) False Positives (1–Specificity) False Positives (1–Specificity) –50
0
50
100
200
300
–3
–2
–1
0
1
2
3
C. Distance Model (E. coli)
Intergenic Distance (bp)
ln(likelihood ratio)
Unsupervised
Supervised –50
0
50
100
200
300
–3
–2
–1
0
1
2
3
D. Distance Model (B. subtilis)
Intergenic Distance (bp)
ln(likelihood ratio)
Unsupervised
Supervised C. Distance Model (E. coli) D. Distance Model (B. subtilis) Figure 3. Unsupervised predictions are accurate and similar to supervised predictions in E.coli K12 (left) and B.subtilis (right). (A and B) Accuracy on known operon
and not-operon pairs as the prediction threshold varies, also known as the Receiver Operating Characteristic (ROC) curve, for (A) E.coli and (B) B.subtilis. We show
the ROC curves for unsupervised predictions using all features, for unsupervised predictions using only distance or only the comparative/functional features, and also
for supervised predictions (using all features and 100-fold cross-validation). (C and D) Distance models, with intergenic distance in base pairs on the x-axis and log
likelihood ratios fln[P(Operon|Distance)/P(NotOperon|Distance)]} on the y-axis, for (C) E.coli and (D) B.subtilis. A log likelihood ratio of zero (dashed line)
indicates pairs that are equally likely to be in an operon or not. Accuracy against microarray data estimated probability P(Operon|AllFeatures) that the genes
are in the same operon. To test operon predictions more broadly, we compared the
unsupervised predictions to microarray data from six species. We found that the microarray data correlates with predictions
and obtained quantitative estimates of prediction accuracy
from the microarray data. To measure whether genes predicted
to be in the same operon have similar expression patterns,
we used a standard metric: the Pearson (linear) correlation
between the normalized log-ratios of the two genes (r). We also used agreement with gene expression data to
test whether the method was using informative features, and
whether it was combining those features effectively. The dis-
tance models are responsible for a majority of the agreement
with microarrays, which strongly suggests that the method is
predicting operons rather than identifying functionally related
pairs of adjacent genes (Table 1). Combining comparative
genomics with intergenic distance improves agreement greatly
over using either measure alone (Table 1), and in five of the six
species, the combined comparative/functional predictions out-
perform the best single comparative feature (data not shown). In contrast, similarity of CAI has little effect on the final pre-
dictions and does not give a consistent improvement (data not In all six species, predicted operon pairs are strongly
co-expressed relative to other adjacent pairs on the same
strand (Figure 4). Predicted not-operon pairs show little
co-expression, similar to opposite-strand pairs, which were
used as negative controls. Moreover, as shown in Figure 5A,
the average strength of the correlations increases with the Nucleic Acids Research, 2005, Vol. 33, No. 3
887 he greater agreement with microarrays of distance
and not operon pairs as mixtures of the distributi
–1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
E. coli K12
Microarray Similarity (Pearson r)
Proportion
Predicted Operons
Predicted Non–Operons
Opposite–Strand Pairs
–1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
B. Accuracy against microarray data subtilis
Microarray Similarity (Pearson r)
Proportion
–1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
Synechocystis PCC 6803
Microarray Similarity (Pearson r)
Proportion
–1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
Halobacterium NRC–1
Microarray Similarity (Pearson r)
Proportion
–1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
Chlamydia trachomatis
Microarray Similarity (Pearson r)
Proportion
–1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
Helicobacter pylori
Microarray Similarity (Pearson r)
Proportion
supervised predictions agree with microarray data from six species. For each species, we show the distribution of microarray similari
dicted operon pairs, for predicted not-operon pairs on the same strand, and for opposite-strand pairs. Predicted not-operon pairs
s the opposite-strand pairs and are significantly less correlated than predicted operon pairs (P < 107 for all genomes, Kolmogorov–S
22–0.37). Nucleic Acids Research, 2005, Vol. 33, –1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
E. coli K12
Microarray Similarity (Pearson r)
Proportion
Predicted Operons
Predicted Non–Operons
Opposite–Strand Pairs
–1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
B. subtilis
Microarray Similarity (Pearson r)
Proportion –1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
B. subtilis
Microarray Similarity (Pearson r)
Proportion –1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
E. coli K12
Microarray Similarity (Pearson r)
Proportion
Predicted Operons
Predicted Non–Operons
Opposite–Strand Pairs E. coli K12 0
0 5
0 0
0 5
0
Microarray Similarity (Pearson r) –1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
Halobacterium NRC–1
Microarray Similarity (Pearson r)
Proportion –1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
Synechocystis PCC 6803
Microarray Similarity (Pearson r)
Proportion Synechocystis PCC 6803 Halobacterium NRC–1 Microarray Similarity (Pearson r) Microarray Similarity (Pearson r) –1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
Helicobacter pylori
Microarray Similarity (Pearson r)
Proportion –1.0
–0.5
0.0
0.5
1.0
0.0
0.1
0.2
0.3
0.4
0.5
Chlamydia trachomatis
Microarray Similarity (Pearson r)
Proportion Chlamydia trachomatis Helicobacter pylori Figure 4. Unsupervised predictions agree with microarray data from six species. For each species, we show the distribution of microarray similarity (Pearson r, x
axes) for predicted operon pairs, for predicted not-operon pairs on the same strand, and for opposite-strand pairs. Accuracy against microarray data subtilis Observed P(Operon) E. coli
B. subtilis Estimated P(Operon), unsupervised Estimated P(Operon), unsupervised Figure 5. P(Operon|AllFeatures) is consistent with known operons and with microarray data. (A) The smoothed average of the similarity of gene expression profiles
(Pearson r) as a function of P(Operon|AllFeatures), computed by local regression (loess) on r versus rank[P(Operon|AllFeatures)]. (B) Accuracy of unsupervised
estimates of P(Operon|AllFeatures) for known operons from E.coli and B.subtilis. For both genomes, we grouped the known operon or not-operon pairs together into
10 bins of equal size based on P(Operon|AllFeatures). For each bin, we show P(Operon|AllFeatures) versus the actual proportion of operon pairs, after correcting for
the greater number of known operon pairs in the test set. The straight line shows ideal performance (x = y). Figure 5. P(Operon|AllFeatures) is consistent with known operons and with microarray data. (A) The smoothed average of the similarity of gene expression profiles
(Pearson r) as a function of P(Operon|AllFeatures), computed by local regression (loess) on r versus rank[P(Operon|AllFeatures)]. (B) Accuracy of unsupervised
estimates of P(Operon|AllFeatures) for known operons from E.coli and B.subtilis. For both genomes, we grouped the known operon or not-operon pairs together into
10 bins of equal size based on P(Operon|AllFeatures). For each bin, we show P(Operon|AllFeatures) versus the actual proportion of operon pairs, after correcting for
the greater number of known operon pairs in the test set. The straight line shows ideal performance (x = y). Figure 5. P(Operon|AllFeatures) is consistent with known operons and with microarray data. (A) The smoothed average of the similarity of gene expression profiles
(Pearson r) as a function of P(Operon|AllFeatures), computed by local regression (loess) on r versus rank[P(Operon|AllFeatures)]. (B) Accuracy of unsupervised
estimates of P(Operon|AllFeatures) for known operons from E.coli and B.subtilis. For both genomes, we grouped the known operon or not-operon pairs together into
10 bins of equal size based on P(Operon|AllFeatures). For each bin, we show P(Operon|AllFeatures) versus the actual proportion of operon pairs, after correcting for
the greater number of known operon pairs in the test set. The straight line shows ideal performance (x = y). Table 2. Accuracy against microarray data Estimates of prediction accuracy from the method itself agree with
estimates from microarrays or from known operons
Attribute
E.coli
B.subtilis
C.trachomatis Synechocystis
Percentage accuracy of predicted operon pairs
From sequence
89.4
84.2
86.2
76.5
From microarrays
88.6 – 1.3 76.7 – 3.5 94.8 – 5.7
58.2 – 10.9
From known operons 85.4
77.0
Percentage accuracy of predicted not-operon pairs
From sequence
85.4
83.5
82.4
70.3
From microarrays
85.7 – 2.3 80.6 – 1.1 91.6 – 14.0
86.5 – 7.1
From known operons 83.7
88.0
A priori % in operons [P(Operon|Same)]
From sequence
57.0
51.7
59.7
48.5
From microarrays
56.0 – 1.6 49.7 – 2.1 59.9 – 9.7
32.1 – 5.6
Ranges are 95% confidence intervals. Table 2. Estimates of prediction accuracy from the method itself agree with
estimates from microarrays or from known operons Table 1. The majority of the agreement between predictions and microarrays
is due to the genome-specific distance models Table 1. The majority of the agreement between predictions and microarrays
is due to the genome-specific distance models
Genome
Distance
Comparative
All features
E. coli K12
0.406
0.401
0.494
B. subtilis
0.420
0.335
0.461
H. pylori
0.275
0.231
0.343
C. trachomatis
0.260
0.167
0.303
Synechocystis
0.159
0.222
0.268
Halobacterium
0.198
0.159
0.215
For each genome we show the Spearman correlation between the microarray
similarity (the Pearson correlation of the normalized log-ratios for two adjacent
genes) and the predicted probability that the two genes are in the same operon
[P(Operon)] using just intergenic distance, using just the comparative/
functional features, or using all features. For each genome we show the Spearman correlation between the microarray
similarity (the Pearson correlation of the normalized log-ratios for two adjacent
genes) and the predicted probability that the two genes are in the same operon
[P(Operon)] using just intergenic distance, using just the comparative/
functional features, or using all features. Ranges are 95% confidence intervals. separations and/or conserved gene order in distantly-related
species, and display high specificity when compared with
known operons in E.coli and B.subtilis (see Figure 5B). For
further information about this accuracy estimation procedure,
see Methods. Accuracy against microarray data Predicted not-operon pairs show a similar
distribution as the opposite-strand pairs and are significantly less correlated than predicted operon pairs (P < 107 for all genomes, Kolmogorov–Smirnov test, D-
statistic = 0.22–0.37). shown). The greater agreement with microarrays of distance-
only
predictions,
relative
to
the
comparative/functional
predictions, is consistent with the hypothesis that many
operons are too new to be identified by comparative genomics
alone (8). and not-operon pairs as mixtures of the distributions for true
positives and false positives. We approximated the latter with
the observed distribution for opposite-strand pairs, following
the assumption that not-operon pairs resemble opposite-strand
pairs. To estimate the distribution for true positives, we used
those gene pairs that were strongly predicted to be on the same
operon [P(Operon|AllFeatures) > 0.95]. These genes comprise
a set of high-quality predictions that have very low intergenic ( )
Finally, we used microarray data to estimate the absolute
accuracy of the predictions. To do this, we modeled the
observed distributions of correlations for predicted operon Nucleic Acids Research, 2005, Vol. 33, No. 3 888 0.0
0.2
0.4
0.6
0.8
1.0
0.0
0.2
0.4
0.6
0.8
1.0
A. P(Operon) vs. Microarrays
Estimated P(Operon), unsupervised
Average Microarray Similarity (Pearson r)
E.coli
B.subtilis
H.pylori
C.trachomatis
Synechocystis
Halobacterium
0.0
0.2
0.4
0.6
0.8
1.0
0.0
0.2
0.4
0.6
0.8
1.0
B. P(Operon) vs. Known Operons
Estimated P(Operon), unsupervised
Observed P(Operon)
E. coli
B. subtilis
Figure 5. P(Operon|AllFeatures) is consistent with known operons and with microarray data. (A) The smoothed average of the similarity of gene expression pr
(Pearson r) as a function of P(Operon|AllFeatures), computed by local regression (loess) on r versus rank[P(Operon|AllFeatures)]. (B) Accuracy of unsuper
estimates of P(Operon|AllFeatures) for known operons from E.coli and B.subtilis. For both genomes, we grouped the known operon or not-operon pairs togethe
10 bins of equal size based on P(Operon|AllFeatures). For each bin, we show P(Operon|AllFeatures) versus the actual proportion of operon pairs, after correctin
the greater number of known operon pairs in the test set. The straight line shows ideal performance (x = y). 0.0
0.2
0.4
0.6
0.8
1.0
0.0
0.2
0.4
0.6
0.8
1.0
A. P(Operon) vs. Microarrays
Average Microarray Similarity (Pearson r)
E.coli
B.subtilis
H.pylori
C.trachomatis
Synechocystis
Halobacterium A. P(Operon) vs. Microarrays B. P(Operon) vs. Known Operons B. P(Operon) vs. Known Operons 0.0
0.2
0.4
0.6
0.8
1.0
0.0
0.2
0.4
0.6
0.8
1.0
Observed P(Operon)
E. coli
B. Accuracy in other genomes To test the predictions for 124 genomes, where neither data-
bases of known transcripts nor microarray data are generally
available, we used the P(Operon|AllFeatures) values them-
selves as an internal estimate of prediction accuracy. Several
lines of evidence suggest that these internal estimates may be
a good indicator of performance. First, in all six species,
the
average
microarray
similarity
(r) rises
sharply as
P(Operon|AllFeatures) approaches one, and falls to nearly
zero as P(Operon|AllFeatures) approaches zero (Figure 5A). Second, unsupervised estimates of P(Operon|AllFeatures)
agree with the accuracy of predictions for known operons
in E.coli and B.subtilis (Figure 5B). Finally, as shown in
the previous section, predicted accuracies are in quantitative
agreement with estimates from gene expression data. The microarray-based estimates of accuracy are consistent
with the accuracy expected from the predicted probabilities,
and, in E.coli and B.subtilis, with the observed accuracy on
known operons (Table 2). We observe good agreement for the
larger data sets (E.coli, B.subtilis and Chlamydia trachomatis),
while in H.pylori and Halobacterium NRC-1 there is insuffi-
cient data for reliable estimates (data not shown). Although
overall accuracy in Synechocystis PCC 6803 according to the
microarrays is 72 – 5%, consistent with the method’s internal
estimate of 73%, this reflects the combination of a high false
positive rate and a low false negative rate, due to an overly
high a priori estimate of P(Operon|Same). The unusual operon
structure observed in Synechocystis is discussed in a later
section. We calculated the estimated accuracy of the predictions
in 124 genomes from the average over all pairs of each Nucleic Acids Research, 2005, Vol. 33, No. 3
889 –11
–4
–1
25
50
100
150
200
300
–4
–2
0
2
4
Intergenic Distance (d)
ln(likelihood ratio)
E.coli
B.subtilis
H.pylori
C.trachomatis
Synechocystis
Halobacterium
B.anthracis prediction’s confidence, which equals P(Operon|AllFeatures)
for predicted operon pairs [those with P(Operon|AllFeatures) >
0.5] and 1 P(Operon|AllFeatures) for predicted not-operon
pairs. These predicted accuracies range from 71 to 96%, with
half of the genomes lying between 82 and 87%. Accuracy is
independently correlated with the excess conservation of
same-strand pairs and with the strength of the relationship
between close spacing and conservation (Spearman r = 0.47
and 0.64, respectively; both P < 107). Operon structure across 124 genomes Having validated our predictions in a number of genomes, we
investigated whether these predictions could highlight bio-
logical differences among genomes when applied to a large set
of diverse prokaryotes. We first turned to the genome-specific
‘distance models’, which are the estimates of log-likelihood
ratios for operon and not-operon pairs given the intergenic
distance between them fln[P(Distance|Operon)/P(Distance|
NotOperon)]}. Most genome-specific distance models have
the shape expected from E.coli and B.subtilis, but E.coli
has particularly extreme values at very short and very high
separations (Figure 6). E.coli may have an unusually strong
correlation between intergenic distance and conserved prox-
imity, or gene starts in other genomes may simply be less
accurate [e.g. (9)]. Intergenic Distance (d) Figure 6. Unsupervised distance models across 124 genomes. We show
boxplots, across 124 genomes, of the genome-specific log-likelihoods
ln(P(Distance|Operon)/P(Distance|NotOperon)) at the indicated distances. Where the log likelihood is zero, operon and not-operon pairs are predicted
to be equallylikelyto havethat distance.The boxesshow quartilesand medians,
whiskers extend up to 1.5 times the interquartile range from the box, and dots
show outlying genomes. The non-linear x-axis highlights the sharp peak around
the common separations of 1 and 4. Distance models for a few specific
genomes are shown with lines. Although most genomes follow the same trend
of more operons at lower separations, significant differences are seen in the
shape and magnitude of their distance models. Figure 6. Unsupervised distance models across 124 genomes. We show
boxplots, across 124 genomes, of the genome-specific log-likelihoods
ln(P(Distance|Operon)/P(Distance|NotOperon)) at the indicated distances. Where the log likelihood is zero, operon and not-operon pairs are predicted
to be equallylikelyto havethat distance.The boxesshow quartilesand medians,
whiskers extend up to 1.5 times the interquartile range from the box, and dots
show outlying genomes. The non-linear x-axis highlights the sharp peak around
the common separations of 1 and 4. Distance models for a few specific
genomes are shown with lines. Although most genomes follow the same trend
of more operons at lower separations, significant differences are seen in the
shape and magnitude of their distance models. These variations in distance models support our motivation
for developing an unsupervised method. To determine whether
the observed differences among species reflect actual bio-
logical variation, or are simply an artifact of our method, we
examined two genomes with significant differences to the
E.coli model for which we also had gene expression data:
Halobacterium and H.pylori. difference in predictions). Distance models vary As shown in Figure 7, in E.coli, microarray similarity decays
gradually with increasing distance, but both Halobacterium
and
H.pylori
show
sharp
and
significant
drop-offs—
Halobacterium around 20 bp and H.pylori around 50 bp—
as predicted by the genome-specific distance models. These
differences in the distance models arise from statistically
significant differences in how likely these pairs at intermediate
distances are to be conserved in a distant genome (Supple-
mentary Table 2). Operon structure across 124 genomes The corresponding test in H.pylori
gives 0.328 versus 0.307 (P = 0.008). For the four other gen-
omes, the two levels of agreement are almost identical (data
not shown; all P > 0.05). This latter result explains why a
previous study focusing only on E.coli and B.subtilis reached
the conclusion that distance models can be applied across
species (9); however, our results suggest that this is not true
in general. Accuracy in other genomes Accuracy is below 75%
in three genomes which have unusually weak relationships
between conservation and close spacing: Methanocaldococcus
jannaschii
(formerly
Methanococcus),
Synechocystis
(discussed below) and Desulfovibrio vulgaris, which improves
to 79% when recently sequenced relatives are added (data not
shown). The only other genome with such low accuracy is
Rickettsia prowazekii, probably because of large numbers of
pseudogenes and ‘split’ genes (24). Overall, we predict that the
accuracy of the method is >82% for most genomes. –11
–4
–1
25
50
100
150
200
300
–4
–2
0
2
4
Intergenic Distance (d)
ln(likelihood ratio)
E.coli
B.subtilis
H.pylori
C.trachomatis
Synechocystis
Halobacterium
B.anthracis
Figure 6. Unsupervised distance models across 124 genomes. We show
boxplots, across 124 genomes, of the genome-specific log-likelihoods
ln(P(Distance|Operon)/P(Distance|NotOperon)) at the indicated distances. Where the log likelihood is zero, operon and not-operon pairs are predicted
to be equallylikelyto havethat distance.The boxesshow quartilesand medians,
whiskers extend up to 1.5 times the interquartile range from the box, and dots
show outlying genomes. The non-linear x-axis highlights the sharp peak around
the common separations of 1 and 4. Distance models for a few specific
genomes are shown with lines. Although most genomes follow the same trend
of more operons at lower separations, significant differences are seen in the
shape and magnitude of their distance models. ln(likelihood ratio) ln(likelihood ratio) Pseudogenes in ancestral operons The correlation between intergenic distance and conserved
proximity might be weakened in some genomes by the
disruption of genes within ancestral operons. For example,
Bacillus anthracis str. Ames has an unusual distance model,
while its relative B.subtilis has a typical model (Figure 6). B.anthracis has 12 apparent pseudogenes (BLASTn hits to
an annotated open reading frame (ORF) of over 200 bases
in length) within operons conserved in a distant genome,
whereas B.subtilis has none. We examined two of these
pseudogenes, and found that those ORFs were also disrupted
in another sequenced strain, so these pseudogenes are unlikely
to be sequencing errors. Over all same-strand pairs in
B.anthracis, we found that 166 were separated by candidate
pseudogenes that were syntenic in B.cereus (a close relative), For both genomes, predictions made using the genome-
specific distance model show significantly better agreement
with microarray data than predictions from a model trained on
known E.coli operons [the method of (9)]. In Halobacterium,
the Spearman correlation of binary distance-only predictions
with microarray similarity (Pearson r) is 0.210 for the genome-
specific model versus 0.127 for the E.coli distance model
(P = 0.04, two-sided t-test of correlation of rank(r) versus Nucleic Acids Research, 2005, Vol. 33, No. 3 890 (A) Halobacterium
P(Operon|Distance)
0.0
0.2
0.4
0.6
0.8
1.0
(B) H. pylori
0.0
0.2
0.4
0.6
0.8
1.0
(C) E. coli
0.0
0.2
0.4
0.6
0.8
1.0
<–26
1:19
50:99
>200
<–26
1:19
50:99
>200
0.0
0.4
0.8
Microarray Similarity (r)
0.0
0.4
0.8
<–26
1:19
50:99
>200
0.0
0.4
0.8
Figure 7. Microarrays confirm genome-specific differences in distance models. The panels show the genome-specific distance models (top) and box plots of
microarray similarity (bottom) for same-strand pairs separated by various intergenic distances in (A) Halobacterium NRC-1, (B) H.pylori and (C) E.coli. The ranges
of distances were selected to make the number of pairs within each range more uniform. In the top panels, the bars show the average of the genome-specific distance
model P(Operon|Distance) within each range, and the stars with lines show the corresponding value from E.coli. In the bottom panels, the boxes show quartiles and
medians of microarray similarity (Pearson r) within each range, and the grey bars show 90% confidence intervals around the median. If two grey bars do not overlap
then the medians are significantly different (P < 0.05). Pseudogenes in ancestral operons <–26
1:19
50:99
>200
0.0
0.4
0.8 <–26
1:19
50:99
>200
0.0
0.4
0.8 Figure 7. Microarrays confirm genome-specific differences in distance models. The panels show the genome-specific distance models (top) and box plots of
microarray similarity (bottom) for same-strand pairs separated by various intergenic distances in (A) Halobacterium NRC-1, (B) H.pylori and (C) E.coli. The ranges
of distances were selected to make the number of pairs within each range more uniform. In the top panels, the bars show the average of the genome-specific distance
model P(Operon|Distance) within each range, and the stars with lines show the corresponding value from E.coli. In the bottom panels, the boxes show quartiles and
medians of microarray similarity (Pearson r) within each range, and the grey bars show 90% confidence intervals around the median. If two grey bars do not overlap
then the medians are significantly different (P < 0.05). so that pseudogenes may be a sufficient explanation for the
unusual distance model of B.anthracis. alternative
gene
models
from
CyanoBase
(http://www. kazusa.or.jp/cyano/) or produced by CRITICA (27) as well
as the standard set from NCBI. Both alternative sets of gene
models included TTG start codons and produced the same
anomalous distance model (data not shown). Thus, the unusual
distribution of intergenic distances for genes within operons
in Synechocystis is not an artifact and reflects a biological
difference in the structure of this genome. Second, we ruled
out strong strand bias or unusual numbers of pseudogenes,
either of which might affect our method for estimating
P(Operon|Same). Thus, assuming that the microarray-based
estimates are more accurate than the sequence-based estimates
of the total number of operons, it is a mystery why genes that
are not co-transcribed would tend to occur on the same strand
of DNA. Operons in the «-Proteobacteria It
has
been
suggested
that
H.pylori
and
its
relative
Campylobacter jejuni have few operons (25,26). However,
we observe a clear excess of same-strand pairs, which indic-
ates organization of genes into operons (15). Indeed, from the
number of same-strand pairs, we estimate that most such pairs
in these genomes are in operons—71% in H.pylori and 72% in
C.jejuni, higher rates than observed for E.coli or B.subtilis. In addition, 20.5% of these same-strand gene pairs in H.pylori
are conserved within 5 kb in C.jejuni, versus only 3.4% of
opposite-strand pairs (P < 1013, c2 test). These conserved
pairs are separated by smaller distances than other pairs in both
genomes (data not shown). Finally, and most significantly,
microarray data for H.pylori indicates that predicted operon
pairs have much greater similarity in expression profiles than
do predicted not-operon pairs (Figure 4), and this is largely
due to the distance model (Table 1). Thus, both comparative
genomics and microarray data confirm the existence of many
operons in these genomes. DISCUSSION Interpreting the wealth of microbial sequence data requires
unsupervised methods for statistical inference and careful val-
idation against experiment across as many phylogenetically
diverse species as possible. We have demonstrated accurate
unsupervised prediction of operons by combining comparative
genomics and genome-specific distance models. Our method
relies on the assumption, first introduced by (7) and which we
have validated against known operons and against microarray
data, that not-operon pairs resemble opposite-strand pairs with
respect to conservation and functional similarity. REFERENCES 1. Salgado,H., Moreno-Hagelsieb,G., Smith,T.F. and Collado-Vides,J. (2000) Operons in Escherichia coli: genomic analyses and predictions. Proc. Natl Acad. Sci. USA, 97, 6652–6657. 2. Zheng,Y., Szustakowski,J.D., Fortnow,L., Roberts,R.J. and Kasif,S. (2002) Computational identification of operons in microbial genomes. Genome Res., 12, 1221–1230. 3. Sabatti,C., Rohlin,L., Oh,M.K. and Liao,J.C. (2002) Co-expression
patternfromDNAmicroarrayexperimentsasatoolforoperonprediction. Nucleic Acids Res., 30, 2886–2893. 4. Bockhorst,J., Qiu,Y., Glasner,J., Liu,M., Blattner,F. and Craven,M. (2003a) Predicting bacterial transcription units using sequence and
expression data. Bioinformatics, 19 (Suppl. 1), I34–I43. We
further
improved
our
predictions
by
combining
genome-specific distance models with comparative features
(conserved proximity) and a functional feature (matching
COG function codes). We also improved the accuracy of com-
parative operon prediction by handling distantly and closely
related species differently. As more genomes are sequenced,
these comparative features should become more powerful. We considered using patterns of gene co-occurrence [‘phylo-
genetic profiles,’ (28)], but this did not provide statistically
significant additional information (data not shown). The
similarity of textual annotations has been used to select a
genome-specific distance threshold, but this threshold and
the underlying feature were used to aid functional annotation,
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tested (29). This feature and other precise measures of func-
tional similarity [e.g. from metabolism (2)] might improve
accuracy. Finally, we suspect that transcription intiation or
rho-independent termination sites that are conserved across
species might aid prediction. 5. Bockhorst,J., Craven,M., Page,D., Shavlik,J. and Glasner,J. (2003b)
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11, 356–372. 9. Moreno-Hagelsieb,G. and Collado-Vides,J. (2002) A powerful
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Tatusov,R.L., Wolf,Y.I., Yin,J. and Koonin,E.V. (2002) Congruent
evolution of different classes of non-coding DNA in prokaryotic
genomes. Nucleic Acids Res., 30, 4264–4271. genomes. Nucleic Acids Res., 30, 4264–4271. 11. Overbeek,R., Fonstein,M., D’Souza,M., Pusch,G.D. and Maltsev,N. (1999) The use of gene clusters to infer functional coupling. Proc. Natl Acad. Sci. USA, 96, 2896–2901. ACKNOWLEDGEMENTS We thank Nitin Baliga, Richard Bonneau, Tracy Nicholson and
Richard Stephens for providing unpublished microarray data,
Inna Dubchak for insightful discussions and sharing resources,
and the rest of the Arkin lab for comments on the manuscript. This work was supported by a grant from the DOE
Genomics:GTL program (DE-AC03-76SF00098). Funding
to pay the Open Access publication charges for this article
was provided by grant DE-AC03-76SF00098. p
g p
g
It has been proposed that intergenic distances between
genes in operons are similar in all prokaryotes. Moreover, it
has been suggested that the distance distribution from E.coli
can be used to predict operons in unrelated prokaryotes and to
estimate the total number of TUs in their genomes (9). How-
ever, we found that many genome-specific distance models are
different from E.coli. Using comparative genomics and gene
expression data, we confirmed that genes in operons in both
Halobacterium and H.pylori are closer together than genes in
E.coli operons, and that our genome-specific approach
improved prediction accuracy in these genomes. In contrast,
operons in B.anthracis appear to be widely spaced due to large
numbers of pseudogenes within ancestral operons. We do not
know whether such operons that have been disrupted by
pseudogenes are still functional. In Synechocystis, the unusu-
ally wide spacing within conserved operons (9,10) seems not
to be due to errors in gene start predictions (9) or pseudogenes,
and might be related to the apparent surplus of same-strand
not-operon gene pairs. Unusual operons in Synechocystis From the number of same-strand pairs, we estimate that 48%
of same-strand pairs in Synechocystis are in operons. The
microarray-based estimate, however, is significantly lower
and suggests that only 34 – 6% of same-strand pairs are
co-transcribed in operons (Table 2). Furthermore, our results
and those of others suggest that many conserved operons in
Synechocystis have large distances between genes [see (9,10)
and Figure 6]. We investigated a number of possible reasons
for these discrepancies. First, it has been suggested that the
gene models may be inaccurate because of the absence of TTG
initiation codons (9). To rule out this explanation, we analyzed We used microarray data to estimate the accuracy of our
operon predictions and to show that the unsupervised predic-
tions are effective in six phylogenetically diverse prokaryotes,
including the archaeon Halobacterium NRC-1, a Gram-
positive bacterium (B.subtilis) with strong coding strand bias,
a member (H.pylori) of the e-Proteobacteria, which have been
described as having few operons (25,26), the cyanobacterium Nucleic Acids Research, 2005, Vol. 33, No. 3 891 Synechocystis PCC 6803, which has unusual operon structure
(9,10), and the intracellular parasite Chlamydia trachomatis. Furthermore, in E.coli and B.subtilis, unsupervised predictions
are about as accurate as supervised predictions that are optim-
ized using known operon structure. Because the predictions for
other genomes were not validated against known operons, it is
conceivable that the method is predicting some other kind of
functional relationship between adjacent genes, rather than
operons. However, most of the power of this method to predict
co-expression comes from the genome-specific distance mod-
els, and the extent of agreement with both microarrays and
known operons is quantitatively consistent with the method’s
internal estimate of its accuracy, so we argue that the method
must be predicting pairs of genes that are co-transcribed. have shown promise in the assignment of gene function, our
results may also aid the annotation of uncharacterized genes. Predictions for over 120 genomes, as well as source code, are
freely available from the VIMSS website (http://vimss.org/
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Paley,S.M., Pellegrini-Toole,A., Bonavides,C. and Gama-Castro,S. (2002) The EcoCyc Database. Nucleic Acids Res., 30, 56–58. 30. McGuire,A.M., Hughes,J.D. and Church,G.M. (2000) Conservation of
DNA regulatory motifs and discovery of new motifs in microbial
genomes. Genome Res., 10, 744–757. 22. Itoh,T., Takemoto,K., Mori,H. and Gojobori,T. (1999) Evolutionary
instability of operon structures disclosed by sequence comparisons of
complete microbial genomes. Mol. Biol. Evol., 16, 332–346. 31. McCue,L., Thompson,W., Carmack,C., Ryan,M.P., Liu,J.S.,
Derbyshire,V. and Lawrence,C.E. (2001) Phylogenetic footprinting of
transcription factor binding sites in proteobacterial genomes. Nucleic
Acids Res., 29, 774–782. p
g
23. DeLong,E.R., DeLong,D.M. and Clarke-Pearson,D.L. (1988)
Comparing the areas under two or more correlated receiver operating
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Flow Chemistry Highlights
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Chimia
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Columns Columns CHIMIA 2023, 77, No. 4
263
Chimia 77 (2023) 263
© Swiss Chemical Society 263 CHIMIA 2023, 77, No. 4 doi:10.2533/chimia.2023.263 Chimia 77 (2023) 263
© Swiss Chemical Society Selected Topic: An Interview with Dominique Roberge, Lonza For this Flow Chemistry Column, we
are happy to interview Dr. Dominique
Roberge, a Flow Chemistry Specialist
Director Group Leader at Lonza and
Adjunct Professor at University of Ottawa. basics of chemical engineering, which is available at institutes
and universities working in this field. For example, the Swiss
Chemical Society organized a seminar in 2022 where this topic
was addressed. Flow Chemistry Network: Flow chemistry is already being con-
sidered as a mature technology. What is left to do to turn it into a
routine tool for chemists and chemical engineers? Flow Chemistry Network: What brought
you to the field of flow chemistry, and
what made you stay and contribute in the
area? Dominique: Is flow chemistry really a mature technology? In
the manufacturing processes we still encounter a predominance
of batch processing over flow chemistry, even where there are
obvious benefits in making the change. It is often difficult to
switch technology later on because of process risks such as new
impurities in an API, and regulations. I will consider it a ma-
ture technology when scientists take into account using flow in
process development from the start. The education process still
needs to go on. Dominique: When we started a project at Lonza in 2003, we
called it microreactor technology. Since then, microreactors
have become central tools in continuous flow process develop-
ment in the pharmaceutical industry. However, while the idea of
simply running additional microreactors in parallel to increase
throughput is a compelling one, it is not always practical. The
broader concept of flow chemistry has the objective of achieving
process intensification with best-in-class reactor technology. The
field remains rather attractive to me as a scientist because it chal-
lenges the status quo of a relatively conservative and established
industry. Flow Chemistry Network: What, for you, have been the major
developments in the field over the years? Dominique: There are now established companies who supply
reactor technology, ranging from plate-type to active mixing de-
vices such as the continuous stirred tank reactor (CSTR). A new
business has emerged, and it has proved viable. Surprisingly, the
main business growth for these companies has been in India and
China, showing that the industry in the western world is yet to
embrace the technology to its full extent. Many interesting chal-
lenges remain! Would you like to propose a Flow Chemistry Highlight topic here?
Please contact Agnieszka Ladosz or Christophe Allemann, agnieszka.ladosz@idorsia.com; christophe.allemann@hefr.ch Selected Topic: An Interview with Dominique Roberge, Lonza Flow Chemistry Network: Are there any exciting innovations in
the field today that you think could give it even greater impact? Flow Chemistry Network: Are there any exciting innovations in
the field today that you think could give it even greater impact? Dominique: A key development has been in using loop-type re-
actors (recycle-flow) for photo- and electro-chemistry, where the
vessel is used as holding tank (i.e. batch operation). Assuming
that flow chemistry also encompasses these loop-type reactors,
then its meaning is broader than continuous manufacturing. Consequently, flow chemistry has a wide-ranging field of ap-
plication that will drive pharmaceutical manufacturing to a new
age of efficient, green, and sustainable processes. Flow Chemistry Network: What should a young researcher/in-
dustrial chemist keep in mind when embarking on a project using
flow processing? Dominique: Flow technology is mainly used for process intensi-
fication to enhance transport phenomena, namely heat and mass
transfer rates. A young chemist should become familiar with the Would you like to propose a Flow Chemistry Highlight topic here? Please contact Agnieszka Ladosz or Christophe Allemann agnieszka ladosz@idorsia com Would you like to propose a Flow Chemistry Highlight topic here? Please contact Agnieszka Ladosz or Christophe Allemann, agnieszka.ladosz@idorsia.com; christophe.allemann@hefr.ch
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Modeling the behaviour of alluvial and blasted quarried rockfill materials
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Geotechnical and geological engineering
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Modeling the behaviour of alluvial and blasted quarried
rockfill materials N. P. Honkanadavar • Nripendra Kumar •
Murari Ratnam Received: 26 July 2013 / Accepted: 12 May 2014 / Published online: 5 June 2014
The Author(s) 2014. This article is published with open access at Springerlink.com Abstract
Two types of modeled rockfill materials
were collected from Renuka dam site, Himachal
Pradesh, India and Salma dam site, Afghanistan. The
rockfill material collected from Renuka dam site is
rounded to sub-rounded in shape and the rockfill
material collected from Salma dam site is angular to
sub-angular in shape. The prototype gradation rockfill
material consists maximum particle size larger than
1,000 mm. Therefore, for carrying out laboratory
testing and modeling the bahaviour, the prototype
rockfill material is scaled down to the maximum
particle size (dmax) of 25, 50 and 80 mm for both
projects material using parallel gradation technique. Triaxial compression and Index properties tests were
conducted on both project rockfill materials and are
presented. From the triaxial behaviour, it is observed
that the stress–strain behaviour is non-linear, inelastic
and stress dependent for both the materials. The
material compresses during the initial shearing and
shows dilation effect with further shearing. It is
observed that the /-value for alluvial rockfill material
increases with increase in dmax and reverse trend is observed for blasted quarried rockfill material which
shows the importance of the type of material. The
stress–strain-volume change behaviour of both pro-
jects modeled rockfill material was predicted by using
hierarchical single surface (HISS) model based on
elasto plasticity and compared with the laboratory test
results. From the comparison, it is observed that both
results match closely. It is, therefore, suggested that
the behaviour of both types of rockfill materials can be
characterized successfully using HISS model. Keywords
Rockfill Modeling Triaxial test
Stress–strain behaviour HISS model Geotech Geol Eng (2014) 32:1001–1015
DOI 10.1007/s10706-014-9776-1 Geotech Geol Eng (2014) 32:1001–1015
DOI 10.1007/s10706-014-9776-1 ORIGINAL PAPER 1 Introduction They
predicted
the
stress–strain-volume
change
behaviour of materials and compared with the
observed results. From the predicted and observed
results they found that both observed and predicted
results match closely. presented in Table 1. This paper deals with the
laboratory
study
of
stress–strain-volume
change
behaviour, determination of shear strength parame-
ters, prediction of the behaviour for rockfil material
using non-associative HISS constitutive model and
comparison of laboratory and predicted behaviour of
both projects rockfill materials. 1 Introduction 1994, 1997, 1999, 2002a, 2002b, 2003, 2006; Gupta
2000; Abbas 2003; Honkanadavar 2010; Xiao et al. Xiao et al. 2011a, 2011b, 2012; Honkanadavar 2012). They
predicted
the
stress–strain-volume
change
behaviour of materials and compared with the
observed results. From the predicted and observed
results they found that both observed and predicted
results match closely. In the present research work, two types rockfill Table 1 Rockfill Materials Used
Project
name
Location
Name of the
rock
Renuka
Dam
Located on river Giri about 375 m
downstream of confluence of
Jogar-ka-Khala with river Giri in
Himachal Pradesh, India
Limestone
Salma
Dam
Rock quarry near the Salma dam
site 2 km downstream of Salma
village in Herat province,
Afghanistan
Metamorphic
gneiss Table 1 Rockfill Materials Used rockfill material used in the dam construction is large
in size and it is not feasible to test it directly in the
laboratory. Therefore, some kind of modeling tech-
nique is often used to reduce the size of particles so
that the specimens prepared with smaller size particles
can be prepared and tested in the laboratory. Among
all available modeling techniques, the parallel grada-
tion technique (Lowe 1964) is most commonly used
and the same has been adopted in the present study. The behaviour of the rockfill materials has been
reported by number of researchers. Marsal (1967),
Marachi et al. (1969), Venkatachalam (1993), Gupta
(2000), and Abbas (2003), Honkanadavar (2010),
Varadarajan et al. (1997, 1999, 2002, 2003, 2006),
Honkanadavar (2011, 2012a, Honkanadavar et al. 2012) have performed laboratory tests on various
rockfill materials with different confining pressures. They concluded that the strength parameter, / varies
with the particle size. They had also observed that the
trend of behaviour of alluvial rockfill material is
opposite to that of blasted quarried rockfill material. For blasted quarried rockfill materials the angle of
internal friction, / decreases with increase in dmax and
for alluvial rockfill material the angle of internal
friction, / increases with increase in dmax. HISS
models have been used successfully to model the
behavior of various materials (Desai 2001; Desai
et al. 1986, 1995a, 1995b, Desai and Ugai 1996;
Desai and Varadarajan 1987; Varadarajan and Desai
1987, 1993; Najjar et al. 1994; Varadarajan et al. 1994, 1997, 1999, 2002a, 2002b, 2003, 2006; Gupta
2000; Abbas 2003; Honkanadavar 2010; Xiao et al. Xiao et al. 2011a, 2011b, 2012; Honkanadavar 2012). 1 Introduction Number of river valley projects are being planned and
implemented in India and abroad to store the natural
water flowing in the rivers and use it later for different
purposes viz. power generation, irrigation and flood
control etc. Concrete, Masonry and Earth and rockfill
dams are being constructed to store the river water. However, now a days, rockfill dams are widely being
constructed all over the world because of their inherent
flexibility, capacity to absorb large seismic energy,
adaptability to various foundation conditions and
economical as well. The behaviour of the rockfill
materials used in the earth and rockfill dam is of
considerable importance for the analysis, safe and
economical design of rockfill dams. The prototype N. P. Honkanadavar (&) N. Kumar M. Ratnam
Central Soil and Materials Research Station,
New Delhi 110016, India
e-mail: nphonkanadavar@gmail.com
N. Kumar
e-mail: nkmr_csmrs@rediffmail.com
M. Ratnam
e-mail: director-csmrs@nic.in 12 3 3 Geotech Geol Eng (2014) 32:1001–1015 1002 rockfill material used in the dam construction is large
in size and it is not feasible to test it directly in the
laboratory. Therefore, some kind of modeling tech-
nique is often used to reduce the size of particles so
that the specimens prepared with smaller size particles
can be prepared and tested in the laboratory. Among
all available modeling techniques, the parallel grada-
tion technique (Lowe 1964) is most commonly used
and the same has been adopted in the present study. The behaviour of the rockfill materials has been
reported by number of researchers. Marsal (1967),
Marachi et al. (1969), Venkatachalam (1993), Gupta
(2000), and Abbas (2003), Honkanadavar (2010),
Varadarajan et al. (1997, 1999, 2002, 2003, 2006),
Honkanadavar (2011, 2012a, Honkanadavar et al. 2012) have performed laboratory tests on various
rockfill materials with different confining pressures. They concluded that the strength parameter, / varies
with the particle size. They had also observed that the
trend of behaviour of alluvial rockfill material is
opposite to that of blasted quarried rockfill material. For blasted quarried rockfill materials the angle of
internal friction, / decreases with increase in dmax and
for alluvial rockfill material the angle of internal
friction, / increases with increase in dmax. HISS
models have been used successfully to model the
behavior of various materials (Desai 2001; Desai
et al. 1986, 1995a, 1995b, Desai and Ugai 1996;
Desai and Varadarajan 1987; Varadarajan and Desai
1987, 1993; Najjar et al. 1994; Varadarajan et al. 123 2.1 Rockfill Materials Used In the present research work modeled alluvial and
blasted modeled quarried rockfill materials from
Renuka
dam
site,
India
and
Salma
dam
site,
Afghanistan are obtained and used for research
work. The details of the materials, location and rock
types are given in Table 1. The alluvial rockfill
material consist of rounded to sub-rounded particles
in shape and quarried blasted rockfill material
consist of angular to sub-angular in shape. The
particle shapes of modeled alluvial (Renuka dam
site) and blasted modeled quarried rockfill (Salma
dam site) materials are shown in Figs. 1 and 2
respectively. Laboratory tests were conducted to
determine the index properties of both types of
rockfill materials and are given in Table 2. Proto-
type gradation rockfill material consists of maxi-
mum particle sizes of 1,000 and 600 mm for Renuka
dam and Salma dam respectively. Rockfill material
with such a large particle size is not feasible to test
in the laboratory. Among all the available modeling
techniques, the parallel gradation technique (Lowe
1964) is most commonly used and the same has
been adopted in the present study to model the In the present research work, two types rockfill
materials (alluvial and blasted quarried) have been
considered. Renuka dam is a 148 m high earth and
rockfill
dam
constructed
using
alluvial
rockfill
material across river Giri in Himachal Pradesh,
India and Salma dam is a 107.5 m high earth and
rockfill
dam constructed
using quarried blasted
rockfill material across river Hari Rud, Afghanistan. The rock type of alluvial rockfill is limestone and
quarried blasted rockfill is metamorphic gneiss. The
details of project, location and types of rock are 123 Geotech Geol Eng (2014) 32:1001–1015 1003 Fig. 1 Modeled Alluvial
Rockfill Materials from
Renuka Dam project,
Himachal Pradesh, India
Fig. 2 Modeled Quarried
Blasted Rockfill Materials
from Salma Dam project,
Afghanistan Fig. 1 Modeled Alluvial
Rockfill Materials from
Renuka Dam project,
Himachal Pradesh, India Table 2 Index Properties of both Alluvial and Quarried
Blasted Rockfill Materials
Sl. No. Name of the test
Renuka Dam
project
Salma Dam
project
1
Los Angeles abrasion (%)
21.25
44.80
2
Aggregate crushing
value (%)
35.20
38.90
3
Aggregate impact
value (%)
26.90
34.90
4
Water absorption (%)
1.3
1.8
5
Specific gravity
2.66
2.73 Table 2 Index Properties of both Alluvial and Quarried
Blasted Rockfill Materials gradation
curves
for
Renuka
and
Salma
dam
rockfill
materials
are
shown
in
Figs. 3
and
4
respectively. Fig. 2 Modeled Quarried
Blasted Rockfill Materials
from Salma Dam project,
Afghanistan Fig. 1 Modeled Alluvial
Rockfill Materials from
Renuka Dam project,
Himachal Pradesh, India 2.1 Rockfill Materials Used The values of index properties of alluvial rockfill
material shows lessor values as compared to blasted
quarried rockfill materials. This is due to the reason
that the alluvial rockfill material formed as a result of
disintegration of the hill rock in the upper himalaya,
carried away the same by water, impact, rolling,
sliding action in the riverbed and depositing the only
hard core portion of the rock particles. However, the
blasted rock is fresh, angular, having minor cracks and
loose surface corners gives the index values higher as
copmpared to alluvial rockfill material. As these
values of both projects material are within the
permissible limit, both materials can be used as
rockfill material in the construction of rockfill dam. prototype rockfill materials. Modeled rockfill mate-
rials with dmax of 80, 50 and 25 mm for Renuka and
Salma dam projects were obtained using parallel
gradation technique. The prototype and modeled 12 3 3 1004 Geotech Geol Eng (2014) 32:1001–1015 2.2 Experimental Programme
2.2.1 Drained Triaxial Shear Tests
l i
d
i
d
d
d d
i
d
have been conducted on all the modeled rockfill
materials collected from both the projects. Details of
the triaxial equipment used in the present research
work are given in Fig. 5. For testing, a dry density
Fig. 3 Prototype and Modeled Grain Size Distribution Curves for Renuka Dam Project
Fig. 4 Prototype and
Modeled Grain Size
Distribution Curves for
Salma Dam Project Fig. 3 Prototype and Modeled Grain Size Distribution Curves for Renuka Dam Project Fig. 3 Prototype and Modeled Grain Size Distribution Curves for Renuka Dam Project Fig. 3 Prototype and Modeled Grain Size Distribution Curves for Renuka Dam Project 2.2 Experimental Programme
2.2.1 Drained Triaxial Shear Tests
have been conducted on all the modeled rockfill
materials collected from both the projects. Details of
the triaxial equipment used in the present research
Fig. 4 Prototype and
Modeled Grain Size
Distribution Curves for
Salma Dam Project nd
e
for have been conducted on all the modeled rockfill
materials collected from both the projects. Details of
the triaxial equipment used in the present research
work are given in Fig. 5. For testing, a dry density
corresponding to 87 % relative density is adopted. Three confining pressures i.e. 0.4, 0.8 and 1.2 MPa
were used for testing each dmax of modeled rockfill
material. 2.1 Rockfill Materials Used The quantities of various fractions of mod-
eled rockfill materials required to achieve the grada-
tion for preparing the specimen at the specified density
was determined by weight. The specimen was
prepared
using
a
split
mould
and
two
rubber 2.2.1 Drained Triaxial Shear Tests Relative density tests were conducted and determined
minimum and maximum dry densities for both
projects modeled rockfill material. Using minimum
and maximum dry densities, the packing density of the
specimen for triaxial shear test was determined
corresponding to 87 % relative density. A specimen
size of 381 mm diameter and 813 mm height is
prepared and consolidated drained triaxial shear tests 12 123 1005 Geotech Geol Eng (2014) 32:1001–1015 Geotech Geol Eng (2014) 32:1001–1015 . 5 Triaxial
mpression Test Setup
1 mm dia. and 813 mm
h) Fig. 5 Triaxial
Compression Test Setup
(381 mm dia. and 813 mm
high) Fig. 5 Triaxial
Compression Test Setup
(381 mm dia. and 813 mm
high) 2.2.1.1 Stress–Strain-Volume Change Behaviour
The
details of projects, maximum particle size (dmax),
confining pressure, r3, axial strain, e1 and volumetric
strain ev at failure for peak deviator stress are
presented in Table 3. Stress–strain-volume change
behaviour of six modeled rockfill materials tested for
three confining pressures viz. 0.4, 0.8 and 1.2 MPa for
Renuka dam and Salma dam projects are shown in
Figs. 6, 7, 8, 9 and 10 and 11. From the deviator stress
v/s axial strain relationship, it is observed that the
behaviour of both materials is non-linear, inelastic and
stress level dependent. For a dmax, the deviator stress
and axial strain at failure increases with increase in
confining pressure for both the materials. For a
confining pressure, the deviator stress increases with
increase in dmax for alluvial rockfill materials and it
decreases with increase in dmax for quarried rockfill
material. From the observed stress–strain curves of all
the dmax tested, it is observed that the kind of mode of
failure of specimen is brittle shear failure. The volume 2.2.1.1 Stress–Strain-Volume Change Behaviour
The
details of projects, maximum particle size (dmax),
confining pressure, r3, axial strain, e1 and volumetric
strain ev at failure for peak deviator stress are
presented in Table 3. Stress–strain-volume change
behaviour of six modeled rockfill materials tested for
three confining pressures viz. 0.4, 0.8 and 1.2 MPa for
Renuka dam and Salma dam projects are shown in
Figs. 6, 7, 8, 9 and 10 and 11. From the deviator stress
v/s axial strain relationship, it is observed that the
behaviour of both materials is non-linear, inelastic and
stress level dependent. For a dmax, the deviator stress
and axial strain at failure increases with increase in
confining pressure for both the materials. 2.2.1 Drained Triaxial Shear Tests For a
confining pressure, the deviator stress increases with
increase in dmax for alluvial rockfill materials and it
decreases with increase in dmax for quarried rockfill
material. From the observed stress–strain curves of all
the dmax tested, it is observed that the kind of mode of
failure of specimen is brittle shear failure. The volume 2.2.1.1 Stress–Strain-Volume Change Behaviour
The
details of projects, maximum particle size (dmax),
confining pressure, r3, axial strain, e1 and volumetric
strain ev at failure for peak deviator stress are
presented in Table 3. Stress–strain-volume change
behaviour of six modeled rockfill materials tested for
three confining pressures viz. 0.4, 0.8 and 1.2 MPa for
Renuka dam and Salma dam projects are shown in
Figs. 6, 7, 8, 9 and 10 and 11. From the deviator stress
v/s axial strain relationship, it is observed that the
behaviour of both materials is non-linear, inelastic and
stress level dependent. For a dmax, the deviator stress
and axial strain at failure increases with increase in
confining pressure for both the materials. For a
confining pressure, the deviator stress increases with
increase in dmax for alluvial rockfill materials and it
decreases with increase in dmax for quarried rockfill
material. From the observed stress–strain curves of all
the dmax tested, it is observed that the kind of mode of
failure of specimen is brittle shear failure. The volume membranes of 1 mm inner and 3 mm outer. The
specimen was compacted in six equal layers using
mechanical vibratory compactor. The specimen was
saturated by allowing water to pass through the base of
the triaxial specimen and using a top drainage system
for removing air voids. Conventional triaxial com-
pression (CTC) tests were conducted in two phases;
consolidation and shearing. In the first phase, required
consolidation pressure is applied to the specimen and
recorded the change in the volume of the specimen by
allowing the water to drain out. In the second phase,
keeping the confining pressure constant, the specimen
was sheared till the failure under strain controlled test
with a rate of loading 1 mm/min. During the test, for
every strain level, deviator stress and volume change
is recorded. The specimen is considered as failed when
the specimen stops taking the load or when axial strain
reaches 15 % whichever is earlier. From the test
results, stress–strain-volume change behaviour was
studied and presented. 2.2.1 Drained Triaxial Shear Tests 12 3 3 Geotech Geol Eng (2014) 32:1001–1015 1006 Table 3 Axial and Volumetric Strains at Failure (Peak
Deviator Stress) for Renuka Dam and Salma Dam Projects
Name of
project
dmax
(mm)
Confining
pressure
(r3) MPa
Axial
strain at
failure (%)
Volumetric
strain at
failure (%)
Renuka
Dam
project
25
0.4
8.0
0.455
0.8
8.5
1.060
1.2
9.0
1.650
50
0.4
8.5
0.526
0.8
9.5
1.385
1.2
10.0
1.831
80
0.4
9.0
0.605
0.8
10.0
1.465
1.2
10.5
1.910
Salma
Dam
project
25
0.4
8.5
0.565
0.8
9.0
1.213
1.2
9.5
1.824
50
0.4
9.0
0.662
0.8
9.5
1.531
1.2
10.0
1.985
80
0.4
9.5
0.736
0.8
10.0
1.625
1.2
10.5
2.312 phase changing line. The dilation effect decreases with
increase in confining pressure and dmax for both the
materials. Similar behavior has been observed and
reported by Varadarajan et al. (1997, 1999, 2002,
2003, Varadarajan and Abbas 2006); Honkanadavar
(2010); Honkanadavar and Sharma (2011, 2012a);
Honkanadavar et al. (2012b). Table 3 Axial and Volumetric Strains at Failure (Peak
Deviator Stress) for Renuka Dam and Salma Dam Projects 2.2.1.2 Evaluation
of
Shear
Strength
Parame-
ters
Mohr–Coulomb
failure
criterion
has
been
adopted for determining the angle of internal friction
at failure. Failure envelopes in mean stress (rm) v/s
deviator stress (r1 - r3) space are plotted for all the
dmax tested with different confining pressures for
Renuka and Salma dam materials. The angle of
internal friction, / is determined from the best fit
straight lines of these plots for both the modeled
rockfill materials. Figure 12 shows a typical plot for
Renuka dam site alluvial modeled rockfill material for
maximum particle size (dmax) of 25 mm. It is observed
that the cohesion, c for all the drained tests with a dmax
of both project rockfill materials is observed as zero. The /-values are tabulated in Table 4. 2.2.2 Effect of Particle Size on Strength Parameter, / change behaviour shows compression during the
initial stage of shearing and dilation effect is
observed with further shearing for all the dmax. No
strength reduction phenomenon or strain-softening
behavior is observed when the stress state passes the The strength of rockfill material used in the construc-
tion of rockfill dams is affected by number of factors
such as mineral composition, particle size, shape,
gradation, relative density and surface texture of the (a) (a)
(b)
Fig. 6 Stress–Strain-Volume Change Behaviour of 25 mm dmax for Renuka Dam Project Material. a Stress–strain behaviour b Volume
change behaviour (b) (b) (a) Fig. 6 Stress–Strain-Volume Change Behaviour of 25 mm dmax for Renuka Dam Project Material. a Stress–strain behaviour b Volume
change behaviour lume Change Behaviour of 25 mm dmax for Renuka Dam Project Material. a Stress–strain behaviour b Volume 12 3 Geotech Geol Eng (2014) 32:1001–1015 1007 (a) (a)
(b)
Fig. 7 Stress–Strain-Volume Change Behaviour of 50 mm dmax for Renuka Dam Project Material. a Stress–strain behaviour b Volume
change behaviour (b) (a) (b) lume Change Behaviour of 50 mm dmax for Renuka Dam Project Material. a Stress–strain behaviour b Volume Fig. 7 Stress–Strain-Volume Change Behaviour of 50 mm dmax for Renuka Dam Project Material. a Stress–strain behaviour b Volume
change behaviour (a)
(b)
Fig. 8 Stress–Strain-Volume Change Behaviour of 80 mm dmax for Renuka Dam Project Material. a Stress–strain behaviour b Volume
change behaviour (b) (a) (b) (a) Fig. 8 Stress–Strain-Volume Change Behaviour of 80 mm dmax for Renuka Dam Project Material. a Stress–strain behaviour b Volume
change behaviour lume Change Behaviour of 80 mm dmax for Renuka Dam Project Material. a Stress–strain behaviour b Volume particles (Venkatachalam 1993; Gupta 2000; Abbas
2003; Honkanadavar 2010, 2011, 2012a, 2012b). The
effect of maximum particle size, dmax on strength
parameter, / for both project materials are shown in
the Fig. 13. It is observed that the angle of internal
friction, / increases with increase in dmax for Renuka
alluvial and / decreases with increase in dmax for
Salma dam quarried rockfill material. The values of
angle of internal friction for Shah Nehar project
(alluvial), Purulia dam (quarried) and Parbati dam
project (quarried) rockfill materials reported by Abbas
(2003) are also superimposed in Fig. 13. They show similar trend as that of Renuka riverbed and Salma
quarried rockfill material. 2.2.2 Effect of Particle Size on Strength Parameter, / Due to higher interlocking
of angular particles, the strength of quarried rockfill
material is more than the rounded rockfill material for
the same dmax. 3 Constitutive Modeling 3.1.1 Elastic Parameters
y = 1.511x
R² = 0.974
0.00
0.50
1.00
1.50
2.00
2.50
3.00
3.50
4.00
0.00
0.50
1.00
1.50
2.00
2.50
Deviator Stress (σ1-σ3) MPa
Mean Stress (σm = (σ1+2σ3)/3) MPa
6Sinφ/3-Sinφ = 1.5113
φ = 37.13o
Fig. 12 Relation between
Mean stress (rm) v/s
deviator stress (r1-r3) space
for the dmax of 25 mm of
Renuka dam materials
Table 4 /-values of Alluvial and Quarried Rockfill Materials
Rockfill Material from
dmax
(mm)
/-Value
(degree)
Renuka Dam, Himachal
Pradesh (Alluvial)
25
37.13
50
38.37
80
39 76 y = 1.511x
R² = 0.974
0.00
0.50
1.00
1.50
2.00
2.50
3.00
3.50
4.00
0.00
0.50
1.00
1.50
2.00
2.50
Deviator Stress (σ1-σ3) MPa
Mean Stress (σm = (σ1+2σ3)/3) MPa
6Sinφ/3-Sinφ = 1.5113
φ = 37.13o
Fig. 12 Relation between
Mean stress (rm) v/s
deviator stress (r1-r3) space
for the dmax of 25 mm of
Renuka dam materials y = 1.511x
R² = 0.974
0.00
0.50
1.00
1.50
2.00
2.50
3.00
3.50
4.00
0.00
0.50
1.00
1.50
2.00
2.50
Deviator Stress (σ1-σ3) MPa
Mean Stress (σm = (σ1+2σ3)/3) MPa
6Sinφ/3-Sinφ = 1.5113
φ = 37.13o
Fig. 12 Relation between
Mean stress (rm) v/s
deviator stress (r1-r3) space
for the dmax of 25 mm of
Renuka dam materials described in detail in various references (Varadarajan
and Desai 1993; Gupta 2000; Desai 2001; Abbas 2003;
Varadarajan et al. 2003, 2006; Honkanadavar 2010). The procedure is briefly presented herein. 3.1 Material Parameters
Table 4 /-values of Alluvial and Quarried Rockfill Materials
Rockfill Material from
dmax
(mm)
/-Value
(degree)
Renuka Dam, Himachal
Pradesh (Alluvial)
25
37.13
50
38.37
80
39.76
Salma Dam, Afghanistan
(Quarried)
25
43.35
50
42.39
80
40.84 Table 4 /-values of Alluvial and Quarried Rockfill Materials 3 Constitutive Modeling Hierarchical single surface (HISS) model developed by
Desai and co-workers (Desai and Siriwardhane 1980;
Desai and Siriwardhane 1980; Desai et al. 1991) basedon 12 3 Geotech Geol Eng (2014) 32:1001–1015 1008 (a)
(b)
Fig. 9 Stress–Strain-Volume Change Behaviour of 25 mm dmax for Salma Dam Project Material. a Stress–strain behaviour b Volume
change behaviour (a) (b) (b) (a) Fig. 9 Stress–Strain-Volume Change Behaviour of 25 mm dmax for Salma Dam Project Material. a Stress–strain behaviour b Volume
change behaviour lume Change Behaviour of 25 mm dmax for Salma Dam Project Material. a Stress–strain behaviour b Volume (a) (a) (a)
(b)
Fig. 10 Stress–Strain-
Volume Change Behaviour
of 50 mm dmax for Salma
Dam Project Material. a Stress–strain behaviour
b Volume change behaviour (b) (b) (a) in which j is non-associative parameter, a0 is a
(hardening parameter) at the beginning of shear
loading and elasto-plastic theory has been used to characterize the
behavior of rockfill materials. The non-associative d1
model (Desai and Wathugala 1987; Desai 2001; Varad-
arajan et al. 1999, 2003, 2006; Gupta 2000; Abbas 2003;
Honkanadavar 2010; Honkanadavar and Sharma 2013)
gives the plastic potential function as rv ¼ nv
n
ð3Þ ð3Þ where, n is plastic strain trajectory, and Q ¼
J2D
P2
a
aQ
J1
Pa
n
þc J1
Pa
2
"
#
1 bSr
ð
Þm
ð1Þ nv ¼
Z
dep
v
ffiffiffi
3
p
ð4Þ ð4Þ where, where, dev
p is the incremental plastic volumetric strain
and nv is volumetric part of n. aQ ¼ a þ j a0 a
ð
Þ 1 rv
ð
Þ
ð2Þ ð2Þ 123 Geotech Geol Eng (2014) 32:1001–1015 1009 (a)
(b)
Fig. 11 Stress–Strain-Volume Change Behaviour of 80 mm dmax for Salma Dam Project Material. a Stress–strain behaviour b Volume
change behaviour (b) (a) (b) (a) Fig. 11 Stress–Strain-Volume Change Behaviour of 80 mm dmax for Salma Dam Project Material. a Stress–strain behaviour b Volume
change behaviour olume Change Behaviour of 80 mm dmax for Salma Dam Project Material. a Stress–strain behaviour b Volume Fig. 11 Stress–Strain-Volume Change Behaviour of 80 mm dmax for Salma Dam Project Material. a Stress–strain behaviour b Volume
change behaviour described in detail in various references (Varadarajan
and Desai 1993; Gupta 2000; Desai 2001; Abbas 2003;
Varadarajan et al. 2003, 2006; Honkanadavar 2010). The procedure is briefly presented herein. 3.1.1 Elastic Parameters The elastic parameter, modulus of elasticity (initial
modulus) of rockfill material, E is determined from the
observed stress–strain response using the hyperbolic
relationship (Kondner 1963), r1 r3
ð
Þ ¼
e1
a þ be1
ð5Þ 3.1 Material Parameters ð5Þ 3.1 Material Parameters The procedure for the determination of material
parameters required in the HISS model has been where, (r1 - r3) is deviator stress, e1 is axial strain,
a is constant (= inverse of modulus of elasticity, E) 12 3 3 Geotech Geol Eng (2014) 32:1001–1015 1010 Fig. 13 Variation of Angle
of Internal Friction with
Maximum Particle Size
(dmax) Fig. 13 Variation of Angle
of Internal Friction with
Maximum Particle Size
(dmax) and b is constant (= inverse of ultimate strength,
(r1 - r3)ult). Equation (5) can be rewritten as study, the value of m has been taken as -0.5. The
ultimate parameters c and b can be related with angle
of internal friction, / (Desai 2001) as study, the value of m has been taken as -0.5. The
ultimate parameters c and b can be related with angle
of internal friction, / (Desai 2001) as e1
r1 r3
¼ a þ be1
ð6Þ ð6Þ b ¼ 1 p2=m
1 þ p2=m
ð8Þ ð8Þ The values of e1/(r1 - r3) are calculated from the
initial part of the stress–strain curve and are plotted
against e1. The intercept of the best fit line in the
transformed plot is obtained as the value of the
constant a. The reciprocal of the constant a gives the
modulus of elasticity of rockfill material, E. The values of e1/(r1 - r3) are calculated from the
initial part of the stress–strain curve and are plotted
against e1. The intercept of the best fit line in the
transformed plot is obtained as the value of the
constant a. The reciprocal of the constant a gives the
modulus of elasticity of rockfill material, E. 3.1 Material Parameters where, p ¼ tan hC
tan hE
ð9Þ
tan hC ¼
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
c 1 b
ð
Þm
q
C
¼ 2ffiffiffi
3
p
sin uC
3 sin uC
ð10Þ
tan hE ¼
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
c 1 þ b
ð
Þ
p
m
h
i
E¼ 2ffiffiffi
3
p
sin uE
3 þ sin uE
ð11Þ ð9Þ The modulus of elasticity, E is expressed as a
function of the confining pressure (Janbu 1963) as ð10Þ E ¼ kPa
r3
Pa
n0
ð7Þ ð11Þ ð7Þ In the present analysis, triaxial compression tests are
conducted and friction angle in compression (uC) has
been determined for all the dmax of alluvial and
quarried modeled rockfill materials. The friction angle
in extension (uE) is assumed equal to the friction angle
in compression i.e. uC = uE (Gupta 2000; Abbas
2003; Honkanadavar 2010). First, b is determined
from Eq. (8) and then c is computed using Eq. (10) or
(11) for the alluvial and quarried modeled rockfill
materials tested. where, k and n
0 are the modulus number and modulus
exponent of the material respectively, r3 is the
confining pressure and Pa is the atmospheric pressure. To determine the modulus number, k and modulus
exponent, n
0, the plots between, E/Pa and r3/Pa on log
scale are made for all sizes of alluvial and quarried
rockfill materials. The values of k and n
0 are
determined as antilog of intercept on y-axis and slope
of a best fit line respectively. The lateral strain is
determined from the initial part of axial strain v/s
volumetric strain curve and then Poisson’s ratio, m is
determined as the ratio of lateral strain to the axial
strain. 3.1.3 Phase Change Parameter The phase change parameter, n is related to the state of
stress at which the material starts dilating. Therefore,
the point at which dilation starts is corresponding to
dev
p = 0 and therefore, the phase change parameter, n
can be determined as 3.1.2 Ultimate Parameters For most of the geological materials m is found to be
-0.5 (Desai et al. 1986). Therefore, in the present 123 12 3 Geotech Geol Eng (2014) 32:1001–1015 1011 Table 5 Material Parameters for HISS Model
Rockfill Materials
dmax (mm)
Elasticity
Ultimate
Phase Change
Hardening
Non-associative
k
n
0
m
c
b
n
a1
g1
j
Renuka Dam
25
374.36
0.466
0.32
0.063
0.72
3.0
6.5 9 10-6
1.00
0.236
50
385.21
0.469
0.31
0.067
0.72
3.0
6.0x10-6
1.05
0.235
80
410.677
0.4624
0.30
0.072
0.72
3.0
5.5x10-6
1.07
0.226
Salma Dam
25
289.201
0.528
0.31
0.061
0.72
3.0
5.0x10-6
0.93
0.240
50
318.85
0.515
0.3
0.066
0.72
3.0
3.5x10-6
0.97
0.239
80
346.019
0.5082
0.28
0.071
0.72
3.0
2.0x10-6
1.03
0.238
Fig. 14 Observed and Predicted Stress-Strain-Volume Change Behaviour of 25 mm dmax for Renuka Dam Project Material n ¼
2
h
i
h
i
ð12Þ
Taking natural log on both sides of Eq. (13) gives,
Table 5 Material Parameters for HISS Model
Rockfill Materials
dmax (mm)
Elasticity
Ultimate
Phase Change
Hardening
Non-associative
k
n
0
m
c
b
n
a1
g1
j
Renuka Dam
25
374.36
0.466
0.32
0.063
0.72
3.0
6.5 9 10-6
1.00
0.236
50
385.21
0.469
0.31
0.067
0.72
3.0
6.0x10-6
1.05
0.235
80
410.677
0.4624
0.30
0.072
0.72
3.0
5.5x10-6
1.07
0.226
Salma Dam
25
289.201
0.528
0.31
0.061
0.72
3.0
5.0x10-6
0.93
0.240
50
318.85
0.515
0.3
0.066
0.72
3.0
3.5x10-6
0.97
0.239
80
346.019
0.5082
0.28
0.071
0.72
3.0
2.0x10-6
1.03
0.238
Fig. 14 Observed and Predicted Stress-Strain-Volume Change Behaviour of 25 mm dmax for Renuka Dam Project Material Table 5 Material Parameters for HISS Model Fig. 14 Observed and Predicted Stress-Strain-Volume Change Behaviour of 25 mm dmax for Renuka Dam Project Material Taking natural log on both sides of Eq. (13) gives, n ¼
2
1
J2D
J2
1
h
i
h
i
1
FSc
ð12Þ n ¼
2
1
J2D
J2
1
h
i
h
i
1
FSc ð12Þ ln a
ð Þ ¼ ln a1
ð
Þ g1 ln n
ð Þ
ð14Þ ð14Þ A plot a v/s n is drawn on logarithmic scale to get a1
and g1 as antilog of intercept and slope respectively of
the best fit line. The hardening parameters for all the
dmax of alluvial and quarried modeled rockfill mate-
rials were computed. 3.1.2 Ultimate Parameters where, J1 is first invariant of stress tensor, J2D is the
second invariant of deviator stress tensor, Fs is shape
function and c is the ultimate parameter. The point at
which dev
p = 0 is determined and n is calculated using
Eq. (12). An average of all n values for different tests
conducted for a dmax is taken as overall value of n for
that size of rockfill material. Similarly, n value is
calculated for all the dmax of alluvial and quarried
modeled rockfill materials. 3.1.5 Non-associative Parameter The non-associative parameter, j in Eq. (2) is
determined based on the following equation: dep
v
dep
11
¼
3 oQ
oJ1
oQ
or11
ð16Þ 3.1.4 Hardening Parameters ð16Þ In the present study, a is assumed as the function of n
as where, de11
p = axial plastic strain increment; r11 =
axial stress, and dev
p = volumetric plastic strain
increment. The ratio of dev
p/de11
p can be obtained from a ¼ a1
ng
1
ð13Þ a ¼ a1
ng
1 ð13Þ 12 1012 Geotech Geol Eng (2014) 32:1001–1015 Fig. 15 Observed and Predicted Stress-Strain-Volume Change Behaviour of 50 mm dmax for Renuka Dam Project Material Fig. 15 Observed and Predicted Stress-Strain-Volume Change Behaviour of 50 mm dmax for Renuka Dam Project Material Fig. 16 Observed and
Predicted Stress-Strain-
Volume Change Behaviour
of 80 mm dmax for Renuka
Dam Project Material
Fig. 17 Observed and
Predicted Stress-Strain-
Volume Change Behaviour
of 25 mm dmax for Salma
Dam Project Material Fig. 16 Observed and
Predicted Stress-Strain-
Volume Change Behaviour
of 80 mm dmax for Renuka
Dam Project Material Fig. 16 Observed and
Predicted Stress-Strain-
Volume Change Behaviour
of 80 mm dmax for Renuka
Dam Project Material Fig. 16 Observed and
Predicted Stress-Strain-
Volume Change Behaviour
of 80 mm dmax for Renuka
Dam Project Material Fig. 17 Observed and
Predicted Stress-Strain-
Volume Change Behaviour
of 25 mm dmax for Salma
Dam Project Material Fig. 17 Observed and
Predicted Stress-Strain-
Volume Change Behaviour
of 25 mm dmax for Salma
Dam Project Material 12 12 23 Geotech Geol Eng (2014) 32:1001–1015 1013 Fig. 18 Observed and
Predicted Stress-Strain-
Volume Change Behaviour
of 50 mm dmax for Salma
Dam Project Material
Fig. 19 Observed and Predicted Stress-Strain-Volume Change Behaviour of 80 mm dmax for Salma Dam Project Material Fig. 18 Observed and
Predicted Stress-Strain-
Volume Change Behaviour
of 50 mm dmax for Salma
Dam Project Material Fig. 18 Observed and
Predicted Stress-Strain-
Volume Change Behaviour
of 50 mm dmax for Salma
Dam Project Material Fig. 19 Observed and Predicted Stress-Strain-Volume Change Behaviour of 80 mm dmax for Salma Dam Project Material the slope of the observed de11
p v/sdev
presponse by
choosing a point in the ultimate state. The value of
aQ [from Eq. (2)] which is represented on the right-
hand side of Eq. (16) can then be found as the left-hand
side is now known. Using this value along with a and
rv at ultimate condition, the average value of j is
determined. laboratory triaxial shear tests. From the comparison, it
is observed that both results match closely. 3.1.4 Hardening Parameters The
observed and predicted stress–strain–volume change
behaviour for both projects rockfill material is shown
in Figs. 14, 15, 16, 17, 18 and 19. 4 Conclusions Following the above mentioned procedure, material
parameters for both Renuka dam alluvial and Salma
dam quarried rockfill materials have been determined
and are presented in the Table 5. Using the determined
material parameters, stress–strain–volume change
behaviour for all the dmax tested with different r3 is
predicted using HISS model. The predicted behaviour
is compared with the observed behaviour from the Two types of modeled rockfill materials viz. alluvial
from Renuka dam, India and blasted quarried from
Salma dam, Afghanistan were collected and consol-
idated drained triaxial tests were conducted. Stress–
strain–volume change behaviour for all the dmax were
studied. It is observed that the stress–strain behaviour 12 3 Geotech Geol Eng (2014) 32:1001–1015 1014 is non-linear, inelastic and stress level dependent for
all the dmax of both project materials. The deviator
stress and the axial strain at failure increases with
increase in confining pressure for all the tested
materials. It is also observed that the effect of r3 is
same on both types of material. From the volume
change behaviour, it is observed that the volume
decreases during the initial shearing and with further
shearing material experiences dilation effect. This
dilation effect reduces with increase in r3 and dmax for
both projects material. The shear strength parameter,
angle of internal friction (/) increases with increase in
dmax for alluvial rockfill material and reverse trend is
observed for blasted quarried rockfill material. Desai CS, Somasundaram S, Frantziskonis G (1986) A hierar-
chical approach for constitutive modelling of geologic
materials. Int
J
Numer
Anal
Methods
Geomech
10:225–257 Desai CS, Sharma KG, Wathugala GW, Rigby DB (1991)
Implementation of hierarchical single surface d0 and d1,
models in finite element procedure. Int J Numer Anal
Methods Geomech 15:649–680 Desai CS, Samtani NC, Vulliet L (1995a) Constitutive modeling
and analysis of creep slopes. Int J Rock Mech Min Sci
32(8):403A–404A Desai CS, Samtani NC, Vulliet L (1995b) Constitutive modeling
and analysis of creep slopes. J Geotech Eng, ASCE
121:43–56 Gupta AK (2000) Constitutive Modeling of Rockfill Material,
Ph.D. Thesis, I.I.T. Delhi Honkanadavar NP (2010), Testing and Modeling the Behaviour
of Modeled and Prototype Rockfill Materials, Ph.D. Thesis,
I.I.T.Delhi Rockfill materials have been characterised by using
heirarchical single surface (HISS) model based on
elasto-plasticity. Stress–strain–volume change behav-
iour has ben predicted for all the dmax of both alluvial
and quarried rockfill materials. The predicted and
observed (laboratory test results) stress–strain–vol-
ume change results were compared. 4 Conclusions From the com-
parison, it is observed that both results match closely. Hence, it is suggested that the HISS model can be used
successfully to characterise both alluvial and blasted
quarried rockfill materials. Honkanadavar NP, Sharma KG (2011), Prediction of shear
strength parameter for prototype quarried rockfill materials
using index properties, Indian Geotechnical Conference,
IGC-2011, Kochi Honkanadavar NP, Sharma KG (2012a),Testing and modeling
the behaviour of alluvial rockfill material. Indian Geotech
Conf, IGC-2012, Vol-II, pp 131–134 Honkanadavar NP, Sharma KG (2013)’’Testing and modeling
the behaviour of riverbed and quarried rockfill materials. Accepted for publication in International Journal of Geo-
mechanics, ASCE Honkanadavar NP, Gupta SL, Ratnam M (2012) Effect of par-
ticle size and confining pressure on shear strength param-
eter of rockfill materials. Int J Adv Civil Eng Archit
I(I):49–63 Acknowledgments
Authors would like to thank the staff of
rockfill division, CSMRS for their help during the testing. Thanks to the project authorities of Renuka dam and Salma dam
for providing the modeled rockfill materials for carrying out this
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English
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Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan
|
ZooKeys
| 2,012
|
cc-by
| 7,374
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Revision
ZooKeys 241: 1–19 (2012)
doi: 10.3897/zookeys.241.3175
www.zookeys.org Revision
ZooKeys 241: 1–19 (2012)
doi: 10.3897/zookeys.241.3175
www.zookeys.org chneria (Bryozoa, Ch
Research article Revision of the genus Buchneria
(Bryozoa, Cheilostomata) from Japan Masato Hirose1 1 National Museum of Nature and Science Tokyo, 4-1-1, Amakubo, Tsukuba, Ibaraki 305-0005, Japan 1 National Museum of Nature and Science Tokyo, 4-1-1, Amakubo, Tsukuba, Ibaraki 305-0005, Japan Corresponding author: Masato Hirose (mhirose64@gmail.com) Corresponding author: Masato Hirose (mhirose64@gmail.com) Academic editor: L. van Ofwegen | Received 2 April 2012 | Accepted 29 October 2012 | Published 12 November 2012
Citation: Hirose M (2012) Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan. ZooKeys 241: 1–19. doi: 10.3897/zookeys.241.3175 Abstract Buchneria dofleini (Buchner, 1924), type species of Buchneria Harmer, 1957, was first described from
material collected in 1904–1905 from Sagami Bay, Japan, but the type specimens had not been reex-
amined since the original description. In this study, I examined specimens of Buchneria from historical
collections and material recently collected near Akkeshi, Hokkaido, Japan. Three Buchneria species were
detected, two from Sagami Bay that Ortmann (1890) had placed in Escharoides, and one from Akkeshi
that Androsova (1958) had described as Porella variabilis. I concluded that Buchneria dofleini is a junior
synonym of Escharoides teres Ortmann, 1890; selected a lectotype for E. teres among Ortmann’s syntypes;
and established the new combination Buchneria teres (Ortmann, 1890), which becomes the type species of
Buchneria. I also established the new combination Buchneria rhomboidalis (Ortmann, 1890) and selected
a lectotype among Ortmann’s syntypes. Porella variabilis is transferred to Buchneria establishing the new
combination Buchneria variabilis (Androsova, 1958). Here the three new combinations are redescribed
and a key to the Japanese Buchneria species is provided. Finally, I transferred Buchneria to Bryocryptellidae
on the basis of ovicell and orifice morphology. Therefore, Buchneria now includes a total of three species;
B. sinuata Harmer, 1957, a species from Indonesia that has hitherto been placed in this genus, is almost
certainly not congeneric with other Buchneria. As far as is now known, Buchneria is endemic to northern
Japan and the northern Sea of Japan. y
Buchneria dofleini, Buchneria teres, Buchneria rhomboidalis, Buchneria variabilis, new combination, syno-
nymy, distribution, Sagami Bay, Akkeshi Copyright Masato Hirose. This is an open access article distributed under the terms of the Creative Commons Attribution License 3.0 (CC-BY),
which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. Introduction Harmer (1957) introduced the cheilostome bryozoan genus Buchneria for species with
erect colonies, and chose the deep sea species Palmicellaria dofleini as type, which was
described by Buchner (1924) from Sagami Bay, Japan. According to Harmer’s de-
scription, zooids in species of Buchneria have the proximal margin of the orifice with
a broad sinus or nearly straight, with a small suboral avicularium at the edge of the
peristome, and have only a few pores in the frontal shield. These characters, however,
also match Escharoides teres and Escharoides rhomboidalis, both described by Ortmann
(1890) from Sagami Bay, although Ortmann’s (1890) limited descriptions and simpli-
fied illustrations are inadequate for taxonomic assessment.h i
The status of Buchneria has not been evaluated subsequent to Harmer (1957). In
this study, I reexamined type specimens established by Buchner (1924) and Ortmann
(1890) for species of Buchneria and morphologically similar genera. I examined rel-
evant material collected in Japan over the past approximately 130 years, as well as
material obtained through my own collecting efforts. I review, describe, and illustrate
the known species of Buchneria. Material examined I examined specimens from Sagami Bay and surrounding areas collected by Ludwig
Döderlein (1880–1881), Franz Doflein and Karl Haberer (1904–1905), Emperor
Showa (1918–1971), and most recently by the National Museum of Nature and Sci-
ence Tokyo (2001–2005); see National Museum of Nature and Science (2007), Hirose
(2010), and Spencer Jones et al. (2011) for historical overviews. This material is housed
in Musée Zoologique Strasbourg (MZS), Zoologische Staatssammlung München
(ZSM), Senckenberg Forschungsinstitut und Naturmuseum in Frankfurt, Germany
(SMF; material on loan there from ZSM), and the National Museum of Nature and
Science Tokyo (NMST), now located in Tsukuba (see Supplementary Table 1).h The author collected additional specimens from Sagami Bay by dredge from RV
Tansei-maru (Japan Agency for Marine-Earth Science and Technology, JAMSTEC)
and research boat Rinkai-maru (Misaki Marine Biological Station, The University of
Tokyo) in November 2007 and February 2012, and outside Akkeshi Bay, Hokkaido,
in July 2010 and 2011, by dredge from research boat Misago-maru (Akkeshi Marine
Station, Hokkaido University) (Fig. 1). Keywordsl Buchneria dofleini, Buchneria teres, Buchneria rhomboidalis, Buchneria variabilis, new combination, syno-
nymy, distribution, Sagami Bay, Akkeshi Copyright Masato Hirose. This is an open access article distributed under the terms of the Creative Commons Attribution License 3.0 (CC-BY),
which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited. 2 Masato Hirose / ZooKeys 241: 1–19 (2012) 2 Masato Hirose / ZooKeys 241: 1–19 (2012) 4 Masato Hirose / ZooKeys 241: 1–19 (2012) measurements were n = 4–82, generally from more than one colony. Abbreviations
used for measurements are as follows; ZL, zooid length; ZW, zooid width; OrL, orifice
length; OrW, orifice width; AvL, suboral avicularium length; AvW, suboral avicu-
larium width; OvL, ovicell length; OvW, ovicell width. Genus Buchneria Harmer, 1957
http://species-id.net/wiki/Buchneria Genus Buchneria Harmer, 1957
http://species-id.net/wiki/Buchneria Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). Taxonomy Order Cheilostomata Busk, 1852
Suborder Neocheilostomina d’Hondt, 1985
Infraorder Ascophorina Levinsen, 1909
Superfamily Lepralielloidea Vigneaux, 1949
Family Bryocryptellidae Vigneaux, 1949 Preparation and observation of specimens Specimens were observed by light microscope and scanning electron microscope
(SEM). For SEM observation, part of each specimen was removed, soaked in a sodium Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan 3 Figure 1. Map showing the areas in Japan where species of Buchneria were collected. Figure 1. Map showing the areas in Japan where species of Buchneria were collected. hypochlorite solution to remove the soft tissue, rinsed in water, air dried, and mounted
with double-sided adhesive tape or silver paste on an aluminum SEM stub. At Hok-
kaido University, mounted specimens were coated with Au in a Hitachi E-1030 sput-
ter-coater and observed with a Hitachi S-3000N SEM at 15 kV accelerating voltage. At the SMF, specimens were coated with Pt-Pd and observed with a CamScan SEM. At ZSM, specimens were coated with Au in a POLARON SEM Coating System and
observed with a LEO 1430VP SEM at 15 kV accelerating voltage. Fragments removed
from specimens in the various collections, prepared and examined by SEM, and sub-
sequently deposited in NMST are indicated in the text by the designation ‘NSMT Te’
(see Supplementary Table 1). Measurements were taken from SEM images with ImageJ 1.37v software (Image
Processing and Analysis in Java, Wayne Rasband, National Institutes of Health, USA;
http://rsb.info.nih.gov/ij/). Measurements in the text are presented in millimeters, as
ranges followed in parentheses by the mean and standard deviation. Sample sizes for Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). Diagnosis. Colony erect, rigid, dichotomously or irregularly branching: branches
cylindrical, flattened, or plate-like, fan shaped. Zooidal frontal shield uniformly tessel-
lated, with a few areolar pores near margin or offset centrally in secondarily calcified
wall. Orifice deeply immersed, without teeth on distal periphery, without lyrula or
condyles, slightly concave or straight proximally; oral spines absent. Secondary orifice
at colony surface cormidial, formed by contributions of secondary calcification from
distal and lateral zooids. Suboral avicularium lies at proximal margin of secondary ori-
fice, directed proximally or laterally, sometimes enlarged and occupying about half of
frontal shield; small, conical tooth associated with avicularium projecting into second-
ary orifice (Fig. 2). Mandible of the suboral avicularium semicircular or spatulate, but
never acute. Vicarious and other frontal avicularia absent. Ovicell globose, acleithral,
and is produced by the distal zooid (Fig. 3). Both the endooecium and ectooecium are
calcified. Endooecium is completely calcified, whereas ectooecium is not completely
covering the endooecium (Fig. 3A, B). Immediately after formation, the ectooecium
is then partially covered by the secondary calcification that is coming from the distal
and neighbour zooids (Fig. 3B). Finally, the secondary calcification covers most of the
ectooecium in the old parts of the colony, but a small area of proximal margin remains
uncovered (Fig. 3C). Small basal pore chambers present. Remarks. Harmer (1957) defined Buchneria as follows: colony erect, not jointed;
large spatulate avicularia present; zooids with a “sinuate” or nearly straight proximal
margin of the orifice (the term ‘sinuate’ appears to be misapplied to the evenly con-
cave proximal margin in Buchneria sinuata; perhaps Harmer intended the meaning as
‘having a sinus’); small, acute suboral or lateral avicularia on the edge of the secondary
orifice; few frontal pores; and a hyperstomial ovicell with an imperforate central tabula. Remarks. Harmer (1957) defined Buchneria as follows: colony erect, not jointed;
large spatulate avicularia present; zooids with a “sinuate” or nearly straight proximal
margin of the orifice (the term ‘sinuate’ appears to be misapplied to the evenly con-
cave proximal margin in Buchneria sinuata; perhaps Harmer intended the meaning as
‘having a sinus’); small, acute suboral or lateral avicularia on the edge of the secondary
orifice; few frontal pores; and a hyperstomial ovicell with an imperforate central tabula. Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan 5 5 Figure 2. Orifices of three Buchneria species showing the small tooth distal to the suboral avicularium. Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). A Buchneria teres B Buchneria rhomboidalis C Buchneria variabilis. Figure 2. Orifices of three Buchneria species showing the small tooth distal to the suboral avicularium. A Buchneria teres B Buchneria rhomboidalis C Buchneria variabilis. Figure 3. Ovicells of Buchneria teres showing various stages of development. A Younger stage ooecium
showing smooth surface of endooecium and ectooecium with less secondary calcification B Ooecium
started covered by tessellated secondary calcification from neighboring zooids C Ooecium almost cov-
ered by the secondary calcification with showing endooecium through the small proximal membranous
window at ectooecium. Ec, ectooecium; En, endooecium; Sc, secondary calcification. Arrows indicate the
proximal membranous window. Figure 3. Ovicells of Buchneria teres showing various stages of development. A Younger stage ooecium
showing smooth surface of endooecium and ectooecium with less secondary calcification B Ooecium
started covered by tessellated secondary calcification from neighboring zooids C Ooecium almost cov-
ered by the secondary calcification with showing endooecium through the small proximal membranous
window at ectooecium. Ec, ectooecium; En, endooecium; Sc, secondary calcification. Arrows indicate the
proximal membranous window. His generic diagnosis, however, largely derives from Buchneria sinuata Harmer, 1957
from Indonesia. This species is similar to the three Buchneria species treated herein in
having erect colony form, few frontal or marginal pores, and a deeply immersed prima-
ry orifice. However, it differs substantially from them in having large, spatulate frontal
avicularia; hyperstomial ovicells with an imperforate central tabula lacking secondary
calcification; and a laterally placed, acute oral avicularium (Harmer, 1957: plate LIV,
fig. 19). Buchneria sinuata, therefore, has currently been thougth to belong in another
genus, perhaps Osthimosia Jullien, 1888 (Gordon, 1984). Gordon (1984) noted sev-
eral similarities between Osthimosia virgula and nominal B. sinuata (e.g., broad orificial
sinus, a lateral-oral avicularium on peristome, and spatulate frontal avicularia), and His generic diagnosis, however, largely derives from Buchneria sinuata Harmer, 1957
from Indonesia. This species is similar to the three Buchneria species treated herein in
having erect colony form, few frontal or marginal pores, and a deeply immersed prima-
ry orifice. However, it differs substantially from them in having large, spatulate frontal
avicularia; hyperstomial ovicells with an imperforate central tabula lacking secondary
calcification; and a laterally placed, acute oral avicularium (Harmer, 1957: plate LIV,
fig. 19). Buchneria sinuata, therefore, has currently been thougth to belong in another
genus, perhaps Osthimosia Jullien, 1888 (Gordon, 1984). Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). Gordon (1984) noted sev-
eral similarities between Osthimosia virgula and nominal B. sinuata (e.g., broad orificial
sinus, a lateral-oral avicularium on peristome, and spatulate frontal avicularia), and 6 Masato Hirose / ZooKeys 241: 1–19 (2012) 6 suggested the two species may be congeneric. Subsequently, Gordon (1989) observed
and illustrated Japanese material of Buchneria present in the Natural History Museum
London (NHMUK), and elucidated the umbonuloid frontal shield; he concluded Bu-
chneria cannot be grouped together with Osthimosia and other lepraliomorphs. Unfor-
tunately, I have never had a chance to check the type material of Harmer’s B. sinuata,
which is not in NHMUK (Mary Spencer Jones, pers. comm. 11 May 2012) and both
institutes Zoological Museum Amsterdam (ZMA) and Naturalis Biodiversity Center
in Leiden (Elly Beglinger, pers. comm. 19 September 2012). Although I have not
checked the type material, I exclude Harmer’s B. sinuata from the description of the
genus in this paper based on the significant differences with the type species of the
genus; B. sinuata is also different from other Buchneria species in mainly imperforate
frontal shield, small colony size, and preference of unstable substrate which is unusual
for Buchneria species. The status of B. sinuata is still unclear and should be clarified in
future work. With the removal of nominal B. sinuata from Buchneria, the cormidial
orifice and the rounded mandible of suboral avicularia may be considered diagnostic
characters for Buchneria. Buchner (1924) described large frontal avicularia, but these
are enlarged suboral avicularia; therefore, absence of a large frontal avicularium may
also be considered diagnostic for Buchneria. g
Gordon (1989) regarded Buchneria close to Celleporaria in Lepraliellidae, based on
the similarities between the type species of both genera in the umbonuloid and imper-
forate frontal shield with marginal areolar pores, broad orifice, and suboral aviculari-
um. However, the ovicell of Buchneria is different from that of Lepraliellidae in having
broader proximal window and deeper ooecium, and is more similar to that of Palmiske-
nea Bishop & Hayward, 1989 in Bryocryptellidae with a few small foramina close to
the proximal margin. Buchneria also resembles Palmiskenea in the frontal shield having
only marginal areolar pores, but differs from the latter in the orifice without condyles
and in polymorphic avicularia. Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). Buchneria resembles Marguetta Jullien, 1903 in hav-
ing only marginal pores, an ovicell with a few small pores, and oval suboral avicularia,
but differs from the latter in lacking frontal avicularia on margin of the frontal shield. Buchneria also resembles Porella Gray, 1848 and Porelloides Hayward, 1979 in having
only marginal pores, an ovicell without or with a few small pores, and suboral avicularia,
but differs from the latter two genera in lacking lyrula and condyles. Although some
species of Porella also lack a lyrula, and species of Porelloides normally lack condyles, a
small tooth on the distal margin of the suboral avicularium is characteristic of Buchne-
ria. Considering the similarities of ovicell and orifice morphology between Buchneria
and the four bryocryptellid genera, Porella, Palmiskenea, Marguetta and Porelloides, I
conclude Buchneria is much better placed in Bryocryptellidae rather than Lepraliellidae. Harmer (1957) suggested that Haswellia auriculata Busk, 1884 be placed in Bu-
chneria, on the basis of orifice morphology and the small lateral avicularia on the edge
of the peristome. He also suggested that the species H. auriculata and Myriozoum
marionense Busk, 1884 as described by Calvet (in Jullien and Calvet 1903) represent
a single species referable to Buchneria, on the basis of very few frontal pores; a large,
spatulate frontal avicularium; the form of the peristome with small avicularia; and im- Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan 7 mersed ovicells (Harmer, 1957). However, H. auriculata is currently regarded as a jun-
ior synonym of Galeopsis pentagonus (d’Orbigny, 1842), and the specimen described as
M. marionense in Jullien and Calvet (1903) is also considered as a species of Galeopsis. Excluding nominal B. sinuata, Buchneria presently contains three species, which I
redescribe here. Buchneria teres (Ortmann, 1890), comb. n. http://species-id.net/wiki/Buchneria_teres
Figures 4, 5, 6 Escharoides teres Ortmann, 1890, 43, pl. 3, fig. 21; type locality, Sagami Bay. Palmicellaria ortmanni Buchner, 1924, 210, fig. V; mentioned only in a caption to a
text figure and presumably a nomen nudum; see Harmer (1957: 876). Palmicellaria dofleini Buchner, 1924, 210, figs. F, V, pl. 17, figs. 9−12. Buchneria dofleini: Harmer 1957, 876, pl. 17, figs. 9−12; Gordon 1989, 258, figs. 17−20. Material examined. Lectotype. Branched colony (MZS 36-2), collected by L. Döder-
lein, 1882, Sagami Bay. Paralectotype. Branched colony (MZS 36-1, 36-3; NSMT Te-
738), collected by L. Döderlein, 1882, Sagami Bay. Other material examined. Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). Fragment
of colony ZSM 20043001, collected by F. Doflein, 17 October 1904, entrance of
Tokyo Bay, 600 m depth; fragment of colony ZSM 20100261 collected by F. Doflein,
1904−1905, Sagami Bay; single small living colony on pebble and several fragments
of living colonies (NSMT TeS-3, TeS-2), collected by NSMT from RV Shinyo-maru,
24 October 2003, Okinose, Sagami Bay (34°58.80'N, 139°31.50'E to 34°59.20'N,
139°31.20'E), 900−950 m depth, by dredge; fragments of colonies (NSMT TeS-4),
collected by NSMT from research boat Rinkai-maru, 16 March 2001, SW of Hay-
ama, Sagami Bay (35°11.46'N, 139°28.71'E to 35°11.64'N, 139°28.14'E), 432−580
m depth, by dredge; several living and dead colonies (NSMT TeS-5 to TeS-12) on dead
Conchocele bisecta (Conrad, 1849) shells, collected by NSMT from RV Tansei-maru,
24 November 2007, ENE of Hatsushima, Sagami Bay (35°03.41'N, 139°12.55'E to
35°02.73'N, 139°13.73'E), 563−756 m depth, by beam trawl; single small dead colo-
ny on pebble (NSMT Te-876), collected by Nagai, 24 April 1997, SW of Shionomi-
saki, Wakayama Prefecture (33°24.91'N, 135°38.69'E to 33°24.95'N, 135°38.12'E),
500 m depth, by dredge. Measurements. ZL, 0.595−1.334 (0.978±0.160); ZW, 0.214−0.840 (0.450±0.133);
n=65. OrL, 0.131−0.208 (0.171±0.021); OrW, 0.123−0.219 (0.187±0.018); n=32. AvL, 0.078−0.198 (0.110±0.017); AvW, 0.055−0.148 (0.086±0.016); n=82. OvL,
0.205−0.391 (0.311±0.049); OvW, 0.286−0.439 (0.365±0.043); n=29. Additional
measurements: large suboral avicularium (LAv) length, 0.619−0.766 (0.682±0.076);
LAv width, 0.398−0.453 (0.426±0.027), n=3. Description. Colony erect, rigid, dichotomously branching, widely spreading,
antler-like, terminal branches slender. Basal part of colony composed of both autozoo- Description. Colony erect, rigid, dichotomously branching, widely spreading,
antler-like, terminal branches slender. Basal part of colony composed of both autozoo- Masato Hirose / ZooKeys 241: 1–19 (2012) 8 y
ids and kenozooids. Branches cylindrical, 1.39–4.76 mm wide (2.77±0.85 mm; n=25),
with zooids opening all around, four or five zooids across in half-view (Fig. 4A, B). A
id
b
l
l
i
i
ll
li d i
l i
d
Figure 4. Buchneria teres comb. n. A Lectotype (MZS 36-2) and paralectotype (MZS 36-1) B Colonies
on dead shells of Conchocele bisecta, NSMT TeS-8 and 10 C Large suboral avicularium with a semicircular
mandible, NSMT TeS-2 D Kenozooidal base of the colony, NSMT TeS-8. Figure 4. Buchneria teres comb. n. A Lectotype (MZS 36-2) and paralectotype (MZS 36-1) B Colonies
on dead shells of Conchocele bisecta, NSMT TeS-8 and 10 C Large suboral avicularium with a semicircular Figure 4. Buchneria teres comb. n. Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). A Lectotype (MZS 36-2) and paralectotype (MZS 36-1) B Colonies
on dead shells of Conchocele bisecta, NSMT TeS-8 and 10 C Large suboral avicularium with a semicircular
mandible, NSMT TeS-2 D Kenozooidal base of the colony, NSMT TeS-8. ids and kenozooids. Branches cylindrical, 1.39–4.76 mm wide (2.77±0.85 mm; n=25),
with zooids opening all around, four or five zooids across in half-view (Fig. 4A, B). Autozooids subrectangular to oval, tapering proximally, cylindrical in younger ends
of branches, arranged in quincunx; zooidal borders indistinct. Frontal shield convex,
entirely tessellated with minute depressions, with two to six areolar pores offset from
margin (Fig. 5A, B). Orifice (Fig. 5C) deeply immersed, elongated semicircular, about
as wide as long, slightly concave proximally; lyrula and condyles absent. Oral spines 9 Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan 9 ure 5. Buchneria teres comb. n., scanning electron micrographs. A Part of a branch showing
ds with few frontal pores, NSMT TeS-2 B Younger part of a paralectotype branch showing r
r zooids and semicircular ovicells, NSMT Te-738 (original MZS 36-3) C Orifice without lyr
dyles, NSMT TeS-6 D Autozooid (right) with a developing peristomial labium of an intramura
MT TeS-3 E Ovicellate zooids with well-developed peristomial labia, ZSM 20100261 F Large
m at a branch bifurcation, NSMT TeS-2 G Zooids with young ovicells, NSMT TeS-6 H Oo
y covered by secondary calcification from surrounding zooids, ZSM 20100261. Figure 5. Buchneria teres comb. n., scanning electron micrographs. A Part of a branch showing auto-
zooids with few frontal pores, NSMT TeS-2 B Younger part of a paralectotype branch showing rectan-
gular zooids and semicircular ovicells, NSMT Te-738 (original MZS 36-3) C Orifice without lyrula or
condyles, NSMT TeS-6 D Autozooid (right) with a developing peristomial labium of an intramural bud,
NSMT TeS-3 E Ovicellate zooids with well-developed peristomial labia, ZSM 20100261 F Large avicu-
larium at a branch bifurcation, NSMT TeS-2 G Zooids with young ovicells, NSMT TeS-6 H Ooecium
partly covered by secondary calcification from surrounding zooids, ZSM 20100261. Masato Hirose / ZooKeys 241: 1–19 (2012) 10 Figure 6. Buchneria teres comb. n., suboral avicularia. A Two different sizes of suboral avicularia in adja-
cent zooids, ZSM 20043001 B A large, projecting suboral avicularium, NSMT TeS-2 C A large suboral
avicularium appearing offset to the center of the frontal shield, NSMT TeS-2. Figure 6. Buchneria teres comb. n., suboral avicularia. Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). A Two different sizes of suboral avicularia in adja-
cent zooids, ZSM 20043001 B A large, projecting suboral avicularium, NSMT TeS-2 C A large suboral
avicularium appearing offset to the center of the frontal shield, NSMT TeS-2. lacking. Secondary orifice cormidial, bounded by contributions of secondary calcifica-
tion from distal and lateral zooids, with suture lines often evident between the sectors;
secondary orifice roughly oval in young zooids, complex in mature zooids, with subo-
ral avicularium offset to one side and a sharp, raised flattened peristomial flange on
the other, often with a sinus between the two (Fig. 5D, E). Suboral avicularium lies
on peristome periphery; small, circular, with complete pivot; semicircular mandible
directed proximolaterally (Fig. 5D, H); orificial side of rostrum with a rounded-trian-
gular tooth or flange (Fig. 5E). Zooids commonly have the small suboral avicularium
replaced by a larger (Fig. 6A) or much larger, hypertrophied oval (Fig. 6B) avicularium
(Fig. 6A, B), with the latter type sometimes displaced proximally toward the center
of the frontal shield (Fig. 4C, 6C). Another type of large avicularium occurs rarely at
branch bifurcations (Fig. 5F), appearing almost as a crack in the bifurcation; twice as
wide as long, 0.181 mm long by 0.373 mm wide (n=1). Interzooidal kenozooids lack-
ing orifice are interspersed with autozooids on branches (Fig. 5A), but are often much
more numerous on side of branch facing inward toward the colony axis than on outer
side; kenozooids encircle the base of colony (Fig. 4D). Ovicell (Fig. 5B, G, H) glo-
bose, recumbent on distal zooid, roughly as wide as long when fully formed; ooecium
smooth, proximal margin slightly curved, ectooecium is not completely covering the
endooecium, leaving a large central membranous foramina and small proximal mem-
branous window (Fig. 3A, B). Ectooecium is partially covered by tessellated secondary
calcification from neighboring zooids with age (Fig. 5H). The proximal margin with
the central pseudopore remains uncovered in the old parts of the colony (Fig. 3C).f Distribution. Sagami Bay, Sagami Sea, Tokyo Bay, and off Kii Peninsula, at depths
of 432–950 m. The collecting depth of the specimen (1921.11.7.9.) in NHMUK is
250–330 fathoms, which means 457–603 m; therefore, the depth given in Harmer
(1957) is wrong and should be in feet.i Remarks. Ortmann (1890) first described Buchneria teres (as Escharoides teres)
based on Döderlein’s specimens from eastern Sagami Bay; these specimens had not
been reexamined until this study. Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). Buchner (1924) subsequently described B. dofleini Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan 11 (as Palmicellaria dofleini) from Doflein’s Sagami Bay specimens. Although Buchner’s
type specimen of B. dofleini was lost during WWII, I found other specimens he identi-
fied as this species in the Doflein collection at ZSM. In comparing these specimens
with Ortmann’s syntypes of E. teres, I found no diagnostic differences between the
two; Buchner’s specimens are simply the distal younger part of branches of E. teres. I
thus consider Buchneria dofleini as a junior synonym of E. teres, which accordingly be-
comes the type species of Buchneria. Buchner (1924) reported large frontal avicularia
in his species, but these are enlarged suboral avicularia. Although syntypes of B. teres in
the Döderlein collection lack the colony base, I found an entirely kenozooidal colony
base in complete colonies recently collected from Sagami Bay (Fig. 4D). Buchneria rhomboidalis (Ortmann, 1890), comb. n. http://species-id.net/wiki/Buchneria_rhomboidalis
Figures 7, 8 Escharoides rhomboidalis Ortmann, 1890, 44, pl. 3, fig. 22; type locality, eastern
Sagami Bay. Material examined. Lectotype. MZS 37-2 (NSMT Te-737), branched colony, col-
lected by L. Döderlein, 1882, Sagami Bay. Paralectotype. MZS 37-1, branched colony,
collected by L. Döderlein, 1882, Sagami Bay, 370 m depth. Other material examined. NSMT-Bry R256, Emperor Showa Collection, collected 8 February 1967, 5 km SW
of Jogashima, Sagami Bay, 250–400 m depth; NSMT-Bry R267, Emperor Showa Col-
lection, collected 18 March 1968, 4 km WSW of Jogashima, Sagami Bay, 200−220 m
depth; NSMT TeS-1, coll. 14 May 2004, west of Ōshima, Sagami Sea (34°40.95'N,
139°17.92'E to 34°40.68'N, 139°18.22'E), 220−277 m depth, beam trawl, RV Tansei-
maru; colony (NSMT Te-799), collected by H. Kohtsuka from research boat Rinkai-
maru, 10 January 2012, SW of Jogashima, Sagami Bay (35°06.101'N, 139°34.284'E
to 35°05.684'N, 139°34.061'E), 218–318 m depth; fragments of colonies (NSMT Te-
796, Te-797), collected by M. Hirose from research boat Rinkai-maru, 24 February
2012, WSW of Jogashima, Sagami Bay (35°07.301'N, 139°33.365'E to 35°07.327'N,
139°32.978'E), 300–493 m depth. Material examined. Lectotype. MZS 37-2 (NSMT Te-737), branched colony, col-
lected by L. Döderlein, 1882, Sagami Bay. Paralectotype. MZS 37-1, branched colony,
collected by L. Döderlein, 1882, Sagami Bay, 370 m depth. Other material examined. Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). NSMT-Bry R256, Emperor Showa Collection, collected 8 February 1967, 5 km SW
of Jogashima, Sagami Bay, 250–400 m depth; NSMT-Bry R267, Emperor Showa Col-
lection, collected 18 March 1968, 4 km WSW of Jogashima, Sagami Bay, 200−220 m
depth; NSMT TeS-1, coll. 14 May 2004, west of Ōshima, Sagami Sea (34°40.95'N,
139°17.92'E to 34°40.68'N, 139°18.22'E), 220−277 m depth, beam trawl, RV Tansei-
maru; colony (NSMT Te-799), collected by H. Kohtsuka from research boat Rinkai-
maru, 10 January 2012, SW of Jogashima, Sagami Bay (35°06.101'N, 139°34.284'E
to 35°05.684'N, 139°34.061'E), 218–318 m depth; fragments of colonies (NSMT Te-
796, Te-797), collected by M. Hirose from research boat Rinkai-maru, 24 February
2012, WSW of Jogashima, Sagami Bay (35°07.301'N, 139°33.365'E to 35°07.327'N,
139°32.978'E), 300–493 m depth. p
Measurements. ZL, 0.767−1.150 (0.948±0.100); ZW, 0.468−1.050 (0.735±0.116);
n=32. OrL, 0.152−0.211 (0.177±0.019); OrW, 0.189−0.245 (0.222±0.023); n=14. AvL, 0.106−0.271 (0.171±0.034); AvW, 0.096−0.193 (0.144±0.024); n=28. p
Measurements. ZL, 0.767−1.150 (0.948±0.100); ZW, 0.468−1.050 (0.735±0.116);
n=32. OrL, 0.152−0.211 (0.177±0.019); OrW, 0.189−0.245 (0.222±0.023); n=14. AvL, 0.106−0.271 (0.171±0.034); AvW, 0.096−0.193 (0.144±0.024); n=28. Description. Colony erect, rigid, dichotomously branching, widely spreading (Fig. 7A). Branches flattened, multiserial, with zooids opening all around; 2.33−6.34 mm
wide (3.34±0.88 mm, n=25), five to nine zooids across (Fig. 7B). Autozooids rhomboi-
dal, arranged in quincunx (Fig. 7B), zooidal borders indistinct. Frontal shield convex,
entirely tessellated with minute depressions, with two to four small areolar pores (Fig. 8A, B) offset from margin. Orifice subcircular, about as wide as long, smooth distally,
proximal margin without sinus; lyrula and condyles absent (Fig. 8C). No oral spines. Description. Colony erect, rigid, dichotomously branching, widely spreading (Fig. 7A). Branches flattened, multiserial, with zooids opening all around; 2.33−6.34 mm
wide (3.34±0.88 mm, n=25), five to nine zooids across (Fig. 7B). Autozooids rhomboi-
dal, arranged in quincunx (Fig. 7B), zooidal borders indistinct. Frontal shield convex,
entirely tessellated with minute depressions, with two to four small areolar pores (Fig. 8A, B) offset from margin. Orifice subcircular, about as wide as long, smooth distally,
proximal margin without sinus; lyrula and condyles absent (Fig. 8C). No oral spines. Masato Hirose / ZooKeys 241: 1–19 (2012) 12 Figure 7. Buchneria rhomboidalis comb. n. A Lectotype in the Döderlein collection, MZS 37-2 B En-
largement of a branch of the lectotype C Enlargement of an orifice showing the proximal margin of the
ooecium, NSMT Te-796. Figure 7. Buchneria rhomboidalis comb. n. Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). A Lectotype in the Döderlein collection, MZS 37-2 B En-
largement of a branch of the lectotype C Enlargement of an orifice showing the proximal margin of the
ooecium, NSMT Te-796. Figure 8. Buchneria rhomboidalis comb. n., scanning electron micrographs. A Part of the lectotyp
NSMT Te-737 (original MZS 37-2) B Specimen NSMT-Bry R256, showing rhomboidal autozooi
with few frontal pores C Orifice with a round suboral avicularium, NSMT-Bry R267 D Suboral avic
aria, each with a small, conical distal tooth, NSMT-Bry R267 E Autozooids, showing the slightly projec
ng rostrum of the suboral avicularia, NSMT-Bry R267 F Kenozooids interspersed with autozooids at t
base of the colony, NSMT TeS-1. Figure 8. Buchneria rhomboidalis comb. n., scanning electron micrographs. A Part of the lectotype,
NSMT Te-737 (original MZS 37-2) B Specimen NSMT-Bry R256, showing rhomboidal autozooids
with few frontal pores C Orifice with a round suboral avicularium, NSMT-Bry R267 D Suboral avicu-
laria, each with a small, conical distal tooth, NSMT-Bry R267 E Autozooids, showing the slightly project-
ing rostrum of the suboral avicularia, NSMT-Bry R267 F Kenozooids interspersed with autozooids at the
base of the colony, NSMT TeS-1. Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan 13 Orifice deeply immersed; aperture at colony surface roughly semicircular in outline,
without sinus proximally; cormidial, bounded by contributions of frontal calcification
from distal and one or two lateral zooids, with suture lines sometimes evident between
the sectors (Fig. 8C, D). Suboral avicularium small, proximal to orifice on the peristome
periphery; circular, with complete pivot, rostrum slightly elevated, slightly denticulate,
semicircular mandible directed proximolaterally (Fig. 8C, D, E); distal tooth of suboral
avicularium small, rounded-conical (Fig. 8D). No other avicularia were observed. On
both the edges of branches and in older part of colony, interzooidal kenozooids lack-
ing orifice (Fig. 8F) are interspersed with autozooids; kenozooids especially numerous
in the basal part of colony. Ooecium imperforate, smooth, completely immersed, not
evident from colony surface; proximal margin almost straight or slightly curved, rarely
obscuring the distal edge of primary orifice in oviccelate zooids (Fig. 7C). Orifice deeply immersed; aperture at colony surface roughly semicircular in outline,
without sinus proximally; cormidial, bounded by contributions of frontal calcification
from distal and one or two lateral zooids, with suture lines sometimes evident between
the sectors (Fig. 8C, D). Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). Suboral avicularium small, proximal to orifice on the peristome
periphery; circular, with complete pivot, rostrum slightly elevated, slightly denticulate,
semicircular mandible directed proximolaterally (Fig. 8C, D, E); distal tooth of suboral
avicularium small, rounded-conical (Fig. 8D). No other avicularia were observed. On
both the edges of branches and in older part of colony, interzooidal kenozooids lack-
ing orifice (Fig. 8F) are interspersed with autozooids; kenozooids especially numerous
in the basal part of colony. Ooecium imperforate, smooth, completely immersed, not
evident from colony surface; proximal margin almost straight or slightly curved, rarely
obscuring the distal edge of primary orifice in oviccelate zooids (Fig. 7C). i
Distribution. Eastern part of Sagami Bay, and the Sagami Sea southwest of
Jogashima and west of Ōshima, at depths of 200–493 m. Remarks. Examination of Ortmann’s (1890) type specimens revealed this species
belongs not in Escharoides but in Buchneria, on the basis of the frontal shield with few
pores, absence of oral spines, orifice without lyrula, immersed imperforate ooecium,
and the suboral avicularia. Buchneria rhomboidalis is characterized by having rhom-
boidal zooids and flat branches. This species resembles B. teres, but differs in having
flat rather than cylindrical branches, in lacking a peristomial labium and sinus, and in
lacking a large avicularium at branch bifurcations. The depth distribution of Buchneria
rhomboidalis (200–493 m) is shallower than that of B. teres (432–3660 m). Buchneria variabilis (Androsova, 1958), comb. n. http://species-id.net/wiki/Buchneria_variabilis
Figures 9, 10 Figures 9, 10 Porella variabilis Androsova, 1958, 165, fig. 96; type locality, Moneron Island,
northern Sea of Japan. Porella variabilis Androsova, 1958, 165, fig. 96; type locality, Moneron Island,
northern Sea of Japan. Material examined. Androsova’s type specimen (ZIN-1/3670) in Zoological Institute
of the Russian Academy of Sciences (ZIN RAS), colony collected southwestern re-
gion of Sakhalin, Moneron Island (Kaibato), Sea of Japan, 36 m depth, (examined by
micrographs); large erect colonies and fragments (NSMT Te-724 to Te-734; ZIHU
4130 and 4131), collected SE of Akkeshi Bay (42°48.37'N, 144°56.22'E) by M. Hi-
rose from research boat Misago-maru, 6 July 2010, 116 m depth, by dredge; large
erect colony and fragments (NSMT Te-790 to Te-794) collected SE of Akkeshi Bay
(42°48.20'N, 144°55.43'E to 42°48.26'N, 144°54.91'E) by M. Hirose from research
boat Misago-maru, 8 July 2011, 114−116 m depth, by dredge. Measurements. ZL, 0.558−0.921 (0.751±0.101); ZW, 0.408−0.882 (0.611±0.088);
n=25. OrL, 0.135−0.223 (0.189±0.019); OrW, 0.130−0.226 (0.192±0.023); n=27. OvL, 0.124−0.444 (0.247±0.072); OvW, 0.104−0.395 (0.214±0.056); n=44. Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). 14 Masato Hirose / ZooKeys 241: 1–19 (2012) Figure 9. Buchneria variabilis comb. n. A Large, bushy dead colony with various encrusting epibionts,
NSMT Te-726 B Large, fan-shaped living colony, NSMT Te-724; note the broad circular monticules
at centre right. Figure 9. Buchneria variabilis comb. n. A Large, bushy dead colony with various encrusting epibionts,
NSMT Te-726 B Large, fan-shaped living colony, NSMT Te-724; note the broad circular monticules
at centre right. Description. Colony erect, rigid, robust, with thick, broad, strap-like branches
at least 10 zooid widths across, or foliaceous, fan-shaped lobes; lobes or branches
0.86 to 8.04 cm wide (2.15±1.38 cm, n=25), multifurcate or irregularly lobed on
distal margin; zooids open on both sides (Fig. 9). Broad lobes of some colonies are
covered with conspicuous, closely spaced circular monticules (Fig. 9B). Autozooids
oval, rounded hexagonal, or subrectangular in outline; strongly convex frontally, ar-
ranged in quincunx, zooecial borders indistinct; frontal shield tessellated, with four
to eight areolar pores of irregular size along margin or offset more centrally (Fig. 10A, B). Orifice (Fig. 10C, D) semicircular, broader than long, slightly concave
proximally, lyrula and condyles absent (Fig. 10D); deeply immersed with age. Oral
spines lacking. Peristome deep, cormidial, formed by contributions of secondary
calcification from distal and lateral zooids, with suture lines often evident between
the sectors (Fig. 10E). Suboral avicularia approximately same size as orifice, located
at margin of peristome; oval, with complete or incomplete pivot, rostrum slightly
elevated distally, with a median tooth; mandible semicircular, directed proximally or
proximolaterally (Fig. 10B, C). Rounded conical tooth on oral edge of avicularian
rostrum conspicuous, projecting into secondary orifice (Fig. 10E). Hypertrophied
suboral avicularia are frequent; often larger in area than orifice; distal end of rostrum
elevated, pointed; rounded-triangular mandible directed proximally (Fig. 10B, C). I
observed no other types of avicularia. Basal part of colony robust, composed of both
interzooidal kenozooids and autozooids, borders indistinct. Ooecium imperforate,
smooth, completely immersed by secondary calcification from the neighboring zoo-
ids, the proximal margin of the ooecium distinctly indented laterally and centrally,
obscuring the distal edge of primary orifice in ovicellate zooids (Fig. 10E). Frontal
budding frequent (Fig. 10F). Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan 15 Figure 10. Buchneria variabilis comb. n., NSMT Te-729, scanning electron micrographs. Type species. Palmicellaria dofleini Buchner, 1924 by original designation by Harmer
(1957: 876) (= Escharoides teres Ortmann, 1890). A Autozoo-
ids showing the strongly convex frontal wall with few pores B Autozooids with various sizes of suboral
avicularia C Adjacent autozooids showing different sizes of suboral avicularia D Orifice without lyrula
or condyles E Enlargement showing immersed orifices and the narrow, conical tooth distal to suboral
avicularia F Overgrowth by frontal budding in the central part of the colony. Figure 10. Buchneria variabilis comb. n., NSMT Te-729, scanning electron micrographs. A Autozoo-
ids showing the strongly convex frontal wall with few pores B Autozooids with various sizes of suboral
avicularia C Adjacent autozooids showing different sizes of suboral avicularia D Orifice without lyrula
or condyles E Enlargement showing immersed orifices and the narrow, conical tooth distal to suboral
avicularia F Overgrowth by frontal budding in the central part of the colony. Distribution. Moneron Island, SW Sakhalin, 36 m depth (Androsova 1958); off
Akkeshi Bay, Hokkaido, 114–116 m depth (this study). Distribution. Moneron Island, SW Sakhalin, 36 m depth (Androsova 1958); off
Akkeshi Bay, Hokkaido, 114–116 m depth (this study). Remarks. My material matches Androsova’s (1958) description of Porella vari-
abilis. She mentioned that the tooth on the proximal margin of the peristome is associ-
ated with the suboral avicularium, and that the tooth is present when the avicularium
abuts the proximal margin of the peristome, but absent when the avicularium is offset
proximally from the peristome. This is the case in all known species of Buchneria. An- Masato Hirose / ZooKeys 241: 1–19 (2012) 16 drosova (1958) reported B. variabilis from 36 m depth, shallower than my specimen
from 114–116 m near Akkeshi. This apparent difference in the bathymetric distribu-
tion between Sakhalin and Akkeshi may be related to water temperature, as Sakhalin
is more northern and colder than Akkeshi. Buchneria variabilis differs from B. teres and B. rhomboidalis in colony form and in
having larger suboral avicularia. Taxonomic key to Japanese Buchneria species 1a
Colony robust; branches thick and broad, fan-shaped distally; hypertrophied
suboral avicularia often occur on the frontal shield........................................ ..................................................................... Buchneria variabilis comb. n. 1b
Colony more delicate, branches cylindrical or flattened, slender distally; hy-
pertrophied suboral avicularia rare or absent ...............................................2
2a
Branches flattened; zooids rhomboidal; hypertrophied suboral avicularia ab-
sent ........................................................ Buchneria rhomboidalis comb. n. 2b
Branches cylindrical; zooids rectangular, hypertrophied suboral avicularia
present.................................................................. Buchneria teres comb. n. Discussion To date, species of Buchneria have been only reported from the northwestern Pacific,
where they appear to have a cold-temperate distribution (Fig. 11). Most records are
from northern Japanese waters; I have not detected Buchneria species in field surveys in
southern Japan (e.g., near Okinawa). The southernmost record of living Buchneria in
Japan is B. rhomboidalis and B. teres from Sagami Bay, of which B. teres has been con-
sidered as abyssal species (Buchner, 1924; Harmer, 1957) and was collected at depths
of more than 400 m in Sagami Bay. Another, more northern Buchneria species in Japan
showed shallower distribution; Buchneria variabilis occurred at 114–116 m depth near
Akkeshi and at 36 m depth near Sakhalin (Androsova, 1958). Figure 11. Map showing the known distribution of the three Buchneria species in the western Pacific. Figure 11. Map showing the known distribution of the three Buchneria species in the western Pacific. Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan 17 While Buchneria might be endemic to this region, further sampling around the
North Pacific rim, including deep-water sites, may expand the distributions of known
species or detect additional species. Furthermore, as Buchneria resembles some other
North Atlantic genera such as Porella, Palmiskenea, Marguetta and Porelloides, taxo-
nomic studies of these other genera may also detect additional Buchneria species, and
the close relationship may indicate a common history at times when there was a con-
nection between the Pacific and Atlantic. Acknowledgments I thank Dr. Shunsuke F. Mawatari (Hokkaido University Museum) for valuable assis-
tance in the study of the historical collections. I thank Dr. Bernhard Ruthensteiner and
Mrs. Eva Lodde (Zoologische Staatssammlung München) for valuable advice and assis-
tance in the study of the Doflein and Haberer Collections; Madame Marie-Dominique
Wandhammer and Madame Marie Meister (Musée Zoologique Strasbourg) for kind
help, assistance in observations, and the loan of the Döderlein Collection; Dr. Hiroshi
Namikawa (Showa Memorial Institute of the National Museum of Nature and Sci-
ence) for advice and assistance, and the loan of the bryozoan collection of Emperor
Showa; and Mr. Hisanori Kohtsuka (Misaki Marine Biological Station, The University
of Tokyo) for crucial support with collecting in Sagami Bay. Special thanks are due to
Dr. Joachim Scholz and Mrs. Brigitte Lotz (Senckenberg Forschungsinstitut) for assis-
tance during my stay in Germany. I thank Miss Mary Spencer Jones (Natural History
Museum London) for valuable advice and assistance in the survey of the Harmer’s and
Androsova’s material. I thank Mrs. Elly Beglinger (Naturalis, Leiden) for assistance in
the survey of Harmer’s material. I thank Dr. Nina Denisenko (Zoological Institute of
the Russian Academy of Sciences) for sending the photographs of Androsova’s type
specimen. I thank Dr. Dennis Gordon (National Institute of Water & Atmospheric
Research), Dr. Andrew Ostrovsky (University of Vienna), and two reviewers Dr. Björn
Berning (Oberösterreichische Landesmuseen) and Dr. Kevin Tilbrook (Queensland Masato Hirose / ZooKeys 241: 1–19 (2012) 18 Museum) for valuable advice and suggestions on the manuscript. I thank Professor
Matthew Dick (Hokkaido University) for checking my English and providing crucial
suggestions. This study was supported in part by the 21st Century COE Program
“Neo-Science of Natural History” at Hokkaido University, funded by the Ministry of
Education, Culture, Sports, Science and Technology (MEXT), Japan, and a Fellowship
from the Japan Society for the Promotion of Science (No. 20-3856). References Androsova EI (1958) Bryozoa of the Order Cheilostomata from the northern part of the Sea of
Japan. Issledovaniya Dal'Nevostochnykh morei SSSR 5: 90–204. Buchner P (1924) Studien über den Polymorphismus der Bryozoen. 1. Anatomisch und syste-
matische Untersuchungen an japanischen Reteporiden. Zoologisch Jahrbücher. Abteilung
für Systematik, Geographie und Biologie der Tiere 48: 155–216. Jullien J, Calvet L (1903) Bryozoaires provenant des Campagnes de l’Hirondelle (1886–1888),
Résultats des Campagnes Scientifiques accomplies sur son yacht par Albert Ier, prince sou-
verain de Monaco XXIII. Imprimerie de Monaco, Monaco, 1–188. Gordon DP (1984) The marine fauna of New Zealand: Bryozoa: Gymnolaemata from the Ker-
madec Ridge. New Zealand Oceanographic Institute Memoir 91: 1–198. Gordon DP (1989) New and little-known deep-sea taxa of umbonulomorph Bryo-
zoa and their classification. New Zealand Journal of Zoology 16: 251–267. doi:
10.1080/03014223.1989.10422575 Harmer SF (1957) The Polyzoa of the Siboga Expedition, Part 4. Cheilostomata Ascophora II. Siboga Expedition Reports 28d: 641–1147. Hirose M (2010) Cheilostomatous Bryozoa (Gymnolamata) from Sagami Bay, with Notes on
Bryozoan Diversity and Faunal Changes over the past 130 Years. PhD Dissertation, De-
partment of Natural History Science, Hokkaido University, Sapporo, Japan. National Museum of Nature and Science (2007) Fauna Sagamiana. Tokai University Press,
Hatano, 212 pp. Ortmann A (1890) Die Japanische Bryozoenfauna. Bericht über die von Herrn Dr. L. Döder-
lein in Jahre 1880–1881 gemachten Sammlungen. Archiv für Naturgeschafte 54(1): 1–74. Spencer Jones ME, Scholz J, Grischenko AV, Fujita T (2011) Japanese bryozoans from the
Meiji Era at the Natural History Museum, London, part 1: the Mitsukuri and Owston
Collections. In: Wyse Jackson PN, Spencer Jones ME (Eds.) Annals of Bryozoology 3. International Bryozoology Association, Dublin, 143–157. Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan 19 Citation: Hirose M (2012) Revision of the genus Buchneria (Bryozoa, Cheilostomata) from Japan. ZooKeys 241: 1–19.
doi: 10.3897/zookeys.241.3175.app Appendix Specimens examined in this study. (doi: 10.3897/zookeys.241.3175.app) File format:
Microsoft Office Excel file (xls). Explanation note: The deposit column indicates the museum where specimens reside:
MZS, Musée Zoologique Strasbourg, ZSM, Zoologische Staatssammlung München,
NSMT, National Museum of Nature and Science Tokyo (now located in Tsukuba). Copyright notice: This dataset is made available under the Open Database License
(http://opendatacommons.org/licenses/odbl/1.0/). The Open Database License
(ODbL) is a license agreement intended to allow users to freely share, modify, and use
this Dataset while maintaining this same freedom for others, provided that the original
source and author(s) are credited.
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Evolution of a predator-induced, nonlinear reaction norm
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Proceedings - Royal Society. Biological sciences/Proceedings - Royal Society. Biological Sciences
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cc-by
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MJC, 0000-0002-5351-8108; WH, 0000-0002-9132-6510 Inducible, anti-predator traits are a classic example of phenotypic plasticity. Their evolutionary dynamics depend on their genetic basis, the historical pat-
tern of predation risk that populations have experienced and current selection
gradients. When populations experience predators with contrasting hunting
strategies and size preferences, theory suggests contrasting micro-evolutionary
responses to selection. Daphnia pulex is an ideal species to explore the micro-
evolutionary response of anti-predator traits because they face heterogeneous
predation regimes, sometimes experiencing only invertebrate midge predators
and other times experiencing vertebrate fish and invertebrate midge predators. We explored plausible patterns of adaptive evolution of a predator-induced
morphological reaction norm. We combined estimates of selection gradients
that characterize the various habitats that D. pulex experiences with detail on
the quantitative genetic architecture of inducible morphological defences. Our data reveal a fine scale description of daphnid defensive reaction norms,
and a strong covariance between the sensitivity to cues and the maximum
response to cues. By analysing the response of the reaction norm to plausible,
predator-specific selection gradients, we show how in the context of this covari-
ance, micro-evolution may be more uniform than predicted from size-selective
predation theory. Our results show how covariance between the sensitivity to
cues and the maximum response to cues for morphological defence can shape
the evolutionary trajectory of predator-induced defences in D. pulex. Received: 21 April 2017
Accepted: 19 July 2017
Subject Category:
Evolution
Subject Areas:
ecology, evolution, genetics
Keywords:
reaction norm, evolution, predator-induced
plasticity, morphological defence,
Daphnia pulex
Author for correspondence:
Andrew P. Beckerman
e-mail: a.beckerman@sheffield.ac.uk
Electronic supplementary material is available
online at https://dx.doi.org/10.6084/m9. figshare.c.3843646. Subject Category:
Evolution
Subject Areas:
ecology, evolution, genetics
Keywords:
reaction norm, evolution, predator-induced
plasticity, morphological defence,
Daphnia pulex Keywords:
reaction norm, evolution, predator-induced
plasticity, morphological defence,
Daphnia pulex Mauricio J. Carter1,2, Martin I. Lind3, Stuart R. Dennis4, William Hentley5
and Andrew P. Beckerman5 Mauricio J. Carter1,2, Martin I. Lind3, Stuart R. Dennis4, William Hentley5
and Andrew P. Beckerman5 Research
Cite this article: Carter MJ, Lind MI, Dennis
SR, Hentley W, Beckerman AP. 2017 Evolution
of a predator-induced, nonlinear reaction
norm. Proc. R. Soc. B 284: 20170859. http://dx.doi.org/10.1098/rspb.2017.0859 Research
Cite this article: Carter MJ, Lind MI, Dennis
SR, Hentley W, Beckerman AP. 2017 Evolution
of a predator-induced, nonlinear reaction
norm. Proc. R. Soc. B 284: 20170859. http://dx.doi.org/10.1098/rspb.2017.0859 Research
Cite this article: Carter MJ, Lind MI, Dennis
SR, Hentley W, Beckerman AP. 2017 Evolution
of a predator-induced, nonlinear reaction
norm. Proc. R. Soc. B 284: 20170859. http://dx.doi.org/10.1098/rspb.2017.0859 rspb.royalsocietypublishing.org rspb.royalsocietypublishing.org Mauricio J. Carter1,2, Martin I. Lind3, Stuart R. Dennis4, William Hentley5
and Andrew P. Beckerman5 Research 1Centro Nacional del Medio Ambiente, Universidad de Chile, Avenida Larrain 9975, La Reina, Santiago, Chile
2Departamento de Ecologı´a, Facultad de Ecologı´a y Recursos Naturales, Universidad Andres Bello, Santiago, Chile
3Animal Ecology, Department of Ecology and Genetics, Uppsala University, Uppsala 75236, Sweden
4Department of Aquatic Ecology, Eawag, U¨berlandstrasse 133, 8600 Du¨bendorf, Switzerland
5Department of Animal and Plant Sciences, University of Sheffield, Western Bank, Sheffield S10 2TN, UK MJC, 0000-0002-5351-8108; WH, 0000-0002-9132-6510 1. Introduction Author for correspondence:
Andrew P. Beckerman
e-mail: a.beckerman@sheffield.ac.uk Predator-induced defences remain one of the core examples of phenotypic plas-
ticity in the wild. Examples include dramatic changes in morphology, large- and
small-scale shifts in habitat use and foraging, and change to the magnitude and
direction of several life-history traits [1–8]. Several decades of research in aquatic
communities show that plasticity in all these types of traits can be mobilized by
exposure to predation risk cues—typically chemicals released by predators [8–17]. One of the most studied examples of adaptive phenotypic plasticity isthe pred-
ator-induced morphological defence in waterfleas facing predation risk by fish or
midge larvae [2,18,19]. Daphnia pulex is a species that faces predation risk from
at least two size-selective predators: midge larvae and fish. Midge predation
is typically small size-selective and results in morphological defences—called
neckteeth—at the 2nd/3rd juvenile instar, the size at which they are most at
risk. This is accompanied by delayed maturation at a larger size representing
investment into growth over reproduction. By contrast, fish predation is typically
large size-selective and results in no morphological defence in D. pulex, but accel-
erated maturation at a smaller size, indicative of investment into reproduction over
growth [20]. The induced morphological defence in D. pulex is considered
adaptive, conferring a 30–50% increase in survival [9,21]. Electronic supplementary material is available
online at https://dx.doi.org/10.6084/m9. figshare.c.3843646. & 2017 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution
License http://creativecommons.org/licenses/by/4.0/, which permits unrestricted use, provided the original
author and source are credited. (b) Reaction norms
ll d We experimentally determined the predator-induced morphologi-
cal reaction norm in controlled temperature rooms at 218C on a
16 L : 8 D cycle. We estimated the reaction norms of the neckteeth
by exposing replicate daphnids of each genotype to a gradient of
chemical kairomone cues from Chaoborus flavicans [8,25]. We
extracted kairomone from frozen C. flavicans, (Honka, Germany)
[8,9,25]. Third-generation mothers of each genotype, at their
second brood, were exposed to each concentration of chemical
cue (to avoid maternal and grand-maternal effects). Five neonates
(third brood, third generation) from each of three mothers, for a
total of 15 neonates per genotype, were distributed individually
into glass jars containing 50 ml of hard artificial pond water [32],
food (Chlorella vulgaris; 2 105 cells ml21) and the appropriate
volume of purified cue. Such a characterization allows for a unique game, where we
can ask how inducible defences, and the reaction norm that
describes them, might evolve. Theory and data suggest that
the evolution of a defence characterized by, for example, three
traits,will bedrivenbyacombinationofhow selection pressures
target the traits, the heritability of the traits (genetic variation)
and correlations among traits (trade-offs and constraints)
[6–8]. Here we predict plausible patterns of micro-evolution
ofthe D. pulex predator-induced morphological defence, specifi-
cally revealing how genetic (co)variation among the amount of
defence, the sensitivity to the cue and the reactivity to the cue
might constrain such a response. We do this by integrating
field-based estimates of genetic variation in the three traits
(asymptote, threshold, reactivity) with various, plausible selec-
tion regimes via the multivariate breeder’s equation. Via these
data and the breeders equation, we evaluate the potential
micro-evolution of morphological defence reaction norms. We defined the reaction norm along a gradient of seven con-
centrations of extracted predator cue (0, 0.1, 0.25, 0.5, 0.75, 1,
2 ml ml21), with the exception of clone ‘carlos’ that was evaluated
at four more concentrations (0.15, 0.4, 0.6, 0.8 ml ml21). Media were
replaced daily and induction of neckteeth was scored following
established methods. Each individual was examined under
the microscope daily for evidence of induction, from birth to
maturation. Points were assigned to the presence of a pedestal
and/or the presence of spikes. Pedestals were classified as absent
(score ¼ 0), small (score ¼ 30) and large (score ¼ 50). Spikes were
assigned 10 points each. rspb.royalsocietypublishing.org
Proc. R. Soc. B 284: 20
2 primarily Chaoborus sp. (onwards: midge pond). Crabtree pond
(five genotypes; 53824017.4600 N, 1827026.8100 W) contains both fish
and midge predators (onwards: fish–midge pond). Genetic differ-
ences between iso-female lines were confirmed by microsatellite
analysis [31]. Historically, this predator-induced morphological defence
has been classified as a threshold or binary trait [22,23]. How-
ever, recent theory [24] and empirical data [8,15,19,25,26]
suggest that the morphological defence can be effectively
characterized by a continuous, nonlinear function, typically sig-
moid, of predation risk [8,25]. In fact, given this functional form,
it is possible to characterize population patterns of, and genetic
variation in, the induced defence in terms of the parameters of a
three-parameter sigmoid model [8,25,27]: the asymptote rep-
resents the maximum amount of defence, the inflection point
the ‘threshold’ or sensitivity to predation cues, and the slope
or scale parameter the ‘reactivity’, or how binary the response
is. The reaction norm—how the defence varies with increasing
predation risk—can be captured by three variables. rspb.royalsocietypublishing.org
P
2 2 (b) Reaction norms
ll d For individuals exhibiting neckteeth in
multiple instars, we used the maximal amount of induction in ana-
lyses, regardless of the instar in which it was observed. Typically,
this was either 2nd or 3rd instar. Our maximum level of induction
among all replicates was 130 points (large pedestal, eight spikes). All individual scores were normalized to this maximum defining
induction levels between 0 and 100 [8,19,25]. Our approach to make quantitative predictions about
the magnitude and direction of the possible responses to
selection involves four steps. First, we characterize the reaction
norms for morphological predator defence as a sigmoid, three-
parameter (trait) reaction norm. Second, we estimate the
G-matrix that defines a plausible empirical sample of the
variance and covariance among the three traits in nature. Third, we derive a set of five plausible selection gradients
that combine selection gradient analysis of reproduction via
traditional multiple regression tools [28,29] with additional
information on survival drawn from size-selective predation
theory. Together these data form a data platform on which
we can explore potential micro-evolutionary change in reac-
tion norms. To this end, we then combine the G-matrix and
selection gradients via the multivariate breeder’s equation to
make predictions about, and visualize, plausible responses
to selection by the nonlinear reaction norm of inducible
morphological defence. We characterized the reaction norms of neckteeth induction for
each maternal replicate of each genotype by a sigmoid curve where
the asymptote corresponds to maximum induction (maximum),
the inflection to the concentration of cue where 50% induction
occurs (threshold or sensitivity) and the slope (reactivity), corre-
sponding to the rate of induction or how binary the reaction
norm looks [8,25]. These data were estimated for each maternal
replicate (i.e. three mothers; n ¼ 5 reps/mother 7 treatments)
via
nonlinear
least-squares
with a three-parameter logistic
model. Parameters were estimated using the nls function and the
associated three-parameter logistic model in R [33]. This analysis
provided discrete and replicated trait data for each genotype
(3
maternal
lines 12
clones ¼ 36
estimates
of
maximum,
sensitivity and reactivity), along the experimental gradient. (d) G-matrix of neckteeth phenotypic plasticity (d) G matrix of neckteeth phenotypic plasticity
We used the 36 estimates of each of the three traits among
the genotypes, structured by maternal identity, to characterize
a G-matrix. We fit a trivariate model with mother (n ¼ 12)
as the random effect, using Bayesian Monte Carlo Markov
chain (MCMC) generalized linear mixed models (MCMCglmm
package in R v. 3.3.1 [35]) to obtain the (broad-sense) genetic
covariance matrix. We used informative, parameter expan-
ded priors, 180 000 iterations, a burn-in period 45 000 and
thinning interval 200 to estimate a joint posterior distribution
of n ¼ 1000. The chains were well mixed; time-series plots
showed no sign of autocorrelation. This produced a modal
estimate of variance and covariance among traits and allows
direct estimates of broad-sense heritability and genetic corre-
lations. Significance of genetic parameters was assessed using
95% credible intervals calculated from the joint posterior distri-
bution [35]. We estimated the G-matrix as the posterior mode
of the joint posterior of the variance covariance matrix. We doubled the nonlinear coefficient of multiple regression
(following Stinchcombe et al. [41]) to standardize their magnitude
with the linear and correlational gradients estimated above, which
helps to avoid underestimation of disruptive or stabilizing selec-
tion. We then explored the extent of nonlinear selection by
performing a canonical correspondence analysis. This method
helps to identify the major axes of the overall response surface
[42]. We used randomization to test the significance of all par-
ameters of bR, taking the potential non-independence of residual
into account [38]. The selection gradients on survival, bS were defined from the
empirical and theoretical literature of size-selective predation on
Daphnia. This literature (see [20] for theory) is strongly focused
around
assumptions
that
gape-limited
predators,
such
as
Chaoborous larvae, which are able to attack small prey [43,44], lead-
ing to conspicuous defences in D. pulex [14,26], whereas visually
hunting predators such as fish target large prey [44,45] and do
not favour induced morphological defences in D. pulex. To reflect
this, we define the bS by how each reaction norm parameter would
respond in each predation context. For example, we assume that
survival is increased under small size-selective midge predation
by increasing the asymptote. Table 1 provides an overview of
how we characterized adaptive strategies associated with each
predation regime, defined by the three variables. We fit two additional models. First, we removed the random
effect. (e) Defining selection gradients Our approach for estimating selection gradients follows [27]. Selection under predation risk in nature depends upon both repro-
duction and survival. Their relative importance may depend upon
the predation regime and how predation risk varies over a season
[35]. We, therefore, defined five plausible composite selection gra-
dients, each representing a different weighting of reproduction
(bR) and survival (bS): bR, bR þ 0.5bS, bR þ bS, 0.5bR þ bS and
bS (also see Lind et al. [27]). (d) G-matrix of neckteeth phenotypic plasticity The deviance information criteria (DIC) confirmed that fitting
the random component estimated a substantial amount of variation. Second, we tested the significance of covariance structure by com-
paring a model setting the off diagonal elements of the G-matrix
to zero using the ‘idh()’ function instead of ‘us()’ function for the
random effect (see MCMCglmm package in R v. 3.3.1 [35]). Again,
a DIC comparison indicated significant covariance. Finally, we created the composite selection gradients by stan-
dardizing bR and bS to a total length (strength of selection) of 1
and producing the several combinations of reproduction (bR) and
survival (bS) defined above. Each composite b was standardized
to a length of 1 to enable meaningful comparison of the response
to selection in the following step (electronic supplementary
material, table S1). 2. Material and methods Soc. B 284: 20170859 that first clutch reproduction is highly correlated with reproduc-
tion after three clutches (r ¼ 0.77, p , 0.001; MI Lind, K Yarlett,
AP Beckerman 2014, unpublished data). that first clutch reproduction is highly correlated with reproduc-
tion after three clutches (r ¼ 0.77, p , 0.001; MI Lind, K Yarlett,
AP Beckerman 2014, unpublished data). used a randomization test of significance for all parameters of
the selection gradients. We re-estimated selection gradients from
new regressions based on random allocations of fitnessto predictor
variables [40]. From this, we derived two-tailed probabilities of
estimating selection gradients of the observed magnitudes by
chance. We performed separate randomization tests of linear and
nonlinear gradients in each environment 2. Material and methods The experimental exposure of all replicates to predation cues
continued until all animals had reached maturity. Maturation
was classified as the appearance of eggs in the brood pouch. We defined a proxy of fitness here as a function of age at first
reproduction and clutch size and used this in the selection
gradient analysis below: (a) Study system
We characterized the neckteeth reaction norms of and genetic
covariance matrix formed by 12 iso-female lineages of D. pulex
[25], a keystone herbivore of algae in ponds and lakes [30]. In the
UK, D. pulex can be subject to contrasting and seasonal predation
pressure by fish in spring, and midge larvae during summer and
autumn [8]. The iso-female clones were originally collected from
two very different shallow source ponds in Sheffield, UK, separated
by approximately 8 km [25]. Bagshaw pond (seven genotypes;
5382005.3700 N, 182708.1200 W) contains only invertebrate predators, R0 ¼
lnðfirst clutch sizeÞ
age at first reprodcution :
ð2:1Þ ð2:1Þ This measure of fitness is focused on reproduction and is
highly correlated with population growth rate in exponentially
growing populations [34]. Furthermore, our own data confirm Table 1. Hypothetical output of response of selection in D. pulex two predator environments with different scenarios of survival selection gradients on neckteeth
reaction norm parameters
3 Table 1. Hypothetical output of response of selection in D. pulex two predator environments with different scenarios of survival selection gradients on neckteeth
reaction norm parameters. r
3 Table 1. Hypothetical output of response of selection in D. pulex two predator environments with different scenarios of survival selection gradients on neckteeth
3 3 parameters of neckteeth induction
maximum
threshold
steepness
adaptive strategies
high b: 1
low b: 21
high b: 1
midge pond
higher expression of morphological response,
survival benefit
lower sensitivity morphological response,
less response costs
faster change
adaptive strategies
low b: 21
high b: 1
low b: 0
fish–midge pond
lower expression of morphological response,
less energetic cost
higher sensitivity morphological response,
higher response cost
slower change parameters of neckteeth induction
maximum
threshold
steepness
adaptive strategies
high b: 1
low b: 21
high b: 1
midge pond
higher expression of morphological response,
survival benefit
lower sensitivity morphological response,
less response costs
faster change
adaptive strategies
low b: 21
high b: 1
low b: 0
fish–midge pond
lower expression of morphological response,
less energetic cost
higher sensitivity morphological response,
higher response cost
slower change Proc. R. (f) The evolution of a reaction norm of inducible
defence We defined the selection gradient on reproduction (bR) by
regressing our fitness proxy (equation (2.1)) against the three
traits defining the reaction norm [28,36]. We fit the selection gradi-
ent (fitness proxy as a function of the maximum (asymptote),
sensitivity (inflection) and reactivity (scale)) as a response surface
using the rsm package in R [37], which provided estimates of the
linear (b; directional selection) and quadratic (g; indirect selection)
components. As has been suggested in the literature [38,39], we We applied the multivariate breeders equation to the phenotypic
reaction norm for each of midge and fish–midge population,
demonstrating how the G-matrix we estimated, along with five
different weightings of selection on reproduction and survival,
might drive evolution of each reaction norm. The total response to selection for each component of the
reaction norm can be decomposed into direct and correlated 0
0.5
1.0
1.5
2.0
0
0
0
0
0
0
bernardo
predator cue concentration
ml ml–1
predator cue concentration
ml ml–1
predator cue concentration
ml ml–1
predator cue concentration
ml ml–1
predator cue concentration
ml ml–1
predator cue concentration
ml ml–1
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
boris
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
bubba
0.5
1.0
1.5
2.0
0
20
40
60
80
100
carlos
neckteeth induction (%)
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
cecil
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
cletus
reaction norms of 12 Daphnia pulex clones facing a gradient of Chaoborus predation risk. Each line corresponds to a clone-specific sigmoid fit that clone’s data. The data points correspond to individual replicates of each
mental condition. We fit a three-parameter sigmoid model where the asymptote is the maximum induction, the inflection is the cue concentration at which 50% induction is reached and the slope or scale is the reactivity or
e response. 3. Results We found significant genetic variation in the maximum
amount
of
induction
(asymptote)
and
the
sensitivity
(threshold/inflection) to cues (table 2), with genetic variation
in the sensitivity being lower than in the maximum. We also
found a negative and significant genetic covariance between
the maximum and sensitivity of induction (table 2). This rep-
resents a positive covariance in ‘biological’ terms as reducing
the sensitivity (more sensitive to kairomones) and increasing
the maximum response are both deemed ‘beneficial’ in the
face of midge predation. Thus, this G-matrix, comprised of
individuals from two populations, reflects a potentially (b) G-matrix (b) G-matrix (f) The evolution of a reaction norm of inducible
defence midge
midge–fish
predation regime
sensitivity of induction
0
0.2
0.4
0.6
0.8
c2= 5.71, p < 0.05 midge
midge–fish
reactivity of induction
0
0.05
0.10
0.15
0.20
c2= 3.44, p = 0.06 maximum of induction reactivity of induction Figure 2. Parameter mean + s.e. values that describe the neckteeth reaction norms to Bagshaw (midge) and Crabtree (fish–midge) populations of Daphnia pulex. Statistical comparison was performed with maximum likelihood analysis treating predation regime as fixed effect. Table 2. G and P (co)variance matrices estimates from the pooled population (midge/fish–midge as fixed effect). The parameters correspond to mode of
posterior distribution from data that were standardized to mean ¼ 0 and s.d. ¼ 1 prior to estimating variance components. The significant genetic parameters
are indicated by (*), after comparing DIC (electronic supplementary material, table S2) between models. maximum (IC)
sensitivity (IC)
reactivity (IC)
G-matrix
maximum
0.18 (0.03; 0.53)*
20.12 (21.54; 20.18)*
20.001 (20.72; 0.09)
sensitivity
0.35 (0.12; 0.95)*
0.03 (20.09; 0.79)
reactivity
0.02 (0.005; 0.43)
P-matrix
maximum
0.36 (0.23; 0.61)
20.13 (20.28; 0.45)
20.07 (20.30; 0.12)
sensitivity
0.53 (0.32; 0.85)
0.20 (0.03; 0.53)
reactivity
0.79(0.53; 1.36) (indirect) selection responses [46]: less sensitive threshold (0.42+0.25 ml ml21). A small-scale
parameter (reactivity) in both ponds suggests a steep,
threshold-like response (midge: 0.05+0.02; fish: 0.08+0.05). Our fitness proxy, defined as the log quotient of age at matu-
rity and first clutch size, did not differ between ponds
(x2 ¼ 1:48, p ¼ 0.22). (indirect) selection responses [46]: DZi ðdirectÞ ¼ Gibi
and
DZi,j ðindirectÞ ¼
X
i=j
Gibi:
ð2:2a,bÞ We examined whether any changes in genetic (co)variation
can be ascribed to nonlinear and correlated selection (g—the
matrix of nonlinear selection gradient) [36]. (f) The evolution of a reaction norm of inducible
defence midge
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
benja
neckteeth induction (%)
midge – fish
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
barney
neckteeth induction (%)
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
bummerboy
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
billy
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
chardonnay
neckteeth induction (%)
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
cyril
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
bernardo
predator cue concentration
ml ml–1
predator cue concentration
ml ml–1
predator cue concentration
ml ml–1
predator cue concentration
ml ml–1
predator cue concentration
ml ml–1
predator cue concentration
ml ml–1
neckteeth induction (%)
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
boris
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
bubba
0.5
1.0
1.5
2.0
0
20
40
60
80
100
carlos
neckteeth induction (%)
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
cecil
0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
cletus
1. Neckteeth reaction norms of 12 Daphnia pulex clones facing a gradient of Chaoborus predation risk. Each line corresponds to a clone-specific sigmoid fit that clone’s data. The data points correspond to individual replicat
each experimental condition. We fit a three-parameter sigmoid model where the asymptote is the maximum induction, the inflection is the cue concentration at which 50% induction is reached and the slope or scale is the re cletus midge – fish chardonnay cecil 0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
billy bubba billy 0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
bummerboy bummerboy midge boris 0
0.5
1.0
1.5
2.0
0
20
40
60
80
100
barney
neckteeth induction (%) bernardo barney midge
midge–fish
maximum of induction
0
20
40
60
80
100
c2= 6.80, p < 0.01
midge
midge–fish
predation regime
sensitivity of induction
0
0.2
0.4
0.6
0.8
c2= 5.71, p < 0.05
midge
midge–fish
reactivity of induction
0
0.05
0.10
0.15
0.20
c2= 3.44, p = 0.06
Figure 2. Parameter mean + s.e. values that describe the neckteeth reaction norms to Bagshaw (midge) and Crabtree (fish–midge) populations of Daphnia pulex. Statistical comparison was performed with maximum likelihood analysis treating predation regime as fixed effect. (c) Selection gradients The selection gradient estimates for our fitness proxy in each
predation regime were distinct. Midge pond data revealed
directional (linear) and nonlinear (disruptive) selection on
maximum
induction
(table
3). Fish–midge
pond
data
revealed nonlinear (disruptive) selection on the sensitivity
of induction (table 3). The canonical analysis revealed a significant and positive
eigenvalue among traits for the midge pond. The eigenvector
associated with the dominant eigenvalue was characterized
by opposite loadings for the maximum and the sensitivity
of induction, paralleling the patterns of selection indicated
on the original axis (table 3). The canonical analysis for
data from fish–midge pond revealed no significant eigen-
values. The first eigenvalue was linked to an eigenvector
dominated by the threshold weighting, again paralleling
the patterns on the original scale (table 3). The canonical ana-
lyses for each predation scenarios produced a set of three
eigenvalues with different sign, suggesting that the overall
selection surface is a saddle [42]. We note the absence of
selection pressure on the reactivity (slope) of the response,
where we also found no significant genetic variation. rspb.royalsocietypublishing.org
Proc. R. Soc. B 284: 20170859
6 6 g
M matrix
traits
b
maximum
sensitivity
reactivity
li
maximum
sensitivity
reactivity
midge (Bagshaw)
maximum
0.029
0.189 (0.09)*
0.227
0.581
0.779
0.231
sensitivity
0.016*
20.175
0.095 (0.047)
0.035*
20.616
0.236
0.751
reactivity
0.008
0.087
20.225
0.096 (0.05)
20.072
0.531
20.579
0.618
fish–midge (Crabtree)
maximum
0.009
0.051 (0.03)
0.121**
0.259
0.844
0.468
sensitivity
20.018*
0.008
0.202 (0.10)*
0.048**
0.898
20.388
0.204
reactivity
0.008
20.116
20.091
20.073 (20.04)
20.415
20.354
20.367
0.859
*p , 0.05; **p , 0.01. strong constraint where the maximum induction (asymptote)
and the sensitivity to predator cues (threshold/inflection)
respond together in a biologically meaningful manner. shifts, where the maximum defence is elevated in both environ-
ments, but the midge regime sees increased sensitivity to the
cue (threshold moves left), while the fish–midge regime sees
decreased sensitivity (threshold moves right). Finally, figure 3c shows the effect of equally weighted but
combined response to selection on reproduction and survival. Here we see the consequences of combining both selection
gradients and the constraint represented by the negative
covariation between the maximum and the sensitivity in
the G-matrix. The midge regime experiences a small decrease
in maximum induction and less sensitivity to the cue, com-
pletely at odds with what theory might predict. By contrast,
the fish–midge regime sees not only decreased sensitivity
(as would be expected), but also increased maximum,
which may or may not be expected (see below). (c) Selection gradients (a) Reaction norms We found significant genetic and population specific variation
in the maximum (asymptote) and sensitivity (threshold/
inflection) of the reaction norms (figures 1 and 2). Genotypes
sourced from the midge pond (Bagshaw) were characterized
by high levels of induction (74.0+6.24 induction) and a sensi-
tive (closer to 0) threshold (0.13+0.04 ml ml21). Genotypes
sourced from the fish–midge pond (Crabtree) show compara-
tively lower levels of induction (55.0+10.1 induction) and a Table 3. Summary of linear and quadratic selection analyses and M matrix of eigenvectors from canonical analysis of gmatrix for reaction norms parameters of
both populations. The coefficients were obtained from parameters (maximum, sensitivity and reactivity) that describe the reaction norm of sigmoid fit of
neckteeth D. pulex. Standardized directional selection coefficient (b), standardized nonlinear and correlated selection coefficients (gmatrix). The nonlinear
coefficients reported were doubled from the originals (in parenthesis) following the suggestion of Stinchcombe et al. [42]. Significant coefficients were obtained
by randomization (10 000) test. rg
Proc. R. Soc. B 284: 20170859 aPosterior mode and the upper and lower bound of the 95% credibility interval are presented, and elements significantly different from zero. the sensitivity of morphology (threshold/inflection) to midge
predation cues to shape the micro-evolutionary trajectory of
predator-induced defences in D. pulex. This covariance between
the two parts of the defence captures patterns of variation seen
in figure 1 among the genotypes and is a major influence on our
simulation of micro-evolutionary change. norms and show that genetic variation might be predator-
regime and population specific. Critically, by analysing the
response of the reaction norm to plausible, predator-specific
selection gradients, we found that a G-matrix, harbouring a
strongcovariancebetweenthesensitivity to cues—thethreshold
part of this threshold trait—and the maximum response to cues,
predicted a rather more uniform morphological response to
predation risk than might be expected under size-selective
predation theory about morphological defences [2]. rspb.royalsocietypublishing.org
Proc. R. Soc. B 284: 20170859
7 7 trait
total response
direct selection
indirect selection
midge pond response
DZb(R)
maximum
20.089 (20.254; 20.039)a
0
20.089 (20.254; 20.039)a
DZb(R)þ0.5b(S)
maximum
0.393 (0.168; 1.134)a
0.341 (0.146; 0.884)a
20.119 (20.045; 0.378)
DZb(R)þb(S)
maximum
0.889 (0.451; 2.292)a
0.680 (0.270; 1.523)a
0.230 (20.039; 0.872)
DZ0.5b(R)þb(S)
maximum
0.942 (0.478; 2.416)a
0.680 (0.270; 1.523)a
0.280 (0.017; 0.997)a
DZb(S)
maximum
0.995 (0.500; 2.551)a
0.68 (0.27; 1.523)a
0.344 (0.071; 1.113)a
DZb(R)
sensitivity
0.121 (0.062; 0.322)a
0.121 (0.062; 0.322)a
0
DZb(R)þ0.5b(S)
sensitivity
20.364 (21.099; 21.152)a
20.214 (20.627; 20.092)a
20.165 (20.598; 0.032)
DZb(R)þb(S)
sensitivity
20.993 (22.405; 20.404)a
20.585 (21.562; 20.301)a
20.271 (21.128; 20.037)a
DZ0.5b(R)þb(S)
sensitivity
21.222 (22.582; 20.449)a
20.645 (21.723; 20.332)a
20.271 (21.128; 20.037)a
DZb(S)
sensitivity
21.101 (22.772; 20.503)a
20.706 (21.885; 20.363)a
20.271 (21.128; 20.037)a
DZb(R)
reactivity
0.039 (20.013; 0.147)
0
0.039 (20.013; 0.147)
DZb(R)þ0.5b(S)
reactivity
20.125 (20.420; 0.047)
0.014 (0.005; 0.237)a
20.213 (20.628; 0.05)
DZb(R)þb(S)
reactivity
20.300 (20.934; 0.160)
0.059 (0.006; 0.474)a
20.398 (21.388; 0.088)
DZ0.5b(R)þb(S)
reactivity
20.315 (21.003; 0.166)
0.059 (0.006; 0.474)a
20.384 (21.490; 0.135)
DZb(S)
reactivity
20.330 (21.080; 0.153)
0.059 (0.006; 0.474)a
20.400 (21.575; 0.125)
fish–midge response
DZb(R)
maximum
0.009 (0.004; 0.027)a
0
0.009 (0.004; 0.027)a
DZb(R)þ0.5b(S)
maximum
20.590 (21.587; 20.255)a
20.364 (20.884; 20.146)a
20.221 (20.754; 20.098)a
DZb(R)þb(S)
maximum
21.274 (22.974; 20.531)a
20.680 (21.523; 20.270)a
20.510 (21.459; 20.226)a
DZ0.5b(R)þb(S)
maximum
21.280 (22.986; 20.533)a
20.680 (21.523; 20.270)a
20.514 (21.472; 20.228)a
DZb(S)
maximum
21.286 (22.997; 20.536)a
20.680 (21.523; 20.270)a
20.519 (21.486; 20.230)a
DZb(R)
sensitivity
20.013 (20.034; 20.007)a
20.013 (20.034; 20.007)a
0
DZb(R)þ0.5b(S)
sensitivity
0.646 (0.272; 1.682)a
0.314 (0.135; 0.919)a
0.229 (0.101; 0.783)a
DZb(R)þb(S)
sensitivity
1.348 (0.668; 3.215)a
0.693 (0.357; 1.850)a
0.519 (0.230; 1.486)a
DZ0.5b(R)þb(S)
sensitivity
1.354 (0.671; 3.230)a
0.699 (0.360; 1.867)a
0.519 (0.230; 1.486)a
DZb(S)
sensitivity
1.361 (0.674; 3.246)a
0.706 (0.363; 1.885)a
0.519 (0.230; 1.486)a
DZb(R)
reactivity
20.004 (20.016; 0.001)
0
20.004 (20.016; 0.001)
DZb(R)þ0.5b(S)
reactivity
0.115 (20.047; 0.75)
0
20.115 (20.047; 0.751)
DZb(R)þb(S)
reactivity
0.397 (20.123; 1.561)
0
0.397 (20.123; 1.561)
DZ0.5b(R)þb(S)
reactivity
0.399 (20.124; 1.568)
0
0.399 (20.124; 1.568)
DZb(S)
reactivity
0.400 (20.125; 1.575)
0
0.400 (20.125; 1.575)
aPosterior mode and the upper and lower bound of the 95% credibility interval are presented, and elements significantly different from zero. 4. Discussion Predator-induced defences are one of the most studied
examples of phenotypic plasticity [2,18]. This research is
grounded in a body of well-developed theory and empirical
work spanning decades, debates and taxa [47,48] with
daphnids forming a core body of this work. Empirical, evol-
utionary ecological research with daphnids is broad and has
revealed fascinating insight into plasticity in the life history
[49,50], behaviour [51,52], morphology [8,19,49] and costs of
plasticity [8,26,49,53–55]. Recent work as revealed detail
about G E in, and reaction norms of, morphological and
other defences [8,25,56]. Despite this breadth of work, no
evidence about the potential micro-evolution of morphological
reaction norms has been reported. Therefore, we explored
how a predator-induced, nonlinear, reaction norm of induced
morphological
defence
might
respond
evolutionarily
to
contrasting size-selective predation regimes. (d) The micro-evolution of a predator-induced plasticity
Table 4 and figure 3 highlight the predicted response to selec-
tion of the reaction norm of induced morphological defence. Figure 3a captures the response of each population reaction
norm assuming that only the reproduction component of the
selection gradient matters. Selection driven only by reproduc-
tion drives convergence of the environment-specific reaction
norms towards a maximum and sensitivity that is in between
that defined by a midge or a fish–midge environment. Our method, developed in the context of D. pulex ecology,
involved decomposing a nonlinear, predator-induced reaction
norm to three biologically relevant traits. This showed that it
is possible to analyse the micro-evolution of these nonlinear
reaction norms with well established, character-state tools. Our data provided a fine scale description of the reaction Figure 3b shows the result of applying a hypothetical
survival-only selection gradient to the components of the reac-
tion norm. Herewe see rather subtle, but theoretically expected Table 4. The response to selection (DZ) using composite selection gradients based upon different weighting of reproduction (bR) and survival (bS) selection. The multivariate response to selection is partitioned into trait-specific direct (through genetic variance), indirect (through genetic covariance) and total (using all
components of G) response in the fish and midge cue treatment. (b) Covariance matters As noted above, we found a biologically meaningful negative
correlation between maximum response and sensitivity to cue
that represents a potential evolutionary constraint. Were this
to be an accurate representation of the three traits in a larger
pool of populations, combining the selection gradients with
this G-matrix provides an interesting perspective on how evol-
ution might act on predator-induced plasticity. When the total
response of selection is decomposed to its direct and indirect
effect, the relevance of the genetic covariance became clear. The significant and highly negative genetic covariance between
maximum and threshold constrained the response of selection
in the two different predation scenarios. The relatively large
angle between b’s and DZ’s reinforced this view, because the
covariance resulted in a response to selection significantly
different from the direction of selection. They were similar
between
midge
(Bagshaw)
and
fish–midge
(Crabtree)
predation scenarios, reflecting the covariance pattern. 0
0.5
1.0
1.5
2.0
0
20
40
60
80
predation risk
neckteeth induction
(c)
DZ = GbR+ GbS Figure 3. Projected neckteeth reaction norm under midge and fish predation
scenarios considering the reproduction component of selection gradient (a),
the survival component of selection gradient (b) and the combined reproduc-
tion and survival selection gradient (c). Differences in magnitude and
orientation of linear selection gradient b and response to selection Dz. (Online version in colour.) Thus, the indirect response of selection seems to play a
crucial role in the total response of selection, driving similar
patterns of phenotypic response from different predation
scenarios [57]. If the patterns of multivariate genetic variation
we find is common, the constraint may represent an impor-
tant genetic pathway underpinning local adaptation in
daphnids facing multiple and variable regimes of predation
risk [10,26,51,58,59]. Our data suggest that the evolution of
midge-induced morphological plasticity is robust to the pres-
ence of an alternate, contrasting selection pressure that does
not induce the morphological change. (threshold/inflection) harbour significant genetic variation
(figure 1 and table 2). The data suggest that the midge popu-
lation harbours little variation in sensitivity and a fair amount
in the maximum induction while the fish–midge population
harbours larger variation in the sensitivity, and less in the
maximum. While sample sizes are low, these data provide
a template on which to explore hypotheses about micro-
evolutionary change in reaction norms. (a) Evolution of a reaction norm We began our assessment of micro-evolutionary change to a
nonlinear reaction norm with data showing that the maxi-
mum response (asymptote) and the sensitivity to the cue Our results formalize a hypothesis that selection on survival
and reproduction combine with covariance between the maxi-
mum morphological response to these cues (asymptote) and 0
0.5
1.0
1.5
2.0
0
20
40
60
80
neckteeth induction
midge reaction norm
midge–fish reaction norm
predicted response
predicted response
0
0.5
1.0
1.5
2.0
0
20
40
60
80
neckteeth induction
0
0.5
1.0
1.5
2.0
0
20
40
60
80
predation risk
neckteeth induction
DZ = GbR
(a)
(b)
(c)
DZ = GbS
DZ = GbR+ GbS
Figure 3. Projected neckteeth reaction norm under midge and fish predation
scenarios considering the reproduction component of selection gradient (a),
the survival component of selection gradient (b) and the combined reproduc-
tion and survival selection gradient (c). Differences in magnitude and
orientation of linear selection gradient b and response to selection Dz. (Online version in colour.) rspb.royalsocietypublishing.org
Proc. R. Soc. B 284: 201708
8 0
0.5
1.0
1.5
2.0
0
20
40
60
80
neckteeth induction
midge reaction norm
midge–fish reaction norm
predicted response
predicted response
DZ = GbR
(a)
(b)
DZ
Gb We considered several ways in which selection might act on
this genetic variation [41], combining empirical data on repro-
duction linked to variation in defence traits with size-selective
theory about patterns of survival linked to the same traits. Ourcomposite selection scenarios represent several weightings
of selection linked to survival and reproduction to which a
population may respond. This was combined in the multi-
variate breeders equation with the constraints explicit in the
G-matrix (figure 3). Our results reveal not only the potential
for substantially different response
to selection pattern
depending on the predation risk scenario, but also how
strong covariation between traits might constrain the response. 8 (a) 0
0.5
1.0
1.5
2.0
0
20
40
60
80
neckteeth induction
(b)
DZ = GbS Although our analysis is developed from data from only
two populations, we argue cautiously about the effect of
selection on population differentiation. However, previous
evidence about cost of plasticity [8] and differences in pheno-
typic trajectories [25] support this possibility in relation to
realistic patterns of the evolution of the reaction norm. 5. Conclusion Predation is a key selective agent in aquatic and terrestrial
communities. Seasonal and spatial variation in predation
risk has favoured the evolution of inducible defences, a
major example of phenotypic plasticity. The response of
traits to predation risk is rarely effectively characterized by
a linear reaction norm describing plasticity. Characterizing
genetic variation and covariation in a nonlinear relationship
is not trivial, but it is vital for understanding how agents of
natural selection such as predators drive the evolution of Competing interests. The authors declare no competing interest. Competing interests. The authors declare no competing interest. Funding. M.J.C. was funded by CONICYT, Chile; A.P.B. and S.R.D. by
NERC (NE/D012244/1) and M.I.L. by the Swedish Research Council
(2016-05195). Acknowledgements. We thank Leonardo Bacigalupe, Roberto Nespolo,
Mark Blows and several anonymous referees for constructive
suggestions and ideas that improved the manuscript. Acknowledgements. We thank Leonardo Bacigalupe, Roberto Nespolo,
Mark Blows and several anonymous referees for constructive
suggestions and ideas that improved the manuscript. (b) Covariance matters Data are available from Dryad: http://dx.doi.org/
10.5061/dryad.kr856 [72]. Data accessibility. Data are available from Dryad: http://dx.doi.org/
10.5061/dryad.kr856 [72]. Authors’ contributions. M.J.C. designed the study, carried out the exper-
iments,
conducted
the
statistical
analyses
and
drafted
the
manuscript. W.H. designed the study and carried out the exper-
iments. S.R.D. and M.I.L. aided the statistical analyses and drafted
the manuscript. A.P.B. designed the study, coordinated the analyses
and drafted the manuscript together with M.J.C. All authors gave
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1076. (doi:10.1111/j.1365-2656.2010.01703.x) 41. Stinchcombe JR, Agrawal AF, Hohenlohe PA, Arnold
SJ, Blows MW. 2008 Estimating nonlinear selection
gradients using quadratic regression coefficients:
double or nothing? Evolution 62, 2435–2440. (doi:10.1111/j.1558-5646.2008.00449.x) 71. Yoshida T, Jones LE, Ellner SP, Fussmann GF,
Hairston Jr NG. 2003 Rapid evolution drives
ecological dynamics in a predator–prey system. Nature 424, 303–306. (doi:10.1038/nature01767) 57. Kingsolver JG, Gomulkiewicz R, Carter PA. 2001
Variation, selection and evolution of function-valued
traits. Genetica 112–113, 87–104. (doi:10.1023/
A:1013323318612) 42. Blows MW, Brooks R. 2003 Measuring nonlinear
selection. Am. Nat. 162, 815–820. (doi:10.1086/
378905) 72. Carter MJ, Lind MI, Dennis SR, Hentley W, Beckerman
AP. 2017 Data from: Evolution of a predator-induced,
non-linear reaction norm. Dryad Digital Repository. (http://dx.doi.org/10.5061/dryad.kr856) 58. Boersma M, De Meester L, Spaak P. 1999
Environmental stress and local adaptation in
Daphnia magna. Limnol. Oceanogr. 44, 393–402. (doi:10.4319/lo.1999.44.2.0393) 43. Spitze K. 1991 Chaoborus predation and life-history
evolution in Daphnia pulex: temporal pattern of
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Different Presentation of Multiple Myeloma in Bone Marrow Aspiration
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Keywords: Multiple myeloma; Plasma cells; Bone marrow Keywords: Multiple myeloma; Plasma cells; Bone marrow Abstract Multiple myeloma (MM) is a malign hematologıc disorder characterized by malign proliferation of plasma cells. Bone marrow examination are necessary for diagnosis, management of disease and prognosis. There are many case
of literature related that amounts and morphology of cells in bone marrow biopsy and bone marrow aspiration have
an impact on survival, classification and critical management of disease. We presented a rare case of myeloma with
plasma cells clustered in the bone marrow aspiration. DOI: 10.26502/jcsct.5079011 DOI: 10.26502/jcsct.5079011 J Cancer Sci Clin Ther 2018; 2 (4): 089-091 Case Report Sevtap Karaman1*, Mehmet Ali Erkurt2, İrfan Kuku3, Emin Kaya4, Ayşe Nuransoy
Cengiz1, Hasan Esat Yildirim1 1İnönü üniversitesi Tıp Fakültesi İç Hastalıkları Anabilim Dalı, Malatya, Turkey
2İnönü üniversitesi Tıp Fakültesi İç Hastalıkları, Hematolojı Bilim Dalı, Malatya, Turkey *Corresponding Author: Dr. Sevtap Karaman, İnönü üniversitesi Tıp Fakültesi İç Hastalıkları Anabilim Dalı,
Malatya, Turkey, E-mail: drsevtapkaraman@gmail.com Received: 25 October 2018; Accepted: 09 November 2018; Published: 15 November 2018 2. Case Report A 60 years old male patient presented with dyspnea. In the detailed system inquiries, there are inappetence and 10
weight loss in 3 months. Physical examination revealed cachectic and pale appearance. Also bilateral lung basal
sounds decreased and pretibial edema was present in both legs. Bilateral pleural effusion, anemia and 4, 5 gr
proteinuria in the spot urine was detected. Samples were taken from the pleural effusion and evaluated as borderline
transudate and suspicious malign cytology. At the same time, echocardiography was planned and cardiac
amyloidosis image taken. Then with the clinical suspect of MM either, the immunofixation of the serum and 24 hour
urine were studied and or bone marrow aspiration and biopsy was planned. In the bone marrow aspiration was
interesting about its clustering plasma cells view. 1. Introduction Journal of Cancer Science and Clinical Therapeutics
89
Multiple myeloma (MM) is a plasma cells dyscrasia. There are also multiple myeloma varieties that do not produce
monoclonal immunoglobulins, although ıt is characterized by a proliferation of monoclonal immunoglobulin
producing plasma cells. It is more frequently seen in men between sixth and seventh decades of life. Disease occurs
in many ways such as persistent pain in bone, fewer, fatigue, renal dysfunction, hypercalcemia or rarely with
primary systemic amyloidosis. Osteolytic lesions osteopenia, and/or skeletal complications could be seen up to 80%
of patients because of the neoplastic plasma cells which proliferate in the bone marrow [1]. MM diagnose is often
suspected. Monoclonal protein in blood or urine important for diagnose. Bone pain or lytic lesions, although low
serum albumin level increased serum total protein, unexplained anemia, symptomatic or non-symptomatic
hypercalcemia or acute renal failure could be symptoms [2]. Amyloidosis is a rare disease which consist of primary,
secondary and famılıal amyloidosis. Primary systemic amyloidosis (AL amyloidosis) always associated with plasma
cell dyscrasia. Amyloid deposition localized multiple organs which contains like heart, kidneys, lung, tongue, 89 J Cancer Sci Clin Ther 2018; 2 (4): 089-091
DOI: 10.26502/jcsct.5079011
salıvary gland, skin, periartıcular tissue. Multiple myleoma is a common cause of amyloidosis. In this case, our
patient presented specific cardiac amyloidosis and proteinuria depended on renal involvement. J Cancer Sci Clin Ther 2018; 2 (4): 089-091 DOI: 10.26502/jcsct.5079011 DOI: 10.26502/jcsct.5079011 salıvary gland, skin, periartıcular tissue. Multiple myleoma is a common cause of amyloidosis. In this case, our
patient presented specific cardiac amyloidosis and proteinuria depended on renal involvement. salıvary gland, skin, periartıcular tissue. Multiple myleoma is a common cause of amyloidosis. In this case, our
patient presented specific cardiac amyloidosis and proteinuria depended on renal involvement. When clinical suspect occur, the most important step is prove the clonal bone marrow plasma cells ≥10 percent or
biopsy-proven bony or soft tissue plasmacytoma [3]. In the bone marrow aspiration, plasma cells can be seen in
mature, immature, anaplastic forms and in various morphological forms. Our patient was diagnosed with cardiac
amyloidosis while investigating the etiology of pleural effusion. Also suspected renal involvement in the patient
with proteinuria. In this report we present a case of different presentation of multiple myeloma. We underline
interesting, grouped plasma cells in bone marrow aspiration [Figure 1]. Figure 1: Clustered plasma cells in bone marrow aspiration. 1. Introduction Figure 1: Clustered plasma cells in bone marrow aspiration. Journal of Cancer Science and Clinical Therapeutics 3. Discussion Journal of Cancer Science and Clinical Therapeutics
90
The amount of plasma cells in the bone marrow in multiple myeloma ranges from 10% to 90%. The morphology of
these cells is also different. Plasma cells can be mature morphology or intermediate, immature or plasmablastic
variant. This is important for the stage and management of the disease. There are multiple cases of myeloma whıch
containing plasma cells showing several different morphologies such as Auer rod like inclusions [4],
intracytoplasmic pınk inclusions [5], spindle shaped cells. But there is no publication on clustered positioning of
plasma cells in multiple myeloma and the prognostıc value of this morphologic varıant is currently unclear. Unfortunately the patient of our case died one week after diagnosis. Therefore we could not monitor and treat the Journal of Cancer Science and Clinical Therapeutics
90 90 J Cancer Sci Clin Ther 2018; 2 (4): 089-091 DOI: 10.26502/jcsct.5079011 DOI: 10.26502/jcsct.5079011 patient and observe the response to treatment. In this report, we wanted to remind different forms of clinical
presentation of multiple myeloma and to draw attention to grouped plasma cells in bone marrow aspiration. patient and observe the response to treatment. In this report, we wanted to remind different forms of clinical
presentation of multiple myeloma and to draw attention to grouped plasma cells in bone marrow aspiration. Journal of Cancer Science and Clinical Therapeutics References 1. Sonmez M, Akagun T, Topbas M, et al. Effect of pathologic fractures on survival in multiple myeloma
patients: a case control study. J Exp Clin Cancer Res 27 (2008): 11. 2. Kariyawasan CC, Hughes DA, Jayatillake MM, et al. Multiple myeloma: causes and consequences of delay
in diagnosis. QJM 100 (2007): 635. 3. Rajkumar SV, Dimopoulos MA, Palumbo A, et al. International Myeloma Working Group updated criteria
for the diagnosis of multiple myeloma. Lancet Oncol 15 (2014): 538. 4. Hutter G, Nowak D, Blau IW, et al. Auer rod-like intracytoplasmic inclusions in multiple myeloma. A case
report and review of the literature. Int J Lab Hematol 31 (2009): 236-240. 5. Juan Zhang, Mingyong Li, Xianyong Jiang, et al. Large Pink Inclusions in Multiple Myeloma Cells. Journal of Blood Disorders, Symptoms and Treatments 2017. Citation: Sevtap Karaman, Mehmet Ali Erkurt, İrfan kuku, Emin Kaya, Ayse Nuransoy Cengiz, Hasan
Esat Yildirim. Different Presentation of Multiple Myeloma in Bone Marrow Aspiration. Journal of Cancer
Science and Clinical Therapeutics 2 (2018): 89-91. This article is an open access article distributed under the terms and conditions of the
Creative Commons Attribution (CC-BY) license 4.0 This article is an open access article distributed under the terms and conditions of the
Creative Commons Attribution (CC-BY) license 4.0 91 Journal of Cancer Science and Clinical Therapeutics
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Moderasi Beragama sebagai Pemersatu Bangsa serta Perannya dalam Perguruan Tinggi
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Abrahamic Religions
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MODERASI BERAGAMA SEBAGAI PEMERSATU BANGSA
SERTA PERANNYA DALAM PERGURUAN TINGGI M. Anzaikhan
1, Fitri Idani
2, Muliani
3
1. Institut Agama Islam Negeri Langsa
2. Universitas Islam Negeri Ar-Raniry Banda Aceh
3. Universitas Islam Negeri Ar-Raniry Banda Aceh
Correspondence: m.anzaikhan@iainlangsa.ac.id M. Anzaikhan
1, Fitri Idani
2, Muliani
3
1. Institut Agama Islam Negeri Langsa
2. Universitas Islam Negeri Ar-Raniry Banda Aceh
3. Universitas Islam Negeri Ar-Raniry Banda Aceh
Correspondence: m.anzaikhan@iainlangsa.ac.id M. Anzaikhan
1, Fitri Idani
2, Muliani
3
1. Institut Agama Islam Negeri Langsa
2. Universitas Islam Negeri Ar-Raniry Banda Aceh
3. Universitas Islam Negeri Ar-Raniry Banda Aceh
Correspondence: m.anzaikhan@iainlangsa.ac.id ABSTRACT Indonesia is a country that has a variety of ethnicities, cultures, and
religions. Judging from these diverse backgrounds, the motto of the
Indonesian state contained in the Garuda Pancasila is Bhineka Tunggal
Ika. There are different mottos, but this one cannot be separated from its
challenges. The challenge in question is the understanding that circulates
in the midst of people's lives, causing conflict. The seeds of these ideas
can emerge in the family, community, and college environment. In this
case, it is necessary to have a middle ground attitude to resolve various
differences and problems in society. The researcher uses a qualitative
approach method with a literature study. The results of the discussion in
this study are to know the definition, understanding of radicalism in the
state, forms of spreading radicalism, and moderation in Islam. The
researcher concludes that the challenges of a country's diversity can be
overcome by cultivating an attitude of moderation so that it can become a
unifying nation, especially in the university environment. Keyword: Religion, Moderation, Radicalism Info Publikasi:
Artikel Kajian Library
Research
Sitasi Cantuman:
M.Anzaikhan,
et
all. (2023). Moderasi
Beragama
Sebagai
Pemersatu Bangsa Serta
Perannya
Dalam
Perguruan
Tinggi. Abrahamic
Religions:
Jurnal
Studi
Agama-
Agama (ARJ), 3(1), 17-
34. DOI:
10.22373/arj.v3i1.16088
Hak Cipta © 2023. Dimiliki oleh Penulis,
dipublikasi oleh ARJ
Dikirim: Januari 2023
Direview: Februari 2023
Dipublikasi: Maret 2023 Dikirim: Januari 2023
Direview: Februari 2023
Dipublikasi: Maret 2023 Dikirim: Januari 2023
Direview: Februari 2023
Dipublikasi: Maret 2023 https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 17 E - ISSN: 2797-6440
P - ISSN : 2797-7722 Abrahamic Religions: Jurnal Studi Agama-Agama
Vol. 3, No. 1 Maret (2023) Abrahamic Religions: Jurnal Studi Agama-Agama
Vol. 3, No. 1 Maret (2023) ABSTRAK Indonesia merupakan negara yang memiliki aneka ragam suku, budaya, serta agama. Dilihat dari latar belakang yang beranekaragam tersebut sangat ideal jika semboyan negara
Indonesia yang terdapat pada garuda Pancasila yaitu Bhineka Tunggal Ika. Adanya
semboyan berbeda-beda tetapi tetap satu ini tidak lepas dari tantangannya. Tantangan
yang dimaksud seperti paham paham yang beredar di tengah-tengah kehidupan
masyarakat sehingga menimbulkan konflik. Bibit paham-paham itu dapat muncul dalam
lingkungan keluarga, masyarakat, serta perguruan tinggi. Dalam hal tersebut diperlukan
adanya sikap jalan tengah untuk menyelesaikan berbagai perbedaan dan masalah dalam
kalangan masyarakat. Peneliti menggunakan metode pendekatan kualitatif dengan studi
kepustakaan. Hasil dari pembahasan dalam penelitian ini adalah mengetahui tantangan
keberagaman Indonesia, pemahaman radikalisme dalam negara, bentuk penyebaran
radikalisme, serta moderasi dalam Islam. Peneliti menyimpulkan bahwa tantangan
keanekaragaman sebuah negara dapat diatasi dengan menumbuhkan sikap moderasi
sehingga dapat menjadikan pemersatu bangsa terutama dalam lingkungan perguruan
tinggi. Kata Kunci: Agama, Moderasi, Radikalisme 18 | M.Anzaikhan, et all: Moderasi Beragama Sebagai Pemersatu Bangsa Serta Perannya Dalam Perguruan Tinggi B. Metode Penelitian Artikel ini tergolong dalam penelitian pustaka dengan pendekatan kualitatif. Adapun metodologi yang digunakan adalah studi deskriptif analisis. Sumber rujukan yang
digunakan adalah referensi literasi seperti buku dan jurnal terkait moderasi beragama. Langkah yang dilakukan dalam proses studi kepustakaan yakni dengan mengumpulkan
sejumlah data yang berkaitan dengan persoalan moderasi beragama. Data inilah yang
nantinya dipakai dan disesuaikan untuk ditambahkan atau dicantumkan ke dalam
tulisannya. Sehingga data yang merupakan data yang valid atau data yang benar-benar bisa
dipertanggung jawabkan kebenarannya karena sesuai dengan referensi yang ada. ideologi negara yang sudah menjadi suatu kesepakatan besama. Tidak hanya itu, ada juga
yang dinamakan jihad agama untuk megkafirkan sesama. ideologi negara yang sudah menjadi suatu kesepakatan besama. Tidak hanya itu, ada juga
yang dinamakan jihad agama untuk megkafirkan sesama. Inilah yang terjadi di Indonesia, walaupun sudah ada Pancasila sebagai dasar
negara dan Bhineka Tunggal Ika sebagai motto negara, hal ini merupakan fakta yang
dihadapi. Oleh karena itu masyarakat Indonesia harus respontif, salah satunya adalah
dengan cara menumbuhkan sikap moderasi beragama. Artikel ini tergolong dalam
penelitian pustaka dengan pendekatan kualitatif. Adapun metodologi yang digunakan
adalah studi deskriptif analisis. Sumber rujukan yang digunakan adalah referensi literasi
seperti buku dan jurnal terkait moderasi beragama. A. Pendahuluan: Indonesia merupakan negara kepulauan yang berada di antara dua benua dan dua
Samudra. Terbentang dari Sabang sampai Merauke dengan berjajar pulau-pulau yang
memiliki budayanya masing- masing. Kondisi geografis tersebut membuat Indonesia
dikenal sebagai negara multikultur yaitu negara yang kaya akan keanekaragaman seperti
suku, agama, ras, antar golongan (Lestari, 2016) Sejalan dengan lambang negara
Indonesia Garuda Pancasila dengan semboyan Bhinneka Tunggal Ika tentunya menjadi
way of life masyarakat Indonesia untuk hidup berdampingan dalam perbedaan. Kekayaan etnis dan budaya yang variatif ini merupakan rahmat dari Tuhan yang
luar biasa. Meski begitu, dalam sebuah kebaikan selalu ada fenomena dan tantangan. Tantangan yang dimaksud seperti konflik yang sering terjadi di tengah-tengah kehidupan
bermasyarakat. Dilihat dari segi kepercayaan, ada 6 agama yang diakui oleh pemerintah
Indonesia. Namun, mayoritas masyarakat Indonesia beragama Islam. Agama lain yang di
akui oleh pemerintah Indonesia yaitu Kristen Protestan, Kristen Katolik, Hindu, Budha,
dan Konghuchu. Melaui keragaman agama ini, pemerintah Indonesia membebaskan
masyarakat untuk memeluk agama sesuai dengan keyakinan masing-masing. Senada
dengan sila pertama Pancasila yaitu Ketuhanan Yang Maha Esa mengajarkan masyarakat
untuk memiliki sikap toleransi antar umat beragama dan tidak memaksa seseorang untuk
memeluk agama tertentu. Adanya sila pertama Pancasila bukan berarti masyarakat Indonesia selalu hidup
rukun dengan azas toleransi. Sikap toleransi ini tidak sepenuhnya dijalankan oleh semua
masyarakat Indonesia, karena ada juga masyarakat yang memiliki cara pandang tersendiri
tentang masalah agama. Ada yang ingin membangun tempat ibadah dengan mengikuti
persyaratan dan ketentuan tertentu namun dikarenakan mayoritas agama di daerah
setempat tidak setuju, terjadilah konflik. Ada yang menolak pemimpin dikarenakan
berbeda agama. Kemudian ada juga yang mengatas nama kan agama untuk menggantika https://jurnal.ar-raniry.ac.id/index.php/abrahamic C. Islam Moderat Moderat dilihat dari sudut tertentu memiliki dua penafsiran yaitu tidak bersifat
ektrim dan memilih jalan tengah yang tidak merugikan kedua belah pihak (Kamisa,
1997). Islam moderat merupakan Islam yang di dalamnya terintegrasi nilai-nilai ketaatan
kepada Allah, cinta perdamain serta menjunjung tinggi rasa keamanan (Syu‘aibi, 2010). Islam moderat umumnya dikatakan antonim dari Islam radikal yakni golongan Islam yang
keras dan anti toleran dan dapat merusak keberagaman umat. Oleh karena Islam yang
ektrim telah membuat sebuah citra tidak nyaman bagi golongan tertentu maka
dipopulerkanlah istilah muslim moderat yang diistilahkan Islam moderat sebagai solusi. Harapannya, agar citra Islam di mata dunia tidak dilabelkan radikal, teroris, dan
sejenisnya. Moderat berasal dari kata moderare yang memiliki makna mengurangi atau
mengontrol (Faiqah & Pransiska, 2018). Selanjutnya, Islam moderat diproyeksikan
sebagai solusi agar umat Islam dapat bersikap atau berperilaku tidak ekstrem dengan
mengedepankan jalan tengah. Tengah disini tentu bersifat majas, intinya dapat bersikap
adil serta seimbang yang kerap populer dinamakan Islam Wasathiyah. Penulis sendiri
memaknai wasathiyah, tidak sebatas kaku pada sesuatu yang berada ‘di pertengahan’. Seperti jenjang pendidikan misalnya, antara S1 dan S3 dimensi tengahnya adalah S2,
namun S2 bukanlah yang terbaik dalam orientasi pendidikan. Wasathiyah atau yang populernya disebut jalan tengah (moderat), merupakan
keunikan yang ada dalam ajaran Islam sebagai agama rahmatan lil alamin. Konsep ini
menebarkan nilai-nilai solutif dimana dalam berdakwah (menyebarkan ajaran Islam) https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 19 Abrahamic Religions: Jurnal Studi Agama-Agama
Vol. 3, No. 1 Maret (2023)
E - ISSN: 2797-6440
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P - ISSN : 2797-7722 Abrahamic Religions: Jurnal Studi Agama-Agama
Vol. 3, No. 1 Maret (2023) dilakukan dengan santun, toleran, dan tidak memaksakan (Nur & Lubis, 2015). Toleransi pada hakikatnya adalah kesediaan diri untuk menjaga perasaan terhadap
perilaku orang lain. Orang yang memiliki sikap toleransi yang tinggi akan lebih mudah
memaafkan orang lain. Dalam kehidupan bermasyarakat toleransi sering dimaknai
dengan sikap tenggang rasa. Hal itu karena toleransi dan tenggang rasa sama sama
memiliki arti menghormati antara satu kelompok terhadap kelompok lain. Sepintas sama, akan tetapi dalam dalam mengimplementasikan dalam kehidupan
sehari-hari memiliki perbedaan. Sikap toleransi merupakan cara menjaga perasaan
seseorang terhadap perbuatan orang lain. Orang yang tidak memiliki sikap toleransi biasa
disebut fanatik. Sedangkan tenggang rasa merupakan cara menjaga perasaan orang lain
terhadap perbuatan seseorang. Orang yang tidak memiliki sikap tenggang rasa disebut
sebagai sikap ignorance (Hannan, 2018). 20 | M.Anzaikhan, et all: Moderasi Beragama Sebagai Pemersatu Bangsa Serta Perannya Dalam Perguruan Tinggi C. Islam Moderat Oleh karena itu, sikap toleransi dan sikap
tenggang rasa memiliki makna yang berbeda sebagaimana penerapannya dalam Islam
yang multikultur. Islam multikultur adalah kesiapan dalam diri seseorang untuk menerima segala
seuatu yang ada dalam diri orang lain secara sama, tanpa memperhatikan perbedaan
(Mujiburrahman, 2013). Islam amat sering diartikan sebagai tunggal bukan multikultur. Padahal, di Indonesia Islam multikultur sangat melekat dari segi lokal maupun
sejarahnya. Pada khazanah keindonesiaan, terbagi manjadi Islam tradisional dan Islam
modern. Adapun dari aspek historis, Islam hadir di Indonesia tidak terlepas dari catatan
sejarah khususnya perjalanan masuknya Islam ke Nusantara. Selanjutnya, multikulturalisme sangat bermanfaat bagi umat manusia untuk
mencapai sebuah kehidupan yang damai. Seiring berjalannya waktu, hal itu tercemarkan
oleh orang-orang yang memiliki sikap intoleran, bahkan radikalisme. Hal tersebut dapat
diatasi apabila seseorang dapat menjadikan iman serta ketaqwaan yang beraktualisasi
sebagai realitas kehidupan berbangsa dan bernegara. Dengan demikian dapat dinyatakan
bahwa Islam moderat dan Islam multikultur merupakan sikap yang mencari jalan tengah. Sebuah sikap keberagaman yang tidak menyetujui adanya cara kekerasan dalam
memperjuangkan cita-cita Islam. Sebaliknya justeru lebih memilih cara menghargai
perbedaan dengan memandang Islam sebagai agama pembawa rahmat dan keselamatan. dari mereka memandang remeh penganut agama lain, sampai menjelek-jelekkan
penganut agama lain. Padahal, setiap pemeluk agama mempunyai keyakinan (truth claim)
bahwasanya agama yang mereka anut mempunyai kebenaran dan membawa keselamatan. Memiliki kesadaran akan realitas ini adalah bagian penting dalam menyelami pentingnya
tolerasi dalam beragama. Begitu juga, setiap agama memiliki pemahaman yang berbeda, adalah karakteristik
dari agama masing masing. Perbedaan dapat dijadikan sebagai anugrah, namun dapat juga
menjadi permasalahan. Bisa menjadi anugrah bagi banyak orang jika dapat memahami
mengelolanya dengan baik dan dapat menambah makna dalam kehidupan. Sebaliknya,
dapat menjadi permasalahan bila tidak mau memahami perbedaan yang ada dan tidak
mau untuk bertoleransi. Seseorang yang memiliki sikap keberagaman khusus yang mau
mengakui pembenaran suatu pihak, namun dapat menyebabkan perselisihan antar
agama. Permasalahan yang muncul di Indonesia sering kali berangkat dari keberagaman,
baik yang sifatnya sepele maupun riskan. Padahal, agama adalah kedamaian, penyejuk,
menjadi harapan dari kebahagian, namun masih saja ada yang menjadikan agama sebagai
motif perselisihan dengan cara pandang yang keliru. Berdasarkan pernyataan ini untuk
membangun sebuah kerukunan bukan hal yang mudah, membutuhkan kebijak sanaan
dan trategi yang lebih, dan membutuhkan pendekatan yang terstruktur, baik bersifat
teologis maupun sosiologis. Modal sosial menjadi pokok utama yang dibutuhkan dalam membangun
kerukunan antara masyarakat. Para ahli menyatakan kondisi damai dalam masyarakat
dapat tercipta dan dibantu dengan adanya modal sosial. Beberapa pendapat mengatakan
semakin erat hubungan sosial antara sesama masyarakat akan kecil peluang terjadinya
tindakan kekerasan. Modal sosial yang paling penting merupakan hubungan keterlibatan
antara sesama masyarakat sehingga menumbuhkan sikap saling mempercayai satu sama
lain, jika semakin erat hubugan antar sesama masyarakat maka kemungkinan untuk
bekerja sama akan semakin luas dan mencapai tujuan yang diharapkan akan terbuka
lebar. Selanjutnya, dapat menurunkan potensi kerusuhan di kalangan masyarakat. Hubungan tersebut termasuk hubungan formal dan hubungan informal. Asosiasi
merupakan salah satu bentuk hubungan formal, hubungan informal yaitu seperti saling
silaturahmi, makan-makan bersama, menyapa dijalan, kumpu-kumpul bersama dan
sebagainya. Jika semakin terjalin hubungan kekeluargaan dalam masyaraat, semakin
mudah untuk menjadi sebuah modal dalam menciptakan situasi sosial yang damai. Hubungan antara kelompok warga yang saling berpartisipasi dan bekerjasama dapat
mencegah kerusuhan. Hubungan formal yang terjalin di pedesaan mungkin mampu
untuk menjaga korelasi di pedesaan namun hal tersebut tidak berlaku di kehidupan kota. Kota besar sangat membutuhkan hubungan kekeluargaan formal agar menghargai
keberagama antar etnis yang ada sehingga dapat terciptanya hubungan yang damai. D. Moderasi dalam Agama-Agama Realita Indonesia sendiri didominasi oleh macam macam agama, selanjutnya
setiap agama memiliki pengikutnya masing-masing. Kemudian ada yang membuat
komunitas masing-masing yang berdasarkan agama yang dianutnya. Faktor sosial dan
budaya dapat memperlihatkan bagaimana suasana keberagaman agama di Indonesia. Begitu pula pendidikannya, setiap agama memiliki tingkatan pendidikan yang berbeda,
kesenjangan itu mempengaruhi dimensi ekonomi sehingga adanya kelas-kelas dalam
masyarakat. Belum lagi adanya budaya yang variatif, menjadikan moderasi beragama
adalah sebuah kebijakan ideal meskipun ke depan diformulasikan dengan nama yang
berbeda. Indonesia memiliki macam agama-agama, dalam prakteknya ada yang merasa
canggung ketika berhadapan dengan orang-orang yang berbeda keyakinan. Kebanyakan https://jurnal.ar-raniry.ac.id/index.php/abrahamic Permasalahan umum terjadi karena kurangnya kearifan dalam golongan
masyarakat dan tipisnya sudut publik, ikatan warga dapat lemah dari dua hal tersebut. Penyebab lain dari melemahnya ikatan antara warga adalah faktor historis, politik, https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 21 Abrahamic Religions: Jurnal Studi Agama-Agama
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P - ISSN : 2797-7722 ekonomi, dan budaya, hal ini dapat menimbulkan permasalahan atara masyarakat yang
bergeser dari pertegangan individu ke permasalahan umum, permasalahan etnis dan
agama pun ikut dijurumuskan karena hal tersebut. ekonomi, dan budaya, hal ini dapat menimbulkan permasalahan atara masyarakat yang
bergeser dari pertegangan individu ke permasalahan umum, permasalahan etnis dan
agama pun ikut dijurumuskan karena hal tersebut. Harmonis sosial dapat terwujud dari hubungan yang baik antara penganut
beragama terutama dalam masyarakat. Cerita atau pencumplikan dari masyarakat tidak
dapat dijadikan sebagai usaha untuk meningkatkan perdamaian antara masyarakat
beragama, akan etapi diperlukan keterlibatan yang aktif, ialah mengethui adanya agama
lain dan haknya namun bukan itu saja yang ditentukan oleh pemeluk agama, akan tetapi
di tuntut untuk saling memahami perbedaan yang dilakukan dengan cara interaksi sosial. Selanjutnya, menegakkan bhineka tungal ika seperti yang diharapkan. Berbagai agama
yang masuk di Indonesia dan diterima dalam kalangan masyarakat, hal tersebut
merupakan sejarah yang pernah dilewati Indonesia padahal pada saat itu sebagian
masyarakat sudah memiliki agama. Sejarah yang paling lama mengatakan bahwa mereka tetab berinteraksi, interaksi
tersebut tidak menimbulkan permasalahan diantar mereka. Sikap tersebut dapat
tercerminkan karena adanya sifat toleran yang tinggi diantara mereka. Maka dari situlah
mereka dapat hidup saling melengkapi dan menerima perbedaan. Sifat moderat yang
menjadi pegangan agama mereka masing-masing sehingga mereka dapat menjalankan
hidup secara berdampingan. Agama lain juga ciptaan Tuhan yang patut di lindungi dan
dihargai ini merupakan sudut pandang kelompok dari moderat. Kelompok moderat
berpandangan bahwa keaneka ragaman ialah sunatullah, harmonis sosial-sosial dapat
terimplementasikan dengan mengedepankan sifat toleransi dan saling menghargai
(Kementrian Agama RI, 2019). 22 | M.Anzaikhan, et all: Moderasi Beragama Sebagai Pemersatu Bangsa Serta Perannya Dalam Perguruan Tinggi Maka muncullah pernyataan yang mengatakan bahwa apapun yang tidah
bersesuain dengan aqidah ialah berlawanan dari ajaran Islam, kelompok yang mengatakan
hal seperti itu dikenal dengan istilah takfiri (pengkafiran). Kelompok tersebut
menyebarkan agama Islam dengan cara yang berlawanan dari metode dakwah yang
diterapkan oleh ulama. Gerakan seperti ini sudah muncul di negara Indonesia. Penyebab
utama hadirnya gerakan semacam ini adalah sikap protes mereka tentang penolakan
ideologi dan politik yang tidak sesuai dengan paham ajaran Islam yang mereka anut. (Muna, 2020) Sehingga muncullah aksi terror meneror. Seperti munculnya bom bunuh
diri, mencelakai banyak orang dengan topeng agama. Aksi radikalisme yang terjadi pada negara Indonesia merupakan sesuatu yang
mengharapkan dapat mengubah mutu yang sudah menjadi kebiasaan masyarakat dengan
sepenuhnya dengan melakukan suatu tindakan ekstrim. Saat ini terorisme sasarannya
perlahan lahan sudah mulai mengalami penyusutan dikarenakan aparat kepolisian dan
fasilitas negara yang kurang (Mohan & Hakim, 2022). Bom bunuh diri bukan merupakan
salah satu aksi teror, selain itu hal lain seperti melakukan penganiayaan pada sekelompok
agama lain adalah bentuk radikalisme secara soft action. Tidak hanya itu, akibat pesatnya
perkembangan teknologi, radikalisme berubah pada muatan yang berbeda yaitu hoaks
dan ujaran kebencian terhadap penganut agama berbeda. Bila merujuk pada rentetan sejarah Indonesia, kasus penolakan pembangunan
greja juga sering terjadi. Seperti kejadian di Banten dan Jawa Barat, pada saat itu
masyarakat Islam memberi respos yang buruk sebagi bentuk penolakan dibangunya greja
dilingkungan setempat, karena kebanyakanpenduduk di wilayah tersebut adalah Muslim
sehingga mereka merasa tergangu jika ada greja di lingkungan tersebut (Siahaan, 2017). Negara Indonesia memiliki dominasi Muslim, realitas itu kerap menjadi alasan untuk
non-Muslim terdiskreditkan. Setelah di telusuri, penyebab terjadinya pemberontakan
yang utama adalah masyarakat yang mayoritas Islam merasa terganggu dengan kehadiran
eksistensi agama lain. Maka dari itu, agama-agama minoritas sering kali tidak diterima oleh masyarakat
apalagi jika sudah menyangkut pembangunan tempat ibadah. Selanjutnya, agama
minoritas harus mengakui kekuatan masyarakat yang mayoritas. Penduduk Islam
Indonesia memiliki tantangan yang sangat kuat berdasarkan dari pernyataan diatas,apalagi
mengenai kebebasan dan toleran (Winarti, 2017). Pada saat gelora politik di dunia
pluralisme Indonesia mendapat ujian dengan negara yang menganut sistem demokrasi,
semua warganegara dapat untuk menentukan sikap dam memiliki kebebasan atas hak
tersebut yang bersifat sosial maupun ekonomi dan politik kebersatuan bangsa dan
pemersatuan merupakan dampak dari hal tersebut. Kerenggangan yang terjadi antara
perbedaan agama dapat memengaruhi ketentraman sosial. E. Tantangan Moderasi di Indonesia Indonesia mempunyai banyak budaya dan adat istiadat yang memiliki ciri khas
masing-masing. Hubungan yang telah terjalin menjadi kunci dari dinamika kehidupan
sosial yang sudah melekat. Realitas yang terjadi di kehidupan masyarakat adalah mereka
saling berinteraksi antar agama, mulai dari tingkatan bertetangga satu komplek sampai
tingkat nasional (Fuad, 2020). Kenyataan tersebut menunjukkan bahwa kebijaksanaan
yang ada pada masyarakat Indonesia mepunyai suatu tujuan yang sama, yaitu dapat
memberi manfaat satu sama lain dan untuk menciptakan kehidupan sosial yang
bersamaan. Akan tetapi tidak sedikit muncul paham-paham yang bertentangan dengan hal
tersebut. Saat ini sudah muncul pandangan pandangan subjektif yang berasal dari
sekelompok agama Islam sendiri yang menfonis bahwa aqidah ummat Islam di Indonesia
sudah melampaui batasan (Fathurrochman & Muslim, 2021). Hal tesebut merupakan
suatu fenomina sosial yang pada kenyataannya banyak yang bernggapan bahwa ajaran
agama Islam di Indonesia sudah dipengaruhi oleh budaya lokal yang dikenal dengan
sebutan bid`ah, bukan hannya ummat Islam yang mendapat pernyataan seperti iti akan
tetapi agama yang lain juga mendapat hal yang sama. https://jurnal.ar-raniry.ac.id/index.php/abrahamic | F. Hakikat Radikalisme Kata Radikal dapat di artikan amat keras, hal politik, dan sempurna. Sedangkan
Radikalisme terdapat beberapa definisi Suatu paham yang bersifat radikal dalam politis. Radikalisme juga diartikan sebagai paham yang menginginkan perubahan atau https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 23 Abrahamic Religions: Jurnal Studi Agama-Agama
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Vol. 3, No. 1 Maret (2023) pembaharuan sosial dan politik dengan cara kekerasan. Selain itu radikalime juga dapat
diartikan sebagai sebuah sikap yang ekstrem disuatu aliran politik. (Kamisa, 1997). Dalam
kehidupan bermasyarakat terdapat beberapa kesalahpahaman dalam memahami makna
kata radikal. Hal itu yang menyebabkan terdapat berbagai macam hal dalam memaknai
kata radikalisme. Dalam Kamus Besar Bahasa Indonesia kata radikal memiliki arti yang bermakna
positif dan bermakna negatif. Radikalisme dalam makna positif merupakan sebuah upaya
dalam mencari jalan penyelesaian dengan benar secara dalam serta mendasar hingga ke
akar-akarnya. Sedangkan radikalisme dalam makna negatif merupakan sebuah paham
yang menginginkan adanya perubahan dengan cara kekerasan. Dengan begitu dapat
disimpulkan bahwa radikalisme dapat bermakna positif maupun negatif. Radikalisme yang bermakna negatif dapat dilihat pada seseorang yang memiliki
sikap intoleran. Intoleran merupakan sebuah sikap yang tidak mau menghargai pendapat
dan keyakinan orang lain. Sikap ini dikenal dengan kebalikan dari sikap toleransi. Selain
itu ada juga fanatik. Sebuah sikap dimana kelompoknya merasa paling benar serta
menganggap kelompok lain salah (Muthohirin, 2015). Kelompok yang terbiasa
membedakan diri dari umat Islam lainya, dan menggunakan cara kekerasan untuk
mencapai tujuan tertentu. Hal tersebut merupakan ciri-ciri kelompok yang memiliki
paham radikal. Jika paham radikalisme sudah berkembang lebih lanjut akan mendorong seorang
untuk berperilaku teroris. Terorisme ini tidak semata-mata terjadi begitu saja. Tetapi
dengan adanya paham radikalisme yang mengubah jalan pikiran mereka. Biasanya diawali
dengan sikap tidak menghargai perbedaan sampai ke sikap dimana mulai menyalahkan
orang lain (Rijal, 2016). Dapat dikatakan bahwa paham radikalisme merupakan awalan
dari terorisme yang bertujuan untuk mengubah sesuatu yang sudah lama menjadi
kesepakatan bersama dengan tindakan dan aksi kekerasan. Jika ingin menangkal paham
radialisme sehingga dapat berjalan dengan baik maka yang harus di tangani terlebih
dahulu yaitu sikap intoleran nya. Jika sikap intoleran nya sudah berkurang maka
radikalisme dan terorisme bisa di tanganin sejak dini. 24 | M.Anzaikhan, et all: Moderasi Beragama Sebagai Pemersatu Bangsa Serta Perannya Dalam Perguruan Tinggi maupun politik dengan cara menggunakan kekerasan. Sikap seperti itu bisa terdapat pada
agama manapun. Namun karena mayoritas masyarakat Indonesia memeluk agama Islam
maka radikalisme yang paling intens terjadi adalah dari kelompok mazhab keislaman. Radikalisme ini biasanya memiliki visi berupa ingin menggantikan dasar dan ideologi
negara dengan mengutamakan syariat-syariat Islam. Tidak hanya itu, kalangan ini berfikir
sempit, ekslusif dan cenderung main hakim sendiri. Menjadikan motif beragama sebagai
panggilan jihad sehingga tanpa ragu berbuat sesuatu yang menghilangkan nyawa pihak
lain. maupun politik dengan cara menggunakan kekerasan. Sikap seperti itu bisa terdapat pada
agama manapun. Namun karena mayoritas masyarakat Indonesia memeluk agama Islam
maka radikalisme yang paling intens terjadi adalah dari kelompok mazhab keislaman. Radikalisme ini biasanya memiliki visi berupa ingin menggantikan dasar dan ideologi
negara dengan mengutamakan syariat-syariat Islam. Tidak hanya itu, kalangan ini berfikir
sempit, ekslusif dan cenderung main hakim sendiri. Menjadikan motif beragama sebagai
panggilan jihad sehingga tanpa ragu berbuat sesuatu yang menghilangkan nyawa pihak
lain. Sikap radikal sering muncul dikalangan umat beragama Islam karena mayoritas
agama Indonesia merupakan agama Islam. Akan tetapi tidak menutup kemungkinan
bahwa dalam tempat ibadah agama lainya juga ada pandangan ekstrem yang tidak
memiliki sikap toleransi terhadap keyakinan yang lain (Azra, 2019). Oleh karena itu
sebagai masyarakat Indonesia harus bisa mengetahui bagaimana orang-orang yang
terjangkit dengan paham radikal agar tidak sembarangan dalam menilai seseorang atau
kelompok yang memiliki sikap paham radikal. Umumnya, kelompok radikal memiliki beberapa tahapan untuk menyebarkan
sebuah paham. Salah satunya melalui gerakan dakwah. Dakwah sangat mudah dalam
mengembangkan paham radikal seperti menumbuhkan sikap tidak menghargai
perbedaan, membidah orang yang tidak memiliki keyakinan agama yang sama, serta
mudah mengkafirkan orang-orang yang tidak sependapat dengan kelompoknya. Hal
tersebut merupakan tahapan awal dalam menanamkan sikap radikal. Apabila hal itu
terjadi dalam kurun waktu yang lama maka dapat membuat negara Indonesia yang
memiliki keberagamaan ini memiliki sikap intoleran. Dengan begitu bukan berarti
Gerakan dakwah itu bersifat radikal. Hanya saja kelompok-kelompok radikal
menyebarkan pahamnya melalui jalur dakwah (Lukman, 2019). Gerakan kelompok radikal ada juga yang melalui gerakan politik. Gerakan politik
ini ingin mengubah dan menggantikan ideologi negara dengan mnegakkan agama Islam. kelompok ini menolak sistem demokrasi yang sudah menjadi kesepakatan bersama,
mengatakan dasar negara itu salah, dan harus digantikan dengan Negara Kesatuan
Republik Indonesia Bersyariah. Tidak hanya itu, tindakan radikal ada juga yang melalui
kelompok teroris. Kelompok ini melakukan tindakan kekerasan dengan membunuh
orang lain yang berbeda agama. Mereka meyakini bahwa yang mereka lakukan itu
dinamakan jihad suci (Diyani, 2019). Dalam prakteknya gerakan kelompok radikal ini
bisa saja gabungan dari ketiga ciri-ciri diatas: mengkafirkan orang lain, ingin menggantikan
dasar negara dan melakukan kekerasan yang mengatasnamakan jihad suci ini merupakan
tindakan radikalisme yang sangat berbahaya bagi masyarakat Indonesia yang memiliki
keanekaragaman, sehingga dapat mengakibatkan perecahan antar masyarakat. G. Pemahaman Radikalisme dalam Negara Sebagai negara yang memiliki keanekaragaman, Indonesia tidak hanya menganut
satu agama, tetapi ada 6 agama legal sehingga di haruskan untuk saling hidup
berdampingan. Hal tersebut menunjukkan pentingnya toleransi yang dalam skema Islam
Wasathiyah dikenal dengan istilah thasamuh. Pada konteks keindonesiaan, implementasi
thasamuh termaktu dalam esensi nilai Pancasila terutama sila ke 1 yang berlambangkan
bintang. Meskipun muatan toleransi terpatrikkan dalam ideology negara, praktek di
lapangan masih banyak temuan sikap dan perbuatan masyarakat yang tidak menerima
perbedaan satu sama lain. Seringkali muncul kesenjangan yang menyebabkan konflik,
yang pada akhirnya dapat berujung dengan tindakan-tindakan radikalisme. Tindakan radikalisme seringkali didapatkan dalam agama tertentu. Radikalisme
merupakan suatu pandangan atau aliran yang ingin melakukan perubahan pada sosial https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 2 H. Esensi Radikalisme di Aceh Aceh merupakan suatu provinsi yang terletak di paling barat pulau sumatera
negara Indonesia. Disini lah daerah pertama yang menerima kedatangan agama Islam
tepatnya di kerajaan Samudra Pasai, Peureulak, Kabupaten Aceh Timur(Bahri, 2012). https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 2 | 25 Abrahamic Religions: Jurnal Studi Agama-Agama
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Vol. 3, No. 1 Maret (2023) Oleh karena itu, sampai saat ini Aceh dikenal sebagai pelaksanaan syari’ah Islam. Namun, pelaksaan syari’ah ini tidak sepenuhnya dijalankan seperti apa yang di harapkan. Konflik yang pernah terjadi di Aceh yaitu Gerakan Aceh Merdeka ini salah satunya
disebabkan oleh perbedaan pendapat tentang hukum Islam. Hal ini mengakibatkan
mereka melakukan gerakan separatisme bersenjata agar Aceh lepas dari Negara Kesatuan
Republik Indonesia. Dalam kurun waktu yang lama, Aceh sudah berada dalam fase yang aman. Gerakan Aceh Merdeka berdamai dengan Pemrintah Indonesia disebabkan adanya
perjanjian Helsinki ditahun 2005. Februari 2010 masyarakat Aceh dikejutkan dengan
berita penangkapan sejumlah orang yang diduga teroris(Bah, 2011). Tidak sedikit
masyarakat yang tidak percaya dengan hal tersebut. Masyarakat Aceh menganggap itu
adalah rekayasa yang ingin menjelek-jelekkan tanah rencong saja. Media-media elektronik
sering menampilkan teroris Aceh, namun ternyata nama-nama yang terlibat tidak
bertradisi Aceh, dan tidak dapat berbahasa Aceh, hanya saja oknum tersebut mengku
berasal dari Aceh. Aceh dikenal sebagai pusat penyebaran Islam pertama di Nusantara. Hal ini
direpresentasikan dengan adanya dayah yang berkembang di Aceh. Dayah merupakan
Lembaga Pendidikan tua yang tidak ada pelajaran seperti Lembaga Pendidikan umum,
hanya mengaji kitab saja. Hal itu disebut juga sebagai Dayah Salafi (Marhamah, 2018). Perkembangan dayah-dayah yang ada di Aceh telah melahirkan para lulusan terbaik dari
segi keagamaan yang tersebar tengah-tengah kehidupan masyarakat yang dikenal sebagai
ulama dayah. Akan tetapi, satu persatu masalah menghampiri para ulama dayah salah
satunya tuduhan radikalisme yaitu konflik antara kelompok Ahlisunah Waljamaa’h dan
kalangan yang diklaim Salafi Wahabi. Kelompok Aswaja merupakan sekelompok pemikiran Islam dayah, sedangkan
Salafi Wahabi merupakan kelompok golongan yang memahami ilmu-ilmu keislaman dari
Timur Tengah. Kelompok ini mengupayakan agar ilmu-ilmu keislaman tersebut padu
dengan ilmu pengetahuan modern. Kelompok Salafi Wahabi merasa bahwa
pemahamannya berasal dari islam yang sebenar-benarnya. Dengan begitu, kelompok ini
menganggap umat Islam yang berbeda pendapat dengannya sebagai orang yang belum
memiliki keautentikkan tauhid. 26 | M.Anzaikhan, et all: Moderasi Beragama Sebagai Pemersatu Bangsa Serta Perannya Dalam Perguruan Tinggi pertama dan ketiga. Meskipun, pada konteks ke tiga muatannya masih bermain di bawah
tanah. I.
Bentuk Penyebaran Radikalisme Penyebaran paham-paham radikal berawal dari penyeludupan ke Lembaga-
lembaga sekolah serta Lembaga dayah secara langsung. Hari demi hari perkembangan
teknologi pun tidak bisa dipungkiri, kelompok tersebut memanfaatkan perkembangan
teknologi sebagai penyebaran paham radikal seperti melalui teknologi internet, sosial
media, serta layanan pesan singkat (Muslimin & Fikro, 2021). Penyebaran paham itu
umumnya memiliki jaringan khusus yang bertujuan untuk menanamkan ideologi agar
dapat memiliki paham yang sama. Seorang penyampai ideologi memaparkan paham-
paham radikal secara bertahap. Kemudian penyampai ideologi memperkenalkan jaringan-jaringan sosial yang
mendukung untuk melakukan perubahan serta memberikan alat sarana untuk serangan
terorisme seperti bom bunuh diri seiring dengan mengiming-imingkan kenikmatan
berupa surga di hari akhir nanti. Penyebaran ideologi secara tidak langsung
memanfaatkan perkembangan teknologi lebih efektif dalam meraih suatu dukungan
(Hadziq, 2019). Kelompok paham radikal juga menggunakan media cetak yang dikemas
semenarik mungkin serta informasi yang menyentuh emosi agar mendorong untuk terus
berfikir dalam paham radikal. Pada umumnya, penyebaran ide-ide paham radikal ada yang dilakukan melaui
sarana pengajian, dan pertemuan keagamaan. Tidak semua pengajian ini menganut
paham radikal. Namun, ada sebagian pengajian yang menyisipkan paham-paham radikal
tanpa di sadari. Penyebaran paham radikal juga dapat melalui media elektronik, seperti
televisi, film, serta pamphlet yang berisi paham radikal. Kemudian media online seperti
fecebook, Instagram, whatsapp, serta beberapa media sosial lain nya juga dimanfaatkan
untuk menyebarkan ide-ide radikal (Mohan & Hakim, 2022). Aksi kemanusiaan seperti
demonstrasi juga bisa digunakan sebagai alat untuk menyebarkan ide-ide radikal. Dukungan terhadap suatu kelompok dapat digunakan untuk membenci kelompok lain. Hal ini biasanya menyebarkan kebencian dengan sengaja. Selain itu, pendidikan juga bisa
berperan aktif dalam menyebarkan paham-paham radikal. Biasanya melalui pandangan
guru yang memiliki paham radikal, kegiatan ekstrakurikuler, serta melalui kurikulum. H. Esensi Radikalisme di Aceh Para ulama dayah Aceh menginginkan agar langkah-
langkah Salafi Wahabi mesti dihapuskan dari tanah rencong ini karena dikhawatirkan
dapat mengkafirkan sesama Islam yang mengakibatkan pada tindakan radikalisme. Hal
tersebut merupakan salah satu peristiwa konflik antara kelompok Aswaja dan Salafi
Wahabi yang menunjukkan pertantangan pendapat (Yunanda, 2019). Apa yang terjadi di atas memang bukanlah gesekan yang secara jelas memuat bilai
radikal dan terorisme, meski begitu esensi radikal bermain di dalamnya dalam konteks
intoleran. Sebagaimana dipahami, kerukunan dalam bingkai keindonesiaan terbagi
menjadi tiga dimensi; Kerukunan antara sesama agama (mazhab yang berbeda),
kerukunan antara agama yang berbeda, dan kerukunan antara konsep beragama dan
ideologi negara. Kasus di Aceh secara tersirat adalah bentuk intoleran dalam konteks https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 27 Abrahamic Religions: Jurnal Studi Agama-Agama
Vol. 3, No. 1 Maret (2023) Abrahamic Religions: Jurnal Studi Agama-Agama
Vol. 3, No. 1 Maret (2023) Kemudian penyampaian pendapat yang bermuat ujaran kebencian terhadap
ideologi negara, UUD 1945, Bhineka Tunggal Ika, serta NKRI melalui media sosial. Menyelenggarakan kegiatan yang bertujuan untuk menghina ideologi negara,
memprovokasi serta membenci sistem pemerintahan NKRI. Penggunaan atribut yang
bertantangan dengan Pancasila, serta pelecehan terhadap symbol negara secara langsung
maupun tidak langsung juga merupakan perbuatan yang mengarah pada radikalisme. Adapun yang harus dilakukan oleh mahasiswa jika ancaman radikalisme
berkembang dilingungan perguruan tinggi yaitu dengan melakukan pencegahan. Hal ini
untuk mengusir penyebaran ide-ide paham radikal serta ancaman radikalisme. Pencegahan dapat dilakukan dengan menutup media penyebaran di lingkungan
perguruan tinggi (Junaidi & Ninoersy, 2021). Dekan serta Rektor dapat memanfaatkan
kewenangannya dalam memutuskan paham radikal, memutuskan saluran-saluran tersebut
dengan pendekatan yang lemah lembut. Seperti mengikuti secara aktif perkembangan yang terjadi di lingkungan perguruan
tinggi, menekan rasa kebersamaan dalam lingkungan pergurungan tinggi, memakmurkan
masjid serta tempat ibadah dalam lingkungan perguruan tinggi, Ketika tes masuk
perguruan tinggi, rektor membuat kebijakan untuk melakukan test psikotes yang
bertujuan untuk melihat apakah calon mahasiswa baru memiliki kepribadian paham
radikal atau tidak. Kemudian, melakukan tindakan yang bertujuan untuk mempengaruhi induvidu
atau kelompok agar tidak terpapar paham radikalisme. Seperti melibatkan tokoh-tokoh
agama, serta aparat pemerintah untuk merangkul serta mendekati mahasiswa yang
terpapar dalam paham radikal. Tidak hanya itu, mahasiswa juga perlu melakukan suatu
tindakan campur tangan yang dilakukan untuk menghentikan penyebaran paham radikal
serta ancaman radikalisme. Seperti apabila ada mahasiswa yang terpapar radikalisme,
segera lapor ke sebuah lembaga pemerintah seperti Badan nasional Penanggulangan
Terorisme Indonesia (Firman, Indriawati, & Basri, 2022). Perguruan Tinggi perlu
memaparkan strategi agar tempat Ibadah, serta organisasi-organisasi yang ada dalam
lingkungan perguruan tinggi tidak diseludupi oleh induvidu yang menyebarkan paham
radikal. Kelompok serta induvidu yang berpaham radikal sering memanfaatkan tempat
serta kumpulan pengajian untuk menyebarkan paham radikal yang biasanya melalui cara-
cara tertutup. 28 | M.Anzaikhan, et all: Moderasi Beragama Sebagai Pemersatu Bangsa Serta Perannya Dalam Perguruan Tinggi J.
Radikalisme dilingkungan Perguruan Tinggi Perguruan Tinggi merupakan tempat mahasiswa untuk mengembangkan sesuatu
baik itu dalam bentuk berfikir, tindakan, bahkan jati diri. Dalam lingkungan perguruan
tinggi ini pastinya memiliki mahasiswa yang majemuk, mahasiswa yang memiliki
keberagaman suku, agama, serta ras. Hal ini sangat rentan dengan adanya paham radikal
jika mereka memiliki sikap intoleran (Djubaedi, S, & Ahdar, 2022). Perbuatan yang dapat
mengarah pada radikalisme biasanya dengan menyampaikan pendapat secara lisan
maupun tulisan yang bermuat ujaran kebencian terhadap salah satu suku, agama, ras,
serta antar golongan. https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 27 | 27 Abrahamic Religions: Jurnal Studi Agama-Agama
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P - ISSN : 2797-7722 sedang mengerjakan ibadah shalat dzuhur, adik sedang menghidupkan televisi dengan
suara yang keras. Kemudian ibu memberitahukan kepada adik bahwa kakak sedang shalat dzuhur,
dan menyuruh adik untuk mengecilkan suara televisi. Hal ini merupakan contoh
sederana menanamkan sikap toleransi terhadap anak. Sikap menghargai orang lain yang
sedang melakukan ibadah. Jika suatu keluarga bisa memberikan rasa nyaman dan aman
maka seorang anak dapat merasa betah untuk berada di rumah. Oleh karena itu keluarga
sangat penting bagi pembentukan karakter seorang anak agar membiasakan diri untuk
selalu hidup dengan sikap toleransi, menghargai pendapat orang lain, mengargai akan
perbedaan yang ada, dan tidak menjelekkan orang lain. Sehingga, mereka terbiasa
menanamkan sikap tersebut Ketika mereka berada diluar rumah. K. Implementasi Moderasi Beragama dalam Mencegah Radikalisme
1. Dalam Lingkungan Keluarga Keluarga merupakan tempat yang paling awal seorang anak untuk mendapatkan
pendidikan. Kedua orang tua memiliki peran untuk kehidupan anak, termasuk
menanamkan sikap tenggang rasa terhadap anak (Baihaqi, 2017). Selain itu, memberikan
pemahaman agama secara utuh juga sangat amat penting. Memberikan pemahaman
tentang keberagaman, sehingga mereka bisa menerima akan berbedaan yang ada. Menanamkan sikap toleransi sejak dini terhadap anak juga sangat penting. Ketika kakak https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 29 3. Dalam Lingkungan Masyarakat. Indoneisa memiliki masyarakat yang majemuk, dimana terdapat keberagaman
dalam suku, ras, dan agama. Moderasi agama berperan penting dalam kehidupan
masyarakat yang majemuk. Artinya dalam masyarakat majemuk diperlukan sikap
toleransi karena moderasi beragama sangat erat kaitannya dengan toleransi antar
masyarakat dan mengedepankan sikap tenggang rasa. Misalnya, seseorang kedatangan
tetangga yang baru saja pindah kesebelah rumahnya. Kebetulan orang tersebut dari suku
dan agama yang berbeda. Agar menciptakan moderasi dalam agama diharus
menumbuhkan sikap toleransi, dan menerima mereka menjadi tetangganya (Fuad, 2020). Kesediaan menghormati, dan menerima mereka seperti itu bukan berarti saling
menukarkan aqidah dan keyakinan. Namun lebih mencari ke titik temu, dari pada
membesar-besarkan perbedaan. Sebagian masyarakat yang berada dikehidupan majemuk
ini pastinya ada beberapa masyarakat yang memiliki sikap fanatik dalam memahami
sesuatu. Hal ini dapat menimbulkan konflik yang bisa menghancurkan keharmonisan
kehidupan dalam bermasyarakat. Oleh karena itu, implementasi moderasi beragama
masyarakat Indonesia yang majemuk sangat penting agar terhindar dari hal-hal yang
berbau perpecahan. Penyuluh agama merupakan salah satu anggota dari Kementerian Agama
Republik Indonesia. Penyuluh Agama adalah seseorang yang mempu memberi arahan,
serta bimbingan dari pemerintah dalam menyampaikan pesan-pesan agama maupun
program pemerintah (Akhmadi, 2019). Penyuluh agama memiliki peran penting dalam
lingkungan masyarakat sebagai patokan atau tokoh agama dalam masyarakat karena
berdasarkan ucapan dan tindakan yang berulang-ulang akan menjadi contoh dalam
menhadapi kehidupan sosial dalam sehari-hari. Adapuun peran penyuluh agama sebagai
pemberi edukasi terhadap masyarakat melalui juru dakwah. Mereka menyampaikan penerangan tentang agama dan mendidik masyarakat
dengan baik sesuai dengan ajaran-ajaran agama. Selain itu, penyuluh agama juga dapat
berperan sebagai bertukar pikiran dalam menghadapi persoalan-persoalan yang ada
dalam masyarakat. Dalam menyampaikan edukasi dalam menangkal radikalisme,
penyuluh agama membutuhkan sikap moderasi beragama, yaitu sikap yang tidak
memvonis dirinya atau kelompoknya yang paling benar, tidak menggunakan paksaan
serta kekerasa, dan tidak melakukan Kerjasama dengan kepentingan politik (Asmara,
2021). Penyuluh agama dapat mengambil tempat dalam bagian moderasi beragama,
sehingga dapat menghadirkan kedamaian, membangun masyarakat yang toleran,
mengedepankan sikap tenggang rasa melalui kegiatan edukasi penyuluh agama. Oleh
karena itu, penyuluh agama sangat berperan penting dalam menumbuhkan sikap
moderasi beragama agar paham radikal dapat dicegah dalam lingkungan masyarakat. 2. Dalam Lingkungan Pendidikan Selain dalam lingkungan keluarga, lingungan pendidikan juga sangat penting
dalam menanamkan sikap moderasi. Dalam pelajaran Pendidikan Kewarganegaraan
sudah dipaparkan bahwa Indonesia memiliki keberagaman mulai dari suku, agama, ras,
dan antar golongan yang di dasar kan dengan Pancasila dengan motto Bhineka Tunggal
Ika (Adiwilaga, 2020). Peran guru sangat penting dalam menyampaikan hal-hal yang
berkaitan dengan keberagaman. Guru-guru harus menyiapkan diri agar menjadi pendidik
yang sangat benar untuk mendidik. Semua guru harus diberikan wawasan tentang kebangsaan agar nilai-nilai
kebangsaan dapat tersampaikan kepada murid dengan bahasa yang sederhana sehingga
mudah dipahami. Misalnya, ketika guru sedang memaparkan materi tentang
keberagaman yang ada di Indonesia, tentunya seorang guru yang paham akan nilai-nilai
kebangsaan akan menjelaskan bagimana hidup dengan masyarakat yang majemuk,
dimana terdapat banyak sekali perbedaan. Seperti, suku, ras, budaya, dan agama. Hal ini
dapat membentuk karakteristik murid yang menerima dan menghargai akan kearifan
lokal. Kemudian dalam lingkungan perguruan tinggi merupakan tempat dimana
terdapat mahasiswa yang plural. Yakni mahasiswa yang terdiri dari suku, ras, agama yang
berbeda-beda. Lingkungan perguruan tinggi merupakan tempat akan pengembangan
dalam hal pemikiran, tindakan, dan segala sesuatu yang bermanfaat bagi masyarakat. Hal
ini membuatnya memiliki peran penting dalam menjaga persatuan bangsa. Dalam
lingkungan perguruan tinggi diharapkan dapat menciptakan kerukunan bangsa dengan
menanamkan sikap toleransi dalam kehidupan (Djubaedi dkk., 2022). Toleransi dimaksud yaitu saling menghargai pendapat sesama umat beragama dan
antar umat beragama, kemudian harus mampu menciptakan upaya untuk bersatu dalam
kehidupan bernegara. Dalam lingkungsn orgnisasi atau kelompok belajar pun harus
menumbuhkan sikap tenggang rasa yang mengajarkan untuk saling memahami satu sama
lain yang berbeda. Tidak mudah menyalahkan hingga sampai pengkafiran terhadap suatu
organisasi yang berbeda pandangan. Sehingga, paham radikal dapat berkurang. https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 2 | 29 E - ISSN: 2797-6440
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Vol. 3, No. 1 Maret (2023) 30 | M.Anzaikhan, et all: Moderasi Beragama Sebagai Pemersatu Bangsa Serta Perannya Dalam Perguruan Tinggi L. Moderasi Sebagai Pemersatu Bangsa Berbicara sejarah Islam, moderasi beragama bukanlah produk baru. Sejatinya
nilai-nilau serupa sudah ada bahkan sejak masa Rasulullah Saw. Hal paling mendasar https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 3 adalah bagaimana Nabi tidak memaksakan agama Islam kepada siapapun bahkan
termasuk pamannya sendiri (Abu Thalib) yang tidak menjadi Muslim hingga akhir
hayatnya. Meskipun ada upaya dakwah untuk mengajak secara lemah lembut, namun
tidak ada paksaan apalagi sampai menjadikan musuh atas kepentingan agama. Kenyataan
ini adalah bagian dari muatan moderasi dimana Islam sangat mencintai kedamaian. Moderasi sangat penting karena dapat mengambil jalan tengah dari gesekan
kemajemukan. Konsep yang dijadikan kunci untuk Islam yaitu wasathiyah agar
menghasilakn pemikiran yang ideal dan praktis guna meningkatkan potensi seseorang dan
mengontrol mekanisme masyarakat. Walaupun diambil dari ayat al-quran (ummatan
wasatan) konsepnya, namun tetap mempunyai filosofi yang dalam. Dalam suatu agama
dan tradisi yang lain juga ditemukan faktanya bahwa moderasi juga dijadikan sebagai
konsep mendasar. Hal sebenarnya moderasi ialah gagasan yang universal dan mereka membenarkan
gagasan tersebut. Maka konfusianime dan Islam dijadikan sebagai perbandingannya, ada
banyak yang dapat untuk diteliti dan diinvestigasi dengan moderat arti filosofnya yang
terdapat pada agama ataupun tradisi. Andai untuk melakukan percakapan yang
membahas tentang nilai keagamaan dijadikan sebagai semboyan adakala moderasi
diimbangkan untuk mendapat posisi dalam pembicaraan utama (Ibrahim & Haslina,
2018). Gerakan moderasi umat Islam jauh lebih mudah di Indonesia disebabkan pada
tanah ini kapasitas moderat tercermin perilaku dan kehidupan bersosial masyarakat
dengan umat Islam. Karakter Islam yang ada di Indonesia hakikatnya adalah moderat anti
pada sikap yang radikal, exstrim, dan teroris, Muhammadiyah dan Nahdlatul Ulama
adalah dua bentuk oragnisasi moderat Islam yang memiliki sejarah panjang. Organisasi
inilah yang menjungjung moderasi antar agama sehingga mereka mampu survive bahkan
sebelum Indonesia merdeka. Dalam menghadapi radikalisme Muhammadiyah sangat berpengaruh dalam
mendukung adanya moderasi bahkan deradikalisme juga dikritiknya. Hal yang ditempuh
bila sudah konsisten menjalankan sikap moderatharus moderat dan tidak bersikap
dekontruksi, “Negara Pancasila Darul Ahdi Wasyahadah” adalah legel yang diberikan
Muhammadiyah kepada negara Indonesia. Legelnya tersebut adalah bukti dari
menegaskan sikap moderat negara yang bersimbolkan bhineka tunggal ika dalam
menentukan posisi sifat ideologisnya yang didasari oleh undang-undang 1945 dan
berdasarkan Pancasila (Nurhadi, 2017). Selanjutnya, di negara mana saja ummat Islam tidak dapat dipisah dari politik dan
itu juga terjadi di Indonesia. Namun ini bukanlah sebuah sikap yang radikal/ekstrim
dalam menjalankan sebuah agama. Maka dalam hal ini konteks pemahama keagamaan
dikalangan ummat dalam bangsa Indonesia sangat penting supaya menghadirkan esensial
esensial positif, progresif dan inklusif. Hal tersebut menjadi sebuah kekuatan untuk
mempersatukan dan sebagai ruh dari kemajuan hidup. Perilaku dari politik yang
melakuakan korup dapat dihalang dengan menanamkan nilai etika yang ada dalam https://jurnal.ar-raniry.ac.id/index.php/abrahamic | 3 https://jurnal.ar-raniry.ac.id/index.php/abrahamic | | 31 Abrahamic Religions: Jurnal Studi Agama-Agama
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Vol. 3, No. 1 Maret (2023) agama dan dapat dijadikan motifasi untuk menegakkan hukum secara adil hal ini adalah
bentuk dari segi sosial dan politik (Pimpinan Pusat Muhammadiyah, 2015). agama dan dapat dijadikan motifasi untuk menegakkan hukum secara adil hal ini adalah
bentuk dari segi sosial dan politik (Pimpinan Pusat Muhammadiyah, 2015). Bukanlah hal yang mudah jika ingin memisahkan, ideologi, Islam, dan politik. Hal tersebut disebabkan oleh muamalah merupakan kesatuan kandungan dari dua aspek
yaitu agama dan politik. Dimanapun dalam sebuah masyarakat secara umum apa lagi
dalam masyarakat yang memiliki agama, politik, agama, dan ekonomi memang tidak
mampu untuk dipisah bahkan mempunyai kesatuan antara ketiganya (Aljunied, 2018). Maka dari itu, karakter solutif (jalan tengah) adalah gerakan keniscayaan yang dapat
merubah gesekan perbedaan menjadi ikatan persaudaraan dalam bingkai NKRI. Kesimpulan Sebagai negara dengan penduduk yang besar dan multikultural, moderasi
beragama adalah ide krusial guna menghilangkan gesekan antar agama atau antar mazhab. Pada bingkai keislaman, istilah ini dikenal dengan sebutan Islam Wasathiyah yang
bermakna Islam yang di tengah-tengah. Meskipun masih memiliki perdebatan antara
kesamaan antara keduanya, namun pada esensinya memiliki kesamaan yang identic salah
satunya adalah bagaimana bersikap thasamuh (toleran) dan thawasuth (moderat). Sejarah
Islam Indonesia hari ini yang mulai eksist sejak masa kerajaan, tidak mungkin bertahan
tanpa adanya muatan Islam yang moderat. Moderasi beragama sangat penting dalam mencegah disintegrasi bangsa
khususnya dalam lingkungan perguruan tinggi. Hal tersebut adalah filterisasi dari oknum-
oknum tak bertanggung jawab yang berusaha meracuni pemikiran mahasiswa yang
cenderung emosional dan gemar melakukan aksi. Maka tidak heran, moderasi beragama
sangat kentara disosialisasikan di perguruan tinggi, baik melalui mata kuliah atau kegiatan
ekstrakurikuler. Pada tatanan masyarakat, moderasi beragama adalah langkah bijak dalam
mencerdaskan bangsa sehingga tidak mudah terprovokasi oleh kalangan yang menyeru
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dan
Sufistik,
6(2),
8. https://doi.org/10.15575/saq.v6i2.14233 Mujiburrahman. (2013). Islam Multikultural: Hikmah, Tujuan, dan Keanekaragaman
dalam Islam. 7(1), 70. Muna, Moh. N. (2020). Moderate Islam In Local Culture Acculturation: The Strategy Of
Walisongo’s Islamization. Islamuna: Jurnal Studi Islam, 7(2), 166–184. https://doi.org/10.19105/islamuna.v7i2.3661 Muslimin, M., & Fikro, M. I. (2021). Islam Wasathiyah dalam Perspektif Santri. Edukais :
Jurnal
Pemikiran
Keislaman,
5(1),
1–12. https://doi.org/10.36835/edukais.2021.5.1.1-12 Muthohirin, N. (2015). Radikalisme Islam dan Pergerakannya di Media Sosial. Afkaruna,
11(2), 240–259. https://doi.org/10.18196/aiijis.2015.0050.240-259 Nur, A., & Lubis, M. (2015). Konsep Wasathiyah Dalam Al-Qur’an. 4(2), 209. Nurhadi, R. (2017). Pendidikan Nasionalisme-Agamis dalam Pandangan K.H. Ahmad
Dahlan dan K.H. Hasyim Asy’ari. Cakrawala: Jurnal Studi Islam, 12(2), 121–132. https://doi.org/10.31603/cakrawala.v12i2.1716 Pimpinan Pusat Muhammadiyah. (2015). Rekonstruksi Kehidupan Kebangsaan yang
Bermakna. Yogyakarta: PP Muhammadiyah. Ri, K. (2019). Lukman Hakim Saifuddin: Gagasan—Kinerja: Moderasi Beragama dan
Transformasi Kelembagaan Pendidikan. Jakarta: Rehobot Literature (Bersama
dengan Ditjen Bimas Kristen RI). Rijal, F. (2016). Nasionalisme Ulama Dalam Penangkalan Paham Radikal Di Kalangan
Santri Dayah Tradisional Di Aceh. Kalam; Jurnal Agama dan Humaniora, 4(1),
29. http://journal.lsamaaceh.com/index.php/kalam/article/view/16 Siahaan, H. E. (2017). Mengajarkan Nasionalisme Lewat Momentum Perayaan Paskah:
Refleksi Kritis Keluaran 12:1-51. DUNAMIS: Jurnal Penelitian Teologi dan
Pendidikan Kristiani, 1(2), 140–140. https://doi.org/10.30648/dun.v1i2.119 Syu‘aibi, A. (2010). Meluruskan Radikalisme Islam Terj. Muhtarom. Jawa Timur: Duta
Aksara Mulia. Winarti, M. (2017). Mengembangkan Nilai Nasionalisme, Patriotisme, dan Toleransi
Melalui Enrichment dalam Pembelajaran Sejarah tentang Peranan Yogyakarta
Selama Revolusi Kemerdekaan. Historia: Jurnal Pendidik dan Peneliti Sejarah,
1(1), 13–13. https://doi.org/10.17509/historia.v1i1.7004 Yunanda, R. (2019). Radikalisme Dalam Persfektif Islam Dayah Di Aceh. Jurnal Ilmiah
Sosiologi Agama, 2(2), 140.
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ALCOHOL AND PRIMITIVE MAN
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British journal of inebriety
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public-domain
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The British Journal of Inebriety The British Journal of Inebriety 2 I 0 * “La Nouvelle Calkdonie,” 1862, p. 143 (British Museum, Press Mark
10492, a. 3).
f * a La Sociologie,” zeme ed.. 1884, p. 38.
V. de Rochas, op. cit., p. 128, footnote. * “La Nouvelle Calkdonie,” 1862, p. 143 (British Museum, Press Mark
10492, a. 3).
f
L
S
i l
i ”
d
1884
38 V. de Rochas, op. cit., p. 128, footnote. f * a La Sociologie,” zeme ed.. 1884, p. 38. The British Journal of Inebriety 21 I highly of the agricultural methods of the cannibal Neo-Cale-
donians. highly of the agricultural methods of the cannibal Neo-Cale-
donians. About the year 1884 I spent a month in New Caledonia as the
guest of a French engineer connected with the nickel works. I
cannot remember ever seeing an intoxicated native-indeed,
I
cannot recall seeing any case of drunkenness at all during my stay
in the island, chiefly in Noumea. My host, a very energetic and
intelligent man, remarked to me once : “ You Britishers kill off
your natives with gin, while we kill them off with tafia.” This
would be rather against de Rochas’s contention, who wrote,
however, of a period earlier by more than twenty years. It is worth noting that de Rochas insists on the great frequency
of phthisis and scrofula among the Neo-Caledonians. Another point of interest connected with the present subject is
the history of the ‘‘ kava” or “ava” beverage of the Sandwich and
other Pacific islands. It is referred to at some length in “ Cook’s
Voyages.”*
Captain King there states: ‘‘ . . . The Ereest are
very free from these complaints, but many of them suffer still
more dreadful effects from the immoderate use of ava. Those
who were most affected by it had their bodies covered by a white
scurf, their eyes red and inflamed, their limbs emaciated, the
whole frame trembling and paralytic, accompanied by an inability
to raise the head. Though this drug does not appear to shorten
life, as was evident from the case of Terreeoboo, Kaoo, and some
other chiefs, who were very old men, yet it invariably brings on
an early and decrepit old age. It is fortunate that the use of it is
made one of the peculiar privileges of the chiefs.” Captain King
goes on to say : L c There is something very singular in the history
of this pernicious drug. When Captain Cook first visited the
Society Islands it was very little known among them. On his
second voyage he found the use of it very prevalent at Ulietea,
but it had still gained very little ground in Otaheite. When we
were last there the dreadful havoc it had made was beyond belief,
insomuch that the Captain scarce knew many of his old acquaint-
ances. An abridgement of Captain Cook’s “Last Voyage,” etc.. sixth edition,
t. That is, the chiefs.
London, 1787, vol. ii.. p. 351 (from Captain King’s Journal). A L C O H O L A N D P R I M I T I V E M A N . BY GEORGE PERNET, M.R.C.S., L.R.C.P.,
Assistant to the Skin Department, University College Hospital ; English
Editor of Lepvu, International Leprosy Journal. WITH reference to the interesting editorial notes on alcohol and
primitive man in the October issue of the Society’s Journal, it
may be pointed out that the Neo-Caledonians, unlike the old
Caledonians across the Tweed, are another example of a primitive
race which did not prepare a fermented drink. Dr. Victor de
Rochas, who spent three years in New Caledonia at a time when
the natives were unspoilt by too much civilization, and studied
them carefully, wrote as follows in 1862 : Une anomalie plus
r6elle c’est l’abstention de toute boisson fermentCe. Le Calk-
donien presque seul, non-seulement ne compose aucune liqueur
de cette nature, mais ne montre aucune appetence pour celles
que lui prCsentent les EuropCens. Heureux instinct qu’il faut
s’efforcer d’encourager et non pas de detruire! 11s ne boivent
que de l’eau, mais une eau saine que partout les ruisseaux peuvent
lui fournir.”’ Letourneaut cites de Rochas in this connexion, stating that
L L seul, le NCo- CalCdonien serait rest6 jusqu’ici inaccessible B
l’ivresse, et c’est une exception fort singulike,” but he does not
give the reference to the passage which I have quoted from
de Rochas, but to another, in which that author, in dealing with
the decrease in the native population on (( l’fle des Pins,” states
that “les naturels &ant en quelque sorte inaccessibles aux
boissons fermentCes, celles-ci ne peuvent entrer en ligne de
compte.”:
It is interesting to note that de Rochas speaks The British Journal of Inebriety * The British Journal of Dermatology, vol. Xi., 1899, p, 358. The British Journal of Inebriety At the Friendly Islands it is also constantly drunk by the
chiefs, but so much diluted with water that it does not appear The British Journal of Inebriety 212 to produce any bad effects. At Atooi also it is used with great
moderation, and the chiefs are in consequence a much finer set of
men there than in any of the neighbouring islands. Our good
friends Kaireekeea and old Kaoo were persuaded by us to refrain
from it, and they recovered amazingly during the short time we
afterwards remained in the island.” It has been sought by some writers to identify the so-called
I have endeavoured to show there was
ava disease with leprosy. not sufficient evidence to support this contention.’ I may say that during a visit to the Sandwich Islands some
years ago I saw very little drunkenness. According to the latest
figures, the Hawaiians are certainly losing ground, but whether
this is due to alcohol specially 1 am not in a position to say. For the information of some readers, kava or ava is prepared
from the juice of the leaves of Piper methysticum, which are
chewed in company, the chewed leaves being spat out into a
common dish. * The British Journal of Dermatology, vol. Xi., 1899, p, 358.
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https://periodicals.karazin.ua/pnmp/article/download/17684/16232
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Ukrainian
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The link between mental health during the COVID-19 pandemic and the use of social media
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Psihìatrìâ, nevrologìâ ta medična psihologìâ
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2021. Випуск/Issue 17
14 ISSN 2312-5675 (Print) 2021. Випуск/Issue 17
14 ISSN 2312-5675 (Print) ПСИХІАТРІЯ, НЕВРОЛОГІЯ ТА МЕДИЧНА ПСИХОЛОГІЯ
PSYCHIATRY, NEUROLOGY AND MEDICAL PSYCHOLOGY 14 2021. Випуск/Issue 17 DOI: 10.26565/2312-5675-2021-17-02
УДК 616.891.6:[616.98:578.834.1]-036.2:316.77 ЗВ’ЯЗОК ПСИХІЧНОГО ЗДОРОВ’Я ПІД ЧАС ПАНДЕМІЇ COVID-19
ТА ВИКОРИСТАННЯ СОЦІАЛЬНИХ МЕРЕЖ А. В. Гайдабрус Матеріали і методи дослідження Дослідження було проведено за допомогою
онлайн-опитування осіб-користувачів соціальних ме-
реж, термін проведення опитування – з 15 березня
2020 року по 25 квітня 2020 року (199 учасників, серед-
ній вік 31,04 ± 0,80 років) та з 10 жовтня 2020 року по 25
листопада 2020 року (152 учасника віком 27,75 ± 0,96
років). Критерії включення – користування соціальни-
ми мережами принаймні півроку. Опитування скла-
далося зі шкали сприйманого стресу (PSS-10) (Sheldon
Cohen et al., 1983) [9] та опитувальника для виявлення
генералізованого тривожного розладу (GAD-7, Spitzer,
Kroenke, Williams, & Lowe, 2006) [10, 11]. Людина – істота суспільна, вона живе в суспільстві
і може (і повинна) спілкуватися з членами цього сус-
пільства. Без спілкування немає суспільства, без сус-
пільства немає людини соціальної, розумної. Під час
пандемії COVID-19 людство було обмежене у «живому»
спілкуванні, що було наслідком карантинних заходів. У той же час соціальні мережі стали невід’ємною час-
тиною нашого життя, вони виступають в якості засобів
налагодження зв’язку, обміну емоціями, думками, ін-
формацією. На сучасному етапі Facebook та Instagram є
провідними платформами соціальних медіа для спіл-
кування. Встановлено, що соціальні мережі є важли-
вими для соціального добробуту, участі в соціальних
та політичних рухах [2]. Із запровадженою політикою
соціального дистанціювання віртуальне спілкування
стало важливим джерелом інформації. Останні дані
свідчать про збільшення використання Facebook на 37%
після першого виявлення COVID-19 в усьому світі [3,4]. Ми використовували два інструменти для оцінки
симптомів тривоги (GAD-7) та стресу (шкала сприйнято-
го стресу). За даними Spitzer et al., 2006, вимірювання
GAD-7 проводиться шляхом розгляду за шкалою від 0
до 4, та оцінювали отриману суму балів кожного рес-
пондента, як «Мінімальна тривога» – до 4 балів, 5-9 як
«Легка тривога», 10-14 як «Помірна тривога» і 15-21 як
«Сильна тривога» (Spitzer et al., 2006). Шкала сприйманого стресу (PSS-10) вимірює рівень
стресу наступним чином: від 0 до13 балів – низький рі-
вень стресу, 14-26 балів – помірний рівень стресу, 27-40
балів – високий рівень стресу (Sheldon Cohen et al., 1983). Отримані дані були оброблені в програмі Excel, з ви-
користанням методів математичної статистики, дис-
персійного та кореляційного аналізу, “Excel” (з пакету
“Microsoft Offi ce 2016”) [12]. Шкала сприйманого стресу (PSS-10) вимірює рівень
стресу наступним чином: від 0 до13 балів – низький рі-
вень стресу, 14-26 балів – помірний рівень стресу, 27-40
балів – високий рівень стресу (Sheldon Cohen et al., 1983). Однак поряд з позитивними сторонами, соціальні
мережі мають також і негативні явища. ПСИХІАТРІЯ, НАРКОЛОГІЯ / PSYCHIATRY, NARCOLOGY / ПСИХИАТРИЯ, НАРКОЛОГИЯ ПСИХІАТРІЯ, НАРКОЛОГІЯ / PSYCHIATRY, NARCOLOGY / ПСИХИАТРИЯ, НАРКОЛОГИЯ 2021. Випуск/Issue 17
ISSN 2312-5675 (Print) 15 15 Вступ. тенденції використання соціальних медіа та наявність
змін у харчуванні та режимі сну користувачів. Пандемія COVID-19 спричинила не тільки фізичні та
фізіологічні проблеми. Наслідки коронавірусу торкну-
лися також і психічного здоров’я. Останнім часом з’яв-
ляється все більше наукових публікацій стосовно пост-
ковідного синдрому, до складу якого входять депресія,
тривожні розлади, суїцидальні наміри та завершені
суїциди, психотичні порушення і тощо. Тож актуальність
вивчення стану психічного здоров’я в умовах світової
пандемії та запроваджених карантинних заходів не ви-
кликає сумнівів [1]. Мета даної роботи – вивчення зв’язку між вико-
ристанням соціальних мереж, стресом та тривогою під
час пандемії COVID-19, а також тенденцій впливу вико-
ристання соціальних медіа на харчування та режим сну
користувачів. Матеріали і методи дослідження Матеріали і методи дослідження До них відно-
ситься перш за все поширення дезінформації, що ви-
кликає тривогу та паніку [4]. Перевантаження дезінфор-
мацією та спотворення інформації впливають на рівень
стресу користувачів та сприяють формуванню негатив-
них психічних наслідків [3]. Дослідження, проведене в
Китаї серед учасників, які зазнали впливу соціальних
мереж у період COVID-19, показало, що рівень депресії
та тривожності складав близько 48,3% та 22,6% [4]. Також є дані про підвищення рівню стресу [6], хронічне
психологічне навантаження користувачів соціальних
мереж [7], низьку самооцінку через те, що витрачають
на соціальні мережі багато часу [8]. Отримані дані були оброблені в програмі Excel, з ви-
користанням методів математичної статистики, дис-
персійного та кореляційного аналізу, “Excel” (з пакету
“Microsoft Offi ce 2016”) [12]. А. В. Гайдабрус Харківський національний університет імені В. Н. Каразіна; майдан Свободи, 6,
61022, м. Харків, Україна
gaydabrusandriy@gmail.com
ORCID ID: 0000-0002-6911-3252 Харківський національний університет імені В. Н. Каразіна; майдан Свободи, 6,
61022, м. Харків, Україна
gaydabrusandriy@gmail.com
ORCID ID: 0000-0002-6911-3252 Гайдабрус
Андрій Володимирович У 2020 році світ зіткнувся з поширенням коронавірусу. Поширення інфекції визвало кризу COVID-19, а це криза як фізично-
го, так і психічного здоров’я. Належне психічне здоров’я має вирішальне значення для функціонування суспільства в усі часи в
кожній країні та повинно бути в приорітеті та в центрі уваги після пандемії COVID-19 в центрі реакції та відновлення після пан-
демії. Психічне здоров’я та благополуччя – добробут всього суспільства, були суттєво порушені під час пандемії , і потребують
термінового вивчення. Метою нашого дослідження, під час початку карантинних заходів, було з’ясувати взаємозв’язок між вико-
ристанням соціальних мереж та стресом разом із тривогою під час цієї пандемії COVID-19. Під час карантину використання соці-
альних мереж стало одним з джерел розповсюдження інформації. Ми шукали тенденції використання соціальних медіа, зв’язок
розповсюдження соціальних мереж із змінами в поведінці, психопатологічними симптомами, такими, як симптоми стресу, три-
воги, розлади апетиту і нічного сну. Наше дослідження було проведено за допомогою інтернет-опитування осіб під час першої та другої хвиль пан-
демії. Дослідницька робота була направлена на розуміння взаємозв’язку між соціальними мережами та стресом під час пандемії
Covid-19 та побачити динаміку змін. Всього опитано 199 учасників першого тестового періоду та 152 учасників другого тестового
періоду. Ми застосували анкети, які оцінювали симптоми тривоги і стресу, а саме шкалу сприйнятого стрессу PSS-10 та тест на
тривожний розлад GAD-7. Коли більшість учасників вважали, що їх використання соціальних медіа зросло під час пандемії, це призвело до збільшення
сприйняття та розповсюдження недостовірної інформації (фейки), яка впливає на психологічне благополуччя. Негативні аспекти
використання соціальних мереж можуть впливати на рівень тривожності та стресу населення нашої країни. Поширення фальши-
вої інформації в контексті збільшення часу пошуку має всі передумови для збільшення ризику погіршення психічного здоров’я
в нашій країні під час пандемії. Ключові слова: COVID-19, соціальні мережі, тривога, стрес, пандемія. Як цитувати: Гайдабрус А.В. Зв’язок психічного здоров’я під час пандемії COVID-19 та використання соціальних мереж // Психіатрія, неврологія та медична психоло-
гія. – 2021. – №17. – С. 14–21. https://doi.org/10.26565/2312-5675-2021-17-02
In cites: Haydabrus A. The link between mental health during the Covid-19 pandemic and the use of social media. Psychiatry, Neurology and Medical Psychology. 2021. No 17,
pp. 14–21. https://doi.org/10.26565/2312-5675-2021-17-02 © Гайдабрус А. В., 2021 2021. Випуск/Issue 17 118 (58,8%) учасників опитування першої хвилі
пандемії спостерігали фейкові новини (дезінформа-
цію), пов’язані з COVID-19. К ількість фейкових новин
зменшилась під час другої хвилі пандемії, і 59 (39,6%)
респондентів зазначили це. часто протягом останніх 2 тижнів ви відчували, що не
можете швидко заспокоїтись та/або контролювати своє
занепокоєння?» набрало 0,54 ± 0,06 балів під час пер-
шої хвилі пандемії та 0,69 ± 0,07 під час другої хвилі
пандемії. Відповіді на запитання «Як часто протягом
останніх 2 тижнів ви були настільки неспокійними, що
було важко залишатися на одному місці?» також пока-
зали більшу частоту порушень у групі першої хвилі рес-
пондентів, порівняно з періодом другої хвилі. Таблиця 1
Демографічна інформація учасників (N = 351 )
N = 351
Сімейний стан
Одружений
Неодружений
Розлучений
126 (35,9%)
199 (56,7%)
26 (7,4%)
Професійна зайнятість
Студент
Надання послуг
Підприємець
Медичний персонал
Безробітний
Інший
150 (42,7%)
61 (17,4%)
31 (8,8%)
46 (13,1%)
16 (4,6%)
47 (13,4%)
Соціальна мережа
Facebook
Instagram
139 (39,7%)
212 (60 . 3%) Зменшення контролю над емоціями та схильність
до роздратування частіше зустрічалось під час першої
хвилі пандемії. На питання: «Як часто протягом останніх
2 тижнів ви відчуваєте, що вам легко злитися і драту-
ватись?» частіше зустрічалися стверджуючі відповіді
серед осіб під час першої хвилі пандемії, порівняно з
другою хвилею. Почуття страху, яке виявлялося питанням: «За остан-
ні 2 тижні чи часто ви відчували страх, що може статися
щось страшне?» також було вищим під час першої хви-
лі пандемії (0,95 ± 0,05 балів) і зменшувалася під час
другої хвилі (0,54 ± 0,05 балів). На фоні страху з`явля-
лися явища апатії, песимізму, що впливало на знижен-
ня мотивації до роботи. Так, позитивні ствердження на
питання «Як часто ви виявляли за останній місяць, що
не можете впоратися з усіма речами, які вам доводи-
лось робити?» частіше виявлялися під час першої хвилі
пандемії (2,04 ± 0,09 балів) порівняно з другою хвилею
(1,80 ± 0,09 балів) (таблиця 2). Кореляційний аналіз результатів показав, що вибір
соціальної мережі залежив від віку респондента (кое-
фі цієнт кореляції - 0,58). Молодші за віком респон-
денти віддавали перевагу Instagram і в цілому воліли
шукати інформацію в соціальних мережах (коефіцієнт
кореляції 0,24). Виявлення перших випадків захворю-
вання у місті проживання респондента збільшило час
перебування у соціальній мережі (коефіцієнт кореляції
0,43). Збільшення кількості часу, який витрачається на
соціальні мережі, відповідно збільшувало час пошуку
інформації про коронавірусну інфекцію (коефіцієнт ко-
реляції 0,28). 2021. Випуск/Issue 17 Метою дослідження було також виявлення змін в
харчовій поведінці та в структурі сну учасників за ос-
танні два тижні (таблиця 4). Суттєва різниця між показниками рівня стресу була
серед респондентів з низьким та помірним рівнями
стресу. Помірний рівень стресу виявлявся переважно
серед респондентів під час першої хвилі пандемії –
87,9% мали данні показники (таблиця 6). Кількість часу, протягом доби, витраченого на пере-
гляд інформації в соціальних мережах, значно зменши-
лась протягом другої хвилі пандемії, що може свідчити
про підвищення толерантності до новин стосовно пан-
демії. Під час першої хвилі, тривалість перегляду новин
складала 3,18 ± 0,37 години, а під час другої хвилі –
2,35 ± 0,16 години ( р <0,05). Результати дослідження. Серед 351 учасників двох періодів пандемії, 126
(35,9%) були одруженими, 199 (56,7%) – неодруженими
та 26 (7,4%) були розлученими. 139 опитуваних (39,7%)
віддавали перевагу соціальній мережі Facebook, 212
(60,3%) віддавали перевагу Instagram. 86 респондентів (43,2%) під час першого опитуван-
ня відзначили зростання часу використання соціальних
медіа після початку пандемії. 275 учасників досліджен-
ня (78,6%) віддавали перевагу соціальним мережам як
джерелам новин, 87 досліджених (24,9%) відзначили,
що вони більше, ніж у попередньому місяці, перегляда-
ли Facebook та Instagram, для того, щоб знаходити нови-
ни та інформацію про COVID-19. У наш час, у період пандемії, важливо оцінити за-
кономірності зв’язку між особливостями використан-
ня соціальних мереж та стресом. Наше дослідження є
частиною більш масштабного міжнародного дослід-
ження, яке намагалося з’ясувати зв’язок між викори-
станням соціальних мереж, стресом та тривогою під час
пандемії COVID-19. Проведене дослідження включає ПСИХІАТРІЯ, НЕВРОЛОГІЯ ТА МЕДИЧНА ПСИХОЛОГІЯ
PSYCHIATRY, NEUROLOGY AND MEDICAL PSYCHOLOGY ISSN 2312-5675 (Print) 16 Обговорення. Протягом перших місяців пандемії інформаційні
джерела прогнозували другу хвилю коронавірусної ін-
фекції [13], що було підтверджено часом – так, значне
збільшення кількості пацієнтів в Україні відбулося в
осінні місяці 2020 року. За період самоізоляції в усьому
світі зросло використання соціальних медіа як джерела
інформації [14]. У дослідженні ми спробували з’ясувати
тенденцію використання соціальних мереж та її зв’я-
зок зі стресом та тривогою під час двох хвиль пандемії. Дослідження демонструє значну кількість часу, який
люди проводять у соціальних мережах щодня, і ця ко-
лективна відповідь подібна до попередньої пандемії
вірусу H1N1 [15]. У нашому дослідженні ми бачимо, що Зміна часу протягом доби, для перегляду інформа-
ції, пов’язаної з COVID-19 в соціальних мережах була
цілком очікуваною через повторний період карантину. Під час першої хвилі пандемії середній час становив
60,83 ± 6,20 хв., то під час другої хвилі він становив
27,42 ± 3,04 хв. (р <0,05) (таблиця 2). Аналізуючи дані
відповідей на тести, ми виявили, що деякі відповіді
мали суттєві відмінності в різні періоди пандемії. Контроль своїх переживань у опитуваних осіб зни-
жувався під час другої хвилі пандемії. Так, питання «Як 2021. Випуск/Issue 17
ISSN 2312-5675 (Print) ПСИХІАТРІЯ, НАРКОЛОГІЯ / PSYCHIATRY, NARCOLOGY / ПСИХИАТРИЯ, НАРКОЛОГИЯ 17 17 мережах [16]. Серед інформації, що розповсюджують
соціальні мережі, зустрічалась недостовірна (фейкова)
інформація, тобто та, що вводить в оману читача [17]. Новини, які містять недостовірну інформацію, потенцій-
но можуть спричинити стрес у користувачів соціальних
мереж та спонукати їх до панічного придбання товарів в середньому учасники проводили 3,18 ± 0,37 години
щодня навесні 2020 року та 2,35 ± 0,16 години восени
2020 року у Facebook, Instagram у пошуках контенту,
пов’язаного з COVID-19. Очевидно, що коли люди не
мають достатньої інформації про COVID-19, вони по-
кладаються на зміст, який вони знайшли в соціальних Таблиця 2 Таблиця 2 Таблиця 2
Різниця між респондентами, які проходили опитування навесні та восени 2020 року
Питання
(у питаннях, де враховується частота переживань, респонденти відповідали згідно шкали
(0 –відсутність переживань, 4 максимальні переживання)
Весна 2020
Осінь 2020
р *
Вік респондента
31. 04 ± 0 . 80
27 . 75 ± 0 . 96
<0,05
Скільки часу ви витрачали щодня на соціальні медіа-платформи, такі як Facebook
та Instagram? 3 . 18 ± 0 . 37
2 . 35 ± 0 . 16
<0,05
Скільки хвилин ви витрачали щодня на перегляд Facebook, Instagram, зокрема вмісту,
пов’язаного з COVID-19? (хв)
60 . 83 ± 6 . 20
27 . 42 ± 3 . Обговорення. 04
<0,05
За останні 2 тижні ви часто нервували, хвилювались чи тривожились? 0 . 99 ± 0 . 07
1 . 01 ± 0 . 07
<0,05
Як часто протягом останніх 2 тижнів ви відчували, що не можете швидко заспокоїтись
та / або контролювати своє занепокоєння? 0 . 54 ± 0 . 06
0 . 69 ± 0 . 07
<0,05
Як часто ви розслаблялися / відпочивали за останні 2 тижні? 1 . 29 ± 0 . 08
1 . 30 ± 0 . 07
0,46
Як часто за останні 2 тижні ви відчували сильне хвилювання? 0 . 69 ± 0 . 06
0 . 83 ± 0 . 07
0,07
Як часто за останні 2 тижні ви були настільки неспокійними, що було важко залишатися на
одному місці? 0 . 91 ± 0 . 05
0 . 45 ± 0 . 06
<0,05
Як часто за останні 2 тижні ви відчуваєте, що вам легко злитися і дратуватись? 1 . 41 ± 0 . 07
1 . 07 ± 0 . 07
<0,05
За останні 2 тижні чи часто ви відчували страх, що може статися щось страшне? 0 . 95 ± 0 . 05
0 . 54 ± 0 . 05
<0,05
Як часто ви останній місяць засмучувались через щось, що сталося несподівано? 1 . 55 ± 0 . 07
1 . 52 ± 0 . 08
<0,05
Як часто за останній місяць ви відчували, що не можете контролювати важливі речі
у своєму житті? 1 . 56 ± 0 . 08
1 . 43 ± 0 . 09
0,13
Як часто ви останній місяць нервували і переживали стрес? 1 . 72 ± 0 . 07
1 . 83 ± 0 . 09
0,17
Як часто протягом останнього місяця ви впевнені у своїй здатності вирішувати свої
особисті проблеми? 2 . 40 ± 0 . 07
2 . 37 ± 0 . 09
0,40
За останній місяць, як часто ви відчували, що справи йдуть по-вашому? 2 . 07 ± 0 . 08
2 . 11 ± 0 . 08
0,35
Як часто за останній місяць ви виявляли, що не можете впоратися з усіма справами,
які вам доводилось робити? 2 . 04 ± 0 . 09
1 . 80 ± 0 . 09
<0,05
За останній місяць, як часто ти в своєму житті могли контролювати роздратування? 2 . 33 ± 0 . 08
2 . 23 ± 0 . Обговорення. 09
0,18
За останній місяць, як часто ви відчували, що перебуваєте на вершині успіху? 1 . 95 ± 0 . 06
1 . 76 ± 0 . 08
<0,05
Як часто протягом останнього місяця ви тривожились через те, що сталося і було поза
вашим контролем? 1 . 66 ± 0 . 07
1 . 57 ± 0 . 08
0,20
Як часто за останній місяць ви відчували, що труднощі накопичуються настільки високо,
що ви не можете їх подолати? 1 . 33 ± 0 . 08
1 . 39 ± 0 . 09
0,29
Примітки: * - різниця між даними осені 2020 року та весни 2020 року.Точний критерій Фішера
Таблиця 3
Розподіл респондентів, які спостерігали фейкові новини, пов’язані з COVID-19, у соціальних мережах
Ви спостерігали за фальшиві новини Різниця між респондентами, які проходили опитування навесні та восени 2020 року Різниця між респондентами, які проходили опитування навесні та восени 2020 року Питання 8 %)
64 ( 42 . 1 %)
<0,05
Помірний n (%)
24 ( 12 . 1 %)
15 ( 9 . 9 %)
<0,05
Важкий n (%)
17 ( 8 . 5 %)
5 ( 3 . 3 %)
<0,05
Загальна кількість
N = 199
N = 152
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. Таблиця 6
Показники PSS-10 (N = 351)
Період пандемії
PSS
Низький
n (%)
Помірний
n (%)
Високий
n (%)
Перша хвиля
10 (5,0%)
175 (87,9%)
14 (7,0%)
Друга хвиля
29 (19,1%)
114 (75,0%)
9 (5,9%)
р *
<0,05
<0,05
0,26618
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. людей відчували страждання, спричинені страхом і
тривогою. 20,6% респондентів першої хвилі та 11,1%
респондентів другої хвилі страждали від помірного та
сильного рівня тривоги. Згідно з нашим дослідженням,
час, проведений у соціальній мережі для пошуку інфор-
мації, пов’язаної з COVID-19 (в тому числі недостовірної),
збільшував показник тривоги. Крім того, рівень стресу
учасників значною мірою був пов’язаний з тим, скільки
часу було проведено в соціальних медіа за останній мі-
сяць, щоб отримати новини та інформацію про COVID-19. Дослідження дозволило простежити позитивну тенден-
цію щодо зменшення тривожності протягом пандемії. першої необхідності, зберігання продуктів харчування
тощо, що спостерігалося під час першої хвилі пандемії
в усьому світі. Найбільша кількість фальшивих новин у
соціальних медіа спостерігалась протягом першої хвилі,
і 58,8% респондентів з першої хвилі пандемії спостері-
гали дане явище. Причиною збільшення фейкових но-
вин була недостатність інформації про сам вірус, який
спричинив пандемію, а також відсутність цензури у со-
ціальних мережах. Використання соціальних медіа як джерела інфор-
мації зросло під час пандемії, що дало користувачам
можливість отримувати та розповсюджувати інформа-
цію щодо профілактики, лікування, клінічної картини
захворювання, але розповсюджувалась і неправдива
інформація, яка негативно впливала на психологічне
благополуччя [17]. Негативні аспекти використання
соціальних мереж можуть впливати на рівень тривоги
та стресу серед населення. Під час пандемії більшість Питання Таблиця 5
Показники GAD-7 (N = 351)
Перша хвиля
Друга хвиля
р *
Мінімальний n (%)
43 ( 21 . 6 %)
68 ( 44 . 7 %)
<0,05
Помірний n (%)
115 ( 57 . 8 %)
64 ( 42 . 1 %)
<0,05
Помірний n (%)
24 ( 12 . 1 %)
15 ( 9 . 9 %)
<0,05
Важкий n (%)
17 ( 8 . 5 %)
5 ( 3 . 3 %)
<0,05
Загальна кількість
N = 199
N = 152
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. Таблиця 6
Показники PSS-10 (N = 351)
Період пандемії
PSS
Низький
n (%)
Помірний
n (%)
Високий
n (%)
Перша хвиля
10 (5,0%)
175 (87,9%)
14 (7,0%)
Друга хвиля
29 (19,1%)
114 (75,0%)
9 (5,9%)
р *
<0,05
<0,05
0,26618
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. Таблиця 4
Зміна режиму сну та харчової поведінки за останні два тижні
За останні два тижні (N = 351)
Перша хвиля
Друга хвиля
р *
Зміна
у режимі сну
Сон знижений
30 (15,1%)
37 (24,5%)
<0,05
Без змін
106 (53,3%)
99 (65,6%)
<0,05
Сон підвищений
63 (31,7%)
16 (10,6%)
<0,05
Зміна харчової поведінки
Втрата апетиту
19 (9,5%)
22 (14,6%)
0,08
Ніяких суттєвих змін
134 (67,3%)
108 (71,5%)
<0,05
Апетит підвищений
46 (23,1%)
21 (13,9%)
<0,05
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. Таблиця 4
Зміна режиму сну та харчової поведінки за останні два тижні
За останні два тижні (N = 351)
Перша хвиля
Друга хвиля
р *
Зміна
у режимі сну
Сон знижений
30 (15,1%)
37 (24,5%)
<0,05
Без змін
106 (53,3%)
99 (65,6%)
<0,05
Сон підвищений
63 (31,7%)
16 (10,6%)
<0,05
Зміна харчової поведінки
Втрата апетиту
19 (9,5%)
22 (14,6%)
0,08
Ніяких суттєвих змін
134 (67,3%)
108 (71,5%)
<0,05
Апетит підвищений
46 (23,1%)
21 (13,9%)
<0,05
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. Зміна режиму сну та харчової поведінки за останні два тижні
і (N
351)
П
Д Зміна режиму сну та харчової поведінки за останні два тижн Таблиця 5
Показники GAD-7 (N = 351)
Перша хвиля
Друга хвиля
р *
Мінімальний n (%)
43 ( 21 . 6 %)
68 ( 44 . 7 %)
<0,05
Помірний n (%)
115 ( 57 . Питання Таблиця 3 Таблиця 3
Розподіл респондентів, які спостерігали фейкові новини, пов’язані з COVID-19, у соціальних мережах
Період спостереження
Ви спостерігали за фальшиві новини
Так
Немає
Перша хвиля
118 (58,8%)
81 (41,2%)
Друга хвиля
61 (39,6%)
91 (60,4%)
Загальна кількість обстежених
n = 179
n = 172
р *
<0,05
<0,05
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. Таблиця 3
Розподіл респондентів, які спостерігали фейкові новини, пов’язані з COVID-19, у соціальних мережах
Період спостереження
Ви спостерігали за фальшиві новини
Так
Немає
Перша хвиля
118 (58,8%)
81 (41,2%)
Друга хвиля
61 (39,6%)
91 (60,4%)
Загальна кількість обстежених
n = 179
n = 172
р *
<0,05
<0,05
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. ПСИХІАТРІЯ, НЕВРОЛОГІЯ ТА МЕДИЧНА ПСИХОЛОГІЯ
PSYCHIATRY, NEUROLOGY AND MEDICAL PSYCHOLOGY 2021. Випуск/Issue 17 Таблиця 5
Показники GAD-7 (N = 351)
Перша хвиля
Друга хвиля
р *
Мінімальний n (%)
43 ( 21 . 6 %)
68 ( 44 . 7 %)
<0,05
Помірний n (%)
115 ( 57 . 8 %)
64 ( 42 . 1 %)
<0,05
Помірний n (%)
24 ( 12 . 1 %)
15 ( 9 . 9 %)
<0,05
Важкий n (%)
17 ( 8 . 5 %)
5 ( 3 . 3 %)
<0,05
Загальна кількість
N = 199
N = 152
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. Таблиця 6
Показники PSS-10 (N = 351)
Період пандемії
PSS
Низький
n (%)
Помірний
n (%)
Високий
n (%)
Перша хвиля
10 (5,0%)
175 (87,9%)
14 (7,0%)
Друга хвиля
29 (19,1%)
114 (75,0%)
9 (5,9%)
р *
<0,05
<0,05
0,26618
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. Таблиця 4
Зміна режиму сну та харчової поведінки за останні два тижні
За останні два тижні (N = 351)
Перша хвиля
Друга хвиля
р *
Зміна
у режимі сну
Сон знижений
30 (15,1%)
37 (24,5%)
<0,05
Без змін
106 (53,3%)
99 (65,6%)
<0,05
Сон підвищений
63 (31,7%)
16 (10,6%)
<0,05
Зміна харчової поведінки
Втрата апетиту
19 (9,5%)
22 (14,6%)
0,08
Ніяких суттєвих змін
134 (67,3%)
108 (71,5%)
<0,05
Апетит підвищений
46 (23,1%)
21 (13,9%)
<0,05
Примітки: * - різниця між даними осені 2020 року та весни 2020 року. Точний критерій Фішера. Висновок. Серед загальної кількості респондентів, 78,6% волі-
ли стежити за новинами із соціальних медіа, а не з
традиційних ЗМІ. Більшість учасників опитування пер-
шої хвилі, у порівнянні з респондентами другої хвилі
пандемії, спостерігали фейкові новини (дезінформа- ПСИХІАТРІЯ, НАРКОЛОГІЯ / PSYCHIATRY, NARCOLOGY / ПСИХИАТРИЯ, НАРКОЛОГИЯ 2021. Випуск/Issue 17
ISSN 2312-5675 (Print) 19 19 стресу переважав серед респондентів під час першої
хвилі пандемії. цію), пов’язані з COVID-19. Вираженість змін харчової
поведінки, розладів нічного сну спостерігалось серед
респондентів під час першої хвилі пандемії, також рес-
понденти цієї групи у більшості випадків страждали на
важкі та помірні симптоми тривоги, а помірний рівень Наше дослідження підтверджує необхідність по-
дальшого вивчення впливу використання соціальних
мереж на психічне здоров`я населення нашої країни. ЛИТЕРАТУРА Coronavirus: the spread of misinformation // BMC
Medicine. – 2020. – P. 18-89. 17. Mian A., Khan S. (2020). Coronavirus: the spread of misinformation // BMC
Medicine. – 2020. – P. 18-89. Medicine. – 2020. – P. 18-89. https://doi.org/10.1186/s12916-020-01556-3 https://doi.org/10.1111/acps.12953 https://doi.org/10.1186/s12916-020-01556-3 1. Policy Brief:COVID-19 and the Need for Action on Mental Health. United
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between fear of missing out, social media addiction, and emotional symptoms in
adolescence: The role of stress associated with neglect and negative reactions on social
media // Addictive Behaviors. – 2020. – Vol. 106. – P. 106364 6. Fabris M.A., Marengo D., Longobardi C., Settanni M. Investigating the links
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Tran T., Khuc Q., Ho M. T., Vuong Q. H. Policy response, social media and science journalism
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lessons // Sustainability (Switzerland). – 2020. – Vol. 12(7). – P. 2931. https://doi.org/10.3390/su12072931 7. Linn B.S., Zeppa R. Stress in junior medical students: Relationship to personality
and performance // Journal of Medical Education. – 1984. – P. 7-12. Tran T., Khuc Q., Ho M. T., Vuong Q. H. Policy response, social media and science journalism
for the sustainability of the public health system amid the COVID-19 outbreak: The vietnam 7. Linn B.S., Zeppa R. Stress in junior medical students: Relationship to personality
and performance // Journal of Medical Education. – 1984. – P. 7-12. https://doi.org/10.1097/00001888-198401000-00002 https://doi.org/10.3390/su12072931 8. Berry N., Emsley R., Lobban F., Bucci S. Social media and its relationship with
mood, self-esteem and paranoia in psychosis // Acta Psychiatrica Scandinavica. –
2018. – Vol. 138. – P. 558-570. 17. Mian A., Khan S. (2020). ЛИТЕРАТУРА 9. Cohen S., Kamarck T., Mermelstein R. Perceived Stress Scale // APA PsycTests. –
1983. – P.23 https://doi.org/10.1037/t02889-000 2. Kim Y. C., Rhee M. The contingent eff ect of social networks on organizational
commitment: A comparison of instrumental and expressive ties in a multinational high-
technology company // Sociological Perspectives. – 2010. – Vol. 53. - Issue. 4. – P. 479-502. 10. Spitzer R.L., Kroenke K., Williams J.B., Lowe B. A brief measure for assessing
generalized anxiety disorder: The GAD-7 // Archives of Internal Medicine. – 2006. –
Vol. 166. – P. 1092-1097. https://doi.org/10.1525/sop.2010.53.4.479 https://doi.org/10.1525/sop.2010.53.4.479 https://doi.org/10.1001/archinte.166.10.1092 3. Gao J., Zheng P., Jia Y., Chen H., Mao Y., Chen S., Wang Y., Fu H., Dai J. Mental
health problems and social media exposure during COVID-19 outbreak. // PLoS ONE. –
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4. Wang C., Pan R., Wan X., Tan Y., Xu L., Ho C. S., Ho R. C. Immediate psychological
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Lancet. – 2020. – Vol. 395. – P. 1321-1322. Res. Public Health. – 2020. – Vol. 17(5). – P. 172
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COVID
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P 5. Garrett O. A Case of Modern Mass Hysteria? The Coronavirus. https://exepose. com/2020/02/13/a-case-of-modern-mass-hysteria-the-coronavirus/ 5. Garrett O. A Case of Modern Mass Hysteria? The Coronavirus. https://exepose. com/2020/02/13/a-case-of-modern-mass-hysteria-the-coronavirus/ pp
,
øj
,
pp
COVID-19: Patients’ Perspective // Telemedicine and e-Health. - 2020. – P. 847-849. https://doi.org/10.1089/tmj.2020.0099
15. Chew C., Eysenbach G. (2010). Pandemics in the age of Twitter: Content analysis
of tweets during the 2009 H1N1 outbreak // PLoS ONE. – 2010. –Vol. 5(11). – P. 14118. https://doi.org/10.1371/journal.pone.0014118
16. La V. P., Pham T. H., Ho M. T., Nguyen M. H., Nguyen K. L., Vuong T. T., Nguyen H. K.,
Tran T., Khuc Q., Ho M. T., Vuong Q. 2. Kim Y. C., Rhee M. The contingent eff ect of social networks on organizational
commitment: A comparison of instrumental and expressive ties in a multinational high-
technology company // Sociological Perspectives. – 2010. – Vol. 53. - Issue. 4. – P. 479-502. 2021. Випуск/Issue 17 journalism for the sustainability of the public health system amid the COVID-19
outbreak: The vietnam lessons. Sustainability (Switzerland). 2020. Vol. 12(7), P. 2931. https://doi.org/10.3390/su12072931
17. Mian A., Khan S. (2020). Coronavirus: the spread of misinformation // BMC
Medicine. 2020, pp. 18-89. https://doi.org/10.1186/s12916-020-01556-3 journalism for the sustainability of the public health system amid the COVID-19
outbreak: The vietnam lessons. Sustainability (Switzerland). 2020. Vol. 12(7), P. 2931. https://doi.org/10.3390/su12072931
17. Mian A., Khan S. (2020). Coronavirus: the spread of misinformation // BMC
Medicine. 2020, pp. 18-89. https://doi.org/10.1186/s12916-020-01556-3 journalism for the sustainability of the public health system amid the COVID-19
outbreak: The vietnam lessons. Sustainability (Switzerland). 2020. Vol. 12(7), P. 2931. https://doi.org/10.3390/su12072931
17. Mian A., Khan S. (2020). Coronavirus: the spread of misinformation // BMC
Medicine. 2020, pp. 18-89. https://doi.org/10.1186/s12916-020-01556-3 journalism for the sustainability of the public health system amid the COVID-19
outbreak: The vietnam lessons. Sustainability (Switzerland). 2020. Vol. 12(7), P. 2931. 14. Pappot N., Taarnhøj G.A., Pappot H. Telemedicine and e-Health Solutions for
COVID-19: Patients’ Perspective. Telemedicine and e-Health. – 2020, pp. 847-849. 14. Pappot N., Taarnhøj G.A., Pappot H. Telemedicine and e-Health Solutions for
COVID-19: Patients’ Perspective. Telemedicine and e-Health. – 2020, pp. 847-849. https://doi.org/10.1089/tmj.2020.0099
15. Chew C., Eysenbach G. (2010). Pandemics in the age of Twitter: Content analysis
of tweets during the 2009 H1N1 outbreak. PLoS ONE. 2010. Vol. 5(11), pp. 14118. https://doi.org/10.1371/journal.pone.0014118
16. La V. P., Pham T. H., Ho M. T., Nguyen M. H., Nguyen K. L., Vuong T. T., Nguyen
H. K., Tran T., Khuc Q., Ho M. T., Vuong Q. H. Policy response, social media and science of tweets during the 2009 H1N1 outbreak. PLoS ONE. 2010. Vol. 5(11), pp. 14118. https://doi.org/10.1371/journal.pone.0014118 16. La V. P., Pham T. H., Ho M. T., Nguyen M. H., Nguyen K. L., Vuong T. T., Nguyen
H. K., Tran T., Khuc Q., Ho M. T., Vuong Q. H. Policy response, social media and science ПСИХІАТРІЯ, НЕВРОЛОГІЯ ТА МЕДИЧНА ПСИХОЛОГІЯ
PSYCHIATRY, NEUROLOGY AND MEDICAL PSYCHOLOGY 20 СВЯЗЬ ПСИХИЧЕСКОГО ЗДОРОВЬЯ ВО ВРЕМЯ ПАНДЕМИИ COVID-19 И ИСПОЛЬЗОВАНИЯ
СОЦИАЛЬНЫХ СЕТЕЙ СВЯЗЬ ПСИХИЧЕСКОГО ЗДОРОВЬЯ ВО ВРЕМЯ ПАНДЕМИИ COVID-19 И ИСПОЛЬЗОВАНИЯ
СОЦИАЛЬНЫХ СЕТЕЙ Харьковский национальный университет имени В. Н. Каразина; площадь
Свободы, 6, 61022, г. Харьков, Украина
gaydabrusandriy@gmail.com
ORCID ID: 0000-0002-6911-3252 Харьковский национальный университет имени В. Н. Каразина; площадь
Свободы, 6, 61022, г. Харьков, Украина
gaydabrusandriy@gmail.com
ORCID ID: 0000-0002-6911-3252 Гайдабрус
Андрей Владимирович REFERENCES Lapach S.N., Chubenko A.V., Babich P.N. Statistical methods in biomedical
research using Excel. Kiev: “Morion”. 2000, p. 320. 5. Garrett O. A Case of Modern Mass Hysteria? The Coronavirus. https://exepose. com/2020/02/13/a-case-of-modern-mass-hysteria-the-coronavirus/ 12. Veltischev D.Yu., Marchenko A.S., Generalized anxiety disorder: epidemiology,
pathogenesis, diagnosis and pharmacotherapy (literature review). Mental disorders in
general medicine. 2011. No 1, pp. 56-64. 6. Fabris M.A., Marengo D., Longobardi C., Settanni M. Investigating the links
between fear of missing out, social media addiction, and emotional symptoms in ad-
olescence: The role of stress associated with neglect and negative reactions on social
media Addictive Behaviors 2020 Vol 106 pp 106364 13. Shunqing Xu, Yuanyuan Li. Beware of a second wave of COVID-19. The Lancet. 2020. Vol. 395, pp. 1321-1322. media. Addictive Behaviors. 2020. Vol. 106, pp. 106364 https://doi.org/10.1016/j.addbeh.2020.106364 ISSN 2312-5675 (Print) 14. Pappot N., Taarnhøj G.A., Pappot H. Telemedicine and e-Health Solutions for
COVID-19: Patients’ Perspective. Telemedicine and e-Health. – 2020, pp. 847-849.
https://doi.org/10.1089/tmj.2020.0099
15. Chew C., Eysenbach G. (2010). Pandemics in the age of Twitter: Content analysis
of tweets during the 2009 H1N1 outbreak. PLoS ONE. 2010. Vol. 5(11), pp. 14118.
https://doi.org/10.1371/journal.pone.0014118
16. La V. P., Pham T. H., Ho M. T., Nguyen M. H., Nguyen K. L., Vuong T. T., Nguyen
H. K., Tran T., Khuc Q., Ho M. T., Vuong Q. H. Policy response, social media and science Гайдабрус
Андрей Владимирович В 2020 году мир столкнулся с распространением коронавирусной инфекции. Распространение инфекции вызвало кризи
COVID-19, а это кризис как физического, так и ментального здоровья. Надлежащее психическое здоровье имеет решающее зна-
чение для функционирования общества во все времена в каждой стране и должно быть в приоритете и в центре реагирования
и восстановления после пандемии COVID-19. Психическое здоровье и благополучие – благосостояние всего общества, были су-
щественно нарушены во время пандемии, и нуждатся в приоритетном изучении. Целью нашего исследования, во время начала
карантинных мероприятий, было выяснить взаимосвязь между использованием социальных сетей и стрессом вместе с тревогой
во время этой пандемии COVID-19. Во время карантина - использование социальных сетей стало одним из источников распро-
странения информации. Мы искали тенденции использования социальных медиа, связь между распространением социальных
сетей с изменениями в поведении, психопатологическими симптомами, такими, как симптомы стресса, тревоги, расстройства
аппетита и ночного сна. Наше исследование было проведено с помощью интернет-опроса лиц, во время первой и второй волн пандемии. Исследовательская работа была направлена на понимание взаимосвязи между социальными сетями и стрессом во время панде-
мии Covid-19 и увидеть динамику изменений. Всего опрошено 199 участников первого тестового периода и 152 участника второго
тестового периода. Мы применили анкеты, оценивали симптомы тревоги и стресса, а именно шкалу воспринятого стресса PSS-10
и тест на тревожное расстройство GAD-7. Большинство участников опроса считали, что использование ими социальных медиа возросло во время пандемии, это
привело к увеличению просмотра и распространения недостоверной информации (фейки), которая влияет на психологическое
благополучие. Негативные аспекты использования социальных сетей могут влиять на уровень тревожности и стресса населения
нашей страны. Распространение фальшивой информации в контексте увеличения времени поиска имеет все предпосылки для
увеличения риска ухудшения психического здоровья в нашей стране во время пандемии. Ключевые слова: COVID-19, социальные сети, тревога, стресс, пандемия. Ключевые слова: COVID-19, социальные сети, тревога, стресс, пандемия. ПСИХІАТРІЯ, НАРКОЛОГІЯ / PSYCHIATRY, NARCOLOGY / ПСИХИАТРИЯ, НАРКОЛОГИЯ 2021. Випуск/Issue 17
ISSN 2312-5675 (Print) 21 Key words: COVID-19, social networks, anxiety, stress, pandemic. THE LINK BETWEEN MENTAL HEALTH DURING THE COVID-19 PANDEMIC AND THE USE OF SOCIAL MEDIA Аndriy V. Haydabrus V. N. Karazin Kharkiv National University; Svobody Square, 6, 61022, Kharkiv,
Ukraine
gaydabrusandriy@gmail.com
ORCID ID: 0000-0002-6911-3252 V. N. Karazin Kharkiv National University; Svobody Square, 6, 61022, Kharkiv,
Ukraine
gaydabrusandriy@gmail.com
ORCID ID: 0000-0002-6911-3252 V. N. Karazin Kharkiv National University; Svobody Square, 6, 61022, Kharkiv,
Ukraine
gaydabrusandriy@gmail.com
ORCID ID: 0000-0002-6911-3252 The world was faced the extensive spread of severe acute respiratory syndrome-coronavirus. The COVID-19 crisis is a crisis of both
physical and mental health. Proper mental health is crucial to the functioning of society at all times in every country and should be a
priority and at the center of response and recovery after the COVID-19 pandemic. Mental health and well-being - the well-being of society
as a whole - have been severely compromised during the pandemic and are a priority for urgent consideration. In the qarantine period,
the social media were important sourses of information. The aim of this study was to fi nd out the relation between social media use
and stress together with anxiety during this pandemic of COVID-19. We are looking for trends of social media use and infl uence that on
behavioral and mental disorders. This study was conducted with the help of an online based survey of individuals from a fi rst wave and
during a second wave of pandemic in Ukraine. It was conducted to understand the relationship between social media and stress during the
Covid-19 pandemic and to see dynamics of change. A total of 199 participants of the fi rst test period and 152 participants of a second test
period responded to the survey which was conducted by snowballing sampling techniques in the convenient atmosphere. We applied two
validated, self-reporting questionnaires namely Perceived Stress Scale and test of Generalized Anxiety Disorder-7. When period of use of social media had increased during the pandemic, it led to an increase in the perception and dissemination of
false information (fakes) that negative aff ected psychological well-being. Negative aspects of the use of social networks can aff ect the level
of anxiety and stress of the population of our country. Among the respondents, 120 (34.2%) think that their mental health and wellbeing
was being deteriorated during this period of pandemic. Total percentage 51.0% of the participants were suff ering from mild anxiety, 11.1%
from moderate anxiety and 6.3% from severe anxiety The dissemination of false information in the context of increased search time has all
the prerequisites for increasing the risk of deteriorating mental health in our country during a pandemic. Key words: COVID-19, social networks, anxiety, stress, pandemic.
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https://openalex.org/W4223617310
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https://www.nature.com/articles/s41598-022-09729-1.pdf
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English
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Association between 24-h movement guidelines and cardiometabolic health in Chilean adults
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Scientific reports
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cc-by
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Ricardo Riquelme1, Leandro F. M. Rezende2, Adilson Marques3,4, Clemens Drenowatz5 &
Gerson Ferrari
6,7* Ricardo Riquelme1, Leandro F. M. Rezende2, Adilson Marques3,4, Clemens Drenowatz5 &
Gerson Ferrari
6,7* This study aimed to examine the association between meeting 24-h movement guidelines and
cardiometabolic health in Chilean adults. We used cross-sectional data of 2618 adults from the Chilean
National Health Survey 2016–2017. Meeting the 24-h movement guidelines was defined as ≥ 600
MET-min/week of physical activity; ≤ 8 h/day of sitting time; and 7 to 9 h/day of sleep duration. Cardiometabolic health indicators were body mass index, waist circumference, high triglycerides, high
blood pressure, type 2 diabetes, metabolic syndrome, and risk of cardiovascular disease in a 10-year
period. Meeting none out of three 24-h movement guidelines (vs all three) was associated with higher
odds of overweight/obesity (OR 1.67; 95%CI 1.45 to 1.89), high waist circumference (1.65; 1.40 to
1.90), hypertension (2.88; 2.23 to 3.53), type 2 diabetes (1.60; 1.26 to 1.94), metabolic syndrome
(1.97; 1.54 to 2.40) and risk of cardiovascular disease (1.50; 1.20, 1.80). Meeting one guideline (vs
three) was associated with higher odds of five of out seven cardiometabolic indicators. Our study
found that the composition of movement behaviors within a 24-h period may have important
implications for cardiometabolic health. From a movement perspective, the 24-h period is distributed among physical activity of various intensities
(light, moderate and vigorous), sedentary behaviors and sleep duration. Engaging in sufficient levels of physi-
cal activity, limiting sitting time, and adequate sleep duration throughout the day have been associated with
several health benefits across the lifespan1–4. Traditionally, studies have focused on investigating independent
associations of physical activity, sitting time, and sleep duration with different health outcomes, or with only
partial adjustment for time spent in other movement behaviors5. However, because recent studies revealed that
these movement behaviors may interact with each other5, there is growing interest in an integrated approach
to movement behavior studies. Previous studies have showed the independent and joint association of physical
activity, sitting time, and sleep duration with poor cardiometabolic health indicators (i.e., adiposity level, HDL-
cholesterol, and triglycerides)6–8.hi g y
The world’s first 24-h movement guidelines that integrate physical activity, sitting time, and sleep duration
was published by Canada7,9, and soon after by Finland, New Zealand, Australia, and in some other countries10–13. As part of such efforts, the World Health Organization (WHO)14 and the National Sleep Foundation15 offer
recommendations for physical activity and sleep duration for different age groups. www.nature.com/scientificreports www.nature.com/scientificreports Association between 24‑h
movement guidelines
and cardiometabolic health
in Chilean adults
OPEN Ricardo Riquelme1, Leandro F. M. Rezende2, Adilson Marques3,4, Clemens Drenowatz5 &
Gerson Ferrari
6,7* Ricardo Riquelme1, Leandro F. M. Rezende2, Adilson Marques3,4, Clemens Drenowatz5 &
Gerson Ferrari
6,7* Although no specific bench-
mark is available for sitting time, it is generally recommended to minimize time spent in sedentary behaviors,
mainly sitting time16,17. To date, no evidence is available to understand the levels of movement behaviors in Latin
American countries inhabitants based on internationally recognized benchmarks such as global physical activ-
ity guidelines or international sleep duration recommendations14,15. The guidelines represent a new approach
to health promotion by including several general recommendations over a that include time spent in physical
activity, sitting time, and sleep duration7. 1Facultad Medicina, Escuela de Nutrición y Dietética, Universidad de los Andes, Santiago, Chile. 2Department of
Preventive Medicine, Escola Paulista de Medicina, Universidade Federal de São Paulo, Sao Paulo, Brazil. 3CIPER,
Faculdade de Motricidade Humana, Universidade de Lisboa, Lisbon, Portugal. 4ISAMB, Universidade de Lisboa,
Lisbon, Portugal. 5Division of Sport, Physical Activity and Health, University of Education Upper Austria, Linz,
Austria. 6Universidad de Santiago de Chile (USACH), Escuela de Ciencias de la Actividad Física, el Deporte y la
Salud, Santiago, Chile. 7Laboratorio de Rendimiento Humano, Grupo de Estudio en Educación, Actividad Física y
Salud (GEEAFyS), Universidad Católica del Maule, Talca, Chile. *email: gerson.demoraes@usach.cl 1Facultad Medicina, Escuela de Nutrición y Dietética, Universidad de los Andes, Santiago, Chile. 2Department of
Preventive Medicine, Escola Paulista de Medicina, Universidade Federal de São Paulo, Sao Paulo, Brazil. 3CIPER,
Faculdade de Motricidade Humana, Universidade de Lisboa, Lisbon, Portugal. 4ISAMB, Universidade de Lisboa,
Lisbon, Portugal. 5Division of Sport, Physical Activity and Health, University of Education Upper Austria, Linz,
Austria. 6Universidad de Santiago de Chile (USACH), Escuela de Ciencias de la Actividad Física, el Deporte y la
Salud, Santiago, Chile. 7Laboratorio de Rendimiento Humano, Grupo de Estudio en Educación, Actividad Física y
Salud (GEEAFyS), Universidad Católica del Maule, Talca, Chile. *email: gerson.demoraes@usach.cl | https://doi.org/10.1038/s41598-022-09729-1 Scientific Reports | (2022) 12:5805 www.nature.com/scientificreports/ Figure 1. Flow chart of the process to obtain the final sample. Figure 1. Flow chart of the process to obtain the final sample. Figure 1. Flow chart of the process to obtain the final sample. Chile, a high-income Latin American country, has experienced a rapid epidemiological and nutritional
transition18. Of note, the prevalence of overweight and metabolic syndrome (defined as a cluster of risk fac-
tors that include abdominal obesity, hypertension, hyperglycemia, and dyslipidemia) reached 78% and 13%,
respectively19,20. Furthermore, the prevalence of type 2 diabetes mellitus increased from 4.2% in 2003 to 12.3% in
201619. Ricardo Riquelme1, Leandro F. M. Rezende2, Adilson Marques3,4, Clemens Drenowatz5 &
Gerson Ferrari
6,7* These transitions might be partially explained by insufficient levels of physical activity, high sitting time,
and inadequate sleep duration throughout the day. However, to our knowledge, no studies in Chile and Latin
American region have examined the association of meeting 24-h movement guidelines with cardiometabolic
health indicators.i In this study, we estimated the prevalence of meeting the general and specific combinations of 24-h move-
ment guidelines by sociodemographic characteristics in Chilean adults. We also examined the associations of
meeting general and specific-combinations of 24-h movement guidelines with cardiometabolic health indicators. Study design and sample. Participants with circulating triglycerides ≥ 150 mg/dL; HDL-C < 40 mg/dL for men,
or < 50 mg/dL for women, or under drug treatment for cholesterol control were considered as high triglycerides19. been described previously . Participants with circulating triglycerides ≥ 150 mg/dL; HDL C < 40 mg/dL for men,
or < 50 mg/dL for women, or under drug treatment for cholesterol control were considered as high triglycerides19. Blood pressure was measured with an Omron HEM-7200 Monitor and participants being seated19,29. Hyper-
tension was defined by a measured systolic blood pressure ≥ 140 mmHg or diastolic blood pressure ≥ 90 mmHg
or self- reported antihypertensive treatment19. g
g
g
g y
Blood pressure was measured with an Omron HEM-7200 Monitor and participants being seated19,29. Hyper-
tension was defined by a measured systolic blood pressure ≥ 140 mmHg or diastolic blood pressure ≥ 90 mmHg
or self- reported antihypertensive treatment19. p
yp
Type 2 diabetes was determined by the presence of any of the following three criteria: (a) self-reported medical
diagnosis of type 2 diabetes, (b) being under medical prescription for type 2 diabetes, (c) having fasting baseline
glycaemic values > 126 mg/dL19.i g y
g
Metabolic syndrome was defined according to the Chilean National Guidelines as having at least three of
the following five components: high waist circumference (> 90 cm for men and > 80 cm for women), low HDL,
hypertension (HDL-C 130/85 mmHG or under BP-lowering treatment) and impaired fasting glucose (IFG,
glucose > 5.6 mmol/L or under treatment with antidiabetic drugs)19.h g
g
The risk of cardiovascular disease was evaluated by the Framingham Risk Score30, which was adapted for
a Chilean population19,31,32. The Framingham Risk Score estimates the possibility of suffering a cardiovascular
event or stroke in a 10-year period for people without a history of a previous cardiovascular event31. Participants
were classified as low (< 5%) and middle/high (≥ 5%) risk of cardiovascular disease in a 10-year period19,31,32. Sociodemographic correlates. Sociodemographic characteristics included sex (women/men), age
(adults [18–64 years], and older adults [≥ 65 years])7, education level (up to primary [< 8 years of studies], sec-
ondary [between 8 and 12 years of studies] and beyond secondary [> 12 years of study]), monthly household
income (stratified into tertiles: lowest [< US $310.00], medium [US $310.00–705.00], and highest [> US 705.00]),
health insurance (private [Isapres], public [Fonasa] or other/none), and indigenous ethnicity (yes/no)19. Study design and sample. Study design and sample. We obtained data from the National Health Survey of Chile (NHS) 2016–
201719. The NHS 2016–2017 was a cross-sectional, household survey that enrolled 6233 participants aged
15 years and older, who habitually reside in private homes located in urban and rural areas of the fifteen regions
of Chile19. A complex, multistage sampling strategy was performed, considering counties as the primary sam-
pling unit, households as the secondary sampling unit, and one participant from selected households as the
tertiary sampling unit. Sampling weights from the survey accounted for differences in selection probability and
non-response rates19. The post-stratification adjustment allowed to expand the sample to the estimated popula-
tion in Chile. Data collection was carried out between August 2016 and March 2017. One participant per house-
hold was randomly selected using a Kish computational algorithm, and the response rate was 67%. Details on
NHS 2016–2017 are available elsewhere19. We excluded from our study adolescents aged 15–17 years (n = 238) and participants with missing or incom-
plete data of physical activity, sitting, sleep duration, or cardiometabolic health (n = 3377). Thus, our final analiti-
cal sample included 2618 adults (Fig. 1). Assessing the 24‑h movement guidelines. The Global Physical Activity Questionnaire (GPAQ) was
used to assess physical activity and sitting time21,22. Developed by the WHO to measure population-level physi-
cal activity behaviors, the GPAQ uses standardized protocols and have shown to be a valid and reliable instru-
ment to incorporate cultural and other differences21,22. Participants provided information on the duration, fre-
quency, and intensity of physical activities performed in three domains (occupational, active commuting, and
recreational). For each domain, metabolic-equivalent tasks (MET; where 1 MET = ~ 3.5 ml O2 kg−1 Min−1) were
assigned according to the GPAQ protocol (4-METs was used for moderate and transport-related activities and
8-METs for vigorous activities). Total self-reported physical activity was calculated as the sum of MET-min/
week−1 across all three domains. Participants were subsequently categorized as physically inactive (< 600 MET-
min/week−1) or active (≥ 600 MET-min/week−1)23. Prevalences were based on 600 MET-min/week, which is
approximately 150 min/week of moderate to vigorous physical activity24. https://doi.org/10.1038/s41598-022-09729-1 Scientific Reports | (2022) 12:5805 | www.nature.com/scientificreports/ A single question from the GPAQ was used to measure sitting time25,26. Study design and sample. The question was (i) “How much time
do you usually spend sitting or reclining at work, at home, getting to and from places, or with friends including
time spent sitting at a desk, sitting with friends, travelling in car, bus, or train, reading, playing cards or watch-
ing television, but do not include time spent sleeping on a typical day?” The participant responded in hours and
minutes per day. This question has shown fair validity as was similarly reported in other countries (r = 0.23 to
0.26)25,26. We adopted the cutpoint of spend ≤ 8 h/day as guideline for sitting time7,9. p
p
p
y
g
g
Self-reported sleep duration was assessed using two items, which asked participants to report their time
spent sleeping on a typical day19. The sleep questionnaire consisted of two questions examining the sleep dura-
tion (hours/day): “How much time did you usually sleep on weekdays and weekends?” These questions were
asked separately for weekdays and weekend days. The average sleep duration per day was calculated as follows
= [(weekday time*5) + (weekend day time*2)]/719. Sleep duration values were dichotomized into meeting (≥ 7
and ≤ 9 h/day) or not meeting (< 7 or > 9 h/day) the sleep duration guidelines7,9. Cardiometabolic health indicators. All measurements of cardiometabolic health were taken by previ-
ously trained professionals, using standard protocols19. The collected variables were body height and weight,
waist circumference, triglycerides, blood pressure, and indicators for type 2 diabetes. In addition, based on the
abovementioned cardiometabolic indicators, metabolic syndrome status and risk of cardiovascular disease were
determined19. Height was measured with a portable stadiometer with accuracy to the nearest 0.1 cm)19. Weight was meas-
ured with a digital scale (Tanita HD713) with an accuracy of 0.1 kg19. Weight measurements were taken barefoot,
and the participants wearing light clothing. Body mass index (kg/m2) was calculated (weight [kg]/height [m2])
and participants were categorized as underweight/eutrophic (≤ 24.9 kg/m2) or overweight/obesity (≥ 25.0 kg/
m2)19,27. )
Waist circumference (cm) was measured midpoint between the lower coastal ridge and the upper margin
of the superior iliac crest, using a flexible plastic tape19. Central obesity was defined as > 88 cm for women
and > 102 cm for men19,28.t Venous blood samples were obtained after at least 8 h of fasting according standardized methods that have
been described previously19. Results In addition, 12.6% (95% CI 9.9, 15.3) of participants met physical activity and sitting time, 9.5% (95% CI 8.9,
10.1) met sleep duration and sitting time, while 12.0% (95% CI 8.1, 15.9) of participants met physical activity
and sleep duration guidelines (Table 2).i p
g
Figures 2 and 3 show the proportion of participants meeting the general and specific combinations according
sociodemographic characteristics. A total of 16.6% of men and 20.9% of women met all three recommendations,
whereas 4.2% and 3.9% met none of the three recommendations, respectively. Older adults, women, those with
up to primary education level, indigenous ethnicitiy and living in rural areas were more likely to meet all three
24-h movement guidelines. g
Not meeting any 24-h movement guidelines was associated with higher odds of body mass index (OR 1.67;
95% CI 1.45 to 1.89), waist circumference (OR 1.65; 95% CI 1.40 to 1.90), hypertension (OR 2.88; 95% CI 2.23 to
3.53), type 2 diabetes (OR 1.60; 95% CI 1.26 to 1.94), metabolic syndrome (OR 1.97; 95% CI 1.54 to 2.40) and
risk of cardiovascular disease (OR 1.50; 95% CI 1.20 to 1.80) compared to participants meeting all three 24-h
movement guidelines. Compared to participants meeting all three 24-h movement guidelines, those meeting
only one out of three guidelines had higher odds of triglycerides (OR 1.75; 95% CI 1.40 to 2.10), hypertension
(OR 1.44; 95% CI 1.11 to 1.77), type 2 diabetes (OR 2.61; 95% CI 2.10 to 3.12), metabolic syndrome (OR 1.54;
95% CI 1.11 to 1.97), and risk of cardiovascular disease (OR 1.12; 95% CI 1.05 to 1.19). These associations were
not statistically significant when compared participants meeting two vs all three guidelines (Table 3).i y
gi
p
p
p
g
g
In the specific combinations of movement behaviors, meeting both physical activity and sleep duration was
associated with higher odds of triglycerides (OR 1.15; 95% CI 1.06 to 1.24), hypertension (OR 1.75; 95% CI
1.40 to 2.10), type 2 diabetes (OR 1.50; 95% CI 1.23 to 1.77), and metabolic syndrome (OR 1.70; 95% CI 1.26 to
2.14) compared to met all three meeting 24-h movement guidelines. Furthermore, sleep duration and sitting time
was associated with higher odds of five (waist circumference, triglycerides, hypertension, type 2 diabetes, and
metabolic syndrome) of out seven cardiometabolic indicators compared to meeting all three recommendations. Results Participants sociodemograhic characteristics, lifestyle risk factors and cardiometabolic health indicators by 24-h
movement guideline groups are presented in Table 1. The total number of participants included in the study was
2618 (1661; 63.4% women) with a mean age of 49.4 years (SD: 18.9). Overall, 25.1% were older adults (≥ 65 years),
54.8% had 8 to 12 years of education, 49.7% were in the lowest of household income group, 88.2% had access to
health insurance, 88.3% were not of indigenous heritage, 82.7% lived in urban areas, 50.9% ate ≤ 4 days/week of
fruit and vegetables, 73.2% were never/former tobacco smokers and 73.9% consumed alcohol. Most participants
(76.4%) were classified as living with overweight/obesity. Almost half (46.1%) had high waist circumference,
33.7% had high triglycerides, 36.6% had hypertension, 15.5% had type 2 diabetes, 45.1% had metabolic syndrome,
and 30.9% had a high risk of cardiovascular disease (Table 1). We did not observed differences (p > 0.05) between
the participants who had complete data and those who were excluded from the analytical sample in terms of sex,
age group and educational level (data not shown). g g
p
Participants meeting all three 24-guideline recommendations were more likely older, women, had lower
household income and higher acces to public health insurance, indigenous, and living in rural area compared
to those meeting none of the guidelines. Participants meeting all three 24-guideline were also more likely never
smokers and had higher consumption of fruits and vegetable and alcohol compared to those meeting none of
the guidelines (Table 1).hi g
The prevalences of meeting general and specific combinations of the 24 h movement guidelines are presented
in Table 2. Overall, 18.1% (95% CI 15.5, 20.7) of the sample met all three recommendations, 44.7% (95% CI
41.5, 47.9) met two, 33.1% (95% CI 29.8, 36.4) one, and 4.1% (95% CI 2.5, 5.7) met none of the three recom-
mendations. We also found the following prevalences of meeting the specific guidelines: 22.0% (95% CI 18.1,
25.9) for physical activity, 15.2% (95% CI 11.7, 18.7) for sitting time, 6.5% (95% CI 4.1, 8.9) for sleep duration. Study design and sample. In
Chile, there are two main ethnicities; the first relates to Indigenous, and the second relates to those with other
roots33. We also considered urban–rural geographic areas based on the Chilean population census19. Lifestyle
risk factors included low consumption of fruits and vegetables (≤ 4 days per week)20, tobacco smoking (never/
former or smoker)20, any alcohol consumption (using the short version of Alcohol Use Disorder Identifcation
Test (AUDIT-C)34, adapted and validated for Chile residents35. Statistical analysis. Descriptive data were presented as means, standard deviation (SD), frequency, and
proportions according to sociodemographic correlates and cardiometabolic health. Each participant was catego-
rized as either “meeting” or “not meeting” the 24-h movement guidelines as follows: (1) engage in ≥ 600 MET-
min/week of physical activity; (2) spend ≤ 8 h/day in sitting time; and (3) obtain between 7 and 9 h/day of sleep
duration7,9. The number of 24-h movement guidelines (0–3) met was created. For instance, the participants who
met all three recommendations for physical activity, sitting time and sleep duration were categorized as meet-
ing the integrated all three movement guidelines. In the specific-combination of 24-h movement guidelines, the
proportion of participants meeting the physical activity, sitting time, and sleep duration and combinations of the
guidelines (“none”, “only physical activity guideline met”, “only sitting time guideline met”, “only sleep duration
guideline met”, “both the physical activity and sitting time guidelines met”, “both the physical activity and sleep
duration guidelines met”, “both the sitting time and sleep duration guidelines met”, and “all three guidelines
met”) were also calculated. https://doi.org/10.1038/s41598-022-09729-1 Scientific Reports | (2022) 12:5805 | www.nature.com/scientificreports/ Multivariable logistic regression models were performed to estimate odds ratios (OR) and 95% confidence
interval for the association between 24-h movement guidelines and cardiometabolic health indicators (depend-
ent variable). Models were adjusted for the following potential confounders: region, sex, age, education level,
monthly household income, health insurance, ethnicity, geographic area, fruits and vegetables consumption,
tobacco consumption, and alcohol consumption. All analyses considered the NHS 2016–2017 complext sampling
design19,20. Weights took into account the complex sampling design and the four levels of multistage sampling. All statistical analyses were conducted using SPSS V28 software (SPSS Inc., IBM Corp., Armonk, New York, NY,
USA). A significance level of p < 0.05 was adopted. Ethics approval and consent to participate. Study design and sample. The NHS was funded by the Chilean Ministry of Health
and approved by the Research Ethics Committee of the Faculty of Medicine of the Pontificia Universidad
Católica de Chile (project number 16-019). Informed consent was obtained from all subjects and/or their legal
guardian(s). All aspects of the study were in accordance with the Declaration of Helsinki and were performed in
accordance with relevant guidelines and regulations. Results Meeting a combination of physical activity and sitting time vs meeting all three guidelines was not associated
with a higher odds of all cardiometabolic health indicators (Table 3). Meeting only the physical activity or only sitting time guidelines were associated with higher odds of six
(except triglycecerides for physical activity, and waist circumference for sitting time) out of seven cardiometabolic
indicators compared to meeting all three 24-h movement guidelines. Meeting only sleep duration guidelines
vs meeting all three guidelines was not associated with a higher odds of all cardiometabolic health indicators
(Table 3). Scientific Reports | (2022) 12:5805 | https://doi.org/10.1038/s41598-022-09729-1 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Total (n = 2618)
Met none guidelines (%)
Met one of the three guidelines
(%)
Met two of the three guidelines
(%)
Met all three guidelines (%)
Sociodemografic correlates (%)
Categorical age
Adults (18–64 years)
1961 (74.9)
74.9
80.5
77.3
69.0
Older adults (≥ 65 years)
657 (25.1)
25.1
19.5
22.7
31.0
Sex
Men
957 (36.6)
53.3
44.8
39.1
29.0
Women
1661 (63.4)
46.7
55.2
60.9
71.0
Education level
Up to primary (< 8 years)
649 (24.8)
26.7
20.7
25.1
26.3
Secondary (8–12 years)
1435 (54.8)
53.3
58.2
54.6
53.5
Beyond secondary (> 12 years)
534 (20.4)
20.0
21.1
20.3
20.2
Monthly household income
Lowest
1302 (49.7)
46.7
48.6
49.4
50.8
Medium
939 (35.9)
46.6
37.6
36.0
34.7
Highest
377 (14.4)
6.7
13.8
14.6
14.5
Health insurance
Private
212 (8.1)
13.3
8.9
7.6
8.3
Public
2308 (88.2)
80.0
87.6
88.2
88.4
Other/none
98 (3.7)
6.7
3.5
4.2
3.3
Indigenous ethnicity
Yes
306 (11.7)
0.0
9.9
11.4
13.2
No
2312 (88.3)
100.0
90.1
88.6
86.8
Geographic area
Urban
2164 (82.7)
86.7
85.2
82.7
81.4
Rural
454 (17.3)
13.3
14.8
17.3
18.6
Fruits and vegetables consumption
≤ 4 days/week
1333 (50.9)
53.3
49.5
52.0
50.0
> 4 days/week
1285 (49.1)
46.7
50.5
48.0
50.0
Tobacco consumption
Current
701 (26.8)
40.0
37.1
29.9
23.4
Never/former
1917 (73.2)
60.0
62.9
70.1
76.6
Alcohol consumption
Yes
1934 (73.9)
54.5
74.0
74.9
72.7
No
684 (26.1)
45.5
26.0
25.1
27.3
Cardiometabolic health
Body mass index (%)
Underweight/eutrophic
619 (33.6)
20.0
25.1
24.7
21.6
Overweight/obesity
1999 (76.4)
80.0
74.9
75.3
78.4
Waist circumference
Below threshold
1411 (53.9)
33.3
56.1
56.3
49.9
Above threshold
1207 (46.1)
66.7
43.9
43.7
50.1
Triglycerides
Normal
1735 (66.3)
73.3
66.4
65.4
67.2
High
883 (33.7)
26.7
33.6
34.6
32.8
Hypertension
No
1659 (63.4)
73.3
66.7
64.5
60.1
Yes
959 (36.6)
26.7
33.3
35.5
39.9
Type 2 diabetes
No
2212 (84.5)
86.7
88.5
84.3
83.1
Yes
406 (15.5)
13.3
11.5
15.7
16.9
Metabolic syndrome
No
1437 (54.9)
73.3
58.2
55.1
52.7
Yes
1181 (45.1)
26.7
41.8
44.9
47.3
Risk of CVD
Low
1178 (45.0)
80.0
72.8
69.8
66.1
Middle/high
1440 (55.0)
20.0
27.2
30.2
33.9 https://doi.org/10.1038/s41598-022-09729-1 www.nature.com/scientificreports/ Table 1. Participants socidemographic characteristics, lifestyle risk factors, and cardiometabolic health
indicators according to 24-h movement guidelines. CVD Cardiovascular disease. Table 1. Participants socidemographic characteristics, lifestyle risk factors, and cardiometabolic health
indicators according to 24-h movement guidelines. CVD Cardiovascular disease. Table 2. Discussion
U i Using a representative sample of adults from Chile, our study examined the associations between different combi-
nations of meeting 24-h movement guidelines and cardiometabolic health in Chilean adults. We found that 18%
of participants met all three 24-h movement guidelines. Participants meeting none out of three 24-h movement
guidelines had higher odds of overweight/obesity, above threshold waist circumference, hypertension, type 2
diabetes, metabolic syndrome and risk of cardiovascular disease compared to meeting all three guidelines. The
results also showed that meeting only one of the three 24-h movement guidelines was associated with higher
odds of having several cardiometabolic risk factors compared to meeting all three guidelines.hi g
p
g
g
This study is the first to examine the prevalence of 24-h movement guidelines in Chilean adults. Our study
may also contribute to the scientific evidence regarding the association of movement behavior with health out-
comes. In line with the findings of our analyses, two recent systematic reviews with compositional data analysis
studies suggested that the composition of movement behaviors across the 24-h day (including physical activity,
sitting time, and sleep duration) was associated with cardiometabolic health indicators (i.e., body mass index,
waist circumference, triglycerides, hypertension)6,36.i g y
yp
To properly analyze movement behaviours constrained to, but filling, the 24-h period compositional analy-
ses are recommended9,17. As none of the 24-h movement behaviors are independent of each other, and each of
these behaviors has reciprocal effects on the others37, it has been recommended that it is unsuitable for studying
their associations with important health implications separetely. Compositional data analysis methods allow for
general 24-h time use among dissimilar movement behaviors to be assessed. Compositional approaches address
multicollinearity issues between movement variables, ensure that estimates are fully adjusted for all-time habit,
and allow for the inspection of mutual and synergistic associations of the 24-h movement behaviors with health
indicators38. Our findings support the importance the association between the daily composition of movement
behaviors and cardiometabolic health.h This study found that meeting none and one out of three recommendations was associated with a increased
odds of cardiometabolic risk compared to meeting all three guidelines. Even specific combinations of meeting 2
out of 3 movement guidelines may not suffice to ensure optimal cardiometabolic health. Rao et al. www.nature.com/scientificreports/ Meeting guidelines was defined as ≥ 600 MET-min/week−1 of physical
activity, ≤ 8 h/day of sitting time, and between 7 and 9 h/day of sleep duration. www.nature.com/scientificreports/ Proportion [% (95% CI)] of participants meeting the physical activity, sitting time and sleep duration
and combinations of these guidelines. Meeting guidelines was defined as ≥ 600 MET-min/week−1 of physical
activity, ≤ 8 h/day of sitting time, and between 7 and 9 h/day of sleep duration. Meeting guidelines
Total (n = 2618)
n
% (95% CI)
General combinations of movement behaviors, %
All three (physical activity and sitting time and sleep duration)
473
18.1 (15.5 to 20.7)
Two out of three
1171
44.7 (41.5 to 47.9)
One out of three
867
33.1 (29.8 to 36.4)
None
107
4.1 (2.5 to 5.7)
Specific combinations of movement behaviors, %
All three (physical activity and sitting time and sleep duration)
473
18.1 (15.5 to 20.7)
Physical activity and sitting time
329
12.6 (9.9 to 15.3)
Physical activity and sleep duration
315
12.0 (8.1, 15.9)
Sleep duration and sitting time
249
9.5 (8.9 to 10.1)
Only physical activity
577
22.0 (18.1 to 25.9)
Only sitting time
397
15.2 (11.7 to 18.7)
Only sleep duration
171
6.5 (4.1 to 8.9)
None
107
4.1 (2.5 to 5.7) Meeting guidelines
Total (n = 2618)
n
% (95% CI)
General combinations of movement behaviors, %
All three (physical activity and sitting time and sleep duration)
473
18.1 (15.5 to 20.7)
Two out of three
1171
44.7 (41.5 to 47.9)
One out of three
867
33.1 (29.8 to 36.4)
None
107
4.1 (2.5 to 5.7)
Specific combinations of movement behaviors, %
All three (physical activity and sitting time and sleep duration)
473
18.1 (15.5 to 20.7)
Physical activity and sitting time
329
12.6 (9.9 to 15.3)
Physical activity and sleep duration
315
12.0 (8.1, 15.9)
Sleep duration and sitting time
249
9.5 (8.9 to 10.1)
Only physical activity
577
22.0 (18.1 to 25.9)
Only sitting time
397
15.2 (11.7 to 18.7)
Only sleep duration
171
6.5 (4.1 to 8.9)
None
107
4.1 (2.5 to 5.7) Table 2. Proportion [% (95% CI)] of participants meeting the physical activity, sitting time and sleep duration
and combinations of these guidelines. Meeting guidelines was defined as ≥ 600 MET-min/week−1 of physical
activity, ≤ 8 h/day of sitting time, and between 7 and 9 h/day of sleep duration. Table 2. Proportion [% (95% CI)] of participants meeting the physical activity, sitting time and sleep duration
and combinations of these guidelines. www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 2. Proportion (%) of participants meeting the general combinations according sociodemographic
characteristics. Figure 2. Proportion (%) of participants meeting the general combinations according sociodemographic
characteristics. Figure 2. Proportion (%) of participants meeting the general combinations according sociodemographic
characteristics. In a recent study that examined the temporal and bidirectional relationship between objectively-measured
sleep duration, sitting time, and physical activity, results indicated that higher levels of physical activity were
related with adequade sleep duration, whereas increased sitting time was concomitant with poor sleep duration41,
and these interactions may influence cardiometabolic health indicators. The complex temporal and reciprocal
relationships between the 24-h movement behaviors remains poorly understood. Clarifying these interactions,
and their relationship with other outcomes is essential for notifying targeted intervention approaches to increase
the amount of people meeting all movement guidelines in order to reduce the burden of non-communicable
diseases. The quantity of studies using compositional analyses and/or assessing compliance with the 24-h move-
ment guidelines to analyse interactions with well-being is rapidly increasing. These findings are essential for
understanding 24-h movement behaviors in Latin American adults and establishing evidence-based interventions
for preventing cardiometabolic diseases.h p
g
The evidence presented in our study suggests that 18.1% of Chilean adults met the integrated 24-h movement
behavior recommendations (i.e., a combination of physical activity, sitting time, and sleep duration recommen-
dations). A recent systematic review also highlights the lack of data on compliance of movement guidelines in
aduts and older adults6. Future studies are necessary to gain a more thorough understanding of the proportion
of individuals who simultaneously achieve all of the movement behavior recommendations and the associations
with cardiometabolic health indicators.h This study has several limitations. One limitation of the study is the cross-sectional design which cannot reveal
the temporal relationship between 24-h movement behaviors and cardiometabolic health indicators. Further,
the NHS and other publicly available national health surveillance data rely on self-reported measures, which
are subject to measurement error. The limited sample size of “none" group means that caution must be exercised
when interpreting our findings on guidelines met none. In addition, 3615 participants, were excluded from the
analyses due to incomplete data, which may have led to selection bias. However, participants excluded due to
missing data were similar (p > 0.05) to those included in our study in terms of sex, age group and educational
level. Discussion
U i also found a
dose–response relationship between the number of movement guidelines met and physical, mental, and social
health outcomes, such as physical activity, screen time, prosocial behaviours, and life satisfaction39. Similar results
were also reported in children with a dose–response relationship between meeting movement guidelines and
reduced risk of obesity40. Our study, however, showed that the combination of sufficient physical activity and
lower sitting time may provide beneficial effects on maintaining cardiometabolic health. Meeting sleep duration
and sitting time, on the other hand, was associated with higher odds of five (waist circumference, triglycerides,
hypertension, type 2 diabetes, and metabolic syndrome) out of seven cardiometabolic indicators compared to
meeting all three recommendations. Only meeting sleep duration guidelines, however, was not associated with
cardiometablic health indicators compared to meeting all three guidelines. Scientific Reports | (2022) 12:5805 | https://doi.org/10.1038/s41598-022-09729-1 www.nature.com/scientificreports/ Figure 3. Proportion (%) of participants meeting the specific combinations according sociodemographic
characteristics. Figure 3. Proportion (%) of participants meeting the specific combinations according sociodemographic
characteristics. without considering muscle-strengthening activities and other light activites. We also used sitting time to estim
total sitting time. This measure may not capture time spent lying down, for example42.h h
There are several strengths of the present study, however, that should be considered. Associations were
adjusted for several potential confounders, such as sex, age, education level, monthly household income, health
insurance, ethnicity, geographic area and other lifestyle risk factors. We used objective measurements for body
mass index, waist circumference, triglycerides, blood samples, and blood pressure. A large sample size also
ensured adequate statistical power. Furthermore, currently, there has been limited data on 24-h movement
behavior in Latin America; countries need to develop these to allow greater measurement, surveillance and
promotion of movement behaviors among adults in this region.i Our findings, illustrate important considerations that must be made about the content of new guidelines
released in Chile. Longitudinal and intervention studies are needed to examine a wide range of cardiometabolic
health that are potentially associated with the 24-h movement guidelines. Future studies should also apply device-
based measures of physical activity (e.g., accelerometers) or combine them with subjective ones (e.g., diaries and
questionnaires) to assess movement behaviors in more detail. www.nature.com/scientificreports/ The physical activity guidelines were only calculated based on moderate-to-vigorous physical activity Scientific Reports | (2022) 12:5805 | https://doi.org/10.1038/s41598-022-09729-1 www.nature.com/scientificreports/ Conclusions In summary, around one out of five adults met the 24-h movement behavior guidelines in Chile. Meeting none
or one out of three 24-h movement behavior guidelines was associated with higher odds of having poor car-
diometabolic indicators in Chilean adults. National public health efforts are needed to promote more physical
activity, less sitting time, and adequate sleep duration among Chilean residents to increase the proportion of
individuals meeting at least 2, and preferably all three, existing 24-h movement recommendations. Future efforts
should, therefore, consider novel strategies to simultaneously improve physical activity, sitting time and sleep
duration in adults. https://doi.org/10.1038/s41598-022-09729-1 Scientific Reports | (2022) 12:5805 | www.nature.com/scientificreports/ Table 3. Multivariable logistic regression models for the associations of meeting physical activity, sitting
time, sleep duration, and combinations of these recommendations with cardiometabolic health in Chilean
adults. BMI body mass index, WC waist circumference, CVD cardiovascular disease, OR odds ratio, 95% CI
confidence interval 95%, PA physical activity, ST sitting time. Multinomial logistic regression model with
cardiometabolic health as dependent variable adjusted for region, sex, age, education level, monthly household
income, health insurance, ethnicity, geographic area, fruits and vegetables consumption, tobacco consumption,
and alcohol consumption. a 0 = underweight/eutrophic; 1 = overweight/obesity. b 0 = below threshold; 1 = above
threshold. c 0 = no; 1 = yes. d 0 = low; 1 = middle/high. *p < 0.05. Conclusions d 0 = low; 1 = middle/high. *p < 0.05. Data availability
Th d
d Data availability
The datasets generated and/or analysed during the current study are available in the database repository of the
Epidemiology Department of the Chilean Ministry of Health: http://epi.minsal.cl/bases-de-datos/. The datasets generated and/or analysed during the current study are available in the database repository of the
Epidemiology Department of the Chilean Ministry of Health: http://epi.minsal.cl/bases-de-datos/. Received: 19 January 2022; Accepted: 28 March 2022 Received: 19 January 2022; Accepted: 28 March 2022 Conclusions Meeting guidelines
BMI (overweight/
obesity)
OR (95%CI)a
WC (above
threshold) OR
(95%CI)b
Triglycerides (yes)
OR (95%CI)c
Hypertension (yes)
OR (95%CI)c
Type 2 diabetes
(yes)
OR (95%CI)c
Metabolic
syndrome (yes)
OR (95%CI)c
Risk of CVD
(middle/high)
OR (95%CI)d
Guidelines met all
three
1.00 (Reference)
1.00 (Reference)
1.00 (Reference)
1.00 (Reference)
1.00 (Reference)
1.00 (Reference)
1.00 (Reference)
Guidelines met two
out of three
1.15 (0.90 to 1.40)
0.92 (0.72 to 1.12)
1.08 (0.88 to 1.28)
0.81 (0.56 to 1.06)
0.70 (0.33 to 1.07)
1.11 (0.85 to 1.37)
0.72 (0.58 to 0.90)
Guidelines met one
out of three
0.80 (0.37 to 1.23)
0.72 (0.35 to 1.09)
1.75 (1.40 to 2.10)*
1.44 (1.11 to 1.77)*
2.61 (2.10 to 3.12)*
1.54 (1.11 to 1.97)*
1.12 (1.05 to 1.19)*
Guidelines met none
out of three
1.67 (1.45 to 1.89)*
1.65 (1.40 to 1.90)*
1.21 (0.95 to 1.38)
2.88 (2.23 to 3.53)*
1.60 (1.26 to 1.94)*
1.97 (1.54 to 2.40)*
1.50 (1.20 to 1.80)*
Guidelines met PA
and ST
1.10 (0.90 to 1.30)
0.75 (0.15 to 1.35)
1.06 (0.90 to 1.22)
0.91 (0.67 to 1.15)
1.45 (0.91 to 2.36)
1.83 (0. Conclusions 79 to 2.87)
0.99 (0.83 to 1.19)
Guidelines met PA
and sleep duration
1.16 (0.96 to 1.36)
1.02 (0.81 to 1.23)
1.15 (1.06 to 1.24)*
1.75 (1.40 to 2.10)*
1.50 (1.23 to 1.77)*
1.70 (1.26 to 2.14)*
1.15 (0.90 to 1.40)
Guidelines met sleep
duration and ST
0.93 (0.27 to 1.59)
1.26 (1.05 to 1.47)*
2.46 (1.46 to 3.46)*
2.02 (1.60 to 2.44)*
2.16 (1.74 to 2.58)*
1.89 (1.44 to 2.34)*
1.67 (0.54 to 2.80)
Guidelines met
only PA
1.89 (1.50 to 2.28)*
1.70 (1.36 to 2.04)*
1.10 (0.83 to 1.37)
2.68 (2.15 to 3.21)*
1.47 (1.13 to 1.81)*
1.26 (1.04 to 1.48)*
1.50 (1.21 to 1.79)*
Guidelines met
only ST
1.27 (1.05 to 1.49)*
1.08 (0.83 to 1.33)
1.44 (1.12 to 1.76)*
1.90 (1.40 to 2.40)*
1.50 (1.03 to 1.97)*
2.16 (1.34 to 2.98)*
1.30 (1.06 to 1.54)*
Guidelines met only
sleep duration
1.08 (0.96 to 1.20)
0.90 (0.75 to 1.05)
1.02 (0.84 to 1.20)
1.23 (0.97 to 1.49)
1.78 (0.70 to 2.86)
1.12 (0.62 to 1.74)
1.03 (0.60 to 1.46) Meeting guidelines
BMI (overweight/
obesity)
OR (95%CI)a
WC (above
threshold) OR
(95%CI)b
Triglycerides (yes)
OR (95%CI)c
Hypertension (yes)
OR (95%CI)c
Type 2 diabetes
(yes)
OR (95%CI)c
Metabolic
syndrome (yes)
OR (95%CI)c
Risk of CVD
(middle/high)
OR (95%CI)d
Guidelines met all
three
1.00 (Reference)
1.00 (Reference)
1.00 (Reference)
1.00 (Reference)
1.00 (Reference)
1.00 (Reference)
1.00 (Reference)
Guidelines met two
out of three
1.15 (0.90 to 1.40)
0.92 (0.72 to 1.12)
1.08 (0.88 to 1.28)
0.81 (0.56 to 1.06)
0.70 (0.33 to 1.07)
1.11 (0.85 to 1.37)
0.72 (0.58 to 0.90)
Guidelines met one
out of three
0.80 (0.37 to 1.23)
0.72 (0.35 to 1.09)
1.75 (1.40 to 2.10)*
1.44 (1.11 to 1.77)*
2.61 (2.10 to 3.12)*
1.54 (1.11 to 1.97)*
1.12 (1.05 to 1.19)*
Guidelines met none
out of three
1.67 (1.45 to 1.89)*
1.65 (1.40 to 1.90)*
1.21 (0.95 to 1.38)
2.88 (2.23 to 3.53)*
1.60 (1.26 to 1.94)*
1.97 (1.54 to 2.40)*
1.50 (1.20 to 1.80)*
Guidelines met PA
and ST
1.10 (0.90 to 1.30)
0.75 (0.15 to 1.35)
1.06 (0.90 to 1.22)
0.91 (0.67 to 1.15)
1.45 (0.91 to 2.36)
1.83 (0. Conclusions 79 to 2.87)
0.99 (0.83 to 1.19)
Guidelines met PA
and sleep duration
1.16 (0.96 to 1.36)
1.02 (0.81 to 1.23)
1.15 (1.06 to 1.24)*
1.75 (1.40 to 2.10)*
1.50 (1.23 to 1.77)*
1.70 (1.26 to 2.14)*
1.15 (0.90 to 1.40)
Guidelines met sleep
duration and ST
0.93 (0.27 to 1.59)
1.26 (1.05 to 1.47)*
2.46 (1.46 to 3.46)*
2.02 (1.60 to 2.44)*
2.16 (1.74 to 2.58)*
1.89 (1.44 to 2.34)*
1.67 (0.54 to 2.80)
Guidelines met
only PA
1.89 (1.50 to 2.28)*
1.70 (1.36 to 2.04)*
1.10 (0.83 to 1.37)
2.68 (2.15 to 3.21)*
1.47 (1.13 to 1.81)*
1.26 (1.04 to 1.48)*
1.50 (1.21 to 1.79)*
Guidelines met
only ST
1.27 (1.05 to 1.49)*
1.08 (0.83 to 1.33)
1.44 (1.12 to 1.76)*
1.90 (1.40 to 2.40)*
1.50 (1.03 to 1.97)*
2.16 (1.34 to 2.98)*
1.30 (1.06 to 1.54)*
Guidelines met only
sleep duration
1.08 (0.96 to 1.20)
0.90 (0.75 to 1.05)
1.02 (0.84 to 1.20)
1.23 (0.97 to 1.49)
1.78 (0.70 to 2.86)
1.12 (0.62 to 1.74)
1.03 (0.60 to 1.46) Table 3. Multivariable logistic regression models for the associations of meeting physical activity, sitting
time, sleep duration, and combinations of these recommendations with cardiometabolic health in Chilean
adults. BMI body mass index, WC waist circumference, CVD cardiovascular disease, OR odds ratio, 95% CI
confidence interval 95%, PA physical activity, ST sitting time. Multinomial logistic regression model with
cardiometabolic health as dependent variable adjusted for region, sex, age, education level, monthly household
income, health insurance, ethnicity, geographic area, fruits and vegetables consumption, tobacco consumption,
and alcohol consumption. a 0 = underweight/eutrophic; 1 = overweight/obesity. b 0 = below threshold; 1 = above
threshold. c 0 = no; 1 = yes. d 0 = low; 1 = middle/high. *p < 0.05. Table 3. Multivariable logistic regression models for the associations of meeting physical activity, sitting
time, sleep duration, and combinations of these recommendations with cardiometabolic health in Chilean
adults. BMI body mass index, WC waist circumference, CVD cardiovascular disease, OR odds ratio, 95% CI
confidence interval 95%, PA physical activity, ST sitting time. Multinomial logistic regression model with
cardiometabolic health as dependent variable adjusted for region, sex, age, education level, monthly household
income, health insurance, ethnicity, geographic area, fruits and vegetables consumption, tobacco consumption,
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The authors declare no competing interests. The authors declare no competing interests. © The Author(s) 2022 Additional information Correspondence and requests for materials should be addressed to G.F. Reprints and permissions information is available at www.nature.com/reprints. Reprints and permissions information is available at www.nature.com/reprints. Scientific Reports | (2022) 12:5805 | https://doi.org/10.1038/s41598-022-09729-1 www.nature.com/scientificreports/ Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and
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Grabados rupestres, paisaje y prácticas sociales en la cuenca del Río de Las Tunas (Mendoza, Argentina)
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Boletín del Museo Chileno de Arte Precolombino
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BOLETÍN DEL MUSEO CHILENO DE ARTE PRECOLOMBINO
Vol. 25, Nº 1, 2020, pp. 115-136, Santiago de Chile
ISSN 0718-6894
GRABADOS RUPESTRES, PAISAJE Y PRÁCTICAS SOCIALES
EN LA CUENCA DEL RÍO DE LAS TUNAS (MENDOZA,
ARGENTINA)
ROCK ENGRAVINGS, LANDSCAPES AND SOCIAL PRACTICES
IN THE LAS TUNAS RIVER BASIN (MENDOZA, ARGENTINA)
MARÍA JOSÉ OTSA, ANDRÉS ROCHAB, LOURDES INIESTAC & PABLO CAHIZAD
Los grabados rupestres del sitio La Pampa constituyen un
conjunto de 794 incisiones lineales, hoyuelos y tacitas conjuntodistribuido en 25 rocas al aire libre. Se realizó un registro de los
soportes y sus representaciones con el objetivo de reconocer
su configuración espacial interna y contextual en tres escalas:
la roca, el sitio y la microrregión. Se interpreta este lugar con
una funcionalidad ritual específica, cuyo emplazamiento en
relación con rutas de tránsito microrregional conecta sitios de
actividades múltiples localizados en dos sectores contrapuestos:
la cordillera hacia el oeste y el oasis pedemontano hacia el este.
Palabras clave: Arqueología del paisaje, Grabados, Morteros,
Valle de Uco, Mendoza.
The rock engravings of the La Pampa site, in the foothills of the
Las Tunas River basin, include a set of 794 incisions, cavities
and cups distributed on 25 open-air rocks. The supports and
their representations were recorded to identify their internal and
contextual spatial configuration, on three scales –rock, site and
microregion. The site is interpreted as having a specific ritual
functionality and was located in association with microregional
transit routes that connected multiple activity sites located in
two contrasting environments– the western mountains and the
eastern piedmont oasis.
Keywords: Landscape archaelogy, Engravings, Mortar, Valle
de Uco, Mendoza.
A
INTRODUCCIÓN
Las representaciones rupestres son producto de determinadas prácticas sociales que permiten la apropiación del
paisaje (Criado Boado 1999, Anschuetzs et al. 2001). En
este sentido, los sitios poseen una lógica que se expresa a
través de la organización y la ordenación del espacio. A la
vez, son parte de una red de relaciones que implican no
solo las acciones prácticas de la sociedad que ocupó un
lugar concreto, sino también la interrelación simbólica
con el espacio circundante (Tilley 1996, Thomas 2001,
Rocha 2017a).
El sitio La Pampa se localiza en el piedemonte a
33º28’33,8”S 69º13’35,5”O, a 1250 msnm, en un cono
de deyección que drena el Río de las Tunas cuyo caudal,
en este sector, se infiltra dejando múltiples cauces que se
activan temporalmente. Está compuesto por un conjunto
de 25 rocas al aire libre distribuidas en una superficie de
24,8 ha, con distinto tipo de grabados: tacitas, oquedades
e incisiones lineales. Algunas de estas manifestaciones
rupestres son características de otros sectores de la
María José Ots, incihusa-conicet, iaye- Facultad de Filosofía y Letras, Universidad Nacional de Cuyo, Mendoza, Argentina.
E-mail: mjots@mendoza-conicet.gob.ar
B
Andrés Rocha, Facultad de Filosofía y Letras, Universidad Nacional de Cuyo, Mendoza, Argentina. E-mail: aztlan1456@gmail.com
C
Lourdes Iniesta, Facultad de Filosofía y Letras, Universidad Nacional de Cuyo, Mendoza, Argentina. E-mail: luiniesta9@hotmail.com
D
Pablo Cahiza, incihusa-conicet, iaye- Facultad de Filosofía y Letras, Universidad Nacional de Cuyo, Mendoza. Argentina.
E-mail: pcahiza@mendoza-conicet.gob.ar
Recibido: febrero 2018. Aceptado: julio 2018.
116
Boletín del Museo Chileno de Arte Precolombino, Vol. 25, No 1, 2020
V REGIÓN
Mendoza
CHILE
LA PAMPA
SANTIAGO
ARGENTINA
Río Las Tunas
Río
Tun
uy
án
V I REGIÓN
0
100 Km
Figura 1. Localización del sitio La Pampa. Figure 1. Location of the La Pampa site.
macrorregión centro-oeste argentino-Chile central, en
tanto que otras, por el contrario, son novedosas.
El estudio de este sitio es parte de las investigaciones
que realizamos en la microrregión comprendida por la
cuenca del Río de las Tunas (Valle de Uco, Mendoza)
(figs. 1 y 2) y que tienen por objetivo general conocer las
continuidades y las transformaciones de las estrategias
humanas y la ocupación del espacio (Ots 2005, 2007).
Es por ello que el análisis de las representaciones rupestres se realizó desde un enfoque espacial multiescalar,
a partir de la observación particular de cada roca y de
su integración en el sitio y en la microrregión.
El centro de Mendoza no cuenta con antecedentes
relevantes de manifestaciones rupestres, al contrario de
lo que se conoce para otros sectores del centro oeste
argentino, como en la provincia de San Juan y en el
noroeste y sur de Mendoza (sintetizados, por ejemplo,
en Lagiglia 1997 y Schobinger 2009). Se han reconocido
sitios con piedras tacitas en algunos sectores del Valle de
Uco (arroyo del Novillo Muerto en la cuenca del Río de
las Tunas, Viluco y Paso de las Carretas en la cuenca del
Tunuyán), como una manifestación particular del área
(Schobinger & Gradin 1985, Lagiglia 1997), similar a
la que se reconoce en el centro y norte de Chile (entre
otros, Gajardo Tobar 1959, Hermosilla & Ramírez
1985, Planella et al. 2017, Troncoso et al. 2017). En el
sur de la Provincia, en el Departamento de Malargüe,
también se encuentran morteros o tacitas asociados a
representaciones grabadas (Schobinger 2009).
Los otros motivos representados, oquedades pequeñas e incisiones lineales rectas y profundas, en cambio,
solo tienen un antecedente en la región en el sitio Agua
de la Tinaja I (valle de Uspallata, Mendoza), donde se
hallaron tres incisiones y una oquedad pequeña grabadas
en el piso de roca en un nivel fechado en 4510 ± 130 bp
(3620-2780 cal. bc) (Bárcena et al. 1985: 353-354 y lám.
I c). Motivos similares se encuentran en otras regiones,
por ejemplo, el Noroeste Argentino y las sierras centrales
de Argentina en las que se han reconocido oquedades
pequeñas, como en Abra de los Morteros, Jujuy y varios
sitios de la Pampa de Achala y Río Cuarto en Córdoba
(Fernández Distel 1994, Ponzio & Reinoso 2013, Recalde
2015, entre otros). También se han registrado incisiones
lineales paralelas en sitios tempranos de la Patagonia
(vg. Epullan Grande, Arias et al. 2012); sin embargo,
no se asemejan al caso de La Pampa.
El carácter particular de estas representaciones
permite definir los objetivos específicos de nuestra
Grabados rupestres en el Río de Las Tunas / M. J. Ots et al.117
SIMBOLOGÍA
Sitios arqueológicos
Visible
No visible
Mortero IV
A Novillo Muerto
San Pablo
Rí
o
de
La
sT
un
a
s
Agua Amarga II
LA PAMPA
Agua
Amarga
Puesto La Isla
La Isla
0
4.5 Km
PERFIL LONGITUDINAL
2.600
2.200
Mortero IV
San Pablo
1.800
1.400
La Pampa
La Isla
1.000
0,0
0,05
0,1
0,15
0,2
0,25
0,3
0,35
0,4
0,45
0,5
0,55
Figura 2. Detalle de visibilidad desde el sitio La Pampa en la microrregión cuenca del Río de las Tunas. Localización de los sitios y
esquema del perfil longitudinal. Figure 2. Detail of visibility from the La Pampa site in the Las Tunas River basin. Location of sites and
longitudinal profile.
118
Boletín del Museo Chileno de Arte Precolombino, Vol. 25, No 1, 2020
investigación: realizar un registro de los soportes y sus
representaciones y, en el marco de la arqueología del
Paisaje (Criado Boado 1999), reconocer su configuración
espacial interna y contextual.
PAISAJE, PRÁCTICAS Y GRABADOS
EN EL RÍO DE LAS TUNAS
Las representaciones rupestres forman parte de la
dimensión social del paisaje, son materialidades que
se encuentran articuladas e interrelacionadas con el
espacio pensado y/o significado. Imprimen un sello en
los espacios debido a que son artefactos inmuebles y
algunas veces monumentales, implican la modificación
del entorno natural para su realización y tienen atributos
de visibilidad y persistencia a lo largo del tiempo (Podestá
et al. 1991, Valenzuela et al. 2006: 207).
La selección y el acondicionamiento de las rocas
con una determinada configuración espacial forman
parte de una arquitectura o
tecnología de construcción del paisaje social que mediante
dispositivos artificiales domestica el mundo físico no solo
introduciendo hitos arquitectónicos en el espacio natural para
ordenarlo según referencias culturales, sino también controlando e imponiendo la pauta de percepción del entorno por
parte de los individuos que la usan (Criado Boado 1999: 35).
Es por ello que, desde nuestra perspectiva, el estudio de
estas representaciones debe abordarse desde la arqueología
espacial, que concibe el paisaje como una construcción
de las prácticas sociales y culturales y de la vida social
(Criado Boado 1993a), y considera que los rasgos formales de la cultura material arqueológica reproducen los
modelos de representación y construcción del espacio
vigentes en cada sociedad concreta. El paisaje es la
objetivación de una intencionalidad, a la cual podemos
intentar aproximarnos a partir de la deconstrucción de
los elementos que lo componen (Criado Boado 1999) y
de establecer sus posibles relaciones, ya que el significado
se produce a través del funcionamiento dinámico de las
relaciones entre personas, cosas y lugares (Thomas 2001).
Siguiendo estas propuestas, las herramientas metodológicas que utilizamos para lograr esta deconstrucción
se basan en el análisis de los motivos particulares, su
disposición, su asociación con el registro arqueológico y
las relaciones y patrones espaciales de las rocas grabadas
a partir de múltiples escalas espaciales.
Antecedentes microrregionales:
arqueología de la cuenca del Río
de las Tunas
El Río de las Tunas es uno de los pocos del área que en
tiempos coloniales conservaba su nombre indígena,
Allallpoto (río de la Plata, según el vocabulario del P.
Valdivia 1943 [1608]). Se origina en la cordillera frontal,
es de caudal permanente y abundante, disminuido en
el piedemonte por su aprovechamiento aguas arriba
para riego. En su trayectoria conecta los ambientes
de cordillera, piedemonte y planicie, conformando
una microrregión que permite estudiar patrones de
distribución espacial de las ocupaciones humanas en
la larga duración.
El paisaje cordillerano se caracteriza por vertientes,
aguadas y arroyos permanentes, suelos muy húmedos,
vegas y abundante vegetación (Adesmia). En el piedemonte, el cauce principal del Río de las Tunas confluye
con cursos permanentes que nacen en la cordillera y
arroyos que surgen en la depresión alimentados con
aguas subterráneas. La vegetación es de Larrea divaricata
y Piptochaetium napostaense. El sector pedemontano
se presenta como un glacis cubierto por una espesa
capa de materiales que desciende hasta los 1200-800
msnm, con limos de origen aluvial y tectónico aptos
para agricultura. Hacia el este, la planicie se caracteriza
por el paisaje desértico, eólico, con grandes cadenas
de médanos cubiertos por la vegetación propia de la
“Provincia Fitogeográfica del Monte” (Prosopis flexuosa,
Larrea divaricata, Atriplex lampa).
A partir de la prospección pedestre de la microrregión y del estudio de sitios, reconocimos un patrón de
ocupación espacial diacrónico, por el que distinguimos
las ocupaciones del componente Alfarero Medio (fechado
en este sector en ca. 1500-600 ap) del Tardío-incaico (ca.
600-400 ap). En el sector cordillerano se localizan sitios
del Período Alfarero Medio de tamaño reducido (menor
a tres hectáreas), asociados a artefactos y estructuras de
molienda. Estos son sitios de ocupación estacional al
aire libre y de propósitos específicos (caza, recolección y
procesamiento de alimentos). En tanto que, en el sector
pedemontano, los asentamientos del mismo período
son de mayor tamaño (más de seis hectáreas). Los sitios
tardíos se concentran en este último sector, alrededor
de los 1000 msnm, y reocupan asentamientos previos,
pero son de mayor tamaño (entre 9 y 52 hectáreas) (Ots
2007). Interpretamos que los sitios del piedemonte son
Grabados rupestres en el Río de Las Tunas / M. J. Ots et al.119
residenciales de ocupación permanente y de múltiples
actividades que incluyen la horticultura (Cahiza & Ots
2014, Ots et al. 2016).
Estas comunidades se pueden caracterizar como
sociedades de pequeña escala (Cahiza & Ots 2014,
Reyes García et al. 2017, entre otros), definidas en
términos demográficos como grupos de baja densidad
de población. En cuanto a las relaciones sociales, estas
se caracterizan por la interacción igualitaria entre los
individuos y el contacto durante la vida cotidiana. A nivel
político, por sistemas descentralizados o que mantienen
la autonomía de una o pocas comunidades locales. En
lo económico se caracterizan por la cooperación para
la producción (Reyes García et al. 2017) y, en este caso,
por una organización de subsistencia de base mixta,
cazadora-recolectora y con aporte de la estrategia productiva en el sector pedemontano.
METODOLOGÍA
Para describir y analizar las relaciones entre los elementos del paisaje, el estudio de las representaciones
rupestres se abordó desde tres escalas de análisis (entre
otros, Aschero 1997). Se tomó como unidad mínima de
registro a cada roca/soporte (primera escala), luego se
consideró la distribución espacial de las rocas en el sitio
y sus relaciones (entre sí y con el resto de las evidencias)
(segunda escala) y finalmente se integraron estos resultados con las investigaciones que se están realizando en
la microrregión que conforma la cuenca del Río de Las
Tunas (tercera escala).
En la primera escala de estudio se realizó un
análisis formal de los grabados y las rocas. Las evidencias arqueológicas (soportes grabados y otros restos
materiales) se localizaron a través de prospecciones
pedestres sistemáticas en un área de 6,9 km2. Se llevó a
cabo el registro métrico, morfológico, de distribución
y fotográfico de cada soporte. Se clasificó cada uno a
través de fichas técnicas que consignan morfología de
las representaciones, cantidad, medidas (profundidad,
longitud y/o diámetro), distribución en la superficie
de las rocas y técnicas de producción. También se registraron las características físicas de los soportes: tipo
de roca, medidas de los extremos y georreferenciación
por medio del sistema de posicionamiento global (gps)
en coordenadas geográficas en el sistema wgs 84. Cada
roca fue dibujada utilizando las herramientas del pro-
grama Adobe Ilustrator y se tomó como referencia la
vista superior.
En la segunda escala de análisis se estudió la distribución espacial del registro arqueológico y la topografía
del sitio. Para ello, se consideraron datos ambientales
que pudieran ser relevantes para las interpretaciones:
traza de cauces, vegetación, altura y declinación del
terreno y otros elementos topográficos (según la carta
del ign a escala 1:250.000). Los datos arqueológicos
complementarios del análisis de las rocas se optuvieron
mediante la recolección superficial sistemática de restos y
la excavación de 13 m2 distribuidos en el sector de mayor
concentración de rocas y de materiales en superficie.
Se analizó la distribución de las rocas y de los
motivos representados mediante la aplicación de estadística geoespacial de interpolación con el método
kriging (Wheatley & Gillings 2002). Se utilizaron las
coordenadas de localización utm (Universal Transversal
Mercator) para establecer las distancias euclidianas y
datos xy, en tanto la frecuencia de motivos por roca
fueron considerados valor Z. Los datos se procesarons
en el software Golden Surfer 8 con la función grid/kriging
proyectada en imágenes 3D.
Finalmente, en la tercera escala de análisis se estudiaron las asociaciones con el ambiente y los contextos
arqueológicos microrregionales que fueron sintetizados
en los antecedentes.
Tanto la escala de sitio (segunda escala) como
la microrregional (tercera escala) tienen en cuenta la
visibilidad y las rutas entre los grabados y con distintos
elementos del paisaje que los interconectan. La movilidad
y la percepción visual son esenciales para comprender
la relación humana con el entorno, ya que permiten
acceder a las lógicas que hay detrás de la estructura
organizacional de una sociedad (Criado Boado 1993b,
Fábrega-Álvarez 2016).
Para ello, se hizo el análisis de cuenca visual o
viewshed, herramienta proporcionada por el software
ArcGis 10.3. Esta herramienta es útil para identificar qué
rasgos del paisaje son visibles desde el sitio. La cuenca
visual se calcula al comparar el ángulo de altitud de un
punto con el ángulo de altitud hacia el horizonte local y
tiene en cuenta la topografía del terreno que interviene
entre el punto de observación y la distancia considerada.
Cada celda del ráster de salida recibe un valor que indica
cuántos puntos de observador pueden verse desde una
ubicación (en este caso, una de las concentraciones
del sitio La Pampa localizado con gps) considerando
Boletín del Museo Chileno de Arte Precolombino, Vol. 25, No 1, 2020
120
el modelo digital de terreno (obtenido de una imagen
satelital aster). Se otorgó un valor de 1 a cada celda
que puede visualizarse desde un punto de observación,
y de 0 en caso contrario.
Para el análisis de tránsito, se registró el track con
gps de las sendas que interconectan los diferentes sectores
del sitio y las rocas con grabados. El estudio de las rutas
de tránsito o caminos que unen diferentes puntos arqueológicos comprende diversos aspectos, como las escalas
espaciales, la accesibilidad, las dificultades del terreno,
las prácticas culturales, etcétera (Fábrega-Álvarez 2016).
En este trabajo buscamos analizar el desplazamiento en
su relación con las estrategias de circulación, percepción
y conexión entre diferentes direcciones.
u ovales. Los grabados lineales representan el 47%. En
estos casos, la técnica que se utilizó es la de incisión,
probablemente realizada con un artefacto filoso (Álvarez
& Fiore 1995). Mediante un corte o hendidura en la
superficie de la roca se produjo un estrechamiento hacia
la base de la incisión que culmina en forma angular y
deja un surco en forma de V. Algunas de estas incisiones
son más profundas, anchas y de lados convergentes en
V pulidos, lo que sugiere una o varias intervenciones
posteriores (figs. 4b y 5). Algunas alcanzan hasta 3,9 cm
de profundidad. Las diferencias en cuanto a longitud,
ancho y profundidad de los grabados incisos se encuentran combinadas en todos los soportes, en algunos casos
solo presentan incisiones finas y poco profundas (LP12
y LP16), mientras que en el resto las hay de diferentes
tamaños en una misma roca que alcanzan, por ejemplo, 57 cm de longitud y 3 cm de profundidad en LP24
(tabla 1 y figs. 4, 5 y 6). No encontramos un patrón
en la orientación de las incisiones, que se encuentran
dispuestas en distintas direcciones.
Entre los grabados circulares distinguimos, por
tamaño de diámetro y profundidad, las oquedades
circulares pequeñas (también llamadas “hoyuelos”, v.g.
Ponzio & Reinoso 2013, Recalde 2015) de las tacitas o
concavidades más profundas. Las técnicas de grabado
pudieron ser machacado y horadación (Álvarez & Fiore
1995). Las oquedades representan el 39% de grabados. Su
tamaño oscila entre 2 y 4 cm de diámetro y 1 y 3 cm de
profundidad. En tanto que las tacitas representan el 14%
de grabados y tienen forma circular y oval. Las circulares
miden entre 6 y 13 cm de diámetro y entre 2 y 5 cm de
profundidad. Todas conforman una tacita cóncava bien
Primera escala: análisis de rocas
con grabados
Sintetizaremos los principales resultados de este análisis,
que ha sido desarrollado extensamente por Rocha (2017
a y b). Se registraron y posicionaron 25 rocas de distinto
tamaño y forma con grabados (denominadas LP1 a
LP25) (fig. 3 y tabla 1), las cuales tienen una orientación específica este-oeste/norte-sur. La mayoría de los
soportes intervenidos son rocas metamórficas (24 son
esquistos), y una única roca es ígnea. Estas son producto
de metamorfismo regional, han sido trasladadas desde
la cordillera por los aluviones del Río de Las Tunas y se
encuentran distribuidas por toda la zona.
Se registraron en total 794 grabados (tabla 1). Las
representaciones son no figurativas, geométricas. En
principio, se distinguen dos tipos: lineales y circulares
SIMBOLOGÍA
LP16 RA
C
ZONA AMPLIADA
Río de Las Tunas
calle
LP1
LP4
LP3
10
8
9
7
12
13
5
6
14
LP21
17
19
18
15
LP Nombre del soporte
LP25
RA
LP20
al 8
LP2
LP22 RA
mpa
9
LP16
11
SECTOR
OESTE
La Pa
nci
C2
RA Rocas aisladas
LP23
rov
i
C3
Rut
ap
C1
Concentraciones
de rocas
RA
0
300 m
Figura 3. Plano de distribución de soportes en La Pampa. Figure 3. Distribution of supports at the La Pampa site.
LP24
C4
SECTOR
ESTE
Grabados rupestres en el Río de Las Tunas / M. J. Ots et al.121
Tabla 1. Frecuencia de grabados y tipo por roca. Table 1. Engraving frequency and rock type.
SOPORTE NÚMERO
INCISIONES LINEALES
OQUEDADES
TACITAS
TOTAL
LP1
0
21
0
21
DIBUJO
1m
LP2
2
1
0
3
1m
LP3
0
3
0
3
1m
LP4
6
0
0
6
1m
LP5
0
0
1
1
1m
LP6
0
6
4
10
1m
LP7
0
7
0
7
1m
LP8
0
5
1
6
1m
LP9
4
1
0
5
1m
LP10
104
3
5
112
1m
LP11
0
0
1
1
1m
LP12
2
1
0
3
1m
122
Boletín del Museo Chileno de Arte Precolombino, Vol. 25, No 1, 2020
SOPORTE NÚMERO
INCISIONES LINEALES
OQUEDADES
TACITAS
TOTAL
LP13
1
0
0
1
DIBUJO
1m
LP14
0
2
0
2
1m
LP15
59
0
6
65
1m
LP16
6
0
0
6
1m
LP17
0
0
4
4
1m
LP18
6
0
2
8
1m
LP19
4
0
0
4
1m
LP20
0
0
10
10
1m
LP21
0
0
31
31
1m
LP22
0
3
2
5
1m
LP23
38
37
5
80
1m
LP24
125
215
35
375
1m
LP25
17
4
4
25
1m
Total
374
309
111
794
Grabados rupestres en el Río de Las Tunas / M. J. Ots et al.123
a
c
b
Roca sin
grabados
LP10
LP10`
0
0
1m
10 cm
LP10
LP11
1m
LP11
50 cm
Figura 4. Conjunto LP 10’-LP10 y LP11: a) LP10; b) detalle de grabados de LP10; c) fotografía y esquema del conjunto y la cordillera
vistos desde el este. Figure 4. LP 10’-LP10 and LP11 grouping: a) LP10; b) detail of LP10 engravings; c) drawing and photo of the grouping,
facing westward with the mountains in the background.
acabada, excepto el soporte LP8 que contiene un tipo de
mortero cupuliforme con una profundidad de 11 cm y
14 cm de diámetro. Los grabados ovales son de mayor
tamaño y están realizados en solo cuatro soportes (LP5,
LP6, LP11, LP20) del total. Las medidas varían entre
los 40 y 20 cm del eje mayor y entre los 18 y 8 cm del
eje menor, y la profundidad entre 15 y 7 cm. Presentan
diferentes formas y tamaños con una base irregular
donde se observa que un extremo es más profundo que
el otro, lo que supone que es la zona donde se ejercía
la mayor presión.
Estos tres tipos de grabados (incisiones lineales,
oquedades y tacitas) están combinados de distintas
maneras en las rocas (tabla 1 y fig. 7). No reconocimos
ningún patrón formal en la frecuencia, distribución,
orientación o combinación de los distintos tipos de
grabados.
Otro tipo menos frecuente de intervención es
el canteado de cuatro de las rocas, identificado en el
conjunto que forman LP10, LP10’ y LP11 y en la roca
aislada LP21.
Entre los soportes destacan LP10, LP15, LP23 y LP24
por su mayor tamaño y visibilidad en comparación con
el resto de las rocas grabadas, y por la mayor cantidad
y variedad de representaciones (fig. 7).
En el sector Oeste, LP10 es una de las rocas con
mayor significación por la cantidad y combinaciones de
impresiones sobre ella (14,1% de grabados del sitio). La
forma es irregular, con la zona de grabados dispuesta
en un ángulo de 45° que asciende de noreste a suroeste.
Se registraron 104 incisiones lineales de largos que
a
0
50 cm
b
Figura 5: a) soporte LP15; b) detalle de los grabados de LP15.
Figure 5: a) LP15 support; b) detail of engravings on LP15.
varían entre los 2 cm hasta los 25 cm, en algunos casos
presentan superposiciones y en otros se unen formando
secciones en V. En cuanto a los otros tipos de grabados,
contiene cinco tacitas en una línea descendente en
dirección suroeste-noreste. Los tamaños de las tacitas
124
Boletín del Museo Chileno de Arte Precolombino, Vol. 25, No 1, 2020
a
b
0
1m
0
c
1m
d
0
1m
Figura 6. Dibujos de los paneles del soporte LP24: a) panel norte; b) panel oeste; c) panel este; d) fotografía panel este. En gris se destacan
los planos y las irregularidades de los soportes. Figure 6. Drawings of LP24 support panels: a) north panel; b) west panel; c) east panel; d)
photo of east panel. The grey shaded areas indicate the planes and irregularities of the supports.
Incisiones lineales
Oquedades
Tacitas
250
200
150
100
50
0
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
Figura 7. Frecuencia de grabados por soporte y por tipo. Referencias: T: tacitas; O: oquedades; I: incisiones lineales. Figure 7. Frequency of engravings by support and engraving type. T: cups; O: cavities; I: linear incisions.
Grabados rupestres en el Río de Las Tunas / M. J. Ots et al.125
Figura 8. Roca aislada LP21. Figure 8. Solitary rock LP21.
VISTA SUPERIOR
0
1m
VISTA SUPERIOR
VISTA PERFIL
1.7 m
0
95 cm
1.3 m
Figura 9. Roca aislada LP23. En gris se destacan los planos y las irregularidades de los soportes. Figure 9. Solitary rock LP23. The shaded
grey areas indicate the planes and irregularities of the supports.
126
Boletín del Museo Chileno de Arte Precolombino, Vol. 25, No 1, 2020
disminuyen de diámetro a medida que descienden en
la roca y en el extremo superior suroeste se hallan tres
oquedades dispuestas en forma perpendicular a las
tacitas (fig. 4a).
El soporte LP15 tiene superficie irregular redondeada, cuya cara superior se dispone en un ángulo que
va en descenso con orientación oeste-este (figs. 5a y
b). Cuenta con dos tipos de grabados (8,2% del sitio),
seis tacitas entre 8 y 11 cm de diámetro y 59 incisiones
lineales con un promedio de 12,5 cm de largo que se
disponen por toda la roca en múltiples direcciones sin
un patrón definido. Estas son mucho más profundas que
las de LP10 y alcanzan hasta 2,5 cm (fig. 5b).
El soporte LP21 fue descubierto en excavación,
ya que los grabados más sobresalientes se encontraban
al nivel de piso actual. En la cara superior horizontal,
31 tacitas fueron grabadas (27,9% de esa categoría),
las cuales se concentran en el sector sureste de la roca.
El soporte tiene una forma cuadrada bastante regular,
lo que hace pensar en la posibilidad de que haya sido
canteado (fig. 8).
LP23 y LP24 se encuentran en el extremo este del
sitio y destacan por la cantidad de intervenciones que
presentan. LP23 (10,1% de grabados del sitio) se halla
desplazada de la posición original por la construcción de
un sendero moderno y presenta una forma semiesférica
con grabados distribuidos en todo el soporte. Exhibe
los tres tipos de grabados (5 tacitas, 37 oquedades, 38
incisiones lineales) distribuidos aleatoriamente sin un
patrón de orientación o posición (fig. 9).
LP24 contiene la mayor cantidad de grabados de
todo el sitio (47,2%), y también se encuentran representados los tres tipos de intervenciones. El soporte
tiene cinco caras/paneles grabados, uno superior y
cuatro laterales (fig. 6). La cara superior contiene los
tres tipos de grabados con la mayor concentración de
oquedades (215), incisiones lineales (23) y tacitas (29).
La cara lateral norte desciende desde la cara superior
en un ángulo de 45° aproximadamente de sur a norte y
contiene incisiones lineales (22) combinadas con tacitas
(6) (fig. 6a). El resto de las caras laterales presentan en
su mayoría incisiones con profundidades y longitudes
muy superiores al resto de los soportes. En la cara lateral
oeste estas tienen longitudes y profundidades menores
(fig. 6b). La cara sur tiene incisiones más profundas que
alcanzan los 3,9 cm y una longitud de 56 cm, mientras
que la cara este tiene una incisión que alcanza los 47
cm de longitud y 3 cm de profundidad (figs. 6 c y d).
Las rocas LP23 y LP24 presentan grabados distribuidos en todas sus caras, a diferencia del resto de los
soportes que concentran las intervenciones en su cara
superior horizontal. Particularmente, el soporte LP24
tiene, además de la mayor frecuencia de grabados, unas
medidas superiores al resto de los soportes con una superficie de 3,30 m2 y una altura que alcanza los 1,25 m.
Segunda escala: análisis del sitio
El sitio La Pampa se localiza en el sector pedemontano
de la microrregión. Tiene una orientación longitudinal
oeste-este, que sigue la dirección del Río de las Tunas
(figs. 1 y 2). Los cauces del río demarcan los límites
naturales de la distribución de rocas en el sitio: el cauce
activo actual al norte, y otro cauce inactivo al sur (fig. 3).
Las rocas se localizan en la encrucijada de dos caminos
actuales: la ruta provincial 89 (dirección noreste-suroeste)
y la calle La Pampa (dirección este-oeste). El sitio tiene
una superficie plana, con pendiente de entre 2º y 10º.
La vegetación se caracteriza por matorrales de Larrea
divaricata y Piptochaetium napostaense y cactáceas.
Las rocas con grabados están distribuidas en una
superficie de 24,8 ha. Algunas se encuentran concentradas
y otras dispersas, por lo cual, con un criterio operativo
para realizar análisis de distribución espacial, distinguimos dos sectores de concentración denominados Sector
Oeste y Sector Este (fig. 3). A su vez, dentro de cada
uno de estos sectores, distinguimos concentraciones a
partir de las distancias entre diferentes grupos de rocas:
cada concentración está compuesta por dos o más rocas
ubicadas a una distancia no mayor a 50 m, en tanto que
las que se encuentran a mayor distancia se consideran
“rocas aisladas”. Estas últimas son LP16, LP20, LP21,
LP22 y LP23. Distinguimos cuatro concentraciones
denominadas, de oeste a este, C1, C2 y C3 en el Sector
Oeste y C4 en el Sector Este (fig. 3).
C1 está formada por 4 rocas (LP1, LP2, LP3 y LP4),
dos de las cuales se localizan sobre la margen del paleocauce. Este conjunto demarca el límite oeste del sitio.
C2 se ubica también sobre el paleocauce, a unos 90
m de distancia de C1 en dirección sur-este. Concentra
la mayor cantidad de rocas intervenidas (LP5, LP6, LP7,
LP8, LP9, LP10’, LP10, LP11, LP12, LP13, LP14, LP15. Fig.
10), y la mayor variedad de combinaciones de grabados
(Rocha 2017a). En este conjunto, la disposición de las
rocas grabadas tiene forma circular. Otras rocas próximas, que no contribuyen a esta disposición espacial, se
Grabados rupestres en el Río de Las Tunas / M. J. Ots et al.127
SECTOR OESTE-CONCENTRACIÓN 2 (C2)
LP12
LP11
LP8
LP13
LP10
LP5
LP9
LP6
LP15
LP7
LP14
0
2m
Figura 10. Distribución espacial de soportes en la concentración 2 (C2). Figure 10. Spatial distribution of supports in concentration 2 (C2).
desestimaron como soportes para realizar grabados. Los
soportes LP10 y LP11, junto con una roca canteada sin
grabados, que denominamos LP10’, asemejan un panel
con gran cantidad y variedad de intervenciones (tabla
1 y fig. 4). De sur a norte, LP10’ y LP10 presentan dos
lados canteados rectos enfrentados y separados entre
sí por 15 cm de distancia. El conjunto se completa con
la roca LP11, con una tacita ovalada y el lado este canteado para formar una superficie de apoyo. Desde una
perspectiva este-oeste las tres rocas asociadas tienen de
fondo la cordillera Frontal con picos de más de 5000 m
de altura y se presenta como una escena que impacta
visualmente (fig. 4c). Enfrentados en dirección oesteeste, los soportes LP5 y LP6, asociados espacialmente,
tienen tacitas ovales. Un conjunto de rocas dispuestas
en el extremo oeste de este sector tienen una posición
alineada en dirección noreste-suroeste (LP8, LP9, LP10’,
LP10, LP11 y LP12). La organización espacial de las
rocas proyecta puntos de fuga y ejes hacia los cuatro
puntos cardinales.
C3 está integrada por las rocas LP17, LP18 y LP19.
Se localiza a unos 80 m de distancia de C2, en dirección
noreste. De este modo, las tres concentraciones descritas
se proyectan hacia tres puntos cardinales: oeste (C1), sur
(C2) y este (C3). La roca aislada LP16, ubicada a 80 m
al norte de C2, marcaría el extremo norte del conjunto.
El resto de las rocas (LP20 a LP25) se localizan en
una proyección hacia el este de los conjuntos principales,
lo que fortalece la direccionalidad oeste-este de estos
conjuntos. LP20 está a 120 m de distancia de C2 y a 60
m de C3; en tanto que LP21 se ubica a 500 m de C2. En
ambas solo se grabaron tacitas (fig. 8). Desde LP21 a una
distancia de 250 m aproximadamente rumbo noreste
se encuentra LP22, junto al cauce activo del Río de las
Tunas. Esta roca fue desplazada en tareas de limpieza de
los terrenos de cultivo, por lo que su localización actual
rompe la direccionalidad oeste-este en la que se ubica
el resto de los soportes. El soporte LP23 se emplaza a
600 m respecto a LP22. A 68 m hacia el este de LP23
encontramos la última concentración, C4, que agrupa
a LP24 y LP25. Estos soportes se encuentran alineados
en dirección oeste-este y son los más relevantes del
sitio, por tener la mayor superficie grabada y la mayor
concentración de representaciones (tabla 1, fig. 7).
128
Boletín del Museo Chileno de Arte Precolombino, Vol. 25, No 1, 2020
MOTIVOS
300
260
Sector Este
30
0
20
220
0
10
0
180
0
Sector Oeste
000
97.
6.2
500
96.
6.2
CO
O
RD
EN
000
96.
6.2
AD
AS
UT
500
95.
6.2
M
000
95.
6.2
47
7.
50
0
47
8.
00
0
47
8.
50
0
47
9.
00
0
47
9.
50
0
48
0.
00
0
TM
CO
U
DAS
NA
E
D
OR
48
0.
50
0
48
1.
00
0
140
100
60
20
0
-20
-60
Figura 11. Interpolación kriging de grabados rupestres del sitio la Pampa. Figure 11. Kriging interpolation of the rock engravings at the
La Pampa site.
Se generó un estadístico geoespacial de interpolación
kriging con la distribución de motivos grabados del sitio,
a partir del cual se desarrollaron representaciones 3D
con una capa de datos del total de los motivos (fig. 11)
y otras tres con las categorías de incisiones, oquedades
y tacitas (fig. 12). La imagen ráster resultante refleja los
sectores Oeste, el cual presenta el 35,01% de los motivos,
y Este con el 60,45%.
La discriminación por categoría de motivos identifica
una intensidad mayor de la cantidad de incisiones lineales
en torno a LP24 (33,4% de las incisiones), LP23 (10,16
%) y LP25 (4,6%) reflejada en un pico de la variable en
el Sector Este, en la derecha de la figura 12a. El Sector
Oeste concentra una influencia de menor importancia
alrededor de LP10 (27,8% de las incisiones) y LP15
(15,8%). Las oquedades muestran una distribución
espacial similar a la anterior, aunque con valores Z un
poco menores y más desequilibrada en favor del Sector
Este. Las rocas LP24 (69,6%) y LP23 (12%) vuelven a
representar un pico notable de intensidad de la variable,
mientras que el Sector Oeste concentra una pequeña
concentración en LP1 (6,8%) (fig. 12b). Finalmente, la
categoría de las tacitas muestra picos más suavizados
y atenuados debido a que representa la frecuencia de
menor importancia estadística. Nuevamente se destaca,
relativamente, el Sector Este con LP24 (31,5% de las
tacitas), seguido por el Sector Oeste (LP20, 9%). Sin
embargo, la roca aislada LP21 representa una superficie
suavizada realzada que concentra el 27,2% (fig. 12c).
Con el propósito de contextualizar los grabados
realizamos excavaciones en el Sector Oeste, donde se encuentra la mayor concentración de artefactos en superficie
y de rocas intervenidas (no encontramos materiales en
superficie en el Sector Este). Trece cuadrículas de 1 m2
fueron excavadas mediante niveles artificiales de 5 cm
de profundidad, ya que no se identificaron diferencias
estratigráficas. Se alcanzaron profundidades de entre
30 y 40 cm hasta las que se reconocieron niveles de
ocupación, y debajo de los cuales se encontró roca.
Diez cuadrículas se localizaron en C2, en torno
a las rocas que presentaban mayor actividad cultural,
como LP10/LP11 (sondeos 2, 4 y 5) y LP5/LP6 (sondeos
6 y 7) y en la zona libre entre el conjunto de rocas de
este sector (sondeos 1, 3, 8, 9 y 10) (fig. 13). Otros tres
Grabados rupestres en el Río de Las Tunas / M. J. Ots et al.129
INCISIONES (a)
LP25
LP24
LP23
10
0
160
50
140
0
6.2
CO
9
LP10
00
7.0
LP15
48
48
O
0
.50
RD
EN
96
6.2
AD
AS
0.
47
47
000
96.
6.2
UT
M
47
00
5
95.
6.2
47
000
95.
6.2
8.
47
7.
50
9.
00
8.
50
9.
0.
00
50
48
1.
00
0
50
0
100
0
80
0
0
60
0
00
120
0
40
0
20
LP24
LP23
OQUEDADES (b)
0
10
0
0
48
LP1
48
00
7.0
.29
6
48
500
96.
6.2
0.
47
47
0
.00
96
6.2
9.
9.
47
500
95.
6.2
47
000
95.
6.2
47
8.
50
8.
7.
00
50
1.
00
0.
50
0
0
00
0
50
00
0
0
0
0
0
TACITAS (c)
20
0
0
500
96.
6.2
48
LP21
LP15
LP20
LP10
LP6
00
97.
6.2
LP24
LP25
LP23
0.
9.
47
0
.00
6
500
95.
6.2
000
95.
6.2
9.
47
47
47
7.
50
0
0.
48
47
9
6.2
1.
48
8.
8.
50
00
0
00
50
00
0
0
0
0
0
DAS
0
00
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NA
RDE
UTM
O
CO
Figura 12. Interpolación kriging por categorías de motivos grabados en La Pampa: incisiones (a), oquedades (b) y tacitas (c). Figure 12.
Kriging interpolation of motif categories at the La Pampa site: incisions (a), cavities (b) and cups (c).
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Boletín del Museo Chileno de Arte Precolombino, Vol. 25, No 1, 2020
SONDEOS EN CONCENTRACIÓN 2
LP12
S10
LP11
S3
S5
LP10
LP13
S9
S2
S4
LP8
LP7
LP9
LP6
LP5
S8
S6
S7
LP4
0
2m
Figura 13. Plano de distribución de sondeos en la concentración 2 (C2) del Sector Oeste. Figure 13. Distribution of test pits performed
at concentration 2 (C2) in the Western Sector.
LP16
C3
calle
L
a Pam
Líneas de tránsito
cauce
vinc
ial
Rocas aisladas
Paleo
89
LP21
SIMBOLOGÍA
Concentraciones de rocas
LP22
pa
pro
SECTOR C2
OESTE
Río de Las Tunas
Ruta
C1
call
es i
n
Finc ternas
a Ik
al
LP23
C4
SECTOR
ESTE
0
300 m
Figura 14. Mapa de tránsito, con indicación de los senderos y caminos actuales. Figure 14. Map of transit routes, with present-day trails
and roads included.
Grabados rupestres en el Río de Las Tunas / M. J. Ots et al.131
sondeos nos permitieron descubrir la roca LP21 (fig.
8). No se encontraron restos orgánicos (botánicos o
faunísticos), solo cerámicos y líticos.
Se registraron 44 fragmentos cerámicos (nmv=
44). El conjunto es tecnológica y tipológicamente
homogéneo: pastas en distintos matices de marrón
(muy baja frecuencia de grises, N=3) y superficies
alisadas. Algunos tiestos presentan decoración incisa
con chevrones (N=5) e imbricada (N=1), característica
del componente cerámico Agrelo (Canals Frau 1956),
fechado en proximidades de este sitio entre los siglos
v y xiv dc (Ots et al. 2016).
Los fragmentos de pucos y de ollas o jarras indican
que serían de tamaños pequeños (aproximadamente 14
cm de diámetro de borde, 8 cm de diámetro de base).
Ninguno de los tiestos tiene señales de termoalteración,
por lo que suponemos la asociación de esta cerámica con
actividades de servicio y consumo de alimentos y bebidas.
El conjunto lítico está compuesto por desechos de
talla, un núcleo, percutores, un artefacto de molienda
(mano fragmentada) y una roca horadada. La mayoría
de los desechos son lascas primarias y secundarias
(N= 78) con filos naturales y sin rastros de formatización,
el 95% de las cuales se realizó sobre rocas basálticas.
Los percutores (N=4) se hicieron sobre rocas ígneas.
Son cantos rodados acondicionados, con un extremo
potencialmente activo con astillado irregular producido
por las marcas de percusión y otro pasivo.
Al comparar el tipo de roca de los soportes con
los desechos líticos y las herramientas (percutores) se
observa que estas últimas tienen una dureza superior
a la de las rocas intervenidas, en una razonable correlación de durezas entre los bloques intervenidos y los
materiales líticos que aparentemente fueron utilizados
para la intervención.
El análisis de tránsito se realizó a partir de la
demarcación de las principales líneas de accesibilidad
entre los conjuntos de soportes. Se marcaron con gps
los senderos existentes en el terreno que tuvieran un
acceso reconocible. Se comprobó que las rutas están
orientadas por un punto de interconexión oeste-este
entre los sectores de mayor significación (fig. 14). La
ruta comienza desde C1 y continúa en dirección oestesureste hacia C2; desde aquí surge un sendero hacia el
norte que conduce a la roca más extrema en sentido
norte (LP16) cercana a un brazo activo del Río de las
Tunas. También desde C2 y hacia el este surge un desvío
noreste que se interconecta con C3. Desde C3 sigue un
sendero de 70 m aproximadamente que conecta con la
roca LP20 y a unos 250 m llega a la roca LP21. En este
punto se observa que hay una continuidad del sendero
hacia el este hasta LP 22, 23, 24 y 25 (fig. 14).
Cada sector se encuentra en una declinación de 10º
aproximadamente, con una altura que va en descenso
de oeste a este y que costea los brazos del Río de las
Tunas. El tránsito sigue la dirección de los cauces de
agua y remarca una zona que se encuentra rodeada y
limitada por dichos cauces. En el Sector Oeste se destaca
una simetría en las distancias entre los conjuntos C1,
C2 y C3, pero a partir de LP20 y LP21 los soportes se
alejan, por lo que esa simetría se rompe.
Para el análisis de visibilidad se tomaron dos puntos
de referencia: el centro de la concentración 2 (C2) y la
roca aislada LP21. Se observó que no hay intervisibilidad
entre ambos puntos y que el alcance visual se encuentra
limitado a un espacio contiguo, debido a que la vegetación y las rocas sin intervención dificultan el alcance
visual. La altura actual de los soportes, alrededor de
40 cm más bajos que en los niveles arqueológicos, y la
escasa pendiente del terreno no permiten que estos sean
identificados desde los puntos de accesibilidad actuales
más cercanos (la calle La Pampa y la ruta 89).
Tercera escala: la microrregión, cuenca
del Río de las Tunas
La investigación a escala microrregional se realizó mediante la prospección pedestre sistemática e intensiva de
un área discreta de 600 km2 en la cuenca del Río de las
Tunas (Ots 2005, 2007). De acuerdo con las propuestas
de la ecología del paisaje (Forman & Godron 1986),
consideramos el río como un corredor que conecta y
comunica distintos ambientes, en este caso, la cordillera
(5000-1700 msnm) y el oasis pedemontano (1700-700
msnm). En las proximidades de este río y de sus afluentes
(arroyos Santa Clara, Los Tábanos-Mortero, del Novillo
Muerto, San Pablo, Las Rosas, Villegas y Agua Amarga)
hemos localizado asentamientos estacionales en el sector
cordillerano y de ocupación permanente (aldeas) en el
sector pedemontano, datados en ca. 1500-400 años ap.
En ellos se reconocen múltiples funciones asociadas
con actividades domésticas y de subsistencia (entre
otros, Ots 2005, Ots et al. 2011, 2016) (localización de
los sitios en figura 2).
En los sitios que se encuentran en el borde del
sector cordillerano hasta los 1650 es frecuente encontrar
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Boletín del Museo Chileno de Arte Precolombino, Vol. 25, No 1, 2020
rocas con morteros, conanas y manos de moler. En uno
de ellos, en la terraza del Arroyo Las Rosas, dos rocas
aisladas presentan grabados similares a los de La Pampa
(tacitas y hoyuelos) (Ots 2005). El más relevante de
estos sitios cordilleranos, por el tamaño y forma de la
roca y la cantidad y tamaño de las cavidades (N=3), es
Arroyo del Novillo Muerto. En este caso, el análisis de
los microrrestos rescatados de las tacitas cupuliformes
(Schinus sp., Prosopis sp., Larrea sp.), sumado al resto
del registro arqueológico, nos sugiere para estas concavidades profundas la funcionalidad del procesamiento de
vegetales, aunque no pueden descartarse otras funciones
(Ots et al. 2016).
La distribución de rocas con morteros y otros artefactos de molienda en las proximidades de los cursos de
agua se puede interpretar en relación con la explotación
económica de los recursos de recolección disponibles en
el piedemonte y la cordillera (Ots 2007, Ots et al. 2016).
Este patrón está asociado a las ocupaciones estacionales
del Período Alfarero Medio.
A pesar de la proximidad de La Pampa a sitios
pedemontanos multicomponentes, con reocupación
tardía-inca, como Agua Amarga o Puesto La Isla (distantes
1,5 y 6 km del sitio, respectivamente), no encontramos
restos que indiquen que haya sido reocupado durante
esta etapa. Tampoco se registraron representaciones que
puedan asignarse al Tardío-inca, como en otros casos
regionales (v.g. Tunduqueral en el Valle de Uspallata.
Schobinger 2009). Este dato acota el rango de ocupación
y producción de las representaciones.
Desde el sitio, localizado en un sector transicional
entre las ocupaciones del sector cordillerano y del oasis
pedemontano, se logra el control visual directo hacia
áreas muy específicas: la cordillera al oeste y la planicie
al este; en el primer caso debido a su monumentalidad,
y en el caso de la planicie la visibilidad es plena debido
a la diferencia altitudinal con respecto a este sector
(aproximadamente 500 m).
La composición cartográfica general de la figura
15 muestra la visibilidad desde la concentración C2
hacia el oeste. Las celdas de color en la figura son los
espacios visibles desde el sitio. La transparencia de
capa muestra un ráster de sombreado bajo el ráster
de elevación e incorpora la salida procedente de un
análisis de cuenca visual que representa la relación
entre visibilidad y terreno. Observamos que, desde La
Pampa, la cordillera es ampliamente visible. Se muestra
el resultado de cuenca visual (total de superficie visible
SIMBOLOGÍA
Visible
No visible
Rí
o
de
La
sT
un
as
LA PAMPA
0
9 Km
Figura 15. Mapa de visibilidad desde C2 hacia el oeste. Figure 15.
Map indicating visibility from C2, looking west.
desde un punto) y también de la intervisibilidad con
los otros sitios (fig. 2). Las pruebas aplicadas permiten
establecer una correlación entre la ubicación topográfica
y el grado de visibilidad. En el detalle de la figura 2 se
observa que no hay visibilidad desde los otros sitios de
la microrregión hacia La Pampa, ni desde La Pampa
hacia los otros sitios.
DISCUSIÓN
Al integrar las distintas escalas de análisis (los soportes
grabados, el sitio y la microrregión) podemos proponer la discusión de algunas interpretaciones sobre los
grabados del sitio La Pampa.
Los antecedentes de estudios sobre representaciones
rupestres han destacado que, en algunos casos, estas
suelen encontrarse en relación con rutas que conectan
distintos elementos del paisaje y en sectores donde estas
se cruzan (v.g. Bradley et al. 1999). En esos casos, los
sitios se encuentran, como en La Pampa, relacionados
con poblaciones con un patrón móvil de explotación
de recursos, en sectores del paisaje asociados con ese
tipo de movilidad, con las rutas tradicionales de trashumancia y con la demarcación de esos recursos (Bradley
Grabados rupestres en el Río de Las Tunas / M. J. Ots et al.133
et al. 1994, Troncoso 2008). Las bases residenciales y
los asentamientos estacionales se localizan en otros
sectores del paisaje, en tanto que puntos significativos
son “marcados” con las representaciones rupestres. Otro
aspecto significativo de su localización es la visibilidad
directa hacia áreas específicas.
Los grabados rupestres del Río de las Tunas están
asociados a poblaciones con movilidad residencial, con
ocupaciones permanentes en el sector pedemontano
y estacionales en la cordillera, que definimos como
sociedades de pequeña escala. Los asentamientos se
identifican por concentraciones de materiales en superficie, ya que las construcciones residenciales eran
de material perecedero, por lo que las rocas grabadas
de La Pampa son las únicas estructuras visibles que se
conservan de estas ocupaciones en la microrregión.
El Río de Las Tunas es el corredor que conectaba
los sitios estacionales de molienda, las rocas aisladas
con grabados, las bases residenciales y el conjunto de
grabados de La Pampa. El sitio es un marcador que se
encuentra en el cruce de dos vías de tránsito, una que
se dirige hacia la cordillera (donde se encuentran las
nacientes del Río de Las Tunas y el volcán Tupungato,
6570 msnm) y otra que conecta esta microrregión con
otros sectores de ocupación indígena en el Valle de Uco
(v.g. El Manzano y el paso del Portillo de Piuquenes que
comunica con el valle de Aconcagua).
Este sitio se localiza en un espacio transicional entre
el ambiente cordillerano y el oasis pedemontano (Rocha
2017), y si bien la visibilidad del espacio inmediato es
reducida, desde allí se ejerce un control visual tanto de
la cordillera como de la planicie hasta unos 25 km de
distancia. El sitio tiene una direccionalidad oeste-este;
desde él se dominan áreas de recursos diferenciados
hacia ambas direcciones: para caza y recolección hacia el
oeste, complementados con la producción de alimentos
hacia el este (Ots et al. 2016).
La distribución espacial de las rocas manifiesta una
organización del paisaje, una determinada “arquitectura”
(Criado Boado 1999: 35) que la distingue de otro tipo
de sitios del área, y que en el caso de La Pampa parece
estar estructurada por la concentración C2. Si bien el
mayor número de representaciones se encuentran en
C4, en C2 es donde se da la mayor acumulación de rocas
que tienen intervenciones complejas (combinación
de los tres tipos de representaciones). Al contrario de
lo que sucede en C4, en C2 la selección de las rocas
que se acondicionaron y sobre las que se realizaron
los grabados más complejos del sitio tiene una disposición espacial intencional que conforma un espacio
circular, que asociamos a un espacio simbólico desde
donde se realiza un control visual circular hacia todas
las direcciones. Por otro lado, desde allí se conecta el
tránsito entre los sectores Oeste y Este y se proyectan
líneas de fuga hacia las rocas aisladas más alejadas. En
el sentido de Troncoso (2008), la disposición espacial
de los bloques incita o domestica el movimiento. El eje
principal de tránsito es una ruta donde los conjuntos
de rocas son marcadores de movimiento que señalan
el camino en una dirección de desplazamiento esteoeste/oeste-este.
Los análisis de visibilidad arqueológica fueron
realizados con el propósito de comprender cuál sería
la estructura visual del paisaje en relación con las
percepciones de los grupos asentados en el sitio La
Pampa. El alcance de la visibilidad tiene relación con
los aspectos físicos, como en este caso la topografía
y la cobertura vegetal del área de estudio; y con los
aspectos culturales, como sería el interés selectivo por
los objetivos visuales, las posibilidades de desplazarse
cuando se mira y la organización cultural del espacio
(Criado Boado 1993b). Aunque porciones de la cordillera se ven desde todos los sitios hacia el oeste, desde
La Pampa se logra una perspectiva más completa del
conjunto imponente que incluye los cerros de más de
5000 m, entre ellos el Tupungato.
El análisis de las cuencas visuales y del tránsito
permite acceder a la estrategia social de apropiación del
espacio y la forma de construcción del paisaje (Criado
Boado 1993b). La estrategia de visibilización, a su vez,
está en función de la voluntad de visibilidad, es decir,
presupone una determinada actitud hacia el entorno
en un contexto cultural determinado.
De acuerdo con estos análisis, La Pampa es un
sitio que no tiene conexión visual con los otros de la
microrregión: tanto con los asentamientos temporarios
del sector cordillerano, más alejados, como con los
asentamientos permanentes del oasis pedemontano,
más próximos. A pesar de la alta accesibilidad al sitio
desde las rutas próximas, la visibilidad es nula desde
el corredor del Río de Las Tunas, ya que los soportes
no tienen gran impacto visual. Esto hace pensar en un
acceso restringido a quienes no tienen un conocimiento
previo de su localización. Sin embargo, el sitio domina
visualmente cuencas que constituyen potenciales áreas
de explotación de recursos y las rutas de desplazamiento
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Boletín del Museo Chileno de Arte Precolombino, Vol. 25, No 1, 2020
entre estas cuencas. Esto se puede entender como un
modo de legitimación y/o apropiación del espacio.
Al ampliar la escala de estudio e integrar los
contextos del Período Agroalfarero Temprano-medio
de la macrorregión conformada por el centro-oeste
argentino y Chile central, se puede encontrar mayor
afinidad entre las representaciones de La Pampa con el
sector trasandino, ya que allí es donde se concentra la
mayor cantidad de sitios con “piedras tacitas” alrededor de los 33º LS (Gajardo Tovar 1959, Planella et al.
2017). Para el caso del área entre el valle de Limarí y
el río Maule, Planella et al. (2017) han interpretado su
emplazamiento en relación con límites identitarios o
demarcaciones territoriales. Como en nuestro caso, las
tacitas se relacionan con sociedades de baja escala del
Período Alfarero Temprano. Si bien se ha comprobado
su uso para prácticas de molienda de vegetales (silvestres y domésticos) y otras actividades de subsistencia
en los sitios, datos como la localización de las rocas en
las inmediaciones de fuentes de agua y la complejidad
de las representaciones que no en todos los casos tendrían una funcionalidad económica, relacionan estos
espacios con prácticas ceremoniales supracomunales
(Planella et al. 2017).
La combinación de los tres tipos de grabados de La
Pampa, sin embargo, no tiene antecedentes conocidos en
la macrorregión. Particularmente, las incisiones lineales
son las manifestaciones más originales. Los datos sobre
la cronología y la funcionalidad del sitio son por el momento relativos, a partir de los componentes artefactuales
y su recurrencia en el área. Otros sitios de la cuenca
del Río de Las Tunas con morteros se han asociado a
actividades domésticas, de obtención y elaboración de
alimentos debido a la presencia de otros artefactos de
molienda y procesamiento (cerámicos, líticos) y de restos
de consumo (Ots 2005, Ots et al. 2016). Sin embargo, los
morteros de La Pampa son escasos y de menor tamaño
y profundidad, y están asociados a los otros tipos de
grabados descritos, por lo que su funcionalidad podría
ser distinta a la del procesamiento de alimentos y será
indagada con futuros análisis de microdesechos. El
conjunto lítico y cerámico es escaso y estaría asociado
en parte a la producción de los grabados (desechos con
filos naturales y percutores de materias primas duras)
y al consumo de alimentos y bebidas, más que a su
preparación en el sitio (recipientes cerámicos pequeños,
delgados y en baja frecuencia decorados, sin marcas de
termoalteración).
Los motivos grabados en las rocas son en su mayoría abstractos, geométricos, y no encontramos patrones
en su frecuencia, orientación, ni distribución. Desde
nuestra interpretación de los soportes como marcadores del espacio, y en relación con la interpretación
del emplazamiento de los grabados macrorregionales,
algunos motivos parecerían esculpir formas en las rocas,
representaciones abstractas del paisaje (v.g. conexión
entre los hoyuelos y las incisiones en LP10, que así
pueden contener y transportar líquido desde la cima
hasta la base del panel. Fig. 4a). También podrían ser
“marcas no-representacionales”, resultado de algún tipo
de acción “no-visual” sobre la roca con una finalidad
que desconocemos (Ouzman 2001).
Aunque por el momento no podemos determinar
si los grabados fueron realizados en un único o en sucesivos eventos, la escasez de artefactos en superficie y
en distintos niveles de excavación en La Pampa sugiere
ocupaciones efímeras, eventuales aunque recurrentes
(periódicas, estacionales, anuales), de este espacio. Esto
lo distingue del resto de los sitios residenciales y de uso
doméstico de la microrregión. Su emplazamiento (en el
sentido de Aschero 1997: 18 y ss.) en un sector alejado de
aquellos y sin visibilidad desde la ruta que los conecta en
la cuenca del Río de Las Tunas, hace suponer un acceso
público restringido, acotado a determinadas prácticas no
cotidianas y a determinadas personas. Su funcionalidad
ceremonial puede interpretarse en relación con las prácticas de agregación social que implicó la producción de
los grabados y la realización de rituales asociados con el
control y la explotación de los ambientes circundantes
conectados por el Río de Las Tunas.
CONCLUSIONES
En la investigación sobre los grabados rupestres del
Río de las Tunas se procuró considerar tres dimensiones espaciales complementarias: la espacial-formal, la
simbólica-ritual y la social. El abordaje metodológico
para estudiar estas dimensiones fue multiescalar, abarcando el grabado como unidad mínima de análisis,
los soportes, la estructuración espacial del sitio y las
relaciones contextuales micro y macrorregionales.
Los grabados del sitio La Pampa son particulares
tanto en la micro como en la macrorregión centro oeste
argentino-Chile central, por lo que su interpretación
social no cuenta con marcos de referencia. Mediante
Grabados rupestres en el Río de Las Tunas / M. J. Ots et al.135
la metodología de relevamiento y análisis de los datos
propuesta, se registraron 794 grabados de distinto tipo y
sus asociaciones espaciales en los 25 soportes y en el sitio.
Se destaca el uso de una misma tradición técnica para
su ejecución, la cual pudo ser compartida por distintas
generaciones del componente Alfarero Temprano-medio,
fechado en la microrregión entre los siglos v y xiv. A
pesar de la proximidad de sitios ocupados durante la
dominación incaica regional, no se registraron componentes artefactuales que puedan indicar la reclamación
de este sitio durante esa ocupación.
El análisis de la estructura formal del espacio físico se orientó finalmente a interpretar el espacio vivo,
dinámico. Así, propusimos una interpretación de cómo
los grabados rupestres del sitio La Pampa se integran
en el paisaje en una red de relaciones con otros sitios y
con otros elementos.
Esta deconstrucción permitió comprender la intencionalidad del emplazamiento del sitio en relación
con rutas de tránsito microrregionales, configuradas en
torno al cauce principal del área, el Río de Las Tunas.
De este modo, el sitio La Pampa demarca la conexión
entre sitios de actividades múltiples localizados en dos
sectores contrapuestos: la cordillera hacia el oeste y el
oasis pedemontano hacia el este. Desde este emplazamiento, se asegura el control visual sobre un amplio
marco espacial hacia la cordillera y la planicie, también
paisajes contrapuestos.
Finalmente, la integración del registro arqueológico sugiere el uso eventual del sitio en relación con
las prácticas de producción de los grabados y con una
funcionalidad específica ritual.
Agradecimientos Al Sr. Manuel Cosio, propietario de
la finca Gran Espíritu, por su autorización y predisposición para que se pudieran realizar estas investigaciones.
A Mariana Raviolo (geóloga), Alejandrina Groissman
(fotógrafa), Roberto Bárcena y a los alumnos que participaron de las tareas de campo y laboratorio: Marina
Cataldo, Anabel Caniza, Martina Manchado, Gonzalo
García, Enrique Gárate, Facundo Quintas, Celina
Juárez. A los editores y evaluadores del artículo, cuyas
observaciones contribuyeron a mejorarlo.
REFERENCIAS
Álvarez, M. R. & Fiore, D. 1995. Recreando imágenes: diseño
de experimentación acerca de las técnicas y los artefactos
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Emergency endovascular repair of aortoiliac aneurysms in COVID-19 times
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Jornal Vascular Brasileiro
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ratamento endovascular das emergências dos aneurismas aortoilíacos em tempos de
COVID-19 Rafael de Athayde Soares1 , Marcus Vinícius Martins Cury1, Luiz Maurício da Silva Júnior1,
Patrícia Weiber Schettini Figueiredo1, Danilo Augusto Pereira Nery da Costa1, Camila de Freitas Correa1,
Nayara de Arruda Cáceres1, Roberto Saciloto1 Abstract In this paper, we describe a case series of four patients who were admitted with emergencies related to aortic aneurysms
over a 3-day period and were treated with endovascular repair. The first patient was an 81-year-old female with a
history of abdominal pain and a ruptured aortic aneurysm diagnosed by AngioCT-scan. The second patient was a
63-year-old male with a history of oral digestive bleeding and an AngioCT-scan showing an aortoenteric fistula. The
third patient was a 77-year-old female with sudden-onset abdominal pain and ruptured right common iliac aneurysm. The fourth patient presented with abdominal pain and an AngioCT-scan showed aortic rupture. All four patients
were discharged with no major complications or surgical mortality. These case series show that despite the Covid-19
pandemic situation, since elective surgeries decreased, vascular emergencies have increased. Keywords: COVID-19; endovascular surgery; aortic surgery; ruptured aortic aneurysms. Copyright© 2021 The authors. 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. ISSN 1677-7301 (Online) ISSN 1677-7301 (Online) ISSN 1677-7301 (Online) THERAPEUTIC CHALLENGE THERAPEUTIC CHALLENGE Resumo Relatamos uma série de casos de quatro pacientes consecutivos, admitidos com emergências relacionadas a aneurismas
aortoilíacos em um período de 3 dias e submetidos a tratamento endovascular. A primeira paciente, do sexo feminino,
com 81 anos e com histórico de aneurisma da aorta, apresentou dor abdominal iniciada nos últimos 12 dias. O
segundo paciente era do sexo masculino, com 63 anos e foi admitido com hematêmese 3 dias antes da admissão, com
angiotomografia demonstrando fistula aortoentérica. A terceira paciente, do sexo feminino e com 77 anos, foi admitida
com quadro de ruptura de aneurisma da artéria ilíaca comum direita. O quarto paciente consecutivo apresentou dor
abdominal iniciada 2 semanas antes da internação e aneurisma roto da aorta. Todos os quatro pacientes apresentaram
emergências aortoilíacas e receberam alta sem complicações maiores ou mortalidade cirúrgica. O relato desta série
de casos demonstra que, apesar da situação pandêmica da COVID-19, uma vez que as cirurgias eletivas diminuíram,
as urgências vasculares aumentaram. Palavras-chave: COVID-19; tratamento endovascular; aneurisma de aorta; cirurgia da aorta. How to cite: Soares RA, Cury MVM, Silva Júnior LM. et al. Emergency endovascular repair of aortoiliac aneurysms in
COVID-19 times. J Vasc Bras. 2021;20:e20200173. https://doi.org/10.1590/1677-5449.200173 No conflicts of interest declared concerning the publication of this article. ubmitted: August 13, 2020. Accepted: September 28, 2020. The study was carried out at Hospital do Servidor Público Estadual de São Paulo, São Paulo, SP, Brazil. Copyright© 2021 The authors. 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. INTRODUCTION Since the outbreak of the SARS-Cov-2 infection
pandemic, a considerable impact on elective surgeries
has been observed, with a fall in the number of
elective repairs performed. This is because most
patients preferred to postpone elective surgery and
also because surgical societies all round the world
have recommended postponement of elective surgery.1
Given the uncertainties related to COVID‐19, the
surgical community acknowledges the need for
resource preservation, but undue postponement of
surgery to treat progressive diseases would result in
another public health crisis.2i Figure 1. Axial Angio-CT scan showing ruptured aorta in case 1. One of the first reports regarding the Covid-19
outbreak and vascular surgeries was published by
Ng et al.,3 in whose vascular surgery department the
number of aorta-related cases have decreased, since
they have tended to postpone patients with abdominal
aortic aneurysms who were asymptomatic. Figure 2. Aortography in anteroposterior plane showing infra-
renal aneurysm in case 1. The objectives of this paper are to report a case
series of patients with consecutive aortoiliac aneurysm
emergencies and their outcomes and to present a review
of vascular surgery practice during the Covid-19
infection pandemic. The Research Ethics Committee approved this
study (decision number 4.091.832). Soares et al. J Vasc Bras. 2021;20:e20200173. https://doi.org/10.1590/1677-5449.200173 1/7 Aortoiliac aneurysm emergencies in COVID-19 times Figure 1. Axial Angio-CT scan showing ruptured aorta in case 1. Case 1 An 81 year-old female patient, with arterial
hypertension, diabetes, and a history of an aortic
aneurysm that had been diagnosed in 2015, presented at
dawn on a Saturday and was admitted with abdominal
pain with onset during the preceding 12 days. In
view of the known history of aortic aneurysm, she
underwent an AngioCT-scan that showed a ruptured
pararenal aortic aneurysm with maximum diameter
of 72mm and retroperitoneal hematoma (Figure 1). Although the aortic neck had conical morphology, it
had a length of 20mm before the start of the dilated
portion of the aorta (Figure 2). The patient was
hemodynamically stable and underwent endovascular
aortic repair under general anesthesia, with bilateral
groin incisions to expose the femoral arteries. A
36x14x103 Endurant II main body, combined with
a 16x20x156 limb extension on the right side and
two limb extensions on the left side (16x16x82 and
16x16x124) were successfully implanted (Figure 3). The patient progressed satisfactorily after the
surgery and remained hemodynamically stable. On
the second postoperative day she had leukocytosis
(18 x 109 cells/L) associated with coughing. A chest Figure 2. Aortography in anteroposterior plane showing infra-
renal aneurysm in case 1. CT showed left lung consolidation suggestive of
bacterial pneumonia. A diagnosis of SARS-Cov-2
was ruled out with laboratory tests and chest CT. She was put on Piperacillin-Tazobactan for 7 days,
without needing admission to the intensive care unit
and recovered satisfactorily, before being discharged
9 days after the endovascular repair. Case 2 A 63-year-old male patient with a history of
alcoholic liver cirrhosis was admitted during the Soares et al. J Vasc Bras. 2021;20:e20200173. https://doi.org/10.1590/1677-5449.200173 2/7 Aortoiliac aneurysm emergencies in COVID-19 times Figure 4. Axial AngioCT-scan showing intraintestinal bleeding,
secondary to an aortoenteric fistula in case 2. Figure 3. Postoperative anteroposterior aortography with a
36x14x103 Endurant, a 16x20x156 limb extension on the right
side and two limb extensions on the left side (16x16x82 and
16x16x124). Figure 4. Axial AngioCT-scan showing intraintestinal bleeding,
secondary to an aortoenteric fistula in case 2. Figure 5. Preoperative angiography in anteroposterior projection. Figure 3. Postoperative anteroposterior aortography with a
36x14x103 Endurant, a 16x20x156 limb extension on the right
side and two limb extensions on the left side (16x16x82 and
16x16x124). Saturday morning with a history of oral digestive
bleeding with onset 3 days before admission. He
underwent upper digestive endoscopy that detected
stomach bleeding. His past medical history reveled
previous spine surgery, with vertebral fixation
due to discitis. Six months later, a huge aortic
pseudoaneurysm was diagnosed and an aorto-
aortic Dacron bypass had been performed at our
hospital. An AngioCT-scan showed an aortoenteric
fistula (Figure 4). He was hemodynamically
stable and underwent endovascular repair with an
Endologix AFX –22-70/I16-30 + Vela 25-25/C75,
totally percutaneously, with three Abbott Perclose
Proglide devices (Figures 5 and 6). After surgery,
the patient progressed well and another upper
digestive endoscopy showed no bleeding at all. Additionally, the patient also underwent CT-guided
aspiration of a peri-aortic collection which when
cultured revealed multisensitive E. coli. Esophagus-
stomach-duodenum barium radiography ruled out
aorto-enteric fistula. The patient initiated oral diet,
without complications, and was discharged on oral
antibiotic therapy 11 days after the surgery. Figure 5. Preoperative angiography in anteroposterior projection. Case 3 The third patient was a 77-year-old female active
smoker with hypertension and congestive heart failure
who was admitted on the Saturday afternoon with
sudden abdominal pain. Once more, an AngioCT-scan
showed a ruptured right common iliac aneurysm,
without hemorrhagic shock (Figure 7). Under general Soares et al. J Vasc Bras. 2021;20:e20200173. https://doi.org/10.1590/1677-5449.200173 3/7 Aortoiliac aneurysm emergencies in COVID-19 times Figure 6. Postoperative angiography in anteroposterior plane
with AFX – Endologix 22-70/I16-30 and Vela 25-25/C75. anesthesia, both femoral arteries were exposed and
endovascular repair was carried out with a 24x82 Cook
Zenith with a 13x74 left limb extension and 12x45x58
ZBIS on the right with a 16x39 limb extension. There was hypogastric aneurysm involvement, so
the device was connected to the upper gluteal artery
with a 6x100 Gore Viabahn and 9x80 Bard Fluency
(Figures 8 and 9). The patient’s postoperative course
was satisfactory and she was discharged 5 days after
surgery. Case 4 The fourth consecutive patient was a 64-year-
old male active smoker with preexisting right limb
claudication who arrived on the Monday afternoon
with an abdominal pain that had had onset 2 weeks
before admission, with symptoms worsening 2 days
before he presented. An AngioCT-scan showed a
ruptured aortic aneurysm with 53mm maximum
diameter (Figure 10), with right common iliac and
external iliac occlusion, and a proximal neck length
of 25mm. This patient underwent endovascular repair
with a 23x14x102 monoiliac Endurant II for the left
limb and a 16x10x82 left iliac limb extension, after
left common iliac angioplasty with an 8x40 catheter
balloon in order to enable the endograft to pass. A
left groin incision was made to expose the femoral
artery and a left brachial puncture was used to perform Figure 6. Postoperative angiography in anteroposterior plane
with AFX – Endologix 22-70/I16-30 and Vela 25-25/C75. Figure 7. AngioCT-scan in coronal reconstruction with a right
common iliac artery rupture in case 3. Figure 8. Preoperative aortography in anteroposterior projection
in case 3. Figure 8. Preoperative aortography in anteroposterior projection
in case 3. Figure 7. AngioCT-scan in coronal reconstruction with a right
common iliac artery rupture in case 3. Soares et al. J Vasc Bras. 2021;20:e20200173. https://doi.org/10.1590/1677-5449.200173 4/7 Aortoiliac aneurysm emergencies in COVID-19 times Figure 11. Intraoperative anteroposterior projection aortography
in case 4. Figure 9. Postoperative aortography in anteroposterior projection
in case 3; 24x82 Zenith Cook, 13x74 left limb extension, and
16x39 right limb extension, with a 12x45x58 ZBIS and a 6x100
Viabahn and a 9x80 Fluency in the right internal iliac artery. Figure 11. Intraoperative anteroposterior projection aortography
in case 4. Figure 9. Postoperative aortography in anteroposterior projection
in case 3; 24x82 Zenith Cook, 13x74 left limb extension, and
16x39 right limb extension, with a 12x45x58 ZBIS and a 6x100
Viabahn and a 9x80 Fluency in the right internal iliac artery. Figure 12. Post-endoprosthesis implant aortography in
anteroposterior projection showing 23x14x102 monoiliac Endurant
II for the left limb with a 16x10x82 left iliac limb extension. Figure 10. AngioCT-scan in axial plane showing aortic rupture
in case 4. Figure 10. AngioCT-scan in axial plane showing aortic rupture
in case 4. arteriographic control (Figures 11, 12). This patient
recovered without further complications and was
discharged from hospital 3 days after surgery. Figure 12. Case 4 Post-endoprosthesis implant aortography in
anteroposterior projection showing 23x14x102 monoiliac Endurant
II for the left limb with a 16x10x82 left iliac limb extension. Soares et al. J Vasc Bras. 2021;20:e20200173. https://doi.org/10.1590/1677-5449.200173 DISCUSSION Abdallah et al.,4 reported the impact of the Covid-19
pandemic on vascular surgery in Paris. They observed
a rising number of acute arterial events in COVID-19
patients with no prior vascular history. These acute
arterial events included acute thrombosis of the
abdominal aorta, carotid, and peripheral arteries that could be the revealing symptom of COVID-19. The
four cases reported in this paper resume very well
this condition. This was a very unusual situation in
our vascular department; to perform 4 consecutive
emergency endovascular aneurysm repairs over the
course of 3 days. Even more so if compared with Soares et al. J Vasc Bras. 2021;20:e20200173. https://doi.org/10.1590/1677-5449.200173 5/7 Aortoiliac aneurysm emergencies in COVID-19 times the same period the previous year, May 2019, when
there were no cases of emergency aortic repair, only
elective repairs. All of these patients had postponed
their treatment because of fear of going to hospital
and facing the risk of Covid-19 infection, which
resulted in them being operated on an emergency
basis, which could have ended in a fatal outcome. Fortunately, all four procedures went well and all
of the patients survived and were discharged from
hospital, without being infected with Covid-19, at
least in its symptomatic form, since routine testing of
asymptomatic patients had not been included in the
infectious diseases protocol of our hospital. of aerosolization during laparotomy or at the time
of evacuation of abdominal gas and smoke during
laparoscopy.12,13 A paper published by Safari et al.14
analyzing multiple clinical specimens obtained
during emergency abdominal surgery in 4 COVID-19
patients showed that SARS-CoV-2 RNA was found
in the feces of 3 patients and in the duodenal wall of
a patient with perforated peptic ulcer, although real
time reverse transcriptase polymerase chain reaction
(RT-PCR) assay of abdominal fluid was negative for
the virus.i Another interesting finding in this case report
was the endovascular repair in a patient with
aortoenteric fistula (AEF). Endovascular repair of
AEF has emerged as an evolving treatment option
with potentially improved mortality outcomes. The
patient in this present paper probably had a secondary
AEF. A recent meta-analysis reported an in-hospital
mortality rate of 7% for 98 well-documented cases
of endovascular AEF repair from the literature. CONCLUSION The Covid-19 pandemic crisis is a challenging
situation that has increased the number of urgent and
emergency surgeries in the vascular world. The four
patients reported in this paper had excellent outcomes
with EVAR treatment, showing that vascular surgery
departments must be prepared to promptly treat
their patients’ urgent needs despite the SARS-Cov-2
situation. Furthermore, compared with the same period
last year, May 2019, when there were only elective
repairs and no cases of emergency aortic repair in our
vascular department, this paper shows a significant
increase in aortic emergencies during the COVID-19
pandemic crisis. This paper reports four cases of emergency aortic
aneurysms that were all treated with EVAR and all of
the patients had satisfactory outcomes. The EVAR‐1,
DREAM, and OVER trials all showed an early survival
benefit for EVAR, when compared to open aortic
surgery.7-9 Large-scale studies, meta-analyses from
IMPROVE have shown EVAR to confer reduction
in hospital mortality and morbidity in patients with
favorable aneurysm morphology.10,11 Therefore, the
current best evidence favors an “EVAR first” policy
for ruptured AAA, which has been followed in our
surgical department with favorable results. Moreover,
particularly during the COVID-19 pandemic crisis,
the choice of endovascular treatment to manage
these aortic emergencies may be preferred to avoid
infection during surgery, since contamination of the
operating field and personnel may occur because DISCUSSION When suitable, endovascular treatment of AEF is a
safe procedure, with fewer complications and better
outcomes than open surgery repair, particularly during
the COVID-19 pandemic crisis.15 Mousa and Broce5 also published a paper reporting
the impact of Covid-19 on the vascular interventionist,
showing that the number of surgeries was restricted
to only urgent or emergency cases, disrupting routine
patient flow, causing delays in data entry for new
and follow-up visits, and having an unprecedented
impact on the vascular specialty. Similarly, in our
vascular department elective surgeries had been
canceled, due to the need to maintain the intensive
care unit prepared to receive patients with Covid-19
infections. All elective aortic aneurysm surgeries were
postponed. Only urgent and emergency surgeries are
being performed. We are facing a pandemic crisis situation that
is changing vascular surgery and other surgical
specialties, increasing emergency procedures and
challenging vascular surgery all over the world. That
is the importance of reporting the changing surgical
flow and numbers of surgeries, as well as the causes
of 4 consecutive ruptured aortic aneurysms in 3
days, and highlighting the necessity of choosing the
endovascular approach to avoid COVID-19 infection
and contamination. Another study by Pini et al.,6 observed an increase
in the number of urgent aortic aneurysm cases in
2020 compared with 2019 (24% vs. 18%). These
results are similar to those we present in this paper,
in which we report four consecutive emergency
aortic aneurysms over a period of 3 days, and an
increasing of urgent aortic aneurysm cases in 2020
compared with 2019 (56% vs 23%). These conditions
could be because of the reduction in outpatient visit
flows at our department and also the patients’ fear
of acquiring Covid-19 infection, situations that can
delay appropriate treatment of the patient. 1. Spinelli A, Pellino G. COVID‐19 pandemic: perspectives on
an unfolding crisis. Br J Surg. 2020;107(7):785-7. http://dx.doi.
org/10.1002/bjs.11627. PMid:32191340. REFERENCES 1. Spinelli A, Pellino G. COVID‐19 pandemic: perspectives on
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Rafael de Athayde Soares
Av. Ibirapuera, 981 - Indianópolis
CEP: 04028-000 - São Paulo (SP), Brazil
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it possible to safely maintain a regular vascular practice during the
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Conception and design: RAS
Analysis and interpretation: RAS, MVMC, LMSJ, PWSF
Data collection: RAS, DAPN, CFC, NAC, RS
Writing the article: RAS
Critical revision of the article: RAS, MVMC, LMSJ, DAPN, RS, CFC,
NAC
Final approval of the article*: RAS, MVMC, LMSJ, DAPN, RS, CFC,
NAC
Statistical analysis: RAS
Overall responsibility: RAS
*All authors have read and approved of the final version of the article
submitted to J Vasc Bras. Author contributions
Conception and design: RAS
Analysis and interpretation: RAS, MVMC, LMSJ, PWSF
Data collection: RAS, DAPN, CFC, NAC, RS
Writing the article: RAS
Critical revision of the article: RAS, MVMC, LMSJ, DAPN, RS, CFC,
NAC
Final approval of the article*: RAS, MVMC, LMSJ, DAPN, RS, CFC,
NAC
Statistical analysis: RAS
Overall responsibility: RAS
*All authors have read and approved of the final version of the article
submitted to J Vasc Bras. 12. Francis N, Dort J, Cho E, et al. SAGES and EAES recommendations
for minimally invasive surgery during COVID-19 pandemic. Surg
Endosc. 2020;34(6):2327-31. PMid:32323016. 13. Vigneswaran Y, Prachand VN, Posner MC, Matthews JB, Hussain M. What is the appropriate use of laparoscopy over open procedures in
the current COVID-19 climate? J Gastrointest Surg. 2020;24(7):1686. PMid:32285338. Soares et al. J Vasc Bras. 2021;20:e20200173. https://doi.org/10.1590/1677-5449.200173 Soares et al. J Vasc Bras. 2021;20:e20200173. https://doi.org/10.1590/1677-5449.200173 7/7
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The significance of resilience in mental health promotion of marriage immigrant women: A qualitative study of factors and processes
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Yeonjae Jo
(
wscho@dau.ac.kr
) Yeonjae Jo
(
wscho@dau.ac.kr
) The significance of resilience in mental health
promotion of marriage immigrant women: A
qualitative study of factors and processes Yeonjae Jo
(
wscho@dau.ac.kr
) Research article Keywords: marriage immigrant women; women’s health; mental health; access to service; resilience
theory; qualitative research
Posted Date: April 14th, 2020
DOI: https://doi.org/10.21203/rs.2.13818/v4
License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Posted Date: April 14th, 2020 License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Version of Record: A version of this preprint was published at BMC Women's Health on April 28th, 2020. See the published version at https://doi.org/10.1186/s12905-020-00945-3. Page 1/24 Abstract Background: This study explores a series of processes in which marriage immigrant women achieve
positive mental health status after experiencing various marriage- and migrant-related difficulties through
the framework of resilience theory. As marriage immigrant women face greater barriers to public health
services than non-immigrant women, it is necessary to understand the related factors, process, and
context to address these barriers and strengthen available assets. Methods: A qualitative case study design was used with the phenomenological approach. Eleven mental
health promotion program managers and twelve marriage immigrant women from who experienced
resilience were recruited from four public-funded multicultural community centers in Seoul and Gyeonggi-
do, South Korea, between December 2015 and March 2016. Using data from in-depth semi-structured
face-to-face interviews, the author applied theme analysis informed by the resilience theory in order to
identify factors that affect resilience and its development process. Results: Findings indicated that the process of resilience follows enduring difficulties, collapse of stability,
access to professional help, professional and social support, and experience of growth. A combination of
the staged process of growth, absence of partner support, children as a driving force for change, the need
for economic activity, factors affecting difference in growth: satisfaction levels of women’s need for
recognition, respect, and reward, and level of spousal support were identified as factors affecting
marriage immigrant women’s resilience. Conclusions: Spouses, children, and economic activity play key roles in resilience in positive and negative
ways. The existing information barrier should be addressed at a structural level to improve the mental
health of marriage immigrant women, and the optimum time for intervention is suggested within two
years post-migration. Efforts to build supportive relationships with Korean spouses and meet the
women’s needs for recognition, respect, and reward may also help promote these women’s resilience. Background As a result of the Asian economic crisis, female marriage migration has increased from Southeast Asia to
South Korea. There has been an increase in marriages of immigrant women over the last few decades; in
2005, the number of marriages between South Korean men and foreign women accounted for 9.8% of the
total marriages in the country (314,304) [1]. The cumulative number of marriage immigrant women
reached 274,282 in 2018 [1]. Research on marriage immigrant women tends to focus on their vulnerabilities to stressors, mental
distress, physical abuse, and social isolation [2-5]. Most of these women immigrate to a foreign country
in their early 20s and 30s; thus, they face challenges associated with immigrant adjustment, including
adjusting to a new marriage, pregnancy, childbirth, and employment [6, 7]. Marriage immigrant women
need social support for settling in South Korean society [8] and have a direct and indirect influence on
family and social health. Often marriage immigrants find themselves isolated in their new country Page 2/24 without the support networks they are used to having in their country of origin or proficiency in the Korean
language. The inability to speak or read the language of the new country has a significant negative effect
on the social integration of female migrants [9]. This places married women in a position of dependence
on their South Korean spouses, reducing their autonomy. There are a number of studies on the mental
health problems these women face due to changes in the living environment, lifestyle, and cultural
adaptation stress, such as depression and anxiety [10, 11]. Studies have repeatedly expressed that
female migrants tend to experience more cultural adaptation stress and depression [12-14]. Gender
differences in the psychological adaptation of migrants tend to be more pronounced when the
differences in gender role expectations between the two cultures are greater, especially in the more
stratified societies. Women find greater difficulty adapting and are more likely to have psychological
symptoms such as depression, as compared to men [15-17]. In response to the increasing number and the integration needs of marriage immigrants, the Korean
Government has adopted social welfare policies to facilitate their adjustment based on the rationale that
they have provided a segment of Korean men with the opportunity to continue their family line [18]. Participants Eleven mental health promotion program managers with different professional specialties were selected
from four public-funded multicultural community centers in Seoul and Gyeonggi-do, South Korea. These
programs were sponsored by The Ministry of Health and Welfare and Ministry of Gender Equality and
Family that aimed to support for early adaptation and stable settlement of marriage immigrant women
and their families. Twelve marriage immigrant women who had indicated to program manages that they
were happy to participate and who were able to be contacted by the researcher were invited to participate
in the face-to-face interview, and all were interviewed. Background To understand the difficulties
experienced in the specific context of immigrant women's marriage and how immigrants' inner resources
and external protective factors promote mental health throughout the resilience process, in-depth,
qualitative research is required. environment that can empower them to gain control over their life effectively [29]. Furthermore, resilience
theory considers a person an active rather than a passive subject [20]. To understand the difficulties
experienced in the specific context of immigrant women's marriage and how immigrants' inner resources
and external protective factors promote mental health throughout the resilience process, in-depth,
qualitative research is required. The resilience of marriage immigrant women has received little attention in political and research
agendas. This study adds to the existing literature with a new approach focused on the analysis of
resilience protective factors, their context, and the resilience process of marriage immigrant women. As
such, qualitative research was used to examine the experiences of marriage immigrant women, analyzing
several categories of factors that may promote or harm resilience, driving forces of change, and key
influencers on growth and ability to thrive. In this context, the purpose of this study is to examine the process of resilience in the mental health of
marriage immigrant women and its influencing factors. The results may then provide a basis for
complementing and improving existing mental health promotion policies, services, and new public health
strategies. Background For
example, the Korean National Health Insurance Program covers marriage immigrants who hold a valid
spouse visa, providing financial assistance or waiving the health insurance premiums when they give
birth [19]. The Ministry of Health and Welfare and Ministry of Gender Equality and Family sponsor 218
public multicultural community centers that provide Korean language education programs, psychological
counseling, and art therapies to support immigrants’ adjustment in Korea. However, due to lack of funds
and limited capacity, these centers have less accessibility, and the number of counseling sessions is
limited to 10 or fewer. Furthermore, they focus primarily on education rather than intervening in individual
cases [20]. Building healthy public policy, creating supportive environments, strengthening community
actions, developing personal skills, reorienting health services, and caring holism and ecology were
identified as priority action areas of health promotion in the First International Conference on Health
Promotion in Ottawa, Canada [21]. The mental health of marriage immigrant women should be viewed in
relation to the internal resources and external support for the individual, given the holistic and ecological
perspective that has been emphasized in the Ottawa Charter [21]. In addition, it is necessary to study not
only the negative but also positive factors influencing mental health and the process of recovery and
growth from mental health problems [22]. Lately, as more studies have been conducted with people recovering or growing from negative life events
or difficulties [23-26], there is increasing interest in resilience theory to explain these processes and
results. The concept of resilience can be defined as the process and consequences of working protective
factors that enable positive adaptation, recovery, and growth from difficulties [27]. Several researchers have used quantitative research methods to identify protective factors regarding
resilience [28-30]; however, the development process of resilience and its context are not identified in
these studies. Additionally, existing studies of immigrant women show a lack of application of resilience
theory. Unlike traditional medical models that focus on weaknesses, deficiencies, and pathogenic factors,
resilience theory focuses on possibility, assets, strength, and supportive aspects of individuals’ Page 3/24 Page 3/24 environment that can empower them to gain control over their life effectively [29]. Furthermore, resilience
theory considers a person an active rather than a passive subject [20]. Design and data collection techniques This is a qualitative case study focusing on a phenomenological approach. By allowing immigrant
women the opportunity to describe their experiences and the meanings they attribute to them, the
researcher can capture the diversity and complexity of their perceptions of the resilience process and the
related factors. As Lahtinen et al. (1999) suggest, key concepts needed in the planning, evaluation, and
monitoring of mental health promotion and prevention programs/policies were considered to evaluate the
contents and quality of the current mental health promotion programs for marriage immigrant women. Critical case selection was made considering comprehensive factors such as individual, family, social,
and cultural factors to ensure the quality of mental health promotion programs for marriage immigrant
women [31]. Page 4/24 Page 4/24 Page 4/24 Data were collected from two groups, women and program managers. Two programs were decisively
chosen, and additional cases were secured through a snowballing method using the institutions as a
focal point. The selection criteria of the program manager included having worked with migrants for more
than one year, currently working, voluntary participation, and work as a mental health promotion program
manager. The selection criteria of marriage immigrant women included having experienced participating
in a mental health promotion program for more than one year, recommended by program manager as
recovered or resilient, voluntary participation, and willing to talk/share about their experience. Program
managers and marriage immigrant women who did not meet the selection criteria were excluded. Each
program manager was selected first and then recommended immigrant women for participation. Immigrant women meeting the selection criteria were contacted by their program manager, informed
about the study, and asked to consider participating. Immigrant informants willing to volunteer were
identified and recruited through program managers first. Then the researcher contacted them via
telephone, re-informed them about the study and their rights, and confirmed their voluntary participation. A suitable time and place for the interview was then arranged. The final sample size was determined by
data saturation, which was verified when no new data relevant to the study were found. In-depth, semi-structured face-to-face interviews were conducted by the author, a native Korean speaker,
between December 2015 and March 2016 using standardized protocol. The research questions were as
follows: How can marriage immigrant women attain resilience and sustain it? What factors influence
marriage immigrant women’s resilience, and how do they do so? Design and data collection techniques Immigrant participants were asked
about the difficulties they faced in South Korea as marriage immigrant women, factors that improve life
in the country, and their experience of mental health promotion programs there to explore the context of
their lives and their processes of resilience. Program manager informants were asked about the
difficulties marriage immigrant women face in South Korea, factors that improve or harm their life in the
country, and the manager’s experience of mental health promotion programs with immigrant women for
triangulation. Field notes were made throughout the interviews. The interview questions were developed
in discussion with qualitative research experts and based on results from literature reviews of resilience
theory and mental health program evaluations [20]. The interview questions were pilot tested. Furthermore, sociodemographic information of participants was gathered in order to characterize them. Interviews lasted 60 ~ 90 minutes, were recorded in mp3, and were transcribed by the author within two
days. With regards to credibility, recording. and transcribing the interviews helped ensure the quality of the
data [32]. To enhance the transparency and transferability, all stages of data collection and analysis were
described. The marriage immigrant participants were able to communicate sufficiently in the Korean
language to be understood. Interview participants had the opportunity to request an interpreter, but none
did. Data analysis Resilience is the result of individuals being able to interact with their environments and the processes that
either promote well-being or protect them against the overwhelming influence of risk factors [33]. Page 5/24 Difficulties are a prerequisite for resilience, and positive adaptation, recovery, and growth are the outcome
indicators. Modern definitions at the individual, family, neighborhood, and community levels can extend
interest from factors that support or hinder the resilience process at the individual level to the critical role
of the environment surrounding the individual, including services [34]. According to this theoretical
framework, the resilience of immigrant women can be explained by various factors such as social policy,
neighborhood and social context, family, and personal development level. This framework provides an analytic lens that enables the researcher to critically examine these
informants’ narratives and identify the factors that influence marriage immigrant women’s resilience and
its process when facing difficulties focusing on assets, strength, and supportive aspects of individuals’
environment. With a resilience theory framework as a lens, the author read and reread the transcripts to
gain familiarity with the data. An initial reading of data identified critical text fragments and meaning
before a thematic content analysis was conducted. Four thousand, seven hundred seventy-nine codes
were initially established on the objective of the study. This allowed the generation of mixed categories, a
theme analysis to find core categories, a comparison of categories and concepts, and the identification of
similarities and differences between cases. Thereafter, open coding and axial coding were conducted. Based on the 4,779 codes, similar statements were grouped and were finally compressed into 236 codes. By comparing and contrasting the codes across the cases, the author developed them into higher-order
categories and presented them to other qualitative research experts. Analysis was conducted through
discussions and continuously referring to the data. Through the categorization process, which compared
and contrasted the relevance of the generated codes, the author derived 21 subcategories, which were
further compressed into 13 categories. In these 13 categories, five common themes were derived by
structuring common attributes. Research Ethics This study received the final approval (IRB No. 1503 / 002-004) of the Institutional Committee of
Research Ethics of Seoul National University in February 2015. All study procedures involving human
participants were in accordance with the ethical standards of the institutional committee and the 1964
Helsinki Declaration and its later amendments or comparable ethical standards. The researcher did not
attempt any intervention concerning the experience of the research participants. There was no pressure
by the researcher nor the program manager for the immigrant women to participate in this study. Written
information about the goals of the study, the interview procedure, informant’s rights, and ethical
considerations were issued to the women. Participation was voluntary and written informed consent was
given by every participant, which guaranteed the informants’ rights, confidentiality, and anonymity. This
manuscript was prepared in accordance with the COREQ standards for qualitative research reports. Results Twenty-three participants, including 12 marriage immigrant women and 11 program managers, were
interviewed. Table 1 describes the background characteristics of the participants who were interviewed. Page 6/24 Twelve immigrant women were aged between 25 and 47 years (mean 35.8 years) and had lived in South
Korea between 5 and 19 years (mean 12.5 years). Five immigrant women had just one child, while the
other seven had two or three children. Eleven program managers were aged between 30 and 53 years
(mean 39.6 years) with professional specialties in counseling or art therapy. They had been working with
immigrant women between 2 and 25 years (mean 10.3 years). From the analysis of the interviews, five themes emerged to represent marriage immigrant women’s
process of resilience, its related factors, and their growth and ability to thrive (Figure 1). This is described
in more detail in Table 2. The discourse extracts in the text are labeled to indicate the source of the data
(MIG: Marriage immigrant woman, number, and the number of years in Korea; PRO: Program manager,
number, and the number of years spent by the information provided in their profession). Theme 1. Staged process of growth Five categories of ‘enduring difficulties,’ ‘collapse of stability,’ ‘access to professional help,’ ‘professional
and social support,’ ‘experience of growth’ are the order of the resilience process under ‘Staged process of
growth’ theme. (1) Enduring difficulties Differences in culture and difficulties in communication were found to be key factors influencing
informants’ mental health. Cultural differences mostly included eating habits, ways of managing living
spaces, parenting styles, and clothing, which led to family conflicts. "Mom in-laws say men are king and sky. Women are as low as the land. It’s so unjust and strange"
(Marriage immigrant woman [Mig3, 11y]). "Mom in-laws say men are king and sky. Women are as low as the land. It’s so unjust and strange"
(Marriage immigrant woman [Mig3, 11y]). “My husband does not prepare my baby’s meal. He doesn’t even feed her. Moreover, he said there is
nothing wrong with him. He thinks he is a good father.” (Mig10, 9y). “It is so hard. We (my husband and I) fight almost three times a month. I am so sick of him screaming
and yelling at the children” (Mig3, 11y). Participants reported that neither the marriage immigrant women nor their Korean family members felt
their own culture was respected. Since their Korean language level was low, this often led to
communication problems and confusion. "I could only understand one word, so I had to guess. It's hard to guess. Conflicts kept happening” (Mig8,
8y). 8y). The participants, including both immigrant women and program managers, indicated that many
immigrant wives are forced to speak only in Korean and to follow Korean culture, and this made them feel Page 7/24
The participants, including both immigrant women and program managers, indicated that many
immigrant wives are forced to speak only in Korean and to follow Korean culture, and this made them feel Page 7/24 Page 7/24 neglected and discriminated against. "Korean family members say these women are from savage and poor countries. They look down on
them” (Program manager [Pro8, 4y]). "Korean family members say these women are from savage and poor countries. They look down on
them” (Program manager [Pro8, 4y]). As migrants without full citizenship, until they have acquired the necessary language and cultural skills,
as well as legal status in their own right, these women have to rely on their husbands to make
applications for change in status, fill in forms, or otherwise deal with authority. Lack of a common
language restricts communication between husband and wife and increases the isolation of immigrant
wives. (1) Enduring difficulties Husbands may not want their wives to meet and socialize with their ethnic community members,
as they are concerned to ensure that the wife learns to become an acceptable wife for the Korean family. Korean men’s unrealistic expectations of their immigrant wives’ behavior often cause conflict in marriage
and lead to abusive domestic violence. “I was not allowed to go out for the first one to two years in Korea. My husband and mom-in-law were
worried that I would run away if I go out” (Mig3, 11y). “There were husbands saying that they bought a bride for child, child bearing, descendants…and these
men treat the wives bad and often neglect them” (Pro8, 4y). “There were husbands saying that they bought a bride for child, child bearing, descendants…and these
men treat the wives bad and often neglect them” (Pro8, 4y). Economic difficulties were also noted as a major negative factor in the mental health of the marriage
immigrant women. Most of the spouses mentioned had a low income, and many were unemployed. As a
result, immigrant women could not support their home country’s family financially and suffered from an
economic burden with their Korean family. "My parents think, ‘My daughter is internationally married. She will pay me.’ So, I have to send money. It is
always difficult” (Mig8, 8y). (2) Collapse of stability Most immigrant participants reported mental health problems, including emotional difficulties, stress,
anxiety, and depression. Several immigrant informants said they had struggled with suicidal ideation
during their first or second year in South Korea. “I was stressed out, and I wanted to die. I really did not want to live anymore” (Mig10, 9y). “I was stressed out, and I wanted to die. I really did not want to live anymore” (Mig10, 9y). “I was stressed out, and I wanted to die. I really did not want to live anymore” (Mig10, 9y). Migration reduces the capacity of individuals to act independently and increases the vulnerability of
women until they have legitimate status in their own right as well as cultural and language skills. Immigrant women commonly addressed that the first one to two years was the hardest time to adjust in
the new country. “The first two years in Korea was the toughest time in my life. I tried so hard to learn the Korean language
to communicate with my husband, but he did not trust me and locked me at home” (Mig8, 8y). Page 8/24 “It was so hard after arriving in Korea. It was hard enough that I could die. I was so depressed and could
not see any future ahead of me. For about one year, it was so tough to adjust” (Mig10, 9y). Program manager informants also addressed that immigrant women struggle hard, especially in the first
one to two years in South Korea. “The first two years are the hardest time. They have to learn Korean and adjust to a new life. Complaints
build up and suddenly explode. Then they run away or want a divorce” (Pro2, 15y). Though their initial threshold for problems might be high, due to lower levels of social support, family
conflict, traumatic events like domestic violence, and greater social isolation, stress had built up until the
marriage immigrant women’s mental stability collapsed. Several immigrant women explained that their
self-esteem had gotten progressively lower, and they could not manage their sudden and extreme
tempers. “I felt incompetent all day long. There was nothing I could do, so I got sick and upset. My complaints
festered and exploded” (Mig1, 5y). (3) Access to professional help (3) Access to professional help Access to professional services in a new country was challenging for immigrants. The marriage
immigrant women came from countries with no public counseling system and were used to experiencing
stigma towards mental health problems. Thus, they did not know what to do or where to get help when
suffering from severe mental health problems. Most participants who had experienced a mental health
problem utilized informative support from other immigrant friends, not from their Korean family. “I have a married immigrant friend, and she has a lot of information. She told me about the program”
(Mig4, 15y). “I have a married immigrant friend, and she has a lot of information. She told me about the program”
(Mig4, 15y). These friends could explain the benefits of professional intervention and help them navigate the services. One immigrant woman explained that she could get professional assistance from police while arranging
services for a domestic violence victim: “I didn’t know that there is a shelter for women. He kept hitting me, and I didn’t have a place to hide from
him. I called the police for the first time. Then the counselor came along with the police” (Mig3, 11y). The marriage immigrant women preferred in-center programs, while they stated their Korean family
preferred home-visit programs, ostensibly to prevent them from “running away.” When a professional
service was available, marriage immigrant women had the option of getting help if necessary. “At first, I was very angry, and I said ‘I’m going back to Vietnam, I’m going to divorce.’ But when I was
pregnant, I began to think about how I should survive. So I thought I should get help and learn to live”
(Mig8, 8y). Page 9/24 However, not all women made use of these services. Women with children were found to be more likely to
use the services than women without children. However, not all women made use of these services. Women with children were found to be more likely to
use the services than women without children. (4) Professional and social support Marriage immigrant women felt frustrated when they were not recognized, rewarded, or respected by their
Korean families. Social and emotional support from professional services met those needs restored
emotional stability and self-esteem. “[The program] has changed my life. It was helpful that someone listened to me and treated me with
respect. I felt relaxed” (Mig3, 11y). “[The program] has changed my life. It was helpful that someone listened to me and treated me with
respect. I felt relaxed” (Mig3, 11y). Professional help included counseling, couple counseling, music therapy, art therapy, self-help group
activities, and community service activities. Counselors and therapists gave advice, therapy, useful
information, full attention, listened to their stories, and empathized with them. Through self-help group
activities and volunteer activities, new support systems were formed. Marriage immigrant women also
learned healthy communication skills to express their thoughts and feelings appropriately. “I used to think of myself as alone and didn’t talk. I came to the center with my friend. I did not know about the center or how to These friends included neighbors and people from Social Networking Service (SNS) like Facebook, parent
meetings, or religious centers. These friends included neighbors and people from Social Networking Service (SNS) like Facebook, parent
meetings, or religious centers. “I have a married immigrant friend, and she has a lot of information. She told me about the program”
(Mig4, 15y). Now I say what I think, and my husband says, “Thank
you very much for your words.” [Things are] very good with my husband now” (Mig11, 5y). “I used to think of myself as alone and didn’t talk. Now I say what I think, and my husband says, “Thank
you very much for your words.” [Things are] very good with my husband now” (Mig11, 5y). (5) Experience of growth articipants explained that professional help reinforced marriage immigrant “Really passive women became leaders full of confidence. I was really surprised” (Pro10, 4y) and helped them resolve family conflicts through healthy communication. In addition, as they understood
and sympathized more with the differences of their counterparts, they were better able to understand the
position of the Korean family: and helped them resolve family conflicts through healthy communication. In addition, as they understood
and sympathized more with the differences of their counterparts, they were better able to understand the
position of the Korean family: “I understood my husband while counseling. At first, I only voiced my opinions. However, I realized how
frustrating it was for my husband. Now that we understand each other, things have changed a lot” (Mig8,
8y). 8y) 8y). Rapport with professional staff and self-help group members created secure support networks and gave
the immigrant women strength to work through difficulties. They saw themselves as “grown from the
past.” Furthermore, as they experienced growth through the programs: Rapport with professional staff and self-help group members created secure support networks and gave
the immigrant women strength to work through difficulties. They saw themselves as “grown from the
past.” Furthermore, as they experienced growth through the programs: er knew what I was capable of, and now I think I’m starting to fly” (Mig4, 15y) “I never knew what I was capable of, and now I think I’m starting to fly” (Mig4, 15y). , they made efforts to strengthen their internal reward systems continuously. In particular, they enjoyed
the praise and recognition that come from volunteer activities. , they made efforts to strengthen their internal reward systems continuously. In particular, they enjoyed
the praise and recognition that come from volunteer activities. Page 10/24
Theme 2. Absence of partner support Page 10/24 Few of the immigrant women in this study got the help they needed from their spouses. “My husband is the closest person to me, but only physically. We have many conflicts. Theme 3. Children as the driving force for change All participants mentioned the importance of childcare, and a decision to get help was often made as a
result of childcare responsibilities. “After I gave birth, I believed I needed to change for my child. I had to try” (Mig6, 15y). “I have a married immigrant friend, and she has a lot of information. She told me about the program”
(Mig4, 15y). I can’t
communicate with him. It is so hard” (Mig8, 8y). As they were financially dependent on their husbands, this left them with less control over their lives and
mental health. As they were financially dependent on their husbands, this left them with less control over their lives and
mental health. “The economic power is almost always with their husband or their parents-in-law. Because these
immigrant women don’t have pocket money, they can’t live their own life at all. That is why they struggle
to get a part-time job” (Pro50, 8y). “The economic power is almost always with their husband or their parents-in-law. Because these
immigrant women don’t have pocket money, they can’t live their own life at all. That is why they struggle
to get a part-time job” (Pro50, 8y). Thus, friends were important to participants in two ways. Firstly, they were able to recognize collapses in
stability in these married women. Secondly, they informed professional services and helped the
participant access these services if necessary. Thus, friends were important to participants in two ways. Firstly, they were able to recognize collapses in
stability in these married women. Secondly, they informed professional services and helped the
participant access these services if necessary. “I came to the center with my friend. I did not know about the center or how to get there” (Mig8, 8y). “I came to the center with my friend. I did not know about the center or how to get there” (Mig8, 8y). “I came to the center with my friend. I did not know about the center or how to get there” (Mig8, 8y). “After I gave birth, I believed I needed to change for my child. I had to try” (M After getting pregnant or giving birth, the married women reconstructed their foci to their child and
changed their attitudes and strategies towards difficulties from passive to active. “It was so hard that I wanted to die. I thought a lot about killing myself, but I became a mother. I had to
raise my child somehow! I had to be strong” (Mig8, 8y). In addition, a child gave them a sense of security and stability as it guaranteed they would be able to stay
in South Korea indefinitely. Children also gave psychological comfort to the married women. “She [My child] takes care of me. I said to her, ‘it hurts,’ and she gently rubs her hand against my forehead. I felt relaxed” (Mig11, 5y). “She [My child] takes care of me. I said to her, ‘it hurts,’ and she gently rubs her hand against my forehead.
I felt relaxed” (Mig11, 5y). The results showed that children could also cause the marriage immigrant women problems. These
results were commonly addressed by program manager informants. In cases of disagreement among
Korean family members regarding childcare, child maladaptation, and child discrimination, the women
also suffer. Several program manager informants in the study mentioned that the child neglected and
discriminated against immigrant women as the Koreans do. Page 11/24 Page 11/24 “The children ignore their mother like their grandma does. They learn this without knowing it, and they
don’t respect their mother” (Pro8, 4y). Theme 4. The need for economic activity Economic activities, which are known to be protective factors in resilience theory [35], appeared to affect
mental health in both positive and negative ways, related to the context in which married women had to
work for a living. “There are few people who can afford to live. And there are a lot of people who are in debt, so they have
to work” (Pro1, 25y). The marriage immigrant women felt a sense of duty to support families in their home country. One
participant stated that The marriage immigrant women felt a sense of duty to support families in their home country. One
participant stated that “The reason why immigrant women are forced to do economic activities is…to send money to their
families in their home countries” (Pro6, 5y). However, they were financially insecure in South Korea and had to work to earn money to support their
families in South Korea as well. There are also benefits from this economic activity, such as supporting
one’s family financially, developing one’s career, and earning the respect of one’s Korean family: However, they were financially insecure in South Korea and had to work to earn money to support their
families in South Korea as well. There are also benefits from this economic activity, such as supporting
one’s family financially, developing one’s career, and earning the respect of one’s Korean family: “My life becomes energetic, and I find work that strengthens my talent, and my children get to respect me”
(Mig7, 13y); however, this economic activity has a cost. The balance of work and household duties made them feel
doubly burdened. however, this economic activity has a cost. The balance of work and household duties made them feel
doubly burdened. "I was stressed a lot. Not stressed at work, but afterward. It was too hard for housekeeping" (Mig8, 8y). However, some women in the study were satisfied with their role in society and their financial
independence within the family. Discussion In this study, the author aimed to identify the factors that influence marriage immigrant women’s
resilience and its process when facing difficulties. In doing so, factors relating to seeking professional
help were also identified. The findings indicated that the order of the resilience process follows: enduring
difficulties, collapse of stability, access to professional help, professional and social support, and
experience of growth. A combination of the staged process of growth, absence of partner support,
children as a driving force for change, the need for economic activity, factors affecting difference in
growth all affect marriage immigrant women’s resilience. Common difficulties that these women face are
cultural differences and communication problems due to the lack of language proficiency. A previous
study also reported that one of the main difficulties faced by immigrant women is language and
communication [36]. It should be noted that often, marriage immigrant women are passive in seeking
help for mental health problems, as described in a previous study [37]. As support from the home country
family weakened while living in Korea, their vulnerability to mental health problems heightened. Thus,
accessibility to professional help becomes extremely important in this context. In general, immigrants are evaluated as vulnerable due to a lack of access to health information
compared to indigenous peoples [38]. Marriage immigrant women experience structural barriers when
accessing professional services as a result of their position as immigrants in society [39]. The women
lack information about public services and are often reliant on other immigrant women for information. These circumstances delay intervention and cause more complex mental health problems, forcing
marriage immigrant women into a subordinate position with less control over their own lives. Migrants
are often also unfamiliar with the overall system and language of the immigration country, so experience
significant difficulty obtaining necessary health information [40]. It is imperative that access to
professional services is improved to empower immigrant women. The main task of marriage immigrants
is to overcome adversities in managing cross-cultural marriage and life in Korea in the first few post-
migration years [19]. According to this study’s findings, this professional help should be available within
two years of migration. This supports research from other countries that suggests intervention should not
be delayed over three years [41]. Theme 5. Factors affecting difference in growth The level of growth or and ability to thrive varied among participants and appeared to be influenced by
satisfaction levels of women’s needs for recognition, respect, and reward and support levels of the
partner. By recognizing their value through various social activities, marriage immigrant women were able
to express their feelings and thoughts with healthy communication and restore their self-esteem and
confidence. The support of the husband made a difference in the degree of growth. Adequate support
also sped up the time required for growth. If a spouse understood and supported the adaptation efforts of
the immigrant women, positive marital relations were strengthened, and a high-level growth was achieved
in a short time. Page 12/24 Page 12/24 "I wanted him to know my heart and not ignore it. If my husband gives me his heart, I can bear it. That the
most important thing" (Mig3, 11y). The results also revealed that individuals' changes had a positive effect on family relationships and the
community. "I have a desire to go out and help others through volunteer activities. It is worthwhile, and I feel good. I
like to receive gratitude and praise” (Mig6, 15y). Discussion How and when marriage immigrant women receive service information,
and professional help is essential since mental health problems can be easily resolved at an early stage
[42, 6] As mentioned in Chang and Wallace’s work [19], effective integration programs in the first few post-
migration years may identify at-risk transnational couples, and improve marriage migrants’ health. Page 13/24 Page 13/24 Translation and interpretation are significant parts to play in facilitating access to support and services,
and accurate, high-quality services of translation and interpretation should be a crucial step in promoting
services to the women [4]. By increasing awareness of available services, immigrants can achieve
positive changes in their lives [43]. The use of lay health providers or assistants is essential to prepare
this population for the empowerment process [44]. Meeting marriage immigrant women’s needs for recognition, respect, and reward, in the form of
happiness, well-being, encouragement, and financial independence, and strengthening supportive spousal
relationships are the key intervention strategies for improved resilience. Many of the participants in this
study find a supportive relationship with counselors and therapists where they can discuss their concerns,
thoughts, and feelings and are encouraged to learn communication skills. The national hotline and
counseling services carrying out in the client’s native language to ensure that the woman feels able to
express herself as she wishes, are recommended [4]. However, although this type of intervention is
sufficient, the role of the partner is a lot bigger in resilience. The degree of respect, acceptance, and
attention received from others who are considered to be meaningful has the most significant impact on
the development of self-esteem [45]. Since their Korean spouses are usually the most important and
meaningful people to marriage immigrant women, being recognized, respected, and rewarded by the
spouse and building a strong supportive relationship with them decreases the resilience process time and
leads the women to a high level of growth. If women feel marginalized and stigmatized, supporting their
integration and protecting them from risk factors of mental health will be very challenging, so
professionals may need to work with the Korean families as well as with the wives themselves [4]. The
utilizing bilingual healthcare providers or assistants having same country of origin with the women in the
multicultural centers would be useful to provide culturally sensitive and intimate care, patient education,
and friendship for immigrant women [46]. Discussion Personality traits and psychological
resources have been the main emphasis in existing resilience research [57-61]; however, the results of this
study show that the protective factors of resources at the family and community level are more influential
on resilience than individual resources concerning the mental health of marriage immigrant women. Another noteworthy finding is that economic activity plays positive and negative roles in the mental
health of these immigrant women as it is both a means of solving financial difficulties and a stressor that
makes it challenging to balance work and family life. The resilience factor, therefore, needs to be
interpreted in a way that reflects this cultural and social context [62], and economic activities should be
supported structurally for the independence and autonomy of these women. Opinions of scholars vary on whether to view positive results after difficulty as a recovery to the previous
state or an improved state [63]. The discoveries of this study suggest that for marriage immigrant
women, resilience results should be regarded as growth beyond recovery to the stable state, in that they
overcame difficulties and then achieved further internal growth through various protective factors, such
as strengthening their support system. In this process, their attitudes, thoughts, coping styles, and
communication styles changed positively. These positive changes correspond to areas of growth that
include appreciation of life, intimacy of relationships, and personal strengths [64, 31]. To sustain and
strengthen growth in resilience in marriage immigrant women, interventions should be considered for
individuals, which include woman, her spouse, and family members, to undertake meaningful activities in
a supportive and collaborative environment in the community [65]. In turn, the positive results of
resilience may then spread through the community. One limitation of this qualitative research could be that marriage immigrant women who participated in
the in-depth interviews may have more resources at their disposal than other marriage immigrant women
in that they had already experienced positive resilience results. However, as the purpose of this study was
to analyze marriage immigrant women who experienced positive results of resilience, and to identify
resilience factors, processes, and its context, it is not necessary to consider the possibility of selective
bias against the study results. Further studies should address the resilience of the mental health of
marriage immigrant women who have few protective factors in the early stages of migration. Discussion As such, partner intervention regarding fostering a positive
marital relationship and its fees should be addressed at the system level. Moreover, family educational
programs should be provided to promote egalitarian spousal relationships and prevent domestic violence
[45]. Since 2006, over 200 multicultural centers have been established countrywide in Korea to provide
services to marriage immigrant women [47]. These centers have become significant places for immigrant
women to meet and make friends, access to services for integration, find a source of support for the
women and their families, start occupational training and language learning, and cross-cultural
communication [4]. A previous study addressed the importance of social health buffering marital distress
and acculturative stress of immigrants by enhancing cohesion and decreasing family conflict [48]. Hence
supporting the self-help groups of immigrant wives can have a significant role to break the isolation of
these women in the local communities by programs or services working to give women some support and
security [49-52]. In addition to obtaining social support, regular social engagement outside the family
may also prevent immigrant women from integration-related maltreatment from husbands or in-laws [19]. A recent survey presented that more than half of marriage immigrant women’s social participation
appeared only within co-ethnic contacts, with a weak connection with Koreans [53]. Given the decisive
role of cross-group relationships with majorities in minority’s well-being [54], community efforts to Page 14/24 Page 14/24 increase opportunities for marriage immigrant women to interact with Koreans will benefit their resilience. Government institutions can have a considerable effect on how vulnerable immigrant women are as
wives in a different country, and the long-term goal of agencies should be to change legislation to provide
women more secure status in a new country from the moment they become part of a permanent
partnership with a citizen [4]. This is the first study, to the author’s knowledge, that found that the children can be the driving force in
tackling the difficulties of marriage immigrant women. Psychological resources, such as child-care
responsibility and the tight bond with a child, play a role as catalysts for improvements to immigrants'
mental health and buffers to mediate stressors [55]. These results confirm that the needs for a
relationship plays a vital role in promoting intrinsic motivation [56]. Discussion Another
limitation of this research is that the fieldwork was conducted three to four years ago; there has now been
a policy change in South Korea that basic Korean proficiency is required for marriage immigration. Since Page 15/24 Page 15/24 Page 15/24 this policy change may affect immigrant women’s resilience process, further study should be addressed
to identify the effect of language proficiency in resilience. Further research should explore how gender,
women’s social position, power, cultural beliefs and values, social and institutional ideologies intersect to
influence marriage immigrant women’s resilience, mental health, and quality of life. The author from
South Korea having different cultural backgrounds to immigrant women and having the role of a
researcher may have been considered an outsider to the immigrant women. Nevertheless, with their trust
in program managers who introduced the author to them and their willingness to participate in delivering
their voice to change the society/policy, the informants may have been comfortable in discussing topics
related to their lived experience in South Korea. Findings are dependent on the subjective interpretations
of the researcher. Although the author had responsibility for data collection and analysis, the data was
discussed with the other qualitative research experts in migration and health study to enable to explore
different perspectives and contribute to the credibility of the findings [66]. Conclusions This study aimed to show how marriage immigrant women become resilient when facing a number of
difficulties and what the key influential factors to resilience are. The contextual factors that influence
immigrant women’s coping strategies for mental health problems were highlighted. Several key factors
that play positive and negative roles in resilience were identified at individual, social, cultural, and
structural levels. While these related factors are in line with previous research with other immigrant
women, this detailed analysis adds insights into how these factors influence its growth process. Before
stability collapses, it is important for marriage immigrant women to access professional services within
two years of migration. Building a supportive relationship with their Korean spouses and meeting their
needs are key strategies for intervention to these women, while information barriers should be addressed
at a structural level in order to improve the mental health of these women. Consent for publication Not applicable. Availability of data and material Ethics approval and consent to participate Ethical approval was obtained from the Institutional Review Board of Seoul National University (IRB No
1503 / 002-004). All informants gave written consent to participate. Declarations Ethics approval and consent to participate Acknowledgments The author would like to thank all the informants for their willingness and openness to share their time,
stories, and experience. PRO: Program manager SNS: Social Networking Service Authors’ contributions YJ designed the study, conducted the interviews, analyzed and interpreted the data, and drafted the
manuscript. Authors’ information (optional) The author, Yeonjae Jo, RN. MPH. Ph.D., is an assistant professor at the Dong-A University of Busan,
South Korea, faculty of Nursing. The author has a Ph.D. in public health and an interest in immigrant
mental health and use of health care services, and promotion of healthy lifestyle. She teaches a
qualitative research course and is an active researcher of qualitative study. Abbreviations MIG: Marriage immigrant woman Funding Not applicable. Authors’ contributions Authors’ contributions Availability of data and material The datasets generated during the current study are not publicly available due to the sensitive and
personal nature of the information contained in the data. Data may be available from the current authors,
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problems. BMC Womens Health. 2018;doi:10.1186/s12905-018-0561-9. 43. Page RL, Chilton J, Montalvo-Liendo N, Matthews D, Nava A. Empowerment in Latina immigrant
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39. 44. Serrata JV, Hernandez-Martinez M, Macias RL. Self-empowerment of immigrant Latina survivors of
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protective factors: A literature review. Int J Soc Psychiatry. 2018;64(1):80-91. 46. Paris R. “For the dream of being here, one sacrifices…”: Voices of immigrant mothers in a home
visiting program. Am J Orthopsychiatry. 2008;78(2):141-51. 46. Paris R. “For the dream of being here, one sacrifices…”: Voices of immigrant mothers in a home
visiting program. Am J Orthopsychiatry. 2008;78(2):141-51. 47. Choe SH. In changing South Korea, who counts as ‘Korean’?. 2012. https://www.nytimes.com/2012/11/30/world/asia/demographic-shifts-redefine-society-in-south-
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JS, editors. Handbook of adult resilience. New York: The Guilford; 2010. p. 309-30. 64. Stanton AL, Bower JE, Low CA. Posttraumatic growth after cancer. In: Calhoun LG, Tedeschi RG,
editors. Handbook of posttraumatic growth: research and practice. New York: Psychology; 2006. p. 138-75. 65. Jacobson NS, Martell CR, Dimidjian S. Behavioral activation treatment for depression: returning to
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contextual roots. Clin Psychol (New York). 2001;8(3):255-70. 66. Straiton ML, Ledesma HML, Donnelly TT. A qualitative study of Filipina immigrants’ stress, distress
and coping: the impact of their multiple, transnational roles as women. BMC Womens Health. 2017;17(1):72. Tables Table 1: The sociodemographic characteristics of participants (n = 23) Page 21/24 Page 21/24 Characteristics
Immigrant
woman
n=12
Program
manager
n=11
Female
Male
No. %
No. %
No. %
Age
20-29
2
16.7
-
-
-
-
30-39
8
66.6
6
54.5
1
9.1
40-49
2
16.7
2
18.2
-
-
50 and over
-
-
2
18.2
-
-
Marriage
Yes
12
100
8
72.7
0
-
Employment
Yes
5
41.7
10
90.9
1
9.1
Education
Under elementary
2
16.7
-
-
-
-
Middle
high
or
High
6
50.0
-
-
-
-
Over College
4
33.3
10
90.9
1
9.1
Origin Country
Vietnam
3
25.0
-
-
-
-
China
5
41.7
-
-
-
-
Mongolia
1
8.3
-
-
-
-
Japan
3
25.0
-
-
-
-
Korea
-
-
10
90.9
1
9.1
Years of living in the host
country
Less than 5 years
1
8.3
-
-
-
-
6-10 years
3
25.0
-
-
-
-
11-15 years
5
41.7
-
-
-
-
More
than
16
years
3
25.0
-
-
-
-
Years
of
working
with
migrants
Less than 5 years
-
-
3
27.3
1
9.1
6-10 years
-
-
3
27.3
-
-
11-15 years
-
-
2
18.2
-
-
More
than
16
years
-
-
2
18.2
-
-
Number of children
1
5
41.7
-
-
-
-
2
5
41.7
-
-
-
-
3
2
16.6
-
-
-
-
Type of institution
Public funded
12
100
10
90.9
1
9.1
Total
12
100
10
90.9
1
9.1 Characteristics Table 2: Themes and categories of marriage immigrant women’s resilience process Page 22/24 Page 22/24 Themes
Categories
Sub-categories
1.Staged process of
growth
Enduring difficulties
Difficulties due to cultural
differences
Communication difficulty
Conflicts due to family
relationships
Financial problems
Collapse of stability
Collapse of stability within 1
~ 2 years
Mental illness
Access to professional help
Informative support from
friends
Deciding whether to get help
Professional and social support
Meeting the needs of
recognition, respect, and
reward
Developing skills in
expression and
communication
Experience of growth
Experience of positive
emotion
Change of view
Efforts to strengthen growth
2.Absence of partner
support
Close yet far-away husbands
Support of a friend during collapse
3.Children as the
driving force for
change
Positive effects of children
Negative impacts of children
4.The need for
economic activity
Benefits from economic activity
Loss from economic activity
5.Factors affecting
difference in growth
Spousal support
Satisfaction of women’s needs for
recognition, respect, and reward Figure 1 The resilience model of marriage immigrant women in mental health promotion services Figures Page 23/24 Page 23/24 Page 23/24 190814FinaldraftCOREQ.docx Supplementary Files This is a list of supplementary files associated with this preprint. Click to download. 190814FinaldraftCOREQ.docx 190814FinaldraftCOREQ.docx Page 24/24
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Robotic simultaneous resection of rectal cancer and liver metastases
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Clinical case reports
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cc-by
| 3,897
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ª 2017 The Authors. Clinical Case Reports published by John Wiley & Sons Ltd.
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. Introduction Colorectal cancer (CRC) is the fourth leading cause of
cancer-related death in the world [1]. Up to 25% of
newly diagnosed patients with CRC and 50% of those
undergoing clinical management may present with syn-
chronous metastasis, with the liver being the most com-
mon site for metastatic lesions [2]. For patients with
colorectal liver metastasis (CRLM), the treatment strategy
should largely be directed toward resectability. Without
resection, median overall survival (OS) for patients with
CRLM ranges from 20 to 24 months with modern
chemotherapeutic regimens [3]. In those where an R0
resection of all metastatic disease is achieved, the 5-year
OS has been reported to be as high as 58% [2–4]. No sources of funding were declared for this
study. No sources of funding were declared for this
study. Colorectal cancer, liver metastases, malignancy, oncology, robotic surgery,
synchronous liver metastases. Received: 10 March 2017; Revised: 18 June
2017; Accepted: 24 July 2017 doi: 10.1002/ccr3.1138 minimally invasive surgery compared to open surgery,
there has been increased interest in feasibility of robotic-
assisted liver resection (RALR). Studies have demon-
strated that outcomes following RALR are comparable to
those of laparoscopic liver resections [11–14]. Although
simultaneous laparoscopic colorectal and liver resections
have been described, the literature is sparse with regard
to
simultaneous
robotic-assisted
liver
and
colorectal
resections. We report a case of a patient with colorectal
cancer and synchronous liver metastasis that underwent
successful simultaneous robotic-assisted resection of a
rectosigmoid cancer and colorectal liver metastasis. Robotic simultaneous resection of rectal cancer and liver
metastases Correspondence
Fayez A. Quereshy, Division of General
Surgery, Toronto Western Hospital, 399
Bathurst Street, Main Pavilion, Room 8-320,
Toronto, ON M5T 2S8, Canada. Tel: 416-603-5553; Fax: 416-603-5714;
E-mail: Fayez.Quereshy@uhn.ca Key Clinical Message Surgical resection is the only potential cure for colorectal cancer with syn-
chronous liver metastases (SLM). Simultaneous resection of colorectal cancer
and SLM using robotic-assistance has been rarely reported. We demonstrate
that robotic-assisted simultaneous resection of colorectal cancer and SLMs is
feasible, safe, and has potential to demonstrate good oncologic outcomes. Clinical Case Reports 2017; 5(12): 1913–1918 doi: 10.1002/ccr3.1138 Case History/Examination/
Investigations Patients with synchronous CRLM can be treated with
three different strategies; a liver first approach, a staged
approach, or a simultaneous resection. Several retrospec-
tive studies comparing these approaches have demon-
strated that simultaneous hepatic and colorectal resections
are safe in select patients [5–10]. Given the benefits of A 59-year-old man with a history of hypertension, dia-
betes, and dyslipidemia presented with occasional bright
red blood per rectum and anemia. The patient did not
endorse any personal or family history of malignancy,
and denied all constitutional or dysenteric symptoms. 1913 S. Sunil et al. S. Sunil et al. Combined robotic liver and CRC resection diaphragm in segment 4a/8 of the liver and three smaller
lesions that were likely hemangiomas and a cyst. This
patient was discussed at multidisciplinary tumor boards
where the consensus was that a simultaneous resection,
without neoadjuvant therapy, would be feasible. Given
the location of the metastatic liver deposit high over the
dome of the diaphragm, a robotic resection was proposed
as it allowed advantages over a laparoscopic approach in
ensuring
greater
access,
ergonomics,
and
dexterity. Informed consent was obtained, and the patient was
scheduled for a robotic low anterior resection (LAR) and
a nonanatomical robotic liver resection with diverting
ileostomy. Physical examination, including a digital rectal examina-
tion, was unremarkable. A subsequent diagnostic colono-
scopy revealed a mass 12 cm from the anal verge, which
was
tattooed
and
biopsied. Histological
examination
revealed
a
moderately
differentiated
adenocarcinoma. Staging MRI demonstrated a T2 or possibly early T3
lesion above the peritoneal reflection with one indetermi-
nate 5 mm lymph node within the sigmoid mesocolon
(Fig. 1). CT scans of the chest, abdomen, and pelvis
(Fig. 2) revealed a 5-cm mass at the rectal sigmoid transi-
tion and a 2.1 cm lesion in segments 4a/8 of the liver
concerning for metastases. A subsequent liver MRI, com-
pleted to fully work-up three other lesions, confirmed a
1.8 cm metastatic deposit high over the dome of the ª 2017 The Authors. Clinical Case Reports published by John Wiley & Sons Ltd. Treatment A proximal resection margin was
selected in the sigmoid colon 5 cm proximal to the
tumor, and the mesentery was divided at this level using
a 5-mm LigaSure device. This was then followed by a
total mesorectal excision (TME) to the level of the pelvic
floor. A flexible sigmoidoscopy was then conducted to
mark the location of our distal margin 5 cm from the
tumor. At the location of our distal margin, the mesorec-
tum was circumferentially divided to skeletonize the rec-
tum. The rectum was divided using a linear laparoscopic
GIA 60 purple tristapler to obtain a tumor-specific TME
(sTME). The da Vinci was undocked, with a total a total
rectal dissection duration, including docking, of approxi-
mately 190 min. The specimen was exteriorized using a
5-cm pfannenstiel incision and a wound protector device. The colon was divided approximately 5 cm proximal to
the tumor, and the remaining colon was reintroduced
into the abdomen after placement of a 28 EEA anvil in
the bowel. Pneumoperitoneum was re-established and a
primary tension-free laparoscopic colorectal anastomosis
was fashioned using a 28 mm EEA circular stapler. segment 4a/8 of the liver. An intraoperative liver ultra-
sound was conducted to rule out other liver lesions and to
determine the transection line and resection margins of the
aforementioned lesion. No additional malignant lesions
were identified by an appropriately trained radiologist. A
wedge resection was performed with 1 cm parenchymal
margins using combination of monopolar scissors, bipolar
maryland, and LigaSure device. The specimen was removed
in a specimen pouch through the pfannenstiel incision. After ensuring hemostasis the robot was undocked, with a
total liver resection time, including docking, of approxi-
mately 180 min. Given the proximity of our distal margin to the anal
verge (approximately 5 cm), our tumor-specific TME,
and the potential morbidity with an anastomotic leak, it
was decided to undergo proximal diversion. A loop ileost-
omy was fashioned in the usual manner using laparo-
scopic assistance. The patient was subsequently awoken
from anesthesia and extubated. Blood loss was estimated
to be approximately 300 cc. Total operative time was
approximately 390 min. The patient was discharged on
postoperative day six, tolerating a full diet. The final
pathology showed a moderately differentiated adenocarci-
noma with 2/36 positive nodes and clear microscopic
margins at both the LAR and liver specimens. No lymph-
vascular or perineural invasion was reported. Final staging
was determined to be pT3N1bM1a. Treatment The epigastric and right mid abdomen 5-mm ports were
upsized to 8-mm robotic ports. An additional 8-mm
robotic port was placed two fingerbreadths below the costal
margin at the midclavicular line (Fig. 3). The robot was
redocked over the patient’s right shoulder, with an approx-
imate docking time of 15 min. The metastatic liver lesion
was identified high over the dome of the diaphragm at Treatment The patient was appropriately positioned and the abdo-
men was entered using an open approach with placement
of a 12-mm supraumbilical camera port. A 15-mm robotic
trocar was placed in the right lower-quadrant (RLQ) at
the half-way point between a line from the umbilical port
to the anterior superior iliac spine (ASIS). Similarly, an 8-
mm robotic port was placed in the left lower-quadrant
(LLQ). A third 8-mm robotic port was placed in the LLQ
lateral and superior to the previous port. Two 5-mm
laparoscopic ports were subsequently inserted, one in the
right midabdomen and one in the epigastric area (Fig. 3). The da Vinci (Sunnyvale, CA, USA) surgical system
model S (Intuitive Surgical, Sunnyvale, CA, USA) was
docked on the inferior left side of the patient, with an
approximate docking time of 15 min (Fig. 3). Mobiliza-
tion of the left colon was conducted using a lateral to
medial approach. Subsequently, the medial aspect of sig-
moid colon was dissected, identifying the superior hemor-
rhoidal arch and superior mesenteric artery and vein
(SMA/SMV). The IMA and IMV were skeletonized, and a Figure 1. Sagittal MRI pelvis demonstrating T2/T3 rectosigmoid mass. Figure 1. Sagittal MRI pelvis demonstrating T2/T3 rectosigmoid mass. (B) (A) (A)
(B)
Figure 2. (A) Computerized axial tomography of pelvis demonstrating a 5-cm mass at the rectosigmoid junction. (B) Computerized axial
tomography of liver demonstrating a 2.1 cm suspicious lesion in segments 4a/8. (B) (A) Figure 2. (A) Computerized axial tomography of pelvis demonstrating a 5-cm mass at the rectosigmoid junction. (B) Computerized axial
tomography of liver demonstrating a 2.1 cm suspicious lesion in segments 4a/8. 1914 ª 2017 The Authors. Clinical Case Reports published by John Wiley & Sons Ltd. S. Sunil et al. Combined robotic liver and CRC resection Figure 3. Schematic diagram of port placement for robotic rectal and liver resection. C – 12-mm camera port, R – 8-mm robotic port, R* - 15-
mm robotic port, L- 5-mm laparoscopic port. Figure 3. Schematic diagram of port placement for robotic rectal and liver resection. C – 12-mm camera port, R – 8-mm robotic port, R* - 15-
mm robotic port, L- 5-mm laparoscopic port. regional lymphadenopathy was conducted. The superior
hemorrhoidal branch was identified, cleared, and divided
with surgical clips. A previously placed tattoo identifying
the location of the tumor was identified at the level of
the peritoneal reflection. ª 2017 The Authors. Clinical Case Reports published by John Wiley & Sons Ltd. Discussion Interest in expanding the da Vinci’s application to col-
orectal and liver procedures has been driven in part by
the advantages it has over conventional laparoscopy,
including greater range of articulation, tremor reduction,
as well as improved depth perception and ergonomics. As
demonstrated in this case, robot-assisted simultaneous
resection of both CRC and CRLM is feasible and safe. A minimally invasive approach for primary CRC and
liver metastasis allows for a complex operation with faster
recovery and better outcomes compared to a conventional
open approach. A recent systematic review by Lupinacchi
et al. identified 14 studies involving laparoscopic simulta-
neous resections of both the primary colorectal lesion and
the CLRM. There was no conversion to open resection,
and mortality was null. Estimated blood loss varied
between 10 and 650 mL and was not related to the type
of liver or colorectal resection preformed. Length of hos-
pital stay ranged from 4 to 54 days with an average of
9 days [22]. However, utility and feasibility of robotic-
assisted simultaneous resection for CRC and CRLM have
not been clearly demonstrated in the past. Interest in
expanding the da Vinci’s application to colorectal and
procedures has been driven in part by the advantages it
has
over
conventional
laparoscopy,
including
greater
range
of
articulation,
tremor
reduction,
as
well
as
improved depth perception and ergonomics. Total mesorectal excision, the gold standard procedure
for rectal cancer, requires meticulous and precise dissec-
tion under direct vision. The complex anatomy of the
pelvis, restricted space and visibility, together with dimin-
ished
dexterity
with
laparoscopic
instruments
makes
laparoscopic TME one of the most challenging of mini-
mal access procedures. A robotic approach may offer a
solution to some of these challenges [15, 16]. Systematic
reviews
and
meta-analyses
comparing
robotic-assisted
laparoscopic surgery (RALS) in colorectal cancer with
conventional
laparoscopic
surgery
(CLS)
generally
demonstrate a longer operative time when using robotic
assistance [15–17]. Examining randomized controlled tri-
als (RCT) comparing the two approaches reveals that the
difference in operative time is not significant [18]. Studies
have also shown that colorectal RALS has less estimated
blood loss (EBL) compared to colorectal CLS [15–18]. Comparing
other
markers,
there
are
no
differences
between either approach with respect to either days to
soft diet or return of bowel function [15–18]. Analyzing
only RCTs, however, suggests that patients return to
bowel function sooner with RALS than with CLS [18]. Outcome and Follow-up Upon completion of pseudo-adjuvant systemic therapy,
the patient underwent a hypaque enema prior to reversal ª 2017 The Authors. Clinical Case Reports published by John Wiley & Sons Ltd. 1915 1915 Combined robotic liver and CRC resection S. Sunil et al. Minimally invasive approaches in liver surgery have the
potential to offer many of the same benefits as in colorec-
tal surgery. There have been two published systematic
reviews examining RALS for liver resections. Mean opera-
tive times ranged from 200 to 507 min between both
reviews. The mean LOS ranged from 5.5 to 11.7 days and
the conversion rates were between 4.6% and 6.6%. No
perioperative mortalities were reported in any of the stud-
ies in either review [20, 21]. Of the studies comparing
RALR
with
conventional
laparoscopic
liver
resection
(CLLR), blood loss, resection margins, LOS, and morbid-
ity were similar with the two approaches [11–14]. Con-
version rate was reported in one study and was found to
not be different between CLLR and RALR [14]. of his ileostomy. This revealed no evidence of an anasto-
motic leak; a subsequent flexible sigmoidoscopy, however,
revealed a low-grade stricture at the colorectal anastomo-
sis requiring balloon dilatation. The patient went on to
receive an uncomplicated reversal of his ileostomy fol-
lowed by scheduled outpatient surveillance. At the 20-
month mark, the patient demonstrated no clinical or
radiographic signs of recurrence. They were tolerating a
normal diet and slowly regaining regularity in bowel
movements, without any evidence of LAR syndrome on
clinical assessment. ª 2017 The Authors. Clinical Case Reports published by John Wiley & Sons Ltd. Conflict of Interest None declared. Authorship SS, JR, AA, and DH: participated in the acquisition and
analysis of data, literature review, and writing of the
manuscript. SC and FAQ: were involved in the medical
care of the patient, drafting of the manuscript, and acqui-
sition and analysis of data. All authors approved the final
version of the manuscript. Discussion CRC, Colorectal cancer; CRLM, colorectal liver metastasis; EBL, estimated blood loss; LOS, length of stay; RALS, robotic-assisted laparoscopic
surgery. 9 days demonstrated by Lupinacchi et al., in a systemic
review of combined laparoscopic liver and rectal resection
[22]. Our total operative time of 390 min is in keeping
with the two prior reports of combined robotic resection
(360–480 min) [25, 26]. Furthermore our operative dura-
tion is also concordant with a recent study of 142 cases
of combined laparoscopic combined colorectal and liver
resections demonstrating a median operative time of
360 min [27]. This case demonstrates that using the
DaVinci-S model, simultaneous resection can be con-
ducted in a time conscious manner while also providing
the additional benefits of the robotic platform for difficult
to reach laparoscopic lesions of the liver, including those
high over the dome of the diaphragm. Newer robotic
platforms such as the DaVinci Xi have the potential to
further reduce operative times by reducing docking times
secondary to their boom mounted arms. References 1. Brenner, H., M. Kloor, and C. Pox. 2014. Colorectal
cancer. Lancet 383:1490–1502. 2. Smith, J., and M. D’Angelica. 2015. Surgical management
of hepatic metastases of colorectal cancer. Hematol. Oncol. Clin. North Am. 29:69–84. 2. Smith, J., and M. D’Angelica. 2015. Surgical management
of hepatic metastases of colorectal cancer. Hematol. Oncol. Clin. North Am. 29:69–84. We
believe
this
case
highlights
several
important
points. Firstly, application of the robot-assisted daVinci
system is feasible in the hands of well-trained surgeons. Secondly, this report demonstrates that highly complex
robotic-assisted surgery can be conducted safely with
regard to the intraoperative and postoperative manage-
ment of patients with CRC and CRLM. Finally, this
case also demonstrates that a robotic-assisted simultane-
ous resection for CRC and CRLM has the potential for
demonstrating
good
short-
and
long-term
oncologic
outcomes with the potential for shorter length of stay. Further research involving larger cohort of patients is
needed to confirm the efficacy of simultaneous robot-
assisted surgery with regard to both short and long-
term metrics. 3. Castellanos, J., and N. Merchant. 2014. Strategies for
management of synchronous colorectal metastases. Curr. Surg. Rep. 2:62–74. 4. Macedo, F., and T. Makarawo. 2014. Colorectal hepatic
metastasis: evolving therapies. World J. Hepatol. 6:453–
463. 4. Macedo, F., and T. Makarawo. 2014. Colorectal hepatic
metastasis: evolving therapies. World J. Hepatol. 6:453–
463. 5. Lykoudis, P. M., D. O’Reilly, K. Nastos, and G. Fusai. 2014. Systematic review of surgical management of
synchronous colorectal liver metastases. Br. J. Surg. 101:605–612. 6. Reddy, S. K., T. M. Pawlik, D. Zorzi, A. L. Gleisner, D. Ribero, L. Assumpcao, et al. 2007. Simultaneous Resections
of Colorectal cancer and synchronous liver Metastases: a
multi-institutional analysis. Ann. Surg. Oncol. 14:3481–
3491. 7. Hillingsø, J. G., and P. Wille-Jørgensen. 2009. Staged or
simultaneous resection of synchronous liver metastases
from colorectal cancer - a systematic review. Colorectal
Dis. 11:3–10. Discussion Comparing length of stay (LOS) with respect to both
approaches yields contentious results. Some meta-analyses
report no difference in LOS [17], while others favor RALS
as having a slightly shorter LOS [16]. Rates of conversion
to open surgery have been reported to be between 2%
and 9.5% with RALS [15–19]. One pooled analysis
reported conversion rates twice as high with RALS [17]
while another reported greater rate of conversion with
CLS, with magnified differences in the rectal cancer
population [16]. p
p
p
p
g
Given the potential benefits of the da Vinci system over
laparoscopic surgery at the operator level, its application
to complex simultaneous resections could potentially be
advantageous. There are case reports of combined col-
orectal and prostate or uterine procedures 23, 24]. How-
ever, there are far fewer reported cases of full robot-
assistance in resection of both CRC and CRLM. Our liter-
ature search revealed only two other studies that reported
such procedures (Table 1). The first involved a simultane-
ous da Vinci-assisted left lateral sectionectomy and low
anterior resection for a rectosigmoid primary with an
associated 1.5 cm mass on segment 3 of the liver [25]. The second involved a one-stage da Vinci-assisted resec-
tion of a primary rectal cancer 13 cm from the anal verge
with liver and lung metastases [26]. Our present case,
demonstrates blood loss and operative times comparable
to these aforementioned studies. Similarly, we demon-
strated equivalent oncologic and 30-day outcomes with a
shorter length of stay. Our length of stay of 6 days using
the robotic approach was lower than the average of 1916 ª 2017 The Authors. Clinical Case Reports published by John Wiley & Sons Ltd. Combined robotic liver and CRC resection S. Sunil et al. Table 1. Literature review summary of fully robot-assisted resection of CRC and CRLM. Table 1. Literature review summary of fully robot-assisted resection of CRC and CRLM. Study
No. of
Patients
No. of
Patients
Liver RALS
No. of
Patients
Colorectal
RALS
EBL
Operative
Time
LOS
30-day
Morbidity
Oncologic
Margins
Choi 2008
1
1
1
700
360
13
None
Free
Xu 2015
1
1
1
600
480
7
None
Free
Current case
1
1
1
300
390
6
None
Free
CRC, Colorectal cancer; CRLM, colorectal liver metastasis; EBL, estimated blood loss; LOS, length of stay; RALS, robotic-assisted laparoscopic
surgery. Consent Written
informed
consent
was
obtained
from
the
patient for publication of this Case report and any
accompanying images. A copy of the written consent
is available for review by the Editor-in-Chief of this
journal. 8. Mayo, S. C., C. Pulitano, H. Marques, J. Lamelas, C. L. Wolfgang, W. de Saussure, et al. 2013. Surgical
management of patients with synchronous Colorectal liver 1917 ª 2017 The Authors. Clinical Case Reports published by John Wiley & Sons Ltd. S. Sunil et al. Combined robotic liver and CRC resection Metastasis: a Multicenter international analysis. J. Am. Coll. Surg. 216:707–716. surgery: a meta-analysis of four randomized controlled
trials. World J. Surg. Oncol. 12:122. 19. Kim, C. W., and S. H. Baik. 2014. Outcomes of robotic-
assisted Colorectal surgery compared with Laparoscopic
and open surgery: a systematic review. J. Gastrointest. Surg. 18:816–830. 9. Slesser, A., C. Simillis, R. Goldin, G. Brown, S. Mudan,
and P. Tekkis. 2013. A meta-analysis comparing
simultaneous versus delayed resections in patients with
synchronous colorectal liver metastases. Surg. Oncol. 22:36–47. 20. Pelletier, J.-S., R. S. Gill, X. Shi, D. W. Birch, and S. Karmali. 2013. Robotic-assisted hepatic resection: a
systematic review. Int. J. Med. Robot. Comp. Assis. Surg. 9:262–267. 10. Yin, Z., C. Liu, Y. Chen, Y. Bai, C. Shang, R. Yin, et al. 2013. Timing of hepatectomy in resectable synchronous
colorectal liver metastases (SCRLM): simultaneous or
delayed? Hepatology 57:2346–2357. 21. Ho, C.-M., G. Wakabayashi, H. Nitta, N. Ito, Y. Hasegawa, and T. Takahara. 2012. Systematic review of
robotic liver resection. Surg. Endosc. 27:732–739. 11. Yu, Y. D., K. H. Kim, D. H. Jung, J. M. Namkoong, S. Y. Yoon, S.-W. Jung, et al. 2014. Robotic versus laparoscopic
liver resection: a comparative study from a single center. Langenbecks Arch. Surg. 399:1039–1045. 22. Lupinacci, R. M., W. Andraus, L. B. De Paiva Haddad, A. Carneiro D0AlbuquerqueL, and P. Herman. 2013. Simultaneous laparoscopic resection of primary colorectal
cancer and associated liver metastases: a systematic review. Tech. Coloproctol. 18:129–135. 12. Tranchart, H., C. Ceribelli, S. Ferretti, I. Dagher, and A. Patriti. 2014. Traditional versus robot-assisted full
Laparoscopic liver Resection: a matched-pair comparative
study. World J. Surg. 38:2904–2909. 23. Lavery, H. J., S. A. Patel, E. Chin, and D. B. Samadi. 2011. Combined robotic-assisted Laparoscopic Prostatectomy
and Laparoscopic Hemicolectomy. JSLS 15:550–554. 13. Berber, E., H. Y. Akyildiz, F. Aucejo, G. Gunasekaran, S. Chalikonda, and J. Fung. 2010. Robotic versus
laparoscopic resection of liver tumours. ª 2017 The Authors. Clinical Case Reports published by John Wiley & Sons Ltd. Consent HPB 12:583–586. 24. Baik, S. H., Y. T. Kim, Y. T. Ko, C. M. Kang, W. J. Lee,
N. K. Kim, et al. 2007. Simultaneous robotic total
mesorectal excision and total abdominal hysterectomy for
rectal cancer and uterine myoma. Int. J. Colorectal Dis. 23:207–208. 14. Tsung, A., D. A. Geller, D. C. Sukato, S. Sabbaghian, S. Tohme,
J. Steel, et al. 2014. Robotic versus laparoscopic hepatectomy: a
matched comparison. Ann. Surg. 259:549–555. 15. Mirnezami, A. H., R. Mirnezami, A. K. Venkatasubramaniam, K. Chandrakumaran, T. D. Cecil,
and B. J. Moran. 2010. Robotic colorectal surgery: hype or
new hope? A systematic review of robotics in colorectal
surgery. Colorectal Dis. 12:1084–1093. 25. Choi, S. B., J. S. Park, J. K. Kim, W. J. Hyung, K. S. Kim,
D. S. Yoon, et al. 2008. Early experiences of robotic-
assisted Laparoscopic liver Resection. Yonsei Med. J. 49:632. 26. Xu, J.-M. 2015. Robot-assisted one-stage resection of rectal
cancer with liver and lung metastases. World J. Gastroenterol. 21:2848. 16. Yang, Y., F. Wang, P. Zhang, C. Shi, Y. Zou, H. Qin, et al. 2012. Robot-assisted versus conventional Laparoscopic
surgery for Colorectal disease, focusing on Rectal cancer: a
Meta-analysis. Ann. Surg. Oncol. 19:3727–3736. 27. Feretti, S., H. Tranchart, J. F. Buell, C. Eretta, A. Patriti,
M. G. Spampinato, et al. 2015. Laparoscopic simultaneous
resection of colorectal primary tumor and liver metastases:
results of a multicenter international study. World J. Surg. 39:2052. 17. Trinh, B. B., A. T. Hauch, J. F. Buell, and E. Kandil. 2014. Robot-assisted versus standard Laparoscopic Colorectal
surgery. JSLS 18:e2014.00154. 18. Liao, G., Z. Zhao, S. Lin, R. Li, Y. Yuan, S. Du, et al. 2014. Robotic-assisted versus laparoscopic colorectal 1918 ª 2017 The Authors. Clinical Case Reports published by John Wiley & Sons Ltd.
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An Effective Implementation of Autonomous Attendance System using Convolution Neural Networks
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International journal of innovative technology and exploring engineering
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cc-by
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Purushothaman S, Hariharasudhan M, Dinakaran V, Gogulselvam R, Akilan R procedures, so that these details may later be utilized to
monitor every single activity in the space for security
purposes. The authentication mechanism for identifying a
person's presence in a room or facility is still evolving. Depending on whether a name and signature are recorded in
the attendance list, an identification card is utilised or
biometric verification technologies such as a fingerprint or
face scanner are employed, the procedure varies. One of the
most promising approaches has emerged: biometric
authentication. The biometric authentication approach used,
however, is still ineffective and takes a long time to complete. The fingerprint scanner requires the user to insert their finger
into the scanner, whereas the face scanner requires the user to
change their face position to match the location of the
scanner. This project will offer a facial recognition
authentication mechanism using a web camera. Abstract Attendance marking is a common method used by all
educational institutions at all levels to keep track of students' daily
presence. Previously, attendance was recorded manually. These
procedures are precise and remove the possibility of enrolling
false attendance, but they are time-consuming and labor-intensive
for a big number of pupils. Autonomous systems based on radio
frequency recognition scanning, fingerprint scanning, face
recognition, and iris scanning are being developed to address the
drawbacks of manual systems. Each strategy has pros and cons. Furthermore, most of these systems are limited by the requirement
for one-on-one human interaction to record attendance. In this
work, we developed a durable and effective attendance recording
system based on a single group photograph that detects face
identification and recognition algorithms to solve the limitations
of existing human and autonomous attendance management
systems. Using a high-definition camera mounted in a fixed
position, a group of photos is collected for all of the students
sitting in a classroom. Following that, using a typical approach,
photos of the faces are extracted from the group photo, followed
by identification using a convolution neural network acquainted
in a student face database. We tested our approach using a range
of group pictures and datasets. In terms of efficiency, convenience
of use, and implementation, the suggested framework beats
existing attendance tracking systems, according to our findings. The suggested system is a self-contained attendance system with
minimal human-machine interaction, making it simple to
integrate into a smart classroom. Marking attendance would be a regular practise in both
schools and workplaces. International Journal of Innovative Technology and Exploring Engineering (IJITEE)
ISSN: 2278-3075 (Online), Volume-11 Issue-7, June 2022 Purushothaman S, Hariharasudhan M, Dinakaran V, Gogulselvam R, Akilan R Attendance is regarded as crucial in
educational institutions, both for students and instructors. Keeping track of student attendance in a classroom can be
challenging. There are two types of attendance systems
available: manual and automatic. The most common manual
attendance method is the roll call technique, in which a
teacher records presence by calling out the students' names
one by one. The approach is antiquated, and in the case of a
large class, it may take more than 10 minutes per day and has
the
greatest
number
of
proxy
attendance
marking
opportunities. The second method is to sign an attendance
record or sheet. Because it is easily manipulated and faked if
left unmanaged, this is the most time-consuming stage. Modern biometric approaches are emerging as one of the
most promising authentication methods when compared to
traditional authentication techniques. Putting a person's name,
address, and signature on a piece of paper is the standard
authentication technique, as is giving someone access to a
physical or virtual environment via a password, PIN (Personal
identifying number), smart card, plastic card, token, key, or
other means. Passwords and PINs are difficult to remember
and, in many cases, easy to steal or suspect. One of them is the
use of facial recognition as a biometric authentication
mechanism. As technology progresses, automatic attendance
systems based on RFID tag scanning are also being deployed
[1]. Each student has a unique tag that is scanned in these
systems to determine attendance. The system's flaws include
extensive hardware requirements, a tag for each student,
proxy attendance via tag exchange among peers, and just one
human-system interaction for marking attendance. Keywords:
Attendance
Recording,
Autonomous
system,
Convolution Neural Network, Face Recognition, Iris Scanning,
Smart Class room. * Correspondence Author Purushothaman S*, Department of Electronics and Communication
Engineering, V.S.B Engineering College, Karur (Tamil Nadu) India. Email:
purushoth.satha@gmail.com. Hariharasudhan M, Department of Electronics and Communication
Engineering, V.S.B Engineering College, Karur (Tamil Nadu) India. Dinakaran V, Department of Electronics and Communication
Engineering, V.S.B Engineering College, Karur (Tamil Nadu) India. Gogulselvam R, Department of Electronics and Communication
Engineering, V.S.B Engineering College, Karur (Tamil Nadu) India. Gogulselvam R, Department of Electronics and Communication
Engineering, V.S.B Engineering College, Karur (Tamil Nadu) India. Akilan R, Department of Electronics and Communication Engineering,
V.S.B Engineering College, Karur (Tamil Nadu) India. Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. © The Authors. Published by Blue Eyes Intelligence Engineering and
Sciences Publication (BEIESP). This is an open access article under the
CC BY NC ND license http://creativecommons org/licenses/by nc nd/4 0/ CC-BY-NC-ND license http://creativecommons.org/licenses/by-nc-nd/4.0/ Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org I. INTRODUCTION On One of the usual security procedures seems to be the
evaluation criteria that determine the presence of a person in a
room or place. Every individual who enters a room or
building must first go through a series of authentication Manuscript received on 10 May 2022. Revised Manuscript received on 16 May 2022. Manuscript published on 30 June 2022. * Correspondence Author Manuscript received on 10 May 2022. p
y
Revised Manuscript received on 16 May 2022. Manuscript published on 30 June 2022. B. Algorithm for recognition It is necessary to build a database for training the
recognition algorithm before the system may begin tracking
attendance. To do so, we must first create a database
containing student face pictures and other information. Individual or group video is used to capture the facial images. Individual student face shots are automatically chopped and
placed in the appropriate files based on their different
identities in the group film. Trimming each image from the
group input individually, on the other hand, could be time
consuming. As a result, another path has been added. The first biometric attendance system used fingerprint
scans as its biometric input [2]. Every student has a unique
fingerprint that is scanned to keep track of their attendance. One of the system's flaws is that it can only record one
attendance at a time and that it requires a lot of
human-machine interaction during the process. Fingerprint
cards were no longer required as a proxy with the iris
scan-based attendance system. This system examines a pupil's
iris pattern to track attendance [3]. Face recognition is also
often used to identify people in a large crowd or location. Facial recognition is also being used by institutions to track
attendance. Face
recognition,
fingerprint,
and
iris
scanning-based attendance systems have the disadvantages of
being time consuming, needing more human-machine
interaction because only one student can register attendance at
a time, and being impracticable to utilize in big courses. The second method is importing a film with only one pupil
and editing and saving the required number of face shots in
various poses in a designated folder. This technique is easy
and quick. In the next phase, the basic information about
students is saved in a file for attendance tracking. This
information can be used to notify students at any time in order
to keep track of their attendance. The significant computation required during classifier
training is one of the remaining flaws in the face detection
approach. This difficulty was solved by Minh-Tri Pham and
Tat-Jen Cham [7], who used statistical techniques to minimize
the time necessary for training. The findings were fairly
impressive in terms of decreasing the necessary processing
time. Several of the most widely used face recognition-based
attendance systems have already been examined. Jayant et al. used hybrid face recognition algorithms to track attendance
[4]. Ofualagha et al. employed FACECUBE to track
attendance [5]. D'Souza et al. C. Attendance Verification From the user's standpoint, the attendance marking
technique is straightforward and completely automated. When the start button is pressed, the operation begins and
lasts approximately 15 minutes until the results are displayed
and saved. The first frame is collected after loading a live
video into the software. The detection method is used to
detect the children's faces, which are subsequently cropped
and saved in a distinct folder. The clipped faces are then
recognized using a recognition strategy that employs a trained
deep learning convolution neural network model. Finally, the
number of people who have been acknowledged is recorded. When the recognition phase is finished, the remaining and
unrecognized faces in the class are marked absent. To save
memory, the chopped faces from the intermediate phases are
removed. The method is repeated for the next 15 frames,
ensuring that all present pupils are identified, even if they
were not captured in one of the frames. Finally, average
attendance is determined, and pupils with attendance above a
certain percentage threshold are classified present, while
those with lower attendance are labeled absent. The report is
retained for future use for each topic and lecture, and the total
number of students present is displayed on the App interface. From the user's standpoint, the attendance marking
technique is straightforward and completely automated. When the start button is pressed, the operation begins and
lasts approximately 15 minutes until the results are displayed
and saved. The first frame is collected after loading a live
video into the software. The detection method is used to
detect the children's faces, which are subsequently cropped
and saved in a distinct folder. The clipped faces are then
recognized using a recognition strategy that employs a trained
deep learning convolution neural network model. Finally, the
number of people who have been acknowledged is recorded. Because it is a nonintrusive methodology, pictures can be
acquired from a distance, it is a cost-effective option, there is
no danger of proxy attendance being recorded, and it is a
user-friendly yet dependable way, the biometric system is the
most practical solution in building attendance systems. We
used video from a camera and facial recognition and
recognition to construct an automatic attendance system in
this investigation. recorded videos saved in the camera memory are used in
offline mode. recorded videos saved in the camera memory are used in
offline mode. recorded videos saved in the camera memory are used in
offline mode. III. PROPOSED METHODOLOGY Biometrics such as fingerprint and iris scans are used in the
attendance system. Face recognition is accomplished using
the Viola Jones algorithm. The model's accuracy is good
when compared to existing systems. The bulk of existing
systems employ finger print and manual process attendance
methods. Employees or students may easily cheat businesses
in a manual procedure. During pandemics, the finger
print-based technique may result in an excess of covid-19. One of the usual security procedures seems to be the
evaluation criteria that determine the presence of a person in a
room or place. Every individual who enters a room or
building must first go through a series of authentication
procedures, so that these details may later be utilized to
monitor every single activity in the space for security
purposes. The authentication method for detecting the
presence of a person in a room or building is still in flux. B. Algorithm for recognition used a histogram-based facial
recognition algorithm to construct an attendance marking
system [6]. As a result, developing an intelligent attendance
system that can reliably record attendance without requiring
human contact is crucial. An Effective Implementation of Autonomous Attendance System using Convolution Neural Networks Implementation of Autonomous Attendance System using Convolution Neural Networks Numerous automatic attendance systems based on
fingerprint scanning, iris scanning, and face identification
have evolved as a result of image processing in attendance
systems. Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org 1 Gray scale conversion, resizing, normalization, and
augmenting are four critical phases in the preprocessing of the
obtained data. On the processed data, the CNN architecture
was installed and trained. The automatic facial detection
block stores and deploys the learned model. The proposed
model aids in the precise identification of trained
faces. Attendance is recorded if the face is recognized. The procedure differs depending on whether a name and
signature are written in the attendance list, an identification
card is used or biometric verification technologies such as a
fingerprint or face scanner are used. For face identification
from a group picture, the suggested system employs the
DCNN Algorithm. Face data is obtained from the user in the
first stage using OpenCV tools. From the user, over 1000
photos have been collected. Fig 1. Block diagram of proposed model Fig 1. Block diagram of proposed model provide the better accuracy. In this proposed face recognition group face picture
attendance system using YOLO Algorithm. This work is a
live attendance system based on facial recognition algorithms. It is a smart, one input, and many outputs attendance system. This solution solves the issues that arise with standard
systems. 3) SVM classifier reduced the complexity of work and
improved the robustness of system. 3) SVM classifier reduced the complexity of work and
improved the robustness of system. A. Image Gathering The suggested system accepts data from both online and
offline sources, including live and recorded video. In online
mode, live video is taken from the camera linked through IP
address; however, in the event of internet connectivity issues, Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org 2 International Journal of Innovative Technology and Exploring Engineering (IJITEE)
ISSN: 2278-3075 (Online), Volume-11 Issue-7, June 2022 International Journal of Innovative Technology and Exploring Engineering (IJITEE)
ISSN: 2278-3075 (Online), Volume-11 Issue-7, June 2022 IV. CNN ARCHITECTURE Image input layer: The Image input Layer learn the
feature from the input image. The first step define pixel
of input image, the image size define (50:50). Convolution layer: The convolution layer extract the
features of image from the image input layer.CNN layer
consists of one or more kernel with different weight that
are used for extract the features of input image. Depending
on weights associated with each Filter we can extract the
feature of image. Pooling layer: Down sampling of image convolved
features is applied by the pooling layer. When the input
picture is found to be nonlinear the dimension of the
image's features map is provided by the pooling layer. Fig 2. Image classification in CNN Architecture Fully connected layer: The layer that is completely
interconnected the 26 classes of image data, the above
layer of five blocks interconnected which is classified by
the fully connected layer of system, based on the class
score we can classify the predicted score. This research work describes the image classification using
deep neural network combined with HOG feature extraction
with K-means segmentation algorithm and classifies through
SVM classifier for more accuracy. The following advantage
of proposed system Published By:
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and Sciences Publication (BEIESP)
© Copyright: All rights reserved. p
p
y
1) The proposed CNN method reduces the number of
preprocessing steps. 2) Extra shape feature extracted from HOG algorithm for Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org A. Deep neural network A Complete 2D dimensional neural network consist of
number of image input layer, convolution layer ,Re Lu layer,
Max pooling 2D layer ,Fully connected layer ,Soft max Layer
and classification layer ,the detail description of each layer of
classifiers compete . IV. CNN ARCHITECTURE
Fig 2. Image classification in CNN Architecture 2. Video capture Fig 3. Creating Students data set The OpenCV library in Python has been used to capture
video from a camera. In this work, dataset of 1000 images separated into three
processes: training, validation and testing. Pre-processing the
data such as resizing and grey scale is the first step. So it is
resized the image to standard format. V. YOLO ARCHITECTURE retrieving data from them. OpenCV may be used to analyse
images and movies in order to recognise objects, people, and
even human handwriting. Face identification, object
recognition, and medical image analysis are some of the
applications of OpenCV. (You Only Look Once) are a Deep Learning (DL) network
that detects objects. YOLO recognizes objects in photos by
categorizing them and determining their location with respect
to one another. For example if you give a YOLO network an
image of a herd of sheep, it will generate a vector of bounding
boxes for each individual animal and classify it accordingly. There are three main components to a YOLO network. The
predictions vector, often known as the algorithm, comes first. The network, on the other hand, is a separate entity. The loss
functions are the final step. (You Only Look Once) are a Deep Learning (DL) network
that detects objects. YOLO recognizes objects in photos by
categorizing them and determining their location with respect
to one another. For example if you give a YOLO network an
image of a herd of sheep, it will generate a vector of bounding
boxes for each individual animal and classify it accordingly. B. Data Collection 4
Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. B. Data Collection
Fig 4. Sample data collection 4. Image Processing Fig 4. Sample data collection The collected images will be resized and converted into
gray scale images. VI. EXPERIMENTAL RESULTS The suggested system's expected outcome is to
automatically mark attendance for students in the class
utilizing single group video. The attendance is eventually
recorded in an excel sheet depending on the presence or
absence of the student, which is recognized using facial
recognition in the aforementioned model. 1. The YOLO Algorithm When you feed an image into a YOLO algorithm, it splits it
into a SxS grid that it uses to forecast if a given bounding box
contains the item (or portions of it) and then predicts a class
for the object. We must first understand how the algorithm
constructs and specifies each bounding box before we can go
into depth and describe how it works. To forecast an output,
the YOLO algorithm employs four components and an extra
value. A. Data set Creation A bounding box's centre (bx by) Dimensions (bw) Dimensions (bh) The object's classification (c) Confidence is the final anticipated number (pc). It denotes
the likelihood of an object existing within the bounding box. The centre of the enclosing box is represented by the (x,y)
coordinates. We must utilize the pc prediction since majority
of the bounding boxes will not contain an item. We may delete
unneeded boxes with a low chance of containing objects and
those that share large regions with other boxes using a
technique called non-max suppression. 6. Attendance system The camera will be turned on during this operation, and all
of the faces with in frame will be captured. The attendance
entries are made if the trained face is identified in the frame. 5. Model training The CNN model is trained on the preprocessed picture. The
model was put upon this attendance system after the training
procedure was finished. 7. Dataset creation Dataset to student is built in this module using
OpenCV-python. A dataset was created by collecting 1,000
images in each and every student. Fig 4. Sample data collection Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. 9. Model development The developed model is used to track student attendance
using a facial detection code. There are three main components to a YOLO network. The
predictions vector, often known as the algorithm, comes first. The network, on the other hand, is a separate entity. The loss
functions are the final step. 3. Frame conversion The video was captured and translated into picture frames. 30 frames have been extracted each second. Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org 3 Fig 6. Automatic Attendance Marking System 10. A. Krizhevsky, I. Sutskever, and G. Hinton, “Imagenet classification
with deep convolutional neural networks” Advances in Neural
Information Processing Systems, 25, 2012. After images are extracted from CNN features, the output of
images is identified according to their individual image data
set which was stored in the data base. The recognized images
are plotted in Excel format and show their corresponding
name with time of presence. 11. G. Fierro, O. Rehmane, A. Krioukov, and D. Culler “Zone-level
occupancy counting with existing infrastructure,” Proceedings of the
Fourth ACM Workshop on Embedded Sensing Systems for
Energy-Efficiency in Buildings, 2012, pp. 205-206. [CrossRef] 12. O.T. Arulogun, A. Olatunbosun, O.A. Fakolujo and O. Olaniyi,
“RFID-Based Students Attendance Management System,” International
Journal of Scientific & Engineering Research. 4(2), 2013. 8. OpenCV Computerized vision is a method for understanding how
photos and movies are stored, as well as manipulating and Published By:
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© Copyright: All rights reserved. Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org 4 International Journal of Innovative Technology and Exploring Engineering (IJITEE)
ISSN: 2278-3075 (Online), Volume-11 Issue-7, June 2022 International Journal of Innovative Technology and Exploring Engineering (IJITEE)
ISSN: 2278-3075 (Online), Volume-11 Issue-7, June 2022 attendance. In today's culture, there are several biometric
systems to choose from. Face recognition, on the other hand,
is a viable option because of its high accuracy and minimal
human engagement. This system's purpose is to give a high
level of protection. In future, this proposed work is
implementing in real time class room monitoring system with
building a hardware components of notice board display and
android application enabled in Smartphone instead of
Desktop. In this work, we are collected samples of three student’s data
and processed for face extraction. For training the ML model
the following actions are carried out for pre-processing
process. Here the combinations of multiple data set to get a
large corpus. Normalization reduces the size by the order of
magnitude of data. C. Face extraction After creating database, the data sets are introduced into
image preprocessing after that the images are trained and
stored in CNN data base. In that frame conversion and image
extraction are performed in this section. Finally, the images
are classified according to their CNN features. D. Output of Attendance Marking System 7. P. Viola, and M. Jones, “Rapid Object Detection Using a Boosted
Cascade of Simple Features,” IEEE Computer Society Conference on
Computer Vision and Pattern Recognition (CVPR), 2001, pp.511-518. 8. Degtyarev, Nikolay and O. Seredin, “Comparative testing of face
detection algorithms,” Image and Signal Processing. Springer Berlin
Heidelberg, 2010, pp. 200-209. [CrossRef] g
pp
9. C. Tomasi, and T. Kanade, “Detection and tracking of point features. Technical report,” International Journal of Computer Vision, 1991. Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org REFERENCES 1. T. S. Lim, S. C. Sim, and M.M. Mansor, “RFID based attendance
system,” IEEE Symposium on Industrial Electronics Applications. 2(1),
2009, pp. 778–782. Fig 5. Classification of student faces 2. A. Purohit, K. Gaurav, C. Bhati, and A. Oak, “Smart Attendance,”
International conference of Electronics Communication and Aerospace
Technology (ICECA). 1(1), 2017, pp. 415–419. [CrossRef] Technology (ICECA). 1(1), 2017, pp. 415–419. [CrossRef] 3. K.O. Okokpujie, E. Noma-Osaghae, O.J. Okesola, S.N. John, and O. Robert, “Design and implementation of a student attendance system
using iris biometric recognition,” International Conference on
Computational Science and Computational Intelligence (CSCI), 2017,
pp. 563–567. [CrossRef] 4. N.K. Jayant, and S. Borra, “Attendance management system using
hybrid face recognition techniques,” Conference on Advances in Signal
Processing (CASP), 2016, pp. 412–417. [CrossRef] 5. O. Godswill, O. Osas, O. Anderson, I. Oseikhuemen, and O. Etse,
“Automated student attendance management system using face
recognition,” Int., J., of Educational Research and Information Science. 5(4), 2018, pp. 31–37. 6. J.S.W. D'Souza, S. Jothi, and A. Chandrasekar, “Automated Attendance
Marking and Management System by Facial Recognition Using
Histogram,” 5th International Conference on Advanced Computing &
Communication Systems (ICACCS), Coimbatore, India. 2019, pp. 66-69. [CrossRef] Fig 5. Classification of student faces D. Output of Attendance Marking System D. Output of Attendance Marking System AUTHORS PROFILE Purushothaman S, M.Tech., Ph.D degree from Anna
University, Chennai. Currently working as Assistant
Professor,
Department
of
Electronics
and
Communication Engineering, V.S.B. Engineering
College, Karur, Tamil Nadu, India. Having 9 years of
Experience in Teaching. My scientific research is
focusing on Nano electronics, Supercapacitor, MEMS
Technology and Communication Networks. My strengths are driven to
inspire students to pursue academic and personal excellence. I am well
prepared to dedicate myself to the highest standards of instruction. Hariharasudhan
M,
B.E
degree
from
Anna
University, Chennai. Currently studying in the
Department of Electronics and Communication
Engineering, V.S.B. Engineering College, Karur, Tamil
Nadu , India. I have worked hard in my education and
now I am ready to apply my knowledge into practice. While I don’t have any real life work experience. I’ve
had a lot of exposure to the research environment. A lot of courses involved
working with real companies to solve real problems. Hariharasudhan
M,
B.E
degree
from
Anna
University, Chennai. Currently studying in the
Department of Electronics and Communication
Engineering, V.S.B. Engineering College, Karur, Tamil
Nadu , India. I have worked hard in my education and
now I am ready to apply my knowledge into practice. While I don’t have any real life work experience. I’ve
had a lot of exposure to the research environment. A lot of courses involved
working with real companies to solve real problems. Dinakaran V, B.E degree from Anna University,
Chennai. Currently studying in the Department of
Electronics and Communication Engineering, V.S.B. Engineering College, Karur, Tamil Nadu , India. I have
worked hard in my education and now I am ready to
apply my knowledge into practice. While I don’t have
any real life work experience. I’ve had a lot of exposure to the research
environment. A lot of courses involved working with real companies to solve
real problems. Dinakaran V, B.E degree from Anna University,
Chennai. Currently studying in the Department of
Electronics and Communication Engineering, V.S.B. Engineering College, Karur, Tamil Nadu , India. I have
worked hard in my education and now I am ready to
apply my knowledge into practice. While I don’t have
any real life work experience. I’ve had a lot of exposure to the research
environment. A lot of courses involved working with real companies to solve
real problems. Gogulselvam R, B.E degree from Anna University,
Chennai. Currently studying in the Department of
Electronics and Communication Engineering, V.S.B. Implementation of Autonomous Attendance System using Convolution Neural Networks 19. H.L. Dhanush Gowda, K. Vishal, B.R. Keertiraj, Neha Kumari Dubey.,
and M. Pooja, “Face Recognition based Attendance System,”
International Journal of Engineering Research & Technology. 9(6),
2020. [CrossRef] 20. Ming, Du., C. Aswin, Sankaranarayanan, and Rama Chellappa, “Robust
Face Recognition from Multi-View Videos,” IEEE Transactions On
Image Processing, 23(3), 2014. [CrossRef] VII. CONCLUSION 13. C. Rafael, and Gonzalez, “Digital Image Processing,” Pearson
Publications. In this work, we developed a sophisticated single-input,
multiple-outputs attendance management system using facial
recognition algorithms. This method eliminates the problems
that come with traditional solutions. These methods are not
advised since they are time-consuming and require each
participant to enter the system separately to mark his or her
attendance. In our work, we show an automated facial
recognition attendance approach that comprises taking
attendance by employing a camera in front of the classroom to
get real-time photographs of the whole class, recognize the
faces in the image, crop the image, and compare it to a
database. A student is marked present once he or she has been
identified. The method is performed several times to increase
system efficiency, and the final results are recorded in an
excel file. This automatic attendance system saves students'
important study time because it runs in the background and
requires little to no interaction from teachers or students. This
method also reduces the likelihood of proxies and fake 14. P. Viola, and J. Jones, “Robust Real-Time Face Detection,”
International Journal of Computer Vision. 57(2), 2004, pp. 137–154. [CrossRef] 15. M.A. Turk, and A. P. Pentland, “Face Recognition Using Eigenfaces,”
in Proc. IEEE Conference on Computer Vision and Pattern
Recognition. 1991, pp. 586–591. 16. M.H. Yang, N. Ahuja, and D. Kriegmao, “Face recognition using kernel
eigen faces,” IEEE International Conference on Image Processing. 1,
pp.10-13. 17. O.A. Idowu, and O. Shoewu, “Attendance Management System using
Biometrics,” The Pacific Journal of Science and Technology. 13(1),
2012, pp.300-307. 18. N. Rekha, and M.Z. Kurian, “Face detection in real time based on
HOG,” International Journal of Advanced Research in Computer
Engineering & Technology. 3.4, 2014, pp.1345-1352. Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org 5 An Effective Implementation of Autonomous Attendance System using Convolution Neural Networks
19. H.L. Dhanush Gowda, K. Vishal, B.R. Keertiraj, Neha Kumari Dubey.,
d
M
P
j
“F
R
iti
b
d
Att
d
S
t
” AUTHORS PROFILE Engineering College, Karur, Tamil Nadu , India. I have
worked hard in my education and now I am ready to
apply my knowledge into practice. While I don’t have
any real life work experience. I’ve had a lot of exposure to the research
environment. A lot of courses involved working with real companies to solve
real problems. Gogulselvam R, B.E degree from Anna University,
Chennai. Currently studying in the Department of
Electronics and Communication Engineering, V.S.B. Engineering College, Karur, Tamil Nadu , India. I have
worked hard in my education and now I am ready to
apply my knowledge into practice. While I don’t have
any real life work experience. I’ve had a lot of exposure to the research
environment. A lot of courses involved working with real companies to solve
real problems. Akilan R, B.E degree from Anna University,
Chennai. Currently studying in the Department of
Electronics and Communication Engineering, V.S.B. Engineering College, Karur, Tamil Nadu , India. I
have worked hard in my education and now I am
ready to apply my knowledge into practice. While I
don’t have any real life work experience. I’ve had a lot
of exposure to the research environment. A lot of courses involved working
with real companies to solve real problems. Akilan R, B.E degree from Anna University,
Chennai. Currently studying in the Department of
Electronics and Communication Engineering, V.S.B. Engineering College, Karur, Tamil Nadu , India. I
have worked hard in my education and now I am
ready to apply my knowledge into practice. While I
don’t have any real life work experience. I’ve had a lot
of exposure to the research environment. A lot of courses involved working
with real companies to solve real problems. 6
Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org
Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. 6
Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. 6
Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. 6
Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org
Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Published By:
Blue Eyes Intelligence Engineering
and Sciences Publication (BEIESP)
© Copyright: All rights reserved. Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org An Effective Implementation of Autonomous Attendance System using Convolution Neural Networks An Effective Implementation of Autonomous Attendance System using Convolution Neural Networks Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org Retrieval Number: 100.1/ijitee.G99530611722
DOI: 10.35940/ijitee.G9953.0611722
Journal Website: www.ijitee.org 6
|
https://openalex.org/W2951358217
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https://discovery.ucl.ac.uk/10073016/1/Anderson_0269216319852007.pdf
|
English
| null |
Communication between healthcare professionals and relatives of patients approaching the end-of-life: A systematic review of qualitative evidence
|
Palliative medicine
| 2,019
|
cc-by
| 11,994
|
2007 PMJ0010.1177/0269216319852007Palliative MedicineAnderson et al. 2007 PMJ0010.1177/0269216319852007Palliative MedicineAnderson et al. Review Article https://doi.org/10.1177/02692163198520
Palliative Medicine
2019, Vol. 33(8) 926–941
© The Author(s) 2019
Article reuse guidelines:
sagepub.com/journals-permissions
DOI: 10.1177/0269216319852007
journals.sagepub.com/home/pmj Keywords Keywords
Communication, terminal care, palliative care, family, caregivers, qualitative research
What is already known about the topic? ••
Poor communication from healthcare professionals is a common complaint from relatives of patients at the
end-of-life. ••
Communication with relatives at this time is important for high quality end-of-life care and for relatives’ long-term
well-being. 1Marie Curie Palliative Care Research Department, Division of
Psychiatry, University College London, London, UK
2Department of Language and Cognition, Division of Psychology and
Language Sciences, University College London, London, UK
Corresponding author:
Rebecca J Anderson, Marie Curie Palliative Care Research Department,
Division of Psychiatry, University College London, 6th Floor, Maple
House, 149 Tottenham Court Road, London W1T 7NF, UK. Email: rebecca.anderson.16@ucl.ac.uk Communication, terminal care, palliative care, family, caregivers, qualitative research Abstract Background: Effective communication between healthcare professionals and relatives of patients approaching the end-of-life is
vital to ensure patients have a ‘good death’. To improve communication, it is important to first identify how this is currently being
accomplished. p
Aim: To review qualitative evidence concerning characteristics of communication about prognosis and end-of-life care between
healthcare professionals and relatives of patients approaching the end-of-life. Design: Qualitative systematic review (PROSPERO registration CRD42017065560) using thematic synthesis. Peer-reviewed, English
language articles exploring the content of conversations and how participants communicated were included. No date restrictions
were applied. Quality of included studies was appraised using the Joanna Briggs Institute Critical Appraisal Checklist for Qualitative
Research. Data sources: An electronic database search of CINAHL, MEDLINE, PsycINFO and EMBASE was performed. ,
,
y
p
Results: Thirty-one papers were included. Seven themes were identified: highlighting deterioration; involvement in decision-
making, post-decision interactional work, tailoring, honesty and clarity, specific techniques for information delivery and roles of
different healthcare professionals. Varied levels of family involvement in decision-making were reported. Healthcare professionals
used strategies to aid understanding and collaborative decision-making, such as highlighting the patient’s deterioration, referring to
patient wishes and tailoring information delivery. Doctors were regarded as responsible for discussing prognosis and decision-making,
and nurses for providing individualized care. Conclusion: Findings suggest training could provide healthcare professionals with these strategies to improve communication. Interventions such as question prompt lists could help relatives overcome barriers to involvement in decision-making. Further
research is needed to understand communication with relatives in different settings and with different healthcare professionals. Communication between healthcare
professionals and relatives of patients
approaching the end-of-life: A systematic
review of qualitative evidence https://doi.org/10.1177/02692163198520
Article reuse guidelines:
sagepub.com/journals-permissions
DOI: 10.1177/0269216319852007
journals.sagepub.com/home/pmj Rebecca J Anderson1
, Steven Bloch2, Megan Armstrong1
,
Patrick C Stone1 and Joseph TS Low1 Introduction Family members of patients at the end-of-life value high
quality communication about their relatives’ prognosis
and care.1–4 Patients in the terminal phase of their illness
often have difficulty communicating and so their relatives
need clear information to make decisions on their behalf. Honest and timely communication can give relatives time
to say goodbye and improve psychological outcomes and
satisfaction with end-of-life care.5–10 Healthcare professionals report finding end-of-life
communication challenging and often wait for patients or
families to initiate these conversations.11 In an interna-
tional survey of palliative care experts, 83% agreed more
evidence-based guidance on strategies for communica-
tion with relatives would improve end-of-life decision-
making.12 A report by the English Parliamentary and
Health Service Ombudsman found a key area of com-
plaints about end-of-life care was failing to recognize
when a person was dying and communicate this to the
patient and their relatives.13 Implications for practice, theory or policy ••
There is a need for more research on communication with relatives in palliative care settings and with different mem-
bers of the multidisciplinary team. i i
i
d d
h l h
l h
f
i
l
l
i
i
id li
i
i
hil
id ••
There is a need for more research on communication with relatives in palliative care settings and with different mem-
bers of the multidisciplinary team. ••
Training is needed to help healthcare professionals to translate communication guidelines into practice while consider-
i
th i
ti
l
d ••
There is a need for more research on communication with relatives in palliative care settings and with different mem-
bers of the multidisciplinary team. is needed to help healthcare professionals to translate communication guidelines into practice while consider
own emotional needs. ••
Interventions such as question prompt list could also be used to help relatives get the information they ••
Interventions such as question prompt list could also be used to help relatives get the information they need. Recommendations about what to discuss with rela-
tives are needed, alongside specific strategies on how to
do this. Previous reviews have explored relatives’ commu-
nication preferences and how they are prepared for the
patient’s death more generally. They found a desire for
honest information about disease progression, the dying
process and pain management; jargon-free information
with time to understand; and opportunities to discuss
spiritual needs.16–20 However, these reviews did not focus
on how healthcare professionals discuss these issues with
relatives. To provide recommendations for change, we
must first understand how this communication is cur-
rently being accomplished. Healthcare professionals and
relatives sometimes have different perceptions of how
much prognostic information relatives have been
given.21,22 It is therefore important to consider a range of
perspectives when addressing this issue. What this paper adds ••
Common communication strategies are identified including highlighting the patient’s deterioration to aid decision-mak-
ing, references to patient wishes, providing relatives with options, tailoring information to individuals and using pacing
and staging of information. ••
Common communication strategies are identified including highlighting the patient’s deterioration to aid decision-mak-
ing, references to patient wishes, providing relatives with options, tailoring information to individuals and using pacing
and staging of information. ••
Healthcare professionals state a belief in using honest, direct language and involving families in decision-making, but
there is variation in the extent to which this is implemented in practice. ••
Healthcare professionals state a belief in using honest, direct language and involving families in decision-making, but
there is variation in the extent to which this is implemented in practice. ••
Nurses and allied healthcare professionals play an important role in providing individualized comm
relatives. ••
Nurses and allied healthcare professionals play an important role in providing individualized communication with
relatives. Objectives The primary objective of this article is to review existing
qualitative evidence about the characteristics of commu-
nication about prognosis and end-of-life care between
healthcare professionals and relatives of patients
approaching the end-of-life: In response to criticisms of end-of-life care in the
United Kingdom, the National Institute for Health and
Care Excellence (NICE) have produced guidelines for
healthcare professionals, including advice on communica-
tion.14 NICE make recommendations including discussing
what patients understand and want to know, explaining
uncertainty, avoiding false optimism, providing opportu-
nities to ask questions and highlighting opportunities for
further discussions. Bernacki and Block15 made similar
recommendations for a conversation guide to support cli-
nicians in the United States. However, the primary focus
of these recommendations is communication with
patients rather than relatives. While these recommenda-
tions can be useful for relatives, their communication
needs are different. For example, a previous review found
caregivers wanted more information about the dying pro-
cess than patients.16 From the perspective of healthcare professionals; From the perspective of relatives; From the perspective of relatives; As identified from observational studies. As identified from observational studies. What is already known about the topic? ••
Poor communication from healthcare professionals is a common complaint from relatives of patients at the
end-of-life. ••
Communication with relatives at this time is important for high quality end-of-life care and for relatives’ long-term
ll b i ••
Poor communication from healthcare professionals is a common complaint from relatives of p
end-of-life. ••
Communication with relatives at this time is important for high quality end-of-life care and for relat
well-being. 1Marie Curie Palliative Care Research Department, Division of
Psychiatry, University College London, London, UK
2Department of Language and Cognition, Division of Psychology and
Language Sciences, University College London, London, UK
Corresponding author:
Rebecca J Anderson, Marie Curie Palliative Care Research Department,
Division of Psychiatry, University College London, 6th Floor, Maple
House, 149 Tottenham Court Road, London W1T 7NF, UK. Email: rebecca.anderson.16@ucl.ac.uk Anderson et al. 927 Method An initial scoping of the literature suggested only qualita-
tive literature could explore what happens during these
conversations in sufficient depth. A qualitative systematic
review was therefore conducted. Palliative Medicine 33(8) 928 were only included in the synthesis if they were supported
with illustrative quotes. Search strategy A comprehensive electronic database search was last
updated on 16 July 2018. The databases searched were
CINAHL plus (1937–2018), MEDLINE (1950–2018),
PsycINFO (1967–2018) and EMBASE (1980–2018). Text
and MeSH terms for the following word groups were
searched: communication, relatives, healthcare profes-
sionals, settings with patients at the end-of-life and quali-
tative methodology. Searches included peer-reviewed,
English language articles, and there were no search
restrictions based on the date of publication (see full elec-
tronic search strategy in Supplementary Table 1). Reference lists of all included studies were hand-searched
and citation searching was performed. Reference lists of
five relevant reviews were hand-searched.16,17,19,20,23 Data extraction and synthesis The following data were extracted by R.A. and checked by
M.A.: title, authors, year, journal, country, setting,
research question/aims, theoretical/philosophical per-
spective, research methodology, data collection/analysis,
study population and relevant findings. Only findings rel-
evant to the aim of this review were extracted. For exam-
ple, one study26 included findings related to physicians’
beliefs on children’s best interests. These were not
extracted but all findings relating to communication with
parents were. Findings, including participant quotes and authors’
descriptions/interpretations, were entered into NVivo 11. Thematic synthesis, which allows conclusions to be drawn
across heterogeneous methodologies, was used to syn-
thesize findings. Thomas and Harden’s27 steps of thematic
synthesis were followed, beginning with line-by-line cod-
ing of findings. Initial codes were grouped into descriptive
themes and put into a coding framework, which was
applied to the whole dataset. These themes were dis-
cussed within the team to develop analytic themes. For
example, descriptive themes ‘problem listing’ and ‘per-
spective display invitations’ both highlighted a patient’s
deterioration, and so this became an analytic theme. Study selection The lead author (R.A.) ran the searches, removed dupli-
cates and screened titles and abstracts to exclude ineligi-
ble papers. Full texts of all remaining papers were reviewed
for inclusion/exclusion by R.A. and M.A. Studies identified
from the search had a broad range of research questions
and so study selection was complex, requiring numerous
decisions within the research team. For example, articles
involving both relatives and patients were included only if
the findings relating to relatives could be separated from
those relating to patients. Disagreements and uncertainty
were resolved through discussion and referral to a third
reviewer, J.L. when required. R.A. coded findings with regular discussions with the
analytic team, which included five researchers (three with
Psychology backgrounds, one with a speech and language
background and one palliative care consultant). An inter-
pretivist approach was taken towards the synthesis, which
involves providing narrative descriptions to represent the
subjective experiences of a range of stakeholders.28 A
broad range of populations and clinical settings were
therefore included in the review and are presented
together within the synthesis. Inclusion criteria included qualitative studies focusing
on communication between adult relatives and health-
care professionals, in settings with patients at the end-of-
life, about prognosis and end-of-life care and exploring
what and how communication occurs (as opposed to pref-
erences or challenges). Authors were contacted when the
eligibility of papers was unclear. A full list of inclusion and
exclusion criteria is included in Supplementary Table 2. Quality appraisal results The main findings from the quality appraisal were the
high number of articles which did not report a philosophi-
cal perspective (22 articles), the researchers’ background
(21 articles) or address the influence of the researcher on
the research (21 articles). All studies used quotes to sup-
port their analysis, but there were seven papers where it
was unclear if an adequate range of participants’ views
were represented, mostly due to a lack of patient identi-
fiers. Ten papers did not report their analysis in a way that
was wholly consistent with their stated methodology. The
full results of the quality appraisal are reported in
Supplementary Table 4. Search results The 10-item Joanna Briggs Institute (JBI) Critical Appraisal
Checklist for Qualitative Research24 was used to assess the
quality of included articles. While there is no ‘gold stand-
ard’ tool for quality appraisal of qualitative studies, a com-
parative analysis concluded the JBI checklist was the most
coherent.25 The search strategy identified 2195 unique citations pub-
lished between 1975 and 2018, 31 of which were included
in the review (Figure 1). The 31 articles originated from
10 countries and reported results from 25 individual
studies (see Table 1). Fourteen papers were observa-
tional (non-participant observations or video/audio-
recordings), 10 used interviews or focus groups with
healthcare professionals, five used interviews with rela-
tives and two used a combination of these approaches in
ethnographic studies. The majority of studies were based
in adult acute care (18 papers); eight were in paediatric
or neonatal intensive care units (ICUs), three in palliative R.A. and M.A. assessed all studies against the JBI check-
list. Disagreements were resolved through discussion and
referral to other authors (J.L. or S.B.). The JBI checklist does
not allocate scores to studies and papers were not excluded
based on the checklist; instead, results were used to iden-
tify weaknesses in the literature and considered when syn-
thesizing the data. Authors’ descriptions/interpretations 929 Anderson et al. Figure 1. PRISMA diagram of included articles, adapted from Moher et al.29 Figure 1. PRISMA diagram of included articles, adapted from Moher et al.29 care settings and two in other settings (older adult wards
and family physicians). family members with a median sample size of 27
(range = 12–227). The number of individual family mem-
bers could not be obtained for five primary studies. These
five studies reported a total sample size 92 families with a
median sample size of 19 families (range = 8–36). Where
reported, family members included parents, spouses,
adult children, siblings, friends and other family members. Six primary studies reported including multiple different
family members and five reported including parents only. Study participants Overall, sample sizes are reported below. In samples
used for multiple papers, only the original sample size is
included in this total. Further demographic information
for study participants is included in Supplementary
Table 3. Observational, ethnographic and interview/focus
group studies with healthcare professionals had a total
sample size of 343 healthcare professionals (170 physi-
cians, 127 nurses, 9 other healthcare professionals, 37
unspecified), with a median sample size of 19 healthcare
professionals (range = 1–37). Numbers of healthcare pro-
fessionals were not reported for two primary observa-
tional studies. Physicians were mostly attending, resident
and fellow physicians, intensivists and palliative care con-
sultants, although this information could not be obtained
for five studies. Nurses worked in ICU, paediatric ICU,
other acute care or hospice. Other healthcare profession-
als such as social workers were also present at observa-
tions but were not the focus of these observations. Two
studies interviewed other healthcare professionals. Where reported, healthcare professionals’ years of clini-
cal or specialty experience ranged from <2 to 40 years. Overview of findings Observational, ethnographic and interview studies with
family members had a total sample size of 495 individual Included papers described how healthcare professionals
and relatives discussed the patient’s deterioration, made 930 Palliative Medicine 33(8) y
p p
Author
Country
Research question/aim
Setting
Population
Data collection
Data analysis
Summary of relevant findings
Observational studies
Aldridge and
Barton30a
USA
Compare the ‘description of current
status’ in end-of-life discussions with
family members that did and did not
result in a change from therapeutic to
comfort care
Surgical ICU
Critical care intensivists,
surgeons and families of
current SICU patients
Secondary analysis of
audio-recordings of
family conferences
Discourse analysis
Highlighting negative outcomes and direct summaries implying
terminal status led to more decisions to move to comfort care
Decisions were less likely to be made when more positive
outcomes were described and possible treatment was
discussed
Barton et al.31a
USA
1. Describe the structure and variations
within each phase of the end-of-life
discussion
2. Look specifically at interaction
between physicians and families within
each phase
Surgical ICU
Critical care intensivists,
surgeons and families of
current SICU patients
Secondary analysis of
audio-recordings of
family conferences
Discourse analysis
Description of current status used to develop consensus on
terminal status. Some used perspective display questions. Framed decision as expressing patient’s wishes. Overview of findings If no consensus
of terminal status was established, decisions were not made
Explained logistics of dying (often initiated by family) with
more direct language
Barton32a
USA
Describe how physicians and families
construct an ethical frame to present the
decision to withdraw life support as the
‘right’ decision
Surgical ICU
Critical care intensivists,
surgeons and families of
current SICU patients
Secondary analysis of
audio-recordings of
family conferences
Discourse analysis
Process of dying and comfort care repeated by doctors and
families
Doctors repeated problem listing and emphasized the decision
as being a consensus between the medical team
Families discussed personhood and consciousness – doctors
repeated ‘best interests’ and described the decision as ethical
because of loss of consciousness
Both families and doctors described the decision as ‘right’
Curtis et al.33b
USA
Establish a framework that will allow
future analyses and studies to describe
and understand the communication in
family conferences in which the issue of
withholding or withdrawing life support
is discussed
ICU
Attending, resident and
fellow physicians and
families of current ICU
patients
Audio-recording of
family conferences
Limited application of
grounded theory
Discussed substituted judgement: encouraged the family to
describe personhood to elicit patient wishes
Described the dying process (often raised by family)
Stressed continuing care, patient comfort and supported
decision to withdraw treatment
Varied in directness and use of strategies (e.g. repeating what
family says, allowing silence, confirming understanding)
Curtis et al.34b
USA
Identify missed opportunities for
physicians to provide support or
information to families during family
conferences
ICU
Attending, resident and
fellow physicians and
families of current ICU
patients
Audio-recording of
family conferences
Limited application of
grounded theory
15/51 family conferences had examples of missed
opportunities:
Some avoided answering difficult questions and didn’t ask
for clarification about families’ vague concerns
Failed to explore/acknowledge expressions of emotion
Missed chances to explore comments about patient
treatment preferences
De Vos et al.35
Netherlands
1. How do physicians and parents
communicate about decisions to
withhold or withdraw life sustaining
treatment
2. To what extent do parents share in the
decision-making process? Paediatric ICU
Physicians and parents
of children currently
in PICU
Audio-recording of
conversations
Qualitative coding
Discussed deterioration: 1/3 asked for parents’ perspective on
child’s condition. Parents demonstrated good understanding
when asked
Physicians expressed a team preference. Parents often gave
their preference unprompted
Most presented as medical decision and didn’t ask parents. Overview of findings Parents expressed concern about suffering and physicians
reassured them of comfort and peace
Nurses often spoke with parents at the bedside after the
meeting (not recorded) ICU Anderson et al. 931 son et al. Author
Country
Research question/aim
Setting
Population
Data collection
Data analysis
Summary of relevant findings
Ekberg et al.36
Australia
Explore how discussions about
deterioration are managed within actual
paediatric palliative care consultations
Paediatric palliative
care service
(inpatient, outpatient,
telehealth and home)
Specialist palliative
care consultant and
parents of children in
a paediatric palliative
care service
Video-recordings of
consultations
Conversation analysis
Solicited the family’s agenda to allow opportunity for them to
raise prognosis/deterioration
Used topic shading (brought up another issue where
deterioration may be relevant). This allowed the family to raise
deterioration if they wished to
Engelberg
et al.37b
USA
Describe physicians’ responses to
families’ questions about the meaning of
critically ill patients’ movements
ICU
Attending, resident and
fellow physicians and
families of current ICU
patients
Audio-recording of
family conferences
Limited application of
grounded theory
6/51 family conferences had unresolved questions about
patient movement:
Majority responded with clinical information (physiological
reasons)
Acknowledged emotions (e.g. with active listening)
Only one physician explored emotions and gave the family
more time to consider
Hsieh et al.38b
USA
Identify inherent tensions that arose
during family conferences in the ICU, and
the communication strategies clinicians
used in response
ICU
Attending, resident and
fellow physicians and
families of current ICU
patients
Audio-recording of
family conferences
Qualitative content
analysis from a dialectic
perspective
Contradictions identified included: killing versus allowing to
die, death as benefit versus burden, patient wishes versus
family wishes
Physicians’ decision-centred strategies: argued against one
side (e.g. killing), argued for one side (e.g. Overview of findings patient over family
wishes) or avoided
Physicians’ information-seeking strategies: acknowledged the
contradiction, clarified family’s statements, emphasized patient
wishes and segmented decision
Kawashima39
Japan
Explicate the structure of interactions
between medical professionals and
patients’ family members in a Japanese
emergency room, when the patient is
seriously ill and may be at the point of
death
Emergency room
Physicians and family
members of patients at
risk of imminent death
in an emergency room
Video recordings of
consultations
Conversation analysis
Storytelling: Physicians described what has happened or asked
relatives what has happened to forecast bad news
Online commentary: Physicians used sight and touch to explain
symptoms
Paradoxical proposals: Physicians sometimes put forward
continuing treatment despite suggestion that treatment is Country
Research question/aim
Setting
Population
Data collection
Data analysis
Summary of relevant findings
Australia
Explore how discussions about
deterioration are managed within actual
paediatric palliative care consultations
Paediatric palliative
care service
(inpatient, outpatient,
telehealth and home)
Specialist palliative
care consultant and
parents of children in
a paediatric palliative
care service
Video-recordings of
consultations
Conversation analysis
Solicited the family’s agenda to allow opportunity for them to
raise prognosis/deterioration
Used topic shading (brought up another issue where
deterioration may be relevant). This allowed the family to raise
deterioration if they wished to
USA
Describe physicians’ responses to
families’ questions about the meaning of
critically ill patients’ movements
ICU
Attending, resident and
fellow physicians and
families of current ICU
patients
Audio-recording of
family conferences
Limited application of
grounded theory
6/51 family conferences had unresolved questions about
patient movement:
Majority responded with clinical information (physiological
reasons)
Acknowledged emotions (e.g. with active listening)
Only one physician explored emotions and gave the family
more time to consider
USA
Identify inherent tensions that arose
during family conferences in the ICU, and
the communication strategies clinicians
used in response
ICU
Attending, resident and
fellow physicians and
families of current ICU
patients
Audio-recording of
family conferences
Qualitative content
analysis from a dialectic
perspective
Contradictions identified included: killing versus allowing to
die, death as benefit versus burden, patient wishes versus
family wishes
Physicians’ decision-centred strategies: argued against one
side (e.g. killing), argued for one side (e.g. Overview of findings patient over family
wishes) or avoided
Physicians’ information-seeking strategies: acknowledged the
contradiction, clarified family’s statements, emphasized patient
wishes and segmented decision
Japan
Explicate the structure of interactions
between medical professionals and
patients’ family members in a Japanese
emergency room, when the patient is
seriously ill and may be at the point of
death
Emergency room
Physicians and family
members of patients at
risk of imminent death
in an emergency room
Video recordings of
consultations
Conversation analysis
Storytelling: Physicians described what has happened or asked
relatives what has happened to forecast bad news
Online commentary: Physicians used sight and touch to explain
symptoms
Paradoxical proposals: Physicians sometimes put forward
continuing treatment despite suggestion that treatment is
futile, giving time for families to make the decision or express
deontic authority
Physicians left sentences unfinished to allow for co-completion
of final decision
Following online commentaries/paradoxical proposals, families
themselves sometimes raised the possibility of stopping
treatment
USA
Examine the decision-making process to
withhold or stop life support
ICU
Attending, resident and
fellow physicians and
families of current ICU
patients
Audio-recordings of
family conferences
Conversation analysis
Framing of options ‘shaded’ (e.g. not all options presented) in
6/15 cases
Framed decision as consensus between healthcare
professionals, the family and the patient’s wishes
When couldn’t agree, gave family time to decide (but imposed
time limit)
USA
Explore how clinicians introduce the
need to make a decision about the use
of life-sustaining treatment and how
surrogates respond
ICU
Physicians and families
of current ICU patients
Audio-recordings of
family conferences/
Conversation analysis
Clinicians used ‘perspective-display invitations’ to elicit the
surrogate’s view of patient preference – used this as basis for
shared decision-making
Direct questions were more successful than tacit invitations
Perspective display invitations were reformulated when
unsuccessful 932 Palliative Medicine 33(8) Author
Country
Research question/aim
Setting
Population
Data collection
Data analysis
Summary of relevant findings
Shaw et al.42
UK
Explore decision-making related to the
move from active to palliative care in the
neonatal ICU
Neonatal ICU
Consultants and
families of babies
currently in NICU
Audio-recordings of
discussions/
Conversation analysis
Identified two different ways doctors initiated the decision-
making process:
1. Making recommendations: Presented strong
recommendation as coming from the medical team in the
best interests of the baby. Parents often asked challenging
questions, about options and responded negatively to
explanations
2. Providing options: Presented as a joint plan for parents and
doctors to make. Overview of findings Told parents the decision can be deferred
and options for the decision were provided. Parents could ask
questions without appearing challenging
West et al.43b
USA
Identify the categories of expressions
of non-abandonment and develop
a conceptual model describing the
ways this is expressed by families and
clinicians, in ICU family conferences
concerning withdrawing life-sustaining
treatments or the delivery of bad news
ICU
Attending, resident and
fellow physicians and
families of current ICU
patients
Audio-recording of
family conferences
Limited application of
grounded theory
44/51 family conferences contained expressions of non-
abandonment from either the family or clinician:
Clinicians: Highlighted continuing care; emphasized physician
availability; gave the family the choice of when treatment is
removed
Family: expressed decision as reducing suffering and
following patient wishes; expressed a desire to be at the
bedside
Family perspective
Abib El Halal
et al.44
Brazil
Explore parents’ perspectives of the
quality of care offered to them and their
terminally ill child in the child’s last days
of life
Paediatric ICU
Parents of children who
died in PICU
Interviews
Thematic content
analysis
Parents reported healthcare professionals using medical jargon
Decisions were communicated but families not involved
Lack of communication around the time of death
Gordon
et al.45c
USA
Examine bereaved parents’ perspectives
of their and clinicians’ communicative
roles and responsibilities in the PICU
Paediatric ICU
Parents of children who
died in PICU
Secondary analysis of
interviews
Discourse analysis
Varied in how much parents were included in decisions
Some struggled to understand uncertainty. Clarity varied (e.g. medical jargon)
Some felt clinicians created false hope by saying child was
going to be ok
Parents were sometimes ‘rude’ or shouted at clinicians
Lind46
Norway
Examine and describe relatives’
experiences of responsibility in the ICU
decision-making process
ICU
Relatives of patients
who died in ICU
Secondary analysis of
interviews
Narrative analytical
approach
Three variants of involvement in decisions:
1. Informed not involved: families told of decision with a
medical explanation
2. Informed and asked for approval (directly or waiting for a
nod/yes)
3. Involved – shared decision-making: Discussed what the
patient would want
Meert et al.47c
USA
Describe parents’ perceptions of their
conversations with physicians regarding
their child’s terminal illness and death
in the PICU
Paediatric ICU
Parents of children who
died in PICU
Secondary analysis of
interviews
Qualitative coding
Honest communication built trust and prepared parents. Overview of findings Others held back prognostic information leading to false hope
Honesty was either communicated with empathy which was
appreciated or as ‘matter of fact’ which felt cold and insensitive
Some felt healthcare professionals used medical jargon or too
much information was given at once
Odgers et al.48
Australia
Explore the family’s experience of end-
of-life care for their relative during the
dying process
Acute hospital
Next of kin to patients
who died in acute
hospital
Interviews
Thematic analysis
Some felt doctors were not clear and honest with them (e.g. used euphemisms and were indirect about prognosis)
Others had open conversations including discussing patient
wishes
Table 1. (Continued) ICU Table 1. (Continued) Anderson et al. Overview of findings 933 Author
Country
Research question/aim
Setting
Population
Data collection
Data analysis
Summary of relevant findings
Healthcare professional perspective
Bach et al.49
Canada
Bring to light the role of critical care
nurses in decision-making at the end-
of-life
ICU and cardio-
respiratory care unit
Critical care nurses
Interviews
Grounded theory
Nurses clarify information and help families see the whole
picture
Act as a go-between for the physicians and families
Felt that honesty is important (but balanced with hope)
Bartel et al.50
USA
Describe physicians’ experiences in
attempting to provide optimal care for
families of children who suffer sudden,
acute life threatening conditions
Paediatric ICU
Resident, attending and
fellow PICU physicians
Interviews and focus
groups
Qualitative coding
Provide families with options and they make the final decision
Denial common in families – physicians repeat information and
give time
Highlighted the role of nurses/social workers taking time with
families
Identify a family spokesperson
Try to give clear summaries, non-medical language, staged
information and not give false hope
Bloomer
et al.51
Australia
and New
Zealand
Explore how nurses navigate
communication with families during
treatment withdrawal processes
ICU
Critical care nurses
Focus groups
Inductive content
analysis
Look for non-verbal cues that a relative does/doesn’t want to
talk and verbal signs of understanding
Identify a spokesperson
Use staging of information to give families time to digest it
Following family meetings check understanding and discuss the
process of death
Epstein52
USA
Explore nurses’ and physicians’ end-of-
life experiences in the new-born ICU
New-born ICU
NICU registered nurses,
nurse practitioners and
resident and fellow
physicians
Interviews
Hermeneutic circle
approach
Physicians delayed conversations to give families time to
understand patients’ terminal status
Nurses felt false hope could be promoted
Nurses informally/gently discussed options with parents in
more detail
Physicians begin more indirectly but use direct language if
families don’t understand
Explain what changes to expect in dying process
Involve parents in decision but take responsibility themselves
Kehl53
USA
Describe how hospice clinicians prepare
family for the final days of life
Home hospice
Nurses, nursing
assistant, social
workers, bereavement
counsellors and
chaplain
Interviews
Conventional content
analysis
Discuss signs/symptoms of death and time to death (including
uncertainty)
Repetition to ensure the message gets through, staged
preparation over time
Use active listening/questions to tailor content and delivery
Building trust improves acceptance of messages
Liaschenko
et al.54
USA
Understand factors that influence ICU
nurses’ inclusion of families in end-of-life
care
Critical care unit
Experienced critical
care nurses
Focus groups
Content analysis
Nurses bring together information from different physicians
to provide the ‘big picture’. Overview of findings Draw attention to quality of life
consequences of treatment
Highlight deterioration and prepare families for death
Peden-
McAlpine55
USA
Describe the communication practices
experienced intensive care nurses use
with families to negotiate consensus on
withdrawal of aggressive treatment and/
or shift to palliative care
ICU
ICU nurses comfortable
with dying patients/
families
Unstructured interviews
Narrative approach
Changes in the patient’s status can a trigger conversations
Nurses check understanding and explain consequences of
treatment after discussions with physicians
Ask about the patient, emphasize quality of life and what they
would want
Help families see deterioration. Tailor to what the person is
ready to hear 934 Palliative Medicine 33(8) Author
Country
Research question/aim
Setting
Population
Data collection
Data analysis
Summary of relevant findings
Rejno et al.56
Sweden
Deepen the understanding of stroke
team members’ reasoning about truth-
telling in end-of-life care due to acute
stroke
Acute stoke ward
Physicians, registered
nurses and enrolled
nurses
Interviews
Qualitative content
analysis
Truth above all: approach discussions with complete honesty
and direct language to prepare them and establish trust
Hide truth to protect: Withhold certain distressing information
if don’t feel it’s necessary to tell; wait until have clearer info/
better environment to discuss; some nurses waited for doctor
to give the bad news
Richards
et al.26
USA
Understand how neonatal and paediatric
critical care physicians balance and
integrate the interests of the child and
family in decisions about life-sustaining
treatments
Paediatric and
Neonatal ICU
Attending paediatric
critical care physicians
Interviews
Content and thematic
analysis
Limiting options: don’t mention treatment options that they
believe to be futile
Being directive: when feel parents can’t make decisions,
physicians take control to relieve burden and give families
‘permission’ to remove life support
Staying neutral: by providing options and avoiding giving own
opinion
Allowing parents to come to own conclusions (e.g. Highlighting deterioration The first theme identified was highlighting deterioration,
which was found in 11 papers.26,30–32,35,36,39,54,55,58,59 This
describes how healthcare professionals enabled relatives
to recognize the patient’s deterioration (referred to as
‘establishing terminal status’ by one study30). Highlighting
deterioration involved listing the patient’s previous and
ongoing problems to provide evidence that further active
treatment was futile and the patient was reaching the
end-of-life. Often this was accomplished by healthcare
professionals, but studies also found evidence of perspec-
tive display invitations,62 where healthcare professionals
asked relatives to describe what had happened so far and
how the patient was doing.31,32,35,36,39,55,58,59 Perspective
display invitations highlighted deterioration in collabora-
tion with families and provided healthcare professionals
with information about their level of acceptance and
understanding. p
Collaborative decision-making was reported across
observational studies and interviews/focus groups with
healthcare professionals and relatives, and in both child
and adult settings.26,30–33,35–43,45–50,52,55,57 When papers
reported collaborative decision-making, several strategies
were used. In adult settings only, the most common iden-
tified was invoking the patient’s wishes.31–33,38,40–42,46–49,55
Healthcare professionals asked families what the patient
was like prior to hospitalization and whether they had dis-
cussed their care preferences. They emphasized the fam-
ily member was a voice for the patient, rather than making
decisions based on their own feelings. There were, how-
ever, examples in observational studies and one nurse
interview study, where doctors missed opportunities to
discuss patients’ wishes or did not clarify the meaning of
surrogate decision-making.33,34,46 Usually, this phase ended with a summary statement
to demonstrate they had reached a consensus that the
patient was dying. However, one study described more
ambiguous problem listing, including references to treat-
ment. In these conversations, a consensus on terminal
status was less likely to be reached and decisions relating
to withdrawal of treatment were made less often.30 Another strategy was presenting options to the family
(e.g. to remove some life-sustaining treatments and leave
others in place) and framing the discussion as forming an
evolving
plan,
rather
than
one
overall
deci-
sion.26,35,38–40,42,50,52 Options could be presented with a
subtle preference for a certain course of action,40 but it
was stressed the family’s decision would be supported. Overview of findings delay
decisions/discussions and give time so that parents can see
that their child is dying)
Tan and
Manca57
Canada
Describe conflict experiences that family
physicians have with substitute decision-
makers of dying patients and identify
factors that facilitate or hinder the end-
of-life decision-making process
Family physicians
Family physicians
Interviews
Grounded theory
Staged information as trust increases; gauge surrogate’s
understanding; use patient’s previous statements to help
decisions
Bringing other professionals in can help resolve conflict
Mixed perspectives
Caswell et al.58
UK
Understand the factors and processes
which affect the quality of care provided
to frail older people who are dying in
hospital and their family carers
Hospital wards caring
for older adults
Healthcare
professionals and
bereaved relatives of
older patients who died
Ethnographic:
interviews, focus
groups, non-participant
observations and
review of case notes
Constant comparative
method
Doctors discussed prognosis, nurses translated into lay
language
Staff thought often one conversation wasn’t enough but didn’t
always repeat this
Observations showed it was rare to explain process of dying
Euphemistic/vague language meant carers didn’t always
understand that their relative was dying
Meeker et al.59
USA
Examine the nature of family meetings
as conducted in an inpatient hospice
care unit in order to generate an
inductive theoretical model
Hospice inpatient unit
Nurses, social workers,
physicians and family
members of current
hospice inpatients
Ethnographic:
observations of family
meetings, informed by
healthcare professional
interviews
Constant comparative
method of grounded
theory
Healthcare professionals elicited understanding to ensure their
views were aligned on prognosis (e.g. discuss prior symptoms
that signal dying). Families described patient’s personhood
Explained process of dying, paced info in line with family
responses
Separated the person from the illness (e.g. explaining
agitation), gave time to ask questions
SICU: surgical intensive care unit, ICU: intensive care unit, PICU: paediatric intensive care unit, NICU: neonatal intensive care unit. Detailed demographic information is provided in Supplementary Table 3 and quality appraisal information in Supplementary Table 4. aPapers using data from Cassell.60
bPapers using data from Curtis et al.33
cPapers using data from Meert et al.61
(
) y
SICU: surgical intensive care unit, ICU: intensive care unit, PICU: paediatric intensive care unit, NICU: neonatal intensive care unit. Detailed demographic information is provided in Supplementary Table 3 and quality appraisal information in Supplementary Table 4. aPapers using data from Cassell.60 935 Anderson et al. Highlighting deterioration Families were given time to make decisions and if with-
drawing treatment, control over how and when this would
happen.33,37,39,42,43,46 These practices were mostly identi-
fied by observational studies,33,37–40,42,43 but some rela-
tives described the same practices35,46 and healthcare
professionals reported providing options.26,50,52 The practice of highlighting deterioration was identi-
fied in healthcare professional interview and focus group
studies54,55,58,59 and observational studies,30–32,35,36,39,59
but not interviews with families. It was seen in adult and
paediatric settings, but was not always consistent. For
example, in an ethnographic study on older adult wards,
only one healthcare professional described this practice
and there was no evidence of it from non-participant
observations.58 Overview of findings a recommendation for families to agree with previous
studies26,42,45,46,52) or a collaborative process where the
family made the final decision. Reports of less collabora-
tive decision-making were more common in paediatric set-
tings and were found mostly by observational studies35,42
and those interviewing family members.44–46 Healthcare
professionals rarely described non-collaborative decision-
making, but in two healthcare professional interview stud-
ies, some described taking responsibility for decisions to
relieve burden for families.26,52 While this could be helpful
when families felt unable to make decisions, it could cause
interactional difficulties. Where healthcare professionals
presented recommendations, family members often pas-
sively agreed, without always receiving clear information
about the reason for the decision. At other times, family
members objected to the decision. One conversation ana-
lytic study42 described how giving recommendations made
it difficult for families to ask questions as they came across
as challenging the medical team’s opinion. However, there
was evidence of families actively involving themselves in
these conversations by asking questions and expressing
preferences.32,35,39,42,45 decisions and the interactional work accomplished by
both parties following decisions. Papers identified com-
municative practices from healthcare professionals and
family members and the roles different healthcare profes-
sionals played in communication. The synthesis identified
seven key themes to describe this communication: high-
lighting deterioration, involvement in decision-making,
post-decision interactional work, tailoring, honesty and
clarity, specific techniques for information delivery and
roles of different healthcare professionals. Supplementary
Table 5 provides extracts from original papers demon-
strating these themes. Involvement in decision-making Varied levels of family involvement in patient care deci-
sions were identified, particularly relating to withdrawal
of treatment. The reported styles of involvement can
be divided into presenting the medical team’s decision
(either as what has already been decided35,44–46 or Honesty and clarity One of the most varied findings was healthcare profes-
sionals’ honesty and clarity. Healthcare professionals
described the need to use direct, simple language to pro-
mote understanding.26,50,56 However, while some families
agreed straightforward information was given,47 others
described not understanding information due to techni-
cal or ambiguous language.44,45,48 In observational stud-
ies, healthcare professionals’ language varied in its level
of directness.30,31,33,40,42,48 In interviews, they highlighted
the difficult balance between being honest and allowing
families hope, mostly emphasizing the need to avoid
false hope and be honest to build trust with fami-
lies.49,50,52,54,56 However, nurses reported that doctors
sometimes felt the need to ‘try everything’ and this could
lead to false hope for families and unnecessary, aggres-
sive treatments for patients.52 In line with this, several
families reported feeling they had been given false hope
because of a lack of honest communication.44,45,47,48,58 In
one interview study, some relatives realized when look-
ing back that healthcare professionals had tried to inform
them their relative was dying, but said that they had not
fully understood at the time,58 suggesting possible ambi-
guity on the part of the healthcare professional. Others
felt healthcare professionals had been ‘blunt’ or ‘cold’ in
their communication.45,47,48,58 One of the most varied findings was healthcare profes-
sionals’ honesty and clarity. Post-decision interactional work Observational studies and healthcare professional inter-
views reported that healthcare professionals emphasized 936 Palliative Medicine 33(8) the continued care of the patient33,35,43,47,57,59 (described
in one study as ‘expressing non-abandonment’43), par-
ticularly following decisions to withdraw active treat-
ment. Healthcare professionals stressed they would
ensure the patient was comfortable, explained what
would happen next and reassured families they would
be available for further discussions. There were how-
ever reports from families44,58 and some observations43
of healthcare professionals failing to do this and where
it appeared to families that healthcare professional
involvement would reduce following the move to com-
fort care. the continued care of the patient33,35,43,47,57,59 (described
in one study as ‘expressing non-abandonment’43), par-
ticularly following decisions to withdraw active treat-
ment. Healthcare professionals stressed they would
ensure the patient was comfortable, explained what
would happen next and reassured families they would
be available for further discussions. There were how-
ever reports from families44,58 and some observations43
of healthcare professionals failing to do this and where
it appeared to families that healthcare professional
involvement would reduce following the move to com-
fort care. Honesty and clarity Healthcare professionals
described the need to use direct, simple language to pro-
mote understanding.26,50,56 However, while some families
agreed straightforward information was given,47 others
described not understanding information due to techni-
cal or ambiguous language.44,45,48 In observational stud-
ies, healthcare professionals’ language varied in its level
of directness.30,31,33,40,42,48 In interviews, they highlighted the difficult balance between being honest and allowing
families hope, mostly emphasizing the need to avoid
false hope and be honest to build trust with fami-
lies.49,50,52,54,56 However, nurses reported that doctors
sometimes felt the need to ‘try everything’ and this could
lead to false hope for families and unnecessary, aggres-
sive treatments for patients.52 In line with this, several
families reported feeling they had been given false hope
because of a lack of honest communication.44,45,47,48,58 In Families also displayed their commitment to their
relatives’ continued care by discussing the patient’s
comfort and emphasizing their continued presence,
often wanting to be with the patient when they die.32,35,43
Observational studies found families asked questions
about patients’ consciousness and awareness, the dying
process and what to expect.31–33,37 Healthcare profes-
sionals were generally forthcoming with this informa-
tion,31–33,47,52,53,59 but there were some reports from
observational studies where details about the dying pro-
cess from healthcare professionals were lacking.33,58
Only two articles (from the same observational study)
described how healthcare professionals responded to
families’ displays of emotions, finding such displays were
rarely explored in depth.34,37 one interview study, some relatives realized when look-
ing back that healthcare professionals had tried to inform
them their relative was dying, but said that they had not
fully understood at the time,58 suggesting possible ambi-
guity on the part of the healthcare professional. Others
felt healthcare professionals had been ‘blunt’ or ‘cold’ in
their communication.45,47,48,58 Observational studies and one study interviewing
nurses reported both healthcare professionals and fami-
lies justified decisions to withdraw life-sustaining treat-
ments as ‘right’.31–33,38,43,55 They repeated medical
justifications for the decision and referred to patients’
wishes. Healthcare professionals often referenced their
medical knowledge and experience32,33 and stressed they
were allowing the patient to die, not having an active role
in the death.38,43 Specific techniques for information delivery Various communicative techniques used by healthcare
professionals were reported in observational studies and
interviews with healthcare professionals, but not inter-
views with families. Repetition was used both within con-
versations and across several conversations to ensure
families’ understanding.32,33,35,50,53 Healthcare profession-
als repeated information or asked relatives to summarize
what they had been told. Repetition was also used
towards the end of conversations, for example, informa-
tion about patients’ deterioration was repeated to justify
decisions to remove life-sustaining treatment later on in
conversations.32 However, in a study in older adult hospi-
tal wards, healthcare professionals acknowledged the
need to repeat information but explained they were reluc-
tant to have this conversation a second time.58 als repeated information or asked relatives to summarize
what they had been told. Repetition was also used
towards the end of conversations, for example, informa-
tion about patients’ deterioration was repeated to justify
decisions to remove life-sustaining treatment later on in
conversations.32 However, in a study in older adult hospi-
tal wards, healthcare professionals acknowledged the
need to repeat information but explained they were reluc-
tant to have this conversation a second time.58 Roles of different healthcare professionals
in communication systematic review found having awareness of the patient’s
treatment preferences reduced negative emotional
effects for surrogate decision-makers.63 Therefore, orient-
ing relatives to patient wishes may have long-term bene-
fits beyond the conversation itself. However, references to
patient wishes did not occur in paediatric end-of-life care. Healthcare professionals cannot ask parents what their
child would want or whether they have had conversations
about end-of-life decisions, particularly in neonatal set-
tings. Perhaps, as a result of not being able to refer to
patient wishes, most examples of less collaborative deci-
sion-making occurred in paediatric settings. However,
there was evidence that collaboration could be achieved
in these settings by consulting parents whenever deci-
sions were made and providing them with options and
time to make plans. Given recent high profile court cases
in the United Kingdom involving end-of-life decision-mak-
ing in paediatric end-of-life care,64,65 pressure and scrutiny
on healthcare professionals communicating difficult deci-
sions to families in these settings is particularly high. The
collaborative communicative strategies described in this
review could be valuable for these healthcare profession-
als and should be further researched and put into practice
through training. The review looked at a range of healthcare professionals
and found different communication roles for different
professions. Doctors were often seen by both healthcare
professionals and relatives as responsible for conducting
prognostic and decision-making conversations with fam-
ily members,50,56,58 although when death was imminent,
nurses sometimes had these conversations.35,58 While no
observational studies focused primarily on nurse com-
munication, in interviews both physicians and nurses rec-
ognized the importance of nurses communicating with
families on a more personal, individualized level.33,35,49–
51,54,55 Nurses often reported translating what doctors
had said into less technical language.49,54,55,58 Nurses
highlighted their role in giving patients a clearer idea of
what treatments would mean for the individual patient
and bringing together information from different
sources.46,49,54,55 This role was termed providing ‘the big
picture’ in one study.54 Nurses also reported encouraging
physicians to have discussions with families.49,52,55 These
roles of nurses were mostly identified in observational
studies and those interviewing healthcare professionals,
but in one study families also reported that nurses made
things easier to understand.44 Other allied health profes-
sionals, particularly social workers, were identified as
playing important roles in communication with rela-
tives,53,59 but included studies focused primarily on doc-
tors and nurses. Tailoring Healthcare professionals reported and were observed
to tailor their communication to individual fami-
lies.33,36,38,50–53,55,57,59 Healthcare professionals gauged
levels of understanding and willingness to discuss dying
through questions and observing verbal and non-verbal
cues from families.38,50,55,57,59 The content, delivery and
timing of communication was tailored to families’ pre-
vious experiences of death, levels of understanding,
desire for information and the patient’s current symp-
toms.36,38,51–53,55,59 Healthcare professionals were also
observed to take into account different cultural and
religious backgrounds of families.33 Some healthcare
professionals reported identifying a spokesperson for
each family to ensure information was effectively com-
municated to the whole family at a level of detail with
which individuals were comfortable.50,51 Pacing and staging of information were identified as
other communicative strategies.26,33,50,51,53,55–57 This included allowing time for information to be taken in within a conver-
sation, giving smaller chunks of information across several
conversations when the family was ready to hear it, or
delaying giving information until appropriate support could
be provided to families. healthcare professionals also
described postponing decisions to allow parents time to see
for themselves their child was dying.52,56 Staging was not
always possible however, especially if the patient had a sud-
den deterioration necessitating a timely conversation.53 937 Anderson et al. Roles of different healthcare professionals
in communication Other common communicative practices identified,
including repetition, pacing and staging, and highlight-
ing continuing care are in line with relative’s prefer-
ences for receiving detailed information and time to
understand this.16–20 Healthcare professionals also rec-
ognized the need for simple, direct language and hon-
esty, which have been identified as key relative
preferences16–20 and recommended in guidelines.14,15
However, there was evidence of a struggle to balance
honesty and hope. This finding demonstrates that while
guidelines are a useful start, training on how to imple-
ment them in practice is vital to improve communica-
tion. Healthcare professionals have reported emotional
support needs relating to end-of-life communication, so
any intervention should also consider implementing
organizational changes to allow reflective practice in a
supportive environment.66 Contributions of different qualitative
approaches Observational studies, those focusing on healthcare pro-
fessional perspectives and those exploring relatives’ per-
spectives, all provided valuable findings. However, each
approach had strengths and weaknesses in addressing the
article’s aim. Interviews with family members contributed
more towards understanding the content of conversa-
tions than how communication was actually accom-
plished. This is unsurprising as relatives are less likely to
have considered their communicative practices than
healthcare professionals who regularly have these con-
versations. In comparison, healthcare professionals had
insights into how they communicate in this context and
provided information about communication beyond a sin-
gle conversation (e.g. spacing information over several
conversations). Different healthcare professionals also
had insight into each other’s practice, for example, nurses
highlighted that doctors sometimes gave families false
hope. However, there may be communicative behaviours
healthcare professionals are not conscious of. Interviews
are also limited by participants’ ability to accurately
remember these conversations and recollections are sub-
ject to their own interpretations. The review process also has a number of limitations. The search strategy only included English language arti-
cles for resource reasons. As a result, 29 of 31 included
articles were from Northern European or English-speaking
countries, with 19 from the United States alone. Cultural
differences in communication practices are likely and so
findings from this review may not be generalizable to
other cultures. The review was limited to qualitative studies to gain
in-depth insights into how people communicate not
accessible through quantitative methods such as surveys. However, qualitative findings are subject to researchers’
interpretations, both in the original studies and during
the synthesis. We have aimed to increase rigour in this
review through multiple team members independently
assessing quality, team discussions during data extraction
and synthesis and by reporting our synthesis process
transparently. The search strategy took a broad approach, including
studies from a range of patient populations, places of care
and methodological approaches. This approach was taken
because the review was exploratory and initial scoping of
the literature found practices and experiences that
applied across different settings. We have highlighted
some of the differences between these settings and
approaches, but a narrower search strategy would have
allowed a more in-depth view of individual settings. Observational studies show what actually happened
with the most accuracy, particularly those using audio- or
video-recording. Key findings and implications This review has focused on the content and communica-
tive practices in end-of-life conversations about prognosis
and care between healthcare professionals and relatives. We have identified common practices reported in the
qualitative literature and variation in these practices
within and across studies. Healthcare professionals used problem listing, includ-
ing eliciting relatives’ perspectives, to highlight patients’
deterioration. NICE guidelines14 and Bernacki and
Block’s15 review both suggest prognostic disclosure and
exploring patients’ understanding are important ele-
ments to be addressed by healthcare professionals. It fol-
lows that the same should apply when communicating
with relatives. The practice of highlighting deterioration
is a collaborative communication strategy that could be
used by other healthcare professionals to meet these
recommendations. Further recommendations from Bernacki and Block’s15
review include focusing on quality of life and assessing
what trade-offs are acceptable to patients when making
treatment decisions. The review identified nurses as key
to facilitating this individualized decision-making. Doctors
were responsible for prognostication and decision-mak-
ing, while nurses helped families understand their options
in the context of individual patients’ lives. A recognition of
this important role of nurses is needed, and involving
them more formally in decision-making may help pro-
mote shared decision-making in line with recommenda-
tions. While there was little focus on acknowledging
spiritual needs in the included articles, relatives have
highlighted this as important18,19 and the nurse role in The involvement of relatives within the decision-mak-
ing process was varied. Invoking patient wishes was often
used for collaborative decision-making. A previous 938 Palliative Medicine 33(8) individualized care could put them in a good position to
address these needs. into the influence of the researchers on the findings. Without stating the study’s philosophical perspective or
the potential impact of researchers, it is difficult to know
how the research team’s characteristics may have influ-
enced data collection and analysis. In addition, not all
studies reported numbers or demographics for individ-
ual healthcare professionals or family members, making
it difficult to understand who was involved in these
conversations. Future research The majority of studies in this review were in acute care
settings. It was not possible to compare the findings from
acute settings with palliative care, as there were only
three palliative care papers, all in different settings (adult
inpatient, adult home hospice and paediatric consulta-
tions). However, we can speculate that there are likely to
be differences between these settings. The papers in
acute settings mostly focused on medical decision-mak-
ing, particularly withdrawing life-sustaining treatments. In
palliative care, these conversations are likely to take place
earlier in the disease trajectory and with the patients
themselves. By the point of end-of-life care, decision-
making conversations will therefore be less common. Family members may have more realistic expectations,
particularly in a hospice setting, as hospice inpatient
wards generally only admit patients with terminal or life Contributions of different qualitative
approaches However, there are limits to what obser-
vations can tell us, for example, these studies could not
assess whether clinicians were providing honest informa-
tion or giving false hope. These studies are also unlikely to
observe every conversation a healthcare professional has
with relatives and therefore can only capture a snapshot
of this communication. These different approaches revealed differing perspec-
tives on the same experiences. For example, healthcare
professionals often described giving detailed information
clearly and honestly, but this was not always seen in
observations or reported by families. Any clinician training
should therefore help healthcare professionals recognize
when families have not understood them and avoid
assumptions of existing knowledge. Each qualitative
approach provides its own benefits and should be com-
bined to get a fuller picture of how communication with
relatives is accomplished at the end-of-life and inform
effective training. Limitations of primary studies and
systematic review The main limitations of included articles identified
through quality appraisal were related to a lack of insight 939 Anderson et al. strategies to improve understanding and collaborative
decision-making in their practice. limiting conditions and do not provide curative treatment. Healthcare professionals in palliative care settings may
also have more experience of end-of-life communication
and more time with families. This is reflected in higher
satisfaction and lower unmet needs of families in hospice
compared with hospital settings.67 Further palliative care
research is therefore needed, particularly in hospices at
the very end-of-life when patients are likely to have
reduced capacity and so conversations will primarily be
taking place with relatives. The experience and expertise
of hospice clinicians could provide communication strate-
gies that could be applied in other settings. Funding The author(s) disclosed receipt of the following financial support
for the research, authorship, and/or publication of this article:
This systematic review was carried out as part of a PhD funded
by the Marie Curie Chair in Palliative and End of Life Care grant
(grant MCCC-FCH-13-U). PS and RA’s posts are supported by the
Marie Curie Chair in Palliative and End of Life Care grant funding;
JL’s post is supported by the Marie Curie core and programme
grant funding (grants MCCC-FCO-16-U and MCCC-FPO-16-U). The funder played no role in the collection, analysis and inter-
pretation of data, in the writing of the report or in the decision
to submit the article for publication. Conclusion Healthcare professionals use a range of practices that
could aid effective communication with relatives at the
end-of-life. Key strategies include highlighting the
patient’s deterioration to aid understanding and deci-
sion-making, collaborative decision-making through ref-
erences to patient wishes and providing options,
highlighting continuing care by explaining comfort care,
tailoring information to individual understanding and
readiness to discuss dying; honesty and clarity to avoid
false hope and providing information repeatedly and in
small chunks. This systematic review calls for further
research to identify the effectiveness of different com-
municative strategies. This research should be used to
develop training for healthcare professionals to help
them understand relatives’ perspectives and implement Acknowledgements The authors would like to acknowledge Marie Curie for provid-
ing funding for the UCL Marie Curie Palliative Care Research
Department. P.S., M.A. and J.L. are supported by the University
College Hospital National Institute for Health Research
Biomedical Research Centre. The authors are grateful to the
librarians at the University College London Language & Speech
Science Library for their help in developing the search strategy
and to Bridget Candy for methodological advice. Interviews and focus groups with nurses provided
insights into their roles and communicative strategies. However, no observational studies focused primarily on
nurses. This may be due to these conversations being more
spontaneous than those held by doctors, and therefore
more difficult to capture in a research project. Observational
research focused on nurses could provide practice recom-
mendations for all healthcare professionals. Research into
the communication of allied healthcare professionals such
as social workers is also needed to develop a fuller picture
of communication with relatives at the end-of-life. Declaration of conflicting interests The author(s) declared no potential conflicts of interest with
respect to the research, authorship, and/or publication of this
article. Data sharing and management More focus on how relatives communicate in these
conversations is needed. While there were some refer-
ences to how relatives communicated, the primary focus
of existing literature is healthcare professionals’ communi-
cation. Future research should identify how relatives com-
municate their perspectives, ask questions and respond to
different healthcare professional communication prac-
tices. This would provide evidence for which strategies are
effective and help healthcare professionals recognize how
families might express things such as a desire for further
information. This evidence could also be used in interven-
tions to empower families to express their perspectives
and ask questions to elicit the information they want and
need, for example, using question prompt lists.68 The full search strategy, inclusion/exclusion criteria, quality
appraisal results and example extracts demonstrating the
review’s themes are available in the Supplementary material. This review is registered on the PROSPERO database (registra-
tion number CRD42017065560). Author Contributions R.A., S.B., P.S. and J.L. were responsible for the study con-
cept and design; R.A., M.A. and J.L. were responsible for
the acquisition, analysis and interpretation of the data. R.A. drafted the article; S.B., M.A., P.S. and J.L. revised it
critically for important intellectual content. All authors
approved the version to be published and have partici-
pated sufficiently in the work to take public responsibility
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Modeling the Influences on Sustainable Attitudes of Students Towards Environmental Challenges: A Partial Least Squares- Structural Equation Modelling Approach
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Opportunities and challenges in sustainability
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Opportunities and Challenges in Sustainability
https://www.acadlore.com/journals/OCS Opportunities and Challenges in Sustainability
https://www.acadlore.com/journals/OCS https://www.acadlore.com/journals/OCS Abstract: To assess sustainable attitudes towards environmental issues, understanding the most impactful
variables amongst sub-dimensions of attitudes proves critical. In this research, the subdimensions of attitudes of
students towards environmental challenges were modelled. An online Likert-scale questionnaire, spanning from 1 variables amongst sub-dimensions of attitudes proves critical. In this research, the subdimensions of attitudes of
students towards environmental challenges were modelled. An online Likert-scale questionnaire, spanning from 1
'Strongly Disagree' to 5 'Strongly Agree', was administered to 380 high school and associate degree students in
Afyonkarahisar city center between 15 September and 15 November 2022. The questionnaire aimed to gauge the
students' attitudes using the Affective, Cognitive, and Behavioural sub-dimensions. Results revealed a statistically
significant effect coefficient of 0.557 between the cognitive and affective attitudes. In a similar vein, the cognitive
attitude's impact on behavioural attitude was found to be statistically significant with an effect coefficient of 0.534. However, a coefficient of 0.017 between affective and behavioural attitudes demonstrated no statistically
significant mediator effect. Contrary to the initial hypotheses surrounding the mediator effect of affective attitude
on behavioural attitude, the findings indicate that cognitive and affective attitudes independently influence
behavioural attitude. Within the cognitive dimension, the awareness of the escalating environmental problems
emerged as a paramount item. It is implied that for fostering sustainable environmental behaviour, the cognitive
dimension plays a pivotal role. Keywords: Sustainable attitude; Environmental challenges; Environmental sensitivity; Environmental behaviour;
Partial Least Squares-Structural Equation Modelling (PLS-SEM); Statistical modelling Sinan Saraçlı1*
, Berkalp Tunca2
, İsa Gül3
, Erkan Arı4
, Bilge Villi5
, Buket İpek Berk6
,
İhsan Berk6
, Gratiela Dana Boca7 1 Department of Biostatistics, Balikesir University, 10145 Balikesir, Turkey 2 Department of Statistics, Eskisehir Osmangazi University, 26040 Eskisehir, Turkey 3 Department of Health Management, Afyonkarahisar Health Sciences University,
03030 Afyonkarahisar, Turkey 4 Department of Econometrics, Dumlupinar University, 43100 Kutahya, Turkey
5 p
p
y
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Department of Management and Organization, Balikesir University, 10145 Balikesir, Turkey
Department of Biostatistics Sanko University 27090 Gaziantep Turkey 5 Department of Management and Organization, Balikesir University, 10145 Balikesir, Turkey
6 6 Department of Biostatistics, Sanko University, 27090 Gaziantep, Turkey
7 D
f E
i
T
h i
l U i
i
f Cl j N
430122 B 7 Department of Economics, Technical University of Cluj Napoca, 430122 Baia Mare, Roman * Correspondence: Sinan Saraçlı (ssaracli@balikesir.edu.tr) Modeling the Influences on Sustainable Attitudes of Students
Towards Environmental Challenges: A Partial Least Squares-
Structural Equation Modelling Approach Sinan Saraçlı1*
, Berkalp Tunca2
, İsa Gül3
, Erkan Arı4
, Bilge Villi5
, Buket İpek Berk6
,
İhsan Berk6
, Gratiela Dana Boca7 Received: 07-21-2023 Citation: Saraçlı, S., Tunca, B., Gül, I., Arı, E., Villi, B., Berk, B. I., Berk, I., & Boca, G. D. (2023). Modeling
the influences on sustainable attitudes of students towards environmental challenges: A partial least squares-
structural
equation
modelling
approach. Oppor
Chall. Sustain.,
2(3),
161-171. https://doi.org/10.56578/ocs020305. © 2023 by the author(s). Published by Acadlore Publishing Services Limited, Hong Kong. This article is available for fr
download and can be reused and cited, provided that the original published version is credited, under the CC BY 4.0 licen 1. Introduction Over recent years, heightened awareness has been generated concerning the severe threats environmental
challenges pose to urban regions. Among these looming threats are issues jeopardising the longevity of pivotal
environmental resources such as nature reserves, open spaces, floodplains, water assets, and natural parks. From
these environmental predicaments, outcomes such as intensified heat waves, droughts, augmented flooding, and
heavier precipitation have been reported, potentially exacerbated by rapid urbanisation and shifting climatic
conditions. Concurrently, threats to urban zones and their infrastructural integrity have been identified. Notably,
escalating pressures on public domains, rising structural degradation risks under the guise of natural area
developments, compromised water buffer systems, and amplifying demands for emergency response and https://doi.org/10.56578/ocs020305 161 associated services have been highlighted (Cobbinah et al., 2017; Korah & Cobbinah, 2016; Mpofu, 2013;
Quagraine, 2011; WHO, 2013). g
Sustainable development, a cornerstone in addressing environmental dilemmas, has been established as one of
the EU's core strategies (News Waste Recycling European Environment Agency, 2023). It has been documented
that nearly a third of Europe's plastic waste undergoes recycling. Additionally, a sharp rise in global plastic
production has been recorded, surging from 1.5 million tons in 1950 to a staggering 359 million tons in 2018
(Actualitate Parlamentul European, 2023; Boca & Saraçli, 2023). Efforts to curtail environmental degradation have been primarily achieved by emphasising environmental
advantages throughout consumption processes. The act of procuring recyclable or ecologically benign products
from environmentally considerate companies is often perceived as an emblem of positive environmental behaviour
(Saraçlı et al., 2014). The term "sustainable development", although conceptually beneficial, presents global challenges. Recent
dominant economic growth paradigms globally have been discerned as catalysing tensions concerning
environmental preservation. A heightened conflict between sustainable development goals (SDGs) and economic
growth has been observed, primarily driven by excessive energy and material consumption leading to augmented
emissions. An emergent objective in this discourse has been to enrich educational curricula with sustainable
development principles, fostering avenues for individuals to champion sustainability (Saraçlı, S. & Boca, 2021). p
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)
A comprehensive understanding of environmental behaviour mandates consideration of both the costs and
benefits of environmental actions, alongside prevailing attitudes towards the environment (Deacon & Shapiro,
1975; Kahn & Matsusaka, 1997; Kahn, 2002; Sciarini et al., 2007). Investigations into the nexus between
environmental attitudes and consequent actions have been voluminous, predominantly underpinned by focused
case studies. 1. Introduction It has been posited by studies such as those of Kahn (2002) and Baldassare & Katz (1992) that
environmental matters deeply influence consumer decisions, as seen in choices like opting for hybrid vehicles,
utilising public transport, or curtailing gasoline consumption. Furthermore, these issues also shape specific
environmental practices like recycling and water conservation. p
y
g
In a geographically specific study, Vaske & Donnelly (1999) revealed, through mapping voting predilections
regarding wildlife conservation in Colorado, USA, that value orientations were profoundly influenced by
prevailing attitudes, which in turn steered behavioural intentions. Interestingly, findings from Butler & Francis
(1997) indicated that environmental attitudes even permeate areas as distinct as women's clothing purchase
decisions. This connection between environmental attitudes and a myriad of environmental behaviours has been
substantiated across various nations and demographic subsets (Blake, 2001; Casaló & Escario, 2018; Cottrell,
2003; Holbert et al., 2003; Levine & Strube, 2012; Scott & Willits, 1994). Political voting has been interpreted by
some as a manifestation of environmental action. In this vein, electorates have been observed to favour political
factions proposing environmental resolutions in locales as diverse as California, Colorado, New Jersey, Belgium,
New Zealand, Australia, Germany, and others (Boonen et al., 2014; Edwards & Lomax, 2012; Gauja & Jackson,
2016; Gill et al., 1986; Papp, 2022; Rüdig, 2012; Rudman et al., 2013). Although a direct correlation between environmental knowledge and environmental education has not been
consistently affirmed, it has been observed that alterations in environmental decision-making processes can occur
(Hungerford & Volk, 1990). In this discourse, it has been proposed that environmental behaviours might be shaped
by an amalgamation of behaviour, attitude, and knowledge. Further, evidence suggests that refining these
behaviours necessitates modifications in educational paradigms (Heimlich & Ardoin, 2008; Hines et al., 1987). Yet, gauging the interplay between behaviour, attitude, and knowledge has been acknowledged as challenging
(Cincera, 2019). As a result, certain inquiries have exclusively probed the interrelation between environmental
attitudes and behaviours (Hungerford & Volk, 1990). Another dimension to this discourse is the influence of
"culture" on environmental outlooks. Pioneers in the cultural domain such as Bogner (2002), Buttefield (1965),
Giddens (2012), and Stern (2000) have underscored that, within a societal milieu, the impact of cultural nuances
on environmental behaviours and attitudes cannot be sidelined (Saraçlı & Boca, 2021). 2. Methodology In assessing the attitudes of students, demarcated by the Affective, Cognitive, and Behavioural subdimensions,
a Likert-scale online questionnaire was employed. The scale ranged from 1, representing 'Totally Disagree', to 5,
signifying 'Totally Agree'. This questionnaire was administered to a cohort of 380 high school and associate degree
students, selected through a random sampling technique, in the city centre of Afyonkarahisar from 15 September
to 15 November 2022. For the formulation of the questionnaire, the attitude scale towards environmental problems delineated by Kılıç
& Kan (2020) was utilised. A noteworthy proportion of these questionnaires was returned incomplete; thus,
subsequent analyses were conducted based on the 298 adequately completed ones. The study, in alignment with
the Declaration of Helsinki, was sanctioned by the Ethics Committee of Afyon Kocatepe University (Date:
21/06/2022, No: 2022/18). Informed consent was procured from all participating subjects. The data accrued for this study were subjected to various analytical techniques, including descriptive statistics,
factor analysis, validity and reliability analysis, and PLS-SEM. Analyses were executed utilising the SPSS and
SmartPLS software tools. Though the selection of an optimal statistical technique for particular data sets poses
challenges for many researchers, it is imperative to align with the research problem and hypotheses at hand. Given
the objectives of this study and its associated hypotheses, SEM was discerned as the singularly apt statistical
technique for modelling inter-dimensional relationships and pinpointing influential elements within each
dimension, accompanied by their coefficients. SPSS, a widely recognised statistical software, rendered detailed
results for both descriptive statistics and Explanatory Factor Analysis, while SmartPLS provided the requisite
modelling and coefficient findings, thus elucidating the statistical interpretations. SEM stands as a rigorous statistical methodology, integral for validating hypotheses regarding causal links
between both observed and unobserved (latent) variables. This approach has proven invaluable for addressing
complexities inherent to theoretical construction (Reisinger & Turner, 1999; Saraçlı & Ulucan, 2021). Within the realms of economics and social sciences, SEM is ubiquitously employed, principally owing to its
capability to model latent variables, accommodate diverse forms of measurement errors, and empirically test
holistic theories. Two primary methods delineate the SEM spectrum: covariance-based SEM and variance-based
SEM. Covariance-based SEM, which employs an empirical variance-covariance matrix for model parameter
estimation, is traditionally selected when the model is presumed to encompass one or more common factors. Conversely, variance-based SEM initially formulates proxies as linear combinations of observed variables,
subsequently leveraging these proxies for model parameter estimation. 1. Introduction The imperative of accentuating the roles of environmental educators and the encompassing realm of
environmental education emerges from the need to mitigate, and ideally nullify, the adverse anthropogenic impacts
on the environment. A foundational goal of environmental education is the inculcation of apt behaviours and
actions, orchestrated towards the resolution of environmental quandaries and the amplification of environmental
cognizance (Milton et al., 1995). Disconcertingly, it has been elucidated that prevailing traditional methodologies
do not adequately bolster the environmental consciousness of individuals nor effectively address the mitigation of
environmental issues (Artun & Okur, 2015; Çimen & Yılmaz, 2014; D'Amato & Krasny, 2011; Feinstein, 2004;
Uyanık, 2016; Wynveen et al., 2011). y
y
In response to these findings, contemporary approaches to environmental education have been fervently
explored. Novel learning paradigms are continuously being conceptualised and incorporated, with a focus on
augmenting environmental knowledge and positively refining attitudes and behaviours directed towards the
environment. Generally, the overarching intent of environmental education is not merely to endow students with
knowledge and skills, but also to imbue them with awareness and to capacitate them in actively partaking in 162 environmental preservation endeavours. It has been postulated by Atasoy (2006) that the pursuit of environmental
education is the positive transformation of individual attitudes and behaviours. Within the spectrum of adult
education, the gravitas of creating or attributing meaning is paramount. It is through self-reflection and critical
analysis that actions are cultivated within the societal matrix, thereby deriving significance from experiential
episodes (Mezirow, 1994). Attempts have been made to discern the impact of environmental knowledge upon
environmental behaviours. An emergent consensus among researchers indicates that unsustainable behaviours
often stem from a dearth of environmental knowledge coupled with a disregard for the ramifications of one's
actions (Sakçı & Uyanık, 2023; Williamson & Lynch‐Wood, 2001). In light of the extant environmental challenges and the environment's responses, especially within the ambit of
the research question-"Affective and Cognitive Attitudes effects Behavioral Attitude"-this study is poised to
architect a model detailing the multifaceted attitudes of high school and associate degree students vis-à-vis
environmental issues, offering a nuanced perspective. 2. Methodology Such a method is apt when the model is
surmised to integrate composite constructs (Gul et al., 2023; Henseler et al., 2016). Among the myriad techniques within variance-based SEM, the PLS path model is heralded as the most intricate
and adaptive (Hair et al., 2011a; McDonald, 1996). The adoption of PLS analysis has proliferated across disciplines,
evidenced in areas such as information systems research, strategic management, and marketing (Hair et al., 2012;
Hair et al., 2011b; Marcoulides & Saunders, 2006). Due to its adeptness at modelling constructs, especially in
behavioural research, PLS effectively delineates relationships amidst latent variables and potent concepts (Höök
& Löwgren, 2012). Such proficiency has positioned PLS analysis as a preeminent tool for modelling intricate
factor relationships and assessing their significance (Albers, 2009; Henseler et al., 2016). p
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In the present study, inspiration was drawn from Gul et al. (2023) in formulating the model depicted in Figure
1. The ensuing hypotheses pertain to the model portrayed in Figure 1: H1: Cognitive Attitude influences Behavioural Attitude. H2: Cognitive Attitude impacts Affective Attitude. H3: Affective Attitude influences Behavioural Attitude. H3: Affective Attitude influences Behavioural Attitude. H4: A mediating effect is observed in Affective Attitude on the influence of Cognitive Attitude on Behavioural
Attitude. 163 Figure 1. Research model
3. Results
3.1 Descriptive Analysis
Demographic characteristics of the participants were collated, with the variables of gender, age, education level,
and parental education levels detailed in Table 1. Figure 1. Research model Figure 1. Research model 3.1 Descriptive Analysis graphic characteristics of the participants were collated, with the variables of gender, age, education level,
ntal education levels detailed in Table 1. Demographic characteristics of the participants were collated, with the variables of gender, age, education level,
and parental education levels detailed in Table 1. Demographic characteristics of the participants were collated, with the variables of gender, age, education level,
and parental education levels detailed in Table 1. Table 1. Detailed demographic profile of participants
Variable
Level
f (Frequency)
% (Percentage)
Gender
Female
191
64.1
Male
107
35.9
Education level
High School
116
38.9
Associate degree
182
61.1
Father education level
No formal education
13
4.4
Primary School
123
41.3
Middle School
41
13.8
High School
68
22.8
Associate degree
49
16.4
Mother education level
No formal education
61
20.5
Primary School
164
55.0
Middle School
19
6.4
High School
33
11.1
Associate degree
20
6.7
For gender, females were found to represent 64.1% of the sample while males accounted for 35.9%. In the Table 1. Detailed demographic profile of participants For gender, females were found to represent 64.1% of the sample while males accounted for 35.9%. In the
context of educational attainment, 38.9% of the participants had completed high school, and 61.1% had achieved
an associate degree. For gender, females were found to represent 64.1% of the sample while males accounted for 35.9%. In the
context of educational attainment, 38.9% of the participants had completed high school, and 61.1% had achieved
an associate degree. g
A scrutiny of the fathers' educational backgrounds revealed that 4.4% had no formal education, 41.3% had
completed primary education, 13.8% had concluded middle school, 22.8% were high school graduates, and 16.4%
possessed an associate degree. In comparison, for the mothers, 20.5% had no formal education, 55.0% were
primary school graduates, 6.4% had finished middle school, 11.1% had concluded high school, and 6.7% had an
associate degree. The mean age of the participants was recorded at 38.53 years. g
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2 provides an exhaustive breakdown of the factors under investigation. Table 2 provides an exhaustive breakdown of the factors under investigation. Table 2. Detailed analysis of study factors
Variable
n
Min. Max. Mean
Std. Deviation
Affective Dimension
298
1
5
1.38
0.57
Behavioral Dimension
298
1
5
1.95
0.61
Cognitive Dimension
298
1
5
1.39
0.48 Table 2. 3.1 Descriptive Analysis Detailed analysis of study factors 164 The findings related to the affective, behavioural, and cognitive dimensions were summarised from an analysis
of 298 participants. For the Affective Dimension, scores ranged from a minimum of 1 to a maximum of 5, with an
average score of 1.38 and a standard deviation of 0.57. The Behavioral Dimension scores also ranged from 1 to 5,
presenting an average of 1.95 and a standard deviation of 0.61. Lastly, the Cognitive Dimension displayed scores
between 1 and 5, with a mean value of 1.39 and a standard deviation of 0.48. 3.2 Validity and Reliability of the Model To establish convergent validity within the PLS model, three criteria were outlined. Firstly, it is imperative for
the standard factor loading of latent variables to exceed 0.5 and to be statistically significant. Secondly, both
Composite Reliability (CR) and Cronbach's Alpha (CA) values for each construct should surpass 0.7. Lastly, the
Average Variance Explained (AVE) must be greater than 0.5 (Fornell & Larcker, 1981; Hair et al., 1998). Details
on the factor loadings, CA, CR, and AVE for the affective, behavioural, and cognitive dimensions are provided in
Table 3. Table 3. Metrics for convergent validity: Factor loadings, CA, CR and AVE values
Item/Dimension
Factor
Loadings
CΑ
CR
AVE
Affective Dimension
A1. Disposing waste materials into the environment does not upset me. 0.817
0.832
0.878
0.547
A2. Increasing environmental problems does not disturb me. 0.766
A3. The thought that toxic substances thrown into the environment affect all
living things does not scare me. 0.827
A4. Not being able to prevent environmental problems does not upset me. 0.556
A5. Thinking that we cannot leave a clean environment to future generations
does not worry me. 0.718
A6. Environmental problems do not affect my health. 0.501
Behavioral Dimension
B1. I talk to my friends about what can be done to reduce environmental damage. 0.702
0.793
0.857
0.546
B2. Burnt gases from car exhausts pollute the atmosphere and make me angry. 0.626
B3. I ask questions around me to find out what causes air pollution. 0.813
B4. I do research on how to solve environmental problems. 0.736
B5. I would like to work voluntarily in activities for the protection of the
environment. 0.654
Cognitive Dimension
C1. I am aware that environmental problems harm all living things. 0.676
0.859
0.891
0.505
C2. I believe that we should live in harmony with our environment. 0.696
C3. I am worried about the thought that people will suffer the consequences of
increasing environmental problems caused by humans. 0.583
C4. I am aware that environmental problems are getting bigger. 0.710
C5. I am aware that environmental problems reduce the quality of life. 0.732
C6. In order to solve environmental problems, I first keep my own environment
clean. 0.600
C7. I feel sad when environmental problems harm living creatures and nature. 0.567
C8. Increasing deaths of living things due to environmental problems worries
me. 0.667 Table 3. 3.2 Validity and Reliability of the Model Metrics for convergent validity: Factor loadings, CA, CR and AVE values Upon inspection of Table 3, CR values ranged from 0.793 to 0.859. The AVE values were found to be bracketed
between 0.505 and 0.547, signifying adherence to the stipulated criteria. The discriminant validity of the measurement model was gauged using the Fornell-Larcker criterion. This
validity assessment requires the square root of the AVE for each construct to be juxtaposed against inter-construct
correlations. A model demonstrates satisfactory discriminant validity when the square root values of AVE surpass
their respective correlations (Fornell & Larcker, 1981). The related values are encapsulated in Table 4. Table 4. Discriminant validity assessment using the Fornell-Larcker criterion Table 4. Discriminant validity assessment using the Fornell-Larcker criterion Affective Dimension
Behavioral Dimension
Cognitive Dimension
Affective Dimension
0.740
Behavioral Dimension
0.315
0.739
Cognitive Dimension
0.557
0.544
0.710 165 In the Fornell-Larcker criterion table, diagonal values indicate the square root of the AVE for each construct,
while off-diagonal values depict correlation coefficients between constructs. The model's discriminant validity is
deemed established, as the square root of the AVE consistently exceeds the correlation coefficients between
constructs. An alternative approach, the HTMT criterion, which represents the geometric mean of factor correlations, was
also employed. This criterion has been identified as potent for values not exceeding 0.90 (Hair et al., 2017). The
associated findings are articulated in Table 5. Table 5. Discriminant validity evaluation using the HTMT criterion Table 5. Discriminant validity evaluation using the HTMT criterion
Affective Dimension
Behavioral Dimension
Cognitive Dimension
Affective Dimension
Behavioral Dimension
0.380
Cognitive Dimension
0.650
0.645
Given that the HTMT values in Table 5 oscillate between 0.380 and 0.650, remaining under the critical threshold
of 0.9, the model's discriminant validity is affirmed in line with the HTMT criterion. Table 5. Discriminant validity evaluation using the HTMT criterion
Affective Dimension
Behavioral Dimension
Cognitive Dimension
Affective Dimension
Behavioral Dimension
0.380
Cognitive Dimension
0.650
0.645 Given that the HTMT values in Table 5 oscillate between 0.380 and 0.650, remaining under the critical threshold
of 0.9, the model's discriminant validity is affirmed in line with the HTMT criterion. Given that the HTMT values in Table 5 oscillate between 0.380 and 0.650, remaining under the critical threshold
of 0.9, the model's discriminant validity is affirmed in line with the HTMT criterion. 3.3 Structural Model Findings rived from the PLS path diagram analysis for the model are depicted in Figure 2. Results derived from the PLS path diagram analysis for the model are depicted in Figure 2. Results derived from the PLS path diagram analysis for the model are depicted in Figure 2. Figure 2. PLS path diagram of the model Figure 2. PLS path diagram of the model Upon assessment of the path coefficients in Figure 2, it was observed that the cognitive component influences
the affective component with a positive coefficient of 0.557. Similarly, the cognitive component's impact on the
behavioural component is noted with a positive coefficient of 0.534, while the affective component's influence on
the behavioural component is indicated by a positive coefficient of 0.017. Parameter estimates, along with the t
statistics of the PLS model, are detailed in Table 6. Table 6. Parameter estimates and T statistics of the PLS model
Hypothesis
Relationship
Parameters (β)
t-Statistics
p-Values
Decision
H1
Affective → Behavioral
0.017
0.266
0.790
Not Supported
H2
Cognitive → Affective
0.557
5.930
0.0001*
Supported
H3
Cognitive → Behavioral
0.534
7.820
0.0001*
Supported
*p<0.01 Table 6. Parameter estimates and T statistics of the PLS model Within Table 6, t statistics and p values significant to the model coefficients of Figure 2 are delineated. According to the data, hypothesis H1 is not supported statistically (p=0.793), whereas hypotheses H2 and H3 obtain Within Table 6, t statistics and p values significant to the model coefficients of Figure 2 are delineated. According to the data, hypothesis H1 is not supported statistically (p=0.793), whereas hypotheses H2 and H3 obtain 166 statistical validation (p=0.0001). In alignment with these results, coefficients between Cognitive → Affective
(0.557) and Cognitive → Behavioural (0.534) were deemed statistically significant. Table 7. Tabulation of effect sizes (f 2) Table 7. Tabulation of effect sizes (f 2)
Relationship
f 2 Values
Effect Size
Affective → Behavioral
0.000
Rejected
Cognitive → Affective
0.449
Accepted
Cognitive → Behavioral
0.280
Accepted Using the benchmarks set by Hair et al. (1998), effect sizes were classified as >=0.02 (low), >= 0.15 (medium),
and >= 0.35 (strong). An examination of the data from Table 7 revealed the Affective → Behavioural link had an
effect size of 0.000, thus signifying no discernible effects. Conversely, the Cognitive → Affective link exhibited
a strong effect size of 0.449. 3.3 Structural Model Findings Additionally, the Cognitive → Behavioural relationship showed a medium effect size
of 0.280, indicating a significant association between cognitive factors and behavioural outcomes. Assessment of the VIF values revealed measurements of 1.449 between affective and behavioural components,
1.000 between cognitive and affective components, and 1.449 between cognitive and behavioural components. Utilizing the threshold provided by Henseler et al. (2014), wherein a VIF value equal to or exceeding 5 suggests
multicollinearity issues, it was deduced that multicollinearity was not a concern in this model. y
y
Table 8 shows the findings regarding the indirect effects of the model given in Figure 2. Table 8. Indirect effect values within the PLS model
Relationship
Parameters
t- Statistics
p-Value
Cognitive→Affective→Behavioral
0.010
0.225
0.799 Table 8. Indirect effect values within the PLS model The indirect effects were quantified, identifying the "Cognitive -> Affective -> Behavioural" relationship with
a value of 0.010. This value insinuates that cognitive variables mildly influence affective variables, which
subsequently exert a moderate impact on behavioural outcomes. However, the lack of statistical significance in
this indirect effect (p=0.799>0.05) suggests that cognitive variables might not considerably dictate behavioural
outcomes and that affective variables might not serve as a mediator in this intricate causal network. The arrangement and timing of survey items could introduce bias into participant responses, potentially skewing
their attitudes, behaviours, and opinions. This phenomenon, termed common method bias, arises when the chosen
measurement methodology disproportionately sways research outcomes. Amongst the array of tools available to
ascertain common method bias, this study employed Harman's single factor test. Given the finding that a single
factor accounted for less than 50% of the explained variance, the research was concluded to be free from common
method bias (Podsakoff et al., 2003). 4. Discussion and Conclusion Integral to the 2030 Agenda for Sustainable Development are the SDGs, comprising 17 distinct targets and 169
specified objectives. These objectives are categorised into five main pillars, colloquially termed the "5Ps". These
pillars encompass: (i) People, which encapsulates objectives such as poverty reduction, hunger eradication,
provision of quality education, and attainment of gender parity; (ii) Planet, centred on mitigating planetary
pollution and endorsing sustainable utilisation of natural resources; (iii) Prosperity, focusing on enhancing
individual well-being and nurturing quality life; (iv) Peace, dedicated to fostering equality, fortifying legal
institutions, and staving off conflict; and (v) Partnerships, which advocate for collaborative efforts spanning
individuals to organisations to achieve the SDGs (Cassar, 2022). The present study zeroes in on the Planet
category, underscoring the imperative of fostering sustainable environmental attitudes to safeguard the Earth from
degradation. Previous research indicates that environmental knowledge, in isolation, inadequately predicts environmental
behaviour (Hungerford & Volk, 1990). Similar conclusions have been reached in other studies, asserting that mere
environmental knowledge does not profoundly influence the cultivation of environmental awareness or
environmentally-sensitive behaviours (Artun & Okur, 2015; Çimen & Yılmaz, 2014; Ramsey & Rickson, 1976). This shortfall in sustainable conduct can be attributed to a prevalent lack of environmental awareness, coupled
with a disregard for the ramifications of one's actions on the environment (Williamson & Lynch‐Wood, 2001). Research conducted on the influence of environmental knowledge on behaviour has spawned diverse outcomes. While certain studies postulate that environmental knowledge is insufficient in moulding behavioural patterns
(Hungerford & Volk, 1990; Ramsey & Rickson, 1976), others propound that multiple determinants, apart from
knowledge, shape environmentally-conscious actions (Ajzen, 1991; Hungerford & Volk, 1990; Sakçı & Uyanık,
2023). Noteworthy in this study is the finding that cognitive and affective attitudes independently and distinctly 167 influence behavioural attitudes. Such a discovery accentuates the notion that, for sustainable environmental
behaviours to flourish, an acute cognitive awareness of escalating environmental challenges is paramount. Further analyses reveal that the item A3, centred on the dangers of environmental toxins, exerts the most
pronounced effect on affective attitudes (coefficient: 0.837). In contrast, the item A4, which pertains to the distress
caused by unchecked environmental issues, wields the least influence (coefficient: 0.658). Additionally, items C4
and C7, concerning growing environmental problems and their impact on living organisms respectively, influence
cognitive attitudes the most and least (coefficients: 0.775 and 0.657). Data Availability The data used to support the research findings are available from the corresponding author upon reque 4. Discussion and Conclusion Regarding behavioural attitudes, item B3,
which delves into inquiries about air pollution sources, manifests the highest effect (coefficient: 0.758), while item
B2, focusing on vehicular pollution's environmental impact, exhibits the least (coefficient: 0.718). g
p
p
Statistical analyses highlight that cognitive attitudes significantly impact both affective (coefficient: 0.557) and
behavioural attitudes (coefficient: 0.534). However, the influence of affective attitude on behavioural attitude, with
a coefficient of 0.017, is deemed statistically insignificant, suggesting that cognitive attitude does not mediate
between affective and behavioural attitudes. This underlines the independent effects of both cognitive and affective
dimensions on behavioural outcomes. Given the study's contextual limitations-constrained to high school and associate degree students in
Afyonkarahisar-it can be cautiously inferred, bearing in mind demographic similarities, potential implications for
broader regions. It is surmised that enhancing educational levels and cultivating a deeper appreciation for
environmental preservation for succeeding generations could potentiate sustainable environmental behaviour. Concurrently, it is posited that transitioning away from fossil fuels and reinforcing measures against forest fires
are pivotal. With escalating climatic changes and global warming, it becomes increasingly urgent for both
individuals and governments to fortify preventive measures. This study underscores the imperative of
understanding the root causes of environmental pollution to facilitate these preventative actions. Author Contributions Conceptualization, SS.; methodology, S.S., B.T., G.D.B.; software, B.T., İ.G.; validation, SS., BT. and G.D.B;
formal analysis, S.S and B.T.; investigation, B.İ.B., İ.B., E.A. and B.V.; resources, GDB and İG.; data curation,
S.S.; writing-original draft preparation, SS., and BT. All authors have read and agreed to the published version of
the manuscript. Conceptualization, SS.; methodology, S.S., B.T., G.D.B.; software, B.T., İ.G.; validation, SS., BT. and G.D.B;
formal analysis, S.S and B.T.; investigation, B.İ.B., İ.B., E.A. and B.V.; resources, GDB and İG.; data curation,
S.S.; writing-original draft preparation, SS., and BT. All authors have read and agreed to the published version of
the manuscript. The authors declare no conflict of interest. The authors declare no conflict of interest. References Actualitate Parlamentul European. (2023). Plastic waste and recycling in the EU in figures. https://www.europarl.europa.eu/news/ro/headlines/society/20181212STO21610/deseurile-din-plastic-si-
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Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural Networks – Part 1
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To cite this version: Miguel Abambres, Adrián Cabello. Analytical Prediction of Steel Grid-Shell Stability and Dynamic
Behaviors Using Neural Networks - Part 1. 2020. hal-02903288 Distributed under a Creative Commons Attribution 4.0 International License Important Notes: 1. The first author has been proposing ANN-based models in former publications, in each case designed and tested
for a fairly limited amount of data (especially when empirical). Regardless the high quality of the predictions yielded
by some model for the used data, the reader should not blindly accept that model as accurate for any other
instances falling inside the input domain of the design dataset. Any analytical approximation model must undergo
extensive validation before it can be taken as reliable (the more inputs, the larger the validation process). Models
proposed until that stage are part of a learning process towards excellence. 2. If the reader can’t find any of Abambres’ papers referred as references of this work, please email the author. HAL Id: hal-02903288
https://hal.science/hal-02903288v1
Preprint submitted on 20 Jul 2020 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 Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks
Part 1 URL Analytical Prediction of Steel Grid-Shell
Stability and Dynamic Behaviors Using
Neural Networks – Part 1 a Num3ros, 1600-275 Lisbon, Portugal; amgg@mailfence.com b acg.adrian@gmail.com Abstract Artificial Intelligence is a cutting-edge technology expanding very quickly into every industry. It has
made its way into structural engineering and it has shown its benefits in predicting structural performance
as well as saving modelling and experimenting time. This paper is the first one (out of three) of a broader
research where artificial intelligence was applied to the stability and dynamic analyzes of steel grid-shells. In that study, three Artificial Neural Networks (ANN) with 8 inputs were independently designed for the
prediction of a single target variable, namely: (i) the critical buckling factor for uniform loading (i.e. over
the entire roof), (ii) the critical buckling factor for uniform loading over half of the roof, and (iii) the
fundamental frequency of the structure. This paper addresses target variable (i). The ANN simulations
were based on 1098-point datasets obtained via thorough finite element analyzes. The proposed ANN for the prediction of the critical buckling factor in steel grid-shells under uniform
loading yields mean and maximum errors of 1.1% and 16.3%, respectively, for all 1098 data points. Only in 10.6% of those examples (points), the prediction error exceeds 3%. Keywords: Artificial Neural Networks, Soft Computing, Formula, Structural Engineering, Dataset, Grid-
Shell Design, Lightweight Engineering, Buckling, Dynamic Analysis. © 2020 by Abambres and Cabello Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL 1. Introduction It is not easy to trace back the origin of grid-shells but Shukhov´s diagrids are
probably the most agreed starting point (Edemskaya 2016). Especially when referring
to modern steel grid-shells, his roof for the Vyksa workshop can be regarded the first
double-curvature lattice roof. Yet it is not until the end of the 80’s, and especially the
90’s, that they became really popular through the work of engineers like Schlaich and
Schober (Schlaich 1996). Grid-shells are transparent, thin and typically exhibit high structural efficiency. Their
design and fabrication are high precision jobs where tolerances are tight and flexibility
low (Schlaich 2009). It is for these reasons that a suitable concept design that
understands its failure mode is paramount down the line. This paper is the first one (out of three) of a broader research where artificial
intelligence was applied to the stability and dynamic analyzes of steel grid-shells of
paraboloid shape supported on a horizontal plane (see Fig. 1.1). In that study, three
Artificial Neural Networks (ANN) with 8 inputs were independently designed for the
analytical prediction of a single target variable, namely: (i) the critical (i.e. for the 1st
mode) buckling factor for uniform loading (i.e. over the entire roof), (ii) the critical
buckling factor for uniform loading over half of the roof, and (iii) the fundamental
frequency of the structure. This paper provides a set of equations to obtain the critical
buckling factor of the structure under uniform loading, where the latter is defined as
the critical load / (external load + selfweight). That factor provides a good indication
of the stability of a structure, even though a geometrically non-linear analysis is still
mandatory for the final design. The 1st buckling mode identified in the analysis can be
global or local, whichever is the lowest. The ANN was designed for a 1098-point
dataset obtained via finite element analyzes. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL
Fig. 1.1. 1st buckling mode of a paraboloid shell (model 1030) supported along its perimeter. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Fig. 1.1. 1st buckling mode of a paraboloid shell (model 1030) supported along its perimeter. Fig. 1.1. 1st buckling mode of a paraboloid shell (model 1030) supported along its perimeter. 1. Introduction The characteristics of the finite element (FE) modelling carried out for data gathering
are defined in section 2.1. The FE models meet some predetermined variables
defining the scope under which the performed research is valid (section 2.2). The state of the art regarding the stability of grid-shells was thoroughly expounded
by Gioncu (1994). Most of the available analytical solutions predicting buckling of
reticulated shells resort to the homogenization technique, treating the structure as a
continuum shell (Dulácska and Kollár 2000, Kato 2005, Lefevre 2015). The analytical
solution presented in this paper doesn’t rely on this simplification. To the knowledge
of the authors it hasn’t been formulated yet analytical models describing the buckling
or dynamic behaviors of the family of grid-shells addressed in the current study. 2.1 Modelling techniques Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Fig. 1.3. Procedure carried out to rotate each beam’s coordinate system in all grid-shells. Fig. 1.3. Procedure carried out to rotate each beam’s coordinate system in all grid-shells. After orienting the bars, another VB script was run to generate 1098 distinct FE
models from the 160 grid-shell geometries, by varying the parameters external load q,
bar width a, bar breadth b, and node stiffness Kn, as explained in 2.2. A last VB routine
run all models and stored the relevant results in a text file. The set of 1098 FE models used to collect the data that fed the neural network
simulations, includes a bulk of reasonably suitable designs but also covers unrealistic
under/over-conservative ones, which is precisely what makes the proposed ANN-
based tool useful. The GSA software is valid to analyze grid-shell structures since it has been
successfully used on numerous occasions in the past, either as a design or validation
tool. Examples range from steel shells (Dini 2013, Olsson 2012), to timber shells
(Kuijvenhoven 2009, Toussaint 2007) or composite material shells (du Peloux 2013,
Tayeb 2015). 2.1 Modelling techniques A topology has been defined parametrically on Rhinoceros 3D (McNeel 2014) +
Grasshopper (Rutten 2014), as illustrated in Fig. 1.2. The base geometry is a
paraboloid shell obtained by means of two translational parabolas, the generatrix and Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL the directrix. The translational technique has the virtue of leading to flat quadrilateral
surfaces that can be easily covered with planar glass panes (Pottmann 2014, Schober
2016). the directrix. The translational technique has the virtue of leading to flat quadrilateral
surfaces that can be easily covered with planar glass panes (Pottmann 2014, Schober
2016). Hundred and sixty (160) different paraboloids have been generated where the main
dimensions L1, L2, and h, have been varied along with the spacing s between beam
nodes (see Fig. 1.2), where the latter remains constant in each model. The domains
considered for those variations are addressed in section 2.2. Fig. 1.2. Top view (left), side view (center), and perspective view (right) of the parametric topology. Fig. 1.2. Top view (left), side view (center), and perspective view (right) of the parametric topology. The aforementioned geometries were exported to the FE package GSA (Oasys
2010), where all line segments (beams) were first transformed into beam FEs with 6
DOF (degree of freedom) nodes, and later split into 3 equal elements as result of the
sensitivity study explained in section 2.3. At this stage, a Visual Basic (VB) script was
run to rotate each rectangular beam (i.e., around its longitudinal axis) by an angle ,
illustrated in Fig. 1.3 as the angle between the default beam local axis 𝑽𝟎
⃗⃗⃗⃗ (following
global Z) and 𝑽𝟐x𝑽𝟏
⃗⃗⃗⃗⃗⃗⃗⃗⃗⃗⃗⃗ (the cross product between 𝑽𝟐
⃗⃗⃗⃗ – vector joining transversally
adjacent nodes to the beam, and 𝑽𝟏
⃗⃗⃗⃗ – vector joining beam nodes). This technique
doesn´t provide the mathematically exact normal to the paraboloid surface (Makin
2006) but it leads to equal angles between the bar width and the supported glass
panes, which is convenient engineering wise. Abambres M, Cabello A (2020). 2.2 Modelling inputs The decision about the number of inputs to consider was a trade-off between (i) the
versatility of the final ANN tool, and (ii) the time needed to perform all numerical
simulations for data gathering – the more input variables, the more data points (no. of Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL different FE models) are needed to guarantee acceptable accuracy. The following
parameters were deemed unchanged in all numerical simulations: different FE models) are needed to guarantee acceptable accuracy. The following
parameters were deemed unchanged in all numerical simulations: different FE models) are needed to guarantee acceptable accuracy. The following
parameters were deemed unchanged in all numerical simulations: -
Beam Material: structural steel with linear elastic properties according to EN
1993-1-1 (2005), namely Young’s modulus E = 210 GPa, shear modulus G = 81
GPa, and Poisson´s ratio = 0.3. The analyzed models include the self-weight of
the steel considering a material density of 7.85 t/m3. -
Roofing panels: the weight of the panels is small compared to that of the
structural steel (if made of glass or polycarbonate) or even negligible (in case of
ETFE). This weight is to be computed as part of the additional load q. -
Boundary conditions: the paraboloids lay on a horizontal plane, defining an
ellipse (see top view in Fig. 1.2). All nodes belonging to that plane were
translationally fixed and rotationally constrained with the same bending stiffness
(Kn) used for all grid-shell nodes. -
Bracings: No (cable-)bracings were applied to any grid-shell. Examples of this
type of structure are the Cabot Circus in Bristol or the Joe and Rika Mansueto
Library in Chicago, among others. Tab. 1.1 shows the 8 (independent) input variables considered in all parts of this
research, along with the corresponding upper and lower limit values they can take. Each of the 1098 distinct FE models corresponds to a specific combination of values
taken by those variables. Tab. 1.1 also indicates the ANN input node corresponding
to each variable. Further considerations about those variables read (recall Fig. 1.2): -
Main dimensions of the paraboloid footprint (L1/2 and L2/2): the aspect ratio
1 ≤𝐿1 𝐿2
⁄
≤2 is always fulfilled. 2.2 Modelling inputs -
Main dimensions of the paraboloid footprint (L1/2 and L2/2): the aspect ratio
1 ≤𝐿1 𝐿2
⁄
≤2 is always fulfilled. -
Height of the paraboloid (h): the rise / span ratio is limited to 0.15 ≤ℎ𝐿2
⁄
≤0.5. This is the range recommended by Schober (2016) for dome caps under uniform
loading. For ratios below 0.14, the material usage and the risk of buckling increase
considerably. -
Beam spacing (s): it is the beam spacing in both directions (or the dimension of
all grid-shell planar and squared panes – see Fig. 1.2), and the values taken lay Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL approximately in the range observed in the long list of built projects referenced by
Schober (2016). -
External load (q): It is uniformly distributed over the roof surface, with vertical
direction and pointing downwards. It takes random values between 0 kPa and 3.5
kPa. -
Beam cross-section dimensions (a and b): the cross-section of all beams is
rectangular and solid. Its dimensions come (roughly) from the range of values
employed in the shells cited in Schober (2016). -
Bending Stiffness of Grid-Shell Nodes (Kn): Considering appropriate
connection stiffness is quite important, as demonstrated by Hwang (2010) when
investigating its effects on grid-shells. From the several bolted systems he studied,
rotational stiffness was approximately in the domain of 30 to 130 kNm/rad. Since
the present study intends to be also applicable to stiffer connections (bolted or
welded), the adopted Kn took values within 20 – 50000 kNm/rad, following the
distribution shown in Tab. 1.2. For the sake of computational time, the rotational
stiffness was not split into two variables – one for each bending axis, having
assumed KnXX = KnYY = Kn. -
Bending Stiffness of Grid-Shell Nodes (Kn): Considering appropriate
connection stiffness is quite important, as demonstrated by Hwang (2010) when
investigating its effects on grid-shells. From the several bolted systems he studied,
rotational stiffness was approximately in the domain of 30 to 130 kNm/rad. Since
the present study intends to be also applicable to stiffer connections (bolted or
welded), the adopted Kn took values within 20 – 50000 kNm/rad, following the
distribution shown in Tab. 1.2. 2.2 Modelling inputs For the sake of computational time, the rotational
stiffness was not split into two variables – one for each bending axis, having
assumed KnXX = KnYY = Kn. Tab. 1.1. Variables and ranges of values considered in the dataset. INPUT VARIABLES
ANN INPUT
VALUES
min
max
average
Grid-Shell
Geometry
L1 /2 (m)
1
5
25
19.11
L2 /2 (m)
2
5
50
28.86
h (m)
3
2
10
6.05
s (m)
4
0.9
1.5
1.20
External Load
q (kN/m2)
5
0
3.5
1.71
Beam
Cross-Section
b (mm)
6
30
200
114.73
a (mm)
7
30
200
114.39
Bending Stiffness of
Grid-Shell Nodes
Kn (kNm / rad)
8
20
49527
4989.15
OUTPUT VARIABLE
Critical Buckling Factor for Uniform Loading (-) Tab. 1.1. Variables and ranges of values considered in the dataset. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Tab. 2.2. Node bending stiffness (Kn) distribution for all 1098 FE models. Probability
1/13
1/13
1/13
1/13
1/13
1/13
1/13
1/13
1/13
1/13
1/13
1/13
1/13
Kn random
From:
20
50
80
120
200
320
510
810
1300
2100
3600
8000
20000
value
To:
50
80
120
200
320
510
810
1300
2100
3600
8000
20000
50000 The 1098-point dataset considered in ANN simulations is available in Abambres
and Cabello (2020). 2.3 Sensitivity studies the fixed connection model
respect to 4 subdivisions
Percentage of the result
Model 323 2.3 Sensitivity studies Two sensitivity studies were carried out prior to the 1098 FE analyzes in order to
better decide which mesh density and node stiffness values to adopt in the final FE
models. Three models with different geometry were used for that purpose: model 323
(L1 = 50, L2 = 100, h = 10, s = 1.3), model 1030 (L1 = 50, L2 = 95, h = 6, s = 0.9), and
model 1071 (L1 = 15, L2 = 15, h = 2, s = 0.9). The first analysis aimed to understand how sensitive the FE models were to the
mesh density. The grid-shell beams (aka bars) between nodes have been subdivided
into 1, 2, 3 and 4 beam FE. It was adopted Kn = 990 kNm/rad for all of them. Assuming
that 4 elements give the most accurate results, Tab. 1.3 (left) shows the remaining
results as a percentage of the former. It turned out that any loss in accuracy when
predicting the buckling factor with less than 4 subdivisions is indiscernible since it lies
within the noise of the convergence. Thus, there isn’t much difference in the prediction
of the fundamental frequency either. Since the computational time rises with the
number of FEs, the authors have opted for 3 FEs per beam. The second study (Tab. 1.3, right) allowed to determine which node bending
stiffness (Kn) yields results that are close enough to those obtained with fixed
connections (i.e., infinite stiffness). Three subdivisions were adopted for the beam
elements. It was observed that Kn = 50000 kNm/rad yields differences lower than 1%
when the results are compared with the fixed connection counterparts, and for that
reason that was the adopted upper bound for Kn. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL ,
Tab. 3.3. Sensitivity analysis to determine the suitable (i) number of FEs in each beam (left),
and (ii) Kn upper bound (aiming to integrate a fixed connection scenario). 2.3 Sensitivity studies Subdivisions
1
2
3
4
990
990
990
990
Kn [kNm/rad]
50
200
1000
10000
50000
Fixed
1st Buckling factor (fully loaded)
100
100
100
100
26
48
79
97
99.38
100
1st Buckling factor (half loaded)
100
100
100
100
22
46
77
97
99.44
100
Fundamental frequency
99.98
100
100
100
32
52
79
97
99.38
100
Computational time (seconds)
24.5
37.2
50.3
64.0
1st Buckling factor (fully loaded)
100
100
100
100
22
43
73
96
99.11
100
1st Buckling factor (half loaded)
100
100
100
100
18
40
72
96
99.10
100
Fundamental frequency
99.98
99.98
99.98
100
29
47
74
96
99.14
100
Computational time (seconds)
2.2
2.6
3.3
4.2
1st Buckling factor (fully loaded)
100
99.98
99.98
100
26
49
78
97
99.34
100
1st Buckling factor (half loaded)
99.98
99.98
100
100
21
39
70
96
99.17
100
Fundamental frequency
99.79
99.96
100
100
43
60
81
97
99.34
100
Computational time (seconds)
46.5
73.2
98.6
117.7
Model 1030
Model 1071
Percentage of the result w.r.t. the fixed connection model
respect to 4 subdivisions
Percentage of the result
Model 323 Tab. 3.3. Sensitivity analysis to determine the suitable (i) number of FEs in each beam (left),
and (ii) Kn upper bound (aiming to integrate a fixed connection scenario). Tab. 3.3. Sensitivity analysis to determine the suitable (i) number of FEs in each beam (left),
and (ii) Kn upper bound (aiming to integrate a fixed connection scenario). 2.3 Sensitivity studies Subdivisions
1
2
3
4
990
990
990
990
Kn [kNm/rad]
50
200
1000
10000
50000
Fixed
1st Buckling factor (fully loaded)
100
100
100
100
26
48
79
97
99.38
100
1st Buckling factor (half loaded)
100
100
100
100
22
46
77
97
99.44
100
Fundamental frequency
99.98
100
100
100
32
52
79
97
99.38
100
Computational time (seconds)
24.5
37.2
50.3
64.0
1st Buckling factor (fully loaded)
100
100
100
100
22
43
73
96
99.11
100
1st Buckling factor (half loaded)
100
100
100
100
18
40
72
96
99.10
100
Fundamental frequency
99.98
99.98
99.98
100
29
47
74
96
99.14
100
Computational time (seconds)
2.2
2.6
3.3
4.2
1st Buckling factor (fully loaded)
100
99.98
99.98
100
26
49
78
97
99.34
100
1st Buckling factor (half loaded)
99.98
99.98
100
100
21
39
70
96
99.17
100
Fundamental frequency
99.79
99.96
100
100
43
60
81
97
99.34
100
Computational time (seconds)
46.5
73.2
98.6
117.7
Model 1030
Model 1071
Percentage of the result w.r.t. the fixed connection model
respect to 4 subdivisions
Percentage of the result
Model 323 Tab. 3.3. Sensitivity analysis to determine the suitable (i) number of FEs in each beam (left),
and (ii) Kn upper bound (aiming to integrate a fixed connection scenario). and (ii) Kn upper bound (aiming to integrate a fixed connection scenario). Subdivisions
1
2
3
4
990
990
990
990
Kn [kNm/rad]
50
200
1000
10000
50000
Fixed
1st Buckling factor (fully loaded)
100
100
100
100
26
48
79
97
99.38
100
1st Buckling factor (half loaded)
100
100
100
100
22
46
77
97
99.44
100
Fundamental frequency
99.98
100
100
100
32
52
79
97
99.38
100
Computational time (seconds)
24.5
37.2
50.3
64.0
1st Buckling factor (fully loaded)
100
100
100
100
22
43
73
96
99.11
100
1st Buckling factor (half loaded)
100
100
100
100
18
40
72
96
99.10
100
Fundamental frequency
99.98
99.98
99.98
100
29
47
74
96
99.14
100
Computational time (seconds)
2.2
2.6
3.3
4.2
1st Buckling factor (fully loaded)
100
99.98
99.98
100
26
49
78
97
99.34
100
1st Buckling factor (half loaded)
99.98
99.98
100
100
21
39
70
96
99.17
100
Fundamental frequency
99.79
99.96
100
100
43
60
81
97
99.34
100
Computational time (seconds)
46.5
73.2
98.6
117.7
Model 1030
Model 1071
Percentage of the result w.r.t. 3.1 Introduction Machine learning, one of the six disciplines of Artificial Intelligence (AI) without
which the task of having machines acting humanly could not be accomplished, allows
us to ‘teach’ computers how to perform tasks by providing examples of how they
should be done (Hertzmann and Fleet 2012). When there is abundant data (also called
examples or patterns) explaining a certain phenomenon, but its theory richness is
poor, machine learning can be a perfect tool. The world is quietly being reshaped by
machine learning, being the Artificial Neural Network (also referred in this manuscript
as ANN or neural net) its (i) oldest (McCulloch and Pitts 1943) and (ii) most powerful
(Hern 2016) technique. ANNs also lead the number of practical applications, virtually
covering any field of knowledge (Wilamowski and Irwin 2011, Prieto et. al 2016). In its
most general form, an ANN is a mathematical model designed to perform a particular
task, based in the way the human brain processes information, i.e. with the help of its
processing units (the neurons). ANNs have been employed to perform several types
of real-world basic tasks. Concerning functional approximation, ANN-based solutions Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL are frequently more accurate than those provided by traditional approaches, such as
multi-variate nonlinear regression, besides not requiring a good knowledge of the
function shape being modelled (Flood 2008). are frequently more accurate than those provided by traditional approaches, such as
multi-variate nonlinear regression, besides not requiring a good knowledge of the
function shape being modelled (Flood 2008). The general ANN structure consists of several nodes disposed in L vertical layers
(input layer, hidden layers, and output layer) and connected between them, as
depicted in Fig. 2. Associated to each node in layers 2 to L, also called neuron, is a
linear or nonlinear transfer (also called activation) function, which receives the so-
called net input and transmits an output (see Fig. 5). All ANNs implemented in this
work are called feedforward, since data presented in the input layer flows in the
forward direction only, i.e. every node only connects to nodes belonging to layers
located at the right-hand-side of its layer, as shown in Fig. 2. 3.1 Introduction ANN’s computing power
makes them suitable to efficiently solve small to large-scale complex problems, which
can be attributed to their (i) massively parallel distributed structure and (ii) ability to
learn and generalize, i.e., produce reasonably accurate outputs for inputs not used
during the learning (also called training) phase. Fig. 2. Example of a feedforward neural network. Fig. 2. Example of a feedforward neural network. Further information on Artificial Neural Networks might be found in previous
publications by Abambres et al. or Haykin (2009). Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL 3.2 Learning Each connection between 2 nodes is associated to a synaptic weight (real value),
which, together with each neuron’s bias (also a real value), are the most common types
of neural net unknown parameters that will be determined through learning. Learning is
nothing else than determining network unknown parameters through some algorithm in
order to minimize network’s performance measure, typically a function of the difference
between predicted and target (desired) outputs. When ANN learning has an iterative
nature, it consists of three phases: (i) training, (ii) validation, and (iii) testing. From
previous knowledge, examples or data points are selected to train the neural net,
grouped in the so-called training dataset. Those examples are said to be ‘labelled’ or
‘unlabeled’, whether they consist of inputs paired with their targets, or just of the inputs
themselves – learning is called supervised (e.g., functional approximation, classification)
or unsupervised (e.g., clustering), whether data used is labelled or unlabeled,
respectively. During an iterative learning, while the training dataset is used to tune
network unknowns, a process of cross-validation takes place by using a set of data
completely distinct from the training counterpart (the validation dataset), so that the
generalization performance of the network can be attested. Once ‘optimum’ network Fig. 3. Cross-validation - assessing network’s generalization ability. Fig. 3. Cross-validation - assessing network’s generalization ability. parameters are determined, typically associated to a minimum of the validation
performance curve (called early stop – see Fig. 3), many authors still perform a final Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL assessment of model’s accuracy, by presenting to it a third fully distinct dataset called
‘testing’. Heuristics suggests that early stopping avoids overfitting, i.e. the loss of ANN’s
generalization ability. One of the causes of overfitting might be learning too many input-
target examples suffering from data noise, since the network might learn some of its
features, which do not belong to the underlying function being modelled (Haykin 2009). 3.3 Implemented ANN features The ‘behavior’ of any ANN depends on many ‘features’, having been implemented 15
ANN features in this work (including data pre/post processing ones). For those features,
it is important to bear in mind that no ANN guarantees good approximations via
extrapolation (either in functional approximation or classification problems), i.e. the
implemented ANNs should not be applied outside the input variable ranges used for
network training. Since there are no objective rules dictating which method per feature
guarantees the best network performance for a specific problem, an extensive parametric
analysis (composed of nine parametric sub-analyzes) was carried out to find ‘the
optimum’ net design. A description of all implemented methods, selected from state of art
literature on ANNs (including both traditional and promising modern techniques), is
presented next – Tabs. 2-4 present all features and methods per feature. The whole work
was coded in MATLAB (The Mathworks, Inc. 2017), making use of its neural network
toolbox when dealing with popular learning algorithms (1-3 in Tab. 4). Each parametric
sub-analysis (SA) consists of running all feasible combinations (also called ‘combos’) of
pre-selected methods for each ANN feature, in order to get performance results for each
designed net, thus allowing the selection of the best ANN according to a certain criterion. The best network in each parametric SA is the one exhibiting the smallest average
relative error (called performance) for all learning data. It is worth highlighting that, in this manuscript, whenever a vector is added to a
matrix, it means the former is to be added to all columns of the latter (valid in MATLAB). Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Tab. 2. Implemented ANN features (F) 1-5. FEATURE
METHOD
F1
F2
F3
F4
F5
Qualitative
Var Represent
Dimensional
Analysis
Input Dimensionality
Reduction
%
Train-Valid-Test
Input
Normalization
1
Boolean Vectors
Yes
Linear Correlation
80-10-10
Linear Max Abs
2
Eq Spaced in ]0,1]
No
Auto-Encoder
70-15-15
Linear [0, 1]
3
-
-
-
60-20-20
Linear [-1, 1]
4
-
-
Ortho Rand Proj
50-25-25
Nonlinear
5
-
-
Sparse Rand Proj
-
Lin Mean Std
6
-
-
No
-
No Tab. 2. Implemented ANN features (F) 1-5. 3.3.3 Input Dimensionality Reduction (feature 3) When designing any ANN, it is crucial for its accuracy that the input variables are
independent and relevant to the problem (Gholizadeh et al. 2011, Kasun et al. 2016). There are two types of dimensionality reduction, namely (i) feature selection (a subset of
the original set of input variables is used), and (ii) feature extraction (transformation of
initial variables into a smaller set). In this work, dimensionality reduction is never
performed when the number of input variables is less than six. The implemented methods
are described next. 3.3.2 Dimensional Analysis (feature 2) The most widely used form of dimensional analysis is the Buckingham's π-theorem,
which was implemented in this work as described in Bhaskar and Nigam (1990). 3.3.1 Qualitative Variable Representation (feature 1) A qualitative variable taking n distinct ‘values’ (usually called classes) can be
represented in any of the following formats: one variable taking n equally spaced values
in ]0,1], or 1-of-n encoding (boolean vectors – e.g., n=3: [1 0 0] represents class 1, [0 1 0]
represents class 2, and [0 0 1] represents class 3). After transformation, qualitative
variables are placed at the end of the corresponding (input or output) dataset, in the same
original order. Tab. 3. Implemented ANN features (F) 6-10. FEATURE
METHOD
F6
F7
F8
F9
F10
Output
Transfer
Output
Normalization
Net
Architecture
Hidden
Layers
Connectivity
1
Logistic
Lin [a, b] = 0.7[φmin, φmax]
MLPN
1 HL
Adjacent Layers
2
-
Lin [a, b] = 0.6[φmin, φmax]
RBFN
2 HL
Adj Layers + In-Out
3
Hyperbolic Tang
Lin [a, b] = 0.5[φmin, φmax]
-
3 HL
Fully-Connected
4
-
Linear Mean Std
-
-
-
5
Bilinear
No
-
-
-
6
Compet
-
-
-
-
7
Identity
-
-
-
- Tab. 3. Implemented ANN features (F) 6-10. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Tab. 4. Implemented ANN features (F) 11-15. Tab. 4. Implemented ANN features (F) 11-15. FEATURE
METHOD
F11
F12
F13
F14
F15
Hidden
Transfer
Parameter
Initialization
Learning
Algorithm
Performance
Improvement
Training
Mode
1
Logistic
Midpoint (W) + Rands (b)
BP
-
Batch
2
Identity-Logistic
Rands
BPA
-
Mini-Batch
3
Hyperbolic Tang
Randnc (W) + Rands (b)
LM
-
Online
4
Bipolar
Randnr (W) + Rands (b)
ELM
-
-
5
Bilinear
Randsmall
mb ELM
-
-
6
Positive Sat Linear
Rand [-Δ, Δ]
I-ELM
-
-
7
Sinusoid
SVD
CI-ELM
-
-
8
Thin-Plate Spline
MB SVD
-
-
-
9
Gaussian
-
-
-
-
10
Multiquadratic
-
-
-
-
11
Radbas
-
-
-
- Linear Correlation In this feature selection method, all possible pairs of input variables are assessed
with respect to their linear dependence, by means of the Pearson correlation Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL coefficient RXY, where X and Y denote any two distinct input variables. For a set of n
data points (xi, yi), the Pearson correlation is defined by (
)(
)
(
)
(
)
1
2
2
1
1
(
, )
(
)
( )
n
i
i
i
XY
n
n
i
i
i
i
x
x
y
y
Cov X Y
R
Var X Var Y
x
x
y
y
=
=
=
−
−
=
=
−
−
, (1) (1) where (i) Var(X) and Cov(X, Y) are the variance of X and covariance of X and Y,
respectively, and (ii) 𝑥̅ and 𝑦̅ are the mean values of each variable. In this work, cases
where |𝑅𝑋𝑌| ≥0.99 indicate that one of the variables in the pair must be removed from
the ANN modelling. The one to be removed is the one appearing less in the remaining
pairs (𝑋, 𝑌) where |𝑅𝑋𝑌| ≥0.99. Once a variable is selected for removal, all pairs (𝑋, 𝑌)
involving it must be disregarded in the subsequent steps for variable removal. Orthogonal and Sparse Random Projections This is another feature extraction technique aiming to reduce the dimension of input
data Y1 (Q1 x P) while retaining the Euclidean distance between data points in the new
feature space. This is attained by projecting all data along the (i) orthogonal or (ii)
sparse random matrix A (Q1 x Q2, Q2 < Q1), as described by Kasun et al. (2016). Auto-Encoder This feature extraction technique uses itself a 3-layer feedforward ANN called auto-
encoder (AE). After training, the hidden layer output (y2p) for the presentation of each
problem’s input pattern (y1p) is a compressed vector (Q2 x 1) that can be used to replace
the original input layer by a (much) smaller one, thus reducing the size of the ANN
model. In this work, Q2=round(Q1/2) was adopted, being round a function that rounds
the argument to the nearest integer. The implemented AE was trained using the
‘trainAutoencoder(…)’ function from MATLAB’s neural net toolbox. In order to select the
best AE, 40 AEs were simulated, and their performance compared by means of the
performance variable defined in sub-section 3.4. Each AE considered distinct (random)
initialization parameters, half of the models used the ‘logsig’ hidden transfer functions,
and the other half used the ‘satlin’ counterpart, being the identity function the common
option for the output activation. In each AE, the maximum number of epochs – number
of times the whole training dataset is presented to the network during learning, was
defined (regardless the amount of data) by 1
1
3000,
8
max
1500,
8
Q
epochs
Q
=
. (2) (2) Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Concerning the learning algorithm used for all AEs, no L2 weight regularization was
employed,
which
was
the
only
default
specification
not
adopted
in
‘trainAutoencoder(…)’. 3.3.4 Training, Validation and Testing Datasets (feature 4) Four distributions of data (methods) were implemented, namely pt-pv-ptt = {80-10-
10, 70-15-15, 60-20-20, 50-25-25}, where pt-pv-ptt represent the amount of training,
validation and testing examples as % of all learning data (P), respectively. Aiming to
divide learning data into training, validation and testing subsets according to a
predefined distribution pt-pv-ptt, the following algorithm was implemented (all variables
are involved in these steps, including qualitative ones after converted to numeric – see
3.3.1): 1) Reduce pt-pv-ptt values by 10 units each. 2) For each variable q (row) in the complete input dataset, compute its minimum
and maximum values. 3) Select all patterns (if some) from the learning dataset where each variable takes
either its minimum or maximum value. Those patterns must be included in the
training dataset, regardless what pt is. However, if the number of patterns is
lower than the rounding of pt * P/100, more patterns should be added to the
training set in the following way: a. Compute the number of patterns (Lpt) that need to be added to the initially
selected training patterns to equal round(pt * P/100). b. Randomly select 10.000 combinations of Lpt patterns from all those not
included in the training set defined prior a). Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL c. For each combination/scenario in b), add those Lpt patterns to the set of
training patterns defined prior a), and label all remaining learning patterns
as “validation+testing”. d. For each scenario in c), and for each pattern labeled as
“validation+testing”, check if that pattern has at least one input variable
that takes a value not taken by any pattern in the training set. If it hasn´t,
then that pattern should be moved to the training set. e. Among all 10.000 scenarios of training and “validation+testing” subsets
addressed in b) till d), the “winner” should be the one guaranteeing the
amount of training data (Pt*) closest to round(pt * P/100). f. If the winning training set selected in e) guarantees | Pt* / P - pt | ≤ 0.2,
then that becomes the training data to be taken for simulation. Otherwise,
the training data should be selected according to step 2 in subsection
3.3.4 of Abambres et al. (2018). 4) Increase pt-pv-ptt values by 10 units each (to re-obtain the original input values
– recall step 1). 3.3.5 Input Normalization (feature 5) The progress of training can be impaired if training data defines a region that is
relatively narrow in some dimensions and elongated in others, which can be alleviated by
normalizing each input variable across all data patterns. The implemented techniques are
the following: 3.3.4 Training, Validation and Testing Datasets (feature 4) 5) In order to select the validation patterns, randomly select pv / (pv + ptt) of those
patterns not belonging to the previously defined training dataset. The remainder
defines the testing dataset. It might happen that the actual distribution pt-pv-ptt to be used in the simulation is
not equal to the one imposed a priori (before step 1). It might happen that the actual distribution pt-pv-ptt to be used in the simulation is
not equal to the one imposed a priori (before step 1). Nonlinear Proposed by Pu and Mesbahi (2006), although in the context of output
normalization, the only nonlinear normalization method implemented for input data
reads (
)
(
)
(
)
(
)
1
1
1
,
,
,
( )
10
n
t
Y i j
Y
i j
sign Y i j
C i
=
+
, (5) (5) where (i) Y1(i, j) is the non-normalized value of input variable i for pattern j, (ii) t is the
number of digits in the integer part of Y1(i, j), (iii) sign(…) yields the sign of the
argument, and (iv) C(i) is the average of two values concerning variable i, C1(i) and
C2(i), where the former leads to a minimum normalized value of 0.2 for all patterns,
and the latter leads to a maximum normalized value of 0.8 for all patterns. Linear [0, 1] and [-1, 1] A linear transformation for each input variable (i), mapping values in Y1(i,:) from [a*,
b*]=[min(Y1(i,:)), max(Y1(i,:))] to a generic range [a, b], is obtained from (
)
(
)
(
)
(
)
1
1
,:
*
{
,:
*
}
)
*
(
n
Y i
a
Y
a
a
b
b
i
a
−
−
−
=
+
. (4) (4) Ranges [a, b]=[0, 1] and [a, b]=[-1, 1] were considered. Ranges [a, b]=[0, 1] and [a, b]=[-1, 1] were considered. Ranges [a, b]=[0, 1] and [a, b]=[-1, 1] were considered. Ranges [a, b]=[0, 1] and [a, b]=[-1, 1] were considered. Linear Max Abs Lachtermacher and Fuller (1995) proposed a simple normalization technique given by Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL
1
1
1
( ,:)
{ } ( ,:) max
( ,:)
n
Y i
Y
i
Y i
=
, (3) , (3) (3) where {Y1}n (i, :) and Y1 (i, :) are the normalized and non-normalized values of the ith input
variable for all learning patterns, respectively. Notation ‘:’ in the column index, indicate the
selection of all columns (learning patterns). Linear Mean Std Tohidi and Sharifi (2014) proposed the following technique Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL (
)
(
)
( )
( )
1
1
1
,:
1
,:
,:
,:
Y i
n
Y i
Y i
Y
i
−
=
, (6) (6) (6) where 𝜇𝑌1(𝑖,:) and 𝜎𝑌1(𝑖,:) are the mean and standard deviation of all non-normalized
values (all patterns) stored by variable i. Logistic The most usual form of transfer functions is called Sigmoid. An example is the
logistic function given by 1
( )
1
s
s
e
−
=
+
. (7) (7) ic Tang Bilinear The implemented Bilinear function is defined as The implemented Bilinear function is defined as The implemented Bilinear function is defined as ,
0
( )
0,
0
s
s
s
s
=
. (9) (9) ntity Hyperbolic Tang The Hyperbolic Tangent function is also of sigmoid type, being defined as ( )
s
s
s
s
e
e
s
e
e
−
−
−
=
+
. (8) ( )
s
s
s
s
e
e
s
e
e
−
−
−
=
+
. (8) ( )
s
s
s
s
e
e
s
e
e
−
−
−
=
+ (8) ilinear Bilinear 3.3.7 Output Normalization (feature 7) Normalization can also be applied to the output variables so that, for instance, the
amplitude of the solution surface at each variable is the same. Otherwise, training may
tend to focus (at least in the earlier stages) on the solution surface with the greatest
amplitude (Flood and Kartam 1994a). Normalization ranges not including the zero value
might be a useful alternative since convergence issues may arise due to the presence of
many small (close to zero) target values (Mukherjee et al. 1996). Four normalization
methods were implemented. The first three follow eq. (4), where (i) [a, b] = 70% [φmin,
φmax], (ii) [a, b] = 60% [φmin, φmax], and (iii) [a, b] = 50% [φmin, φmax], being [φmin, φmax] the
output transfer function range, and [a, b] determined to be centered within [φmin, φmax] and
to span the specified % (e.g., (b-a) = 0.7 (φmax - φmin)). Whenever the output transfer
functions are unbounded (Bilinear and Identity), it was considered [a, b] = [0, 1] and [a, b]
= [-1, 1], respectively. The fourth normalization method implemented is the one described
by eq. (6). Identity The Identity activation is often employed in output neurons, reading . (10) (10) Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Multi-Layer Perceptron Network (MLPN) Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Fig. 5. Generic neuron placed anywhere in the MLPN of Fig. 4 (l = 2,…, L). Fig. 5. Generic neuron placed anywhere in the MLPN of Fig. 4 (l = 2,…, L). Multi-Layer Perceptron Network (MLPN) This is a feedforward ANN exhibiting at least one hidden layer. Fig. 2 depicts a 3-
2-1 MLPN (3 input nodes, 2 hidden neurons and 1 output neuron), where units in each
layer link to nodes located ahead only. The network is said to be partially-connected
(PC) since no connections across layers are allowed (between the source and output
layers, in this case). At this moment, it is appropriate to define the concept of fully-
connected (FC) ANN. Although traditionally, the network shown in Fig. 2 would be
called FC, in this work a FC feedforward network is characterized by having each node
connected to every node in a different layer placed forward – any other type of
feedforward network is said to be PC. According to Wilamowski (2009), PC MLPNs
are less powerful than MLPN where connections across layers are allowed, which
usually lead to smaller networks (less neurons). Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Fig. 4 represents a generic MLFN composed of L layers, where l (l = 1,…, L) is a generic
layer and ‘ql’ a generic node, being q = 1,…, Ql its position in layer l (1 is reserved to the top
node). Fig. 5 represents the model of a generic neuron (l = 2,…, L), where (i) p represents
the data pattern presented to the network, (ii) subscripts m = 1,…, Qn and n = 1,…, l-1 are
summation indexes representing all possible nodes connecting to neuron ‘ql’ (recall Fig. 4),
(iii) bql is neuron’s bias, and (iv) wmnql represents the synaptic weight connecting units ‘mn’
and ‘ql’. Neuron’s net input for the presentation of pattern p (Sqlp) is defined as Q
1
1
1
,
n
l
lp
m
n
q
mnp
mnp
mnp
mnql
ql
mnql
mnql
w
b
w
w
S
y
y
y
−
=
=
=
+
, (11) (11) where ym1p is the value of the mth network input concerning example p. The output of
a generic neuron can then be written as (l = 2,…, L) (
)
l
qlp
qlp
y
S
=
, (12) (12) where φl is the transfer function used for all neurons in layer l. Fig. 4. Generic multi-layer feedforward network. Fig. 4. Generic multi-layer feedforward network. Abambres M, Cabello A (2020). Radial-Basis Function Network (RBFN) Although having similar topologies, RBFN and MLPN behave very differently due
to distinct hidden neuron models – unlike the MLPN, RBFN have hidden neurons
behaving differently than output neurons. According to Xie et al. (2011), RBFN (i) are
specially recommended in functional approximation problems when the function
surface exhibits regular peaks and valleys, and (ii) perform more robustly than MLPN
when dealing with noisy input data. Although traditional RBFN have 3 layers, a generic
multi-hidden layer (see Fig. 4) RBFN is allowed in this work, being the generic hidden
neuron’s model concerning node ‘l1l2’ (l1 = 1,…,Ql2, l2 = 2,…, L-1) presented in Fig. 6. In this model, (i) 𝑣𝑙1𝑙2𝑝 and 𝜉𝑙1𝑙2 (called RBF center) are vectors of the same size (𝜉𝑧𝑙1𝑙2
denotes de z component of vector 𝜉𝑙1𝑙2, and it is a network unknown), being the former
associated to the presentation of data pattern p, (ii) 𝜎𝑙1𝑙2 is called RBF width (a positive
scalar) and also belongs, along with synaptic weights and RBF centers, to the set of
network unknowns to be determined through learning, (iii) 𝜑𝑙2 is the user-defined radial
basis (transfer) function (RBF), described in eqs. (20)-(23), and (iv) 𝑦𝑙1𝑙2𝑝 is neuron’s
output when pattern p is presented to the network. In ANNs not involving learning
algorithms 1-3 in Tab. 4, vectors 𝑣𝑙1𝑙2𝑝 and 𝜉𝑙1𝑙2 are defined as (two versions of 𝑣𝑙1𝑙2𝑝
where implemented and the one yielding the best results was selected) Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL 1 2
2
2
1 2
2
2
1 2
2
2
1 2
1
1
2
2
1(
1)
1(
1)
(
1)
(
1)
(
1)
(
1)
... ... l
l
p
l l
l
p
l
l l
z l
p
z l
l l
Q
l
p
Q
l
l l
v
w
w
w
y
y
y
−
−
−
−
−
−
−
−
=
or 1 2
2
2
2
1
2
1(
1)
(
1)
(
1)
1
and
... ... ... ... = [1, 1, 1, 10, 10, 10, 10]
minimum 1
1
1
1
= min round max 2
+
, 4
,
, 1500
ln( )
L
P
max
Q
Q
Q
Q
P
(15) (
)
(
)
(
)
2 = max min round 0.1
,1500 , 300
max
P
, (15) 1
1
1
2
2
= [
,
,
,
,
maximum
max max max max
max
2
2
,
,
]
max
max 1
1
1
2
2
= [
,
,
,
,
maximum
max max max max
max
2
2
,
,
]
max
max 3
13
13
1
(F ) :
(F ) :
(F )
hntest
minimum
incr
maxi
m
mu
= where (i) Q1 and QL are the number of input and output nodes, respectively, (ii) P and
Pt are the number of learning and training patterns, respectively, and (iii) F13 is the
number of feature 13’s method (see Tab. 4). where (i) Q1 and QL are the number of input and output nodes, respectively, (ii) P and
Pt are the number of learning and training patterns, respectively, and (iii) F13 is the
number of feature 13’s method (see Tab. 4). Radial-Basis Function Network (RBFN) Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Radial-Basis Function Network (RBFN) l
p
l l
l
p
z l
p
Q
l
p
l l
l l
l l
Q
l l
v
y
y
y
−
−
−
−
=
=
, (13) 1 2
2
2
2
1
2
1(
1)
(
1)
(
1)
and
... ... l
p
l l
l
p
z l
p
Q
l
p
v
y
y
y
−
−
−
−
=
, (13) , (13) 1 2
1 2
1 2
1 2
1
2
1
... ... l
l l
l l
zl l
Q
l l
−
=
whereas the RBFNs implemented through MATLAB neural net toolbox (involving
learning algorithms 1-3 in Tab. 4) are based on the following definitions whereas the RBFNs implemented through MATLAB neural net toolbox (involving
learning algorithms 1-3 in Tab. 4) are based on the following definitions 1 2
2
2
2
1 2
2
1 2
2
1 2
2
1 2
1
2
1
2
1(
1)
(
1)
(
1)
1(
1)
(
1)
(
1)
... ... ... ... l
l
p
l l
l
p
z l
p
Q
l
p
l l
l
l l
z l
l l
Q
l
l l
v
w
w
w
y
y
y
−
−
−
−
−
−
−
−
=
=
. (14) (14) Lastly, according to the implementation carried out for initialization purposes (described
in 3.3.12), (i) RBF center vectors per hidden layer (one per hidden neuron) are initialized
as integrated in a matrix (termed RBF center matrix) having the same size of a weight
matrix linking the previous layer to that specific hidden layer, and (ii) RBF widths (one per
hidden neuron) are initialized as integrated in a vector (called RBF width vector) with the
same size of a hypothetic bias vector. Fig. 6. Generic hidden neuron l1l2 placed anywhere in the RBFN of Fig. 4 (l2 = 2,…, L-1). g. 6. Generic hidden neuron l1l2 placed anywhere in the RBFN of Fig. 4 (l2 = 2,…, L-1). Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). 3.3.9 Hidden Nodes (feature 9) Inspired by several heuristics found in the literature for the determination of a suitable
number of hidden neurons in a single hidden layer net (Aymerich and Serra 1998, Rafiq
et al. 2001, Xu and Chen 2008), each value in hntest, defined in eq. (15), was tested in
this work as the total number of hidden nodes in the model, ie the sum of nodes in all
hidden layers (initially defined with the same number of neurons). The number yielding
the smallest performance measure for all patterns (as defined in 3.4, with outputs and
targets not postprocessed), is adopted as the best solution. The aforementioned hntest
is defined by = [4, 4, 4, 10, 10, 10, 10]
incr = [4, 4, 4, 10, 10, 10, 10]
incr = [4, 4, 4, 10, 10, 10, 10]
incr = [4, 4, 4, 10, 10, 10, 10]
= [1, 1, 1, 10, 10, 10, 10]
incr
minimum = [1, 1, 1, 10, 10, 10, 10]
minimum Bipolar The so-called bipolar sigmoid activation function mentioned in Lefik and Schrefler
(2003), ranging in [-1, 1], reads 1
( )
1
s
s
e
s
e
−
−
−
=
+
. (17) (17) (
)
e Saturating Linear 3.3.11 Hidden Transfer Functions (feature 11) Besides functions (i) Logistic – eq. (7), (ii) Hyperbolic Tangent – eq. (8), and (iii) Bilinear
– eq. (9), defined in 3.3.6, the ones defined next were also implemented as hidden transfer
functions. During software validation it was observed that some hidden node outputs
could be infinite or NaN (not-a-number in MATLAB – e.g., 0/0=Inf/Inf=NaN), due to
numerical issues concerning some hidden transfer functions and/or their calculated input. In those cases, it was decided to convert infinite to unitary values and NaNs to zero (the
only exception was the bipolar sigmoid function, where NaNs were converted to -1). Other implemented trick was to convert possible Gaussian function’s NaN inputs to zero. 3.3.10 Connectivity (feature 10) For this ANN feature, three methods were implemented, namely (i) adjacent layers
– only connections between adjacent layers are made possible, (ii) adjacent layers + Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL input-output – only connections between (ii1) adjacent and (ii2) input and output layers
are allowed, and (iii) fully-connected (all possible feedforward connections). input-output – only connections between (ii1) adjacent and (ii2) input and output layers
are allowed, and (iii) fully-connected (all possible feedforward connections). Identity-Logistic In Gunaratnam and Gero (1994), issues associated with flat spots at the extremes
of a sigmoid function were eliminated by adding a linear function to the latter, reading 1
( )
1
s
s
s
e
−
=
+
+
. (16) ( )
1
s
e
−
+
. (16) (16) Sinusoid Concerning less popular transfer functions, reference is made in Bai et al. (2014) to
the sinusoid, which in this work was implemented as ( )
sin
2
s
s
=
. (19) (19) Positive Saturating Linear In MATLAB neural net toolbox, the so-called Positive Saturating Linear transfer
function, ranging in [0, 1], is defined as Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL 1,
1
( )
,
0
1
0,
0
s
s
s
s
s
=
. (18) ( )
,
0
1
0,
0
s
s
s
s
=
. (18) (18) d Midpoint, Rands, Randnc, Randnr, Randsmall These are all MATLAB built-in functions. Midpoint is used to initialize weight and RBF
center matrices only (not vectors). All columns of the initialized matrix are equal, being
each entry equal to the midpoint of the (training) output range leaving the corresponding
initial layer node – recall that in weight matrices, columns represent each node in the final
layer being connected, whereas rows represent each node in the initial layer counterpart. Rands generates random numbers with uniform distribution in [-1, 1]. Randnc (only used to
initialize matrices) generates random numbers with uniform distribution in [-1, 1], and
normalizes each array column to 1 (unitary Euclidean norm). Randnr (only used to initialize
matrices) generates random numbers with uniform distribution in [-1, 1], and normalizes
each array row to 1 (unitary Euclidean norm). Randsmall generates random numbers with
uniform distribution in [-0.1, 0.1]. Radial Basis Functions (RBF) Although Gaussian activation often exhibits desirable properties as a RBF, several
authors (e.g., Schwenker et al. 2001) have suggested several alternatives. Following
nomenclature used in 3.3.8, (i) the Thin-Plate Spline function is defined by ( )
(
)
2
1 2
1 2
2
ln
,
l
l l p
l l
s
s
s
s
v
=
=
−
, (20) (20) (ii) the next function is employed as Gaussian-type function when learning algorithms
4-7 are used (see Tab. 4) (ii) the next function is employed as Gaussian-type function when learning algorithms
4-7 are used (see Tab. 4) ( )
2
1 2
1 2
1 2
2
0.5
2
,
s
l
l l p
l l
l l
s
s
v
e
−
=
=
−
, (21) (21) (iii) the Multiquadratic function is given by (iii) the Multiquadratic function is given by ( )
2
1 2
1 2
1 2
2
2
,
l
l l p
l l
l l
s
s
s
v
=
=
−
+
, (22) (22) and (iv) the Gaussian-type function (called ‘radbas’ in MATLAB toolbox) used by
RBFNs trained with learning algorithms 1-3 (see Tab. 4), is defined by and (iv) the Gaussian-type function (called ‘radbas’ in MATLAB toolbox) used by
RBFNs trained with learning algorithms 1-3 (see Tab. 4), is defined by ( )
2
1 2
1 2
1 2
2
,
l
l l p
l l
l l
s
s
s
v
e
−
=
=
−
, (23) (23) where || … || denotes the Euclidean distance in all functions. where || … || denotes the Euclidean distance in all functions. where || … || denotes the Euclidean distance in all functions. where || … || denotes the Euclidean distance in all functions. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL 3.3.12 Parameter Initialization (feature 12) The initialization of (i) weight matrices (Qa x Qb, being Qa and Qb node numbers in layers
a and b being connected, respectively), (ii) bias vectors (Qb x 1), (iii) RBF center matrices
(Qc-1 x Qc, being c the hidden layer that matrix refers to), and (iv) RBF width vectors (Qc x
1), are independent and in most cases randomly generated. For each ANN design carried
out in the context of each parametric analysis combo, and whenever the parameter
initialization method is not the ‘Mini-Batch SVD’, ten distinct simulations varying (due to their
random nature) initialization values are carried out, in order to find the best solution. The
implemented initialization methods are described next. 3.3.13 Learning Algorithm (feature 13) The most popular learning algorithm is called error back-propagation (BP), a first-
order gradient method. Second-order gradient methods are known to have higher
training speed and accuracy (Wilamowski 2011). The most employed is called
Levenberg-Marquardt (LM). All these traditional schemes were implemented using
MATLAB toolbox (The Mathworks, Inc 2017). Mini-Batch SVD Based on Deng et al. (2016), this scheme is an alternative version of the former
SVD. Now, training data is split into min{Qb, Pt} chunks (or subsets) of equal size Pti =
max{floor(Pt / Qb), 1} – floor rounds the argument to the previous integer (whenever it
is decimal) or yields the argument itself, being each chunk aimed to derive Qbi = 1
hidden node. SVD Although Deng et al. (2016) proposed this method for a 3-layer network, it was
implemented in this work regardless the number of hidden layers. Rand [-lim, lim] This function is based on the proposal in Waszczyszyn (1999), and generates random
numbers with uniform distribution in [-lim, lim], being lim layer-dependent and defined by 1/
,
<
=
0.5
,
=
a
Q
b
Q
b L
lim
b L
, (24) (24) Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL where a and b refer to the initial and final layers integrating the matrix being initialized,
and L is the total number of layers in the network. In the case of a bias or RBF width
vector, lim is always taken as 0.5. Extreme Learning Machine (ELM, mb ELM, I-ELM, CI-ELM) Besides these traditional learning schemes, iterative and time-consuming by nature,
four versions of a recent, powerful and non-iterative learning algorithm, called Extreme
Learning Machine (ELM), were implemented (unlike initially proposed by the authors of
ELM, connections across layers were allowed in this work), namely: (batch) ELM (Huang
et al. 2006a), Mini-Batch ELM (mb ELM) (Liang et al. 2006), Incremental ELM (I-ELM)
(Huang et al. 2006b), Convex Incremental ELM (CI-ELM) (Huang and Chen 2007). Back-Propagation (BP, BPA), Levenberg-Marquardt (LM) Two types of BP schemes were implemented, one with constant learning rate (BP)
–‘traingd’ in MATLAB, and another with iteration-dependent rate, named BP with
adaptive learning rate (BPA) – ‘traingda’ in MATLAB. The learning parameters set
different than their default values are: Learning Rate = 0.01 / cs0.5, being cs the chunk size, as defined in 3.3.15. (ii)
Minimum performance gradient = 0. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Concerning the LM scheme – ‘trainlm’ in MATLAB, the only learning parameter set
different than its default value was the abovementioned (ii). None implemented. None implemented. 3.3.15 Training Mode (feature 15) Depending on the relative amount of training patterns, with respect to the whole
training dataset, that is presented to the network in each iteration of the learning
process, several types of training modes can be used, namely (i) batch or (ii) mini-
batch. Whereas in the batch mode all training patterns are presented (called an epoch)
to the network in each iteration, in the mini-batch counterpart the training dataset is
split into several data chunks (or subsets) and in each iteration a single and new chunk
is presented to the network, until (eventually) all chunks have been presented. Learning involving iterative schemes (e.g., BP- or LM-based) might require many
epochs until an ‘optimum’ design is found. The particular case of having a mini-batch
mode where all chunks are composed by a single (distinct) training pattern (number
of data chunks = Pt , chunk size = 1), is called online or sequential mode. Wilson and
Martinez (2003) suggested that if one wants to use mini-batch training with the same
stability as online training, a rough estimate of the suitable learning rate to be used in
learning algorithms such as the BP, is ηonline /√𝑐𝑠, where cs is the chunk size and ηonline is Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL the online learning rate – their proposal was adopted in this work. Based on the proposal
of Liang et al. (2006), the constant chunk size (cs) adopted for all chunks in mini-batch
mode reads cs = min{mean(hn) + 50, Pt}, being hn a vector storing the number of hidden
nodes in each hidden layer in the beginning of training, and mean(hn) the average of all
values in hn. 3.4 Network Performance Assessment Several types of results were computed to assess network outputs, namely (i)
maximum error, (ii) % errors greater than 3%, and (iii) performance, which are defined
next. All abovementioned errors are relative errors (expressed in %) based on the
following definition, concerning a single output variable and data pattern, 100
qp
qLp
qp
qp
d
y
d
e
−
=
, (25) (25) where (i) dqp is the qth desired (or target) output when pattern p within iteration i
(p=1,…, Pi) is presented to the network, and (ii) yqLp is net’s qth output for the same
data pattern. Moreover, denominator in eq. (25) is replaced by 1 whenever |dqp| < 0.05
– dqp in the nominator keeps its real value. This exception to eq. (25) aims to reduce
the apparent negative effect of large relative errors associated to target values close
to zero. Even so, this trick may still lead to (relatively) large solution errors while
groundbreaking results are depicted as regression plots (target vs. predicted outputs). 3.5 Software Validation Several benchmark datasets/functions were used to validate the developed software,
involving low- to high-dimensional problems and small to large volumes of data. Validation
results are not presented herein but they were made public in Researcher (2018). Moreover, several papers involving the successful application of this software have
already been published by Abambres and his co-workers. 3.4.3 Performance In functional approximation problems, network performance is defined as the
average relative error, as defined in eq. (25), among all output variables and data
patterns being evaluated (e.g., training, all data). 3.4.2 Percentage of Errors > 3% This variable measures the percentage of relative errors, as defined by eq. (25),
among all output variables and learning patterns, that are greater than 3%. 3.4.1 Maximum Error This variable measures the maximum relative error, as defined by eq. (25), among
all output variables and learning patterns. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL 3.6 Parametric Analysis Results Aiming to reduce the computing time by cutting in the number of combos to be run –
note that all features combined lead to hundreds of millions of combos, the whole
parametric simulation was divided into nine parametric SAs, where in each one feature 7
only takes a single value. This measure aims to make the performance ranking of all
combos within each ‘small’ analysis more ‘reliable’, since results used for comparison are
based on target and output datasets as used in ANN training and yielded by the designed
network, respectively (they are free of any postprocessing that eliminates output
normalization effects on relative error values). Whereas (i) the 1st and 2nd SAs aimed to
select the best methods from features 1, 2, 5, 8 and 13 (all combined), while adopting a
single popular method for each of the remaining features (F3: 6, F4: 2, F6: {1 or 7}, F7: 1, F9:
1, F10: 1, F11: {3, 9 or 11}, F12: 2, F14: 1, F15: 1 – see Tabs. 2-4) – SA 1 involved learning Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL algorithms 1-3 and SA 2 involved the ELM-based counterpart, (ii) the 3rd – 7th SAs combined
all possible methods from features 3, 4, 6 and 7, and concerning all other features, adopted
the methods integrating the best combination from the aforementioned SAs 1-2, (iii) the 8th
SA combined all possible methods from features 11, 12 and 14, and concerning all other
features, adopted the methods integrating the best combination (results compared after
postprocessing) among the previous five sub-analyzes, and lastly (iv) the 9th SA combined
all possible methods from features 9, 10 and 15, and concerning all other features, adopted
the methods integrating the best combination from the previous analysis. Summing up the
ANN feature combinations for all parametric SAs, a total of 475 combos were run for this
work (note that this value is much lower than the total number of ANNs simulated). ANN feature methods used in the best combo from each of the abovementioned
nine parametric sub-analyzes, are specified in Tab. 5 (the numbers represent the
method number as in Tabs 2-4). Tab. 3.6 Parametric Analysis Results 6 shows the corresponding relevant results for
those combos, namely (i) maximum error, (ii) % errors > 3%, (iii) performance (all
described in section 3, and evaluated for all learning data), (iv) total number of hidden
nodes in the model, and (v) average computing time per example (including data pre-
and post-processing). All results shown in Tab. 6 are based on target and output
datasets computed in their original format, i.e. free of any transformations due to
output normalization and/or dimensional analysis. The microprocessor used in this
work has the following features: OS: Win10Home 64bits, RAM: 128 GB, Local Disk
Memory: 1 TB, CPU: Intel® Core™ i9 7960X @ 2.80-4.20 GHz. Tab. 5. ANN feature (F) methods used in the best combo from each parametric sub-analysis (SA). SA
F1
F2
F3
F4
F5
F6
F7
F8
F9
F10
F11
F12
F13
F14
F15
1
1
2
6
2
2
7
1
1
1
1
3
2
3
1
3
2
1
2
6
2
2
7
1
2
1
1
9
2
4
1
3
3
1
2
6
4
2
3
1
1
1
1
3
2
3
1
3
4
1
2
6
1
2
3
2
1
1
1
3
2
3
1
3
5
1
2
1
2
2
1
3
1
1
1
3
2
3
1
3
6
1
2
6
1
2
7
4
1
1
1
3
2
3
1
3
7
1
2
1
2
2
7
5
1
1
1
3
2
3
1
3
8
1
2
1
2
2
7
5
1
1
1
3
5
3
1
3
9
1
2
1
2
2
7
5
1
3
3
3
5
3
1
3 ANN feature (F) methods used in the best combo from each parametric sub-analysis (SA). Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL 3.7 Proposed ANN-Based Model The proposed model is the one, among the best ones from all parametric SAs,
exhibiting the lowest maximum error (SA 9). That model is characterized by the ANN
feature methods {1, 2, 1, 2, 2, 7, 5, 1, 3, 3, 3, 5, 3, 1, 3} in Tabs. 2-4. Aiming to allow
implementation of this model by any user, all variables/equations required for (i) data
preprocessing, (ii) ANN simulation, and (iii) data postprocessing, are presented in 3.7.1-
3.7.3, respectively. Tab. 6. Performance results for the best design from each parametric sub-analysis
SA
ANN
Max Error
(%)
Performance
All Data
(%)
Errors > 3%
(%)
Total Hidden
Nodes
Running Time /
Data Point
(s)
1
209.4
11.2
64.7
32
9.95E-05
2
4148.6
177.4
94.7
250
1.21E-04
3
248.4
10.5
59.1
32
9.68E-05
4
202.4
11.9
60.0
32
1.02E-04
5
241.7
11.7
59.1
32
1.09E-04
6
219.5
11.4
59.1
32
9.73E-05
7
246.3
12.7
65.8
32
1.05E-04
8
247.0
14.2
66.3
32
1.02E-04
9
16.3
1.1
10.6
33
1.06E-04 Tab. 6. Performance results for the best design from each parametric sub-analysis. The proposed model is a single MLPN with 5 layers and a distribution of nodes/layer
of 8-11-11-11-1. Concerning connectivity, the network is fully-connected, and the hidden
and output transfer functions are all Hyperbolic Tangent and Identity, respectively. The
network was trained using the LM algorithm (1500 epochs). After design, the average
network computing time concerning the presentation of a single example (including data
pre/postprocessing) is 1.06x10-4 s – Fig. 7 depicts a simplified scheme of some of
network key features. Lastly, all relevant performance results concerning the proposed
ANN are illustrated in 3.7.4. The obtained ANN solution for every data point can be
found in Abambres and Cabello (2020), making it possible to compute the exact (with
all decimal figures) approximation errors. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Fig. 7. Proposed 8-11-11-11-1 fully-connected MLPN – simplified scheme. 8
11
11
11
1
inputs
output
MLPN
(computing time = 1.06x10-4 s/example) MLPN
(computing time = 1.06x10-4 s/example) Fig. 7. Proposed 8-11-11-11-1 fully-connected MLPN – simplified scheme. It is worth recalling that, in this manuscript, whenever a vector is added to a matrix,
it means the former is to be added to all columns of the latter (valid in MATLAB). 3.7.1 Input Data Preprocessing For future use of the proposed ANN to simulate new data Y1,sim (8 x Psim matrix)
concerning Psim patterns, the same data preprocessing (if any) performed before
training must be applied to the input dataset. That preprocessing is defined by the
methods used for ANN features 2, 3 and 5 (respectively 2, 1 and 2 – see Tab. 2),
which should be applied after all (eventual) qualitative variables in the input dataset
are converted to numerical (using feature 1’s method). Next, the necessary
preprocessing to be applied to Y1,sim, concerning features 2, 3 and 5, is fully described. Dimensional Analysis and Dimensionality Reduction Since dimensional analysis (d.a.) was not carried out, and the dimensionality
reduction (d.r.) tentative hasn´t yielded any result according to the described in 3.3.3
(linear correlation), one has
1,
1,
1,
. . . . after
after
sim
sim
sim
d r
d a
Y
Y
Y
=
=
. (26) (26) Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Input Normalization After input normalization, the new input dataset {𝑌1,𝑠𝑖𝑚}𝑛
𝑎𝑓𝑡𝑒𝑟 is defined as function
of the previously determined {𝑌1,𝑠𝑖𝑚}𝑑.𝑟
𝑎𝑓𝑡𝑒𝑟, and they have the same size, reading
(
)
1,
1,
. 0
1
5
25
0
1
5
50
0
1
2
10
0
1
0.9
1.5
0
1
0
3.504
0
1
30
200
0
1
30
200
0
1
20
49527
INP
IN
=
(:,1) +
.x
-
(:,3) ./
(:,2) -
(
P
IN
:,1)
(:,4) -
(:,3
P
INP
IN
I
)
P
NP
INP
after
after
sim
sim
n
d r
rab
de
Y
Y
rab
n
den
=
=
=
, (27) (:,2) -
(:,1)
(:,4) -
(:,3
INP
IN
I
)
P
NP
INP
rab
den
=
=
, (27) (27) where one recalls that operator ‘.x’ multiplies component i in vector rab by all
components in row i of subsequent term (analogous definition holds for ‘./’). where one recalls that operator ‘.x’ multiplies component i in vector rab by all
components in row i of subsequent term (analogous definition holds for ‘./’). 3.7.2 ANN-Based Analytical Model Once determined the preprocessed input dataset {Y1,sim}nafter (8 x Psim matrix), the
next step is to present it to the proposed ANN to obtain the predicted output dataset
{Y5,sim}nafter (1 x Psim vector), which will be given in the same preprocessed format of the
target dataset used in learning. In order to convert the predicted outputs to their ‘original
format’ (i.e., without any transformation due to normalization or dimensional analysis –
the only transformation visible will be the (eventual) qualitative variables written in their
numeric representation), some postprocessing is needed, as described in detail in 3.7.3. Next, the mathematical representation of the proposed ANN is given, so that any user Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL can implement it to determine {Y5,sim}nafter , thus eliminating all rumors that ANNs are
‘black boxes’. can implement it to determine {Y5,sim}nafter , thus eliminating all rumors that ANNs are
‘black boxes’. 3.7.2 ANN-Based Analytical Model
(
)
(
)
(
)
1 2
3
1 3
1,
1,
1
2 3
2
4
1 4
2 4
2
3 4
3
2
2
2
3
3
4
4
after
T
n
after
T
T
n
after
sim
sim
sim
T
T
T
Y
W
b
Y
W
W
Y
b
Y
W
W
Y
W
Y
b
Y
Y
Y
−
−
−
−
−
−
=
+
=
+
+
=
+
+
+
(28)
(
)
(
)
(
)
(
)
1 2
3
1 3
1,
1,
1,
5,
2 3
2
4
1 4
2 4
2
3 4
3
1 5
2 5
2
3 5
3
4 5
4
1,
2
2
2
3
3
4
4
5
5
after
T
n
after
T
T
n
after
sim
sim
sim
s
T
T
T
n
after
after
T
T
T
T
n
i
n
m
sim
Y
W
b
Y
W
W
Y
b
Y
W
W
Y
W
Y
b
W
Y
W
Y
W
Y
Y
W
Y
Y
Y
Y
b
−
−
−
−
−
−
−
−
−
−
=
+
=
+
+
=
+
+
+
=
+
+
+
+
, (28)
(
)
1,
4
1 4
2 4
2
3 4
3
4
4
after
sim
T
T
T
n
Y
W
W
Y
W
Y
b
Y
−
−
−
=
+
+
+
, (28) , (28)
(
)
5,
1 5
2 5
2
3 5
3
4 5
4
1,
5
5
s
after
after
T
T
T
T
n
i
n
m
sim
W
W
Y
W
Y
W
Y
Y
Y
b
−
−
−
−
=
+
+
+
+ where where 5
2
3
4
5
( )
( )
s
s
s
s
e
e
s
e
e
s
s
−
−
−
=
=
=
=
+
=
=
. (29) 5
5
( )
e
e
s
s
+
=
=
. 3.7.2 ANN-Based Analytical Model (29) (29) Arrays Wj-s and bs are stored online in Abambres (2020), aiming to avoid an overlong
article and ease model’s implementation by any interested reader. 3.7.3 Output Data Postprocessing In order to transform the output dataset obtained by the proposed ANN, {Y5,sim}nafter
(1 x Psim vector), to its original format (Y5,sim), i.e. without the effects of dimensional
analysis and/or output normalization (possibly) taken in target dataset preprocessing
prior training, the postprocessing addressed next must be performed. Non-normalized (just after dimensional analysis) and Original formats Once obtained {Y5,sim}nafter, the following relations hold for its transformation to its
non-normalized format {𝑌5,𝑠𝑖𝑚}𝑑.𝑎. 𝑎𝑓𝑡𝑒𝑟, i.e. just after the dimensional analysis stage, and
its original format. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL
5,
5,
5,
. . =
=
after
sim
sim
sim
d
after
n
a
Y
Y
Y
(30) (30) (
since neither output normalization nor dimensional analysis were carried out. 4. Conclusions Any engineering structure must comply with the appropriate strength, stability and
serviceability criteria defined by design standards. Since grid-shells are slender
structures highly prone to buckling, understanding how they perform in terms of
stability is a critical aspect of their design. This paper presents an application of
Artificial Intelligence to predict the onset of elastic buckling on steel grid-shells of
paraboloid shape when subjected to uniform vertical loading. The proposed Artificial Neural Network (ANN) yields mean and maximum errors of
1.1% and 16.3%, respectively, for all 1098 data points (i.e., FE models). Only in 10.6%
of those points the prediction error exceeds 3%. The analytical formulation
corresponding to the proposed ANN is thoroughly described. This is a hands-on tool
enabling any user to obtain the buckling factor of any grid-shell belonging to the family
(and domain) of those described herein. Using an ANN to obtain such set of predictive
formulas is a novel approach not relying on any homogenization of the structure, thus
avoiding denaturing its discretized condition. 3.7.4 Performance Results Finally, results yielded by the proposed ANN, in terms of performance variables
defined in sub-section 3.4, are presented in this section in the form of several graphs:
(i) a regression plot (Fig. 8), where network target and output data are plotted, for each
data point, as x- and y- coordinates respectively – a measure of linear correlation is
given by the Pearson Correlation Coefficient (R), as defined in eq. (1); (ii) a performance
plot (Fig. 9), where performance (average error) values are displayed for several
learning datasets; and (iii) an error plot (Fig. 10) for functional approximation problems,
where values concern all data (iii1) maximum error and (iii2) % of errors greater than 3%. Fig. 8. Regression plot for the proposed ANN. Fig. 8. Regression plot for the proposed ANN. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Fig. 9. Performance plot (mean errors) for the proposed ANN. Fig. 9. Performance plot (mean errors) for the proposed ANN. Fig. 9. Performance plot (mean errors) for the proposed ANN. Fig. 10. Error plot for the proposed ANN. Fig. 10. Error plot for the proposed ANN. Fig. 10. Error plot for the proposed ANN. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL Author Contributions Abambres was in charge of section 3 (Artificial Neural Networks), and Cabello of all
remaining sections. Both authors equally contributed to the Conclusions section. Abambres M, Cabello A (2020). Analytical Prediction of Steel Grid-Shell Stability and Dynamic Behaviors Using Neural
Networks – Part 1, URL References Abambres M (2020). W and b arrays, URL. Abambres M, Marcy M, Doz G (2018). Potential of Neural Networks for Structural Damage
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https://openalex.org/W2490938419
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https://napier-repository.worktribe.com/file/168160/1/Integrating%20real-time%20fluid%20simulation%20with%20a%20Voxel%20engine.
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English
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Integrating Real-Time Fluid Simulation with a Voxel Engine
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The computer games journal
| 2,016
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cc-by
| 3,052
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Comput Game J (2016) 5:55–64
DOI 10.1007/s40869-016-0020-5 1
Edinburgh Napier University, Room C48, Merchiston Campus, 10 Colinton Road,
Edinburgh EH10 5DT, UK Integrating Real-Time Fluid Simulation with a Voxel
Engine Johanne Zadick1 • Benjamin Kenwright1 •
Kenny Mitchell1 Received: 22 September 2015 / Accepted: 29 June 2016 / Published online: 29 July 2016
The Author(s) 2016. This article is published with open access at Springerlink.com Abstract We present a method of adding sophisticated physical simulations to
voxel-based games such as the hugely popular Minecraft (2012. http://minecraft. gamepedia.com/Liquid), thus providing a dynamic and realistic fluid simulation in a
voxel environment. An assessment of existing simulators and voxel engines is
investigated, and an efficient real-time method to integrate optimized fluid simu-
lations with voxel-based rasterisation on graphics hardware is demonstrated. We
compare graphics processing unit (GPU) computer processing for a well-known
incompressible fluid advection method with recent results on geometry shader-
based voxel rendering. The rendering of visibility-culled voxels from fluid simu-
lation results stored intermediately in CPU memory is compared with a novel,
entirely GPU-resident algorithm. Keywords Voxels Fluid Geometry shader Real-time Video games Volume
Graphical processing unit (GPU) & Kenny Mitchell
k.mitchell2@napier.ac.uk 1 Introduction Voxel-based games such as Minecraft (2012) have become increasingly popular. However, the fluid in such games is usually simulated and rendered in simplistic
fashion, and is seldom characterised by realistic dynamics. Fluids such as water are
programmed in several different ways in voxel engines. The most commonly used
method in voxel-based engines is cellular automaton, which consists of prescribed
operations on a regular grid of cells. Each cell can adopt a finite number of states,
and rules define the behavior of the fluid. The characteristics of these rules provide 12 123 123 56 Comput Game J (2016) 5:55–64 the major differences between such game simulations, but these are often very
simple and not based on mathematical models, and consequently, the fluid does not
appear to react realistically in many cases. For example, in Minecraft, water can be
observed to spread in a single direction without any obstacles (Fig. 1). By contrast, a dynamic fluid simulation fully rendered with voxels can provide an
interesting source of engagement in video games and movies. The Lego Movie
(Warner Bros.) (Fig. 2) is a good example, with many compelling voxel-based
ocean scenes. However, dynamic fluid simulations are expensive, as a large amount of
volumetric information must be updated for every frame, ideally in real-time. Furthermore, voxel engines are rather resource-intensive, due to the number of
voxels that need to be displayed for an entire scene. Thus, the concepts of dynamic
fluid and voxel engine are hard to merge. This challenge is somewhat alleviated by
recent results in both GPU-accelerated fluid simulation (Crane et al. 2007 and
Harris 2004) and voxel-based rendering, but to our knowledge, no work has been
reported on the particular hurdles of integrating these efficiently. We therefore propose an efficient integration of GPU voxel-based rendering
(Miller et al. 2014) with a well-known fluid simulation advection, based on the
Navier–Stokes differential equations (Stam 2003). 2.1 Voxel-Based Rasterisation There exist several online tutorials regarding the development of voxel engines, and
the main challenges that arise when attempting efficient rendering. A major
consideration is the platform technology upon which these are built, which is
conducive to GPU fluid simulation. For example, an open source OpenGL fluid Fig. 1 Unrealistic behavior of water in Minecraft Fig. 1 Unrealistic behavior of water in Minecraft 123 57 Comput Game J (2016) 5:55–64 Fig. 2 Sample image of a voxel-based ocean in The Lego Movie Warner Bros Fig. 2 Sample image of a voxel-based ocean in The Lego Movie Warner Bros simulation is not compatible with a Direct3D voxel-based rendering engine, and
cannot be employed without considerable reworking of the code. Barrett’s (2015) Obbg engine was developed to illustrate the use of a highly
efficient voxel render library, and it illustrates large Minecraft-styled voxel
landscapes that are implemented with OpenGL. With an OpenGL voxel engine,
CUDA, OpenCL, and OpenGL fluid simulations are valid candidates for integration. However, many of the optimizations applied in this framework are applied for large
static open world rendering, and have proved unsuitable for our dynamic voxel
rendering requirements, in which each voxel may change from frame to frame. The Poxels rendering framework (Miller et al. 2014), implemented in Direct3D,
focuses on rendering sparse 3D voxel environments with data amplification using
Geometry Shaders on GPU. This approach reduces the CPU-to-GPU bandwidth
costs of updating the volumetric grid data, and makes it more suitable for dynamic
voxel-based environment rendering (Fig. 3). Miller et al. (2014) further justify the Fig. 3 Examples of the Poxels (Miller et al. 2014) sparse voxel-based rendering engine, which employs
GPU data amplification suitable for efficient dynamic voxel environments Fig. 3 Examples of the Poxels (Miller et al. 2014) sparse voxel-based rendering engine, which emplo
GPU data amplification suitable for efficient dynamic voxel environments 3 58 Comput Game J (2016) 5:55–64 GPU rasterisation approach (also used in Minecraft 2012), as opposed to ray-casting
oriented approaches. 2.2 Real-Time Fluid Simulation 4 Vlietinck’s simulation (Vlietinck 2009) 123 Comput Game J (2016) 5:55–64 59 2.2 Real-Time Fluid Simulation The Liquid Voxels project (Cabello 2015) developed using Unity 3D allows more
realistic fluid behaviors in a voxel-based engine. It uses C# CPU-resident 3D arrays
to store fluid information, and a cellular automaton method to define the behavior. However, in our method, since we are working on GPU, we apply 3D textures to
store the fluid data. Stam’s (2003) description of fast fluid simulation for games covers the simulation
principles and details highly efficient GPU computation methods with which to
apply them in 2D. Karoly’s (2012) work details an open source real time fluid
implementation and control method which is derived from Stam’s work and which
performs well in OpenGL; however, this was incompatible with our choice of the
Direct3D voxel rendering method. Vlietinck (2009) uses a similar system, which
has been expanded to support 3-dimensional fluid simulations. This work is
demonstrated with a fire and smoke simulation (Fig. 4), but equally, we can show
the method being applied to water. Since Vlietinck made use of DirectCompute for
GPU compute advection, pressure acceleration and correction processing, this very
much suits compatibility with our choice of a Direct3D voxel rendering engine. In order to provide a brief background and the context of our Navier–Stokes
processing framework, we define a number of processing stages: •
the advection of the velocity field of the fluid;
•
the acceleration caused by the pressure in the fluid;
•
the diffusion of the momentum resulting from the resistance of the fluid; and,
•
external forces of static or dynamic bodies interacting with the fluid. •
the advection of the velocity field of the fluid; •
the advection of the velocity field of the fluid; y
•
the acceleration caused by the pressure in the fluid; •
the acceleration caused by the pressure in the fluid;
•
the diffusion of the momentum resulting from the resistance of the fluid; and,
•
external forces of static or dynamic bodies interacting with the fluid. To apply the Navier–Stokes equations, it is necessary to perform three
computations to update the velocity at each time step: advection, diffusion, and
force application. We can then compute the pressure and subtract the pressure
gradient. We want our simulation to realize those calculations on the GPU. Fig. 4 Vlietinck’s simulation (Vlietinck 2009)
123 Fig. 4 Vlietinck’s simulation (Vlietinck 2009) Fig. 4 Vlietinck’s simulation (Vlietinck 2009) Fig. 3 Method and Implementation In the GPU compute fluid simulation process, several textures are associated with
the compute shaders that can be either be the input or the output. Textures are
defined for the speed, pressure and divergence. In detail, there are three velocity
textures and two pressure textures, which deal with the temporary values that must
be stored during each stage of the process. Those textures are composed of single
precision float 4 types. The final result of the five GPU compute stages is output in a
3D speed grid texture filled with single precision floats. This texture provides the 3D
source fluid field for transfer into the voxel-based rendering engine. In the Poxels voxel engine (Miller et al. 2014), it is on the CPU that we must
define which voxels of the grid are active (to be displayed). Therefore, to retrieve
the result in the initial approach, we read the speed grid texture back on the CPU. Since a texture passed to the polygonal voxel-generating Geometry Shader cannot
be read directly from the CPU, we create a staging texture in which we transmit the
data from the resulting speed grid texture into the GPU memory. This is performed
by mapping the staging texture in CPU memory, and copying the result from our 3D
float array. It is important that the size used for the fluid simulation is the same as
the size of the 3D voxel staging texture, and that the CPU memory buffer has an
appropriate memory address alignment. Once the values in the float array are on the
CPU, we can process them in the voxel engine. We include a color argument to the
voxel that highlights the spread of the fluid concentration through the simulation. For the purpose of a locally contained fluid simulation within the limits of in-core
GPU memory constraints, we define the concept of a volumetric in the class,
‘Chunk’. In this CPU approach, we implement a method in the Chunk class, which
links between the speed map array that we have retrieved from the fluid simulation,
and the input voxel array to be displayed. This approach activates a voxel if the
corresponding value in the dense 3D array is not zero. To deal with the Fig. 5 Flow of memory data between the GPU and the CPU Fig. 5 Flow of memory data between the GPU and the CPU Fig. 3 Method and Implementation 5 Flow of memory data between the GPU and the CPU 12 123 60 Comput Game J (2016) 5:55–64 concentration, we produce a color ramp by applying a function that takes a float
between 0 and 1 and returns a RGB color that is then passed to the geometry shader
of the Poxel simulation. In a game environment, either textures or an adapted
colours range would give a more realistic result. The Poxel-rendering approach
(Miller et al. 2014) follows 2 main steps: (1) dispatch to geometry shader stream
amplification with stream-out to the cached vertex buffer; followed by (2) regular
triangle geometry rasterisation with the generated vertex buffer. g
g
y
g
The flow of memory data between the GPU and the CPU for each frame is
illustrated in Fig. 5. 4.1 System Specifications To generate the results shown in this paper, we ran the simulation on an Asus
N751JX-T4180H. It has a GeForce GTX 950M video card with 2.0 GB of dedicated
video RAM. The CPU is an Intel(R) Core(TM) i7-4720HQ with 2.6 GHz Dual-Core
64-bit. The OS is Microsoft Windows 10 Famille, 64-bit, with 8 GB of RAM. Table 2 Major steps—
execution times on
64 9 64 9 64 chunk 4.2 Performances In our CPU approach, the time used to copy the data back to the CPU is more
significant than the time needed for the all other steps, and so this issue had to be
addressed (Fig. 6; Tables 1, 2). For the previous screenshots (Fig. 7) we inject fluid every 400 frames at the top
left corner of the chunk and then apply a downward force. A full loop, from the Fig. 6 Graph of frame time (ms) of combined voxel fluid simulation and rendering showing linear
scaling and the number of voxels Fig. 6 Graph of frame time (ms) of combined voxel fluid simulation and rendering showing linear
scaling and the number of voxels Fig. 6 Graph of frame time (ms) of combined voxel fluid simulation and rendering showing line
scaling and the number of voxels 123 Comput Game J (2016) 5:55–64 Comput Game J (2016) 5:55–64 61 Table 1 FPS and frame time on
NVIDIA GeForce GTX950M
with different simulation chunk
sizes Table 2 Major steps—
execution times on
64 9 64 9 64 chunk Step
Execution time (ns)
Advect
5986
Backward advect and pre correct
1710
Second order correction
34,637
Draw source
855
Calculate speed divergence
1282
Jaccobi
14,539
Project
855
Copy in staging texture
2993
Copy from staging texture to CPU
23,088,969
Activate voxels and render
976,276 Fig. 7 Results of simulation running on 64 9 64 9 64 chunk every 20 frames Fig. 7 Results of simulation running on 64 9 64 9 64 chunk every 20 frames appearance of the source to the disappearance of the last voxel last 180 frames. This
duration will change based on the chunk size, the source position and the force
applied. appearance of the source to the disappearance of the last voxel last 180 frames. This
duration will change based on the chunk size, the source position and the force
applied. 12 3 Comput Game J (2016) 5:55–64 62 Fig. 8 Flow of memory data between the fluid simulation and the Poxel engine Fig. 8 Flow of memory data between the fluid simulation and the Poxel engine Fig. 9 Graph of FPS with GPU-only method (red) and original method (blue) Fig. 9 Graph of FPS with GPU-only method (red) and original method (blue) 4.3 GPU Optimization In order to improve performance, we needed to avoid copying back the data to the
CPU. To prevent this from happening, is was necessary to move some of the Poxel
voxel engine CPU’s functionality to the geometry shader. As a result, the voxels are
no longer activated by the CPU, since it is in the geometry shader that we use to
determine which voxels should be rendered. Instead, in the fluid simulation compute
shader, we add another texture (wherein only values that do not equal zero are
placed), and we send that texture to the geometry shader. We then continuously
output vertex data from the geometry-shader stage using stream-out, which
guarantees the deterministic ordering of rendered primitives. The color ramp is then
applied directly in the geometry shader (Fig. 8). 123 63 Comput Game J (2016) 5:55–64 Fig. 10 Graph of frame time with GPU-only method (green) and original method (red) Fig. 10 Graph of frame time with GPU-only method (green) and original method (red) Fig. 10 Graph of frame time with GPU-only method (green) and original method (red) Table 3 FPS and frame time on
NVIDIA GeForce GT540M with
different simulation chunk sizes
(GPU approach)
Chunk size
Blocks
FPS
Frame time (ms)
32 9 32 9 32
32,768
652
1.534
64 9 64 9 64
262,144
180
5.556
96 9 96 9 96
884,736
58
17.241
128 9 128 9 128
2,097,152
25
40.000 Using that optimization, we have observed a huge improvement in performance,
going from 30 fps for a 64 9 64 9 64 chunk, up to 1100 fps (Figs. 8, 9, 10;
Table 3). 5 Conclusion This method can be used to generate realistic fluid behaviors in voxel engines. It
could be used for water, other fluids, fire, and smoke. This would result in more
dynamic voxel works. However, several further optimizations would have to be
made to improve performance and efficiency. The fluid simulation that we have
described in this paper does is not programmed to detect or respond to obstacles. An
extension of this work would be to add obstacles. In that way, the currently active
voxels of the chunk would define the position of the obstacles. An interesting point
would also be to deal with the way in which different fluids would interact with each
other, e.g. water and lava. Likewise, the reaction between fluid-based voxels and a
different kind of voxel would need to be tested further. For example, fire or lava can
ignite wood. Moreover, the simulation is only based on a single chunk, and it needs
to be extended to several chunks. A solution would be to associate each chunk with
a fluid texture, and to add the source, based on the position and concentration of
fluid at the borders of the other chunks. 12 123 64 Comput Game J (2016) 5:55–64 Acknowledgments The authors would like to thank the reviewers, David Sinclair for his help, and Babis
Koniaris for his coding expertise and the valuable assistance he has given us on the GPU-part of the
project. This work was supported by the Erasmus programme. 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, dis-
tribution, 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. References Barett, S. (2015). Obbg—Open block building game. https://github.com/nothings/obbg
Cabello, R. (2015). Liquid voxels. http://forum.unity3d.com/threads/liquid-voxels.242821 Barett, S. (2015). Obbg—Open block building game. https://github.com/nothings/obbg
Cabello R (2015) Liquid voxels http://forum unity3d com/threads/liquid voxels 24282 g
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(Ed.), Gpu Gems (chap. 30) (Vol. 3, pp. 633–676). Addison-Wesley. Harris, M. J. (2004) Fast fluid dynamics simulation on the GPU. In R. Fernando (Ed.), GPU Gems:
Programming techniques, tips and tricks for real-time graphics (chap. 38) (Vol. 1, pp. 637–665). Addison-Wesley. Karoly, Z. (2012). Real time fluid simulation and control using the Navier–Stokes equations. A thesis
submitted in partial fulfilment of the Requirements of Budapest University of Technology and
Economics for the M.Sc. in Computer Engineering. Miller, M., Cumming, A., Chalmers, K., Kenwright, B. & Mitchell, K. (2014). Poxels: Polygonal voxel
environment rendering. In: Proceedings of the 20th ACM symposium on virtual reality software and
technology. Edinburgh, Scotland, 2014. Minecraft Wiki. (2012). Liquid. Available from http://minecraft.gamepedia.com/Liquid Minecraft Wiki. (2012). Liquid. Available from http://minecraft.gamepedia.com/Liquid
Stam, J. (2003). Real-time fluid dynamics for games. In: The game developer conference. San Jose CA,
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Monthly variation in masses, metals and endotoxin content as well as pro-inflammatory response of airborne particles collected by TEOM monitors
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Abstract Particle exposure has been linked to an increased incidence of cardiovascular disease. Furthermore, particle exposure has been
shown to have a chronic inhibitory effect on lung development in young people and may result in increased respiratory problems
in adults or children with respiratory-related diseases. In today’s urban environments, particle levels are mainly monitored
gravimetrically; however, other factors such as particle size, shape and surface reactivity have recently been noted as highly
important in relation to possible health outcomes. Here, particles from TEOM monitor filters placed in three different cities were
studied. The purpose of the study was to investigate whether there are variations in particle masses, cadmium and lead contents,
as well as endotoxin levels between locations and time points over the year and if this can be correlated to the particles ability to
induce a pro-inflammatory response in vitro. Results showed that it is possible to detect variations at different locations and at
different time points over the year and that cadmium, lead and endotoxin levels did not coincide with the increased total particle
masses while endotoxin levels coincided with pro-inflammatory responses in vitro. The present study shows that filter analysis is
a useful complement to gravimetric or particle-counting measurements in studies of particle-related health effects and will give
useful information regarding future air quality measurements. Keywords Particles . PM10 . Exposure . TEOM . Metals . Endotoxins . Pro-inflammatory response Keywords Particles . PM10 . Exposure . TEOM . Metals . Endotoxins . Pro-inflammatory response * Stefan A. Ljunggren
stefan.ljunggren@liu.se https://doi.org/10.1007/s11869-019-00767-9
Air Quality, Atmosphere & Health (2019) 12:1441–1448 https://doi.org/10.1007/s11869-019-00767-9
Air Quality, Atmosphere & Health (2019) 12:1441–1448 Monthly variation in masses, metals and endotoxin content
as well as pro-inflammatory response of airborne particles collected
by TEOM monitors Stefan A. Ljunggren1
& Ali Reza Nosratabadi1 & Pål Graff2 & Helen Karlsson1 Received: 27 June 2019 /Accepted: 4 November 2019
# The Author(s) 2019
/Published online: 16 November 2019 2
National Institute of Occupational Health, Oslo, Norway 1
Occupational and Environmental Medicine Center, and Department
of Clinical and Experimental Medicine, Linköping University,
Linköping, Sweden Stefan A. Ljunggren and Ali Reza Nosratabadi contributed equally to this
work. Introduction arsenic, lead, nickel and cadmium. In connection with the
introduction of environmental quality standards, particles
have been recognised as an increasing air pollution problem
(IVL Swedish Environmental Research Institute 2016). Particle exposure, in addition to the increased incidence of
cardiovascular disease, has been shown to have a chronic
inhibitory effect on lung development in young people be-
tween 10 and 18 years of age and may result in increased
respiratory problems in children with respiratory-related dis-
eases (Gauderman et al. 2004; O’Connor et al. 2008). A number of studies have shown that exposure to air pollution
increases the risk of mortality in lung as well as cardiovascular
diseases (Pope et al. 2018; Stockfelt et al. 2017; Fiordelisi
et al. 2017). The term air pollution, however, includes a vari-
ety of substances. In Sweden’s air quality regulation (SFS
2010:477), air pollution includes the presence and air content
of nitrogen dioxide, sulphur dioxide, particles (PM10 and PM
2.5), benzene, carbon monoxide, ozone, polyaromatic hydro-
carbons (with benzo (a) pyrene as indicator) and the metals In today’s urban environments, particle levels are mainly
monitored gravimetrically, which means that the particle con-
tents are based on mass. However, other factors such as parti-
cle size, shape and surface reactivity have recently been noted
as highly important in relation to possible health outcomes
(Golokhvast et al. 2015; Steenhof et al. 2011; Ristovski
et al. 2012). These factors are likely to be of interest since
small particles may end up deeper in the lungs and have a
larger combined surface area compared with large particles. Variation in particle properties have also been shown to be of
importance for the degree of toxicity and inflammation-
inducing potential which has been demonstrated for wear Stefan A. Ljunggren and Ali Reza Nosratabadi contributed equally to this
work. * Stefan A. Ljunggren
stefan.ljunggren@liu.se
1
Occupational and Environmental Medicine Center, and Department
of Clinical and Experimental Medicine, Linköping University,
Linköping, Sweden
2
National Institute of Occupational Health, Oslo, Norway Stefan A. Ljunggren and Ali Reza Nosratabadi contributed equally to this
work. Air Qual Atmos Health (2019) 12:1441–1448 1442 particles from tires and road surfaces (Araujo 2010; Lindbom
et al. 2006, 2007; Karlsson et al. 2011; Gustafsson et al. 2008;
Boogaard et al. 2012). particles from tires and road surfaces (Araujo 2010; Lindbom
et al. 2006, 2007; Karlsson et al. 2011; Gustafsson et al. 2008;
Boogaard et al. 2012). Introduction are used worldwide, measure the ambient concentration of
particles (PM10 or PM2.5) in real time. TEOM monitors are
gravimetric instruments that draws ambient air through a filter
at a constant flow rate (3 L/min), while continuously weighing
the filter, measuring ambient particulate mass concentrations
(Patashnick and Rupprecht 1991). Replacement of the TEOM
filters was carried out according to instructions every month
for 1 year (September 2014–August 2015) by personnel from
the respective municipality. A total of 48 filters were collected
from the four TEOM stations. After each replacement, the
TEOM filters were sent to the Occupational and
Environmental Medicine laboratory at the Linköping
University Hospital. Upon arrival at the laboratory, each sam-
ple was recorded and the tube with filters was then placed in a
low temperature freeze (−70 °C) while awaiting weighing,
particle extraction and analysis. This study is based on a previous study, where the possi-
bility of using filters from existing TEOM stations for further
characterisation of particle properties was explored
(Nosratabadi et al. 2019). The earlier study showed that the
particle masses peaked in March/April while the oxidative
capacity of the particles was at its highest early in the spring
and the content of endotoxins and the pro-inflammatory re-
sponse were highest in late summer. This indicates that the
source and composition of the particles are different over the
year and may pose different health risks (Nosratabadi et al. 2019). In the present study, a more in-depth analysis of TEOM
filters collected monthly in three cities in the southeast part of
Sweden are presented. The main purpose of the study was to
investigate whether there are variations in particle masses,
metal contents (Cd, Pb) and endotoxins between locations
and time points over the year and if this can be correlated to
the particles ability to induce pro-inflammatory response
in vitro. To determine the mass of the particles, each filter was
weighed with a precision microbalance with a reading preci-
sion of 10 μg (Sartorius Micro MC5 P). Before the weighing,
each filter was stored for 48 h in a room with a controlled
temperature and humidity (24 °C and 55% ± 2%). At the same
time, two unexposed control filters were also weighed. The
weighing was performed twice, before and after the extraction
to calculate the mass of particles released during the
extraction. Metal analysis For determination of relative amounts of lead and cadmium in
the samples, an atomic absorption spectrophotometry
(ContrAA 700 with graphite furnace, Analytik Jena AG,
Jena, Germany) was used. The frozen samples were thawed
at room temperature and transferred to a Teflon tube. The
Teflon tubes were placed in a heating cabinet (50 °C) for
15 h until dried, then 300 μL of nitric acid and 100 μL of
water were added to each tube. The Teflon tubes were then
incubated in a heating cabinet (80 °C) overnight for 16 h. After incubation, 600 μL of deionised water was added to
each tube and mixed for 5 s using a vortex before the analysis. Mean monthly values for the ambient particle concentra-
tions were calculated based on data from the TEOM monitors
that had been sent to a national database handled by the
Swedish Meteorological and Hydrological Institute (SMHI). Information regarding temperatures in the three cities was
collected from open data provided by SMHI. Particulate matter (PM10) in air After the first weighing, each filter was placed in a sterile
50-mL Falcon tube and 2 mL of endotoxin-free water was
added (Braun Malsungen AG, Germany). To extract the par-
ticles from the filter, an ultrasonic probe was used for 5 × 10 s
per filter (MSE Soniprep 150 Ultrasonic Disintegrator,
Heathfield, UK). The suspension with extracted particle was
allocated in fractions of 500 μL and frozen at −30 °C pending
analysis. Particulate matter with a size less than 10 μm (PM10) were
collected on filters by TEOM monitors. Filters were collected
at four sites located in three different cities in the southern part
of Sweden during 1 year (September 2014–August 2015). In
detail, particles have been collected from two different TEOM
stations placed in two different streets (street 1 “Kungsgatan”
and street 2 “Promenaden”) in a city connected to the Baltic
Sea via a bay, (city 1, Norrköping, 96,500 inhabitants), from
one TEOM station placed in an inland city, (city 2, Linköping,
100,000 inhabitants) and from one TEOM station placed in a
smaller city located in direct connection to the Baltic Sea (city
3, Kalmar, 36,500 inhabitants). From street 2 in city 1, a sim-
ilar filter collection has previously been done for one year
(September 2009–August 2010). Results At location 2 in city 1, data was available from 5 years prior to
the current study, which allowed a comparison of time trends
at this location. Particle concentrations were in general lower
2014–2015 compared with 2009–2010, and the highest peaks
occurred in April 2010 and in March 2015 (Fig. 3a). The delay
in 2010 may be explained by that the temperature was in
general higher during 2014–2015 (Fig. 3b). When looking at
the metal content of the collected particles, cadmium showed a
significant and lead a close-to-significant decrease years
2014–2015 compared with 2009–2010 (Fig. 3c, d). Interestingly, the highest peaks of the metals occurred in
November to February in 2009–2010, a period when the total
particle masses collected by the TEOM station were relatively
low. Co-variation over the year The co-variation of the investigated variables over the year
was investigated using a multivariate model with OPLS-DA. This model aims at separating a set of y-variables (in this case,
the different months) using a set of x-variables (in this case,
the measures of particle mass, temperature, metal levels,
endotoxin content and IL-1β) that allows for detecting under-
lying co-variation. This co-variation can be seen as a cluster-
ing of investigated y- and x-variables in a two-dimensional
plane in a so-called loading plot of the investigated factors. As can be seen in Fig. 2, the endotoxin content and pro-
inflammatory response (IL-1β) showed the highest levels dur-
ing the summer months (May to August), illustrated as a clus-
tering to the right in the image. The PM10 particle concentra-
tions were highest in March, while both the lead and cadmium
concentrations on the TEOM filters were higher during the
winter months (especially November, seen as clustering to
the bottom left). Statistics Differences between the cities were investigated using
Friedman test with Dunns multiple comparison post-test. Differences between the two measured periods at the same
location were analysed by Wilcoxon matched pairs test. A p
value below 0.05 was considered significant. To investigate the different measures variability over the
year, a multivariate model (OPLS-DA) was created using
SIMCA 15. Endotoxins The TEOM monitors and the collection of particles from the
TEOM filter are described in detail in a previous study
(Nosratabadi et al. 2019). In short, TEOM monitors, which The endotoxin content on each filter was analysed using a
specific Limulus assay (Pierce™LAL Chromogenic endotox-
in quantitation kit, Thermo Fisher Scientific, Waltham, MA, 1443 Air Qual Atmos Health (2019) 12:1441–1448 city 3 (p < 0.001, Fig. 1b). These differences were however
very small in absolute numbers as can be seen in Fig. 1b. USA) according to the manufacturer’s instructions. Briefly,
10 μg of particles in suspension and standard was added to
wells of a 96-well plate and incubated for 5 min at 37 °C. To
this was added 50 μL of limulus amebocyte lysate (LAL) and
the plate was incubated for 10 min before a chromogenic
substrate was added followed by 6 min incubation at 37 °C. The endotoxin levels were determined using a spectrophotom-
eter measuring at 405 nm (FLUOstar, BMG Labtech,
Ortenburg, Germany). y
g
Extracted particles from the TEOM filters were analysed for
their relative metal content. Cadmium levels were significantly
higher in city 3 compared with city 1 location 1 (p < 0.001) as
well as city 2 (p < 0.01, Fig. 1c). For lead, city 1 location 2
showed significantly higher levels compared with both city 1
location 1 (p < 0.05) and city 2 (p < 0.01, Fig. 1d). Lead levels
in city 3 showed a clear increase compared with city 2 and city
1 location 1 but this was not statistical significant. Pro-inflammatory response Endotoxin tests and pro-inflammatory responses via IL-1β
analysis showed a similar trend comparing all locations over the
year but no significant differences between the cities was found
(Fig. 1e, f). However, a positive correlation could be seen be-
tween the levels of endotoxin and IL-1β when comparing all
measures (Spearman correlation, R = 0.5, p < 0.001). The potential for the collected particles to induce a pro-
inflammatory response was measured by incubating plas-
ma from a healthy donor with particles and then measur-
ing the formed content of IL-1β with a commercial
ELISA kit (Invitrogen, Carlsbad, CA, USA) according to
the manufacturer’s instructions. Briefly, 100 μL of whole
blood was mixed with 20 μg of extracted particles and
incubated for 18 h at 37 °C. The following day, the sam-
ple was centrifuged at 14,000g for 5 min. Residual super-
natants (blood plasma) were analysed with ELISA kits in
which antibodies bound in a 96-well plate bind to IL-1β
and, via an enzymatic method, dye is read at 450 nm
(FLUOstar, BMG, Germany). Discussion measuring locations in city 1 (Norrköping) showed the highest
monthly averages that approached 40 μg/m3, while the
monthly average in city 2 (Linköping) reached just over 30
μg/m3 followed by city 3 (Kalmar) with about 25 μg/m3. High
levels of airborne particles in the spring have for a long time
been considered a problem in Nordic countries (Nosratabadi
et al. 2019). However, the timing of when the highest levels
occur during the spring may vary slightly from year to year
depending on the weather as can be seen in Fig. 3a, b. The Comparison of the three cities d Concentration of lead in the collected dust from the TEOM
stations. e Endotoxin levels in the collected dust from the TEOM stations. f Pro-inflammatory response measured by the amount of IL-1β produced
after incubation of human plasma over night with collected particles. *p <
0.05 city 1 location 1 vs location 2, ##p < 0.01 city 1 location 1 vs city 2,
¤/¤¤¤p < 0.05/0.001 city 1 location 1 vs city 3, ††p < 0.01 city 1 location 2
vs city 2, ‡/‡‡/‡‡‡p < 0.05/0.01/0.001 city 2 vs city 3 as determined by
Friedman’s test with Dunn’s multiple comparison post-test Comparison of the three cities Particle levels (PM10) in air were calculated gravimetrically
using TEOM stations and are reported as monthly mean
values in Fig. 1a. These values were calculated from data sent
from the TEOM monitors and collected in a national database
at the Swedish Meteorological and Hydrological Institute
(SMHI). There were significantly higher particle levels in city
1 location 1 and city 2 compared with city 3 in pair-wise
monthly comparisons (p < 0.05). The average monthly temperature differed between the cit-
ies where city 2,which is located inland, showed significantly
lower temperature than both locations in city 1 (p < 0,01) and Discussion
Particles in air
Particulate matter (PM10) masses in air were calculated dur-
ing the period September 2014–August 2015, based on infor-
mation from TEOM stations located in three different cities in
measuring locations in city 1 (Norrköping) showed the high
monthly averages that approached 40 μg/m3, while
monthly average in city 2 (Linköping) reached just over
μg/m3 followed by city 3 (Kalmar) with about 25 μg/m3. H
levels of airborne particles in the spring have for a long ti
been considered a problem in Nordic countries (Nosratab
et al. 2019). However, the timing of when the highest lev
Fig. 1 Comparison of monthly values at four different sites in three
different cities. a PM10 particle concentrations (μg/m3) in air as
reported by the TEOM stations. b Average temperatures. c
Concentration of cadmium in the collected dust from the TEOM
stations. d Concentration of lead in the collected dust from the TEOM
stations. e Endotoxin levels in the collected dust from the TEOM stations. f Pro-inflammatory response measured by the amount of IL-1β produ
after incubation of human plasma over night with collected particles. *
0.05 city 1 location 1 vs location 2, ##p < 0.01 city 1 location 1 vs cit
¤/¤¤¤p < 0.05/0.001 city 1 location 1 vs city 3, ††p < 0.01 city 1 locatio
vs city 2, ‡/‡‡/‡‡‡p < 0.05/0.01/0.001 city 2 vs city 3 as determined
Friedman’s test with Dunn’s multiple comparison post-test
Air Qual Atmos Health (2019) 12:1441–1
1444 Air Qual Atmos Health (2019) 12:1441–1448 1444 Fig. 1 Comparison of monthly values at four different sites in three
different cities. a PM10 particle concentrations (μg/m3) in air as
reported by the TEOM stations. b Average temperatures. c
Concentration of cadmium in the collected dust from the TEOM
stations. Particles in air Particulate matter (PM10) masses in air were calculated dur-
ing the period September 2014–August 2015, based on infor-
mation from TEOM stations located in three different cities in
Sweden (Fig. 1a). The highest monthly averages for PM10 in
the four locations coincided in March 2015. The two 1445 Air Qual Atmos Health (2019) 12:1441–1448 Fig. 2 Loading plot of the multivariate modelling of the investigated
variables (black triangles) at the four TEOM stations and their
variability during the year (months in grey triangles). Variables and
months clustering indicate an underlying pattern of increased level of
the variable during that month. The x-axis of the plot is the so-called
predictive component that explains most of the variability between
months while the y-axis is the orthogonal component indicating further
variability. the variable during that month. The x-axis of the plot is the so-called
predictive component that explains most of the variability between
months while the y-axis is the orthogonal component indicating further
variability. Fig. 2 Loading plot of the multivariate modelling of the investigated
variables (black triangles) at the four TEOM stations and their
variability during the year (months in grey triangles). Variables and
months clustering indicate an underlying pattern of increased level of arrives and the road becomes dry, generated particles are free
to become airborne and thereby inhaled (Gustafsson et al. 2008). PM10 in air is a rough measure of possible particle- high particle levels in the spring are to a high extent resulting
from wear particles that are formed during friction between
studded tires and roadway during the winter. When spring Fig. 3 Comparison of PM10 particle concentrations, temperature,
cadmium and lead content years 2009–2010 and 2014–2015 in city 1 at
ocation 2. a Monthly mean values of particle concentration (μg/m3) in air
as reported by the TEOM stations. b Average temperature as collected
from open data hosted by the Swedish Meteorological and Hydrological
Institute (SMHI). c Concentration of cadmium in the collected dust from
the TEOM stations. d Concentration of lead in the collected dust from the
TEOM stations. *p < 0.05 Fig. 3 Comparison of PM10 particle concentrations, temperature,
cadmium and lead content years 2009–2010 and 2014–2015 in city 1 at
location 2. a Monthly mean values of particle concentration (μg/m3) in air
as reported by the TEOM stations. b Average temperature as collected from open data hosted by the Swedish Meteorological and Hydrological
Institute (SMHI). Particles in air c Concentration of cadmium in the collected dust from
the TEOM stations. d Concentration of lead in the collected dust from the
TEOM stations. *p < 0.05 Air Qual Atmos Health (2019) 12:1441–1448 1446 related health effects since recent research has shown that
smaller combustion particles may be more relevant to study
(Xing et al. 2016) and that it is also of great importance what
element the particles consist of and what they carry on their
surface (Ali et al. 2018). The reason why monthly averages
are used in the present study is that these values can be related
to the monthly filter changes and thus the particle masses. Unfortunately, monthly average values cannot be directly re-
lated to the environmental quality standard (EQS), but they
can reflect measures taken by authorities responsible for air
quality in the street environments. None of the cities partici-
pating in this study exceeded EQS during the study period
2014–2015 but Fig. 3 a reflects the lowering of airborne par-
ticles in city 1 location 2, comparing the two periods 2009–
2010 with 2014–2015. This lowering is probably due to per-
formed action plans to reduce particles after previous overruns
of EQS in city 1 in years 2005 and 2009. 2009–2010. Metal measurements in moss in this area during
the period 1985–2015 support our findings regarding lead and
cadmium, showing a decreasing trend (IVL Swedish
Environmental Research Institute 2016). Endotoxins Endotoxins are bacterial components often found in our im-
mediate environment and when we are exposed, the immune
system reacts strongly to be prepared for a possible infection
(Levels et al. 2011). The internalisation of endotoxins in mac-
rophages and endothelial cells results in local production of
inflammatory cytokines with subsequent migration of inflam-
matory cells into the lung and the penetration of cytokines into
the blood (Rylander 2002). Endotoxin exposure is a well-known health risk for, among
other things, personnel handling organic waste or cutting
fluids as well as agricultural workers. Chronic inhalation ex-
posure has been linked to health effects including cough,
shortness of breath, fever, headache and inflammation in var-
ious occupational settings (Liebers et al. 2008). Endotoxins
can adhere to the surface of particles and accompany them
into the lungs and the endotoxins may result in more pro-
nounced immunological reactions than the particles them-
selves. It is thus of interest to know if there are endotoxins
extracted with the particles from the TEOM filters and if the
levels vary with time points or locations. Metal content of collected particles Filters from all locations showed a similar trend in cadmium
and lead levels over the year (Fig. 1c, d). Interestingly, elevat-
ed cadmium level did not coincide with monthly mean values
for PM10 levels in air and was surprisingly higher in the
smaller city 3 than in the larger city 1 and city 2. The origin
of this cadmium has to be further studied but according to the
Swedish Environmental Health Report 2017 (administered by
the Public Health Agency of Sweden), participants in this
particular region report that they are disturbed by smoke from
private wood burning. Furthermore, the city also has metal-
lurgical industry as well as shipping activities that may con-
tribute to cadmium levels. Lead on the other hand showed a
significant increase in city 1 location 2 compared with city 1
location 1 as well as to city 2. The differences found within
city 1 may depend on that location 2 has more traffic (58%
more as analysed by the municipality) and that it is located
closer to a larger industrial area as well as shipping activities. The latter is interesting in the light of the fact that city 3 that
had a clear but non-significant increase of lead compared with
city 1 location 1 and city 2 also has shipping activities that
may contribute to the detected levels on the TEOM filters. The highest peaks of endotoxins at the different locations
were obtained late spring/summer, similar to what has been
described before (Carty et al. 2003). During the summer, the
particle levels are relatively low, indicating the importance of
analysing also what the particles carry on their surface. These
results confirm the previous study (Nosratabadi et al. 2019)
and are realistic since at this time of the year, when it is warm
and humid, conditions are particularly beneficial for bacterial
growth (Fig. 1e). Limitations Interestingly, cadmium, lead and endotoxin levels did not co-
incide with the total particle masses while endotoxin levels
coincided with inflammatory responses in vitro. Each TEOM monitor contains one filter that for this study was
collected monthly for subsequent analysis. Thereby, only one
filter per month has been available from each location. Exact
instructions on how the filter change should be performed
were distributed, but it cannot be ruled out that filters may
have been contaminated in connection with handling. Acknowledgements Thanks to the Research Council of Southeast
Sweden, Region Östergötland, Linköping municipality, Norrköping mu-
nicipality, Kalmar municipality (especially Marie Jönsson for the help
with the installation and maintenance of the rented TEOM instrument),
E.ON (Kalmar) and Östergötland Air Quality Management Association,
which through practical initiatives and financial support contributed to the
study. No morphological characterisation was performed on the
collected particles; thus, nothing can be concluded regarding
location or seasonal variations in particle size or shape. The
mass-based measurement methods did not allow analysis of
nanoparticles and therefore, nothing can be said about their
presence. In addition, the methods were not suitable for
analysing hydrophobic substances such as polycyclic aromat-
ic hydrocarbons (PAH), which would have been highly
relevant. Funding Information Open access funding provided by Linköping
University. Compliance with ethical standards Conflict of interest
The authors declare that they have no conflict of
interest. The method used for digestion in this paper will not result
in a total digestion of the silicates which might be present in
the ambient air. The metal content might therefore be
underestimated. However, for the metals presented in the pres-
ent paper, previous studies have shown that a milder digestion
is sufficient (Tursic et al. 2008). 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 appro-
priate credit to the original author(s) and the source, provide a link to the
Creative Commons license, and indicate if changes were made. Pro-inflammatory response As a marker for pro-inflammatory response, the cytokine
interleukin-1β (IL-1β) was analysed in the present study. To
mimic an in vitro fever reaction, the abundance of IL-1β was
measured in blood samples exposed to particle solutions from
the different sites and time points. An increase in pro-
inflammatory response could be seen during summer and ear-
ly autumn in all cities, which largely coincided with the time
points when the endotoxin levels were elevated in the collect-
ed particles (Fig. 1f). However, in city 1 location 2, the levels of cadmium years
2014–2015 were significantly reduced compared with years
2009–2010 (Fig. 3c, p < 0.05). Lead showed a similar trend
although not significant (Fig. 3d). Lead and cadmium are in-
cluded in the Swedish air quality regulation (SFS 2010: 477). The regulation states, in order to protect human health, the
annual mean levels of cadmium should not exceed 5 ng/m3. In addition, lead should not exceed an annual mean value of
0.5 μg/m3. These units are not directly comparable with the
units in the present study, but it can be clearly seen in Fig. 3
that both lead and cadmium content per particle dust mass
have decreased comparing years 2014–2015 with years These results indicate that it is important to know what the
particles may carry on their surface and that it might be of
interest to evaluate endotoxin occurrence in connection with
particle content analysis in the future. Air Qual Atmos Health (2019) 12:1441–1448 1447 References Measuring PM10 levels, which already show a decreasing
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(Liu et al. 2013). Furthermore, there are reports showing in-
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Urbanmätnätet– 30 års mätningar av luftkvalitet (translation: The
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1488285806997/C230.pdf. Accessed 20th February 2019 Pope CA, Ezzati M, Cannon JB, Allen RT, Jerrett M, Burnett RT (2018)
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26 Liebers V, Raulf-Heimsoth M, Brüning T (2008) Health effects due to
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vascular disease in Gothenburg, Sweden. Environ Res 158:61–71. https://doi.org/10.1016/j.envres.2017.05.036 Lindbom J, Gustafsson M, Blomqvist G, Dahl A, Gudmundsson A,
Swietlicki E, Ljungman AG (2007) Wear particles generated from
studded tires and pavement induces inflammatory reactions in
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human respiratory system. J Thorac Dis 8:E69–E74. https://doi.org/
10.3978/j.issn.2072-1439.2016.01.19 Liu H, Rönkkö T, Keskinen J (2013) Impact of vehicle development and
fuel quality on exhaust nanoparticle emissions of traffic. Environ Sci
Technol 47:8091–8092. Publisher’s note Springer Nature remains neutral with regard to jurisdic-
tional claims in published maps and institutional affiliations. Conclusion https://doi.org/10.1021/es401805r Nosratabadi AR, Graff P, Karlsson H, Ljungman AG, Leandersson P
(2019) Use of TEOM monitors for continuous long-term sampling
of ambient particles for analysis of constituents and biological Publisher’s note Springer Nature remains neutral with regard to jurisdic-
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Participatory Sustainability Assessment for Sugarcane Expansion in Goiás, Brazil
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Received: 26 June 2017; Accepted: 28 August 2017; Published: 5 September 2017 Abstract: The sugarcane expansion in Brazil from 1990 to 2015 increased crop area by 135.1%,
which represents more than 10 million hectares. Brazilian ethanol production hit a record high
in 2015, reaching 30 billion liters, up 6% compared to 2014. In 2009, the Sugarcane Agroecology—
ZAE-CANA—was launched to be a guideline to sustainable sugarcane production in Brazil. However,
although it aims at sustainable production, it only considered natural aspects of the country, such as
soil and climate. It is still necessary to develop instruments for studies on sustainability in all pillars. The aim of this study is to present the results regarding the application of the FoPIA (Framework for
Participatory Impact Assessment) methodology in the Southwestern Goiás Planning Region (SGPR). FoPIA is a participatory methodology designed to assess the impacts of land use policies in regional
sustainability, and the results showed the capacity of FoPIA to assess the impacts of land use change
of the sugarcane expansion in that area. The major advantage of FoPIA is its participatory method
feature, as it is possible to join stakeholders to debate and define sustainability guidelines. Keywords: sugar cane expansion; sustainability assessment; FoPIA methodology Participatory Sustainability Assessment for
Sugarcane Expansion in Goiás, Brazil Heitor Luís Costa Coutinho 1,†, Ana Paula Dias Turetta 1,*, Joyce Maria Guimarães Monteiro 1,
Selma Simões de Castro 2 and José Paulo Pietrafesa 3 Heitor Luís Costa Coutinho 1,†, Ana Paula Dias Turetta 1,*, Joyce Maria Guimarães Monteiro 1
Selma Simões de Castro 2 and José Paulo Pietrafesa 3 1
Embrapa Solos, Rua Jardim Botânico 1024, Rio de Janeiro-RJ 22460-000, Brazil;
heitor.coutinho@embrapa.br (H.L.C.C.); joyce.monteiro@embrapa.br(J.M.G.M.)
2
Laboratory of Geomorphology, Pedology and Physical Geography—LABOGEF, IESA, UFG,
Campus Samambaia, Goiânia, GO 74.690-900, Brazil; selma@ufg.br
3
Education Faculty of UFG—Program of Pos Graduation in Education (PPGE). Rua 235, s/n-Setor
Universitário, Goiânia, GO 74.605-050, Brazil; jppietrafesa@gmail.com
*
Correspondence: ana.turetta@embrapa.br; Tel.: +55-21-2179-4579
†
Deceased. sustainability sustainability sustainability Keywords: sugar cane expansion; sustainability assessment; FoPIA methodology Sustainability 2017, 9, 1573; doi:10.3390/su9091573 www.mdpi.com/journal/sustainability 1. Introduction Bio-ethanol from Brazil is an attractive type of biofuel because of its low price and relatively large
greenhouse gas emissions reduction potential [1,2]. Bio-ethanol from Brazil is an attractive type of biofuel because of its low price and relatively large
greenhouse gas emissions reduction potential [1,2]. In the late 1970s, Brazil’s National Bioethanol Program (PROALCOOL) ordered the mixture of
anhydrous bioethanol (BE) in gasoline (blends up to 25%) and encouraged automakers to produce
engines running on pure hydrated ethanol (100%) [3]. The Brazilian adoption of mandatory regulations
to determine the amount of BE to be mixed with gasoline was essential to the success of the program [4]. The goal was to reduce oil imports which consumed one half of the total hard currency from exports. Although it was a decision made by the federal government during a military regime, it was well
accepted by civil society, the agricultural sector, and car manufacturers [5]. Taking advantage of all the learning and experience of that period, the Brazilian government
undertook some responsibilities against the international scenario related to climate change. In Brazil’s
Nationally Determined Contribution (NDC), submitted during COP21 in December 2015 and ratified
in September 2016, the country agreed to reduce greenhouse gas (GHG) emissions by 37% by 2025 and
43% by 2030, with the 2005 emissions as a reference. To do so, the government agreed to increase biofuel
(biodiesel and ethanol) participation by 18% in the energy matrix by 2030 [6]. Other commitments Sustainability 2017, 9, 1573; doi:10.3390/su9091573 www.mdpi.com/journal/sustainability 2 of 15 Sustainability 2017, 9, 1573 were related to actions to reduce GHG emissions by some 37% by 2020 [7]. The sugarcane expansion
in Brazil increased 135.1% in crop area from 1990 to 2015, which represents more than 10 million
hectares [8]. In 2009, with Decree 6961 [9], the Sugarcane Agroecology Zoning—ZAE-CANA [10] was created
to guide the sustainable sugarcane expansion in Brazil. ZAE-CANA’s main goals are to provide
technical subsidies to policy makers to direct sugarcane expansion into legally recommended areas
and sustainable production in Brazil. 1. Introduction To achieve these goals, the study followed the guidelines
that will allow the expansion of production: indication of areas with agricultural potential for
sugarcane harvesting without environmental restrictions; exclusion of areas with original vegetation
and indication of areas currently under anthropic use; exclusion of areas for cultivation in the Amazon,
Pantanal biomes and the Upper Paraguay basin; reduction of direct competition with food production
areas; indication of areas with agricultural potential (soil and climate) for the cultivation it means with
slopes below 12%, by mechanical harvesting. However, although it aims at sustainable production, the zoning only considered natural aspects
of the country, such as soil, climate and relief. Also, the governance continues through contracts,
to guarantee the productive supply and effectiveness of the productive chain, thus enhancing
uncertainty regarding the sustainability of the Brazilian biodiesel production program [11]. Since the 1990s, environmental studies identified a wide range of reflections on sustainability
and agricultural production systems. These reflections converged to the idea that economic growth,
environmental preservation and social equity should be considered together to achieve a satisfactory
development level [12–15]. Also at that time, the concept of sustainable development (SD), also in the agro-energy sector,
was widespread, despite shortcomings in making SD operational. Therefore, policymakers are
increasingly demanding comprehensive and reliable analyses of policy impacts on the economic,
social and environmental dimensions of SD [16,17]. The use of criteria on sustainability allowed the assessment of the impacts caused by development
processes, both in urban and rural areas. This process has contributed to regional assessments
such as the implementation of public policies aimed at developing measures to mitigate social and
environmental liabilities [18,19]. For instance, the European Union and some of its countries have
specific directives to access the sustainability of biofuels such as the Renewable Energy Directive
2009/28/EC [20] and the Fuel Quality Directive 2009/30/EC [21], which established sustainability
criteria to meet EU targets and to be eligible for financial support. The development of instruments for studies on sustainability criteria and indicators, as well as
those on the impacts on land use, is quite recent and shows gaps that are still under analysis. However,
they are important instruments to understand changes that take place in social, environmental or
economic phenomena. They can drive a particular need or even resources indicating trends that are
undetectable in the processes. China [22–24].
China [22–24].
Considerin Considering the assessment of impacts on the sustainability of sugarcane expansion policies in
the southwestern region of Goiás state, Brazil, a participatory consultation was held to promote a
structured interdisciplinary discussion about the sugarcane expansion in the region, to select public
policy instruments for the construction of sugarcane expansion scenarios, as well as to define land use
functions and indicators to be used in FoPIA. Hence, the aim of this study is to present the results
regarding the application of this methodology. Considering the assessment of impacts on the sustainability of sugarcane expansion policies in
the southwestern region of Goiás state, Brazil, a participatory consultation was held to promote a
structured interdisciplinary discussion about the sugarcane expansion in the region, to select public
policy instruments for the construction of sugarcane expansion scenarios, as well as to define land
use functions and indicators to be used in FoPIA. Hence, the aim of this study is to present the results
regarding the application of this methodology. 2.1. Study Area
2.1. Study Area The Southwestern Goiás Planning Region (SGPR) was chosen as the focus area because of its
prominent expansion of sugar cane. In 2012, the sugarcane planted area in the SGPR was 286,512 ha
and, in 2015, it was nearly twice that area (412,466 ha) [8]. The region spreads across an area of
61,498,463 km2 and 26 municipalities (Figure 1). The Southwestern Goiás Planning Region (SGPR) was chosen as the focus area because of its
prominent expansion of sugar cane. In 2012, the sugarcane planted area in the SGPR was 286,512 ha
and, in 2015, it was nearly twice that area (412,466 ha) [8]. The region spreads across an area of
61,498,463 km2 and 26 municipalities (Figure 1). Figure 1. The Southwestern Goiás Planning Region and its municipalities. Source: SIEG—GO. Prepared by Trindade [25]. Figure 1. The Southwestern Goiás Planning Region and its municipalities. Source: SIEG—GO. Prepared
by Trindade [25]. Figure 1. The Southwestern Goiás Planning Region and its municipalities. Source: SIEG—GO. Prepared by Trindade [25]. Figure 1. The Southwestern Goiás Planning Region and its municipalities. Source: SIEG—GO. Prepared
by Trindade [25]. The sugarcane expansion in the large southern Goiás mesoregion is considered recent, as it
started in 2004, mainly due to the advance of sugarcane agribusiness. The expansion of agribusiness
in Goiás is characterized by high competition for land, favoring the leasing of large plots to harvest
sugarcane for the sugar industry. This shows land concentration, mainly in parts of Southwestern
Goiás involved in soybean and sugar cane production, and the exclusion of crops like rice, beans and,
more recently, corn [26]. The SGPR has regional economic importance in the state as well as consolidated logistics
The sugarcane expansion in the large southern Goiás mesoregion is considered recent, as it started
in 2004, mainly due to the advance of sugarcane agribusiness. The expansion of agribusiness in Goiás
is characterized by high competition for land, favoring the leasing of large plots to harvest sugarcane
for the sugar industry. This shows land concentration, mainly in parts of Southwestern Goiás involved
in soybean and sugar cane production, and the exclusion of crops like rice, beans and, more recently,
corn [26]. The SGPR has regional economic importance in the state, as well as consolidated logistics. However, it needs to be recovered and expanded to support the sugarcane expansion. 1. Introduction Therefore, it is necessary to develop instruments to help land managers
to assess the social, economic and environmental impacts caused by land use-related public and
corporate policies. These instruments may be quantitative, based on indicators’ response models
and functions built according to scientific knowledge and census databases; as well, they may be
qualitative instruments based on technical knowledge integrated to that of the local stakeholders. Particularly, the FoPIA (Framework for Participatory Impact Assessment) methodology has
been useful to prepare for the participatory assessment of significant changes in land use and in the
possibility of sustainability. The FoPIA is designed to enable assessments of policy impacts that are
sensitive to national, regional and local sustainability priorities by harnessing the knowledge and
expertise of national, regional and local stakeholders who play a central role in the analytical process. The analysis of specific sustainability problems gives rise to realistic national and regional policy and
land use change scenarios [17]. The FoPIA was originally developed for application in the European Union to conduct
stakeholder-based impact assessments of alternative land use policies, for example, to assess the 3 of 15
3 of 14 Sustainability 2017, 9, 1573
Sustainability 2017, 9, 1573 policy options for biodiversity conservation in Malta [17]. This approach has been adapted for the
assessment of land use policies in developing countries, with experiences in Indonesia, Tunisia and
China [22–24]. policy options for biodiversity conservation in Malta [17]. This approach has been adapted for the
assessment of land use policies in developing countries, with experiences in Indonesia, Tunisia and
China [22–24]. Considering the assessment of impacts on the sustainability of sugarcane expansion policies in 2.2. Methodology—FoPIA Background
y
, ,
2 2 M th d l
F PIA B
k
d The FoPIA methodology was developed as part of the EU-SENSOR project (“Sustainability
Impact Assessment: Tools for Environmental, Social and Economic Effects of Multifunctional Land
Use in European Regions”) and applied to assess the impact of changing land use on different
socioenvironmental situations of the European continent [17]. Subsequently, the FoPIA was adapted
and used in the participatory impact assessment of different decision-making contexts and of
environmental problems associated with land use and management in different Asian and African
countries [22–24]. 2.2. Methodology—FoPIA Background
The FoPIA methodology was developed as part of the EU-SENSOR project (“Sustainability
Impact Assessment: Tools for Environmental, Social and Economic Effects of Multifunctional Land
Use in European Regions”) and applied to assess the impact of changing land use on different
socioenvironmental situations of the European continent [17]. Subsequently, the FoPIA was adapted
and used in the participatory impact assessment of different decision-making contexts and of
environmental problems associated with land use and management in different Asian and African
countries [22 24] The FoPIA is a participatory methodology designed to assess the impacts of land use policies
on regional sustainability. Its conceptual model, in which instrument users and public policy makers
indicate policy scenarios to be assessed, considers variables such as driving forces, pressure, states,
impacts, and responses (DPSIR). Each scenario generates different economic, fiscal or legislative
conditions that, in turn, become driving forces of changes in land use. The pressures are changes
in land use and management resulting from the implementation of policies. The pressures act on
the states, as well as on the social, economic and environmental features of the regions subjected to
changes, and they are represented by indicators. The impacts on sustainability are assessed through
changes in the values of indicators as a response to the pressures, and through its relation with the
sustainability limits or goals set to the region. Then, the decisions (responses) concerning the mitigation
of or the adaptation to the impacts are then taken by the instrument users. However, due to limitations
during the project, it was not possible to apply the entire methodology (Figure 2). countries [22–24]. The FoPIA is a participatory methodology designed to assess the impacts of land use policies on
regional sustainability. Its conceptual model, in which instrument users and public policy makers
indicate policy scenarios to be assessed, considers variables such as driving forces, pressure, states,
impacts, and responses (DPSIR). 2.2. Methodology—FoPIA Background
y
, ,
2 2 M th d l
F PIA B
k
d Each scenario generates different economic, fiscal or legislative
conditions that, in turn, become driving forces of changes in land use. The pressures are changes in
land use and management resulting from the implementation of policies. The pressures act on the
states, as well as on the social, economic and environmental features of the regions subjected to
changes, and they are represented by indicators. The impacts on sustainability are assessed through
changes in the values of indicators as a response to the pressures, and through its relation with the
sustainability limits or goals set to the region. Then, the decisions (responses) concerning the
mitigation of or the adaptation to the impacts are then taken by the instrument users. However, due
to limitations during the project, it was not possible to apply the entire methodology (Figure 2). Figure 2. Framework for Participatory Impact Assessment (FoPIA) methodology steps [17]. Light gray
boxes indicated what was not applied in this study. Figure 2. Framework for Participatory Impact Assessment (FoPIA) methodology steps [17]. Light gray
boxes indicated what was not applied in this study. Figure 2. Framework for Participatory Impact Assessment (FoPIA) methodology steps [17]. Light gray
boxes indicated what was not applied in this study. Figure 2. Framework for Participatory Impact Assessment (FoPIA) methodology steps [17]. Light gray
boxes indicated what was not applied in this study. In this study the FoPIA methodology comprises three stages: (1) The development of policy
implementation scenarios and the consequent changes in land use, as well as the preliminary
assessment of sustainability issues in the case study; (2) The definition of the Land Use Functions [27]
suitable to the case study on a regional scale, by structuring the sustainability issue in the social,
economic and environmental dimensions similarly balanced; (3) The definition of indicators for each
Land Use Function, their responses to each scenario presented, followed by the integrated analysis
of the results. 2.2. Methodology—FoPIA Background
y
, ,
2 2 M th d l
F PIA B
k
d In this study the FoPIA methodology comprises three stages: (1) The development of policy
implementation scenarios and the consequent changes in land use, as well as the preliminary
assessment of sustainability issues in the case study; (2) The definition of the Land Use Functions [27]
suitable to the case study on a regional scale, by structuring the sustainability issue in the social,
economic and environmental dimensions similarly balanced; (3) The definition of indicators for each
Land Use Function, their responses to each scenario presented, followed by the integrated analysis of
the results. 2.1. Study Area
2.1. Study Area At first (2004–
2008), much of the sugarcane expansion replaced soybean plantations, which, in turn, have shifted to
The SGPR has regional economic importance in the state, as well as consolidated logistics. However, it needs to be recovered and expanded to support the sugarcane expansion. At first 4 of 15 Sustainability 2017, 9, 1573 (2004–2008), much of the sugarcane expansion replaced soybean plantations, which, in turn,
have shifted to pasture areas. S
i
bili
f 2.3. The Methodological Construction of FoPIA for Sugarcane Expansion in SGPR
In order to apply the FoPIA methodology to assess the impacts of land
2.3. The Methodological Construction of FoPIA for Sugarcane Expansion in SGPR In order to apply the FoPIA methodology to assess the impacts of land use change due to
sugarcane expansion in the southwestern region of Goiás, a workshop for the participatory
assessment of impacts on the sustainability of sugarcane expansion policies in Southwestern Goiás,
was held at the Institute of Social and Environmental Studies (IESA—Instituto de Estudos Sócio-
Ambientais) of the Federal University of Goiás (UFG), in Goiania, Goiás - Brazil, on 12 December
2012. The goals of this consultation were to promote a structured interdisciplinary discussion on the
sugarcane expansion in SGPR, to select public policy instruments for the construction of sugarcane
ti
i
d t
d fi
l
d
f
ti
d i di
t
t
b
d i
th
F PIA It
In order to apply the FoPIA methodology to assess the impacts of land use change due to
sugarcane expansion in the southwestern region of Goiás, a workshop for the participatory assessment
of impacts on the sustainability of sugarcane expansion policies in Southwestern Goiás, was held at
the Institute of Social and Environmental Studies (IESA—Instituto de Estudos Sócio-Ambientais) of
the Federal University of Goiás (UFG), in Goiania, Goiás - Brazil, on 12 December 2012. The goals of
this consultation were to promote a structured interdisciplinary discussion on the sugarcane expansion 5 of 15 Sustainability 2017, 9, 1573 in SGPR, to select public policy instruments for the construction of sugarcane occupation scenarios,
and to define land use functions and indicators to be used in the FoPIA. It condensed phase 1 and
two steps of phase 2 of the FoPIA methodology (Figure 2). These steps concern topics to be discussed
by experts, who have experience and knowledge in the study subject, to promote the technical base
for the furthers steps. The goal was the establishment of the sugarcane expansion drivers and their
potential indicators. The further steps—unfortunately, not considered in this paper—would include
other stakeholders’ consultation, such as government representatives, farmers and practitioners. p
p
y,
p p
other stakeholders’ consultation, such as government representatives, farmers and practitioners. The workshop was a consultation activity to regional experts to subsidize the construction of
policy scenarios, as well as the selection of Land Use Functions and impact indicators, by taking into
consideration the case study of the expansion of sugarcane in the SGPR. 2.3. The Methodological Construction of FoPIA for Sugarcane Expansion in SGPR
In order to apply the FoPIA methodology to assess the impacts of land
2.3. The Methodological Construction of FoPIA for Sugarcane Expansion in SGPR The workshop for the participatory assessment of impacts on the sustainability of sugarcane
expansion policies in Southwestern Goiás included 32 experts. The number of participants the research
team considered ideal to the required dynamic activities of the FoPIA workshop. The criteria to define
the experts was their performance in research projects at the SGPR or their experience in studies on the
impacts generated by land use changes of sugarcane expansion in the region, favoring researchers,
professors, Master’s and PhD students experts in geography, agronomy, ecology, climatology, soil and
rural sociology. The workshop structure was based on guiding lectures, followed by group works and plenary
discussions. The workshop was divided into three study sessions: (1) Public policy scenarios; (2) land
use functions; and (3) impact indicators. These steps followed the FoPIA methodology [17] (Figure 2). A previous material contend technical information to support discussions during the workshop
sessions was prepared and distributed to the participants. Thus, they could work on this material and
upgrade it with their knowledge. The following sections describe each session and their outcome are
described in the results. 2.3.1. Session I: Public Policy Scenarios Many factors are driving the increase in sugar cane production to meet the increase in ethanol
demand in the national and international markets, such as government incentives (laws, decrees,
public plans, programs, and policies) and foreign investment and market pressure (demand × supply). Based on past trends and on the experts’ opinions it is possible to draw up reference scenarios. These
scenarios represent developments without interference—in the absence of policy changes—they are the
counterfactual, the background against which the impact of a policy can be evaluated. These scenarios
are needed to know what the situation in the target year would be if policies did not change [28]. In the workshop one of the objectives was to identify the driving forces (key trends) that expand
sugarcane in the SGPR, and select which would be considered in the baseline scenario. Also, the main
public policies that promote sugarcane expansion sustainability were identified and selected to
elaborate public policy scenarios. Thus, six work groups were randomly formed for this session in order to discuss and summarize
their findings around four guiding questions. These questions intended to exchange knowledge
on sustainability concepts and how this knowledge applies to the case study and to the sugarcane
expansion in the SGPR. These questions also aimed to point out the most appropriate public policies
to the assessment, namely: 1. What are the main issues related to sugarcane expansion sustainability? 2. What are the main factors driving the sugarcane expansion in SGP 3. What are the main public policies promoting this process? 4. Consensually define which public policy would have greater influence on the sugarcane crop
expansion and spatial distribution in the SGPR. Present two options for the implementation of
this policy to build scenarios. 6 of 15 Sustainability 2017, 9, 1573 After the discussion, each group wrote down their answers in cards, which were presented at a
plenary sitting and posted on a board. The session ended with a debate including all participants. 2.3.2. Session II: Land Use Functions The definition and use of Land Use Functions (LUFs) contribute to the aggregation and prioritization
of indicators according to different social, economic and environmental functions performed by land
use [29], that is, the LUFs summarize the relationship between the sustainability dimensions and the
indicators to be built. The SENSOR project considered nine LUFs, three for each sustainability dimension, namely:
(a) the social dimension: Labor supply; human health and recreation; cultural (landscape identity,
scenic beauty, cultural heritage); (b) the economic dimension: Industrial activities and construction;
rural production and mining; transport; and (c) the environmental dimension: Supply and conservation
of abiotic resources; support, provision and conservation of biotic resources; maintenance of ecosystem
processes (Table 1). However, the LUFs are flexible and allow changes to better meet the goals of
each case study. Therefore, the original LUFs were presented and discussed by the audience. It was
reviewed in terms of relevance and suitability considering the investigated object of study—the
sugarcane expansion in SGPR. ble 1. Land Use Functions (LUF) defined by the SENSOR Project team based on the LUFs suggested
the European Union [26]. Sustainability Dimension
LUF
SOCIAL
Labor supply
Quality of life
Human health and recreation
ECONOMIC
Industrial activities and construction
Rural production
Infrastructure
ENVIRONMENTAL
Conservation of abiotic resources
Conservation of biotic resources
Maintenance of ecosystem processes Table 1. Land Use Functions (LUF) defined by the SENSOR Project team based on the LUFs suggested
to the European Union [26]. Table 1. Land Use Functions (LUF) defined by the SENSOR Project team based on the LUFs suggested
to the European Union [26]. e 1. Land Use Functions (LUF) defined by the SENSOR Project team based on the LUFs suggested
e European Union [26]. Sustainability Dimension
LUF
SOCIAL
Labor supply
Quality of life
Human health and recreation
ECONOMIC
Industrial activities and construction
Rural production
Infrastructure
ENVIRONMENTAL
Conservation of abiotic resources
Conservation of biotic resources
Maintenance of ecosystem processes The working groups were reorganized into two groups for knowledge and experience representation
in each sustainability dimension (social, economic and environmental). A panel was set up and the
groups presented their results in plenary by posting cards containing land use functions defined by
them, along with their supporting justifications. 3.1. Session I: Public Policy Scenarios To build reference scenarios, it was necessary to draw up guiding questions based on the local
reality considering the development of the biofuel industry in the region. The responses given by the
work groups were summarized for each question, as follows. •
What are the main issues related to the sustainability of sugarcane expansion? There was strong transversality between the responses and comments of the work groups, and
this shows the importance of the sustainability issues in their three dimensions (social, economic and
environmental). Regarding the social aspect, the factor “concentration of lands controlled by large companies
(sugar and alcohol plants) and landowners for cattle breeding and soybean crops, at the expense
of small/medium farmers and family farmers” was pointed out by nearly all groups. One group
reported that the process started through land leases (for soybean, and later, sugarcane), as the price
was attractive, especially for small producers. During the successive sugar plantation renewals,
for example, the lease price fell due to the reduction in the sucrose content linked to the lease price. As the situation continued, the plants made a proposal to purchase the lands and thus consolidate
the concentration of rural properties in the studied region. There was strong impact on the land
ownership structure. It mainly affected small farmers, who lost their identity as rural producers and it
significantly changed the local agricultural profile. This reality has given rise to several issues related to the growth of the area cultivated with
sugarcane monocultures in the SGPR: The transition from manual to mechanized harvesting systems
without burning led to sugarcane cutters losing their jobs. These workers had no training and thus
were not employed by the sugar and alcohol industry. These sugarcane cutters, and the small farmers
who sold their lands, migrated to cities with insufficient infrastructure to absorb the new population. Another critical factor was the inadequate working conditions for the sugarcane cutters who remained
in the non-mechanized plantations. As many of these workers are required to cut a very large amount
of sugarcane per day, the physical strain often leads to exhaustion and occupational diseases [32]. There is also labor supply seasonality, a characteristic of the conventional sugarcane production system. As for the economic aspect, the issue of increasing land prices was highlighted, since the sale of
small properties caused strong impacts. 2.3.3. Session III: Impact Indicators The experts participating in the workshop used the following criteria to select the sustainability
indicators, built according to the recommendations of the Organization for Economic Cooperation and
Development [30,31]. •
Relevance to the formulation of policies
•
Simplicity, conciseness, and ease of interpretation
•
Analytical robustness
•
Measurability
•
Operability
•
Availability (spatial and temporal). •
Relevance to the formulation of policies •
Simplicity, conciseness, and ease of interpretation •
Availability (spatial and temporal). The same work groups formed in the previous session applied the above-mentioned criteria
to point out the most appropriate indicators to represent each LUF. Each group was asked to select Sustainability 2017, 9, 1573 7 of 15 three indicators per LUF. The results of each group were presented in plenary and the indicators were
grouped—eliminating redundancies—and systematized for further analysis. three indicators per LUF. The results of each group were presented in plenary and the indicators were
grouped—eliminating redundancies—and systematized for further analysis. 3. Results and Discussion The activities carried out in the three sessions produced a summary of results obtained from the
experts’ work. Subsequently, a set of aspects that should compose the policy scenarios for participatory
evaluation was presented by taking into consideration the feasibility of implementing the FoPIA
methodology to assess social, environmental and economic impacts on the sugarcane expansion
process in the SGPR. 3.1. Session I: Public Policy Scenarios Such impacts also occur in the urban real estate sector, as the
demand for housing also increases due to the arrival of new workers trained to work in plants and the
rural exodus of farmers who lease or sell their properties. Tax evasion was reported as relevant to the local economy, as most of the income generated from
the sugar and sugarcane production does not stay in the municipality. It is transferred to the plants‘
centers of origin installed in the SGPR, which are mostly located in the Brazilian southeastern and
northeastern regions. Income concentration, characterized by the low equity in the distribution of the
economic benefits generated by sugarcane production, was identified as an important sustainability
issue, despite the large tax collection increase in the state and municipalities. It was reported that the local food production has been strongly impacted by sugarcane expansion
due to reduced family production or land use change of these families’ lands for sugarcane production. 8 of 15 Sustainability 2017, 9, 1573 The study groups presented some environmental aspects. They highlighted soil compaction,
worsened by the standardization of mechanized crop management techniques that replaced the
extensive pastures and the annual crops of family farmers previously managed through manual
techniques. Mechanical harvesting includes heavy machinery and its successive use in the fields,
which leads to soil detachment contributing to its compaction. In addition to soil quality loss, water
infiltration and retention capacity is reduced. This leads to increased rainwater runoff, as well as
increased runoff of the water used in irrigation systems. The outcome is soil erosion and transportation
of nutrients and pesticides to the beds of streams, creeks and rivers [33]. Sustainability 2017, 9, 1573
8 of 14
increased runoff of the water used in irrigation systems. The outcome is soil erosion and
t a
o tatio
of
ut ie t a d
e ti ide to the bed of t ea
eek a d i e
[33] The change in sugarcane field drainage dynamics increases the risk of groundwater and
aquifers contamination with pesticides and industrial wastes such as vinasse and heavy metals,
dumped into the soil through fertirrigation. This is worse in soils presenting sandier texture,
and the experts showed concern regarding this topic. 3.1. Session I: Public Policy Scenarios The strong water footprint resulting from
high evapotranspiration—typical of the sugarcane culture—is another relevant issue to the overall
environmental impacts, since it threatens water availability to humans, fauna and flora [34]. transportation of nutrients and pesticides to the beds of streams, creeks and rivers [33]. The change in sugarcane field drainage dynamics increases the risk of groundwater and aquifers
contamination with pesticides and industrial wastes such as vinasse and heavy metals, dumped into
the soil through fertirrigation. This is worse in soils presenting sandier texture, and the experts
showed concern regarding this topic. The strong water footprint resulting from high
evapotranspiration—typical of the sugarcane culture—is another relevant issue to the overall
environmental impacts since it threatens water availability to humans fauna and flora [34] In addition to these facts, the experts mentioned that burning-based sugarcane harvest systems
are still used in the SGPR, and this leads to severe air quality issues. environmental impacts, since it threatens water availability to humans, fauna and flora [34]. In addition to these facts, the experts mentioned that burning-based sugarcane harvest systems
till
d i
th SGPR
d thi l
d t
i
lit i The issue of biodiversity loss, which becomes more evident when livestock areas are converted
into sugarcane fields, was also mentioned. Although these areas are already deforested, livestock
coexists with small forest fragments and scattered trees, as they provide shade and shelter for farm
animals, as well as landing to several bird species, especially in livestock systems with low technological
input. These systems are quite evident in large areas that have not been converted into sugarcane
crops or grain monocultures. are still used in the SGPR, and this leads to severe air quality issues. The issue of biodiversity loss, which becomes more evident when livestock areas are converted
into sugarcane fields, was also mentioned. Although these areas are already deforested, livestock
coexists with small forest fragments and scattered trees, as they provide shade and shelter for farm
animals, as well as landing to several bird species, especially in livestock systems with low
technological input. These systems are quite evident in large areas that have not been converted into
sugarcane crops or grain monocultures •
What are the main public policies promoting this process? •
What are the main public policies promoting this process? Some information on macro and micro state intervention policies were identified to reflect on
intervention policies in the sugarcane industry and to simultaneously develop mechanisms to assess
the industry impacts. The participants noticed that a set of policies should be highlighted in the SGPR:
the Kyoto Protocol (at the global level); the National Agro-Energy Plan and the ZAE Cana (at the
federal level); the Goiás Industrial Development Program (“Programa Produzir”) and Grants and
Taxes on services (ISS) at the state level. The Kyoto Protocol (KP) is an international agreement linked to the United Nations Framework
Convention on Climate Change (UNFCCC), which commits developed countries by setting
internationally emission reduction targets. Brazil does not have a mandatory GHG emission reduction
target; however, it has participated in the KP through the Clean Development Mechanism (CDM)
projects. Clean energy generation projects, biofuels and other renewable sources could generate carbon
credits to be traded on the carbon market. In this context, the National Plan for Climate Change
(NPCC) aimed, among other things, “to foster the sustainable increase in the share of biofuels in the
national transport matrix and work to structure an international market of sustainable biofuels”. One of the goals of the National Agro-Energy Plan [35] was to create conditions to internalize
and regionalize the development based on agro-energy expansion and on the value added to the
supply chain. The guidelines for this expansion were provided by the Agro-Ecological Sugarcane
Zoning—ZAE-CANA [10]. Goiás state programs, such as Programa Produzir [36], which focuses on to the implementation
and expansion of industries, also have a strong influence on the sugarcane expansion and reduce the
due value-added tax (VAT) installments. Finally, municipal policies were mentioned, including conveniences such as land grants and
taxes on services (ISS) to implement new industries in Goiás. In addition, policies that have restricted
sugarcane advancement, such as those found in the Rio Verde, one of the municipalities of the SGPR,
which limited the sugarcane occupation to 10% of the municipal territory to protect areas planted with
soybean, as well as the local food industry supply. •
What are the main factors driving the sugarcane expansion in Southwestern Goiás?
g
p
g
•
What are the main factors driving the sugarcane expansion in Southwestern Goiás? •
What are the main factors driving the sugarcane expansion in Southwestern Goiás? •
What are the main factors driving the sugarcane expansion in Southwestern Goiás? The agribusiness model in the SGPR and in the state of Goiás is similar to that used in the
São Paulo countryside—the largest national sugarcane producer—facilitating crop expansion. The high
domestic and international demand for energy sources as alternatives to fossil fuels was considered
an important sugarcane expansion factor. This expansion was supported by public policies and
international agreements that favored the transformation of ethanol into an agricultural commodity. The other expansion factors mentioned were the technological development of the sugarcane and
bioethanol productive chain and land availability. The agribusiness model in the SGPR and in the state of Goiás is similar to that used in the São
Paulo countryside—the largest national sugarcane producer—facilitating crop expansion. The high
domestic and international demand for energy sources as alternatives to fossil fuels was considered
an important sugarcane expansion factor. This expansion was supported by public policies and
international agreements that favored the transformation of ethanol into an agricultural commodity. The other expansion factors mentioned were the technological development of the sugarcane and
bioethanol productive chain and land availability. Infrastructure and logistics such as agricultural flow paths and the ethanol pipeline installation
plan, were considered the main sugarcane expansion factors in the SGPR. In addition, the agroecological
suitability (soil, climate, topography) of most of the territory for sugarcane cultivation was considered
average. This scenario qualified owners and entrepreneurs to receive government economic incentives
for such purpose Manzatto et al. [10] (Figure 3). Infrastructure and logistics such as agricultural flow paths and the ethanol pipeline installation
plan, were considered the main sugarcane expansion factors in the SGPR. In addition, the
agroecological suitability (soil, climate, topography) of most of the territory for sugarcane cultivation
was considered average. This scenario qualified owners and entrepreneurs to receive government
economic incentives for such purpose Manzatto et al. [10] (Figure 3). Figure 3. Sugarcane crop expansion drivers in the Southwestern Goiás Planning Region (SGPR). Figure 3. Sugarcane crop expansion drivers in the Southwestern Goiás Planning Region (SGPR). Figure 3. Sugarcane crop expansion drivers in the Southwestern Goiás Planning Region (SGPR). Figure 3. Sugarcane crop expansion drivers in the Southwestern Goiás Planning Region (SGPR). Sustainability 2017, 9, 1573 9 of 15 3.2. Session II: Land Use Functions The work groups presented their views on LUFs initially adopted by Sensor project (Table 1)
and suggested some modifications. A plenary consensus was obtained and a set of three LUFs was
proposed for each sustainability dimension, as well as the potential indicators to achieve each LUF
(Table 2). Regarding the social dimension, the experts showed concern about the quality of the manual
labor found in the SGPR agricultural production systems. These activities were often considered
inhospitable, especially in the case of crops using sugarcane burning before the harvest. The proposal
for the inclusion of the health and quality of life aspects in order to compose LUFs to assess this
issue was accepted unanimously. The inclusion of the local socio-cultural development LUF was also
suggested as LUFs hold recreational, educational, religious, scientific and cultural land use functions. The SGPR is notable for its natural beauty and its rich, exuberant landscape, mainly due to the
heterogeneity of its elements. Regarding the economic dimension, rural production along with the local consumption expansion
issue were considered important to comprise another LUF as a way to reflect on the local impacts
of the sugarcane expansion, and about the difficulty to produce and consume other food products. The income evasion was pointed out in Session I. If only the agricultural production is assessed,
a positive result might hide a local negative impact, such as the reduced consumption of locally
produced agricultural products. A similar situation can be found in the Mid-Goiás Planning
Region, where sugarcane crops expanded much between 2000 and 2011, increasing from 23,000
to 123,000 hectares, which pushed up either the land value or the food supply in the region [37]. The region hosts one of the largest protected areas in the Cerrado biome, the Parque Nacional das
Emas, whose integrity is threatened by the land use in its surroundings. Plateaus, cliffs and gorges,
forest fragments, and water sources that drain their waters to three major watersheds (Paraguay,
Araguaia and Paraná rivers), as well as cultural and archaeological sites, provide the local population
and visitors with the scenic beauty and the cultural wealth of the region. Monocultures devoid of
the tree element—which some cattle ranches still have in their pastures—are dominated by heavy
machinery and, in some cases, use burning as an agricultural practice. Thus, they represent a high risk
to the integrity of rural landscapes in the SGPR. •
Policy proposals that could be implemented. •
Policy proposals that could be implemented. The last item discussed in the sessions to create scenarios concerned proposals for public policy
instruments to be implemented. These instruments would result in the effective transition of the
production chains and allow the creation of sustainable logic-related actions. Among public policy instruments, it was suggested that the ZAE-CANA should be further
detailed to condition the government incentive contributions under the National Agro-Energy Plan, as
this mechanism is considered critical to the process of sustainability. The agroecological zonings of the
main crops in Goiás (scale 1:100,000) would enable a specific regulatory benchmark for Goiás and for the
SGPR through the definition of sugarcane production priority areas. According to Manzatto et al. [10],
many municipalities in the SGPR have large areas with medium/high suitability for sugarcane
production, for example, Rio Verde (72%) and Quirinópolis (73%). p
p
p
It was suggested that the environmental planning should be considered when formulating tax
incentive policies. Also, the development of an environmental education policy to encourage better understanding
of the use and impacts related to soil, water resources and biodiversity was suggested. The ecological
VAT could be used to reward municipalities that encourage land management changes. Accordingly,
the development of a certification policy with economic incentives to certified systems was suggested. Figure 4 summarizes the main proposals built in public policies discussions. 10 of 15
ms was Sustainability 2017, 9, 1573
the development of
t d Fi
4 Figure 4. Strategies and public policy themes suggested for the sustainable development of sugarcane
expansion in the SGPR. Figure 4. Strategies and public policy themes suggested for the sustainable development of sugarcane
expansion in the SGPR. Figure 4. Strategies and public policy themes suggested for the sustainable development of sugarcane
expansion in the SGPR. Figure 4. Strategies and public policy themes suggested for the sustainable development of sugarcane
expansion in the SGPR. 3.2. Session II: Land Use Functions As for the environmental dimension, by taking into consideration the importance given to water
resources in both productive activities and in the supply for human consumption, as well as the high
water demand in the sugarcane culture, the insertion of the conservation of abiotic resources LUF was
proposed. It was considered comprehensive and included issues such as water resources and erosion
and loss of soil and nutrients. 11 of 15 11 of 15 Sustainability 2017, 9, 1573 Table 2. Indicators to assess sugarcane expansion sustainability in the SGPR. Sustainability
LUF
Indicators
SOCIAL (a)
Labor quality and
supply
Hiring, firing and balance
Average income
Employment rate by sector
Use of local labor
Health care and
quality of life
Access to basic sanitation
Hospital facilities and beds/100,000 inhabitants
Student attendance per school year
Crime rate
Local
socio-cultural
development
Number of public leisure facilities
GINI index
Cultural groups
Number of Municipal Councils
Number of high school graduates
ECONOMIC (b)
Industrial
activities and
construction
Urbanization rate
Industrial diversification
Industrial gross domestic product (GDP)
Availability of public transportation
Electricity consumption
Rural production
and local
consumption
Agricultural GDP
Agricultural diversification
Area occupied by crops
Consumption of local agricultural products
Infrastructure
Electrical power generation
Electric transmission network
Road network diversity
Electricity cogeneration
ENVIRONMENTAL (c)
Conservation of
abiotic resources
Consumption of pesticides and fertilizers
Use/ Agroecology Zoning (ZAE) discrepancy
Percentage of preserved PPA
Total use/sugarcane expansion rate
Soil loss
Burned area/harvested area
Conservation of
biotic resources
Percentage of preserved permanent preservation area (PPA)
Total use/sugarcane expansion rate
Burned points/year
Deforestation rate—pasture clearing
Number of fragments (measures of associated landscape)
Pesticide consumption
Maintenance of
ecosystem
processes
Percentage of preserved PPA
Carbon stock and sequestration
Water body sedimentation rate
Percentage of contiguous production area (landscape/permeability matrix)
Fragmentation level of the remaining forests Table 2. Indicators to assess sugarcane expansion sustainability in the SGPR. 4. Conclusions The sugarcane expansion scenarios in the SGPR indicate the dynamics of the expansion and point
out some weaknesses and potentialities of ethanol production in this region. This information can
be analyzed in the light of the influence of the driving forces that operate in the local industrial and
agro-industrial sectors, which may favor or restrict the cultivation of sugarcane in the region. The study
collected information that allows us to conclude that the edaphoclimatic conditions, the availability of
areas for cultivation, and governmental policies at the federal and state levels are among the main
attraction factors for the implantation, expansion and revitalization of the sugar and alcohol industry
in the SGPR. The ZAE-CANA was the main instrument of public policies selected for the construction of
sugarcane expansion scenarios in SGPR. Other public policies and drivers should be considered in
scenarios for the expansion of sugarcane. However, due to the socio-environmental diversity of
the region, the same set of public policy instruments can result in very different social, economic
and environmental impacts. The participatory methodological approach provided the basis for
evaluating the sustainability impacts caused by the expansion process of sugarcane cultivation and the
implementation of ethanol agribusiness in the SGPR. Based on technical knowledge integrated with the stakeholders of the local society, it was possible
to indicate the LUF and the indicators that should be considered in the FoPIA in the SGPR sugarcane
expansion scenarios. The LUF defined in this study were similar to those originally proposed,
demonstrating that the LUF set by the experts address the main sustainability issues of the sugarcane
expansion in SGPR. Participants, however, placed a special emphasis on the health care issue of quality
of life as a new LUF proposal. They also stressed the local socio-cultural development, which would
include recreational, educational, religious, scientific and cultural land use as the region shelters
landscapes with remarkable scenic beauty. The prioritization stage of the indicators was not carried
out due to the low availability of time during the workshop so that the participating experts could
have access to more information and reflect on the issue. However, they showed a clear need to
select a minimum set of indicators in a participatory way associated with each LUF to evaluate and
monitor the sustainability of scenarios for expansion of sugarcane cultivation geared to the industrial
production of sugar and ethanol in SGPR. 3.3. Session III: Impact Indicators The work groups in the Session III were the same as session II and, according to criteria such as
relevance, simplicity, robustness, measurability, operability and spatial and temporal availability, they
chose the indicators that would be most appropriate to represent each LUF defined in the previous
session. Each work group proposed three indicators for each LUF, according to the sustainability
dimension they represented (Table 2). Fifty-three indicators were pointed out by the six work groups. The analysis and removal of
redundancies and inconsistencies resulted in 43 proposed indicators: 13 social, 13 economic and
17 environmental indicators (Table 2). The experts understood that the indicators must reflect the
impacts of land use changes on the municipality or region, based on a broader scale than that observed
exclusively in production areas such as plants or rural properties. Regarding the social dimension, most experts agreed to include indicators capable to evaluate
the quality of issues such as job opportunities, education, public security and leisure for the people. 12 of 15 Sustainability 2017, 9, 1573 Similarly, not only did the suggested economic indicators measure the industrial and agricultural
production values, but they also assessed the diversification of these products. They measured power
generation and assessed its distribution. They also measured the availability of public transportation,
as well as the capacity of the road network to meet the demand for transport. Thus, the experts
selected variables to identify the relationship between social and economic factors in order to expand
the potential to improve the local population's quality of life. The environmental issue is reflected in the indicators representing the relevant impacts to
sugarcane monocultures, namely the contamination of soils and water resources by pesticides and
excessive nutrients (especially nitrogen) [38]; the biodiversity loss due to the sugarcane monoculture
and the way it is managed by agricultural companies and landowners [39,40]; the air quality, which is
strongly compromised by the smoke from post-harvest burning [41]; and the soil compaction and its
subsequent incapacity to retain sediments, nutrients and water [42]. 4. Conclusions Finally, the results indicate the potential of the FoPIA methodology as a tool to assess sustainability
in a participatory way, bringing together stakeholders to discuss and promote guidelines to achieve
sustainability. However, as the methodology was not fully applied, it was not possible to access
stakeholders’ preferences and feedback. FoPIA has proven to be a powerful tool—although it is complex and demands a great amount of
energy input. We highly recommend this tool; however, we must stress that studies that use it must require
thorough previous planning, especially concerning the workshops and stakeholders mobilization. 13 of 15 13 of 15 Sustainability 2017, 9, 1573 Acknowledgments: We gratefully acknowledge the time and efforts of the experts who joined the workshop. We
also thank the Sixth EU’s Framework Programme for the financial support and the anonymous reviewers for their
critical and constructive comments. Author Contributions: Heitor Coutinho designed the FoPIA application for the sugarcane expansion in SGPR;
Ana Turetta wrote the manuscript and compiled the figures and tables; Joyce Monteiro wrote the manuscript
mainly the public policies section and conclusions; Selma Castro and José Pietrafesa contributed with the workshop
organization, map elaboration and text suggestions. All authors contributed to the discussion. Conflicts of Interest: The authors declare no conflict of interest. References 1. Buckeridge, M.S.; de Souza, A.P.; Arundale, R.A.; Teixeira, K.J.; De Lucia, E. Ethanol from sugarcane in
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FoPIA approach in Yogyakarta, Indonesia. Sustainability 2010, 2, 1991–2009. [CrossRef] 23. References König, H.; Sghaier, M.; Schuler, J.; Abdeladhim, M.; Helming, K.; Tonneau, J.P.; Ounalli, N.; Imbernon, J.M.;
Wiggering, H. Participatory Impact assessment of soil and water conservation scenarios in Oum Zessar
Watershed, Tunisia. Environ. Manag. 2012, 50, 153–165. [CrossRef] [PubMed] 24. König, H.J.; Zhen, L.; Helming, K.; Uthes, S.; Yang, L.; Cao, X.; Wiggering, H. Assessing the impact of the
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em Ciências Ambientais. Available online: http://repositorio.bc.ufg.br/tede/handle/tede/5047 (accessed
on 29 August 2017). 26. Lima, D.L. Estrutura e Expansão da Agroindústria Canavieira no Sudoeste Goiano: Impactos No Uso Do
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macatuba, São Paulo. Saúde Soc. 2010, 19, 48–63. 33. Vieira, J.N.d.S. A Agroenergia e os Novos Desafios para a Política Agrícola no Brasil. In O Futuro da Indústria:
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pp. 37–48. 34. Rosillo-Calle, F.; Cortez, L.A.B. References Towards Proalcool II: A review of the Brazilian Bioethanol Programme. Biomass Bioenergy 1998, 14, 115–124. [CrossRef] 35. Brasília, D.F. Plano Nacional de Agroenergia 2006–2011/Ministério da Agricultura. In Pecuária e
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No 5.265). Available online: http://www.gabinetecivil.goias.gov.br/decretos/numerados/2000/decreto_
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Hong Kong, China; Brasília, Brazil, 2008; pp. 50–63. 39. Carvalho, S.P.; Marin, J.O.B. Agricultura familiar e agroindústria canavieira: Impasses sociais. Rev. Econ. Sociol. Rural 2011, 49, 3. [CrossRef] Pasqualetto, A.; Zito, R.K. Impactos Ambientais da Monocultura da Cana-de-Açúcar; UFG: Goiânia, Brazil, 2000 40. Pasqualetto, A.; Zito, R.K. Impactos Ambientais da Monocultura da Cana-de-Açúcar; UFG: Goiânia, Brazil, 2000. 41. Gonçalves, D.B. Sob as cinzas dos canaviais: o perigoso impasse das queimadas no estado de São Paulo. Inf. Econ. 2005, 35, 32–44. Gonçalves, D.B. Sob as cinzas dos canaviais: o perigoso impasse das queimadas no estado de São Paulo
Inf. Econ. 2005, 35, 32–44. 42. Severiano, E.C.; Oliveira, G.C.; Dias Júnior, M.S.; Costa, K.A.P.; Castro, M.B.; Magalhães, E.N. Potencial de
descompactação de um Argissolo promovido pelo capim-tifton 85. Rev. Bras. Eng. Agríc. Ambient. 2010, 14,
39–45. [CrossRef] © 2017 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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ОРТОПЕДИЧЕСКОЕ ЛЕЧЕНИЕ БОЛЬНЫХ С ПОЛНОЙ АДЕНТИЕЙ НА ФОНЕ САХАРНОГО ДИАБЕТА
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Received: 16th August 2022
Accepted: 20th August 2022
Online: 24th August 2022
KEY WORDS
челюстно-лицевой Received: 16th August 2022
Accepted: 20th August 2022
Online: 24th August 2022 Ранним признаком СД может быть сухость во рту,
гиперемия
слизистых
оболочек,
жжение,
сопровождающееся
жаждой,
атрофия
нитевидных
сосочков
языка,
хейлиты,
изменение
вкусовой
чувствительности,
остеопороз
в
пределах
альвеолярного отростка и др. Много исследований
посвящено ухудшению гигиенического состояния полости
рта у больных СД, состоянию твердых тканей зуба,
однако данные противоречивы. области,
сахарного
диабета,
атрофия,
ретинопатия,
хайропатия, нейропатия,
микроальбуминурия,
катаракта,
липоидный
некробиоз. Введение. Сахарный диабет (СД),
являясь
наиболее
распространенной
эндокринной
патологией,
затрагивающей
лиц
любого
шла,
возраста и национальности приводит к
длительной утрате здоровья и ранней
гибели
больных. Сахарный
диабет
сопровождается такими осложнениями,
как
диабетическая
ретинопатия,
хайропатия (ограничение подвижности
суставов),
сенсорная
нейропатия,
микроальбуминурия,
катаракта,
липоидный
некробиоз
(поражение
кожи), задержка физического развития
и
полового
созревания. В
основе
осложнений
лежат
микро
и
макроангиопатии,
гипергликолизирование коллагена. При
СД
изменения
со
стороны
челюстно-лицевой
области
множественны, они зависят от типа,
длительности, компенсации сахарного
диабета и от его осложнений. Ранним признаком СД может быть
сухость во рту, гиперемия слизистых
оболочек, жжение, сопровождающееся
жаждой, атрофия нитевидных сосочков
языка, хейлиты, изменение вкусовой
чувствительности,
остеопороз
в
пределах альвеолярного отростка и др. Много
исследований
посвящено
ухудшению гигиенического состояния
полости рта у больных СД, состоянию
твердых тканей зуба, однако данные
противоречивы. Возможно,
это
обусловлено
особенностями
и
длительностью клинического течения Volume 2 Issue 6, June 2022 ISSN 2181-287X
Page 62 Volume 2 Issue 6, June 2022 ISSN 2181-287X Page 62 основного
заболевания,
продолжительностью
приема
препаратов,
наличию
осложнений,
наследственными
и
другими
факторами. Цель
исследования. Повышение
эффективности
ортопедического
лечения при полной адентии у больных
сахарным диабетом. При
использовании
протезов
из
сплава титана ВТ-14 общая микробная
обсемененность
возрастает
в
небольшой
степени. Использование
базисной
пластмассы
"СтомАкрил"
сопровождается резким увеличением
обсемененности
слизистой
оболочки
полости
рта
и
базиса
протеза
с
преобладанием
условно-патогенной
микрофлоры. Материалы
и
методы
исследования. Всего под наблюдением
находилось 70 пациентов, в возрасте от
32 до 75 лет, среди которых было 40
мужчин и 30 женщин. Результаты
исследования. В
условиях
экспериментально
воспроизведенного сахарного диабета
значительно
меняется
динамика
морфологических проявлений тканевой
реакции
и
формирования
капсулы
вокруг
введенного
под
кожу
имплантата. Наиболее интенсивное и
склонное к хронизации воспаление в
ткани происходит при имплантации
животным с СД акриловых пластмасс -
«Фторакс»
и
«СтомАкрил». Воспалительная
реакция
тормозила
созревание
соединительной
ткани
капсулы,
формирующейся
вокруг
образцов из полимеров. Результаты
исследования. В
условиях
экспериментально
воспроизведенного сахарного диабета
значительно
меняется
динамика
морфологических проявлений тканевой
реакции
и
формирования
капсулы
вокруг
введенного
под
кожу
имплантата. Наиболее интенсивное и
склонное к хронизации воспаление в
ткани происходит при имплантации
животным с СД акриловых пластмасс -
«Фторакс»
и
«СтомАкрил». Воспалительная
реакция
тормозила
созревание
соединительной
ткани
капсулы,
формирующейся
вокруг
образцов из полимеров. Вычисление анаэробного индекса по
соотношению разных летучих жирных
кислот в ротовой жидкости позволяет
оценить
адаптационные
и
дизадаптационные процессы у больных
сахарным диабетом. Слабое возрастание
анаэробного
индекса
после
протезирования
с
использованием
титанового базиса и резкое увеличение
индекса при применении акриловой
пластмассы
в
ранние
сроки
после
протезирования
свидетельствует
о
лучшей адаптации пациентов с СД к
съемным
протезам
с
титановым
базисом. 6. Результаты
экспериментальных
и
клинико-
лабораторных
исследований
свидетельствуют о том, что больным с
компенсированной формой сахарного
диабета 1 и 2 типа изготовление
съемных
зубных
протезов
с
металлическим
базисом
из
сплава
титана
ВТ-14
не
вызывают
патологических изменений со стороны
микробиоценоза и тканей полости рта. Тканевая
реакция
на
титановый
имплантат у животных без модели
сахарного диабета выражена заметно
слабее, чем на полимеры, быстрее идет
созревание и фибротизация капсулы,
она
тоньше
и
менее
выражены
дистрофические изменения клеток. При
экспериментальном
диабете
воспалительная
реакция
на
титан
усиливается по сравнению с контролем,
но остается менее значительной, чем в
группах с имплантацией полимеров. Volume 2 Issue 6, June 2022 ISSN 2181-287X
Page 63 Volume 2 Issue 6, June 2022 ISSN 2181-287X Page 63 U EURASIAN JOURNAL OF MEDICAL AND
NATURAL SCIENCES
Innovative Academy Research Support Center
8 3 | SJIF
5 995
www in acad В ходе выполнения поставленных
задач
усовершенствованы
методики
«подготовки зуба для протезирования»,
«получения
оттиска
зубного
ряда»,
«изготовления литой коронки и ее
фиксации»
с
применением
«устройства». Вывод. Разработано устройство для
крепления несъемного зубного протеза,
позволяющее
повысить
ретенцию
литых протезов на зубах с укороченной
клинической коронкой в среднем на 82
%. На основании проведенных анатомо-
морфометрических
и
лабораторно-
экспериментальных
исследований
определены оптимальные параметры
«устройства»
и
разработаны
рекомендации по его использованию в
зубах
с
укороченной
клинической
коронкой
в
группе
премоляров
и
моляров верхней и нижней челюстей. Практическое
внедрение
и
клиническая апробация в течение 6 лет
убедительно доказали эффективность
предложенного устройства и метода
фиксации, как средства профилактики
расцементировки несъемных протезов. References: References: 1. Баум Л., Филипс Р.В., Лунд М.Р. Руководство по практической стоматологии: Пер. с англ. —
М.: ОАО «Издательство Медицина», 2005. - 680 с. 1. Баум Л., Филипс Р.В., Лунд М.Р. Руководство по практической стоматологии: Пер. с англ. —
М.: ОАО «Издательство Медицина», 2005. - 680 с. 2. Беер Р. Иллюстрированный справочник по эндодонтологии / Рудольф Беер, Михаэль А. Бауман, Андрей М. Киельбаса; Пер. с нем.; Под ред. Е.А.Волкова. — М.: МЕДпресс-информ, 2006. -
240 с. 3. Бир Р. Эндодонтологии / Р.Бир, М.Бауманн, С.Ким. Пер. с англ. Под общ. ред. проф. Т.Ф.Виноградовой. - М.: МЕДпресс- информ, 2004. - 368 с. 3. Бир Р. Эндодонтологии / Р.Бир, М.Бауманн, С.Ким. Пер. с англ. Под общ. ред. проф. Т.Ф.Виноградовой. - М.: МЕДпресс- информ, 2004. - 368 с. 4. Болезни пародонта. Патогенез, диагностика, лечение / А.С.Григорьян, А.И.Грудянов,
Н.А.Рабухина, О.А.Фролова. — М.: Меди- 4. Болезни пародонта. Патогенез, диагностика, лечение / А.С.Григорьян, А.И.Грудянов,
Н.А.Рабухина, О.А.Фролова. — М.: Меди- цинское информационное агентство, 2004. — 320 с. цинское информационное агентство, 2004. — 320 с. 5. Болезни полости рта / Под ред. Л.М. Лукиных. Н.Новгород: Изд-во Нижегородской
государственной медицинской академии, 2004. - 509 с. 5. Болезни полости рта / Под ред. Л.М. Лукиных. Н.Новгород: Изд-во Нижегородской
государственной медицинской академии, 2004. - 509 с. 6. Борисенко А.В. Кариес зубов: Практическое руководство. - К.: Книга плюс, 2000. - 344 с сенко А.В. Кариес зубов: Практическое руководство. - К.: Книга плюс, 2000. - 344 с. 7. Борисенко А.В. Секреты лечения кариеса и реставрации зубов.- М : Киша плюс, 2002. - 544с. 7. Борисенко А.В. Секреты лечения кариеса и реставрации зубов.- М : Киша плюс, 2002. - 544с. 8. Боровский Е.В. Клиническая эндодонтия. — М.: АО «Стома-
тология», 1999. - 176 с. 8. Боровский Е.В. Клиническая эндодонтия. — М.: АО «Стома-
тология», 1999. - 176 с. 9. Боровский Е.В., Жохова Н.С. Эндодонтическое лечение (пособие для врачей). — М.: АО
«Стоматология», 1997. — 64 с. 9. Боровский Е.В., Жохова Н.С. Эндодонтическое лечение (пособие для врачей). — М.: АО
«Стоматология», 1997. — 64 с. 10. Боровский Е.В., Леонтьев В.К. Биология полости рта. - М.: Медицина, 1991. - 304 с. 10. Боровский Е.В., Леонтьев В.К. Биология полости рта. - М.: Медицина, 1991. - 304 с. 11. Грудянов А.И. Пародонтология. Избранные лекции. — М.: ОАО
«Стоматология», 1997.— 32 с. 11. Грудянов А.И. Пародонтология. Избранные лекции. — М.: ОАО
«Стоматология», 1997.— 32 с. Volume 2 Issue 6, June 2022 ISSN 2181-287X Page 64 12. References: Дубова М.А., Салова А.В., Хиора Ж.П. Расширение возможностей эстетической реставрации
зубов. Нанокомпозиты: Учебное пособие. - СПб., 2005. - 144 с. 12. Дубова М.А., Салова А.В., Хиора Ж.П. Расширение возможностей эстетической реставрации
зубов. Нанокомпозиты: Учебное пособие. - СПб., 2005. - 144 с. 13. Ефанов О.И., Дзанагова ТФ. Физиотерапия стоматологических заболеваний. — М.:
Медицина, 1980. — 296 с. 13. Ефанов О.И., Дзанагова ТФ. Физиотерапия стоматологических заболеваний. — М.:
Медицина, 1980. — 296 с. 14. Заболевания слизистой оболочки полости рта и губ / Под ред. проф. Е.В.Боровского,
А.Л.Машкиллейсона. — М.: МЕДпресс, 2001. - 320 с. 14. Заболевания слизистой оболочки полости рта и губ / Под ред. проф. Е.В.Боровского,
А.Л.Машкиллейсона. — М.: МЕДпресс, 2001. - 320 с. 15. Иванов В.С. Заболевания пародонта. — 3-е изд., перераб. и доп.- 15. Иванов В.С. Заболевания пародонта. — 3-е изд., перераб. и доп.- М.: Медицинское информационное агентство, 1998. — 296 с. Литература 935 М.: Медицинское информационное агентство, 1998. — 296 с. Литература 935 16. Иорданишвили А.К., Ковалевский А.М. Пульпиты: Учебное пособие. - СПб.: «Нормед-издат»,
1999. - 88 с. 16. Иорданишвили А.К., Ковалевский А.М. Пульпиты: Учебное пособие. - СПб.: «Нормед-издат»,
1999. - 88 с. 17. Иорданишвили А.К., Ковалевский А.М. Эндодонтическое лечение периодонтитов: Учебное
пособие. — СПб.: «Нормед-издат», 2000. - 88 с. 17. Иорданишвили А.К., Ковалевский А.М. Эндодонтическое лечение периодонтитов: Учебное
пособие. — СПб.: «Нормед-издат», 2000. - 88 с. 17. Иорданишвили А.К., Ковалевский А.М. Эндодонтическое лечение периодонтитов: Учебное
пособие. — СПб.: «Нормед-издат», 2000. - 88 с. Volume 2 Issue 6, June 2022 ISSN 2181-287X Volume 2 Issue 6, June 2022 Volume 2 Issue 6, June 2022 Page 65
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Blendas SAN/NBR: influência do teor de acrilonitrila e da viscosidade da borracha nitrílica nas propriedades mecânicas
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ABSTRACT Aiming the development of high toughness polymeric materials, poly(butadiene-co-acrylonitrile)
rubbers (NBRs) with acrylonitrile (AN) contents varying from 32.9 to 45.7% were incorporated to
poly(styrene-co-acrylonitrile) (SAN) by monoscrew extrusion followed by injection molding. Addition of
NBR resulted in significant improvements in the impact strength and the elongation at break, that were
strongly influenced by the blend composition, the AN contents and the NBR melt viscosities, but the tensile
strength was slightly decreased. The best impact strength results (157.1 ± 3.7J/m) were obtained with a 70/30
(%w/w) SAN/NBR blend using NBR with 33.1% of AN and Mooney viscosity of 51 ML 1+4 (100°C), being
ca. 700% higher than the values for pure SAN (22.4 ± 1.1J/m). Scanning electron micrographs (SEM) from
fracture surfaces revealed homogeneously dispersed spherical elastomeric domains, and the appearance of
yielding and/or crazing processes for all blends. The size of NBR domains decreased as the AN content
increased, while the number of NBR domains decreased as the melt viscosity increased. Keywords:
Blends, SAN, NBR, tenacification, mechanical properties. Revista Matéria, v. 12, n. 4, pp. 568 – 573, 2007
http://www.materia.coppe.ufrj.br/sarra/artigos/artigo10920 Autor Responsável: Sérgio H. Pezzin RESUMO Com o objetivo de desenvolver materiais poliméricos com elevada tenacidade, borrachas de
poli(butadieno-co-acrilonitrila) (NBR), com teores de acrilonitrila (NA) variando de 32,9 a 45,7%, foram
incorporadas ao poli(estireno-co-acrilonitrila) (SAN), por extrusão seguida de injeção. A adição do NBR
resultou em um aumento significativo na resistência ao impacto e na deformação na ruptura, que foram
fortemente influenciadas pela composição da blenda, pelo teor de acrilonitrila e pela viscosidade dos NBRs,
porém, houve a diminuição da resistência à tração. Os resultados mais expressivos para resistência ao
impacto (157,1 ± 3.7 J/m) foram obtidos para a blenda 70/30 (%m/m) utilizando NBR com 33,1% de
acrilonitrila e viscosidade Mooney de 51 ML 1+4 (100°C), um valor cerca de 700% maior que o verificado
para o SAN puro (22,4 ± 1.1 J/m). A análise da superfície de fratura por microscopia eletrônica de varredura
revelou homogeneidade dos domínios elastoméricos dispersos na matriz, bem como o aparecimento de
microtrincas e/ou deformação plástica para todas as blendas. O tamanho dos domínios de NBR diminui com
o aumento do teor de acrilonitrila presente no NBR, enquanto a quantidade de domínios diminui com o
aumento da viscosidade. Palavras chaves: Blendas, SAN, NBR, tenacificação, propriedades mecânicas. Palavras chaves: Blendas, SAN, NBR, tenacificação, propriedades mecânicas. 1
INTRODUÇÃO Os materiais termoplásticos podem ser modificados ou reforçados através da adição de fibras,
partículas ou elastômeros [1]. Nas misturas de termoplásticos com elastômeros, quando se submete o material
a uma carga, as partículas elastoméricas dispersas podem concentrar ou absorver tensões, provocando uma
alteração do estado tensorial da fase matricial e uma intensa deformação plástica. A eficiência da
tenacificação depende em geral do tipo específico do modificador empregado, tamanho e distribuição das Autor Responsável: Sérgio H. Pezzin Data de envio: 20/03/07
Data de aceite: 11/07/07 LEITZKE, T.C.; PEZZIN, A.P.T.; PEZZIN, S.H., Revista Matéria, v. 12, n. 4, pp. 568 – 573, 2007. partículas, temperatura de transição vítrea e compatibilidade entre as fases [2]. Podem ser citados como
exemplos: NBR/poli(cloreto de vinila) e NBR/EPDM, entre outros [3-4]. Estudos de blendas de SAN/NBR, na composição 70/30 (%m/m), demonstram que existe interação
entre as fases, verificada pela variação da temperatura de transição vítrea e pela análise morfológica [5-7]. Cowie e colaboradores [5], estudaram valores da energia de interação segmental para blendas de SAN/NBR,
encontrando regiões extensas de miscibilidade. Ahn e colaboradores [6, 7] verificaram que quanto maior o
teor de acrilonitrila do NBR, maior a tendência em ocorrer uma interação entre as fases, observando que há
uma melhora significativa na propriedade de impacto quando se utiliza NBR com altos teores de acrilonitrila. A miscibilidade e a morfologia de blendas SAN/NBR em várias composições variando o teor de
acrilonitrila da borracha de 33 a 45% foi estudada por Ziquinatti e colaboradores (2006) [8]. A adição de
NBR resultou em um significativo aumento na resistência ao impacto, fortemente dependente da composição
da blenda e do teor de AN da NBR, sendo que o melhor resultado foi alcançado para a composição
SAN/NBR 50/50, usando NBR com 45% de AN [8]. Estudos de tenacificação do copolímero SAN com outros polímeros também são encontrados na
literatura [9-12]. Wang e colaboradores [9] estudaram o efeito da composição da blenda
poliamida/SAN/NBR, utilizando resina fenol-formaldeído (PF) como agente compatibilizante, e observaram
uma melhora significativa na tenacidade para a blenda 50/25/25 com 8% de PF. Hwang e colaboradores [10]
estudaram a incorporação de polietileno clorado ao SAN, verificando que a mistura é imiscível e que não há
melhora nas propriedades de tração e impacto. 1
INTRODUÇÃO A tenacidade de blendas de SAN/policarbonato é melhorada
pela adição de partículas de poli(metacrilato-butadieno-estireno), que atuam como agente de adesão entre as
fases [11], entretanto a adição de modificador de impacto acrílico não causa um aumento significativo na
resistência ao impacto [12]. Este trabalho teve como objetivos obter e a caracterizar misturas de copolímero estireno-acrilonitrila
– SAN e copolímero butadieno-acrilonitrila – NBR, variando o teor de acrilonitrila e a viscosidade do NBR,
visando o desenvolvimento de um novo material a um custo relativamente baixo, com uma melhora
significativa na tenacidade do SAN. Os corpos de prova obtidos através do processo de injeção em moldes específicos normatizados
(ISO 572/2001 e ISO 180/2001) foram caracterizados por ensaios mecânicos (impacto e tração), sendo a
morfologia avaliada por microscopia eletrônica de varredura (MEV). LEITZKE, T.C.; PEZZIN, A.P.T.; PEZZIN, S.H., Revista Matéria, v. 12, n. 4, pp. 568 – 573, 2007. LEITZKE, T.C.; PEZZIN, A.P.T.; PEZZIN, S.H., Revista Matéria, v. 12, n. 4, pp. 568 – 573, 2007. LEITZKE, T.C.; PEZZIN, A.P.T.; PEZZIN, S.H., Revista Matéria, v. 12, n. 4, pp. 568 – 573, 2007. Os ensaios de tração foram realizados conforme a norma ISO 572/2001 em uma máquina Universal
de Ensaios Kratos, com célula de carga de 5000kgf, velocidade de ensaio de 50 mm/min e carga máxima
220kgf. Para a obtenção de valores médios da resistência à tração e da deformação na ruptura, os ensaios de
tração foram realizados em oito corpos de prova. Os ensaios de impacto IZOD foram realizados em um equipamento Microtest. Os corpos de prova
das blendas foram entalhados e analisados, de acordo com a norma ISO 180/2001, utilizando para o polímero
SAN puro um martelo 0,5 Joules e para os corpos de prova das blendas de SAN/NBR martelo de 2 Joules. Para a obtenção dos valores médios do ensaio de impacto foram analisados 10 corpos de prova. As
superfícies de fratura dos corpos de prova foram observadas ao microscópio da Zeiss DSM 940 A a 10 kV. 2
EXPERIMENTAL As blendas de SAN (SANGEL LW 6827, Bayer Polímeros S.A.) e NBR (Nitriflex S.A.) com
diferentes características (Tabela 1), na proporção 70/30 (%m/m), foram preparadas por extrusão monorosca
(Ciola modelo B-50, relação L/D 25, 6:1) seguida de injeção em molde para a obtenção dos corpos de prova
(Sandretto, L/D 23,2:1) com controle de temperatura do molde em torno de 70 ± 2ºC. Tabela 1: Características das borrachas nitrílicas. Tabela 1: Características das borrachas nitrílicas. Propriedades
NBR-1
NBR-2
NBR-3
Teor de Acrilonitrila (%)
45,7
32,9
33,1
Viscosidade Mooney ML 1+4 (100ºC)
50
81
51 A Tabela 2 contém os parâmetros utilizados no processo de extrusão. Verificou-se que para a
obtenção de corpos de prova adequados, as temperaturas de processamento das blendas devem ser inferiores
que as utilizadas para o SAN puro, sendo que as mesmas variaram ligeiramente com o teor de AN da NBR,
com temperaturas um pouco superiores para a blenda com NBR-1 (48,5% AN). Após a extrusão, as blendas
foram resfriadas à temperatura ambiente e trituradas em um moinho de facas Primotécnica (modelo P 2001,
série SPD3/2). Tabela 2: Parâmetros utilizados no processo de extrusão na obtenção
das blendas 70/30 (%m/m) de SAN/NBR. Parâmetros Utilizados
SAN puro
SAN/NBR-1
SAN/NBR-2
SAN/NBR3
Temperatura Zona 1 (ºC)
200
160
150
150
Temperatura Zona 2 (ºC)
210
170
160
160
Temperatura Zona 3 (ºC)
210
170
160
160
Rotação da rosca (rpm)
500
500
500
500 Tabela 2: Parâmetros utilizados no processo de extrusão na obtenção
das blendas 70/30 (%m/m) de SAN/NBR. Os corpos de prova obtidos através do processo de injeção em moldes específicos normatizados
(ISO 572/2001 e ISO 180/2001) foram caracterizados por ensaios mecânicos (impacto e tração), sendo a
morfologia avaliada por microscopia eletrônica de varredura (MEV). 569 Figura 2: Tensão máxima obtida nos ensaios de tração para blendas SAN/NBR (70/30, %m/m) com
diferentes tipos de NBR. Figura 2: Tensão máxima obtida nos ensaios de tração para blendas SAN/NBR (70/30, %m/m) com
diferentes tipos de NBR. Os estudos de AHN et al. [2000] [6] mostram um valor mínimo de resistência à tração, para as
blendas que utilizam NBR menor teor de acrilonitrila e tende a ser máximo com o aumento do teor de
acrilonitrila do NBR devido à diminuição do tamanho das partículas. A variação dos resultados obtidos através da caracterização mecânica provavelmente está
relacionada com o tamanho dos domínios elastoméricos presentes na matriz polimérica e diferentes
viscosidades do NBR. Como o tamanho dos domínios está diretamente ligado ao teor de acrilonitrila,
portanto, tamanhos menores tendem a suportar a carga aplicada com maior resistência. A diferença de
viscosidade também influencia na dispersão da fase elastomérica, sendo que quanto menor a viscosidade,
maior a dispersão da fase na matriz polimérica, tornando o material mais resistente à tração. 3.1
Ensaios Mecânicos O comportamento de resistência ao impacto para as blendas SAN/NBR (70/30) (%m/m), com NBRs
de diferentes teores de acrilonitrila e viscosidade, encontra-se na Figura 1. Observa-se um aumento
significativo na resistência ao impacto com a diminuição do teor de acrilonitrila do NBR, sendo que para a
blenda com o NBR-3 o aumento foi de cerca de 700% em relação ao SAN puro e de 67% em relação ao ABS,
tornando assim, viável a utilização desta blenda em substituição ao ABS, em aplicações que requeiram alta
resistência ao impacto e alta tenacidade. 0
20
40
60
80
100
120
140
160
SAN/NBR-3
SAN/NBR-2
SAN/NBR-1
SAN
Resistência ao impacto Izod (J/m)
Blendas SAN/NBR (70/30)
Figura 1: Resistência ao impacto IZOD de blendas SAN/NBR (70/30) (%m/m)
com diferentes tipos de NBR. Blendas SAN/NBR (70/30) Blendas SAN/NBR (70/30) Figura 1: Resistência ao impacto IZOD de blendas SAN/NBR (70/30) (%m/m)
com diferentes tipos de NBR. Os ensaios de tração mostraram uma leve diminuição nas tensões máximas para os materiais
modificados com NBR (Figura 2). Tal fato era esperado devido à tenacificação do SAN, comprovada pelo
ensaio de impacto. Quanto às diferenças de valores de resistência à tração variando o teor de acrilonitrila
presentes no NBR, acredita-se que sejam devidas às variações no tamanho dos domínios elastoméricos, sendo
que quanto maiores forem os domínios, mais facilmente ocorrerá à ruptura do corpo de prova. 570 LEITZKE, T.C.; PEZZIN, A.P.T.; PEZZIN, S.H., Revista Matéria, v. 12, n. 4, pp. 568 – 573, 2007. 0
5
10
15
20
SAN/NBR-3
SAN/NBR-2
SAN/NBR-1
SAN
Resistência ao impacto Izod (MPa)
Blendas SAN/NBR (70/30)
Tensão máxima (MPa)
0
5
10
15
20
SAN/NBR-3
SAN/NBR-2
SAN/NBR-1
SAN
Resistência ao impacto Izod (MPa)
Blendas SAN/NBR (70/30)
Tensão máxima (MPa) Blendas SAN/NBR (70/30)
Blendas SAN/NBR (70/30) 4
CONCLUSÕES Os resultados mostraram que o aumento da resistência ao impacto e da tenacidade do material está
relacionado ao tamanho dos domínios de NBR na matriz de SAN, o qual por sua vez depende da viscosidade
e do teor de acrilonitrila do NBR. A eficiência da tenacificação aumenta quando os domínios possuem
diâmetro maior, tendendo a absorver melhor a tensão aplicada. A blenda SAN/NBR-3 apresenta resistência ao impacto 67% maior que a do ABS e 700% maior que
a do SAN. Além disso, a blenda apresenta uma redução de aproximadamente 27% no custo do produto em
relação ao ABS, sendo uma excelente alternativa para aplicações que exijam alta resistência ao impacto a um
custo relativamente menor. LEITZKE, T.C.; PEZZIN, A.P.T.; PEZZIN, S.H., Revista Matéria, v. 12, n. 4, pp. 568 – 573, 2007. LEITZKE, T.C.; PEZZIN, A.P.T.; PEZZIN, S.H., Revista Matéria, v. 12, n. 4, pp. 568 – 573, 2007. Figura 3: Micrografias eletrônicas de varredura de superfícies de fratura de impacto, 1000x: (a) SAN; (b)
blenda SAN/NBR-1, (c) blenda SAN/NBR-2 e (d) blenda SAN/NBR-3 (70/30) (%/m/m). Figura 3: Micrografias eletrônicas de varredura de superfícies de fratura de impacto, 1000x: (a) SAN; (b)
blenda SAN/NBR-1, (c) blenda SAN/NBR-2 e (d) blenda SAN/NBR-3 (70/30) (%/m/m). 3.2
Caracterização Morfológica A Figura 3 ilustra as micrografias obtidas por microscopia eletrônica de varredura do SAN, bem
como das blendas SAN/NBR-1, SAN/NBR-2 e SAN/NBR-3 nas composições 70/30 (%mm). Observa-se que
há uma grande diferença entre a morfologia do SAN puro (fig 3a), que apresenta fratura tipicamente frágil
(seta), enquanto a blenda SAN/NBR-3 (70/30) (%m/m) são observados locais de alta deformação plástica
(seta) durante o ensaio de impacto (fig 3d). Foi verificado para todas as blendas que houve uma boa
homogeneização do elastômero na matriz (figs 3b, 3c 3d). Além disso, nota-se que a diminuição da
viscosidade e o aumento do teor de acrilonitrila do NBR leva à diminuição do tamanho dos domínios
elastoméricos. 571 571 5
AGRADECIMENTOS Os autores agradecem à Capes pela bolsa de mestrado, à TCGL e à Nitriflex. Os autores agradecem à Capes pela bolsa de mestrado, à TCGL e à Nitriflex. 572 LEITZKE, T.C.; PEZZIN, A.P.T.; PEZZIN, S.H., Revista Matéria, v. 12, n. 4, pp. 568 – 573, 2007. 6
BIBLIOGRAFIA [1] McCAMLEY, P.J., “Reinforced thermoplastics”, Encyclopedia Handbook, Ed. Modern Plastics
Magazine, Mc Graw-Hill Inc, v. 136, pp. 127, 1994. [2] GUIMARÃES, M.J.O.C., ROCHA, M.C.G., COUTINHO, F.M.B., “Polietileno de alta densidade
tenacificado com elastômero metalocênico”, Polímeros: Ciência e Tecnologia, v. 12, n. 2, pp.76-84,
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Engineering, v.31, n.3, p.114-118, 2002. [5] COWIE, J.M.C, HARRIS, J.H., MCEWEN, I.J., “Blends of SAN and NBR: A guide to the butadiene
acrylonitrile segmental interaction”, Macromolecules, v. 25, pp. 5287-5290, 1992. [6] AHN, S.J., KWAN, H.L., BYUNG, K.K., HAN, M.J., “Morphology and physical properties of
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copolymer/ nitrile rubber blends”, Polymer Testing, v. 21, pp. 577-582, 2002. [10] HWAUNG, I.J., KIM, B.K, “Modification of poly(styrene-co-acrylonitrile) with chlorinated
polyethylene”, Journal of Polymer Engineering, v. 17, pp. 363-381, 1997. [11] NOH, I., OH, J.M., “Morphology – properties relationships for ternary blends of PC, SAN and impact
modifier having core-shell structure”, Polymer Korea, v. 20, n. 6, pp. 1088–1100, 1996. [12] DEBIER, D., DEVAUX, J., LEGRAS, R., LEBLANC, D., “Influence of a core-shell rubber phase on
the morphology and the impact resistance of a PC SAN blend (75-25)”, Polymer Engineering and
Science, v. 34, n. 8, pp. 613–624, 1994. 573
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https://arts.units.it/bitstream/11368/2970899/1/nanomaterials-10-01707.pdf
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English
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Fluorescent Imprinted Nanoparticles for the Effective Monitoring of Irinotecan in Human Plasma
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Nanomaterials
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cc-by
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Received: 29 July 2020; Accepted: 26 August 2020; Published: 29 August 2020 Abstract:
Fluorescent, imprinted nanosized polymers for the detection of irinotecan have
been synthesised using a napthalimide polymerisable derivative (2-allyl-6-[2-(aminoethyl)-amino]
napthalimide) as functional monomer. The imprinted polymers contain ethylene glycol dimethacrylate
(EGDMA) as a cross-linker and were prepared by high dilution radical polymerisation in
dimethylsulphoxide (DMSO). The material was able to rebind irinotecan up to 18 nmol/mg with
good specificity. Fluorescence emission at 525 nm (excitation at 448 nm) was quenched by increasing
concentrations of irinotecan via a static mechanism and also in analytically useful environments as
mixtures of human plasma and organic solvents. This allowed the direct detection of irinotecan
(in the 10–30 µM range) in human plasma treated with acetonitrile; the limit of detection (LOD) was
9.4 nM, with within-run variability of 10% and day-to-day variability of 13%. Keywords: imprinted nanogels; therapeutic drug monitoring; irinotecan; human plasma; fluorescence nanomaterials nanomaterials nanomaterials nanomaterials www.mdpi.com/journal/nanomaterials Nanomaterials 2020, 10, 1707; doi:10.3390/nano10091707 Fluorescent Imprinted Nanoparticles for the Effective
Monitoring of Irinotecan in Human Plasma Martina Tommasini 1, Elena Pellizzoni 1,2, Valentina Iacuzzi 2,3, Elena Marangon 4,
Paola Posocco 5
, Cristina Forzato 1
, Paolo Bertoncin 3, Giuseppe Toffoli 4,*
,
Marina Resmini 6,* and Federico Berti 1,* 1
Department of Chemical and Pharmaceutical Sciences, University of Trieste, Via Giorgieri 1,
34127 Trieste, Italy; martina.tommasini28@gmail.com (M.T.); pellizzoni.elena@gmail.com (E.P.);
cforzato@units.it (C.F.) 1
Department of Chemical and Pharmaceutical Sciences, University of Trieste, Via Giorgieri 1,
34127 Trieste, Italy; martina.tommasini28@gmail.com (M.T.); pellizzoni.elena@gmail.com (E.P.);
cforzato@units.it (C.F.) 2
PhD School in Nanotechnology, University of Trieste, Via Giorgieri 1, 34127 Trieste, Italy;
valentina.iacuzzi@cro.it 2
PhD School in Nanotechnology, University of Trieste, Via Giorgieri 1, 34127 Trieste, Italy;
valentina.iacuzzi@cro.it 3
Department of Life Sciences, University of Trieste, Via Giorgieri 5, 34127 Trieste, Italy; pbertoncin@units.it
4
CRO–National Cancer Institute, SOC–Experimental and Clinical Pharmacology, Via Gallini 2,
33081 Aviano (PN), Italy; elenamarangon@hotmail.com 3
Department of Life Sciences, University of Trieste, Via Giorgieri 5, 34127 Trieste, Italy; pbertoncin@units.it
4
CRO–National Cancer Institute, SOC–Experimental and Clinical Pharmacology, Via Gallini 2,
33081 Aviano (PN), Italy; elenamarangon@hotmail.com 5
Department of Engineering and Architecture, University of Trieste, Via Valerio 6/1, 34127 Trieste, Italy;
paola.posocco@dia.units.it 6
School of Biological and Chemical Sciences, Queen Mary University of London, Mile End Road,
London E14NS, UK *
Correspondence: gtoffoli@cro.it (G.T.); m.resmini@qmul.ac.uk (M.R.); fberti@units.it (F.B.);
Tel.: +39-040-558-3921 (F.B.) 1. Introduction Irinotecan 1a (Figure 1) [1], (Camptosar®, CPT11) (Figure 1) is an inhibitor of topoisomerase I
largely used in the therapy of metastatic colorectal cancer. It is administered intravenously as the
prodrug of its active metabolite SN-38 1b [2]. The molecule is administered as the hydrochloride salt,
where the piperidine nitrogen, with a reported pKa of 8.7, is protonated [3]. The drug shows high pharmacokinetic variability and heavy secondary effects [4], and for
this reason, its quantification in plasma is an essential step towards personalised therapy. Early pharmacokinetic studies reported an average plasma concentration of about 1 mg/L (170 nM) [5]. However, this initial reference value seems currently no longer reliable, and in our own clinical
experience, we have also observed a range of concentrations between 17 nM and 17 µM with high
variability [6]. Such variability highlights the urgent need for therapeutic drug monitoring (TDM) of Nanomaterials 2020, 10, 1707; doi:10.3390/nano10091707 www.mdpi.com/journal/nanomaterials 2 of 15 Nanomaterials 2020, 10, 1707 this drug that can help in the clinical practice to identify the best dose regimen, therefore reducing side
effects and resulting in a personalised treatment [7,8]. Nanomaterials 2019, 9, x FOR PEER REVIEW
2 of 15 Figure 1. Structures of irinotecan (a) SN-38 (b) and of the functional monomers 2–6 used in this work. Figure 1. Structures of irinotecan (1a) SN-38 (1b) and of the functional monomers 2–6 used in this work. Figure 1. Structures of irinotecan (a) SN-38 (b) and of the functional monomers 2–6 used in this work. Figure 1. Structures of irinotecan (1a) SN-38 (1b) and of the functional monomers 2–6 used in this work. The drug shows high pharmacokinetic variability and heavy secondary effects [4], and for this
reason, its quantification in plasma is an essential step towards personalised therapy. Early
pharmacokinetic studies reported an average plasma concentration of about 1 mg/L (170 nM) [5]. However, this initial reference value seems currently no longer reliable, and in our own clinical
experience, we have also observed a range of concentrations between 17 nM and 17 μM with high
Irinotecan and SN-38 have been detected in human plasma by HPLC-UV, LC-MS and direct
MALDI-MS [6,9–11]. Point-of-care devices for irinotecan monitoring have never been described,
and they could be very helpful to optimise the therapy. variability [6]. 1. Introduction Such variability highlights the urgent need for therapeutic drug monitoring (TDM) of
this drug that can help in the clinical practice to identify the best dose regimen, therefore reducing
side effects and resulting in a personalised treatment [7,8]. Irinotecan and SN-38 have been detected in human plasma by HPLC-UV, LC-MS and direct
MALDI-MS [6,9–11]. Point-of-care devices for irinotecan monitoring have never been described, and
they could be very helpful to optimise the therapy. The key component of any sensing platform is the recognition element that allows it to
specifically identify and bind the target analyte. Biomolecules such as antibodies and enzymes have
been widely used for this purpose with a variety of targets; however more recently there has been a
The key component of any sensing platform is the recognition element that allows it to specifically
identify and bind the target analyte. Biomolecules such as antibodies and enzymes have been widely
used for this purpose with a variety of targets; however, more recently, there has been a strong interest
toward using polymers for recognition. Among the different approaches investigated, molecular
imprinting has been shown to work effectively to deliver artificial biomimetic receptors with high
molecular recognition properties [12]. been widely used for this purpose with a variety of targets; however, more recently, there has been a
strong interest toward using polymers for recognition. Among the different approaches investigated,
molecular imprinting has been shown to work effectively to deliver artificial biomimetic receptors
with high molecular recognition properties [12]. Molecularly imprinted polymers (MIPs) are well-known in applications such as stationary
phases and solid-phase extraction (SPE) for the detection of small molecules, including irinotecan
[13], for coating of metal nanoparticles in surface-enhanced Raman spectroscopy (SERS) [14], and as
d
d li
t
[15] A
li
ti
i
t l
i [16]
d
i
[17] h
b
t d
l
Molecularly imprinted polymers (MIPs) are well-known in applications such as stationary phases
and solid-phase extraction (SPE) for the detection of small molecules, including irinotecan [13],
for coating of metal nanoparticles in surface-enhanced Raman spectroscopy (SERS) [14], and as drug
delivery systems [15]. Applications in catalysis [16] and sensing [17] have been reported also with
soluble micro- and nano-structured imprinted materials. drug delivery systems [15]. Applications in catalysis [16] and sensing [17] have been reported also
with soluble micro- and nano-structured imprinted materials. 1. Introduction A MIP towards camptothecin was used in solid-phase extraction coupled with HPLC to develop
an analytical methodology, with a good linearity in the range of 1–200 µg·mL−1 (2.9–574.2 µmol L−1)
and a LOD of 0 13 µg mL−1 (0 4 µmol L−1) [18]
A MIP towards camptothecin was used in solid-phase extraction coupled with HPLC to develop
an analytical methodology, with a good linearity in the range of 1–200 µg·mL−1 (2.9–574.2 µmol L−1)
and a LOD of 0.13 µg mL−1 (0.4 µmol L−1) [18]. and a LOD of 0.13 µg mL (0.4 µmol L ) [18]. An imprinted polymeric material could be used as the sensing material for irinotecan and to
generate a detectable signal upon interaction with the drug. Here, we present our work on the design,
synthesis, and characterisation of fluorescent imprinted nanoparticles that were used for the
detection and quantification of irinotecan in human plasma samples. This represents a first step
towards the future development of a sensor for the rapid detection of irinotecan. The sensing
nanomaterial exploits a fluorescent reporter directly embedded inside the matrix. Five fluorescent
napthalimide derivatives (2–6) were evaluated by studying the interactions with the target analyte
via 1H-NMR. The MIPs were characterised through dynamic light scattering (DLS) and transmission
electron microscopy (TEM); rebinding of irinotecan was studied by HPLC and fluorescence
An imprinted polymeric material could be used as the sensing material for irinotecan and to
generate a detectable signal upon interaction with the drug. Here, we present our work on the design,
synthesis, and characterisation of fluorescent imprinted nanoparticles that were used for the detection
and quantification of irinotecan in human plasma samples. This represents a first step towards the
future development of a sensor for the rapid detection of irinotecan. The sensing nanomaterial exploits
a fluorescent reporter directly embedded inside the matrix. Five fluorescent napthalimide derivatives
(2–6) were evaluated by studying the interactions with the target analyte via 1H-NMR. The MIPs
were characterised through dynamic light scattering (DLS) and transmission electron microscopy
(TEM); rebinding of irinotecan was studied by HPLC and fluorescence measurements, first in simple
environments and then in human plasma samples treated with acetonitrile. 2.3. 1H-NMR Titrations Irinotecan HCl (2.3 mg, 3.40 µmol) was dissolved in 850 µL of DMSO-d6 to a 4 mM concentration,
and 5 µL amounts of monomer mother solutions in DMSO-d6 were added to obtain final concentrations
from 2 mM to 40 mM. 1H NMR spectra were recorded after each addition. The overall volume change
upon additions was 60 µL (6.5%), and a control experiment was carried out by addition of the same
volumes of solvent. 2.2. Instrumentation NMR spectra (500 MHz) were recorded on a Varian 500 spectrometer (Palo Alto, CA, USA). HPLC analyses were run on an Agilent series 1100 liquid chromatograph (Santa Clara, CA, USA),
with a Phenomenex (Torrance, CA, USA), Luna C18-5µ column with a column guard and a 20 µL
loop. Fluorimetric titrations were performed on a CARY Eclipse (Varian) spectrometer with orthogonal
geometry with a square cuvette of 0.5 cm optical path. TEM images were recorded with a Camera
Olympus QUEMESA (Tokyo, Japan) and software RADIUS 2.0 (EMSIS) (Münster, Germany) on
a TEM images Philips EM208 (Amsterdam, The Netherlands) at 100 kV using a 200-mesh copper
grid with carbon film. Dynamic Laser Light Scattering was performed on a Zetasizer nano-S
(Malvern Panalytical, Malvern, UK) instrument. Data analysis and regressions were carried out using
Sigma Plot 13 (Sysdat Software Inc., San Jose, CA, USA). 2.1. Chemicals Irinotecan hydrochloride was purchased by Bepharm ltd (Shangai, China). The other reagents and
solvents were from Sigma-Aldrich (Milano, Italy). Human plasma (pool) was collected at CRO-National
Cancer Institute of Aviano from 14 healthy volunteers—seven males and seven females in the 25–50 year 3 of 15 Nanomaterials 2020, 10, 1707 age range. All subjects gave their informed consent for inclusion before they participated in the
study. The study was conducted in accordance with the Declaration of Helsinki, and the protocol
was approved by the Ethics Committee of CRO–National Cancer Institute (Project identification
code 2009-25). 2.6. Transmission Electron Microscopy 0.2 mg of MIP F were suspended in 1 mL of distilled water, and the mixture was stirred for 30 min. The resulting solution was diluted 40 times with distilled water and stirred for further 10 min. A drop
was then placed on a grid coated with amorphous carbon and the solution was allowed to dry at room
temperature; TEM images of MIP F were recorded. 0.25 mg mL−1 DMSO solutions of each material were filtered on 0.45 µm filters and the DLS
measures were carried out in triplicate in a 1 mL quartz cuvette with light path of 1 cm. 0.25 mg mL−1 DMSO solutions of each material were filtered on 0.45 µm filters and the DLS
measures were carried out in triplicate in a 1 mL quartz cuvette with light path of 1 cm. Table 2. Characterisation of the imprinted materials. MIP
Monomer 5 % a
Co-Monomer% a
Cross-Linker % a
YieldMIP
(NIP)% b
Irinotecan
Rebinding c
nmol/mg
Specificity
IF d
Fluorimetry %
quenching e KSV f
105 L/mol
DLS Size(nm)
g PDI h
A
10
MAA
70
92
44
1.6
-
16.1 ± 1.0
20
(98)
0.062
B
10
MAA
60
93
49
1.0
-
40.9 ± 2.3
30
(80)
0.056
C
15
MAA
70
58
25
0.6
17
19.0 ± 6.1
(15)
(63)
0.101
0.136
D
15
NIPAM (15)
70
69
8
0.9
-
15.7 ± 1.4
(49)
0.089
E
15
AA
70
73
5
0.7
-
27.9 ± 2.6
15
(41)
0.093
F
30
-
70
77
19
2.5
38
13.1 ± 2.0
(42)
43.5 ± 1.8
0.153
a: mol% composition of the reacting mixtures leading to MIPs (% amount referred to the reactive monomers,
excluding the template); b: % yield calculated from the total mass of reagents and the mass of the resulting MIPs
(and NIPs); c: measured by HPLC after 20 min; d: ratio between the amount of irinotecan captured by the MIP and
that captured by its corresponding NIP; e: % amount of quenching of the emission of 60 µg/mL MIPs in 3:1 mixtures
of methanol and water (MIPs A-E) or acetonitrile and water (F) after the addition of 1 µM irinotecan; f: from
Stern–Volmer plots in the 10 nM–10 µM range of irinotecan added; g: size distribution by number; h: polydispersity
index as the ratio between the standard deviation of particles size and their average size. 2.7. Rebinding Tests 1.5 mg of each polymer were dissolved in 1.5 mL of a 100 µM 1a water solution. The mixtures
were stirred at room temperature, and 200 µL aliquots were analysed by HPLC after centrifugation
(10,000 rpm, 10 min) at different times (from 10 min to 24 h). The concentration of residual drug was
obtained from a calibration curve (reported in the Supplementary Figure S1), and the amount captured
by the polymer was calculated by difference. HPLC analyses were carried out at 25 ◦C with a 75:25
water:acetonitrile mobile phase (0.05% TFA), at a 1 mL/min flux and UV detection (363 nm). 2.4. Synthesis of the Polymers (General Procedure) The MIPs and their corresponding not imprinted polymers (NIPs) were prepared according to
ref. [19]. The template and the functional monomer were stirred in anhydrous DMSO in a vial under
an argon atmosphere, and then the cross-linker and AIBN were added. The vial was sealed and kept
at 70 ◦C for four days. Each polymer was synthesised both in presence of the template molecule,
and without it. The resulting clear solutions were dialysed (cut off3.5 kDa) against water for two days,
against a MeOH:AcOH (8:2) mixture for two days and against water for five additional days, changing
the solvent twice a day. The solutions were then freeze-dried to obtain fluffy solids. The amounts of reactants for the
synthesis of each polymer are reported in Table 1, while % compositions of the reacting mixtures,
yields and sizes are reported in Table 2. Table 1. Composition of the polymerisation mixtures. Polymer
Template [mg]
Functional
Monomer [mg]
AIBN [mg]
Co-Monomer
[mg]
Cross-Linker
[mg]
DMSO [mL]
MIP-A
41.0
10.0
17.0
MAA
6.1
46.2
6.61
NIP-A
-
MIP-B
41.0
15.0
17.0
MAA
12.2
59.5
7.88
NIP-B
-
MIP-C
41.0
15.0
17.0
MAA
4.3
46.0
5.92
NIP-C
-
MIP-D
41.0
15.0
17.0
NIPAM
5.7
46.2
6.06
NIP-D
-
MIP-E
41.0
15.0
17.0
AA
3.5
46.2
5.87
NIP-E
-
MIP-F
41.0
30.0
17.0
-
46.2
6.85
NIP-F
- Table 1. Composition of the polymerisation mixtures. 4 of 15 Nanomaterials 2020, 10, 1707 Table 2. Characterisation of the imprinted materials. 2.9. Fluorescence Titrations in Plasma Plasma samples were treated with three volumes of acetonitrile to precipitate proteins. The samples
were submitted to centrifugation three times (10 min, 13,000 rpm, 4 ◦C). 400 µL of 60 µg/mL MIP
F solution in a 3:1 acetonitrile:plasma mixture were then titrated with increasing concentrations of
irinotecan from 5 nM to 2 µM, using excitation and emission wavelengths of 448 and 525 nm (5 nm
slits) as described above. The titrations were carried out in triplicate, and the emission data were used
to obtain a calibration curve as described in the result section. 2.8. Fluorimetry The fluorescent MIPs/NIPs were dissolved in 3:1 acetonitrile:water mixtures at 60 µg/mL final
concentration by diluting their mother 0.25 mg mL−1 DMSO solutions. Increasing amounts of 1a,
from 20 nM to 25 µM, were then added from mother DMSO solutions. Fluorescence emission spectra
were recorded at 448 nm excitation. The spectra were recorded after 5 min from the addition of 1a. Titration data were obtained at excitation and emission wavelengths of 448 and 525 nm. All the
titrations were triplicated, and the emission was corrected for inner filter effects [20], using Equation (1): Fcorr = Fobs × 10( Aexc−Aem
2
)
(1) (1) where Fcorr is the corrected fluorescence emission, Fobs is the observed one, and Aexc and Aem are the vis
absorbance of 1a at the excitation and emission wavelengths at the same concentration used in the
titration point leading to Fobs. materials 2020, 10, 1707
5 of 1 Nanomaterials 2020, 10, 1707 5 of 15 Stern–Volmer analyses were carried out according to Equation (2): F0
F = 1 + KSV[1a]
where KSV = kqτ0
(2) (2) where F0 is the initial value of fluorescence emission, F is the emission after the addition of 1a, KSV is the
Stern–Volmer constant, kq is the quenching constant, and τ0 is the decay time of the MIPs fluorophore,
which was assumed equal to 8.3 ns as that of the naphtalimide derivatives reported in the literature [21]. 3.1. Selection of Functional Monomers Irinotecan is a fluorescent molecule (its fluorescence emission spectrum is compared with that of
naphtalimide derivative 5 in Supplementary Figure S2). Its fluorescence has been exploited for direct
quantification from various biological matrices, as reported by different research groups [2,9,22,23]. Poujol et al. developed one of the most sensitive HPLC-fluorescence methods for irinotecan
quantification in human plasma or saliva, with a LOD of 0.5 µg/L (about 0.7 nM) observed for
both matrices [24]. However, its fluorescence intensity (360 nm excitation and 420 nm emission)
can be altered by interferences with plasma components, and it cannot be directly used in a sensor
for the direct quantification in plasma without a preliminary sample preparation step, for example,
using liquid chromatography. According to our previous results on the development of imprinted
nanogels towards sunitinib [19], we have first attempted to use polymerisable derivatives of amino
acids as the potential fluorescent monomers also in this project, but their spectral properties were
not suitable. We have therefore evaluated a number of different fluorophores known to emit in
the region around 500 nm to avoid both plasma auto-fluorescence and the irinotecan fluorescence
emission. We focused on naphtalimide derivatives 2–6, able to emit around 520 nm when excited at
450 nm (Figure 1 and Figure S2) [25]. Such derivatives have been already employed as fluorescent
MIP monomers [26–28]; for example, monomer 5 was employed by Rouhani et al. to develop a MIP
sensor for caffeine, which showed a quenching of its fluorescence upon binding to the template with
a limit of detection of 6.3 µM [29]. These very fluorescent molecules have been also used as probes
for the detection of acidic drugs, biomolecules [30], and anions [31]. We have identified a small set of
naphtalimide monomers (2–6) and synthesised them by literature methods [32–35]. They all contain
the same N-allyl polymerisable group, and different chains substituted in the aniline ring, potentially
capable to interact with irinotecan in different ways. The study of the binding interactions of the
potential fluorophores with the target analyte was initially done by NMR [19]. The experiments
were carried out in DMSO, the same solvent used during the polymerisation, to ensure that a strong
interaction would remain in place. Proton NMR titrations of 4 mM irinotecan with increasing amounts
of the synthesised fluorescent functional monomers (from 2 mM to 40 mM) were performed (Figure 2). 3.1. Selection of Functional Monomers 6 of 15
e perfor Nanomaterials 2020, 10, 1707
mounts of the synthesis ure 2). a
b
Figure 2. (a) Variation of chemical shifts of irinotecan protons after adding 10 equivalents o
2 (yellow), 3 (cyan), 4 (blue), 5 (red), and 6 (green); (b) variation of chemical shift of selected
protons upon titration with monomer 5. In general, following the addition of the monomers, most of irinotecan’s protons
er fields, suggesting a shielding due to the close presence of the monom
d
d
d d
f
l
h
h
d
h
h
Figure 2. (a) Variation of chemical shifts of irinotecan protons after adding 10 equivalents of mon
2 (yellow), 3 (cyan), 4 (blue), 5 (red), and 6 (green); (b) variation of chemical shift of selected irino
protons upon titration with monomer 5. In general, following the addition of the monomers, most of irinotecan’s protons were
gher fields, suggesting a shielding due to the close presence of the monomer (Figure 2a). Com
nd 3 did not interact significantly with the drug (with the exception of the piperidinium a
b
gure 2. (a) Variation of chemical shifts of irinotecan protons after adding 10 equivalents of mon
Figure 2. (a) Variation of chemical shifts of irinotecan protons after adding 10 equivalents of monomer b gure 2. (a) Variation of chemical shifts of irinotecan protons after adding 10 equivalents of mono
yellow), 3 (cyan), 4 (blue), 5 (red), and 6 (green); (b) variation of chemical shift of selected irinote
otons upon titration with monomer 5. Figure 2. (a) Variation of chemical shifts of irinotecan protons after adding 10 equivalents of monomer
2 (yellow), 3 (cyan), 4 (blue), 5 (red), and 6 (green); (b) variation of chemical shift of selected irinotecan
protons upon titration with monomer 5. In general, following the addition of the monomers, most of irinotecan’s protons were shifte
gher fields, suggesting a shielding due to the close presence of the monomer (Figure
ompounds 2 and 3 did not interact significantly with the drug (with the exception of
In general, following the addition of the monomers, most of irinotecan’s protons were shifted to
higher fields, suggesting a shielding due to the close presence of the monomer (Figure 2a). 3.2. Synthesis and Characterisation of the Polymers A small library of MIPs was synthesised using a combination of functional monomer 5 and
the co-monomers methacrylic acid (MAA), acrylamide (AA), and N-isopropylacrylamide (NIPAM)
while EGDMA was used as cross-linker, and the template used was in all cases of irinotecan. MAA
was considered as the first option as irinotecan contains a tertiary amino group, and proton transfer
was expected to lead to a strong ionic interaction. AA and NIPAM are both hydrogen donors and
acceptors and could favourably interact with irinotecan in both ways. Moreover, the isopropyl group
of NIPAM could be involved in hydrophobic interactions with aromatic systems of the target. Finally,
the cross-linker EGMA is a hydrogen bond acceptor and could also interact with the hydroxyl groups
present on irinotecan. For each preparation, a set of MIPs and NIPs were obtained. The characterisation
of each polymer was based on three criteria: rebinding capacity towards irinotecan, specificity as
measured by the imprinting factor, and finally ability to give a significant fluorescence change upon
rebinding of the target. Nanogels were obtained via high dilution radical polymerisation, using a
non-covalent approach for imprinting [36]. This methodology, developed by N. Graham, allows to
obtain polymers with very low polydispersity, as previously demonstrated by our group [37] and
others [38]. The choice of DMSO as the solvent allows good solubility of all the reacting monomers
and cross-linker while allowing electrostatic interactions to take place during the imprinting stage. The critical monomer concentration was assumed at 1% (in weight), while the porogen solvent
constituted the 99% (in weight). We have verified that irinotecan is stable under the conditions required
by this kind of synthesis. The relevant data for all the MIPs are reported in Table 2. All polymer
preparations were analysed by DLS and the size reported in Table 2 is the one obtained by number. With nanoparticles so small, often the data presented by intensity are negatively affected by even
small contaminants and size by number is preferable [39,40]. DLS distributions for MIP and NIP F are
reported in the Supplementary Materials. A first set of MIPs was prepared using monomer 5 and MAA as co-monomer (MIPs A-C). MIPs A
and B were obtained in high yields, together with their corresponding NIPs. The polymers showed
high rebinding of irinotecan in water, capturing almost all the drug available already after 10 min
(Figure 3). 3.1. Selection of Functional Monomers Compounds 2
and 3 did not interact significantly with the drug (with the exception of the piperidinium proton), 7 of 15 Nanomaterials 2020, 10, 1707 while derivatives 4, 5, and 6 showed the largest proton shifts. In particular, compounds 4 and 5 showed
a similar behaviour affecting mainly the protons of the first piperdidine ring (protons at C-20, C-22,
C-19, C-23). (Figure 2) On increasing the amount of 4 and 5, a plateau is obtained after the addition of
one equivalent of functional monomer (Figure 2b). In reverse titrations carried out with monomers
4 and 5 at constant concentration and at increasing concentrations of irinotecan, large shifts of the
aminoalkyl chains of the two monomers are observed (Supplementary Figure S3). The main interaction
is therefore occurring between the amino groups of the partners, either by hydrogen bonding or
proton exchange. Further π–π stacking interactions also occurred between the aromatic structure of
napthalimide and the quinoline moiety of the anticancer agent, as suggested by changes in the shifts
of the aromatic protons. A clear trend towards saturation of the change of chemical shift was not
observed with the other monomers. The final decision was in favour of compound 5 rather than 4;
the conformational freedom of the two compounds, which is minor in the shorter chain of 5, was also
taken into account. Monomer 5 was thus used in all the preparations. 3.2. Synthesis and Characterisation of the Polymers However, the corresponding NIPs were also able to capture significant amounts of irinotecan,
and evidence of imprinting was observed only in MIP A, which gave a 1.6 imprinting factor. If the
amount of MAA is reduced as in MIP C, both chemical yield and rebinding are reduced. MIPs A and B
were unable to show any change in fluorescence emission upon titration with irinotecan, while some
quenching was obtained by decreasing the amount of MAA as in C. The amount of quenching was
rather small compared to the initial emission, but nevertheless, the Stern–Volmer and quenching
constants, measured at 450 nm emission and 520 nm excitation after inner filter effects correction,
were consistent with a static phenomenon. 8 of 15
e result
ecomes 8 of 15
e result
ecomes Nanomaterials 2020, 10, 1707
apparent effect due t
f
l
k f
i
i more evident as the monomers are here less reactive than MAA. Figure 3. (a) Decay of irinotecan concentration in 100 μM solutions in the presence the MIPs; (b) decay
of irinotecan concentration in 100 μM solutions in the presence of the NIPs. Figure 3. (a) Decay of irinotecan concentration in 100 µM solutions in the presence the MIPs; (b) decay
of irinotecan concentration in 100 µM solutions in the presence of the NIPs. ve than MAA. Figure 3. (a) Decay of irinotecan concentration in 100 μM solutions in the presence the MIPs; (b) decay
of irinotecan concentration in 100 μM solutions in the presence of the NIPs. Figure 3. (a) Decay of irinotecan concentration in 100 µM solutions in the presence the MIPs; (b) decay
of irinotecan concentration in 100 µM solutions in the presence of the NIPs. MIP F was also investigated by transmission electron microscopy using a carbon-coated grid. The relative images are reported in Figure 4 and gave an average particle size of 6.2 ± 3.4 nm. This
result was consistent with the one obtained by DLS, as in TEM measures, the solvation sphere is
obviously not present. The particles dimensions observed at TEM were comparable to the ones
reported in the literature for similar MIPs. The higher polydispersity observed in TEM in comparison
to DLS is most likely due to the formation of small aggregate fractions on drying the solvent on the
TEM grid. 3.2. Synthesis and Characterisation of the Polymers As the unsatisfactory optical performance was likely due to preferential rebinding by MAA
rather than by the fluorescent monomer, a second set of fluorescent imprinted polymers for irinotecan
(MIPs D–E) was then prepared as follows: 15% (mol) of monomer 5, and 15% (mol) of different
commercially available co-monomers, as N-isopropyl acrylamide (NIPAM) and acrylamide (AA). Such materials were obtained in lower yield, and comparison of rebinding data confirms that MAA
in MIP A-C was indeed responsible for most of the rebinding. Rebinding by MIPs D-E was by far
lower, and unfortunately, the use of acrylamide or NIPAM improved neither MIPs’ specificity nor
their fluorescence quenching. Our expectations about the co-monomers were thus frustrated by the
experimental evidence: MAA is even too much able to interact with irinotecan and obscures any
interaction with the fluorescent monomer, while AA and NIPAM were not helpful at all. MIP F was therefore finally prepared, using 30% of 5, without any co-monomer, and 70% of
EGDMA as cross-linker. This material was obtained with a better yield compared to MIPs D-E, and its
rebinding capacity was significantly higher (Figure 3). Moreover, the imprinting factor was enhanced
to a more promising value of 2.5. In the synthesis of NIPs D, E, and F, the yield was clearly less
favourable than that of the corresponding MIP. We have verified by UV-VIS that this is not an apparent
effect due to residual captured irinotecan inside the MIPS. The effect is probably the result of a lack of a
proximity catalytic effect by the template, which is not present in the NIPs, and becomes more evident
as the monomers are here less reactive than MAA. MIP F was also investigated by transmission electron microscopy using a carbon-coated grid. The relative images are reported in Figure 4 and gave an average particle size of 6.2 ± 3.4 nm. This result
was consistent with the one obtained by DLS, as in TEM measures, the solvation sphere is obviously
not present. The particles dimensions observed at TEM were comparable to the ones reported in the
literature for similar MIPs. The higher polydispersity observed in TEM in comparison to DLS is most
likely due to the formation of small aggregate fractions on drying the solvent on the TEM grid. 9 of 15
f 15 Nanomaterials 2020, 10, 1707
nomaterials 2019 9 x FOR PEER (a)
(b)
Figure 4. 3.2. Synthesis and Characterisation of the Polymers TEM images of MIP F; bar 20 nm. (a,b): two regions of the sample
imetry and Evaluation in Human Plasma
fluorescence studies were performed directly with MIP F in a solution of acetonitrile:wat
as this medium was the same as the treated plasma samples. Optimisation of t
nce emission was carried out by varying the concentration of polymer used A concentrati
Figure 4. TEM images of MIP F; bar 20 nm. (a,b): two regions of the sample. Fluorimetry and Evaluation in Human Plasma
The fluorescence studies were performed directly with MIP F in a solution of acetonitrile
/v), as this medium was the same as the treated plasma samples. Optimisation of the fluore
sion was carried out by varying the concentration of polymer used. A concentration of 60
d
fid
h b
h
ffi
l
h
h
l h
ld ll
l (a) (a) (a) (b)
Figure 4 TEM images of MIP F; bar 20 nm (a b): two regions of the sample (b) gure 4. TEM images of MIP F; bar 20 nm. (a,b): two regions of the sample
Figure 4. TEM images of MIP F; bar 20 nm. (a,b): two regions of the sample. Fluorimetry and Evaluation in Human Plasma
3.3. Fluorimetry and Evaluation in Human Plasma Fluo i et y a d E aluatio
i
Hu a Pla
a
3.3. Fluorimetry and Evaluation in Human Plasma Fluo i et y a d E aluatio
i
Hu a Pla
a
3.3. Fluorimetry and Evaluation in Human Plasma . Fluorimetry and Evaluation in Human Plasma
The fluorescence studies were performed directly with MIP F in a solution of acetonitrile:water
1 v/v), as this medium was the same as the treated plasma samples. Optimisation of the
orescence emission was carried out by varying the concentration of polymer used. A concentration
60 μg/mL MIP was identified as the best one, showing a sufficiently high signal that would allow
lean and reproducible change of emission. The fluorescence emission spectra were recorded after
The fluorescence studies were performed directly with MIP F in a solution of acetonitrile:water
(3:1 v/v), as this medium was the same as the treated plasma samples. Optimisation of the fluorescence
emission was carried out by varying the concentration of polymer used. A concentration of 60 µg/mL
MIP was identified as the best one, showing a sufficiently high signal that would allow a clean and
reproducible change of emission. The fluorescence emission spectra were recorded after five minutes 10 of 15 Nanomaterials 2020, 10, 1707 following the addition of 1a (Figure 5a), as this was sufficient to stabilise the signal after the addition. The decay of the maximum wavelength emission is reported in Figure 5b. Nanomaterials 2019, 9, x FOR PEER REVIEW
10 of 15 Figure 5. (a) Emission spectra of 60 μg/mL MIP F at increasing concentrations of irinotecan in 3:1
acetonitrile:water (excitation 448 nm); (b) fluorescence decrease at 525 nm of 60 μg/mL MIP F at
increasing concentration of irinotecan in 3:1 acetonitrile:water. Figure 5. (a) Emission spectra of 60 µg/mL MIP F at increasing concentrations of irinotecan in 3:1
acetonitrile:water (excitation 448 nm); (b) fluorescence decrease at 525 nm of 60 µg/mL MIP F at
increasing concentration of irinotecan in 3:1 acetonitrile:water. Figure 5. (a) Emission spectra of 60 μg/mL MIP F at increasing concentrations of irinotecan in 3:1
acetonitrile:water (excitation 448 nm); (b) fluorescence decrease at 525 nm of 60 μg/mL MIP F at
increasing concentration of irinotecan in 3:1 acetonitrile:water. Figure 5. (a) Emission spectra of 60 µg/mL MIP F at increasing concentrations of irinotecan in 3:1
acetonitrile:water (excitation 448 nm); (b) fluorescence decrease at 525 nm of 60 µg/mL MIP F at
increasing concentration of irinotecan in 3:1 acetonitrile:water. Fluo i et y a d E aluatio
i
Hu a Pla
a
3.3. Fluorimetry and Evaluation in Human Plasma The emission data are reported in Figure 5 as the fluorescence read from the instruments; this
allows to see clearly that quenching is not complete, and involves about 38% of the initial emission,
reaching a plateau at 1 μM irinotecan. Although not complete, the decrease of emission is large
enough to allow its evaluation, and a Stern–Volmer analysis was carried out first (Supplementary
Figure S4). The trend is linear in the 5–100 nM range and gave a Stern–Volmer constant of 4.35 × 106
L mol−1; assuming a decay time of the fluorophore of 8.3 ns [21], a quenching constant of 5.24 × 1014 L
mol−1 s−1 was obtained, fully consistent with static quenching. We have carried out some attempt to
improve the amount of quenching, and actually, at concentrations of irinotecan exceeding 3 μM, and
up to 25 μM, a further 15% amount of quenching can be obtained (Supplementary Figure S5). This
change could be either due to a significant dynamic quenching at high irinotecan concentrations or
to the existence of a further population of low affinity-low specificity binding sites in the MIP. Nevertheless, we have not considered presently this second decrease of emission as useful in the
evaluation of the dynamic range of the MIP due to the occurrence of the plateau at 1 μM. This limit
could not be overcome by changing the experimental conditions, and the residual emission of the
MIP is most likely due to a fraction of fluorogenic monomers that is buried inside the polymeric
nanoparticles and cannot interact with irinotecan. Attempts to increase the polymer concentration up
to 120 μg/mL resulted in aggregation and precipitation of the sample. The emission data are reported in Figure 5 as the fluorescence read from the instruments; this allows
to see clearly that quenching is not complete, and involves about 38% of the initial emission, reaching a
plateau at 1 µM irinotecan. Although not complete, the decrease of emission is large enough to allow
its evaluation, and a Stern–Volmer analysis was carried out first (Supplementary Figure S4). The trend
is linear in the 5–100 nM range and gave a Stern–Volmer constant of 4.35 × 106 L mol−1; assuming
a decay time of the fluorophore of 8.3 ns [21], a quenching constant of 5.24 × 1014 L mol−1 s−1 was
obtained, fully consistent with static quenching. Fluo i et y a d E aluatio
i
Hu a Pla
a
3.3. Fluorimetry and Evaluation in Human Plasma We have carried out some attempt to improve the
amount of quenching, and actually, at concentrations of irinotecan exceeding 3 µM, and up to 25 µM,
a further 15% amount of quenching can be obtained (Supplementary Figure S5). This change could be
either due to a significant dynamic quenching at high irinotecan concentrations or to the existence of a
further population of low affinity-low specificity binding sites in the MIP. Nevertheless, we have not
considered presently this second decrease of emission as useful in the evaluation of the dynamic range
of the MIP due to the occurrence of the plateau at 1 µM. This limit could not be overcome by changing
the experimental conditions, and the residual emission of the MIP is most likely due to a fraction
of fluorogenic monomers that is buried inside the polymeric nanoparticles and cannot interact with
irinotecan. Attempts to increase the polymer concentration up to 120 µg/mL resulted in aggregation
and precipitation of the sample. μg
gg
g
p
p
p
As MIP F showed suitable characteristics as potential recognition element for a sensing device,
in the low concentration range, we decided to further explore its properties with human plasma. Given that, in our clinical practice, plasma samples are currently treated with acetonitrile to denature
proteins prior to LC-MS analysis, we decided to use the same mixture of acetonitrile and plasma [6]. On switching from 3:1 acetonitrile:water mixtures to 3:1 acetonitrile:plasma, no significant loss of
sensitivity was observed, and the titration curves of fluorescence decay were almost superimposable
to those obtained in the first measures in water. The plot is reported in Figure 6, where emission is
given in a relative way, to allow evaluation of the curve as a potential calibration curve for the
detection of irinotecan. Normalisation has been carried out by taking the maximum change in
emission as the difference between the initial emission and the emission read at 1μM irinotecan. The
normalised curve is presented here, as in principle, it can be replicated on moving to other
As MIP F showed suitable characteristics as potential recognition element for a sensing device,
in the low concentration range, we decided to further explore its properties with human plasma. Given that, in our clinical practice, plasma samples are currently treated with acetonitrile to denature
proteins prior to LC-MS analysis, we decided to use the same mixture of acetonitrile and plasma [6]. Fluo i et y a d E aluatio
i
Hu a Pla
a
3.3. Fluorimetry and Evaluation in Human Plasma On switching from 3:1 acetonitrile:water mixtures to 3:1 acetonitrile:plasma, no significant loss of
sensitivity was observed, and the titration curves of fluorescence decay were almost superimposable to
those obtained in the first measures in water. The plot is reported in Figure 6, where emission is given
in a relative way, to allow evaluation of the curve as a potential calibration curve for the detection
of irinotecan. Normalisation has been carried out by taking the maximum change in emission as the
difference between the initial emission and the emission read at 1 µM irinotecan. The normalised curve
is presented here, as in principle, it can be replicated on moving to other instruments. 11 of 15
11 of 15 Nanomaterials 2020, 10, 1707
, , Figure 6. Fluorescence decrease of 60 μg/mL MIP F at increasing concentration of irinotecan in 3:1
acetonitrile:human plasma. The decrease is reported as the fraction of the maximum one. Figure 6. Fluorescence decrease of 60 µg/mL MIP F at increasing concentration of irinotecan in 3:1
acetonitrile:human plasma. The decrease is reported as the fraction of the maximum one. Figure 6. Fluorescence decrease of 60 μg/mL MIP F at increasing concentration of irinotecan in 3:1
acetonitrile:human plasma. The decrease is reported as the fraction of the maximum one. Figure 6. Fluorescence decrease of 60 µg/mL MIP F at increasing concentration of irinotecan in 3:1
acetonitrile:human plasma. The decrease is reported as the fraction of the maximum one. In this experiment, a high sensitivity for irinotecan was observed, with a LOD of 12 nM,
evaluated with the 3σ method. The LOD in water was found to be 16 nM, closely similar to that in
plasma. The intra-assay precision in plasma:acetonitrile on a triplicated titration was 10.2% in the
whole dynamic range. The MIP sensor gives a very stable and reproducible response during time,
and the experiments were carried out over one month. The sensitivity was unchanged along this time
time, with an average LOD of 10 nM. The inter-assay precision of the whole curve was found to be
13 2%
In this experiment, a high sensitivity for irinotecan was observed, with a LOD of 12 nM,
evaluated with the 3σ method. The LOD in water was found to be 16 nM, closely similar to that in
plasma. The intra-assay precision in plasma:acetonitrile on a triplicated titration was 10.2% in the
whole dynamic range. Fluo i et y a d E aluatio
i
Hu a Pla
a
3.3. Fluorimetry and Evaluation in Human Plasma The MIP sensor gives a very stable and reproducible response during time,
and the experiments were carried out over one month. The sensitivity was unchanged along this
time time, with an average LOD of 10 nM. The inter-assay precision of the whole curve was found to
be 13.2%. 13.2%. The dynamic range investigated covers the low concentration side of the therapeutic range of
irinotecan, which was found from 17 nM to 17 μM in our collection of clinical samples. In order to
evaluate the potential of a detection system exploiting MIP F for irinotecan quantification in human
plasma, we have obtained a calibration curve from a fit of the fluorescence to a tetraparametric
logistic curve (Equation 3)
The dynamic range investigated covers the low concentration side of the therapeutic range of
irinotecan, which was found from 17 nM to 17 µM in our collection of clinical samples. In order to
evaluate the potential of a detection system exploiting MIP F for irinotecan quantification in human
plasma, we have obtained a calibration curve from a fit of the fluorescence to a tetraparametric logistic
curve (Equation (3)). 1 െ
∆𝐹
∆𝐹
= 𝑑+
𝑎െ𝑑
ሺሾଵሿ
ሻ
(3)
1 −
∆F
∆Fmax
= d +
a −d
1 + 10([1a]logcb)
(3) (3)
(3) ∆𝐹௫
1 + 10ሺሾଵሿሻ
( )
The fit gave r > 0.9985 and r2 > 0.9970, with standard error on estimates 0.0247 an p < 0.0001 on
the best-fitted parameters a–d. Using Equation (3) and its parameters, a very satisfactory outcome is
obtained when the concentration of irinotecan is calculated in a series of samples obtained by
dissolving irinotecan in the same pool of human plasma used to build the calibration curve, and the
The fit gave r > 0.9985 and r2 > 0.9970, with standard error on estimates 0.0247 an p < 0.0001 on
the best-fitted parameters a–d. Using Equation (3) and its parameters, a very satisfactory outcome is
obtained when the concentration of irinotecan is calculated in a series of samples obtained by dissolving
irinotecan in the same pool of human plasma used to build the calibration curve, and the correlation
between real and calculated values is reported in Figure 7. correlation between real and calculated values is reported in Figure 7. The data are linearly correlated with r2 = 0.9955, a slope of 1.0001 and an intercept of 2.35 nM. The data a
4. Conclusions The average accuracy of the calculated data is −0.6%. Although less challenging than a measure of
recovery from authentic patient samples of known concentration before and after spiking (such
samples are presently not available to us), this test shows nevertheless that the fluorescence data are
very stable. As to the selectivity of the system, a first indication is given by the fact that, on moving from
solvent to human plasma, no changes in the performance are observed. The titration curve in plasma
is almost superimposable to that obtained in solvent, and this means that no interfering compounds
are present in plasma. As to other drugs that are usually co-administered with irinotecan, the only
one in our experience is paracetamol, which does not affect the emission of the imprinted
nanoparticles when preliminarily tested at 1 μM. 4. Conclusion
In conclusion, we have prepared a set of MIPs that can rebind irinotecan with good sensitivity. The imprinted fluorescent nanomaterial can be prepared and purified in cheap way and in less than
one week. The fluorescence change of the napthalimide-containing MIP upon rebinding of the analyte
has allowed the detection of irinotecan in human plasma, at nanomolar levels, after simple treatment of
plasma with acetonitrile and removal of the proteins. The proof of concept given is encouraging towards
the development of a portable device with sensors based on fluorescent imprinted nanoparticles for
the detection of irinotecan. The present format of the system is clearly not technologically developed
up to the level required for a self-analysis carried out by the patient, and several steps are still required. The main one is the immobilisation of the sensing material on a solid support, coupled with a portable,
small, fluorimeter and a flow system to prepare the sample. We are currently working on these points;
however, we have shown here that an imprinted nanomaterial able to change its optical properties on
recognising irinotecan can be conveniently obtained in a simple way. In conclusion, we have prepared a set of MIPs that can rebind irinotecan with good sensitivity. The imprinted fluorescent nanomaterial can be prepared and purified in cheap way and in less than
one week. The fluorescence change of the napthalimide-containing MIP upon rebinding of the
analyte has allowed the detection of irinotecan in human plasma, at nanomolar levels, after simple
treatment of plasma with acetonitrile and removal of the proteins. g
y
p
p
q
y
y
p
,
and several steps are still required. The main one is the immobilisation of the sensing material on a
solid support, coupled with a portable, small, fluorimeter and a flow system to prepare the sample.
We are currently working on these points; however, we have shown here that an imprinted
nanomaterial able to change its optical properties on recognising irinotecan can be conveniently
Author Contributions: Conceptualisation, M.T., E.P., M.R., and F.B.; methodology, M.T., E.P., M.R., V.I., P.P., C.F.,
P.B., M.R., and F.B.; validation, all; formal analysis, M.T., E.P., G.T., M.R., and F.B.; investigation, M.T., E.P., E.M.,
V.I., P.P., and P.B.; resources: F.B., M.R., and G.T.; data curation, M.T., F.B., M.R., E.M., and C.F.; writing—original
draft preparation, M.T., M.R., and F.B.; writing—review and editing, all; supervision, E.M., G.T., M.R., and F.B.;
funding acquisition, G.T. All authors have read and agreed to the published version of the manuscript. Fluo i et y a d E aluatio
i
Hu a Pla
a
3.3. Fluorimetry and Evaluation in Human Plasma The average accuracy of the calculated data is −0.6%. Although less challenging than a measure of
recovery from authentic patient samples of known concentration before and after spiking (such samples
are presently not available to us), this test shows nevertheless that the fluorescence data are very stable. As to the selectivity of the system, a first indication is given by the fact that, on moving from
solvent to human plasma, no changes in the performance are observed. The titration curve in plasma
is almost superimposable to that obtained in solvent, and this means that no interfering compounds
are present in plasma. As to other drugs that are usually co-administered with irinotecan, the only one
in our experience is paracetamol, which does not affect the emission of the imprinted nanoparticles
when preliminarily tested at 1 µM. 12 of 15
12 of 15 Nanomaterials 2020, 10, 1707
Nanomaterials 2019, 9, x FOR Figure 7. Correlation between the concentration of irinotecan in plasma samples and the calculated
values from Equation (3). Figure 7. Correlation between the concentration of irinotecan in plasma samples and the calculated
values from Equation (3). Figure 7. Correlation between the concentration of irinotecan in plasma samples and the calculated
values from Equation (3). Figure 7. Correlation between the concentration of irinotecan in plasma samples and the calculated
values from Equation (3). References 1. Fukuoka, M. Current status of irinotecan in lung cancer. Oncology 2001, 15, 6–7. [PubMed] 2. Rodríguez Cáceres, M.I.; Durán-Merás, I.; Ornelas Soto, N.E.; López de Alba, P.L.; López Martínez, L. Spectrofluorimetric determination of irinotecan in the presence of oxidant and metal ions. Talanta 2008, 74,
1484–1491. [CrossRef] [PubMed] 2. Rodríguez Cáceres, M.I.; Durán-Merás, I.; Ornelas Soto, N.E.; López de Alba, P.L.; López Martínez, L. Spectrofluorimetric determination of irinotecan in the presence of oxidant and metal ions. Talanta 2008, 74,
1484–1491. [CrossRef] [PubMed] 3. Karadas, N.; Sanli, S.; Akmese, B.; Dogan-Topal, B.; Can, A.; Ozkan, S.A. Analytical application of
polymethylene blue-multiwalled carbon nanotubes modified glassy carbon electrode on anticancer drug
irinotecan and determination of its ionization constant value. Talanta 2013, 115, 911–919. [CrossRef] [PubMed] 3. Karadas, N.; Sanli, S.; Akmese, B.; Dogan-Topal, B.; Can, A.; Ozkan, S.A. Analytical application of
polymethylene blue-multiwalled carbon nanotubes modified glassy carbon electrode on anticancer drug
irinotecan and determination of its ionization constant value. Talanta 2013, 115, 911–919. [CrossRef] [PubMed]
4. Weekes, J.; Lam, A.K.Y.; Sebesan, S.; Ho, Y.H. Irinotecan therapy and molecular targets in colorectal cancer:
A systemic review World J Gastroenterol 2009 15 3597–3602 [CrossRef] 3. Karadas, N.; Sanli, S.; Akmese, B.; Dogan-Topal, B.; Can, A.; Ozkan, S.A. Analytical application of
polymethylene blue-multiwalled carbon nanotubes modified glassy carbon electrode on anticancer drug
irinotecan and determination of its ionization constant value. Talanta 2013, 115, 911–919. [CrossRef] [PubMed] 4. Weekes, J.; Lam, A.K.Y.; Sebesan, S.; Ho, Y.H. Irinotecan therapy and molecular targets in colorectal cancer:
A systemic review. World J. Gastroenterol. 2009, 15, 3597–3602. [CrossRef] 4. Weekes, J.; Lam, A.K.Y.; Sebesan, S.; Ho, Y.H. Irinotecan therapy and molecular targets in colorectal cancer:
A systemic review. World J. Gastroenterol. 2009, 15, 3597–3602. [CrossRef] . Chabot, G.G. Clinical pharmacokinetics of irinotecan. Clin. Pharmacokinet. 1997, 33, 245–259. [CrossRef 6. Marangon, E.; Posocco, B.; Mazzega, E.; Toffoli, G. Development and validation of a High-Performance Liquid
Chromatography–Tandem Mass Spectrometry method for the simultaneous determination of irinotecan and
its main metabolites in human plasma and its application in a clinical pharmacokinetic study. PLoS ONE
2015, 10, e0118194. [CrossRef] 7. Alnaim, L. Therapeutic Drug Monitoring of cancer chemotherapy. J. Oncol. Pharm. Pract. 2007, 13, 207–221. [CrossRef] 8. Pearce, C.M.; Resmini, M. Towards point of care systems for the therapeutic drug monitoring of imatinib. Anal. Bioanal. Chem. 2020, 412, 5925–5933. [CrossRef] 9. The data a
4. Conclusions 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. The data a
4. Conclusions The proof of concept given is
encouraging towards the development of a portable device with sensors based on fluorescent
imprinted nanoparticles for the detection of irinotecan. The present format of the system is clearly
ot te h olo i ally de elo ed u
to the le el e ui ed fo a elf a aly i
a ied out by the
atie t
Supplementary Materials: The following are available online at http://www.mdpi.com/2079-4991/10/9/1707/s1,
Figure S1: HPLC calibration curve for irinotecan, used to measure residual irinotecan concentrations in rebinding
tests. Slope 38.9204, intc. 68.5995, r2 0.9984, Figure S2: Fluorescence emission spectra of 250 nM irinotecan and
of 1 M naphtlimide 5, Figure S3: Change of chemical shifts of protons 13 (compound 5) and 16 (compound 6)
upon titration with irinotecan, Figure S4: Stern–Volmer plot for the fluorescence titration of MIP F with irinotecan,
Figure S5: Quenching of the fluorescence emission of MIP F in the high irinotecan concentration range (3–25 M),
Figure S6: Size distribution by number of MIP F, Figure S7: Size distribution by volume of MIP F, Figure S8: Size
distribution by intensity of MIP F, Figure S9: Size distribution by number of NIP F, Figure S10: Size distribution by
volume of NIP F, Figure S11: Size distribution by intensity of NIP F. g
y
p
p
q
y
y
p
,
and several steps are still required. The main one is the immobilisation of the sensing material on a
solid support, coupled with a portable, small, fluorimeter and a flow system to prepare the sample. We are currently working on these points; however, we have shown here that an imprinted
nanomaterial able to change its optical properties on recognising irinotecan can be conveniently
Author Contributions: Conceptualisation, M.T., E.P., M.R., and F.B.; methodology, M.T., E.P., M.R., V.I., P.P., C.F.,
P.B., M.R., and F.B.; validation, all; formal analysis, M.T., E.P., G.T., M.R., and F.B.; investigation, M.T., E.P., E.M.,
V.I., P.P., and P.B.; resources: F.B., M.R., and G.T.; data curation, M.T., F.B., M.R., E.M., and C.F.; writing—original
draft preparation, M.T., M.R., and F.B.; writing—review and editing, all; supervision, E.M., G.T., M.R., and F.B.;
funding acquisition, G.T. All authors have read and agreed to the published version of the manuscript. 13 of 15 Nanomaterials 2020, 10, 1707 Funding: This research was funded by the AIRC5x1000 grant 12214 “Application of Advanced Nanotechnology
in the Development of Innovative Cancer Diagnostics Tools”. References Hahn, R.Z.; Arnhold, P.C.; Andriguetti, N.B.; Schneider, A.; Klück, H.M.; dos Reis, S.L.; Bastiani, M.F.; Kael, I.;
Cezimbra da Silva, A.C.; Schwartsmann, G.; et al. Determination of irinotecan and its metabolite SN-38 in
dried bloodspots using high-performance liquid-chromatography with fluorescence detection. J. Pharm. Biomed. Anal. 2018, 150, 51–58. [CrossRef] 10. Ragot, S.; Marquet, P.; Lachatre, F.; Rousseau, A.; Lacassie, E.; Gaulier, J.M.; Dupuy, J.L.; Lachatre, G. Sensitive determination of irinotecan (CPT-11) and its active metabolite SN-38 in human serum using liquid
chromatography-electrospray mass spectrometry. J. Chromatogr. B 1999, 736, 175–184. [CrossRef] 11. Calandra, E.; Crotti, S.; Nitti, D.; Roverso, M.; Toffoli, G.; Marangon, E.; Posocco, B.; Traldi, P.; Agostini, M. The development of a matrix-assisted laser desorption/ionization (MALDI)-based analytical method for
determination of irinotecan levels in human plasma: Preliminary results. J. Mass Spectr. 2015, 50, 959–962. [CrossRef] [PubMed] 12. Vlatakis, G.; Andersson, L.I.; Müller, R.; Mosbach, K. Drug Assay using antibody mimics made by molecular
imprinting. Nature 1993, 361, 645–647. [CrossRef] [PubMed] 13. Roy, B.; Vo Duy, S.; Puy, J.I.; Martin, C.; Guitton, J.; Dumontet, C.; Périgaud, C.; Lefebvre-Tournier, I. Synthesis
and evaluation of a molecularly imprinted polymer for selective solid-phase extraction of irinotecan from
human serum samples. J. Funct. Biomater. 2012, 3, 131–142. [CrossRef] [PubMed] 14. Xue, J.Q.; Li, D.W.; Qu, L.L.; Long, Y.T. Surface-imprinted core-shell Au nanoparticles for selective detection
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Interactions Increase Forager Availability and Activity in Harvester Ants
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RESEARCH ARTICLE Data Availability Statement: All relevant data are
within the paper and its Supporting Information files. Data Availability Statement: All relevant data are
within the paper and its Supporting Information files. Funding: Field work for EP in 2012 was funded by a
Stanford UAR Student Small Grant, and field work for
JQ in 2013 was funded by a Stanford UAR Student
Major Grant (https://undergrad.stanford.edu/
opportunities/research/get-funded/apply-student-
grants/grant-types). Other expenses were funded by
the grant DMG received from the National Institutes
of Health (grant number R01GM105024, http://www. nih.gov/). The funders had no role in study design,
data collection and analysis, decision to publish, or
preparation of the manuscript. OPEN ACCESS Citation: Pless E, Queirolo J, Pinter-Wollman N,
Crow S, Allen K, Mathur MB, et al. (2015) Interactions
Increase Forager Availability and Activity in Harvester
Ants. PLoS ONE 10(11): e0141971. doi:10.1371/
journal.pone.0141971 Evlyn Pless1☯¤a*, Jovel Queirolo1☯¤b, Noa Pinter-Wollman2, Sam Crow3, Kelsey Allen4,
Maya B. Mathur5, Deborah M. Gordon1 1 Department of Biology, Stanford University, Stanford, California, United States of America, 2 BioCircuits
Institute, University of California, San Diego, La Jolla, California, United States of America, 3 Department of
Computer Science and Engineering, University of Washington, Seattle, Washington, United States of
America, 4 Department of Brain and Cognitive Sciences, Massachusetts Institute of Technology,
Cambridge, Massachusetts, United States of America, 5 Quantitative Sciences Unit, Stanford University,
Stanford, California, United States of America a1111 ☯These authors contributed equally to this work. ¤a Current address: Department of Ecology and Evolution, Yale University, New Haven, Connecticut, United
States of America
¤b Current address: Stanford Teacher Education Program, Stanford University, Stanford, California, United
States of America
* evlyn.pless@yale.edu ☯These authors contributed equally to this work. ¤a Current address: Department of Ecology and Evolution, Yale University, New Haven, Connecticut, United
States of America
¤b Current address: Stanford Teacher Education Program, Stanford University, Stanford, California, United
States of America
* evlyn.pless@yale.edu ☯These authors contributed equally to this work. ¤a Current address: Department of Ecology and Evolution, Yale University, New Haven, Connecticut, United
States of America
¤b Current address: Stanford Teacher Education Program, Stanford University, Stanford, California, United
States of America
* evlyn.pless@yale.edu ¤a Current address: Department of Ecology and Evolution, Yale University, New Haven, Connecticut, United
States of America ¤b Current address: Stanford Teacher Education Program, Stanford University, Stanford, California, United
States of America
*
l
l
@
l
d Abstract Social insect colonies use interactions among workers to regulate collective behavior. Har-
vester ant foragers interact in a chamber just inside the nest entrance, here called the
'entrance chamber'. Previous studies of the activation of foragers in red harvester ants
show that an outgoing forager inside the nest experiences an increase in brief antennal con-
tacts before it leaves the nest to forage. Here we compare the interaction rate experienced
by foragers that left the nest and ants that did not. We found that ants in the entrance cham-
ber that leave the nest to forage experienced more interactions than ants that descend to
the deeper nest without foraging. Additionally, we found that the availability of foragers in
the entrance chamber is associated with the rate of forager return. An increase in the rate of
forager return leads to an increase in the rate at which ants descend to the deeper nest,
which then stimulates more ants to ascend into the entrance chamber. Thus a higher rate of
forager return leads to more available foragers in the entrance chamber. The highest den-
sity of interactions occurs near the nest entrance and the entrances of the tunnels from the
entrance chamber to the deeper nest. Local interactions with returning foragers regulate
both the activation of waiting foragers and the number of foragers available to be activated. Editor: Nicolas Chaline, Universidade de São paulo,
BRAZIL Received: June 4, 2015
Accepted: October 15, 2015
Published: November 5, 2015
Copyright: © 2015 Pless 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. Interactions Increase Forager Availability
and Activity in Harvester Ants Evlyn Pless1☯¤a*, Jovel Queirolo1☯¤b, Noa Pinter-Wollman2, Sam Crow3, Kelsey Allen4,
Maya B. Mathur5, Deborah M. Gordon1 Interactions Regulate Foraging in Harvester Ants [2,3]. Social insect colonies offer a compelling example of collective behavior, as they operate
without any central control [4]. Competing Interests: The authors have declared
that no competing interests exist. In social insect colonies, individual workers use local interactions to perform and regulate
collective behavior [4,5], such as nest construction [6,7], nest relocation [8,9,10], and foraging
[11,12,13,14,15]. Many studies suggest that wasps, honeybees, and ants all use interaction rate
to activate foraging [14,15, 16, 17]. In wasps, foragers may be activated by the biting of incom-
ing foragers and other nestmates, and foragers are bitten more frequently than other wasps
[14]. In honeybees, forager arrival and interactions inside the hive [15], such as the waggle
dance [18] and vibration signals [19], are associated with an increase in outgoing foraging
[15,19], while another 'stop signal’ may counter the waggle dance [18]. Local encounters also play an important role for the organization of foraging in ants, for exam-
ple to respond to the intensity of crowding [20,21,22]. Ants appear to use the rate of antennal con-
tact as an indication of local density [23,24,25] and adjust recruitment and trail networks
accordingly [20,21,22]. For example, Lasius niger ants downregulate the production of recruitment
signals [22] and bifurcate their trail during crowding to maintain a high rate of food return [20]. It appears that interactions also regulate the availability of foragers. For example, interac-
tions among honeybees affect hormonal factors that determine the onset of foraging and there-
fore the number of bees available to forage [26]. Depleting a colony of the older foragers
induces an early onset of foraging in younger bees [26]. Removal experiments in ants also sug-
gest that the availability of foragers depends on interactions, because the removal of foragers
leads other ants to switch tasks and become foragers [27, 28]. Red harvester ants (Pogonomyrmex barbatus) use interaction rates to decide which task to
perform, including whether and when to forage [12,13,29]. Interactions between harvester ants
are tactile and chemical and take the form of brief antennal contacts [30,31]. During an anten-
nal contact, one ant assesses the cuticular hydrocarbon profile of the other, which reveals an
ant’s task and whether it is carrying food [30,31,32]. Foraging poses trade-offs for seed-eating
ants in the desert. Ants must spend water to gain water because foraging in the desert heat can
lead to desiccation, and they obtain some water by metabolizing the fats in the seeds they col-
lect [33,34]. In addition, colonies compete with their neighbors for foraging area [35,36]. How
well a colony manages these trade-offs influences its reproductive success [37]. In harvester ants, returning foragers come into the nest entrance through a tunnel and into
a chamber just inside the entrance that we call the 'entrance chamber' (Fig 1). In previous work
we referred to the 'vestibule' as the area just inside the nest entrance [13], but in this study we
excavated more deeply to observe ants in the full chamber at the end of the entrance tunnel. Foragers deposit the food they collected in this chamber or carry it down tunnels leading from
the entrance chamber to the deeper nest. The sizes and shapes of tunnels and chambers vary
among colonies, and these differences probably influence the rate and location of interactions. Nest structure affects ant movement [38], which affects the rate of interaction [39,40]. In turn,
rate of interaction can influence traffic flow [41,42]. Here we consider three questions about the regulation of foraging through interaction rate
in harvester ants: Introduction A fundamental question in the study of animal behavior and other networks is how simple
individual behaviors add up to complex collective behaviors [1]. Distributed networks, includ-
ing those found in natural populations, are regulated using feedback based on local interactions 1 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Question 1: Do outgoing foragers experience a different interaction rate
from other ants? Studies on harvester ants have shown that interactions with successful returning foragers stim-
ulate foraging activity [12,43]. The chemical odors of both a returning forager and the seed it is
carrying are required in combination to stimulate foraging [32]. A previous study showed that
outgoing foragers experience a substantial increase in interactions 3–8 seconds before they 2 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Interactions Regulate Foraging in Harvester Ants Fig 1. Diagram of the entrance chamber. A schematic vertical cross section of a typical P. barbatus ant
nest. The solid line indicates the ground surface, and the dashed line indicates where a horizontal section
was made to observe activity inside the nest. Interactions occur in the entrance chamber, connected to the
outside by the entrance tunnel, with tunnels leading to the deeper nest. Fig 1. Diagram of the entrance chamber. A schematic vertical cross section of a typical P. barbatus ant
nest. The solid line indicates the ground surface, and the dashed line indicates where a horizontal section
was made to observe activity inside the nest. Interactions occur in the entrance chamber, connected to the
outside by the entrance tunnel, with tunnels leading to the deeper nest. doi:10.1371/journal.pone.0141971.g001 doi:10.1371/journal.pone.0141971.g001 choose to leave the nest [13]. However, this study examined the interaction rates only of the
foragers that left the nest. Here we test whether ants that left the nest to forage experienced a
higher interaction rate than ants that did not leave the nest to forage and instead descended
from the entrance chamber to the deeper nest without foraging. Question 2: What regulates the number of outgoing foragers available in
the entrance chamber? Previous work on harvester ants shows that while foragers inside the nest respond to interac-
tions within seconds, the pool of ants available to become foragers is regulated on the order of
minutes [13]. Inhibiting forager return for more than four minutes leads to a decrease in the
number of foragers inside the nest entrance that are available to forage (S1 Movie) [13]. Here we examine how the rate of returning foragers regulates the number of ants in the
entrance chamber available to forage. We hypothesized that the descent into the deeper nest of
returning foragers, or other ants transporting food within the nest, influences the rate at which
ants ascend from the deeper nest to the entrance chamber to become available to forage. We
manipulated the rate of forager return to determine the effect on the rate at which ants ascend
from the deeper nest, and return to the deeper nest, thus regulating the numbers in the
entrance chamber available to forage. Question 3: What determines the spatial distribution of interactions? Previous work shows that an ant’s interaction frequency depends on its path shape and loca-
tion [35,38,39,40,41,42,44,45]. By influencing interactions, the shape and size of the entrance
chamber, which varies among colonies, probably affects the regulation of foraging in harvester
ants. Previous studies show that most interactions occur at the entrances of the tunnels from
the entrance chamber to the deeper nest [13]. We asked how manipulating the rate of incoming
foragers would change the spatial distribution and frequency of interactions in the nest. Interactions Regulate Foraging in Harvester Ants site is owned by Stanford University, and no permission was required to work on the site. This
study did not involve any endangered or protected species. Nests of P. barbatus have an entrance approximately 2cm in diameter, which leads to one or
more entrance tunnels approximately 5cm long. The entrance tunnels lead into an entrance
chamber approximately 8cm wide, and from this chamber, tunnels descend into the deeper
nest (Fig 1). To observe interactions inside the entrance chamber, we excavated the soil above the
entrance chamber, as in Pinter-Wollman et al. [13]. We positioned a rectangular piece of ply-
wood (23cm x 28cm) such that one of the short edges of the wood was directly over the nest
entrance. The rest of the wood was positioned over the entrance tunnel and entrance chamber. We drew an outline around the wood, removed the wood, and dug out approximately 4cm of
soil from the rectangular area for all films made in 2012 and approximately 9cm of soil for
films made in 2013. The area exposed in 2012 corresponds to the area inside the nest entrance
described as the 'vestibule' in Pinter-Wollman et al. [13]. The area we exposed in the 2013
observations described here included more of the entrance chamber than in 2012. Here we
refer to both as the 'entrance chamber'. We covered the area with the wood overnight so that
the ants would acclimate to their new nest ceiling. Each morning between 6am and 11am, we
removed the wood and covered the excavated area with a rectangular glass sheet (23cm x
28cm) for filming (Fig 2). Previous studies show that the incoming light does not disturb the
ants [13]. In 2012 we filmed three colonies for three consecutive days, and in 2013 we filmed six colo-
nies over a period of 10 days (S1 Table). We converted the films into JPEGs (30 frames/second)
using Adobe Premiere Elements 7.0 in 2012 and Java software that we developed in 2013. We
observed the films of ants in the entrance chamber, which included all area covered by the glass
sheet and all area immediately around the glass window which was depressed at the same level
as the rest of the ant chamber. When observing the films for each of our analyses, we used the following definitions for cat-
egorizing ant activities: 1. PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Materials and Methods Data were collected over the course of one week in August 2012 and two weeks in August 2013
at the site of a long-term study in Rodeo, New Mexico [37]. Prof. Gordon’s long-term study 3 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Outgoing foragers: ants that leave the entrance chamber and go outside not carrying
anything 2. Returning foragers: ants that come from outside of the nest and enter the nest (Observations
were made at a time when most ants outside the nest were foragers, but it is possible that
some of the ants considered to be returning foragers were ants of another task that did not
carry a food item.) 3. Descending ants: ants that were first observed in the entrance chamber and go down a tun-
nel into the deeper nest 4. Ascending ants: ants that were in the deeper nest, come up a tunnel, and emerge into the
entrance chamber 5. Nest maintenance workers: ants carrying dirt or debris inside the nest To test whether outgoing foragers experience a different interaction rate from other ants
(Question 1), we made 3 sets of measurements from the films made in 2012. First, we deter-
mined what percentage of the ants that ascended from the deeper nest into the entrance cham-
ber (‘ascending ants’) later performed each of the following: outgoing foraging, descending into
the deeper nest, or nest maintenance. The focal ants for this analysis were chosen by selecting
the first ant to emerge from the deeper nest at five-second intervals. Second, we observed out-
going foragers and recorded the time and location of all their interactions, in the form of brief 4 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Interactions Regulate Foraging in Harvester Ants Fig 2. Labeled entrance chamber. A photograph of the entrance chamber of colony N_4 covered with the window used during filming. The tunnels to the
deeper nest are labeled, as is the trail of returning and outgoing foragers. d i 10 1371/j
l
0141971 002 Fig 2. Labeled entrance chamber. A photograph of the entrance chamber of colony N_4 covered with the window
deeper nest are labeled, as is the trail of returning and outgoing foragers. Fig 2. Labeled entrance chamber. A photograph of the entrance chamber of colony N_4 covered with the window used during filming. The tunnels to the
deeper nest are labeled, as is the trail of returning and outgoing foragers. doi:10.1371/journal.pone.0141971.g002 doi:10.1371/journal.pone.0141971.g002 doi:10.1371/journal.pone.0141971.g002 antennal contacts, before leaving the entrance chamber. Third, we recorded the time and loca-
tions of the interactions of descending ants. PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Interactions Regulate Foraging in Harvester Ants Fig 3. Comparison of activity distribution by colony. Each bar shows the mean proportion of ascending ants that foraged (black), did nest maintenance
(white), or ascended into the nest entrance but then descended back into the deeper nest without leaving the nest to forage (grey), over the course of three
days. Error bars show standard errors of the mean. Fig 3. Comparison of activity distribution by colony. Each bar shows the mean proportion of ascending ants that foraged (black), did nest maintenance
(white), or ascended into the nest entrance but then descended back into the deeper nest without leaving the nest to forage (grey), over the course of three
days. Error bars show standard errors of the mean. doi:10.1371/journal.pone.0141971.g003 obstruction, and ants that did not perform any of the indicated behavior until the end of the
film were excluded from analysis. Out of 147 possible focal ants per colony (pooled over the
three days), 16 were excluded from the analysis of N_2, 21 from the analysis of N_4, and 9
from the analysis of N_13 (S1 Dataset). To record the interactions of outgoing foraging and descending ants, we analyzed the JPEGs
from the films using a custom written MATLAB script as in Pinter-Wollman et al. [13] (code
provided in S1 Appendix). We observed ten outgoing foragers and four or five descending ants
per film, the first foraging and descending ants in the film segment that were clearly visible,
from when the ant entered the entrance chamber from the deeper nest to when she either left
the entrance chamber or descended to the deeper nest. (Five descending ants were selected for
each film except for the film of N_2 on August 15th, which showed only four descending ants.)
We recorded the time each ant entered and left the entrance chamber, and the time and loca-
tion of each interaction of the focal ant. Interactions were recorded when the focal ant made
antennal contact with the head or body of another ant, and the location of the interaction was
defined as the point in between the head of the first ant and the place of contact on the second
ant. Our analysis did not examine interactions with other outgoing foragers, because previous
work showed that only successful returning foragers stimulated foraging [43]. The first clearly visible foraging and descending
ants from each video were chosen as the focal ants for the second and third analyses. To determine the sample size of outgoing foragers, we considered the possibility that if the
proportion of foragers were extremely different in the three colonies observed, a given sample
size would not be equally representative in all three colonies. We found that the proportions
foraging in the three colonies were not significantly different (ANOVA, F2,6 = 3.854; p = 0.08)
(Fig 3) (S1 Dataset). Therefore, we decided to measure interaction rates in the same number of
foragers and descending ants in all three colonies, rather than choose different sample sizes for
each colony. To determine what percentage of the ants that ascended from the deeper nest into the
entrance chamber were outgoing foragers, descending ants, or nest maintenance workers
within our 5–7 minutes of film, we observed randomly selected ants in each of the nine films
(three per colony for three colonies taken over the course of three days, S1 Table). Every five
seconds for the first four minutes of film, the first ant to ascend from the entrance tunnel was
tracked until it left the nest, performed nest maintenance by moving dirt or debris around the
nest entrance, or descended to the deeper nest. Ants that were lost from view due to glare or an 5 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 3. rates of ascending ants and descending ants 3. rates of ascending ants and descending ants We tested for cross-correlations in each of the three combinations of variables listed above,
to determine whether the two variables tended to be correlated in time, and if so, with what lag. For example, if an ant in the entrance chamber often descended to the deeper nest 10 seconds
after a returning forager came in, then there would be a positive correlation at a lag of 10 sec-
onds in the rates of returning foragers and descending ants. To normalize each time series for
differences in numbers of ants, we subtracted from each point the moving average of each time
series using a time window that was half the duration of each film (S2 Table). The timescale of
the smoothing window was minutes (median 7 minutes), whereas observed lags were on the
order of seconds (median ~15 seconds), and thus the results were probably not affected by this
normalization procedure. To identify significant cross-correlations, indicating a time dependence for two rates, we
calculated the likelihood of a correlation for each possible lag time, relative to the null hypothe-
sis of no time dependence. We report lag times that were statistically significant at p < 0.01. In
addition, we ran 1000 simulations in which the time of each event (ant returning, ascending, or
descending) was randomly assigned from a uniform distribution covering the average length of
the videos. We then compared the proportion of significant cross correlations in the simulated
data with that proportion in the observed data. A smaller proportion of significant events in
the simulated data compared with the observed indicates that the observed correlations were
not found by chance. We next investigated the spatial distribution of interactions (Question 3). Using Java software we developed, we split the films into JPEG frames (at 30 frames per sec-
ond) and marked the location in the entrance chamber of each interaction of the ants we
tracked. The locations of interactions were recorded in two instantaneous images, one at the
start of the removal of returning foragers, and the other immediately after forager removals
ended 3–5 minutes later. To illustrate the spatial pattern of interactions, we used a 2D Gaussian kernel density esti-
mator in R package MASS to produce 13 pairs of utilization distribution maps for the 13 trials
with forager removals [46]. Interactions Regulate Foraging in Harvester Ants activity was a fixed effect with colony and day as random effects with normally distributed
error terms. To investigate what regulates the number of outgoing foragers available in the entrance
chamber (Question 2), we filmed the entrance chamber in the morning when the ants were for-
aging and relatively undisturbed for about 6 minutes in 2013 (S1 Table). To test how changes
in the rate of forager return influence the rate at which ants ascend into and descend from the
entrance chamber, we manipulated forager return rate. Returning foragers were removed for
3–5 minutes (depending on the amount of time needed to collect most of the returning forag-
ers) and kept in a plastic box (and returned to the nest after observations were completed), as
in Gordon et al. [12]. We observed and filmed behavior inside the nest during and after forager
removals. We performed removal experiments in 13 out of the 16 trials (S1 Table). We counted from the films the numbers of returning and outgoing foragers at the nest
entrance and the number of ascending and descending ants at all tunnel entrances. We used
MATLAB to test for cross-correlations (p < 0.01) among: 1. rates of returning foragers and ascending ants 2. rates of returning foragers and descending ants PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 An outgoing for-
ager was identified as an ant that moved directly toward the outside of the nest and immedi-
ately left the nest as soon as it reached the edge of the entrance chamber. We used a linear multilevel model with normal errors, fit via REML using R’s lme4 package,
to determine if the rate of interactions and time spent in the entrance chamber differed
between outgoing foragers and descending ants [46]. To account for colony and day effects, ant 6 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 1. Interaction rates of outgoing foragers The mean (±SD) time outgoing foragers were tracked was 7.51 (±7.43) seconds (range 0.401 to
36.6) and the mean time descending ants were tracked was 16.0 (±10.8) seconds (range 2.91 to
47.6). Although sampling times varied widely, the distribution was similar across each colony
(S1 Fig). The mean (±SD) interaction rate for outgoing foragers was 1.47 (±1.09) interactions per sec-
ond, while the mean interaction rate for descending ants was 0.83 (±0.587) interactions per sec-
ond (S2 Dataset). Taking into account differences in colony- and day-specific interaction rates,
the interaction rates of foragers were significantly higher than those of descending ants (linear
multilevel model, b = 0.64; 95% CI: 0.33, 0.95; p < 0.001). (The coefficient (b) represents the
model-based estimate for the increase in interaction rate between foragers and descending
ants.) Foragers also spent a shorter time in the entrance chamber than ants that eventually
descended to the deeper nest (linear multilevel model with normal errors, b = -8.55; 95% CI:
11.65, -5.44; p<0.001). For illustrative purposes, interaction rates and time in the entrance
chamber by colony (pooling across all three days) are shown in Fig 4. The three colonies differed in the interaction rates of outgoing foragers (ANOVA, F2,27 =
8.42; p = 0.0004) and descending ants (ANOVA, F2,11 = 4.83; p = 0.0002), and all differed in
pairwise tests except colonies N_2 and N_13 (N_2 vs N_13 Tukey multiple comparison of
means, p = 0.622 for outgoing foragers, p = 0.92 for descending). The three days also differed
in the interaction rates of outgoing foragers (ANOVA, F2,27 = 5.64; p = 0.005) and descending
ants (ANOVA, F2,11 = 12.21; p <0.0001), due to a difference between August 13 and August 14
(Tukey multiple comparisons of means, p = 0.0033 for outgoing foragers, p < 0.0001 for
descending ants). Within the 5–7 minutes of each of our films, the proportion of ascending ants that left the
nest ranged from 0.31–0.89, (mean (±SD) 0.59 (±0.18)) (Fig 3) (S1 Dataset). The proportion of
ascending ants that performed nest maintenance, carrying soil or debris out of or around the
nest, ranged from 0.00–0.083 (mean (±SD) 0.067 (±0.048)), and the proportion that returned
to the deeper nest ranged from 0.056–0.65 (mean (±SD) 0.34 (±0.19)) (Fig 3). 1. Interaction rates of outgoing foragers In all colonies
and days, significantly more ascending ants left the nest (Student’s t-test, p<0.0001) or
returned to the deeper nest (Student’s t-test, p = 0.0036) than did nest maintenance. In seven of
the nine colonies and days, more ants left the nest than returned to the deeper nest without
foraging. 3. rates of ascending ants and descending ants These maps show the spatial density of interactions in the entrance
chamber at the start and at the end of the forager removals. 7 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Interactions Regulate Foraging in Harvester Ants PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 2. Availability of foragers in entrance chamber There was evidence of time-dependence among the rates at which ants returned to the nest,
ascended from the deeper nest to the entrance chamber, and descended from the entrance
chamber to the deeper nest (S3 Dataset). We found significant cross-correlations between the
rates of returning foragers and ascending ants, returning foragers and descending ants, and
ascending ants and descending ants in some of the trials, when removals were performed, for
each of the 3 colonies. (Table 1; Cross-correlation, p < 0.01). The cross-correlation between
rates of returning foragers and ascending ants was significant in one out of three trials for col-
ony 367 and one out of two trials for colony 229 (2/5 trials) (Table 1). The cross-correlation
between rates of returning foragers and descending ants was significant in one out of three tri-
als for colony N_5, two out of three trials for colony 367, one out of one trial for colony 25, and
one out of one trials for colony 242 (5/7 trials) (Table 1). The cross-correlation between rates
of ascending ants and descending ants was significant in two out of three trials for colony N_5, 8 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Interactions Regulate Foraging in Harvester Ants Table 1. Lag times found after removals were performed. The lag values in seconds between returning foragers and ascending ants, returning foragers
and descending ants, and ascending ants and descending ants. Mean and standard deviation across all colonies and days also shown. For cross-correla-
tions in which more than one lag time was detected, all significant lags are reported. A “—” indicates that no significant lags were found. Colony name
Date
filmed
Lag times between returning
foragers and ascending (seconds)
Lag times between returning foragers
and descending ants (seconds)
Lag times between ascending and
descending ants (seconds)
N_5
8-17-
2013
-
13
-
N_5
8-18-
2013
-
-
5
N_5
8-20-
2013
-
-
30, 68
367
8-18-
2013
-
6, 26
-
367
8-20-
2013
11, 61
2, 17, 45
13, 29, 69
367
8-21-
2013
-
-
-
868
8-19-
2013
-
-
43
868
8-20-
2013
-
-
4
868
8-21-
2013
-
-
-
25
8-24-
2013
-
22
-
229
8-24-
2013
-
-
-
229
8-26-
2013
58
-
62, 68
242
8-25-
2013
-
13
-
Mean
43.33
18
39.1
Standard
Deviation
28.04
13.42
26.59
doi:10.1371/journal.pone.0141971.t001 cross-correlations: colony 367 on August 20, 2013. There were two statistically significant lag
times found between the returning foragers and ascending ants, three for returning foragers
and descending ants, and three for ascending ants and descending ants. Fig 5 shows all the sta-
tistically significant cross correlations from this trial. The rate at which ants descended into the deeper nest depended significantly on the rate of
returning foragers. Of the three relationships considered, the shortest lag time was between for-
agers returning and ants descending into the deeper nest. The mean (±SD) lag, 18.00 (±13.42)
seconds, between returning foragers and descending ants was significantly shorter than the lag
between ascending ants and descending ants, 39.10 (±26.59) seconds (Student’s t-test,
p = 0.048) (Fig 6). It was also significantly shorter than the lag between returning foragers and
ascending ants, 43.33 (±28.04) seconds (Student’s t-test, p = 0.032) (Fig 6). Some colonies
showed significant lag times between more than one of the tested relationships, while other col-
onies had only one (Table 1). Interactions Regulate Foraging in Harvester Ants Fig 4. Comparison of interaction rate and time in entrance chamber in outgoing foragers and descending ants. A) Each bar shows the mean
brief antennal contacts, in interactions per second, of ants in the entrance chamber. B) Each bar shows the mean time in seconds that ants spent in
entrance chamber. Black: ants that subsequently left the nest to forage (outgoing foragers); White: ants that descended from the entrance chamber
deeper nest (descending ants). Error bars show standard errors of the mean. doi:10.1371/journal.pone.0141971.g004 Fig 4. Comparison of interaction rate and time in entrance chamber in outgoing foragers and descending ants. A) Each bar shows the mean rate of
brief antennal contacts, in interactions per second, of ants in the entrance chamber. B) Each bar shows the mean time in seconds that ants spent in the
entrance chamber. Black: ants that subsequently left the nest to forage (outgoing foragers); White: ants that descended from the entrance chamber to the
deeper nest (descending ants). Error bars show standard errors of the mean. doi:10.1371/journal.pone.0141971.g004 one out of three trials for colony 367, two out of three trials for colony 868, and one out of two
trials for colony 229 (9/11 trials) (Table 1). The simulations in which ascending, descending,
and returning ant times were chosen from a uniform distribution produced only 76/1000 sig-
nificant cross correlations, a smaller proportion than any of the observed cross correlations
(0.076 for the randomization simulations compared with 0.4, 0.71, and 0.82 for the observed
data). There was one removal trial that produced statistically significant lag times for all three PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 9 / 18 doi:10.1371/journal.pone.0141971.t001 3. Spatial distribution of interactions Considering each of the thirteen films individually, eight films
showed significantly fewer interactions after removals than before removals: colony 367 on 8-
20-13 and 8-21-13, colony 868 on 8-19-13 and 8-21-13, colony 25 on 8-24-13, colony 229 on
8-24-13 and 8-26-13, and colony 242 on 8-25-13 (Binomial test, p < 0.05) (Fig 7). 8) (S4 Dataset, S1 Movie). Considering each of the thirteen films individually, eight films
showed significantly fewer interactions after removals than before removals: colony 367 on 8-
20-13 and 8-21-13, colony 868 on 8-19-13 and 8-21-13, colony 25 on 8-24-13, colony 229 on
8-24-13 and 8-26-13, and colony 242 on 8-25-13 (Binomial test, p < 0.05) (Fig 7). The interaction utilization distribution maps show that the highest number of interactions
occurs at the entrances to the tunnels to the deeper nest, both before and after removals (Fig 8)
(S4 Dataset). 3. Spatial distribution of interactions Several minutes after the rate of returning foragers was experimentally reduced, there were sig-
nificantly fewer ant interactions in the entrance chamber (Paired t-test, p = 0.003) (Figs 7 and 10 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Interactions Regulate Foraging in Harvester Ants Fig 5. Comparison of significant cross-correlations in lag times for a single colony. All lag times are
from colony 367 on August 20, 2013, the only trial that showed significant lag times for all three cross-
correlations. Each bar shows the lag of a significant cross-correlation between 1) rate of forager return and
rate at which ants ascended to the entrance chamber from the deeper nest, 2) rate of forager return and rate
at which ants descended to the deeper nest, and 3) rate at which ants ascended to the entrance chamber and
rate at which ants descended to the deeper nest. Fig 5. Comparison of significant cross-correlations in lag times for a single colony. All lag times are
from colony 367 on August 20, 2013, the only trial that showed significant lag times for all three cross-
correlations. Each bar shows the lag of a significant cross-correlation between 1) rate of forager return and
rate at which ants ascended to the entrance chamber from the deeper nest, 2) rate of forager return and rate
at which ants descended to the deeper nest, and 3) rate at which ants ascended to the entrance chamber and
rate at which ants descended to the deeper nest. Fig 5. Comparison of significant cross-correlations in lag times for a single colony. All lag times are
from colony 367 on August 20, 2013, the only trial that showed significant lag times for all three cross-
correlations. Each bar shows the lag of a significant cross-correlation between 1) rate of forager return and
rate at which ants ascended to the entrance chamber from the deeper nest, 2) rate of forager return and rate
at which ants descended to the deeper nest, and 3) rate at which ants ascended to the entrance chamber and
rate at which ants descended to the deeper nest. doi:10.1371/journal.pone.0141971.g005 8) (S4 Dataset, S1 Movie). Interactions Regulate Foraging in Harvester Ants Fig 6. Comparison of time lags between ant activities. Each bar shows the duration in seconds of the lag between two rates, with data pooled across six
colonies and eight days: 1) rate of forager return and rate at which ants ascended to the entrance chamber from the deeper nest, 2) rate of forager return and
rate at which ants descended to the deeper nest from the entrance chamber, and 3) rate at which ants ascended to the entrance chamber from the deeper
nest and rate at which ants descended to the deeper nest from the entrance chamber. The figure shows lag values only for the cross-correlations that were
statistically significant. Error bars show standard errors of the mean. Numbers above bars signify sample sizes. Fig 6. Comparison of time lags between ant activities. Each bar shows the duration in seconds of the lag between two rates, with data pooled across six
colonies and eight days: 1) rate of forager return and rate at which ants ascended to the entrance chamber from the deeper nest, 2) rate of forager return and
rate at which ants descended to the deeper nest from the entrance chamber, and 3) rate at which ants ascended to the entrance chamber from the deeper
nest and rate at which ants descended to the deeper nest from the entrance chamber. The figure shows lag values only for the cross-correlations that were
statistically significant. Error bars show standard errors of the mean. Numbers above bars signify sample sizes. doi:10.1371/journal.pone.0141971.g006 interactions per sec). Ants that left the nest to forage also spent significantly less time in the
entrance chamber (mean 7.51 sec) than those that descended to the deeper nest (mean 16.03
sec). Our results show that during the period of foraging activity, the rate of forager return helps
to regulate the rate at which foragers become available to forage. Most of the ants in the
entrance chamber are foragers: of the ants that came from the deeper nest into the entrance
chamber, most left the nest to forage. Almost half the ants that did not forage went back down
into the deeper nest (Fig 2). The regulation of the number of ants in the entrance chamber allows the colony to adjust
forager availability quickly in response to changing conditions. PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Discussion Ants in the entrance chamber that leave the nest to forage have experienced more interactions,
in the form of brief antennal contacts, than ants that descend to the deeper nest without forag-
ing. The availability of foragers in the entrance chamber is regulated by another process that
determines the flow of ants into and out of the entrance chamber from the deeper nest. This
movement of ants in and out of the entrance chamber from the deeper nest, which determines
the availability of foragers, is associated with the rate of forager return. The more frequently
that returning foragers come in, the more frequently ants descend from the entrance chamber
to the deeper nest, and in turn, the more frequently foragers ascend to the entrance chamber
from the deeper nest. In this way, higher rates of forager return lead to the presence of more
available foragers, as previously observed [13]. Interactions occur at highest density in the nest
entrance and the entrances of the tunnels leading to the deeper nest. Our result supports previous work showing that ants in the entrance chamber determine
whether to forage based on the rate of interactions with returning, successful foragers
[11,12,32] and showed that the rate of forager return is correlated with the rate of interactions
inside the nest [13]. Here we show directly that the ants that left the entrance chamber to forage
had experienced a significantly higher rate of interactions (mean 1.47 interactions per sec) than
ants that descended from the entrance chamber to the deeper nest without foraging (mean 0.83 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 11 / 18 When food availability is high,
foragers find food quickly, leading to a high rate of forager return [47]. The number of ants in
the entrance chamber depends on the rate of forager return [13]. The rate of forager return is
linked with a short lag (mean 18 seconds) to the rate at which ants descend to the deeper nest
(Table 1). The returning foragers sometimes deposit their food in the entrance chamber for
other ants to carry to the lower nest, but in the exposed entrance chambers that we filmed,
more often returning foragers descended still carrying the food items they brought back (more 12 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Interactions Regulate Foraging in Harvester Ants Fig 7. Comparison of number of interactions in the entrance chamber before and after removals. Black: the number of interactions observed from one film frame at the start of forager removals; White: the
number of interactions observed from one film frame 3–5 minutes after removal of returning foragers was
completed. doi:10 1371/journal pone 0141971 g007 Fig 7. Comparison of number of interactions in the entrance chamber before and after removals. Black: the number of interactions observed from one film frame at the start of forager removals; White: the
number of interactions observed from one film frame 3–5 minutes after removal of returning foragers was
completed. doi:10.1371/journal.pone.0141971.g007 doi:10.1371/journal.pone.0141971.g007 discussion below). The rate at which foragers ascend is linked with a significantly longer lag
(mean 38.25 seconds) to the rate at which ants descend (Table 1). When the rate of forager
return slows, indicating low food availability, the number of available foragers in the entrance
chamber also slows [13]. The number of interactions in the entrance chamber nest decreases
with low forager return (Figs 7 and 8), further decreasing the probability ants will leave the nest
to forage (Fig 4A). The process that regulates the numbers in the entrance chamber is very rapid; most ants in
the entrance chamber either forage or descend in less than 20 seconds. The rapid turnover of
ants entering and leaving the entrance chamber may help to limit the number of waiting ants
in the entrance chamber [13], who could slow the rate of interactions with incoming, successful
foragers. The different lags between rates of forager return, ascending ants, and descending ants may
be due to different processes. PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Interactions Regulate Foraging in Harvester Ants Fig 8. Spatial distribution of interactions. Each interaction utilization distribution map shows the location of interactions, brief antennal contacts betwee
ants, that were observed from instantaneous images. The left figure of each pair shows interactions at the very beginning of an experiment that decreased
the rate of incoming foragers, and the right figure shows interactions 3–5 minutes after the experiment was complete. White shows the areas of highest
interaction density for each pair of heat maps, yellow shows areas with some interactions, and red shows areas with no interactions. The tunnel entrance/e
is indicated with a T and the nest entrance/exit is indicated with an N. The scales for size and color are relative to each pair of maps. doi:10.1371/journal.pone.0141971.g008 Fig 8. Spatial distribution of interactions. Each interaction utilization distribution map shows the location of interactions, brief antennal contacts between
ants, that were observed from instantaneous images. The left figure of each pair shows interactions at the very beginning of an experiment that decreased
the rate of incoming foragers, and the right figure shows interactions 3–5 minutes after the experiment was complete. White shows the areas of highest
interaction density for each pair of heat maps, yellow shows areas with some interactions, and red shows areas with no interactions. The tunnel entrance/exit
is indicated with a T and the nest entrance/exit is indicated with an N. The scales for size and color are relative to each pair of maps. Fig 8. Spatial distribution of interactions. Each interaction utilization distribution map shows the location of interactions, brief antennal contacts between
ants, that were observed from instantaneous images. The left figure of each pair shows interactions at the very beginning of an experiment that decreased
the rate of incoming foragers, and the right figure shows interactions 3–5 minutes after the experiment was complete. White shows the areas of highest
interaction density for each pair of heat maps, yellow shows areas with some interactions, and red shows areas with no interactions. The tunnel entrance/exit
is indicated with a T and the nest entrance/exit is indicated with an N. The scales for size and color are relative to each pair of maps. Fig 8. Spatial distribution of interactions. Each interaction utilization distribution map shows the location of interactions, brief antennal contacts between
ants, that were observed from instantaneous images. For example, the lag times between ascending ants and descend-
ing ants were approximately factors of one another in two cases (30 and 68 seconds for colony
N_5 on 8-20-13; and 13, 29, and 69 seconds for colony 367 on 8-20-13). This suggests a period-
icity in the behavior of ascending into and descending from the entrance chamber. It is inter-
esting to note that the lag between returning foragers and ascending ants tends to be larger
than both the lags between returning foragers and descending ants and between ascending and
descending ants. This is what we would expect if the same ants return from foraging, descend
to the deeper nest, drop off their food, and then ascend back to the entrance chamber to be
available to leave on the next foraging trip. More work is needed to determine how often
returning foragers carry their food into the deeper nest, or instead deposit it in the entrance
chamber for other ants to transport down to the seed chambers in the deeper nest. A number of factors influence the spatial distribution and frequency of interactions. Har-
vester ant colonies vary consistently from year to year in foraging activity [12,37]. These PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 13 / 18 Interactions Regulate Foraging in Harvester Ants in the timing of interactions and in the relation between the rate of forager return and of the
flow of ants into the entrance chamber. In another species of harvester ant, the rate of recruit-
ment to food increased with the number of tunnels leading from the entrance chamber to the
deeper nest [48]. Our heat maps of interaction rate (Fig 8) show that interactions in the
entrance chamber tend to occur at the exit to the surface and at the entrances to tunnels leading
down to the deeper nest. Conclusions Individual workers in social insect colonies respond to rates of interaction with other workers. Collectively, this allows a colony to regulate its behavior and respond to changing conditions. Here we show that interactions regulate both the activation of foragers and the availability of
foragers to be activated. Variation among harvester ant colonies in the regulation of foraging is
associated with variation in reproductive success [37]. Investigating the allocation of effort in
ant colonies contributes to a fundamental question in biology: how local interactions produce
the collective behavior of the whole system. Supporting Information S1 Appendix. Matlab script for recording information about ant interactions. This is a
Matlab function that opens up a stack of JPEG images and allows a user to move through the
images and ‘click’ anywhere on any image to record x-y coordinates of events in the frame. The
output is a csv file with 6 columns: xy coordinates of the click, time = frame/image number, ant
ID, ant type, and activity—both of which are pre-defined by the user, see below. Copyright (C)
2015 Noa Pinter-Wollman. (PDF) S1 Dataset. 2012 Ant Activity Data. We observed ants in two minutes of each of the nine
films to determine what percentage of the ants that ascended from the deeper nest into the
entrance chamber were later outgoing foragers, descending ants, or nest maintenance workers. Every five seconds, the first ant to ascend from the entrance tunnel was tracked until it left the
nest, performed nest maintenance by moving dirt or debris around the nest entrance, or
descended to the deeper nest. This dataset shows the activity type of each of the tracked ants. (PDF) S2 Dataset. 2012 Ant Interactions Data. We analyzed the JPEGs from the films using a cus-
tom written MATLAB script as in Pinter-Wollman et al. [13] (code provided in S1 Appendix). We observed ten outgoing foragers and four or five descending ants per film, the first foraging
and descending ants in the video segment that were clearly visible. This dataset shows the time
each ant entered and left the entrance chamber, and the time and location of each interaction
of the focal ants. S2 Dataset. 2012 Ant Interactions Data. We analyzed the JPEGs from the films using a cus-
tom written MATLAB script as in Pinter-Wollman et al. [13] (code provided in S1 Appendix). We observed ten outgoing foragers and four or five descending ants per film, the first foraging
and descending ants in the video segment that were clearly visible. This dataset shows the time
each ant entered and left the entrance chamber, and the time and location of each interaction
of the focal ants. (PDF) S3 Dataset. 2013 Correlation Data. We observed and filmed behavior inside the nest during
and after forager removals. This dataset shows our counts made from the films of the numbers
of returning and outgoing foragers at the nest entrance and the number of ascending and
descending ants at all tunnel entrances. The left figure of each pair shows interactions at the very beginning of an experiment that decreased
the rate of incoming foragers, and the right figure shows interactions 3–5 minutes after the experiment was complete. White shows the areas of highest
interaction density for each pair of heat maps, yellow shows areas with some interactions, and red shows areas with no interactions. The tunnel entrance/exit
is indicated with a T and the nest entrance/exit is indicated with an N. The scales for size and color are relative to each pair of maps. doi:10.1371/journal.pone.0141971.g008 doi:10.1371/journal.pone.0141971.g008 variations may arise from colony-specific differences in how interaction rates affect the forag-
ing decisions of ants. The three colonies filmed in 2013 differed in interaction rates, and inter-
action rates differed between two of the days (August 14th and August 15th). Colony
differences in interaction rate could be related to variation in nest structure [38,41,42]. Nests
vary in the size and shape of the entrance chamber and in the number of tunnels leading from
the chamber to the deeper nest (Fig 8). This variation may lead to differences among colonies PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 14 / 18 Acknowledgments We thank LeAnn Howard, Andrew Merrell, Stefan Popp, Jack Rasiel, Wallis Robinson, Brett
Salazar, Daniel Washington, and Charlotte Wayne for assistance in the field. We are grateful to
Luke Frishkoff, Aaron Goodman, and Lane McIntosh for help with coding and plotting data. Mark Goldman provided very helpful discussion and advice. We thank Tomer Czackes and an
anonymous reviewer whose comments greatly improved the manuscript. Author Contributions Conceived and designed the experiments: EP JQ NP-W DMG. Performed the experiments: EP
JQ. Analyzed the data: EP JQ NP-W SC KA MBM DMG. Contributed reagents/materials/anal-
ysis tools: NP-W SC KA. Wrote the paper: EP JQ NP-W DMG. Supporting Information (ZIP) S3 Dataset. 2013 Correlation Data. We observed and filmed behavior inside the nest during
and after forager removals. This dataset shows our counts made from the films of the numbers
of returning and outgoing foragers at the nest entrance and the number of ascending and
descending ants at all tunnel entrances. (ZIP) S4 Dataset. 2013 Heat Maps Data. After splitting the 2013 videos into JPEG frames, we
marked the location in the entrance chamber of each interaction of the ants we tracked. This
dataset shows the locations of interactions from two instantaneous images, one at the start of S4 Dataset. 2013 Heat Maps Data. After splitting the 2013 videos into JPEG frames, we
marked the location in the entrance chamber of each interaction of the ants we tracked. This
dataset shows the locations of interactions from two instantaneous images, one at the start of 15 / 18 PLOS ONE | DOI:10.1371/journal.pone.0141971
November 5, 2015 Interactions Regulate Foraging in Harvester Ants the removal of returning foragers, and the other immediately after forager removals ended 3–5
minutes later. (PDF) the removal of returning foragers, and the other immediately after forager removals ended 3–5
minutes later. (PDF) S1 Fig. Sampling time distribution histograms. These histograms show the distribution of
times that foraging and descending ants filmed in 2012 remained in the entrance chamber. (TIF) S1 Fig. Sampling time distribution histograms. These histograms show the distribution of
times that foraging and descending ants filmed in 2012 remained in the entrance chamber. (TIF) S1 Movie. Interactions over time for a single colony. The attached clip shows the location of
interactions, in the form of brief antennal contacts between ants, in colony 367 on August 20,
2013. Removal of returning foragers began at 00:37 and ended at 05:41. There is an observable
difference between 00:37 seconds and 2:37. By 2:37, as the rate of forager return decreases, the
ants are no longer as spread out in the entrance chamber, and interactions occur only at the
interaction hotspots (Fig 8), the entrance to tunnels to the deeper nest and the exit from the
chamber to outside the nest. The circular metal device is a thermometer and humidity sensor. Some of the ants were painted previously for a different experiment. (MP4) S1 Table. Red harvester ant colonies filmed in August 2012 and August 2013.
(DOCX) S1 Table. Red harvester ant colonies filmed in August 2012 and August 2013. (DOCX) PLOS ONE | DOI:10.1371/journal.pone.0141971
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Comparative Quantification of 14 Bioactive Compounds in Camellia ptilophylla and Camellia sinensis
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Comparative Quantification of 14 Bioactive
Compounds in Camellia ptilophylla and Camellia
sinensis Sihui Ying
South China Agricultural University
Qiuyan Huang
South China Agricultural University
Sen Lu
South China Agricultural University
Xiong Gao
Guangdong Academy of Sciences
Zhongzheng Chen
South China Agricultural University
Yuanyuan Zhang
South China Agricultural University
Xiaoshan Liu
South China Agricultural University
Bin Li
South China Agricultural University
Xiaorong Lin
(
xiaoronglin@scau.edu.cn
)
South China Agricultural University Sihui Ying
South China Agricultural University
Qiuyan Huang
South China Agricultural University
Sen Lu
South China Agricultural University
Xiong Gao
Guangdong Academy of Sciences
Zhongzheng Chen
South China Agricultural University
Yuanyuan Zhang
South China Agricultural University
Xiaoshan Liu
South China Agricultural University
Bin Li
South China Agricultural University
Xiaorong Lin
(
xiaoronglin@scau.edu.cn
South China Agricultural University Research Article License:
This work is licensed under a Creative Commons Attribution 4.0 International
License. Read Full License Page 1/15 Page 1/15 Abstract Camellia ptilophylla is a rare tea species discovered in southern China which naturally containing low
caffeine but high theobromine, high trans-catechin, and two special polyphenols, gallocatechin-3,5-
digallate and 1,2,4,6-tetragalloyl glucose. But the commonly-used methods for the quantification of tea
bioactive compounds do not cover these two special polyphenols, limiting the systematical
phytochemical analysis of Camellia ptilophylla. Herein, we explored a high-performance liquid
chromatography-based method to quantify 14 bioactive compounds including three methylxanthines,
eight catechin monomers, gallic acid, gallocatechin-3,5-digallate, and 1,2,4,6-tetragalloyl glucose, and
applied it on Camellia ptilophylla and six typical Chinese teas from Camellia sinensis. The present
method facilitated the effective separation of 14 tea bioactive compounds within 35 min with good
linearity (R2 ≥0.9999), excellent sensitivity and reproducibility with a limit of detection of 1.2272-19.7611
ng/mL and a relative standard deviation lower than 4.1%, and satisfactory recoveries of the spiked
samples of 95.57%-106.93% with the relative standard deviation lower than 5%. Basing on this method,
the characteristics of high theobromine (3.4-4.8%), low caffeine (0.01-0.2%), high gallocatechin gallate
(6.3-8.1%) and catechin (C, 2.2-3.4%), low epigallocatechin gallate (2.2-3.0%) and epicatechin (0.3-0.6%),
and containing gallocatechin-3,5-digallate (0.6-0.9%) and 1,2,4,6-tetragalloyl glucose (0.5-1.1%) of
Camellia ptilophylla were confirmed. This unique profile of bioactive compounds was not found in six
typical Chinese teas from Camellia sinensis. In conclusion, theobromine, gallocatechin gallate, catechin,
gallocatechin-3,5-digallate, and 1,2,4,6-tetragalloyl glucose with steadily high content were recognized as
the characteristic bioactive components of Camellia ptilophylla. Introduction Tea, which originated from China, has become one of the most popular non-alcohol beverages in the
world. This worldwide prevalence of tea derived from the wide consensus of consumers about its health-
beneficial effects. Tea polyphenols and methylxanthines have been recognized as the dominant chemical
basis of the health functions of tea including anti-oxidant, anti-inflammatory, anti-cancer, anti-diabetic,
and anti-obesity effects, etc(Tang et al. 2019). Thus, the detection of tea polyphenols and
methylxanthines provides key indications of the bioactivities of teas. Though tea polyphenols and
methylxanthines comprise various monomers, only caffeine (Caf) and four cis-type catechins including
(-)-epicatechin (EC), (-)-epigallocatechin (EGC), (-)-epicatechin gallate (ECG), and (-)-epigallocatechin
gallate (EGCG) (Fig. 1) are generally determined as they dominate the content of methylxanthines
(90%-95%) and tea polyphenols (50%-60%) respectively in common tea varieties(Determination of
substances characteristic of green and black tea - Part 2: Content of catechins in green tea - Method
using high-performance liquid chromatography). However, benefiting from the efforts of breeding, an increasing number of special tea varieties have been
reported. Amongst, Camellia ptilophylla Chang (C. ptilophylla) discovered in 1981 in South China(Zhang
H 1981) attracted the most attention in the recent decade. C. ptilophylla contained extremely low Caf (0-
0.1%) but high theobromine (Tb, 3–7%) instead. In addition, trans-catechins including (+)-catechin (C), Page 2/15 Page 2/15 Page 2/15 (+)-gallocatechin (GC), (-)-catechin gallate (CG), and (-)-gallocatechin gallate (GCG) (Fig. 1) are found as
the predominant catechins (80% of total polyphenols) in C. ptilophylla(Lin et al. 2014). Moreover, two
novel phenolic compounds involving (-)-gallocatechin-3,5-di-O-gallate (GC-3,5-diGA), and 1,2,4,6-Tetra-O-
galloyl-β-D-glucopyranose (1,2,4,6-GA-glc) are discovered in the extracts of C. ptilophylla(Kurihara et al. 2006). This peculiar chemical composition provides C. ptilophylla with dramatically higher anti-
angiogenesis(Gao et al. 2020; Li et al. 2017), anti-oxidant(Kuang et al. 2020), anti-inflammatory(Gao et al. 2017), and hypolipemic(Kurihara et al. 2006) bioactivity but much lower central nervous exciting
effect(Xu et al. 1990) compared to common tea varieties. Accordingly, accurate quantification of these
dominant bioactive compounds in C. ptilophylla is required for the evaluation of its health effects. Herein, we explored a high-performance-liquid-chromatography (HPLC)-based approach for the
simultaneous detection of 11 tea polyphenols and 3 methylxanthines (Fig. 1). Additionally, method
validation was further performed by the evaluation of the linearity, precision, repeatability, extraction
recovery, the limit of detection (LOD), and the limit of quantification (LOQ). On this basis, the method was
applied to the water exacts of tea leaves from C. Introduction ptilophylla and six typical Chinese teas including green
tea, oolong tea, black tea, white tea, yellow tea, and dark tea from C. sinensis to compare the patterns of
major bioactive compounds. The present study enables the feasibility of rapid quantification of 14 major
bioactive compounds in various types of teas from C. ptilophylla and C. sinensis and benefits the
discovery of novel special tea varieties. Tea Samples and Chemicals Green tea of C. ptilophylla processed by our group previously in different years (2014, 2015, 2016, 2018,
2019, 2020, and 2021) were sealed and stored at 4°C. Six typical Chinese teas, including Fuding Dabai
white tea, Junshan Yinzhen yellow tea, Yunnan large-leaf green tea, Yunnan large-leaf black tea,
Jinguanyin oolong tea, and Yunnan Pu-erh dark tea, were obtained from Beijing Yunkai Yaji Tea Culture
Center (Beijing, China), Guangdong Huahai Sugar Development Co., Ltd (Xuwen, Guangdong, China),
Huaiji Gaoshanqing Agricultural Products Co., Ltd (Zhaoqing, Guangdong, China) and Guangdong Tea
Import & Export Co., Ltd (Guangzhou, Guangdong, China), respectively. GA (≥ 98%), Tb (≥ 98%), Caf (≥ 98%), and Tp (≥ 98%) were purchased from Sigma-Aldrich (St. Louis, MO,
USA). EC (≥ 98%), EGC (≥ 98%), EGCG (≥ 98%), ECG (≥ 98%), CG (≥ 98%), GCG (≥ 98%), GC (≥ 98%), and
C (≥ 98%) were purchased from Shanghai Yuanye Bio-Technology Co., Ltd (Shanghai, China). GC-3,5-
diGA and 1,2,4,6-GA-glc from C. ptilophylla were purified in our laboratory by preparative HPLC. HPLC
grade acetonitrile and methanol were purchased from Merck (Darmstadt, Germany). Trifluoroacetic acid
(HPLC grade) and Folin-Ciocalteu Reagent (1 mol/L) were obtained from Shanghai Macklin Biochemical
Co., Ltd (Shanghai, China). Ultrapure water was prepared via a Millipore Milli-Q purification system
(Millipore Corp, Bedford, MA). Determination of the Content of Total Polyphenol and Water
Extract Determination of the Content of Total Polyphenol and Water
Extract The content of total polyphenols of green tea from C. ptilophylla and six typical teas from C. sinensis
were determined via the colorimetric method using Folin-Ciocalteau reagent(Determination of substances
characteristic of green and black tea — Part 1: Content of total polyphenols in tea — Colorimetric method
using Folin-Ciocalteu reagent 2005). The water extract content was calculated based on the weight of tea
hot-water-insoluble residues according to ISO 9768: 1994(Tea — Determination of water extract 1994)
with a slight modification. Tea leaves were extracted using a boiling water bath and the residues were
dried at 120 ± 2°C. Page 3/15
Preparation of Standard Solutions and Tea Samples Page 3/15 GA, Tb, Tp, Caf, C, EC, GCG, EGCG, CG, ECG, 1,2,4,6-GA-glc, GC-3,5-diGA, GC, and EGC were dissolved in
20% (w/w) acetonitrile and diluted to obtain a series of working solutions. Tea leaves (0.3 g), ground and
sieved ranging from 20 to 30 mesh, were extracted with 45 mL of ultrapure water in a boiling water bath
for 45 min. Subsequently, cooled tea extracts were fixed to 50 mL and diluted 1-fold with water followed
by the filtration with a 0.22 µm PES filter (Anpel, Shanghai, China). HPLC Determination of 14 Bioactive Compounds The HPLC analysis of tea polyphenols and methylxanthines was performed on a Shimadzu LC 2030C 3D
plus workstation, including a Shimadzu Prominence-i LC-2030C 3D chromatography, a PDA detector, a
column oven, and an autosampler (Shimadzu, Kyoto, Japan). Samples (10 µL) were eluted on an Agilent
Poroshell 120 Bonus-RP (4.6 mm×50 mm, 2.7µm) column with trifluoroacetic acid aqueous solution
(0.05%, solvent A) and acetonitrile (solvent B) at 30°C with a flow rate of 0.8 mL/min. The gradient elution
was performed as follows: 100%A from 0 to 8 min, 100%A decreased to 91%A from 8 to 17 min, 91%A
decreased to 82%A from 17 to 25 min, 82%A decreased to 76% A from 25 to 30 min, and 76% A
decreased to 72% from 30 to 35 min. The absorbance at 280 nm was recorded and calculated with
LabSolutions 5.8 (Shimadzu). The linearity, precision, repeatability, extraction recovery, LOD, and LOQ were evaluated for method
validation. Relative standard deviations (RSDs) of the peak areas from five injections of the mix solutions
of 14 standards were calculated to access the precision. RSDs of the 14 compounds in five replicate tea
extracts from C. ptilophylla were used for the repeatability evaluation. To determine the extraction
recovery, tea extracts of C. ptilophylla mixed 1:1 with standard mixtures as the spiked group, tea extracts
of C. ptilophylla mixed 1:1 with 20% (w/w) acetonitrile as the background group, and standard mixtures
mixed with 2% (w/w) acetic acid in equal volume as the standard group were tested and compared. LOD
and LOQ were obtained from the concentration of standard solutions diluted with 20% (w/w) acetonitrile
when the signal-to-noise ratio (S/N) reached 3 and 10, respectively. Statistical Analysis All data from two individual measurements with three replicates were represented as mean values ±
standard deviation (SD). The significance of differences among various samples was evaluated by Page 4/15 Duncan’s multiple range test using SPSS 20.0. Simultaneous HPLC Determination of 14 Tea Compounds Despite the remarkable difference in the hydrophilicity and hydrophobicity among 14 tea bioactive
compounds, they were perfectly eluted within 35 min on the reversed-phase column by 0.05%
trifluoroacetic acid aqueous solution and acetonitrile in the present method (Fig. 1A). When the method
was applied to the water extracts from C. ptilophylla and C. sinensis, all of these bioactive compounds
were also effectively separated (Fig. 1B and Fig. 1C). It indicated that the detection of these 14 targeted
compounds was not affected by the complexity of the tea matrix. Additionally, the HPLC chromatography
of C. ptilophylla confirmed its high content of Tb and trans-type catechins but low content of Caf and cis-
catechins. Furthermore, the presence of two novel compounds, GC-3,5- diGA and 1,2,4,6-GA -glc, in C. ptilophylla but not C. sinensis were also verified. This result preliminarily suggested the feasibility of this
HPLC-based method for the rapid detection of 14 major bioactive compounds in C. ptilophylla and C. sinensis. To further validate the method, linearity, precision, repeatability, extraction recovery, LOD and LOQ were
calculated (Fig. 2 and Table 1). Excellent linearity was observed between the concentration and the peak
area of 14 compounds with the values of R-square higher than 0.999 (Fig. 3). A satisfactory precision
was additionally suggested by the RSDs of all targeted compounds ranging from 0.12–1.08% for five
consecutive tests (Table 1). Furthermore, the sound repeatability of this method was confirmed by the low
RSDs of each component from tea samples extracted five times (Table 1). Moreover, the spiked
recoveries of the 14 compounds ranging from 95.57–106.93% with the RSD values of 0.21%-4.88% also
satisfied the requirement of the accurate quantification of 14 bioactive compounds in tea extracts
(Table 1). The high sensitivity of this method was further revealed by the LODs of these compounds
ranging from 1.2272 ng/mL to 19.7611 ng/mL and their LOQs of 17.2410-76.2649 ng/mL (Table 1). These results suggested the effectiveness, efficiency, accuracy, and reliability of this method in the
quantitative analysis of 14 major tea polyphenols and methylxanthines. Simultaneous HPLC Determination of 14 Tea Compounds Page 5/15 Page 5/15 Page 5/15 Table 1
Method validation
Compounds
Precision
RSD (%)
Repeatability
RSD (%)
Recovery (%)
Recovery
RSD (%)
LOD
(ng/mL)
LOQ
(ng/mL)
GA
0.17
2.98
103.07
1.06
4.16
17.24
Tb
0.17
2.07
102.13
1.18
8.97
21.16
Tp
0.13
3.07
106.93
0.21
1.23
10.31
GC
0.57
2.78
103.52
4.88
19.76
66.20
Caf
0.16
1.65
99.59
1.30
2.86
16.47
EGC
0.14
3.90
101.53
3.80
10.58
52.92
C
0.12
2.21
96.76
0.28
14.90
76.26
EC
0.32
2.30
96.12
1.19
17.98
44.37
EGCG
0.34
2.81
95.57
1.55
6.60
25.79
GCG
0.22
4.06
102.03
0.51
7.14
21.42
ECG
0.29
1.01
97.23
0.51
10.47
31.41
1,2,4,6-GA-glc
1.08
3.60
97.26
1.18
7.90
27.64
CG
0.30
3.15
98.86
1.92
6.37
28.54
GC-3,5-diGA
1.07
2.52
95.81
3.86
11.85
35.54 Table 1
Method validation Method validation Relative Correction Factors of Two Novel Compounds Relative Correction Factors of Two Novel Compounds As the reference standards of two novel phenolic compounds, GC-3,5-diGA and 1,2,4,6-GA-glc, were not
commercially accessible, a feasible approach to access the content of these two monomers in tea
samples was explored based on their relative correction factors to the other 12 compounds (Table 2). As
suggested by the European Pharmacopoeia (EP10.0), the targeted compounds can be quantified using
the commercial standards of the reference chemicals if their relative correction factors range from 0.8 to
1.2. Accordingly, Caf and Tp as well as ECG and CG were recommended to be the reference compounds
for 1,2,4,6-GA-glc and GC-3,5-diGA, respectively (Table 2). Page 6/15 Table 2
Relative correction factors of two novel bioactive
compounds discovered in C. ptilophylla to other 12
commercial reference compounds
Reference compounds
Relative correction factor
1,2,4,6-GA-glc
GC-3,5-diGA
GA
1.36
1.74
Tb
1.32
1.70
Caf
1.17
1.50
Tp
1.10
1.42
CG
0.74
0.95
ECG
0.67
0.86
GCG
0.59
0.76
EGCG
0.54
0.69
EC
0.28
0.36
C
0.27
0.34
GC
0.07
0.09
EGC
0.07
0.09 Table 2 Relative correction factors of two novel bioactive
compounds discovered in C. ptilophylla to other 12
commercial reference compounds
Reference compounds
Relative correction factor
1,2,4,6-GA-glc
GC-3,5-diGA
GA
1.36
1.74
Tb
1.32
1.70
Caf
1.17
1.50
Tp
1.10
1.42
CG
0.74
0.95
ECG
0.67
0.86
GCG
0.59
0.76
EGCG
0.54
0.69
EC
0.28
0.36
C
0.27
0.34
GC
0.07
0.09
EGC
0.07
0.09
Composition of Bioactive Compounds in C. ptilophylla and C. sinensis Composition of Bioactive Compounds in C. ptilophylla and C. sinensis Composition of Bioactive Compounds in C. ptilophylla and C. sinensis Composition of Bioactive Compounds in C. ptilophylla and C. sinensis To profile the composition of bioactive compounds in C. ptilophylla, 14 compounds in green tea from C. ptilophylla and six typical Chinese teas from C. sinensis including green tea, oolong tea, black tea, white
tea, yellow tea, and dark tea were detected and their percentage in the total water extracts were compared
in Fig. 4. The 14 bioactive compounds were found to account for about 40% of the total water extract of
green tea from C. ptilophylla. Amongst, tea polyphenols (33.1%), especially eight catechin monomers
(30.6%), were recognized as the dominant bioactive compounds. In detail, the percentages of gallated
catechins (19.8%), 2,3-trans structure (20.5%), and the pyrogallol-type catechins (23.7%) were higher than
ungallated (10.8%), 2,3-cis (10.1%), and the catechol-type (7.0%). And GCG (13.5%) was found the
predominant bioactive compound. In addition, the percentage of all methylxanthines in the water extracts
of C. ptilophylla reached 7.2%, of which Tb showed the highest percentage of 7.0%. In the water extracts of all six typical Chinese teas, two special polyphenols, 1,2,4,6-GA-glc and GC-3,5-
diGA, were not detected. Additionally, the bioactive compounds in green tea accounted for the highest
percentage of the total water extract (38.5%), followed by oolong tea (29.3%), yellow tea (21.0%) and
white tea (20.6%), black tea (8.8%) and dark tea (7.3%) the lowest. This difference mainly came from the
different percentages of catechins in water extracts as shown in the following order: green tea (32.3%) > Page 7/15 Page 7/15 oolong tea (24.7%) > yellow tea (12.9%) and white tea (12.6%) > black tea (2.3%) > dark tea (0.8%). Furthermore, the percentages of methylxanthines in water extracts of six teas were found from 4.5–7.2%. Compared with green tea from C. ptilophylla, the percentage of catechins in the water extract of green tea
from C. sinensis was higher. Among these catechins, the percentages of gallated catechins (19.7%), the
2,3-cis structure (21.7%), and the pyrogallol type (18.1%) were higher than those of ungallated (12.6%), 2,
3-trans (10.6%), and catechol (13.3%) type, with EGCG accounting for the highest (8.0%). However, the
percentage of methylxanthines in C. sinensis (5.9%) was slightly lower than that of C. ptilophylla, with
Caf accounting for the highest percentage (5.8%). This result proved the feasibility of this method in the detection of bioactive compounds in C. ptilophylla
and C. sinensis without interference from different tea trees and processing methods. Composition of Bioactive Compounds in C. ptilophylla and C. sinensis It also confirmed
the unique composition of bioactive compounds of C. ptilophylla. Amongst these compounds, 1,2,4,6-GA-
glc and GC-3,5-diGA have demonstrated the unique bioactive compounds of C. ptilophylla. To further confirm the unique composition of C. ptilophylla, the content of 14 bioactive compounds in
seven green teas of C. ptilophylla prepared in different years (2014–2021) was determined (Fig. 5). Most
of the polyphenol monomers including GCG, EGCG, GC-3,5-diGA, C, EC, EGC, GA, 1,2,4,6-GA-glc, and GC in
the green teas of C. ptilophylla showed differences less than 50% in their content. Amongst, the content
of GCG, ranging from 6.3–8.2%, showed only a slight difference of less than 15%. But the content of ECG
and CG in different green teas from C. ptilophylla fluctuated the most (reached 85%), which was mostly
induced by the samples made in 2021. Among the three typical methylxanthines, the fluctuation range of
Tb content is less than 18%, while the fluctuation range of Caf and Tp is much larger. Regardless, the Caf
content of all green teas from C. ptilophylla was less than 0.2%, much lower than the breeding standard
for the low-caffeine contained tea variety of 1%. These results indicated that the content of GCG and Tb,
the two characteristic components of C. ptilophylla, are relatively stable. Though the Caf content in
different green teas from C. ptilophylla fluctuated significantly, its phytochemical specificity of high Tb
but low Caf did not change. Discussion Tb is a typical methylxanthine in cocoa with beneficial effects on cardiovascular, respiratory, renal,
etc(Smit 2011). Generally, the content in tea trees is less than 0.1%. Ma and Zhang (1984) first reported
Tb as the predominant methylxanthine of C. ptilophylla with a content of 4.4% (dry weight) (Ma Y and
Zhang R 1984). Subsequently, they compared the composition of methylxanthines of C. ptilophylla with
seven green tea, oolong tea, and black tea from C. sinensis using the HPLC method, and confirmed that
only C. ptilophylla contained high Tb (3.02 ~ 4.68%), which was 11.7 ~ 15.1 times higher than other teas
from C. sinenesis(Ma Y and Chen Y 1996). Gao et al. (2004) found that both cultivated and wild C. ptilophylla contained high Tb, but the Tb content in the cultivated tea trees was slightly lower than the
latter He et al. (2011) indicated that the characteristic of high-Tb of C. ptilophylla was not affected by the
planting seasons and the processing methods, but the Tb content of C. ptilophylla plucked in summer
(6.06–6.26%) was higher than those plucked in spring (5.25–5.81%) and autumn (4.65 ~ 5.31%). The Page 8/15 Page 8/15 present study confirmed that the Tb content of different green teas from C. ptilophylla was 3.4–4.8% with
a difference of less than 20%. These results demonstrated that Tb was a characteristic component of C. ptilophylla, even though the content of Tb might slightly vary due to harvest seasons and cultivation
methods. present study confirmed that the Tb content of different green teas from C. ptilophylla was 3.4–4.8% with
a difference of less than 20%. These results demonstrated that Tb was a characteristic component of C. ptilophylla, even though the content of Tb might slightly vary due to harvest seasons and cultivation
methods. The particular composition of catechins in C. ptilophylla was not found in the early days due to the failure
of Ultra Violet-Visible Spectroscopy to distinguish the cis- and trans catechin monomers(Li B et al. 2001;
Gao K et al. 2004). In 2006, Kurihara et al. (2006) first indicated that the GCG content in the water extract
of C. ptilophylla (199 mg/g) was 53 times higher than that of C. sinensis, but the contents of EGCG and
EGC in C. ptilophylla extract were only a half of that of C. sinensis. Yang et al. (2007) further proved the
high content of trans-type catechins in C. ptilophylla. Discussion They found that the contents of GCG (9.88%) and C
(2.23%) in C. ptilophylla were 7- and 4-time higher than those of C. sinensis, respectively. The GC content
of C. ptilophylla (1.17%) is comparable to that of C. sinensis, while the contents of EGCG, EGC, EC, and
ECG were much lower than those of the latter. In addition, Peng et al. (2008,2011) indicated that the
contents of GCG (7.4–7.6%), C (2.6–3.4%), and GC (1.5–2.7%) in C. ptilophylla were significantly higher
than those of C. sinensis, but its CG content (006-0.1%) was similar to that of the latter. In the study of Li
et al. (2012), they found that the contents of GCG, C, GC, and CG in C. ptilophylla were 8.11%, 3.26%,
1.67%, and 0.35%, respectively. In the present investigation, GCG and C were found the first two dominant
catechin monomers in C. ptilophylla as their contents were as high as 6.3–8.1% and 2.5–3.5% with a
slight difference less than 20%. But the contents of GC (0.5–1.2%) and CG (0.1–0.3%) in different green
teas of C. ptilophylla were much lower with a great fluctuation as high as 80%. It could be concluded
according to the above studies that GCG and C with a steadily high content were the characteristic
catechins of C. ptilophylla. Fukui et al. (2005)first found the two special tea polyphenols, GC-3,5-diGA and 1,2,4,6-GA-glc, in the
extract of C. ptilophylla with a content of 0.3% and 0.5%, respectively(Kurihara et al. 2006). On this basis,
our previous study further confirmed the stronger antioxidant potentials of GC-3,5-diGA and 1,2,4,6-GA-glc
purified from the ethanol/ethyl acetate extract of C. ptilophylla compared to GCG via the in vitro cell lines,
indicating that these two special polyphenols were key bioactive compounds of C. ptilophylla(Kuang et
al. 2020). Thus, we proposed an HPLC-based quantitative method for the above major bioactive
compounds of C. ptilophylla, confirming that GC-3,5-diGA and 1,2 ,4,6-GA-glc were only found in C. ptilophylla with their contents of 0.6–0.9% and 0.5–1.1% but not detected in the six typical Chinese teas
from C. sinensis. These results indicated GC-3,5-diGA and 1,2 ,4,6-GA-glc were also the characteristic
phytochemical markers of C. ptilophylla. Declarations Funding This work was supported by the National Natural Science Foundation of China (grant number
31901652), the Natural Science Foundation of Guangdong Province, China (grant number
2018A030313917, grant number 2022A1515011080), and the Science and Technology Program of
Guangzhou, China (grant number 202102020236). Data Availability The datasets generated and/or analyzed during the current study are available from the
corresponding author on reasonable request. Competing Interests Sihui Ying declares that she has no conflict of interest. Qiuyan Huang declares that
she has no conflict of interest. Sen Lu declares that he has no conflict of interest. Xiong Gao declares that
he has no conflict of interest. Zhongzheng Chen declares that he has no conflict of interest. Yuanyuan
Zhang declares that she has no conflict of interest. Xiaoshan Liu declares that she has no conflict of
interest. Bin Li declares that she has no conflict of interest. Xiaorong Lin declares that she has no conflict
of interest. Ethics Approval and Consent to Participate This article does not contain any studies with human
participants or animals performed by any of the authors. Conclusions In conclusion, an HPLC strategy was developed in this study to quantify 14 bioactive compounds in C. ptilophylla and C. sinensis within 35 min. Based on this method, we verified that the particularity of high
Tb content, high trans-catechins (GCG and C) content, and two special polyphenols of C. ptilophylla was
not observed in the six typical Chinese teas of C. sienensis. Page 9/15 Page 9/15 41:31–39. 9. Kurihara H, Shibata H, Fukui Y et al (2006) Evaluation of the hypolipemic property of Camellia
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teas, Camellia kucha and C. ptilophylla. Int J Food Sci Tech 47:1063–1071. http://doi.org/10.1111/j.1365-2621.2012.02942.x 11. Li K, Shi X, Yang X et al (2012) Antioxidative activities and the chemical constituents of two Chinese
teas, Camellia kucha and C. ptilophylla. Int J Food Sci Tech 47:1063–1071. http://doi.org/10.1111/j.1365-2621.2012.02942.x 12. Li KK, Peng JM, Zhu W et al (2017) Gallocatechin gallate (GCG) inhibits 3T3-L1 differentiation and
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polyphenol monomers from Camellia ptilophylla Chang. Science and Technology of Food Industry 8. Kuang X, Gao X, Lin X et al (2020) Isolation, purification and antioxidant activities of three kinds of
polyphenol monomers from Camellia ptilophylla Chang. Science and Technology of Food Industry Page 10/15 Page 10/15 41:31–39. 41:31–39. Figures Page 11/15 Figure 1 Figure 1 Chemical structure of 14 tea polyphenols and methylxanthines Page 12/15 Page 12/15 Page 12/15 Figure 2
HPLC chromatograms of standards (A), C. ptilophylla (B), and C. sinensis(C)
Peak 1-14 denoted orderly as GA, Tb, Tp, GC, Caf, EGC, C, EC, EGCG, GCG, ECG,
3 5 diGA Figure 3 Standard curves of 14 bioactive compounds Standard curves of 14 bioactive compounds (A) for GA, Tb, Tp, and Caf ranges from 1.25 μg/mL to 40 μg/mL; (B) for CG, ECG, 1,2,4,6-GA-glc, and GC-
3,5-diGA of 5-160 μg/mL; (C) for C, EC, GCG, EGCG of 5-160 μg/mL; (D) for GC and EGC from 10 μg/mL to
320 μg/mL. (A) for GA, Tb, Tp, and Caf ranges from 1.25 μg/mL to 40 μg/mL; (B) for CG, ECG, 1,2,4,6-GA-glc, and GC-
3,5-diGA of 5-160 μg/mL; (C) for C, EC, GCG, EGCG of 5-160 μg/mL; (D) for GC and EGC from 10 μg/mL to
320 μg/mL. Figure 4 Percentage of 14 bioactive compounds in total water extracts of green tea from C. ptilophylla and six
typical teas from C. sineneis Page 14/15 Figure 2 Figure 2 HPLC chromatograms of standards (A), C. ptilophylla (B), and C. sinensis(C) Peak 1-14 denoted orderly as GA, Tb, Tp, GC, Caf, EGC, C, EC, EGCG, GCG, ECG, 1,2,4,6-GA-glc, CG, and GC- Peak 1-14 denoted orderly as GA, Tb, Tp, GC, Caf, EGC, C, EC, EGCG, GCG, ECG, 1,2,4,6-GA-glc, CG, and GC-
3,5-diGA. Page 13/15 Page 13/15 Page 13/15 Figure 3
Standard curves of 14 bioactive compounds
(A) for GA, Tb, Tp, and Caf ranges from 1.25 μg/mL to 40 μg/mL; (B) for CG, ECG, 1,2,4,6-GA-glc, and GC-
3,5-diGA of 5-160 μg/mL; (C) for C, EC, GCG, EGCG of 5-160 μg/mL; (D) for GC and EGC from 10 μg/mL to
320 μg/mL. Page 14/15 Page 14/15 Figure 5 Differences in the content of 14 bioactive compounds in different green teas from C. ptilophylla Differences in the content of 14 bioactive compounds in different green teas from C. ptilophylla Page 15/15
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| ERROR: type should be string, got "https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. Soil carbon loss in warmed subarctic grasslands is rapid and\nrestricted to topsoil Niel Verbrigghe1, Niki I. W. Leblans1,2, Bjarni D. Sigurdsson3, Sara Vicca1, Chao Fang1,4,5,\nLucia Fuchslueger1,6, Jennifer L. Soong1,7, James T. Weedon8, Christopher Poeplau9,\nCristina Ariza-Carricondo1, Michael Bahn10, Bertrand Guenet11, Per Gundersen12, Gunnhildur E. Gunnarsdóttir13, Thomas Kätterer14, Zhanfeng Liu15, Marja Maljanen16, Sara Marañón-Jiménez17,18,\nKathiravan Meeran10, Edda S. Oddsdóttir19, Ivika Ostonen20, Josep Peñuelas17,18, Andreas Richter6,21,\nJordi Sardans17,18, Páll Sigurðsson3, Margaret S. Torn22, Peter M. Van Bodegom23, Erik Verbruggen1,\nTom W. N. Walker24, Håkan Wallander25, and Ivan A. Janssens1 Niel Verbrigghe1, Niki I. W. Leblans1,2, Bjarni D. Sigurdsson3, Sara Vicca1, Chao Fang1,4,5, 1Research Group Plants and Ecosystems, University of Antwerp, Antwerp, Belgium. 2 2Climate Impacts Research Centre, Umeå University, Umeå, Sweden. 3Agricultural University of Iceland, Hvanneyri, Borgarnes, Iceland. 4Institute of Ecology, School of Applied Meteorology, Nanjing University of Information Science and Technology, Nanjing,\nChina. 4Institute of Ecology, School of Applied Meteorology, Nanjing University of Information Science and Technology, Nanjing,\nChina. 5State Key Laboratory of Grassland Agro-ecosystems, Institute of Arid Agroecology, School of Life Sciences, Lanzhou 5State Key Laboratory of Grassland Agro-ecosystems, Institute of Arid Agroecology, School of Life Sciences, Lanzhou\nUniversity, Lanzhou, China 5State Key Laboratory of Grassland Agro-ecosystems, Institute of Arid Agroecology, School of Life Sciences, Lanzhou\nUniversity, Lanzhou, China. y\n6Centre for Microbiology and Environmental Systems Science, University of Vienna, Vienna, Austria 6Centre for Microbiology and Environmental Systems Science, University of Vienna, Vienna, Au 7Soil and Crop Sciences Department, Colorado State University, Fort Collins, Colorado, USA. p\np\ny\n8Systems Ecology, Department of Ecological Science, Vrije Universiteit Amsterdam, Amsterdam, The Netherlands. 9 Department of Ecological Science, Vrije Universiteit Amsterdam, Amsterdam, The Netherlands. 8Systems Ecology, Department of Ecological Science, Vrije Universiteit Amsterdam, Amsterdam 9Thünen Institute of Climate-Smart Agriculture, Braunschweig, Germany 10Department of Ecology, University of Innsbruck, Innsbruck, Austria. 11Laboratoire de Géologie, École normale supérieure/CNRS, PSL Research University, Paris, France. Laboratoire de Géologie, École normale supérieure/CNRS, PSL Research University, Paris, France 12Department of Geosciences and Natural Resource Management, University of Copenhagen, Frederiksberg C, Denmark. 13Soil Conservation Service of Iceland, Gunnarsholt, Hella, Iceland. 14 Department of Geosciences and Natural Resource Management, University of Copenhagen, Frederi Department of Geosciences and Natural Resource Management, University of Copenhagen, Frederiksberg C, Denmark. 13Soil Conservation Service of Iceland, Gunnarsholt, Hella, Iceland. p\ng\ny\np\ng\ng\n13Soil Conservation Service of Iceland, Gunnarsholt, Hella, Iceland. 13Soil Conservation Service of Iceland, Gunnarsholt, Hella, Iceland. Department of Ecology, Swedish University of Agricultural Sciences, Uppsala, Sweden. Correspondence: Niel Verbrigghe (Niel.Verbrigghe@UAntwerpen.be) Soil carbon loss in warmed subarctic grasslands is rapid and\nrestricted to topsoil This rapid equilibration of SOC\nobserved in Andosol suggests a critical role for ecosystem adaptations to warming and could imply short-lived soil carbon-\nclimate feedbacks. Our data further revealed that the soil C loss occurred in all aggregate size fractions, and that SOC losses\nonly occurred in topsoil (0-10 cm). SOC stocks in subsoil (10-30 cm), where plant roots were absent, remained unaltered, even after >50 years of warming. The observed depth-dependent warming responses indicate that explicit vertical resolution is a\n10\nprerequisite for global models to accurately project future SOC stocks for this soil type and should be investigated for soils\nwith other mineralogies. after >50 years of warming. The observed depth-dependent warming responses indicate that explicit vertical resolution is a\n10\nprerequisite for global models to accurately project future SOC stocks for this soil type and should be investigated for soils\nwith other mineralogies. Soil carbon loss in warmed subarctic grasslands is rapid and\nrestricted to topsoil 14Department of Ecology, Swedish University of Agricultural Sciences, Uppsala, Sweden. 15Key Laboratory of Vegetation Restoration and Management of Degraded Ecosystems & CAS Engineering Laboratory for\nVegetation Ecosystem Restoration on Islands and Coastal Zones, South China Botanical Garden, Chinese Academy of\nSciences, Guangzhou, China. partment of Environmental and Biological Sciences, University of Eastern Finland, Kuopio, Finland 17CREAF, Cerdanyola del Vallès, Barcelona, Catalonia, Spain. 18CSIC, Global Ecology Unit CREAF-CSIC-UAB, Bellaterra, Barcelona, Spain. 19Icelandic Forest Research, Mógilsá, Reykjavík, Iceland. 20Institute of Ecology and Earth Sciences, University of Tartu, Tartu, Estonia 21International Institute for Applied Systems Analysis (IIASA), Laxenburg, Austria. 22Climate and Ecosystem Sciences Division, Berkeley Lab, Berkeley, CA, USA. 23Environmental Biology Department, Institute of Environmental Sciences, CML, Leiden University, Leiden, The\nNetherlands. 23Environmental Biology Department, Institute of Environmental Sciences, CML, Leiden University, Leiden, The\nNetherlands. 24Department of Environmental Systems Science, ETH Zürich, Zürich, Switzerland. 25MEMEG, Department of Biology, Lund University, Lund, Sweden. Correspondence: Niel Verbrigghe (Niel.Verbrigghe@UAntwerpen.be) Correspondence: Niel Verbrigghe (Niel.Verbrigghe@UAntwerpen.be) 1 1 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. Abstract. Global warming may lead to carbon transfers from soils to the atmosphere, yet this positive feedback to the cli-\nmate system remains highly uncertain, especially in subsoils (Ilyina and Friedlingstein, 2016; Shi et al., 2018). Using natural\ngeothermal soil warming gradients of up to +6.4 ◦C in subarctic grasslands (Sigurdsson et al., 2016), we show that soil organic\ncarbon (SOC) stocks decline strongly and linearly with warming (−2.8 ton ha−1 ◦C−1). Comparison of SOC stock changes following medium-term (5 and 10 years) and long-term (>50 years) warming revealed that all SOC loss occurred within the\n5\nfirst five years of warming, after which continued warming no longer reduced SOC stocks. This rapid equilibration of SOC\nobserved in Andosol suggests a critical role for ecosystem adaptations to warming and could imply short-lived soil carbon-\nclimate feedbacks. Our data further revealed that the soil C loss occurred in all aggregate size fractions, and that SOC losses\nonly occurred in topsoil (0-10 cm). SOC stocks in subsoil (10-30 cm), where plant roots were absent, remained unaltered, even following medium-term (5 and 10 years) and long-term (>50 years) warming revealed that all SOC loss occurred within the\n5\nfirst five years of warming, after which continued warming no longer reduced SOC stocks. 1\nIntroduction Soils store more carbon (C) than the atmosphere and vegetation biomass combined (Batjes, 2 Soils store more carbon (C) than the atmosphere and vegetation biomass combined (Batjes, 2016; Scharlemann et al., 2014). Global warming has been hypothesised to lead to increased soil CO2 emissions that may lead to large reductions in soil organic\n15\ncarbon (SOC) stocks, constituting a positive feedback to the climate system (Davidson and Janssens, 2006; Jenkinson et al.,\n1991). The strength and even sign of this carbon cycle-climate feedback are, however, highly uncertain (Crowther et al., 2016;\nTodd-Brown et al., 2018; van Gestel et al., 2018). Accordingly, the World Climate Research Programme has acknowledged it\nas one of the \"Grand Challenges\" of climate research (Ilyina and Friedlingstein, 2016). 15 In situ soil warming studies provide ideal tools to study the response of soil SOC stocks to warming (Batjes, 2016), yet\n20\nchallenges remain great. First, ecosystem responses to warming may take decades to stabilise (Walker et al., 2020; Melillo\net al., 2017), implying that extrapolations of responses from-, or model parametrisation based on short-term experiments\nmay lead to erroneous estimation of the future evolution of SOC stocks. Second, SOC stock changes are rarely studied in\nsubsoils. The high cost and labour requirements of SOC research, combined with the fact that most biological activity and In situ soil warming studies provide ideal tools to study the response of soil SOC stocks to warming (Batjes, 2016), yet\n20\nchallenges remain great. First, ecosystem responses to warming may take decades to stabilise (Walker et al., 2020; Melillo\net al., 2017), implying that extrapolations of responses from-, or model parametrisation based on short-term experiments\nmay lead to erroneous estimation of the future evolution of SOC stocks. Second, SOC stock changes are rarely studied in\nsubsoils. The high cost and labour requirements of SOC research, combined with the fact that most biological activity and In situ soil warming studies provide ideal tools to study the response of soil SOC stocks to warming (Batjes, 2016), yet\n20\nchallenges remain great. First, ecosystem responses to warming may take decades to stabilise (Walker et al., 2020; Melillo\net al., 2017), implying that extrapolations of responses from-, or model parametrisation based on short-term experiments\nmay lead to erroneous estimation of the future evolution of SOC stocks. Second, SOC stock changes are rarely studied in\nsubsoils. 1\nIntroduction The high cost and labour requirements of SOC research, combined with the fact that most biological activity and SOC mineralisation occur in topsoils, explains why soil biology and ecology, including SOC cycling, are rarely studied below\n25\na depth of 20-30 cm (Yost and Hartemink, 2020). This is a major issue, because more SOC is stored below this threshold\nthan above (Shi et al., 2020) and therefore the carbon cycle-climate feedback does not stop at 20-30 cm depth. Unfortunately,\nthe very few soil warming experiments that also warmed subsoils and quantified SOC stock changes yielded very different\nwarming responses, ranging from declining to increasing subsoil SOC stocks (Soong et al., 2020a; Hanson et al., 2020). SOC mineralisation occur in topsoils, explains why soil biology and ecology, including SOC cycling, are rarely studied below\n25\na depth of 20-30 cm (Yost and Hartemink, 2020). This is a major issue, because more SOC is stored below this threshold\nthan above (Shi et al., 2020) and therefore the carbon cycle-climate feedback does not stop at 20-30 cm depth. Unfortunately,\nthe very few soil warming experiments that also warmed subsoils and quantified SOC stock changes yielded very different\nwarming responses, ranging from declining to increasing subsoil SOC stocks (Soong et al., 2020a; Hanson et al., 2020). SOC mineralisation occur in topsoils, explains why soil biology and ecology, including SOC cycling, are rarely studied below\n25\na depth of 20-30 cm (Yost and Hartemink, 2020). This is a major issue, because more SOC is stored below this threshold\nthan above (Shi et al., 2020) and therefore the carbon cycle-climate feedback does not stop at 20-30 cm depth. Unfortunately,\nthe very few soil warming experiments that also warmed subsoils and quantified SOC stock changes yielded very different\nwarming responses, ranging from declining to increasing subsoil SOC stocks (Soong et al., 2020a; Hanson et al., 2020). To address both these challenges, we determined SOC stock changes along natural geothermal gradients at the ForHot\n30\nresearch site in Iceland (Sigurdsson et al., 2016) encompassing the full warming range projected for Northern regions (up\nto +6.4 ◦C), throughout the topsoil (0-10 cm) and the subsoil (10-30 cm). 1\nIntroduction We further hypothesised similar subsoil and topsoil SOC loss, given that subsoils were exposed to the same\nwarming intensity and duration as topsoils. soils would still be losing SOC over time, while the long-term warmed soils would have reached a new equilibrium at lower\n45\nSOC content. We further hypothesised similar subsoil and topsoil SOC loss, given that subsoils were exposed to the same\nwarming intensity and duration as topsoils. 1\nIntroduction 35\nNext to measuring SOC stocks, we gathered data about soil aggregates, carbon inputs to the soil by plants and arbuscular\nmycorrhizal fungi and carbon flux from topsoil to subsoil. This allowed us to elaborate about the possible mechanisms behind\nSOC stock changes along the warming gradient. The recently warmed grassland we investigated at the ForHot site has been warmed since 2008 when a major earthquake The recently warmed grassland we investigated at the ForHot site has been warmed since 2 The recently warmed grassland we investigated at the ForHot site has been warmed since 2008, when a major earthquake\nshifted geothermal systems to previously unwarmed soils, causing increased temperature in the soil above by radiative heating\n40\n(Halldórsson and Sigbjörnsson, 2009; O’Gorman et al., 2014). In contrast, the long-term warmed grassland had been warmed\nfor at least 45 years at the time of the earthquake in 2008 (Sigurdsson et al., 2016). The soil type on both study sites is Andosol,\nand they are covered by the same grassland type (Sigurdsson et al., 2016). W h\nth\ni\nd th t b\nf th\nl\nti\nf\nt\nt d SOC\nl t\nt\nt\nh\ndi\nt\nd shifted geothermal systems to previously unwarmed soils, causing increased temperature in the soil above by radiative heating\n40\n(Halldórsson and Sigbjörnsson, 2009; O’Gorman et al., 2014). In contrast, the long-term warmed grassland had been warmed\nfor at least 45 years at the time of the earthquake in 2008 (Sigurdsson et al., 2016). The soil type on both study sites is Andosol,\nand they are covered by the same grassland type (Sigurdsson et al., 2016). We hypothesised that because of the slow reaction of protected SOC pools to temperature change, medium-term warmed We hypothesised that because of the slow reaction of protected SOC pools to temperature change, medium-term warmed\nsoils would still be losing SOC over time, while the long-term warmed soils would have reached a new equilibrium at lower\n45\nSOC content. We further hypothesised similar subsoil and topsoil SOC loss, given that subsoils were exposed to the same\nwarming intensity and duration as topsoils. soils would still be losing SOC over time, while the long-term warmed soils would have reached a new equilibrium at lower\n45\nSOC content. 1\nIntroduction We compared topsoil and subsoil SOC dynamics\nalong replicate warming gradients exposed to medium-term (5 and 10 years) and long-term (>50 years, but possibly centuries) To address both these challenges, we determined SOC stock changes along natural geothermal gradients at the ForHot\n30\nresearch site in Iceland (Sigurdsson et al., 2016) encompassing the full warming range projected for Northern regions (up\nto +6.4 ◦C), throughout the topsoil (0-10 cm) and the subsoil (10-30 cm). We compared topsoil and subsoil SOC dynamics\nalong replicate warming gradients exposed to medium-term (5 and 10 years) and long-term (>50 years, but possibly centuries) To address both these challenges, we determined SOC stock changes along natural geothermal gradients at the ForHot\n30\nresearch site in Iceland (Sigurdsson et al., 2016) encompassing the full warming range projected for Northern regions (up\nto +6.4 ◦C), throughout the topsoil (0-10 cm) and the subsoil (10-30 cm). We compared topsoil and subsoil SOC dynamics\nalong replicate warming gradients exposed to medium-term (5 and 10 years) and long-term (>50 years, but possibly centuries) 2 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. warming by sampling permanent study plots twice in a six-year period (2013 and 2018). This enabled us to characterise the warming by sampling permanent study plots twice in a six-year period (2013 and 2018). This enabled us to characterise the\nmagnitude, shape and temporal dynamics of the temperature response of SOC stocks in these northern, non-permafrost, soils. 35\nNext to measuring SOC stocks, we gathered data about soil aggregates, carbon inputs to the soil by plants and arbuscular\nmycorrhizal fungi and carbon flux from topsoil to subsoil. This allowed us to elaborate about the possible mechanisms behind warming by sampling permanent study plots twice in a six-year period (2013 and 2018). This enabled us to characterise the\nmagnitude, shape and temporal dynamics of the temperature response of SOC stocks in these northern, non-permafrost, soils. 35\nNext to measuring SOC stocks, we gathered data about soil aggregates, carbon inputs to the soil by plants and arbuscular\nmycorrhizal fungi and carbon flux from topsoil to subsoil. This allowed us to elaborate about the possible mechanisms behind\nSOC stock changes along the warming gradient. magnitude, shape and temporal dynamics of the temperature response of SOC stocks in these northern, non-permafrost, soils. 2\nLarge, linear and fast topsoil SOC loss Topsoil (0-10 cm; comprising the A horizon and rooting zone) SOC stocks linearly declined by 2 Topsoil (0-10 cm; comprising the A horizon and rooting zone) SOC stocks linearly declined by 2.8 ± 0.5 (± SE) ton SOC ha−1 ◦C−1\nsoil warming (or 8.8 ± 2.1 ◦C−1; both P < 0.001) for mass-corrected SOC stocks (fig. 1a, 2). These topsoil temperature re-\n50\nsponses did not differ between the medium-term and the long-term warmed grassland, i.e., the warming:grassland interaction\nterm was not significant (P = 0.47). This clearly suggests that warming induced SOC losses only during the initial five years of\nexposure and that SOC stocks did not change thereafter. However, several sources of variation such as sampling errors and the large heterogeneity inherent to soils, induced quite soil warming (or 8.8 ± 2.1 ◦C−1; both P < 0.001) for mass-corrected SOC stocks (fig. 1a, 2). These topsoil temperature re-\n50\nsponses did not differ between the medium-term and the long-term warmed grassland, i.e., the warming:grassland interaction\nterm was not significant (P = 0.47). This clearly suggests that warming induced SOC losses only during the initial five years of\nexposure and that SOC stocks did not change thereafter. However, several sources of variation such as sampling errors and the large heterogeneity inherent to soils, induced quite broad uncertainty intervals that reduced the potential to detect statistically significant changes in SOC stocks or in their tempera-\n55\nture response. Hence, to demonstrate that the warming-induced SOC stock loss had indeed stabilised within five years of warm-\ning and did not further loose SOC, we calculated what SOC stock decline could have remained undetected given the variability\nin our samples using a one-sided 95 % confidence interval on the soil warming regression coefficient. This shows that average\nadditional SOC stock losses smaller than 0.88 ton C ha−1 ◦C−1 would not have been detected at p<0.05, implying that in the five year period following the initial warming response (i.e., 2013-2018), annual declines of up to 0.18 ton C ha−1 ◦C−1 year−1 would\n60\nhave remained undetected. In the subsequent time span of >50 years, only changes smaller than 0.018 ton C ha−1 ◦C−1 year−1\nwould have remained undetected, i.e., a rate 30-fold less than the SOC loss observed in the initial 5 years of soil warming. 2\nLarge, linear and fast topsoil SOC loss Also when not corrected for warming-induced density changes, SOC stocks and soil C concentrations declined with warming\n(fig. B1; fig. B2) and did not further decrease after five years of soil warming. In contrast to our hypothesis, our data thus\nrevealed that in topsoil, a stepwise increase in temperature caused a fast SOC stock loss that stabilised within five years of\n65 year period following the initial warming response (i.e., 2013-2018), annual declines of up to 0.18 ton C ha−1 ◦C−1 year−1 would\n60\nhave remained undetected. In the subsequent time span of >50 years, only changes smaller than 0.018 ton C ha−1 ◦C−1 year−1\nwould have remained undetected, i.e., a rate 30-fold less than the SOC loss observed in the initial 5 years of soil warming. Also when not corrected for warming induced density changes SOC stocks and soil C concentrations declined with warming 3 3 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. warming, despite the sustained higher temperatures. Even grasslands that had been warmed at least 55 years exhibited no\nlarger SOC loss than that observed after 5 years of soil warming. warming, despite the sustained higher temperatures. Even grasslands that had been warmed at least 55 years exhibited no\nlarger SOC loss than that observed after 5 years of soil warming. y = −2.8x + 32.1\nR² = 0.29; P < 0.001\na)\nP = 0.63\nb)\nTopsoil\nSubsoil\n0\n1\n2\n3\n4\n5\n10\n20\n30\n40\n50\n10\n20\n30\n40\n50\nSoil warming (°C)\nSOC stock (ton C ha−1)\nYr−grassland\n2013 − LTW\n2013 − MTW\n2018 − LTW\n2018 − MTW\nFigure 1. Soil organic carbon (SOC) stocks (ton C ha−1) along soil warming gradients, a) in the topsoil (0-10 cm) and b) in the subsoil\n(10-30 cm) after a soil mass correction. The regression (solid line; dashed lines represent the 95 % confidence interval; regression details\nprovided in the inset) for medium-term warmed (MTW) and long-term warmed (LTW) grassland (in topsoil) for both 2013 and 2018 were\ncombined, since no soil temperature x warming-duration interaction effect, nor a main effect for warming-duration or sampling year was\nfound. The soil mass correction is visualised in fig. B8. The uncorrected SOC stocks yield qualitatively similar conclusions (fig. B1), as did\nthe C percentage in top- and subsoil (fig. B2). 2\nLarge, linear and fast topsoil SOC loss https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. 0\n5\n10\n>50\n>55\n0−1.4°C\n1.4−2.7°C\n2.7−4.1°C\n4.1−5.5°C\nYears of warming\nSoil warming category\n15\n20\n25\n30\nSOC stocks\n(kg ha−1)\n0−1.4°C\n1.4−2.7°C\n2.7−4.1°C\n4.1−5.5°C\n10\n20\n30\n40\n50\n0\n5\n10\n>50\n>55\nYears of warming\nSOC stock (ton ha−1)\nFigure 2. Warming effect on topsoil (0-10 cm) SOC stocks, as observed during repeated sampling campaigns. Stocks after 5 and 10 years\nof warming are sampled in the medium-term warmed grasslands, stocks after >50 and >55 years in the long-term warmed grasslands. The\ndata at the start of warming is interpolated from the ambient plots in grasslands combined. Soils are divided in four warming categories for\nrepresentation. The colours on the heatmap and the smoother lines are based on a linear regression equation per sampling event. 0\n5\n10\n>50\n>55\n0−1.4°C\n1.4−2.7°C\n2.7−4.1°C\n4.1−5.5°C\nYears of warming\nSoil warming category\n15\n20\n25\n30\nSOC stocks\n(kg ha−1) Years of warming 0−1.4°C\n1.4−2.7°C\n2.7−4.1°C\n4.1−5.5°C\n10\n20\n30\n40\n50\n0\n5\n10\n>50\n>55\nYears of warming\nSOC stock (ton ha−1) Years of warming Figure 2. Warming effect on topsoil (0-10 cm) SOC stocks, as observed during repeated sampling campaigns. Stocks after 5 and 10 years\nof warming are sampled in the medium-term warmed grasslands, stocks after >50 and >55 years in the long-term warmed grasslands. The\ndata at the start of warming is interpolated from the ambient plots in grasslands combined. Soils are divided in four warming categories for\nrepresentation. The colours on the heatmap and the smoother lines are based on a linear regression equation per sampling event. Figure 2. Warming effect on topsoil (0-10 cm) SOC stocks, as observed during repeated sampling campaigns. Stocks after 5 and 10 years\nof warming are sampled in the medium-term warmed grasslands, stocks after >50 and >55 years in the long-term warmed grasslands. The\ndata at the start of warming is interpolated from the ambient plots in grasslands combined. Soils are divided in four warming categories for\nrepresentation. The colours on the heatmap and the smoother lines are based on a linear regression equation per sampling event. 2\nLarge, linear and fast topsoil SOC loss (n = 78 & 40 for topsoil and subsoil respectively) y = −2.8x + 32.1\nR² = 0.29; P < 0.001\na)\nP = 0.63\nb)\nTopsoil\nSubsoil\n0\n1\n2\n3\n4\n5\n10\n20\n30\n40\n50\n10\n20\n30\n40\n50\nSoil warming (°C)\nSOC stock (ton C ha−1)\nYr−grassland\n2013 − LTW\n2013 − MTW\n2018 − LTW\n2018 − MTW Figure 1. Soil organic carbon (SOC) stocks (ton C ha−1) along soil warming gradients, a) in the topsoil (0-10 cm) and b) in the subsoil\n(10-30 cm) after a soil mass correction. The regression (solid line; dashed lines represent the 95 % confidence interval; regression details\nprovided in the inset) for medium-term warmed (MTW) and long-term warmed (LTW) grassland (in topsoil) for both 2013 and 2018 were\ncombined, since no soil temperature x warming-duration interaction effect, nor a main effect for warming-duration or sampling year was\nfound. The soil mass correction is visualised in fig. B8. The uncorrected SOC stocks yield qualitatively similar conclusions (fig. B1), as did\nthe C percentage in top- and subsoil (fig. B2). (n = 78 & 40 for topsoil and subsoil respectively) Figure 1. Soil organic carbon (SOC) stocks (ton C ha−1) along soil warming gradients, a) in the topsoil (0-10 cm) and b) in the subsoil\n(10-30 cm) after a soil mass correction. The regression (solid line; dashed lines represent the 95 % confidence interval; regression details\nprovided in the inset) for medium-term warmed (MTW) and long-term warmed (LTW) grassland (in topsoil) for both 2013 and 2018 were\ncombined, since no soil temperature x warming-duration interaction effect, nor a main effect for warming-duration or sampling year was\nfound. The soil mass correction is visualised in fig. B8. The uncorrected SOC stocks yield qualitatively similar conclusions (fig. B1), as did\nthe C percentage in top- and subsoil (fig. B2). (n = 78 & 40 for topsoil and subsoil respectively) 4 4 0\n5\n10\n>50\n>55\n0−1.4°C\n1.4−2.7°C\n2.7−4.1°C\n4.1−5.5°C\nYears of warming\nSoil warming category\n15\n20\n25\n30\nSOC stocks\n(kg ha−1)\n0−1.4°C\n1.4−2.7°C\n2.7−4.1°C\n4.1−5.5°C\n10\n20\n30\n40\n50\n0\n5\n10\n>50\n>55\nYears of warming\nSOC stock (ton ha−1)\nFigure 2. Warming effect on topsoil (0-10 cm) SOC stocks, as observed during repeated sampling campaigns. Stocks after 5 and 10 years\nhttps://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. 2\nLarge, linear and fast topsoil SOC loss of warming are sampled in the medium-term warmed grasslands, stocks after >50 and >55 years in the lon\ndata at the start of warming is interpolated from the ambient plots in grasslands combined. Soils are divided\nrepresentation. The colours on the heatmap and the smoother lines are based on a linear regression equation To gain insight in the warming-induced soil physical changes and their effects on SOC stocks, soils were fractionated\ninto different size classes that were analysed separately (see Methods). Aggregate fractionation showed that with increasing o ga\ns g t\nt e wa\ng\nduced so\np ys ca c a ges a d t e\ne ects o\nSOC stoc s, so s we e\nact o ated\ninto different size classes that were analysed separately (see Methods). Aggregate fractionation showed that with increasing\nwarming intensity, the mass of >2 mm fraction declined significantly, in favour of the >250 µm and >63 µm fractions. No\n70\nsignificant change was detected in the mass of the smallest (<63 µm) fraction (fig. 3). Opposed to this contrasting response of\nrelative mass, all soil fractions exhibited similar soil C % declines with soil warming (fig. 3). The relative mass increase of the\nsmaller fractions was compensated for by the soil C % decline, resulting in a stable amount of C in the >250 µm and >63 µm\nfractions. As a result, all of the warming-induced SOC stock decline we observed in the bulk soil, was attributable to C losses\nin the >2 mm fraction. 75 70 5 5 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. MTW\nLTW\nRel. mass (%)\nSoil C (%)\nSoil C (g C 100 g−1 dw soil)\n0\n5\n10\n15\n20 0\n5\n10\n15\n20\n0\n20\n40\n60\n2\n4\n6\n0\n1\n2\n3\n4\nSoil warming (°C)\nFraction\n>2mm\n>250µm\n>63µm\n<63µm\nigure 3. Relative mass, soil C % and absolute soil C amount of soil aggregate fractions originating from topsoil in the medium-term warmed\nMTW) and long-term warmed (LTW) grassland. Darker lines indicate smaller fractions. Fractions significantly affected by soil warming\nre represented with solid lines, non-significant relations upon soil warming are shown with dashed lines. (n = 17 & 16 for each fraction in\nMTW and LTW grassland respectively) MTW\nLTW\nRel. 3\nStable subsoil SOC stocks Higher subsoil than topsoil SOC losses were reported in two forests (Lin et al., 2018;\nSoong et al., 2020a), while unresponsive (this study) subsoil SOC stocks or even increases in subsoil SOC stocks were observed in grasslands (Jia et al., 2019). Further research is needed to unravel the drivers of these contrasting subsoil SOC responses to\n105\nwarming among experiments, which may be related to differences in soil properties, aggregate dynamics or rooting depths. in grasslands (Jia et al., 2019). Further research is needed to unravel the drivers of these contrasting subsoil SOC responses to\n105\nwarming among experiments, which may be related to differences in soil properties, aggregate dynamics or rooting depths. 2\nLarge, linear and fast topsoil SOC loss Aggregate fractionation suggests C % all size\n85\nfractions were impacted similarly by warming (fig. 3). This likely indicates both particulate organic matter, often occluded in\nlarge-size aggregates, and mineral-associated organic matter, present in all aggregate sizes, decreased with warming. affected by more intense (>9 ◦C) long-term warming (Radujkovi´c et al., 2018). Aggregate fractionation suggests C % all size\n85\nfractions were impacted similarly by warming (fig. 3). This likely indicates both particulate organic matter, often occluded in\nlarge-size aggregates, and mineral-associated organic matter, present in all aggregate sizes, decreased with warming. affected by more intense (>9 ◦C) long-term warming (Radujkovi´c et al., 2018). Aggregate fractionation suggests C % all size\n85\nfractions were impacted similarly by warming (fig. 3). This likely indicates both particulate organic matter, often occluded in\nlarge-size aggregates, and mineral-associated organic matter, present in all aggregate sizes, decreased with warming. 2\nLarge, linear and fast topsoil SOC loss mass (%)\nSoil C (%)\nSoil C (g C 100 g−1 dw soil)\n0\n5\n10\n15\n20 0\n5\n10\n15\n20\n0\n20\n40\n60\n2\n4\n6\n0\n1\n2\n3\n4\nSoil warming (°C)\nFraction\n>2mm\n>250µm\n>63µm\n<63µm Soil warming (°C) Figure 3. Relative mass, soil C % and absolute soil C amount of soil aggregate fractions originating from topsoil in the medium-term warmed\n(MTW) and long-term warmed (LTW) grassland. Darker lines indicate smaller fractions. Fractions significantly affected by soil warming\nare represented with solid lines, non-significant relations upon soil warming are shown with dashed lines. (n = 17 & 16 for each fraction in\nMTW and LTW grassland respectively) Figure 3. Relative mass, soil C % and absolute soil C amount of soil aggregate fractions originating from topsoil in the medium-term warmed\n(MTW) and long-term warmed (LTW) grassland. Darker lines indicate smaller fractions. Fractions significantly affected by soil warming\nare represented with solid lines, non-significant relations upon soil warming are shown with dashed lines. (n = 17 & 16 for each fraction in\nMTW and LTW grassland respectively) We suggest that the rapid topsoil SOC loss observed under warming, as well as its attenuation in the medium-term, emerged\nfrom the interplay between soil microbial biomass and activity. Warming at the same study site accelerated microbial growth\nand respiration (Marañón-Jiménez et al., 2018; Walker et al., 2020), which, in the absence of increased plant inputs to soil (fig. B3), caused the initial SOC loss observed here (fig. B1a). In turn, the warming-induced SOC loss caused a decline in micro- 6 6 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. bial biomass, creating a negative feedback on microbial activity that we presume prevented further SOC loss (Walker et al.,\n80\n2018, 2020). Alternatively, ephemeral SOC loss under warming may have resulted from physiological adaptations (Allison\net al., 2010; Bradford et al., 2019) or compositional shifts (Melillo et al., 2017) in the microbial community, but we found\nno evidence this occurred here. Previous research in these grasslands showed that soil microbial carbon use efficiency (CUE)\nremained constant under short- and long-term warming (Walker et al., 2020), and microbial community composition was only g\ng (\n)\ny\np\ny\naffected by more intense (>9 ◦C) long-term warming (Radujkovi´c et al., 2018). 3\nStable subsoil SOC stocks We hypothesised that the similar warming intensity across the soil profile (fig. B4) would elicit similar declines in subsoil\nSOC stocks than those in topsoil. In contrast, SOC remained constant in the subsoil, even under 50 years of soil warming\n90\nin the long-term warmed grasslands (P = 0.63; fig. 1b, 2). This lack of SOC loss from the subsoil may be explained by\nthree, potentially co-occurring mechanisms. First, limited fresh C inputs from litter and root exudates below the rooting zone\n(<10 cm deep; fig. B3) could be a critical factor (Tian et al., 2016) explaining the lack of a positive warming effect on subsoil\ndecomposition, as a plausible positive priming effect often elicited by fresh C inputs would have been restricted to the topsoil. Second, a large fraction of SOC in the topsoil is particulate organic matter protected in aggregates, whereas most subsoil SOC\n95\nis associated with minerals (Fontaine et al., 2007; Rumpel and Kögel-Knabner, 2011). As such, by accelerating mineralisation\nof plant litter that is deposited only in topsoil (Walker et al., 2018), and thereby reducing aggregate stability and breaking\nup macroaggregates (fig. 3) (Poeplau et al., 2020), warming may have had much greater effect on SOC losses in topsoil than\nin subsoil, where mineral protection dominates. Third, although unlikely given the absence of increased dissolved organic C (DOC) with warming in subsoil (fig. B6), it can also not be excluded that SOC stocks in subsoils only appear stable, because\n100\nincreased losses are compensated for by increased inputs from above (Osher et al., 2003). Only very few studies have assessed subsoil SOC stocks responses to deep soil warming, and observed responses differ\nstrongly in magnitude and even direction. Higher subsoil than topsoil SOC losses were reported in two forests (Lin et al., 2018;\nSoong et al., 2020a), while unresponsive (this study) subsoil SOC stocks or even increases in subsoil SOC stocks were observed (DOC) with warming in subsoil (fig. B6), it can also not be excluded that SOC stocks in subsoils only appear stable, because\n100\nincreased losses are compensated for by increased inputs from above (Osher et al., 2003). Only very few studies have assessed subsoil SOC stocks responses to deep soil warming, and observed responses differ\nstrongly in magnitude and even direction. 4\nImplications for carbon-climate feedbacks Earth System Model (ESM) inter-comparison studies (Eyring et al., 2016) have revealed large variability in both contemporary\nglobal SOC stock estimates and future SOC stock projections, underlining the need for empirical observations to better con-\nstrain the response of SOC to temperature change (Nishina et al., 2014). Long-term warming experiments like this study are\n110 110 7 7 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. thus needed to reduce the uncertainty on model projections (Abramoff et al., 2019). Although geothermally active areas offer\nlong-lasting, continuous and large soil temperature gradients and overcome the technical challenges and high costs associated\nwith warming manipulation experiments (Sigurdsson et al., 2016; O’Gorman et al., 2014), their use as a proxy for climate\nchange has some drawbacks of its own, such as limited aboveground warming and a stepwise increase in soil temperature at thus needed to reduce the uncertainty on model projections (Abramoff et al., 2019). Although geothermally active areas offer\nlong-lasting, continuous and large soil temperature gradients and overcome the technical challenges and high costs associated\nwith warming manipulation experiments (Sigurdsson et al., 2016; O’Gorman et al., 2014), their use as a proxy for climate\nchange has some drawbacks of its own, such as limited aboveground warming and a stepwise increase in soil temperature at\nthe initiation of the geothermal gradient (De Boeck et al., 2015). Also the Andosol, covering only ± 0.8 % of the earth’s surface\n115\n(Baillie, 2001), makes that one should be cautious extrapolating the results to the entire sub-arctic region. Nonetheless, this\nsite offers a unique opportunity to study the direct versus long-term response of SOC stocks to temperature change and the\nresults from this study and other deep soil warming experiments clearly indicate that introducing vertically resolved plant- and\nmicrobial dynamics in ESMs is a necessity for more accurate projections of the carbon-climate feedback. the initiation of the geothermal gradient (De Boeck et al., 2015). Also the Andosol, covering only ± 0.8 % of the earth’s surface\n115\n(Baillie, 2001), makes that one should be cautious extrapolating the results to the entire sub-arctic region. 4\nImplications for carbon-climate feedbacks Nonetheless, this\nsite offers a unique opportunity to study the direct versus long-term response of SOC stocks to temperature change and the\nresults from this study and other deep soil warming experiments clearly indicate that introducing vertically resolved plant- and\nmicrobial dynamics in ESMs is a necessity for more accurate projections of the carbon-climate feedback. the initiation of the geothermal gradient (De Boeck et al., 2015). Also the Andosol, covering only ± 0.8 % of the earth’s surface\n115\n(Baillie, 2001), makes that one should be cautious extrapolating the results to the entire sub-arctic region. Nonetheless, this\nsite offers a unique opportunity to study the direct versus long-term response of SOC stocks to temperature change and the\nresults from this study and other deep soil warming experiments clearly indicate that introducing vertically resolved plant- and\nmicrobial dynamics in ESMs is a necessity for more accurate projections of the carbon-climate feedback. In conclusion, warming caused a large but rapidly equilibrating SOC loss in the topsoil that increased linearly with warming\n120\nintensity, while no SOC loss was observed in the subsoil in our subarctic grasslands exposed to decades of soil warming. Future work should focus on understanding whether these observed temporal dynamics are consistent throughout the northern\nnon-permafrost region. Improved understanding of the variation in subsoil SOC responses to warming is also critical for\nconstraining Earth System Models and obtaining reliable climate projections. In conclusion, warming caused a large but rapidly equilibrating SOC loss in the topsoil that increased linearly with warming\n120\nintensity, while no SOC loss was observed in the subsoil in our subarctic grasslands exposed to decades of soil warming. Future work should focus on understanding whether these observed temporal dynamics are consistent throughout the northern\nnon-permafrost region. Improved understanding of the variation in subsoil SOC responses to warming is also critical for\nconstraining Earth System Models and obtaining reliable climate projections. 8 8 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. Appendix A: Material and methods\n125\nThis study was conducted at the ForHot research site, located in the Hengill geothermal area, 40 km east of Reykjavík, Iceland\n(64°00’01\" N, 21°11’09\" W; 100 – 225 m a.s.l. (Sigurdsson et al., 2016). Appendix A: Material and methods\n125 First in these soils, the A horizon that is enriched with SOC is maximum 10 cm deep (Arnalds,\n2015). Second, 95.7 ± 0.4 (SE) % of the fine root biomass sampled in the top 30 cm layer, was found in upper 10 cm (fig. B5). Third bulk density in subsoil is significantly higher than in topsoil (P < 0 001) (fig B7)\n135 Third, bulk density in subsoil is significantly higher than in topsoil (P < 0.001) (fig. B7). 135\nThe site comprises two areas that have been subjected to geothermal soil warming for different periods of time (Sigurdsson\net al., 2016). One area (hereafter “medium-term warmed grassland”) has been warmed since May 2008, when a large earthquake\nshifted geothermal systems to previously unwarmed soils. The second area (2.5 km North-east from the first area; hereafter\n“long-term warmed grassland”) was already mentioned to be warmed in the early 18th century (Magnússon and Vídalín, 1708) y\ng\ny\ng\np\ng\nThe site comprises two areas that have been subjected to geothermal soil warming for different periods of time (Sigurdsson\net al., 2016). One area (hereafter “medium-term warmed grassland”) has been warmed since May 2008, when a large earthquake\nshifted geothermal systems to previously unwarmed soils. The second area (2.5 km North-east from the first area; hereafter\n“long-term warmed grassland”) was already mentioned to be warmed in the early 18th century (Magnússon and Vídalín, 1708) and has thus likely been warmed for centuries. For sure, the warming was registered in a census during the 1960s, and no change\n140\nin the location of the hotspots has been recorded during the past 50 years (Kristján Sæmundsson, personal communication). The soil warming increment at both sites is relatively constant throughout the year and extreme deviations are rare (Sigurdsson\net al., 2016). Soil warming is caused by horizontal heat conduction through the soil, causing fairly homogeneous warming with\ndepth and inducing a fairly natural temperature depth profile (fig. B4). This homogeneous soil warming is in line with CMIP5 predictions of rapid transfer of the temperature signal from air to shallow and deeper soils (Soong et al., 2020b). The geothermal\n145\nwater is confined within the bedrock and no signs of soil contamination by geothermal byproducts have been found (Shi et al.,\n2020). Appendix A: Material and methods\n125 This study was conducted at the ForHot research site, located in the Hengill geothermal area, 40 km east of Reykjavík, Iceland\n(64°00’01\" N, 21°11’09\" W; 100 – 225 m a.s.l. (Sigurdsson et al., 2016). The mean annual temperature between 2006 and 2016\nwas 5.2 ± 0.1 (± SE) °C, and mean annual daily minimum and maximum temperatures were 2.2 ± 0.2 (SE) and 8.6 ± 0.2 (±\nSE) °C. The mean annual precipitation during the same period was 1413 ± 57 (± SE) mm (Icelandic Meteorological Office; Eyrarbakki weather station which closed in 2017). The main vegetation type is unmanaged grassland, dominated by Agrostris\n130\ncapillaris, Ranunculus acris and Equisetum pratense and the underlying soil is classified as Brown Andosol (Arnalds, 2015). In this study, we define the 0-10 cm layer as topsoil, and the 10-30 cm layers as subsoil. This subsoil layer strongly differed\nfrom the topsoil in many ways. First in these soils, the A horizon that is enriched with SOC is maximum 10 cm deep (Arnalds,\n2015). Second, 95.7 ± 0.4 (SE) % of the fine root biomass sampled in the top 30 cm layer, was found in upper 10 cm (fig. B5). Eyrarbakki weather station which closed in 2017). The main vegetation type is unmanaged grassland, dominated by Agrostris\n130\ncapillaris, Ranunculus acris and Equisetum pratense and the underlying soil is classified as Brown Andosol (Arnalds, 2015). In this study, we define the 0-10 cm layer as topsoil, and the 10-30 cm layers as subsoil. This subsoil layer strongly differed\nfrom the topsoil in many ways. First in these soils, the A horizon that is enriched with SOC is maximum 10 cm deep (Arnalds,\n2015). Second, 95.7 ± 0.4 (SE) % of the fine root biomass sampled in the top 30 cm layer, was found in upper 10 cm (fig. B5). Third, bulk density in subsoil is significantly higher than in topsoil (P < 0.001) (fig. B7). 135 Eyrarbakki weather station which closed in 2017). The main vegetation type is unmanaged grassland, dominated by Agrostris\n130\ncapillaris, Ranunculus acris and Equisetum pratense and the underlying soil is classified as Brown Andosol (Arnalds, 2015). In this study, we define the 0-10 cm layer as topsoil, and the 10-30 cm layers as subsoil. This subsoil layer strongly differed\nfrom the topsoil in many ways. Appendix A: Material and methods\n125 Soil pH (mean: 5.5 ± 0.1 (SE)) and soil moisture did not show major changes along the soil warming gradients, with\nsoil moisture very rarely approaching the permanent wilting point and no relation between soil temperature and the frequency\nof drought events (Leblans et al., 2017). Further, the plant species composition was very similar between the medium-term and predictions of rapid transfer of the temperature signal from air to shallow and deeper soils (Soong et al., 2020b). The geothermal\n145\nwater is confined within the bedrock and no signs of soil contamination by geothermal byproducts have been found (Shi et al.,\n2020). Soil pH (mean: 5.5 ± 0.1 (SE)) and soil moisture did not show major changes along the soil warming gradients, with\nsoil moisture very rarely approaching the permanent wilting point and no relation between soil temperature and the frequency\nof drought events (Leblans et al., 2017). Further, the plant species composition was very similar between the medium-term and the long term warmed grassland and no drastic changes in dominant plant species occurred up to +6.4 ◦C warming (Leblans\n150\net al., 2017) (which is the RCP8.5 projected annual warming level for high northern latitudes for the year 2100) (IPCC, 2013). More detailed information on the site characteristics can be found in Sigurdsson et al. (2016). We established five replicate transects in each area (the medium-term and the long-term warmed grassland) in 2012, around\ntwo and four geothermal heat sources respectively. In the medium-term warmed grassland, all transects were located on south- the long term warmed grassland and no drastic changes in dominant plant species occurred up to +6.4 ◦C warming (Leblans\n150\net al., 2017) (which is the RCP8.5 projected annual warming level for high northern latitudes for the year 2100) (IPCC, 2013). More detailed information on the site characteristics can be found in Sigurdsson et al. (2016). We established five replicate transects in each area (the medium-term and the long-term warmed grassland) in 2012, around\ntwo and four geothermal heat sources respectively. In the medium-term warmed grassland, all transects were located on south- west facing slopes, three with the geothermal heat source at the bottom of the slope, and two with the geothermal heat source\n155\nat the top, to eliminate effects of topography and downward transport of groundwater and nutrients from introducing a bias\nin the SOC stocks. 4\nImplications for carbon-climate feedbacks The mean annual temperature between 2006 and 2016\nwas 5.2 ± 0.1 (± SE) °C, and mean annual daily minimum and maximum temperatures were 2.2 ± 0.2 (SE) and 8.6 ± 0.2 (±\nSE) °C. The mean annual precipitation during the same period was 1413 ± 57 (± SE) mm (Icelandic Meteorological Office; Appendix A: Material and methods\n125\nThis study was conducted at the ForHot research site, located in the Hengill geothermal area, 40 km east of Reykjavík, Iceland\n(64°00’01\" N, 21°11’09\" W; 100 – 225 m a.s.l. (Sigurdsson et al., 2016). The mean annual temperature between 2006 and 2016\nwas 5.2 ± 0.1 (± SE) °C, and mean annual daily minimum and maximum temperatures were 2.2 ± 0.2 (SE) and 8.6 ± 0.2 (±\nSE) °C. The mean annual precipitation during the same period was 1413 ± 57 (± SE) mm (Icelandic Meteorological Office; Appendix A: Material and methods\n125 In the long-term warmed grassland, all transects were located on level ground. Within the long-term and\nmedium-term warmed grassland, all measurement plots had similar microtopography, soil depth and grazing history. west facing slopes, three with the geothermal heat source at the bottom of the slope, and two with the geothermal heat source\n155\nat the top, to eliminate effects of topography and downward transport of groundwater and nutrients from introducing a bias\nin the SOC stocks. In the long-term warmed grassland, all transects were located on level ground. Within the long-term and\nmedium-term warmed grassland, all measurement plots had similar microtopography, soil depth and grazing history. 9 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. Each transect consists of six 2 x 2 m permanent measurement plots distributed along the soil temperature gradient, including\nunwarmed soil (MAT: 5.7 ± 0.1 ◦C), yielding 60 plots in total. Each 2 x 2 m permanent measurement plot was accompanied by\n160\ntwo adjacent 0.5 x 0.5 m subplots for destructive measurements. Plot-specific soil warming was recorded hourly at 10 cm soil\ndepth using HOBO TidbiT v2 Water Temperature Data Loggers (Onset Computer Corporation, USA). Because the permanent\nplots occurred at different warming intensities in the different transects, we adopted a regression approach (see statistics below). More detailed information on the experimental design is provided in Sigurdsson et al. (2016). In July 2013 and 2018, two 0-10 cm soil cores (corer ø= 5.12 cm) were taken within each subplot. In the medium-term\n165\nwarmed grassland, soils were too shallow to sample deeper, but additional 10-30 cm cores were taken in the long-term warmed\ngrassland. Cores were analysed for: (1) soil C concentrations; (2) pH (topsoil only); (3) soil bulk density (BD); and (4) SOC\nstocks. From the first core we obtained fine roots (<2 mm) and soil particles (>2 mm) (necessary to calculate BD) by washing the In July 2013 and 2018, two 0-10 cm soil cores (corer ø= 5.12 cm) were taken within each subplot. In the medium-term\n165\nwarmed grassland, soils were too shallow to sample deeper, but additional 10-30 cm cores were taken in the long-term warmed\ngrassland. Cores were analysed for: (1) soil C concentrations; (2) pH (topsoil only); (3) soil bulk density (BD); and (4) SOC\nstocks. Appendix A: Material and methods\n125 Further installation details of the lysimeters are described in Edlinger (2016), as well as the sampling procedure. The C-input data for arbuscular mycorrhizae originates from Zhang et al. (2020), where the sampling\n180\nprocedure is described. Aboveground biomass was sampled by placing a 20x40 cm frame on the plot, after which all vegetation\nwas clipped. The samples were taken to the lab and sorted by hand in a grass and moss fraction. Both fractions were dried for\n48 h at 70 ◦C, weighed and milled. The samples were analysed for C concentration (%) by dry combustion (Macro Elemental\nAnalyser, model vario MAX CN, Hanau, Germany). Aggregate fractionation was done in 2018 only. Per plot, a 0-10 cm soil the sampling procedure. The C-input data for arbuscular mycorrhizae originates from Zhang et al. (2020), where the sampling\n180\nprocedure is described. Aboveground biomass was sampled by placing a 20x40 cm frame on the plot, after which all vegetation\nwas clipped. The samples were taken to the lab and sorted by hand in a grass and moss fraction. Both fractions were dried for\n48 h at 70 ◦C, weighed and milled. The samples were analysed for C concentration (%) by dry combustion (Macro Elemental\nAnalyser, model vario MAX CN, Hanau, Germany). Aggregate fractionation was done in 2018 only. Per plot, a 0-10 cm soil the sampling procedure. The C-input data for arbuscular mycorrhizae originates from Zhang et al. (2020), where the sampling\n180\nprocedure is described. Aboveground biomass was sampled by placing a 20x40 cm frame on the plot, after which all vegetation\nwas clipped. The samples were taken to the lab and sorted by hand in a grass and moss fraction. Both fractions were dried for\n48 h at 70 ◦C, weighed and milled. The samples were analysed for C concentration (%) by dry combustion (Macro Elemental\nAnalyser, model vario MAX CN, Hanau, Germany). Aggregate fractionation was done in 2018 only. Per plot, a 0-10 cm soil core was taken (corer ø= 5.12 cm) and dried at room temperature for a some weeks. Stones were removed and aggregates\n185\nlarger than 8 mm were broken up by dry-sieving on a 8 mm soil sieve. The dry-sieved soil was then slaked for 5 min with DI\nwater, after which it was wet-sieved on a 2 mm, 250 µm and 63 µm, to separate into four size fractions. Appendix A: Material and methods\n125 From the first core we obtained fine roots (<2 mm) and soil particles (>2 mm) (necessary to calculate BD) by washing the\ncores over two sieves with mesh sizes 2 mm and 0.5 mm. Roots and >2 mm particles were dried and weighed to gain fine root\n170\nbiomass (g m−2) and the volume of >2 mm particles (g cm−3) was measured by the water displacement method. The second\nsoil core was first dried and weighed (as for aboveground vegetation), and soil was then sieved to obtain soil particles <2 mm\nand split into three aliquots. One aliquot of 2 g was milled (Retsch MM301 Mixer Mill, Haan, Germany) and analysed for\nC concentration (%) by dry combustion (Macro Elemental Analyser, model vario MAX CN, Hanau, Germany). Finally, BD (g cm−3) and SOC stocks (ton ha−1) were calculated according to the approach described in Bárcena et al. (2014). 175\nTo measure dissolved organic matter (DOC), teflon suction cup lysimeters (Prenart Super Quartz, Prenart Equipment Aps,\nFrederiksberg, Denmark) were placed at about 30-40 cm depth in the medium-term and long-term warmed grassland, in Octo-\nber 2014. Samples were taken during summer 2015, 2016 and 2017. The DOC was analysed with a combined Total Organic\nCarbon (Shimadzu, Kyoto, Japan). Further installation details of the lysimeters are described in Edlinger (2016), as well as (g cm−3) and SOC stocks (ton ha−1) were calculated according to the approach described in Bárcena et al. (2014). 175\nTo measure dissolved organic matter (DOC), teflon suction cup lysimeters (Prenart Super Quartz, Prenart Equipment Aps,\nFrederiksberg, Denmark) were placed at about 30-40 cm depth in the medium-term and long-term warmed grassland, in Octo-\nber 2014. Samples were taken during summer 2015, 2016 and 2017. The DOC was analysed with a combined Total Organic\nCarbon (Shimadzu, Kyoto, Japan). Further installation details of the lysimeters are described in Edlinger (2016), as well as (g cm−3) and SOC stocks (ton ha−1) were calculated according to the approach described in Bárcena et al. (2014). 175\nTo measure dissolved organic matter (DOC), teflon suction cup lysimeters (Prenart Super Quartz, Prenart Equipment Aps,\nFrederiksberg, Denmark) were placed at about 30-40 cm depth in the medium-term and long-term warmed grassland, in Octo-\nber 2014. Samples were taken during summer 2015, 2016 and 2017. The DOC was analysed with a combined Total Organic\nCarbon (Shimadzu, Kyoto, Japan). Appendix A: Material and methods\n125 Each fraction was dried\nat 70 ◦C for 72 h, after which all fractions were ground with a ball mill to homogenise and analysed for C concentration (%)\nby dry combustion (Macro Elemental Analyser, model vario MAX CN, Hanau, Germany). Relative mass of the fractions was calculated by dividing the fraction mass by the sum of all fraction masses of initial sample. The absolute soil C-amount of each\n190\nfraction was calculated by multiplying the fraction soil mass per 100 g of dry soil with the soil C % (fig. 3). A soil mass correction of the SOC stocks as described in Ellert and Bettany (1995) was necessary to compare stock changes\nacross the soil warming gradient as soil compaction increased with warming in the upper soil layers (increasing BD; fig. B7), 10 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. implying that soil depths in unwarmed soil corresponded to shallower soil depths at warmer soils. The calculation method is\nexplained in detail in fig. B8. 5 implying that soil depths in unwarmed soil corresponded to shallower soil depths at warmer soils. The calculation method is\nexplained in detail in fig. B8. 195\nThe soil warming dependence of bulk soil SOC stocks (corrected and uncorrected for soil compaction), BD, DOC and soil C\n% were tested with a linear mixed effects model (Pinheiro et al., 2021). Soil warming and warming-duration (medium-term vs. long-term) were included as main effects, while sampling year was used as random effect to account for sampling differences\nand interannual variabilities between the two sampling campaigns. In all cases, criteria for normality and homoscedasticity\nwere met. For all tests, the dataset was reduced to cover only the warming levels captured by the projections for high northern\n200\nlatitudes for the year 2100 (0 – 6.4 ◦C warming) (IPCC, 2013). All tests were performed using R software (R Development\nCore Team, 2011). implying that soil depths in unwarmed soil corresponded to shallower soil depths at warmer soils. The calculation method is\nexplained in detail in fig. B8. 195\nThe soil warming dependence of bulk soil SOC stocks (corrected and uncorrected for soil compaction), BD, DOC and soil C\n% were tested with a linear mixed effects model (Pinheiro et al., 2021). Soil warming and warming-duration (medium-term vs. Appendix A: Material and methods\n125 (n = 78 & 40 for topsoil and subsoil respectively) y = −1.7x + 32.8\nR² = 0.11; P= 0.0037\nP= 0.47\nTopsoil\nSubsoil\n0\n1\n2\n3\n4\n5\n20\n30\n40\n50\n20\n30\n40\n50\nSoil warming (°C)\nSOC stock (ton ha−1)\nYr−grassland\n2013 − LTW\n2013 − MTW\n2018 − LTW\n2018 − MTW P= 0.47\nTopsoil\nSubsoil\n0\n1\n2\n3\n4\n5\n20\n30\n40\n20\n30\n40\n50\nSoil warming (°C)\nSOC stock (ton ha−1)\nYr−grassland\n2013 − LTW\n2013 − MTW\n2018 − LTW\n2018 − MTW P= 0.47\nSubsoil\n0\n1\n2\n3\n4\n5\n20\n30\n40\n50\nSoil warming (°C)\nSOC stock\n2013 − MT\n2018 − LTW\n2018 − MT Figure B1. Reduction of soil organic carbon (SOC) stock with soil warming, a) in the topsoil (0-10 cm); b) in the subsoil (10-30 cm). All soil\nsamples were taken in July 2013 or July 2018. The regression for medium-term warmed (MTW) and long-term warmed (LTW) grassland\n(in topsoil) for both 2013 and 2018 were combined, since no soil temperature x warming-duration interaction effect, nor a main effect for\nwarming-duration was found. Soil warming is expressed relative to ambient soil temperature (both at 10 cm depth). In topsoil, a linear relation\nwas observed, while no significant effect was present in subsoil. The 95 % confidence bounds are shown around the topsoil regression slope. (n = 78 & 40 for topsoil and subsoil respectively) Figure B1. Reduction of soil organic carbon (SOC) stock with soil warming, a) in the topsoil (0-10 cm); b) in the subsoil (10-30 cm). All soil\nsamples were taken in July 2013 or July 2018. The regression for medium-term warmed (MTW) and long-term warmed (LTW) grassland\n(in topsoil) for both 2013 and 2018 were combined, since no soil temperature x warming-duration interaction effect, nor a main effect for\nwarming-duration was found. Soil warming is expressed relative to ambient soil temperature (both at 10 cm depth). In topsoil, a linear relation\nwas observed, while no significant effect was present in subsoil. The 95 % confidence bounds are shown around the topsoil regression slope. (n = 78 & 40 for topsoil and subsoil respectively) Figure B1. Reduction of soil organic carbon (SOC) stock with soil warming, a) in the topsoil (0-10 cm); b) in the subsoil (10-30 cm). Appendix A: Material and methods\n125 long-term) were included as main effects, while sampling year was used as random effect to account for sampling differences\nand interannual variabilities between the two sampling campaigns. In all cases, criteria for normality and homoscedasticity\nwere met. For all tests, the dataset was reduced to cover only the warming levels captured by the projections for high northern\n200\nlatitudes for the year 2100 (0 – 6.4 ◦C warming) (IPCC, 2013). All tests were performed using R software (R Development\nCore Team, 2011). were met. For all tests, the dataset was reduced to cover only the warming levels captured by the projections for high northern\n200\nlatitudes for the year 2100 (0 – 6.4 ◦C warming) (IPCC, 2013). All tests were performed using R software (R Development\nCore Team, 2011). 11 11 Appendix B: Supplementary Appendix B: Supplementary y = −1.7x + 32.8\nR² = 0.11; P= 0.0037\nP= 0.47\nTopsoil\nSubsoil\n0\n1\n2\n3\n4\n5\n20\n30\n40\n50\n20\n30\n40\n50\nSoil warming (°C)\nSOC stock (ton ha−1)\nYr−grassland\n2013 − LTW\n2013 − MTW\n2018 − LTW\n2018 − MTW\nFigure B1. Reduction of soil organic carbon (SOC) stock with soil warming, a) in the topsoil (0-10 cm); b) in the subsoil (10-30 cm). All soil\nsamples were taken in July 2013 or July 2018. The regression for medium-term warmed (MTW) and long-term warmed (LTW) grassland\n(in topsoil) for both 2013 and 2018 were combined, since no soil temperature x warming-duration interaction effect, nor a main effect for\nwarming-duration was found. Soil warming is expressed relative to ambient soil temperature (both at 10 cm depth). In topsoil, a linear relation\nwas observed, while no significant effect was present in subsoil. The 95 % confidence bounds are shown around the topsoil regression slope. Appendix A: Material and methods\n125 (topsoil n = 42 & 40 for MTW and LTW grassland\nrespectively; subsoil n = 40 for LTW grassland) 13 P = 0.2\nP = 0.7\nP = 0.09\nP = 0.6\nP = 0.4\nP = 0.9\nP = 0.9\nP = 0.2\nMTW\nLTW\nAGB\nFine roots\nAMF\nTotal\n1\n2\n3\n4\n5\n0\n1\n2\n3\n4\n5\n0\n4\n8\n12\n4\n8\n12\n16\n0.5\n1.0\n1.5\n2.0\n10\n15\n20\n25\nSoil warming (°C)\nC−input (ton ha−1) P = 0.2\nP = 0.7\nP = 0.09\nP = 0.6\nP = 0.4\nP = 0.9\nP = 0.9\nP = 0.2\nMTW\nLTW\nAGB\nFine roots\nAMF\nTotal\n1\n2\n3\n4\n5\n0\n1\n2\n3\n4\n5\n0\n4\n8\n12\n4\n8\n12\n16\n0.5\n1.0\n1.5\n2.0\n10\n15\n20\n25\nSoil warming (°C)\nC−input (ton ha−1)\nxies for annual soil C-inputs from aboveground biomass (AGB), fine root biomass and arbuscular myco\narmed (MTW) and the long-term warmed (LTW) grasslands. Vascular plant aboveground biomass wa\ninputs; vascular plant fine root biomass for belowground C-inputs and C sequestered by AMF (Cnew;\nnputs by arbuscular mycorrhizae. For the observed soil warming range (0-6.4 ◦C warming), no change\nwere obtained by a linear regression analysis. (n = 20 & 17 for MTW and LTW inputs respectively) P = 0.7\nP = 0.09\nP = 0.6\nP = 0.9\nP = 0.9\nP = 0.2\nGB\nFine roots\nAMF\nTotal\n1\n2\n3\n4\n5\n0\n1\n2\n3\n4\n5\n0\n4\n4\n8\n12\n16\n0.5\n1.0\n1.5\n2.0\n10\n15\n20\n25\nSoil warming (°C)\nC−input (ton ha−1)\nFigure B3. Proxies for annual soil C-inputs from aboveground biomass (AGB), fine root biomass and arbuscular mycorrhizae (AMF) in the\nmedium-term warmed (MTW) and the long-term warmed (LTW) grasslands. Vascular plant aboveground biomass was used as a proxy for\naboveground C-inputs; vascular plant fine root biomass for belowground C-inputs and C sequestered by AMF (Cnew; data from Zhang et al. (2020)) for C-inputs by arbuscular mycorrhizae. For the observed soil warming range (0-6.4 ◦C warming), no change in C-inputs could be\nfound. P-values were obtained by a linear regression analysis. (n = 20 & 17 for MTW and LTW inputs respectively) Soil warming (°C) Figure B3. Appendix A: Material and methods\n125 All soil\nsamples were taken in July 2013 or July 2018. The regression for medium-term warmed (MTW) and long-term warmed (LTW) grassland\n(in topsoil) for both 2013 and 2018 were combined, since no soil temperature x warming-duration interaction effect, nor a main effect for\nwarming-duration was found. Soil warming is expressed relative to ambient soil temperature (both at 10 cm depth). In topsoil, a linear relation\nwas observed, while no significant effect was present in subsoil. The 95 % confidence bounds are shown around the topsoil regression slope. (n = 78 & 40 for topsoil and subsoil respectively) 12 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. y = −0.42x + 5.74\nR² = 0.16; P= 0.0081\ny = −0.49x + 6.72\nR² = 0.6; P= 0.00022\nP= 0.16\nMTW\nLTW\nTopsoil\nSubsoil\n0\n2\n4\n0\n2\n4\n0\n3\n6\n9\n0\n3\n6\n9\nSoil warming (°C)\nSoil C (%)\nYear\n2013\n2018 y = −0.42x + 5.74\nR² = 0.16; P= 0.0081\ny = −0.49x + 6.72\nR² = 0.6; P= 0.00022\nP= 0.16\nMTW\nLTW\nTopsoil\nSubsoil\n0\n2\n4\n0\n2\n4\n0\n3\n6\n9\n0\n3\n6\n9\nSoil warming (°C)\nSoil C (%)\nYear\n2013\n2018\nFigure B2. Percentage of carbon in topsoil and subsoil, for the long-term warmed (LTW) and medium-term warmed (MTW) grassland. The 95 % confidence bounds are shown around the topsoil linear regression slopes. (topsoil n = 42 & 40 for MTW and LTW grassland\nrespectively; subsoil n = 40 for LTW grassland) LTW Figure B2. Percentage of carbon in topsoil and subsoil, for the long-term warmed (LTW) and medium-term warmed (MTW) grassland. The 95 % confidence bounds are shown around the topsoil linear regression slopes. (topsoil n = 42 & 40 for MTW and LTW grassland\nrespectively; subsoil n = 40 for LTW grassland) Figure B2. Percentage of carbon in topsoil and subsoil, for the long-term warmed (LTW) and medium-term warmed (MTW) grassland. The 95 % confidence bounds are shown around the topsoil linear regression slopes. Appendix A: Material and methods\n125 Proxies for annual soil C-inputs from aboveground biomass (AGB), fine root biomass and arbuscular mycorrhizae (AMF) in the\nmedium-term warmed (MTW) and the long-term warmed (LTW) grasslands. Vascular plant aboveground biomass was used as a proxy for\naboveground C-inputs; vascular plant fine root biomass for belowground C-inputs and C sequestered by AMF (Cnew; data from Zhang et al. (2020)) for C-inputs by arbuscular mycorrhizae. For the observed soil warming range (0-6.4 ◦C warming), no change in C-inputs could be\nfound. P-values were obtained by a linear regression analysis. (n = 20 & 17 for MTW and LTW inputs respectively) 14 −5\n−10\n−20\n−30\n−2\n−1\n0\n1\n2\nTemperature difference from 10 cm (°C)\nSoil depth (cm) −5\n−10\n−20\n−30\n−2\n−1\n0\n1\n2\nSoil depth (cm) Temperature difference from 10 cm (°C) Figure B4. Soil warming along the vertical soil profile, based on the reference temperature measured at 10 cm which is used throughout the\npaper. The median temperature is about 1 ◦C higher at 5 cm depth, while being slightly lower at 20 cm and 30 cm depth. Due to the shallow\nsoil in the medium-term warmed grassland, the warming profile is given for the long-term warmed grassland only. 15 topsoil\nsubsoil\nP = 0.8\nP = 0.6\n0\n10\n20\n30\n40\n0\n1\n2\n3\n4\n5\nSoil warming (°C)\nFine root density (mg roots cm−3)\nSoil layer\nTopsoil\nSubsoil\nFigure B5. Fine root density in long-term warmed (LTW) grassland in top-and subsoil sampled in July 2018. For the observed soil warming\nrange (0-6.4 ◦C warming), no change in C-inputs could be found. P-values were obtained by a linear regression analysis. In the top 30 cm\nsoil layer, 95.7 ± 0.4 (SE) % of the fine root biomass was found in upper 10 cm, which is why we define the 0-10 cm layer as topsoil, and\nthe 10-30 cm layer as subsoil. (n = 17 & 15 for topsoil and subsoil respectively)\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. topsoil\nsubsoil\nP = 0.8\nP = 0.6\n0\n10\n20\n30\n40\n0\n1\n2\n3\n4\n5\nSoil\narming (°C)\nFine root density (mg roots cm−3)\nSoil layer\nTopsoil\nSubsoil Figure B5. Fine root density in long-term warmed (LTW) grassland in top-and subsoil sampled in July 2018. Appendix A: Material and methods\n125 For the observed soil warming\nrange (0-6.4 ◦C warming), no change in C-inputs could be found. P-values were obtained by a linear regression analysis. In the top 30 cm\nsoil layer, 95.7 ± 0.4 (SE) % of the fine root biomass was found in upper 10 cm, which is why we define the 0-10 cm layer as topsoil, and\nthe 10-30 cm layer as subsoil. (n = 17 & 15 for topsoil and subsoil respectively) Figure B5. Fine root density in long-term warmed (LTW) grassland in top-and subsoil sampled in July 2018. For the observed soil warming\nrange (0-6.4 ◦C warming), no change in C-inputs could be found. P-values were obtained by a linear regression analysis. In the top 30 cm\nsoil layer, 95.7 ± 0.4 (SE) % of the fine root biomass was found in upper 10 cm, which is why we define the 0-10 cm layer as topsoil, and\nthe 10-30 cm layer as subsoil. (n = 17 & 15 for topsoil and subsoil respectively) Figure B5. Fine root density in long-term warmed (LTW) grassland in top-and subsoil sampled in July 2018. For the observed soil warming\nrange (0-6.4 ◦C warming), no change in C-inputs could be found. P-values were obtained by a linear regression analysis. In the top 30 cm\nsoil layer, 95.7 ± 0.4 (SE) % of the fine root biomass was found in upper 10 cm, which is why we define the 0-10 cm layer as topsoil, and\nthe 10-30 cm layer as subsoil. (n = 17 & 15 for topsoil and subsoil respectively) 16 P = 0.87\nP = 0.8\nMWT\nLTW\n0\n1\n2\n3\n4\n5\n1\n2\n0.0\n0.5\n1.0\n1.5\nSoil warming °C\nDOC (ppm)\nYear\n2015\n2016\n2017\nFigure B6. Dissolved organic carbon (DOC) in medium-term warmed (MTW) and long-term warmed (LTW) grassland during summer 2015,\n2016 and 2017. No DOC change was observed with soil warming in the SWT (P = 0.95), nor in the LTW (P = 0.8), meaning that carbon-inputs\ninto deeper soil layers remained constant over the whole soil temperature gradient. Statistical analysis was done with a linear mixed effects\nmodel with soil warming as explanatory variable and sampling year as a random factor. Criteria for normality and homoscedasticity were\nmet. Appendix A: Material and methods\n125 Dissolved organic carbon was sampled at a approximate depth of 30 cm with Prenart Super Quartz (Prenart, Fredriksberg, Denmark)\nsoil water samplers, installed around 1 October 2014. The samples was always inserted from ‘downslope,’ where the soil was deep enough. Analyses of the samples was done at the IGN Biochemistry Lab, University of Copenhagen. (n = 25 & 29 for MTW and LTW grassland\nrespectively)\nhttps://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. P = 0.87\nP = 0.8\nMWT\nLTW\n0\n1\n2\n3\n4\n5\n1\n2\n0.0\n0.5\n1.0\n1.5\nSoil warming °C\nDOC (ppm)\nYear\n2015\n2016\n2017\nFigure B6. Dissolved organic carbon (DOC) in medium-term warmed (MTW) and long-term warmed (LTW) grassland during summer 2015,\nhttps://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. P = 0.87\nP = 0.8\nMWT\nLTW\n0\n1\n2\n3\n4\n5\n1\n2\n0.0\n0.5\n1.0\n1.5\nSoil warming °C\nDOC (ppm)\nYear\n2015\n2016\n2017\n⃝\n( ) Figure B6. Dissolved organic carbon (DOC) in medium-term warmed (MTW) and long-term warmed (LTW) grassland during summer 2015,\n2016 and 2017. No DOC change was observed with soil warming in the SWT (P = 0.95), nor in the LTW (P = 0.8), meaning that carbon-inputs\ninto deeper soil layers remained constant over the whole soil temperature gradient. Statistical analysis was done with a linear mixed effects\nmodel with soil warming as explanatory variable and sampling year as a random factor. Criteria for normality and homoscedasticity were\nmet. Dissolved organic carbon was sampled at a approximate depth of 30 cm with Prenart Super Quartz (Prenart, Fredriksberg, Denmark)\nsoil water samplers, installed around 1 October 2014. The samples was always inserted from ‘downslope,’ where the soil was deep enough. Analyses of the samples was done at the IGN Biochemistry Lab, University of Copenhagen. (n = 25 & 29 for MTW and LTW grassland\nrespectively) 17 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. Appendix A: Material and methods\n125 y = 0.027x + 0.6\nR² = 0.12; P = 1.5e−03\na)\ny = 0.031x + 0.85\nR² = 0.1; P = 0.0096\nb)\nTopsoil\nSubsoil\n0\n1\n2\n3\n4\n5\n0\n1\n2\n3\n4\n5\n0.4\n0.6\n0.8\n1.0\n1.2\n1.4\nSoil warming (°C)\nBulk density (g cm−3)\nGrassland; Year\nLTW; 2013\nLTW; 2018\nMTW; 2013\nMTW; 2018 Soil warming (°C) Figure B7. Changes in bulk density with soil warming in the long-term warmed (LTW; circles) and the medium-term warmed (MTW;\ntriangles) grassland. Soil warming is expressed relative to ambient soil temperature (at 10 cm depth). Bulk density is separated for the topsoil\n(0-10 cm) and the subsoil (10-30 cm). The regression for medium-term warmed (MTW) and long-term warmed (LTW) grassland (in topsoil)\nfor both 2013 and 2018 were combined, since no soil temperature x warming-duration interaction effect, nor a main effect for warming-\nduration or sampling year was found. The 95 % confidence bounds are shown around the regression slopes. (n = 78 & 40 for topsoil and\nsubsoil respectively) 18 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. Figure B8. Soil mass correction. Due to significant soil compaction (increasing bulk density (BD)) with increasing soil temperature in\nthe upper soil layers (fig. B7), a certain soil depth in unwarmed soil corresponds to ever shallower soil depths at warmer soil temperatures. Therefore, the SOC stocks were corrected for soil compaction, i.e., the corrected SOC stocks were calculated on the same mass of soil. Figure B8. Soil mass correction. Due to significant soil compaction (increasing bulk density (BD)) with increasing soil temperature in\nthe upper soil layers (fig. B7), a certain soil depth in unwarmed soil corresponds to ever shallower soil depths at warmer soil temperatures. Therefore, the SOC stocks were corrected for soil compaction, i.e., the corrected SOC stocks were calculated on the same mass of soil. For topsoil, we calculated a corrected thickness of a warmed soil layer, corresponding to the same core mass as the the For topsoil, we calculated a corrected thickness of a warmed soil layer, correspond For topsoil, we calculated a corrected thickness of a warmed soil layer, corresponding to the same core mass as the the\nunwarmed soils. Using the ratio of corrected and uncorrected layer thickness, we calculated a corrected SOC stock for the\n205\nwarmed topsoil. Appendix A: Material and methods\n125 For warmed subsoils, we calculated the corrected thickness in the same way as for topsoil, but subtracted a\nsurplus thickness of the above topsoil. The corrected subsoil SOC stock was then calculated as the sum of the surplus topsoil\nSOC stock and the SOC stock in the corrected subsoil layer. The detailed calculation method is shown below. unwarmed soils. Using the ratio of corrected and uncorrected layer thickness, we calculated a corrected SOC stock for the\n205\nwarmed topsoil. For warmed subsoils, we calculated the corrected thickness in the same way as for topsoil, but subtracted a\nsurplus thickness of the above topsoil. The corrected subsoil SOC stock was then calculated as the sum of the surplus topsoil\nSOC stock and the SOC stock in the corrected subsoil layer. The detailed calculation method is shown below. Corrections 0-10cm soil layer First, the corrected soil layer thickness of the 0-10 cm layer (C.Th0−10) was calculated for the\n10 C.Th0−10 = U.Th0−10 × U.BD0−10\nC.BD0−10\n(B1) C.Th0−10 = U.Th0−10 × U.BD0−10\nC.BD0−10\n(B1) C.Th0−10 = U.Th0−10 × U.BD0−10\nC.BD0−10 (B1) Where U.Th0−10 is the uncorrected soil layer thickness of the 0-10 cm layer (10 cm), U.BD0−10 is the uncorrected BD\nof the 0-10 cm layer (which corresponds to the BD at ambient soil temperature) and C.BD0−10 is the measured BD for the\n0-10 cm layer. Then, the corrected SOC stocks of the 0-10 depth layer (C.SOC0−10) were calculated: C.SOC0−10 = U.SOC0−10 × C.Th0−10\nU.Th0−10\n215 (B2) 19 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. Where U.SOC0−10 is the uncorrected SOC stock in the 0-10 cm depth layer, and C.Th0−10/U.Th0−10 corresponds to the\nproportional thickness of the corrected layer compared to the uncorrected layer. Author contributions. BDS, NIWL, SV, JLS, LF, JTW, HW, PMVB, NV and IAJ designed the study. PG, HW, CF, NIWL, BDS, IAJ, SV,\nKVDV, EV, ZFL, SM-J, NV and MM provided the data. All authors contributed substantially to the analysis and the writing of the manuscript. Corrections 10-30 cm soil layer (only applicable to the long-term warmed grassland) First, the thickness of the surplus soil layer from the 0-10 cm layer (S.Th0−10) was calculated: First, the thickness of the surplus soil layer from the 0-10 cm layer (S.Th0−10) was calculated: S.Th0−10 = (U.Th0−10 −C.Th0−10) × U.BD0−10\nC.BD0−10\n220 (B3) S.Th0−10 = (U.Th0−10 −C.Th0−10) × U.BD0−10\nC.BD0−10\n(B3)\n220\nThe second term is a correction factor for the soil compaction of the surplus soil layer. Then, the corrected thickness of the\n10-30 cm soil layer, not yet taking the surplus soil sampled from the 0-10 cm layer (S.Th0−10) into account, (c.Th10−30) was\ncalculated: C.BD0−10 The second term is a correction factor for the soil compaction of the surplus soil layer. Then, the corrected thickness of the\n10-30 cm soil layer, not yet taking the surplus soil sampled from the 0-10 cm layer (S.Th0−10) into account, (c.Th10−30) was\ncalculated: c.Th10−30 = U.Th10−30 × U.BD10−30\nC.BD10−30\n(B4) c.Th10−30 = U.Th10−30 × U.BD10−30\nC.BD10−30 (B4) Where U.Th10−30 is the uncorrected soil layer thickness of the 10-30 cm layer (20 cm), U.BD10−30 is the uncorrected BD\n225\nof the 10-30 cm layer (which corresponds to the BD at ambient soil temperature) and C.BD10−30 is the measured BD for the\n10-30 cm layer. Where U.Th10−30 is the uncorrected soil layer thickness of the 10-30 cm layer (20 cm), U.BD10−30 is the uncorrected BD\n225\nof the 10-30 cm layer (which corresponds to the BD at ambient soil temperature) and C.BD10−30 is the measured BD for the\n10-30 cm layer. Where U.Th10−30 is the uncorrected soil layer thickness of the 10-30 cm layer (20 cm), U.BD10−30 is the uncorrected BD\n225\nof the 10-30 cm layer (which corresponds to the BD at ambient soil temperature) and C.BD10−30 is the measured BD for the\n10-30 cm layer. Subsequently, we took into account the thickness of the surplus soil sampled from the 0-10 cm layer to calculate the final\ncorrected soil thickness of the 10-30 cm soil layer (C.Th10−30). Hence, C.Th10−30 is the part of the 10-30 cm layer that Subsequently, we took into account the thickness of the surplus soil sampled from the 0-10 cm layer to calculate the final\ncorrected soil thickness of the 10-30 cm soil layer (C.Th10−30). Corrections 10-30 cm soil layer (only applicable to the long-term warmed grassland) Hence, C.Th10−30 is the part of the 10-30 cm layer that Subsequently, we took into account the thickness of the surplus soil sampled from the 0-10 cm layer to calculate the final\ncorrected soil thickness of the 10-30 cm soil layer (C.Th10−30). Hence, C.Th10−30 is the part of the 10-30 cm layer that\nremains after (i) correcting for soil compaction and (ii) subtracting the thickness of the surplus soil sampled at the 0-10 cm\n230\nlayer: corrected soil thickness of the 10 30 cm soil layer (C.Th10−30). Hence, C.Th10−30 is the part of the 10 30 cm layer that\nremains after (i) correcting for soil compaction and (ii) subtracting the thickness of the surplus soil sampled at the 0-10 cm\n230\nlayer: remains after (i) correcting for soil compaction and (ii) subtracting the thickness of the surplus soil sampled at the 0-10 cm\n230\nlayer: C.Th10−30 = c.Th10−30 −S.Th0−10 Th10−30 = c.Th10−30 −S.Th0−10 h10−30 −S.Th0−10 (B5) h0−10\n(B5) ected SOC stock for the 10-30 cm layer (C.SOC10−30) was calculated: Subsequently, the corrected SOC stock for the 10-30 cm layer (C.SOC10−30) was calculated: OC stock for the 10-30 cm layer (C.SOC10−30) was calculated: Subsequently, the corrected SOC stock for the 10-30 cm layer (C.SOC10−30) was calculated: Subsequently, the corrected SOC stock for the 10-30 cm layer (C.SOC10−30) was calculated: Subsequently, the corrected SOC stock for the 10-30 cm layer (C.SOC10−30) was calculated: C.SOC10−30 = (U.SOC0−10 −C.SOC0−10) + U.SOC10−30 × C.Th10−30\nU.Th10−30\n(B6) C.SOC10−30 = (U.SOC0−10 −C.SOC0−10) + U.SOC10−30 × C.Th10−30\nU.Th10−30 (B6) Where U.SOC10−30 is the uncorrected SOC stock in the 10-30 cm depth layer, and C.Th10−30/U.Th10−30 corresponds to\n235\nthe proportional thickness of the corrected layer compared to the uncorrected layer. Where U.SOC10−30 is the uncorrected SOC stock in the 10-30 cm depth layer, and C.Th10−30/U.Th10−30 corresponds to\n235\nthe proportional thickness of the corrected layer compared to the uncorrected layer. Where U.SOC10−30 is the uncorrected SOC stock in the 10-30 cm depth layer, and C.Th10−30/U.Th10−30 corresponds to\n35\nthe proportional thickness of the corrected layer compared to the uncorrected layer. Data availability. All data used in this manuscript has been made available on Zenodo. DOI: 10.5281/zenodo.4745479 Data availability. All data used in this manuscript has been made available on Zenodo. DOI: 10.5281/zenodo.4745479 Data availability. All data used in this manuscript has been made available on Zenodo. DOI: 10.5281/zenodo.4745479 Author contributions. Corrections 10-30 cm soil layer (only applicable to the long-term warmed grassland) BDS, NIWL, SV, JLS, LF, JTW, HW, PMVB, NV and IAJ designed the study. PG, HW, CF, NIWL, BDS, IAJ, SV,\nKVDV, EV, ZFL, SM-J, NV and MM provided the data. All authors contributed substantially to the analysis and the writing of the manuscript. Author contributions. BDS, NIWL, SV, JLS, LF, JTW, HW, PMVB, NV and IAJ designed the study. PG, HW, CF, NIWL, BDS, IAJ, SV,\nKVDV, EV, ZFL, SM-J, NV and MM provided the data. All authors contributed substantially to the analysis and the writing of the manuscript. 20 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. Competing interests. The authors declare that they have no conflict of interest. 240 Competing interests. The authors declare that they have no conflict of interest. 240 Competing interests. The authors declare that they have no conflict of interest. 240 Acknowledgements. This research was supported by a joint Fonds Wetenschappelijk Onderzoek Flanders (FWO) and Fonds zur Förderung\nder wissenschaftlichen Forschung (FWF) grant with nos. FWO-G0F2217N & FWF-I-3237, awarded to I.A.J and M.B., the European Re-\nsearch Council Synergy grant 610028 (IMBALANCE-P), and the Research Council of the University of Antwerp (FORHOT TOP-BOF\nproject). This work contributes to the FSC-Sink, CAR-ES and the ClimMani COST Action (ES1308). Reykir - the Icelandic state gardening\nschool, Keldnaholt – the Agricultural University of Iceland and Mogilsá – the Icelandic Forest Research, provided logistical support for\n245\nthe present study. Further, we thank the Lorentz Center in Leiden. We thank Iris Janssens, Jochen Janssens, Inge Van De Putte, Maxime\nSepelie, Jana Vynckier, Alexander Meire, Lieven Michielsen, Freja Dreesen, Sebastien Leys, Elín Gudmundsdóttir, Annemie Vinck, Paul\nLeblans, Kwinten Leblans, Sigvatur, Már Gudmundsson, Elías Óskarsson and Simon Arnar Pálsson for their help in the field. We thank Brita\nBerglund, Baldur Vigfusson, Nadine Calluy, Tom Van Der Spiet, Anne Cools, Marijke Van den Bruel, Els Oosterbos, Saad El-Rawi, Miguel\nPortillo Estrada and Wannes Kiebooms for their assistance with the lab analyses. 250 school, Keldnaholt – the Agricultural University of Iceland and Mogilsá – the Icelandic Forest Research, provided logistical support for\n245\nthe present study. Further, we thank the Lorentz Center in Leiden. Corrections 10-30 cm soil layer (only applicable to the long-term warmed grassland) We thank Iris Janssens, Jochen Janssens, Inge Van De Putte, Maxime\nSepelie, Jana Vynckier, Alexander Meire, Lieven Michielsen, Freja Dreesen, Sebastien Leys, Elín Gudmundsdóttir, Annemie Vinck, Paul\nLeblans, Kwinten Leblans, Sigvatur, Már Gudmundsson, Elías Óskarsson and Simon Arnar Pálsson for their help in the field. 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W.: Field-Warmed Soil Carbon Changes Imply High 21st-Century Modeling Uncertainty,\nBi\ni\n15 3659 3671 2018 https://doi.org/10.1007/s10533-016-0198-4, 2016. Todd-Brown, K. E., Zheng, B., and Crowther, T. References https://doi.org/10.5194/esd 5 197 2014 <https://doi.org/10.5194/esd 5 197 2014>, 2014. 320\nO’Gorman, E. J., Benstead, J. P., Cross, W. F., Friberg, N., Hood, J. M., Johnson, P. W., Sigurdsson, B. D., and Woodward, G.: Climate\nChange and Geothermal Ecosystems: Natural Laboratories, Sentinel Systems, and Future Refugia, Global Change Biology, 20, 3291–\n3299, https://doi.org/10.1111/gcb.12602, 2014. ,\np\ng\ng\n,\nOsher, L. J., Matson, P. A., and Amundson, R.: Effect of Land Use Change on Soil Carbon in Hawaii, Biogeochemistry, 65, 20, 2003. 23 https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. Pinheiro, J., Bates, D., DebRoy, S., Sarkar, D., and R Core Team: nlme: Linear and Nonlinear Mixed Effects Models, https://CRAN.R-project. 325\norg/package=nlme, r package version 3.1-152, 2021. Pinheiro, J., Bates, D., DebRoy, S., Sarkar, D., and R Core Team: nlme: Linear and Nonlinear Mixed Effects Models, https://CRAN.R-project. 325\norg/package=nlme, r package version 3.1-152, 2021. Poeplau, C., Sigurðsson, P., and Sigurdsson, B. D.: Depletion of Soil Carbon and Aggregation after Strong Warming of a Subarctic Andosol\nunder Forest and Grassland Cover, SOIL, 6, 115–129, https://doi.org/10.5194/soil-6-115-2020, 2020. R Development Core Team, R.: R: A Language and Environment for Statistical Computing, R foundation for statistical computing Vienna,\nAustria, 2011. 330\nRadujkovi´c, D., Verbruggen, E., Sigurdsson, B. D., Leblans, N. I., Janssens, I. A., Vicca, S., and Weedon, J. T.: Prolonged Exposure Does\nNot Increase Soil Microbial Community Compositional Response to Warming along Geothermal Gradients, FEMS microbiology ecology,\n94, fix174, 2018. Rumpel, C. and Kögel-Knabner, I.: Deep soil organic matter—a key but poorly understood component of terrestrial C cycle, Plant and soil,\n338 143 158 2011\n335 Poeplau, C., Sigurðsson, P., and Sigurdsson, B. D.: Depletion of Soil Carbon and Aggregation after Strong Warming of a Subarctic Andosol\nunder Forest and Grassland Cover, SOIL, 6, 115–129, https://doi.org/10.5194/soil-6-115-2020, 2020. under Forest and Grassland Cover, SOIL, 6, 115–129, https://doi.org/10.5194/soil-6-115-2020, 2020. R Development Core Team, R.: R: A Language and Environment for Statistical Computing, R foundation for statistical computing Vienna,\nAustria, 2011. 330 R Development Core Team, R.: R: A Language and Environment for Statistical Computing, R foundation for statistical computing Vienna,\nAustria, 2011. 330 Austria, 2011. 330\nRadujkovi´c, D., Verbruggen, E., Sigurdsson, B. D., Leblans, N. I., Janssens, I. A., Vicca, S., and Weedon, J. References T.: Prolonged Exposure Does\nNot Increase Soil Microbial Community Compositional Response to Warming along Geothermal Gradients, FEMS microbiology ecology,\n94, fix174, 2018. Rumpel, C. and Kögel-Knabner, I.: Deep soil organic matter—a key but poorly understood component of terrestrial C cycle, Plant and soil, Radujkovi´c, D., Verbruggen, E., Sigurdsson, B. D., Leblans, N. I., Janssens, I. A., Vicca, S., and Weedon, J. T.: Prolonged Exposure Does\nNot Increase Soil Microbial Community Compositional Response to Warming along Geothermal Gradients, FEMS microbiology ecology,\n94, fix174, 2018. Rumpel, C. and Kögel-Knabner, I.: Deep soil organic matter—a key but poorly understood component of terrestrial C cycle, Plant and soil,\n338, 143–158, 2011. 335 338, 143–158, 2011. 335\nScharlemann, J. P., Tanner, E. V., Hiederer, R., and Kapos, V.: Global Soil Carbon: Understanding and Managing the Largest Terrestrial\nCarbon Pool, Carbon Management, 5, 81–91, https://doi.org/10.4155/cmt.13.77, 2014. Shi, Z., Crowell, S., Luo, Y., and Moore, B.: Model Structures Amplify Uncertainty in Predicted Soil Carbon Responses to Climate Change,\nNature communications, 9, 1–11, 2018. ,\n,\n335\nScharlemann, J. P., Tanner, E. V., Hiederer, R., and Kapos, V.: Global Soil Carbon: Understanding and Managing the Largest Terrestrial\nCarbon Pool, Carbon Management, 5, 81–91, https://doi.org/10.4155/cmt.13.77, 2014. Shi, Z., Crowell, S., Luo, Y., and Moore, B.: Model Structures Amplify Uncertainty in Predicted Soil Carbon Responses to Climate Change,\nNature communications, 9, 1–11, 2018. Shi, Z., Allison, S. D., He, Y., Levine, P. A., Hoyt, A. M., Beem-Miller, J., Zhu, Q., Wieder, W. R., Trumbore, S., and Randerson, J. T.: The\n340\nAge Distribution of Global Soil Carbon Inferred from Radiocarbon Measurements, Nature Geoscience, 4, 1–5, 2020. Sigurdsson, B. D., Leblans, N., Dauwe, S., Guðmundsdóttir, E., Gundersen, P., G Gunnarsdóttir, G. E., Holmstrup, M., Ilieva-Makulec, K.,\nKätterer, T., Marteinsdóttir, B., et al.: Geothermal Ecosystems as Natural Climate Change Experiments: The ForHot Research Site in\nIceland as a Case Study, Icelandic Agricultural Sciences, 29, 53–71, https://doi.org/10.16886/IAS.2016.05, 2016. Shi, Z., Allison, S. D., He, Y., Levine, P. A., Hoyt, A. M., Beem-Miller, J., Zhu, Q., Wieder, W. R., Trumbore, S., and Randerson, J. T.: The\n340\nAge Distribution of Global Soil Carbon Inferred from Radiocarbon Measurements, Nature Geoscience, 4, 1–5, 2020. on of Global Soil Carbon Inferred from Radiocarbon Measurements, Nature Geoscience, 4, 1–5, 2020. Sigurdsson, B. D., Leblans, N., Dauwe, S., Guðmundsdóttir, E., Gundersen, P., G Gunnarsdóttir, G. References W.: Field-Warmed Soil Carbon Changes Imply High 21st-Century Modeling Uncertainty,\nBiogeosciences, 15, 3659–3671, 2018. Todd-Brown, K. E., Zheng, B., and Crowther, T. W.: Field-Warmed Soil Carbon Changes Imply High 21st-Century Modeling Uncertainty,\nBiogeosciences, 15, 3659–3671, 2018. van Gestel, N., Shi, Z., van Groenigen, K. J., Osenberg, C. W., Andresen, L. C., Dukes, J. S., Hovenden, M. J., Luo, Y., Michelsen,\nd ll\ni h\nh\nd\ndi i\nil\nb\ni h\ni\n55\n5 van Gestel, N., Shi, Z., van Groenigen, K. J., Osenberg, C. W., Andresen, L. C., Dukes, J. S., Hovende van Gestel, N., Shi, Z., van Groenigen, K. J., Osenberg, C. W., Andresen, L. C., Dukes, J. S., Hovenden, M. J., Luo, Y., Michelsen,\nA., Pendall, E., Reich, P. B., Schuur, E. A. G., and Hungate, B. A.: Predicting Soil Carbon Loss with Warming, Nature, 554, E4–E5,\n355\nhttps://doi.org/10.1038/nature25745, 2018. ,\n,\n,\n,\ng\n,\n,\ng,\n,\n,\n,\n,\n,\n,\n,\n,\n,\n,\nA., Pendall, E., Reich, P. B., Schuur, E. A. G., and Hungate, B. A.: Predicting Soil Carbon Loss with Warming, Nature, 554, E4–E5,\n355\nhttps://doi.org/10.1038/nature25745, 2018. Walker T W N Kaiser C Strasser F Herbold C W Leblans N I W Woebken D Janssens I A Sigurdsson B D and Richter A : A., Pendall, E., Reich, P. B., Schuur, E. A. G., and Hungate, B. A.: Predicting Soil Carbon Loss with Warming, Nature, 554, E4–E5,\n355\nhttps://doi.org/10.1038/nature25745, 2018. Walker, T. W. N., Kaiser, C., Strasser, F., Herbold, C. W., Leblans, N. I. W., Woebken, D., Janssens, I. A., Sigurdsson, B. D., and Richter, A.:\nMicrobial Temperature Sensitivity and Biomass Change Explain Soil Carbon Loss with Warming, Nature Climate Change, 8, 885–889,\nhttps://doi.org/10.1038/s41558-018-0259-x, 2018. Walker, T. W. N., Kaiser, C., Strasser, F., Herbold, C. W., Leblans, N. I. W., Woebken, D., Janssens, I. A., Sigurdsson, B. D., and Richter, A.:\nMicrobial Temperature Sensitivity and Biomass Change Explain Soil Carbon Loss with Warming, Nature Climate Change, 8, 885–889,\nhttps://doi.org/10.1038/s41558-018-0259-x, 2018. Walker, T. W. N., Janssens, I. A., Weedon, J. T., Sigurdsson, B. D., Richter, A., Peñuelas, J., Leblans, N. I. W., Bahn, M., Bartrons, M.,\n360\nDe Jonge, C., Fuchslueger, L., Gargallo-Garriga, A., Gunnarsdóttir, G. E., Marañón-Jiménez, S., Oddsdóttir, E. S., Ostonen, I., Poeplau,\nC., Prommer, J., Radujkovi´c, D., Sardans, J., Sigurðsson, P., Soong, J. L., Vicca, S., Wallander, H., Ilieva-Makulec, K., and Verbruggen, 24 https://doi.org/10.5194/bg-2021-338\nPreprint. Yost, J. L. and Hartemink, A. E.: How deep is the soil studied–an analysis of four soil science journals, Plant and soil, 452, 5–18, 2020.\n365\nZhang, J., Ekblad, A., Sigurdsson, B. D., and Wallander, H.: The Influence of Soil Warming on Organic Carbon Se-\nquestration of Arbuscular Mycorrhizal Fungi in a Sub-Arctic Grassland, Soil Biology and Biochemistry, 147, 107 826,\nhttps://doi.org/10.1016/j.soilbio.2020.107826, 2020. E.: A Systemic Overreaction to Years versus Decades of Warming in a Subarctic Grassland Ecosystem, Nature Ecology & Evolution, 4,\n101–108, https://doi.org/10.1038/s41559-019-1055-3, 2020.\nYost, J. L. and Hartemink, A. E.: How deep is the soil studied–an analysis of four soil science journals, Plant and soil, 452, 5–18, 2020.\n365\nZhang, J., Ekblad, A., Sigurdsson, B. D., and Wallander, H.: The Influence of Soil Warming on Organic Carbon Se-\nquestration of Arbuscular Mycorrhizal Fungi in a Sub-Arctic Grassland, Soil Biology and Biochemistry, 147, 107 826,\nhttps://doi.org/10.1016/j.soilbio.2020.107826, 2020.\nDOI = 10.5281/zenodo.4745479 E.: A Systemic Overreaction to Years versus Decades of Warming in a Subarctic Grassland Ecosystem, Nature Ecology & Evolution, 4,\n101–108, https://doi.org/10.1038/s41559-019-1055-3, 2020. References Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. https://doi.org/10.5194/bg-2021-338\nPreprint. Discussion started: 5 January 2022\nc⃝Author(s) 2022. CC BY 4.0 License. E.: A Systemic Overreaction to Years versus Decades of Warming in a Subarctic Grassland Ecosystem, Nature Ecology & Evolution, 4,\n101–108, https://doi.org/10.1038/s41559-019-1055-3, 2020. DOI = 10.5281/zenodo.4745479 25"
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https://journals.abcjournal.aosis.co.za/index.php/abc/article/download/1378/1337
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English
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LILIACEAE
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Bothalia
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cc-by
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Aloe pictifolia Hardy, sp. nov. Aloe pictifolia Hardy, sp. nov. gradually narrowing to an acuminate apex; upper
surface flat to channelled especially towards the
apex, glaucous, copiously and regularly white-spotted;
lower surface convex with a toothed keel near the
apex, spotted; margins armed with red-brown, pun
gent teeth up to 1 mm long, 4-5 mm apart, the inter
spaces the same colour as the leaf. Inflorescences 2-4
borne
simultaneously,
simple,
arcuate-ascending;
peduncles 20 cm long, base plano-convex to flattened,
5-7 mm broad with 4-5 sterile, many-nerved, ovate
to broadly-ovate bracts, 7-8 mm broad and tapering
to an abrupt, acute point. Racemes cylindric-acumi-
nate, sublaxly many flowered; 14-17 cm long and
3,5-4 cm diam., the buds spreading obliquely to
horizontally, open flowers nutant; floral bracts
broadly ovate, abruptly tapering to an acute point, 10
mm long, 3-4 mm broad at the base; pedicels 11-12
mm long, red-brown. Perianth scarlet red (R.C.S. 1),
greenish at mouth, cylindric-trigonous, 15-16 mm
long, 3-4 mm diam. near the base, base rounded;
outer segments free to the base, 3-nerved, the nerves
obscure for the greater part of their length, turning
greenish at the apex, apices straight, subacute,
scarcely spreading; inner segments free, whitish-
yellow with thin edges, keel colour of the perianth
for four fifths of its length turning green near the
apex, apices more obtuse and slightly greenish on the
inside. Stamens: filaments white, flattened; anthers
orange, exserted by 1-2 mm. Style filiform, stigma
eventually exserted by 1-2 mm long, 1 mm diam., pale
green. Capsule not seen. Fig s . 13 and 14. Suffrutex ad 30 cm altus, 18 cm diam. Caules
arcuato-ascendentes, ramosi; rami in rosulam folio-
rum terminantes; foliorum bases persistentes. Folia
conferta, basi amplexicaulia, 12-15 cm longa, 1-2,5
cm lata, sensim attenuata apice acuto vel acuminato,
glauca; supra aliquantum plana, versus apicem
canaliculata, copiose et regulatim albo-maculata;
subtus convex carina prope apicem dentata, albo-
maculata; margo dentibus pungentibus 1 mm longis
4-5 mm remotis armatus. Inflorescentiae 2-4 simul-
taneae, simplices, arcuato-ascendentes; pedunculi 20
cm longi, basi plano-convexi vel complanati, 5-7 mm
lati,
4-5-bracteati. Racemi
cylindrato-acuminati,
multo-flori, sublaxi, 14-17 cm longi 3,5-4 cm diam.;
alabastra patentia; flori nutantes; bracteae late
ovatae, abrupte acutae, 10 mm longae, basi 3-4 mm
latae; pedicelli 11-12 mm longi. Perianthium scarla-
tinum, ad ostium viride cylindrato-trigonum, 15-16
mm longum, prope basin 3-4 mm diam.; basis
rotundata;
segmenta ad
basin libera. Antherae
aurantiacae, 1-2 mm exsertae. A NEW SPECIES OF ALOE FROM THE HUMANSDORP DISTRICT A NEW SPECIES OF ALOE FROM THE HUMANSDORP DISTRICT gradually narrowing to an acuminate apex; upper
surface flat to channelled especially towards the
apex, glaucous, copiously and regularly white-spotted;
lower surface convex with a toothed keel near the
apex, spotted; margins armed with red-brown, pun
gent teeth up to 1 mm long, 4-5 mm apart, the inter
spaces the same colour as the leaf. Inflorescences 2-4
borne
simultaneously,
simple,
arcuate-ascending;
peduncles 20 cm long, base plano-convex to flattened,
5-7 mm broad with 4-5 sterile, many-nerved, ovate
to broadly-ovate bracts, 7-8 mm broad and tapering
to an abrupt, acute point. Racemes cylindric-acumi-
nate, sublaxly many flowered; 14-17 cm long and
3,5-4 cm diam., the buds spreading obliquely to
horizontally, open flowers nutant; floral bracts
broadly ovate, abruptly tapering to an acute point, 10
mm long, 3-4 mm broad at the base; pedicels 11-12
mm long, red-brown. Perianth scarlet red (R.C.S. 1),
greenish at mouth, cylindric-trigonous, 15-16 mm
long, 3-4 mm diam. near the base, base rounded;
outer segments free to the base, 3-nerved, the nerves
obscure for the greater part of their length, turning
greenish at the apex, apices straight, subacute,
scarcely spreading; inner segments free, whitish-
yellow with thin edges, keel colour of the perianth
for four fifths of its length turning green near the
apex, apices more obtuse and slightly greenish on the
inside. Stamens: filaments white, flattened; anthers
orange, exserted by 1-2 mm. Style filiform, stigma
eventually exserted by 1-2 mm long, 1 mm diam., pale
green. Capsule not seen. Fig s . 13 and 14. Aloe pictifolia Hardy, sp. nov. Ty pe : Cape, Humansdorp District, Patensie area,
Marais sub PRE 32328 (PRE, holotype). Ty pe : Cape, Humansdorp District, Patensie area,
Marais sub PRE 32328 (PRE, holotype). Plants of shrubby growth up to 30 cm tall. Stems
arcuate-ascending, branched from the base, short or up
to 12 cm long, rosettes dividing and subdividing up to
18 cm across; old leaf bases persistent. Leaves crow
ded, basally sheathing-amplexicaul, 12-15 cm long,
suberectly spreading, 1-2,5 cm broad at the base, 63 VARIOUS AUTHORS F i g . 13.—Aloe pictifolia, h a b it. F i g . 13.—Aloe pictifolia, h a b it. F i g . 14.—Aloe pictifolia. One of rosettes with inflorescences. F i g . 14.—Aloe pictifolia. One of rosettes with inflorescences. 64 NOTES ON AFRICAN PLANTS This new species was first collected in 1971 by Mr
G. X. Marais, formerly of Pretoria and now of
Newcastle in Natal, in the Humansdorp District of the
southern Cape. The precise locality has not been
revealed, because it is feared that Aloe enthusiasts
might deplete the natural populations in the veld. This plant has obviously escaped detection until now,
because of its situation in stony, rugged country. The species appears to belong to the series Echinatae
(Humiles), the
imple inflorescence and cylindric-
trigonous perianth being not unlike those of A. krapohliana Marl. In general habit and leaf texture it
is, however, very different: the plant is branched
from the base with narrow, copiously and regularly
spotted leaves. The plant has been called A. pictifolia,
because of its “ painted leaves”. D. S. Ha r d y
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https://openalex.org/W3036283505
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https://www.e3s-conferences.org/10.1051/e3sconf/202017401056/pdf
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English
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Theoretical Background of Quarry Wastewater Filtering Through Filters of Coarse-Grained Blasted Overburden Rocks
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E3S web of conferences
| 2,020
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cc-by
| 4,207
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* Corresponding author: markovso@kuzstu.ru Theoretical Background of Quarry Wastewater
Filtering Through Filters of Coarse-Grained
Blasted Overburden Rocks
Eugene Makridin1, Sergey Markov2,*, Elena Murko2, Yuri Lesin2 , and Mark Hellmer3
1JSC SUEK-Kuzbass, 1 Vasilieva st., Leninsk-Kuznetskiy, Kemerovo region, 652507, Russia
2T.F. Gorbachev Kuzbass State Technical University, 28 Vesennyaya St., Kemerovo, 650000,
Russia
3Imperial College London, SW7 2AZ South Kensington, London, United Kingdom 3Imperial College London, SW7 2AZ South Kensington, London, United Kingdom Abstract. Quarry wastewater is the main pollutant for the surface and
underground natural water bodies during mining operations. Negative
impact is expressed in contamination of natural reservoirs with fine
suspended particles and salt solutions. To reduce the harmful impact of
quarry wastewater they are treated using artificial filtering massifs. Such
massifs are commonly constructed using artificial and natural sorbents. The retention of particles in the filtering layer is the result of two main
processes: the adhesion of fine particles of suspension to the surface of the
particles of the artificial filtering massif and the jamming of coarser
particles in the pores of the filter layer. Simultaneously with the processes
of contaminants capture, the process of contaminants washing out of the
filter array may occur. It occurs when the particle size distribution of the
filter layer is unappropriated and filtration speeds are high, and may be
accompanied by deformation of the filter media. © 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/). E3S Web of Conferences 174, 01056 (2020)
Vth International Innovative Mining Symposium E3S Web of Conferences 174, 01056 (2020)
Vth International Innovative Mining Symposium https://doi.org/10.1051/e3sconf/202017401056 2 Materials and Methods In general, the filtration process is the movement in a porous medium of a liquid carrying
solid and gaseous particles and deforming the soil. In general, the filtration process is the movement in a porous medium of a liquid carrying
solid and gaseous particles and deforming the soil. It is possible to observe uniform and non-uniform filtration deformations. Uniform
filtration deformation is defined as deformation in which the cross-section ω of the
"effective filtration stream" changes only in time, but does not change in coordinate, i.e. . 0
x
Non-uniform filtration deformation is defined as deformation in which the
cross-section of the filtration jet changes both in time and length. The case of "pure" suffosion is an example of uniform filtration deformation, when
along the length of the pore channel evenly detach small particles that no longer precipitate,
and are carried out by the filtration flow outside the boundaries of the considered section of
the porous medium. An example of non-uniform filtration deformation is the case of
suffosion, when fine particles are detach and deposited during the filtration process. In this
case the degree of pore channel filling changes both in time and in coordinate. The same
can be said about the process of siltation or colmation of the porous medium by the
incoming flow with suspended fine particles, when the cross-section of the pore channels
changes in time and along the length of the filtration path. The volume of suspended solids a* carried in a unit of time by the filtration flow will be
a* = η1u
(1) (1) where u – true speed of liquid movement in pore channels; η1 - "reduced" value of solids
flow at u = 1.0. The differential equation of colmation in this case takes the form of u
A
t
x
(2) (2) where A =η1·η2 , η2 – proportionality coefficient. A =η1·η2 , η2 – proportionality coefficient. 1 Introduction When a mine wastewater containing solid suspended particles is filtered, the basic physical
properties of the porous medium – porosity, permeability, water saturation and volume
weight – are changed. These phenomena are called filtration deformations of the soil. Such filtration deformations refer to: Such filtration deformations refer to: - soil colmation or silting – settling in the pores by coarser soil of small particles
transported by a filtration flow. In this case, the permeability of the soil (if it is colmated)
may be significantly reduced and filtration heads may increase, which may cause other
filtration deformations or reduce the stability of slope structures [1]; - mechanical suffosion or the removal of sand particles from coarser soil, or the movement
of fine particles from one part of the soil to another one; and chemical suffocation,
manifested by the dissolution of salts in the soil [2, 3]. Suffosion is a very common type of
filtration deformation, which may occur at the base of dams, in earth dams and in stone
mounts of slopes with high uniformity coefficient of size distribution of the soil; E3S Web of Conferences 174, 01056 (2020)
Vth International Innovative Mining Symposium https://doi.org/10.1051/e3sconf/202017401056 - seepage head, or destruction of an unloaded part of a rock massif. This type of the
filtration deformation usually occurs in sandy soils. Such deformation is accompanied by
increased localized filtration. The weight of the soil itself, the weight of the load suspended
in water, and the adhesion of the soil are impeded to seepage head. Works of K. Tertsagi,
R. N. Davidenkov, B. C. Baumgart, B. C. Istomina, A. A. Nichyporovich and others are
devoted to the problems of prevention such filtration deformations. 2 Materials and Methods Patrashev [4] it was obtained that the value η for
colmation should be about 5-6 and that the smaller particles of suspension will be mainly
carried by filtration flow outside the colmatable soil section. y
It is obtained the expression to determine the average value of the coefficient of
permeability k at a depth of lk after time t (t – duration of the colmation process): (6) 0
2
2
0
,
1
2
k
k
u
t
D
(6) where k0 is the initial value of the coefficient permeability of the colmatured soil; u0 is the
initial true speed of the liquid in the soil pores; D is the average value of the soil pore
diameter; δ is concentration of the suspension. where k0 is the initial value of the coefficient permeability of the colmatured soil; u0 is the
initial true speed of the liquid in the soil pores; D is the average value of the soil pore
diameter; δ is concentration of the suspension. The thickness of the colmated layer of soil lk, to which the given value of average
coefficient of permeability k belongs, is equal to the maximum depth of mass penetration of
suspended particles into the soil. It is expressed in the form of (7) 0
kl
u
t
(7) To determine the time Tk required for soil colmation by particles of a given size (when
the size of the pore in the volume of the colmated soil becomes smaller than the size of
suspended particles, the process of colmation is considered complete), the author gets the
dependence 2
0
2
1
k
D
D
T
u
d
(8) (8) A.N. Patrashev in his studies accepts that the main forces (friction and centrifugal
forces) affecting suspended solid particles in terms of their retention by the porous medium
during filtration are gravity. The latter forces are caused by the curvature of the pore
channels. It should be noted, however, that such assumptions are true for filtration of a suspension
containing fine quartz particles. In the case of filtration of clayey and similar suspensions,
the physical and chemical factor of suspended solids adhesion to soil particles and then to
settled solids appears [5-10]. 2 Materials and Methods Further, on the basis of the Saint-Wennan equation: rther, on the basis of the Saint-Wennan equation: Further, on the basis of the Saint-Wennan equation: 0,
Q
t
x
(3) (3) which expresses the relationship between the change in square ω in time and the change in
fluid flow Q along the length of the flow with unsteady motion, we get the dependence
between the change of porosity in time and the change of filtration speed by length in the
form: which expresses the relationship between the change in square ω in time and the change in
fluid flow Q along the length of the flow with unsteady motion, we get the dependence
between the change of porosity in time and the change of filtration speed by length in the
form: 0,
n
v
t
x
(4) (4) ere n is the porosity of the colmated soil; v is the average filtration rate. id
d h
d l
i
fl
f li
id
i h
d d
lid
h
h where n is the porosity of the colmated soil; v is the average filtration rate. In [4] considered the pressured laminar flow of liquid with suspended solids through
porous media and attempted to determine the dependencies between the main elements of
the flow. The most important in this study can be considered the establishment of a parameter
characterizing the possibility of penetration and retention of suspended solids in the pores
of the soil, determining the value of the coefficient of permeability during the movement of 2 E3S Web of Conferences 174, 01056 (2020) https://doi.org/10.1051/e3sconf/202017401056 Vth International Innovative Mining Symposium the suspension and finding the time required for soil colmation. As the mentioned
parameter the author accepted the ratio of average diameter D of soil pores to the size d of
parts of the suspension: the suspension and finding the time required for soil colmation. As the mentioned
parameter the author accepted the ratio of average diameter D of soil pores to the size d of
parts of the suspension: i
i
i
D
d
(5) (5) i
i
i
D
d
From the experiments of A.N. where V is the filtering speed. where V is the filtering speed. The following general process equation is obtained in private derivatives: The following general process equation is obtained in private derivatives: 2
0
C
C
C
a V
b
x
t
x
t
(12) (12) Equation (12) has an infinite solution series and is difficult to use in practice. By
introducing new independent variables, the equation is transformed into a functional
dependence [11]: Equation (12) has an infinite solution series and is difficult to use in practice. By
introducing new independent variables, the equation is transformed into a functional
dependence [11]: 0
( , ),
C
f x t
C
(13) (13) in which parameters b and a are presented in a criterial form and are compared with
reference materials when testing new filter media. in which parameters b and a are presented in a criterial form and are compared with
reference materials when testing new filter media. A number of researchers believe that there is no detachment of stuck particles from the
soil grains, citing the fact that is not observed removal of stuck particles with the passage of
clean water through the colmated soil. К. Ives [12, 13] offer the equation linking coefficient of permeability with geometrical
characteristics of filter media and sedimentation function: 0(1
)
1
1
,
x
z
y
y
f
(14) (14) where β is the geometric constant characterizing the density of the grain layer packing; δ is
the specific sedimentation of particles in a unit of the layer volume; δy is the limit value of
specific sedimentation corresponding to the layer saturation; x, y, z is the empirical degree
indicators; λ0 is the filtering coefficient at t = 0. 2 Materials and Methods The theory of water filtration through a layer of granular material by D.M. Mints is
most widespread [7, 8]. This theory considers the filtering effect ΔC as the total result of
two processes: 1) the suspended particles concentration decrease ΔC1 due to their adhesion to the grains
of the filter layer; 1) the suspended particles concentration decrease ΔC1 due to their adhesion to the grains
of the filter layer; 2) the suspended particles concentration increase ΔC2 due to filtering water dissipation
of previously adhered particles, i.e. 2) the suspended particles concentration increase ΔC2 due to filtering water dissipation
of previously adhered particles, i.e. 1
2,
C
C
C
(9) (9) where ΔC the amount of suspended solids detained by the filter layer with thickness x in the
time period t. where ΔC the amount of suspended solids detained by the filter layer with thickness x in the
time period t. p
Thus, the filtering kinetics equation is written as p
Thus, the filtering kinetics equation is written as ,
C
b C
a
x
(10) (10) 3 3 E3S Web of Conferences 174, 01056 (2020)
Vth International Innovative Mining Symposium E3S Web of Conferences 174, 01056 (2020) https://doi.org/10.1051/e3sconf/202017401056 E3S Web of Conferences 174, 01056 (2020)
Vth International Innovative Mining Symposium Vth International Innovative Mining Symposium where b and a – filtration parameters that determine the intensity of adhesion and
detachment of particles, respectively, and depend on the conditions of filtration; ρ –
saturation density of the granular layer by sediment. where b and a – filtration parameters that determine the intensity of adhesion and
detachment of particles, respectively, and depend on the conditions of filtration; ρ –
saturation density of the granular layer by sediment. y
g
y
y
The equation of the balance of substances in this case has the form: ,
C
V
t
x
(11) (11) 3 Results and Discussion The total filtration flow rate (and therefore the average filtration rate) was kept constant
by means of a speed regulator and the pressure varied accordingly. Further studies have
shown that the suspension concentration is kept constant during the filtration of the
suspension only when the speed in the pore channels does not change. Concentration will
increase with increasing speed of the suspension, and, conversely, concentration of the
suspension δ will decrease with decreasing speed of the mixture [19]. p
g p
[
]
In Kuzbass quarry wastewaters before the artificial filtering massifs has the following
main pollutants: - suspended solids (containing mineral and coal particles); - soluble salts (sulfates, carbonates, chlorides, nitrates, nitrites entering the water as a res - soluble salts (sulfates, carbonates, chlorides, nitrates, nitrites entering the water as a result
of leaching activated by the infiltration of groundwater and surface water through the
destroyed rocks, as well as the washout of explosion products during drilling and blasting
operations); - soluble salts (sulfates, carbonates, chlorides, nitrates, nitrites entering the water as a result
of leaching activated by the infiltration of groundwater and surface water through the
destroyed rocks, as well as the washout of explosion products during drilling and blasting
operations); - oil products (entering the soils and then into the water during the work of the extraction,
loading and transport equipment). - oil products (entering the soils and then into the water during the work of the extraction,
loading and transport equipment). Waters are subject to biological contamination in the smallest degree during mining. It
contamination is activated when the water is saturated with oxygen and, therefore, the
subsequent active growth of microalgae and aerobic bacteria. The negative impact on the environment of discharged wastewaters from mining
enterprises is the chemical contamination of natural surface waters with salts of heavy
metals, organic substances (oil products), as well as particles of coal and overburden rocks. g
Average concentrations of suspended solids and oil products in Kuzbass wastewaters
are given in the table. Table 1. Content of some contaminants in quarry wastewaters of Kuzbass open pit mines. Table 1. Content of some contaminants in quarry wastewaters of Kuzbass open pit mines. 3 Results and Discussion It is indicated that the mathematical formulas describing the process of particle capture,
allow to calculate the parameters of filtration with a certain degree of accuracy only in the
auto model areas, limited by the condition of the experiment [14] as a result of the analysis
of the current state of the theory of water filtration in granular media. In this case it is
necessary to carry out preliminary experiments to determine the parameters of
technological modeling or correction factors. It is concluded that the creation of a single
filtering theory is a difficult task. It is shown for suspensions occurring in water supply practice the main cause of
suspension particles retention by porous medium is the adhesion of these particles to the
sand particles and to the settled particles of the suspension [15]. Significant experimental work on the study of river water pollution of sand filters was
carried out by Eliassen R. etc. [16-18]. The experiment concepts was as follows. The
experimental rectangular cross section filter with three metal and one glass walls was
arranged vertically. Five piezometers were positioned at the height of the filter to measure
pressure, which also served to sample the moving mixture. The filter was filled with sorted
sand. The initial average porosity of the sand load was 40.8%. River water, containing 4 E3S Web of Conferences 174, 01056 (2020)
Vth International Innovative Mining Symposium https://doi.org/10.1051/e3sconf/202017401056 (after its settling) suspended particles by volume about 0.005%, was passed through the
filter. At the same time, the filter clogging time (and thus the time of experience) was about
100-120 hours. After proper preparation of the filter, samples of the mixture moving in the
filter were taken from all five tubes at different times. During each experience, two or three
microscopic analyses were made to determine the average particle size of the samples
taken. (after its settling) suspended particles by volume about 0.005%, was passed through the
filter. At the same time, the filter clogging time (and thus the time of experience) was about
100-120 hours. After proper preparation of the filter, samples of the mixture moving in the
filter were taken from all five tubes at different times. During each experience, two or three
microscopic analyses were made to determine the average particle size of the samples
taken. Note: The numerator has the mean values and the denominator has the maximum ones. ,
(
)
Vth International Innovative Mining Symposium Special attention should be paid to the cleaning of industrial wastes from oil products. Oil products are one of the most toxic contaminants, the content of which, like suspended
solids, also varies widely. Taking into account the fact that the maximum allowable concentration for petroleum
products for pure water in different regions varies from 0.1 to 1 and more mg / l, and for
waters of fishery this value is 0.05 mg / l, treatment of quarry waste water from those
contaminant is also an actual task [20, 22, 23]. Microelement analysis of industrial effluents was carried out on specific pollutants
the quarry effluents. The content of dissolved calcium salts in water and changes in their concentration
depend in vivo on the equilibrium of carbon salts and carbon dioxide. In very hard waters,
calcium carbonate may be released if the carbon dioxide balance is disturbed and the
concentration of carbon decreases. Analyses have shown that manganese is usually present in water in dissolved form as
divalent ions, and in non-dissolved form as hydroxides of higher oxidation levels. At the initial concentration of manganese 0.42 mg / l (“Kedrovsky” open pit mine) after
purification its amount decreases to 0.27 mg / l. At small concentrations (10-2-10-4 mg / l)
the amounts of arsenic, selenium and fluorine remain constant. Reduction of lead
concentration by 10-3 mg / l and increase of strontium by 0.4-1.1 mg / l have been noted. The data obtained in the laboratory confirm our conclusions about the possibility to
influence the microcomponent and macrocomponent composition of the industrial effluents
as a result of their filtration through the overburden rock massif. The composition of mine water after soaking in it various samples of sandstone and
siltstones showed that the number of macroelements can increase, or decrease or remain
constant depending on the composition of the rock. For example, the number of calcium
cations decreases on all samples, while magnesium increases on three samples of rock and
decreases on one siltstone. The amount of iron ions is constant on three samples (0.5 mg / l), and on the fourth
(siltstone) increased to 2 mg / l. Dependence of macroelement composition of water on
different composition of carbon waste (siltstones, sandstones) can be traced on other
indicators: chlorides, nitrates, carbonates, ammonia, hardness and oxidation [21]. Concentrations of strontium, barium, titanium decrease on all samples. ,
(
)
Vth International Innovative Mining Symposium Concentrations
of aluminium, iron, silicon, copper, nickel, zirconium may decrease or increase with respect
to the original values. 3 Results and Discussion Enterprises (open pit mines)
Pollutants content, milligram per liter (mg / l)
suspended particles
petroleum products
“Kedrovsky”
20.5/67.2
0.42/0.8
“Chernigovets”
73.5/200
0.03/0.08
“Mokhovsky”
316.6/1094
4.82/20
“Krasnobrodsky”, site #1
712/5964
4.36/13
“Krasnobrodsky”, site #2
11.2/65.6
1.5/5
“Krasnobrodsky”, site #3
158.9/3300
2.81/10.2
“Kiselevsky”
93.5/210
8.26/28
“Prokopyevsky”
21.3/254
0.32/2.2
“Krasnogorsky”
36.7/142
0.03/0.07
“Tomusinsky”
979.7/1315.5
0.12/5
“Mezhdurechye”
398/1103.1
1.43/4.0
“Sibirginsky”
71.2/2580
0.02/0.12
“Olzherassky”
47.9/493.5
0.68/7.0
“Zadubrovsky”
23.4/40
0.012/0.012
Mean value (to mean values)
211.74
1.77 5 E3S Web of Conferences 174, 01056 (2020)
Vth International Innovative Mining Symposium https://doi.org/10.1051/e3sconf/202017401056 E3S Web of Conferences 174, 01056 (2020)
Vth International Innovative Mining Symposium References 1. W. R. Knocke, D. L. Wakeland, J Amer Water Works Assoc, 75 (1983) 2. Disorder and Granular Media, edited by D. Bideau and A. Hansen (North-Holand,
Amsterdam, 1993) 3. Granular Matter – An Interdisciplinary Approach, edited by A. Metha (Springer-
Verlag, New York, 1993) 4. A. N. Patrashev, Izv. NIIG, 15 (1935) 4. A. N. Patrashev, Izv. NIIG, 15 (1935) 5. D. M. Minz, Nauch. tr. Akad. kommun. hoz. im. K. D. Panfilova, 4–5 (1949) 6. D. M. Minz, Nauch. tr. Akad. kommun. hoz. im. K. D. Panfilova, 2–3 (1951) 7. D. M. Minz, Dokl. AN SSSR, 72 (1951) 7. D. M. Minz, Dokl. AN SSSR, 72 (1951) 8. D. M. Minz, Teoreticheskie osnovy tekhnologii ochistki vody (Strojizdat, Moscow,
1964) 9. S. Homaeigohar, Nanomaterials 10, 295 (2020) 10. V. Kozachyna, V. Shynkarenko, V. Gabrinets, V. Horiachkin, Scientific Bulletin of
Civil Engineering, 97, 105 (2019), DOI: 10.29295/2311-7257-2019-97-3-105-109 11. D. Yu. Sirota, M. A. Babushkin, Journal of Mining and Geotechnical Engineering, 2, 65
(2018), DOI: 10.26730/2618-7434-2018-2-65-74 12. K. I. Ives, Water Research, 4 (1970) 13. K. I. Ives, J. Inst. Water Eng, 25 (1971) 14. C. Ghilaglia, L. de Arcangelis, J. Hinch, E. Guazzelli, Phys. Rev. E, 53, R3028 (1996 14. C. Ghilaglia, L. de Arcangelis, J. Hinch, E. Guazzelli, Phys. Rev. E, 53, R3028 (1996)
15. D. M. Minz, Dokl. AN SSSR, 72 (1991) 14. C. Ghilaglia, L. de Arcangelis, J. Hinch, E. Guazzelli, Phys. Rev. E, 53, R3028 (1996)
15. D. M. Minz, Dokl. AN SSSR, 72 (1991) 15. D. M. Minz, Dokl. AN SSSR, 72 (1991) 15. D. M. Minz, Dokl. AN SSSR, 72 (1991) 16. R. Eliassen, J. of the Amer. water works Assoc., 33 (2014) 17. A. Mallik, Md. A. Arefin, JMERD, 41, 156 (2018), DOI: 10.7508/JMERD.2018.01.0 18. O. Akuzuo, U. Eunice, I. Cynthia, Waste Water - Evaluation and Management (Intech
Europe, Croatia, 2011). DOI: 10.5772/16001 19. H. I. Abdel-Shafy, M. A. Salem, M. S .M. Mansour, M. A. El-Khateeb, S. H. Abdel-
Shafy, Egyptian J Chem, 61, 1039 (2018), DOI: 10.21608/EJCHEM.2018.3731.1316 20. V. A. Kalashnikov, A. V. Gorbachev, Journal of Mining and Geotechnical Engineering,
3, 56 (2018), DOI: 10.26730/2618-7434-2018-3-56-79 21. O. O. Garshin, Z. A. Startseva, Journal of Mining and Geotechnical Engineering, 2, 33
(2019), DOI: 10.26730/2618-7434-2019-2-33-41 22. M. Tyulenev, S. Markov, E. Makridin, Yu. Lesin, V. Gogolin, E3S Web Conf., 105,
02022 (2019) 23. Yu. Lesin, V. Gogolin, E. Murko, S. Markov, J. 4 Conclusion 1. The existing scheme of quarry wastewaters treatment at the enterprise has both
advantages and disadvantages; taking into account further development of mining works
and potential increase of production capacity, it is necessary to reconstruct treatment
facilities and adjust their parameters. 2. Preliminary assessment of overburden rocks in the “Kamyshansky” open pit shows
that it can be used as an artificial filtering massif load. 2. Preliminary assessment of overburden rocks in the “Kamyshansky” open pit shows
that it can be used as an artificial filtering massif load. 3. The location of the artificial filtering massif prototype with three parallel branches
has been selected to determine the best cleaning performance. It is proposed to use a
reinforced concrete tray, a metal pipe and natural soil as a bedding surface. 4. Geometric parameters of the artificial filtering massif are proposed to be preliminary
determined by the existing methodology, taking into account amendments to the qualitative
and quantitative composition of the quarry wastewaters, as well as physical and mechanical
properties of overburden rocks of the site. 6 6 https://doi.org/10.1051/e3sconf/202017401056 E3S Web of Conferences 174, 01056 (2020) E3S Web of Conferences 174, 01056 (2020)
Vth International Innovative Mining Symposium Vth International Innovative Mining Symposium References Kretschmann, E3S Web Conf., 41,
01039 (2018) 7
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https://openalex.org/W1967441802
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https://discovery.ucl.ac.uk/139710/1/1744-8069-1-24.pdf
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English
| null |
Neuropathic Pain Develops Normally in Mice Lacking both Na<sub>v</sub>1.7 and Na<sub>v</sub>1.8
|
Molecular pain
| 2,005
|
cc-by
| 7,270
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BioMed Central BioMed Central BioMed Central Open Ac
Research
Neuropathic pain develops normally in mice lacking both Nav1.7
and Nav1.8
Mohammed A Nassar, Alessandra Levato, L Caroline Stirling and
John N Wood* Open Access Address: Molecular Nociception Group, and London Pain Consortium, Department of Biology, University College London, Gower Street, WC1E
6BT London UK Address: Molecular Nociception Group, and London Pain Consortium, Department of Biology, University College London, Gower Street, WC1E
6BT, London, UK Email: Mohammed A Nassar - M.nassar@ucl.ac.uk; Alessandra Levato - Alessandra_Levato@yahoo.it; L Caroline Stirling - C.Stirling@ucl.ac.uk;
John N Wood* - J.wood@ucl.ac.uk * Corresponding author * Corresponding author Published: 22 August 2005
Molecular Pain 2005, 1:24
doi:10.1186/1744-8069-1-24
Received: 04 August 2005
Accepted: 22 August 2005
This article is available from: http://www.molecularpain.com/content/1/1/24
© 2005 Nassar 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. Received: 04 August 2005
Accepted: 22 August 2005 This article is available from: http://www.molecularpain.com/content/1/1/24
© 2005 Nassar 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. © 2005 Nassar 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. Abstract Two voltage gated sodium channel α-subunits, Nav1.7 and Nav1.8, are expressed at high levels in
nociceptor terminals and have been implicated in the development of inflammatory pain. Mis-
expression of voltage-gated sodium channels by damaged sensory neurons has also been implicated
in the development of neuropathic pain, but the role of Nav1.7 and Nav1.8 is uncertain. Here we
show that deleting Nav1.7 has no effect on the development of neuropathic pain. Double knockouts
of both Nav1.7 and Nav1.8 also develop normal levels of neuropathic pain, despite a lack of
inflammatory pain symptoms and altered mechanical and thermal acute pain thresholds. These
studies demonstrate that, in contrast to the highly significant role for Nav1.7 in determining
inflammatory pain thresholds, the development of neuropathic pain does not require the presence
of either Nav1.7 or Nav1.8 alone or in combination. of VGSC in humans are significant factors in aetiology of
neuronal diseases [4]. Background g
Voltage gated sodium channels (VGSC) underlie the elec-
trical excitability of nerve and muscle. VGSCs consist of
pore forming α-subunits and auxiliary β-subunits. There
are ten cloned α-subunits and 4 β-subunits. The β-subu-
nits modulate the localisation, expression and functional
properties of α-subunits [1]. Different α-subunits have
distinct electrophysiological and pharmacological proper-
ties [2]. The complex pattern of expression of α-subunits
may imply special roles for particular subunits in different
cell types [3]. Many loss- as well as gain-of-function muta-
tions of α-subunits have been identified in human condi-
tions characterised with epilepsy, seizures, ataxia and
increased sensitivity to pain. This suggests that mutations Nociceptors are a subset of sensory neurons that respond
to noxious thermal, mechanical and chemical stimuli. Nociceptors express multiple subtypes of α-subunits [3]. Tissue and nerve damage leads to changes in expression
and function of α-subunits that in turn can lead to change
in the excitability of sensory neurons. Changes in the
excitability of sensory neurons are thought to underlie
some chronic pain conditions [5,6]. Nav1.8 and Nav1.7
are two α-subunits that are abundant in nociceptive sen-
sory neurons [3,7,8]. Nav1.8 is expressed exclusively in
sensory neurons and is not found in the CNS [9]. Func-
tional characterization of Nav1.8 positive neurons Page 1 of 9
(page number not for citation purposes) Page 1 of 9
(page number not for citation purposes) Molecular Pain 2005, 1:24 http://www.molecularpain.com/content/1/1/24 Generation and genotyping of Nav1.7 and Nav1.8 double
knockout mice
Figure 1
Generation and genotyping of Nav1.7 and Nav1.8
double knockout mice. PCR genotyping of mice gener-
ated by breeding homozygous Nav1.8Cre/heterozygous
floxed Nav1.7 mice with each other (lanes 2, 3, and 4). All
the three groups are Nav1.8 Knockouts, i.e. positive for the
Cre band (249 bp) and negative for the wildtype Nav1.8 band
(460 bp). Mice homozygous for the floxed Nav1.7 allele (461
vs. 317 bp band) are nociceptor-specific Nav1.7 knockout as
well (lane 4). C57BL6 wildtype control is shown in lane 1 and
no DNA negative control is in lane 5. Floxed Nav1.7 band
Wildtype Nav1.7 band
Wildtype Nav1.8 band
Cre band
All Nav1.8 KO
C57BL6
Nav1.7 KO
Negative control
Nav1.7 hetero. Nav1.7 Wildtype Floxed Nav1.7 band
Wildtype Nav1.7 band
Wildtype Nav1.8 band
Cre band
All Nav1.8 KO
C57BL6
Nav1.7 KO
Negative control
Nav1.7 hetero. Nav1.7 Wildtype revealed that more than 85% are nociceptors [8]. Cre band Peripheral nerve injury leads to lowered pain thresholds,
enhanced responsiveness and/or ectopic activity in sen-
sory neurons that ultimately leads to hyperalgesia and
allodynia [5,6]. Changes in expression of α-subunits of
VGSCs have been documented in models of peripheral
nerve injury [5,6]. This has lead to the hypothesis that
modulation of α-subunits in sensory neurons may under-
lie the increased neuronal excitability of sensory neurons
following peripheral nerve injury. Pharmacological block-
ade of sodium channel activity has been shown to attenu-
ate ectopic activity [14,15] and reverse hyperalgesia
following nerve injury [16]. While the role of Nav1.7 in
neuropathic pain remains to be investigated, analysis of a
Nav1.8 knockout mouse indicated that it is not involved
in alteration of pain threshold following peripheral nerve
injury [17]. This is in contrast to the finding of Lai et al
who reported that antisense oligonucleotides directed
against Nav1.8 administered intrathecally completely
reverse neuropathic pain behavior [18]. It is possible that
this discrepancy could be due to the up-regulation of the
Nav1.7 channel seen in the Nav1.8 knockout mouse [12]
which might mask an otherwise important role for Nav1.8
in neuropathic pain. Generation and genotyping of Nav1.7 and Nav1.8 double
knockout mice
Figure 1
Generation and genotyping of Nav1.7 and Nav1.8
double knockout mice. PCR genotyping of mice gener-
ated by breeding homozygous Nav1.8Cre/heterozygous
floxed Nav1.7 mice with each other (lanes 2, 3, and 4). All
the three groups are Nav1.8 Knockouts, i.e. positive for the
Cre band (249 bp) and negative for the wildtype Nav1.8 band
(460 bp). Mice homozygous for the floxed Nav1.7 allele (461
vs. 317 bp band) are nociceptor-specific Nav1.7 knockout as
well (lane 4). C57BL6 wildtype control is shown in lane 1 and
no DNA negative control is in lane 5. Generation and genotyping of Nav1.7 and Nav1.8 double
knockout mice
Figure 1
Generation and genotyping of Nav1.7 and Nav1.8
double knockout mice. PCR genotyping of mice gener-
ated by breeding homozygous Nav1.8Cre/heterozygous
floxed Nav1.7 mice with each other (lanes 2, 3, and 4). All
the three groups are Nav1.8 Knockouts, i.e. positive for the
Cre band (249 bp) and negative for the wildtype Nav1.8 band
(460 bp). Mice homozygous for the floxed Nav1.7 allele (461
vs. 317 bp band) are nociceptor-specific Nav1.7 knockout as
well (lane 4). C57BL6 wildtype control is shown in lane 1 and
no DNA negative control is in lane 5. lethal at P0 [13]. Cre band Therefore, we generated Nav1.7 and
Nav1.8 double-knockout (DKO) mice by exploiting the
fact that the Nav1.8Cre allele has Cre sequence inserted in
exon 1 followed by transcriptional stop signals [19]. Con-
sequently homozygous Nav1.8Cre mice are Nav1.8 global-
knockouts (Nav18 KO) and show no Nav1.8 currents in
sensory neurons [19]. lethal at P0 [13]. Therefore, we generated Nav1.7 and
Nav1.8 double-knockout (DKO) mice by exploiting the
fact that the Nav1.8Cre allele has Cre sequence inserted in
exon 1 followed by transcriptional stop signals [19]. Con-
sequently homozygous Nav1.8Cre mice are Nav1.8 global-
knockouts (Nav18 KO) and show no Nav1.8 currents in
sensory neurons [19]. We compared the DKO strain to the Nav1.8 KO
(homozygous Nav1.8Cre). To obtain the desired strains
we mated mice homozygous for the Nav1.8Cre/hetero-
zygous for floxed Nav1.7 allele with each other. The result-
ing progeny are all Nav1.8 Knockout. However, 25% will
have wildtype Nav1.7 alleles, 50% will be heterozygous
for the floxed Nav1.7 allele and 25% will be homozygous
for the floxed Nav1.7 allele (i.e. DKO) figure 1. In the present study we investigated the role of the Nav1.7
channel in neuropathic pain using nociceptor-specific
deletion of Nav1.7 in mouse. In addition, we readdressed
the role of Nav1.8 in neuropathic pain by generating a
double knockout of Nav1.8 and Nav1.7. We reasoned that
the co-deletion of Nav1.7 in Nav1.8-expressing neurons
should reveal any potential role for Nav1.8 in neuropathic
pain. Eight weeks old C57BL6 inbred mice were used as
wildtype (WT) control (wildtype Nav1.8 and Nav1.7)
because it would be impractical and undesirable to gener-
ate them as littermates to the test groups (DKO and
Nav1.8 KO). The expected ratio of each of desired strains
would be only 6.25% if the parents were heterozygous for
both Nav1.8Cre and floxed Nav1.7 alleles compared with Page 2 of 9
(page number not for citation purposes) Background Nav1.7
is expressed principally in peripheral neurons with very
weak expression detected in CNS [10,11]. As there are no
subunit specific blockers, gene knockouts in mice have
provided insights into the role of individual α-subunits
genes in pain [5]. Deletion of the Nav1.8 gene [12] and
nociceptor-specific knockout of the Nav1.7 [13] gene have
identified a role for these two α-subunits in setting
mechanical and, to a lesser extent, thermal pain thresh-
olds. In addition, behavioral studies have revealed deficits
in inflammatory pain models, most dramatically in the
nociceptor-specific Nav1.7 knockout [12,13]. These find-
ings suggest that these α-subunits could be targets for new
anti-inflammatory drugs. Generation of Nav1.7 and Nav1.8 double knockouts in
nociceptors groups, figure 2b (WT 145.6 ± 13.12 sec, n = 4; Nav1.8 KO
146.4 ± 11.37, n = 7 and DKO 108.6 ± 11.5, n = 7). 25% as in our breeding strategy. The Nav1.8 KO/Nav1.7
heterozygous group was analysed in behavioural tests and
was found to be similar to the Nav1.8 KO group (data not
shown). Acute pain thresholds We measured thermal pain thresholds using the hotplate
and Hargreave's tests. In the hotplate test, which involves
supraspinal activity, the response latency was not different
between the three mouse groups (WT 36.1 ± 6.5 sec, n =
7; Nav1.8 KO 29.0 ± 5.6, n = 7 and DKO 32.7 ± 6.35, n =
7), figure 3a. However, the response latency in the Har-
greave's test was doubled in DKO group (15.30 ± 0.91 sec,
n = 7) compared to both WT (6.88 ± 0.28, n = 11) and
Nav1.8 KO (8.47 ± 0.78, n = 7) groups, figure 3b. The
latency in the Nav1.8 KO was higher that that of the WT
group which is in agreement with the finding of Akopian Generation of Nav1.7 and Nav1.8 double knockouts in
nociceptors Generation of Nav1.7 and Nav1.8 double knockouts in
nociceptors Nociceptor-specific Nav1.7 knockout mice and their litter-
mate controls were generated as described previously
[13]. It is not possible to generate global knockouts of
both Nav1.8 and Nav1.7 since global deletion of Nav1.7 is Page 2 of 9
(page number not for citation purposes) Page 2 of 9
(page number not for citation purposes) Molecular Pain 2005, 1:24 http://www.molecularpain.com/content/1/1/24 B A Development and motor coordination
Figure 2
Development and motor coordination. A) Males and females mice have similar weights among the three groups being
compared. In males the P value for WT vs. Nav1.8 KO is 0.09, for WT vs. DKO is 0.89 and for Nav1.8 KO vs. DKO is 0.08. In
females the P value for WT vs. Nav1.8 KO is 0.27, for WT vs. DKO is 0.71 and for Nav1.8 KO vs. DKO is 0.27. B) Perform-
ance on the rotarod apparatus is not significantly different between the three mice groups. The P value for WT vs. Nav1.8 KO
is 0.98, for WT vs. DKO is 0.38 and for Nav1.8 KO vs. DKO is 0.39. P values were calculated using two-tailed T-test. WT in
white, Nav1.8 KO in grey and DKO in black. 0
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Figure 2 Development and motor coordination
Figure 2
Development and motor coordination. A) Males and females mice have similar weights among the three groups being
compared. In males the P value for WT vs. Nav1.8 KO is 0.09, for WT vs. DKO is 0.89 and for Nav1.8 KO vs. DKO is 0.08. In
females the P value for WT vs. Nav1.8 KO is 0.27, for WT vs. DKO is 0.71 and for Nav1.8 KO vs. DKO is 0.27. B) Perform-
ance on the rotarod apparatus is not significantly different between the three mice groups. The P value for WT vs. Nav1.8 KO
is 0.98, for WT vs. DKO is 0.38 and for Nav1.8 KO vs. DKO is 0.39. P values were calculated using two-tailed T-test. WT in
white, Nav1.8 KO in grey and DKO in black. Development and motor coordination The weight of male (WT 26.72 ± 1.60 gram, n = 6; Nav1.8
KO 23.44 ± 0.76, n = 9 and DKO 27.05 ± 1.63, n = 9) and
female (WT 20.50 ± 1.77 gram, n = 3; Nav1.8 KO 21.43 ±
0.95, n= 3 and DKO 19.66 ± 1.03, n = 4) mice in each
group was very similar and was not significantly different,
figure 2a. Motor coordination as tested through perform-
ance on the rotarod apparatus was unchanged between
the mouse groups studied. The time spent on the rotarod
was not significantly different between the three mouse Page 3 of 9
(page number not for citation purposes) Molecular Pain 2005, 1:24 http://www.molecularpain.com/content/1/1/24 Acute pain thresholds are increased in the DKO mice
Figure 3
Acute pain thresholds are increased in the DKO mice. A) Latency to respond in the hotplate test was not different
between all groups. The P value for WT vs. Nav1.8 KO is 0.67, for WT vs. DKO is 0.72 and for Nav1.8 KO vs. DKO is 0.43
B) Latency to paw withdrawal in the Hargreave's test was doubled in the DKO mice. The P value for WT vs. Nav1.8 KO is
0.08, for WT vs. DKO is <0.0001 and for Nav1.8 KO vs. DKO is <0.0001. C) The 50% withdrawal threshold to stimulation
with von Frey hairs was not different between all groups. The P value for WT vs. Nav1.8 KO is 0.21, for WT vs. DKO is 0.2
and for Nav1.8 KO vs. DKO is 0.84. D) The Nav1.8 KO and DKO mice showed profound analgesia to noxious mechanical
pressure applied to the tail using the Randall-Selitto apparatus. The P value for WT vs. Nav1.8 KO is <0.0001, for WT vs. DK
is <0.0001 and for Nav1.8 KO vs. DKO is 0.67. P values were calculated using two-tailed T-test. WT in white, Nav1.8 KO in
grey and DKO in black. Page 4 of 9
(page number not for citation purposes) Development and motor coordination A
B
C
D
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(grams) D Acute pain thresholds are increased in the DKO mice
Figure 3
Acute pain thresholds are increased in the DKO mice. A) Latency to respond in the hotplate test was not different
between all groups. The P value for WT vs. Nav1.8 KO is 0.67, for WT vs. DKO is 0.72 and for Nav1.8 KO vs. DKO is 0.43. B) Latency to paw withdrawal in the Hargreave's test was doubled in the DKO mice. The P value for WT vs. Nav1.8 KO is
0.08, for WT vs. DKO is <0.0001 and for Nav1.8 KO vs. DKO is <0.0001. C) The 50% withdrawal threshold to stimulation
with von Frey hairs was not different between all groups. The P value for WT vs. Nav1.8 KO is 0.21, for WT vs. DKO is 0.25
and for Nav1.8 KO vs. DKO is 0.84. D) The Nav1.8 KO and DKO mice showed profound analgesia to noxious mechanical
pressure applied to the tail using the Randall-Selitto apparatus. The P value for WT vs. Nav1.8 KO is <0.0001, for WT vs. DKO
is <0.0001 and for Nav1.8 KO vs. DKO is 0.67. P values were calculated using two-tailed T-test. WT in white, Nav1.8 KO in
grey and DKO in black. Page 4 of 9
(page number not for citation purposes) Page 4 of 9
(page number not for citation purposes) Molecular Pain 2005, 1:24 http://www.molecularpain.com/content/1/1/24 Reduced pain behavior in formalin test in DKO
Figure 4
Reduced pain behavior in formalin test in DKO. A) The pain response after injection of 5% formalin in hindpaw showed
the typical biphasic course. B) The second phase of the formalin response was reduced to 30% in the DKO mice compared to
WT and Nav1.8 KO mice. The P value for WT vs. Nav1.8 KO is 0.94, for WT vs. DKO is 0.001 and for Nav1.8 KO vs. DKO
is 0.08. The first phase was not significantly different between all groups. Development and motor coordination The P value for WT vs. Nav1.8 KO is 0.60, for WT vs. DKO is 0.30 and for Nav1.8 KO vs. DKO is 0.96. P values were calculated using two-tailed T-test. WT in open circles, Nav1.8
KO in grey triangles and DKO in black squares. A
B
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Phase 2 Time (seconds) Time post injection (minutes) Reduced p
Figure 4 Reduced pain behavior in formalin test in DKO
Figure 4
Reduced pain behavior in formalin test in DKO. A) The pain response after injection of 5% formalin in hindpaw showed
the typical biphasic course. B) The second phase of the formalin response was reduced to 30% in the DKO mice compared to
WT and Nav1.8 KO mice. The P value for WT vs. Nav1.8 KO is 0.94, for WT vs. DKO is 0.001 and for Nav1.8 KO vs. DKO
is 0.08. The first phase was not significantly different between all groups. The P value for WT vs. Nav1.8 KO is 0.60, for WT vs. DKO is 0.30 and for Nav1.8 KO vs. DKO is 0.96. P values were calculated using two-tailed T-test. WT in open circles, Nav1.8
KO in grey triangles and DKO in black squares. Reduced pain behavior in formalin test in DKO. A) The pain response after injection of 5% formalin in hindpaw showed
the typical biphasic course. B) The second phase of the formalin response was reduced to 30% in the DKO mice compared to
WT and Nav1.8 KO mice. The P value for WT vs. Nav1.8 KO is 0.94, for WT vs. DKO is 0.001 and for Nav1.8 KO vs. DKO
is 0.08. The first phase was not significantly different between all groups. The P value for WT vs. Nav1.8 KO is 0.60, for WT vs. DKO is 0.30 and for Nav1.8 KO vs. DKO is 0.96. P values were calculated using two-tailed T-test. WT in open circles, Nav1.8
KO in grey triangles and DKO in black squares. et al using the conventional Nav1.8 global knockout [12]. Development and motor coordination The nociceptor-specific Nav1.7 knockout alone shows a
40% increase in latency in the Hargreave's test [13] Nav1.8 and the DKO mice in this test, figure 3d, and sim-
ilar results have been obtained with the nociceptor-spe-
cific Nav1.7 knockout [13] Nav1.8 and the DKO mice in this test, figure 3d, and sim-
ilar results have been obtained with the nociceptor-spe-
cific Nav1.7 knockout [13] Pain thresholds to punctate mechanical stimulation was
measured using calibrated von Frey hairs according to the
up and down method [20]. The 50% withdrawal thresh-
old was not different between the three groups (WT 0.56
± 0.07 gram, n = 11; Nav1.8 KO 0.45 ± 0.05, n = 13 and
DKO 0.49 ± 0.06, n = 17), figure 3c. In contrast pain
threshold to noxious mechanical pressure applied to the
tail using the Randall-Selitto apparatus was much higher
in both the Nav1.8 KO (412.4 ± 33.97 gram, n = 7) and
DKO (395.7 ± 21.03, n = 7) groups compared to that of
the WT (131.4 ± 16.54, n = 6) group, figure 3d. Usually
the cut off point (500 gram) was reached without an
observed escape response in the Nav1.8 KO and DKO
groups, indicating a high resistance to static blunt
mechanical pressure. There was no difference between the Inflammatory pain behaviour (B) WT (open circles), Nav1.8 KO (grey triangles) and DKO (black squares) developed profound
h
i
l ll d
i
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Figure 5 y
p
p
p
p
g
Analysis of neuropathic pain in nociceptor-specific Nav1.7 knockout mice and double knockout mice. (A) Both
control (white circles, mean 0.56 ± 0.9, n = 8) and nociceptor-specific Nav1.7 KO (black squares, 0.48 ± 0.8, n = 11) developed
robust mechanical allodynia after ligation of spinal nerve L5. There is no difference in the extent of pain behavior at any time
point (P = 0.49 ANOVA). (B) WT (open circles), Nav1.8 KO (grey triangles) and DKO (black squares) developed profound
mechanical allodynia after ligation of spinal nerve L5. commonly used inflammatory pain models [13]. It would
be impossible therefore to measure a further reduction in
inflammatory pain behaviour in the DKO. spinal nerve) in the Nav1.7 nociceptor-specific knockout
and homozygous floxed-Nav1.7 as controls. Both groups
developed a robust mechanical allodynia starting form
the third day post surgery, figure 5a. The extent and time
course of development of increased mechanosensitivity
was identical in both nociceptor-specific Nav1.7 knock-
out and their littermate controls. Inflammatory pain behaviour The pain response elicited by injection of 20µl of 5% for-
malin intradermally in the hindpaw showed the typical
biphasic response in the three groups, figure 4a. The first
phase (1–10 minutes) was not different between the three
groups (WT 107.8 ± 10.12 sec n = 8, Nav1.8 KO 155 ±
11.00 n = 4, DKO 120.4 ± 5.96 n = 8), figure 4b. In con-
trast, the second phase (10–60 minutes) was much
reduced in the DKO group (105.4 ± 28.43 sec) compared
to both the Nav1.8 KO (309 ± 80.85, P = 0.08) and the WT
(216 ± 43.67, P = 0.0016) groups, figure 4b. This effect
was even more dramatic than that observed in the nocice-
ptor specific Nav1.7 knockout [13] We did not study other
inflammatory pain models since the nociceptor-specific
Nav1.7 knockout mouse is completely deficient in Page 5 of 9
(page number not for citation purposes) http://www.molecularpain.com/content/1/1/24 Molecular Pain 2005, 1:24 Analysis of neuropathic pain in nociceptor-specific Nav1.7 knockout mice and double knockout mice
Figure 5
Analysis of neuropathic pain in nociceptor-specific Nav1.7 knockout mice and double knockout mice. (A) Both
control (white circles, mean 0.56 ± 0.9, n = 8) and nociceptor-specific Nav1.7 KO (black squares, 0.48 ± 0.8, n = 11) developed
robust mechanical allodynia after ligation of spinal nerve L5. There is no difference in the extent of pain behavior at any time
point (P = 0.49 ANOVA). (B) WT (open circles), Nav1.8 KO (grey triangles) and DKO (black squares) developed profound
mechanical allodynia after ligation of spinal nerve L5. A
B
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Test/baseline A Analysis of neuropathic pain in nociceptor-specific Nav1.7 knockout mice and double knockout mice
Figure 5
Analysis of neuropathic pain in nociceptor-specific Nav1.7 knockout mice and double knockout mice. (A) Both
control (white circles, mean 0.56 ± 0.9, n = 8) and nociceptor-specific Nav1.7 KO (black squares, 0.48 ± 0.8, n = 11) developed
robust mechanical allodynia after ligation of spinal nerve L5. There is no difference in the extent of pain behavior at any time
point (P = 0.49 ANOVA). Neuropathic pain We investigated the role of Nav1.7 expressed in nocicep-
tors in neuropathic pain. Analysis of neuropathic pain in
the nociceptor-specific Nav1.7 knockout using the Chung
model showed that they developed mechanical allodynia
to the same extent as the littermate control mice
(homozygous floxed Nav1.7), figure 5. This clearly shows
that unlike its critical role in inflammatory pain [13],
Nav1.7 does not contribute to neuropathic pain. In addition, the Nav1.8 knockout and WT as well as the
DKO mice developed a profound mechanical allodynia
the level of which was indistinguishable between the three
groups. This provides further evidence that Nav1.8 does
not contribute to mechanical allodynia as reported by
Kerr et al [17]. In addition our results rule out Nav1.7 up-
regulation in the Nav1.8 knockout as the reason behind
the discrepancy between the finding of Kerr et al [17] and
Lai et al [18]. Surprisingly Lai et al [18] failed to detect the
changes in acute pain thresholds observed in the Nav1.8
KO both in this study and that of Akopian et al [12],
which would be expected to occur if Nav1.8 had been
down-regulated. Acute pain thresholds p
analysis of acute mechanical thresholds in DKO mice con-
firmed previous findings that the knockout of either
Nav1.8 or Nav1.7 renders the mice resistant in the Randel-
Selitto test of noxious mechanical pressure while the
responses to von Frey hairs remain unchanged compared
to controls [12,13]. Furthermore, it has been shown that
both Nav1.8 and nociceptor-specific Nav1.7 knockouts
have small increases of about 20–40% in their thermal
threshold [12,13]. Interestingly, we found that the ther-
mal threshold in the Hargreave's test was doubled in the
DKO compared to Nav1.8 knockout or WT controls, figure
3b. The increase is more than the sum of the phenotype in
the individual knockouts and may indicate that Nav1.8
and Nav1.7 are the major VGSC isoforms present in noci-
ceptive terminals and their deletion dramatically increases
pain threshold. This is supported by the fact that Nav1.7 is
transported to nerve terminals of sensory neurons [10]
and that Nav1.8 currents are localized in the terminals
[23]. http://www.molecularpain.com/content/1/1/24 Molecular Pain 2005, 1:24 only investigated the pain response in the formalin
model. While the nociceptive-specific Nav1.7 knockout
showed a reduction in the second phase to about 50% of
controls [13] the DKO showed a slightly bigger reduction
to 30% of controls, figure 4b. This is in contrast to Nav1.8
mice that showed no reduction in the second phase com-
pared to controls, figure 4b. Therefore, the reduction in
the second phase in the DKO is a new phenotype rather
than a mere summation of the phenotype in the individ-
ual knockouts. This highlights further the predominant
role for Nav1.7 in inflammatory pain. Expression of
Nav1.7 has been reported to increase in sensory neurons
subsequent to induction of inflammation [24]. Neuropathic pain in Nav1.7 Nav1.8 double knockout mice
To address the issue of compensatory up-regulation of
Nav1.7 in Nav1.8 knockout we induced peripheral nerve
injury in WT, Nav1.8 KO and DKO. All mice groups
studied developed a robust mechanical allodynia starting
form the third day post surgery, figure 5b. There were no
statistically meaningful differences in the behaviour of the
groups of mice. Discussion This study confirms that the two sodium channel α- sub-
units Nav1.7 and Nav1.8, expressed selectively in nocicep-
tive sensory neurons, have important roles in nociception
and in pain. In the absence of specific pharmacological
blockers, the use of genetic approaches, a combination of
global and nociceptor-specific knockouts, has enabled us
to carry out studies exploring the contribution of these
two isoforms of VGSCs in different pain conditions. Nav1.8 knockouts are already known to have deficits in
inflammatory and visceral but not neuropathic pain [12]. Nav1.7 nociceptor-specific knockouts are almost totally
refractory to changes in peripheral pain thresholds evoked
by inflammatory mediator [13]. This mirrors the inflam-
matory phenotype of Nav1.7 gain-of-function mutations
in erythermalgia [21]. This heritable disorder is caused by
point mutations that lead to altered thresholds of activa-
tion in Nav1.7 [22] This study and our previous [13] work have explored the
role of Nav1.7 in Nav1.8-expressing neurons, since our
strategy exploits the Nav1.8 promoter to drive Cre expres-
sion. We have shown previously using non-quantitative
RT-PCR that not all the Nav1.7 mRNA in DRGs from the
nociceptor-specific Nav1.7 knockout is deleted [13]. This
indicates that there is a population of sensory neurons,
the size of which has yet to be determined, that express
Nav1.7 but not Nav1.8. Therefore, the role of Nav1.7 in
sensory neurons where Nav1.8 is not expressed (and
which do not express Cre) remains to be studied. From all the above, our results indicate that Nav1.8 and
Nav1.7 subunits contribute to the excitability of periph-
eral nerve terminals and their modulation is critical for
peripheral sensitisation in inflammatory pain Neuropathic pain in nociceptor-specific Nav1.7 knockout
mice To study neuropathic pain behavior we induced periph-
eral nerve injury using to the Chung model (ligation of L5 Page 6 of 9
(page number not for citation purposes) Page 6 of 9
(page number not for citation purposes) http://www.molecularpain.com/content/1/1/24 Page 7 of 9
(page number not for citation purposes) Genotyping of mice strains g
5. Wood JN, Abrahamsen B, Baker MD, Boorman JD, Donier E, Drew
LJ, Nassar MA, Okuse K, Seereeram A, Stirling CL, Zhao J: Ion chan-
nel activities implicated in pathological pain. Novartis Found
Symp 2004, 261:32-40. discussion 40–54 Nav1.8Cre and floxed Nav1.7 lines were produced as
described [13]. Both strains were back-crossed at last 5
times onto a C57/BL6 background. y p
6. Lai J, Porreca F, Hunter JC, Gold MS: Voltage-gated sodium chan-
nels and hyperalgesia. Annu Rev Pharmacol Toxicol 2004,
44:371-397. Genomic DNA was prepared from tail biopsies and geno-
typed using PCR. Primers for Nav1.7 are (CAGAGATTTCT-
GCATTAGAATTTGTTC)
and
(AGTCTTTGTGGCACACGTTACCTC) which give a WT
band of 317 bp and a floxed band of 461 bp. Primers for
Nav1.8 are (TGTAGATGGACTGCAGAGGATGGA) and
(ttacccggtgtgtgctgtagaaag) which give a WT band of 460
bp. Nav1.8Cre was detected by primers (aaatttgcctgcattac-
cggtcga) and (aaatgttgctggatagtttttactgcc) located inside
Cre sequence which give a band of 249 bp. Genomic DNA was prepared from tail biopsies and geno-
typed using PCR. Primers for Nav1.7 are (CAGAGATTTCT-
GCATTAGAATTTGTTC)
and 7. Djouhri L, Newton R, Levinson SR, Berry CM, Carruthers B, Lawson
SN: Sensory and electrophysiological properties of guinea-
pig sensory neurones expressing Nav 1.7 (PN1) Na+ channel
alpha subunit protein. J Physiol 2003, 546:565-576. (AGTCTTTGTGGCACACGTTACCTC) which give a WT
band of 317 bp and a floxed band of 461 bp. Primers for
Nav1.8 are (TGTAGATGGACTGCAGAGGATGGA) and
(ttacccggtgtgtgctgtagaaag) which give a WT band of 460
bp. Nav1.8Cre was detected by primers (aaatttgcctgcattac-
cggtcga) and (aaatgttgctggatagtttttactgcc) located inside
Cre sequence which give a band of 249 bp. 8. Djouhri L, Fang X, Okuse K, Wood JN, Berry CM, Lawson SN: The
TTX-resistant sodium channel Nav1.8 (SNS/PN3): expres-
sion and correlation with membrane properties in rat nocic-
eptive primary afferent neurons. J Physiol 2003, 550:739-752. p
p
y
J
y
9. Akopian AN, Sivilotti L, Wood JN: A tetrodotoxin-resistant volt-
age-gated sodium channel expressed by sensory neurons. Nature 1996, 379:257-262. 10. Toledo-Aral JJ, Moss BL, He ZJ, Koszowski AG, Whisenand T, Levin-
son SR, Wolf JJ, Silos-Santiago I, Halegoua S, Mandel G: Identifica-
tion of PN1, a predominant voltage-dependent sodium
channel expressed principally in peripheral neurons. Proc Natl
Acad Sci U S A 1997, 94:1527-1532. Acknowledgements The authors would like to acknowledge Mark D Baker for critical reading
of the manuscript and Elizabeth A Matthew for great help in establishing the
Chung model. We also thank the Wellcome Trust, the MRC and the Lon-
don Pain Consortium for funding this work. The authors would like to acknowledge Mark D Baker for critical reading
of the manuscript and Elizabeth A Matthew for great help in establishing the
Chung model. We also thank the Wellcome Trust, the MRC and the Lon-
don Pain Consortium for funding this work. Competing interests p
g
The author(s) declare that they have no competing
interests. References 2. Baker MD, Wood JN: Involvement of Na+ channels in pain
pathways. Trends Pharmacol Sci 2001, 22:27-31. 3. Felts PA, Yokoyama S, Dib-Hajj S, Black JA, Waxman SG: Sodium
channel alpha-subunit mRNAs I, II, III, NaG, Na6 and hNE
(PN1): different expression patterns in developing rat nerv-
ous system. Brain Res Mol Brain Res 1997, 45:71-82. y
4. Meisler MH, Kearney JA: Sodium channel mutations in epilepsy
and other neurological disorders. The Journal of Clinical
Investigation 2005, 115:2010-2017. Inflammatory pain We have not studied pain behavior in inflammatory mod-
els where the nociceptive-specific Nav1.7 knockout has
shown complete deficits in inflammatory pain behavior
[13], because it would not be possible to observe further
changes brought about by the co-deletion of Nav1.8. We Page 7 of 9
(page number not for citation purposes) Page 7 of 9
(page number not for citation purposes) Molecular Pain 2005, 1:24 http://www.molecularpain.com/content/1/1/24 The lack of changes in mechanical allodynia in any indi-
vidual or even in double knockouts of Nav1.8 and Nav1.7
subunits is consistent with recent data by Flake et al. They
reported that changes in sodium currents shortly after
nerve injury do not correlate with an increase in neuronal
excitability and that the sum of changes to ionic currents,
and not a single class of voltage-gated ion channel, under-
lie increased neuronal excitability [25]. This does not,
however, exclude a potential role for both Nav1.7 and
Nav1.8 in spontaneous neuropathic pain as suggested by
the finding that neuromas in the Nav1.8 knockout mouse
display less ectopic discharges than wildtype littermates
[26]. These studies confirm the importance of Nav1.7 and
Nav1.8 in the physiological processes that underlie altered
peripheral thresholds in inflammatory pain. Neuropathic
pain that arises as a consequence of nerve damage and
neuronal dysfunction is, however, not dependent on the
presence of these two sodium channels. In terms of the
contribution of other α-subunits to neuropathic pain, a
strong correlation has been found between the expression
of Nav1.3 and the appearance of neuropathic pain. GDNF
that reverses neuropathic pain behaviour also normalises
Nav1.3 expression [27], and recent antisense studies have
supported the view that increased Nav1.3 expression con-
tributes to neuropathic pain development [28] formed in a Home Office designated room at 22 ± 2°C. Experiments were performed on animals of at least 8
weeks of age. Behavioral tests were done as before [19] LCS Analysed the Nav1.8Cre mouse. LCS Analysed the Nav1.8Cre mouse. JNW:
supervised
experiments
and
corrected
the
manuscript. References References
1. Isom LL: Sodium channel beta subunits: anything but
auxiliary. Neuroscientist 2001, 7:42-54. 2. Baker MD, Wood JN: Involvement of Na+ channels in pain
pathways. Trends Pharmacol Sci 2001, 22:27-31. 3. Felts PA, Yokoyama S, Dib-Hajj S, Black JA, Waxman SG: Sodium
channel alpha-subunit mRNAs I, II, III, NaG, Na6 and hNE
(PN1): different expression patterns in developing rat nerv-
ous system. Brain Res Mol Brain Res 1997, 45:71-82. 4. Meisler MH, Kearney JA: Sodium channel mutations in epilepsy
and other neurological disorders. The Journal of Clinical
Investigation 2005, 115:2010-2017. 5. Wood JN, Abrahamsen B, Baker MD, Boorman JD, Donier E, Drew
LJ, Nassar MA, Okuse K, Seereeram A, Stirling CL, Zhao J: Ion chan-
nel activities implicated in pathological pain. Novartis Found
Symp 2004, 261:32-40. discussion 40–54
6. Lai J, Porreca F, Hunter JC, Gold MS: Voltage-gated sodium chan-
nels and hyperalgesia. Annu Rev Pharmacol Toxicol 2004,
44:371-397. 7. Djouhri L, Newton R, Levinson SR, Berry CM, Carruthers B, Lawson
SN: Sensory and electrophysiological properties of guinea-
pig sensory neurones expressing Nav 1.7 (PN1) Na+ channel
alpha subunit protein. J Physiol 2003, 546:565-576. 8. Djouhri L, Fang X, Okuse K, Wood JN, Berry CM, Lawson SN: The
TTX-resistant sodium channel Nav1.8 (SNS/PN3): expres-
sion and correlation with membrane properties in rat nocic-
eptive primary afferent neurons. J Physiol 2003, 550:739-752. 9. Akopian AN, Sivilotti L, Wood JN: A tetrodotoxin-resistant volt-
age-gated sodium channel expressed by sensory neurons. Nature 1996, 379:257-262. 10. Toledo-Aral JJ, Moss BL, He ZJ, Koszowski AG, Whisenand T, Levin-
son SR, Wolf JJ, Silos-Santiago I, Halegoua S, Mandel G: Identifica-
tion of PN1, a predominant voltage-dependent sodium
channel expressed principally in peripheral neurons. Proc Natl
Acad Sci U S A 1997, 94:1527-1532. 11. Sangameswaran L, Fish LM, Koch BD, Rabert DK, Delgado SG, Ilnicka
M, Jakeman LB, Novakovic S, Wong K, Sze P, Tzoumaka E, Stewart
GR, Herman RC, Chan H, Eglen RM, Hunter JC: A novel tetrodo- e e e ces
1. Isom LL: Sodium channel beta subunits: anything but
auxiliary. Neuroscientist 2001, 7:42-54. 2. Baker MD, Wood JN: Involvement of Na+ channels in pain
pathways. Trends Pharmacol Sci 2001, 22:27-31. 1. Isom LL: Sodium channel beta subunits: anything but
auxiliary. Neuroscientist 2001, 7:42-54. 1. Isom LL: Sodium channel beta subunits: anything but
auxiliary. Neuroscientist 2001, 7:42-54. 2. Baker MD, Wood JN: Involvement of Na+ channels in pain
pathways. Trends Pharmacol Sci 2001, 22:27-31. Conclusion In summary, our results indicate a critical role for Nav1.7
and Nav1.8 in setting pain thresholds of nociceptive nerve
terminals and in their sensitisation following tissue dam-
age and inflammation. However, the presence of these
channels, or changes to their expression and function are
not required for the establishment of mechanical allody-
nia arising from nerve injury. Authors' contributions MAN generated the mice, performed behavioral tests and
wrote the manuscript. MAN generated the mice, performed behavioral tests and
wrote the manuscript. AL carried out the neuropathic pain study of the DKO and
Nav1.8 KO. Behavioural analysis All tests were approved by the United Kingdom Home
Office Animals (Scientific Procedures) Act 1986 and per- 11. Sangameswaran L, Fish LM, Koch BD, Rabert DK, Delgado SG, Ilnicka
M, Jakeman LB, Novakovic S, Wong K, Sze P, Tzoumaka E, Stewart
GR, Herman RC, Chan H, Eglen RM, Hunter JC: A novel tetrodo- Page 8 of 9
(page number not for citation purposes) Page 8 of 9
(page number not for citation purposes) Page 8 of 9 Molecular Pain 2005, 1:24 http://www.molecularpain.com/content/1/1/24 http://www.molecularpain.com/content/1/1/24 toxin-sensitive, voltage-gated sodium channel expressed in
rat and human dorsal root ganglia. J Biol Chem 1997,
272:14805-14809. 12. Akopian AN, Souslova V, England S, Okuse K, Ogata N, Ure J, Smith
A, Kerr BJ, McMahon SB, Boyce S, Hill R, Stanfa LC, Dickenson AH,
Wood JN: The tetrodotoxin-resistant sodium channel SNS
has a specialized function in pain pathways. Nat Neurosci 1999,
2:541-548. 13. Nassar MA, Stirling LC, Forlani G, Baker MD, Matthews EA, Dicken-
son AH, Wood JN: Nociceptor-specific gene deletion reveals a
major role for Nav1.7 (PN1) in acute and inflammatory pain. Proc Natl Acad Sci U S A 2004, 101:12706-12711. 14. Devor M, Wall PD, Catalan N: Systemic lidocaine silences
ectopic neuroma and DRG discharge without blocking nerve
conduction. Pain 1992, 48:261-268. 15. Omana-Zapata I, Khabbaz MA, Hunter JC, Clarke DE, Bley KR: Tet-
rodotoxin inhibits neuropathic ectopic activity in neuromas,
dorsal root ganglia and dorsal horn neurons. Pain 1997,
72:41-49. 16. Chabal C, Jacobson L, Little J: Intrathecal fentanyl depresses
nociceptive flexion reflexes in patients with chronic pain. Anesthesiology 1989, 70:226-229. gy
17. Kerr BJ, Souslova V, McMahon SB, Wood JN: A role for the TTX-
resistant sodium channel Nav 1.8 in NGF-induced hyperalge-
sia, but not neuropathic pain. Neuroreport 2001, 12:3077-3080. 18. Lai J, Gold MS, Kim CS, Bian D, Ossipov MH, Hunter JC, Porreca F:
Inhibition of neuropathic pain by decreased expression of
the tetrodotoxin-resistant sodium channel, NaV1.8. Pain
2002, 95:143-152. 19. Stirling LC, Forlani G, Baker MD, Wood JN, Matthews EA, Dickenson
AH, Nassar MA: Nociceptor-specific gene deletion using het-
erozygous NaV1.8-Cre recombinase mice. Pain 2005,
113:27-36. 20. Chaplan SR, Bach FW, Pogrel JW, Chung JM, Yaksh TL: Quantita-
tive assessment of tactile allodynia in the rat paw. J Neurosci
Methods 1994, 53:55-63. 21. Yang Y, Wang Y, Li S, Xu Z, Li H, Ma L, Fan J, Bu D, Liu B, Fan Z, Wu
G, Jin J, Ding B, Zhu X, Shen Y: Mutations in SCN9A, encoding a
sodium channel alpha subunit, in patients with primary
erythermalgia. J Med Genet 2004, 41:171-174. y
g
J
22. Dib-Hajj SD, Rush AM, Cummins TR, Hisama FM, Novella S, Tyrrell
L, Marshall L, Waxman SG: Gain-of-function mutation in Nav1.7
in familial erythromelalgia induces bursting of sensory
neurons. Brain 2005, 128:1847-1854. 23. Brock JA, McLachlan EM, Belmonte C: Tetrodotoxin-resistant
impulses in single nociceptor nerve terminals in guinea-pig
cornea. Page 8 of 9 J Physiol 1998, 512(Pt 1):211-217. J
y
(
)
24. Gould HJ 3rd, England JD, Soignier RD, Nolan P, Minor LD, Liu ZP,
Levinson SR, Paul D: Ibuprofen blocks changes in Nav1.7 and
1.8 sodium channels associated with complete Freund's adju-
vant-induced inflammation in rat. J Pain 2004, 5:270-280. 25. Flake NM, Lancaster E, Weinreich D, Gold MS: Absence of an asso-
ciation between axotomy-induced changes in sodium cur-
rents and excitability in DRG neurons from the adult rat. Pain 2004, 109:471-480. 26. Roza C, Laird JM, Souslova V, Wood JN, Cervero F: The tetrodo-
toxin-resistant Na+ channel Nav1.8 is essential for the
expression of spontaneous activity in damaged sensory
axons of mice. J Physiol 2003, 550:921-926. J
y
27. Boucher TJ, Okuse K, Bennett DL, Munson JB, Wood JN, McMahon
SB: Potent analgesic effects of GDNF in neuropathic pain
states. Science 2000, 290:124-127. Publish with BioMed Central and every
scientist can read your work free of charge
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BioMedcentral
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(page number not for citation purposes) Publish with BioMed Central and every
scientist can read your work free of charge
"BioMed Central will be the most significant development for
disseminating the results of biomedical research in our lifetime."
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Your research papers will be:
available free of charge to the entire biomedical community
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cited in PubMed and archived on PubMed Central
yours — you keep the copyright
Submit your manuscript here:
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BioMedcentral Publish with BioMed Central and every
scientist can read your work free of charge 28. Hains BC, Klein JP, Saab CY, Craner MJ, Black JA, Waxman SG:
Upregulation of sodium channel Nav1.3 and functional
involvement in neuronal hyperexcitability associated with
central neuropathic pain after spinal cord injury. J Neurosci
2003, 23:8881-8892.
|
https://openalex.org/W4289802489
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https://zenodo.org/records/6303523/files/101-103.pdf
|
English
| null |
Some Studies towards Preparation of N-Acyl-O-alkylhydroxylamines and O-Acylhydroxamic Acids
|
Zenodo (CERN European Organization for Nuclear Research)
| 1,989
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cc-by
| 1,891
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J. iadlao Cbem. Soe.,
-
Vol. 66, February 1989, pp. 101-103 J. iadlao Cbem. Soe.,
-
Vol. 66, February 1989, pp. 101-103 Some Studies towards Preparation of
N-Acyl-0-alkylhydroxylamines and 0-Acylhydroxamic Acids A. S. SINOHA *
Chemistry Department, Regional Engineering College, Hamirpur-177 001
and y
p
g
g
g
g
p
and
B. N. MISRA
Chemistry Department, Himachal Pradesh University, Bhlmla.-171 005 and
B. N. MISRA B. N. MISRA
Chemistry Department, Himachal Pradesh University, Bhlmla.-171 005 B. N. MISRA
Chemistry Department, Himachal Pradesh University, Bhlmla.-171 005 A number of N-acyl-0-alkylbydroxylamlnes (2) have lleeu prepared by alkylatlou
of potassium salt of various hydroxamic acids (1) under dllfereut set of reaction con-
ditions. Hydroxamie acids (3) obtained by acidic hydrolysis of potassium salt of
bydrosamic acids were subjected to acylatioo with various acylatiog agents to give
0-acylbydrosamic acids {4). The structure assigumeuts of 2 aud 4 are based on
elemental, lr and umr spectral data. The beauty of this method lies in the fact that
no N-alkylated product was isolated. However,
in certain cases the alkylation on carbonyl oxygen
gave dialkylated product (5) 8 •
The formation of
dialkylated product can be explained by the fact
that hydroxamic acids are known to exist as tauto-
mer (3 and 3a). HYDROXAMIC acids (3) and their derivatives
have recently attracted the attention of chemists
because of their widespread uses1 •9 •
However. their chemistry has not been fully explored. In
the present communication, attempts have been
made to prepare various monoalkyl derivatives {2)
of hydroxamic acids by methods other than conven-
tional methods used by various workers•-• which
require quite a long time. The new method used
in this context are (i) solid support synthesis
method and (ii) phase transfer catalysis method. These two methods are less time-consuming and
the reaction occurred at much lower temperatures. HY )
0
H
II
I
R-C-N-OH
3
OH
I
R-C-NOH
3a 3a can react easily with alkyl halide in the
presence of KF- Al 90 8
support to give di·O·
alkylated product in the following manner, p
OH
OH
OH
OH
II
I
II
I
II
I
II
I
RC-NOH RC-NOK RC-NOR' RC-NOCOR"
3
1
~
4 -
R-C=NOR"
I
+ 2HF-t-2KX
OR1
5 -
R-C=NOR"
I
+ 2HF-t-2KX
OR1
5 Alkylation on solid support was achieved by
using KF·alumina support in acetonitrile. Under
phase
transfer
catalysis (PTC) conditions
the
alkylation of potassium salt of hydroxamic acid
was achieved by using tetrabutylammonium iodide
(TBAI) as phase transfer catalyst in the presence of
water-chlorobenzene or water- dichloromethane
phase system. Some Studies towards Preparation of
N-Acyl-0-alkylhydroxylamines and 0-Acylhydroxamic Acids Since the yield on KF- alumina support was quite
good hence no other support was used. When alkylation was studied on solid support,
it was observed that both mono- and dialkyl
derivatives were isolated. However, the reaction
could be controlled to give preferentially mono-
alkylated product by controlling the amount of
alkyl halide used. Following mechanism has been
proposed for the monoalkylati~n o~ hydrox~mic
acids in line with the mechamsm g'lVen by Miller
and coworkers4 for alkylation of phenols with alkyl
halides. We have applied PTC technique in the synthesis
of N-acyl-0-alkyl hydroxylamines since at present
there is relatively very little information on alkyla-
tion by PTC method, although this approach has
been valuable in a variety of other nucleophilic
reactions"~· 8 •
Singha and Misra• partially used this
technique. In the present communication some
modifications have been made to get better yield
of the products. Following possible mechanism
can be written for alkylation of hydroxamic acid
salt by PTC technique, 0 H
tc•-R-l-~-OR1 + I<X+HF
(2) QBr(ori)+RCONHOK-+RCONHOQcor11+KBrc•ql
RCONHOQcorsl + R'X-+RCONHOR'(or.>+ QX QBr(ori)+RCONHOK-+RCONHOQcor11+KBrc•ql
RCONHOQcorsl + R'X-+RCONHOR'(or.>+ QX 101 J. INDIAN CHBM. SOC., VOL. 66, PBBRUAII.Y 1989 Other N-acyl-0-alkylbydroxylamines prepared
by this method are reported in Table 1. where, QBr represents the quaternary salt (tetra·
butyl ammonium iodide) and R'X the alkylating
agent. The remarkable ability of anion associated
with quaternary cation in non-polar media to
undergo
displacement
reaction is particularly
important. where, QBr represents the quaternary salt (tetra·
butyl ammonium iodide) and R'X the alkylating
agent. The remarkable ability of anion associated
with quaternary cation in non-polar media to
undergo
displacement
reaction is particularly
important. Other N-acyl-0-alkylbydroxylamines prepared
by this method are reported in Table 1. N-Anisoy/-0-benzylhydroxylamine
by
PTC
method: Potassium anisohydroxamate (0.3 g) and
tetrabutylammonium iodide (0.3 g) were taken in
water
(10 ml)
and benzyl bromide (0.6 ml) in
cblorobenzene (15 ml) was then added to it. The
reaction mixture was stirred at 70 -75" for 14 h. The reaction rate was studied by colour test with
ferric chloride, indicating the completition of
reaction. The organic layer was then separated
from water and washed with water. It was then
diluted with ether and dried over anhydrous sodium
sulphate. Ether was removed at room temperature
and then chlorobenzene was removed by vacuum
distillation. The resulting solid was taken in ether
and recrystallised from ether- petroleum ether,
(70%), m.p. 112" (lit.• 114"). Experimental Sl. no. 1. ll. a. '·
TABI.IC 1-PHYSICAI, DATA Oil N•ACYJ:,-0-
AI,KYI,BYDROXYI,AMIN!UI (l)
B'
M.p. ·o
o.a. OeH 10Ha
103-04. .1'-01-0eHe
o.a.oH. 150-51
21-oH,O- OaH • o.a.oH. llla-U
o.H. OH~oH ... OHa
68-4. %Yield(%)
Method Msthod
A"
B"
55.0
60.0
66.0
68.0
65.0
'10.0
50
66.0
*A•Boll:l support msthod; B-PTO method. Melting points were determined in open capi-
llaries and are uncorrected. The petroleum ether
used throughout bad b.p. 60-80". The purity of
compounds was checked by tic using different
solvent mixtures. Ir spectra (KBr) were recorded
on a Perkin-Elmer Infracord 337 spectrophoto-
meter. and nmr spectra (CDC1 8 or CDCI 8 + TFA)
on a FT-100 instrument using TMS as an internal
standard. Solidt suppor syntheses of N-anisoyl-0-benzyl-
hydroxylamtne: To potassium anisohydroxamate
(1.0 g) were added benzyl bromide (1.2 ml) and
KF-support ( 1. 5 g) in acetonitrile (25 ml). The
mixture was stirred at room temperature for
10-12 h and the progress of reaction was moni·
tored by the ferric chloride test. After 12 h the
ferric chloride colour remained the-same. It was
then filtered off and the filtrate was evaporated to
give a solid product. The product was then treated
with anhydrous ether. The insoluble portion was
filtered off and the N-anisoyl-0-benzylhydroxyl-
amine (65%) was obtained from this solution by
precipitation with dry petroleum ether. The m.p. was found to be 114" which corresponds well with
N-anisoyl·O·benzylhydroxylamine prepared by other
methods. The intrared spectrum showed bands
at 3 150 (NH) and
l 650 cm-1 (C=O). The
remaining solution of ether-petroleum ether was
evaporated to give a solid which was identified as
benzyl-0-benzylanisobydroximate (25%}. m.p. 10•
(Found: C, 75.41 ; H, 6.32 ; N, 4.15. CuH11N08
calcd. for: C, 75.34 J H, 6.05 ; N. 4.1()%). The
ir spectrum showed a single band at 1 590 ,om-1
{C=N), and the peaks corresponding to NH and
C= 0 groups were absent. The hydroxamic acids (3) : Various bydroxamic
acids were prepared by the modified method of
Warren and Warren11 and are reported in Table 2. The hydroxamic acids (3) : Various bydroxamic
acids were prepared by the modified method of
Warren and Warren11 and are reported in Table 2. TABI.IC li-PBYSICAI, DA'rA OF HYDB.OXAMIC ACIDS (3)
Sl. B
M.p. %Yield
~
~
%
1. 2. s. 12'1-28
162
164-65
80.0
60.0
65 0 0-Acylhydroxamic acids. Some Studies towards Preparation of
N-Acyl-0-alkylhydroxylamines and 0-Acylhydroxamic Acids The ir spectrum showed
bands at 3 150 (NH) and 1 650 cm-1 (C=O). Further, when the compound was mixed with the
standard sample of N-anisoyl-0-benzylhydroxyl·
amine, the melting point showed no depression. Since by this process the phase transfer agent
brings the transferred species in the reactive form,
that is why phase transfer catalysed
alkylation
proceeds with greater facility. An alternative
explanation for enhanced reaction in the presence
of phase transfer agent is that a weak complex is
formed in which the alkyl halide penetrates into
the alkyl group around nitrogen of quaternary
compound and such complex may help in the
formation of a "push and pull'' transition state. Hydroxamic acids have been reported to undergo
a wide variety of reactions. However, very little
information is available on their acylation studies10. In the present paper we present a few 0-acylbydro-
xamic acids (4) prepared by acylation of different
hydroxamic acids. The importance of these 0-acyl-
hydroxamic acids lies in the fact that they may
possess some pharmacological activity. Other N-acyl-0-alkylhydroxylamines prepared
by this method are presented in Table I. StNOHA & MISRA I SOMB STUDIBS TOWARDS PREPARATION OP N·ACYL•O•ALKYLHYDROXYLAMIN~S etc. StNOHA & MISRA I SOMB STUDIBS TOWARDS PREPARATION OP N·ACYL•O•ALKYLHYDROXYLAMIN~S etc. crude product. The product recrystallised from
ethanol, (60%), m.p. 158-59 (Found: C,5885:
H, 3.60; N, 9.85. CuH10N 110 6 calcd. for: C,
58.74; H, 3.49: N, 9.78%). The infrared spectrum
showed bands 1 640 (C=O of amide), 1 765
(C=O of ester), 1 520 (N011 ) and 3100 cm-1 (NH) ;
8 (CDCI8 +TFA) 7.66 (m, Ar). crude product. The product recrystallised from
ethanol, (60%), m.p. 158-59 (Found: C,5885:
H, 3.60; N, 9.85. CuH10N 110 6 calcd. for: C,
58.74; H, 3.49: N, 9.78%). The infrared spectrum
showed bands 1 640 (C=O of amide), 1 765
(C=O of ester), 1 520 (N011 ) and 3100 cm-1 (NH) ;
8 (CDCI8 +TFA) 7.66 (m, Ar). Experimental Preparation of 0-p-
nitrobenzoylbenzohydroxamic acid: Benzohydroxamic
acid (O.Ol mol) was mixed with p-nitrobeozoyl
chloride (0.01 mol) in anhydrous pyridine (25 ml)
and the reaction mixture was stirred at room tem-
perature for 8 h. Upon addition of distilled water
(25 ml) to the reaction mixture the resulting pre-
cipitate was allowed to settle. The supernatant layer
was decanted off. The crude precipitate was dissol-
ved in a minimum amount of absolute ethanol and
the solution passed through alumina column. The
column was eluted with ethanol. The ethanol
fraction thus collected was evaporated to give a 102 RefereucH 1. R. T. OouTrs, Oan.J. Pharm. Sci.,1967,J, 27. 51. B. T. OoU'l"J.'S, J. w. HUBBARD, X. K. MIDHA a.nd K. PRASAD, J, Pharm. Sci.,1971, 28, CO, 8. J. H. Oooutv, W, D. BILLS and J. B. T. MoB.TON,J, Org. Ohem., 1960, 25, 1784. '· A. B. SINGH A a.nd B. N. MISRA, Indian J, Ohem., Sect. B,
19851, 21, 861. The
other acylated
derivatives were also
prepared by the method described above and the
results are reported in Table 3. II. B. N. MISRA, A. 8. BtMGHA, G. B. CHAUHAN a.nd R. P. SHARMA, IndiaKJ, Ohem., Sect. B, 198,, 23, 7f.i8. TABL:S: 8-PHYSICAL DATA OJil 00MPOUNDS 4
81. R
R"
M.p. Yield
~
~
%
Acknowledgement
1£9-150
11!6 -157
1118-59
1715-76
177-78
78.0
76.0
60.0
611.0
70.0
One of the authors (A.S.S.) is thankful to Dr. R. .. c. Chauhan,
Principal,
Regional
Engineering
College, Hamirpur, for facilities. 6. J. M. Mrr.t.:S:R, X. H. So and J. H. CLARK, Oan.J. Ohem.,
1979, 57, 1887. TABL:S: 8-PHYSICAL DATA OJil 00MPOUNDS 4
81. R
R"
M.p. Yield
~
~
%
1£9-150
11!6 -157
1118-59
1715-76
177-78
78.0
76.0
60.0
611.0
70.0 7. 0. M. B'L'ARXS and 0. LIO't'tA, ''Phase Transfer Oa.talyaia",
Academic, New York, 1978. 8. M. MAxoszA and B. B:S:RAPINOV A, ROOZ. Ohem., 19615,
39, 1229. 9. A. B. BtNGHA and B. N. MISRA, Indian J. Ohem., Sect. B,
19815, 24, 10611. 10. W. B. B:S:NJiiROW and 0. R. HAUSAR, / • .A.m. Ohem. SOIJ.,
1997,59, 2SOB. 11. M. M. WARREN a.nd W. B. WARR:S:N.J. tlm. "Ohtm. Soc.,
19156,77, 1068 • 103
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https://openalex.org/W2155989131
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https://journals.iucr.org/e/issues/2010/10/00/zl2307/zl2307.pdf
|
Sinhala, Sinhalese
| null |
Diaquabis(1,10-phenanthroline)nickel(II) tetrakis(cyanido-κ<i>C</i>)nickelate(II) tetrahydrofuran solvate monohydrate
|
Acta crystallographica. Section E
| 2,010
|
cc-by
| 5,629
|
metal-organic compounds metal-organic compounds Experimental
Crystal data
[Ni(C12H8N2)2(H2O)2][Ni(CN)4]-
C4H8OH2O
Mr = 708.06
Monoclinic, P21=n
a = 11.4623 (3) A˚
b = 14.3184 (4) A˚
c = 19.2329 (4) A˚
= 91.189 (2)
V = 3155.86 (14) A˚ 3
Z = 4
Mo K radiation
= 1.24 mm1
T = 296 K
0.25 0.23 0.18 mm
Data collection
Bruker APEXII CCD area-detector
diffractometer
Absorption correction: multi-scan
(SADABS; Sheldrick, 1996)
Tmin = 0.746, Tmax = 0.807
29619 measured reflections
6199 independent reflections
3756 reflections with I > 2(I)
Rint = 0.098
Refinement
R[F 2 > 2(F 2)] = 0.048
wR(F 2) = 0.119
S = 1.02
6199 reflections
436 parameters
70 restraints
H-atom parameters constrained
max = 0.36 e A˚ 3
min = 0.39 e A˚ 3 Acta Crystallographica Section E
Structure Reports
Online
ISSN 1600-5368 Acta Crystallographica Section E
Structure Reports
Online
ISSN 1600-5368 = 91.189 (2)
V = 3155.86 (14) A˚ 3
Z = 4
Mo K radiation
= 1.24 mm1
T = 296 K
0.25 0.23 0.18 mm Table 1 The title complex, [Ni(C12H8N2)2(H2O)2][Ni(CN)4]C4H8O-
H2O, consists of a cationic [Ni(C12H8N2)2(H2O)2]2+ unit, an
anionic [Ni(CN)4]2 unit, one uncoordinated water and one
tetrahydrofuran molecule. In the cationic unit, the Ni2+ atom is
coordinated by four N atoms and two O atoms from two 1,10-
phenanthroline ligands and two water molecules in a distorted
octahedral coordination environment. In the anionic unit, the
Ni2+ atom is in a square-planar coordination by four C atoms
from four monodentate terminal cyanide ligands. O—H N
and O—H O hydrogen bonds link neighboring cationic and
anionic units, forming a three-dimensional supramolecular
network. The interstitial tetrahydrofuran molecule is inde-
pendently disordered over two sites in a 1:1 ratio. D—H A
D—H
H A
D A
D—H A
O4—H4A N8i
0.84
2.02
2.857 (6)
173
O2—H2A O4ii
0.82
2.30
3.116 (5)
173
O2—H2B N5iii
0.79
2.60
3.154 (5)
128
O1—H1B N5iii
0.86
2.63
3.377 (6)
147
O1—H1B N5iii
0.86
2.63
3.377 (6)
147
O1—H1A N6iv
0.90
2.39
3.250 (5)
161
O4—H4B N7
0.83
1.99
2.804 (5)
167
Symmetry
codes:
(i)
x þ 3
2; y þ 1
2; z þ 3
2;
(ii)
x þ 3
2; y 1
2; z þ 1
2;
(iii)
x þ 1; y; z þ 1; (iv) x þ 1
2; y þ 1
2; z 1
2. Data collection: APEX2 (Bruker, 2004); cell refinement: SAINT
(Bruker, 2004); data reduction: SAINT; program(s) used to solve
structure: SHELXS97 (Sheldrick, 2008); program(s) used to refine
structure: SHELXL97 (Sheldrick, 2008); molecular graphics: XP in
SHELXTL (Sheldrick, 2008); software used to prepare material for
publication: SHELXTL. Related literature For general background to cyanido–metal complexes, see:
Miyasaka et al. (2007); Shatruk et al. (2009); Kou et al. (2001);
Paharova et al. (2003); Yuge et al. (1996); Yun et al. (2004). This work was supported by East China Jiaotong Univer-
sity. Supplementary data and figures for this paper are available from the
IUCr electronic archives (Reference: ZL2307). References
Bruker (2004). APEX2 and SAINT. Bruker AXS Inc., Madison, Wisconsin,
USA. Kou, H. Z., Gao, S., Bai, Q. & Wang, Z. M. (2001). Inorg. Chem. 40, 6287–6294. Miyasaka, H., Saitoh, A. & Abe, S. (2007). Coord. Chem. Rev. 251, 2622–2664. Paharova, J., Cernak, J., Boca, R. & Zak, Z. (2003). Inorg. Chim. Acta, 346, 25–
31. Shatruk, M., Avendano, C. & Dunbar, K. R. (2009). Prog. Inorg. Chem. 56,
155–334. Sheldrick, G. M. (1996). SADABS. University of Go¨ttingen, Germany. Sheldrick, G. M. (2008). Acta Cryst. A64, 112–122. Yuge, H., Noda, Y. & Iwamoto, T. (1996). Inorg. Chem. 35, 1842–1848. Yun, S. S., Moon, H. S., Kim, C. H. & Lee, S. G. (2004). J. Coord. Chem. 57, 17–
23. Supplementary data and figures for this paper are available from the
IUCr electronic archives (Reference: ZL2307). Zhi-li Fanga* and Jun Wangb aSchool of Basic Science, East China Jiaotong University, Nanchang 330013,
People’s Republic of China, and bZhongshan Polytechnic, Zhongshan, Guangdong
528404, People’s Republic of China
Correspondence e-mail: wangjun7203@126.com 70 restraints
H-atom parameters constrained
max = 0.36 e A˚ 3
min = 0.39 e A˚ 3 Received 8 September 2010; accepted 15 September 2010 Received 8 September 2010; accepted 15 September 2010 Key indicators: single-crystal X-ray study; T = 296 K; mean (C–C) = 0.007 A˚;
disorder in main residue; R factor = 0.048; wR factor = 0.119; data-to-parameter
ratio = 14.2. S2. Experimental Nickel cyanide (0.1107 g, 1 mmol) and 1,10-phenanthroline (0.1801 g, 1 mmol) were added to a mixture of water (10
mL) and tetrahydrofuran (5 mL). The resultant mixture was sealed in a 25 ml stainless steel reactor with a Teflon liner
and kept under autogenous pressure at 413 K for 24 h, and then cooled to room temperature at a rate of 0.5 K/min. Green
block shaped crystals of the title compound suitable for single-crystal X-ray diffraction analysis formed with a yield of
approximately 56% based on 1,10-phenanthroline. S1. Comment The study of cyanide-bridged complexes has gained great recognition over the last decade not only owing to their
fascinating structural diversity and their intriguing topological networks, but also because of interesting magnetic
properties, such as spin-crossover behaviour or the formation of single-molecular or single-chain magnets (Miyasaka et
al., 2007; Shatruk et al., 2009). To date, much effort has been invested to construct cyanide-based complexes by the
choice of versatile metal cyanide or cyanide-based building units (Kou et al., 2001; Yun et al., 2004; Yuge et al., 1996). In this context we have chosen nickel cyanide as a potential bridging building block, and 1,10-phenanthroline as an
auxilary ligand to construct new structures. Reaction of the two building blocks yielded the title compound
[Ni(C12H8N2)2(H2O)2].[Ni(CN)4].C4H8O.H2O. As depicted in Fig. 1, the structure of the title compound, consists of a cationic [Ni(C12H8N2)2(H2O)2]2+ unit, an anionic
[Ni(CN)4]2- unit, and each one interstitial water and tetrahydrofuran molecule. Thus no cyano bridged complex with
different nickel centers was formed but the nickel atoms are found in separate anionic and a cationic complex ions. In the
cationic unit, the six-coordinate octahedral Ni2+ center is surrounded by four N atoms and two O atoms from two 1,10-
phenanthroline ligands and two water molecules. In the anionic unit, the square planar Ni2+ center is coordinated by four
C atoms from four mono-dentate terminal cyanide ligands. Similar structures containing Ni(CN)4 units have been
observed in other complexes (Paharova et al., 2003). O—H···N and O—H···O hydrogen bonds (Table 1) are formed
between the cationic units, the anionic units and the uncoordinating water molecules which assemble them to form a
three-dimensional supramolecular network (Fig. 2). The network is also stabilized by π-π stacking interactions between
the Ni(CN)4 units and the 1,10-phenanthroline ligands. The interplanar distance between them is ca. 3.60 Å (symmetry
operator for the 1,10-phenanthroline ligand: 0.5+x, 0.5-y, -0.5+z). The interstitial tetrahydrofuran molecule is
independently disordered over two sites in a one to one ratio (see refinement section for details). Acta Cryst. (2010). E66, m1285 [doi:10.1107/S1600536810036974] Acta Cryst. (2010). E66, m1285 [doi:10.1107/S1600536810036974] Acta Cryst. (2010). E66, m1285 [doi:10.1107/S1600536810036974] Acta Cryst. (2010). E66, m1285 [doi:10.1107/S1600536810036974] Acta Cryst. (2010). E66, m1285 [doi:10.1107/S1600536810036974] References Bruker (2004). APEX2 and SAINT. Bruker AXS Inc., Madison, Wisconsin,
USA. Kou, H. Z., Gao, S., Bai, Q. & Wang, Z. M. (2001). Inorg. Chem. 40, 6287–6294. Miyasaka, H., Saitoh, A. & Abe, S. (2007). Coord. Chem. Rev. 251, 2622–2664. Paharova, J., Cernak, J., Boca, R. & Zak, Z. (2003). Inorg. Chim. Acta, 346, 25–
31. Sh
k M
A
d
C & D
b
K R (2009) P
I
Ch
56 Shatruk, M., Avendano, C. & Dunbar, K. R. (2009). Prog. Inorg. Chem. 56,
155–334. Sheldrick, G. M. (1996). SADABS. University of Go¨ttingen, Germany. Sh ld i k G M (2008) A
C
A64 112 122 (
)
y
Yuge, H., Noda, Y. & Iwamoto, T. (1996). Inorg. Chem. 35, 1842–1848. g ,
,
,
,
(
)
g
,
Yun, S. S., Moon, H. S., Kim, C. H. & Lee, S. G. (2004). J. Coord. Chem. 57, 17–
23. Acta Cryst. (2010). E66, m1285 Fang and Wang
m1285 m1285 Fang and Wang
m doi:10.1107/S1600536810036974 supporting information Figure 1 The structure of the title compound, showing the atomic numbering scheme. Non-H atoms are shown with 30%
probability displacement ellipsoids. The disordered section is omitted for clarity. Figure 2 Figure 2 supporting information indicating disorder. The THF molecule was thus refined as being disordered over two sites in a one to one ratio. Due to
the significant overlap of the disordered atoms the following restraints and constraints were applied: The adps of the
disordered atoms were restrained to be close to isotropic and those of equivalent atoms were set to be identical. indicating disorder. The THF molecule was thus refined as being disordered over two sites in a one to one ratio. Due to
the significant overlap of the disordered atoms the following restraints and constraints were applied: The adps of the
disordered atoms were restrained to be close to isotropic and those of equivalent atoms were set to be identical. All water H atoms were tentatively located in difference density Fourier maps and were refined with O–H distance
restraints of 0.83 (1) Å and with Uiso(H) = 1.5 Ueq(O). In the last stage of the refinement, they were treated as riding on
their parent O atoms. All H atoms attached to C atoms were fixed geometrically and treated as riding with C—H = 0.93 Å
(aromatic) or 0.97Å (tetrahydrofuran ring) and Uiso(H) = 1.2Ueq(C). S3. Refinement The tetrahydrofuran molecules are arranged as symmetry related pairs around a center of inversion. In the original
refinement the oxygen atoms of the tetrahydrofuran molecules showed significantly elongated thermal ellipsoids sup-1 Acta Cryst. (2010). E66, m1285 supporting information Diaquabis(1,10-phenanthroline)nickel(II) tetrakis(cyanido-κC)nickelate(II) tetrahydrofuran solvate monohydrate F(000) = 1464
Dx = 1.490 Mg m−3
Mo Kα radiation, λ = 0.71073 Å
Cell parameters from 4500 reflections
θ = 1.3–28.0°
µ = 1.24 mm−1
T = 296 K
Block, green
0.25 × 0.23 × 0.18 mm F(000) = 1464
Dx = 1.490 Mg m−3
Mo Kα radiation, λ = 0.71073 Å
Cell parameters from 4500 reflections
θ = 1.3–28.0°
µ = 1.24 mm−1
T = 296 K
Block, green
0.25 × 0.23 × 0.18 mm 29619 measured reflections
6199 independent reflections
3756 reflections with I > 2σ(I)
Rint = 0.098
θmax = 26.0°, θmin = 1.8°
h = −14→13
k = −17→15
l = −23→23 29619 measured reflections
6199 independent reflections
3756 reflections with I > 2σ(I)
Rint = 0.098
θmax = 26.0°, θmin = 1.8°
h = −14→13
k = −17→15
l = −23→23 Secondary atom site location: difference Fourier
map
Hydrogen site location: inferred from
neighbouring sites
H-atom parameters constrained
w = 1/[σ2(Fo2) + (0.0447P)2 + 1.097P]
where P = (Fo2 + 2Fc2)/3
(Δ/σ)max = 0.001
Δρmax = 0.36 e Å−3
Δρmin = −0.39 e Å−3 Secondary atom site location: difference Fourier
map
Hydrogen site location: inferred from
neighbouring sites
H-atom parameters constrained
w = 1/[σ2(Fo2) + (0.0447P)2 + 1.097P]
where P = (Fo2 + 2Fc2)/3
(Δ/σ)max = 0.001
Δρmax = 0.36 e Å−3
Δρmin = −0.39 e Å−3 Figure 2 g
View of the three-dimensional structure of the title compound, view down the direction of the a-axis. Dashed lines
indicate hydrogen bonds. g
View of the three-dimensional structure of the title compound, view down the direction of the a-axis. Dashed lines
indicate hydrogen bonds. View of the three-dimensional structure of the title compound, view down the direction of the a-axis. Dashed lines
indicate hydrogen bonds. sup-2 Acta Cryst. (2010). E66, m1285 supporting information Diaquabis(1,10-phenanthroline)nickel(II) tetrakis(cyanido-κC)nickelate(II) tetrahydrofuran solvate monohydrate
Crystal data
[Ni(C12H8N2)2(H2O)2][Ni(CN)4]·C4H8O·H2O
Mr = 708.06
Monoclinic, P21/n
Hall symbol: -P 2yn
a = 11.4623 (3) Å
b = 14.3184 (4) Å
c = 19.2329 (4) Å
β = 91.189 (2)°
V = 3155.86 (14) Å3
Z = 4
F(000) = 1464
Dx = 1.490 Mg m−3
Mo Kα radiation, λ = 0.71073 Å
Cell parameters from 4500 reflections
θ = 1.3–28.0°
µ = 1.24 mm−1
T = 296 K
Block, green
0.25 × 0.23 × 0.18 mm
Data collection
Bruker APEXII CCD area-detector
diffractometer
Radiation source: fine-focus sealed tube
Graphite monochromator
φ and ω scan
Absorption correction: multi-scan
(SADABS; Sheldrick, 1996)
Tmin = 0.746, Tmax = 0.807
29619 measured reflections
6199 independent reflections
3756 reflections with I > 2σ(I)
Rint = 0.098
θmax = 26.0°, θmin = 1.8°
h = −14→13
k = −17→15
l = −23→23
Refinement
Refinement on F2
Least-squares matrix: full
R[F2 > 2σ(F2)] = 0.048
wR(F2) = 0.119
S = 1.02
6199 reflections
436 parameters
70 restraints
Primary atom site location: structure-invariant
direct methods
Secondary atom site location: difference Fourier
map
Hydrogen site location: inferred from
neighbouring sites
H-atom parameters constrained
w = 1/[σ2(Fo2) + (0.0447P)2 + 1.097P]
where P = (Fo2 + 2Fc2)/3
(Δ/σ)max = 0.001
Δρmax = 0.36 e Å−3
Δρmin = −0.39 e Å−3
S
i l d t il Special details Geometry. All esds (except the esd in the dihedral angle between two l.s. planes) are estimated using the full covariance
matrix. The cell esds are taken into account individually in the estimation of esds in distances, angles and torsion angles;
correlations between esds in cell parameters are only used when they are defined by crystal symmetry. An approximate
(isotropic) treatment of cell esds is used for estimating esds 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 > 2sigma(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
Occ. (<1)
Ni1
0.73838 (4)
0.17737 (3)
0.04274 (2)
0.03482 (15)
Ni2
0.48209 (5)
0.20766 (4)
0.79200 (3)
0.04305 (17)
C1
0.4836 (4)
0.1426 (3)
0.0908 (2)
0.0572 (12)
H1
0.4828
0.0911
0.0613
0.069* Fractional atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2)
x
y
z
U */U l atomic coordinates and isotropic or equivalent isotropic displacement parameters (Å2) sup-3 Acta Cryst. (2010). Special details E66, m1285 supporting information C2
0.3846 (4)
0.1617 (4)
0.1285 (3)
0.0663 (14)
H2
0.3194
0.1232
0.1242
0.080*
C3
0.3831 (4)
0.2367 (4)
0.1717 (2)
0.0600 (13)
H3
0.3171
0.2498
0.1973
0.072*
C4
0.4824 (4)
0.2947 (3)
0.1775 (2)
0.0462 (11)
C5
0.4898 (4)
0.3746 (3)
0.2216 (2)
0.0576 (13)
H5
0.4256
0.3917
0.2475
0.069*
C6
0.5879 (5)
0.4254 (4)
0.2262 (2)
0.0605 (13)
H6
0.5898
0.4781
0.2546
0.073*
C7
0.6894 (4)
0.4006 (3)
0.1886 (2)
0.0453 (11)
C8
0.7965 (4)
0.4469 (3)
0.1947 (2)
0.0558 (12)
H8
0.8040
0.4991
0.2232
0.067*
C9
0.8898 (4)
0.4154 (3)
0.1589 (2)
0.0576 (12)
H9
0.9619
0.4447
0.1641
0.069*
C10
0.8768 (4)
0.3390 (3)
0.1145 (2)
0.0449 (10)
H10
0.9406
0.3194
0.0892
0.054*
C11
0.6845 (3)
0.3236 (3)
0.14461 (19)
0.0374 (9)
C12
0.5792 (3)
0.2690 (3)
0.13842 (19)
0.0385 (10)
C13
0.9954 (4)
0.1386 (3)
0.0009 (2)
0.0487 (11)
H13
0.9990
0.0966
0.0378
0.058*
C14
1.0949 (4)
0.1500 (3)
−0.0389 (2)
0.0572 (12)
H14
1.1623
0.1163
−0.0286
0.069*
C15
1.0920 (4)
0.2110 (4)
−0.0931 (2)
0.0600 (13)
H15
1.1574
0.2193
−0.1202
0.072*
C16
0.9890 (4)
0.2616 (3)
−0.1077 (2)
0.0491 (11)
C17
0.9790 (5)
0.3292 (4)
−0.1628 (2)
0.0605 (13)
H17
1.0429
0.3416
−0.1904
0.073*
C18
0.8782 (5)
0.3746 (3)
−0.1747 (2)
0.0590 (13)
H18
0.8738
0.4185
−0.2103
0.071*
C19
0.7774 (4)
0.3571 (3)
−0.1341 (2)
0.0473 (11)
C20
0.6690 (5)
0.4007 (3)
−0.1461 (2)
0.0621 (13)
H20
0.6601
0.4448
−0.1813
0.074*
C21
0.5770 (5)
0.3779 (4)
−0.1056 (3)
0.0673 (14)
H21
0.5043
0.4052
−0.1137
0.081*
C22
0.5928 (4)
0.3134 (3)
−0.0518 (2)
0.0520 (12)
H22
0.5296
0.2993
−0.0242
0.062*
C23
0.7853 (4)
0.2925 (3)
−0.07893 (19)
0.0381 (9)
C24
0.8938 (3)
0.2446 (3)
−0.0653 (2)
0.0373 (10)
C29
0.4221 (4)
0.1348 (3)
0.8642 (2)
0.0472 (11)
C30
0.3446 (4)
0.2780 (3)
0.7844 (2)
0.0446 (10)
C31
0.5426 (4)
0.2827 (3)
0.7224 (2)
0.0491 (11)
C32
0.6215 (4)
0.1392 (4)
0.7953 (2)
0.0558 (12)
N1
0.7769 (3)
0.2932 (2)
0.10702 (15)
0.0370 (8)
N2
0.5797 (3)
0.1947 (2)
0.09474 (16)
0.0420 (8)
N3
0.8970 (3)
0.1838 (2)
−0.01070 (15)
0.0364 (8)
N4
0.6931 (3)
0.2713 (2)
−0.03846 (17)
0.0402 (8)
N5
0.3878 (3)
0.0904 (3)
0.9091 (2)
0.0645 (11)
N6
0.2622 (4)
0.3222 (3)
0.7757 (2)
0.0596 (10) sup-4 Acta Cryst. (2010). Special details E66, m1285 supporting information N7
0.5781 (4)
0.3302 (3)
0.6793 (2)
0.0723 (13)
N8
0.7067 (4)
0.0987 (4)
0.7970 (3)
0.0916 (16)
O1
0.8002 (3)
0.0868 (2)
0.12306 (16)
0.0744 (10)
H1A
0.7713
0.1075
0.1634
0.112*
H1B
0.7781
0.0298
0.1231
0.112*
O2
0.6793 (3)
0.0641 (2)
−0.01813 (16)
0.0699 (9)
H2B
0.6433
0.0173
−0.0162
0.105*
H2A
0.7353
0.0480
−0.0414
0.105*
O4
0.6238 (3)
0.5037 (2)
0.61803 (16)
0.0754 (10)
H4B
0.6104
0.4566
0.6421
0.113*
H4A
0.6749
0.5274
0.6444
0.113*
C25
0.158 (5)
0.469 (3)
−0.007 (2)
0.102 (8)
0.50
H25A
0.1659
0.5367
−0.0027
0.122*
0.50
H25B
0.0971
0.4568
−0.0411
0.122*
0.50
C26
0.272 (5)
0.429 (4)
−0.032 (3)
0.105 (6)
0.50
H26A
0.2602
0.3880
−0.0713
0.126*
0.50
H26B
0.3279
0.4773
−0.0426
0.126*
0.50
C27
0.304 (6)
0.377 (4)
0.033 (3)
0.097 (8)
0.50
H27A
0.3687
0.4085
0.0569
0.116*
0.50
H27B
0.3302
0.3146
0.0211
0.116*
0.50
C28
0.202 (4)
0.370 (4)
0.082 (3)
0.099 (7)
0.50
H28A
0.1682
0.3080
0.0806
0.119*
0.50
H28B
0.2253
0.3853
0.1290
0.119*
0.50
O3
0.125 (2)
0.4346 (14)
0.0555 (12)
0.149 (8)
0.50
C26′
0.264 (5)
0.448 (4)
−0.024 (3)
0.105 (6)
0.50
H26C
0.2788
0.4398
−0.0731
0.126*
0.50
H26D
0.3039
0.5038
−0.0079
0.126*
0.50
C27′
0.304 (6)
0.365 (4)
0.016 (3)
0.097 (8)
0.50
H27C
0.3790
0.3749
0.0396
0.116*
0.50
H27D
0.3072
0.3087
−0.0119
0.116*
0.50
C28′
0.204 (4)
0.363 (4)
0.067 (3)
0.099 (7)
0.50
H28C
0.1959
0.3007
0.0862
0.119*
0.50
H28D
0.2195
0.4061
0.1047
0.119*
0.50
C25′
0.134 (5)
0.457 (3)
−0.013 (2)
0.102 (8)
0.50
H25C
0.1159
0.5176
0.0071
0.122*
0.50
H25D
0.0909
0.4506
−0.0565
0.122*
0.50
O3′
0.1045 (16)
0.3878 (11)
0.0316 (9)
0.097 (5)
0.50 O4
0.6238 (3)
0.5037 (2)
0.61803 (16)
0.0754 (10)
H4B
0.6104
0.4566
0.6421
0.113*
H4A
0.6749
0.5274
0.6444
0.113*
C25
0.158 (5)
0.469 (3)
−0.007 (2)
0.102 (8)
0.50
H25A
0.1659
0.5367
−0.0027
0.122*
0.50
H25B
0.0971
0.4568
−0.0411
0.122*
0.50
C26
0.272 (5)
0.429 (4)
−0.032 (3)
0.105 (6)
0.50
H26A
0.2602
0.3880
−0.0713
0.126*
0.50
H26B
0.3279
0.4773
−0.0426
0.126*
0.50
C27
0.304 (6)
0.377 (4)
0.033 (3)
0.097 (8)
0.50
H27A
0.3687
0.4085
0.0569
0.116*
0.50
H27B
0.3302
0.3146
0.0211
0.116*
0.50
C28
0.202 (4)
0.370 (4)
0.082 (3)
0.099 (7)
0.50
H28A
0.1682
0.3080
0.0806
0.119*
0.50
H28B
0.2253
0.3853
0.1290
0.119*
0.50
O3
0.125 (2)
0.4346 (14)
0.0555 (12)
0.149 (8)
0.50
C26′
0.264 (5)
0.448 (4)
−0.024 (3)
0.105 (6)
0.50
H26C
0.2788
0.4398
−0.0731
0.126*
0.50
H26D
0.3039
0.5038
−0.0079
0.126*
0.50
C27′
0.304 (6)
0.365 (4)
0.016 (3)
0.097 (8)
0.50
H27C
0.3790
0.3749
0.0396
0.116*
0.50
H27D
0.3072
0.3087
−0.0119
0.116*
0.50
C28′
0.204 (4)
0.363 (4)
0.067 (3)
0.099 (7)
0.50
H28C
0.1959
0.3007
0.0862
0.119*
0.50
H28D
0.2195
0.4061
0.1047
0.119*
0.50
C25′
0.134 (5)
0.457 (3)
−0.013 (2)
0.102 (8)
0.50
H25C
0.1159
0.5176
0.0071
0.122*
0.50
H25D
0.0909
0.4506
−0.0565
0.122*
0.50
O3′
0.1045 (16)
0.3878 (11)
0.0316 (9)
0.097 (5)
0.50
Atomic displacement parameters (Å2)
U11
U22
U33
U12
U13
U23
Ni1
0.0352 (3)
0.0362 (3)
0.0333 (3)
−0.0028 (2)
0.0057 (2)
−0.0022 (2)
Ni2
0.0407 (3)
0.0463 (4)
0.0423 (3)
−0.0016 (3)
0.0050 (2)
0.0095 (2)
C1
0.050 (3)
0.065 (3)
0.057 (3)
−0.013 (2)
0.010 (2)
−0.008 (2)
C2
0.043 (3)
0.085 (4)
0.071 (3)
−0.016 (3)
0.015 (3)
−0.002 (3)
C3
0.040 (3)
0.086 (4)
0.054 (3)
0.002 (3)
0.015 (2)
0.000 (3)
C4
0.045 (3)
0.058 (3)
0.037 (2)
0.009 (2)
0.0071 (19)
0.003 (2)
C5
0.053 (3)
0.064 (3)
0.056 (3)
0.018 (3)
0.013 (2)
−0.010 (2) Atomic displacement parameters (Å2)
U11
U22
U33
U12
U13
U23
Ni1
0.0352 (3)
0.0362 (3)
0.0333 (3)
−0.0028 (2)
0.0057 (2)
−0.0022 (2)
Ni2
0.0407 (3)
0.0463 (4)
0.0423 (3)
−0.0016 (3)
0.0050 (2)
0.0095 (2)
C1
0.050 (3)
0.065 (3)
0.057 (3)
−0.013 (2)
0.010 (2)
−0.008 (2)
C2
0.043 (3)
0.085 (4)
0.071 (3)
−0.016 (3)
0.015 (3)
−0.002 (3)
C3
0.040 (3)
0.086 (4)
0.054 (3)
0.002 (3)
0.015 (2)
0.000 (3)
C4
0.045 (3)
0.058 (3)
0.037 (2)
0.009 (2)
0.0071 (19)
0.003 (2)
C5
0.053 (3)
0.064 (3)
0.056 (3)
0.018 (3)
0.013 (2)
−0.010 (2) Atomic displacement parameters (Å2) sup-5 Acta Cryst. Acta Cryst. (2010). E66, m1285 Special details (2010). Special details E66, m1285 supporting information C6
0.070 (4)
0.059 (3)
0.053 (3)
0.014 (3)
0.007 (3)
−0.014 (2)
C7
0.056 (3)
0.040 (3)
0.040 (2)
0.001 (2)
−0.002 (2)
−0.0076 (19)
C8
0.072 (4)
0.042 (3)
0.053 (3)
−0.003 (3)
−0.003 (3)
−0.015 (2)
C9
0.055 (3)
0.050 (3)
0.068 (3)
−0.011 (2)
−0.009 (3)
−0.002 (2)
C10
0.041 (3)
0.046 (3)
0.048 (2)
−0.008 (2)
0.002 (2)
−0.006 (2)
C11
0.040 (2)
0.036 (2)
0.036 (2)
0.0040 (19)
0.0036 (18)
−0.0009 (18)
C12
0.036 (2)
0.046 (3)
0.033 (2)
0.0026 (19)
0.0032 (18)
−0.0014 (19)
C13
0.049 (3)
0.052 (3)
0.045 (2)
0.007 (2)
0.002 (2)
−0.001 (2)
C14
0.039 (3)
0.066 (3)
0.066 (3)
0.010 (2)
0.007 (2)
−0.005 (3)
C15
0.043 (3)
0.078 (4)
0.060 (3)
−0.001 (3)
0.025 (2)
−0.005 (3)
C16
0.046 (3)
0.052 (3)
0.049 (3)
−0.005 (2)
0.012 (2)
−0.004 (2)
C17
0.066 (3)
0.068 (3)
0.048 (3)
−0.017 (3)
0.017 (2)
0.004 (3)
C18
0.077 (4)
0.062 (3)
0.039 (2)
−0.007 (3)
0.007 (2)
0.010 (2)
C19
0.056 (3)
0.045 (3)
0.041 (2)
−0.006 (2)
−0.001 (2)
0.000 (2)
C20
0.076 (4)
0.056 (3)
0.054 (3)
0.005 (3)
−0.011 (3)
0.014 (2)
C21
0.055 (3)
0.074 (4)
0.072 (3)
0.009 (3)
−0.019 (3)
0.002 (3)
C22
0.036 (3)
0.064 (3)
0.056 (3)
0.006 (2)
−0.001 (2)
−0.001 (2)
C23
0.043 (2)
0.037 (2)
0.034 (2)
−0.0033 (19)
0.0004 (18)
−0.0006 (18)
C24
0.036 (2)
0.037 (2)
0.039 (2)
−0.0033 (18)
0.0063 (18)
−0.0044 (18)
C29
0.044 (3)
0.046 (3)
0.052 (3)
−0.004 (2)
−0.002 (2)
0.004 (2)
C30
0.051 (3)
0.049 (3)
0.035 (2)
−0.005 (2)
0.004 (2)
0.007 (2)
C31
0.042 (3)
0.060 (3)
0.045 (2)
−0.001 (2)
0.001 (2)
0.004 (2)
C32
0.051 (3)
0.065 (3)
0.052 (3)
−0.001 (3)
0.004 (2)
0.016 (2)
N1
0.038 (2)
0.0334 (19)
0.0398 (18)
−0.0016 (15)
0.0025 (15)
0.0004 (15)
N2
0.038 (2)
0.048 (2)
0.0403 (18)
−0.0111 (17)
0.0066 (15)
−0.0053 (16)
N3
0.0343 (19)
0.040 (2)
0.0347 (17)
0.0029 (16)
0.0027 (14)
0.0003 (15)
N4
0.037 (2)
0.038 (2)
0.0459 (19)
−0.0004 (16)
0.0036 (16)
−0.0017 (16)
N5
0.068 (3)
0.062 (3)
0.064 (2)
−0.005 (2)
0.010 (2)
0.024 (2)
N6
0.054 (3)
0.063 (3)
0.062 (2)
0.009 (2)
0.011 (2)
0.009 (2)
N7
0.075 (3)
0.079 (3)
0.064 (3)
−0.016 (3)
0.011 (2)
0.026 (2)
N8
0.059 (3)
0.104 (4)
0.112 (4)
0.027 (3)
0.018 (3)
0.042 (3)
O1
0.100 (3)
0.067 (2)
0.0558 (19)
−0.003 (2)
0.0047 (19)
0.0020 (17)
O2
0.079 (2)
0.062 (2)
0.070 (2)
−0.0121 (18)
0.0100 (18)
−0.0100 (18)
O4
0.095 (3)
0.067 (2)
0.064 (2)
−0.014 (2)
−0.0115 (19)
0.0090 (18)
C25
0.11 (2)
0.109 (10)
0.092 (7)
0.014 (10)
0.004 (10)
0.025 (8)
C26
0.099 (8)
0.131 (18)
0.085 (12)
0.029 (11)
0.017 (7)
0.027 (10)
C27
0.077 (5)
0.122 (13)
0.09 (2)
0.020 (8)
0.015 (14)
0.009 (12)
C28
0.078 (5)
0.135 (8)
0.084 (18)
0.023 (5)
0.017 (8)
0.027 (11)
O3
0.112 (15)
0.155 (19)
0.18 (2)
0.059 (13)
0.037 (12)
0.055 (13)
C26′
0.099 (8)
0.131 (18)
0.085 (12)
0.029 (11)
0.017 (7)
0.027 (10)
C27′
0.077 (5)
0.122 (13)
0.09 (2)
0.020 (8)
0.015 (14)
0.009 (12)
C28′
0.078 (5)
0.135 (8)
0.084 (18)
0.023 (5)
0.017 (8)
0.027 (11)
C25′
0.11 (2)
0.109 (10)
0.092 (7)
0.014 (10)
0.004 (10)
0.025 (8)
O3′
0.069 (7)
0.111 (12)
0.111 (10)
0.004 (8)
0.000 (6)
0.046 (8) Acta Cryst. Special details E66, m1285 sup-6 supporting information Geometric parameters (Å, º)
Ni1—O2
2.104 (3)
C19—C20
1.405 (6)
Ni1—N2
2.108 (3)
C19—C23
1.410 (5)
Ni1—N3
2.109 (3)
C20—C21
1.364 (7)
Ni1—N1
2.110 (3)
C20—H20
0.9300
Ni1—N4
2.118 (3)
C21—C22
1.396 (6)
Ni1—O1
2.127 (3)
C21—H21
0.9300
Ni2—C31
1.862 (5)
C22—N4
1.318 (5)
Ni2—C30
1.873 (5)
C22—H22
0.9300
Ni2—C32
1.875 (5)
C23—N4
1.360 (5)
Ni2—C29
1.878 (5)
C23—C24
1.439 (5)
C1—N2
1.331 (5)
C24—N3
1.365 (5)
C1—C2
1.387 (6)
C29—N5
1.149 (5)
C1—H1
0.9300
C30—N6
1.147 (5)
C2—C3
1.359 (6)
C31—N7
1.154 (5)
C2—H2
0.9300
C32—N8
1.135 (6)
C3—C4
1.412 (6)
O1—H1A
0.9004
C3—H3
0.9300
O1—H1B
0.8553
C4—C12
1.402 (5)
O2—H2B
0.7882
C4—C5
1.424 (6)
O2—H2A
0.8229
C5—C6
1.341 (6)
O4—H4B
0.8335
C5—H5
0.9300
O4—H4A
0.8377
C6—C7
1.428 (6)
C25—O3
1.356 (18)
C6—H6
0.9300
C25—C26
1.512 (18)
C7—C11
1.390 (5)
C25—H25A
0.9700
C7—C8
1.398 (6)
C25—H25B
0.9700
C8—C9
1.361 (6)
C26—C27
1.496 (19)
C8—H8
0.9300
C26—H26A
0.9700
C9—C10
1.394 (6)
C26—H26B
0.9700
C9—H9
0.9300
C27—C28
1.517 (16)
C10—N1
1.325 (5)
C27—H27A
0.9700
C10—H10
0.9300
C27—H27B
0.9700
C11—N1
1.366 (5)
C28—O3
1.365 (19)
C11—C12
1.442 (5)
C28—H28A
0.9700
C12—N2
1.356 (5)
C28—H28B
0.9700
C13—N3
1.315 (5)
C26′—C27′
1.495 (19)
C13—C14
1.396 (6)
C26′—C25′
1.513 (18)
C13—H13
0.9300
C26′—H26C
0.9700
C14—C15
1.359 (6)
C26′—H26D
0.9700
C14—H14
0.9300
C27′—C28′
1.516 (16)
C15—C16
1.408 (6)
C27′—H27C
0.9700
C15—H15
0.9300
C27′—H27D
0.9700
C16—C24
1.397 (5)
C28′—O3′
1.365 (19)
C16—C17
1.439 (6)
C28′—H28C
0.9700
C17—C18
1.341 (7)
C28′—H28D
0.9700
C17—H17
0.9300
C25′—O3′
1.356 (18)
C18—C19
1.430 (6)
C25′—H25C
0.9700 Geometric parameters (Å, º) Geometric parameters (Å, )
Ni1—O2
2.104 (3)
C19—C20
Ni1—N2
2.108 (3)
C19—C23
Ni1—N3
2.109 (3)
C20—C21
Ni1—N1
2.110 (3)
C20—H20
Ni1—N4
2.118 (3)
C21—C22
Ni1—O1
2.127 (3)
C21—H21
Ni2—C31
1.862 (5)
C22—N4
Ni2—C30
1.873 (5)
C22—H22
Ni2—C32
1.875 (5)
C23—N4
Ni2—C29
1.878 (5)
C23—C24
C1—N2
1.331 (5)
C24—N3
C1—C2
1.387 (6)
C29—N5
C1—H1
0.9300
C30—N6
C2—C3
1.359 (6)
C31—N7
C2—H2
0.9300
C32—N8
C3—C4
1.412 (6)
O1—H1A
C3—H3
0.9300
O1—H1B
C4—C12
1.402 (5)
O2—H2B
C4—C5
1.424 (6)
O2—H2A
C5—C6
1.341 (6)
O4—H4B
C5—H5
0.9300
O4—H4A
C6—C7
1.428 (6)
C25—O3
C6—H6
0.9300
C25—C26
C7—C11
1.390 (5)
C25—H25A
C7—C8
1.398 (6)
C25—H25B
C8—C9
1.361 (6)
C26—C27
C8—H8
0.9300
C26—H26A
C9—C10
1.394 (6)
C26—H26B
C9—H9
0.9300
C27—C28
C10—N1
1.325 (5)
C27—H27A
C10—H10
0.9300
C27—H27B
C11—N1
1.366 (5)
C28—O3
C11—C12
1.442 (5)
C28—H28A
C12—N2
1.356 (5)
C28—H28B
C13—N3
1.315 (5)
C26′—C27′
C13—C14
1.396 (6)
C26′—C25′
C13—H13
0.9300
C26′—H26C
C14—C15
1.359 (6)
C26′—H26D
C14—H14
0.9300
C27′—C28′
C15—C16
1.408 (6)
C27′—H27C
C15—H15
0.9300
C27′—H27D
C16—C24
1.397 (5)
C28′—O3′
C16—C17
1.439 (6)
C28′—H28C
C17—C18
1.341 (7)
C28′—H28D
C17—H17
0.9300
C25′—O3′
C18—C19
1.430 (6)
C25′—H25C 2.104 (3)
C19—C20
1.405 (6)
2.108 (3)
C19—C23
1.410 (5)
2.109 (3)
C20—C21
1.364 (7)
2.110 (3)
C20—H20
0.9300
2.118 (3)
C21—C22
1.396 (6)
2.127 (3)
C21—H21
0.9300
1.862 (5)
C22—N4
1.318 (5)
1.873 (5)
C22—H22
0.9300
1.875 (5)
C23—N4
1.360 (5)
1.878 (5)
C23—C24
1.439 (5)
1.331 (5)
C24—N3
1.365 (5)
1.387 (6)
C29—N5
1.149 (5)
0.9300
C30—N6
1.147 (5)
1.359 (6)
C31—N7
1.154 (5)
0.9300
C32—N8
1.135 (6)
1.412 (6)
O1—H1A
0.9004
0.9300
O1—H1B
0.8553
1.402 (5)
O2—H2B
0.7882
1.424 (6)
O2—H2A
0.8229
1.341 (6)
O4—H4B
0.8335
0.9300
O4—H4A
0.8377
1.428 (6)
C25—O3
1.356 (18)
0.9300
C25—C26
1.512 (18)
1.390 (5)
C25—H25A
0.9700
1.398 (6)
C25—H25B
0.9700
1.361 (6)
C26—C27
1.496 (19)
0.9300
C26—H26A
0.9700
1.394 (6)
C26—H26B
0.9700
0.9300
C27—C28
1.517 (16)
1.325 (5)
C27—H27A
0.9700
0.9300
C27—H27B
0.9700
1.366 (5)
C28—O3
1.365 (19)
1.442 (5)
C28—H28A
0.9700
1.356 (5)
C28—H28B
0.9700
1.315 (5)
C26′—C27′
1.495 (19)
1.396 (6)
C26′—C25′
1.513 (18)
0.9300
C26′—H26C
0.9700
1.359 (6)
C26′—H26D
0.9700
0.9300
C27′—C28′
1.516 (16)
1.408 (6)
C27′—H27C
0.9700
0.9300
C27′—H27D
0.9700
1.397 (5)
C28′—O3′
1.365 (19)
1.439 (6)
C28′—H28C
0.9700
1.341 (7)
C28′—H28D
0.9700
0.9300
C25′—O3′
1.356 (18)
1.430 (6)
C25′—H25C
0.9700 sup-7 Acta Cryst. Special details (2010). supporting information C18—H18
0.9300
C25′—H25D
0.9700
O2—Ni1—N2
94.81 (13)
C22—C21—H21
120.3
O2—Ni1—N3
91.89 (12)
N4—C22—C21
123.1 (4)
N2—Ni1—N3
170.74 (13)
N4—C22—H22
118.4
O2—Ni1—N1
173.25 (13)
C21—C22—H22
118.4
N2—Ni1—N1
78.57 (12)
N4—C23—C19
122.6 (4)
N3—Ni1—N1
94.55 (12)
N4—C23—C24
117.9 (3)
O2—Ni1—N4
90.46 (12)
C19—C23—C24
119.4 (4)
N2—Ni1—N4
94.27 (13)
N3—C24—C16
123.4 (4)
N3—Ni1—N4
79.26 (12)
N3—C24—C23
117.0 (3)
N1—Ni1—N4
88.75 (12)
C16—C24—C23
119.6 (4)
O2—Ni1—O1
91.88 (13)
N5—C29—Ni2
178.5 (4)
N2—Ni1—O1
90.27 (13)
N6—C30—Ni2
175.9 (4)
N3—Ni1—O1
95.91 (13)
N7—C31—Ni2
178.7 (4)
N1—Ni1—O1
89.48 (13)
N8—C32—Ni2
179.2 (5)
N4—Ni1—O1
174.71 (13)
C10—N1—C11
117.5 (3)
C31—Ni2—C30
87.64 (18)
C10—N1—Ni1
128.5 (3)
C31—Ni2—C32
89.77 (19)
C11—N1—Ni1
114.0 (2)
C30—Ni2—C32
177.23 (18)
C1—N2—C12
117.4 (4)
C31—Ni2—C29
178.2 (2)
C1—N2—Ni1
128.9 (3)
C30—Ni2—C29
92.06 (18)
C12—N2—Ni1
113.7 (3)
C32—Ni2—C29
90.56 (19)
C13—N3—C24
117.0 (3)
N2—C1—C2
123.1 (4)
C13—N3—Ni1
129.9 (3)
N2—C1—H1
118.5
C24—N3—Ni1
113.2 (2)
C2—C1—H1
118.5
C22—N4—C23
118.1 (4)
C3—C2—C1
119.7 (5)
C22—N4—Ni1
129.3 (3)
C3—C2—H2
120.1
C23—N4—Ni1
112.5 (3)
C1—C2—H2
120.1
Ni1—O1—H1A
107.6
C2—C3—C4
119.5 (4)
Ni1—O1—H1B
119.2
C2—C3—H3
120.2
H1A—O1—H1B
101.6
C4—C3—H3
120.2
Ni1—O2—H2B
142.3
C12—C4—C3
116.7 (4)
Ni1—O2—H2A
105.8
C12—C4—C5
119.5 (4)
H2B—O2—H2A
101.7
C3—C4—C5
123.8 (4)
H4B—O4—H4A
97.2
C6—C5—C4
121.0 (4)
O3—C25—C26
113 (4)
C6—C5—H5
119.5
O3—C25—H25A
108.9
C4—C5—H5
119.5
C26—C25—H25A
108.9
C5—C6—C7
121.4 (4)
O3—C25—H25B
108.9
C5—C6—H6
119.3
C26—C25—H25B
108.9
C7—C6—H6
119.3
H25A—C25—H25B
107.7
C11—C7—C8
116.8 (4)
C27—C26—C25
97 (5)
C11—C7—C6
118.9 (4)
C27—C26—H26A
112.3
C8—C7—C6
124.2 (4)
C25—C26—H26A
112.3
C9—C8—C7
119.9 (4)
C27—C26—H26B
112.3
C9—C8—H8
120.1
C25—C26—H26B
112.3
C7—C8—H8
120.1
C26—C27—C28
111 (5)
C8—C9—C10
119.7 (4)
C26—C27—H27A
109.4 0.9300
C25′—H25D
0.9700
94.81 (13)
C22—C21—H21
120.3
91.89 (12)
N4—C22—C21
123.1 (4)
170.74 (13)
N4—C22—H22
118.4
173.25 (13)
C21—C22—H22
118.4
78.57 (12)
N4—C23—C19
122.6 (4)
94.55 (12)
N4—C23—C24
117.9 (3)
90.46 (12)
C19—C23—C24
119.4 (4)
94.27 (13)
N3—C24—C16
123.4 (4)
79.26 (12)
N3—C24—C23
117.0 (3)
88.75 (12)
C16—C24—C23
119.6 (4)
91.88 (13)
N5—C29—Ni2
178.5 (4)
90.27 (13)
N6—C30—Ni2
175.9 (4)
95.91 (13)
N7—C31—Ni2
178.7 (4)
89.48 (13)
N8—C32—Ni2
179.2 (5)
174.71 (13)
C10—N1—C11
117.5 (3)
87.64 (18)
C10—N1—Ni1
128.5 (3)
89.77 (19)
C11—N1—Ni1
114.0 (2)
177.23 (18)
C1—N2—C12
117.4 (4)
178.2 (2)
C1—N2—Ni1
128.9 (3)
92.06 (18)
C12—N2—Ni1
113.7 (3)
90.56 (19)
C13—N3—C24
117.0 (3)
123.1 (4)
C13—N3—Ni1
129.9 (3)
118.5
C24—N3—Ni1
113.2 (2)
118.5
C22—N4—C23
118.1 (4)
119.7 (5)
C22—N4—Ni1
129.3 (3)
120.1
C23—N4—Ni1
112.5 (3)
120.1
Ni1—O1—H1A
107.6
119.5 (4)
Ni1—O1—H1B
119.2
120.2
H1A—O1—H1B
101.6
120.2
Ni1—O2—H2B
142.3
116.7 (4)
Ni1—O2—H2A
105.8
119.5 (4)
H2B—O2—H2A
101.7
123.8 (4)
H4B—O4—H4A
97.2
121.0 (4)
O3—C25—C26
113 (4)
119.5
O3—C25—H25A
108.9
119.5
C26—C25—H25A
108.9
121.4 (4)
O3—C25—H25B
108.9
119.3
C26—C25—H25B
108.9
119.3
H25A—C25—H25B
107.7
116.8 (4)
C27—C26—C25
97 (5)
118.9 (4)
C27—C26—H26A
112.3
124.2 (4)
C25—C26—H26A
112.3
119.9 (4)
C27—C26—H26B
112.3
120.1
C25—C26—H26B
112.3
120.1
C26—C27—C28
111 (5)
119.7 (4)
C26—C27—H27A
109.4 sup-8 Acta Cryst. Special details (2010). E66, m1285 supporting information supporting information C8—C9—H9
120.2
C28—C27—H27A
109.4
C10—C9—H9
120.2
C26—C27—H27B
109.4
N1—C10—C9
122.4 (4)
C28—C27—H27B
109.4
N1—C10—H10
118.8
H27A—C27—H27B
108.0
C9—C10—H10
118.8
O3—C28—C27
104 (5)
N1—C11—C7
123.6 (4)
O3—C28—H28A
111.1
N1—C11—C12
116.1 (3)
C27—C28—H28A
111.1
C7—C11—C12
120.2 (4)
O3—C28—H28B
111.1
N2—C12—C4
123.5 (4)
C27—C28—H28B
111.1
N2—C12—C11
117.5 (3)
H28A—C28—H28B
109.0
C4—C12—C11
119.0 (4)
C25—O3—C28
113 (4)
N3—C13—C14
123.8 (4)
C27′—C26′—C25′
107 (5)
N3—C13—H13
118.1
C27′—C26′—H26C
110.4
C14—C13—H13
118.1
C25′—C26′—H26C
110.4
C15—C14—C13
119.2 (4)
C27′—C26′—H26D
110.4
C15—C14—H14
120.4
C25′—C26′—H26D
110.4
C13—C14—H14
120.4
H26C—C26′—H26D
108.6
C14—C15—C16
119.4 (4)
C26′—C27′—C28′
97 (5)
C14—C15—H15
120.3
C26′—C27′—H27C
112.4
C16—C15—H15
120.3
C28′—C27′—H27C
112.4
C24—C16—C15
117.1 (4)
C26′—C27′—H27D
112.4
C24—C16—C17
119.7 (4)
C28′—C27′—H27D
112.4
C15—C16—C17
123.2 (4)
H27C—C27′—H27D
110.0
C18—C17—C16
120.5 (4)
O3′—C28′—C27′
108 (5)
C18—C17—H17
119.8
O3′—C28′—H28C
110.0
C16—C17—H17
119.8
C27′—C28′—H28C
110.0
C17—C18—C19
121.7 (4)
O3′—C28′—H28D
110.0
C17—C18—H18
119.1
C27′—C28′—H28D
110.0
C19—C18—H18
119.1
H28C—C28′—H28D
108.4
C20—C19—C23
117.2 (4)
O3′—C25′—C26′
107 (4)
C20—C19—C18
123.7 (4)
O3′—C25′—H25C
110.4
C23—C19—C18
119.1 (4)
C26′—C25′—H25C
110.4
C21—C20—C19
119.4 (4)
O3′—C25′—H25D
110.4
C21—C20—H20
120.3
C26′—C25′—H25D
110.4
C19—C20—H20
120.3
H25C—C25′—H25D
108.6
C20—C21—C22
119.4 (5)
C25′—O3′—C28′
107 (4)
C20—C21—H21
120.3 N1
C10
H10
118.8
H27A
C27
H27B
108.0
C9—C10—H10
118.8
O3—C28—C27
104 (5)
N1—C11—C7
123.6 (4)
O3—C28—H28A
111.1
N1—C11—C12
116.1 (3)
C27—C28—H28A
111.1
C7—C11—C12
120.2 (4)
O3—C28—H28B
111.1
N2—C12—C4
123.5 (4)
C27—C28—H28B
111.1
N2—C12—C11
117.5 (3)
H28A—C28—H28B
109.0
C4—C12—C11
119.0 (4)
C25—O3—C28
113 (4)
N3—C13—C14
123.8 (4)
C27′—C26′—C25′
107 (5)
N3—C13—H13
118.1
C27′—C26′—H26C
110.4
C14—C13—H13
118.1
C25′—C26′—H26C
110.4
C15—C14—C13
119.2 (4)
C27′—C26′—H26D
110.4
C15—C14—H14
120.4
C25′—C26′—H26D
110.4
C13—C14—H14
120.4
H26C—C26′—H26D
108.6
C14—C15—C16
119.4 (4)
C26′—C27′—C28′
97 (5)
C14—C15—H15
120.3
C26′—C27′—H27C
112.4
C16—C15—H15
120.3
C28′—C27′—H27C
112.4
C24—C16—C15
117.1 (4)
C26′—C27′—H27D
112.4
C24—C16—C17
119.7 (4)
C28′—C27′—H27D
112.4
C15—C16—C17
123.2 (4)
H27C—C27′—H27D
110.0
C18—C17—C16
120.5 (4)
O3′—C28′—C27′
108 (5)
C18—C17—H17
119.8
O3′—C28′—H28C
110.0
C16—C17—H17
119.8
C27′—C28′—H28C
110.0
C17—C18—C19
121.7 (4)
O3′—C28′—H28D
110.0
C17—C18—H18
119.1
C27′—C28′—H28D
110.0
C19—C18—H18
119.1
H28C—C28′—H28D
108.4
C20—C19—C23
117.2 (4)
O3′—C25′—C26′
107 (4)
C20—C19—C18
123.7 (4)
O3′—C25′—H25C
110.4
C23—C19—C18
119.1 (4)
C26′—C25′—H25C
110.4
C21—C20—C19
119.4 (4)
O3′—C25′—H25D
110.4
C21—C20—H20
120.3
C26′—C25′—H25D
110.4
C19—C20—H20
120.3
H25C—C25′—H25D
108.6
C20—C21—C22
119.4 (5)
C25′—O3′—C28′
107 (4)
C20—C21—H21
120.3
Hydrogen-bond geometry (Å, º)
D—H···A
D—H
H···A
D···A
D—H···A
O4—H4A···N8i
0.84
2.02
2.857 (6)
173
O2—H2A···O4ii
0.82
2.30
3.116 (5)
173
O2—H2B···N5iii
0.79
2.60
3.154 (5)
128
O1—H1B···N5iii
0.86
2.63
3.377 (6)
147
O1—H1B···N5iii
0.86
2.63
3.377 (6)
147 Hydrogen-bond geometry (Å, º)
D—H···A
D—H
H···A
D···A
D—H···A
O4—H4A···N8i
0.84
2.02
2.857 (6)
173
O2—H2A···O4ii
0.82
2.30
3.116 (5)
173
O2—H2B···N5iii
0.79
2.60
3.154 (5)
128
O1—H1B···N5iii
0.86
2.63
3.377 (6)
147
O1—H1B···N5iii
0.86
2.63
3.377 (6)
147 sup-9 Acta Cryst. supporting information (2010). E66, m1285 supporting information supporting information (2010). E66, m1285 supporting information
O1—H1A···N6iv
0.90
2.39
3.250 (5)
161
O4—H4B···N7
0.83
1.99
2.804 (5)
167
Symmetry codes: (i) −x+3/2, y+1/2, −z+3/2; (ii) −x+3/2, y−1/2, −z+1/2; (iii) −x+1, −y, −z+1; (iv) x+1/2, −y+1/2, z−1/2. O1—H1A···N6iv
O4—H4B···N7 sup-10 Acta Cryst. (2010). E66, m1285
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Retroperitoneal Mass: Lymphoma as Differential Diagnosis To Retroperitoneal Fibrosis. Case Report.
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Retroperitoneal Mass: Lymphoma as Differential
Diagnosis To Retroperitoneal Fibrosis. Case Report.
Madalina Nussberger ( madalinarotaru88@yahoo.com )
Cantonal Hospital Sankt Gallen: Kantonsspital Sankt Gallen
Olaf Kim
Cantonal Hospital Sankt Gallen: Kantonsspital Sankt Gallen
Sergio Cogliatti
Cantonal Hospital Sankt Gallen: Kantonsspital Sankt Gallen
Thomas Neumann
Cantonal Hospital Sankt Gallen: Kantonsspital Sankt Gallen
Research Article
Keywords: retroperitoneal mass, retroperitoneal ¦brosis, lymphoma , case report
Posted Date: July 19th, 2021
DOI: https://doi.org/10.21203/rs.3.rs-536375/v1
License: This work is licensed under a Creative Commons Attribution 4.0 International License.
Read Full License
Version of Record: A version of this preprint was published at SN Comprehensive Clinical Medicine on
January 7th, 2022. See the published version at https://doi.org/10.1007/s42399-021-01106-9. Retroperitoneal Mass: Lymphoma as Differential
Diagnosis To Retroperitoneal Fibrosis. Case Report. Madalina Nussberger ( madalinarotaru88@yahoo.com )
Cantonal Hospital Sankt Gallen: Kantonsspital Sankt Gallen
Olaf Kim
Cantonal Hospital Sankt Gallen: Kantonsspital Sankt Gallen
Sergio Cogliatti
Cantonal Hospital Sankt Gallen: Kantonsspital Sankt Gallen
Thomas Neumann
Cantonal Hospital Sankt Gallen: Kantonsspital Sankt Gallen
Research Article
Keywords: retroperitoneal mass, retroperitoneal ¦brosis, lymphoma , case report
Posted Date: July 19th, 2021
DOI: https://doi.org/10.21203/rs.3.rs-536375/v1
License: This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License
Version of Record: A version of this preprint was published at SN Comprehensive Clinical Medicine on
January 7th, 2022. See the published version at https://doi.org/10.1007/s42399-021-01106-9. Research Article License: This work is licensed under a Creative Commons Attribution 4.0 International License. Read Full License Version of Record: A version of this preprint was published at SN Comprehensive Clinical Medicine on
January 7th, 2022. See the published version at https://doi.org/10.1007/s42399-021-01106-9. Background The nature of a solid retroperitoneal mass can either be autoimmune or neoplastic and should be
investigated by imaging and histology. The spectrum of differential diagnoses includes primarily
retroperitoneal fibrosis and retroperitoneal tumors. Because treatments of retroperitoneal
fibrosis and retroperitoneal tumors vary substantially, accurate and early diagnosis is highly
relevant. Retroperitoneal mass: lymphoma as differential diagnosis to
retroperitoneal fibrosis. Case report. Madalina Nussberger * a, Olaf Chan-Hi Kim b, Sergio Cogliatti c, Thomas Neumann a
a Department of Rheumatology and Immunology, Cantonal Hospital St. Gallen, Switzerland
b Department of Radiology, and nuclear medicine Cantonal Hospital St. Gallen, Switzerland
c Institute of Pathology, Cantonal Hospital St. Gallen, St. Gallen, Switzerland
Corresponding Author: Department of Rheumatology and Immunology, Cantonal Hospital St. Gallen
Rorschacher Strasse 95, 9007 St. Gallen, Switzerland Case presentation We present a case of a fifty-four-year old woman that was admitted to our hospital with stroke
like symptoms. Suspecting a vasculitis, magnet resonance imaging of the head and abdomen
were done, which revealed a circular enhancement of a cranial vessel as well as retroperitoneal
and peri-aortic masses. Concerning this specific radiographic patterns, an autoimmune process
like retroperitoneal fibrosis was hypothesized. Steroid treatment did not lead to significant
remission though. On re-evaluation of the mass because of refractory disease, fine needle
aspiration did not show malignant cells while surgery and histologic assessment revealed
neoplastic lymphoproliferation. The final diagnosis was a non- Hodgkin B- Cell Lymphoma. Chemo- and Immunotherapy was initiated. A control abdominal computer tomography was
performed which revealed a significant remission of the retroperitoneal mass. 1 Background Retroperitoneal masses can be a diagnostic challenge for clinicians because radiologic findings
may suggest a number of possible diagnoses. The main differential diagnosis is retroperitoneal
fibrosis (RF) which consists of chronic soft tissue fibrosis in the retroperitoneum, often leading to
compression of retroperitoneal organs (i.e. obstructive mega-ureter/hydronephrosis and renal
failure) and/or compression of veins, arteries, and lymphatic vessels leading to edema, Retroperitoneal masses can be a diagnostic challenge for clinicians because radiologic findings
may suggest a number of possible diagnoses. The main differential diagnosis is retroperitoneal
fibrosis (RF) which consists of chronic soft tissue fibrosis in the retroperitoneum, often leading to
compression of retroperitoneal organs (i.e. obstructive mega-ureter/hydronephrosis and renal
failure) and/or compression of veins, arteries, and lymphatic vessels leading to edema,
thrombotic disease, hydrocele, and claudication (1). In the retroperitoneum, lymphoma is the
most frequent malignant tumor after retroperitoneal sarcoma (2,3), but metastases originating
from germ cell tumors or other epithelial tumors may also be seen in the retroperitoneal space
(2). However, the retroperitoneal space is uncommon as the primary site and exclusive
manifestation of a malignant lymphoma (3–5). Retroperitoneal lymphomatous involvement may
be secondary to continuous spread from abdominal lymph nodes (5). Radiologic imaging may
permit first differential diagnostic triage, particularly with respect to RF (6), but this needs to be
confirmed histologically (1). We present a case of a 54-year-old female patient with an unclear retroperitoneal mass not
responsive to steroid treatment. Conclusion Initially, the retroperitoneal mass was highly suspicious for RF. The results of imaging can be
useful, however, histology should always be taken into consideration when there is an uncertain
clinical presentation. Without histology we would have missed a non-Hodgkin B-Cell Lymphoma
in this case. Minimal invasive techniques like fine needle aspiration may be practical but can
demonstrate false negative results. Keywords: retroperitoneal mass, retroperitoneal fibrosis, lymphoma , case report 2 2 Case Presentation A 54-year-old woman with a medical history of unprovoked lung and brain embolism underwent
further investigation. She presented with paresthesia and disabling weakness of the right hand
that had persisted for three days. Furthermore, she had been suffering from daily headache
attacks for three weeks. At clinical presentation, the patient was afebrile, hypertensive
(167/78 mmHg), normocard (HR 71 bpm), had a body weight of 90 kg (calculated BMI of 29.4
kg/2m²) and a normal oxygen saturation (95%) breathing ambient air. Examination of her lungs
and heart were inconspicuous. Neurological findings showed paresis of the right finger
movements (i.e. extension, flexion, spreading of the fingers, ab- and adduction, as well as
opposition of the thumb). The remainder of the examination was normal. Routine laboratory testing revealed normal C-reactive protein (CRP) levels and blood
sedimentation rate (BSR). Creatinine was mildly elevated (111 µmol/L (normal values < 95
µmol/L); calculated GFR [Cockcroft-Gault] 73 mL/min, reference value >70 mL/min). She had
normal values for liver enzymes, protein electrophoresis, blood count, and urine analysis. Autoimmune serology was normal for antinuclear antibodies (ANA) and antineutrophil
cytoplasmatic antibodies (ANCA), and there was no elevation of antiphospholipid antibodies. Testing for hereditary or acquired thrombophilia was negative. Magnetic resonance imaging 3 (MRI) of the head showed multiple cerebral infarctions, but the most striking finding was an
isolated circular enhancement of the left internal carotid artery (ICA) suggesting vasculitis. Examinations of the heart (i.e. 24 h rhythmic analysis and ECG) were normal. Abdominal
sonography demonstrated a shrunken unilateral kidney. Finally, MRI revealed extensive peri-
aortal and left para-aortal soft tissue masses along the left iliacal interna artery, measuring 6.5 x
2.5 cm. Two computer tomography (CT)-guided fine needle aspirations (FNA) of the
retroperitoneal mass were performed without any conclusive cytologic or molecular genetic
results, neither for retroperitoneal fibrosis (Morbus Ormond; CD 38 and IgG4 negative) nor for
malignancy. Initially assuming idiopathic retroperitoneal fibrosis, we started prednisone treatment that
proved unsuccessful. Follow-up CT of the head 6 months later showed a decline in vessel caliber
and vessel wall enhancement of the left ICA compared to initial findings, while CT follow-up of
the abdomen 5 months later demonstrated progression of the retroperitoneal mass. Tissue
samples from the left iliacal region obtained by diagnostic Da-Vinci laparoscopy were compatible
with malignant B-cell lymphoma, both morphologically and immunohistochemically. Case Presentation To verify
this finding, we performed immunoglobulin heavy-chain gene rearrangement by polymerase
chain reaction (PCR) that yielded clonality in frameworks 2 and 3 (Fig. 3). Chemo – and
Immunotherapy with R-Bendamustin was carried out for 6 months. Eight months after diagnosis,
we observed a partial response with downsizing of the retroperitoneal mass in response to
chemotherapy. The therapy was well tolerated by the patient who remained in good condition
and regularly attended the planned follow-up visits. Currently, maintenance therapy with
rituximab is planned for two additional years to optimize progression-free survival. NHL has a
good prognosis with modern treatment, the estimated five years survival is considered to be
over 85% percent (7). Discussion and Conclusion This case report illustrates the challenges in connection with the diagnosis of a retroperitoneal
mass. Initially, we diagnosed the mass as RF, but subsequent histologic work-up confirmed the
presence of B-cell lymphoma. Initial neurological presentation with stroke due to multiple cerebral vascular irregularities led to
the assumption of vasculitis. Further diagnostic steps to confirm vasculitis consisted of angio-MRI
of the entire aorta and proximal vessels, which revealed an unknown retroperitoneal mass
interpreted as RF. Clinical onset of RF may be asymptomatic or may mimic lymphoproliferative
diseases (8). The main symptoms of RF are compression of retroperitoneal organs (i.e. obstructive mega-ureter/hydronephrosis and renal failure) and other organs. Additional 4 symptoms include non-specific constitutional symptoms such as fatigue, anorexia, and weight
loss (1). In our case, FNA failed to achieve a conclusive diagnosis. However, the MRI pattern appeared to
be characteristic of RF. In line with other cases described in the literature, we noted a peri-aortic
mass (Figures 1 and 2) with pelvic extension and associated ureteral encasing (9). Glucocorticoid
treatment did not lead to remission. CT-follow-up of the abdomen 5 months later showed
progression of the mass with no systemic inflammatory signs, which made us reconsider the
diagnosis. Inflammatory markers such as erythrocyte sedimentation rate (ESR) and CRP are elevated in
more than 50% of RF patients (10). In approximately one third of cases, RF is secondary to other
causes (i.e. infection, autoimmune disease, medications, radiotherapy, surgery, malignant
lymphoma, or other cancers found in about 8% of cases). Two thirds of RF cases are considered
to be idiopathic (6). The IgG4-related disease (IgG4-RD) leading to RF is a fibro-inflammatory
condition characterized by a dense lymphoplasmacytic infiltrate rich in IgG4-positive plasma cells
and involving sclerosis including lymph nodes (6). In their case report, Sato et al. postulated a
neoplastic potential of IgG4-producing cells leading to lymphoma (11), but our patient had no
serological elevation of IgG4. Histologic findings in biopsies obtained laparoscopically
demonstrated clonal rearrangement of immunoglobulin heavy chain genes (Figure 3: frameworks
2 and 3) thus confirming B-cell lymphoma. Retrospectively, embolism could have been interpreted as part of a paraneoplastic syndrome,
and vasculitis could have been understood as secondary manifestation of extra-nodal lymphoma. Lymphoma predominantly occur in suprarenal locations with perirenal extension and tend to be
associated with retroperitoneal lymph node enlargement, resulting in larger contrast-enhanced
areas (9). These typical findings were not present in our patient. Discussion and Conclusion Further anterior displacement of
the aorta and lateral displacement of the ureter seem to occur more often in malignancy than
(idiopathic) RF (9). Early in our diagnostic work-up, FNA failed to rule out malignancy or RF. FNA has a limited role in
the diagnosis of lymphoma because the samples obtained by FNA do not provide the anatomic
details derived from larger, intact nodal specimens (3). Guo et al. compared 68 samples obtained
by radiologically guided FNA with 36 biopsies of pelvic and retroperitoneal masses. The authors
calculated a sensitivity of 90.2% and specificity of 100% for FNA (12). Another study in 167 FNA
samples obtained by ultrasonic guidance found a sensitivity of 86% and specificity of 100% in
terms of differentiating between malignant and benign lesions of the retroperitoneum (13). 5 After establishing the diagnosis of malignant B-cell lymphoma, the therapeutic regimen consisted
of 6 cycles of R-Bendamustin to prevent compression of the ureter as well as further
retroperitoneal spread. The patient is receiving rituximab maintenance therapy for 2 years. Interestingly, cerebral vascular lesions had normalized 6 months after start of prednisone
treatment as seen in the follow-up MRI of the head. This may have been due to glucocorticoid
treatment. In conclusion, lymphoma mimicked RF in terms of imaging characteristics and vasculitis in our
patient. Retrospectively, we should have aimed for histologic evidence already initially and not
only in the context of refractory disease. Diagnostic minimally invasive procedures to obtain
biopsies of deep masses can be helpful because the volume of extracted tissue by FNA tends to
be insufficient for further investigations (i.e. microscopic examination, flow cytometry,
immunophenotyping, and molecular analysis) (3). immunophenotyping, and molecular analysis) (3). Funding Sources No specific funding was necessary for the realization of this publication. MN was responsible for writing the article. OK and SG contributed radiologic and histologic
images and interpretation. TN supervised and reviewed the entire process. All authors read and
approved the final manuscript. Availability of data and materials The datasets used and/or analysed during the current study are available from the corresponding
author on reasonable request. Consent for publication Written informed consent was obtained from the patient for publication of this case report and
any accompanying images. A copy of the written consent is available for review by the Editor of
this journal. Ethics approval and consent to participate The authors declare no ethical conflict. ANA: Antinuclear antibody 6 Competing interests The authors declare no competing interests. Acknowledgements Not applicable. 7 7 References 1. Wan N, Jiao Y. Non-Hodgkin lymphoma mimics retroperitoneal fibrosis. Case Rep. 2013; Doi: 10.1136/bcr-2013-010433. 2. Sassa N. Retroperitoneal tumors: Review of diagnosis and management. Int J Urol. 2020; Doi: 10.1111/iju.14361. 3. Chen LL, Kuriakose P, Hawley RC, Janakiraman N, Maeda K. Hematologic Malignancies With
Primary Retroperitoneal Presentation: Clinicopathologic Study of 32 Cases. Arch Pathol Lab Med. 2005; Doi: 10.1043/1543-2165 4. Fulignati C. An uncommon clinical presentation of retroperitoneal non-Hodgkin lymphoma
successfully treated with chemotherapy: A case report. World J Gastroenterol. 2005; Doi:
10.3748/wjg.v11.i20.3151. 5. CONSTANTIN A, TĂNASE AD. A Primary Retroperitoneal Diffuse Large B-Cell Lymphoma: A
Challenging Diagnosis. Curr Health Sci J. 2018; Doi: 10.12865/CHSJ.44.04.12. 6. Alvarez Argote J, Bauer FA, Posteraro AF, Dasanu CA. Retroperitoneal fibrosis due to B-cell
non-Hodgkin lymphoma: Responding to rituximab! J Oncol Pharm Pract. 2016; Doi:
10.1177/1078155214543279. 7. Siegel RL, Miller KD, Jemal A. Cancer statistics, 2017. CA Cancer J Clin. Januar 2017; Doi:
10.3322/caac.21387 8. Sica A, Casale B, Spada A, Teresa Di Dato M, Sagnelli C, Calogero A, u. a. Differential
diagnosis: retroperitoneal fibrosis and oncological diseases. Open Med. 2019; Doi: 10.1515/med-
2020-0005. 9. Rosenkrantz AB, Spieler B, Seuss CR, Stifelman MD, Kim S. Utility of MRI Features for
Differentiation of Retroperitoneal Fibrosis and Lymphoma. Am J Roentgenol. 2012; Doi:
10.2214/AJR.11.7822. 10. Urban ML, Palmisano A, Nicastro M, Corradi D, Buzio C, Vaglio A. Idiopathic and secondary
forms of retroperitoneal fibrosis: A diagnostic approach. Rev Médecine Interne. 2015; Doi:
10.1016/j.revmed.2014.10.008. 11. Sato Y, Takata K, Ichimura K, Tanaka T, Morito T, Tamura M, u. a. IgG4-producing marginal
zone B-cell lymphoma. Int J Hematol. 2008; Doi: 10.1007/s12185-008-0170-8. 12. Guo Z, Kurtycz DFI, De Las Casas LE, Hoerl HD. Radiologically guided percutaneous fine-
needle aspiration biopsy of pelvic and retroperitoneal masses: A retrospective study of 68 cases. Diagn Cytopathol. 2001; Doi: 10.1002/dc.2000. 13. ISSN international centre: 0012-0472. http://www.issn.org (2006). Accessed 1946. 8 Figure legends Fig. 1: Axial T1 weighted fat suppressed image without contrast agent of the abdominal aorta
with a retroperitoneal left sided periaortic mass (indicated by arrows). Fig. 2: Axial T1 weighted fat suppressed image with contrast agent enhancing periaortic mass
(indicated by arrows) Fig. 3: Clonal rearrangement of the immunoglobulin heavy-chain gene locus (IGH) in framework II
(FR2) and III (FR 3) next to a polyclonal rearrangement pattern in framework I (FR 1) revealed by
Multiplex-PCR (IdentiClone IGH Gene Clonality Assay) and fragment analysis. 9 9 Figures Figures Figure 3 Clonal rearrangement of the immunoglobulin heavy-chain gene locus (IGH) in framework II (FR2) and III
(FR 3) next to a polyclonal rearrangement pattern in framework I (FR 1) revealed by Multiplex-PCR
(IdentiClone IGH Gene Clonality Assay) and fragment analysis. Clonal rearrangement of the immunoglobulin heavy-chain gene locus (IGH) in framework II (FR2) and III
(FR 3) next to a polyclonal rearrangement pattern in framework I (FR 1) revealed by Multiplex-PCR
(IdentiClone IGH Gene Clonality Assay) and fragment analysis. ChecklistCARE.pdf Figure 1 Axial T1 weighted fat suppressed image without contrast agent of the abdominal aorta with a
retroperitoneal left sided periaortic mass (indicated by arrows). Figure 2 Axial T1 weighted fat suppressed image with contrast agent enhancing periaortic mass (indicated by
arrows) Figure 3
Clonal rearrangement of the immunoglobulin heavy-chain gene locus (IGH) in framework II (FR2) and III
(FR 3) next to a polyclonal rearrangement pattern in framework I (FR 1) revealed by Multiplex-PCR
(IdentiClone IGH Gene Clonality Assay) and fragment analysis. S
l
Fil Supplementary Files This is a list of supplementary ¦les associated with this preprint. Click to download.
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Low-Income Students in Higher Education: Undermatching Predicts Decreased Satisfaction toward the Final Stage in College
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Journal of youth and adolescence
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* Marjolein Muskens
m.muskens@maastrichtuniversity.nl Abstract It is undesirable when students attend institutions that are less selective than their academic credentials would permit (i.e.,
undermatching) because of the long-term consequences for their job opportunities and wages, in particular for students from
low-socioeconomic (SES) backgrounds. Undermatching may also affect students’ satisfaction during college. Research from
a life course perspective shows that subjective experiences during college may have long-term impact on adolescents’
development. However, little is known about the relation between undermatching and students’ subjective experiences
during their years in college, and about whether this relation is moderated by SES. From an academic misalignment
perspective, undermatching may lead to less satisfaction because undermatched students are not maximizing their potential. However, from a social misalignment perspective, experiences of social mismatch when low-SES students enter the most
selective institutions are well documented, and such mismatch may be less pronounced in less selective institutions. Consequently, there may be a positive relation between undermatching and satisfaction with the social environment for low-
SES students. The current study tested these relations by using propensity score matching (PSM) to analyse the association
between undermatching, SES, and satisfaction among 21,452 respondents (67% female) among 1st, 2nd, 3th, and 4th year
college students from a cohort study among students in the Netherlands (Dutch Student Monitor), all of whom were eligible
for the most selective institutions. The results indicated a negative relation between undermatching and satisfaction with the
social and academic environment, both for low- and high-SES students. The negative relation between undermatching and
both forms of satisfaction increases toward the last year in college, especially for low-SES students. This lowered satisfaction
in the final stage in higher education implies that the negative consequences of undermatching become more pronounced
after students have become more integrated in their colleges. These findings have important implications for the
understanding about undermatching in relation to students’ development and for the formulation of policies and programs
for promoting social mobility. Keywords
Socioeconomic status
●Students
●Undermatching
●Social mobility
●Satisfaction
●Propensity score matching Keywords
Socioeconomic status
●Students
●Undermatching
●Social mobility
●Satisfaction
●P 2
Behavioural Science Institute, Radboud University,
Montessorilaan 3, PO Box 9104, 6500 HE Nijmegen, The
Netherlands Journal of Youth and Adolescence (2019) 48:1296–1310
https://doi.org/10.1007/s10964-019-01022-1 Journal of Youth and Adolescence (2019) 48:1296–1310
https://doi.org/10.1007/s10964-019-01022-1 EMPIRICAL RESEARCH Low-Income Students in Higher Education: Undermatching Predicts
Decreased Satisfaction toward the Final Stage in College Marjolein Muskens
1
●Willem E. Frankenhuis2
●Lex Borghans1 Received: 15 March 2019 / Accepted: 3 April 2019 / Published online: 19 April 2019
© The Author(s) 2019 1
School of Business and Economics, Maastricht University,
Tongersestraat 53, 6211 LM Maastricht, The Netherlands * Marjolein Muskens
m.muskens@maastrichtuniversity.nl
1
School of Business and Economics, Maastricht University,
Tongersestraat 53, 6211 LM Maastricht, The Netherlands
2
Behavioural Science Institute, Radboud University,
Montessorilaan 3, PO Box 9104, 6500 HE Nijmegen, The
Netherlands Introduction (Mayhew et al. 2016). Because of these economic benefits
of college completion in selective institutions, under-
matching, when students attend institutions that are less
selective than their academic achievements would enable, is
an undesirable outcome (Tiboris 2014). In addition, from an
academic misalignment perspective, undermatching leads to
less positive college experiences than matching. Because of
the less rigorous study program in less selective institutions,
high-achieving undermatched students would be less chal-
lenged to develop their full potential (Hoxby and Turner
2013). This mismatch may lead to less academic integra-
tion, contributing to the risk of dropping out of college
(Bowen et al. 2009). The recurrent finding that under-
matching is negatively related to college completion (Ovink
et al. 2018) supports this hypothesis. Importantly, not all (Mayhew et al. 2016). Because of these economic benefits
of college completion in selective institutions, under-
matching, when students attend institutions that are less
selective than their academic achievements would enable, is
an undesirable outcome (Tiboris 2014). In addition, from an
academic misalignment perspective, undermatching leads to
less positive college experiences than matching. Because of
the less rigorous study program in less selective institutions,
high-achieving undermatched students would be less chal-
lenged to develop their full potential (Hoxby and Turner
2013). This mismatch may lead to less academic integra-
tion, contributing to the risk of dropping out of college
(Bowen et al. 2009). The recurrent finding that under-
matching is negatively related to college completion (Ovink
et al. 2018) supports this hypothesis. Importantly, not all Graduating from the most selective institutions is related to
more career opportunities and higher wages in the long term
compared to graduating from less selective institutions Journal of Youth and Adolescence (2019) 48:1296–1310 1297 groups are equally likely to undermatch. Social scientists
and policymakers are particularly worried about the high
prevalence of undermatching among students from low-
socioeconomic (low-SES) backgrounds (Howell and Pender
2016), because this leads to reinforcement of social and
economic inequality (Deutschlander 2017). aspects of college, such as interactions with fellow students
and teachers, whereas the academic environment refers to
intellectual aspects of college, such as the content and
structure of the study program. Indeed, decades of research
testing Tinto’s model in different college systems and
environments, has shown that when examining students’
integration, it is valuable to distinguish between the social
and academic environment (Aljohani 2016). Socioeconomic Status An extensive body of research has shown that students’ SES
is one of the strongest correlates of academic performance
(e.g., Sirin 2005). In addition, the size of the relationship
between SES and educational attainment increases by each
school level, suggesting that the gap between low- and
high-SES
students
in
academic
achievement
expands
through students’ lives (Sirin 2005). The relation between
SES and educational achievement is related to several fac-
tors, such as differences in cognitive development related to
harmful effects of poverty (Mullainathan and Sharif 2013),
low-SES students’ higher chance to encounter lower edu-
cational expectations from their parents (Davis-Kean 2005),
and their teachers (Jussim et al. 1996), and a higher like-
lihood of being placed in low-resource schools compared to
high-SES students (Lee and Burkam 2002). Moreover,
researchers have also suggested that there may be a mis-
match between the social-cognitive skills that children from
disadvantaged circumstances develop in interaction with
their
home
environments,
and
social-cognitive
skills
demanded in school-environments (Ellis et al. 2017). For
example, in higher education, a cultural mismatch with
regard to norms in interacting with others seems to fuel
social-class disparities (Stephens et al. 2018). Student integration is a developmental process, and
classical research on students’ integration suggests that
students go through several stages after their transitions into
college. First, there is the stage of separation when students
start to detach themselves from the norms and values of
their previous communities, such as family and high school. Second, students go through the phase of transition, when
they adapt new norms and value from their college. Third,
in the phase of incorporation, students are successfully
integrating in the new community (Aljohani 2016). There-
fore, in studying student experiences, it is important to
incorporate a time perspective. Introduction Research from a life course perspective has shown that
early circumstances and experiences can have cumulative
and enduring consequences for life experiences in later
developmental stages (Yoshioka and Noguchi 2009). More
specifically, adolescents’ subjective experiences during
their years in college may have far-reaching consequences
for their development toward adulthood, for example for
academic
achievement
and
psychosocial
well-being
(Wickrama et al. 2016). However, little is known about
the subjective experiences of students who undermatch. The
present study will investigate the relationship between
undermatching, socioeconomic status, and students’ sub-
jective experiences. Notably, theories about cultural capital predict difficul-
ties with integration in the social environment when low-
SES youth enter the most selective institutions, and the
existence of these social barriers is well documented (Jury
et al. 2017). Differences in cultural capital and codes
between low- and high-SES students (Jæger 2009), sig-
nalled by teachers and fellow-students, might lead to social
exclusion of low-SES students (Walpole 2003). This
experience of not fitting in can lead to lower levels of
satisfaction with the social environment in the most selec-
tive tracks (Jury et al. 2017). This mismatch may be less
present in less selective institutions because of the presence
of more low-SES students (Bastedo and Jaquette 2011),
and, as a consequence, cultural codes that may match better
with low-SES students’ backgrounds (Walpole 2003). At
the same time, it is also suggested that undermatching leads
to a misalignment between students’ academic capacities
and demands from the educational program. This mis-
alignment may lead to less satisfaction with academic
aspects in college (Hoxby and Turner 2013), and difficulties
with integration in the academic environment (Aljohani
2016). By contrast, in the most selective tracks, highly
qualified students may be more likely to experience an
academic match (Hoxby and Avery 2013). Current Study The predominant view is that undermatching is undesirable
and has negative long-term consequences for wages and job
status. Subjective experiences during college are also
important because of their relation with college completion
and, from a life course development perspective, because
these experiences accumulate and may have enduring con-
sequences during adulthood. However, little is known about
the relation between undermatching and subjective experi-
ences of students during their years in higher education, and
about the possibility that students’ SES plays a moderating
role in this relation. Using a representative sample of 22,521
adolescents, the current study attempts to enhance knowl-
edge about these relations and their development over the
course of students’ time in higher education. From an aca-
demic misalignment perspective, undermatching leads to
less satisfaction because of the mismatch between students’
high capacity and the less rigorous educational program in
less selective institutions. However, from a social mis-
alignment perspective, undermatching may have differential
effects for low- and high-SES students, predicting more
satisfaction for students with a low-SES background
because of less experiences of social mismatch in the less
selective institutions than in the highly selective institutions. In addition, the role of students’ time spent in college (i.e.,
1st, 2nd, 3th and 4th year) in these relationships is explored. The main differences the current study takes advantage
of are differences in admission procedures and institutions
selectivity. First, there are differences with regard to
admission procedures to higher education. In the U.S,
institutions for higher education determine their own
admission standards, and therefore, it depends on the spe-
cific higher education institution who is admitted and who is
not. Students’ eligibility is determined in the last stage of
high school, with performance on standardized tests (i.e.,
SAT, ACT), and by assessing their academic and extra-
curricular performance. In the Netherlands, as in many other
European countries, students’ eligibility for higher educa-
tion is determined by students’ track in secondary educa-
tion, and all institutions of higher education follow these
standards. In the Netherlands, the eligibility for the most
selective institutions is determined by having completed the
highest secondary track (i.e., VWO), whereas participating
in a lower track (i.e., HAVO) leads to eligibility to less
selective institutions. Therefore, in the Netherlands, under-
matching is a consequence of students’ choice to attend a
less selective institution after completing the highest sec-
ondary track. Student experiences Research on the phenomenon of undermatching has been
conducted mainly in the educational context of the U.S. To
determine undermatching, researchers have to define insti-
tutions’ selectivity levels and, in addition, they have to
determine which students are eligible to gain admission to
these levels. These distinctions are in practice gradual. Theoretical models of student experiences in college dis-
tinguish between integration in the social and academic
system. In the classical work of Tinto (1975), integration in
these two systems was defined as primary condition for
student success. The social environment refers to social Journal of Youth and Adolescence (2019) 48:1296–1310 1298 Because researchers have used different approaches in
defining both elements, estimating undermatching has lea-
ded to different results, such as a wide range of undermatch
rates, and conflicting findings for underrepresented students
(Rodriguez 2015). By focussing on undermatching in the
Netherlands, these issues are circumvented, since the Dutch
education system has a clear distinction between two levels
of higher education, with almost no variation in quality
within each level, and there are clear rules who can attend
the higher level. On other aspects, the Dutch situation is
very similar to higher education in the U.S. and in Europe. Both in the U.S. and in Europe, high school (or secondary
education) is followed by postsecondary (or tertiary) edu-
cation, generally during late adolescence. The contexts are
similar regarding academic degrees that can be attained, and
educational and professional careers during and after higher
education. In addition, patterns of educational inequality,
such as the tendency among low-SES students to under-
match (Dutch Inspectorate of Education 2018), are com-
parable between the U.S and the European context. empirically estimated, leading to discussion about the
accuracy of the estimation of undermatching (Smith et al. 2013). By contrast, in the Dutch context, both students’
admissibility and institutions’ selectivity are fully trans-
parent and clearly defined, and therefore undermatching is
easy to determine. Respondents are determined as ‘mat-
ched’ when they are eligible for the most selective institu-
tions and subsequently enrolled in an institution that can be
characterized as ‘most selective’. Respondents are deter-
mined as ‘undermatched’ when they are eligible for the
most selective institutions and subsequently have chosen to
enrol in an institution that is less selective. Current Study The prevalence of undermatching among
students with the eligibility to attend the most selective
institutions ranges between 10 and 13% (Van den Broek
et al. 2018). Participants and Data Set Second, there is an important difference between the U.S. context and the European context regarding higher educa-
tion institutions’ selectivity. Whereas in the U.S. context,
selectivity is often seen as a continuum (Roderick et al. 2006), in the Dutch context there are only two types of
higher education institutions: most selective institutions and
less selective institutions. In the U.S. context, both students’
admissibility
and
institutions’
selectivity
have
to
be Research questions, inclusion criteria, sample size, and
constructs of this study are preregistered (Frankenhuis &
Nettle, 2018) at Open Science Framework (https://osf.io/
4x5p8/). During the review procedure, this study has
deviated from
the preregistration on several aspects,
reported in an addendum added to the preregistration Journal of Youth and Adolescence (2019) 48:1296–1310 1299 Match and Undermatch (https://osf.io/crhjx/). This section reports how the sample
size was determined, all data exclusions, and all measures in
the study. The treatment variable is undermatching. In the Nether-
lands, students are either eligible for the most selective
institutions of higher education (i.e., they attained a diploma
in the highest level in high school) or not (i.e., they have not
attained a diploma in the highest level in high school1). In
addition, there are two types of institutions in higher edu-
cation: most selective institutions (i.e., students are only
admitted when they have attained a diploma in the highest
level of high school2), and less selective institutions (i.e., a
diploma from the highest level of secondary education (i.e.,
VWO) is not required, a diploma in a lower level of sec-
ondary education (i.e., HAVO) gives eligibility). Respon-
dents were determined as ‘matched’ when they are eligible
for the most selective institutions in higher education and
subsequently choose to attend an institution that can be
characterized as ‘most selective’. Respondents are deter-
mined as ‘undermatched’ when they are eligible for the
most selective institutions in higher education and subse-
quently have chosen to attend an institution that is less
selective. Data for this study come from the Dutch Student Monitor,
a large-scale survey of youth’s experiences during their time
in higher education in the Netherlands. Participants were
selected with a random sample procedure from all higher
education institutions in the Netherlands. The dataset used
for this study contains data from 3 waves (from 2013 to
2015; N = 58,177). To minimize pre-existing differences in
skills and cognitive abilities, only respondents were included
who are eligible for the most selective institutions (i.e., about
45% of this sample), who are enrolled in higher education
(i.e., university or higher professional education) in a full-
time educational program, and who are between 17 and 25
years old (M = 21.58, SD = 1.77). Therefore, the final
sample includes 21,452 students who are all eligible for the
most selective institutions. The majority (87%) chose to
enrol in the most selective institutions (i.e., matched stu-
dents), and a minority (13%) chose to enrol in less selective
institutions (i.e., undermatched students). 1 Although the vast majority of students in the most selective insti-
tutions in higher education are admitted after attainment of a diploma
in the highest level of secondary education, a bachelors’ degree
attained in a less selective institution in higher education can also give
eligibility to the most selective institutions in higher education (applies
to less than 4% off all students in the most selective institutions) (van
den Broek et al., 2018).
2 2 Apart from some exceptions regarding specific majors, such as
dentistry and medicine, selective institutions hold no additional
requirements. 1 Although the vast majority of students in the most selective insti-
tutions in higher education are admitted after attainment of a diploma
in the highest level of secondary education, a bachelors’ degree
attained in a less selective institution in higher education can also give
eligibility to the most selective institutions in higher education (applies
to less than 4% off all students in the most selective institutions) (van
den Broek et al., 2018).
2 Apart from some exceptions regarding specific majors, such as
dentistry and medicine, selective institutions hold no additional
requirements. Satisfaction SES was measured in two ways. Because various compo-
nents of SES could work through different processes when
affecting health and psychosocial outcomes, using more
than one single measure of SES is important. Following
recommendations by the APA task force Socioeconomic
Status (2007), an objective and a subjective measure of SES
was employed. Research has shown that subjective social
status is correlated with well-established measures of SES,
but also that it may capture unique aspects socioeconomic
circumstances that predict outcomes related to well-being
often missed by objective indicators of SES (Bradshaw
et al. 2017). This study thus included: (1) an objective
measure based on parental educational level with two
levels: (1, Low-SES), both parents have not obtained a
diploma in higher education, (0, High-SES), one or both
parents obtained a diploma in higher education, and (2) a
subjective measure (Singh-Manoux et al. 2003) based on a
single item regarding students’ view of their parents’ social
class (“Some people belong to a higher social class, others The outcome measure of interest is student satisfaction. Because of the theoretical model for student integration
that this study builds on (Davidson and Wilson 2013), two
scales for satisfaction were applied: (1) satisfaction with
the social environment, and (2) satisfaction with the
academic environment. In the Student Monitor survey,
participants responded to 20 single items on satisfaction. From these items, drawing on this theoretical model, three
items were selected, that reflect their experiences with the
social environment, and three items were selected that
capture their experiences with the academic environment. Students responded using a 5-point Likert scale (1 = very
dissatisfied, 5 = very satisfied) assessing how satisfied
they are with several aspects regarding their experiences
in college. The scale for social satisfaction was con-
structed from the items regarding satisfaction with: (1) the
general atmosphere, (2) students’ attitude toward fellow
students, and (3) teachers’ attitude toward students. The
scale for academic satisfaction was constructed from the
items regarding satisfaction with: (1) the content of the
programme, (2) general skills learned in the programme,
and (3) the degree to which the educational program is
academically challenging. The two scales were reidenti-
fied by a joint factor analysis, explaining 65% of the
variance. Internal consistencies (Cronbach’s Alpha) were
.72 for both scales. Motivation Before College To control for the potential confounding effects of differ-
ences in students’ motivation before their transition to
higher education, respondents were asked how motivated
they were before going to college to attain a degree in
higher education on a 5-point Likert scale (1 = not at all
motivated, 5 = very motivated). Grades In Dutch education, the grading system consists of marks
from 1 (very poor) to 10 (outstanding). The pass mark for a
single course is ‘6’. Students’ average grades were mea-
sured by asking them to report their average grade during
their last year in high school using a single-item question. Self-reported grades are reasonably good reflections of
actual grades, especially among high-performers, and are
strong predictors of future grade points (Kuncel et al. 2005). Additional Controls Other covariates in the models include indicators for gen-
der, age, immigrant status (i.e., at least one parent was born
abroad) (with non-immigrant status as reference category),
the language spoken at home with parents (with Dutch as
reference category), students’ disability (measured with a
question about suffering from a disability or chronicle dis-
ease (yes = 1, no = 0), and college major. Descriptive sta-
tistics for all variables are displayed in Table 1. Satisfaction Journal of Youth and Adolescence (2019) 48:1296–1310 1300 treatment group (in the current study, students who are
undermatched) and a comparison group (in the current
study, students who are matched), and compares these
groups on the outcome measure of interest (in the current
study, student satisfaction). PSM creates two equal groups
by matching them on several covariates that may affect the
propensity to undermatch and student satisfaction (Rosen-
baum and Rubin 1983). More specifically, PSM estimates a
logit model predicting the treatment (i.e., undermatching)
with covariates. In this study, the propensity to undermatch
was first estimated with a logit model (conducted with R
essentials for SPSS 24) that predicts undermatch with the
covariates described earlier (except for the covariate college
major, because experiences with college major occurred
after being matched or undermatched). Each respondent
was assigned a propensity to undermatch, varying from
propensity scores close to 0 (very low chance to under-
match) to 1 (very high chance to undermatch). Second,
respondents from the treatment group (i.e., undermatched
students) were matched with respondents from the com-
parison group (i.e., matched students) using the propensity
scores. In the analyses presented, the two-to-one nearest-
neighbour matching technique was applied, without repla-
cement and with a conservative 0.02 caliper level. The two-
to-one nearest-neighbour matching technique was the most
suitable approach because there are more untreated (mat-
ched)
respondents
(N = 18,626)
than
treated
(under-
matched) respondents (N = 2,826) in the dataset, and the
2:1 ratio is found to improve precision without a com-
mensurate increase in bias (Austin 2010). (However, esti-
mating models with the specification one-to-one nearest
neighbour matching appeared to show the same results as
the two-to-one nearest neighbour matching, results not
shown). Each undermatched student was matched to a
maximum of two matched student based on their propensity
score, and the difference between these two respondents
was not larger than 0.02. This resulted in 2826 students in
the treatment and 5507 respondents in the comparison
group. to a lower one. Considering your own social background,
where on the scale would you place your parents/care-
givers?”). The response scale ranged from 1, lower social
class, to 10, higher social class. Analytic Plan After following the PSM procedure, the relation between
undermatching, SES, and satisfaction was tested with linear
regression models, applying satisfaction (with the social and
academic environment, separate analyses) as dependent
variable, undermatching, SES, and the interaction under-
matching × SES as predictors, and college major as cov-
ariate (eight dummy variables). In addition, in order to
assess the development of these relationships during the
years in college, the predictor year, and the interaction
undermatching × SES × year
(and
all
relevant
two-way
interactions) were added to the model. Finally, the simple
mean differences with regard to year, SES and under-
matching were evaluated. The presentation of the results is
focuses on results of interactions in linear regression models In testing the relation between undermatching in student
satisfaction, selection effects might play a role. Students
who choose to undermatch may differ from students who
choose to go the most selective institutions on several
characteristics. For example, it is possible that under-
matched students, compared to matched students, are likely
to be less motivated to attain a degree before their entrance
to college. In this way, matched and undermatched students
differ on salient characteristics that spuriously inflate the
effect that undermatching would have on the development
of satisfaction when using traditional methodological tech-
niques. For that reason, propensity score matching (PMS;
Thoemmes and Kim (2011)) was applied. PSM creates a Journal of Youth and Adolescence (2019) 48:1296–1310 Table 1 Descriptive statistics among study variables
1
2
3
4
5
6
7
8
9
10
11
1 Satisfaction (social)
2 Satisfaction (academic) environment
0.47*
3 Undermatched
−0.07*
−0.10*
4 SES def. 1
−0.03*
−0.03*
0.08*
5 SES def. Analytic Plan 2
0.05*
0.06*
−0.04*
−0.41*
6 Male
0.02*
0.01
−0.05*
0.01
−0.03*
7 Age
−0.05*
−0.04*
0.00
0.02*
0.01
0.07*
8 Immigrant status
−0.07*
−0.02*
−0.03*
0.05*
−0.11*
0.02*
0.03*
9 Home language Dutch
0.06*
0.02*
0.01*
−0.05*
0.10*
−0.01
−0.03*
−0.35*
10 No disability/disease
0.03*
0.02*
−0.02*
−0.01
0.05*
0.07*
−0.03*
0.00
0.00
11 Grade in high school secondary education
0.08*
0.08*
−0.22*
−0.12*
0.08*
0.02*
0.00
−0.02*
−0.03*
0.05*
12 Motivation before college
0.16*
0.17*
0.04*
0.00
0.03*
−0.09*
−0.03*
−0.01
0.00
−0.01
0.09*
13 Years in higher education
−0.01
−0.04*
−0.07*
0.01
0.01*
0.03*
0.78*
−0.02*
0.00
0.03*
0.12*
14 Economics
−0.06*
−0.05*
0.12*
0.03*
0.01
0.08*
−0.05
0.03*
−0.04*
0.04*
−0.02*
15 Education
0.01
−0.02*
0.27*
0.01
0.00
−0.05*
0.00*
−0.02*
0.01
−0.01*
−0.06*
16 Agriculture
0.11*
0.04*
−0.05*
−0.01*
0.00
−0.03*
−0.02*
−0.04*
0.01*
−0.02*
−0.04*
17 Nature
0.06*
0.04*
−0.12*
−0.03*
0.00
0.08*
0.00
0.02*
0.00
−0.01*
0.09*
18 Science
0.01
0.03*
0.02*
−0.01
0.00
0.28*
0.01
−0.02*
0.02*
0.01*
0.04*
19 Health
−0.05*
0.04*
0.01*
−0.02*
0.05*
−0.15*
0.06*
0.02*
0.00
0.02*
0.07*
20 Law
−0.06*
−0.02*
−0.07*
0.03*
0.00*
−0.02*
−0.01
0.03*
−0.03*
−0.01*
−0.03*
21 Behavior
−0.04*
−0.08*
−0.03*
0.02*
−0.03*
−0.14*
−0.01
0.00
0.02*
−0.01*
−0.14*
22 Language
0.05*
0.01
−0.03*
0.00
−0.03
−0.07*
0.01
−0.03*
0.00
−0.04*
0.03*
Mean or Proportion
4.10
3.85
0.13
0.31
6.78
0.33
21.58
0.06
0.92
0.72
7.21
SD
0.61
0.64
0.34
0.46
1.50
0.47
1.77
0.23
0.27
0.45
0.64
Minimum
1
1
0
0
1
0
17
−1
0
0
5.51
Maximum
5
5
1
1
10
1
25
1
1
1
10
12
13
14
15
16
17
18
19
20
21
22
1 Satisfaction (social)
2 Satisfaction (academic) environment
3 Undermatched
4 SES def. 1
5 SES def. Analytic Plan 2
6 Male
7 Age
8 Immigrant status
9 Home language Dutch
10 No disability/disease
11 Grade in high school secondary education
12 Motivation before college
13 Years in higher education
−0.03*
14 Economics
−0.04*
−0.04*
15 Education
0.03*
−0.01
0.00
16 Agriculture
−0.01
−0.01
0.00
0.00
17 Nature
−0.02*
0.01
0.00
0.00
0.00
18 Science
−0.03*
0.01
0.00
0.00
0.00
0.00
19 Health
0.07*
0.06*
0.00
0.00
0.00
0.00
0.00
20 Law
−0.03*
−0.02*
0.00
0.00
0.00
0.00
0.00
0.00
21 Behavior
−0.01
−0.01
0.00
0.00
0.00
0.00
0.00
0.00
0.00
22 Language
0.04*
−0.02*
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
Mean or Proportion
4.29
2.61
0.14
0.02
0.06
0.11
0.15
0.19
0.05
0.16
0.11
SD
0.78
1.16
0.34
0.13
0.24
0.32
0.36
0.40
0.22
0.37
0.32
Minimum
1
1
0
0
0
0
0
0
0
0
0
Maximum
5
4
1
1
1
1
1
1
1
1
1
N = 21,452
*p < 0.05
Journal of Youth and Adolescence (2019) 48:1296–1310
1301 1301 Table 1 Descriptive statistics among study variables
1
2
3
4
5
6
7
8
9
10
11
1 Satisfaction (social)
2 Satisfaction (academic) environment
0.47*
3 Undermatched
−0.07*
−0.10*
4 SES def. 1
−0.03*
−0.03*
0.08*
5 SES def. Results Because the PSM procedure generated balance between
undermatched and matched students with regard to covari-
ates, next, the matched dataset was appropriate for exam-
ining the interaction between undermatching and SES in
relation to student satisfaction. The results of the final
analyses, with satisfaction as outcome measure, under-
matching, SES, and the interaction undermatching × SES as
predictor, and college major as covariates, are shown in
Table 4. The results show no interaction between under-
matching and SES. Moreover, undermatching is related to
less satisfaction with the academic and social environment. These relations are significant with modest effect sizes. These results indicate that regardless of SES, under-
matching is related to lower satisfaction during college. These results show no evidence suggesting that under-
matching may take along benefits in terms of more satis-
faction for students with a low-SES background. Descriptive statistics and correlations among study vari-
ables are shown in Table 1. The analysis began by estimating a logit model by pre-
dicting undermatching with nine covariates. Most of the
covariates
were
statistically
significant
predictors
of
undermatching (see Table 2). Overall, five of the covariates reached statistical sig-
nificance (p < 0.01, two-tailed tests). Covariates that were
not a significant predictor of undermatching, such as age,
were still included in the final model to create the pro-
pensity score. Next, a two-to-one nearest-neighbour matching techni-
que was conducted without replacement and with a 0.02
caliper level (i.e., matched neighbours differ no more than
0.02 standard deviations of the logit of the estimated pro-
pensity score). Results indicate that the matching was suc-
cessful, with all covariates having a standardized mean
difference smaller than 0.25 after matching. In addition, the
Relative Multivariate Imbalance test showed a lower L1
after matching (.670) than before matching (.732) (Iacus
et al. 2011), indicating that the matching procedure gener-
ated balance. Table 2 Logistic regression
estimates for propensity score
models Analytic Plan 2
0.05*
0.06*
−0.04*
−0.41*
6 Male
0.02*
0.01
−0.05*
0.01
−0.03*
7 Age
−0.05*
−0.04*
0.00
0.02*
0.01
0.07*
8 Immigrant status
−0.07*
−0.02*
−0.03*
0.05*
−0.11*
0.02*
0.03*
9 Home language Dutch
0.06*
0.02*
0.01*
−0.05*
0.10*
−0.01
−0.03*
−0.35*
10 No disability/disease
0.03*
0.02*
−0.02*
−0.01
0.05*
0.07*
−0.03*
0.00
0.00
11 Grade in high school secondary education
0.08*
0.08*
−0.22*
−0.12*
0.08*
0.02*
0.00
−0.02*
−0.03*
0.05*
12 Motivation before college
0.16*
0.17*
0.04*
0.00
0.03*
−0.09*
−0.03*
−0.01
0.00
−0.01
0.09*
13 Years in higher education
−0.01
−0.04*
−0.07*
0.01
0.01*
0.03*
0.78*
−0.02*
0.00
0.03*
0.12*
14 Economics
−0.06*
−0.05*
0.12*
0.03*
0.01
0.08*
−0.05
0.03*
−0.04*
0.04*
−0.02*
15 Education
0.01
−0.02*
0.27*
0.01
0.00
−0.05*
0.00*
−0.02*
0.01
−0.01*
−0.06*
16 Agriculture
0.11*
0.04*
−0.05*
−0.01*
0.00
−0.03*
−0.02*
−0.04*
0.01*
−0.02*
−0.04*
17 Nature
0.06*
0.04*
−0.12*
−0.03*
0.00
0.08*
0.00
0.02*
0.00
−0.01*
0.09*
18 Science
0.01
0.03*
0.02*
−0.01
0.00
0.28*
0.01
−0.02*
0.02*
0.01*
0.04*
19 Health
−0.05*
0.04*
0.01*
−0.02*
0.05*
−0.15*
0.06*
0.02*
0.00
0.02*
0.07*
20 Law
−0.06*
−0.02*
−0.07*
0.03*
0.00*
−0.02*
−0.01
0.03*
−0.03*
−0.01*
−0.03*
21 Behavior
−0.04*
−0.08*
−0.03*
0.02*
−0.03*
−0.14*
−0.01
0.00
0.02*
−0.01*
−0.14*
22 Language
0.05*
0.01
−0.03*
0.00
−0.03
−0.07*
0.01
−0.03*
0.00
−0.04*
0.03*
Mean or Proportion
4.10
3.85
0.13
0.31
6.78
0.33
21.58
0.06
0.92
0.72
7.21
SD
0.61
0.64
0.34
0.46
1.50
0.47
1.77
0.23
0.27
0.45
0.64
Minimum
1
1
0
0
1
0
17
−1
0
0
5.51
Maximum
5
5
1
1
10
1
25
1
1
1
10
12
13
14
15
16
17
18
19
20
21
22
1 Satisfaction (social) Journal of Youth and Adolescence (2019) 48:1296–1310 1302 (conducted with software package SPSS 24), as these assess
the research questions. hand columns (i.e., the matched sample), the results are
shown of t-tests after matching on the propensity score. The
results show that matching was indeed successful, because
it eliminated all significant differences on covariates
between matched and undermatched students. Undermatching, SES, and student satisfaction
during four years in higher education In order to test whether the relation between undermatching
and satisfaction develops differently among low- and high-
SES students during higher education, the interaction
SES × undermatching × year (in addition to all relevant two-
way interactions) was added to the models presented in
Table 2. Results indicate a three-way interaction between
SES, undermatching, and year 4 (with year 1 as reference
category) (see Table 5) with regard to satisfaction with the
academic environment, but not regarding satisfaction with
the social environment. In order to interpret this significant
interaction, exploratory analyses for each separate year in Table 3 shows the results of the pre- and postmatching t-
tests, examining differences between undermatched and
matched students on the covariates. In the left-hand col-
umns (i.e., the unmatched sample), can be seen that mat-
ched and undermatched students differ significantly on six
out of nine covariates. These significant differences show
that the results may be confounded when analysing the
relationship between undermatching and students’ satis-
faction, and that PSM may address this issue. In the right- Variable
Coefficient (Exp B)
Standard error
p-Value
SES def. 1 (1 = first generation)
1.42**
0.05
<0.000
SES def. 2 (subjective social class)
0.99
0.02
0.565
Gender (1 = male)
0.74**
0.05
<0.000
Age
1.02
0.01
0.156
Immigrant status (1 = immigrant status)
0.54**
0.11
<0.000
Home language (1 = Dutch)
0.96
0.09
0.668
Disability or chronicle disease (1 = no)
0.99
0.05
0.775
Average grade high school
0.19**
0.62
<0.000
Motivation before entrance to higher education
1.24**
0.03
<0.000
Constant
919.70**
2.20
<0.000
N = 21,452
*p < 0.05, **p < 0.01 Table 2 Logistic regression
estimates for propensity score
models Journal of Youth and Adolescence (2019) 48:1296–1310 1303 Table 4 Estimated coefficients
(Beta) predicting student
satisfaction after propensity
score matching
Outcome:
Satisfaction with the
social environment
Outcome:
Satisfaction with the
academic environment
β
SE
β
SE
Undermatching (1 = undermatched)
−0.12**
0.02
−0.18**
0.02
Low-SES (1 = low)
−0.01
0.02
−0.03
0.02
Interaction: Low-SES × Undermatching
0.01
0.03
0.03
0.03
Constant
3.98**
0.02
3.78**
0.02
R-sq
0.03
0.03
N
8333
8333
Standardized coefficients. Undermatching, SES, and student satisfaction
during four years in higher education Both models control for college major (8 dummies, results not shown)
SES socioeconomic status
*p < 0.05, **p < 0.01
Table 3 Achieving balance among undermatched and matched students: Pre- and Post-test matching T-tests using 2-1 nearest neighbour matching
Unmatched sample
Matched sample
Control
(Matched)
Treatment
(Undermatched)
t-value
Control
(Matched)
Treatment
(Undermatched)
t-value
SES def. 2 (1 = first generation)
0.29
0.41
12.08**
0.39
0.41
1.62
SES def. 2 (subjective social class)
6.80
6.65
−5.27**
6.62
6.65
0.69
Gender (1 = male)
0.34
0.27
−7.48**
0.28
0.27
−1.01
Age
21.58
21.59
0.10
21.58
21.59
0.19
Immigrant status (1 = immigrant status)
0.06
0.04
−4.53**
0.04
0.04
−0.70
Home language (1 = Dutch)
0.92
0.93
1.73
0.92
0.93
0.68
Disability or chronicle disease (1 = no)
0.73
0.70
−2.56*
0.71
0.70
−0.51
Average grade high school
7.26
6.84
−33.55**
6.87
6.85
−1.94
Motivation before entrance to higher
education
4.28
4.37
5.76**
4.36
4.37
0.54
N
18626
2826
5507
2826
*p < 0.05, **p < 0.01 higher education (year 1, 2, 3, and 4) were conducted,
assessing simple mean comparisons. These analyses, shown
in Fig. 1, reveal that this significant interaction indicates that
among matched students, low- and high-SES students are
equally satisfied by the fourth year of college. On the
contrary, among undermatched students, the low-SES stu-
dents become less satisfied than their high-SES fellow
students by the fourth year of college. higher education (year 1, 2, 3, and 4) were conducted,
assessing simple mean comparisons. These analyses, shown
in Fig. 1, reveal that this significant interaction indicates that
among matched students, low- and high-SES students are
equally satisfied by the fourth year of college. On the
contrary, among undermatched students, the low-SES stu-
dents become less satisfied than their high-SES fellow
students by the fourth year of college. environment than matched students on a 5-point scale
(results shown in Figs. 1 and 2). Results from all models show the same pattern when
applying the alternative definition of SES (subjective SES);
therefore, these results are not shown. Fig. 1 Satisfaction with the
academic environment (scale
1–5) during the years in higher
education among matched- and
undermatched low-and high-
SES students (objective SES,
cross-sectional data) after
propensity score matching,
N = 8,333 Table 5 Estimated coefficients
(Beta) predicting student
satisfaction after propensity
score matching: Interaction
between SES, Undermatch, and
Year Fig. 2 Satisfaction with the
social environment (scale 1–5)
during the years in higher
education among matched- and
undermatched low-and high-
SES students (objective SES,
cross-sectional data) after
propensity score matching,
N = 8,333 Sensitivity analyses Importantly, these simple mean comparisons reveal that
undermatched students (both low- and high SES students)
are less satisfied with the social and academic environment
than matched students in most academic years. In addition,
these differences become more pronounced toward the
fourth year in college, especially for low-SES students. In
the fourth year in college, undermatched low-SES students
are on average 0.43 point less satisfied with the academic
environment, and 0.25 point less satisfied with the social The results of analyses after propensity score matching are
presented, a technique that addresses issues concerning
endogeneity. Although this procedure addresses possible
confounding effects from covariates, it may at the same
time harm the generalizability of the findings. After all, the
matching procedure excluded participants in the control
group (matched students) who have no counterpart in the
treatment group because of their estimated propensity score. Therefore, a sensitivity analysis was run, by applying a Journal of Youth and Adolescence (2019) 48:1296–1310 1304 Satisfaction with the social
environment
Satisfaction with the
academic environment
β
SE
β
SE
Predictors
Undermatching
(1 = undermatched)
−0.06*
0.03
−0.12**
0.04
Low-SES, objective
(1 = low-SES)
−0.01
0.03
−0.04
0.0
Year (year 1 = ref)
Year 2
−0.01
0.02
−0.05*
0.02
Year 3
−0.03
0.03
−0.08**
0.02
Year 4
−0.01
0.02
−0.05*
0.02
Three-way interactions
Interaction SES ×
Undermatching × Year 2
0.00
0.03
0.00
0.02
Interaction SES ×
Undermatching × Year 3
0.04
0.02
0.01
0.02
Interaction SES ×
Undermatching × Year 4
−0.03
0.02
−0.05*
0.02
Constant
4.00**
0.03
3.85**
0.03
R-sq
0.04
0.04
N
8,333
8,333
Standardized coefficients. Both models also included college major as covariates and all two-way
interactions regarding undermatching, SES, and Year (results not shown)
*p < 0.05, **p < 0.01 Standardized coefficients. Both models also included college major as covariates and all two-way
interactions regarding undermatching, SES, and Year (results not shown) Standardized coefficients. Both models also included college major as covariates and all two-way
interactions regarding undermatching, SES, and Year (results not shown) 3.40
3.50
3.60
3.70
3.80
3.90
4.00
4.10
4.20
Year 1
Year 2
Year 3
Year 4
Satisfaction academic envrionment
High-SES, matched
Low-SES, matched
High-SES, undermatched
Low-SES, undermatched
Fig. Discussion Discussion
Undermatching,
when
students
attend
post-secondary
institutions which are less selective than their academic
credentials would permit, is generally considered as an
undesirable
outcome
because
of
the
long-term
con-
sequences for students’ job opportunities and wages (Ovink
et al. 2018), especially for low-SES students, who are more
likely to undermatch (Bastedo and Jaquette 2011). How-
ever, there is a gap in the literature regarding the relation
between undermatching and students’ subjective experi-
ences during college, and its relation with SES. Studying
adolescents’ subjective experiences during their years in
college is important because of its consequences for college
completion (Bowen et al. 2009), and because of the accu-
mulating effects that both positive and negative experiences
can have in their development toward adulthood (Yoshioka
and Noguchi 2009). The literature suggests that when stu-
dents are undermatched, the academic demands from their
institutions are misaligned with their potential (e.g., Hoxby
and Turner 2013), which may lead to less satisfaction with
the academic environment. However, experiences of social
mismatch and feeling ‘out of place’ when low-SES students
enter the most selective institutions are well documented
(Jury et al. 2017). The cultural codes in less selective
institutions may match better with low-SES students than
the
cultural
codes
in
highly
selective
institutions
(Deutschlander 2017). Consequently, there may be a posi-
tive relation between undermatching and satisfaction with
the social environment, but only among low-SES students. In the present study, the relation between undermatching
and satisfaction, and the moderating role of SES, was
investigated with a large, representative Dutch dataset that
includes information about student self-reported satisfaction
and student characteristics such as age, motivation, and
grades during high school (N = 21,452 respondents). Up till
now, undermatching has been studied mainly in the U.S.,
where undermatching has to be estimated from institutions’
selectivity levels, and students’ eligibility to these institu-
tions. Because there are many different ways to define these
constructs, concerns have raised regarding comparability
and accuracy of these estimations (Rodriguez 2015). In the
Netherlands, both institutional selectivity and students’ Undermatching,
when
students
attend
post-secondary
institutions which are less selective than their academic
credentials would permit, is generally considered as an
undesirable
outcome
because
of
the
long-term
con-
sequences for students’ job opportunities and wages (Ovink
et al. 2018), especially for low-SES students, who are more
likely to undermatch (Bastedo and Jaquette 2011). Sensitivity analyses 1 Satisfaction with the
academic environment (scale
1–5) during the years in higher
education among matched- and
undermatched low-and high-
SES students (objective SES,
cross-sectional data) after
propensity score matching,
N = 8,333
3.60
3.70
3.80
3.90
4.00
4.10
4.20
Year 1
Year 2
Year 3
Year 4
Satisfaction social envrionment
High-SES, matched
Low-SES, matched
High-SES, undermatched
Low-SES, undermatched
Fig. 2 Satisfaction with the
social environment (scale 1–5)
during the years in higher
education among matched- and
undermatched low-and high-
SES students (objective SES,
cross-sectional data) after
propensity score matching,
N = 8,333 3.40
3.50
3.60
3.70
3.80
3.90
4.00
4.10
4.20
Year 1
Year 2
Year 3
Year 4
Satisfaction academic envrionment
High-SES, matched
Low-SES, matched
High-SES, undermatched
Low-SES, undermatched
3.60
3.70
3.80
3.90
4.00
4.10
4.20
Year 1
Year 2
Year 3
Year 4
Satisfaction social envrionment
High-SES, matched
Low-SES, matched
High-SES, undermatched
Low-SES, undermatched Year 3
Year 4
Low-SES, matched
Low-SES, undermatched Journal of Youth and Adolescence (2019) 48:1296–1310 1305 qualifications are much easier to determine, leading to
highly
accurate
and
undebatable
estimations
of
undermatching, conventional linear regression model predicting student
satisfaction, with all covariates as controls, including the
whole sample (N = 21,452). Results show the same pattern
as the results found after applying the PSM procedure,
indicating that the results are not biased by the selection
based on the PSM. Therefore, results showed no evidence to
suggest that the findings do not generalize to the whole
student sample (see Appendix A, Table 6). The study examined satisfaction among low-SES stu-
dents all of whom are eligible for the most selective insti-
tutions, but who are either in the most selective institutions
(match), or in less selective institutions (undermatch). To
test whether any effects are specific to low-SES students,
their satisfaction was compared with the satisfaction of
high-SES students in both selective and non-selective
institutions. In addition, it was examined whether these
relations (both for low-and high-SES students) change
throughout the four years in higher education. Because pre-
existing differences may confound the relation between
undermatching and satisfaction, propensity score matching
(PSM) was applied to test the consequence of under-
matching, excluding as much as possible the confounding
influences of covariates. Discussion How-
ever, there is a gap in the literature regarding the relation
between undermatching and students’ subjective experi-
ences during college, and its relation with SES. Studying
adolescents’ subjective experiences during their years in
college is important because of its consequences for college
completion (Bowen et al. 2009), and because of the accu-
mulating effects that both positive and negative experiences
can have in their development toward adulthood (Yoshioka
and Noguchi 2009). The literature suggests that when stu-
dents are undermatched, the academic demands from their
institutions are misaligned with their potential (e.g., Hoxby
and Turner 2013), which may lead to less satisfaction with
the academic environment. However, experiences of social
mismatch and feeling ‘out of place’ when low-SES students
enter the most selective institutions are well documented
(Jury et al. 2017). The cultural codes in less selective
institutions may match better with low-SES students than
the
cultural
codes
in
highly
selective
institutions
(Deutschlander 2017). Consequently, there may be a posi-
tive relation between undermatching and satisfaction with
the social environment, but only among low-SES students. The present study findings show that undermatching is
related to less satisfaction with the academic and social
environment, and that this relation becomes stronger toward
the fourth year in higher education. The study did not
provide any evidence showing that undermatching is related
to more satisfaction among low-SES students. These results
do not only suggest that there are no benefits for low-SES
students related to undermatching, undermatching even
seems to have costs in terms of less satisfaction with the
social and academic environment during college, especially
toward the later years in higher education. Implications The present study extends the knowledge about the effects
of undermatching by showing that also in the short term,
during college, undermatching affects students’ well-being. These results are of important because of low-SES students’
higher likelihood to undermatch (Belasco and Trivette
2015). The less positive college experiences related to
undermatching may reinforce educational disadvantage for
students from low-SES backgrounds. First, the lower
satisfaction may have negative consequences for their col-
lege completion (Ovink et al. 2018). Second, these enduring
experiences of lower satisfaction during college increase the
likelihood of encountering stressful experiences related to a
low socioeconomic background (Wickrama et al. 2015). This accumulation of stressful experiences during adoles-
cence can have detrimental consequences for health and
well-being in adulthood (Wickrama et al. 2016), especially
for social mobile adolescents (Miller et al. 2015; Wickrama
et al. 2016). In addition, the finding that the negative rela-
tionship between undermatching and satisfaction enhances
toward the later years in college, suggests that this rela-
tionship manifests after students’ integration in college. Although speculative, this finding may also suggest a
negative
relation
between
undermatching
and
job-
satisfaction after graduation. The finding that the negative relationship between
undermatching and satisfaction (social and academic) seems
to manifest in the later years in college, suggests that
undermatching has especially consequences after students
have integrated in their new college. When this negative
relationship would have been strongest in their first year,
this might have been related to a process of adjustment
related to separation from the old situation and transition
into the new college. However, the enhanced negative
relationship after the phase of transition, seems to reflect
how students feel about their situation once they adjusted. Although speculative, this finding may also predict a
negative relationship between undermatching and satisfac-
tion on the job market, after college. The present study findings show that low-SES students
seem not to benefit from undermatching in terms of satis-
faction. Endogeneity could lead to an overestimation of the
relation
between
undermatching
and
satisfaction. For
example, students who are not motivated to enter higher
education may be more likely to undermatch and to become
dissatisfied. In addition, students who are less cognitively
talented may be more likely to undermatch and become less
satisfied during higher education. Undermatching and academic and social satisfaction The finding that undermatched student are less satisfied
with the academic environment (i.e., the content and rig-
orousness of the educational program) is in line with lit-
erature that suggests that de demands from less selective
institutions are misaligned with the capacities of under-
matched students (Belasco and Trivette 2015). In less
selective institutions, undermatched students are probably
not maximizing their full potential (Hoxby and Turner
2013). Previous research has shown that students have
higher chances of graduating if the quality level of their
institution matches their observed skill levels (Light and
Strayer 2000). The lower satisfaction after undermatching
shown in the present study may be an important factor in the
relation between undermatching and degree attainment. In the present study, the relation between undermatching
and satisfaction, and the moderating role of SES, was
investigated with a large, representative Dutch dataset that
includes information about student self-reported satisfaction
and student characteristics such as age, motivation, and
grades during high school (N = 21,452 respondents). Up till
now, undermatching has been studied mainly in the U.S.,
where undermatching has to be estimated from institutions’
selectivity levels, and students’ eligibility to these institu-
tions. Because there are many different ways to define these
constructs, concerns have raised regarding comparability
and accuracy of these estimations (Rodriguez 2015). In the
Netherlands, both institutional selectivity and students’ The finding that low-SES students’ satisfaction with the
social environment does not benefit from undermatching,
indicates that there may also be a social mismatch when
low-SES students attend less selective institutions in higher
education. In the less selective institutions, the proportion
low-SES students is higher than in the most selective
institutions (Bastedo and Jaquette 2011) (i.e., 40% low-SES 1306 Journal of Youth and Adolescence (2019) 48:1296–1310 students in less selective tracks versus 25% low-SES stu-
dents in the most selective tracks in the Netherlands; Dutch
Inspectorate of Education 2018). As a consequence, cultural
codes in less selective institutions may match better with
low-SES students’ backgrounds (Walpole 2003). However,
the results suggest that the larger proportion of other low-
SES students seem not to elevate their satisfaction regarding
experiences with the social environment. This finding may
suggest a social mismatch in all higher education institu-
tions, regardless of the level of selectivity. Undermatching and academic and social satisfaction In addition, the
finding that students who are undermatched, experience less
satisfaction with the social environment, suggests that
undermatching does not take along benefits in terms of
satisfaction with social aspects of college, both for low- and
high-SES students. institutions is on average related to less prestigious jobs and
lower wages on the long term. Third, both in the U.S. and
Europe, low-SES students tend to undermatch more than
high-SES students. Fourth, both in the U.S. and in Europe,
students’ years in college are usually spent during late
adolescence, covering the same developmental stage toward
early adulthood. Therefore, it is plausible that the results of
the present study are generalizable to the U.S. context. Conclusion Students who attend less selective institutions in higher edu-
cation than they are eligible for (undermatching) tend to
achieve less job opportunities and lower wages in the long
term than students who do not undermatch (Ovink et al. 2018). Therefore, in the literature, undermatching is mainly regarded
as an undesirable outcome (e.g., Hoxby and Turner 2013),
especially among low-SES students, who are more likely to
undermatch (Belasco and Trivette 2015). Because of the
importance of subjective experiences during adolescents for
their development toward adulthood (Yoshioka and Noguchi
2009), and the gap in the literature regarding undermatching,
SES, and student satisfaction, the current study tested with a
large-scale cohort study 21,452 respondents (67% female)
among adolescents how undermatching is related to students’
satisfaction in college by using propensity score matching
(PSM, Thoemmes and Kim (2011)). Results showed a nega-
tive relation between undermatch and satisfaction with the
social and the academic environment that increases toward the
fourth year in college. This relation appeared to be negative for
both low- and high-SES students. For example, undermatched
students, regardless of their SES, are at the end of the first
academic year less satisfied with the academic environment
than matched students. In addition, their satisfaction lowers
during the first year whereas the satisfaction among matched
students remains stable. These findings have important
implications for the understanding about undermatching in
relation to students’ development, and for policy interventions. The higher likelihood to undermatch among students from
low-SES backgrounds may reinforce their educational dis-
advantage, because the lower satisfaction tied to under-
matching may have negative consequences for their college Moreover, although applying PSM in order to exclude
confounding effects of covariates is a highly recommended
method to approach the relation between undermatching
and satisfaction as close as possible, there might be unob-
served confounders. For example, personality traits may
also partly determine whether students undermatch or
match, and these were not measured. Therefore, despite the
use of PSM methodology, it is important to remain cautious
with causal interpretations. Next, certain aspects of students’ experiences in college
that may influence their satisfaction, such as the possibility
to engage in collaborative learning activities or in extra-
curricular events, were not measured. Implications Nevertheless, because
students with the same eligibility for the most selective
institution were selected, and because PSM was applied to
exclude the confounding effects of covariates, such as
motivation for college and grades during high school,
endogeneity is unlikely to explain the current findings. Clearly, these findings have also implications for the
formulation of policies and programs for promoting social
mobility. Undermatching arises during the transition from
high school to the most selective institutions and is related
to a wide range of barriers (Page and Scott-Clayton 2016). Traditionally, the knowledge deficit approach states that
students’ choice to undermatch is a result of a lack of
information about application processes and college costs. Research on college choice processes indeed shows that
low-SES students’ tendency to undermatch is highly related
to having less access to information about institutions
compared to high-SES students; low-SES students are less
likely to undermatch when they receive high-quality infor-
mation about their possibilities (Hoxby and Avery 2013). However, even with access
to ‘perfect information’,
undermatching still occurs among low-SES students (Black
et al. 2015). The preference approach to undermatch
explains this tendency by differences between low- and These findings add to the body of research on the con-
sequences of undermatching. Although there are several
differences between the U.S. context and the European
context in higher education, the basic principles underlying
undermatching (i.e., students attend less selective institu-
tions than their academic credentials would permit) are the
same in many regards. First, both in the U.S. and in Europe,
the eligibility for the most selective institutions depends on
academic performance during middle adolescence. Second,
an important similarity is that attending less selective Journal of Youth and Adolescence (2019) 48:1296–1310 1307 high-SES students in factors that students take into account
during their college decision-making, like geographic fac-
tors, college fit, and opinions of relatives and peers (Black
et al. 2015; Tiboris 2014). From this perspective, it has been
argued that undermatching can be the result of a well-
informed, autonomous decision (Tiboris 2014). In sum,
both the knowledge deficit approach and the preference
approach suggest that it is important to offer low-SES stu-
dents high-quality information during the transition to
higher education. Policy on social equality has encouraged
high schools to improve information during the college
choice process. Implications The present study indicates that low-SES
students should also be informed about their higher risk on
lower satisfaction during the later years in higher education
when they are undermatched. even to benefit from undermatching. Because of limitations
in the dataset, it was not possible to study the role of these
college experiences, nor ethnicity, conclusively. Therefore,
it is possible that undermatching can contribute positively to
students’ subjective experiences when institutions offer
certain social activities. Furthermore, the reason for students to undermatch may
vary across students and affect satisfaction. For example,
low-SES students are likely to undermatch for the reason
that they can stay closer to their family and friends (Belasco
and Trivette 2015). The motives for students to undermatch
may moderate the negative relation between undermatching
and satisfaction. In this study, the role of the reason to
undermatch could not be tested because this was not mea-
sured in the dataset. Initial differences between matched and
undermatched students, such as motives to undermatch or
self-efficacy, although not of explicit interest in this study,
are of potential interest in future research. Limitations Despite the importance of these findings, the present study
has several limitations. One limitation is that the data are
cross-sectional, and therefore, it cannot with certainty be
concluded whether the differences between the years are
actually reflecting student development during these years. For example, students who are very dissatisfied may leave
higher education, resulting in a biased estimation of satis-
faction from year 1 to year 4. However, student drop-out
peaks after the first year in higher education: 33% switches
or drops out after the first year. Yet, among students who
continue after their first year, 86% obtains their diploma
(Dutch Inspectorate of Education 2018). Therefore, it is
plausible that the data capture student development over
years, especially in the later years of higher education when
drop-out rates are low. However, longitudinal data are
necessary to better map this development. Conclusion Some recent studies
with small samples of first students suggest positive effects
of undermatching on college experiences among first-year
ethnic minorities (Fosnacht 2014, 2015; Lowry 2017),
because undermatched students engage more in active and
collaborative learning activities in less selective institutions. Especially black students were found to be less affected or 1308 Journal of Youth and Adolescence (2019) 48:1296–1310 completion (Bowen et al. 2009), and because enduring
stressful experiences during adolescence can have harmful
consequences for their health and well-being in adulthood
(Wickrama et al. 2016; Miller et al. 2015). The finding that the
negative relationship between undermatching and satisfaction
seems to increase after integration into college, suggests that
the mismatch may also continue after graduation, on the labor
market. Research on reasons to undermatch has shown that
high-quality information is important in helping students to
make appropriate decisions during their transition into higher
education (Black et al. 2015; Hoxby and Avery 2013). Therefore, it is important that students, especially when they
have a low-SES background, are informed about the negative
relation between undermatching and satisfaction toward the
later years in higher education. Data sharing and declaration The datasets analysed during the current
study are available upon reasonable request and with permission of
Data Archiving and Networked Services (DANS), in the DANS
repository [https://dans.knaw.nl/en]. Data sharing and declaration The datasets analysed during the current
study are available upon reasonable request and with permission of
Data Archiving and Networked Services (DANS), in the DANS
repository [https://dans.knaw.nl/en]. Table 6 Sensitivity analyses:
Estimated coefficients (Beta)
predicting student satisfaction
without propensity score
matching Conflict of interest The authors declare that they have no conflict of
interest. Conflict of interest The authors declare that they have no conflict of
interest. Conflict of interest The authors declare that they have no conflict of
interest. Ethical approval The current submission does not overlap with any
other published, in press, or in preparation articles, books, or pro-
ceedings and has not been posted on a website. Our research is not
under consideration elsewhere and has been conducted in accordance
with ethical standards in the field. Publisher’s note: Springer Nature remains neutral with regard to
jurisdictional claims in published maps and institutional affiliations. Acknowledgements We thank Anja van den Broek for valuable sug-
gestions and comments. Open Access This article is distributed under the terms of the Creative
Commons
Attribution
4.0
International
License
(http://crea
tivecommons.org/licenses/by/4.0/), which permits use, duplication,
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 license, and indicate if
changes were made. Authors’ contributions MM conceived of the study, participated in its
design, performed the statistical analysis, conducted coordination and
wrote the manuscript; WF participated in the design, interpretation of
the data and helped to write the manuscript; LB participated in the
design, statistical analyses, and interpretation of the data. All authors
read and approved the final manuscript. Funding This research was supported by grants from the Netherlands
Organization for Scientific Research (016.155.195); the Robert Wood
Johnson Foundation (73657); the James S. McDonnell Foundation
(220020502); and the Jacobs Foundation (2017 1261 02) awarded to
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Estimated coefficients (Beta)
predicting student satisfaction
without propensity score
matching Outcome:
Satisfaction with the social
environment
Outcome:
Satisfaction with the
academic environment
β
SE
β
SE
Predictors
Undermatching (1 = undermatched)
−0.06**
0.01
−0.10**
0.01
Low-SES (1 = low)
−0.02*
0.01
−0.02*
0.01
Interaction: Low-SES × Undermatching
0.01
0.01
0.00
0.01
Covariates
Gender (1 = male)
0.02*
0.01
0.01
0.01
Age
−0.04**
0.01
−0.03**
0.01
Immigrant status (1 = immigrant status)
−0.05**
0.01
−0.01
0.01
Home language (1 = Dutch)
0.04**
0.01
0.02*
0.01
Disability or chronicle disease (1 = no)
0.03**
0.01
0.02*
0.01
Average grade high school
0.05**
0.01
0.02*
0.01
Motivation before higher education
0.16**
0.01
0.17**
0.01
Constant
3.54**
0.37
3.42**
0.39
R-sq
0.07
0.06
N
21452
21452
Standardized coefficients. Both models control for college major (8 dummies, results not shown)
SES socioeconomic status
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developmental pathways related to socioeconomic status. Tinto, V. (1975). Dropout from higher education: a theoretical
synthesis of recent research. Review of Educational Research, 45
(1), 89–125. Lex Borghans is Full Professor at the Maastricht University. His
major research interests are educational economics, skill development,
and social policy. References Van den Broek, A., de Korte, K., Cuppen, J., Wartenbergh, F.,
Bendig-Jacobs, J., Mulder, J., & Hellegers, A. (2018). Monitor
Beleidsmaatregelen 2017-2018: Studiekeuze, studiegedrag &
leengedrag in relatie tot beleidsmaatregelen in het hoger
onderwijs. Nijmegen: ResearchNed. Willem
Frankenhuis
is
Associate
Professor
at
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Radboud
University. His major research interests include development of
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and
abilities
in
adverse
conditions,
and
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of
developmental mechanisms. Walpole, M. (2003). Socioeconomic status and college: how SES
affects college experiences and outcomes. The Review of Higher
Education, 27, 45–73. Wickrama, K. A., O’Neal, C. W., & Lee, T. K. (2016). The health
impact of upward mobility: does socioeconomic attainment make
youth more vulnerable to stressful circumstances? Journal of
Youth and Adolescence, 45(2), 271–285. Wickrama, K. A. S., O’Neal, C. W., Lee, T. K., & Wickrama, T. (2015). Early socioeconomic adversity, youth positive develop-
ment, and young adults’ cardio-metabolic disease risk. Health
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major research interests are educational economics, skill development,
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Economic regulation and market instruments for environmental protection, including fees for negative impacts
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* Corresponding author: erzakirova@inbox.ru E3S Web of Conferences 291, 02032 (2021)
SDGG 2021 E3S Web of Conferences 291, 02032 (2021)
SDGG 2021 https://doi.org/10.1051/e3sconf/202129102032 Economic regulation and market instruments
for environmental protection, including fees for
negative impacts Elina Zakirova*
Ural State University of Economics, 620144 Yekaterinburg, Russia Ural State University of Economics, 620144 Yekaterinburg, Russia Abstract. Based on the results of the analysis of the European and Russian
experience of state regulation of environmental protection, in the article the
author examines the possibilities of using economic instruments in the field
of environmental policy. It is substantiated that some market instruments are
able to bring the state income, which can either be directed to environmental
protection expenditures, or used to compensate taxes on labor and capital. Environmental budget items are underfunded, despite the positive dynamics
of environmental protection costs associated with the implementation of the
national project “Ecology”. The author emphasizes the need for market
regulation mechanisms, since they allow taking into account the interests of
all participants in state policy: consumers, the state and producers. One of
the topical areas of environmental policy is the establishment of a system for
the sale of quotas for emissions of greenhouse gases, which will reduce
carbon dioxide emissions and stimulate the development of “green”
technologies in the financial and industrial spheres. © 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/). 1 Introduction In this regard, the following sectors of economic activity need more regulation than others:
insurance (all types that consider extreme weather events); pricing policy (water resources,
ecosystems); funding through public-private partnerships or private funding (flood
protection, coastal protection, water resources); government regulation (building codes,
zonal planning); research and development (agriculture, health care) [9]. behavior of subjects, changing the structure of their economic incentives [8]. For example,
the costs of environmental externalities such as greenhouse gas emissions are usually not
reflected in consumption or investment decisions but are borne by third parties. Within
environmental management, the importance of these tools is that they operate in a cost-
effective and environmentally-friendly manner, encouraging businesses to reduce pollution. In this regard, the following sectors of economic activity need more regulation than others:
insurance (all types that consider extreme weather events); pricing policy (water resources, At the same time, economic (market) and social regulation are distinguished [10]. Within
economic regulation, two more types are distinguished: structural regulation and regulation
of behavior [11]. Structural regulation refers to the regulation of the market structure
(entry/exit barriers, as well as rules prohibiting firms from providing professional services in
the absence of recognized qualifications). Behavior regulation is used to regulate the behavior
of producers and consumers in the market (price control, the requirement to meet any
demand, product labeling, advertising rules, minimum quality standards). Economic regulation is mainly carried out in relation to the so-called natural monopolies
and market structures with imperfect or excessive competition. The goal of economic
regulation is to counteract the negative welfare effects of dominant company behavior and to
stabilize market processes. Social regulation includes regulation in the areas of the environment, occupational safety
and health, consumer protection and labor protection (equal opportunity, etc.). The
instruments used include regulations on hazardous emissions, safety rules in factories and
workplaces, goods labeling, prohibition of discrimination when hiring personnel. 2 Materials and methods In this study, general scientific methods of analysis and synthesis were used to process the
materials of the Ministry of Finance of the Russia (report “Budget for Citizens” [12],
European Environment Agency [13], Institute for European Environmental Policy [14]. 1 Introduction There is no clear definition of the term “regulation” in scientific publications. Some
researchers try to make it suitable for further analysis through systematization [1, 2, 3]. Others refrain from precise definition of regulation [4, 5, 6, 7]. In this paper, regulation refers
to the use of legal instruments to achieve the goals of socio-economic policy. A characteristic
feature of legal instruments is that the government can compel individuals or organizations
to comply with regulations, subject to statutory responsibilities. Corporations may be forced,
for example, to set certain prices, supply certain goods, not operate in certain markets, use
certain methods in the manufacturing process, or pay statutory minimum wages. Sanctions
can include fines, publicizing violations, jail time, ordering certain action, injunctive relief,
sale of business, or closing of business. A few regulatory instruments are based on economic principles and can be used to
indirectly stimulate desired behavior, increase the perception and effectiveness of measures
to adapt to market conditions. In the literature on the analysis of such instruments, the terms
“economic regulation” and “market regulation” are often confused. Instruments of market
(economic) regulation are considered instruments of indirect regulation that affect the https://doi.org/10.1051/e3sconf/202129102032 E3S Web of Conferences 291, 02032 (2021)
SDGG 2021 behavior of subjects, changing the structure of their economic incentives [8]. For example,
the costs of environmental externalities such as greenhouse gas emissions are usually not
reflected in consumption or investment decisions but are borne by third parties. Within
environmental management, the importance of these tools is that they operate in a cost-
effective and environmentally-friendly manner, encouraging businesses to reduce pollution. In this regard, the following sectors of economic activity need more regulation than others:
insurance (all types that consider extreme weather events); pricing policy (water resources,
ecosystems); funding through public-private partnerships or private funding (flood
protection, coastal protection, water resources); government regulation (building codes,
zonal planning); research and development (agriculture, health care) [9]. behavior of subjects, changing the structure of their economic incentives [8]. For example,
the costs of environmental externalities such as greenhouse gas emissions are usually not
reflected in consumption or investment decisions but are borne by third parties. Within
environmental management, the importance of these tools is that they operate in a cost-
effective and environmentally-friendly manner, encouraging businesses to reduce pollution. 3 Results and discussion The spheres of application of state regulation are quite extensive. Traditionally, education,
health care, agriculture, culture, social and environmental policy need additional support
from the state. However, compared to the costs of national defence and national security, the
environmental item of budget expenditures appears to be underfunded (Table 1). At the same
time, there is a positive trend in spending on environmental protection. This is due to the
implementation of the national project “Ecology” from 2019 to 2024. able 1. Expenditures of the federal budget of the Russian Federation for 2019, billion rubles [12] Table 1. Expenditures of the federal budget of the Russian Federation for 2019, billion rubles [12]
Budget item
2020
2019
2018
Variation, %
National issues
1,557.4
1,420.0
1,319.1
+18
National defense
3,087.0
2,926.2
2,827.9
+9
National security and law enforcement
2,430.4
2,206.8
2,077.8
+17
National economy
2,658.4
2,632.4
2,464.6
+8
Housing and utilities
260.8
216.4
158.1
+65
Environmental protection
343.8
187.6
113.2
+204
Education
912.5
843.7
702.2
+30
Culture, cinematography
144.4
127.2
102.7
+41
Health care
1,027.9
655.6
476.4
+116 2 https://doi.org/10.1051/e3sconf/202129102032 E3S Web of Conferences 291, 02032 (2021)
SDGG 2021 Table 1. Continued
Social politics
5,004.1
4,887.8
4,621.3
+8
Physical culture and sport
74.7
61.3
65.7
+14
Media
94.8
75.9
84.0
+13
Service of state and municipal debt
897.0
852.1
814.3
+10
General interbudgetary transfers
1,010.2
944.1
981.4
+3
Total
19,503.3
18,037.2
16,808.8
+16
Spending on environmental protection is less than 1% of GDP (Figure 1). The industry
needs additional financial support Spending on environmental protection is less than 1% of GDP (Figure 1). The industry
needs additional financial support. Spending on environmental protection is less than 1% of GDP (Figure 1). The industry
needs additional financial support. Fig. 1. Costs of environmental protection in the Russian Federation. 1,3
1,2
1,1
1,0
0,9
0,9
0,9
0,8
0,8
0,7
0,7
0,7
0,7
0,7
0,7
0,7
0
0,5
1
1,5
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018
% to GDP 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 201 Fig. 1. Costs of environmental protection in the Russian Federation. Fig. 1. Costs of environmental protection in the Russian Federation. 3.1 Market instruments in environmental regulation Environmental pollution and depletion of natural resources occurs due to the mispricing of
the goods and services that people produce and consume. Market-based instruments (taxes,
levies, transferable environmental quotas) help to achieve environmental, economic, and
social policy objectives in a cost-effective way, considering the hidden costs of production
and consumption for human health and the. These costs are often borne by people who do
not even benefit from the use of these products. Market-based instruments are effective in the following areas of environmental
protection: combating climate change, preserving nature and biodiversity, protecting the
environment and human health, as well as through the wise use of resources and the
organization of waste collection and disposal. However, it should be emphasized that some
market-based instruments generate income that can either be channelled as environmental
costs or used to offset taxes on labor and capital. 3.2 European experience Consider the European experience in the field of environmental management. The European
Environment Agency classifies market-based instruments for environmental regulation into
five groups [13]: (1) Transferable environmental quotas - designed to achieve reductions in
pollution (such as CO2 emissions) or resource use (such as fishing quotas) in the most
efficient way by providing market incentives for trade; (2) Environmental taxes - designed
to change prices and therefore the behavior of producers and consumers, as well as to increase
income; (3) Environmental fees - designed to cover (part or all) the costs of environmental
services and pollution control measures such as wastewater treatment and waste disposal; (4)
Environmental subsidies and incentives - designed to stimulate the development of new
technologies, to help create new markets for environmental goods and services, including
technology, to encourage changes in consumer behavior through green procurement
schemes, to temporarily support the achievement of higher levels of environmental protection 3 E3S Web of Conferences 291, 02032 (2021)
SDGG 2021 https://doi.org/10.1051/e3sconf/202129102032 at the expense of the company; (5) Liability and compensation schemes - are aimed at
ensuring adequate compensation for damage caused by activities hazardous to the
environment, and provide means of prevention and recovery (so-called “payment for negative
impact”). This classification is generally accepted and applied in many countries. OECD,
World Bank and UN also use this classification in their reports and reports. at the expense of the company; (5) Liability and compensation schemes - are aimed at
ensuring adequate compensation for damage caused by activities hazardous to the
environment, and provide means of prevention and recovery (so-called “payment for negative
impact”). This classification is generally accepted and applied in many countries. OECD,
World Bank and UN also use this classification in their reports and reports. p
p
In this paper, we would like to pay significant attention to only two instruments: (1)
transferable environmental quotas and (2) taxes and fees. (1) Transferable environmental quotas. Total emissions from stationary plants across the
EU decreased by 4.1% between 2017 and 2018. Emissions from combustion plants decreased
by 5.9%, mainly due to the phase-out of coal in power plants, while emissions from other
industrial installations were down 0.7%. Airline emissions continued to rise, increasing by
4.0% in 2018 compared to 2017, mainly reflecting the growing demand for air travel [13]. p
y
g
g
g
Emissions are expected to continue to decline, albeit at a slower rate than previously. 3.2 European experience The
overall projected reduction of 36% by 2030 from 2005 levels is not yet in line with the 43%
reduction target. In several countries, an increase in emissions is expected until 2030 [13]. Emissions are expected to continue to decline, albeit at a slower rate than previously. The
overall projected reduction of 36% by 2030 from 2005 levels is not yet in line with the 43%
reduction target. In several countries, an increase in emissions is expected until 2030 [13]. g
p
Although fewer emission allowances were offered at auctions in 2018 than in 2017,
revenues from auctions increased from €5.5 billion to €14.1 billion. This fact reflects an
increase in the average price of quotas from €5.8 in 2017 to €15.5 per tonne in 2018 [13]. US experience confirms that emissions trading has great potential for savings in
environmental compliance costs. This tool works better if the number and variety of sources
that fall under the “limitation” is greater, and the technological requirements for individual
sources are less stringent. g
(2) Environmental taxes. The evidence for the environmental effectiveness of taxes is
generally positive; they work when the tax is high enough to stimulate pollution abatement
measures. Austria, Denmark, and the Netherlands are using different mechanisms to reduce
carbon dioxide emissions. The use of market incentives (taxes and subsidies) in Denmark
was assessed as a more effective form of political intervention than other approaches such as
the combination of long-term voluntary agreements and subsidies in the Netherlands and
laissez faire in Austria. In the EU, motor fuel taxes, together with taxes on the sale or
registration of motor vehicles, account for more than 90% of the total environmental tax. The
European vehicle fleet is more energy efficient, and carbon dioxide emissions from transport
are 2-3 times lower than in the USA. Government revenues from environmental taxes in the European Union were €369 billion
in 2017, compared with €264 billion in 2002. During the same period, the share of
environmental taxes in total government revenue from taxes and social contributions
decreased from 6.8% in 2002. up to 6.1% in 2017 Energy taxes account for 77% of environmental tax revenue, far ahead of transport taxes
(20%) and pollution and resource taxes (3%). 3.3 Russian experience Having briefly reviewed the experience of European countries in the field of decision-making
in the management of environmental protection programs, let us turn to Russian practice. At
the moment, there is no separate “environmental tax” in Russia, but discussions about its
introduction have been going on since 2018. The following taxes in force in Russia can be
classified as environmental. Water tax is payable for the use of water if such use requires a license. Currently, only
groundwater extraction is licensed. Typically, the amount of water tax depends on the volume
of water produced, the type of water body and water basin. For example, the following tax
rates are applied: for 1000 m³ of river or lake water - from 693 to 1,566 roubles; for 1000 m³
of sea water - from 9.98 to 34.37 roubles. Other water uses that do not require a license may 4 https://doi.org/10.1051/e3sconf/202129102032 E3S Web of Conferences 291, 02032 (2021)
SDGG 2021 still be subject to water use charges in accordance with the Russian Water Code. Such
payments are not considered taxes. still be subject to water use charges in accordance with the Russian Water Code. Such
payments are not considered taxes. The environmental fee is paid by manufacturers and importers of the goods to be
processed. Payers of the levy can either process or pay the levy. However, Russian
environmental authorities recently found recycling ineffective and prepared a draft law
proposing to oblige all manufacturers and importers of goods and packaging to pay an
environmental fee under the supervision of tax authorities, which are considered more
efficient in terms of collection of taxes and fees than Russian environmental authorities,
which are currently collecting fees. In addition, this levy is proposed to finance the activities
of specialized organizations responsible for processing. Currently, the rates of environmental tax for various types of goods are set by the Russian
Government, depending on the type of goods, their packaging and whether the corresponding
processing target has been achieved. A scrapping fee is payable for certain activities using motor vehicles and trailers. 3.3 Russian experience The
levy is paid by: (1) importers or car manufacturers; (2) buyers of vehicles for which fees were
not paid by the previous owner; (3) owners of vehicles placed under a free customs zone
applied in the special economic zone of the Kaliningrad region when changing the customs
procedure (except for re-export) if the disposal fee has not been paid earlier. The list of
vehicles to be levied and the applicable rates are set by the Government. Rates vary
depending on the type of vehicle, its power, age, engine size, weight, etc. Several provisions of Russian tax legislation are also aimed at environmental protection
and energy efficiency, including: (1) an investment tax credit is available to taxpayers
engaged in R&D, equipment modernization to improve energy efficiency, or environmental
protection measures (Article 67 of the Russian Tax Code); (2) accelerated depreciation of
energy efficient fixed assets (Art. 259.3); (3) exemption from property tax for energy efficient
fixed assets (art. 381); (4) reduced rates of transport tax depending on the ecological class of
vehicles (Art. 361). There is also a charge for negative impact on the environment. 4 Conclusion Russia is currently exploring options for the application of economic instruments in the field
of environmental protection, including a system for setting tariffs for carbon emissions. This
practice could provide a 25-30% reduction in greenhouse gas emissions by 2030 below the
1990 level. In 2014, the country's government adopted a plan to reduce greenhouse gas
emissions. This document includes the development and implementation of an accounting
and reporting system at the company level, an assessment of emission reduction potentials,
and the development of a mitigation concept and an action plan that could potentially include
the sale of emission quotas. In addition, the Government has established an action plan to
improve the regulation of greenhouse gas emissions and prepare for the ratification of the
Paris Agreement. g
We believe that market regulation mechanisms are necessary because they allow
considering the interests of all participants in state policy: the population (consumers), the
state and financial and industrial enterprises (producers). The World Bank Group [15]
estimates that Russia's greenhouse gas reduction targets are relatively modest, which hinders
the development of green finance. Traditionally, it is believed that there are a lot of taxes and
fees in Russia, the population is practically not interested in environmental problems,
therefore, the introduction of a new “environmental” tax or various fees (for example, for
packaging, etc.), as in Europe, is unlikely perceived positively and will not find
understanding among the population. The current legislation provides for a system of
compensation for environmental damage, so it is better to focus efforts on encouraging
companies to move production on an “ecological track”. Considering Russian realities, we 5 E3S Web of Conferences 291, 02032 (2021)
SDGG 2021 https://doi.org/10.1051/e3sconf/202129102032 believe it most urgent to stimulate environmental policy by reducing greenhouse gases. This
is possible with the establishment of a system for the sale of quotas for emissions of harmful
gases. Firstly, this policy will help to significantly accelerate the implementation of the plan
to reduce greenhouse gases, and secondly, it will stimulate the development of “green”
technologies in both the financial and industrial spheres. believe it most urgent to stimulate environmental policy by reducing greenhouse gases. This
is possible with the establishment of a system for the sale of quotas for emissions of harmful
gases. 4 Conclusion Firstly, this policy will help to significantly accelerate the implementation of the plan
to reduce greenhouse gases, and secondly, it will stimulate the development of “green”
technologies in both the financial and industrial spheres. Acknowledgments The reported study was funded by RFBR and MES RSO, project number 20-51-00001. The reported study was funded by RFBR and MES RSO, project number 20-51-00001. References 1. R. Baldwin, M. Cave, Understanding regulation: theory, strategy and practice (Oxford
University Press, Oxford, 1999) 2. B. Morgan, K. Yeung, An introduction to law and regulation (Cambridge University
Press, Cambridge, 2007) 3. A. Ogus, Regulation: legal form and economic theory (Hart Publishing, Oxford, 2004) 4. R. Ekelund, The foundations of regulatory economics (Edward Elgar, Cheltenham,
1998) 5. G. Fromm, Studies in public regulation (MIT Press, Cambridge, 1981) 6. D. Spulber, Regulation and markets (MIT Press, Cambridge, 1989) 7. K. Train, Optimal regulation (MIT Press, Cambridge, 1997) 8. Market-based instruments for environmental policy in Europe (EEA, 2005)
https://www.eea.europa.eu/ 9. S. Agrawala, S. Fankhauser, Economic aspects of adaptation to climate change. Costs,
benefits and policy instruments (OECD, Paris, 2008) 10. W.K. Viscusi, J. Vernon, J. Harrington, Economics of regulation and antitrust (MIT
Press, Cambridge, 2005) 11. G. Majone, Deregulation or re-regulation (Pinter Publishers, London, 1990) 12. Budget for Citizens (Ministry of Finance, Moscow, 2019) https://www.minfin.ru/ 13. The
EU
Emissions
Trading
System
in
2019:
trends
and
projections,
https://www.eea.europa.eu/ 13. The
EU
Emissions
Trading
System
in
2019:
trends
and
projections,
https://www.eea.europa.eu/ 14. Environmental
tax
reform
in
Europe:
opportunities
for
the
future,
https://ieep.eu/publications/ 14. Environmental
tax
reform
in
Europe:
opportunities
for
the
future,
https://ieep.eu/publications/ 15. Russia green finance: unlocking opportunities for green investments (World Bank, 2018)
http://documents1.worldbank.org/ 15. Russia green finance: unlocking opportunities for green investments (World Bank, 2018)
http://documents1.worldbank.org/ 6
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A Comprehensive Literature Review on Understanding Job Burnout: Causes, Consequences, and Prevention Strategies
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Zenodo (CERN European Organization for Nuclear Research)
| 2,023
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cc-by
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International Journal of Interdisciplinary Organizational Studies
ISSN: 2324-7649 (Print) ISSN: 2324-7657 (Online)
Volume 18 No. 1, 2023
A Comprehensive Literature Review on Understanding Job
Burnout: Causes, Consequences, and Prevention Strategies
Krina Anadkat1, Dr. Meeta Joshi2
1
Research scholar, Marwadi University, Rajkot, Gujarat, India
2
Associate professor, Faculty of Management Studies
Marwadi University, Rajkot, Gujarat, India
Abstract
“Job burnout, a well-known work-related stress condition characterized by emotional
exhaustion, professional inefficacy, and cynicism, has been traditionally associated with
human care professions like teaching and nursing. However, research has shown that it also
affects managers and workers in diverse industries, including banking. This comprehensive
literature review critically synthesizes the existing research on job burnout, providing insights
into its causes, consequences, prevention strategies, and treatment measures. The review also
discusses the main measures used to assess job burnout, such as the Maslach Burnout Inventory
(MBI), Burnout Measure (BM), and Oldenburg Burnout Inventory (OLBI). The findings of
this review contribute to the current understanding of job burnout and highlight the need for
further research and effective interventions in diverse work settings. The quality and relevance
of this review make it suitable for publication in reputable Inder science journals focused on
organizational behavior, management, and psychology.
Keywords
Job Burnout, Work-related Stress, Emotional Exhaustion, Professional Inefficacy, Cynicism,
Human Care Professions, Managers, Banking Industry, Prevention, Treatment, Maslach
Burnout Inventory (MBI), Burnout Measure (BM), Oldenburg Burnout Inventory (OLBI),
Literature Review.
1
Corresponding Author, email: krina.anadkat111467@marwadiuniversity.ac.in
© Common Ground Research Networks, Krina Anadkat, All Rights Reserved.
Acceptance: 16June2023, Publication: 04July2023
2
Second Author, email: meeta.joshi@marwadieducation.edu.in
Page | 1278
International Journal of Interdisciplinary Organizational Studies
ISSN: 2324-7649 (Print) ISSN: 2324-7657 (Online)
Volume 18 No. 1, 2023
Introduction
A long-standing social issue was described by the term "job burnout," which has numerous
variations depending on the time period, researchers, regions, and languages. (Schaufeli et al.,
2009). Burnout at work is a syndrome brought on by a protracted sensitivity to stress at work.
Both the company and the employees themselves must pay a lot of expenses. The importance
of job burnout is demonstrated by its correlation with a variety of adverse organisational
outcomes, including absenteeism, different forms of health problems, including cardiovascular
concerns, and mental health issues, including insomnia. (Cordes and Dougherty, 1993;
Maslach and Leiter, 2016b; Schaufeli and Buunk, 2003; Shirom and Melamed, 2005).
Burnout's detrimental effects have sparked calls for remedial programmes that will both
enhance employees' quality of life and stop organisational losses. (Awa et al., 2010).
Exhaustion, professional effectiveness, and cynicism are the three components of job burnout
that are factored into the Maslach burnout inventory's subscales. (Maslach et al., 2001; Maslach
and Leiter, 2008). The most researched part of job burnout is exhaustion, which stands for the
stress factors. (Maslach et al., 2001). It entails extreme physical and emotional tiredness, which
impairs the worker's capacity for effective work. Cynicism, also known as depersonalization,
is the loss of the human aspect in interactions with others and is characterised by scepticism
and a chilly demeanour towards consumers. (Maslach, 2006; Maslach et al., 2001).
Professional inefficacy, also known as diminished personal accomplishment, is the propensity
for an individual to adversely judge themselves as well as a significant sense of inefficacy at
work and in social interactions. (Cordes and Dougherty, 1993; Maslach et al., 1996). However,
numerous studies have revealed that weariness and cynicism or disengagement are the primary
characteristics of burnout. (Bakker et al., 2004; Demerouti et al., 2001, 2010; Peterson et al.,
2008).
This article aims to give a concise overview of the topic of job burnout, its origins, and effects
on people and organisations. The report discusses organisational and individual intervention
techniques that lessen or prevent burnout. The article also offers a summary of the key
indicators of burnout. The structure of the paper is as follows. An outline of the phenomenon's
emergence and evolution is provided in the first part. The causes of Job Burnout's
organisational and personal elements are then thoroughly examined. Along with individual and
organisational therapeutic options, the organizational, physical, and psychological effects of
job burnout are additionally examined.
Page | 1279
International Journal of Interdisciplinary Organizational Studies
ISSN: 2324-7649 (Print) ISSN: 2324-7657 (Online)
Volume 18 No. 1, 2023
Burnout: A Brief Overview
The first seeds were sown in 1974 when American psychologist Herbert Freudenberger
popularised the term "Burnout" in academic circles. In his work "Staff burn-out," the author
examined the stress reactions displayed by volunteers at the St. Mark's Free Clinic in New
York. Freudenberger coined the phrase to characterise the volunteer's progressive physical and
mental exhaustion, decreased dedication, and productivity. (Ahola and Hakanen, 2007; Bilge,
2006; Freudenberger, 1974). Freudenberger claims that the first indication of burnout is when
an employee works longer and harder yet achieves fewer goals. (Freudenberger, 1977).
The research and advancement of the idea were pioneered by Christine Maslach and her
colleges, independently and concurrently. Maslach has made significant contributions to the
study of this phenomenon's interpretation and comprehension in a variety of professions.
(Valcour, 2016). When Maslach and her colleagues were interviewing a group of human
services employees in California, they came across the phrase. (Schaufeli, 2017). Maslach was
interested in understanding how these service workers dealt with emotional arousal at work by
using cognitive methods like "dehumanization." (Maslach and Schaufeli, 1993). Maslach
discovered from the interviews that the staff members felt worn out and began to have a
pessimistic outlook towards the service reception. (Schaufeli et al., 2009).Burnout is thus
described by Maslach and Jackson as "a syndrome of emotional exhaustion, depersonalization,
and reduced personal accomplishment, which can occur among individuals who work with
people in some capacity" (Maslach and Jackson, 1984. p. 134).
As a result, Maslach and her colleagues created "the Maslach burnout inventory (MBI)," which
is one of the most well-known and widely used self-reporting instruments to assess burnout in
a variety of human services professions. (Maslach and Jackson, 1981; Schaufeli, 2017).
Researchers have been motivated and inspired by this breakthrough to look into how
widespread this phenomenon is among workers. (Cordes and Dougherty, 1993). Numerous
studies have been done on human services workers, who are thought to be the most vulnerable
to psychological abuse because their jobs require a lot of interpersonal contact. (Maslach and
Jackson, 1984). These research' findings showed that the psychological stress brought on by
the work of human services professionals has a wide range of negative effects. Studies of a
similar nature were carried out on nurses, police officers, and attorneys. (Cordes and
Dougherty, 1993). Maslach and Jackson (1984) and Maslach (2006) assert that burnout is not
exclusive to occupations in the human services. Burnout seems to be related to the workplace,
and it has been obvious that the condition is not only present in the health care industry but
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also in other fields of employment (such as telecom, IT, business, corporate, and sports),
(Maslach, 2006; Maslach and Jackson, 1984; Maslach and Schaufeli, 1993). With the
development of alternative burnout measurements, such as the Oldenburg Burnout Inventory
(OLBI) (Demerouti et al., 2003), the Burnout Measure (BM) (Pines and Aronson, 1988), and
the Shirom-Melamed burnout measure, as well as the most recent version of MBI, the MBIgeneral survey (MBI-GS), which is to be used in all occupations (Maslach et al., 2012;
Schaufeli (Shirom and Melamed, 2006).
The Causes of Job Burnout
In general, the pervasive belief that core job conditions and secondarily personality variables
cause burnout (Bianchi, 2018; Maslach, 2003, 2006; Shanafelt et al., 2017).
More proof and consideration were given to the effect of the employment variable than to the
personal ones. (Bianchi, 2018; Maslach et al., 2001). Modern ideas, however, contend that the
organisational environment should simultaneously examine both personal and job qualities.
(Bianchi, 2018; Maslach and Leiter, 2016a). According to Maslach et al. (2001, p. 414), these
job characteristics (organizational risk factors) are assembled within six key aspects of the
workplace context:
1.Workload: One of the most frequently cited causes of burnout and the one most directly
linked to the tiredness aspect of burnout is the workload. (Maslach and Leiter, 2008). The
imbalance can, in the simplest scenario, be caused by the many expectations and duties, such
as deadlines and targets, which be carried out with insufficient resources.
2.Control: A measure of how much freedom employees have to do their jobs as they see fit.
The inconsistencies in control show that the employee does not have enough control over the
crucial factor and the tools required for the task.
3.Reward: A reflection of appreciative comments and recognition, whether monetary,
interpersonal, or both. Here, the discrepancy stands for the absence of appreciation for the job
that people accomplish.
4.Community: Demonstrates the effectiveness of interpersonal relationships and collaboration
interactions when interacting with coworkers, bosses, and clients
5.Fairness: Displays respect, candor, and trust in the workplace. When a worker discerns a
lack of fairness at work, there is a mismatch.
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6. Values: Shows how an individual's goals, inspiration, and values are reflected in their work
(Maslach and Leiter, 2008). When the organisational values and the individual values clash,
there is an imbalance. (Maslach et al., 2001).
Any mismatch or imbalance between the person and the six areas of the profession, according
to Maslach and Leiter (2008, 2016) and Maslach et al. (2001), may increase the risk of burnout.
Contrarily, the likelihood of engagement increases with a better level of fit between the
individual and the domains. (Maslach et al., 2001; Maslach and Leiter, 2008, 2016b).
Some personal characteristics of people may also increase the risk of burnout, even while
factors that indicate a mismatch between the person and the profession may increase that risk.
Personality qualities may be important coping mechanisms or intensifiers of the burnout
component (Ghorpade et al., 2007). (Maslach and Leiter, 2016a). People who score highly on
hardiness, which is a group of personality traits utilised by people as a coping technique in
stressful situations, are more resistant to buffering the effects of stressful events and burnout.
(Kobasa et al., 1982; Moradi et al., 2013).However, those that exhibit a less resilient disposition
also score higher on the burnout scale, particularly on the weariness dimension. (Maslach et
al., 2001; Maslach and Leiter, 2016a). People with a greater external locus of control—those
who believe that events and accomplishments are the consequence of luck, fate, or the influence
of others—have higher rates of burnout. (Rotter, 1966). People who regard their actions,
abilities, and efforts as having a greater degree of internal locus of control (Rotter, 1966), on
the other hand, are less likely to experience burnout. (Maslach et al., 2001).Additionally,
neuroticism is closely linked to a higher degree of burnout. (Bianchi, 2018; Swider and
Zimmerman, 2010). According to Semmer (2006), neurotic people tend to exhibit emotional
instability, anxiety, hostility, and a propensity for emotional pain, all of which are consistent
with the job burnout feature.
The Consequences of Job Burnout
Job burnout has been linked to a variety of negative workplace consequences. Burnout was
frequently seen as a predictor of "absenteeism" (Bakker et al., 2003; Borritz et al., 2006),
"turnover" (Maslach, 2006; Maslach and Leiter, 2016b; Wright and Cropanzano, 1998), "job
attitudes" (Moore, 2000), and job performance, for example. (Halbesleben and Buckley, 2004;
Keijsers et al., 1995; Wright and Bonett, 1997).
According to a study by Jackson et al. (1986), the three burnout dimensions, particularly
emotional exhaustion, were substantially connected with teachers' decision to quit their
employment. (Jackson et al., 1986). Wright and Cropanzano (1998) looked at emotional
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weariness as a predictor of job performance and turnover in a different study. They discovered
that worn-out workers exhibit diminished job performance and eventually quit their jobs.
(Wright and Cropanzano, 1998). 189 hotel employees were the subjects of an investigation by
Zhou et al. (2014) into the mediating effect of job fatigue on role conflict and job performance.
The study discovered a link between role conflict and burnout, and that both factors have a
negative impact on workers' performance. (Zhou et al., 2014). In South Tangerang junior high
school teachers, Sovitriana et al. (2019) looked at the theoretical model of social support, work
satisfaction, and interpersonal communication's influences on burnout, with self-esteem
serving as the mediator. The study found a link between the "theoretical model" and burnout
that was harmful, with self-esteem acting as a mediating factor. 318 mid-level managers of
four- and five-star hotels operating in Alanya, Turkey were the subjects of an investigation by
Yirik et al. (2015) into the relationship between organisational stress and levels of
organisational burnout. The results of data analysis show that midlevel managers' ages have an
impact on how stressed and burned out they are at work. Mid-level managers' gender has a
significant impact on the organisational stress they experience, but not on their levels of
burnout. Managers' educational backgrounds affect how stressed out their organisations are,
but not how burned out they are. Managerial departments have an impact on organisational
stress and burnout. Manager positions affect their levels of burnout but not their degrees of
organisational stress.
By producing interpersonal conflict and interrupting the workplace routine, burnout sufferers
can harm relationships at work. (Maslach, 2006). Burnout "can be contagious and perpetuates
itself through social interactions on the job," claim Maslach and Leiter (2016).(Maslach and
Leiter, 2016b. p. 106). In a 2005 study, Bakker et al. looked into the transmission of burnout
among 1849 critical care nurses. The three burnout features of emotional weariness,
depersonalization, and diminished personal accomplishment were discovered to be contagious,
according to the study. More specifically, the study's findings revealed that the three burnout
characteristics were significantly impacted by perceived burnout concerns among coworkers.
(Bakker et al., 2005). Similar findings were obtained in González-morales et al. (2012) and
Bakker et al. (2001).
Job burnout has been associated with a number of negative effects on an employee's physical
and mental health. (Burke and Deszca, 1986; Cordes and Dougherty, 1993; Halbesleben and
Buckley, 2004; Maslach, 2000; Maslach and Leiter, 2016b; Ozturk and Ay, 2018). Maslach
and Leiter (2016) found that the exhaustion component of burnout is more closely related to
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the classic stress variable than the other two elements, making it the most predictive of stressrelated physiological and mental repercussions. (Maslach and Leiter, 2016b). Examples of
physical health issues include migraines, tiredness, type 2 diabetes, and cardiovascular issues.
(Leiter et al., 2013; Maslach and Leiter, 2016b). Additionally, job burnout might result in death,
which is thought to be one of its worst consequences.
In an 8-year study of a sample of Finnish forest sector workers, the link between job burnout
and accidents was examined. According to the study, significant injuries were associated with
burnout combatants (exhaustion and cynicism). However, during the 8-year follow-up
investigation, there was no connection between the third aspect of burnout and worker injuries.
(Ahola et al., 2013). Additionally, 2300 Swedish women were subjected to an investigation by
Grossi et al. (2009) into the relationship between burnout and changes in pain feelings. The
study discovered that a higher degree of burnout predicted general pain in a variety of physical
sites, such as (back and shoulder pain), and was more significant to pain-related impairment.
(Grossi et al., 2009). Additionally, it has demonstrated the ability to predict mortality, type 2
diabetes, coronary heart disease, Appels and Schouten's illness, long-term fatigue, Leone et al.,
2009; Melamed et al., 2006; Toker et al., 2012; (Ahola et al., 2010).
Burnout has been observed to precede some mental effects, such as insomnia, depression, and
worry, when it comes to psychological repercussions. (Leiter et al., 2013; Maslach and Leiter,
2016a; Shirom, 2009; Shirom et al., 2005; Shirom and Melamed, 2005). For instance, Armon
et al. (2008) investigated the relationship between burnout and sleeplessness at two different
time points. (18 months apart). Their data indicate a weak initial correlation between burnout
and sleeplessness. However, they discovered that burnout and sleeplessness can predict each
other's development and intensification among the employee's overtime at the 18-follow-up.
(Armon et al., 2008).comparable outcomes in (Armon, 2009). 6.000 Swedish female workers
made up the sample for Soares et al.'s (2007) investigation on the relationship between burnout
and social, economic, demographic, lifestyle, and health aspects. The survey discovered that
41% of women experienced severe levels of burnout and depression. However, only 5.8% of
the sample showed indications of sadness and modest levels of burnout. (Soares et al., 2007).
Additionally, Peterson et al. (2007) investigate the relationship between burnout and a few
physical and psychological consequences among Swedish healthcare employees. Researchers
looked at a sample of 3719 persons and discovered that those with high levels of burnout were
more likely to experience despair and anxiety. The authors also suggest that depression is more
relevant to the tiredness component of burnout. (Peterson et al., 2008).
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Job Burnout Intervention
Due to the detrimental effects of job burnout, intervention programmes are now being called
for in order to improve employee quality of life as well as to avert organisational losses from
job turnover, desertion, and poor performance. (Awa et al., 2010).
The two main categories of burnout interventions focus on the individual and the organization,
respectively. Individual-level interventions aim to increase the individual's capacity to deal
with workplace stressors. Intervention options at the organisational level concentrate on
removing or lessening organisational stressors. (Le Blanc and Schaufeli, 2008; Maricut et al.,
2014; Maslach et al., 2001; Maslach and Goldberg, 1998).
Individual-level strategies are typically created to lessen employee indicators of job burnout
that are already beginning to surface. Maslach and Goldberg (1998) listed various personal
suggestions for preventing job burnout, such as altering work habits (e.g., working fewer hours
and taking more breaks), learning coping mechanisms (e.g., time management), and obtaining
social resources (from coworkers, managers, and family members), which focuses on the
employee's relationship with work. The use of relaxation techniques, encouraging good health,
and self-analysis (sounder self-understanding) are some suggestions that are made with the
goal of helping the person become more resilient to job pressures. (Maslach and Goldberg,
1998. p. 67).Le Blanc and Schaufeli (2008) include relaxation techniques, cognitive-behavioral
techniques (CBT), and advocating healthy lifestyles as other often utilised individual
treatments to lessen the negative effects of burnout. The majority of individual strategy
research are well established, claim the authors, (Le Blanc and Schaufeli, 2008). For instance,
Van Rhenen et al. (2005) looked at the short- and long-term efficacy of two intervention
programmes among a sample of 396 Dutch telecom workers. The first treatment was a physical
intervention plan that aimed to integrate exercise and relaxation into routine job activities,
while the second was a programme with a cognition-focused goal of reshaping illogical beliefs.
In the short term and at the 6-month follow-up study, the research indicated that both types of
intervention programmes reduced burnout levels. (Rhenen et al., 2005). Schaufeli and Salanova
(2010) examined whether a self-efficacy-based intervention could reduce burnout in three
groups of university students: those who were participating, those who were under stress, and
those who were in good health. The findings revealed a reduction in burnout levels in the
stressed and experienced groups, but no discernible reduction was seen in the healthy group
during the course of the 6-month follow-up study. (Schaufeli and Salanova, 2010).
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The most efficient way to prevent or treat job burnout, according to Maslach and Goldberg
(1998) and Le Blanc and Schaufeli (2008), is likely to involve integrating individual and
organisational intervention measures. (Le Blanc and Schaufeli, 2008; Maslach and Goldberg,
1998). The majority of studies on job burnout, however, have mostly concentrated on
individualised strategies. This is in contrast to the majority of studies, which have revealed that
institutional variables play a more substantial impact in burnout than individual ones, according
to Maslach et al. (2001). (Maslach et al., 2001). This is predicated on the idea that altering an
organisation is more difficult and expensive than altering an individual. (Maslach et al., 2001;
Maslach and Goldberg, 1998).Nevertheless, due to the negative impacts linked with burnout,
there is a growing understanding that decreasing or eliminating it in the workplace is crucial.
(Schaufeli and Buunk, 2003). The fundamental premise that job burnout intensifies as a result
of the mismatch or imbalance between the employees and the six organisational factors—
overload, control, reward, community, fairness, and values—was covered before in the section
on "the causes of job burnout." Therefore, closing the gap between employees and six jobrelated sectors can aid in preventing or lowering burnout. Maslach and Goldberg (1998) claim
that this strategy places more emphasis on the interaction between employees and job domains
than on either one alone. Additionally, it broadens the selection of organisational intervention
choices. (Maslach and Goldberg, 1998). For instance, Dunn et al. (2007) evaluated the success
of the corporate intervention programme's goal of increasing the well-being of doctors working
in the Legacy Clinic in Portland, Oregon, over the course of five years. The intervention
programme's main goals were to increase physician control over the workplace, advance clinic
workflow, and deepen the meaning that doctors derive from their work. The assessments led
to an improvement in the burnout ineffectiveness and emotional tiredness dimensions. (Dunn
et al., 2007).Gregory et al. (2018) also looked at how primary care workers' degrees of burnout
changed both before and after a workload-focused organisational-level intervention
programme was put in place. The workload intervention program, according to the study,
resulted in a decrease in the emotional tiredness and depersonalization component of burnout.
(Gregory et al., 2018). Additionally, Le Blanc et al. (2007) evaluated the results of intervention
programmes (team-based), which were aimed at enhancing 29 oncology staff members' job
control, communication, social support, and coping skills. The studies revealed that the
oncology personnel had lower degrees of depersonalization and emotional weariness. (Le
Blanc et al., 2007).
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Before and after a 6-month intervention, Leiter et al. (2011) assessed the impact of an initiative
aimed at improving workplace civility among healthcare professionals. According to the study,
the intervention programme caused the intervention group's cynicism and weariness to decline.
(Leiter et al., 2011). The scientists looked at whether the intervention's effect persisted after a
year in a follow-up research. The study concluded that the civility intervention's results were
long-lasting. (Leiter et al., 2012). Maslach et al. (2011) claim that this data supports the idea
that fostering better community connections inside the workplace is crucial for reducing job
burnout. (Maslach et al., 2012).According to the preliminary studies, we may infer that there
aren't many studies focused on organisational intervention tactics because they are more costly
and time-consuming.
The Measurement of Burnout
1. The Maslach Burnout Inventory MBI
The Maslach Burnout Inventory (MBI; Maslach and Jackson, 1981), which was first
established in the early 1980s as an attempt to quantify the three dimensions: emotional
exhaustion (EE), depersonalization (DP), and personal accomplishment (PA), is the most
commonly used tool for assessing occupational burnout. (Maslach and Jackson, 1981).
The MBI is regarded as one of the earliest burnout measurements that was scientifically
confirmed and as the most widely used instrument to assess burnout. (Bria et al., 2014;
Halbesleben and Buckley, 2004; Maslach et al., 2001; Schaufeli et al., 2016; Shirom et al.,
2005; Shirom and Melamed, 2005).
The Maslach Burnout Inventory now comes in three different forms: MBI-human services
survey (MBI-HSS), MBI-educators survey (MBI-ES), and MBI-general survey (MBI-GS).
(Bria et al., 2014; Maslach et al., 2001).
The MBI-human services survey (MBI-HSS), the original form of the MBI, was created to
measure burnout among human service professionals, such as nurses, social workers,
therapists, police, and clergy. (Maslach et al., 2008; Maslach and Jackson, 1981). Based on a
sample of human service workers, Maslach and Jackson (1981) obtained reliability coefficients
for emotional exhaustion of 0.90, depersonalization of 0.79, and personal accomplishment of
0.71 for the MBI-HSS. (Maslach and Jackson, 1981). In a sample of 151 registered nurses,
Beckstead (2002) reported reliability values of 0.88, 0.80, and 0.75 for emotional weariness,
depersonalization, and personal accomplishment. (Beckstead, 2002).
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The MBI-educators survey (MBI-ES), the second iteration of the inventory, was created to
gauge burnout among personnel employed in any educational institution. (Maslach and
Jackson, 1981). The reason for this version of MBI, according to Maslach et al. (1996), is the
large number of studies devoted to the teaching profession and the growing interest in teacher
burnout. The MBI-ES and MBI-HSS are identical; the only variation between the two
inventories is that "recipient" has been replaced with "student" in some items. (Maslach et al.,
1997). The EE (9 items), DP (5 items), and PA (8 items) comprise the 22 statements of jobrelated sentiments assessed by the MBI-HSS and MBI-ES. (Maslach and Jackson, 1981).
Iwanicki and Schwab (1981) supported the three-factor structure of the MBI-ES and reported
reliability estimates of 0.90 for emotional exhaustion, 0.76 for depersonalization, and 0.76 for
personal accomplishment in a sample of instructors. (Iwanicki and Schwab, 1981).
The MBI-general survey (MBIGS), the third iteration of the inventory, was created to be
utilised with workers outside of human services and education, including those in customer
service, manufacturing, management, and most other professions. (Maslach et al., 1997). The
MBI-GS, in contrast to the other variants, emphasises work and interpersonal interactions.
(Maslach et al., 2008). Compared to earlier iterations, the MBI-GS is now the most often used
model for measuring burnout since it is shorter and applicable to fields other than education
and social services. (Bria et al., 2014). The 16 items on the MBI-GS are graded on a 6-point
frequency scale, from never to daily. (Maslach and Leiter, 2008. p. 504). The three subscales
included by the inventory correspond to those of the MBI-HSS and MBI-ES: (1) The emotional
weariness (5 items): Without specifically mentioning the service beneficiaries, this category
includes both physical and emotional exhaustion. (2) Cynicism (5 items): The most altered
component, reflecting a callous or indifferent attitude towards the work. (3) Workplace
Effectiveness (6 items): Were modified to place more emphasis on the individual examples of
achievement in action. (Maslach et al., 1997, 2008; Upadyaya et al., 2016).Burnout is indicated
by high scores on the emotional exhaustion and cynicism scales and poor scores on professional
efficacy. Contrarily, high ratings on the third dimension and low ratings on the first two
dimensions indicate increased engagement. (Maslach and Leiter, 2008). So instead of being
classified as "burning" or "not burning," a person is instead positioned on a continuum from
"more burned" to "less burned." (Iwanicki and Schwab, 1981).
Leiter and Schaufeli (1996) confirmed the three-factor structure for the MBI-GS over various
professional groups in healthcare settings with regard to the validity of the MBI-GS. (Leiter
and Schaufeli, 1996). Similar to this, Bakker et al. (2002) investigated the MBI-GS' factorial
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validity on a sample of 2919 workers from eight different professions. (e.g., managers and sales
officers). The research supported the three-factor MBI-GS structure across the eight distinct
professions. (Bakker et al., 2002). Bria et al. (2014) conducted a survey with a sample of 1190
Romanian healthcare professionals, and they also established the three-factor structure of the
MBI-GS's invariance. (Bria et al., 2014).The same results were obtained by Langballe et al.
(2006) using a sample of 5024 workers in eight different occupational settings, by Kitaokahigashiguchi et al. (2004) using a sample of 696 manufacturing managers who completed the
MBI-GS in Japanese, by Qiao and Schaufeli (2010), and by Langballe et al. (2006) using a
sample of 5024 workers. (Schutte and Schaufeli, 2000; Shirom and Melamed, 2006).
2. The Burnout Measure BM
The Burnout Measure (BM; Pines and Aronson, 1988) is the second-most popular self-report
burnout measure, behind the MBI. (Enzmann et al., 1998; Langballe et al., 2006; Pines, 2003,
2005; Schaufeli et al., 2016).
To measure the key component of burnout, "exhaustion," the (BM) was created by Pines and
Aronson in 1988 (Pines, 2005), and it may be used to all jobs. (Qiao and Schaufeli, 2010). The
instrument consists of 21 items that are separated into three categories of tiredness (physical,
emotional, and mental exhaustion), with 17 of the items having negative wording and the
remaining items having positive wording. (Pines, 2005; Pines and Aronson, 1988; Schaufeli et
al., 2016). The BM was scored on a seven-point frequency scale, with 0 denoting "never" and
6 denoting "every day." Four on average indicates burnout (Pines, 2003).In response to the
demands of academics and practitioners for a simple-to-use tool, less questionnaire space, and
less time for handling and scoring, Pines produced a shorter and simpler version of the BM,
the (BMS), in 2005. The 21-item BM contextual principle was used to arrange the 10-item
BMS, which measures an individual's levels of physical, temperamental, and psychic
weariness. The BMS evaluated on a range of one "never" to seven "always" on a seven-point
frequency scale. (Pines, 2005). Regarding the reliability of the BM, the three-factor structure
of the MB was validated by Enzmann et al. (1998), Qiao and Schaufeli (2010), Schaufeli et al.
(2016), and Schaufeli and Dierendonck (1993).
3. The Oldenburg Burnout Inventory OLBI
To address the psychometric flaw of the MBI and the MBI-GS, Demerouti et al. (2003) hired
and offered novel construct dependability of the Oldenburg Burnout Inventory (OLBI1).
(Demerouti et al., 2003). All questions on the weariness and cynicism scale are worded
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negatively, and the professional efficacy components are stated positively, according to
Demerouti et al.'s (2001) analysis of the three subscales of the MBI. (Demerouti et al., 2001).
The OLBI, in contrast, has questions with symmetrical confirming and dissentient wording.
(Demerouti et al., 2010; Halbesleben and Demerouti, 2005).
Exhaustion and disengagement from work are the two elements of the Oldenburg burnout
inventory. (Demerouti et al., 2003). The exhaustion dimension includes both physical and
mental components of weariness in addition to the affective dimensions of fatigue as measured
by the MBI and MBI-GS. (Demerouti et al., 2003; Halbesleben and Demerouti, 2005). The
OLBI comprises eight items per subscale, with each subscale having quaternary questions with
positive and negative wording. Additionally, each subscale offers quadruplet response choices,
ranging from 1 (completely disagree) to 4 (absolutely agree). (Halbesleben and Demerouti,
2005; Peterson et al., 2008).
Demerouti et al. (2003) examined the factorial and merging rigour of the OLBI and the MBIGS among 232 employees from different professional groups in order to determine the validity
of the OLBI. The three-factor MBI-GS structure and the two-factor OLBI structure were
supported by the study. (Demerouti et al., 2003). In two samples of 2599 employees,
Halbesleben and Demerouti (2005) also looked at the validity and reliability of the OLBI as a
substitute for the MBI. The OLBI's English version was used by the authors. The study tested
the factorial, discriminant, and convergent validity of the OLBI in the two samples and reported
a satisfactory internal consistency of the OLBI with Cronbach's alpha values ranging from 0.74
to 0.84. (Halbesleben and Demerouti, 2005). Similar to this, 560 German students, 303 Greek
students, and 385 German nurses made up the three separate samples used by Reis et al. (2015)
to examine the factor structure of the OLBI. The research supported the two-factor design of
the OLBI for each sample and confirmed the internal consistency of the German and Greek
student versions of the instrument. (Reis et al., 2015).
Summary And Conclusion
Job burnout can be characterised as a subconscious disorder brought on by accumulated workrelated stress, and it can have a variety of detrimental effects on both the individuals and the
company. Maslach et al. (2001) identified three characteristics of job burnout: tiredness,
cynicism, and professional inefficacy. However, tiredness is the first dimension to manifest,
followed by cynicism as a reaction to the fatigue. Each component of job burnout is
interconnected with the other two, and one often leads to the other. The onset of job burnout is
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influenced by a number of organisational and individual risk factors, including overwork and
neuroticism.
Burnout at work has several negative effects on both the organisation and its personnel.
Employee turnover, absenteeism, and subpar job performance are all proven to be associated
with employee burnout at the organisational level. Numerous studies have demonstrated that
burnout is linked to physical and mental health issues such headaches, type 2 diabetes,
cardiovascular issues, sleeplessness, melancholy, and anxiety. Two different types of
intervention methods have been identified in the literature: those aimed at changing the
individual at the individual level and those aimed at changing the organisational structure at
the organisational level.
We went over the most popular and significant burnout measurements in the last section. (e.g.,
MBI-GS, BMS, OLBI). The Maslach Burnout Inventory (MBI) and (MBI-GS) are among the
tools frequently used to gauge employee burnout. However, other academics claim that the
MBI has significant drawbacks, such as the fact that all of its elements are stated in a single
direction. (Demerouti et al., 2010). To address the MBI shortcoming, the Oldenburg Burnout
Inventory (OLBI) was created as a substitute assessment.
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A methodological framework for the improved use of routine health system data to evaluate national malaria control programs: evidence from Zambia
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* Correspondence: bennetta@globalhealth.ucsf.edu
1Malaria Elimination Initiative, Global Health Group, University of California,
San Francisco, 550 16th St, San Francisco, CA 94143, USA
2Center for Applied Malaria Research and Evaluation, Tulane University of
Public Health and Tropical Medicine, 1440 Canal St., Suite 2200, New Orleans,
LA 70112, USA
Full list of author information is available at the end of the article A methodological framework for the improved
use of routine health system data to evaluate
national malaria control programs: evidence
from Zambia Adam Bennett1,2*, Joshua Yukich2, John M Miller3, Penelope Vounatsou4,5, Busiku Hamainza6, Mercy M Ingwe6,
Hawela B Moonga6, Mulakwo Kamuliwo6, Joseph Keating2, Thomas A Smith4,5, Richard W Steketee3 and
Thomas P Eisele2 © 2014 Bennett 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 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. Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 RESEARCH Open Access A methodological framework for the improved
use of routine health system data to evaluate
national malaria control programs: evidence
from Zambia Introduction achieved national-level access to rapid diagnostic tests
(RDTs) and has invested substantial resources at improv-
ing HMIS malaria data collection and reporting. As a re-
sult, Zambia provides an example where prevalence was
historically high, but effective control has achieved an en-
vironment of intervention-suppressed transmission, and
confirmed case data from HMIS are increasingly available
in addition to survey prevalence data to measure trends in
the malaria burden. However, because of the recent scale-
up of RDTs and improved health access, use of HMIS case
incidence to evaluate malaria program performance must
account for improving diagnostic confirmation, HMIS
reporting, and access to health services, or results could
erroneously suggest the malaria burden is getting worse as
malaria control interventions are scaled up. As countries in sub-Saharan Africa (SSA) continue to
scale up malaria control interventions with many moving
toward elimination, rigorous evaluations are needed to en-
sure national programs are achieving desired impacts on
malaria burden. While repeated national household sur-
veys remain important for monitoring trends in popula-
tion intervention coverage, their usefulness for assessing
trends in the malaria burden will be limited in countries
achieving low parasite prevalence where impractically
large sample sizes are required to assess changes over time
and across subnational areas [1]. As such, the use of rou-
tine health system data on malaria cases and deaths will
become increasingly important for impact evaluation pur-
poses. However, because of the known biases of routine
malaria incidence data measured through health manage-
ment information systems (HMIS) [2], these data have
rarely been used to provide rigorous evidence of program
effectiveness for decision-making in Africa [3]. Here we present results from a district-level evaluation
design that was used to assess the dose–response rela-
tionship between ITN program intensity and HMIS-
derived confirmed malaria case incidence in Zambia be-
tween 2009 and 2011. In doing so, we present a novel
framework for rigorously evaluating full-coverage malaria
programs, as well as child survival programs in general,
that rely on imperfect HMIS data, by controlling for vari-
ability in diagnostic procedures, completeness of report-
ing, access and demand for health services, and climate,
while accounting for the inherent correlation of these
types of data across time and space. Introduction Although time series HMIS data have been used for so-
phisticated climate modeling and early warning systems
[4], to date most uses of HMIS data for program evalu-
ation in Africa have been simple comparisons of pre- and
post-intervention trends in rates of malaria case incidence
and deaths [5]. Only in rare cases have such studies dir-
ectly controlled for important confounding factors, includ-
ing changing diagnostic confirmation practices, access and
use of health services, HMIS completeness, and rainfall
and temperature, all of which likely lead to biased findings
of program effectiveness [2,6]. Abstract Background: Due to challenges in laboratory confirmation, reporting completeness, timeliness, and health access,
routine incidence data from health management information systems (HMIS) have rarely been used for the rigorous
evaluation of malaria control program scale-up in Africa. Methods: We used data from the Zambia HMIS for 2009–2011, a period of rapid diagnostic and reporting scale-up,
to evaluate the association between insecticide-treated net (ITN) program intensity and district-level monthly confirmed
outpatient malaria incidence using a dose–response national platform approach with district-time units as the unit of
analysis. A Bayesian geostatistical model was employed to estimate longitudinal district-level ITN coverage from
household survey and programmatic data, and a conditional autoregressive model (CAR) was used to impute missing
HMIS data. The association between confirmed malaria case incidence and ITN program intensity was modeled while
controlling for known confounding factors, including climate variability, reporting, testing, treatment-seeking, and
access to health care, and additionally accounting for spatial and temporal autocorrelation. Results: An increase in district level ITN coverage of one ITN per household was associated with an estimated 27%
reduction in confirmed case incidence overall (incidence rate ratio (IRR): 0 · 73, 95% Bayesian Credible Interval (BCI):
0 · 65–0 · 81), and a 41% reduction in areas of lower malaria burden. Conclusions: When improved through comprehensive parasitologically confirmed case reporting, HMIS data can
become a valuable tool for evaluating malaria program scale-up. Using this approach we provide further evidence that
increased ITN coverage is associated with decreased malaria morbidity and use of health services for malaria illness in
Zambia. These methods and results are broadly relevant for malaria program evaluations currently ongoing in
sub-Saharan Africa, especially as routine confirmed case data improve. Keywords: Malaria, Evaluation, Integrated Nested Laplace Approximation (INLA), Insecticide-treated nets, Health
management information systems (HMIS) Page 2 of 11 Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 Methods
Study site In addition, a particular issue with evaluating the impact
of national malaria control programs is that they normally
attempt to cover all at-risk populations with interventions,
which precludes the availability of a contemporaneous
control group. This challenge of evaluating full-coverage
programs is by no means unique to malaria or public
health. As a possible solution to this challenge, Victora
and colleagues (2011) proposed an evolution in evaluation
design for large-scale health programs that uses the dis-
trict as the unit of analysis to test for a dose–response re-
lationship between program inputs (or coverage) and
health outcomes, referred to by the authors as a national
platform analysis [7]. Graves and colleagues (2008) pre-
viously used such an approach in their evaluation of
vector control scale-up in Eritrea on the outcome of
HMIS-derived malaria case incidence, while accounting
for climate variability [8]. However, while their study is
a significant advancement over simple analysis of HMIS
trends over time, they did not account for malaria diagno-
sis practices, health services access, treatment-seeking,
and spatial and other unobserved correlations in the data. Z
bi
h
f ll
l d
i
i id
d y
Zambia has been scaling up coverage of long-lasting
ITNs (LLINs), indoor residual spraying (IRS), prompt
and effective treatment with artemisinin-combination
therapies (ACTs), and diagnosis at point-of-care with
RDTs since 2006 [10]. The proportion of households
with at least one ITN increased from 38% in 2006 to
62% in 2008 and 64% in 2010; the proportion of
households receiving IRS in the past 12 months in-
creased from 10% in 2006 to 15% in 2008 and 23% in
2010; [9] RDT scale-up has allowed for confirmed
diagnosis at the majority of facilities nationally since
2009 [11], and the HMIS reporting system was over-
hauled in 2008, which has greatly strengthened routine
reporting. Zambia is divided administratively into 74
districts within 10 provinces (72 and nine for the
current analysis due to an administrative separation in
2011); as of 2011, a total of 1,695 public facilities (96
hospitals, 1,352 health centers/clinics, and 247 health
posts) and 35 non-governmental clinics reported into
the HMIS on a monthly basis. Reporting for malaria
includes clinical and confirmed outpatient cases, in-
patient cases, deaths, laboratory testing, and commod-
ity use. Zambia has successfully scaled up insecticide-treated
mosquito nets (ITNs) since 2005, with 64% of households
owning at least one as of 2010 [9]. Methods
Study site Since 2009, Zambia has Page 3 of 11 Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 Study design and participants level per year. Bayesian geostatistical models were first
used to produce estimates of ITN per person ratios from
National Malaria Indicator Surveys (MIS) and IRS pro-
gram enumeration efforts in 2008 and 2010 [9,13], and
population-adjusted values were calculated per district
(see Additional file 1: Figures S1 and S2). Bayesian gen-
eralized linear models were then used to predict values
of ITN per person ratios for districts and years without
survey data from annual district ITN distribution data
from the National Malaria Control Center (NMCC)
(Additional file 1: Figure S3). The resultant district-level
ITN per person ratio was multiplied by the average
household size of each district in order to represent
population coverage as a more programmatically useful
value, the number of ITNs per household. In final re-
gression models, we included this number of ITNs per
household variable as an anomaly from the four-year
mean for each district to control for systematic spatial
effects and potentially endogenous relationships due to
programmatic targeting decisions. A dose–response ecological analysis was conducted with
district-months as the unit of analysis to evaluate the as-
sociation between ITN program intensity and outpatient
malaria case incidence. Data from the Zambia HMIS on
all monthly reported confirmed and clinical (uncon-
firmed) outpatient malaria cases from 2009–2011 were
included. Data before 2009 were excluded as cases up to
this point were reported only on a quarterly basis, a
large proportion of facilities did not report, and parasito-
logical confirmation was not widespread or reported. Strengthening the Reporting of Observational studies in
Epidemiology (STROBE) guidelines were followed for
the reporting of methods and results [12]. Primary outcomes
A
l d A conceptual diagram of steps taken to create all variables
for analysis is provided in Figure 1, and detailed descrip-
tion of data preparation is provided in Additional file 1. The primary outcomes included monthly confirmed and
total (confirmed + unconfirmed) outpatient malaria cases
aggregated at the district level. Before aggregating to the
district level, we imputed all missing facility-level monthly
outpatient malaria values based upon the spatial location
of the facility and the month in which it occurred using
Bayesian conditional autoregressive models. Program data on the annual numbers of structures
sprayed with IRS per district were compiled to investi-
gate independent effects of spraying and as a control
variable. In preliminary models, we found IRS terms to
be non-significant and positively associated with incidence,
which likely reflects a high degree of endogeneity given
that the IRS program initially targeted peri-urban areas
and were scaled up in higher burden areas. As we were un-
able to identify an effective instrumental variable for IRS,
we only retained IRS as a control variable—calculated as Statistical analysis
d For descriptive analyses, confirmed case data were stan-
dardized per 1,000 population and summarized as the
annual parasite index (API), which is commonly used out-
side Africa [21] but only rarely used in Africa due to low
case confirmation rates. Mid-year district-level population
estimates were available from the 2010 housing and popu-
lation census and projected for 2009 and 2011 based upon
annual rates of change. We compared several Poisson and
negative binomial regression models to test the association
between ITN coverage per district and the primary out-
comes of total and confirmed malaria outpatient cases. In
all models, we used the fully imputed cases and included
the log of the total district population as a measure of ex-
posure in order to create population-standardized inci-
dence rates. Exploratory and residual analysis revealed
potential interactions by region between primary outcome
and explanatory variables. In model construction we
therefore assessed the inclusion of interactions between
ITN coverage and transmission, as measured by mean P. falciparum parasite rate (PfPR2–10) (Malaria Atlas Project)
categories (<10% vs. >10% and <25% vs. >25%), as well as
between ITN coverage and high-burden/low-burden prov-
ince, where high-burden provinces were those with the
highest confirmed case incidence over the entire period
(Luapula, Copperbelt, and Eastern provinces as defined in
2011) (Additional file 1: Figure S6). Models were fit in a
Bayesian framework and computed using Integrated
Nested Laplace Approximation (INLA) in R to account
for unmeasured temporal and spatial correlation [22,23]. Model fit was compared using the deviance information
criterion (DIC) [24], where models with the lowest DIC
were chosen for final interpretation. Where uncertainty
from the INLA model did not include zero, coefficients
were considered significantly different than zero. As a fur-
ther check on model specification, we compared the re-
sults of models fit by INLA with models fit in a frequentist
framework and obtained similar coefficient estimates. To estimate physical access to health care, the open
source module AccessMOD 3.0 [17] was used to create
smoothed raster estimates of travel time to health facil-
ities by district. This estimate of facility access has been
shown to correlate well with treatment-seeking for fevers
from MIS data [18]. Based upon these estimates and dis-
trict population rasters, we calculated the percent of
each district population within two hours of a public
health facility (Additional file 1: Figure S4). Statistical analysis
d These values
were standardized for inclusion in final regression
models by subtracting the overall mean and dividing by
the standard deviation. Data from the 2006, 2008, and 2010 MIS, 2007 Demo-
graphic and Health Survey [19], and 2009 and 2011
ACTWatch household surveys [20] were compiled to es-
timate rates of treatment-seeking for fever per district. For each district the proportion of caregivers from all six
surveys who sought treatment at a public health facility
for a child <5 with fever was calculated (Additional
file 1: Figure S5). We examined simple kriging methods
but found no difference with these cross-survey district
summaries. Similar to rainfall, temperature, and health
care access, district mean treatment-seeking rates were
standardized to one standard deviation. Measures of primary exposure variables The primary exposure variable for this analysis was ITN
coverage measured as ITNs per household at the district Figure 1 Conceptual diagram of model inputs, processes, and outputs. Figure 1 Conceptual diagram of model inputs, processes, and outputs. Page 4 of 11 Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 an anomaly from the four-year district mean of the num-
ber of structures sprayed in the previous year—and did
not attempt to interpret independent associations with
incidence. monthly malaria outpatient diagnoses over the study
period). We created a similar index for testing per district-
month calculated as the total number of parasitological
tests (slide or RDT) reported per health facility per month
divided by the sum of the total number of tests and the
total number of clinical (non-confirmed) malaria cases. In
cases where a confirmed case count was reported but no
parasitological testing value reported (roughly 33% of all
testing values), we replaced the missing testing value with
the number of confirmed cases. Measures of contextual and potential confounding factors
To control for climate variability over the study period,
monthly climatic data were compiled from publicly
available sources at the district level. Monthly mean
rainfall data were obtained from the Famine Early Warn-
ing System African Data Dissemination Service [14]
from 2005 through 2011. Monthly mean maximum and
minimum temperature and the enhanced vegetation
index (EVI) were obtained from MODIS satellite data
for the same period [15]. Based upon exploratory ana-
lyses, EVI values were categorized as <0 · 2, 0 · 2–0 · 3, 0 ·
3–0 · 4, and >0 · 4, where higher values represent greater
vegetation health. Anomalies were calculated for rainfall
and temperature data as the difference from each
district-month value and the district mean. Rainfall and
temperature anomaly values were then standardized by
subtracting the respective overall mean and dividing by
the standard deviation. For inclusion in regression
models, various month lag terms were assessed accord-
ing to previously documented lagged relationships be-
tween climate variables and clinical incidence [16]. Results To evaluate reporting rates over time we created an
index of the number of facilities reporting per district per
month as a proportion of the total number of facilities per
district, weighted by facility size (determined by mean The 2009–2011 HMIS data set included 1,693 facilities
that reported at least one malaria observation, of which
we were able to geo-reference with global positioning Page 5 of 11 Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 systems (GPS) 1,387 (82%); the remaining 306 (18%)
were matched to district. Of the 60,948 maximum pos-
sible facility-month observations, there were 48,166
(79.0%) non-missing values available for total malaria
cases and 38,588 (63.3%) non-missing values for con-
firmed cases alone; the remaining 21.0% of total cases
and 36.7% of confirmed case values were imputed. The
percent of expected reports of values per year was con-
sistent over the study period among health centers
(2009: 84 · 7%, 2010: 85 · 1%, 2011: 84 · 2%) and hospitals
(2009: 65 · 1%, 2010: 62 · 9%, 2011: 63 · 3%) but increased
among health posts (2009: 54 · 4%, 2010: 67 · 1%, 2011:
77 · 4%). The mean weighted district-level reporting rate
increased slightly from 81 · 1% in 2009 to 84 · 6% in 2011
but fell somewhat in some districts at the end of 2010
and 2011 (Figure 2). Consistent with the rapid scaling-
up of testing and reporting with RDTs in clinics across
Zambia over this period, the mean testing rate (defined
as the number of tests reported divided by the sum of
tests reported and clinical cases) increased dramatically over this period, from 33 · 0% in 2009 to 43 · 2% in 2010
and 67 · 6% in 2011. This increase in uptake and report-
ing of testing was largely consistent across districts. Total outpatient malaria cases (clinical and confirmed)
reported through the HMIS were concentrated in districts
on the south-eastern border with Zimbabwe, Mozambique,
and Malawi, as well as in Luapula, Northern, Copperbelt,
and portions of Northwestern Provinces (Figure 3). Results After imputing missing monthly facility case values, there
were 1.2 million confirmed malaria cases in 2009 (API =
99 · 8), 1 · 7 million in 2010 (API = 135 · 9), and 2 · 5 million
in 2011 (API = 194 · 8). Although reported confirmed case
incidence increased in most provinces from 2010 to 2011,
total case incidence decreased in Southern Province and
slightly in Eastern Province where incidence is highest
(Figure 4). Bayesian Credible Interval (BCI): 0 · 65–0 · 81) (Table 1
and Additional file 1: Table S1). In low-burden regions,
the number of ITNs per household was strongly asso-
ciated with lower confirmed case incidence (IRR = 0 ·
59, 95% BCI: 0 · 51–0 · 68); there was no evidence of this
association in high-burden provinces (IRR = 0 · 94, 95%
BCI: 0 · 79–1 · 10). Similarly, the number of ITNs per
household was associated with lower total malaria case in-
cidence in the overall model (IRR = 0 · 69, 95% BCI: 0 ·
62–0 · 76), as well as in low-burden provinces (IRR = 0 · 53,
95% BCI: 0 · 46–0 · 62), but not in high-burden provinces
(IRR = 0 · 93, 95% BCI: 0 · 81–1 · 10). District-level ITN coverage, as measured by the number
of ITNs per household, increased from 1 · 25 in 2009 to
1 · 34 in 2010 but fell slightly in 2011 to 1 · 28. District-
level ITN coverage and confirmed malaria case incidence
showed great variability, with some districts experiencing
drops in ITN coverage associated with an increase in con-
firmed case incidence and others experiencing substantial
increases in ITN coverage and stable or decreasing inci-
dence (Additional file 1: Figure S7). The standardized testing rate was positively associated
with confirmed malaria case incidence (IRR = 1 · 22, 95%
BCI: 1 · 19–1 · 25) but was negatively associated with
total malaria case incidence (IRR = 0 · 87, 95% BCI: 0 · 85–
0 · 89). The standardized reporting rate was positively asso-
ciated with total malaria case incidence (IRR = 1 · 07, 95%
BCI: 1 · 05–1 · 09) but not with confirmed case incidence
(IRR = 0 · 98, 95% BCI: 0 · 97–1 · 00). Results Coin-
ciding with the progressive roll out of the new HMIS
reporting system, total reported outpatient malaria cases
increased from 3 · 0 million in 2009 (242 · 2 per 1,000
population) to 4.1 million in 2010 (322 · 8 per 1,000 popu-
lation) and 4 · 3 million in 2011 (327 · 5 per 1,000 popula-
tion). After imputing missing monthly facility case values,
there were an estimated 3 · 4 million outpatient malaria
cases in 2009 (277 · 4 per 1,000 population), 4 · 6 million in
2010 (360 · 0 per 1,000 population), and 4 · 7 million in
2011 (361 · 9 per 1,000 population). Coinciding with the
scale-up of diagnostic testing for malaria confirmation,
confirmed outpatient malaria cases reported through the Figure 2 Mean weighted reporting rate and mean testing rate (defined as the number of tests reported divided by the sum of tests
reported and clinical cases) by district for 2009, 2010, and 2011, Zambia. Figure 2 Mean weighted reporting rate and mean testing rate (defined as the number of tests reported divided by the sum of tests
reported and clinical cases) by district for 2009, 2010, and 2011, Zambia. Figure 2 Mean weighted reporting rate and mean testing rate (defined as the number of tests reported divided
reported and clinical cases) by district for 2009, 2010, and 2011, Zambia. Figure 2 Mean weighted reporting rate and mean testing rate (defined as the number of tests reported divided by the sum of tests
reported and clinical cases) by district for 2009, 2010, and 2011, Zambia. Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 Page 6 of 11 Figure 3 (1) Annual confirmed outpatient cases by facility and (2) annual parasite index (API) by district after imputing missing facility-
month values, three-year average 2009–2011, Zambia. Figure 3 (1) Annual confirmed outpatient cases by facility and (2) annual parasite index (API) by district after imputing missing facility-
month values, three-year average 2009–2011, Zambia. HMIS also increased, from 871,193 cases in 2009
(API = 70 · 8 per 1,000 population) to 1 · 2 million in
2010 (API = 97 · 4) and 2 · 1 million in 2011 (API = 163 · 0). Results One-month lagged
EVI was positively associated with confirmed case inci-
dence (IRR = 1 · 36 comparing the highest and lowest EVI
categories, 95% BCI: 1 · 22–1 · 51). The standardized per-
cent of the population within two hours of a health facility
was inversely associated with confirmed case incidence
(IRR = 0 · 77, 95% BCI: 0 · 61–0 · 97), which likely reflects
the proportion of the population in urban areas in each
district. After controlling for district reporting and testing
rates, the percent of the population within two hours of
a health facility, mean treatment-seeking, IRS, rainfall,
minimum and maximum temperature, vegetation, cal-
endar month and year, and spatial and temporal auto-
correlation, overall the number of ITNs per household
was significantly associated with lower confirmed case
incidence iIncidence rate ratio (IRR) = 0 · 73, 95% Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 Page 7 of 11 Figure 4 Total (clinical + confirmed) and confirmed outpatient malaria case incidence, and total all-cause outpatient incidence, per
1,000 population by province and month, 2009–2011, Zambia. Figure 4 Total (clinical + confirmed) and confirmed outpatient malaria case incidence, and total all-cause outpatient incidence, per
1,000 population by province and month, 2009–2011, Zambia. Discussion reduction in district-level monthly confirmed case inci-
dence overall and a 41% reduction in provinces with
lower annual burden. This finding is largely consistent
with field trials and corresponds to an average of over
300,000 fewer confirmed outpatient malaria cases per
year with each additional ITN per household [25]. In this study, we used a national platform evaluation
design to assess the dose–response relationship between
district-level ITN program intensity and HMIS-derived
confirmed malaria case incidence in Zambia between
2009 and 2011. After accounting for variability in diag-
nostic procedures, completeness of reporting, and access
and demand for health services, we show that increased
district-level ITN coverage as measured by the number
of ITNs per household is associated with lower con-
firmed case incidence. Specifically, we found that an
additional ITN per household was associated with a 27% This study illustrates a robust framework for mitigating
many of the known biases of routine data on malaria inci-
dence by controlling for important confounding factors,
which is a prerequisite to achieving the high internal valid-
ity required for rigorous program evaluations. Prior ana-
lyses of similar routine data have often failed to control for Page 8 of 11 Bennett et al. Discussion Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 Page 8 of 11 Table 1 Results of space-time negative binomial models fit using INLA, for overall models (1) and models including
interaction by region (2), Zambia*
Characteristic
Adjusted model coefficients (IRR, 2 · 5%-97 · 5%)
Confirmed cases (1)
Confirmed cases (2)
Total cases (1)
Total cases (2)
ITNs per HH (overall)
0 · 73 (0 · 65–0 · 81)
0 · 69 (0 · 62–0 · 76)
ITNs per HH in low burden
0 · 59 (0 · 51–0 · 68)
0 · 53 (0 · 46–0 · 62)
ITNs per HH in high burden
0 · 94 (0 · 79–1 · 10)
0 · 93 (0 · 79–1 · 10)
Reporting rateŦ
0 · 99 (0 · 97–1 · 00)
0 · 98 (0 · 97–1 · 00)
1 · 07 (1 · 05–1 · 09)
1 · 07 (1 · 05–1 · 09)
Testing rateŦ
1 · 22 (1 · 19–1 · 25)
1 · 22 (1 · 19–1 · 25)
0 · 87 (0 · 85–0 · 89)
0 · 87 (0 · 85–0 · 89)
Percent of population within
2 hrs of public health
facilityŦ
0 · 77 (0 · 60–0 · 98)
0 · 77 (0 · 61–0 · 97)
0 · 85 (0 · 67–1 · 07)
0 · 84 (0 · 67–1 · 07)
Treatment-seeking rateŦ
1 · 03 (0 · 84–1 · 27)
1 · 03 (0 · 85–1 · 26)
1 · 02 (0 · 83–1 · 26)
1 · 03 (0 · 84–1 · 27)
High-burden province (ref: low)
2 · 39 (1 · 27–4 · 52)
2 · 39 (1 · 31–4 · 36)
2 · 08 (1 · 13–3 · 84)
2 · 09 (1 · 13–3 · 85)
IRSŦ
1 · 04 (1 · 02–1 · 06)
1 · 05 (1 · 03–1 · 06)
1 · 01 (0 · 99–1 · 02)
1 · 01 (0 · 99–1 · 03)
RFE (2–3 months lag)Ŧ
0 · 99 (0 · 97–1 · 01)
0 · 99 (0 · 98–1 · 01)
0 · 99 (0 · 97–1 · 01)
0 · 99 (0 · 97–1 · 01)
Max temp (2 mo. Discussion Table 1 Results of space-time negative binomial models fit using INLA, for overall models (1) and models including
interaction by region (2), Zambia* ce-time negative binomial models fit using INLA, for overall models (1) and models including
(2) Z
bi * *models include calendar month dummy covariates Ŧcovariates are standardized so that a one-unit change represents one standard deviation INLA = Integrated
Nested Laplace Approximation; IRR = incidence rate ratio; ITNs = insecticide-treated nets; HH = household; IRS = indoor residual spraying; RFE = rainfall estimate;
EVI = enhanced vegetation index; DIC = deviance information criterion. modeled, and the authors did not consider differences in
treatment-seeking or health care access [27]. The district
level (“sub-zobas” in Eritrea) analysis conducted by Graves
and colleagues (2008) revealed an association between the
number of ITNs distributed, IRS spraying, and clinical case
incidence, but while their analysis controlled for climate fac-
tors, they did not include information on parasitological case
confirmation,
reporting,
or
health
facility
access
and
treatment-seeking behavior [8]. Finally, none of these studies
accounted for the inherent correlated nature of malaria case
data across spatial units, which can result in erroneous find-
ings of statistical significance if not accounted for, and only
the Graves study accounted for temporal autocorrelation. important confounders, and many have reported on pre-
sumed or clinically-diagnosed malaria cases. For example,
Otten and colleagues (2009) found large reductions in the
number of cases in Rwanda and Ethiopia and attributed
these changes to the scale-up of malaria prevention inter-
ventions [26]. Similarly, Chanda and colleagues (2012) ana-
lyzed annual HMIS data summaries from a sample of
districts in Zambia for 2007 and 2008 and concluded that
ITNs and IRS were associated with declines in suspected
malaria case incidence and deaths [5]. However, neither of
these studies adequately controlled for several important
confounding factors known to influence health facility inci-
dence, including variations over time in climate, diagnostic
practices, access to health services, treatment-seeking be-
havior, and reporting completeness [2]. Bhattarai and col-
leagues (2007) found decreases in health facility cases
following LLIN and ACT scale-up in Zanzibar, but while
climate was considered descriptively, it was not explicitly important confounders, and many have reported on pre-
sumed or clinically-diagnosed malaria cases. Discussion lag)Ŧ
1 · 02 (1 · 00–1 · 04)
1 · 02 (1 · 00–1 · 04)
1 · 03 (1 · 01–1 · 05)
1 · 03 (1 · 01–1 · 05)
Min temp (2 mo. lag)Ŧ
1 · 01 (0 · 99–1 · 03)
1 · 01 (0 · 99–1 · 03)
1 · 00 (0 · 98–1 · 02)
1 · 00 (0 · 99–1 · 02)
EVI
<0 · 2 (ref)
0 · 2–0 · 3
1 · 15 (1 · 08–1 · 21)
1 · 15 (1 · 08–1 · 21)
1 · 12 (1 · 06–1 · 19)
1 · 12 (1 · 06–1 · 19)
0 · 3–0 · 4
1 · 29 (1 · 18–1 · 40)
1 · 29 (1 · 18–1 · 41)
1 · 32 (1 · 21–1 · 44)
1 · 33 (1 · 22–1 · 45)
>0 · 4
1 · 35 (1 · 22–1 · 51)
1 · 36 (1 · 22–1 · 51)
1 · 37 (1 · 23–1 · 52)
1 · 38 (1 · 24–1 · 53)
Year
2009 (ref)
2010
1 · 38 (0 · 88–2 · 16)
1 · 41 (0 · 90–2 · 21)
1 · 23 (0 · 80–1 · 90)
1 · 27 (0 · 83–1 · 95)
2011
1 · 89 (0 · 82–4 · 37)
1 · 90 (0 · 83–4 · 36)
1 · 46 (0 · 66–3 · 25)
1 · 47 (0 · 66–3 · 27)
DIC
38241 · 0
38225 · 8
42901 · 9
42878 · 1
N
2592
2592
2592
2592
*models include calendar month dummy covariates Ŧcovariates are standardized so that a one-unit change represents one standard deviation INLA = Integrated
Nested Laplace Approximation; IRR = incidence rate ratio; ITNs = insecticide-treated nets; HH = household; IRS = indoor residual spraying; RFE = rainfall estimate;
EVI = enhanced vegetation index; DIC = deviance information criterion. Discussion For example,
Otten and colleagues (2009) found large reductions in the
number of cases in Rwanda and Ethiopia and attributed
these changes to the scale-up of malaria prevention inter-
ventions [26]. Similarly, Chanda and colleagues (2012) ana-
lyzed annual HMIS data summaries from a sample of
districts in Zambia for 2007 and 2008 and concluded that
ITNs and IRS were associated with declines in suspected
malaria case incidence and deaths [5]. However, neither of
these studies adequately controlled for several important
confounding factors known to influence health facility inci-
dence, including variations over time in climate, diagnostic
practices, access to health services, treatment-seeking be-
havior, and reporting completeness [2]. Bhattarai and col-
leagues (2007) found decreases in health facility cases
following LLIN and ACT scale-up in Zanzibar, but while
climate was considered descriptively, it was not explicitly This study incorporated several recent methodological
advances in spatial and spatio-temporal modeling that
allow for the inclusion of complex correlation structures, as
well as spatially continuous intervention and environmental
information [28,29]. Similar modeling strategies
have Page 9 of 11 Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 increasingly been used to evaluate temporal and spatial
trends in disease, seasonality, climate, and other factors but
not for evaluations of program impact [30]. While the
evaluation framework and accompanying statistical ana-
lyses used in this study are complex, we argue that without
such methods in place to account for potential biases in
routine HMIS data, such data cannot be used for rigorous
program evaluations to achieve meaningful and robust re-
sults for program decision-making. This is significant as
HMIS data become increasing available, parasite preva-
lence falls in areas with high control coverage, RDTs are
scaled up to allow for increased case confirmation, and as
programs require better real-time data to monitor trends
in confirmed cases and deaths. to control for the increase in confirmed case testing in
multivariable models, our testing rate may be an imperfect
indicator of the true testing rate, as reporting of testing
likely improved contemporaneously with RDT scale-up, la-
boratory testing values were not consistently reported, and
detailed RDT stock-out data were not available. However,
any remaining bias would most likely bring the estimated
effect of ITNs on confirmed case incidence toward the null
hypothesis of no effect. Discussion Second, potentially endogenous relationships existed be-
tween our primary outcomes and explanatory variables of
interest due to programmatic choices targeting high-
burden or easily accessible areas. In some instances, such
as the use of calendar month in the evaluation of IRS ef-
fectiveness by Over and colleagues [37], instrumental vari-
ables may be available to infer causal relationships when
endogeneity exists. However, as no instrumental variables
uncorrelated with primary outcomes were available in our
data, we were not able to perform two-stage regression or
similar standard econometric approaches to isolate uncor-
related effects. Rather, we controlled for systematic spatial
targeting of intervention effort through the use of anomal-
ies in program coverage. This approach was effective for
ITN coverage, as the goal is for universal coverage, and
therefore targeting has been limited. However, the highly
targeted nature and relatively lower coverage of the IRS
program during this period, combined with the lack of
confirmed case data preceding IRS scale-up, precluded our
ability to make similar effective adjustments for IRS. Future
use of these data will likely prove more robust for evaluat-
ing IRS efforts as more areas are included and there is
greater heterogeneity within districts over time. Addition-
ally, we incorporated only annual ITN per household data,
which may not accurately depict monthly changes in
coverage. There is need for programs to more closely track
monthly ITN coverage data in order to make more tem-
porally refined assessments of intervention effectiveness. Our finding of a significant interaction between the num-
ber of ITNs per household and low versus high incidence
regions in models predicting both confirmed and all malaria
outpatient cases was unexpected; while potentially related to
transmission, we did not find significant interactions be-
tween district ITN coverage and endemicity categories as
defined by mean PfPR2–10. Mathematical models and some
limited empirical evidence have suggested that the effect of
increasing ITN coverage on prevalence may be greater or
more
rapid
in
areas
of
lower
baseline
transmission
[25,31-33], but there is less evidence to suggest a similar re-
lationship with clinical case incidence. Discussion It is possible that re-
gional factors such as population movement between
neighboring countries or insecticide resistance are involved,
as these provinces border high burden areas in Malawi,
Mozambique, and the Democratic Republic of the Congo
where resistance is a known problem reducing operational
effectiveness [34], and reductions in the malaria burden over
a decade of scale-up have been extremely limited [35]. It is
also possible that our testing and reporting rates do not fully
correct for biases in diagnostic reporting practices in these
high-burden areas. The increase in both confirmed and total malaria out-
patient cases over the period of study is notable yet largely
explained by the rapid increase in RDT testing over this
period and a simultaneous increase in reporting of con-
firmed cases as a new HMIS reporting system was adopted. Inter-annual climate patterns may explain some of the in-
crease between 2009 and 2010, as 2010 was noted as a high
transmission year in several countries in the region [36],
but we found limited evidence for this effect in our models. User fee changes adopted in 2006 may have influenced
health facility utilization rates broadly, but the bulk of these
effects would likely have well predated our study. Finally, we were not able to incorporate ACT data in this
analysis as these data were not available sub-nationally. Drug stock-outs could have influenced incidence rates, but
there was no evidence to suggest systemic changes in ACT
availability over this period. Additional file 5. Chanda E, Coleman M, Kleinschmidt I, Hemingway J, Hamainza B, Masaninga F,
Chanda-Kapata P, Baboo KS, Dürrheim DN, Coleman M: Impact assessment of
malaria vector control using routine surveillance data in Zambia:
implications for monitoring and evaluation. Malar J 2012, 11:437. Additional file 1: Space-time imputation of missing facility-month
cases. Figure S1. Bayesian geostatistical estimates of ITN coverage for
(A) 2008 and (B) 2010, Zambia. Figure S2. Relative standard deviation
(sd to mean ratio) for ITN coverage estimates for (A) 2008 and (B) 2010,
Zambia. Figure S3. Population-adjusted ITN coverage estimates by district
for (A) 2008, (B) 2009, (C) 2010, and (D) 2011, Zambia. Figure S4. (A) Travel
time to the nearest public health facility and (B) percent of population by
district within 2 hours of a public health facility, Zambia. Figure S5. Percent
of children <5 with fever in the previous two weeks whose caregiver sought
treatment within the public sector, by district, Zambia. Figure S6. Map of
provinces of Zambia as of 2011, including those defined as high burden. Figure S7. District confirmed case incidence (red) and district ITN per HH
anomalies (blue), where zero indicates that coverage remained the same as
the four-year mean. Months 1-36 refer to the study period January 2009 to
December 2011, Zambia. Table S1. Results of model selection for models
on confirmed cases, 2009-2011 Zambia. Table S2. Results of model selection
for models on total cases (confirmed + unconfirmed), 2009-2011 Zambia. 6. Victora CG, Schellenberg JA, Huicho L, Amaral J, El Arifeen S, Pariyo G,
Manzi F, Scherpbier RW, Bryce J, Habicth JP: Context matters:
interpreting impact findings in child survival evaluations. Health Policy
Plan 2005, 20(Suppl 1):i18–i31. 7. Victora CG, Black RE, Boerma JT, Bryce J: Measuring impact in the
Millennium Development Goal era and beyond: a new approach to
large-scale effectiveness evaluations. Lancet 2011, 377(9759):85–95. 8. Graves PM, Osgood DE, Thomson MC, Sereke K, Araia A, Zerom M, Ceccato
P, Bell M, Del Corral J, Ghebreselassie S, Brantly EP, Ghebremeskel T:
Effectiveness of malaria control during changing climate conditions in
Eritrea, 1998–2003. Trop Med Int Health 2008, 13(2):218–228. 9. Zambia Ministry of Health, National Malaria Control Center: Zambia National
Malaria Indicator Survey 2010. Lusaka, Zambia: 2011. Available at: www.nmcc. org.zm. 10. Chizema-Kawesha E, Miller J, Steketee RW, Mukonka C, Mohamed AD, Miti
SK, Campbell CC: Scaling up malaria control in Zambia: progress and
impact 2005–2008. Conclusions There is increasing need to evaluate national malaria con-
trol programs (and other national public health interven-
tions) using routine data. In this analysis we demonstrate
how subnational heterogeneity in ITN coverage can be
used to assess a dose–response relationship with HMIS-
derived confirmed case incidence, after controlling for im-
portant confounding factors. While still an observational
study design, the establishment of such a dose–response
relationship helps bolster causal inference between ITN
program inputs and malaria health outcomes when no There were several important limitations to our ap-
proach that should be considered. First, our evaluation was
limited by the short time frame of confirmed case data
available for analysis, as well as potentially biased by the in-
crease in reporting and testing over this period as facilities
adapted to the new reporting system. While we attempted Page 10 of 11 Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 Bennett et al. Population Health Metrics 2014, 12:30
http://www.pophealthmetrics.com/content/12/1/30 true control group is available [38]. Using this approach
we provide further evidence that increased coverage with
ITNs is associated with decreased malaria morbidity and
reduced utilization of health services for malaria illness in
Zambia. 2. Rowe AK, Kachur SP, Yoon SY, Lynch M, Slutsker L, Steketee RW: Caution is
required when using health facility-based data to evaluate the health
impact of malaria control efforts in Africa. Malar J 2009, 8:209. 3. Gething PW, Noor AM, Goodman CA, Gikandi PW, Hay SI, Sharif SK, Atkinson
PM, Snow RW: Information for decision making from imperfect national
data: tracking major changes in health care use in Kenya using
geostatistics. BMC Med 2007, 5:37. 4. Thomson MC, Doblas-Reyes FJ, Mason SJ, Hagedorn R, Connor SJ, Phinedela
T, Morse AP, Palmer TN: Malaria early warnings based on seasonal climate
forecasts from multi-model ensembles. Nature 2006, 439(7076):576–579. 4. Thomson MC, Doblas-Reyes FJ, Mason SJ, Hagedorn R, Connor SJ, Phinedela
T, Morse AP, Palmer TN: Malaria early warnings based on seasonal climate
forecasts from multi-model ensembles. Nature 2006, 439(7076):576–579. Competing interests
Th
h
d
l
h The authors declare that they have no competing interests. 11. Yukich JO, Bennett A, Albertini A, Incardona S, Moonga H, Chisha Z, Hamainza B,
Miller JM, Keating J, Eisele TP, Bell D: Reductions in artemisinin-based combin-
ation therapy consumption after the nationwide scale up of routine malaria
rapid diagnostic testing in Zambia. Am J Trop Med Hyg 2012, 87(3):437–446. Received: 13 October 2013 Accepted: 13 October 2014 Received: 13 October 2013 Accepted: 13 October 2014 22. Rue H, Martino S, Chopin N: Approximate Bayesian inference for latent
Gaussian models using integrated nested Laplace approximations. J R Stat Soc, Series B 2009, 71(2):319–392. Authors’ contributions AB and TPE designed the study. AB led the analysis of all data, prepared all
drafts of the paper, and incorporated comments by coauthors. All named
authors contributed to the conceptualization and editing of the paper and
approved the final version. 12. STROBE: 2007. [cited 2013 August]; Accessed online at: http://www.strobe-
statement.org/fileadmin/Strobe/uploads/checklists/
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an area of near-universal insecticide-treated mosquito net coverage. Am J Trop Med Hyg 2011, 84(1):152–157. Acknowledgments Dr. Adam Bennett, Dr. Joshua Yukich, Dr. John Miller, Dr. Joseph Keating, Dr. Richard Steketee, and Dr. Thomas P. Eisele were funded by the Malaria
Control and Evaluation Partnership in Africa (MACEPA), a PATH project, from
funding from the Bill & Melinda Gates Foundation. Dr. Thomas A. Smith and
Dr. Penelope Vounatsou were funded through a Bill & Melinda Gates
Foundation project, number OPP1032350. 14. United States Geological Survey: Famine Early Warning System Network. [accessed
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Administration: The Moderate Resolution Imaging Spectroradiometer (MODIS). [cited 2011 January]; Accessed online at: https://lpdaac.usgs.gov/products/
modis_products_table. The sponsor of the study had no role in study design, data collection, data
analysis, data interpretation, or writing of the report. The corresponding
author had full access to all the data in the study and had final responsibility
for the decision to submit for publication. 16. Mabaso ML, Craig M, Vounatsou P, Smith T: Towards empirical description
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Cite this article as: Bennett et al.: A methodological framework for the
improved use of routine health system data to evaluate national
malaria control programs: evidence from Zambia. Population Health
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English
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An examination of retinal findings with optical coherence tomography in hypothyroidism patients with vitamin D deficiency: A comparative study
|
Ķazaķstannyṇ klinikalyķ medicinasy
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Abstract Aim: This study aimed to examine the retinal layer before and after
treatment in patients with hypothyroidism with vitamin D deficiency,
since the vitamin also protects the retinal cells against inflammatory
damage. Material and methods: The free T3, free T4, and vitamin D levels of 104
patients with no ocular disease were first measured. Ophthalmological
examinations of these patients, who were divided into three groups,
were performed by specialist ophthalmologists, while retinal findings
were examined using optical coherence tomography (OCT) and
recorded. The first group was given vitamin D for three months, the
second levothyroxine, and the third vitamin D + levothyroxine. After three
months repeat OCT was performed, and the results were compared with
the previous values. J Clin Med Kaz 2023; 20(6):36-40 Results: The thickness of the left inner nuclear cell layer of the
patients in the vitamin D group increased significantly compared to pre-
treatment. Post-treatment right central macular thickness, right nerve
fiber layer, right outer nuclear cell layer, right pigment epithelial layer,
left central macular, and left inner nuclear cell layer thicknesses were all
significantly higher compared to pre-treatment in the patients in the
levothyroxine + vitamin D group, while right outer retinal layer and left
retinal nerve fiber thicknesses decreased (p<0.05). i
Conclusion: A greater increase in cell layer thickness was observed
in the group using vitamin D and levothyroxine together compared
to those in which vitamin D and levothyroxine were employed alone. However, further studies on the effect of vitamin D on retinal cell
development and protection against injury are now needed. Keywords:
Hashimoto’s
thyroiditis,
hypothyroidism,
optical
coherence tomography, retina, vitamin D An examination of retinal findings
with optical coherence tomography in
hypothyroidism patients with vitamin D
deficiency: A comparative study
Samet Sayilan1, Dila Kiraği2, Mehmet Tayfun Arslan3 Samet Sayilan1, Dila Kiraği2, Mehmet Tayfun Arslan3 1Department of Internal Medicine, Medicine Faculty, Kirklareli University, Kirklareli, Turkey
2Department of Ophthalmology, Faculty of Medicine, Altinbas University, Istanbul, Turkey
3Department of Ophthalmology Clinic, Kirklareli Educational and Research Hospital, Kirklareli, Turkey Received: 2023-09-17. Accepted: 2023-10-18 JOURNAL OF CLINICAL MEDICINE OF KAZAKHSTAN JOURNAL OF CLINICAL MEDICINE OF KAZAKHSTAN (E-ISSN 2313-1519) DOI: https://doi.org/10.23950/jcmk/13872 Journal of Clinical Medicine of Kazakhstan: 2023 Volume 20, Issue 6 Statistical analysis Significant differences were determined between the
levothyroxine, Vitamin D, and levothyroxine+ Vitamin D
groups’ pre-treatment Vitamin D levels (p<0.001) (Table 3). The research data were analyzed on SPSS (Statistical
Package for the Social Sciences) version 23.0 software. In
addition to descriptive methods such as number and percentage
calculations and arithmetic mean, the Kolmogorov-Smirnov test
was applied to evaluate normality of distribution. The paired t
test and One-Way ANOVA (Tukey’s test for post hoc) were used
to compare normally distributed variables between the groups. The results were expressed at a 95% confidence interval, with p
values <0.05 being regarded as statistically significant. Retinal cell layer values before and after
treatment in the study groups
N
i i
ll
i
ifi
i i
b No statistically significant associations were observed
between retinal cell layer measurements and T3 levels among
the different treatment groups (p>0.005). However, T3 levels
differed significantly depending on the type of treatment
(p<0.001). Advanced analysis performed to identify the group in
which this difference appeared revealed significantly higher T3
levels in the levothyroxine group than in the other two groups. Examination of TSH levels in terms of type of treatment revealed
significantly higher values in the levothyroxine + vitamin D
group compared to the levothyroxine only group. Material and methods
Setting and participants One hundred four patients meeting the inclusion
criteria between 01.06.2021 and 01.12.2021 were included
in the study. Patients aged over 18 and meeting the inclusion
criteria, with hypothyroidism and vitamin D deficiency, with no
chronic disease, not receiving Vitamin D therapy, with no retinal
disease, and with no corneal, lens, or vitreous opacity that might
prevent OCT being performed were referred to the eye diseases
clinic once their free T3, free T4, TSH, and vitamin D levels
had been measured and recorded. The patients were divided into
three groups, one receiving levothyroxine alone, one receiving
vitamin D alone, and a third receiving combined levothyroxine
and vitamin D. Routine ophthalmological examinations
and visual acuity evaluations were performed by specialist
ophthalmologists in the eye diseases clinic, and biomicroscopic
examinations were also performed. Retinal images were than
captured in a non-interventional manner using a Spectralis-
OCT (Spectralis OCT, Heidelberg Engineering, Heidelberg,
Germany) device in the eye diseases clinic. Ophthalmological
findings and retinal layer thicknesses calculated from images
obtained using an ACT device were recorded. The three groups
were invited to attend check-ups after three months of treatment. Full participation was achieved, and no patient loss occurred. Retinal layer thicknesses were again recorded using OCT. Right outer retinal cell layer thicknesses in the levothyroxine
group decreased significantly compare to pre-treatment. In the vitamin D group, left inner plexiform layer and
left retinal nerve fiber thicknesses decreased compared to pre-
treatment, while a significant increase was determined in left
inner nuclear cell layer thickness compared to pre-treatment.i Significant increases were determined post-treatment in
terms of right central macular thickness, right nerve fiber layer,
right outer nuclear cell layer, right pigment epithelial layer,
left central macular thickness, and left inner nuclear cell layer
thickness compared to pre-treatment values in patients in the
levothyroxine +vitamin D group, while right outer retinal layer
and left retinal nerve fiber thicknesses decreased (p<0.005)
(Table 2). Introduction genes (Tg and TSHR) [2]. Environmental factors include
smoking, alcohol use, iodine intake through diet, stress,
selenium and Vitamin D deficiency, bacterial and viral
infections, pregnancy, and medications [1,2]. Although
HT is generally asymptomatic, some patients describe
a sensation of heat, tightness, and pain in the neck [3]. Hypothyroidism is present in approximately 20% of
patients at the time of diagnosis [4]. In contrast to other
vitamins, Vitamin D is regarded as a hormone since
it is synthetized in the body. It is known to affect bone The most frequent cause of hypothyroidism, a
disease caused by insufficient synthesis and/or release of
thyroid hormones, is Hashimoto’s thyroiditis (HT). This
was first described in 1912 and is the most frequently
encountered autoimmune thyroiditis in the general
population. The disease emerges through the interaction
of environmental (30%) and genetic (70%) factors [1]. Genetic factors include immune regulator genes, major
histocompatibility genes (HLA), and thyroid-specific Journal of Clinical Medicine of Kazakhstan: 2023 Volume 20, Issue 6 36 Table 1
The participants’ descriptive characteristics
(n=104)
Characteristic
n
%
Sex
Female
Male
71
33
68.3
31.7
Chronic disease
Yes
No
35
69
33.7
66.3
Vitamin D level
Severely low
Moderately low
52
52
50.0
50.2
Group
Levothyroxine
Vitamin D
Levothyroxine+Vitamin D
33
35
36
31.7
33.7
34.6
Age (Mean±SD)
48.46±11.57 (min. 22, max. 73) metabolism and Ca balance in the body. Studies have maintained
that vitamin D can exhibit potentially protective effects in several
human diseases, including various types of cancer, cardiovascular
diseases, kidney and muscle diseases, hypertension, and type 2
diabetes mellitus [5-12]. Vitamin D exhibits neuroprotective and
neuromodulatory effects, and is associated with several diseases
that affect the central nervous system, such as Alzheimer’s
[13].The effects on the retina of vitamin D deficiency and
hypothyroidism have been investigated separately in several
studies [14,15]. However, we encountered no previous studies
evaluating retinal findings with optic coherence tomography
(OCT) in patients with hypothyroidism accompanying vitamin
D deficiency and the relationship between these findings and
vitamin D deficiency. The
purpose
of
this
study
was
to
investigate
ophthalmological examination findings and retinal findings
determined using optical coherence tomography, and the effect
of the addition of vitamin D to hypothyroidism treatment
on retinal cell layers in hypothyroid patients with vitamin D
deficiency detected at the internal medicine clinic. A comparison of the patients’ pre- and post-
treatment Vitamin D levels in the study
groups Post-hoc analysis applied to identify the group from which
the difference derived showed that pre-treatment Vitamin D
levels were significantly higher in the levothyroxine group than
in the other two study groups. However, no significant variation
in post-treatment Vitamin D levels was observed among the
groups.i Journal of Clinical Medicine of Kazakhstan: 2023 Volume 20, Issue 6 The participants’ descriptive characteristics The mean age of the patients in the study was 48.46±11.57
years (min 22, max 73), 68.3% were women, 33.7% had a
chronic disease, and 34.6% used levothyroxine + vitamin D
therapy. Fifty percent of patients had severely low vitamin D
levels (Table 1). g
p
Vitamin D levels increased significantly after treatment
compared to pre-treatment levels in the levothyroxine, Vitamin
D, and levothyroxine+ Vitamin D groups (p<0.001) (Table 4). Journal of Clinical Medicine of Kazakhstan: 2023 Volume 20, Issue 6 The participants’ descriptive characteristics ournal of Clinical Medicine of Kazakhstan: 2023 Volume 20, Issue 6 37 Table 2
Retinal cell layer values before and after treatment in the study groups
Levothyroxine groupa
Mean±SD
Vitamin D groupb
Mean±SD
Levothyroxine+ vitamin D groupc
Mean±SD
p*
Right central macular thickness (Before)
Right central macular thickness (After)
p**
271.51±31.02
273.45±25.84
0,319
266.14±25.91
268.28±22.95
0.106
266.70±26.00
269.03±23.09
0.012
0.382
0.374
Right nerve fiber layers (Before)
Right nerve fiber layers (After)
p**
11.54±3.44
12.18±2.05
0.321
11.80±3.35
12.42±2.67
0.104
11.47±2.76
12.55±2.48
0.029
0.903
0.799
Right ganglion cell layer (Before)
Right ganglion cell layer (After)
p**
14.72±8.04
13.66±3.75
0.497
15.22±9.17
14.37±6.44
0.491
13.33±4.54
13.19±2.61
0.858
0.555
0.552
Right inner plexiform cell layer (Before)
Right inner plexiform cell layer (After)
p**
19.06±6.48
19.12±3.22
0.958
19.85±6.47
20.00±4.70
0.882
17.86±3.97
19.38±3.04
0.071
0.340
0.609
Right inner nuclear cell layer (Before)
Right inner nuclear cell layer (After)
p**
19.66±8.05
19.87±3.45
0.878
19.40±7.47
18.74±4.03
0.586
17.52±5.34
18.44±3.78
0.362
0.383
0.259
Right outer plexiform cell layer (Before)
Right outer plexiform cell layer (After)
p**
26.76±9.24
25.78±3.58
0.546
26.94±6.66
27.42±5.62
0.697
26.19±7.99
26.05±5.20
0.919
0.919
0.333
Right outer nuclear cell layer (Before)
Right outer nuclear cell layer (After)
p**
87.87±11.71
93.06±8.03
0.019
86.74±13.71
89.28±9.90
0.205
87.16±13.53
91.61±8.72
0.040
0.937
0.217
Right pigment epithelial layer (Before) Right
pigment epithelial layer (After)
p**
16.60±4.28
16.66±1.45
0.941
15.54±2.63
16.31±1.45
0.086
15.27±1.56
16.22±1.74
0.011
0.161
0.466
Right inner retinal layer (Before)
Right inner retinal layer (After)
p**
182.72±33.92
181.36±13.91
0.830
179.42±29.02
178.31±19.30
0.794
175.25±21.19
181.19±14.22
0.100
0.549
0.673
Right outer retinal layer (Before)
Right outer retinal layer (After)
p**
87.72±4.77
85.30±4.23
0.041
85.94±4.69
85.40±3.92
0.592
86.69±3.83
85.05±4.30
0.042
0.257
0.937
Right retinal nerve fiber thickness (Before)
Right retinal nerve fiber thickness (After)
p**
99.06±11.56
100.96±10.61
0.261
101.54±7.64
99.40±6.48
0.061
98.94±9.17
97.44±8.52
0.248
0.442
0.243
Left central macular thickness (Before)
Left central macular thickness (After)
p**
269.87±28.45
273.60±10.70
0.463
263.65±19.83
269.71±16.14
0.052
261.58±17.13
269.72±12.80
0.020
0.279
0.394
Left nerve fiber layer (Before)
Left nerve fiber layer (After)
p**
13.15±7.83
12.09±1.89
0.469
11.68±2.17
11.77±2.17
0.812
12.16±2.22
11.50±2.14
0.319
0.406
0.501
Left ganglion cell layer (Before)
Left ganglion cell layer (After)
p**
13.66±4.78
12.63±1.98
0.249
12.91±3.39
13.08±2.79
0.726
13.18±3.75
12.55±3.29
0.499
0.721
0.688
Left inner plexiform layer (Before)
Left inner plexiform layer (After)
p**
19.60±6.87
17.48±2.20
0.106
18.80±3.23
17.82±2.99
0.040
18.00±3.65
17.36±2.88
0.363
0.386
0.759
Left inner nuclear cell layer (Before)
Left inner nuclear cell layer (After)
p**
19.78±7.18
21.24±4.23
0.305
17.40±4.62
20.34±4.53
0.001
18.33±5.67
21.61±4.53
0.009
0.249
0.470
Left outer plexiform cell layer (Before)
Left outer plexiform cell layer (After)
p**
27.51±8.41
27.12±3.58
0.801
26.14±6.24
27.20±3.76
0.275
26.77±6.69
26.16±4.74
0.679
0.732
0.497
Left outer nuclear cell layer (Before)
Left outer nuclear cell layer (After)
p**
89.00±12.30
92.87±10.91
0.136
91.20±11.07
92.28±11.26
0.646
85.72±11.39
93.02±11.52
0.001
0.139
0.958
Left pigment epithelial layer (Before)
Left pigment epithelial layer (After)
p**
16.96±6.89
15.30±2.44
0.218
16.34±5.15
15.48±2.20
0.337
15.52±1.64
15.41±2.23
0.818
0.487
0.947
Left inner retinal layer (Before)
Left inner retinal layer (After)
p**
181.45±27.46
182.42±15.67
0.842
176.91±20.14
180.68±15.67
0.233
174.11±17.49
179.63±13.77
0.081
0.380
0.703
Left outer retinal layer (Before)
Left outer retinal layer (After)
p**
86.51±7.50
84.63±4.32
0.247
86.31±4.95
85.31±5.20
0.364
85.83±3.68
85.63±4.03
0.817
0.870
0.651
Left retinal nerve fiber thickness (Before)
Left retinal nerve fiber thickness (After)
p**
96.12±14.08
95.15±9.41
0.647
100.14±8.02
96.31±7.05
0.007
97.02±10.87
93.63±9.12
0.025
0.299
0.423
T3
3.86±0.87
3.12±0.55
3.16±0.77
<0.001
a>b, a>c
T4
10.75±3.16
9.85±1.84
9.57±2.00
0.112
TSH
7.86±3.89
10.97±5.94
11.58±6.39
0.015
c>a
* One way ANOVA ** paired t test Retinal cell layer values before and after treatment in the study groups 38 Table 3
Table 4
A comparison of the patients’ pre- and post-
treatment Vitamin D levels
A comparison of the patients’ pre- and post-
treatment Vitamin D levels in the study groups
* One-way ANOVA, ** paired t test
Vitamin D
Mean±SD
p
Pre-treatment
13.92±5.84 (min.0, max.24)
<0.001
Post-treatment
(3-months)
29.89±8.79 (min.13, max.88
Levothyroxine
groupa
Vitamin D
groupb
Levothyroxine+
Vitamin D groupc
p
Pre-
treatment
20.27±2.62
11.25±4.88
10.71±3.90
<0.001*
a>b, a>c
Post-
treatment
30.08±5.42
28.94±11.80
30.65±7.98
0.713*
P
<0.001**
<0.001**
<0.001** Statistically significant post-treatment increases in right
central macular thickness, right nerve fiber layer, right outer nuclear
cell layer, right pigment epithelial layer, left central macular, and
left inner nuclear cell thicknesses compared to pre-treatment were
observed in the group receiving levothyroxine + vitamin D. Conclusioni The findings of this study suggest that changes occur in
the retinal cell layers of hypothyroid patients. This research
investigated the development of hypothyroidism, a condition mostly
of autoimmune origin, as a result of vitamin D deficiency deriving
from environmental factors and the relationship between vitamin
D deficiency and retinal cell damage. The increase in the thickness
in some retinal cell layers in the group receiving vitamin D therapy
only was found to be statistically significant. However, an increase
in thickness was observed in more cell layers in the group using
vitamin D and levothyroxine in combination. This suggests that
vitamin D levels should be measured in hypothyroid patients, and that
appropriate doses and lengths of treatment should be administered in
cases in which these levels are low. The number of studies on this
subject is limited. However, we think that more significant results can
be obtained with longer follow-up and treatment and larger sample
numbers in the future. Right outer retinal layer thicknesses in this study decreased
significantly in the patients in the levothyroxine group compared to
pre-treatment. Ozturk et al. examined the OCT findings of patients
with primary hypothyroidism at one, three, and six months and
reported no significant change in the thickness of the retinal nerve
fiber layer after treatment compared to pre-treatment [19]. Yu et al. compared patients with thyroid-related ophthalmopathy and healthy
volunteers and determined a thinner retinal nerve fiber layer in the
ophthalmopathy group [20]. The thicknesses of the left inner plexiform layer and left retinal
nerve fibers in this study decreased in the vitamin D group compared
to pre-treatment, while left inner nuclear cell layer thickness
increased significantly compared to pre-treatment. Fjeldstad et al. also
determined no association between decreased retinal nerve fiber layer
thickness or macular volume and Vitamin D deficiency in multiple
sclerosis patients with no findings of optic neuritis [21]. These findings
may be due to sampling differences. Research limitations: One particular limitation of the study is
that it was conducted in a single center. Epidemiological studies recently showed an association
between low 25-hydroxyvitamin D (25-OH-D) concentrations and
impairment of visual acuity [22]. A positive association has also
been reported between Vitamin D deficiency and age-related macular
dysfunction [23-26]. Ethics approval and consent to participate: Kirklareli
University Health Sciences Institute Ethical Committee, Turkey, in
March 2021 (no. E-69456409-199-7279). Disclosures: There is no conflict of interest for all authors. The participants’ descriptive characteristics However,
no significant increase was observed in the cell layers in the group
receiving levothyroxine only. Link et al. examined the OCT retinal
findings and visual acuity of a patient with vitamin D, vitamin A,
and vitamin B6 deficiency before and after treatment and determined
severe pre-treatment thinning in the inner plexiform layer and the
ganglion cell layer, and vision impairment. However, an improvement
in vision and increased thickness in the cell layers were determined
after treatment [28].i Table 4
A comparison of the patients’ pre- and post-
treatment Vitamin D levels in the study groups
* One-way ANOVA, ** paired t test
Levothyroxine
groupa
Vitamin D
groupb
Levothyroxine+
Vitamin D groupc
p
Pre-
treatment
20.27±2.62
11.25±4.88
10.71±3.90
<0.001*
a>b, a>c
Post-
treatment
30.08±5.42
28.94±11.80
30.65±7.98
0.713*
P
<0.001**
<0.001**
<0.001** Left inner nuclear cell layer thickness increased significantly in
the present study in the group receiving vitamin D only. Another study
involving a quantitative evaluation of retinal structure parameters in
children with vitamin D deficiency compared retinal nerve fiber layer,
central macula, retinal layer, and choroid thicknesses and structural
retinal parameters including the central retinal artery and central retinal
vein between the vitamin D deficiency group and healthy volunteers. The findings revealed choroidal thinning, a decreased central retinal
artery diameter, and an increased central retinal vein diameter in the
vitamin D deficiency group [29]. Discussion One of the environmental factors involved in the etiology of
hypothyroidism is vitamin D deficiency [2]. Vitamin D has been shown
to suppress the inflammatory cascade in the region between the retinal
pigment epithelium and the choroid and to protect the retinal cells
against inflammatory injury [16]. Decreased central retinal thickness
measured using OCT in individuals with no disease has been found
in subjects with vitamin D deficiency. In addition, an association has
been found between vitamin D deficiency and decreased vision [17]. The findings of the present study suggest that vitamin D deficiency
can give rise to thinning in specific retinal cell layers in hypothyroid
patients. However, a significant increase was observed after treatment,
particularly in the group receiving combined levothyroxine and
vitamin D. Robredo et al. investigated the effect of vitamin D against
oxidative stress and inflammation in retinal pigment epithelium
and retinal endothelial cell series and determined a decrease in
proinflammatory cytokine and interleukin levels with the addition of
vitamin D to treatment. This also suggests that Vitamin D exhibits
anti-inflammatory effects [30]. In another study, Ekinci et al. showed
that vitamin D3 [1.25 (OH) 2] exhibited an ameliorating effect against
oxidative damage in retinal cell layers. At the same time, those authors
reported that vitamin D represented an effective therapeutic alternative
in the prevention of age-related macular degeneration [31]. All members of the patient group in this study were hypothyroid,
and thinning was determined in specific layers at initial examination. TSH levels were higher in the group using levothyroxine+vitamin. Ulas et al. compared the blood values and OCT findings of patients
with chorioretinitis and a control group and determined high TSH
values and a thinner choroid and retinal cell layer at OCT in the
group with chorioretinitis. They therefore concluded that that thinning
occurs in the cell layer in individuals with hypothyroidism [18]. Disclosures: There is no conflict of interest for all authors. Journal of Clinical Medicine of Kazakhstan: 2023 Volume 20, Issue 6 References 1. Chistiakov DA. Immunogenetics of Hashimoto thyroiditis. J Autoimmune Dis. 2005;2:1. https://doi.org/10.1186/1740-2557-2-1 1. Chistiakov DA. Immunogenetics of Hashimoto thyroiditis. J Autoimmune Dis. 2005;2:1. https://doi.org/10.1 2. Wiersinga WM. Clinical Relevance of Environmental Factors in the Pathogenesis of Autoimmune Thyroid
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12. Hill TR, Aspray TJ. The role of vitamin d in maintaining bone health in older people. References Ther Adv Musculoskelet Dis. 2017;9: 89-95. https://doi org/10 1177/1759720X17692502 12. Hill TR, Aspray TJ. The role of vitamin d in maintaining bone health in older people. Ther Adv Musculoske
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org/10.31348/2021/31 ak S. Vitamin D and ophthalmopathias. A review. Cesk Slov Oftalmol. 2022;78(4):153-156. https://doi. 21/31 15. Azimi A, Bonakdaran S, Heravian J, Layegh P, Yazdani N, Alborzi M. Pattern visual evoked potential in hypothyroid patients. Doc
Ophthalmol. 2019;138(2):77-84. https://doi.org/10.1007/s10633-019-09670-1l p
( )
p
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16. Lee V, Rekhi E, Hoh Kam J, Jeffery G. Vitamin D rejuvenates aging eyes by reducing inflammation, clearing amyloid beta and
improving visual function. Neurobiol Aging. 2012;33(10):2382-9. https://doi.org/10.1016/j.neurobiolaging.2011.12.002 p
g
g g
(
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g g
17. Graffe A, Beauchet O, Fantino B, Milea D, Annweiler C. Vitamin D and macular thickness in the elderly: an optical coherence
tomography study. Invest Ophthalmol Vis Sci. 2014;55(8):5298-303. https://doi.org/10.1167/iovs.14-13918 17. Graffe A, Beauchet O, Fantino B, Milea D, Annweiler C. Vitamin D and macular thickness in the elderly
tomography study. Invest Ophthalmol Vis Sci. 2014;55(8):5298-303. https://doi.org/10.1167/iovs.14-13918 17. Graffe A, Beauchet O, Fantino B, Milea D, Annweiler C. Vitamin D and macular thickness in the elderly: an optical coherence
tomography study. Invest Ophthalmol Vis Sci. 2014;55(8):5298-303. https://doi.org/10.1167/iovs.14-13918 ,
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mography study. Invest Ophthalmol Vis Sci. 2014;55(8):5298-303. https://doi.org/10.1167/iovs.14-13918 18. Ulas F, Uyar E, Tekce H, Celebi S. Can Hypothyroidism Cause Acute Central Serous Chorioretinopathy? Semin Ophthalmol. 2019;34(7-8):533540. https://doi.org/10.1080/08820538.2019.1684524 moglu H, Dikbas O, Pekel H, Gonen MS. Ocular changes in primary hypothyroidism. BMC Res Notes. 2009;2:66. .1186/1756-0500-2-266 19. Ozturk BT, Kerimoglu H, Dikbas O, Pekel H, Gonen MS. Ocular changes in primary hypothyroidism. BMC
https://doi.org/10.1186/1756-0500-2-266 p
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20. Yu L, Jiao Q, Cheng Y, Zhu Y, Lin Z, Shen X. Evaluation of retinal and choroidal variations in thyroid-associated ophthalmopathy
using optical coherence tomography angiography. BMC Ophthalmol. 2020;20(1):421. https://doi.org/10.1186/s12886-020-01692-7i 21. Fjeldstad C, Fjeldstad AS, Weir JP, Pardo G . Association of vitamin D deficiency with RNFL thickness in MS individuals without
history of optic neuritis. Mult Scler Relat Disord. 2014;3(4):489-93. https://doi.org/10.1016/j.msard.2014.03.001 22. Beauchet O, Milea D, Graffe A, Fantino B, Annweiler C. Conclusioni Ozturk and Cankaya (2020) compared a group with vitamin D
deficiency and a group with normal vitamin D levels and observed
that deficiency produced adverse effects on contrast sensitivity
function and also a difference in thickness in some segments of the
retinal layers [27]. Acknowledgements: None. Funding: None. Journal of Clinical Medicine of Kazakhstan: 2023 Volume 20, Issue 6 39 References Association between serum 25-hydroxyvitamin D concentrations and
vision: a cross-sectional population-based study of older adults. J Am Geriatr Soc. 2011;59:568-570. https://doi.org/10.1111/j.1532-
5415.2010.03299.x 23. Parekh N, Chappell RJ, Millen AE, Albert DM, Mares JA. Association between vitamin D and age-related macular degeneration in
the Third National Health and Nutrition Examination Survey, 1988 through 1994. Arch Ophthalmol. 2007;125:661-669. https://doi. org/10.1001/archopht.125.5.661 g
p
24. Millen AE, Voland R, Sondel SA. Vitamin D status and early age-related macular degeneration in postmenopausal women. Arch
Ophthalmol. 2011;129: 481-489. https://doi.org/10.1001/archophthalmol.2011.48 25. Morrison MA, Silveira AC, Huynh N. Systems biology-based analysis implicates a novel role for vitamin D metabolism in the
pathogenesis of age-related macular degeneration. Hum Genomics. 2011;5: 538-568. https://doi.org/10.1186/1479-7364-5-6-538 25. Morrison MA, Silveira AC, Huynh N. Systems biology-based analysis implicates a novel role for vitamin D metabolism in the
pathogenesis of age-related macular degeneration. Hum Genomics. 2011;5: 538-568. https://doi.org/10.1186/1479-7364-5-6-538
26. Graffe A, Milea D, Annweiler C. Association between hypovitaminosis D and late stages of age-related macular degeneration: a case-
l
d
A
G i
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2012 60 136
1369 h
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/10 1111/j 1 32
41 2012 0401 pathogenesis of age-related macular degeneration. Hum Genomics. 2011;5: 538-568. https://doi.org/10.1186/1479-7364-5-6-538
26. Graffe A, Milea D, Annweiler C. Association between hypovitaminosis D and late stages of age-related macular degeneration: a case-
control study. J Am Geriatr Soc. 2012;60:1367-1369. https://doi.org/10.1111/j.1532-5415.2012.04015.x 26. Graffe A, Milea D, Annweiler C. Association between hypovitaminosis D and late stages of age-related macular degeneration: a case-
control study. J Am Geriatr Soc. 2012;60:1367-1369. https://doi.org/10.1111/j.1532-5415.2012.04015.xi 27. Ozturk E, Cankaya C. Effect of Vitamin D Deficiency on Contrast Sensitivity Function. Curr Eye Res. 2020;45(12):1619-1624. https://doi.org/10.1080/02713683.2020.1781194i 28. Link YH, Mirabelli P, Lindehammar H, Link H. Retinal changes associated with multivitamin deficiency before and after
supplementation. Acta Neurol Scand. 2021;144(2):209-215. https://doi.org/10.1111/ane.13438 29. Aydemir E, Ilhan C, Aydemir GA, Bayat AH, Bolu S, Asik A. Evaluation of Retinal Structure in Pediatric Su
Deficiency. Am J Ophthalmol. 2022;233:30-37. https://doi.org/10.1016/j.ajo.2021.06.031 30. Robredo PF, Zamora JG, Recalde S, Malave VB, Bezunartea J, Hernandez M, et al. Vitamin D Protects against Oxidative Stress and
Inflammation in Human Retinal Cells. Antioxidants (Basel). 2020;9(9):838. https://doi.org/10.3390/antiox9090838 31. Ekinci C, Guler EM, Kocyigit A, Kirik F, Ozdemir H. Effects of 1,25 Dihydroxyvitamin D 3 on Human Retinal Pigment Epithelial
Cell Lines. Int Ophtalmo. 2021;41(10):3333-3340. https://doi.org/10.1007/s10792-021-01895-x Journal of Clinical Medicine of Kazakhstan: 2023 Volume 20, Issue 6 Journal of Clinical Medicine of Kazakhstan: 2023 Volume 20, Issue 40
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Creep and permeability evolution behavior of red sandstone containing a single fissure under a confining pressure of 30 MPa
|
Scientific reports
| 2,020
|
cc-by
| 10,469
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Creep and permeability evolution
behavior of red sandstone
containing a single fissure under a
confining pressure of 30 MPa Sheng-Qi Yang * & Bo Hu Sheng-Qi Yang The long-term deformation and permeability evolution with time are key issues for geo-engineering
applications such as radioactive waste disposal. Rock permeability concurrent with deformation is
significantly influenced by cracking. This study investigated the creep-permeability evolution behavior
of red sandstone specimens containing a single fissure under a confining pressure of 30 MPa. First, the
effects of stress ratio (SR) and fissure dip angle on the creep behavior of rock were investigated. The
more loading/unloading cyclic numbers, the larger the irrecoverable axial deformation. The instant
elastic strains and visco-elastic strains linearly increased with SR for both the intact and fissured
specimens, whereas the instant plastic strains showed different results. The visco-plastic strains
nonlinearly increased. For fissured and intact specimens, the creep strains and the steady-state creep
rates nonlinearly increased as SR increased. The instantaneous strains, instant elastic strains, and
visco-elastic strains slightly varied when the fissure dip angle was less than 45° but notably decreased
with increasing fissure dip angle beyond 45°. However, the fissure dip angle had no obvious effects on
the plastic and creep strains. Damage (D) was defined using the ratio of non-elastic strains to the total
strain. D increased approximately linearly with SR, but the fissure dip angle had no obvious influences. Subsequently, the long-term strength (LTS) of the red sandstone was determined using two different
methods. The LTS first decreased when the fissure dip angle increased from 0 to 45° but increased with
increasing dip angle. The triaxial and creep failure modes were mainly shear along anti-wing cracks for
the fissured specimens but shear failure occurred for the intact specimen. Moreover, the permeability of
the fissured red sandstone was governed by SR and deformation or time. During the multi-step loading/
unloading creep process, the permeability first decreased and then had a sudden rise when tertiary
creep occurred. Discontinuities (joints, fractures, cracks, and faults) widely exist in rock masses, which cause many difficulties
for stability design in rock engineering. The discontinuities not only reduce the strength but also increase the
deformation of the rock mass. Stress concentration in some regions occurs, helping the initiation of new disconti-
nuities1–4. Therefore, it is challenging to predict the mechanical properties and failure patterns of the rock masses. Engineers and scientists are interested in the mechanical behavior of jointed rock mass5,6. www.nature.com/scientificreports www.nature.com/scientificreports www.nature.com/scientificreports Fissured Rock Material and Testing Method
Preparation of single-fissured red sandstone.
R Preparation of single-fissured red sandstone. Rock specimens of—red sandstone were collected from
Rizhao City in Shandong Province, China. It has a classic and blocky structure as shown in Fig. 1a. Its dry density
is 2402 kg/m3, and effective porosity is ~6.26–6.55%37. The mineral mainly comprises quartz and feldspar calcite,
dolomite, hematite and clay minerals38. Cuboid blocked rock was first cut, and then the pre-existing fissures
were produced using high-speed water jet technology to obtain fissured rock specimens with different fissure dip
angles. Finally, cylindrical red sandstones with different fissure inclinations were drilled and polished. The height
of the cylindrical fissured red sandstone was 50 × 100 mm and the length (2a) and width (2d) of the fissure were
12 and 2 mm, respectively. The dip angles of the fissure were from 0 to 90° (interval 15° and α is the dip between
fissure and horizontal axial), as shown in Fig. 1b. The cylindrical red sandstones containing a single pre-existing
fissure with different dip angles and intact specimen are presented in Fig. 1. Testing method. To investigate the influence of fissure dip angle on the creep mechanical behavior of red
sandstone under high confining pressure and to study its gas permeability evolution during the creep deforma-
tion process, the triaxial compressive strength needs to be first determined before creep experiments. Specifically,
traditional triaxial compressive tests under a confining pressure of 30 MPa on single-fissured red sandstones and
the intact specimen were performed using a triaxial rock apparatus, as shown in Fig. 2 14. First, the specimens
were subjected to a hydrostatic pressure of 30 MPa at a rate of 5 MPa/min. Then, the specimens were subjected to
axial loading at a rate of 0.02 mm/min until failure. Finally, the triaxial compressive strength (TCS) was obtained. Creep stress levels were set according to the TCS.h p
g
The multi-step loading-unloading method was used during creep experiments to study the elastic-visco-plastic
creep deformations of the specimens. During creep loading and unloading stages, the loading rate and unloading rate
were 6 MPa/min. Each loading stress steps lasted two days until accelerating creep occurred and the unloading stress
steps (visco-elastic recovery) were only performed for a day. The axial and lateral displacements were recorded using
two parallel linear variable differential transformers (LVDTs) in axial dimension and a circumferential displacement
transducer, respectively. www.nature.com/scientificreports/ which can lead to fatigue at cracks tips21,22. Brittle creep occurs under static fatigue conditions when the fracture
toughness exceeds the stress intensity factor at crack tips23,24. Some researchers have concluded that the main
mechanism of creeping in the rock is time-dependent cracking25–27. Kaiser and Morgenstern28 found that the
visco-plasticity was apparent when the stress reached near the peak strength based on the time-dependent defor-
mations of jointed coal. Hao et al.29 reported the results of brittle creep-relaxation experiments of rock, which
may increase the understanding of the relationship between stress relaxation and time-to-failure and predict the
time-dependent rupture and energetic release during the relaxation phase. Patton and Fletcher30 theoretically
studied the time-dependent closure of a fracture with a rough surface under normal stress compression, and then,
the constitutive equations were used to verify the response on two types of fractured layers. Fabre and Pellet31 pre-
sented the experimental results of argillaceous rocks with various fabric plane inclinations under different loading
conditions and reported their time-dependent deformations. The microstructural analysis highlighted the gran-
ular creep. Zhao et al.32 compared the creep behaviors of intact and cracked limestones by a series of multi-step
loading and unloading creep tests. However, most studies focused on the micro-flaws or subcritical cracks.hh g
g
pl
There have been reports on the creep behaviors of rock containing macro-cracks. The long-term strength
(LTS) of jointed rock mass is also an essential parameter for stability evaluation. The time-dependent deformation
of jointed rock mass plays a critical role in evaluating the long-term stability of rock mass engineering. Chen et
al.33 proposed a damaged coupled visco-elastic-plastic model to simulate the time-dependent deformation of rock
mass in the Shanxi YRDP project. A micromechanics-based model was developed to predict the creep deforma-
tion of hard rock and assess the long-term stability of the excavations34. Nara et al.35 obtained the crack velocity
in andesite and high-strength and ultra-low permeability concrete in water and air environments. They estimated
the LTS of the specimens, which provides a vital reference for assessing the long-term stability of the underground
repository. Chandler36 determined the LTS of crystalline rocks, which was the stress corresponding to the reversal
point at the volume strain curve. www.nature.com/scientificreports/ Generally, the LTS was less than the peak stress.fi However, to date, the effects of macro fissure inclination angle on the long-term deformation and failure
behavior of real hard rock contacting pre-existing fissure and its long-term permeability evolution during the
creep process have not been extensively investigated. Therefore, to better understand the effects of a macro fis-
sure on the elastic-viscoplastic deformation and LTS, a series of cyclic loading and unloading creep tests and
gas permeability measurement of the intact and fissured rock containing a fissure with different inclinations are
presented. Then, a new method will be presented to estimate the LTS of red sandstone. Creep and permeability evolution
behavior of red sandstone
containing a single fissure under a
confining pressure of 30 MPa However, it is hard to
perform in-situ experiments, so various scholars have investigated the failure mechanisms of rock specimens or
rock-like materials containing pre-existing flaws at indoor laboratories. Generally speaking, two main research
areas focus on crack initiation patterns and on cracking modes under uniaxial compression and triaxial compres-
sion4,7–12. Previous investigations have promoted our understanding of crack initiation and coalescence processes
for jointed rock masses under short-term loading. The results showed that wing cracks and secondary cracks are
typical failure modes, although there were different failure patterns13. yp
gf
p
In practice, long-term stability and support design of deep underground engineering should consider
the creep mechanical behaviors of rock masses14–19. It is necessary to investigate the time-based deformation
behavior and crack propagation of jointed rocks. Subcritical crack growth was one of the main reasons for the
time-dependent behavior of brittle rock20. Laboratory tests have shown the effect of stress on induced anisotropy, tate Key Laboratory for Geomechanics and Deep Underground Engineering, School of Mechanics and Civi
ngineering, China University of Mining and Technology, Xuzhou, 221116, P.R. China. *email: yangsqi@hotmail.com Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 www.nature.com/scientificreports/ Fissured Rock Material and Testing Method
Preparation of single-fissured red sandstone.
R Nitrogen was used as a flow medium and the steady-state method was used to measure the
gas permeability of the single-fissured rock during creep loading and unloading stages. The injected gas pressure was
3 MPa, and that of the outlet gas was 0.1 MPa. The permeability can be calculated using Eq. (1)39. The physical param-
eters of the specimens and experimental designs are presented in Tables 1 and 2. μ
=
−
·
·
·
·
k
Q
L
p
A
p
p
2
(
)
(1)
d
u
d
2
2 (1) where Q represents gas flow velocity (m3/s); L and A represent the length (m) and the cross-sectional area (m2)
of the rock specimen, respectively; μ is the viscosity of nitrogen (Pa·s); and Pu and Pd represent the upstream and
downstream gas pressure (MPa), respectively. where Q represents gas flow velocity (m3/s); L and A represent the length (m) and the cross-sectional area (m2)
of the rock specimen, respectively; μ is the viscosity of nitrogen (Pa·s); and Pu and Pd represent the upstream and
downstream gas pressure (MPa), respectively. Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 www.nature.com/scientificreports/ Figure 1. Tested red sandstone and geometry of pre-existing fissure. Figure 1. Tested red sandstone and geometry of pre-existing fissure. Figure 1. Tested red sandstone and geometry of pre-existing fissure. Figure 2. Rock triaxial rheological testing device14. Figure 2. Rock triaxial rheological testing device14. Creep Behavior of Red Sandstone Containing a Single Fissuref Creep Behavior of Red Sandstone Containing a Single Fissure
Under compression, the rock specimen deforms gradually and different types of deformation compose the total
deformation. When a constant loading is applied to the specimen, instant elastic and plastic deformation occurs,
and visco-elastic and visco-plastic deformation occur with increasing time. When the loading is removed, the
instant elastic deformation will be recovered soon and the visco-elastic deformation will recover gradually. The
instant plastic and visco-plastic deformation cannot recover. Therefore, the elastic, viscous, and plastic defor-
mations of the fissured rocks can be separated using the multi-step loading and unloading method. The creep
loading-unloading path and an example of strain separation are plotted in Fig. 3. Finally, the influences of stress
ratio (SR) and dip angle on the elastic-visco-plastic deformations of the single-fissured red sandstones can be
quantitatively analyzed. The deviatoric stress-strain curves of the intact specimen and the fissured specimen are
presented in Fig. 4 and Appendix 1. Fissured Rock Material and Testing Method
Preparation of single-fissured red sandstone.
R The relationship between fissure angle and peak stress is presented in Fig. 5. Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 www.nature.com/scientificreports/ Specimen
α/°
L/mm
D/
mm
M/g
ρ/kg/m3
σ3/
MPa
σP/
MPa
TCS/
MPa
Testing design
EW-1#
Intact
99.40
49.99
471.20
2415.25
30
271.82
301.82
Triaxial compression
ES-0-1#
0
100.50
49.99
478.10
2423.79
30
163.85
193.85
Triaxial compression
ES-15-1#
15
101.20
49.99
482.70
2430.19
30
159.75
189.75
Triaxial compression
ES-30-1#
30
99.60
49.99
472.90
2419.10
30
157.70
187.70
Triaxial compression
ES-45-1#
45
100.70
49.99
480.70
2432.14
30
168.16
198.16
Triaxial compression
ES-60-1#
60
99.50
49.99
475.10
2432.79
30
169.15
199.15
Triaxial compression
ES-75-1#
75
100.90
49.99
478.50
2416.21
30
178.30
208.30
Triaxial compression
ES-90-1#
90
99.90
49.99
468.40
2388.89
30
203.02
233.02
Triaxial compression
EW-10#
Intact
100.70
49.99
480.7
2432.14
30
—
Creep compression
ES-0-2#
0
101.40
49.99
485.80
2440.98
30
—
Creep compression
ES-15-2#
15
102.00
49.99
482.70
2414.63
30
—
Creep compression
ES-30-2#
30
100.20
49.99
474.70
2413.77
30
—
Creep compression
ES-45-6#
45
100.20
49.99
482.50
2453.43
30
—
Creep compression
ES-60-2#
60
99.50
49.99
477.50
2445.09
30
—
Creep compression
ES-75-2#
75
100.40
49.99
479.50
2433.32
30
—
Creep compression
ES-90-2#
90
100.00
49.99
478.60
2438.47
30
—
Creep compression
Table 1. Basic parameters of the tested red sandstone specimens in this research. Note: α: fissure dip angle; L:
length; D: diameter; M: mass; ρ: density; σ3: confining pressure; σp: peak deviatoric stress; TCS = σ3 + σp. Table 1. Basic parameters of the tested red sandstone specimens in this research. Note: α: fissure dip angle; L
length; D: diameter; M: mass; ρ: density; σ3: confining pressure; σp: peak deviatoric stress; TCS = σ3 + σp. Table 1. Basic parameters of the tested red sandstone specimens in this research. Note: α: fissure dip angle; L:
length; D: diameter; M: mass; ρ: density; σ3: confining pressure; σp: peak deviatoric stress; TCS = σ3 + σp. Specimen
α/°
σ3/MPa
S1
S2
S3
S4
S5
S6
EW-10#
Intact
30
180
205
220
240
260
274*
ES-0-2#
0
30
100
115
130
145
154.47*
ES-15-2#
15
30
100
115
130
145*
ES-30-2#
30
30
100
115
130
145*
ES-45-6#
45
30
100
115
130
145*
ES-60-2#
60
30
100
115
130
145
150.41*
ES-75-2#
75
30
115
130
145
160
170
177.94*
ES-90-2#
90
30
130
145
160
175
193.07*
Table 2. Fissured Rock Material and Testing Method
Preparation of single-fissured red sandstone.
R Applied deviatoric stress levels in creep tests (σ3 = 30 MPa). Note: *Represents the final failed stress. All the figure legends: Table 2. Applied deviatoric stress levels in creep tests (σ3 = 30 MPa). Note: *Represents the final failed stress. All the figure legends Table 2. Applied deviatoric stress levels in creep tests (σ3 = 30 MPa). Note: *Represents the final failed stress. All the figure legends: Table 2. Applied deviatoric stress levels in creep tests (σ3 = 30 MPa). Note: *Represents the final failed st
All the figure legends: Figure 3. Loading procedure and a strain separation case (Fissured sandstone with 45° dip angle). Note: εm:
instantaneous strain; εme: instantaneous elastic strain; εmp: instantaneous plastic strain; εc: creep strain; εcve:
visco-elastic strain; εcvp: visco-plastic strain. Figure 3. Loading procedure and a strain separation case (Fissured sandstone with 45° dip angle). Note: εm:
instantaneous strain; εme: instantaneous elastic strain; εmp: instantaneous plastic strain; εc: creep strain; εcve:
visco-elastic strain; εcvp: visco-plastic strain. Figure 3. Loading procedure and a strain separation case (Fissured sandstone with 45° dip angle). Note: εm:
instantaneous strain; εme: instantaneous elastic strain; εmp: instantaneous plastic strain; εc: creep strain; εcve:
visco-elastic strain; εcvp: visco-plastic strain. The peak stress of the intact specimen was nearly 1.3 times that of the 90° specimen, which can be subjected to
more loading.hii The peak stress of the intact specimen was nearly 1.3 times that of the 90° specimen, which can be subjected to
more loading.hii The creep deformations of the intact and fissured rocks with various fissure dip angles under multi-step
loading-unloading conditions are plotted in Fig. 6 and Appendix 2. Notably, the creep rate means that the strain
rate evolves as time increases under constant loading during the total creep stage. The steady state denotes that
the creep rate was almost constant or the creep rate increased approximately linearly during the creeping stage. It Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 www.nature.com/scientificreports/ Figure 4. Typical short-term triaxial stress-strain curves of red sandstone (intact specimen, fissured specimens
for α = 15°, 45°, and 75°). Note: the platforms on the creep curves mean creep deformations under constant
stress levels. Figure 4. Typical short-term triaxial stress-strain curves of red sandstone (intact specimen, fissured specimens
for α = 15°, 45°, and 75°). Note: the platforms on the creep curves mean creep deformations under constant
stress levels. Figure 5. Fissured Rock Material and Testing Method
Preparation of single-fissured red sandstone.
R Relationship between fissure angle and peak stress. Figure 5. Relationship between fissure angle and peak stress. Figure 5. Relationship between fissure angle and peak stress. is clear that the axial deformation increased with increasing axial deviatoric stress and creep time under constant
stresses. The irrecoverable axial deformation increased with the cyclic numbers of loading and unloading. Under
relative low-stress ratios, the axial deformations mainly contained decelerating and steady-state creep deforma-
tions, whereas primary, secondary, and tertiary creep occurred under creep failure stress levels. Under unloading
conditions (the deviatoric stress was 0 MPa), elastic-viscosity recoverable deformations were produced during
this stage. For specimens with fissure dip angles of 0, 15, 30 and 75°, accelerating creep occurred in a very short
time. The elastic, viscous, and plastic deformations of those specimens will be detailed in the following sections. Instantaneous elastic and plastic deformations. Here, the ratio of creep deviatoric stress to peak
deviatoric stress is termed as SR. The relationships between SR and instantaneous elastic of the intact and the
single-fissured red sandstones with various dip angles are presented in Fig. 7. It can be seen that the instantaneous Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 www.nature.com/scientificreports/ www.nature.com/scientificreports
tificreports/
Figure 6. Typical axial strain, permeability vs. time curves of red sandstone (intact specimen, fissured
specimens for α = 15°, 45°, and 75°). Figure 7. Relationships between stress ratio and instantaneous elastic and plastic strains of intact and fissured
red sandstone. Figure 6. Typical axial strain, permeability vs. time curves of red sandstone (intact specimen, fissured
specimens for α = 15°, 45°, and 75°). Figure 6. Typical axial strain, permeability vs. time curves of red sandstone (intact specimen, fissured
specimens for α = 15°, 45°, and 75°). Figure 7. Relationships between stress ratio and instantaneous elastic and plastic strains of intact and fissured
red sandstone. Figure 7. Relationships between stress ratio and instantaneous elastic and plastic strains of intact and fissured
red sandstone. elastic strains of the specimens were linearly corrected to the stress ratio when SR varied from approximately 0.6
to 0.95, as shown in Fig. 7a. Two linear equations can describe the correlations between instantaneous elastic
strain and SR of the intact and fissured specimens. Although the SRs applied on the intact specimen were similar
to those of the fissured specimens, the former had relatively larger instantaneous elastic strain than the latter. Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 Fissured Rock Material and Testing Method
Preparation of single-fissured red sandstone.
R The
relationships between SR and the instant plastic strain of the fissured sandstones are different (Fig. 7b). For the
intact specimen and the fissured specimens with 45°, 75°, and 90° dip angles, the instant plastic strains increased
approximately linearly as SR increased. However, for the other specimens, similar results were observed under
low SRs, whereas instant plastic strain decreased under high SR. Visco-elastic and visco-plastic deformations. Both visco-elastic and visco-plastic deformations of
rock are important parts of the long-term time-dependent deformation of rock, which quantitatively reflect the
time-based deformation properties of rock. To better investigate the relationship between deformation and time
during creep stage, it is necessary to separate the recoverable and irrecoverable deformations as time goes by. Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 www.nature.com/scientificreports/ Relationships between visco-elastic and visco-plastic strains and stress ratio of the specimens. Figure 10. Relationships between creep strain and plastic strain and stress ratio. Figure 10. Relationships between creep strain and plastic strain and stress ratio. point. The plastic strains increased with SR, whose fitting equations are presented in Fig. 10b, in which the non-
linear fitting equation shows a larger R2 value than the linear fitting result. For intact specimens, the plastic strain
also had a nonlinear correlation with SR. In contrast, the plastic strains of the intact specimen were larger than
those of the fissured specimens. point. The plastic strains increased with SR, whose fitting equations are presented in Fig. 10b, in which the non-
linear fitting equation shows a larger R2 value than the linear fitting result. For intact specimens, the plastic strain
also had a nonlinear correlation with SR. In contrast, the plastic strains of the intact specimen were larger than
those of the fissured specimens. Creep rate. The evolution of the strain rate during the creep stage is essential to analyze the time-based defor-
mation of rock. Hao et al.29,40 presented a detailed study and discussion about the creep rate and how to define the
steady-state and provided a relationship between failure-time with steady-state creep rate. Considering that the
magnitude of the creep rates under relative high deviatoric stresses was larger than those under low-stress levels,
the creep rates were plotted in logarithmic coordinates. In Fig. 11a, the steady-state creep rates (strain rates dur-
ing the secondary creep stage) increased with deviatoric stress. When SR was less than approximately 0.8 (0.9),
the steady-state creep rates had no distinct variations but suddenly increased beyond the SR point for fissured
(intact) specimens. In contrast, the rates of the intact specimen were relatively lower than those of the fissured
rock specimens. Because of space limitations, the evolutions of strain rate during primary, secondary, and tertiary
creep stage of the specimens with a fissure dip angle of 15°, 45°, and 60° were presented, as shown in Fig. 11b–d. The strain rate reflected the evolution of an axial strain of rock during the creep stage, showing decreasing trend
during primary and secondary creep stages and showing increasing trend at accelerating creep stage. Effect of fissure dip angle on the deformations. www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 8. Creep strain, visco-elastic strain and visco-plastic strain of the fissured red sandstone. Figure 8. Creep strain, visco-elastic strain and visco-plastic strain of the fissured red sandstone. Therefore, the visco-elastic and visco-plastic deformations of the fissured red sandstone rock were separated using
multi-step loading and unloading method as shown in Fig. 3b.ihi Typical separation results of the fissured rock with 45° and 60° inclinations are plotted in Fig. 8. The fitting
method of the visco-elastic strain curves was obtained according to the report by Yang and Hu37. The creep
strains, visco-elastic strains, and visco-plastic strains of the 45° specimen increased with increasing stress steps. Under deviatoric stress of 145 MPa, it showed primary, secondary and tertiary creep lasting approximately 10 h. The creep strain of the 60° specimen first slightly decreased when deviatoric stress increased from 100 to 115 MPa. After that, it increased gradually with increasing deviatoric stress. The visco-plastic strain showed a similar evolu-
tion. The visco-elastic strain had no obvious variation when deviatoric stress was 100 and 115 MPa but increased
with increasing stress levels. Generally, the time-dependent strains increased with increasing deviatoric stress.h g
y
p
g
Figure 9 plots the evolution of the visco-elastic and visco-plastic strains vs. SR. The visco-elastic strains of the
specimens had approximately linear correlation with SR. The specimen with α = 90° fissure had the minimum
visco-elastic strain, but the visco-elastic deformation of the specimen with α = 0° fissure was larger than of the
other specimens. In contrast, the visco-elastic strain of the intact specimen was higher than those of the fissured
specimens. However, the visco-plastic strains of the specimens nonlinearly increased with SR as shown in Fig. 9b,
whose relationship can be described by a nonlinear fitting equation. It is also clear that the visco-plastic strains
changed not significantly when SR was less (approximately 0.8).h g
gi
y
( pp
y
)
The relationship between the creep and total plastic strains of the specimens and the SR are shown in Fig. 10. In
Fig. 10a, the creep strain increased nonlinearly with SR, which can be described by a fitting equation. Specifically,
when SR was less than approximately 0.8, the creep slightly varied but significantly increased beyond that critical www.nature.com/scientificreports/ Figure 9. Relationships between visco-elastic and visco-plastic strains and stress ratio of the specimens. Figure 9. Damage and Permeability Evolution Behavior of Red Sandstone Containing a Sing
Fissure
D
l
i
b h
i
f
d
d
i i
i
l fi Damage evolution behavior of red sandstone containing a single fissure. To characterize the state
properties of materials, the damage concept was firstly proposed by Kachanov41. Damage variable (D) can quan-
titatively describe the deterioration degree of a material under changing stress state. However, it is difficult to
measure D directly. Therefore, D is calculated using other physical or mechanical parameters of materials, such
as elastic modulus, ultrasonic wave velocity, density and severity, energy, strain, and acoustic emission accumu-
lates42. However, one vital principle to definite damage variables is that it should be easily measured to build a
relationship with the macroscopic mechanical state. Materials undergoing elastic strain and visco-elastic strains
can be recovered after unloading, but those undergoing visco-plastic and plastic strains cannot. Hence, the dam-
age variable of the rock under cyclic loading-unloading conditions can be calculated using the ratio of non-elastic
strain (instant plastic strain and visco-plastic strain), as shown in Eq. (2). Finally, D can be calculated by instan-
taneous elastic and visco-elastic strains. ε
ε
ε
ε
ε
ε
ε
ε
ε
ε
=
−
=
−
+
+
=
+
+
D
1
1
(2)
e
me
cve
m
c
mp
cvp
m
c (2) where εe and ε represent the elastic strain and the total strain, respectivly; εme and εcve represent the instantaneous
elastic strain and the visco-elastic strain, respectivly; and εm and εc represent the instantaneous strain and the
creep strain of the specimen, respectivly.hf The results of D under different SRs are plotted in Fig. 13. From Fig. 13a, D increased with increasing axial SR
generally. The damage of the intact specimen seemed relatively small. At identical SRs, the degree of damage to
the rock specimen had no obvious relationship with the dip angle, as shown in Fig. 13b. It seems that the higher
the stress level, the more serious the damage. LTS of red sandstone containing a single fissure. LTS is an important index to predict rock failure
and for design engineering. This parameter is determined mainly by direct and indirect methods. Schmidtke
and Lajtai43 reported that the minimum creep failure stress of granite under uniaxial compression was 60% of its
uniaxial compressive strength. Szczepanik et al.44 found that dilatancy occurred when the loading was 70–80%
of the uniaxial compressive strength, and this stress point can be regarded as its LTS. www.nature.com/scientificreports/ As the previous results mentioned above, the
pre-existing fissure inclination had a visible effect on the deformation behavior of the rock. Specifically, the fissure
dip angle affected the elastic and plastic strains and visco-elastic and visco-plastic strains of the rock specimens. It is evident in Fig. 12a that the instantaneous strains under deviatoric stresses of 100, 115, and 130 MPa had no
obvious variations when α was less than 45° but decreased gradually with increasing dip angle. However, the
instantaneous strain first increased as α increased from 0 to 30° and then decreased with an increasing dip angle
under a deviatoric stress of 145 MPa. The higher the deviatoric stress, the larger the instantaneous strain.i h
Figure 12b illustrates the variations in the instant elastic strains of the specimens vs. fissure dip angle. It seems
that the downtrend of the instantaneous elastic strain became smaller as the deviatoric stress level increased when
α was less than 45°. Beyond 45°, the instant elastic strains notably decreased. Because the specimens with 15°, 30°,
and 45° fissure angles showed creep failure under stress level of 145 MPa, instantaneous elastic strains were unable Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 www.nature.com/scientificreports/ Figure 11. Relationship between creep rate and stress ratio and the evolution of strain rate during creep. Figure 11. Relationship between creep rate and stress ratio and the evolution of strain rate during creep. to be separated. It seems that α had no obvious influence on the instantaneous plastic strains, creep strains, and
visco-plastic strains, as shown in Fig. 12c,d,f. The visco-elastic strain seems to decrease with increasing dip angle. Damage and Permeability Evolution Behavior of Red Sandstone Containing a Single
Fissure
l
i
b h
i
f
d
d
i i
i
l fi Damage and Permeability Evolution Behavior of Red Sandstone Containing a Sing
Fissure
D
l
i
b h
i
f
d
d
i i
i
l fi Generally, the determining
method can be classified as (1) unsteady deformation method45; (2) the stress threshold method (σcd)46,47; and (3)
the isochronal stress-strain curves method (ISSCM) according to the creep experimental results48–50. Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 www.nature.com/scientificreports/ Figure 12. Influence of fissure dip angle on the elastic, viscous and plastic deformations of the specimens. Figure 12. Influence of fissure dip angle on the elastic, viscous and plastic deformations of the specimens. Figure 13. Relationships between damage and stress ratio and dip angle. Figure 12. Influence of fissure dip angle on the elastic, viscous and plastic deformations of the specimens. Figure 13. Relationships between damage and stress ratio and dip angle. Figure 13. Relationships between damage and stress ratio and dip angle. Figure 13. Relationships between damage and stress ratio and dip angle. Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 10 www.nature.com/scientificreports/ Figure 14. Isochronal stress ratio-strain curves of the specimens. Figure 14. Isochronal stress ratio-strain curves of the specimens Figure 14. Isochronal stress ratio-strain curves of the specimens. Figure 15. Characteristic stresses of the red sandstone. Figure 15. Characteristic stresses of the red sandstone. To better understand the influence of stress level on the long-term strength, the isochronal stress ratio-strain
curves of the intact specimen and fissured rock with various fissure dip angles are plotted in Fig. 14. When SR was
less than 0.86, the isochronal curves were linear. However, when SR was between 0.86 and 0.95, the axial strains
significantly increased and deviated from the original linear relationships. Hence, the LTS of the red sandstone
with a single fissure was the corresponding stress level at the SR range from 0.86 to 0.95 (Red dotted line in
Fig. 14). In contrast, the isochronal stress-strain curves of the intact specimen were located to the right of those
of the fissured specimens, showing much more apparent deformation. The turning point of the curve of the intact
specimen was approximately 0.95. Moreover, according to the previous results of this study, the steady-state creep
rates, visco-plastic strains, and the creep strains of the fissured red sandstones significantly increased when SR
was larger than 0.8. These phenomena also suggested that SR = 0.8 can be regarded as the lifetime of the red sand-
stone containing a single pre-existing fissure and SR = 0.9 for the intact specimen. This method can be termed
as ‘critical feature point method’ (CFPM). pre-existing fissures. For specimens with a dip angle of 45° and 75°, tensile-shear cracks appeared on the left
side of the pre-existing fissure. These two cracks were induced by the bending moment when shear anti-wing
crack sliding occurred along the shear plane. Then, under the restriction of the confining pressure, shear friction
occurred along the crack surface, showing a scratch on the surface, as shown at positions A and B. For the speci-
men containing a fissure dip angle of 60°, axial loading was continually applied on the specimen after creep failure
until new static stress was reached. After that, the axial deformation continued to increase. During this loading
and short-term creep, new cracks appeared. The interpretation is that the pre-existing unfilled fissure closed after
tertiary creep occurred and then subjected new stress until further creep stress occurred. During this bearing Damage and Permeability Evolution Behavior of Red Sandstone Containing a Sing
Fissure
D
l
i
b h
i
f
d
d
i i
i
l fi However, for the intact specimen, the LTS was larger than those of the
fissured specimen. Finally, a series of characteristic stresses of the fissured red sandstone containing different
fissure dip angles are classified in Fig. 15. i
p
gi
g
Under σ3 = 30 MPa condition, the failure stress under constant strain rate loading was larger than that at creep
compression. Fissure dip angle had a great influence on the failure stress of the fissured rock. Both the peak devi-
atoric stress and creep failure stress slightly decreased when the fissure dip angle increased from 0 to 30° and they
had no obvious changes when the dip angle was 30° and 45°. However, the failure stresses increased significantly
as the dip angle increased from 60° to 90°. The intact red sandstone had the highest failure stress, creep failure
stress, and LTS compared to those of the fissure specimens. Therefore, it is clear that the fissure dip angle had a
significant influence on the failure stresses on the fissured rock. Creep failure behavior of red sandstone containing a single fissure. The triaxial compression and
creep failure modes of the intact and fissured red sandstones containing a single fissure are presented in Figs. 16
and 17. In Fig. 16, shear failure occurred in the intact specimen. A macro shear crack and two small tensile
cracks appeared. The tensile cracks were induced by the bending moment when macro shear sliding occurred
along the shear surface. The fissured specimens commonly showed shear anti-wing cracks. Figure 17 shows that
the cracking patterns of the specimens are similar. Macro shear anti-wing cracks occurred at the pre-existing
fissure tips. The anti-wing cracks connected the upper left and bottom right of the specimen and the tips of the Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 www.nature.com/scientificreports/ www.nature.com/scientificreports/ Figure 16. Short-term failure patterns of the intact and fissured red sandstone specimens (σ3 = 30 MPa). Figure 16. Short-term failure patterns of the intact and fissured red sandstone specimens (σ3 = 30 MPa). Figure 17. Creep failure patterns of the intact and fissured red sandstone specimens (σ3 = 30 MPa). igure 17. Creep failure patterns of the intact and fissured red sandstone specimens (σ3 = 30 MPa). pre-existing fissures. For specimens with a dip angle of 45° and 75°, tensile-shear cracks appeared on the left
side of the pre-existing fissure. Damage and Permeability Evolution Behavior of Red Sandstone Containing a Sing
Fissure
D
l
i
b h
i
f
d
d
i i
i
l fi These two cracks were induced by the bending moment when shear anti-wing
crack sliding occurred along the shear plane. Then, under the restriction of the confining pressure, shear friction
occurred along the crack surface, showing a scratch on the surface, as shown at positions A and B. For the speci-
men containing a fissure dip angle of 60°, axial loading was continually applied on the specimen after creep failure
until new static stress was reached. After that, the axial deformation continued to increase. During this loading
and short-term creep, new cracks appeared. The interpretation is that the pre-existing unfilled fissure closed after
tertiary creep occurred and then subjected new stress until further creep stress occurred. During this bearing pre-existing fissures. For specimens with a dip angle of 45° and 75°, tensile-shear cracks appeared on the left
side of the pre-existing fissure. These two cracks were induced by the bending moment when shear anti-wing
crack sliding occurred along the shear plane. Then, under the restriction of the confining pressure, shear friction
occurred along the crack surface, showing a scratch on the surface, as shown at positions A and B. For the speci-
men containing a fissure dip angle of 60°, axial loading was continually applied on the specimen after creep failure
until new static stress was reached. After that, the axial deformation continued to increase. During this loading
and short-term creep, new cracks appeared. The interpretation is that the pre-existing unfilled fissure closed after
tertiary creep occurred and then subjected new stress until further creep stress occurred. During this bearing Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 12 www.nature.com/scientificreports/ Figure 18. Permeability evolutions during three-stage creep progress. Figure 18. Permeability evolutions during three-stage creep progress. process, tensile strain concentration occurred at the ends of the closed tip and tensile force induced tensile cracks
after creep failure. However, because of the confinement of the confining pressure, the generated tensile cracks
could not be opened, so they were closed and shear sliding occurred. Finally, the tensile-shear failure model was
formed. However, for the specimen with a 90° dip angle, the shear strain concentration mainly occurred around
the tips of the pre-existing fissure. Therefore, shear cracks around the tips of the fissure appeared and connected
the macro shear crack. In contrast, the intact specimen showed a continuous shear fracture. Permeability evolution behavior of red sandstone containing a single fissure.
During the long-term
f
h
b l
l
f h
d
d
l
fi
h Permeability evolution behavior of red sandstone containing a single fissure. During the long-term
deformation process, the gas permeability evolution of the red sandstones containing a single pre-existing fissure with
different dip angles are presented in Fig. 18 and Appendix 2. Clearly, the permeability varied with deviatoric stress
and creep time. When the deviatoric stresses were applied and removed, the permeability immediately decreased
and increased, respectively. Moreover, the permeability at unloading stages (visco-elastic recovery stage) was slightly
more significant than that at loading stages (creep stage under deviatoric stress compression). The reason is that the
specimens were compressed under different deviatoric stress levels, so the seepage channels were relative narrower
than those at the hydrostatic state. Therefore, the corresponding permeability was relatively small. Generally, the
permeability first decreased slightly and finally exhibited a sudden rise when the tertiary creep occurred during the
multi-step loading and unloading process. Liu et al.51 reported that the permeability of Cox claystone showed similar
evolution, but it had no variations when the deviatoric stress was applied under multi-step creep conditions.i Moreover, the permeability evolutions in the fissured red sandstone during the three-stage creep process were
distinct. Generally, permeability increased with increasing axial strain, especially during accelerating creep stage. This
suggests that the variation in permeability is not only governed by loading but is also influenced by the deformation. For specimens with fissure dip angles of 15°, 45°, and 75°, the permeability slightly increased during primary and
secondary creep stage but significantly increased during the accelerating creep stage. However, for the specimen with
60° fissure dip angle, the permeability increased when applied creep loading. When the specimen started exhibiting
primary creep, the permeability slightly decreased with time. The deformation suddenly increased and then increased
at a decreasing rate during the primary creep stage. Correspondingly, the permeability also had an increment and
then decreased with time. The result suggests that the permeability significantly depends on the rock deformation. When the deviatoric stress was applied, the seepage channels in the rock specimen are opened, so the permeability
increased. However, the creep deformation narrowed the opened channels, thus decreasing the permeation. Damage and Permeability Evolution Behavior of Red Sandstone Containing a Sing
Fissure
D
l
i
b h
i
f
d
d
i i
i
l fi Therefore, it is clear
that the pre-existing fissure had a considerable influence on the creep failure model of the specimen. Discussion
I fl
f Influence of pre-existing fissure. As reported previously, the strength of the sandstone can be decreased
by pre-existing fissures compared with that of intact sandstones52–55. This is because of stress consecration at
the tips of the pre-existing fissure and macro cracks formed easily than in the no pre-existing flaw sandstone. The normalized peak strength expressed by the ratio of the peak strength of the fissured sandstone to that of the 13 Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 www.nature.com/scientificreports/ Figure 19. Influence of fissure angle on normalized strength (σ1/σintact) of sandstone. Figure 19. Influence of fissure angle on normalized strength (σ1/σintact) of sandstone. Figure 20. A schematic diagram of the deviatoric stress, axial strain and permeability during loading/
unloading cycles (after Xu and Yang61). Figure 20. A schematic diagram of the deviatoric stress, axial strain and permeability during loading/
unloading cycles (after Xu and Yang61). intact sandstone increased as flaw angle increased as presented in Fig. 19a. From the view of damage mechanics,
the pre-existing fissure can be viewed as initial damage. Kachanov41 defined simple damage from the view of the
principle of effective stress based on the actual loading area of the material as shown in Eq. (3). The variation in
the damage variable affected by the fissure angle is presented in Fig. 19b. During creep experiments, although the
fissured sandstones were subjected to identical stresses, the effective stress in each specimen with different fissure
angle was different. Higher effective stress was generated for lower flaw angles. As a result, the fissured sandstone
with a lower flaw angle showed larger deformation than that in the specimen with a higher fissure angle. σ
σ
=
=
−
=
−
D
A
A
A
A
D
1
,
(1
)
(3)
D
e
e (3) where, A is the cross-section area of the material (A = 1962.71mm2), AD and Ae are the damaged and effective
areas of the material under loading, respectively; and σ and σe represent the applied stress and the effective stress,
respectively. Influence of loading/unloading cycle. In underground coal mining and tunnel excavations, rocks are
usually subjected to loading/unloading cycles37,56,57. The long-term mechanical behaviors of the rocks under this
loading condition are essential for designing and evaluating the long-term stability for engineering applications. The creep behavior is related to the fatigue effect58. Scientific Reports | (2020) 10:1900 | https://doi.org/10.1038/s41598-020-58595-2 Conclusions In this study, the elastic-viscoplastic deformation behaviors, LTS and gas permeability evolution during creep of
intact and fissured red sandstones were investigated. Fissured specimens containing a single fissure with various
fissure dip angles (0 to 90°, interval 15°) were produced first. Then, constant strain rate loading experiments and
cyclic loading and unloading creep tests under a confinement of 30 MPa were conducted on the specimens. The
conclusions obtained from the experimental results are listed as follows. (1) The irrecoverable axial deformation accumulated as the cyclic numbers of loading/unloading increased. The instantaneous elastic deformation had a linear correlation with SR. The visco-elastic deformation and
the viscoplastic deformation had linear and nonlinear relationships with SR, respectively. When SRå 0.8
(fissured specimen) and 0.9 (intact specimen), the creep strains and the steady-state creep rates nonlinearly
increased with stress ratio; two nonlinear fitting equations can describe the relationships between total
plastic deformation and stress ratio.h (2) The instantaneous deformation, instant elastic deformations, and the visco-elastic deformations of the
fissured rock decreased with fissure dip angle, especially when the dip angle was larger than 45°. However,
the dip angle had no obvious influence on the instant plastic, visco-plastic and creep deformations. (2) The instantaneous deformation, instant elastic deformations, and the visco-elastic deformations of the
fissured rock decreased with fissure dip angle, especially when the dip angle was larger than 45°. However,
the dip angle had no obvious influence on the instant plastic, visco-plastic and creep deformations.hi gl
(3) The damage variable defined by the elastic deformation increased approximately linearly with SR, but the
fissure dip angle had no obvious effects. The long-term strength of the intact (LTS ≤ 0.95) and fissured
sandstone (0.86 ≤ LTS ≤ 0.95) determined according to isochronal stress-strain curves was larger than that
determined by the presented CFPM (LTS ≤ 0.9, LTS ≤ 0.8). The creep failure modes were mainly shear
along anti-wing cracks for the fissured specimens, but the intact specimen showed a shear fracture.hi g
gi
(4) The permeability of the fissured sandstone showed stress and deformation dependence, decreasing with
increasing loading and increasing with decreasing unloading and changing with time. During multi-step
loading/unloading creep cycles, it first decreased and then showed a sudden rise when tertiary creep
occurred. Moreover, the permeability increased slightly during primary and secondary creep stage but
increased significantly during the accelerating creep stage under high SRs. Conclusions However, it gradually decreased
during primary and secondary creep under low SR. www.nature.com/scientificreports/ irrecoverable deformation increased. Microcrack growth increased the crack density and crack length under
constant loading. For fissured sandstones, local stress concentration and damage occurred at the tips of the
pre-existing fissures. If the applied stresses generated a higher stress intensity factor than the fracture toughness,
creep rupture appeared. Thus, the LTS of the fissured and intact sandstones under creep loading was less than its
peak strength, and the permeability increased significantly (Fig. 20g,i). i
Most of the previous investigations were performed for triaxial creep on intact rock specimens. However, this
study presents a series of experimental results of the sandstone with pre-existing fissure under cyclic loading/
unloading conditions. The results suggest that flaw significantly reduces the LTS of the sandstone. Cyclic loading/
unloading increases the stress-induced damage and irrecoverable deformation. This study may provide a refer-
ence for geoscience research and energy resources. Received: 28 February 2019; Accepted: 17 January 2020;
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Sheng-Qi Yang conceived and designed the experiments; Bo Hu performed the experiments and prepared all the
figures; Sheng-Qi Yang and Bo Hu wrote the paper and analysed the data. Sheng-Qi Yang conceived and designed the experiments; Bo Hu performed the experiments and prepared all the
figures; Sheng-Qi Yang and Bo Hu wrote the paper and analysed the data. Additional information Supplementary information is available for this paper at https://doi.org/10.1038/s41598-020-58595-2. Correspondence and requests for materials should be addressed to S.-Q.Y. Correspondence and requests for materials should be addressed to S.-Q.Y. Reprints and permissions information is available at www.nature.com/reprints. Reprints and permissions information is available at www.nature.com/reprints. Reprints and permissions information is available at www.nature.com/reprints. Reprints and permissions information is available at www.nature.com/reprints. ublisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and
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Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction: A network meta-analysis of controlled clinical trials
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Shixin Nie1,2, Shuqing Zhou3, Wei HuangID1,2* Shixin Nie1,2, Shuqing Zhou3, Wei HuangID1,2* 1 Department of Orthopedics, The First Affiliated Hospital of Chongqing Medical University, Chongqing,
China, 2 Orthopedic Laboratory of Chongqing Medical University, Chongqing, China, 3 Department of
Orthopedics, The Centre Hospital of Jiangjin, Chongqing, China * huangwei68@263.net * huangwei68@263.net * huangwei68@263.net a1111111111
a1111111111
a1111111111
a1111111111
a1111111111 PLOS ONE PLOS ONE RESEARCH ARTICLE Data Availability Statement: All relevant data are
within the manuscript and its Supporting
Information files. Data Availability Statement: All relevant data are
within the manuscript and its Supporting
Information files. Abstract
Objective To compare the clinical effectiveness of cortical button (CB), cross-pin (CP) and compres-
sion with interference screws (IS) fixation techniques in anterior cruciate ligament (ACL)
reconstruction using hamstring graft. Methods Citation: Nie S, Zhou S, Huang W (2022) Femoral
fixation methods for hamstring graft in anterior
cruciate ligament reconstruction: A network meta-
analysis of controlled clinical trials. PLoS ONE
17(9): e0275097. https://doi.org/10.1371/journal. pone.0275097 Studies were systematically retrieved from PubMed, Embase, Cochrane Library and Web of
Science up to May 20, 2021. Primary outcomes were KT-1000 assessment, International
Knee Documentation Committee (IKDC) score A or B, Lachman’s test, pivot-shift test, visual
analogue scale (VAS) score, Lysholm score, Tegner score, and Cincinnati Knee Score. Secondary outcomes included reconstruction failures and synovitis. League tables, rank
probabilities and forest plots were drawn for efficacy comparison. Editor: Osama Farouk, Assiut University Faculty of
Medicine, EGYPT Results Twenty-six controlled clinical trials (CCTs) with 1,824 patients undergoing ACL reconstruc-
tion with hamstring graft were included. No significant differences were found among CB,
CP and IS fixation methods regarding the 10 outcomes. For KT-1000 assessment, IKDC
score A or B, Lachman’s test, VAS score and pivot-shift test, CP had the greatest probability
of becoming the best method, and IS may be the suboptimal method in 4 out of these 5 out-
comes except pivot-shift test. Copyright: © 2022 Nie 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. Introduction Anterior cruciate ligament (ACL) rupture is a common knee ligament injury, which occurs
more in the physically active population than in the general population [1]. This ACL injury
can lead to pain, functional limitations, osteoarthritis after knee trauma, and reduced quality
of life [2, 3]. In the United States, around 400,000 ACL reconstructions are carried out yearly
[4]. Autologous hamstring graft is in widespread use and considered as the gold standard of
ACL reconstruction, minimizing donor site morbidity [5–8]. However, hamstring graft move-
ment within the femoral tunnel may impede tendon-to-bone healing, so having stable fixation
is of great concern [9, 10]. Currently, femoral fixation methods for ACL reconstruction cover three categories: cortical
button (CB) fixation, cross-pin (CP) fixation, compression with interference screws (IS) [11–
13]. As for an optimal fixation technique, Ibrahim et al. [14] proposed that CP femoral fixation
brought greater knee laxity outcomes than CB fixation, while CB femoral fixation exhibited
similar effects to CP fixation concerning clinical outcomes and postoperative knee laxity in
autologous hamstring ACL reconstruction according to a meta-analysis of Jiang et al [15]. CP
fixation was shown to have a smaller instrumented side-to-side anterior-posterior laxity differ-
ence than IS fixation, but these two techniques demonstrated comparable performance for
hamstring autograft [12]. In Bjo¨rkman et al.’s research, femoral fixation with CP and IS pro-
vided a similar clinical or radiographic result in ACL reconstruction [16]. Additionally, CB fix-
ation was superior to IS fixation for double-bundle ACL reconstruction [17], whereas
equivalent impacts were obtained with IS and CB fixation in regard to knee anteroposterior
stability and other aspects for all-inside ACL allograft reconstruction [18]. Unfortunately, no
studies have reported direct comparisons among CB, CP and IS fixation measures for ACL
reconstruction with hamstring graft, and which technique is the best remains unclear. Although a network meta-analysis from Yan et al. [19] revealed that IS femoral fixation may
be the most preferred approach in ACL reconstruction, including different types of studies
may lower the statistical power in this study. Thus, a latest network meta-analysis is needed to
further probe into the optimum fixation method. Although a network meta-analysis from Yan et al. [19] revealed that IS femoral fixation may
be the most preferred approach in ACL reconstruction, including different types of studies
may lower the statistical power in this study. Thus, a latest network meta-analysis is needed to
further probe into the optimum fixation method. Introduction This study aimed to explore a superior femoral fixation method by comparing the efficacy
of CB, CP and IS techniques via a network meta-analysis of controlled clinical trials (CCTs) in
ACL reconstruction with hamstring graft, which may serve as a reference in choosing a fixa-
tion method for better rehabilitation. Conclusions CP, CB and IS fixations have comparable clinical performance, while CP fixation is most
likely to be the optimum fixation technique for hamstring graft in ACL reconstruction. Future
larger-sample studies of high quality comparing these techniques in more clinical outcomes
are required. Funding: The author(s) received no specific
funding for this work. Competing interests: The authors have declared
that no competing interests exist. 1 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 PLOS ONE Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 Search strategy and study selection Studies concerning fixation methods in ACL reconstruction were systematically retrieved
from PubMed, Embase, Cochrane Library and Web of Science up to May 20, 2021 by two
investigators (SX Nie, SQ Zhou) independently. Search terms consisted of “Anterior Cruciate
Ligament” OR “Anterior Cruciate Ligament Reconstruction” OR “Anterior Cruciate Ligament
Injuries” OR “Anterior Cruciate Ligaments” OR “Cruciate Ligament, Anterior” OR “Cruciate
Ligaments, Anterior” OR “Ligament, Anterior Cruciate” OR “Ligaments, Anterior Cruciate”
OR “ACL” AND “Surgical Fixation Devices” OR “Orthopedic Fixation Devices” OR “Device,
Fixation” OR “Devices, Fixation” OR “Fixation Device” OR “Fixation Devices” OR “Fasteners”
OR “Fastener” OR “Fixator” OR “Fixators” OR “Bone Screws” OR “Screw” OR “Screws” OR
“TransFix” OR “Intrafix” OR “Aperfix” OR “Arthrex” OR “Biotransfix” OR “Endobutton” OR
“Rigidfix”. Then these studies were imported into Endnote X9 (Clarivate Analytics, Philadel-
phia, Pennsylvania, USA) for duplicate removal, and preliminary screening based on titles and PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 2 / 20 PLOS ONE Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction abstracts was carried out, followed by full-text screening, so as to obtain qualified studies. Dis-
cussion was needed when opinions were divided. Outcome measures Primary outcomes were KT-1000 (MEDmetric Corp, San Diego, CA, USA) assessment, Inter-
national Knee Documentation Committee (IKDC) score A or B [20], Lachman’s test [21],
pivot-shift test [22], visual analogue scale (VAS) score [23], Lysholm score [24], Tegner score
[25], and Cincinnati Knee Score [26]. Secondary outcomes included reconstruction failures
and synovitis. Quality of evidence assessment The quality of evidence in pairwise effect estimates and overall ranking of femoral fixation
methods was evaluated with the approach proposed by Salanti et al. [28] which was based on
methodology developed by the Grading of Recommendations Assessment, Development and
Evaluation (GRADE) Working Groups. Five domains were assessed: study limitations, indi-
rectness, inconsistency, imprecision, and publication bias. Then the quality of evidence was
divided into four levels: high, moderate, low and very low. Risk of bias assessment The risk of bias in each included CCT was evaluated applying the Cochrane Collaboration’s
tool [27] by two reviewers separately (SX Nie, SQ Zhou). The domains for assessment included
random sequence generation, allocation concealment, blinding of participants and personnel,
blinding of outcome assessment, incomplete outcome data, selective reporting, and other bias. The risk of bias was categorized as low, unclear or high. Disagreements were resolved by a
third researcher (W Huang). Inclusion and exclusion criteria Inclusion criteria were: (1) studies with patients undergoing ACL reconstruction with ham-
string graft; (2) studies with interventions including 2 femoral fixation techniques; (3) stud-
ies exploring at least one of the following outcomes; (4) studies in English; (5) CCTs. The interventions were divided into three categories: (1) CB (Endobutton, Ligament
Anchor, Swing Bridge, Tightrope) fixation; (2) CP (Intrafix, Transfix, Rigid Fix, aperture fixa-
tion) fixation; (3) IS (Metal Interference Screw, Bioabsorbable Interference Screw). Exclusion criteria were: (1) animal experiments; (2) publications that did not meet the
research theme; (3) studies where valid data could not be extracted; (4) conference abstracts,
case reports, editorial materials, reviews, and meta-analyses. Data extraction Two independent researchers (SX Nie, SQ Zhou) extracted baseline information from the eli-
gible studies. The information included author, year of publication, country, level of evidence,
femoral tunnel placing, femoral fixation, graft type, tibial fixation, sample size, age, gender
ratio, time from injury to surgery, follow-up time, and outcome measure. A consensus was
reached through discussion with a third researcher (W Huang). Characteristics of the included studies Based on the search strategy, 4,522 studies were identified from the four databases. After dupli-
cates were removed, 2,421 studies were left. Following that, screening was carried out by read-
ing titles and abstracts, and then full texts. Finally, 26 CCTs [14, 16, 18, 29–51] with 1,824
patients were qualified for next analysis. Detailed search process is illustrated in Fig 1. These
included trials were published between 2002 and 2020, with 9 trials of CB vs CP [14, 29, 36, 37,
42, 43, 46, 48, 51], 9 of CB vs IS [18, 30–33, 35, 44, 45, 50], and 8 of CP vs IS [16, 34, 38–41, 47,
49]. Follow-up time ranged from 6 months to 60 months. Table 1 exhibits the baseline data of
the included trials. The major risk of bias was selection bias from random sequence generation. The overall risk of bias of these studies was low. Risk of bias assessment for the qualified studies
is shown in Fig 2. The quality of evidence in pairwise effect estimates ranged from very low to
high, and most of pairwise comparisons had high quality of evidence. The overall ranking of
femoral fixation methods for KT-1000 assessment, IKDC score A or B, Lachman’ s test, Pivot-
shift test, and VAS score had moderate, high, high, high, and low quality of evidence, respec-
tively (Table 2). Statistical analysis R 4.0.3 software (R Foundation for Statistical Computing, Vienna, Austria) was employed for
the network meta-analysis, and conventional meta-analysis was conducted with Stata 15.1 3 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 PLOS ONE Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction software (Stata, College Station, Texas, USA). Odds ratios (ORs) acted as the effect size of cate-
gorical outcomes, and standardized mean differences (SMDs) were used as the effect size of
continuous outcomes. All estimates of these effect sizes reported were posterior medians with
corresponding 95% credibility intervals (CrIs). When 95% CrIs excluded null values, signifi-
cant effects of the femoral fixation methods on the different outcomes were identified. For
each outcome measure, both fixed effects model and random effects model were initially fitted. Four Markov chains were adopted for every model to set initial values. The number of pre-iter-
ations was set to 40,000, and the number of iteration operations was set to 200,000. The final
model of each outcome was confirmed for subsequent analysis to attain the relative effects and
ranking probabilities of different fixation measures in each outcome. In addition, the network
plot, league table, rank probabilities and forest plot of each outcome measure were drawn. Node-split analysis was performed for consistency and inconsistency detection in direct and
indirect comparisons when there was a closed loop. The strength of direct and indirect evi-
dence was consistent if the difference between the deviance information criteria (DIC) of the
consistency and inconsistency detection results was less than 5. P < 0.05 indicated a statisti-
cally significant difference. PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 Network plots of fixation method comparisons Network plots were depicted to reflect comparisons among CB, CP and IS fixation techniques
(Fig 3). Five studies provided data for KT-1000 assessment. Direct comparisons were available
between CP and IS, and between CP and CB, but there was no direct comparison between IS
and CB. Most studies were performed on CP, followed by CB; direct comparison evidence for
CP and CB was most abundant. As to IKDC score A or B, 16 CCTs were included. Direct evi-
dence on the pairwise comparison of CP, CB and IS was displayed, constituting a closed-loop
relationship. Most studies were done on both CP and CB, and on the direct comparison of
these two methods. A closed loop was also formed for CP, CB and IS in terms of Lachman’s
test which was explored in 5 studies. CP fixation was reported in the majority of the 5 studies,
and most evidence for direct comparison was offered on CP and IS. Pivot-shift test was con-
ducted in 9 trials. With the direct pairwise comparison of the three techniques, a closed-loop
relation came into being. Most of the studies focused on CB, and on the head-to-head compar-
ison of CB and IS. Besides, 3 trials were conducted on VAS score. Direct comparisons existed PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 4 / 20 PLOS ONE Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction Fig 1. Flow chart for search process. https://doi.org/10.1371/journal.pone.0275097.g001 Fig 1. Flow chart for search process. Fig 1. Flow chart for search process. https://doi.org/10.1371/journal.pone.0275097.g001 https://doi.org/10.1371/journal.pone.0275097.g001 https://doi.org/10.1371/journal.pone.0275097.g001 between CP and IS, and between IS and CB. Most trials investigated IS, followed by CB. Most
direct evidence of comparison was available for IS and CB. According to the above, closed
loops were formed for IKDC score A or B, Lachman’s test and pivot-shift test, and the results
of node-split analysis indicated that the strength of the direct and indirect evidence was consis-
tent (Table 3). League tables for fixation methods The efficacies of CP, CB and IS techniques on different outcomes were compared in pairs, as
shown in Table 4. As regards KT-1000 assessment, no significant differences were observed
between CP and CB (pooled OR = 3.725, 95% CrI = 0.407–55.092), between IS and CB (pooled
OR = 2.054, 95% CrI = 0.031–113.409), and between IS and CP (pooled OR = 0.551, 95%
CrI = 0.015–10.848). Likewise, the effectivity of these 3 methods were similar in other 4 5 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction PLOS ONE Table 1. Baseline characteristics of the included studies. Author
Year
Country
Level of
evidence
Femoral
tunnel
placing
Femoral
fixation
Graft
type
Tibial
fixation
Sample
size
Age,
years
Sex
(male/
female)
Time
from
injury to
surgery
Follow-
up,
months
Outcome measure
CB vs CP
Fauno
2005
Denmark
I
CB
STG
PLLA IS
46
25
19/27
NA
12
KT-1000
assessment, IKDC
score A/B
CP
Bi IS/SW
41
26
19/22
NA
Kuskucu
2008
Turkey
II
Transtibial-
femoral
drilling
CB
STG
IS and a
staple
24
23.9
(21–
44)
0/24
2–8 m
26.7
(16–36)
Lysholm score,
IKDC score A/B,
Tegner score
CP
32
0/32
25.2
(12–36)
Baumfeld
2008
USA
II
Transtibial
drilling
CB
STG
Intrafx
26
35.9
±12.0
NA
NA
41.8
±13.4
KT-1000
assessment, IKDC
score A/B,
reconstruction
failures
CP
Bio IS
20
36.2
±11.8
45.2
±12.6
Ibrahim
2009
Kuwait
I
Transtibial
drilling
CB
SB
and
DB
STG
NA
98
(22–
33)
NA
2–3.7 m
29 (25–
38)
Pivot-shift test,
Lysholm score,
IKDC score A/B
CP
SB
STG
102
(21–
31)
2–4 m
Price
2010
Australia
I
Transtibial
drilling
CB
STG
Bio IS
11
26.5
(16–
47)
NA
NA
24
Lachman’s test,
IKDC score A/B
CP
13
26.3
(16–
48)
Sabat
2011
India
II
Transtibial
drilling
CB
STG
Bio IS
30
(20–
40)
NA
6 w-2 y
12
Lysholm score,
IKDC score
CP
Eajazi
2013
Iran
II
CB
SB
STG
IS
33
26.2
(18–
44)
NA
14.5 (2–
80) m
24
Lysholm score,
reconstruction
failures
CP
29
23.6
(19–
31)
14.1 (1–
84) m
Zehir
2014
Turkey
II
Transtibial
drilling
CB
STG
Bio IS
67
NA
NA
13.17
±8.22 m
12
Lysholm score,
IKDC score A/B,
Tegner score, KT-
1000 assessment,
pivot-shift test
CP
51
9.74
±4.12 m
Ibrahim
2015
Kuwait
II
Transtibial
drilling
CB
DB
STG
BioIntraFix
32
(22–
32)
NA
2–4.2 m
30
Lachman’s test,
pivot-shift test, KT-
1000 assessment,
Lysholm score,
IKDC score A/B
CP
34
(21–
34)
2–4.5 m
CB vs IS
(Continued) Table 1. Baseline characteristics of the included studies. PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 6 / 20 Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction PLOS ONE Table 1. (Continued)
Author
Year
Country
Level of
evidence
Femoral
tunnel
placing
Femoral
fixation
Graft
type
Tibial
fixation
Sample
size
Age,
years
Sex
(male/
female)
Time
from
injury to
surgery
Follow-
up,
months
Outcome measure
IS
Delta Screw
30
25.5
(13–
61)
20/10
Capuano
2008
France
I
CP
ST/
STG
Milagro
15
30.6
±9.8
(15–
52)
10/5
16.9
±14.7
(1–60) m
13.1
±2.45
IKDC score A/B
IS
IS
15
32.3
±9.5
(15–
49)
10/5
20.4
±22.9
(1–74) m
Harilainen
(1)
2009
Finland
I
Transtibial
drilling
CP
DB
STG
BioScrew/
IntraFix
28
31
(18–
50)
4 m (1
w-10 m)
24
IKDC score A/B
IS
29
35
(20–
48)
3.5 m (1
w-35 m)
Harilainen
(2)
CP
25
29
(18–
50)
4 m (1
w-32 m)
IKDC score A/B
IS
25
32
(18–
49)
3 m (1
w-8.25 y)
Stengel
2009
Germany
I
Transtibial-
femoral
drilling
CP
ST/
STG
RigidFix
24
31.4
±12.2
NA
NA
24
KT-1000
assessment, IKDC
scores, synovitis
IS
Bio IS
21
26.1
±10.4
Frosch
2012
Germany
II
CP
ST/
STG
Milagro IS
28
28.2
±8.0
18/10
11.09
±4.0 w
12.40
±0.8
Tegner score, KT-
1000 assessment,
VAS
IS
31
24.6
±7.2
19/12
14.91
±3.4 w
12.45
±1.1
Bjorkman
2014
Finland
I
Transtibial
drilling
CP
SB
STG
AO Screw/
SW
25
NA
NA
NA
60
Lachman’s test,
pivot-shift test
IS
SB ST/
STG
22
Gifstad
2014
Norway
II
Transtibial
drilling
CP
STG
WasherLoc
47
24
(18–
45)
NA
6 w
24
KT-1000
assessment
IS
46
CB: cortical button; CP: cross-pin; IS: interference screw; SB: single bundle; DB: double bundle; ST: semitendinosus; STG: semitendinosus and gracilis; SW: spiked
washer; w: week; m: months; y: years; IKDC: International Knee Documentation Committee; VAS: visual analogue scale CB: cortical button; CP: cross-pin; IS: interference screw; SB: single bundle; DB: double bundle; ST: semitendinosus; STG: semitendinosus and gracilis; SW: spiked
washer; w: week; m: months; y: years; IKDC: International Knee Documentation Committee; VAS: visual analogue scale. PLOS ONE Table 1. (Continued)
Author
Year
Country
Level of
evidence
Femoral
tunnel
placing
Femoral
fixation
Graft
type
Tibial
fixation
Sample
size
Age,
years
Sex
(male/
female)
Time
from
injury to
surgery
Follow-
up,
months
Outcome measure
Buelow
2002
Australia
II
CB
STG
Bio IS
28
30.9
(17–
44)
NA
NA
24
KT-1000
assessment, IKDC
score A/B,
Cincinnati Knee
Score
IS
30
30.9
(17–
44)
17/13
Benjamin
2003
USA
II
CB
STG
IS
15
22±10
3/12
NA
39±8
(24–50)
IKDC scores, KT
differences
IS
15
27±8
4/11
32±6
(24–40)
Ping
2012
China
II
CB
DB
STG
Bio IS
28
24.3
(18–
38)
17/11
NA
29.5
(12–46)
Lachman’s test,
pivot-shift test
IS
35
25.5
(17–
40)
22/13
28.5
(12–48)
Benea
2014
France
I
CB
ST/
STG
SutureButton
22
29.3
±9
NA
25.7±46
m
6
VAS, IKDC score
A/B
IS
22
Lubowitz
2015
USA
II
CB
STG
Arthrex
21
40.2
±11.9
11/20
NA
24
IKDC score A/B
IS
22
41.6
±9.1
9/18
Boutsiadis
2018
France
III
CB
STG
IS
151
31.0
±10.8
89/62
3.7±1.6
m
25.8±4.3
IKDC score A/B,
pivot-shift test
IS
121
32.6
±10.6
64/57
3.4±1.5
m
25.6±2.3
Chiang
2019
China
II
CB
DB
STG
Cortical
screw
28
29.5
±5.7
26/2
NA
24
IKDC score, KT-
1000 assessment,
pivot-shift test
IS
29
30.3
±6.9
28/1
Mayr
2019
Austria
II
CB
STG
IS
16
25±6
11/5
12 m
24
IKDC score A/B,
pivot-shift test
IS
14
29±7
10/4
Yari
2020
USA
I
CB
STG
Bio IS
17
37.7
±5.3
8/9
NA
6
VAS, IKDC score
IS
16
36.9
±6.7
9/7
CP vs IS
Harilainen
2005
Finland
I
CP
SB
STG
Metal IS
26
27
(15–
56)
NA
6 m (3
w-13 y)
24
Lachman’s test,
pivot-shift test, KT-
1000 assessment,
IKDC score A/B
IS
30
32
(28–
49)
10 m (4
w-27 y)
Rose
2006
Germany
I
Transtibial
drilling
CP
STG
Bone Plug
38
28.5
(15–
47)
22/16
NA
12
IKDC score A/B
(Continued) PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 7 / 20 Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction PLOS ONE PLOS ONE Table 2. Summary of our confidence in effect estimates and ranking of femoral fixation methods. Outcomes
Comparison
Nature of the evidence
Confidence
Downgrading due to
KT-1000 assessment
CB vs CP
Mixed
High
-
CB vs IS
Indirect
Low
Study limitations1; Indirectness2
CP vs IS
Mixed
Moderate
Study limitations1
Ranking of treatments
Moderate
Study limitations5
IKDC score A or B
CB vs CP
Mixed
High
-
CB vs IS
Mixed
Moderate
Imprecision4
CP vs IS
Mixed
High
-
Ranking of treatments
High
-
Lachman’ s test
CB vs CP
Mixed
High
-
CB vs IS
Mixed
Low
Imprecision4; Inconsistency3
CP vs IS
Mixed
High
-
Ranking of treatments
High
-
Pivot-shift test
CB vs CP
Mixed
High
-
CB vs IS
Mixed
Low
Study limitations1; Inconsistency3
CP vs IS
Mixed
High
-
Ranking of treatments
High
-
VAS score
CB vs CP
Indirect
Very low
Study limitations1; Imprecision4; Indirectness2
CB vs IS
Mixed
Moderate
Inconsistency3
CP vs IS
Mixed
Low
Study limitations1; Imprecision4
Ranking of treatments
Low
Study limitations1; Imprecision4 Table 2. Summary of our confidence in effect estimates and ranking of femoral fixation methods. 1Dominated by evidence at high or moderate risk of bias. 1Dominated by evidence at high or moderate risk of bias. 2No convincing evidence for the plausibility of the transitivity assumption. 3Predictive intervals for treatment effect include effects that would have different interpretations (there is additionally no convincing evidence for the plausibility of the
transitivity assumption). 4Confidence intervals include values favoring either treatment. 560% of the information is from studies at moderate risk of bias. IKDC: International Knee Documentation Committee; VAS: visual analogue scale; CB: cortical button; CP: cross-pin; IS: interference screw. h
//d i
/10 1371/j
l
0275097 002 KDC: International Knee Documentation Committee; VAS: visual analogue scale; CB: cortical button; CP: cross-pin; IS: interference screw. VAS score (CP vs CB: pooled SMD = 1.135, 95% CrI = -3.438–6.773; IS vs CB: pooled
SMD = 0.862, 95% CrI = -1.829–4.541; IS vs CP: pooled SMD = -0.298, 95% CrI = -4.298–
3.715). Rank probabilities for fixation methods Rank probabilities were illustrated for CP, CB and IS fixation approaches (Tables 5–9). As for
KT-1000 assessment, IKDC score A or B, Lachman’s test, VAS score and pivot-shift test, CP
had the greatest probability of becoming the best method, and IS may be the suboptimal
method in 4 out of 5 outcomes except pivot-shift test. PLOS ONE h
//d i
/10 1371/j
l
0275097 001 outcomes: IKDC score A or B (CP vs CB: pooled OR = 1.838, 95% CrI = 0.868–3.743; IS vs CB:
pooled OR = 1.554, 95% CrI = 0.673–3.781; IS vs CP: pooled OR = 0.841, 95% CrI = 0.380–
2.102), Lachman’s test (CP vs CB: pooled OR = 1.511, 95% CrI = 0.523–4.406; IS vs CB: pooled
OR = 1.153, 95% CrI = 0.324–4.092; IS vs CP: pooled OR = 0.758, 95% CrI = 0.284–2.104),
pivot-shift test (CP vs CB: pooled OR = 1.254, 95% CrI = 0.577–3.203; IS vs CB: pooled
OR = 0.564, 95% CrI = 0.253–1.582; IS vs CP: pooled OR = 0.456, 95% CrI = 0.159–1.357), and PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 8 / 20 PLOS ONE Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction Fig 2. Risk of bias assessment for the included studies. https://doi.org/10.1371/journal.pone.0275097.g002
pone.0275097
September 22, 2022
9 / 20 Fig 2. Risk of bias assessment for the included studies. https://doi.org/10.1371/journal.pone.0275097.g002 9 / 20 Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction Forest plots for fixation methods According to the results of forest plots, CP and CB (CP vs CB: pooled OR = 3.800, 95%
CrI = 0.410–58.000) as well as IS and CP (IS vs CP: pooled OR = 0.520, 95% CrI = 0.014–
10.000) exhibited comparable effects concerning KT-1000 assessment. For IKDC score A or B,
no statistically significant differences existed between CP and CB (CP vs CB: pooled
OR = 2.200, 95% CrI = 0.930–5.900), IS and CB (IS vs CB: pooled OR = 1.000, 95%
CrI = 0.280–3.500), and IS and CP (IS vs CP: pooled OR = 1.200, 95% CrI = 0.440–6.200). PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 10 / 20 PLOS ONE Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction Consistently, the equivalent effectiveness of CP and CB (CP vs CB: pooled OR = 1.600, 95%
CrI = 0.490–5.700), IS and CB (IS vs CB: pooled OR = 0.760, 95% CrI = 0.076–5.900), and IS
and CP (IS vs CP: pooled OR = 0.830, 95% CrI = 0.280–2.400) was demonstrated in Lachman’s
Fig 3. Network plots of fixation method comparisons for various outcomes. 3A: KT-1000 assessment; 3B: IKDC score A or B; 3C: Lachman’s test;
3D: Pivot-shift test; 3E: VAS score. IKDC: International Knee Documentation Committee; VAS: visual analogue scale; CB: cortical button; CP: cross-
pin; IS: interference screw. https://doi.org/10.1371/journal.pone.0275097.g003
ONE
Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction Fig 3 Net ork plots of fi ation method comparisons for arious outcomes 3A KT 1000 assessment 3B IKDC score A or B 3C Lachman’s test Fig 3. Network plots of fixation method comparisons for various outcomes. 3A: KT-1000 assessment; 3B: IKDC score A or B; 3C: Lachman’s test;
3D: Pivot-shift test; 3E: VAS score. IKDC: International Knee Documentation Committee; VAS: visual analogue scale; CB: cortical button; CP: cross-
f Fig 3. Network plots of fixation method comparisons for various outcomes. 3A: KT-1000 assessment; 3B: IKDC score A or B; 3C: Lachman’s test;
3D: Pivot-shift test; 3E: VAS score. IKDC: International Knee Documentation Committee; VAS: visual analogue scale; CB: cortical button; CP: cross-
pin; IS: interference screw. PLOS ONE PLOS ONE Table 3. Consistency and inconsistency detection for the outcomes. Outcomes
DIC for consistency detection
DIC for inconsistency detection
Absolute value of ΔDIC
IKDC score A or B
49.190
49.138
0.052
Lachman’ s test
13.889
13.938
0.049
Pivot-shift test
13.946
13.969
0.023
IKDC: International Knee Documentation Committee; DIC: deviance information criteria; ΔDIC: difference between the DIC of the consistency and inconsistency
detection results. Table 3. Consistency and inconsistency detection for the outcomes. on Committee; DIC: deviance information criteria; ΔDIC: difference between the DIC of the consistency and inconsistency test. CP and CB (CP vs CB: pooled OR = 1.200, 95% CrI = 0.390–3.300), IS and CB (IS vs CB:
pooled OR = 0.670, 95% CrI = 0.250–2.700), and IS and CP (IS vs CP: pooled OR = 0.310, 95%
CrI = 0.036–1.700) also had similar impacts on pivot-shift test. In terms of VAS score, IS did
not significantly differ from CB (IS vs CB: pooled SMD = 0.860, 95% CrI = -1.800–4.500) and
CP (IS vs CP: pooled SMD = -0.300, 95% CrI = -4.300–3.700). Three studies reported on
Lysholm score, and combined analysis revealed that CB presented similar efficacy to CP (CB
vs CP: pooled OR = 1.220, 95% confidence interval (CI) = 0.460–3.240, P = 0.686). When
reconstruction failures were taken into consideration, the comprehensive analysis of 2 studies
indicated that there was no statistical difference between CB and CP (CB vs CP: pooled
OR = 1.010, 95% CI = 0.390–2.670, P = 0.977). Forest plots for fixation methods https://doi.org/10.1371/journal.pone.0275097.g003 https://doi.org/10.1371/journal.pone.0275097.g003 Consistently, the equivalent effectiveness of CP and CB (CP vs CB: pooled OR = 1.600, 95%
CrI = 0.490–5.700), IS and CB (IS vs CB: pooled OR = 0.760, 95% CrI = 0.076–5.900), and IS
and CP (IS vs CP: pooled OR = 0.830, 95% CrI = 0.280–2.400) was demonstrated in Lachman’s Consistently, the equivalent effectiveness of CP and CB (CP vs CB: pooled OR = 1.600, 95%
CrI = 0.490–5.700), IS and CB (IS vs CB: pooled OR = 0.760, 95% CrI = 0.076–5.900), and IS
and CP (IS vs CP: pooled OR = 0.830, 95% CrI = 0.280–2.400) was demonstrated in Lachman’s 11 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction Fixation methods for single or double bundle ACL reconstruction For KT-1000 assessment, only one study compared CP and IS fixation methods in single bun-
dle ACL reconstruction, and no significant difference was found between CP and IS
(OR = 0.833, 95% CI = 0.211–3.294, P = 0.795); there was no report on double bundle ACL
reconstruction. Regarding IKDC score A or B, CP was shown to have a similar effect to IS in
single bundle ACL reconstruction according to a single study (OR = 2.000, 95% CI = 0.525–
7.621, P = 0.310); network meta-analysis was performed for double bundle ACL reconstruc-
tion based on 2 studies, and revealed that IS was significantly more effective than CB (pooled Table 4. League tables of fixation methods for various outcomes. KT-1000 assessment
CB
3.725 (0.407, 55.092)
2.054 (0.031, 113.409)
1.315 (-0.898, 4.009)
CP
0.551 (0.015, 10.848)
0.720 (-3.485, 4.731)
0.596 (-2.384, 4.205)
IS
IKDC score A or B
CB
1.838 (0.868, 3.743)
1.554 (0.673, 3.781)
-0.609 (-1.320, 0.142)
CP
0.841 (0.380, 2.102)
-0.441 (-1.330, 0.396)
0.173 (-0.743, 0.969)
IS
Lachman’s test
CB
1.511 (0.523, 4.406)
1.153 (0.324, 4.092)
-0.413 (-1.483, 0.648)
CP
0.758 (0.284, 2.104)
-0.142 (-1.409, 1.127)
0.277 (-0.744, 1.258)
IS
Pivot-shift test
CB
1.254 (0.577, 3.203)
0.564 (0.253, 1.582)
-0.226 (-1.164, 0.550)
CP
0.456 (0.159, 1.357)
0.574 (-0.458, 1.373)
0.786 (-0.305, 1.838)
IS
VAS score
CB
1.135 (-3.438, 6.773)
0.862 (-1.829, 4.541)
-1.135 (-6.773, 3.438)
CP
-0.298 (-4.298, 3.715)
-0.862 (-4.541, 1.829)
0.298 (-3.715, 4.298)
IS
IKDC: International Knee Documentation Committee; VAS: visual analogue scale; CB: cortical button; CP: cross-
pin; IS: interference screw. https://doi.org/10.1371/journal.pone.0275097.t004 IKDC: International Knee Documentation Committee; VAS: visual analogue scale; CB: cortical button; CP: cross-
pin; IS: interference screw. https://doi.org/10.1371/journal.pone.0275097.t004 12 / 20 PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 PLOS ONE Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction Table 5. Rank probabilities of fixation methods for KT-1000 assessment. [1]
[2]
[3]
CB
0.088500
0.285750
0.625750
CP
0.581900
0.380725
0.037375
IS
0.329600
0.333525
0.336875
CB: cortical button; CP: cross-pin; IS: interference screw. https://doi.org/10.1371/journal.pone.0275097.t005 Table 5. Rank probabilities of fixation methods for KT-1000 assessment. Table 6. Rank probabilities of fixation methods for IKDC score A or B. [1]
[2]
[3]
CB
0.022513
0.153988
0.823500
CP
0.653313
0.314863
0.031825
IS
0.324175
0.531150
0.144675
IKDC: International Knee Documentation Committee; CB: cortical button; CP: cross-pin; IS: interference screw. https://doi.org/10.1371/journal.pone.0275097.t006 Table 6. Rank probabilities of fixation methods for IKDC score A or B. Table 7. PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 Fixation methods for single or double bundle ACL reconstruction Rank probabilities of fixation methods for Lachman’s test. [1]
[2]
[3]
CB
0.173313
0.287325
0.539363
CP
0.583563
0.329688
0.086750
IS
0.243125
0.382988
0.373888
CB: cortical button; CP: cross-pin; IS: interference screw. https://doi.org/10.1371/journal.pone.0275097.t007 Table 7. Rank probabilities of fixation methods for Lachman’s test. Table 8. Rank probabilities of fixation methods for pivot-shift test. [1]
[2]
[3]
CB
0.257175
0.650113
0.092713
CP
0.705275
0.249663
0.045063
IS
0.037550
0.100225
0.862225
CB: cortical button; CP: cross-pin; IS: interference screw. https://doi.org/10.1371/journal.pone.0275097.t008 Table 8. Rank probabilities of fixation methods for pivot-shift test. Table 9. Rank probabilities of fixation methods for VAS score. [1]
[2]
[3]
CB
0.124785
0.203350
0.671865
CP
0.563155
0.235190
0.201655
IS
0.312060
0.561460
0.126480
VAS: visual analogue scale; CB: cortical button; CP: cross-pin; IS: interference screw. PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 13 / 20 PLOS ONE Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction OR = 1.307, 95% CrI = 3.695, 62.929) and CP (pooled OR = 1.180, 95% CrI = 3.254–54.762),
and CP was likely to be better than CB according to rank probabilities. Concerning Lachman’s
test, 2 studies provided direct evidence for the comparison between CP and IS in single bundle
ACL reconstruction, and meta-analysis demonstrated no significant difference between CP
and IS (pooled OR = 1.175, 95% CI = 0.463–2.986, P = 0.734). Network meta-analysis with
data from 2 trials for double bundle ACL reconstruction illustrated that CP, CB and IS had
comparable impacts on Lachman’s test, and rank probabilities indicated that CP had the high-
est probability of becoming the optimal method (64.77% probability), and CB was most likely
to be the suboptimal method (52.89% probability). As to pivot-shift test, direct evidence from
2 studies on the comparison between CP and IS in single bundle ACL reconstruction exhibited
equivalent effectiveness of CP and IS (pooled OR = 2.645, 95% CI = 0.637–10.984, P = 0.181);
for double bundle ACL reconstruction, network meta-analysis of 3 trials showed no significant
difference among CP, CB and IS, while CP was most likely to be the best fixation method
(77.41% probability), and CB was most likely to be the second best method (53.75% probabil-
ity). Besides, no studies about VAS score reported the technique used for ACL reconstruction
(single bundle or double bundle). Fixation methods when placing the femoral tunnel via transtibial drilling Twelve studies reported the technique used for placing the femoral tunnel, and all of them
used transtibial drilling. Among these 12 studies, 3 had KT-1000 assessment, and network
meta-analysis exhibited that CP, CB and IS had similar influences on KT-1000 assessment,
while CP was most likely to be the optimum fixation method (47.60% probability), and IS was
most likely to be the suboptimum method (35.52% probability). Concerning IKDC score A or
B, 8 trials provided data for comparisons among CP, CB and IS. It was found that IS was signif-
icantly more effective than CB (pooled OR = 1.323, 95% CrI = 1.005–3.732), and IS had the
greatest probability of becoming the best method (93.35% probability), and the second best
method was most likely CP (85.49% probability). As regards Lachman’s test, 3 studies were
included for network meta-analysis. No significant differences were observed among CP, CB
and IS; IS was most likely to be the optimal method (53.31% probability), and CP was most
likely to be the suboptimal method (51.90% probability). With respect to pivot-shift test, 4 stud-
ies were qualified. Consequently, IS was significantly less effective than CB (pooled OR = 0.001,
95% CrI = 4.887×10−18–0.464) and CP (pooled OR = 0.001, 95% CrI = 4.887×10−18–0.441) for
pivot-shift test, and CP had the highest likelihood of being the best method (58.87% probabil-
ity). Of the 12 studies, none assessed VAS score. PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 Discussion The above findings reinforce the
possibility of CP as the optimum fixation. Apart from the afore-mentioned studies [19, 52–55],
the studies of Hu et al [12] and Jiang et al [15] also showed that IS and CB femoral fixations
had equivalent impacts on clinical performance to CP femoral fixation for ACL reconstruction
with hamstring graft. Similar effects of CP, IS and CB are confirmed using different analytical
methods, and more investigations on the comparisons of these three techniques are necessary
to validate that CP is most likely to be the best fixation technique. Among the included studies, regarding Tegner score, Kuskucu et al. [43] discovered that
among 24 patients receiving CB fixation, 17 improved from level 4 to level 6 or 7, and the
other patients remained at level 4 or 5. After CP fixation, 25 of 32 patients improved from level
4 to level 6 or 7, and the rest of patients remained at level 4 or 5. The Tegner score in the CB
and CP groups was reported by Zehir et al. [51] to be comparable. Frosch et al. [38] showed
that the average Tegner score was 5.83 points (±2.00) for IS fixation and 5.83 points (±1.24)
for CP fixation, and no significant difference was found between the two groups. Since the
data from the above studies cannot be synthesized, we only described the results of these stud-
ies. Besides, merely Buelow et al. [33] studied the Cincinnati Knee Score of patients in the CB
and IS groups during a 2-year follow-up period. The CB group increased from preoperative
44 ± 9.8 to 87 ± 8.9, and the IS group elevated from preoperative 46 ± 10.2 to 86 ± 8.5, without
a significant difference between the two groups. Of note, Stengel et al. [49] reported 1 out of 28
patients undergoing CP fixation developed synovitis, and 4 out of 26 patients having IS fixa-
tion suffered from synovitis, suggesting that patients receiving CP fixation might have a lower
rate of adverse events than those with IS fixation in ACL reconstruction. This necessitates
more research into adverse event occurrences after the three fixation methods. Discussion The current network meta-analysis found with 26 CCTs of 1,824 patients that CP, CB and IS
displayed similar effects on different clinical outcomes in ACL reconstruction with hamstring
graft, which was consistent with the findings of previous meta-analyses [52–54] and network
meta-analyses [19, 55]. Nevertheless, CP may be more effective than CB and IS for hamstring
graft fixation in ACL reconstruction according to rank probabilities analysis; based on this, CP
may be prioritized in the femoral fixation of hamstring grafts for ACL reconstruction, so that
more satisfactory recovery could be expected. The development of CP for femoral fixation in ACL reconstruction intends to deal with
underlying problems linked to IS and CB techniques, with less anteroposterior laxity and suffi-
cient mechanical strength [56, 57]. An instrumented side-to-side anterior-posterior laxity dif-
ference was prominently reduced by CP versus IS, as reported by Hu and others [12]. This
supports our revelation to a certain extent that CP had a higher probability of being better to PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 14 / 20 PLOS ONE Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction IS in fixing hamstring graft for ACL reconstruction, in terms of knee stability, pain, function
and physical activities. The possible superiority of CP to IS concerning knee stability may be
due to the fact that CP fixation is performed strictly because anchorage looseness is not
allowed, while for IS, the looseness relevant to the tunnel wall occurs [49]. A systematic review
reported that the failure rates of bioabsorbable IS, metallic IS and CP were 6.1, 3.3 and 1.7%,
separately [58], indicating that CP with a higher success rate can be selected before IS. Addi-
tionally, compared with CP femoral fixation, IS was associated with a markedly higher risk of
ACL revision for patients receiving ACL reconstruction [59]. Furthermore, CP may be more
efficacious than CB in femoral fixation for hamstring ACL reconstruction in this paper. A
meta-analysis by Lee et al. [60] demonstrated more femoral tunnel widening after applying CB
fixation than CP fixation to reconstruct ACL. CB fixation was also in association with more
laxity compared with CP [30]. Tunnel widening possibly links to knee laxity and graft failure
[61], and consequently requires a staged revision through bone grafting [62], which is not con-
ducive to the recovery of patients suffering from torn ACL. PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 Discussion Given the high-
est likelihood of CP femoral fixation being the optimal method in hamstring graft for ACL
reconstruction as regards clinical efficacy, together with safety, surgeons may give priority to
CP fixation when performing ACL reconstruction, combined with their experience and profi-
ciency as well as the cost of surgery, so that patients could get better rehabilitation under their
timely and effective decision-making. With respect to the technique used for ACL reconstruction (single bundle or double bun-
dle) and the technique used for placing the femoral tunnel (transtibial or transportal or out-
side-in), 8 studies reported the technique used for ACL reconstruction; 12 studies reported the
technique used for placing the femoral tunnel, and all of them applied transtibial drilling. Based on the above information, we have assessed the effect of the femoral fixation methods
on the outcomes under these reported ACL reconstruction and femoral tunnel placing tech-
niques. For pivot-shift test under double bundle ACL reconstruction and KT-1000 assessment
under the transtibial drilling technique, CP, CB and IS exerted similar influences, while CP PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
September 22, 2022 15 / 20 PLOS ONE Femoral fixation methods for hamstring graft in anterior cruciate ligament reconstruction was most likely to be the optimum fixation method, which was consistent with our main find-
ings, indicating that these techniques might have no effects on pivot-shift test under double
bundle ACL reconstruction and KT-1000 assessment under transtibial drilling. However, this
is just a conjecture, and we cannot determine whether these techniques have effects on the out-
comes, because most studies did not report on these techniques. Relevant studies should pro-
vide complete information on ACL reconstruction and femoral tunnel placing techniques, so
that the impact of these techniques on the outcomes can be assessed and a better femoral fixa-
tion method can be offered to patients undergoing ACL reconstruction with hamstring graft
for better recovery. Through this network meta-analysis of CCTs, CP fixation was recommended as the first
choice to fix hamstring grafts in ACL reconstruction. Nonetheless, certain limitations cannot
be ignored. First, the included studies did not provide direct evidence for comparisons among
CP, CB and IS on some outcome measures, and there was subjectivity in the outcome evalua-
tion. Discussion Besides, this analysis could not determine whether the technique used for ACL recon-
struction (single bundle or double bundle) and the technique used for placing the femoral
tunnel (transtibial or transportal or outside-in) have effects on the outcomes, since most stud-
ies did not report on these techniques. Second, heterogeneity probably from different fixation
devices, surgical methods and follow-up time was not addressed. Further, studies in other lan-
guages were not included. Third, for KT-1000 assessment, the comparison of CB and IS was
based on indirect evidence of low confidence, and for VAS score, the comparison of CB and
CP was based on indirect evidence of very low confidence, which may affect the reliability of
the comparison results that IS may be better than CB for KT-1000 assessment and CP may be
better than CB for VAS score. Future high-quality evidence is warranted to verify these results. S1 Checklist. PRISMA 2020 checklist.
(DOCX) S1 Checklist. PRISMA 2020 checklist. (DOCX) S1 Checklist. PRISMA 2020 checklist. (DOCX) Conclusion CP, CB and IS fixations exhibit similar clinical performance, whereas CP fixation has the great-
est probability of being more effective than CB and IS for hamstring graft in ACL reconstruc-
tion. This study underscores the need for further larger-sample studies of high quality to
compare the impacts of these techniques on more clinical outcomes. Supporting information S1 Checklist. PRISMA 2020 checklist. (DOCX) PLOS ONE | https://doi.org/10.1371/journal.pone.0275097
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28976434 20 / 20
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The comparison of clinical and biological characteristics between IDH1 and IDH2 mutations in gliomas
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Journal of experimental & clinical cancer research
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cc-by
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* Correspondence: liuyanwei_tiantan@163.com; shizhong_zh@163.com
†Equal contributors
2Department of Neurosurgery, Beijing Tiantan Hospital, Capital Medical
University, No. 6 TiantanXili, Dongcheng District, Beijing 100050, China
1Department of Neurosurgery, Zhujiang Hospital, Southern Medical
University, 253# Gongye Road, Guangzhou, China
Full list of author information is available at the end of the article The comparison of clinical and biological
characteristics between IDH1 and IDH2
mutations in gliomas Hao-Yuan Wang1,3,5†, Kai Tang2,5†, Ting-Yu Liang4,5†, Wei-Zhong Zhang1,3, Ji-Ye Li4,6, Wen Wang2,5, Hui-Min Hu4,5,
Ming-Yang Li4,5, Hui-Qing Wang1,3, Xiao-Zheng He1,3, Zhi-Yuan Zhu1,3, Yan-Wei Liu2,4,5* and Shi-Zhong Zhang1,3* Abstract Background: Mutations in isocitrate dehydrogenase 1 (IDH1) and isocitrate dehydrogenase 2 (IDH2) are frequent
in low-grade gliomas and secondary glioblastomas (sGBM). Because they yield the same oncometabolite,
D-2-hydroxyglutarate, they are often treated as equivalent and pooled. The objective of this study was to provide
insight into the differences between IDH1 and IDH2 mutant gliomas. in low grade gliomas and secondary glioblastomas (sGBM). Because they yield the same oncometabolite,
D-2-hydroxyglutarate, they are often treated as equivalent and pooled. The objective of this study was to provide
insight into the differences between IDH1 and IDH2 mutant gliomas. Methods: To investigate the different clinical and molecular characterization between IDH1 mutant and IDH2
mutant gliomas, we studied 811 patients with IDH1 mutations, IDH2 mutations and IDH1/2 wild-type. In addition,
whole-transcriptome sequencing and DNA methylation data were used to assess the distribution of genetic
changes in IDH1 and IDH2 mutant gliomas in a Chinese population-based cohort. Results: Among 811 gliomas in our cohort, 448 cases (55.2 %) harbored an IDH1 mutation, 18 cases (2.2 %)
harbored an IDH2 mutation and 345 cases (42.6 %) harbored an IDH1/2 wild-type. We found that IDH1 and IDH2
are mutually exclusive in gliomas, and IDH2 mutations are mutually exclusive with PTEN, P53 and ATRX mutations. Patients with IDH2 mutations had a higher frequency of 1p/19q co-deletion (p < 0.05) than IDH1 mutant patients. In addition, a Gene Set Enrichment Analysis (GSEA) showed that IDH2 mutant gliomas were associated with the
oxidative phosphorylation gene set, and the four most representative biological processes for genes commonly
altered by hypermethylation in IDH2 mutant gliomas were the regulation of cell proliferation, cell motion, cell
migration and response to hypoxia. Patients with IDH2 mutant gliomas exhibited longer Overall survival (OS) (p < 0.05)
and longer Progression-free survival (PFS) (p < 0.05) than patients with IDH1/2 wild-type gliomas. However, their OS and
PFS did not differ from that of IDH1 mutant patients. Conclusions: Our study revealed an intrinsic distinction between IDH1 and IDH2 mutant gliomas, and these mutations
should be considered separately because their differences could have implications for the diagnosis and treatment of
IDH1/2 mutant gliomas. Keywords: Glioma, IDH mutation, Whole transcriptome sequencing, DNA methylation analyzes Keywords: Glioma, IDH mutation, Whole transcriptome sequencing, DNA methylation analyzes © 2016 The Author(s). Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86
DOI 10.1186/s13046-016-0362-7 Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86
DOI 10.1186/s13046-016-0362-7 Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86
DOI 10.1186/s13046-016-0362-7 Open Access Open Access Background and a subset of sGBM [8]. In subsequent studies, IDH1
mutations were reported to occur in 70–80 % of WHO
grade II or III astrocytomas, oligodendrogliomas, and oli-
goastrocytomas, whereas a small group (3–5 %) were
found to harbor IDH2 mutations [1]. This pattern con-
trasts that observed in AML, which features similar rates
of IDH1 (6.6 %) and IDH2 mutations (10.8 %) [9]. More-
over, mutations of IDH1 and IDH2 are mutually exclusive
in gliomas, and biochemical investigations showed that
IDH1 and IDH2 mutations differ in D-2-hydroxyglutarate
(D-2HG) production in gliomas [10]. This difference sug-
gests that IDH1 and IDH2 mutations may impact different
cellular pathways and exert different tumorigenic effects. To
investigate
the
different
clinical
and
molecular
characterization between IDH1 mutant and IDH2 mutant
gliomas, we studied a cohort of 811 patients consisting 448
IDH1 mutant, 18 IDH2 mutant and 345 IDH1/2 wild-type
gliomas. We performed whole-transcriptome sequencing
and DNA methylation analyses of the samples obtained
from patients. We compared the mutational landscapes of
IDH1 and IDH2 mutant gliomas, their clinical associations,
overall survival, and progression-free survival. Our aim was
to provide insight into the differences between IDH1 and
IDH2 mutant gliomas. g
Isocitrate dehydrogenase (IDH) enzymes encode the
NADP+-dependent isocitrate dehydrogenase, which cata-
lyzes the oxidative decarboxylation of isocitrate to form
an α-ketoglutarate (α-KG). IDH1 and IDH2 proteins
share a high degree of sequence similarity (70 % in
humans) and are encoded by distinct genes (IDH1, 2q33
and IDH2, 15q26). Mutations in IDH1 and IDH2, which
represent the most frequently mutated metabolic genes in
human cancer, are implicated to be mutated in more than
50–80 % of low-grade gliomas and secondary glioblast-
omas (sGBM), 10 % of intrahepatic cholangiocarcinoma,
20 % of acute myeloid leukemia (AML), 56 % of chondro-
sarcomas, and over 10 % of melanoma cases [1–5]. Although IDH1 and IDH2 are highly similar and catalyze
identical reactions, IDH1 is localized in the cytosol and
IDH2 is found in the mitochondrial matrix. In addition,
the spectrum of cancers and their subtypes are differ-
ent. For example, IDH1 mutations are predominant in
gliomas, chondrosarcoma, and cholangiocarcinoma,
whereas IDH1 mutations and IDH2 mutations are
equally common in AML. Despite their different
physiological characteristics, most genomic studies of
the molecular landscapes in human cancer have fre-
quently combined IDH1 mutations and IDH2 muta-
tions as a single functional group. Abstract 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. Page 2 of 9 Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86 Methods Glioma, the most common primary brain tumor, is
classified as grade I to IV based on histopathological and
clinical criteria established by the 2007 World Health
Organization (WHO) [6]. WHO grade I gliomas are often
curable by surgical resection, whereas WHO grade II or
III gliomas are invasive and have a poor prognosis. WHO
grade IV tumors (glioblastomas), the most invasive tu-
mors, feature a median survival of only 16 months, even
after aggressive treatment consisting of surgery, radiation
therapy, and chemotherapy [7]. In 2008, the genes encod-
ing IDH1 were found to be mutated in low-grade gliomas Gene set enrichment analysis Clinicopathologic data, including gender, age, pathologic
diagnosis and the results of molecular analysis were ob-
tained. When the cases were classified as secondary GBMs
based on biopsy-proven preexisting low-grade gliomas, 29
cases (12.4 %) were secondary GBM and the remainder
were primary GBM (205 cases, 87.6 %). To identify the gene sets related to particular biological
processes present in IDH-mutant patients, gene expres-
sion profiling and a gene set enrichment analysis (GSEA)
were performed as described previously [14]. IDH mutation Genomic DNA was isolated from frozen tissues with a
QIAamp DNA Mini Kit (Qiagen) according to the manu-
facturer’s protocol. The DNA concentration and quality
were evaluated with a Nano-Drop ND-1000 spectropho-
tometer (NanoDrop Technologies, Houston, TX). The py-
rosequencing of IDH1/2 mutations was supported by
Gene-tech (Shanghai, China) and performed on a Pyro-
Mark Q96 ID System (Qiagen, Valencia, Calif). The primers
5′-GCTTGTGAGTGGATGGGTAAAAC-3′, 5′-Biotin-TT
GCCAACATGACTTACTTGATC-3′, for IDH1 and 5′-AT
CCTGGGGGGGACTGTCTT-3′,
5′-Biotin-CTCTCCAC
CCTGGCCTACCT-3′ for IDH2 were used for PCR ampli-
fication, and the primers 5′-TGGATGGGTAAAACCT-3′
for IDH1 and 5′-AGCCCATCACCATTG-3′ for IDH2
were used for pyrosequencing [13]. Statistical analysis Whole transcriptome sequencing of 161 gliomas and
DNA methylation profile of 44 glioma samples, were
obtained from Chinese Glioma Genome Atlas (CGGA)
database (http://www.cgga.org.cn) [11–13]. All these
samples were histologically graded according to 2007
WHO classification of tumours of the nervous systems
[6]. Written informed consent was obtained from all do-
nors. Clinical investigations were performed after ap-
proval by the local research ethics committee and in
accordance with the ethical principles. Survival distributions were estimated with a Kaplan-Meier
survival analysis, and the log-rank test was used to assess
the significance of differences between stratified survival
groups using the GraphPad Prism 5.0 statistical software. The differences among patients in baseline clinical and
molecular features according to IDH1 and IDH2 muta-
tional status were tested using the Fisher’s exact and
Wilcoxon rank sum tests for categoric and continuous
variables, respectively. Gens that were differently meth-
ylated between IDH2 mutant and IDH1 mutant tumors
were obtained using the standard two-sampled t-test
with unequal variance and sample size. To adjust for
multiple comparisons, we applied the Benjamini-Hochberg
method to control the False Discovery Rate at 5 %. We fur-
ther filtered the list of significant genes by retaining those
which exhibited at least 1.5-fold difference in gene ex-
pression between IDH2 mutant and IDH1 mutant in
our final comparisons. Student’s t-test was performed
using SPSS 16.0. A two-sided p value < 0.05 was considered
significant. Patients and tumor samples p
Glioma samples were obtained from 811 patients with
gliomas, including 448 IDH1 mutant, 18 IDH2 mutant
and 345 IDH1/2 wild-type gliomas, which were composed
of 577 low grade (II + III) gliomas, including 193 diffuse
astrocytoma, 39 anaplastic astrocytomas, 49 low-grade
oligodendrogliomas, 27 anaplastic oligodendrogliomas, 186
oligoastrocytomas, 83 anaplastic oligoastrocyotmas and 234
glioblastomas. These patients underwent surgery and were
followed-up at Beijing Tiantan hosipital from 2004 to 2014. Table 1 The summary of the materials analysed in this study
Pathological diagnosis
WHO grade
n = 811
IDH1 mutation No. (%)
IDH2 mutation No. (%)
IDH mutation total No. (%)
Diffuse astrocytoma
II
193
138 (71.5)
2 (1.0)
140 (72.5)
Anaplastic astrocytoma
III
39
14 (35.9)
0 (0)
14 (35.9)
Oligodendroglioma
II
49
38 (77.6)
3 (6.1)
41 (83.7)
Anaplastic oligodendroglioma
III
27
19 (70.4)
1 (3.7)
20 (74.1)
Oligoastrocytoma
II
186
147 (79.0)
9 (4.8)
156 (83.8)
Anaplastic oligoastrocytoma
III
83
47 (56.6)
1 (1.2)
48 (57.8)
Subtotal (grades II and III)
577
403 (69.8)
16 (2.8)
419 (72.6)
Primary GBM
IV
205
29 (14.1)
1 (0.5)
30 (14.6)
Secondary GBM
IV
29
16 (55.2)
1 (3.4)
17 (58.6)
Subtotal (Glioblastoma)
IV
234
45 (19.2)
2 (0.9)
47 (20.1)
Total
811
448 (55.2)
18 (2.2)
466 (57.4) Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86 Page 3 of 9 Fig. 1 Overview of clinical and molecular characterization of the cohort (n = 811). Each column represents a patient Results Journal of Experimental & Clinical Cancer Research (2016) 35:86 Page 5 of 9 Page 5 of 9 Table 3 Molecular characteristics according to IDH mutation in glioma
Molecular Characteristic
IDH1-Mutated
IDH2-Mutated
IDH1/IDH2-WT
P (IDH1-Mutated
VS IDH1/IDH2-WT)
P (IDH2-Mutated
VS IDH1/IDH2-WT)
P (IDH1-Mutated
VS IDH2-Mutated)
PTEN
Mutation
6
0
43
<0.001
0.098
0.605
Wild-type
314
14
218
NA
128
4
84
1p/19q Co-deletion
Absent
341
9
307
<0.001
<0.001
<0.05
Present
106
9
34
NA
1
0
1
P53
Mutation
215
0
232
<0.001
0.154
<0.05
Wild-type
115
14
34
NA
118
4
79
ATRX
Mutation
13
0
15
0.084
0.638
0.728
Wild-type
107
5
102
NA
328
13
228 IDH2 mutant gliomas exhibit DNA methylation profiles
distinct from those of IDH1 mutant gliomas
Given the DNA methylation profiles of 3 IDH2 mutant
gliomas and 41 IDH1 mutant gliomas, we used stand-
ard t-tests to identify differentially methylated regions. The methylation patterns of genes that correlated with
IDH2 mutant gliomas are shown in Fig. 3a using a one-
dimensional hierarchical clustering analysis. The four
most representative biological processes for genes com-
monly altered by hypermethylation were the regulation of
cell proliferation, cell motion, cell migration and response
to hypoxia (Fig. 3b). According to the hypomethylated
genes, the three most representative biological processes
were ion transport, cell-cell signaling, and cation transport
(Fig. 3b). IDH1 mutations are found in 14.1 % (29/205) of pGBM,
55.2 % (16/29) of sGBM and 69.8 % (403/577) of low
grade gliomas. Combined IDH1 and IDH2 mutations
were found in 14.6 % (30/205) of pGBM, 58.6 % (17/29)
of sGBM and 72.6 % (419/577) of low grade gliomas. IDH2 mutant gliomas exhibit DNA methylation profiles
distinct from those of IDH1 mutant gliomas As shown in Fig. 1 and Table 2, patients with muta-
tions in IDH2 did not differ from IDH1-mutant patients
in terms of age, gender, WHO grade, KPS, histologic
type and laterality (Table 2). To characterize the mo-
lecular features of IDH2 mutant gliomas, we analyzed
associations between IDH2 mutations and other muta-
tional events. Patients with IDH2 mutations had a
higher frequency of 1p/19q co-deletion (p < 0.05) and a
lower frequency of P53 mutation (p < 0.05) than IDH1
mutant patients (Table 3). Strikingly, the presence of
IDH2 mutations and PTEN mutations, P53 mutation
and ATRX mutation did not correlate (Fig. 1 and
Table 3). Results Associations of IDH2 mutations with clinical outcome
In our cohort, the presence of an IDH2 mutation was
associated with a longer overall survival (p < 0.05) and
longer progression-free survival (p < 0.05) (Fig. 4a/b)
than the presence of the IDH1/2 wild-type gene. However, when considering all patients with IDH2
mutations, the overall survival and time to recurrence
did not differ from those of IDH1 mutant patients
(Fig. 4a/b). This result illustrates that the effects of
IDH2 mutation and IDH1 mutation on clinical prog-
nosis were similar. Gene set enrichment analysis for IDH2 mutant patients
To gain biologic insight into the potentially significance of
IDH2 mutations, we compared the whole-transcriptome se-
quencing expression profiles of 5 IDH2 mutant patients
with 109 IDH1 mutant patients and 47 IDH1/2 wild-type
patients. First, we used a Gene Set Enrichment Analysis
(GSEA) to compare the global gene expression profiles of
the IDH2 mutant and IDH1 mutant gliomas. The result
showed that the oxidative phosphorylation gene set was up-
regulated (FDR q-value = 0; Fig. 2a/c). We then compared
the whole-transcriptome sequencing expression profiles of
the IDH2 mutant and IDH1/2 wild-type gliomas (Fig. 2b). The results showed that the oxidative phosphorylation gene
set (FDR q-value < 0.001; Fig. 2d) and hedgehog signaling
set were upregulated (FDR q-value < 0.05; Fig. 2e). Results Clinical and molecular characterization of IDH2 mutations
Among a total of 811 gliomas, IDH2 mutations were
identified in 18 cases (2.2 %) (Table 1). IDH2 mutations
were found in 0.5 % of pGBM (1/215), 3.4 % of sGBM
(1/29) and 2.8 % (16/577) of low grade gliomas, while Table 2 Clinical characteristics according to IDH mutational status in gliomas
Clinical characteristic
N = 811
IDH1-Mutated
IDH2-Mutated
IDH1/IDH2-Wild-type
P (IDH1-Mutated VS
IDH1/IDH2- Wild-type)
P (IDH2-Mutated VS IDH1/
IDH2- Wild-type)
P (IDH1-Mutated VS
IDH2-Mutated)
No. (%)
No. (%)
No. (%)
Age, years
<45
423
285 (67.4)
13 (3.1)
125 (29.5)
<0.001
<0.05
0.456
≥45
388
163 (42.0)
5 (1.3)
220 (56.7)
Median age, years
39.1
37.3
45.0
<0.001
<0.05
0.456
Range
17.0–66.0
26.0–56.0
9.0–81.0
Gender
Male
495
265 (53.5)
11 (2.2)
219 (44.2)
0.113
0.801
0.824
Female
316
186 (58.9)
7 (2.2)
123 (38.9)
WHO Grade
II + III
577
403 (69.8)
16 (2.8)
158 (27.4)
<0.001
<0.001
0.883
IV
234
45 (19.2)
2 (0.9)
187 (79.9)
KPS score
<80
74
26 (35.1)
2 (2.7)
46 (62.2)
<0.001
0.376
0.514
≥80
253
173 (68.4)
7 (2.8)
73 (28.8)
NA
483
248
9
226
Histologic type
Oligodendroglioma
76
57 (75.0)
4 (5.3)
15 (19.7)
<0.001
<0.001
0.218
Oligoastrocytoma
269
194 (72.1)
10 (3.7)
65 (24.2)
Astrocytoma
437
181 (41.4)
3 (0.7)
253 (57.9)
sGBM
29
16 (55.2)
1 (3.4)
12 (41.4)
Laterality
Left
380
211 (55.5)
9 (2.4)
160 (42.1)
<0.05
0.891
0.985
Right
366
203 (55.5)
8 (2.2)
155 (42.3)
Midline
53
33 (62.3)
1 (1.9)
19 (35.8)
NA
12
1
0
11 Table 2 Clinical characteristics according to IDH mutational status in gliomas Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86
Page 5 of 9 Wang et al. Discussion Mutations in the IDH1 and IDH2 genes have been
found in patients with gliomas and were initially identi-
fied in low-grade gliomas and secondary glioblastomas
[1]. Strikingly, mutations in IDH1 and IDH2 are mutually
exclusive in gliomas. Although the genetic and epigenetic
landscapes of IDH1 mutation gliomas have been extensively Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86 Page 6 of 9 Fig. 2 Gene Set Enrichment Analysis (GSEA) of overexpressed genes in glioma harboring IDH2 mutations. Each row represents a gene, and each column
indicates a glioma with an IDH2 mutation, IDH1 mutation or IDH1/2 wild-type. Red indicates upregulated genes, and blue indicates downregulated genes. a Expression levels of genes annotated in IDH2 mutant gliomas compared to IDH1 mutant gliomas. b Expression levels of genes annotated in IDH2 mutant
gliomas compared to IDH1/2 wild-type gliomas. c one representative plot of GSEA from a. d-e two representative plots of GSEA from (b) Fig. 2 Gene Set Enrichment Analysis (GSEA) of overexpressed genes in glioma harboring IDH2 mutations. Each row represents a gene, and each column
indicates a glioma with an IDH2 mutation, IDH1 mutation or IDH1/2 wild-type. Red indicates upregulated genes, and blue indicates downregulated genes. a Expression levels of genes annotated in IDH2 mutant gliomas compared to IDH1 mutant gliomas. b Expression levels of genes annotated in IDH2 mutant
gliomas compared to IDH1/2 wild-type gliomas. c one representative plot of GSEA from a. d-e two representative plots of GSEA from (b) Fig. 2 Gene Set Enrichment Analysis (GSEA) of overexpressed genes in glioma harboring IDH2 mutations. Each row represents a gene, and each column
indicates a glioma with an IDH2 mutation, IDH1 mutation or IDH1/2 wild-type. Red indicates upregulated genes, and blue indicates downregulated genes. a Expression levels of genes annotated in IDH2 mutant gliomas compared to IDH1 mutant gliomas. b Expression levels of genes annotated in IDH2 mutant
gliomas compared to IDH1/2 wild-type gliomas. c one representative plot of GSEA from a. d-e two representative plots of GSEA from (b) IDH2 mutation did not correlate with the presence of
PTEN, P53, and ATRX mutations, but a highly significant
positive correlation was observed with the presence of a
1p/19q co-deletion: 44.4 % of IDH2 mutation patients har-
bored a 1p/19q co-deletion. Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86 Discussion In malignant glioma, IDH1
mutations are ubiquitous in tumor cells, and IDH1 muta-
tions precede secondary and tertiary lesions, suggesting
that IDH1 mutations are an early causative event in the studied, whether IDH2 mutation gliomas have unique
genetic and epigenetic characteristics that can be used
as targets for future intervention is unknown. In this report,
we compared the clinical and molecular characteristics of
glioma patients harboring IDH1 and IDH2 mutations. g
g
Like mutations in IDH1, mutations in IDH2 affect a
conserved arginine residue (R172) in the substrate-binding
site of the IDH2 enzyme. In our cohort, the presence of an Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86 Page 7 of 9 Fig. 3 Clustering analysis of DNA methylation in IDH2 mutant gliomas. a The pattern of DNA methylation was associated with IDH2 mutant gliomas
using a one-dimensional hierarchical clustering analysis. b Functional enrichment analysis of associated genes, indicating the functional roles of gene
sets in different subgroups. Enrichment results for biological processes were obtained from the GO database. The orders of biological processes listed
in the histogram are based on the number of targets annotated in the biological process (BP) Fig 3 Clustering analysis of DNA methylation in IDH2 mutant gliomas a Fig. 3 Clustering analysis of DNA methylation in IDH2 mutant gliomas. a The pattern of DNA methylation was associated with IDH2 mutant gliomas
using a one-dimensional hierarchical clustering analysis. b Functional enrichment analysis of associated genes, indicating the functional roles of gene
sets in different subgroups. Enrichment results for biological processes were obtained from the GO database. The orders of biological processes listed
in the histogram are based on the number of targets annotated in the biological process (BP)
Fig. 4 The Kaplan–Meier estimates for Overall survival (OS) (a) and Progression-free survival (PFS) (b) indicates that IDH2 mutant gliomas associated
with longer overall survival (p = 0.011) and longer progression-free survival (p = 0.011) than IDH1/2 wild-type gliomas. However, the OS and PFS did not
significantly differ between IDH1 mutant and IDH2 mutant gliomas Fig. 3 Clustering analysis of DNA methylation in IDH2 mutant gliomas. a The pattern of DNA methylation was associated with IDH2 mutant gliomas
using a one-dimensional hierarchical clustering analysis. b Functional enrichment analysis of associated genes, indicating the functional roles of gene
sets in different subgroups. Enrichment results for biological processes were obtained from the GO database. Abbreviations
CGGA Ch
G 11. Bao ZS, Chen HM, Yang MY, Zhang CB, Yu K, Ye WL, et al. RNA-seq of 272
gliomas revealed a novel, recurrent PTPRZ1-MET fusion transcript in
secondary glioblastomas. Genome Res. 2014;24(11):1765–73. References
l 1. De Carli E, Wang X, Puget S. IDH1 and IDH2 mutations in gliomas. N Engl J
Med. 2009;360:2248. author reply 2249. 2. Wang P, Dong Q, Zhang C, Kuan PF, Liu Y, Jeck WR, et al. Mutations in
isocitrate dehydrogenase 1 and 2 occur frequently in intrahepatic
cholangiocarcinomas and share hypermethylation targets with
glioblastomas. Oncogene. 2013;32:3091–100. 2. Wang P, Dong Q, Zhang C, Kuan PF, Liu Y, Jeck WR, et al. Mutations in
isocitrate dehydrogenase 1 and 2 occur frequently in intrahepatic
cholangiocarcinomas and share hypermethylation targets with
glioblastomas. Oncogene. 2013;32:3091–100. 3. Marcucci G, Maharry K, Wu YZ, Radmacher MD, Mrozek K, Margeson D, et al. IDH1 and IDH2 gene mutations identify novel molecular subsets within de
novo cytogenetically normal acute myeloid leukemia: a Cancer and
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IDH2 mutations are frequent events in central chondrosarcoma and central
and periosteal chondromas but not in other mesenchymal tumours. J
Pathol. 2011;224:334–43. 4. Amary MF, Bacsi K, Maggiani F, Damato S, Halai D, Berisha F, et al. IDH1 and
IDH2 mutations are frequent events in central chondrosarcoma and central
and periosteal chondromas but not in other mesenchymal tumours. J
Pathol. 2011;224:334–43. 5. Shibata T, Kokubu A, Miyamoto M, Sasajima Y, Yamazaki N. Mutant IDH1
confers an in vivo growth in a melanoma cell line with BRAF mutation. Am
J Pathol. 2011;178:1395–402. 6. Louis DN, Ohgaki H, Wiestler OD, Cavenee WK, Burger PC, Jouvet A, et al. The 2007 WHO classification of tumours of the central nervous system. Acta
Neuropathol. 2007;114:97–109. 6. Louis DN, Ohgaki H, Wiestler OD, Cavenee WK, Burger PC, Jouvet A, et al. The 2007 WHO classification of tumours of the central nervous system. Acta
Neuropathol. 2007;114:97–109. Authors’ contributions HYW, KT, TYL conceived of the study and draft the manuscript. WZZ, JYL,
WW, HMH helped to collect the clinical data of patients. MYL, HQW, XZH,
ZYZ helped to performed the statistical analysis. SZZ and YWL participated in
its design. All authors read and approved the final manuscript. Conclusion 7. Weller M, Cloughesy T, Perry JR, Wick W. Standards of care for treatment of
recurrent glioblastoma–are we there yet. Neuro Oncol. 2013;15:4–27. In conclusion, our results describe the clinical and bio-
logical characteristics of IDH1 and IDH2 mutations in gli-
omas. Understanding the underlying biology of the
differences in outcome observed for IDH1 and IDH2 mu-
tant gliomas will be important for future studies and may
lead to the development of novel approaches to therapy. 8. Parsons DW, Jones S, Zhang X, Lin JC, Leary RJ, Angenendt P, et al. An
integrated genomic analysis of human glioblastoma multiforme. Science. 2008;321:1807–12. 9. Shen Y, Zhu YM, Fan X, Shi JY, Wang QR, Yan XJ, et al. Gene mutation
patterns and their prognostic impact in a cohort of 1185 patients with
acute myeloid leukemia. Blood. 2011;118:5593–603. 10. Ward PS, Lu C, Cross JR, Abdel-Wahab O, Levine RL, Schwartz GK, et al. The
potential for isocitrate dehydrogenase mutations to produce 2-
hydroxyglutarate depends on allele specificity and subcellular
compartmentalization. J Biol Chem. 2013;288:3804–15. Discussion The orders of biological processes listed
in the histogram are based on the number of targets annotated in the biological process (BP) Fig. 4 The Kaplan–Meier estimates for Overall survival (OS) (a) and Progression-free survival (PFS) (b) indicates that IDH2 mutant gliomas associated
with longer overall survival (p = 0.011) and longer progression-free survival (p = 0.011) than IDH1/2 wild-type gliomas. However, the OS and PFS did not
significantly differ between IDH1 mutant and IDH2 mutant gliomas Fig. 4 The Kaplan–Meier estimates for Overall survival (OS) (a) and Progression-free survival (PFS) (b) indicates that IDH2 mutant gliomas associated
with longer overall survival (p = 0.011) and longer progression-free survival (p = 0.011) than IDH1/2 wild-type gliomas. However, the OS and PFS did not
significantly differ between IDH1 mutant and IDH2 mutant gliomas Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86 Page 8 of 9 Page 8 of 9 Page 8 of 9 genesis of gliomas [15–17]. A pathology study of multiple
biopsies from the same patient found that IDH1 muta-
tions occurred before the acquisition of P53 mutations
and 1p/19q loss of heterozygosity (LOH) [16], suggesting
that IDH1 mutations may result in cellular stress that
leads to the mutation of P53 and 1p/19q loss. However,
IDH2 mutations and PTEN, P53 and ATRX mutations
were mutually exclusive, suggesting that the microenvir-
onment of IDH2 mutations may not create cellular stress
that leads to the other mutations, which needs further re-
search to fully elucidate. Abbreviations
CGGA: Chinese Glioma Genome Atlas; GSEA: gene set enrichment analysis;
IDH1: isocitrate dehydrogenase 1; IDH2: isocitrate dehydrogenase 2;
OS: overall survival; PFS: progression-free survival; sGBM: secondary
glioblastomas. 8.
Parsons DW, Jones S, Zhang X, Lin JC, Leary RJ, Angenendt P, et al. An
integrated genomic analysis of human glioblastoma multiforme. Science.
2008;321:1807–12. Author details
1 1Department of Neurosurgery, Zhujiang Hospital, Southern Medical
University, 253# Gongye Road, Guangzhou, China. 2Department of
Neurosurgery, Beijing Tiantan Hospital, Capital Medical University, No. 6
TiantanXili, Dongcheng District, Beijing 100050, China. 3The National Key
Clinical Specialty. The Engineering Technology Research Center of Education
Ministry of China Guangdong Provincial Key Laboratory on Brain Function
Repair and Regeneration Department of Neurosurgery, Zhujiang Hospital,
Southern Medical University, Guangzhou, China. 4Beijing Neurosurgical
Institute, Capital Medical University, Beijing, China. 5Chinese Glioma
Cooperative Group (CGCG), Beijing, China. 6Center for Brain Disorders
Research, Capital Medical University, Beijing 100069, China. y
Tumor cells often take up nutrients in excess of their
bioenergetic needs and shunt metabolites into pathways
that support tumor progression [18–20]. During cell pro-
liferation, tumor cells depend on aerobic glycolysis to
meet their bioenergy needs and generate intermediates for
macromolecule biosynthesis. One study demonstrated
that glioma cells harboring mutant IDH1 may maintain
cell proliferation via the glutamate metabolism pathway
[21]. In our study, GSEA was performed for IDH2 and
IDH1 mutations, yielding enriched gene sets related to
oxidative phosphorylation, which is critical to tricarboxylic
acid (TCA) cycle, in the IDH2 mutation subset. This find-
ing corroborates that of a previous study [22, 23]. IDH2 is
localized in the mitochondria and participates in the TCA
to produce energy, whereas IDH1 is localized in the cyto-
plasm and peroxisomes [24]. Consequently, does energy
production in IDH2-mutated gliomas favor oxidative
phosphorylation over aerobic glycolysis? These interesting
findings should be verified in more cases before accepting
them as general characteristics of IDH2-mutated gliomas. Future work should focus on the potential of therapeutic-
ally targeting compensatory metabolic pathways in IDH2-
mutant gliomas. Received: 24 February 2016 Accepted: 17 May 2016 Received: 24 February 2016 Accepted: 17 May 2016 Competing interests The authors declare that they have no competing interests. 7.
Weller M, Cloughesy T, Perry JR, Wick W. Standards of care for treatment of
recurrent glioblastoma–are we there yet. Neuro Oncol. 2013;15:4–27. 13.
Cai J, Chen J, Zhang W, Yang P, Zhang C, Li M, et al. Loss of ATRX,
associated with DNA methylation pattern of chromosome end, impacted
biological behaviors of astrocytic tumors. Oncotarget. 2015;6:18105–15. 6.
Louis DN, Ohgaki H, Wiestler OD, Cavenee WK, Burger PC, Jouvet A, et al.
The 2007 WHO classification of tumours of the central nervous system. Acta
Neuropathol. 2007;114:97–109. Acknowledgments 12. Zhang W, Yan W, You G, Bao Z, Wang Y, Liu Y, et al. Genome-wide DNA
methylation profiling identifies ALDH1A3 promoter methylation as a
prognostic predictor in G-CIMP- primary glioblastoma. Cancer Lett. 2013;
328:120–5. This study was funded by the following grants: 1. Guangdong Provincial Clinical
Medical Centre for Neurosurgery (No. 2013B020400005). 2. Beijing science and
technology plan (No. Z131100006113018). 3. National Natural Science Foundation
of China (No. 81371397, 91229121, 81272804, 81071011). 4. National High
Technology Research and Development Program (No. 2012AA02A508),
International Science and Technology Cooperation Program (No.2012DFA30470). 5. National High Technology Research and Development Program
(No. 2012AA02A508). This study was funded by the following grants: 1. Guangdong Provincial Clinical
Medical Centre for Neurosurgery (No. 2013B020400005). 2. Beijing science and
technology plan (No. Z131100006113018). 3. National Natural Science Foundation
of China (No. 81371397, 91229121, 81272804, 81071011). 4. National High
Technology Research and Development Program (No. 2012AA02A508),
International Science and Technology Cooperation Program (No.2012DFA30470). 5. National High Technology Research and Development Program
(No. 2012AA02A508). 13. Cai J, Chen J, Zhang W, Yang P, Zhang C, Li M, et al. Loss of ATRX,
associated with DNA methylation pattern of chromosome end, impacted
biological behaviors of astrocytic tumors. Oncotarget. 2015;6:18105–15. 14. Subramanian A, Tamayo P, Mootha VK, Mukherjee S, Ebert BL, Gillette MA,
et al. Gene set enrichment analysis: a knowledge-based approach for 14. Subramanian A, Tamayo P, Mootha VK, Mukherjee S, Ebert BL, Gillette MA,
et al. Gene set enrichment analysis: a knowledge-based approach for Page 9 of 9 Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86 interpreting genome-wide expression profiles. Proc Natl Acad Sci U S A. 2005;102:15545–50. interpreting genome-wide expression profiles. Proc Natl Acad Sci U S A. 2005;102:15545–50. 15. Lai A, Kharbanda S, Pope WB, Tran A, Solis OE, Peale F, et al. Evidence for
sequenced molecular evolution of IDH1 mutant glioblastoma from a
distinct cell of origin. J Clin Oncol. 2011;29:4482–90. distinct cell of origin. J Clin Oncol. 2011;29:4482–90. 16. Watanabe T, Nobusawa S, Kleihues P, Ohgaki H. IDH1 mutations are early
events in the development of astrocytomas and oligodendrogliomas. Am J
Pathol. 2009;174:1149–53. 17. Wakimoto H, Tanaka S, Curry WT, Loebel F, Zhao D, Tateishi K, et al. Targetable signaling pathway mutations are associated with malignant
phenotype in IDH-mutant gliomas. Clin Cancer Res. 2014;20:2898–909. 18. Benjamin DI, Cravatt BF, Nomura DK. Global profiling strategies for mapping
dysregulated metabolic pathways in cancer. Wang et al. Journal of Experimental & Clinical Cancer Research (2016) 35:86 Acknowledgments Cell Metab. 2012;16:565–77. 19. Qin LS, Jia PF, Zhang ZQ, Zhang SM. ROS-p53-cyclophilin-D signaling
mediates salinomycin-induced glioma cell necrosis. J Exp Clin Cancer Res. 2015;34:57. 20. Cheng Z, Wang HZ, Li X, Wu Z, Han Y, Li Y, et al. MicroRNA-184 inhibits cell
proliferation and invasion, and specifically targets TNFAIP2 in Glioma. J Exp
Clin Cancer Res. 2015;34:27. 21. Seltzer MJ, Bennett BD, Joshi AD, Gao P, Thomas AG, Ferraris DV, et al. Inhibition of glutaminase preferentially slows growth of glioma cells with
mutant IDH1. Cancer Res. 2010;70:8981–7. 22. Waitkus MS, Diplas BH, Yan H. Isocitrate dehydrogenase mutations in
gliomas. Neuro Oncol. 2016;18(1):16–26. 23. Reitman ZJ, Jin G, Karoly ED, Spasojevic I, Yang J, Kinzler KW, et al. Profiling
the effects of isocitrate dehydrogenase 1 and 2 mutations on the cellular
metabolome. Proc Natl Acad Sci U S A. 2011;108:3270–5. 24. Xu X, Zhao J, Xu Z, Peng B, Huang Q, Arnold E, et al. Structures of human
cytosolic NADP-dependent isocitrate dehydrogenase reveal a novel self-
regulatory mechanism of activity. J Biol Chem. 2004;279:33946–57. • We accept pre-submission inquiries
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https://openalex.org/W2400185022
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https://link.springer.com/content/pdf/10.1007/s00210-016-1239-1.pdf
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English
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Febuxostat, a novel xanthine oxidoreductase inhibitor, improves hypertension and endothelial dysfunction in spontaneously hypertensive rats
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Naunyn-Schmiedeberg's archives of pharmacology
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cc-by
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* Takashi Shirakura
t.shirakura@teijin.co.jp Naunyn-Schmiedeberg's Arch Pharmacol (2016) 389:831–838
DOI 10.1007/s00210-016-1239-1 Naunyn-Schmiedeberg's Arch Pharmacol (2016) 389:831–838
DOI 10.1007/s00210-016-1239-1 ORIGINAL ARTICLE 2
Division of Endocrinology, Diabetes and Metabolism, Hematology,
Rheumatology (Second Department of Internal Medicine), Graduate
School of Medicine, University of the Ryukyus, Nishihara, Okinawa,
Japan 1
Pharmaceutical Development Research Laboratories, Teijin Institute
for Bio-Medical Research, Teijin Pharma Ltd., 4-3-2, Asahigaoka,
Hino 191-852, Tokyo, Japan Abbreviations Abbreviations
ACh
Acetylcholine
NAD
Nicotinamide adenine dinucleotide
NO
Nitric oxide
ROS
Reactive oxygen species
SBP
Systolic blood pressure
SHR
Spontaneously hypertensive rat
SNP
Sodium nitroprusside
WKY
Wistar-Kyoto
XDH
Xanthine dehydrogenase
XO
Xanthine oxidase
XOR
Xanthine oxidoreductase Abbreviations
ACh
Acetylcholine
NAD
Nicotinamide adenine dinucleotide
NO
Nitric oxide
ROS
Reactive oxygen species
SBP
Systolic blood pressure
SHR
Spontaneously hypertensive rat
SNP
Sodium nitroprusside
WKY
Wistar-Kyoto
XDH
Xanthine dehydrogenase
XO
Xanthine oxidase
XOR
Xanthine oxidoreductase Abbreviations
ACh
Acetylcholine
NAD
Nicotinamide adenine dinucleotide
NO
Nitric oxide
ROS
Reactive oxygen species
SBP
Systolic blood pressure
SHR
Spontaneously hypertensive rat
SNP
Sodium nitroprusside
WKY
Wistar-Kyoto
XDH
Xanthine dehydrogenase
XO
Xanthine oxidase
XOR
Xanthine oxidoreductase Febuxostat, a novel xanthine oxidoreductase inhibitor, improves
hypertension and endothelial dysfunction in spontaneously
hypertensive rats Takashi Shirakura1 & Johji Nomura1 & Chieko Matsui1 &
Tsunefumi Kobayashi1 & Mizuho Tamura1 & Hiroaki Masuzaki2 Received: 11 February 2016 /Accepted: 28 March 2016 /Published online: 20 May 2016
# The Author(s) 2016. This article is published with open access at Springerlink.com Abstract Xanthine oxidase (XO) is an enzyme responsible
for the production of uric acid. XO produces considerable
amount of oxidative stress throughout the body. To date,
however, its pathophysiologic role in hypertension and endo-
thelial dysfunction still remains controversial. To explore the
possible involvement of XO-derived oxidative stress in the
pathophysiology of vascular dysfunction, by use of a selective
XO inhibitor, febuxostat, we investigated the impact of phar-
macological inhibition of XO on hypertension and vascular
endothelial dysfunction in spontaneously hypertensive rats
(SHRs). Sixteen-week-old SHR and normotensive Wistar-
Kyoto (WKY) rats were treated with tap water (control) or
water containing febuxostat (3 mg/kg/day) for 6 weeks. Systolic blood pressure (SBP) in febuxostat-treated SHR
(220±3 mmHg) was significantly (P<0.05) decreased com-
pared with the control SHR (236±4 mmHg) while SBP in
febuxostat-treated WKY was constant. Acetylcholine-
induced endothelium-dependent relaxation in aortas from
febuxostat-treated SHR was significantly (P<0.05) improved
compared with the control SHR, whereas relaxation in
re-
sponse to sodium nitroprusside was not changed. Vascular XO
activity and tissue nitrotyrosine level, a representative indica-
tor of local oxidative stress, were considerably elevated in the control SHR compared with the control WKY, and this incre-
ment was abolished by febuxostat. Our results suggest that
exaggerated XO activity and resultant increase in oxidative
stress in this experimental model contribute to the hyperten-
sion and endothelial dysfunction, thereby supporting a notion
that pharmacological inhibition of XO is valuable not only for
hyperuricemia but also for treating hypertension and related
endothelial dysfunction in human clinics. control SHR compared with the control WKY, and this incre-
ment was abolished by febuxostat. Our results suggest that
exaggerated XO activity and resultant increase in oxidative
stress in this experimental model contribute to the hyperten-
sion and endothelial dysfunction, thereby supporting a notion
that pharmacological inhibition of XO is valuable not only for
hyperuricemia but also for treating hypertension and related
endothelial dysfunction in human clinics. Keywords Xanthine oxidase . Febuxostat . Endothelial
dysfunction . Hypertension Keywords Xanthine oxidase . Febuxostat . Endothelial
dysfunction . Hypertension Animals and treatments Because of its ability to generate reactive oxygen species
(ROS), the role of XOR has long been investigated in a wide
variety of ROS-related diseases (Boueiz et al. 2008). Male SHRs and age-matched Wistar-Kyoto (WKY) rats
weighing 200–300 g were purchased from Charles River
Japan (Yokohama, Japan) and were maintained under
stan-
dard conditions until the experiments were done. All studies
were performed in accordance with procedures
approved by
the Animal Ethics Committee of the Teijin Institute for Bio-
Medical Research Institute, Teijin Pharma Limited, Tokyo,
Japan. Hypertension is a major risk for cardiovascular diseases. A
large body of evidence suggests that locally exaggerated ox-
idative stress is profoundly involved in the pathophysiology of
hypertension (Nickenig and Harrison 2002; Ceriello 2008;
Cutler et al. 2008; Grossman 2008). In accordance with this
notion, augmented oxidative stress has been implicated in
vascular dysfunction of several models of experimental hyper-
tension ((Fukui et al. 1997; Kerr et al. 1999; Tanito et al. 2004;
Touyz 2004). In particular, endothelial dysfunction is a hall-
mark of hypertension (Lockette et al. 1986; Morawietz et al. 2001; Landmesser et al. 2003), which is also evoked by ox-
idative stress. As one of underlying mechanisms, it is
sug-
gested that oxidative stress reduces bioavailability and bioac-
tivity of nitric oxide (NO), a potent endothelium-derived
relaxing factor (Li et al. 2013). Four groups of rats were used in this study: (1) WKY
control rats (WKY-C), (2) febuxostat-treated WKY rats
(WKY-Fx), (3) control SHR (SHR-C), and (4) febuxostat-
treated SHR (SHR-Fx). WKY-C and SHR-C groups were
given tap water. The WKY-Fx and SHR-Fx groups were given
febuxostat dissolved in drinking water ad libitum at a concen-
tration of 0.03 mg/L. At this concentration, the dose of
febuxostat per day calculated by the daily water intake and
body weight was approximately 3 mg/kg/day. As a matter of
fact, we recently found that single oral administration of
febuxostat at 1, 3, and 10 mg/kg to rats showed dose-
dependent inhibition of XO activity in plasma and aorta (data
not shown). It should be noted that repeated administration of
XO inhibitor at high dose in rodents results in death, partly
because xanthine calculi caused renal impairment due to inhi-
bition of XOD/XDH (Isa et al. 1968). According to this no-
tion, oral administration of febuxostat at 10 mg/kg for 28 days
caused calculi in 1 of 30 animals (Horiuchi et al. 1999). Blood pressure measurement SBP was measured using a tail-cuff sphygmomanometer
(Visitech BP2000, Visitech Systems, Apex, NC). All animals
were acclimated for blood pressure measurements 1 week
before drug treatment. Materials and methods tissue ischemia and tissue damage (Harrison 2002), it can be
converted into an oxidase (xanthine oxidase (XO)) using mo-
lecular oxygen as the electron acceptor. Introduction Xanthine oxidoreductase (XOR) catalyzes the oxidation of
hypoxanthine to xanthine and on to uric acid, which are the
final reactions of purine catabolism in humans. Under
phys-
iological conditions, the enzyme functions mainly as a dehy-
drogenase (XDH) and uses NAD+ as the electron acceptor. Noticeably, under a variety of pathologic conditions such as 832 Naunyn-Schmiedeberg's Arch Pharmacol (2016) 389:831–838 Animals and treatments In this
context, to achieve the maximal inhibition of XO and avoid
possible renal damages, we carefully selected 3 mg/kg/day as
a dose of febuxostat. The febuxostat treatment was started at
16 weeks of age and carried out for 6 weeks. Systolic blood
pressures (SBPs) were measured before and 2, 4, and 6 weeks
during the drug treatment. Vascular function, XO activity, and
other biochemical parameters were determined at 6 weeks. Based on the notion that XO produces ROS, it is reasonable
to speculate that XO would ameliorate hypertension and as-
sociated endothelial dysfunction. However, conflicting
re-
sults have been reported depending on the experimental hy-
pertensive models (Tian et al. 2005; Zhang et al. 2005;
Yamamoto et al. 2006; Ong et al. 2007; Viel et al. 2008). It
also should be noted that most of previous studies used
al-
lopurinol to attain the pharmacological XO inhibition. Importantly, allopurinol is a classic suicide inhibitor, as its
binding to and reduction of the Mo cofactor induce self-
oxidation to form oxypurinol, an active inhibitory metabolite. Reduction of the Mo cofactor by allopurinol leads to ROS
production (Galbusera et al. 2006). On the other hand, allopu-
rinol is known to exert radical scavenging effect due to its
chemical structure (Augustin et al. 1994). For these reasons,
it seems to be hard to precisely evaluate the pharmacological
effect of XO inhibition by allopurinol. In contrast, febuxostat
is a novel, selective, and potent XO inhibitor with non-purine
structure for treating gout in human clinics. Unlike allopuri-
nol, febuxostat does not produce or scavenge ROS by its
chemical structure, because it is neither a suicide XO inhibitor
nor a radical scavenger (Okamoto et al. 2003). In this sense,
febuxostat would be better tool to resolve the issue whether
pharmacological XO inhibition reduces blood pressure and
improves the endothelial dysfunction in experimental models. To explore the possible involvement of XO-derived
ox-
idative stress in the pathophysiology of vascular
dys-
function, we evaluated the impact of febuxostat on hyper-
tension and vascular endothelial dysfunction in spontane-
ously hypertensive rats (SHRs), representative animal
model of human essential or primary hypertension
(Zicha and Kunes 1999). Oxidative stress measurement Tissues were weighed and homogenized with 0.05 M potas-
sium phosphate buffer, pH 7.4, containing 1 mM EDTA and
protease inhibitors. Homogenates were centrifuged at 12,
000 rpm for 15 min at 4 °C, and the supernatants were
col-
lected and used for assay. The measurement of nitrotyrosine
was performed by using a commercially
available
nitrotyrosine assay kit (Northwest Life Science, CA, USA)
according to the manufacturer’s instructions. Systolic blood pressure SBP in the SHR-C group was significantly higher compared
to that in the WKY-C group. Febuxostat treatment significant-
ly (P<0.05) decreased SBP in the SHRs (236±4 mmHg in
SHR-C, 220±3 mmHg in SHR-Fx, Fig. 1), while it did not
alter SBP in the WKY rats after 6-week treatment (164
±7 mmHg in WKY-C, 156±9 mmHg in WKY-Fx, Fig. 1). Following equilibration, the rings were repeatedly exposed
to 60 mM KCl, and then, the presence of endothelium was
verified by the ability of acetylcholine (ACh, 1×10−6 M) to
relax phenylephrine (PE, 1 ×10−7 M)-induced contraction. After washout, endothelium-mediated relaxation was
mea-
sured as a concentration-response curve to ACh (1×10−10–
1×10−4 M) in rings contracted with the submaximal dose of
PE (5×10−7 M). Endothelium-independent
relaxation was
also measured as a concentration-response curve to sodium
nitroprusside (SNP) (1×10−10–1×10−4 M). General conditions of animals The animals were sacrificed at the end of the 6-week study by
decapitation under pentobarbital anesthesia. The thoracic aor-
ta was isolated carefully and cut into 3-mm-length ring. The
ring segments were mounted in organ baths containing 5 mL
of Krebs-Henseleit solution aerated with 95 % O2 and 5 %
CO2 and warmed at 37 °C. The composition of
Krebs-
Henseleit solution is as follows (mM): NaCl (119), KCl
(4.7), CaCl2 (2.5), MgSO4 (1.2), NaHCO3 (25), KH2PO4
(1.2), and glucose (10); pH7.4. Each ring was
connected to
a force transducer (FD, NIHON KODEN, Tokyo, Japan) for
isometric force recording. The rings were stretched to 2 g of
optimal tension and equilibrated for 60 min until a stable
baseline tone was obtained. Febuxostat treatment did not alter the body weight in both
WKY rats and SHRs. The plasma uric acid levels were similar
in WKY-C and SHR-C groups (Table 1). Febuxostat treatment
significantly decreased plasma uric acid levels in both WKY
rats and SHRs to the same extent (0.9±0.1 mg/dL in WKY-C,
0.5±0.1 mg/dL in WKY-Fx, 1.0±0.1 mg/dL in SHR-C, and
0.5±0.1 mg/dL in SHR-Fx; Table 1). Plasma uric acid level Plasma uric acid levels were determined by an enzymatic
method based on the uricase-peroxidase system
(PUREAUTO® S CRE-N, Sekisui Medical Co. Ltd., Japan). Vascular oxidative stress To investigate the therapeutic effect of febuxostat on oxidative
stress, we examined the tissue nitrotyrosine level. Nitrotyrosine, a marker of nitro-oxidative stress in the thoracic
aorta of SHRs, was significantly higher than that of WKY rats
(Fig. 3). The treatment with febuxostat lowered nitrotyrosine
concentration in both strains (Fig. 3). Xanthine oxidase activity Plasma and tissue XO activities were measured by the pterin-
based assay. In brief, frozen tissues were homogenized with
potassium phosphate buffer, pH 7.4, containing 1 mM ethyl-
enediaminetetraacetic acid (EDTA) and protease inhibitors. The homogenates were centrifuged 12,000 rpm for 15 min
at 4 °C, and supernatants were co-incubated with 50-μM Naunyn-Schmiedeberg's Arch Pharmacol (2016) 389:831–838 833 pterin solution to assay XO activity. After 60-min incubation
at 37 °C, fluorometric assays were performed to calculate the
production of isoxanthopterin. Activity of purified XO
de-
rived from buttermilk (Calbiochem) and protein concentration
were measured and used to normalize the sample activity. Statistical calculations for significant differences were
per-
formed by using Student’s t test. Significance was accepted at
P<0.05. Vascular and plasma xanthine oxidase activity XO activity in the thoracic aorta of SHRs was significantly
higher than that of WKY rats (Fig. 2a). The treatment with
febuxostat lowered this activity in both strains (957±214 μU/
mg protein in WKY-C, 463±114 μU/mg protein in WKY-Fx,
2549±427 μU/mg protein in SHR-C, and 805±73 μU/mg
protein in SHR-Fx, Fig. 2a). Similarly, the level of XO activity
in plasma of SHRs was significantly higher than that of WKY
rats (Fig. 2b). Treatment with febuxostat reduced this activity
in both strains (80.5±2.2 mU/mL in WKY-C, 19.0±2.5 mU/
mL in WKY-Fx, 113.4 ±6.4 mU/mL in SHR-C, and 31.7
±2.1 mU/mL in SHR-Fx, Fig. 2b). Improvement in hypertension and endothelial dysfunction Our results showed that the therapeutic dose of
febuxostat appropriate for hyperuricemia significantly
ameliorated hypertension in SHR. On the other hand, a
couple of studies showed that chronic treatment with
allopurinol, a classic type of XO inhibitor, failed to
lower blood pressure in SHRs (Trachtman et al. 1991;
Laakso et al. 1998, 2004; Yamamoto et al. 2006). With
respect to the possible mechanisms for the inconsistent
results between the two XO inhibitors, a couple of pos-
sibilities are raised as follows. First, allopurinol does
produce oxidative stress when metabolized to oxypurinol
as described above (Galbusera et al. 2006), while
febuxostat does not. Second, both allopurinol and
oxypurinol showed the limitation to inhibit the
endothelial-binding xanthine oxidase (Kelley et al. 2004; Malik et al. 2011). Third, allopurinol has been
shown to be more nephrotoxic in SHR than in WKY,
thereby masking its beneficial effect on hypertension
(Trachtman et al. 1991). These may explain, at least in
part, the difference in impact on hypertension of SHR
between allopurinol and febuxostat. the thoracic aorta was attenuated in SHR compared to that of
WKY rats (P<0.01, Fig. 4a). Febuxostat treatment restored
the endothelium-dependent relaxation in comparison to the
untreated SHRs (P < 0.05, Fig. 4a). The endothelium-
independent relaxation measured using SNP, a direct NO do-
nor, was similar in SHRs and WKY rats (Fig. 4b). Febuxostat
treatment did not alter the relaxation in response to SNP in
both WKY rats and SHRs. the thoracic aorta was attenuated in SHR compared to that of
WKY rats (P<0.01, Fig. 4a). Febuxostat treatment restored
the endothelium-dependent relaxation in comparison to the
untreated SHRs (P < 0.05, Fig. 4a). The endothelium-
independent relaxation measured using SNP, a direct NO do-
nor, was similar in SHRs and WKY rats (Fig. 4b). Febuxostat
treatment did not alter the relaxation in response to SNP in
both WKY rats and SHRs. Discussion By using a novel, selective xanthine oxidase inhibitor
febuxostat, the present study aimed to investigate the
ther-
apeutic effects of pharmacological inhibition of XO on hyper-
tension and endothelial dysfunction in SHRs. Our data dem-
onstrated that the therapeutic dose of febuxostat appropriate
for hyperuricemia considerably decreased the SBP,
reduced
the vascular and plasma XO activity, suppressed the vascular
nitrotyrosine level, and improved endothelial
dysfunction in
SHR. XO inhibitors such as tungsten and allopurinol have been
reported to improve endothelial dysfunction in several animal
models and human diseases such as atherosclerosis and cor-
onary heart disease (Schroder et al. 2006; Dopp et al. 2011;
George et al. 2006; Yiginer et al. 2008). Our recent work
demonstrated that febuxostat improved endothelial dysfunc-
tion also in high-fat diet-induced obese diabetic mice
(Masuzaki et al., manuscript submitted). Based on our results
in various experimental hypertension models, XO inhibitors
may exert favorable effects in several types of endothelial
dysfunction. Vascular reactivity Data are expressed as mean±SEM. The responses to ACh and
SNP are expressed as percentages of PE contraction. Finally, we evaluated the effect of febuxostat on endothelial
function. ACh-induced endothelium-dependent relaxation in Naunyn-Schmiedeberg's Arch Pharmacol (2016) 389:831–838 834 Table 1
Body weight and plasma uric acid
WKY-C
WKY-Fx
SHR-C
SHR-Fx
BW (g)
376 ± 5
370 ± 6
384 ± 4
387 ± 4
Uric acid (mg/dL)
0.9 ± 0.1
0.5 ± 0.1**
1.0 ± 0.1NS
0.5 ± 0.1##
Values are means ± SEM (n = 9∼10 per group)
NS not significant WKY-C vs SHR-C, Student’s t test
**P < 0.01 WKY-C vs WKY-Fx, ##P < 0.01 SHR-C vs SHR-Fx Table 1
Body weight and plasma uric acid Mechanism of action of XO inhibition Time (weeks)
Systolic blood pressure
(mm Hg)
0
2
4
6
300
350
200
150
100
SHR-C
SHR-Fx
WKY-C
WKY-Fx
**
*
NS
Fig. 1 Systolic blood pressure (SBP) in untreated and febuxostat-treated
(3 mg/kg/day) spontaneously hypertensive rats and WKY rats. Values are
means ± SEM (n = 4∼5 per group). *P < 0.05, **P < 0.01 SHR-C vs
SHR-Fx, NS not significant WKY-C vs WKY-Fx, Student’s t test Time (weeks)
Systolic blood pressure
(mm Hg)
0
2
4
6
300
350
200
150
100
SHR-C
SHR-Fx
WKY-C
WKY-Fx
**
*
NS In the present study, XO activities in both aorta and plasma
from SHRs were significantly elevated as compared to that
of WKY rats. Importantly, treatment of febuxostat substan-
tially lowered aorta and plasma XO activities in both
strains. Circulating XO binds to glycosaminoglycan resi-
dues on the surface of endothelium in a partially heparin-
reversible manner and subsequently translocates to intra-
cellular compartments (Radi et al. 1997; Houston et al. 1999). Although mechanisms whereby plasma XO activity
is elevated in SHRs are not yet entirely clarified, it has
been reported that XO is released from several organs into
systemic circulation in a line of pathophysiology including
hepatitis, hemorrhagic shock, sickle cell disease, and
is-
chemia reperfusion (Yokoyama et al. 1990; Tan et al. 1998;
Aslan et al. 2001). SHRs represent a variety of organ dam-
ages related to severe hypertension (Liu et al. 2011; Boon Systolic blood pressure Time (weeks) Fig. 1 Systolic blood pressure (SBP) in untreated and febuxostat-treated
(3 mg/kg/day) spontaneously hypertensive rats and WKY rats. Values are
means ± SEM (n = 4∼5 per group). *P < 0.05, **P < 0.01 SHR-C vs
SHR-Fx, NS not significant WKY-C vs WKY-Fx, Student’s t test Naunyn-Schmiedeberg's Arch Pharmacol (2016) 389:831–838 835 Fig. 2 Xanthine oxidase activity
in aorta (a) and plasma (b)
obtained from spontaneously
hypertensive rats and WKY rats. Values are means ± SEM (n = 6
per group). tP < 0.05, ttP < 0.01
WKY-C vs WKY-Fx, **P < 0.01
WKY-C vs SHR-C, ##P < 0.01
SHR-C vs SHR-Fx, Student’s t
test pathophysiological conditions (Pacher et al. 2002a, b,
2005; Szabo et al. 2002a, b, 2004; Ungvari et al. 2005). Hence, suppression of peroxynitrite by febuxostat is also
beneficial to ameliorate endothelial dysfunction. et al. 2013). Therefore, XO derived from damaged organs
may contribute to the elevation of plasma and vascular XO
activities in SHRs. Mechanism of action of XO inhibition Our data demonstrated that endothelial relaxation by
ACh was improved in febuxostat-treated SHRs compared
with the vehicle-treated SHRs, while the response to SNP in
aorta was unaltered. Enhanced ACh-induced relaxation in
vascular endothelium by febuxostat is attributed, at least
partly, to the increase in NO response, resulting from the
scavenge of NO by ROS, which reacts rapidly with NO to
form peroxynitrite (Trujillo et al. 1998). To assess the in-
volvement of NO scavenge in this experimental paradigm,
we measured vascular nitrotyrosine levels. Protein
nitrosylation is a representative indicator of peroxynitrite
formation in vascular tissues. As expected, SHRs showed
significantly elevated nitrotyrosine levels in the aortic ho-
mogenate as compared to WKY rats, which were norma-
lized by the treatment of febuxostat. Thus, the data suggest
that febuxostat attenuates NO scavenge and subsequently
increases the availability of NO. Furthermore, peroxynitrite
per se induces endothelial and tissue injuries in various It is well documented that elevation of serum uric acid
per se is a potent risk for dysfunction of kidney and vas-
cular system, resulting in hypertension (Sundstrom et al. 2005; Galbusera et al. 2006; Krishnan et al. 2007; Grayson
et al. 2011). In animal models, hyperuricemia in rats leads
to increase in blood pressure, while the alleviation of hy-
peruricemia with urate-lowering drugs including
benzbromarone leads to the reversal of hypertension
(Mazzali et al. 2001; Nakagawa et al. 2003; Sanchez-
Lozada et al. 2008a, b). In clinical settings, reduction of
uric acid with allopurinol in hyperuricemic, hypertensive
adolescents did ameliorate blood pressure profile (Feig et
al. 2008). In contrast to these findings, the present study
used SHRs and the control normotensive WKY rats and
compared the results to minimize the possible influence
of uric acid-dependent actions, because the serum uric acid
level in SHRs is similar to WKY rats (Trachtman et al. 1991; Durante et al. 2010). Treatment of febuxostat
equipotently lowers plasma uric acid levels in both WKY
rats and SHRs and ameliorated hypertension in SHRs, sug-
gesting that the BP-lowering effects of febuxostat are
caused by the suppression of ROS production independent
of the lowering effect on plasma uric acid. Comparison
study using XO inhibitors and other hypouricemic agents
such as benzbromarone would be required to test this
hypothesis. t
Fig. 3 Effect of febuxostat on vascular nitrotyrosine levels in untreated
and febuxostat-treated (3 mg/kg/day) spontaneously hypertensive rats
and WKY rats. Mechanism of action of XO inhibition Values are means ± SEM (n = 6 per group). tP < 0.05
WKY-C vs WKY-Fx, **P < 0.01 WKY-C vs SHR-C, ##P < 0.01 SHR-
C vs SHR-Fx, Student’s t test t Study limitations In the present study, the dose of febuxostat was limited to
about 3 mg/kg/day, because the higher dose of febuxostat
highly causes xanthine calculi as described (Isa et al. 1968). As a matter of fact, febuxostat at 3 mg/kg/day could
not attain the complete inhibition of XO systemically in
this study. Therefore, we could not assess the maximal Fig. 3 Effect of febuxostat on vascular nitrotyrosine levels in untreated
and febuxostat-treated (3 mg/kg/day) spontaneously hypertensive rats
and WKY rats. Values are means ± SEM (n = 6 per group). tP < 0.05
WKY-C vs WKY-Fx, **P < 0.01 WKY-C vs SHR-C, ##P < 0.01 SHR-
C vs SHR-Fx, Student’s t test Naunyn-Schmiedeberg's Arch Pharmacol (2016) 389:831–838 836 0
25
50
75
100
Relative Relaxation (%)
SNP
WKY-C
WKY-Fx
SHR-C
SHR-Fx
Log [SNP(M)]
b
-
-10
-9
-8
-7
-6
-5
-4
-3
11 ACh
-
-10
-9
-8
-7
-6
-5
-4
-3
0
0
25
25
50
50
75
75
100
100
Log [ACh(M)]
Relative Relaxation (%)
Relative Relaxation (%)
**
#
SNP
WKY-C
WKY-Fx
SHR-C
SHR-Fx
Log [SNP(M)]
a
b
11
-
-10
-9
-8
-7
-6
-5
-4
-3
11
Fig. 4 Concentration-response curves to a acetylcholine and b sodium
nitroprusside in aortic rings isolated from untreated and febuxostat-
treated spontaneously hypertensive rats and WKY rats. Values are
means ± SEM (n = 4∼5 per group). **P < 0.01 WKY-C vs SHR-C,
#P < 0.05 vs SHR-C, Student’s t test ACh
-
-10
-9
-8
-7
-6
-5
-4
-3
0
25
50
75
100
Log [ACh(M)]
Relative Relaxation (%)
**
#
a
11 ACh
-
-10
-9
-8
-7
-6
-5
-4
-3
0
25
50
75
100
Log [ACh(M)]
Relative Relaxation (%)
**
#
a
11
Fig. 4 Concentration-response curves to a acetylcholine and b sodium
nitroprusside in aortic rings isolated from untreated and febuxostat-
treated spontaneously hypertensive rats and WKY rats. Values are 0
25
50
75
100
Relative Relaxation (%)
SNP
WKY-C
WKY-Fx
SHR-C
SHR-Fx
Log [SNP(M)]
b
-
-10
-9
-8
-7
-6
-5
-4
-3
11
means ± SEM (n = 4∼5 per group). **P < 0.01 WKY-C vs SHR-C,
#P < 0.05 vs SHR-C, Student’s t test a Relative Relaxation (%) means ± SEM (n = 4∼5 per group). **P < 0.01 WKY-C vs SHR-C,
#P < 0.05 vs SHR-C, Student’s t test Fig. Compliance with ethical standards Funding
This research was supported by Teijin Pharma Limited. Conflict of interest
Dr. Masuzaki declares no conflicts of interest. Dr. Masuzaki is supported in part by Grants-in-Aid from the Ministry
of Education, Culture, Sports, Science and Technology of Japan (MEXT)
KAKENHI [Grant 24591338, (2012∼2014)] and by Special Account
Budget for Education and Research (2011∼2015) granted by the Japan
Ministry of Education, Culture, Sports, Science and Technology of Japan. Ethical approval
All procedures performed in studies involving ani-
mals were in accordance with the ethical standards of the Teijin Institute
for Bio-Medical Research Institute, Teijin Pharma Limited, Tokyo, Japan. With respect to the prediction of clinical efficacy of XO
inhibition, we should be careful about extrapolating the results
in experimental animals to humans. Importantly, unlike
humans, almost all animals including rodents have uricase, a
urate oxidase enzyme. Although few animal species that mim-
ic uric acid metabolism in humans are known (Oda et al. 2002;
Bannasch et al. 2008), there seems no available model of
hypertension in these species. Therefore, clinical studies are
required to verify the effects of XO inhibition on the
hypertension and endothelial dysfunction in human
pathophysiology. 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 appro-
priate credit to the original author(s) and the source, provide a link to the
Creative Commons license, and indicate if changes were made. Study limitations 4 Concentration-response curves to a acetylcholine and b sodium
nitroprusside in aortic rings isolated from untreated and febuxostat-
treated spontaneously hypertensive rats and WKY rats. Values are valuable not only for hyperuricemia but also for treating some
forms of hypertension and related endothelial dysfunction in
humans. effects of febuxostat on the hypertension and endothelial
dysfunction in the current experimental setting. The pres-
ent study used SHR as a representative animal model of
hypertension and demonstrated the potential anti-
hypertensive effects by pharmacological XO inhibition. Recently, Boban et al. reported that circulating xanthine
oxidase activity was increased in patients with essential
hypertension (Boban et al. 2014), which is consistent with
our results that plasma XO activity was considerably ele-
vated in SHR. Therefore, XO inhibitor may be beneficial
for the treatment of some forms of hypertension in humans. However, there is little information about the relationship
between plasma XO activity and other forms of hyperten-
sion such as renal hypertension and pulmonary hyperten-
sion. In this context, further studies are warranted to clarify
the clinical implication of XO inhibition in various types of
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Malignant Tumor Purity Reveals the Driven and Prognostic Role of CD3E in Low-Grade Glioma Microenvironment
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Frontiers in oncology
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ORIGINAL RESEARCH
published: 07 September 2021
doi: 10.3389/fonc.2021.676124 Xiuqin Lu 1†, Chuanyu Li 2†, Wenhao Xu 3†, Yuanyuan Wu 4†, Jian Wang 5, Shuxian Chen 6,
Hailiang Zhang 3, Huadong Huang 2*, Haineng Huang 2* and Wangrui Liu 1,2* 1 Department of Nursing and Health Management, Shanghai University of Medicine & Health Sciences, Shanghai, China,
2 Department of Neurosurgery, Affiliated Hospital of Youjiang Medical University for Nationalities, Guangxi, China,
3 Department of Urology, Fudan University Shanghai Cancer Center, Shanghai Medical University, Fudan University,
Shanghai, China, 4 Department of Gastroenterology, Naval Medical Center of People’s Liberation Army (PLA) of China, Naval
Military Medical University, Shanghai, China, 5 Department of Transplantation, Xinhua Hospital Affiliated to Shanghai Jiao
Tong University School of Medicine, Shanghai, China, 6 Department of Oncology, Xinhua Hospital Affiliated to Shanghai Jiao
Tong University School of Medicine, Shanghai, China Keywords: tumor microenvironment, tumor purity, CD3E, low-grade glioma, prognosis, immune infiltrations *Correspondence:
Huadong Huang
dongdongh@126.com
Haineng Huang
bsuanghn@163.com
Wangrui Liu
cowdl@126.com
†These authors have contributed
equally to this work *Correspondence:
Huadong Huang
dongdongh@126.com
Haineng Huang
bsuanghn@163.com
Wangrui Liu
cowdl@126.com
†These authors have contributed
equally to this work *Correspondence:
Huadong Huang
dongdongh@126.com
Haineng Huang
bsuanghn@163.com
Wangrui Liu
cowdl@126.com
†These authors have contributed
equally to this work Specialty section:
This article was submitted to
Neuro-Oncology and
Neurosurgical Oncology,
a section of the journal
Frontiers in Oncology Specialty section:
This article was submitted to
Neuro-Oncology and
Neurosurgical Oncology,
a section of the journal
Frontiers in Oncology
Received: 04 March 2021
Accepted: 02 July 2021
Published: 07 September 2021 Specialty section:
This article was submitted to
Neuro-Oncology and
Neurosurgical Oncology,
a section of the journal
Frontiers in Oncology Received: 04 March 2021
Accepted: 02 July 2021
Published: 07 September 2021 Edited by:
Haotian Zhao,
New York Institute of Technology,
United States Reviewed by:
Zihang Zeng,
Wuhan University, China
Wen Yin,
Central South University, China
Sutatip Pongcharoen,
Naresuan University, Thailand
*Correspondence:
Huadong Huang
dongdongh@126.com
Haineng Huang
bsuanghn@163.com
Wangrui Liu
cowdl@126.com
†These authors have contributed
equally to this work Reviewed by:
Zihang Zeng,
Wuhan University, China
Wen Yin,
Central South University, China
Sutatip Pongcharoen,
Naresuan University, Thailand Reviewed by:
Zihang Zeng,
Wuhan University, China
Wen Yin,
Central South University, China
Sutatip Pongcharoen,
Naresuan University, Thailand The tumor microenvironment (TME) contributes to the initiation and progression of many
neoplasms. However, the impact of low-grade glioma (LGG) purity on carcinogenesis
remains to be elucidated. We selected 509 LGG patients with available genomic and
clinical information from the TCGA database. The percentage of tumor infiltrating immune
cells and the tumor purity of LGG were evaluated using the ESTIMATE and CIBERSORT
algorithms. Stromal-related genes were screened through Cox regression, and protein-
protein interaction analyses and survival-related genes were selected in 487 LGG patients
from GEO database. Hub genes involved in LGG purity were then identified and
functionally annotated using bioinformatics analyses. Prognostic implications were
validated in 100 patients from an Asian real-world cohort. Elevated tumor purity
burden, immune scores, and stromal scores were significantly associated with poor
outcomes and increased grade in LGG patients from the TCGA cohort. In addition, CD3E
was selected with the most significant prognostic value (Hazard Ratio=1.552, P<0.001). Differentially expressed genes screened according to CD3E expression were mainly
involved in stromal related activities. Additionally, significantly increased CD3E
expression was found in 100 LGG samples from the validation cohort compared with
adjacent normal brain tissues. High CD3E expression could serve as an independent
prognostic indicator for survival of LGG patients and promotes malignant cellular
biological behaviors of LGG. In conclusion, tumor purity has a considerable impact on
the clinical, genomic, and biological status of LGG. CD3E, the gene for novel membrane
immune biomarker deeply affecting tumor purity, may help to evaluate the prognosis and
develop individual immunotherapy strategies for LGG patients. Evaluating the ratio of
differential tumor purity and CD3E expression levels may provide novel insights into the
complex structure of the LGG microenvironment and targeted drug development. Malignant Tumor Purity Reveals
the Driven and Prognostic
Role of CD3E in Low-Grade
Glioma Microenvironment Xiuqin Lu 1†, Chuanyu Li 2†, Wenhao Xu 3†, Yuanyuan Wu 4†, Jian Wang 5, Shuxian Chen 6,
Hailiang Zhang 3, Huadong Huang 2*, Haineng Huang 2* and Wangrui Liu 1,2* BACKGROUND We selected 509 LGG patients from The Cancer Genome
Atlas (TCGA) dataset and calculated the percentage of TICs and
tumor purity of each LGG tumor through ESTIMATE and
CIBERSORT calculation methods. We also calculated the ratio
of immune and matrix components and selected the inter-
sample screening in the Gene Expression Omnibus (GEO). LGG genes associated with prognosis were identified and the
predictive biomarker CD3E was found. The T cell antigen
receptor epsilon subunit (CD3E) gene is located on
chromosome 11q23.3, composed of nine exons, and is
associated with autosomal recessive hereditary early-onset
immunodeficiency 18 phenotype, which is a severe combined
immunodeficiency variant (27). Moreover, CD3E is
overexpressed in certain solid tumors and is associated with
immunity (28, 29). Among the differentially expressed genes
(DEGs) produced by comparing immunological and matrix
components in LGG samples, we determined that CD3E is a
potential indicator of TME status changes in LGG. This gene
may affect the tumor microenvironment of LGG by regulating T
cells, which may be completely different from the tumor
microenvironment of other organs outside the skull. The
higher the expression of CD3E is, the worse the prognosis of
LGG patients is. The treatment and prognosis of glioma are relatively limited
because the understanding of immune gene regulation and
carcinogenesis is incomplete (1, 2). In the United States, the
annual incidence of pediatric low-grade glioma (LGG) is 1.3-2.1
cases per 100,000 people, while adult LGG is more common with
an estimated 9.1-12.5 cases per 100,000 people (3, 4). Glioblastoma multiforme (Grade IV) is the second most
common primary intracranial tumor, and the most common
malignant tumor of the central nervous system. GBM accounts
for 15.4% of all primary brain tumors and 45.6% of primary
malignant brain tumors. Grade I gliomas are essentially benign
and respectable (5). A large number of clinical studies have found
that the survival rate of LGG patients is low, and many patients
have a sharp decline in survival time from tumor deterioration in
the later stage (6). The high recurrence and malignancy rates of
LGG are detrimental to patients (7, 8). Investigating approaches
to maintain the quality of life of LGG patients while prolonging
their overall survival (OS) has become a common focus for
clinicians and researchers (9–12). The rapid development of modern bioinformatics and
phenotyping has provided great convenience to our research
(13–15). Citation: Lu X, Li C, Xu W, Wu Y, Wang J,
Chen S, Zhang H, Huang H, Huang H
and Liu W (2021) Malignant Tumor
Purity Reveals the Driven and
Prognostic Role of CD3E in Low-
Grade Glioma Microenvironment. Front. Oncol. 11:676124. doi: 10.3389/fonc.2021.676124 September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 1 Tumor Microenvironment and CD3E in LGG Lu et al. BACKGROUND Recent work has suggested that the tumor
microenvironment (TME) can facilitate the development of
tumors (16, 17). The interactions between cancer cells, stromal
cells, and recruited immune cells promote the invasion and
metastasis of a variety of cancers, as well as cell proliferation,
anti-apoptosis signals, and evasion of immune surveillance. This
significantly impacts the treatment and prognosis of cancer
patients (18, 19). The TME is mainly composed of resident
stromal cells and recruited immune cells (20), which affect tumor
blood vessel growth and tumor proliferation, respectively. Additionally, tumor-infiltrating immune cells (TICs) in the
TME can be used to determine patient prognosis (21), and the
related immune genes have an impact on cancer patient survival
(22, 23). This correlation has led to improvements in immune-
based treatment methods to create immune checkpoint
inhibitors and identify prognostic biomarkers for tumor
patients (24–26). These studies suggest that the various
immune responses of the LGG TME may change the purity of
the tumor, thereby affecting the invasive and metastatic abilities
of LGG. There is a reported strong connection between LGG and
the TME. The higher the stromal and immune scores of LGG
display, the lower the purity and higher the aggressiveness of the
tumor show. Low glioma purity shows a strong
immunophenotype and suggests a poor prognosis (27). Thus,
clinicians and basic science researchers are required to identify
tumor purities that accurately reflect the LGG heterogeneity and
complex role of the microenvironment, which may also help to
discover novel biomarkers of LGG. Abbreviations: AHYMUN, Affiliated Hospital of YouJiang Medical University for
Nationalities; GEO, Gene Expression Omnibus; GO, Gene Ontology; GSEA, Gene
Set Enrichment Analysis; HR, hazard ratio; IHC, immunohistochemistry; KEGG,
Kyoto Encyclopedia of Genes and Genomes; LGG, Low grade glioma; OS, overall
survival; PPI, Protein-protein interaction; TCGA, the Cancer Genome Atlas; TIC,
tumor-infiltrating immune cells; TME, tumor microenvironment. Data Collection This study included 509 patients from TCGA (30) database and
487 patients from GEO (30, 31) databases (three datasets,
GSE107850 on GPL14951, GSE26576 on GPL6801 and
GPL570, GSE20395 on GPL9183, were selected as the second
testing cohort for further analysis) two independent testing
cohorts. To further improve the clinical value of the study, a
total of 100 LGG patients, who underwent surgery in Affiliated
Hospital of YouJiang Medical University for Nationalities
(AHYMUN, Baise, China) from June 2014 to July 2019, were
enrolled in this study. Clinical data of LGG patients that may
affect the OS and disease-free survival (DFS) were collected,
including age, gender, epilepsy history, capsular invasion
Karnofsky score and tumor envelope infiltration. LGG patients with available RNA sequencing data from the
Cancer Genome Atlas (TCGA) database (https://tcga-data.nci. nih.gov/tcga/) were consecutively recruited for the analyses from
UCSC Xena (http://xena.ucsc.edu/). UCSC Xena is an online
exploration tool for public and private, multi-omic and
clinical/phenotype data, and provided level 3 data from TCGA
databases. The gene expression profile was measured
experimentally using the Illumina HiSeq 2000 RNA
Sequencing platform by the University of North Carolina
TCGA genome characterization center. Single-Cell Datasets Processing
and Collection Tumor Immune Single-cell Hub (TISCH, http://tisch.comp-
genomics.org/home/) is used to screen for scRNA-seq datasets
with detailed cell-type annotation at the single-cell level focusing
on tumor microenvironment across different cancers. GSE131928 10X (n = 9, number of cells = 13,553), GSE131928
Smartseq2 (n = 28, number of cells = 7,930), GSE135437 (n = 19,
number of cells = 12,559), GSE139448 (n = 3, number of cells =
12,152), GSE141982 (n = 2. Number of cells = 526) and
GSE148842 (n = 7, number of cells = 111,397) were enrolled
with correlation analysis between CD3E expression and
abundance of immune cells infiltrations. Screening for Differential
Expressed Genes p
Using “LIMMA” (37) in R software, standardize the data and
perform differential expression analysis. Put the relevant code
into R, and analyze the DEGs in LGG samples and normal brain
tissue samples through the limma software package. P value <
0.05 and Log2FC > 1 was set as the threshold for identifying
Clinical-related DEGs. Immunohistochemistry Immunohistochemistry streptavidin peroxidase method was
used to detect the expression of CD3E in tumor, immune and
stromal cells from LGG and adjacent normal tissues (43). Immunostaining of CD3E was performed using a rabbit
monoclonal anti-CD3E antibody (1:1000, ab237721, Abcam). Positive or negative staining of a certain protein in one FFPE
slide was independently assessed by two experienced clinicians,
and determined as follows. The LGG samples were scored
according to the degree of cell staining intensity and density. Intensity score: 0, cytoplasmic yellow particles; 1, light brown
particles; 2, obvious brown particles; 3, a large number of dark
brown particles. Density score (according to the percentage of
positive cells): 0, 0%, 1, <10%, 2.11%-50%, 3, 51-80%, 4, 80%. The final IHC score is calculated by multiplying the two scores. Online Public and Real World Cohorts
This study included 509 patients from TCGA database and 487
patients from GEO database (GSE107850, GSE60898,
GSE26576) as two independent testing cohorts. To further
improve the clinical value of the study, a total of 100 LGG
patients, who underwent surgery in Affiliated Hospital of
YouJiang Medical University for Nationalities (AHYMUN)
from June 2014 to July 2019, were enrolled in this study. Clinical data of LGG patients that may affect the OS and
disease-free survival (DFS) were collected, including age,
gender, epilepsy history, capsular invasion Karnofsky score and
tumor envelope infiltration. Tissue samples were collected
during surgery and available from AHYMUN tissue bank. IHC
staining of CD3E was performed using a mouse monoclonal
anti-CD3E antibody (1:800, ab16669, Abcam, USA) in 100 LGG
samples. Positive or negative staining of CD3E protein in a FFPE
slide was independently evaluated as previously described (36). Cells and Plasmids According to the median of the Immune score and the Stromal
score, we grouped high and low samples, so as to screen out the
TME related genes that highly involved in heterogeneity of
tumor immune environment. The 509 LGG samples in the
TCGA database were marked as high or low. Use package
limma to conduct differential analysis of gene expression, and
generate Stromal related DEGs by comparing high and low score
samples. Stromal related DEGs (high/low score group) and false
discovery rate < 0.05 with a fold change greater than 1 after log2
conversion were considered significant. We calculated the TIC
value in all LGG data by the CIBERSORT method, and the
samples with P < 0.05 can be further analyzed. Two human glioma cell lines (N9, N33) were cultured in
Dulbecco’s modified Eagle medium: nutrient mixture F-12
(DMEM: F12, 01-172-1ACS, Biological Industries) and 10%
fetal bovine serum (FBS), 04-001-1A, Bioindustry). CD3E
siRNA duplexes were transfected using Lipofectamine 3000
reagent (Invitrogen, USA) according to the manufacturer’s
protocol. Cells were used for further analyses after transfection
for 48 h. The sequences of siRNA duplexes are listed below:
siRNA1#: 5’-UUCUUCAUUACCAUCUUGCCC-3’, siRNA2#:
5’-UAAUACCACCCAUUUCUUCAU-3’. Western Blot After the specified treatment, the cells were harvested and lysed
in RIPA buffer and quantified by the bicinchoninic acid assay kit
(Pierce, USA). The total protein was separated by sodium
dodecyl sulfate polyacrylamide gel electrophoresis (SDS-PAGE)
under denaturing conditions and transferred to a nitrocellulose
filter (NC) membrane. The membrane was incubated with
blocking buffer for 2 hours at room temperature and then with
the primary antibody anti-CD3E (1:1000, ab237721, Abcam)
overnight at 4°C. Then, the protein was visualized using ECL
plus western blotting detection reagents (Biosciences) and
detected with an enhanced chemiluminescence kit. Tumor Purity Calculation R software (32) (version 4.0.0) was used to estimate the
proportion of TME immune cells and stromal cells in each
LGG sample. We use the ssGSEA algorithm to calculate
ImmuneScore, StromalScore and ESTIMATEScore (33, 34). September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 2 Tumor Microenvironment and CD3E in LGG Lu et al. The CIBERSORT algorithm is used to calculate the proportion of
immune cells in LGG (35). The CIBERSORT algorithm is used to calculate the proportion of
immune cells in LGG (35). analyze the entire transcriptome of all tumor samples (42), and
only genomes with p<0.05 are considered important. Cell Counting Kit‐8 Assay studies focused on the impact of CD3E on survival, GSEA, and
correlation with TICs. Functional annotations of neighboring
genes and clinical validation of CD3E were performed. Finally,
we entered the research conclusions in our own AHYMUN
center for clinical cohort study. 100 microliters of N9 and N33 cell suspension (5 × 104) were
added to each well of a 96-well plate, with triple wells in each
group. The culture plate was placed in the incubator for pre-
culture for 24 hours until the cells stick to the culture dish. Then,
we add different concentrations of culture medium to the wells
for 24 hours, and add normal and high-sugar medium to the
culture plate. After 24 hours, 10 ml CCK-8 solution (#CK04;
Dojindo, Japan) was added to each well, and then incubate for
2 hours. Statistical Analysis y
In this study, R (Version 3.3.2) and RStudio (Version 1.2) were
utilized to perform most data analyses, including Cox regression
analyses (44), Kaplan-Meier plots (45), risk plots, PPI network
and functional annotations. All tests were two-sided and p-value
less than 0.05 were taken as significant. The scatter plot was used
to represent the differential expression of CD3E in normal and
LGG tissues. The primary endpoint, the overall survival of
patients who survived specific period of time, which was
determined based on the length of time from the date of
surgery to the date of death or the date of the last follow-up. Disease-free survival as a secondary endpoint refers to the length
of time from the start of curative treatment for which no disease
can be found to the date of progression to the date of starting
second-line treatment or starting treatment. We combined the corresponding clinical information of TCGA
LGG patients with the above calculated scores to determine
whether the LGG TME and tumor purity are related to the
patient’s clinical characteristics. ImmuneScore positively
correlated with high grade LGG (Figures 3A–C, P < 0.001),
StromalScore also positively correlated with high grade LGG
(Figures 3D–F, P < 0.001), and ESTIMATEScore accompanied
with high grade LGG (Figures 3G–I, P < 0.001). These results
indicate that tumor purity and the ESTIMATE scores in the
TME are related to the deterioration of LGG. The higher the
ESTIMATE scores in the TME, the lower the purity of the tumor
and the worse the prognosis of LGG patients. Transwell Assay Cell invasion ability was assessed using the Transwell chamber
(BD Biosciences). A total of 2 × 105 cells were plated on top of a
polycarbonate Transwell filter with 200 mL serum-free medium. The lower compartment is filled with 500 mL of complete
medium (1640 + 10% fetal bovine serum). After 24 hours, cells
in the upper chamber were removed with cotton swabs, and cells
on the underside were fixed with 4% paraformaldehyde for 10
minutes at room temperature. After been washed and air drying,
stained cells in four randomly selected fields were photographed
and counted under a light microscope (Olympus, Tokyo, Japan). Functional Enrichment Analysis The protein-protein interaction (PPI) network is constructed
from the STRING (38) database. All gene interaction networks
were drawn by Cytoscape (version 3.8.0.) (39). We performed
gene ontology (GO) enrichment analysis of DEGs through R
software, and determined the biological processes (BPs), cell
components (CCs) and molecular functions (MFs) of each gene
(40). We also performed Kyoto Encyclopedia of Genes and
Genomes (KEGG) enrichment analysis to show enrichment for
related genes (41). We use GSEA software (vision 4.0.3) to September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 3 Tumor Microenvironment and CD3E in LGG Lu et al. TME-Related Scores Are Related to
Survival of LGG Patients To confirm whether the proportion of cells in the TME and
tumor purity can affect the survival time of LGG patients, we
calculated ImmuneScore, StromalScore, and ESTIMATEScore
and generated a Kaplan-Meier survival curve. The Score was
positively associated to the higher the proportion of the
corresponding component in the TME. The sum of
ImmuneScore and StromalScore is ESTIMATEScore, which
also reflects tumor purity. Figure 2 shows how the TME scores
are related to overall survival. ImmuneScore (P = 0.003),
StromalScore (P < 0.001), and ESTIMATEScore (P = 0.006)
values were positively correlated with OS. These results indicate
that the prognosis of LGG patients can be inferred based on the
estimated matrix score and help to develop a personalized
treatment plan. RESULTS We performed
univariate Cox regression analysis on stromal related DEGs
and LGG patient survival to determine which genes are most
high risk for LGG patients and which are low risk (Figure 6C). Finally, we combined the main nodes in the PPI diagram and the
top 75 genes ranked by P value to analyze them, and obtained 30
intersecting genes. (Figure 6D). These genes are significantly
related to the prognosis of LGG. StromalScore (Figures 5A, B). These 223 stromal related DEGs may
play a decisive role in the LGG TME. Through GO enrichment and
KEGG analyses, we found that the biological functions of these
genes are mainly related to immunity (Figures 5C, D). RESULTS To determine the exact changes in the genetic profiles of immune
and matrix components in the TME, we used the two packages
“limma” (46) and “pheatmap” (47, 48) for analysis, we set the
filter conditions to “fdrFilter = 0.05, logFCfilter = 1.5”, by reading
the expression input file, deleting the normal sample, reading the
score file, according to the score The median value groups the
samples, performs difference analysis, and outputs the differences
of all genes, and then screens out genes that affect survival. We
compared high- and low-scoring samples based on the median
value (Figure 4). We obtained 518 DEGs from StromalScore,
which contained 461 upregulated genes and 57 downregulated
genes (Figure 4A). We also obtained 297 DEGs through
ImmuneScore, with 201 upregulated genes and 96 downregulated
genes (Figure 4B). Through a Venn diagram, we determined that
199 upregulated genes with high scores and 19 downregulated genes
with low scores were contained in both ImmuneScore and As shown in Figure 1, this work was conducted in three stages. To estimate the proportion of TICs and tumor purity in LGG
samples, transcriptome RNA-seq data from 516 patients were
downloaded from TCGA, after which ESTIMATE and
CIBERSORT algorithms were performed. DEGs shared by
ImmuneScore and StromalScore were used to construct a PPI
network. Significant hub genes in the PPI network were
evaluated using univariate Cox regression cross-analysis. Additionally, we selected a qualified dataset from the GEO
database and conducted a differential analysis to obtain
clinical-related DEGs. Then, any associations between the
DEGs and LGG patient survival rates were evaluated and
screened. Next, CD3E was identified and validated as the most
relevant gene after combining the two datasets of DEGs. Further September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 4 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. FIGURE 1 | Flowchart of this study. TCGA, the Cancer Genome Atlas; GEO, Gene Expression Omnibus; LGG, low-grade glioma. GURE 1 | Flowchart of this study. TCGA, the Cancer Genome Atlas; GEO, Gene Expression Omnibus; LGG, low-grade glioma. interactions between the genes are shown in Figure 6A. We
selected the top 30 genes ranked by the number of nodes and
plotted them as a bar graph (Figure 6B). Filtering Clinical-Related DEGs to Identify
a Target Gene co-expression (lavender line) and 4.80% terms were in co-
localization (deep blue line). We then conducted a biological
function enrichment analysis of clinical-related DEGs. The
results showed that enrichments of biological processes
included positive regulation of voltage-gated potassium
channel activity, positive regulation of potassium ion
transmembrane transporter activity, and regulation of pri-
miRNA transcription by RNA polymerase II (pol II)
(Figure 7D); enrichments of cellular components included ion
glutamatergic synapse, apical plasma membrane, and apical part
of cell (Figure 7E); enrichments of molecular functions
included oxidoreductase activity, calmodulin binding, and
copper ion binding (Figure 7F). Enrichments in KEGG
pathway analysis were glioma, tyrosine metabolism, and citrate
cycle (Figure 7G). We used the R language package “limma” (46) to screen the
genes that affect survival in three GEO sets (GSE107850,
GSE60898, GSE26576). We screened 114 clinical-related DEGs
(P < 0.001) that were significantly related to survival from a
group of 13,299 genes and compared them with the previous
stromal related DEGs to obtain seven genes: CD3E, TLR2, CCR5,
CXCL9, CXCL10, FCGR2A, and ITGAL (Figure 6E). We mapped
the PPI network for these seven genes (Figure 6F). 78.89% of
terms were in co-expression (lavender line), 7.65% of terms were
shared protein domains (yellow line), 7.11% of terms were in
co-localization (deep blue line), and 7.11% of terms were
predicted (khaki line). We also performed GO and KEGG
pathway analyses on these seven genes, finding that the genes
were related to immune diseases and the inflammatory
response (Figure 6G). We correlated the 20 most significantly up-regulated genes
and the 20 most significantly down-regulated genes with CD3E. As shown in Figure 7H, red represents a positive correlation and
green represents a negative correlation. The deeper of the color
indicated the greater the relevance. CD3E was positively
correlated with LILRB4, UPK1A, and REM1, and negatively
correlated with RIT2, OGDHL, and KCNC2 (Figure 7H). Next, in order to reduce system bias and select multiple
cohorts with large samples to increase the rigor of the research,
we also screened the clinically relevant genes in the GEO
database. We selected a suitable data set from the GEO
database for clinical analysis (GSE107850, GSE60898,
GSE26576), comparing it with the immune-related genes,
based on the hazard ratio (HR) value of each gene and the
survival-related P value, we targeted CD3E for further study. Filtering Clinical-Related DEGs to Identify
a Target Gene Besides, as shown in Figures S1A, B, we identified 866 up-
regulated genes and 256 down-regulated genes based on top 25%
high (G1) and low (G2) CD3E expression in total 256 LGG
patients from TCGA using Limma R package with |LogFC| > 2,
P < 0.05. GO and KEGG enrichment could effectively suggest
gene functions and associated high-level genome functional
information in Figures S1C, F. In addition of this role of
signal transduction in T-cell activation and proliferation,
CD3E plays an essential role in correct T-cell development,
neutrophil activation involved in immune responses, cell
adhesion molecules and extracellular matrix organization, thus
reshaping suppressive TME and promoting malignant behaviors
of LGG. We divided the dataset into high and low expression groups
according to the median CD3E expression value and screened
using “log fold change = 0.5, and P < 0.05”. A total of 114 related
differential genes were obtained. The 15 genes with the most
significant up-regulation and the 11 genes with the most
significant down-regulation were selected for further analysis
(Table S1), which were visualized with a volcano map
(Figure 7A) and heat map (Figure 7B). Identification of Key Stromal
Related Genes To further study the underlying mechanisms of the
abovementioned genes and determine which were most crucial,
we generated a PPI network diagram through String. The September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 5 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. A
B
C
FIGURE 2 | Correlation of scores with the survival of patients with LGG. (A) Kaplan-Meier survival analysis for LGG patients grouped into high or low score in
ImmuneScore determined by the comparison with the median, P = 0.003. (B) Kaplan–Meier survival curve for StromalScore, p < 0.001. (C) Survival analysis with
Kaplan–Meier method for LGG patients grouped by ESTIMATEScore, P = 0.006. C B A B C A FIGURE 2 | Correlation of scores with the survival of patients with LGG. (A) Kaplan-Meier survival analysis for LGG patients grouped into high or low score in
ImmuneScore determined by the comparison with the median, P = 0.003. (B) Kaplan–Meier survival curve for StromalScore, p < 0.001. (C) Survival analysis with
Kaplan–Meier method for LGG patients grouped by ESTIMATEScore, P = 0.006. CD3E Expression Is Negatively Related to
LGG Patient Survival As illustrated in Figure 7C, gene-gene interactions between
clinical-related DEGs were analyzed. 95.20% of terms were in CD3E is an epsilon subunit of the T cell antigen receptor. According to the CD3E expression median value, all LGG September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 6 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. A
B
C
D
E
F
G
H
I
FIGURE 3 | Correlation of ImmuneScore and StromalScore with clinicopathological staging characteristics. (A, D, G) Distribution of ImmuneScore, StromalScore,
and ESTIMATEScore in age. P = 0.6, 0.067, and 0.32. (B, E, H) Distribution of three kinds of scores in gender. P = 0.31, 0.28, 0.28. (C, F, I) Distribution of scores
in grade. P < 0.001. C A
B C B A F D
E E D E D F G
H I H I G H FIGURE 3 | Correlation of ImmuneScore and StromalScore with clinicopathological staging characteristics. (A, D, G) Distribution of ImmuneScore, StromalScore,
and ESTIMATEScore in age. P = 0.6, 0.067, and 0.32. (B, E, H) Distribution of three kinds of scores in gender. P = 0.31, 0.28, 0.28. (C, F, I) Distribution of scores
in grade. P < 0.001. samples were divided into CD3E high and low expression groups. Analysis of the TCGA data (P = 0.000637; Figure 8A) and GEO
data (P < 0.001; Figure 8B) suggested that the survival rate of
LGG patients with high CD3E expression was lower than those
with low CD3E expression. Interestingly, after a literature review
and pan-cancer statistical tests (16, 49), we found that CD3E may
have an opposite prognostic effect in gliomas than in most other
tumors (Figure 8C). Moreover, it is only in the two head tumors of uveal melanoma and LGG that the higher the expression is,
the worse the prognosis is (Figure S2). Finally, we studied the
difference in CD3E expression between Grade II and Grade III
patients in the TCGA cohort. We found that patients with higher
grades had higher expression levels of CD3E and worse prognosis
in the clinic (Figure 8D). At the same time, we conducted a subgroup analysis of
different clinical characteristics on clinical data to eliminate September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 7 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. CD3E Expression Is Negatively Related to
LGG Patient Survival A
B
IGURE 4 | Heatmaps, Venn plots for DEGs. (A) Heatmap for DEGs generated by comparison of the high score group vs. the low score group in ImmuneScore. ow name of heatmap is the gene name, and column name is the ID of samples which not shown in plot. Differentially expressed genes were determined by
Wilcoxon rank sum test with q = 0.05 and fold-change > 1 after log2 transformation as the significance threshold. (B) Heatmap for DEGs in StromalScore, similar
with (A). A
B
C
D
IGURE 5 | Up-regulated and down-regulated and enrichment analysis of GO and KEGG. (A, B) Venn plots showing common up-regulated and down-regulated
EG
h
d b I
S
d St
lS
(C D) GO
d KEGG
i h
t
l
i f
DEG A
B
FIGURE 4 | Heatmaps, Venn plots for DEGs. (A) Heatmap for DEGs generated by comparison of the high score group vs. the low score group in ImmuneScore. Row name of heatmap is the gene name, and column name is the ID of samples which not shown in plot. Differentially expressed genes were determined by
Wilcoxon rank sum test with q = 0.05 and fold-change > 1 after log2 transformation as the significance threshold. (B) Heatmap for DEGs in StromalScore, similar
with (A). A B A FIGURE 4 | Heatmaps, Venn plots for DEGs. (A) Heatmap for DEGs generated by comparison of the high score group vs. the low score group in ImmuneScore. Row name of heatmap is the gene name, and column name is the ID of samples which not shown in plot. Differentially expressed genes were determined by
Wilcoxon rank sum test with q = 0.05 and fold-change > 1 after log2 transformation as the significance threshold. (B) Heatmap for DEGs in StromalScore, similar
with (A). A
B
C
D
FIGURE 5 | Up-regulated and down-regulated and enrichment analysis of GO and KEGG. (A, B) Venn plots showing common up-regulated and down-regulated
DEGs shared by ImmuneScore and StromalScore. (C, D) GO and KEGG enrichment analysis for DEGs. A D C FIGURE 5 | Up-regulated and down-regulated and enrichment analysis of GO and KEGG. (A, B) Venn plots showing common up-regulated and down-regulated
DEGs shared by ImmuneScore and StromalScore. (C, D) GO and KEGG enrichment analysis for DEGs. CD3E Expression Is Negatively Related to
LGG Patient Survival September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 8 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. A
B
C
D
F
G
E
FIGURE 6 | Protein–protein interaction network and univariate COX. (A) Interaction network constructed with String. (B) The top 30 genes ordered by the number
of nodes. (C) Univariate COX regression analysis with DEGs was done, listing the top significant factors with P < 0.001. (D) Venn plot showing the common factors
shared by nodes in PPI and top significant factors in univariate COX. (E) Venn plot showing the common factors shared by nodes in Stromal related DEGs and
Clinical-related DEGs. (F) Interaction network constructed with 7 genes. (G) GO and KEGG pathway analyses on 7 genes. B A A C
D
E C
D
E D
E C
D
E D
E C C D E E F G G FIGURE 6 | Protein–protein interaction network and univariate COX. (A) Interaction network constructed with String. (B) The top 30 genes ordered by the number
of nodes. (C) Univariate COX regression analysis with DEGs was done, listing the top significant factors with P < 0.001. (D) Venn plot showing the common factors
shared by nodes in PPI and top significant factors in univariate COX. (E) Venn plot showing the common factors shared by nodes in Stromal related DEGs and
Clinical-related DEGs. (F) Interaction network constructed with 7 genes. (G) GO and KEGG pathway analyses on 7 genes. expression was found in astrocytoma samples (n = 194)
compared with oligoastrocytoma samples (n = 130, P = 6.43 ×
10-4) or oligodendroglioma samples (n = 130, P = 6.4187 × 10-4)
(Figure S4). clinical bias. We found that the effect of CD3E is still the same in
LGG patients with different clinical characteristics (Figure S3). Then, we explored differential CD3E expression based on the
histological subtypes of LGG. Significantly elevated CD3E September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 9 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. A B C
D
E
F
G
H
E 7 | Correlation Analyses of Clinical-Related DEGs (A) The volcano map of Clinical-Related DEGs. (B) The heat map of Clinical-Related DEGs. (C) PPI of
Related DEGs. co-expression (lavender line), co-localization (deep blue line). (D) The enrichments of biological processes of DEGs. CD3E Expression Is Negatively Related to
LGG Patient Survival (E) The enrichments of
components of DEGs. (F) The enrichments of molecular functions of DEGs. (G) The enrichments in KEGG pathway of DEGs. (H) The 20 most significantly
ated genes and the 20 most significantly down-regulated genes with CD3E. Red color was for positive correlation, and green color represented a negative
on. The deeper the color indicated the greater the relevance. C D
F D E F F E G G
H H H FIGURE 7 | Correlation Analyses of Clinical-Related DEGs (A) The volcano map of Clinical-Related DEGs. (B) The heat map of Clinical-Related DEGs. (C) PPI of
Clinical-Related DEGs. co-expression (lavender line), co-localization (deep blue line). (D) The enrichments of biological processes of DEGs. (E) The enrichments of
cellular components of DEGs. (F) The enrichments of molecular functions of DEGs. (G) The enrichments in KEGG pathway of DEGs. (H) The 20 most significantly
up-regulated genes and the 20 most significantly down-regulated genes with CD3E. Red color was for positive correlation, and green color represented a negative
correlation. The deeper the color indicated the greater the relevance. September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 10 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. A
B
C
D
IGURE 8 | Relationship between CD3E expression and survival of LGG patients (A) Relationship between CD3E expression and survival of LGG patients in the
CGA database (P = 0.000637). (B) Relationship between CD3E expression and survival of LGG patients in the GSE database (P < 0.001). (C) CD3E might
ave completely opposite prognostic effect of CD3E in gliomas than that of most other tumors. (D) The relationship between CD3E expression and survival of
GG patients. B A B A C D D C FIGURE 8 | Relationship between CD3E expression and survival of LGG patients (A) Relationship between CD3E expression and survival of LGG patients in the
TCGA database (P = 0.000637). (B) Relationship between CD3E expression and survival of LGG patients in the GSE database (P < 0.001). (C) CD3E might
have completely opposite prognostic effect of CD3E in gliomas than that of most other tumors. (D) The relationship between CD3E expression and survival of
LGG patients Correlation of CD3E With the Proportion of
TICs Correlation of CD3E With the Proportion of
TICs correlated with CD3E expression, including M0 macrophages,
M1 macrophages, resting mast cells, resting NK cells, CD4+
memory activated T cells, CD8+ T cells, and regulatory T cells. Three kinds of TICs were negatively correlated with CD3E
expression, including eosinophils, monocytes, and activated
NK cells. Then, we calculated the relationship between the
abundance of tumor infiltrating lymphocytes and the
expression, copy number, methylation, or mutation of CD3E in
LGG (Figure S5). These results suggest that CD3E is related to
the immune activity of the TME, thereby affecting the tumor
purity of LGG. Correlation of CD3E With the Proportion of
TICs
We used the CIBERSORT algorithm to analyze the proportion of
TICs for 22 immune cells in LGG to further study the correlation
between CD3E and the immune microenvironment of LGG. (Figures 9A, B). Considering that CD3E expression is negatively
correlated with the survival rate of LGG patients, we performed
GSEA analysis on the high expression group. We found that the
genes in the CD3E high expression group mainly participated in
stromal related activities, such as the B cell receptor signaling
pathway, chemokine signaling pathway, and T cell receiver
signaling pathway (Figure 9C). Furthermore, CD3E was
positively related to glioma and immune cell response. These
results suggest that CD3E may be a potential indicator of TME
status for LGG. Next, we aimed to investigate predictive role of CD3E
expression in predicting responses to immune checkpoint
inhibitors of LGG using Tumor Immune Dysfunction and
Exclusion (TIDE) algorithm. Interestingly, we found that TIDE
score was significantly higher in CD3Ehigh group compared with
CD3Elow group in 255 LGG patients (P = 0.001), suggesting poor We found that the expression of CD3E is related to 10 groups
of TICs in LGG (Figure 10). Seven kinds of TICs were positively September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 11 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. A
B
C
FIGURE 9 | TIC profile in tumor samples and correlation analysis. (A) Barplot showing the proportion of 22 kinds of TICs in LGG tumor samples. Column names of
plot were sample ID. (B) Heatmap showing the correlation between 22 kinds of TICs and numeric in each tiny box indicating the p value of correlation between two
kinds of cells. Clinicopathological Features Related to
CD3E Expression prognosis of LGG patients with high CD3E expression and the
poor tolerance of immune checkpoint inhibitor therapy
(Figure S6). To verify CD3E expression in LGG, we performed
immunohistochemistry (IHC) (Figures 12A, B). The scatter
plot of the IHC scores revealed that CD3E expression increased
in LGG tissues in the AHYMUN cohort (P < 0.01). In Table 1,
we show that higher CD3E expression correlates with patient age
(P = 0.027), grade (P < 0.001), microvascular invasion (P =
0.009), history of epilepsy (P < 0.001), and Karnofsky score (P =
0.002). We believe this indicates that the higher the expression of
CD3E in patients, the worse the prognosis. Correlation of CD3E With the Proportion of
TICs The shade of each tiny color box represented corresponding correlation value between two cells, and Pearson coefficient was used for significance
test. (C) GSEA for samples with high CD3E expression. Lu et al. Tumor Microenvironment and CD3E in LGG A B C B FIGURE 9 | TIC profile in tumor samples and correlation analysis. (A) Barplot showing the proportion of 22 kinds of TICs in LGG tumor samples. Column names of
plot were sample ID. (B) Heatmap showing the correlation between 22 kinds of TICs and numeric in each tiny box indicating the p value of correlation between two
kinds of cells. The shade of each tiny color box represented corresponding correlation value between two cells, and Pearson coefficient was used for significance
test. (C) GSEA for samples with high CD3E expression. Single Cell Analysis of CD3E in
Brain Tumors Tofurtherexplorethe mechanismbywhichCD3Epromotestumor
immune evasion in brain tissue and LGG, we performed complex
bioinformatics work including functional enrichment and GSEA
analyses. The results suggested that CD3E is more likely to
participate in T cell-regulated immune deficiency as one of its
important roles in the formation of the TCR. Next, we enrolled six
glioma single-cell sequencing datasets from GEO analysis
(GSE131928 10X, GSE131928 Smartseq2, GSE135437,
GSE139448, GSE141982, and GSE148842), which suggested
significantly elevated CD3E expression in CD8+ T cells, especially
the exhaustive T cells. Therefore, we hypothesize that CD3E
possibly contributes to an immune evasion mechanism in brain
tumors by leading to T cell dysfunction (Figure 11). Cox Regression Analysis We used univariate Cox regression analysis to demonstrate the
relationship between CD3E and AHYMUN patients and found
that CD3E is not significantly related to age and gender
(Figure 12C). In the multivariate model, we also found that
patients in the high expression group had worse OS (HR = 3.22;
P = 0.001). Moreover, in the AHNTU cohort, the microvascular September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 12 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. B A
B
C
FIGURE 10 | Correlation of TICs proportion with CD3E expression. (A) Violin plot showed the ratio differentiation of 22 kinds of immune cells between LGG tumor
samples with low or high CD3E expression relative to the median of CD3E expression level, and Wilcoxon rank sum was used for the significance test. (B) Venn plot
displayed ten kinds of TICs correlated with CD3E expression codetermined by difference and correlation tests displayed in violin and scatter plots, respectively. (C) Scatter plot showed the correlation of 14 kinds of TICs proportion with the CD3E expression (P < 0.05). The red line in each plot was fitted linear model
indicating the proportion tropism of the immune cell along with CD3E expression, and Pearson coefficient was used for the correlation test. A
B
C B C FIGURE 10 | Correlation of TICs proportion with CD3E expression. (A) Violin plot showed the ratio differentiation of 22 kinds of immune cells between LGG tumor
samples with low or high CD3E expression relative to the median of CD3E expression level, and Wilcoxon rank sum was used for the significance test. (B) Venn plot
displayed ten kinds of TICs correlated with CD3E expression codetermined by difference and correlation tests displayed in violin and scatter plots, respectively. (C) Scatter plot showed the correlation of 14 kinds of TICs proportion with the CD3E expression (P < 0.05). The red line in each plot was fitted linear model
indicating the proportion tropism of the immune cell along with CD3E expression, and Pearson coefficient was used for the correlation test. invasion (HR = 1.52; P = 0.024), the presence of capsular
infiltration (HR = 1.63; P = 0.016), and the Karnofsky scores
(ref < 80) (HR = 1.46; P = 0.023) were associated with low
OS (Table 2). DISCUSSION Inthisstudy,wefirstscreenedtheimmunegenesrelatedtotheTME
in LGG patients from the TCGA database. Next, we screened genes
related to the prognosis of LGG patients from GEO. After
combining the above genes, we determined CD3E to be the main
target gene. Then, we conducted a series of bioinformatics analyses
and verified the research results at our own center. We found that
CD3E may be an indicator gene of the TME status of LGG patients
and, by affecting the TME of LGG, can thereby change the tumor
purity and affect the prognosis of patients. Cox Regression Analysis ability of N9 and N33 cell lines was significantly reduced
compared with normal genitive control group (Figure 13E). Taken together, down-regulated CD3E expression significantly
restrained LGG cells proliferation and invasion capacities, thus
may reducing the malignant biological behaviors and aggressive
progression of LGG. We found that the patient’s gender and epilepsy history were
not related to DFS (Figure 12D). We found through Cox analysis
that the high expression of the CD3E gene caused a significant
decrease in OS (HR = 4.33; P < 0.001) (Table S1). Grade,
capsular infiltration, microvascular invasion, and Karnofsky
scores were related to OS (P < 0.05). As seen in Figures 12E,
F, the higher the CD3E expression level, the lower the OS and
DFS of LGG patients. Down-Regulation of CD3E Inhibits Cell
Proliferation and Invasion Abilities in N9
and N33 Cells To explore biological malignancy of CD3E in LGG, we used
siRNA methods to restrain the expression of CD3E. Western blot
showed that CD3E protein expression was markedly decreased
after siRNA-CD3E transfection, compared with the negative
control group (Figures 13A, B). CCK8 assay showed that the
decreased CD3E expression significantly inhibited cell
proliferation in N9 and N33 cells (Figures 13C–E). Still, we
found that when expression of CD3E was inhibited, the invasion The combination of the cancer cell genotype, its gene
expression pattern, and the influence of the TME determines
the tumor’s adaptability, evolution, and resistance to treatment
(50). In recent years, studies using TCGA and GSE have mapped
the genetic picture and overall expression status of numerous September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 13 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. A
B
C
D
E
F
FIGURE 11 | Single cell analysis of CD3E in LGG. Six single cell sequencing data sets from geo analysis were used to analyze the expression of cd3e in CD8 + T
cells. (A) We quantitatively calculated the positioning and binding of CD3E on various immune cells across the dataset using a heatmap. (B–F) Five single-cell RNA-
seq datasets were enrolled to determine the location of CD3E in different cell. A
B B B A D D C C C F E F F E E FIGURE 11 | Single cell analysis of CD3E in LGG. Six single cell sequencing data sets from geo analysis were used to analyze the expression of cd3e in CD8 + T
cells. (A) We quantitatively calculated the positioning and binding of CD3E on various immune cells across the dataset using a heatmap. (B–F) Five single-cell RNA-
seq datasets were enrolled to determine the location of CD3E in different cell. tumors, identified driver mutations, and defined tumor subtypes
based on specific transcription profiles (51, 52). samples. The evaluation algorithm proved to be a robust tumor
fine prediction algorithm. Previous studies have shown that low
tumor purity is associated with poor prognosis in colon cancer,
gastric cancer and glioma (27, 61). However, there are few studies
on specific genes that affect tumor purity and thus affect LGG. Our research shows that the purity of tumors affected by CD3E
plays an important role in predicting the prognosis and genomic
status of LGG. Frontiers in Oncology | www.frontiersin.org Down-Regulation of CD3E Inhibits Cell
Proliferation and Invasion Abilities in N9
and N33 Cells The higher the expression of CD3E, the lower the
purity of LGG tumors, which is associated with enhanced
immune escape and poor prognosis, suggesting that patients
with low-purity LGG may benefit more from immunotherapy. In
order to better understand TME and make better clinical
decisions, further research on tumor purity is needed. LGG is a common brain tumor, and the prognosis of patients
withWHOgradeIIandIIIisnormallypoor(53).However,surgery,
radiation therapy, or chemotherapy (usually using temozolomide)
oftencannotimprovetheprognosisandsurvivalofpatients(54,55). The reasons for the lack of progress include the growth of invasive
tumors in basic organs, which limits the utility of local therapies. Additionally, the protection of tumor cells by the blood-brain
barrier limits the drug concentration, while the blood-tumor
barrier protects tumor cells (56). When pursuing immune-based
glioblastoma treatment methods, the unique immune environment
of the central nervous system needs to be considered (57–59). Therefore, we need to study novel LGG immunotherapy
candidates. Here, we began with the transcriptional analysis of
LGG data in TCGA and found that the decreased expression of
CD3E is closely related to poor prognosis of patients. Therefore,
CD3E is a potential prognostic indicator and treatment target in
LGG patients. CD3E encodes the polypeptide CD3-ϵ, which together with
the CD3-g, -d and -ZETA and T-cell receptor a/b and g/d T cell
receptor heterodimer -CD3 complex. The complex plays an
important role in coupling antigen recognition to several
intracellular signal transduction pathways, so defects in CD3E
can lead to immunodeficiency (62). CD3E role as a biological
component that is functionally important for T cell receptor
signaling for proper immunity. This is why the molecule
appeared to be increased and as they proposed that would Yoshihara et al. developed an algorithm for evaluating tumor
purity (60), using gene expression data to evaluate the presence
of antigen cells and the penetration of immune cells in tumor September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 14 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. A
B
C
D
E
F
FIGURE 12 | The relationship between CD3E gene and LGG prognosis was further verified. (A) IHC on collected LGG tissue. (B) The scatter plot of the IHC scores
(P < 0.01). (C, D) Forest plots were used to visualize the univariate Cox regression analysis of OS and DFS in the AHYMUM cohorts. Down-Regulation of CD3E Inhibits Cell
Proliferation and Invasion Abilities in N9
and N33 Cells TCR-CD3 complex assembly is initiated by the
formation of two heterodimers: CD3D/CD3E and CD3G/CD3E. relate to a poorer prognosis. In fact, the more T cells in the tissue
would mean that T cell immunity occurs there to act against
tumor cells as ones would expect. However, there are many T cell
subsets most of which have CD3E as the TCR/CD3 complex
component, yet they perform different function ranging from
protection (e.g., CD4 and CD8 T cells against viruses and
tumors), autoimmune (self-reactive T cells), to those that
suppress other T cells (e.g., regulatory T cells). CD3E is a part
of the TCR-CD3 complex on the surface of T lymphocytes, and
its basic immune function plays a vital role in the adaptive
immune response. When antigen-presenting cells activate T cell
receptors, TCR-mediated signals are transmitted across the cell
membrane through the CD3 chain CD3D, CD3E, CD3G, and
CD3Z, thereby activating downstream signaling pathways. In
addition to the role of signal transduction in T cell activation,
CD3E also plays a vital role in correct T cell development. The
TCR-CD3 complex assembly is initiated by forming two
heterodimers CD3D/CD3E and CD3G/CD3E. It also
participates in the internalization of the TCR-CD3 complex
and the down-regulation of the cell surface through the
endocytosis sequence present in the cytoplasmic region of
CD3E (49, 63). CD3E also participates in proper T cell
development. TCR-CD3 complex assembly is initiated by the
formation of two heterodimers: CD3D/CD3E and CD3G/CD3E. In LGG patients, the higher the expression of CD3E signified
the worse the patient’s survival. It may be attributed to immune
cells with high CD3E expression promoting anti-tumor
immunity, except regulatory T cells. Similarly, CD3E acts as a
T cell receptor. Its high expression in many cancers indicates
better clinical results (longer survival), with the lone exception of
LGG (65). This may be related to the cause of LGG and the
immune environment of the brain, or it may be due to the
interconnection between isocitrate dehydrogenase and the TME
(66–68). In CD3E knockdown experiments, we found down-
regulated CD3E expression significantly restrained LGG cells
proliferation and invasion capacities, thereby further reducing
the malignant biological behaviors and aggressive progression of
LGG, which may be closely related to the functional involvement
of CD3E in TME of LGG. Down-Regulation of CD3E Inhibits Cell
Proliferation and Invasion Abilities in N9
and N33 Cells (E, F) Survival curves showed
that LGG patients with elevated CD3E expression levels in the AHYMUN cohort showed poorer OS (P = 0.023) and poorer DFS (P < 0.001). A
B
C
D A
C
D B D C E F E F E FIGURE 12 | The relationship between CD3E gene and LGG prognosis was further verified. (A) IHC on collected LGG tissue. (B) The scatter plot of the IHC scores
(P < 0.01). (C, D) Forest plots were used to visualize the univariate Cox regression analysis of OS and DFS in the AHYMUM cohorts. (E, F) Survival curves showed
that LGG patients with elevated CD3E expression levels in the AHYMUN cohort showed poorer OS (P = 0.023) and poorer DFS (P < 0.001). Additionally, CD3E participates in the internalization of TCR-
CD3 complexes and cell surface down-regulation by endocytic
sequences present in the cytoplasmic region of CD3E (49, 63,
64). The relationship between the abundance of tumor
infiltrating lymphocytes and the expression, copy number,
methylation, or mutation of CD3E in LGG is shown in Figure S1. relate to a poorer prognosis. In fact, the more T cells in the tissue
would mean that T cell immunity occurs there to act against
tumor cells as ones would expect. However, there are many T cell
subsets most of which have CD3E as the TCR/CD3 complex
component, yet they perform different function ranging from
protection (e.g., CD4 and CD8 T cells against viruses and
tumors), autoimmune (self-reactive T cells), to those that
suppress other T cells (e.g., regulatory T cells). CD3E is a part
of the TCR-CD3 complex on the surface of T lymphocytes, and
its basic immune function plays a vital role in the adaptive
immune response. When antigen-presenting cells activate T cell
receptors, TCR-mediated signals are transmitted across the cell
membrane through the CD3 chain CD3D, CD3E, CD3G, and
CD3Z, thereby activating downstream signaling pathways. In
addition to the role of signal transduction in T cell activation,
CD3E also plays a vital role in correct T cell development. The
TCR-CD3 complex assembly is initiated by forming two
heterodimers CD3D/CD3E and CD3G/CD3E. It also
participates in the internalization of the TCR-CD3 complex
and the down-regulation of the cell surface through the
endocytosis sequence present in the cytoplasmic region of
CD3E (49, 63). CD3E also participates in proper T cell
development. Down-Regulation of CD3E Inhibits Cell
Proliferation and Invasion Abilities in N9
and N33 Cells Studies have shown that combining
CD3E antibodies with antibodies that bind to mutant epidermal
growth factor receptor variant III can effectively treat mice with
gliomas (69). Therefore, CD3E may play a dual role in tumors, September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 15 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. TABLE 2 | Multivariate Cox regression analysis of DFS and OS in AHYMUM cohorts. Covariates
OS
DFS
HR
95% CI
P value
HR
95% CI
P value
Grade (ref. G2)
1.97
2.25-3.68
0.043
2.31
1.94-4.02
0.037
Microvascular invasion (ref. Absent)
1.52
1.61-2.54
0.024
1.98
1.73-3.64
0.031
Capsular invasion (ref. Absent)
1.63
2.17-3.21
0.016
1.54
2.31-3.16
0.017
Karnofsky score (ref. >80)
1.46
2.31-3.27
0.023
1.56
1.66-2.64
0.044
CD3E expression (ref. low)
3.32
2.48-9.91
0.001
4.33
2.64-12.21
<0.001
DFS, disease-free survival; OS, overall survival. P value less than 0.05 was considered as statistical significance and marked in bold. TABLE 1 | Clinicopathological characteristics in relation to CD3E expression level in AHYMUM cohort. Characteristics
AHYMUN cohort
CD3E expression
c2
P
(N=100)
Low IHC score
High IHC score
(N = 50)
(N = 50)
N (%)
Age
4.889
0.027
<60 years
55 (0.55)
33 (0.60)
22 (0.40)
≥60 years
45 (0.45)
17 (0.38)
28 (0.72)
Gender
0.271
0.603
Male
82 (0.82)
40 (0.49)
42 (0.51)
Female
18 (0.18)
10 (0.56)
8 (0.44)
Grade
14.924
<0.001
G2
69 (0.69)
39 (0.57)
30 (0.43)
G3
31 (0.31)
11 (0.35)
20 (0.65)
Seizure history
12.148
<0.001
yes
61 (0.61)
39 (0.64)
22 (0.36)
no
39 (0.39)
11 (0.28)
28 (0.72)
Microvascular invasion
6.828
0.009
Absent
55 (0.55)
34 (0.62)
21 (0.38)
Present
45 (0.45)
16 (0.36)
29 (0.64)
Capsular invasion
1.961
0.161
Absent
51 (0.51)
29 (0.57)
22 (0.43)
Present
49 (0.49)
21 (0.43)
28 (0.57)
Karnofsky score
9.180
0.002
≥80
61 (0.61)
36 (0.59)
21 (0.41)
<80
39 (0.39)
14 (0.36)
29 (0.64)
IHC, immunohistochemistry; AHYMUN, Affiliated Hospital of YouJiang Medical University for Nationalities. P value less than 0.05 was considered as statistical significance and marked in bold. TABLE 1 | Clinicopathological characteristics in relation to CD3E expression level in AHYMUM cohort. Down-Regulation of CD3E Inhibits Cell
Proliferation and Invasion Abilities in N9
and N33 Cells Characteristics
AHYMUN cohort
CD3E expression
c2
P
(N=100)
Low IHC score
High IHC score
(N = 50)
(N = 50)
N (%)
Age
4.889
0.027
<60 years
55 (0.55)
33 (0.60)
22 (0.40)
≥60 years
45 (0.45)
17 (0.38)
28 (0.72)
Gender
0.271
0.603
Male
82 (0.82)
40 (0.49)
42 (0.51)
Female
18 (0.18)
10 (0.56)
8 (0.44)
Grade
14.924
<0.001
G2
69 (0.69)
39 (0.57)
30 (0.43)
G3
31 (0.31)
11 (0.35)
20 (0.65)
Seizure history
12.148
<0.001
yes
61 (0.61)
39 (0.64)
22 (0.36)
no
39 (0.39)
11 (0.28)
28 (0.72)
Microvascular invasion
6.828
0.009
Absent
55 (0.55)
34 (0.62)
21 (0.38)
Present
45 (0.45)
16 (0.36)
29 (0.64)
Capsular invasion
1.961
0.161
Absent
51 (0.51)
29 (0.57)
22 (0.43)
Present
49 (0.49)
21 (0.43)
28 (0.57)
Karnofsky score
9.180
0.002
≥80
61 (0.61)
36 (0.59)
21 (0.41)
<80
39 (0.39)
14 (0.36)
29 (0.64)
IHC, immunohistochemistry; AHYMUN, Affiliated Hospital of YouJiang Medical University for Nationalities. P value less than 0.05 was considered as statistical significance and marked in bold. TABLE 1 | Clinicopathological characteristics in relation to CD3E expression level in AHYMUM cohort. TABLE 2 | Multivariate Cox regression analysis of DFS and OS in AHYMUM cohorts. Covariates
OS
DFS
HR
95% CI
P value
HR
95% CI
P value
Grade (ref. G2)
1.97
2.25-3.68
0.043
2.31
1.94-4.02
0.037
Microvascular invasion (ref. Absent)
1.52
1.61-2.54
0.024
1.98
1.73-3.64
0.031
Capsular invasion (ref. Absent)
1.63
2.17-3.21
0.016
1.54
2.31-3.16
0.017
Karnofsky score (ref. >80)
1.46
2.31-3.27
0.023
1.56
1.66-2.64
0.044
CD3E expression (ref. low)
3.32
2.48-9.91
0.001
4.33
2.64-12.21
<0.001
DFS, disease-free survival; OS, overall survival. P value less than 0.05 was considered as statistical significance and marked in bold. TABLE 2 | Multivariate Cox regression analysis of DFS and OS in AHYMUM cohorts. for OS and DFS of LGG. CD3E normally plays an important role
in the formation of the TCR and participates in multiple
signaling pathways in T cell-regulated immune deficiency. After a literature review and pan-cancer statistical tests, we
found that CD3E may have a completely opposite prognostic
effect in gliomas than in most other tumors (Figure 8C), except
for Uveal Melanoma (Figure S2) and LGG. In our research, we
found that CD3E is highly expressed in T cells. Through
bioinformatics and immunohistochemistry studies, we found
that CD3E is also highly expressed in LGG. Frontiers in Oncology | www.frontiersin.org Down-Regulation of CD3E Inhibits Cell
Proliferation and Invasion Abilities in N9
and N33 Cells (C, D) CCK8 assay showed that the decreased CD3E expression significantly inhibited cell proliferation in N9
N33 cells. (E) Transwell assay showed that when expression of CD3E was inhibited, the invasion ability of N9 and N33 cell lines was significantly reduced. E E FIGURE 13 | Down-regulation of CD3E inhibits cell proliferation and invasion abilities in LGG cells. (A, B) Western blot showed that CD3E protein expression was
markedly decreased after siRNA-CD3E transfection. (C, D) CCK8 assay showed that the decreased CD3E expression significantly inhibited cell proliferation in N9
and N33 cells. (E) Transwell assay showed that when expression of CD3E was inhibited, the invasion ability of N9 and N33 cell lines was significantly reduced. cell-mediated anti-tumor immune evasion. The immune system
is usually limited to the brain. The activation of various immune
cells in LGG makes TME different from other solid tumors. Therefore, we hypothesized that CD3E, as one of the main
regulatory elements of the LGG immune microenvironment,
may play an important role in LGG immune evasion and the
shaping of the immunosuppressive microenvironment. In the
previous bioinformatics analysis, we found through single cell
analysis of brain tumors that the expression of CD3E is
particularly prominent in CD8+ T cells. Therefore, we
hypothesized that CD3E may promote the immune evasion
mechanism of brain tumors by causing T cell dysfunction in
the immune cell population. In subsequent experiments, we
found that the higher the expression of CD3E in tumor cells,
the stronger the invasion ability of LGG. We know that the cells
and molecules in TME are in a process of dynamic changes at
any time. Stromal cells and immune cells jointly promote the
proliferation, apoptosis, metastasis and immune escape of cancer
cells (70); while tumor invasion and infiltration are often time-
sensitive, influencing TME all the time. Therefore, we made an audacious hypothesis that the reason why CD3E can be used as
an independent molecular marker to test the prognosis of LGG
patients is because it affects both immune cells and tumor cells. It
can be said that in LGG, CD3E is the key gene for tumor cells and
TME to influence each other, and it is the bridge between the
two. Further studies would focus on the underlying mechanism
of CD3E in immune microenvironment of LGG. Down-Regulation of CD3E Inhibits Cell
Proliferation and Invasion Abilities in N9
and N33 Cells Therefore, we
studied the expression of CD3E in pan-cancer cell lines
(Figure S7), and we found that the expression of CD3E in all
tumors is not the highest in gliomas. However, in the above
studies, we found that the higher the expression of CD3E, the
worse the prognosis of LGG, which is completely opposite to
tumors such as liver cancer and breast cancer. We considered
that CD3E plays an active role in most TMEs and passed It binds
to T cell surface receptors in the form of a complex to regulate T either promoting survival or inducing apoptosis. In our Western
blot and CCK8 experiments, we found that the higher the
expression of CD3E represented the higher the invasion of
tumor cells. This is one of the reasons why the higher the
expression of CD3E, the worse the survival of LGG patients. In addition, in the TME of glioma, the proliferation of
malignant cells is enhanced, the pool of undifferentiated
glioma cells increases, and macrophage expression exceeds
microglial expression (65–68). Still, it is an interesting question
that CD3E may have a completely opposite prognostic effect in
gliomas than that in most other tumors. In this study, CD3E was
selected because it had the most significant prognostic value
(HR=1.552, P<0.001) of LGG. DEGs screened according to
CD3E expression were mainly involved in stromal related
activities. Additionally, significantly increased CD3E expression
was found in 100 LGG samples from a validation cohort
compared with adjacent normal brain tissues. High CD3E
expression could serve as an independent prognostic indicator September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 16 Tumor Microenvironment and CD3E in LGG Lu et al. A
C
D
B
E
FIGURE 13 | Down-regulation of CD3E inhibits cell proliferation and invasion abilities in LGG cells. (A, B) Western blot showed that CD3E protein expression was
markedly decreased after siRNA-CD3E transfection. (C, D) CCK8 assay showed that the decreased CD3E expression significantly inhibited cell proliferation in N9
and N33 cells. (E) Transwell assay showed that when expression of CD3E was inhibited, the invasion ability of N9 and N33 cell lines was significantly reduced. A
C
D
B C C D D
B D D E
RE 13 | Down-regulation of CD3E inhibits cell proliferation and invasion abilities in LGG cells. (A, B) Western blot showed that CD3E protein expression was
edly decreased after siRNA-CD3E transfection. Down-Regulation of CD3E Inhibits Cell
Proliferation and Invasion Abilities in N9
and N33 Cells Our GSEA results also suggested that high CD3E expression
enriched stromal related signaling pathways, such as B/T cell
receptor signaling pathways and chemokine signaling pathways. These results indicate that CD3E may be involved in the
transition of the TME from immune-based to metabolic-based. An increasing number of studies show that CD3E is related to
tumor treatment (71–73). Our research also found that the
balance between tumor pathways, sugar metabolism, and lactic
acid formation can affect the immune status of LGG. Therefore,
we suspect that in the development of LGG, the up-regulation of
CD3E promotes the decline of tumor purity. Simultaneously, the
transition of the TME from immune-based to metabolic-based
further promotes the deterioration of LGG. September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 17 Tumor Microenvironment and CD3E in LGG Lu et al. Lu et al. sample size is also small, and they are all Asian patients. We
will further expand the samples in the next research. Additionally, we will conduct research on LGG patients in
Europe, Africa and other places. The second is that this
experiment lacks research on the expression of CD3E in
different cell populations in tumor samples. In the next work,
we will focus on this direction. The abovementioned studies
confirmed that CD3E is not only a potential prognostic factor
for LGG patients, but also a driving factor for the TME to
transform from an immune state to a metabolic state. In the
next study, we intend to study the expression of CD3E in
different cell populations in LGG to clarify the cell types that
express CD3E, as well as how the expression of CD3E in
different cell populations affects TME. We also found that positive regulation of voltage-gated
potassium channel activity is related to LGG. MicroRNAs
(miRNAs) can reportedly promote the development of invasive
nonfunctional pituitary adenomas (74, 75). Current knowledge
suggests that voltage-gated potassium channels play a
fundamental role in the generation and transmission of action
potential (76), but their role in tumors has not been deeply
studied. Whether genes can affect the tumor immune
microenvironment through action potential is an area of
further research. We found that positive regulation of
potassium ion transmembrane transporter activity is related to
LGG as well, so we can confirm that potassium ions play an
important role in LGG. CONCLUSION In conclusion, tumor purity has a considerable impact on
clinical, genomic and biological status of LGG. CD3E, novel
membrane immune biomarker deeply affecting tumor purity,
may help to evaluate the prognosis and develop individual
immunotherapy strategies for LGG patients. Evaluating the
ratio of different tumor purity and CD3E expression may
provide novel insights into the complex structure of the LGG
microenvironment and targeted drug development. 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 authors. ETHICS STATEMENT All of the study designs and test procedures were performed in
accordance with the Helsinki Declaration II. The Ethics
approval and participation consent of this study was
approved and agreed by the ethics committee of Affiliated
Hospital of Youjiang Medical College for Nationalities (Baise,
Guangxi province, China). Down-Regulation of CD3E Inhibits Cell
Proliferation and Invasion Abilities in N9
and N33 Cells Previous studies have found that DNA
methylation promotes the invasion and development of
osteosarcoma through potassium ion transmembrane
transporter activity (77). Perhaps DNA methylation is
associated with ion channels and the immune
microenvironment, and CD3E is a bridge between the three. There are many studies on the regulation of miRNA
transcription by RNA pol II and glioma. Some studies have
found that overexpression of EGR-1 may participate in the
recruitment of RNA pol II to the GDNF promoter in a non-
binding manner, and thus is involved in the regulation of GDNF
transcription in glioma cells. This regulation depends on histone
hyperacetylation of the GDNF promoter (78). Whether CD3E is
related to this will be the focus of future investigations. Some
studies have found that the ion glutamatergic synapse is
associated with medulloblastoma in children (78, 79), while
miR-375 also affects the occurrence and development of gastric
cancer (80). Therefore, we speculate that CD3E and miRNAs
may affect the invasion of glioma through the ion glutamate
synapse. Some scientists have found that rotenone sensitive
NADH ubiquinone oxidoreductase is a key regulatory step in
controlling oxidative phosphorylation during the growth period
in rat glioma cells (81). Based on the abovementioned
bioinformatics analyses of CD3E-related core genes in LGG, we
found that CD3E may be a core gene that can affect the immune
microenvironment and tumor purity of LGG in combination
with miRNAs, cell respiration, ion channels, and DNA
methylation. The role of CD3E in brain tumors is completely
different from that of extracranial tumors. This may be because
CD3E, as a core gene, regulates the tumor immune
microenvironment in a completely different manner than that
of extracranial tumors. However, malignant behavior of CD3E in
progression of glioma cell was not elucidated in this study. In
follow-up research, we could devote ourselves to exploring the
biological malignant function of CD3E and its regulatory
mechanism on the tumor immune microenvironment in in
vitro cell lines, in vivo animals, and large-scale multicenter
LGG patients. Overall, we used the ESTIMATE algorithm to determine the
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Microenvironment in Lung Cancer-Metastasis and its Relationship to Potential
Therapeutic Targets. Cancer Treat Rev (2014) 40(4):558–66. FUNDING Supplementary Figure 1 | The relationship between CD3E expression and
survival of UVM patients was shown. Supplementary Figure 1 | The relationship between CD3E expression and
survival of UVM patients was shown. This study was supported by grants from: 1. 2020 Guangxi
Zhuang Autonomous Region Health Committee self-funded
scientific research project, project number 20201558, 2. In
2020, the general project of high-level talent scientific research
project of the Affiliated Hospital of Youjiang Medical College for
Nationalities (the young and middle-aged backbone talent
project), contract number Y202011702, 3. 2021 Guangxi
University’s young and middle-aged teachers’ basic research
ability improvement project, project number 2021KY0542, and
4. The self-financing project of Guangxi Medicine and Health,
project number Z20180200. Supplementary Figure 2 | The differential expression of cd3e was investigated
according to the histological subtypes of LGG. The expression of CD3E in
astrocytoma (n = 194) was significantly higher than that in oligoastrocytoma (n =
130, P = 6.436000e-04) or oligodendroglioma (n = 130, P = 6.418700e-04). Supplementary Figure 3 | A subgroup analysis of different clinical characteristics
on clinical data to eliminate clinical bias was performed. Supplementary Figure 4 | Relations between abundance of tumor-infiltrating
lymphocytes and expression, copy number, methylation, or mutation of CD3E. Supplementary Figure 5 | The relationship between the abundance of tumor
infiltrating lymphocytes and the expression, copy number, and methylation or
mutation of CD3E in LGG was analyzed. AUTHOR CONTRIBUTIONS Overall, we used the ESTIMATE algorithm to determine the
TME-related genes in LGG by analyzing LGG samples in
TCGA datasets. Through the analysis of LGG samples in
GEO, we identified prognostic-related genes in LGG. In our
current study, there are still many shortcomings. The first is
that the LGG samples we collected are still single-center, the HNH, WL, and CL came up with the design and conception. The
data analysis and visualization were conducted by WX, HDH,
and XL. YW and WL conducted cell line experiments. The
original writing of the draft and its editing were by SC, JW, September 2021 | Volume 11 | Article 676124 Frontiers in Oncology | www.frontiersin.org 18 Tumor Microenvironment and CD3E in LGG Lu et al. ACKNOWLEDGMENTS Supplementary Figure 6 | TIDE algorithm to study the effect of CD3E on LGG
patients receiving immune checkpoint inhibitor therapy. We thank J. Iacona, Ph.D., from Liwen Bianji, Edanz Editing
China (www.liwenbianji.cn/ac), for editing the English text of a
draft of this manuscript. We are grateful to all patients for their
dedicated participation in the current study as well. Supplementary Figure 7 | The expression distribution of CD3E gene in different
tumor tissues was shown. The horizontal axis represented different groups of
samples, and the vertical axis represented the expression distribution of the gene. The Supplementary Material for this article can be found online
at: https://www.frontiersin.org/articles/10.3389/fonc.2021.
676124/full#supplementary-material The Supplementary Material for this article can be found online
at: https://www.frontiersin.org/articles/10.3389/fonc.2021. 676124/full#supplementary-material The Supplementary Material for this article can be found online
at: https://www.frontiersin.org/articles/10.3389/fonc.2021. 676124/full#supplementary-material SUPPLEMENTARY MATERIAL WL, and HZ. All authors contributed to the article and approved
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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
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that the original publication in this journal is cited, in accordance with accepted
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Volume-outcome relationship in rectal cancer surgery
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Discover Oncology
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Abstract Potentiation of lower volume surgical units may yield optimal perioperative outcomes. Keywords Rectal cancer · Volume/outcome · Anastomotic leak L. Siragusa1 · B. Sensi1 · D. Vinci1 · M. Franceschilli1 · C. Pathirannehalage Don1 · G. Bagaglini1 · V. Bellato1 ·
M. Campanelli1 · G. S. Sica1 Received: 25 February 2021 / Accepted: 2 April 2021
© The Author(s) 2021
OPEN Abstract Introduction Hospital centralization effect is reported to lower complications and mortality for high risk and complex
surgery operations, including colorectal surgery. However, no linear relation between volume and outcome has been
demonstrated. Aim of the study was to evaluate the increased surgical volume effect on early outcomes of patient
undergoing laparoscopic restorative anterior rectal resection (ARR). Methods A retrospective analysis of all consecutive patients undergoing ARR with primary anastomosis between Novem-
ber 2016 and December 2020 after centralization of rectal cancer cases in an academic Centre. Short-term outcomes
are compared to those of patients operated in the same unit during the previous 10 years before service centralization. The primary outcome was estimated anastomotic leak rate. Mean operative time, need of conversion, postoperative use
of blood transfusion, radicality, in-hospital stay, number and type of complications, readmission and reoperation rate,
mortality and 1-year and stoma persistence rates were evaluated as secondary outcomes. Results 86 patients were operated in the study period and outcomes compared to those of 101 patients operated dur-
ing the previous ten years. Difference in volume of surgery was significant between the two periods (p 0.019) and the
estimated leak rate was significantly lower in the higher volume unit (p 0.047). Mean operative time, need of conversion,
postoperative use of blood transfusion and in-hospital stay (p < 0.05) were also significantly reduced in Group A. C
l
i
Thi
d
h
h
hif
d hi h
l
i
l
i
i
d
d
d Results 86 patients were operated in the study period and outcomes compared to those of 101 patients operated dur-
ing the previous ten years. Difference in volume of surgery was significant between the two periods (p 0.019) and the
estimated leak rate was significantly lower in the higher volume unit (p 0.047). Mean operative time, need of conversion,
postoperative use of blood transfusion and in-hospital stay (p < 0.05) were also significantly reduced in Group A. Conclusion This study suggests that the shift toward higher volume in rectal cancer surgery is associated to decreased
anastomotic leak rate. Potentiation of lower volume surgical units may yield optimal perioperative outcomes. postoperative use of blood transfusion and in-hospital stay (p < 0.05) were also significantly reduced in Group A. Conclusion This study suggests that the shift toward higher volume in rectal cancer surgery is associated to decreased
anastomotic leak rate. Discover Oncology Discover Oncology Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9
1 3 2.2 Inclusion and exclusion criteria We included all patients aged above 18 years with a diagnosis of a cancer located in the rectum, defined according to
the international definition by D’Souza et al. [34], scheduled for anterior rectal resection with primary anastomosis (with
or without diverting loop ileostomy). 2.1 Study design and population A single-centre retrospective study evaluating effect of service centralization on the perioperative outcomes of rectal
cancer patients’ undergoing surgical resection. A single-centre retrospective study evaluating effect of service centralization on the perioperative outcomes of rectal
cancer patients’ undergoing surgical resection. In November 2016, colon and rectal cancer patients referred to our Institution were centralized in a newly designed
Minimally Invasive Surgery Unit, under a single surgeon. The study involved all consecutive eligible patients undergoing
elective restorative anterior rectal resection (ARR) for rectal cancer between November 2016 and December 2020 in the
new unit (Group A). Outcomes for Group A were compared with an historical control group, consisting of all consecutive patients under-
going ARR in the same hospital between January 2006 and October 2016 (Group B). Data were extrapolated from a prospectively maintained database, recording continuous and discrete variables regard-
ing biometric data, patient-related risk factors, preoperative blood test, tumor characteristics, neoadjuvant therapy,
surgical approach, de-functioning stoma and outcomes. During the postoperative period, any complication (intended as any adverse event during the follow-up period)
including infective complications, anastomotic leak (“A defect of the intestinal wall at the anastomotic site leading to a
communication between the intra- and extraluminal compartments) [30], surgical site infections (SSI, defined according
to the Centre for Disease Control and Prevention, CDC/NHNS) [31], pneumonia (clinical symptoms, confirmed by radio-
logical examination), ileus, bleeding, was recorded and graded according to Clavien-Dindo classification [32]. A scheduled Enhanced recovery after surgery (ERAS) protocol, based on the 2012 guidelines available at the time
[33] was systematically applied during the study period. In the control group no ERAS protocol was formally in place
although some items, such as avoidance of nasogastric tube and urinary catheter, early feeding, early mobilization and
pre-operative thromboprophylaxis, were commonly applied. 1 Introduction The first article describing a relationship between volume and outcome was reported by Luft et al. in 1979 [1]. Since
then, an increasing evidence suggests that a high surgical volume is a critical factor in improving post-operative and
long-term outcomes for challenging oncological procedures such as esophagectomy, gastrectomy, pancreatectomy and
hepatectomy [2–8]. Therefore, specific policies across several countries have been implemented to provide a better care
by centralizing the provision of this procedures in high-volume hospitals [9, 10]. The same is not validated for rectal cancer where conflicting existing evidences make the volume/outcome relation-
ship still debatable [11, 12]. Nevertheless, rectal cancer management is particularly challenging requiring a careful preoperative staging and
multidisciplinary team discussion, essential to individualize the treatment to the many options available (neoadjuvant
radio- chemotherapy, local excisions, surgery and watch and wait strategies) depending on patients, cancer stage and * L. Siragusa, leandros93@hotmail.it | 1Department of Surgical Science, University Tor Vergata, Viale Oxfo | https://doi.org/10.1007/s12672-021-00406-9 1 3 Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9 Research Discover Oncology (2021) 12:11 Discover Oncology Discover Oncology ( location [13]. In addition, the adoption of new techniques such as laparoscopic and robotic approach and fast-track
protocols demonstrates to be safe and effective in guaranteeing equal oncological outcomes and some short-term
advantages, with an eye to preserving better quality of life (QOL) [14–20]. location [13]. In addition, the adoption of new techniques such as laparoscopic and robotic approach and fast-track
protocols demonstrates to be safe and effective in guaranteeing equal oncological outcomes and some short-term
advantages, with an eye to preserving better quality of life (QOL) [14–20]. The narrow pelvis anatomy makes rectal resection a complex surgery and noble structures proximity makes a challenge
for surgeons to minimize morbidity while still achieving a good oncological outcome. Thus, morbidity and mortality in
rectal cancer are still relatively high with anastomotic leakage remaining the most fearful complication characterized
by long lasting clinical consequences, including mortality, significant impact on long-term functional and oncological
outcomes and QOL [21–29]. While several authors have already compared low- and high-volume hospitals with conflicting results, the effect of
increasing volume in a single institution has not been analyzed yet. Hence, the aim of this single-center study in which
is evaluated the effect of surgical volume increase on anastomotic leakage and postoperative outcomes of patient
undergoing restorative laparoscopic anterior rectal resection (ARR) for cancer. Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9 Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9 Research 2.6 Ethics This study was conducted according to the international ethical recommendations on clinical research established by
the Helsinki Declaration. The study was conducted in accordance with STROBE criteria (htpp://strobe-statement.org)
and registered under clinicaltrials.gov: NCT04761536 [36]. 2.4 Endpoints This study’s primary outcome was to evaluate the estimated anastomotic leak rate difference amongst the two groups. Leaks were evaluated according to the grading of anastomotic leakage following anterior resection of the rectum pro-
posed by the International Study Group of Rectal Cancer [35]. y
y
Secondary endpoints were: operative time, use of minimally invasive approaches, conversion to open surgery rate,
postoperative use of blood transfusion, oncological radicality, postoperative length of stay (LOS), 30-days postopera-
tive complications (as classified by Clavien-Dindo), surgical site infections, pneumonia, ileus, bleeding, reoperation,
readmission, mortality and stoma persistence 1-year after surgery. All endpoints were analyzed in both group, A and B. 3.2 Surgery volume The number of procedures performed per year was significantly higher in the period November 2016-December 2020
(Group A) when compared to the period January 2006-October 2016 (Group B) with a mean procedure per year of 22
versus 9 respectively (p 0.019) (Table 2; Fig. 1). 3.1 Study population From January 2006 to December 2020, 203 consecutive patients diagnosed with rectal cancer scheduled for anterior
rectal resection at Tor Vergata Hospital in Rome, Italy. Sixteen patients did not meet the inclusion criteria and were
excluded from the analysis: five patients were affected by intestinal bowel diseases, one patient was classified at high
risk for surgery (ASA 4), four patients had emergency surgery, six patients underwent a rectal resection without primary
anastomosis. One-hundred-eighty-seven patients undergoing elective ARR with primary anastomosis were subsequently included
in the study analysis: eighty-six operated of ARR between November 2016 and December 2020 and treated following our
ERAS protocol (Group A) and one-hundred-one operated of ARR between January 2006 and October 2016 and treated
with conventional care. Patient selection is summarized in Table 1. 2.5 Statistical analysis Characteristics were summarized by means of the levels for categorical variables or by means of quantiles for continuous
variables. Non-parametric tests were performed for comparisons between groups (Chi-Squared and Fisher Exact test
in case of categorical variables, Wilcoxon test in case of continuous variables). Cox-Stuart test was used to test whether
the data have an increasing or decreasing trend. Due to large temporal difference between groups A and B, a prediction
of “surgical volume” and “leak” for the period 2021–2026 was made using a linear regression model bases on the data
obtained in the period 2017–2020. All tests were 2-sided, accepting p < 0.05 as indicating a statistically significant dif-
ference and confidence intervals were calculated at 95% level. The analysis was performed using the R software (R Core
Team (2020). R: A language and environment for statistical computing. R Foundation for Statistical Computing, Vienna,
Austria. URL https://www.R-project.org/). 2.3 Exclusion criteria Exclusion criteria were inflammatory bowel disease, acquired or congenital immunodeficiency, preoperative infection,
pregnancy, high anesthesiology risk (ASA IV), emergency surgery, presence of synchronous cancers, failure to perform
rectal resection and primary anastomosis. :.(123456789
3 | https://doi.org/10.1007/s12672-021-00406-9 3.3 Baseline patient’s characteristic 1 Volume of surgery per
year
2
1
10
15
8
18
17
9
4
16
1
20
24
27
15
Restorative ARR per year Table 1 Patients selection Table 1 Patients selection
203 patients eligible for
rectal cancer resection
Group A (Nov2016-Dec 2020)
86 ARR treated following ERAS
protocol
Group B (Jan 2006- Oct 2016)
101 ARR following standard
care
16 patients excluded
5 IBD
1 ASA4
4 emercency surgery
6 rectal resection without
primary anastomosis
Table 2 Volume of surgery
Hospital Volume
2006–2016,
N = 11
2017–2020, N = 4
p-value
0.019
q-value20.093
Procedure per year
Mean
9 (7)
22 (5)
Minimum, Maximum
1, 18
15, 27
Fig. 1 Volume of surgery per
year
2
1
10
15
8
18
17
9
4
16
1
20
24
27
15
Restorative ARR per year 203 patients eligible for
rectal cancer resection Table 2 Volume of surgery
Hospital Volume
2006–2016,
N = 11
2017–2020, N = 4
p-value
0.019
q-value20.093
Procedure per year
Mean
9 (7)
22 (5)
Minimum, Maximum
1, 18
15, 27 2
1
10
15
8
18
17
9
4
16
1
20
24
27
15
Restorative ARR per year and distant metastasis (M). Preoperative hemoglobin was found to be higher in Group B with a mean of 13.38 ± 2.18 vs
42 ± 2.07 of Group A (p 0.003). Primary tumor extent (T) was significantly higher in Group A versus Group B (p 0.002). elines patients’ characteristics are summarized in Table 3. 1 Volume of surgery per
2
1
10
15
8
18
17
9
4
16
1
20
24
27
15
Restorative ARR per year Restorative ARR per year (N) and distant metastasis (M). Preoperative hemoglobin was found to be higher in Group B with a mean of 13.38 ± 2.18 vs
12.42 ± 2.07 of Group A (p 0.003). Primary tumor extent (T) was significantly higher in Group A versus Group B (p 0.002). Baselines patients’ characteristics are summarized in Table 3. 3.3 Baseline patient’s characteristic The two groups were comparable with respect to age, sex, BMI, comorbidities, ASA score, preoperative albumin, distance
from anal verge, neoadjuvant radiotherapy, mesorectal excision, defunctioning temporary stoma, positive lymph nodes (01231 3456789)
3 Research
Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9
(N) and distant metastasis (M). Preoperative hemoglobin was found to be higher in Group B with a mean of 13.38 ± 2.18 vs
12.42 ± 2.07 of Group A (p 0.003). Primary tumor extent (T) was significantly higher in Group A versus Group B (p 0.002). Baselines patients’ characteristics are summarized in Table 3. 3.4 Outcomes
Table 1 Patients selection
203 patients eligible for
rectal cancer resection
Group A (Nov2016-Dec 2020)
86 ARR treated following ERAS
protocol
Group B (Jan 2006- Oct 2016)
101 ARR following standard
care
16 patients excluded
5 IBD
1 ASA4
4 emercency surgery
6 rectal resection without
primary anastomosis
Table 2 Volume of surgery
Hospital Volume
2006–2016,
N = 11
2017–2020, N = 4
p-value
0.019
q-value20.093
Procedure per year
Mean
9 (7)
22 (5)
Minimum, Maximum
1, 18
15, 27
Fig. 1 Volume of surgery per
year
2
1
10
15
8
18
17
9
4
16
1
20
24
27
15
Restorative ARR per year Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9 Discover Oncology (2021) 12:11 Research Discover Oncology (N) and distant metastasis (M). Preoperative hemoglobin was found to be higher in Group B with a mean of 13.38 ± 2.18 vs
12.42 ± 2.07 of Group A (p 0.003). Primary tumor extent (T) was significantly higher in Group A versus Group B (p 0.002). Baselines patients’ characteristics are summarized in Table 3. 3.4 Outcomes
Anastomotic leak was respectively 3.5% in Group A and 8.9% in Group B (p 0.149), higher but non-significant (Fig. 2). However, estimated leak rate (2017–2026) for group A was significantly reduced when compared to group B (p 0.047)
Table 1 Patients selection
203 patients eligible for
rectal cancer resection
Group A (Nov2016-Dec 2020)
86 ARR treated following ERAS
protocol
Group B (Jan 2006- Oct 2016)
101 ARR following standard
care
16 patients excluded
5 IBD
1 ASA4
4 emercency surgery
6 rectal resection without
primary anastomosis
Table 2 Volume of surgery
Hospital Volume
2006–2016,
N = 11
2017–2020, N = 4
p-value
0.019
q-value20.093
Procedure per year
Mean
9 (7)
22 (5)
Minimum, Maximum
1, 18
15, 27
Fig. Vol:.(123456789
1 3 3.4 Outcomes 1
Anastomotic leak was respectively 3.5% in Group A and 8.9% in Group B (p 0.149), higher but non-significant (Fig. 2). However, estimated leak rate (2017–2026) for group A was significantly reduced when compared to group B (p 0.047)
(Table 4). Operative time and the use of postoperative blood transfusion were significantly lower in Group A compared to group
B: 190.3 ± 63 vs 220.7 ± 70.8 (p 0.002) and 11.6 vs 24.7% (p 0.002). Also, there was a significant higher use of laparoscopy
in group A vs group B: 52.3 vs 19.8% (p 0.0002) and a reduction in the conversion to open surgery: 8.1 vs 28.5% (p 0.002). Anastomotic leak was respectively 3.5% in Group A and 8.9% in Group B (p 0.149), higher but non-significant (Fig. 2). However, estimated leak rate (2017–2026) for group A was significantly reduced when compared to group B (p 0.047)
(Table 4).i Operative time and the use of postoperative blood transfusion were significantly lower in Group A compared to group
B: 190.3 ± 63 vs 220.7 ± 70.8 (p 0.002) and 11.6 vs 24.7% (p 0.002). Also, there was a significant higher use of laparoscopy
in group A vs group B: 52.3 vs 19.8% (p 0.0002) and a reduction in the conversion to open surgery: 8.1 vs 28.5% (p 0.002). 3.4 Outcomes Vol:.(123456789
1 3 Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9 Discover Oncology (2021) 12:11 Discover Oncology Parameters
Group A (rectal cancer
2017–2020) (n = 86)
Group B
(rectal cancer 2006–
2016) (n = 101)
P
Age (mean, SD)
67.3 ± 12.2
67.94 ± 10.8
0.704
Sex %
0.460
Male
46–53.5%
60–59.4%
Female
40–46.5%
41–39.6%
Preoperative BMI (mean, SD)
25.6 ± 4.6
26,3 ± 4.2
0.278
ASA score %
0.407
1
14–16.2%
20–19.8%
2
38–44.1%
49–48.5%
3
34–39.5%
30–29.7%
Morbidity %
Diabetes
6–6.9%
14–13.8%
0.158
Hypertension
38–44.1%
51–50.5%
0.463
Cardiovascular disease
22–25.6%
21–20.8%
0.488
Respiratory disease
13–15.1%
10–9.9%
0.3721
Preoperative albumin (gr/dl)
(mean, SD)
3.97 ± 0.51
3.87 ± 0.54
0.197
Preoperative hemoglobin (gr/dl)
(mean, SD)
12.42 ± 2.07
13.38 ± 2.18
0.003
Distance from anal verge
(cm) (mean, SD)
7.1 ± 2.8
6.7 ± 2.5
0.304
T %
0.002
1
10–11.6%
21–20.8%
2
16–18.6%
17–16.8%
3
39–45.4%
58–57.4%
4a
14–16.3%
4–3.9%
4b
7–8.1%
1–1%
N + %
37–43%
36–35.6%
0.367
M + %
13–15.1%
7–6.9%
0.096
Neoadjuvant RT %
21–24.4%
27–26.7%
0.740
Surgical approach %
Laparoscopy %
45–52.3%
20–19.8%
Open
37–43%
73–72.3%
0.0002
Converted
4–4.7%
8–7.9%
Mesorectal excision %
TME
60–69.7%
69–68.3%
1
PME
26–30.3%
32–31.7%
Defunctioning Stoma %
32–37.3%
38–37.6%
1 Mean and median LOS for group A and B were found to be significantly different: 6.5 ± 3.8 vs 12 ± 10.5 and 5 vs 9 days
respectively (p 0.001). 3.4 Outcomes Table 3 Baseline
characteristics
Parameters
Group A (rectal cancer
2017–2020) (n = 86)
Group B
(rectal cancer 2006–
2016) (n = 101)
P
Age (mean, SD)
67.3 ± 12.2
67.94 ± 10.8
0.704
Sex %
0.460
Male
46–53.5%
60–59.4%
Female
40–46.5%
41–39.6%
Preoperative BMI (mean, SD)
25.6 ± 4.6
26,3 ± 4.2
0.278
ASA score %
0.407
1
14–16.2%
20–19.8%
2
38–44.1%
49–48.5%
3
34–39.5%
30–29.7%
Morbidity %
Diabetes
6–6.9%
14–13.8%
0.158
Hypertension
38–44.1%
51–50.5%
0.463
Cardiovascular disease
22–25.6%
21–20.8%
0.488
Respiratory disease
13–15.1%
10–9.9%
0.3721
Preoperative albumin (gr/dl)
(mean, SD)
3.97 ± 0.51
3.87 ± 0.54
0.197
Preoperative hemoglobin (gr/dl)
(mean, SD)
12.42 ± 2.07
13.38 ± 2.18
0.003
Distance from anal verge
(cm) (mean, SD)
7.1 ± 2.8
6.7 ± 2.5
0.304
T %
0.002
1
10–11.6%
21–20.8%
2
16–18.6%
17–16.8%
3
39–45.4%
58–57.4%
4a
14–16.3%
4–3.9%
4b
7–8.1%
1–1%
N + %
37–43%
36–35.6%
0.367
M + %
13–15.1%
7–6.9%
0.096
Neoadjuvant RT %
21–24.4%
27–26.7%
0.740
Surgical approach %
Laparoscopy %
45–52.3%
20–19.8%
Open
37–43%
73–72.3%
0.0002
Converted
4–4.7%
8–7.9%
Mesorectal excision %
TME
60–69.7%
69–68.3%
1
PME
26–30.3%
32–31.7%
Defunctioning Stoma %
32–37.3%
38–37.6%
1 Mean and median LOS for group A and B were found to be significantly different: 6.5 ± 3.8 vs 12 ± 10.5 and 5 vs 9 days
respectively (p 0.001). No differences were found between Groups in overall postoperative complications, SSI, pneumonia, bleeding, read-
mission rate, mortality, 1-year stoma persistence and reoperation rate. No differences were found between Groups in overall postoperative complications, SSI, pneumonia, bleeding, read-
mission rate, mortality, 1-year stoma persistence and reoperation rate. Three anastomotic leaks were detected in Group A: one late leak grade B in a patient who already had a protective
loop ileostomy fashioned at index operation, was treated conservatively; another early leak grade A was also treated
conservatively, whilst the third was a C grade leak requiring reoperation, abdominal lavage and a defunctioning loop
colostomy. Both patients have loop ileostomy and colostomy closure after 9 and 33 months respectively. Three anastomotic leaks were detected in Group A: one late leak grade B in a patient who already had a protective
loop ileostomy fashioned at index operation, was treated conservatively; another early leak grade A was also treated
conservatively, whilst the third was a C grade leak requiring reoperation, abdominal lavage and a defunctioning loop
colostomy. 3.4 Outcomes surgery: in two cases the anastomosis was saved and lateral colostomy fashioned; in two cases the rectal stump sutured
and an end-colostomy created. Out of the eight patients having a defunctioning stoma, four were never recanalized
while the other four after 2, 7, 9 and 12 months. No leak-related mortality was observed in both Groups. y
p
One patient died (massive bowel ischemia) in Group A and two in Group B (one patient had an haemorrhagic shock
and one suffered of heart failure). Outcomes results are summarized in Table 5. 3.4 Outcomes Both patients have loop ileostomy and colostomy closure after 9 and 33 months respectively. In Group B, nine leaks were observed (one grade A, one grade B, seven grade C): two patients with diverting stomas
developed leaks grade A and B and were treated conservatively; three patients with early leaks grade C who also had
a loop ileostomy, required reoperation, abdominal lavage and drainage. Four patients with grade C leaks also required In Group B, nine leaks were observed (one grade A, one grade B, seven grade C): two patients with diverting stomas
developed leaks grade A and B and were treated conservatively; three patients with early leaks grade C who also had
a loop ileostomy, required reoperation, abdominal lavage and drainage. Four patients with grade C leaks also required (0121 3456789)
3 Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9 Discover Oncology Research surgery: in two cases the anastomosis was saved and lateral colostomy fashioned; in two cases the rectal stump sutured
and an end-colostomy created. Out of the eight patients having a defunctioning stoma, four were never recanalized
while the other four after 2, 7, 9 and 12 months. No leak-related mortality was observed in both Groups. One patient died (massive bowel ischemia) in Group A and two in Group B (one patient had an haemorrhagic shock
and one suffered of heart failure). Outcomes results are summarized in Table 5. Fig. 2 Ratio leak/year
between Groups
Table 4 Anastomotic leak
prediction
Leak Prediction
LEAK
no LEAK
P (0.047)
2006–2016
9
92
2017–2026
7
221 Fig. 2 Ratio leak/year
between Groups
Table 4 Anastomotic leak
prediction
Leak Prediction
LEAK
no LEAK
P (0.047)
2006–2016
9
92
2017–2026
7
221 surgery: in two cases the anastomosis was saved and lateral colostomy fashioned; in two cases the rectal stump sutured
and an end-colostomy created. Out of the eight patients having a defunctioning stoma, four were never recanalized
while the other four after 2, 7, 9 and 12 months. No leak-related mortality was observed in both Groups. surgery: in two cases the anastomosis was saved and lateral colostomy fashioned; in two cases the rectal stump sutured
and an end-colostomy created. Out of the eight patients having a defunctioning stoma, four were never recanalized
while the other four after 2, 7, 9 and 12 months. No leak-related mortality was observed in both Groups. :.(123456789
3 4 Discussion This study analyzes how anastomotic leak and perioperative outcomes of patients undergoing anterior rectal resection
for cancer are influenced by a significant increase in surgical volume at the same institution.i The main result of this study is the demonstration of a significant reduction in estimated anastomotic leak rate fol-
lowing ARR possibly due to centralization of service within the same Hospital. A correlation between volume and anastomotic leak rates has been reported in only two other studies in the litera-
ture: a metanalysis by Huo et al., including 15,446 patients, demonstrated a significant reduction in anastomotic leak
rate for rectal surgery with a HR of 0.75 (CI 95% 0.58–0.97) while, on the contrary, in a Dutch series, anastomotic leak was
decreased in low-volume Hospitals for T1-3 rectal cancers [37, 38]. Other two notable studies are the large series by El
Amrani et al. and Burns et al. [39, 40]. The former analyzed 45.569 rectal cancer resections performed in France between
2012 and 2016 and could not demonstrate a correlation between volume and anastomotic dehiscence. The latter identi-
fied 109.261 patients undergoing colorectal resection and again no significant association between surgical volume and
leak was found. Overall the existing literature is inconclusive on this aspect. Our study brings new data in favor of a positive volume-outcome correlation in rectal cancer surgery in a single institu-
tion. Between January 2006 and November 2016 five surgeons in three surgical units within the same large, tertiary aca-
demic center were operating on rectal cancer patients. In November 2016, a decision to centralize rectal cancer patients
to only one surgical unit was taken. The decision was taken after an internal audit, in accordance between surgical units
and with full support from the top. The audit served as a baseline assessment and guided further developments. A core
team was established, with common perspectives and objectives. Interactions with other specialist units, including Gas-
troenterology, Oncology, Radiology and Radiotherapy were strengthened through more frequent, specifically dedicated
multi-disciplinary meetings. 4 Discussion Furthermore, in order to increase colorectal cancer case referral to the unit, a closer col-
laboration with General Practitioners (GP) was started by seeking out local GPs to inform them and making them active l:.(123456789
3 :.(123456789
3 Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9 Discover Oncology (2021) 12:11 Discover Oncology (20 Research Discover Oncology Table 5 Results of primary
and secondary outcomes
Parameters
Group A (rectal cancer
2017–2020) (n = 86)
Group B
(rectal cancer 2006–
2016) (n = 101)
P
Operative Time (min) (mean, SD)
190.3 ± 63
220.7 ± 70.8
0.002
Need for conversion to open %
4/49–8.1%
8/28–28.5%
0.002
Postoperative blood transfusion %
10–11.6%
25–24.7%
0.024
Radicality %
0.552
R1
4–4.7%
7–6.9%
R2
0–0%
0–0%
Postoperative length hospital stay (days)
0.001
(mean, SD)
(median)
6.5 ± 3.8
5
12 ± 10.5
9
Complications % n patient
17–19.7%
29–28.7%
0.176
Anastomotic leak
3–3.48%
9–8.9%
0.149
Ileus
10–8.6%
19–18.8%
0.228
SSI
6–7%
10–9.9%
0.603
Pneumonia
4–4.6%
7–6.9%
0.552
Bleeding
1–1.2%
5–5%
0.220
Clavien-Dindo %
0.555
0
63–73.3%
62–61.4%
1
4–4.7%
10–9.9%
2
12–13.9%
17–16.8%
3a
3–3.5%
3–3%
3b
3–3.5%
5–5%
4
0–0%
2–2%
5
1–1.2%
2–2%
Reoperation rate %
3–3.5%
10–9.9%
0.147
30 days readmission rate %
2–2.3%
3–3%
1
30 days mortality %
1–1.2%
2–2%
1
1-year stoma persistence %
9/33–27.2%
18/43–41.8%
0.231 Table 5 Results of primary
and secondary outcomes contributors to the project. Operational preparation and strategic planning helped building strong referral networks and,
at the same time, the use of laparoscopy and implementation of enhanced recovery pathways was promoted. contributors to the project. Operational preparation and strategic planning helped building strong referral networks and,
at the same time, the use of laparoscopy and implementation of enhanced recovery pathways was promoted. Patients in the two groups were comparable for what concern known risk factors for anastomotic dehiscence, such
us diabetes, smoking attitude, etc. [41, 42]. A few confounders may be pointed out but most of them are not expected
to influence results significantly. The two cohorts are separated in time and it could be argued that change of practice
other than volume might have resulted in the observed results. 4 Discussion First, rectal cancer
management is particularly complex in many respects, needing multidisciplinary evaluation, availability of numer-
ous treatment options, specialist nurses, teamwork and possibly research facilities [48–50]. Furthermore, it is often
a complex procedure requiring highly skilled surgeons to perform meticulous dissection in the narrow space of the
pelvis, using minimally invasive techniques. On the other hand, the evidence regarding volume/outcome is still too conflicting to draw a conclusion in favor
of centralization [51]. Nevertheless, some evidences in favor of a better outcome in high volume facilities comes from multiple large
series and metanalysis. The most relevant finding is a decreased 30-days mortality, which is reported in many series
[36, 52, 53]. Overall morbidity is reduced in the series reported by El Amrani et al. [39]; Baek et al. report higher rate
of sphincter saving procedures, and Jonker et al. found a higher rate of complete radical resection for T4 cancers
[38, 53]. Aquina et al. argues that high volume surgeons in high volume hospitals only obtain the best results [52]. Examples of centralizations in Europe for rectal cancer surgery exists in the Netherlands, Germany, Ireland, Norway,
Sweden and Spain [54–58]. Yet, in a Dutch series by Jonker et al., high volume hospitals perform worse than low volume in terms of complica-
tions and other equally large series also failed to find any significant differences between low and high-volume centers
[11, 38, 59–61]. A big limitation in confronting these studies is the definition of “high volume” as there is no consensus on the cutoff
value. Recent UK guidelines specifically on this topic could not define a threshold because evidence is not strong enough
to set one, since it would mean to cut out hospitals currently performing fewer procedure without a certain justification
[12]. Another aspect is whether the surgeon rather than the center should be the target of centralization. Although some
investigators reported better outcome in high volume surgeons, studies so far have shown a high variation in outcomes
with mortality ranging from 0 to 7.7% suggesting that high volume per se, not supported by adequate structures and
investments, could not be sufficient to improve outcome [61]. 4 Discussion Yet, leak rates after ARR have been reported unchanged
throughout the literature for many years and no reproducible significant improvement was introduced in clinical prac-
tice between 2006 and 2020, with the possible exception of indocyanine green, which in any case was not used in this
series [43, 44]. The two groups, despite being relatively homogeneous, differ in some respects. A fast-track protocol has
been implemented in the second time period (resulting in fact in lower LOS) but it has been widely demonstrated that
ERAS has no impact on anastomotic leak [19, 20]. The same can be asserted for laparoscopy, which can reduce other
postoperative complications such us surgical site infections, but does not affect dehiscence rate [14–16]. Depth of invasion (T stage) was greater in Group A, suggesting a surgery generally more demanding and more prone
to complications in Group A, therefore adding value to the results. Finally, patients in Group B tended to have higher
preoperative hemoglobin values and a higher need for transfusions, which may be interpreted as an increased intra-
post-operative bleeding. This, indeed, may have favored Group A, as acute anemia is a known risk factor for anastomotic
fistula [45, 46]. Yet, this may be justified with improved intra and postoperative surgical and anesthesiological manage-
ment, referable to increased volume. As Group A spanned a much smaller number of years than Group B, prediction of estimated leak rate for the years
2021–2026 was needed to render the two groups susceptible to (statistically) more appropriate comparison. (01231 3456789)
3 23456789)
3 | https://doi.org/10.1007/s12672-021-00406-9 Research Discover Oncology (2021) 12:11 Research Discover Oncology Anastomotic leakage is a very severe complication after ARR, often treated multidisciplinary with a reported rate
up to 13.4% in an early phase and around 20% in the long-term [47]. Generally, mortality rate is low and, in our series,
we did not report any leak-related mortality even though it has been reported to be up to 20% in some studies [21, 22,
27, 47]. Besides mortality, anastomotic leak has a significant impact on long-term functional outcome with the risks
of sphincterial function loss and an unintended permanent stoma rate around 20% and it has a significant impact in
quality of life and costs for health system [23–27]. Rationale in favor of case centralization to high volume centers is based on two consideration. :.(123456789
3 Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9 | https://doi.org/10.1007/s12672-021-00406-9 Discover Oncology (2021) 12:11
| https://doi.org/10.1007/s12672-021-00406-9 Research Furthermore, although being a study on surgical volume, rather than supporting “centralization” of care to pre-existing
high volume units, results from this study embrace the possibility of “potentiation” of surgical units already present to
optimize results, in line with the current literature. Some limitations to this study are acknowledged by the authors. In particular, the retrospective nature of the study
limit reliability of results, the number of patients treated is relatively low representing a potential bias and the single
center experience is not easily generalizable to other centers. Oncologic outcomes have not been analyzed in the present
study for lack of sufficient follow up for the most recent cohort of patients. Declarations Ethics approval According to the IRB of Policlinico Tor Vergata, research study conducted retrospectively from data obtained for clinical pur-
pose do not need ethical approval. The study was conducted in accordance with STROBE criteria (htpp://strobe-statement.org) and registered
under clinicaltrials.gov: NCT04761536. This study was conducted according to the international ethical recommendations on clinical research
established by the 1964 Helsinki Declaration. Consent to participate and to publish Written informed consent was obtained from all subjects involved in the study and no patients can be
identified in the present study. Competing interest The authors declare no conflict of interest. Open Access This article is licensed under a Creative Commons Attribution 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
need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/. 5 Conclusion Our study demonstrates that in response to an increased volume of ARR procedures for rectal cancer in a surgical unit,
postoperative estimated anastomotic leak rate was significantly reduced despite treatment of more complex cases. Potentiation of existing low/medium volume surgical departments able to provide standard care for rectal cancer, by
operational preparation and strategic planning, can yield improved perioperative results. Authors’ contributions LS and BS wrote the manuscript and made substantial direct equal intellectual contribution. GSS, LS, BS, VB, CPD, DV,
GB, MC and MF have contributed to the conception, design, analysis and/or interpretation of data and they made substantial intellectual
contribution. GSS critically revised the manuscript. All authors have read and agreed to the published version of the manuscript. Funding This research didn’t received grants from any founding agency in the public, commercial or not-for-profit sectors. Data availability Data supporting reported results can be found in the database of Policlinico Tor Vergata (www.ptvonline.it). Data are protected
and access availability must be obtained. Code availability Not applicable. 4 Discussion As a matter of fact, current guidelines recommend treat-
ment in centers that can provide standard of care management including multidisciplinary approach (with dedicated
oncologists, radiologists, radiation oncologists, endoscopists, surgeons and specialist nurses) but do not make any rec-
ommendation regarding hospital volume [13]. Other finding which would testimony on the benefits of volume increase are reduction in LOS, mean operative time,
blood transfusion and need of conversion to open surgery. However, giving the retrospective nature of the study and
the different time spam in which the two groups of patients were operated, it cannot be clarified whether these results
are in effect due to other factors such as the implementation of ERAS and laparoscopy during the years. It is possible that
the increase in volume reduces operative time, need for conversion to open surgery and postoperative blood transfu-
sions; LOS could be correlated to both ERAS and minimally invasive surgery approach [15, 20, 62–66]. Other secondary
outcomes such as postoperative complications, readmission rate, reoperation and mortality rate and 1-year stoma per-
sistence were not significant in this study. It is unknown whether this could be due to the low accrual.f gi
y
Overall, this study seems to add new information on the effect of volume on rectal surgery. To the best of our knowledge, this is the first study evaluating effects of surgical volume in rectal cancer perioperative
outcomes within the same Hospital. Therefore, it is pioneering in investigating effects of increasing volume in one depart-
ment, rather than comparing different centers with different contexts, in an effort to isolate volume effect and minimize
bias due to sample heterogeneity. Most studies in the literature come from population registry studies, involving many
different hospitals and many different surgeons within the same Hospital, assembling a heterogeneous jumble of dif-
ferent practices in pre-, intra- and post-operative care. Patients in this study represent a homogenous group of patients
managed in the same institution with uniform practices regarding protocols of treatment (e.g. neoadjuvant therapy),
and postoperative management (e.g. early detection of leak with serial blood tests, CT scan with contrast per rectum,
conservative management if possible). This potentially eliminates bias of comparing different situations, as is the case
with population registries. :.(123456789
3 :.(123456789
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Two-Way Multiple Relays Channel: Achievable Rate Region and Optimal Resources
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Advances in electrical and electronic engineering/Advances in Electrical and Electronic Engineering
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INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES DOI: 10.15598/aeee.v14i3.1646 Abstract. This paper considers a communication
model containing two users that exchange their infor-
mation with the help of multiple parallel relay nodes. To avoid interference at these common nodes, two
users are required to transmit over the different fre-
quency bands. Based on this scenario, the achievable
rate region is initially derived. Next, an optimization
scheme is described to choose the best relays that can
be used by each user. Then, two power allocation opti-
mization schemes are investigated to allocate the proper
average power value to each node. Finally, compar-
isons between these two optimization schemes are car-
ried out through some numerical examples. niques have been studied. These encoding schemes
include Decode-and-Forward (DF) [2] and [3], Partial
Decode-and-Forward (PDF) [4] and Amplify-and For-
ward (AF) scheme [5] and [6]. For practical purposes, a
relay channel with orthogonal channel components was
studied in [7], [8] and [9]. The motivation beyond this
scheme is that a relay cannot simultaneously receive
and transmit over the same frequency band. Recent studies show that a bidirectional relay node
may be used to increase the spectrum efficiency. In this
channel model, a relay node can be used to help two
users in exchanging their information. This Two-Way
Relay Channel (TWRC) was extensively addressed
in many different scenarios [10], [11], [12], [13], [14],
and [15]. For instance, the achievable rate region was
considered in [10], [11] and [12], an efficient compute
and forward scheme was investigated in [15], and an
AF encoding scheme was examined in [5]. Further,
performance of this TWRC was studied in [13] and [16]
for the case that Orthogonal Frequency Division Mul-
tiplexing (OFDM) is employed by both of the users. In addition, TWRC with multiple parallel relays has
been investigated from various aspects like beamform-
ing [17], and diversity analysis [18] and [19]. Keywords Channel capacity, decode and forward, power
allocation, two-way relay channel. Channel capacity, decode and forward, power
allocation, two-way relay channel. Two-Way Multiple Relays Channel: Achievable
Rate Region and Optimal Resources Zouhair AL-QUDAH 1, Wael Abu SHEHAB 2 1Department of Communication Engineering, College of Engineering,
Al-Hussein Bin Talal University, Ma’an 71111, Jordan
2Department of Electrical Engineering, College of Engineering,
Al-Hussein Bin Talal University, Ma’an 71111, Jordan qudahz@ahu.edu.jo, waelabushehab@ahu.edu.jo DOI: 10.15598/aeee.v14i3.1646 1.
Introduction Relaying has a major role in extending and/or improv-
ing the performance of wireless networks. In its sim-
plest form, the relay channel, which is mainly com-
posed of a source transmitting to its destination with
assistance of a relay node, was initially proposed by
van der Meulen in his seminal work [1]. Since then,
this channel model has been received an extensive in-
vestigation in both theory and practice. From an infor-
mation theory perspective, the achievable rate of the
physically degraded relay channel was studied in [2]. Further, based on the channel’s gain from the source
and the relay to the destination, various encoding tech- This paper considers the TWRC with multiple par-
allel relays and orthogonal channel components, as
shown in Fig. 1. This channel model consists of two
users want to exchange their information via the help
of multiple parallel relays. This communication sce-
nario may model two users want to communicate with
the help of common node(s) such as access point(s). In order to avoid interference between the two users’
signals at each relay, the users are required to transmit
over channels with different frequency bands. First,
the achievable rate region is derived using full DF at
all relays. Next, an optimization scheme is described to c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING 279 INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER D SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES with different frequency bands, to all the relays. Thus,
for a given relay, the received signal, YiRj, is given by with different frequency bands, to all the relays. Thus,
for a given relay, the received signal, YiRj, is given by select the best two relays to forward the two users’ sig-
nals to their destination. Then, based on whether these
relays can cooperate to form a Multiple Input Single
Output (MISO) channel with each destination or not,
two power allocation schemes are distinguished and in-
vestigated. These power allocation schemes are used to
allocate the optimal power values at both source nodes
and the selected relays such as the sum rate is maxi-
mized under the fairness constraint. Afterwards, some
numerical examples are discussed to show the impor-
tance of our theoretical work. YiRj =
L
X
j=1
hiRjXi + ZiRj,
(1) (1) where hiRj is the channel gain from user Ui, i ∈{1, 2},
to relay Rj, j ∈[1, L], and L is the number of used
relays. Further, the noise signal ZiRj is assumed to be
Gaussian noise with 0 mean and variance normalized
to 1. Indeed, the average transmit power, Pi, at each
source is limited by Fig. 1: TWRC with multiple relays. Different link formats
are given to represent channels with different frequency
bands. 1
n
n
X
k=1
X2
i,k ≤Pi. (2) (2) In the second step, each relay forward the two users’
signals to their destinations. Since multiple relays can
forward each user’s signal, thus, a multiple access chan-
nel (MAC) is formed. Therefore, the received signal Yi,
i ∈{1, 2}, at each destination is expressed as Fig. 1: TWRC with multiple relays. Different link formats
are given to represent channels with different frequency
bands. Yi =
L
X
j=1
hRjiXRji + Zi,
(3) (3) The rest of this paper is organized as follows. The
communication model that we study in this paper is
introduced in Section
2. Next, the achievable rate
region of the TWRC with multiple relays and orthog-
onal channel components is characterized in Section
3. c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING Then, for a given user, the best relay to use and
the optimum power allocation that maximize the sum
rate are investigated in Section 4. Numerical results
are presented in Section 5. Finally, we conclude the
paper in Section 6. where hRji is the channel gain from a relay Rj to des-
tination Ui. In addition, for instance, XRj2, j ∈[1, L],
is the signal forwarded to the destination U2 and it is
a function of X1, i.e. XRj2 = f(X1), and with average
power PRj2 given by 1
n
n
X
k=1
X2
Rj2,k ≤PRj2. (4) (4) 2.
TWRC: Channel Model Moreover, the noise signal Zi is assumed to be Gaus-
sian noise with 0 mean and variance normalized to 1. Since the BC term is performed over n uses of the chan-
nel, and the MAC term is also performed over another
n uses of the channel, the transmission from a given
source to its destination is performed over 2n uses of
the channel. Moreover, the noise signal Zi is assumed to be Gaus-
sian noise with 0 mean and variance normalized to 1. Moreover, the noise signal Zi is assumed to be Gaus-
sian noise with 0 mean and variance normalized to 1. Since the BC term is performed over n uses of the chan-
nel, and the MAC term is also performed over another
n uses of the channel, the transmission from a given
source to its destination is performed over 2n uses of
the channel. In this Section, the communication model, as shown
in Fig. 1. is presented. This model consists of
two users, which want to exchange their information,
and multiple parallel relay nodes. In order to avoid
interference between the two user’s signals at each re-
lay, the relays are assumed to operate over multiple
frequency bands with multi-standards. These relays
can decode and then forward the two users’ signals to
their destinations. Also, in this case, the relays are
assumed to forward the signals over channels with dif-
ferent frequency bands. This selection can simplify the
transmissions and also optimize the available power be-
tween the two users. In addition, data transferring is
performed over 2n of the channel uses, In particular,
n uses of the channel are consumed in the broadcast
phase, and another n uses of the channel are employed
in the multiple access phase. In the first step, each user
broadcasts (BC) its signal Xi, i ∈{1, 2}, over channels 3.
Achievable Rate Region In this Section, the achievable rate region of the
TWRC, which is augmented by multiple parallel re-
lays, is derived. The transmission is composed of two
phases. In the first phase, the users broadcast to the re-
lays. Then, in the second phase, the relays forward the
decoded messages to their destinations. The achievable
rates and the transmission phase are introduced in the
following Thm. 1. c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING 280 INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER FORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES Theorem 1. The achievable rate region of the TWRC
with multiple parallel relay nodes is given by Theorem 1. The achievable rate region of the TWRC
with multiple parallel relay nodes is given by where I(.) is the mutual information, and h(.) is the
differential entropy. Remember that the noise variance
over all channels is normalized to 1. Also the second
user’s signal is received by all the relays. We remind
that the relays can receive signals over different fre-
quency bands. Thus, in the BC phase, the achievable
rate for user U2 can be expressed by R1 = 1
2 max min
L
X
j=1
C
|h1Rj|2P1
, C (A1)
,
(5)
R2 = 1
2 max min
L
X
j=1
C
|h2Rj|2P2
, C (A2)
,
(6) RBC,2 ≤
L
X
j=1
1
2 log2
1 + |h2Rj|2P2
. (12) (12) where where A1
=
L
X
j=1
|hRj2|
q
PRj2
2
=
L
X
j=1
|hRj2|2PRj2
(7)
+
L
X
j=1
L
X
v=j+1
2ρjv|hRj2||hRv2|
q
PRj2PRv2,
A2
=
L
X
j=1
|hRj1|
q
PRj1
2
=
L
X
j=1
|hRj1|2PRj1
(8)
+
L
X
j=1
L
X
v=j+1
2ρjv|hRj1||hRv1|
q
PRj1PRv1, Fig. 2: Broadcast Phase. Different frequency bands are used to
transmit to the relays. (7) Fig. 2: Broadcast Phase. Different frequency bands are used to
transmit to the relays. (8) At the end of this phase, the relays can decode the
users’ signals. Then, in the second phase, the relays can
forward each signal to its destination. 3.
Achievable Rate Region RBC,1
=
I (X1; Y1R1, · · · , Y1RL)
=
h (Y1R1, · · · , Y1RL) −h (Y1R1, · · · , Y1RL|X1)
=
h (Y1R1, · · · , Y1RL) −h (Z1R1, · · · , Z1RL)
=
h (Y1R1, · · · , Y1RL) −
L
X
j=1
h(Z1Rj)
(11)
≤
L
X
j=1
h(Y1Rj) −h(Z1Rj)
≤
L
X
j=1
1
2 log2
1 + |h1Rj|2P1
,
Fig. 3: Multiple Access Phase. Different frequency bands are
used to transmit to the destinations. RBC,1
=
I (X1; Y1R1, · · · , Y1RL)
=
h (Y1R1, · · · , Y1RL) −h (Y1R1, · · · , Y1RL|X1)
=
h (Y1R1, · · · , Y1RL) −h (Z1R1, · · · , Z1RL)
=
h (Y1R1, · · · , Y1RL) −
L
X
j=1
h(Z1Rj)
(11)
≤
L
X
j=1
h(Y1Rj) −h(Z1Rj)
≤
L
X
j=1
1
2 log2
1 + |h1Rj|2P1
, (11) Fig. 3: Multiple Access Phase. Different frequency bands are
used to transmit to the destinations. Fig. 3: Multiple Access Phase. Different frequency bands are
used to transmit to the destinations. 3.
Achievable Rate Region Thus, the trans-
mission from all relays to a given destination forms a
MAC channel, as depicted in Fig. 3. For instance, the
achievable rate of DF X1 to its destination U2, in the
MAC phase, can be expressed as: E
XRjiXRvi
=
ρjv|hRji||hRvi|
q
PRjiPRvi, (9)
C(x)
=
1
2 log2 (1 + x) ,
(10) (9) RMAC,1
=
I
Y2; XR12, · · · , XRj2
=
h (Y2) −h
Y2|XR12, · · · , XRj2
=
h (Y2) −h (Z2)
(13)
=
1
2 log2 (1 + A1) , (10) and ρjv is the cross-correlation between the signals for-
warded by the relays j and v, respectively. In addition,
E[.] denotes the expectation. (13) where A1 is the total signal-to-noise ratio from all re-
lays to the destination U2, in the MAC phase, and is
already defined in the previous theorem. Moreover,
similar results can be obtained from decode and then
forward X2 to its destination U1. where A1 is the total signal-to-noise ratio from all re-
lays to the destination U2, in the MAC phase, and is
already defined in the previous theorem. Moreover,
similar results can be obtained from decode and then
forward X2 to its destination U1. Proof. The transmission from a given source to its des-
tination consists of two phases, the BC phase, and the
MAC phase. In the BC phase, as seen in Fig. 2, a
source broadcasts its signal into multiple parallel re-
lays. This transmission is equivalent to that over par-
allel Gaussian channel [20]. Thus, the achievable rate,
for user U1, in the BC phase, can be expressed by: RBC,1
=
I (X1; Y1R1, · · · , Y1RL)
=
h (Y1R1, · · · , Y1RL) −h (Y1R1, · · · , Y1RL|X1)
=
h (Y1R1, · · · , Y1RL) −h (Z1R1, · · · , Z1RL)
=
h (Y1R1, · · · , Y1RL) −
L
X
j=1
h(Z1Rj)
(11)
≤
L
X
j=1
h(Y1Rj) −h(Z1Rj)
≤
L
X
j=1
1
2 log2
1 + |h1Rj|2P1
,
Fig. 3: Multiple Access Phase. Different frequency bands are
used to transmit to the destinations. 4.
Optimal Power Allocation Now based on the ability of the relays to cooperate,
two transmission schemes are developed. In the case
of cooperation, these relays can form a sender with
two transmit antennas. Hence, Multiple Input Single
Output (MISO) channel with two transmit antennas
and one receive antenna is formed. When there is no
cooperation, the relays are considered as two separate
users transmitting to a given receiver to form a MAC
channel. Based on these two cases, the achievable sum
rate is studied in the next two Subsections. In this Section, power allocation techniques, which are
used to distribute the available total power among the
two sources and the relays, are studied. In particular,
the power is allocated such that the two users have
the same data rate. To understand how this power
should be distributed, the transmission phases should
be analyzed. For a given user, in the MAC term, the
authors in [21] showed that the total available power is
given to the node that has the best channel gain with
the destination. This means that in decoding and for-
warding X1 to its destination, U2, the relay which has
the highest channel gain with U2 is selected. This sce-
nario is also used to select the relay to contact with U1
in DF X2. Generally, the selected relay to extend the
transmission to U1, may not be the same one that has
to contact with U2. For instance, in the MAC phase,
assume Rg and Rh are the selected relays to forward
the signals to U1 and U2, respectively. Since the BC
phase and the MAC phase are done over orthogonal
time periods, we can easily assume that the channel
gain for a given link does not change over 2n uses of
the channel i.e., |h1Rg| = |hRg1|. Then, for instance,
the selected relay to forward to U1 can be chosen to
receive from U1 in the BC phase. Since each user can
be in touch with only the selected relay over a given
frequency band, the two relays may be used to receive
from the two sources in the BC phase and then to DF
the signals in the MAC phase, as depicted in Fig. 4. c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING 281 INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES 4.1.
Power Optimization in MISO
Channel R1 = R2
PT = P1 + P2 + PRh + PRg
0 < P1, P2, PRh, PRg < PT . (14)
|
2Rg|
2
|
2Rh|
RMISO2 = C
P4(|h
where P3 + P4 = PRg =
relay’s power allocated to maximize
RT = R1 + R2
s.t. R1 = R2
PT = P1 + P2 + PRh + PRg
0 < P1, P2, PRh, PRg < PT . (14) RMISO2 = C
P4(|hRg1|2 + |hRh1|2)
2
,
(21) (21) (14) where P3 + P4 = PRg = PRh, P4 is the part of each
relay’s power allocated to transmit XRg1 and XRh1 to c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING
282 4.1.
Power Optimization in MISO
Channel In this Subsection, the achievable sum rate is maxi-
mized in the case that the two relays and their destina-
tion forms a MISO channel. We start solving this opti-
mization problem by noting that the maximum achiev-
able rate, over a relay channel, is obtained in the case
of RBC = RMISO. Thus, for the user, U1, we may
write RBC1 = RMISO1,
(15) (15) where RBC1 = C
|h1Rg|2P1
+ C
|h1Rh|2P1
=
(16)
= C
|h1Rg|2P1 + |h1Rh|2P1 + |h1Rg|2|h1Rh|2P 2
1
, RMISO1 = C
P3(|hRg2|2 + |hRh2|2)
2
,
(17) (17) Fig. 4: TWRC in which the relays that have the best channel
gains to the destinations are selected. Rg has the best
channel gain with U1, Rh has the best channel with U2. The two sources use different frequencies to communi-
cate with the relays. where P3 is the part of each relay’s power allocated
to transmit XRg2 and XRh2. Noting that, in the case
of cooperative relays, the transmission from the two
relays to any destination forms a MISO channel. For
example, the capacity of the MISO channel, with two
transmit antennas and one receive antenna, from the
relays to U2, is given by [22]: CMISO1 = C
P3(|hRg2|2 + |hRh2|2)
2
. (18) (18) Fig. 4: TWRC in which the relays that have the best channel
gains to the destinations are selected. Rg has the best
channel gain with U1, Rh has the best channel with U2. The two sources use different frequencies to communi-
cate with the relays. Hence, in Multiple Input Multiple Output (MIMO)
channel, equal allocated power to all transmit anten-
nas is commonly used. Further, similar result can be
obtained for U2. In this case, we may start by choosing Thus, the power allocation among the two users and
the selected two relays has an important role of maxi-
mizing each user’s rate and also the sum rate. There-
fore, the problem of maximizing the sum rate under
the fairness constraint is considered. Hence, this opti-
mization problem can be formulated as: RBC2 = RMISO2,
(19) (19) where where RBC2 =
= C
|h2Rg|2P2 + |h2Rh|2P2 + |h2Rg|2|h2Rh|2P2
(20) RBC2 =
= C
|h2Rg|2P2 + |h2Rh|2P2 + |h2Rg|2|h2Rh|2P2
(20)
RMISO2 = C
P4(|hRg1|2 + |hRh1|2)
2
,
(21) (20) maximize
RT = R1 + R2
s.t. 4.2.
Power Optimization in MAC
Channel their destination U1. From Eq. (15) and Eq. (19), it is
clear that four unknowns P1, P2, P3, and P4 are avail-
able. Thus, two more equations should be obtained
to solve this problem. The key to our solution is that
R1 = R2, RBC1 = RMISO1 and RBC2 = RMISO2. Thus, we may have In this Subsection, we consider the case that the se-
lected relays do not cooperate to forward each user’s
signal into its destination. Thus, the channel from the
relays to each destination form a MAC one. Thus, for-
warding U ′
1s signal to its destination, by the two relays,
is given by: RBC1 = RBC2,
(22) (22) RBC1 = RBC2, (22) (22) and and RMISO1 = RMISO2,
(23) (23) RMISO1 = RMISO2, RMAC1 = C
|hRg2|2PRg2 + |hRh2|2PRh2
+2ρ2|hRg2||hRh2|pPRg2PRh2
. (32) (32) Now by solving Eq. (23), the following is obtained, Now by solving Eq. (23), the following is obtained, P3 = |hRg1|2 + |hRh1|2
|hRg2|2 + |hRh2|2 P4. (24) 4)
Similarly, forwarding U ′
2s signal to its destination is
expressed as: )
Similarly, forwarding U ′
2s signal to its destination is
expressed as: Then, by substituting the result from Eq. (24) in
Eq. (15) and in Eq. (19), we get Then, by substituting the result from Eq. (24) in
Eq. (15) and in Eq. (19), we get RMAC2 = C
|hRg1|2PRg1 + |hRh1|2PRh1
+2ρ1|hRg1||hRh1|pPRg1PRh1
. (33) (33) P1 = |hRg2|2 + |hRh2|2
2
P4,
P2 = |hRg2|2 + |hRh2|2
2
P4, P1 = |hRg2|2 + |hRh2|2
2
P4,
(25)
P2 = |hRg2|2 + |hRh2|2
2
P4,
(26) (25) Further, we remind that the rates during the BC phase,
as derived in the previous Subsection, do not change. and and (26) In this case, an iterative power allocation algorithm
is characterized instead of solving a set of equations
to get a suboptimal solution, as in the previous Sub-
section. Here, an algorithm is characterized to allocate
the total power among all nodes such that the sum rate
RT is maximized under fairness constraint. respectively. respectively. Finally, by replacing the results from Eq. (24),
Eg. (25), and Eq. (26) in PT = P1 + P2 + PRh + PRg,
the total available power can be optimally distributed
as Algorithm 1 Iterative Power Optimizations. c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING 282 INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER ERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES 4.2.
Power Optimization in MAC
Channel • In allocating PRg2 and PRh2, the relay which has
higher channel gain with the desired destination is
given more power than the other relay. In the next Subsection, instead of solving a set of
equations again, an iterative algorithm is designed to
solve the power allocation problem among all nodes. 4.2.
Power Optimization in MAC
Channel P4
=
2b
2ab + 4a + 4bPT ,
(27)
P3
=
2a
2ab + 4a + 4bPT ,
(28)
P2
=
ab
2ab + 4a + 4bPT ,
(29)
P1
=
ab
2ab + 4a + 4bPT ,
(30)
and
PRh
=
PRg
=
P3 + P4
(31)
=
a + b
ab + 2a + 2bPT ,
Algorithm 1 Iterative Power Optimizations. 1: Initializations: Based on the channel gains,
select P1 and P2 such that RBC1 = RBC2. 2: Select PRg2 and PRh2 such that RBC1 = RMAC1. 3: Can we find PRg1 and PRh1 such that
RBC2 = RMAC2, PRg = PRg1 + PRg2,
and PRh = PRh1 + PRh2,
3.1: If yes, then go to step 4. 3.2: If no, then go to step 1. 4: Save this solution as R∗
T . Can we find another set of values to get
higher than R∗
T
4.1: If yes, then go to step 1. 4.2: If no, then go to step 5. 5: Save R∗
T
6: Stop P4
=
2b
2ab + 4a + 4bPT ,
P3
=
2a
2ab + 4a + 4bPT ,
P2
=
ab
2ab + 4a + 4bPT ,
P1
=
ab
2ab + 4a + 4bPT , (30) (31) where
a
=
|hRg1|2 + |hRh1|2
,
and
b
=
|hRg2|2 + |hRh2|2
. In forwarding the signals to
their destinations, this solution confirms that more
power is allocated to the direction which has the
lower channel gain. However, this is a subopti-
mal solution since more solutions can be obtained
by solving RBC1 = RBC2, RBC1 = RMISO2, and
RBC2 = RMISO1. where
a
=
|hRg1|2 + |hRh1|2
,
and
b
=
|hRg2|2 + |hRh2|2
. In forwarding the signals to
their destinations, this solution confirms that more
power is allocated to the direction which has the
lower channel gain. However, this is a subopti-
mal solution since more solutions can be obtained
by solving RBC1 = RBC2, RBC1 = RMISO2, and
RBC2 = RMISO1. Remark 1. The following points should be considered
when Alg. 1 is implemented. • In allocating P1 and P2, the user which has less
channel gains with the relays is given more power
such that RBC1 = RBC2 is obtained. • In allocating PRg2 and PRh2, the relay which has
higher channel gain with the desired destination is
given more power than the other relay. Remark 1. The following points should be considered
when Alg. 1 is implemented. c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING 283 INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES 6. In this paper, the TWRC with multiple parallel re-
lays has been considered. The achievable rate region
has been derived in the case that the transmission is
carried over channels with different frequency bands. In addition, the best relays, that can be used to for-
ward the signals, have been selected. To allocate the
right amount of power to every node, two optimiza-
tion problems were considered. Finally, some numer-
ical examples were drawn to show the importance of
our theoretical work. Fig. 5: Achievable rate of U1 vs. number of used relays for
different values of hRi2. 5.
Numerical Results Fig. 6: Comparison between the two encoding schemes. This Section presents some numerical examples to show
the importance of our theoretical part. Basically, two
examples are presented (i) to show the relation between
the achievable rate of a given user and number of relays,
(ii) to compare between the two developed encoding
schemes, and (iii) to compare between the two studied
power allocation techniques. Figure 5 shows the achievable rate of U1 as a func-
tion of the number of used relays. In this numerical
example, the following parameters h1Ri = 2, P1 = 100,
and PRi = 100
L , where i ∈[1, L] are used. It clearly
shows that the achievable rate increases as the num-
ber of relays is so increased. In addition, as number of
relays increases beyond a given value such as L = 10,
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vol. 12, iss. 6, pp. 2904–2917. ISSN 1536-1276. DOI: 10.1109/TWC.2013.042213.121205. About Authors Zouhair AL-QUDAH was born in Irbid, Jordan in
1979. He received the B.Sc. in Telecommunication c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING c⃝2016 ADVANCES IN ELECTRICAL AND ELECTRONIC ENGINEERING 285 INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES
VOLUME: 14 | NUMBER: 3 | 2016 | SEPTEMBER INFORMATION AND COMMUNICATION TECHNOLOGIES AND SERVICES Engineering from Yarmouk University, Jordan in 2002,
the M.Sc. in Electrical Engineering from Kalmar Uni-
versity College, Sweden in 2006, and the Ph.D. degree
in Electrical Engineering from Southern Methodist
University at Dallas, Texas in 2013. Since September
2013, he has been with Al-Hussein Bin Talal university
at Ma’an, Jordan, where he is currently an Assistant
Professor. His research interest span various aspects
of multi-path fading channels, including Multiuser
information theory,
interference cancellation tech-
niques, and practical coding techniques for Dirty
Paper problem. Wael
ABU
SHEHAB
was born in Kuwait in
1972. He received his M.Sc. and Ph.D. degrees in
Electronics and Telecommunication Technique from
VSB–Technical University of Ostrava, Czech Republic,
in 1997 and 2001, respectively. He is currently an
Assistant Professor in the Department of Electrical
Engineering
at
Al-Hussein
Bin
Talal
University,
Jordan. His field of research spans a wide range of
topics including wireless communication, information
theory and control systems. 286
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https://europepmc.org/articles/pmc7821093?pdf=render
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English
| null |
Growth Hormone and Neuronal Hemoglobin in the Brain—Roles in Neuroprotection and Neurodegenerative Diseases
|
Frontiers in endocrinology
| 2,021
|
cc-by
| 15,038
|
Keywords: hemoglobin, growth hormone, insulin-like growth factor I, anemia, erythropoietin, ischemia, stroke,
neurodegenerative diseases Growth Hormone and Neuronal
Hemoglobin in the Brain—Roles
in Neuroprotection and
Neurodegenerative Diseases Marion Walser 1,2*, Johan Svensson 1,2, Lars Karlsson 3,4, Reza Motalleb 3,
Maria Åberg 2,5, H Georg Kuhn 3,6, Jörgen Isgaard 1,2,7 and N David Åberg 1,2 1 Department of Internal Medicine, Institute of Medicine, The Sahlgrenska Academy, University of Gothenburg, Gothenburg,
Sweden, 2 Region Västra Götaland, Sahlgrenska University Hospital, Gothenburg, Sweden, 3 Department of Clinical
Neuroscience, Institute of Neuroscience and Physiology, The Sahlgrenska Academy at University of Gothenburg,
Gothenburg, Sweden, 4 The Queen Silvia Children’s Hospital, Sahlgrenska University Hospital, Gothenburg, Sweden,
5 School of Public Health and Community Medicine at University of Gothenburg, Gothenburg, Sweden, 6 Institute for Public
Health, Charite´ – Universitätsmedizin Berlin, Berlin, Germany, 7 Hunter Medical Research Institute, University of Newcastle,
Newcastle, NSW, Australia In recent years, evidence for hemoglobin (Hb) synthesis in both animal and human brains
has been accumulating. While circulating Hb originating from cerebral hemorrhage or
other conditions is toxic, there is also substantial production of neuronal Hb, which is
influenced by conditions such as ischemia and regulated by growth hormone (GH),
insulin-like growth factor-I (IGF-I), and other growth factors. In this review, we discuss the
possible functions of circulating and brain Hb, mainly the neuronal form, with respect to
the neuroprotective activities of GH and IGF-I against ischemia and neurodegenerative
diseases. The molecular pathways that link Hb to the GH/IGF-I system are also reviewed,
although the limited number of reports on this topic suggests a need for further studies. In
summary, GH and/or IGF-I appear to be significant determinants of systemic and local
brain Hb concentrations through mediating responses to oxygen and metabolic demand,
as part of the neuroprotective effects exerted by GH and IGF-I. The nature and quantity of
the latter deserve further exploration in specific experiments. In recent years, evidence for hemoglobin (Hb) synthesis in both animal and human brains
has been accumulating. While circulating Hb originating from cerebral hemorrhage or
other conditions is toxic, there is also substantial production of neuronal Hb, which is
influenced by conditions such as ischemia and regulated by growth hormone (GH),
insulin-like growth factor-I (IGF-I), and other growth factors. In this review, we discuss the
possible functions of circulating and brain Hb, mainly the neuronal form, with respect to
the neuroprotective activities of GH and IGF-I against ischemia and neurodegenerative
diseases. The molecular pathways that link Hb to the GH/IGF-I system are also reviewed,
although the limited number of reports on this topic suggests a need for further studies. In
summary, GH and/or IGF-I appear to be significant determinants of systemic and local
brain Hb concentrations through mediating responses to oxygen and metabolic demand,
as part of the neuroprotective effects exerted by GH and IGF-I. The nature and quantity of
the latter deserve further exploration in specific experiments. Edited by:
Riccarda Granata,
University of Turin, Italy Reviewed by:
Neil James MacLusky,
University of Guelph, Canada
Ernest Freeman,
Kent State University, United States *Correspondence:
Marion Walser
marion.walser@medic.gu.se Specialty section:
This article was submitted to
Neuroendocrine Science,
a section of the journal
Frontiers in Endocrinology Received: 14 September 2020
Accepted: 23 November 2020
Published: 08 January 2021 REVIEW
published: 08 January 2021
doi: 10.3389/fendo.2020.606089 REVIEW
published: 08 January 2021
doi: 10.3389/fendo.2020.606089 REVIEW
published: 08 January 2021
doi: 10.3389/fendo.2020.606089 REVIEW
published: 08 January 2021
doi: 10.3389/fendo.2020.606089 INTRODUCTION Walser M, Svensson J, Karlsson L,
Motalleb R, Åberg M, Kuhn HG,
Isgaard J and Åberg ND (2021)
Growth Hormone and Neuronal
Hemoglobin in the Brain—Roles in
Neuroprotection and
Neurodegenerative Diseases. Front. Endocrinol. 11:606089. doi: 10.3389/fendo.2020.606089 It is known that GH and IGF-I are associated with circulating hemoglobin (Hb) levels in health and
disease states [for reviews, see (1, 2)]. Recently, it has been discovered that Hb is also locally
expressed in the brain (3, 4) [for a review, see (5)], which suggests that the oxygen-binding nature of
hemoglobin may have a neuroprotective role in the brain. Although each of these topics have been
reviewed previously, a comprehensive review of circulating and local Hb in relation to the
neuroprotective and cognitive effects of GH and IGF-I has to the best of our knowledge not been January 2021 | Volume 11 | Article 606089 Frontiers in Endocrinology | www.frontiersin.org Growth Hormone, Hemoglobin, and the Brain Walser et al. myoglobin (Mb), cytoglobin (Cygb), and neuroglobin (Ngb)
[for reviews, see (5, 9)]. With respect to the brain, it is
important to note that neuronal Hb (nHb) is present in
parallel with the structurally different Ngb, with which it
shares 25% protein sequence identity (10). Although the
presence of both globins has been demonstrated (11), their
relative amounts and the overlaps in their expression profiles
are only partly known (11). Unlike Hb, Ngb is not responsive to
erythropoietin (EPO). Nevertheless, Ngb appears to have
similar neuroprotective functionalities, as it has been shown
to correlate with serum IGF-I in hypoxic-ischemic conditions
(12). Mammalian Hb is a tetramer of 574 amino acids, presented. Here, we present an updated review of the potential
links between these areas of neuroscience, in which we also
identify knowledge gaps that warrant further investigation
(Figure 1). Hemoglobin Biochemistry and
Relationship to Other Globins Hemoglobins are widespread in the biosphere and are found in
all kingdoms of organisms, including prokaryotes, fungi, plants,
and animals. The ancestral Hb gene existed phylogenetically
before the divergence of plants and animals (6). There are at
least four different globins in vertebrates (Table 1): Hb, FIGURE 1 | Model of crosstalk between neuronal hemoglobin (nHb), growth hormone (GH), and insulin-like growth factor 1 (IGF-I), and the known relations to brain
diseases. With respect to interactions with neuronal Hb (nHb), the green arrows are beneficial, and the red arrows are detrimental pathways. Please, observe that
circulating or free HbA has other effects not included in this figure. In general, GH and IGF-I levels within the normal ranges are optimal for the metabolism of oxygen
and iron and for the mitochondria, which is beneficial for the brain. With age or for other reasons (e.g., genes, environment), the levels of GH and IGF-I decline, and
the metabolism deteriorates leading to lower levels of nHb. This has adverse effects on degenerative brain diseases (AD, PD, MS), although in some aspects nHb
may also respond in a manner that slows the disease progression. References for the depicted relationships are given in the main text. FIGURE 1 | Model of crosstalk between neuronal hemoglobin (nHb), growth hormone (GH), and insulin-like growth factor 1 (IGF-I), and the known relations to brain
diseases. With respect to interactions with neuronal Hb (nHb), the green arrows are beneficial, and the red arrows are detrimental pathways. Please, observe that
circulating or free HbA has other effects not included in this figure. In general, GH and IGF-I levels within the normal ranges are optimal for the metabolism of oxygen
and iron and for the mitochondria, which is beneficial for the brain. With age or for other reasons (e.g., genes, environment), the levels of GH and IGF-I decline, and
the metabolism deteriorates leading to lower levels of nHb. This has adverse effects on degenerative brain diseases (AD, PD, MS), although in some aspects nHb
may also respond in a manner that slows the disease progression. References for the depicted relationships are given in the main text. FIGURE 1 | Model of crosstalk between neuronal hemoglobin (nHb), growth hormone (GH), and insulin-like growth factor 1 (IGF-I), and the known relations to brain
diseases. With respect to interactions with neuronal Hb (nHb), the green arrows are beneficial, and the red arrows are detrimental pathways. Hemoglobin Biochemistry and
Relationship to Other Globins The heme
group contains four pyrrole rings, the nitrogen atoms of which
coordinate a central iron atom that binds weakly to oxygen (14). The main function of Hb is to transport oxygen from the lungs to
other tissues in the body in exchange for carbon dioxide, which is
transported back to the lungs. Molecular oxygen, O2, is essential
for cellular respiration in aerobic organisms. Aerobic respiration
takes place in the mitochondria of cells and requires oxygen to
create adenosine triphosphate (ATP), which provides the energy
to drive numerous processes in living cells. However, Hb also
functions as a redox enzyme, owing to its ability to bind to
hydrogen peroxide (H2O2) (15). In addition, nHb may play a
protective role against oxidative and nitrosative stresses by
binding nitric oxide (NO), the strongest known ligand of the
ferrous heme iron of Hb, with approximately 500,000-times
higher affinity than oxygen (16, 17). Although the brain
constitutes only ≈2% of bodyweight, it consumes ≈20% of the
oxygen in the resting body (18), demonstrating the high energy
demand of the brain. Therefore, it is no surprise that Hb is Frontiers in Endocrinology | www.frontiersin.org Hemoglobin Biochemistry and
Relationship to Other Globins For RNA normalized expression (NX) see https://www. based map of the human proteome (7). For homology percentages see (8), https://www.ebi.ac.uk/Tools/psa/emboss_matcher/ and https:// References for these relationships are given in main text (section on Hemoglobin biochemistry and relation to other globins). For RNA normalized expression (NX) see https://www. proteinatlas.org/, and Proteomics. Tissue-based map of the human proteome (7). For homology percentages see (8), https://www.ebi.ac.uk/Tools/psa/emboss_matcher/ and https://
www.uniprot.org/. expressed locally in the brain, and it has been attributed
numerous functions therein. consisting of two a-globin (Hba; 141 amino acids) subunits and
two b-globin (Hbb; 146 amino acids) subunits. Each of these
subunits is bound to a heme group (13), ensuring four oxygen-
binding groups per tetramer. The tetramer forms HbA
(hemoglobin A) in red blood cells and with a different name
nHb in the brain, however identical in structure. The heme
group contains four pyrrole rings, the nitrogen atoms of which
coordinate a central iron atom that binds weakly to oxygen (14). The main function of Hb is to transport oxygen from the lungs to
other tissues in the body in exchange for carbon dioxide, which is
transported back to the lungs. Molecular oxygen, O2, is essential
for cellular respiration in aerobic organisms. Aerobic respiration
takes place in the mitochondria of cells and requires oxygen to
create adenosine triphosphate (ATP), which provides the energy
to drive numerous processes in living cells. However, Hb also
functions as a redox enzyme, owing to its ability to bind to
hydrogen peroxide (H2O2) (15). In addition, nHb may play a
protective role against oxidative and nitrosative stresses by
binding nitric oxide (NO), the strongest known ligand of the
ferrous heme iron of Hb, with approximately 500,000-times
higher affinity than oxygen (16, 17). Although the brain
constitutes only ≈2% of bodyweight, it consumes ≈20% of the
oxygen in the resting body (18), demonstrating the high energy
demand of the brain. Therefore, it is no surprise that Hb is consisting of two a-globin (Hba; 141 amino acids) subunits and
two b-globin (Hbb; 146 amino acids) subunits. Each of these
subunits is bound to a heme group (13), ensuring four oxygen-
binding groups per tetramer. The tetramer forms HbA
(hemoglobin A) in red blood cells and with a different name
nHb in the brain, however identical in structure. Hemoglobin Biochemistry and
Relationship to Other Globins Please, observe that
circulating or free HbA has other effects not included in this figure. In general, GH and IGF-I levels within the normal ranges are optimal for the metabolism of oxygen
and iron and for the mitochondria, which is beneficial for the brain. With age or for other reasons (e.g., genes, environment), the levels of GH and IGF-I decline, and
the metabolism deteriorates leading to lower levels of nHb. This has adverse effects on degenerative brain diseases (AD, PD, MS), although in some aspects nHb
may also respond in a manner that slows the disease progression. References for the depicted relationships are given in the main text. January 2021 | Volume 11 | Article 606089 2 Frontiers in Endocrinology | www.frontiersin.org Frontiers in Endocrinology | www.frontiersin.org Growth Hormone, Hemoglobin, and the Brain Walser et al. TABLE 1 | Cell type-specific expression of vertebrate globins in the body and in the brain. Hemoglobin tetramer
nHb/HbA
Type of globin
hemoglobin a
hemoglobin b
myoglobin
cytoglobin
neuroglobin
Protein abbreviation
HBA
HBB
MB
CYGB
NGB
Transcript abbreviation used in Ms
Hba
Hbb
Mb
Cygb
Ngb
Identity vs Hbb
42%
100%
30%
33%
26%
Identity vs Ngb
30%
26%
25%
30%
100%
Cell type expression in body
cardiac myocytes
cardiac myocytes
sympathetic nerves
smooth muscle cells
skeletal muscles
skeletal muscles
Relative expression in tissues
neurons
neurons
N/A
neurons
neurons
red blood cells
186,1
523,2
heart muscles
366,6
43,4
skeletal muscles
871,2
17,1
smooth muscle
17,6
Olfactory region
5,8
10,8
N/A
5,5
6,4
Cerebral cortex
10
10,7
0,1
11,6
14,2
Hippocampal formation
5,2
17,9
0,2
4,2
1,7
Amygdala
7,1
20,9
0,2
6,2
4,2
Basal ganglia
6,6
21
0,2
8,3
4,8
Thalamus
2,2
3,8
N/A
2,2
0,9
Hypothalamus
5,1
17,4
0,1
11,2
34,5
Midbrain
10,1
31,6
0,2
6,3
2
Pons and medulla
3,3
23,7
N/A
17,7
8
Cerebellum
7,9
6,5
0,1
10,9
1,2
Corpus callosum
3
7,2
N/A
1,5
0,5
Spinal cord
7,9
26,5
0,2
3,5
1,4
References for these relationships are given in main text (section on Hemoglobin biochemistry and relation to other globins). For RNA normalized expression (NX) see https://www. proteinatlas.org/, and Proteomics. Tissue-based map of the human proteome (7). For homology percentages see (8), https://www.ebi.ac.uk/Tools/psa/emboss_matcher/ and https://
www.uniprot.org/. TABLE 1 | Cell type-specific expression of vertebrate globins in the body and in the brain. en in main text (section on Hemoglobin biochemistry and relation to other globins). Local Expression of Hemoglobin
in the Brain The presence of Hb-specific transcripts in the brain is a matter
of controversy, as contamination by blood may cause false
detection of brain Hb expression. Essentially, residual red
blood cells in the brain could account for the detection of Hb
mRNAs or proteins, which could be erroneously considered to
be of parenchymal (non-erythroid) origin, especially in tissues
where the capillaries are damaged and red blood cells have
dispersed into the parenchyma. This is especially problematic in
the case of Hb proteins in the brain, which probably should be
attributed mostly to red blood cells. However, since circulating
mature erythrocytes do not express mRNA transcripts after the
reticulocyte state and the fact that reticulocytes constitute only
about 1% of red blood cells, even in non-perfused brains, the
presence of Hb transcripts in brain homogenates suggests that
they are of parenchymal origin (19). The methodologic problem
of red blood cell contamination is practically eliminated in
studies of saline-perfused brains, resulting in minimal
amounts of residual red blood cells. Further on, histologic
techniques have shown specific neuronal and other non- January 2021 | Volume 11 | Article 606089 Frontiers in Endocrinology | www.frontiersin.org 3 Growth Hormone, Hemoglobin, and the Brain Walser et al. synthesized primarily in the liver (30, 31). Furthermore,
circulating IGF-I affects the levels of GH through the classic
negative feedback loop formed by the hypothalamic-pituitary
axis and the liver (26). The secretion levels of GH and IGF-I are
highest during adolescence and decline thereafter in an age-
related manner (32). erythrocyte expression (4, 20), although the relative amounts of
circulating and local Hb in the living brain have to our
knowledge not been studied. If local brain nHb constitutes
even only 1–5% of the total Hb in the living brain, it could
also have relevance for the hemodynamic response in functional
imaging studies, which rely on the measurement of oxy- and
deoxy-Hb concentrations either indirectly (fMRI-BOLD-signal)
or directly (fNIRS-signal) (21). GH exerts its actions via the GH receptor (GHR) (33), which
is expressed in virtually every tissue of the body, including the
brain (34). From the circulation, GH crosses the blood–brain
barrier (BBB) (35, 36), mostly through a process of passive
diffusion (37), and binds to the GHR, which is expressed by
both neurons and glial cells (38). Local Expression of Hemoglobin
in the Brain The dimerization of GHR,
which belongs to the type I cytokine receptor family, results in
activation of the associated Janus kinase 2 (JAK2) and Src family
kinases (34). The activation of JAK2 initiates tyrosine
phosphorylation of the signal transducer and activator of
transcription 5 (STAT5), the key transcription factor for GH
(39). This results in the activation or repression of multiple genes
(40), including the stimulation of IGF-I transcription in the liver
(30). The EPO receptor (EPO-R) shares homology with the
GHR, similarly leading to activation of the JAK2/STAT5 signal
transduction pathway (41). It has also been shown that GH
induces STAT5 expression in neurons (42), which is of interest
with respect to Hb synthesis, as STAT5 activation independently
drives erythropoiesis and myelopoiesis, both in vitro and in vivo,
in the absence of EPO-signaling via EPO-R or JAK2 (43). Furthermore, experiments have revealed positive correlations
between JAK2/STAT5 activation and Hb expression (44). Therefore, STAT5 appears to be a plausible link between GH
and the synthesis of the heme portions of Hb, which is known to
take place in mitochondria (45). In conclusion, GH appears to
act through its key transcription factor STAT5 to enhance nHb
expression, although direct evidence for this process is still
lacking (Figure 2). Table 1 provides a summary of the central nervous system
(CNS) expression of endogenous CNS (non-erythrocyte) Hb. Hb
has been found in the rodent and human brains (4, 20) and is
expressed in neurons of both young and adult brains (3). Specifically, Hb is expressed in dopaminergic (DA) neurons,
and to some degree in cortical and hippocampal astrocytes and
mature oligodendrocytes (22). Moreover, in vivo, the expression
of the neuronal Hba and Hbb proteins is colocalized in mouse
dopaminergic neurons, further indicating that in most cases, the
tetrameric Hb structure is intact in the brain. Thus, nHb
probably exerts biochemical activities and biological functions
similar to those associated with its roles in erythroid cells (23). This has been demonstrated by transfection of a murine DA cell
line (MN9D) with a- and b-globin chains, which suggested that
Hb expressed in the brain acts as a functional oxygen reservoir in
anoxic and hypoxic conditions (22). Furthermore, in cortical
pyramidal neurons, Hbb expression has been found to interact
with mitochondrial proteins such as ATP synthase and ADP/
ATP translocase (24). These interactions between Hbb and
mitochondrial components suggest that Hbb is associated with
mitochondrial energetics (24). January 2021 | Volume 11 | Article 606089 Local Expression of Hemoglobin
in the Brain Furthermore, nHb, at normal
levels, acts as a sensor of the energy status of neurons. In
linking the ATP concentration and mitochondrial function to
mTOR activity, nHb regulates neurochemical stress responses,
autophagy, epigenetic changes, and the neurotransmission of
dopamine cells (25). In addition, Hbb overexpression increases
the level of H3K4me3, which is a histone marker that regulates
the expression of oxidative phosphorylation genes (24), which is
in accordance with the finding that nHb can regulate the
epigenome of neurons upon exposure to stress (25). Overall, it
is now clearly established that Hb is expressed locally throughout
the brain, where it acts as an oxygen storage entity and is
involved in mitochondrial function. Insulin-Like Growth Factor I—Introduction
IGF-I acts through the IGF-I receptor, which is a hetero-
tetrameric glycoprotein that belongs to the tyrosine kinase
receptor family. Downstream of the receptor, the activation is
mediated by its canonical signaling pathways, such as the PI3K/
AKT/mTOR and RAS-RAF-MAP pathways (46). Apart from
GH-induced IGF-I production in the liver, which constitutes
75% of the circulating IGF-I (47), IGF-I is also produced locally
in tissues, such as the rib growth plate, skeletal and heart muscles
(48, 49), and the brain (50). Growth Hormone—Introduction FIGURE 2 | GH and/or IGF-I act as significant determinants of Hb concentrations by adapting adequate levels of Hb to the oxygen demand. STAT5, which is a key
transcription factor of GH, is sufficient to allow erythropoiesis and myelopoiesis in vitro and in vivo. The PI3K/AKT/mTOR pathways lie downstream of the IGF-I-
receptor. AKT phosphorylation of GATA-1 and its partner FOG-1 coordinates erythroid proliferation and differentiation. HIF-1 induced by IGF-I regulates the supply of
oxygen to the cell by creating a balance between oxygen demand and oxygen supply. nHb, Neuronal hemoglobin; GH, growth hormone; IGF-I, insulin-like growth
factor 1; STAT5, signal transducer and activator of transcription 5; PI3K/AKT/mTOR, phosphoinositide 3-kinases/protein kinase B/mammalian target of rapamycin;
GATA-1, globin transcription factor 1; HIF-1, hypoxia inducible factor 1; FOG-1, friend-of-GATA1. References for the depicted relationships are given in main text. repair (65–67). In addition, the PI3K/AKT/mTOR pathway is
known to induce the expression of HIF-1a, which is a
transcription factor that acts on endothelial cells, among other
cell types, and regulates the supply of oxygen to the cell by
ensuring a balance between the oxygen demand and oxygen
supply (68). Thus, there is considerable support for the notion
that IGF-I is involved in Hb regulation, possibly via interactions
with the PI3K/AKT/mTOR signaling pathways and the
transcription factors GATA-1 and HIF-1a. activation (53); and 3) the related receptor megalin/LRP2 in the
choroid plexus (54). In most studies, the specific route of IGF-I
passage through the BBB is not described, nor investigated. One
of the most important actions of circulating IGF-I is
neuroprotection. For example, in the brains of rats who have
suffered ischemic stroke, IGF-I increases neuronal survival via
IGF-I receptors (55), thereby improving neurologic functions
(46, 56–59). While circulating IGF-I is important, there are also some
indications that locally expressed brain IGF-I is independent of
peripheral GH, at least in some situations, such as aging (60) and
GH deficiency (GHD) induced by hypophysectomy (61). Local
brain IGF-I is subject to complex regulation, which to some
extent contrasts with the process of peripheral IGF-I signaling in
the body. For example, Ames mice, which have a primary
deficiency in relation to GH secretion and therefore have lower
levels of circulating GH and IGF-I, still have higher levels of IGF-
I in the hippocampus (62). Therefore, although peripheral IGF-I
signaling is reduced with aging, brain-specific IGF-I signaling
may not necessarily be decreased (63). Growth Hormone—Introduction GH is a 191-amino acid, single-chain polypeptide. It is
synthesized by and secreted from somatotropic cells of the
pituitary gland and stimulates cell growth, reproduction, and
regeneration (26). It is well-established that GH promotes
postnatal growth and metabolism (for reviews, see (26–28). The secretion of GH is regulated by the balanced release of the
two hypothalamic peptides: growth hormone-releasing hormone
(GHRH) and growth hormone-inhibiting hormone (GHIH or
somatostatin). These, in turn, are influenced by many physiologic
stimulators (e.g., physical exercise, nutrition, sleep) and inhibitors
(e.g., free fatty acids) (29). Both circulating and locally expressed IGF-I affect various
brain functions, probably with overlapping and complementary
activities in many respects. Nevertheless, circulating IGF-I is
believed to mediate some of the effects of circulating GH on the
brain [for a review, see (51)]. One line of evidence for this is the
robust increase in IGF-I mRNA and protein levels in several
major brain regions early (8 h) after systemic GH administration
(35, 36). This is possible because IGF-I crosses the BBB via at
least three different transport systems: 1) carrier-mediated
uptake through the endothelial walls (52); 2) the classic
endocytic receptor low-density lipoprotein receptor-related
protein 1 (LRP1), which can be triggered by neuronal GH can act directly on tissues, although many of its effects are
mediated by the downstream insulin-like growth factor-I (IGF-
I), which is a 70-amino acid polypeptide hormone that is January 2021 | Volume 11 | Article 606089 Frontiers in Endocrinology | www.frontiersin.org 4 Growth Hormone, Hemoglobin, and the Brain Walser et al. FIGURE 2 | GH and/or IGF-I act as significant determinants of Hb concentrations by adapting adequate levels of Hb to the oxygen demand. STAT5, which is a key
transcription factor of GH, is sufficient to allow erythropoiesis and myelopoiesis in vitro and in vivo. The PI3K/AKT/mTOR pathways lie downstream of the IGF-I-
receptor. AKT phosphorylation of GATA-1 and its partner FOG-1 coordinates erythroid proliferation and differentiation. HIF-1 induced by IGF-I regulates the supply of
oxygen to the cell by creating a balance between oxygen demand and oxygen supply. nHb, Neuronal hemoglobin; GH, growth hormone; IGF-I, insulin-like growth
factor 1; STAT5, signal transducer and activator of transcription 5; PI3K/AKT/mTOR, phosphoinositide 3-kinases/protein kinase B/mammalian target of rapamycin;
GATA-1, globin transcription factor 1; HIF-1, hypoxia inducible factor 1; FOG-1, friend-of-GATA1. References for the depicted relationships are given in main text. Frontiers in Endocrinology | www.frontiersin.org Growth Hormone—Introduction The opposing effects of
peripheral and local brain IGF-I signaling have also been
demonstrated with respect to glucose metabolism, as a high
level of peripheral IGF-I leads to the accumulation of reactive
oxygen species and oxidative stress, while high IGF-I levels in the
CNS promote renewal and repair (63). January 2021 | Volume 11 | Article 606089 GH/IGF-I and Circulating Hb g
It is well established that the level of circulating Hb is regulated
mainly by EPO [for a review, see (69)]. Moreover, it has been
known for quite some time that GH and/or IGF-I, partly
independently of EPO, affect to some extent the amount of
blood Hb (70–77). For instance, at the end of a 5-year study of
GH replacement therapy in children with GHD, the level of Hb
was increased and there was also a positive correlation between
the serum concentrations of IGF-I and Hb (78). The Hb-
increasing effect of GH in children with GHD appears to be
specific for erythropoiesis, since it was shown in another report
that there were no effects of GH on white blood cells and platelets,
regardless of prior history of anemia (79). In analogy,
administration to healthy young adult men of a long-acting
GHRH analog, which stimulates GH release into the circulation,
induced upregulation of the Hbb protein by 0.5–1.0 log units,
corresponding to 7–10 Hb units (80). Moreover, GH and/or IGF-I
have been reported to associate with Hb in elderly subjects (81). The various reports of increased Hb following GH administration
can be explained by direct stimulatory effects of GH and IGF-I on
erythroid cells, in combination with a more generalized indirect
effect of GH in facilitating physical activity through increased
muscle performance and well-being (82), which in turn enhances
general health and Hb production. Conceptually, this may be
mediated by the general anabolic effect of GH, which is considered The IGF-I signaling pathway interacts with the EPO signaling
pathway for neuroprotection and Hb regulation (Figure 2). Specifically, the IGF-I receptor (IGF-IR) and EPO-R both
interact with AKT, which phosphorylates the erythroid-specific
transcription factor GATA-1 and its partner FOG-1, which in
turn plays a central role in the coordination of erythroid
proliferation and differentiation (64). Furthermore, IGF-I acts
through the PI3K/AKT/mTOR pathway (65), whereby mTOR
plays key roles in identifying nutritional signals, and in
promoting cell growth, cell survival, proliferation, and damage January 2021 | Volume 11 | Article 606089 January 2021 | Volume 11 | Article 606089 Frontiers in Endocrinology | www.frontiersin.org 5 Growth Hormone, Hemoglobin, and the Brain Walser et al. to stimulate protein and fat metabolism, which in turn requires
increases in oxygen transportation and Hb levels (83). oxygenation of the tissue (93). GH/IGF-I AND VARIOUS BRAIN DISEASES
IN RELATION TO HB G / G
a d C S
p ess o
o
b
Given that endocrine GH and IGF-I stimulate circulating Hb, it is
conceivable that they also affect local brain expression of Hb,
although the quantity and nature of the expressed induced Hb
might be different. In recent years, this possibility has been
examined from several perspectives in a number of experimental
studies. For example, GH replacement in the GH/IGF-I deficient
(Lewis dwarf [dw/dw]) rat robustly increased the transcription levels
of Alox15, Hba, and Hbb in the hippocampus (86). The authors of
that study imply that this indicates a mechanism through which
IGF-I regulates vascular function by decreasing oxidative stress in
the brain (87), and they suggest that these effects are mediated by
Hb and other globins (86). The notion that GH and/or IGF-I act on
brain Hbb is supported by our experiments, in which we observed a
substantial decrease in the hippocampal and cortical levels of the
Hbb transcript when comparing hypophysectomised (GH-
deficient) rats with intact rats, and this effect was noted in both
female and male animals (88, 89). Furthermore, GH administration
for 6 days to hypophysectomised female rats (90, 91) and male rats
(88) robustly (2–4-fold) upregulated the number of Hbb transcripts
in the brain. Furthermore, GH administration to the rats for 19 days
increased the mRNA levels of Hbb, Alas2, and Alox15. For Hbb and
Alas2, the effect size was of a magnitude similar to that seen after 6
days of GH treatment, while Alox15 was not studied in the 6-day
experiments (89). Taken together, the different GH administration
regimens indicate that the GH effect is not markedly diminished or
enhanced over time of administration. For humans, it has also been
observed that the level of serum Hbb decreases following pituitary
surgery (92). However, the regulation of Alas2 and Alox15 by GH
presents a new target of action for GH, since they both have
functional links to aerobic metabolism. Specifically, Alas2, which
is expressed in the mitochondria of bone marrow cells and red
blood cells, and to some degree in the brain (https://www.genecards. org, [Accessed May 26, 2020]), has been shown to be increased by GH/IGF-I and Circulating Hb Alox15, which is expressed in the
mitochondria of lung cells and adipocytes, as well as in the brain
(https://www.genecards.org, [Accessed May 26, 2020]), has been
reported to regulate vascular tone, local blood flow, and blood
pressure (94). In addition to the GH administration experiments, we
have shown that IGF-I-treatment can increase the expression levels
of Hbb, Alas2, and Alox15 (91). IGF-I has also been shown to stimulate erythropoiesis in vivo
independently of GH, which means that it could indirectly
mediate GH effects on EPO synthesis, erythropoiesis, and Hb
regulation. As compared to EPO, which has a substantial and
significant effect on Hb levels, the effect of serum IGF-I has been
shown to be less-prominent than but still independent of
circulating EPO (84). Moreover, it has been suggested that
IGF-I is a factor that coordinates red blood cell formation with
organ and body growth, and this would account for the
adaptation of red blood cell mass to whole body mass (84). From another publication, it can be calculated that an increase of
100 units of serum IGF-I (ng/ml) is associated with an increase of
4.0 units of Hb (g/L) in males and 7.5 units in females (81). A
difference in serum IGF-I of 100 ng/ml is rather large considering
that the mean serum IGF-I level in middle-aged men and women
is in the range of 150–200 ng/ml. The serum IGF-I is also about
100–200 ng/ml higher in young adults than in middle-aged
subjects (85). Taken together, these findings indicate definite
albeit moderate effects of endocrine GH and IGF-I on
circulating Hb. The effects of GH and IGF-I on local brain Hbb expression
may be analogous to the endocrine effects on general metabolism
requirements, which in turn affect the oxygen demand, and
thereby the rate of erythropoiesis (95). Based on these findings,
the basal metabolic rate may be lowered after hypophysectomy,
with GH restoring the basal metabolism and oxygen
consumption, thereby affecting the neuronal oxygen-binding
capacity and the levels of vascular-associated transcripts (89,
96). This idea is supported by a study showing that bovine GH-
transgenic mice exhibit an increased basal metabolic rate (97). In
summary, there is evidence that both GH and IGF-I,
independently of EPO, can augment the level of Hb both
systemically and locally in the CNS, especially in the case of
GH deficiency. Frontiers in Endocrinology | www.frontiersin.org Stroke and Hemoglobin Hb is important in relation to brain injuries in several aspects. The
most common brain injuries are ischemic stroke, hemorrhagic
stroke, and perinatal asphyxia. Ischemic strokes, regardless of
etiology, result in an inadequate blood supply that leads to cell
death within the affected tissue [for reviews, see (98–100)]. Ischemic pre- or post-conditioning is an experimental stroke
paradigm that can reduce the ischemic injury. Interestingly,
ischemic preconditioning to hypoxia in vitro robustly increases
nHb expression in neuronal cultures from E-17 rats (101). A
plausible explanation for this is that Hb inhibits oxidative stress-
induced mitochondrial dysfunction and caspase activation via the
protein kinase A, protein kinase C, and mitogen-activated protein
(MAP)-kinase signal transduction pathways (102). In contrast to the intracellular expression of Hb, extracellular
Hb is highly toxic to the brain and constitutes a mechanism of
damage after ischemic stroke, and more profoundly so after
hemorrhagic stroke (103). Specifically, free Hb induces the
widespread and concentration-dependent death of neocortical
neurons in vitro (104, 105). Similarly, intracerebral injections of
free Hb or its degradation products, including heme, induce
brain injury in vivo (106). While the exact mechanisms are
unknown, it appears that extracellular Hb contributes to
oxidative stress and iron accumulation in neurons, resulting in
a deleterious cycle of heme breakdown, Hb denaturation, and,
over time, neurodegeneration (107). Overall, it seems that
extracellular free Hb activates deleterious cellular pathways,
whereas intracellular Hb is primarily protective (20). In addition, circulating Hb may affect stroke risk, severity,
and outcome, presumably through mechanisms other than the January 2021 | Volume 11 | Article 606089 Frontiers in Endocrinology | www.frontiersin.org 6 Growth Hormone, Hemoglobin, and the Brain Walser et al. Hb. For example, among patients with severe TBI, lower levels of
Hb are consistently associated with lower survival rates (127) and
poor outcomes (128). While anemia frequently occurs after TBI, the
associations with outcome and the effects of blood transfusions are
rather inconsistent [for a review, see (129)]. Moreover, studies of
post-TBI neuroendocrine dysfunction have found that the
somatotropic axis (GH and IGF-I) seems to be the most
commonly disrupted pituitary hormonal axis, in similarity to
prolactin hormone disruption, whereas the thyrotrophic,
corticotrophic, and gonadotrophic axes are less-affected (130),
suggesting that GHD is linked to anemia. Interestingly, GH
replacement has a positive effect on cardiorespiratory fitness in
individuals with TBI (131). Stroke and Hemoglobin GH therapy also ameliorates
neuropsychological and psychiatric changes 3 years post-TBI
(132), and improves disabilities and cognitive impairments in
patients with TBI (133). In animal studies, transgenic mice with
astrocyte-specific overexpression of IGF-I have exhibited increased
neuroprotection against TBI-induced injury in the hippocampus,
resulting in reduced motor and cognitive dysfunctions (134). As
mentioned above, since IGF-1 may mediate the effects of GH, both
GH (or IGF-I) administration paradigms, including acute and long-
term treatments, may have significance for TBI outcomes and the
Hb levels in the brain. Thus, there are indications that altered Hb
levels are part of the recovery response to GH treatment, a topic that
warrants exploration in future studies. neuronal expression of Hb. For example, circulating Hb seems to
influence stroke risk, since anemia increases the risk of stroke
and worsens stroke outcomes (108). Moreover, in acute ischemic
stroke, low levels of circulating Hb independently predict short-
and long-term mortality (109), correlate inversely with larger
stroke volumes (110), and are strongly associated with
subsequent decreases in the Hb and hematocrit levels (111). Interestingly, in comparison to anemia, polycytemia with high
levels of Hb (≥15 g/L in men, ≥14 g/L in women) has been
associated with twice as many cerebral infarctions (112, 113). This is thought to be mediated by increased viscosity of the blood
and comorbidities, causing an increased risk of thrombosis (113). Furthermore, once the clot has been formed, it starts to resolve,
which in turn causes erythrocyte lysis and the release of free Hb,
which leads to an overload of free, toxic iron (103). Although several studies have shown that GH and IGF-I either
protect against injury or promote recovery, these effects have not so
far been linked to Hb regulation. It has been shown that GH
protects the brain against hypoxic-ischemic injuries (HI) in neonatal
rodents (114) and increases motor and cognitive recovery in adult
rodents (115–117). Furthermore, the positive effects on functional
recovery of GH treatment also appear to be present in humans who
are suffering from chronic stroke, as shown by the increased
amplitude of blood oxygen level-dependent signals in the brain,
which are dependent upon the different magnetic properties of oxy-
Hb and deoxy-Hb (118). Stroke and Hemoglobin That the effects of systemic GH treatment
are mediated by local or endocrine IGF-I with respect to injuries is
not clearly elucidated but certainly possible, as the IGF-I system in
the brain shows marked changes in response to transient neural
injuries. For instance, in asphyxia, there is an increase in the level of
Igf1 in glial cells in the region of the injury (119), suggesting that the
IGF-I system is involved in neuroprotection. IGF-I administration
has been shown to be both neuroprotective (120) and recovery-
promoting (121) in studies of experimental ischemic stroke [for a
review, see (59)] and the articles (116, 117, 122). However, the role
of circulating IGF-I and its associations with functional outcome in
human stroke appear to be complex. While high serum levels of
IGF-I have been associated with both worse outcomes (123, 124)
and greater stroke severities, they are also linked to better long-term
recovery (85, 125). These discrepancies can partially be explained or
confounded by the fact that the levels of serum IGF-I are lower in
aged, malnourished, and/or sedentary subjects (71) and may depend
on the post-stroke sampling time-point, as suggested previously
(122). Although the absolute levels of serum IGF-I appear to predict
functional outcome, post-stroke dynamic changes (decreases) in the
levels of serum IGF-I may also be at least as important (122, 126). Some studies have shown a weak-to-moderate correlation between
serum IGF-I and Hb (64, 65, 68), a relationship that has not been
investigated in other studies (85, 122, 125). That the functional
outcome of stroke seems to be dependent upon the status of the
GH/IGF-I axis indicates that there is a correlation with Hb, and this
aspect deserves further investigation. Alzheimer’s Disease AD is the most common cause of dementia, and the risk of AD is
higher when there is a history of brain lesions, such as TBI (136,
137) or stroke [for review, see (138)]. Early clinical symptoms
include difficulties in remembering recent events and conversations,
and ultimately there are reduced abilities to walk, speak and
swallow. The histopathologic hallmarks of AD are the progressive
accumulation of beta-amyloid (Ab) peptide plaques outside
neurons in the brain, twisted strands (tangles) of tau protein
inside neurons (139), and a general hyperphosphorylation of the
tau protein (140). Eventually, these changes result in damage to and
death of neurons [Alzheimer’s disease facts and figures (141)]. As is the case for AD and brain Hb expression, several studies
have indicated a role for Hb in AD. In humans, Hb protein has
been detected in the neurons and glial cells of post-mortem AD
brains. Furthermore, the level of local Hb protein has been found
to be increased in AD brains (142). This indicates that either the
upregulation of Hb expression or leakage of Hb from the
circulation into the brain parenchyma (due to disruption of
the BBB) is involved in AD pathogenesis (142). In animals, Hbb DEGENERATIVE BRAIN DISEASES, HB,
AND GH/IGF-I Alterations in cerebral oxygen metabolism have been found to be
associated with many of the most common degenerative brain
disorders, such as Alzheimer’s disease (AD), Parkinson’s disease
(PD), and multiple sclerosis (MS), and the CNS expression of
Hbb has been implicated in these diseases (135). January 2021 | Volume 11 | Article 606089 Traumatic Brain Injury Traumatic brain injury (TBI), which is a risk factor for depression,
cognitive impairment, and hypopituitarism, entails decreased levels
of circulating GH and IGF-I and has links to circulating and brain January 2021 | Volume 11 | Article 606089 Frontiers in Endocrinology | www.frontiersin.org 7 Growth Hormone, Hemoglobin, and the Brain Walser et al. Resistance to IGF-I signaling early in AD could result in a lack of
trophic signals, with subsequent degeneration of neurons (157). Post-mortem studies have shown reduced IGF-I gene expression in
AD brains (158, 159), and this was accompanied by resistance to
signaling through the IGF-I receptor (158, 159). Talbot et al. have
confirmed the presence of resistance to IGF-I receptor signaling by
demonstrating that in the post-mortem AD brain, the signaling
responses to IGF-1 in the IGF-IR/PI3K/AKT/mTOR pathway are
strongly attenuated (160). This dysfunction may result in abnormal
responses to mTOR activation in the brain, leading to an AD-type
pathology, neuronal death, and glial activation (67). is upregulated with normal aging, as well as in a amyloid
precursor protein/PS1 transgenic mice (murine model of AD),
possibly serving as a compensatory mechanism for hypoxia
(143). In addition, when micro-hemorrhaging occurs as the
result of aging, TBI or cerebrovascular disease, Hb from red
blood cells can bind to the Ab peptide via the iron-containing
heme moiety and accelerate its aggregation (143). Furthermore, altered iron metabolism has been observed in
the CNS of patients with a variety of neurodegenerative diseases,
including AD. The concomitant occurrence of a decrease in local
Hb expression in AD and the increased level of free iron, which is
highly toxic due to the creation of reactive oxygen species (144),
is possibly coincidental, although it indicates the importance of
iron metabolism. Epidemiologic studies have suggested strong
associations between anemia, decline of cognitive function, and
AD, with an inverse relationship noted between Hb and AD
(145–147). Moreover, in a large population-based study, it has
been shown that low Hb levels are associated with increased
long-term risks of dementia (34%) and AD (41%) (148). In human AD, in similarity to the previous experimental
findings (54, 152), there also appears to be reduced passage of
IGF-I through the BBB, as indicated by the lower CSF/serum IGF-I
ratios detected in patients with AD (161, 162). Traumatic Brain Injury Finally, in a recent
study of patients with AD, the serum level of IGF-I was associated
with the CSF level of Ab, whereas the CSF level of IGF-I was
associated with the CSF level of tau (163). These findings are in
accordance with the findings in rodents that IGF-I in the serum has
the ability to interact with Ab clearance, possibly, at least partly, at
the level of the BBB (54, 152), whereas IGF-I in the brain has the
ability to affect the intracellular metabolism of tau (153). Ab activates a molecular response pathway that leads to strong
downregulation of Hb gene expression in the brain, which could
damage cells due to defective oxygen homeostasis (144). Reduced
concentrations of the Hb a-chain and b-chain proteins
have been detected in neurons with granular or punctuate
hyperphosphorylated tau deposits, in AD neurons with tangles in
the hippocampus and frontal cortex, and in AD neurons in the
amygdala (135). These findings are in line with a report showing
significantly lower levels of mean oxygen metabolism in the AD
cortex (149). Loss of Hb is specific, as related transcripts, i.e., for
Ngb and the EPO receptor, are expressed at normal levels (135). In summary, there is considerable support for the notion that
anemia is a risk factor for dementia, including AD, and that leakage
of Hb through a defective BBB can result in an overload of toxic iron
in patients with AD. Furthermore, in AD, alterations to both the
levels and activity of IGF-I have been documented. However, the
pathways that connect IGF-I and local Hb have not been explored
in detail. Clearly, more research is needed to elucidate whether the
pathologic alterations in the Hb and IGF-I systems interact in AD,
resulting in aggravated development and accelerated progression of
the disease. PI3K/AKT/mTOR signaling could be one of the
molecular pathways that link IGF-I and Hb. g
p
p
There are strong indications that IGF-I is of importance in the
development and progression of AD. A deficiency of liver-
derived circulating IGF-I in mice resulted in debilitated spatial
learning and memory (150), as well as reduced exploratory
activity (151). In experimental AD, the passage of IGF-I
through the BBB has been shown to be reduced (152), while
systemic IGF-I infusions increased Ab clearance, thereby
reducing the brain level of Ab (152). Frontiers in Endocrinology | www.frontiersin.org Traumatic Brain Injury In a later study, a specific
BBB disruption allowing serum IGF-I entrance into the rodent
brain was demonstrated, as the choroid plexus receptor megalin/
LRP2 induced IGF-I transport across the BBB and protected
against AD, and in AD mice, megalin abundance was decreased
(54). Furthermore, IGF-I not only interacts with Ab metabolism
and distribution, but also with tau metabolism, as evidenced by
the finding that the phosphorylation of tau is markedly increased
in the IGF-I-null brain in mice (153). Multiple Sclerosis MS is primarily an inflammatory disorder of the brain and spinal
cord, in which focal lymphocytic infiltration leads to damage to
myelin and axons. Initially, the inflammation is transient and re-
myelination occurs, but this most often does not persist and the
result is chronic neurodegeneration and progressive disability
[for a review, see (179)]. Interestingly, there are some lines of
evidence to suggest a link to Hb expression in the CNS. In a study of eight monozygotic twin pairs discordant for MS
(180), >2-fold upregulation of six gene transcripts was detected
in mononuclear cells isolated from the peripheral blood,
amongst them Hba2 and Hbb, suggesting some role for these
genes in MS pathogenesis (180). This is in line with a report
showing increased expression of local Hbb protein in the cortex,
as well as intense Hb staining in the pyramidal neuronal cell
bodies of patients with MS (181). Specifically, in MS, it has been suggested that neuronal Hbb is
part of a mechanism linking neuronal energetics with epigenetic
changes in the nucleus, providing neuroprotection by supporting
neuronal metabolism (24). Dysregulation of Hbb transport into
the nuclei of pyramidal neurons in MS has been suggested by the
findings that in patients with MS/experimental MS there is a
reduction of the histone marker H3K4me3 and downregulation
of genes involved in mitochondrial respiration (24). In contrast,
free Hb originating from dying erythrocytes is detrimental in MS
pathogenesis, as it causes damage to the myelin and BBB (182). In addition, an association between anemia and MS has been
described (183). However, the molecular pathways linking local Hb with IGF-I in
cases of PD have been scarcely explored, despite there being indirect
indications of possible pathways from other studies of IGF-I. The
potential involvement of IGF-I is indicated by the fact that A9
dopamine neurons specifically express GATA protein family
members, which are the major Hb transcriptional regulators (22,
172), controlled by the IGF-IR through the AKT-pathway (64). In
turn, a-synuclein is an essential regulator of IGF-I-mediated AKT
activation, and by binding to the kinase domain of AKT it protects
against the aggregation of AKT (173). However, when a-synuclein
is overexpressed, activated or inactivated, AKT is sequestered and
the IGF-I-mediated survival signal is not propagated (173). Moreover, examination of the clinical correlations in PD cohorts
has confirmed that the levels of serum IGF-I is increased at PD
onset, suggesting a compensatory mechanism. Parkinson’s Disease PD primarily affects movement coordination, with symptoms
such as slowness, rigidity, tremor, and changes in gait. Neurobiologically, PD is characterized by chronic and
progressive degeneration of dopamine-producing neural cells
in the substantia nigra, which are essential for the activation of
a circuit that controls movement [for a review, see (164)]. With respect to PD, a key molecule is brain a-synuclein, which
is present at high levels and is concentrated in the presynaptic
nerve terminals. It is involved in controlling the plasticity of
dopamine overflow, synaptic vesicle recycling, storage, and the
compartmentalization of neurotransmitters (165). In PD, a-
synuclein aggregates into Lewy bodies, the abnormal intracellular
inclusions that are the classical pathologic hallmark of the disease
(166). As PD progresses, it often results in dementia secondary to
the accumulation of Lewy bodies in the cortex or the accumulation
of Ab clumps and tau tangles, not unlike the situation in AD
[Alzheimer’s disease facts and figures (141)]. It can also be
mentioned that PD dementia is closely related to Lewy body
dementia, with the clinical features of the latter mainly differing
in that its first clinical feature is dementia, with possible later motor
impairments [for a review, see (167)]. Also, symptoms like those of
PD, verified with neurobehavioral scores, may be observed after In a prospective, population-based study of older persons, low
IGF-I status (<9.4 nmol/L) was associated with both lower levels of
cognitive ability and a sharper decline in cognition (154). In a case-
control study, lower serum IGF-I levels were significantly related to
dementia that was clinically diagnosed as AD (155). However,
discrepant results have been reported with respect to the serum
and cerebrospinal fluid (CSF) levels of IGF-I in patients with AD. It
has been postulated that these discrepancies can be explained in
terms of resistance to IGF-I action early in AD development
(reflected as increased serum IGF-I), followed by IGF-I deficiency
when the disease progresses (reflected as lower serum IGF-I) (156). January 2021 | Volume 11 | Article 606089 8 Growth Hormone, Hemoglobin, and the Brain Walser et al. carbon monoxide intoxication which binds to hemoglobin instead
of oxygen, possibly acting in a degenerative way (168). Bearing in
mind that nHb plays a vital role in maintaining normal
mitochondrial functionality in the brain, it is interesting that Hb
is normally highly expressed in the A9 dopamine neurons of the
substantia nigra (135, 169). Parkinson’s Disease However, in about 80% of neurons with
punctuate a-synuclein deposits and in neurons with Lewy bodies in
the substantia nigra and the medulla oblongata, there are clear
reductions in the concentrations of Hb a-chain and b-chain
proteins (135). Furthermore, mitochondrial Hb protein levels
decrease with age in the striatum as a result of increased
intracellular a-synuclein accumulation and formation of Hb-a-
synuclein complexes, which may contribute to a-synuclein-induced
mitochondrial dysfunction and increase the risk of PD (170). This
results in a reduced translocation of nHb from the cytoplasm to the
mitochondria which may contribute to mitochondrial dysfunction
and thereby accelerating PD pathogenesis (170, 171). This is in line
with a proposed hypothesis, stating that the oxidative damage
contributes to the neurodegenerative process in PD via nHB per
se (169). Thus, it seems that there are relatively strong links between
PD and Hb regulation in the brain. Multiple Sclerosis Furthermore, in
women, estrogens seem to confer strong protection against PD
via serum and CSF IGF-I (174). In addition, erythropoietin has been
shown to have a potential neuroprotective role in the maintenance
of dopaminergic neurons in a rat model of PD (175). There are also indications that the GH/IGF-I system is involved
in MS. First, the levels of CSF-GH were found to be 2-fold lower in
patients with MS (184). In contrast to CSF levels of GH, the serum
levels of GH were unchanged, which suggests normal pituitary
function and, instead, indicates malfunction of the BBB or in the
local production of GH in the brain. The levels of IGF-I in serum
and CSF also showed a trend toward divergence (184). Furthermore, MS and higher levels of disability seem to be
associated with a reduction in the bioavailability of IGF-I,
possibly due to high serum concentrations of IGF-binding
protein-3 (185). Taken together, these findings suggest that Hbb
dysregulation and GH abnormalities are present in MS, although
to our knowledge, comprehensive evidence for a direct linkage
between the two factors is still lacking. PD may also be linked to iron deficiency, since overexpression
of Hbb in dopamine cell lines alters transcription related to iron
metabolism, O2 homeostasis, oxidative phosphorylation, and
nitric oxide synthesis (22). Interestingly, both Hbb and Alas2
are upregulated in iron-deficient mice (176), and these were the
two most strongly upregulated transcripts in our experiments
involving GH and IGF-I supplementation (88, 89). In addition,
free ferrous (Fe2+) and ferric (Fe3+) iron species are cytotoxic and
have been suggested to enhance oxidative stress, mitochondrial
protein dysfunction, a-synuclein aggregation, neuronal cell
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pathologic mechanisms. ACKNOWLEDGMENTS significantly to the second version. MW, JS, LK, MÅ, RM, GK, JI,
and DÅ contributed to manuscript revision, read, and approved
the submitted version. All authors contributed to the article and
approved the submitted version. The authors wish to thank Dr. Vincent Collins for making
corrections to the language of the manuscript. AUTHOR CONTRIBUTIONS MW wrote the first draft of the manuscript. DÅ contributed
significantly to the second version. MW, JS, LK, MÅ, RM, GK, JI,
and DÅ contributed to manuscript revision, read, and approved
the submitted version. All authors contributed to the article and
approved the submitted version. FUNDING IGF-I to Hbb and their relationships to neuroprotection. Hopefully,
this will lead to improved therapeutic strategies to stimulate
recovery in patients after brain injuries, e.g., after stroke, TBI, and
neurodegenerative diseases. This study was supported by the Swedish Medical Society
(Svenska Läkaresällskapet), grants from the Swedish State under
the agreement between the Swedish Government and the County
Councils (ALFGBG-719761 and ALFGBG-722371), the Swedish Stroke Association, and Stiftelsen Peter Erikssons Minnesfond. SUMMARY In summary, GH and IGF-I are significant determinants of Hb
concentrations, adapting the local nHb and circulating HbA
levels to the demand for oxygen. Both local nHb expression in
the brain and GH/IGF-I levels influence cardiovascular and
neurodegenerative diseases, such as ischemic injury, TBI, AD, PD
and MS. There are indications that the connection between GH and
Hb may be related to STAT5, and for IGF-I and Hb, this linkage is
likely mediated by the PI3K/AKT/mTOR pathway. It will be of
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Åberg. This is an open-access article distributed under the terms of the Creative
Commons Attribution License (CC BY). January 2021 | Volume 11 | Article 606089 Frontiers in Endocrinology | www.frontiersin.org REFERENCES 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. 185. Lanzillo R, Di Somma C, Quarantelli M, Ventrella G, Gasperi M, Prinster A, et al. Insulin-like growth factor (IGF)-I and IGF-binding protein-3 serum levels in
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Neurol (2011) 18(12):1402–6. doi: 10.1111/j.1468-1331.2011.03433.x January 2021 | Volume 11 | Article 606089 Frontiers in Endocrinology | www.frontiersin.org 15
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https://discovery.ucl.ac.uk/id/eprint/10152077/1/Community%20%20%20Applied%20Soc%20Psy%20-%202022%20-%20Yun.pdf
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Thinking too much: How young people experience rumination in the context of loneliness
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Journal of community & applied social psychology
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cc-by
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Thinking too much: How young people experience
rumination in the context of loneliness
Rumi Chloe Yun
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Sam Fardghassemi
|
Hélène Joffe
Division of Psychology and Language Sciences, University College London, London, UK Correspondence
Rumi Chloe Yun, Division of Psychology and
Language Sciences, University College
London, London, UK. Email: rumi chloe yun@gmail com R E S E A R C H A R T I C L E R E S E A R C H A R T I C L E Received: 27 October 2021
Revised: 20 April 2022
Accepted: 7 June 2022
DOI: 10.1002/casp.2635 Received: 27 October 2021
Revised: 20 April 2022
Accepted: 7 June 2022 DOI: 10.1002/casp.2635 J Community Appl Soc Psychol. 2022;1–21. 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.
© 2022 The Authors. Journal of Community & Applied Social Psychology published by John Wiley & Sons Ltd. R E S E A R C H A R T I C L E 1
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INTRODUCTION Loneliness is a universally observed human phenomenon; we are a social species and satisfying social relationships
are essential for our mental and physical wellbeing. Conversely, the impairment of these relationships can lead to
subjective feelings of loneliness (Andersson, 2010). Loneliness has also been thought to be a result of evolutionary
forces: social isolation threatens the health, life and genetic legacy of social species. Thus, loneliness has been
theorized to serve an adaptive function against social isolation and its adverse consequences (Cacioppo, Cacioppo, &
Boomsma, 2013) by prompting individuals to seek social relationships and connections. The number of people who
experience loneliness appears to be growing rapidly (King, 2018), especially in industrialized societies where approxi-
mately a third of the population is affected by loneliness (Cacioppo & Cacioppo, 2018), giving credence to the term
‘the loneliness epidemic’. The present study explores a key aspect of loneliness: its link to rumination. It examines
this link and deciphers the content of ruminative thoughts experienced during bouts of loneliness in young adults,
who are currently one of the loneliest groups in Western countries (Fardghassemi & Joffe, 2021). Loneliness is defined as the emotional distress arising from the perception that one's social needs are not being
satisfied by the quality or quantity of one's social relationships (Pinquart & Sorensen, 2010; Wheeler, Reis, &
Nezlek, 1983). The subjective nature of loneliness means that individuals can feel lonely not only when they are
physically isolated, but even when they are among others with whom they do not feel a strong social connection. Apart from the emotional distress accompanying the experience of loneliness, loneliness is also associated with a
number of deleterious effects on physical and mental health. Focusing on mental health, loneliness has been linked
to personality disorders and psychoses (De Niro, 1995; Richman & Sokolove, 1992), impaired cognitive performance
(Gow, Pattie, Whiteman, Whalley, & Deary, 2007), suicide (Goldsmith, Pellman, Kleinman, & Bunney, 2002), impaired
executive control (Hawkley, Thisted, & Cacioppo, 2009) and increased depressive symptoms (Wei, Russell, &
Zakalik, 2005). In the face of the rising prevalence of loneliness and its deleterious impacts on mental and physical health (Rico-
Uribe et al., 2018), loneliness poses a growing public health problem. This highlights the pressing need to better
understand the experience of loneliness so that effective, targeted interventions can be designed to mitigate its
adverse consequences. Abstract The recent rise in the prevalence of loneliness, particularly
among young adults, coupled with its deleterious effects on
wellbeing, makes understanding the issue of pressing con-
cern. As most research on loneliness has focused on older
adults, this study explored how 48 young adults aged
18–24 subjectively experienced loneliness through free
association-based interviews. Participants were sampled
from the four most deprived boroughs in London, as area
deprivation has been associated with a higher prevalence of
loneliness. This facilitates understanding of contributors and
consequences of loneliness within this demographic group. In particular, the focus is on rumination arising from loneli-
ness; while the link between the two is well-established
quantitively, research into rumination and the context of
ruminative thoughts in the context of loneliness remains
sparse. Thus, this study aimed to understand the subjective
experience of rumination in young adults whilst they experi-
enced loneliness. Thematic analysis of interviews using
ATLAS.ti 9 revealed five themes capturing these experi-
ences: ‘temporal experience of rumination’, ‘ruminating life
and death’, ‘rumination related to others’, ‘outcomes of
rumination’ and ‘coping with loneliness-related rumination’. Based upon knowledge of the nature and content of rumi-
nation, further research could devise models of rumination 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. © 2022 The Authors. Journal of Community & Applied Social Psychology published by John Wiley & Sons Ltd. J Community Appl Soc Psychol. 2022;1–21. wileyonlinelibrary.com/journal/casp
1 2 2 2 YUN ET AL. YUN ET AL. and interventions targeted at rumination such as mindful-
ness meditation, journaling and engaging in prosocial behav-
iour, to mitigate the adverse effects loneliness can have on
wellbeing. K E Y W O R D S
loneliness, rumination, youth YUN ET AL. 3 conventionally thought to be a problem of old age, younger populations are often assumed to be less lonely due to
being more socially connected (Victor & Yang, 2012). conventionally thought to be a problem of old age, younger populations are often assumed to be less lonely due to
being more socially connected (Victor & Yang, 2012). While
some
evidence
supports
the
aforementioned
linear
model
(Lauder,
Mummery,
Jones,
&
Caperchione, 2006), more recent research indicates an increasingly complex, non-linear relationship between age
and loneliness. Higher rates of loneliness have been reported in young adulthood and old age, with comparatively
lower rates in early- to mid-adulthood, giving rise to a U-shaped distribution (Barreto et al., 2020; MacDonald, Wil-
lemsen, Boomsma, & Schermer, 2020; Yang & Victor, 2011). Additionally, findings from a recent survey by the Office
of National Statistics (2018) further highlighted and renewed interest in the high prevalence of loneliness in young
adults, as well as the possible reasons for it. The survey found that young adults aged 16–24 in the United Kingdom
experienced loneliness the most relative to other age groups, with 5% reporting experiencing loneliness ‘often’ or
‘always’ and 16% ‘sometimes’. Higher rates of loneliness within this group were associated with a weak sense of
belonging to their neighbourhood, having little trust in their neighbours, as well as area deprivation. The high prevalence of loneliness in younger adults within this demographic group is garnering attention. In this
age group, individuals tend to experience a myriad of developmental transitions, ranging from biological to social, as
they become more independent (Crosnoe, 2000). These transitions may induce instability and emotional distress;
having strong social relationships is critical in successfully making these transitions (Umberson & Montez, 2010). Apart from the aforementioned adverse effects on health, loneliness also plays a critical role in the development of
young adults. Loneliness has also been found to influence many midlife outcomes such as education and labor mar-
ket inclusion (Von Soest, Luhmann, & Gerstorf, 2020), further stressing the need to understand and develop inter-
ventions to target loneliness in this demographic group. A number of other factors have been implicated as possible contributors to the higher prevalence of loneliness
among young people. These include problematic technology use and adopting maladaptive strategies to cope with
loneliness and stress, such as withdrawing from others and obsessing over problems, as opposed to seeking help or
working towards resolving situations (Matthews et al., 2019). Other contributing factors include ‘the fear of missing
out’ resulting from social media use (Hunt, Marx, Lipson, & Young, 2018) and a lack of social support (Lee &
Goldstein, 2015). However, despite the existing literature on individual contributors to loneliness, a holistic understanding of lone-
liness in young adults remains underdeveloped. While quantitative research has reliably found loneliness to predict
rumination, with rumination mediating the adverse consequences of loneliness on wellbeing, little has been done to
explore this relationship in detail or further delve into the content of the ruminative thoughts occurring specifically
in the context of loneliness (Vanhalst, Luyckx, Raes, & Goossens, 2012; Zawadzki, Graham, & Gerin, 2013). 1.1
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Loneliness in young adults Research on loneliness has primarily focused on elderly populations. The model of a positive linear relationship between
loneliness and age proposes that older individuals are more likely to experience loneliness as a result of not having regu-
lar contact with their families, having to stay home due to an increased need for healthcare services, impaired physical
functioning or bereavement of loved ones (Hazer & Boylu, 2010). Supporting this, evidence suggests that around 50%
of individuals aged over 80 report frequent feelings of loneliness (Pinquart & Sorensen, 2003). Since loneliness is 4 YUN ET AL. YUN ET AL. solving to alleviate one's depressive symptoms. It serves a more adaptive function compared to the brooding compo-
nent of rumination, which aligns more with the early RST model of rumination. The brooding component reflects a
more passive comparison of an individual's current situation with an unachieved standard. In this revised model,
rumination is still linked to depression. However, it is also found to have both adaptive and maladaptive functions in
resolving distress, instead of the traditionally maladaptive conceptualization of the early model. Although the RST model of rumination is referred to most widely, a number of other models propose different
definitions of rumination. For example, the Self-Regulatory Executive Function model conceptualizes it as recurring
thoughts centred on self-referent information as opposed to immediate goal-directed action (Matthews &
Wells, 2004), while the Goal Progress Theory refers to rumination as a ‘response to failure to progress satisfactorily
towards a goal’ (Watkins, 2008). Other models such as the Stress Reactive Rumination model (Alloy et al., 2000) and
the Post-Event Rumination model (Clark & Wells, 1995) conceptualize rumination to be focused on negative infer-
ences associated with stressful life events and social interactions respectively. As evident from the above, there
appear to be a number of theories of rumination varying in their predictions of the content of ruminative thoughts. However, a common characteristic of these definitions centres on rumination's link to distress and the potential cau-
ses and consequences of rumination. 1.2
|
Rumination According to Response Styles Theory (RST), the most widely referred-to model of rumination, rumination is a distress
response that involves repetitively and passively focusing on symptoms of distress and the possible causes of these
symptoms (Nolen-Hoeksema, Wisco, & Lyubomirsky, 2008). Rather than focusing on active problem solving, people
who ruminate tend to fixate on the problems they face and their distress without taking action to solve them. In line
with this theory, rumination has been associated with a variety of maladaptive cognitive styles (Ciesla &
Roberts, 2002) and with depression after controlling for other negative cognitive coping styles (Flett, Madorsky,
Hewitt, & Heisel, 2002; Spasojevic & Alloy, 2001). Additionally, it has also been found to mediate the relationship
between depression and negative inferential styles (Nolan, Robert, & Gotlib, 1998). While pioneering studies have found evidence suggesting rumination is strongly linked to depression, more
recent research on RST has led to further refinement of the theory, giving rise to a two-factor model of rumination
(Treynor, Gonzalez, & Nolen-Hoeksema, 2003). The revised model proposes that rumination consists of two compo-
nents; reflection and brooding. Reflection consists of introspective thoughts aimed at engaging in cognitive problem 1.4
|
Research question How do young people subjectively experience rumination in the context of loneliness? 1.3
|
Rumination and loneliness: The present study Regarding rumination in the context of loneliness, a number of quantitative studies have found loneliness to reliably
predict rumination in young people (Vanhalst et al., 2012; Zawadzki et al., 2013). Interestingly, in these studies, rumi-
nation mediated the adverse effects of loneliness on individual wellbeing via sleep and mood. These studies highlight
the complex relationship between loneliness and rumination. While the link between rumination and loneliness has
been extensively corroborated quantitatively (Gan, Xie, Duan, Deng, & Yu, 2015), there has been little qualitative
research exploring the experience of rumination and the content of ruminative thoughts in the context of loneliness,
which may reveal the nuances of the complex relationship between the two. While a number of studies have explored ruminative thoughts in various contexts such as trauma (Speckens,
Ehlers, Hackmann, Ruths, & Clark, 2007), friendships (Rose, 2002) and anger episodes (Sukhodolsky, Golub, & Crom-
well, 2001), the literature on the content of ruminative thoughts in the context of loneliness remains lacking. Hence, this study aims to qualitatively investigate how young people subjectively experience rumination in the
context of loneliness. The findings of this study will provide potential insight into how to devise targeted interven-
tions, centred on rumination to mitigate the adverse effects that loneliness can have on individual wellbeing. YUN ET AL. 5 neighbourhood. Participants consented to participate in the study after the details of the study were explained. Participants were recruited via an agency and received compensation for their participation. Ethical approval was
granted by ethics board. neighbourhood. Participants consented to participate in the study after the details of the study were explained. Participants were recruited via an agency and received compensation for their participation. Ethical approval was
granted by ethics board. 2.2
|
Data collection In-depth interviews were conducted at participants' homes or a local venue chosen by them. The interviews were
audio-recorded and transcribed verbatim. Interviews utilized the Grid Elaboration Method (Joffe & Elsey, 2014), a
free association method targeted at drawing out the naturalistic thoughts and feelings of individuals, whilst minimiz-
ing the influence of the interviewer's knowledge and prior assumptions. The interview consisted of two phases. The first phase was designed to elicit a more general experience of lone-
liness, while the second phase intended to elicit location-specific loneliness to draw out more specific instances of
experienced loneliness. In the first phase, participants were presented with a four-box grid (Appendix A) and asked
to write or draw an idea they associated with ‘the experience of loneliness’ in each of the four boxes. Participants
were then prompted by the interviewer to elaborate on each box, focusing on one box before moving on to the next. This began with ‘can we talk about what you have put in box 1, please?’ Following this, the interviewer made use of
open-ended prompts (e.g., ‘can you tell me more about that?’, ‘how does that make you feel?’) to encourage further
elaboration from the participant, taking care to avoid interviewer interference. The flow of the interviews was guided
primarily by the interviewee. In the second phase of the interview, participants were presented with a two-box grid (Appendix B) and instructed
to write or draw in one a place they felt most socially connected, and in the other, a place they felt loneliest. The partic-
ipants were encouraged to elaborate on their responses in a similar manner as in the first interview phase. Following the completion of the interview, demographic data were collected from each participant. 2.3
|
Qualitative analysis The transcribed interview data were analysed using ATLAS.ti 9, which facilitated the creation of codes and themes
using thematic analysis (Braun & Clarke, 2006). Thematic analysis entails a systematic process of identifying recurring themes across participants. The data is
coded by attaching codes to relevant phrases. These codes are grouped into overarching themes. Each theme is
well-substantiated by excerpts from the data and described in detail (Strauss & Corbin, 1998). Through this process, inductive codes by the researchers were used to form a coding frame. In accordance with
good practice guidelines (Barker & Pistrang, 2005), the coding frame was checked for interrater reliability by an inde-
pendent coder in approximately 10% (n = 5) of the interviews. A reliability score of 67.2% was calculated between
the researchers and deemed acceptable (O'Connor & Joffe, 2020). Following the resolution of inconsistencies
between the researchers, the interviews were coded with reference to the final coding frame. 2.1
|
Participants Since the ONS (2018) survey found area deprivation to correlate with loneliness in young people, this study rec-
ruited 48 participants (24 males, 24 females) living in the four most deprived boroughs in London: Tower Hamlets,
Barking and Dagenham, Newham and Hackney. The ages of participants ranged from 18 to 24 years; participants
under 18 were not sampled for ethical reasons. At least five participants of each gender were recruited from each 3
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RESULTS Of the 48 interviewees, 34 (70.8%) referenced rumination. Thematic analysis of the data from these 34 interviewees
generated 16 codes, regarding how young people subjectively experienced rumination in the context of loneliness. The codes were organized into five themes; ‘rumination related to others’, ‘temporal experience of rumination’,
‘ruminating life and death’, ‘outcomes of rumination’ and ‘coping with loneliness-related rumination’. The percent-
age frequency of their occurrence among interviewees who referenced rumination is summarized in Figure 1. 6 YUN ET AL. 6 Themes
Percentage Frequency
Ruminaon related to others
64.7%
Temporal experience of ruminaon
47.1%
Ruminang life and death
14.7%
Outcomes of ruminaon
64.7%
Coping with loneliness-related ruminaon
52.9%
FIGURE 1
Table of percentage frequency of themes
FIGURE 2
Thematic map of themes and codes arising in interviews Themes
Percentage Frequency
Ruminaon related to others
64.7%
Temporal experience of ruminaon
47.1%
Ruminang life and death
14.7%
Outcomes of ruminaon
64.7%
Coping with loneliness-related ruminaon
52.9%
FIGURE 1
T bl
f
t
f
f th FIGURE 1
Table of percentage frequency of themes FIGURE 1
Table of percentage frequency of themes FIGURE 2
Thematic map of themes and codes arising in interviews FIGURE 2
Thematic map of themes and codes arising in interviews FIGURE 2
Thematic map of themes and codes arising in interviews The theme ‘rumination related to others’ described rumination related to other people, followed by ‘temporal
experience of rumination’, which explored the temporal nature of rumination. The theme ‘ruminating life and death’
provided insight into existential rumination and rumination regarding death. Finally, the themes ‘outcomes of rumi-
nation’ and ‘coping with loneliness-related rumination’ described the impacts of rumination and how individuals
coped with rumination. These themes and their codes are summarized in Figure 2. The data were also analysed for possible differences between age subgroups, genders and ethnic groups. No large
differences were found between any of these groups. In the following sections, how the codes constitute the theme
will be illustrated using network maps, where more prevalent codes are depicted higher relative to the other codes. 3.1
|
Theme 1: Rumination related to others A key theme was ‘Rumination Related to Others’; this included ruminating on one's relationships and social interac-
tions, both of which often led to ‘why me’ thoughts where interviewees looked introspectively to find reasons for
why their social interactions may have played out a certain way or the state of their relationships. The lack of others YUN ET AL. FIGURE 3
Network map of ‘rumination related to others’ theme FIGURE 3
Network map of ‘rumination related to others’ theme to confide in was also closely linked to paranoid or irrational thoughts, as interviewees discussed how being unable
to share their thoughts allowed their ruminative thoughts to run rampant. The network map of the theme is illus-
trated in Figure 3. to confide in was also closely linked to paranoid or irrational thoughts, as interviewees discussed how being unable
to share their thoughts allowed their ruminative thoughts to run rampant. The network map of the theme is illus-
trated in Figure 3. When interviewees experienced loneliness, they tended to reflect and ruminate on their support systems and
relationships with others around them, particularly, about who they could call on in times of need. …thinking man, just thinking about myself, whatever I've done in my life, who is the friend in my life
to guide me, where is the family that I need to support me… (Male, 23, Newham1) Upon ruminating, if individuals felt lacking in their support systems or close friends and relationships, they
tended to introspectively ruminate on possible causes. This included whether it was due to their inability to make
friends, or whether they had done something to offend others around them. These thoughts, referenced as ‘Why
Me' Thoughts’, were highly introspective and self-focused. Interviewees often searched for causes in their own
behaviour and actions, rather than looking externally at the intentions and behaviours of others, or environmental
factors. I think you end up either asking yourself (a) am I not treating people correctly? Is that why I'm not
being treated with the same support that I want to be treated with. (Male, 24, Newham) Similar to ruminating relationships, when individuals had negative social experiences that made them feel lonely,
they often ruminated about these experiences and the possible reasons for them playing out in a particular way. As
in the case of ruminating relationships, ruminating about one's social interactions also tended to be highly
introspective. 8 YUN ET AL. YUN ET AL. 8 …reflecting whilst being lonely can cause you to positively understand people's intentions because
with me, I feel, when I, when I feel lonely, I feel like it's the other person not wanting to, to interact
with me, but then after reflecting and then becoming a bit more positive, you can find alternative
views into why the person acts a way towards you. (Male, 18, Hackney) In contrast, a number of interviewees also revealed that when they felt lonely and did not have other people to share
their thoughts with, their ruminative thoughts ran rampant. With no one to “reign in” their thoughts, they felt that their
minds conjured up irrational thoughts, often making a situation they were facing appear more daunting than it was. …[when you're lonely] you have irrational thoughts because there's no one there to, to sort of tell you
that ‘that's not right’, like I guess the longer it goes on for, the longer you're alone, then the deeper
you are sort of thing in like your own mind so you probably start thinking things that aren't true. (Female, 19, Newham) 3.1
|
Theme 1: Rumination related to others Like being left out in other like other cases, you would question yourself. Like what doesn't anyon
like me? Sort of questions you would ask yourself (Female 18 Hackney) Like being left out in other like other cases, you would question yourself. Like what doesn't anyone
like me? Sort of questions you would ask yourself. (Female, 18, Hackney) There were, however, interviewees who reported that ruminating about negative social interactions allowed
them to positively reframe an experience. Instead of reflecting introspectively on what they might have done wrong,
rumination allowed them to take on a broader perspective. This facilitated reflection and consideration of other pos-
sible reasons for the way a social interaction played out, such as the intentions others may have had in those
situations. 8 9 In contrast to ruminating on the past, thoughts that occurred when ruminating on the present during experi-
ences of loneliness tended to be focused on one's life at present. This could be in terms of one's relationships, daily
activities, one's feelings and strikingly, one's present loneliness and the possible causes of it. ‘Why am I, why am I here?’, ‘Why am I not with friends or something like that? (Male, 18, Hackney) Intriguingly, ruminating on the present appeared closely related to the past, with ruminative thoughts often aris-
ing from a comparison of one's present circumstances with the past in some manner. As the interviewee quoted
below described, such ruminative thoughts can be maladaptive, leading individuals to feel a sense of failure that they
have not progressed as they had expected to. …it could be where you are in life, it could be, like, you know what, I expected more, could be
reflecting back two years ago where you was and where you are now, and feeling like ‘wow, it's kind
of fail, I fell off and you know, getting emotional, tears come out… (Male, 24, Barking and Dagenham) The final facet of the temporal experience of rumination centres around the future. In contrast to ruminative
thoughts on the past and present, which appear mostly negative, there are both positive and negative ruminative
thoughts on the future. A number of interviewees recognized how ruminating about the future while feeling lonely
allowed them to focus on how they were going to approach the future and construct plans. This appears to be a
more adaptive form of rumination allowing individuals to think constructively about their future. … it allows you to just think and generate certain ways of how you're gonna sort things out, how
you're gonna work towards better things and how you're gonna strategize to kinda move forward. (Male, 23, Newham) In contrast, some interviewees expressed that ruminating about the future had a negative side. The uncertaint
one felt towards the future could lead to further rumination and consequently, worry about what the future held. I worry a lot, of like what the future holds and what things are gonna be like, like, are my fam actually
gonna be okay, like… just constantly worrying about family and… is my health okay, like am I gonna
go down the career path that I want to… (Female, 18, Barking and Dagenham) |
Theme 2: Temporal experience of rumination 3.2 Another recurring theme was the temporal nature of rumination. The ruminative thoughts reported by interviewees
often involved a temporal element. This included ruminating on the past, the present, or the future (Figure 4). When they experienced loneliness or were physically alone, interviewees expressed a tendency to ruminate
about how events that took place in the past could have played out differently, the actions they could have taken at
the moment or how their own actions could have affected others There was a particular focus on things that went Another recurring theme was the temporal nature of rumination. The ruminative thoughts reported by interviewees
often involved a temporal element. This included ruminating on the past, the present, or the future (Figure 4). When they experienced loneliness or were physically alone, interviewees expressed a tendency to ruminate
about how events that took place in the past could have played out differently, the actions they could have taken at
the moment, or how their own actions could have affected others. There was a particular focus on things that went
wrong or what they might have done wrong, which was associated with feelings of worry and sadness. This was
most common in the context of social interactions, as described in the prior theme. Another recurring theme was the temporal nature of rumination. The ruminative thoughts reported by interviewees
often involved a temporal element. This included ruminating on the past, the present, or the future (Figure 4). I play scenarios over in my head over and over and over again of how I could have possibly done it or
if I am having a disagreement on opinions, I would sit up all night and have gone like, I could have said
that or they could have said that more politely, and it's just, it's just a play over of how I could do
things differently… (Female, 20, Barking and Dagenham) While most participants focused on things they might have done wrong or things that did not turn out as
expected, some described having reflected positively on the past such as reminiscing about the positive aspects of
their lives thus far. FIGURE 4
Network map of ‘temporal experience of rumination’ theme FIGURE 4
Network map of ‘temporal experience of rumination’ theme YUN ET AL. YUN ET AL. |
Theme 3: Ruminating life and death Another theme that emerged was rumination centred on life and death (Figure 5). When individuals felt lonely, some engaged in rumination about death, mainly of loved ones, particularly, what
would happen in the future following their passing. Such thoughts tended to be emotionally distressing and inter-
viewees discussed how they often worried about their future following the hypothetical loss of loved ones. This
appeared to be exacerbated in those who felt they lacked a strong support system. So like the other night, I was thinking of like my mum and thinking about my future and will she still
be here and… and just getting myself worked up, and I worry like a lot. I worry a lot a lot. (Female,
18, Barking and Dagenham) In contrast to thoughts about death, a number of interviewees expressed that they ruminated about life and
existence when they were alone. This included thoughts on the meaning of one's life, and the concept of life in a 0 YUN ET AL. 10 FIGURE 5
Network map of ‘life and death’ theme
FIGURE 6
Network map of ‘outcomes of rumination’ theme FIGURE 5
Network map of ‘life and death’ theme FIGURE 6
Network map of ‘outcomes of rumination’ theme ‘grander’ sense. Interestingly, many highlighted that they had such thoughts when they were surrounded by nature,
such as in parks. Existential thoughts tended to exacerbate feelings of loneliness as individuals reflected on the
meaning of their lives and existence at the scale of the seemingly vast world around them. … [in parks] you can reflect on life and on a different way… on its beauty, this nat-, um there's natural-
istic element more than social, so then you start reflecting on its beauty and then you start thinking
and wondering, or I start thinking and wondering what has, like what was life and what has it become,
so then that kind of reflection of a deeper meaning, sometimes you can turn to being, feeling, feeling
lonely, just, just because you're in a state of mind where you're just really thinking about life… (Male,
18, Hackney) 3.4
|
Theme 4: Outcomes of rumination 3.4 Another facet of the subjective experience of rumination involved the outcomes of rumination (Figure 6). Interviewees reported that the intrusive nature of their ruminative thoughts tended to keep them up at night,
affecting the amount of sleep they got. Cause then it stops me from like sleeping a lot as well. Feel like I'm overthinking into the night. There's
not like a switch off button… (Female, 22, Newham) 11 from rumination, particularly impaired sleep, was closely tied to mental ill-being. Interviewees described how rumi-
nating late into the night exacerbated feelings of worry, depression and other negative emotions. These feelings also
arose from rumination in many interviewees independent from physical ill-being. from rumination, particularly impaired sleep, was closely tied to mental ill-being. Interviewees described how rumi-
nating late into the night exacerbated feelings of worry, depression and other negative emotions. These feelings also
arose from rumination in many interviewees independent from physical ill-being. Like, that was my constant thought and I'd be like up in the middle of the night crying and stuff…
(Male, 18, Barking and Dagenham) Like, that was my constant thought and I'd be like up in the middle of the night crying and stuff Like, that was my constant thought and I'd be like up in the middle of the night crying and stuff…
(Male 18 Barking and Dagenham) Another prevalent idea that interviewees raised was how rumination during experiences of loneliness could
exacerbate their loneliness. In particular, interviewees described how ruminating made them feel consumed and
alone with their thoughts, which led to them feeling lonelier. Some also reported feeling like they could not confide
in others about their ruminative thoughts for fear of burdening them. This led to them feeling alone in working
through their thoughts, which, in turn, exacerbated their loneliness. So, it gets lonely in the sense that you, yourself have to sit there and like get through them… Yeah,
because it is a handful and that sort of goes back to the burden thing because it's like… I can't offload
lots onto one person, because now that person has all of my thoughts or over-thoughts. (Female,
24, Hackney) Finally, a few interviewees also mentioned how rumination led to a circular loop where they ruminated further
about their own ruminative thoughts, leading to self-doubt, loneliness and irrational thoughts. Cause then it stops me from like sleeping a lot as well. Feel like I'm overthinking into the night. There's
not like a switch off button… (Female, 22, Newham) In addition to affecting sleep, some interviewees also discussed how they turned to maladaptive eating habits
(e.g., comfort eating, not eating at all) to cope with their ruminative thoughts. Interestingly, physical ill-being arising 11 YUN ET AL. 12 12 YUN ET AL. 12 YUN ET AL. Another coping strategy interviewees adopted in response to rumination when they were lonely was positive
reframing. When faced with negative thoughts resulting from rumination, some described how they reframed the sit-
uation more positively, reflecting on the good in their lives and their thoughts in a more positive and objective man-
ner. This prevented them from being consumed by negative thoughts and helped them to think constructively about
how they could ease their loneliness or distract themselves from ruminating. Yeah, so why I said positive is like, if I link in a positive way like… you know, my family's there for me,
if anything happens, you know, I can share with them and tell them, and in my family I have cousins
and other people around me who can help me through it, so yeah. I can discuss it with them. (Female,
19, Tower Hamlets) Finally, a small number of interviewees expressed how being in nature provided a peaceful environment away
from others and any worries or negative rumination; this encouraged them to think constructively, notably about
their future, allowing them to strategize and make plans, and reflect positively about themselves. …sometimes for example I am feeling a bit upset about something, I would just walk it out [at the
park]. I would literally just go for a walk and you are doing something, it's a quiet place and you are
kind of just giving yourself time to think to yourself. (Female, 22, Tower Hamlets) However, while being alone in nature promoted adaptive forms of rumination and provided respite from nega-
tive thoughts, some recognized that physical isolation from others could also lead one to focus on loneliness or rumi-
nate existentially, which could exacerbate loneliness. 3.5
|
Theme 5: Coping with loneliness-related rumination The final theme describes the coping mechanisms adopted by young people in relation to their rumination (Figure 7). The most common strategy interviewees tended to employ was the use of distraction. Interviewees shared how
distracting themselves with a company, work, school or activities occupied their minds, keeping them from ruminat-
ing negatively. Interviewees also acknowledged that the lack of distraction could lead one to ruminate more, exacer-
bating feelings of loneliness. … when you're around people you won't have time to sit down and think do you get what I'm trying
to say to you so that's why I said that and at uni I'm always around people, at work, I'm constantly
around people as well and always around friends. (Female, 24, Barking and Dagenham) FIGURE 7
Network map of ‘coping with loneliness-related rumination’ theme FIGURE 7
Network map of ‘coping with loneliness-related rumination’ theme YUN ET AL. 13 give rise to feelings of inadequacy. This may have been more prevalent within the sample due to the age of the inter-
viewees. Cross-cultural research has found that people begin to feel more aware of others and their reactions in
social situations in late adolescence to early adulthood (Essau, Sasagawa, Chen, & Sakano, 2010; Takahashi, 1989). This may have contributed towards the observed pattern of self-focused social rumination. Conversely, some inter-
viewees reported that negative social rumination prompted them to take a broader, more objective perspective in
thinking about their social interactions, contradicting Clark and Well's model. This could reflect adaptive coping in
the form of cognitive reappraisal in response to negative social rumination. This highlights a need for a theoretical
extension of the model to encompass possible coping mechanisms that individuals employ in social rumination. In addition, this social facet of rumination maps onto Weiss' (1973) typology of emotional and social loneliness. In Weiss' typology, emotional loneliness is proposed to arise from one feeling lacking in emotional attachment and
close ties with others, and this appears to align with reported instances where individuals ruminated about their
social networks and close relationships when they experience loneliness. Social loneliness, on the other hand, is the-
orized to result from feeling a lack of social integration, and this is reflected when people ruminated about past inter-
actions that went awry and made them feel out of place and isolated in social settings. The findings support Weiss'
typology of emotional and social loneliness and also appear to suggest that different sub-types of loneliness could
potentially contribute to different contents in ruminative thoughts. The next novel finding was captured by the theme ‘temporal experience of rumination’. Ruminating the past
was strongly related to thinking about past social interactions that had gone awry. In contrast, ruminating on the pre-
sent appeared to be focused on where one is in life, one's feelings and, most strikingly, one's present loneliness and
the circumstances surrounding it. This observation supports Conway, Csank, Holm, and Blake's (2000) construct,
which conceptualizes rumination as repetitively thinking about present distress, and its circumstances. Interestingly, there was a recurring association between ruminating on the past and present in the sample. Spe-
cifically, interviewees often ruminated on their present in relation to the past. When they felt they did not meet the
goals they had set in the past, interviewees expressed a sense of failure. This echoes Martin, Tesser, and McIntosh's
(1993) goal progress model of rumination, which proposes rumination arises from a failure to progress towards
important goals, and that information related to important unattained goals remains active in memory longer than
attained goals. In line with this, interviewees appeared to ruminate more on goal discrepancies between the past and
the present, with no mention of ruminating about attained goals. The greater the discrepancy, the more interviewees
appeared to ruminate on it. However, the model also assumes that rumination terminates when individuals attain the
goal, make satisfactory progress, or give it up. However, even when interviewees had given up on their past goals,
they still ruminated about them, contributing to a sense of failure. This highlights the need for revision of the model
to account for instances when rumination of a goal may persist despite an individual having given it up. Lastly, while this study found evidence for a pattern of negative, brooding rumination regarding the future, a key
feature in many theories of rumination (Michl, McLaughlin, Shepherd, & Nolen-Hoeksema, 2013), a considerable
number of interviewees reported ruminating positively about the future, thinking constructively and strategizing
about their future. Positive rumination about the future does not appear to have been studied extensively in the
existing literature, yet it appears crucial in moderating the effect of rumination on mental wellbeing. Research has
found those who ruminate more hopeful about their future suffer less adverse effects on their mental well-being as
a result of rumination (Sun, Tan, Fan, & Tsui, 2014). In conclusion, it appears that the experience of rumination during
loneliness in young adults involves a temporal element and while the observations may be largely in line with the cur-
rent literature, there is a need to review current theories to account for findings that are not explained by existing
models. Indeed, positive rumination needs to be incorporated into current theories. The third and final facet of the experience of rumination was captured by ‘ruminating life and death’. In this
theme, interviewees expressed feeling fearful or worried when they ruminated about a future following the hypo-
thetical loss of a loved one during experiences of loneliness. 4
|
DISCUSSION In this study, 48 participants aged 18–24 residing in London's most deprived boroughs were interviewed on what
they associated with the experience of loneliness. The aim of this analysis was to explore the subjective experience
of rumination in the context of loneliness and how the two interrelated. Without prompting, 71% of the inter-
viewees discussed rumination when sharing their experiences of loneliness. A thematic analysis of the interview data
yielded five themes that captured these experiences: ‘rumination related to others’, ‘temporal experience of rumina-
tion’, ‘ruminating life and death’, ‘outcomes of rumination’ and ‘coping with loneliness-related rumination’. In line with existing research, the prevalence of rumination in the context of loneliness corroborates quantitative
studies finding loneliness to reliably predict rumination in young adults (Vanhalst et al., 2012; Zawadzki et al., 2013). Interviewees were not prompted to speak about rumination, yet the frequency of its emergence suggests it is a key
component of the experience of loneliness within the sample; young people who experience loneliness appear to
engage in high levels of rumination. In addition, the findings of this study highlighted a recurring association between
rumination and ill-being in the context of loneliness, specifically concerning sleep and mood. Some interviewees
stated that ruminating kept them up at night, exacerbating negative emotions, and having an adverse effect on
wellbeing. Apart from corroborating existing research on the relationship between loneliness and rumination, the
analysis also identified three previously unidentified facets of the experience of rumination in the context of loneli-
ness in young adults. The first was captured by the theme ‘rumination related to others’. When they felt lonely, interviewees tended
to ruminate about their social relationships and past interactions that went awry. They scrutinized their relationships
and interactions with a negative, self-focused outlook. This supports Clark and Wells' (1995) social model of rumina-
tion, which hypothesises that negative social situations, which can lead to feelings of loneliness, may result in
brooding social incidents and relationships with a heavy focus on the past. Such brooding has also been theorized to 13 14 YUN ET AL. YUN ET AL. 14 bereavement has been proposed to be a result of a maladaptive coping strategy (Nolen-Hoeksema, McBride, &
Larson, 1997). Future research will need to discern whether the anticipatory rumination of death during experienced
loneliness reflects a similar coping strategy, or if it is simply a product of underlying feelings of anxiety and worry that
arise in individuals during experiences of loneliness. Anticipatory rumination also appears to map onto existential
loneliness, also described as existential suffering (Moustakas, 1961), which includes fear of death and being left alone
(Sand & Strang, 2006). While most research into existential loneliness has concentrated on understanding the con-
cept itself (Ettema, Derkensen, & Leeuwen, 2010), and tends to focus on the elderly in the context of healthcare, the
fact that it was a recurring idea within the sample suggests that more research is needed to explore it, in particular,
its possible functions, and how young adults experience it. In contrast to thoughts about death, some interviewees ruminated on the meaning of their existence when they
felt lonely. This led some of them to feel disconnected from the world around them, exacerbating their loneliness. This has been identified in the literature as loneliness anxiety (Moustakas, 1961). Moustakas contended that such
loneliness may be a product of contemporary living, where urbanization and the increasing competitiveness, self-
centredness and materialism of people lead to the loss of the intimate sense of genuine connection to the world and
people around them. The findings of this study indicate that both ruminating about death and the meaning of exis-
tence form key facets of the experience of rumination in the context of loneliness in young adults. The remaining two themes captured the outcomes of rumination and how individuals coped with loneliness-
related rumination. With respect to outcomes, interviewees found the intrusive nature of ruminative thoughts to
impair their sleep, which was associated with mental ill-being, exacerbating negative emotions such as sadness,
depression and worry. These feelings also arose in many interviewees independent of impaired sleep. These findings,
where rumination arising from loneliness appears to be a pathway through which mental ill-being arises, are in line
with existing research (Carney, Edinger, Meyer, Lindman, & Istre, 2006; Guastella & Moulds, 2007). While ruminating about death has been studied exten-
sively, existing literature focuses primarily on rumination following bereavement and much less on the anticipatory
rumination on death observed in the sample (Eisma et al., 2014). The role of ruminating about death following 4.1 In light of the findings, there are certain interventions that may help to tackle rumination, and consequently loneli-
ness, in young people. Firstly, mindfulness meditation enables one to bring one's attention to the present moment
hence freeing it from dwelling on the past or the future (Baer, 2003). Mindfulness has also been found to help
people to develop a non-judgemental attitude towards their experiences (Kabat-Zinn, 1990). Journaling gratitude
on a regular basis may also alleviate rumination by counteracting negative thought patterns and consequently
diminishing anxiety, depression and loneliness (Bartlett & Arpin, 2019; Iodice, Malouff, & Schutte, 2021; Smyth
et al., 2018). For example, in one study, 15 min of online positive affect journaling three times a week for
12 weeks reduced mental distress and increased wellbeing (Smyth et al., 2018). Prosocial behaviour has also been
shown to help diminish rumination by improving mindful awareness and attention to the present (Meng &
Meng, 2020). Focusing on helping other people in need allows one to disengage from one's own thoughts and
emotions and invest one's cognitive resources elsewhere. For example, volunteering for charitable organizations
may lend a sense of purpose. An interesting
observation from the present study, which is not captured by the existing literature, is how ruminating when lonely
can exacerbate loneliness, making individuals feel consumed by their own thoughts. This could also feed into a nega-
tive feedback loop (i.e., rumination feeds into further loneliness, exacerbating mental ill-being, and so on). Addition-
ally, social rumination featured heavily in the sample, and a part of such thinking involved ruminating on past social
interactions (e.g., what went wrong, what could have been done better), which could feed into anxiety concerning
future social interactions, or even make individuals hyper-aware of how others may perceive them in social
interaction. Finally, with regard to how young adults in the sample coped with loneliness-related rumination, the most com-
mon strategy was a distraction. This could include being around friends or immersing themselves in activities that
demanded their attention and focus. They reported that distractions kept their mind occupied, preventing them from
ruminating and experiencing loneliness. This supports evidence that those who tend to distract themselves as
opposed to ruminating observe decreases in depression and anxiety over time (Roelofs et al., 2009). However, dis-
traction may not be a long-term solution, as participants also shared that once they were alone and away from dis-
tractions, they tended to find themselves ruminating and feeling lonely again. In contrast, another common coping
strategy, positive reframing of situations, may work better. More research is needed to explore whether this strategy
works. It if does, it may be a more long-term solution to ruminative thinking that exacerbates loneliness than distrac-
tions. The final coping strategy that individuals employed was seeking out nature. Some interviewees reported that
nature provided respite from ruminating, corroborating existing research on green spaces and rumination (Bratman,
Hamilton, Hahn, Daily, & Gross, 2015). However, a small number of interviewees expressed how being in nature
prompted existential rumination on life, which made them feel lonelier. This suggests that the effect that green
spaces have on rumination could be far more complex than the literature suggests; it could potentially play a dichot-
omous role in both facilitating and reducing rumination. Further research will be needed to study the contexts in
which facilitation versus reduction prevails. While the findings of this study corroborate existing literature, they also highlight many aspects of rumination
that have not been previously explored. For instance, some young people in this study reported ruminating about YUN ET AL. 15 unattained goals despite having given them up, ruminating positively about the future, or ruminating in an anticipa-
tory manner about the death of loved ones. Some interviewees in the sample also ruminated existentially, a phenom-
enon typically observed in older populations. The study also highlights the dichotomous role played by green space
in rumination. The aforementioned findings are not currently accounted for by current models and merit further
research. Additionally, the findings of the present study paint a more holistic account of rumination in the context of
loneliness, integrating various theories of rumination. unattained goals despite having given them up, ruminating positively about the future, or ruminating in an anticipa-
tory manner about the death of loved ones. Some interviewees in the sample also ruminated existentially, a phenom-
enon typically observed in older populations. The study also highlights the dichotomous role played by green space
in rumination. The aforementioned findings are not currently accounted for by current models and merit further
research. Additionally, the findings of the present study paint a more holistic account of rumination in the context of
loneliness, integrating various theories of rumination. 4.2
|
The relationship between rumination and loneliness Rumination was found to frequently arise in the context of loneliness for a large proportion (71%) of the sample. This
supports the findings from quantitative literature in viewing loneliness as giving rise to rumination. Additionally, this
study also supports existing literature in that rumination mediated the effect of loneliness on mental and physical ill-
being. However, a novel finding from this study was how there might be a bidirectional or even circular relationship
between the two. Participants mentioned a circular negative feedback loop, where they reported how loneliness led
to rumination, and how ruminating made them feel lonelier, having an adverse impact on their mental wellbeing. The
findings also indicated how different types of ruminative thoughts mapped onto different forms of loneliness
(e.g., social, emotional and existential), which could suggest that the content of ruminative thoughts may be context-
specific, depending on the type of loneliness an individual experiences. 4.1
|
Practical implications 4.1 FUNDING INFORMATION This study was supported by funding from the UCL Grand Challenges Environment and Wellbeing initiative
(No. 156425). Implications and directions for research Despite the aforementioned limitations, this study contributes to the growing literature exploring loneliness in young
adults, specifically the phenomenon of rumination, which appears to be a key component of loneliness. Further
research could explore the identified facets of rumination to construct a comprehensive model of rumination in the
context of loneliness, particularly in young adults. The facets of rumination could also form a base to design quantita-
tive scales assessing ruminative thinking, that could predict loneliness in young adults. With the construction of such
quantitative measures, we could further explore and quantify the extent to which different contexts, such as social
isolation, may impact rumination in the context of loneliness. YUN ET AL. YUN ET AL. 16 this could arise, in part, from impeded social interactions that result from residing in deprived boroughs. In contrast,
we may expect less social rumination, or variations in the content of social rumination, in individuals from less
deprived areas. In light of this, care must be taken when interpreting these findings, as the experience of loneliness
in young adults may vary with levels of area deprivation (Manstead, 2018). While the sample may not represent the
general population, it is a good starting point for studying loneliness in young people, especially in those who are
most vulnerable. In addition, as the interviewees were interviewed on their experiences of loneliness, the spontaneous
experiences with rumination shared may have been negatively biased as loneliness tends to be associated with
negative thoughts (Abeyta, Routledge, & Kaslon, 2020). The nature of how the interviews were conducted may
not have captured the full occurrence of more positive forms of rumination that could help young adults cope
with negative emotions and thoughts during loneliness. Future research could focus on interviewing young
adults specifically on rumination, without the context of loneliness, to explore this facet of rumination in
greater detail. DATA AVAILABILITY STATEMENT The data that support the findings of this study are available on request from the corresponding author. The data are
not publicly available due to privacy or ethical restrictions. ORCID Rumi Chloe Yun
https://orcid.org/0000-0002-3479-6591 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. ETHICS STATEMENT The studies involving human participants were reviewed and approved by UCL Research Ethics Committee
(CEHP/2013/500). Participants provided their written informed consent to participate in this study. 4.3
|
Limitations While the findings of this study provide an in-depth exploration of young adults' experience of rumination in the
context of loneliness, they must be considered in light of a number of methodological issues. Firstly, the interviewees consisted of young adults from the most deprived boroughs of London, as the ONS
(2018) survey found that loneliness in young people correlated with area deprivation. In this study, while participants
did not explicitly focus on area deprivation, literature has cited it as a potential impediment to social interactions in
neighbourhoods (e.g., poorer quality and access to neighbourhood amenities, feeling unsafe due to crime, less
neighbourly trust) and a contributor to area-based loneliness (Victor & Pokhartova, 2020). Participants in this study
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How to reach people who do not want to be reached: psychosocial counseling for school-dropouts in vocational training
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Frontiers in psychology
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cc-by
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TYPE Brief Research Report
PUBLISHED 18 December 2023
DOI 10.3389/fpsyg.2023.1112919 TYPE Brief Research Report
PUBLISHED 18 December 2023
DOI 10.3389/fpsyg.2023.1112919 Julian Valentin Möhring1,2*, Méline Wölfel2,3 and
Burkhard Brosig2,3 1Department of Sociology, Faculty of Social and Cultural Sciences, Distance University, Hagen,
Germany, 2Department for Child and Family Psychosomatics, Faculty of Medicine, Clinic for General
Pediatrics and Neonatology of the University Clinic, Giessen, Germany, 3Horst Eberhard Richter Institute
for Psychoanalysis and Psychotherapy, Giessen, Germany Möhring JV, Wölfel M and Brosig B (2023)
How to reach people who do not want to be
reached: psychosocial counseling
for school-dropouts in vocational training. Front. Psychol. 14:1112919. doi: 10.3389/fpsyg.2023.1112919 Emerging adulthood without vocational training concerns young people from
difficult social backgrounds who are often not adequately reached by therapeutic
help. Difficult and traumatic experiences with therapeutic institutions are
common to many of these young people in addition to a long lasting,
unsatisfying patient-career. Without professional support from the therapeutic
field, vocational qualification measures often cannot meet the needs of young
people with inner conflicts. A counseling center for people with mental health
problems was set up in 2010 as a link between professional support and a
therapeutic setting. This article critically examines the importance of counseling
for improving the personal situation of participants in vocational qualification
measures on a descriptive level. We take a perspective on identity development
and defense mechanisms in the thought of Vaillant and Erikson. Both theories
focus on the social embeddedness of psychological processes. This theoretical
background helps to understand young peoples’ situations and difficulties. The
unique setting of the counseling center that aims to match the particular
needs of these young people is presented. Thus a low-threshold, destigmatising
and flexible setting should provide better access to psychosocial support for
participants in vocational qualification measures. Opportunities and limits of the
concept are discussed. KEYWORDS
psychosocial
counseling,
emerging
adults,
vocational
training,
identity,
defense
mechanisms How to reach people who do not
want to be reached: psychosocial
counseling for school-dropouts
in vocational training OPEN ACCESS
EDITED BY
Gianluca Castelnuovo,
Catholic University of the Sacred Heart, Italy
REVIEWED BY
MaryJo Burchard,
Regent University, United States
Serena Giunta,
University of Palermo, Italy
*CORRESPONDENCE
Julian Valentin Möhring
julian.moehring@fernuni-hagen.de
RECEIVED 30 November 2022
ACCEPTED 27 November 2023
PUBLISHED 18 December 2023
CITATION
Möhring JV, Wölfel M and Brosig B (2023)
How to reach people who do not want to be
reached: psychosocial counseling
for school-dropouts in vocational training. Front. Psychol. 14:1112919. doi: 10.3389/fpsyg.2023.1112919
COPYRIGHT
© 2023 Möhring, Wölfel and Brosig. 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. OPEN ACCESS
EDITED BY
Gianluca Castelnuovo,
Catholic University of the Sacred Heart, Italy
REVIEWED BY
MaryJo Burchard,
Regent University, United States
Serena Giunta,
University of Palermo, Italy
*CORRESPONDENCE
Julian Valentin Möhring
julian.moehring@fernuni-hagen.de
RECEIVED 30 November 2022
ACCEPTED 27 November 2023
PUBLISHED 18 December 2023
CITATION
Möhring JV, Wölfel M and Brosig B (2023)
How to reach people who do not want to be
reached: psychosocial counseling
for school-dropouts in vocational training. Front. Psychol. 14:1112919. doi: 10.3389/fpsyg.2023.1112919
COPYRIGHT
© 2023 Möhring, Wölfel and Brosig. 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. OPEN ACCESS
EDITED BY
Gianluca Castelnuovo,
Catholic University of the Sacred Heart, Italy
REVIEWED BY
MaryJo Burchard,
Regent University, United States
Serena Giunta,
University of Palermo, Italy
*CORRESPONDENCE
Julian Valentin Möhring
julian.moehring@fernuni-hagen.de
RECEIVED 30 November 2022
ACCEPTED 27 November 2023
PUBLISHED 18 December 2023
CITATION
Möhring JV, Wölfel M and Brosig B (2023)
How to reach people who do not want to be
reached: psychosocial counseling
for school-dropouts in vocational training. Front. Psychol. 14:1112919. doi: 10.3389/fpsyg.2023.1112919
COPYRIGHT
© 2023 Möhring, Wölfel and Brosig. This is an
open-access article distributed under the term
of the Creative Commons Attribution License
(CC BY). frontiersin.org OPEN ACCESS OPEN ACCESS
EDITED BY
Gianluca Castelnuovo,
Catholic University of the Sacred Heart, Italy
REVIEWED BY
MaryJo Burchard,
Regent University, United States
Serena Giunta,
University of Palermo, Italy
*CORRESPONDENCE
Julian Valentin Möhring
julian.moehring@fernuni-hagen.de Julian Valentin Möhring1,2*, Méline Wölfel2,3 and Julian Valentin Möhring1,2*, Méline Wölfel2,3 and
Burkhard Brosig2,3 Julian Valentin Möhring1,2*, Méline Wölfel2,3 and
Burkhard Brosig2,3 How to reach people who do not
want to be reached: psychosocial
counseling for school-dropouts
in vocational training 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. 1 Introduction We are not getting anywhere! This statement stood at the beginning of the project to be described here, thus gave
the starting signal for considerations on how young people in their emerging adulthood
(Arnett, 2004) could be supported in their personal development. The board of a vocational
training institute (“Jugendwerkstatt Giessen”) reported increasingly frequent difficulties in
the vocational support of these young people. The teaching of technical skills is not successful
as the psychological stress of the training participants affects them. The participants are Frontiers in Psychology 01 Möhring et al. 10.3389/fpsyg.2023.1112919 an important framework for psychosocial counseling as a focal
therapeutic concept. Arnett (2004) identifies emerging adulthood
as a phase that begins after adolescence and the completion of
puberty, independence (in many cases moving out of the parental
home), and compulsory schooling, but before young adulthood. The clients of the psychosocial counseling are between 18 and
27 years of age, so they are in the stage of the emerging adulthood. However, in view of the clients’ often chronic inner conflicts,
which are rooted in the earlier stages of life, the motive of
inner consistency emphasized by Erikson with regard to personal
development is even more important. an important framework for psychosocial counseling as a focal
therapeutic concept. Arnett (2004) identifies emerging adulthood
as a phase that begins after adolescence and the completion of
puberty, independence (in many cases moving out of the parental
home), and compulsory schooling, but before young adulthood. The clients of the psychosocial counseling are between 18 and
27 years of age, so they are in the stage of the emerging adulthood. However, in view of the clients’ often chronic inner conflicts,
which are rooted in the earlier stages of life, the motive of
inner consistency emphasized by Erikson with regard to personal
development is even more important. considered difficult to reach, even though they seem to be in contact
with the vocational training center. Many enroll in vocational
training just to avoid financial sanctions from the social welfare
system. This is the case for those who are dependent on social
benefits but remain at home, even though they are capable of
working. In summary, even those young people who are reached
by a vocational training center remain difficult to reach for
educational efforts, such as catching up on schooling. High levels
of absenteeism, a lack of health-related self-care, and substance
abuse are typical. 1.1 Concept development In the 1970s, a student movement was formed at Giessen
University
that
combined
psychoanalytic
approaches
with
neighborhood work in a socially disadvantaged area of the city
(cf. Brosig et al., 2017). Various group and individual discussions
were offered and supervised by Horst Eberhard Richter, who
held the Giessen Chair of Psychosomatics. The concerns of the
residents of this neighborhood were discussed in a community
center under psychoanalytic supervision. The residents were
involved in political and social processes to improve their situation. Thus, important progress has been made on both self-efficacy and
neighborhood amenities. In this tradition, the project presented in
this article is based on a request from a vocational training institute
to a psychosomatic department. The objective of this project is an
intervention for young people in transition from school to work. Counseling began in 2010 with one psychosocial counselor and
continues today with three counselors. 1 Introduction Behind all of this, a problematic relationship with
the family of origin becomes apparent, or a disrupted socialization
at home is reported. Psychiatric and psychotherapeutic pre-
treatment is often reported as being a traumatic experience: never
again. Therefore, the project aims to develop a psychotherapeutic
approach that also addresses those who consciously refuse to go
through with it, but latently demand it by behaving as they do. In some cases, they can thus make a new attempt and try out a
therapeutic setting. p
p
On the other hand, the work of Vaillant (2012) on a healthy,
mature defense shows that mental health, the ability to activate
resources and creativity, strengthens the overall work performance
in one’s own life. Defense mechanisms refer to innate involuntary
regulatory processes that enable individuals to reduce cognitive
dissonance and minimize sudden changes in the internal and
external environment by altering perception. Defense mechanisms
can distort perception of: subject, object, idea, and emotion
(Vaillant, 1971). They can also affect the relationship between self
and object (Vaillant, 1971). Sigmund and Anna Freud (Freud, 1937)
outlined important characteristics of defense mechanisms: they are
an important means of conflict and affect management and can
be both adaptive and pathological. Immature defenses primarily
underlie personality disorders. Skodol and Perry (1993) described
the following immature defenses: devaluation, idealization, and
omnipotence on a minor perception distortion level; denial,
rationalization, projection on a denial level; splitting, projective
identification, autistic fantasy on a major distortion level; acting
out, hypochondriasis, provocative passive aggression on an action
level. In a review of 50 years of research on mental defenses,
Vaillant (2012) showed that failure scenarios are associated with
immature defenses: development of chronic mental disorders, high
burden of physical illness, increased accidents, and even premature
death, often by suicide (Vaillant, 1992). This is often associated
with occupational failure. The association of low adult social class
with immature defensive use appeared to be a result, not a cause,
of the immaturity of the defensive style (Vaillant, 1992). The
relationship between defense and adult socioeconomic status was
empirically demonstrated by Snarey and Vaillant (1985). The study
by Plaude and Rašˇcevska (2011) supports the idea that unemployed
individuals may have less mature defense mechanisms than
employed individuals. Focal therapy and the biographical approach
to psychosocial counseling are the subject of the next section. Frontiers in Psychology 1.2 Theoretical background Erikson (1994), in his groundbreaking work on “Identity and
the Life Cycle” (1994), emphasizes the close connection between
psychological development, its related conflicts, and the individual’s
effectiveness in the external social world. He describes stages
of identity development and presents results in the acquisition
of psychosocial competencies: school graduation, sexual-partner
commitment, assuming family roles, and the development of
professional competencies are thus inextricably linked and shaped
by psychological processing of one’s inner conflict issues. Erikson
formulates a concept of the life cycle, which allows to relate
present psychological difficulties to a specific phase of life, in which
the problems that a client brings to a counseling session usually
occur. This concept has been widely accepted, especially regarding
the identity-forming phase of adolescence (Marcia, 1966), late
adolescence (Blos, 1962), and the differentiation of adolescence and
emerging adulthood (Arnett, 2004, Silva, 2013), and thus represents frontiersin.org 2.1 Setting The psychosocial counseling service is aimed at young people
in their adolescence and emerging adulthood with problems in
the transition from school to work, who are undergoing a one-
year qualification measure at a training institute. The counseling
concept was developed in collaboration between a clinical unit for
family psychosomatics and a professor of rehabilitation pedagogy. The project adopts a conceptual approach that takes an integrated
view of the three areas of vocational, psychological and health 02 frontiersin.org frontiersin.org Möhring et al. 10.3389/fpsyg.2023.1112919 10.3389/fpsyg.2023.1112919 Counselors need to point out the limitations of counseling
compared to psychotherapy and define the differences with
educational goals and support. promotion. When the fields of vocational pedagogy, developmental
psychology and medicine are intertwined, individual support
services can be initiated and provided on an interdisciplinary
basis. The cornerstones of the service are voluntary participation
and confidentiality about the content of the counseling sessions,
immediate accessibility through multi-professional cooperation
and local placement of the service (door to door), and avoidance of
stigmatization through the use of a psychosocial oriented service. Participants in this program face barriers to integration into the
labor market. For this reason, low thresholds are important for the
counseling service. Therefor the counseling room is located inside
the vocational training institute and the counselors are available
immediately when a participant is willing to take advantage of the
counseling service. It now becomes clear what high demands are placed on
the counselors. In order to better meet them, the counseling
relationships are continuously reviewed within the framework
of psychoanalytically oriented case supervision. Counseling is
also flanked by on-site supervision at the training institute
with a psychoanalyst and all staffmembers who have contact
with the client to promote multi-professional networking. In
addition, counselors complete in-service therapeutic training at
therapeutic institutes. On-site, long-term strategies for the care of
adolescents are developed together with the specialized teachers
and pedagogical staff. For a better understanding of the counseling
process, the article shows two case vignettes that underline the
individuality of the biographies of participants in vocational
training measures. In the spirit of focal therapy (cf. Balint et al., 2013), the
counseling center uses a psychoanalytic approach to help a
highly stressed clientele cope emotionally and cognitively with
acute personal crises and inner conflicts. In order to promote
vocational and personal development, the conflicts brought by
the clients are placed at the center of attention (Schnoor, 2011). 2.1 Setting The extent to which the individual’s biography and the associated
problems of identity development lead to any difficulties in
professional qualification is also continuously explored together. In
this way, the holistic development of the client’s identity becomes
the focus of psychoanalytic and social therapeutic counseling
practice. Obstacles to vocational qualification are understood as
expressions of a conflict dynamic. This dynamic often remains
unconscious, but is latently effective and places special demands
on educational work in vocational training institutions (Förster-
Chanda et al., 2013; Förster-Chanda, 2020; Möhring et al., 2021). More detailled information on the focus and process of the
counseling can be found in Figure 1. Internal conflicts are
addressed using the basic techniques of psychoanalytic therapy,
such as understanding transference and countertransference. This
makes it possible to uncover conflictual relationship experiences
and create complementary ones. 2.2 Process The counseling process is divided into different phases
(Figure 1). First, participants in the vocational qualification
measure are invited to an initial interview. There, all of them get
to know the counseling offer. During this interview, an initial
assessment of their psychosocial situation is made. Following the
interview, they are asked to participate in an empirical study to
assess their health-related quality of life (the results are presented in
Schäfer et al., 2020). Following this, they receive an offer for further
counseling sessions. If desired, further counseling appointments
are arranged, which vary in number and intensity depending
on the circumstances of the individual case. These counseling
sessions focus on supporting individual clarification processes,
clarifying needs, and readiness for further counseling or therapy in
a clinical context. If necessary, the clients are further referred to
individually tailored therapeutic services. If indicated, there is also
the possibility of a quick consultation in the department for child
and family psychosomatics as a cooperating center. If the clearing
reveals the motivation to seek further therapeutic help, clients may
stay in counseling until the start of outpatient or inpatient therapy. In the course of crisis management during counseling, the
counselors do not limit themselves to the short-term expansion
of individual competencies in order to promote professional
development and ensure the success of the qualification measure. They also aim to increase the client’s capacity for self-reflection in
the long term. The counseling process emphasizes that the causes
of one’s own difficulties are not to be found in one’s own personal
dynamics, but that general social factors play an equally important
role. The social embedding of clients in family, peer and educational
structures is of particular importance in the search for causes
of individual conflict situations. Thus, psychoanalytically oriented
counseling as a low-frequency crisis intervention is linked to
social therapeutic forms of intervention that take into account the
social embedding of personal relation problems in macrosocietal
conditions (Richter, 1978). Psychosocial counseling can help
shape the framework of educational institutions if the connection
between individual conflicts and macrosocietal conditions is taken
into account. Frontiers in Psychology frontiersin.org 2.3 Clients Due to the conceptual approach of this article, the participants
are described with regard to their need of psychosocial support. A basic systematic assessment of their life situation and mental
health using quantitative data can be found in Schäfer et al. (2020,
2022). However, there is no sufficient quantitative data to enable a
detailed and differentiated description of these aspects. Therefore,
information is used that comes from the long term experience of
the counselors in the vocational training institute. Subjects of this study are young people in the phase of
emerging adulthood, who are in a vocational qualification measure
at the “Jugendwerkstatt Giessen” (vocational training institute). The day-to-day vocational orientation in the workshops and
the qualification of young people in the life phase of emerging
adulthood in the training rooms is aimed at those who find One challenge of the setting is keeping regular appointments
with the counselor. This affects the relationship between client and
counselor in terms of commitment and a stable framework for
counseling sessions. In addition, it is necessary that counselors are
clear about what personal issues can be addressed in counseling. 03 Möhring et al. 2.3 Clients 10.3389/fpsyg.2023.1112919 participation month
1
2
3
4
5
6
7
8
9
10
11
12
- clarification of the counseling setting (confidentiality, frequency of counseling sessions,
voluntariness, need of orientation)
- collection of information about current life situation and biography
- monitoring compliance in counseling (motivation for counseling and change,
absences in vocational qualification measure)
- relationship building (complementary and trusting counseling relationship,
experience of containment, availability and reliability)
- stabilisation (reassurance through a sense of emotional support and safety in
counseling)
- identification of the problem focus (main conflicts in the workspace and their link
to internalised relationship experiences, link to psychological and psychosomatic
symptoms, reflection of the client's complex situation in case supervision among
the counselors)
- addressing the problem focus (reflection of the relationship
dynamics and their impact on the current difficulties through
mirroring and clarification; creating awareness among trainers and
educators for the client’s main conflicts in supervision; if necessary
referral to outpatient or inpatient psychotherapy considering the
limits of counseling)
- addressing further problems to promote identity development and
health (if necessary referral to social or medical support services)
- preparing the transition to more
advanced settings of education
and therapy (if necessary help
with the self-assessment of
work ability or referral to
psychotherapy)
initial interview
FIGURE 1
Process of counseling. The figure shows the schematic process of counseling during participation in the vocational qualification measure over one
year. Starting with the initial interview, various phases of the process are described. Ideally, all elements of the counseling process are pursued, but
this is not always possible. - clarification of the counseling setting (confidentiality, frequency of counseling sessions,
voluntariness, need of orientation) - clarification of the counseling setting (confidentiality, frequency of counseling sessions,
voluntariness, need of orientation) - collection of information about current life situation and biography - monitoring compliance in counseling (motivation for counseling and change,
absences in vocational qualification measure) - relationship building (complementary and trusting counseling relationship,
experience of containment, availability and reliability) - stabilisation (reassurance through a sense of emotional support and safety in
counseling) - addressing further problems to promote identity development and
health (if necessary referral to social or medical support services) Process of counseling. The figure shows the schematic process of counseling during participation in the vocational qualification measure over one
year. Starting with the initial interview, various phases of the process are described. Frontiers in Psychology frontiersin.org 3.1 Case vignette–Tom lasting several years). The transition from school to work is often
a draining challenge, especially for young people with such a
biography. As a rule, their educational careers to date have been
significantly skewed. A multiple burden of sometimes existential
problems is even a condition for participation in the measure. The counselors encounter a wide variety of problems with their
clients: neglect, poverty, addiction, school failure, unsecured and/or
obstructive housing, early parenthood, psychological and physical
suffering, debt and crime. Tom (18) shows a self-confident appearance and has a muscular
body. He is humorous and friendly. From the very first encounter
it is clear that he is highly sensitive to what he perceives to be
unfair. The initial interview is a mere exchange of information. Tom had been assigned to the metal workshop. There he has made
good contact with other participants and was enthusiastic about
the metal work. A social pedagogue reported to the counselor that
conflicts had arisen between him and his instructors. Tom had
become very angry when he was prevented from charging his cell
phone while an instructor did so as a matter of course. Then he
also had difficulty with instructions that he felt were contradictory
depending on which instructor gave them to him. The social
pedagogue who initiated our first appointment suspected that he
was transferring his relationship with his father to the instructor. From 2013 to 2021 a total of 535 participants underwent
the vocational qualification measure. Demographic information is
shown in Table 1. With regard to participation in initial interviews
and counseling, details can only be provided for individual years. This is due to the fact that vocational qualification measures took
place over the years and could be started at any time during the
year. For example, the initial interview of participants who started
the vocational qualification measure at the end of the year might
not have taken place until the following year. Furthermore, some
participants dropped out of and returned to the vocational training
measure, so that initial interviews and counseling could only be
offered after a delay. Tom is the third of seven children. His parents have lived apart
since childhood and he was growing up in juvenile facilities and
alternating with his father, who is an alcoholic and often violent. His
younger siblings live with his father. 3.1 Case vignette–Tom There, he takes over the father’s
child-rearing responsibilities such as homework supervision, meal
preparation, and grocery shopping. Despite several changes of
residence, he manages to graduate from secondary school and
subsequently he takes part in the vocational qualification program. He likes to come to the workshop frequently and also would like to
stay longer to escape the stressful situation and the threat from his
father at home. He does not want to turn to youth welfare because
he fears that his siblings would have a similarly hard time in the
youth welfare facilities. In the course of counseling, it turns out
that Tom generally has a hard time tolerating inconsistent or even
unfair behavior from adults. After about 3 months in the vocational
qualification program, he becomes an apprentice. There he works
side by side with his ex-partner. The mixture of mutual private
resentment and the desire for support in achieving the training
goals overwhelms Tom. With the help of counseling, Tom manages
to set boundaries for his father in an argument. From this point
on, his father stops physically abusing him. He has moved into a
shared apartment and starts training to become a nursing assistant. Understanding Tom’s inner conflict, as evidenced by his conflicts
with instructors, and reflecting on difficult decisions in counseling
enables Tom’s transition from school to work. Figure 2 shows the percentage of participants in the vocational
qualification measure, who appeared for an initial interview,
respectively, counseling. Over the years, between 39 and 97%
(M = 69.2%; SD = 14.6%) of the participants in the vocational
qualification measure took part in the initial interview. It appears
that not all of the participants could be reached for an initial
interview. Reasons for this were, for example, a start of the
vocational qualification measure at the end of a year, early dropout
and limited compliance. For a closer look at the participation in the initial interview and
counseling, 2019 serves as an example (Table 2). Figure 3 shows the
gender distribution of participants in 2019. Due to a lack of data,
the gender distributions can only be described and not statistically
compared. However, it can be noted that the higher proportion of
men in the vocational qualification measure remains even when
participating in the initial interview. 3.1 Case vignette–Tom With regard to the existing
gender gap in the utilization of psychosocial support services
(Rommel et al., 2017), this result shows the importance of the
institutional context for the utilization of psychosocial assistance. 2.3 Clients Ideally, all elements of the counseling process are pursued, but
this is not always possible. offers. They frequently have psychiatric diagnoses from childhood
and adolescence that make them feel stigmatized. As a rule,
individual problems extend far beyond the problem of lack of
qualification. Participants of the vocational qualification measure
attribute their current problems to a particular disadvantage they
have suffered since childhood in their social environment, but
above all in their family of origin. These problems are often
based on negative attachment experiences, which make it difficult
for young people to enter into lasting social relationships in
the private and vocational spheres (such as training contracts themselves without a training contract at the beginning of a
new apprenticeship year or without a qualification at the end of
compulsory schooling. The working environment in the majority
of workshops is characterized by a high proportion of men. Participants are typically hard to reach for institutions like schools
and workplaces. Their current life situations and biographies are
most often filled with tensions. Frequently occurring psychosocial
conflicts and impaired physical and mental health lead together to
an impairment of the ability to work. Due to negative experiences
in the past, the affected persons are often suspicious of therapeutic 04 frontiersin.org frontiersin.org Möhring et al. 10.3389/fpsyg.2023.1112919 10.3389/fpsyg.2023.1112919 frontiersin.org 3.2 Case vignette–Carla The total number of registered participants in the vocational qualification measure for each year is shown as a line. The
percentage of these participants who appeared for an initial interview is represented by the bars and numbers. The striped areas represent the
percentage of participants who took advantage of psychosocial counseling following the initial interview. Participants who took part in the measure
in more than one year are counted repeatedly. Vocational qualification measure
Initial interview
Counseling
Referral
Number of participants
N = 88
n = 60
n = 25
n = 6
Percentage of all participants (%)
68
28
7
The table shows the number of participants in the vocational qualification measure in 2019 who could be reached by the counseling offer (initial interview, counseling, referral). n = 88 n = 60
72%
28%
vocational qualification measure
68%
32%
initial interview
male
female
FIGURE 3
Gender distribution of participants in 2019. The figure illustrates the gender distribution of participants in 2019. In a total of 88 participants in the
vocational qualification measure, 63 were male and 25 female (left side). Of the 60 participants who took part in the initial interview, 41 were men
and 19 women (right side). Vocational qualification measure
Initial interview
Counseling
Referral
Number of participants
N = 88
n = 60
n = 25
n = 6
Percentage of all participants (%)
68
28
7
The table shows the number of participants in the vocational qualification measure in 2019 who could be reached by the counseling offer (initial interview, counseling, referral). n = 88
72%
28%
vocational qualification measure n = 60
68%
32%
initial interview
male
female n = 60 FIGURE 3
Gender distribution of participants in 2019. The figure illustrates the gender distribution of participants in 2019. In a total of 88 participants in the
vocational qualification measure, 63 were male and 25 female (left side). Of the 60 participants who took part in the initial interview, 41 were men
and 19 women (right side). her children again. Due to her drug use, she was no longer able
to adequately care for the children and the Youth Welfare Office
became aware of her. Seeing the children again is her constant
motivation to change. Frontiers in Psychology 3.2 Case vignette–Carla The
relationship
between
counseling
and
personal
development in the school-to-work transition is illustrated by
two case-vignettes. Carla (20) wears work clothes, has several piercings and makes
an overall well-groomed impression. She is friendly and somewhat
reserved. She has a likeable charisma. She initially attends the
vocational qualification measure on the basis of the integration
agreement with the job center without any real goal. After some
time, she takes a liking to the work in the wood workshop and
appears more regularly. She also accepts the offer of psychosocial
counseling because of the good contact with the counselor. At
the beginning, the focus is on her cannabis use. She has high
absenteeism and cannot take advantage of the services offered
at the vocational training. Her two daughters have been in the
care of various foster families for almost three years. She is a
frequent visitor there and hopes to one day be able to live with TABLE 1 Demographics of participants. Age [years]
Gender [n (%)]
N
Range
M
SD
Male
Female
535
15–31
20.0
2.7
385 (72%)
150 (28%)
The total number of participants in the vocational qualification measure from 2013 to 2021,
their age and gender are displayed. TABLE 1 Demographics of participants. The total number of participants in the vocational qualification measure from 2013 to 2021,
their age and gender are displayed. Frontiers in Psychology 05 frontiersin.org Möhring et al. 10.3389/fpsyg.2023.1112919 FIGURE 2
Participation 2013 to 2021. The total number of registered participants in the vocational qualification measure for each year is shown as a line. The
percentage of these participants who appeared for an initial interview is represented by the bars and numbers. The striped areas represent the
percentage of participants who took advantage of psychosocial counseling following the initial interview. Participants who took part in the measure
in more than one year are counted repeatedly. FIGURE 2
Participation 2013 to 2021. The total number of registered participants in the vocational qualification measure for each year is shown as a line. The
percentage of these participants who appeared for an initial interview is represented by the bars and numbers. The striped areas represent the
percentage of participants who took advantage of psychosocial counseling following the initial interview. Participants who took part in the measure
in more than one year are counted repeatedly. FIGURE 2
Participation 2013 to 2021. frontiersin.org 3.2 Case vignette–Carla However, she has been addicted to drugs
for more than ten years and managed to withdraw from harder
drugs by attending an addiction clinic shortly before she started
working at the vocational training institute. As an adolescent, she
was placed in several inpatient psychiatric facilities and survived serious suicidal attempts. She is severely traumatized due to early
childhood at the hands of her abusive father. Today, she suffers
from being the only one of four children not to have a career and
being ridiculed by her siblings for her mental illness, when they
would lovingly care for her depressed mother. She uses the counseling situation primarily as a venue for
trusting conversations that eventually give her enough confidence
to stop her cannabis use. Feelings that had not found a place 06 frontiersin.org Möhring et al. 10.3389/fpsyg.2023.1112919 inside her for years come to the surface. With the help of the
counseling sessions, she learns to deal with them and gradually
gains more confidence in herself. After almost a year in the
vocational qualification program, she finally signs a three-year
training contract in a specialist trade. She sees her children regularly
at meetings accompanied by the youth welfare office. is important for participants to achieve the skills they need to
begin with an apprenticeship. If this aim remains out of reach it is
required to counteract the ongoing chronification of their personal
problems and inner conflicts. The encounter presented here blurs
the lines between psychosocial counseling and political programs
of social integration into the labor market. This specificity of the
counseling setting is discussed below. The counseling offer has reached about a quarter of the
participants in vocational qualification measures over the years. An
improvement in opportunities in the school-to-work transition can
be demonstrated in many counseling processes. The opportunity
for self-reflection, the increase of self-confidence and stability
through regular contact with a trusted person, are to be mentioned
as direct personal gains through participation in the service. The
professional background of the counselors usually counteracts
the further consolidation of chronic psychological stress. This is
because psychosocial counseling represents a therapeutic approach
to mental health problems that have already persisted for a
long time in a low-threshold, non-clinical setting. Contact with
therapeutic settings is sometimes difficult for clients due to bad
experiences in the past. Two thirds of the participants were
reached by the initial interview. 3.3 Reflection of the case vignettes While
this prevents stigmatizing, it also leaves out opportunities of
services that are based on clinical diagnosis. Less than a tenth
of the participants could be placed in outpatient or inpatient
therapy during counseling. In this case, not only the higher
threshold of psychotherapy plays an important role, but also
the good relationship with the counselor that develops in the
course of counseling. They might understand psychotherapy
as a continuation of counseling, which, however, offers more
possibilities in dealing with emotional conflicts. • Treatment of mental health problems: Without referral to a
clinical setting, clients do not receive clinical diagnosis. While
this prevents stigmatizing, it also leaves out opportunities of
services that are based on clinical diagnosis. Less than a tenth
of the participants could be placed in outpatient or inpatient
therapy during counseling. In this case, not only the higher
threshold of psychotherapy plays an important role, but also
the good relationship with the counselor that develops in the
course of counseling. They might understand psychotherapy
as a continuation of counseling, which, however, offers more
possibilities in dealing with emotional conflicts. • Compromising: Problems at the workshop are addressed in
the counseling. Working through these conflicts becomes
more difficult because of the proximity and cooperation
between the counseling center and the vocational training
institute. On the one hand, this has a positive effect on
the cooperation between the social pedagogues and the
counselors. On the other hand, this may also lead to role
diffusion. A lack of protection of the counseling setting • Compromising: Problems at the workshop are addressed in
the counseling. Working through these conflicts becomes
more difficult because of the proximity and cooperation
between the counseling center and the vocational training
institute. On the one hand, this has a positive effect on
the cooperation between the social pedagogues and the
counselors. On the other hand, this may also lead to role
diffusion. A lack of protection of the counseling setting Frontiers in Psychology 3.2 Case vignette–Carla The low-threshold offer of
psychosocial counseling might be especially important for men,
as clinical services in Germany are more often used by women
(Rommel et al., 2017). In 2019 65% of the male participants
in the vocational qualification measure took part in an initial
interview compared to 75% of the female participants. A strength
of the project is the opportunity to reach these men from the
unprivileged working class milieu. In counseling, destabilization
through confrontation with inner conflicts is encountered by the
possibility of using a longer period of time (12 months) compared
to common counseling services. This time period also allows a
deeper understanding of the impact of the mental health problems
on transition from school to work in each individual case. On-
site multiprofessional cooperation increases the awareness of the
issue of mental stress among social pedagogues and instructors. Nevertheless, there are difficulties and limits of the counseling
service: frontiersin.org 3.3 Reflection of the case vignettes Vaillant’s (2012) theory on the connection between the
prevalence of immature defenses and vocational failure or low
social class in adulthood can be illustrated in the presented
case vignettes Tom and Carla. Tom uses immature defense
mechanisms such as splitting into good and bad, projecting
unconscious experiences into current relationship partners, and
denying incompatible current perceptions. He seems to maintain
a splitted image of his parents as good mother and bad father, to
project his threatening and neglecting father image onto instructors
and supervisors, and to deny his disfunctional living situation
by reporting it in a humorous way. These mechanisms result
in a neurotically entangled life situation with the father and
siblings, to major problems at school and later to a complicated
and difficult path to pursue a professional career. Due to her
negative relationship experiences in form of abuse, rejection and
devaluation, Carla shows immature defense mechanisms in form of
acting out, projection and devaluation of self-image. For example,
she uses drugs to suppress overwhelming negative and offending
feelings, lacks trust in others and herself, and appears to have
introjected the negative image her family ascribes to her. Due to
her immature defenses, she falls into a psychologically unstable
state, has suicide attempts, loses custody of her children, and
has no high school diploma or career path before entering the
vocational training institute where she works out her personal path
to apprenticeship. The path into the phase of growing up according to Erikson
and those who continue to research in his sense certainly describes
much of the situation of the two participants. Their attempt to find
a stable orientation in their professional lives does not stand on its
own, but is connected with the readjustment of their relationship
to their families and places of growing up, with the search
for a lasting partnership and the completion of puberty, which
lead to an increased self-confidence. Nevertheless, unresolved
personal trauma in earlier stages of identity development continue
to influence the current situation of both clients and mark
limits to their personal development. However, this limitation of
development is two-sided. The scope for young adults’ personal
development depends both on the opportunities afforded them by
adult workers and on the institutional environment to which they
belong (King, 2022). • Treatment of mental health problems: Without referral to a
clinical setting, clients do not receive clinical diagnosis. 4 Discussion: reached by the
counseling The title of this section points at the proximity of the described
concept of psychosocial counseling for participants in a vocational
qualification measure in the life phase of emerging adulthood. It 07 Möhring et al. 10.3389/fpsyg.2023.1112919 10.3389/fpsyg.2023.1112919 5 Conclusion All
authors
listed
have
made
a
substantial,
direct,
and intellectual contribution to the work and approved it
for publication. In the psychosocial counseling at a vocational training institute,
individuals with severe mental health problems who are resistant
to psychotherapy in a clinical setting, are given an impression
of the benefits of psychotherapeutic intervention. The acceptance
of the counseling offer as well as the obstacles in referral to
psychotherapeutic services show that participants in vocational
qualification measures need a low-threshold intervention offer. In a multiprofessional network, insights into the complex nature
and dynamics of psychological processes are gained on site,
leading to an improvement in the life situation of socially
disadvantaged emerging adults. Far more research is needed to
understand what offers can reach this lower social class group for
psychotherapeutic help. 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. 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. Data availability statement The original contributions presented in this study are included
in this article/supplementary material, further inquiries can be
directed to the corresponding author. Ethics statement occurrs repeatedly because of the proximity. Counselors may
be personally involved with instructors and social pedagogues
through the shared work context. Also, several clients in
one workshop often have the same counselor. It is possible
that these circumstances limit clients’ perceived freedom to
talk about problems with instructors or participants during
counseling, despite the promise of confidentiality. However,
due to comparable settings, these difficulties also occur in
clinical day-care or inpatient settings. occurrs repeatedly because of the proximity. Counselors may
be personally involved with instructors and social pedagogues
through the shared work context. Also, several clients in
one workshop often have the same counselor. It is possible
that these circumstances limit clients’ perceived freedom to
talk about problems with instructors or participants during
counseling, despite the promise of confidentiality. However,
due to comparable settings, these difficulties also occur in
clinical day-care or inpatient settings. The studies involving humans were approved by the Ethics
Committee at the Department of Medicine at the Justus Liebig
University of Giessen. The studies were conducted in accordance
with the local legislation and institutional requirements. Written
informed consent for participation in this study was provided
by
the
participants’
legal
guardians/next
of
kin. Written
informed consent was obtained from the individual(s) for the
publication of any potentially identifiable images or data included
in this article. • Conflicting goals: The counseling sometimes leads to a shift in
focus from educational work to psychosocial problems among
the clients themselves, but also in the institution. • Conflicting goals: The counseling sometimes leads to a shift in
focus from educational work to psychosocial problems among
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90055-9 References “Innere
Konflikte und Biografien von Teilnehmern einer Jugendwerkstatt [Inner conflicts
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9780199931460.001.0001 Vaillant, G. E. (1992). Ego mechanisms of defense: a guide for clinicans and
researchers. Washington, DC: American Psychiatric Pub. Skodol, A. E., and Perry, J. C. (1993). Should an axis for defense mechanisms be
included in DSM-IV? Compreh. Psychiatry 34, 108–119. doi: 10.1016/0010-440X(93)
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PENGARUH INTERNET FINANCIAL REPORTING (IFR) DAN TINGKAT PENGUNGKAPAN INFORMASI WEBSITE TERHADAP FREKUENSI PERDAGANGAN SAHAM PADA PERUSAHAAN PERTAMBANGAN YANG TERDAFTAR DI BEI
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Jurnal Ilmiah Manajemen dan Bisnis
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cc-by
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Abstrak Pertambangan adalah sebagian atau seluruh kegiatan dalam rangka penelitian, pengelolaan dan pengusahaan
mineral atau batubara yang meliputi penyelidikan umum, eksplorasi, studi kelayakan, konstruksi, penambangan,
pengolahan dan pemurnian, pengangkutan dan penjualan, serta kegiatan pascatambang. Tujuan penelitian ini
adalah untuk mengetahui pengaruh Internet Financial Reporting dan Tingkat Pengungkapan Informasi Website
terhadap Frekuensi Perdagangan Saham Perusahaan Pertambangan. Jenis penelitian ini adalah asosiatif kausal yaitu
penelitian yang bertujuan untuk menganalisis hubungan antar satu variabel dengan variabel lainnya. Penelitian ini
menggunakan pendekatan kuantitatif. Populasi dalam penelitian ini adalah seluruh perusahaan pertambangan yang
terdaftar di BEI. Sampel yang digunakan sebanyak 41 perusahaan yang terdaftar di BEI tahun 2016-2018 yang
diambil dengan menggunakan beberapa kriteria. Metode analisis data dilakukan dengan regresi linear berganda. Hasil penelitian menunjukkan bahwa Internet Financial Reporting dan Tingkat Pengungkapan Informasi Website
berpengaruh secara signifikan terhadap frekuensi perdagangan saham.. p
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ta Kunci: Internet Financial Reporting, Tingkat Pengungkapan Informasi Website, Frekuensi Perdagangan Saha Kata Kunci: Internet Financial Reporting, Tingkat Pengungkapan Informasi Website, Frekuensi Perdagangan Saham Ika Misdayanti Sinaga, Adelina Lubis, Ahmad Prayud
Program Studi Manajemen, Fakultas Ekonomi Dan Bisnis, Universitas Medan Area, Indonesia Ika Misdayanti Sinaga, Adelina Lubis, Ahmad Prayud
Program Studi Manajemen, Fakultas Ekonomi Dan Bisnis, Universitas Medan Area, Indonesia Jurnal Ilmiah Manajemen dan Bisnis (JIMBI), 1(1) 2020: 106-111,
DOI: Jurnal Ilmiah Manajemen dan Bisnis (JIMBI), 1(1) 2020: 106-111,
DOI: Jurnal Ilmiah Manajemen dan Bisnis (JIMBI)
Available online http://jurnalmahasiswa.uma.ac.id/index.php/jimbi
Diterima: 11 Januari 2020; Disetujui: 11 Februari 2020; Dipublish: 11 Maret 2020 The Effect Of Internet Financial Reporting (IFR) And The Level
Of Disclosure Of Website Information On Share Trading
Frequency In Mining Companies Listed On The IDX. Ika Misdayanti Sinaga, Adelina Lubis, Ahmad Prayud
Program Studi Manajemen, Fakultas Ekonomi Dan Bisnis, Universitas Medan Area, Indon Abstract Mining is part or all of the activities in the research, management and exploitation of minerals or mining that discusses
the investigation, exploration, feasibility study, construction, mining, processing and refining, transportation and sales,
as well as post-mining activities. The purpose of this study was to study the effect of Internet Financial Statements and
Website Information Disclosure Levels on the Frequency of Mining Company Stock Trading. This type of research is
causal associative research that is aimed at analyzing the relationship between one variable with another variable. This research uses quantitative. The population in this study are all companies listed on the IDX. The samples used were
41 companies listed on the Stock Exchange in 2016-2018 taken using several criteria. The method of data analysis is
done by multiple linear regression. The results showed that Internet Financial Reporting and Website Information
Disclosure Rate were considered significant to the frequency of stock trading. g f
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Keywords: Internet Financial Reporting, Website Information Disclosure Rate, Stock Trading Frequency. How to Cite: Sinaga, I.M. Lubis, Adelina. Prayudi, Ahmad (2020). Pengaruh Internet Financial Reporting
(IFR) Dan Tingkat Pengungkapan Informasi Website Terhadap Frekuensi Perdagangan Saham
Perusahaan Pertambangan Yang Terdaftar Di BEI. Jurnal Ilmiah Manajemen dan Bisnis (JIMBI), 1(1)
2020: 106-111 1
This work is licensed under a Creative Commons Attribution 4.0
*E-mail: ika29misdayantisinaga@gmail.com
ISSN (Online) (Online) *E-mail: ika29misdayantisinaga@gmail.com ISSN Ika Misdayanti Sinaga, Adelina Lubis, Ahmad Prayudi, Pengaruh Internet Financial Reporting (IFR Ika Misdayanti Sinaga, Adelina Lubis, Ahmad Prayudi, Pengaruh Internet Financial Reporting (IFR) Ika Misdayanti Sinaga, Adelina Lubis, Ahmad Prayudi, Pengaruh Internet Financial Reporting (IFR) PENDAHULUAN Di era globalisasi sekarang ini, teknologi semakin maju dan berkembang pesat
terutama dalam bidang komunikasi dan internet.Perubahan yang ditimbulkan dari adanya
perkembangan teknologi membawa dampak terhadap masyarakat dan juga bisnis suatu
perusahaan (Mahzura, 2018). Perusahaan yang dapat bersaing dalam kompetisi bisnis
adalah
perusahaan
yang
mampu
mengimplementasikan
teknologi
kedalam
perusahaannya (Sari, 2020). Dengan menggunakan Internet perusahaan dapat
menyajikan informasi keuangan dengan kuantitas yang lebih tinggi, biaya lebih murah dan
bisa menjangkau para pemakai secara luas (Hasibuan & Syahrial, 2019). Internet juga
dapat digunakan sebagai sarana mengakomodasi perubahan yang dibutuhkan dalam
pelaporan perusahaan (Nasution, 2016).dengan adanya internet dapat memudahkan
untuk meningkatkan frekuensi pelaporan informasi keuangan kepada publik mengingat
kebutuhan akan penyediaan informasi dengan cepat (Rahmadhani, 2019). Kebutuhan informasi oleh pengguna (stakeholder) sangat bermacam-macam,
sehingga perubahan pendekatan bisnis dengan penenekanan lebih terhadap kebutuhan
stakeholder sangat penting (Sari, 2018). Dimana stakeholder membutuhkan sistem
pelaporan yang sangat fleksibel yang dapat memungkinkan mereka memperoleh
informasi dengan lebih mudah (Dalimunthe, 2018). Dengan menggunakan internet
perusahaan dapat memberikan pelaporan yang fleksibel, relevan dan tepat waktu yang
spesifik untuk stakeholder . Dalam beberapa tahun terakhir ini. Internet Financial Reporting (IFR) berkembang sebagai
media yang paling cepat untuk menginformasikan hal-hal yang bererkaitan dengan
perusahaan. Dimana informasi keuangan yang disajikan dalam IFR telah mencakup
laporan keuangan yang komprehensif, termasuk di dalamnya footnotes, bagian laporan
keuangan, financial highlights dan ringkasan laporan keuangan.Pemberian sinyal yang
dilakukan oleh manajer perusahaan melalui Internet Financial Reporting (IFR) dengan
media website akan membuat kepercayaan para investor meningkat untuk dapat
menanamkan modalnya di perusahaan tersebut (Rizki, 2020). Ketika kepercayaan
investor meningkat maka dengan ini akan menyebabkan permintaan atas saham juga
semakin tinggi. Hal ini sinkron dengan teori pasar sekuritas yang diperdagangkan yaitu
merupakan cerminan dari semua informasi yang tersedia di pasar. Beberapa perusahaan
yang profitable akan mengambil keuntungan dari praktek IFR untuk mencapai
transparansi informasi dan untuk mempercepat pengungkapan kabar baik (good news)
melalui IFR yang dapat mempengaruhi investor secara positif dalam keputusan investasi. y
g
p
p
g
p
p
Peraturan tentang pelaporan keuangan melalui internet di indonesia telah diatur
dalam Keputusan Ketua Badan Pengawas Pasar Modal dan Lembaga Keuangan
(BAPEPAM-LK) Nomor Kep-431/BL/2012 PASAL 3. Dimana dalam peraturan tersebut
telah di informasikan bahwa emiten atau perusahaan publik yang memiliki laman
(website) sebelum berlakunya peraturan ini diwajibkan memuat laporan tahunan pada
laman (website) tersebut. PENDAHULUAN Bagi emiten atau perusahaan publik yang belum memiliki laman
(website), maka dalam jangka waktu 1 (satu) tahun sejak berlakunya peraturan tersebut,
emiten atau perusahaan publik yang dimaksud wajib memiliki laman (website) yang
memuat laporan tahunan. (Putu Diah dan I Gusti Ayu, 2017). Internet Financial Reporting dan pengungkapan informasi website sebenarnya tidak
menjadi suatu kewajiban bagi perusahaan. Hal ini dilakukan secara sukarela oleh
perusahaan dengan tujuan agar perkembangan bisnis perusahaan mereka dapat diakses
oleh siapapun yang membutuhkan informasi yang diinginkan oleh para pengguna yang
tentunya berkaitan dengan perusahaan tersebut. Menurut Lai (dalam Hargyantoro,2010)
mengatakan bahwa pertengahan tahun 2000, United State Securities and Exchange Peraturan tentang pelaporan keuangan melalui internet di indonesia telah diatur
dalam Keputusan Ketua Badan Pengawas Pasar Modal dan Lembaga Keuangan
(BAPEPAM-LK) Nomor Kep-431/BL/2012 PASAL 3. Dimana dalam peraturan tersebut
telah di informasikan bahwa emiten atau perusahaan publik yang memiliki laman
(website) sebelum berlakunya peraturan ini diwajibkan memuat laporan tahunan pada
laman (website) tersebut. Bagi emiten atau perusahaan publik yang belum memiliki laman
(website), maka dalam jangka waktu 1 (satu) tahun sejak berlakunya peraturan tersebut,
emiten atau perusahaan publik yang dimaksud wajib memiliki laman (website) yang
memuat laporan tahunan. (Putu Diah dan I Gusti Ayu, 2017). Internet Financial Reporting dan pengungkapan informasi website sebenarnya tidak
menjadi suatu kewajiban bagi perusahaan. Hal ini dilakukan secara sukarela oleh
perusahaan dengan tujuan agar perkembangan bisnis perusahaan mereka dapat diakses
oleh siapapun yang membutuhkan informasi yang diinginkan oleh para pengguna yang
tentunya berkaitan dengan perusahaan tersebut. Menurut Lai (dalam Hargyantoro,2010)
mengatakan bahwa pertengahan tahun 2000, United State Securities and Exchange 2 Jurnal Ilmiah Manajemen dan Bisnis (JIMBI), 1(1) 2020: 106-111,, Commision (SEC US) membuat pernyataan bahwa semua perusahaan publik
direkomendasikan untuk membuat dan memberikan semua informasi legal yang
dimandatkan tentang kinerja perusahaan untuk diberikan kepada semua pihak yang
berkepentingan di waktu yang sama. Melalui keputusan tersebut diharapkan setiap
perusahaan-perusahaan agar segera dapat mengumumkan kepada masyarakat mengenai
informasi perusahaan. Mengungkapkan informasi keuangan dan non-keuangan secara
sukarela di internet dapat menciptakan transparansi informasi yang tinggi. Hal ini dapat
membuat investor dapat lebih cepat bereaksi atau melakukan tindakan terhadap saham
perusahaan yang membuat harga saham lebih cepat bergerak secara otomatis
mempertinggi frekuensi perdagangan saham. Pemanfaatan website perusahaan sebagai sarana pelaporan informasi pada dasarnya
memiliki manfaat yang baik bagi perusahaan. Perusahaan mencoba untuk menumbuhkan
kepercayaan bagi stakeholder dengan memberikan informasi yang dapat dipercaya
langsung melalui website perusahaan. PENDAHULUAN Tingkat informasi yang dicantumkan dalam website
perusahaan diharapkan dapat menarik minat investor lain agar ikut berinvestasi di
perusahaan mereka. Namun pemanfaatan dari penggunaan website ini tidak langsung
mendorong perusahaan untuk meningkatkan pengungkapan informasi website. Hal ini
dibuktikan dari hasil penelitian dari Stein et al., (2013) yang menunjukkan masih banyak
perusahaan yang tidak memanfaatkan website perusahaan dalam melakukan
pengungkapan laporan keuangan maupun non-keuangan. Tingkat pengungkapan website
perusahaan dirasa masih kurang memadai, padahal menurut hasil penelitian Arin et al
(2014) tingkat pengungkapan informasi website merupakan salah satu faktor yang
mempengaruhi frekuensi perdagangan saham. Frekuensi perdagangan saham Frekuensi perdagangan saham merupakan jumlah transaksi perdagangan, baik jual
atau beli, suatu saham perusahaan pertambangan. Data frekuensi perdagangan saham
diambil melalui Indonesia Stock Exchange (IDX) Fact. Tingkat Pengungkapan Informasi Website Tingkat Pengungkapan Informasi Website merupakan Bentuk penyampaian
informasi untuk dapat mengurangi asimetri informasi dimana di dalam website tersebut
terdiri dari profil dasar perusahaan, berita terbaru, item operasional, informasi keuangan,
dan informasi saham perusahaan. Dengan metode pengukuran menggunakan skala poin 4
sistem untuk memberikan informasi poin dalam setiap item Rentamg nilai 0-40. Internet Financial Reporting(IFR) Internet Financial Reporting merupakan Pencantuman informasi keuangan
perusahaan melalui internet atau website. Dengan metode pengukuran menggunakan
Variabel dummy, dimana perusahaan yang menerapkan IFR nilainya “1” sedangkan
perusahaan yang tidak menerapkan IFR nilainya “0”. METODE PENELITIAN Jenis penelitian yang digunakan adalah penelitian yang bersifat asosiatif kausal. Menurut sugiyono (2012). Penelitian asosiatif kausal adalah suatu penelitian yang bersifat
menanyakan hubungan antara dua variabel atau lebih. Untuk memperoleh data dan
informasi yang berkenaan dengan masalah yang diteliti, maka penelitian ini dilakukan
dengan mengambil sampel perusahaan Pertambangan yang terdaftar di Bursa Efek
Indonesia, dimana data tersebut dapat diakses melalui Indonesia Stock Exchange (IDX)
Fact. Populasi dalam penelitian ini adalah seluruh perusahaan pertambangan yang
terdaftar di Bursa Efek Indonesia. Sedangkan sampel yang digunakan dalam penelitian 3 ka Misdayanti Sinaga, Adelina Lubis, Ahmad Prayudi, Pengaruh Internet Financial Reporting (IFR) adalah 41 perusahaan pertambangan yang terdaftar di BEI periode 2016-2018 yang
diambil dengan menggunakan kriteria. 1. Variabel Bebas (X) 1. Variabel Bebas (X)
a. X1
: Internet Financial Reporting (IFR)
b. X2
: Tingkat Pengungkapan Informasi Website
2. Variabel Terikat (Y) :Frekuensi Perdagangan Saham. : Internet Financial Reporting (IFR) p
g (
)
: Tingkat Pengungkapan Informasi Website 2. Variabel Terikat (Y) :Frekuensi Perdagangan Saham. 2. Variabel Terikat (Y) :Frekuensi Perdagangan Saham. Teknik Analisis Data Teknik analis data yang digunakan dalam penelitian ini menggunakan model analisis
regresi berganda dengan program SPSS 23 sebagai media menganalisis data. Analisis data
untuk pengujian hipotesis ini menggunakan analisis regresi linear berganda untuk
menguji ada tidaknya pengaruh variabel independet (Internet financial reporting dan
Tingkat pengungkapan informasi website) terhadap variabel terikat (Frekuensi
perdagangan saham) yang dinyatakan dalam persamaan sebagai berikut: Keterangan : Keterangan :
Y
= Frekuensi Perdagangan Saham
A
= Nilai Konstanta
b1, 2, 3 = Nilai Koefisien Regresi
X1
= Internet Financial Reporting
X2
= Tingkat Pengungkapan Informasi Website
e
= Standard Error
Y=a +b1 X1 + b2 X2 + b3 X3 + e Pengujian Asumsi Klasik 1. Uji Normalitas j
Uji Normalitas bertujuan untuk menguji apakah model regresi variabel berdistribusi
normal. 2
Uji M l ik li
i 2. Uji Multikolinearitas j
Uji Multikolinearitas bertujuan untuk menguji apakah di dalam model regresi linear
ditemukan adanya korelasi yang tinggi diantara variabel bebas 3. Uji Heteroskedastisitas 3. Uji Heteroskedastisitas 3. Uji Heteroskedastisitas
Uji Heteroskedastisitas bertujuan untuk mengetahui kesamaan varian masing-
masing variabel independen terhadap variabel dependen Uji Heteroskedastisitas bertujuan untuk mengetahui kesamaan varian masing-
masing variabel independen terhadap variabel dependen 4. Uji Autokorelasi j
Uji Autokorelasi bertujuan untuk menguji apakah dalam model regresi ada korelasi
antara kesalahan pengganggu pada periode t dengan kesalahan pengganggu pada periode
t-1 (sebelumnya). METODE PENELITIAN Uji Autokorelasi bertujuan untuk menguji apakah dalam model regresi ada korelasi
antara kesalahan pengganggu pada periode t dengan kesalahan pengganggu pada periode
t-1 (sebelumnya). Uji t dimaksudkan untuk melihat secara parsial apakah ada pengaruh signifikan dari
variabel independen (X) terhadap variabel dependen (Y). Bentuk pengujian ini yaitu Uji t dimaksudkan untuk melihat secara parsial apakah ada pengaruh signifikan dari
variabel independen (X) terhadap variabel dependen (Y). Bentuk pengujian ini yaitu -
H0 : bi = 0 (variabel independen secara parsial tidak berpengaruh positif dan
signifikan terhadap variabel dependen) -
Ha : bi ≠ 0 (variabel independen secara parsial berpengaruh positif dan
signifikan terhadap variabel dependen). Uji F yaitu untuk mengetahui apakah variabel independen terhadap variabel
dependen secara bersama-sama (simultan). Dengan tingkat signifikan α=0,05. Kriteria
pengambilan keputusan sebagai berikut : Uji F yaitu untuk mengetahui apakah variabel independen terhadap variabel
dependen secara bersama-sama (simultan). Dengan tingkat signifikan α=0,05. Kriteria
pengambilan keputusan sebagai berikut : 1. Apabila Fhitung > Ftabel dan tingkat signifikan (α) <0,05 maka secara simultan
semua variabel independen berpengaruh signifikan terhadap variabel
dependen. 4 Jurnal Ilmiah Manajemen dan Bisnis (JIMBI), 1(1) 2020: 106-111,, 2. Apabila Fhitung < Ftabel dan tingkat signifikan (α) >0,05 maka secara simultan
semua variabel independen tidak berpengaruh signifikan terhadap variabel
dependen. p
Uji Koefisien Determinasi (R2 ) Uji Koefisien Determinasi (R )
Koefisien determinasi digunakan untuk menguji seberapa besar peranan variabel
dependen untuk menjelaskan variabelitas variabel dependen dalam model regresi. Koefisien determinasi digunakan untuk menguji seberapa besar peranan variabel
independen untuk menjelaskan variabelitas variabel dependen dalam model regresi. HASIL PENELITIAN
Uji Normalitas
Gambar 1
Uji Normalitas HASIL PENELITIAN
Uji Normalitas Gambar 1
Uji Normalitas Pada grafik di atas, dapat dilihat bahwa grafik Normal Probability Plot menunjukkan
data terdistribusi normal, hal itu terjadi karena data menyebar tepat disekitar garis
diagonal dan mengikuti arah garis diagonal. Uji Multikolinearitas Uji Multikolinearitas
Tabel 1
Uji Multikolinearitas
Coefficientsa
Model
Collinearity Statistics
Tolerance
VIF
1 (Constant)
IFR
1.000
1.000
TK.INFO
1.000
1.000 Uji Multikolinearitas
Tabel 1
Uji Multikolinearitas
Coefficientsa
Model
Collinearity Statistics
Tolerance
VIF
1 (Constant)
IFR
1.000
1.000
TK.INFO
1.000
1.000 a. Dependent Variable: LN_FREKUENSI a. Dependent Variable: LN_FREKUENSI Hasil perhitungan Tolerance menunjukkan tidak ada variabel independen yang
memiliki nilai Tolerance kurang dari 0,10 yang berartitidak ada korelasi yang tinggi antara
variabel independen Internet financial reporting dan Tingkat pengungkapan informasi
website. Uji Heteroskedastisitas j
Berdasarkan uji Heteroskedastisitas tidak terdapat pola yang jelas serta titik-titik
menyebar diatas dan diangka 0 sumbu Y maka tidak terjadi Heteroskedastisitas. Sehingga
dapat diambil kesimpulannya bahwa model regresi dinyatakan baik dan layak untuk
digunakan karena tidak terjadi heteroskedastisitas. 5 Ika Misdayanti Sinaga, Adelina Lubis, Ahmad Prayudi, Pengaruh Internet Financial Reporting (IFR) Uji Autokorelasi
Tabel 2
Uji Autokorelasi
Model Summaryb
Durbin-Watson
1.348
a. Predictors: (Constant),TK.INFO, IFR
b. Dependent Variable: LN_FREKUENSI
Berdasarkan Uji Autokorelasi menyatakan nilai Statistic Durbin-Watson yaitu 1,348
nilai Statistic Durbin-Watson tidak lebih kecil dari 1 atau tidak lebih besar dari 3, sehingga
dapat disimpulkan bahwa tidak terjadi gejala autokorelasi. Uji Autokorelasi Berdasarkan Uji Autokorelasi menyatakan nilai Statistic Durbin-Watson yaitu 1,348
nilai Statistic Durbin-Watson tidak lebih kecil dari 1 atau tidak lebih besar dari 3, sehingga
dapat disimpulkan bahwa tidak terjadi gejala autokorelasi. Berdasarkan Uji Autokorelasi menyatakan nilai Statistic Durbin-Watson yaitu 1,348
nilai Statistic Durbin-Watson tidak lebih kecil dari 1 atau tidak lebih besar dari 3, sehingga
dapat disimpulkan bahwa tidak terjadi gejala autokorelasi. Analisis Regresi Linear Berganda Analisis Regresi Linear Berganda Analisis Regresi Linear Berganda
Tabel 3
HasilRegresi Linear Berganda
Coefficientsa
Berdasarkan hasil data diatas diperoleh persamaan Regresi Linear Berganda sebagai
berikut :
Model
Unstandardized
Coefficients
Standar
dized
Coefficients
T
Sig. B
Std. Error
Beta
1
(Constant)
-
20.138
2.275
-
8.850
.000
IFR
1.843
1.102
.108
1.672
.098
TK.INFO
6.803
.593
.740
11.473
.000
a. Dependent Variable: LN_FREKUENSI Tabel 3
HasilRegresi Linear Berganda
Coefficientsa Berdasarkan hasil data diatas diperoleh persamaan Regresi Linear Berganda sebagai
berikut : FREKUENSI = -20,138 +1,843IFR + 6,803TK.INFO + e FREKUENSI = -20,138 +1,843IFR + 6,803TK.INFO + e FREKUENSI = -20,138 +1,843IFR + 6,803TK.INFO + e FREKUENSI 20,138 1,843IFR 6,803TK.INFO e
Berdasarkan persamaan tersebut dapat digambarkan sebagai berikut: Berdasarkan persamaan tersebut dapat digambarkan sebagai berikut: a. Jika variabel independen Internet financial reporting (IFR) dan tingkat
pengungkapan informasi website bernilai konstan, maka variabel dependen
Frekuensi perdagangan saham perusahaan akan bernilai sebesar- 20,138. a. Jika variabel independen Internet financial reporting (IFR) dan tingkat
pengungkapan informasi website bernilai konstan, maka variabel dependen
Frekuensi perdagangan saham perusahaan akan bernilai sebesar- 20,138. g
g
b. Analisis Koefisien Determinasi (R2 ) Pembahasan Variabel Internet financial reporting (IFR) Terhadap Frekuensi Perdagangan Saham
Berdasarkan hasil uji t diketahui bahwa Internet financial reporting tidak
berpengaruh signifikan terhadap frekuensi perdagangan saham pada perusahaan
pertambangan yang terdaftar di Bursa Efek Indonesia tahun 2016-2018 Hasil penelitian ini tidak sejalan dengan hasil penelitian Arin et al., (2014)
dan stein et al.,(2014) yang menunjukkan adanya pengaruh positif dan signifikan Internet
financial reporting terhadap frekuensi perdagangan saham. Hal bisa saja terjadi karena
hampir semua perusahaan di indonesia sudah melakukan praktik IFR dalam melakukan
pelaporan keuangan melalui website perusahaan sehingga tidak lagi menjadi faktor yang
mempengaruhi frekuensi perdagangan saham. a. Dependent Variable: LN_FREKUENSI Analisis Koefisien Determinasi (R2 ) 7 7 Ika Misdayanti Sinaga, Adelina Lubis, Ahmad Prayudi, Pengaruh Internet Financial Reporting (IFR) Tabel 7
Uji Koefisien Determinasi (R2)
Model Summaryb
Mod
el
R
R Square
Adjusted R
Square
Std. Error of
the Estimate
1
.750a
.563
.554
1.54442
a. Predictors: (Constant), TK.INFO, IFR
b. Dependent Variable: LN_FREKUENSI Tabel 7
Uji Koefisien Determinasi (R2)
M d l S
b Tabel 7 Hasil uji koefisien determinasi diperoleh R square (R2) sebesar 0,563. Artinya, variasi
perubahan frekuensi perdagangan saham dapat dijelaskan oleh variabel Internet
financialreporting (IFR) dan tingkat pengungkapan informasi website sebesar 56%,
sedangkan sisanya sebesar 44% dipengaruhi oleh faktor lain. a. Dependent Variable: LN_FREKUENSI Jika Koefisien regresi variabel independen (X1) Internet financial reporting (IFR)
bernilai positif sebesar 1,843 artinya setiap terjadi penambahan pada variabel
independen Internet financial reporting sebesar 1 satuan dengan asumsi variabel
lain dianggap konstan, maka akan meningkatkan variabel dependen frekuensi
perdagangan saham perusahaan sebesar 1,843. c. Jika koefisien regresi variabel independen (X2) Tingkat pengungkapan informasi
website bernilai positif sebesar 6,803 artinya setiap terjadi penambahan pada
variabel independen Tingkat pengungkapan informasi website sebesar 1 satuan
dengan asumsi variabel lain dianggap konstan, maka akan meningkatkan variabel
dependen Frekuensi perdagangan saham perusahaan sebesar 6,803. 6 Jurnal Ilmiah Manajemen dan Bisnis (JIMBI), 1(1) 2020: 106-111,, 1. Uji Parsial (Uji t)
Tabel 4. Hasil Uji t
Coefficientsa
Model
Unstandardized
Coefficients
Standardiz
ed Coefficients
T
Sig. B
Std. Error
Beta
1
(Constant)
-20.138
2.275
-
8.850
.000
IFR
1.843
1.102
.108
1.672
.098
TK.INFO
6.803
.593
.740
11.473
.000
a. Dependent Variable: LN_FREKUENSI Berdasarkan hasil uji diatas, maka diketahui pengaruh masing-masing variabel
sebagai berikut : Berdasarkan hasil uji diatas, maka diketahui pengaruh masing-masing variabel
sebagai berikut : g
1. Variabel Internet financialreporting (X1) frekuensi perdagangan saham (Y) f
p
g (
)
p
g
g
( )
Dari tabel Coefficients diperoleh nilai thitung 1,672 sedangkan ttabel 1,65765 dan nilai
signifikansi 0,098. Karena nilai t hitung < t tabel dan nilai sig 0,098> 0,05. Artinya internet
financial reporting tidak berpengaruh signifikan terhadap frekuensi perdagangan saham. Variabel Tingkat pengungkapan informasi website (X2) terhadap frekuensi
perdagangan saham (Y). Dari tabel Coefficients diperoleh nilai thitung 11,473 sedangkan ttabel
1,65765 dan nilai sig 0,000. Karena nilai t hitung > t tabel dan nilai signifikan 0,000 <0,05. Artinya Tingkat pengungkapan informasi website berpengaruh positif dan signifikan
terhadap frekuensi perdagangan saham. p
p
g
g
2. Uji Simultan (Uji F) p
p
g
g
2. Uji Simultan (Uji F) 2. Uji Simultan (Uji F)
Tabel 6
Hasil Uji F
ANOVAa
Model
Sum of Squares
Df
Mean Square
F
Sig. 1 Regression
322.368
2
161.184
67.576
.000b
Residual
250.448
105
2.385
Total
572.816
107
a. Dependent Variable: LN_FREKUENSI
b. Predictors: (Constant), TK.INFO, IFR Dari hasil perhitungan uji F, nilai Fhitung 67,576 dan nilai Ftabel sebesar 3,07 dan
signifikan (sig) 0,000 < 0,05. Artinya Internet financial reporting dan tingkat
pengungkapan informasi website berpengaruh secara simultan terhadap Frekuensi
perdagangan saham pada perusahaan pertambangan yang terdaftar di BEI tahun 2016-
2018. Variabel
Tingkat
Perdagangan Saham Berdasarkan hasil uji t Tingkat pengungkapan informasi website berpengaruh
positif dan signifikan terhadap frekuensi perdagangan saham. Hasil penelitian ini sejalan
dengan hasil penelitian Hargyantoro (2010) yang menunjukkan adanya pengaruh positif
dan signifikan Tingkat pengungkapan informasi website terhadap frekuensi perdagangan
saham, berpengaruhnya Tingkat pengungkapan informasi website terhadap frekuensi
perdagangan saham ini berarti semakin baik perusahaan dalam memanfaatkan website
perusahaan dalam memberikan informasi perusahaan kepada pihak eksternal, maka
frekuensi perdagangan saham perusahaan akan meningkat.Variabel Internet financial
reporting dan Tingkat pengungkapan informasi website secara simultan Terhadap
frekuensi perdagangan saham Berdasarkan hasil Uji simultanInternet financial reporting dan tingkat
pengungkapan informasi website berpengaruh secara simultan terhadap Frekuensi
perdagangan saham.Hasil penelitian ini sejalan dengan hasil penelitian Kadek Arin
Prasasti, 1 I Made Pradana Adiputra, 2 Nyoman Ari Surya Dharmawan yang menunjukkan
bahwa Internet financial reporting dan Tingkat pengungkapan informasi website
berpengaruh secara simultan terhadap Frekuensi perdagangan saham. Penerapan IFR
dalam website perusahaan dengan Tingkat pengungkapan informasi website yang tinggi,
akan memicu kenaikan pada frekuensi perdagangan saham perusahaan. semakin banyak
permintaan dan penawaran yang berujung pada transaksi oleh investor yang akan
memicu kenaikan frekuensi perdagangan saham. SIMPULAN SIMPULAN 8 Jurnal Ilmiah Manajemen dan Bisnis (JIMBI), 1(1) 2020: 106-111,, Berdasarkan analisis data dan pembahasan hasil penelitian yang sudah diuraikan,
maka dapat disimpulkan sebagai berikut : Berdasarkan analisis data dan pembahasan hasil penelitian yang sudah diuraikan,
maka dapat disimpulkan sebagai berikut : 1 VariabelInternet financial reporting tidak berpengaruh terhadap frekuensi
perdagangan saham pada perusahaan pertambangan yang terdaftar di BEI tahun
2016-2018. 1 VariabelInternet financial reporting tidak berpengaruh terhadap frekuensi
perdagangan saham pada perusahaan pertambangan yang terdaftar di BEI tahun
2016-2018. 2 Variabel Tingkat pengungkapan informasi website berpengaruh positif dan
signifikan terhadap frekuensi perdagangan saham pada perusahaan pertambangan
yang terdaftar di BEI tahun 2016-2018. y
g
3 Variabel Internet financial reporting dan tingkat pengungkapan informasi website
secara simultan berpengaruh terhadap frekuensi perdagangan saham pada
perusahaan pertambangan yang terdaftar di BEI tahun 2016-2018. y
g
3 Variabel Internet financial reporting dan tingkat pengungkapan informasi website
secara simultan berpengaruh terhadap frekuensi perdagangan saham pada
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The high-K calc-alkaline to shoshonitic volcanism of Limnos, Greece: implications for the geodynamic evolution of the northern Aegean
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Contributions to mineralogy and petrology
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Abstract Genetic models for the formation of K-rich magmas in subduction-related settings range from partial melting of subduc-
tion-affected mantle sources to melting of crustal rocks depending on the local tectonic framework. The Miocene high-K
calc-alkaline to shoshonitic rocks of Limnos Island reflect the magmatic activity in the northern Aegean, which migrated
southwards in response to trench retreat and the collision of continental terranes in the Hellenic subduction system. New
whole rock and mineral data of basaltic andesites, dacites and monzonites from Limnos indicate that the magmas underwent
fractional crystallization of olivine, clinopyroxene, amphibole, apatite, and Fe-Ti oxides at 1100 to 700 °C and 0.5 to 0.1 GPa
without significant assimilation of crustal rocks during the magma evolution. The strong enrichment of large ion lithophile
elements and light rare-earth elements relative to depleted heavy rare earth and high-field strength elements points towards
a mantle source that has been extensively hybridized by subducted sedimentary material. New Sr–Nd-Pb isotope data reveal
a distinct isotopic composition of the Limnos rocks with high 207Pb/204Pb at low 206Pb/204Pb and 143Nd/144Nd ratios that is
likely related to the subduction of the continental crustal succession of the Apulian block which was subducted prior to the
onset of magmatism on Limnos. Partial melting models assuming a hybridized mantle source suggest that the primary melts
of Limnos formed by melting of a phlogopite pyroxenite at melting degrees of 5 to 10%. Compositional differences between
high-K calc-alkaline and shoshonitic magmas are explained by variable melting degrees and varying amounts of sediment
supply to the mantle. The magmatic and tectonic evolution of Limnos island is typical for the Oligocene and Miocene vol-
canic centres of the migrating western Aegean arc front. Keywords Radiogenic isotopes · Subduction · Partial melting · Petrogenesis · Shoshonite · Trace element * Leon Gläser
GlaeserLeon@gmx.de The high‑K calc‑alkaline to shoshonitic volcanism of Limnos, Greece:
implications for the geodynamic evolution of the northern Aegean Leon Gläser1 · Anna Grosche1 · Panagiotis C. Voudouris2 · Karsten M. Haase1 Received: 23 March 2022 / Accepted: 10 July 2022 / Published online: 21 July 2022
© The Author(s) 2022 Received: 23 March 2022 / Accepted: 10 July 2022 / Published online: 21 July 2022
© The Author(s) 2022 1
GeoZentrum Nordbayern, Friedrich-Alexander-Universität
(FAU) Erlangen-Nürnberg, Schlossgarten 5, 91054 Erlangen,
Germany Communicated by Timothy L. Grove. 2
Faculty of Geology and Geoenvironment, National
and Kapodistrian University of Athens, 15784 Athens,
Greece Contributions to Mineralogy and Petrology (2022) 177: 73
https://doi.org/10.1007/s00410-022-01940-7 Contributions to Mineralogy and Petrology (2022) 177: 73
https://doi.org/10.1007/s00410-022-01940-7 ORIGINAL PAPER Introduction Other models suggest the formation
of K-rich magmas in continental arcs by melting of sedi-
ment diapirs or mélanges of sediment with hydrated peri-
dotite in the hot region of the mantle wedge (Behn et al. 2011; Marschall and Schumacher 2012). Primitive magmas
in some arcs have high-Mg andesitic compositions which
could represent melts from mantle peridotite with high water
content or mixtures of peridotite with sedimentary mate-
rial (Kelemen 1995; Straub et al. 2008). Additionally, many
K-rich magmas seem to form after subduction ceased and
are thus believed to be ‘post-collisional’ due to melting of
metasomatized lithospheric mantle or lower crustal rocks
(e.g. Sekine and Wyllie 1983; Foley 1992; Condamine and
Médard 2014). However, lithospheric mantle of the upper
plate that is not part of the convecting mantle wedge has
temperatures < 1100 °C (Perrin et al. 2018). Partial melt-
ing of peridotite with such low temperature requires either
massive addition of volatiles or the re-heating by hot mantle
material, for example, following extension and rifting of the
lithosphere causing an ascent of hot asthenosphere. y
)
Widespread extension is believed to have commenced in
the Rhodope massif in middle Eocene time and from then
on progressed southwestwards (Brun et al. 2016). The exten-
sion was caused by the southward retreat of the Hellenic
trench as a result of slab-rollback, induced by the subduc-
tion and accretion of continental blocks (Faccenna and Brun
2008). Paleomagnetic data revealed that the extension fol-
lowed a clockwise rotation of the continental blocks open-
ing the Aegean Sea (Brun and Sokoutis 2010; van Hins-
bergen et al. 2005). Additionally, post-orogenic collapse
and crust-mantle delamination may have played a role in
the formation of the extensional structures, such as meta-
morphic core-complexes and sedimentary basins, that can
be observed in the Aegean (Brun et al. 2016; Kydonakis
et al. 2015). Slab retreat was accompanied by systematic
southward migration of magmatic activity in the western
Aegean (e.g. Jolivet et al. 2015) which was suggested to
reflect consecutive ascent of mélange diapirs from the slab
top (Schaarschmidt et al. 2021a). Alternatively, lithospheric
delamination or slab detachment may have been the cause
for melt generation causing, for example, calc-alkaline and
shoshonitic volcanism in western Anatolia (e.g. Aldanmaz
et al. 2000). The early to middle Miocene age of the western
Anatolian volcanism correlates with the volcanic activity
of Limnos, which could suggest a similar origin. Introduction et al. 1993). Additionally, the composition of the magmas is
frequently altered during the ascent through the lithosphere,
particularly by reaction with the rocks of the continental
crust (e.g. Davidson et al. 2005). Thus, many volcanic rocks
along continental subduction zones are andesitic to rhyolitic
yielding little evidence for primary mafic magmas from the
mantle in their genesis. There is general consensus that most
primary magmas at subduction zones are basaltic and form
in the asthenospheric mantle wedge by hydrous melting with
variable involvement of decompression melting (Kushiro
2007; Schmidt and Jagoutz 2017). Potassium-rich magmas
are frequent in both continental and oceanic subduction
zones, and magmas in many arcs range from medium- to
high-K calc-alkaline to shoshonitic compositions (Wheller
et al. 1987; Robert et al. 1992; Sun and Stern 2001). For
example, the K-rich magmas in oceanic island arcs like the
Marianas or the Sunda-Banda arcs are generally believed to
form from the mantle wedge mainly reflecting the addition Magmas with highly variable compositions form along the
Earth’s subduction zones reflecting complex processes in the
upper mantle of mixing mantle and crustal rocks, of element
transport by hydrous material and of partial melting (Miya-
shiro 1974; McCulloch and Gamble 1991; Hawkesworth Communicated by Timothy L. Grove. (0121 3456789)
3 Contributions to Mineralogy and Petrology (2022) 177: 73 73
Page 2 of 20 73
Page 2 of 20 73
P Cretaceous to Eocene, the north-eastward drifting continen-
tal blocks of Pelagonia and Apulia collided with Rhodopia
and Serbo-Macedonia, which led to the amalgamation with
Eurasia (Kydonakis et al. 2015). Its boundaries are marked
by two suture zones that formed after the closure of two
Neo-Tethyan ocean branches surrounding Pelagonia. The
Vardar-Suture-Zone between Pelagonia and the Serbo-Mac-
edonian Massif crosses the Aegean Sea south of Limnos
and is most likely linked to the Izmir-Ankara Suture (Çelik
et al. 2011). The almost parallel running Pindos suture zone
extends southeast of the Dinarides into the South Aegean
Sea and separates Apulia to the west from Pelagonia to the
east (Fig. 1a). However, the exact locations and correlations
of these suture zones are still debated (Marroni et al. 2014;
Taymaz et al. 2007). of fluids and partial melts from subducted sediments, con-
tinental crust and basaltic crust (e.g. Sun and Stern 2001;
Elburg et al. 2004). Introduction Thus, Pe-
Piper et al. (2009) proposed that upwelling of the astheno-
sphere beneath Limnos was a result of slab breakoff and
mantle-derived magmas caused partial melting of the lower
crust followed by mixing of the different melts. During the
upper Miocene the NE-SW extension was further aided by
dextral movements along large-scale strike-slip faults, such
as the North Anatolian Fault Zone (NAFZ, Fig. 1a) (Armijo
et al. 1999; Brun et al. 2016). The crustal thickness beneath
the northern Aegean Sea is estimated at 25 to 30 km, but
may have been up to 50 km thick prior to the two-stage
back-arc extension in the Oligocene/Miocene and again in
the Plio-/Pleistocene (Tirel et al. 2004; Sodoudi et al. 2006;
Karabulut et al. 2019). Tirel et al. (2004) point out that the The formation of Cenozoic magmas in the Aegean is
closely related to the complex tectonic history with alter-
nating periods of ocean subduction and collision/subduction
of continental fragments from Eocene to present (Menant
et al. 2016; Schaarschmidt et al. 2021a). The occurrence
of widespread high-K to shoshonitic magmatism during
upper Miocene makes it a suitable area to study the origin of
K-rich magmas in subduction-related settings. Here, we pro-
vide new petrological and geochemical data on the high-K
calc-alkaline to shoshonitic volcanic and plutonic rocks from
Limnos island that were interpreted to have formed either
during or after subduction. The data are used to assess the
influence of fractional crystallization and crustal contamina-
tion during the magma evolution. We use trace element and
new Sr–Nd–Pb isotope data to determine the source com-
ponents of the primary melts and to develop a quantitative
partial melting model for different mantle lithologies that
can be applied to the genesis of K-rich magmas elsewhere. Regional tectonic background The Aegean subduction zone migrated southwards in the
past 30 million years due to slab-rollback, that caused
extension in the back-arc and arc region (Jolivet and Brun
2010). The Aegean Sea lies within a complex succession of
thrusted terranes that have undergone periods of alternat-
ing stress regimes as a result of the ongoing convergence
between Africa and Eurasia (Fig. 1a). During the Upper 1 3 3 Page 3 of 20
73 Contributions to Mineralogy and Petrology (2022) 177: 73 0
73 (a) Map of the Aegean Sea depicting the main tectonic units of
e and western Turkey. (b) Simplified map of Limnos with sam-
ations. Samples used for trace element and Sr–Nd–Pb isotope
analysis are marked with yellow rims. Extent of the volcanic
according to Innocenti et al. (1994) and Pe-Piper et al. (2009
locations of faults according to Pavlides et al. (2009) Fig. 1 (a) Map of the Aegean Sea depicting the main tectonic units of
Greece and western Turkey. (b) Simplified map of Limnos with sam-
ple locations. Samples used for trace element and Sr–Nd–Pb isotope analysis are marked with yellow rims. Extent of the volcanic units
according to Innocenti et al. (1994) and Pe-Piper et al. (2009) and
locations of faults according to Pavlides et al. (2009) 1 3 Contributions to Mineralogy and Petrology (2022) 177: 73 73
Page 4 of 20 crust of the Aegean Sea shows a flat Moho similar to the
Basin and Range probably reflecting lower crustal flow. crust of the Aegean Sea shows a flat Moho similar to the
Basin and Range probably reflecting lower crustal flow. volcanic rocks indicate ages of 21 to 18 Ma (Innocenti et al. 1994; Pe-Piper et al. 2009). The oldest volcanic products
on Limnos belong to the southern Katalakon unit (Fig. 1b),
which consists of altered andesitic and dacitic lava domes
and hosts the monzonitic intrusion at Cape Fakos. Towards
the east, around the Gulf of Moudros, the Katalakon unit is
overlain by pyroclastic deposits, dacites, and latites of the
Romanou unit, which show the highest potassium contents. Based on age dates, Pe-Piper et al. (2009) suggested that
the Romanou unit is older than the northern Katalakon unit. The Myrina unit is located in southwest Limnos, and sepa-
rated from the northern Katalakon unit by the NW–SE strik-
ing Kaspakas fault (Pavlides et al. 2009). Regional tectonic background It comprises the
island’s youngest volcanic domes and lava flows with mainly
dacitic compositions. The northern lavas along the coastline
have been assigned to the Agios Ioannis subunit by Pe-Piper
et al. (2009) due to their transitional compositions in rela-
tion to lavas of the two neighbouring Myrina and Katalakon
units (Fig. 1b). Whereas Innocenti et al. (2009) suggested
an origin of the magmas in the mantle above a subducting
slab, Pe-Piper et al. (2009) proposed that the Limnos lavas
represent mixtures of a mantle-derived basanitic melt and a
partial melt of amphibolite in the lower crust. Sampling and sample preparation For this study, 50 magmatic rock samples were collected
and studied at the GeoZentrum Nordbayern (Friedrich-
Alexander Universität Erlangen-Nürnberg) with a focus
on the geochemical whole rock major and trace element
as well as radiogenic isotope composition. The samples
mostly consist of lavas from domes and flows as well as
from dykes. According to the geological map after Innocenti
et al. (1994), the samples represent the three major volcano-
stratigraphic units and are distributed over the entire island
(Fig. 1b). In addition, three monzonite samples from the
southern Fakos intrusion were examined. Geology of Limnos The island of Limnos covers an area of ~ 400 km2 in the
northern Aegean Sea, southwest of the island of Samothraki
(Fig. 1a). Limnos lies in the Thrace Basin and consists of
sedimentary and volcanic rocks forming a rugged morphol-
ogy in the west, whereas the eastern portion of Limnos is
low with a smooth morphology (Fig. 1b). These two parts
of the islands are divided by the Kondias–Kotsinas fault
zone consisting of a series of NE–SW striking right-lateral
strike-slip faults that may have also affected the emplace-
ment of magmatic intrusions (Koukouvelas and Aydin 2002;
Pavlides et al. 2009). The sediments are mainly sand- and
siltstones with ages from Middle Eocene to Lower Miocene
representing deep-marine turbidite deposits with occasional
tuff layers overlain by continental conglomerates, marls, and
mudrocks (Innocenti et al. 1994; Caracciolo et al. 2011). The
continental sediments are overlain and intruded by lava flows
and domes, subvolcanic rocks, ignimbrites, and volcaniclas-
tic deposits. The oldest rocks of the basement comprise a
succession of Middle Eocene to Early Oligocene flysch
deposits representing a submarine fan in the fore-arc basin
of the migrating subduction zone (Maravelis et al. 2016). From the Late Oligocene to the Middle Miocene three N–S-
directed compressional tectonic phases occurred during the
deposition of the overlying sedimentary units causing fold-
ing of the topmost strata and the development of tensional
structures (Tranos 2009). This compression affected the
subduction dynamics and was probably due to the collision
of the Apulian block with the Eurasian Plate which led to
uplift, erosion of the folds, and a transition from marine to
continental sediments prior to the onset of Early Miocene
volcanism on Limnos (Erbil et al. 2021; Innocenti et al. 1994; Tranos 2009). Tectonic reconstructions of the Aegean
subduction zone suggest that the Apulian continental block
had been accreted and partially subducted by ~ 23 Ma, which
was followed by subduction of oceanic lithosphere of the
eastern Mediterranean (Ring et al. 2010; Jolivet et al. 2013). Metasedimentary rocks of the lowest tectonic unit of the
Cyclades, the Basal Unit, show the peak of high-pressure
metamorphism with 0.8 to 1.0 GPa and 350 to 400 °C and
ages of 24 to 21 Ma indicating the subduction of thick lay-
ers of clastic and carbonate sediments in the Early Miocene
(Ring et al. 2001). Whole rock geochemistry Sample blocks of fresh rock material were ultrasonically
cleaned in deionized water and dried for 24 h in a drying
oven at 60 °C. After crushing of the blocks by a hydraulic
press, an agate mill was used to pulverize the samples to
grain sizes below 40 µm. The powder was dried for 24 h at
100 °C. Sixteen samples were selected for trace element anal-
yses based on their locations and their major element
contents to cover a preferably wide range in SiO2 and
K2O. A detailed description of the preparation procedure
is given in Schaarschmidt et al. (2021b) and is briefly
described here. The trace element concentrations were
determined on a Thermo-Fischer X-Series 2 Q-ICP-MS
at GZN together with multiple measurements of the
basalt standard BHVO-2 (GeoReM; Jochum et al. 2016). All trace elements had an accuracy better than 9% except
for Zn (< 17%), Sb (< 46%), Cs (< 28%) and the long-
term reproducibility of 2020 (2 s; n = 30) was better than
14% for all trace elements excluding Ni and Cu (< 20%)
and Cs (< 40%) (electronic supplement Table S1). Due
to the partial dissolution of zircon during digestion of
rock powder, the Zr concentration determined by XRF The contents of the major elements (> 0.1 wt.%) were
determined by X-ray fluorescence (XRF) using an energy
dispersive Spectro Xepos He X-ray fluorescence spec-
trometer at GZN. Samples were homogenized to melt
discs using lithium-tetraborate (Li2B4O7). Loss on igni-
tion (LOI) was calculated by determining the weight dif-
ference of each sample before and after the ignition in
a muffle furnace. Accuracy and precision of the meas-
urements were determined by multiple measurements of
the international rock standards BR and BE-N for basalts
and GA and AC-E for granites (Govindaraju 1994; elec-
tronic supplement Table S1). Repeated analyses of the of the number (n) of analysed crystals. Values in brackets are from
enclaves. Pressure and temperature estimates of all mineral analyses
are visualized in Fig. 1 Table 1 Temperature, pressure, water content and oxygen fugacity
calculations based on different models for amphibole (amph), horn-
blende (hbl), clinopyroxene (cpx), magnetite/ilmenite (mt/ilm) and
plagioclase (plg) compositions. The results are the average values Table 1 Temperature, pressure, water content and oxygen fugacity
calculations based on different models for amphibole (amph), horn-
blende (hbl), clinopyroxene (cpx), magnetite/ilmenite (mt/ilm) and
plagioclase (plg) compositions. Analysis of mineral compositions Polished thin sections of ten samples of both shoshonitic and
high-K rocks from variable locations were petrographically
examined and the minerals were analysed using the JEOL
JXA-8200 Electron Probe Microanalyser at the GeoZentrum
Nordbayern (GZN). For the measurement of core and rim
compositions of plagioclase, amphibole and clinopyroxene
an electron beam of 3 µm diameter with a current of 15 nA
and an acceleration voltage of 15 kV was used. Magnet-
ite and ilmenite grains were analysed using a 1 µm beam
with a beam current of 20 nA and an acceleration voltage Three major volcanic rock units were suggested to occur
on Limnos island (Fig. 1b) in addition to a small-scale
monzonite intrusion at Cape Fakos; the effusive Katalakon
unit, the pyroclastic Romanou unit, and the Myrina unit
consisting of the youngest lava domes and occasional flows
(Innocenti et al. 1994). Potassium-Ar ages of the Limnos 1 3 1 3 Contributions to Mineralogy and Petrology (2022) 177: 73 Page 5 of 20 73 standards BR and BE-N gave an accuracy better than 9%
for P2O5, better than 6% for Na2O and better than 3% for
the remaining major elements. The precision of the analy-
sis, expressed as the relative standard deviation (RSD,
2 s), was better than 3% for Na2O, better than 2% for MgO
and P2O5, and better than 1% for all other major elements. For the granite standards GA and AC-E, the accuracy was
better than 7% for Fe2O3 and better than 5% for all other
major elements, except for MgO and P2O5, which have
too low absolute MgO and P2O5 contents in the felsic
standard material. The relative precision (2 s) was bet-
ter than 1% for all major elements save MgO (12%) and
P2O5 (6%). of 20 kV. The counting times and detection limits of the
analysed elements are listed in Schaarschmidt et al. (2021b)
and the results of all mineral analyses can be found in the
electronic supplement of this work (Table S1). The mineral
compositions were used to estimate the pressure–tempera-
ture conditions and the volatile content of the magmas dur-
ing crystallization by applying different thermobarometric
models (Table 1). Results Results For Sr, Nd, and Pb isotope analysis 100–150 mg of rock
powder was dissolved and processed following the proce-
dure described in Schaarschmidt et al. (2021b). Lead, Sr
and Nd was separated from the rock matrix using differ-
ent ion exchange columns (Schaarschmidt et al. 2021b). Isotope measurements of Sr and Nd were carried out on
a Thermo-Fischer Triton TIMS (thermal ionization mass
spectrometer) at GZN. Strontium isotope measurements
were corrected for instrumental mass fractionation assum-
ing 88Sr/86Sr = 0.1194 and corrected for the contribution
of 87Rb to mass 87. Neodymium isotope data were cor-
rected for mass fractionation using a 146Nd/144Nd ratio
of 0.7219. Samarium interference on masses 144, 148,
150 was corrected by measuring 147Sm. The Sr isotopic
ratios have a maximum internal uncertainty of ± 0.000008
(2 s) and were normalized to the NBS987 standard with
87Sr/86Sr = 0.710250 and an average measured value of
0.710276 ± 0.000011 (2 s, n = 3). Likewise, the Nd isotopic
ratios (2 s = ± 0.000005) were normalized to the Erlangen
Nd standard with 143Nd/144Nd = 0.511541 and an average
value yielding 0.511538 ± 0.000010 (2 s, n = 4). Lead iso-
tope measurements were carried out on a Thermo Fisher
Neptune multi-collector ICP-MS at GZN using a 207Pb/204Pb
double spike to correct for instrumental mass fractionation. The Pb fraction was diluted with 2% HNO3 to a concentra-
tion of approximately 20 ppb. One part of this solution was
spiked in order to obtain a 208Pb/204Pb ratio of about 1. The
double spike, with a 207Pb/204Pb ratio of 0.5, was calibrated
against a solution of the NBS982 equal atom Pb standard. Spiked and unspiked sample solutions were introduced into
the plasma via a Cetac Aridus desolvating nebulizer, and
measured in static mode. Interference of 204Hg on mass 204
was corrected by monitoring 202Hg. An exponential frac-
tionation correction was applied offline using the iterative
method of Compston and Oversby (1969). The correction
was typically 4.5‰ per amu. The typical uncertainties of
individual analyses are ± 0.0003, ± 0.0003 and ± 0.0007
for 206Pb/204Pb, 207Pb/204Pb and 208Pb/204Pb, respectively. The isotopic ratios were normalized to the NBS981 stand-
ard with 206Pb/204Pb = 16.9410, 207Pb/204Pb = 15.4993,
and 208Pb/204Pb = 36.7244. Repeated measurements of the
NBS981 Pb isotope standard gave average 206Pb/204Pb,
207Pb/204Pb, 208Pb/204Pb ratios of 16.9405 ± 0.0018,
15.4979 ± 0.0010 and 36.7190 ± 0.0032, respectively (2 s). Petrography The Limnos lavas and the monzonite are characterized by
a fine- to medium-grained porphyritic texture with a holo-
to hypocrystalline groundmass surrounding phenocrysts of
plagioclase, quartz, amphibole, biotite and clinopyroxene. The colour of the groundmass varies between greenish
light grey to dark brown. Some samples exhibit orientated
phenocrysts (LIM-14, LIM-21, LIM-25). Plagioclase is
the dominant phase in all samples and mostly has a euhe-
dral to subhedral shape and frequently shows a zonation. Quartz is more abundant in samples of the Katalakon unit,
whereas clinopyroxene phenocrysts only occur in rocks
of the Romanou unit and the Fakos monzonite. The clino-
pyroxenes are of light brown to green colour and rarely
show growth zoning. The samples contain accessory apa-
tite, zircon, magnetite, ilmenite and titanite. The Fakos
monzonite (LIM-14) further contains euhedral orientated
K-feldspar phenocrysts. Lavas from Katalakon south and
Romanou host enclaves of several cm size with a similar
mineralogy, but smaller phenocryst size. Most samples
went through minor degrees of hydrothermal alteration
resulting in partial chloritization of pyroxene and sericiti-
zation of feldspar. Vesicles occur in several samples and
are filled with calcite. Whole rock geochemistry The results are the average values High-K samples
Monzonite
Shoshonitic samples
LIM-03
LIM-32
LIM-37
LIM-14
LIM-25
LIM-42
Andersen and Lindsley (1985), Lepage (2003),
Powell and Powell (1977), Spencer and Lindsley
(1981)
Tmt/ilm [°C]
860
–
–
–
890
730
fO2
− 11
–
–
–
− 11
− 14
n
3
–
–
–
4
4
Mutch et al. (2016)
PAl in hbl [GPa]
–
0.53
0.34 (0.43)
0.10
–
–
n
–
6
5
10
–
–
Putirka et al. (2003)
Tcpx [°C]
–
–
–
1052
–
1126 (1136)
Pcpx [GPa]
–
–
–
0.24
–
0.52 (0.64)
n
–
–
–
5
–
10
Ridolfi et al. (2010)
Tamph [°C]
–
960 ± 20
890 ± 20
760 ± 20
–
–
Pamph [GPa]
–
0.35 ± 0.04
0.21 ± 0.02
0.04 ± 0.01
–
–
fO2
–
− 9.9 ± 0.4
− 10.9 ± 0.4
− 12.0 ± 0.4
–
–
H2O [wt.%]
–
4.6 ± 0.7
4.4 ± 0.5
2.4 ± 0.4
–
–
n
–
19
10
22
–
–
Waters and Lange (2015)
H2O [wt.%]
5.3 ± 0.1
4.3 ± 0.1
6.7 ± 0.1
–
4.0 ± 0.1
4.8 ± 0.1
n
15
20
8
14
18
12 1 Contributions to Mineralogy and Petrology (2022) 177: 73 73
Page 6 of 20 73
Page 6 of 20 73
P analysis was considered for all interpretations and
diagrams. Results The initial isotope ratios of Sr, Nd and Pb were calculated
for each sample by assuming an emplacement age of 20 Ma. The results of whole rock major element, trace element and
Sr–Nd-Pb isotope analyses can be found in the electronic Major element composition The SiO2 contents of the Limnos samples range between
55 and 65 wt.%, i.e. between basaltic andesites and dac-
ites, overlapping with data from previous studies (Innocenti
et al. 1994; Pe-Piper et al. 2009). About half of the sam-
ples can be classified as high-K rocks with the other half
belonging to the shoshonitic series (Fig. 3a, Peccerillo and
Taylor 1976). All high-K samples follow the calc-alkaline
trend of decreasing FeOT and MgO contents and increasing
alkali contents with increasing SiO2 (Fig. 3). The samples
have LOI values between 1 and 7 wt.% indicating variable
amounts of hydrous minerals and possibly carbonate altera-
tion. For example, the dike sample LIM-07 is propylitized
suggesting late hydrothermal alteration. However, most of
the samples contain hydrous magmatic minerals biotite
and amphibole that can probably account for up to 3 wt.%
LOI. The lavas generally follow continuous major element
trends of increasing K2O and decreasing CaO contents with
increasing silica (Fig. 3) whereas alteration should cause
less systematic variation. Thus, we conclude that the major
element composition of samples with LOI < 3 wt.% is not
significantly altered, with the possible exception of some
samples with anomalous K2O, CaO, Al2O3 or Na2O con-
tents (LIM-07, LIM-10, LIM-16, LIM-19, LIM-25, LIM-
37, LIM-45). However, even samples with high LOI do not
show anomalous Sr–Nd-Pb isotopic ratios supporting the
reliability of the data. Clinopyroxene occurring in two analysed samples (LIM-
14 and LIM-42) has diopside-augite compositions with
the monzonite (LIM-14) clinopyroxenes having slightly
higher Ca contents. In the lack of glass analysis, the whole
rock compositions of the samples were used for the clino-
pyroxene-liquid thermobarometer by Putirka et al. (2003). Clinopyroxene records crystallization temperatures around
1052 °C and 1130 °C and pressures of 0.24 GPa and 0.52
GPa for the monzonite (LIM-14) and the shoshonitic lava
(LIM-42), respectively (Fig. 2, Table 1). Magnetite–ilmenite pairs were used to estimate the crys-
tallization temperature and the oxygen fugacity of the mag-
mas. Based on their Fe content and V/Ti ratio only magmatic -0.2
0
0.2
0.4
0.6
0.8
500
600
700
800
900
1000
P (GPa)
LIM-37: Amph. in xenoliths
LIM-37: Amph.-phenocrysts
LIM-32: Amph.-phenocrysts
LIM-14: Amph.-phenocrysts
LIM-
42: Cpx. Mineral composition Plagioclase is the most abundant mineral in all rocks from
Limnos. The An content ranges from a maximum value
of 54 (LIM-03) to the lowest value of 21 (LIM-14) with
the majority of crystals with An contents between 30
and 50 (andesine). Plagioclase of one shoshonitic sam-
ple (LIM-42) is considerably more potassic (Or content
4 to 9) than crystals of the other samples. Within single
plagioclase crystals, the An content decreases from the
cores toward the rims in all samples and profiles across
individual grains show normal zoning patterns (LIM-03,
LIM-37, LIM-42) but also few irregularly zoned grains
with more sodic cores in LIM-14. The An contents and
the whole rock compositions of each sample were used
for the plagioclase-liquid hygrometer by Waters and Lange
(2015) to calculate the water content of the melt, ranging
from 4.0 to 4.8 wt.% in shoshonitic samples and from 4.3
to 6.7 wt.% in high-K samples (Table 1). Amphibole in samples LIM-14 and LIM-37 largely
classifies as Mg-hornblende besides some crystals of tsch-
ermakitic compositions with higher Mg and Si contents in 1 3 Contributions to Mineralogy and Petrology (2022) 177: 73 Page 7 of 20
7 73 sample LIM-37 (Leake et al. 1997). The thermobarometric
model by Ridolfi et al. (2010) was applied to calculate the
temperature, pressure, water content and oxygen fugacity
of the samples (Table 1). The amphiboles yield crystal-
lization conditions of 0.15 to 0.40 GPa at 900 to 960 °C
for the high-K lavas and ~ 0.04 GPa at 760 °C for the mon-
zonite (Fig. 2, Table 1). The calculated water contents
differ slightly compared to the results of the plagioclase
hygrometer, but also record the lowest H2O contents for
the monzonite (Table 1). The calculated oxygen fugacity
log fO2 ranges from -12 (LIM-14) to -10 (LIM-32), which
corresponds to a ΔFMQ of + 2 (relative to the fayalite-
magnetite-quartz buffer). The geobarometer of Mutch et al. (2016) for granitic rocks depends only on the Al content
of the amphiboles and yields slightly higher pressures for
all three samples (Table 1). and no re-equilibrated magnetites were taken into account
(Wen et al. 2017). The remaining mineral pairs provide
approximations of the temperature and oxygen fugacity,
which correspond to FMQ + 2 at 730 to 890 °C for the sho-
shonitic and high-K lavas. The values overlap with previous
data from Methana (Schönhofen et al. Mineral composition 2020) and Nisyros
(Seymour and Lalonde 1991) at the SAVA, but are higher
than the values observed at Santorini (FMQ to FMQ + 1;
Fabbro et al. 2013). Major element composition in xenolith
LIM-03: Mgt-ilm
0
0.2
0.4
0.6
0.8
1
400
600
800
1000
1200
1400
T (°C)
LIM-37 (enclave)
LIM-37 (phenocrysts)
LIM-32
LIM-14
LIM-42 (enclave)
LIM-42
LIM-25
LIM-03
HKCA
Amph
Monzonite
Amph
Cpx
Cpx
Shoshonitic
Mgt-ilm
Mgt-ilm
Al in hbl
Al in hbl
P (GPa)
Fig. 2 Results of the geothermobarometry calculations for high-K
calc alkaline (HKCA), shoshonitic and monzonite samples. Al in hbl:
Al-in-hornblende barometer after Mutch et al. (2016). Amph: amphi-
bole thermobarometer after Ridolfi et al. (2010). Cpx: clinopyroxene
thermobarometer after Putirka et al. (2003). Mgt-ilm: thermometer
for magnetite–ilmenite pairs after Andersen and Lindsley (1985),
Lepage (2003), Powell and Powell (1977) and Spencer and Lindsley
(1981) -0.2
0
0.2
0.4
0.6
0.8
500
600
700
800
900
1000
P (GPa)
LIM-37: Amph. in xenoliths
LIM-37: Amph.-phenocrysts
LIM-32: Amph.-phenocrysts
LIM-14: Amph.-phenocrysts
LIM-
42: Cpx. in xenolith
LIM-03: Mgt-ilm
0
0.2
0.4
0.6
0.8
1
400
600
800
1000
1200
1400
T (°C)
LIM-37 (enclave)
LIM-37 (phenocrysts)
LIM-32
LIM-14
LIM-42 (enclave)
LIM-42
LIM-25
LIM-03
HKCA
Amph
Monzonite
Amph
Cpx
Cpx
Shoshonitic
Mgt-ilm
Mgt-ilm
Al in hbl
Al in hbl
P (GPa) The rocks of the southern Katalakon unit, the adjacent
Fakos monzonite and the Romanou unit mainly belong to
the shoshonitic series, whereas the Katalakon north and
Myrina units follow the high-K trend. Based on the pub-
lished age record, this suggests a general evolution from
shoshonitic to high-K calc-alkaline magmatism with time
(Innocenti et al. 1994; Pe-Piper et al 2009). The major
element variations of the Limnos magma series (Fig. 3)
are compared to published data from Limnos (Pe-Piper
et al. 2009; Fornadel et al. 2012) and similar magmatic
rocks from the neighbouring islands Lesbos and Samo-
thraki (Pe-Piper and Piper 1992; Pe-Piper et al. 2014;
Vlahou et al. 2006) and the South Aegean Volcanic Arc
(SAVA; Bailey et al. 2009; Büttner et al. 2005; Elburg
et al. 2014, 2018; Elburg and Smet 2020; Fabbro et al. Fig. 2 Results of the geothermobarometry calculations for high-K
calc alkaline (HKCA), shoshonitic and monzonite samples. Al in hbl:
Al-in-hornblende barometer after Mutch et al. (2016). Amph: amphi-
bole thermobarometer after Ridolfi et al. (2010). Cpx: clinopyroxene
thermobarometer after Putirka et al. (2003). Trace element composition The analysed samples from Limnos are compared to sho-
shonitic rocks from Lesbos (Pe-Piper et al. 2014) and
Samothraki (Vlahou et al. 2006) in a MORB-normalized
incompatible element diagram (Sun and McDonough
1989; Fig. 4). The magmas from Limnos, Lesbos and
Samothraki all show similar element patterns charac-
terized by strong enrichments of Pb and the large ion
lithophile elements (LILE) Cs, Rb and Ba compared to a
depletion in the high field strength elements (HFSE) Nb,
Ta, Zr and Ti. Yet, the shoshonitic samples are slightly
more enriched in both element groups compared to high-
K samples (Fig. 4). Uranium and Th are greatly enriched
in all rocks, but the shoshonitic rocks show a slightly
lower Th/U ratio than the high-K calc-alkaline samples,
whereas the monzonites exhibit the highest Th/U ratios. All samples are enriched in the light rare earth elements
(LREE) and gradually decrease in their contents towards
the heavy rare earth elements (HREE), resulting in flat
HREE patterns (Fig. 4). The samples further show a small
negative Eu anomaly. One shoshonitic sample (LIM-45)
has a stronger enrichment in middle and heavy REE. The
Limnos magmas show the same correlation of increas-
ing La/Sm and decreasing Ba/Th with SiO2 as observed
throughout the Aegean (Fig. 5a,b). However, the magmas
of Limnos, Lesbos and Samothraki reach much higher
La/Sm ratios compared to the SAVA. Within the samples
of Limnos, the monzonites and many of the shoshonitic
lavas have higher intermediate REE (Sm to Tb) contents,
lower Ba/Th and higher Th/Nd than the high-K samples,
whereas Nb/Zr shows no consistent variation among the
magma series (Fig. 5b–d). The age-corrected Sr, Nd and Pb isotope ratios of the Lim-
nos magmas exhibit some of the highest 87Sr/86Sr and low-
est 143Nd/144Nd and 206Pb/204Pb ratios (Fig. 6a,b) observed
in Aegean magmatic rocks and resemble the magmas from
Lesbos (Pe-Piper et al. 2014) and Samothraki (Vlahou et al. 2006). In contrast to the younger volcanic rocks of the SAVA
(Bailey et al. 2009; Büttner et al. 2005; Elburg et al. 2018;
Elburg and Smet 2020; Pe-Piper and Piper 1994), the Lim-
nos magmas have higher 207Pb/204Pb and 208Pb/204Pb at lower
206Pb/204Pb (Fig. 6c,d). The majority of the Limnos magmas
shows a relatively narrow range of Sr, Nd and Pb isotope
ratios, that does not show any variation with increasing SiO2
content (Fig. 5e,f). However, three samples show a distinctly
different isotope composition. Major element composition Mgt-ilm: thermometer
for magnetite–ilmenite pairs after Andersen and Lindsley (1985),
Lepage (2003), Powell and Powell (1977) and Spencer and Lindsley
(1981) 1 3 Contributions to Mineralogy and Petrology (2022) 177: 73 73
Page 8 of 20 73
Page 8 of 20 (a) Silica vs. K2O diagram with the classification of the mag-
series after Peccerillo and Taylor (1976). (b–f) Silica content
major elements (as analysed). Samples of this work are plotted
side previously published data of rocks from Limnos (Pe-Piper
2009), Samothraki (Vlahou et al. 2006), Lesbos (Pe-Piper and
Piper 1992; Pe-Piper et al. 2014) and the South Aegean volcan
(SAVA; Bailey et al. 2009; Büttner et al. 2005; Elburg et al. 2018; Elburg and Smet 2020; Fabbro et al. 2013; Innocenti
1981; Kirchenbaur et al. 2012; Nicholls 1971; Pe-Piper and
1994) Piper 1992; Pe-Piper et al. 2014) and the South Aegean volcanic arc
(SAVA; Bailey et al. 2009; Büttner et al. 2005; Elburg et al. 2014,
2018; Elburg and Smet 2020; Fabbro et al. 2013; Innocenti et al. 1981; Kirchenbaur et al. 2012; Nicholls 1971; Pe-Piper and Piper
1994) Fig. 3 (a) Silica vs. K2O diagram with the classification of the mag-
matic series after Peccerillo and Taylor (1976). (b–f) Silica content
vs. major elements (as analysed). Samples of this work are plotted
alongside previously published data of rocks from Limnos (Pe-Piper
et al. 2009), Samothraki (Vlahou et al. 2006), Lesbos (Pe-Piper and 2013; Innocenti et al. 1981; Kirchenbaur et al. 2012;
Nicholls 1971; Pe-Piper and Piper 1994). Overall, our
results are consistent with the data of previous studies,
but cover a larger range of SiO2 especially at low SiO2
contents. Magmas from Lesbos and Samothraki have a larger range of SiO2 (50 to 72 wt.%) than rocks from Lim-
nos, but follow the same trends. The shoshonitic rocks
and monzonites exhibit slightly lower Al2O3 and higher
P2O5 contents than the high-K calc-alkaline samples,
while all other major element contents show no major
differences between the two series. 1 3 Contributions to Mineralogy and Petrology (2022) 177: 73 Page 9 of 20
73 of 20
73 Fig. 4 Multi-element diagram
normalized to MORB (Sun and
McDonough 1989). The trace
elements are sorted by incom-
patibility in descending order. Zr contents have been deter-
mined by XRF, all others by
ICP-MS. The range of magmas
from Lesbos (Pe-Piper et al. 2014) and Samothraki (Vlahou
et al. Major element composition 2006) is shown in grey
0.01
0.10
1.00
10.00
100.00
1000.00
10000.00
Cs
Rb
Ba
Th
U
K
Nb
Ta
La
Ce
Pb
Pr
Sr
Nd
Sample/N-MORB
0.01
0.10
1.00
10.00
100.00
1000.00
10000.00
Cs
Rb
Ba
Th
U
K
Nb
Ta
La
Ce
Pb
Pr
Sr
Nd
Zr
Sm Eu
Ti
Y
Yb
N
/
elp
m
a
S
-
B
R
O
M
Lesbos and Samothraki
Limnos: HKCA
Limnos: Shoshonitic
Limnos: Monzonite
Lu
Dy Trace element composition One high-K andesite from
the Romanou unit has lower Pb isotope ratios, but higher
143Nd/144Nd, while two dacites from the Myrina unit have
lower 87Sr/86Sr and 207Pb/204Pb, but higher 143Nd/144Nd and
206Pb/204Pb ratios (Fig. 6). Fractional crystallization processes affecting
the Limnos magmas Variable partial melting of crus-
tal rocks and mixing with mantle-derived magmas would
have caused significant changes in composition between
andesites and dacites (e.g. Deschamps et al., 2017). The
geothermometric calculations indicate that the samples
record a large temperature range between 1130° and 700 °C
(Fig. 2, Table 1) in agreement with conditions for extensive
fractionation. The decrease in CaO and MgO with SiO2 can
be attributed to the fractionation of clinopyroxene, spinel
and olivine at temperatures above 1000 °C and pressures
of at least 0.5 GPa. Normal zoning patterns of plagioclase
ranging from An54 to An20 in andesitic to dacitic lavas also
reflect decreasing CaO contents during fractional crystal-
lization. However, some of the variation of the bulk rock
and mineral compositions may be due to magma mixing
of closely related melts, which can also explain the abun-
dance of subhedral plagioclase. The constant Al2O3, Sr and
Eu contents with increasing SiO2 indicate that plagioclase
c
d
e
0
2
50
55
60
65
70
75
0
50
50
55
60
65
70
75
0.0
0.4
0.8
1.2
1.6
2.0
2.4
50
55
60
65
70
75
Th/Nd
0.00
0.05
0.10
0.15
0.20
50
55
60
65
70
75
Nb/Zr
0.702
0.704
0.706
0.708
0.710
0.712
50
55
60
65
70
75
(87Sr/86Sr)i
SiO2 (wt.%)
18.4
18.5
18.6
18.7
18.8
18.9
19.0
50
55
60
65
70
75
(206Pb/204Pb)i
SiO2 (wt.%)
f
Fig. 5 (a–d) Incompatible element ratios vs. SiO2. Nb/Zr ratios have
been calculated using the Zr concentrations determined by XRF. (e,f)
Initial 87Sr/86Sr and 206Pb/204Pb isotope ratios vs. SiO2. Compara-
tive data sets as in Fig. 3 with additional data sets from the Rhodope
(Marchev et al. 2004) and Maronia-Leptokaria (Perkins et al. 2018;
Schaarschmidt et al. 2021b) Fig. 5 (a–d) Incompatible element ratios vs. SiO2. Nb/Zr ratios have
been calculated using the Zr concentrations determined by XRF. (e,f)
Initial 87Sr/86Sr and 206Pb/204Pb isotope ratios vs. SiO2. Compara- tive data sets as in Fig. 3 with additional data sets from the Rhodope
(Marchev et al. 2004) and Maronia-Leptokaria (Perkins et al. 2018;
Schaarschmidt et al. 2021b) and olivine at temperatures above 1000 °C and pressures
of at least 0.5 GPa. Normal zoning patterns of plagioclase
ranging from An54 to An20 in andesitic to dacitic lavas also
reflect decreasing CaO contents during fractional crystal-
lization. Fractional crystallization processes affecting
the Limnos magmas The compositional trends of the magmatic rocks of Limnos
resemble those of the SAVA lavas (Fig. 3) and probably
reflect fractional crystallization, which has been suggested
previously (Innocenti et al. 1994; Pe-Piper et al. 2009). The andesitic and dacitic rocks have similar radiogenic
isotope and Nb/Zr ratios implying that they have closely 1 3 Contributions to Mineralogy and Petrology (2022) 177: 73 73
Page 10 of 20 73
Page 10 of 20 73
Page 1 a
c
d
e
0
2
4
6
8
10
50
55
60
65
70
75
(La/Sm)N
0
50
100
150
200
250
50
55
60
65
70
75
Ba/Th
Rhodope
Maronia-Leptokaria
Limnos (this study; publ.)
HKCA
Shoshonitic
Monzonite
Aegean magmas (publ.)
Samothraki
Lesbos
SAVA
b
0.0
0.4
0.8
1.2
1.6
2.0
2.4
50
55
60
65
70
75
Th/Nd
0.00
0.05
0.10
0.15
0.20
50
55
60
65
70
75
Nb/Zr
0.702
0.704
0.706
0.708
0.710
0.712
50
55
60
65
70
75
(87Sr/86Sr)i
SiO2 (wt.%)
18.4
18.5
18.6
18.7
18.8
18.9
19.0
50
55
60
65
70
75
(206Pb/204Pb)i
SiO2 (wt.%)
f ed sources (Fig. 5d–f). Variable partial melting of crus-
ocks and mixing with mantle-derived magmas would
caused significant changes in composition between
and olivine at temperatures above 1000 °C and pres
of at least 0.5 GPa. Normal zoning patterns of plagio
ranging from An54 to An20 in andesitic to dacitic lavas
a
c
d
e
0
2
4
6
8
10
50
55
60
65
70
75
(La/Sm)N
0
50
100
150
200
250
50
55
60
65
70
75
Ba/Th
Rhodope
Maronia-Leptokaria
Limnos (this study; publ.)
HKCA
Shoshonitic
Monzonite
Aegean magmas (publ.)
Samothraki
Lesbos
SAVA
b
0.0
0.4
0.8
1.2
1.6
2.0
2.4
50
55
60
65
70
75
Th/Nd
0.00
0.05
0.10
0.15
0.20
50
55
60
65
70
75
Nb/Zr
0.702
0.704
0.706
0.708
0.710
0.712
50
55
60
65
70
75
(87Sr/86Sr)i
SiO2 (wt.%)
18.4
18.5
18.6
18.7
18.8
18.9
19.0
50
55
60
65
70
75
(206Pb/204Pb)i
SiO2 (wt.%)
f
(a–d) Incompatible element ratios vs. SiO2. Nb/Zr ratios have
calculated using the Zr concentrations determined by XRF. (e,f)
l 87Sr/86Sr and 206Pb/204Pb isotope ratios vs. SiO2. Compara-
tive data sets as in Fig. 3 with additional data sets from the Rh
(Marchev et al. 2004) and Maronia-Leptokaria (Perkins et al. Schaarschmidt et al. 2021b) related sources (Fig. 5d–f). Fractional crystallization processes affecting
the Limnos magmas 2005) 1%
3%
2%
1%
3%
2%
0.5120
0.5124
0.5128
0.5132
0.702
0.704
0.706
0.708
0.710
0.712
(143Nd/144Nd)i
(87Sr/86Sr)i
DMM
IOS 2
IOS 3
a 2
1%
2%
3%
5%
10%
0.5120
0.5124
0.5128
0.5132
18.2
18.4
18.6
18.8
19.0
19.2
(143Nd/144Nd)i
(206Pb/204Pb)i
DMM
IOS 3
? b b ( Sr/ Sr)i
0.5%
1%
2%
15.60
15.64
15.68
15.72
15.76
18.2
18.4
18.6
18.8
19.0
19.2
(207Pb/204Pb)i
(206Pb/204Pb)i
IOS 3
c
(208Pb/204Pb)
~20 Ma
? HKCA
Limnos (this study; publ.)
Shoshonitic
Monzonite
Rhodope
Aegean magmas (publ.)
Aegean basement (publ.)
Maronia-Leptokaria
Samothraki
Lesbos
SAVA
E. Rhodope gneiss
Serbo-Macedonian m. Ios gneiss
Cycladic m. Nile fan sediments
d
(
)i
0.5%
1%
2%
5%
38.4
38.6
38.8
39.0
39.2
39.4
18.2
18.4
18.6
18.8
19.0
19.2
(208Pb/204Pb)i
(206Pb/204Pb)i
IOS 3 d Fig. 6 (a–d) Initial radiogenic isotope ratios of Sr, Nd and Pb. For
comparison, literature data of Limnos (Pe-Piper et al. 2009), Aegean
basement rocks (Eastern Rhodope gneisses: Bonev et al. 2010; Serbo-
Macedonian metamafics: Bonev et al. 2012 and Frei 1995; Cycladic
metamafics: Stouraiti et al. 2017), Aegean magmas (Lesbos: Pe-Piper
et al. 2014; Maronia: Schaarschmidt et al. 2021b; Rhodope: Marchev
et al. 2004; Samothraki: Vlahou et al. 2006; SAVA: Bailey et al. 2009, Büttner et al. 2005, Elburg et al. 2018, Elburg and Smet 2020,
Pe-Piper and Piper 1994) and Nile fan sediments (Klaver et al. 2015)
are shown. Initial isotope ratios for basement samples were calcu-
lated for an age of 20 Ma. Mixing lines are shown between depleted
MORB mantle (DMM: Workman and Hart 2005) and Ios gneiss
(Büttner et al. 2005) crystallization and fractionation of olivine, clinopyroxene,
amphibole, biotite, apatite and magnetite/ilmenite, whereas
plagioclase fractionation is not observed during the early
magma evolution. Mixing between related magmas within
the two different magmatic series may have also contributed
to the observed variation. is not continuously fractionating from the melts probably
due to high water contents which suppresses the crystal-
lization of plagioclase during the early stage of fractiona-
tion (Almeev et al. 2012). Amphibole fractionation is indi-
cated by decreasing FeO, MgO, Sc and Y concentrations. Ratios of light REE and middle/heavy REE also correlate
positively with the SiO2 content (Fig. 5a), which can be
explained by fractional crystallization of amphibole and/or
clinopyroxene. Fractional crystallization processes affecting
the Limnos magmas However, some of the variation of the bulk rock
and mineral compositions may be due to magma mixing
of closely related melts, which can also explain the abun-
dance of subhedral plagioclase. The constant Al2O3, Sr and
Eu contents with increasing SiO2 indicate that plagioclase related sources (Fig. 5d–f). Variable partial melting of crus-
tal rocks and mixing with mantle-derived magmas would
have caused significant changes in composition between
andesites and dacites (e.g. Deschamps et al., 2017). The
geothermometric calculations indicate that the samples
record a large temperature range between 1130° and 700 °C
(Fig. 2, Table 1) in agreement with conditions for extensive
fractionation. The decrease in CaO and MgO with SiO2 can
be attributed to the fractionation of clinopyroxene, spinel 1 3 Contributions to Mineralogy and Petrology (2022) 177: 73 Page 11 of 20
73 HKCA
Limnos (this study; publ.)
Shoshonitic
Monzonite
Rhodope
Aegean magmas (publ.)
Aegean basement (publ.)
Maronia-Leptokaria
Samothraki
Lesbos
SAVA
E. Rhodope gneiss
Serbo-Macedonian m. Ios gneiss
Cycladic m. Nile fan sediments
d
1%
3%
2%
1%
3%
2%
0.5120
0.5124
0.5128
0.5132
0.702
0.704
0.706
0.708
0.710
0.712
(143Nd/144Nd)i
(87Sr/86Sr)i
DMM
IOS 2
IOS 3
a
1%
2%
3%
5%
10%
0.5120
0.5124
0.5128
0.5132
18.2
18.4
18.6
18.8
19.0
19.2
(143Nd/144Nd)i
(206Pb/204Pb)i
DMM
IOS 3
? b
0.5%
1%
2%
15.60
15.64
15.68
15.72
15.76
18.2
18.4
18.6
18.8
19.0
19.2
(207Pb/204Pb)i
(206Pb/204Pb)i
IOS 3
c
0.5%
1%
2%
5%
38.4
38.6
38.8
39.0
39.2
39.4
18.2
18.4
18.6
18.8
19.0
19.2
(208Pb/204Pb)i
(206Pb/204Pb)i
IOS 3
~20 Ma
? Fig. 6 (a–d) Initial radiogenic isotope ratios of Sr, Nd and Pb. For
comparison, literature data of Limnos (Pe-Piper et al. 2009), Aegean
basement rocks (Eastern Rhodope gneisses: Bonev et al. 2010; Serbo-
Macedonian metamafics: Bonev et al. 2012 and Frei 1995; Cycladic
metamafics: Stouraiti et al. 2017), Aegean magmas (Lesbos: Pe-Piper
et al. 2014; Maronia: Schaarschmidt et al. 2021b; Rhodope: Marchev
et al. 2004; Samothraki: Vlahou et al. 2006; SAVA: Bailey et al. 2009, Büttner et al. 2005, Elburg et al. 2018, Elburg and Smet 2020,
Pe-Piper and Piper 1994) and Nile fan sediments (Klaver et al. 2015)
are shown. Initial isotope ratios for basement samples were calcu-
lated for an age of 20 Ma. Mixing lines are shown between depleted
MORB mantle (DMM: Workman and Hart 2005) and Ios gneiss
(Büttner et al. Fractional crystallization processes affecting
the Limnos magmas Addition-
ally, the monzonites and many of the shoshonitic rocks have
lower Ba/Th and higher Th/Nd and Nb/Yb compared to the
high-K lavas (Fig. 5b,c) which implies different parental
magmas for the magma series. High Th/Nd and Th/La ratios
in magmatic rocks are often attributed to sediment subduc-
tion (Plank 1993, 2005), but the increasing Th/Nd and (La/
Sm)N probably reflect the fractionation of amphibole which
has very low Th/Nd < 0.1 and low (La/Sm)N < 1 (Tiepolo
et al. 2000; Schönhofen et al. 2020). An increasing Th/Nd
by fractional crystallization is also in agreement with the
constant 143Nd/144Nd (Fig. 5c), whereas assimilation would
lead to changing Nd isotope ratios. We conclude that the
shoshonitic and the high-K calc-alkaline rocks on Limnos
have different parental magmas causing different crystal
fractionation processes and liquid lines of descent. Origin of the Limnos parental melts All magmatic rocks of Limnos are characterized by high Cs,
Rb and Ba, while Nb and Ta show negative anomalies com-
pared to N-MORB (Fig. 4), which is typical for a magma
source that has been enriched by subduction components,
for example, represented by lavas of the Aegean arc (Inno-
centi et al. (1994); Pe-Piper et al. (2009). The high Mg#
(100*Mg/(Mg + Fe) > 60) in the basaltic andesites, the high
Mg and Cr contents (Pe-Piper et al. 2009) and calculated
eruption temperatures > 1100 °C, as well as the high water
contents of ~ 5 wt.% in the lavas (Table 1) suggest a hydrous
mantle origin of the parental melts (e.g. Arnaud et al. 1992). The enrichment of the mantle beneath Limnos causing high
ratios of (La/Sm)N (> 4.5), Ba/Th (< 100), Th/Nb (~ 2.4),
and 87Sr/86Sr require an influence of subducted sediments
(Global Subducting Sediment: e.g. La/Sm ~ 5.0, Plank and
Langmuir 1998) rather than fluids released from altered
oceanic crust (Ba/Th ~ 600 to 2300 (< 1000 °C), Carter
et al. 2015; Elliott 2003). Due to the complex history of the
Aegean subduction system, it is challenging to identify the
subducted units that affected the Limnos magmas at their
time of formation. The magmatic activity on Limnos at 21
to 18 Ma (Pe-Piper et al. 2009) directly follows the partial
accretion and subduction of the Apulian continental block
after the closure of the Pindos ocean, as recorded by high-
P metamorphic ages of 25 to 20 Ma for metamorphosed
units of the Tripolitza and Ionian Blocks (Ring and Layer
2003; Ring et al. 2010). The isotope composition of northern
Aegean magmatic rocks shows a shift from high 143Nd/144Nd
and 206Pb/204Pb ratios (18.7 to 18.8) for ~ 30 Ma old mag-
mas at Maronia-Leptokaria and in the Rhodope massif to
lower 143Nd/144Nd and 206Pb/204Pb (18.5. to 18.6), but higher
207Pb/204Pb and 208Pb/204Pb ratios for the ~ 20 Ma old mag-
mas at Limnos and Lesbos (Fig. 6c, dark arrow). We suggest
that this variation of the Nd and Pb isotopes reflects the
change from subduction of the Pindos oceanic crust overlain
by pelagic or flysch sediments to subduction of the Apulian
continental crust with Variscan basement overlain by Mes-
ozoic–Cenozoic limestones, evaporites, pelagic sediments
and flysch sediments (Sotiropoulos et al. 2003; Jolivet and Fractional crystallization processes affecting
the Limnos magmas Fe-Ti oxide fractionation causes continuously
decreasing FeO and TiO2 contents which is in accordance
with the relatively oxidizing conditions (FMQ + 2) calcu-
lated for magnetite-ilmenite pairs and amphiboles at ~ 900
to 730 °C. Apatite fractionation is reflected by decreasing
P2O5 contents with increasing silica. Thus, the variation of
major elements of the Limnos magmatic rocks is due to the Innocenti et al. (1994) suggested that the variations in
K2O and other incompatible elements between high-K
and shoshonitic lavas at Limnos reflect crystal fractiona-
tion processes at varying crustal depths from one parental
magma. According to this model, fractionation of olivine,
pyroxene, plagioclase, and magnetite at high pressures led to
the formation of shoshonitic magmas, whereas fractionation
of plagioclase, clinopyroxene, and magnetite at low pres-
sures generated high-K melts. Geobarometric calculations 1 3 1 Contributions to Mineralogy and Petrology (2022) 177: 73 73
Page 12 of 20 73
Page 12 of 20 73 (e.g. Büttner et al. 2005; Stouraiti et al. 2010; Bonev et al. 2012). Additionally, the Th/Nd and (La/Sm)N of the Lim-
nos samples are also constant with variable SiO2 (Fig. 5c,d),
but much higher than MORB (e.g. Th/Nd > 0.4 compared to
0.02 in N-MORB, Hofmann 1988), suggesting the contribu-
tion of partial melts from sediments to the primitive mag-
mas. We conclude that the Limnos magmas are affected by
a partial melt from a sedimentary end-member rather than
by one from an amphibolitic source, but that this sediment
component caused enrichment of the Limnos parental melts
in the mantle rather than in the crust. for clinopyroxene of the shoshonitic sample LIM-42 gave
crystallization pressures of ~ 0.5 GPa which is similar to the
pressures of the high-K samples (0.2 to 0.5 GPa for amphi-
bole) and corresponds to a maximum crystallization depth
of 18 km. The shoshonitic monzonite sample LIM-14 yields
lower pressures of ~ 0.2 GPa for clinopyroxene and < 0.1
GPa for amphibole, which corresponds to a crystalliza-
tion depth of ~ 5 km and an intrusion depth of ~ 2 km (Cas
and Simmons 2018). Hence, these results do not support a
model of systematically different pressures of crystalliza-
tion for shoshonitic and high-K magmas. Rather, the lavas
show variable pressures probably reflecting different magma
stagnation levels and the monzonite represents a shoshonitic
magma batch that crystallized in the upper crust. Potential crustal assimilation in the Limnos magmas Thus, we suggest that the Ios gneiss represents a suitable
end-member for the metasediments of the Apulian block that
were subducted and caused the partial melting of the Limnos
magmas in the mantle. 1 3
b
c
0
500
1000
1500
2000
2500
3000
18.2
18.4
18.6
18.8
19.0
19.2
K/La
IOS 3
0.0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
18.2
18.4
18.6
18.8
19.0
19.2
Rb/Ba
IOS 3
0.0
0.2
0.4
0.6
0.8
1.0
18.2
18.4
18.6
18.8
19.0
19.2
Nb/La
(206Pb/204Pb)i
IOS 3
HKCA
Limnos (this study)
Shoshonitic
Monzonite
Rhodope
Aegean magmas (publ.)
Aegean basement (publ.)
Maronia-Leptokaria
Lesbos
SAVA
Ios gneiss
Cycladic metamafics
Nile fan sediments
a
Fig. 7 (a–c) Initial 206Pb/204Pb isotope ratios vs. trace element ratios. Trends within the Limnos magmas show decreasing 206Pb/204Pb cor-
relating with decreasing K/La, Rb/Ba and Nb/La ratios. Data sets
of Aegean magmas (as in Fig. 5), Cycladic basement rocks (Büttner
et al. 2005; Stouraiti et al. 2017) and Nile fan sediments (Klaver et al. 2015) are shown for comparison The Pb isotopes of Limnos rocks as well as those
from Lesbos and Maronia-Leptokaria trend towards low
206Pb/204Pb ratios (Fig. 6c, small arrows). Decreasing
206Pb/204Pb ratios correlate with decreasing K/La, Rb/Ba,
Nb/La (Fig. 7a–c) and P/Nd ratios within the Limnos sam-
ples. Especially the younger high-K lavas of the Myrina and
northern Katalakon units show lower Rb and Nb concentra-
tions and low 206Pb/204Pb ratios. The decreasing Nb/La ratios
(Fig. 7c) and Nb concentrations at decreasing 206Pb/204Pb
ratios exclude the influence of an enriched mantle compo-
nent. It rather points towards a crustal component with low
Rb, Th, K, Zr, and Nb concentrations (Fig. 7) that affected
the source of the high-K Limnos magmas. Unradiogenic
Pb and Hf isotopes have been observed for coarse-grained
sediments at the African shelf (Klaver et al. 2015) or in the
forearc of the Lesser Antilles (Carpentier et al. 2009) due to
higher portions of detrital zircon. The Quaternary Nile fan
sediments from the African shelf (Klaver et al. 2015) have
lower K/La ratios (~ 130), LILE and LREE contents than the
Limnos magmas (K/La ~ 500), which could explain some
but not all of the decreasing element concentrations (Fig. 7). Nb/La Fig. 7 (a–c) Initial 206Pb/204Pb isotope ratios vs. trace element ratios. Trends within the Limnos magmas show decreasing 206Pb/204Pb cor-
relating with decreasing K/La, Rb/Ba and Nb/La ratios. Potential crustal assimilation in the Limnos magmas The formation of shoshonitic magmas was suggested to be
due to assimilation processes within the crust (e.g. Feeley
and Cosca 2003), or to re-melting of lower crustal metaba-
salts by ascending basanitic magmas (Pe-Piper et al. 2009). We do not observe metamorphic xenoliths that would record
assimilation of crustal rocks during the magma ascent. Metabasaltic rocks of the Cyclades, e.g. Samos, Paros and
Naxos (Stouraiti et al. 2017), have too low Sr and Pb and
too high Nd isotope ratios in order to be possible contami-
nants of the Limnos magmas. The metamorphic units of the
Serbo-Macedonian massif have too high 143Nd/144Nd and
206Pb/204Pb (Bonev et al. 2012; Frei 1995) to represent a
possible mixing end-member for the Limnos lavas (Fig. 6b). However, a sedimentary component is required to achieve
the high incompatible element concentrations, the high Th/
Nd and (La/Sm)N, and high Pb-isotope ratios in the Limnos
lavas (Spandler et al. 2007; Campbell et al. 2014). The con-
stant Sr, Nd and Pb isotope ratios of the majority of Limnos
rocks, including those with LOI > 5%, with increasing SiO2
contents (Fig. 5e,f) do not indicate assimilation of conti-
nental crustal material which typically has 87Sr/86Sr > 0.710 3 3 Contributions to Mineralogy and Petrology (2022) 177: 73 Page 13 of 20
73 Page 13 of 20
73 73 Brun 2010). Triassic to Oligocene limestones and evapo-
rites have 87Sr/86Sr between 0.7068 and 0.7080 (e.g. Burke
et al. 1982) and thus cannot cause the initial 87Sr/86Sr up
to 0.7094 of the Limnos magmas. Therefore, we suggest
that clastic sediments, such as arkosic sandstones and pelites
derived from Variscan basement (Pe-Piper et al. 2021) are a
more likely end-member in the source of the Limnos mag-
mas. Due to the lack of trace element and Pb isotope data of
sediments of the Apulian block, we cannot prove whether
these sediments caused the shift towards low 143Nd/144Nd
and 206Pb/204Pb but high 207Pb/204Pb. However, published
Pb isotope ratios of Cycladic basement units record low
143Nd/144Nd and 206Pb/204Pb with high 207Pb/204Pb ratios for
metasedimentary gneisses from Ios (Büttner et al. 2005). Since the Ios gneiss underlies the Cycladic Blueschist Unit
(Thomson et al. 2009) we speculate that it might resemble
the subducted sediments of Apulia or the Variscan basement
of which they were derived. Calculated mixing lines of aver-
age depleted mantle (i.e. Potential crustal assimilation in the Limnos magmas DMM: depleted MORB mantle;
Workman and Hart, 2005) with bulk Ios gneiss can roughly
reproduce the Sr, Nd, and maximum Pb isotope ratios of
the Limnos magmas (Fig. 6). The Pb isotopes require mix-
ing of 1 to 2% Ios gneiss (IOS 3, Fig. 6c,d), whereas the
Nd isotopes require mixing of 4 to 6% Ios gneiss (IOS 2,
Büttner et al. 2005; Fig. 6b). However, the curvature of the
mixing lines is also strongly affected by the Pb, Sr and Nd
fractionation during the slab-to-mantle transfer, e.g. during
sediment melting (e.g. Elliott 2003; Spandler et al. 2007). Thus, we suggest that the Ios gneiss represents a suitable
end-member for the metasediments of the Apulian block that
were subducted and caused the partial melting of the Limnos
magmas in the mantle. Brun 2010). Triassic to Oligocene limestones and evapo-
rites have 87Sr/86Sr between 0.7068 and 0.7080 (e.g. Burke
et al. 1982) and thus cannot cause the initial 87Sr/86Sr up
to 0.7094 of the Limnos magmas. Therefore, we suggest
that clastic sediments, such as arkosic sandstones and pelites
derived from Variscan basement (Pe-Piper et al. 2021) are a
more likely end-member in the source of the Limnos mag-
mas. Due to the lack of trace element and Pb isotope data of
sediments of the Apulian block, we cannot prove whether
these sediments caused the shift towards low 143Nd/144Nd
and 206Pb/204Pb but high 207Pb/204Pb. However, published
Pb isotope ratios of Cycladic basement units record low
143Nd/144Nd and 206Pb/204Pb with high 207Pb/204Pb ratios for
metasedimentary gneisses from Ios (Büttner et al. 2005). Since the Ios gneiss underlies the Cycladic Blueschist Unit
(Thomson et al. 2009) we speculate that it might resemble
the subducted sediments of Apulia or the Variscan basement
of which they were derived. Calculated mixing lines of aver-
age depleted mantle (i.e. DMM: depleted MORB mantle;
Workman and Hart, 2005) with bulk Ios gneiss can roughly
reproduce the Sr, Nd, and maximum Pb isotope ratios of
the Limnos magmas (Fig. 6). The Pb isotopes require mix-
ing of 1 to 2% Ios gneiss (IOS 3, Fig. 6c,d), whereas the
Nd isotopes require mixing of 4 to 6% Ios gneiss (IOS 2,
Büttner et al. 2005; Fig. 6b). However, the curvature of the
mixing lines is also strongly affected by the Pb, Sr and Nd
fractionation during the slab-to-mantle transfer, e.g. during
sediment melting (e.g. Elliott 2003; Spandler et al. 2007). Melting model for the Limnos parental melts 0.49phl + 0.56 opx + 0.47 cpx + 0.05 sp = 0.58 ol + 1.00
melt Experiments of Sekine and Wyllie (1983) simulated the
reaction of granitic melt derived from sediments with man-
tle peridotite under P–T conditions reached in subduction
zones. Their results suggest that hybrid reaction zones form
in the mantle wedge that are characterized by orthopyrox-
ene- and clinopyroxene-rich veins in the absence of olivine. Garnet, quartz and phlogopite might form as well, the latter
being an important supplier of potassium to partial melts
(Sekine and Wyllie 1983). More recent reaction experi-
ments of sediment melt and dunite confirmed the formation
of phlogopite-pyroxenites and K-rich magmas under P–T
conditions of a subduction zone (1 GPa, < 1000 °C; Förster
et al. 2019). Geochemical characteristics of western Ana-
tolian volcanics resemble those of Limnos and were inter-
preted to be generated by melting of phlogopite-rich veins
in subduction-metasomatized lithospheric mantle (Dilek and
Altunkaynak 2010). Condamine and Médard (2014) also
emphasized the importance of phlogopite for the generation
of potassic magmas. The presence of residual phlogopite in
the mantle is supported by low Ba/Rb, K/La, and high Rb/Sr
ratios (Furman and Graham 1999) which we observe in the
Limnos lavas (Fig. 7). Low CaO/Al2O3 (~ 0.29) and low con-
tents of CaO (~ 4.5 wt.%) and Sc (~ 14 µg/g) in the Limnos
samples can also be related to a phlogopite-bearing mantle
source (Miller et al. 1999). Based on these findings we sug-
gest that the source rock of the Limnos primary magmas was
dominated by orthopyroxene, clinopyroxene and phlogopite. Melt contributions from surrounding peridotite can be con-
sidered relatively small, because of the much lower solidus
temperature of pyroxenite at pressures < 1 GPa and with lit-
tle involvement of released volatiles (Lambart et al. 2016). (phl = phlogopite; opx = orthopyroxene; cpx = clinopyrox-
ene; sp = spinel; ol = olivine). Since olivine is consumed during the reaction between
sediment melt and peridotite, the modified melt reaction for
an olivine-free phlogopite-pyroxenite would be: 0.31phl + 0.36 opx + 0.30 cpx + 0.03 sp = 1.00 melt. Small amounts of spinel (~ 1%) are negligible for the
modelling due to their low distribution coefficients but have
been included nevertheless as spinel is likely to occur as
a minor or accessory mineral in mantle rocks at moderate
pressures (~ 1 GPa). Potential crustal assimilation in the Limnos magmas Data sets
of Aegean magmas (as in Fig. 5), Cycladic basement rocks (Büttner
et al. 2005; Stouraiti et al. 2017) and Nile fan sediments (Klaver et al. 2015) are shown for comparison 1 Contributions to Mineralogy and Petrology (2022) 177: 73 73
Page 14 of 20 73
Page 14 of 20 73 gneiss (Büttner et al. 2005) or a sediment melt derived from
melting experiments of a metapelitic starting material (Her-
mann and Rubatto 2009; run C-1578 at 900 °C, 3.5 GPa and
6% H2O added). The resulting REE compositions were used
for modelling non-modal batch melting at variable degrees
of melting (Fig. 8, dashed lines). The partition coefficients
used for the melting model are presented in Table 2. Com-
paring the REE ratios of the intermediate Limnos magmas
(< 60 wt.% SiO2) to the modelled compositions allows us to
estimate the degree of partial melting and the influence of
different source rock mineralogies (Fig. 8). Therefore the K/La variation in the Limnos magmas may be
explained by a mixture of clastic sediments, such as arkoses
and pelites (high K/La, low 143Nd/144Nd), and more lime-
stone-rich sediments (low K/La, higher 143Nd/144Nd) derived
from the subducted Apulian slab. We conclude that subduc-
tion of the Apulian sedimentary sequence and its interaction
with the mantle wedge controlled the incompatible element
composition and the Sr, Nd, and Pb isotope composition
of the parental Limnos magmas. Interaction of mantle with
slab-derived sediments or partial melts from the sediments
generated a heterogenous source that gave rise to the high-K
calc-alkaline and shoshonitic magmas. f
Condamine and Médard (2014) suggested the following
melt reaction for a phlogopite-lherzolite above 1075 °C: Melting model for the Limnos parental melts The REE concentrations of the Lim-
nos magmas can be modelled by assuming the following
composition for the hybridized mantle rock: 5% phl, 20%
cpx, 74% opx, 1% sp (Fig. 8a). According to this model,
the samples of Limnos require about 5 to 10% partial melt-
ing after mixing of DMM with either 10 to 20% of bulk
Ios gneiss (Fig. 8a) or 2 to 5% of experimental sediment
melt (Fig. 8b). The melting behaviour of this phlogopite-
pyroxenite is compared to other typical mantle lithologies
in Fig. 8b–d. Melting of spinel peridotite (Fig. 8c) shows
similar melting curves to the phlogopite pyroxenite (Fig. 8a)
but requires pretty low melting degrees < 4%. A garnet peri-
dotite source may provide suitable Sm/Yb ratios even at low
amounts of sedimentary material in the mixture (< 5%) but
fails to reproduce the high La/Sm ratios of the Limnos mag-
mas (Fig. 8d). We conclude that the REE contents of Limnos
can be explained by 5 to 10% partial melting of a pyroxenite
containing 5% phlogopite. Most of the intermediate shoshonitic magmas of Limnos
(< 60 wt.% SiO2) differ from the high-K samples in hav-
ing slightly higher middle REE concentrations and Sm/Yb
ratios. A higher amount of sedimentary material could lead
to a higher amount of phlogopite involved during partial
melting, which at the same time increased the K content in
the melt. Higher Nb/Yb, Th/Nd, Sm/Yb ratios and higher
concentrations of Cs, Rb, Zr and U in most of the shosho-
nitic compared to the high-K magmas (Fig. 5) indicate that
both, a variable input of sedimentary material and variable We use REE modelling to test a potential melting regime
of the Limnos magmas by comparing variable mixing end-
members and source mineralogies (Fig. 8). The composi-
tion of the hybridized mantle source for the melt modelling
was determined by mixing DMM (Workman and Hart 2005)
with up to 20% of sedimentary material (Fig. 8, solid lines). Melting model for the Limnos parental melts (d) Garnet peridotite: DMM-
sediment melt mixture 0
2
4
6
8
10
12
0
2
4
6
8
10
12
14
(Sm/Yb)N
Phl-pyroxenite: 5% phl, 20% cpx, 74% opx, 1% sp
0.31phl + 0.30cpx + 0.36opx + 0.03sp = 1.00melt
DMM
Ios
10%
5%
5% Ios
10% Ios
20% Ios
a
0
2
4
6
8
10
12
0
2
4
6
8
10
12
14
Phl-pyroxenite: 5% phl, 20% cpx, 74% opx, 1% sp
0.31phl + 0.30cpx + 0.36opx + 0.03sp = 1.00melt
DMM
SM
10%
5%
10% SM
5% SM
2% SM
b
0
2
4
6
8
10
12
0
2
4
6
8
10
12
14
(Sm/Yb)N
(La/Sm)N
Sp-peridotite: 3% sp, 12% cpx, 27% opx, 58% ol
0.13sp + 0.5cpx + 0.27opx + 0.10ol = 1.00melt
SM
5% SM
10% SM
2% SM
DMM
10%
5%
3%
c
0
2
4
6
8
10
12
0
2
4
6
8
10
12
14
(La/Sm)N
Gt-peridotite: 5% gt, 10% cpx, 30% opx, 55% ol
0.50gt + 0.40cpx + 0.05opx + 0.05ol = 1.00melt
DMM
SM
5% SM
0.5%
SM
5%
10%
1% SM
d
Rhodope
Maronia-Leptokaria
Limnos (this study; publ.)
HKCA
Shoshonitic
Monzonite
Aegean magmas (publ.)
Samothraki
Lesbos
SAVA d Fig. 8 Chondrite normalized La/Sm vs. Sm/Yb ratios for Limnos
and Aegean magmas with SiO2 < 60 wt.%. For references see Fig. 5. Melting curves are shown for different potential source rock mixtures
of depleted MORB mantle (DMM, Workman and Hart 2005) and a
crustal slab component (Ios gneiss or sediment melt (SM), bold lines)
at variable partial melting degrees (dashed lines). The modal amounts
of the minerals in the source and involved in the melting is given in the box. Abbr.: phl = phlogopite, cpx = clinopyroxene, opx = orthopy-
roxene, sp = spinel, gt = garnet, ol = olivine (a) Phlogopite pyroxenite:
DMM-Ios gneiss mixture; melt reaction modified after Condamine
and Médard (2014). (b) Phlogopite pyroxenite: DMM-sediment melt
mixture. (c) Spinel peridotite: DMM-sediment melt mixture; melt
reaction after Thirlwall et al. (1994). (d) Garnet peridotite: DMM-
sediment melt mixture Myrina (Pe-Piper et al. 2009). Whereas the previous melting
model of the Limnos magmas assumed a source of metaba-
saltic amphibolite (Pe-Piper et al. (2009), our new model
suggests a pyroxenitic source that can explain the high Sr/Y
and Sr concentrations in Limnos samples (~ 1000 µg/g), i.e. Melting model for the Limnos parental melts partial melting of a plagioclase-free source (Castillo 2012). This new model is in agreement with the massive subduction
of sedimentary material at the time of magmatic activity on
Limnos. Myrina (Pe-Piper et al. 2009). Whereas the previous melting
model of the Limnos magmas assumed a source of metaba-
saltic amphibolite (Pe-Piper et al. (2009), our new model
suggests a pyroxenitic source that can explain the high Sr/Y
and Sr concentrations in Limnos samples (~ 1000 µg/g), i.e. partial melting of a plagioclase-free source (Castillo 2012). This new model is in agreement with the massive subduction
of sedimentary material at the time of magmatic activity on
Limnos. melting degrees controlled the formation of shoshonitic vs. high-K magmas. This is in accordance with models from
the Maronia-Leptokaria high-K calc-alkaline to shoshonitic
rocks where it is believed that variable source enrichment by
subducted sediments caused lower water contents and lower
degrees of melting at higher temperatures for shoshonitic
relative to high-K calc-alkaline magmas (Perkins et al. 2018;
Schaarschmidt et al. 2021b). This agrees with lower water
contents estimated in the Limnos shoshonitic compared to
the high-K lavas (Table 1). Yet, in contrast to the Maro-
nia–Leptokaria magmas, magmatism at Limnos evolves
with time from dominantly shoshonitic magmatism at south-
ern Katalakon and Romanou (22.3 ± 0.7 Ma) to younger
(21–18 Ma) high-K magmatism at northern Katalakon and Melting model for the Limnos parental melts As sedimentary mixing endmember we use either bulk Ios 3 1 3 Contributions to Mineralogy and Petrology (2022) 177: 73 Page 15 of 20
73 Page 15 of 20
73 73 Contributions to Mineralogy and Petrology (2022) 177: 73
Page 15 of 20
73
0
2
4
6
8
10
12
0
2
4
6
8
10
12
14
(Sm/Yb)N
Phl-pyroxenite: 5% phl, 20% cpx, 74% opx, 1% sp
0.31phl + 0.30cpx + 0.36opx + 0.03sp = 1.00melt
DMM
Ios
10%
5%
5% Ios
10% Ios
20% Ios
a
0
2
4
6
8
10
12
0
2
4
6
8
10
12
14
Phl-pyroxenite: 5% phl, 20% cpx, 74% opx, 1% sp
0.31phl + 0.30cpx + 0.36opx + 0.03sp = 1.00melt
DMM
SM
10%
5%
10% SM
5% SM
2% SM
b
0
2
4
6
8
10
12
0
2
4
6
8
10
12
14
(Sm/Yb)N
(La/Sm)N
Sp-peridotite: 3% sp, 12% cpx, 27% opx, 58% ol
0.13sp + 0.5cpx + 0.27opx + 0.10ol = 1.00melt
SM
5% SM
10% SM
2% SM
DMM
10%
5%
3%
c
0
2
4
6
8
10
12
0
2
4
6
8
10
12
14
(La/Sm)N
Gt-peridotite: 5% gt, 10% cpx, 30% opx, 55% ol
0.50gt + 0.40cpx + 0.05opx + 0.05ol = 1.00melt
DMM
SM
5% SM
0.5%
SM
5%
10%
1% SM
d
Rhodope
Maronia-Leptokaria
Limnos (this study; publ.)
HKCA
Shoshonitic
Monzonite
Aegean magmas (publ.)
Samothraki
Lesbos
SAVA
Fig. 8 Chondrite normalized La/Sm vs. Sm/Yb ratios for Limnos
and Aegean magmas with SiO2 < 60 wt.%. For references see Fig. 5. Melting curves are shown for different potential source rock mixtures
of depleted MORB mantle (DMM, Workman and Hart 2005) and a
crustal slab component (Ios gneiss or sediment melt (SM), bold lines)
at variable partial melting degrees (dashed lines). The modal amounts
of the minerals in the source and involved in the melting is given in
the box. Abbr.: phl = phlogopite, cpx = clinopyroxene, opx = orthopy-
roxene, sp = spinel, gt = garnet, ol = olivine (a) Phlogopite pyroxenite:
DMM-Ios gneiss mixture; melt reaction modified after Condamine
and Médard (2014). (b) Phlogopite pyroxenite: DMM-sediment melt
mixture. (c) Spinel peridotite: DMM-sediment melt mixture; melt
reaction after Thirlwall et al. (1994). Tectonic framework of the Limnos magmatic system Limnos largely consists of Eocene to Oli-
gocene clastic flysch sediments representing deposits of an
accretionary wedge in the fore-arc region of the Oligocene
magmatic arc situated in the Rhodopes (Görür and Okay
1996; Maravelis et al. 2016). The Limnos volcanic rocks
largely rest on marine clastic sediments of the Late Oligo-
cene to Early Miocene Ifestia Unit that show an erosional top
and are overlain by the continental Therma Unit implying
rapid uplift (Innocenti et al. 2009). An interpretation of the
fault systems on Limnos indicates that this uplift is prob-
ably due to Middle Oligocene to Early Miocene collision
between Apulia and Eurasia (Innocenti et al. 1994; Tranos
2009). Thus, the setting of the Limnos magmatic activity in
the Oligocene closely resembled that of the presently active
SAVA with rapid vertical movements due to changes in the
dynamics of the fore-arc and arc region of the migrating
subduction zone. Tectonic reconstructions also suggest that
the active volcanic arc was close to the Limnos region 23
million years ago (Faccenna et al. 2014). Seismic data show
an unusually thick lithosphere of possibly 150 km beneath
the northern Aegean (Sodoudi et al. 2006), i.e. there is no
indication of asthenospheric upwelling and lithospheric thin-
ning beneath Limnos. Furthermore, the isotopic and trace
element composition of the Limnos magmas reveals melting
of a heterogeneous, hydrous mantle source that was affected
by slab-derived crustal components. We conclude that the
magmatism of Limnos reflects partial melting above the sub-
ducting slab and its southward-directed rollback that caused
migration of the magmatic activity (Innocenti et al. 1994;
Schaarschmidt et al. 2021a). Tectonic framework of the Limnos magmatic system The formation of the Miocene Limnos magmas has been
related on one hand to the subduction at the southwards 1 3 Contributions to Mineralogy and Petrology (2022) 177: 73 73
Page 16 of 20 Contributions to Mineralogy and Petrology (2022) 177: 73
73
Page 16 of 20
Table 2 Selected partition
coefficients for clinopyroxene
(cpx), orthopyroxene (opx),
olivine (ol), garnet (gt)
and spinel (sp) used for the
modelling of equilibrium
melting
a McDade et al. (2003a)
b Fujimaki et al. (1984)
c Stracke et al. (2003)
d McDade et al. (2003b)
e Johnson (1998)
Dcpx
Dopx
Dol
Dphl
Dgt
Dsp
Phl-pyroxenite
La
0.043a
0.003a
–
0.0413b
–
0.0006c
Sm
0.363a
0.021a
–
0.0255b
–
0.001c
Yb
0.543a
0.164a
–
0.0484b
–
0.0045c
Gt-peridotite
La
0.043a
0.003a
0.0000082d
–
0.001e
–
Sm
0.363a
0.021a
0.00086d
–
0.25e
–
Yb
0.543a
0.164a
0.036d
–
6.6e
–
Sp-peridotite
La
0.071d
0.0008d
0.0000082d
–
–
0.0006c
Sm
0.459d
0.0251d
0.00032d
–
–
0.001c
Yb
0.76d
0.168d
0.0096d
–
–
0.0045c migrating Aegean volcanic arc (Innocenti et al. 1994), and
on the other hand to post-orogenic slab detachment and
asthenospheric upwelling (Pe-Piper et al. 2009). Thus, the
tectonic situation of the Limnos region at the time of mag-
matic activity needs to be considered to understand the cause
of partial melting. Limnos largely consists of Eocene to Oli-
gocene clastic flysch sediments representing deposits of an
accretionary wedge in the fore-arc region of the Oligocene
magmatic arc situated in the Rhodopes (Görür and Okay
1996; Maravelis et al. 2016). The Limnos volcanic rocks
largely rest on marine clastic sediments of the Late Oligo-
cene to Early Miocene Ifestia Unit that show an erosional top
and are overlain by the continental Therma Unit implying
rapid uplift (Innocenti et al. 2009). An interpretation of the
fault systems on Limnos indicates that this uplift is prob-
ably due to Middle Oligocene to Early Miocene collision
between Apulia and Eurasia (Innocenti et al. 1994; Tranos
2009). Thus, the setting of the Limnos magmatic activity in
the Oligocene closely resembled that of the presently active
SAVA with rapid vertical movements due to changes in the
dynamics of the fore-arc and arc region of the migrating
subduction zone. Tectonic reconstructions also suggest that
the active volcanic arc was close to the Limnos region 23
million years ago (Faccenna et al. 2014). Tectonic framework of the Limnos magmatic system Seismic data show
an unusually thick lithosphere of possibly 150 km beneath
the northern Aegean (Sodoudi et al. 2006), i.e. there is no
indication of asthenospheric upwelling and lithospheric thin-
ning beneath Limnos. Furthermore, the isotopic and trace
element composition of the Limnos magmas reveals melting
of a heterogeneous, hydrous mantle source that was affected
by slab-derived crustal components. We conclude that the
magmatism of Limnos reflects partial melting above the sub-
ducting slab and its southward-directed rollback that caused
migration of the magmatic activity (Innocenti et al. 1994;
Schaarschmidt et al. 2021a). The tectonic models of the Aegean subduction zone sug-
gest accretion and partial subduction of continental blocks
belonging to the Apulian block during Oligocene and a
change to subduction of the oceanic lithosphere of the east-
ern Mediterranean ~ 23 Ma ago (Ring et al. 2010; Jolivet
et al. 2013). Thus, at the time of magma formation beneath
Limnos between 22 and 18 Ma, significant volumes of con-
tinental crustal material of the Apulia block were already
subducted and have likely affected the mantle wedge caus-
ing the extreme isotopic compositions of Upper Miocene
Aegean magmas. The processes at the Oligocene–Miocene
North Aegean arc may have resembled those occurring at
the Banda Arc where parts of the Australian continental
lithosphere are subducted causing extreme element enrich-
ments in arc magmas (e.g. Elburg et al. 2005), whereas other
lithospheric parts are accreted (Harris 2011). Additionally,
the subduction of the continental lithospheric blocks causes
uplift in the Banda Arc (Harris 2011) which is consistent
with the uplift observed in the sediment succession of Lim-
nos prior to and during the magmatic activity (Innocenti
et al. 1994). We conclude that the magmatic and tectonic
evolution of Limnos can be explained by the subduction of
continental material of the Apulian block and we present the
first comprehensive model for the geologic processes in this
part of the northern Aegean. migrating Aegean volcanic arc (Innocenti et al. 1994), and
on the other hand to post-orogenic slab detachment and
asthenospheric upwelling (Pe-Piper et al. 2009). Thus, the
tectonic situation of the Limnos region at the time of mag-
matic activity needs to be considered to understand the cause
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the Fakos monzonite are genetically related and underwent
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73 of 20
73 Contributions to Mineralogy and Petrology (2022) 177: 73 The radiogenic isotope and incompatible element composi-
tions of the Limnos magmatic rocks indicate the input of
a continental sediment component to the depleted mantle
wedge, and this component changed from that previously
observed in older rocks from the northern Aegean. We sug-
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tion of the subduction component. J Geophys Res 106:589–608 Publisher's Note Springer Nature remains neutral with regard to
jurisdictional claims in published maps and institutional affiliations. Declarations Taymaz T, Yilmaz Y, Dilek Y (2007) The geodynamics of the Aegean
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continental lithosphere and the Iceland plume: Sr-Nd-Pb 1 3 3
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(vooraanvraag niet-WMO verklaring)
Onderzoeksprotocol (vooraanvraag niet-WMO verklaring)
Onderzoeksprotocol Pagina 1 van 10
(vooraanvraag niet-WMO verklaring)
Algemene gegevens
Titel
COPIED-STUDIE
Cognitieve obstakels & Omwegen bij Parkinson:
Informatieverwerkingstips voor Elke Dag
Een onderzoek naar compensatiestrategieën vanuit
patiëntperspectief
Datum
1 oktober 2020
Versienummer
Indiener
Dr. Ingrid Sturkenboom
Coördinerende
onderzoeker
Dr. Ingrid Sturkenboom (Radboudumc), Dr. Esther Steultjens (HAN)
Hoofdonderzoeker(s)
Drs. Marina Noordegraaf , Verbeeldingskr8, gastmedewerkster
Radboudumc
Opdrachtgever (verrichter)
Radboudumc
Onderzoekgegevens
Rationale
Een aanzienlijk deel van mensen met parkinson heeft last van
obstakels in het cognitief functioneren, vaak al voor de diagnose. Denk
daarbij aan problemen met aandacht en concentratie, geheugen,
snelheid van denken en handelen, overzicht houden en planning,
prikkelverwerking en het uitvoeren van (dubbel)taken. Onderzoek en
behandeling richten zich vooralsnog voornamelijk op de - meer
zichtbare - motorische symptomen. Aandacht voor cognitieve
symptomen groeit weliswaar, maar dat leidt nog niet tot
wetenschappelijk onderbouwde, praktisch toepasbare hulpmiddelen Algemene gegevens
Titel
COPIED-STUDIE
Cognitieve obstakels & Omwegen bij Parkinson:
Informatieverwerkingstips voor Elke Dag
Een onderzoek naar compensatiestrategieën vanuit
patiëntperspectief
Datum
1 oktober 2020
Versienummer
Indiener
Dr. Ingrid Sturkenboom
Coördinerende
onderzoeker
Dr. Ingrid Sturkenboom (Radboudumc), Dr. Esther Steultjens (HAN)
Hoofdonderzoeker(s)
Drs. Marina Noordegraaf , Verbeeldingskr8, gastmedewerkster
Radboudumc
Opdrachtgever (verrichter)
Radboudumc Onderzoekgegevens
Rationale
Een aanzienlijk deel van mensen met parkinson heeft last van
obstakels in het cognitief functioneren, vaak al voor de diagnose. Denk
daarbij aan problemen met aandacht en concentratie, geheugen,
snelheid van denken en handelen, overzicht houden en planning,
prikkelverwerking en het uitvoeren van (dubbel)taken. Onderzoek en
behandeling richten zich vooralsnog voornamelijk op de - meer
zichtbare - motorische symptomen. Aandacht voor cognitieve
symptomen groeit weliswaar, maar dat leidt nog niet tot
wetenschappelijk onderbouwde, praktisch toepasbare hulpmiddelen Onderzoekgegevens Onderzoeksprotocol COPIED studie – sept 2020 voor de cognitieve obstakels die patiënten in het dagelijkse leven
ervaren. In de tussentijd zijn mensen met parkinson zelf ontzettend
creatief in het vinden van omwegen waardoor ze hun dagelijkse
activiteiten toch uit kunnen voeren. Het zijn deze omwegen die de
onderzoekers van de COPIED*-studie gaan ophalen. Eerst wordt een
indeling gemaakt van de obstakels en omwegen die al zijn verzameld
tijdens de training ‘Parkinson? Houd je aandacht erbij!’ van de
Parkinson Vereniging. Dat gebeurt aan de hand met een
wetenschappelijk getoetst model voor informatieverwerking (het
PRPP-model). Vervolgens scherpt het onderzoeksteam de aard van de
obstakels en omwegen aan met een aantal groepsbijeenkomsten en
een enquête. Dan volgt de vertaalslag naar een zelfhulptool en gaat de
doelgroep er ook echt mee aan de slag. (vooraanvraag niet-WMO verklaring)
Onderzoeksprotocol Nadat de onderzoekers
hebben gevraagd wat er goed en minder goed werkt, volgt een
verbeterslag. Tot slot zetten ze de uiteindelijke zelfhulptool zo breed
mogelijk uit onder patiënten en hun omgeving, die met de tool de tips
van medepatiënten en hun naasten kunnen gebruiken. Doel
Inventariseren en visualiseren van - door patiënten en hun partners
werkzaam geachte – omwegen voor het hanteren van cognitieve
obstakels bij parkinson. Met dit ontwerpgerichte, toegepaste
onderzoek willen we de collectieve wijsheid van patiënten en hun
partners in hun dagelijkse omgang met de cognitieve obstakels die de
ziekte van Parkinson met zich mee kan brengen, zichtbaar maken en
benutten. Dat doen we door de strategieën die patiënten zelf
gebruiken te verzamelen, te ordenen en te delen. Het uiteindelijke
doel is dat er een zelfhulptool beschikbaar komt die gebruikt kan
worden door mensen met parkinson en hun omgeving om cognitieve
obstakels te bespreken en te omzeilen. Subdoelstellingen zijn:
I. Een verdiepende inventarisatie van cognitieve obstakels en
omwegen bij het verwerken van informatie bij mensen met de ziekte voor de cognitieve obstakels die patiënten in het dagelijkse leven
ervaren. In de tussentijd zijn mensen met parkinson zelf ontzettend
creatief in het vinden van omwegen waardoor ze hun dagelijkse
activiteiten toch uit kunnen voeren. Het zijn deze omwegen die de
onderzoekers van de COPIED*-studie gaan ophalen. Eerst wordt een
indeling gemaakt van de obstakels en omwegen die al zijn verzameld
tijdens de training ‘Parkinson? Houd je aandacht erbij!’ van de
Parkinson Vereniging. Dat gebeurt aan de hand met een
wetenschappelijk getoetst model voor informatieverwerking (het
PRPP-model). Vervolgens scherpt het onderzoeksteam de aard van de
obstakels en omwegen aan met een aantal groepsbijeenkomsten en
een enquête. Dan volgt de vertaalslag naar een zelfhulptool en gaat de
doelgroep er ook echt mee aan de slag. Nadat de onderzoekers
hebben gevraagd wat er goed en minder goed werkt, volgt een
verbeterslag. Tot slot zetten ze de uiteindelijke zelfhulptool zo breed
mogelijk uit onder patiënten en hun omgeving, die met de tool de tips
van medepatiënten en hun naasten kunnen gebruiken. Subdoelstellingen zijn: Pagina 2 van 10 Onderzoeksprotocol COPIED studie – sept 2020 van Parkinson. II. Koppelen van de gevonden omwegen aan wetenschappelijke
theorieën over dagelijks functioneren en het inzetten van cognitieve
strategieën. III. Ontwikkelen en implementeren van een wetenschappelijk
onderbouwde zelfhulptool met omwegen voor cognitieve obstakels bij
parkinson. (vooraanvraag niet-WMO verklaring)
Onderzoeksprotocol Studie design
Ontwerpgericht (toegepast) wetenschappelijk
Fase I: Verdiepen (Kwartaal 1, 2020)
Tijdens twee focusgroepbijeenkomsten worden de reeds opgehaalde
cognitieve obstakels en omwegen verdiept. We halen niet alleen input
op over de ervaren obstakels en omwegen zelf, maar ook over het
proces om deze boven tafel te krijgen. We willen weten hoe we – in de
inventariserende enquête die daarop volgt - zo gericht mogelijk vragen
kunnen stellen die aansluiten bij de dagelijkse situatie van de patiënt. Fase 2: Verifiëren en prioriteren (Kwartaal 2, 2020)
Met een online inventariserende enquête onderzoeken we of de
geïnventariseerde obstakels, symptoomversterkers en omwegen
herkenbaar zijn voor een grotere groep mensen met parkinson. De
enquête bestaat deels uit gesloten vragen waarbij patiënten en hun
naasten aangeven in welke mate ze een obstakel en omweg
herkennen (kwantitatieve data). Daarnaast vragen wij middels open
vragen om toelichting en verdiepende informatie (kwalitatieve data). Naast de enquête sturen we de onderzoeksdeelnemers een korte -
voor de ziekte van Parkinson gevalideerde - functionele vragenlijst: De
PD-CFRS (Parkinson’s Disease-Cognitive Functional Rating Scale). Deze
vragenlijst meet relevante functionele veranderingen gerelateerd aan
milde cognitieve stoornissen bij parkinson. Hiermee kunnen wij de
populatie beschrijven. Tijdens twee focusgroepbijeenkomsten worden de reeds opgehaalde
cognitieve obstakels en omwegen verdiept. We halen niet alleen input
op over de ervaren obstakels en omwegen zelf, maar ook over het
proces om deze boven tafel te krijgen. We willen weten hoe we – in de
inventariserende enquête die daarop volgt - zo gericht mogelijk vragen
kunnen stellen die aansluiten bij de dagelijkse situatie van de patiënt. Fase 2: Verifiëren en prioriteren (Kwartaal 2, 2020) Fase 2: Verifiëren en prioriteren (Kwartaal 2, 2020) Met een online inventariserende enquête onderzoeken we of de
geïnventariseerde obstakels, symptoomversterkers en omwegen
herkenbaar zijn voor een grotere groep mensen met parkinson. De
enquête bestaat deels uit gesloten vragen waarbij patiënten en hun
naasten aangeven in welke mate ze een obstakel en omweg
herkennen (kwantitatieve data). Daarnaast vragen wij middels open
vragen om toelichting en verdiepende informatie (kwalitatieve data). Naast de enquête sturen we de onderzoeksdeelnemers een korte -
voor de ziekte van Parkinson gevalideerde - functionele vragenlijst: De
PD-CFRS (Parkinson’s Disease-Cognitive Functional Rating Scale). Deze
vragenlijst meet relevante functionele veranderingen gerelateerd aan
milde cognitieve stoornissen bij parkinson. Hiermee kunnen wij de
populatie beschrijven. Pagina 3 van 10 Pagina 3 van 10 Onderzoeksprotocol COPIED studie – sept 2020 P
i
4
10
Fase 3: Zelfhulptool ontwikkelen en evalueren (Kwartaal 3 en 4, 2020)
Met de resultaten uit de focusgroep bijeenkomst en enquête wordt
een zelfhulptool ontwikkeld. Afhankelijk van de onderzoeksresultaten
kan deze bijvoorbeeld de vorm aannemen van een poster, kwartet,
waaier, app. Het gebruik en de bruikbaarheid van de zelfhulptool
wordt na een testperiode van 2 maanden bij een kleine groep
gebruikers vastgesteld via semigestructureerde interviews . Fase 4: Implementatie (Kwartaal 1, 2021)
Bijstellen en implementeren van de zelfhulptool Met de resultaten uit
stap 4 wordt de zelfhulptool waar nodig bijgesteld. Studie populatie
Mensen met parkinson en hun partners. Bij de werving streven we
naar voldoende diversiteit (geslacht, leeftijdsgroep, culturele
achtergrond, patiënt/partner, aard en ernst van de ervaren
beperkingen). In fase 1: Verdiepen gaan we per focusgroep uit van 6 mensen met
parkinson en 2 partners/belangrijke anderen. Inclusiecriteria
Inclusiecriteria zijn:
- een zelfgerapporteerde diagnose (idiopathische) ziekte van
Parkinson of een betrokken volwassen naaste partner van iemand met
parkinson. - ervaren cognitieve beperkingen bij het dagelijks functioneren
Voor Fase 1: Verdiepen, geldt nog een extra inclusiecriterium:
Bereid en in staat om te reizen naar en deel te nemen aan een
bijeenkomst van twee uur. Informed consent tijdens
inclusie
Fase 1: Verdiepen. De betrokken personen ontvangen een informatiebrief voor deelname
aan de focusgroepbijeenkomst. Deze nemen ze ondertekend mee naar de
bijeenkomst. De deelnemer behoudt een exemplaar van de getekende
toestemmingsverklaring. Fase 3: Zelfhulptool ontwikkelen en evalueren (Kwartaal 3 en 4, 2020) Met de resultaten uit de focusgroep bijeenkomst en enquête wordt
een zelfhulptool ontwikkeld. Afhankelijk van de onderzoeksresultaten
kan deze bijvoorbeeld de vorm aannemen van een poster, kwartet,
waaier, app. Fase 2: Verifiëren en prioriteren (Kwartaal 2, 2020) Het gebruik en de bruikbaarheid van de zelfhulptool
wordt na een testperiode van 2 maanden bij een kleine groep
gebruikers vastgesteld via semigestructureerde interviews . Onderzoeksprotocol COPIED studie – sept 2020 Fase 2: Verifiëren en prioriteren. De inventariserende enquête wordt digitaal afgenomen. Tijdens de
introductie van de enquête worden respondenten duidelijk geïnformeerd
over de inhoud van het onderzoek en hun rechten en wordt hen om
toestemming gevraagd om de data te verzamelen, te analyseren en
geanonimiseerd te delen. Door de enquête in te vullen, stemmen ze
hiermee in. Fase 3: Zelfhulptool ontwikkelen en evalueren. De betrokken personen ontvangen een informatiebrief en
toestemmingsformulier welke ondertekend teruggestuurd moet worden. De deelnemer behoudt een exemplaar van de getekende
toestemmingsverklaring. Exclusiecriteria
Exclusiecriteria zijn:
Voor Fase 1: Verdiepen is het exclusiecriterium als volgt: Mensen die
aanwezig waren bij de extra ‘omwegen bijeenkomst’ tijdens de
najaarseditie van 2019 van de cursus ‘Parkinson? Houd je aandacht
erbij!’ van de Parkinson Vereniging. Voor alle fasen: niet in staat (in het Nederlands) te communiceren. Aantal proefpersonen/
sample grootte
Fase 1: Verdiepen
Er worden twee focusgroepbijeenkomsten (2 x n =8) gehouden. Gezien de informatie die al verzameld is in het voortraject voorafgaan
aan deze studie, verwachten we met n = 16 het punt van verzadiging
te bereiken. Per focusgroep doen n=6 mensen met parkinson en n=2
partners/belangrijke anderen mee. Fase 2: Verifiëren en prioriteren
De inventariserende enquête wordt in Nederland en Vlaanderen
uitgezet via verschillende kanalen. Het streefgetal is 250 deelnemers. We verwachten zeker dat dit haalbaar is gezien de resultaten van een
andere recente enquête bij mensen met parkinson die in korte tijd Fase 2: Verifiëren en prioriteren. De inventariserende enquête wordt digitaal afgenomen. Tijdens de
introductie van de enquête worden respondenten duidelijk geïnformeerd
over de inhoud van het onderzoek en hun rechten en wordt hen om
toestemming gevraagd om de data te verzamelen, te analyseren en
geanonimiseerd te delen. Door de enquête in te vullen, stemmen ze
hiermee in. Pagina 5 van 10 door 800 mensen was ingevuld. Fase 3: Zelfhulptool ontwikkelen en evalueren
De tool wordt - met een duidelijke instructie voor gebruik - uitgezet
onder n = 15 (15 patiënten en zo mogelijk hun naasten). We
verwachten met 15 gebruikers het punt van verzadiging te bereiken
(Guest, 2016). Werving proefpersonen
De werving vindt plaats via de Parkinson Vereniging, de Vlaamse
Parkinson Liga, het netwerk van de klankbordgroep en ParkinsonNext. Interventie
Fase 1: Verdiepen. Twee focusgroepbijeenkomsten. Fase 2: Verifiëren en prioriteren (Kwartaal 2, 2020) Fase 2: Verifiëren en prioriteren. Inventariserende enquête. Fase 3: Zelfhulptool ontwikkelen en evalueren. Gebruik van de zelfhulptool thuis gevolgd door een
semigestructureerd interview. Standaardzorg /
Standaardbehandeling
Deze interventie maakt nog geen deel uit van de standaardzorg. Wel
draagt dit onderzoek bij aan meer kennis over gepersonaliseerde
interventiemogelijkheden bij cognitieve problemen als gevolg van
parkinson. Het is de bedoeling dat de te ontwikkelen zelfhulptool de
eigen regie en het zelfmanagement van de persoon met parkinson en
zijn/haar omgeving op een praktische manier ondersteunt. De tool is
behulpzaam voor patiënten zelf, bij gesprekken tussen patiënten en
naasten onderling en ook bij gesprekken tussen patiënten, naasten en
zorgprofessionals over (para)medische behandelingen op cognitief
gebied. Aan de hand van de tool kunnen patiënten hun voorkeuren en
verwachtingen over cognitieve strategieën delen met
zorgprofessionals. Omdat de omwegen gekoppeld zijn aan de
methodiek die ergotherapeuten zelf gebruiken, wordt het makkelijker
om de gezamenlijke uitgangspunten helder te krijgen. Zorgprofessionals worden via de tool ondersteund en gestimuleerd
om werkwijzen te gebruiken die aansluiten bij de ervaringen van de door 800 mensen was ingevuld. Onderzoeksprotocol COPIED studie – sept 2020 patiënt. Om de tool voor deze doelen in te zetten, is er bij de
implementatie niet alleen aandacht voor het in gebruik nemen van de
zelfhulptool door patiënten zelf, maar ook door zorgverleners, de
Parkinson Vereniging en door zorgnetwerken zoals ParkinsonNet. Binnen dit project zijn de hiervoor relevante partners
vertegenwoordigd in het projectteam en de klankbordgroep
Studie parameters
Fase 1: Verdiepen en Fase 2: Verifiëren en prioriteren. Fase 1 en 2 leiden tot een geprioriteerd overzicht van obstakels en
omwegen. Welke obstakels doen er het meeste toe? Welke
strategieën om de obstakels te omzeilen zijn het meest behulpzaam? Fase 3: Zelfhulptool ontwikkelen en evalueren. De studieparameters zijn het gebruik van de zelfhulptool (o.a. hoe
vaak is deze gebruikt, welke delen worden voornamelijk gebruikt) en
de bruikbaarheid ervan (o.a. wat is het ervaren nut, hoe begrijpelijk is
de tool, wat vinden de deelnemers van de vorm) bij het bespreken en
inzetten van omwegen bij cognitieve obstakels tijdens het dagelijks
handelen. Analyses
Fase 1: Verdiepen
De bijeenkomst wordt opgenomen (audio) en er wordt een
gepseudonimiseerd transcript gemaakt van de delen die relevant zijn
voor de onderzoeksvraag. Het transcript en de feedback van de
observatoren worden gecodeerd naar categorie van genoemde
obstakels/omwegen. Het coderen gebeurt door de hoofdonderzoeker
en de onderzoeksassistent, onafhankelijk van elkaar. Fase 2: Verifiëren en prioriteren (Kwartaal 2, 2020) Vervolgens
bespreken zij de codering tot er overeenstemming is. Fase 2: Verifiëren en prioriteren
Na de sluitingstermijn van de enquête worden de kwantitatieve data
beschrijvend geanalyseerd met behulp van SPSS. De kwalitatieve data
worden thematisch geanalyseerd naar type cognitief obstakel/omweg
en waar passend gekoppeld aan theorieën van toegepaste cognitie/ De bijeenkomst wordt opgenomen (audio) en er wordt een
gepseudonimiseerd transcript gemaakt van de delen die relevant zijn
voor de onderzoeksvraag. Het transcript en de feedback van de
observatoren worden gecodeerd naar categorie van genoemde
obstakels/omwegen. Het coderen gebeurt door de hoofdonderzoeker
en de onderzoeksassistent, onafhankelijk van elkaar. Vervolgens
bespreken zij de codering tot er overeenstemming is. Fase 2: Verifiëren en prioriteren Fase 2: Verifiëren en prioriteren Na de sluitingstermijn van de enquête worden de kwantitatieve data
beschrijvend geanalyseerd met behulp van SPSS. De kwalitatieve data
worden thematisch geanalyseerd naar type cognitief obstakel/omweg
en waar passend gekoppeld aan theorieën van toegepaste cognitie/
informatieverwerking. Het coderen en categoriseren gebeurt door de Pagina 7 van 10 Onderzoeksprotocol COPIED studie – sept 2020 P
i
8
10
hoofdonderzoeker en de onderzoeksassistent, onafhankelijk van
elkaar. Vervolgens bespreken zij de uitkomsten tot er
overeenstemming is. Fase 3: Zelfhulptool ontwikkelen en evalueren. De interviews worden opgenomen (audio) en er worden
gepseudonimiseerde transcripten gemaakt van de delen die relevant
zijn voor de onderzoeksvraag. De kwalitatieve data worden thematisch
inductief geanalyseerd door de data te coderen en categoriseren
(Hsieh, 2005; van Staa, 2010). Dit gebeurt door de hoofdonderzoeker
en onderzoeksassistent afzonderlijk, waarna ze gezamenlijk tot
consensus komen. De kwantitatieve data worden beschrijvend
geanalyseerd. Voor data-analyse wordt als hulpmiddel Atlas.ti gebruikt. Belasting voor de
proefpersoon
Fase 1: Verdiepen. Focusgroepbijeenkomst van 2 uur, op locatie waarbij we de dan
geldende Corona-regels vanzelfsprekend in acht nemen. Fase 2: Verifiëren en prioriteren. Inventariserende enquête van maximaal 20 minuten. Fase 3: Zelfhulptool ontwikkelen en evalueren. Gebruik van de zelfhulptool thuis (twee maanden lang, minimaal 1 x
per week gedurende minimaal vijf minuten), gevolgd door een
semigestructureerd interview van maximaal een uur, in principe bij de
deelnemers thuis of online indien de deelnemer dat wenst of wegens
Corona noodzakelijk is. Risico voor de
proefpersoon
Geen
Voordelen deelname aan
het onderzoek
Er wordt serieus gekeken naar de eigen inbreng en die inbreng wordt
(niet tot de persoon herleidbaar) verwerkt in een zelfhulptool. Deelnemers zien zo een stukje van hun eigen input terug in de
zelfhulptool, welke na het onderzoek geïmplementeerd wordt voor
gebruik door patiënten en zorgverleners. hoofdonderzoeker en de onderzoeksassistent, onafhankelijk van
elkaar. Vervolgens bespreken zij de uitkomsten tot er
overeenstemming is. Fase 3: Zelfhulptool ontwikkelen en evalueren. De interviews worden opgenomen (audio) en er worden
gepseudonimiseerde transcripten gemaakt van de delen die relevant
zijn voor de onderzoeksvraag. De kwalitatieve data worden thematisch
inductief geanalyseerd door de data te coderen en categoriseren
(Hsieh, 2005; van Staa, 2010). Dit gebeurt door de hoofdonderzoeker
en onderzoeksassistent afzonderlijk, waarna ze gezamenlijk tot
consensus komen. De kwantitatieve data worden beschrijvend
geanalyseerd. Pagina 8 van 10 Onderzoeksprotocol COPIED studie – sept 2020 Nadelen deelname aan
het onderzoek
Mogelijk is het confronterend om met de eigen cognitieve obstakels
geconfronteerd te worden. Fase 2: Verifiëren en prioriteren Pagina 9 van 10 Onderzoeksprotocol COPIED studie – sept 2020 De getekende toestemmingsverklaringen worden door de
hoofdonderzoeker gedigitaliseerd, waarna de papieren versies vernietigd
worden. De deelnemers worden genoteerd op het identificatielog
(studienummer wordt toegekend), zodat de rest van de gegevens
gecodeerd verzameld kan worden. Het identificatielog is alleen
toegankelijk voor de onderzoekers Marina Noordegraaf en Ingrid
Sturkenboom. De overige onderzoeksgegevens staan gescheiden van het
identificatie log. Data delen:
Ook na anonimisatie bestaat de mogelijkheid dat een
interview/gesprekspassage – door indirect identificeerbare data - herleid
kan worden tot een persoon. Dat komt omdat er tijdens de
focusgroepbijeenkomsten en semigestructureerde interviews de diepte in
wordt gegaan en de mogelijkheid bestaat dat er dan dingen uitgewisseld
worden die kunnen leiden tot de identificatie van een persoon. De
transcripten van de focusgroepbijeenkomsten en semigestructureerde
interviews zullen daarom gedeeld worden in restricted access via DANS
EASY (https://easy.dans.knaw.nl/ui/home) of een andere geschikte data
repository. De enquête data worden geheel geanonimiseerd gedeeld in
open access via dezelfde repository. Beide manieren leiden tot FAIR data
(Findable, Accessible, Interoperable, Reusable). Publicatiebeleid en
amendementen
Over dit onderzoek zal verslag worden gedaan via de Parkinson
Vereniging, de blog van de hoofonderzoeker alsmede in de
wetenschappelijke literatuur. De data worden gepubliceerd als FAIR
data. Overige punten van
belang voor de METc De getekende toestemmingsverklaringen worden door de
hoofdonderzoeker gedigitaliseerd, waarna de papieren versies vernietigd
worden. De deelnemers worden genoteerd op het identificatielog
(studienummer wordt toegekend), zodat de rest van de gegevens
gecodeerd verzameld kan worden. Het identificatielog is alleen
toegankelijk voor de onderzoekers Marina Noordegraaf en Ingrid
Sturkenboom. De overige onderzoeksgegevens staan gescheiden van het
identificatie log. Fase 2: Verifiëren en prioriteren Vergoeding voor de
proefpersoon
Fase 1. Verdiepen
De deelnemers aan de focusgroepen krijgen indien van toepassing
reiskostenvergoeding en versnaperingen tijdens de bijeenkomst. Fase 2: Verifiëren en prioriteren. Nvt
Fase 3. Zelfhulptool ontwikkelen en evalueren. De mensen die de zelfhulptool testen, krijgen een nader te bepalen
attentie. Administratieve aspecten
Data verzameling:
In totaal zijn er drie verschillende methoden van data verzameling: de
focusgroepbijeenkomst, de inventariserende enquête en het
semigestructureerde interview. Data opslag, privacy en data veiligheid:
Data van de focusgroepbijeenkomsten en semigestructureerde interviews
wordt opgenomen via een mp3-opnameapparaat met een verbinding met
een laptop met toegang tot het beveiligde netwerk van de Radboudumc
(VMWare Horizon Client). De opname wordt direct na elke
focusgroepbijeenkomst en interview direct doorgesluisd naar een
gedeelde netwerkschijf, in een submap van de map RAW data, te weten
‘Focusgroep data’ en ‘Interview data’. Deze mappen zijn versleuteld. De
opname op het opnameapparaat zelf wordt direct na de bijeenkomst/het
interview gewist. De laptop zelf is beveiligd tegen ongeautoriseerde
toegang met BitLocker. Vervolgens worden de data getranscribeerd en
geanonimiseerd waarna de opnames zelf worden vernietigd. De enquête wordt uitgezet met een beveiligde tool. De enquête wordt
ontworpen volgens de principes van privacy by design. Er wordt niet
gevraagd naar tot de persoon herleidbare gegevens die er niet toe doen
voor de onderzoeksvragen. De data worden opgeslagen in de gedeelde
netwerkschijf in de map RAW data, submap ‘Enquête data’. Data van de focusgroepbijeenkomsten en semigestructureerde interviews
wordt opgenomen via een mp3-opnameapparaat met een verbinding met
een laptop met toegang tot het beveiligde netwerk van de Radboudumc
(VMWare Horizon Client). De opname wordt direct na elke
focusgroepbijeenkomst en interview direct doorgesluisd naar een
gedeelde netwerkschijf, in een submap van de map RAW data, te weten
‘Focusgroep data’ en ‘Interview data’. Deze mappen zijn versleuteld. De
opname op het opnameapparaat zelf wordt direct na de bijeenkomst/het
interview gewist. De laptop zelf is beveiligd tegen ongeautoriseerde
toegang met BitLocker. Vervolgens worden de data getranscribeerd en
geanonimiseerd waarna de opnames zelf worden vernietigd. De enquête wordt uitgezet met een beveiligde tool. De enquête wordt
ontworpen volgens de principes van privacy by design. Er wordt niet
gevraagd naar tot de persoon herleidbare gegevens die er niet toe doen
voor de onderzoeksvragen. De data worden opgeslagen in de gedeelde
netwerkschijf in de map RAW data, submap ‘Enquête data’. Onderzoeksprotocol COPIED studie – sept 2020 Data delen: Ook na anonimisatie bestaat de mogelijkheid dat een
interview/gesprekspassage – door indirect identificeerbare data - herleid
kan worden tot een persoon. Dat komt omdat er tijdens de
focusgroepbijeenkomsten en semigestructureerde interviews de diepte in
wordt gegaan en de mogelijkheid bestaat dat er dan dingen uitgewisseld
worden die kunnen leiden tot de identificatie van een persoon. De
transcripten van de focusgroepbijeenkomsten en semigestructureerde
interviews zullen daarom gedeeld worden in restricted access via DANS
EASY (https://easy.dans.knaw.nl/ui/home) of een andere geschikte data
repository. De enquête data worden geheel geanonimiseerd gedeeld in
open access via dezelfde repository. Beide manieren leiden tot FAIR data
(Findable, Accessible, Interoperable, Reusable). Publicatiebeleid en
amendementen
Over dit onderzoek zal verslag worden gedaan via de Parkinson
Vereniging, de blog van de hoofonderzoeker alsmede in de
wetenschappelijke literatuur. De data worden gepubliceerd als FAIR
data. Overige punten van
belang voor de METc Ook na anonimisatie bestaat de mogelijkheid dat een
interview/gesprekspassage – door indirect identificeerbare data - herleid
kan worden tot een persoon. Dat komt omdat er tijdens de
focusgroepbijeenkomsten en semigestructureerde interviews de diepte in
wordt gegaan en de mogelijkheid bestaat dat er dan dingen uitgewisseld
worden die kunnen leiden tot de identificatie van een persoon. De
transcripten van de focusgroepbijeenkomsten en semigestructureerde
interviews zullen daarom gedeeld worden in restricted access via DANS
EASY (https://easy.dans.knaw.nl/ui/home) of een andere geschikte data
repository. De enquête data worden geheel geanonimiseerd gedeeld in
open access via dezelfde repository. Beide manieren leiden tot FAIR data
(Findable, Accessible, Interoperable, Reusable). Pagina 10 van 10 Onderzoeksprotocol COPIED studie – sept 2020
|
https://openalex.org/W2915932846
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https://europepmc.org/articles/pmc6408997?pdf=render
|
English
| null |
Glucagon-Like Peptide-1 Receptor Agonist Protects Dorsal Root Ganglion Neurons against Oxidative Insult
|
Journal of diabetes research
| 2,019
|
cc-by
| 7,939
|
Received 15 August 2018; Revised 23 November 2018; Accepted 30 December 2018; Published 21 February 2019 Guest Editor: Julia M. dos Santos Copyright © 2019 Mohammad Sarif Mohiuddin et al. 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. Objective. Diabetic polyneuropathy (DPN) is one of the most prevalent diabetic complications. We previously demonstrated that
exendin-4 (Ex4), a glucagon-like peptide-1 receptor agonist (GLP-1RA), has beneficial effects in animal models of DPN. We
hypothesized that GLP-1 signaling would protect neurons of the peripheral nervous system from oxidative insult in DPN. Here,
the therapeutic potential of GLP-1RAs on DPN was investigated in depth using the cellular oxidative insult model applied to the
dorsal root ganglion (DRG) neuronal cell line. Research Design and Methods. Immortalized DRG neuronal 50B11 cells were
cultured with and without hydrogen peroxide in the presence or absence of Ex4 or GLP-1(7-37). Cytotoxicity and viability were
determined using a lactate dehydrogenase assay and MTS (3-(4,5-dimethylthiazol-2-yl)-5-(3-carboxymethoxyphenyl)-2-
(4-sulfophenyl)-2H-tetrazolium inner salt), respectively. Antioxidant enzyme activity was evaluated using a superoxide
dismutase assay. Alteration of neuronal characteristics of 50B11 cells induced by GLP-1RAs was evaluated with
immunocytochemistry utilizing antibodies for transient receptor potential vanilloid subfamily member 1, substance P, and
calcitonin gene-related peptide. Cell proliferation and apoptosis were also examined by ethynyl deoxyuridine incorporation
assay and APOPercentage dye, respectively. The neurite projection ratio induced by treatment with GLP-1RAs was counted. Intracellular activation of adenylate cyclase/cyclic adenosine monophosphate (cAMP) signaling was also quantified after
treatment with GLP-1RAs. Results. Neither Ex4 nor GLP-1(7-37) demonstrated cytotoxicity in the cells. An MTS assay
revealed that GLP-1RAs amended impaired cell viability induced by oxidative insult in 50B11 cells. GLP-1RAs activated
superoxide dismutase. GLP-1RAs induced no alteration of the distribution pattern in neuronal markers. Ex4 rescued the cells
from oxidative insult-induced apoptosis. GLP-1RAs suppressed proliferation and promoted neurite projections. No
GLP-1RAs induced an accumulation of cAMP. Conclusions. Our findings indicate that GLP-1RAs have neuroprotective
potential which is achieved by their direct actions on DRG neurons. Beneficial effects of GLP-1RAs on DPN could be related
to these direct actions on DRG neurons. Hindawi
Journal of Diabetes Research
Volume 2019, Article ID 9426014, 10 pages
https://doi.org/10.1155/2019/9426014 Hindawi
Journal of Diabetes Research
Volume 2019, Article ID 9426014, 10 pages
https://doi.org/10.1155/2019/9426014 Mohammad Sarif Mohiuddin,1 Tatsuhito Himeno
,1 Rieko Inoue,1 Emiri Miura-Yura,1
Yuichiro Yamada,1 Hiromi Nakai-Shimoda,1 Saeko Asano,1 Makoto Kato,1 Mikio Motegi,1
Masaki Kondo,1 Yusuke Seino,2 Shin Tsunekawa,1 Yoshiro Kato,1 Atsushi Suzuki,2
Keiko Naruse
,3 Koichi Kato,4 Jiro Nakamura,1 and Hideki Kamiya
1 Mohammad Sarif Mohiuddin,1 Tatsuhito Himeno
,1 Rieko Inoue,1 Emiri Miura-Yura,1
Yuichiro Yamada,1 Hiromi Nakai-Shimoda,1 Saeko Asano,1 Makoto Kato,1 Mikio Motegi,1
Masaki Kondo,1 Yusuke Seino,2 Shin Tsunekawa,1 Yoshiro Kato,1 Atsushi Suzuki,2
Keiko Naruse
,3 Koichi Kato,4 Jiro Nakamura,1 and Hideki Kamiya
1 1Division of Diabetes, Department of Internal Medicine, Aichi Medical University School of Medicine, Nagakute, Japan
2Division of Endocrinology and Metabolism, Department of Internal Medicine, Fujita Health University School of Medicine, Toyoake,
Aichi, Japan Division of Diabetes, Department of Internal Medicine, Aichi Medical University School of Medicine, Nagakute, Japan
2Division of Endocrinology and Metabolism, Department of Internal Medicine, Fujita Health University School of Medicine, Toyoake,
Aichi, Japan 3Department of Internal Medicine, Aichi Gakuin University School of Dentistry, Nagoya, Japan
4Department of Medicine, Aichi Gakuin University School of Pharmacy, Nagoya, Japan 3Department of Internal Medicine, Aichi Gakuin University School of Dentistry, Nagoya, Japan
4Department of Medicine, Aichi Gakuin University School of Pharmacy, Nagoya, Japan orrespondence should be addressed to Hideki Kamiya; hkamiya@aichi-med-u.ac.jp Correspondence should be addressed to Hideki Kamiya; hkamiya@aichi-med-u.ac.jp Received 15 August 2018; Revised 23 November 2018; Accepted 30 December 2018; Published 21 February 2019 Received 15 August 2018; Revised 23 November 2018; Accepted 30 December 2018; Published 21 February 2019 1. Introduction complications and causes nontraumatic amputations of
lower limbs [1]. Due to the lack of therapies to address the
etiology of neurodegeneration in the peripheral nervous sys-
tem (PNS) of diabetic patients, glucose-lowering therapy is Among many significant diabetic complications, diabetic
polyneuropathy (DPN) is one of the most prevalent Journal of Diabetes Research 2 37°C under 5% CO2 in media consisting of Neurobasal™
medium
supplemented
with
5%
fetal
bovine
serum,
2 mM L-glutamine, and B-27 supplement. 50B11 cells were
kept in uncoated plastic tissue culture dishes and regularly
passaged once a week with a 1 : 10-1 : 20 split ratio. For each
experiment as described in the sections, cells were treated
with Ex4 (0.1 nM, 1 nM, 10 nM, and 100 nM), human
GLP-1(7-37) (1 nM, 10nM), or 10 μM forskolin. Oxidative
insult
was
induced
by
hydrogen
peroxide
(0.01 mM,
0.05 mM, and 0.1 mM). the only effective therapy to prevent the onset and progres-
sion of DPN [2]. In the current study, we investigated the
beneficial effects of glucagon-like peptide-1 (GLP-1) signal-
ing in neurons of the PNS using an in vitro model of DPN. GLP-1, an incretin hormone which lowers blood glucose
levels through enhancement of glucose-stimulated insulin
secretion (GSIS), also has pleiotropic effects. In nervous sys-
tems, GLP-1 has a regulatory effect on food intake through
the intermediary of the vagus nerve and the central nervous
system (CNS) [3–7]. It is known that GLP-1 activates adenyl-
ate cyclase and employs cAMP as a second messenger to
enhance GSIS in pancreatic beta cells [8, 9]. The cAMP sig-
naling has been proven to stimulate neurite outgrowth [10,
11] and antagonize apoptosis of PNS neurons or PC12 cells
[12]. In some kinds of nonneural cells including pancreatic
beta cells and cardiomyocytes, antiapoptotic effects of
GLP-1 receptor agonists (GLP-1RAs) have been also shown
[13–16]. Additionally, it has been reported that activation
of GLP-1 signaling modified cell fate and differentiation in
pancreatic beta cells [17, 18]. GLP-1 signaling induced
in vivo reprogramming of pancreatic exocrine cells into beta
cells [17] and in vitro differentiation of human embryonic
stem cells into insulin-producing cells [19]. 2.2. Cell Cytotoxicity Assay. Cells were seeded into 96-well
plates at a density of 1 × 104 cells/well in 100 μl medium. Cell
cytotoxicity was assessed using lactate dehydrogenase (LDH)
assay (Cytotoxicity LDH Assay Kit-WST, Dojindo Laborato-
ries, Mashiki, Japan) following the manufacturer’s instruc-
tions. 1. Introduction The absorbance at 490 nm was measured on a
microplate reader (VersaMax, Molecular Devices, Sunnyvale,
CA, USA). Cytotoxicity was calculated by the following for-
mula:
cytotoxicity % = sample OD – low control OD /
high control OD – low control OD × 100 (OD: optical den-
sity). Each OD value was calculated by subtracting the back-
ground value from each absorbance value. Previously, we reported the beneficial effects of exendin-4
(Ex4) (also known as exenatide), a GLP-1RA, in the PNS of
diabetic mice [20]. In that prior study, we indicated the
improvement of DPN using an in vivo model but the mech-
anism of the favorable effects on the PNS has not yet been
identified. Although we have proven that the elongation of
neurite outgrowth using a tissue culture system of mouse
dorsal root ganglion (DRG) was accelerated by supplementa-
tion of Ex4 or GLP-1, detailed effects of GLP-1RAs in the
DRG should be still elucidated. 2.3. Immunocytochemistry. To exclude the possibility of alter-
ation in neuronal characteristics by GLP-1RAs which might
induce a reprogramming of cell fate, the characteristics as a
sensory neuronal cell were evaluated with the distribution
of neuronal markers: transient receptor potential vanilloid
subfamily member 1 (TRPV1), substance P, and calcitonin
gene-related peptide (CGRP). After a 36-hour culture with
or without 100 nM Ex4 or 10 nM GLP-1, DRG cells were
fixed with 4% paraformaldehyde for 15 minutes. The cells
were blocked with 1% bovine serum albumin, and the follow-
ing primary antibodies were applied at 4°C overnight: rabbit
polyclonal anti-TRPV1 antibody (1 : 200; Neuromics, North-
field, MN, USA), goat polyclonal anti-substance P antibody
(1 : 200; Santa Cruz, Santa Cruz, CA, USA), and goat poly-
clonal anti-CGRP antibody (1 : 200; Santa Cruz). After wash-
ing, the following secondary antibodies were loaded for 1
hour at room temperature in a dark box: Alexa Fluor™
594-coupled goat anti-rabbit IgG antibody (1 : 500) or Alexa
Fluor™488-coupled donkey anti-goat antibody (1 : 500). Images were captured by a charge-coupled device (CCD)
camera using a fluorescence microscope (IX73, Olympus
Optical, Tokyo, Japan). Among various mechanisms of pathogenesis in DPN,
chronic inflammation followed by oxidative stress has
been highlighted by several researchers [21, 22]. For
instance, cyclooxygenase-2-deficient mice were protected
from dysfunction of the PNS in experimental diabetes
[23]. 1. Introduction Given that oxidative stress due to various biological
pathways, including chronic low-grade inflammation, has
been suggested as a pathogenesis and a therapeutic target
of DPN [21, 24, 25], we attempted to provide oxidative
stress in our culture system. However, it remains to be
clarified which factor is crucial in the pathology of DPN,
e.g., glucotoxicity, insulin resistance, or lipotoxicity [21]. Therefore, we provided oxidative insult by hydrogen per-
oxide, which is a widely used oxidant in experimental set-
tings and converts into the stronger oxidant hydroxyl
radical, in the cell culture system of the DRG neuron cell
line to reproduce DPN pathology in this study. 2.4. Cell Viability Assay. To elucidate the effects of GLP-1RAs
in DRG neurons under oxidative stress, cell viability of DRG
neurons cultured with or without hydrogen peroxide in the
presence or absence of GLP-1RAs was assessed. A 3-(4,5-
dimethylthiazol-2-yl)-5-(3-carboxymethoxyphenenyl)-2-(4-
sulfophenyl)-2H-tetrazolium inner salt (MTS) assay, which
correlated mitochondrial activity, was employed to measure
cell viability in DRG neurons. Cells were seeded into 96-well
plates at a density of 1 × 104 cells/well in 100 μl medium. Cell
viability was determined 24 hours after treatment using the
CellTiter96™AQueous One Solution Cell Proliferation Assay
(Promega Corporation, Madison, WI, USA), which employed 2. Materials and Methods Unless noted otherwise, all reagents and materials were pur-
chased from Thermo Fisher Scientific (Waltham, MA, USA). 2.1. Cell Culture. The DRG neuronal cell line (50B11) estab-
lished and kindly provided by Dr. A. Höke (Johns Hopkins
University, Baltimore, MD, USA) [26] was incubated at Journal of Diabetes Research 3 tetrazolium compound MTS, according to the manufacturer’s
protocol.Theabsorbance at490 nmwasmeasuredonamicro-
plate reader (VersaMax). Cells were seeded into 6-well plates at a density of 5 × 105
cells/well. The media were aspirated 20 or 120 minutes
after exposure to test substances, and 250 μl of 0.1 N HCl
was introduced. After 20 minutes incubation at room
temperature, cells were scraped and centrifuged. The
supernatants were stored at -80°C until the time of mea-
surement. For the experiment with 120-minute exposure
to test substances, the medium contained 0.5 mM 3-isobu-
tyl-1-methyl xanthine (IBMX), a phosphodiesterase inhibi-
tor, to inhibit cAMP degradation. 2.5. Superoxide Dismutase- (SOD-) Like Activity. To evaluate
antioxidant activity, SOD-like activity was measured using
an SOD-like assay kit (Dojindo Inc., Kumamoto, Japan)
according to the manufacturer’s instructions [27]. Equal
amounts of protein, as determined using a bicinchoninic
acid protein assay (Wako Pure Chemical Inc., Osaka, Japan),
were applied. Cells were seeded into 96-well plates at a den-
sity of 1 × 104 cells/well in 100 μl medium. After 24hours,
cells were supplemented with GLP-1RAs (10 nM GLP-1,
100 nM Ex4) or left untouched. After 12 hours of treatment
with/without GLP-1RAs, the media were replaced with
media containing 0.1 mM hydrogen peroxide. SOD-like
activity was determined 30 minutes after the exposure with
hydrogen peroxide. 2.10. Statistical Analysis. All the group values were expressed
as means ± standard deviation. Data are representative of at
least three independent experiments. The normality of distri-
bution was tested by the Kolmogorov-Smirnov test using R
version 3.4.3 (http://www.r-project.org/, Vienna, Austria,). Statistical analyses were made by Student’s t-test or one-
way ANOVA with the Bonferroni correction for multiple
comparisons using StatView version 5.0 (SAS Institute, Cary,
NC). The threshold of statistical significance was taken as a
value of p < 0 05. All analyses were performed by personnel
unaware of the identities of culture conditions. 2.6. Apoptosis Assay. For the apoptosis assay, 50B11 cells
were seeded into 24-well plates at a density of 5 × 104 cells/-
well. Apoptosis was induced by 0.1 mM hydrogen peroxide. 2. Materials and Methods The degree of apoptosis was assessed using the APOPercen-
tage assay (Biocolor, Belfast, Northern Ireland, UK), which
was performed according to the manufacturer’s instructions. The APOPercentage assay is a dye uptake assay, which stains
only the apoptotic cells with a purple dye [28]. Apoptotic
cells were assessed after a 3-hour exposure to hydrogen per-
oxide with or without GLP-1RAs (GLP-1, Ex4) and forskolin. Absorption was measured at 550 nm using a microplate
reader (VersaMax). 3. Results 3.1. No Cytotoxicity Was Introduced by GLP-1RAs in DRG
Neurons. There was no significant cytotoxicity induced after
24 hour exposure to Ex4 (0.1 mM, 1 nM, 10nM, or 100 nM)
or GLP-1 (1 nM, 10 nM) (absorbance at 490 nm: control
0 449 ± 0 023, 0.1 nM Ex4 0 414 ± 0 027, 1 nM Ex4 0 355
± 0 020, 10 nM Ex4 0 433 ± 0 129, 100 nM Ex4 0 444 ±
0 034, 1 nM GLP-1 0 408 ± 0 064, and 10 nM GLP-1 0 424
± 0 046) (Figure 1). Neurons were also exposed to an ade-
nylate cyclase activator, forskolin. The treatment with
10 μM forskolin did not induce any significant difference
in cytotoxicity (10 μM forskolin 0 371 ± 0 029). 2.7. Cell Proliferation Assay. An ethynyl deoxyuridine (EdU)
incorporation assay was performed using the Click-iT Plus
EdU Proliferation Kit (Life Technologies Inc., Gaithersburg,
MD). Cells were treated with 10 μM EdU for 24 hours, then
harvested, and fixed with 4% paraformaldehyde for 20
minutes. For EdU detection, cells were incubated with
Alexa Fluor™488 Azide for 15 minutes and then counter
stained with 4′,6-diamidino-2-phenylindole (DAPI) [29,
30]. The rate of proliferating cells was determined by the
number of EdU-incorporating cells divided by that of
DAPI-positive cells. 3.2. Sensory Neuronal Characteristics in Protein Marker
Expressions Were Not Affected by GLP-1RAs. Ex4 or GLP-1
(data not shown) induced no evident changes in the distribu-
tion pattern of these sensory neuronal markers compared
with neurons without those treatments (Figure 2). 3.3. Cell Viability Was Enhanced in DRG Neurons Cultured
with GLP-1RAs. The cell viability of DRG neurons treated
with 0.1 mM hydrogen peroxide for 4 hours was signifi-
cantly decreased compared with that of cells cultured with
no hydrogen peroxide (control 100 ± 8 1%, 0.1 mM hydro-
gen peroxide 54 3 ± 2 1, p < 0 01) (Figure 3). However, the
treatment with Ex4 or GLP-1 significantly ameliorated cell
viability compared with cells with no treatment (0.1 nM
Ex4 85 1 ± 13 3, 1 nM Ex4 86 0 ± 6 4, 10 nM Ex4 86 9 ±
6 5, 100 nM Ex4 87 5 ± 3 2, 1 nM GLP-1 94 3 ± 11 7, and
10 nM
GLP-1
92 6 ± 2 9). 3. Results The
supplementation
with
10 μM forskolin also inhibited the decrease of cell viability
(84 5 ± 2 6, p < 0 005). 3.3. Cell Viability Was Enhanced in DRG Neurons Cultured
with GLP-1RAs. The cell viability of DRG neurons treated
with 0.1 mM hydrogen peroxide for 4 hours was signifi-
cantly decreased compared with that of cells cultured with
no hydrogen peroxide (control 100 ± 8 1%, 0.1 mM hydro-
gen peroxide 54 3 ± 2 1, p < 0 01) (Figure 3). However, the
treatment with Ex4 or GLP-1 significantly ameliorated cell
viability compared with cells with no treatment (0.1 nM
Ex4 85 1 ± 13 3, 1 nM Ex4 86 0 ± 6 4, 10 nM Ex4 86 9 ±
6 5, 100 nM Ex4 87 5 ± 3 2, 1 nM GLP-1 94 3 ± 11 7, and
10 nM
GLP-1
92 6 ± 2 9). The
supplementation
with
10 μM forskolin also inhibited the decrease of cell viability
(84 5 ± 2 6, p < 0 005). 2.8. Neurite Outgrowth Assay in 50B11 Cells. As it has been
verified that the 50B11 neuronal cell line can elongate neur-
ites by stimulation with forskolin, the neurite outgrowth
induced by GLP-1RAs was also examined to afford collateral
evidence of the neuroregenerative ability in DRG neurons. 50B11 cells were plated into 6-well plates at a density of 1
× 104 cells/well. Twenty-four hours after the passage of the
cells, cells were unexposed or exposed to the indicated com-
pounds for 24 h. Images of the cells were captured by a
contrast-phase microscope equipped with a CCD camera
and counted for neurite outgrowth which was defined as a
process equal to or greater than cell bodies in length [31]. 3.4. SOD-Like Activity Increased in the Sensory Neurons
Supplemented with GLP-1RAs. Following exposure to oxida-
tive insult with hydrogen peroxide, SOD-like activity 2.9. Cyclic Adenosine Monophosphate (cAMP) Assay. Cellular
cAMP production was measured using an enzyme immuno-
assay kit (Cayman Chemical, Ann Arbor, MI, USA) [32, 33]. 0.6
0.5
0.4
0.3
0.2
0.1
0.1
0
1
10
10
100
1
Ctrl
Exendin-4
GLP-1
Fskln
Arbitrary unit
(absorbance at 490 nm)
Figure 1: Cell cytotoxicity of GLP-1 receptor agonists (GLP-1RAs) in dorsal root ganglion (DRG) neurons. Cytotoxicity was determined 24
hours after treatment with GLP-1RAs or forskolin using LDH assay. 3. Results No significant difference was detected between neurons treated with
GLP-1RAs or forskolin and those without treatment (control). Concentrations of GLP-1RAs; exendin-4: 0.1, 1, 10, and 100 nM; GLP-1: 1,
10 nM. Ctrl: control; Fskln: forskolin; error bar: standard deviation. n = 3 in each group. 4
Journal of Diabetes Research 0.6
0.5
0.4
0.3
0.2
0.1
0.1
0
1
10
10
100
1
Ctrl
Exendin-4
GLP-1
Fskln
Arbitrary unit
(absorbance at 490 nm)
Figure 1: Cell cytotoxicity of GLP-1 receptor agonists (GLP-1RAs) in dorsal root ganglion (DRG) neurons. Cytotoxicity was determined 24
h
ft
t
t
t
ith GLP 1RA
f
k li
i
LDH
N
i
ifi
t diff
d t
t d b t
t
t d
ith
4
Journal of Diabetes Research Journal of Diabetes Research Figure 1: Cell cytotoxicity of GLP-1 receptor agonists (GLP-1RAs) in dorsal root ganglion (DRG) neurons. Cytotoxicity was determined 24
hours after treatment with GLP-1RAs or forskolin using LDH assay. No significant difference was detected between neurons treated with
GLP-1RAs or forskolin and those without treatment (control). Concentrations of GLP-1RAs; exendin-4: 0.1, 1, 10, and 100 nM; GLP-1: 1,
10 nM. Ctrl: control; Fskln: forskolin; error bar: standard deviation. n = 3 in each group. Control
(a) TRPV1
(b) Substance P
(c) CGRP
Exendin-4
(a) TRPV1
(b) Substance P
Figure 2: Distribution of sensory neuronal markers in the dorsal root ganglion (DRG) neuron cell line treated with exendin-4. Pictures on the
left side are neurons without any treatment. Pictures on the right side are neurons treated with 100 nM exendin-4 for 36 hours. TRPV1: red
(a), substance P: green (b), CGRP: green: DAPI (c), scale 100 μm. (b) Substance P
(c) CGRP
(b) Substance P (c) CGRP (c) CGRP Figure 2: Distribution of sensory neuronal markers in the dorsal root ganglion (DRG) neuron cell line treated with exendin-4. Pictures on the
left side are neurons without any treatment. Pictures on the right side are neurons treated with 100 nM exendin-4 for 36 hours. TRPV1: red
(a), substance P: green (b), CGRP: green: DAPI (c), scale 100 μm. 3. Results 5 5 Journal of Diabetes Research 120
100
80
60
40
20
0
Cell viability (%)
0.1
1
10
10
100
1
Ctrl
Exendin-4 (nM)
GLP-1 (nM)
Forskolin
⁎⁎
⁎⁎
⁎⁎
⁎⁎
⁎⁎
⁎⁎
⁎
#
H2O2 (-)
0.01 nM H2O2
0.1 nM H2O2
Figure 3: Cell viability in dorsal root ganglion (DRG) neurons treated with GLP-1 receptor agonists. Cell viability was quantified using
3-(4,5-dimethylthiazol-2-yl)-5-(3-carboxymethoxyphenenyl)-2-(4-sulfophenyl)-2H-tetrazolium inner salt (MTS). Although hydrogen
peroxide (H2O2) significantly decreased the cell viability of DRG neurons, GLP-1 receptor agonists, exendin-4 and GLP-1, and forskolin,
an activator of adenylate cyclase, prevent the reduction of cell viability induced by H2O2. White bar: no supplementation of H2O2; hatched
bar: 0.01 mM H2O2; filled bar: 0.1 mM H2O2; Ctrl: control; H2O2: hydrogen peroxide; #p < 0 01 versus control without H2O2; ∗p < 0 05
versus control with 0.1 mM H2O2; ∗∗p < 0 005 versus control with 0.1 mM H2O2; error bar: standard deviation. n = 3 in each group. 120
100
80
60
40
20
0
Cell viability (%)
0.1
1
10
10
100
1
Ctrl
Exendin-4 (nM)
GLP-1 (nM)
Forskolin
⁎⁎
⁎⁎
⁎⁎
⁎⁎
⁎⁎
⁎⁎
⁎
# Figure 3: Cell viability in dorsal root ganglion (DRG) neurons treated with GLP-1 receptor agonists. Cell viability was quantified using
3-(4,5-dimethylthiazol-2-yl)-5-(3-carboxymethoxyphenenyl)-2-(4-sulfophenyl)-2H-tetrazolium inner salt (MTS). Although hydrogen
peroxide (H2O2) significantly decreased the cell viability of DRG neurons, GLP-1 receptor agonists, exendin-4 and GLP-1, and forskolin,
an activator of adenylate cyclase, prevent the reduction of cell viability induced by H2O2. White bar: no supplementation of H2O2; hatched
bar: 0.01 mM H2O2; filled bar: 0.1 mM H2O2; Ctrl: control; H2O2: hydrogen peroxide; #p < 0 01 versus control without H2O2; ∗p < 0 05
versus control with 0.1 mM H2O2; ∗∗p < 0 005 versus control with 0.1 mM H2O2; error bar: standard deviation. n = 3 in each group. increased in neurons supplemented with GLP-1 or Ex4
(cells with no hydrogen peroxide 40 4 ± 6 7%, 10 nM
GLP-1 with 0.1 mM hydrogen peroxide 54 3 ± 5 8, and
100 nM Ex4 with 0.1 mM hydrogen peroxide 59 9 ± 8 4, p
< 0 001 versus cells with no hydrogen peroxide in each
GLP-1RA-supplemented group) (Figure 4). 3.8. The
Adenylate
Cyclase/cAMP
Pathway
Was
Not
Activated by GLP-1RAs in DRG Neurons. Cyclic AMP levels
after stimulation with GLP-1RAs and forskolin were
determined. 3. Results After 20 minutes of stimulation with 10 μM for-
skolin, cAMP had accumulated in the neurons (control: 5 3
± 0 3 pmol/ml, 10 μM forskolin: 234 5 ± 6 3, p < 0 0001)
(Figure 8). However, no accumulation of cAMP was detected
in the neurons treated with Ex4 and GLP-1 (10 nM GLP-1:
3 3 ± 0 4, 100 nM Ex4: 4 0 ± 0 4). Longer exposure to GLP-
1RAs supplemented with a phosphodiesterase inhibitor also
generated no significant cAMP accumulation (Supplemental
figure available here). 3.5. Apoptosis Was Prevented in the Neurons Supplemented
with Ex4. Apoptosis evoked by 0.1 mM hydrogen peroxide
was detected using the APOPercentage assay (Figure 5). The degree of apoptosis was significantly decreased in the
neurons supplemented with 100 nM Ex4 (absorbance at
550 nm: control 0 304 ± 0 017, 100 nM Ex4 0 250 ± 0 014,
p < 0 0001) and 10 μM forskolin (0 199 ± 0 016, p < 0 0001). However, GLP-1 produced no significant change in the apo-
ptosis assay (0 299 ± 0 03, p = 0 623). 3.7. Neurite Outgrowth Was Induced with GLP-1RAs. The
percentage of neurons with neurite(s) increased in the neu-
rons cultured with Ex4 or GLP-1 compared with the control
(control 8 7%±5 1%, 100 nM Ex4 28 2 ± 4 0, and 10 nM
GLP-1 23 3 ± 6 5, p < 0 0001 for both cases versus control)
(Figure 7). 4. Discussion Proliferation rate assessed by
EdU assay revealed that both GLP-1 receptor agonists, exendin-4
and GLP-1, suppressed proliferation of DRG neurons. Ctrl:
control; Ex-4: cells supplemented with 100 nM exendin-4; GLP-1:
cells supplemented with 10 nM GLP-1; ∗p < 0 05 versus control;
error bar: standard deviation. n = 9 in each group. Ctrl
GLP-1
Ex-4
70
60
40
80
20
0
⁎
⁎
Forskolin
Ratio of EdU positive neurons (%) v mM H2O2 Figure 4: Superoxide dismutase- (SOD-) like activity in dorsal
root ganglion (DRG) neurons treated with glucagon-like peptide-
1 (GLP-1) receptor agonists. Oxidative insult induced by 30-
minute treatment with 0.1 mM hydrogen peroxide increased
SOD-like activity in the neurons supplemented with 10 nM GLP-
1 or 100 nM exendin-4. ∗p < 0 001 versus no treated cell with
H2O2. H2O2: hydrogen peroxide; Ctrl: control; GLP-1: cells
supplemented with 10 nM GLP-1; Ex-4: cells supplemented with
100 nM exendin-4. Error bar means standard deviation. n = 6 or
7 in each group. Figure 6: Proliferation rate of dorsal root ganglion (DRG) neurons
treated with GLP-1 receptor agonists. Proliferation rate assessed by
EdU assay revealed that both GLP-1 receptor agonists, exendin-4
and GLP-1, suppressed proliferation of DRG neurons. Ctrl:
control; Ex-4: cells supplemented with 100 nM exendin-4; GLP-1:
cells supplemented with 10 nM GLP-1; ∗p < 0 05 versus control;
error bar: standard deviation. n = 9 in each group. by activation of the adenylate cyclase/cAMP pathway, no evi-
dent accumulation of intracellular cAMP was generated by
stimuli with GLP-1RAs. ⁎
PC
GLP-1
Ex-4
Forskolin
0.1 mM H2O2
0.3
0.2
0.1
0
⁎
⁎
Arbitrary unit
(absorbance at 550 nm)
H2O2 (-)
Figure 5: Apoptosis in dorsal root ganglion (DRG) neurons treated
with exendin-4. Apoptosis induced by 3-hour treatment with
0.1 mM
hydrogen
peroxide
was
partially
inhibited
in
the
neurons supplemented with 100 nM exendin-4 or 10 μM forskolin. ∗p < 0 05 versus control; H2O2: hydrogen peroxide; PC: positive
control
of
apoptosis;
GLP-1:
glucagon-like
peptide-1;
Ex-4:
exendin-4. Error bar means standard deviation. n = 8 in each group. ⁎
PC
GLP-1
Ex-4
Forskolin
0.1 mM H2O2
0.3
0.2
0.1
0
⁎
⁎
Arbitrary unit
(absorbance at 550 nm)
H2O2 (-) GLP-1RAs have previously been shown to promote neur-
ite outgrowth in PC12 cells, a rat pheochromocytoma cell
type [36, 37]. However, no report has investigated the direct
pharmacological function of GLP-1RAs in the cells of the
PNS, e.g. 4. Discussion In this decade, drug development targeting GLP-1 signaling
has been considered as a prospective therapy of type 2 diabe-
tes. A novel GLP-1RA semaglutide which can be orally
administered would accelerate popularization of GLP-1RAs
in clinical settings [34]. Furthermore, the neuroprotective
effects of Ex4 have been already proven in one clinical trial
of Parkinson’s disease [35]. Therefore, if the neuroprotective
effects of GLP-1RAs are accepted amongst the scientific com-
munity, a drug repositioning strategy of GLP-1RAs targeting
other diseases will be promising, especially in diabetic com-
plications including DPN. 3.6. Cell Proliferation Was Suppressed by GLP-1RAs. The
EdU incorporation assay revealed a decrease of proliferation
rate of neurons cultured with 10 nM GLP-1 or 100 nM Ex4
(control 87 7%±5 6%, GLP-1 75 5 ± 10 4, and Ex4 74 1 ±
14 4) (Figure 6). However, forskolin had no significant effect
on the proliferation rate (forskolin: 86 9 ± 6 2). 3.7. Neurite Outgrowth Was Induced with GLP-1RAs. The
percentage of neurons with neurite(s) increased in the neu-
rons cultured with Ex4 or GLP-1 compared with the control
(control 8 7%±5 1%, 100 nM Ex4 28 2 ± 4 0, and 10 nM
GLP-1 23 3 ± 6 5, p < 0 0001 for both cases versus control)
(Figure 7). In the current study, we investigated the neuroprotective
effects of GLP-1RAs in the DRG neuronal cell line. First, we
examined the neurotoxicity of GLP-1RAs in the DRG neu-
rons. Second, we examined the effect of GLP-1RA on cell 6 6 Journal of Diabetes Research Ctrl
GLP-1
Ex-4
v mM H2O2
70
60
50
40
30
20
10
0
SOD-like activity (%)
⁎
⁎
H2O2 (-) Ctrl
GLP-1
Ex-4
70
60
40
80
20
0
⁎
⁎
Forskolin
Ratio of EdU positive neurons (%)
Figure 6: Proliferation rate of dorsal root ganglion (DRG) neurons
treated with GLP-1 receptor agonists. Proliferation rate assessed by
EdU assay revealed that both GLP-1 receptor agonists, exendin-4
and GLP-1, suppressed proliferation of DRG neurons. Ctrl:
control; Ex-4: cells supplemented with 100 nM exendin-4; GLP-1:
cells supplemented with 10 nM GLP-1; ∗p < 0 05 versus control;
error bar: standard deviation. n = 9 in each group. Ctrl
GLP-1
Ex-4
70
60
40
80
20
0
⁎
⁎
Forskolin
Ratio of EdU positive neurons (%)
Figure 6: Proliferation rate of dorsal root ganglion (DRG) neurons
treated with GLP-1 receptor agonists. 4. Discussion DRG neurons, Schwann cells, vascular endothelial
cells in peripheral nerves. Some research studies, including
our previous study, have already reported in vivo beneficial
effects of GLP-1RAs in the disorders of the PNS [20, 38]. The current study would support these beneficial effects
through verification of the direct effects of GLP-1RAs on
DRG neurons. A number of DPN pathogenesis mechanisms have been
postulated in experimental studies, including the polyol
pathway, advanced glycation end products, poly ADP-
ribose polymerase, the protein kinase C pathway, and oxida-
tive stress [39, 40]. In the current study, we chose oxidative
stress to represent an in vitro DPN model. To verify the novel
in vitro experimental system for investigation of DPN, we
confirmed the characteristics of a 50B11 cell line as DRG
neurons and induced oxidative insult on the cell line. After
the confirmation of no cytotoxicity of GLP-1RAs and forsko-
lin in 50B11, we evaluated the neuronal characteristics of the
cells. The markers of a primary sensory neuron including
TRPV1, substance P, and CGRP were expressed in 50B11
even after the treatment with GLP-1RAs. Furthermore, we
successfully performed the neurite outgrowth assay, which
is accepted as one of the crucial neuronal assays in a
sympathetic-like neuron cell line PC12 [31]. As oxidative
stress is one of the primary factors according to the prevailing
views of DPN pathogenesis [39], we attempted to produce
the pathogenesis utilizing hydrogen peroxide in the neuronal 0.1 mM H2O2 Figure 5: Apoptosis in dorsal root ganglion (DRG) neurons treated
with exendin-4. Apoptosis induced by 3-hour treatment with
0.1 mM
hydrogen
peroxide
was
partially
inhibited
in
the
neurons supplemented with 100 nM exendin-4 or 10 μM forskolin. ∗p < 0 05 versus control; H2O2: hydrogen peroxide; PC: positive
control
of
apoptosis;
GLP-1:
glucagon-like
peptide-1;
Ex-4:
exendin-4. Error bar means standard deviation. n = 8 in each group. viability, antioxidant enzyme activity, and apoptosis in the
DRG neurons. We confirmed enhanced cell viability,
increased activity of antioxidant enzyme SOD, and inhibition
of apoptosis with GLP-1RA supplementation. We then dem-
onstrated that treatment with GLP-1RAs reduced cell prolif-
eration and promoted neurite outgrowth of DRG neurons. Although these significant changes were seemed to be evoked 7 Journal of Diabetes Research Ctrl
GLP-1
Ex-4
30
10
20
0
⁎⁎
⁎⁎
⁎⁎
Forskolin
Ratio of neurite-positive neurons (%)
Figure 7: Neurite outgrowth of dorsal root ganglion (DRG)
neurons. 4. Discussion The ratio of neurite-positive neurons increased in cells
supplemented with GLP-1 receptor agonists, exendin-4 and GLP-
1, as well as cells which were supplemented with forskolin. Ctrl:
control; Ex-4: cells supplemented with 100 nM exendin-4; GLP-1:
cells supplemented with 10 nM GLP-1; forskolin: cells supplemented
with 10 nM forskolin; ∗∗p < 0 001 versus control; error bar: standard
deviation.n = 9or15ineachgroup. Ctrl
GLP-1
Ex-4
30
10
20
0
⁎⁎
⁎⁎
⁎⁎
Forskolin
Ratio of neurite-positive neurons (%) significance of each oxidation mechanism derived from glu-
cose, proteins, or lipids is unclear in the pathogenesis of
DPN. Therefore, we utilized hydrogen peroxide, which is
considered to be one of the most important reactive oxygen
species because it crosses membranes and yields hydroxyl
radicals via Fenton reaction in cells [42], as an oxidative
insult-mimicking oxidative stress in DPN. As a result, hydro-
gen peroxide provoked an increase of antioxidant SOD in
50B11 cells. These experiments verified our experimental
system as a novel approach to investigate DPN. However, we must recognize some limitations of our
study. As it is known that the incretin/adenylate cyclase/-
cAMP pathway is critical for insulin secretion in pancreatic
beta cells [43] and neuroprotective effect in the CNS neurons
[9], we compared pharmacological effects of GLP-1RAs with
those of forskolin, an activator of adenylate cyclase, in DRG
neurons. We proved the antiapoptotic effect of Ex4 and for-
skolin and the decrease of cell proliferation by GLP-1RAs. These findings were consistent with the previous report in
which liraglutide, another GLP-1RA, potentiated cell viability
and prevented apoptosis viacAMPsignaling inSH-SY5Yneu-
roblastoma cells [44]. Furthermore, neurite outgrowth was
induced by GLP-1RAs and forskolin. Given that background,
these changes appear to indicate the activation of intracellular
adenylatecyclase/cAMPsignalingbyGLP-1RAsaswellasfor-
skolin. However, unexpectedly, cAMP accumulation was not
evident in the neurons cultured with GLP-1RAs for 20 or
120 minutes. This unexpected finding could be caused by the
experimental limitation that our cAMP measurement kit was
able to examine only the endpoint accumulation of cAMP. The activation of adenylate cyclase induced by GLP-1RAs
might be more transient than we expected. Therefore, in the
future,wewouldliketomeasurecAMPaccumulationutilizing
a real-time detection system. Figure 7: Neurite outgrowth of dorsal root ganglion (DRG)
neurons. The ratio of neurite-positive neurons increased in cells
supplemented with GLP-1 receptor agonists, exendin-4 and GLP-
1, as well as cells which were supplemented with forskolin. 4. Discussion Ctrl:
control; Ex-4: cells supplemented with 100 nM exendin-4; GLP-1:
cells supplemented with 10 nM GLP-1; forskolin: cells supplemented
with 10 nM forskolin; ∗∗p < 0 001 versus control; error bar: standard
deviation.n = 9or15ineachgroup. Ctrl
GLP-1
Ex-4
250
5
15
10
0
⁎⁎
Forskolin
200
Concentration of cAMP (pmol/ml)
Figure 8: Intracellular cyclic adenylate monophosphate (cAMP)
accumulation in neurons treated with GLP-1 receptor agonists. The cAMP accumulation was measured 20 minutes after exposure
to 100 nM exendin-4, 10 nM GLP-1, or 10 μM forskolin. Both
GLP-1 receptor agonists, exendin-4 and GLP-1, provoked no
significant cAMP accumulation. Ex-4: cells supplemented with
100 nM exendin-4; ∗∗p < 0 001 versus control; error bar: standard
deviation. n = 5 or 6 in each group. Ctrl
GLP-1
Ex-4
250
5
15
10
0
⁎⁎
Forskolin
200
Concentration of cAMP (pmol/ml) Furthermore, we should consider scrutinizing other sig-
naling pathways which have been reported to be initiated
by GLP-1RAs. It is known that p44/42 mitogen-activated
protein kinase (also called ERK1/2) can be also activated by
GLP-1 in pancreatic beta cells [45]. It is also shown that the
antiapoptotic effect of GLP-1 is mediated by ERK1/2 activa-
tion in beta cells [46]. Therefore, the antiapoptotic effect
shown in the current study might be mediated by activation
of ERK1/2 signaling. Another limitation is the immortalization of the neurons. As the DRG neuronal cell line 50B11 cells are immortalized
neurons, the differences between nonproliferative neurons
collected from mammalians and the genetically engineered
neurons should be taken into account. It was reported that
an activation of phosphoinositide-3-kinase (PI3K) induced
by GLP-1 in the beta cell line accelerated mitosis of the cells
[47]. However, in this study, EdU incorporation was
decreased by administration of GLP-1RAs. To address this
conflict, in the future, we would clarify the involvement of
PI3K signaling in sensory neurons [45, 46, 48]. Forskolin Figure 8: Intracellular cyclic adenylate monophosphate (cAMP)
accumulation in neurons treated with GLP-1 receptor agonists. The cAMP accumulation was measured 20 minutes after exposure
to 100 nM exendin-4, 10 nM GLP-1, or 10 μM forskolin. Both
GLP-1 receptor agonists, exendin-4 and GLP-1, provoked no
significant cAMP accumulation. Ex-4: cells supplemented with
100 nM exendin-4; ∗∗p < 0 001 versus control; error bar: standard
deviation. n = 5 or 6 in each group. 5. Conclusions cell culture. Although, in clinical settings, several factors
including dyslipidemia, hyperglycemia, hypertension, and
smoking are considered to be risk factors of DPN [41], the This study is the first report to investigate the neuroprotec-
tive effects of GLP-1RAs on DRG neurons. The beneficial Journal of Diabetes Research 8 receptor agonists and a cAMP/cGMP-phosphodiesterase
inhibitor. (Supplementary Materials) receptor agonists and a cAMP/cGMP-phosphodiesterase
inhibitor. (Supplementary Materials) receptor agonists and a cAMP/cGMP-phosphodiesterase
inhibitor. (Supplementary Materials) effects of GLP-1RAs in DPN might be attributable to the
direct neuroprotective effects of GLP-1RAs on DRG neurons
through protection from cellular oxidative insult. Acknowledgments This research was supported in part by the Grant-in-Aid
for Scientific Research (15H06720) from the Ministry of
Education,
Culture,
Sports,
Science
and
Technology
(MEXT) and Grants for Young Researchers from the Japan
Association for Diabetes Education and Care. TH was sup-
ported by the Manpei Suzuki Diabetes Foundation, Japan
Diabetes Foundation, and Aichi Medical University Aikei-
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Glucagon-like peptide-1
GLP-1RA: GLP-1 receptor agonist
GSIS:
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IBMX:
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LDH:
Lactate dehydrogenase
MTS:
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Triterpenoids from Gymnema sylvestre and Their Pharmacological Activities
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Molecules 2014, 19, 10956-10981; doi:10.3390/molecules190810956
molecules
ISSN 1420-3049
www.mdpi.com/journal/molecules
Review
Triterpenoids from Gymnema sylvestre and Their
Pharmacological Activities †
Giovanni Di Fabio 1, Valeria Romanucci 1, Anna De Marco 2 and Armando Zarrelli 1,*
1 Department of Chemical Sciences, University Federico II,
Complesso Universitario Monte S. Angelo, Via Cintia 4, IT-80126 Napoli, Italy;
E-Mails: difabio@unina.it (G.D.F.); valeria.romanucci@unina.it (V.R.)
2 Department of Biology, University Federico II, Complesso Universitario Monte S. Angelo,
Via Cintia 4, IT-80126 Napoli, Italy; E-Mail: anna.demarco@unina.it
† In honour of Professor Lucio Previtera’s 70th birthday.
* Author to whom correspondence should be addressed; E-Mail: zarrelli@unina.it;
Tel.: +39-081-674472; Fax: +39-081-674393.
Received: 13 May 2014; in revised form: 3 July 2014 / Accepted: 4 July 2014 /
Published: 28 July 2014
OPEN ACCESS Molecules 2014, 19, 10956-10981; doi:10.3390/molecules190810956 Review Giovanni Di Fabio 1, Valeria Romanucci 1, Anna De Marco 2 and Armando Zarrelli 1,* ovanni Di Fabio 1, Valeria Romanucci 1, Anna De Marco 2 and Armando Zarrelli 1,* 1 Department of Chemical Sciences, University Federico II,
Complesso Universitario Monte S. Angelo, Via Cintia 4, IT-80126 Napoli, Italy;
E-Mails: difabio@unina.it (G.D.F.); valeria.romanucci@unina.it (V.R.) 1 Department of Chemical Sciences, University Federico II,
Complesso Universitario Monte S. Angelo, Via Cintia 4, IT-80126 Napoli, Italy;
E-Mails: difabio@unina.it (G.D.F.); valeria.romanucci@unina.it (V.R.) 2 Department of Biology, University Federico II, Complesso Universitario Monte S. Angelo,
Via Cintia 4, IT-80126 Napoli, Italy; E-Mail: anna.demarco@unina.it 2 Department of Biology, University Federico II, Complesso Universitario Monte S. Angelo,
Via Cintia 4, IT-80126 Napoli, Italy; E-Mail: anna.demarco@unina.it † In honour of Professor Lucio Previtera’s 70th birthday. 1. Introduction: Medicinal Plants and Their Secondary Metabolites Plants form an important part of our diet, and plant constituents and their nutritional value have
been intensively studied for decades. In addition to primary metabolites (carbohydrates, lipids and
amino acids), plants are able to synthesise a wide variety of compounds referred to as secondary
metabolites. These are defined as compounds that do not have a well-recognised role in the essential
processes of the plant but play an important role in the interactions of the plant with the environment [1]. Despite the term “secondary”, these compounds confer selective advantages to plant species by
suppressing the growth of weeds; providing protection from predators, pathogens and abiotic stress;
attracting pollinators, providing benefits with respect to animals and microorganisms; and serving as
signals in interactions with other plants [2–8]. In addition, they play a role at the cellular level as
growth regulators, modulators of gene expression and signal transducers [9]. Because plants are
estimated to produce over 200,000 metabolites [10], research into new natural substances that can be
used in the pharmaceutical, agrochemical and agro-industrial production of drugs, biopesticides, and
food additives has grown in recent years. The yield of these compounds is often low (less than 1% dry
weight) and depends greatly on the physiological and developmental stage of the plant [11]. Of the
more than 400,000 species of plants, the phytochemicals of only a small percentage have been studied,
and of these phytochemicals, only a small percentage has been examined for their biological properties
because this research is complex and expensive. Two-thirds of medicinal plants are collected from the
wild, but in Europe, only approximately 10% of plants used for commercial purposes are cultivated [12]. Currently one fourth of all prescribed pharmaceuticals in industrialised countries contains compounds
that are directly or indirectly, via semi-synthesis, derived from plants. Furthermore, 11% of the
252 drugs considered as basic and essential by WHO are exclusively derived from flowering
plants [13]. The global market for plant-derived drugs has been estimated to be approximately 30.69
billion USD annually over the last decade, and phytochemicals such as terpenes and steroids represent
the most significant fraction with estimated annual sales of 12.4 billion USD [14]. Higher plants are rich source of bioactive constituents or phyto-pharmaceuticals used in the
pharmaceutical industry. Many of these pharmaceuticals are still in use today, and often, useful
synthetic substitutes have been found that possess the same efficacy and pharmacological specificity [15]. † In honour of Professor Lucio Previtera’s 70th birthday. † In honour of Professor Lucio Previtera’s 70th birthday. * Author to whom correspondence should be addressed; E-Mail: zarrelli@unina.it;
Tel.: +39-081-674472; Fax: +39-081-674393. * Author to whom correspondence should be addressed; E-Mail: zarrelli@unina.it;
Tel.: +39-081-674472; Fax: +39-081-674393. Received: 13 May 2014; in revised form: 3 July 2014 / Accepted: 4 July 2014 /
Published: 28 July 2014 Abstract: Because plants are estimated to produce over 200,000 metabolites, research into
new natural substances that can be used in the pharmaceutical, agrochemical and
agro-industrial production of drugs, biopesticides and food additives has grown in recent
years. The global market for plant-derived drugs over the last decade has been estimated to
be approximately 30.69 billion USD. A relevant specific example of a plant that is very
interesting for its numerous pharmacological properties, which include antidiabetic,
anticarcinogenic, and neuroprotective effects is Gymnema sylvestre, used as a medicinal
plant in Asia for thousands of years. Its properties are attributed to triterpenoidic saponins. In light of the considerable interest generated in the chemistry and pharmacological
properties of G. sylvestre triterpenes and their analogues, we have undertaken this
review in an effort to summarise the available literature on these promising bioactive
natural products. The review will detail studies on the isolation, chemistry and bioactivity
of the triterpenoids, which are presented in the tables. In particular the triterpenoids
oxidised at C-23; their isolation, distribution in different parts of the plant, and their
NMR spectral data; their names and physico-chemical characterisation; and the
biological properties associated with these compounds, with a focus on their potential
chemotherapeutic applications. Molecules 2014, 19 Molecules 2014, 19 Molecules 2014, 19 10957 Keywords: Gymnema sylvestre; triterpenoids; oleanes; pharmacological activities;
phytochemistry 1.1. Terpenes and Terpenoids Among the many biologically active substances of plant origin, a great deal of attention has been
paid to terpenes, which are composed of isoprene subunits. More than 30,000 terpenes have been
isolated thus far [17]. Terpenes are classified as mono-, sesqui-, di-, ses-, tri-, and tetraterpenes
according to the number of isoprenoid units. The carbon skeleton may be acyclic, or they may possess
mono-, bi-, tri-, tetra-, and pentacyclic structures [18–24]. Terpenes are of widespread and can be
found in all organisms, both prokaryotic and eukaryotic. However, most bioactive terpenes have been
detected in higher plants. Whereas mono- and sesquiterpenes are predominantly found in essential
plant oils, the higher terpenes, including triterpenes, are found in balsams and resins [25,26]. Triterpenoids in their free form (sapogenins), bound to glycosides (saponins) or acetylated are
particularly important and are ubiquitous throughout the plant kingdom; both in vitro and in vivo
studies have shown that they also have important biological functions. Because of their relatively
complex structures, terpenoids are usually referred to by trivial names instead of using systematic
IUPAC nomenclature. 1. Introduction: Medicinal Plants and Their Secondary Metabolites In addition to the field of pharmacology, secondary metabolites from plant extracts can also be used in
the agrochemical sector. The recent interest in chemical to be used as defences for agricultural crops
with less impact on the environment from operators in the sector and consumers has stimulated
research into the isolation of new molecules of natural origin for use as biopesticides [9]. Over 60% of cancer drugs and 66% of antimicrobial compounds on the market today (including
antibacterial, antifungal and antiviral compounds) are natural products or are derived from them [16]. Despite the difficulties associated with the study and isolation of phytochemicals, they have the
advantage of greater efficacy than synthetic drugs for some diseases and a lower incidence of side Molecules 2014, 19 10958 effects. Additionally, a large percentage of the world’s population has no access to conventional
pharmacological treatments. The different reasons mentioned above describe a situation in which
research has ample space to improve and simplify extraction protocols and increase the levels of
metabolites in plants of interest, through classical techniques of genetic improvement or innovative
biotechnological approaches aimed at modifying biosynthetic pathways, in addition to testing
substances already isolated for the widest possible spectrum of biological activities. 2. Triterpenoids from Gymnema sylvestre and Their Pharmacological Activities The triterpenoidic saponins also act against insect pests by forming an insoluble complex with
cholesterol, which is the precursor in the biosynthesis of the hormone ecdysone. Because cholesterol is
the only source of sterols for the majority of the insects and a main energy supply, the cholesterol
linked to saponins cannot be used, which leads to insect death [29]. A relevant specific example of a plant that is very interesting for its numerous pharmacological
properties, which include antidiabetic, anticarcinogenic, and neuroprotective effects is Gymnema sylvestre,
used as a medicinal plant in Asia for thousands of years. Its properties are attributed to triterpenoidic
saponins. In light of the considerable interest generated in the chemistry and pharmacological
properties of G. sylvestre triterpenes and their analogues, we have undertaken this review in an effort
to summarise the available literature on these promising bioactive natural products. The review will detail studies on the isolation, chemistry and bioactivity of the triterpenoids, which
are presented in the following tables: triterpenoids oxidised at C-23 (Table 1 and Figure 1); their
isolation, distribution in different parts of the plant, and their NMR spectral data (Table 2); their names
and physico-chemical characterisation (Tables 3 and 4, respectively); and, finally, the biological
properties associated with these compounds, with a focus on their potential chemotherapeutic
applications (Table 5). 1.2. Classification of Terpenoids and Their Biological Effects Based on the number of sugars present, saponins are classified as monodesmosides, with a single
saccharide chain generally linked to C-3; bidesmosides, with two sugar chains linked to C-3 and C-28;
and tridesmosides, with three saccharide chains. The sugars can be linear or branched; the most
widespread saccharides in triterpenoid saponins are D-glucose, D-galactose, L-arabinose, L-rhamnose,
D-xylose, D-fucose and glucuronic acid [27]. The biological effects of such terpenoids are very
different, and can be summarised as follows: antitumor, antiviral, antidiabetic, anti-inflammatory,
hepatoprotective, analgesic, antimicrobial, antimycotic, virostatic, immunomodulatory, and tonic
activities [17]. A few compounds, such as corosolic acid, a dietary supplement against diabetes, are
already on the market, and several others are in clinical trials or are to be launched soon. Many triterpenes exhibit significant biological activity, but several triterpenoids possess haemolytic
and cytostatic properties that restrict their pharmaceutical use. To overcome these limitations
and to expand the range of usable triterpenes, transformation of the compound by chemical or
biotechnological techniques is possible. They are also of extreme interest to the agrochemical field
because they are involved in the defence mechanisms of plants. Their biological activities are mainly
related to interactions with cell membranes. The main mechanism of action of saponins against fungi
appears to be related to their ability to form complexes with sterols in fungal membranes by altering
the membrane integrity [28]. Molecules 2014, 19 Molecules 2014, 19 10959 Biological Effects of Triterpenoids Diabetes mellitus (DM) is a disease caused by a deficiency or diminished effectiveness of
endogenous insulin. It is characterised by hyperglycaemia, deranged metabolism and sequelae
predominantly affecting the vasculature. There are two main types of diabetes mellitus: Type 1, in
which the body does not produce sufficient insulin; Type 2, due to the resistance to the insulin, often
initially with normal or increased levels of circulating insulin. In the UK, there were 2.9 million people
with diabetes in 2011. It is estimated that 5 million people will have diabetes in the UK by 2025. It is
also estimated that there are approximately 850,000 people who have undiagnosed diabetes. The
average prevalence of diabetes in the UK is 4.45% of the population, but there are variations between
countries and regions. The proportion of people with diabetes increases with age. However, the
incidence of diabetes is increasing in all age groups. Type 1 diabetes is increasing in children
(especially those < 5 years of age), and type 2 diabetes is increasing, particularly in black and minority
ethnic groups. In general, the prevalence of diabetes mellitus and its percentages in different
populations is almost the same throughout the world. Compounds 1−12, 15−20, 39−43 were tested for their antisweet activity. The antisweet activity was
tested on a group of volunteers who held a solution of the tested compounds (5 mL of the specific
compounds solution in 0.01 M NaHCO3) in their mouth for 3 min, spat, and rinsed with distilled water. The subjects were directed to taste 10 sucrose solutions from 0.1 to 1.0 M. The activity of the
compound tested was expressed at the maximum concentration of a sucrose solution whose sweetness
was suppressed completely. 0.5 mM of a solution of gymnemic acids I (1) and II (2) led a complete
suppression of sweetness induced by 0.4 mM sucrose. More precisely, application of a 1 mM solution
of 1 and 2 orally led to a complete suppression of sweetness induced by 0.2 and 0.4 M sucrose, Molecules 2014, 19 10960 respectively [30]. A 1.0 mM solution of gymnemic acids III (3), IV (4), V (5) and VI (6) led to a
complete suppression of sweetness induced by 0.4 mM sucrose [31,32]. The difference between the
structures of gymnemic acid III and gymnemic acid IV is only the absence or presence of a double
bond in the acyl group. Kurihara et al. Biological Effects of Triterpenoids [33] have suggested that the acyl groups might play an
important role in the generation of the antisweet activity. However, it seems that acyl groups only
increase the antisweet activity, but are not essential [34]. A 0.5 mM solution of gymnemic acids
VIII (8), IX (9) and X (10) leads to a complete suppression of the sweet taste of 0.2 M sucrose. The
results are similar to those for gymnemic acids III and IV, which are acylated at C21 [35]. In general, it has been found that the antisweet activity of these saponins decreases with the
decreasing number of acyl groups. In fact, a 0.5 mM solution of each of the gymnemic acids XI (11)
and XII (12), as with gymnemic acids I and II, are able to suppress the perception of sweetness due to
0.4 M sucrose. The results suggest the antisweet activity of a triterpenes is directly proportional to the
number of acyl groups present in the molecule [35]. A 0.5 M solution of gymnemic acids XV (15),
XVI (16), XVII (17), and XVIII (18) completely suppressed the sweet taste of 0.4 M sucrose, showing
the same activity of gymnemic acids I and II [36]. Gymnemic acid VII (7), prosapogenin (20) and
gymnemagenin (19) were not active at all [30–32]. In particular, gymnemic acid IV is a multidirectional
antihyperglycaemic agent with antisweet activity [31], glucose uptake inhibitory activity, and gut
glycosidase inhibitory action [37]. Moreover, the blood glucose lowering effect of gymnemic acid IV
was higher than glibenclamide, which was used as a control in streptozotocin-diabetic mice [29]. Most
of these pharmacological effects may synergistically contribute to alleviating type 2 diabetes-related
symptoms. Thus, gymnemic acid IV may be used as a prophylactic against diabetes through its
different mechanisms of action [38]. A 1.0 mM solution of compounds 41–43 completely reduced the perceived sweetness of 0.1 M
sucrose; these results correspond to half of the activity of gymnemic acids I−VI. Compounds 39 and
40 were not active [34]. The literature suggests that the pharmacological effects of G. sylvestre extract or its mixture of
triterpenoids occur through mechanisms such as modulation of incretin activity, stimulation of insulin
secretion and release, regeneration of β-endocrinocyte Langerhans islets, activation of enzymes
responsible for glucose utilisation, reduction of glucose and fatty acid assimilation in the small
intestine, and interference with the sensation of sweetness. Molecules 2014, 19 Molecules 2014, 19 10961 was correlated with the hypoglycaemic effect was observed in experimental animals with an
experimental form of immunodependent DM during a study of G. sylvestre activity. In Russia, tests of mixtures consisting of G. sylvestre extracts of various purities (certified
preparations of G. sylvestre dry extracts) in various concentrations in combination with extracts that
intensify the antioxidant effect (grape stem) and possess immunomodulating and regenerative
properties are underway. More than 30 different combinations have been investigated in detail in vitro
and in vivo. Considering these facts, it is obvious that G. sylvestre is a source of biologically
active substances. The very broad spectrum of pharmacological activity for G. sylvestre indicates that the use of its
extract or its components at various doses and in various combinations improves the condition of latent
forms of DM (prediabetes), treats insulin-independent DM, prolongs the action of hypoglycaemic
preparations, and regenerates β-cells for insulin-dependent and insulin-independent DM [45]. Despite
the results of these studies, only a few metabolites of G. sylvestre have been tested for their effects on
glucose uptake. Among them, gymnemosaponin V (43) and gymnemic acids I-IV increase the amount
of insulin in blood plasma in mice with streptozotocin-induced DM after their administration [35,38]. The presence of these compounds, but perhaps not only them, could explain that, when G. sylvestre
extract was used for 21 days after streptozotocin intoxication, it reliably reduced the levels of glucose
and HbAlc in blood plasma, increased the insulin content, and normalised the concentration of
high-density lipoproteins (HDL) [28]. The inhibitory activity of some triterpene glycosides was
examined to determine their impact on the increase in serum glucose level in oral glucose-loaded rats. Gymnemoside-b (33) and gymnemic acids III, V, and VII were found to exhibit slight inhibitory
activity towards the increase of glucose absorption after a single administration of 100 mg/kg, but
gymnemic acid I and gymnemasaponin, lacked this activity at the same dose. Although the above
compounds are included in one of three categories (acylated polyhydroxyoleanane 3-O-glucuronide) of
glucose absorption inhibitors, their activity is much less than that of their analogues [46]. Gymnemic
acids II and III showed potent inhibitory activities on glucose uptake, which were almost equivalent to
those of oleanolic acid-3-O-glucuronide and Escin Ia. Gymnemoside-f (37), gymnemic acid IV and
gymnemasapoin V were also found to inhibit glucose uptake, while gymenomosides-c (34), -d (35),
and -e (36) lacked this activity. Biological Effects of Triterpenoids It is known that hormones that regulate the
formation and secretion of hormones by pancreas islets are activated in response to the entry of food
into the intestine. Release of specific and well-known gastrointestinal hormones (GIP) into the portal
vein in response to the intraduodenal administration of D-glucose in the presence of G. sylvestre extract
enriched in gymnemic acids/triterpenoids by inhibitors of certain proposed glucose sensors and
transporters in the intestinal lumen has been studied experimentally [39]. Intraduodenal administration
of D-glucose caused a dose-dependent increase in the concentration of portal immunoreactive GIP. This suggests that the extract of G. sylvestre leaves or its constituents increases GIP secretion by
endocrine k-cells in the small intestine [40]. The literature suggests that the hypoglycaemic activity of
G. sylvestre is due to stimulating the release of insulin (and possibly the regeneration of Langerhans
islet β-cells) and enzymes responsible for glucose utilisation and inhibition of glucose absorption in the
bowel [27,41–43]. This means that the hypertrophy of β-endocrinocytes most likely occurs due to the
effect of G. sylvestre on the increased secretion of GIP [44]. An autogenic hormone in the blood that Molecules 2014, 19 10962 In recent years interest in cancer prevention has grown steadily and urgently, therefore it would be
particularly important to identify molecules that are able to prevent or avoid the processes of
carcinogenesis due to substances of which substantially we can’t do without or can’t avoid in our daily
life. Several anti-inflammatory substances are well known to inhibit the action of tumour promoters in
the mouse skin carcinogenesis. The compound 46 was found to inhibit the inflammatory reaction
induced by tumour promoters. This anti-inflammatory activity may play an important role in the
mechanism of antitumor promotion as it has already been demonstrated [48,49]. The effects of
compound 46 on the growth of HepG2 cells were measured. Its inhibitory effect was remarkably
effective (ID50 was 25 µM) as it induced apoptosis at high dose, and with a dose-dependent
manner [50,51]. Moreover, the application of antitumor-promoting triterpenoids is highly promising
for protection against tumour formation, and many triterpenoids were tested in vitro and in vivo against
the action of tumour promoter, 12-O-tetradecanoylphorbol 13-acetate (TPA) induced Epstein-Barr
virus (EBV) activation in Raji cells. Recently, ursolic and oleanolic acids have been reported to be
inhibitors of TPA and the dose responses of the acids were very similar to those of the antitumor
promoters, such as retinoic and glycyrrhetinic acids and their analogues [51,52]. Thus some glycyrrhetinic
acid-related compounds were found to be inhibitors of tumour promoter-induced phenomenon in vitro. Among these compounds, the compound 46 also proved to have in vivo antitumor-promoting activity
in mouse skin tumour formation induced by 7,12-dimethylbenz[a]anthracene plus tumor promoters
TPA [50]. Although its mechanism is unknown, the modulation of phospholipid metabolism appeared
to be a very interesting aspect was proved that the inhibitory potency of the triterpenoids for the
TPA-enhanced phospholipid synthesis is closely associated with their antitumor-promoting activity. Finally, a sulforhodamine B bioassay was used to determine the cytotoxicity of compound 44. Its
cytotoxic activity against four cultured human tumour cells was examined in vitro. The tumour cell
lines were A549 (non small cell lung adenocarcinoma), SK-OV-3 (ovarian cancer cells), SK-MEL-2
(skin melanoma), and HCT15 (colon cancer cells) [53,54]. Doxorubicin was used as the positive control. The tested compound was essentially no cytotoxic [55]. A crude extract o mixture of compounds used
in traditional medicine frequently contains components that have mutually opposing pharmacological
activities beneficial for a specific disease. Molecules 2014, 19 Gymnemic acids II and III showed no effect on the serum glucose
levels in oral glucose-loaded rats. They exhibited potent inhibitory activity towards glucose uptake in
rat small intestine fragments [37]. Gymnemic acid V is normally considered to inhibit glucose
absorption in the small intestine at a concentration of 100 mg/kg. The inhibitory effect is particularly
marked after 2 h of administration, with values that are quite comparable in absolute terms to those of
elatosides, escins, and senegasaponins, which were used as controls. Gymnemic acid I shows an effect
almost 50% higher than that of the control after 2 h despite appearing to be less active after 30 min and
1 h. A very similar effect that is only slightly smaller than the control or gymnemic acid V was
demonstrated for gymnemic acid VII and gymnemosides-a (32) and -b (33). In order of decreasing
activity up to a value of approximately 30% of the control were gymnemic acid II, IV, gymnemasaponins
IV and V, gymnesaponin II (40) and gymnemic acid III. However, no apparent structure-activity
relationship was observed [47]. Molecules 2014, 19 Molecules 2014, 19 The higher potency of a crude drug is probably due to a
synergistic effect among its component compounds, even though the activity of each compound is
weak when used alone. This does not mean that it is not relevant to define a complete picture of the
activities or biological properties of each compound. To identify a particular compound or a mixture of
those with remarkable properties we should be able to deal with infusions or extracts that may have a
different composition for an infinite number of reasons (location and/or harvesting season of the plant,
particularly plant species, manner and time of extraction or partial purification etc.). Furthermore, the
identification of one or of a few molecules suitable for the purpose would allow us to synthesize them,
with a process as much as economically or timely convenient and to obtain pure products or
well-defined composition. Molecules 2014, 19 Molecules 2014, 19 10963 Table 1. Common name and relative substituents of triterpenes with olean-12-ene skeleton. No. Molecules 2014, 19 Common Name
R1
R2
R3
R4
R5
R6
1
Gymnemic acid I/3-O-β-D-Glucuronopyranosyl-21-O-
tigloyl-28-O-acetyl gymnemagenin
GlcA
H
OH
OAc
OH
OTig
2 Gymnemic acid II/3-O-β-D-Glucuronopyranosyl-21-[S(+)-2-
methyl-butyloyl]-28-O-acetyl gymnemagenin
GlcA
H
OH
OAc
OH OMba
3
Gymnemic acid III/3-O-β-D-Glucuronopyranosyl-21-[S(+)-
2-methyl-butyloyl]-gymnemagenin
GlcA
H
OH
OH
OH OMba
4
Gymnemic acid IV/3-O-β-D-Glucuronopyranosyl-21-O-
tigloyl-gymnemagenin
GlcA
H
OH
OH
OH
OTig
5
Gymnemic acid V/3-O-β-D-Glucuronopyranosyl-21,22-bis-
tigloyl gymnemagenin
GlcA
H
OH
OH
OTig OTig
6
Gymnemic acid VI/3-O-[β-D-Glucuronopyranosyl(1→3)-β-
D-glucuronopyranosyl]-21-O-tigloyl gymnemagenin
A
H
OH
OH
OH
OTig
7
Gymnemic acid VII/3-O-β-D-
Glucuronopyranosylgymnestrogenin
GlcA
H
OH
OH
H
OH
8
Gymnemic acid VIII
B
H
OH
OH
OH OMba
9
Gymnemic acid IX
B
H
OH
OH
OH
OTig
10
Gymnemic acid X/3-O-β-D-Glucuronopyranosyl-28-O-
acethyl gymnemagenin
GlcA
H
OH
OAc
OH
OH
11 Gymnemic acid XI/3-O-β-D-Glucuronopyranosyl-21,28-bis-
O-tigloyl gymnemagenin
GlcA
H
OH OTig
OH
OTig
12
Gymnemic acid XII/3-O-β-D-Glucuronopyranosyl (1→3)-
O-β-D-glucopyranosyl-21-O-tigloyl-28-O-acetyl
gymnemagenin
A
H
OH
OAc
OH
OTig
13
Gymnemic acid XIII
GlcA
H
OH OMba OH
OH
14
Gymnemic acid XIV
GlcA
H
OH OTig
OH
OH
15
Gymnemic acid XV/3-O-β-D-Glucuronopiranosyl-21-O-2-
methylbutyryl-22-O-2-methylcrotonoylgymnemagenin
GlcA
H
OH
OH
OTig OMba
16 Gymnemic acid XVI/3-O-β-D-Glucuronopiranosyl 16,22-O-
bis-2-methylcrotonoylgymnemagenin
GlcA
H
Tig
OH
OTig
OH
17
Gymnemic acid XVII/3-O-β-D-Glucuronopiranosyl-21-O-
benzoyl gymnemagenin
GlcA
H
OH
OH
OH
OBz
18
Gymnemic acid XVIII/3-O-β-D-Glucuronopiranosyl-28-O-
benzoyl gymnemagenin
GlcA
H
OH
OBz
OH
OH
19
Gymnemagenin/3β,16β,21β,22α,23,28-hexahydroxyolean-
12-ene
H
H
OH
OH
OH
OH
20 Prosapogenin/3-O-β-D-Glucuronopyranosyl gymnemagenin GlcA
H
OH
OH
OH
OH
21
12-Oleanene-3β,16β,23,28-tetrol/23-
Hydroxylongispinogenin
H
H
OH
OH
H
H
22
3,16,23,28-O-Tetraacetyl 3β,16β,23,28-tetrahydroxyolean-
12-ene
OAc OAc OAc OAc
H
H
23
21-O-(2S)-Methylbutanoyl 3β,16β,21β,22α,23,28-
hexahydroxyolean-12-ene
H
H
OH
OH
OH OMba
24
28-O-acetyl 21-O-(2S)-methylbutanoyl
3β,16β,21β,22α,23,28-hexahydroxyolean-12-ene
H
H
OH
OAc
OH OMba
25
3,16,22,23,28-O-Pentaacetyl 21-O-(2S)-methylbutanoyl
3β,16β,21β,22α,23,28-hexahydroxyolean-12-ene
OAc OAc OAc OAc OAc OMba
26
21-O-Tigloyl 3β,16β,21β,22α,23,28-hexahydroxyolean-12-
ene
H
H
OH
OH
OH
OTig
27
Gymnemanol/3β,16β,22α,23,28-pentahydroxyolean-12-en
H
H
OH
OH
OH
H Molecules 2014, 19 10964 Table 1. Cont. Table 1. Cont. No. For partial structures Glc, GlcA, A, B, C, and D see Figure 1. Molecules 2014, 19 Common Name
R1
R2
R3
R4
R5
R6
28 Gymnemasin A/3-O-[β-D-Gluconopyranosyl(1→3)-β-
D-glucuronopyranosyl]-22-O-tigloyl gymnemanol
A
H
OH
OH
OTig
H
29 Gymnemasin B/3-O-[β-D-Gluconopyranosyl(1→3)-β-
D-glucuronopyranosyl]-gymnemanol
A
H
OH
OH
OH
H
30
Gymnemasin C/3-O-β-D-glucuronopyranosyl-22-
tigloyl gymnemanol
GlcA
H
OH
OH
OTig
H
31
Gymnemasin D/3-O-β-D-
glucuronopyranosylgymnemanol
GlcA
H
OH
OH
OH
H
32
Gymnemoside-a/21-O-Tigloyl-22-O-
acetylgymnemagenin 3-O-β-D-glucupyranosiduronic
acid
GlcA
H
OH
OH
OAc OTig
33
Gymnemoside-b/16-O-Acetyl-21-O-tigloyl-
gymnemagenin 3-O-β-D-glucupyranosiduronic acid
GlcA
H
OAc
OH
OH OTig
34
Gymnemoside-c/21-O-Benzoyl-28-O-
acetylgymnemagenin 3-O-β-D-glucupyranosiduronic
acid
GlcA
H
OH
OAc
OH
OBz
35
Gymnemoside-d/23-O-[β-D-Xylopyranosyl (1→6)-β-
D-glucopyranosyl (1→6)-β-D-glucopyranosyl]
gymnestrogenin
H
D
OH
OH
H
OH
36
Gymnemoside-e/23-O-[β-D-Xylopyranosyl(1→6)-β-
D-glucopyranosyl (1→6)-β-D-glucopyranosyl]-28-O-
[β-D-glucopyranosyl(1→6)-β-D-glucopyranosy] 23-
hydroxylongispinogenin
H
D
OH
C
H
H
37
Gymnemoside-f/23-O-[β-D-Xylopyranosyl(1→6)-β-
D-glucopyranosyl (1→6)-β-D-glucopyranosyl]-28-O-
[9-D-glucopyranosyl (1→6)-β-D-glucopyarnosyl]
3β,16β,23,28-tetrahydroxyolean-18-ene
See Figure 2
38
23-O-[β-D-Glucopyranosyl (1→6)-β-D-
glucopyranosyl]-oleanene-3β,16β,23,28-tetrol/(+)-28-
O-Desglucosylgymnemasaponin IV
H
C
OH OH
H
H
39
Gymnemasaponin I
H
H
OH Glc
H
H
40
Gymnemasaponin II
H
Glc OH Glc
H
H
41
Gymnemasaponin III
H
Glc OH C
H
H
42
Gymnemasaponin IV
H
C
OH Glc
H
H
43
Gymnemasaponin V
H
C
OH C
H
H
44
Gymnestrogenin/3β,16β,21β,23,28-
Pentahydroxyolean-12-ene
H
H
OH OH
H
OH
45
3β,16α,23,28-Tetrahydroxyolean-12-ene
See Figure 2
46
3β,23,28-Trihydroxyolean-12-ene
H
H
H OH
H
H
47
3β,16β,21β,23-Tetrahydroxyolean-12-ene
See Figure 2
48
3β,16β,21β,23,28-Pentahydroxyolean-12-ene
H
H
OH
OH
H
OH
49
3β,16β,21α,23,28-Pentahydroxyolean-12-ene
See Figure 2
50
3β,16β,23,28-Tetrahydroxyolean-13(18)-ene
See Figure 2
51
16β,23,28-Trihydroxyolean-12-en-3-one
See Figure 2
52
16β,21β,23,28-Tetrahydroxyolean-12-en-3-one
See Figure 2
53
16β,21β,22α,23,28-Pentahydroxyolean-12-en-3-one
For partial structures Glc, GlcA, A, B, C, and D see Figure 1. 965 Bz
O
O
OH
O
HO
OH
O
O
HO
Glc
Glc
6
1
6
B
D
sylvestre
O
Mba
S
O
HO
HO
O
HOH2C
O
O
OH
HOOC
O
HO
3
1 Bz
vestre
Mba
S O
OH
O
3 OH ylvestre
Mba
S l
t
Mba
S O
HO
O
6
m G. s O
OH
O
Glc
O
O
OH
OH2C
O
O
OH
HOOC
O
HO
Glc
GlcA
3
1
O
HO
HO
OH
Xyl
1
A
R3
R5
R6
21
22
28
30
lated
charides and substituents of triterpenoids f
R4
O
E
Tig C
Gl Glc
R3
R5
22
28
ted
arides and substitu
R4 966 Chemical structures of compounds 37, 45, 47, 49–53. HO
OH
3
16
23
28
OH
OH
12
13
Compound 45
HO
OH
3
16
23
28
OH
12
13
R1
R2
Compound 47 R1 = β-OH R2 = H
Compound 49 R1 = α-OH R2 = OH
Compound 50 R1 = H R2 = OH
OH
28
R1
Compound 51 R1 = H R2 = H
Compound 52 R1 = OH R2 = H
Compound 53 R1 = H R2 = OH
OH
R2 49–53. HO
OH
3
16
23
28
OH
12
13
R
R
Compound 47 R1 = β-OH R2 = H
Compound 49 R1 = α-OH R2 = OH
Compound 50 R1 = H R2 = OH 49–53. HO
OH
3
16
23
28
OH
12
13
R
R
Compound 47 R1 = β-OH R2 = H
Compound 49 R1 = α-OH R2 = OH
Compound 50 R1 = H R2 = OH HO HO HO
OH
3
16
23
28
OH
12
13
Compound 45
H
8
R1
Compound 51 R1 = H R2 = H
Compound 52 R1 = OH R2 = H
Compound 53 R1 = H R2 = O
OH
R2 nd C Molecules 2014, 19 Molecules 2014, 19 10967 Table 2. Isolation and distribution of triterpenes in the different parts of the plants and their
NMR spectral data. No. Part of
the Plant
Extract
Ref. Aspect
Solvents of NMR Spectra
1H-NMR
13C-NMR
Ref. 1
Leaves
H2O
CH3OH
[31]
[46]
/
C5D5N
C5D5N
[31,35]
2
Leaves
H2O
CH3OH
[31]
[46]
/
C5D5N
C5D5N
[31]
3
Leaves
H2O
CH3OH
[31]
[46]
Colourless powder
C5D5N
C5D5N
[30,31,56]
4
Leaves
H2O
CH3OH
[31]
[46]
Colourless powder
C5D5N
C5D5N
[30,31,56]
5
Leaves
H2O
CH3OH
[32,46]
Colourless powder
C5D5N
C5D5N
[32,56]
6
Leaves
H2O
[32]
/
C5D5N
C5D5N
[32]
7
Leaves
Leaves
H2O
CH3OH
[32,46]
/
C5D5N
C5D5N
[32]
8
Leaves
H2O
[56]
Colourless powder
C5D5N+D2O
C5D5N+D2O
[56]
9
Leaves
H2O
[56]
Colourless powder
C5D5N+D2O
C5D5N+D2O
[56]
10
Leaves
H2O:EtOH (2:3)
[35]
Amorphous white
powder
C5D5N
C5D5N
[35]
11
Leaves
H2O:EtOH (2:3)
[35]
Amorphous white
powder
C5D5N
C5D5N
[35]
12
Leaves
H2O:EtOH (2:3)
[35]
Amorphous white
powder
C5D5N
C5D5N
[35]
13
Leaves
H2O:EtOH (2:3)
[35]
Amorphous powder
C5D5N
C5D5N
[35]
14
Leaves
H2O:EtOH (2:3)
[35]
Amorphous powder
C5D5N
C5D5N
[35]
15
Leaves
H2O:EtOH (2:3)
[36]
Amorphous white
powder
C5D5N
C5D5N
[36]
16
Leaves
H2O:EtOH (2:3)
[36]
Amorphous white
powder
C5D5N
C5D5N
[36]
17
Leaves
H2O:EtOH (2:3)
[36]
Amorphous white
powder
C5D5N
C5D5N
[36]
18
Leaves
H2O:EtOH (2:3)
[36]
Amorphous white
powder
C5D5N
C5D5N
[36]
19
Leaves
Microwave
[51]
[32]
/
C5D5N
C5D5N
CDCl3+CD3OD
[31,56]
[57]
By synthesis
20
By synthesis
[32]
/
C5D5N
C5D5N
CD3OD
[31,56]
[57]
21 Aerial parts
CH2Cl2
[58]
Amorphous powder
CD3OD
CD3OD
[58] Molecules 2014, 19 10968 Table 2. Cont. No. Part of
the Plant
Extract
Ref. Aspect
Solvents of NMR Spectra
1H-NMR
13C-NMR Ref. 22
Aerial parts
CH2Cl2
[58]
Amorphous powder
CD3OD
CD3OD
[58]
23
Aerial parts
CH2Cl2
[58]
Amorphous powder
CD3OD
CD3OD
[58]
24
Aerial parts
CH2Cl2
[58]
Amorphous powder
CD3OD
CD3OD
[58]
25
Aerial parts
CH2Cl2
[58]
Amorphous powder
CD3OD
CD3OD
[58]
26
Aerial parts
CH2Cl2
[58]
Amorphous powder
CD3OD
CD3OD
[58]
27
By synthesis
[59]
Micro-needles
C5D5N
C5D5N
[59]
28
Leaves
H2O:EtOH (1:1)
[59]
Amorphous powder
C5D5N
C5D5N
[59]
29
Leaves
H2O:EtOH (1:1)
[59]
Amorphous powder
C5D5N
C5D5N
[59]
30
Leaves
H2O:EtOH (1:1)
[59]
Amorphous powder
C5D5N
C5D5N
[59]
31
Leaves
H2O:EtOH (1:1)
[59]
Amorphous powder
C5D5N
C5D5N
[59]
32
Leaves
CH3OH
[46]
Colourless fine crystals
C5D5N
C5D5N
[46]
33
Leaves
CH3OH
[46]
Colourless fine crystals
C5D5N
C5D5N
[46]
34
Leaves
CH3OH
[46]
Colourless fine crystals
C5D5N
C5D5N
[37]
35
Leaves
CH3OH
[46]
Colourless fine crystals
C5D5N
C5D5N
[37]
36
Leaves
CH3OH
[46]
Colourless fine crystals
C5D5N
C5D5N
[37]
37
Leaves
CH3OH
[46]
Colourless fine crystals
C5D5N
C5D5N
[37]
38
By synthesis
[34]
/
C5D5N
C5D5N
[34]
39
Leaves
H2O:EtOH (1:1)
[34]
/
C5D5N
C5D5N
[34]
40
Leaves
CH3OH
H2O:EtOH (1:1)
[46]
[34]
/
C5D5N
C5D5N
[34]
41
Leaves
H2O:EtOH (1:1)
[34]
/
C5D5N
C5D5N
[34]
42
Leaves
CH3OH
H2O:EtOH (1:1)
[46]
[34]
/
C5D5N
C5D5N
[34]
43
Leaves
CH3OH
H2O:EtOH (1:1)
[46]
[34]
/
C5D5N
C5D5N
[34]
44
Aerial parts
H2O
[32,60]
/
C5D5N
C5D5N
[32]
By synthesis
45
Aerial parts
H2O
[57]
Amorphous powder
CD3OD
CDCl3
CD3OD
CDCl3
[58]
[61]
46
Aerial parts
CH2Cl2
[60]
/
CDCl3
CDCl3
[62]
47
Aerial parts
CH2Cl2
[60]
Amorphous powder
CD3OD
CD3OD
[60]
48
Aerial parts
CH2Cl2
[60]
/
C5D5N
C5D5N
[32]
49
Aerial parts
CH2Cl2
[60]
Amorphous powder
CD3OD
CD3OD
[60]
50
Aerial parts
CH2Cl2
[60]
Amorphous powder
CD3OD
CD3OD
[60]
51
Aerial parts
CH2Cl2
[60]
Amorphous powder
CD3OD
CD3OD
[60]
52
Aerial parts
CH2Cl2
[60]
Amorphous powder
CD3OD
CD3OD
[60]
53
Aerial parts
CH2Cl2
[60]
Amorphous powder
CD3OD
CD3OD
[60] Molecules 2014, 19 Molecules 2014, 19 10969 Table 3. Systematic names and physico-chemical characterization of triterpenes-1. Table 3. Systematic names and physico-chemical characterization of triterpenes-1. No. Systematic Name
CAS
Molecular
Formula
Molecular
Weight
Melting
Point °C
Ref. 1
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(acetyloxy)-16,22,23-
trihydroxy-21-[[(2E)-2-methyl-1-oxo-2-buten-
1-yl]oxy]olean-12-en-3-yl
122,168-
40-5
C43H66O14
806.97
211–212
[31]
2
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(acetyloxy)-16,22,23-
trihydroxy-21-[(2S)-2-methyl-1-
oxobutoxy]olean-12-en-3-yl
122,144-
48-3
C43H68O14
808.99
212–213
[31]
3
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,22,23,28-tetrahydroxy-
21-[(2S)-2-methyl-1-oxobutoxy]olean-12-en-3-
yl
122,074-
65-1
C41H66O13
766.95
219–221
218–219
[56]
[31]
4
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,22,23,28-tetrahydroxy-
21-[[(2E)-2-methyl-1-oxo-2-buten-1-
yl]oxy]olean-12-en-3-yl
121,903-
96-6
C41H64O13
764.94
229–231
210–221
[56]
[31]
5
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,23,28-trihydroxy-
21,22-bis[[(2E)-2-methyl-1-oxo-2-butenyl]-
oxy]olean-12-en-3-yl
121,903-
99-9
C46H70O14
847.04
214–216
202–203
[56]
[32]
6
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,22,23,28-tetrahydroxy-
21-[[(2E)-2-methyl-1-oxo-2-butenyl]oxy]olean-
12-en-3-yl 3-O-β-D-glucopyranosyl
121,903-
98-8
C47H74O18
927.08
225–226
[32]
7
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β)-16,21,23,28-
tetrahydroxyolean-12-en-3-yl
121,903-
97-7
C36H58O11
666.84
222–223
[32]
8
β-D-Glucopyranosiduronic acid,
[3β,4α,16β,21β(S),22α]-16,22,23,28-
tetrahydroxy-21-(2-methyl-1-oxobutoxy)olean-
12-en-3-yl 3-O-β-D-arabino-hexopyranos-2-
ulos-1-yl
131,653-
19-5
C47H74O18
927.08
218–220
[56]
9
β-D-Glucopyranosiduronic acid,
[3β,4α,16β,21β(E),22α]-16,22,23,28-
tetrahydroxy-21-[(2-methyl-1-oxo-2-
butenyl)oxy]-olean-12-en-3-yl 3-O-β-D-
arabino-hexopyranos-2-ulos-1-yl
131,653-
20-8
C47H72O18
925.06
222–224
[56]
10
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(acetyloxy)-
16,21,22,23-tetrahydroxyolean-12-en-3-yl
147,934-
05-2
C38H60O13
724.86
210–212
[35] Table 3. Systematic names and physico-chemical characterization of triterpenes-1. No. Systematic Name
CAS
Molecular
Formula
Molecular
Weight
Melting
Point °C
Ref. 1
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(acetyloxy)-16,22,23-
trihydroxy-21-[[(2E)-2-methyl-1-oxo-2-buten-
1-yl]oxy]olean-12-en-3-yl
122,168-
40-5
C43H66O14
806.97
211–212
[31]
2
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(acetyloxy)-16,22,23-
trihydroxy-21-[(2S)-2-methyl-1-
oxobutoxy]olean-12-en-3-yl
122,144-
48-3
C43H68O14
808.99
212–213
[31]
3
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,22,23,28-tetrahydroxy-
21-[(2S)-2-methyl-1-oxobutoxy]olean-12-en-3-
yl
122,074-
65-1
C41H66O13
766.95
219–221
218–219
[56]
[31]
4
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,22,23,28-tetrahydroxy-
21-[[(2E)-2-methyl-1-oxo-2-buten-1-
yl]oxy]olean-12-en-3-yl
121,903-
96-6
C41H64O13
764.94
229–231
210–221
[56]
[31]
5
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,23,28-trihydroxy-
21,22-bis[[(2E)-2-methyl-1-oxo-2-butenyl]-
oxy]olean-12-en-3-yl
121,903-
99-9
C46H70O14
847.04
214–216
202–203
[56]
[32]
6
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,22,23,28-tetrahydroxy-
21-[[(2E)-2-methyl-1-oxo-2-butenyl]oxy]olean-
12-en-3-yl 3-O-β-D-glucopyranosyl
121,903-
98-8
C47H74O18
927.08
225–226
[32]
7
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β)-16,21,23,28-
tetrahydroxyolean-12-en-3-yl
121,903-
97-7
C36H58O11
666.84
222–223
[32]
8
β-D-Glucopyranosiduronic acid,
[3β,4α,16β,21β(S),22α]-16,22,23,28-
tetrahydroxy-21-(2-methyl-1-oxobutoxy)olean-
12-en-3-yl 3-O-β-D-arabino-hexopyranos-2-
ulos-1-yl
131,653-
19-5
C47H74O18
927.08
218–220
[56]
9
β-D-Glucopyranosiduronic acid,
[3β,4α,16β,21β(E),22α]-16,22,23,28-
tetrahydroxy-21-[(2-methyl-1-oxo-2-
butenyl)oxy]-olean-12-en-3-yl 3-O-β-D-
arabino-hexopyranos-2-ulos-1-yl
131,653-
20-8
C47H72O18
925.06
222–224
[56]
10
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(acetyloxy)-
16,21,22,23-tetrahydroxyolean-12-en-3-yl
147,934-
05-2
C38H60O13
724.86
210–212
[35] 10 10 Molecules 2014, 19 10970 Table 3. Cont. No. Systematic Name
CAS
Molecular
Formula
Molecular
Weight
Melting
Point °C
Ref. 11
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,22,23-trihydroxy-
21,28-bis[[(2E)-2-methyl-1-oxo-2-
butenyl]oxy]-olean-12-en-3-yl
147,899-35-2 C46H70O14
847.04
190–192
[35]
12
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(acetyloxy)-
16,22,23-trihydroxy-21-[[(2E)-2-methyl-1-
oxo-2-butenyl]oxy]olean-12-en-3-yl 3-O-β-
D-glucopyranosyl
147,899-36-3 C49H76O19
968.50
209–211
[35]
13
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,21,22,23-
tetrahydroxy-28-[(2S)-2-methyl-1-
oxobutoxy]olean-12-en-3-yl
155,023-61-3 C41H66O13
766.95
185–187
[35]
14
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,21,22,23-
tetrahydroxy-28-[[(2E)-2-methyl-1-oxo-2-
butenyl]oxy]olean-12-en-3-yl
155,023-62-4 C41H64O13
764.94
194–196
[35]
15
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,23,28-trihydroxy-
22-[[(2E)-2-methyl-1-oxo-2-butenyl]oxy]-
21-(2-methyl-1-oxobutoxy)olean-12-en-3-
yl
154,977-74-9 C46H72O14
849.06
/
/
16
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-21,23,28-trihydroxy-
16,22-bis[[(2E)-2-methyl-1-oxo-2-
butenyl]oxy]olean-12-en-3-yl
154,977-75-0 C46H70O14
847.04
203–205
[36]
17
Gymnemic acid XVII/β-D-
Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-21-(benzoyloxy)-
16,22,23,28-tetrahydroxyolean-12-en-3-yl
154,977-76-1 C43H62O13
786.94
211–213
[36]
18
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(benzoyloxy)-
16,21,22,23-tetrahydroxyolean-12-en-3-yl
154,977-77-2 C43H62O13
786.94
201–203
[36]
19
Olean-12-ene-3,16,21,22,23,28-hexol,
(3β,4α,16β,21β,22α)
22,467-07-8
C30H50O6
506.71
313–314
>300
328–335
[32,35]
[56]
[63]
20
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-3,16,21,22,23,28-
hexahydroxyolean-12-en-3-yl
50,647-08-0 C36H58O11
666.84
230–231 [32,35]
21
3β,16β,23,28-Tetrahydroxyolean-12-ene
42,483-24-9
C30H50O4
474.72
/
[58] No. Systematic Name
CAS
Molecular
Formula
Molecular
Weight
Melting
Point °C
Ref. 11
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,22,23-trihydroxy-
21,28-bis[[(2E)-2-methyl-1-oxo-2-
butenyl]oxy]-olean-12-en-3-yl
147,899-35-2 C46H70O14
847.04
190–192
[35]
12
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(acetyloxy)-
16,22,23-trihydroxy-21-[[(2E)-2-methyl-1-
oxo-2-butenyl]oxy]olean-12-en-3-yl 3-O-β-
D-glucopyranosyl
147,899-36-3 C49H76O19
968.50
209–211
[35]
13
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,21,22,23-
tetrahydroxy-28-[(2S)-2-methyl-1-
oxobutoxy]olean-12-en-3-yl
155,023-61-3 C41H66O13
766.95
185–187
[35]
14
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,21,22,23-
tetrahydroxy-28-[[(2E)-2-methyl-1-oxo-2-
butenyl]oxy]olean-12-en-3-yl
155,023-62-4 C41H64O13
764.94
194–196
[35]
15
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16,23,28-trihydroxy-
22-[[(2E)-2-methyl-1-oxo-2-butenyl]oxy]-
21-(2-methyl-1-oxobutoxy)olean-12-en-3-
yl
154,977-74-9 C46H72O14
849.06
/
/
16
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-21,23,28-trihydroxy-
16,22-bis[[(2E)-2-methyl-1-oxo-2-
butenyl]oxy]olean-12-en-3-yl
154,977-75-0 C46H70O14
847.04
203–205
[36]
17
Gymnemic acid XVII/β-D-
Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-21-(benzoyloxy)-
16,22,23,28-tetrahydroxyolean-12-en-3-yl
154,977-76-1 C43H62O13
786.94
211–213
[36]
18
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(benzoyloxy)-
16,21,22,23-tetrahydroxyolean-12-en-3-yl
154,977-77-2 C43H62O13
786.94
201–203
[36]
19
Olean-12-ene-3,16,21,22,23,28-hexol,
(3β,4α,16β,21β,22α)
22,467-07-8
C30H50O6
506.71
313–314
>300
328–335
[32,35]
[56]
[63]
20
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-3,16,21,22,23,28-
hexahydroxyolean-12-en-3-yl
50,647-08-0 C36H58O11
666.84
230–231 [32,35]
21
3β,16β,23,28-Tetrahydroxyolean-12-ene
42,483-24-9
C30H50O4
474.72
/
[58] No. Molecules 2014, 19 10971 Table 3. Cont. Table 3. Cont. No. Systematic Name
CAS
Molecular
Formula
Molecular
Weight
Melting
Point °C
Ref. 22
3,16,23,28-O-Tetraacetyl 3β,16β,23,28-
tetrahydroxyolean-12-ene
/
C38H59O7
627.87
/
[58]
23
21-O-(2S)-Methylbutanoyl
3β,16β,21β,22α,23,28-hexahydroxyolean-
12-ene
/
C35H59O7
591.84
/
[58]
24
28-O-Acetyl 21-O-(2S)-methylbutanoyl
3β,16β,21β,22α,23,28-hexahydroxyolean-
12-ene
/
C37H61O7
617.88
/
[58]
25
3,16,22,23,28-O-Pentaacetyl 21-O-(2S)-
methylbutanoyl 3β,16β,21β,22α,23,28-
hexahydroxyolean-12-ene
/
C45H68O11
785.01
/
[58]
26
21-O-Tigloyl 3β,16β,21β,22α,23,28-
hexahydroxyolean-12-ene
/
C35H57O6
573.82
/
[58]
27
Olean-12-ene-3,16,22,23,28-pentol,
(3β,4α,16β,22α)
174,324-
52-8
C30H50O5
490.72
284–285
[59]
28
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,22α)-16,23,28-trihydroxy-22-
[[(2E)-2-methyl-1-oxo-2-
butenyl]oxy]olean-12-en-3-yl 3-O-β-D-
glucopyranosyl
174,324-
49-3
C47H74O17
910.49
215–217
[59]
29
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,22α)-16,22,23,28-
tetrahydroxyolean-12-en-3-yl 3-O-β-D-
glucopyranosyl
174,324-
48-2
C42H68O16
828.45
221–222
[59]
30
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,22α)-16,23,28-trihydroxy-22-
[[(2E)-2-methyl-1-oxo-2-
butenyl]oxy]olean-12-en-3-yl
174,324-
50-6
C41H64O12
748.44
212–214
[59]
31
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,22α)-16,22,23,28-
tetrahydroxyolean-12-en-3-yl
174,324-
51-7
C36H58O11
666.40
220–221
[59]
32
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-22-(acetyloxy)-
16,23,28-trihydroxy-21-[[(2E)-2-methyl-1-
oxo-2-buten-1-yl]oxy]olean-12-en-3-yl
175,033-
15-5
C43H66O14
806.98
207.0–208.5 [46]
33
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16-(acetyloxy)-
22,23,28-trihydroxy-21-[[(2E)-2-methyl-1-
oxo-2-buten-1-yl]oxy]olean-12-en-3-yl
174,232-
51-0
C43H66O14
806.98
211.5–213.0 [46]
34
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(acetyloxy)-21-
(benzoyloxy)-16,22,23-trihydroxyolean-12-
en-3-yl
199,618-
65-0
C45H64O14
828.98
211.5–213.0 [37]
35
β-D-Glucopyranoside, (3β,4α,16β,21β)-
3,16,21,28-tetrahydroxyolean-12-en-23-yl
O-β-D-xylopyranosyl-(1→6)-O-β-D-
glucopyranosyl-(1→6)-β-D-glucopyranosyl
199,618-
66-1
C47H78O19
947.11
219.1–221.0 [37] No. Systematic Name
CAS
Molecular
Formula
Molecular
Weight
Melting
Point °C
Ref. 22
3,16,23,28-O-Tetraacetyl 3β,16β,23,28-
tetrahydroxyolean-12-ene
/
C38H59O7
627.87
/
[58]
23
21-O-(2S)-Methylbutanoyl
3β,16β,21β,22α,23,28-hexahydroxyolean-
12-ene
/
C35H59O7
591.84
/
[58]
24
28-O-Acetyl 21-O-(2S)-methylbutanoyl
3β,16β,21β,22α,23,28-hexahydroxyolean-
12-ene
/
C37H61O7
617.88
/
[58]
25
3,16,22,23,28-O-Pentaacetyl 21-O-(2S)-
methylbutanoyl 3β,16β,21β,22α,23,28-
hexahydroxyolean-12-ene
/
C45H68O11
785.01
/
[58]
26
21-O-Tigloyl 3β,16β,21β,22α,23,28-
hexahydroxyolean-12-ene
/
C35H57O6
573.82
/
[58]
27
Olean-12-ene-3,16,22,23,28-pentol,
(3β,4α,16β,22α)
174,324-
52-8
C30H50O5
490.72
284–285
[59]
28
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,22α)-16,23,28-trihydroxy-22-
[[(2E)-2-methyl-1-oxo-2-
butenyl]oxy]olean-12-en-3-yl 3-O-β-D-
glucopyranosyl
174,324-
49-3
C47H74O17
910.49
215–217
[59]
29
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,22α)-16,22,23,28-
tetrahydroxyolean-12-en-3-yl 3-O-β-D-
glucopyranosyl
174,324-
48-2
C42H68O16
828.45
221–222
[59]
30
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,22α)-16,23,28-trihydroxy-22-
[[(2E)-2-methyl-1-oxo-2-
butenyl]oxy]olean-12-en-3-yl
174,324-
50-6
C41H64O12
748.44
212–214
[59]
31
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,22α)-16,22,23,28-
tetrahydroxyolean-12-en-3-yl
174,324-
51-7
C36H58O11
666.40
220–221
[59]
32
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-22-(acetyloxy)-
16,23,28-trihydroxy-21-[[(2E)-2-methyl-1-
oxo-2-buten-1-yl]oxy]olean-12-en-3-yl
175,033-
15-5
C43H66O14
806.98
207.0–208.5 [46]
33
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-16-(acetyloxy)-
22,23,28-trihydroxy-21-[[(2E)-2-methyl-1-
oxo-2-buten-1-yl]oxy]olean-12-en-3-yl
174,232-
51-0
C43H66O14
806.98
211.5–213.0 [46]
34
β-D-Glucopyranosiduronic acid,
(3β,4α,16β,21β,22α)-28-(acetyloxy)-21-
(benzoyloxy)-16,22,23-trihydroxyolean-12-
en-3-yl
199,618-
65-0
C45H64O14
828.98
211.5–213.0 [37]
35
β-D-Glucopyranoside, (3β,4α,16β,21β)-
3,16,21,28-tetrahydroxyolean-12-en-23-yl
O-β-D-xylopyranosyl-(1→6)-O-β-D-
glucopyranosyl-(1→6)-β-D-glucopyranosyl
199,618-
66-1
C47H78O19
947.11
219.1–221.0 [37] 29 Molecules 2014, 19 10972 Table 3. Cont. Table 3. Cont. No. Systematic Name
CAS
Molecular
Formula
Molecular
Weight
Melting
Point °C
Ref. MS Analysis
1
/
2
/
3
/
4
/
5
/
FAB(+): 892 [M + 2Na]+
6
FAB(+): 972 [M + 2Na]+
7
FAB(+): 712 [M + 2Na]+
8
HR-FAB(+): 949.4818 [M + Na]+
9
HR-FAB(+): 947.4681 [M + Na]+
10
FAB(−): 723[M − H]−
11
FAB(−): 845 [M − H]−
12
FAB(−): 967 [M − H]−
13
FAB(−): 765 [M − H]−
14
FAB(−): 763 [M − H]−
15
FAB(−): 847 [M − H]−, 747 [M − H −
C5H8O2]−,
745 [M − H − C5H10O2]−, 645 [M − H −
C5H8O2-C5H10O2]−
16
FAB(−): 845 [M − H]−, 745 [M − H −
C5H8O2]−,
645 [M – H − 2C5H8O2]−
17
FAB(−): 785 [M − H]−, 663 [M − H −
C7H6O2]−
18
FAB(−): 785 [M − H]−, 663 [M − H −
C7H6O2]−
19
FAB(+): 529 [M + Na]+
FAB(+): 506 [M]+, 488 [M − H2O]+
HR-ESI-MS: 507.3678 [M + H]+
20
FAB(+): 705 [M + Na]+
728 [M + 2Na]+
21
ESI-MS: 475.2 [M + H]+. HR-ESI-MS:
475.3780 [M + H]+
FAB(+): 497 [M + Na]+
22
HR-ESI-MS: 643.4204 [M + H]+ Table 4. Physico-chemical characterization of triterpenes-2. No. MS Analysis
IR υmax, cm−l
[α]D (c,
MeOH)
Ref. 1
/
/
+36.7° (2.4)
[31]
2
/
/
+36.3° (1.5)
[31]
3
/
3400 (OH), 1715 (C=O)
+9.6° (0.39)
[56]
4
/
3400 (OH), 1700 (C=O)
+7.4° (0.21)
[56]
5
/
FAB(+): 892 [M + 2Na]+
3400 (OH), 1700 (C=O)
/
+3.3° (0.30)
+2.2° (3.6)
[56]
[32]
6
FAB(+): 972 [M + 2Na]+
/
+11.7° (1.1)
[32]
7
FAB(+): 712 [M + 2Na]+
/
+9.6° (5.7)
[32]
8
HR-FAB(+): 949.4818 [M + Na]+
3450 (OH), 1730 (C=O)
+17.3° (0.74)
[56]
9
HR-FAB(+): 947.4681 [M + Na]+
3400 (OH), 1730 (C=O),
1700 (C=O)
+11.4° (0.70)
[56]
10
FAB(−): 723[M − H]−
3400 (OH), 1740 (C=O),
1610 (C=C), 1040 (OH)
+14.9° (2.3)
[35]
11
FAB(−): 845 [M − H]−
3400 (OH), 1740 (C=O),
1610 (C=C), 1040 (OH)
+1.7° (5.3)
[35]
12
FAB(−): 967 [M − H]−
3400 (OH), 1740 (C=O),
1720 (C=O), 1610 (C=C),
1040 (OH)
+11.7° (3.6)
[35]
13
FAB(−): 765 [M − H]−
3400 (OH), 1720 (C=O),
1600 (C=C), 1040 (OH)
+21.5° (3.5)
[35,36
14
FAB(−): 763 [M − H]−
3380 (OH), 1705 (C=O),
1605 (C=C), 1060 (OH). +7.6° (1.8)
[35,36
15
FAB(−): 847 [M − H]−, 747 [M − H −
C5H8O2]−,
745 [M − H − C5H10O2]−, 645 [M − H −
C5H8O2-C5H10O2]−
3400 (OH), 1740 (C=O),
1720 (C=O), 1610 (C=C),
1040 (OH)
+7.2° (1.52)
[36]
16
FAB(−): 845 [M − H]−, 745 [M − H −
C5H8O2]−,
645 [M – H − 2C5H8O2]−
3380 (OH), 1740 (C=O),
1650 (C=C), 1050 (OH)
−6.8° (2.96)
[36]
17
FAB(−): 785 [M − H]−, 663 [M − H −
C7H6O2]−
3450 (OH), 1700 (C=O),
1720 (C=O), 1605(C=C),
1060 (OH)
+7.1° (2.96)
[36]
18
FAB(−): 785 [M − H]−, 663 [M − H −
C7H6O2]−
3400 (OH), 1700 (C=O),
1650 (C=C), 1040 (OH)
+6.4° (1.71)
[36]
19
FAB(+): 529 [M + Na]+
FAB(+): 506 [M]+, 488 [M − H2O]+
HR-ESI-MS: 507.3678 [M + H]+
/
/
3328, 1111, 1089, 1037
+53.5° (1.8)
+53.9° (0.75)
−1.2° (0.19)
[32,35
[56]
[58]
20
FAB(+): 705 [M + Na]+
728 [M + 2Na]+
/
/
+8.4° (1.8)
+8.4° (1.8)
[35]
[32]
21
ESI-MS: 475.2 [M + H]+. HR-ESI-MS:
475.3780 [M + H]+
FAB(+): 497 [M + Na]+
3345, 1132, 1077, 1038
−0.67° (0.22)
+32.0° (2.8)
[58]
[34,61
22
HR-ESI-MS: 643.4204 [M + H]+
3333, 1758, 1754, 1117, 1091,
1033
+50.0° (0.23)
[58] Table 4. Physico-chemical characterization of triterpenes-2. Table 4. Physico chemical characterization of triterpenes 2. No. MS Analysis
IR υmax, cm−l
[α]D (c,
MeOH)
Ref. 1
/
/
+36.7° (2.4)
[31]
2
/
/
+36.3° (1.5)
[31]
3
/
3400 (OH), 1715 (C=O)
+9.6° (0.39)
[56]
4
/
3400 (OH), 1700 (C=O)
+7.4° (0.21)
[56]
5
/
FAB(+): 892 [M + 2Na]+
3400 (OH), 1700 (C=O)
/
+3.3° (0.30)
+2.2° (3.6)
[56]
[32]
6
FAB(+): 972 [M + 2Na]+
/
+11.7° (1.1)
[32]
7
FAB(+): 712 [M + 2Na]+
/
+9.6° (5.7)
[32]
8
HR-FAB(+): 949.4818 [M + Na]+
3450 (OH), 1730 (C=O)
+17.3° (0.74)
[56]
9
HR-FAB(+): 947.4681 [M + Na]+
3400 (OH), 1730 (C=O),
1700 (C=O)
+11.4° (0.70)
[56]
10
FAB(−): 723[M − H]−
3400 (OH), 1740 (C=O),
1610 (C=C), 1040 (OH)
+14.9° (2.3)
[35]
11
FAB(−): 845 [M − H]−
3400 (OH), 1740 (C=O),
1610 (C=C), 1040 (OH)
+1.7° (5.3)
[35]
12
FAB(−): 967 [M − H]−
3400 (OH), 1740 (C=O),
1720 (C=O), 1610 (C=C),
1040 (OH)
+11.7° (3.6)
[35]
13
FAB(−): 765 [M − H]−
3400 (OH), 1720 (C=O),
1600 (C=C), 1040 (OH)
+21.5° (3.5)
[35,36]
14
FAB(−): 763 [M − H]−
3380 (OH), 1705 (C=O),
1605 (C=C), 1060 (OH). +7.6° (1.8)
[35,36]
15
FAB(−): 847 [M − H]−, 747 [M − H −
C5H8O2]−,
745 [M − H − C5H10O2]−, 645 [M − H −
C5H8O2-C5H10O2]−
3400 (OH), 1740 (C=O),
1720 (C=O), 1610 (C=C),
1040 (OH)
+7.2° (1.52)
[36]
16
FAB(−): 845 [M − H]−, 745 [M − H −
C5H8O2]−,
645 [M – H − 2C5H8O2]−
3380 (OH), 1740 (C=O),
1650 (C=C), 1050 (OH)
−6.8° (2.96)
[36]
17
FAB(−): 785 [M − H]−, 663 [M − H −
C7H6O2]−
3450 (OH), 1700 (C=O),
1720 (C=O), 1605(C=C),
1060 (OH)
+7.1° (2.96)
[36]
18
FAB(−): 785 [M − H]−, 663 [M − H −
C7H6O2]−
3400 (OH), 1700 (C=O),
1650 (C=C), 1040 (OH)
+6.4° (1.71)
[36]
19
FAB(+): 529 [M + Na]+
FAB(+): 506 [M]+, 488 [M − H2O]+
HR-ESI-MS: 507.3678 [M + H]+
/
/
3328, 1111, 1089, 1037
+53.5° (1.8)
+53.9° (0.75)
−1.2° (0.19)
[32,35]
[56]
[58]
20
FAB(+): 705 [M + Na]+
728 [M + 2Na]+
/
/
+8.4° (1.8)
+8.4° (1.8)
[35]
[32]
21
ESI-MS: 475.2 [M + H]+. HR-ESI-MS:
475.3780 [M + H]+
FAB(+): 497 [M + Na]+
3345, 1132, 1077, 1038
−0.67° (0.22)
+32.0° (2.8)
[58]
[34,61] characterization of triterpenes 2. IR υmax, cm−l
[α]D (c,
MeOH)
Ref. 36
β-D-Glucopyranoside, (3β,4α,16β)-3,16-
dihydroxy-23-[(O-β-D-xylopyranosyl-
(1→6)-O-β-D-glucopyranosyl-(1→6)-β-D-
glucopyranosyl)oxy]olean-12-en-28-yl 6-
O-β-D-glucopyranosyl
199,618-
67-2
C59H98O28
1255.39
202.8–
204.1
[37]
37
β-D-Glucopyranoside, (3β,4α,16β)-3,16-
dihydroxy-23-[(O-β-D-xylopyranosyl-
(1→6)-O-β-D-glucopyranosyl-(1→6)-β-D-
glucopyranosyl)oxy]olean-18-en-28-yl 6-
O-β-D-glucopyranosyl
199,618-
68-3
C59H98O28
1255.39
201.3–
203.2
[37]
38
β-D-Glucopyranoside, (3β,4α,16β)-3,16,28-
trihydroxyolean-12-en-23-yl 6-O-β-D-
glucopyranosyl
133,629-
85-3
C42H70O14
799.00
173–175
[34]
39
β-D-Glucopyranoside,(3β,4α,16β)-3,16,23-
trihydroxyolean-12-en-28-yl
133,629-
80-8
C36H60O9
636.86
184–185
[34]
40
β-D-Glucopyranoside, (3β,4α,16β)-3,16-
dihydroxyolean-12-ene-23,28-diyl bis
133,629-
81-9
C42H70O14
799.00
190–192
[34]
41
β-D-Glucopyranoside, (3β,4α,16β)-23-(β-D-
glucopyranosyloxy)-3,16-dihydroxyolean-
12-en-28-yl 6-O-β-D-glucopyranosyl
133,629-
82-0
C48H80O19
961.14
203–205
[34]
42
β-D-Glucopyranoside, (3β,4α,16β)-28-(β-D-
glucopyranosyloxy)-3,16-dihydroxyolean-
12-en-23-yl 6-O-β-D-glucopyranosyl
133,629-
83-1
C48H80O19
961.14
201–203
[34]
43
β-D-Glucopyranoside, (3β,4α,16β)-3,16-
dihydroxyolean-12-ene-23,28-diyl bis[6-O-
β-D-glucopyranosyl]
133,629-
84-2
C54H90O24
1123.28
186–188
[34,37]
44
Olean-12-ene-3,16,21,23,28-pentol,
(3β,4α,16β,21β)
19,942-02-
0
C30H50O5
490.72
290–291
[32]
45
Olean-12-ene-3,16,23,28-tetrol,
(3β,4α,16β)
23,887-98-
1
C30H50O4
474.72
[64]
46
(3β-Olean-12-ene-3,23,28-triol
35,043-82-
4
C30H50O3
458.72
/
[62]
47 (3β,16β,21β-Olean-12-ene-3,16,21,23-tetrol 1,447,214-
81-4
C30H50O4
474.72
/
[62]
48
(3β,16β,21β-Olean-12-ene-3,16,21,23,28-
pentol
42,483-24-
9
C30H50O4
474.72
/
[62]
49
(3β,16β,21α-Olean-12-ene-3,16,21,23,28-
pentol
1,447,214-
84-7
C30H50O5
490.72
/
[62]
50 (3β,16β-Olean-13(18)-ene-3,16,23,28-tetrol 26,540-63-
6
C30H50O4
474.72
/
[62]
51
16β,23,28-Tetrahydroxyolean-12-en-3-one 1,447,214-
87-0
C30H48O4
472.70
/
[62]
52
16β,21β,23,28-Tetrahydroxyolean-12-en-3-
one
1,447,214-
89-2
C30H48O5
488.70
/
[62]
53
16 β,22α,23,28-Tetrahydroxyolean-12-en-
3-one
1,447,214-
91-6
C30H48O5
488.70
/
[62] No. [62] Molecules 2014, 19 Molecules 2014, 19 10973 Molecules 2014, 19
Table 4. Physico-chemic
No. MS Analysis
1
/
2
/
3
/
4
/
5
/
FAB(+): 892 [M + 2Na]+
6
FAB(+): 972 [M + 2Na]+
7
FAB(+): 712 [M + 2Na]+
8
HR-FAB(+): 949.4818 [M + Na]+
9
HR-FAB(+): 947.4681 [M + Na]+
10
FAB(−): 723[M − H]−
11
FAB(−): 845 [M − H]−
12
FAB(−): 967 [M − H]−
13
FAB(−): 765 [M − H]−
14
FAB(−): 763 [M − H]−
15
FAB(−): 847 [M − H]−, 747 [M − H −
C5H8O2]−,
745 [M − H − C5H10O2]−, 645 [M − H −
C5H8O2-C5H10O2]−
16
FAB(−): 845 [M − H]−, 745 [M − H −
C5H8O2]−,
645 [M – H − 2C5H8O2]−
17
FAB(−): 785 [M − H]−, 663 [M − H −
C7H6O2]−
18
FAB(−): 785 [M − H]−, 663 [M − H −
C7H6O2]−
19
FAB(+): 529 [M + Na]+
FAB(+): 506 [M]+, 488 [M − H2O]+
HR-ESI-MS: 507.3678 [M + H]+
20
FAB(+): 705 [M + Na]+
728 [M + 2Na]+
21
ESI-MS: 475.2 [M + H]+. HR-ESI-MS:
475.3780 [M + H]+
FAB(+): 497 [M + Na]+
22
HR-ESI-MS: 643.4204 [M + H]+ Table 4. Physico-chemic
No. /
+36.7° (2.4)
[31]
/
+36.3° (1.5)
[31]
3400 (OH), 1715 (C=O)
+9.6° (0.39)
[56]
3400 (OH), 1700 (C=O)
+7.4° (0.21)
[56]
3400 (OH), 1700 (C=O)
/
+3.3° (0.30)
+2.2° (3.6)
[56]
[32]
/
+11.7° (1.1)
[32]
/
+9.6° (5.7)
[32]
3450 (OH), 1730 (C=O)
+17.3° (0.74)
[56]
3400 (OH), 1730 (C=O),
1700 (C=O)
+11.4° (0.70)
[56]
3400 (OH), 1740 (C=O),
1610 (C=C), 1040 (OH)
+14.9° (2.3)
[35]
3400 (OH), 1740 (C=O),
1610 (C=C), 1040 (OH)
+1.7° (5.3)
[35]
3400 (OH), 1740 (C=O),
1720 (C=O), 1610 (C=C),
1040 (OH)
+11.7° (3.6)
[35]
3400 (OH), 1720 (C=O),
1600 (C=C), 1040 (OH)
+21.5° (3.5)
[35,36]
3380 (OH), 1705 (C=O),
1605 (C=C), 1060 (OH). +7.6° (1.8)
[35,36]
3400 (OH), 1740 (C=O),
1720 (C=O), 1610 (C=C),
1040 (OH)
+7.2° (1.52)
[36]
3380 (OH), 1740 (C=O),
1650 (C=C), 1050 (OH)
−6.8° (2.96)
[36]
3450 (OH), 1700 (C=O),
1720 (C=O), 1605(C=C),
1060 (OH)
+7.1° (2.96)
[36]
3400 (OH), 1700 (C=O),
1650 (C=C), 1040 (OH)
+6.4° (1.71)
[36]
/
/
3328, 1111, 1089, 1037
+53.5° (1.8)
+53.9° (0.75)
−1.2° (0.19)
[32,35]
[56]
[58]
/
/
+8.4° (1.8)
+8.4° (1.8)
[35]
[32]
3345, 1132, 1077, 1038
−0.67° (0.22)
+32.0° (2.8)
[58]
[34,61]
3333, 1758, 1754, 1117, 1091,
1033
+50.0° (0.23)
[58] IR υmax, cm−l
[α]D (c,
MeOH)
Ref. /
+36.7° (2.4)
[31]
/
+36.3° (1.5)
[31]
3400 (OH), 1715 (C=O)
+9.6° (0.39)
[56]
3400 (OH), 1700 (C=O)
+7.4° (0.21)
[56]
3400 (OH), 1700 (C=O)
/
+3.3° (0.30)
+2.2° (3.6)
[56]
[32]
/
+11.7° (1.1)
[32]
/
+9.6° (5.7)
[32]
3450 (OH), 1730 (C=O)
+17.3° (0.74)
[56]
3400 (OH), 1730 (C=O),
1700 (C=O)
+11.4° (0.70)
[56]
3400 (OH), 1740 (C=O),
1610 (C=C), 1040 (OH)
+14.9° (2.3)
[35]
3400 (OH), 1740 (C=O),
1610 (C=C), 1040 (OH)
+1.7° (5.3)
[35]
3400 (OH), 1740 (C=O),
1720 (C=O), 1610 (C=C),
1040 (OH)
+11.7° (3.6)
[35]
3400 (OH), 1720 (C=O),
1600 (C=C), 1040 (OH)
+21.5° (3.5)
[35,36]
3380 (OH), 1705 (C=O),
1605 (C=C), 1060 (OH). FAB(−):
1253 [M − H]−
3431, 1044
−8.9° (0.1)
[37]
38
FAB(+): 821 [M + Na]+
/
+12.1° (1.1)
[34,61]
39
FAB(+): 659 [M + Na]+
/
+9.3° (3.5)
[34,61]
40
FAB(+): 821 [M + Na]+
/
+1.9° (2.6)
[34,61]
41
FAB(+): 983 [M + Na]+
/
−11.6° (1.1)
[34,61]
42
FAB(+): 98 3[M + Na]+
/
−1.1° (1.9)
[34,61]
43
FAB(+): 1145 [M + Na]+
/
−6.2°(1.9)
[34,61]
44
FAB(+): 712 [M+2Na]+
/
+53.1° (2.4)
[32]
45
ESI-MS: 475.2 [M + H]+. HR-ESI-MS:
475.3780 [M + H]+
3333, 1758, 1754, 1117, 1091,
1033
−0.67° (0.22)
[36]
46
HR-FAB(+): 481.3720 [M + Na]+
3344, 2930, 2857, 1725, 1459,
756
/
[62] Table 4. Cont. No. MS Analysis
IR υmax, cm−l
[α]D (c,
MeOH)
Ref. 23
HR-ESI-MS: 591.4254 [M + H]+
3370, 1747, 1118, 1096, 1046
+3.5° (0.21)
[58]
24
HR-ESI-MS: 633.4360 [M + H]+
3352, 1746, 1113, 1091, 1041
+16.5° (0.2 )
[58]
25
HR-ESI-MS: 801.4782 [M + H]+
3355, 1764, 1750, 1113, 1090,
1042
+2.5° (0.21)
[58]
26
HR-ESI-MS: 589.4099 [M + H]+
3352, 17,252, 1113, 1093, 1041
+3.5° (0.22)
[58]
27
EI: 490 [M]+, 472 [M − H2O]+,
454 [M − 2H2O]+
441 [M − H2O − CH2OH]+, 436 [M −
3H2O]+
3350 (OH)
+51.5° (1.0)
[59]
28
FAB(+): 933 [M + Na]+. FAB(−):
909 [M − H]−
3400 (OH), 1715 (C=O), 1600
(C=C)
+15° (1.5)
[59]
29
FAB(−): 827 [M − H]−
3420 (OH), 1710 (C=O)
+18.5° (1.0)
[59]
30
FAB(−): 747 [M − H]−
3410 (OH), 1715 (C=O)
+12.5° (1.0)
[59]
31
FAB(−): 665 [M − H]−
3425 (OH),1715 (C=O)
+8° (0.9)
[59]
32
HR-FAB(−): 805.4385 [M − H]−
HR-FAB(+): 829.4430 [M − Na]+
3453, 1721, 1649, 1040
+4.7° (0.1)
[46]
33
HR-FAB(−): 805.4404 [M − H]−
HR-FAB(+): 829.4428 [M − Na]+
3445, 1718, 1649, 1044
+6.6° (0.1)
[46]
34
HR-FAB(+): 829.4360 [M + Na]+
FAB(+): 851 [M + Na]+. FAB(−):
827 [M − H]−
3445, 1718, 1649, 1044
+6.6° (0.1)
[37]
35
HR-FAB(+): 969.5050 [M + Na]+
FAB(+): 991 [M + 2Na − H]+, 969 [M +
Na]+. FAB(−): 945 [M − H]−
3410, 1044
+13.4° (0.1)
[37]
36
HR-FAB(−): 1253.6154 [M − H]−,
FAB(+): 1277 [M + Na]+. FAB(−):
1253 [M − H]−
3410, 1044
+14.8° (0.1)
[37]
37
HR-FAB(−): 1253.6167 [M − H]−
FAB(+): 1277 [M + Na]+. +7.6° (1.8)
[35,36]
3400 (OH), 1740 (C=O),
1720 (C=O), 1610 (C=C),
1040 (OH)
+7.2° (1.52)
[36]
3380 (OH), 1740 (C=O),
1650 (C=C), 1050 (OH)
−6.8° (2.96)
[36]
3450 (OH), 1700 (C=O),
1720 (C=O), 1605(C=C),
1060 (OH)
+7.1° (2.96)
[36]
3400 (OH), 1700 (C=O),
1650 (C=C), 1040 (OH)
+6.4° (1.71)
[36]
/
/
3328, 1111, 1089, 1037
+53.5° (1.8)
+53.9° (0.75)
−1.2° (0.19)
[32,35]
[56]
[58]
/
/
+8.4° (1.8)
+8.4° (1.8)
[35]
[32]
3345, 1132, 1077, 1038
−0.67° (0.22)
+32.0° (2.8)
[58]
[34,61]
3333, 1758, 1754, 1117, 1091,
1033
+50.0° (0.23)
[58] Molecules 2014, 19 10974 Table 4. Cont. No. MS Analysis
IR υmax, cm−l
[α]D (c,
MeOH)
Ref. 23
HR-ESI-MS: 591.4254 [M + H]+
3370, 1747, 1118, 1096, 1046
+3.5° (0.21)
[58]
24
HR-ESI-MS: 633.4360 [M + H]+
3352, 1746, 1113, 1091, 1041
+16.5° (0.2 )
[58]
25
HR-ESI-MS: 801.4782 [M + H]+
3355, 1764, 1750, 1113, 1090,
1042
+2.5° (0.21)
[58]
26
HR-ESI-MS: 589.4099 [M + H]+
3352, 17,252, 1113, 1093, 1041
+3.5° (0.22)
[58]
27
EI: 490 [M]+, 472 [M − H2O]+,
454 [M − 2H2O]+
441 [M − H2O − CH2OH]+, 436 [M −
3H2O]+
3350 (OH)
+51.5° (1.0)
[59]
28
FAB(+): 933 [M + Na]+. FAB(−):
909 [M − H]−
3400 (OH), 1715 (C=O), 1600
(C=C)
+15° (1.5)
[59]
29
FAB(−): 827 [M − H]−
3420 (OH), 1710 (C=O)
+18.5° (1.0)
[59]
30
FAB(−): 747 [M − H]−
3410 (OH), 1715 (C=O)
+12.5° (1.0)
[59]
31
FAB(−): 665 [M − H]−
3425 (OH),1715 (C=O)
+8° (0.9)
[59]
32
HR-FAB(−): 805.4385 [M − H]−
HR-FAB(+): 829.4430 [M − Na]+
3453, 1721, 1649, 1040
+4.7° (0.1)
[46]
33
HR-FAB(−): 805.4404 [M − H]−
HR-FAB(+): 829.4428 [M − Na]+
3445, 1718, 1649, 1044
+6.6° (0.1)
[46]
34
HR-FAB(+): 829.4360 [M + Na]+
FAB(+): 851 [M + Na]+. FAB(−):
827 [M − H]−
3445, 1718, 1649, 1044
+6.6° (0.1)
[37]
35
HR-FAB(+): 969.5050 [M + Na]+
FAB(+): 991 [M + 2Na − H]+, 969 [M +
Na]+. FAB(−): 945 [M − H]−
3410, 1044
+13.4° (0.1)
[37]
36
HR-FAB(−): 1253.6154 [M − H]−,
FAB(+): 1277 [M + Na]+. FAB(−):
1253 [M − H]−
3410, 1044
+14.8° (0.1)
[37]
37
HR-FAB(−): 1253.6167 [M − H]−
FAB(+): 1277 [M + Na]+. FAB(−):
1253 [M − H]−
3431, 1044
−8.9° (0.1)
[37]
38
FAB(+): 821 [M + Na]+
/
+12.1° (1.1)
[34,61]
39
FAB(+): 659 [M + Na]+
/
+9.3° (3.5)
[34,61]
40
FAB(+): 821 [M + Na]+
/
+1.9° (2.6)
[34,61]
41
FAB(+): 983 [M + Na]+
/
−11.6° (1.1)
[34,61]
42
FAB(+): 98 3[M + Na]+
/
−1.1° (1.9)
[34,61]
43
FAB(+): 1145 [M + Na]+
/
−6.2°(1.9)
[34,61]
44
FAB(+): 712 [M+2Na]+
/
+53.1° (2.4)
[32]
45
ESI-MS: 475.2 [M + H]+. HR-ESI-MS:
475.3780 [M + H]+
3333, 1758, 1754, 1117, 1091,
1033
−0.67° (0.22)
[36]
46
HR-FAB(+): 481.3720 [M + Na]+
3344, 2930, 2857, 1725, 1459,
756
/
[62] [62] 46 Molecules 2014, 19 10975 Table 4. Cont. No. MS Analysis
IR υmax, cm−l
[α]D (c,
MeOH)
Ref. 47
ESI-MS: 475.2 [M + H]+. HR-ESI-MS:
475.3769 [M + H]+
3347, 1130, 1080, 1035
+20.5° (0.27)
[60]
48
/
/
+53.1° (2.4)
[32]
49
ESI-MS: 491.4 [M + H]+. HR-ESI-MS:
491.3728 [M + H]+
3330, 1115, 1095, 1035
+32.3° (0.23)
[60]
50
ESI-MS: 475.5 [M + H]+. HR-ESI-MS:
475.3745 [M + H]+
3334, 1112, 1087, 1034
−1.2° (0.19)
[60]
51
ESI-MS: 473.2 [M + H]+. HR-ESI-MS:
473.3620 [M + H]+
3376, 1722, 1118, 1090, 1045
+25.5° (0.21)
[60]
52
ESI-MS: 489.2 [M + H]+. HR-ESI-MS:
489.3563 [M + H]+
3350, 1724, 1118, 1090, 1045
+26.5° (0.22)
[60]
53
ESI-MS: 505.3 [M + H]+. HR-ESI-MS:
505.3500 [M + H]+
30, 1723, 1128, 1080, 1050
+23.1° (0.27)
[60] Table 5. Biological properties associated with the triterpenes with a focus on their potential
chemotherapeutic applications Table 5. Biological properties associated with the triterpenes with a focus on their potential
chemotherapeutic applications. No. Activity
Ref. 1
Antisweet activity
Glucose uptake in rat small intestinal fragment
Increase of serum glucose level in oral glucose-loaded rats
Anti-hyperglycemic activity
[31,35,38]
[37,38]
[46,47]
[38]
2
Antisweet activity
Glucose uptake in rat small intestinal fragment
Increase of serum glucose level in oral glucose-loaded rats
Anti-hyperglycemic activity
[31,35,38]
[37,38]
[46,47]
[38]
3
Antisweet activity
Glucose uptake in rat small intestinal fragment
Increase of serum glucose level in oral glucose-loaded rats
Anti-hyperglycemic activity
[30,31,35,38]
[37,38]
[46,47]
[38]
4
Antisweet activity
Glucose uptake in rat small intestinal fragment
Increase of serum glucose level in oral glucose-loaded rats
Anti-hyperglycemic activity
Gut glycosidase inhibition
[30,31,35,38]
[37,38]
[46,47]
[38,65]
[38]
5
Antisweet activity
Increase of serum glucose level in oral glucose-loaded rats
Anti-hyperglycemic activity
Glucose uptake in rat small intestinal fragment
[32,38]
[46,47,65]
[38]
[38]
6
Antisweet activity
[32]
7
Antisweet activity
Increase of serum glucose level in oral glucose-loaded rats
[32]
[46,47]
10
Antisweet activity
[35]
11
Antisweet activity
[35] 10976 Molecules 2014, 19 Molecules 2014, 19 Table 5. Cont. Table 5. Cont. No. Activity
Ref. 12
Antisweet activity
[35]
13
Antisweet activity
[35]
14
Antisweet activity
[35]
15
Antisweet activity
[36]
16
Antisweet activity
[36]
17
Antisweet activity
[36]
18
Antisweet activity
[36]
19
Antisweet activity
[31]
Pharmacokinetic study: determination of gymnemagenin in rat plasma
using HPLC-MS/MS
[66]
20
Antisweet activity
[31]
27
Inhibition of the 11β-hydroxysteroid dehydrogenase type 1
[63,66]
28
Hypoglycemic and antihyperglycemic effect in rats
[61]
29
Hypoglycemic and antihyperglycemic effect in rats
[61]
30
Hypoglycemic and antihyperglycemic effect in rats
[61]
31
Hypoglycemic and antihyperglycemic effect in rats
[61]
32
Increase of serum glucose level in oral glucose-loaded rats
[46,47]
33
Increase of serum glucose level in oral glucose-loaded rats
[46,47]
34
Glucose uptake in rat small intestinal fragment
[37]
35
Glucose uptake in rat small intestinal fragment
[37]
36
Glucose uptake in rat small intestinal fragment
[37]
37
Glucose uptake in rat small intestinal fragment
[37]
39
Antisweet activity
[34]
40
Antisweet activity
Glucose uptake in rat small intestinal fragment
[34]
[46,47]
41
Antisweet activity
[34]
42
Antisweet activity
Glucose uptake in rat small intestinal fragment
[34]
[46,47]
43
Antisweet activity
Glucose uptake in rat small intestinal fragment
[34]
[37,47,59]
44
Inhibitory effects on human tumor cell lines (A549, SK-OV-3, SK-
MEL-2, and HCT15) in vitro using the sulforhodamine B (SRB) assay
[55]
46
In vivo antitumor-promoting activity in mouse skin tumor
[50]
Inhibition of the tumor-promoting action of 12-O-
tetradecanoylphorbol 13-acetate
[48,49]
Inhibition of phospholipid synthesis by 12-O-tetradecanoylphorbol-13-
acetate
[67]
In vitro in human uterus cancer cells
Anti-inflammatory activity and also to inhibit liver carcinogenesis and
tumor growth
[51] No. Activity
Ref. Molecules 2014, 19 Molecules 2014, 19 Molecules 2014, 19 10977 3. Conclusions The market of natural substances is very attractive for its economic impact, which, on the other
hand grows continuously. Research into new natural substances that can be used in the pharmaceutical,
agrochemical and agro-industrial production of drugs, biopesticides and food additives has grown in
recent years. Gymnema sylvestre is a relevant specific example of a plant very interesting for its
numerous pharmacological properties, which include antidiabetic, anticarcinogenic, and neuroprotective
effects, used as a medicinal plant in Asia for thousands of years. Its properties are attributed to
triterpenoidic saponins. In light of the considerable interest generated in the chemistry and pharmacological
properties of G. sylvestre triterpenes and their analogues, this review summarises the available
literature on these promising bioactive natural products. The review shows the results about the
isolation, chemistry and bioactivity of the triterpenoids oxidised at C-23, which are schematically
presented in few tables, in particular, their isolation, distribution in different parts of the plant, and their
NMR spectral data; their names and physico-chemical characterisation; and the biological properties
associated with these compounds, with a focus on their potential chemotherapeutic applications. Acknowledgments This study was supported by AIPRAS Onlus (Associazione Italiana per la Promozione delle
Ricerche sull’Ambiente e la Salute umana). Author Contributions All authors contributed to the draft of the article and approved the final manuscript Conflicts of Interest The authors declare no conflict of interest. The authors declare no conflict of interest. 12
Antisweet activity
[35]
13
Antisweet activity
[35]
14
Antisweet activity
[35]
15
Antisweet activity
[36]
16
Antisweet activity
[36]
17
Antisweet activity
[36]
18
Antisweet activity
[36]
19
Antisweet activity
[31]
Pharmacokinetic study: determination of gymnemagenin in rat plasma
using HPLC-MS/MS
[66]
20
Antisweet activity
[31]
27
Inhibition of the 11β-hydroxysteroid dehydrogenase type 1
[63,66]
28
Hypoglycemic and antihyperglycemic effect in rats
[61]
29
Hypoglycemic and antihyperglycemic effect in rats
[61]
30
Hypoglycemic and antihyperglycemic effect in rats
[61]
31
Hypoglycemic and antihyperglycemic effect in rats
[61]
32
Increase of serum glucose level in oral glucose-loaded rats
[46,47]
33
Increase of serum glucose level in oral glucose-loaded rats
[46,47]
34
Glucose uptake in rat small intestinal fragment
[37]
35
Glucose uptake in rat small intestinal fragment
[37]
36
Glucose uptake in rat small intestinal fragment
[37]
37
Glucose uptake in rat small intestinal fragment
[37]
39
Antisweet activity
[34]
40
Antisweet activity
Glucose uptake in rat small intestinal fragment
[34]
[46,47]
41
Antisweet activity
[34]
42
Antisweet activity
Glucose uptake in rat small intestinal fragment
[34]
[46,47]
43
Antisweet activity
Glucose uptake in rat small intestinal fragment
[34]
[37,47,59]
44
Inhibitory effects on human tumor cell lines (A549, SK-OV-3, SK-
MEL-2, and HCT15) in vitro using the sulforhodamine B (SRB) assay
[55]
46
In vivo antitumor-promoting activity in mouse skin tumor
[50]
Inhibition of the tumor-promoting action of 12-O-
tetradecanoylphorbol 13-acetate
[48,49]
Inhibition of phospholipid synthesis by 12-O-tetradecanoylphorbol-13-
acetate
[67]
In vitro in human uterus cancer cells
Anti-inflammatory activity and also to inhibit liver carcinogenesis and
tumor growth
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distributed under the terms and conditions of the Creative Commons Attribution license
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Triterpenes. JP 63057519 A, 12 March 1988. © 2014 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 license
(http://creativecommons.org/licenses/by/3.0/). © 2014 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 license
(http://creativecommons.org/licenses/by/3.0/). © 2014 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 license
(http://creativecommons.org/licenses/by/3.0/).
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Pengaruh Kompensasi, Motivasi Terhadap Kinerja Pegawai Melalui Variabel Intervening Kepuasan Kerja Dan Perspektif Maqashid Syariah Pada RSUD Dr. Pirngadi Kota Medan
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Pengaruh Kompensasi, Motivasi Terhadap Kinerja Pegawai Melalui Variabel
Intervening Kepuasan Kerja dan Perspektif Maqashid Syariah Pada
RSUD Dr. Pirngadi Kota Medan Nurhidayanti1), Azhari Akmal Tarigan2), Syukri Albani Nasution3)
1,2,3 Program Pascasarjana Ekonomi Syariah, UIN Sumatera Utara
*Email korespondensi: nurynurhidayantii@gmail.com Available at https://jurnal.stie-aas.ac.id/index.php/jie
Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 2995-3002 DOI: http://dx.doi.org/10.29040/jiei.v8i3.6781 DOI: http://dx.doi.org/10.29040/jiei.v8i3.6781 DOI: http://dx.doi.org/10.29040/jiei.v8i3.6781 Abstract Performance or performance is a description of the level of achievement of the implementation of a program of
activities or policies in realizing the goals, objectives, vision and mission of the organization as outlined through
the strategic planning of an organization. Employee performance is the result of work in quality and quantity
achieved by an employee in carrying out his duties in accordance with with the responsibilities assigned to him. The purpose of this study was to determine the direct and indirect effects of compensation, motivation, job
satisfaction on performance at RSUD Dr. Pirngadi Medan City. This research method uses a quantitative
approach with path analysis and uses the SPSS version 20.0 program. This study uses a questionnaire with a
sample of 100 respondents. The results of this study indicate that the compensation variable, motivation, on job
satisfaction through performance is 54.5% and the remaining 45.5% is influenced by other variables. While the
compensation variable, motivation on job satisfaction is 55.7% and the remaining 44.3% is influenced by other
variables. intervention at RSUD Dr. Pirngadi Medan City with 95% confidence level and 5% error rate. Maqashid
al-shari'ah can be interpreted as God's goal as shari' in establishing an integrated law for his servants. The
essence of maqashid al-syari'ah is to realize goodness while avoiding evil or attracting benefits (maslahah). Keywords: Compensation, Motivation, Job Satisfaction, Performance, Maqashid Syariah Saran sitasi: Nurhidayanti., Tarigan, A. A., & Nasution, S. A. (2022). Pengaruh Kompensasi, Motivasi Terhadap
Kinerja Pegawai Melalui Variabel Intervening Kepuasan Kerja dan Perspektif Maqashid Syariah Pada RSUD Dr. Pirngadi
Kota
Medan. Jurnal
Ilmiah
Ekonomi
Islam,
8(03),
2995-3002. doi:
http://dx.doi.org/10.29040/jiei.v8i3.6781 Saran sitasi: Nurhidayanti., Tarigan, A. A., & Nasution, S. A. (2022). Pengaruh Kompensasi, Motivasi Terhadap
Kinerja Pegawai Melalui Variabel Intervening Kepuasan Kerja dan Perspektif Maqashid Syariah Pada RSUD Dr. Pirngadi
Kota
Medan. Jurnal
Ilmiah
Ekonomi
Islam,
8(03),
2995-3002. doi:
http://dx.doi.org/10.29040/jiei.v8i3.6781 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 2996 Keberadaan sumber daya manusia merupakan hal
yang tidak terpisahkan dalam sebuah perusahaan, baik
perusahaan dalam skala besar maupun kecil. Sumber
daya manusia yang ada di dalam perusahaan menjadi
saling terkait dengan setiap bagian perusahaan dan
memiliki
peran
yang
sangat
penting
untuk
keberlangsungan eksistensi perusahaan. Perusahaan
jasa juga tidak terlepas dari usaha untuk selalu
meningkatkan kinerja karyawan.Peningkatan kinerja
karyawan secara terus menerus juga di terapkan pada
organisasi yang bergerak di bidang jasa seperti rumah
sakit. Rumah sakit selalu dituntut untuk memberikan
pelayanan optimal kepada pasien dan meningkatkan
serta mempertahankan kinerja karyawan agar selalu
baik. Mengingat kinerja karyawan tidak selalu
mengalami kenaikan, ada kalanya kinerja karyawan
juga mengalami penurunan. (Dimas dan Rini, 2015) Disamping itu, menurut Nurul R, masih ada
beberapa pegawai yang dibebani tugas ganda karena
keterbatasan sumber daya yang dimiliki sehingga
banyak pegawai yang masih merangkap jabatan dan
tugas. Banyaknya tugas dan tanggung jawab yang
diberikan kepada pegawai menyebabkan hasil yang
dicapai menjadi kurang maksimal karena pegawai
hanya mempunyai waktu yang sedikit untuk
menyelesaikan banyak tugas. Belum dilaksanakannya
job description yang sudah dibuat secara maksimal
oleh pegawai rumah sakit akan berdampak pada hasil
penilaian kinerja sebagai bahan evaluasi bagi
manajemen rumah sakit. Perlu dilakukan upaya untuk
memotivasi serta memberikan kompensasi pegawai
agar mampu melaksanakan tugasnya dengan baik
sesuai job description yang sudah ditetapkan. Apabila
ini tidak dilakukan maka akan berdampak pada
penurunan kualitas kerja serta menurunnya kualitas
pelayanan kesehatan yang selamaini sudah cukup
baik. Upaya memotivasi dan memberikan kompensasi
dilakukan
untuk
meningkatkan
prestasi
kerja
karyawan sesuai dengan tugasnya masing-masing. Salah satu pelayanan jasa yang bergerak dibidang
kesehatan yang ada di Provinsi Sumatera Utara adalah
RSUD Dr. Pirngadi Kota Medan. Menurut Frans,
selaku pegawai di Instalasi Sistem Informasi Rumah
Sakit Dr. Pirngadi Kota Medan, para pegawai pada
umumnya belum menunjukkan kinerja yang optimal,
hal ini masih sangat banyak yang perlu ditingkatkan
dari segi kinerja pegawai yang ada di rumah sakit. Dikarenakan
masih
seringnya
pegawai
yang
melalaikan kedisiplinan waktu, seperti tidak tepat
waktu saat datang, atau hanya absen saja, namun
mereka para pegawai memiliki loyalitas tinggi dan
saling tolong-menolong. Uraian latar belakang masalah diatas menjadi
dasar penulis tertarik meneliti kinerja pegawai dengan
kajian yang lebih kompleks dan mendalam dengan
judul “Analisis Kinerja Pegawai Ditinjau Dari
Perspektif Maqasid Syariah Di RSUD Dr. Pirngadi
Kota Medan” 1.
PENDAHULUAN sumber saya manusia yang memiliki kinerja yang
tinggi. Keberhasilan suatu organisasi ditentukan oleh
sejauh
mana
tujuan
organisasi
yang
telah
direncanakan
dapat
dicapai
baik
organisasi
pemerintah maupun swasta. Untuk mencapai tujuan
tersebut keterlibatan berbagai unsur dalam organisasi
sangat penting, diantaranya unsur sumber daya
manusia. Organisasi dituntut untuk dapat mengelola
sumber daya manusia. Walaupun didukung oleh
sarana dan prasarana yang baik namun tidak didukung
oleh sumber daya manusia maka kegiatan dalam
sebuah organisasi tidak akan berjalan dengan baik. Sumber
daya
manusia
merupakan
penentu
keberhasilan dalam sebuah organisasi. Organisasi
membutuhkan sumber daya manusia yang mampu
bekerja lebih baik dan lebih cepat sehingga diperlukan Kinerja (prestasi kerja) merupakan gambaran
pencapaian pelaksanaan (achievement) suatu program
kegiatan perencanaan strategis dan operasional
organisasi (efforts) oleh seseorang atau kelompok
orang dalam suatu organisasi. Kinerja tenaga
kesehatan merupakan masalah yang sangat penting
untuk dikaji dalam rangka mempertahankan dan
meningkatkan
pembangunan
kesehatan. Kajian
mengenai kinerja memberikan kejelasan faktor-faktor
yang berpengaruh terhadap kinerja individu dan
organisasi. (Maiyulia Fitri, 2017) Untuk mencapai kinerja yang lebih baik
perusahaan harus dapat mengelola sumber daya yang
ada. Pengelolaan sumber daya manusia yang baik
menjadi hal penting untuk terus ditingkatkan. Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 2996 3.1. Hasil Penelitian Pada penelitian ini, peneliti menggunakan
analisis uji asumsi klasik yang dilakukan terdiri dari
uji
normalitas,
uji
multikolinearitas,
dan
uji
heteroskedasitas. Uji Heteroskedasitas yang sesuai dengan kondisi/situasi/perasaan yang
dialami langsung oleh responden. Selanjutnya data
sekunder sebagai alat pendukung penelitian ini
bersumber dari berbagai literatur seperti jurnal-jurnal,
buku-buku yang relevan, maupun berita online yang
mendukung fakta. Uji Heterokedasitas bertujuan untuk menguji
apakah terjadi kesamaan varians dan residul satu
pengamatan ke pengamatan yang lain. Dengan hasil Uji Heterokedasitas (I) Kepuasan
Kerja dan Uji Heterokedasitas (II) Kinerja g
j
( )
p
Kerja dan Uji Heterokedasitas (II) Kinerja Dengan hasil Uji Normalitas (I) Kepuasan Kerja
dan Uji Normalitas (II) Kinerja Jurnal Ilmiah Ekonomi Islam, Uji Normalitas Uji ini dilakukan saat belum melakukan analisis
sebenarnya. Dengan menggunakan program SPSS
versi 20. Model regresi dikatakan baik jika memiliki
distribusi normal atau mendekati normal. Uji ini
terlihat dari grafik histogram. Data berdistribusi
normal apabila bentuk kurva sisi kiri dan kanannya
hamper menyerupai lonceng yang sempurna dan
kemiringan kurvanya cenderung seimbang. Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534
sebenarnya. Dengan menggunakan program SPSS
versi 20. Model regresi dikatakan baik jika memiliki
distribusi normal atau mendekati normal. Uji ini
terlihat dari grafik histogram. Data berdistribusi
normal apabila bentuk kurva sisi kiri dan kanannya
hamper menyerupai lonceng yang sempurna dan
kemiringan kurvanya cenderung seimbang. Dengan hasil Uji Normalitas (I) Kepuasan Kerja
dan Uji Normalitas (II) Kinerja
Uji Multikolinearitas
Hasil Uji Multikolinearitas pada penelitian ini
dapat dilihat sebagai berikut: Dengan hasil Uji Normalitas (I) Kepuasan Kerja
dan Uji Normalitas (II) Kinerja 2.
METODE Jenis penelitian yang akan dilakukan pada
penelitian iniadalah deskripsi kuantitatif. Deskripsi
kuantitatif adalah penelitian yang menggunakan data-
data dan angka-angka yang telah diperoleh dari
sumber data lalu hasil temuan dideskripsikan secara
sistematik, faktual dan akurat mengenai fakta-fakta
dan sifat-sifat suatu objek sehingga mendapatkan
suatu gambaran yang jelas dari temuan penelitian. Adapun lokasi penelitian yang peneliti lakukan adalah
pegawai RSUD Dr. Pirngadi Kota Medan yang berada
di Jl. Prof. HM. Yamin Sh No. 47, Perintis, Kec. Medan Timur, Kota Medan, Sumatera Utara. Waktu
penelitian adalah Januari 2022 –Mei 2022. Populasi
yang menjadi objek penelitian ini memiliki kriteria: 1. Pegawai non medis yang ada di rumah sakit pringadi. Jumlah pegawai yang ada di Rumah Sakit Pringadi
dengan kriteria tersebut adalah 1793 pegawai. Sumber
data penelitian bersumber dari data primer dan
skunder. Data primer penelitian ini diperoleh dari
respon/jawaban dari pertanyaan-pertanyaan kuesioner Kondisi tersebut terjadi tentu saja bukan tanpa
sebab. Paling tidak ada faktor/variabel yang potensial
mempengaruhi hal itu seperti motivasi kerja dan
kompensasi. Motivasi kerja sebagai ekspresi dari
dorongan, keinginan, dan tingkat kesediaan seseorang
untuk memenuhi kebutuhan dan mencapai tujuan
tertentu dengan sebaik-baiknya. Motivasi akan
mendorong karyawan untuk melakukan pekerjaan
dengan sebaik-baiknya sesuai standar, berkualitas
tinggi, dan tepat waktu, yang kemudian menghasilkan
kinerja yang optimal (George, J.M. dan Jones, 2005). Pernyataan ini diperkuat dengan adanya penelitian
yang dilakukan oleh Rahmayanti bahwa motivasi
yang tinggi dapat memberikan dampak positif bagi
kinerja karyawan karena tanpa motivasi yang tinggi
dapat memberikan dampak positif bagi kinerja
karyawan karena tanpa motivasi yang baik dari
karyawan akan sulit untuk perusahaan mencapai hasil
yang optimal. (Rahmayanti,2015) Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 2997 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 2997 Uji Multikolinearitas Hasil Uji Multikolinearitas pada penelitian ini
dapat dilihat sebagai berikut: Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 2998 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 2998 yang diberikan sesuai dengan keinginan pegawai baik
yang berbentuk kompensasi financial maupun
kompensasi non financial maka akan muncul
kepuasan kerja pada pegawai. Oleh karena itu
kompensasi merupakan variabel yang penting untuk
diperhatikan dalam memprediksi kepuasan kerja. Penelitian ini sesuai dengan penelitian yang dilakukan
oleh Akmal dan Tamimi, yang menunjukkan
pengaruh kompesasi terhadap kinerja (Akmal dan
Tamimi, 201). Penelitian ini mendukung teori yang
dikemukakan Hasibuan yang menyatakan bahwa
salah satu tujuan pemberian kompensasi adalah
sebagai kepuasan kerja. Dari hasil tersebut terdapat nilai tolerance pada
masing-masing variabel yakni: kompensasi sebesar
0,755, motivasi sebesar 0,699, kepuasan kerja sebesar
0,690, dan nilai VIF yakni kompensasi sebesar 1,325,
motivasi 1,325 dan kepuasan kerja 1.450 lebih kecil
dari 10. Dengan begitu dapat disimpilkan antar
variabel tidak terjadi multikolinearitas. Hasil analisis Koefisien Determinasi pada
penelitian ini adalah sebagai berikut: 3.2.2. Pengaruh Motivasi (X2) terhadap Kepuasan
Kerja (Z) Pada tabel tersebut terlihat nilai korelasinya atau
yang disimbolkan dengan R sebesar 0.545 dan
besarnya pesentase atau koefisien determinan (R
square) antara pengaruh variabel bebas (kompensasi,
motivasi, kepuasan kerja) sebesar 0.297 atau 29.7%
pengaruh kompensasi motivasi dan kepuasan kerja
terhadap kinerja pegawai dalam konteks maqashid
syariah di RSUD Dr. Pirngadi kota Medan. Hasil penelitian menunjukkan bahwa motivasi
berpengaruh signifikan terhadap kepuasan kerja
(0.000 < 0.05) dan thitung lebih besar dari ttabel (4.124 >
1.660), maka kesimpulannya adalah Ho ditolak Ha
diterima. Berdasarkan hasil uji hipotesis terbukti
bahwa motivasi memiliki pengaruh positif dan
signifikan terhadap kepuasan kerja. Artinya semakin
baik motivasi yang diberikan kepada pegawai maka
kepuasan kerja pegawai akan semakin meningkat. Pada penelitian ini motivasi dilihat dari lima ringkat
kebutuhana yaitu fisiologis, rasa aman, sosial,
penghargaan, dan aktualisasi diri. Kebutuhan sosial,
rasa aman, serta kebutuhan fisologis menjadi
pengukur tertinggi motivasi pegawai, terutama
suasana
kekeluargaan
dalam
bekerja,
fasilitas
transportasi ke tempat kerja seerta diberikannya uang
kehadiran dan tunjangan kinerja berdampak pada
kepuasan kerja pegawai. Kondisi ini ditunjukkan
dengan tingginya tingkat kepuasan kerja pegawai
terutama terkait dengan pekerjaannya itu sendiri dan
pembayaran
serta
kemampuan
berkomunikasi,
bekerjasama, ketepatan waktu dan ketelitian dalam
menyelesaikan pekerjaan. Semakin baik suasana
kekeluargaan dalam bekerja, fasilitas transportasi
serta uang kehadiran dan tunjangan kinerja yang
diberikan organisasi menyebabkan semakin puas
pegawai terhadap pekerjaannya saat ini serta semakin
meningkatnya kinerja pegawai baik dari segi kualitas
dan kuantitas. Hasil penelitian ini mendukung
penelitian yang dilakukan oleh Brahmasari yang
menyatakan bahwa motivasi berpengaruh terhadap
kepuasan kerja. Pengaruh Langsung Pengaruh tidak Langsung Pengaruh tidak Langsung (Y) Hasil penelitian menunjukkan bahwa motivasi
berpengaruh signifikan terhadap kinerja (0.000 <
0.05) dan thitung lebih besar dari ttabel (4.230 > 1.660),
maka kesimpulannya adalah Ho ditolak Ha diterima. Motivasi pada dasarnya dapat mendorong
karyawan untuk berbuat semaksimal mungkin dalam
melaksanakan tugasnya karena meyakini bahwa
dengan keberhasilan organisasi mencapai tujuan dan
berbagai sasarannya. Kepentingan pribadi pada
anggota organisasi tersebut akan terpelihara. Hasil
penelitian ini mendukung pendapat Sedarmayanti
yang
menyatakan
bahwa
motivasi merupakan
kesediaan mengeluarkan tingkat upah tinggi ke arah
tujuan organisasi yang dikondisikan oleh kemampuan
upaya untuk memenuhi kebutuhan individual. Bila
seseorang termotivasi, ia akan mencoba kuat. Kebutuhan sesuatu keadaan internal tampak menarik. Motivasi merupakan
timbulnya
perilaku
yang
mengarah pada tujuan tertentu dengan penuh
komitmen
sampai
tercapainya
tujuan
yang
dimaksudkan. Berdasarkan
hasil
analisis
menunjukkan bahwa motivasi berpengaruh signifikan
terhadap kinerja pegawai. Motivasi merupakan
variabel penting dimana motiavsi perlu mendapat
perhatian yang besar pula bagi organisasi dalam
peningkatan kinerja pegawainya. Dalam hal ini,
semakin kuat dorongan atau motivasi dan semangat
akan semakin tinggi kinerjanya. Mangkunegara
menyatakan faktor yang mempengaruhi kinerja adalah
motivasi, sesua dengan penelitian (Sugiharjo dan
Aldata, 2018). motivasi kerja berpengaruh signifikan
terhadap kinerja karyawan. 3.2.3. Pengaruh Kepuasan Kerja (Z) terhadap
Kinerja (Y) semakin rendah kinerja pegawai tersebut. Hal ini
dapat menyebabkan pegawai berpindah tempat
keperusahaan
lain. Sedangkan
jika
diberikan
kompensasi yang semakin meningkat, pegawai
tersebut akan terus memberikan kinerja yang semakin
meningkat di perusahaan tersebut tanpa berpindah ke
perusahaan
lain. Berdasarkan
hasil
analisa
menunjukkan, kompensasi berpengaruh positif dan
signifikan terhadap kinerja. Hasil ini menunjukkan
bahwa dengan kebijakan pemberian kompensasi yang
tepat dan diterima oleh pegawai maka akan
meningkatkan kinerja pegawai RSUD Dr. Pirngadi
Kota Medan. Hasil penelitian menunjukkan bahwa kepuasan
kerja tidak berpengaruh signifikan terhadap kinerja
(0.370 > 0.05) dan thitung lebih kecil dari ttabel (-0.901 <
1.660), maka kesimpulannya adalah Ho diterima Ha
ditolak. Berkaitan dengan kerangka teori yang terlihat
bahwa faktor-faktor kepuasan kerja yang meliputi gaji
memadai, jaminan kesejahteraa karyawan, jaminan
sosial, macam-macam tunjangan, pekerjaan yang
menantang, kondisi kerja yang mendukung, rekan
kerja mendukung promosi dan sebagainya tidak
memiliki pengaruh terhadap kinerja pegawai pada
RSUD Dr. Pirngadi Kota Medan. Walaupun
demikian, penelitian ini memiliki kesamaan dengan
hasil penelitian dari Mira et al. yang membuktikan
bahwa kepuasan kerja memiliki hubungan positif
namun hubungannya tidak terlalu kuat. Selain itu hasil
penelitian Nabawi menunjukkan bahwa kepuasan
kerja tidak berpengaruh secara signifikan terhadap
kinerja pegawai. Hal ini kemungkinan disebabkan
oleh tingginya nilai konstanta (nilai a) dan rendahnya
nilai koefisien kepuasan kerja. 3.2. Pembahasan Hasil
penelitian
menunjukkan
bahwa
kompensasi
berpengaruh
signifikan
terhadap
kepuasan kerja (0.004 < 0.05) dan thitung lebih besar
dari ttabel (2.936 > 1.660), maka kesimpulannya adalah
Ho ditolak Ha diterima. Dengan adanya kompensasi Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 2999 3.2.3. Pengaruh Kepuasan Kerja (Z) terhadap
Kinerja (Y) Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534 3.2.6. Hubungan Maqashid Syariah terhadap
Kinerja (Y) ditambahkan menjadi tujuh maqashid syariah, yaitu
menjaga
sosial
dan
menjaga
lingkungan. Perkembangan masyarakat dan terdapat fenomena
pengabdian
bahkan
sudah
bersifat
merusak
lingkungan dan keadaan masyarakat, terdapat gagasan
memperluas maqashid al-syariah dengan memelihara
lingkungan (hifz albiah) dan memelihara sosial. Mulawarman, dkk, 2018) Konsep Indeks Maqashid Syariah, terdapat tiga
tujuan syariah yang diambil dari konsep maqasid
syariah, yaitu: (1) Tahzibul Fardi (Mendidik Individu),
(2) Iqamah al Adl (Menegakkan keadilan), (3)
Maslahah
(Kepentingan
publik). Namun
pada
perkembangan pemikiran kontemporer, saat ini
terdapat pendapat mengenai maqashid syariah yang Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534
terdapat pendapat mengenai maqashid syariah yang
No
Instrument
Analisis Dengan
Indikator Kinerja
Alasan
Maqashid
Syariah
Analisa
1
Disiplin/
Tepat
waktu
Hifdz Ad-din
Hifdz al-
mal
Hukum Islam mengajarkan kita untuk melakukan pekerjaan sesuai
dengan ketentuan yang berlaku. Berlaku adillah engkau dalam setiap
keadaan seperti yang terkandung dalam Alquran Surah An-Nahl ayat
90 yang berbunyi:
ِقُ رْ بٰى وَ يَنْهٰ ى عَ ن
ْ
اِ حْ سَ انِ وَ اِ يْتَ اۤئِ ذِ ى ال
ْ
عَ دْ لِ وَ ال
ْ
مُ رُ بِال
ْ
۞ اِ نَّ اّٰلله َ يَأ
رِ وَ ا
َ
مُ نْك
ْ
فَ حْ شَ اۤءِ وَ ال
ْ
ال َرُ وْ ن
َّ
ك
َ
مْ تَذ
ُ
ك
َّ
عَ ل
َ
مْ ل
ُ
بَغْ يِ يَعِ ظُ ك
ْ
ل
٩٠
Artinya: Sesungguhnya Allah menyuruh (kamu) berlaku Adil dan
berbuat kebajikan, memberikan bantuan kepada kerabat, dan Dia
melarang
(melakukan)
perbuatan
keji,
kemungkaran,
dan
permusuhan. Dia memberi pengajaran kepadamu agar kamu dapat
mengambil pelajaran. Untuk itu pegawai yang menerapkan kedisiplinan dalam bekerja akan
mendapatkan pengaruh positif seperti menerima reward/ naik gaji,
mampu mempertahankan pekerjaan agar tidak dipecat, naik pangkat
apabila pegawai tersebut mampu untuk melakukan pekerjaan dengan
dengan baik sesuai dengan aturan yang berlaku. 3.2.6. Hubungan Maqashid Syariah terhadap
Kinerja (Y) 2
Tanggung Jawab
Hifdz Ad-
din
Karena dalam Islam diajarkan tentang bekerja penuh dengan tanggung
jawab seperti yang terkandung dalam Alquran Surah At-Taubah Ayat
105 yang berbunyi:
ى
ٰ
َۗ وَ سَ تُرَ دُّ وْ نَ اِ ل
مُ ؤْ مِ نُوْ نَ
ْ
هٗ وَ ال
ُ
مْ وَ رَ سُ وْ ل
ُ
ك
َ
وْ ا فَ سَ يَرَ ى اّٰلله ُ عَ مَ ل
ُ
وَ قُ لِ اعْ مَ ل
َۚ
َوْ ن
ُ
نْتُمْ تَعْ مَ ل
ُ
مْ بِمَا ك
ُ
غَ يْبِ وَ الشَّ هَ ادَ ةِ فَ يُنَب ِئُك
ْ
عٰلِمِ ال
١٠٥
Artinya: Dan katakanlah, “Bekerjalah kamu maka Allah akan melihat
pekerjaanmu, begitu juga Rasul-Nya dan orang-orang mukmin, dan
kamu akan dikembalikan kepada (Allah) yang mengetahui yang gaib
dan yang nyata, lalu diberitakan-Nya kepada kamu apa yang telah
kamu kerjakan. Tanggung jawab terhadap sebuah pekerjaan adalah kesadaran akan
kewajiban pegawai untuk melaksanakan pekerjaan terkait dengan tugas
pokok dan fungsi yang diberikan kepada pegawainya. 3
Inisiatif
Hifdz al-aql Pegawai memiliki kreatifitas yang berkaitan dengan daya fikir dalam
bentuk ide untuk suatu tujuan organisasi. Setiap inisiatif sebaiknya
mendapat perhatian atau tanggapan positif dari atasan. Bila atasan (X1)
terhadap Hasil
penelitian
menunjukkan
bahwa
kompensasi berpengaruh signifikan terhadap kinerja
(0.010 < 0.05) dan thitung lebih besar dari ttabel (2.634 >
1.660), maka kesimpulannya adalah Ho ditolak Ha
diterima. Kompensasi merupakan imbalan dari
perusahaan untuk diberikan kepada pegawai atas
jasanya dalam melakukan tugas dan tanggung jawab. Tujuannya ialah untuk menciptakan kesadaran
bersama dalam bekerja diantara pegawai agar dapat
sama dengan perusahaan. Perusahaan juga berharap
dengan adanya pemberian kompensasi, pegawai bisa
melakukan dan menghasilkan pekerjaan yang lebih
baik sehingga menciptakan kinerja yang baik juga. Kompensasi berupa gaji, insentif, bonus, tunjangan,
pekerjaan dan lingkungan pekerjaan adalah faktor
penting untuk mempengaruhi meningkatnya suatu
kinerja pegawai. Semakin besar kompensasi yang diberikan
kepada pegawai, semakin tinggi pula usaha para
pegawai untuk meningkatkan kinerjanya. Begitupun
sebaliknya, apabila kompensasi yang diberikan
kepada pegawai semakin rendah bahkan dibawah rata-
rata yang telah ditetapan dalam hukum, maka akan Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 3000 Analisa Hukum Islam mengajarkan kita untuk melakukan pekerjaan sesuai
dengan ketentuan yang berlaku. Berlaku adillah engkau dalam setiap
keadaan seperti yang terkandung dalam Alquran Surah An-Nahl ayat
90 yang berbunyi: لَََّٰ٠ ِقُ رْ بٰى وَ يَنْهٰ ى عَ ن
ْ
اِ حْ سَ انِ وَ اِ يْتَ اۤئِ ذِ ى ال
ْ
عَ دْ لِ وَ ال
ْ
مُ رُ بِال
ْ
۞ اِ نَّ اّٰلله َ يَأ
رِ وَ ا
َ
مُ نْك
ْ
فَ حْ شَ اۤءِ وَ ال
ْ
ال َرُ وْ ن
َّ
ك
َ
مْ تَذ
ُ
ك
َّ
عَ ل
َ
مْ ل
ُ
بَغْ يِ يَعِ ظُ ك
ْ
ل
٩٠ ِ٠
Artinya: Sesungguhnya Allah menyuruh (kamu) berlaku Adil dan
berbuat kebajikan, memberikan bantuan kepada kerabat, dan Dia
melarang
(melakukan)
perbuatan
keji,
kemungkaran,
dan
permusuhan. Dia memberi pengajaran kepadamu agar kamu dapat
mengambil pelajaran. Untuk itu pegawai yang menerapkan kedisiplinan dalam bekerja akan
mendapatkan pengaruh positif seperti menerima reward/ naik gaji,
mampu mempertahankan pekerjaan agar tidak dipecat, naik pangkat
apabila pegawai tersebut mampu untuk melakukan pekerjaan dengan
dengan baik sesuai dengan aturan yang berlaku. ُ Karena dalam Islam diajarkan tentang bekerja penuh dengan tanggung
jawab seperti yang terkandung dalam Alquran Surah At-Taubah Ayat
105 yang berbunyi: ُۗلَّٰۚ٠٥ ى
ٰ
َۗ وَ سَ تُرَ دُّ وْ نَ اِ ل
مُ ؤْ مِ نُوْ نَ
ْ
هٗ وَ ال
ُ
مْ وَ رَ سُ وْ ل
ُ
ك
َ
وْ ا فَ سَ يَرَ ى اّٰلله ُ عَ مَ ل
ُ
وَ قُ لِ اعْ مَ ل
َۚ
َوْ ن
ُ
نْتُمْ تَعْ مَ ل
ُ
مْ بِمَا ك
ُ
غَ يْبِ وَ الشَّ هَ ادَ ةِ فَ يُنَب ِئُك
ْ
عٰلِمِ ال
١٠٥ Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534 Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534 Analisa Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534
No
Analisis Dengan
Indikator Kinerja
Maqashid
Syariah
Analisa
selalu menjegal inisiatif pegawai maka organisasi akan kehilangan
energy atau daya dorong untuk. Agama kita adalah agama berpikir, di dalam agama kita, kita sering
dilatih untuk berfikir. Dalam Al-quran terdapat lebih dari 640 ayat yang
mendorong manusia untuk berpikir. Oleh karena itu kita, diperintahkan
oleh Syari’at untuk menggunakan akal pikiran kita. Allah telah
mengistimewakan manusia dibandingkan dengan makhluk lainya
dengan adanya akal dan kecerdasan yang tinggi. seperti yang terkandung dalam Alquran Surah Ali Imran Ayat 65 yang
berbunyi:
َكِ تٰبِ لِم
ْ
ال
َ
هْ ل
َ
يٰٓا ا
َّ
اِ ل
ُ
ج ِ يْل
ْ
اِ ن
ْ
تِ التَّوْ رٰ ىةُ وَ ال
َ
نْزِ ل
ُ
حَ اۤجُّ وْ نَ فِيْ ْٓ اِ بْرٰ هِ يْمَ وَ مَ آْ ا
ُ
ت
َوْ ن
ُ
ا تَعْ قِ ل
َ
فَ ل
َ
مِ نْ ْۢ بَعْ دِ ه َۗ ا
٦٥
Artinya: wahai ahli kitab ! Mengapa kamu berbantah-bantahan
tentang Ibrahim, padahal Taurat dan Injil diturunkan setelah dia
(Ibrahim) Apakah kamu tidak mengerti? Berkenaan dengan kebiasaan berpikir tertib, agama dipandang oleh
sementara orang mempunyai peranan terhadap rendahnya kreativitas
manusia. Agama dipandang sangat menekankan ketaatan seseorang
kepada norma-norma. Sehingga, karena kebiasaan berpikir dan
bertindak berdasarkan norma-norma itulah semangat atau niatan untuk
berkreasi menjadi terhambat. Pandangan ini dinilai oleh pendapat lain
sebagai pandangan yang tidak mengenal esensi agama. Menurut
pendapat terakhir ini, agama diciptakan Tuhan agar kehidupan manusia
menjadi lebih baik. Islam misalnya, dilahirkan agar menjadi petunjuk
bagi alam semesta (rahmatan lil ‘alamin). 4
Kualitas Kerja
Hifdz al-aql
Berkaitan dengan kemampuan pegawai untuk menunjukkan hasil kerja
yang ditinjau dari segi kerapian kerja dan ketelitian kerja atau tingkat
kesalahan dalam menyelesaikan pekerjaan.seperti yang terkandung
dalam Alquran Surah Ash- Sharh Ayat 7 yang berbunyi:
ْۙ ْتَ فَ انْصَ ب
ْ
فَ اِذَ ا فَ رَ غ
٧
Artinya : Maka apabila engkau telah selesai (dari sesuatu urusan),
tetaplah bekerja keras (untuk urusan yang lain). Dia menyebutkan yang pertama, “Jika engkau telah selesai dari urusan
akhiratmu maka fokuslah dan seriuslah untuk ibadah selanjutnya.” Dan
banyak perkataan salaf akan hal ini, di antaranya:
1. Jika engkau telah selesai dari sholat maka seriuslah untuk berdoa
2. Jika engkau telah selesai dari tasyahhud maka berdoalah untuk dunia
dan akhiratmu
3. Jika engkau telah selesai dari mendakwahkan risalah maka tegaklah
untuk berjihad
4. Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534 seperti yang terkandung dalam Alquran Surah Ali Imran Ayat 65 yang
berbunyi:
َكِ تٰبِ لِم
ْ
ال
َ
هْ ل
َ
يٰٓا ا
َّ
اِ ل
ُ
ج ِ يْل
ْ
اِ ن
ْ
تِ التَّوْ رٰ ىةُ وَ ال
َ
نْزِ ل
ُ
حَ اۤجُّ وْ نَ فِيْ ْٓ اِ بْرٰ هِ يْمَ وَ مَ آْ ا
ُ
ت
َوْ ن
ُ
ا تَعْ قِ ل
َ
فَ ل
َ
مِ نْ ْۢ بَعْ دِ ه َۗ ا
٦٥
Artinya: wahai ahli kitab ! Mengapa kamu berbantah-bantahan
tentang Ibrahim, padahal Taurat dan Injil diturunkan setelah dia
(Ibrahim) Apakah kamu tidak mengerti? Berkenaan dengan kebiasaan berpikir tertib, agama dipandang oleh
sementara orang mempunyai peranan terhadap rendahnya kreativitas
manusia. Agama dipandang sangat menekankan ketaatan seseorang
kepada norma-norma. Sehingga, karena kebiasaan berpikir dan
bertindak berdasarkan norma-norma itulah semangat atau niatan untuk
berkreasi menjadi terhambat. Pandangan ini dinilai oleh pendapat lain
sebagai pandangan yang tidak mengenal esensi agama. Menurut
pendapat terakhir ini, agama diciptakan Tuhan agar kehidupan manusia
menjadi lebih baik. Islam misalnya, dilahirkan agar menjadi petunjuk
bagi alam semesta (rahmatan lil ‘alamin). 4
Kualitas Kerja
Hifdz al-aql
Berkaitan dengan kemampuan pegawai untuk menunjukkan hasil kerja
yang ditinjau dari segi kerapian kerja dan ketelitian kerja atau tingkat
kesalahan dalam menyelesaikan pekerjaan.seperti yang terkandung
dalam Alquran Surah Ash- Sharh Ayat 7 yang berbunyi:
ْۙ ْتَ فَ انْصَ ب
ْ
فَ اِذَ ا فَ رَ غ
٧
Artinya : Maka apabila engkau telah selesai (dari sesuatu urusan),
tetaplah bekerja keras (untuk urusan yang lain). Dia menyebutkan yang pertama, “Jika engkau telah selesai dari urusan
akhiratmu maka fokuslah dan seriuslah untuk ibadah selanjutnya.” Dan
banyak perkataan salaf akan hal ini, di antaranya:
1. Jika engkau telah selesai dari sholat maka seriuslah untuk berdoa
2. Jika engkau telah selesai dari tasyahhud maka berdoalah untuk dunia
dan akhiratmu
3. Jika engkau telah selesai dari mendakwahkan risalah maka tegaklah
untuk berjihad
4
Jika engkau telah selesai dari perkara perkara yang wajib maka Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 3001 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 3
No
Instrument
Analisis Dengan
Indikator Kinerja
Alasan
Maqashid
Syariah
Anali
selalu menjegal inisiatif pegawai m
energy atau daya dorong untuk. Agama kita adalah agama berpikir,
dilatih untuk berfikir. Dalam Al-quran
mendorong manusia untuk berpikir. O
oleh Syari’at untuk menggunakan
mengistimewakan manusia dibandi
dengan adanya akal dan kecerdasan y
seperti yang terkandung dalam Alqur
berbunyi:
ا
َّ
اِ ل
ُ
ج ِ يْل
ْ
اِ ن
ْ
تِ التَّوْ رٰ ىةُ وَ ال
َ
نْزِ ل
ُ
ه يْمَ وَ مَ آْ ا
Artinya: wahai ahli kitab ! Meng
tentang Ibrahim, padahal Taurat d
(Ibrahim) Apakah kamu tidak menger
Berkenaan dengan kebiasaan berpik
sementara orang mempunyai perana
manusia. Agama dipandang sangat
kepada norma-norma. Sehingga, k
bertindak berdasarkan norma-norma i
berkreasi menjadi terhambat. Pandan
sebagai pandangan yang tidak me
pendapat terakhir ini, agama diciptaka
menjadi lebih baik. Islam misalnya, d
bagi alam semesta (rahmatan lil ‘alam
4
Kualitas Kerja
Hifdz al-aql
Berkaitan dengan kemampuan pegaw
yang ditinjau dari segi kerapian kerja
kesalahan dalam menyelesaikan pe
dalam Alquran Surah Ash- Sharh Ay
Artinya : Maka apabila engkau tela
tetaplah bekerja keras (untuk urusan
Dia menyebutkan yang pertama, “Jik
akhiratmu maka fokuslah dan seriusla
banyak perkataan salaf akan hal ini, d
1. Jika engkau telah selesai dari sholat m
2. Jika engkau telah selesai dari tasyah
dan akhiratmu
3. Jika engkau telah selesai dari menda
untuk berjihad
4
Jika engkau telah selesai dari per , (
),
,
No
Instrument
Analisis Dengan
Indikator Kinerja
Alasan
Maqashid
Syariah
Analisa
selalu menjegal inisiatif pegawai maka organisasi akan kehilangan
energy atau daya dorong untuk. Agama kita adalah agama berpikir, di dalam agama kita, kita sering
dilatih untuk berfikir. Dalam Al-quran terdapat lebih dari 640 ayat yang
mendorong manusia untuk berpikir. Oleh karena itu kita, diperintahkan
oleh Syari’at untuk menggunakan akal pikiran kita. Allah telah
mengistimewakan manusia dibandingkan dengan makhluk lainya
dengan adanya akal dan kecerdasan yang tinggi. Analisa Jika engkau telah selesai dari perkara-perkara yang wajib maka
tegaklah untuk melaksanakan perkara-perkara yang sunnah
5
Kuantitas Kerja
Hifdz al-aql Berkaitan dengan kemampuan pegawai dalam menyelesaikan jumlah
atau hasil pekerjaan yang dapat diselesaikan dalam suatu periode Agama kita adalah agama berpikir, di dalam agama kita, kita sering
dilatih untuk berfikir. Dalam Al-quran terdapat lebih dari 640 ayat yang
mendorong manusia untuk berpikir. Oleh karena itu kita, diperintahkan
oleh Syari’at untuk menggunakan akal pikiran kita. Allah telah
mengistimewakan manusia dibandingkan dengan makhluk lainya
dengan adanya akal dan kecerdasan yang tinggi. ََُٓٓٓ seperti yang terkandung dalam Alquran Surah Ali Imran Ayat 65 yang
berbunyi: ََُٓٓٓۗۢ٥ ۗۢ٥
Artinya: wahai ahli kitab ! Mengapa kamu berbantah-bantahan
tentang Ibrahim, padahal Taurat dan Injil diturunkan setelah dia
(Ibrahim) Apakah kamu tidak mengerti? Berkenaan dengan kebiasaan berpikir tertib, agama dipandang oleh
sementara orang mempunyai peranan terhadap rendahnya kreativitas
manusia. Agama dipandang sangat menekankan ketaatan seseorang
kepada norma-norma. Sehingga, karena kebiasaan berpikir dan
bertindak berdasarkan norma-norma itulah semangat atau niatan untuk
berkreasi menjadi terhambat. Pandangan ini dinilai oleh pendapat lain
sebagai pandangan yang tidak mengenal esensi agama. Menurut
pendapat terakhir ini, agama diciptakan Tuhan agar kehidupan manusia
menjadi lebih baik. Islam misalnya, dilahirkan agar menjadi petunjuk
bagi alam semesta (rahmatan lil ‘alamin). ْۙ ْتَ فَ انْصَ ب
ْ
فَ اِذَ ا فَ رَ غ
٧ فَ اِذَ ا ف ۙ
Artinya : Maka apabila engkau telah selesai (dari sesuatu urusan),
tetaplah bekerja keras (untuk urusan yang lain). Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 3002 Jurnal Ilmiah Ekonomi Islam, 8(03), 2022, 3002
No
Instrument
Analisis Dengan
Indikator Kinerja
Alasan
Maqashid
Syariah
Analisa
Hifdz al-
nafs
tertentu.seperti yang terkandung dalam Alquran Surah An- Nahl 97
yang berbunyi:
َۚ
ًِبَة
نُحْ يِيَنَّهٗ حَ يٰوةً طَ ي
َ
نْثٰى وَ هُ وَ مُ ؤْ مِ نٌ فَ ل
ُ
وْ ا
َ
رٍ ا
َ
صَ الِ حًا م ِ نْ ذَك
َ
مَ نْ عَ مِ ل
َوْ ن
ُ
انُوْا يَعْ مَ ل
َ
حْ سَ نِ مَ ا ك
َ
جْ رَ هُ مْ بِا
َ
نَجْ زِ يَنَّهُ مْ ا
َ
وَ ل
٩٧
Artinya: barang siapa mengerjakan kebajikan, baik laki-laki maupun
perempuan dalam keadaan beriman, maka pasti akan kami berikan
kepadanya kehidupan yang baik dan akan kami beri balasan dengan
pahala yang lebih baik dari apa yang telah mereka kerjakan. 4.
KESIMPULAN 4. KESIMPULAN George, J.M. & Jones, G.R. 2(005)Understanding
and managingorganizational behavior (4th ed.). (New Jersey: Upper Saddle Rive. Berdasarkan hasil dari pengujian dan analisis. Peneliti menemukan bahwa secara parsial lingkungan
sosial
tidak
berpengaruh
langsung
terhadap
kompensasi,
motivasi,
dan
kepuasan
kerja
berpengaruh secara langsung terhadap kinerja. Selanjutnya kompensasi tidak berpengaruh langsung
terhadap kinerja sedangkan untuk motivasi, dan
kepuasan kerja berpengaruh langsung terhadap
kinerja. Maqashid al-syari’ah dapat diartikan sebagai
tujuan Allah sebagai shari’ dalam menetapkan hukum
yang terintegrasi terhadap hambanya. Inti dari
maqashid al-syari’ah adalah untuk mewujudkan
kebaikan sekaligus menghindarkan keburukan atau
menarik manfaat (maslahah), dalam hal ini terciptanya
kebaikan diantara pegawai di RSUD Pringadi Medan. Mingka, A. (2013). Maqashid Syariah Dalam
Ekonomi
dan
Keuangan
Syariah. Jakarta:
Iqtishad Publishing. Mudayana, A. A. (2020). Pengaruh motivasi dan
beban kerja terhadap kinerja karyawan di Rumah
Sakit Nur Hidayah Bantul. Kes Mas: Jurnal
Fakultas Kesehatan Masyarakat Universitas
Ahmad Daulan, 4(2), 24851. Mulawarman, A. D., Kamayanti, A., Manzilati, A.,
Djalaluddin, A., Sonhaji, S., Tumirin, T., ... &
Nurindrasari, D. (2018). Akuntansi syariah untuk
rumah sakit teori, prinsip, dan praktik Nasution, M. S. A., & Nasution, R. H. (2020). Filsafat
hukum & maqashid syariah. Prenada Media. Rahmayanti,
(2014)
Pengaruh
motivasi
kerja
terhadap kinerja karyawan pada CV. Putra
Kaltim Samarinda.Journal Ilmu Administrasi
Bisnis Vol.2 No. (2): 215-229. 2014. Analisa tertentu.seperti yang terkandung dalam Alquran Surah An- Nahl 97
yang berbunyi: ََۚ٧ ًِبَة
نُحْ يِيَنَّهٗ حَ يٰوةً طَ ي
َ
نْثٰى وَ هُ وَ مُ ؤْ مِ نٌ فَ ل
ُ
وْ ا
َ
رٍ ا
َ
صَ الِ حًا م ِ نْ ذَك
َ
مَ نْ عَ مِ ل
َوْ ن
ُ
انُوْا يَعْ مَ ل
َ
حْ سَ نِ مَ ا ك
َ
جْ رَ هُ مْ بِا
َ
نَجْ زِ يَنَّهُ مْ ا
َ
وَ ل
٩٧ 5.
UCAPAN TERIMA KASIH Penelitian ini dapat dilaksanakan dengan baik
berkat abntuan dari berbagai pihak, untuk itu peneliti
mengucapkan
terima
kasih
kepada
Dosen
Pembimbing, Kepala Program Studi, Pihak yang telah
memberikan kerjasama yang baik dalam penelitian
ini. Rahmayanti,, A., & Tamini, I. (2015). Pengaruh
Kompensasi
Terhadap
Kepuasan
Kerja
Karyawan Gayamakmur Mobil Medan. Jurnal
Bis-A: Jurnal Bisnis Administrasi, 4(2), 59-68. Sugiharjo, R. J., & Aldata, F. (2018). Pengaruh Beban
Kerja Dan Motivasi Kerja Terhadap Kinerja
Karyawan
Bpjs
Ketenagakerjaan
Cabang
Salemba. Jurnal Ilmiah Manajemen Bisnis, 4(1),
128-137. Analisa Dengan itu di dalam dunia kerja seorang pegawai harus bekerja dengan
baik dan ikhlas, supaya mendapatkan balasan yang baik pula sesuai
dengan kinerja yang telah mereka lakukan. 6.
REFERENSI Bawono, D. C., & Nugraheni, R. (2015). Analisis
Pengaruh Pemberian Insentif, Kepemimpian dan
Beban Kerja Terhadap Kinerja Perawat (Studi
pada
Perawat
Ruang
RSUD
Kota
Semarang) (Doctoral
dissertation,
Fakultas
Ekonomika dan Bisnis). Jurnal Ilmiah Ekonomi Islam, ISSN: 2477-6157; E-ISSN 2579-6534
|
https://openalex.org/W2168020106
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https://europepmc.org/articles/pmc3517334?pdf=render
|
English
| null |
Molecular and Cellular Mechanisms of the Age-Dependency of Opioid Analgesia and Tolerance
|
Molecular pain
| 2,012
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cc-by
| 12,075
|
* Correspondence: pumchhyg@yahoo.com.cn
4Department of Anesthesia, Peking Union Medical College Hospital, Chinese
Academy of Medical Sciences, No.1 Shuaifuyuan Str., Wangfujing Ave.,
Dongcheng District, Beijing 100730, China
Full list of author information is available at the end of the article Molecular and cellular mechanisms of the
age-dependency of opioid analgesia and tolerance Jing Zhao1, Xin Xin1, Guo-xi Xie2, Pamela Pierce Palmer3 and Yu-guang Huang1,4* © 2012 Zhao 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. Abstract The age-dependency of opioid analgesia and tolerance has been noticed in both clinical observation and laboratory
studies. Evidence shows that many molecular and cellular events that play essential roles in opioid analgesia and
tolerance are actually age-dependent. For example, the expression and functions of endogenous opioid peptides,
multiple types of opioid receptors, G protein subunits that couple to opioid receptors, and regulators of G protein
signaling (RGS proteins) change with development and age. Other signaling systems that are critical to opioid
tolerance development, such as N-methyl-D-aspartic acid (NMDA) receptors, also undergo age-related changes. It is
plausible that the age-dependent expression and functions of molecules within and related to the opioid signaling
pathways, as well as age-dependent cellular activity such as agonist-induced opioid receptor internalization and
desensitization, eventually lead to significant age-dependent changes in opioid analgesia and tolerance
development. Keywords: Molecular and cellular mechanisms, Age-dependency, Opioid tolerance Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Zhao et al. Molecular Pain 2012, 10:38 MOLECULAR PAIN Open Access Background systemic. In addition, several physiological factors, such
as age, sex, and genetic variations, can directly or indir-
ectly affect the analgesic effectiveness and tolerance de-
velopment of opioid drugs. Opioid drugs, such as morphine, are commonly used
analgesics that are effective for treating most acute and
chronic pain conditions. However, prolonged and repeti-
tive opioid treatment can have side effects and result in a
significant reduction or even complete loss of the anal-
gesic effect (i.e. tolerance). Thus, although opioid anal-
gesia remains a powerful means of pain therapy, opioid
tolerance has become a major clinical problem for many
patients who receive daily opioids for pain conditions. Tolerance is also a long-standing problem in the basic
pharmacology of opioids. Opioid drug research and de-
velopment has yet to produce potent and type-selective
opioid agents that do not cause tolerance because we still
have a poor understanding of the mechanisms by which
opioid analgesia occurs and opioid tolerance develops. Recently, age-specific opioid therapy for pain, as well
as the relationship between opioid tolerance and aging,
has drawn considerable attention and renewed interest. It is well known that age-related processes (including
early development and aging) play essential roles in the
expression and function of many genes and in the devel-
opment and function of many cells, tissues, and whole
organisms. Studies also suggest that age is a determinant
of opioid analgesia and tolerance in human beings, ani-
mals, and individual cells. The bases of such age-depend-
ency are as complicated and poorly understood as the
mechanisms of opioid analgesia and tolerance them-
selves, and they involve multiple levels. The mechanisms of opioid analgesia and tolerance are
complicated, involving numerous molecules and cells, as
well as many reactions and processes. These mechanisms
act in concert across multiple levels: molecular, cellular,
neuronal
interaction
and
network,
hormonal,
and This review discusses recent evidence supporting the
concept that opioid analgesia and tolerance are age-
dependent. It also explores the molecular and cellular
mechanisms that underlie this phenomenon. Age-dependent opioid analgesia and tolerance in
laboratory animals
R
f
h
b
l
d Rats of varying ages have been evaluated in single-dose
studies to determine the effects of age on opioid pharma-
cokinetics and analgesic efficacy [10]. There also have
been studies of opioid tolerance in prenatal and early
postnatal animals [11-13]. Both types of studies have
suggested that opioid tolerance is age-dependent, yet no
study has systematically evaluated the rate of opioid tol-
erance development across an animal’s lifespan, from
early adolescence to advanced maturity. An early study
suggested that morphine tolerance after repeated daily
administration occurred more rapidly in young rats;
however, the oldest rats used in that study were 12 weeks
old [14]. In a study of daily morphine administration in
rats ranging in age from 3 weeks to 1 year, the time to
onset of tolerance increased dramatically as the rats
aged. This effect could not be explained by age-related
changes in the pharmacokinetics of morphine, suggesting
that cellular and molecular mechanisms of opioid recep-
tor signal transduction may be involved [15]. Opioid escalation can occur for a variety of reasons, in-
cluding underlying disease progression, addiction, and
pharmacologic tolerance. There are diagnostic tools to
identify disease progression, and there are guidelines to
identify and manage pain patients who might be drug-
seeking or have a history of substance abuse [7]. How-
ever, there are not yet any guidelines to identify patients
who may be poor candidates for long-term opioid treat-
ment because they are prone to rapid opioid tolerance
development that would make long-term pain relief un-
sustainable. Furthermore, there are currently no drugs
available to delay opioid tolerance. Therefore, the prob-
lem is two-fold. We need to identify important clinical
parameters that affect opioid tolerance development and,
in turn, find ways to use this information to pinpoint ef-
fective therapeutic targets for future drug development. Age could be an important member of this set of
parameters. Conflicting evidence exists concerning whether toler-
ance develops to opiate-induced antinociception during
the first 2 postnatal weeks. Tolerance to the antinocicep-
tive effects of morphine does develop in rats within
15 days after birth, but it is masked by the rapid prolif-
eration of opiate receptors, which simultaneously en-
hance the antinociceptive potency of morphine [16]. Age-dependent opioid analgesia and tolerance in patients
with pain A study by Moulin et al [9] showed that a group of 46
patients with chronic nonneuropathic pain and an aver-
age age of 40 years had to take up to 60 mg oral mor-
phine twice a day to get sustainable pain relief. These
doses were much higher than those used in patients aged
60 years and older. For many years, studies have shown that age significantly
influences the dosing and analgesic effects of commonly
used opioid drugs [1,2]. In recent years, there has been a
significant increase in the use of daily opioids to treat
chronic nonmalignant pain [3]. There continues to be
some debate as to whether daily opioid use results in
sustainable pain relief for chronic nonmalignant pain
conditions [4]. Clinical studies of long-term opioid ad-
ministration show that although it can produce pro-
longed pain relief in many patients, some patients with
nonmalignant pain require escalating doses of opioids
over time to maintain opioid efficacy [5,6], suggesting
that opioid tolerance development is indeed a clinical
problem. Age-dependent opioid analgesia and tolerance Results from many clinical observations and laboratory
studies strongly support the notion that age is an Page 2 of 12 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 important factor affecting opioid analgesia. Recent clin-
ical and laboratory data indicate that age also affects the
development rate of opioid tolerance. patients less than 50 years old and patients older than
60
years. Significant
differences
were
found;
older
patients, regardless of gender or type of pain, escalated
their opioid use significantly less than younger patients
over the 2-year treatment period. Age-dependent opioid effects in cells
d
d
d
ff
h
l p
g
y
Pharmacological, biochemical, and molecular cloning
studies have revealed that there are four different types
of opioid receptors: the δ, μ, κ, and opioid receptor-like
1 (ORL1) receptors. They all belong to the G protein–
coupled,
seven-transmembrane
receptor
superfamily
(GPCR) and share significant sequence homology (more
than 60% identical at the amino-acid level) [28]. The δ,
μ, and κ types are considered the classical opioid recep-
tors because they are the selective binding sites for com-
monly-used opioid drugs and mediate typical opioid
effects that can be reversed by the specific “pure” opioid
antagonist naloxone. In contrast, the ORL1 receptor
mediates atypical dual (opioid and anti-opioid) effects
that cannot be reversed by naloxone. Thus, the ORL1 re-
ceptor can be seen as a divergent and atypical member
of the opioid receptor family. The selectivity of the four
types of opioid receptors for different endogenous opioid
peptides and exogenous opioid drugs is summarized in
Table 2. Age-dependent opioid effects have also been observed in
cultured neuronal cells. A recent study showed that dorsal
root ganglion (DRG) neurons cultured from 10-month-old
rats were more sensitive to long-term morphine treatment
than neurons from 3-month-old rats; in the neurons from
the older rats, lower doses of morphine (10 times lower)
and a shorter treatment period (33% shorter) were suffi-
cient to induce significant increases in the immunoreactiv-
ity of calcitonin gene-related peptide and substance P [24]. Although the relationship between this age-dependent
sensitivity to chronic morphine in cultured DRG neurons
and the rate of morphine tolerance development in whole
animals is unknown, the impact of aging on the effects of
opioids is apparent and significant. Age-dependent opioid analgesia and tolerance in
laboratory animals
R
f
h
b
l
d These results indicate that con-
tinuous administration of fentanyl via an osmotic mini-
pump can render normal neonatal rats tolerant to and
physically dependent on fentanyl within 72 hours [22]. Opioid receptor signal transduction pathways Decades of opioid research have led to the magnificent
discovery of endogenous opioid peptides and multiple
opioid receptors, which play the primary and essential
roles in opioid action. In humans and other mammals,
there exist at least four families of endogenous opioid
peptides. The members of each family are formed from
one of four large precursor proteins: prepro-opiomelano-
cortin, prepro-enkephalin, preprodynorphin, and prepro-
nociceptin. Through processes of cleavage by specific
peptidases and post-translational modification, a dozen
active opioid peptides are derived from the precursors
(Table 1). These endogenous opioid peptides play import-
ant roles in mediating and modulating the analgesic effect
of and tolerance to opioids administered exogenously. Recently, Zissen et al [23] examined the development
of opioid tolerance by intermittent injection or continu-
ous infusion of morphine in postnatal 5- to 8- and 19- to
21-day-old rats and found that different dosages and de-
livery schedules affected morphine tolerance in an age-
dependent manner. These findings suggest that the dose
and frequency of opioid administration interact with age
in determining the development of tolerance. Age-dependent opioid analgesia and tolerance in
laboratory animals
R
f
h
b
l
d The
dose–response curve for morphine-induced antinocicep-
tion in 9-day-old rat pups pretreated with morphine
(20 mg/kg) over 4 days is shifted to the right, showing
that repeated morphine administration can produce tol-
erance within the first 2 weeks after birth. It is widely observed in pain management that younger
patients seem to develop opioid tolerance more rapidly
than older patients. Although there have been numerous
studies of the effects of age on the pharmacokinetics of
opioids, potential age-related changes in clinical pharma-
codynamic tolerance to long-term opioids has never
been studied. Rather, the majority of clinical studies have
examined patients aged 18–80 years as a single group,
with the mean age usually in the 50- to 60-year range. Likewise, it has been shown that 2-week-old rats de-
velop tolerance to continuous subcutaneous morphine
infusion within 72 hours [17]. Other studies have shown
that opioid tolerance develops within 8–10 days in young
adult rats [18,19]. However, there is some debate as to
how early a neonatal rat can develop opioid tolerance
(e.g. 9 versus 15 days after birth) [16,20]. To determine whether opioid dose escalation and
long-term pain relief with extended opioid treatment dif-
fers significantly among patients in different age groups,
a recent retrospective study examined patients treated
for an extended period with long-acting opioids for non-
malignant pain [8]. Opioid dose escalation and visual
analog scale (VAS) scores were compared between Results from a study by Laferrière et al [21] indicated
that postnatal development did not affect the potency of Page 3 of 12 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 underlying opioid analgesia and tolerance (Figure 2). Some
of these effects are described below. fentanyl in 6- to 9-day-old rats. The fentanyl pump–
implanted animals were observed to develop tolerance to
fentanyl, and this tolerance was not affected by gender,
developmental changes, fentanyl distribution, or changes
in fentanyl metabolism. These results indicate that con-
tinuous administration of fentanyl via an osmotic mini-
pump can render normal neonatal rats tolerant to and
physically dependent on fentanyl within 72 hours [22]. fentanyl in 6- to 9-day-old rats. The fentanyl pump–
implanted animals were observed to develop tolerance to
fentanyl, and this tolerance was not affected by gender,
developmental changes, fentanyl distribution, or changes
in fentanyl metabolism. Molecular and cellular mechanisms of the age-
dependency of opioid analgesia and tolerance Mechanisms of opioid tolerance at the molecular and
cellular levels are complex. Many of them require a
modification of the expression and functions of signaling
molecules [25-27]. To explore the molecular and cellular
bases of the age-dependency of opioid analgesia and tol-
erance, we must first have a comprehensive understand-
ing of opioid receptor signaling systems (Figure 1), as
well as up-to-date knowledge of the mechanisms of opi-
oid tolerance at the molecular and cellular levels. Opioid receptors of all four types are coupled to the
inhibitory G protein Gi or Go, which is in turn regulated
by RGS proteins. The analgesic effect of opioid agonists
is attributed to signal transduction through the G pro-
tein-mediated second messenger system initiated by the
binding of agonist to opioid receptor. Once an opioid
agonist binds to its specific receptor, the conformation of
the opioid receptor changes, and the coupled Gi/o pro-
tein is subsequently activated. The Gα subunit switches
from a GDP-bound inactive state to a GTP-bound active
state and dissociates from the Gßγ subunits. Activated G
subunits then interact with downstream effectors, which
further amplify the signal initiated by the opioid agonist
and opioid receptor. Those downstream actions include
the inhibition of adenylyl cyclase (AC) to reduce the pro-
duction of cyclic AMP (cAMP), the opening of potassium
channels, the inhibition of calcium channels, and the Having this knowledge enables us to address two im-
portant questions. First, what role does age play in the
mechanisms of opioid analgesia and tolerance? Second,
how do the development, growth, and aging processes
affect the molecular and cellular events described in the
previous section? In response to the first question, evidence shows that de-
velopment and aging have a significant impact on almost
every aspect of the molecular and cellular mechanisms Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Page 4 of 12 Page 4 of 12 Zhao et al. Molecular Pain 2012, 10:38 http://www.molecularpain.com/content/10/1/38 Figure 1 Opioid receptor signaling pathway. All four types of opioid receptor are coupled to the inhibitory G protein Gi or Go, which in turn is
regulated by RGS proteins. The analgesic effect of opioid agonists is attributed to the signal transduction through the G protein–mediated second
messenger system initiated by the binding of an agonist to an opioid receptor. Molecular and cellular mechanisms of the age-
dependency of opioid analgesia and tolerance Once an opioid agonist binds to its specific receptor, the
conformation of the opioid receptor changes, and the coupled Gi/o protein is subsequently activated. The Gα subunit switches from a GDP-bound
inactive state to a GTP-bound active state and dissociates from the Gßγ subunits. Activated G subunits then interact with downstream effectors,
which further amplify the signal initiated by the opioid agonist and opioid receptor. Those downstream actions include the inhibition of adenylyl
cyclase (AC) to reduce the production of cyclic AMP (cAMP), the opening of potassium channels, the inhibition of calcium channels, and the
activation of mitogen-activated protein kinase (MAPK) and other kinases. Figure 1 Opioid receptor signaling pathway. All four types of opioid receptor are coupled to the inhibitory G protein Gi or Go, which in turn is
regulated by RGS proteins. The analgesic effect of opioid agonists is attributed to the signal transduction through the G protein–mediated second
messenger system initiated by the binding of an agonist to an opioid receptor. Once an opioid agonist binds to its specific receptor, the
conformation of the opioid receptor changes, and the coupled Gi/o protein is subsequently activated. The Gα subunit switches from a GDP-bound
inactive state to a GTP-bound active state and dissociates from the Gßγ subunits. Activated G subunits then interact with downstream effectors,
which further amplify the signal initiated by the opioid agonist and opioid receptor. Those downstream actions include the inhibition of adenylyl
cyclase (AC) to reduce the production of cyclic AMP (cAMP), the opening of potassium channels, the inhibition of calcium channels, and the
activation of mitogen-activated protein kinase (MAPK) and other kinases. Figure 1 Opioid receptor signaling pathway. All four types of opioid receptor are coupled to the inhibitory G protein Gi or Go, which in turn is
regulated by RGS proteins. The analgesic effect of opioid agonists is attributed to the signal transduction through the G protein–mediated second
messenger system initiated by the binding of an agonist to an opioid receptor. Once an opioid agonist binds to its specific receptor, the
conformation of the opioid receptor changes, and the coupled Gi/o protein is subsequently activated. The Gα subunit switches from a GDP-bound
inactive state to a GTP-bound active state and dissociates from the Gßγ subunits. Activated G subunits then interact with downstream effectors,
which further amplify the signal initiated by the opioid agonist and opioid receptor. Molecular and cellular mechanisms of the age-
dependency of opioid analgesia and tolerance Those downstream actions include the inhibition of adenylyl
cyclase (AC) to reduce the production of cyclic AMP (cAMP), the opening of potassium channels, the inhibition of calcium channels, and the
activation of mitogen-activated protein kinase (MAPK) and other kinases. Figure 1 Opioid receptor signaling pathway. All four typ Age-dependent expression and function of endogenous
opioid peptides and multiple opioid receptors Page 5 of 12 Page 5 of 12 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/ Zhao et al. Molecular Pain 2012, 10:38 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 http://www.molecularpain.com/content/10/1/38 Figure 2 Molecular and cellular mechanisms of the age-dependency of opioid analgesia and tolerance. Mechanisms of opioid analgesia
and tolerance at the molecular and cellular levels are complex, and many of them require a modification of the expression and functions of
signaling molecules. Aging has a significant impact on almost every aspect of the opioid receptor signaling systems that underlie opioid analgesia
and tolerance. ①Endogenous opioid peptides and opioid receptors are differentially expressed in different developmental stages, and aging is
associated with changes in the number and/or affinity of opioid receptors and opioid receptor-like 1 (ORL1). ②The expression of β-arrestin,
which plays a prominent part in opioid receptor desensitization, is determined by neural differentiation and aging. The increased expression of β-
arrestin is accompanied by a parallel increase in G protein-coupled receptor kinase (GRK) expression during prenatal development. ③The
phosphorylation of opioid receptors by GRK and the binding of β-arrestin initiate the internalization of the ligand-bound receptors. The
internalization of epidermal growth factor (EGF) receptors and interleukin 2 (IL2) receptors and clathrin-associated endocytosis are age-dependent,
which implies that the same might be also true for opioid receptor systems. ④Aging affects the expression and function of the N-methyl-D-
aspartic acid (NMDA) receptor and its subunits—calmodulin (CaM) and protein kinase C (PKC) and its various isoforms—as well as other
neuropeptides known to have anti-opioid effects. ⑤The expression, regulation, and function of specific G protein signaling (RGS) members are
affected by age during embryonic development and neuronal differentiation. ⑥Development and aging differentially regulate G protein-
mediated adenylate cyclase (AC) signaling. The activities of AC, guanylate cyclase (GC), cyclic AMP (cAMP), phosphodiesterase, and cyclic GMP
(cGMP) phosphodiesterase in the frontal cortex and cerebellum show age-related changes. Figure 2 Molecular and cellular mechanisms of the age-dependency of opioid analgesia and tolerance. Mechanisms of opioid analgesia
and tolerance at the molecular and cellular levels are complex, and many of them require a modification of the expression and functions of
signaling molecules. Aging has a significant impact on almost every aspect of the opioid receptor signaling systems that underlie opioid analgesia
and tolerance. Age-dependent expression and function of endogenous
opioid peptides and multiple opioid receptors ①Endogenous opioid peptides and opioid receptors are differentially expressed in different developmental stages, and aging is
associated with changes in the number and/or affinity of opioid receptors and opioid receptor-like 1 (ORL1). ②The expression of β-arrestin,
which plays a prominent part in opioid receptor desensitization, is determined by neural differentiation and aging. The increased expression of β-
arrestin is accompanied by a parallel increase in G protein-coupled receptor kinase (GRK) expression during prenatal development. ③The
phosphorylation of opioid receptors by GRK and the binding of β-arrestin initiate the internalization of the ligand-bound receptors. The
internalization of epidermal growth factor (EGF) receptors and interleukin 2 (IL2) receptors and clathrin-associated endocytosis are age-dependent,
which implies that the same might be also true for opioid receptor systems. ④Aging affects the expression and function of the N-methyl-D-
aspartic acid (NMDA) receptor and its subunits—calmodulin (CaM) and protein kinase C (PKC) and its various isoforms—as well as other
neuropeptides known to have anti-opioid effects. ⑤The expression, regulation, and function of specific G protein signaling (RGS) members are
affected by age during embryonic development and neuronal differentiation. ⑥Development and aging differentially regulate G protein-
mediated adenylate cyclase (AC) signaling. The activities of AC, guanylate cyclase (GC), cyclic AMP (cAMP), phosphodiesterase, and cyclic GMP
(cGMP) phosphodiesterase in the frontal cortex and cerebellum show age-related changes. A large body of evidence has shown that development
and age have a significant impact on the expression and
functional activities of opioid receptors and ORL1. Table 3 summarizes the major findings. over the first few postnatal weeks of life. Another group
found that aging is associated with an increased affinity
(decreased dissociation constant Kd) of the μ opioid recep-
tors without a significant effect on the number of μ recep-
tors [38]. However, controversy exists, as the study from Bardo
et al [39] shows that an alteration in the opiate system
during development does not necessarily produce a con-
comitant alteration in the behavioral efficacy of mor-
phine. This conclusion was drawn from the finding that
the long-term administration of morphine did not alter
the ligand binding of opioid receptors in certain areas of
the brain in rats 1 to 21 days of age. Age-dependent expression and function of endogenous
opioid peptides and multiple opioid receptors activation of mitogen-activated protein kinase (MAPK)
and other kinases. Age-dependent expression and function of endogenous
opioid peptides and multiple opioid receptors opioid peptides and multiple opioid receptors
It has been well documented that the expression and dis-
tribution of the endogenous opioid peptides—prepro-
enkephalin, prepro-endorphin, preprodynorphin, and pre-
pronociceptin—are age-related [32,33]. It has also been
shown that opioid receptors and ORL1 are differentially
expressed in different developmental stages and ages
[34,35]. During the postnatal preweaning period, there is a
progressive increase in the number of μ receptors in the
whole brain, and this increase is correlated with an in-
crease in the antinociceptive efficacy of morphine (14/4). Studies by Rahman et al [36]. showed that the numbers of
μ, δ, and κ opioid receptor binding sites in the spinal cord
increase from 0 postnatal days, reach a peak at 7 postnatal
days, and then progressively decrease, reaching adult levels
at 56 postnatal days. Zhang and Pasternak [37] reported
that high-affinity κ opioid receptor binding sites in the
spinal cord increase three-fold from 2 postnatal days to 14
postnatal days; the majority of this increase occurs on or
around 5 postnatal days. These findings indicate that there
are parallel changes in the numbers and/or affinity of opi-
oid receptors and the strength of opioid-induced analgesia The agonist-bound opioid receptor goes through intern-
alization for signaling and recycling itself. Opioid receptor
internalization is assisted by RGS proteins [29]. The ter-
mination of opioid signaling results from the hydrolysis of
GTP by a GTPase; this process is accelerated by specific
RGS proteins, which return the Gα subunit to its GDP-
bound inactive form. The processes of internalization, re-
cycling, and inactivation resets opioid receptors and G
proteins, readying them to transduce the next signal when
another opioid agonist binds to the receptor. Evidence shows that all four types of opioid receptor are
involved in opioid analgesia and tolerance. Each of the four
types of opioid agonist produces analgesia (or hyperalgesia
in the case of nociceptin) and tolerance by binding to its re-
spective receptor. In addition, the multiple types of opioid
receptors interact with each other to enhance or attenuate
opioid analgesia and tolerance. For example, studies have
shown that morphine analgesia is greatly enhanced by acti-
vation of δ or κ opioid receptors [30] and that the ORL1
agonist nociceptin/orphanin FQ attenuates morphine anal-
gesia and accelerates morphine tolerance [31]. Effect of age on opioid receptor phosphorylation and
desensitization in the development of opioid tolerance of opioid tolerance [40]. Continued exposure to an agon-
ist leads to the phosphorylation of opioid receptors by G
protein–coupled receptor kinases (GRKs). The phos-
phorylated receptor is then bound by β-arrestin, a mem-
ber of the arrestin family that can recognize both GRK
phosphorylation sites on the receptor and the activated
conformation of the receptor. The phosphorylation of
the opioid receptor and the binding of β-arrestin result
in the uncoupling of the opioid receptor from G
proteins, which leads to a desensitization of the opioid
receptor and a reduction of opioid agonist’s efficacy [41]. Among the members of the arrestin family, β-arrestin 1
(i.e. arrestin 2) and β-arrestin 2 (i.e. arrestin 3) contribute
to the regulation of the majority of GPCRs. Long-term
morphine treatment of cells that express μ-opioid receptor
(MOR) leads to the attenuation of β-arrestin 1 and β-
arrestin 2, which subsequently desensitize the activated The expression of arrestin 2, which plays a prominent
part in opioid receptor desensitization, is determined by
neural differentiation and aging. A study performed in rat
embryos detected a steady increase in arrestin 2 expression
during prenatal development. At early stages of prenatal
development, the concentrations of the two arrestin iso-
forms are similar. The increase in arrestin 2 is accompan-
ied by a parallel increase in GRK5 expression, whereas the
expression of other GRK subtypes changes very little [45]. Among the members of the arrestin family, β-arrestin 1
(i.e. arrestin 2) and β-arrestin 2 (i.e. arrestin 3) contribute
to the regulation of the majority of GPCRs. Long-term
morphine treatment of cells that express μ-opioid receptor
(MOR) leads to the attenuation of β-arrestin 1 and β-
arrestin 2, which subsequently desensitize the activated Effect of age on opioid receptor phosphorylation and
desensitization in the development of opioid tolerance The binding of an agonist to an opioid receptor induces
two events: the activation of the opioid signal transduc-
tion pathway and the modulation (including but not lim-
ited to phosphorylation and desensitization) of the
opioid receptor itself. Opioid receptor phosphorylation
and desensitization have been linked to the development Page 6 of 12 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Table 1 Endogenous opioid peptides and their precursors
Opioid Peptide
Precursor
β-Endorphin
Pro-opiomelanocortin
Met-enkephalin
Pro-enkephalin
Leu-enkephalin
Pro-enkephalin
Octapeptide
Pro-enkephalin
Heptapeptide
Pro-enkephalin
Dynorphin 1-8
Pro-dynorphin
Dynorphin 1-17
Pro-dynorphin
α-Neoendorphin
Pro-dynorphin
β-Neoendorphin
Pro-dynorphin
Nociceptin
Prepro-nociceptin
Bocistatin
Prepro-nociceptin Table 1 Endogenous opioid peptides and their precursors
Opioid Peptide
Precursor receptors and facilitate the internalization of inactivated
receptors and the recycling of resensitized receptors back
to the cell surface [42]. Our understanding of these effects,
along with some other research findings, strongly suggest
that GRK and arrestin play essential roles in the processes
underlying MOR desensitization, which may contribute to
the development of opioid tolerance. The immunodensities of GRK2, GRK6, and β-arrestin
2 in the prefrontal cortex were found to be significantly
lower in opiate addicts than in controls [43]. This finding
indicates that opioid tolerance is associated with a down-
regulation of brain MOR and a regulation of GRK 2/6
and β-arrestin 2. It is generally believed that the efficiency of GPCR sig-
naling correlates with the concentration of receptors, G-
proteins, and effectors, whereas the rate of receptor
desensitization correlates with the concentration of rele-
vant GRKs and arrestins. GRK2 and GRK6 play import-
ant roles in the phosphorylation of G proteins and in the
regulation of opioid receptors. In human prefrontal cor-
tex, the immunodensities of GRK2/6 and β-arrestin 2 ap-
pear to decline significantly with aging (i.e. between the
ages of 16–87 y) [44]. of opioid tolerance [40]. Continued exposure to an agon-
ist leads to the phosphorylation of opioid receptors by G
protein–coupled receptor kinases (GRKs). The phos-
phorylated receptor is then bound by β-arrestin, a mem-
ber of the arrestin family that can recognize both GRK
phosphorylation sites on the receptor and the activated
conformation of the receptor. The phosphorylation of
the opioid receptor and the binding of β-arrestin result
in the uncoupling of the opioid receptor from G
proteins, which leads to a desensitization of the opioid
receptor and a reduction of opioid agonist’s efficacy [41]. Effects of age on opioid receptor internalization in opioid
tolerance Table 2 Selectivity of Opioid receptors to the Endogenous
Opioid Peptides and Exogenous Opioid Drugs
Opioid
receptor
Endogenous opioid
peptides
Opioid drugs
Μ-receptor
β-endorphin
morphine
enkephalin
fentanyl
sufentanil
D-Ala2,MePhe4,Gly-ol5
(DAMGO)
δ-receptor
Met-enkephalin
deltorphin
Leu-enkephalin
[D-Pen2,D-Pen5]
enkephalin
(DPDPE)
κ-receptor
dynorphin A
ethylketocyclazocine (EKC)
dynorphin B
buprenorphine
pentazocine
U 50,488
ORL1-receptor
nociceptin
None Table 2 Selectivity of Opioid receptors to the Endogenous
Opioid Peptides and Exogenous Opioid Drugs It is believed that the number of functional opioid receptors
on the cell membrane surface determines the magnitude of
an opioid’s effects, including analgesia. An orthodox hypoth-
esis is that binding with an agonist induces opioid receptor
internalization and downregulation, which reduce the num-
ber of available opioid receptors on the cell surface and,
therefore, reduce the effect of the opioid agonist and facili-
tate the development of tolerance. This notion has been
supported by plentiful data on opioid tolerance [46-48]. However, some recent studies have offered a revised
conception of the relationship between opioid receptor
internalization and opioid tolerance. This new model
suggests that the opioid receptor internalization actually
prevents or delays the development of opioid tolerance,
and that the effectiveness with which opioid agonists in-
duce μ opioid–receptor internalization is inversely pro-
portional to their potency to induce tolerance. In vitro
data show that morphine is inefficient in inducing μ opi-
oid–receptor internalization but is potent in producing Page 7 of 12 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Table 3 Classification of RGS proteins
S bf
il
M
b Table 3 Classification of RGS proteins Table 3 Classification of RGS proteins
Subfamily
Members
Common features outside of RGS domain
RZ (or A) string GAIP/RGS19, RGSZ1/RGS20, RGSZ2/RGS17, Ret-RGS1
N-terminal cysteine
R4 (or B)
RGS1, RGS2, RGS3, RGS4, RGS5, RGS8, RGS13, RGS16,
RGS18
without specified domains or just an N-terminal amphipathic helix
R7 (or C)
RGS6, RGS7, RGS9, RGS11
a GGL (G-like) domain and a DEP domain
R12 (or D)
RGS10, RGS12, RGS14
may contain PDZ, PTB, or RBD domains
RA (or E)
axin, conductin
GSK binding, ß-catenin binding, PP2A homology, and dimerization
domains
GEF (or F)
p115-RhoGEF, PDZ-RhoGEF, LARG
DH and PH domains
GRK (or G)
GRK1, GRK2, GRK3, GRK4, GRK5, GRK6, GRK7
G-protein receptor kinase domain and PH domain Common features outside of RGS domain N-terminal cysteine G-protein receptor kinase domain and PH domain tolerance. Effects of age on opioid receptor internalization in opioid
tolerance In contrast, the selective μ agonist DAMGO
induces μ receptor internalization efficiently and does
not produce tolerance readily [49]. central nervous system [55-57]. The interaction involves
intracellular second messengers that mediate opioid ac-
tion, leading to analgesia and the development of toler-
ance. MOR activation initiates multiple cellular signaling
cascades that result in protein kinase C (PKC) γ-subtype
translocation [58] and the inhibition of Ca2+ channels
[59]. In contrast, NMDA receptor activation is associated
with PKC activation and an increase in intracellular Ca2
+ [60]. NMDA receptors attenuate opioid receptor func-
tion by facilitating Ca2+ entry and PKC phosphorylation
of the Giα2 protein, resulting in opioid receptor–G pro-
tein uncoupling [61]. The phosphorylation of opioid receptors by GRK and
the binding of β-arrestin initiate the internalization of
the ligand-bound receptors and a subsequent recycling
of the receptors back to the cell surface (80% of interna-
lized receptors are recycled from endosomes to the
plasma membrane by dephosphorylation). These findings
strongly support the idea that receptor internalization
reduces tolerance in vivo by facilitating the recycling and
resensitization of receptors. However, this model is still in a very early stage of devel-
opment, and there are several facts that appear to contra-
dict it. For one, the timings of in vitro opioid receptor
internalization and in vivo opioid tolerance development
are not correlated at all. Furthermore, it has become clear
that the potency of a given opioid agonist to induce μ opi-
oid–receptor internalization is not a fixed property; in-
stead, it is tissue-specific and cell-type–dependent. Recent
studies show that morphine, the most inefficient inducer
of μ opioid receptor internalization in in vitro cell expres-
sion systems, can actually induce the rapid internalization
of a significant portion of μ opioid receptors in striatum
neuronal cells [50] and in mouse periaqueductal grey mat-
ter (PAG) neurons [51]. Uncoupling of the MOR–G protein, rather than recep-
tor internalization, has been implicated as a mechanism
for tolerance to morphine [62]. Inhibition of NMDA
receptors, which prevents or reduces MOR–G protein
uncoupling, may enhance opioid analgesia and delay the
development of tolerance [63,64]. In addition to NMDA receptors, other anti-opioid
systems have been discovered [65]. Several neuropep-
tides, including cholecystokinin (CCK), neuropeptide
FF (NPFF), and nociceptin (orphanin FQ), have a
pharmacological effect that negatively modulates the
opioid system. Effects of age on opioid receptor internalization in opioid
tolerance Prolactin-releasing peptide (PrRP) has
recently been identified as the natural agonist of
GPR10, which was previously considered an orphan
receptor. This study identified the PrRP-GPR10 sys-
tem as a potent negative modulator of the opioid sys-
tem, so the PrRP-GPR10 system may be involved in
the development of opioid tolerance and dependence. Opioid receptor internalization is one of the most im-
portant events in opioid tolerance. Although there is no
direct evidence that the internalization of opioid recep-
tors is affected by age, some studies have shown that
the ligand-induced internalization of epidermal growth
factor (EGF) and interleukin 2 (IL2) receptors and cla-
thrin-associated endocytosis are age-dependent [52-54]. From this evidence, one could infer that internalization
might also occur in opioid receptor systems. Neurokinins
and
calcitonin
gene-related
peptide
(CGRP) are expressed in primary sensory afferents and
have thus been proposed to play important roles in noci-
ceptive sensation. Menard et al [66] investigated the ex-
pression of CGRP and its receptors in the dorsal horn of
the spinal cord during the development of tolerance to
continuous intrathecal administration of morphine. In
animals that developed opioid tolerance, there was a sig-
nificant increase in CGRP-like immunostaining and a de-
crease (30-45%) in [125I]human CGRP α binding in the
laminae I, II, and III of the dorsal horn of the spinal Age-related differential expression and function of G
proteins and RGS proteins in opioid tolerance RGS proteins are a family of cellular proteins that con-
tain a homologous RGS domain of approximately 120
amino acids in length. RGS proteins include GTPase-ac-
celerating protein (GAP) activity within their characteris-
tic RGS domain and various other receptor signaling-
related properties of their other functional domains. Multiple RGS proteins have been shown to negatively
regulate G protein–mediated opioid signaling, facilitate
opioid receptor desensitization and internalization, and
affect the rate at which opioid tolerance develops [71]. RGS proteins specifically interact with Gα subunits and
enhance the intrinsic GTPase activity of Gα to accelerate
GTP hydrolysis, thereby facilitating the switch of Gα
from a GTP-bound active state to a GDP-bound inactive
state. It was not until recently that RGS proteins were
recognized as key players in opioid signaling and toler-
ance. An increasing number of studies show that specific
RGS proteins, especially GAIP/RGS19, RGS2, RGS4,
RGS8, and RGS9-2, play crucial roles in opioid receptor
signaling and opioid tolerance (Table 4) [72]. They not
only inactivate G protein, which terminates opioid ac-
tion, but also function as active components in opioid
receptor desensitization, internalization, recycling, and
degradation [73]. The morphine tolerance observed in newborn rats may
be
mediated
by
metabotropic
glutamate
receptors
(mGluRs), because mGluRs are coupled to various second
messengers, including Ca2+ cascades. The AMPA receptor
may also activate the Ca2+-dependent second messenger
systems in neural circuits involved in opiate tolerance in
newborn rats. A study showed that treatment with the se-
lective AMPA receptor antagonist NBQX or the group II
mGluR agonist DCG-IV effectively suppressed the expres-
sion of morphine-induced tolerance and dependence in
infant rats. These effects were not age-dependent [68]. Spinal glutamate, nitric oxide, cyclooxygenase (COX),
and prostaglandin-related systems are all known to be acti-
vated by opioid-related analgesia. The enzymatic activity of
COX, and to a lesser extent nitric oxide, also contributes
to the development of spinal morphine tolerance. Other
neuropeptides known to have anti-opioid effects (CGRP,
substance P [SP], neuropeptide Y [NPY], galanin) have also
been shown to have age-dependent expression and activ-
ities. One study showed that CGRP-like immunoreactivity
was significantly increased in the primary afferents of the
spinal dorsal horn during the development of morphine
tolerance [24]. Effect of age on the expression and function of NMDA
receptor and other proteins that play important roles in
opioid tolerance It has been demonstrated that MOR and NMDA are
colocalized in individual neurons in many areas of the Page 8 of 12 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 cord. These changes suggest that CGRP may play a role
in the development of opioid tolerance. morphine exposure. The greater sensitivity of morphine-
mediated CGRP and SP induction in cultured DRG neu-
rons from older rats suggests that morphine tolerance may
be more likely to develop in the elderly. In addition, Powell et al [67] discovered that in rats
that were given repeated doses of morphine, coadminis-
tration of SR140333—a selective substance P receptor
(neurokinin-1) antagonist—augmented the acute effects
of
morphine,
prevented
morphine
tolerance,
and
reversed established tolerance. These findings suggest
that the activity of neurokinin also contributes to the in-
duction of opioid analgesic tolerance. Calmodulin (CaM) plays an important role in opioid
receptor signaling. Age-induced changes in the CaM sys-
tem were observed by Hoskins et al [69]. These observa-
tions included the following differences: First, CaM
levels were lowest in young rats, higher in old rats, and
highest in mature rats. Second, Ca2+-Mg2+ ATPase activ-
ity was progressively higher in young, mature, and old
rats. Third, particulate protein kinase activity was pro-
gressively lower in young, mature, and old rats. g
Development and aging differentially regulate the ex-
pression and function of the NMDA receptor and its subu-
nits [44]. A study showed that NMDA antagonist was not
effective in blocking the development of morphine toler-
ance in 7-day-old rats, was partially effective in 14-day-old
rats, and was fully effective in 21-day-old or older rats
[68]. These data suggest that there is a transition age,
around the second postnatal week in the rat, at which
NMDA receptors begin to play a role in the development
of morphine tolerance. One possible explanation for opi-
oid tolerance in newborn rats is that other mechanisms,
such as NO production, activate the intracellular Ca2+ re-
lease and evoke the Ca2+-dependent second messenger
system. A second possibility is that channels besides the
NMDA receptors allow significant Ca2+ production in the
infant CNS, thereby facilitating opiate action. Development and aging differentially regulate the ex-
pression and function of PKC and its various isoforms,
as well as other protein kinases [70]. Effect of age on the expression and function of NMDA
receptor and other proteins that play important roles in
opioid tolerance Taken together,
these findings make it plausible to hypothesize that age-
dependent changes in the expression and function of the
major factors are the molecular and cellular bases of
age-dependent opioid analgesia and tolerance. Age-related differential expression and function of G
proteins and RGS proteins in opioid tolerance Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Table 4 Effect of age on the expression and functional properties of multiple opioid recep
Opioid receptor type
Animal models and experimental means
Observed age-dependent
receptors
μ
DAMGO and dihydromorphine binding assays in brains
of mice of various ages
Bmax values and selectivity f
a function of age
DAMGO binding with light and heavy membranes of
rat brain
The subcellular distribution o
DAMGO binding in the spinal cord of rats of different
ages
The Kd value for DAMGO is s
than in the young and matu
of spinal opioid receptors fo
Effect of opioid agonists on warm water–stimulated
tail-withdrawal in young (3 months) and old
(24 months) male rats
Old male rats are more sens
opioids than young ones; th
sensitivity are most apparent
higher nociceptive intensitie
EM ICC with rat caudate-putamen nucleus
The developmental expressio
asymmetric synapse formatio
δ
Quantitative autoradiography with opioid receptor
binding
in guinea pig brain
With age, opioid receptor de
and increases in the neocort
EM ICC with rat caudate-putamen nucleus
Opioid receptor expression g
adulthood and correlates wit
Agonists DSLET and DPDPE used to stimulate
high-affinity GTPase activity in young (4 weeks) and
old (16 weeks) guinea pig striatal membranes
Agonists can stimulate high-
membranes from old guinea
indicating age-dependent op
coupling
κ
Quantitative autoradiography with κ opioid receptor
binding in guinea pig brain
Expression of opioid recepto
IP injection of selective κ opioid agonist U50,488 H in
young (6–8 weeks) and old (21–22 months) mice
Qualitative sex differences in
dependent on age
Tested effect of opioid agonists on the warm water-
stimulated tail-withdrawal in young (3 months) and old
(21 months) male rats
Aged male rats are more sen
antinociceptive effects of op
ORL1
In situ hybridization and autoradiography with human,
rat, and mouse brains
Differential expression of OR
brains
IP, intraperitoneal Table 4 Effect of age on the expression and functional properties of multiple opioid receptors
Opioid receptor type
Animal models and experimental means
Observed age-dependent express
receptors
μ
DAMGO and dihydromorphine binding assays in brains
of mice of various ages
Bmax values and selectivity for -sele
a function of age
DAMGO binding with light and heavy membranes of
rat brain
The subcellular distribution of opioid
DAMGO binding in the spinal cord of rats of different
ages
The Kd value for DAMGO is significa
than in the young and mature rats,
of spinal opioid receptors for DAMG
Effect of opioid agonists on warm water–stimulated
tail-withdrawal in young (3 months) and old
(24 months) male rats
Old male rats are more sensitive to t
opioids than young ones; the age-re
sensitivity are most apparent when
higher nociceptive intensities are tes
EM ICC with rat caudate-putamen nucleus
The developmental expression of op
asymmetric synapse formation
δ
Quantitative autoradiography with opioid receptor
binding
in guinea pig brain
With age, opioid receptor density de
and increases in the neocortex
EM ICC with rat caudate-putamen nucleus
Opioid receptor expression gradually
adulthood and correlates with synap
Agonists DSLET and DPDPE used to stimulate
high-affinity GTPase activity in young (4 weeks) and
old (16 weeks) guinea pig striatal membranes
Agonists can stimulate high-affinity G
membranes from old guinea pigs bu
indicating age-dependent opioid rec
coupling
κ
Quantitative autoradiography with κ opioid receptor
binding in guinea pig brain
Expression of opioid receptors decre
IP injection of selective κ opioid agonist U50,488 H in
young (6–8 weeks) and old (21–22 months) mice
Qualitative sex differences in opioid
dependent on age
Tested effect of opioid agonists on the warm water-
stimulated tail-withdrawal in young (3 months) and old
(21 months) male rats
Aged male rats are more sensitive th
antinociceptive effects of opioid ago
ORL1
In situ hybridization and autoradiography with human,
rat, and mouse brains
Differential expression of ORL1 foun
brains
IP, intraperitoneal Table 4 Effect of age on the expression and functional properties of multiple opioid receptors
Opioid receptor type
Animal models and experimental means
Observed age-dependent express
receptors Observed age-dependent expression and activities of opioid
receptors Observed age-dependent expression and activities of opioid
receptors Bmax values and selectivity for -selective opioid ligands change as
a function of age The subcellular distribution of opioid receptors changes with age The subcellular distribution of opioid receptors changes with age The Kd value for DAMGO is significantly higher in the aged rats
than in the young and mature rats, indicating a decreased affinity
of spinal opioid receptors for DAMGO Old male rats are more sensitive to the antinociceptive effects of
opioids than young ones; the age-related differences in opioid
sensitivity are most apparent when lower-efficacy opioids and
higher nociceptive intensities are tested With age, opioid receptor density decreases in the globus pallidus
and increases in the neocortex Opioid receptor expression gradually increases from birth to
adulthood and correlates with synapse formation Agonists can stimulate high-affinity GTPase activity in striatal
membranes from old guinea pigs but not from young ones,
indicating age-dependent opioid receptor-G protein functional
coupling Qualitative sex differences in opioid analgesia in the mice are
dependent on age Aged male rats are more sensitive than young ones to the
antinociceptive effects of opioid agonists Differential expression of ORL1 found in developing and adult
brains Differential expression of ORL1 found in developing and adult
brains IP, intraperitoneal Interestingly, the alternative splicing pattern of RGS9 is
regulated by development and age. Age-related differential expression and function of G
proteins and RGS proteins in opioid tolerance In addition, DRG neurons cultured from
10-month-old rats were more sensitive to morphine treat-
ment, in that lower concentrations and shorter treatment
periods could induce apparent increases in the number of
CGRP-and SP-IR neurons, suggesting that aging plays a
role in the responsiveness of DRG neurons to repeated The expression and activities of inhibitory G proteins
that are coupled to opioid receptors are also age-
dependent [74]. Development and aging differentially
regulate G protein-mediated AC signaling; the activities of
adenylate cyclase, guanylate cyclase, cyclic AMP phospho-
diesterase, and cyclic GMP phosphodiesterase in the
frontal cortex and cerebellum show age-related changes Page 9 of 12 Page 9 of 12 Zhao et al. Authors’ contributions
ZJ
d
f h ZJ conceived of the review and drafted the manuscript. XX participated in
the design of the figures and helped to draft the manuscript. XGX and PP
participated in the design of the review and helped to revise the manuscript. HYG helped to revise the manuscript. All authors have read and approved
the final manuscript. Author details
1 1Department of Anesthesia, Peking Union Medical College Hospital, Chinese
Academy of Medical Sciences & Peking Union Medical College, Beijing
100730, China. 2Department of Anesthesiology and Perioperative Care,
University of California, San Francisco, CA 94143, USA. 3Department of
Anesthesiology and Perioperative Care, University of California, San Francisco,
CA 94143, USA. 4Department of Anesthesia, Peking Union Medical College
Hospital, Chinese Academy of Medical Sciences, No.1 Shuaifuyuan Str.,
Wangfujing Ave., Dongcheng District, Beijing 100730, China. Competing interests
N
f h
h
h None of the authors has any financial or scientific conflicts of interest with
regard to the research described in this manuscript. Conclusions Age is an important physiological factor that influences
opioid drug action. The subject of opioid tolerance and
aging has drawn great attention and interest. To under-
stand the molecular mechanisms of the age-dependency
of opioid tolerance is important for both basic scientific
research and clinical practice. A thorough investigation
of the patterns of tolerance induced by various type-se-
lective opioids, as well as the differential expression and
functions (including internalization) of multiple opioid
receptors during opioid tolerance development, in ani-
mals of different ages may lead to new insights into the
pharmaceutical application of type-selective opioid drugs
for improving opioid analgesia and delaying tolerance
occurrence in chronic pain therapy. In addition to pro-
viding novel insights into the best opioid agonists to use
in various age groups of patients to avoid rapid tolerance
development,
further
defining
the
concept
of
age-
dependent tolerance will help to educate physicians who
treat with chronic pain patients of different ages. Cur-
rently, little attention is paid to the age of the patient
when clinicians decide whether to prescribe daily opioids
to patients with nonmalignant pain conditions. Upfront
discussions of the appropriate dosing of opioids in young
patients for chronic pain conditions can greatly benefit
from
published
data
regarding
the
age-dependent
mechanisms of opioid tolerance. In addition, the appar-
ent age-dependency of opioid analgesia and tolerance
suggests that age should be included as a parameter in
studies of opioid analgesia and tolerance. Received: 30 November 2011 Accepted: 9 May 2012
Published: 21 May 2012 Received: 30 November 2011 Accepted: 9 May 2012
Published: 21 May 2012 Age-related differential expression and function of G
proteins and RGS proteins in opioid tolerance During embryonic and
early postnatal development, two RGS9 transcripts of ap-
proximately 1.4 kb and 1.8 kb are detected in whole brain. After postnatal day 10, the expression of 1.8-kb transcript
increases progressively until adulthood and becomes con-
centrated in the striatum, while 1.4-kb transcript expres-
sion gradually decreases to undetectable levels [80]. Recently, immunochemical staining with specific RGS9
antibody RGS9 proteins (predominantly RGS9-2, as the
observed distributions showed) were found to be differen-
tially expressed in the nervous system, notably in the noci-
ceptive system, of young and old rats, which may shed
light on the mechanisms of age-dependent opioid anal-
gesia and tolerance [81]. The functions and activities of
RGS proteins may also be age-dependent. It is reported
that RGS1 can significantly increase GABAergic agonist-
stimulated GTPase activity in the cerebral cortex of 90-
day-old rats but cannot do so in 12-day-old rats [82]. These findings strongly support the hypothesis that age
plays an important part in RGS expression and function. during morphine treatment. Such changes are not due to
any age-related changes in the pharmacokinetics of mor-
phine [75]. The importance of development and age in determining
the expression and function of RGS genes and proteins
has just begun to draw attention. Recent studies show that
the expression, regulation, and function of specific RGS
members are indeed affected by development and age. During embryonic development and neuronal differenti-
ation, the expression of RGS4 occurs in a highly dynamic
and transient manner in a small set of peripheral and cen-
tral neuronal precursor cells, and it is regulated by the
neural type-specific transcription factor Phox2b [76]. However, in the developing postnatal brain, RGS4 expres-
sion increases in the deep neuronal layers of the neocortex,
the CA1/2 area of the hippocampus, and the cerebellum
[77]. In the adult brain, RGS4 continues its dense expres-
sion in the neocortex, thalamus, and cerebellum, but not
in the hippocampus. The expressions of RGS2 and RGS7
are differentially regulated in the embryonic, early postna-
tal, and adult brain in a region-specific manner [77-79]. Page 10 of 12 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Zhao et al. Molecular Pain 2012, 10:38
http://www.molecularpain.com/content/10/1/38 Age-related differences in opioid pharmacokinetics One important issue regarding the age-dependence of opi-
oid tolerance and recovery is the difference in opioid drug
metabolism (pharmacokinetics) between younger and older
individuals. It has been well established that the rates of me-
tabolism, blood–brain transport, and clearance of opioids in
different age groups of animals and humans differ signifi-
cantly [89-91]. These differences substantially affect the
in vivo pharmacological effects of opioids. However, several
studies have demonstrated that the development of toler-
ance to the analgesic and hyperthermic effects of morphine
is not related to its pharmacokinetics in serum but may be
related to the modification of opioid receptor signal trans-
duction pathways in the CNS [92,93]. Abbreviations RGS proteins also play roles in regulating neuronal de-
velopment, cell proliferation, differentiation, and plasti-
city [83-86]. In addition, the expression of certain RGS
proteins is found to be modulated by some age-related
diseases, such as Parkinson's and Alzheimer's diseases
[87,88]. Such age-associated changes in RGS protein ex-
pression may in turn alter the effects of opioids. RGS: regulators of G protein signaling; NMDA: N-methyl-D-aspartic acid;
VAS: visual analog scale; DRG: dorsal root ganglion; ORL1: opioid receptor-like
1; GPCR: G protein-coupled, seven-transmembrane receptor superfamily;
AC: adenylyl cyclase; cAMP: cyclic AMP; MAPK: mitogen-activated protein
kinase; GRKs: G protein-coupled receptor kinases; MOR: μ-opioid receptor;
PAG: periaqueductal grey matter; EGF: epidermal growth factor;
IL2: interleukin 2; PKC: protein kinase C; CCK: cholecystokinin;
NPFF: neuropeptide FF; PrRP: prolactin-releasing peptide;
COX: cyclooxygenase; CGRP: calcitonin gene-related peptide;
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www.biomedcentral.com/submit 83. Yu JH, Wieser J, Adams TH: The Aspergillus FlbA RGS domain protein
antagonizes G protein signaling to block proliferation and allow
development. EMBO J 1996, 15:5184–5190. Submit your next manuscript to BioMed Central
and take full advantage of: Submit your next manuscript to BioMed Central
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Lanahan AA, Siderovski DP, Ross EM, Gilman AG, Worley PF: Dynamic
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and neuronal plasticity. J Neurosci 1998, 18:7178–7188. • Convenient online submission 85. Granderath S, Stollewerk A, Greig S, Goodman CS, O'Kane CJ, Klambt C: loco
encodes an RGS protein required for Drosophila glial differentiation. Development 1999, 126:1781–1791. 86. Wu C, Zeng Q, Blumer KJ, Muslin AJ: RGS proteins inhibit Xwnt-8 signaling
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The Great Flare of 2021 November 19 on AD Leonis
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1. Introduction has an effective temperature of Teff= 3414 ± 100 K and a
radius of R∗= 0.426 ± 0.049 R⊙(Houdebine et al. 2016). Its
rotation period of 2.23+0.36
−0.27 d (measured on the MOST light
curve; Hunt-Walker et al. 2012) and its X-ray luminosity of
log LX [erg s−1] = 28.8 (Robrade & Schmitt 2005) place the star
in the saturated regime of the rotation-activity relation, where the
X-ray emission level does not depend on rotation. For M dwarfs,
the spin-down and associated diminishing of activity last up to
∼1 Gyr (Magaudda et al. 2020; Johnstone et al. 2021). Therefore
it is difficult to place an age constraint on AD Leo. While it
appears to be a typical M dwarf star based on its rotation and
X-ray emission level, it is certainly one of the most frequently
studied stars in the northern hemisphere. Contemporaneous multiwavelength data during flares are crucial
for understanding the physics of the flare process. Prominent
characteristics expected from the standard solar flare scenario
(the so-called CSHKP model) include a time lag between diag-
nostics for the impulsive and the gradual phase (see, e.g.,
Benz 2002) and a relation between nonthermal and thermal
emission, the so-called Neupert effect (Neupert 1968), which
was occasionally observed in large stellar flares as a corre-
spondence between the profile of the radio luminosity and the
time-derivative of the X-ray luminosity (e.g., Güdel et al. 2002;
Osten et al. 2007). Its extraordinary brightness originates in its favorable sky
position. It has caused AD Leo to become the prototype for
M-type dwarf stars, which account for ∼75% of the stars in the
Galaxy (e.g., Chabrier 2001). The number of planets known to
orbit such stars has been estimated to be very high, especially
for low-mass planets, which are the most suitable candidates for
being habitable (Dressing & Charbonneau 2013; Sabotta et al. 2021). An entire space mission is dedicated to the discovery of
planets around M dwarfs, the Transiting Exoplanet Survey Satel-
lite (TESS; Ricker et al. 2014). Stellar flares are also known to be a major driver for the
evolution of planet atmospheres (e.g., Owen et al. 2020). How-
ever, most exoplanet systems are too distant for a detailed char-
acterization of the high-energy (X-ray and UV) emission of
the host star. The Great Flare of 2021 November 19 on AD Leonis
Simultaneous XMM-Newton and TESS observations
B. Stelzer1,2, M. Caramazza1, S. Raetz1, C. Argiroffi2,3, and M. Coffaro1 1 Institut für Astronomie & Astrophysik, Eberhard-Karls-Universität Tübingen, Sand 1, 72076 Tübingen, Germany
e-mail: stelzer@astro.uni-tuebingen.de g
2 INAF – Osservatorio Astronomico di Palermo, Piazza del Parlamento 1, 90134 Palermo, Italy
3 Dipartimento di Fisica e Chimica, Università degli Studi di Palermo, Piazza del Parlamento 1, 90134 Palermo, Italy Received 30 July 2022 / Accepted 13 September 2022 Received 30 July 2022 / Accepted 13 September 2022 ABSTRACT We present a detailed analysis of a superflare on the active M dwarf star AD Leonis. The event presents a rare case of a stellar flare that
was simultaneously observed in X-rays (with XMM-Newton) and in the optical (with the Transiting Exoplanet Survey Satellite, TESS). The radiated energy in the 0.2−12 keV X-ray band (1.26±0.01×1033 erg) and the bolometric value (EF,bol = 5.57±0.03×1033 erg) place
this event at the lower end of the superflare class. The exceptional photon statistics deriving from the proximity of AD Leo has enabled
measurements in the 1−8 Å GOES band for the peak flux (X1445 class) and integrated energy (EF,GOES = 4.30 ± 0.05 × 1032 erg),
which enables a direct comparison with data on flares from our Sun. From extrapolations of empirical relations for solar flares, we
estimate that a proton flux of at least 105 cm−2 s−1 sr−1 accompanied the radiative output. With a time lag of 300 s between the peak
of the TESS white-light flare and the GOES band flare peak as well as a clear Neupert effect, this event follows the standard (solar)
flare scenario very closely. Time-resolved spectroscopy during the X-ray flare reveals, in addition to the time evolution of plasma
temperature and emission measure, a temporary increase in electron density and elemental abundances, and a loop that extends into
the corona by 13% of the stellar radius (4 × 109 cm). Independent estimates of the footprint area of the flare from TESS and XMM-
Newton data suggest a high temperature of the optical flare (25 000 K), but we consider it more likely that the optical and X-ray flare
areas represent physically distinct regions in the atmosphere of AD Leo. Key words. stars: flare – stars: activity – stars: rotation – stars: coronae – stars: individual: AD Leo – X-rays: stars pen Access article, published by EDP Sciences, under the terms of the Creative Commons Attribution License (https://creativecommons.org/licenses/by/4.0),
which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
This article is published in open access under the Subscribe-to-Open model. Subscribe to A&A to support open access publication. A&A 667, L9 (2022)
https://doi.org/10.1051/0004-6361/202244642
c⃝B. Stelzer et al. 2022 A&A 667, L9 (2022)
https://doi.org/10.1051/0004-6361/202244642
c⃝B. Stelzer et al. 2022 A&A 667, L9 (2022)
https://doi.org/10.1051/0004-6361/202244642
c⃝B. Stelzer et al. 2022 Astronomy
&
Astrophysics LETTER TO THE EDITOR 1. Introduction Therefore, models for the effects of stellar irra-
diation on planets are often based on the observed properties
of individual well-known flare stars. Most notably, a proto-
typical flare on AD Leo, the so-called ‘Great Flare of 1985’
(Hawley & Pettersen 1991), has been the basis for seminal
work on the impact of stellar variability on planetary chemistry
(Segura et al. 2010; Tilley et al. 2019). Using the observed UV spectrum of the 1985 AD Leo flare,
Venot et al. (2016) simulated the effect of stellar flares onto exo-
planet spectra and found that the stellar flare radiation can induce AD Leo is an M-type main-sequence star (SpT M3.5) at
a distance of 4.966 ± 0.002 pc (Gaia Collaboration 2020). It L9, page 1 of 9 A&A 667, L9 (2022) Fig. 1. Light curves of the superflare. Top panel: XMM-Newton EPIC/pn
count rate in 0.2−12 keV (red) and in the GOES band (1.5−12.4 keV;
green). The binning adapted to the TESS light curve in fast cadence
(20 s) is shown in the bottom panel (black circles), where it is overlaid
with the time derivative of the X-ray luminosity (open diamonds). The
thick dashed vertical line marks the time of the peak of the flare flux in
the TESS light curve, and the dash-dotted lines mark the boundaries of
the intervals used for the time-resolved spectral analysis of the X-ray
data. For a better display of the main flare phase, a cut has been set to
the abscissa values such that the tail of the flare is not shown. irreversible changes in the chemical composition of hot plan-
ets; see also Chen et al. (2021). The X-ray component of the
flare was not considered in these studies as no contemporane-
ous data were taken in that energy band for the 1985 flare of
AD Leo. However, X-ray photons penetrate deeper into the plan-
etary atmosphere and have been shown to drive ionization and
chemistry in gaseous exoplanets at layers inaccessible to UV
radiation (see Locci et al. 2022, and references therein). AD Leo
itself has been reported from a radial velocity study to host a
hot-Jupiter planet (Tuomi et al. 2018), but the signal was later
attributed to stellar activity (Carleo et al. 2020). y
The studies discussed above have pointed out the impor-
tance of considering that flares are repetitive events. 1. Introduction However,
flare rates are poorly constrained in the crucial high-energy
XUV band. While the planet transit search satellites Kepler and
TESS have provided high-quality optical light curves for numer-
ous flare stars, no instruments are available that are suitable
for a systematic monitoring of X-ray and UV flares. This also
hampers the full characterization of the dynamics and energy
output of flares, which requires their simultaneous detection in
different wavebands. That this is a difficult task can be assessed
from the study of Namekata et al. (2020), for example, which
was dedicated to optical and X-ray monitoring of AD Leo. In
8.5 observation nights, only one small flare was observed jointly
in X-rays with NICER (Arzoumanian et al. 2014) and optical
instruments. Fig. 1. Light curves of the superflare. Top panel: XMM-Newton EPIC/pn Fig. 1. Light curves of the superflare. Top panel: XMM-Newton EPIC/pn
count rate in 0.2−12 keV (red) and in the GOES band (1.5−12.4 keV;
green). The binning adapted to the TESS light curve in fast cadence
(20 s) is shown in the bottom panel (black circles), where it is overlaid
with the time derivative of the X-ray luminosity (open diamonds). The
thick dashed vertical line marks the time of the peak of the flare flux in
the TESS light curve, and the dash-dotted lines mark the boundaries of
the intervals used for the time-resolved spectral analysis of the X-ray
data. For a better display of the main flare phase, a cut has been set to
the abscissa values such that the tail of the flare is not shown. This article is dedicated to the characterization of a large flare
on AD Leo that was observed during a recent pointing of the
X-ray satellite XMM-Newton. We detected the optical counter-
part of this flare in the TESS light curve. In both wavebands the
flare energy is above 1033 erg, the lower bound for the radiative
energy release that defines a socalled superflare (Schaefer et al. 2000). for the GOES band (1−8 Å). In the XMM-Newton broad band, it
displays a roughly linear (about 340 s long) rise phase, followed
by a plateau (lasting about 400 s). The subsequent decay can
be described by an exponential followed by a linear phase. 2.1.1. X-ray spectral analysis We divided the flare from the start of its rise (2021-11-
19 05:48:50.816 UTC) to the end of the exponential phase
(2021-11-19 07:08:50.816 UTC) into time intervals of about
10 000 EPIC/pn counts each. The 17 time bins obtained this way
have different duration, but roughly the same photon statistics. We extracted an EPIC/pn spectrum from each of the 17 intervals
and subtracted the out-of-time events. (
p
pp
)
In Fig. 1 we present the simultaneous X-ray and optical light
curves of the superflare together with the time derivative of the
X-ray luminosity. In the remainder of this section, we describe
how we extracted physical parameters from the X-ray and optical
data of the flare. Our goal of constraining the physical conditions in the
corona of AD Leo during the flare requires an accurate assess-
ment of the underlying quiescent, that is, nonflaring, X-ray emis-
sion. To this end, we identified all flare-free parts of the EPIC/pn
light curve and combined them into one spectrum. We used this
quiescent spectrum as background for the study of the spectral
evolution during the X-ray flare. In this way, we obtained a series
of flare-only spectra. 1. Introduction We
determined the transition between the exponential and the linear
phase by fitting a decaying exponential function to the decreas-
ing part of the light curve, starting with the first four bins after the
end of the peak phase and successively adding data points until
the minimum of χ2
red was reached. In this way we determine the
exponential decay timescale to τexp = 724 ± 8 s. The subsequent
linear phase lasts for the remaining roughly 6 ks until the end of
the observation. 2. Analysis of the superflare On November 18/19, 2021, AD Leo was observed for 86 ks with
XMM-Newton through Director’s Discretionary Time. Due to the
proximity of the bright star γ Leo (V = 1.98 mag), located about
4.8′ southeast of AD Leo, the X-ray pointing was performed
in small window mode for the prime instrument EPIC, and
the Optical Monitor had to be kept in closed position. The data
reduction for EPIC/pn has been carried out with a standard pro-
cedure that is described in Appendix A. At the end of the observation, the count rate was still
above the preflare level, suggesting that the underlying quiescent
corona changed slightly during the flare. Despite this prolonged
tail, the initial fast decay of the X-ray light curve indicates a
short-duration event, hence likely occurring in a compact coro-
nal structure. The roughly one-day-long XMM-Newton observation is fully
covered with TESS Sector 45, which covered the time span from
November 6 to December 2, 2021. The most evident feature is a
huge flare toward the end of the XMM-Newton exposure, which
has a counterpart in the TESS data. The optical flare is barely vis-
ible in the TESS PDCSAP light curve and in the averaged target
pixel file (TPF) available at the Barbara A. Mikulski Archive for
Space Telescopes (MAST) Portal because of the high noise level
induced by γ Leo. We therefore had to perform a customized data
reduction (explained in Appendix B) to reduce the noise. 2.1. X-ray data The time profile of the X-ray flare is shown in the top panel of
Fig. 1 for the broad XMM-Newton energy band (0.2−12 keV) and L9, page 2 of 9 B. Stelzer et al.: The Great Flare of 2021 November 19 on AD Leonis B. Stelzer et al.: The Great Flare of 2021 November 19 on AD Leonis Fig. 2. Time evolution throughout the superflare for parameters derived
from the XMM-Newton and TESS data. Upper panel: flaring plasma
temperature and EM. Middle panel: flaring plasma abundances and
electron density. The abundances of all elements are tied to the Fe abun-
dance using the ratios determined for the quiescent state from the RGS
spectrum that are listed in Table C.1. Lower panel: thermal energy in
the flaring plasma, compared with the total radiated energy in the X-ray
and optical bands. The spectrum of each of the 17 individual time slices of the
flare was fitted in XSPEC v 12.11.1 (Arnaud 1996) with a two-
temperature vapec model. To avoid an excessive number of free
parameters, we tied the abundances of all elements (X) to that of
iron according to the ratio AX/AFe determined for the quiescent
state. The remaining elements considered in vapec (He, Ca, Al,
and Ni), which have no significant emission lines in the spectral
range examined, were fixed to the solar values. Because low-
resolution X-ray spectra are notoriously affected by degeneracies
between abundances and emission measure (EM), we derived the
abundances of the quiescent emission of AD Leo from the high-
resolution RGS spectrum that was extracted from the same time
intervals as the quiescent EPIC/pn spectrum. We used the APED
database (Smith et al. 2001) and the updated solar abundance
table of Asplund et al. (2009). The full EM distribution analy-
sis of the RGS data will be explained elsewhere. In Table C.1 we
report the abundances obtained from the quiescent RGS spec-
trum because their ratios were used to restrict the spectral model
for the flare state, as explained above. Free fit parameters for
the 17 EPIC/pn flare spectra were thus the two temperatures and
two EM and the abundance of Fe. The best-fit results are listed in
Table C.2, where we also report the EM-weighted average tem-
perature and the total EM for each time interval. 2.1. X-ray data The resulting time evolution of the spectral parameters dur-
ing the flare (EM-weighted average temperature T, sum of the
EM of the two components EMtot, and iron abundance) is shown
in Fig. 2. By definition of the spectral model, the variation of Fe
includes the variation of the abundances of the other elements. Figure 2 shows that in the tail of the exponential decay phase, the
flare Fe abundance falls below the quiescent value. This likely
indicates a change of the underlying quiescent corona that is
manifest also in the elevated count rate after the flare (see Fig. 1). This will be investigated in a future work. Fig. 2. Time evolution throughout the superflare for parameters derived
from the XMM-Newton and TESS data. Upper panel: flaring plasma
temperature and EM. Middle panel: flaring plasma abundances and
electron density. The abundances of all elements are tied to the Fe abun-
dance using the ratios determined for the quiescent state from the RGS
spectrum that are listed in Table C.1. Lower panel: thermal energy in
the flaring plasma, compared with the total radiated energy in the X-ray
and optical bands. The top panel of Fig. 2 shows that the peak temperature is
reached before the peak of the EM, as expected if the enhanced
X-ray radiation is caused by a heating event. Second, the tem-
perature rapidly drops at nearly constant EM (the plateau at the
maximum in the light curve). At the onset of the decrease of the
EM, the temperature has already decayed to about half its peak
value. Integrating over the fluxes in the 17 time slices, we deter-
mined the flare energy. For the GOES band, we found (4.30 ±
0.05) × 1032 erg (see also Table 1), and for the XMM-Newton
X-ray band (0.2−12 keV), we found EF,XMM = (1.26 ± 0.01) ×
1033 erg. of the flare (log Tpeak = 7.57 ± 0.05 K), we can estimate the loop
semi-length. After the first rapid temperature decay at constant
EM, the log T vs. log n evolution first displays a joint decrease of
both quantities, followed by a minor reheating event. In the first
phase of the decay (red points in Fig. 3), the flaring emission is
still significantly higher than that of the background corona. 2.1. X-ray data This
means that the inferred quantities are not significantly affected
by the changes occurring in the underlying corona, which is
not accounted for in our analysis. We therefore inferred the
slope ζ by fitting only the first decay phase, and we obtained
ζ = 0.8±0.6. We note, however, that when the whole decay path
is included in the fit (blue points and blue line in Fig. 3), a slope
of 0.4 ± 0.2 is obtained, which is comprised within the errors
in the value obtained for the reduced time-span. The loop semi-
length obtained with the equations of Reale et al. (2004), where
the procedure calibrated for the EPIC/pn detector was derived,
is then L ≈4 × 109 cm. The equation that yields the loop length
was derived by Reale et al. (1997) under a series of assumptions
involving the loop geometry (see the beginning of this section)
and heating (exponentially decaying). Therefore, the value of
L and all other quantities we derive in the following from this
parameter are order-of-magnitude estimates. 2.2.2. Flare analysis We validated four flare candidates in the full light curves. They
include the X-ray superflare that was clearly detected in the
TESS light curve (see the bottom panel of Fig. 1). In Table 1 we
provide all relevant flare properties for the superflare determined
by our algorithm, namely the duration (∆t, the time between
the first and last flare point), the relative peak flare amplitude
(Apeak, the continuum flux level subtracted from the flux of the
peak), the absolute peak flare amplitude (∆L, multiplying Apeak
by the quiescent stellar luminosity), and the equivalent dura-
tion (ED, integral under the flare). Following Davenport (2016),
we calculated the flare energy, EF, by multiplying the ED with
the quiescent stellar luminosity of AD Leo in the TESS band,
which we determined from the TESS magnitude of AD Leo
(T = 7.036) to be Lqui,T = 2.4 × 1031 erg s−1. This value is
consistent within 5% with the luminosity that we obtain when
we use AD Leo’s effective temperature and radius and integrate
the blackbody function taking the TESS filter transmission into
account. Assuming for the optical flare a blackbody emission
at a constant temperature of 9000 K (as is typically observed
for solar White-Light Flares, WLFs, Kretzschmar 2011), we can
constrain the emitting area (assumed to be variable) to match the
observed amplitude of the TESS light curve, LF,T(t)/Lqui,T. We
found a maximum value for the area of 8.4 × 1019 cm2. Multi-
plying this by the flare surface flux yields the bolometric flare g
p
After estimating the loop volume together with the detailed
evolution of its T and EMtot during the flare, we have the unique
opportunity of probing the physical conditions of the flaring
plasma during the flare evolution. First, we can infer the evolu-
tion of the flaring plasma density ne, obtained as √EM/(0.83V)
(Fig. 2, middle panel). We can also compute the evolution of
the total thermal energy Eth = (3/2)(ne + nH) V kBT of the flar-
ing plasma (Fig. 2, lower panel). In addition, the knowledge of
plasma density and temperature allows us to probe the pres-
sure experienced by the flaring plasma, that is, Pgas = (ne +
nH)kBT. 2.1.2. Physical conditions of the X-ray flare Time evolution of the mean temperature and EM associated with
the flare. The red line represents a linear least-squares fit to this first
phase of the flare decay (when the flaring emission is still much higher
than the slightly variable background corona). The blue line is the fit to
the whole exponential decay. 2.1.2. Physical conditions of the X-ray flare The time-resolved spectroscopy during the flare decay can be
used to determine the semi-length, L, of the flaring loop, making
use of the prescription of Reale et al. (1997), who have per-
formed hydrodynamic simulations to predict the X-ray spectral
signature of decaying flare loops. Assuming that the flaring
structure has a constant volume (V) with a uniform cross section
(S ) and that the loop has a half-torus shape (hence its volume
is V = 2 · S · L), we can infer its semi-length by inspect-
ing the evolution of plasma temperature and density during the
decay phase. The hypothesis of constant volume implies that
the plasma density, n, is proportional to
√
EM. The slope, ζ,
of the trajectory traced by the flaring plasma in the log T ver-
sus log n space, shown in Fig. 3, then allows us to infer the
amount of heat released into the loop during the decay. Com-
bining this with the observed exponential decay time inferred
from the light curve (724 ± 8 s) and the temperature at the peak If the plasma density is known, combining it with the loop
length the volume and cross-section of the flaring loop can L9, page 3 of 9 L9, page 3 of 9 A&A 667, L9 (2022) A&A 667
Fig. 3. Time evolution of the mean temperature and EM associated with
the flare. The red line represents a linear least-squares fit to this first
phase of the flare decay (when the flaring emission is still much higher
than the slightly variable background corona). The blue line is the fit to
the whole exponential decay. Table 1. Parameters of the superflare extracted from the optical and X-
ray light curves. Parameter [unit]
TESS
XMM-Newton (a)
tpeak [BJD-2459537]
0.7444
0.7479
∆t [min]
6.67 ± 0.67
≈82.0
Apeak
0.259 ± 0.006
–
log ∆L [erg s−1]
30.79 ± 0.03
29.66 ± 0.02
ED [s]
44.9 ± 0.3
–
EF [erg]
(1.06 ± 0.05) × 1033
(4.30 ± 0.05) × 1032
Notes. (a)Values are for the GOES band from the start of the rise phase
to the end of the exponential phase. Notes. (a)Values are for the GOES band from the start of the rise phase
to the end of the exponential phase. Notes. (a)Values are for the GOES band from the start of the rise phase
to the end of the exponential phase. Fig. 3. 2.2.1. Analysis of the rotation signal A detailed description and a graphical illustration of our period
search on AD Leo can be found in Appendix D. We found a rota-
tion period of 2.194 ± 0.004, which is consistent with the period
found by Hunt-Walker et al. (2012). The half-amplitude of the
rotation signal is 0.00217 ± 0.00007. We estimated the spot cov-
erage of AD Leo using the relations given by Notsu et al. (2019). With their Eq. (4), which they deduced from Berdyugina (2005),
the spot temperature, Tspot, was computed from AD Leo’s effec-
tive temperature. With the computed value of Tspot = 2955 K, we
found with Eq. (3) of Notsu et al. (2019) a spot filling factor of
Aspot/Astar ≈1.0%, where Aspot is the spotted area and Astar is the
total surface area of the star. 2.2. Optical data We searched for the rotational signal and for flares in the
TESS light curve. Hereby, we followed our previous work,
Stelzer et al. (2016) and Raetz et al. (2020), on data from the K2
mission, and Magaudda et al. (2022, period search adapted for
TESS data) and Stelzer et al. (2022, flare search on TESS data). be determined from the assumptions on the geometry and the
definition of the EM. The electron density can be estimated
from the high-resolution RGS spectrum, making use of the
ratio of forbidden and intercombination lines of He-like triplets
(Gabriel & Jordan 1969). To this end, we extracted an RGS
spectrum considering the entire exponential flare duration (i.e.,
the time span that encompasses all the 17 intervals used for
the EPIC/pn time-resolved analysis). Details on the RGS anal-
ysis will be provided in a forthcoming paper. For the purpose
of the current work, we subtracted the RGS spectrum of the
quiescent phase from the RGS flare spectrum to inspect the
strongest triplets, those of Ovii and Neix. The significant emis-
sion observed in the triplets for this net flare-phase RGS spec-
trum confirms that even if their formation temperatures are quite
low (∼2 and ∼4 MK respectively), the flaring plasma signifi-
cantly contributes to the emission in these lines. The Ovii and
Neix triplets indicate electron densities ne of 5+3
−2 × 1010 and
8+10
−7 × 1011 cm−3. To evaluate the geometric loop parameters, we
considered the ne value of 8 × 1011 cm−3 because the higher for-
mation temperature of Neix suggests that it probes the flaring
plasma density better than the cooler Ovii. By averaging the
EMtot values of the 17 time intervals we find the total EM of
the entire flare, (1.83 ± 0.03) × 1052 cm−3. Combining the elec-
tron density with this value and with the loop semi-length, and
assuming nH/ne = 0.83 (proper for typical coronal temperatures
and chemical compositions), we derive a volume of 3×1028 cm3
and a cross section S ≈5 × 1018 cm2 for the flaring loop. 3. Discussion The energy of the November 2021 flare on AD Leo exceeds
the canonical threshold for a superflare, 1033 erg, in both the
TESS and the XMM-Newton band. It was stronger by a factor
30 than the largest solar flare observed to date, the Sepember
1859 Carrington event, which was of GOES class X45 (Hudson
2021), while for the AD Leo superflare, we measure a peak flux
in the 1−8 Å band of (1.38 ± 0.03) × 10−10 erg cm−2 s−1, cor-
responding to an X1445 event on the GOES flux scale. It is a
small event when compared with the largest superflares reported
from main-sequence stars in the optical band, however (e.g.,
Schaefer et al. 2000; Maehara et al. 2012). In X-rays, on the
other hand, observations of giant flares have mostly been lim-
ited to pre-main-sequence objects or interacting binaries (e.g.,
Preibisch et al. 1995; Grosso et al. 1997; Pandey & Singh 2012;
Getman & Feigelson 2021). Fig. 4. Empirical relation of WLF energy and GOES flux for solar
flares and power-law fits performed by Namekata et al. (2017) on them
using a linear regression method and a linear regression bisector method
(solid and dashed lines). The red line is our fit including the AD Leo
superflare, which yields in the double logarithmic form (log EWLF =
a + b · log FGOES), a slope b = 1.150 ± 0.005, and an axis-offset of
a = 34.711 ± 0.007, where the uncertainties are the standard deviations
of the fit. g
The time profile of the event on AD Leo in November 2021
is similar to the profile of a standard solar flare, where optical
emission, associated with the energy deposited by nonthermal
high-energy particles in the lower layers of the stellar atmosphere,
precedestheX-rayemissionpeakbecauseofthesubsequentchro-
mospheric evaporation (see, e.g., Castellanos Durán & Kleint
2020). The brightness peak in the optical is observed about 300 s
before the X-ray maximum in the GOES band. The optical light
curve is strongly peaked, while the X-ray maximum is a plateau
that transitions into an exponential decay, followed by a slow lin-
ear decrease. The chromospheric evaporation scenario (see, e.g.,
Benz 2017) is further corroborated by the increase in density and
elemental abundances that is observed during the flare, which
also provides new constraints on the metal depletion in coro-
nal plasma. 3. Discussion The higher abundance of the flaring (Fe/Fe⊙∼0.9)
compared to the quiescent plasma (Fe/Fe⊙∼0.3) clearly proves
that the quiescent corona is metal depleted with respect to the
chromospheric material, which shows its higher metallicity in
the X-rays during the initial phases of the flare. For the first time,
we constrained the timescales of coronal metal depletion through
the rapid decrease (in a few 100 s) in the elemental abundances
after the chromospheric evaporation event. inferred from the optical flare might embrace both the horizon-
tal extent and vertical structuring of the flaring loop footpoints. The TESS light curve displays a fairly regular sine-like rota-
tional modulation (Fig. D.1). This means that at the epoch of
the observation, AD Leo’s photosphere may have been domi-
nated by a single spot group. The flare occurred at phase 0.78 of
the rotational signal, with phase 0.0 corresponding to the min-
imum flux. This means the flare took place when the spotted
part of the photosphere was located near the limb. If the flare
was indeed spatially connected to the spot, as is typically seen in
solar flares (e.g., Toriumi & Wang 2019), we had a lateral view
onto the loop structure. We speculate that in such a geometry,
the high observed flare area inferred from the TESS data can be
accounted for if the optical flare region had a significant vertical
extent. Figure 4 shows that the AD Leo superflare is consistent with
the extrapolation of the power-law relation between white-light
energy and GOES peak flux derived for the solar flare sample of
Namekata et al. (2017). The inclusion of AD Leo increases the
range of values by several orders of magnitude, and allows, in
contrary to Namekata et al.’s study, which was based solely on
solar flares, to constrain the power-law relation. p
p
In absence of data in the radio band, the WLF seen with
TESS can be taken as a proxy for the nonthermal component
because in the standard flare scenario (e.g., Benz 2017), it is
produced by the bombardment of lower atmospheric layers with
(nonthermal) electrons from the magnetic reconnection site. We
have calculated the evolution of the time derivative of LX, shown
as open diamonds in the bottom panel of Fig. 1, from the fluxes
measured in the 17 time bins representing the exponential flare
phase. 2.2.2. Flare analysis Because this plasma is magnetically confined, the high-
est value of Pgas provides a lower limit for the magnetic pressure,
Pmag,min = B2/(8π), which in turn implies a minimum magnetic
field strength (B) of 500 G and a minimum magnetic energy for
the flaring loop of Emag,min = Pmag,min · V = 4 × 1032 erg (also
plotted in the lower panel of Fig. 2). L9, page 4 of 9 B. Stelzer et al.: The Great Flare of 2021 November 19 on AD Leonis Fig. 4. Empirical relation of WLF energy and GOES flux for solar
flares and power-law fits performed by Namekata et al. (2017) on them
using a linear regression method and a linear regression bisector method
(solid and dashed lines). The red line is our fit including the AD Leo
superflare, which yields in the double logarithmic form (log EWLF =
a + b · log FGOES), a slope b = 1.150 ± 0.005, and an axis-offset of
a = 34.711 ± 0.007, where the uncertainties are the standard deviations
of the fit. luminosity (LF,bol = 3.1 × 1031 erg s−1), and integration over the
flare light curve gives the bolometric energy radiated by the flare
(EF,bol = (5.57 ± 0.03) × 1033 erg). 3. Discussion The behavior follows that of the WLF, demonstrating the
presence of the Neupert effect. In the empirical relation of flare duration (tF) and energy
(EF), the AD Leo WLF is placed among the smallest Kepler
superflares on solar-type (i.e., G-type main-sequence) stars
observed with similar cadence, that is, Kepler one-minute light
curves (Namekata et al. 2017). The theoretical scaling laws pre-
sented by these authors predict the magnetic field strength and
coronal loop length for a given tF and EF. For AD Leo, B ∼
100−200 G is found, which is somewhat lower than the value we
measured from the X-ray data (Bmin ≈500 G). This is consistent
with the finding by Namekata et al. (2017) who showed by com-
parison to resolved solar flares that the scaling laws underpre-
dict the field strength. The loop length obtained for the AD Leo
superflare from the scaling laws is ≈1010 cm, which is about a
factor two larger than the value derived from the X-ray analysis. Th
i
i l fl
h
h
h
l
( The TESS and XMM-Newton data have provided indepen-
dent estimates for the surface coverage of the flare footprint. The time-averaged area of the optical flare, determined from the
changing amplitude of the TESS light curve, is larger than the
X-ray based area by about a factor of seven. A temperature of
25 000 K for the optical flare would reconcile this discrepancy. However, it is likely that the two measurements probe different
emitting regions. The X-ray emission, produced by optically
thin plasma, provides the cross-section of the coronal part of
the loop, while the optical emission originates from the opti-
cally thick lower layers of the flaring structure. Hence, the area The energetic particle flux that reaches the planet (see, e.g.,
Tilley et al. 2019) is of the utmost importance for evaluating the
impact of stellar flares on planets. For the Sun-Earth system, cal-
ibrations between the flux of protons with energy >10 MeV (Ip) L9, page 5 of 9 L9, page 5 of 9 L9, page 5 of 9 A&A 667, L9 (2022) and the X-ray flux in the GOES band at the flare peak were
recently updated by Herbst et al. (2019). We estimate a proton
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is supported by the Bundesministerium für Wirtschaft und Energie through the
Deutsches Zentrum für Luft- und Raumfahrt e.V. (DLR) under grant number
FKZ 50 OR 2105. This research made use of observations obtained with XMM-
Newton, an ESA science mission with instruments and contributions directly
funded by ESA Member States and NASA. This paper includes data collected
by the TESS mission, which are publicly available from the Mikulski Archive
for Space Telescopes (MAST). Funding for the TESS mission is provided by
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Conf. Ser., 9143, 914320 4. Conclusions 2017, ApJ, 851, 91 Namekata, K., Maehara, H., Sasaki, R., et al. 2020, PASJ, 72, 68 Appendix A: XMM-Newton EPIC/pn data extraction from the light-curve extraction. As a second step, we fit a Gaus-
sian to the flux in that column and removed the flux of γ Leo
from the second most contaminated pixel, the pixel above the
most contaminated pixel. With this procedure, we obtained a
light curve with a lower noise level, which decreased the stan-
dard deviation of the normalized light curve from 0.053 to 0.033. We have analysed the XMM-Newton observation using the Sci-
ence Analysis Software (SAS) version 19.1.0 developed for the
satellite. By examining the high-energy events (≥10 keV) across
the full EPIC/pn detector, which are representative of the over-
all background, we verified that the observation was not seri-
ously affected by solar particle background. We filtered the data
for pixel patterns (0 ≤pattern ≤12), quality flag (flag =
0), and events channels (200 ≤PI ≤15000). Source detec-
tion was performed in three energy bands: 0.2 −0.5 keV (S),
0.5 −1.0 keV (M), and 1.0 −2.0 keV (H), after the out-of-time
events were removed. For the spectral and temporal analysis, we
allowed only pixel patterns with flag ≤4. We defined a circu-
lar photon extraction region with a radius of 30′′ centered on the
EPIC/pn source position. The background was extracted from an
adjacent circular region with a radius of 45′′. The background
subtraction of the light curve was carried out with the SAS task
epiclccorr, which also corrects for instrumental effects. We
then corrected the photon arrival times for barycenter motion
using the SAS tool barycen. TESS assigns a quality flag to all measurements. We
removed all flagged data points except for those called impulsive
outlier and cosmic ray in collateral data (bits 10 and 11) while
extracting the light curve. The final light curve has 92839 data
points in two segments that are separated by the usual data down-
link gap (the so-called low-altitude housekeeping operations,
LAHO). We applied a detrending to our cleaned light curve by
removing a third-order polynomial from the two light-curve seg-
ments individually. Then the light curve was normalized. Fig. B.1. Single frame of the TESS target pixel file with the pipeline
mask shown as a dashed red line. The so-called bleed trail of γ Leo
contaminates the flux of AD Leo. The graph on the right shows the pro-
jection of the pixel column with the strongest contamination (shown as
the green line in the TPF). Appendix A: XMM-Newton EPIC/pn data extraction We applied our own light-curve extraction
using a customized mask (solid yellow line) and corrected the flux level
of the second strongest contaminated pixel (see text). References Tuomi, M., Jones, H. R. A., Barnes, J. R., et al. 2018, AJ, 155, Venot, O., Rocchetto, M., Carl, S., Roshni Hashim, A., & Decin, L. 2016, ApJ,
830, 77
Z
h
i
M & K
M 2009 A&A 496 577 Arnaud, K. A. 1996, in Astronomical Data Analysis Software and Systems V,
eds. G. H. Jacoby, & J. Barnes, ASP Conf. Ser., 101, 17 Zechmeister, M., & Kürster, M. 2009, A&A, 496, 577 L9, page 6 of 9 B. Stelzer et al.: The Great Flare of 2021 November 19 on AD Leonis Appendix B: TESS data reduction Here we show how we obtained a light curve with a lower noise
level than the PDCSAP light curve by removing the contribution
of γ Leo from the flux in the pixels that we identified as the most
contaminated pixels. We analyzed the fast cadence TESS light
curve to obtain the best possible time resolution. An evaluation of the individual frames of the TPF showed
that the contamination is strongest close to the so-called bleed
trail of the saturated star γ Leo, which extends to the pixel col-
umn of the TESS pipeline mask for AD Leo. We examined the
contamination of the TPF by γ Leo by monitoring the flux level
of all pixels in that column for each frame of the TPF. Based on
this inspection, we removed the flux of the most contaminated
pixel (the lower right pixel of the pipeline mask; see Fig. B.1) Fig. B.1. Single frame of the TESS target pixel file with the pipeline
mask shown as a dashed red line. The so-called bleed trail of γ Leo
contaminates the flux of AD Leo. The graph on the right shows the pro-
jection of the pixel column with the strongest contamination (shown as
the green line in the TPF). We applied our own light-curve extraction
using a customized mask (solid yellow line) and corrected the flux level
of the second strongest contaminated pixel (see text). L9, page 7 of 9 A&A 667, L9 (2022) the RGS spectrum (Table C.1) and the evolution of the spectral
parameters throughout the exponential flare phase obtained from
the EPIC/pn spectra in time slices of roughly equal photon statis-
tics (Table C.2) as explained in Sect. 2.1.1. 1 Fortran Version v2.3.01, released 2011-09-13 by Mathias Zechmeister Appendix C: Parameters from the spectral analysis
of XMM-Newton data Stelzer et al.: The Great Flare of 2021 November 19 on AD Leonis B. Stelzer et al.: The Great Flare of 2021 November 19 on AD Leonis Appendix C: Parameters from the spectral analysis
of XMM-Newton data We provide the elemental abundances for the quiescent corona
of AD Leo during the XMM-Newton observation derived from Table C.1. Coronal abundances derived from the quiescent RGS spectrum with respect to the solar photospheric abundances from Asplund et al. (2009) and first ionization potential. Table C.1. Coronal abundances derived from the quiescent RGS spectrum with respect to the solar photospheric abundances from Asplund et al. (2009) and first ionization potential. Element
AX/AX,⊙
FIP
C
1.03+0.73
−0.13
11.3
N
1.36+0.38
−0.14
14.5
O
0.99+0.27
−0.04
13.6
Ne
1.76+0.60
−0.09
21.6
Mg
0.21+0.13
−0.13
7.6
Si
0.66+0.30
−0.63
8.2
S
0.48+0.33
−0.41
10.4
Ar
0.73+1.12
−0.66
15.8
Fe
0.33+0.11
−0.02
7.9 Table C.2. Best-fit parameters of the time-resolved X-ray spectral analysis of the EPIC/pn data throughout the exponential phase of the flare. Table C.2. Best-fit parameters of the time-resolved X-ray spectral analysis of the EPIC/pn data throughout the expone Table C.2. Best-fit parameters of the time-resolved X-ray spectral analysis of the EPIC/pn data throughout the exponential phase of the flare. int. ta
mid
log T b
1 (K)
log T b
2 (K)
log EMb
1 (cm−3)
log EMb
2 (cm−3)
Fe/Fec
⊙
log T d
mean (K)
log EMe
tot (cm−3)
1
0.745
7.00±0.02
7.58±0.02
51.35±0.08
52.24±0.02
0.84±0.13
7.54±0.05
52.30±0.02
2
0.747
7.02±0.01
7.60±0.02
51.62±0.07
52.59±0.02
0.93±0.12
7.57±0.05
52.63±0.02
3
0.748
7.00±0.02
7.53±0.02
51.69±0.07
52.60±0.02
0.90±0.11
7.50±0.05
52.65±0.02
4
0.749
6.98±0.02
7.47±0.02
51.68±0.06
52.59±0.02
0.84±0.09
7.43±0.05
52.64±0.02
5
0.750
7.00±0.01
7.39±0.02
51.99±0.06
52.56±0.02
0.58±0.06
7.33±0.05
52.66±0.02
6
0.752
6.96±0.01
7.38±0.02
52.02±0.05
52.53±0.02
0.49±0.05
7.31±0.05
52.64±0.02
7
0.753
6.97±0.01
7.36±0.02
52.07±0.05
52.43±0.02
0.40±0.04
7.28±0.06
52.59±0.02
8
0.755
6.94±0.01
7.31±0.02
51.93±0.05
52.33±0.02
0.46±0.05
7.23±0.06
52.47±0.02
9
0.757
6.95±0.01
7.33±0.02
51.90±0.05
52.27±0.02
0.37±0.04
7.24±0.06
52.42±0.02
10
0.760
6.94±0.01
7.31±0.02
51.94±0.05
52.19±0.02
0.27±0.03
7.21±0.06
52.38±0.02
11
0.762
6.94±0.02
7.33±0.02
51.75±0.05
52.12±0.02
0.33±0.04
7.25±0.06
52.27±0.02
12
0.766
6.99±0.01
7.38±0.03
51.88±0.06
51.91±0.03
0.27±0.04
7.24±0.06
52.20±0.03
13
0.770
6.98±0.01
7.34±0.04
51.81±0.06
51.77±0.04
0.26±0.03
7.19±0.07
52.10±0.04
14
0.775
6.99±0.01
7.40±0.05
51.82±0.06
51.70±0.05
0.18±0.03
7.21±0.08
52.07±0.04
15
0.780
6.97±0.02
7.32±0.03
51.73±0.06
51.74±0.04
0.15±0.02
7.18±0.07
52.03±0.04
16
0.786
6.91±0.03
7.22±0.02
51.59±0.06
51.80±0.03
0.16±0.02
7.13±0.07
52.01±0.03
17
0.794
6.94±0.01
7.26±0.02
51.63±0.04
51.69±0.03
0.18±0.02
7.14±0.06
51.96±0.03
Notes. a Time since BJD = 2459537. b Results of the 2T fit. c Fe abundance. d EM-weighted average temperature. e Total EM. meters of the time-resolved X-ray spectral analysis of the EPIC/pn data throughout the exponential phase of the flare. L9, page 8 of 9 B. Appendix D: Period search on the TESS light curve methods. The result of our period search is shown in Fig. D.1. Through visual inspection, we selected the best-fitting period. For the TESS Sector 45 light curve of AD Leo analyzed in this
work, the GLS and the sine fitting resulted in periods that are
consistent with each other and with values from the literature
(see Sect. 2.2.1), while the ACF did not show an unambiguous
periodic pattern and hence failed to identify the rotation period
(see Fig. D.1). We thus adopted the average of the GLS and sine-
fitting period, Prot = 2.194±0.004. The error was calculated with
the formulas given by Gilliland & Fisher (1985). Following our previous work that we cited in Sect. 2.2, we
used three methods to search for the rotation period of AD Leo:
We computed the generalized Lomb-Scargle periodogram (GLS;
Zechmeister & Kürster 2009), we determined the autocorrela-
tion function (ACF), and finally, we fit the light curve with a
sine function. The GLS implementation we used1 can only pro-
cess up to 10000 data points. Therefore, we had to bin the light
curve by a factor of ten to a resolution of 200 s. The light curve
was then phase-folded with the period found with each of the Fig. D.1. Results of the three period-search methods (GLS, ACF, and sine-fitting) for AD Leo observed in TESS Sector 45. The top panels show
the light curve phase-folded with the periods obtained with the different methods. The bottom panel shows the GLS periodogram, the ACF, and
the original detrended light curve with the sine fit. Fig. D.1. Results of the three period-search methods (GLS, ACF, and sine-fitting) for AD Leo observed in TESS Sector 45. The top panels show
the light curve phase-folded with the periods obtained with the different methods. The bottom panel shows the GLS periodogram, the ACF, and
the original detrended light curve with the sine fit. L9, page 9 of 9
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Neutrophils as a Therapeutic Target in Cancer
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Frontiers in immunology
| 2,019
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cc-by
| 4,885
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Neutrophils as a Therapeutic Target
in Cancer Zvi Granot* Department of Developmental Biology and Cancer Research, The Institute for Medical Research Israel-Canada, The Hebrew
University-Hadassah Medical School, Jerusalem, Israel Neutrophils are the most abundant population of white blood cells in the human
circulation. They are terminally differentiated myeloid cells which were traditionally
associated with fighting infections and inflammatory processes. While this perception
of neutrophils is still widely prevalent, in the past decade it has become clear that
neutrophils also play a critical role in tumor growth and progression. The unique tumor
microenvironment, consisting of the non-malignant stroma that surrounds tumor cells, is
shaped by numerous cues emanating from both tumor cells and stromal cells which
support the growing tumor. Various immune cells, including neutrophils, make up a
significant proportion of the tumor stroma. Immune cells exist for the protection of
the host against various threats including the detection and elimination of cancerous
cells. However, in the context of cancer immune cells are often coerced into a tumor
supportive phenotype. This is also the case for neutrophils, which are often described
to possess tumor promoting properties and to associate with poorer prognosis. The
fact that neutrophils may contribute to tumor growth and progression suggests they
may be targets for anti-cancer therapies. This review discusses the various functions
neutrophils may play in cancer and the possibility of targeting these functions as a novel
mode of immunotherapy. DISTINCT NEUTROPHIL SUBSETS OR A FUNCTIONAL
SPECTRUM? *Correspondence:
Zvi Granot
zvikag@ekmd.huji.ac.il Neutrophils are phagocytes which play a key role in protection of the host against microbial
infections as well as taking a critical part in inflammatory processes. In the context of cancer,
neutrophils were also shown to play other, non-conventional roles, and may either promote (1, 2) or
limit tumor growth (3–5). The conflicting reports regarding neutrophil function in cancer suggest
that like other cells of the immune system, neutrophils may be divided into distinct subsets. However, until recently neutrophils were viewed as a homogeneous population of terminally
differentiated cells. Still, in a recent study we were able to show that neutrophils in the context of
cancer may be divided into 3 subsets—Normal Density Neutrophils (NDN), mature and immature
Low Density Neutrophils (LDN) (6). We were able to associate cytotoxic anti-tumor properties with
NDN and immunosuppressive pro-tumor properties with LDN (6). In fact, neutrophils subsets
distinguishable by their density were found in a wide range of clinical scenarios and are not only
associated with cancer (7). Unlike cells of the adaptive immune system, which can be easily defined
based on surface expression of unique markers, such surface markers are not well-characterized
for neutrophils. In fact, several studies suggested possible markers but these still need to be better Specialty section:
This article was submitted to
Cancer Immunity and Immunotherapy,
a section of the journal
Frontiers in Immunology Specialty section:
This article was submitted to
Cancer Immunity and Immunotherapy,
a section of the journal
Frontiers in Immunology Received: 30 April 2019
Accepted: 08 July 2019
Published: 19 July 2019 Keywords: neutrophils, cancer, metastasis, tumor microenvironment, therapy Edited by:
Jeffrey W. Pollard,
University of Edinburgh,
United Kingdom
Reviewed by:
Kawaljit Kaur,
University of California, Los Angeles,
United States
Sanjivan Gautam,
National Institutes of Health (NIH),
United States
*Correspondence:
Zvi Granot Edited by:
Jeffrey W. Pollard,
University of Edinburgh,
United Kingdom Reviewed by:
Kawaljit Kaur,
University of California, Los Angeles,
United States
Sanjivan Gautam,
National Institutes of Health (NIH),
United States Reviewed by:
Kawaljit Kaur,
University of California, Los Angeles,
United States
Sanjivan Gautam,
National Institutes of Health (NIH),
United States Reviewed by:
Kawaljit Kaur,
University of California, Los Angeles,
United States
Sanjivan Gautam,
National Institutes of Health (NIH),
United States Keywords: neutrophils, cancer, metastasis, tumor microenvironment, therapy MINI REVIEW MINI REVIEW
published: 19 July 2019
doi: 10.3389/fimmu.2019.01710 Tumor Cell Dissemination Metastasis is the final and lethal stage in cancer progression. For
tumor cells to metastasize they need to acquire unique features
that support the transition from the primary site, their survival in
the circulation and the successful metastatic seeding in a distant
organ. In this context neutrophils were shown to play various
roles to promote the intravasation of tumor cells (MMPs and
neutrophil elastase, Figure 1), their survival in the circulation
(21), their adherence to the endothelium at the future site of
metastasis (priming of the premetastatic niche and NETs) and
the process of extravasation (Figure 1). Recently neutrophils
were also shown to play a critical role in the awakening of
dormant tumor cells and the initiation of metastases growth
(22). Targeting of neutrophil function in each of these stages
of metastatic dissemination may have significant implications
on metastatic progression. This is elegantly demonstrated in a
recent study by Albrengues et al. (22) who show that NETs
are required for promoting the exit from dormancy and the
establishment of marcometastases. This finding is noteworthy
since it proposes a clinical scenario where intervention is still
possible, i.e., administration of DNAse to eliminate NETs to
maintain tumor cells dormant and prolong distant metastasis
free survival. Neutrophils are notorious for their tumor promoting properties
(1, 2, 10). First and foremost, high neutrophil numbers, otherwise
manifested as the Neutrophil to Lymphocyte Ratio (NLR),
represent a poor prognostic factor. This was found to be
applicable to breast, colon, liver, and many other types of cancer
(10). The reasons for the increase in neutrophil numbers are
not always fully understood. Some tumors express high levels of
colony stimulating factors (i.e., G-CSF and GM-CSF) which may
account for the increase in mobilized neutrophils. Other tumors
are in a state of smoldering inflammation which may also drive
the increase in neutrophil numbers. NLR relates to the numbers of circulating neutrophils,
however, the extent of neutrophil infiltration of tumors also
appears to have an adverse prognostic value (11). High neutrophil
infiltration is associated with poor prognosis, advanced stage
cancer and lower recurrence free survival (12–16). Some evidence
suggest that high NLR may correlate with the number of
tumor associated neutrophils (17). However, this needs to be
further evaluated. These observations raise a question regarding the possible
targeting of neutrophils as a means for better patient outcome. Citation: Granot Z (2019) Neutrophils as a
Therapeutic Target in Cancer. Front. Immunol. 10:1710. doi: 10.3389/fimmu.2019.01710 July 2019 | Volume 10 | Article 1710 1 Frontiers in Immunology | www.frontiersin.org Targeting Neutrophils in Cancer Granot Granot validated (8, 9). Still, neutrophil subsets may be distinguished
according to their different physical properties (6) and there
is increasing evidence for the existence of various neutrophil
subsets which may be defined by their functionality. The lack
of validated surface markers, together with their short half-
life, makes neutrophils very difficult to study. Further, although
specific functionally distinct subsets may be identified, it is still
not clear whether these are truly specific subsets or are they
simply found on extreme ends of a functional spectrum. That
said, the accumulating data regarding neutrophil function in
cancer highlights various functional aspects that may be targeted
or modified to benefit patients. Following is an account of
neutrophil functions and characteristics in the context of cancer
and a discussion of how and whether targeting these aspects is
feasible or beneficial for cancer therapy. expression of angiogenic factors such as VEGF (18). As such,
targeting angiogenesis should serve to limit tumor growth. This indeed turned out to be the case to a limited extent
and in certain types of cancer (19). When looking for the
source of angiogenic factors in the tumor microenvironment,
neutrophils, together with other stromal cells, were shown
to provide proangiogenic factors and actively promote tumor
angiogenesis. Specifically, neutrophils were shown to provide
MMP9, VEGF and HGF (Figure 1). Furthermore, neutrophils
were shown to provide factors that circumvent common anti-
angiogenic therapies targeting VEGF (20). Taken together, these
observations highlight a key role for neutrophils in propagating
tumor angiogenesis and suggest that targeting of neutrophil
mediated angiogenesis, or targeting of the angiogenic neutrophil
subpopulation (if such subpopulation indeed exists), may be used
as an anti-angiogenic therapeutic approach. Tumor Cell Dissemination Neutrophils are critical for anti-microbial protection, the
option of eliminating neutrophils as a therapeutic strategy
cannot be seriously considered since neutropenia is a life
threatening
condition. A
possible
alternative
would
be
the depletion of specific neutrophil subpopulations while
sparing
those
subpopulations
essential
for
anti-microbial
protection (see above). Unfortunately, although the existence
of distinct neutrophil subsets in cancer has been convincingly
demonstrated, our understanding of neutrophil subsets and
the features making them distinct is still lacking. Specifically,
as long as there are no clear markers to distinguish specific
subsets, eliminating specific subsets for therapeutic purposes
is impossible. Immune Suppression pp
The
term
Myeloid
Derived
Suppressor
Cells
(MDSC)
encompasses a wide range of myeloid cells which possess
immunosuppressive properties. In the context of cancer, these
cells have the capacity to suppress cytotoxic T cells and promote
immune evasion. The broadness of the MDSC umbrella also
covers neutrophils but since it is a relatively well-defined
population the term suppressive neutrophils is more accurate. We have previously shown that immunosuppressive neutrophils
are propagated to promote the resolution of an inflammatory
process. It seems that a similar rationale is employed in the
context of cancer—the propagation of immunosuppressive
neutrophils
serves
the
resolution
of
tumor
associated
inflammation. However, since the tumor is in a continuous state
of inflammation that does not resolve, suppressive neutrophils
are mobilized excessively to the point where they become the
dominant subpopulation of neutrophils. Under these conditions Angiogenesis The angiogenic switch that characterizes a transition toward
a more aggressive tumor phenotype is regulated by the July 2019 | Volume 10 | Article 1710 Frontiers in Immunology | www.frontiersin.org 2 Granot Targeting Neutrophils in Cancer Granot FIGURE 1 | Neutrophil functions in cancer and potential therapeutic targets. Neutrophils play various and conflicting roles in cancer. Tumor promoting functions (red
arrows) and anti tumor functions (blue arrows) are executed by specific molecular mediators. Tumor promoting propeties: Neutrophils promote tumor cell
dissemination by degradation of the ECM at the primary and premetastatic sites and promote tumor cell seeding by deploying NETs. Promotion of angiogenesis is
mediated by secretion of VEGF and HGF and the release of angiogenic factors from the ECM by neutrophil derived MMP9. Neutrophil mediate immune supprssion via
the secretion of ROS and Arginase 1 to limit T cell dependent anti-tumor immunty. Anti-tumor properties: Neutrophils limit tumor growth and metastatic progression by
eliminating tumor cells either directly or via antibody dependent mechanisms. Neutrophils can stimulate anti-tumor adaptive immune by acting as antigen presenting
cells, secretion of TNFα, secretion of Elastase and secretion of Cathepsin G (Cath G). FIGURE 1 | Neutrophil functions in cancer and potential therapeutic targets. Neutrophils play various and conflicting roles in cancer. Tumor promoting functions (red
arrows) and anti tumor functions (blue arrows) are executed by specific molecular mediators. Tumor promoting propeties: Neutrophils promote tumor cell
dissemination by degradation of the ECM at the primary and premetastatic sites and promote tumor cell seeding by deploying NETs. Promotion of angiogenesis is
mediated by secretion of VEGF and HGF and the release of angiogenic factors from the ECM by neutrophil derived MMP9. Neutrophil mediate immune supprssion via
the secretion of ROS and Arginase 1 to limit T cell dependent anti-tumor immunty. Anti-tumor properties: Neutrophils limit tumor growth and metastatic progression by
eliminating tumor cells either directly or via antibody dependent mechanisms. Neutrophils can stimulate anti-tumor adaptive immune by acting as antigen presenting
cells, secretion of TNFα, secretion of Elastase and secretion of Cathepsin G (Cath G). requires a high level of specificity. Neutrophils need to be
activated, they need to be attracted to tumor cells, they must
identify tumor cells as a target, they must form physical contact
with tumor cells and must secrete cytotoxic mediators (H2O2) to
induce tumor cell apoptosis (Figure 1). Angiogenesis Neutrophil recognition
of tumor cells may be mediated either directly [RAGE-Cathepsin
G (30)] or in an antibody dependent fashion [ADCC (31)]. In addition, tumor cells must be susceptible to neutrophil
cytotoxicity (i.e., express the H2O2-dependent TRPM2 Ca2+
channel) for neutrophils to exert this favorable function (32). It seems that although cytotoxic neutrophils may be detected
throughout the course of the disease, neutrophil cytotoxicity
is mostly evident in early stages of tumor progression. This is
most likely due to suppressive conditions that govern the tumor
microenvironment. Since TRPM2 expression in tumor cells
varies, not all tumor cells are equally susceptible to neutrophil
cytotoxicity. Neutrophil resistant tumor cells should be targeted
by other means. However, preventing the transition form HDN
to LDN (perhaps by blocking TGFβ activity) should enhance the
proportion of anti-tumor neutrophils and may be considered as a
possible anti-cancer therapy. Further, the transfusion of cytotoxic
neutrophils, although somewhat challenging, is actively being
evaluated (Lift BioSciences). the
overall
neutrophil
contribution
is
pro-tumorigenic. Immunosuppressive neutrophils (often referred to as G-
MDSC) contain large amounts of arginase I (Figure 1) which
suppresses T cell proliferation through deprivation of L-arginine
(23, 24). Immunosuppressive neutrophils were also shown to
generate high levels of hydrogen peroxide (Figure 1) and thus
block T cell proliferation (25, 26). These observations provide
insight into the role played by neutrophils that are maintaining
an immunosuppressive tumor microenvironment and highlight
their role in facilitating metastatic spread through suppression
of adaptive immune components (6, 25, 27). These observations
suggest that administration of immunotherapies concomitant
with
blocking of neutrophil-mediated immunosuppression
may
further
potentiate
anti-tumor
adaptive
immunity. This
notion
was
in
fact
demonstrated
in
two
separate
studies;
the
first
showing
that
blocking
of
c-MET
in
neutrophils
improves
the
efficacy
of
immunotherapy
by
limiting the recruitment of immunosuppressive neutrophils
(28). The second study, recently published by Veglia et al. (29)
shows
that
FATP2
deficient
neutrophils
lose
their
immunosuppressive properties leading to a significant delay in
tumor progression. Stimulation of Adaptive Immune
Responses Neutrophil Cytotoxicity TGFβ TGFβ is a highly versatile molecule which may act as both
tumor suppressor and oncogene. However, when examining the
effect it exerts on neutrophil function in cancer it is regarded as
pro tumoral. Fridlender et al. (33) were the first to show that
TGFβ in the tumor microenvironment acts to block neutrophil
cytotoxicity. In this study they also coined the “N1” anti-
tumor and “N2” pro-tumor terminology to describe neutrophil
function in cancer. Their study showed that TGFβ both blocked
the anti-tumor function of neutrophils and restricted their
entry into the tumor (33). Later studies provided better insight
into the effect of TGFβ on neutrophil function in cancer. First, TGFβ directly blocks the production of H2O2, a key
mediator of neutrophil cytotoxicity, by activated neutrophils. Second, TGFβ was found to block the migration of tumor
neutrophils toward tumor cells. And third, TGFβ was found
to change the ratio between HDN and LDN (see above). Together, these observations demonstrate that TGFβ not only
blocks the favorable anti-tumor functions of neutrophils, it also
increases the proportion of tumor promoting neutrophils thereby
supporting tumor growth. Since TGFβ is abundant at the primary
and metastatic tumors, neutrophil cytotoxicity is not evident in
these sites but rather the pro-tumor functions are manifested. In contrast, during the early stages of metastatic dissemination,
circulating tumor cells arriving to the future site of metastasis
are not protected by high levels of TGFβ and are susceptible
to neutrophil cytotoxicity. Hence neutrophil cytotoxicity is
evident at the time of metastatic seeding and possibly at early
stages of tumorigenesis but not in the microenvironment of an
established tumor. Neutrophils are essential for host protection against microbial
infections and as such cannot be eliminated as a mode of therapy. However, the progress made in recent years highlighting the
fact that neutrophils are not a homogeneous population of cells,
opens new opportunities for targeting neutrophils as a mode
of cancer therapy. Better characterization of neutrophils, their
different subsets and distinct functions may serve to specifically
deplete harmful populations and enhance neutrophils’ favorable
functions. However, taking into account the fast rate of
neutrophil replenishment, this strategy will require continuous
administration of antibodies. This therapeutic approach is not
without risk and previous studies using antibodies to deplete
neutrophils show that ultimately the depleting antibodies lose
their efficacy. IFNs and are required for proper anti-tumor CD4+ and CD8+ T-cell
responses (33–36). In fact, neutrophils were shown to present
antigens and provide accessory signals for T cell activation (37,
38). In addition, N1 tumor associated neutrophils were shown to
require T-cells for their anti-tumor activity at the primary site,
which may indicate possible stimulation of T cells by neutrophils
(33). Finally, neutrophils are able to recruit and activate T-cells
via secretion of cytokines, including TNFα, Cathepsin G and
neutrophil elastase (27) (Figure 1). Type I interferons have an effect on neutrophil function
that opposes that of TGFβ. IFNs were first identified as
having anti-viral functions and later on were also found to
play an anti-tumorigenic role. IFNs mediate an anti-tumor
immune response by activating various immune cells (39). On top of modulating the function of lymphocytes and
macrophages, IFN-β was found to suppress the expression
of proangiogenic factors, such as VEGF and MMP9, thereby
limiting tumor growth (40). In addition to modifying the
expression of protumorigenic factors, IFN-β enhances the
recruitment of neutrophils and their life span in primary
tumors (41, 42). Finally, type I IFN activity was found to
inhibit neutrophil-mediated priming of a receptive premetastatic
niche (43). CONTEXT DEPENDENT NEUTROPHIL
FUNCTION Neutrophils may present with either tumor promoting or
tumor limiting properties. It is not yet clear whether this is
a manifestation of distinct subsets or the extreme ends of a
wide functional spectrum. Regardless, neutrophils are the first
responders of the immune system and as such are equipped
with a wide variety of receptors. This makes neutrophils highly
responsive to cues in their microenvironment and may explain
why neutrophils function one way at the primary tumor and in
a completely different way in the pre-metastatic niche. Indeed,
neutrophil function was found to be dramatically modified by
factors such as TGFβ and type I interferons. Together,
these
observations
support
the
notion
that
neutrophil function in cancer is heavily dictated by the specific
microenvironment. More importantly, these data suggest that
rather than modifying the function of neutrophils or depleting
specific subsets, one may achieve a therapeutic benefit mediated
by neutrophils via modulation of the tumor microenvironment. Essentially, blocking TGFβ activity or enhancing IFNs activity
at the tumor microenvironment should facilitate neutrophil
anti-tumor cytotoxicity and may be considered as a mode of
anti-tumor immunotherapy. Neutrophil Cytotoxicity While most of the data regarding neutrophil function in cancer
supports a pro-tumorigenic role, neutrophil may also eliminate
cancerous cells and limit metastatic seeding. Unlike other
neutrophil properties discussed above, neutrophil cytotoxicity The notion that adaptive immunity is the major effector in anti-
tumor immune responses is well-accepted. However, there is
evidence supporting a role for neutrophils in this respect too. For example, neutrophils were shown to interact with T cells July 2019 | Volume 10 | Article 1710 Frontiers in Immunology | www.frontiersin.org 3 Granot Granot Targeting Neutrophils in Cancer Frontiers in Immunology | www.frontiersin.org REFERENCES 18. Hanahan
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modifying TGFβ activity in neutrophils in vivo may be sufficient
for stimulating a robust anti-tumor response. That said, current
therapies targeting TGFβ signaling prove to be toxic and are
not tolerated well. A possible alternative for circumventing
the toxicity of systemic administration of small molecule July 2019 | Volume 10 | Article 1710 Frontiers in Immunology | www.frontiersin.org 4 Targeting Neutrophils in Cancer Granot AUTHOR CONTRIBUTIONS TGFβ blockers is a more targeted approach. Future therapies
using neutrophil specific drug delivery may serve to harness
neutrophils toward fighting cancer. Such technology is yet to
be developed. The author confirms being the sole contributor of this work and
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English
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Protective Effect of Hesperidin against Cyclophosphamide Hepatotoxicity in Rats
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World Academy of Science, Engineering and Technology
International Journal of Biotechnology and Bioengineering
Vol:8, No:7, 2014 World Academy of Science, Engineering and Technology
International Journal of Biotechnology and Bioengineering
Vol:8, No:7, 2014 International Scholarly and Scientific Research & Innovation 8(7) 2014 Protective Effect of Hesperidin against Cyclophosphamide Hepatotoxicity in
Rats Authors : Amr A. Fouad, Waleed H. Albuali, Iyad Jresat ,
, y
J
Abstract : The protective effect of hesperidin was investigated in rats exposed to liver injury induced by a single
intraperitoneal injection of cyclophosphamide (CYP) at a dose of 150 mg kg-1. Hesperidin treatment (100 mg kg-1/day, orally)
was applied for seven days, starting five days before CYP administration. Hesperidin significantly decreased the CYP-induced
elevations of serum alanine aminotransferase, and hepatic malondialdehyde and myeloperoxidase activity, significantly
prevented the depletion of hepatic glutathione peroxidase activity resulted from CYP administration. Also, hesperidin
ameliorated the CYP-induced liver tissue injury observed by histopathological examination. In addition, hesperidin decreased
the CYP-induced expression of inducible nitric oxide synthase, tumor necrosis factor-α, cyclooxygenase-2, Fas ligand, and
caspase-9 in liver tissue. It was concluded that hesperidin may represent a potential candidate to protect against CYP-induced
hepatotoxicity. iotechnology and Bioengineering Vol:8, No:7, 2014 waset.org/abstracts/11037 Keywords : hesperidin, cyclophosphamide, liver, rats Keywords : hesperidin, cyclophosphamide, liver, rats Keywords : hesperidin, cyclophosphamide, liver, rats
Conference Title : ICABB 2014 : International Conference on Applied Biology and Biotechnology
Conference Location : Stockholm, Sweden
Conference Dates : July 14-15, 2014 Conference Title : ICABB 2014 : International Conference on Applied Biology and Biotechnology Conference Location : Stockholm, Sweden Conference Dates : July 14-15, 2014 International Scholarly and Scientific Research & Innovation 8(7) 2014 ISNI:0000000091950263 1
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